UMTS: A THIRD GENERATION MOBILE SYSTEM Marc JJ. van Nielen Royal PTT Nederland N.V.

, PTT Research P.O. Box 421,2260 AK Leidschendam, The Netherlands tel. +3170 3324490 fax. +3170 3326477 E-mail: M. JJ.vanNielen@research.ptt.nl
ABSTRACT current analog and digital (first and second generation respectively) mobile communications systems. At the time of writing this paper the new concepts presented here are still object of discussion within RACE and have to be evaluated regarding their usefulness and complexness. Hence the UMTS version to be standardized by ETSI o r may be CCIR/CCITT (end of this decade) may not incorporatea l l of these new concepts.

U M T S (Universal Mobile Telecommunications System) is a system capable of providing a variety of

mobile services (up to 2 Mbps) now being offered by (dedicated)paging, cordless, and cellular communications systems separately. U M T S is to be operational in domestic, business, vehicular, and (multi-operam) public environments. Maximum integration with the IBCN (Integrated Broadband Communications Network, also referred to as B-ISDN) is considered. UMTS is currently under study of RACE project 2066 (MONET) taking the work of the recently completed RACE project 1043 ( U M T S ) as a starting point. This paper describes new concepts in mobile system design considered for UMTS. Both radio aspects including handover and network aspects are dealt with. The relationship with the CCIR FPLMTS (Future Public Land Mobile Telecommunications System) is shortly addressed. INTRODUCTION

T h i s paper is structured as follows. UMTS radio functions and related support functions offering a flexible attachment to the infrastructure are considered in section UMTS Radio Aspects, general mobility support functions like locating, routing and subscriber information handling are discussed in section UMTS Network Aspects. Next UMTS relevant research (IN and UPT) and other international developments in the field of t h i r d generation mobile systems (FPLMB) are dealt with.
UMTS RADIO ASPECTS

UMTS radio functions essentially cater for three

UMTS (Universal Mobile Telecommunications System) is a general name adopted by RACE (R&D in Advanced Communications technologies in Europe) to identify research regarding a third generation mobile communications system. Between 1988 and 1992 (RACEphase I) this research has been performed by RACE project 1043 (UMTS). From January 1992 RACE project 2066 MONET is continuing UMTS research in RACE phase II, together w i t h other RACE projects (2020: CODIT and 2084: ATDMA). MONET is concentrating on the fxed network aspects of a things: wireless access to the fixed infiastxucture in the coverage area of an antenna (a cell), terminal mobility across cell boundaries, and reachability within a paging area.

UMTS. U M T S is aimed to be a system capable o f providing a variety of mobile services (up to 2 Mbps) now being offered by (dedicated) paging, cordless, and cellular communications systems separately. U M T S is t o be operational in domestic, business, vehicular, and (multi-operator) public environments. Maximum integxation with the IBCN (Integrated Broadband Communications Network, a l s o referred to as BISDN) is considered.
This paper deals with new concepts in mobile system design considered for UMTS by RACE as opposed to

As far as the radio access technique is concerned, in this paper we confine ourselves to mentioning that both adaptive Time Division Multiple Access and Code Division Multiple Access techniques are beiig evaluated. In RACE phase II two separate projects, CODIT (RACE project 2020) and ATDMA @reject 2084), are tasked with a feasibility study regarding the use of respectively CDMA and adaptive TDMA techniques in UMTS.
The cellular architecture The optimal cellular architecture is determined by traffic and mobility characteristics. In a certain coverage area the traffic and mobility characteristics are varying. Rather t h a n defining a conventional cellular architecture to cope with this mixed traffic, a mixed cell layout consisting of an overlavering of micro and pic0 cells by macro (umbrella) cells is being considered [2]. The following advantages are foreseen:

