UMTS Basics

communications
Basic concepts and planning of

3G networks
UMTS CS performance analysis
and optimisation
Training manual
P3
communications
P3 communications:
Basic concepts and planning of 3G networks
UMTS CS performance analysis and optimisation
Training delivered for Bakcell, 26-30** October 2009

Mark Vanderstappen, P3 communications
p~
networks
MARK VANDERSTAPPEN
P3 networks GmbH
MOBIL +49 CO)
151 571 33 204
mark.vanderstappen ip3-group.com
FAX +49 (0) 151 13 571 33
204
communications
MANAGING DIRECTOR
HAKAN EKMEN
P3 communications GmbH
Dennewartstr. 25-27
52068 Aachen
Germany
hakan-ekmen fp3-group.com
TEL +49 (0) 241 9437 405
MOBIL +49 (O) 151 571 33 235
r*x +49 (0) 151 13 571 33 235
communications
Training outline
Basic concepts and operation of 3G
UMTS link budget
Planning 3G networks
initial tuning for 3G clusters
Air interface signaling for CS services
Soft handover operation
3G-2G inter-RAT handover for CS services
Idle mode behaviour
Introduction to R99 PS services
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Module 1:basic concepts and operation of 3G
UMTS link budget
Initial tuning for 3G clusters
Idle mode behaviour
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ITU terminology for global 3G standard

Frequency range around 2000 MHz
Work on specifications started in 1992
Based on proposals made by different regional standardisation bodies
Europe: UMTS (WCDMA)
* USA: CDMA 2000
IMT2000 stands for International Mobile Telecommunications 2000. This is the ITU
(International Telecommunications Union) terminology for the new global 3G standard, defined
for the frequency range around 2000MHz. Work on the specifications started in 1992, and was
based on the proposals made by the different regional standardisation bodies. The European
standardisation body ETSI (European Telecommunications Standardisation Institute) proposed
UMTS (Universal Mobile Telecommunication System), which is based on Wideband Code Division
Multiple Access or WCDMA. The USA on the other hand came up with a different proposal with
the name CDMA 2000.
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3GPP
* Cooperation
between different regional standardisation bodies on the development of WCDMA
ETSI (Europe)
ARIB (Japan)
CWTS (China)
Fircf roleaco rnmnlDtorl in 1QQQ- DQQ
Alternative cooperation on development of CDMA 2000: 3GPP2
Since the proposals from several regional standardisation bodies was based on WCDMA,
cooperation was started to evolve towards a common 3G standard called UMTS. These
standardisation bodies joined the 3GPP group, which stands for Third Generation Partnership
Project. Main contributors were ETSI, ARIB (Japan) and CWTS (China).
The first specifications release was UMTS R99, completed in 1999. This was followed by R4, R5
and R6, and further specifications are still ongoing (HSPA+, LTE, ...). All specifications can be
found on the 3GPP website: www.3gpp.org.
An alternative cooperation, 3GPP2, was also started to work on the further development of
CDMA 2000.
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Multiple access schemes
Overview of multiple access schemes:

TDMA:
Different users are using same frequency/carrier, but different time slot
Separation in time domain
* FDMA:
* Different users are using different frequency/carrier
Separation in frequency domain

CDMA:
Different users are using different (separation) codes, but same frequency/carrier all
the time (no time slots)
Separation in code domain
Also a combination of multiple access schemes can be used, e.g GSM
FDMA: multiple 200kHz carriers
TDMA: one carrier with 8 time slots
Several multiple access schemes are available to introduce separation between different
simultaneous users: TDMA, FDMA and CDAAA.
In TDMA (Time Division Multiple Access) several users use the same frequency/carrier, but get
allocated a different time slot. This way separation is achieved in the time domain.
FDAAA (Frequency Division Multiple Access) achieves user separation by allocating different
frequencies/carriers. Hence users are separated in the frequency domain.
In CDMA multiple users are not separated in time or frequency domain. They use the same
carrier/frequency all the time, and separation is achieved by using orthogonal codes. This will
be explained in detail in this course.
Modern telecommunication systems, like GSM, are often using a combination of different
multiple access schemes. GSM is using both FDAAA (multiple 200kHz carriers) and TDAAA (8 time
slots per carrier).
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FDD and TDD

UMTS is using Wideband COMA (WCDMA)
CDMA is a spread spectrum system
Each UMTS carrier has a 5MHz bandwidth

Two modes of operation are available:
FDD (Frequency Division Duplex)
* Uplink and downlink in two different 5MHz carriers
TDD (Time Division Duplex)
Uplink and downlink in same 5MHz carrier, but separated in time domain
Ideal to accommodate for asymmetrical traffic
Currently FDD mode is used
Operators are allocated several 5MHz carriers in the downlink
60MHz available, resulting in 12 downlink carriers of 5MHz
In one country, four operators could be allocated three downlink carriers

Every 5MHz carrier in the downlink is linked to a 5MHz carrier in the uplink allowing
communication in both directions
UMTS is based on Wideband CDMA, which is a spread spectrum system. The narrowband signal
is spread over the complete UMTS 5MHz carrier bandwidth. Two modes of operation are
available in UMTS: FDD (Frequency Division Duplex) and TDD (Time Division Duplex). However,
only the FDD mode is used by the majority of operators.
In the FDD mode uplink and downlink are using different 5MHz carriers, and uplink is using the
lower 5MHz band. TDD on the other hand is using the same 5MHz carrier for both uplink and
downlink, but both directions are separated in the time domain. This is ideal to cope with
asymmetrical traffic.
For the FDD mode 60MHz is available for the uplink, and another 60MHz for the downlink. This
means 12 carriers of 5MHz are available for both uplink and downlink. This bandwidth is
sufficient to provide four operators in one country with each three carriers.
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UMTS spectrum allocation
uplink
FDD (sat)
TDD
TDD
60MHz
1885
1920
1980
2010
2025
Frequency (MHz?
The figure above shows the spectrum allocation for UMTS, both for FDD and TDD mode. For
FDD, 60MHz is available both in uplink and downlink. For FDD satellite an additional 30MHz is
available for uplink and downlink. For TDD a total of 50MHz is available.
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WCDMA spread spectrum
signal point of view

Transmitter
The figure above shows a spread spectrum transmitter in action. The transmitter converts a
narrowband signal to a wideband signal fully occupying the 5MHz carrier. Since the energy
before and after spreading is conserved, the signal will be converted from high power level to
low power level. For the actual spreading, the transmitter applies a spreading code on the
narrowband signal.
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Spread spectrum - wanted signal

power
Transmitter blue user

power
(blue user code)
Spreading
Spreai
__
frequency
frequency
Air interface
Receiver blue user
power
power
Pathloss on air interface:

b<a
De-spreading (blue user code)
frequency
frequency
The figure above shows the processing of the wanted signal, both at transmitter end (top) and
receiver end (bottom). The signal of one specific user is considered (blue user).
The transmitter is spreading the narrowband user signal to a wideband signal fully occupying
the 5MHz carrier. The energy remains unchanged, as mentioned before, leading to a lower
power level at the output of the transmitter.
This signal travels over the air interface towards the receiver, and will arrive at the input of
the receiver with a lower power level due to path loss. The receiver will perform de-spreading
to get the required narrowband signal at the output.
Both spreading and de-spreading will be performed with the same code, as will be explained
later in this chapter.
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thermal noise
power
Spreading (blue user code)
__
frequency
Thermal noise not affected

by spreading a de-spreading
frequency
Air interface
Receiver blue user
power
power
S/N >0
S/N < 0
frequency
frequency
Of course not only the wanted signal must be considered, but also the thermal noise which is
present at all stages of transmitter and receiver. This thermal noise is not impacted by any
spreading or de-spreading action.
Due to path loss, the wanted signal level at the input of the receiver will drop below the
thermal noise level. The signal-to-noise ratio at this point will be negative. By applying de
spreading to the wanted signal, the receiver will uplift the power level of the wanted signal
leading to a positive signal-to-noise ratio.
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thermal noise
narrowband interference

power
power
1=-
frequency
frequency
Air interface
"
Receiver blue user
power
power
Any code applied on

narrowband signal results in
_wideband signal
-spreading (blue user code)
frequency
frequency
The impact of narrowband interference (red signal) on the blue user receiver is shown in the
figure above. As mentioned before both spreading and de-spreading are performed by
multiplying with the same code. Any code applied on a narrowband signal will result in a
wideband signal. As a consequence the narrowband interference will be converted to a
wideband signal leading to an additional degradation of the signal-to-noise ratio at the output
of the receiver.
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power
thermal noise
wideband interference

power
(blue user code)
Spreading
Spreai
zzu
frequency
frequency
Air interface
Receiver blue user
power
power
Wrong code applied: no

de-spreading
frequency
frequency
The green signal at the input of the receiver represents a wideband interferer. This signal was
converted to a wideband signal by applying the green user spreading code. This wideband
signal can only be converted to a narrowband signal by applying the same green user de
spreading code again. Applying the wrong de-spreading code has no impact on the wideband
interferer. Again, this wideband interferer will have a negative impact on the signal-to-noise
ratio at the output of the receiver.
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| Spread spectrum - wanted signal + total interference level

power
power
frequency
frequency
Air interface
Receiver blue user
The figure above shows the total interference level at the output of the blue user receiver.
This interference consists of thermal noise, narrowband and wideband interference. In this
specific case the total interference level is above the wanted signal level, leading to a
negative signal-to-noise ratio and bad performance.
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WCDMA spread spectrum
bit point of view

Transmitter
narrowband signal (input)

(de-)spreading code
wideband signal (output)
wideband signal nput i

(de- (spreading code
narrowband signal (output)

Receiver
Above one can see how spreading and de-spreading is performed on bit level. This is done by
multiplying (XNOR operation) with the same code. The bits from the narrowband signal are
converted to the chips of the wideband signal with a chip rate of 3.84Mcps (fixed value for
UMTS). The (de-)spreading code is a wideband code and consists of chips.
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WCDMA spread spectrum - bits & chips

bit
o |
t' o I
I narrowband signal
Tc
nnnftpnii iionoi1 1 1 nFio rn

1 1
wideband signal
3.84Mcps
x.%
;\|JLA
chip
power
l/ty
wideband signal
narrowband signal
&
1/Tb
TV
frequency
frequency
Time domain
The narrowband signal consists of bits with a duration of Tb. The wideband signal consists of
chips with a shorter duration Tc. The chip rate of the wideband signal is 3.84Mcps, this means
3840000 chips per second.
Frequency
domain
The bandwidth of the signal is inversely proportional to its bit/chip duration. As a
consequence, the signal with the longer bit duration Tb is narrowband compared to the signal
with the short chip duration Tc.
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Eb/No
power
S/N- Eb/No
>
frequency
Narrowband signal-to-nolse ratio

Energy per bit / noise power density
Required signal-to-noise ratio at output of receiver
Service and vendor dependent
Eb/No represents the required signal-to-noise ratio of the narrowband signal at the output of
the receiver and this should be positive. This is the energy per bit divided by the noise power
density. The required Eb/No value is service and vendor dependent. Typical Eb/No values are
5-7dB for voice and 1dB for the 384kbps data service.
VOia:
kit
5'?
U.
UL us.
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power
A
S/N= Ec/No
<
0
frequency
Wideband signal-to-noise ratio
" Energy per chip / noise power density

Signal-to-noise ratio at input of receiver
Ec/No represents the wideband signal-to-noise ratio at the input of the receiver. This is the
energy per chip divided by the noise power density. The Ec/No value can easily be measured in
the field with a scanner.
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Processing gain Gp
power
power
frequency
Output
Narrowband signal
Input
Wideband signal
Chips
<*S/N- Eb/No _)>
<-4/N-_Ec/No_<_0-
Processing gain Gp [dB]= 10log(chip rate/bit rate)

S/N improvement between input and output receiver
, \_/
0J&
The figure above shows the wanted signal, both at input and output of the receiver. At the
input of the receiver, the wanted signal level is below the thermal noise resulting in a
negative signal-to-noise ratio. This wideband signal consists of chips. After de-spreading by the
receiver the narrowband signal is recuperated at the output. This signal consists of bits and
has a positive signal-to-noise ratio. This means the signal-to-noise ratio improvement, which is
called the processing gain, between input and output of the receiver is actually achieved by
the de-spreading action. This processing gain can be calculated with the formula indicated in
the figure, and only depends on chip rate and bit rate.
CM j> tcJc<L* -1
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Mr-
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OVSF codes
Used to perform the actual spreading and de-spreading (increase transmission bandwidth)
" Very good orthogonality characteristics for channel/ user separation

Orthogonality lost when orthogonal OVSF codes time shifted against each other
Easy to reproduce OVSF spreading codes
The OVSF codes or Orthogonal Variable Spreading Factor codes are used to perform the actual
spreading and de-spreading. These codes will increase the transmission bandwidth, resulting in
the wideband signal. Since these codes are used to perform user/channel separation, very
good orthogonality characteristics are needed. This orthogonality is lost when the orthogonal
OVSF codes are time shifted against each other. This is no problem in the downlink direction,
but results in orthogonality problems in the uplink direction between different users, since
UMTS is not a synchronised system. It is very easy to reproduce the OVSF spreading codes as
can be seen in the figure above. From every code two new codes can be derived, resulting in
the so-called code tree. This code tree will be studied in detail in the following slides.
24
The figure above shows the OV5F code tree. Creation of this tree is quite straightforward.
From every branch two new branches are created: the top branch repeats two times the
previous code, the bottom branch consists of the previous code and the opposite of this code.
A code consisting of x chips has Spreading Factor x. If the narrowband user signal is multiplied
with a code with SF4, every bit of user data is replaced by four chips, thus resulting in a
wideband signal. Another interesting property of the code tree is that the number of codes
available with a specific SF is equal to this SF. At SF4 for example, four OVSF codes are
available. In UMTS R99, Spreading Factors range from 4 to 512, allowing the spreading of all
user data rates to 3.84Mcps.
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OVSF code tree usage - example
The figure above shows how orthogonality can be provided between different users, by
allocating orthogonal OVSF codes from the code tree. To achieve this, the code tree rules have
to be followed. Lets illustrate this with an example. User 1 is allocated the bottom code with
Spreading Factor 2 as can be seen above. All codes derived from this used code are not
orthogonal with this code, and have to be cancelled out as can be seen on the figure. Also all
the codes on the way to the root of the tree have to be cancelled out, since our selected code
was derived from these codes. Next, one of the remaining codes with Spreading Factor 8 is
allocated to the second user. This code is orthogonal with the user 1 code since it was not
cancelled out before. Also for user 2, all codes on the way to the root and all codes derived
from the user 2 code have to be cancelled out. Finally, also user 3 is given one of the
remaining codes from the code tree with Spreading Factor 4. This code was not cancelled out
before and provides orthogonality with user 1 and user 2. Again, all codes to the root and all
codes derived from the user 3 code have to be cancelled out since they do not provide
orthogonality anymore.
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WCDMA 2 stage coding process
OVSF code
Scrambling code SC
Bit rate
Chip rate
No single code type has all needed properties
Code tree re-use both in uplink and downlink
As a consequence a 2 stage coding process is needed
OVSF code performs the actual spreading from bit rate to chip rate
Scrambling code SC has no impact on bandwidth
Up to now we have seen how spreading can be done by using OVSF codes from the code tree.
This code tree is re-used both in uplink and downlink. This means all cells in the network use
the same code tree in the downlink, and no coordination takes place between these cells on
code usage. Also all users use the same code tree in the uplink, and no coordination on code
usage takes place between these different users. Another issue is that no single code type has
all the needed properties. As a consequence a two stage coding process is needed in WCDMA:
spreading (OVSF code) and scrambling (SC). The OVSF code performs the actual spreading from
bit rate to chip rate, and the Scrambling Code has no further impact on the bandwidth. The
need for the additional Scrambling Code stage will be illustrated in the following slides.
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WCDMA 2 stage coding process - downlink

Code tree cell 1
UE1 (SF4)
Cell 1
UE2 (SF4)
UE3 (SF4)
Perfect orthogonality in downlink between all users in cell 1
The figure above and the next two slides illustrate the need of a two stage coding process in
the downlink. Initially we assume a network with one isolated cell, using the complete code
tree in the downlink. We assume three users are present in this cell, all using the same service
with the same Spreading Factor 4. It will be explained later on in this chapter that the top
code for every Spreading Factor is not available anymore because of some Common Control
Channels like the CPICH. As can be seen easily, perfect orthogonality is achieved between the
three users with the code allocation used in the figure. This allocation does not allow a new
user anymore in this cell using the same service (with the same SF). So far no problem.
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Code tree cell 1
Cell 2
Cell 1
Code tree cell 2
no separation in downlink between users in different cells

second stage of coding needed for cell separation
In the figure above a second cell is introduced in the network. This cell is re-using exactly the
same code tree in the downlink. Because of this, several users in these two cell are not
separated anymore in the downlink. In the example above, UE1 and UE4 are using the same
OVSF code, and as a consequence they are not separated anymore. The same is the case for
UE2 and UE5. Because of this, a second stage of coding is needed in the downlink to achieve
cell separation.
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Celts are allocated different downlink SC

downlink separation achieved between users in different cells
-> SC does not provide orthogonality
In the figure above the two cells are allocated different downlink Scrambling Codes, and a two
stage coding process is used now. UE1 and UE4 are still using the same OVSF code from the
code tree, but a different Scrambling code is used in the downlink since both users are served
by different cells. This downlink Scrambling Code does not provide orthogonality between the
users, but nevertheless downlink separation is achieved.
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The figure above and the next two slides illustrate the need of a two stage coding process in
the uplink. Initially we assume a network with one isolated cell. We assume three users are
present in this cell, all using the same service with the same uplink Spreading Factor 4. All
users in the network re-use exactly the same code tree in the uplink. As can be seen easily,
perfect orthogonality (if codes are not time shifted against each other) is achieved between
the three users with the OVSF code allocation used in the figure.
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WCDMA 2 stage coding process - uplink
In the figure above a second cell is introduced in the network. Users in this second cell re-use
exactly the same code tree in the uplink as the users in the first cell. Because of this, several
users in these two cell are not separated anymore in the uplink. In the example above, UE1
and UE5 are using the same uplink OVSF code, and as a consequence they are not separated
anymore. Because of this, a second stage of coding is needed in the uplink to achieve user
separation.
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In the figure above all users are allocated different uplink Scrambling Codes, and a two stage
coding process is used now. UE1 and UE5 are still using the same OVSF code from the code
tree, but now a different Scrambling code is used in the uplink. This uplink Scrambling Code
does not provide orthogonality between the users, but nevertheless uplink separation is
achieved.
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WCDMA 2 stage coding process - OVSF codes

Downlink:
Provide orthogonality between different channels within 1 cell
To same user
To different users
OVSF code tree re-used by every cell
Uplink:
Provide orthogonality between channels from same UE
OVSF code tree re-used by every UE
OVSF code performs the actual spreading from bit rate to chip rate
As a conclusion the slide above summarises all details on the OVSF codes.
In the downlink direction, OVSF codes are used to provide orthogonality between different
channels within one cell. These channels can belong to the same user or to different users.
The OVSF code tree is re-used by every cell in the downlink.
In the uplink, OVSF codes provide othogonality between channels from the same user, and the
code tree is re-used by every UE in the uplink.
The OVSF codes are used to perform the actual spreading from bit rate to chip rate.
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WCDMA 2 stage coding process - Scrambling Codes
Downlink:
Cell separation
512 scrambling codes available: 64 code groups with 8 SCs

Scrambling code planning needed instead of 2G frequency planning
*
Uplink:
User separation
Around 17 million scrambling codes available
No impact on bandwidth
Do not provide orthogonality
As a conclusion the slide above summarises all details on the Scrambling Codes.
In the downlink direction, Scrambling Codes are used to provide cell separation. 512
Scrambling Codes are available in the downlink, divided in 64 groups of 8 Scrambling Codes.
Scrambling Code planning is now needed instead of 2G frequency planning, since all sites use
the same frequency (in a one carrier 3G network).
In the uplink, Scrambling Codes provide user separation, and about 17 million uplink
Scrambling Codes are available. They do not provide orthogonality but only separation, and
have no impact on the bandwidth.
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Noise Rise
power
- Total interference
lo -
NR: Noise Rise

kTBF
- Total effective noise
NF: node B noise figure

kTB= -108 dBm
- Thermal noise
Vertical axis: uplink power received by node B

Total interference lo
All noise
Total received power from all users
Noise Rise:
Increase in total received power caused by user activity

Blue power level: no users present transmitting power
Red power level: users present transmitting power
Depending on user activity/ uplink load
The concept of Noise Rise is explained in the figure above. The vertical axis represents the
uplink power received by the node B. Different power levels are indicated in this figure. The
thermal noise, calculated as kTB, is the noise that is omnipresent and equal to -108dBm. The
node B receiver is not perfect and is causing additional noise, characterised by the node B
noise figure. This results in the total effective noise kTBF. Up to now no users were considered
transmitting power. When users are present transmitting uplink power, a rise of power level at
the node B receiver will occur, which is called the Noise Rise. The total received power at the
node B, including both noise and user transmitted power, is called total interference lo. As a
conclusion the Noise Rise is caused by user activity, and as such is related to uplink load.
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Uplink load
Relation between uplink load and noise rise: NR= 1/(1-LOADup)
LOADup- 0%
NR- 0 dB
LOADup= 20% -> NR= 1 dB
LOADup- 50%
NR= 3 dB)
LbSDup=~60V-+NIR= 4 dB
LOADup- 100%
NR= infinity (pole capacity)
The relation between Noise Rise and the uplink load LOADup can be found in the formula
above, and is displayed in the graph. The Noise Rise is calculated for some of the most popular
uplink load values. The Noise Rise goes to infinity when the uplink load approaches 100%. This
is called the pole capacity, i.e. the capacity that can never be reached.
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Uplink load example

power
100%
- Total received power = lo
NR= 3 dB caused by user activity

50%
- Received power without user activity kTBF
1
0 w
LOADup= 50% and NR= 3 dB

*
Half (50%) of the total received power is caused by user activity
To illustrate the physical meaning of the relation between Noise Rise and uplink load, the
example in the slide above is given. A Noise Rise of 3dB is corresponding to an uplink load of
50% (see formula). As is generally known, a 3dB power increase corresponds to a doubling of
power. If the user activity is causing a doubling of power level or a 3dB Noise Rise, as is
indicated in the figure above, then 50% of the total received power is caused by user activity
(i.e. uplink load). In the same way, a Noise Rise of 4dB would mean 60% of the total received
power is caused by users, and this 60% represents the uplink load.
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Downlink load
Ratio between used node 8 transmit power and maximum node B transmit power
A downlink load of 100% means the node B is using all its available power
The concept of downlink load is a lot easier compared to the uplink load concept. The
downlink load represents the ratio between the used node B transmit power and the maximum
node B transmit power. A downlink load of 100% would mean the node B is using all its
available power.
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Uu
The UMTS network architecture is displayed above. The sites are called node B, where one
node B typically consists of three cells. The RNC or Radio Network Controller is the network
element that controls multiple node Bs. The interface between node B and RNC is called lub
interface, and the interface between several RNCs is called lur. The RNC is connected to a
switch, which is different for CS and PS domain. The CS domain switch is called MSC, and the
interface between RNC and MSC is called lues. The PS domain switch is called SGSN, and the
interface between RNC and SGSN is called lups. The user device is now called UE, User
Equipment, and is connected through the Uu interface, which is the air interface, to the
network.
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Air interface frame structure

10ms Radio Frame (38400 chips)
l
Time Slot (2560 chips)
10 11 12 13
14
A 10ms Radio Frame structure is used both for uplink and downlink physical channels
Each Radio Frame consists of 1 5 Time Slots
The UMTS air interface frame structure is displayed in the figure above. A 10ms Radio Frame
structure is used both for uplink and downlink physical channels. Since the UMTS chip rate is
3.84Mcps, a 10ms Radio Frame consists of 38400 chips. Each 10ms Radio Frame consists of 15
Time Slots, and as such each Time Slot consists of 2560 chips.
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CPICH - Common Pilot Channel

10ms Radio Frame (38400 chips)
Transmitted by every cell in the network
* Does not carry any information, only a predefined pilot sequence identical for
all cells in the
network
*
The 2 stage coding process is applied to this predefined pilot sequence
* The CPICH acts
as a kind of reference channel used by the UE to assess quality and signal
strength of a cell
The figure above shows the structure of the CPICH, the Common Pilot Channel. This physical
channel is transmitted by every cell in the network, and acts as a kind of reference channel
used by the UE to assess quality and signal strength of a cell. The CPICH does not carry any
information, but contains a predefined pilot sequence identical for all cells in the network.
The two stage coding process is applied to this predefined pilot sequence, where the top code
with SF256 is used together with a cell specific Scrambling Code. Since the first OVSF code
with SF256 is used by the CPICH, all the OVSF codes on the way to the root are excluded for
downlink usage as they do not provide orthogonality anymore. This is the reason why the top
OVSF codes from the code tree cannot be used anymore to carry downlink traffic.
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Module 2: UMTS link budget

UMTS link budget

Idle mode behaviour
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| Link budget methodology
Only calculation of uplink link budget
In general, this is the limiting direction
Too many assumptions needed for downlink link budget
Calculation of maximum allowable path loss (dB) between transmitter and receiver
The average inter-site distance can be calculated from this maximum allowable path loss
* Only
suitable for dimensioning and nominal plan
More accurate planning tool predictions needed to calculate coverage area from maximum
allowable path loss
In the next slides, the methodology regarding link budget calculation will be explained in
detail. Under low to normal load conditions, the uplink coverage area is smaller compared to
the downlink coverage area. Only under extreme load the opposite will be the case. This
means that in general the uplink is the limiting direction. That is why we will only calculate
the uplink link budget. Also, too many assumptions are needed for the downlink link budget,
and it is better to perform Monte Carlo simulations regarding this direction. With the uplink
link budget the maximum allowable path loss is calculated between transmitter and receiver,
and this is expressed in dB. From this maximum allowable path loss the average inter-site
distance can be calculated, but this is only suitable for dimensioning and the nominal plan. In
general, more accurate planning tool predictions are needed to calculate the coverage area
from the maximum allowable path loss.
44
The figure above is used to derive the basic equation for the uplink link budget. All losses and
gains between transmitter and receiver are taken into account for the uplink propagation
path. Lpathmax is the maximum allowable path loss that needs to be calculated. Before this can
be done, some assumptions have to be made on UE and node B parameters. Also Quality Margin
MQ and Receiver Sensitivity RXsens need to be calculated before. As will be explained later in
this chapter, the Quality Margin MQ takes into account several factors influencing coverage.
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Calculation of maximum allowable path loss Lpathmax

The following needs to be done before the basic equation can be solved for Lpathmax:
Assumptions on UE/node B parameter values
Calculation of Quality Margin MQ
* Calculation of the Receiver Sensitivity RX
The slide above gives more details on all calculations needed for the uplink link budget. In the
first step some assumptions on UE and node B parameter values have to be made. Next the
Quality Margin and Receiver Sensitivity can be calculated. Finally, the basic equation can be
resolved for the maximum allowable path loss.
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| UE parameter values
" The following typical parameter values will be considered for the link budget calculation:
Parameter
GantUE
Mobile
Data card
21dBm
24dBm
OdBi
2dBi
3dB
OdB
With these values the EIRPUE can be calculated: :IRP
P,
. + Giln,UE
L,OJ)
The table above shows some typical parameter values regarding the UE, both for mobile and
data card. PUE is the maximum UE transmit power, which can be different for mobile and
data card. GantUE is the UE antenna gain. For mobiles a zero gain is assumed because of the
integrated antenna. For data cards on the other hand, external antennas are used resulting in
a typical gain of 2dBi. The body loss is caused by holding the mobile next to the head, as is
done for voice calls. This loss is typically around 3dB. The EIRPUE represents the Equivalent
Isotropic Radiated Power from the UE. This is the power radiated by the UE with the above
mentioned gains and losses taken into account.
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Node B parameter values
The following typical parameter values for the node B can be used in the link budget
calculations:
Parameter
Value
kTB
-108dBm
NF
5dB
NR
Depending on uplink load
GP
Depending on service
Eb/No
Depending on vendor/service
Voice: 5dB (typical value)
384kbps: 1dB (typical value)
The noise rise NR and processing gain GP need to be calculated based on the load/service
assumptions
The table above gives some typical values on node B parameters regarding the uplink link
budget. In general, the thermal noise kTB does not need to be calculated and is equal to
-108dBm. A typical value for the node B noise figure NF is 5dB. The Eb/No value is service and
vendor dependent, and typical values can be found above. The Noise Rise NR and the
Processing Gain Gp need to be calculated based on assumptions regarding service and load.
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Quality Margin MQ
The Quality Margin MQ takes into acount several factors influencing coverage
Slow Fading, caused by shadowing (e.g. buildings)
Slow Fading Margin MSF needed for higher (> 50%) coverage probability
Typical values for MJF : 7d8 - 1 1dB (from low to high coverage probability)
Fast Fading, caused by multipath propagation, compensated by fast power control
Power control not perfect, Fast Fading Margin M needed
Typical values for M: 2dB (slow UE) / OdB (fast UE)
Building Penetration Loss, caused by propagation through walls, windows, ...

