WHITE PAPER

High Speed Uplink Packet Access

Enabling Responsive Multimedia

Table of Contents Introduction ..................................................................................... 3 Abstract ........................................................................................... 3 HSUPA Responsive Multimedia: Enhancing the Symmetry of High Speed Mobile Communications .................... 4 HSUPA The Principles................................................................... 5 HSUPA at a Glance .......................................................................... 6 HSUPA and Higher-Order Modulation Schemes ............................ 6 HSUPA Node B Based Scheduling .................................................. 7 HSUPA Soft Handover .................................................................... 9 Implications for Mobile Devices .................................................... 10 Considerations for Network Efciency .......................................... 10 Network Considerations for HSUPA Responsive Multimedia .... 10 HSUPA Capacity Improvements Macro-cell ............................... 11 HSUPA Capacity Hotspot Scenario ............................................. 11 Comparison of Typical Data Rates for Hot-Spot Scenario ............. 11 Summary ....................................................................................... 12 Glossary ......................................................................................... 12

WHITE PAPER: High Speed Uplink Packet Access

Introduction This white-paper outlines the main principles and benets of High Speed Uplink Packet Access and the implications for both end-users and service providers.

Abstract Release 6 of 3GPP Standards introduces High Speed Uplink Packet Access (HSUPA) or Responsive Multimedia. This signicant step in the development of mobile telecommunications may not be as immediately noticeable to the end-user as High Speed Downlink Packet Access (HSDPA) was. However, it nonetheless provides signicant benets that become evident when running some key applications. For end-users it means signicantly faster uplink data rates while the Service Provider gains from improved air interface efciency. All enhancements that improve the all important end-user experience should lead to increased customer satisfaction and thus opportunities for increasing Average Revenue Per User (ARPU). HSxPA (the combination of HSDPA and HSUPA) will facilitate new service delivery capabilities, such as voice over IP (VoIP), massive multiplayer online role-playing gaming (MMORPG, where HSUPA and

full conversational Quality of Service (QoS) in the packet domain become pre-requisites), mobile web-cam and video conferencing. While many existing services like le sharing, VPN access, MMS and E-mail plus attachment synchronization will become much more usable, again increasing the likelihood of end-user uptake. Moreover, the advent of HSUPA is coincidental with the signicant increase in the usage of Web 2.0 type applications such as YouTube. It may be that HSUPA becomes a vehicle to delivering content to this domain. Finally HSUPA allows end-users to effectively become the content provider. This will appeal to enterprise users and consumers alike, further increasing the demand and appeal for high-speed mobile data services. Motorolas HSxPA solution supports HSUPA in two phases. Phase 1 available from Q107 delivers data rates of up to 1.46Mbps and Phase 2, available from Q108 enables data rates of up to the theoretical maximum of 5.76Mbps.

WHITE PAPER: High Speed Uplink Packet Access

Motorolas rst public demonstration of HSUPA was at 3GSM 2006, when data rates of over 4Mbps were achieved

HSUPA Responsive Multimedia: Enhancing the Symmetry of High Speed Mobile Communications HSDPA has fast become a reality. The number of commercial HSDPA networks has grown both rapidly and signicantly and it appears that the majority, if not all, UMTS service providers will upgrade to HSDPA1. The general industry expectation is that HSDPA will deliver on its promise of true mobile broadband. Before the introduction of HSDPA, the UMTS maximum 384kbps downlink limited the end-user experience rendering many applications ill-matched for mobile use. Moreover UMTS consumes signicant resource in the air interface due to inherent in efciencies in modulation scheme and retransmissions. From the outset Motorolas UMTS solutions were software upgradable to HSDPA and amongst the rst vendors to deliver a full 15 code capability (up to 14.4Mbps2 data rate [this rate is modulation bits, excluding L1 channel coding overhead. The maximum rate at the MAC layer is 13.96Mbps]). Now, with increasing numbers of inter-active and person to person multi-media services appearing, there is a clear requirement for high data rates in both downlink and uplink. HSUPA is the incremental complement of HSDPA delivering signicantly improved data rates from the mobile back into the network with a theoretical peak data rate of 5.76Mbps and likely end-user data rates in the range 300bps to 2Mbps3. [This depends on number of

