GSM To UMTS Inter-System Handover

GSM to UMTS
inter-system Handover
RAN SE Forum
Febr. 5th, 2004
Dr. Helmut Schäffer

ICM N PG R S C 2 Confidential
Content
 Introduction / Motivation
- RAN with overlapping GSM / UMTS cells
 Architecture of the combined GSM / UMTS Network

- Interfaces between network elements
 Inter-system Message Flow

UE/MS – BTS – BSC – MSC – RNC – NodeB – MS/UE
 GSM to UMTS Handover Initiation

- Major prerequisites
- Sufficient UMTS coverage HO
- Power Budget HO
- Imperative HO
- Service based Handover
- Directed Retry from GSM to UMTS
 Summary
GSM-UMTS HO Dr. Schäffer, ICM N PG R S C 2, Febr 5th, 2004 Page 2 Confidential – Commercially not binding © Siemens, 2004
Introduction / Motivation
 Goal: HO from GSM to UMTS depending on certain conditions
UMTS cell 1
 Sufficient UMTS coverage HO
 Power Budget HO
 Imperative HO
UMTS cell 2
GSM cell  Service based Handover
 Directed Retry GSM to UMTS
Architecture of combined GSM / UMTS Network
 Interfaces between network elements (CS services)
3G_MSC
A MSC U-MSC Iu
BSC RNC
Abis Iub
BTS NodeB
Um MS/UE Uu
Inter-system message flow
GSM to UMTS handover
MS/UE BTS BSC 3G_MSC RNS MS/UE
Meas. Report HO Cond. Indication

A-Handover-Required
Iu-Relocation-Request
Iu-RelocationRequest-Ack
A-Handover-Command
RI-HO-Command HO Access
Iu-Relocation-Detect
RRC-HO-Complete
Iu-Relocation-Complete
A-Clear-Command
A-Clear-Complete
GSM to UMTS Handover Initiation (1)
Major prerequisites
 Inclusion of UMTS neighbour cells in:
- BSC and BTS data base
- System Information messages (BSC/BTS -> mobile)
 Reception of mobile station CLASSMARK (mobile -> BTS/BSC):

- UMTS capability (FDD, TDD)
- UMTS power class (FDD, TDD)
 Reception of Measurement Reports (mobile -> BTS)
GSM to UMTS Handover Initiation (2)
- HO to UMTS as soon as a certain sufficient UMTS threshold is met
 Power Budget HO
- HO to a cell which offers the smallest path loss
 Imperative HO
- “Emergency HO” which uses UMTS cells to save the call
 Service based Handover

- Handover certain services (e.g. data) to UMTS,
keep certain services (e.g. voice) within GSM
 Directed Retry from GSM to UMTS

- congestion based and service based
Sufficient UMTS coverage HO (1)
 Aim: HO to UMTS as soon as sufficient UMTS threshold condition
is met.
GSM cell
UMTS cell 1
UMTS cell 2
Sufficient UMTS coverage HO (2)
 Conditions for HO initiation
- for RSCP reporting:
Received level (RSCP) of UMTS cell larger than “sufficient RSCP” threshold:
RxLev_NCELL(n) > umtsSuffRSCP(n) + Max (0, Pa) (1)
- for Ec/No reporting:

Received Quality (Ec/No) of UMTS cell larger than “sufficient Ec/No” threshold:
RxQual_NCELL(n) > umtsSuffEcNo(n) + Max (0, Pa) (2)
with the following definitions:

Pa := MsTxPmax(n) – P(n) (3)
MsTxPmax(n): maximum RF TX power an MS/UE is permitted to use in a neighbour cell.
P(n): maximum TX power capability (FDD or TDD) of the MS/UE
RxLev_NCELL(n): received level (RSCP) of neighbour cell n (FDD or TDD) which is
measured by the MS/UE and reported by MS/UE to the BTS.
RxQual_NCELL(n): received quality (Ec/No) of FDD neighbour cell n which is measured by
the MS/UE and reported by MS/UE to the BTS.
Power Budget Handover (1)
 Aim: Handover to a cell which offers the smallest path loss
UMTS cell 1
 Power Budget HO
 Imperative HO
UMTS cell 2
GSM cell  Service based Handover
Power Budget Handover (2)
Without Hierarchical Cell Structure HCS (HIERC = FALSE):
PBGT > hoMargin(n) + umtsAdjust(n) (4)
AND RxLev_NCELL(n) > RxLevMinC(n) + Max (0, Pa) (5)
with the definitions:
PBGT := (pathloss in serving cell s) – (pathloss in neighbour cell n) (6)