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highly mobile traffic may be allocated to macro cells thus reducing the handover signalling load Macro cells can cover black spots not covered by pic0 or micro cells Macro cells introduce some redundancy thus increasing system availability Macro cells can accommodate. for microcell handover failures The disadvantage of macro cells i s reduced spectrum efficiency. Another way to reflect differences in traffic characteristics in the cellular architecture is the deployment of dedicated base stations for services with a broadcast nature: paging and distribution seMces. Since the characteristics of interactive traffic (mostly symmetrical) differ from those of paging and distribution services (asymmetrical), a cellular architecture optimized for interactive traffic may not be optimal for paging purposes. As an example is was realized that since paging areas are generally larger than cells, rather than distributing the paging traffic to these cells individually, a dedicated umbrella paging base station could do the job more efficiently by exploiting the broadcast nature of radio. This is illustrated in Figure 1.
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Bus, ring and conventionalstarshaped interconnections on various network levels (between Base Transceiver Stations, Base Station Controllers, and their links to the Mobile Switching Centres) have to be evaluated given their capability to deal with different mobility and traffic characteristics. The deployment of Mempolitan Area Network (MAN) techniques is considered. Handover support in a UMTS Handover involves a change of radiolink or point-ofattachment (base station) and associated fmed network links. Not a l l handover types of the l a t t e r type require a change in radio channeL If macroscopic diversity techniques are used, i.e. the signal from the mobile terminal is received by several base stations and selectively combined, there is no change in radio channels, only the point-of-attachment changes. This is often referred to as a SoftHandover. Depending on the network entities involved, different allocation alternatives exist for the handover handling functions. To identify the possible handover cases we assume a possible network architecture as depicted in Figure 2 [6].
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Figure 1 Dedicated Paging Base Station

As for distribution services it was realized t h a t several users are likely to use the same service. Rather than distributing this service to each user individually, the service could be broadcast point-to-multipoint, again by exploiting the broadcast nature of radio.
Base station architecture

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The network behind the cellular architectureprovides radio coverage support functions by a network of base stations interconnected to each other and to the fixed network exchanges. Depending on the expected signalling load between the functional entities given certain traffic and mobility characteristics, Afferent base station interconnection schemes have to be evaluated.

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Figure 2 Possible UMTS network architecture

Given this network architecture the following handover cases can be distinguished, and should be supported by the handover handling process: intra-BTS (Base Transceiver Station) handover

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inter-BTS handover inter-BSC (Base Station Controllers) handover inter-LE (IBC Local Exchange) handover inter-TX (IBC Transit exchange). Since mobile specific functions (for location registration, security procedures, handover control etc.) may be located in a separate MCN (Mobile Control Node) which can be shared by several LEs, we also have to distinguish between: intra-MCN,and inter-MCN handover. The figure also shows a Customer Premises Network, consisting of BTSs, BSCs and a CPN Exchange (CEX) potentially with a private MCN. Hence we can also have: inm-CPN,and handover to and from a CPN. For completeness the figure also shows a Mobile CPN which may be implemented in a train. This MCPN itself is again subject to the previously distinguished handover cases. The handover handling process. There are several reasons for and ways to initiate a handover procedure. The most common reason is degradation of the used radio link, caused by the mobility of the terminal (crossing a cell boundary) or by an increase in interference or noise level. Other reasons may be spectrum efficiency, network management or operation and maintenance. The complete handover handling procedure consists of the following phases: 1. Measurement, analysis and initiation 2. Determination of controlling entity (BSC, MCN) 3. New link setup (radio and/or fmed network) via new point-of-attachment 4. Old to new attachment via a switch or a bridge 5. Insmcting mobile terminal to switch (if not already part of phase 1 or 3) 6. Release of old resources (radio andlor fixed network) The problems associated with phase 4 are more explicitly dealt with in the next subsection.
Network resource effciency and bandover. In order to ensure that network resources are used efficiently, the location of the switch or bridge between the old and the new link is important. Assuming that IBCN exchanges (local and transit) will he equip&:d with separated call and connection control, the IBC exchanges will be able to change the connections associated with the caJl without releasing the call.