* Extra power Qp needed for indoor coverage
Typical values for Lgp : 15dB (suburban), 20-30dB (urban)
Soft Handover Gain, caused by multiple simultaneous radio links

Typical value for
GSH0 : 2-3dB
Calculation of Quality Margin: MQ
=M
MFF
LBP - GSH0
The Quality Margin MQ takes into account several factors influencing coverage: Slow Fading,
Fast Fading, Building Penetration Loss and Soft Handover Gain.
Slow Fading is caused by shadowing, by buildings for example. A Slow Fading Margin M is
needed to achieve a cell edge coverage probability above 50%. Typical values for this Slow
Fading Margin range between 7dB and 1 1dB. The higher the margin, the higher the coverage
probability.
Fast Fading is caused by multipath propagation, and can be compensated partly by fast power
control. Since power control is not working perfectly, a Fast Fading Margin M is needed.
Typical values for this margin can be found above, both for slow and fast moving UEs.
Building Penetration Loss is caused by propagation through walls and windows. Because of this
additional attenuation, extra power is needed to provide indoor coverage. Values for this
Building Penetration Loss LBP are depending on clutter type, and typical values can be found
above.
Soft Handover Gain corresponds to the reduced transmit power needed, enabled by multiple
simultaneous radio links offering redundancy. Typical value for this Soft Handover Gain GSH0 is
2-3dB.
Above one can find the formula to calculate the Quality Margin. The first three factors in this
formula result in a reduction of the maximum allowable path loss (+ sign in the formula), the
last factor results in an increase of the maximum allowable path loss (- sign in the formula).
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Quality Margin MQ - Fading
The figure above shows the signal power in function of the distance from the transmitter
Average signal strength (black)

Can be calculated with a propagation model
Slow fading (red)
Results in variation of signal power around the average value

50% of time signal strength is above average value, 50% of time below average
Fast fading (blue)
Very fast variation of signal power
The figure above shows the signal power in function of the distance from the transmitter. The
average signal strength, indicated in black, can be calculated with a propagation model. Slow
fading is causing the signal power to fluctuate slowly around the average value. Half of the
time signal power is above the average, half of the time below. Fast fading is indicated in
blue, and results in a very fast variation of the signal power.
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Quality Margin MQ - Slow fading

Signal power
Actual signal strength

with slow fading using M.jf
Average signal strength x+M
AvAyAy/
Average signal strength x
Actual signal strength

with slow fading
Position on
cirkef
* *
V\
'$?Ai
Aobst ruction between Tx and Rx
Slow fading caused by obstructions between Tx and Rx
Average signal strength at distance d from Tx can be calculated with propagation model
Signal strength at distance d is higher than x in only 50% of the measurement points
Stow fading margin MJF needed in case cell edge probability should be above 50%
Tx has to transmit
more power
After applying slow fading margin
in figure, 100% of measurement points with signal
strength above x
Slow fading is caused by shadowing, i.e. obstructions between transmitter and receiver. The
average signal strength at a distance d from the transmitter Tx can be calculated with a
propagation model. This average signal strength x is indicated in the figure above. The signal
strength, indicated in red, is influenced by slow fading when driving around on the circle with
radius d. As a consequence, the signal strength at a distance d is above the average x in only
50% of the measurement points. In case this cell edge probability should be above 50%, a Slow
Fading Margin M would be needed. This means the transmitter has to raise its power with M
dB. The Slow Fading Margin applied in the figure above results in 100% of the measurements
points with signal strength above x, and this situation is indicated in blue.
51
The figure above shows how the Receiver Sensitivity RXsens can be calculated. This Receiver
Sensitivity is corresponding to Ecmjn, the minimum energy per chip needed at the input of the
receiver to get the required Eb/No at the output of the receiver. This Receiver Sensitivity is
not a fixed value but is depending on service and load. The starting point for the calculation is
the thermal noise level, kTB. This is the noise level without any users or network present. A
good approximation for this thermal noise level is -108dBm. Next, the imperfection of the
node B receiver is taken into account by introducing the node B Noise Figure NF in the link
budget. This results in the total effective noise kTBF, the noise level which takes the network
into account. Next the users should be introduced into the network, transmitting uplink
power. This results in a Noise Rise NR measured at the input of the receiver of the node B. The
resulting power level lo is called the total interference, the power level taking ALL users into
account. In the next step we have to make a small simplification, and we assume lo = No. Here
No represents the total interference level at the input of the receiver of the node B, not
taking into account the power of one specific user. From a user point of view its own power is
not considered as interference. The difference between lo and No is the power of only one
user, and this difference is ignored in the simplification. From the No level the Eb level can be
calculated, since for every service a specific Eb/No value is required. Finally the Ec can be
alculated since the Processing Gain GP is uplifting the Ec level up to the Eb level. This Ec
level calculated is the Receiver Sensitivity or he Ecmjn needed to get the required Eb/No at
the output of the receiver.
eP
h
? -90s
3s
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Impact of TMA
Should be placed as close as possible to antennas
>
Positive impact in uplink: increase of the uplink coverage area
Decrease of noise figure NF: noise figure of TMA (typically 3dB) can be used
usually tuned in such a way to compensate for
Cancellation of feeder loss L,wdfr: TMA is

feeder loss
Negative impact in downlink: introduction of small additional loss (around 1 dB) leading to
reduction of the downlink coverage area
Use of TMA also increases UE battery life
Installation procedure more complicated
Max
%(3ix)&
j /
TMA startds for Tower Mounted Amplifier. For proper operation, the TMA should be placed as
close as possible to the antennas. Otherwise the positive impact on the link budget is reduced.
The TMA only has a positive impact in the uplink direction: the uplink coverage area is
increased. This is resulting from Noise Figure reduction and cancellation of the feeder loss as
described above. Normally, not the full gain of the TMA is used because this would lead to
operation in the non-linear area and unbalance between uplink and downlink. The impact on
the downlink is negative. A small additional downlink loss, around 1dB, is introduced leading to
a reduction of the downlink coverage area. TMA also increases the UE battery life, but leads to
a more complicated installation procedure.
IA-PH
II
e-
+ <i
-2>?~U3
y y/ - 102
>-
It
-f
- Jc*
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Cell breathing
Increasing uplink load leads to smaller coverage area
The figure above illustrates cell breathing. Cell breathing means that the load of the cell is
influencing the coverage area. The higher the load, the smaller the coverage area. As an
example the coverage area for the voice service is shown in the figure above, both for uplink
load 10% and 90%. This will also be calculated during the link budget exercises.
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Coverage area for different services
The higher the data rate, the smaller the coverage area for equal uplink load
The figure above illustrates another important principle regarding 3G coverage. The higher the
data rate, the smaller the coverage area for equal uplink load. This is a very important
concept regarding 3G network planning, and as a consequence continuous 3G coverage will
probably not be available for all service types and data rates. This will be discussed in more
detail in the last chapter.
55
edge, can be calculated. As was discussed before the CPICH is a reference channel
transmitted, with fixed power at the node B, in the downlink from every cell. Typical CPICH
transmit power at node B is 33dBm. The cell edge is reached when the path loss is equal to the
maximum allowable path loss. At the cell edge the measured CPICH power in the field should
be equal to PcpicH@uE@ceiiedge ar|d can be calculated with the formula shown in the slide above.
However, since different services have different maximum allowable path loss, these services
will also have different coverage thresholds.
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Concept of soft capacity - own celt interference and other cell interference
Cell 1 (with active user)
Cell 2 (without active user)
Every cells interference level is represented by water (red/green) in a glass

The red dashed level on the glass represents the maximum allowed interference level (maximum
noise rise) in the cell
Every active user in a cell transmits uplink power
This results in own cell interference in the cell where the user is located (noise rise caused
by traffic in the own cell, green)
This results in other cell interference in all other neighbour cells, because of uplink power
leaking into neighbour cells (noise rise caused by interference from other cells,
In the figure above every cells interference level is represented by water (red or green) in a
glass. The red dashed level on the glass indicates the maximum allowed interference level in
the cell, or the maximum Noise Rise.
Every active user in a cell transmits uplink power.
This results in own cell interference in the cell where the user is located. The Noise Rise here
is caused by traffic in the own cell and is indicated by the green water level.
This also results in other cell interference in all other neighbour cells, because of uplink power
leaking into neighbour cells. In this case the Noise Rise is caused by interference from other
cells and is indicated by the red water level.
This is illustrated in the figure above.
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i Concept of soft capacity
scenario 1
No user activity in centre cell and surrounding cells
All cells have zero interference (noise rise)
The figures in this slide and the next ones illustrate the concept of soft capacity. The shown
configuration contains one centre cell (indicated in blue) surrounded by seven neighbour cells.
In the first scenario no user activity is present in any cell, resulting in zero Noise Rise for all
cells.
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No user activity in surrounding cells
Maximum user activity in centre cell, up to maximum interference level
User activity in centre cell causes other cell interference in surrounding cells
In scenario 2, maximum user activity takes place in the centre cell, up to the maximum
interference level. At the same time no user activity is present in the surrounding cells.
The user activity in the centre cell results in own cell interference indicated in green.
The user activity in the centre cell results in other cell interference in the surrounding cells
indicated in red.
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No user activity in centre cell
Limited user activity in surrounding cells
User activity in surrounding cells causes other cell interference in neighbour cells
In scenario 3, no user activity takes place in the centre cell, and limited user activity is
present in the surrounding cells.
The user activity in each of the surrounding cells results in own cell interference in the same
cell, indicated in green.
The user activity in the surrounding cells results in other cell interference (indicated in red) in
each of the neighbour cells, including the centre cell.
Since the centre cell has most neighbours, this cell will suffer the biggest amount of other cell
interference.
60
Compared to the previous scenario, scenario 4 adds the maximum amount of user activity
(indicated by dashed red line) in the centre cell. This causes an additional Noise Rise in the
surrounding cells, consisting of other cell interference indicated in red.
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Concept of soft capacity - scenario 5
No user activity in centre ceil
Maximum amount of user activity in surrounding cells, causing massive interference in centre cell
In scenario 5 no user activity takes place in the centre cell. The surrounding cells contain the
maximum amount of user activity.
The user activity in each of the surrounding cells results in own cell interference in the same
cell, indicated in green.
The user activity in the surrounding cells results in other cell interference (indicated in red) in
each of the neighbour cells, including the centre cell.
Since the centre cell has most neighbours, this cell will suffer a massive amount of other cell
interference.
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Concept of soft capacity - scenario 6
High load in surrounding cells only leaves limited capacity for user activity in centre cell
User activity in centre cell results in noise rise in surrounding cells
This lowers capacity for user activity in surrounding cells
Compared to the previous scenario, scenario 6 will add user activity in the centre cell.
However, the high load in the surrounding cells only leaves limited capacity for user activity in
this centre cell.
The user activity in the centre cell results in an additional Noise Rise in the surrounding cells
consisting of other cell interference. Since the maximum allowed interference level in the
surrounding cells should not be exceeded, the capacity for user activity in the surrounding
cells is lowered.
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Module 3: planning 3G networks
UMTS link budget
* 3G-2G inter-RAT handover for CS services
" Idle mode behaviour

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RF planning procedure
2G/3G approach
Including Monte-Carlo simulation
* Phased roll-out
Pilot pollution optimisation
High site problem
Hot spot problem
Power planning
Soft handover overhead
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RF planning procedure - 2G approach
Purely coverage based
Strategic decision on limiting service
Highest data rate service provided with continuous coverage
Uplink link budget:
Maximum allowable path loss and coverage threshold for limiting service
Assumption: network is uplink limited, fixed load for all cells
Display coverage in 2G planning tool using 3G propagation model

*
Quick dimensioning: 3G radio propagation model to calculate cell edge distance/covered
surface per cell

*
Typically used for nominal plan and quick site verification
Accuracy not sufficient for detailed analysis
For the planning of 3G networks, both 2G and 3G approach can be used.

The 2G approach is purely coverage based. First of all a strategic decision has to be taken on
the limiting service. This is the highest data rate service that needs to be provided with
continuous coverage. Next the uplink link budget is used to calculate the maximum allowable
path loss and coverage threshold for this limiting service. The assumption made here is that
the network is uplink limited, and all cells have the same fixed load. This allows to display the
3G coverage in a 2G planning tool using a propagation model calibrated for the 3G frequency
range. For quick dimensioning, the planning tool can be skipped and a 3G radio propagation
model can be used to calculate the cell edge distance or the covered surface per cell. The 2G
approach is typically used for nominal planning and quick site verification. However, its
accuracy is not sufficient for detailed analysis.
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j RF planning procedure - 3G approach
Monte-Carlo simulation needed
Additional module integrated in 2G planning tool
Typically used for detailed site check/ performance analysis/KPI verification
Simulations very time consuming
For the 3G approach Monte-Carlo simulation is needed. This is offered through an additional
module integrated in the 2G planning tool. Monte-Carlo simulation is typically used for
detailed site check, performance analysis and KPI verification. These simulations are quite
time consuming and should not be considered for everyday usage.
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| Monte-Carlo simulation: description
Predefined number of users added to the network one by one
Following given traffic/service distribution
Snapshot: each user put on specific position

Uplink and downlink power calculated for each user
Each user impacted by other users
Multiple iterative rounds to reach convergence

Limit on maximum number of rounds (e.g. 250)
Convergence: power change below specified threshold (e.g. 0.5dB)

Multiple snapshots needed to obtain statistics on majority of pixels
Lower network load requires more snapshots
Simulation results:
Coverage probability, CPICH Ec/lo, Pilot Pollution, best server, reason for failure,
The slide above gives a detailed description of the Monte-Carlo simulation. During this
simulation a predefined number of users is added to the network one by one. This is done
respecting a given traffic and service distribution. Uplink and downlink power are calculated
for all users. Since each user is impacted by the other users, multiple iterative rounds are
needed to reach convergence, for example power change below a specified threshold of
0.5dB. Also the maximum number of iterative rounds should be limited. In one snapshot, each
user is put on a specific position. Multiple snapshots are needed to obtain statistics on the
majority of pixels. As a consequence lower network load requires more snapshots. A wide
range of simulation results is available from Monte-Carlo simulation, for example coverage
probability, CPICH Ec/No, Pilot Pollution, best server, reason for failure. The Monte-Carlo
simulation will be explained in the next slides in a more graphical way with a practical
example.
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Monte-Carlo simulation example: snapshot 1, round 1, user 1
The example above explains the Monte-Carlo simulation in a more graphical way. As explained
before, this simulation consists of multiple snapshots and multiple iterative rounds. Every
snapshot consists of multiple iterative rounds. During a snapshot a predefined number of users
is added to the network, one by one. For this practical example it is assumed three users are
added one by one. The number of users is limited in order to keep the example as simple as
possible. A city containing seven sites is assumed contained within a city border.
The very first snapshot of the Monte-Carlo simulation starts with adding user 1 (red user) to
the network. The position of this user is determined by the traffic distribution. The service
used is determined by the service distribution. Apparently on this specific position user 1 is
served by two cells: sector three of site two and sector one of site four. Uplink and downlink
powers are calculated for user 1 to achieve balanced links. Since this is the first user added,
no interference from other users is experienced.
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Next user 2 (blue user) is added for the first snapshot. Apparently user 2 is served by three
cells. Since user 1 (red user) is already present and transmitting uplink power and receiving
downlink power, user 1 will influence user 2. This means user 1 will cause interference to user
2. Uplink and downlink powers are calculated for user 2, taking the power of user 1 into
account. This is indicated by the two coloured radio links: blue/red. The interference caused
by user 1 will result in higher powers for user 2. Of course, uplink and downlink powers for
user 2 are also causing interference to user 1 , and powers for user 1 need recalculation. This
will only be done in the next iterative round, once all the users are added. For the moment
the radio links of user 1 are coloured red only, and not blue/ red.
71
The last user (user 3, green user) is added for the first snapshot. This user is only served by one
cell. When uplink and downlink powers are calculated for user 3, the powers of user 1 and user
2 are taken into account. This is indicated with the three coloured radio link: red/blue/green.
Because of this interference, user 3 will need a higher uplink and downlink power. Of course
the uplink and downlink powers for user 3 will also impact the other two users. However, this
is not yet taken into account in this first iterative round.
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Monte-Carlo simulation example: snapshot 1 , round 2, user 1
The figure above still shows the same snapshot, but the second iterative round is started. All
users still occupy the same position.
Focus is back on user 1. Uplink and downlink powers are recalculated for user 1, taking uplink
and downlink powers of user 2 and user 3 into account. This is now indicated with the three
coloured radio links for user 1: red /blue/ green. Of course power rise for user 1 results in
additional interference to the other users, and their power also needs recalculation. This
recalculation will not be performed now, but in the next slides.
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The figure still shows the same snapshot (first) and iterative round (second). Focus is now on
user 2. The user 2 powers also need recalculation to take into account the following: power
change of user 1 on the previous slide, and powers for user 3 (green user) which were not
taken into account before. This will result in a power rise for user 2, and three coloured radio
links for user 2: blue/red/green. Of course power change of user 2 will also impact the other
users. This will be taken into account in the next slides.
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Monte-Carlo simulation example: snapshot 1 , round n
During this first snapshot where each user is allocated a specific position which is not changed
anymore, multiple iterative rounds are needed. During these iterative rounds the powers of
each single user are recalculated taking into account the changed powers of the other users.
This iteration is stopped after convergence is reached, or after a maximum number of iterative
rounds defined by the Radio Engineer. Power convergence is reached when the uplink and
downlink power changes for each individual user are getting sufficiently small, below 0.5dB for
example.
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j Monte-Carlo simulation example: statistics snapshot 1
During this very first snapshot, three users were put on a specific location. After the first
snapshot is finished, Monte-Carlo simulation statistics are available on these three pixels. To
get statistics on more pixels inside the city border and to get more reliable statistics, more
snapshots are needed.
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The second snapshot of the Monte-Carlo simulation starts from scratch by adding user 1 (red
user) to the network in a new location. The position of this user is determined by the traffic
distribution. The service used is determined by the service distribution. No other users are
available yet for this second snapshot. Apparently on this specific position user 1 is served by
two cells: sector two of site one and sector one of site three. Uplink and downlink powers are
calculated for user 1 to achieve balanced links. Since this is the first user added, no
interference from other users is experienced. The radio links are only coloured red.
77
Next user 2 (blue user) is added for the second snapshot, also on a new position. Apparently
user 2 is served by one cell. Since user 1 (red user) is already present and transmitting uplink
power and receiving downlink power, user 1 will influence user 2. This means user 1 will cause
interference to user 2. Uplink and downlink powers are calculated for user 2, taking the power
of user 1 into account. This is indicated by the two coloured radio links: blue/ red. The
interference caused by user 1 will result in higher powers for user 2. Of course, uplink and
downlink powers for user 2 are also causing interference to user 1 , and powers for user 1 need
recalculation. This will only be done in the next iterative round, once all the users are added.
For the moment the radio links of user 1 are coloured red only, and not blue/red.
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The last user (user 3, green user) is added for the second snapshot, on a new position. This
user is served by two cells. When uplink and downlink powers are calculated for user 3, the
powers of user 1 and user 2 are taken into account. This is indicated with the three coloured
radio link: red/blue/green. Because of this interference, user 3 will need a higher uplink and
downlink power. Of course the uplink and downlink powers for user 3 will also impact the
other two users. However, this is not yet taken into account in this first iterative round.
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The figure above still shows snapshot two, but the second iterative round is started. All users
still occupy the same position.
Focus is back on user 1. Uplink and downlink powers are recalculated for user 1, taking uplink
and downlink powers of user 2 and user 3 into account. This is now indicated with the three
coloured radio links for user 1: red/blue/green. Of course power rise for user 1 results in
additional interference to the other users, and their power also needs recalculation. This
recalculation will not be performed now, but in the next slides.
80
The figure still shows the same snapshot (second) and iterative round (second). Focus is now
on user 2. The user 2 powers also need recalculation to take into account the following: power
change of user 1 on the previous slide, and powers for user 3 (green user) which were not
taken into account before. This will result in a power rise for user 2, and three coloured radio
links for user 2: blue/red/green. Of course power change of user 2 will also impact the other
users. This will be taken into account in the next slides.
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Monte-Carlo simulation example: snapshot 2, round n
During this second snapshot where each user is allocated a specific position which is not
changed anymore, multiple iterative rounds are needed. During these iterative rounds the
powers of each single user are recalculated taking into account the changed powers of the
other users. This iteration is stopped after convergence is reached, or after a maximum
number of iterative rounds defined by the Radio Engineer. Power convergence is reached when
the uplink and downlink power changes for each individual user are getting sufficiently small,
below 0.5dB for example.
82
During the previous two snapshots, three users were put on two different locations. After
these two snapshots are finished, Monte-Carlo simulation statistics are available on six pixels.
To get statistics on more pixels inside the city border and to get more reliable statistics, more
snapshots are needed.
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Monte-Carlo simulation example: statistics all snapshots
After performing many different snapshots where users are occupying many different positions,
Monte-Carlo simulation statistics are available on many different pixels. This is shown in the
figure above. The more users are put in every snapshot (higher load) and the more snapshots
are performed, the more pixel statistics will be obtained. A balance needs to be found
between simulation accuracy and duration.
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phased roll-out
3G phased roll-out:
* Nominal plan for final network
Network launch: build subset of final network
if site acquisition difficulties:
Replace 64kbps nominal by 384kbps alternative
Adapt azimuths accordingly
* Different phases: licence requirement., network launch, final network
Different from 2G approach
Plan for network launch

* Densification planning
whenever needed
Site location more important for 3G
Interference limited (3G) vs. coverage approach (2G)
Another important concept regarding the 3G RF planning procedure is the phased roll-out,
which is quite different from the 2G roll-out.
For the 3G phased roll-out, first of all a nominal plan has to be made for the final network
supporting the highest data rate. For the network launch a subset of this nominal plan should
be built. In case of site acquisition difficulties, a 64kbps nominal can be exchanged for a site
belonging to the final 384kbps nominal plan, and azimuths can be changed accordingly. Typical
phases that can be defined are licence requirement, network launch and final network.
The 2G RF planning procedure just requires a nominal plan for the network launch.
Densification planning can be done later whenever needed.
The 2G RF planning procedure is the opposite compared to the 3G procedure. This is because
site location is more important for 3G, since we are dealing with an interference limited
system as opposed to the 2G coverage approach.
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j RF planning procedure
phased roll-out 384kbps
X
City border
'*h.
A*.
X
XvX'
X
1
*''*
,'k;i
AXX
X
A,
Nominal plan for final network
The figure above shows an example regarding the 3G phased roll-out. The final 3G nominal
plan is shown providing the highest R99 data rate of 384kbps within the city border. Of course,
such a dense network will not be built from the beginning.
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For the 3G network launch, only a subset of the final network will be built. In this specific
example only continuous 3G coverage for 64kbps will be provided, which requires a fraction of
the sites needed for the final network.
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I RF planning procedure
phased roll-out 64kbps alternative
Replace 64kbps nominal by 384kbps alternative
Adapt azimuths accordingly
During the roll-out of the 64kbps network, probably some site acquisition or construction
problems are encountered, and as a result some sites will be delayed. As such, alternatives are
needed, and problematic 64kbps nominals could be replaced with nominals from the final
plan. Of course, azimuths have to be adapted accordingly for these alternatives.
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pilot pollution
Pilot pollution: too many strong cells
CPICH level/quality
UE can only use 3 strongest cells
Typically maximum active set size limited to 3 cells
Reference: CPICH of best cell
Pilot pollution can cause dropped calls
Remaining strong cells cause interference to active set
Pilot pollution in city polygon should be limited
Typically below 5%
Pilot pollution actually means that too many strong cells are available in a specific area. A cell
is considered good if the CPICH Ec/No or RSCP is good compared to the CPICH of the best cell
available. Typically the UE can only use the three best cells. All the other strong cells in this
specific measurement point can not be used anymore by the UE since the active set is already
filled with the three best cells. These remaining cells will cause interference to the active set.
Pilot pollution can cause serious problems in the network and even result in dropped calls.
That is why pilot pollution needs to be limited to acceptable values, typically below 5% in the
city polygon.
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RF planning procedure - pilot pollution

CPICH RSCP or Ec/No
The figure above shows the definition of pilot pollution. First of all one has to define the pilot
pollution reference window. A typical value for this window is 5dB. The reference for pilot
pollution is always the best cell available (1). To avoid pilot pollution only three cells
(maximum active set size) should have Ec/No or RSCP values within this window: cell (1), (2)
and (3). All remaining cells should have values at least 5dB weaker compared to the best cell
available. The figure above shows that pilot polluters (4) and (5) are within the pilot pollution
reference window, and need additional downtilt to avoid pilot pollution.
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From the very start of the 3G planning process all care should be taken to avoid pilot
pollution. This can be done quite easily by keeping in mind a couple of simple rules.
First of all one should strive as much as possible after the perfect grid. This results in clean
best server areas, where the border area is limited to maximum three cells. Of course, in real
life planning it is not always possible to get sites on the perfect spot.
Secondly, high sites should be avoided as much as possible. They can cause massive problems
once the network gets loaded. This is also the recommended way to limit CPICH coverage.
The next slides show how pilot pollution can be optimised once the 3G network is planned.
This can be done in two ways. The classical way is to optimise pilot pollution by using pixel
information in the planning tool, but this way optimal results are not achieved. The best way is
the so-called Equal Power Boundary method, leading to the best results in a very systematical
way.
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RF planning procedure - pilot pollution optimisation (pixel information)
Display pilot pollution
The next five slides show the first method used to optimise pilot pollution: using pixel
information in the planning tool.
For the city shown above, pilot pollution needs to be minimised within the city border. First of
all Monte-Carlo simulations need to be done. These are used to calculate pilot pollution. Next
the pilot pollution can be displayed on the map as is shown above. In the figure above, pilot
pollution spots are coloured orange.
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Next one has to pick out one of the pilot pollution spots to start optimisation. With the pixel
information tool available in most planning tools, several clicks on the pilot pollution spot are
sufficient to identify the pilot polluters. In the example above, five strong cells are available,
while only three of them can be used in the active set (two pilot polluters). Pilot pollution can
be optimised by downtilting these pilot polluters.
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Optimised pilot pollution spot gets smaller
Remaining pilot pollution spots get bigger
A new Monte-Carlo simulation is performed to visualise the result of the pilot pollution
optimisation performed on the first problem area. Typically the optimised pilot pollution spot
gets smaller, but the other pilot pollution spots increase in size.
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Select pilot pollution spot
Pixel information: identify pilot polluters
" Optimise pilot pollution spot by downtilting pitot polluters
Next one has to pick out one of the remaining pilot pollution spots. With the pixel information
tool, several clicks on the pilot pollution spot are sufficient to identify the pilot polluters. In
the example above, five strong cells are available, while only three of them can be used in the
active set (two pilot polluters). Pilot pollution can be optimised by downtilting these pilot
polluters.
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RF planning procedure - pilot pollution optimisation (pixel information)
Remaining pilot pollution spots get bigger
A new Monte-Carlo simulation is performed to visualise the result of the pilot pollution
optimisation performed on the second problem area. Typically the optimised pilot pollution
spot gets smaller, but the other pilot pollution spots increase in size.
It looks like we are running around in circles, resulting in a never ending story...
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RF planning procedure pilot pollution optimisation (EPB)