= [ Min ( MsTxPmax(s), P(s) ) - RXLEV_DL - PWR_C_D ]
- [ Min ( MsTxPmax(n), P(n) ) - RxLev_NCELL(n) ]
Pa := MsTxPmax(n) – P(n) (3)
With Hierarchical Cell Structure HCS (HIERC = TRUE):

PBGT > hoMargin(n) + umtsAdjust(n) (4)
AND RxLev_NCELL(n) > RxLevMinC(n) + Max (0, Pa) (5)
AND PriorityLayerNCell(n)  PriorityLayer(s) (7)
Imperative HO (1)
 Aim of this “Emergency HO”: Use UMTS cells to save a call in areas
where there is no complete GSM coverage
UMTS cell 1

UMTS cell 2
 Power Budget HO
 Imperative HO

GSM cell 1 GSM cell 2
Imperative HO (2)
- Uplink (UL) or Downlink (DL) quality is too low, or
- UL or DL level is too low or
- MS/UE - BTS distance is too large
For RSCP reporting: Inclusion of UMTS cells in TCL if:
Received level (RSCP) of UMTS cell larger than the minimum RSCP threshold:
RxLev_NCELL(n) > RxLevMinC(n) + Max (0, Pa) (8)
For Ec/No reporting: Inclusion of UMTS cells in TCL if:
Received Quality (Ec/No) of UMTS cell larger than the minimum Ec/No threshold:
RxQual_NCELL(n) > umtsMinEcNo(n) + Max (0, Pa) (9)
with the following definitions: Pa := MsTxPmax(n) – P(n) (3)
Service based Handover (1)
 Aim: Handover certain services (e.g. data) to UMTS,
keep certain services (e.g. voice) within GSM.
UMTS cell 1
UMTS cell 2
UMTS cell 3
 Power Budget HO
 Imperative HO

Service based Handover (2)
IE “Service Handover” sent on A-interface (MSC -> BSC):
- ASSIGNMENT REQUEST
- HANDOVER REQUEST
 IE set to “Handover to UTRAN shall not be performed”:

The MS/UE is kept within the GSM system. No handover to UMTS.
I.e., the BTS generates a TCL without UMTS target cells.
 IE set to “Handover to UTRAN should not be performed”:

The MS/UE is kept within the GSM system as long as possible.
I.e., only “imperative” handovers to UMTS are performed, and only if no GSM
cells are available to save the call.
GSM-sublist is ranked above the UMTS-sublist.
 IE set to “Handover to UTRAN should be performed”:

The MS/UE is handed over to UMTS as soon as possible.
I.e., the BTS initiates a “sufficient UMTS coverage HO”. For imperative HO, the
UMTS-sublist is ranked above the GSM-sublist.
Directed Retry from GSM to UMTS (1)
 Aim: - Use UMTS cells for call setup if GSM serving cell is congested
- Service based: Handover certain services (e.g. data) to UMTS
UMTS cell 1
UMTS cell 2
UMTS cell 3
 Power Budget HO
 Imperative HO

Directed Retry from GSM to UMTS (2)
- congestion of GSM serving cell and no GSM neighbour cell available
- or IE “Service Handover” is set to “Handover to UMTS should be performed”
For RSCP reporting: Inclusion of UMTS cells in TCL if:

Received level (RSCP) of UMTS cell larger than the minimum RSCP threshold:
RxLev_NCELL(n) > RxLevMinC(n) + Max (0, Pa) (8)
For Ec/No reporting: Inclusion of UMTS cells in TCL if:
Received Quality (Ec/No) of UMTS cell larger than the minimum Ec/No threshold:
RxQual_NCELL(n) > umtsMinEcNo(n) + Max (0, Pa) (9)
with the following definitions: Pa := MsTxPmax(n) – P(n) (3)
GSM to UMTS Handover / Summary
 Flexible HO algorithm, prepared for different customer aims,
especially:
- HO to UMTS as soon as possible or
- HO when the UMTS pathloss is smaller than the GSM pathloss
- HO to high priority UMTS cells (Hierarchical Cell Structure HCS)
 UMTS cells can be used to save a call in areas with low GSM coverage
 Service based HO and Directed Retry

