Dissertation Malkowski

Performance Evaluation of Packet Switched Services in UMTS
Von der Fakult at f ur Elektrotechnik und Informationstechnik der Rheinisch-Westf alischen Technischen Hochschule Aachen zur Erlangung des akademischen Grades eines Doktors der Ingenieurwissenschaften genehmigte Dissertation
vorgelegt von Diplom-Ingenieur Matthias Malkowski aus Essen Berichter: Universit atsprofessor Dr.-Ing. Bernhard Walke Universit atsprofessor Dr.-Ing. Peter Vary
Tag der m undlichen Pr ufung: 16. Januar 2012
ABSTRACT
vices the Universal Mobile Telecommunications System (UMTS) has been I introduced as a 3 Generation (3G) system for mobile communication.
rd
n order to deal with the increasing demands for high bit rate data ser-
With the goal to achieve high spectrum eciency and dierentiated Quality of Service (QoS) provisioning, UMTS traversed several evolutionary steps. From Release 99 to Release 7 of the 3rd Generation Partnership Project (3GPP) specications numerous features have been added and have been extended. Especially new transport channels like the High Speed Downlink Shared Channel (HS-DSCH) as part of the High Speed Downlink Packet Access (HSDPA) signicantly improved the performance for Packet Switched (PS) services. At the time of the introduction of UMTS in 2002 the Release 99 systems only reached a relatively low maximum data rate of less than 400 kbit/s. With the Release 5 HS-DSCH, deployed in Germany since 2007, data rates of up to 3.6 Mbit/s are oered. In certain areas an even higher theoretical throughput of 7.2 Mbit/s was made available. The maximum theoretical Release 5 throughput which is upper bounded to 14.4 Mbit/s was planned to be useable in Germany in 2010. Further enhancements as studied within this thesis are introduced in later releases. This thesis gives a comprehensive overview of UMTS with respect to its possibilities for the provision of PS services. The central question this thesis gives answers to is in how far the individual release of UMTS improve the ability to support mobile Internet services. Based on both link-level as well as system-level simulation the performance of the available options, i.e. Release 99 without HSDPA and the various HSDPA releases, are quantitatively compared. By referring to analytical models or related empirical work the results are being validated. Furthermore, the acquired results are benchmarked with the performance of Mobile Worldwide Interoperability for Microwave Access (WiMAX), another state-of-the-art system. With these comparisons conclusions about the possibilities and limitations of third generation mobile networks are given. Within the evaluations special focus is being put on the HSDPA as the most promising technology for the delivery of PS services. In this context
iv
Abstract
in-depth analyses of the most important features, i.e. Adaptive Modulation and Coding (AMC), Hybrid ARQ (HARQ) and fast scheduling, are performed. For vendor specic algorithms, e.g. receiver algorithms, scheduling algorithms or HARQ schemes, comparative analyses in terms of complexity and achievable performance are made. By presenting the release specic options and their performance, the system capacity and eciency, the technical limitations and drawbacks as well as possibilities for optimization and improvement, an audience including operators, vendors, interested users and mainly researchers is addressed.
KURZFASSUNG
zukommen, wurde UMTS als ein Mobilfunksystem der dritten GeneU ration eingef uhrt. Mit dem Ziel, hohe spektrale Ezienz und dierenzierte Dienstg ute zu gew ahrleisten, durchlief UMTS einige evolution are Schritte. Seit der ersten Version des durch die 3GPP spezierten Systems (Release 99) wurden zahlreiche Funktionen hinzugef ugt und verbessert. Insbesondere neue Transportkan ale, wie zum Beispiel der zum HSDPA geh ohrende HS-DSCH, verbesserten die Leistungsf ahigkeit f ur paketvermittelte Dienste signikant. Zum Zeitpunkt der Einf uhrung von UMTS im Jahr 2002 konnte das Release 99 System nur eine relativ niedrige maximale Datenrate von unter 400 kbit/s erreichen. Mit dem in Release 5 hinzugekommenen HS-DSCH, welcher in Deutschland seit 2007 zum Einsatz kommt, werden Datenraten bis zu 3.6 Mbit/s angeboten. In einigen Regionen ist sogar ein h oherer theoretischer Durchsatz von 7.2 Mbit/s verf ugbar. Der maximal m ogliche Durchsatz mit Release 5, welcher mit 14.4 Mbit/s seine obere Grenze hat, ist geplant ab 2010 in Deutschland nutzbar zu sein. Weitere Verbesserungen, welche in dieser Arbeit studiert werden, kommen in sp ateren Versionen des Standards hinzu. Diese Arbeit liefert einen umfangreichen Uberblick u ber UMTS in Bezug auf seine M oglichkeiten, paketvermittelte Dienste anzubieten. Die zentrale Frage, zu der diese Arbeit Antworten gibt, ist, inwieweit die einzelnen UMTS Versionen die F ahigkeit steigern, mobilen Zugang zum Internet zu bieten. Basierend auf Simulationen der Radioverbindung und des Komplettsystems wird die Leistungsf ahigkeit der verf ugbaren UMTS Optionen quantitativ verglichen. Unter Einbeziehung von analytischen Modellen und verwandten empirischen Arbeiten werden die Ergebnisse validiert. Des Weiteren werden die erlangten Ergebnisse mit der Leistungsf ahigkeit von Mobile WiMAX als modernem Referenzsystem verglichen. Mit Hilfe dieser Vergleiche wird ein Bild der M oglichkeiten und Grenzen der Mobilfunknetze der dritten Generation gegeben. Im Rahmen der Auswertungen wird speziell HSDPA als eine vielversprechende Technologie zur Erbringung paketvermittelter Dienste fokussiert. In diesem Kontext wird eine tiefgehende Analyse der wichtigsten Funk-
m der wachsenden Nachfrage nach hochbitratigen Datendiensten nach-
vi
Kurzfassung
tionen wie adaptive Modulation und Kodierung, hybrides ARQ Protokoll und schnelle Ressourcenzuteilung vorgenommen. F ur herstellerspezische Algorithmen, zum Beispiel Empfangsalgorithmus, Ressourcenzuteilungsalgorithmus und das verwendete hybride ARQ Schema, wird eine vergleichende Analyse in Bezug auf die Komplexit at und die Leistungsf ahigkeit durchgef uhrt. Durch die Pr asentation der spezischen Optionen und deren Leistungsf ahigkeit, der Kapazit at und Ezienz des Systems, der technischen Limitierungen und Nachteile als auch der M oglichkeiten f ur Optimierungen und Verbesserungen werden Betreiber von Mobilfunknetzen, Hersteller, interessierte Nutzer dieser Technologie und vor allem Forscher als Leser gezielt angesprochen.
CONTENTS
Abstract Kurzfassung Contents 1 Introduction 1.1 Motivation . 1.2 Objectives . . 1.3 Contributions 1.4 Outline . . .
iii v vii 1 3 3 4 5 7 7 9 12 16 20 21 22 23 26 30 32 32 33 34 34 35 37 39 43
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2 UMTS Architecture 2.1 Network Topology . . . . . . . . . . . . . . . . . . . . . . . 2.2 Radio Interface Protocols . . . . . . . . . . . . . . . . . . . 2.2.1 Radio Resource Control . . . . . . . . . . . . . . . . 2.2.2 Packet Data Convergence Protocol . . . . . . . . . . 2.2.3 Broadcast/Multicast Control . . . . . . . . . . . . . 2.2.4 Radio Link Control . . . . . . . . . . . . . . . . . . . 2.2.4.1 Transparent Mode . . . . . . . . . . . . . . 2.2.4.2 Unacknowledged Mode . . . . . . . . . . . 2.2.4.3 Acknowledged Mode . . . . . . . . . . . . . 2.2.5 Medium Access Control . . . . . . . . . . . . . . . . 2.2.5.1 Logical Channels . . . . . . . . . . . . . . . 2.2.5.1.1 Trac Channels . . . . . . . . . . 2.2.5.1.2 Control Channels . . . . . . . . . 2.2.5.2 Transport Channels . . . . . . . . . . . . . 2.2.5.2.1 Dedicated Transport Channels . . 2.2.5.2.2 Common Transport Channels . . . 2.2.5.3 Dedicated Channels and the MAC-d Entity 2.2.5.4 High Speed Downlink Packet Access . . . . 2.3 Physical Layer . . . . . . . . . . . . . . . . . . . . . . . . .
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viii
Contents
2.3.1
2.3.2
Transport Channel Coding and Multiplexing . . 2.3.1.1 Error Detection . . . . . . . . . . . . . 2.3.1.2 Forward Error Correction . . . . . . . . 2.3.1.3 Rate Matching . . . . . . . . . . . . . . 2.3.1.4 Interleaving . . . . . . . . . . . . . . . . 2.3.1.5 Constellation Rearrangement . . . . . . Physical Channels . . . . . . . . . . . . . . . . . 2.3.2.1 Downlink Physical Channel Processing 2.3.2.2 Uplink Physical Channel Processing . . 2.3.2.3 Frame Structure . . . . . . . . . . . . . 2.3.2.4 Modulation Mapping . . . . . . . . . . 2.3.2.5 Multiple Access . . . . . . . . . . . . . 2.3.2.6 Modulation . . . . . . . . . . . . . . . .
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44 48 49 51 54 56 56 57 58 60 62 64 66 69 71 71 72 74 75 78 80 81 83 86 89 92 94 96 100 103 104 104 104 105 108
3 Simulation Environment 3.1 Application Models . . . . . . . . . . . . . . . . . 3.2 Transmission Control Protocol/Internet Protocol 3.3 UMTS Protocol Stack . . . . . . . . . . . . . . . 3.4 Radio Interference Simulation Engine . . . . . . 3.5 Link-Level Simulation Module . . . . . . . . . . . 3.6 Real Time Wireless Network Demonstrator . . . 3.7 Graphical User Interface . . . . . . . . . . . . . .
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4 Link-Level Performance Evaluation 4.1 Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 Coding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3 Dedicated Channel . . . . . . . . . . . . . . . . . . . . . . . 4.3.1 Downlink . . . . . . . . . . . . . . . . . . . . . . . . 4.3.2 Uplink . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4 High Speed Downlink Shared Channel . . . . . . . . . . . . 4.5 Mobile WiMAX . . . . . . . . . . . . . . . . . . . . . . . . . 4.5.1 Comparison of HSDPA and Mobile WiMAX Physical Channel Capacity . . . . . . . . . . . . . . . . . . . 4.6 Throughput Comparison . . . . . . . . . . . . . . . . . . . . 4.6.1 AWGN Channel . . . . . . . . . . . . . . . . . . . . 4.6.1.1 Physical Layer Throughput . . . . . . . . . 4.6.1.2 Maximum Throughput above RLC Layer . 4.6.2 Throughput for Pedestrian Channel Model . . . . .
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Contents
ix
4.7
4.6.3 Throughput for Vehicular Channel Model . . . Hybrid ARQ . . . . . . . . . . . . . . . . . . . . . . . 4.7.1 Chase Combining and Incremental Redundancy 4.7.2 Constellation Rearrangement . . . . . . . . . . 4.7.3 Comparison . . . . . . . . . . . . . . . . . . . .
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109 111 114 115 116
5 Performance on System Level 119 5.1 Related Work of the Author . . . . . . . . . . . . . . . . . . . 120 5.2 Fast Scheduling for HSDPA . . . . . . . . . . . . . . . . . . . 122 5.2.1 Scheduling Strategies . . . . . . . . . . . . . . . . . . . 124 5.2.1.1 Maximum SINR Scheduling . . . . . . . . . . 124 5.2.1.2 Proportional Fair Scheduling . . . . . . . . . 124 5.2.1.3 Modied Largest Weighted Delay First Scheduling . . . . . . . . . . . . . . . . . . . . . . . 125 5.2.1.4 Exponential Rule Scheduling . . . . . . . . . 126 5.2.1.5 Channel-Dependent Earliest Due Date Scheduling . . . . . . . . . . . . . . . . . . . . . . . 126 5.2.1.6 Expo-Linear Scheduling . . . . . . . . . . . . 127 5.2.2 Qualitative Comparison of Scheduling Metrics . . . . . 127 5.3 HS-DSCH Performance for RT Services . . . . . . . . . . . . 129 5.3.1 MAC-d PDU Queueing Delay . . . . . . . . . . . . . . 132 5.3.2 Inter-Scheduling Interval . . . . . . . . . . . . . . . . . 133 5.4 HS-DSCH Performance for mixed Services . . . . . . . . . . . 135 5.4.1 MAC-hs PDU Throughput . . . . . . . . . . . . . . . 136 5.4.2 Throughput of NRT Services . . . . . . . . . . . . . . 137 5.4.3 Queueing Delay of RT Services . . . . . . . . . . . . . 138 5.4.4 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . 140 6 Conclusion and Outlook A Additional MAC Entities A.1 System Broadcast by the MAC-b Entity . . . . . . A.2 Entities for Common, Shared and MBMS Channels A.3 High Speed Uplink Packet Access . . . . . . . . . . A.3.1 MAC-e/es entity in the UE . . . . . . . . . A.3.2 MAC-e entity in the Node B . . . . . . . . A.3.3 MAC-es entity in the SRNC . . . . . . . . . 141 145 145 146 150 151 153 155
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Contents
List of Figures List of Tables List of Equations List of Abbreviations Bibliography Non-Public References Acknowledgment
157 161 163 165 175 189 193
CHAPTER 1
Introduction
Contents
1.1 1.2 1.3 1.4 Motivation . . Objectives . . Contributions Outline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 3 4 5
the rst demonstrations of information transfer using radio transS ince missions by Guglielmo Marconi in 1897, where he was able to transmit Morse code signals over a distance of several kilometers, a huge amount of research and development created a large industry sector dealing with mobile communication. In the early 1980s rst mobile communication systems, referred to as 1st Generation (1G) systems, entered the personal market. Because the analog systems suered from several drawbacks in terms of mobility, service provisioning and cost, the mass market was only reached by the following generation, the 2nd Generation (2G) systems. Launched in 1991 the digital Global System for Mobile Communication (GSM) became a European and, later, a worldwide success. Still focusing on Circuit Switched (CS) speech services only, it soon became clear that also non-voice services are demanded by the customers. Short Message Service (SMS) is an early example of a service originally not envisaged by the system. Furthermore, the rapid development of the Internet caused the information society to strongly desire Packet Switched (PS) services also in the wireless mobile world [96]. As a result 2G networks were extended by implementing the General Packet Radio Service (GPRS) [4, 8], specied in Release 97, on top of the legacy GSM as proposed in [54]. In the year 2000 rst GPRS networks were rolled out. At a later point in time, Release 99 Enhanced Data Rates for GSM Evolution (EDGE) further improved the achievable throughput. Those two extensions of the 2G networks are often referred to as 2.5G and 2.75G, respectively.
1. Introduction
With the goal to achieve a high data rate as known from xed-line networks (e.g. Integrated Services Digital Network (ISDN) and later Digital Subscriber Line (DSL)), spectrum eciency and dierentiated QoS provisioning, the International Mobile Telecommunications-2000 (IMT-2000) initiative dened the requirements for the 3G networks. UMTS, specied by 3GPP and also known as Wideband Code Division Multiple Access (WCDMA), became the most popular 3G system. After several initial trials the rst commercial UMTS networks were launched around 2002. Since then several releases of the 3GPP specication continuously enhanced the available features of this system. The High Speed Downlink Packet Access (HSDPA), for example, which has been rolled out in Germany in 2007 signicantly increased the achievable throughput. Figure 1.1 illustrates the major feature growth over time [C12].
Features
LTE HSPA+ HSUPA

UMTS FDD W-CDMA (Release 99)
UTRA6 + s$ea0 39 :ERA6 DS-CDMA 5 MH' .a 04+0$! ;)84 M"*s S39$ Ha 032e/
(Release 8)
OFDMA Scaleable bandwidth Spectrum efficiency Higher cell edge bit rate Latency between UE and NodeB below 5 ms (1 ms #ompatible with earlier releases and other systems
(Release 7)
64QAM TDD e !a "e#e $s %& MH' ( 7)68 M"*s $B$S e%olution $!$& antennas
UMTS TDD TD-CDMA (Release 4)

L34 "!+* /a$e %)88 M"*s Separation of ransport and #ontrol in #S domain
HSDPA
(Release 5)
D34 l+ , H-./+0 ARQ H+5! s*ee0 s!a/e0 034 l+ , "!a els A0a*$+2e "30e /a$e a 0 #301la$+3 (%6 QAM) D34 l+ , s"!e01l+ 5 + 630e7 Shorter ! () ms"
(Release 6)
U*l+ , H-./+0 ARQ E !a "e0 0e0+"a$e0 1*l+ , "!a els A0a*$+2e "30e /a$e #entrali'ed grant based uplin( scheduling in NodeB $B$S
!"
2000
2005/2006
2007/2008
Time
Figure 1.1: UMTS releases and key features
1.1. Motivation
1.1
Motivation
In general this thesis is motivated by the questions which capabilities the evolutionary steps of UMTS have and how well they are suited for the delivery of todays and future PS services. Depending on the perspective this central questions split up into several subitems. From customer perspective the applicability of UMTS to provide a mobile Internet connection which competes with the experiences known from xed-line broadband connections is of interest. In detail, important and interesting user performance metrics are the achievable individual throughput and the perceived QoS for both Non-Real Time (NRT) and Real Time (RT) services. Additionally, from operator perspective the system capacity and the eciency compared to other competing technologies and the theoretical limits are of interest. A network and User Equipment (UE) vendor aspect of interest is the performance of not specied algorithms, e.g. scheduling and receiver algorithms. Last but not least the identication of drawbacks and possibilities for improvement of the developed UMTS are motivations from research point of view. In addition to the improvement of UMTS itself the scientic ndings of this work facilitate the enhancement of competing and future mobile communication systems as well.
1.2
Objectives
This thesis intends to give a detailed overview about the various possibilities for the provision of PS services in UMTS. In order to do so all relevant system aspects and protocol layers are described in detail with respect to the release of the specication they have been introduced with. As the 3GPP specication leaves diversication freedom for vendors and operators in certain areas, typical conguration options are presented and discussed. With the help of bit-exact simulation models quantitative performance evaluations of various UMTS congurations and releases with respect to their applicability for PS services are made. To acquire in-depth performance results, simulations are performed on link and system level. For vendor specic algorithms, e.g. receiver algorithms, scheduling algorithms
1. Introduction
or HARQ schemes, comparative analyses in terms of complexity and achievable performance are made. Furthermore, the evaluated eciency of UMTS is assessed by comparing it to a competing state-of-the-art system, namely, Mobile WiMAX.
1.3
Contributions
The present thesis mainly contributes to the eld of computer simulation aided performance evaluations of wireless networks. In detail, a simulation environment which allows bit-exact simulations on link level as well as highly detailed system level evaluations has been developed by the author. Based on this framework comprehensive simulation studies have been performed to examine the performance of UMTS with respect to both NRT and RT PS services. Whenever possible the results have been validated by comparisons to analytical models or related empirical work. This thesis provides detailed and neutral performance and eciency comparisons of various conguration options of the dierent UMTS releases as well as of Mobile WiMAX as a competing technology. Furthermore, the gathered results are assessed with respect to theoretical limits. With this comparison the reader of this thesis gets gures on what can be expected from the competing technologies and the various releases of UMTS. Several methods for the provision of QoS in UMTS are presented and evaluated on both qualitative and quantitative level. Based on this in-depth study the trade-o between possible QoS and system capacity is shown. Further contributions of this thesis are comparisons of vendor specic algorithms, e.g. receiver algorithms, scheduling algorithms and HARQ schemes. Several alternatives are presented and compared with respect to their applicability, advantages and drawbacks. Finally, several drawbacks and limitations of the studied congurations are identied and discussed with respect to future research (e.g. Radio Link Control (RLC) Protocol Data Unit (PDU) size granularity).
1.4. Outline
1.4
Outline
This thesis is structured as follows: Chapter 2 gives an overview of the UMTS radio interface architecture. After a short introduction of the network topology and the involved nodes (Section 2.1) the protocol layers of the Access Stratum (AS) are presented. In detail, this includes a description of the UMTS Data Link Layer (DLL) and Radio Resource Control (RRC) (Section 2.2) as well as the Physical Layer (PHY) as specied by 3GPP (Section 2.3). The focus of this chapter is on features which have been implemented in the simulation environment and which are required by the performance evaluations carried out within this thesis. The following chapter gives an overview of the simulation environment and simulation models developed and used within this thesis. All Wireless Network Simulator (WNS) modules required for the following performance evaluations are introduced in Chapter 3. Based on the simulation environment, comprehensive performance evaluations are made. In Chapter 4 detailed link level results for typical UMTS congurations are presented. At the beginning of the chapter simulations validating the implemented functionality are discussed. Where possible, these results are compared to analytical models. As a next step the physical and transport channel performance of the dierent UMTS releases is evaluated. Both Dedicated Channel (DCH) and HS-DSCH results are examined. In order to compare the results to another state-of-the-art system, performance results of Mobile WiMAX are presented as well. Starting with Additive White Gaussian Noise (AWGN) channel based results the performance of the systems and dierent congurations is studied for fading channel environments. Several receiver algorithms are applied and examined within these environments. Finally, dierent HARQ schemes are compared with respect to their performance and technical complexity. While the previous chapter focused on the achievable single user performance, Chapter 5 concentrates on multiuser scenarios. After an introduction to related work published by the author besides this thesis, the scheduling principle and several scheduling algorithms are presented and
1. Introduction
qualitatively discussed. Based on system-level simulation, quantitative performance results in terms of QoS and system capacity are gathered. Special interest is put on scenarios including RT services as well as trac mix scenarios with RT and NRT services. Finally, in Chapter 6 the work is concluded by summarizing the main outcome of this thesis. Furthermore, an outlook to potential future research is given.
CHAPTER 2
UMTS Architecture
Contents
2.1 2.2 Network Topology . . . . . . . . . . . . . . . . . . . Radio Interface Protocols . . . . . . . . . . . . . . . 2.2.1 Radio Resource Control . . . . . . . . . . . 2.2.2 Packet Data Convergence Protocol . . . . . 2.2.3 Broadcast/Multicast Control . . . . . . . . 2.2.4 Radio Link Control . . . . . . . . . . . . . . 2.2.5 Medium Access Control . . . . . . . . . . . Physical Layer . . . . . . . . . . . . . . . . . . . . . 2.3.1 Transport Channel Coding and Multiplexing 2.3.2 Physical Channels . . . . . . . . . . . . . . . . . . . . . . . . . 7 9 12 16 20 21 30 43 44 56
2.3
introduced. First the general network topology of the UMTS Terrestrial I Radio Access Network (UTRAN) with all its nodes is presented. In the second part of this chapter the focus is on the UTRAN layer 2 and 3 protocols as well as the involved entities. Finally, the physical layer functionality with respect to the most important transport and physical channels is explained. This chapter primarily concentrates on those parts of the UMTS system which are relevant for the PS domain. Especially, aspects which are required by the performance evaluation in Chapter 4 and Chapter 5 are addressed. Furthermore, a detailed technical description of the features implemented in the simulation framework presented in Chapter 3 is given.
n this chapter the UMTS network architecture as specied by 3GPP is
2.1
Network Topology
In Figure 2.1 a typical network deployment is introduced [6]. In UMTS the Base Transceiver Station (BTS) and Base Station Controller (BSC) of the GSM network have been replaced by the Node B and the Radio Network
2. UMTS Architecture
Uu
Node B
Iub
Node B
Iub RNC
Node B
Iub
Node B
Iur
Iu
Iub RNC Iu MSC SGSN
Figure 2.1: UTRAN network topology
Controller (RNC). The Node B is the entity located closely to the antennas of a site, i.e. the location where antennas are installed. In case sectorized antennas are used one Node B is controlling all sectors at this site. It is even possible that multiple cells at one location, e.g. macro and micro cells, are controlled by one Node B. The Node B primarily terminates the PHY of the radio interface. In UMTS the radio interface between UE and Node B is called the Uu interface. Several Node Bs are controlled by one RNC to which they are connected by the so called Iub interface. The RNC is the network element which controls the radio resources of its Node Bs. One RNC together with its Node Bs forms a Radio Network
2.2. Radio Interface Protocols
Subsystem (RNS). Dierent from the BSCs in GSM the RNCs in UMTS are interconnected, namely through the Iur interface. The Iur interface eases handover and allows a combined radio resource management, e.g. load sharing between cells controlled by dierent RNCs. Both the Node Bs and the RNCs belong to the Radio Access Network (RAN) of UMTS. Each RNC is connected to the Core Network (CN) by the Iu interface. With the introduction of UMTS the network elements in the CN were kept the same. Similar to GSM the nodes to which the RAN is connected to are the Mobile Switching Center (MSC) for CS services and the Serving GPRS Support Node (SGSN) for PS services. If both the MSC and the SGSN are located in the same node it is referred to as UMTS Mobile Switching Center (UMSC). Further information about these and additional nodes in the CN of UMTS can be found in [138] and [89].
2.2
Radio Interface Protocols
As illustrated in Figure 2.2 the UMTS architecture can be divided into an AS and a Non-Access Stratum (NAS) [9]. This separation is done on a functional basis. The AS contains the functionality which depends on the access technology, the NAS contains the functionality which is independent of it. The AS provides radio bearer access to the NAS in an abstract and bearer independent way [12]. The type of information and the required QoS are parameters for the NAS to characterize a connection over the AS. According to Figure 2.2 there are three Service Access Points (SAPs), shown by ellipses, oered to the NAS. These SAPs are called Notication (Nt) SAP, General Control (GC) SAP and Dedicated Control (DC) SAP. The Nt SAP is used to broadcast data to identied users, the GC SAPs purpose is to enable the CN to provide information and to give commands which do not relate to specic users, and the DC SAPs task is the establishment and release of connections to specic UEs and to exchange information related to these connections. The AS includes the network oriented layers of the ISO/OSI (International Organization for Standardization/Open Systems Interconnection) reference model [49]. These are the Physical Layer (PHY), the Data Link Layer (DLL) and the Network Layer (NL). In the UMTS protocol stack the data link layer is split into four sublayers [25]. As shown in Fig-
10
Non-Access Stratum (NAS)
GC
Nt
DC
GC
Nt
DC
Radio Protocol
Radio Prot.
Iu Prot.
Iu Protocols
Access Stratum (AS)

UE UTRAN Core Network (CN)
Radio (Uu)
Iu
Figure 2.2: UMTS protocol architecture
ure 2.3 these sublayers are called Medium Access Control (MAC), Radio Link Control (RLC), Packet Data Convergence Protocol (PDCP) and Broadcast/Multicast Control (BMC). The layers above the MAC layer are divided into a control and a user plane. The PDCP layer and the BMC layer exist in the user plane only. The task of the user plane is to provide services for the transport of user data while the control plane deals with signalling for connection setup, release and radio bearer management. The control plane tasks are mainly fullled by the Radio Resource Control (RRC) protocol which belongs to the network layer and exists in the control plane only. Each block in Figure 2.3 symbolizes an instance of the respective protocol. The instances of the physical layer communicate over physical channels with each other. Among other aspects, the physical layer, described in Section 2.3, contains blocks for Forward Error Correction (FEC), Cyclic Redundancy Check (CRC) and multiplexing. These blocks are used to provide transport channels to the MAC layer. There exist dedicated transport channels and common transport channels provided by the physical layer to the MAC layer. Dedicated transport channels belong to one UE and common transport channels are shared between all UEs. The MAC layer maps these transport channels to so-called logical channels which are used by the RLC layer. A more detailed descrip-

control plane user plane
PS Domain CS Domain
11
UMTS Radio Interface (Uu Stratum) boundary
RRC
Signalling Radio Bearers
L3/RRC
Radio Bearers
PDCP
L2/PDCP
BMC
Control
L2/BMC
RLC
L2/RLC
Logical Channels
MAC
L2/MAC
Transport Channels
PHY
L1/PHY
Figure 2.3: Radio interface protocol architecture
tion of the functionality of the MAC layer can be found in Section 2.2.5. The RLC layer performs segmentation/reassembly of RLC Service Data Units (SDUs) and may retransmit erroneously received data using Automatic Repeat Request (ARQ) protocols. There are three transmission modes oered by RLC to upper layers which are the Acknowledged Mode (AM), the Unacknowledged Mode (UM) and the Transparent Mode (TM). Further information about the RLC layer is provided in Section 2.2.4. Above the RLC layer the PDCP layer and the BMC layer are located. The use of both is service dependent. The PDCP, presented in Section 2.2.2, adapts packet data protocols, e.g. the Internet Protocol (IP), to the UMTS radio interface. An example for this adaptation is the Transmission Control
12
Protocol (TCP)/IP header compression. The BMC layer (see Section 2.2.3) is used for the Cell Broadcast Service (CBS). The service oered by the user plane DLL to the NL is implemented by the so-called Radio Bearers (RBs). The RB service may be oered by the PDCP for the PS domain or by the BMC and RLC entities for the CS domain. For speech services in the CS domain, for example, the data of the Adaptive Multi-Rate (AMR) speech codec [40] is directly sent to the TM RLC entities. The RRC layer uses the RLC layer to transmit signalling data. The channels on which the RLC oers the data transfer service to the RRC are called Signalling Radio Bearers (SRBs). Furthermore, the RRC layer has connections to all protocol layers mentioned so far. The purpose of these control SAPs is the conguration of the corresponding layers and the exchange of measurement information between these layers and the RRC. More detailed information about the RRC protocol is given in Section 2.2.1. Above these protocol layers the border to the NAS with its three SAPs is located (see Figure 2.2 and Figure 2.4). Higher layer signalling such as Call Control (CC), Mobility Management (MM) and Session Management (SM) is performed above this border by the Layer 3 (L3) CN protocols. Also security related procedures like authentication [42] and the Short Message Service (SMS) [7] are examples for functionality located in the NAS. As the NAS is out of the scope of this thesis the reader might wish to consider [11] and [13] for more information. 2.2.1 Radio Resource Control
The RRC layer specied in [34] is in charge of establishment, management and release of the SRBs and RBs between UE and UTRAN as well as the associated resources. Further important functions of the RRC are the broadcast of system information and paging information in the downlink as well as the transmission of UE generated random access messages and measurement reports in the uplink. Handover procedures and the initial cell selection [27] are tasks of the RRC as well. Figure 2.4 shows the structure of the RRC layer at the UE side. In the UTRAN the structure is the same with the arrows, illustrating the up- and downlink direction, pointing in the opposite direction. Services to the NAS are oered by the General Control (GC), Notication (Nt) and Dedicated Control (DC) SAP. The GC SAP provides access to an information broad-
13
NonAccess Stratum
GCSAP
NtSAP
DCSAP
RFE
RFE
RFE
Access Stratum
RRC SAPs
RRC
BCFE
PNFE
DCFE
SCFE
TME
TRSAP
UMSAP
AMSAP
RLCCtrl
RLC
MACCtrl
MAC L1
L1Ctrl
Figure 2.4: UE side model of RRC
cast service which distributes information to all UEs in a certain geographical area. The Nt SAP provides access to paging and notication broadcast services. The paging service broadcasts its information in a certain geographical area as well. In contrast to the GC service, this information is addressed to a specic UE. The DC SAP provides access to services for the establishment and release of an RRC connection to a specic UE. The transfer of messages using this connection is part of the DC SAP task as well. When the RRC is instructed to establish a connection it sets up the SRBs. Furthermore, the DC SAP provides access to services for establishment and release of RBs which are to be used for data transfer in the user
14
plane. The release of the RRC connection causes all bearers in both the control and user plane to be released as well. The RRC layer has control connections in the so-called management plane to all lower layers of the protocol stack. These connections are used to congure the lower layers and to receive measurement reports from them. Within the RRC layer several functional entities can be distinguished. These are the Broadcast Control Functional Entity (BCFE), the Paging and Notication Control Functional Entity (PNFE), the Dedicated Control Functional Entity (DCFE), the Shared Control Functional Entity (SCFE), the Transfer Mode Entity (TME) and the Routing Functional Entity (RFE). The BCFE, oering its services through the GC SAP, handles system information broadcast functions. To fulll its task, the BCFE uses the Broadcast Control Channel (BCCH) as the logical channel for distributing the information in the downlink. Either the TM or UM RLC mode is used by the BCFE. There is at least one BCFE for each cell in the RNC. Paging of UEs that do not have an RRC connection, i.e. they are in idle mode, is controlled by the PNFE. The PNFE is used to provide the RRC services oered by the Nt SAP. Similar to the BCFE both the UM and TM mode may be used. The logical channel the PNFE makes use of is the Paging Control Channel (PCCH). At least one PNFE exists for each cell controlled by the regarded RNC. The DCFE handles all functions and signalling specic to one UE. The DCFE is used to perform the RRC tasks that are requested at the DC SAP. Depending on both, the message that is exchanged between the peer entities and the current UE service state, one of the three RLC modes applies. In most of the cases the AM is used. The UM is applicable for the transmission of messages like the RRC Connection Release or RRC Connection Reject while the TM carries messages like a Cell Update or RRC Connection Request. In the Serving Radio Network Controller (SRNC) there is one DCFE for each UE which has an RRC connection with this RNC. In Time Division Duplex (TDD) mode the DCFE is assisted by the SCFE which is located in the Controlling Radio Network Controller (CRNC). The task of the SCFE is to control the allocation of the Physical Downlink Shared Channel (PDSCH) and Physical Uplink Shared Channel (PUSCH) resources. In order to exchange this information the TM and UM modes of the RLC layer are used.
15
Located between the four entities described above and the RLC layer, the TME is responsible for the mapping between the dierent entities inside the RRC layer and the SAPs provided by the RLC layer. Routing of higher layer NAS messages to dierent Mobility Management (MM) and Connection Management (CM) entities at the UE side or dierent CN domains at the UTRAN side is handled by the RFE. The transfer of the NAS messages on RRC level is realized with the RRC Direct Transfer messages. Every NAS message is either carried by the Initial, Uplink or Downlink Direct Transfer message. Details about these and further PDUs exchanged by the RRC entities are described in the following paragraphs. The control messages of the RRC protocol are exchanged by the RRC entities in the UE and the UTRAN using an Abstract Syntax Notation One (ASN.1) based protocol [81, 82]. By applying the unaligned Packed Encoding Rules (PER) [83] a very compact encoding of the exchanged messages is achieved. Figure 2.5 illustrates the tree-like data structure by showing a small subset of the available nodes.
Message Class (Seq.) D DCC!
Message Type (Choice) D DCC!
IE (Sequence, Optional) Integrity
PDU (Sequence) "# "elease
PDU (Sequence) "# Setup
PDU (Sequence) "# "econ$guration
IE ((rray) "# In&or'ation Setup ist
IE (Sequence) ())e) Transport Channel In&or'ation
IE (Sequence) %requency In&or'ation
Figure 2.5: Abstract illustration of ASN.1 data structure
The ASN.1 data structure used by the RRC protocol can be grouped into three main levels. On the highest level, the class denition level, the
16
message-class data types are located. Every message-class data type refers to an appropriate logical channel of the UMTS protocol stack and contains, apart from an optional integrity check message eld, the message data type. The message data type contains all possible PDUs that may be transmitted over the corresponding logical channel. Hence, all possible conguration messages which can be sent or received by the RRC protocol are assigned to one of these root message data types. A further dierentiation between up- and downlink is done on the class denition level. The receiver of an RRC message has to identify the message-class type by the logical channel the message is transmitted with. The mid level contains the PDU denitions. On this level all PDUs are listed without refering to the logical channel they are sent on. Every PDU consists of Information Elements (IEs) which contain the actual information. The IEs, which can contain further IEs, describe the lowest level of the ASN.1 data structure. 2.2.2 Packet Data Convergence Protocol
The PDCP sublayer [32] is the topmost sublayer of the user plane in the AS. As shown in Figure 2.6, the PDCP layer is located in the UMTS radio interface protocol stack above the RLC layer and uses the services provided by the RLC protocol. To the higher layers the PDCP oers the so-called RBs for the transmission of user data. For the NL the PDCP acts as an adaptation layer for the transparent transmission of NL PDUs, e.g. IP packets. In this context the main task of the PDCP is to provide functions for improving the channel eciency by using header compression techniques. The PDCP header compression is available only in the user plane for the services of the PS domain. In this context signicant improvements for PS services can be achieved [91]. Supported algorithms are the Internet Protocol Header Compression (IPHC) [56], which is an extension of the Van Jacobson compression [84], and the Robust Header Compression (ROHC) [52, 87]. The IPHC describes how to compress TCP, User Datagram Protocol (UDP) and IP headers. The ROHC is a highly robust and ecient header compression method for Real-Time Transport Protocol (RTP)/UDP/IP, UDP/IP and Encapsulating Security Payload (ESP)/IP headers over links with signicant error rates and long round-trip times (e.g. cellular links). In contrast to IPHC the ROHC proles available in