-
Pilot pollution optimisation with (planning tool) pixel information

* Running around in circles
Never ending story
Very de-motivating
Poor results
Solution: Equal Power Boundary method (EPB):
Display Best Server plot
Select specific cell
Display coverage for limiting service (e.g. 64kbps)
" Limit coverage to Best Server area with additional downtilt

Repeat this procedure for all cells in the concerned (city) polygon
Systematic and straight-forward approach leading to optimal results
As was explained in the previous example, pilot pollution optimisation with pixel information
from the planning tool is not the best way forward. It looks like the optimiser is running around
in circles, resulting in a never ending story. This is a very de-motivating way of working and
the results are rather poor.
A better solution would be to use the Equal Power Boundary method. For this procedure the
Best Server Plot needs to be calculated and displayed. Next, the user has to select a specific
cell and the coverage for the limiting service has to be displayed. Probably this coverage
extends too far beyond the cells best server area, and additional downtilt is needed. This
procedure should be repeated for all cells in the concerned polygon. This is a systematic and
straight-forward approach leading to optimal results.
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RF planning procedure pilot pollution optimisation (EPB)

-
Display Best Server plot
The figure above and the next two slides illustrate the Equal Power Boundary method with a
practical example. In this example only two sites are considered to reduce the complexity of
the situation. In the first step, one needs to display the Best Server Plot for the considered
area.
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Display coverage for limiting service (e.g. 64kbps)
In the next step one has to select a specific cell, and the cell coverage needs to be displayed
for the limiting service. In the specific example above, the coverage extends too far beyond
the cells best server area, and additional downtilt is needed.
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RF planning procedure - pilot pollution optimisation (EPB)
Limit coverage to Best Server area with additional downtilt
Additional downtilt is put to limit the cells coverage to the Best Server area. As a result
interference from this cell is limited. This procedure should now be repeated for all cells in
the concerned polygon. This is a systematic and straight-forward approach leading to optimal
results.
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high site
High site: depending on surroundings

City: >5m above average clutter height
Main problem regarding 3G RF planning

* Downlink: pilot pollution
* Uplink: noise rise leading to excessive uplink
load
Could result in zero coverage due to cell breathing
Difficult to control
Capacity reduction as result of additional interference

*
Solutions:
Best solution: avoid high sites
Additional tilt needed, but often not sufficient to solve problem

CPICH power reduction
Downlink: reduction of pilot pollution
* Uplink: no impact
Should be replaced with 2-4 additional lower sites
High sites are definitely the most important problem regarding 3G RF planning. For the urban
clutter type, a site is considered high if the antennas are placed at least 5m above the average
clutter height. These high sites cause a lot of pilot pollution in the downlink, and the uplink
noise rise in this cell could result in an excessive uplink load leading to zero coverage due to
cell breathing. High sites are difficult to control, and they can cause considerable capacity
reduction because of the additional interference. The best solution would be to avoid high
sites from the beginning. Additional downtilt can be used, but often this is not sufficient to
solve the problem. A CPICH power reduction only leads to a reduction of the pilot pollution in
the downlink, and has no impact on the uplink direction. A high site should be replaced with
typically two to four additional lower sites to eliminate the problem.
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RF planning procedure high site

-
border
The figure above shows the CPICH downlink coverage for the 3G cells contained inside the city
border polygon. It is very easy the recognise the high site and the resulting pilot pollution.
Even with a perfect grid, pilot pollution can not be avoided in this case.
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RF planning procedure - hot spot problem
Node B: transmit downlink power to every single user (connected mode)
As users move away from node B, downlink power needs to be increased
This leads to higher downlink load, even with same users and same service
Conclusion: put site where traffic is expected
The figure above shows how the downlink load in a cell can be increased without adding any
new users or services. The node B has to transmit downlink power to every single user in
connected mode inside its service area. Lets assume four users located close to the node B, all
using the same service. In this starting configuration the node B has to transmit only a little bit
of power to each of these users. As users move away from the node B towards the cell edge,
the downlink power needs to be increased to each of these users, resulting in a higher
downlink load. As a conclusion, it is a very important principle to put the sites where the
traffic is expected. This is especially the case for a hot spot area, as will be explained in the
next slide.
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RF planning procedure - hot spot problem
Hot spot area

* Put site where traffic is expected: in hot spot area (solution 2)
Less downlink power needed (users close to node B)

No soft handover in hot spot area (capacity savings)
In the figure above a solution needs to be designed to provide coverage and capacity to a hot
spot area.
On the top of the figure, two sites are planned to cover the hot spot area, and the hot spot
area is located in the soft handover area. This is the overlapping area between the cells. The
hot spot area is on the cell edge of both cells, and a lot of downlink power needs to be
allocated to every single user, and this by both cells.
On the bottom of the figure, one site is planned in the middle of the hot spot area. In this
case, only a little bit of downlink power has to be allocated to every single user, and this only
by one cell.
It should be quite clear that solution 2 is the best way forward to tackle the hot spot problem.
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RF planning procedure - power planning

20W (43dBm)
20W (43dBm)
Flexible power allocation

R99
Other
CPICH
Shared R99 carrier
Dedicated R99 carrier
Typically 80% of total power available for traffic
This leaves 20% for Common Control Channels:
10% of total power for CPICH (reference channel)
10% of total power for remaining CCCHs: P-SCH, S-SCH,
This is optimal power division between traffic and control channels
Sufficient downlink power for traffic and sufficient coverage for control channels
The figure above shows the typical power budget for a 3G cell. Typically 80% of the total
power is available for traffic, while the remaining 20% is used by Common Control Channels.
Half of this 20% is allocated to the CPICH, while the other half is used by the remaining
Common Control Channels. This is the optimal power division between traffic and control
channels: sufficient downlink power is needed to carry traffic, and sufficient coverage for
control channels. The power available for traffic can be given completely to R99, or can be
shared with HSDPA.
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RF planning procedure - soft handover overhead
Soft handover overhead: cells have overlapping coverage areas
To avoid cell breathing coverage holes

* Disadvantage: capacity loss
* Advantage: soft handover gain in overlapping areas (cell edge)
Recommended soft handover overhead (for limiting service): 20&-30SS
When planning a 3G network, soft handover is needed. This means cells should have
overlapping coverage areas, to avoid cell breathing coverage holes. The disadvantage is that
capacity is lost, since all UEs in dedicated mode are connected to multiple cells in these soft
handover areas. However, this redundancy is causing soft handover gain resulting in a lower
transmission power. The recommended soft handover overhead for the limiting service is
between 20% and 30%.
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Module 4: Initial tuning for 3G clusters
UMTS link budget


Idle mode behaviour
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3G scanner
Idle mode device, does not make any contact with the network
Performs measurements on UMTS 5MHz carrier
RSSI
Received Signal Strength Indicator
*
Total wideband power measured on a 5MHz carrier
Combined wideband power of all transmitters in this 5MHz band
" Total interference lo
RSCP
Received Signal Code Power
* Signal strength of a cell with a specific Scrambling Code (SC)
This represents the Ec of the CPICH with a specific SC
* Represents the coverage for specific SC
Quality
- Ec/No = Ec/lo = RSCP/RSSI
Needed for root cause analysis of problematic behaviour on the radio interface
Test phone indicates problem but not the reason (e.g. interference, pilot pollution)
Extremely important device to check out your 3G network!
A scanner is an extremely important device when performing initial tuning for 3G clusters. The
scanner can be considered as an idle mode device, unable to make any connection to the
network. This device just measures what is happening on the specified 3G 5MHz carrier. RSSI is
one of the quantities measured. This stands for Received Signal Strength Indicator, and is the
total wideband power measured on the 5MHz carrier. This is the combined transmit power of
all Ues in this carrier. This corresponds to lo, the total interference, from the link budget. Also
RSCP is measured, which stands for Received Signal Strength Indicator. This is the signal
strength of the CPICH reference channel of a cell with specific Scrambling Code (SC). RSCP is
used to verify the 3G coverage. The quality, or Ec/No, is the most important quantity
measured by the scanner. This represents the wideband signal-to-noise ratio, and is used by
theUEastrigger for most of the event based reports. The scanner is the most suitable device
to perform root cause analysis of problematic behaviour on the air interface. The test phone or
UE just indicates there is a problem, but is not really suitable to perform detailed problem
analysis.
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Problem analysis with 3G scanner

Scanner is typically used to analyse problems related to
Coverage
" Quality
Pilot pollution
Missing neighbours
As indicated before, a scanner is really needed for detailed analysis of problems occuring on
the air interface. The scanner is typically used to analyse problems related to coverage,
quality, pilot pollution and missing neighbours. This will be explained in detail in this chapter.
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Problem analysis with 3G scanner - pilot pollution

Pilot pollution: too many strong cells
CPICH level/quality
UE can only use 3 strongest cells

Typically maximum active set size limited to 3 cells
Reference: CPICH of best cell
Pilot pollution can cause dropped calls

* Remaining strong cells cause interference to active set
Pilot pollution in city polygon should be limited
Typically below 5%
As indicated before the scanner can be used to investigate pilot pollution. Pilot pollution
actually means that too many strong cells are available in a specific area. A cell is considered
good if the CPICH Ec/No or RSCP is good compared to the CPICH of the best cell available.
Typically the UE can only use the three best cells. All the other strong cells in this specific
measurement point can not be used anymore by the UE since the active set is already filled
with the three best cells. These remaining cells will cause interference to the active set. Pilot
pollution can cause serious problems in the network and even result in dropped calls. That is
why pilot pollution needs to be limited to acceptable values, typically below 5% in the city
polygon.
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The figure above shows the definition of pilot pollution. First of all one has to define the pilot
pollution reference window. A typical value for this window is 5dB. The reference for pilot
pollution is always the best cell available (1). To avoid pilot pollution only three cells
(maximum active set size) should have Ec/No or RSCP values within this window: cell (1), (2)
and (3). All remaining cells should have values at least 5dB weaker compared to the best cell
available. The figure above shows that pilot polluters (4) and (5) are within the pilot pollution
reference window, and need additional downtilt to avoid pilot pollution.
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Problem analysis with 3G scanner - pilot pollution
Active set contains only 3 best cells
All remaining strong cells cause interference to the active set: pilot pollution
In the figure above a scanner logfile is loaded in Terns Investigation for further analysis. The
figure shows the results in one specific measurement point.
Apparently, five cells are measured in this specific point with more or less equal Ec/No values
compared to the best cell with SC88. All five cells are located within the pilot pollution
reference window of 5dB. Only cells with SC88, SC490 and SC64 can be put in the active set.
The remaining cells SC438 and SC239 can not be put in the active set anymore, and as a result
they will cause interference to the active set. The problem can be solved by providing
additional downtilt to cells SC 438 and SC 239.
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*90
E
Sc Best *OQrCc/to(dB)(l)
S< 8M Aw Ec/lo () [2]

Sc 8t Aw Ec/to MB) (3)
Sc B* Aw CcAo *)()
Scaw*Awe</fc>MB)l5]
438
V<*Ja
-8.64
8 74
64
**
239
4
438
-1984
54
12
-19.85
239
-17.74
12
stywic
Active set contains 2 best cells
All remaining cells are quite weak: no pilot pollution
The figure above shows the results in a different measurement point. Here only two good cells
(compared to the best cell SC490) are suitable candidates for the active set: cells SC490 and
SC438. The remaining cells SC64, SC12 and SC239 are at least 5dB weaker compared to the
best cell and will not cause any interference to the active set. In this measurement point we
do not have pilot pollution.
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Problem analysis with 3G scanner - missing neighbour
B*i Chart |MS1J
P X
WCDMA CPICH Scan UUJARFCN Bar Chart [MS1]
498
373
373
tl] v
IE
AS CPICH Ec/No [1]
AS CPICH Ec/No (2]
AS C?ICH Ec/No [3]
Value
5C/B5IC
-19.00
373
MS
MSI
Ml
IE
Sc8ertAQQrEc/Io(dB)(l]
Sc Best Aggr Ec/Io (dB) [2]
MSI
SC/BSIC
MS
-3.41
498
-16.07
373
M52
MS2
value
MSI
Right: scanner
* SC498 is best cell available
Left: UE
SC498 is not measured by UE because not in neighbour list
Missing 3G neighbours cause interference, bad quality and dropped calls
The figure above shows some results (in one specific measurement point) from a drive test
with scanner and test phone. The logfile is analysed with Terns Investigation.
The left side of the figure shows test phone results, the right side shows scanner data in the
same measurement point.
The test phone indicates that only cell SC373 is in the active set, and this cell has bad quality
(Ec/No value of -19dB).
Scanner shows the same cell SC373 with bad quality, but apparently also a very good cell
SC498 with Ec/No value around -3dB is available.
This means a good cell is available but not used by the test phone, and this will cause
interference to the active set. In this case the good cell SC498 is not in the neighbour list of
the phone, and as a consequence it is not measured and can not be added to the active set.
Many 3G dropped calls are caused by missing neighbours.
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Problem analysis with 3G scanner - quality
Define Ec/No threshold to indicate good/bad quality e.g. -10dB (low load network)
Ec/No
-10dB: good quality
Ec/No < -10dB: bad quality, corrective action needed

* Verify with scanner if quality targets are met
Take corrective actions if needed
Remarks:
Load increase in network will cause Ec/No drop (up to 8dB)
Ec/No below -18dB: bad quality and dropped calls
The Ec/No or quality is the most important measurement quantity in 3G. This wideband signalto-noise ratio is more important than the RSCP or coverage, since UMTS is an interference
based system.
When performing initial tuning on the new 3G network, one has to define the Ec/No threshold
indicating good or bad quality. Typically operators use a threshold around -10dB. This means
Ec/No values of -10dB and stronger indicate good quality, values below -10dB indicate bad
quality and corrective action is needed. Analysis of the scanner drive test will reveal areas
with good and bad quality, and statistics will show if quality targets are met.
The Ec/No threshold of -10dB is suitable for a 3G network with low and normal load. However,
when the network gets really loaded, the interference level will increase and the Ec/No will
drop. As a result 3G networks with high load require lower Ec/No thresholds indicating good or
bad quality (e.g. -14dB). The specifications from 3GPP indicate that the Ec/No should not drop
below -18dB as this will result in bad quality and dropped calls.
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Problem analysis with 3G scanner - coverage
Define coverage threshold (RSCPmin) for each service and clutter type using the link budget
Verify with scanner if coverage targets are met
Take corrective actions if needed
Change tilt/ azimuth
* New site
To check out coverage with a scanner drive test, one has to verify RSCP of the best cell in
every measurement point. The RSCP threshold can be defined easily with the link budget for
each clutter and service type. If coverage is not sufficient, corrective actions are needed such
as changes of azimuth/tilt or new sites.
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Initial tuning procedure for 3G clusters

Define a cluster of 10 - 40 sites and perform the following actions:
1.
Scanner drive test
Should be done on network with low load

Verify coverage, quality and pilot pollution
Compare real life measurements with planning tool
2.
Perform tilt and azimuth changes to solve problems, or new sites (corrective actions)
Scanner drive test

* Check out if corrective actions solved the problems
3.
UE and scanner drive test
Neighbour list validation: filter out missing neighbours
Analyse in detail drops and failures (not related to missing neighbours) for different
services
Important: never perform a 3G drive test without a scanner!!!
The slide above defines the complete initial tuning procedure for 3G clusters. First of all one
has to define a cluster or group of sites that needs to be tuned. Typically a cluster contains
between 10 and 40 sites.
A minimum amount of sites is needed in the cluster because sufficient interaction is needed
between the sites. After all UMTS is an interference based system where all site are using the
same carrier/frequency.
The cluster should not contain too many sites because this involves too much interaction and
could lead to complicated analysis. In case a big city needs to be analysed, it should be divided
into several clusters to perform the initial tuning procedure on. Once each of these clusters is
tuned, a drive test of the complete city can be carried out to verify interaction between the
different clusters.
The initial tuning procedure typically consists of three rounds of drive testing.
The first drive test carried out is a scanner drive test. Preferably this should be done when the
load in the network is still quite low, thus avoiding strange effects like cell breathing. During
this first round one has to verify if targets are met for coverage, quality and pilot pollution.
Probably some problems are present and corrective action is needed to meet the targets.
Typical solutions could be tilt and azimuth changes, or even putting new sites. This first round
could also be used to compare the planning tool performance against real life measurements.
In a second scanner drive test the impact of the corrective actions is verified to check out if
problems are really solved.
The third round of drive testing is performed both with scanner and test phone. A specific
service is used for the test phone during the drive test, typically the voice call. Probably some
dropped calls are found caused by missing neighbours. This enables neighbour list validation.
Analysis of the remaining dropped calls, not related to missing neighbours, allows additional
service trouble shooting.
The most important lesson to learn from this slide is the following: never perform a 3G drive
test without a scanner!!!
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Initial tuning procedure for 3G clusters coverage vs. quality

-
Tilt and azimuth changes: always compromise between coverage and quality
* Example: city cluster
Coverage target: 95% good coverage

=
Quality target: 98% good quality
H-
-.
Case 1:
HC*3
98 good coverage
* 97 good quality
*
Action: additional downtilt needed
Case 2:
93 6 good coverage
99 good quality
Action: less downtilt needed
Case 3:
91 good coverage
95 1 good quality
Action: new sites needed
It is very important to keep in mind the compromise between coverage and quality, when
playing around with tilt and azimuth. In general, performing additional downtilt results in
coverage and interference reduction, leading to better quality. Also the opposite is true: less
downtilt extends 3G coverage but results in a quality reduction. This is illustrated with three
cases regarding a city cluster. It is assumed that to reach the coverage target, 95% of good
coverage is needed in the concerned polygon. In the same way 98% of good quality is needed
to meet the target.
Case 1 illustrates a cluster with good coverage but bad quality. Putting additional downtilt
could result in meeting the quality target, while coverage (even when decreased) still meets
the target.
Case 2 shows a cluster with bad coverage but good quality. Putting less downtilt could bring
coverage above target while the quality target is still met.
Case 3 shows the most problematic situation where both coverage and quality targets are not
met. Additional downtilting leads to further decrease of coverage below target. Additional
uptilting leads to further decrease of quality below target. This conflict between coverage and
quality can only be solved by putting new sites.
ft
oW
cl
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Initial tuning procedure for 3G clusters - cluster evaluation

Cluster site
A Active site
City border
Planned site
Cluster evaluation polygon
Only statistics needed on cluster
Include first band of active sites, exclude planned sites
When the initial tuning procedure for 3G cluster evaluation is carried out, it is very useful to
calculate cluster statistics to verify if targets are met. To calculate these cluster statistics, a
cluster polygon is needed most of the time. This to limit the drive test statistics to the cluster
area, avoiding too much influence from non cluster sites on the statistics. This influence could
screw up statistics while in reality the cluster is performing fine.
Typically the non operational planned sites are left out, since they would cause a coverage
hole not related to the cluster sites. Usually the polygon cuts somewhere in between the
cluster site and the planned site.
Best practice is to include the first band of operational sites not belonging to the cluster. This
allows verification of interaction between the cluster sites and their neighbours.
The polygon that is achieved this way is most suitable to calculate the cluster statistics.
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The picture is quite different when calculating statistics for city evaluation, as opposed to
cluster evaluation. Here it is important to calculate statistics for the complete city polygon,
even if this contains planned sites that are not operational yet. These statistics will give a real
life picture of the current situation in the city regarding coverage, quality and pilot pollution.
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Module 5: Air interface signalling for CS services
UMTS link budget
Idle mode behaviour

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Signalling & interfaces

service
user
service
access point
The figure above shows the different interfaces and the related signalling for a UMTS network.
The service related signalling, indicated in red, is exchanged between service user (UE) and
service access point (MSC or SGSN). This is also called layer 3 messages or NAS (Non Access
Stratum) messages. Service related signalling is especially needed for service setup and service
release. This will be explained in detail when analysing both mobile originating and mobile
terminating voice calls.
The application protocols are indicated in blue. This is the signalling allowing communication
between the different network elements.
In this training only the signalling captured on the air interface will be studied in detail. On
the Uu interface both service related signalling (NAS/layer 3) and RRC application protocol can
be captured during drive testing.
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Application protocols
Allow communication (signalling: control plane) between different network elements
Technology specific (e.g. UMTS)
UMTS application protocob:
RRC (Radio Resource Control)
Runs over lu and lub interface, between UE and RNC
* NBAP (Node B Application Part)
Used on lub interface between node B and RNC
RANAP (Radio Access Network Application Part)

*
Used on lucs/lups interface between RNC and MSC/SGSN
RNSAP (Radio Network Subsystem Application Part)

Used on lur interface between different RNCs
Remark: only RRC application protocol will be studied in detail
Can be captured on air interface during drive testing
The application protocols belong to the control plane and allow signalling between the
different network elements. These protocols are specific to UMTS. Four different application
protocols are available: RRC, NBAP, RANAP and RNSAP.
The RRC application protocol stands for Radio Resource Control and runs between UE and RNC
over both lu and Uu interface. This is the only application protocol that can be captured on the
air interface during drive testing. In this training focus will be on this protocol.
The NBAP (Node B Application Part) application protocol runs over the lub interface between
node B and RNC. A good example of what NBAP could be used for is radio link configuration.
Since radio links are setup between UE and node B, NBAP is used to configure the node B end
of the radio link. On the other hand RRC is used to configure the UE end of the radio link.
The RANAP (Radio Access Network Application Part) application protocol runs on the lu
interface towards MSC or SGSN. One of the important tasks of the RANAP protocol is the RAB
configuration procedure.
RNSAP runs between different RNCs on the lur interface, and stands for Radio Network
Subsystem Application Part.
The last three mentioned application protocols are not covered in detail in this training.
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Service related signalling

Used for service setup and release
Between service user (UE) and service access point (MSC/SGSN)
Service specific, but not technology specific
UMTS service related signalling is different for voice call and PS data session
2G and 3G service related signalling can be the same for the same service type (e.g. voice
call)
The service related signalling, also called layer 3 messages or NAS messages, is especially used
for service setup and service release. The service related signalling takes place between the
UE (service user) and MSC/SGSN (service access point). The NAS/layer 3 signalling is service
specific, but not technology specific. This means different NAS messages will be used for
different services (e.g. voice and PS service). However the same NAS messages could be used
for both GPRS and UMTS (e.g. PS service), or GSM and UMTS (e.g. voice call). This service
related signalling can be captured on the air interface during drive testing.
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Control plane
Only one RRC Connection In connected mode, no RRC Connection in idle mode
RRC Connection consists of typically four signalling Radio Bearers (sRB)
sRB1 , sRB2, sRB3 and sRB4
Used for transport of RRC application protocol and

*
NAS/ layer 3 messages
Up to two lu signalling connections in connected mode (to MSC and/or SGSN), none in idle mode
The figure above shows more details on the UMTS control plane.
The RRC connection is used to transport signalling between UE and RNC (serving RNC, will be
explained in more detail later on). In idle mode no RRC connection is available, but in
connected mode one logical RRC connection is available. This RRC connection typically consists
of four signalling Radio Bearers (sRB1, sRB2, sRB3 and sRB4) that can be considered as smaller
tubes carried by the RRC connection. The RRC signalling connection will be used to transport
the RRC application protocol and layer 3 messages between UE and serving RNC.
In connected mode signalling is also needed between RNC and MSC and/or SGSN. This is done
with the lu signalling connection between these two network elements. In connected mode up
to two simultaneous lu signalling connections can be supported between RNC and MSC/SGSN. In
idle mode no lu signalling connection is available to the UE.
This means that in connected mode the UE is able to exchange signalling with the MSC/SGSN,
using the RRC connection and the lu signalling connection.
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One RA6 for each service type in connected mode (e.g. voice call, PS data service), no RAB in
idle mode
RAB consists of one or three RBs (depending on service)
Voice call three RBs, all other services only one RB
One lu bearer for every RAB used
The figure above shows more details on the UMTS user plane.
A Radio Access Bearer or RAB is used for the transport of user data between UE and MSC/SGSN.
In connected mode one RAB is used for each service type, e.g. one RAB for a voice call and
another RAB for the simultaneous PS data download. In idle mode no RAB is available.
A Radio Bearer or RB is used for the transport of user data between UE and RNC. As one can
see on the figure above the Radio Bearer is part of the Radio Access Bearer. The number of
Radio Bearers used is service dependant. For voice calls three Radio Bearers are used, for all
other services only one Radio Bearer is used.
The lu bearer is used for transport of user data between RNC and MSC/SGSN.
As a conclusion the Radio Access Bearer consists of both Radio Bearer(s) and lu bearer.
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Control/user plane flow during soft handover
Signalling/data flow
The figure above shows control plane and user plane flow during soft handover. The UE is in
connected mode, and has several simultaneous radio links to cells belonging to different node
Bs. This is called soft handover. Different RNCs are involved in the example above. One of
them is the master RNC, all others are slave RNCs. The master RNC is called Serving RNC
(SRNC), all others are called Drift RNCs. Both control plane and user plane flow between UE
and MSC/SGSN are passing via the Serving RNC. This RNC maintains the connection with the
core network. Although only one logical RRC connection exists between UE and Serving RNC,
all RRC messages exchanged between UE and SRNC will follow three different routes in the
example above (three radio links). Also the user data is going over all different radio links. This
means soft handover causes redundancy, but also introduces Soft Handover Gain leading to
lower transmit power in both uplink and downlink.
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~3
Control plane vs. user plane bit pipe

U-plane
C-plane
SRNC
UE
RB 1...3
sRB 1...4
Control plane bit pipe (RRC Connection):

Signalling transport (RRC, NAS)
Typically 4 sRBs setup during RRC Connection Setup procedure
User plane bit pipe:
Transport of user data
1 or 3 RBs setup during RB Setup procedure
Both control plane and user plane require the transport of information: signalling and user
data. The figure above shows the bit pipes used for this information transport between UE and
SRNC.
The RRC connection is the actual bit pipe used for signalling transport between UE and SRNC in
the control plane (RRC and NAS). The RRC connection is setup with the RRC Connection Setup
procedure that will be discussed later on. During this procedure typically 4 signalling Radio
Bearers are established.
The user plane bit pipe is setup during the Radio Bearer Setup procedure, and is used for the
transport of user data between UE and SRNC. During this procedure one or three Radio Bearers
are established, depending in the required service (voice call: three RBs, all other services:
one RB).
Both procedures will be looked at in detail in the next slides.
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Overview of basic RRC procedures