Hence switching and bridging points required for handover may be located at higher network levels (this in contrast to GSM where only MSCs incorporate this functionality). Call control information necessary for n o d call handling stored in exchanges along the old route will have to .be transferred to the exchanges along the new route.
In UMTS the concept of locating the optimal switchinghridging point will be elaborated. This concept may consist of two steps: taking a suboptimal switching/bridging point to accommodate the time critical aspect of handover (similar to a GSM handover), and subsequently finding a more efficient switchingbridging point and reestablish the most efficient routing path. This two step approach is depicted in Figure 3.
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Figure 3 Reestablishment of most efficient routing path

This figure also shows t h a t typically for handover from the public environment to a CPN (Customer Premises Network) with the calling party located in
CPN, this approach is advantageous.

UMTS NETWORK ASPECTS

UMTS mobility consists of three basic aspects: reachability, accessibility and in-call mobility (handover). In-call mobility has been dealt with in the previous subsections. In this section reachability support and accessibility support functionality are dealt with separately.

Reachability support To reach the terminal the network needs location information. Each time the terminal changes location,

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the network has to be informed. This is performed by the t e r m i n a li n i t i a t e d location registration or location update functions. Rather than storing the location of the terminal up to the level of cells (requiring a location update message at every cell boundary crossing), the location is determined to the extend of location ureas which consist of a cluster of cells. Each base station should broadcast the identity of the associated location area allowing the terminal to determine if a change in location areas has occurred.
At call setup, fmt this location information is remeved to determine the approximate location of the terminal and a paging process is started in the paging areas belonging to the location area. The paging response generated by the terminal provides the precise point-of-attachment(base station) and status of the terminal to the n e t w o r k This information is used for routing purposes. Alternative routing schemes where the call is partially routed to the location area, awaiting the page response for further muting, are also considered. The locating, paging and routing process requires the following:

security procedures for protection against fraudulent use and to prevent impemnation of other users (authentication procedures) darabases for subscription related information including security parameters a suitable signalling system to transfer the required infurmation. For support of accessibility functions again the local

UMTS exchange (MCN plus LE) will have to consult databases and perform an authentication procedure.
Most of the authentication procedures in the mobile terminal a r e invoked by the network and performed automatically. These procedures a l s o have to be performed prior t o the routing of an incoming call to a terminal. In cases where users may want to change terminal,the subscription dependent authentication and identification parameters are stored in a smartcard. This smartcard has to be inserted into the terminal in order to make use of UMTS (except for emergency ServiC!S).

Functional modelling
The mobility functions have been described by RACE 1043 in a CCITT stage 2 functional model. This model has been based on the IBC functional model incorporating a functional split between call control, connection control and mobility control. This functional model for UMTS basic call provision in the public environment is depicted in Figure 4 [6].On connection control level the Bearer Control (BC) is situated; on call control level the Mobile User Agent MUA (located in the terminal), and Access and Call Control ACC (in the IBC local exchanges); on mobility control level the Mobile Access Control MAC (probably located in the MCN), the distributed database DB [5], the Paging Control PC and Paging Entities PE.

location registration function and supporting functions (base starionshave to broadcast the identity of the location a r e a they belong to); intelligentexchanges capable of storing, updating and retrieving location infoxmation in or from databases; databases for location information storage; a suitable signalling system to transfer the required infoxmation.

In any mobile s y s t e m with automatic locating and routing these functions can be found. The difference in UMTS is t h a t integration w i t h the fixed IBC network (sharing ~ e s o u n for ~ s fixed communications) is the target. Base srations will be connected via IBC LEs to the MCNs. The MCNs receive their data from what is called a Distributed Darabase [SJ. Rather than having Home and Visited databases, other data dismbution concepts are foreseen. As far as a signalling system is concerned, the common channel signalling system no. 7 (SS7) is thought to be a suitable candidate. On top of SS7 an application part (comparable to the Mobile Application Partdefined for GSM [31) will have to be developed t o support the interaction between distributed functions.
Accessibility support

Accessibility support in this context consists of the following aspects: retrieval of personal. subscription related data, for checking access rights and service profiles

Figure 4 RACE 1043 functional model

The concept of regarding or modelling U M T S mobility as an IN (Intelligent Network)-service (see also [4]) has been the impetus to start a study on the suitability of IN-functional modelling for UMTS, an

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approach already taken by CCIR in their FPLMTS development. This IN-modelling is currently being studied by RACE 2066.