PDCP Control Radio Bearers
17
PDCP sublayer
PDCP entity HC Protocol 1 HC Protocol 2 HC Protocol 1 PDCP entity HC Protocol 2 PDCP entity HC Protocol 1
RLC UM
RLC AM
RLC TM
Figure 2.6: PDCP structure
UMTS do not support the compression of TCP/IP headers. Optionally, the PDCP may be congured to maintain sequence numbers for RBs which support lossless Serving Radio Network Subsystem (SRNS) relocation or lossless Downlink (DL) RLC PDU size change. The conguration of the PDCP layer is done by the RRC layer which negotiates the algorithms and their parameters. Each PDCP entity, corresponding to one RB, can be congured individually. Hence, a service specic parameter set can be established by the network. Important conguration parameters are the compression algorithms to be used by each PDCP entity and the mapping to RLC entities. One PDCP entity may use the services oered by either one AM RLC entity or a combination of two UM or TM RLC entities. In the latter case one entity serves the DL, the other one serves the Uplink (UL). A unidirectional conguration with one UM or TM entity is possible as well. Both the IPHC and the ROHC may be congured for one PDCP entity. The compression protocols are distinguished by the Packet Identier (PID) eld of the PDCP protocol. Additionally, the IPHC uses the PID eld to distinguish the dierent types of compressed headers (e.g. Full header, Compressed TCP and Compressed non TCP). In general, both protocols make use of the fact that parts of the higher layer headers change in a predictable way within one packet stream. A packet stream which often could be interpreted as one session is generated
18
by grouping packets with similar characteristics by the so-called dening elds. Each packet stream is associated with a Context Identier (CID) which is used at the receiver to map the packets to the correct compression context. The compression protocols are specic for the combination of higher layer protocols, e.g. TCP/IP or RTP/UDP/IP, and distinguish between certain types of elds depending on the way they change within one packet stream. Static elds are not expected to change within one packet stream (e.g. protocol type and version [123], type of service or dierentiated service [50, 112] as well as the source and destination IP addresses) and do not need to be transmitted. All elds which characterize a packet stream, i.e. the dening elds, belong to the group of static elds. Inferred elds are elds that can be regenerated from other elds at the receiver (e.g. IP packet total length). Those header elds do not need to be transmitted as well. Fields which typically have a small dierence between consecutive packets (e.g. TCP sequence number and acknowledgment number) are not completely transmitted either. Instead the relative dierence, the delta value, compared to the last uncompressed packet may be transmitted. Finally, those elds which absolutely can not be predicted need to be always sent together with the delta compressed elds. An example for those elds is the TCP checksum eld. Figure 2.7 and Figure 2.8 illustrate how the elds of an Internet Protocol version 4 (IPv4) and a TCP header are categorized.
0 3 4 IHL * 7 8 Type of Service Flags Protocol Source Address * Destination Address * Options and Padding No change in a packet stream (* dening eld) Delta encoded in compressed headers 15 16 18 19 Total Length Fragment Oset Header Checksum 31
Version *
Identication Time to Live
Inferred from other values Not present
Figure 2.7: Header compression for IPv4
19
3 4
9 10 Source Port *
15 16 Destination Port * Sequence Number Acknowledgment Number
31
Oset
Reserved Checksum
U A P R S F
Window Urgent Pointer
Options and Padding No change in a packet stream (* dening eld) Delta encoded in compressed headers
Inferred from other values Random eld (must be included in compressed headers)
Figure 2.8: Header compression for TCP
As can be seen most of the header elds are either static elds or elds which can be dierentially encoded. Especially for delay sensitive low datarate trac with small packets, e.g. Voice over IP (VoIP), the PDCP header compression techniques can signicantly reduce the header overhead. The compression gain is even higher for Internet Protocol version 6 (IPv6) trac as most of the header elds in IPv6 are static and the uncompressed IPv6 header is, mainly because of the longer address elds [69], twice as big as a standard IPv4 header. Figure 2.9 shows such an IPv6 header.
0 3 4 Trac Class Payload Length 12 13 15 16 23 24 Flow Label * Next Header Hop Limit 31
Version *
Source Address *
Destination Address *
No change in a packet stream (* dening eld)
Inferred from other values
Figure 2.9: Header compression for IPv6
20
2.2.3
Broadcast/Multicast Control
Similar to the PDCP the BMC [33] is an entity existing only in the user plane. The task of the BMC is to implement the CBS where cell specic messages can be broadcasted to all UEs within one cell. Therefore, there exists one BMC entity per cell in the UTRAN. Figure 2.10 illustrates the model of the BMC and its position in the UTRAN protocol architecture. The BMC is located above the RLC and uses the UM mode of the RLC for the DL broadcast of Cell Broadcast (CB) messages on the Common Trac Channel (CTCH). The service of the BMC is oered to higher layers by the BMC SAP. The functions of the UTRAN BMC entity are the storage, the scheduling and the transmission of messages for the CBS. The conguration of the radio resources and the reports about trac volume measurements are exchanged using a control SAP which is used by the RRC layer. The Cell Broadcast Center (CBC) is in charge of delivering the messages to the correct BMC entity which in turn broadcasts it to the corresponding cell. After receiving a CB message the BMC entity in the UE delivers the message to the higher layers.
RRC user-plane
CBMC-SAP
BMC-SAP
BMC sublayer
BMC entity
UM-SAP
RLC sublayer
RLC UM entity
CTCH-SAP
Figure 2.10: Model of the Broadcast Multicast Control sublayer
21
2.2.4
Radio Link Control
The RLC protocol, specied in [31], provides segmentation and retransmission services for both user and control data. In the control plane the RLC provides SRBs as its service to the RRC. In the user plane the PDCP or the BMC make use of the services oered by the RLC. If neither PDCP nor BMC is used, the RLC provides the RB service directly to the NL. Considering the functionality of the entities there is no dierence between entities in the control plane and the user plane. The RLC protocol provides three dierent data transfer services to the higher layers. These are the TM, the UM and the AM data transfer service. As illustrated in Figure 2.11 the TM and the UM data transfer is a unidirectional service, while the AM always exists in a bidirectional conguration. Hence, the TM and UM entities are split into transmitting and receiving entities. A bidirectional connection between two RLC entities in UM or TM consists of two RLC connections, one for the uplink and the other one for the downlink. The AM entity combines both the transmitting and receiving part in order to support the ARQ mechanism. No dierence exists between entities in the UE and the UTRAN from the functionality point of view. The conguration of the RLC layer is done by the RRC using the RLC control SAP. The RRC is in charge of establishing, releasing and conguring the individual RLC entities. The entities are addressed by the logical channel the respective entity is responsible for. Furthermore, the RRC may suspend and resume RLC entities. UM and AM entities have to be suspended during the security mode control procedure of the RRC when new ciphering keys are going to be congured for those RLC entities in a deUE Transmitting side Receiving side Uu Interface Transmitting side UTRAN Receiving side
Transm. TM entity
Transm. UM entity
AM entity
Receiving UM entity
Receiving TM entity
Transm. TM entity
Transm. UM entity
AM entity
Receiving UM entity
Receiving TM entity
Logical channels
Figure 2.11: Overview of the RLC sublayer
22
terministic way. Details about the individual conguration parameters are described in the following sections. In case of unrecoverable errors the RLC entities may send status information to the RRC.
2.2.4.1
Transparent Mode
The TM is a unidirectional service mostly used for the transmission of data streams (e.g. audio or video), where the latency of the transmission is more important than the error rate, or for broadcast purposes. When using the transparent data transfer service the RLC protocol adds no header to the higher layer payload. Hence, the RLC PDU just contains the payload (the RLC SDU). No requirement exists that the payload size has to be a multiple of 8 bits. As there is no Sequence Number (SN) included in the TM PDU, the TM has no chance to detect missing PDUs at the receiving entity. A Limited segmentation and reassembly functionality is available in the TM. Segmentation of one RLC SDU can take place if all segments of this SDU can be transmitted within one Transmission Time Interval (TTI). The TTI is dened by the interval at which data is sent on a transport channel (see Section 2.2.5.2). When segmentation is congured by the RRC the receiving entity reassembles all RLC PDUs received in a single TTI to one SDU. A timer based SDU discard mechanism is possible to be used as well. After an RLC SDU has been queued for a congured amount of time, the sender drops this SDU without any further notication to higher layers or the peer entity. Figure 2.12 shows the model of two interacting TM entities with the logical channels which can be used by them. The logical channel can be either BCCH, PCCH, Common Control Channel (CCCH), Shared Channel Control Channel (SHCCH), Dedicated Control Channel (DCCH) for the control plane or Dedicated Trac Channel (DTCH) for the user plane. The BCCH and PCCH are downlink only channels. The CCCH and SHCCH may be used in both uplink and downlink. Nevertheless, the TM is only used in an uplink conguration.

UE/UTRAN Uu Interface UTRAN/UE
23
TM-SAP
TM-SAP
Transmission buffer
Transmitting TM entity
Receiving TM entity
Reassembly
Segmentation
Reception buffer
DTCH/DCCH CCCH/SHCCH (UE) BCCH/PCCH (UTRAN)
DTCH/DCCH CCCH/SHCCH (UTRAN) BCCH/PCCH (UE)
Figure 2.12: Model of Transparent Mode peer entities
2.2.4.2
Unacknowledged Mode
The UM is mainly used in certain RRC signalling procedures, where the acknowledgment and retransmission is part of the signalling procedure itself. VoIP is also a feasible service to be carried by the UM. The UM data transfer service does not guarantee the delivery to the peer entity. Figure 2.13 shows the model of two interacting UM entities and the logical channels which may be used by the UM. In contrast to the TM a more exible segmentation and reassembly mechanism exists for the UM. Segments of variable sized RLC SDUs might be transmitted with multiple RLC PDUs which can also be transmitted in dierent TTIs. The exible segmentation mechanism is achieved by introducing Length Indicators (LIs) to the UM PDU header. With the help of these LIs it is furthermore possible to transmit segments of consecutive RLC SDUs in one PDU. This mechanism is called concatenation. If an RLC PDU can not be completely lled by segments of higher layer payload the UM adds padding octets to the PDU. This is achieved by a special value of the LI. The LI can either be 7 or 15 bit long and it indicates the number of octets of a segment an RLC PDU contains. Therefore, the UM can only be applied for octet aligned higher layer protocols. A LI of 7 bits
24
UE/UTRAN UM-SAP Uu Interface UM-SAP
UTRAN/UE
Transmission buffer
Transmitting UM entity
Receiving UM entity
Reassembly
Segmentation & Concatenation
Remove RLC header
Add RLC header
Reception buffer
Ciphering
Deciphering
DTCH/DCCH CTCH/CCCH/SHCCH (UTRAN) MTCH/MCCH/MSCH (UTRAN)
DTCH/DCCH CTCH/CCCH/SHCCH (UE) MTCH/MCCH/MSCH (UE)
Figure 2.13: Model of Unacknowledged Mode peer entities congured without duplicate avoidance and reordering
is used in case the UM PDU is smaller than 126 bytes while a LI of 15 bits is needed for larger PDUs. A maximum PDU size of 624 bytes is allowed for the UM mode. By including a 7 bit SN in the UM PDU header the receiving entity is able to perform a SN check and is, therefore, capable of detecting missing PDUs. SDUs which are aected by missing UM PDUs are not delivered to the higher layer. Error recovery in terms of Backward Error Correction (BEC) is not performed as the UM provides a unidirectional connection without the possibility to use an ARQ mechanism. To avoid the transmission of UM SDUs which have been queued for a certain amount of time and are, therefore, useless for the receiving side, e.g. in case of a VoIP service, the UM includes an SDU discard mechanism. When the congurable timer of such an SDU expires it is simply dropped. An additional feature of the RLC UM in comparison to the TM is the ciphering of the UM PDUs. When this feature is enabled by the RRC the transmitting entity encrypts the user data and the receiving side is decrypting it. By doing so the user data is protected from unauthorized
25
acquisition at the radio interface. In order to also secure data of the TM a ciphering mechanism in the MAC layer replaces this mechanism typically applied in the RLC layer. In Release 6 of the 3GPP specication the UM has been extended in order to support the Multimedia Broadcast Multicast Service (MBMS). For the MBMS downlink data may be received by a UE from dierent cells. Hence, the UE side of the UM is extended to also contain a duplicate avoidance and reordering mechanism. Out of sequence SDU delivery is an optional functionality as well. Figure 2.14 shows the conguration and the logical channels of the UM in case it is used in an MBMS scenario. All MBMS channels, which are the MBMS point-to-multipoint Control Channel (MCCH), the MBMS point-to-multipoint Trac Channel (MTCH) and the MBMS point-to-multipoint Scheduling Channel (MSCH), are downlink only channels and always make use of the UM. The same applies to the CTCH. Both SHCCH and CCCH make use of the UM only in the downlink direction. For the DTCH and the DCCH the usage of the UM is optional as all RLC modes can be used for the dedicated channels.
UTRAN UM-SAP Uu Interface UM-SAP UE
Transmission buffer
Transmitting UM entity
Receiving UM entity
Reassembly
Remove RLC header Segmentation & Concatenation Reception buffer
Add RLC header
Duplicate avoidance and reordering
MTCH (UTRAN)
MTCH (UE)
Figure 2.14: Model of Unacknowledged Mode peer entities as used for MBMS
26
2.2.4.3
Acknowledged Mode
The AM is used for the error-protected transmission of both user data or signalling data. Error protection is achieved by a BEC retransmission mechanism. This ARQ functionality is needed for the provision of services where error-free delivery is mandatory. In order to provide a BEC an AM RLC entity always is deployed in a bidirectional conguration. Figure 2.15 shows the model of the AM entity. As can be seen it is possible to use either one or two logical channels for the AM RLC connection. If two logical channels are used the AM entity is able to use one channel exclusively for data transfer and the other one for the transfer of acknowledgments and other protocol information elements. From the perspective of the provided functionality the AM inherits the complete UM functionality. Segmentation and reassembly as well as concatenation and padding are provided in a very similar way. Also ciphering, as described in the previous section, is available. A timer based SDU discard mechanism as well as a discard mechanism based on the number of retransmissions of associated RLC PDUs can optionally be enabled. If enabled the AM supports explicit signalling of PDUs which are discarded at the sending side. By transmitting a status PDU with Super Field (SUFI) Move Receiving Window (MRW) the reception window of the AM can be moved even though not all PDUs have been received. The receiving entity in turn conrms this discard with the MRW acknowledgment SUFI. Upper layers at the receiving entity can be informed about SDUs which are not delivered due to an RLC discard. Because multiple copies of an AM PDU may be sent by the retransmission based AM protocol a duplicate detection is always enabled for the receiving part of an AM entity. The AM provides the mechanism to preserve the order of higher layer PDUs. If this in-sequence delivery is not congured an RLC SDU is directly delivered to the higher layer when the last PDU containing segments of this SDU is received. Using a sequence-number check function in the receiving entity the AM is capable of detecting PDU losses which are caused by lower layer transmission errors. Missing PDUs are requested for retransmission from the sending entity, thus providing an error-free transport service for the higher layers. In order to do so each AM entity has two buers, a Transmission Buer and a Retransmission Buer. Every AM PDU is stored in the Retransmission Buer until its successful transmission is acknowledged by the
27
UE/UTRAN AM-SAP
Transmitting side
Segmentation & Concatenation
Receiving side
AM entity
RLC Control Unit
Add RLC header Piggybacked Status Information Retransmission buffer & management Received Acknowledgements
Reassembly
Remove RLC header & extract piggybacked information Multiplexing
Acknowledgements Transmission buffer
Reception buffer & retransmission management
Deciphering Set fields in PDU Header (e.g. set poll bits) & piggybacked STATUS PDU
Ciphering (only AMD PDU)
Demultiplexing & Routing
DTCH/ DCCH
DTCH/ DCCH
(optional second logical channel)
DTCH/ DCCH
DTCH/ DCCH
(optional second logical channel)
Figure 2.15: Model of an Acknowledged Mode entity
peer entity. In case of a negative acknowledgment the Control Unit orders a retransmission of the erroneous PDUs which are then copied from the Retransmission Buer back into the Transmission Buer. By doing so a PDU can be transmitted multiple times until it is received correctly. In case a PDU can not be delivered even after a number of retransmissions and if no discard mechanism is congured, this unrecoverable error is signalled to higher layers and the AM entity executes a reset procedure to enable the continuation of data transfer. A reset is also triggered if status report information is inconsistent or if information within data or control PDUs is invalid. The reset procedure consists of a special control PDU, the reset
28
PDU, that is sent to the peer-entity which in turn responds with a reset acknowledgment PDU. If requested by higher layers the AM may indicate with a transmission conrmation the successful delivery of an SDU to the AM peer-entity. A Message Unit Identier (MUI) is used to reference the SDU in a later conrmation. In UMTS the RLC always applies a selective repeat ARQ mechanism. In contrast to a stop-and-wait ARQ the sending RLC entity can transmit PDUs as long as their SN is within the transmission window without waiting for an acknowledgment. This avoids idle times during the transmission which are caused by the sender if it would need to wait for a positive acknowledgment for every single PDU. To be able to limit the amount of unacknowledged PDUs the receiving entity might implement ow-control mechanisms by changing the size of the transmission window of the peer-entity. In UMTS the maximum transmitting window size can be congured between 1 to 4095 RLC PDUs. This limitation is in relation to the 12 bit SN used by the AM data PDUs. The possibility of the selective repeat ARQ to signal both positive and negative acknowledgments for received PDUs allows the RLC to only retransmit those PDUs which are not correctly received. This makes the RLC ARQ more ecient compared to the go-back-n ARQ where all PDUs starting from the rst missing PDU need to be retransmitted. The disadvantage of this is the necessary receiving buer and a higher eort for the retransmission management. The UMTS standard does not specify a special sub-type of the selective repeat ARQ. Various mechanisms are possible to be used with the available SUFIs of the status PDUs which exist for the RLC peer-to-peer communication. Those mechanisms are dierentiated by the way missing and correctly received PDUs are reported to the peer entity. The basic mechanism of acknowledging PDUs is the use of the acknowledgment SUFI which indicates the next expected SN. All PDUs up to the PDU with the signalled SN are acknowledged by this eld. Further SUFIs are available for the reporting of missing PDUs using lists, relative lists or bitmaps. A list contains pairs of numbers where the rst element of the pair is the SN of a missing packet and the other one gives the number of consecutive missing packets. A relative list uses 4 bit codewords that determine the distances between missing packets. A bitmap uses a mapping of single bits to data packets to specify missing and correctly received packets. Both relative list and bitmap reports contain a 12 bit First Sequence Number (FSN) eld pointing to the
29
rst missing PDU. A length eld exists in every status report SUFI which species the number of value pairs, codewords or octets in the list, relative list or bitmap, respectively. The RLC entity may dynamically select one of the available methods for reporting and is therefore able to reduce the acknowledgment size and use the channel capacity as ecient as possible. It is even possible that a status PDU containing several SUFIs is piggybacked in a normal AM data PDU. Special LI values are dened to indicate the presence of such status PDUs. Every RLC entity must be able to process all kinds of status reports. The selection of the type of reporting is not specied and is, therefore, implementation dependent. Several methods to trigger the exchange of status reports are specied by the 3GPP. An AM entity can send a status report periodically or whenever a missing PDU is detected. Furthermore, a so-called poll bit within every data PDU allows an entity to explicitly request an immediate status report from the peer-entity. This explicit poll request can be sent when one of seven congurable criteria is fullled. Each criterion may be enabled or disabled by the RRC layer which is in charge of the RLC conguration. A poll can be triggered if the last PDU of the transmission buer or the retransmission buer is going to be sent. Furthermore, the sender may set the poll bit statically for every n-th PDU as well as every m-th SDU. A window based polling mechanism, which polls whenever a certain percentage of the transmission window is used, prevents the case of a closed transmission window. A simple timer based mechanism allows to periodically request a status report from the peer-entity. Whenever the transmitter sends a PDU with the poll bit set it may start the so-called poll timer to assure that a corresponding status report is received. Upon expiration and if no status report for the PDUs up to that PDU is received a new poll is started. To avoid deadlocks the specication requires that the RRC must either enable the combination of poll timer, last PDU in buer and retransmission buer or, alternatively, the timer based polling must be used. In order to avoid excessive signalling by too many status reports a poll prohibit timer and a status probibit timer can be used to prevent the transmission of more than one poll request or status report within a certain amount of time. The logical channels which can be used by the AM are the DTCH in the user plane and the DCCH in the control plane.
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2.2.5
Medium Access Control
In this section a detailed description of the UMTS MAC layer is given regarding its services provided to the higher layers, its functions and the interface to the lower layer. The most important tasks of the MAC layer, documented in the 3GPP specication [30], are the following ones. One of the main functions of the MAC layer is to map the logical channels, which are oered as a service to the RLC layer, onto transport channels, which characterize the interface between the MAC layer and PHY. This mapping as well as the establishment and release of channels is controlled by the RRC layer. Section 2.2.5.1 and 2.2.5.2 give an overview about all available logical and transport channels, respectively. Because multiple logical channels may be mapped onto the same transport channel the MAC layer is in charge of multiplexing the dierent data ows. Both trac ows of one user or of dierent users can be multiplexed on one transport channel. In order to demultiplex received PDUs the MAC layer adds header elds to the MAC SDUs which are used to identify dierent users on shared channels, dierent services received by multiple users and dierent logical channels belonging to one user. When transmitting SDUs of dierent logical channels or users the MAC layer is in charge of scheduling the data ows based on their priorities and further scheduling parameters. On request by the RRC layer the mapping of logical to transport channels can dynamically be modied. This MAC function is called transport channel type switching. The RRC may base this decision on trac volume measurements which are performed by the MAC layer. These measurements include information about the Buer Occupancys (BOs) of the RLC entities which make use of the logical channels. As UTRAN is in charge of the transport channel conguration the UE measurements as well as the UE conguration are exchanged by the RRC protocol. Based on this amount of data to be transmitted and the available radio resources as well as the available transmission power and the instantaneous channel conditions the MAC layer chooses appropriate Transport Formats (TFs) and Transport Format Combinations (TFCs) on a TTI basis. A TF species the number and size of RLC PDUs which can be transmitted within one TTI. For every transport channel there exists one Transport Format Set (TFS) of possible TFs. For transport channels which share resources in the PHY the MAC layer takes care of selecting valid TFCs out of the Transport Format Combination Set (TFCS). This is performed in order to

BCCH
MAC Control
31
MTCH MSCH MTCH MSCH MCCH PCCH BCCH CCCH CTCH SHCCH
(TDD only)
DCCH DTCH DTCH
MAC-d MAC-b MAC-e/es MAC-hs MAC-m MAC-c/sh/m
BCH
E-DCH
Associated Downlink Signalling
HS-DSCH
Associated Uplink Signalling
FACH
PCH FACH RACH FACH USCH USCH DSCH DSCH

(TDD only) (TDD only) (TDD only) (TDD only)
DCH
DCH
Associated Associated Uplink Downlink Signalling Signalling
Figure 2.16: UE side MAC architecture
assure that a maximum bit rate given by the available physical resources is not exceeded. The selected TFs are sent together with the data that is to be transmitted to the PHY for further processing. For transport channels which are using link adaptation the MAC layer controls the transmission and reception parameters as well as the Hybrid ARQ (HARQ) functionality. Depending on the type of transport channel, dierent network elements and MAC entities are involved. Figure 2.16 and Figure 2.17 give an overview of these MAC entities and the logical and transport channels they are connected to. Common to all entities is the MAC control SAP which connects all MAC entities to the RRC layer. This SAP is used by the RRC to congure the MAC entities, e.g. establishment and release of channels, and to get periodical and event triggered measurement results and status information back. An event triggered report is based on congurable thresholds of the data volume stored in RLC while a periodical report is sent in congurable reporting intervals. Both modes of trac volume reporting can be requested by the RRC layer at the same time. In addition to the absolute BOs the MAC layer may also be congured to report the average BOs and the variance of the BOs. In order to do so MAC receives with every data request or as a stand-alone signal the status of the entities transmission buer where this request originated from.
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MAC PCCB BCCH CCCH CTCH SHCCHMCCH MSCH MTCH Control
(TDD only)
BCCH
MAC Control
MAC Control
DCCH DTCH DTCH
MAC-es
Configuration without MAC-c/sh/m Configuration with MAC-c/sh/m
MAC-d
MAC-b
MAC-e
MAC-hs
MAC-c/sh/m
BCH
E-DCH
Associated Downlink Signalling Associated Uplink Signalling
HS-DSCH
Associated Downlink Signalling Associated Uplink Signalling
PCH FACH FACH RACH USCH USCH DSCH DSCH

(TDD only) (TDD only) (TDD only) (TDD only)
DCH
DCH
Iub
Iur or local
Figure 2.17: UTRAN side MAC architecture
The structure and tasks of the MAC entities which are relevant for the performance as studied within this thesis are introduced in the Sections 2.2.5.3 and 2.2.5.4. The remaining MAC entities which are implemented but do not directly aect the performance are described in Appendix A. 2.2.5.1 Logical Channels
The MAC layer oers the logical channels as its service to the RLC layer. Logical channels are characterized by the type of information transferred by them. In general logical channels can be grouped into control channels and trac channels. 2.2.5.1.1 Trac Channels
The purpose of the trac channels is to transfer user plane data. Available trac channels are the DTCH, CTCH and MTCH. The DTCH is a point-to-point channel dedicated to one UE. A DTCH can exist in uplink and downlink. Multiple DTCHs can be established for one single UE. The CTCH is a point-to-multipoint channel existing in downlink only. User information can be transferred to all or a group of UEs. In each RNC there exists one CTCH for every cell which is controlled by that RNC.
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Similar to the CTCH the MTCH is a downlink point-to-multipoint channel which is used for MBMS trac. An MBMS service can be broadcasted by multiple cells. In this case the UE is congured to receive corresponding MTCHs from all those cells and the RLC is doing a selection combining of the received content. 2.2.5.1.2 Control Channels
The control channels transfer control plane information only. This signalling information is transmitted by the DCCH, CCCH, SHCCH, BCCH and PCCH. The MBMS service add the channels MCCH and MSCH to the set of logical control channels. The DCCH is a bidirectional point-to-point channel between a UE and the UTRAN. A DCCH is established by the RRC connection setup procedure and carries dedicated control information for one UE. Multiple DCCHs which carry the data of SRBs exist for each UE. The CCCH is a bidirectional channel that is shared between all UEs. There is no need for the UEs to have an RRC signalling connection to use this channel (e.g. initial random access). The negotiation of the attributes of the SRBs between the RRC of the UTRAN and the UE is an example for the use of this channel. The UE is typically using the CCCH channel for initial cell selection or cell reselection. Similar to the CCCH the SHCCH is a bidirectional channel. The purpose of the SHCCH is the transmission control information for the Downlink Shared Channel (DSCH) and Uplink Shared Channel (USCH) between UTRAN and UE. The SHCCH exists in TDD only since its associated shared transport channels are only used in this mode of operation. The BCCH and the PCCH are downlink only channels. The BCCH broadcasts system control information and the PCCH is used to indicate to a UE that it should establish a dedicated connection to the network. This paging is performed when the UE can not be reached by dedicated signalling. The network might not know the exact location of the UE on cell level. The MCCH and the MSCH are control channels added for the MBMS service in Release 6 of the 3GPP specication. Both are downlink pointto-multipoint channels. The MCCH is responsible for transmitting MBMS control information from UTRAN to the UEs. The MSCH is used to send scheduling control information for the associated MTCHs to the UEs.
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2.2.5.2
Transport Channels
The interface between the MAC layer and the PHY is characterized by the so-called transport channels. Transport channels are distinguished by the way the data is transferred over the radio interface. The units which are used to transfer data are called Transport Blocks (TBs). TBs are bit strings with a length not necessarily being a multiple of eight bits. Multiple equally sized TBs which are transmitted within one TTI on one transport channel form a so-called Transport Block Set (TBS). A TTI is typically 10, 20, 40 or even 80 ms long. With the introduction of the HS-DSCH and the Enhanced Dedicated Channel (E-DCH) a 2 ms TTI has been added for those channels. The characteristics of a TBS during a TTI on one transport channel are described by the TF. A TF consists of two parts, a dynamic part and a semi-static part. The dynamic part contains information about the TB size, the TBS size and, in case of TDD, the TTI length. In Frequency Division Duplex (FDD) the TTI length is xed for each transport channel and, therefore, is part of the semi-static part. Furthermore, physical layer parameters used for error detection and correction, e.g. CRC length and type of FEC, as well as the rate matching parameters belong to the semistatic part. The dynamic part varies between TFs of one TFS. Parameters belonging to the semi-static part are the same for all TFs within a TFS. The semi-static parameters can only be changed by a transport channel reconguration done by RRC. The transport channels can be divided into dedicated and common transport channels. Details about both types are given in the following. 2.2.5.2.1 Dedicated Transport Channels
Dedicated transport channels provide a connection between the UTRAN and one designated UE. The UE is identied by the characteristics of the physical channel, i.e. frequency and code. In TDD mode the timeslot is an additional characteristic. The MAC standard [30] species two dedicated transport channels which are the DCH and the E-DCH. The DCH is dedicated to one UE. It exists in uplink and downlink. Both unidirectional and bidirectional congurations are possible. A UE can have more than one DCH dedicated to it. For the DCHs features like fast power control, soft handover, beam forming with smart antennas and the opportunity of fast rate changes, i.e. every 10 ms TTI, are applicable.
35
The E-DCH is an uplink only transport channel. Introduced in Release 6 the E-DCH extends the DCH with features which originally have been introduced for the HS-DSCH. Primarily these features are link adaptation and HARQ. The E-DCH has a mandatory TTI of 10 ms. Furthermore, an optional TTI of 2 ms has been added to the E-DCH feature scope. Hence, a fast rate change within a 2 ms interval can be achieved. Inner loop power control is available for the E-DCH by always being associated to another fast power controlled channel. 2.2.5.2.2 Common Transport Channels
Common transport channels are shared between all UEs. Hence, in-band identication is required if not all UEs should be addressed. The identication of UEs is a task performed by the MAC layer. The following channels are included in the Release 6 of the MAC specication: The UTRAN broadcasts system information into an entire cell with the Broadcast Channel (BCH). There exists one BCH in each cell. As a UE can not register to the network without the possibility to decode the BCH this channel transmits with relatively high power in order to reach all UEs within the intended coverage area. Since all UEs have to be able to decode the BCH it is xed to a low data rate of 12.3 kbit/s. The BCH always has one xed TF which is known by all UEs and a TTI of 20 ms. The UTRAN broadcasts control information like paging and notication information elements with the Paging Channel (PCH) into an entire cell. Since the initiation of the communication with a UE, e.g. because of a speech call, is done by the PCH the PCH has to be received in the whole cell. The physical layer allows for ecient UE sleep mode procedures to reduce power consumption using PHY signals called page indicators. One PCH is allowed in each cell. The TTI of the PCH is 10 ms for FDD and 20 ms for TDD. The Random Access Channel (RACH) is a contention based uplink channel used for the transmission of small amounts of data, e.g. for initial access or location update. It can also be used to send small amounts of packet data like a Uniform Resource Identier (URI) in a Hypertext Transfer Protocol (HTTP) request before the DCHs are established. In principle the RACH uses the Slotted ALOHA protocol [137] to resolve collisions between UEs. A maximum theoretical data rate of 16.8 kbit/s is shared between all UEs in one cell. Several RACHs may be congured in one cell.
36
The RACH uses open loop power control and has a TTI of 10 ms or 20 ms. In TDD mode only the 10 ms TTI is used. The Forward Access Channel (FACH) is a common downlink channel used for the transmission of small amounts of data [70]. In one cell there can be more than one FACH. Because the FACH is used to answer requests on the RACH there has to be at least one FACH with such a low bit rate that it can be received by all UEs in the regarded cell. Additional FACHs may have higher data rates. Fast rate change on a 10 ms TTI basis is a possible feature of the FACHs. The FACH lacks the ability to use fast power control, only slow power control is utilizable. The DSCH and the USCH are channels shared by several UEs. Both carry dedicated control or trac data and exist in TDD mode only. More than one DSCH and USCH may be congured in a TDD cell. Beam forming is an optional feature of both channels which is applicable in certain congurations. Without using beam forming the DSCH may be broadcasted in an entire cell. The DSCH is always associated with a DCH or a FACH. When associated with a DCH the DSCH is able to use inner loop power control. Otherwise only slow power control is available. The USCH can also be power controlled and is able to change its rate fast. As the USCH is an uplink channel features like uplink synchronisation and timing advance are available. The HS-DSCH is a downlink channel which is shared by serveral UEs. A xed TTI of 2 ms for FDD and 10 ms for TDD is used by the HS-DSCH. Data to up to four UEs may be transmitted within each TTI. The targeted UEs and the amount of data are selected by the fast scheduling taking the individual channel conditions into account. The addressing of these UEs is done by one or more associated shared physical channels, the High Speed Shared Control Channels (HS-SCCHs), which also carry information needed for the decoding of the HS-DSCH data. The HS-DSCH is using HARQ and is able to do link adaptation by varying the modulation, channel coding and transmission power. When addressing individual UEs the HS-DSCH may make use of beam forming but also a broadcast to the entire cell is available. HARQ feedback and channel quality information is transmitted in the uplink by an associated signalling channel, the High Speed Dedicated Physical Control Channel (HS-DPCCH). In contrast to DCH and E-DCH no macro diversity is applied to the HS-DSCH.
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2.2.5.3
Dedicated Channels and the MAC-d Entity
The MAC-d (MAC-dedicated) entity is responsible for handling the DCHs allocated to a UE. There is one MAC-d entity in the UE and one MAC-d entity in the UTRAN for each UE. In the UTRAN the MAC-d entity is located in the SRNC which is in charge of the corresponding UE. Figure 2.18 shows the structure of the MAC-d entity in both the UE and the UTRAN. Compared to the other MAC entities the MAC-d entity is constructed in a mostly symmetrical way in terms of UE and UTRAN functionality. The logical channels which can be mapped on the DCH are the DCCH and the DTCH. Alternatively, these logical channels can be mapped to common transport channels. In order to do so the MAC-d entity has a function called Transport Channel Type Switching. On request by RRC the MACd entity may forward higher layer PDUs to other MAC entities which are in charge of the corresponding transport channels. In detail these are the MAC-c/sh/m for the RACH and FACH as well as the DSCH and USCH, the MAC-hs for the HS-DSCH and the MAC-e/es for the E-DCH. In case one of these entities is not in the same network element the MAC-d entity applies Flow Control mechanisms to limit the buering in this network element. It is important to keep the amount of buered data small so that the RLC ARQ mechanism can work in an ecient way. When a DTCH or DCCH is mapped on the HS-DSCH the Flow Control is always necessary as the MAC-hs entity is located in the Node B. When a mapping to the FACH or DSCH is congured the Flow Control is needed because the CRNC containing the MAC-c/sh/m entity is not necessarily the SRNC where the MAC-d entity is located. In case the entities are in the same network element (i.e. MAC-es and MAC-d in the SRNC as well as all entities in the UE) Flow Control is not needed. A detailed description of the Flow Control mechanisms on the Iur interface can be found in [35]. When more than one DTCH or DCCH is mapped on the same transport channel the MAC-d entity is in charge of multiplexing/demultiplexing the individual data ows. By introducing a 4 bit multiplexing header, the socalled Control/Trac (C/T) eld, up to 15 dierent logical channels carried on the same transport channel can be distinguished. If there is a one-toone relationship between a logical channel and a transport channel no C/T header eld is added to the MAC SDU. This multiplexing also implies a scheduling to be done by the MAC-d entity. Based on the MAC Logical Channel Prioritys (MLPs) of the logical
38
MAC Control
DCCH DTCH DTCH
MAC Control
DCCH DTCH DTCH
MAC-d
Transport Channel Type Switching
MAC-d
Transport Channel Type Switching
C/T MUX
Deciphering
C/T MUX / Priority setting (DL)
Deciphering
from MAC-hs to/from MAC-c/sh/m
C/T MUX
Flow Control
C/T MUX
to MAC-hs
UL: TFC selection
to MAC-e/es Ciphering
from/to MAC-c/sh/m
DL scheduling / priority handling
Ciphering from MAC-es
DCH
DCH
DCH
DCH
(a) UE side
(b) UTRAN side
Figure 2.18: MAC-d architecture
channels and the BOs of the RLC entities the MAC-d scheduler requests a certain amount of RLC PDUs from each RLC entity. The amount of data which can be transmitted on a DCH within one TTI is given by the selected TF. Every DCH has a TFS out of which the MAC-d scheduler selects an appropriate TF every DCH specic TTI, i.e. every 10, 20, 40 or 80 ms. Because multiple DCHs may be jointly encoded on the same Coded Composite Transport Channel (CCTrCH) in the PHY not all combinations of TFs are possible. In order to not exceed limitations within the PHY in this case, e.g. puncturing limits or transmission power, a restricted set of TFCs is given by the TFCS. This set of allowed TFCs is congured by the RRC layer. The data unit exchanged between the MAC-d entity and the physical layer is called TBS. A TBS consists of TBs which correspond to the exchanged MAC PDUs. These PDUs may contain MAC SDUs originating from dierent logical channels. Even if this multiplexing is applied the TBs within one TBS are of the same size. The size of the TBs and the number
39
of TBs transmitted within one TTI are given by the dynamic part of the TFs. In TDD mode even the TTI length belongs to the dynamic part of the TFs and, therefore, it may vary between the TFs of one TFS. The semi-static part of a TF mostly covers parameters relevant for the PHY like error protection scheme and CRC size. Within one TFS the semi-static is the same for all TFs. Additionally to the scheduling of PDUs transmitted on the DCHs the MAC-d entity in UTRAN has the task to set the priorities associated with the PDUs which are transmitted on shared channels. The forwarding of this priority information to the MAC-c/sh/m or MAC-hs entity allows those entities to schedule individual UEs and trac ows of a UE. For logical channels connected to TM RLC entities the MAC-d entity performs ciphering and deciphering. Only when these logical channels are mapped onto a DCH this enciphering is possible. The ciphering unit is the MAC SDU. The MAC header is not ciphered. The selection of the ciphering algorithm and the key conguration are done by the RRC using the control SAP of the MAC-d entity. Details about ciphering can be found in [42]. 2.2.5.4 High Speed Downlink Packet Access
The MAC-hs entity, introduced in Release 5 of the UMTS specication, is responsible for handling the HSDPA functionality in the MAC layer. Figure 2.19 illustrates the architecture of this entity at both the UE and UTRAN side. The transport channel the MAC-hs entity is in charge of is the HS-DSCH. Additionally to this transport channel further uplink and downlink signalling channels are required by the MAC-hs entity. There is no logical channel directly mapped to the MAC-hs entity. Instead the MAC-hs entity is connected to the MAC-d entities and, therefore, carries trac of the DTCH and DCCH. These connections are achieved by so-called MAC-d ows. In the UE the MAC-hs entity is directly connected to the MAC-d entity, while in UTRAN two alternatives exist [29]. Either MAC-hs and MAC-d have a direct connection, like in the UE case, or the MAC-d trac is routed via the MAC-c/sh/m entity (compare Figure 2.16 and Figure A.3). In the UTRAN there exists one MAC-hs entity for every cell which supports HS-DSCH transmission. These MAC-hs entities are located in the Node B. For both of the above conguration alternatives (with or without MAC-c/sh/m) a companion Flow Control function to either the Flow Control function in the MAC-c/sh/m or MAC-d exists. By these Flow Control
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to MAC-d
MAC Control
MAC-d Flows
MAC Control
MAC-hs
Scheduling / Priority handling
MAC-hs
Disassembly
Disassembly
Priority Queue distribution Priority Queue distribution
Reordering
Reordering
Priority Queue
Priority Queue
Priority Queue
Priority Queue
Reordering queue distribution

