International Conference on Computer and Communication Engineering (ICCCE 2012), 3-5 July 2012, Kuala Lumpur, Malaysia
Advanced Handover Techniques in LTE- Advanced
system
Ibraheem Shayea, Mahamod Ismail, Rosdiadee Nordin
Dept. of Electrical, Electronic & Systems Engineering
Universiti Kebangsaan Malaysia
43600 UKM Bangi, Selangor, Malaysia
Shaia2009@yahoo.com, {mahamod, adee }@eng.ukm.my
Abstract— There are always increasing demands of high speed
data applications in wireless systems with fast and seamless
access to voice and multimedia services and QoS guaranteed such
as in Fourth Generation (4G) Long Term Evolution (LTE)-
Advanced system. Moreover, as mobility speeds support is
expected to reach up to 500 km/h, the handover will occur more
frequent, thus the system performance in terms of delay and
packet loss will be degraded. Hence, efficient radio resource
management including handover techniques, load balancing and
interference management are essential. In this paper, we present
a comprehensive survey on the advanced handover techniques,
requirements and features for LTE-Advanced system. Also,
advanced handover techniques are highlighted and discussed
such as Fractional Soft Handover (FSHO), Semi Soft Handover
(SSHO) and multi-carrier handover (MCHO) that incorporate
backward compatibility to the existing system. Meanwhile, FSHO
technique based on CA with 5CCs are investigated in term of cell
throughput and user’s handover numbers. The result shows that,
FSHO with 5 CCs improves LTE-Advanced system in term of
cell throughput and numbers of user handover better than Non-
CA. Consequently, the existing handover techniques that have
been proposed have several advantages, but they are not
sufficient to solve hard handover problems. Therefore, a new
handover technique is essential required to support fast and
seamless handover in LTE-Advanced system. As a result, an
advanced handover technique is proposed by combining FSHO,
SSHO, and MCHO techniques that can enhance the system
performance in term of latency, outage probability and handover
reliability especially at cell boundary. Also, the expected output
from this hybrid technique can reduce transmission overhead on
the network cells by balancing the traffic load in the network
cells.
Keywords- LTE- Advanced; Advanced Handover techniques;
Fast and Seamless Handover.
I. INTRODUCTION
With the strong demand for multimedia services and
broadband wireless applications with higher data rate and wider
bandwidth with fast and seamless connectivity everywhere and
any time. The IMT-Advanced system has initiated the
standardization process for the next-generation mobile
communication systems (4G) [1]. Meanwhile, the strong
competitive increased between the new wireless technologies
pushed Third Generation Partnership Project (3GPP) to
developing a new mobile communication standard to keep
abreast of recent developments in wireless technology and
Universiti Kebangsaan Malaysia (UKM).
978-1-4673-0479-5/12/$31.00 ©2012 IEEE
74
achieving the ambitious performance goals of IMT-Advanced
mobile systems [1]. For that, 3GPP submitted Long Term
Evolution (LTE)-Advanced Release 10 (R10) system to ITU, in
order to meet the requirements of the candidate IMT-Advanced
system as Fourth Generation (4G) technology.
LTE-Advanced system expected to meet and in many times
exceed IMT-Advanced system requirements. The supporting
for high mobility speed is one of IMT-Advanced system
requirements that should be achieved in 4G. LTE-Advanced
system can supports for high mobility speed up to 500 km/h
[2]. Moreover, LTE-Advanced is expected to support high Data
Rate up to 1Gbps in downlink (DL) and up to 500Mbps in
uplink (UL). Also, LTE-Advanced system air interface
specifications enhanced link layer handover mechanisms
providing short handover interruption time [1].
Accessing multimedia services and broadband wireless
application in LTE-Advanced system with high Users
Equipment (UE) speed will degrade the reliability and
efficiency of the wireless system, especially during handover
from the source to the target eNBs. So, the increasing use of
wireless technology with very high mobility speed will increase
the frequent handover occur. For that, the fast and seamless
connectivity with minimum delay during handover from source
to target eNBs under different UE speed is one of the greatest
goals that are necessary for new wireless systems. LTE-
Advanced system is one of the latest mobile communication
systems that suffer from lack of fast and seamless connectivity
to the UEs.
The handover in LTE-Advanced system is purely based on
hard handover. Hard handover is fairly simple with less
complexity compared to the soft handover. On the other side,
there are some limitations on the hard handover, such as high
data loss, disruption time, high outage probability and carrier
interferences, thus cause unreliable handover procedure [2],
especially for multimedia services and broadband applications.
Also, by using hard handover technique, it is difficult to
maintain the QoS requirement due to the delay in handover that
occurs during eNB migration [3], Meanwhile, providing fast
and seamless access to multimedia services and broadband
internet application with minimum delay requirements is one of
the main goals that should be achieved in LTE-Advanced
system, which can be achieved by supporting handover from
source to target eNBs [4]. At the moment, there are several
handover techniques to allow partially soft hanndover procedure The SHO handover techniq que is make-before-break
in LTE-Advanced system, as proposed in [2],, [3], [5], [6] and method. That means a new wireleess link connection to the
[7], but those techniques are not sufficiennt to solve hard target eNB is established while the old connection with source
handover problems. Therefore, a new handoover technique is eNB is maintained. The UE simultaaneously receive all services
essentially required. data from several active eNBs [2], [9]. Under this technique,
there are two main SHO techn niques in wireless mobile
With the limitation of the existing handoover technique in communication system. The first technique is called Macro
LTE system, it is necessary to determine a new handover diversity Handover (MDHO) and d the second technique is
technique to achieve these goals which includde avoiding loss called Fast Base Station Switcching (FBSS).These two
of data, ensure efficiency, reduced outage prrobability and to techniques will be discussed in the tw
wo following sub-sections.
increased reliability of handover procedure foor the future next
generation LTE –Advanced system. i. Macro Diversity Handover (MD DHO)
In this paper an overview of handover inn wireless system In MDHO, a list of BSs is main ntained by the MS and BS.
are provided in section II, followed by advvanced handover This set of BSs is called an Active Set or Diversity Set. Under
techniques in LTE/LTE-Advanced systems iin section III. In this technique, MS have the ability y to communicate with all
section IV an advanced handover features aree highlighted and BSs in the Active Set as shown in Fig.
F 2. For DL, MS received
discussed, then a hybrid handover technique are proposed in and performed data from all the Diversity Set BSs. In the UL,
section V followed by conclusion. all Diversity Set BSs are received and performed information
from MS. Furthermore, the Neigh hbor BSs can receive the
II. HANDOVER signal from MS, but the signal sttrength is not sufficient to
In a cellular mobile communication syystem, the term allow Neighbor BS to be added to o the Diversity Set. MDHO
handover can be defined as the process of estaablishing a target supports fast and seamless handov ver. In addition, MDHO is
radio link connection from the source to targeeted base stations more stable and gives better perforrmance in term of fast and
(BSs). This handovers could be vertical (inteer technology) or seamless handover. On the other sidde, MDHO is more complex
horizontal (intra technology) handover. A verrtical handover is for its architecture and during hand
dover procedure than HHO.
often occurring between different wireless techhnologies such as Therefore, utilizing MDHO will inccrease system overhead and
a handover for Mobile Station (MS) from LTE network to more network resources will be wasted. This technique is
Mobile WiMAX network. On the other siide, a horizontal common in UMTS systems and also o applied in WiMAX family
handover is occurring in the same wireless tecchnology such as [9], [10].
the handover of UE from cell to other cell such as in LTE
Sttation
system [8].
Active BS1
Handover techniques in wireless communnication network
can be classified into two main handover technniques types. The
first technique type is called Hard Handoverr (HHO) and the
Neighbor RS4
second technique type is called Soft Handovver (SHO). In the Active RS1
following sections, some basic review about handover MS
techniques will be highlighted and discussed. Active RS3
Neighbor BS2
A. Hard Handover (HHO) Anchor RS22

