1. LECTURES 4-8 UMTS Prof. Hamid Aghvami
Centre for Telecommunications Research
King’s College London

2. UMTS
“UMTS will be a mobile communications system that can offer significant user benefits including high-quality wireless multimedia services to a convergent network of fixed, cellular and satellite components.
It will deliver information directly to users and provide them with access to new and innovative services and applications.
It will offer mobile personalised communications to the mass market regardless of location, network and terminal used”.
UMTS Forum 1997

3. Future Systems UMTS / IMT2000 MBS ISDN/IP-based Networks
Fast mobility
UMTS / IMT2000
Interworking requirement
User mobility
MBS
Slow mobility
ISDN/IP-based
Networks
B - ISDN (ATM)/
IP-based Networks
Fixed
1 Mb/s
2 Mb/s
155 Mb/s
Data rate (Mb/s)

4. Second generation Third generation
GSM - 900
GSM -1800
DECT
UMTS
TETRA
WLL
HIPERLAN
Satellite
MBS

5. UMTS Main Requirements (3 Ms)
Multi-media
Multi-environment
Multi-operator Virtual operators

6. Mobile Multimedia Services

7. Different Environments for UMTS

8. UMTS bearer services:
The UMTS radio access network and fixed network are
expected to provide four classes of bearer services:
Class A - Circuit-switched bit pipe
Class B - Circuit-switched bit pipe for variable bit rate
Class C - Connection-oriented packet switched bearer service
Class D - Connectionless packet-switched bearer service

9. On the Air Interface Class A - LDD Low Delay Data (real time)
Class B - LDD-VBR Low Delay Data – Variable Bit Rate (real time)
Class C - LCD Long Constrained Delay (50 ms)
Class D - UDD Unconstrained Delay Data (300 ms)

10. UMTS access network Fixed Access
Business Customer Premises Network (BCPN)
Domestic CPN (DCPN)
Public access to UMTS
Mobile CPN (MCPN)

11. First phase of UMTS
Europe has decided to adopt an evolutionary approach for the UMTS core network based on migration from the GSM/GPRS infrastructure.
For the actual air interface, a revolutionary approach has been chosen. That is a new radio air interface for UMTS Terrestrial Radio Access (UTRA).
There is another parallel activity concerning the UMTS air interface using an evolutionary approach (an intermediate approach).

12. Evolution approach based on GSM Infrastructure
Public Network
Radio Access
Dual-mode
Evolved
GSM
Radio Access
(GERAN)
NSS
And
GSN’s
PSTN
N-ISDN
B-ISDN
IP-based
Networks
New
Radio Access
(UTRAN)
Dual-mode
Evolution approach based on GSM Infrastructure
Evolution Approach

13. Evolutionary approach for the GSM Air Interface
In this approach the GSM air interface has evolved within GSM phase 2+ to support higher rate data services. The most important developments in this approach are:
1. General Packet Radio Services (GPRS )
2. High Speed Circuit Switched Data (HSCSD )
3. Enhanced Data Rates for GSM Evolution (EDGE )
It is referred to GSM/EDGE Radio Access Network (GERAN)

14. Overview of the GPRS Logical Architecture
SGSN
BSS
GGSN
SMS-GMSC
SMS-IWMSC A Gc Gn Gb MT Um
HLR Gi Gd D
SM-SC
Other PLMN Gp R TE
MSC / VLR Gr Gs C E
PDN
EIR Gf
SGSN: Serving GPRS Support Node
GGSN: Gate GPRS Support Node
PDN: Packet Data Network
Signalling and Data Transfer Interface
Signalling Interface
Overview of the GPRS Logical Architecture

15. UMTS Terrestrial Radio Access (UTRA)
Introduction to
UMTS Terrestrial Radio Access (UTRA)
Prof. Hamid Aghvami
Centre for Telecommunications Research - King’s College London
Wireless Multimedia Communications Ltd c
Prof. A. H. Aghvami

16. Time Schedule for UTRA
Definition of a limited number of UTRA concepts. June 1997
Selection of one UTRA concept December 1997
Definition of key technical aspects of the UTRA
and submission of the candidate to ITU. June 1998

17. UTRA Concept Groups Wideband DS-CDMA Concept Group Alpha
OFDMA Concept Group Gamma
Wideband TDMA Concept Group Beta
Wideband TD/CDMA Concept Group Delta
ODMA (Opportunity Driven
Multiple Access) Concept Group Epsilon

18. ETSI SMG2 has selected the wideband CDMA concept for the paired band (FDD mode) and the TD/CDMA concept for the unpaired band (TDD mode) for UTRA.