RRC Connection setup procedure
- RRC Connection release procedure
Radio Bearer setup procedure
Radio Bearer release procedure
Initial Direct Transfer
Uplink/Downlink Direct Transfer
The slide above gives an overview of the main RRC procedures that will be discussed in the
remaining of this chapter. Afterwards this knowledge will be applied to the analysis of a
complete voice call. Other RRC procedures will be discussed in the following chapters.
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| Control plane vs. user plane RRC procedures
This figure shows the procedures used to setup bit pipes in control plane and user plane. The
session always starts with the RRC Connection Setup procedure, establishing the bit pipe for
the control plane. Before service start, the Radio Bearer Setup procedure will be executed to
setup user plane bit pipe. At the end of the session the Radio Bearers should be released first,
followed by the RRC Connection Release procedure. As one can notice these procedures are
nested.
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RRC Connection Setup procedure

SRNC
UE
RocCpf
RRC Connection Request (UL-CCCH)

RRC Connection Setup IDL-CCCH)
RRC Connection Setup Complete (DL-DCCH)
RRC Connection Setup procedure:
First step to go from idle mode to connected mode
Establishment of RRC signalling connection

* Setup dedicated resources control plane (CCCH
DCCH)
RRC Connection Request:

* Used by UE to get
access to network
* Retransmitted if no reaction from network

Maximum # retransmissions: N300 (default: 3)
Time between retransmissions: T300 (default: 1000ms)
Parameters in System Information
The RRC Connection Setup procedure can be considered as the most important RRC signalling
procedure. Every time something happens, the UE goes from idle mode to connected mode,
and the first step to achieve this is the RRC Connection Setup procedure. This procedure is
used to establish dedicated resources (Dedicated Control CHannels) for the control plane
instead of using shared resources (Common Control CHannels).
The RRC Connection Setup procedure consists of three RRC messages.
The first message, RRC Connection Request, is used by the UE to get access to the network.
This first message can be retransmitted by the UE if there is no reaction from the network.
Parameters regarding this retransmissions are available from the system information.
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UE
SRNC
RRC Connection Setup (DL-CCCH)
RRC Connection Setup Complete (DL-DCCH)
>i
RRC Connection Setup:
RRC Connection Setup Complete:
Contains downlink instructions regarding setup control plane bit pipe

* Confirmation from
UE indicating successful setup of control plane bit pipe
Contains information on UE capabilities (e.g. HSDPAUE category)
The RRC Connection Setup message is the second message from this procedure, and is used by
SRNC to send instructions to the UE regarding setup of control plane bit pipe.
The last message of the procedure is the RRC Connection Setup Complete message. This is a
confirmation from UE to RNC to indicate the control plane bit pipe has been setup
successfully. In this third message the UE also reveals information to the SRNC regarding UE
capabilities.
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RRC Connection Release procedure

UE
SRNC
j<
RRC Connection Release (DL-DCCH>
j RRC Connection Release Complete
(UL-DCCH)
RRC Connection Release Complete (UL-DCCH)
Used to release RRC signalling connection

* All sRBs released
* To go from
connected mode to idle mode
RRC Connection Release complete: typically retransmitted several times
# retransmissions: N308
Time between retransmissions: T308
At the end of the session the UE has to go back to idle mode and the RRC Connection needs to
be released again. This is done with the RRC Connection Release procedure, releasing all
signalling Radio Bearers of the control plane. The second message of this procedure, RRC
Connection Release Complete, is typically retransmitted several times to ensure proper
reception by the SRNC. Several parameters can be set to tune this retransmission behaviour.
This message is the uplink confirmation from UE to SRNC to indicate the procedure has been
completed successfully.
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RRC Connection Setup failure

SRNC
UE

RRC Connection Reject
IDL-CCCH)
Indication of unsuccessful RRC Connection Setup procedure

Reject cause, e.g. congestion
Wait time: time needed before retry
Optionally UE redirected to other carrier/RAT
Sometimes the RRC Connection Setup procedure can not be completed successfully, and the
UE is denied access to the network. This is typically done with the downlink message RRC
Connection Reject. A typical reject cause contained in this message is congestion, indicating
insufficient resources are available in the network to serve the user request. The user could be
instructed to wait before retry, or could be redirected to a different carrier or technology
(e.g. GSM).
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RB Setup procedure
UE
SRNC
RB Setup
RB Setup Complete
Setup dedicated resources/bit pipe user plane
Consists of 1 or 3 RBs depending on requested service

* Triggered by
RAB setup procedure (RANAP on lu interface)
The Radio Bearer Setup procedure is responsible for the establishment of the user plane bit
pipe. This is the dedicated resource for the transport of user data. The Radio Bearer Setup
procedure consists of two messages: the RRC message Radio Bearer Setup which consists of
downlink instructions form RNC to UE regarding the setup of the user data bit pipe. And
secondly, the Radio Bearer setup Complete message which is the uplink confirmation from UE
to RNC. The RB Setup procedure is triggered by the RAB Setup procedure on the lu interface.
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RB Release procedure
SRNC
UE
RB Release
RB Release Complete
Release dedicated resources/bit pipe user plane
Used for PS procedures
Not used
for CS procedures
RBs released with RRC Connection Release procedure
The Radio Bearer Release procedure consists of two RRC messages and triggers the release of
the dedicated bit pipe for the user plane. This explicit release of the Radio Bearer is only used
for PS data services. This is not done for CS services, where Radio Bearers are released with
the RRC Connection Release procedure.
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RB Setup failure
UE
SRNC
RB Setup
RB Setup Failure
In case instructed configuration not supported by UE
The figure above shows the Radio Bearer Setup Failure, which could happen if the instructed
configuration is not supported by the UE. This specific failure is occurring rather rarely.
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CS vs. PS service
PS service
CS service
RRC Connection Setup procedure I
RB Setup procedure I
R6 Reiease procedure
CS service
No RB release procedure
* All RBs released implicitly with RRC Connection Release procedure
As can be seen in the figure above, the RRC Connection Setup procedure is the first thing to
happen, and everything is concluded with the RRC Connection Release procedure. This is the
case for any kind of service, both CS and PS. Both CS and PS services also need the
establishment of the Radio Bearer through the Radio Bearer Setup procedure. This takes place
shortly after the RRC Connection Setup procedure. The situation is quite different for the
Radio Bearer Release procedure. This procedure is used for PS services. For CS services
however, the Radio Bearer(s) are released implicitly by the RRC Connection Release
procedure. This will become quite clear when analysing in detail traces for both service types.
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[ Initial Direct Transfer

UE
SRNC
Initial Direct Transfer (initial NAS message)
Used to setup lu signalling connection between SRNC and MSC/SGSN
* Carries the very first NAS message of
the session from UE to SRNC
Contains CN domain:
CS: lu signalling connection needed to MSC
PS: lu signalling connection needed to SGSN
Last step to go from idle mode to connected mode:

1)
RRC Connection Setup procedure (signalling connection UE-SRNC)
2)
Initial Direct Transfer (signalling connection UE-MSC/SGSN)
It was mentioned before that the RRC Connection Setup procedure is the first step to go from
idle mode to connected mode. The second step is the procedure shown above: the Initial
Direct Transfer procedure. This procedure is used to establish the lu signalling connection
between SRNC and the switch (MSC/SGSN). This means that after these two procedures the UE
is able to exchange signalling with the switch. The RRC message Initial Direct Transfer is also
carrying the very first NAS message of the service session. The Initial Direct Transfer message
also contains the Core Network domain identity. This information element enables the SRNC to
setup the correct lu signalling connection (lues or lups), and to forward the very first NAS
message to the correct network element (MSC or SGSN).
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Uplink/Downlink Direct Transfer

SRNC
UE
I
I
Uplink Direct Transfer (NAS message)
Downlink Direct Transfer (NAS
message)
.!
i
Used to carry NAS messages between UE and SRNC, once the lu signalling connection exists
Carries all NAS messages
of the session except the initial NAS message
During a service session many more NAS messages need to be exchanged between UE and
switch. These NAS messages can be carried up and down between UE and SRNC using the
Uplink Direct Transfer and Downlink Direct Transfer messages. Both RRC messages can be used
to carry NAS messages once the lu signalling connection is setup. They carry all NAS messages
except the initial one. These RRC messages can be seen as RRC envelopes carrying the service
related signalling.
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Mobile Originating Call - part 1

UE
RRC Connection Request
J22
SRNC
'IJO
RRC Connection Setup Complete 2
RRC Connection Setup
(MM CM
Downlink Direct Transfer
Service Request)
(MM Auth Req)
message
4k
Uplink Direct Transfer (MM Auth Resp)
4L
Security Mode Command
Security Mode Complete
Authentication procedure: double check UE id
Security Mode procedure: ciphering
Uplink Direct Transfer (CC Setup)
Downlink Direct Transfer (CC Call Proceeding)!
RB Setup
RB Setup Complete
M-
a.
NAS signalling: service setup part 1
RB Setup procedure
This slide and the next one show in detail the involved RRC and NAS messages for a Mobile
Originating voice Call.
First the UE needs to go from idle mode to connected mode. This is done with the RRC
Connection Setup procedure discussed before, and with the Initial Direct Transfer message
containing the first NAS message of the session. The initial NAS message used for a voice call is
CM Service Request belonging to the Mobility Management class of layer 3 messages. CM stands
for Call Management. By the way, a video call is using exactly the same initial NAS message, so
this information is not useful to differentiate between these two services. After performing
these two procedures, the UE is in connected mode and is able to exchange signalling
information with the switch. Next follows the authentication procedure consisting of the layer
3 messages MM Authentication Request and MM Authentication Response. These messages are
carried by the RRC messages Downlink direct Transfer and Uplink Direct Transfer. This
procedure allows verification of the UE id. The security Mode procedure follows and consists of
two messages as can be seen on the slide. This procedure is triggered by the switch and is used
for ciphering. Next we again have some service related signalling regarding the service setup.
The NAS messages CC Setup and CC Call Proceeding are exchanged. Here CC stands for Call
Control. The CC Setup message is used for example the send the telephone number of the
called party to the MSC. The switch than communicates back to the UE that the call is being
processed by sending the NAS message CC Call Proceeding. Next we can proceed with the
setup of the user plane bit pipe. This is done with the Radio Bearer Setup procedure. The
remaining signalling for the MOC voice call can be found on the next slide.
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| Mobile Originating Call

UE
part 2
SRNC
Downlink Direct Transfer (CC Alert
ng)
Downlink Direct Transfer (CC Connect I
Uplink Direct Transfer (CC Connect Ack)
ACTIVE CALL
Uplink Direct Transfer (CC D;-:,i. onn-jr t.)
*,
Downlink Direct Transfer (CC Release)
NAS signalling: service release
Uplink Direct Transfer (CC Release Complete)
RRC Connection Release

RRC Connection Release Complete_.

RRC Connection Release Complete
After the Radio Bearer Setup procedure we continue with some service related signalling (layer
3 messages). The downlink message CC Alerting indicates the ringing tone at the called party
heard by the calling party. CC Connect indicates to the calling party that the called party picks
up the phone. CC Connect Acknowledge is the confirmation of the previous message in the
uplink. After this service related signalling the actual voice call can finally start (active call).
When the calling party wants to stop the conversation (push red button), the NAS message CC
Disconnect is sent in the uplink. We get a CC Release in the downlink which is actually
confirmed with a CC Release Complete in the uplink. At the end everything is concluded with
the RRC Connection Release procedure.
As one can notice the Radio Bearer Release procedure is indeed not used for this CS voice call.
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Mobile Terminating Call - part 1

UE
,
SRNC
Paging Type 1
Paging related to MTC

RRC Connection
Setup Complete
(MM Paging Response!
First NAS message
(MM Auth Reg)
Authentication procedure: double check UE id
Security Mode procedure: ciphering
(CC Setup)
Uplink Direct Transfer (CC Call Confirmed)

}
RB Setup
RB Setup procedure
RB Setup Complete
The next two slides show the signalling for a Mobile Terminating voice Call (MTC). It is quite
similar to the MOC, so only the differences will be highlighted.
Since the UE is being called by the other party, we first need to page the UE. This will trigger
the UE to establish a connection to the network with the RRC Connection Setup procedure. As
a response to the paging, the UE sends the initial NAS message MM Paging Response to the
switch. This is followed by the authentication and the Security Mode procedure, and is not
different from the Mobile Originating Call. After this the NAS message CC Setup is exchanged,
but this time in the other direction (downlink). This is used to send information regarding
service setup to the UE. The UE responds with CC Call Confirmed. After this we can continue
with the Radio Bearer Setup procedure. The remaining of the signalling can be found on the
next slide.
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Mobile Terminating Call - part 2

SRNC
UE
Uplink Direct Transfer (CC Alerting)
_.
Uplink Direct Transfer (CC Connect)
Downlink Direct Transfer (CC Connect Ack)
ACTIVE CALL
Uplink Direct Transfer (CC Disconnect!
Downlink Direct Transfer (CC Release)
NAS signalling: service release
Uplink Direct Transfer ICC Release Complete) .

_.
The phone starts to ring at the called party, and this is indicated to the calling party with the
CC Alerting message. When the called party picks up the phone, this is indicated to the calling
party with the CC Connect message. The CC Connect Ack is the downlink confirmation that
follows. After this the call is active.
In the figure above the called party finally wants to stop the call. This is communicated in the
uplink with the NAS message CC Disconnect. This is followed by CC Release in the downlink and
the confirmation in the uplink. Everything is concluded with the RRC Connection Release
procedure.
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Analysis for abnormal signalling sequences
RRC failure or reject messages
e.g. RRC Connection Reject
RRC messages with abnormal cause values

Transition to idle mode with abnormal RRC Connection release cause value
NAS messages with abnormal cause values
E.g. CC Release with cause value abnormal release"
Abnormal termination or release of session
Transition from connected mode to idle mode without RRC Connection release
Abnormal messages sequences
There are several ways to recognise abnormal signalling such as for example dropped calls and
call setup failures. The most typical dropped call can easily be identified by a connected
mode-idle mode transition without the RRC Connection Release procedure. Another way to
detect problematic signalling is to look for RRC failure or reject messages, e.g. RRC Connection
Reject. Also abnormal cause values for RRC or NAS messages could he helpful, but most of the
time it is unspecified which is not really helpful for further analysis. Also abnormal message
sequences could be a sign that something goes wrong and that further analysis is needed, e.g.
the Active Set Update procedure that will be looked at in the next chapter.
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Introduction to counters 6 statistics - air interface signalling

UE counters 6 statistics
Counters St statistics
Message count at specific network element
Compare different message counters against each other
Introduction to counters & statistics regarding air interface signalling (RRC St NAS)
UE counters & statistics
RNC counters St statistics
In the following slides an introduction to counters and statistics will be presented. Only the
signalling present on the air interface will be reviewed: RRC and NAS signalling. First the UE
counters and statistics captured on the Uu interface will be discussed. Next the RNC counters
and statistics captured on the lub interface between node B and RNC. Counters are actually a
message count performed at a specific network element. Statistics can be obtained from these
counters and by comparing them against each other. This will be illustrated in detail in the
following slides.
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Counters a statistics collected at UE
Easily done with drive test log file
Easy to collect information on one specific user
Provides a zoomed-in view
No general (network) performance overview
The figure above shows the collection of UE counters and statistics regarding the air interface
signalling. This can easily be done by performing a message count on a drive test log file. It is
extremely easy to collect information on one specific user, and this provides a zoomed-in view.
However, this method does not enable collection of information regarding the general network
performance.
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UE counters & statistics
air interface signalling - example
UE counters 6 statistics
Message count:
RRC Connection Setup Complete: 10
RRC Connection Release: 5
Compare message counters:
5 out of 10 RRC connections not properly released: 5 dropped calls/failed calls
The figure above shows a practical example on UE counters and statistics collected at the air
interface. In this example focus is put on the RRC Connection Setup and RRC Connection
Release procedures.
The RRC Connection Setup procedure consists of three messages, and is concluded with the
RRC Connection Setup Complete message. In this case 10 of these messages have been counted
in the log file, and as a result 10 services have been used.
The RRC Connection Release procedure is initiated with the RRC Connection Release message.
We do not focus on the RRC Connection Release Complete message, as this message is
repeated several times. In this example only 5 RRC Connections have been released.
Normally, every RRC connection setup at the service start should be released at service
release. This means that in the example above 5 out of 10 RRC connections have not been
released properly, indicating 5 dropped calls or failed calls.
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RNC counters & statistics - air interface signalling
RNC counters & statistics
RNC
RRC
Counters & statistics collected at RNC
Provides a general (network) performance overview
No information on one specific user
Exactly the same principles as UE counters & statistics

But: more difficult to implement because of mobility
The figure above shows more details on the collection of RNC counters and statistics, only
regarding air interface signalling. These counters and statistics do provide a general network
performance overview regarding a specific RNC area. However, specific user information is not
available anymore. Exactly the same principles apply as with UE counters and statistics, but
implementation is more complicated because of mobility. This will be explained in more detail
in the next slide.
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Message count RNC1:
RRC Connection Setup Complete:
RRC Connection Release: 0
Compare message counters:

No dropped call/failed call: call released on different SRNC (mobility)!!!
RNC statistics should take SRNC relocation into account
In the figure above a practical example is shown regarding the principles of RNC counters and
statistics. In position 1, the UE performs the RRC Connection Setup procedure, and the RRC
connection is established between the UE and the Serving RNC. RNC1 is the Serving RNC since
only a cell belonging to node B 1 is involved, and RRC messages will be counted by this RNC.
When the UE moves towards position 2, also cells belonging to different RNCs will be involved.
In position 2 the UE is only served by a cell controlled by RNC2, and RNC1 is not involved
anymore since the Serving RNC relocation procedure has been performed. This means that
RNC2 is the Serving RNC for the second UE position. At the end of the service the RRC
Connection needs to be released again. This is done by exchanging RRC messages between UE
and the Serving RNC. This means the messages regarding the RRC Connection release
procedure are counted this time by RNC2. This results in an unbalance in message count at
RNC1 caused by mobility and the resulting Serving RNC relocation procedure, and this
unbalance is not caused by dropped or failed calls. This example shows that RNC statistics
should take mobility into account, making the practical implementation a lot more
complicated.
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Module 6: soft handover operation

UMTS link budget
Idle mode behaviour
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3G handover types
Intra-frequency handover
Between cells with same carrier
soft/hard handover
Inter-frequency handover
Between cells with different carrier
Inter-system/inter-RAT handover
* Between 3G and 2G celts
Three different handover types are available in 3G: intra-frequency handover, inter-frequency
handover and inter-RAT handover.
Intra-frequency handover is the most common handover type in 3G. This concerns handover
between 3G cells belonging to the same 5MHz carrier. Both soft handover and hard handover
can occur, but the latter is rather exotic. This handover type will be discussed in detail in this
chapter.
Inter-frequency handover is a handover from a 3G cell on one carrier to another 3G cell on a
different 5MHz carrier. This is always a hard handover since we are speaking about two
different frequencies. This handover type is not analysed in detail in this training, but is
covered in the most advanced 3G training (Advanced optimisation for 3G data services - HSPA
multicarrier implementation).
The last handover type on the slide is the inter-RAT handover. Inter-RAT stands for inter Radio
Access Technology. This means a hard handover between a 3G cell and a 2G cell. This
handover type will be discussed in detail in the next chapter, since this is a very important
mechanism to save your call when 3G coverage is still limited.
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[ 3G neighbour list
Different 3G handover types result in different 3G neighbour list types
intra-frequency handover: intra-frequency NB list

Inter-frequency handover: inter-frequency NB list
tnter-system/inter-RAT handover: inter-system NB list
These different NB lists are only communicated to the UE on a need-to-know basis
* Intra-frequency NB list
Always needed in 3G operation
Sent to UE at start of session

* Inter-frequency NB
list
Only needed when handover to second carrier is considered
Sent to UE when Compressed Mode is entered
Inter-system NB list
Only needed when handover to 2G is considered
Sent to UE when Compressed Mode is entered
Neighbour list transmitted to UE with RRC Measurement Control message
The fact that we have different 3G handover types results in different 3G neighbour list types:
intra-frequency neighbour list, inter-frequency neighbour list and inter-RAT neighbour list.
The intra-frequency neighbour list is needed for the intra-frequency handover. This list
contains 3G neighbour on the same 5MHz carrier. This neighbour list is always needed in 3G
operation, and needs to be available to the UE from the start of the session.
For the inter-frequency handover the inter-frequency neighbour list is needed. This contains
the 3G neighbours, but this time on a different carrier. This list is only needed when a
handover to a second carrier is considered, and will only be communicated to the UE once
compressed mode is entered. Compressed mode is also needed for the inter-RAT handover, and
will be discussed in a lot of detail in the next chapter.
Finally, the inter-RAT neighbour list is needed for the 3G-2G handover. This neighbour list
contains the 2G neighbours for the concerned 3G cell. This list is only needed by the UE when
handover to 2G is considered, and will only be sent to the UE once compressed mode is
entered.
The RRC message Measurement Control is used in connected mode to send neighbour lists of all
types to the UE. This message will be analysed in detail in this chapter and the next one.
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Intra-frequency soft handover
Handover between cells with same carrier
Soft handover:
UE connected simultaneously to multiple cells
lur interface needed if several RNCs involved

* Soft handover area:
Overlapping cells with same quality
The figure above illustrates intra-frequency soft handover, which is the most common
handover type in 3G operation. Both cells (green and blue) in the figure are using the same 3G
carrier. The UE is moving, in connected mode, from the left most position to the middle one
and further to the right position.
In the first position completely on the left only one dominant cell is available (green cell). The
UE is connected with one radio link to this cell.
Next the UE moves further to the right and ends up in the middle position. In this area both
green and blue cell have more or less equal quality (Ec/No). In this overlapping area between
the two cells the UE will have two simultaneous radio links in connected mode. This is called
soft handover, and the overlapping cell area with comparable quality is called the soft
handover area. Both radio links will carry the same signalling (RRC and NAS) and user data,
both in uplink and downlink. This redundancy will eat additional capacity in the network, but
will also result in the so-called Soft Handover Gain. Because of soft handover a 2-3 dB
reduction in transmission power is achieved.
At the end the UE is moving further to the right and ends up in the final position. Here only the
blue cell is dominant, while the green cell is quite weak compared to the blue one. In this
position the UE will only have one radio link, and this towards the blue cell. The UE is not in
soft handover anymore.
Soft handover, where the UE is connected simultaneously to multiple cells, is only possible
when the lur interface between the different involved RNCs is implemented. Otherwise a hard
handover will be used instead.
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Intra-frequency soft handover area
Active Set (AS): all cells the UE is connected to in connected mode
* Typically Active Set is limited to maximum three cells
Several possibilities for soft handover area:
2-cell soft handover area
3-cell soft handover area
Soft handover causes redundancy, but results in reduction of transmitted power (SHO Gain)
The figure above shows the intra-frequency soft handover area for the three cell case. We
have both 2-cell soft handover areas indicated in blue, and a 3-cell soft handover area
indicated in red. This soft handover causes redundancy but results in soft handover gain as
mentioned before.
All the cells the UE is connected to in connected mode belong to the UEs Active Set (AS). The
maximum amount of cells that the UE can be connected to is limited by the parameter
Maximum Active Set Size. Typically maximum three cells are allowed in the active set.
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Intra-frequency soft handover gain
delta Ec/No between AS cells (dB)
Left graph
* SHO gain as function of ft active set
cells with equal Ec/No
Optimal point: (maximum) three cells in active set
Right graph
* Only two
cells in active set
SHO gain as function of delta Ec/No between two active set cells
The smaller the difference between the active set cells, the higher the SHO gain
The figure on the left side shows the Soft Handover Gain as function of active set count. It is
assumed that all cells in the active set have equal Ec/No. It is quite clear that more cells in
the active set result in higher soft handover gain. However the additional gain is decreasing
with the active set count. As a conclusion it is recommended to allow not more than three
simultaneous cells in the active set. For more than three cells in the active set, the additional
capacity loss would outweigh the additional Soft Handover Gain.
The figure on the right shows the Soft Handover Gain as function of the quality difference
between the active set cells. It is assumed that only two cells are present in the active set.
The smaller the quality difference between the active set cells, the higher the resulting Soft
Handover Gain. If the quality difference is getting bigger than 4dB, it is recommended to kick
the worst cell out of the active set, since it is not contributing to the Soft Handover Gain
anymore.
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Intra-frequency hard handover
Handover between cells with same carrier
" UE connected to maximum 1 cell at a time

Connection release old cell and connection setup new cell performed simultaneously
Occurs if several RNCs involved without lur interface
The figure above shows the more exotic case of intra-frequency hard handover, where both
cells still belong to the same carrier. In this case the lur interface between the different RNCs
involved is not implemented. As a consequence soft handover is not allowed here and the UE
can only be connected to one cell at a time. The hard handover occurring here involves a
synchronised swap from a radio link to the green cell to a radio link to the blue cell. Up to now
the author has not encountered this handover type in any commercial network.
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Inter-system/inter-RAT handover
Handover between 3G and 2G celts
Always hard handover
Important mechanism to save call when leaving 3G coverage area
The figure above shows the inter-RAT handover, where a handover is performed from the
green 3G cell to the blue 2G cell. Since this concerns two completely different technologies,
using different frequency bands, only a hard handover is possible. The inter-RAT handover is a
very important mechanism to save the call when the 3G coverage area is still quite limited
(initial 3G network rollout). As mentioned before this handover type will be analysed in great
detail in the next chapter.
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Inter-frequency handover
Handover between cells with different carrier
Always hard handover
Different types: load based, service based, UE triggered
The figure above shows a handover type only used in the more advanced 3G networks with
second carrier (or multiple carriers): the inter-frequency handover. Here both 3G cells are
using a different 5MHz carrier, and quite often these cells are co-located to increase capacity
in hot spot areas. This is always a hard handover. Different inter-frequency handover types are
available such as load based handover, service based handover and UE triggered handover.
These types will not be discussed any further in this training.
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3G UE reporting modes
UE instructed to report to SRNC
Reports sent on e.g. CPICH Ec/No, CPICH RSCP
Reporting is done by sending RRC Measurement Report in uplink
Two reporting modes available:
Event based reporting
UE sends Measurement Report when something happens (event)
Periodic reporting
UE sends Measurements Reports, regardless of event occurrence
Most vendors use event based reporting or combination of event based/periodic reporting
Event based reporting: no waste of RNC resources
In connected mode the UE is instructed to report all kinds of information to the serving RNC.
This could be, for example, CPICH Ec/No or CPICH RSCP. This reporting is done by sending RRC
Measurement Reports in the uplink. The UE is instructed by the serving RNC about what/when
to report, and the instructions are given with the RRC message Measurement Control. Two
kinds of reporting are available: event based reporting and periodic reporting. For event based
reporting the UE only sends the uplink Measurement Report when something is happening, the
so-called event. For periodic reporting the UE send Measurement Reports all the time,
regardless of event occurrence. Most of the vendors use event based reporting, or a
combination of event based and periodic reporting. In case of periodic reporting the UE is
sending Measurement Reports all the time, even if nothing is happening. These report need to
be analysed by the RNC and can cause a big waste of RNC resources.
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3G UE Measurement Report types

*
Event 1x series: intra-frequency measurement reports
* Event 2x series: inter-frequency measurement reports
Event 3x series: inter-system measurement reports
Event 4x series: traffic related measurement reports
Event 5x series: quality related measurement reports
Event 6x series: internal UE measurements reports