The concept of HHO is to break before m make. That means

the old wireless link connection is broken from
m the source eNB
iincluding traffic
before a new connection is activated to the targget eNB. The UE UL and DL communication no traffic
Only signal level measurement
can communicate with one eNB only in eachh time slot during Including traffic No traffic
HHO. That means, after release the connecttion from source
eNB, the new connection is set up and activated to target eNB. Figure 2. Macro Diversity
y Handover [11]
Whereas, after the signal strength from a targget eNB exceeds
the signal strength from the source eNB thhe HO start the ii. Fast Base Station Switching (FB
BSS)
execution as shown in Fig. 1 [9].
In FBSS technique, MS and BS maintain a list of access BS
called a diversity set and communiccates with BS in each frame
similarly as in MDHO. The MS con ntinuously monitors the base
stations in the Active Set and definnes one BS as an “Anchor
BS” based on the received signal strength.
s The Anchor BS is
the only BS of the Diversity Set that
t MS can communicates
with for all UL and DL messages including management and
traffic connections as shown in Fig. 3 [9]. This type of
handover supports smoother data transition from source to
Figure 1. Hard Handover Techniquee. target eNBs and less system overh head than MDHO. In other
side, FBSS has high data lost laten ncy and outage probability
B. Soft handover (SHO) comparable to MDHO.

(Universiti Kebangsaan Malaysia (UKM))