19. Frequency allocation in Europe

20. For latest changes to the UTRA standard, please see:
Particularly,
TS to TS V3.1.1 ( )For FDD mode
TS to TS V3.1.1 ( )For TDD mode

21. Wideband CDMA Specifications Multiple access DS-CDMA
Transmission mode FDD
Chip rate Mchips/s
Carrier spacing 5 MHz
Frame size 10 ms
Spreading technique Variable-spreading factor+multi-code
Channel Coding 1/2-1/3 rate convolutional coding and Turbo Coding
Modulation QPSK with roll-off factor a= 0.22

22. Definition of Channels
Logical Channel – Type of information to be transmitted e.g., traffic or control
logical channels.
Transport Channel – How and with what format data is transmitted through
physical links.
Physical Channel – Unit of radio resource of a radio system e.g., frequency
band, time slot, code, etc.
RF Channel – Fixed frequency band of a radio system.
The MAC sublayer is responsible for mapping logical channels onto transport
channels.
The physical layer is responsible for mapping transport channels onto physical

23. Dedicated Channel (DCH)
Transport channels
Common Channels (CCHs)
Dedicated Channel (DCH)
(Uplink/Downlink)
A common channel is a channel (resource) used by all users or a group of users in a cell. In the downlink a common channel is a point-to-multipoint channel and in the uplink the channel is contended by users.
A dedicated channel is a point-to-point channel allocated to a specific user.
BCCH is a downlink channel used to broadcast system and cell-specific information over the entire cell.
FACH is a downlink channel used to carry control information to a mobile station when the system knows the location cell of the mobile station. FACH may also carry short user packets.
PCH is a downlink channel used to carry control information to a mobile station when the system does not know the location cell of the mobile station. It is used to inform the mobile station of incoming calls.
RACH is a uplink channel used to carry control information. It is used for initiating a call (initial access to the serving BS). RACH may also carry short user packets.
CPCH is a uplink channel used to carry infrequent medium sized packets.
DSCH is a downlink channel used to carry infrequent medium and large sized packets and can be shared in time between several users.
Broadcast
Paging
Common Packet
Channel(CPCH)
(Uplink)
Channel (BCH)
Channel (PCH)
(Downlink)
(Downlink)
Forward-Access
Random-Access
Downlink Shared
Channel(DSCH)
(Downlink)
Channel (FACH)
Channel (RACH)
(Downlink)
(Uplink)

24. Dedicated Physical Channels
Uplink Physical channels
Dedicated Physical Channels
Common Physical Channels
Physical Common Packet Channel
(PCPCH)
Dedicated Physical Control Channel
(Uplink DPCCH))
Physical Random Access Channel
(PRACH)
Dedicated Physical Data Channels
(Uplink DPDCH)

25. Downlink Physical Channels
Dedicated Physical Channel (Downlink DPCH)
A time multiplex of a downlink DPDCH and a downlink DPCCH
Common Physical Channels
Synchronisation
Channel
(SCH)
Common Pilot Channel
(CPICH)
Page Indication
Channel
(PICH)
Primary Common Control
Physical Channel
(P-CCPCH)
Physical Downlink
Shared Channel
(PDSCH)
Secondary CPICH
Secondary Common Control
Physical Channel
(S-CCPCH)
Acquisition Indication
Channel
(AICH)
Primary CPICH

26. Mapping transport channels onto Physical channels
BCH
FACH
PCH
RACH
CPCH
DCH
DSCH
Physical
channels
CPICH
S-CCPCH
PCPCH
DPCCH
PDSCH
AICH
P-CCPCH
PRACH
DPDCH
SCH
PICH

27. Dedicated Physical Channels (DPCH)
DPDCH - Carries dedicated transport channels
DPCH
DPCCH - Carries control information at layer 1 ( known pilot,
transport format combination indicator (TFCI) feedback
information (FBI) and transmit power control (TPC)
command
The pilot bits are used for channel estimation in the receiver.
The TPC bits carry the power control commands.
The FBI bits are used when closed loop transmission diversity is used in the downlink.
The TFCI indicates the transport format of the DPDCH in the same frame.
DPDCH
Dedicated Physical Data Channel
DPCCH
Dedicated Physical Control Channel

28. Frame structure for uplink DPDCH/DPCCH
Slot 0
Slot 1
Slot i
Slot 14
DPDCH
Transmission time is divided into radio frames. The size of a radio frame is 10 ms consisting of 15 time slots.
One time slot corresponds to 2560 chips (0.667 ms), which equals to one power control period.
DPDCH and DPCCH bits transmitted in parallel in each time slot using I and Q streams of QPSK modulation. i.e., one QPSK symbol (phase) carries one bit of DPDCH and one bit of DPCCH (I-Q/code multiplexing).
DPDCH carries the traffic and/or signalling (control information of higher layers. DPCCH carries the physical layer control information (pilot, TFCI, FBI and TPC bits).
DPCCH uses a fixed spreading factor of i.e., 10 bits per time slot.
DPDCH uses 7 spreading factors from 256 to 4. No. of bits per time slot can be calculated from 10 * 2 k where k = 0, …, 6.
DPCCH
Frame structure for uplink DPDCH/DPCCH