end-users in the cell. For a single active end-user in reasonably good channel conditions, then up to 1Mbps could be expected, and for a single end-user in very good channel conditions, up to 2Mbps might be achievable] The techniques used in HSUPA provide increased uplink spectral efciency compared to R99 UMTS; nominally doubling sector throughput and delivering signicant increases in end-user data rates. The relative increase in end-user data rate is dependent on the applications run, that is, applications that are sensitive to both latency and bandwidth such as video conferencing and MMORPG will be improved most by HSUPA. Similarly, Voice over IP (VoIP) capacity and web browsing (latency sensitive but lower bandwidth requirement) will also be improved. Whereas sending large email attachments, picture messaging and MP3 (large bandwidth requirements but relatively delay tolerant) will not benet from HSUPA to the same extent end-user will still experience signicant improvement in raw speed. Most vendors will offer HSUPA offerings in two phases; Phase 1 enabling data rates up to 1.46Mbps and in Phase 2, the theoretical maximum 5.76Mbps. Industry indications are that HSUPA capability will be deployed from late 2006 onwards while the rst commercial mobile devices becoming available during 2007.

1. Source: www.gsacom.com 2. Assumes availability/use of a device/handset capable of receiving such transmissions 3. Usual caveats regarding likely end-user data rates apply

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HSUPA Improves Uplink Performance (compared to R99 UMTS): Higher throughput/data rates Higher capacity Reduced latency

HSUPA The Principles HSUPA, like its counterpart HSDPA, introduces new techniques compared to the R99 UMTS specications; the following sections provide an insight into some of these techniques and the principles of this very important development in mobile communications. 1. RNC allocates resource per cell and sets Node B maximum received power according to noise rise/ level allowed to avoid interfering with neighboring Node B 2. Mobile device requests resources and reports buffer status and power availability. 3. Serving Node B allocates resource to the mobile device and sets the maximum transmit power output level of the mobile device. Fast relative grants make small modications to this level each Transmission Time Intervals (TTI) 4. Mobile device decides what power level to transmit at depending on the data rate, service desired and allocated resources, while it continues to request use of the reserve power (from maximum power) dependent on how much data to transmit, priority of data and QoS of services or user 5. Non-serving Node B(s) that are in active set receive the uplink transmissions and send relative grants to mobile device to prevent deafening; that is the mobile device is quieted by the other Node Bs and reduces its transmit power output accordingly.

Figure 1 The principles of HSUPA

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UMTS DCH (R99) Channel Type Spreading Factor Physical (Layer 1) HARQ Transmission Time Interval (ms) Soft Handover Multi-code Transmission Adaptive Modulation Scheduling Algorithms Power Control Dedicated Variable No 80/4020/10 Yes Possible No RNC Yes

HSDPA DCH (R5) Shared Fixed (SF=16) Yes 2 No Yes Yes Node B Yes

HSUPA E-DCH (R6) Dedicated Variable Yes 10/2 Yes Yes No Node B Yes

Table 1 - HSUPA Characteristics compared to R99 UMTS and HSDPA

HSUPA delivers a theoretical peak data rate to 5.76Mbps

HSUPA at a Glance As the text unfolds we will discover some of principles of HSUPA and how its realization differs from R99 UMTS and HSDPA; the Table above summarizes these characteristics. HSUPA and Higher-Order Modulation Schemes To increase downlink throughput without increasing bandwidth, higher-order modulation schemes have been implemented; for instance HSDPA employs 16QAM in order to achieve data rates of up to its theoretical maximum. A characteristic, and drawback, of these modulation schemes is a non-constant amplitude envelope, giving a higher peak to average ratio, and increased number of possible modulation symbols, making them more susceptible to noise and interference. Higher peak-to-average signal ratios mean that the mobile device output stage must operate over a wider dynamic range; these designs are inherently less efcient. To overcome these issues HSUPA uses BPSK or QPSK modulation (used in HSDPA up to 3.6Mbps), which exhibit lower peak to average signal ratios than 16QAM. The mobile devices transmit capabilities are ultimately governed by their efciency and limited battery capacity. The use of BPSK/QPSK with its lower peakto-average signal ratio permits more efcient output stage design that in turn reduces demands on the mobile device. However in order to reach the highest data rates multi-code transmission is required which can degrade peak to average ratio. The resulting trade off between efciency and the End-user experience is a theoretical 5.76Mbps peak data rate.