* Event 7x series: positioning related measurement reports
Periodic reporting
Intra-frequency measurement reports
Inter-system measurement reports
Different types of 3G UE Measurement Reports are available. First of all one can differentiate
between event based Measurement Reports and periodic Measurement Reports.
For the event based Measurement Reports one can define seven series of events as shown in
the slide above. Event 1 series will be discussed in more detail in this chapter. Event 2, event
3 and event 6 series will be covered in the next chapter, as they are closely related to interRAT handover. Event 4 series will be covered in the chapter on PS services. All remaining series
are not really used by any operator and will not be covered in this training.
For the periodic reporting one can differentiate according to what is measured: e.g. same 3G
carrier, different 3G carrier, different technology (2G).
In the next slides the event 1 series will be analysed in detail and all relevant parameters will
be discussed.
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[Event 1a
Radio Link addition
Measurement Report 1 a: event 1a must be fulfilled for duration tttia
Enter event 1a (): CPICH
Leave event 1a (): CPICH
Parameters: tttia (e.g. 200ms), RepRangela (e.g. 4dB), Hystla (e.g. 2d8)
>
<
CPICH(best) - RepRangela
CPICH(best)
Hyst1a/2
RepRangela - Hyst1a/2
The figure above shows operation and parameters for the event 1a, also called Radio Link
addition. When a neighbour is getting quite good (Ec/No) compared to the best cell in the
active set, the UE would like to add this cell to the active set. The reference for this event is
the quality of the best cell (CPICH1). Two windows can be defined for this event: the enter
event 1a window (green line) and the leave event 1a window (red line). These two lines are
tracking the CPICH Ec/No of the best active set cell as can be seen on the figure. When a
neighbour is entering the green window this means the neighbour is getting quite good
compared to the best cell. If this condition is met for a specific amount of time, tttia (timeto-trigger 1a), the UE will send a Measurement Report 1a in the uplink requesting the serving
RNC to add this neighbour to the active set. If during this timer tttia the neighbour CPICH
Ec/No is leaving the red window, the condition for event 1a is not met anymore and the cell is
not added to the active set. The difference between green window and red window is equal to
Hystla, as can be seen from the formulas above. This to avoid ping pong with regards to
entering and leaving event 1a.
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Event 1a - Radio Link addition without hysteresis
Measurement Report la: event 1a must be fulfilled for duration tttla

Enter event 1a (): CPICH > CPlCH(best) - RepRangela + 0
CPICH(best) - RepRangela - 0
Leave event 1a (): CPICH
Zero hysteresis can lead to ping pong for the event
<
The figure above shows what could happen if a zero hysteresis (Hyst1a= 0) is used. This would
mean entering and leaving the event 1a would be triggered by entering or leaving the same
window. A small variation in the neighbour CPICH Ec/No (CPICH2) could cause ping pong
regarding entering and leaving the event 1a. The UE would have to start the timer tttla every
time the window is entered, and would have to stop the timer tttla every time the window is
left. This behaviour is not visible on the air interface, but will cause quicker UE battery drain
because more processing power is needed.
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Event 1b- Radio Link deletion
Measurement Report 1b: event 1b must be fulfilled for duration tttlb
Enter event 1b (): CPiCH < CPICH(best) - RepRangelb - Hyst1b/2
Leave event 1b (): CPICH
>
CPICH(best) - RepRangelb * Hyst1b/2
Parameters: tttlb (e.g. 640ms), RepRangelb (e.g. 4dB), Hystlb (e.g. 1dB)
The figure above shows operation and parameters for the event 1b, also called Radio Link
deletion. When a cell in the active set is getting quite bad (Ec/No) compared to the best cell
in the active set, the UE would like to remove this cell from the active set. The reference for
this event is the quality of the best cell (CPICH1). Two windows can be defined for this event:
the enter event 1b window (green line) and the leave event 1b window (red line). These
two lines are tracking the CPICH Ec/No of the best active set cell as can be seen on the figure.
When an active set member is leaving the green window this means the cell is getting quite
bad compared to the best cell. If this condition is met for a specific amount of time, tttlb
(time-to-trigger 1b), the UE will send a Measurement Report 1b in the uplink requesting the
serving RNC to remove this cell from the active set. If during this timer tttlb the cell CPICH
Ec/No is entering the red window, the condition for event 1b is not met anymore and the cell
is not removed from the active set. The difference between green window and red window is
equal to Hystlb, as can be seen from the formulas above. This to avoid ping pong with regards
to entering and leaving event 1b.
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Event 1c - Radio Link replacement

eic fulfilled
* Enter event 1c (): CPICH > CPICH(worstAS) + Hyst1c/2
Leave event 1c (): CPICH < CPICH(worstAS) - Hyst1c/2
Parameters: tttlc (e.g. 200ms), Hystlc (e.g. 2dB)
The event 1c is also called Radio Link replacement: combined removal of worst cell from the
active set and addition from best neighbour to the active set. This happens if the active set is
completely filled (typically three cells in active set), and the best neighbour is getting a
certain number of dBs better than the worst active set member (green window: enter event
1c) . This condition should be met for a timer tttlc. However, if during this timer tttlc the
best neighbour is leaving the red window (leave event 1c), the radio link replacement is not
carrier out. The hysteresis Hystlc is used to avoid ping pong regarding entering and leaving the
event 1 c.
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Event 1d - change of best cell in AS
IBeld fulfilled
Ec/No
Measurement Report eld
wm e1d not fulfilled 1
CPICH2
enter event 1d
CPICH1
ileave event 1d
time
Measurement Report id: event 1d must be fulfilled for duration tttld
Enter event 1d (*): CPICH
>
CPICH(best)
Leave event 1d (): CPICH
<
CPICH(best) Hyst1d/2
Hyst1d/2
The figure above shows operation and parameters for the event 1d, indicating change of best
cell in the active set. This event is important for specific vendors not combining 3G intra
frequency neighbour lists, as will be explained later in this chapter. The event is also used to
arrange mobility regarding serving HSPA cell, which is covered in the more advanced PS
optimisation training. The reference for this event is the quality of the best cell (CPICH1 ). Two
windows can be defined for this event: the enter event 1d window (green line) and the
leave event 1d window (red line). These two lines are tracking the CPICH Ec/No of the best
active set cell (CPICH1) as can be seen on the figure. If one of the active set members is
entering the green window this means this cell is getting a certain number of dBs better
compared to the previous best cell. If this condition is met for a specific amount of time, tttld
(time-to-trigger 1d), the UE will send a Measurement Report 1d in the uplink indicating change
of best cell in the active set. If during this timer tttld the cell CPICH Ec/No is leaving the red
window, the condition for event 1d is not met anymore and the Measurement Report 1d is not
sent. The difference between green window and red window is equal to Hystld, as can be seen
from the formulas above. This to avoid ping pong with regards to entering and leaving event
1d.
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3G UE reporting mode parameters
ttt
time-to-trigger
* Amount of time event must occur before it is reported
Reporting Range
Hysteresis
To avoid ping pong between entering and leaving event
Periodic reporting
Repeating period
Time in between measurement reports
Number of repeats
Maximum number of measurement reports that can be sent
This slide gives an overview of all parameters related to 3G UE measurement reporting.

For event based reporting, all events seen up to now use a timer or time-to-trigger to define
how quickly the event should be reported. Most of the events (e.g. e1a) use a Reporting Range
and Hysteresis, that combine to two windows: one for entering the event and a second window
to leave the event. The hysteresis is used to avoid ping pong between entering and leaving the
event. Some events (e.g. e1c) use a Hysteresis without a Reporting Range to define the
entering and leaving windows. Other events dont use any hysteresis at all as we will see later
on (e.g. e6a).
Periodic reporting has not been discussed up to now. Typically one has to define the repeating
period, which is the time in between the periodic Measurement Reports. Also the maximum
number of periodic Measurement Reports can be defined. Some examples of periodic
Measurement Reports will be analysed in the next chapter.
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Active Set Update procedure

SRNC
UE
J
j
RRC Connection Setup Complete
i Initial Direct Transfer IMM CM Service Request),:
Measurement Control
Measurement Control
First NAS message

Instructions from RNC to UE
e.g. 3G NB list, event parameters (1a, 1b, 1c, ...)
Measurement Control
Measurement Report
Event based Measurement Report 1a/ 1b/ 1c
Active Set Update
Active Set updated according to preceding

Measurement Report
Confirmation Active Set Update executed
Active Set Update Complete
Measurement Control
Updated neighbour list (if required)
The Active Set Update procedure is used to change the active set content, and this behaviour
is closely related to mobility. The figure above gives an overview of the signalling related to
the Active Set Update procedure (indicated in red). As always, the UE first has to go from idle
mode to connected mode. This is done with the RRC Connection Setup procedure and the
initial Direct Transfer procedure. Shortly after these procedures the serving RNC is sending a
couple of RRC Measurement Control messages in the downlink to the UE. These contain
instructions from RNC to UE regarding 3G neighbour list, event parameters (e.g. e1a, e1b and
e1c) and other important information.
We assume now that the UE is driving around, and after a while the conditions for one of the
events 1a/ 1b/ 1c are met. This is reported by the UE in the uplink with an event based
Measurement Report message. This means the UE is actually asking the serving RNC to change
the content of the active set, by adding or deleting a cell to/from the active set. The UE is
now waiting for a reaction from the RNC. The actual command from RNC to UE to update the
active set is given with the RRC message Active Set Update. Once the update is done, the UE
will confirm this to the RNC with the Active Set Update Complete message. For most of the
vendors the neighbour list given to the UE is a combination of neighbour lists of all cells in the
active set. This means that if the active set content has changed, an updated neighbour list
should be sent to the UE with the Measurement Control message. Some vendors only use the
neighbour list of the best cell in the active set, and this means a change in the active set
content does not automatically lead to an updated neighbour list.
In the next slides a more detailed description will be given on each of these RRC messages
belonging to the Active Set Update procedure, and the message content will be illustrated
with an example from the log files.
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Measurement Control
UE
SRNC
Measurement Control
Contains downlink instructions from RNC to UE
Initial instructions should be given, without delay, once connected mode is entered
Further instructions only given on a need to know basis, e.g. updated neighbour list
Measurement Control can contain instructions on

Neighbour list: 3G intra-frequency, 3G inter-frequency, 2G
Event parameters
Quantity for cell/event evaluation, e.g. Ec/No, RSCP
e.g. event 1a: RepRangela, Hystla, tttla
Reporting quantities, e.g. Ec/No, RSCP

Compressed Mode activation /deactivation
The Measurement Control message is used by the RNC to give instructions to the UE. The initial
instructions should be given, without any delay, once the UE is in connected mode. Further
instructions will only be given on a need to know basis. Measurement Control messages can
contain information on many different topics. First of all they carry neighbour list information.
This can be the 3G intra-frequency neighbour list, the 3G inter-frequency neighbour list or the
2G neighbour list. Measurement Control messages also carry information on event parameters,
for example RepRangela, Hystla, tttla and many other parameters. The instructions also tell
the UE the measurement quantity for event evaluation, e.g. RSCP or Ec/No. Measurement
Control messages tell what to report (e.g. Ec/No or RSCP), and are used to activate or de
activate compressed mode.
169
The figure above shows several extracts from a Measurement Control message. The first
highlighted part shows neighbour list information. Here the UE is instructed to remove the old
neighbour list, and to put the new neighbour list in its memory. For every neighbour the
scrambling code is given, and each neighbour is put on a specific physical location inside the
memory indicated by intraFreqCelllD. Next the UE is told that cell evaluation regarding Active
Set Update procedure should be based on CPICH Ec/No, and that both Ec/No and RSCP should
be reported in the Measurement Reports. At the end of the message the parameter values for
the different events are given. We can see, for example, parameter values for the event 1a.
Both Reporting Range and Hysteresis are given in steps of 0.5dB, and the timer is given in ms.
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Measurement Report
UE
SRNC
Measurement Report
Contains measurements from UE, sent in uplink to RNC
Event based or periodic Measurement Report
Event based Measurement Report:

* Contains information on triggering event
e.g. event 1a to add cell with SC36 to active set
Should be followed by downlink reaction from RNC
Contains measurement information on multiple cells if needed, both active/monitored set
The next message belonging to the Active Set Update procedure is the Measurement Report.
This contains measurements from the UE and is sent in the uplink to the RNC. These
Measurement Reports can be event triggered or periodic. In case of event based Measurement
Reports, additional information on the triggering event is given. Event based reports should
normally trigger a reaction from the RNC. These report can contain measurement information
on multiple cells, both active set members and neighbours.
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Measurement Report - logfile example

MS1
ceflSjmchscr* ibonlnfo
modeSpeahddo Idd
countC-SFN-Fr ame-otlerence
courtC-SFN-High 0
o 201
Measuement Report (Ul-OCCH)
Ime 19.1234 56
Command Code 16
Length : 56
Log Code (Hex) 0x412F
1.25 rtw/40 counter (32 kHz dock) 17
CFN : 0
1 25 ms counter 5040*>4o99
Logeal charnel (1) Upknk OCCH
Rh id 2
Message length 40
rrfegrityCheckJrfo
me geAuthent:abonCode 955193762 (38EFI 9A2 hex)
nc-MessageSequenceNurrfcer 6
measuc..ku4lderii<y 1
tm
22104
modeS pechcln/o Idd

prmeryCFlCH-info
pmar>iSciafnbkngCode 57
cpich-Ec-NO (20) -14.0 |dB|
cpch-RSCP (171 -98IdBm]
13]
cetiSynchsorxsabonlnfo
modeSpecihdnlo Idd
countC-SFN -Framedrtence
cotntC SFN High 0
df 201
tm: 22616
modeSpectelnfo Idd
measuedResutts
MeasuredResiits rtreFreqMeasi*ecResdUltsl
ntraFteqMeasce<f3eJtiLitf
pwnatyCPlCH -Info
pomaryScrambhngCcxje 55
cp*h-Ec-N0 (12) -180 (d8)
cpch-RSCP (13) -102 (dBm)
eventResuJs
Evr- tFlesuSs . rtraFieqEventResifis
inbaFreqE vcntResuHs
everalD el a
IntfaFreqMeasuedReculiUit
10 1
ceflSynchfonrcationlnfo
modeSpeeihddo : Idd
countC-SFN -Frame-dtff eieoce

of' 201
tm 22381
cetMeasurementEventResuis
CeB4easurementEventResu#s . fdd
modeSpecficirJo : fdd
pomaryCPICH-Info
Idd
prmaiyScrambSngCode 56
cpch-Ec NO (35) -65(dB)
cptch-RSCP (24) 91 (dBm)
10 1
pnmatyScrambingCode 56
ni
The figure above shows the content of a Measurement Report message from a log file. In this
example we have an event based report. At the end we can find the trigger for the report: the
UE would like to add cell with scrambling code 56 to the active set. The first part of the
Measurement Report shows some measured results on several cells, both active set members
and neighbours.
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Active Set Update

UE
SRNC
Active Set Update
Downlink instruction from RNC to UE to update active set

Add cell to active set
Delete cell from active set
Combined addition /deletion to/from active set
Downlink reaction on uplink request (Measurement Report) from UE
When the UE is asking to change the content of the active set with an event triggered
Measurement Report, a reaction from the RNC is awaited. The actual command from the RNC
to add a cell to or delete a cell from the active set is given by the downlink message Active Set
Update.
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Active Set Update logfile example

-
MSI
Active Set Update (DL-DCCH)
Tine 19:12-34.84
Commend Code : 16
Length: 30
log Code (Hex) 0x412F
1.25 ms/40 count (32 kHz dock) : 24
CFN 0
1 25 in* count 5040834928
logical charewJ (3) Downhnk DCCH
Rbjd 2
Message length : 14
mtegrijGieckWo
nw.jjgeAuthentjceiionCode : 4248403800 IFD181248 hex)
rrcMess jgeSeguenceNumb : 12
ActiveSetUpdate : r3
adiveSdUcMlate3
rrc-TiamauiorldenMier : 0
maxAJJowedJL-TX Powef : 24
il-AddbonlnlomationLBt
RLAddtanlnlcxmationlrtJ
101
pnmaiyCPICH-lnlo
pnmafySaamblngCode 56
d-DPCHWoPeiRl
Ol-OPCH InfoPetRl : fdd

pCPICH-Usegef oiChanrwIEst : may3eUsed
dpch-FrameOffset . 22272
tSChanneiiA-ionCodeliEt
Ol-CharneliietionCodeList .
(0)
sf -AndCodeNumbei
SF512-AncodeNumbef : sH28
sfl 28 : 6
tpcCombinatiodndex . 1
dummy : False
The content of an Active Set Update message from the log files is displayed in the figure
above. In this specific example one can clearly see the RNC is instructing the UE to add cell
with scrambling code 56 to the active set.
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UE
SRNC
- Uplink confirmation from UE to RNC regarding active set update

Change request executed
Does not contain any interesting information
Once the UE has updated the active set content as was told by the RNC, the UE will send the
Active Set Update Complete message in the uplink as confirmation.
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Filtering
UE measurements
Event evaluation
Filtering
UE reporting
Combines current measurement with past measurements (kind of average)
Filter coefficient k:
Regulates importance of past measurements
The older the past measurement, the less important it gets
k: 0 *19 (typical: k= 2)
k= 0: no filtering (only current measurement taken into account)
k=19: extreme filtering
Performed on UE measurements before event evaluation
Used to combat fast fading
Remark: UE measurement period is 200ms
In connected mode the UE is performing measurements every 200ms. These measurement are
used for event evaluation to see if the criteria for one or the other event are met. If this is the
case an event based Measurement Report will be sent in the uplink. This is the situation as we
have seen up to now.
An additional step can now be introduced between the UE measurements and the event
evaluation: filtering. Filtering is a technique used to combat fast fading, and can be
considered as a kind of measurement averaging. This technique is combining current
measurements with measurements from the past, and can be tuned with filter coefficient k.
This coefficient regulates the importance of the past measurements, and ranges from 0 to 19.
The higher the value for this coefficient the more filtering is applied and the higher the
importance of past measurements. In each case, the older the measurement the less important
it gets. A typical value for the filter coefficient k is two.
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Filter coefficient k
Measurement Control (DL-OCCHJ
T*ne: 13122123
Command Code . 16
Length 30
Loa Code (Hex! 0x412F
1.25 ms/40 courit, [32 kHz dock.) 52
CFN : 0
1 25 ms counter 5040885601
Logcd channel : (3) DownSnk DCCH
Rb_ld : 2
Message length . 14
MeasufementControl : r3
measurementCortroJ-O
trc-T ronsacbonldentifi 2
measuementldenbty : 12
measurementCommand
Me s-'jrementCommand : setup
setup
MeeasementType rterFrequencvM-asufement
interFrequer'Me osurement
ntefFregCeQdoList
removed nterfteqCeflJs*
RemovednlesFiC'jCdlLjst . iemoveNdnteiFieqCe2s
mteFreqMeasQuanhty
lepojfcrigCrieira : ntefFreqRepodingCnteoa
IdterCoelfjciefV
fc2
modeSpecfclnio fdd
The filter coefficient k can be found in the Measurement Control message, as is indicated in
the example above. Here the filter coefficient equals two.
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Filtering - impact on fast fading
The figure above shows the impact of filtering on the RSCP measurements performed by the
UE. As one can see the UE is suffering from fast fading (red signal). When filtering is applied a
kind of average is calculated combining the current measurement with measurements from the
past. This results in a more stable filtered signal (blue signal) that is more suitable to perform
event evaluation.
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Module 7: 3G-2G inter- RAT handover for CS services

UMTS link budget
3G-2G inter- RAT handover for CS services
Idle mode behaviour
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3G-2G inter-RAT handover principles
Implementation and algorithms for inter-RAT handover are vendor specific
Different building blocks
are provided by 3GPP
Downlink instructions through Measurement Control messages
Measurement reporting
Compressed Mode activation/de-activation
Handover command
Inter-RAT handover results in specific signalling (RRC) sequence
This chapter handles about 3G-2G inter-RAT handover for CS services, and analyses in detail
the different vendor specific implementations. All the building blocks regarding the inter-RAT
handover are provided by 3GPP, and it is left to the vendors to use these in the best possible
way. The next slides will analyse in detail the specific RRC signalling sequence that results
from the inter-RAT handover.
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Phases and algorithms

Connected mode UMTS j
Connected mode GSM |
Measure UMTS NBs
Measure GSM NBs
Phase 1
Normal 3G operation
Phase 2
Phase 3
3G Compressed Mode
Normal 2G operation
time
The following algorithms will be studied in detail:
Phase 1: Compressed Mode activation algorithm
Phase 2: inter-RAT handover algorithm
The figure above gives an overview of the different phases encountered in the inter-RAT
handover. Three phases can be recognised. Phase one is normal 3G operation, the second
phase is 3G Compressed Mode and the last phase is normal 2G operation. Two different
algorithms decide when to go to the next phase: the Compressed Mode activation algorithm
decides when to go from phase one to phase two, and the inter-RAT handover algorithm
decides when to go from phase two to phase three. These algorithms will be studied for the
different vendor implementations. In phase one the UE is in 3G connected mode, and measures
only the 3G intra-frequency neighbours. In the second phase the UE is still in 3G connected
mode, and measures not only 3G intra-frequency neighbours but also 2G neighbours. In the last
phase the UE is in connected mode GSM and only measures the 2G neighbours. All the little
details will be studied in this chapter.
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Compressed Mode principles
Inter-frequency/inter-system measurements can not be performed continuously without a second
receiver
3
Two solutions available
Dual receiver mobile
One receiver dedicated to each frequency
Compressed Mode
Create gaps during 3G transmission and reception
During these gaps the other frequency/system is measured
Gaps are typically (CS services) created with Spreading Factor reduction
Compressed Mode has negative impact on interference
Spreading Factor reduction (divided by two) has 3dB impact on link budget
* Best to limit maximum number of simultaneous CM users per cell

* Best to limit maximum time in CM (e.g. 12s)
Measurements on a different frequency, such as inter-frequency or inter-RAT measurements,

can not be performed continuously without a second receiver. Two solutions are available to
tackle this problem.
The best technical solution available is to use a dual receiver mobile. One receiver of the
mobile is tuned to perform 3G intra-frequency measurements, the other one is tuned to
measure the inter-RAT neighbours. This way both frequencies can be measured at the same
time. Unfortunately, these dual receiver mobiles are quite expensive and are not widely
spread.
The other solution would be to enter 3G Compressed Mode. During 3G Compressed Mode gaps
are created in 3G transmission and reception, and during these gaps the other frequency is
measured. 3G Compressed Mode for CS services typically uses spreading factor reduction to
create these gaps. As a consequence, Compressed Mode has a clear negative impact on the
interference level. The spreading factor halving has a 3dB impact on the link budget, and
because of this the user in Compressed Mode has to raise power. That is why it is best to limit
the maximum number of simultaneous users in Compressed Mode per cell, and to put a limit to
the maximum amount of time in Compressed Mode.
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Compressed Mode vs. dual receiver

US
RBC&wwswiSouofflL-CCCH)
GSM meaurements can be performed in two ways
Compressed Mode
Dual receiver
Dual receiver capability can be found in RRC Connection Setup Complete message
(3GPPTS 25.331)
As mentioned before two possibilities are available to perform inter-RAT measurements: using
a dual receiver mobile or using Compressed Mode. The dual receiver capability can be found
back in the signalling, to be more specific, in the RRC Connection Setup Complete message
containing details on the UE capabilities. This is indicated in the figure above.
183
communications
j Compressed Mode implementation

3G transmit power
A
Gap for GSM measurements
10ms Radio Frame
Compressed 10ms Radio Frame
Gap for GSM measurements
Compressed 10msRadio Frame
3G Compressed Mode:
Creation of 3G gaps for GSM measurements
By compressing 1 0ms radio frames
This requires higher instantaneous 3G transmit power during Compressed Mode
" Gaps can range in length from 3 up to 14 time slots
The figure shows more details on the implementation of 3G Compressed Mode. Gaps have to be
created in 3G transmission and reception, and during these gaps GSM measurements can be
performed. These gaps are created by compressing the normal 10ms radio frames. The figure
above shows both normal 10ms radio frames (green) and compressed 10ms radio frames (red).
Compressing radio frames means the same data has to be transmitted in less time, and as a
consequence a higher instantaneous 3G transmit power will be needed during Compressed
Mode. The gaps created during Compressed Mode can have different lengths, ranging from 3 up
to 14 time slots.
184
communications
Compressed Mode implementation

Single-frame method
Transmission Gap
*
e.g. 7 Time CI
Slots
Cl
T.
TimeSlot
z'
imiiiiimmiiiriniiimiiiimim
Normal Radio Frame
fime Slot
Compressed Radio Frame
>
Normal Radio Frame
Double-frame method
Transmission Gap
e.g. 7 Time Slots
iiimimmii
Compressed Radio Frame Compressed Radio Frame
time
Normal Radio Frame
Transmission Gap Length (TGL):
- Number of consecutive idle slots (3, 4, 5, 7, 10 or 14)
Two possibilities for Transmission Gap placement
Single-frame method: Transmission Gap occurs in one radio frame
Double frame method: Transmission Gap divided over two consecutive radio frames
At least 8 time slots should be transmitted in every radio frame
The Compressed Mode gaps can have different lengths. The number of consecutive idle time
slots can be 3, 4, 5, 7, 10 or 14, and is called the Transmission Gap Length (TGL). The
transmission gap placement can be done in two different ways: single-frame method or
double-frame method. In the single-frame method the transmission gap occurs in one radio
frame. Since at least eight time slots should be transmitted in every radio frame, this means
the single-frame method allows a maximum gap of seven time slots. In the double-frame
method the transmission gap is divided over two consecutive radio frames, and this allows the
use of the maximum transmission gap of 14 time slots.
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communications
| Compressed Mode parameters
TGPL1
A Transmission Gap pattern consists of one or two Transmission Gaps
The following parameters describe the Transmission Gap pattern:
TGSN: Transmission Gap starting Slot Number
TGL: Transmission Gap Length, expressed in number of Time Slots
* TGD: Transmission Gap start Distance, expressed in number of Time Slots
TGPL: Transmission Gap Pattern Length, expressed in number of radio frames
* Several Transmission Gap patterns can be defined
The figure above can be found in the 3GPP specifications TS 25.215, and gives an overview of
the available Compressed Mode parameters. As one can see, a Transmission Gap Pattern
consists of one or two Transmission Gaps, and can be described by the following parameters:
TGSN, TGL, TGD and TGPL. The exact meaning of these parameters is explained in the slide
above. Several Transmission Gap Patterns can be defined, each serving a specific purpose (e.g.
GSM RSSI measurements, BSIC decoding). For optimisation purposes it is not important to know
in detail all these Compressed Mode parameters.
186
communications
Hi
Compressed Mode triggers
Five different Compressed Mode triggers

CPICH Ec/No
CPICH RSCP
Downlink DCH power
Uplink Tx power
Uplink DCH quality
The complete set might not be supported by all vendors
Most popular: CPICH Ec/No and CPICH RSCP
Compressed Mode is needed to measure the GSM neighbours, and will normally result in an
inter-RAT handover to GSM. The main reason to go to Compressed Mode is the deterioration of
the 3G radio conditions. Five different Compressed Mode triggers are available to detect this
situation: CPICH Ec/No, CPICH RSCP, downlink DCH power, uplink transmit power and uplink
DCH quality. However, this complete set of Compressed Mode triggers is not supported by all
vendors. Most popular triggers are CPICH Ec/No and CPICH RSCP.
187
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Implementation vendor
SRNC
UE
Measurement Control (e2d/e2f - Ec/No)

Measurement Control (e2d/e2f
Measurement Report Ie2di
RSCPi
__
_
Physical Channel Reconfiguration

Physical Channel
Instructions RNC to UE:

Ec/No threshold for e2d and e2f
RSCP threshold for e2d and e2f
e2d fulfilled: CM trigger