29. Spreading for uplink DPCCH and DPDCH
I+jQ
The DPDCH and DPCCH are spread to a fixed chip rate of 3.84 Mchips/s by the channelization codes, Cd and Cc, respectively.
The DPDCH uses Cch,SF,k code where SF is the spreading factor (256 to 4) and k is the branch no. of the code tree for the same SF (k = 0, …, SF-1). The value of k = SF/4 is used for the DPDCH.
The DPCCH uses Cch,256,0 i.e., the top branch of the code tree for SF = 256.
Bd and Bc are gain factors used to adjust the relative transmitted power of the DPDCH and DPCCH.
Slong, n or Sshort, n is the scrambling code for nth mobile station. The mobile station is identified by its scrambling code.
One DPCCH and up to six parallel DPDCHs can be transmitted simultaneously. Q j
DPDCH– Cch,SF,k (k = SF/4)
DPCCH – Cch,256,0

30. Spreading Codes for Downlink
The channelisation codes are Orthogonal Variable Spreading Factor (OVSF) codes with different rates and spreading factors.
Cch,4,0 =1111
Cch,2,0 =11
Cch,4,1 =1100
Cch,1,0 =1
Cch,4,2 =1010
Cch,4,3 =1001
Cch,2,1 =10
SF = 1
SF = 2
SF = 4
o o o
o o o

31. Uplink Scrambling Codes
All uplink physical channels are subjected to scrambling
with a complex-valued scrambling code.
The DPCCH/DPDCH may be scrambled by either long or
short scrambling codes.
The long scrambling codes are from a set of Gold
sequences of chips. There are 224 long uplink
scrambling codes.
The short scrambling codes are derived from a sequence
of the family of periodically extended S(2) codes. There are 224 short
uplink scrambling codes.
Uplink scrambling codes are assigned by higher layers.

32. Access slots 5120 chips Access slot Random-access Transmission
Frame boundary
Access slots

33. Structure of the random access transmission
Message Part
4096 chips
Access Preamble
Control Part
The MS receives from the BCH the available sub-channels (Access slots), scrambling codes and signatures.
The MS selects randomly one of the RACH sub-channels from the group its access class allows it to use. It also selects a signature randomly from the available signatures.
A 1 ms access preamble is transmitted using the selected signature.
The MS monitors the Acquisition Indication Channel (AICH) to see whether the BS has received the preamble.
If no AICH is detected, the MS increases the access preamble transmission power by a fixed amount given by the BS and transmits it again in the next available access slot.
When an AICH is detected, the MS transmits the 10 ms or 20 ms massage part of the RACH.
Data Part
Structure of the random access transmission

34. Structure of the random-access message part
Slot 0
Slot 1
Slot i
Slot 14
Data
Control
Structure of the random-access message part

35. Spreading of PRACH message part
data part I
I+jQ
PRACH message
control part Q j
Spreading of PRACH message part

36. Structure of the CPCH random access transmission
Message Part
4096 chips
Access Preamble
Control Part
Collision Resolution
Preamble
Data Part
It is similar to the RACH procedure. The main difference is the Collision Detection (CD) which has a similar structure to that of the access preamble.
The operation follows the RACH procedure until the MS receives the AICH. After that a CD preamble with the same power level using a different signature is sent to the BS. On the receipt of this preamble, the BS then sends back a CD-Indication Channel (CD-ICH).
After the MS receives the correct CD-ICH, it transmits the message which may last over several frames.
The use of a CD preamble reduces the probability of collision on layer 1.
Structure of the CPCH random access transmission

37. Uplink modulation Complex-valued chip sequence from spreading
operations
Re(S)
Split real
&
Imag.
Parts S
Im(S)
The two low pass filters have raised-cosine shaped transfer functions with a roll-off factor of a=0.22.
The symbol rate is equal to the chip rate. i.e., fs = 3.84 Msymbols/s.
The actual bandwidth required to transmit the QPSK signal is:
B = (1+a) fs = (1+0.22) 3.84 = MHz
Uplink modulation

38. Frame structure for downlink DPCH
Slot 0
Slot 1
Slot i
Slot 14
DPDCH
DPCCH
DPDCH
DPCCH
Time multiplexing of the DPDCH and DPCCH is used in the downlink.
In the downlink the spreading factors range from 4 to 512, with some restrictions on the use of spreading factor 512 in the case of soft handover.
The downlink DPDCH consists of QPSK symbols. Each symbol consists of two bits while in the case of uplink the DPDCH consists of BPSK symbol (one symbol corresponds to one bit).
Frame structure for downlink DPCH