- Handover of certain services (e.g. data) to UMTS
- Keep certain services (e.g. voice) within GSM
Back Up Slides
Additional Information:
 Cell Ranking in Target Cell List (TCL)
 Further inter-system message flows

- Directed Retry from GSM to UMTS
- HO from UMTS to GSM
 Parameters / Abbreviations
Sufficient UMTS coverage HO
Without Hierarchical Cell Structure HCS (HIERC = FALSE)
- for RSCP reporting: - FDD/TDD cell with largest RSCP on top
- for Ec/No reporting: - FDD cell with largest Ec/No is ranked on top of FDD sublist;
- TDD cell with largest RSCP is ranked on top of TDD sublist;
- FDD sublist is ranked above TDD sublist.
With Hierarchical Cell Structure HCS (HIERC = TRUE)
Increases the flexibility for the operator to direct traffic to certain UMTS cells.
- for RSCP reporting: - FDD/TDD cell with smallest PriorityLayerNCell(n) on top;
- cells with equal PriorityLayerNCell are ranked according to RSCP.
- for Ec/No reporting: - FDD/TDD cell with smallest PriorityLayerNCell(n) on top.

- cells with equal PriorityLayerNCell are ranked according to:
- FDD cell with largest Ec/No is ranked on top of FDD sublist;
- TDD cell with highest RSCP is ranked on top of TDD sublist;
Power Budget Handover
Without Hierarchical Cell Structure HCS (HIERC = FALSE)
Cells with the largest “Better Cell Value” BCV(n) are ranked on top of the TCL.
BCV(n) := PBGT(n) – hoMargin(n) - umtsAdjust(n)
With Hierarchical Cell Structure HCS (HIERC = TRUE)

Cell ranking according to:
PriorityLayerNCell(n): cells with smallest PriorityLayerNCell(n) on top of the TCL.
BCV(n): cells with equal PriorityLayerNCell

are ranked according to BCV(n)
Imperative HO
- for RSCP reporting: - FDD/TDD cell with largest BCV on top of UMTS-sublist
- FDD sublist is ranked above TDD sublist to form UMTS-sublist.
- cells with equal PriorityLayerNCell are ranked according to BCV.
Complete TCL (with and w/o HCS): GSM-sublist is ranked above UMTS-sublist.
Directed Retry from GSM to UMTS
- for RSCP reporting: - FDD/TDD cell with largest BCV on top of UMTS-sublist
- FDD sublist is ranked above TDD sublist to form UMTS-sublist.
- cells with equal PriorityLayerNCell are ranked according to BCV.
Complete TCL (with and w/o HCS) depends on IE “Service Handover”:

Handover to UMTS should be performed: UMTS-sublist ranked above GSM-sublist
Handover to UMTS should not be performed: UMTS-sublist ranked below GSM-sublist
IE “Service Handover missing at A-interface: UMTS-sublist ranked below GSM-sublist
Directed Retry from GSM to UMTS
MS/UE BTS BSC 3G_MSC RNS MS/UE
A-Assignment-Request
Forced HO Request
Meas. Report
HO Cond. Indication
A-Assignment-Failure
Iu-Relocation-Request
A-Handover-Required
Iu-RelocationRequest-Ack
A-Handover-Command
RI-HO-Command HO Access
Iu-Relocation-Detect
RRC-HO-Complete
Iu-Relocation-Complete
A-Clear-Command
A-Clear-Complete
UMTS to GSM handover
MS/UE RNS 3G_MSC BSC BTS MS/UE
Meas. Report Iu-Relocation-Required