CM parameters
Reconfiguration LOinplcto
Measurement Control <e3a )

2G NB list, BSIC verification needed,
e3a thresholds, CM activation
Measurement Report (e3a)
e3a fulfilled: inter-RAT handover trigger
Handover command UTRAN-GSM
Inter-RAT handover command
Handover complete
Inter-RAT handover executed
This slide shows the inter-RAT handover implementation for vendor 1. All relevant RRC
messages are indicated in red. This is the vendor specific signalling sequence related to interRAT handover.
Right after the transition from idle mode to connected mode, the UE should receive several
Measurement Control messages containing instructions from the serving RNC on Compressed
Mode triggers. For this vendor 1 implementation, one Measurement Control message contains
the event 2d and event 2f thresholds for the CPICH Ec/No, another Measurement Control
message contains the event 2d and event 2f Thresholds for the CPICH RSCP. Event 2d means
that all cells in the active set have bad Ec/No, or all cells in the active set have bad RSCP. This
is the trigger to go to Compressed Mode. Event 2f means one cell is available in the active set
with good RSCP or good Ec/No, and Compressed Mode should be left again. More details on
these events can be found in the following slides.
At a certain moment 3G radio conditions get worse, and Compressed Mode is triggered. This is
done with a Measurement Report for the event 2d.
The physical Channel Reconfiguration procedure follows containing all Compressed Mode
parameters. This procedure does not activate Compressed mode yet.
The first Measurement Control message right after the Physical Channel Reconfiguration
procedure contains additional instructions regarding the inter-RAT handover. This
Measurement Control message contains the 2G neighbour list, tells the UE to verify the BSIC of
the measured 2G neighbours, defines the new event 3a which is the actual inter-RAT handover
trigger and activates Compressed Mode. Event 3a means that all 3G cells in the active set are
bad, but at the same time there is a good 2G neighbour available. More details on this event
can be found in the next slides.
At a certain moment during Compressed Mode, 3G gets really bad and suitable 2G alternatives
are available. This triggers the Measurement Report for the event 3a.
This Measurement Report is sent to the serving RNC and triggers the inter-RAT handover
command to the best available 2G neighbour. Once the inter-RAT handover is completed, the
Handover complete message is sent by the UE in the uplink on 2G.
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| Event 2d ThldEcNo - all cells in AS bad

| e2d fulfilled
Ec/No
Measurement Report e2d
I e2d not fulfilled i
leave event 2d
ThldEcNo
enter event 2d
CPICH1
Measurement Report 2d: event 2d must be fulfilled for duration ttt2d
Enter event 2d (): CPICH(all)
<
Leave event 2d M: CPICH(best)
ThldEcNo - Hyst2d/2
>
ThldEcNo + Hy$t2d/2
Trigger to enter Compressed Mode
All details on the event 2d with Ec/No threshold can be found in the figure above. Event 2d
means that all cells in the active set are bad, in this case below a specific Ec/No threshold.
Since a hysteresis Hyst2d is available, the event 2d can be entered and left at different levels.
The difference in Ec/No between entering and leaving the event 2d is Hyst2d, as can be seen
on the figure. When all cells in the active set left the green window (enter e2d), a timer ttt2d
is started. If event 2d is fulfilled during the complete duration of the timer, a Measurement
Report e2d will be sent at timer expiry. If during the timer ttt2d one of the cells in the active
set is entering the red window (leave e2d), e2d is not fulfilled anymore and the Measurement
Report e2d is not sent. Event 2d is one of the triggers to enter Compressed Mode, in this case
because of bad Ec/No.
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Event 2d ThldRSCP - all cells In AS bad
- Measurement Report 2d: event 2d must be fulfilled for duration ttt2d

Enter event 2d (): CPICH(all) < ThldRSCP - Hyst2d/2
Leave event 2d (): CPICH(best)
>
ThldRSCP + Hyst2d/2
All details on the event 2d with RSCP threshold can be found in the figure above. Event 2d
means that all cells in the active set are bad, in this case below a specific RSCP threshold.
Since a hysteresis Hyst2d is available, the event 2d can be entered and left at different levels.
The difference in RSCP between entering and leaving the event 2d is Hyst2d, as can be seen on
the figure. When all cells in the active set left the green window (enter e2d), a timer ttt2d is
started. If event 2d is fulfilled during the complete duration of the timer, a Measurement
Report e2d will be sent at timer expiry. If during the timer ttt2d one of the cells in the active
set is entering the red window (leave e2d), e2d is not fulfilled anymore and the Measurement
Report e2d is not sent. Event 2d is one of the triggers to enter Compressed Mode, in this case
because of bad RSCP.
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Event 2f ThldEcNo good cell in AS

-
Measurement Report 2f: event 2f must be fulfilled for duration ttt2f
Enter event 2f
fa): CPICH(best) > ThldEcNo + Hyst2f/2
Leave event 2f ): CPICH(all)
Trigger to leave Compressed Mode
<
ThldEcNo - Hyst2f/2
All details on the event 2f with Ec/No threshold can be found in the figure above. Event 2f
means that one of the cells in the active set is getting good again, in this case above a specific
Ec/No threshold. Since a hysteresis Hyst2f is available, the event 2f can be entered and left at
different levels. The difference in Ec/No between entering and leaving the event 2f is Hyst2f,
as can be seen on the figure. When one of the cells in the active set enters the green window
(enter e2f), a timer ttt2f is started. If event 2f is fulfilled during the complete duration of the
timer, a Measurement Report e2f will be sent at timer expiry. If during the timer ttt2f the
previous mentioned cell is leaving the red window (leave e2f), e2f is not fulfilled anymore and
the Measurement Report e2f is not sent. Event 2f is one of the triggers to leave Compressed
Mode, in this case because a cell with good Ec/No is available again.
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Event 2f ThldRSCP - good cell in AS
= Measurement
Report 2f: event 2f must be fulfilled for duration ttt2f
ThldRSCP + Hyst2f/2
Enter event 2f (): CPICH(best)
>
Leave event 2f (): CPICH(all)
ThldRSCP - Hyst2f/2
<
All details on the event 2f with RSCP threshold can be found in the figure above. Event 2f
RSCP threshold. Since a hysteresis Hyst2f is available, the event 2f can be entered and left at
different levels. The difference in RSCP between entering and leaving the event 2f is Hyst2f,
(enter e2f), a timer ttt2f is started. If event 2f is fulfilled during the complete duration of the
timer, a Measurement Report e2f will be sent at timer expiry. If during the timer ttt2f the
previous mentioned cell is leaving the red window (leave e2f), e2f is not fulfilled anymore and
the Measurement Report e2f is not sent. Event 2f is one of the triggers to leave Compressed
Mode, in this case because a cell with good RSCP is available again.
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Measurement Control (e2d/e2f - Ec/No) - logfile

Tme 19:1*23 23
Command Code . 16
Length 30
Log Code (He*) 0x412F
1 25 ms/40 counter (32 kHz dock) 52
CFN.O
1 25 ms cocker 5040885601
leportCiitena
IntoFieqRepatDiena rterf reqReportngCrtena
intetFieqRepatmgCrtena
interFreqEventList
InterFreqEventLkt :
10]
IntoFregEvent evenl2d
everted
Logkd chamd : (3) On-** DCCH

Rb Id 2
Message length 14
useteqThrejhdd
usecfieqW : 0
hysteresis 4
rvneToTngger W320
MeasuiementConttd t3
meocceementControl 3
in
trc-T ransacbonldenhfcet 2
12
Intetf tegE vent event2f

event 2f
usetfieqT hrethokj 10
usetfieqW 0
measurementldenhty
measurementCcmmand
MeesuementCommend setup
setup
Measurement Type : nterFfeguencv44e.Kujrement

intetftequenQ>M-asurement
intetFreqC elt rtcList
removedr *etF:eqCe4jst
RemovednteFeqCetList iemosNdntetFteqCeBs
mterFregMeasQuenWy
feoortagCrtena nterf reqRepoctngCntetia
nkefCoeticaent Ic2
modeSpec4cink> Idd
IreqOuaktyEstimateQ'nttyTDO cpch-Fc-NO
rtetFreqRepctbngQuanMy
uba-Camer-RS 51 . Fake
hequencyOuoi<ystsnate Fake
norfreqSeiet'- iQuanMies
dLBtxny : ncfiepcrt
12
hysteresis 0
hmeToTngger M1280
measuemer tReportingMode
meaiurementRepOftTianslerMode : acknodgedModeRLC
penodcaCrEventTngger event Tugger
ceSdenMy-reportnglrxicaiGf Fake
c*Kynchonisaiior1nfofteooftmglnd>cator Fake
modeSpecih: mo Idd
ct*ch-c-N0-iet>xfrindk:ator : False
cpckflSCP lepcxtnglndcatot : Fake
pathloss-repoitinglndoator . Fake
leportQrtena
The figure above shows the content of a Measurement Control message from a log file
declaring e2d and e2f thresholds for Ec/No. The important information is marked. One can
recognise the filter coefficient that was discussed before, and all other event related
parameter values.
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Measurement Control (e2d/e2f
RSCP) - togfile
reportCnteria
Tw 15122123
InterFreqReportCntena nterfeqReportingCnterra
rterFreqReportDTgCrteria
te*FreqventList
Command Code 16
Length: 30
Log Code (Hex) 0x412F
1 25 ms/40 counter (32 kHz clock): 52
loterfreqEventList
roj
InterFreqEvent event2d
CFN 0
1 25 me counter 5040885609
Locai channel: (3) Do*w4rk 0CCH
Rb_ld 2
Message langth . 14
Measuemer'Contiol: r3
evenl2d
usedFreqT hreshold -106
usedFrecfU/ : 0
limeToTngger tt320
meacjicf:ientContiol-i3
PI
rrc-Tranfeetionldentsfier 3
measuremenddenMy : 13
InterFregEvent event2f
event2t
usedFreqT hreshold -101
meesuemeritCommand
MeesurementCommand: setup
uwdFreqW 0
setup
Measurement! pe . interFiequencyMeasur ement

mtesFrequencyMeasuement
nlerFreqCefflnfoLitf
removednterFreqCeaJsl
Reraove-JnierFreqCeaList : lemoveHolntefFreqCefls
nterFreqM eesQ uantrfy
reportngCntena ntwFreqReporbngCriena
limeToTngger tttl280
measixementflepcxtingMode
measurementReportTraraferMode acknov4edge<#4odeRLC
lierCoeOicient Ic2
modeSpeahdnto rdd
treqQuaityEstmateQuantfy-FDD cpch-fiSCP
rtoFreqReportngQuanWy
utraCamer-RSSI . Fake
heguencyOuaiityshmaie False
nonFreqRelatedQuanbbes
dummy noReport
c*dentiy-reperiindndic.yor False
cdCyncnronrsebonlntoRepOftnglndcatot . False
modeSpecicJnlo : Idd
cpich Ec MO-reportrfllndcatoi : False
cprch RSCP-fepcM'injlndcatcr : Fake
paihloss-feportindrxJcetoc : Fake
itoortCiicwe
declaring e2d and e2f thresholds for RSCP. The important information is marked. One can
parameter values.
194
communications
Event 3a - all cells in AS bad but good 2G NB
Measurement Report 3a: event 3a must be fulfilled for duration ttt3a
Enter event 3a
Leave event 3a (): [CPICH(best)>ThldRSCP3G+Hyst3a/2] AND/OR [GSM BCCH<ThldRSSI2G-Hyst3a/2]
: [CPICH(all)<ThldRSCP3G-Hyst3a/2] AND [GSM BCCH>ThldRSSI2G*Hyst3a/2]
3G-2G handover trigger
All details on the event 3a can be found in the figure above. Event 3a means that all cells in
the active set are bad (below a specific RSCP threshold), but at the same time a good 2G
neighbour is available with RSSI value above a given threshold. Since a hysteresis Hyst3a is
available, the event 3a can be entered and left at different levels. This hysteresis is applied
both to the 3G threshold (ThldRSCP3G) and the 2G threshold (ThldRSSI2G). When all cells in
the active set are going below the green level ThldRSCP3G-Hyst3a/2, and at the same time a
2G neighbour is available above ThldRSSI2G+Hyst3a/2, event 3a is entered and the timer ttt3a
is started. If event 3a is fulfilled during the complete duration of the timer, a Measurement
Report e3a will be sent at timer expiry. If during the timer ttt3a one of the cells in the active
set is going above ThldRSCP3G+Hyst3a/2, or all 2G neighbours drop below ThldRSSI2GHyst3a/2, e3a is not fulfilled anymore and the Measurement Report e3a is not sent. Event 3a is
the actual inter-RAT handover trigger.
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Measurement Control (e3a) - logfile

MeattfemeriiConrand : setup
setup
MeAsuremertType . irtetftATMeasurement
inletRAT MeA-uiement
lepOftCutena
IntetflATReportC-iieivi : irtefRATReportingCrtena
irtetflAT ReportaigCntena
irtetRATEvertLel
IntetRATEventlist :
rtetfiATCeUrtoLis*
removedrterRAT CeJLisi
RemovedntetRAT CHList lemoveAJrterRAT Cab
newlrt eiRAT Ce*.a
Nev4rte*RAT CeflDtf
(01
rteiRAT CeflO 0
(0)
InlesRATEvert evert3a
evert3a
thteshddOtNnSyslem -101
w
lechnotogySpeotiurto gsm
inleiRATCellndMduaDnset 0
bsc
rtetfU T MeasQuanMy
measOuanMyO TRAN-QuaBystenate
htaCoeftioert : fe2
modeSpectfcIrtfo fdd
rtiaFregMeasQuanMy-FDO :p*:hRSCP
ratSpeofidnfo : gsm
measwemertQuarrty gcmC-jmerfiSSI
ttetCodtaem fcl
teicVerticrtiorifiequied lequred
nteiHAl RepottingUuenWy
ulteri-EsbmrtedQuaftty : False
ratSpeciidrto : gstr
dummy: False
dunmy2: False
osnvCamer-RSSI True
thteshoWOthetSysiem -100
hysteresis 0
tmeToT rigger till 00
refioitmgCeSStatus
ReportingCeBStatus wUhrActSetOiVitualAclSetTrteifiATcefe
vrtheActSetOiVktuaHVctSet-IrtesRATcefc e4
measuremertReportjngMode
measuemertReportTransterMode acknowfedgedModeRLC
petiodicaDfE vert Trigger eventTngger
dpdvCompressedModeStatusirto
tgps-fleconhguraborvCFN - 208
tgp-SequenceShodLrsl
10]
tgpa 1
igps-Siaius activate
tgcfn : 208
ni
tgpu
igpsStalus activate
tgcfn: 210
12]
tgpa
tgps-Status activate
tgcfn 214
The figure above shows the content of the first Measurement Control message following the
Physical Channel Reconfiguration procedure. The first part consists of the GSM neighbour list.
Next the filter coefficients and measurement quantities are defined, both for GSM and UMTS,
and it is stated that BSIC verification is needed for GSM. After this the event 3a is declared
with all needed parameters. At the end of the Measurement Control message Compressed
Mode is activated (tgps-Status: activate).
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Vendor 1 analysis
Every dot represents inter-RAT handover
Graph shows average RSCP and Ec/No in a window of 4s preceding inter-RAT handover
Behaviour as expected
In the graph above the vendor 1 performance is analysed regarding inter-RAT handover. Every
dot represents a 3G-2G handover, and the dot indicates the average RSCP and Ec/No values in
a window of 4s preceding the actual handover. As one can notice most of the inter-RAT
handovers occur below the Compressed Mode trigger that was defined (-101dBm). This
behaviour is as expected. Also some inter-RAT handovers are happening above this threshold.
This behaviour is also quite normal, since these events occur with average RSCP values below
the threshold to leave Compressed Mode. As a conclusion the overall behaviour is as expected.
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Vendor 1 analysis
111
-106
-101
-91
-96
-81
-86
Ci UE) in CM
k
'
RSCP (dBm)
Every dot represents dropped call
Graph shows average RSCP and Ec/No in
a window of 4s preceeding drop
Analyse dropped calls where average RSCP below CM trigger
Is UE actually in CM?
If this is not the case for majority of drops: CM threshold should be stronger
In the graph above the vendor 1 performance is further analysed. In this graph every dot
represents a dropped call, and the dot indicates the average RSCP and Ec/No values in a
window of 4s preceding the actual drop. In this graph we are especially interested in the
dropped calls occurring below the Compressed Mode trigger of -101 dBm. Apparently 10 drops
take place where the average RSCP is below the Compressed Mode trigger. Now we check out,
by hand, if the UE indeed entered Compressed Mode for each of these drops. Apparently for
only one of the dropped calls the UE entered Compressed Mode before. This means the other 9
dropped calls could have been avoided probably, if the UE would have entered Compressed
Mode before. This is a strong indication that the Compressed Mode threshold is probably set
too weak, and the users are entering Compressed Mode too late leading to unnecessary
dropped calls.
198
communications
Implementation vendor 2 (part 1)

UE
SRNC
K/ L
Measurement Control lele/elf
i.
Measurement Control Ie1e/e1f
Measurement Report lelfl
Measurement Report (elf)
Ec/No)
RSCPI

Ec/No threshold for e1e and elf
RSCP threshold for e1e and elf
elf fulfilled for all AS cells: CM trigger
Physical
Channel Reconfiauration
Physical Channel Reconfiauration
j
!
complete
J.
Measurement Control
CM parameters, CM activation

2G NB list, BSIC verification NOT needed,
periodical 2G reporting
the event 1e and event 1f thresholds for the CPICH Ec/No, another Measurement Control
message contains the event 1e and event 1f Thresholds for the CPICH RSCP. Event 1f means
that one specific cell in the active set has bad Ec/No, or one specific cell in the active set has
bad RSCP. The transition to Compressed Mode is only needed if all cells in the active set are
bad. This means most of the time multiple Measurement Reports are needed for the event 1f.
Event 1e means that a cell is available in the active set with good RSCP or good Ec/No, and
Compressed Mode should be left again. More details on these events can be found in the
following slides.
done with multiple Measurement Reports (if active set contains several cells) for the event 1f.
The physical Channel Reconfiguration procedure follows containing all Compressed Mode
parameters, and this time Compressed Mode is activated.
Measurement Control message contains the 2G neighbour list, tells the UE that BSIC
verification is not needed, and instructs the UE to switch to periodic 2G reporting.
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SRNC
UE
Measurement Report (periodic)
>
Periodic 2G Measurement Reports
Measurement Report (periodic i
Instructions RNC to UE: measure one 2G NB, BSIC

verification needed, periodical 2G reporting
Measurement Control
Measurement Report (periodic 1
yA
,
Periodic 2G Measurement Reports on
selected 2G NB
.
Handover complete
The UE now starts to send periodic Measurement Reports on the 2G neighbours. The first
Measurement Reports might be empty, but after a while up to 6 2G neighbours can be
reported. As mentioned before BSIC is not verified. All these Measurement Reports are
analysed by the serving RNC, that picks out the best 2G candidate. Please note the UE is still
measuring 3G neighbours during Compressed Mode.
Next follows the Measurement Control message in the downlink, where the RNC is instructing
the UE to kick out all 2G cells form the neighbour list except one, which is considered to be
the best. This time the BSIC needs to be decoded, and periodic Measurement Reports are still
needed.
The UE continues to send the periodic Measurement Reports, but now only on the RNC selected
cell. Again the initial reports might be empty because the BSIC decoding requests some time.
Finally a Measurement Report shows up indicating the UE decoded the BSIC. This report will be
the trigger for the RNC to send the inter-RAT handover command. Handover is executed and
confirmed by the UE with the Handover Complete message.
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communications
Event 1 e ThldEcNo - good cell in AS
Measurement Report le: event le must be fulfilled for duration tttle
Enter event 1e M: CPICH > ThldEcNo + Hyst1e/2

Leave event 1e (): CPICH < ThldEcNo - Hyst1e/2
All details on the event 1e with Ec/No threshold can be found in the figure above. Event 1e
Ec/No threshold. Since a hysteresis Hystle is available, the event 1e can be entered and left at
different levels. The difference in Ec/No between entering and leaving the event 1e is Hystle,
(enter e1e), a timer tttle is started. If event 1e is fulfilled during the complete duration of the
timer, a Measurement Report e1e will be sent at timer expiry. If during the timer tttle the
previous mentioned cell is leaving the red window (leave e1e), e1e is not fulfilled anymore and
the Measurement Report e1e is not sent. Event 1e is one of the triggers to leave Compressed
Mode, in this case because a cell with good Ec/No is available again.
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communications
Event 1 e ThldRSCP - good cell in AS
Measurement Report le: event 1e must be fulfilled for duration tttle
Enter event 1e (): CPICH > ThldRSCP * Hyst1e/2
Leave event 1e (): CPICH < ThldRSCP - Hyst1e/2

All details on the event 1e with RSCP threshold can be found in the figure above. Event 1e
RSCP threshold. Since a hysteresis Hystle is available, the event 1e can be entered and left at
different levels. The difference in RSCP between entering and leaving the event 1e is Hystle,
(enter e1e), a timer tttle is started. If event 1e is fulfilled during the complete duration of the
timer, a Measurement Report e1e will be sent at timer expiry. If during the timer tttle the
previous mentioned cell is leaving the red window (leave e1e), e1e is not fulfilled anymore and
the Measurement Report e1e is not sent. Event 1e is one of the triggers to leave Compressed
Mode, in this case because a cell with good RSCP is available again.
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Event 1f ThldEcNo - bad cell in AS
* Measurement Report if: event if must be fulfilled for duration tttif
Enter event 1f (): CPICH
Leave event 1f <): CPICH
<
>
ThldEcNo - Hyst1f/2
ThldEcNo * Hyst1f/2
* Trigger to enter Compressed Mode
All details on the event 1f with Ec/No threshold can be found in the figure above. Event 1f
means that one cell in the active set gets bad, in this case below a specific Ec/No threshold.
Since a hysteresis Hystlf is available, the event 1f can be entered and left at different levels.
The difference in Ec/No between entering and leaving the event 1f is Hystlf, as can be seen on
the figure. When a cell in the active set leaves the green window (enter elf), a timer tttif is
started. If event 1f is fulfilled during the complete duration of the timer, a Measurement
Report elf will be sent at timer expiry. If during the timer tttif the cell is entering the red
window (leave elf), elf is not fulfilled anymore and the Measurement Report elf is not sent.
Event 1f is one of the triggers to enter Compressed Mode, in this case because of bad Ec/No.
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Event 1f ThldRSCP - bad cell in AS
Measurement Report if: event if must be fulfilled for duration tttlf
Enter event 1f (): CPICH < ThldRSCP - Hyst1f/2
Leave event 1f (): CPICH > ThldRSCP + Hyst1f/2
All details on the event 1f with RSCP threshold can be found in the figure above. Event 1f
means that one cell in the active set gets bad, in this case below a specific RSCP threshold.
Since a hysteresis Hystlf is available, the event 1f can be entered and left at different levels.
The difference in RSCP between entering and leaving the event 1f is Hystlf, as can be seen on
the figure. When a cell in the active set leaves the green window (enter elf), a timer tttlf is
started. If event 1f is fulfilled during the complete duration of the timer, a Measurement
Report elf will be sent at timer expiry. If during the timer tttlf the cell is entering the red
window (leave elf), elf is not fulfilled anymore and the Measurement Report elf is not sent.
Event 1f is one of the triggers to enter Compressed Mode, in this case because of bad RSCP.
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Measurement Control (e1e/e1f
reportCrtena
IrkaFreqRepcrtCnteria . ntraFreqRepoetsigCritend
ntraFreqReportmgCntena
eventfritenel ist
1ntraFreqE ventCntenaLut
mtegnlyChecklnfo
me::<sgcAuhenftcdtionCode 2727662961 [A294D571 hex)
rrc-MessageSeguenceNumber 6
MeasurementControl i3
me-asurementControl 3
[0|
event
IntraFreqEvent e1e
rrc-Iransachonldeniihei 3
measiremenddentity 5
meascjementCommand
MeasurementCommand
ele
triogennoCnrviv> actrve$eCefeQn
'hreshoWU r.t<f requency 9
hysteresis 0
setup
setup
MeasurementType rtraFrequencrf-teasuremenl
ntiaFiequencyMeasurement
timeToT rigger
inttaFreoMeatOuariitv
t*erCoetticent fc3
modeSpecfclnfo fdd
rtraFreqMe-isQuarihty-FDD cpcfc-N0
nbaFreqReporhngQuanhty
actJveSetReportmgQuanbbes
dummy rwReport
ceQdentay cepOftsnaJndcatOf Fake
ce#SwwhrorMt>orJntoRepoitinglndiealo< True
modeSoeofidnfo Idd
cpsch Ec N0 repofhngln<4cator True
cpch-RSCP reporhngindicatOf . Fake
patNo'"-'*portmQ)nicator Fake
mcnitcredC ReporbngQuantiSes
dummy ncfteport
ceQdentseportmglndcatof Fake
cgfSynchrork-yicrtnfoReportinglndcatot Fake
"1
Ec/No) - logfile
RB Id 2
tit 100
reportngCelStatus
ReportmgCeffit yus : vathmActrveSet
v*h*r 'r.eSet e3
|1 I
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If
tnggemgCondtion : acbveSetCHsOri
thretboUJ rerequencv 12
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hmeToT rigger n.&40
reportngCelSlatus
ReportmgCeiStatus -.yhirActiveSet
with--Ai.fiveSet . e3
measurement?) r'r*in1ode
measuremenfF PortlransterMode
petiodceCliEvenlTngger eventTngger
modeSpeciclnfo fdd
cpeh-Ec-NO-reportmglrefcaior Fake
cprchRSCPreportanglrxicAtOf . Fake
patNossreporhngfncfccafor - Fake
declaring e1e and elf thresholds for Ec/No. The important information is marked. One can
parameter values.
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Measurement Control (e1e/e1f
RSCP) - logfile
R8 Id 2
repoitOstesia
IntraFredRepatUrieria tntraFreqRepoctogCrrtena
intraFreqR eportmgQstena
rtegrtytlkecklnfo
n>-
?;eAiihenhcationCode 2504842225 (9549CE 81 hex)
rtc-Me >.;-*SequencefJunibef 4
McasureTrertControl i3
eventCxrfenaLKt
1ntiaFreqE vemGifenabst
mc4MJcc*ncrtContiot-f3
101
nc-Tiarv.icl.urJdentiieo . 1
meaiuerrierxidentsiy - 2
event
InfraFrecfcveril e1e
measutemenlCommand
e1e
triggewngCondiion acirveSetCdkOn
hieshoWUsedFrequency -47
hysteresis 0
bmeToTnger tftlOO
MeasurementCommand setup
setup
MeasuementTvpe rtfaFrequencyMeasuremeot
intiaFiequencyMeasutement
mtraFreqMeaiQuanMy
modeSpeohclnfo Idd
nbaFrecjMeacQuanhty FDD . cpch-RSCP
mtraFreqR eportngGuarsriy
repoitingCeKUhtt
RtratnvjCeSStatus wtnmActrveSet
v.-thinActrveSet e3
PI
activeS etR eprvtsigGuantities
event
dummy noReport
ceBdenMyrepofhnglndicator Fake
ce>yncnr orssatioriraok eporonginocator : True
modeSpedidrto Idd
cpich-Ec NO-cepalriglrwicator True

cpchRSCP-repctinglndicato* True
patNosneportfigindicalot : False
monstoedSetRepc<fcngGuanitt<es
dummy : noReport
ceSdentiiy-repoitingirdtcatof Fake
cefoyfKi*o*iisattorniciReporinglrHiQatOf False
modeSpeciicWo . Idd
cpichEc NO-repcrlmglndicator Fake
cpich R$CP-report:nglndicata Fake
pathioss
IntiaFfeqEvent ell
elf
tnggemgCcndtfjcn actrveSeCef>Orib>
ihre-.hoidlJ;edFieguency 50
hysteresis 0
tmeToT rigger lS40

irgCeflStatus
Ret 'j'tmgCeCStatus wSterActiveSet
wsherActiveSei . e3
repot
measurement?! ep-ortmgMode
measurementReportTransferMode ackno-viedgedModeRLC
per irxicalOrE vent T iKjger eventT rigger
reoortirwlndicatoi : Fake
declaring e1e and elf thresholds for RSCP. The important information is marked. One can
parameter values.
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RNC parameter: GSM NB Cell Search Period (GsmNcellSearchPeriod)
Q
GSM
I I
Time
Number of periodic inter-RAT (GSM) measurement reports during which a handover to GSM is not
possible.
Allows UE to find and report all potential GSM neighbour cells before RNC handover decision.
" The longer this RNC waiting time, the higher the chance the best 2G neighbour will be reported
by the UE
If RNC waiting time too short, RNC might select the wrong 2G neighbour resulting in handover
failure or drop
The figure above shows a quite important parameter for the vendor 2 inter-RAT handover
implementation: GsmNcellSearchPeriod. This parameter defines the number of periodic interRAT Measurement Reports during which a handover to 2G is not possible. This allows the UE to
find and report all potential GSM neighbour cells before the RNC handover decision. The longer
this waiting time, the higher the chance the best 2G neighbour will be reported by the UE. If
the RNC waiting time is too short, the RNC might take a decision too quickly and the wrong 2G
neighbour might be selected resulting in handover failure or drop.
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Vendor 2 analysis
Every dot represents inter-RAT handover
Graph shows average RSCP and Ec/No in a window of 4s preceeding inter-RAT handover
Behaviour NOT as expected: many inter-RAT handovers under excellent radio conditions
Because of CM problem!
In the graph above the vendor 2 performance is analysed regarding inter-RAT handover. Every
dot represents a 3G-2G handover, and the dot indicates the average RSCP and Ec/No values in
a window of 4s preceding the actual handover. As explained before only those taking place
below the threshold for leaving Compressed Mode can be considered as normal. In this specific
case quite some inter-RAT handovers are taking place above the threshold to leave
Compressed Mode, under quite good radio conditions. This behaviour is definitely not as
expected and can be explained by the following: for this specific vendor the implementation is
such that, once Compressed Mode is entered it is not left anymore unless no suitable 2G
neighbour can be found. This can be considered as a serious Compressed Mode problem.
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Vendor 2 vs. vendor 1
Observations show different behaviour between vendor 1 and vendor 2
Average time in CM shorter for vendor 2 compared to vendor 1
As a result inter-RAT handover vendor 2 is best performing
Claim vendor 2: best implementation results in best performance

