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10 UMTS BASIC THEORY

10 UMTS BASIC THEORY ............................................................................................................. 1


10.1 UMTS Technology Basics .................................................................................................... 1
10.1.1 Concept of UMTS Realizing Broadband Communication ............................................. 1
10.1.2 Basic Concepts of CDMA.............................................................................................. 2
10.1.2.1 Basic Concepts of Spread Spectrum Communication ............................................. 3
10.1.3 Transmission of Electric Waves in Mobile Environment ............................................... 5
10.1.3.1 Features of Land Mobile Communication Environment ......................................... 5
10.1.3.2 Signal Fading in Radio Path .................................................................................... 6
10.1.4 Fundamentals of the UMTS Technology ....................................................................... 6
10.1.4.1 Channel Coding/Decoding ...................................................................................... 6
10.1.4.2 Principles of Interleaving/Deinterleaving ............................................................... 7
10.1.4.3 Spread Spectrum ..................................................................................................... 7
10.1.4.4 Modulation and Demodulation ............................................................................... 8
10.1.5 Overview and Features of AMR..................................................................................... 9

10.1 UMTS Technology Basics

10.1.1 Concept of UMTS Realizing Broadband Communication


UMTS (Wideband CDMA) is CDMA radio communication mode cased on direct spread-spectrum
technology. UMTS has an obvious advantage over GSM and IS-95 in subscriber capacity and
radio transmission performance, for it adopts a series of key technologies.
UMTS bears following two meanings literally:
1. UMTS adopts CDMA communication technology
CDMA technology is the most advanced communication technology in the world at
present. It takes advantage of different codes to divide different channel and then
distinguish different subscriber.
2. UMTS adopts wider spectrum
Narrowband power signals are sent out after being spread as broadband signals
(spread-spectrum) with UMTS technology. Broadband signals have stronger
anti-interference ability than narrowband signals. Wider bandwidth realizes RAKE
receiving at subscriber end and increases communication quality.

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Figure 1 shows UMTS communication. Bandwidth of original signals increases and


power density decreases after spread-spectrum. Signals meet with noise during the
transmission. Power density of the noise decreases after the dispreading, for spectrum
dispreading is the same as spectrum spreading. However, power density of original
signals is much larger than that of noise (that is, signal-to-noise ratio is high) and it is
easy to resume.

Power Power
Density Density

(2) Signal after spread


(1) Original Signal F F
spectrum
Power Power
Density Density

F
(3)Meeting noise during (4) Signal and noise after spectrum
F
signal transmission dispreading
Signal Noise

Figure 1 UMTS Communication Principle

UMTS adopts such advanced technologies as soft handover, diversity and power control to enlarge
system capacity and increase communication quality greatly.

10.1.2 Basic Concepts of CDMA


Mobile communication systems can be classified in multiple ways. For example, there are analog
and digital by the nature of the signals; FM, PM, and AM by the modulation mode; and FDMA,
TDMA and CDMA by the multiple access mode. CDMA (Code Division Multiple Access) is a
new while mature wireless technology developed from the spread spectrum communication
technology, a branch of the digital technology.
Currently, the GSM mobile telephone networks of China Unicom and China Mobile are built with
the combination of FDMA and TDMA. GSM has tremendous advantages over the analog mobile
telephone system. However, its spectrum efficiency is only three times of the analog system. With
a limited capacity, it has difficulty in offering voice quality equivalent to wired telephone. TDMA
terminals support an access rate of only 9.6 kbps. The TDMA system does not support soft