A-Handover-Request
Channel Activation
Channel Activation-Ack
A-Handover-Request-Ack
Iu-Relocation-Command
RRC-HO-Command
RI-HO-Access
Handover Detection
A-Handover-Detect
RI-HO-Complete
A-Handover-Complete
Iu-Release-Command
Iu-Release-Complete
Parameters / Abbreviations (1)
 3G: Third Generation
 ADJC: This data base object contains attributes for the neighbour cell relationship between
a GSM serving cell and a GSM neighbour cell.
Data base object containment tree: BSS-FUNCTIONAL / BTSM / BTS / ADJC
 ADJC3G: This data base object contains attributes for the neighbour cell relationship
between a GSM serving cell and an UMTS neighbour cell.
Data base object containment tree: BSS-FUNCTIONAL / BTSM / BTS / ADJC3G
 BCV(n): Better Cell Value of neighbour cell n. Definitions:

- for GSM neighbour cell: BCV(n) := PBGT(n) – hoMargin(n)
- for UMTS neighbour cell: BCV(n) := PBGT(n) – hoMargin(n) – umtsAdjust(n)
 BR7.0: Basic Release 7.0 (of Siemens GSM RAN)
 BSC: Base Station Controller (GSM)
 BSC: This data base object contains BSC attributes. Data base object containment tree:
BSS-FUNCTIONAL / BSC
 BTS: Base Transceiver Station (GSM)
 BTS: This data base object contains BTS attributes. Data base object containment tree:
BSS-FUNCTIONAL / BTSM / BTS
 DL: Down Link (BTS -> MS/UE)
 Ec/No: Received energy per chip divided by the power density in the band (used for UTRAN
FDD cell measurements)
 FDD: Frequency Division Duplex
 fddReportingQuantity: this parameter defines (data base attribute: fddRepQty) whether the
MS/UE shall report the measurement quantity RSCP or Ec/No (of FDD neighbour cells) to
the BTS. Data base object containment tree:
BSS-FUNCTIONAL / BTSM / BTS / fddRepQty
 GSM: Global System for Mobile Communications
 HAND: This data base object contains handover specific attributes. Data base object
containment tree: BSS-FUNCTIONAL / BTSM / BTS / HAND
 HCS: Hierarchical Cell Structure
 HIERC: This attribute (EnableHierarchicalCellHo) is used to enable/disable the Hierarchical

Cell Structure (HCS); i.e. it enables/disables the usage of priority layers (PL, PLNC) for
handover. Data base object containment tree:
BSS-FUNCTIONAL / BTSM / BTS / HAND / HIERC
 HO: Handover
 HOLTHLVDL(s): this parameter defines the DL received level threshold

(hoLowerThresholdLevDL) for DL Level Handover. Data base object containment tree:
BSS-FUNCTIONAL / BTSM / BTS / HAND / HOLTHLVDL
 HOLTHLVUL(s): this parameter defines the UL received level threshold

(hoLowerThresholdLevUL) for UL Level Handover. Data base object containment tree:
BSS-FUNCTIONAL / BTSM / BTS / HAND / HOLTHLVUL
 hoMargin(n): “Handover Margin” parameter (data base attribute: HOM) which is used to
prevent handover oscillations between the serving GSM cell and neighbour cell n (GSM or
UMTS neighbour cell). Data base object containment trees:
BSS-FUNCTIONAL / BTSM / BTS / ADJC / HOM (for GSM neighbours)
BSS-FUNCTIONAL / BTSM / BTS / ADJC3G / HOM (for UMTS neighbours)
 IE: Information Element
 MS: Mobile Station (GSM)
 MS/UE: Dual-mode Mobile Station which supports both GSM and UMTS
 MSC: Mobile-services Switching Center
 MsTxPmax: maximum RF TX power an MS/UE is permitted to use in a cell. Data base