39. Downlink
physical channels
except SCH I
S/P
I+jQ Q j
P-SCH
Primary CPICH – Cch,256,0
Primary CCPCH – Cch,256,1
Others – are assigned by UTRA To
Modulator
All downlink channel data streams (except synchronization channels) are split into two parallel streams of I and Q using a serial-to-parallel converter (S/P).
One channelization code per channel is used to spread both I and Q signals to a fixed chip rate of 3.84 Mchips/s.
The complex signals, I+jQ, are then scrambled by a downlink scrambling code. A BS is identified by the downlink scrambling code (BS identity code).
The scrambled signals are multiplied by gain factors (G1, G2, …) before adding together. The Primary Synchronization Channel (P-SCH) and Secondary Synchronization Channel (S-SCH) with their appropriate gain factors (Gp and Gs) are finally added to the combined signal before the modulator.
- The channelisation codes are orthogonal variable spreading factor (OVSF).
- The total number of available scrambling codes is 512, divided into 64 code groups with 8 codes in each group.
- The grouping of the downlink codes is done in order to facilitate a fast cell search.
S-SCH
Combining different downlink physical channels

40. Downlink Scrambling Codes
A total of 218 –1 scrambling codes can be generated.
however, only 8192 of these scrambling codes are used.
The scrambling codes are divided into 512 sets each of a
primary scrambling code and 15 secondary scrambling codes.
The downlink scrambling codes are segments of a different set
of the Gold sequences.
The scrambling codes are repeated for every 10 ms radio
frame.

41. Downlink modulation Complex-valued chip sequence Split real
from spreading
operations
Split real
&
Image
Parts
Re(S) S
Im(S)
Downlink modulation

42. Error Correction Coding Parameters
Transport Channel Type
Coding scheme
Coding rate
BCH
PCH
Convolutional code
1/2
RACH
1/3
, 1/2
CPCH, DCH, DSCH, FACH
Turbo Code
1/3
No coding
Error Correction Coding Parameters

43. Structure of Primary and Secondary Synchronisation Channels (SCH)
Tslot
Primary SCH
Secondary SCH
i, 14
i, 0
i, 2
The synchronisation channel consists of two channels, the primary and secondary synchronisation channels.
The primary SCH uses a code of 256 chips transmitted over every slot.
The primary SCH code is the same for every cell in the system.
The primary SCH is used for slot synchronisation.
The secondary SCH consists of 64 sequences, each sequence has a 15 code of length 256 chips. Each BS transmits a specific sequence in every frame (one code per time slot), repeatedly.
Each code sequence is associated to one downlink scrambling code group.
The secondary SCH is used for frame synchronisation.
2560 chips
256 chips
Tf = 15 x Tslot
cp Primary Synchronisation Code ( It is the same for every cell in the system)
cs i,k Secondary Synchronisation Codes ( Where i=0,1….63 is the number of the scrambling
code group, and k= 0,1,…14 is the slot number. Each code is chosen from a set of
16 different codes of length 256).

44. For Fast Cell Search Downlink primary scrambling codes
Secondary synchronisation codes
PSC0
PSC1
associated
0,k
Group 1 C s
PSC7
PSC8
PSC9
2,k
Group 2 C s
PSC15
PSC504
PSC505
63,k
Group 64 C s
PSC511
For Fast Cell Search

45. Initial Cell Search
The initial Cell Search is carried out in three steps:
Step 1: Slot synchronisation - using the primary synchronisation
channel.
Step 2: Frame synchronisation and code-group identification-
using the secondary synchronisation channel.
Step 3: Scrambling-code identification-identified through symbol-
by-symbol correlation over the primary CCPCH with all
the scrambling codes within the code group.

46. Power Control Uplink Power control 1. Inner loop power control
The uplink inner loop power control adjusts the MS transmit
in order to keep the received uplink SIR at a given SIR target.
2. Outer loop
The outer loop adjusts the SIR target used by the inner loop
power control. The SIR target is independently adjusted for
each connection based on the estimated quality of the
Connection.
3. Open loop power control
The open loop power control is used to adjusts the transmit
power of the Physical Random Access Channel.

47. Power Control Downlink Power control 1. Inner loop power control
The downlink inner loop power control adjusts the base
station transmit power in order to keep the received downlink
SIR at a given SIR target.
2. Outer loop
The outer loop adjusts the SIR target used by the inner loop
power control. The SIR target is independently adjusted for
each connection based on the estimated quality of the
Connection.
Typically a combination of estimated bit error rate and frame
error rate is used for the quality estimate.

48. Packet Transmission Type of Packet Uplink Downlink Short infrequent
packets
RACH / PRACH
ms frame
FACH / SCCPCH
ms frame
CPCH / PCPCH
N ms frames
( Nmax= 10 )
DSCH / PDSCH
N ms frames
Medium infrequent
packets
Long packets
or frequent
multiple packet
DCH / DPCH
DCH / DPCH

49. Hand-Over (HO) Types Intra-frequency HO Inter-frequency HO
Inter-system HO
Intra-frequency HO – The handover between two base stations operating at the same carrier frequency.
Inter-frequency HO – The handover between two base stations operating at two different frequencies (e.g. HO between two different UMTS operators).
Inter-system HO – The handover between two different stations (e.g. HO between UMTS and GSM).