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handover, so calls may easily be dropped, affecting the service quality. Therefore, TDMA is not
the best technology for modern cellular mobile communication. On the other hand, CDMA fully
meets the requirements of modern mobile communication networks for large capacity, high quality,
and integrated services, so it is well received by increasingly more operators and users.
CDMA emerges from the needs for wireless communications of higher quality. In the CDMA
communication system, the signals used by different users for information transmission are
distinguished not by frequencies or timeslots, but by different code sequences. CDMA allocates
one pseudo random binary sequence for each signal for frequency spreading, and different signals
are allocated with different pseudo random binary sequences. In the receiver, correlators are used
to separate the signals. The correlator of each user only receives the specified binary sequences
and compresses their frequency spectrums, while ignoring all the other signals.
The code division multiple access concept of CDMA can be illustrated with a party of many
persons. At the party, many users talk at the same time in a room, and every conversation in the
room is in a language you do not understand. From your perspective, all these conversations sound
like noise. If you know these codes, that is, relevant languages, you can ignore the conversations
you do not want to hear, and focus on only these you are interested in. The CDMA system filters
the traffic in a similar way. However, even if you understand all the languages used, you do not
necessarily hear clearly all the conversations you are interested in. In this case, you can tell the
speakers to speak louder, and/or ask others to lower their voices. This is similar to the power
control in the CDMA system. In the frequency domain or time domain, multiple CDMA signals
overlap. The receiver can sort out the signals that use the preset code pattern from multiple CDMA
signals by using correlators. Other signals using different code patterns are not demodulated, since
their code patterns are different from those generated locally at the receiver.
One of the basic technologies of CDMA is spectrum spreading. CDMA is a multiple access
technology featuring high confidentiality. It was first developed in the Second World War to
prevent interference from the enemies. CDMA found wide application in anti-interference military
communications during the war. After 1960s, it had been used in military satellite communication.
Later, it was developed by Qualcomm into a commercial mobile communication technology.
After the first CDMA system was put into operation for commercial purpose in 1995, the technical
advantages of the CDMA in theory were tested in practice, so it has seen rapid application in
North America, South America and Asia. In many countries and regions in the world, including
China, Hong Kong, South Korea, Japan, and USA, CDMA is the major mobile communication
technology used. CDMA is superior to TDMA in system capacity, anti-interference,
communication quality, and confidentiality, so IMT-2000 (3G) launched by ITU and subsequent
standards all employ CDMA.

10.1.2.1 Basic Concepts of Spread Spectrum Communication


The basic characteristic of spread spectrum communication is that it uses a bandwidth for
information transmission much wider than that of the information itself. In other words, the data
for transmission with certain signal bandwidth is modulated with high-speed pseudo random codes
having a bandwidth wider than the signal bandwidth. Thus, the bandwidth of the original data
signals is spread, before the signals are transmitted following carrier modulation. The receiving
end uses exactly the same pseudo random codes to process the received bandwidth signals,
converting the broadband signals into the original narrowband signals, that is, despreading, thus

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achieving information communication.


In addition, spread spectrum communication also has the following characteristics:
1. It is a digital transmission mode.
2. Bandwidth spreading is implemented by modulating the transmitted information with a
function (spread spectrum function) irrelevant to the transmitted information.
3. At the receiving end, the same spread spectrum function is used to demodulate the spread
spectrum signals, restoring the transmitted information.
C.E. Shannon found the channel capacity formula in his research in information theory, as below:
C = W Log2 (1+S/N)
Where:
C Information transmission rate
S Available signal power
W Bandwidth of the line
N Noise power
As can be seen from the formula:
To increase C, you can either increase W or increase S/N. In other words, when C is constant, W
and S/N are interchangeable, where the increase of W reduces the requirement for S/N. When the
bandwidth increases to a certain level, the S/N is allowed to further decrease, making it possible
for the useful signal power to decrease to a level close to the noise power or even inundated in the
noise. Spread spectrum communication uses the bandwidth transmission technology to obtain the
benefit in S/N, which is the basic idea and theoretical basis of spread spectrum communication.
Spread spectrum communication has many outstanding performances insuperable by narrowband
communication, enabling it to find wide application rapidly in various public and private
communication networks. Its advantages are outlined as below:
1. Powerful anti-interference and low bit error rate
The spread spectrum communication system spreads the signal spectrum at the
transmitting end and restores the original information at the receiving end, producing
spread gains, thus greatly increasing the anti-jamming margin. Depending on the spread
spectrum gains, signals can be extracted from noise even when the S/N is negative. In the
current commercial communication system, spread spectrum communication is the only
communication mode that can work in the negative S/N environment.
2. Easy same frequency use for higher radio spectrum utilization
Radio spectrum is very valuable. Although all waves from long wave and micro wave
have been developed and used, the need of the society is not satisfied. For this reason,
frequency spectrum management authorities were set up all over the world. Users can
only use the frequencies granted, and divide them into channels to avoid mutual
interference.
As spread spectrum communication uses the correlation reception technology, the signal
transmission power is extremely low (<1 W, usually 1 mW ~ 100 mW), and can work in
channel noise and hot noise background. Therefore, a frequency can be easily reused in
the same area, and the frequency can also be shared with the now various narrowband
communications.
3. Anti multipath interference
In the wireless communication, anti multipath interference is a persisting problem that is