HARQ entity
HARQ
TFRC selection
HS-DSCH Associated Associated Downlink Signalling Uplink Signalling
HS-DSCH Associated Associated Uplink Signalling Downlink Signalling
(a) UE side
(b) UTRAN side
Figure 2.19: MAC-hs details
functions the layer 2 signalling latency is limited and, therefore, the discarding and retransmission of RLC PDUs as a result of HS-DSCH congestion is reduced. In general, the Flow Control tries to keep the buering in the Node B at an adequate level where sucient data is available when a UE is to be scheduled. This is a requirement to use the radio resources in a most ecient way. On the other hand the amount of buered data is kept as small as possible so that the Round Trip Time (RTT) is not unnecessarily increased and the amount of data which is lost during a buer ush in case of handover is minimized. Details about the Flow Control mechanism and protocol can be found in [37] and [36]. In UTRAN the data received on the MAC-d ows for one UE is put into up to 8 Priority Queues (PQs) which are used to buer the MAC-d PDUs for this user [66]. One UE may be associated with one or more MAC-d ows. Each MAC-d ow contains MAC-d PDUs for one or more PQs. Every single MAC-d PDU is assigned a specic Scheduling Priority Indicator (SPI) so that PDUs from dierent services can be handled with dierent priorities
41
by the priority handling function. The PQ distribution function allocates the arriving MAC-d PDU to the corresponding PQ whose priority is the same as the SPI of the PDU. Hence, at any time all the PDUs buered in one PQ have the same SPI. The UTRAN MAC-hs entity has one scheduling and priority handling function which takes care of the scheduling of dierent UEs and the data ows within a single UE. The scheduling and priority handling function manages HS-DSCH resources between HARQ entities of dierent UEs and data ows according to their priority. In order to do so it selects the HARQ entities and corresponding PQs which are to be serviced. Assisted by status reports from the associated uplink signalling either new transmissions or retransmissions can be triggered by the scheduling function. For both transmitted and retransmitted MAC-hs PDUs the scheduler determines a suitable Redundancy Version (RV) and indicates it to the PHY. Detailed information about these RVs and their role for supporting dierent HARQ schemes will be presented in Section 2.3.1.3 and Section 2.3.1.5. New transmissions may be initiated in favor of pending retransmissions to support the priority handling. Furthermore, the scheduler triggers new transmissions in case a maximum number of retransmissions has been reached or the MAChs PDUs are out-of-date and to be discarded. In this case it is up to the RLC layer to retransmit missing data. For every MAC-hs PDU to be transmitted the scheduler indicates the queue identier and Transmission Sequence Number (TSN) to the HARQ entity. Both the queue identier and the TSN are part of the MAC-hs PDU header. The 3 bit queue identier allows the reordering queue distribution function in the UE to map received PDUs to the correct reordering queues. Each reordering queue in the UE corresponds to a PQ in the MAC-hs entitiy in UTRAN. The reordering queues store received MAC-hs PDUs and reorder them with a sliding window scheme according to the received TSNs. The TSN is a queue specic counter ranging from 0 to 63 which is increased for every transmitted MAC-hs PDU. If no PDUs with a lower TSN are missing the MAC-hs PDUs with consecutive TSNs are delivered in the correct order to the disassembly function. The disassembly function extracts the MAC-d PDUs from the MAC-hs PDU and forwards them to the UE side MAC-d entity which in turn sends the contained SDUs to the higher layers. In case a MAC-hs PDU is not yet correctly received all MAC-hs PDUs with a higher TSN are kept in the reordering buer and a timer for the missing PDU is started. This Reordering Release Timer (T1) is a timer
42
used to control the stall avoidance in the UE reordering buer. On expiry the UE assumes the MAC-hs PDU to be nally lost and forwards PDUs with higher TSNs to the disassembly function anyhow. In the UTRAN the T1 timer with the same value exists for every transmitted but unacknowledged MAC-hs PDU. Upon expiry the Node B does not try to retransmit the not yet acknowledged PDU. The value of T1 is congured by the RRC layer using the control SAP of the MAC-hs entity. In the UTRAN MAC-hs entity there is one HARQ entity per UE. Each HARQ entity consists of up to 8 HARQ processes which implement parallel stop-and-wait HARQ protocols. These parallel HARQ processes are needed because of the round-trip time from the transmission of a PDU until its acknowledgment. As it takes 5 TTIs for the Node B to get the associated Acknowledgement (ACK)/Negative Acknowledgement (NACK) response for a single HARQ process, at least 6 processes are required to continuously transmit data to a single UE. For UEs having a higher minimum inter-TTI interval for HSDPA reception, i.e. every 2nd or 3rd TTI, a smaller number of HARQ processes is sucient. When the scheduler forwards the scheduling result for an initial transmission to the HARQ entity of the scheduled UE, the HARQ entity is constructing the MAC-hs PDU containing the queue identier and the TSN. In addition a suitable HARQ process is selected to transmit the MAC-hs PDU. The HARQ process number is not part of the MAC-hs PDU. Instead the associated downlink signalling carries this information. Additionally, the receiver is informed by toggling the New Data Indicator (NDI) bit of the associated downlink signalling that a MAC-hs PDU belonging to an initial transmission is to be expected. When a retransmission is triggered by the scheduler, the HARQ entitity does not need to create a new MAC-hs PDU. The HARQ process just repeats the transmission with an unchanged NDI bit and, potentially, a changed RV parameter. Status messages, e.g. ACK/NACK signalling, are received by the HARQ process and delivered to the scheduler. The Transport Format and Resource Combination (TFRC) selection in UTRAN is in charge of choosing an appropriate TF and the resources used for the transmission of the MAC-hs PDU on the HS-DSCH. The selected resources are the used channelization codes and the modulation scheme. Based on the TF a number of MAC-d PDUs is put into the MAC-hs PDU and the generated TB is sent to the PHY. The TB size information together with the selected resources are signalled to PHY which is in charge of encoding and sending this associated downlink signalling using the HS-SCCH.
2.3. Physical Layer
43
In the UE the HARQ entity of the MAC-hs is in charge of handling the UE side functions related to the HARQ protocol. Based on the downlink signalling the HARQ entity selects the used HARQ process for the succeeding HS-DSCH transmission. Depending on the decoding status of the received transmission the HARQ process sends either a positive acknowledgment (ACK) or negative acknowledgment (NACK) back to the Node B via the associated uplink signalling. If a MAC-hs transmission is correctly received the MAC-hs PDU is forwarded to the correct reordering queue based on the queue identier within the PDU. In case a MAC-hs transmission can not be decoded correctly, the content of the transmission is kept in the UEs soft buer until a further retransmission adds enough redundancy to achieve a positive decoding result. In case the NDI bit is toggled the UE ushes the soft buer and starts with the reception of an initial transmission. When the soft buer contained information from previous unsuccessful transmission attempts this information is lost and the partially received MAC-hs PDU is discarded. As in UTRAN the HARQ entity contains up to 8 HARQ processes. Per TTI only one HARQ process may receive data from the Node B.
2.3
Physical Layer
In this section the PHY of the UMTS radio interface is described with respect to these aspects which are relevant for the performance evaluation presented in Chapter 4. The general description of the PHY and an overview of the 3GPP document structure specifying the PHY can be found in [16]. The services oered by the PHY to the higher layers are summarized in [26]. One of the most important services provided to the higher layers are the transport channels which have already been introduced in Section 2.2.5.2. The PHY maps these transport channels to physical channels. The physical channels dier depending on the duplexing mode. UMTS supports two duplexing schemes. In the FDD mode the uplink and downlink have their own dedicated frequency bands. Hence, FDD can only be operated with paired frequency bands. In TDD the uplink and downlink are transmitted within the same frequency band and, therefore, unpaired frequency bands can be used. Duplexing is achieved by using the time domain instead of the
44
frequency domain. Based on Radio Resource Management (RRM) decisions or static conguration certain time slots are used for the uplink and the others for the downlink. By allocating an uneven number of time slots for uplink and downlink the TDD mode is suited well for asymmetric services. However, this exibility is limited as the switching point between uplink and downlink is typically the same for neighbouring cells because of interference aspects. The FDD mode is always used with two paired 5 MHz carriers. The chip rate (see Section 2.3.2.5) is xed to 3.84 Mcps1 . In TDD three submodes are available which are characterized by their carrier bandwidth and chip rate. Similar to the FDD mode a 3.84 Mcps conguration deployed on a single 5 MHz carrier exists. Furthermore, a 7.68 Mcps mode using a 10 MHz bandwidth and a 1.28 Mcps mode on a 1.6 MHz carrier are available. The 5 MHz modes are referred to as WCDMA while the 1.6 MHz mode is frequently called Narrowband Code Division Multiple Access (NCDMA). Depending on operator and country the carrier spacing might be smaller than the nominal bandwidth. 5 MHz carriers may, for example, be placed at distances ranging from 4.4 to 5 MHz. The complete mapping of transport channels to physical channels for both FDD [17] and TDD [21] is shown in Table 2.1. The physical channels which carry the data parts of the transport channels are written on the same line in the table. Associated signalling channels are listed below these physical channels. The FACH and the PCH are the only transport channels of dierent type which are both mapped on the same physical channel. Physical channels which are not directly associated to one of the transport channels are listed at the bottom part of the table. 2.3.1 Transport Channel Coding and Multiplexing
The transport channels, used for data transmission by the MAC layer, traverse several processing steps in the PHY. Figure 2.20 illustrates these steps for the majority of transport channels. In detail these are the DCH, RACH, FACH, BCH and PCH as well as the TDD only DSCH and USCH. The FDD downlink processing is shown on the left hand side of the gure, while the FDD downlink as well as both TDD transmission directions are depicted on the right hand side.
1 3.84
106 chips per second
2.3. Physical Layer
45
Table 2.1: Mapping of transport channels to physical channels Transport Channel BCH FACH PCH RACH DSCH USCH DCH Physical Channel FDD TDD P-CCPCH P-CCPCH S-CCPCH S-CCPCH PRACH PRACH PDSCH PUSCH DPCH
HS-DSCH
E-DCH
DPDCH DPCCH F-DPCH HS-PDSCH HS-SCCH HS-DPCCH E-DPDCH E-DPCCH E-AGCH E-RGCH E-HICH CPICH SCH AICH PICH MICH
HS-PDSCH HS-SCCH HS-SICH E-PUCH E-UCCH E-AGCH E-HICH E-RUCCH SCH PICH MICH PNBSCH (3.84 Mcps) PLCCH (1.28 Mcps) DwPCH (1.28 Mcps) UpPCH (1.28 Mcps) FPACH (1.28 Mcps)
46
TrCH 1 CRC attachment CRC attachment
TrCH X CRC attachment
TrCH 1 CRC attachment
TrCH X
TB concatenation / Code block segmentation
Channel coding
Channel coding
Channel coding
Channel coding
Rate matching
Rate matching
Radio frame equalization
Radio frame equalization
First insertion of DTX indication
First insertion of DTX indication
First interleaving
First interleaving
First interleaving
First interleaving
Radio frame segmentation
Rate matching
Rate matching
TrCH multiplexing
TrCH multiplexing
Second insertion of DTX indication CCTrCH Physical channel segmentation
Bit scrambling (TDD) CCTrCH Physical channel segmentation
Second interleaving
Second interleaving
Physical channel mapping
PhCH 1
PhCH Y
PhCH 1
PhCH Y
(a) FDD downlink
(b) FDD uplink and TDD
Figure 2.20: Transport channel multiplexing and coding
The detailed processing steps per transport channel, as specied in [18] for FDD and [22] for TDD, are described in the following sections. Error detection by using a CRC is described in Section 2.3.1.1. All TBs and their corresponding CRC values are concatenated. Section 2.3.1.2 summarizes the available error correction schemes for the resulting concatenated sequence. The channel coded sequence with its redundancy information is adapted to the number of available transmission bits by the Rate Matching (RM) algorithm as outlined in Section 2.3.1.3. The downlink Discontinuous Transmission (DTX) mechanism is treated by Section 2.3.1.3 as well. As multiple transport channels can be multiplexed on the same CCTrCH the RM algorithm jointly processes this set of channels.
2.3. Physical Layer
47
For transport channels with a TTI spanning multiple radio frames, rst interleaving across radio frames as described in Section 2.3.1.4 takes place. Radio frame segmentation is in charge of distributing the interleaved bits to the individual radio frames belonging to the same TTI. Padding bits are inserted by the radio frame equalization in case the bit sequence can not be exactly split into equally sized parts. Transport channel multiplexing is performed by concatenating the bit sequences of each transport channel on a radio frame basis. In the TDD mode bit scrambling is performed. In the FDD downlink additional DTX indicators are appended to the concatenated sequence to ll the remaining available bits of the physical channels. After the above processing steps the resulting bit sequence, also referred to as CCTrCH, is split into segments according to the number of physical channels to be used for the transmission. On each of these segments a second interleaving as described in Section 2.3.1.4 is made. Finally, the interleaved segments are given to the physical channels for further processing. Slightly dierent to the processing of the channels described above is the handling of the HS-DSCH and E-DCH. Figure 2.21 illustrates the processing chains of these channels for both FDD and TDD mode. The upper parts of the chains are similar to the general handling as illustrated before. A CRC of a xed size of 24 bits (Section 2.3.1.1) and turbo coding as presented in Section 2.3.1.2 are used. The HARQ based HS-DSCH and E-DCH allow Incremental Redundancy (IR) to be applied. IR is achieved by varying parameters of the RM algorithm, depicted in Section 2.3.1.3, and rearranging the bit to symbol mapping (constellation rearrangement) as described in Section 2.3.1.5. The interleaving on radio frame level is basically the same as the Second Interleaving for the non-HARQ based channels. For higher order modulation schemes parallel interleavers are used as illustrated in Section 2.3.1.4. A further dierence to the normal processing of transport channels exists for the TDD case. For the TDD EDCH and HS-DSCH the interleaving is done for all bits of one radio frame, while in case of FDD the interleaving is done per physical channel (dotted lines in Figure 2.21). Therefore, physical channel segmentation is only needed for FDD.
48
CRC attachment
CRC attachment
Bit scrambling (FDD)
Code block segmentation
Code block segmentation
Channel coding
Channel coding
PHY HARQ functionality / Rate matching
PHY HARQ functionality / Rate matching
Bit scrambling (TDD)
Bit scrambling (TDD)
Physical channel segmentation (FDD)
Physical channel segmentation (FDD)
HS-DSCH interleaving
E-DCH interleaving
Constellation rearrangement for 16QAM and 64QAM
Constellation rearrangement for 16QAM (TDD)

E-DPDCH 1 (FDD) E-DPDCH Y (FDD) E-PUCH 1 (TDD) E-PUCH Y (TDD)
HS-PDSCH 1
HS-PDSCH Y
(a) HS-DSCH
(b) E-DCH
Figure 2.21: Transport channel coding chain for HS-DSCH and E-DCH
2.3.1.1
Error Detection
Transmission errors of TBs are detected in the receiver by a CRC check. To do so every transmitted TB is appended by CRC parity bits which are calculated by the bits of the TB and one of the cyclic generator polynomials from Eqs. (2.1) to (2.4). gCRC 24 (D) gCRC 16 (D) gCRC 12 (D) gCRC 8 (D) = = = = D24 + D23 + D6 + D5 + D + 1 D D
16 12
(2.1) (2.2) (2.3) (2.4)
+D +D
12 11
+D +1 +D +D +D+1
3 2
D8 + D7 + D4 + D3 + D + 1
2.3. Physical Layer
49
Depending on which polynomial is used the CRC parity has a length of 8, 12, 16 or 24 bits. The CRC length is either specic to the type of transport channel or it can be congured by the RRC using the semi-static part of the TBS. Some transport channels, e.g. HS-SCCH and E-DCH Absolute Grant Channel (E-AGCH), use a CRC masking technique to address UEs on shared transport channels. By masking the CRC value with the Radio Network Temporary Identier (RNTI) of the addressed UE, i.e. performing an Exclusive Or (XOR) calculation, at the Node B and the congured RNTI at the UE, only the addressed UE is able to successfully perform the CRC calculation. 2.3.1.2 Forward Error Correction
Because of the relatively high bit error rate of the wireless channel FEC is required to assure a reliable transmission. In UMTS a Convolutional Code (CC) of rate 1/2 and 1/3 as well as a Turbo Code (TC) of rate 1/3 are available for FEC. The generator polynomials for the convolutional code of rate 1/2 can be found in Eqs. (2.5) and (2.6). The polynomials for the 1/3 rate code are listed in Eqs. (2.7), (2.8) and (2.9). Figure 2.22 illustrates the structure of both convolutional coders. The coders of both rates have a constraint length of 9. GCC 1 (x) = x8 2 ,1 GCC 1 (x) = x 2 ,2
8
+x 6 +x
7
+x 5 +x
5
+x4 +x
3
+1 +x +1
(2.5) (2.6)
+x
8 1 GCC 3 ,1 (x) = x 8 1 GCC 3 ,2 (x) = x

1 GCC 3 ,3 (x) = x
+x 6 +x 7 +x
7 6
+x 5 +x 5 +x4
+x3
3
+x 2
+x +x
+1 +1 +1
(2.7) (2.8) (2.9)
+x
+x
The turbo coder in UMTS uses a Parallel Concatenated Convolutional Code (PCCC). The repetition of the input bits, i.e. the systematic bits, and
50
Input
D
Output 0 G0= 561 (octal) Output 1 G1= 753 (octal)
(a) Rate 1/2 convolutional coder Input
D
Output 0 G0= 557 (octal) Output 1 G1= 663 (octal) Output 2 G2= 711 (octal)
(b) Rate 1/3 convolutional coder
Figure 2.22: Convolutional coding with rate 1/2 and rate 1/3
the output of two parallel encoders with the transfer function in Eq. (2.10) lead to a code rate of 1/3. The input bits of the second encoder are shued by an interleaver. The block diagram of the complete turbo coder is shown in Figure 2.23. Further details can be found in [18]. GT C ( x) = x3 + x + 1 x3 + x2 + 1 (2.10)
The input bits for the coding are the concatenated TBs including their CRC values. If the number of bits in this bit sequence exceeds certain thresholds, i.e. 504 bits for convolutional coding and 5114 bits for turbo coding, code block segmentation takes place. In case of code block segmentation the input sequence is split into equally sized blocks which are encoded independently. The selected coding algorithm (turbo coding, convolutional coding or no coding) and the coding rate are part of the semi-static part of the TFS which is congured by RRC. After all input bits have been shifted into the encoder the trellis termination takes place. Trellis termination is needed to get the same redundancy information also for the last bits fed to the encoder. For the convolutional coder 8 zero bits are added to the input sequence. These padding bits lead to a deterministic nal state of the shift
2.3. Physical Layer

xk
1st constituent encoder
51
zk
Input
xk
Input
Output 2nd constituent encoder
Turbo code internal interleaver

Output
z'k
x'k
x'k
Figure 2.23: Turbo coding with rate 1/3
registers. All registers contain binary zeros after termination. For the turbo coder the same is achieved by internally disabling the shift register feedback and shifting zeros into the 3 registers of both constituent encoders. Trellis termination leads to 16 or 24 additional output bits for the convolutional coder variants and 12 additional bits for the turbo coder for every code block. Finally, the encoded code blocks are concatenated again.
2.3.1.3
Rate Matching
RM is a mechanism to map the encoded bits of the turbo or convolutional coder to the bits available for transmission on the physical channels. If less bits are available on the physical channels, puncturing of the encoded bit sequence takes place. The RM of UMTS allows to remove an arbitrary number of bits from the encoded sequence by a predened algorithm. By this puncturing mechanism variable coding rates between 1 (no coding) and 1/2 or 1/3 (the mother code rates of the convolutional and turbo coder) can be achieved. The opposite case, i.e. the physical channels have more bits available than required by the encoded bit sequence, can be handled by the RM
52
algorithm in a similar way. Repetition of input bits allows to match to the number of available transmission bits for this case. The eective coding rate of the transmission is reduced compared to the mother code rate if repetition of bits is applied. The number of input bits to be repeated can be controlled with a bit granularity as well. In general the repetition of a large amount of bits is avoided with respect to the spectrum eciency of the system. In UMTS several mechanisms are used to limit repetition of coded bits to a sucient amount or avoid it completely. In the uplink the Spreading Factor (SF) to be used for a transmission is calculated before the RM takes place. For the lowest SF 4 the number of required codes may be chosen as well. The required SF and the amount of channelization codes to achieve a certain Block Error Rate (BLER) are derived by the Puncturing Limit (PL) and RM parameter as congured by higher layers. By selecting a high SF and a small number of channelization codes the transmission power and, therefore, UL interference is reduced. In the downlink the usage of a variable SF is not possible as the allocation of channelization codes is xed and may only be changed by RRC signalling. Instead of the UL mechanism the PHY in the Node B uses DTX to avoid transmitting unnecessary information bits. If only a small amount of data is to be transmitted, DTX indicators are inserted into the bit sequence after the RM. The DTX indicators disable the transmitter for the corresponding bit positions and, therefore, reduce DL interference. For the case that multiple transport channels are mapped to the same physical channels, i.e. they are multiplexed on a so-called CCTrCH, the RM is in charge of distributing the available bits to the individual transport channels. Every transport channel is congured with a rate-matching attribute which is included in the semi-static part of its TFS. Based on these attributes the RM algorithm may prioritize transport channels with respect to the bits allocated to them. QoS dierentiation in terms of service specic residual Bit Error Rate (BER) and BLER targets can be achieved by this method. One example where this method is applied is the speech services of UMTS where important and less important bits of the AMR codec have unequal residual BERs. Dierent RM schemes are selected for convolutionally coded and turbo coded channels. As illustrated in Figure 2.24(a), transport channels which make use of convolutional coding use the basic RM algorithm on the complete bit sequence as fed to the RM block. Both puncturing and repetition
2.3. Physical Layer
53
Radio frame segmentation (uplink) Channel coding (downlink) Rate matching Bit separation
Radio frame segmentation (uplink) Channel coding (downlink) Rate matching Bit separation
Systematic bits Parity 1 bits Parity 2 bits
Rate matching algorithm
Bit collection
Bit collection
TrCH multiplexing (uplink) 1st insertion of DTX indication (downlink)
TrCH multiplexing (uplink) 1st insertion of DTX indication (downlink)
(a) Convolutionally coded channels and turbo coded channels with repetition
(b) Puncturing of turbo coded channels
Rate matching Bit separation