object containment trees:
- for GSM cells:
BSS-FUNCTIONAL / BTSM / BTS / MsTxPmaxGSM
BSS-FUNCTIONAL / BTSM / BTS / MsTxPmaxDCS
BSS-FUNCTIONAL / BTSM / BTS / MsTxPmaxPCS
- for UMTS (FDD) cells:
BSS-FUNCTIONAL / TGTFDD / MsTxPmaxUMTS
- for UMTS (TDD) cells:
BSS-FUNCTIONAL / TGTTDD / MsTxPmaxUMTS
 MsTxPmax(n): maximum RF TX power an MS/UE is permitted to use in a neighbour cell n.
 MsTxPmax(s): maximum RF TX power an MS/UE is permitted to use in the serving cell s.
 NodeB: UMTS base transceiver station
 PBGT(n): Power Budget used by the handover algorithm for a Power Budget handover to
the “better cell” n. Definition:
PBGT(n) := [ Min ( MsTxPmax(s), P(s) ) - RXLEV_DL - PWR_C_D ]
- [ Min ( MsTxPmax(n), P(n) ) - RXLEV_NCELL(n) ]
 P(n): maximum TX power capability of the MS/UE in the neighbour cell
 P(s): maximum TX power capability of the MS/UE in the serving cell
 PriorityLayer(s): Priority Layer of the serving cell s (data base attribute: PL) which is used
for Power Budget HO if Hierarchical Cell Structure (HCS) is enabled (HIERC = TRUE). Data
base object containment tree:
BSS-FUNCTIONAL / BTSM / BTS / HAND / PL
 PriorityLayerNCell(n): Priority Layer of the Neighbour Cell n (data base attribute: PLNC)
which is used for Power Budget HO if Hierarchical Cell Structure (HCS) is enabled (HIERC =
TRUE). This priority layer is also used when ranking the UMTS target cells for a “Sufficient
UMTS coverage HO”. Data base object containment trees:
For GSM cells: BSS-FUNCTIONAL / BTSM / BTS / ADJC / PLNC
For UMTS cells: BSS-FUNCTIONAL / BTSM / BTS / ADJC3G / PLNC
 PWR_C_D: difference between the maximum downlink RF power permitted in the GSM
serving cell and the actual downlink power due to the BSS power control.
 RAN: Radio Access Network
 RNC: Radio Network Controller (UMTS)
 RNS: Radio Network Subsystem (UMTS)
 RSCP: Received Signal Code Power (used for UTRAN FDD or TDD cell measurements)
 RXLEV_DL: GSM serving cell received level (downlink) measured by the MS/UE.
 RXLEV_UL: GSM serving cell received level (uplink) measured by the BTS.
 RxLevMin(n): defines the minimum received level which is required to perform a handover
to the neighbour cell n (GSM neighbour cell).
Data base object containment trees:
BSS-FUNCTIONAL / BTSM / BTS / ADJC / RXLEVMIN
 RxLevMinC(n): defines the minimum received level (RSCP) which is required to perform a
handover to the neighbour cell n (UMTS neighbour cell).
Data base object containment trees:
BSS-FUNCTIONAL / BTSM / BTS / ADJC3G / RXLEVMINC
 RxLev_NCELL(n): received level of neighbour cell n (GSM or UMTS cell) which is measured
by the MS/UE and reported by MS/UE to the BTS.
 RxQual_NCELL(n): received quality (Ec/No) of FDD neighbour cell n which is measured by

 TCL: Target Cell List
 TDD: Time Division Duplex
 TGTFDD: This data base object contains attributes of the UMTS (FDD) cell. Data base
object containment tree: BSS-FUNCTIONAL / TGTFDD
 TGTTDD: This data base object contains attributes of the UMTS (TDD) cell. Data base
object containment tree: BSS-FUNCTIONAL / TGTTDD
 UE: User Equipment (UMTS mobile station)
 UL: Up Link (MS/UE -> BTS)
 UMTS: Universal Mobile Telecommunication System
 umtsAdjust(n): this attribute is used for the Power Budget HO (“better cell HO”) from GSM
to UMTS. This inter-system offset (data base attribute: UADJ) is added to the HoMargin(n)
in order to have the flexibility to adjust the RSCP level of the UMTS neighbour cell (n) to the
DL receive level of the GSM serving cell. Data base object containment tree:
BSS-FUNCTIONAL / BTSM / BTS / ADJC3G / UADJ
 umtsMinEcNo(n): defines the Ec/No threshold (data base attribute: UMECNO) which is
required to perform an “imperative HO” to a FDD neighbour cell (n) if
the parameter fddReportingQuantity is set to “Ec/No reporting”.
Data base object containment tree:
BSS-FUNCTIONAL / BTSM / BTS / ADJC3G / UMECNO
 umtsSuffEcNo(n): defines the “sufficient” Ec/No threshold (data base attribute: USECNO)
above which the BTS initiates a “Sufficient UMTS coverage HO” to a FDD neighbour cell (n) if
the parameter fddReportingQuantity is set to “Ec/No reporting”.
Data base object containment tree:
BSS-FUNCTIONAL / BTSM / BTS / ADJC3G / USECNO
 umtsSuffRSCP(n): defines the “sufficient” RSCP threshold (data base attribute: USRSCP)
above which the BTS initiates a “Sufficient UMTS coverage HO” to a TDD neighbour cell (n)
or to a FDD neighbour cell (n) if the parameter fddReportingQuantity is set to “RSCP
reporting”. Data base object containment tree:
BSS-FUNCTIONAL / BTSM / BTS / ADJC3G / USRSCP
 UTRAN: UMTS Terrestrial Radio Access Network
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GSM To UMTS Inter-System Handover