50. Slotted Downlink Transmission
Using slotted downlink transmission mode, a single-receiver
mobile station can carry out measurements on other
frequencies without affecting its normal data flow.
The information normally transmitted during a 10ms frame is
compressed in time, either by code puncturing or by reducing
the spreading factor by a factor of 2.

51. As a result, an idle time period of 5ms is created within each
frame. During this time, the MS receiver is idle and can be
used for interfrequency measurements.
Idle period available for
interfrequency measurement
Instantaneous
Rate/Power T f
Normal transmission
Slotted transmission
Downlink slotted transmission

52. UMTS Architecture CN Iu UTRAN Uu UE UTRAN
UMTS Terrestrial Radio Access Network CN
Core Network UE
User Equipment
UMTS Architecture

53. UTRAN Architecture Core Network Iu RNS Iur RNC Iub Node B
UTRAN consists of many Radio Network Subsystems (RNSs) belonging to one operator.
A RNS consists of one Radio Network Controller and one or more Node B(s) (base stations).
The operation of RNC is similar to the GSM BSC. i.e., responsible for radio resource allocation, execution of handover, terrestrial channel management and mapping between radio and terrestrial channels.
The only main difference between UTRAN and GSM architectures is that, in the case of UTRAN, there is a logical connection between RNCs.

54. Assumed UMTS Architecture
Non-Access Stratum GC Nt DC GC Nt DC
Access Stratum
UTRAN
Core Network UE
Radio lu
(Uu) GC
General Control Nt
Notification DC
Dedicated Control
Assumed UMTS Architecture

56. Radio Interface protocol architecture (Layer Model)
C-plane signalling
U-plane information GC Nt DC
RRC L3
BMC
PDCP
L2/RLC
RLC
The radio interface has two planes: C-plane signalling and U-plane information and three layers: physical layer (L1), data link layer (L2) and network layer (L3).
Service Access Points (SAPs) marked by circles.
Each layer offers services through SAPs to upper layers. A service is defined by a set of service primitives (operations) that a layer provides to upper layers.
All physical functions such as spreading, modulation, multiplexing, mapping transport channels to physical channels, etc., are located in layer 1.
In the C-plane, layer 2 contains two sub-layers; MAC and RLC. In the U-plane, in addition to MAC and RLC, two additional service dependent protocols exists; PDCP and BMC protocols.
Logical GC
General Control
Channels NT
Notification DC
Dedicated Control
MAC
L2/MAC
RRC
Radio Resource Control
RLC
Radio Link Control
Transport
MAC
Medium Access Control
Channels
PDCP
Packet Data Convergence
Protocol
PHY L1
BMC
Broadcast and Multicast Control
Radio Interface protocol architecture (Layer Model)

57. Continuation
The main functions of MAC include mapping of logical channels onto transport channels, priority handling between data flows and identification of UEs (user equipments) on common transport channels. The RLC main functions include ARQ, segmentation and reassembly and flow control.
PDCP exist only for packet switched domain services. It main function is header compression.
BMC is used to transmit over the radio interface messages originating from cell Broadcast Centre (broadcast and multicast services).
Layer 3 consists of one protocol, RRC, which belongs to the control plane. Its main function is to setup, modify and release layer 2 and layer 1 protocol entities. RRC messages carry in their payloud also all higher layer signalling such as MM, CM and SM.
Gc, Nt and Dc are SAPs between RRC and higher layer protocols which are independent of the access network.

58. …. …. …. …. …. Data flow for non-transparent RLC and MAC Higher Layer
Higher Layer PDU
Higher Layer PDU
RLC SDU
reassembly
RLC SDU ….
L2 RLC
Segmentation
concatenation
RLC
header
RLC
header ….
MAC
header
MAC SDU
MAC
header
MAC SDU ….
L2 MAC
Transport block ( MAC PDU )
Transport block ( MAC PDU ) …. L1
CRC ….
CRC
Data flow for non-transparent RLC and MAC

59. General Protocol Layer Model for UTRAN
Radio
Network
Layer
Control Plane
User Plane
Application
Protocol
Data
Stream(s)
Transport
Network
Layer
Transport Network
User Plane
Transport Network
Control Plane
Transport Network
User Plane
ALCAP(s)
Signalling
Bearer(s)
Signalling
Bearer(s)
Data
Bearer(s)
Physical Layer
General Protocol Layer Model for UTRAN

60. The UTRAN protocol architecture (layer model) has two main horizontal layers and three
main vertical planes.
All UTRAN-specific functionalities are logically located in the Radio Network Layer. The
functionalities adopted from standard transport technology (non-UTRAN specific) are
logically located in the Transport Network Layer.
All functionalities related to UTRAN-specific control signalling are represented in the
Control Plane, and functionalities related to user traffic are represented in the User Plane.
The Transport Network Control Plane is represented by all the control signalling needed
within the Transport Network User Plane (non-UTRAN specific).
The Control Plane includes the Application Protocols (RANAP, RNSAP and NBAP) and
the Signalling Bearer for transporting the Application Protocol messages.