75

/RS
Active BS1
Neighbor RS4
Active RS1
Active RS3 MS
Neighbor BS2
Anchor RS2
Data are transmitted and received
but not processed in BS/RS (MS)
Figure 3. Fast Base Station Switching [11]
III. ADVANCED HANDOVER TECHNIQUES IN LTE-
ADVANCED SYSTEM
The handover technique in LTE-Advanced systems only
supports HHO technique at the moment [2]. In fact, HHO has
some advantages compared to MDHO and FBSS. But, HHO
has several limitations as mentioned in Section I. Also,
providing fast and seamless access is one of the important
issues that should be achieved in LTE-Advanced system,
especially for the services that required higher data rate and
wider bandwidth (i.e. multimedia services and internet
application) during handover from source to target eNBs [4].
Due to that, several handover techniques are proposed to
solve handover problems in LTE-Advanced system. [2], [3],
[5], [6] and [7] are some of the new handover technique that
are described and proposed to solve these problems. In this
paper some handover techniques are highlighted and discussed,
such as Fractional Soft Handover (FSHO), a combination of
partial reuse with soft handover techniques, a semi-soft
handover, and multicarrier handover techniques. All these
techniques are newly introduced in LTE-Advanced system
(R10) air interface protocol.
A. Fractional Soft Handover Technique (FSHO)
FSHO technique has been proposed in LTE-Advanced
system based on Carrier Aggregation (CA) technique. The
main concept of FSHO technique is to partially perform soft
handover for VoIP service. In this proposed technique, they
classify the service to VoIP and non-VoIP services. During the
handover procedure, VoIP services are transmitted from both
source and target eNBs, while non-VoIP service are transmitted
by source or target eNBs. From the theoretical analysis and
simulation results in, they have shown that the proposed FSHO
scheme significantly reduces the handover outage probability
by saving the radio resource and power consumption,
compared with SHO. Furthermore, the proposed FSHO
technique maintains the QoS of VoIP service and improves the
spectrum efficiency. Finally, the proposed FSHO procedure is
backward compatible with LTE handover procedure.
76
Therefore, FSHO scheme is a competitive choice to enhance
the mobility performance in LTE-Advanced system [2].
B. Combined Partial resue and soft handover
This scheme proposed an inter-cell interference mitigation
scheme based on a combination of partial reuse and soft
handover for an OFDMA DL system. The objective of this
scheme is to improve the average cell throughput by
considering the data rate fairness among the users, compared to
the conventional partial reuse scheme, especially at the cell
boundary and during handover occurring from source to the
target eNBs in LTE-Advanced system. In addition, utilizing
this scheme is resulting in a low soft handover overhead. The
concept of this proposed scheme is to select the better signal
quality among a partial reuse scheme and a soft handover
scheme for the cell edge users [5].
C. Semi Soft Handover technique (SSHO)
SSHO technique have been proposed utilizing macro
diversity method, which permit both HHO and SHO
advantages for services over multicarrier-based broadband
networks to be retained. This hybrid handover method is
known as Site Selection Diversity Transmission (SSDT). This
technique represents a possible solution for multicarrier
systems. The basic concept of SSDT is to selectively transmit
each downlink symbol according to channel quality from each
BS [3].
In [3], the authors explored a hybrid handover method
utilized SSDT for OFDM-based broadband networks, used a
zero-padding, referred to as SSHO, which overcomes the
drawbacks associated with both HHO and SHO. In addition, a
framework for the numerical analysis is presented to measure
handover gain and to confirm the superiority of the technique
over the forward link of OFDM-based broadband systems.
From the system analysis and simulation result published in
[3], the SSHO technique provides a lower outage probability
than HHO and SHO either for a given number of users or
according to the distance from the home BS at high data rates.
Thus, SSHO is expected to be widely used in high speed
multimedia services over OFDM based broadband networks.
D. Multicarrier Handover Techniques
Multicarrier handover is a new technique, which will be in
the LTE-Advanced system. Utilizing multiple carriers
handover may support for high-data-rate service and increase
cell capacity. In addition, UEs with multicarrier capability can
perform fast and seamless handover by keeping connection
with the serving eNB and performing handover at the target
eNB in a parallel manner [12].
Fig. 4 illustrates the basic concept of multicarrier handover.
When MS moves from BS 1 to position 1 the MS received
weaker signal strength from BS1, it initiates carrier 1 to trigger
carrier 2 to ready for handover process. Meanwhile, carrier 2
can search for the target BS and the list of the neighbor BS is
prepared in table based on the received signal strength from
BSs [13].
When MS moves to around the location that has equal
distances from two BSs, the MS receives the same signal
strengths from BS 1 and BS 2, thus triggers carrier 2 to execute
the handover. While carrier 2 receives the trigger signal from
BS1, it starts the execution of handover process. Carrier 2
selects the target BS from its searching process from the table
list. Furthermore, as MS is moved from BS1 to BS2, the MS
received the signal strength from BS2. After carrier 2
completes the handover process; carrier 1 disconnects its