BSIC decoding not needed for complete 2G NB list
BSIC decoding takes more time
Less time wasted results in shorter CM time
But: CM problem vendor 2
Once CM entered inter-RAT handover is performed unless no suitable 2G candidate
Short deterioration in radio conditions results in inter-RAT handover, even when average
radio conditions are excellent
Inter-RAT handover under excellent radio conditions is performed a lot quicker (less time in
CM) compared to inter-RAT handover under poor radio conditions
When comparing inter-RAT handover performance for vendor 1 and vendor 2, one can observe
quite different behaviour. The average time spent in Compressed Mode is shorter for vendor 2
compared to vendor 1. Less time wasted in Compressed Mode means the inter-RAT handover is
executed faster. The main reason for this behaviour is not really that vendor 2 does not
require BSIC decoding for the complete 2G NB list. The impact of the Compressed Mode
problem discussed in the previous slide is bigger. Inter-RAT handovers under excellent radio
conditions are executed a lot quicker compared to inter-RAT handovers under poor radio
conditions.
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SRNC
UE
Measurement Control (2d/2f - Ec/Nol
Measurement Control (2d/2f
- RSCP)

Ec/No threshold for e2d and e2f
RSCP threshold for e2d and e2f
e2d fulfilled: CM trigger
Measurement Report (e2dl

Physical
CM parameters
Channel Reconfiguration complete

Measurement Control

2G NB list, BSIC verification needed,
periodic 2G reporting, CM activation
the event 2d and event 2f thresholds for the CPICH Ec/No, another Measurement Control
message contains the event 2d and event 2f Thresholds for the CPICH RSCP. Event 2d means
that all cells in the active set have bad Ec/No, or all cells in the active set have bad RSCP. This
is the trigger to go to Compressed Mode. Event 2f means one cell is available in the active set
with good RSCP or good Ec/No, and Compressed Mode should be left again.
done with a Measurement Report for the event 2d.
The physical Channel Reconfiguration procedure follows, containing all Compressed Mode
parameters. This procedure does not activate Compressed mode yet.
Measurement Control message contains the 2G neighbour list, tells the UE that BSIC
verification is needed, instructs the UE to switch to periodic 2G reporting, and Compressed
Mode is activated.
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UE
SRNC
Periodic 2G Measurement Reports

Measurement Report l periodic)
Handover complete
The UE now starts to send periodic Measurement Reports on the 2G neighbours. The first
Measurement Reports might be empty, but after a while up to 6 2G neighbours can be
reported. As mentioned before BSIC is verified this time. All these Measurement Reports are
analysed by the serving RNC, that picks out the best 2G candidate. Once the right 2G
candidate is selected, the RNC will instruct the UE to perform the inter-RAT handover.
Handover is executed and confirmed by the UE with the Handover Complete message.
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[ Additional triggers related to inter-RAT handover
The following events can also be used regarding inter-RAT handover
e6a: UE Tx power above absolute threshold

e6b: UE Tx power below absolute threshold
e6c: UE Tx power reaches minimum value
e6d: UE Tx power reaches maximum value
For these events inter-RAT handover is based on UE Tx power

These triggers can be used in all vendor implementations
This slide gives an overview of additional triggers that can be used regarding inter-RAT
handover: the event 6 series. The events mentioned above are all related to UE transmit
power. These events can be used for all vendor implementations discussed before. In the next
slides, these four events will be discussed in detail.
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Event 6a - UE Tx power above absolute threshold

e6a fulfilled
e6a not fulfilled j
UE_TxP
Enter event 6a (): UE_TxP > Thld6a
Leave event 6a (): UE_TxP
Trigger related to inter-frequency or inter-system handover
<
Thld6a
The figure above explains in detail the event 6a, meaning that the UE transmit power is
getting above an absolute threshold. When the UE transmit power is getting above this
threshold, a timer ttt6a is started. If for the duration of this timer this condition is met all the
time, the UE will send a Measurement Report 6a in the uplink after timer expiry. If the UE
transmit power drops again below the absolute threshold Thld6a before timer expiry, the
event 6a is not fulfilled anymore and no Measurement Report 6a will be sent. This event can
be used regarding inter-frequency or inter-RAT handover.
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Event 6b - UE Tx power below absolute threshold

| e6b fulfilled
I e6b not fulfilled j
UE_TxP
Thld6b
Measurement Report 6b: event 6b must be fulfilled for duration ttt6b
Enter event 6b (): UE_TxP
<
Thld6b
* Leave event 6b f): UE_TxP
>
Thld6b
The figure above explains in detail the event 6b, meaning that the UE transmit power is
getting below an absolute threshold. When the UE transmit power is getting below this
threshold, a timer ttt6b is started. If for the duration of this timer this condition is met all the
time, the UE will send a Measurement Report 6b in the uplink after timer expiry. If the UE
transmit power goes again above the absolute threshold Thld6b before timer expiry, the event
6b is not fulfilled anymore and no Measurement Report 6b will be sent. This event can be used
regarding inter-frequency or inter-RAT handover.
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Event 6c - UE Tx power reaches minimum value

e6c fulfilled
e6c not fulfilled
UE_TxP
UE_TxPmin
Measurement Report 6c: event 6c must be fulfilled for duration ttt6c
Enter event 6c fa): UE_TxP = UE_TxPmin

Leave event 6c (a): UE _TxP > UE_TxPmin
The figure above explains in detail the event 6c, meaning that the UE transmit power is
reaching its minimum value. When the UE transmit power is reaching its minimum value, a
timer ttt6c is started. If for the duration of this timer this condition is met all the time, the UE
will send a Measurement Report 6c in the uplink after timer expiry. If the UE transmit power
goes up again before timer expiry, the event 6c is not fulfilled anymore and no Measurement
Report 6c will be sent. This event can be used regarding inter-frequency or inter-RAT
handover.
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Event 6d - UE Tx power reaches maximum value
Measurement Report 6d: event 6d must be fulfilled for duration ttt6d
Enter event 6d (): UE_TxP
Leave event 6d (): UE_TxP < UE_TxPmax
- UE_TxPmax
The figure above explains in detail the event 6d, meaning that the UE transmit power is
reaching its maximum value. When the UE transmit power is reaching its maximum value, a
timer ttt6d is started. If for the duration of this timer this condition is met all the time, the UE
will send a Measurement Report 6d in the uplink after timer expiry. If the UE transmit power
goes down again before timer expiry, the event 6d is not fulfilled anymore and no
Measurement Report 6d will be sent. This event can be used regarding inter-frequency or
inter-RAT handover.
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Additional triggers related to inter-RAT handover - high UE Tx power

UE
SRNC

thresholds for e6a and e6d
Measurement Control (e6a/e6d)
Measurement Report
ie6a)
e6a fulfilled: CM trigger
Physical Channel Reconfiguration complete
Measurement Control
Measurement Report le6di
e6d fulfilled: inter-RAT handover trigger
Handover complete
The figure above shows how the event 6 series could be used to perform inter-RAT handover
triggered by high UE Tx power. This is done with the events e6a and e6d. The UE should
receive instructions from the RNC regarding the parameter values for these events, shortly
after the RRC Connection Setup procedure. When the UE almost reaches its maximum transmit
power, the event e6a will be reported, and Compressed Mode will be entered. Later on the UE
reaches its maximum transmit power, resulting in the Measurement Report e6d triggering the
inter-RAT handover.
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Additional triggers related to inter-RAT handover - high UETx power
UE should be ready for inter-RAT handover:
e6a: maximum UE transmit power almost reached, time to enter Compressed Mode
e6d: maximum UE transmit power reached, inter-RAT handover triggered
e6a/e6d: additional events to detect loss of 3G coverage
As the UE moves away from the node B coverage area, the UE transmit power will increase.
This is shown in the figure above. The events e6a and e6d can be used to detect this loss of 3G
coverage. Event e6a can be used as Compressed Mode trigger, when the maximum UE transmit
power is almost reached. Event e6d indicates the maximum UE transmit power is actually
reached, and serves as inter-RAT handover trigger.
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[ Additional triggers related to inter-RAT handover - low UE Tx power

SRNC
UE

thresholds for e6b and e6c
Measurement Control (e6b/e6c)
j(
j
Measurement Report Ie6bl
e6b fulfilled: CM trigger
Physical Channel Reconfiguration complete
Measurement Control
Measurement Report le6c)
e6c fulfilled: inter-RAT handover trigger
Handover complete
The figure above shows how the event 6 series could be used to perform inter-RAT handover
triggered by low UE Tx power. This is done with the events e6b and e6c. The UE should receive
instructions from the RNC regarding the parameter values for these events, shortly after the
RRC Connection Setup procedure. When the UE almost reaches its minimum transmit power,
the event e6b will be reported, and Compressed Mode will be entered. Later on the UE
reaches its minimum transmit power, resulting in the Measurement Report e6c triggering the
inter-RAT handover.
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Additional triggers related to inter-RAT

reached (e.g. -50dBm)
/
node B
/
As UE moves closer to indoor antenna, UE transmit power will decrease
At certain moment UE transmit power reaches minimum value, typically -50dBm
* When moving even closer, UE can not obey power down commands anymore, resulting in excessive
Noise Rise and complete cell blocking
Solution: this situation can be avoided with e6b (CM trigger) and e6c (inter-RAT handover trigger),
pushing UE to 2G
The figure above shows in more detail how the additional inter-RAT handover related triggers
can be used to avoid problematic behaviour for indoor solutions. As the UE moves closer to the
indoor antenna, the UE transmit power will decrease. But at a certain moment, the UE
transmit power reaches its minimum value, typically -50dBm. When moving even closer, the UE
can not obey anymore the power down commands, resulting in excessive Noise Rise and
complete cell blocking. The inter-RAT handover can be used to solve this problematic
situation, by pushing the UE to 2G. In this case the event e6b is used as Compressed Mode
trigger, and the event e6c is triggering the actual inter-RAT handover.
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Inter-RAT handover optimisation tunnel - before
No 3G coverage in tunnel
Inter-RAT handover needed to save call
Outdoor case and tunnel case: same CM threshold
Result:
Tunnel case: CM entered too late, resulting in dropped call
The figure above considers inter-RAT handover optimisation for tunnels. Quite often no 3G
coverage is provided in tunnels, and the inter-RAT handover is needed to save the call. This
slide assumes that the Compressed Mode Threshold for the tunnel case is identical to the
normal outdoor case, and that RSCP is used to trigger Compressed Mode. Once the tunnel is
entered the RSCP level is dropping a lot quicker compared to the outdoor case. As can be seen
in the figure this might not allow sufficient time in Compressed Mode to perform the necessary
2G measurements. RSCP is decreasing so quickly that we might end up with a dropped call
during Compressed Mode. To avoid this problem, the UE should enter Compressed Mode
earlier, just before entering the tunnel. This is discussed in the next slide.
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Inter-RAT handover optimisation tunnel - after
Typically I0d8 stronger compared to outdoor case
Resulting in reduced 3G cell coverage
CM will be triggered just before entering tunnel
Inter-RAT handover performed successfully in tunnel
In the figure above the Compressed Mode threshold for the tunnel case, ThldRSCP_TNL, is
about 10dB stronger compared to the threshold for the outdoor case, ThldRSCP. As a result
Compressed Mode will be triggered earlier, typically just before entering the tunnel. This will
allow sufficient time for 2G measurements, and the inter-RAT handover is performed
successfully in the tunnel. One remark: using a stronger Compressed Mode threshold results in
a reduced 3G coverage area, since the UE is pushed quicker to 2G.
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Module 8: Idle mode behaviour

UMTS link budget


Idle mode behaviour
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Overview cell selection and reselection
2G 3G cell reselection
3G cell reselection:
3G 3G
3G 2G
This chapter will analyse in detail idle mode behaviour. First, cell reselection from 2G to 3G
will be discussed. Next, 3G cell reselection will be reviewed, consisting of both 3G to 3G cell
reselection and 3G to 2G cell reselection.
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2G > 3G cell reselection
- parameters
The graph above shows the main parameters involved in cell reselection from 2G to 3G:
QsearchJ, FDD_Qoffset and FDD_Qmin. We assume that the UE is camping in idle mode on a
2G cell, and that the RSSI of this serving cell is going down. At the same time we assume a 3G
neighbour is available from which the CPICH RSCP is getting better and better. At a certain
moment the reselection from the 2G serving cell to the 3G neighbour cell will be performed.
Initially the RSSI of the serving 2G cell is quite good, and the UE is happy and does not feel the
need to measure. But at a certain moment the RSSI of the 2G serving cell drops below the
parameter QsearchJ. From this moment the UE is not that happy anymore and starts to
measure.
Once the UE starts to measure an offset is applied to the 2G serving cell: FDD_Qoffset, which is
the second parameter involved. This offset can be both positive or negative. The 2G serving
cell with the offset applied is now compared against the 3G neighbour.
At a certain moment the 3G neighbour is getting better than the 2G serving cell with the offset
applied. At this moment a timer of 5s is started. If this condition is fulfilled during the
complete timer duration, then the reselection to the 3G neighbour cell can be performed, at
least if one additional condition is fulfilled: the CPICH Ec/No of the 3G neighbour cell should
be better than FDD_Qmin, which is the third parameter involved.
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2G > 3G cell reselection - QsearchJ
Always measure 3G independent
Start 3G measurements if RSSI GSM

serving cell drops below -90dBm
[of!
RSSI GSM serving cell
r Start 3G measurements if RSSI GSM
i, serving cell exceeds -54dBm
The mapping tables above show the different parameter values for QsearchJ. The first table is
used to start 3G measurement if the RSSI of the 2G serving cell drops below a specific
threshold. The second table is used to start 3G measurements if the RSSI of the 2G serving cell
exceeds a specific threshold. Several examples are given in the slide above to illustrate this
principle. A quite special parameter value can also be chosen for QsearchJ: 7 or always. This
means that 3G neighbours are always measured independent of the GSM serving cell RSSI. This
special parameter value is used by the majority of operators.
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Apply a positive offset of 16dB I

to the GSM serving cell
The mapping tables above show the different parameter values for FDD_Qoffset. The first
table is used to apply a negative offset to the GSM serving cell. The second table is used to
apply a positive offset to the serving 2G cell. Several examples are given in the slide above to
illustrate this principle. A quite special parameter value can also be chosen for FDD_Qoffset: 0
or always. This means that the 3G neighbour is always better than the GSM serving cell. This
special parameter value is used by the majority of operators.
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2G -* 3G cell reselection - FDD_Qmin
Cell reselection possible
l if CPICH Ec/No
Old mapping table (before August 2003)
New mapping table (since August 2003)

FDD_Qmin
dB
The mapping tables above show the different parameter values for FDD_Qmin. Both the old
and new tables are shown. Several examples are given in the slide above to illustrate this
principle. The new mapping table was introduced to allow operators to use higher values for
FDD_Qmin.
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j 2G > 3G cell resetection - remarks

3G cett is only a suitable candidate for reselection if also the S-criterion is fulfilled!
Defines whether a 3G cell is a suitable candidate for reselection
Two conditions to fulfill
- Qqualmeas - Qqualmin 0
Srxlev - Qrxlevmeas - Qrxlevmin (- Pcompensation)
Squal
>
>
A (handover) relation needs to be defined between the concerned cells before the 2G
3G cell
reselection is enabled
The 2G * 3G cell reselection parameters can be read from 2G system information messages
Before a reselection can be performed to a 3G cell, this cell needs to fulfil in addition the Scriterion. This criterion defines whether a 3G cell is a suitable candidate for reselection or
not. Two conditions need to be fulfilled: first of all the cell needs to have a minimum quality,
and secondly the cell needs sufficiently strong RSCP. A very typical value for Qqualmin is 18dB.
Also important to keep in mind is that a (handover) relation needs to be defined between the
concerned cells before a reselection is possible between them.
All 2G to 3G cell reselection parameters can be found on the 2G system information in idle
mode.
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3G cell reselection procedure overview

-
The following procedures regarding 3G cell reselection need to be followed:
Measurement rules
S-criterion
R-criterion
Trigger
The slide above gives an overview of the procedures that need to be followed regarding 3G cell
reselection. First of all the measurement rules will be analysed. These will tell the UE what to
measure, and when to measure. Next the S-criterion will rule what cells are suitable cell
reselection candidates. After this a ranking will be made between all cell reselection
candidates using the R-criterion. At the end the triggering condition will determine how
quickly the actual reselection can be done if all the previous conditions are fulfilled.
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3G cell reselection - measurement rules (1)

CPICH Ec/No
Qqualmin
Sintrasearch
e.g. -8dE
Qqualmin + Sintersearch
e.g. -12dE
Qqualmin + SsearchRAT
e.g. -14dB
Qqualmin
e.g. -18dB
time
The figure above shows all parameters regarding the measurement rules procedure for 3G cell
reselection. We assume the UE is initially camping on a 3G cell with very good CPICH Ec/No.
The first parameter to look at is Sintrasearch. The threshold Qqualmin + Sintrasearch will
determine if intra-frequency neighbours need to be measured or not. If CPICH Ec/No of the
serving cell is above this threshold, then there is no need to measure and the UE is happy with
the serving cell. However, if the CPICH Ec/No drops below this threshold the UE will start to
measure the intra-frequency neighbours. Lets assume now that the Ec/No is even dropping
further below a second threshold Qqualmin + Sintersearch. If this happens the UE will not only
measure the intra-frequency neighbours, but also the inter-frequency neighbours. Finally, if
the CPICH Ec/No drops below the threshold Qqualmin + SsearchRAT, then in addition also the
inter-RAT neighbours need to be measured. As a conclusion, the worse the quality of the
serving cell, the more neighbour types need to be measured.
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3G cell reselection - measurement rules (2)

CPICH Ec/No
No Sintrasearch
Qqualmin + Sintersearche.g. -12dB
Qqualmin + SsearchRAT
e.g. -14dB
Qqualmin e.g. -18dB
time
In the figure above no value for Sintrasearch is given. Under this condition the intra-frequency
neighbours need to be measured all the time, whatever the Ec/No of the serving cell. All other
parameters and thresholds in the figure remain unchanged.
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3G cell reselection hysteresis

-
2G
CPICH Ec/No
3G
cell reselection j
2G3G cell
reselection i
-*
camping on 3G
camping on 2G
FDD_Qmin
e.g. -13dB
Hysteresis: 1dB
Qqualmin + SsearchRATe.g. -14dB

Qqualmin e.g. -18dB
time
Cell reselection ping pong: called party not reachable
Sufficient hysteresis needed between 2G
At least 3dB hysteresis recommended
3G and 3G 2G cell reselection to avoid ping pong
* e.g. FDD_Qm1n= -12dB, Qqualmin + SsearchRAT=
-15dB
The figure above shows what happens if the hysteresis between 2G to 3G and 3G to 2G cell
reselection is too small.
Lets assume FDD_Qmin is equal to -13dB, a quite common value. This means that the
reselection to a 3G cell can only be done if the CPICH Ec/No of this cell is above -13dB.
Lets assume on the other hand that Qqualmin + SsearchRAT is equal to -14dB. This means that
if the CPICH Ec/No drops below -14dB, the UE starts to measure 2G neighbours and performs
the reselection to one of them if ranked best.
In the figure these two thresholds are used, and the CPICH Ec/No is fluctuating around these
thresholds, resulting in ping pong between 2G to 3G and 3G to 2G cell reselection. The
resulting hysteresis of 1dB is not sufficient to avoid this ping pong behaviour. It is
recommended to use a hysteresis of at least 3dB to avoid this kind of behaviour.
If the called party is in cell reselection, then it is not reachable and even redirection to voice
mail is not done. It is better to avoid this problematic situation and to introduce sufficient
hysteresis from the start.
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3G cell reselection S-criterion

-
Defines whether a 3G cell is a suitable candidate for reselection
Two conditions to fulfill
Squal = Qqualmeas - Qqualmin > 0
Srxlev = Qrxlevmeas - Qrxlevmin (- Pcompensation) > 0
The S-criterion defines whether a 3G cell is a suitable candidate for cell reselection or not. As
mentioned before two conditions need to be fulfilled. The CPICH Ec/No needs to be better
than Qqualmin, which is typically -18dB. And secondly the RSCP should be above a minimum
value Qrxlevmin (we ignore the compensation factor Pcompensation as it is not relevant for
the explanations here).
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3G cell reselection - R-criterion

Ranking criterion
R-value calculated for serving cell and neighbours
R_s = Qmeas_s + Qhyst_s
R_n = Qmeas_n - Qoffset_sn
Qoffset_sn: defined per handover relation
Reselection to best ranked candidate
If 2G candidates present: ranking based on level (3G RSCP/2G RSSI)

If 2G cell ranked first: perform reselection to this cell
If 3G cell ranked first

Ignore all 2G candidates
* Perform new ranking based
on 3G Ec/No
Perform reselection to best ranked 3G cell
if only 3G candidates: ranking based on quality (Ec/No)
Perform reselection to best ranked 3G cell
The next procedure under study is the R-criterion which stands for Ranking criterion. When
reselection is considered from a 3G serving cell to both 2G or 3G neighbours, the R-value
should be calculated for both server and neighbours. Typically a positive hysteresis is added to
favour the serving cell. In addition an offset, defined per handover relation, is added to all
neighbours. The most suitable candidate can now be selected based on the calculated R-value.
If both 2G and 3G candidates are present, ranking should be done based on RSCP/RSSI level. If
a 2G cell is ranked best, reselection will be performed to this cell. If a 3G cell is ranked best, a
new ranking will be done between the 3G cells based on CPICH Ec/No, and the 2G candidates
will be ignored.
If only 3G candidates are present ranking will be done based on CPICH Ec/No only, and
reselection is performed to the highest ranked cell.
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[ 3G cell reselection
trigger
A cell reselection to the best candidate can be performed under the following conditions:
UE must be camping on the serving cell for at least 1s

The reselection candidate must be ranked better than the serving cell for the duration of the
timer Treselection
Before the actual reselection can be done, two additional conditions need to be fulfilled. The
UE must be camping on the serving cell for at least one second. In addition, the reselection
candidate must be ranked better than the serving cell for the duration of the timer
Treselection.
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3G cell reselection
graphical procedure overview
The figure above gives an overview of the complete reselection process between two 3G cells.
It is assumed that the quality of the 3G serving cell is going down, and at the same time the
quality of the 3G neighbour cell is going up.
Initially the quality of the serving cell is above the threshold Qqualmin + Sintrasearch, and
there is no need to measure. As soon as the quality drops below this threshold the UE starts to
measure the intra-frequency neighbours.
Since the quality of the 3G neighbour exceeds Qqualmin, this cell is suitable for reselection. To
be exact also the RSCP part of the S-criterion needs to be fulfilled, but normally this should
not be a problem when fulfilling the Ec/No requirement.
The R-criterion is applied now, and serving cell (with hysteresis) is compared against the best
neighbour (with offset). As soon as the neighbour cell is better than the serving cell for an
amount of time Treselection, the actual reselection is performed.
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Module 9: Introduction to R99 PS services
UMTS link budget
Idle mode behaviour
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GPRS Mobility Management (GMM) procedures: keep track of UE location
Attach/detach procedure
Routing Area Update (RAU) procedure
Session Management (SM) procedures: manage QoS for data session
Activate/deactivate/ modify POP Context procedure
All previously described procedures require NAS signalling between UE and SGSN
This chapter starts with a description of the main UMTS PS procedures. First of all the GPRS
Mobility Management (GMM) procedures will be analysed such as the Attach/Detach procedure
and the Routing Area Update procedure. Main goal of these procedures is to keep track of the
UE location. Next the Session Management (SM) procedures will be looked at, that manage the
Quality of Service for the data session. Most important procedure here is the
Activate/deactivate PDP Context procedure. Both GMM and SM procedures require NAS
signalling between UE and SGSN.
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| GPRS Attach procedure (GMM)

UE
HLR/VLR
SGSN
GPRS Attach Request
SGSN:
Check UE subscription with HLR/VLR
OpUonal_(xocedures_
e.g. authentication, ciphering
GPRS Attach Accept
OK
NOK
(GPRS Attach Complete)
GPRS Attach Reject
e.g. illegal UE, GPRS

services not allowed
Used to register to PS network: UE known to PS network
SGSN checks UE subscription with HLR/VLR
The GPRS Attach procedure, belonging to the class of GMM procedures, is used to register the
UE to the PS network. This way the UE is known to the PS network.
The NAS message GPRS Attach Request is sent to the SGSN. This will trigger the SGSN to check
the UE subscription with the HLR/VLR. Some optional procedures may be executed regarding
authentication and ciphering, and finally the GPRS Attach Accept is sent to the UE. The UE
may reply with the optional uplink message GPRS Attach Complete. This is the message
sequence when everything goes ok.
In the other case a GPRS Attach Reject may be sent in the downlink to indicate a failed
procedure. Reasons could be, for example, illegal UE or GPRS services not allowed.
Remark: a message between brackets indicates an optional message.
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SGSN
Responsible for delivery of data packets to and from UE within its geographical service area
Responsible for mobility management

