3G/4G Mobile Communications Systems

Dr. Stefan Brck Qualcomm Corporate R&D Center Germany

Chapter V:

Physical Layer of UMTS (R99/HSPA)

Slide 2

Physical Layer of UMTS (R99/HSPA)

Basic CDMA Concept Selected Physical Layer Aspects UMTS (R99) High-Speed Downlink Packet Access (HSDPA) High-Speed Uplink Packet Access (HSUPA, E-DCH)

Slide 3

Basic CDMA Concept

Code Division Multiple Access (CDMA) is a method in which multiple users occupy the same time and frequency allocations
4

Slide 4

Orthogonal Spreading - Basics

Transmission using the entire bandwidth is achieved by spreading each symbol with a pre-defined sequence with fixed chip rate Increase of the utilized bandwidth The figure shows an example of a spreading sequence (-1, 1, 1, -1)

Slide 5

Despreading Basics

The receiver despreads the chips by using the same orthogonal sequence used at the transmitter Note that under no noise conditions, the symbols are completely recovered without any errors

Slide 6

OVSF Tree

Orthogonal Variable Spreading Factor (OVSF) codes are used to spread to the chip rate on both the UL and the DL The chip rate in UMTS is 3.84 Mcps On the UL, different OVSF codes separate dedicated Physical Channels (e.g. DPCCH, DPDCH) from a single terminal On the DL, different OVSF codes separate UEs within a single cell
7

Slide 7

Scrambling Codes
In DL (usually) one OVSF tree per cell, in UL one OVSF tree per terminal is used for spreading
The spreading codes are also called channelization codes

Strong interference would occur if a neighbor cell in DL or neighbor terminal is UL would use the same channelization code additional protection is needed The solution is applying a scrambling sequence per cell (DL) and per terminal (UE)
The chip rate of the scrambling sequence is 3.84 Mcps as well

For the DL there are 512 so-called primary scrambling codes

Re-use of the scrambling codes is needed in the network

For the UL there are roughly 224 different scrambling codes

Slide 8

Physical Channels in UMTS

Primary common control physical channel, PCCPCH (DL) Secondary common control physical channel, SCCPCH (DL) Physical layer only channels Synchronization channel, SCH (DL) Common pilot channel, CPICH (DL) Paging indicator channel, PICH (DL) Acquisition indicator channel, AICH (DL) Physical random access channel, PRACH (UL) Dedicated physical channel, DPCH, DL Dedicated physical channel DPCH,UL

Slide 9

Physical Layer Timing in UMTS (R99)

Frame Timing
Transmission Time Interval (TTI)
TTI: 10, 20, 40, 80 ms boundaries

10 ms radio frames, 15 slots per frame 38400 chips per frame

Slot Timing
2560 chips per slot, 0.67 ms

Symbol Timing
Symbol consists of a number of chips OVSF determines chips/symbol OVSF ranges from 4 to 512 chips/symbol (640 to 5 symbols per slot)

10

Slide 10

Multiplexing and Coding Procedure

The transport channel data is broken into blocks and delivered every transport time interval (TTI) for that particular transport channel. The end result of the Physical Layers actions on the transport channel data is a Coded Composite Transport Channel (CCTrCH)
11

Slide 11

Downlink Generic Physical Layer Procedure

Transport channel data delivered every TTI CRC Attachment Channel Coding Rate Matching Interleaving Mapping data onto physical channels Spreading using OVSF Channel codes Scrambling QPSK Modulation

12

Slide 12

Downlink Channel Coding

In UMTS, two types of forward error correction coding are applied Convolutional codes
Used for common and dedicated transport channels
Applied for data rates 32 kbps (roughly)

Constraint length K = 9 Coding rate R = 1/2 and R = 1/3 depending on the transport channel

Turbo codes
Used for dedicated transport channels
Applied for data rates 64 kbps (roughly)