UMTS RELEVANT RESEARCH A M ) DEVELOPMENTS

As mentioned before RACE research in the field of U M T S is closely related to research regarding the specification of an integrated IBC network (RACE 1044 and 1045). P a r t of the IBC common functional

Similar research i s performed within CCIR TG 8/1. Their objectives are slightly different. RACE output w i l l be evaluated together with the CCIR output by ETSI SMGS. This ETSI body has to specify E u r o p e a n standards for a third generation mobile system, aiming for worldwide acceptance of the European standards.
ACKNOWLEDGEMENTS The author would like to acknowledge the work on network and radio issues in the RACE 1043 (Mobile) project, especially the contributions of the members in the Fixed Network group. Acknowledgement is also made to the work of RACE II MONET project, although the views expressed are those of the author and do not necessarily represent those of the project as a whole. The Commission of the European Communities i s also acknowledged for partially funding the

specification contains UMTS specific functionality 171. The relevance of the RACE phase II programs CODlT and ATDMA for UMTS research has been explained already in section 'UMTS Radio Aspects'. Since the reachability and accessibility aspects of

UMTS require the introduction of a lot of functionality in the fixed network, the concept of modelling W S functionality via Intelligent N e t working techniques is considered. This a l s o applies for
research regarding UPT - Universal Personal Telecommunications service, which as far as reachability and accessibility suppo~t is comparable to UMl'S. In UPT IN-modelling is also embraced.

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REFERENCES
[l] CCIR TG 8/1, Draft new recommendation,Future

Within CCIR activities regarding the specification of a third generation mobile system are in progress: FPLMTS - Future Public Mobile Telecommunications System. Their objectives are slightly different FPLMTS should make the usage of different radio access technologies in different environmentspossible. As a result radio support functionality i s separated from radio independent functionality thus enabling the network to be defined and optimized independently from the radio access technology [l]. In their work some of the RACE results have been considered. In RACE, however, a universal radio interface has been the objective for a UMTS. RACE output will be evaluated together with the CCIR output by ETSI SMG5. T h i s ETSI body has t o specify European standards for a third generation mobile system, aiming for worldwide acceptance of the European standards. CONCLUSIONS New concepts in mobile systems design considered for UMTS (Universal Mobile Telecommunications System) have been described: CDMA and adaptive TDMA for radio access, an overlayered cellular architecture,alternative interconnection topologiesfor base stations, dedicated base stations for paging or distribution services, new security pr~dures, , x m n a l mobility aspects, distributed databases, separation of call, connection and mobility control and full integration w i t h the IBC network.

Public Lomi Mobile TelecommunicationSystems, Network Architectures (FPLMTSARCH)- Working Document 3 a t the Study Group II and WPs, Geneva, February 4-14, 1992
121 S . T . S .C h i a ,"Networkarchitectures for supporting m o b i l i t y in a third generation mobile system", presented at the IEEE 1991 Int. Symp. on Personal, Indoor and Mobile Radio Communications, King's College London, September 23-25, 1991

[3] ETSI pT12, Recommendation GSM 09.02 version 3.8.0 - Mobile Application Part, January 1991 [41 MJJ. van Nielen, "?he impact of mobility on Intelligent NetwoIlr functions", presented at the IEEE 1992 International Zurich Seminar on Dig. C o w . 'Intelligent Networks and their applications', ETH Zurich, March 16.19, 1992

[51 RACE 1043, Distributed database architecture and integration plan, CEC deliverable 43/RNL/FN8DS/A/o35/bl, December 1990
[6] RACE 1043, Final report on fixed network aspects in UMTS, CEC deliverable 43/RNL/FN 12/DS/A/o67/b 1. December 1991

171 RACE STG 3.4, Common Functional Specifcation 0730, Mobile Network Subsystem, December 1991

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