61. All circuit-switched and packet switched user information are sent or received via the
User Plane. It includes the Data Stream(s) and Data Bearer(s). The Data Bearer(s) is
used to transport the Data Stream(s).
The Transport Network Control Plane includes the ALCAP(Access Link Control
Application Part) and the Signalling Bearer(s) to transport the ALCAP messages.
The ALCAP is used to set up, control and release of the Data Bearer(s) in the User
Plane.
The use of the Transport Network Control Plane makes it possible for the Application
Protocol in the Radio Network Control Plane to be completely independent of
technology used for the Data Bearer(s) for the Transport Network User Plane.

62. Iu CS Interface Protocol Layer Model
Radio
Network
Layer
Control Plane
User Plane
Iu User Plane
Protocol
RANAP
Transport
Network
Layer
Transport Network
User Plane
Transport Network
Control Plane
Transport Network
User Plane Q
SCCP Q
MTP3b
MTP3b
SSCF-NNI
SSCF-NNI
SSCOP
SSCOP
AAL5
AAL5
AAL2
ATM
Physical Layer
Iu CS Interface Protocol Layer Model

63. Iu Protocol Stack
There are two Iu interfaces: Iu CS and Iu PS. Iu CS connects UTRAN to the CS Core
Network and Iu PS connects UTRAN to the PS Core Network.
The Control Plane Protocol Stack consists of RANAP and the BB SS7 protocols.
The main functions of RANAP are: SRNS Relocation, Intersystem handover Radio
Access Bearer Management and Iu Release.
Signalling Connection Control Part (SCCP), Message Transfer Part (MTP3-b) and
SAAL-NNI are the BB SS7 protocols.
Signalling ATM Adaptation Layer for Network-to-Network Interfaces (SAAL-NNI)
and Service Specific Connection Oriented Protocol (SSCOP) has been designed
for signalling transport in ATM network.
Q and Q are the signalling protocols for setting up AAL2 ATM
connections.

64. Iu PS Interface Protocol Layer Model
Radio
Network
Layer
Control Plane
User Plane
Iu User Plane
Protocol
RANAP
Transport
Network
Layer
Transport Network
User Plane
Transport Network
Control Plane
Transport Network
User Plane
SCCP
MTP3-B
M3UA
GTP-U
SSCF-NNI
SCTP
UDP
SSCOP IP IP
AAL5
AAL5
ATM
ATM
Physical Layer
Physical Layer
Iu PS Interface Protocol Layer Model

65. Iu PS Plane Protocol Stack
The Iu PS Control Plane protocol stack consists of the same RANAP and BB SS7
protocols as those used in the Iu CS Control Plane protocol stack.
As an a alternative, an IP-based signalling protocol stack is also introduced.
The SS7 MTP3-User Adaptation (M3UA) layer and the Simple Control Transmission
Protocol (SCTP) have been designed for signalling transport in the Internet.

66. Iur Interface Protocol Layer Model
Radio
Network
Layer
Control Plane
User Plane
RNSAP
DCH FP
CCH FP
Transport
Network
Layer
Transport Network
User Plane
Transport Network
Control Plane
Transport Network
User Plane Q Q
SCCP
ITUN
MTP3-B
MTP3-B
M3UA
SCTP
SSCF-NNI
SCTP
SSCF-NNI
UDP
SSCOP IP
SSCOP IP
AAL5
AAL5
AAL2
ATM
Physical Layer
Iur Interface Protocol Layer Model

67. Iub Interface Protocol Layer Model
Radio
Network
Layer
User Plane
Control Plane
NBAP
DCH FP
RACH FP
FACH FP
PCH FP
DSCH FP
USCH FP
Transport
Network
Layer
Transport Network
User Plane
Transport Network
Control Plane
Transport Network
User Plane Q Q
SSCF-UNI
SSCF-UNI
SSCOP
SSCOP
AAL5
AAL5
AAL2
ATM
Physical Layer
Iub Interface Protocol Layer Model

68. TDD Mode (TD/CDMA)

69. Transport channels Common Transport Channels
Dedicated Transport Channel
ODMA Dedicated Channel
(ODCH)
Dedicated Channel ( DCH)