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difficult to solve. With the correlation between spread spectrum codes, the most powerful
useful signals can be extracted from multipath signals at the receiving end with a related
technology. Also, the same code sequence waveform from multiple paths can be added for
reinforcement, to achieve effective anti multipath interference.
4. Spread spectrum communication is a form of digital communication, particularly suitable
for synchronous transmission of digital voice and data. Spread spectrum communication
offers the encryption function for good confidentiality, making it easy to launch various
communication services.
Using multiple new technologies including code division multiple access, and voice
compression, spread spectrum communication is more suitable for transmission of
computer network and digitized voices and images.
5. Spread spectrum communication involves mostly digital circuitry. Its equipment is highly
integrated, easy to install and maintain, compact, and reliable and easy to mount/expand,
and has a long MTBF.

10.1.3 Transmission of Electric Waves in Mobile Environment


The target of mobile communication system is to gradually realize personal communication using
the always existent radio channel as transmission media. However, the radio channel has poor
transmission features. Firstly, there is serious and complicated fading, including path fading,
shadow fading, and multipath fading. Secondly, the radio transmission path may be direct or
obstructed by mountains or buildings. It is difficult to analyze the unknown and unpredictable
elements in radio channels. Even the relative moving speed may greatly affect the fading of signal
level.
Although the features of electromagnetic waves change a lot during transmission, the major
changes fall into perpendicular incidence, reflection, diffraction (inflection), and scattering. In
cities, there is no direct path between transmitters and receivers. The high buildings and large
mansions cause serious diffraction loss. Reflected by objects by many times, the electromagnetic
waves reach the receiver through different paths. The interaction of these electromagnetic waves
cause multipath fading at specific place. In a word, the strength of electromagnetic waves
decreases with the extension of the distance between the transmitter and receiver.

10.1.3.1 Features of Land Mobile Communication Environment


1. Low Antenna of MS
Because the transmission path is always affected by topography and man-made
environment, and the MS moves in various topographical environment and buildings, it
makes the signal received by the MS become the increment of a large number of scattered
and reflected signals.
2. Mobility of MS
The MS is always moving. Even the MS is not moving, the surroundings always change,
for example, people and vehicles move, and wind blows leaves. The mobility makes the
transmission path between the base station and MS always change. In addition, the
moving direction and speed of the MS will cause the change of signal level.
3. Random Change of Signal Level
Varying with the time and locations, the signal level can be described by the probability

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distribution in random process only.


4. Wave Guide Effect in Metropolitan Environment
The wave guide effect caused by the high buildings on both sides of the street make the
signals received in the direction parallel to the street enhanced and the signals received in
the vertical direction weakened. There is about 10 dB difference between the two signals.
This effect is attenuated 8 km away from the base stations.
5. Loud Man-Made Noise
The man-made noise includes noise of vehicles and electric power lines, as well as
industrial noise.
6. Strong interference
The common interferences include co-channel interference, adjacent-channel interference,
intermodulation interference, and near-far interference.