Based on parallel concatenated convolutional codes Mother code rate is R = 1/3

13

Slide 13

Downlink Spreading and Scrambling

The symbols are spread using the same channelization code

Cch,SF,m is the mth OVSF code of spreading factor SF

Afterwards, the signal is scrambled using either a primary or secondary scrambling code (PSC, SSC) The Gs are the DL weight factors: G is for the Physical Channels, Gp, Gs for the Primary and Secondary Synchronization Channels (not covered)
14

Slide 14

Downlink Physical Channel

The DPDCH and the DPCCH are time multiplexed into the DPCH The DPCCH includes TPC, TFCI and Pilot bits
TPC bits are power control commands for the uplink TFCI bits include information of the transport format Pilots bits are used for channel estimation

15

Slide 15

Uplink Generic Physical Layer Procedure

Transport channel data delivered every TTI CRC Attachment Channel Coding Interleaving Rate Matching Mapping data onto physical channels Spreading using OVSF Channel codes PN Scrambling QPSK Modulation

16

Slide 16

Uplink Spreading and Scrambling

The physical channels are spread to the chip rate with individual channelization codes and then scrambled with the same scrambling code In the UL, the DPCCH is always on the Q branch The DPDCHs can be on both the I and Q branch If there is only one DPDCH, it is on the I branch (BPSK modulation) s are the UL weight factors, d is for data and c is for control
17

Slide 17

Uplink Physical Channel

UL DPCH is consists of two Physical Channels, the DPDCH and the DPCCH UL Dedicated Physical Data Channel (DPDCH) sent on I data branch UL Dedicated Physical Control Channel (DPCCH) sent on Q data branch

18

Slide 18

Common Pilot Channel

The Common Pilot Channel (CPICH) provides an in-cell timing reference and is used for DL channel estimation There are two types of Common Pilot Channels
Primary CPICH (P-CPICH) Secondary CPICH (S-CPICH)

19

Slide 19

Primary and Secondary Common Pilot Channel

The properties of the P-CPICH are as follows:
The same channelization code is always used for the P-CPICH, Cch,256,0 The P-CPICH is scrambled by the PSC There is one and only one P-CPICH per cell The P-CPICH is broadcast over the entire cell
Typically 10% of the DL power are allocated to the P-CPICH

The properties of the S-CPICH are as follows:

An arbitrary channelization code of SF 256 is used for the S-CPICH An S-CPICH is scrambled by either the PSC or an SSC There may be zero, one, or several S-CPICH per cell An S-CPICH may be transmitted over the entire cell or only over part of the cell When a S-CPICH is used, it is scrambled with a PSC or SSC

20

Slide 20

HSDPA Background
Initial goals
Establish a more spectral efficient way of using DL resources providing data rates beyond 2 Mbit/s, (up to a maximum theoretical limit of 14.4 Mbps) Optimize interactive & background packet data traffic, support streaming service Design for low mobility environment, but not restricted Techniques compatible with advanced multi-antenna and receivers

Standardization started in June 2000

Broad forum of companies Major feature of Release 5

Enhancements in R7

HSPA+

Advanced transmission to increase data throughput Signaling enhancements to save resources

21

Slide 21

HSDPA Basics
Evolution from R99/Rel. 4
5 MHz Bandwidth Same spreading by OVSF and scrambling codes Turbo coding

New concepts in Rel. 5

Adaptive modulation (QPSK vs. 16QAM), coding and multicodes (fixed SF = 16) Fast scheduling in NodeB (TTI = 2ms) Hybrid ARQ

Enhancements in Rel. 7 HSPA+ Signaling enhancements 64QAM MIMO techniques, increase of the bandwidth (dual carrier)

22

Slide 22

Higher Order Modulation

Standard modulation scheme in UMTS networks
QPSK 2 bit per symbol

With HSDPA, modulation can be switched between two schemes

QPSK 16-QAM 2 bit per symbol 4 bit per symbol

Low bitrate robust to disturbances

23

High bitrate Sensitive to disturbances

Slide 23

HS-DSCH Principle I
Channelization codes at a fixed spreading factor of SF = 16 Up to 15 codes in parallel
SF=2 SF=4 SF=8 C16,15 SF=16 Physical channels (codes) to which HS-DSCH is mapped C16,0 CPICH, etc.