connection with BS1. When MS has reached the hysteresis
level, it initiates the handover from BS1 to BS2 by carrier 2
[13].
BS 1
P o sitio n 1
BS 1 BS 2
Received signal level
A to Global System for Mobile Communications (GSM),
H y ste re sis
C arrie r 1 C arrier 2
BS 1
S ea rc h
T a rg e t B S
MS
Figure 4. Multicarrier Handover [13].
IV. ADVANCED HANDOVER FEATURES
In [2], [3], [5], [6] and [7] several handover features are
presented and described in LTE-Advanced system to provide
seamless handover. In this paper, some advanced handover
features are highlighted and discussed in LTE-Advanced
system (R10). Fast and seamless handover and legacy
supported handover features are newly introduced in LTE-
Advanced system (R10). All these advanced handover features
are expected to enhance the system performance in term of
reduce latency during handover in both the physical and
medium access control (MAC) layers, fast with seamless
connectivity, low outage probability and good reliability with
Legacy supported handover.
A. Fast and Seamless Handover Technique
Fast and seamless handover are important features in
wireless systems. Fast handover is a network re-entry
procedure with minimum handover latency without any explicit
interest in packet loss [14] and interruption time. While,
seamless handover are a network re-entry procedure with the
capability for UE to contact with the target eNB before
initiating a network re-entry control message transaction.
Obviously fast and seamless handover depends on the type
of user services. For example, the real-time applications such
as video conferencing and streaming media are required high
data rate and wider bandwidth. So that, there is decreasing for
the connection to these real-time applications (i.e. video
conferencing and streaming media) will be probably noted to
the users during handover from the source to the target eNBs.
But in other side, browsing a website or transferring a file not
required high data rate compare to the real-time applications, so
the user does not have noticed anything during handover
process. As a result, the important crucial factors for fast and
seamless handover are the latency and packet loss. These two
factors have to be as small as possible to make the handover
fast and seamless [15].
Previous works in [2], [3], [5], [6] and [7] are some of the
latest handover techniques that are proposed to provide fast and
seamless handover procedure. Fast and seamless connectivity
maintained the current session, QoS and Service Level
Agreements (SLA) during and after handover without any
BS 2
considerable degradation of the quality of service required by
the application, disruption or interruption time for the services
[14] [15].
B. Supported for Legacy handover
The legacy technologies in LTE-Advanced system are refer
Enhanced Data Rates for GSM Evolution (EDGE), radio access
T im e network (GERAN) and Universal Mobile Telecommunications
System (UMTS) families: Wideband Code-Division Multiple
Access (WCDMA), high-speed data packet access (HSDPA),
S e arch T a b le and HSDPA+ [12]. LTE-Advanced system (R10) specification
BS 2 is required to be backward compatible with GSM family
BS 3 networks. The latest handover techniques in LTE-Advanced
system have to support for Legacy GSM network. Since
BS N deployment of LTE-Advanced system might be installed over
the existing GSM, EDGE, GERAN, UMTS
,WCDMA,HSDPA, HSDPA+ and LTE network, the LTE-
Advanced UEs are designed to support mobility capability
across the coexisting deployment of legacy and advanced
networks without critical constraints on service continuation.
V. LTE-ADVANCED STANDARD EVALUATION
A. Simulation Scenario
In this simulation, 19 eNBs with Omni directional antenna
are considered. Where, each eNB is located at the center of
each cell with hexagon shape coverage and radius of 1000 km
for each cell. While, 40 users are generated randomly in the
source cell (eNB 1) with consider 40 users are kept on during
each iteration time, which coverage by source cell (eNB 1).
Taking to account each cell serving N users, depend on LTE-
Advanced standard capacity. In addition, each mobile has the
ability to move to any cell of the 6 eNBs that are located in the
first tier around the source cell with random direction selection.
The frequency reuse factor (FRF) is considered 1 in order to
improve LTE-Advanced standard capacity.
The FSHO based on CA with 5 CCs is implemented in the
DL direction from the eNB to the UEs, where each user has
ability to contact with the served eNB through all the CCs in
the UL and DL based on OFDMA technique. LTE-Advanced
standard serve up to 30 users simultaneously in every cell with
frequency reused factor 1 based on CA with 5 CCs.
Conversely, without CA the serving users will be decreased as
well as the number of CCs are decreased. Moreover, all the
parameters that are used in our simulation are based on LTE-
77
Advanced system environment that have been introduced in
[16].
B. Performance Evaluation
The Physical frame structure that has been introduced in
[17] is considered in our simulation. Based on that, the cell
throughput can be calculated for every sub carriers at the UE
side. Where, it is measured in every iteration time during all the
Fig. 5 shows the effect of implementing CA technique in
LTE-Advanced system, in which provides higher user
throughput in everywhere in the cell compared to Non-CA
techniques. Consequently, CA achieves around 87.5% gain
over Non-CA techniques at any closed or far UE’s positions
from the served eNB as shown in Fig. 5.
200
Cell Throughput