Attach/detach procedure
Routing Area Update procedure
" Performs authentication and charging (billing user data) functions

Location register contains location information and user profiles of all registered users in its
service area
This slide indicates in more detail the key responsibilities of the SGSN. This network element is
responsible for the delivery of PS data packets to and from a UE within its geographical service
area. The SGSN also takes care of mobility management (Attach, Routing Area Update), and
performs authentication and charging (related to user data) functions. The SGSN contains a
location register including information on all registered users in its service area, such as
location info and user profiles.
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[ HLR/VLR
HLR: contains details on every SIM card issued by the mobile phone operator
VIR: temporary database of roaming subscribers
information contained in HLR/VLR:
IMSI and MSISDN (i.e. telephone number)
Allowed GSM services
PS data settings to access packet services
Mobility management HLR/VLR:

* Keeps track of Current location of subscriber (e.g. serving SGSN)
HLR: sends subscriber data to concerned VLR for roaming
VLR: contains HLR address of subscriber
The HLR contains info on every SIM card issued by the mobile phone operator, while the VLR is
a temporary database of roaming subscribers. HLR/VLR typically contain info on IMSI and
MSISDN, allowed GSM services and PS data settings. HLR/VLR are also involved in mobility
management. The HLR forwards subscriber data to the concerned VLR in case of roaming, and
the VLR contains the HLR address of the roaming subscriber.
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communications
j GPRS Detach procedure (GMM)

UE
SGSN
GPRS Detach Request
(GPRS Detach Accept)
UE initiated GPRS Detach procedure
SGSN initiated GPRS Detach procedure
OR
GPRS Detach Request

GPRS Detach Accept
'
* In case UE powers down: GPRS Detach Accept not sent by network
GPRS Detach procedure triggers Deactivate PDP Context Procedure
The GPRS Detach procedure can be initiated both by UE and SGSN. This procedure consists of
two NAS messages: GPRS Detach Request, followed by GPRS Detach Accept. This procedure will
trigger the Deactivate PDP Context procedure, in case an active PDP Context is still up and
running.
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Mobility Management
Tracking of subscriber location to enable delivery of mobile phone services
A group of base stations is called Location Area, or Routing Area
* Location Area typically consists of multiple Routing Areas
Location
|H|
Area
Routing Area
Tracking of subscriber location is needed to enable delivery of mobile phone services to the
user. To make mobility management more efficient, base stations are grouped together in
Location Areas and Routing Areas. Location Areas are used for CS services, while Routing areas
are defined for PS services. Typically a Location Area contains multiple Routing Areas.
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Mobility Management CS Location Area

-
Set of base stations that are grouped together to optimise signalling
Large:
* Many mobiles operating simultaneously
Resulting in high paging traffic
Small:
* UE must perform many Location Update procedures
Resulting in battery drain
Location Update procedure: allows UE to inform network about Location Area change
A location area is a set of base stations grouped together to optimise signalling. This is related
to mobility management for CS services. If the Location Area is too big, it will contain many
simultaneous operating mobiles, resulting in high paging traffic. A very small Location Area will
trigger many Location Update procedures for nomadic users, resulting in unnecessary UE
battery drain. This means a balance needs to be achieved regarding Location Area size.
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Mobility Management PS - Routing Area
PS domain equivalent of location area
Used by mobiles which are GPRS-attached
Subdivision of location area
Bursty nature of packet traffic
As a result more paging messages are expected per mobile

*
Advised to reduce paging area
- Resulting in smaller (compared to Location Area for CS services) Routing Area
The Routing Area is the PS domain equivalent of the CS Location Area, and is used by mobiles
which are GPRS-attached. A Routing Area is a subdivision of a Location Area, in order to
further reduce the paging area for PS services. Reason for this is the bursty nature of packet
traffic, resulting in more paging messages per mobile, resulting in higher paging load.
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Routing Area Update procedure (GMM)

HLR/VLR
SGSN
UE
Routing Area Update Request
SGSN:
Check UE subscription with HLR/VLR
Optional procedures
' e.g. authentication, ciphering
5
'
Routing Area Update Accept
(Routing Area Update Complete).
Routing Area Update Reject
e.g. illegal UE, GPRS

services not allowed
Initiated by UE whenever a change of Routing Area is detected
Very similar to Location Area Update procedure
The Routing Area Update procedure is initiated by the UE whenever a change of Routing Area
is detected. This procedure is very similar to the Location Area Update procedure. The first
NAS message sent in the uplink is Routing Area Update Request. This will trigger the SGSN to
verify the UE subscription with the HLR/VLR. Again optional procedures are available regarding
authentication and ciphering. The procedure is finalised with the Routing Area Update Accept
message and the optional Routing Area Update Complete. Sometimes the Routing Area Update
is rejected and a Routing Area Update Reject message is sent in the downlink. Reasons could
be illegal UE, or GPRS services not allowed.
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PDP Context activation procedure (SM)

GGSN
SGSN
UE
Activate PDP Context Request
UE:
Request QoS profile
Request access to Acess Point through APN
SGSN:
Check subscription with HLR/VLR
DNS lookup IP address GGSN through APN
Setup GTP tunnel towards GGSN
QoS negotiation
Create PDP Context Request
GGSN:
Interact with RADIUS server
Authentication
Authorisation
Accounting
Allocate IP address to UE
QoS enforcement
Create PDP Context Resp<
Activate PDP Context Accept
With the NAS message Activate PDP Context Request, the UE is requesting a Quality of Service
profile and access to a specific Access Point (APN: Access Point Name, an IP network to which a
mobile can be connected ) related to the service to be used. When receiving this message the
SGSN will check the UE subscription with the HLR/VLR, and a DNS lookup will be performed to
translate the APN name to the IP address of the concerned GGSN. Next a GTP (GPRS Tunnelling
Protocol) tunnel is setup towards the concerned GGSN and QoS negotiation is started by
sending the following message from SGSN to GGSN: Create PDP Context Request. The GGSN
will interact with the RADIUS server to perform authentication, authorisation and accounting.
The GGSN allocates an IP address to the UE and takes final decision on the allocated Quality of
Service level. A response (Create PDP Context Response) is sent back to the SGSN, and the
procedure is completed with the downlink NAS message Activate PDP Context Accept.
The PDP context is a data structure present on both the SGSN and GGSN which contains the
subscriber's session information when the subscriber has an active session. When a mobile
wants to use PS data, it must first attach and then activate a PDP context. This allocates a PDP
context data structure in the SGSN that the subscriber is currently visiting and the GGSN
serving the subscribers access point.
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PDP Context activation procedure (SM) - GGSN
Gateway GPRS Support Node
Responsible for interworking between 3G network and external PS networks (e.g. internet)
External networks point of view: GGSN is router to sub-network

* Forwards external data to serving SGSN for concerned active UE
Routes UE originating data packets to right external network
Stores current serving SGSN address and profile of UE in its location register
* Responsible for IP address assignment
Performs authentication and charging functions
Performs QoS and PDP Context enforcement
The slide above gives a complete overview of the tasks performed by the GGSN. As can be
seen, the GGSN is not only responsible for QoS negotiation and UE IP address allocation, but
many other tasks are performed by this network element.
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PDP Context activation procedure (SM)
Used to manage QoS profile between UE and SGSN/GGSN
Allocates IP address to UE
Trigger for RAB setup
Data transfer can start upon completion of PDP Context activation procedure
SGSN
SRNC
UE
Activate PDP Context Request

(
RAB Assignment Response
RB Setup
RB Setup Complete
RAB Assignment Request
Activate PDP Context Accept

Ready
for PS user data transfer
As mentioned before the PDP Context activation procedure is used to manage the QoS profile
between UE and SGSN/GGSN, and to allocate an IP address to the UE. This procedure is also
triggering the RAB (Radio Access Bearer) Setup procedure, resulting in a bit pipe between UE
and SGSN. The data transfer can only start upon completion of the PDP Context activation
procedure.
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PDP Context deactivation procedure (SM)
UE
Deactivate PDP Context
SGSN
Request
c Deactivate PDP Context
Accept
UE initiated PDP Context deactivation procedure
OR
Deactivate PDP Context Request
Deactivate PDP Context Accept
SGSN initiated PDP Context deactivation procedure
Trigger for RAB/RB release
Can be initiated by UE or SGSN
The PDP Context deactivation procedure is used to release the QoS profile and UE-allocated IP
address. This procedure triggers the release of RAB/RB, and can be initiated by UE or SGSN.
The procedure consists of two messages: Deactivate PDP Context Request and Deactivate PDP
Context Accept.
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RRC state model - main states
Connected mode
L.
_
Idle mode
Two main states:
Idle mode: no RRC connection
= Connected mode: one logical RRC connection
The figure above indicates the two main states in the RRC state model: idle mode and
connected mode. In idle mode, no RRC Connection is available. In connected mode however,
one RRC Connection is setup.
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RRC state model - substates
Idle mode
Connected mode: four substates
Cell-DCH: UE is allocated dedicated resources (e.g. codes from code tree)
Cell-FACH: UE is using shared resources (common control channels RACH/FACH)
Cell-PCH/URA-PCH
UE in sleep mode, not using shared/dedicated resources from network
Paging needed to wake up UE, resulting in transition to cell-FACH
Location of UE known to network: cell (cell-PCH) or URA (URA-PCH)
Above one can find the complete RRC state model, including the RRC substates. In connected
mode four RRC substates are available: cell-DCH, cell-FACH, cell-PCH and URA-PCH. Arrows
indicate the possible transitions between the different RRC (sub)states. In cell-DCH the UE is
allocated dedicated resources from the network, such as downlink codes from the code tree.
DCH is the dedicated transport channel used for transport of user data. In cell-FACH the UE is
releasing the dedicated resources and falls back to shared resources, such as the common
control channels RACH and FACH. In cell-PCH and URA-PCH the UE is in a kind of sleep mode,
and is not using any shared or dedicated resources from the network anymore. To wake up the
UE, paging is needed resulting in a transition to cell-FACH. In cell-PCH the UE position is known
on cell basis, and a moving UE has to perform cell updates. In URA-PCH the UE location is only
known on URA basis, where URA stands for UMTS Routing Area. Typically a Routing Area
consists of multiple smaller URAs. The paging area for a UE in URA-PCH is bigger, resulting in
less URA updates for a moving user.
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RRC state transitions

RRC state transitions between the following RRC states can be made:
*
Idle mode *-* cell-DCH: RRC Connection Setup/Release
Cell-DCH <- cell-FACH: Radio Bearer Reconfiguration

Cell-FACH
Cell-FACH
Cell-FACH
idle mode: RRC Connection Release
cell-PCH: Radio Bearer Reconfiguration

URA-PCH: Radio Bearer Reconfiguration
Radio Bearer Reconfiguration contains RRC-Statelndicator to indicate resulting RRC state
Cell-DCH
Cell-FACH
Cell-PCH
URA-PCH
Typical RRC state transition times:
Idle mode * cell-DCH: > 3s
* Cell-FACH
cell-DCH: < 1s
The previous slide indicated the different possible RRC state transitions. RRC state transitions
can easily be recognised in the log files. Transitions between connected mode and idle mode
involve the setup or release of the RRC Connection, using the RRC Connection Setup procedure
or the RRC Connection Release procedure. All other transitions will be performed with a Radio
Bearer Reconfiguration message (RRC application protocol). This Radio Bearer Reconfiguration
message contains an information element, called RRC-Statelndicator, indicating the resulting
RRC state. A transition from one state to another one also takes some time. Typically a
transition from Idle mode to cell-DCH takes at least 3s, and a transition from cell-FACH to cellDCH takes less than 1s.
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RRC state transitions logfile example

-
MSI RRC
M$1 RRC
MS1 RRC
M$1 RRC
MSI RRC
MS1 RRC
MS1 RRC
MSI RRC
A Measurement Control (DL-OCCH)

A Meuement Control (DL-OCCH)
A Measurement Control (DL-DCCH)
A Measurement Control (DL-DCCH|
A Measurement Control (DL-DCCH I
t Measurement Recoct (ULDCCH)
t Measurement Report (ULDCCH)
t Measurement Report (UL DCCH)
MS1 RRC
MSI RRC
MS1 RRC
A System Information (BCCH-BCH)

A System Information (BCCH BCH)
A System Information (8CCH-8CH)
A System Information Message |MIB)
A System Informaiwn (BCCH-8CH)
A System Information (BCCH-8CH)
A System formation (BCCH 8CH)
A System Information Message JMI8)
A System Information Message |5IB 3)
A System tnfocmatxxi Message (SIB 7]
A System Information (BCCH-BCH)
A System Information Message (SIB 1)
MS1 RRC
MS1 RRC
MS1 RRC
MSI RRC
MSI RRC
MS1 RRC
MS1 RRC
MSI RRC
MS1 RRC
MS1 RRC
MSI RRC
MSI RRC
rrcMessageSeo-*r:eNunbei 3
Fi adcB ear etR ec rvnation later-tharw3
c Tramactionldaiile .
-nticalExtefvsions : cnbcatutensions
rcaiE xtensons : cnhcaExtensrons
cntrcaCufermom r6
iadio6wierflecenhguation-rt>
rrc Statelndcator cefrfACH
specrficationMode complete
rWrfotmaliorflecon/igLct
R8 Inf ormationReccnfigList <6
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RB-Mappmg|nfo-r6
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UL LogtaOwmeWappmgs r6 : cneLopcaChamel
oneLogcaOiannet
li-TrCH-Type dcfvradvusch
ri-TransoortChamelT ype
The example above indicates transition from cell-DCH to cell-FACH
The figure above shows a transition from cell-DCH to cell-FACH, taken from a log file. Before
the transition one can recognise the Measurement Report messages in cell-DCH. After the
transition with the Radio Bearer Reconfiguration message one can see the system information
on the BCCH, which is typical for the cell-FACH state. When clicking on the Reconfiguration
message one can find back the RRC-Statelndicator, which is indeed indicating a transition to
cell-FACH.
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RRC state transitions - inactivity timers

Amount of inactivity before transition to lower RRC state is triggered
e.g. cell-DCH
cell-FACH
Inactivity timer example values:
Cell-DCH: 5s
Cell-FACH: 10s
cell-PCH idle mode
Cell-PCH: 1h
Release of unused resources leads to network capacity gains
RRC state transitions are often triggered by inactivity timers. Inactivity timers are the amount
of inactivity needed before a transition to a lower RRC state is triggered. This can trigger for
example transitions from cell-DCH to cell-FACH, from cell-FACH to cell-PCH, and from cellPCH to idle mode. Above some example values are given for the inactivity timers for different
RRC states. The more resources the RRC state is occupying, the shorter the inactivity timer
should be. As a consequence the inactivity timer for cell-DCH should be the shortest one. The
resulting release of unused resources leads to considerable network capacity gains.
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RRC state transitions - inactivity timer scenarios
.J Data push |
Data push
user traffic
idle mode
cell-DCH
user traffic
idlemode
user traffic
cell-DCH
user traffic
idlemode
user traffic
idlemode
ceU-DCH
URA-PCH
cell-DCH
user traffic
cell-DCH
user traffic
user traffic
idle mode _ ceU-DCH
ceU-DCH
Four different scenarios regarding implemented RRC states and inactivity timers
During each of these scenarios, two FTP downloads are performed
Total amount of time to perform the two downloads is different for each scenario
The figure above shows four different scenarios regarding the implemented RRC states and
inactivity timers. During each of these scenarios two FTP downloads are performed.
Scenario 1: in this scenario cell-DCH, cell-FACH, URA-PCH and idle mode are implemented.
The first download will trigger the transition from idle mode to cell-DCH which takes the
longest time. Once the UE is in cell-DCH the actual download (user traffic) can start. Once the
first download is finished the UE will stay for some additional time in cell-DCH (cell-DCH
inactivity timer) before the dedicated resources are released and the transition to cell-FACH is
made. The UE will stay in cell-FACH for the duration cell-FACH inactivity timer before the
transition to URA-PCH is triggered. In URA-PCH the UE can stay for quite a long time (e.g. two
hours) even when inactive. In the example above the second download is pushing downlink
data in the URA-PCH state. The UE will be paged and a transition to cell-FACH will be made.
Next the transition to cell-DCH is made and the data transfer can continue. At the end the RRC
Connection is released by the user.
Scenario 2: same implementation as scenario 1, but without the URA-PCH state. As a
consequence the cell-DCH transition resulting from the second data push will require more
time, and the second FTP download will be finished later compared to scenario 1.
Scenario 3: only idle mode and cell-DCH available, and cell-DCH with very long inactivity
timer. After the first FTP download, the UE will stay in cell-DCH even when not doing anything
for a very long time. When the second data push is coming the dedicated cell-DCH resources
are still up and running, and the download can start immediately. This results in the shortest
time to complete the two FTP downloads.
Scenario 4: comparable to scenario 2, but with a very long cell-FACH inactivity timer. The
second FTP download is pushing in cell-FACH, and the resulting transition to cell-DCH is made
quite quickly giving the second best performance of all scenarios.
258
P3
communications
'
Event 4a - Transport Channel Traffic Volume (TCTV) above absolute threshold
time
Enter event 4a (): TCTV
Leave
>
Thld4a
event 4a (): TCTV < Thld4a
Trigger transition cell-FACH cell-DCH
The figure above explains in detail the event 4a, meaning that the Transport Channel Traffic
Volume (TCTV) is getting above an absolute threshold. When the TCTV is getting above this
threshold, a timer ttt4a is started. If for the duration of this timer this condition is met all the
time, the UE will send a Measurement Report 4a in the uplink after timer expiry. If the TCTV
drops again below the absolute threshold Thld4a before timer expiry, the event 4a is not
fulfilled anymore and no Measurement Report 4a will be sent. This event is used for UE
triggered transition from cell-FACH to cell-DCH, in case the UE has some data to send in the
uplink.
259
communications
j Radio Bearer upgrade/downgrade

Switching between different data rates
* 64kbps - 128kbps - 384kbps
By changing the uplink/downlink spreading factor
Performed with Transport Channel Reconfiguration
In R99, Radio Bearer upgrades/downgrades between 64kbps, 128kbps and 384kbps are
performed with the RRC message Transport Channel Reconfiguration. Data rates are changed
by changing the spreading factor in uplink and/or downlink. An overview of the most commonly
used spreading factors can be found in the next slide.
260
communications
! Radio Bearer upgrade /downgrade Spreading Factor

-
SF DL
SF UL
64/64
32
16
64/128
32
64/384
32
128/64
16
16
128/128
16
128/384
16
384/64
16
384/128
384/384
Data rate (DL/UL)
Symmetrical service: SF DL is double of SF UL
The table above gives an overview of the different spreading factors available in R99 for uplink
and downlink. For a symmetrical service, i.e. a service with the same data rate in uplink and
downlink, the spreading factor in the downlink is always the double of the spreading factor in
the uplink.
261
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communications
Radio Bearer upgrade/downgrade
logfile example
___-
-i-i-
mcje C
J pecicmro
IJJ
roo
pnmaryCRCH-Wo
prnvsrySaembtnoCode : 2
d-OPCH-IntoPerRl
Dl-OPCH-IntoPefRl fdd
pCPlCH-Us >*forCK3mesr ma>eUsed
dpctvFrameOtliet : 18944
d-CharmeiuawnCodelrd
HS1 RRC
MSI RRC
MSI RRC
MSI RRC
MSI RRC
MSI RRC
MSI RRC
MSI RRC
MS1 RRC
MSI RRC
MSI RRC
MSI RRC
MSI RRC
MS1 RRC
MSI RRC
MSI RRC
UC1
A Sydem Information i6i_CH-8CH)

Sydem
Message EIB 3)
Sydem Intotmabon Menage EIB 7)
Reconhgurabon (OL-OCCH)
A
t Rack) 8eer Reconfiguration Complete ('JL-DCCHI
A Measuement Control (Dl-OCCH)
A Measurement Control pi DCCH)
A Measurement Control Pl-DCCH)
A Measurement Control pL-OCCH)
t Measurement Report (Ul DCCH}
t Measurement Report [Ul-OCCHl
t Meatuement Report flJL-OCCH)
A Transport Channel Reconftgivationpi-DCCH)
t T ransport Channel F.ecor<nguraiior(Compiete (UL-OCCH)
Measurement Report (UL-DCCH)
A Active Set Update pl-OCCH)
Information
*A Radio Bearer
DL-ChamefeabonCodelid
PI
dAndCodeNunber
SF512'AndCodeHunbec
tf32:3
tpc-Corriiriat*unlndex . 0
OOP
The figure above shows some screenshots from a log file. The first Radio Bearer
Reconfiguration message indicates a transition from idle mode to connected mode with a
downlink data rate of 64kbps (spreading factor 32). The next Transport Channel
Reconfiguration is the downlink upgrade from 64kbps to 384kbps, as is indicated with the
downlink spreading factor 8.
262
communications
Inactivity timer tuning
Balance between user experience, capacity and UE battery consumption

UE battery consumption:
P(cell-DCH) > P(cell-FACH)
>
P(celt-PCH) > P(URA-PCH)
>
P(idle)
Shorter inactivity timers: quicker transition to lower power consuming RRC state
* Capacity:
Cell-DCH: UE is allocated codes from code tree
Code availability in DL is limited
DL codes should be released asap if not used

* Shorter inactivity timers: better usage of available capacity
User experience:
Long inactivity timers: all resources stay up and running, even when not used by UE
No (or small) setup time required for the next download
Leading to best user experience (smallest waiting time)
Slow RRC state transition idle mode * cell-DCH (> 3s) can be avoided
Different services would require different optimal inactivity timer settings
BUT: these settings can not be different for different services
The inactivity timers have impact on user experience, capacity and UE battery consumption.
As is indicated in the slide above cell-DCH is the RRC state with the highest UE battery
consumption, followed by cell-FACH, cell-PCH, URA-PCH and idle mode. This means the shorter
the inactivity timers, the quicker the transition is made to a lower power consuming RRC state,
and the less the UE battery is drained.
In cell-DCH the UE is allocated codes from the code tree, and these downlink dedicated
resources are limited. They should be released as soon as possible when not used. Shorter
inactivity timers would result in a better usage of these dedicated resources, and considerable
capacity gains would be achieved.
With longer inactivity timers all resources stay up and running even when not used by the UE.
This leads to shorter setup times (or no setup time at all) and best user experience.
Different services result in different average inactivity times (reading times), and this leads to
different optimal inactivity timer settings. The only problem is that the inactivity timer
settings in the network can not be different for different services.
263
communications
Exercise: Introduction to counters & statistics
Task: analyse in detail the following UE RRC/NAS counters collected on the air interface during a
drive test. Calculate from these counters the main KPIs and investigate the problems encountered.
Provide a detailed service break down and indicate the number of problem occurrences for each
service. Hint: signaling for the location update procedure can be found on the back of this page.
RRC message type
RB Setup
RB Setup Complete
RB Release
RB Release Complete
counter
NAS message type

AAM CM Service Request
MM Authentication Request
AAM Authentication Response
CC Setup
CC Call Proceeding
CC Alerting
CC Connect
CC Connect Acknowledge
CC Disconnect
CC Release
CC Release Complete
AAM Paging Response
CC Call Confirmed
AAM Location Updating Request
AAM Location Updating Accept
counter
50
20
20
17
51
20
16
16
12
12
1
1
9
16
16
12
9
11
11
11
9
9
9
3
2
7
3
P3
communications
Exercise: UMTS Link Budget

Assumptions: UE power class 3 (24dBm maximum transmit power), outdoor usage slow pedestrian,
high coverage probability, node B Noise Figure 5dB, Feeder Loss 3dB, 5dB Eb/No voice, 1dB Eb/No
384kbps data, 3dB body loss, Soft Handover Gain 3dB, 33dBm PcpicH@nodeB-
Task 1: Maximum Allowable Path Loss
Calculate the Maximum Allowable Path Loss for voice low uplink load (20%).
Task 2: impact of load on coverage area
Calculate the Maximum Allowable Path Loss for voice high uplink load (90%).
Task 3: impact of service on coverage area
Calculate the Maximum Allowable Path Loss for 384kbps data high uplink load
(90%). {
Task 4: impact of TMA on coverage area
Calculate the Maximum Allowable Path Loss for voice low uplink load (20%), including TMA with 3dB
Noise Figure.
Task 5: coverage thresholds
Calculate the coverage threshold for voice low uplink load (20%)
li
- tC
fuff* Hft thfty
5* yj f 5/f
<L.
iO'i-
9r
JQ$
.m4e
P3
communications
Exercise: cell selection 8t reselection parameters

Log file: Logfilel
Task: find back in the log file all discussed cell reselection parameters, and write down their value.
P3
communications
Exercise: 3G-2G inter-RAT handover for CS services

Log file: Logfilel
Task: analyse in detail the inter-RAT handover performed by MS1 at 13:07:41.18. V rite down all
messages (including time stamps) belonging to the specific inter-RAT handover signaling sequence,
and indicate key information in these messages.
-</
-
-----o(o
/c3
l
fe;oi:2>
KCUA JjMty
Lktu
GowaiJ.
communications
Exercise: soft handover operation
Log file: Logfilel
Task: analyse in detail soft handover operation for the call starting at 9:18:00.82. Track both active
set content and changes in the 3G neighbour list by filling in the attached table.
NB list position
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
31
AS content
communications
UE
o
~l
SRNC
Initial Direct Transfer (MM Location Updating Request)
Downlink Direct Transfer (MM Auth Req)
&
Command
/>
Security Mode
Direct Transfer (MM Location Updating Accept)


UMTS Basics

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communications

Basic concepts and planning of

Training delivered for Bakcell, 26-30** October 2009

151 571 33 204

Basic concepts and operation of 3G

UMTS link budget

initial tuning for 3G clusters

Air interface signaling for CS services

Soft handover operation

3G-2G inter-RAT handover for CS services

Idle mode behaviour

Introduction to R99 PS services

Module 1:basic concepts and operation of 3G

Basic concepts and operation of 3G

UMTS link budget

Initial tuning for 3G clusters

Air interface signaling for CS services

Soft handover operation

3G-2G inter-RAT handover for CS services

Idle mode behaviour

Introduction to R99 PS services

ITU terminology for global 3G standard

Based on proposals made by different regional standardisation bodies

Europe: UMTS (WCDMA)

* USA: CDMA 2000

between different regional standardisation bodies on the development of WCDMA

Fircf roleaco rnmnlDtorl in 1QQQ- DQQ

Alternative cooperation on development of CDMA 2000: 3GPP2

Multiple access schemes

Overview of multiple access schemes:

Separation in time domain

Separation in frequency domain

Separation in code domain

Also a combination of multiple access schemes can be used, e.g GSM

FDMA: multiple 200kHz carriers

TDMA: one carrier with 8 time slots

FDD and TDD

CDMA is a spread spectrum system

Each UMTS carrier has a 5MHz bandwidth

Ideal to accommodate for asymmetrical traffic

Currently FDD mode is used

Operators are allocated several 5MHz carriers in the downlink

60MHz available, resulting in 12 downlink carriers of 5MHz

In one country, four operators could be allocated three downlink carriers

UMTS spectrum allocation

WCDMA spread spectrum

signal point of view

Spread spectrum - wanted signal

Transmitter blue user

Pathloss on air interface:

De-spreading (blue user code)

Spread spectrum - wanted signal

Thermal noise not affected

De-spreading (blue user code)

spreading or de-spreading action.

Spread spectrum - wanted signal

Transmitter blue user

Spreading (blue user code)

Receiver blue user

Any code applied on

-spreading (blue user code)

Spread spectrum - wanted signal

Transmitter blue user

Wrong code applied: no