With the restriction on the maximum uplink data rate imposed by BPSK/QPSK, advanced link adaptation techniques must be implemented to achieve increased data rates. These adaptive techniques include spreading factors of 2 or 4, multiple codes (1, 2 or 4) and an initial Transmission Time Interval of 10ms (supporting Best Effort and streaming). HSUPA phase 2 delivers a reduction in TTI to 2ms and is required to enable >1 transmission and so realize the benet of HARQ within the latency required by VoIP. The HARQ adjusts the amount of error correction appropriate to prevailing load and channel conditions while reducing re-transmission delays and system latency thereby increasing system capabilities. Quality of Service (QoS) must be taken into account considering the data priority and trafc class, e.g. appropriately setting the maximum number of HARQ transmissions (to minimize latency) and the priority within the scheduler. Motorolas HSUPA solution supports this from phase 1. The non-scheduled mode (where the mobile device does not need to wait to be scheduled to transmit certain classes of data) may be used to minimize latency, e.g., for VoIP. Motorolas HSUPA solution supports the non-scheduled mode from phase 2. HSUPA introduces additional overhead channels in both uplink and downlink. In the uplink, the potential impact on maximum cell range due to this overhead is mitigated by the gain associated with HSUPA HARQ with the resultant coverage being similar to R99 UMTS.

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HSUPA Introduces a New Transport Channel

It is important that power control of the HSUPA control channels is implemented in the downlink to minimize overhead, as power used for these channels will limit HSDPA power and degrade its performance. This key feature is supported by Motorolas solution from HSUPA phase 1. The bursty nature of uplink packet requirements, (even more so than in HSDPA) means that the use of Dedicated Channels (DCH) would be inefcient in terms of spectrum and cost. As a result HSUPA introduces a new uplink transport channel, the Enhanced Dedicated Channel (E-DCH) to ensure that transmissions are managed effectively. The E-DCH is the uplink channel that carries control and data information, comprising of the following sub-channels: E-DPCCH E-DCH Dedicated Physical Control Channel is a legacy R99 UMTS channel and carries the pilot and power control channel information E-DPDCH - E-DCH Dedicated Physical Data Channel; carries the data load. HSUPA Node B Based Scheduling The mechanism of communicating the control information between network and mobile device is specied in 3GPP standards; however the scheduling of multiple end-users while minimizing the control signaling and associated delays is specic to the equipment vendor. Therefore selection of equipment with the most advanced scheduling algorithms must be a primary consideration, as a poor solution will likely result in excessive interference within the cell, consequential cell overload conditions and loss of trafc.

Similarly, ensuring that each mobile device receives the uplink bandwidth it requires while ensuring that the cell does not become overloaded is of great importance; to those ends efcient management of the air interface is required. HSUPA is similar to HSDPA in the fact that the scheduling takes place at the Node B. However it is different to HSDPA in that for HSUPA it operates on a request-grant principle (for HSDPA the mobile does not need to request since the data is being sent from the Node B to the mobile). In a request-grant mode the mobile devices request permission to send data and the scheduler decides when and how many mobile devices can transmit and at what power/data rate. In order for this to work, the serving Node B must know whether the mobiles in the cell have data to transmit and what the transmit power availability is at the mobiles. There are a number of ways of achieving this; the rst requires that each mobile device periodically informs the Node B of its data buffer status and transmit power headroom.This Scheduling Information (SI) as it is known, indicates the priority and amount of data in the buffer waiting to be transmitted and transmit power headroom. However the SI contains large amounts of information, which not only requires encoding but also presents an additional signaling overhead, both of which reduce network efciency. As a result, a second preferred method allows the mobile device to simply send a single bit of information, the Happy Bit, to the Node B indicating whether or not it has been allocated sufcient resources for it to transmit its data. The Happy Bit is transmitted with each TTI allowing the Node B to rapidly optimize its allocation of uplink resources.

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1 - Maximum uplink data rate is dependent on channel quality 2 - Grant depends on channel conditions, cell load, service mix etc. 3 - Absolute Grant issued in response to increased cell load and channel quality [power down] 4 - Grant is insufcient for mobile device transmit requirements and so mobile device sends unhappy bit 5 - Serving Node B issues a new and increased Relative Grant with improving channel conditions [power up] 6 - Mobile device sends data and indicates that it is happy with grant 7 - Relative Grant issued in response to reduced channel quality [power down] 8 - Mobile device data buffer status no longer requires higher data rate and Node B issues reduced Relative Grant [power down] Figure 2 - Uplink and Downlink Data and Control Signaling for HSUPA

Knowing the amount of data each mobile device wishes to send and the power availability is only part of the requirement; the Node B must also inform the mobile device of its bandwidth allocation. To do this the Node B issues each mobile device a transmission grant that species the maximum transmit power that it may use to send data until the next grant is issued. There are two types of grant issued in HSUPA; Absolute Grants dene the precise characteristics of the mobile devices resource allocation. Absolute Grants are used relatively infrequently as they contain a relatively large amount of information with a corresponding large downlink signaling overhead. Relative Grants specify changes to a previous grant enabling optimization of resource allocation to each mobile device; this type of grant has a much lower signalling overhead.