RM_P1_1
RM_P2_1
First rate matching Rate matching Bit separation

Virtual IR buffer
RM_S
RM_P1_2
RM_P2_2
Second rate matching
RM_S
RM_P1_2
RM_P2_2
Bit collection
Bit collection
(c) HS-DSCH HARQ
(d) E-DCH HARQ
Figure 2.24: Rate Matching
of bits can be done with this algorithm. Turbo coded channels apply the same algorithm when repetition of bits takes place. For puncturing the turbo coded bit stream is split into three sequences (bit separation) which is depicted in Figure 2.24(b). The rst one contains the systematic bits while the second and third sequences contain the non-systematic bits from
54
the upper and lower constituent encoder, respectively. The systematic bits are not punctured for most of the transport channels (see below). The nonsystematic bits are equally punctured by independently applying the RM algorithm to both non-systematic bit sequences. After the RM is performed the three sequences are combined again by the bit collection mechanism. An exception to the above rule exists for the HARQ based channels HS-DSCH and E-DCH. Figure 2.24(c) and Figure 2.24(d) show the RM blocks for these channels, respectively. Both channels are always turbo coded and independent RM takes place for the systematic bits as well as for the two non-systematic bit sequences. Even in case of repetition the RM is performed for each sequence separately. The RV parameters s and r control how the RM is to be done for every transmission and retransmission. The parameter s indicates if either systematic bits or non-systematic bits are prioritized during RM. If non-systematic bits are prioritized, dierent puncturing patterns can be applied by varying the r value. In order to support UE categories with limited HARQ soft buer capacities the HS-DSCH rate matching is split into two stages. The rst one reduces the amount of bits to that amount which could be stored in the UEs memory. If sucient memory is available in the UE the rst rate matching stage is transparent. In the second stage the bit sequence is nally matched to the available physical channel bits. By varying the RV parameters different redundancy schemes can be applied in this stage. However, reduced soft buer capacities in the UE also reduce this exibility as the rather static rst rate matching gets dominant. As will be shown in Section 4.7 the gain of Incremental Redundancy (IR) over Chase Combining (CC) will be reduced in this case.
2.3.1.4
Interleaving
Interleaving of bits is performed in both the transmitter and the receiver to reduce the impact of burst errors which typically occur during radio transmissions. By reshuing the bit sequence, burst errors on the radio interface become distributed single bit errors at the decoder which signicantly improves the reliability of the FEC. In UMTS two levels of bit interleaving exist. The rst interleaving stage deals with the distribution of bits over multiple radio frames. In case the TTI of the transport channel is 2 ms or 10 ms the rst interleaving is transparent. For larger TTIs a block in-
2.3. Physical Layer
55
up,k(BPSK)
up,k (QPSK)
Interleaver (R2 x 30)
vp,k(BPSK)
vp,k (QPSK)
up,k(4PAM)
up,k up,k+1(16QAM) up,k up,k+1(64QAM) Interleaver (R2 x 30)
vp,k (4PAM)
vp,k vp,k+1(16QAM) vp,k vp,k+1(64QAM)
up,k+1(4PAM)
up,k+2 up,k+3(16QAM) up,k+2 up,k+3(64QAM)
vp,k+1(4PAM)
vp,k+2 vp,k+3(16QAM) vp,k+2 vp,k+3(64QAM)
up,k+4 up,k+5(64QAM)
Interleaver (R2 x 30)
vp,k+4 vp,k+5(64QAM)
Figure 2.25: Block interleaver
terleaver with inter-column permutation is used. The number of columns of the interleaver is given by the number of radio frames per TTI, i.e 2 columns for a 20 ms TTI, 4 columns for a 40 ms TTI and 8 columns for an 80 ms TTI. This selection of columns assures that consecutive input bits are always mapped to dierent radio frames. The number of rows of the interleaver depends on the length of the bit sequence. The second interleaving stage is responsible for shuing the bits within a radio frame. This interleaving is always done after the physical channel segmentation mapped the bits to the physical channels. Therefore, the interleaving takes place for every physical channel independently. Similar to the rst interleaving, a block interleaver with inter-column permutation is used as well. The number of columns of the interleaver has been chosen to be 30 so that consecutive bits are always mapped onto dierent modulation symbols and dierent slots of the radio frame (15 slots and 2 bits per Quadrature Phase-Shift Keying (QPSK) symbol). Based on the available bits per physical channel (given by the SF, the modulation and the burst structure) the number of rows of the interleaver is derived. In case of the FDD HS-DSCH the characteristics of the physical channels are xed and the number of rows is always 32. If multiple information bits are modulated on the same modulation branch, which is the case for 16QAM, 64QAM and the single branch 4PAM,
56
multiple parallel interleaver blocks are used to keep those information bits together. Figure 2.25 illustrates how the input bit sequence is mapped onto the parallel interleavers. Not interleaving the bits of one modulation symbol assures that bits mapped onto preferred positions in the modulation constellation are maintained by the interleaver. Typically systematic bits of the turbo coder are mapped onto bit positions which have a higher demodulation probability. For retransmissions the bit to symbol mapping may be changed by the constellation rearrangement. 2.3.1.5 Constellation Rearrangement
For the higher order modulation schemes 16-State Quadrature Amplitude Modulation (16QAM) and the 64-State Quadrature Amplitude Modulation (64QAM) the HARQ based HS-DSCH and the TDD E-DCH have a mechanism to deal with the imperfectly Gray-coded symbol constellation. The constellation rearrangement can be used to modify the bit to symbol mapping for HARQ retransmissions. Bits which are initially transmitted with a weaker symbol constellation may be retransmitted on a preferred bit position. The available rearrangements for 16QAM and 64QAM are listed in Table 2.2. Table 2.2: Constellation rearrangement for 16QAM and 64QAM Constellation version b 0 1 2 3 16QAM vk+1 vk+2 vk+3 vk vk+1 vk+2 vk+3 vk Output bit sequence for 64QAM vk+3 vk vk+1 vk+2 vk+3 vk+1 vk+4 vk+5 vk+2 vk+3 vk+3 vk+2 vk+3 vk+4 vk+5 vk+1 vk vk+1 vk+2 vk+3
vk vk+2 vk vk+2
vk+4 vk vk vk+4
vk+5 vk+1 vk+1 vk+5
2.3.2
Physical Channels
The physical channels receive the input bit stream from the physical channel mapping function of the transport channels. In general the task of the physical channels is to prepare the input bit sequence for the radio transmission. Main aspects which are considered are the multiple access scheme and duplexing mode in terms of frequency, code and time domain. Furthermore,
2.3. Physical Layer
57
the modulation and the control of transmission power are considered. The processing steps for the physical channels are specied in [19] and [23]. Each physical channel transmits its information in so-called slots. A slot is the resource allocation unit in the time domain of TDD. Furthermore, the granularity of the inner-loop power control is dened by these slots. Section 2.3.2.3 gives an overview of the slot- and overlying frame structures. 2.3.2.1 Downlink Physical Channel Processing
Figure 2.26 illustrates the processing steps in the FDD downlink. All physical channels except the Synchronization Channel (SCH) are handled in the same way. First the input bits are mapped to symbols by the modulation mapping. Groups of consecutive bits are mapped to one modulation symbol as described in Section 2.3.2.4. Both the I-branch and the Q-branch of the modulation symbols are spread by a channel specic channelization code CSF,n . The two resulting chip sequences are combined into a complex valued sequence which is scrambled by a complex valued cell specic scrambling code Sdl,i . Details about spreading as well as scrambling are given in Section 2.3.2.5. Before summing the chip sequences of all physical channels each channel is multiplied by a channel specic gain factor Gi which is set according to SF, channel specic quality and transmission power re-
I
Physical Channel S/P Modulation Mapper (QPSK, 16QAM or 64QAM)
Sdl,1 I+jQ
G1
CSF,n Q
G2 j P-SCH GP S-SCH GS to Modulation
Figure 2.26: Physical channel processing in FDD downlink
58
quirements. The transmission power is, for example, controlled by the fast inner-loop Transmit Power Control (TPC) as specied in [20] and [24]. In contrast to all other physical channels the SCH, consisting of a primary and a secondary sub-channel, is not scrambled. In order to nd a cell the primary SCH transmits a constant 256 chip sequence within every slot. The secondary SCH transmits 256 chip long slot specic sequences. Based on the permutation of these sequences the UE is able to detect the slot number as well as the scrambling code group of a cell. By trying out the 8 primary scrambling codes within a group, the UE deduces the primary scrambling code of that cell. Both the primary and the secondary SCH are multiplied by the gain factors GP and GS , respectively. Finally, all chip sequences are combined and modulated as depicted in Section 2.3.2.6.
2.3.2.2
Uplink Physical Channel Processing
In the FDD uplink the modulation is exactly the same as in the downlink. The processing before the modulation, however, diers as illustrated by the example in Figure 2.27. Each physical channel is either mapped to the I-branch or Q-branch. Therefore, the modulation mapping only uses one-dimensional mappings (compare Section 2.3.2.4). The real valued symbol sequences originating from the modulation mapping of each physical channel are spread to a real valued chip sequence by the channelization codes. Because of the orthogonality of the I-branch and the Q-branch, two independent code trees are used by the spreading stage (see Section 2.3.2.5). The spreaded sequences are independently weighted by gain factors. Every gain factor is set according to channel specic osets based on the SF of the channelization code and the chosen TFC. Furthermore, inner loop Power Control (PC) and transmission specic quality requirements are applied by the gain factors. After the gain control stage the signals from the channels of the I-branch and Q-branch are summed and a complex addition is performed. Finally, the complex valued chip sequence is scrambled with a UE specic scrambling code (Section 2.3.2.5) and sent to the modulation stage as depicted in Section 2.3.2.6. The mapping of physical channels to the I-branch and Q-branch is according to the following principle. The Dedicated Physical Control Channel (DPCCH) and the E-DCH Dedicated Physical Control Channel (E-DPCCH) are always transmitted on the Q-branch and the I-branch, respectively. Up
2.3. Physical Layer
59
to 6 Dedicated Physical Data Channels (DPDCHs), which are alternatingly mapped to the I-branch and the Q-branch, can be used in parallel by one UE. DPDCHs with an odd number are mapped to the I-branch and those with an even number are mapped to the Q-branch. The mapping of the HS-DPCCH depends on the number of congured DPDCHs. For 0, 1, 3 or 5 DPDCHs the HS-DPCCH is mapped to the Q-branch. Otherwise it is mapped to the I-branch. Similar to the DPDCHs the E-DCH Dedicated Physical Data Channels (E-DPDCHs) are mapped to the branches in an alternating manner. Depending on if a DPDCH or a HS-DPCCH is used the rst E-DPDCH is mapped on the I-branch or the Q-branch. The Physical Random Access Channel (PRACH) processing in the UE is similar to the one of the dedicated channels illustrated in Figure 2.27. The PRACH message data part is mapped on the I-branch and the control part on the Q-branch. Both parts are spread by individual channelization codes and weighted by independent gain factors. Finally, the combined complex chip sequence is scrambled and modulated.
Cd1 DPDCH1
Modulation Mapper (BPSK) Modulation Mapper (BPSK) Modulation Mapper (BPSK or 4PAM) Modulation Mapper (BPSK or 4PAM) Modulation Mapper (BPSK) Modulation Mapper (BPSK)
Cec
ec I
E-DPCCH
Ced1
ed1 Sdpch,n
E-DPDCH1
S/P
Ced2
ed2
I+jQ to Modulation
E-DPDCH2
S/P
Chs
hs Q
HS-DPCCH
Cc
c j
DPCCH
Figure 2.27: Processing of dedicated physical uplink channels in FDD
60
2.3.2.3
Frame Structure
As described in Section 2.3.1 the transport channels in UMTS transfer their information on a TTI basis. For most transport channels a TTI spans one or more 10 ms radio frames. In detail, a TTI may last 1, 2, 4 or 8 radio frames. A radio frame is subdivided into 5 subframes. The HSDPA related transport channels and the High Speed Uplink Packet Access (HSUPA) when operated in the optional 2 ms conguration are an exception as they are able to transmit on a subframe basis. In other words a TTI of 2 ms is available for these transport channels. Radio frames and subframes are further divided into slots. 3 slots form a subframe and 15 slots compose a radio frame. The transmission of the physical channels is based on these slots. Channels which apply the innerloop power control may change their transmission power 1500 times per second on a slot basis. Depending on the physical channel dierent slot formats are dened. Figure 2.28 illustrates the described frame structure and the physical channel dependent slot structures. At the top of the gure physical channels related to the DCH transmission are depicted. Below these the E-DCH related trac and associated signalling channels are shown. Finally, the physical channels in charge of the HS-DSCH transmission are described. Depending on the SF of a physical channel the number of bits per slot varies. The control channels depicted in the gure use xed SFs. For physical channels which use a variable SF, i.e. the downlink Dedicated Physical Channel (DPCH) as well as the uplink DPDCH and E-DPDCH, the respective formulas give the available number of bits per slot. The value range of variable k corresponds to the range of the SF (2k ) allowed for these physical channels. In case of the E-DPDCH and High Speed Physical Downlink Shared Channel (HS-PDSCH) the modulation scheme may be altered as well. Here, the variable M denotes the number of bits per modulation symbol. The most complex slot formats exist for the physical channels associated to the DCH (compare Table 2.1). Depending on the transmission direction the mapping of control information and data to the physical channels diers. In the downlink both kinds of information are multiplexed in time. Each DPCH slot carries DPDCH elds, containing DCH data, and DPCCH elds which transmit associated control information. The TPC eld carries the inner-loop power control commands which indicate to the receiver of this
2.3. Physical Layer
61
512 chips F-DPCH (Tx OFF) DPDCH DL DPCH Data1 Ndata1 bits Pilot Npilot bits TPC NTPC bits DPCCH TPC NTPC bits TFCI NTFCI bits (Tx OFF) DPDCH Data2 Ndata2 bits FBI NFBI bits DPCCH Pilot Npilot bits TPC NTPC bits
10*2 kbits (k=0..7)
UL DPCCH
TFCI NTFCI bits Data Ndata bits
10 bits
UL DPDCH
N data= 10*2 k bits (k=0..6)
E-RGCH E-HICH E-DPDCH
b0 b1
b39 bi,0
bi,1
bi,39
Data Ndata bits
N data = M*10*2 k bits (k=0..7)
E-DPCCH
10 bits
E-AGCH
20 bits
HS-SCCH
Data 40 bits Data Ndata bits HARQ-ACK 10 bits
Data 40 bits Data Ndata bits CQI 20 bits
Data 40 bits Data Ndata bits
HS-PDSCH
N data = M*10*2 k bits (k=4)
HS-DPCCH
Slot #0
Tslot = 2560 chips
Slot #1
Slot #2
Slot #0
Slot #1
Slot #2
Slot #3
Slot #4
Slot #5
Slot #6
Slot #7
Slot #8
Slot #9
Slot #10
Slot #11
Slot #12
Slot #13
Slot #14
Subframe #0
1 subframe (2 ms)
Subframe #1
Subframe #2
Subframe #3
Subframe #4
Frame
1 radio frame (10 ms)
Figure 2.28: FDD frame and slot structure
62
information if it shall increase or reduce the transmission power in the next slot. The Transport Format Combination Indicator (TFCI) eld contains bits of the Reed-Muller coded TFCI which allows the receiver to decode the TFCS carried on the DPDCH. Finally, known pilot bits are transmitted for channel estimation purposes. The exact number of bits within the DPDCH and DPCCH elds depends on the selected SF and the number of used slots within one radio frame in case compressed mode is applied. Furthermore, alternative slot formats are dened for the case that blind TF detection is congured and the TFCI is not transmitted. Contrary to the downlink, control information and data are not time multiplexed in the uplink. Instead orthogonal phases of the modulation are used to distinguish both. Additionally to the already described DPCCH elds the Feedback Information (FBI) eld is used in case closed-loop transmit diversity is applied in the downlink. In TDD the bursts transmitted within one slot signicantly defer from the described FDD slot formats. For details please refer to [21].
2.3.2.4
Modulation Mapping
The modulation mapping is the rst stage of the processing chain of a physical channel. The input sequence is the bit sequence as mapped to this physical channel by the transport channel processing. In the downlink, depending on the chosen modulation scheme, either 2, 4 or 6 bits of this sequence are jointly mapped to one modulation symbol. A modulation symbol is represented by two real valued components, the in-phase and quadrature component. Figure 2.29 shows the bit to symbol mapping alternatives for the FDD downlink. If the input sequence contains DTX indicators the symbol mapping differs from the gure. For the QPSK modulation the component corresponding to the DTX bit is set to 0. For one DTX bit this results in a Binary Phase-Shift Keying (BPSK) modulation. If both bits of a QPSK symbol contain DTX indicators the transmitter is completely switched o during this symbol. The higher order modulation schemes result in 0 valued components only in case all bits of a symbol contain DTX indicators. If at least one bit of a symbol does not contain a DTX indicator, all DTX positions are replaced by bits which are selected in order to improve the decoding probability of the non-DTX bits.
2.3. Physical Layer
63
Q
101111 101101 100101 100111
Q
000111 000101 001101 001111
1011
1001
0001
0011
101110 101100 100100 100110 000110 000100 001100 001110
10
00
101010 101000 100000 100010 000010 000000 001000 001010
1010
1000
0000
0010
101011 101001 100001 100011 000011 000001 001001 001011
I
1110 1100 0100 0110
I
111011 111001 110001 110011 010011 010001 011001 011011
111010
111000
110000
110010
010010
010000
011000
011010
11
01
111110 111100 110100 110110 010110 010100 011100 011110
1111
1101
0101
0111
111111 111101 110101 110111 010111 010101 011101 011111
-1
-1.3416
-0.4472
0.4472
1.3416
-1.5275 -1.0911 -0.6547 -0.2182 0.2182 0.6547 1.0911 1.5275
(a) QPSK
(b) 16QAM
(c) 64QAM
Figure 2.29: Downlink modulation mapping
In the FDD uplink only one-dimensional modulation mappings are used per physical channel. Figure 2.30 illustrates how 1 or 2 bits are mapped for the BPSK and 4-State Pulse Amplitude Modulation (4PAM) case, respectively. As physical channels in the UE are transmitted on either the inphase or the quadrature branch (compare Figure 2.27), QPSK-like and, for the E-DPDCH case, 16QAM-like constellations are possible by multi-code transmissions. The amplitudes of the in-phase and quadrature branches typically dier because of dierent gain factors for the individual physical channels.
Q
1 0
Q I
11 10 00 01
-1
-1.3416
-0.4472
0.4472
1.3416
(a) BPSK
(b) 4PAM
Figure 2.30: Uplink modulation mapping
The TDD uplink and downlink is similar to the FDD downlink with respect to the modulation constellations. The only dierences are a modied bit-to-symbol mapping and a phase shift of 45 . Details about the TDD modulation mapping can be found in [23].
64
2.3.2.5
Multiple Access
For a mobile communication system the multiple access scheme is an important feature. Multiple access allows to dierentiate the connections of multiple UEs. In UMTS the main multiple access scheme is a Code Division Multiple Access (CDMA) based technique named Direct-Sequence Code Division Multiple Access (DS-CDMA). DS-CDMA uses orthogonal sequences to spread the transmitted information to the target bandwidth. By using dierent orthogonal sequences parallel physical channels can be realized. The sequences, also referred to as spreading codes or channelization codes, are taken from a so-called Orthogonal Variable Spreading Factor (OVSF) code tree as illustrated in Figure 2.31.
C 4,0 = (1,1,1,1) C 2,0 = (1,1) C 4,1 = (1,1,-1,-1) C 1,0 = (1) C 4,2 = (1,-1,1,-1) C 2,1 = (1,-1) C 4,3 = (1,-1,-1,1) SF = 1 SF = 2 SF = 4 SF = 8
Figure 2.31: Channelization code tree
The building principle with which the sequences of the two sub-codes of a code CSF,n are derived is given by the recursive Eqs. (2.11) and (2.12). The sequence of the root code is dened to be C1,0 = (1). C2SF,2n C2SF,2n+1 = [+CSF,n + CSF,n ] n [0, SF 1] = [+CSF,n CSF,n ] n [0, SF 1] (2.11) (2.12)
In one code tree all codes on one level are orthogonal to each other. Furthermore, codes on dierent levels are orthogonal as long as none of
2.3. Physical Layer
65
these codes is part of the sub-tree of another one. As an example code C2,0 from the illustrated code tree is orthogonal to code C4,3 but not to C4,1 . Every level of the code tree is characterized by a SF which gives the length of the spreading sequences as well as the number of available codes on this level. The SF determines how many so-called chips are used to transmit one information symbol which is, depending on the chosen modulation, either 1, 2, 4 or 6 bits. As the chip rate is xed for the FDD and the three TDD modes the SF of a channelization code is inverse proportional to the data rate a physical channel with this SF can carry. Table 2.3 summarizes the available SFs for the duplexing mode and the resulting symbol rate ranges.
Table 2.3: Symbol rates per physical channel depending on SF Duplex mode FDD UL FDD DL TDD TDD TDD Chip rate [Mcps] 3.84 3.84 7.68 3.84 1.28 SF 256-2 512-4 32-1 16-1 16-1 Symbol rate [ksps] 15-1920 7.5-960 240-7680 240-3840 80-1280
Note that multi-code transmissions where one CCTrCH is mapped onto several physical channels are available in all modes. Especially for the FDD the eective symbol rate in case of such transmissions could be higher than depicted in the table. Furthermore, the TDD symbol rates are theoretical values for the case that all slots could be allocated to one transmission direction. Additionally to the code domain TDD allows to allocate resources for individual UEs on a slots basis in the time domain. Therefore, the TDD modes additionally contain a Time Division Multiple Access (TDMA) component. Also the FDD HS-DSCH can be seen as a TDMA based channel as UEs are scheduled on a TTI basis. When operating UMTS with multiple carriers a Frequency Division Multiple Access (FDMA) component is added to all modes as well. Combining all multiple access schemes, a physical channel is characterized by its frequency, code and time slot.
66
Every UE and every cell has its own code tree from which it uses orthogonal channelization codes to separate parallel transmissions on multiple physical channels. FDD UEs are an exception to this as the in-phase and the quadrature components of the modulated signal are spread independently. Therefore, these UEs make use of two code trees whose orthogonality is achieved by the phase shift of the modulated symbols (see Section 2.3.2.6). In an ideal case all physical channels transmitted by one UE or one cell do not interfere with each other because of the code orthogonality principle. Transmissions originating from dierent UEs or cells interfere as no orthogonality in between their code trees exists. This interference is called Multiple Access Interference (MAI). In order to uncorrelate the MAI every UE and cell scrambles its complex valued spreaded signal with a pseudo-random sequence. After this scrambling the interference from other UEs or cells can be interpreted as uncorrelated noise. The scrambling sequences in UMTS are Gold sequences [63] which have a bounded and small cross-correlation within certain sets. In the downlink each cell is assigned one and only one primary scrambling sequence. Furthermore, it may additionally use a set of associated secondary scrambling sequences . In the uplink the UTRAN congures UE specic scrambling codes by higher layer signalling. Either long or short scrambling sequences may be congured for the dedicated physical channels. 2.3.2.6 Modulation
In UMTS the modulation technique as illustrated in Figure 2.32 is the same for all duplexing modes.
cos(t) I Complex valued chip sequence Split real & imaginary Q parts Pulse shaping
Pulse shaping -sin(t)
Figure 2.32: Modulation
2.3. Physical Layer
67
The input to the modulation is the complex valued chip sequence as output from the blocks illustrated in Figure 2.26 and Figure 2.27. The input sequence is split into its real and imaginary parts, i.e. its in-phase and quadrature branches. In order to bound the bandwidth of the modulated signal, both sequences are pulse-shaped by a root-raised cosine lter with the impulse response as given by Eq. (2.13).
T (1 ) + 4 T cos Tt (1 + ) sin Tt C C C
h(t) =
Tt C
1 4 Tt C
(2.13)
1 The roll-o factor = 0.22 and the chip duration TC = chiprate are xed constants for all FDD and TDD modes. By multiplying the pulse-shaped signals with the carrier waveform the modulated analogue signal is created. Further details about the transmission and reception of the modulated signal can be found in [14] and [15].
68
CHAPTER 3
Simulation Environment
Contents
3.1 3.2 3.3 3.4 3.5 3.6 3.7 Application Models . . . . . . . . . . . . . . . . . . . Transmission Control Protocol/Internet Protocol . . . UMTS Protocol Stack . . . . . . . . . . . . . . . . . . Radio Interference Simulation Engine . . . . . . . . . Link-Level Simulation Module . . . . . . . . . . . . . Real Time Wireless Network Demonstrator . . . . . . Graphical User Interface . . . . . . . . . . . . . . . . 71 71 72 74 75 78 80
simulative performance evaluations within this thesis have been perT he formed with the WNS framework which is under development by the Communication Networks (ComNets) Research Group at RWTH Aachen University. A big part of this simulation environment became open source (OpenWNS) and is available for download at [1]. The WNS is a modular event-driven simulation framework allowing the simulation of complex mobile communication systems (e.g. UMTS and WiMAX) on various levels of detailedness. The WNS consists of several modules each contributing parts of the protocol stacks and the simulation framework. The complete source code for all simulation models developed and used within this thesis can be downloaded from [98]. In this chapter those modules which have been developed, extended and used are presented. Besides giving an overview about the simulation environment which has been established during the work for this thesis, important simulation models required by the evaluation in Chapter 4 and Chapter 5 are introduced as well. Special focus within the following sections is put on simulation aspects exceeding the implementation of the UMTS protocol stack as described in the previous chapter. Figure 3.1 illustrates a typical conguration of a protocol stack used for performance evaluation within this thesis.
70
3. Simulation Environment
Appl.
WNS
AMR WWW MPEG
Layer 5-7
TCPIP
TCP
UDP
Layer 4
RRC
IP
Layer 3
URIS
PDCP RLC MAC PHY

Layer 1 Layer 2
RISE
Channel
Figure 3.1: Wireless Network Simulator protocol stack
Trac models of popular applications and their protocols are provided by the application module introduced in Section 3.1. The wide spread transport and network layer protocols of the Internet protocol suite are implemented by the Transmission Control Protocol/Internet Protocol (TCP/IP) module presented in Section 3.2. In Section 3.3 details about the implementation of the UMTS protocol stack are given. The module which simulates the radio channel is described in Section 3.4. Further modules, not shown in Figure 3.1, are a module for the provision and calculation of link-level mappings (see Section 3.5), the Graphical User Interface (GUI) module as depicted in Section 3.7 and a module allowing the real time emulation of a (small) UMTS network (see Section 3.6).
3.1. Application Models
71
3.1
Application Models
Located on top of the protocol stack is the module which is in charge of simulating the trac of various packet and circuit switched applications. The trac models provided by the application module are implemented with the Specication and Description Language (SDL). In order to use these models in the C++ based simulation framework a code generator [131] as well as class library called SDL Performance Evaluation Tool Class Library (SPEETCL) [130] are used. Trac models simulating Internet trac as well as trac typically found in mobile communication systems, e.g. speech and Multimedia Messaging Service (MMS), are available. The Internet trac is composed by trac models for World Wide Web (WWW) trac [46], File Transfer Protocol (FTP) uploads and downloads [117, 118] as well as e-mail transmission and reception using the Simple Mail Transfer Protocol (SMTP) and Post Oce Protocol version 3 (POP3) protocols. Trac models focusing on mobile communication are represented by Wireless Application Protocol (WAP) and MMS models. Furthermore, speech services can be simulated by congurable speaker models generating AMR and VoIP trac with various Coder/Decoders (Codecs). Finally, video telephony and video streaming as well as a simple Constant Bit Rate (CBR) trac model are provided by the application module of WNS.
3.2
Transmission Control Protocol/Internet Protocol
The TCP/IP module of WNS provides an implementation of the most important protocols of the Internet protocol suite [C18]. These protocols are the UDP [119] and TCP [121] as well as basic IP functionality. Both IPv4 [120] and IPv6 [55] may be used as the NL protocol. The TCP entity implements the slow start, congestion avoidance, fast retransmit and fast recovery algorithms according to [44] as well as the retransmission mechanism as specied in [116]. Optionally, selective acknowledgments as introduced by [109] may be enabled. Besides the basic TCP Reno as described by the cited Request for Comments (RFCs), the TCP/IP module allows to make use of more advanced congestion control algorithms from the Linux kernel. These are, for example, TCP CUBIC [65], Scalable TCP [90] and Compound TCP as well as the TCP Veno [61] and Westwood+ [108] algorithms, which claim to improve performance especially in the presence of wireless links.
72
3.3
UMTS Protocol Stack
The module implementing the UMTS protocol stack originated from a stand-alone simulator called UMTS Radio Interface Simulator (URIS) [C13]. URIS includes a mostly bit accurate implementation of those UMTS protocols which are relevant for the performance of the UMTS radio interface. Encryption, for example, is therefore not included. As the focus is on the RAN part of UMTS the nodes which are simulated are the UE, the Node B and the RNC. Figure 3.2 illustrates a setup with these nodes and how the protocols provided by the various modules, introduced in Figure 3.1, are mapped onto these nodes.
UE Layer 5-7 Client Application Models
SR+C Ser'er Application Models
Layer 3-4
C*$I* +ode ,
C*$I*
Layer 1-3
UM S UE Layer 1-3 !URIS" Mod#lation$Codin% !Lin& Le'el Mappin%" RISE ) R)

Mo(ility
UM S +ode , Layer 1-- !URIS" Mod#lation$Codin% !Lin& Le'el Mappin%" RISE ) R)
UM S R+C Layer 1-3 !URIS"
Layer 1
"Layer 0"
Figure 3.2: Simulated nodes of the UMTS RAN
The client part of the simulated applications as listed in Section 3.1 is part of the UE. The server side application part, which in reality would be located in the Internet or the CN, is instantiated in the RNC node. Both nodes include an instance of the TCP/IP stack as described in Section 3.2. The protocols of the UMTS RAN are mapped to the three nodes in accordance to the UMTS specication which is presented in Chapter 2. The nodes which directly take part in the radio communication, that is the UE and the Node B, both contain components provided by the module simulating the radio channel (see description of Radio Interference Simulation Engine (RISE) module in Section 3.4) and the module which is responsible for the link-level mapping (see Section 3.5).
3.3. UMTS Protocol Stack
73
The simulated units with which the UE and the Node B exchange data are UMTS radio bursts. The physical channels exchange these bursts with either xed transmission power, e.g. in case of the Common Control Physical Channel (CCPCH) and the Common Pilot Channel (CPICH), or with varying transmission power based on the fast power control and selected SF, e.g. for DPCCH and DPDCH. Power osets between the channels may also be congured. The Signal to Interference plus Noise Ratio (SINR) values calculated by the RISE and the link-level mappings are used to calculate the BER and BLER. Several methods for combining the received bursts in case of Soft Handover (SHO) and HARQ retransmissions are available. For the transmission of user data, the following transport and associated signalling channels are implemented. The Release 99 DCH is supported by the MAC layer [C14] and the PHY [C2]. Several scheduling algorithms for logical channels mapped onto DCHs are available in the MAC-d entity [C15]. User trac may also be routed from the MAC-d to the MAC-c/sh/m entity [C10]. The MAC-c/sh/m entity [C5] is able to schedule and transmit user data on FACH and RACH [C1] as well as on USCH and DSCH [C17]. The HS-DSCH [C16] and the MAC-hs entity [C24] allow to simulate the HSDPA. Available scheduling algorithms which are compared in Section 5.2 are Round Robin (RR), Maximum SINR (MaxSINR), Proportional Fair (PF), Expo-Linear (EL), Modied Largest Weighted Delay First (M-LWDF) and Earliest Deadline First (EDF). Finally, the MAC-e and MAC-es entities as well as the corresponding E-DCH are implemented in the MAC layer [C12]. The RLC sublayer implements the AM, UM and TM [C7]. Selective repeat ARQ with all specied options is implemented by the AM entity [C9]. Header compression according to RFC 2507 [56] is applied by the PDCP sublayer. IPHC for both IPv4 [C23] and IPv6 [C11] is available. Furthermore, broadcast and multicast trac congurations are supported by the layer 2 of the user plane [C6]. By the implementated protocols and entities which are summarized above the user plane protocols of the UMTS radio interface are complete and protocol-level simulations are possible. System-level simulations can be performed by the following features implemented in the control plane. Control information, e.g. measurements, handover commands and radio bearer recongurations, are exchanged by the ASN.1 based RRC protocol in the control plane [C8]. Like trac in the user plane the RRC PDUs are exchanged between UE and RNC by the RLC protocol. The IEs needed for the ASN.1 based protocol are automatically generated from the RRC
74
specication [C20]. This generated ASN.1 message catalog allows bit-exact system-level simulations. Several important RRM algorithms which use the RRC protocol are implemented. The most important ones are the Connection Admission Control (CAC) with code tree management and RB up-/downgrade by transport channel reconguration [C22] as well as the handover and SHO algorithms [C19]. Furthermore, power control optimization algorithms for femto cells [C4] as well as smart system handover algorithms using fuzzy logic techniques [C21] have been implemented. References to published performance evaluations of above algorithms can be found in Section 5.1.
3.4
Radio Interference Simulation Engine
The RISE module is responsible for the simulation of the radio channel. For the calculation of signal strength and interference various path loss, shadowing and fading models are included. The RISE implements the generic part needed for interference calculation. A small submodule implements the UMTS specic aspects required for interference calculation, e.g. orthogonality and spreading gain. Every station in RISE is equipped with a transmitter, a receiver and a congurable antenna. Available antennas range from simple omnidirectional antennas to realistic three-dimensional antenna patterns. Figure 3.3 illustrates dierent antenna patterns in a hexagonal scenario (only the center cell is shown). The relative signal strength as measured by the UEs is depicted for a cell with a simple omnidirectional antenna, a site with three sectors using directed antennas and a three-sectored site using a realistic three-dimensional antenna pattern. Furthermore, station specic mobility models can be applied. These mobility models range from simple Brownian motion models, e.g. as used in scenarios illustrated in Figure 3.3, to rather complex models which, for example, simulate a realistic highway scenario including driver decisions for accelerating, breaking and lane changing. Figure 3.4 presents a GUI snapshot of such a scenario on a 4 lane highway as used, for example, within the German research project CoCar [2].
3.5. Link-Level Simulation Module
75
(a) Omnidirectional
(b) Sectorized
(c) Realistic 3D pattern
Figure 3.3: Hexagonal scenario with dierent antenna congurations
3.5
Link-Level Simulation Module
The link-level module provides the SINR to BER and BLER mapping. For this purpose the physical layer coding chain and the radio channel are modelled and simulated by this module. The SINR values are calculated by the RISE module. Based on the mapped BLER, the UMTS protocol stack is able to make an accurate stochastic decision on the CRC of the TBs. Depending on the probability of a correctly received TB it is either processed or dropped. Furthermore, the calculated residual bit errors may be propagated to higher layers in case the RLC TM mode of UMTS is used. By doing so quantitative performance evaluations of services like speech or video telephony are possible [101]. For plain physical layer link-level studies the link-level module can be run stand-alone without the system-level and protocol-level features provided by the UMTS stack. The BER and BLER mappings can either be calculated on demand or in advance. Because of the high computational complexity the most important and most frequently used mappings are, typically, precalculated. In order to calculate link-level mappings, the described module provides a set of building blocks for physical layer coding chains. Within this thesis the building blocks needed for the bit-exact simulation of UMTS and WiMAX [74] have been developed.
76
Figure 3.4: Highway mobility model
Like all settings within WNS, the conguration of the link-level simulation chains is done with the programming language Python [3]. Figure 3.5 gives an example for the conguration of a HS-DSCH chain. A screenshot of the resulting chain as shown by the GUI of a running simulation is presented in Figure 3.6.
bs = 1262 + 24 # block size t = 1 # transmissions s = [1,0,1,0,1,0,1,0] # RV_s for QPSK r = [0,0,1,1,2,2,3,3] # RV_r for QPSK b = [0,0,1,1,1,2,3,0] # RV_b mod = "QPSK" # modulation cod = 3 # no. of codes blocks = [ Source(bs), TurboEncode(bs,[013, 015],4), HARQTransmitter(t), HSDPARateMatch(bs,mod,cod,s,r), Interleave(32,30,mod,cod), ConstellationRearrangement(mod,b), Modulator(mod), Spread(16,cod), AWGN(), MMSE(), Despread(16,cod), Demodulator(mod), ConstellationRearrangement(mod,b), Deinterleave(32,30,mod,cod), HSDPARateMatch(bs,mod,cod,s,r), HARQReceiver(t), TurboDecode(bs,[013, 015],4), Sink(bs) ]
Figure 3.5: Python conguration example of HS-DSCH chain
Every coding chain contains a source and a sink block. The source generates a random bit sequence while the sink determines the number of bit and block errors. By performing these steps multiple times for a given SINR the BER and BLER are derived. In between source and sink the blocks of
3.5. Link-Level Simulation Module
77
Figure 3.6: Screenshot of HS-DSCH link-level simulation
the transmitter coding chain, the channel, the receiver and the blocks of the receivers decoding chain are located. As visualized by the GUI in Figure 3.6 the blocks of the chain exchange vectors containing dierent data types. The three types of vectors are binary valued bit vectors, oating point vectors that are used to exchange soft bit information between several receiver blocks and complex valued vectors that carry modulated information. Every block used in the transmitter coding chain has a counterpart to be used in the chain of the receiver, e.g. modulator and demodulator. Channel coding is possible by a convolutional, a turbo and a Reed-Solomon encoder/decoder pair. Additional coding rates are achieved by blocks performing the RM algorithms of UMTS (see Section 2.3.1.3) or xed rate puncturing blocks as used in e.g. WiMAX. By including HARQ transmitter and receiver blocks, dierent HARQ types can be simulated. In combination with RM and constellation rearrangement (compare Section 2.3.1.5) blocks, incremental redundancy as used by the HS-DSCH is available. Robustness against burst errors is achieved by a congurable block interleaver, used in both UMTS and WiMAX, and a bit interleaver as specied for WiMAX. For CDMA based systems a block responsible for spreading and multicode transmission exists. Orthogonal Frequency Division Multiplexing (OFDM) based systems are supported by an OFDM modulator with congurable Fast Fourier Transform (FFT) size and Cyclic Prex (CP) length as well as a set
78
of subcarrier mapping blocks, e.g. Partial Usage of Subchannels (PUSC) as used in Mobile WiMAX. Further blocks deal with the padding of data and multiplexing of control and data channels within single bursts. The radio channel is simulated by either a block containing a simple AWGN channel or more complex blocks which apply predened and congurable fading proles. Available predened fading proles are the International Telecommunication Union (ITU) pedestrian and vehicular fading models. For fading channels several receiver techniques have been implemented within the link-level module. These receivers range from a simple rake receiver to receivers with higher computational complexity using, e.g., Zero Forcing (ZF) and Minimum Mean Square Error (MMSE) channel equalization to eliminate Inter Symbol Interference (ISI) caused by multipath propagation.
3.6
Real Time Wireless Network Demonstrator
The Real Time Wireless Network Demonstrator (RTWND) module allows to turn the WNS into a real time network emulator. To do so the RTWND module fullls several tasks within WNS. In order to run in real time the module interacts with the event scheduler of the simulation environment. A prerequisite of the real time capability is a suciently small number of simulated UEs and Node Bs to not exceed the processing capabilities of the host system. Successful emulations have been made with one UE and one Node B on an 800 MHz host system [C3]. A further task of the RTWND module is to inject real trac instead of trac originating from trac generators into the WNS. Therefore, it replaces the application and TCP/IP modules. Higher layer IP trac is received and sent by an Ethernet device implemented in the Linux kernel of the host system. Figure 3.7 illustrates a typical instance of the network emulation system as used by the RTWND module. By default the emulator acts as a bridge between two segments of an Ethernet network and, therefore, is transparent to most of the network trac. Hence, trac that is required by the network infrastructure (e.g. Address Resolution Protocol (ARP), Dynamic Host Conguration Protocol (DHCP), Network File System (NFS), Network Time Protocol (NTP), Network Information Service (NIS)) is not inuencing the trac on an emulated radio channel and vice versa. Only trac of selected hosts is routed
3.6. Real Time Wireless Network Demonstrator
79
Emulator Box Wireless Network Simulator

$E UE
RNC
Mobile 1
Routing
wns0
!!li"ation Ser#er Internet eth1
eth0 br0 Mobile 2 Bridging
Mobile 3
Figure 3.7: Real Time Wireless Network Demonstrator
through the simulator. Furthermore, it is possible to specify the UDP and TCP source and destination ports of connections for which the trac should be sent over the emulated radio channels. The mapping of IP trac to the simulated UEs and the decision about uplink and downlink is performed inside the simulator by the source and destination IP addresses. A detailed overview about the open source utilities which have been used for this setup can be found in [124] and [107]. The traversing packets sent to the WNS are inuenced by the following aspects. IP packets are delayed because of queueing, scheduling, transmission duration and retransmissions. Packets may get lost in case of full transmission queues, congurations without ARQ, maximum number of retransmissions and other discard mechanisms. Finally, bit errors based on the residual BER of the radio transmissions might be generated in the payload routed through WNS. In order to forward such packets RTWND recalculates the checksum of the TCP or UDP headers used to tunnel the payload to the emulator box. Quality evaluations of speech services, video streaming and video telephony can be performed using this conguration. In [102], for example, the RTWND module which has been developed within the scope of this thesis has been used to study the performance of video telephony services in UMTS.
80
3.7
Graphical User Interface
In order to study and assist the conguration of simulation scenarios in WNS a GUI has been developed. Furthermore, the visualization of scenarios and results, e.g. as used in research projects like [2], is aided by the GUI. Both system-level and link-level aspects can be displayed. Figure 3.3 and Figure 3.4 show parts of a running system-level scenario. Lines between the UEs and the Node Bs illustrate the physical layer communication relationship. Dierent colors represent dierent physical channels. Next to those radio links detailed information about transmission power, frequencies, channelization and scrambling codes can be shown. As depicted in the gures a best-server map and a path loss map can be overlaid on the illustrated scenario. Finally, detailed station specic information, e.g. code tree usage, SHO measurements or buer occupancies, can be illustrated by clicking on the corresponding Node B or UE. In a further perspective (see Figure 3.6) information about link-level chains is visualized. The blocks of each chain include information about the most important conguration parameters. In between the blocks the type and length of the exchanged vectors are shown. Depending on the type of vector, i.e. bit vector, soft-bit vector or complex-valued vector, dierent illustrations of the exchanged data are drawn next to the chain. More detailed information about an ongoing link-level simulation, e.g. the current state of the BER and BLER mapping as well as a visualization of the congured fading, is given in another window.
CHAPTER 4
Link-Level Performance Evaluation

Contents
4.1 4.2 4.3 Modulation . . . . . . . . . . . . . . . . . . . . . . . . Coding . . . . . . . . . . . . . . . . . . . . . . . . . . Dedicated Channel . . . . . . . . . . . . . . . . . . . . 4.3.1 4.3.2 4.4 4.5 Downlink . . . . . . . . . . . . . . . . . . . . Uplink . . . . . . . . . . . . . . . . . . . . . . 83 86 89 92 94 96
High Speed Downlink Shared Channel . . . . . . . . . 4.5.1
Mobile WiMAX . . . . . . . . . . . . . . . . . . . . . 100 Comparison of HSDPA and Mobile WiMAX Physical Channel Capacity . . . . . . . . . . . 103 AWGN Channel . . . . . . . . . . . . . . . . . 104 Throughput for Pedestrian Channel Model . . 108 Throughput for Vehicular Channel Model . . 109 Chase Combining and Incremental Redundancy 114 Constellation Rearrangement . . . . . . . . . 115 Comparison . . . . . . . . . . . . . . . . . . . 116
4.6
Throughput Comparison . . . . . . . . . . . . . . . . 104 4.6.1 4.6.2 4.6.3
4.7
Hybrid ARQ . . . . . . . . . . . . . . . . . . . . . . . 111 4.7.1 4.7.2 4.7.3
n this chapter the performance of UMTS for PS services is evaluated on link level. One main aspect this chapter targets is the quantication of the achievable maximum throughput depending on certain variables, e.g. UMTS release, conguration options, radio conditions and receiver algorithms. Because only basic physical layer congurations can be evaluated analytically a link-level simulator has been used to get detailed results of the bit-accurate coding chains of the individual systems. As in most link-level simulations, only one radio link is modelled in detail. Neighbour cells and other UEs are considered by the interference they contribute to the SINR.
82
4. Link-Level Performance Evaluation
PS services in UMTS may be provided by several transport channels. Typically, the DCH or the HS-DSCH is used to deliver packet based content to the UEs. Depending on the release of the UMTS specication, the UEs category and operator specic preferences, several conguration options are possible. Based on the module presented in Section 3.5 the most common setups are evaluated with respect to their performance. A comparison to another state-of-the-art system is achieved by including similar results for mobile WiMAX which has been added under the name IP-OFDMA and later OFDMA TDD WMAN as a sixth mobile communication system to the IMT-2000 family. The conguration les used for the scenarios studied in this and Chapter 5 together with the respective simulation results are available for download from [99]. In the rst two sections of Chapter 4 important elements of the physical layer coding chains of all considered systems are evaluated and compared. In detail the modulation and channel coding are examined in Section 4.1 and Section 4.2, respectively. For the validation of the implemented functionality and the simulation results, a comparison to analytical models and related empirical work is made. The following sections analyze the complete physical layer coding chains of the regarded systems for an AWGN channel. In Section 4.3 the DCH is studied in both uplink and downlink direction. Several typical congurations but also non-common multi-code congurations are considered. Alternative TTI settings are simulated as well. Section 4.4 describes corresponding results for the HS-DSCH. Both Release 5 and Release 7 HS-DSCH congurations are evaluated. For validation purposes the obtained results are compared to empirical models. In order to benchmark the UMTS results with another state-of-the-art system, comparable evaluations for Mobile WiMAX are performed and presented in Section 4.5. Furthermore, a basic comparison of the available physical channel data bits of HS-DSCH and Mobile WiMAX is made in this section. Based on the previous results Section 4.6 draws a comparison in terms of achievable throughput with respect to theoretical limits. Additionally to AWGN based evaluations, all systems and congurations are compared on fading channels with various receiver techniques. A neutral and fair comparison is realized by using the same channel models and similar physical layer conguration and simulation assumptions. The maximum theoretical
4.1. Modulation
83
throughput and the eciency of the UMTS congurations on various levels also above the physical layer are compared as well. Finally, Section 4.7 studies HARQ by means of comparing dierent HARQ schemes. In detail the HARQ schemes Chase Combining and Incremental Redundancy as well as a scheme using Constellation Rearrangement only are evaluated according to their performance and technical complexity with respect to the UE categories.
4.1
Modulation
In order to transmit information over a radio channel the carrier needs to be modulated. In mobile communication systems like UMTS and WiMAX the phase of the (sub-)carrier frequency is modulated. In addition to this Phase-Shift Keying (PSK) both systems make use of Quadrature Amplitude Modulation (QAM) which also varies the amplitude of the signal to transmit information. The bit error and symbol error probability of both modulation schemes for an AWGN channel can be calculated by using the Marcum Q-function Q(x) = 1 x 1 erfc( ) = 2 2 2
x
e 2 dt , x 0
t2
(4.1)
where erfc is the complementary Gaussian error function. For the most simple PSK modulations, i.e. BPSK and QPSK as illustrated in Figure 2.30(a) and Figure 2.29(a), respectively, the bit error probability can be expressed by 2Eb N0
Pb,PSK = Q
(4.2)
where Eb is the energy per bit and N0 is the noise power spectral density [122]. It must be noted that for QPSK twice the transmission power is needed to achieve the same bit error probability since two bits are transmitted by one modulation symbol. In Figure 4.1(a) this dierence results in a shift of 3 dB between the BPSK and QPSK mapping curves. The symbol error probability of QPSK, i.e. the probability that at least
84
one bit is received incorrectly, can be expressed by Ps,QPSK = 1 (1 Pb ) = 2 Q

2
Es N0
Es N0
(4.3)
where Es is the energy per transmitted symbol. For BPSK the bit error probability and the symbol error probability are the same. The relation between SINR, as used as the unit of the x-axis in the following diagrams, and Eb and Es is given by SINR = E b fb Es fs = N0 B N0 B (4.4)
where fb and fs are the bit rate and symbol rate, respectively. The variable B is the channel bandwith which is 5 MHz in UMTS. For rectangular QAM constellations as shown in Figure 2.29 the expressions for both the bit error probability and the symbol error probability are slightly more complex. The bit error probability depends on the exact mapping of bits to modulation symbols and the bits that are transmitted. For a Gray-coded mapping the average bit error probability can be calculated by
2
Pb,QAM = 1
2 1 log2 M
1 1 M
3 log2 M Eb M 1 N0
(4.5)
and the symbol error probability is expressed by Ps,QAM = 1 1 12 1 M Q 3 Es M 1 N0

2
(4.6)
where M is the number of modulation symbols, i.e. 16 for 16QAM and 64 for 64QAM. As can be seen in Figure 4.1 the analytical bit error and symbol error results provided by the equations above perfectly match the results of the link-level simulator introduced in Section 3.5. For the two-dimensional modulation schemes 16QAM and 64QAM the bit error probability depends on the bit pattern that is to be transmitted. Each bit of this bit pattern has a dierent demodulation probability. Figure 4.2 shows the SINR to BER mapping for the individual bits belonging to one modulation symbol. A random bit sequence is used as input for the
4.1. Modulation
Bit Error Rate
10-1
85
Symbol Error Rate
Analytical Simulated
100
10-1 10-2 10-2 BER SER 10-3 BPSK 10-4 20 10 0 10 20 30 QPSK 16QAM 64QAM 10-3 BPSK QPSK 16QAM 64QAM
10-4 20 10 0 10 20 30
SINR [dB]
SINR [dB]
(a) Bit error rate
(b) Symbol error rate
Figure 4.1: Bit error and symbol error rate of modulation schemes
modulation. The dotted line marks the average BER of all bits as already shown in Figure 4.1. In UMTS the preferred bit positions i1 and q1 are typically used to transmit the systematic bits of the turbo coder (see Section 2.3.1.2) as they are of higher importance to correctly decode a transmission at the receiver. Parallel interleavers as illustrated in Section 2.3.1.4 are used to maintain these bit positions through the block interleaving. When HARQ is used the constellation rearrangement introduced in Section 2.3.1.5 may be used to modify the bit to symbol mapping by reshuing and inverting individual bits of one modulation symbol. Bits which are transmitted on a weak bit position may be retransmitted on a bit position with a stronger demodulation probability and vice versa. A detailed analysis of this feature is given in Section 4.7.2. It can be concluded that the modulation models implemented within the link level simulation chain are validated. Quantitative comparisons of the modulation schemes which are used for both UMTS and WiMAX have been carried out. In order to compare the previous and the following results with those found in other scientic literature, important denitions, e.g. SINR, as being used in this thesis have been introduced. It has been shown that the bit to symbol mapping has an impact on the decoding probability
86
16QAM
10-1