70. Broadcast Channel (BCH)
Common Transport Channels
Broadcast Channel (BCH)
(Downlink)
Paging Channel (PCH)
(Downlink)
Forward Access
Channel (FACH)
(Downlink)
Random Access
Channel (RACH)
(Uplink)
ODMA Random Access
Channel (ORACH)
(Uplink)
Synchronisation
Channel(SCH)
(Downlink)
Uplink Shared
Channel (USCH)
(Uplink)
Downlink Shared
Channel (DSCH)
(Downlink)

71. Common Control Physical Channel (CCPCH)
Dedicated Physical Channel (DPCH)
Common Control Physical
Channel (CCPCH)
(Downlink)
Physical Synchronisation
Channel (PSCH)
(Downlink)
Physical Downlink Shared
Channel (PDSCH)
(Downlink)
Physical Random Access
Channel (PRACH)
(Uplink)
Physical Uplink Shared
Channel (PUSCH)
(Uplink)
Paging Indicator
Channel (PICH)
(Downlink)

72. Mapping transport channels onto Physical channels* *
Transport
channels
DCH
ODCH
BCH
FACH
PCH
RACH
ORACH
SCH
USCH
DSCH
Physical
channels
PSCH
PDSCH
CCPCH
DPCH
PUSCH
PICH
PRACH
* In case of ODMA mode

73. . . . . . . . . . . . . . . . TDD frame structure with BCCH and RACH
Downlink
Downlink
Uplink
CCPCH
PRACH
TS 0
TS 1
TS 14
Switching point
10 ms
TDD frame structure with BCCH and RACH

74. Burst structure Traffic Bursts Structure of the traffic burst type 1
Data Symbols
976 chips
Midamble
512 chips GP
96 CP
2560 * TC
Structure of the traffic burst type 1
It can be used for uplink, independent of the number of active
users in one time slot.
It can be used for downlink, independent of the number of active

75. Structure of the traffic burst type 2
Data Symbols
1104 chips
Midamble
256 chips GP
96 CP
2560 * TC
Structure of the traffic burst type 2
It can be used for uplink, if the bursts within a time slot are
allocated to less than four users.
It can be used for downlink, independent of the number of active
users in one time slot.

76. Access Burst Data Symbols 976 chips Midamble 512 chips Data SymbolsGP
192 CP
2560 * TC

77. Channel Coding Transport Channel Type Coding scheme Coding rate
BCH, PCH, FACH,
RACH
Convolutional code
1/2
DCH
1/3, 1/2, or no coding
DCH
Turbo code
1/3, or no coding

78. Spreading and Modulation
Chip rate
3.84 Mchips/s
Carrier spacing
5 MHz
Modulation
QPSK
Filtering
raised cosine shaped a
= 0.22
Spreading code
OVSF

79. UTRA TDD transmit power (mobile station)
Power class
Maximum output power
Tolerance 1
+24 dBm
+1dB /-3dB 2
+21 dBm
+2dB /-2dB 3 4

80. TD / CDMA Features
A code and a time slot in a frequency band represents a radio resource unit.
The midamble length is sufficient to estimate at least 8 different users.
Use of up to 16 codes per time slot is feasible.
Orthogonal variable spreading factor codes with maximum spreading factor
of 16 are chosen.
Intra-cell interference cancellation within one time slot is performed by the
joint User detection techniques.
Multiple switching points per frame is possible .
Interference dependent Dynamic Channel Allocation (DCA) is used to avoid
intra-cell interference.
No soft intra-frequency HO is needed.
Synchronisation between BSs is needed.

81. Principle of Joint User Detection
Base Station
Code 1
Channel estimator for 8 mobile radio channels
MS 1
Code 2
MS 2
TCH 1
Code 1
TCH 2
Code 2
Code 3
MS 3
Joint User Detection (JUD) for 8 traffic channels
Code 4
Code 3
TCH 3 .
Code 4 .
Code 14
Code 14
TCH 8
Code 15
Code 15
Code 16
MS 8
Code 16

82. Power Control PC Characteristics
A slow power control scheme similar to GSM is used both for
uplink and downlink
PC Characteristics

83. Handover Strategy
For RT Services, A backward mobile assisted, network evaluated
and decided, hard handover (similar to GSM) is proposed.
For NRT Services, In case an MS uses only NRT services, a
forward mobile evaluated HO (MEHO)with background control
from the network using broadcast HO parameters is proposed.
HO is performed in between the transmission of data packets
(similar to a cell re-selection process).
In case an MS have been allocated at the same time both RT and
and NRT services, the HO for the RT service is prioritized over
the NRT service.