The downlink signalling overhead associated with these grants may be reduced by sending the same grant to multiple end-users by sharing the Absolute or Relative Grant channels. Note that the grants actually control the power ration between E-DPDCH and E-DPCCH. The power ratio between E-DPCCH and DPCCH is xed and the DPCCH power is varied with power control in the same way as R99 UMTS. Therefore the power used for HSUPA data transmission is a function of both the assigned grants and the power control.

Figure 3 Mobile Device Scheduling The serving Node B scheduler uses combinations of transmit [output power] capability, data buffer status, priority of the data waiting to be transmitted and the Happy Bit to set the mobile devices transmit power levels. The aim is to maintain the perceived noise rise at or below the level allocated by the RNC.

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Figure 4 - Typical soft handover scenario

HSUPA Soft Handover Another signicant and important difference between HSUPA and HSDPA is the use of soft and softer handovers for the uplink channels. Soft handover allows a mobile device to both receive and transmit data to multiple Node Bs; this provides benets at cell edge where signal quality may be poor. When a mobile device transmits it causes interference within its own cell and neighboring cells. Moreover, at the cell edge, the mobile generally has to transmit at an even higher power to compensate for its relative distance from its serving Node B and in doing so increases interference. HSUPA soft handover allows non-serving Node Bs to decode uplink data from mobile devices in neighboring cells and reduces the mobile devices need to transmit at high output power with the resultant reduction in associated interference. This allows effective management of both the uplink air interface and resource allocation without interaction with the RNC while maintaining the ability to rapidly adapt to changes in both cell load and interference levels.

The control of the mobile devices transmit output power in soft/softer handover on the E-DCH differs from the DCH in R99 UMTS. The serving Node B now sends both Power-up and Power-down commands however all other Node Bs in the active-set participating in the handover can only issue Power-Down commands, which take precedence over power-up commands. Figure 4 shows a typical soft handover scenario. The serving cell manages the uplink data requests from each of the mobile devices within its cell and allocating appropriate grants. In the example; based on the status of the Happy Bit (1) the serving Node B issues an Absolute Grant (2), as the serving Node B is lightly loaded the mobile device is allocated a large grant. By contrast, the adjacent non-serving Node B has a high trafc load and consequently issues a Relative Grant (3) in order to quieten the mobile device.

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HSUPA Device Category 1 2 3 4 5 6

Minimum Spreading Factor SF4 SF4 SF4 SF2 SF2 SF2

Maximum Data Rate (Mbps) 0.7296 1.4592 1.4592 2/2.9185 2 2/5.76

Table 2 - Categories of mobile device with HSUPA capability have been dened in a manner similar to that for HSDPA

HSUPA improves the end-user experience meaning that they may now become a content provider

Implications for Mobile Devices Supporting high data rates and short TTI presents various constraints on mobile device design. More powerful processing and faster chipsets allied to increased storage capabilities become pre-requisites to handle the increasing amounts of data. With TTIs of 2ms, the mobile device must now react even faster to retransmission requests and control signaling from the network. Six handset classes have been dened supporting different data rates and TTI capability, as shown in Table 2. Considerations for Network Efciency Maximizing network performance and efciency is vital for service provider success. There are many ways networks accomplish this, but assigning the limited resources appropriately is a major factor and is achieved by correct operation of the Absolute and Relative Grants. Additionally, the use of Proportional Fair scheduling algorithms, which favour mobile devices in good channel conditions maximizes resource usage, (i.e. ensuring resource is allocated to mobile devices that can use it rather than those that cannot) increases network efciency still further. Proportional fair scheduling is based on the instantaneous information sent by the mobile device (data buffer status, power margin etc.) and its specication (category etc.). The relationship between Node B scheduling, overload trigger thresholds (that cause Power-Down commands to be issued) and RNC admission/ congestion trigger thresholds must be addressed as both manage the same uplink resource.