10.1.3.2 Signal Fading in Radio Path


As the MS moves further from the base station, the signal received becomes weaker and weaker.
The reason is that path loss occurs to the signal. The factors causing the path loss include carrier
frequency, transmission speed, and the topography and physiognomy where the signal is
transmitted.
Shadow effect: The semi-dead zone in the coverage area caused by the obstruct of high buildings
and other objects.
Near-far effect: Because the mobile subscribers move at free will, the distance between the
subscriber and the base station changes. If the MSs have the same transmit power, the signal
strength at the base station is different. If the MS is nearer to the base station, the signal received
by the base station is stronger. The non-linearity of the communication system will be worsened,
making the stronger signal stronger, the weaker signal weaker, and the stronger signal suppress the
weaker signal.
Doppler effect: The shift in frequency which results from the move of the signal received at high
rate. The degree of shift is in direct ratio with the velocity of the mobile subscriber.

10.1.4 Fundamentals of the UMTS Technology

10.1.4.1 Channel Coding/Decoding


A radio channel is an adverse transmission channel. When digital signals transmitted over a radio
channel, bit errors may occur in the transmission data flow due to various reasons, causing image
jumps and disconnection at the receive end. The step of channel coding can be used to process the
data flow appropriately, so that the system can have error correction capability and
anti-interference capability to certain extent, thus greatly avoiding bit errors in the code flow.
Therefore, channel coding aims at increasing data transmission efficiency by reducing bit error
rate.
Ultimately, channel coding intends to increase the reliability of the channel, but it may reduce the
transmission of useful information data. Channel coding works by inserting some code elements,
usually referred to as overhead, into the source data code flow, for error detection and correction at
the receiving end. This is like the transport of glasses. To ensure that no glasses are broken during
this process, we usually use foams or sponge to package them. However, such packaging reduces

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the total number of glasses. Similarly, over a channel with fixed bandwidth, the total transmission
code rate is fixed. As channel coding increases data amount, the useful information code rate is
reduced. This is the cost. The number of useful bits divided by the total number of bits derives the
coding efficiency, which varies slightly from one coding mode to another.
The coding/decoding technology and interleaving technology can work together to increase the bit
error performance. Compared with the case without coding, the traditional convolution code can
increase the bit error rate by two orders of magnitude, to 10-3 ~ 10-4, and the Turbo code can
further increase the bit error rate to 10-6. Because the Turbo code has a coding performance close
to the limit of Shannon theorem, it is adopted as the data coding/decoding technology for 3G. The
convolution code is mainly used for voice and signaling of low data rates.

10.1.4.2 Principles of Interleaving/Deinterleaving


Interleaving/deinterleaving is an important step of the combined channel error correction system.
The actual errors in the channel are usually burst errors or both burst errors and random errors. If
burst errors are first discretized into random errors, which are then corrected, the systems
anti-interference performance can be improved. The interleaver works to discretize long burst
errors or multiple burst errors into random errors, that is, discretizing the errors.
The interleaving technology rearranges the coded signals by following certain rules. After
deinterleaving, burst errors are dispersed over time, making them similar to random errors that
occur separately.

10.1.4.3 Spread Spectrum


Spread Spectrum is an information transmission mode. It modulates information signals with
spreading code at sending end and enables spectrum width of information signals much wider than
bandwidth for information transmission. It dispreads at receiving end with same spreading code,
to resume data of transmitted information.
Figure 2 shows basic operations of spectrum spread/dispread. Supposing subscriber data rate is R,
subscriber data is 101101, and according to the rule that 1 is mapped as -1, 0 is mapped as +1, map
subscriber data as -1+1-1-1+1-1 and time it with spreading code. Spreading code is 01101001 in
this example. Time each subscriber data bit to this code series including 8 code chips. Concluded
data rate after spread is 8 R and is random, like spreading code. Its spread spectrum factors are
8.
Broadband signals after spread spectrum are transmitted to receiving end via radio channels. Time
code sequence with same spread spectrum code (dispreading code) when dispreading at receiving
end to resume original subscriber data.
Spreading signal speed by 8 times factor may result in bandwidth spreading of subscriber data
signals (therefore, CDMA system is often called spread spectrum system). Dispreading resumes
signal rate to original rate.

