Principles of Handover in WCDMA

HUAWEI TECHNOLOGIES CO., LTD.
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Huawei Confidential
WCDMA Handover
Principle
HUAWEI TECHNOLOGIES CO., LTD. Huawei Confidential Page 1
Why mobile systems need handover?
Mobile systems are composed by cells
which the coverage is limited.
The mobility of the UE.
Providing the continuous service - the
basic element in QoS.
TS25.331 Flow of Handover and
Related Parameters
TS25.133 Measurement Process
TS25.215 Definitions of Measurement
Indexes
After studying this course, you will:
Understand basic concepts about
handover
Understand the flow of soft handover
Master basic parameters about soft
handover
Master soft handover decision algorithms
Chapter 1 Overview of Handover
Chapter 2 Handover Measurement
Chapter 3 Soft Handover
Chapter 4 Hard Handover
1.1 Purposes of Handover
1.2 Modes and Status of the UE
1.3 Methods and Types of
Handover
1.4 Comparison between Soft
Handover and Hard Handover
Purposes of Handover
Providing the continuous service in mobile system is the basic
element in QoS
Providing continuous communication service is the main purpose
of handover.
The load balance: sharing the resource
The hierarchy divided by speed and service: high efficiency of
using resource
1.3 Methods and Types of
Handover
CELL_DCH
CELL_FACH
CELL_PCH
URA_PCH
IDLE DEAD
RRC connection
UE Modes and Status
CELL_DCH CELL_FACH
CELL_PCH URA_PCH
IDLE
DEAD
- Searching a PLMN
- Find a cell to camps on
- Monitering the paging channel
- Cell reselecting
- Dedicated channel
- Common channel,
low speed service
- Triggered by theCN
- Reducing activities, DRX, saving power and resource
RRC connection
These statuses are only applied
in the UTRAN and UE. They
are transparent to the CN.
UE Modes and Status (Status migration)
SMS
VP/Voice/PS
Low speed PS
Cell Update
No traffic
After several Cell
Updates
URA Update
1.3 Methods and Types of Handover
Handover Methods
Changing cells in the status of CELL_DCH
Handover
Direct retry
Changing residing cells in the statuses of IDLE, CELL_FACH,
CELL_PCH, and URA_PCH
Cell reselection (forward handover)
Handover Types in CELL_DCH
Classify by
System Change
Classify by
Signaling Flow
Classify by
Frequency
Change
Description
Intra- system
Soft handover
Intra-frequency
Low-rate services (such as AMR
Hard handover
High-rate services (such as
PS384K)
Without the Iur interface
Inter-frequency
For the purpose of coverage or
load balancing (e.g. handover
between carriers with different
load, handover to the carrier that
supports the HSDPA service.
WCDMA-to-GSM handover)
Inter-system
(Inter-RAT)
1.3 Methods and Types of Handover
Features Comparison between Soft Handover
and Hard Handover
Item Soft Handover (Softer Handover) Hard Handover
Number of radio links in
the activate set
Several One
Interruption during
handover
No Yes
Frequencies in the cells
before and after
handover
Intra-frequency
Intra-frequency
Inter-frequency or
Inter-RAT
Handover gain
Maximum-ratio combining or selective
combining which can reduce the impact of
fading and transmission power of the UE.
None
Disadvantage
Occupies more resources.
Problems occur when the power of soft
handover cells is unbalanced.
Call drop ratio is
relatively higher
In a word, some resources are wasted to obtain optimal system performance in soft handover.
Soft Handover (Connection before Disconnection)
RNC
NodeB1
NodeB2
Softer Handover (A Special Case of Soft Handover)
RNC
Node B
Cell A Cell B
Hard Handover- (Disconnection before Connection)
RNC NodeB1
NodeB2
Questions
What are the differences between soft
handover, softer handover, and hard
handover?
Why intra-frequency handover is not
always soft handover?
How does handover gain arise? How
much are various handover gains?
Summary
This chapter describes the purposes of
handover, working modes of the UE and
common handover types in the WCDMA
system, compares soft handover and hard
handover and describes respective
advantages and disadvantages.
In addition, this chapter describes a brief
flow of each type of handover.
2.1 Basic Concepts about
Handover
2.2 Three Steps of Handover
2.3 Measurement Control
2.4 Measurement Report
Basic Concepts about Handover
Active set
monitor set
Detection set
Event report
Event to periodic report
Periodic report
Radio link (RL)
Radio link set (RLS)
Maximum-ratio combining
Selective combining
Soft handover gain
Pilot channel (CPICH)
2.1 Basic Concepts about Handover
Three Steps of Handover
Decision
Execution
Measurement
The following figure shows handover
procedure (measurement quality set
to PCPICH Ec/No)
UE measures the CPICH Ec/No
of its serving cell(s) and
neighbor cells. And sends the
measurement report to RNC.
Are handover criteria meet?
Perform a handover
and update relative
parameters
Measure
Decision
Execution
Y
N
2.1 Basic Concepts about Handover