simulation time and then taking the average over all the users Non-CA
that are simultaneously active in the cell. The evaluation 180 CA
performance in term of cell throughput is measurement is based 160
on Shannon formula that has been defined in [18]. It can be
140
formulated as the following:

Cell Throughput [Mbps]

120
‫ܹܤ‬ ܵ‫ܴܰܫ‬௔
‫ܽݐܽܦ‬௔ ൌ  ‫ ݔ‬ቆ‫ܹܤ‬௘௙௙ ‫݃݋݈ݔ‬ଶ ሺͳ ൅ ሻቇ ሺͳሻ 100
ܽ ܵ‫ܴܰܫ‬௘௙௙
80
where, BW is the total system bandwidth in Hz, BWeff is the
60
system bandwidth efficiency, it was introduced in [19], SINR
is the achieved SINR,  is frequency reuse factor, it is assumed 40
to be one ( =1), which means only 1/th of the spectrum can
20
be used by one cell and SINReff is SINR implementation
efficiency and formulated as follow. 0
250 300 350 400 450 500
ே Normalized Distance [meter]
ͳ ௌூேோೖ
ି
ܵ‫ܴܰܫ‬௘௙௙ ൌ  െߚ‫ ݈݊ݔ‬൭ ෍ ݁ ఉ ൱ሺʹሻ Figure 5. Throughput Versus Distance for One User only over all the
ܰ simulation time.
௞ୀଵ

where, SINRk denotes the SINR of the ith subcarrier and the
parameter,  which is obtained from link level simulations and
is adjusted for each MCS separately. N denotes the number of
active OFDM sub carriers [20].
The handover numbers in our simulation is investigated
through all the simulation time to see in the effect of CA on
LTE-Advanced standard during handover. It can be measured
based on the following algorithm using Matlab.
if the No of served MS <= System Capacity
For that, implementing CA in LTE-Advanced system is
resulting in an increase for the cell throughput in everywhere in
the cell, which led to decrease user’s handover number at the
edge of served eNB. Fig. 6 shows that, the benefit of
implementing CA technique in LTE-Advanced system in term
of user’s handover numbers. FSHO decrease the number of
handover per user around 73.5% over Non-CA technique.
Average Number of HO per User
1
Non-CA
0.9 FSHO-5CC