State switching, the ability to keep end-users in the Active state is as important in HSUPA as it is in HSDPA. This ability remains unchanged in Motorolas HSUPA solution as a means of minimizing latency and maximizing the end-user experience. The Continuous Connectivity feature, to be introduced in 3GPP Release 7 will reduce the overheads associated with maintaining mobile devices in the active state still further, making it possible to maintain end-users in the active state for longer without impacting system efciency. Network Considerations for HSUPA Responsive Multimedia Like any network upgrade, the move to HSUPA must be considered carefully. Most UMTS networks are upgradable to HSDPA via software; this is borne out by the large number and rapid escalation in commercial networks around the world. Motorolas solution enables both 15 codes HSDPA and HSUPA through an easy software upgrade. Irrespective of vendor, backhaul requirements must now be carefully considered as networks move ever increasing volumes of data as HSxPA places increased loading on the backhaul network compared to UMTS. Fundamentally the backhaul must be able to support the increased air-interface capacity; standard 2Mbps backhaul links (E1) and existing network topologies may prove insufcient to effectively deliver the combined demands of HSDPA and HSUPA. As the data in the network increases so consideration must also be given to the other network elements, in particular the RNC and GSN complex.

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HSUPA Capacity Improvements Macro-cell In macro environments average HSUPA sector throughputs in the order of 1Mbps and enduser throughputs in the range of 50 to 200kbps may be achieved, dependent on cell load.

HSUPA Capacity Hotspot Scenario In HSUPA phase 2, the lower TTI (2ms) improves up-fade scheduling and HARQ efciency; as a result the higher peak data rates improve the sector and end-user throughput signicantly. Average sector throughput is increased to over 2Mbps while average end-user throughput is likely to be in the range of 50 to 300kbps dependent on cell load. Individual mobiles in good channel conditions may experience data rates signicantly higher than this average.

Comparison of Typical Data Rates for Hot-Spot Scenario Comparison of typical end-user data rates for hot-spot scenario clearly shows the benecial affect of reducing the TTI.

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Summary The introduction of HSUPA in Release 6 of the 3GPP standards allows end-users to take advantage of faster uplinks with lower latency. This improves the efciency of the link and its effective throughput without introducing a new modulation scheme. In doing so, this allows the introduction of new services and applications while improving existing ones. Equally important, it simplies network planning and reduces the cost per-bit delivered, increasing Service Providers cost competitiveness. It is important however to set realistic expectations at the outset. Although HSUPA offers theoretical peak data rates of 5.76Mbps, the average throughputs per cell are likely to be in the order of 1 to 2Mbps dependent on application mix and deployment scenario (macro- versus pico-cells etc).

The enhanced data rate capabilities of HSUPA enable end-users to effectively become the content provider, this is likely to increase the appeal and thus uptake of HSxPA high-speed mobile data services amongst both enterprise users and end-users. The rst commercial mobile devices will support up to 1.46Mbps (HSUPA Category 2). Motorolas UMTS/ HSxPA solution already supports HSUPA and even higher data rates will be supported in phase 2; this capability is likely to benet hot-spot and Enterprise users in particular. With HSDPA now widely adopted and HSUPA about to become a commercial reality, mobile data communications is about to enter into a new dimension. Motorola remains at the forefront of 3GPP technological development. For further details of Motorolas market leading and exciting HSxPA solutions please contact your sales representative.

Glossary
16QAM Quadrature Amplitude Modulation 3GPP 3rd Generation Partnership Project ARPU Average Revenue Per User BPSK Binary Phase-Shift Keying DCH Dedicated CHannel E-DCH Enhanced Dedicated CHannel E-DPCCH Dedicated Physical Control CHannel E-DPDCH Dedicated Physical Data CHannel FTP File Transfer Protocol GSN Gateway Serving Node HARQ Hybrid Acknowledge Repeat reQuest HSDPA High Speed Downlink Packet Access HSUPA High Speed Uplink Packet Access HSxPA The combination of HSDPA and HSUPA IP Internet Protocol Kbps kilo-bits per second L1 Layer 1 MAC Media Access Control Mbps Megabits per second MMORPG Massive Multiplayer On-line Role-playing Gaming MMS Multi-media Services ms milli-second MP3 MPEG-1 Audio Layer 3 NRTSV Near Real-Time Streaming Video QoS Quality of Service QPSK Quadrature Phase-Shift Keying R5 UMTS Release 5 R6 UMTS Release 6 R7 UMTS Release 6 R99 UMTS Release 99 RNC Radio Network Controller SF Spreading Factor SI Scheduling Information TTI - Transmission Time Interval UE User Equipment UMTS Universal Mobile Telecommunications System VoIP Voice over IP VPN Virtual Private Network

Motorola, Inc.

www.motorola.com

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Motorola, Inc. 2007 0107networksgms