Measurement Control
Measurement control is used to notify the UE of the object to be
measured, neighbor cell list, report method, and event parameters.
When measurement conditions are changed, the RNC notifies the
UE of new conditions.
Measurement Control, normal case
UE UTRAN
Measurement Control
Measurement Control
Measurement Control
The RNC sends a
measurement control message
according to the best cell in the
active set.
Measurement identity
Measurement command
Measurement type
Measurement object
Criteria of measurement report
Measurement report mode
Measurement Objects
Measurement objects
Intra-frequency measurement
CPICH RSCP, CPICH Ec/Io, or Pathloss (normally Ec/Io)
Inter-frequency measurement
CPICH RSCP, CPICH Ec/Io
Inter-RAT measurement
GSM Carrier RSSI, BSIC Identification, and BSIC Reconfirmation
Measurement Model
Measurement time of layer 1 is 200 ms. The vendor
can decide the filtering method.
Filtering parameters of layer 3 can be configured.
Measurement results are reported when the reporting
criteria are met.
Layer 1
filtering
Layer 3
filtering Evaluation
of reporting
criteria
A
D
B C
C'
parameters
parameters
Measurement Model - Layer 3 Filtering
Filtering of measurement results by the UE is calculated according to
the following formula:
F
n
(1-)F
n-1
+M
n
F
n
: new measurement result after filtering
F
n-1
: the last measurement result after filtering
M
n
: the latest measurement result from the physical layer of the UE
0.5
k/2
, K is the parameter in filter coefficient in the measurement
control message (default=3 ). If it is set to 0 , layer 3 filtering is
unavailable.
2.1 Basic Concepts about
Handover
2.2 Three Steps in Handover
Measurement Report
When the measurement reporting criteria are met, the UE
reports the results to the RNC as an event.
Measurement Report
UE UTRAN
Measurement Report
Measurement Report Methods
Event report
The measurement report is sent when the reporting criteria are met.
Periodic report (event to periodic report)
If the RNC does not respond after several events are reported, the
UE switches to periodic report.
The interval between report and total report times are controlled
through parameters.
Intra-frequency Measurement Events
Intra-frequency measurement events are identified
through 1X. They include:
1A: A primary pilot channel enters the reporting range. Means a monitored
cell is good enough that the UE can add it into active set.
1BA primary pilot channel leaves the reporting range. Means a cell in the
active set is not good enough according to the best cell.
1C: Substitution event. A primary pilot channel in an monitor set is better than
that in the active set.
1D: Event of changing the best serving cell.
1F: Event that measurement results of the cells in the active set are lower
than the absolute threshold.
Inter-frequency Measurement Events
Inter-frequency measurement events are identified by 2X.
2B event: The quality of the serving cell is lower than an absolute
threshold value and the quality of another inter-frequency neighbor cell is
higher than another threshold value.
2C event: The quality of the inter-frequency neighbor cell is higher than
an absolute threshold value.
2D event: The quality of the serving cell is lower than a certain absolute
threshold value. It is used to start the compress mode.
2F event: The quality of the serving cell is higher than a certain absolute
threshold value. It is used to stop the compress mode.
Inter-RAT Measurement Events
Inter-RAT Measurement events are identified through 3X.
3A event: The quality of the currently used frequency is lower than an
absolute threshold value, but the quality in a GSM cell is higher than
another absolute threshold value.
3C event: The quality in a GSM cell is higher than an absolute threshold
value.
2D event: The quality of the currently used frequency is lower than a
certain absolute threshold value. It is used to start the compressed mode.
2F event: The quality of the currently used frequency is higher than a
certain absolute threshold value. It is used to stop the compressed mode.
Some Event Report Control Parameters
Relative threshold (reporting range)
Unidirectional difference between two measurement results, for example,
relative threshold value between 1A event and 1B event
Absolute threshold (threshold)
Measurement results reach an absolute value, for example, absolute
threshold values of 1E event and 1F event
Hysteresis
Bi-directional difference between two measurement results
Time to trigger
Time that lasts until the previous threshold value is met
Weight factor (W)
Control calculation of comparative benchmark values
Event Report Decision
Deciding according to the judgment inequation
Example: decision inequation of 1A event
If W = 0, for RSCP and Ec/Io,
10LogM(New)10LogM(Best) - (R1a-H1a/2)
M: measurement results
R: relative threshold values
H: hysteresis
W: weight factor. It is zero generally.
), 2 / ( 10 ) 1 ( 10 10
1
1
a Best
N
i
i New
H R LogM W M Log W LogM
A
+
|
|
.
|
\
|
>