0.8
if SINR_Served_eNB(t,j) <= SINR_thrshold
Make Handoff from served to the Trget 0.7
eNBs
No_FSHO(j) = No_FSHO (j) + 1; 0.6 X: 56.25
Y: 0.5
else
CDF

0.5
Kep commnicat with the served eNB;
No_FSHO(j) = No_FSHO (j) + 0; 0.4
end
else 0.3
Make Handoff from served to the Trget 0.2
eNBs
No_FSHO (j) = No_FSHO (j) + 1; 0.1
end
t refer to the simulation time. 0
0 50 100 150 200 250 300 350 400 450
j refer to the user’s number. Average Number of HO per User

Figure 6. User’s Handover Number over all the simulation time.

VI. RESULTS AND DISCUSSION VII. PROPOSED HANDOVER TECHNIQUE

In this section, the effect of implementing FSHO based on
CA within 5 CCs in LTE-Advanced system is investigated.
These investigations have been evaluated in term of cell
throughput and the average numbers of handover for every
mobile during all the simulation time from the source to the
target eNBs in every iteration times.
The existing handover technique support for seamless
handover, but these techniques still have some flaws such as
inter-cell interference coordination (ICIC), interference
mitigation technologies, latency, unreliability and some data
loss during handover. Until now, the available handover

78
techniques still insufficient to solve the hard handover
problems. Therefore, a new handover technique is essentially
required to improve the handover performance in term of
latency, outage probability, interferences, interruption time and
reliability during handover, especially at cell boundary.
The effect of FSHO on the system performance in term of
outage probability in two different areas, i.e. urban and rural
macro cell are investigated in [2]. The performance results of
FSHO technique enhanced the system performance in term of
outage probability better than hard and soft handover.
Meanwhile, Implement SSHO improves system performance in
term of outage probability and cell throughput as has been
investigated in [3]. From that simulation results, SSHO gives
less outage probability compared to HHO and SHO too.
In this paper, a hybrid handover technique is proposed as
feature work based on the combination of FSHA and SSHO
with Multi-carrier handover techniques. The combination is
expected to enhance the system performance in term of latency
and outage probability. Also, it will be reduced the
transmission overhead on the serving cell as expectation, which
results in a balanced network traffic within the system cells.
VIII. CONCLUSION
The existing handover technique that is utilized in LTE-
Advanced system is known as HHO. HHO offers reduce
architecture and handover procedure complexities. But on the
other hand, there are several limitations when performing
HHO, such as high latency, handover procedure unreliability,
high outage probability and data lost. In this paper, a
comprehensive overview of handover including handover
techniques and features of the existing handover technique that
are used in LTE/LTE-Advanced system are highlighted and
discussed. Those handover techniques support seamless
handover, but suffer from some flaws such as inter-cell
interference coordination (ICIC), interference mitigation
technologies, latency, unreliability and some data lost during
handover. Moreover, implementing FSHO based on CA has
been investigated, which result in improve system performance
in term of cell throughput in everywhere in the cell and user’s
handover numbers much better than the system that has been
implemented with one component carrier only (Non-CA).
A hybrid handover technique is proposed to address the
shortcomings of the existing approaches. The hybrid handover
scheme is based on the combination of FSHA and SSHO with
multi-carrier handover techniques. The combination is
expected to enhance the system performance in term of latency,
outage probability, interruption time and reliability during
handover especially at cell boundary. Also, the combination is
expected to reduce the transmission overhead on the serving
cell, which balances the traffic load within the system cells in
LTE-A context.
ACKNOWLEDGMENT
This study is sponsored by Universiti Kebangsaan Malaysia
(UKM) through the university research grant UKM-OUP-
2012-182.
79
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