64QAM
10-1
i2 ,q2 i1 ,q1
BER BER 10-2 10-2
i3 ,q3 i1 ,q1 i2 ,q2
10-3
10-3
10-4 10
Single bit BER Average BER

5 0 5 SINR [dB] 10 15 20 25
10-4 10
Single bit BER Average BER

5 0 5 SINR [dB] 10 15 20 25
(a) 16QAM
(b) 64QAM
Figure 4.2: Simulated bit error probability of 16QAM and 64QAM
of the individual bits. This circumstance will be further investigated in later sections. In the next section channel coding methods are added and compared with respect to their performance.
4.2
Coding
Because of the relatively high bit error rate of the wireless channel FEC is required to assure a reliable transmission. In UMTS a convolutional coder of rate 1/2 and 1/3 as well as a turbo coder of rate 1/3 are available for FEC. Both have been introduced in Section 2.3.1.2. The generator polynomials for the convolutional coder of rate 1/2 are given by Eqs. (2.5) and (2.6). The polynomials for the 1/3 rate coder are listed by Eqs. (2.7) to (2.9). The coders of both rates have a constraint length of 9. By using Eq. (4.7) an upper bound of the residual bit error probability of these convolutional codes can be calculated [58]: Pb < 1 k
Bd exp
d=dfree
Eb N0
(4.7)
The free distance dfree , the minimal Hamming distance between dierent code words, is 12 and 18 for the 1/2 rate and 1/3 rate convolutional code, respectively. The number of non-zero information bits on all weight dfree
4.2. Coding
87
paths through the state diagram of the coder is Bdfree = 33 and Bdfree = 11. The factor k is the number of information bits per time unit. For the convolutional codes in UMTS it is 1. The turbo coder of UMTS contains two encoders with the transfer function found in Eq. (2.10). The constraint length of the turbo coder is 4. In Figure 4.3 the residual bit error probabilities of both the convolutional coders and the turbo coder are shown for a BPSK transmission on an AWGN channel. The bit error upper bound calculated by Eq. (4.7) is also shown as a reference. It can be seen that turbo decoding with 8 iteration shows a better performance compared to the convolutional code of rate 1/3. For a residual BER of 105 , for example, the turbo code has a coding gain 2 dB higher than the corresponding convolutional code. A similar coding gain compared to the 1/2 rate convolutional code is achieved by the turbo code when punctured to the same rate. Because of the better properties PS services typically make use of turbo coding although of its higher decoding complexity.
Convolutional Code
10-1
Turbo Code
10-1
10-2 BER BER 10-3 CC 1/3 10-4 CC 1/2
10-2
10-3 TC 1/3 10-4 TC 1/2 (punctured)
10-5 10
SINR [dB]
10-5 10
SINR [dB]
(a) Convolutional code
(b) Turbo code
Figure 4.3: Bit Error Rates of UMTS Forward Error Correction
In Figure 4.4 a comparison of the BLER and the achievable throughput for the dierent channel coding options is given. As before the assumed channel is an AWGN channel and BPSK modulation is used. A code block size of 1912 bits has been chosen for all congurations. The coding gain of the turbo coder compared to the convolutional coder can be observed again.
88
For a BLER of 1% it is 2.1 dB for rate 1/3 and 1.2 dB for a coding rate of 1/2. As a comparison Figure 4.4 shows the coding performance of the convolutional coder of the 802.16 OFDM PHY. In order to only compare the coding properties other dierences of 802.16 are not considered. Like in many OFDM based systems a concatenation of a convolutional code and a block code is used. In the OFDM PHY of 802.16 a (255,239) Reed-Solomon code is concatenated with a convolutional code of rate 1/2 using the polynomials x6 + x5 + x4 + x3 + 1 and x6 + x4 + x3 + x + 1. Although the properties of the convolutional code of 802.16 are worse compared to the half-rate code of UMTS, e.g. smaller constraint length, the concatenation with the Reed-Solomon achieves a performance between the two convolutional codes of UMTS. Compared to the UMTS convolutional code of rate 1/2 a coding gain of 0.9 dB exists at 1 % BLER. The turbo code punctured to rate 1/2 is, however, still 0.8 dB better at the same BLER.
100
Block Error Rate

UMTS 802.16
105
104 Throughput [kbit/s] 10-1 BLER
Throughput UMTS 802.16 Shannon bound Shannon bound shifted by 3 dB
103 TC 1/3 102 TC 1/2 RS + CC 1/3 CC 1/2 CC 1/2 CC 1/2
10-2 TC 1/3 10-3 6 CC 1/3
TC 1/2 RS + CC 1/2 CC 1/2
CC 1/2
3 2 SINR [dB]
101 7
4 3 SINR [dB]
(a) Block Error Rate
(b) Throughput
Figure 4.4: Block Error Rates and Throughput of Forward Error Correction
A good evaluation of the coding eciency can be made by comparing the achievable throughput against the theoretical maximum based on Shannons formula. This throughput is calculated by C = B log2 (1 + S ) N (4.8)
4.3. Dedicated Channel
89
where B is the channel bandwidth in Hertz, i.e. 5 MHz for this UMTS S performance evaluation, and N is the signal to noise power ratio. In UMTS the interference from other stations can be interpreted as uncorrelated noise (compare Section 2.3.2.5). To express this contribution caused by the Multiple Access Interference (MAI) the term SINR is used for this power ratio. Additionally to the theoretical maximum throughput, the throughput comparison of Figure 4.4 includes the Shannon bound shifted by 3 dB as a more realistic limit. The uncoded data rate in the illustrated scenario has been chosen to be 3.84 Mbit/s which corresponds to the chip-rate of UMTS when BPSK without spreading is applied. As can be seen the turbo coder of UMTS has the highest eciency. Compared to all other coding schemes its throughput distribution is closest to the Shannon bound. In summary it can be said that the implemented channel coding blocks have been validated by comparing the simulated residual bit error probabilities with corresponding analytical bounds. The turbo code of UMTS showed to have a signicantly higher performance compared to the convolutional codes of same rate. Comparing the convolutional codes of UMTS and WiMAX it turned out that the UMTS coder is slightly superior. By combining the convolutional code of WiMAX with a Reed-Solomon block code the performance exceeds the convolutional code of UMTS but still does not reach the eciency of the UMTS turbo code. After modulation and channel coding have been investigated standalone the following sections compare the systems by incorporating the complete bit accurate physical layer coding chains.
4.3
Dedicated Channel
The DCH already introduced in the rst releases of the UMTS specications is the standard channel used for the delivery of dedicated user trac in todays UMTS networks. Speech services, video telephony and a basic Internet connectivity are realized by DCHs. The data rate of a DCH is typically xed within a short time-interval. For CBR services like speech and video telephony this is the preferred choice. However, PS data services often have a bursty trac pattern. In order to support the transmission of such services the data rate of the DCH may be varied by changing the Spreading Factor (SF) of the physical channel on which the DCH is mapped. By
90
including the spreading gain in Eq. (4.2) and normalizing it to the energy per chip Ec the bit error probability can be calculated with Pb,QPSK = Q SF Ec N0 and Pb,BPSK = Q SF 2Ec N0 . (4.9)
The SF may range from 4 to 512 in the downlink and from 4 to 256 in the uplink. In the downlink a QPSK modulation is used and the DPDCH, which carries the user trac of the DCH, and the DPCCH are time-multiplexed. In the uplink the DPDCH is transmitted using a BPSK modulation on the in-phase branch. The DPCCH is transmitted in parallel on the quadrature branch. Figure 4.5 shows the resulting bit error probabilities both for the downlink and the uplink. Because of the reduced spreading gain the transmission power needs to be increased to achieve the same bit error probabilities in case the data rate is increased by SF reduction. Again the simulation results are validated by the analytic results gained from Eq. (4.9).
Downlink Uplink
10-1
10-1
BER
SF512 10-3
SF128
SF32
SF8 10-3
BER
10-2
SF256
SF64
SF16
SF4
10-2
SF256 SF128
SF64 SF32
SF16 SF8
SF4
10-4 40
QPSK, analytical QPSK, simulated

30 20 SINR [dB] 10 0 10
10-4 40
BPSK, analytical BPSK, simulated

30 20 SINR [dB] 10 0 10
(a) Downlink
(b) Uplink
Figure 4.5: Bit error probability depending on SF
In the downlink the mechanism of changing the SF is often referred to as RB rate switching or RB up- and downgrading. Because layer 3 signalling is required for this modication and the modication is initiated after a BO based triggering condition needs to be fullled for some time the RB upand downgrading is a rather slow process. In between these reconguration
91
procedures the Node B continuously transmits with the congured SF. If more than those bits that t into the burst are to be transmitted the RM algorithm applies puncturing. If less data is available for transmission than could be transmitted the Node B uses DTX. No padding or repetition of coded bits is performed and the transmitter is switched o for the according bits. In the downlink a typical set of RB congurations is listed in Table 4.1. The SF is varied between 32 and 8 which leads to a maximum user data rate ranging from 64 kbit/s to 384 kbit/s. This data rate, achievable on RB level, results from the 5% higher data rate of the DCH assuming that no MAC multiplexing is performed and 2 bytes RLC AM header are included in every TB. According [43] there exist two alternative congurations for SF 8. The more common one uses a TTI of 10 ms. The alternative one, shown in brackets in Table 4.1, has a TTI of 20 ms. In the uplink the UE is in charge of changing the SF according to the amount of data that is to be transmitted. Both puncturing and repetition of coded bits may be applied to exactly ll the radio burst. DTX is never used for DCH transmission in the uplink. The same TFSs as in the downlink are available in the uplink. Depending on the congured data rate a minimum SF of 16, 8 or 4 is required (compare Table 4.1).
Table 4.1: Typical RB congurations

SF (downlink) SF (uplink) TTI TF 0 TF 1 TF 2 TF 3 TF 4 TF 5 TF 6 TF 7 TF 8 Maximum DCH data rate Achievable RB throughput 32 16 - 64 20 ms 0 336 bits 1 336 bits 2 336 bits 3 336 bits 4 336 bits 16 8 - 64 20 ms 0 336 bits 1 336 bits 2 336 bits 4 336 bits 8 336 bits 8 4 - 32 (4 - 64) 10 ms (20 ms) 0 336 bits 1 336 bits 2 336 bits 4 336 bits 8 336 bits 12 336 bits (16 336 bits) (20 336 bits) (24 336 bits) 403.2 kbit/s 384 kbit/s
67.2 kbit/s 64 kbit/s
134.4 kbit/s 128 kbit/s
92
The bit-exact simulation of the typical TFSs found in Table 4.1 is investigated in the following. For an AWGN channel the BLER mappings for the downlink and the uplink are depicted in Figure 4.6 and Figure 4.7, respectively. Both the results for a 20 ms and a 10 ms conguration are presented. 4.3.1 Downlink
DCH Downlink (20 ms TTI) - AWGN channel - Rake receiver
1TB SF32 -17.44dB 10-1 1TB SF16 -14.43dB 1TB SF8 -11.42dB 1TB 2*SF8 -8.38dB 10-1
100
100
DCH Downlink (10 ms TTI) - AWGN channel - Rake receiver

1TB SF8 -11.41dB 1TB 2*SF8 -8.40dB
64 kbps, SF 32 128 kbps, SF 16 384 kbps, SF 8 768 kbps, 2*SF 8

10-2 4TBs SF32 10-3 25 8TBs SF16 12TBs SF8 28TBs 2*SF8 24TBs SF8 10 48TBs 2*SF8
BLER
BLER 10-2 8TBs SF8 12TBs 2*SF8 12TBs SF8 10 24TBs 2*SF8
20
15 SINR [dB]
10-3 25
384 kbps, SF 8 768 kbps, 2*SF 8

20 15 SINR [dB]
(a) 20 ms TTI
(b) 10 ms TTI
Figure 4.6: Simulated DCH downlink BLER on an AWGN channel
In the downlink the mapping curves for each RB conguration are closely grouped together in terms of required SINR. To achieve a certain BLER the Node B can transmit to each UE with a TF independent signal power as controlled by the inner loop PC. TF specic gain factors like used in the UE are not required (compare Section 2.3.2). When only a small number of TBs are to be transmitted no repetition of bits which would introduce an unnecessary coding gain is done. DTX is used instead to save radio resources and reduce downlink interference. As depicted in Figure 4.6 a 3 dB distance between the TFSs of the 64 kbit/s, 128 kbit/s and 384 kbit/s RB congurations can be identied. This separation directly results from the spreading gains of the dierent SFs. When a SF change by RB reconguration is performed the transmission power at the Node B must be changed accordingly.
93
Higher data rates than 384 kbit/s can be achieved by multicode transmission. A rarely used 768 kbit/s conguration exists in the downlink which uses two codes of SF 8 [43]. The 768 kbit/s TFS for a 10 ms TTI is exactly the one of a 20 ms TTI 384 kbit/s channel. To achieve 768 kbit/s with a 20 ms TTI this TFS is extended by TFs which support transmissions up to 48 TBs. As shown in Figure 4.6 the multicode transmission using two codes of SF 8 has similar properties as if the SF would have been reduced to 4. A 3 dB distance to the 384 kbit/s conguration exists even though the same SF is used. A bigger spacing between the curves exists for SF 8 in case TFs corresponding to data rates above 256 kbit/s are used. When two codes of SF 8 are used data rates above 512 kbit/s require a higher SINR. As the number of turbo coded bits exceeds the available DPDCH bits given by Table 4.2, puncturing is performed by the RM algorithm. For TF 8, allowing the highest data rate of 384 kbit/s, 7128 coded bits are punctured. The same coding rate is achieved in a 10 ms TTI conguration by puncturing 3564 bits. 2904 bits still need to be punctured when 20 TBs are to be transmitted (TF 7). All other TFs of a single code transmission using SF 8 do not require any puncturing. For the multicode conguration introduced above the same puncturing ratios are used for data rates above 512 kbit/s. Looking at the higher SFs puncturing is only needed for TF 4 when SF 32 is congured. Here the worse ratio of DPDCH to DPCCH bits from the DPCH time multiplexing (compare Table 4.2) requires 36 bits to be punctured. This small amount of puncturing only has a minor negative impact on the mapping by shifting it slightly to higher required SINR values.
Table 4.2: Downlink burst formats used in simulation

SF DPCCH bits/slot (NTPC + NTFCI + NPilot ) DPDCH bits/slot (NData1 + NData2 ) DPDCH bits/10 ms TTI DPDCH bits/20 ms TTI DPDCH data rate [kbit/s] 32 20 (4+8+8) 140 (28+112) 2100 4200 210 16 32 (8+8+16) 288 (56+232) 4320 8640 432 8 32 (8+8+16) 608 (120+488) 9120 18240 912
94
The exact amount of required puncturing can be calculated as follows. By considering the 16 bit CRC value which is used for DCHs and the maximum number of turbo coded bits (5114 as introduced in Section 2.3.1.2) the number of code blocks nc and their size sc can be calculated with nt (st + 16) nt (st + 16) and sc = (4.10) 5114 nc where nt is the number of TBs and st is the TB size. Taking into account the coding rate 1/3 and the 12 bit trellis termination of the turbo coder, the number of bits before RM nc = br = nc (3 sc + 12) (4.11)
can be derived. If br is larger than the number of available DPDCH bits per TTI, i.e. 30 or 15 times the available DPDCH bits per slot as given by Table 4.2, puncturing is done. If br is smaller, repetition or DTX insertion is performed. The dierence of both values gives the number of bits that are punctured or repeated. For TFs where DTX is applied the same eective coding rate of 1/3, i.e. the native code rate of the turbo code, is used. Nevertheless, for low BLERs the curves of these TFs divide. The reason is a gain contributed by larger code block sizes. For each SF the lowest SINR is required for the TFs having the largest code block size. In case of SF 32 and SF 16 this is the TF with the highest number of TBs. When SF 8 is used with a 20 ms TTI the TF allowing to transmit 12 TBs requires the lowest SINR. Even though the TF with 16 TBs uses DTX its coding probabilities are worth as code block segmentation according to Eq. (4.10) takes place. 4.3.2 Uplink
In the uplink the UE switches the SF according to the instantaneous data rate. Figure 4.7 shows the BLERs for all uplink congurations of the TFs given in Table 4.1. When a 64 kbit/s TFS is congured the SF is switched between 64 and 16. 1 to 4 TBs can be transmitted per TTI. A 128 kbit/s TFS adds a TF for SF 8, allowing to transmit 8 TBs, to the 64 kbit/s TFS. The TF for 3 TBs (dashed line in Figure 4.7) is not used in a 128 kbit/s conguration. The 20 ms TTI TFS for 384 kbit/s extends the 128 kbit/s TFS by 4 TFs of SF 4. In a 10 ms setup the SF ranges from 32 to 4 and 1 to 12 TBs can be transmitted per TTI.

DCH Uplink (20 ms TTI) - AWGN channel - Rake receiver
-20.73dB -17.72dB -14.72dB -11.71dB 10-1 BLER 2TBs SF32 1TBs SF64 10-2 4TBs SF16 3TBs SF16 8TBs SF8 12TBs 20TBs SF4 SF4 16TBs 24TBs SF4 SF4 2TBs SF16 1TBs SF32 10-2 4TBs SF8 8TBs SF4 12TBs SF4
95
DCH Uplink (10 ms TTI) - AWGN channel - Rake receiver
-20.73dB -17.73dB -14.72dB -11.71dB
100 -23.76dB 10-1 BLER
100
10-3 25
64 kbps 128 kbps 384 kbps

20 15 SINR [dB] 10 5
10-3 25
384 kbps
20 15 SINR [dB] 10 5
(a) 20 ms TTI
(b) 10 ms TTI
Figure 4.7: Simulated DCH uplink BLER on an AWGN channel
Most of the TFs used in the uplink require a small amount of bit repetition. The TFs allowing to transmit 1, 2, 4, 8 and 16 TBs all share an eective coding rate of 0.29. As depicted in Figure 4.7 3 dB spacing caused by the dierent SFs exists between these TFs. A higher amount of repetition is only applied when 3 or 12 TBs are transmitted. A coding gain of 1 dB resulting from the eective code rate of 0.22 is responsible for shifting the BLER curve. As derived by Table 4.3 puncturing is only needed for the high rate TFs of SF 4. When 20 TBs are transmitted the eective coding rate is 0.37. The TFs used to transmit with 384 kbit/s have a coding rate of 0.44.
Table 4.3: Uplink DPDCH congurations SF DPDCH DPDCH DPDCH DPDCH bits/slot bits/10 ms TTI bits/20 ms TTI data rate [kbit/s] 64 40 600 1200 60 32 80 1200 2400 120 16 160 2400 4800 240 8 320 4800 9600 480 4 640 9600 19200 960
96
To achieve the same BLER for all data rates the UE changes the transmission power depending on the TF. TF specic gain factors are used to reduce the transmission power and, therefore, save battery power when only a small amount of TBs are to be transmitted. The gain factors control the relative transmission power between DPDCH and DPCCH which uses a xed SF of 256 and is controlled by the inner loop PC. DTX is not used in the uplink in order to reduce the peak-to-average power ratio and to avoid audible interferences. It can be summarized that the DCH allows to adapt its data rate by changing the SF. Nevertheless, switching the RB conguration is a rather slow process which, at least in the downlink, has some overhead with respect to the required radio resources. Therefore, the DCH conguration is typically kept constant for a relatively long time. Once congured for a certain data rate the fast power control of the DCH adapts the transmission power in order to assure that a reliable transmission with this data rate is possible. This makes the DCHs suited well for the delivery of CBR services with a relatively low data rate below 384 kbit/s.
4.4
High Speed Downlink Shared Channel
In contrast to the DCH which uses fast power control and TF specic gain factors as methods to assure a certain SINR target the HSDPA primarily applies AMC for link adaptation. The transmission parameters which are varied by the link adaptation according to the instantaneous channel conditions are the modulation scheme, the number of codes and the coding rate. If a higher order modulation scheme or a certain number of codes is not supported by the UEs category the Node B transmits with the maximum possible AMC scheme and reduces the transmission power instead. The power oset is set so that the targeted BLER is still reached. The data resources allocated to one mobile are always modulated with one single modulation scheme at one point in time. UMTS Release 5 supports QPSK and 16QAM. In Release 7 of the UMTS specication 64QAM has been added as a modulation scheme for the HS-DSCH. The HS-DSCH is able to use up to 15 codes, i.e. 15 HS-PDSCHs, of SF 16. The remaining code of SF 16 can not be used because several codes of a higher SF are allocated for signalling and system management. The corresponding channels
4.4. High Speed Downlink Shared Channel
97
are, for example, the CPICH, the HS-SCCH and associated DPCHs. Channel coding is always done by the turbo code as described in Section 2.3.1.2. While the turbo coder is the same as the one already being analyzed in Section 4.2 and Section 4.3, the RM of the HS-DSCH diers from that of the DCH. As described in Section 2.3.1.3 the RM for the HS-DSCH allows to apply dierent RM patterns and to prioritize either systematic or parity bits. In HSDPA the Node B has a large exibility to select an AMC scheme. In addition to the modulation schemes the number of codes can be varied between 1 and 15. Furthermore, a large set of eective coding rates is possible due to the RM algorithm which maps an arbitrary number of bits from the turbo coder onto the available bits specied by the modulation scheme and number of codes. These coding rates vary between 0.17 (repetition of bits) and 0.89 (puncturing of bits). In order to reduce the number of potential simulations this study limits the number of schemes to those which are used for Channel Quality Indicator (CQI) reporting by the mobile [20]. Table 4.4 lists these reference schemes as used by the UE to signal the maximum possible AMC based on the instantaneous channel conditions. The complete set of possible TB sizes can be found in [30]. For the HS-DSCH a set of one to three block interleavers of 32 rows and 30 columns is used for each physical code. As described in Section 2.3.1.4 the number of these interleavers depends on the chosen modulation scheme. A CRC eld of 24 bits is added to every TB received from the MAC layer. Figure 4.8 shows the SINR to BER and SINR to BLER mappings for the reference AMC schemes as listed in Table 4.4. The simulated channel is a simple AWGN channel. The curves of the BER mapping are grouped by the chosen modulation scheme which can be seen in particular for high BER values. These groups are further subdivided by the number of codes used for transmission. For lower BERs these groups branch o based on their coding rate. In general higher order modulation schemes, higher number of codes and higher coding rates require a higher SINR as well in order to reach the same BER. The combinations of the variable AMC parameters have been selected in such a way as to allow Release 5 UEs to report the channel quality with a granularity of 1 dB. This granularity can be observed at the BLER mappings which are roughly spaced by 1 dB. When transmitting the Node B may even select Modulation Coding Schemes (MCSs) which would result in mappings between the illustrated ones. The reporting range for a targeted BLER of
98
Table 4.4: CQI table for category 10 and category 14 (Release 7) CQI 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 Modulation NA QPSK QPSK QPSK QPSK QPSK QPSK QPSK QPSK QPSK QPSK QPSK QPSK QPSK QPSK QPSK 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM / 64QAM 16QAM / 64QAM 16QAM / 64QAM 16QAM / 64QAM 16QAM / 64QAM Codes 0 1 1 1 1 1 1 2 2 2 3 3 3 4 4 5 5 5 5 5 5 5 5 7 8 10 12 / 10 15 / 12 15 / 13 15 / 14 15 / 15 TB size 0 137 173 233 317 377 461 650 792 931 1262 1483 1742 2279 2583 3319 3565 4189 4664 5287 5887 6554 7168 9719 11418 14411 17237 / 15761 21754 / 21754 23370 / 26490 24222 / 32257 25558 / 38582 Code rate 0 0.168 0.205 0.268 0.355 0.417 0.505 0.351 0.425 0.497 0.447 0.523 0.613 0.600 0.679 0.696 0.374 0.439 0.488 0.553 0.616 0.685 0.749 0.725 0.745 0.752 0.749 / 0.548 0.756 / 0.630 0.812 / 0.708 0.842 / 0.801 0.888 / 0.893
4.4. High Speed Downlink Shared Channel

HS-DSCH - AWGN channel - Rake receiver
10-1 10-1 BER CQI1 CQI30 CQI30 BLER 10-2 CQI1 10-2 CQI30 CQI30
99
HS-DSCH - AWGN channel - Rake receiver
100
10-3
10-4 20
HS-DSCH release 5 HS-DSCH release 7

15 10 5 0 SINR [dB] 5 10 15 20
10-3 20
HS-DSCH release 5 HS-DSCH release 7

15 10 5 0 SINR [dB] 5 10 15 20
(a) Bit Error Rate
(b) Block Error Rate
Figure 4.8: Simulated HS-DSCH BER and BLER for an AWGN channel
10% is from -16 dB to 13 dB. For Release 7 UEs which support 64QAM the upper bound of reportable SINR values has been extended to approximately 18 dB. As illustrated by the dashed lines a granularity of 2 dB is used for the Release 7 AMC schemes which make use of 64QAM. Noticeable are the mappings in the negative SINR scale which are possible due to the spreading gain and very low coding rates (and throughputs). As an analytical approximation of the simulated results Eq. (4.12) can be used [53]. Eq. (4.12) has been adopted in several publications of system level simulation results, e.g. [140]. Valid for an AWGN channel it allows to translate a CQI value to the SINR which is required to achieve a certain BLER. A BLER of typically 10% is aimed for when the UE is reporting the channel quality. 3 log10 (CQI) log10 (BLER0.7 1) + 1.03 CQI 17.3 (4.12) 2 In Figure 4.9 the mappings as calculated by Eq. (4.12) are shown. Compared to Figure 4.8 it can be observed that the analytical results closely match the simulated ones. Only small dierences mostly related to code block segmentation eects for high CQI values may be noticed. SINR = As a conclusion of the above comparison the implemented HS-DSCH
100
100

HS-DSCH - AWGN channel - Analytical model
10-1 BLER 10-2
10-3 20
HS-DSCH release 5, analytical model

15 10 5 0 SINR [dB] 5 10 15 20
Figure 4.9: BLER mapping for an AWGN channel based on analytical model
coding chain can be considered to be validated. In contrast to the DCH the transmission power control is not the main method used to adapt to changing channel conditions. Instead the modulation, number of codes and channel coding are adapted in order to transmit as much information as possible by considering the instantaneous channel conditions and the UE capabilities. As the channel assignment can be changed on a 2 ms basis the HS-DSCH is able to support highly variable PS trac. Mostly because of the higher order modulation schemes the HS-DSCH reaches a signicantly higher throughput than the DCH. While in a DCH conguration with optimal channel conditions up to 7 users of 403.2 kbit/s can be supported in one cell, the corresponding HS-DSCH data rate per user would be 1.83 Mbit/s with Release 5 and 2.76 Mbit/s with Release 7 if all 7 UEs report CQI 30 and get the same scheduling share. In the next section a comparison between the HS-DSCH results and the performance of Mobile WiMAX is drawn.
4.5
Mobile WiMAX
In order to compare the link-level performance of the HS-DSCH with another state-of-the-art system the PHY coding chain of Mobile WiMAX has been implemented and studied within this thesis as well. Mobile WiMAX has become a member of the IMT-2000 family of mobile communication systems in the year 2007 and, therefore, it may be operated in the same frequency bands as the former IMT-2000 systems. In detail the IMT-2000
4.5. Mobile WiMAX
101
extension bands at 2.496 to 2.69 GHz are of interest here. Based on the Orthogonal Frequency Division Multiple Access (OFDMA) mode of 802.16e [74] a subset of features has been identied and standardized under the ofcial name OFDMA TDD Wireless Metropolitan Area Network (WMAN). In early contributions to the approval process for the Radiocommunication Standardization Sector of ITU (ITU-R) M.1457 recommendation [77] this prole was referred to as IP-OFDMA. The major dierence between Mobile WiMAX and the earlier members of the IMT-2000 family is the OFDM modulation scheme, which will also be used for the 3GPP Long Term Evolution (LTE) systems. Because UMTS FDD typically uses a bandwidth of 5 MHz the same bandwidth for the Mobile WiMAX system has been chosen in this study. For a 5 MHz conguration Mobile WiMAX uses a FFT of size 512 and a sampling frequency of 5.6 MHz as OFDM parameters. A xed Cyclic Prex (CP) duration of 1/8 the OFDM symbol time is prepended to each symbol. In order to not exceed the bandwidth limitation of 5 MHz, guard carriers are introduced at the outer bins of the FFT. The number of guard carriers depends on the transmission direction (uplink/downlink) and on the chosen subcarrier mapping/permutation scheme. In the following the focus is on the downlink Partial Usage of Subchannels (PUSC) mapping scheme which is mandatory for both 802.16e and Mobile WiMAX. At the left and right side of the FFT 46 and 45 carriers, respectively, are left unused. Additionally to those 91 guard carriers the DC subcarrier in the middle of the FFT does not transmit any information. From the remaining 420 subcarriers 60 subcarriers contain pilot symbols which are used for channel estimation. The remaining 360 data subcarriers are used for data transmission to individual users. Available modulation schemes for Mobile WiMAX are QPSK, 16QAM and 64QAM. Mobile WiMAX requires a convolutional code of rate 1/2 with a constraint length of 7 and a Convolutional Turbo Code (CTC) of rate 1/3 with a constraint length of 4 as mandatory FEC codes. In Mobile WiMAX there is, depending on the type of FEC, either a xed puncturing pattern or a symbol selection formula used to identify punctured and transmitted bits. Both FEC mechanisms lead to the available MCSs which can be found in Table 4.5. In Mobile WiMAX one block interleaver with 16 rows and the required number of columns to interleave all bits from the puncturing unit is used in case of convolutional coding. For CTC setups an interleaving mechanism between coding and puncturing takes place.
102
Table 4.5: Modulation and coding schemes of Mobile WiMAX Modulation QPSK 16QAM 64QAM Code rates 3/4 1/2 3/4 1/2 2/3 3/4 5/6
1/2
For the 2-dimensional modulation schemes 16QAM and 64QAM both HSDPA as well as Mobile WiMAX include a mechanism to deal with the imperfectly Gray-coded symbol constellation. While in HSDPA the constellation rearrangement is used to modify the bit to symbol mapping for retransmissions caused by the HARQ, Mobile WiMAX uses bit interleaving to shue the bits of each symbol within an OFDM symbol in order to avoid long runs of lowly reliable bits. In Mobile WiMAX a 16 bit CRC eld is used in case HARQ is applied. A further optional CRC check exists in the MAC layer for every MAC PDU. The BLER results for the 8 AMC schemes of Mobile WiMAX are shown in Figure 4.10. The dierence of the gradients of the curves compared to the HS-DSCH mappings in Figure 4.8 is caused by the convolutional coder of rate 1/2. The CTC results in gradients equal to those of the very similar turbo coder of UMTS. Nevertheless, the performance improvement of CTC over the convolutional coding is marginal for short code length [48].
100
Mobile WiMAX - AWGN channel
10-1 BLER 10-2
Mobile WiMAX
10 5 0 5 SINR [dB] 10 15 20
Figure 4.10: Mobile WiMAX BLER mapping for an AWGN channel
4.5. Mobile WiMAX
103
4.5.1
Comparison of HSDPA and Mobile WiMAX Physical Channel Capacity
Table 4.6 shows the achievable throughput for each modulation scheme under the assumption that all data subcarriers or channelization codes, available for data transmission, are used. For the HSDPA the uncoded physical layer throughput for 1 code and for the maximum number of codes, i.e. 15 codes, are listed. Frequently, these maximum data rates are referred to when determining HSDPA capabilities. In a similar way the maximum throughput contribution per OFDM symbol of Mobile WiMAX is shown. Additionally, the maximum theoretical throughput without coding for 44 OFDM symbols is depicted. Because Mobile WiMAX is specied for TDD mode also the uplink OFDM symbols are included as downlink symbols in order to make a fair comparison. According to [139] the ratio of downlink/uplink OFDM symbols may vary between 35/12 and 26/21. Furthermore, it is assumed that exactly 3 of the available 47 OFDM symbols are used for the preamble (1 OFDM symbol) as well as the Frame Control Header (FCH) and all Medium Access Protocol (MAP) elds (2 OFDM symbols because of PUSC). The maximum throughput of the HS-DSCH using 64QAM is only available with Release 7 of UMTS. The comparison shows that both systems have a similar number of available physical channel bits. The number of bits available for the HS-DSCH is slightly higher because less bits are used for management, e.g. no FCH or MAP elds. Furthermore, the pilot signals and the CP of the OFDM based Mobile WiMAX require additional capacity compared to UMTS. In UMTS all management channels and all physical layer signals, e.g. CCPCH and CPICH, are contained in the remaining subtree of SF 16. In the next section more detailed results including the complete PHY coding chain and various receiver algorithms are presented. Table 4.6: Available maximum data bits without coding [Mbit/s]
Modulation QPSK 16QAM 64QAM HS-PDSCH 1 code 0.48 0.96 1.44 HS-PDSCH 15 codes 7.2 14.4 21.6 Mobile WiMAX 1 symbol 0.144 0.288 0.432 (Mobile WiMAX) 44 symbols 6.336 12.672 19.008
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4.6
Throughput Comparison
In this section the BLER results from the previous sections are used to calculate the achievable throughput by simply using the best MCS for a given SINR. In order to really achieve the illustrated throughput an accurate channel measurement and CQI reporting are required. In the following perfect channel knowledge is assumed. Therefore, the presented results illustrate the upper bound of the achievable throughput. Because the AMC relies on delayed CQI reports the achieved throughput is typically lower [53]. Especially in high mobility scenarios the throughput degradation increases [93]. Nevertheless, proposals exist to improve the CQI accuracy by modications on either the network side [133] or the UE side [62]. Simulation results including realistic CQI reporting are shown in Chapter 5. 4.6.1 4.6.1.1 AWGN Channel Physical Layer Throughput
In Figure 4.11 the physical layer throughput, achievable on transport channel level, is depicted. The left subgure illustrates the HS-DSCH throughput for both Release 5 and Release 7. As a reference the Mobile WiMAX throughput achieved with a fully used frame, i.e. uplink and downlink periods accumulated, is shown as well. Because variable block sizes in Mobile WiMAX aect the achievable throughput both the best case throughput (small blocks exactly allocating 2 OFDM symbols) and the worst case throughput (one large convolutionally encoded block spanning all available OFDM symbols) are shown. It can be seen that the throughput over SINR on an AWGN channel is up to 3 dB away from the theoretical Shannon limit for a bandwidth of 5 MHz. Because the 5 MHz bandwidth of UMTS includes guard bands and in some countries a carrier spacing smaller than 5 MHz is used the throughput is often compared to a 3.84 MHz bandwidth which corresponds to the 3.84 Mcps of UMTS [71]. The SINR range in which the AMC of the HS-DSCH allows a throughput close to the Shannon bound is around 30 dB. The 30 steps of the reference MCSs have a higher distance to the bound when the modulation scheme changes. Especially when 64QAM in Release 7 is used the distance to the theoretical limit for CQI 25 to CQI 27 is signicantly higher compared to the corresponding 16QAM MCSs. The maximum throughput of the HS-
4.6. Throughput Comparison

HS-DSCH Throughput - AWGN channel - Rake receiver
104 19291 kbps 12779 kbps 15840 kbps 104
105
DCH Throughput - AWGN channel - Rake receiver
Throughput [kbit/s]
103
Throughput [kbit/s]
103 806.4 kbps 403.2 kbps 102 134.4 kbps 67.2 kbps 20 10 0
102
HS-DSCH release 5 HS-DSCH release 7 Mobile WiMAX, small blocks Mobile WiMAX, large blocks Shannon bound Shannon bound shifted by 3 dB
20 10 0 SINR [dB] 10 20 30
DCH Downlink, 20 ms TTI DCH Downlink, 10 ms TTI DCH Uplink, 20 ms TTI DCH Uplink, 10 ms TTI Shannon bound Shannon bound shifted by 3 dB
SINR [dB] 10 20 30
(a) HS-DSCH, Mobile WiMAX
(b) DCH
Figure 4.11: Physical layer throughput on an AWGN channel
DSCH is approximately 12.8 Mbit/s in Release 5 of the UMTS specication and 19.3 Mbit/s with the 64QAM extension introduced in Release 7. The comparable Mobile WiMAX conguration reaches a peak throughput of 15.8 Mbit/s which lies in between the throughputs of the two HS-DSCH results. A more detailed comparison of HSDPA and Mobile WiMAX can be found in [97]. The right subgure of Figure 4.11 illustrates the DCH throughput of the congurations as introduced in Section 4.3. Both the throughput in uplink and downlink direction is presented. Within those ranges targeted by the inner loop power control, the curves have a distance to the Shannon bound comparable to the HS-DSCH results. The maximum DCH throughput achievable with one physical channel, i.e. one code, is 403.2 kbit/s using the standard TFSs. A multicode downlink conguration with two physical channels of SF 8 achieves a throughput of 806.4 kbit/s. 4.6.1.2 Maximum Throughput above RLC Layer
As a next step the maximum theoretical throughput of the RBs above the RLC layer is compared. This throughput is achieved under the assumption that the smallest possible PDU header of 16 bits is added by the RLC AM entities. As listed in Table 4.1 the DCH uses a TB size of 336 bits which leads to an RLC SDU size of 320 bits. Therefore, a minimum layer 2 overhead
106
RLC Throughput - 336 bit MAC-d PDUs - AWGN channel - Rake receiver
104 11200 kbps 18240 kbps 12160 kbps