OVSF channelization code tree allocated by CRNC HSDPA codes autonomously managed by Node B MAC-hs scheduler Example: 12 consecutive codes reserved for HS-DSCH, starting at C16,4 Additionally, HS-SCCH codes with SF = 128 (number equal to simultaneous UEs)
24

Slide 24

HS-DSCH Principle II
Resource sharing in code as well as time domain: Multi-code transmission, UE is assigned to multiple codes in the same TTI Multiple UEs may be assigned channelization codes in the same TTI
Code

Time (per TTI) Data to UE #1 Data to UE #2 Data to UE #3 not used

Example: 5 codes are reserved for HSDPA, 1 or 2 UEs are active within one TTI

25

Slide 25

UMTS Channels with HSDPA

Cell 1 = Serving HS-DSCH cell

Cell 2 UE

Rel-5 HS-DSCH
DL PS service (Rel-6: DL DCCH)

R99 DCH (in SHO)

UL/DL signalling (DCCH) UL PS service UL/DL CS voice/ data

26

Slide 26

HSDPA Channels
HS-PDSCH
Carries the data traffic Fixed SF = 16; up to 15 parallel channels QPSK: 480 kbps/code, 16QAM: 960 kbps/code

HS-SCCH
Signals the configuration to be used in this TTI
HS-PDSCH codes, modulation format, TB information

Fixed SF = 128 Sent two slots (~1.3msec) in advance of HS-PDSCH

HS-DPCCH
Feedbacks ACK/NACK and channel quality information (CQI) Fixed SF = 256, code multiplexed to UL DPCCH Feedback sent ~5msec after received data

27

Slide 27

Timing Relations (DL)

Tslot (2560 chips) Downlink DPCH 3 Tslot (2 msec) HS-SCCH ch. code & mod TB size & HARQ Info HS-DSCH TTI = 3 Tslot (2 msec) HS-PDSCH HS-DSCH-control = 2 Tslot DATA

NodeB Tx view Fixed time offset between the HS-SCCH information and the start of the corresponding HS-DSCH TTI: HS-DSCH-control (2 Tslot= 1.33msec) HS-DSCH and associated DL DPCH not time-aligned

28

Slide 28

Timing Relations (UL)

Tslot (0.67 ms) Uplink DPCCH 3 Tslot (2ms) HS-PDSCH DATA UEP = 7.5 Tslot (5ms) HS-DPCCH CQI A/N CQI A/N m 256 chips CQI A/N CQI 0-255 chips

A/N

UE Rx view Alignment to m 256 to preserve orthogonality to UL DPCCH HS-PDSCH and associated UL DPCH not time-aligned (but quasi synch)

29

Slide 29

Hybrid Automatic Repeat Request

HARQ is a stop-and-wait ARQ
Up to 8 HARQ processes per UE In HSDPA the HARQ is asynchronous and adaptive

Retransmissions are done at MAC-hs layer, i.e. in the Node B

Triggered by NACKs sent on the HS-DPCCH

The mother code is a R = 1/3 Turbo code Code rate adaptation done via rate matching, i.e. by puncturing and repeating bits of the encoded data Two types of retransmission
Incremental Redundancy
Additional parity bits are sent when decoding errors occured Gain due to reducing the code rate

Chase Combining
The same bits are retransmitted when decoding errors occured Gain due to maximum ratio combining

HSDPA uses a mixture of both types

30

Slide 30

HARQ Processes
RTTHARQ Data HS-PDSCH

ACK/NACK HS-DPCCH

HARQ is a simple stop-and-wait ARQ Example

RTTmin = 5 TTI Synchronous retransmissions (MAC-hs decides on transmission)

UE support up to 8 HARQ processes (configured by Node B)

Min. number: to support continuous reception Max. number: limit of HARQ soft buffer Number of HARQ processes configured specifically for each UE category
31