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GSM To UMTS Inter-System Handover

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GSM to UMTS

Dr. Helmut Schäffer

 Architecture of the combined GSM / UMTS Network

 Inter-system Message Flow

 GSM to UMTS Handover Initiation

 Goal: HO from GSM to UMTS depending on certain conditions

 Sufficient UMTS coverage HO

 Directed Retry GSM to UMTS

 Interfaces between network elements (CS services)

GSM to UMTS handover

MS/UE BTS BSC 3G_MSC RNS MS/UE

Meas. Report HO Cond. Indication

 Reception of mobile station CLASSMARK (mobile -> BTS/BSC):

 Reception of Measurement Reports (mobile -> BTS)

 Service based Handover

 Directed Retry from GSM to UMTS

- for Ec/No reporting:

with the following definitions:

 Sufficient UMTS coverage HO

 Directed Retry GSM to UMTS

PBGT := (pathloss in serving cell s) – (pathloss in neighbour cell n) (6)

With Hierarchical Cell Structure HCS (HIERC = TRUE):

 Sufficient UMTS coverage HO

 Service based Handover

 Directed Retry GSM to UMTS

 Service based Handover

 Directed Retry GSM to UMTS

 IE set to “Handover to UTRAN shall not be performed”:

 IE set to “Handover to UTRAN should not be performed”:

 IE set to “Handover to UTRAN should be performed”:

 Service based Handover

 Directed Retry GSM to UMTS

For RSCP reporting: Inclusion of UMTS cells in TCL if:

 Service based HO and Directed Retry

 Cell Ranking in Target Cell List (TCL)

 Further inter-system message flows

- for Ec/No reporting: - FDD/TDD cell with smallest PriorityLayerNCell(n) on top.

With Hierarchical Cell Structure HCS (HIERC = TRUE)

BCV(n): cells with equal PriorityLayerNCell

Complete TCL (with and w/o HCS) depends on IE “Service Handover”:

Inter-system message flow

MS/UE BTS BSC 3G_MSC RNS MS/UE

UMTS to GSM handover

MS/UE RNS 3G_MSC BSC BTS MS/UE

Meas. Report Iu-Relocation-Required

 BCV(n): Better Cell Value of neighbour cell n. Definitions:

 BR7.0: Basic Release 7.0 (of Siemens GSM RAN)

 BSC: Base Station Controller (GSM)

 DL: Down Link (BTS -> MS/UE)

 FDD: Frequency Division Duplex

 HCS: Hierarchical Cell Structure

 HIERC: This attribute (EnableHierarchicalCellHo) is used to enable/disable the Hierarchical

 HOLTHLVDL(s): this parameter defines the DL received level threshold

 HOLTHLVUL(s): this parameter defines the UL received level threshold

 IE: Information Element

 MS: Mobile Station (GSM)

 MsTxPmax: maximum RF TX power an MS/UE is permitted to use in a cell. Data base

 MsTxPmax(n): maximum RF TX power an MS/UE is permitted to use in a neighbour cell n.

 MsTxPmax(s): maximum RF TX power an MS/UE is permitted to use in the serving cell s.

 NodeB: UMTS base transceiver station

 P(n): maximum TX power capability of the MS/UE in the neighbour cell

 P(s): maximum TX power capability of the MS/UE in the serving cell

 RAN: Radio Access Network