RLC Throughput - 656 bit MAC-d PDUs - AWGN channel - Rake receiver
104 18560 kbps 12160 kbps
Throughput [kbit/s]
103 768 kbps 384 kbps 102 128 kbps 64 kbps 20 10 0
Throughput [kbit/s]
103
HS-DSCH release 5 HS-DSCH release 7 DCH Downlink, 20 ms TTI DCH Downlink, 10 ms TTI DCH Uplink, 20 ms TTI DCH Uplink, 10 ms TTI Shannon bound Shannon bound shifted by 3 dB
SINR [dB] 10 20 30
102
HS-DSCH release 5 HS-DSCH release 7 Shannon bound Shannon bound shifted by 3 dB

20 10 0 SINR [dB] 10 20 30
(a) 336 bit MAC-d PDUs
(b) 656 bit MAC-d PDUs
Figure 4.12: Maximum throughput on RLC level
of 4.8% for 320 bit RLC SDUs can be assumed if no MAC multiplexing is applied. For the HS-DSCH the alternative MAC-d PDU sizes of 336 and 656 bits are foreseen [43] which result in RLC SDU size of 320 and 640 bits, respectively. Even though a minimum theoretical RLC overhead of 2.4% could be achieved with 640 bit RLC SDUs, the overall layer 2 overhead including MAC-hs headers and padding, caused by the MAC-hs PDU granularity, is between 4% and 5%, as can be seen by the following HS-DSCH calculations. Figure 4.12 shows the resulting throughputs for both 336 bit MACd PDUs (left subgure) and 656 bit PDUs (right subgure). Because of the 16 bit RLC header the maximum DCH throughput as shown before is reduced to 64 kbit/s, 128 kbit/s and 384 kbit/s above the RLC layer. When two channelization codes are used in the downlink the maximum RLC throughput reaches the nominal throughput of 768 kbit/s. Compared to the 10 ms TTI congurations of the 384 kbit/s and 768 kbit/s RBs the alternative 20 ms congurations show more steps due to the larger TFS. The throughput results of the HSDPA as measurable above the RLC layer dier from the previous HS-DSCH results as well. Especially for low CQI values the RLC PDU granularity signicantly inuences the achievable throughput. In order to transmit RLC PDUs of 336 bits and 656 bits the minimum required CQI is 5 and 8, respectively. In the 656 bit case less steps
107
in the throughput curve can be observed because of the PDU granularity. Because of an FDD HS-DSCH limitation of 70 PDUs per TTI the maximum throughput with 336 bit PDUs is 11.2 Mbit/s. Theoretically, a throughput of 12.2 Mbit/s with 16QAM and 18.2 Mbit/s using 64QAM would be possible. When the MAC-d PDU size is increased to 656 bits the throughput on RLC level reaches 12.2 Mbit/s and 18.6 Mbit/s for Release 5 and Release 7, respectively. Table 4.7 summarizes the achievable throughput for the 384 kbit/s DCH uplink and downlink as well as the HS-DSCH using QPSK, 16QAM and 64QAM. The levels at which the throughputs are compared are the uncoded physical channels, the transport channels (PHY throughput), the MAC-hs entity, the MAC-d entity and the RBs above the RLC AM entity. For the dual-code 768 kbit/s DCH downlink the 384 kbit/s throughput results need to be multiplied with 2. Comparing the eciencies, i.e. the ratio of the RB throughput to the throughput on physical channel level, it turns out that the Release 7 HS-DSCH has the highest eciency of 0.86 while the DCH uplink only has an eciency of 0.4. Nevertheless, it must be noted that a much higher SINR is required by the HS-DSCH to achieve the corresponding high throughputs.
Table 4.7: Throughput comparison on various layers

Release UE category Codes/SF Modulation MAC-d PDU size One code [kbit/s] All codes [kbit/s] PHY [kbit/s] MAC-hs [kbit/s] MAC-d [kbit/s] RLC [kbit/s] Eciency DCH UL 99 1/4 BPSK 336 960 960 403.2 403.2 384 0.4 DCH DL 99 1/8 QPSK 336 912 912 403.2 403.2 384 0.421 HS-DSCH 5 CAT 12 5/16 QPSK 336 656 480 2400 1659.5 1649 1512 1640 1440 0.6 1600 0.667 HS-DSCH 5 CAT 10 15/16 16QAM 336 656 960 14400 12779 12768.5 11760 12464 (12768) 11200 12160 (12160) 0.77 0.844 (0.844) HS-DSCH 7 CAT 14 15/16 64QAM 336 656 1440 21600 19291 19280.5 11760 19024 (19152) 11200 18560 (18240) 0.56 0.859 (0.844)
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4.6.2
Throughput for Pedestrian Channel Model
After the preceding comparisons which have been performed using a simple AWGN channel, this and the following sections analyze the above congurations with Tapped Delay Line (TDL) based ITU channels [76]. In detail the channel model ITU Pedestrian A (PA) at 3 km/h and the model ITU Vehicular A (VA) at 100 km/h have been used for the performance evaluation of fading channels. As in the previous evaluations the co-channel interference of neighbour cells is considered as uncorrelated noise which contributes to the overall interference level. Several receiver techniques have been applied for both channel models. For the WCDMA system a traditional Rake receiver with Maximum Ratio Combining (MRC) of the individual paths has been used. Furthermore, a ZF receiver, which tries to completely eliminate ISI, and an MMSE receiver, which combats the ISI and takes the noise into account, have been studied. For the reception in the OFDM based Mobile WiMAX a simple equalization within the frequency domain is made. This is achieved by dividing the complex symbols of the subcarriers by the Fourier transformation of the estimated channel impulse response. In Figure 4.13 the throughput for a fading channel based on the PA model with low mobility, i.e. 3 km/h, is presented. The left subgure illustrates the achievable throughput when a Rake receiver with 5 Rake ngers is used, the right subgure shows the corresponding throughput of an MMSE receiver. Similar to the AWGN results all curves are very close to each other within the ranges where the curves are close to the Shannon bound. Nevertheless, the absolute distance to the theoretical bound is larger with the fading channel. It can be observed that the Rake receiver achieves a lower maximum throughput compared to the AWGN results. Only 63% of the theoretical Release 5 and 34% of the Release 7 throughput is reached at maximum. Also in comparison to Mobile WiMAX the performance of the HS-DSCH with Rake receiver is worse. As already discussed in [127] and [128] the Rake receiver suers in fading environments for higher order modulations like 16QAM and 64QAM. In such scenarios receivers which try to eliminate the ISI, e.g. ZF and MMSE, are superior. When using an MMSE receiver the same maximum throughput as achieved for an AWGN channel can be reached (see right subgure). Nevertheless, a higher SINR is required in this case. Dierent from the higher order modulation schemes, the receiver algo-

Throughput - ITU PA channel - Rake receiver
104 104
109
Throughput - ITU PA channel - MMSE receiver (order 32)
Throughput [kbit/s]
103
Throughput [kbit/s]
103
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HS-DSCH release 5 HS-DSCH release 7 Mobile WiMAX DCH Downlink, 20 ms TTI DCH Downlink, 10 ms TTI DCH Uplink, 20 ms TTI DCH Uplink, 10 ms TTI Shannon bound Shannon bound shifted by 3 dB
20 10 0 10 SINR [dB] 20 30 40
102
101
20 10 0 10 SINR [dB] 20 30 40
(a) Rake receiver
(b) MMSE receiver, order 32
Figure 4.13: Throughput for ITU PA channel, 3 km/h
rithms compared in Figure 4.13 do not dier under QPSK and BPSK modulation. Therefore, the throughputs of the DCH and QPSK based HS-DSCH congurations are comparable for Rake and MMSE receivers. 4.6.3 Throughput for Vehicular Channel Model
In Figure 4.14 the same setup as in Section 4.6.2 is shown for a fading channel with high velocity. Based on the VA channel prole at 100 km/h the performance of an MMSE receiver of order 32 and order 128 as well as the OFDM receiver of Mobile WiMAX is compared. As can be seen all throughput results are worse compared to the PA channel results. The receiver that suers most in the vehicular scenario is the OFDM receiver as implemented in this thesis. In comparison to the MMSE receiver of UMTS its throughput is a little lower at SINR greater than 10 dB. Because of the high velocity the channel coecients change very quickly. Since with the OFDM receiver the channel estimation and the equalization are only performed one time for each OFDM symbol, the averaging error of the estimated channel is increased because of the relatively long symbol time of the FFT of size 512 . For SINR values below 10 dB the throughput of the UMTS MMSE receiver is much closer to the Shannon bound than that of the OFDM WiMAX receiver. In such operation areas, where only a low theoretical through-
110
Throughput - ITU VA channel - MMSE receiver (order 32)
104

Throughput - ITU VA channel - MMSE receiver (order 128)
104
Throughput [kbit/s]
103
Throughput [kbit/s]
103
102
101
20 10 0 10 SINR [dB] 20 30 40
102
101
20 10 0 10 SINR [dB] 20 30 40
(a) MMSE receiver, order 32
(b) MMSE receiver, order 128
Figure 4.14: Throughput for ITU VA channel, 100 km/h
put capacity is available, UMTS shows a more graceful degradation of the throughput compared to WiMAX. The HS-DSCH MMSE receiver in its current implementation can update the lter coecients more frequently based on the reception of the CPICH. For such a receiver the order of the lter signicantly inuences the performance. For a fading environment as simulated in this scenario a higher lter order improves the throughput for a given SINR signicantly as shown for the two receiver congurations. The MMSE receiver of order 32 has a lower maximum throughput compared to Mobile WiMAX for both the Release 5 and Release 7 HS-DSCH. When the lter length is increased to 128 both HS-DSCH variants reach a higher throughput. The major reason why the MMSE receiver of order 128 is superior is because of its ability to better compensate ISI introduced by paths with a signicantly larger delay. Comparing the dierent receivers for the DCH it turns out that the MMSE receiver of order 32 has a small gain of about 1 dB in relation to the Rake receiver. When enhancing the MMSE order to 128 no noticable additional gain for the QPSK based DCH can be achieved. Results show that the systems in the analyzed conguration have similar eciencies with respect to the theoretical limit if state-of-the-art receivers are used. Depending on the scenario either HSDPA or Mobile WiMAX
4.7. Hybrid ARQ
111
achieve a higher throughput. The receivers used in this study show a greater inuence than the system itself. Especially the MMSE receivers showed to be superior compared to basic Rake receivers or the channel equalization as used in the Mobile WiMAX conguration. For the higher order modulation schemes of the HS-DSCH the Rake receiver degredation in performance Regarding the throughput in an AWGN environment both systems appear to be close to an economically reasonable bound. The maximum throughput of Mobile WiMAX lies between the ones of HS-DSCH Release 5 and Release 7. Compared to the DCH throughput of UMTS both Mobile WiMAX and HS-DSCH reach a signicantly higher throughput. It is worth mentioning that the maximum theoretical throughput is shown. In a real TDD based Mobile WiMAX system only 35 out of the 47 OFDM symbols can be used for the downlink. Furthermore, at the time of writing many UMTS HSDPA mobiles support only 5 codes [28]. The performance of the link adaptation under real world conditions that is based on signalling of the channel measurement results can be expected to achieve a suboptimal link adaptation and, therefore, a lower throughput than with perfect link adaptation as assumed in this section. Furthermore, HARQ mechanisms gain importance for improving performance under imperfect channel knowledge at the transmitter. Last but not least the higher layer functions, especially the scheduling algorithms, signicantly inuence the performance of the overall system. In the following section the performance of HARQ mechanisms is analyzed. In Chapter 5 dynamic systemlevel simulations are presented that consider scheduling algorithms and bitaccurate signalling of the measurement reports from the UE to the Node B.
4.7
Hybrid ARQ
The previous sections dealt with the impact of the HS-DSCH AMC on throughput. The focus is now extended to study its HARQ scheme. AMC and HARQ are the HS-DSCH features that correspond logically to the variable spreading factor and fast power control of the DCH as measures to adapt to the current channel needs. Both the variable spreading factor and the fast power control belong to the most fundamental features of WCDMA [94]. The AMC is based on measurement reports, the CQI reports, which because of their timing do not necessarily reect the instantaneous channel conditions. Dierent from the fast power control used for the DCH, the
112
MCS of the HS-DSCH can less frequently be adapted to the SINR currently perceived at the UE receiver. Therefore, HARQ plays an important role for the HS-DSCH in order to improve the throughput eciency within the limitations present in UMTS. If the SINR of the channel is lower than communicated in the CQI report, HARQ allows to retransmit data with modied redundancy information to increase the decoding probability of a previous failed TB transmission. If the channel quality is higher than communicated in the latest CQI report, the MCS typically is chosen too pessimistic and radio resources are wasted. In order to reduce consequences of these mismatches, the HS-DSCH is designed to target a BLER of 10%. The HS-DSCH allows up to 8 transmissions of a given transport block. For each transmission several parameters can be changed to increase decoding probability. Two parameters aect the Rate Matching (RM) algorithm. The rst one controls if systematic or non-systematic bits of the turbo coder should be prioritized. The second parameter is used to change the set of bits which are punctured or repeated. For a TB transmission with a high eective coding rate, up to three transmissions are needed until every bit of the coded bit sequence is transmitted at least once. Additionally to the rate matching the mapping of bits onto modulation symbols can be altered. This constellation rearrangement is available for 16QAM and 64QAM (but not QPSK) where dierent decoding probabilities for the individual modulation symbols exist (see Section 4.1). As shown in Table 2.2 up to four rearrangement options are specied. The complete set of specied Redundancy Version (RV) combinations is listed in Table 4.8. Table 4.8: Allowed redundancy combinations RV 0 1 2 3 4 5 6 7 Prioritize systematic bits QPSK / QAM 1 0 1 0 1 0/1 1 0/1 Redundancy bits QPSK / QAM 0 0 1 1 2/0 2/0 3/0 3/1 Constellation QAM 0 0 1 1 1 2 3 0
4.7. Hybrid ARQ
113
Two cases for the HARQ are to dier. The case where retransmissions contain exactly the same bits as the initial transmission is called Chase Combining (CC). The other case where RM parameters are modied for retransmitted TBs is called Incremental Redundancy (IR). Because of the modied RM parameters a dierent set of bits is transmitted there. IR is advantageous with respect to the decoding probability, but a larger amount of soft memory is needed. As such memory increases the technical complexity of the UEs, already the initial technical 3GPP evaluations had a small amount of soft bits as a design goal [38]. Because of this requirement not all UE categories support IR for high AMC schemes. Those categories use chase combining at higher data rates. Table 4.9 lists the UE capabilities up to HS-DSCH category 14 [28]. Table 4.9: HS-DSCH UE categories
Category 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Codes 5 5 5 5 5 5 10 10 15 15 5 5 15 15 Modulation 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM 16QAM QPSK QPSK 64QAM 64QAM Min. interval 3 3 2 2 1 1 1 1 1 1 2 1 1 1 TB size 7298 7298 7298 7298 7298 7298 14411 14411 20251 27952 3630 3630 35280 42192 Total soft bits 19200 28800 28800 38400 57600 67200 115200 134400 172800 172800 14400 28800 259200 259200
The categories 1 to 12 have been introduced in Release 5 of the UMTS specication. In Release 7 the 64QAM capable categories 13 and 14 have been added. Categories 10 and 14 are the most advanced ones in Table 4.9. All other categories use a reduced feature set only. In case the Node B receives a CQI from a UE which maps to an AMC scheme that is not supported by the mobiles category the Node B selects the highest possible AMC scheme and may reduce the transmission power instead. Furthermore, the
114
AMC parameters themselves could be altered. For example a category 9 UE would typically only receive either transmissions with up to 12 codes or transmissions with a reduced coding rate because of its transport block size limitation. Therefore, the category 10 data rates for CQIs above 26 are not achievable by a category 9 UE. Additionally to the above dierences the available soft memory and the intervals at which a mobile might be scheduled vary within the dierent categories. As discussed in Section 2.3.1.3 the size of the soft-bit buer inuences the HARQ gain. The lowest gain is achievable if only chase combining can be applied. Incremental redundancy with an unlimited soft memory leads to the optimum gain. In the following sections these two extreme cases as well as one option to improve the chase combining gain without the necessity of a large soft memory are analyzed. 4.7.1 Chase Combining and Incremental Redundancy
The decoding dierences between chase combining and incremental redundancy are illustrated in Figure 4.15. The x-axis of the diagrams determines the SINR which is required to achieve a 10% BLER. The number of transmissions is given by the y-axis. For every AMC scheme of Table 4.4 one curve is shown. The atter the curves are, i.e. the lower the required SINR for an increasing number of transmissions, the higher the decoding gain is. As a reference the basic gain expected by the increase of mutual information [135] for transmission n gbasic = 10 log10 (n) (4.13)
is illustrated by dotted lines at the left and right side of the simulated curves. Results for a UE of category 10 (solid lines) as well as a category 14 UE (dashed lines) are shown in the gure. In case of incremental redundancy all eight RVs are used in sequential order (compare Table 4.8). A detailed comparison of dierent schemes for selecting the RVs can be found in [51]. Link-level results as shown in the following are used as input parameters for the development of empirical models. These models can be used in system-level simulations. Such a model, which approximates the link-level performance of HARQ schemes by a low complexity formula, is presented in [59], for example. When chase combining is applied (see lines in Figure 4.15(a)) the achievable gain for the QPSK based modulation schemes exactly matches the theoretical gain introduced in Eq. (4.13). For 16QAM and 64QAM the gain
4.7. Hybrid ARQ

HS-DSCH - CC - AWGN channel - Rake receiver HS-DSCH - IR - AWGN channel - Rake receiver
115
8 7 6 Transmission
8 7 6 Transmission 5 4 3 2 1
5 4 3 2 1
CQI1 20 10 0 SINR [dB] for 10% BLER
CQI30
CQI30 10
CQI1 20
CQI30 CQI30 10 0 SINR [dB] for 10% BLER 10
(a) Chase Combining
(b) Incremental Redundancy
Figure 4.15: HARQ gain for Chase Combining and Incremental Redundancy
is smaller because of the higher order modulation schemes. Especially for low coding rates, e.g. as used for the reference MCSs corresponding to CQI 16 and CQI 26 for 16QAM and 64QAM, respectively, the theoretical basic gain is not reached. For the rst retransmission the gain is reduced by up to 0.45 dB. For the fourth transmission this loss reaches a maximum of 0.95 dB for 16QAM and 1.3 dB for 64QAM. Contrary to chase combining, incremental redundancy shows its decoding gain especially in the presence of high order modulation schemes and high coding rates. Figure 4.15(b) illustrates how the corresponding gains reduce the required SINR in case of a retransmission. Already for the rst retransmission in case of CQI 30 a gain of 5.3 dB for 64QAM and 3.9 dB for 16QAM compared to the gain calculated from Eq. (4.13) is reached. Similar gains have been measured by [60] for a small subset of HSDPA MCSs. 4.7.2 Constellation Rearrangement
As a trade-o between the large soft memory required for incremental redundancy and the low gain of pure chase combining, a HARQ scheme using only constellation rearrangement can be used. For this HARQ scheme the parameter controlling the constellation is varied. The parameters aecting the rate matching are kept constant and, therefore, the same information bits are transfered in retransmitted TBs. Figure 4.16 illustrates the gains
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8 7 6 Transmission 5 4 3 2 1

HS-DSCH - CR - AWGN channel - Rake receiver
CQI1 20 10 0 SINR [dB] for 10% BLER
CQI30 CQI30 10
Figure 4.16: HARQ gain using Constellation Rearrangement only
achieved by this scheme. A gain of 1 dB is achieved for the rst retransmission if 16QAM is used as the modulation scheme. With 64QAM a higher gain of up to 3 dB is reached. 4.7.3 Comparison
Figure 4.17 compares the gains for the schemes Chase Combining (CC), Constellation Rearrangement (CR) and Incremental Redundancy (IR) at the rst retransmission. In case of QPSK based transmissions, i.e. CQI values below 16, only IR brings an additional gain. The reachable gain depends on the coding rate of the selected MCS. When bit repetition is applied by the rate matching algorithm no big gain can be observed as all coded bits are transmitted already. For higher eective coding rates, e.g. in case of CQI 6, CQI 9 and the QPSK based schemes above CQI 11, incremental redundancy shows a signicant gain (up to 1 dB for CQI 15). In case of 16QAM and 64QAM CC has a negative gain, especially, for low code rates. CR has a rather constant gain of around 1 dB for 16QAM and up to 3 dB for 64QAM. The highest gains are reached by incremental redundancy. The code rate aects how big this gain is. For low code rates as used for CQI 16, CQI 17 and the 64QAM based CQI 26 the gain of the CR scheme is a little higher than that of IR.
4.7. Hybrid ARQ

6 QPSK 5 4 Relative gain [dB] 3 2 1 0 CC 10 5 10 15 CQI 20 25 30 IR CR
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HS-DSCH - HARQ gain - AWGN channel - Rake receiver

16QAM 64QAM
Figure 4.17: Comparison of HARQ gains for rst retransmission
Figure 4.18 shows the eective coding rate of the MCSs studied above. The eective coding rate for the HS-DSCH within this comparison is dened by bTB bTB ECR = = (4.14) bPHY 480 bSymbol ncodes 24 where bTB is the transport block size in bits, bSymbol is the number of bits per modulation symbol and ncodes is the number of codes as introduced in table 4.4. The number of codes used for a certain MCS is annotated to each column in the gure. Furthermore, the code rate is shown at which no bit repetition or puncturing is performed by the rate matching algorithm. Below this line repetition is needed, above puncturing is required. It can be seen that the eective coding rate is not strictly increasing with increased CQI. Whenever more codes are added to a higher MCS, or a higher order modulation scheme is used, the coding rate must signicantly be reduced in order to meet the SINR target. The reason for this adjustment is to compensate for the changed spreading gain and modulation sensitivity.
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HS-DSCH coding rate - Category 10 No puncturing/repetition
5 4 3 0.4 2 10 15 7 8 12

HS-DSCH coding rate - Category 14 No puncturing/repetition
5 4 3 0.4 2 10 7 8 12 14 13
1.0
1.0
15
0.8 Effective coding rate
0.8 Effective coding rate
0.6
0.6
0.2 1
0.2 1
0.00
10
15 CQI
20
25
30
0.00
10
15 CQI
20
25
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(a) Category 10
(b) Category 14
Figure 4.18: Coding rates of reference AMC schemes
It can be concluded that the type of HARQ signicantly impacts the performance of the HS-DSCH in the presence of delayed and, therefore, inaccurate CQI reports. As the type of HARQ depends on the UE capabilities and the Node B algorithms, there is diversication freedom for both UE and network vendors. In the comparison of HARQ schemes it has been shown that CC has the lowest performance. For QPSK only the minimum expected gain has been reached. In QAM based scenarios with low coding rates an even lower gain was observed. IR, on the contrary, showed to have the highest gain. Especially for high eective code rates and QAM a noticeable gain was achieved. CR demonstrated to be a good compromise between the simple CC and the soft memory demanding IR. A rather code rate independent gain which solely was based on the chosen QAM scheme was identied.
CHAPTER 5
Performance on System Level
Contents
5.1 5.2 Related Work of the Author . . . . . . . . . . . . . . 120 Fast Scheduling for HSDPA . . . . . . . . . . . . . . . 122 5.2.1 5.2.2 5.3 5.3.1 5.3.2 5.4 5.4.1 5.4.2 5.4.3 5.4.4 Scheduling Strategies . . . . . . . . . . . . . . 124 Qualitative Comparison of Scheduling Metrics 127 MAC-d PDU Queueing Delay . . . . . . . . . 132 Inter-Scheduling Interval . . . . . . . . . . . . 133 MAC-hs PDU Throughput . . . . . . . . . . . 136 Throughput of NRT Services . . . . . . . . . 137 Queueing Delay of RT Services . . . . . . . . 138 Conclusions . . . . . . . . . . . . . . . . . . . 140
HS-DSCH Performance for RT Services . . . . . . . . 129
HS-DSCH Performance for mixed Services . . . . . . 135
UMTS is further analyzed from system-level perspective. In contrast to B link-level evaluations which only consider the radio link of a single UE the performance for a group of users is studied in this chapter. Dynamic simulations, as typically being used when evaluating the HSDPA performance for multiple users [134], are utilized for this purpose. These simulations are performed with the framework developed within the scope of this thesis (compare Chapter 3) and include bit-accurate protocol implementations as well as realistic and congurable algorithms. The goal of this chapter is to study the performance of UMTS in a realistic trac scenario. By exchanging the scheduling algorithms and varying the trac mix the impact on perceived QoS parameters, e.g. throughput and queueing delay, is evaluated.
ased on the link-level results of the previous chapter the performance of
120
5. Performance on System Level
In Section 5.1 related evaluations which were performed with the help of the developed simulation framework and which were published by the author are presented. After the previous chapter dealt with two of the three most important HSDPA features, i.e. Adaptive Modulation and Coding (AMC) and Hybrid ARQ (HARQ), Section 5.2 introduces the concept of fast scheduling [105]. First the general principles and basic simulation assumptions are presented. In a next step several proposed scheduling algorithms are qualitatively compared. The quantitative evaluation of a subset of these algorithms is given in Sections 5.3 and 5.4. The rst investigated scenario is used to analyze the performance for Real Time (RT) services. In a second scenario a trac mix of both RT and Non-Real Time (NRT) services is studied.
5.1
Related Work of the Author
On system level one of the key functionalities which aects the QoS perceived by the user is the scheduling of radio resources. Depending on the transport channel, dierent scheduling concepts may be applied. For the DCH the scheduling options are limited as only trac ows of one user are scheduled there. These trac ows are scheduled strictly priority based. Only for ows within the same priority class underlying sub-scheduling algorithms are possible. The scheduling of dedicated channels has been studied in [67] and [68]. For dedicated channels the resource partitioning between users is xed for a relatively long time. Every transport channel of each UE has an allocated TFS which is used by the MAC layer for scheduling purposes. Only layer 3 may change these allocations by assigning a new channelization code and a new TFS. This transport channel reconguration requires RRC signalling. Parallel downlink resources are occupied during a reconguration phase. In [106] an extended CAC scheme allowing the up- and downgrading of TFSs is proposed and evaluated. Within this scheme the users may have dierent priorities and QoS proles. By applying the proposed method a form of slow scheduling of radio resources between users is realized. Nevertheless, since this method of channelization code reallocation can be very slow, e.g. in the range of 500 ms [94], it is obviously inecient for bursty and low duty cycle data applications.
5.1. Related Work of the Author
121
Typically, PS trac in mobile communication systems results from the TCP/IP trac as used in the xed-line Internet. The wireless link is usually the bottle neck to which the congestion control algorithms of TCP try to adapt the transmission rate to. From end-user perspective, delay and throughput of the TCP/IP trac are important QoS parameters. In [104] and [103] it has been shown by the author that the scheduling of dedicated channels in UMTS may negatively inuence the trac performance of the TCP protocol. Depending on the scenario and scheduling algorithm the bandwidth-delay product is not accurately estimated by the TCP and, therefore, the TCP throughput is reduced. Both TCP and IP add relatively large protocol headers to the user-data that is to be transmitted. Especially when IPv6 is used or when the packet size of the service is small, e.g. in case of VoIP, these headers substantially reduce the throughput experienced by the user. In [91] it has been shown that the header compression algorithms of the PDCP can signicantly reduce the related header overhead. The dedicated channels of UMTS can be used for both PS and CS services. Examples for CS services are ordinary voice calls [40] and Video Telephony (VT) [41, 79]. In the latter case video is either encoded using MPEG4 [75] or H.263 [78]. In [101] and [102] the performance of video telephony as specied by the 3GPP is evaluated and proposals for improvements are given. By using the module presented in Section 3.6 the quality of video transmitted over the emulated channel is evaluated using standardized metrics as specied in [80, 114, 115]. Another improvement for the UMTS radio interface with respect to its eciency is the use of MBMS. With MBMS content that is to be sent to a group of users can be transmitted using point-to-multipoint channels. The eciency of such congurations has been studied in [95] and [100] by the author.
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5.2
Fast Scheduling for HSDPA
The HSDPA is an extension to UMTS which has been introduced in Release 5. In later releases it has been improved with the goal to achieve a higher data rate. The HS-DSCH is the transport channel the HSDPA is based on. The HSDPA concept has been designed to increase the downlink packet data throughput by means of fast physical layer retransmission and transmission combining (HARQ) as well as fast scheduling and link adaptation (AMC), controlled by the Node B. AMC and HARQ have already been evaluated in Section 4.4 and Section 4.7, respectively. In Section 4.6 the maximum theoretical throughput for one user depending on channel conditions was shown. Among the above features, the fast scheduling, taking into account the current channel conditions of multiple users, contributes significantly to the performance of HSDPA in terms of the so-called multiuser diversity gain. In this section several scheduling algorithms are introduced and analyzed with respect to both the overall system performance and the QoS perceived by individual users. The basic scheduling principle is illustrated in Figure 5.1 where the scheduler is located in the Node B rather than in the RNC, as typical for DCH scheduling. In this way, the delay introduced by the scheduling process is minimized. The radio channel condition is measured and reported by means of the CQI by each mobile [20]. As the radio channel experiences
L1 feedback
Data L1 feedback
Fast Node B scheduling based on: Channel quality UE capability QoS and priority
Data
UE 1
Node B UE 2
Figure 5.1: Elementary Node B scheduling principle
5.2. Fast Scheduling for HSDPA
123
small and large scale variations [129] the CQI reports allow the channel aware scheduling to favor UEs with temporarily good channel conditions. This exploitation of multiuser diversity can signicantly increase the system capacity. On the other hand, the issues of fairness and guaranteed QoS among dierent users have to be considered by the scheduling algorithms. As no particular scheduling algorithm is specied for the HS-DSCH various alternative algorithms may be applied. Within this thesis several algorithms from literature (mostly not being intended to be used for the HS-DSCH, originally) have been analyzed with respect to their pros and cons in a realistically modeled HSDPA scenario. The UMTS standard denes four QoS classes [5, 10], namely conversational, streaming, interactive and background class. These classes mainly dier in the requirements on transmission delay and reliability in terms of BLER. According to [39] HSDPA focuses on the last three classes. When classifying services according to their QoS requirements the concept of RT and NRT services is useful. RT services impose strict delay requirements on the end-to-end communication. As a result the involved network nodes supporting RT trac have to transfer the packets within a maximum tolerable delay. Due to these severe delay constraints, the error correction possibilities for RT communication are very limited. On the other hand, NRT trac is considered error sensitive, but has less demanding delay constraints than RT trac. These characteristics of NRT trac allow for link and also end-to-end level error recovery, enabling an error-free delivery of user data. The QoS classes of UMTS can be grouped by these two categories. Conversational and streaming trac can be considered as RT services, whereas interactive and background trac belong to the NRT services. The main dierence between conversational and streaming trac is the maximum tolerable delay. Because of the bidirectional communication pattern the conversational trac is more delay sensitive than streaming trac. Interactive and background trac do not have strict delay constraints and are only distinguished by the priority they are scheduled with. As this scheduling is strictly priority based the results are very deterministic and, therefore, not considered in the analyzed scenarios. The NRT services of all UEs are congured to be of the same priority. In the following we dier only between NRT and RT trac. NRT trac requires user data to be transferred error free, whereas delay requirements still allow end-to-end error recovery as carried out by the TCP. In contrast, RT services have strict delay re-
124
quirements which exclude end-to-end retransmission protocols. Hence, an unreliable transport protocols like UDP is used. The performance metrics for NRT services are mostly user and system throughput. For RT services the delay experienced by the MAC-d PDUs and the packet loss rate due to the discard timer [36] are the main evaluation metrics. In addition, the inter-scheduling interval and the Jain index are measured to compare the fairness of dierent scheduling algorithms. The interval refers to the time period between two consecutive scheduling events for an individual user. In the following sections the scheduling algorithms used within the performance evaluations are introduced and their main characteristics are qualitatively discussed. 5.2.1 5.2.1.1 Scheduling Strategies Maximum SINR Scheduling
In every TTI the Maximum SINR (MaxSINR) scheduling algorithm serves the user with best channel conditions and, therefore, with the highest instantaneous supportable data rate. The serving principle obviously has benets in terms of cell throughput. Consequently, under idealized conditions it is the system throughput optimal scheduler. Mathematically, it schedules user j that meets j = arg max{Ri (t)} (5.1)
i
at time t where the time granularity of t is one TTI. Ri (t) is the instantaneous data rate experienced by user i if being served by the packet scheduler. In general the term {} represents the relative priority of user i. The main disadvantage of the MaxSINR algorithm is its inherent unfairness. For instance, when a UE is far away from the Node B and its mobility is low it rarely is being scheduled [113]. 5.2.1.2 Proportional Fair Scheduling
The Proportional Fair (PF) scheduling algorithm was initially proposed in [72] and further analyzed in [73] and [57]. According to [86] the PF scheduler serves the user j with best relative channel quality at time t that meets j = arg max{
i
Ri (t) }. i (t)
(5.2)
125
Here Ri (t) is dened as above and i (t) is the average data rate for user i measured over the past. This rule ranks the users according to their instantaneous channel quality relative to their own average channel conditions. Accordingly, users with a higher average throughput are not necessarily privileged. In this way not only the multiuser diversity can be exploited, but at the same time also the issue of fairness among the users is taken into account. Up to now the presented scheduling algorithms do not take into account the delay experienced by each individual user and, therefore, are not suitable for scheduling RT services. In order to meet delay requirements, several QoS oriented scheduling algorithms have been proposed of which some relevant examples are introduced below. 5.2.1.3 Modied Largest Weighted Delay First Scheduling
Modied Largest Weighted Delay First (M-LWDF) [45] is an algorithm to keep the probability of delayed packets exceeding the discard bound below the maximum allowed SDU error ratio P r(Di > Ti ) i , (5.3)
where Di represents the Head Of Line (HOL) packet delay of user i, Ti the delay bound and i is the allowed percentage of discarded packets. The M-LWDF scheduler selects at time t user j that meets j = arg max{ai
i
Ri (t) Di (t)} , i (t)
(5.4)
where term ai is a constant used for QoS dierentiation. Consequently, varying services can have a dierent so that the priority between users with dierent demands in terms of error rate can be adjusted. According to a suggestion in [132] an approximating practical rule for choosing ai is i ) i (t) . The term R ai = log( Ti i (t) is derived from the PF algorithm and Di (t) is the HOL packet delay. By combining the PF metric and the HOL delay this algorithm not only takes advantage of the multiuser diversity available in the shared channel through the PF algorithm, but also increases the weight of ows with HOL packets that are close to their deadline violation. The value of the HOL delay Di (t) has a signicant impact on the total scheduling priority. SDUs
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arriving in an empty queue initially have the HOL delay Di (t) = 0 and, therefore, have to wait for the increase of their priority. This intrinsic delay is experienced by each SDU, i.e. MAC-d PDU in HSDPA. 5.2.1.4 Exponential Rule Scheduling
The Exponential Rule (ER) scheduling relies on the PF algorithm for regular situations and equalizes the weighted delays of the queues of all ows if their dierences are large. According to [126] this scheme schedules the user j at time t that meets j = arg max{i Ri (t)e
i
ai Di (t)aD 1+ aD
(5.5)
where aD = 1 N
N
ai Di (t)
i=1
(5.6)
and i > 0 (i = 1,..,N ) are set in the form i = ai /i (t) to represent the trade-o between the QoS requirements and the proportionally fair metric. (i ) Similar as for the M-LWDF algorithm ai can be set to ai = log . Ti 5.2.1.5 Channel-Dependent Earliest Due Date Scheduling
The Channel-Dependent Earliest Due Date (CD-EDD) scheduling algorithm [92] extends the PF algorithm with an Earliest Due Date (EDD) component. The EDD functionality is realized by assigning each packet of user i a delivery deadline Ti . The user j selected by the CD-EDD scheduler at time t meets Ri (t) Di (t) j = arg max{ai }, (5.7) i i (t) Ti Di (t) where ai , Ri (t), i and Di (t) are dened as for M-LWDF. The term Ti Di (t) is the time until the deadline is reached. As the delay of the HOL packet gets closer to Ti the EDD term dominates Eq. (5.7). If the HOL packet delay of user i is low the EDD term gives the ow a rather low priority.
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5.2.1.6
Expo-Linear Scheduling
In order to avoid the intrinsic delay in M-LWDF and CD-EDD some other algorithms have been proposed. One example is the Expo-Linear (EL) algorithm proposed in [64]. It schedules user j at time t meeting j = arg max{ai
i
Ri (t) ai Di (t) e }, i (t)
(5.8)
where ai , Ri (t), i (t) and Di (t) are dened as for M-LWDF. EL introduces an exponential term to better equalize the weighted delays. If the HOL delay of user i is low, the PF metric dominates the scheduling decision. In case the HOL delay approaches the delay bound, the total priority increases in an exponential manner. EL can be seen as a modication to the ER scheduler. The dierences to the ER scheduler are that the mean value in the numerator and the complete denominator of the exponent are removed1 . The removal of the denominator has two advantages. Firstly, it allows the algorithm to increase the total throughput when no users QoS is jeopardized. Secondly, it allows for a more direct inuence by the service whose HOL packet delay is approaching its deadline since this inuence is not anymore aected by the condition of the HOL packets of the other users.
5.2.2
Qualitative Comparison of Scheduling Metrics
Common to all algorithms introduced in the previous sections is their exploitation of the multiuser diversity gain. The priority term in all scheduling formulas is linearly dependent on the instantaneous data rate Ri which is supported by the current channel conditions. Qualitative dierences between the algorithms can be observed with respect to the fairness between users and their tendency to maintain QoS constraints. In Figure 5.2 the relative scheduling priorities of user i based on the average user throughput i and the HOL packet delay Di are illustrated.
1 According
to [125] the reason for the removal of the mean value is that the mean value in the numerator of the exponent is introduced only for better understanding of the criterions functionality and the removal of this term does not change the functionality of the algorithm.
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Priority vs. average throughput
MaxSINR 1.0 2.0