=
2. Other measurement variables (e.g. RSCP, Ec/Io)
), 2 / ( 10 ) 1 ( 10 10
1
1
a Best
N
i
i New
A
+ +
|
|
.
|
\
|
s

=
1. Path loss
- Example of 1A Event Measurement Report
Measurement results in the primary cell
1A event occurs
Event Report Decision (Continued)
Trigger criteria of 1B event:
) 2 / ( 10 ) 1 ( 10 10
1 1
1
b b Best
N
i
i new
A
+ +
|
|
.
|
\
|
s

=
, 2 /
1 1 f f New
H T M s
Trigger criteria of 1F event:
, 2 /
1d Best NotBest
H M M + >
Trigger criteria of 1D event:
, 2 /
1c InAS New
H M M + >
Trigger criteria of 1C event:
- Example of 1B Event Measurement Report
1B event is reported
Delete the cell in which the interference code is 23
Event Report
Event Report
Event Report
Questions
In which cases does the RNC trigger
measurement control?
Is the start time of intra-frequency,
inter-frequency, and Inter-RAT
measurement the same?
When is an event reported?
How to report an event?
What events does intra-frequency
measurement contain?
What events does inter-frequency
measurement contain?
Summary
This chapter describes concepts related to
handover, explains measurement control, which
covers measurement objects, event report.
3.1 Flow of Soft Handover
3.2 Common Parameters and Intra
Frequency Neighbor Cell
Flow of Soft Handover - Adding Radio Link
(Reporting 1A event)
(Add new radio link)
Flow of Soft Handover - Adding Radio Link
Flow of Soft Handover - Deleting Radio Link
(Reporting 1B event)
(Del old radio link)
Chapter 3 Flow of Soft Handover
3.1 Flow of Soft Handover
3.2 Common Parameters and Intra
Frequency Neighbor Cell
Setting Common Parameters of Soft Handover
Relative threshold
1A and 1B event have their individual values.
The value of 1B should be larger than that of 1A, to avoid ping-pong
handover. (1A < 1B)
Default setting: 1A: 3 dB; 1B: 6 dB
Hysteresis
Configure it for each event separately.
Usually the threshold values of 1A event and 1B event are 0 dB and those
of 1C, 1D, 1F are 4 dB.
This value affects the soft handover area of the UE.
MML command for adding cell-class intra-frequency handover
parameters: ADD CELLINTRAFREQHO
MML Command for setting RNC-class intra-frequency handover
parameters: SET INTRAFREQHO
Common Parameters of Soft Handover (Continued)
Time to trigger
Configured it for each event separately.
The value of 1B should be larger than that of 1A, to avoid ping-pong
handover. (1A < 1B)
Default setting: 1A: 320 ms; 1B: 640 ms; 1C, 1D: 640 ms
Lay 3 filtering coefficient
It is shared by all types of intra-frequency measurement.
This parameter is sensitive to the delay of event triggering and ping-
pong handover.
It is usually set to 3.
Intra Frequency Neighbor Cell
The Handover can only happened among the neighbor cells
MML: Add IntraFreqNCell:
Configure neighbor cells with the same frequency
The maxim number of IntraFreqNCell for each cell is 31
Questions
Draw the signaling flow chart of soft
handover.
What is the impact of parameters in soft
handover on system performance?
What parameters can affect
performance of soft handover besides
the parameters described in this
chapter?
Summary
This chapter describes the signaling
flow and common parameters of soft
handover in WCDMA.
4.1 Intra-frequency Hard Handover
4.2 Inter-frequency Hard Handover
4.3 Inter-RAT Hard Handover
Intra-frequency Hard Handover
- Measurement and Event
Measurement
It is similar to that in soft handover
Related events
1D event
- Handover Flow
TARGET NODEB SOARCE NODEB
3. ALCAP ESTABLISHMENT
9. ALCAP RELEASE
- Common Parameters
BeBitrateThd: BE service handover rate decision threshold.
If the maximum rate of transmission channel of the BE service is not more
than this threshold, the system performs soft handover for the users using
this service.
If the maximum rate of transmission channel of the BE service is greater
than this threshold, the system performs intra-frequency hard handover for
the users using this service.
MML: SET HOCOMM
Parameters related to the 1D event
Time to trigger (640ms), hysteresis (4dB)
The parameters should be appropriate so the system can not only track
changes of the signal to perform handover, but also avoid ping-pong
handover.
Inter-frequency Hard Handover Overview
Features
The frequency is different after handover.
For the UE with only one transceiver, the compressed mode should be
started to assist measurement.
Advantages
The handover success rate is higher than that of intra-frequency hard
handover.
The load on carrier frequencies are balanced.
Inter-frequency Hard Handover Overview
(Continued)
Disadvantages
The compressed mode causes extra radio resource
Application scenarios
Uncontinuous coverage of carrier
Load caused handover
Hierarchical cell
Inter-frequency Hard Handover
Measurement in inter-frequency hard handover
Measurement variables:
CPICH RSCP, CPICH Ec/N0
Different measurement types are used for different handover purposes:
Edge of carrier coverage area: CPICH RSCP
Center of carrier coverage area: CPICH Ec/No