Slide 31

Adaptive Modulation and Coding

In HSDPA adaptive Modulation and Coding is applied
The data rate can be changed per TTI by changing the transport block size as well as the number of codes being used in parallel The mother code rate is R = 1/3 Codes rates up to R = 1 are achieved by puncturing

Users in favorable channel conditions (based on Channel Quality indication) are assigned higher code rates and higher order modulation (16QAM, 64 QAM) It is the task of the scheduler to decide on the instantaneous data rate

32

Slide 32

Supported Transport Block Sizes (Rel. 5)

Index 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 32 33 34 35 36 37 38 39 40 41 42 43 44 45 TB Size 137 149 161 173 185 197 209 221 233 245 257 269 281 293 305 317 329 341 353 365 377 389 401 413 425 437 449 461 473 485 497 509 521 533 545 557 569 581 593 605 616 627 639 650 662 Index 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 TB Size 1380 1405 1430 1456 1483 1509 1537 1564 1593 1621 1651 1681 1711 1742 1773 1805 1838 1871 1905 1939 1974 2010 2046 2083 2121 2159 2198 2238 2279 2320 2362 2404 2448 2492 2537 2583 2630 2677 2726 2775 2825 2876 2928 2981 3035 Index 171 172 173 174 175 176 177 178 179 180 181 182 183 184 185 186 187 188 189 190 191 192 193 194 195 196 197 198 199 200 201 202 203 204 205 206 207 208 209 210 211 212 213 214 215 TB Size 6324 6438 6554 6673 6793 6916 7041 7168 7298 7430 7564 7700 7840 7981 8125 8272 8422 8574 8729 8886 9047 9210 9377 9546 9719 9894 10073 10255 10440 10629 10821 11017 11216 11418 11625 11835 12048 12266 12488 12713 12943 13177 13415 13657 13904

46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85

674 686 699 711 724 737 751 764 778 792 806 821 836 851 866 882 898 914 931 947 964 982 1000 1018 1036 1055 1074 1093 1113 1133 1154 1175 1196 1217 1239 1262 1285 1308 1331 1356

131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170

3090 3145 3202 3260 3319 3379 3440 3502 3565 3630 3695 3762 3830 3899 3970 4042 4115 4189 4265 4342 4420 4500 4581 4664 4748 4834 4921 5010 5101 5193 5287 5382 5480 5579 5680 5782 5887 5993 6101 6211

216 217 218 219 220 221 222 223 224 225 226 227 228 229 230 231 232 233 234 235 236 237 238 239 240 241 242 243 244 245 246 247 248 249 250 251 252 253 254

14155 14411 14671 14936 15206 15481 15761 16045 16335 16630 16931 17237 17548 17865 18188 18517 18851 19192 19538 19891 20251 20617 20989 21368 21754 22147 22548 22955 23370 23792 24222 24659 25105 25558 26020 26490 26969 27456 27952

33

Slide 33

HSDPA UE Categories
The specification allows some freedom to the UE vendors 12 different UE categories for HSDPA with different capabilities (Rel.5) The UE capabilities differ in
Max. transport block size (data rate) Max. number of codes per HS-DSCH Modulation alphabet (QPSK only) Inter TTI distance (no decoding of HS-DSCH in each TTI) Soft buffer size

The MAC-hs scheduler needs to take these restrictions into account

34

Slide 34

HSDPA UE Physical Layer Capabilities (Rel. 5)

HS-DSCH Category Maximum number of HS-DSCH multi-codes 5 5 5 5 5 5 10 10 15 15 5 5 Minimum interTTI interval Maximum MAC-hs TB size Total number of soft channel bits 19200 28800 28800 38400 57600 67200 115200 134400 172800 172800 14400 28800 Theoretical maximum data rate (Mbit/s) 1.2 1.2 1.8 1.8 3.6 3.6 7.2 7.2 10.1 14.0 0.9 1.8