84. General TDD Interference Problem (MS to MS Interference)
BS 2
MS 2
MS 1
BS 1

85. Innovative applications and services are essential to success of UMTS
Here are some application examples:
Internet-based services
Downloading entertainment files (e.g. games, CD quality music, etc.)
Mobile e-commerce (Shopping / banking)
Location-based services (Car navigation, safety, vehicle roadside assistance, field service business, local information services)
Transmission of photographs directly from digital cameras
Live broadcasting (Voice and video)
Health monitoring and provision of health warning

86. UMTS – Phase I PDN Internet PSTN HLR GGSN SGSN BSC RNC BTS Node BGc C
GGSN
Circuit Switched
(GSM)
GMSC Gr
Packet Switched
(GPRS) D Gn Gs
SGSN
SMSC/
VLR Iu A Iu
BSC Gb
RNC
GERAN
UTRAN
BTS
Node B

87. Example network implementation-Phase 2
IP / MobileIP
home network HA
UTRAN I u
IGSN
HLR
SMS
AUC
...
MAP
Internet IP
Data & Signaling
Signaling Gh
Example network implementation-Phase 2
Legacy Network
PSTN
MGW

88. Legacy mobile
signalling
network
Applications
& Services
Multimedia
IP networks
SGW Mh Mm Ms
HSS
(HLR)
CSCF Cx Mg Gi Mr Gi Gr
MRF Gc TE MT
GERAN Gi
MGCF R Um Mc
Iu-PS
SGSN
GGSN
PSTN/
legacy/external Gn Gp Gi
MGW TE MT
UTRAN
EIR R Uu Gf Gn
GGSN
Other PLMN
SGSN
Signalling interface
Signalling and data transfer interface
Simplified architecture for the support of IP-based multimedia services in 3GPP release 5

89. New Functional Entities for the All IP Architecture
Call State Control Function (CSCF) executes the call control. It is based on the
IETF Session Initiation Protocol (SIP).
Media GateWay (MGW) provides an inter-connection from GGSN to legacy
circuit-switched networks such as PSTN.
Media Gateway Control Function (MGCF) controls the MGW.
Media Resource Function (MRF) performs multiparty call and multimedia
conferencing functions.
Signalling GateWay (SGW) performs signalling conversion to/from legacy
mobile signalling network.
Home Subscriber Server (HSS) is an evolved HLR.

91. IMT-2000 Terrestrial Radio Transmission Technology (RTT) Proposals
Universal Wireless Communications (UWC-136) - USA TIA TR45.3
Wireless Multimedia & Messaging Services Wideband CDMA (WIMS:CDMA)
- USA TIA TR46.1
Time-Division Synchronous CDMA (TD-SCDMA) - China Academy of
Telecommunication Technology (CATT)
Wideband CDMA (W-CDMA) - Japan ARIB
Asynchronous DS-CDMA (CDMA II) - S. Korea TTA
North American: Wideband CDMA (NA: W-CDMA) - USA T1P1-ATIS
Wideband CDMA: IS-95 (cdma2000) - USA TIA TR45.5
Multiband synchronous DS-CDMA (CDMA I) - S. Korea TTA
Digital Enhanced Codeless Telecommunications (DECT) - ETSI
UMTS Terrestrial Radio Access: Wideband CDMA (UTRA: W-CDMA) -ETSI SMG2

92. The operators Harmonisation Group (OHG) proposed a globally harmonised 3G W-CDMA standard with three operational modes in 1998.
1. FDD mode Direct Sequence (ETSI’s UTRA
supported by ARIB)
2. FDD mode Multi-Carrier (TIA’s cdma 2000)
3. TDD mode - TD/CDMA (ETSI’s UTRA)

93. Towards a common core network for third
generation (3G) mobile communications systems
On 10 June 1999, nine global leaders in wireless communications - AT&T,
BT, Nokia, Nortel Networks, Telenor and TIM formed a 3G.IP focus group
to develop an all IP based architecture for 3rd generation mobile systems.
The 3G.IP group is planning to set the direction and requirements for the
working towards a common core network, based on evolution from the
GPRS core network standard, which will fully support advanced IP voice
telephony, data and multimedia applications.

94. IMT - 2000 IMT-2000 Terrestrial Radio Interfaces
IMT-TC
Time Code
TD/CDMA(UTRATDD)
TD/SCDMA
IMT-DS
Direct Spread
W-CDMA
(UTRA FDD)
IMT-MC
Multi Carrier
cdma2000
IMT-SC
Single Carrier
UWC-136
IMT-FT
Frequency Time
DECT
Flexible connection between Radio Interfaces and Core Networks
Core Networks
Evolved GSM (MAP)
Evolved ANSI-41
IP-based Networks
Network-to-Network Interfaces
Source: ITU

95. References 1. “Concept Group Alpha-wideband Direct-Sequence CDMA”,
Todc SMG2 270/97.
2. “Concept Group Delta-wideband TDMA / CDMA”, Tdoc
SMG2 UMTS D9/97.
3. “The ETSI UMTS Terrestrial Radio Access (UTRA) ITU-R RTT
Candidate Submission”, June 1998.
4. “cdma2000 RTT Candidate Submission to ITU-R”, TIA
Submission, June 1998. 5.