- Measurement and Event (Continued)
Measurement Report Methods
Event report
2D event: The quality of current frequency is lower than a certain absolute
threshold value. It is used to start the compressed mode.
2F event: The quality of current frequency is higher than a certain absolute
threshold value. It is used to stop the compressed mode.
2B event: The quality of current frequency is lower than the absolute
threshold value, and the quality of the neighbor frequency is higher than
another absolute threshold value. It is used in coverage handover trigger.
2C event: The quality of the neighbor frequency is higher than a certain
absolute threshold value. It is used in load handover trigger.
Periodic report
- Starting and Stopping of the Compression Mode
Starting conditions of measurement
2D event: If the quality of the currently frequency is lower than a certain
absolute threshold value, the compressed mode is started.
Use the velocity estimation algorithm to decide starting of inter-frequency
handover measurement.
Stopping conditions of measurement
2F event
After the best cell is changed, the new best cell does not have any inter-
frequency neighbor cell.
The timer of inter-frequency measurement expires.
The speed estimate status of the UE changes, and related inter-frequency
handover measurement is disabled according to the hierarchical cell algorithm
In hard handover, if the coverage reason is triggered, handover is stopped
simultaneously.
Inter-frequency Hard Handover Flow
Signaling flow
9. ALCAP RELEASE
3. ALCAP ESTABLISHMENT
SOARCE NODEB
TARGET NODEB
- Common Parameters
Inter-frequency coverage handover parameters:
Methods for report inter-frequency measurement: periodic or event
Inter-frequency measurement variables: CPICH Ec/No or CPICH RSCP.
Inter-frequency measurement layer 3 filtering coefficient, time to trigger,
and hysteresis
Starting and stopping threshold values of inter-frequency measurement:
Configure it respectively for CPICH Ec/No, CPICH RSCP, and configure
2D, 2F event for CS and PS.
Inter-frequency coverage handover threshold value: quality threshold value
of the target cell
Quality threshold value of used frequency in inter-frequency hard handover
Lowest access threshold value in inter-frequency handover
Inter-frequency Hard Handover - Questions
Why the compressed mode threshold for the CS and PS are
configured different?
The Eb/No required by these two services are different, so the
RSCPs are also different.
If the UE uses the CS service and PS service at the same time,
the 2D and 2F parameters of which service are used to decide
starting the compressed mode?
If the parameters of any service meet the threshold, the
compressed mode is started.
Is the compressed mode started immediately after the UE sends
the 2D parameter?
The compressed mode is started after the RNC reconfigure the RB.
Inter-RAT Hard Handover
Overview
Measurement and Event
Handover Decision Algorithm
Handover Flow
Common Parameters
Inter-RAT Hard Handover - Overview
Category
WCDMA FDD <>GSM
WCDMA FDD <>WCDMA TDD
WCDMA FDD <>CDMA2000
Features
The radio access technology (RAT) adopted in the system after handover
is different.
Need compressed mode to assist measurement.
Advantages
Coverage: Solve the problem of transition between different systems.
Capacity: Improve the utilization of old equipments to the greatest extent
(2G->3G)
Disadvantages
The flow is complicated, and the requirement for compatibility of
equipment is high.
The UE is complicated.
Measurement in Inter-RAT hard handover (GSM measurement)
Measurement types:
GSM Carrier RSSI
BSIC Identification
BSIC Reconfirmation
Measurement processing: layer-1 filtering, layer-3 filtering
- Measurement and Event (Continued)
Measurement Report
Event report
2D event: starting GSM measurement
2F event: stopping GSM measurement
3A event: The quality of WCDMA is lower than an absolute threshold but
quality of a GSM neighbor cell is higher than another absolute threshold.
3C event: The quality of a GSM neighbor cell is higher than an absolute
threshold.
Inter-RAT Hard Handover - Decision Algorithm
Decision of Inter-RAT handover
Inter-RAT handover based on coverage
Event
3A event: The quality of the currently used frequency is lower
than an absolute threshold value, but quality of a GSM cell is
higher than another absolute threshold value.
Periodic
Evaluation: Confirm the status according to the GSM RSSI
measurement value and the BSIC of the target cell in GSM and
evaluate the cell of which the GSM RSSI exceeds the absolute
threshold value. If both conditions are met, consider the cell of
which the BSIC is confirmed.
- Decision Algorithm (Continued)
Inter-RAT handover based on non-coverage
Event
The 3C event means that the quality of the GSM cell is
higher than an absolute threshold value.
Inter-RAT Handover Flow