Category 1 Category 2 Category 3 Category 4 Category 5 Category 6 Category 7 Category 8 Category 9 Category 10 Category 11* Category 12*

3 3 2 2 1 1 1 1 1 1 2 1

7298 7298 7298 7298 7298 7298 14411 14411 20251 27952 3630 3630

Note: UEs of Categories 11 and 12 support QPSK only

cf. TS 25.306
Slide 35

35

Channel Quality Information (CQI)

Signalled to the Node B in UL each 2ms on HS-DPCCH Integer number from 0 to 30 corresponds to a Transport Format Resource Combination (TFRC) given by
Modulation Number of channelisation codes Transport block size

For the given conditions the BLER for this TFRC shall not exceed 10% Mapping defined in TS 25.213 for each UE category

36

Slide 36

CQI Mapping Table (Rel. 5)

CQI value 0 1 6 7 15 16 23 24 25 26 27 28 29 30 9719 11418 14411 17237 21754 23370 24222 25558 7 8 10 12 15 15 15 15 16-QAM 16-QAM 16-QAM 16-QAM 16-QAM 16-QAM 16-QAM 16-QAM 0 0 0 0 0 0 0 0 3319 3565 5 5 QPSK 16-QAM 0 0 461 650 1 2 QPSK QPSK 0 0 Transport Block Size N/A 137 1 QPSK Reference power Number of Modulation adjustment HS-PDSCH Out of range 0 28800 0 NIR XRV

Tables specified in TS 25.214

For each UE category Condition: BLER 10%

Example for UE category 10

37

Slide 37

Background
E-DCH is a Rel. 6 feature with following targets
Improve coverage and throughput, and reduce delay of the uplink dedicated transport channels Priority given to services such as streaming, interactive and background services, conversational (e.g. VoIP) also to be considered Full mobility support with optimizing for low/ medium speed Simple implementation Special focus on co-working with HSDPA

Standardization started in September 2002

Study item completed in February 2004 Stage II/ III started in September/ December 2004 Release 6 frozen in December 2005/ March 2006 Various improvements have been introduced in Rel. 7 & Rel. 8

38

Slide 38

E-DCH Basics
E-DCH is a modification of DCH It is not a shared channel, such as HSDPA in the downlink !! PHY taken from R99
Turbo coding and QPSK modulation
In Rel. 7 also 16QAM modulation is supported

Power Control 10 msec/2 msec TTI Spreading on separate OVSF code, i.e. code multiplexing with existing PHY channels

MAC similarities to HSDPA

Fast scheduling Stop and Wait HARQ: but synchronous

New principles
Intra Node B softer and Inter Node B soft HO should be supported for the EDCH with HARQ Scheduling distributed between UE and Node B

39

Slide 39

UMTS Channels with E-DCH

Cell 1 = Serving E-DCH cell Rel-6 E-DCH (in SHO)

UL PS service (DTCH) UL Signalling (DCCH)

Cell 2 UE R99 DCH (in SHO)

UL/DL signalling (DCCH) UL/DL CS voice/ data

Rel-5 HS-DSCH (not shown)

DL PS service (DTCH) DL signalling (Rel-6, DCCH)

40

Slide 40

E-DCH Channels
E-DPDCH
Carries the data traffic Variable SF = 256 2 UE supports up to 4 E-DPDCH in parallel

E-DPCCH
Contains the configuration as used on E-DPDCH Fixed SF = 256

E-RGCH/ E-HICH
E-HICH carries the HARQ acknowledgements E-RGCH carries the relative scheduling grants Fixed SF = 128 Up to 40 users multiplexed onto the same channel by using specific signatures

