Andreas Springer • Robert Weigel

UMTS
The Physical Layer
of the Universal
Mobile Telecommunications
System

With 139 Figures

Springer
Contents

1. Introduction 1

2. Fundamentals 5
2.1 Digital Modulation 5
2.1.1 Equivalent Baseband Representation 5
2.1.2 Power Spectral Density 6
2.1.3 Constellation Diagram 7
2.1.4 Linear Modulation Techniques 8
2.1.5 Nonlinear Modulation Techniques 16
2.1.6 Bandwidth Efficiency and Spectral Properties 18
2.1.7 Bit Error Properties 22
2.2 Basic Terms in Mobile Radio 24
2.2.1 Duplex Techniques 24
2.2.2 Hierarchical Cell Structure and Frequency Reuse 26
2.2.3 Multiple Access 27
2.3 The Mobile Radio Channel 31
2.3.1 Overview 31
2.3.2 Multipath Propagation 32
2.3.3 Impulse Response Model 33
2.3.4 Parameters of the Mobile Radio Channel 34
2.3.5 Path Loss 36
2.3.6 Large Scale Fading 36
2.3.7 Small Scale Fading 37
2.3.8 Spatial Dispersion 40
2.3.9 Diversity Techniques 41
2.3.10 Combining Techniques 42
2.4 RF Fundamentals 43
2.4.1 Nonlinearity 43
2.4.2 Noise Figure 48
2.4.3 Crest Factor 49
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3. Spread Spectrum Techniques ^

3.1 Definition
3.2 Direct Sequence Spread Spectrum
53
3.2.1 Principle
3.2.2 Optimum Receiver 57
3.3 Frequency Hopping Spread Spectrum 59
3.4 Time Hopping Spread Spectrum 62
3.5 Chirp Spread Spectrum 62
3.6 Synchronization 64
3.6.1 Acquisition 65
3.6.2 Tracking 67
3.7 History 70

4. Code Division Multiple Access 73

4.1 Spreading Codes 73
4.1.1 Performance Measure 73
4.1.2 M-Sequences 75
4.1.3 Gold Sequences 77
4.1.4 Walsh Sequences 78
4.2 Receiver Structures 80
4.2.1 Correlation Receiver 80
4.2.2 RAKE Receiver 82
4.2.3 Advanced Receiver Structures 85
4.3 Power Control 88
4.3.1 Open Loop Power Control 89
4.3.2 Closed Loop Power Control 90
4.3.3 Outer Loop Power Control 90

5. Introduction to UMTS 91
5.1 Definition and Concept of Third Generation Mobile Commu-
nication Systems 91
5.2 Market Aspects 93
5.3 Spectrum Issues 95
5.4 Standardization 97
5.4.1 Development of 3G Systems 97
5.4.2 IMT-2000 Family of Standards 100
5.4.3 Sources 101

6. UTRA FDD Mode . . ., 103

6.1 Key Parameters 103
6.2 System Architecture 103
6.2.1 Layer Structure 105
6.2.2 Services and QoS 106
6.3 Transport and Physical Channels 109
6.3.1 Dedicated Channel 109
 Contents XI

6.3.2 Random Access Channel 114

6.3.3 Common Packet Channel 115
6.3.4 Broadcast Channel 115
6.3.5 Forward Access Channel 115
6.3.6 Paging Channel 116
6.3.7 Downlink Shared Channel 116
6.3.8 Synchronization Channel 116
6.3.9 Common Pilot Channel 117
6.3.10 Acquisition Indication Channel 118
6.3.11 Paging Indicator Channel 118
6.3.12 CPCH Status Indicator Channel 118
6.3.13 CPCH Access Preamble Acquisition Indicator Channel 119
6.3.14 CPCH Collision Detection/Channel Assignment Indi-
cator Channel 119
6.4 Spreading and Modulation 119
6.4.1 Channelization 119
6.4.2 Scrambling 124
6.4.3 Synchronization Codes 132
6.4.4 Modulation 132
6.5 Multiplexing, Channel Coding, and Interleaving 133
6.6 Physical Layer Procedures 137
6.6.1 Cell Search 137
6.6.2 Power Control 138
6.6.3 Random Access Procedure 141
6.6.4 CPCH Access Procedure 142
6.6.5 Downlink Transmit Diversity 142
6.6.6 Handover 146
6.7 Compressed Mode 147
6.7.1 Frame Structure 147
6.7.2 Transmission Time Reduction 148
6.7.3 Transmission Gap Position 149
6.7.4 Spreading and Scrambling Code Allocation 150
6.7.5 Transmit Power 150
6.8 RF Characteristics of the FDD Mode 151
6.8.1 Frequency Bands and Channel Arrangement 152
6.8.2 MS Transmitter Requirements 152
6.8.3 BS Transmitter Requirements 160
6.8.4 MS Receiver Test Cases 166
6.8.5 BS Receiver Test Cases 177