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1
Subscriber data
= -1+1-1-1+1-1 1
Spectrum spreading
1
Spread spectrum =
+1-1-1+1-1+1+1-1 1

Spreading signal = 1
Subscriber data * Spectrum dispreading
Spread spectrum 1

Dispreading data
1
= Subscriber data
* Spread 1
spectrum

Figure 2 Spectrum Spreading/Dispreading in DS-CDMA

Distributing different spread spectrum to different subscriber can distinguish different subscriber,
as shown in above sector.
Supposing that there are three subscribers and that signals they send are b1, b2 and b3, spread
their signals with spreading code of c1, c2 and c3 and final sending signal is y=b1c1 + b2c2 +
b3c3. Supposing that there is no interference in signal transmission, the receiving end:

Gets signals after dispread with c1


z1 = y * c1 = c1 * (b1c1 + b2c2 + b3c3) = b1 + (b2c2c1 + b3c3c1)

Gets signals after dispread with c2


z2 = y * c2 = c2 * (b1c1 + b2c2 + b3c3) = b2 + (b1c1c2 + b3c3c2)

Gets signals after dispread with c3


z3 = y * c3 = c3 * (b1c1+b2c2+b3c3) = b3 + (b1c1c3 + b2c2c3)
All parts in the brackets in above three formulas are interference of other subscriber signals to this
signal. This interference can be absolutely avoided if using orthogonalized codes. Orthogonalized
code is the code that is 1 after timing itself and is 0 after timing other codes. So:
z1 = y * c1 = c1 * (b1c1 + b2c2 + b3c3) = b1 + (b2c2c1 + b3c3c1) = b1 + 0 + 0 = b1
z2 = y * c2 = c2 * (b1c1 + b2c2 + b3c3) = b2 + (b1c1c2 + b3c3c2) = b2 + 0 + 0 = b2
z3 = y * c3 = c3 * (b1c1 + b2c2 + b3c3) = b3 + (b1c1c3 + b2c2c3) = b3 + 0 + 0 = b3

10.1.4.4 Modulation and Demodulation


Modulation is the process to use one signal (know as modulation signal) to control another signal
of carrier (known as carrier signal), so that a characteristic parameter of the later changes with the
former. At the receiving end, the process to restore the original signal from the modulated signal is
called demodulation.
During signal modulation, a high-frequency sine signal is often used as the carrier signal. One sine
signal involves three parameters: amplitude, frequency and phase. Modulation of each of these
three parameters is respectively called amplitude modulation, frequency modulation, and phase
modulation.
In the UMTS system, the modulation is Quaternary Phase Shift Keying (QPSK). If High Speed
Downlink Package Access (HSDPA) is used, the downlink modulation mode can also be 16QAM.

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Modulating rate of UMTS uplinks/downlinks are both 3.84 Mcps and modulate complex-valued
code chip sequence generated by spread spectrum in QPSK mode.
Figure 3 shows uplink modulation and Figure 4 shows downlink modulation.

cos(t)

Re{S} Pulse-
Complex-valued Split shaping
chip sequence S real &
from spreading imag.
parts Im{S} Pulse-
operations
shaping

-sin(t)

Figure 3 Uplink Modulation

cos(t)

Re{T} Pulse-
Complex-valued Split shaping
chip sequence T real &
from summing imag.
parts Im{T} Pulse-
operations
shaping

-sin(t)

Figure 4 Downlink Modulation

10.1.5 Overview and Features of AMR


Adaptive Multi Rate (AMR) code is a voice-coding plan. It is called broadband AMR (AMR-WB
or AMR Wideband) in UMTS.
Current GSM speech coding (FR, HR, EFR and AMR) is applicable to narrowband speech and
audio bandwidth is limited to 3.4 kHz. Audio bandwidth of AMR-RB extends to 7 kHz, which
makes the voice much clearer and natural, especially in hands-free situations.
AMR provides eight coding rates of 4.7 k, 5,15 k, 5,9 k, 6,7 k, 7,4 k, 7,95 k, 10.2 k and 12.2 k.
Select codes with low rate on condition that it does not influence communication quality, to save
network resource.

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