E-AGCH
Carries the absolute scheduling grants Fixed SF = 256

E-RGCH and E-AGCH are used for providing scheduled grants to the UE
41

Slide 41

E-DPDCH and E-DPCCH Physical Layer Structure

E-DPDCH Data, Ndata bits Tslot = 2560 chips, Ndata = M*10*2 bits (k=07)
k

E-DPCCH

10 bits

Tslot = 2560 chips

Slot #0

Slot #1

Slot #2

Slot #3

Slot #i

Slot #14

Subframe #0 1 subframe = 2 ms

Subframe #1

Subframe #2

Subframe #3

Subframe #4

1 radio frame, Tf = 10 ms

Slot Format #i 0 1 2 3 4 5 6 7 8 9

Channel Bit Rate (kbps) 15 30 60 120 240 480 960 1920 1920 3840

Bits/Symbol M 1 1 1 1 1 1 1 1 2 2

SF 256 128 64 32 16 8 4 2 4 2

Bits/ Frame 150 300 600 1200 2400 4800 9600 19200 19200 38400

Bits/ Subframe 30 60 120 240 480 960 1920 3840 3840 7680

Bits/Slot Ndata 10 20 40 80 160 320 640 1280 1280 2560

42

Slide 42

Spreading for E-DPDCH and E-DPCCH

ced,1 ced,K are the channelization codes for the E-DPDCHs, cec is the channelisation code for the E-DPCCH ed,1 ed,K are the gain factors for the E-DPDCHs, ec is the gain factor for the E-DPCCH

43

Slide 43

Timing Relation (UL)

Downlink DPCH CFN CFN+1

15 Tslot (10 msec) Uplink DPCCH 0.4 Tslot (1024 chips) 148chips CFN

E-DPDCH/ E-DPCCH

10 msec TTI 2msec TTI Subframe #0 3 Tslot (2 msec) Subframe #1

10 msec Subframe #2 Subframe #3 Subframe #4

E-DPDCH/ E-DPCCH time-aligned to UL DPCCH

44

Slide 44

E-AGCH Physical Layer Structure

The E-AGCH carries the absolute scheduling grant, which represents the maximum E-DPDCH / DPCCH power ratio (5 bits) It is convolutional encoded with a R = 1/3 code The spreading factor is SF = 256

45

Slide 45

E-RGCH/E-HICH Physical Layer Structure

For E-RGCH and E-HICH the same channel structure is applied The E-RGCH is a dedicated or common downlink physical channel, which carries the relative scheduling grants from the Node B In each slot a sequence of 40 ternary values is transmitted Up to 40 users can be multiplexed on the same channel In each cell EHICH and E-RGCH for the same user are on the same code
46

Slide 46

HSUPA UE Categories
E-DCH Category Category 1 Category 2 Max. num. Codes 1 2 Min SF EDCH TTI Maximum MAC-e TB size 7110 14484/ 2798 14484 20000/ 5772 20000 20000/ 11484 20000/ 22996 Theoretical maximum PHY data rate (Mbit/s) 0.71 1.45/ 1.4 1.45 2.0/ 2.89 2.0 2.0/ 5.74 2.0/ 11.5

SF4 SF4

10 msec 10 msec/ 2 msec 10 msec 10 msec/ 2 msec 10 msec 10 msec/ 2 msec 10 msec/ 2 msec

Category 3 Category 4

2 2

SF4 SF2

Category 5 Category 6

2 4

SF2 SF2

Category 7 (Rel. 7)

SF2

When 4 codes are transmitted, 2 codes are transmitted with SF2 and 2 with SF4 UE Category 7 supports 16QAM modulation
47

Slide 47

Hybrid ARQ Operation

N-channel parallel HARQ with stop-and-wait protocol Number of HARQ processes N to allow uninterrupted E-DCH transmission
10 msec TTI: 4 2 msec TTI: 8

Synchronous retransmissions Retransmission of a MAC-e PDU follows its previous HARQ (re)transmission after N TTI = 1 RTT Incremental Redundancy via rate matching Max. # HARQ retransmissions specified in HARQ profile
ACK NACK ACK NACK

New Tx 1 New Tx 2 New Tx 3 New Tx 4 Re-Tx 1

New Tx 2 Re-Tx 3

New Tx 4 Re-Tx 1

Re-Tx 2

NACK NACK

48

Slide 48

Transport Block Size Table for 10ms TTI

49

Slide 49