7. UTRA TDD Mode 181

7.1 Key Parameters 181
7.2 Transport and Physical Channels for the 3.84 Mcps Option . . 181
7.2.1 Dedicated Channel 183
7.2.2 Random Access Channel 186
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7.2.3 Broadcast Channel 187

7.2.4 Paging Channel and Forward Access Channel 187
7.2.5 Synchronization Channel 187
7.2.6 Uplink and Downlink Shared Channel 189
7.2.7 Paging Indicator Channel 189
7.2.8 The Physical Node B Synchronization Channel 189
7.3 Transport and Physical Channels for the 1.28 Mcps Option . . 189
7.3.1 Dedicated Channel 190
7.3.2 Broadcast Channel 192
7.3.3 Random Access Channel 192
7.3.4 Fast Physical Access Channel 192
7.3.5 The Synchronization Channels (DwPCH, UpPCH) . . . 192
7.4 Spreading and Modulation for the 3.84 Mcps Option 193
7.4.1 QPSK Mapping of the Data Bits 193
7.4.2 Channelization 193
7.4.3 Scrambling 194
7.4.4 Combination of Different Channels 194
7.4.5 Synchronization Codes 195
7.4.6 Modulation 196
7.5 Spreading and Modulation for the 1.28 Mcps Option 197
7.5.1 Mapping of the Data Bits 197
7.5.2 Synchronization Codes 198
7.6 Multiplexing, Channel Coding, and Interleaving 198
7.7 Physical Layer Procedures 199
7.7.1 Transmit Power Control 199
7.7.2 Timing Advance (3.84 Mcps Option) 203
7.7.3 UL Synchronization (1.28 Mcps Option) 203
7.7.4 Cell Search for the 3.84 Mcps Option 204
7.7.5 Cell Search for the 1.28 Mcps Option 205
7.7.6 Discontinuous Transmission 205
7.7.7 Downlink Transmit Diversity 206
7.7.8 Random Access Procedure 206
7.7.9 DSCH Procedure 209
7.7.10 Node B Synchronization Procedure over the Air 209
7.7.11 Idle Periods in DL (IPDL) 210
7.8 RF Characteristics of the TDD Mode 210
7.8.1 Frequency Bands and Channel Arrangement in TDD
Mode 210
7.8.2 MS Transmitter Requirements for the TDD Mode . . . . 211
7.8.3 BS Transmitter Requirements for the TDD Mode 214
7.8.4 MS Receiver Test Cases for the TDD Mode 218
7.8.5 BS Receiver Test Cases for the TDD Mode 226
 Contents XIII

8. UMTS Transceiver Design Issues 233

8.1 Receiver Architectures 233
8.1.1 Heterodyne Receiver 233
8.1.2 Homodyne Receiver 235
8.1.3 Wideband IF Receiver with Double Conversion 240
8.1.4 Low-IF Receiver 242
8.1.5 Digital-IF Receiver 243
8.2 Transmitter Architectures 244
8.2.1 Heterodyne Transmitter 244
8.2.2 Homodyne Transmitter 245
8.2.3 Phase-Locked-Loop-Based Transmitters 245
8.3 UMTS Front-End Circuits: Current Developments 246
8.3.1 Homodyne Receivers 246
8.3.2 Heterodyne Receivers 250
8.3.3 Other Receiver Architectures 251
8.3.4 Comparison of the Described Receivers 252
8.3.5 Multi-Mode Receivers 254
8.3.6 Heterodyne Transmitters 254
8.3.7 Homodyne Transmitters 255
8.4 Future Trends 255
8.4.1 RF CMOS Technology 255
8.4.2 Low-Power Design 256
8.4.3 Integration of RF and Baseband Functionalities 257
8.4.4 Software-Defined Radio 257

A. Error Function, Complementary Error Function, and Q-

Function 259

B. QoS Parameters for Bearer Services 263

C. UTRA FDD Reference 265
C.I Environmental Conditions 265
C.I.I Temperature 265
C.1.2 Voltage 265
C.1.3 Vibration 266
C.2 Downlink DPDCH Slot Formats 266
C.3 Uplink DPDCH Slot Formats 267
C.4 Quantization of the Gain Factors 267
C.5 Scrambling Code Generation 268
C.5.1 Uplink Scrambling Code 268
C.5.2 Downlink Scrambling Code Generator Polynomials . . . 269
C.6 Synchronization Codes 269
C.7 OCNS 270
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D. UTRA TDD Reference 271

D.I Channelization Code Specific Multiplier 271
D.2 Weight Factors 272
D.3 Gain Factors 272
D.4 Synchronization Codes 272

E. List of Acronyms 275

References 283
Index 293