Priority vs. HOL packet delay
1.5
2.5
Priority
Priority
CD-EDD 1.5
0.5 PF, M-LWDF, CD-EDD, ER, EL 0.0
ER, EL M-LWDF MaxSINR, PF
1.0
0.50
10
i
15
20
0.50
10
Di
15
20
(a) Average throughput
(b) HOL packet delay
Figure 5.2: Qualitative comparison of scheduling metrics
As shown in Figure 5.2(a) most of the algorithms reduce the scheduling priority of users which already observed a high average throughput in the past. Only the MaxSINR algorithm does not take this information into account and, therefore, does not schedule the users in a fair manner. The dependency of the priority on the HOL packet delay is depicted in Figure 5.2(b). While the M-LWDF algorithm linearly increases the priority of users with packets close to the deadline violation, the CD-EDD, EL and ER algorithms increase the priority exponentially. As visualized by the horizontal line, the other algorithms are not QoS aware at all. Because of the benets identied in the qualitative analysis in Section 5.2.1 the EL algorithm is used in the following as a candidate scheduling algorithm which takes delay constraints into account. Simulation results of the other QoS aware algorithms can be found in [99].
5.3. HS-DSCH Performance for RT Services
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5.3
HS-DSCH Performance for RT Services
The system used for the realistic performance evaluation of scheduling algorithms is modeled in this thesis with the relevant MAC-hs protocol, a physical layer and a trac generator. The TTI equals 2 ms and one HS-SCCH is congured in the simulation studies. Hence, only one of the congured UEs can get resources in each TTI. The mobility of the users is assumed to be normally distributed with a mean speed of 3 m/s and a variance equal to 1. All users are conned to a xed size area and move in a Brownian motion manner. The movement area is chosen in a way so that the UEs stay within the area of the evaluated cell. Furthermore, the congured serving cell, i.e. the cell the UEs receive the HS-DSCH from, is kept the same. Only SHO in terms of radio link addition for the dedicated resources of the UEs may take place at the cell border. Further inuences from the neighbouring cells are limited by conguring a constant power allocation for the cells which are not evaluated. In the simulation studies a trac generator is employed which creates MAC-d PDUs whose size equals to 336 bits. For the NRT services a fullqueue model is applied which keeps the Buer Occupancy (BO) of the corresponding MAC-hs priority queues in the Node B at a constant level. Accordingly, there is always sucient data available for transmission to each mobile. By doing so, eects originating from the Iub ow control between Node B and RNC [110] do not disturb the simulation of the radio interface. Further proposals for limiting ow control eects on HSDPA system performance are given in [111] and [47]. The RT services are congured to use a constant data rate model which is realized by creating the same amount of MAC-d PDUs periodically, e.g. every 5 TTIs. In the following sections the basic behavioral dierences of the PF and EL algorithms for RT services are shown. Relevant details of the simulation scenario are listed in Table 5.1. The simulation parameters have been selected as frequently being used in literature, see e.g. [136], as well as being used in deployed networks [88]. The 9 UEs assumed in this scenario are separated in 3 groups with dierent path loss proles characterized by their mean perceived CQI values (see Figure 5.3 and Table 5.2). The CQI distribution for each prole is shown in Figure 5.4. All UEs have congured a constant-rate data source generating 3 MAC-d PDUs every 5 TTIs, i.e. 10 ms. Consequently, the source data rate per UE is 100.8 kbit/s as 336 bit MAC-d PDUs are to be
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Table 5.1: Scenario details and conguration parameters Parameter Simulation time Number of evaluated UEs Neighbour cells Cell antenna type Path loss Trac model MAC-d PDU arrival interval Number of HS-PDSCH codes Number of HS-SCCH codes UE category Target BLER Maximum number of retransmissions Transmit window size Receive window size Release timer Maximum delay CQI feedback cycle CQI repetition factor Filter length (allowed fraction of discarded packets) Throughput measurement interval Value 10000 s 9 1 ring, same frequency Omnidirectional Variable, grouped Constant, 100.8 kbit/s 5 TTIs (10 ms) 5 1 6 10% 4 12 12 140 ms 400 ms 2 ms 1 50 TTIs 0.01 50 TTIs
transmitted. By doing so a streaming service with a data rate of 100.8 kbit/s is simulated. The maximum tolerable delay is set to 400 ms which means that MAC-d PDUs experiencing a longer queueing delay will be discarded.
Table 5.2: Path loss in dierent UE groups Path loss Mean CQI UE 1-3 High 11 UE 4-6 Average 15 UE 7-9 Low 19
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UE 1-3 UE 4-6
UE 7-9
Figure 5.3: RT service scenario with various path loss proles
0.40 UE 1-3 0.35 0.30 0.25 Frequency 0.20 0.15 0.10 0.05 0.000 5 10 15 CQI 20 UE 4-6 UE 7-9
UE 1-3, high path loss UE 4-6, average path loss UE 7-9, low path loss
25
30
Figure 5.4: CQI distribution
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5.3.1
MAC-d PDU Queueing Delay
As stated earlier, for RT services the packet delay must be limited to some specied value, otherwise packets are discarded. Hence, packets from all users, even those experiencing bad channel conditions, should be transmitted within the 400 ms delay bound. Comparing the Complementary Cumulative Distribution Function (CCDF) of PF and EL algorithm in Figure 5.5 it turns out that EL achieves queueing delays that for the dierent path loss proles are much closer to each other than with PF. UE 1-6 suer a rather long MAC-d PDU queueing delay while UE 7-9 experience a relatively short delay under PF scheduling. The EL algorithm is much more QoS aware than PF, since the variance of the delay across user groups is much lower.
1.0
Proportional Fair (PF) - MAC-d PDU delay

UE 1-3 UE 4-6 UE 7-9
1.0
Expo-Linear (EL) - MAC-d PDU delay

UE 1-3 UE 4-6 UE 7-9
0.8
0.8
0.6 CCDF CCDF 0.4
0.6
0.4
0.2
0.2
0.0 0.0
0.1
0.2
Delay [s]
0.3
0.4
0.5
0.0 0.0
0.1
0.2
Delay [s]
0.3
0.4
0.5
(a) Proportional Fair (PF)
(b) Expo-Linear (EL)
Figure 5.5: MAC-d PDU queueing delay
The mean delay and packet loss probability per user group under PF and EL scheduling are given in Table 5.3. When comparing the mean queueing delay of the PF and EL algorithms it can be seen that for PF delay is not a concern. Moreover, there is a high packet loss under PF for UE 1-6 due to the expiration of the discard timer. In contrast, the EL scheduler provides for most of the UEs a better QoS in terms of delay. With this scheduler UE 4-9 have almost no packet loss during the whole simulation time. The packet loss of UE 1-3 is signicantly reduced compared to the PF scheduler.
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Table 5.3: Mean queueing delay and packet loss Algorithm PF EL Mean queueing delay [ms] UE 1-3 UE 4-6 UE 7-9 385.2 224.8 21.7 275.1 140.4 44.2 Discarded packets UE 1-3 UE 4-6 UE 7-9 52.3% 12.0% 0.2% 5.4% 0.2% 0.0%
Despite this relatively low packet loss for the UEs at the cell border the EL scheduler allows to meet the delay requirements of the RT service. 5.3.2 Inter-Scheduling Interval
Besides delays caused by retransmitted packets the user queueing delay largely depends on the inter-scheduling interval which is the time span between successive resource allocations to a UE by the scheduler. As shown in Figure 5.6 the inter-scheduling interval gradient is quite dierent for the PF and EL algorithm. The PF scheduler selects users mainly based on the channel quality. Therefore, UE 7-9 which experience the best channel conditions get the shortest inter-scheduling interval. In contrast the EL algorithm tries to reduce delays of distant UEs at the expense of close-by users as it considers the 400 ms deadline of the UEs. It can be observed that under EL the UEs with the worst channel condition (UE 1-3) get the shortest inter-scheduling interval. In other words, they are scheduled most frequently. These UEs in principle suer the longest MAC-d PDU queueing delay due to the PF metric in Eq. (5.8). However, when the actual MAC-d PDU delay of a UE increases, its priority grows because the exponential term becomes dominant, then. Therefore, UEs with best channel quality are scheduled under EL less frequent as visible from Figure 5.6. It can be concluded that the PF scheduler is not suited to schedule delay sensitive services.
134
1.0
Proportional Fair (PF) - Inter-scheduling interval

UE 1-3 UE 4-6 UE 7-9
1.0
Expo-Linear (EL) - Inter-scheduling interval

UE 1-3 UE 4-6 UE 7-9
0.8
0.8
0.6 CCDF CCDF 0.4
0.6
0.4
0.2
0.2
0.0 0.00
0.02
0.04 0.06 Inter-scheduling interval [s]
0.08
0.10
0.0 0.00
0.02
0.04 0.06 Inter-scheduling interval [s]
0.08
0.10
(a) Proportional Fair (PF)
(b) Expo-Linear (EL)
Figure 5.6: MAC-hs inter-scheduling interval
5.4. HS-DSCH Performance for mixed Services
135
5.4
HS-DSCH Performance for mixed Services
In this section the performance of the PF and EL algorithms with a mixture of RT and NRT users is compared. The dierences in the simulation assumptions, compared to the previous scenario in Table 5.1 and Table 5.2, are listed in Table 5.4. Now the 9 users are categorized by group specic trac models. The rst group (UE 1-3) is loaded by a full queue model to simulate NRT services. The other groups are loaded with constant data rate services. For UE 4-6 two MAC-d PDUs with a size of 336 bits are generated every 5 TTIs (10 ms). UE 7-9 are loaded by three instead of two PDUs which are generated every 10 ms. Dierent from the previous scenario the average path loss is now the same for all UEs. As illustrated in Figure 5.7 all UEs are allowed to move within the complete area of the center cell. Table 5.4: Trac parameters for mixed service scenario Trac model Delay [ms] UE 1-3 Full queue 5000 UE 4-6 CBR, 67.2 kbit/s 1000 UE 7-9 CBR, 100.8 kbit/s 400
UE 4-6 (RT1)
UE 7-9 (RT2)
UE 1-3 (NRT)
Figure 5.7: Simulation scenario with mixed services
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5.4.1
MAC-hs PDU Throughput
Since the number of HS-SCCH codes is set to 1 the MAC-hs PDU throughput can be considered as the aggregate cell throughput in this scenario. Figure 5.8 shows this throughput measured before and after the reordering buer (see Section 2.2.5.4). The throughput before the reordering buer is called HARQ throughput, the throughput of the reordered PDUs is referred to as buer throughput. As the PDU throughput is measured as the quotient of the PDU size and the transmission time the buer throughput is typically lower because of the queueing delay introduced by the reordering buer. It can be observed in general that the cell throughput of the PF scheduler is higher than that of the EL scheduler. The corresponding mean values are listed in Table 5.5. The MaxSINR scheduler which always schedules the UE with the best channel conditions achieves the highest throughput.
1.0
PDU throughput
PF HARQ PF Buffer EL HARQ EL Buffer MaxSINR HARQ MaxSINR Buffer
0.8
0.6 CCDF 0.4 MaxSINR 0.2 EL 0.00 500 1000 1500 2000 PDU throughput [kbit/s] 2500 3000 3500 PF
Figure 5.8: MAC-hs PDU throughput with mixed services
In order to compare the present results with those shown in Section 4.6 it must be noted that category 6 UEs are studied here. In contrast to category 10 UEs, as shown in Table 4.7, only 5 of the 15 codes can be
137
Table 5.5: Mean cell throughput Algorithm MaxSINR PF EL HARQ throughput [kbit/s] 1905 859 695 Buer throughput [kbit/s] 1534 768 550 Jains fairness index 0.502 0.971 0.848
used. The 4.8 Mbit/s of 5 16QAM codes results in a coded physical layer throughput of 3.58 Mbit/s. This throughput is further reduced by MAC-hs, MAC-d and RLC headers as well as the overhead introduced by the MAC-hs PDU granularity (compare Section 4.6.1.2). Additionally to the mean throughput, Table 5.5 compares the scheduling algorithms with respect to Jains fairness index [85]. This index is dened by Raj Jains equation J (x1 , x2 , . . . , xn ) = ( n
n 2 i=1 xi ) n 2 i=1 xi
(5.9)
where xi is the average throughput of user i and n is the number of users. In case the available resources are evenly shared among the users the index reaches its maximum value J = 1. In the worst case only one user is 1 . For the given comparison the mean scheduled and J calculates to be n throughput per group is evaluated and, therefore, the minimum of J is 1 3. As fairness between users is not considered at all by the MaxSINR metric, the lowest index of around 0.5 can be observed with this algorithm. The PF algorithm applies a fairness metric in addition to the channel quality based scheduling. Therefore, a high fairness index of 0.97 is achieved. Nevertheless, QoS constraints are not taken into account by the PF priority calculation. When considering the delay requirements of the users by using the EL algorithm the fairness index is reduced to 0.85. 5.4.2 Throughput of NRT Services
For the NRT UEs 1-3 the throughput is an important factor for the evaluation. By looking into Figure 5.9 it turns out that the PF scheduler provides higher throughput for the NRT users compared to the EL scheduler. The mean UE throughput with the PF algorithm is 129 kbit/s while the mean
138
UE throughput with the EL scheduler is only 46 kbit/s. This results from the fact that the EL scheduler, besides throughput, also considers delay and due dates of UEs.
1.0
UE throughput
PF HARQ PF Buffer EL HARQ EL Buffer
0.8
0.6 CCDF 0.4
EL
PF
0.2
0.00
50
100
150 200 250 Throughput [kbit/s]
300
350
400
Figure 5.9: MAC-hs UE throughput of NRT service
5.4.3
Queueing Delay of RT Services
On the contrary, as shown in Figure 5.10, the EL scheduler provides a smaller delay for the RT users whose services are delay sensitive. The mean MAC-d PDU queueing delay and the number of transmitted MAC-d PDUs per second on UTRAN side are listed in Table 5.6. It can be observed from these results that there are packet losses due to discard timer expiration when the PF scheduler is applied. Compared with PF the EL scheduler ensures that there is no packet loss due to the delay bounds for the delay sensitive services. Furthermore, the most delay sensitive services (UE 7-9) get a lower MAC-d PDU queueing delay than the less delay sensitive UEs 4-6, which indicates that they are treated preferentially during scheduling. The MaxSINR scheduler is not useful for RT services because it neither
139
takes delay bounds into account nor it generates a fair share of the available resources.
1.0
MAC-d PDU delay

PF UE 4-6 PF UE 7-9 EL UE 4-6 EL UE 7-9
0.8
0.6 CCDF PF UE 4-6 EL UE 7-9 0.2 EL UE 4-6 PF UE 7-9
0.4
0.0 -3 10
10-2
MAC-D PDU delay [s]
10-1
100
Figure 5.10: MAC-d PDU queueing delay of RT users
Table 5.6: MAC-d PDU delivery statistics Algorithm MaxSINR PF EL Buer delay [ms] UE 4-6 UE 7-9 98.8 22.0 74.8 80.0 76.9 17.5 PDUs per second UE 4-6 UE 7-9 82 110 197 279 200 300 Discarded packets UE 4-6 UE 7-9 59.2% 63.4% 1.7% 7.0% 0% 0%
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5.4.4
Conclusions
The simulation results show that the EL scheduler behaves similar to the PF scheduler when applied to NRT services. Nevertheless, the NRT throughput is lower for the EL scheduler as RT trac needs to be prioritized. Furthermore, it turned out that the PF scheduler is not suited for RT services. The delay requirements of RT users are not taken into account by the PF scheduler. Consequently, there is a severe packet loss when the PF algorithm is employed for RT services. In contrast to the PF scheduler the EL scheduler calculates the user priority not only based on the PF metric but also based on the delay bound. Therefore, it is able to meet the dierent QoS requirements of RT users. Considering a mixture of RT and NRT services, there is a trade-o between the throughput of NRT users and the delay requirement of RT users. The PF scheduler outperforms the EL scheduler with a higher aggregate throughput. However, it can not guarantee the delay requirement of RT users. The EL scheduler provides a relatively low cell throughput but it meets the delay requirement of RT users. Hence, the EL scheduler is a better option for supporting a mixture of NRT and RT services. The highest aggregate throughput is achieved by the MaxSINR scheduler. Nevertheless, neither the QoS constraints are met nor fair service is given to the users by this scheduler.
CHAPTER 6
Conclusion and Outlook
the scope of this thesis a detailed simulation framework has been W ithin developed allowing the bit-exact simulation of UMTS on both linklevel and protocol-level. Based on this simulation environment extensive simulation studies of various UMTS congurations have been carried out. Both the simulation framework with its models as well as the simulation conguration and the corresponding results have been published [98, 99]. In general, congurations using the DCH and the HS-DSCH have been analyzed with respect to their ability to deliver PS based services to the UEs. As a reference to another state-of-the-art system simulation results for Mobile WiMAX are presented as well. It has been shown that all considered systems have similar physical layer eciencies with respect to theoretical limits. The compared receiver algorithms introduce higher deviations on system and individual UE performance than the type of system itself. In the scenarios with fast fading channels, for example, the HSDPA using a modern Minimum Mean Square Error (MMSE) receiver performs better than the OFDM based Mobile WiMAX in the studied conguration. For the QPSK based DCH the receiver algorithm showed only a minor impact. A simple Rake receiver performs suciently well even in fading environments. Larger deviations between the evaluated system congurations exist with respect to Adaptive Modulation and Coding (AMC). The DCH does not make use of AMC and, therefore, only a very small Spreading Factor (SF) specic working area in terms of required SINR exists. Fast power control is used to stay within this area. In comparison to Mobile WiMAX the HSDPA may adapt its Modulation Coding Scheme (MCS) within a large dynamic range and with a ne granularity of 1 dB step size. The xed size RLC payload, however, introduces padding overhead and shrinks the dynamic range. The DCH typically operates with a relatively low throughput, i.e. 384 kbit/s peak throughput without multi-code transmission and 768 kbit/s
142
6. Conclusion and Outlook
in case multi-code transmission is supported by both UE and network. The Transport Format Set (TFS) is congured according to the maximum throughput and only a relatively slow reconguration can take place. If less resources are needed by one UE within a Transmission Time Interval (TTI) the other UEs do not directly benet as the resources can not be reassigned fast enough. Only indirectly other UEs gain by the reduced interference. Therefore, the DCH is better suited for CS and guaranteed bit rate services as the bundling gain for PS services is rather limited. The achievable peak throughput of the HSDPA depends on the UEs HS-DSCH category. Category 12 UEs which are only able to use QPSK may reach a peak throughput of 1.6 Mbit/s above RLC. In Release 5 a maximum throughput of 12.16 Mbit/s is achieved by HS-DSCH category 10. With the introduction of 64QAM in Release 7 a comparable throughput of 18.56 Mbit/s can theoretically be reached with category 14. As shown by this thesis, Mobile WiMAX in the comparable reference conguration achieves a throughput in between that of Release 5 and Release 7 HSDPA. For more realistic throughput gures multiuser scenarios must be taken into account. As evidenced by dynamic system-level simulations the scheduling algorithm and the trac mix have signicant impact on the overall system performance and the individual perceived QoS. Results illustrate the trade-o between the conicting targets of high cell throughput and the delay requirements for real-time services. If real-time requirements are introduced the multiuser diversity gain of the fast scheduling is signicantly reduced. Furthermore, fairness requirements between users reduce the overall system throughput. As an example, the average cell throughput in a scenario with HS-DSCH category 6 UEs, i.e. at maximum 5 codes are used, is reduced from 1.5 Mbit/s to 0.77 Mbit/s when fairness between users is achieved by applying the proportional fair metric. If additionally the delay requirements for a trac mix of services with and without real time requirements are considered the Expo-Linear (EL) scheduling algorithm further reduces the mean cell throughput to 0.55 Mbit/s. As no inner-loop power control is used for the HSDPA, HARQ plays an important role for the eciency of the system due to the variability of the radio channel. Especially in fading environments HARQ signicantly contributes to the performance of the system. Within this thesis the performance of HARQ schemes is compared with respect to their performance and technical complexities. For high code rates the Incremental Redundancy (IR) scheme has the highest performance but also the high-
143
est complexity with respect to the amount of required soft memory. Up to 4 dB gain compared to Chase Combining (CC) can be achieved for the rst retransmission. A more economic HARQ variant is achieved by using the Constellation Rearrangement (CR). Up to 1 dB gain for 16QAM and 3 dB gain for 64QAM can be achieved compared to plain CC. A disadvantage of the HARQ scheme in UMTS is that retransmissions must reuse the initially selected MCS. Even if only a small amount of mutual information is missing for the correct decoding, the same radio resources as for the initial transmission have to be used. Based on the presented performance results future research may focus on Release 8 of the 3GPP specication. With Release 8 even higher throughputs can be reached by using dual cell HSDPA, i.e. two 5 MHz carriers are used in parallel, and Multiple Input Multiple Output (MIMO) with 64QAM. Drawbacks which have been identied within this thesis, e.g. xed RLC PDU sizes, have been resolved by this release as well. A further technology introduced with Release 8 is the so-called Long Term Evolution (LTE). LTE introduces both a new radio access network, the Evolved UTRAN (E-UTRAN), as well as a new core network called Evolved Packet System (EPS). In LTE the primary channel for the provision of all kinds of services is the downlink shared channel which comprises the three main features evaluated within this thesis. Similar to the HSDPA, AMC based on CQI reports and asynchronous downlink HARQ is applied. As no dedicated trac channels are available, the fast scheduling, whose rate is increased to the 1 ms TTI, is the only method to provide QoS and fairness between users. It is expected that the Release 8 HSDPA and LTE exist in parallel for a while. Therefore, a performance comparison of both could be a valuable research topic.
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6. Conclusion and Outlook
APPENDIX A
Additional MAC Entities
Contents
A.1 System Broadcast by the MAC-b Entity . . . . . . . . 145 A.2 Entities for Common, Shared and MBMS Channels . 146 A.3 High Speed Uplink Packet Access . . . . . . . . . . . 150 A.3.1 A.3.2 A.3.3 MAC-e/es entity in the UE . . . . . . . . . . 151 MAC-e entity in the Node B . . . . . . . . . . 153 MAC-es entity in the SRNC . . . . . . . . . . 155
following sections are a supplement to Section 2.2.5. They introduce T he these MAC entities which are not covered so far as they do not directly inuence the performance as studied within this thesis. Nevertheless, for completeness and because most of the entities are important for the overall system functionality they are described in the following on the same level of detail as the entities in charge of the DCH and the HS-DSCH (compare Section 2.2.5.3 and 2.2.5.4).
A.1
System Broadcast by the MAC-b Entity
The MAC-b (MAC-broadcast) entity is responsible for the broadcast of system information. In the UTRAN the MAC-b entity stores and schedules the transmission of the System Information Blocks (SIBs) broadcasted on the BCH of one cell. In order to do so there exists one MAC-b entity for every cell. These MAC-b entities are located in the Node B. In the UE there exist one MAC-b entity for the serving cell and multiple entities for the neighbouring cells the UE is receiving system information from. Here the MAC-b entity is in charge of receiving the BCH of the measured cells. As can be seen in Figure A.1 the only logical channel the MAC-b entity is responsible for is the BCCH.
146
MAC control BCCH
A. Additional MAC Entities
MAC-b
BCH
Figure A.1: MAC-b entity at UE and UTRAN side
A.2
Entities for Common, Shared and MBMS Channels
The MAC-c/sh/m (MAC-control/shared/mbms) handles common, shared and MBMS channels. In detail the transport channels controlled by this entity are the PCH, the FACH and the RACH as well as the TDD only DSCH and USCH. There is one MAC-c/sh/m entity in each UE which is responsible for the above channels of the serving cell. In the UTRAN one entity for every cell exists in the RNC which is controlling the corresponding cells. Figure A.2 and Figure A.3 illustrate the MAC-c/sh/m entities and their functionalities for both cases. Several logical channels are mapped onto transport channels by the MAC-c/sh/m entity. The PCCH has a static mapping to the PCH. Broadcast information carried by the BCCH is mapped to the FACH. The bidirectional CCCH has a xed mapping to the FACH in the downlink and to the RACH in the uplink. The downlink only CTCH as well as the MBMS channels MTCH, MCCH and MSCH are always mapped to the FACH. In TDD the control information of the SHCCH can be mapped to the FACH or DSCH for the downlink direction and to the RACH or USCH for the uplink direction. Dedicated user trac carried by the DTCH and DCCH can also be transmitted using shared channels. As both logical channels are only connected to the MAC-d entity the MAC-c/sh/m entity has connections to all MAC-d entities for which a mapping to a shared channel exists. In FDD the trac of multiple UEs can be transmitted using the FACH and RACH. In case of TDD the DSCH and USCH are available as well. Because the MAC-d
A.2. Entities for Common, Shared and MBMS Channels

PCCH SHCCH CCCH CTCH BCCH MCCH MSCH MTCH MTCH
(TDD only)
147
MAC Control
MAC-c/sh/m
to MAC-d read MBMS Id add/read UE Id
TCTF MUX
Scheduling/ Priority Handling
TFC selection
UL: TF selection
ASC selection
PCH
DSCH
(TDD only)
DSCH
(TDD only)
USCH
(TDD only)
USCH
(TDD only)
FACH
FACH
RACH
Figure A.2: UE side MAC-c/sh/m architecture
entity for one UE is not necessarily located in the same network element in the UTRAN, the MAC-c/sh/m entity includes a ow control mechanism which limits the amount of required buering between both entities. When MAC-d trac is forwarded to the MAC-hs entity a similar mechanism exists towards this entity, located in the Node B, as well. In the UE such a ow control mechanism is not needed. Because several logical channels of dierent types, dierent MBMS services or dierent users can be mapped on the same transport channel the MAC-c/sh/m entity provides a mechanism to distinguish those channels. Whenever logical channels of a dierent type are multiplexed on the same transport channel the transmitting MAC-c/sh/m entity adds a so-called Target Channel Type Field (TCTF) to the MAC PDUs. The TCTF is a variable sized header eld allowing the receiver to map the MAC SDUs to the correct logical channel type. The TCTF indicates the common logical
148
PCCH BCCH SHCCH CCCH CTCH MCCH MSCH MTCH
(TDD only)

MAC Control
MAC-c/sh/m
Flow Control MAC-d / MAC-c/sh/m TCTF MUX / UE Id MUX / MBMS Id MUX Scheduling / Buffering / Priority Handling / Demultiplexing to MAC-d
TFC selection
TFC selection
DL: code allocation
Flow Control MAC-hs / MAC-c/sh/m
to MAC-hs PCH FACH FACH DSCH DSCH USCH USCH RACH
(TDD only)
(TDD only)
(TDD only)
(TDD only)
Figure A.3: UTRAN side MAC-c/sh/m architecture
channel type or if a dedicated logical channel is used. In case of dedicated logical channels or multiple MTCHs providing dierent MBMS services this information is not sucient to identify a logical channel unambiguously. For these scenarios multiplexing is achieved by the UE Id and MBMS Id header elds which are added to the MAC PDUs by the transmitting MAC-c/sh/m entity. The UE Id eld contains either the 16 bit Cell-RNTI (C-RNTI) or the 32 bit UTRAN-RNTI (U-RNTI) which are allocated by the CRNC and SRNC, respectively. A UE Id Type eld of 2 bits is used to distinguish both variants of identities. The U-RNTI is unique within the whole Public Land Mobile Network (PLMN) and consists of two parts, the SRNC identier and the SRNC-RNTI (S-RNTI) which identies a UE within the SRNC. The C-RNTI is cell specic and can be reallocated when the UE accesses a new cell. The MBMS Id eld has a length of 4 bit and allows to map up to 15 MTCHs on the same FACH. The next step after the addition of multiplexing headers consists of
A.2. Entities for Common, Shared and MBMS Channels
149
scheduling and priority handling. In UTRAN the MAC-c/sh/m scheduler allocates the resources of the FACH and DSCH to dierent UEs and to dierent data ows of single UEs according to their priority (MLP) and delay requirements as set by higher layers. Furthermore, fairness between the data ows of the UEs must be assured. In the uplink the MAC-c/sh/m entity in the UE performs the same task for trac ows of dierent priorities received from MAC-d which are mapped on the RACH. For the resources associated to the USCH no scheduling is performed by the MAC layer. Allocation of resources to the UEs is centrally done by RRC in the CRNC. Based on this scheduling the CRNC is able to demultiplex uplink transmissions and forward them to the correct MAC-d entities. The ow control in the UTRAN can not completely avoid scheduling related buering. Hence, limited buering is an additional functionality of the MAC-c/sh/m entity in UTRAN. Depending on the amount of data that is to be transmitted the MACc/sh/m entity is in charge of selecting appropriate TFs for each transport channel. In case multiple transport channels share physical resources, i.e. they are mapped onto the same CCTrCH, the combination of selected TFs must not exceed the available capacity. It is a task of the MAC-c/sh/m entity to select appropriate TFCs which fulll this criterion. These TFCs are congured by RRC and form the so-called TFCS. At the UE side the MAC-c/sh/m entity is in charge of selecting TFCs for the USCHs and TFs for the RACH. In the downlink direction the MAC-c/sh/m entity in the UTRAN selects TFCs for the DSCHs and for the PCH and jointly encoded FACHs. If only one transport channel is mapped onto a CCTrCH that TFC selection is reduced to a simpler TF selection. Further functionalities covered by the MAC-c/sh/m entity are the downlink code allocation of the DSCH and the Access Service Class (ASC) selection of the RACH. In the UTRAN the MAC-c/sh/m entity allocates codes for the DSCH to individual users on a TTI basis. This allocation is signalled to the physical layer. In the uplink the ASC associated with a RACH PDU is forwarded to the physical layer. This ASC is used in the physical layer to send this PDU on appropriate physical resources (i.e. access slot and signature in FDD or time slot and channelization code in TDD). By having dierent ASCs the transmission probability on the RACH can be controlled. Emergency calls, for example, can be established by a random access of a higher priority compared to other transmissions on this channel. For MBMS the channels from multiple cells can be received simultane-
150

MTCH MTCH MSCH MAC Control
MAC-m
read MBMS Id
TCTF MUX
FACH
FACH
Figure A.4: Overview of MAC-m as used for MBMS
ously and selection combining of the received PDUs is performed. In case such a setup is congured there exist additional MAC-m entities in the UE. For every neighbouring cell from which MBMS services are received one MAC-m entity as shown in Figure A.4 is established. The MAC-c/sh/m entity contains the MBMS functionality for the serving cell. The MAC-m entities contain a subset of the features of a MAC-c/sh/m entity. Only the TCTF demultiplexing and the demultiplexing using the MBMS Id are applied to map received PDUs to the MSCH and one or more MTCHs. The selection combining of the PDUs from dierent cells is done in the RLC layer.
A.3
High Speed Uplink Packet Access
The concept of the HSUPA is based on the E-DCH. With the introduction of the E-DCH in Release 6, three new MAC entities have been added to the 3GPP specication. In the UE the MAC-e/es entity (Figure A.5) is responsible for the handling of the E-DCH. The network counterpart, handling the E-DCH in the Node B, is the MAC-e entity, depicted in Figure A.6. Because multiple Node Bs may receive the E-DCH transmissions of a single UE combining functionality is implemented in the SRNC. The corresponding entity is called MAC-es and is illustrated in Figure A.7.
A.3. High Speed Uplink Packet Access
151
A.3.1
MAC-e/es entity in the UE
The MAC-e/es entity in the UE got its name from the fact that it includes the counterpart functionality of both the MAC-e entity and MAC-es entity of the UTRAN. No clear split between MAC-e and MAC-es functionality can be depicted in this entity. The MAC-e/es entity is connected to the MAC-d entity. From there MAC-d PDUs are received. Equally sized MACd PDUs from one logical channel are multiplexed within one MAC-es PDU. For every logical channel there exists a 6 bit counter which is incremented for every created MAC-es PDU. The value of this counter is used to set the TSN which is the only header eld of the MAC-es PDU. Within every TTI exactly one MAC-es PDU may be created per logical channel. Multiple MAC-es PDUs originating from dierent logical channels are multiplexed within one MAC-e PDU. To do so the MAC-e PDU has a header containing a list of value pairs being the Data Description Indicator (DDI) and the number of MAC-d PDUs corresponding to this DDI. The 6 bit DDI value identies the logical channel the MAC-d PDUs originated from and the size of the MAC-d PDUs. The exact mapping of DDI values is congured by the RRC using the MAC control SAP. The number of MACd PDUs is encoded by a 6 bit eld as well. If enough space is available or if a Scheduling Information (SI) needs to be transmitted an SI is appended at the end of the MAC-e PDU. The SI has a length of 18 bits and contains information about the UEs buer status, the logical channel of highest priority where data is available for transmission and the power headroom in terms of ratio between maximum transmission power and current DPCCH transmission power. A special DDI value is used to indicate the presence of the SI in case it can not be unambiguously derived from the PDU length. The E-DCH Transport Format Combination (E-TFC) selection is in charge of controling the MAC-e/es multiplexing functionality. Based on RRC conguration parameters the E-TFC selection handles the multiplexing according to the priorities of the MAC-d ows and the ow specic multiplexing lists and HARQ proles. The amount of data which can be transmitted within a TTI is deduced by a number of grant variables maintained by the E-TFC selection entity. These grant values are initially set by RRC signalling and can be updated by Layer 1 (L1) signalling. L1 updates can either be absolute grant values received from the serving cell or, in case of FDD, relative grants received from both the serving cell and further non-serving cells. Cells controlled by the Node B of the serving cell may in-
152
to MAC-d
MAC Control
MAC-e/es
E-TFC Selection Multiplexing and TSN setting Scheduling Access Control (TDD)
HARQ
Signalling E-DCH E-AGCH E-HICH E-DPCCH (FDD) E-RUCCH (TDD) E-RGCH(s) (FDD) (ACK/NACK) E-UCCH (TDD) (Scheduling) (E-TFC)
Associated Downlink Signalling
Associated Uplink
Figure A.5: Architecture of MAC-e/es in the UE
crease, hold or decrease the grant relatively to the last serving grant. These cells form the serving E-DCH Radio Link Set (RLS) and always transmit the same relative grant update commands. Cells which are controlled by dierent Node Bs belong to the non-serving RLS and are not allowed to increase the grant. The selected E-TFC, represented by its E-DCH Transport Format Combination Indicator (E-TFCI), is provided to the HARQ entity. Together with the MAC-e PDU created by the multiplexing entity the HARQ entity is able to handle the HARQ protocol of the E-DCH. Similarly to the HARQ entity of the MAC-hs the MAC-e/es HARQ entity contains several parallel HARQ processes in order to allow the continuous transmission based on the stop-and-wait HARQ protocol. The number of required HARQ processes depends on the RTT based on the selected E-DCH TTI. For a 10 ms TTI 4 HARQ processes are used by the HARQ entity and for a 2 ms TTI the number of HARQ processes is 8. In contrast to the HS-DSCH the FDD E-DCH does not have an explicit signalling of the HARQ process a transmission originated from. Instead a synchronous HARQ scheme is used where the HARQ process identication is derived from the Connection Frame Number (CFN) and, in case of a 2 ms TTI, additionally from the subframe number. Also the ACK/NACK as well as the process spe-
153
cic grant signalling is mapped to the correct HARQ process based on the relative timing. Every HARQ process stores its MAC-e payload and retransmits it as long as it is not positively acknowledged and the maximum number of transmissions is not reached. If a positive acknowledgment is received the E-TFC selection is informed and a new MAC-e PDU is created. The maximum number of transmissions and an E-DPDCH power oset are part of the MAC-d ow specic HARQ prole which is used to dierentiate QoS of individual MAC-e PDU transmissions. For every transmission and retransmission the HARQ process informs PHY about the power oset and signals the chosen E-TFCI, the Retransmission Sequence Number (RSN) and the so-called happy bit using the associated uplink signalling. The RSN is used to indicate to the receiver that a new transmission has been started. Furthermore, the RV is derived from the RSN in case incremental redundancy is congured by the RRC layer. The happy bit is used to indicate to the Node B whether the UE could use more resources or not. In TDD mode the HARQ process identier is an additional parameter signalled to the Node B by the associated uplink signalling. In case of TDD the Scheduling Access Control is an additional functionality of the MAC-e/es entity. The Scheduling Access Control entity is responsible for routing associated signalling and SI via the E-DCH Random Access Uplink Control Channel (E-RUCCH) in case no E-DCH resources are assigned to the UE. A.3.2 MAC-e entity in the Node B
In the UTRAN the E-DCH reception is done by the MAC-e entity within the Node B. One MAC-e entity is instantiated for every UE the Node B receives E-DCH transmissions from. As macro diversity is applied to the FDD E-DCH there is no one-to-one mapping between MAC-e/es entities in the UE and MAC-e entities in the UTRAN. Every Node B which takes part in the RLS of one UE contains one MAC-e entity for this UE. In TDD mode macro diversity for the E-DCH is not used. All MAC-e entities share one common E-DCH scheduling function which is in charge of scheduling the resources of the individual UEs. The E-DCH scheduling function receives the scheduling requests from the UEs by their MAC-e entities. Based on this information the cell resources are allocated to the UEs by transmitting the scheduling grants
154
MAC Control