1. Relocation
Required
2. Prepare
Handover
3. Handover
Request
4. Handover
Request Ack
12. Iu Release
Command
13. Iu Release
Complete 14. Send End
Signal Response
5. Prepare
Handover
Response
6. Relocation
Command
7. DCCH : Handover
from UTRAN Command

8. Handover
Detect
9. Handover Complete

10. Handover
Complete
11. Send
End
Signal
Request

UE
Node B SRNC CN MSC BSC
Inter-RAT Handover - Common Parameters
Inter-RAT coverage handover parameters
Starting and stopping thresholds of Inter-RAT measurement: They
determine the thresholds of the 2D event and 2F event. Configure CPICH
Ec/No, CPICH RSCP for the CS service and PS service respectively.
Measurement variables for the 2D event and 2F event in Inter-RAT
handover: Select CPICH Ec/No or PICH RSCP.
BSIC selection confirmation switch
Inter-RAT coverage handover threshold: GSM RSSI threshold in Inter-RAT
coverage handover. Configure it for the CS service and PS service
respectively.
Quality threshold of used frequency in Inter-RAT handover
Configure time to trigger and hysteresis for each event respectively
Penalty duration
Summary - Categories of Handover
According to the signaling characters
Soft handover (softer handover)
Hard handover
According to the properties of source cell and target cell:
Intra-frequency handover
Inter-frequency handover
Inter-RAT handover (UMTS GSM/GPRS)
According to the purpose of handover:
Based on Coverage
Based on Noncoverage
Other Handovers
The WCDMA system supports many handover technologies.
Besides soft (softer) handover described previously, there are
intra-frequency hard handover, inter-frequency hard handover,
and Inter-RAT handover.
If the system supports HSDPA, the WCDMA system also
supports handover between carrier frequency of HSDPA and
ordinary carrier frequency to balance load and to utilize network
resources efficiently.
Refer to supplementary contents for description of intra-
frequency hard handover, inter-frequency hard handover, and
Inter-RAT handover. This part is provided for self-study.
Course
Summary
Course Summary
This course describers the principles,
algorithm, related parameters and
general flow of soft handover in the
WCDMA system.
Thank you
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