MAC-d Flows
MAC-e
E-DCH Scheduling E-DCH Control Demultiplexing
HARQ entity
E-HICH E-AGCH E-UCCH (TDD) E-RGCH(s) (FDD) E-DPCCH (FDD) E-UCCH (TDD) E-RUCCH (TDD) Associated Associated Scheduling Uplink Downlink Signalling Signalling Associated Associated E-TFC ACK/NACK Downlink Uplink Signalling Signalling
E-DCH
Figure A.6: Node B MAC-e details
using the associated downlink signalling. For UEs for which the Node B controls the serving cell both absolute and relative grant settings may be used to increase or decrease the serving grants. Interference from other cells is measured and the Node B may instruct UEs for which it does not act as a serving Node B to reduce their grants by relative grant updates. In TDD only absolute grant settings are available. The detailed scheduling algorithm itself is not specied. Instead, the algorithm and the underlying RRM strategies are left open for network vendor specic solutions. The HARQ entity in MAC-e receives the E-DCH transmission and routes it together with the associated RSN value to the correct HARQ process based on its relative timing. Derived from the RSN, the CFN and the subframe number, the HARQ process calculates the transmission number and the RV. Based on this information it tries to decode the E-DCH payload and, depending on the decoding result, sends an ACK or a NACK indication back to the UE. If the decoding is successful the decoded MAC-e PDU is sent to the demultiplexing entity.
155
The demultiplexing of the MAC-e PDU is done by using the DDI and number of PDU pairs of the MAC-e PDU header. The DDI mapping is congured by the SRNC and indicates the MAC-d ow and PDU size of the encapsulated MAC-es payload. Furthermore, the Iub bearer to be used for the individual MAC-d ows is congured. By knowing the PDU sizes and the number of corresponding PDUs the demultiplexing function is able to extract the MAC-es PDUs and to forward them to the correct RNCs. A.3.3 MAC-es entity in the SRNC
For every UE which is using the E-DCH there exists one MAC-es entity in its SRNC. The MAC-es entity receives the MAC-es PDUs from those Node Bs of the UEs E-DCH active set which could correctly decode the E-DCH transmission. The soft combining of the receptions for the cells controlled by one Node B is already done within this Node B. In the SRNC selection combining takes place. For every MAC-es PDU it is sucient to be correctly received by at least one Node B. Based on the SRNC conguration and information provided by the Node B the reordering queue distribution function routes the MAC-es PDUs
to MAC-d
MAC Control
MAC-es
Disassembly Disassembly Disassembly
Reordering / Combining
Reordering Queue Distribution
Reordering Queue Distribution
MAC-d Flows from MAC-e Entities
Figure A.7: MAC-es details in SRNC
156
to the correct reordering buer. There exists one reordering buer per logical channel. The reordering function uses the TSN of the MAC-es PDU and Node B reception parameters, e.g. CFN and subframe number, to reconstruct the correct PDU order. Duplicate MAC-es PDUs provided by multiple Node Bs are eliminated by the reordering function. MAC-es PDUs with consecutive TSNs are delivered to the disassembly function. The disassembly function extracts the MAC-d PDUs from the MAC-es PDU based on the DDI and number of PDUs values carried by the MAC-e header and provided to the MAC-es by the MAC-e entity in the Node B. The disassembled MAC-d PDUs are nally delivered to the MAC-d entity the MAC-es entity is connected to.
LIST OF FIGURES
1.1 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 2.15 2.16 2.17 2.18
UMTS releases and key features . . . . . . . . . . . . . . . . . UTRAN network topology . . . . . . . . . . . . . . . . . . . . UMTS protocol architecture . . . . . . . . . . . . . . . . . . . Radio interface protocol architecture . . . . . . . . . . . . . . UE side model of RRC . . . . . . . . . . . . . . . . . . . . . . Abstract illustration of ASN.1 data structure . . . . . . . . . PDCP structure . . . . . . . . . . . . . . . . . . . . . . . . . Header compression for IPv4 . . . . . . . . . . . . . . . . . . Header compression for TCP . . . . . . . . . . . . . . . . . . Header compression for IPv6 . . . . . . . . . . . . . . . . . . Model of the Broadcast Multicast Control sublayer . . . . . . Overview of the RLC sublayer . . . . . . . . . . . . . . . . . . Model of Transparent Mode peer entities . . . . . . . . . . . . Model of Unacknowledged Mode peer entities congured without duplicate avoidance and reordering . . . . . . . . . . . . . Model of Unacknowledged Mode peer entities as used for MBMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Model of an Acknowledged Mode entity . . . . . . . . . . . . UE side MAC architecture . . . . . . . . . . . . . . . . . . . . UTRAN side MAC architecture . . . . . . . . . . . . . . . . . MAC-d architecture . . . . . . . . . . . . . . . . . . . . . . . (a) UE side . . . . . . . . . . . . . . . . . . . . . . . . . . . (b) UTRAN side . . . . . . . . . . . . . . . . . . . . . . . . MAC-hs details . . . . . . . . . . . . . . . . . . . . . . . . . . (a) UE side . . . . . . . . . . . . . . . . . . . . . . . . . . . (b) UTRAN side . . . . . . . . . . . . . . . . . . . . . . . . Transport channel multiplexing and coding . . . . . . . . . . (a) FDD downlink . . . . . . . . . . . . . . . . . . . . . . . (b) FDD uplink and TDD . . . . . . . . . . . . . . . . . . . Transport channel coding chain for HS-DSCH and E-DCH . . (a) HS-DSCH . . . . . . . . . . . . . . . . . . . . . . . . . .
2 8 10 11 13 15 17 18 19 19 20 21 23 24 25 27 31 32 38 38 38 40 40 40 46 46 46 48 48
2.19
2.20
2.21
158
List of Figures
(b) E-DCH . . . . . . . . . . . . . . . . . . . . . . . . . . 2.22 Convolutional coding with rate 1/2 and rate 1/3 . . . . . . 2.23 Turbo coding with rate 1/3 . . . . . . . . . . . . . . . . . . 2.24 Rate Matching . . . . . . . . . . . . . . . . . . . . . . . . . (a) Convolutionally coded channels and turbo coded channels with repetition . . . . . . . . . . . . . . . . . . . (b) Puncturing of turbo coded channels . . . . . . . . . . (c) HS-DSCH HARQ . . . . . . . . . . . . . . . . . . . . (d) E-DCH HARQ . . . . . . . . . . . . . . . . . . . . . . 2.25 Block interleaver . . . . . . . . . . . . . . . . . . . . . . . . 2.26 Physical channel processing in FDD downlink . . . . . . . . 2.27 Processing of dedicated physical uplink channels in FDD . . 2.28 FDD frame and slot structure . . . . . . . . . . . . . . . . . 2.29 Downlink modulation mapping . . . . . . . . . . . . . . . . (a) QPSK . . . . . . . . . . . . . . . . . . . . . . . . . . . (b) 16QAM . . . . . . . . . . . . . . . . . . . . . . . . . . (c) 64QAM . . . . . . . . . . . . . . . . . . . . . . . . . . 2.30 Uplink modulation mapping . . . . . . . . . . . . . . . . . . (a) BPSK . . . . . . . . . . . . . . . . . . . . . . . . . . . (b) 4PAM . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.31 Channelization code tree . . . . . . . . . . . . . . . . . . . . 2.32 Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 3.2 3.3 Wireless Network Simulator protocol stack . . . . . . . . Simulated nodes of the UMTS RAN . . . . . . . . . . . Hexagonal scenario with dierent antenna congurations (a) Omnidirectional . . . . . . . . . . . . . . . . . . . (b) Sectorized . . . . . . . . . . . . . . . . . . . . . . . (c) Realistic 3D pattern . . . . . . . . . . . . . . . . . Highway mobility model . . . . . . . . . . . . . . . . . . Python conguration example of HS-DSCH chain . . . . Screenshot of HS-DSCH link-level simulation . . . . . . Real Time Wireless Network Demonstrator . . . . . . . Bit error and symbol error rate of modulation schemes (a) Bit error rate . . . . . . . . . . . . . . . . . . . . (b) Symbol error rate . . . . . . . . . . . . . . . . . Simulated bit error probability of 16QAM and 64QAM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
48 50 51 53 53 53 53 53 55 57 59 61 63 63 63 63 63 63 63 64 66 70 72 75 75 75 75 76 76 77 79 85 85 85 86
3.4 3.5 3.6 3.7 4.1
4.2
List of Figures
159
4.3
4.4
4.5
4.6
4.7
4.8
4.9 4.10 4.11
4.12
4.13
4.14
4.15
(a) 16QAM . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 (b) 64QAM . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 Bit Error Rates of UMTS Forward Error Correction . . . . . 87 (a) Convolutional code . . . . . . . . . . . . . . . . . . . . . 87 (b) Turbo code . . . . . . . . . . . . . . . . . . . . . . . . . 87 Block Error Rates and Throughput of Forward Error Correction 88 (a) Block Error Rate . . . . . . . . . . . . . . . . . . . . . . 88 (b) Throughput . . . . . . . . . . . . . . . . . . . . . . . . . 88 Bit error probability depending on SF . . . . . . . . . . . . . 90 (a) Downlink . . . . . . . . . . . . . . . . . . . . . . . . . . 90 (b) Uplink . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 Simulated DCH downlink BLER on an AWGN channel . . . 92 (a) 20 ms TTI . . . . . . . . . . . . . . . . . . . . . . . . . 92 (b) 10 ms TTI . . . . . . . . . . . . . . . . . . . . . . . . . 92 Simulated DCH uplink BLER on an AWGN channel . . . . . 95 (a) 20 ms TTI . . . . . . . . . . . . . . . . . . . . . . . . . 95 (b) 10 ms TTI . . . . . . . . . . . . . . . . . . . . . . . . . 95 Simulated HS-DSCH BER and BLER for an AWGN channel 99 (a) Bit Error Rate . . . . . . . . . . . . . . . . . . . . . . . 99 (b) Block Error Rate . . . . . . . . . . . . . . . . . . . . . . 99 BLER mapping for an AWGN channel based on analytical model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 Mobile WiMAX BLER mapping for an AWGN channel . . . 102 Physical layer throughput on an AWGN channel . . . . . . . 105 (a) HS-DSCH, Mobile WiMAX . . . . . . . . . . . . . . . . 105 (b) DCH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 Maximum throughput on RLC level . . . . . . . . . . . . . . 106 (a) 336 bit MAC-d PDUs . . . . . . . . . . . . . . . . . . . 106 (b) 656 bit MAC-d PDUs . . . . . . . . . . . . . . . . . . . 106 Throughput for ITU PA channel, 3 km/h . . . . . . . . . . . 109 (a) Rake receiver . . . . . . . . . . . . . . . . . . . . . . . . 109 (b) MMSE receiver, order 32 . . . . . . . . . . . . . . . . . 109 Throughput for ITU VA channel, 100 km/h . . . . . . . . . . 110 (a) MMSE receiver, order 32 . . . . . . . . . . . . . . . . . 110 (b) MMSE receiver, order 128 . . . . . . . . . . . . . . . . . 110 HARQ gain for Chase Combining and Incremental Redundancy115 (a) Chase Combining . . . . . . . . . . . . . . . . . . . . . 115 (b) Incremental Redundancy . . . . . . . . . . . . . . . . . 115
160
List of Figures
4.16 HARQ gain using Constellation Rearrangement only 4.17 Comparison of HARQ gains for rst retransmission . 4.18 Coding rates of reference AMC schemes . . . . . . . (a) Category 10 . . . . . . . . . . . . . . . . . . . . (b) Category 14 . . . . . . . . . . . . . . . . . . . . 5.1 5.2 Elementary Node B scheduling principle . . . . . . Qualitative comparison of scheduling metrics . . . (a) Average throughput . . . . . . . . . . . . . . (b) HOL packet delay . . . . . . . . . . . . . . . 5.3 RT service scenario with various path loss proles 5.4 CQI distribution . . . . . . . . . . . . . . . . . . . 5.5 MAC-d PDU queueing delay . . . . . . . . . . . . (a) Proportional Fair (PF) . . . . . . . . . . . . (b) Expo-Linear (EL) . . . . . . . . . . . . . . . 5.6 MAC-hs inter-scheduling interval . . . . . . . . . . (a) Proportional Fair (PF) . . . . . . . . . . . . (b) Expo-Linear (EL) . . . . . . . . . . . . . . . 5.7 Simulation scenario with mixed services . . . . . . 5.8 MAC-hs PDU throughput with mixed services . . 5.9 MAC-hs UE throughput of NRT service . . . . . . 5.10 MAC-d PDU queueing delay of RT users . . . . . . A.1 A.2 A.3 A.4 A.5 A.6 A.7 MAC-b entity at UE and UTRAN side . UE side MAC-c/sh/m architecture . . . UTRAN side MAC-c/sh/m architecture Overview of MAC-m as used for MBMS Architecture of MAC-e/es in the UE . . Node B MAC-e details . . . . . . . . . . MAC-es details in SRNC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . .
116 117 118 118 118 122 128 128 128 131 131 132 132 132 134 134 134 135 136 138 139 146 147 148 150 152 154 155
LIST OF TABLES
2.1 2.2 2.3 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 4.9 5.1 5.2 5.3 5.4 5.5 5.6
Mapping of transport channels to physical channels . . . . . . 45 Constellation rearrangement for 16QAM and 64QAM . . . . 56 Symbol rates per physical channel depending on SF . . . . . 65 Typical RB congurations . . . . . . . . . . . . . . . . Downlink burst formats used in simulation . . . . . . . Uplink DPDCH congurations . . . . . . . . . . . . . CQI table for category 10 and category 14 (Release 7) Modulation and coding schemes of Mobile WiMAX . . Available maximum data bits without coding [Mbit/s] Throughput comparison on various layers . . . . . . . Allowed redundancy combinations . . . . . . . . . . . HS-DSCH UE categories . . . . . . . . . . . . . . . . . Scenario details and conguration parameters Path loss in dierent UE groups . . . . . . . Mean queueing delay and packet loss . . . . . Trac parameters for mixed service scenario Mean cell throughput . . . . . . . . . . . . . MAC-d PDU delivery statistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 93 95 98 102 103 107 112 113 130 130 133 135 137 139
162
List of Tables
LIST OF EQUATIONS
2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 4.9 4.10 4.11 4.12 4.13 4.14 5.1 5.2 5.3
Generator polynomial for 24 bit CRC . . . . . . Generator polynomial for 16 bit CRC . . . . . . Generator polynomial for 12 bit CRC . . . . . . Generator polynomial for 8 bit CRC . . . . . . . 1/2 rate convolutional code generator polynomial 1/2 rate convolutional code generator polynomial 1/3 rate convolutional code generator polynomial 1/3 rate convolutional code generator polynomial 1/3 rate convolutional code generator polynomial Transfer function of Turbo Code . . . . . . . . . Recursive OVSF generation formula 1 . . . . . . Recursive OVSF generation formula 2 . . . . . . Root-raised cosine lter . . . . . . . . . . . . . .
. . . . 1 2 1 2 3 . . . .
. . . . . . . . . . . . .
. . . . . . . . . . . . .
. . . . . . . . . . . . .
. . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . .
48 48 48 48 49 49 49 49 49 50 64 64 67 83 83 84 84 84 84 86 88 90 94 94 99 114 117
Marcum Q-function . . . . . . . . . . . . . . . . . . . . . Bit error probability for PSK modulations . . . . . . . . . Symbol error probability for QPSK modulation . . . . . . Relation between SINR, bit energy and symbol energy . . Bit error probability for QAM modulation . . . . . . . . . Symbol error probability for QAM modulation . . . . . . Convolutional code upper bound bit error approximation Shannons formula . . . . . . . . . . . . . . . . . . . . . . Bit error probability depending on SF and chip energy . . Code block number and size for Turbo Coded channels . . Number of Turbo Coded bits including trellis termination Approximation for SINR to CQI mapping . . . . . . . . . Expected basic HARQ gain . . . . . . . . . . . . . . . . . Eective coding rate . . . . . . . . . . . . . . . . . . . . .
Maximum SINR scheduling . . . . . . . . . . . . . . . . . . . 124 Proportional Fair scheduling . . . . . . . . . . . . . . . . . . . 124 Probability of discarded packets for M-LWDF scheduling . . . 125
164
List of Equations
5.4 5.5 5.6 5.7 5.8 5.9
Modied Largest Weighted Delay First scheduling Exponential Rule scheduling . . . . . . . . . . . . . Exponential Rule scheduling (2) . . . . . . . . . . Channel-Dependent Earliest Due Date scheduling . Expo-Linear scheduling . . . . . . . . . . . . . . . Jains fairness index . . . . . . . . . . . . . . . . .
. . . . . .
. . . . . .
. . . . . .
. . . . . .
. . . . . .
. . . . . .
125 126 126 126 127 137
LIST OF ABBREVIATIONS
# 16QAM
ARQ 16-State Quadrature Amplitude Modulation 1st Generation 2nd Generation 3rd Generation 3rd Generation Partnership Project 4-State Pulse Amplitude Modulation 64-State Quadrature Amplitude Modulation AS ASC ASN.1 AWGN
1G 2G 3G 3GPP 4PAM
Automatic Repeat Request Access Stratum Access Service Class Abstract Syntax Notation One Additive White Gaussian Noise
B BCCH BCFE BCH BEC BER BLER BMC BO BPSK BS BSC BSS BTS
64QAM
A ABMT
ACK AICH AM AMC
AMR ARP
Aachener Beitr age zur Mobil- und Telekommunikation Acknowledgement Acquisition Indicator Channel Acknowledged Mode Adaptive Modulation and Coding Adaptive Multi-Rate Address Resolution Protocol
Broadcast Control Channel Broadcast Control Functional Entity Broadcast Channel Backward Error Correction Bit Error Rate Block Error Rate Broadcast/Multicast Control Buer Occupancy Binary Phase-Shift Keying Base Station Base Station Controller Base Station Subsystem Base Transceiver Station
166
List of Abbreviations
C CCAC CB CBC CBR CBS CC CC CC CCCH CCDF
CCPCH CCTrCH CD-EDD CDF
CDMA CFN CID CIR CM CN
ControlConnection Admission Control Cell Broadcast Cell Broadcast Center Constant Bit Rate Cell Broadcast Service Call Control Chase Combining Convolutional Code Common Control Channel Complementary Cumulative Distribution Function Common Control Physical Channel Coded Composite Transport Channel Channel-Dependent Earliest Due Date Cumulative Distribution Function Code Division Multiple Access Connection Frame Number Context Identier Carrier to Interference Ratio Connection Management Core Network
CoCar Codec ComNets
CP CPICH CQI CR CRC CRNC C-RNTI CS C/T CTC CTCH
Cooperative Cars Coder/Decoder Communication Networks Research Group at RWTH Aachen University Cyclic Prex Common Pilot Channel Channel Quality Indicator Constellation Rearrangement Cyclic Redundancy Check Controlling Radio Network Controller Cell-RNTI Circuit Switched Control/Trac Convolutional Turbo Code Common Trac Channel
D DC DCCH DCFE DCH DDI DHCP
Dedicated Control Dedicated Control Channel Dedicated Control Functional Entity Dedicated Channel Data Description Indicator Dynamic Host Conguration Protocol
167
DL DLC DLL DPCCH DPCH DPDCH DRNC DRX DS-CDMA
DSCH DSL DTCH DTX DwPCH
Downlink Data Link Control Data Link Layer Dedicated Physical Control Channel Dedicated Physical Channel Dedicated Physical Data Channel Drift Radio Network Controller Discontinuous Reception Direct-Sequence Code Division Multiple Access Downlink Shared Channel Digital Subscriber Line Dedicated Trac Channel Discontinuous Transmission Downlink Pilot Channel
EDGE
E-DPCCH
E-DPDCH
E-HICH EL EPC EPS E-PUCH ER E-RGCH E-RUCCH
ESP E-TFC E-TFCI
E E-AGCH ECR E-DCH EDD EDF
E-DCH Absolute Grant Channel Eective Code Rate Enhanced Dedicated Channel Earliest Due Date Earliest Deadline First
ETSI
E-UCCH E-UTRAN
Enhanced Data Rates for GSM Evolution E-DCH Dedicated Physical Control Channel E-DCH Dedicated Physical Data Channel E-DCH Hybrid ARQ Indicator Channel Expo-Linear Estimated PDU Counter Evolved Packet System E-DCH Physical Uplink Channel Exponential Rule E-DCH Relative Grant Channel E-DCH Random Access Uplink Control Channel Encapsulating Security Payload E-DCH Transport Format Combination E-DCH Transport Format Combination Indicator European Telecommunication Standards Institute E-DCH Uplink Control Channel Evolved UTRAN
168
F FACH FBI FCH FDD FDMA F-DPCH FDT FEC FER FFT FPACH FSN FTP
Forward Access Channel Feedback Information Frame Control Header Frequency Division Duplex Frequency Division Multiple Access Fractional Dedicated Physical Channel Formal Description Technique Forward Error Correction Frame Erasure Rate Fast Fourier Transform Fast Physical Access Channel First Sequence Number File Transfer Protocol
G GC GoS GPRS GSM
Hybrid ARQ Header Compression Hyper Frame Number HOL Head Of Line HSCSD High Speed Circuit Switched Data HSDPA High Speed Downlink Packet Access HS-DPCCH High Speed Dedicated Physical Control Channel HS-DSCH High Speed Downlink Shared Channel HS-PDSCH High Speed Physical Downlink Shared Channel HS-SCCH High Speed Shared Control Channel HS-SICH High Speed Shared Information Channel HSUPA High Speed Uplink Packet Access HTTP Hypertext Transfer Protocol I ID IE IEEE
H HARQ HC HFN
GUI
General Control Grade of Service General Packet Radio Service Global System for Mobile Communication Graphical User Interface
IMEI
Identier Information Element Institute of Electrical and Electronics Engineers International Mobile Equipment Identity
169
IMSI IMT-2000
IP IPHC IPv4 IPv6 IR ISDN ISI ISO
ITU
ITU-R
ITU-T
Iu Iub Iur
International Mobile Subscriber Identity International Mobile Telecommunications2000 Internet Protocol Internet Protocol Header Compression Internet Protocol version 4 Internet Protocol version 6 Incremental Redundancy Integrated Services Digital Network Inter Symbol Interference International Organization for Standardization International Telecommunication Union Radiocommunication Standardization Sector of ITU Telecommunication Standardization Sector of ITU Interface between RNS and CN Interface between Node B and RNC Interface between RNCs
K kbps ksps
kilobits per second kilosymbols per second
L L1 L2 L3 LI LoCH LTE
Layer 1 Layer 2 Layer 3 Length Indicator Logical Channel Long Term Evolution
M MAC
Medium Access Control MAC-b MAC entity for BCH MAC-c/sh/m MAC entity for common, shared and MBMS channels MAC-d MAC entity for DCHs MAC-e MAC entity for E-DCH in Node B MAC-e/es MAC entity for E-DCH in UE MAC-es MAC entity for E-DCH in SRNC MAC-hs MAC entity for HS-DSCH MAC-m MAC entity for MBMS channels in UE MAI Multiple Access Interference
170
MAP MaxSINR MBMS
Mbps MCCH
Mcps MCS MIB MICH MIMO MLE MLP M-LWDF
MM MMS MMSE MPEG MPIC
Medium Access Protocol Maximum SINR Multimedia Broadcast Multicast Service Megabits per second MBMS point-to-multipoint Control Channel Megachips per second Modulation Coding Scheme Master Information Block MBMS Indicator Channel Multiple Input Multiple Output Mobile Link Entity MAC Logical Channel Priority Modied Largest Weighted Delay First Mobility Management Multimedia Messaging Service Minimum Mean Square Error Moving Picture Experts Group Multi Path Interference Cancellation
MRC MRW MS MSC MSCH
MT MTCH
MUI MUX N NACK NAS NBAP NCDMA
Maximum Ratio Combining Move Receiving Window Mobile Station Mobile Switching Center MBMS point-to-multipoint Scheduling Channel Mobile Terminal MBMS point-to-multipoint Trac Channel Message Unit Identier Multiplexer
NDI NFS NIS NL NRT Nt NTP NW
Negative Acknowledgement Non-Access Stratum Node B Application Part Narrowband Code Division Multiple Access New Data Indicator Network File System Network Information Service Network Layer Non-Real Time Notication Network Time Protocol Network
171
O OFDM
PDSCH Orthogonal Frequency Division Multiplexing Orthogonal Frequency Division Multiple Access Object Modeling Technique Object-Oriented Software Engineering Open Systems Interconnection Orthogonal Variable Spreading Factor PDU PER PF PhCH PHY PI PICH PID PL PLCCH
OFDMA
OMT OOSE OSI OVSF
PLMN P PA PB PC PCCC ITU Pedestrian A ITU Pedestrian B Power Control Parallel Concatenated Convolutional Code Paging Control Channel Primary Common Control Physical Channel Paging Channel Primary Common Pilot Channel Packet Data Convergence Protocol Public Data Network PNBSCH
PNFE
PCCH P-CCPCH
POP3 PQ PRACH PS P-SCH
PCH P-CPICH PDCP
PSK PUSC PUSCH
PDN
Physical Downlink Shared Channel Protocol Data Unit Packed Encoding Rules Proportional Fair Physical Channel Physical Layer Page Indicator Paging Indication Channel Packet Identier Puncturing Limit Physical Layer Common Control Channel Public Land Mobile Network Physical Node B Synchronisation Channel Paging and Notication Control Functional Entity Post Oce Protocol version 3 Priority Queue Physical Random Access Channel Packet Switched Primary Synchronization Channel Phase-Shift Keying Partial Usage of Subchannels Physical Uplink Shared Channel
172
Q QAM
RRM Quadrature Amplitude Modulation Quality of Service Quadrature Phase-Shift Keying RS RSN RT RTP RTT RTWND
QoS QPSK
R RAB RACH RAN RAT RB RFC RFE RISE RLC RLS RM RNC RNS RNTI ROHC RR RRC
Radio Access Bearer Random Access Channel Radio Access Network Radio Access Technology Radio Bearer Request for Comment Routing Functional Entity Radio Interference Simulation Engine Radio Link Control Radio Link Set Rate Matching Radio Network Controller Radio Network Subsystem Radio Network Temporary Identier Robust Header Compression Round Robin Radio Resource Control
RV RWTH
RX S SAP SAW S-CCPCH
Radio Resource Management Reed-Solomon Code Retransmission Sequence Number Real Time Real-Time Transport Protocol Round Trip Time Real Time Wireless Network Demonstrator Redundancy Version RheinischWestf alische Technische Hochschule Aachen Receive
SCFE SCH S-CPICH SDL
SDU SER SF
Service Access Point Stop-and-Wait Secondary Common Control Physical Channel Shared Control Functional Entity Synchronization Channel Secondary Common Pilot Channel Specication and Description Language Service Data Unit Symbol Error Rate Spreading Factor
173
SGSN SHCCH SHO SI SIB SINR SIR SM SMS SMTP SN SNR SPEETCL
SPI SRB SRNC SRNS S-RNTI S-SCH
SUFI
Serving GPRS Support Node Shared Channel Control Channel Soft Handover Scheduling Information System Information Block Signal to Interference plus Noise Ratio Signal to Interference Ratio Session Management Short Message Service Simple Mail Transfer Protocol Sequence Number Signal-to-Noise Ratio SDL Performance Evaluation Tool Class Library Scheduling Priority Indicator Signalling Radio Bearer Serving Radio Network Controller Serving Radio Network Subsystem SRNC-RNTI Secondary Synchronization Channel Super Field
T TB TBS TC TCP TCP/IP
TCTF TDD TDL TDMA TF TFC TFCI
TFCS TFI TFRC
TFS TL TM TME TPC
Transport Block Transport Block Set Turbo Code Transmission Control Protocol Transmission Control Protocol/Internet Protocol Target Channel Type Field Time Division Duplex Tapped Delay Line Time Division Multiple Access Transport Format Transport Format Combination Transport Format Combination Indicator Transport Format Combination Set Transport Format Indicator Transport Format and Resource Combination Transport Format Set Transport Layer Transparent Mode Transfer Mode Entity Transmit Power Control
174
TrCH TS TSN TTI TX U UUDP UE UE-Id UE-Id Type UL UM UMSC UMTS
Transport Channel Time Slot Transmission Sequence Number Transmission Time Interval Transmit
UTRAN
Uu
UMTS Terrestrial Radio Access Network Radio interface between UE and UTRAN
UpPCH URI URIS U-RNTI USCH USIM
UserUser Datagram Protocol User Equipment User Equipment Identity User Equipment Identication Type Uplink Unacknowledged Mode UMTS Mobile Switching Center Universal Mobile Telecommunications System Uplink Pilot Channel Uniform Resource Identier UMTS Radio Interface Simulator UTRAN-RNTI Uplink Shared Channel UMTS Subscriber Identity Module
V VA VB VBR VoIP VSF VT W WAP WCDMA
ITU Vehicular A ITU Vehicular B Variable Bit Rate Voice over IP Variable Spreading Factor Video Telephony
WiMAX
WMAN
WNS WWW X XOR Z ZF
Wireless Application Protocol Wideband Code Division Multiple Access Worldwide Interoperability for Microwave Access Wireless Metropolitan Area Network Wireless Network Simulator World Wide Web
Exclusive Or
Zero Forcing
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[C10] Georg Himmrich. Interconnection between MAC-d and MAC-c Entity for multiple Mobiles in URIS. Student Project Thesis, ComNets, January 2004. 73 [C11] Ibrahim Karacan. Simulative Performance Evaluation of IPv6 in UMTS. Master Thesis, ComNets, April 2003. 73 [C12] Burge Kurt. Implementation and Evaluation of the UMTS HSUPA (High Speed Uplink Packet Access). Master Thesis, ComNets, September 2007. 2, 73 [C13] Alexander L atsch. Design and Implementation of a Simulator for UMTS. Diploma Thesis, ComNets, June 1999. 72 [C14] Matthias Malkowski. Implementation Framework of the UMTS Medium Access Control Layer. Student Project Thesis, ComNets, July 2001. 73 [C15] Matthias Malkowski. Simulative Performance Evaluation of UMTS Medium Access Control Protocol for Dedicated Transport Channels. Diploma Thesis, ComNets, January 2002. 73 [C16] Enric Navarro. Implementation and Evaluation of HSDPA in URIS. Diploma Thesis, ComNets, May 2006. 73 ` . Simulative Performance Evaluation of the [C17] Francesco Pellicano Downlink Shared Channel in UMTS. Diploma Thesis, ComNets, July 2003. 73 [C18] Jan-Oliver Rock. Simulative Performance Evaluation of IP based Services over UMTS. Diploma Thesis, ComNets, May 2001. 71 [C19] Michael Salzmann. Methods for Performance Optimization of a UMTS Network at high Density Trac Locations. Diploma Thesis, ComNets, March 2004. 74 [C20] Klaus Sambale. Development of a Code Generator for the ASN.1 based RRC Protocol of UMTS. Student Project Thesis, ComNets, August 2004. 74 nchez Mora Moreno. Smart Handover Decisions [C21] Alicia Sa in Heterogeneous Networks using Location based Link Information. Diploma Thesis, ComNets, November 2006. 74 [C22] Michael Schnick. Simulative Performance Evaluation of Connection Admission Control Algorithms in UMTS. Diploma Thesis, ComNets, November 2004. 74 [C23] Helmut Seidler. Performance Evaluation of TCP/IP over UMTS. Diploma Thesis, ComNets, January 2001. 73
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ACKNOWLEDGMENT
The present work has been developed during my activities as research assistant at the Communication Networks (ComNets) Research Group at RWTH Aachen University. I am deeply grateful to my advisor Prof. Dr.-Ing. Bernhard Walke for the detailed guidance, fruitful discussions, critical review of this thesis and the experienced freedom in research during the elaboration of this work. Special thanks also go to Prof. Dr.-Ing. Peter Vary from the Institute of Communication Systems and Data Processing for his kind support as second examiner of this thesis. Best wishes go to all the great colleagues I was able to work with during my time as a research assistant at ComNets. Many thanks for the creative and inspiring working atmosphere. Sincere thanks go to my diploma students and student project workers who contributed to my research during their time at ComNets: Yashesh Buch, Daniel Claen, Michael Dittrich, Georg Himmrich, Ibrahim Karacan, Burge Kurt, Alicia S anchez Mora Moreno, Enric Navarro, Francesco Pellican` o, Michael Salzmann, Klaus Sambale, Michael Schnick, Xiaohua Wang, Alex Fernandez Yeste and Aydar Zimaliev. Finally, I would like to thank my family and friends for their support and understanding during the elaboration of this thesis. Nuremberg, January 2012 Matthias Malkowski

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Performance Evaluation of Packet Switched Services in UMTS

Tag der m undlichen Pr ufung: 16. Januar 2012

m der wachsenden Nachfrage nach hochbitratigen Datendiensten nach-

44 48 49 51 54 56 56 57 58 60 62 64 66 69 71 71 72 74 75 78 80 81 83 86 89 92 94 96 100 103 104 104 104 105 108

109 111 114 115 116

157 161 163 165 175 189 193

LTE HSPA+ HSUPA

UMTS TDD TD-CDMA (Release 4)

Figure 1.1: UMTS releases and key features

n this chapter the UMTS network architecture as specied by 3GPP is

Iub RNC Iu MSC SGSN

Figure 2.1: UTRAN network topology

2.2. Radio Interface Protocols

Radio Interface Protocols

Non-Access Stratum (NAS)

Access Stratum (AS)

Figure 2.2: UMTS protocol architecture

2.2. Radio Interface Protocols

UMTS Radio Interface (Uu Stratum) boundary

Figure 2.3: Radio interface protocol architecture

2.2. Radio Interface Protocols

Figure 2.4: UE side model of RRC

2.2. Radio Interface Protocols

Message Type (Choice) D DCC!

IE (Sequence, Optional) Integrity

PDU (Sequence) "# "elease

PDU (Sequence) "# Setup

PDU (Sequence) "# "econ$guration

IE ((rray) "# In&or'ation Setup ist

IE (Sequence) ())e) Transport Channel In&or'ation

IE (Sequence) %requency In&or'ation

Figure 2.5: Abstract illustration of ASN.1 data structure

2.2. Radio Interface Protocols

Figure 2.6: PDCP structure

Identication Time to Live

Inferred from other values Not present

Figure 2.7: Header compression for IPv4

2.2. Radio Interface Protocols

15 16 Destination Port * Sequence Number Acknowledgment Number

Window Urgent Pointer

Figure 2.8: Header compression for TCP

No change in a packet stream (* dening eld)

Inferred from other values

Figure 2.9: Header compression for IPv6

Figure 2.10: Model of the Broadcast Multicast Control sublayer

2.2. Radio Interface Protocols

Radio Link Control

Figure 2.11: Overview of the RLC sublayer

2.2. Radio Interface Protocols

DTCH/DCCH CCCH/SHCCH (UE) BCCH/PCCH (UTRAN)

DTCH/DCCH CCCH/SHCCH (UTRAN) BCCH/PCCH (UE)

Figure 2.12: Model of Transparent Mode peer entities

Segmentation & Concatenation

Remove RLC header

Add RLC header

DTCH/DCCH CTCH/CCCH/SHCCH (UTRAN) MTCH/MCCH/MSCH (UTRAN)

DTCH/DCCH CTCH/CCCH/SHCCH (UE) MTCH/MCCH/MSCH (UE)

2.2. Radio Interface Protocols

Remove RLC header Segmentation & Concatenation Reception buffer

Add RLC header

Duplicate avoidance and reordering

2.2. Radio Interface Protocols