The UMTS network architecture is required to provide a greater level of performance to that of the original GSM network.

However as many networks had migrated through the use of GPRS and EDGE, they already had the ability to carry data. Accordingly many of the elements required for the WCDMA / UMTS network architecture were seen as a migration. This considerably reduced the cost of implementing the UMTS network as many elements were in place or needed upgrading. With one of the major aims of UMTS being to be able to carry data, the UMTS network architecture was designed to enable a considerable improvement in data performance over that provided for GSM.

UMTS network constituents

The UMTS network architecture can be divided into three main elements: 1. User Equipment (UE): The User Equipment or UE is the name given to what was previous termed the mobile, or cell phone. The new name was chosen because the considerably greater functionality that the UE could have. It could also be anything between a mobile phone used for talking to a data terminal attached to a computer with no voice capability. 2. Radio Network Subsystem (RNS): The RNS is the equivalent of the previous Base Station Subsystem or BSS in GSM. It provides and manages the air interface for the overall network. 3. Core Network: The core network provides all the central processing and management for the system. It is the equivalent of the GSM Network Switching Subsystem or NSS. The core network is then the overall entity that interfaces to external networks including the public phone network and other cellular telecommunications networks.

UMTS Network Architecture Overview

User Equipment, UE
The USER Equipment or UE is a major element of the overall UMTS network architecture. It forms the final interface with the user. In view of the far greater number of applications and facilities that it can perform, the decision was made to call it a user equipment rather than a mobile. However it is essentially the handset (in the broadest terminology), although having access to much higher speed data communications, it can be much more versatile, containing many more applications. It consists of a variety of different elements including RF circuitry, processing, antenna, battery, etc. There are a number of elements within the UE that can be described separately:
y

UE RF circuitry: The RF areas handle all elements of the signal, both for the receiver and for the transmitter. One of the major challenges for the RF power amplifier was to reduce the power consumption. The form of modulation used for W-CDMA requires the use of a linear amplifier. These inherently take more current than non linear amplifiers which can be used for the form of modulation used on GSM. Accordingly to maintain battery life, measures were introduced into many of the designs to ensure the optimum efficiency. Baseband processing: The base-band signal processing consists mainly of digital circuitry. This is considerably more complicated than that used in phones for previous generations. Again this has been optimised to reduce the current consumption as far as possible. Battery: While current consumption has been minimised as far as possible within the circuitry of the phone, there has been an increase in current drain on the battery. With users expecting the same lifetime between charging batteries as experienced on the previous generation phones, this has necessitated the use of new and improved battery technology. Now Lithium Ion (Li-ion) batteries are used. These phones to remain small and relatively light while still retaining or even improving the overall life between charges. Universal Subscriber Identity Module, USIM: The UE also contains a SIM card, although in the case of UMTS it is termed a USIM (Universal Subscriber Identity Module). This is a more advanced version of the SIM card used in GSM and other systems, but embodies the same types of information. It contains the International Mobile Subscriber Identity number (IMSI) as well as the Mobile Station International ISDN Number (MSISDN). Other information that the USIM holds includes the preferred language to enable the correct language information to be displayed, especially when roaming, and a list of preferred and prohibited Public Land Mobile Networks (PLMN). The USIM also contains a short message storage area that allows messages to stay with the user even when the phone is changed. Similarly "phone book" numbers and call information of the numbers of incoming and outgoing calls are stored.

The UE can take a variety of forms, although the most common format is still a version of a "mobile phone" although having many data capabilities. Other broadband dongles are also being widely used.

UMTS Radio Network Subsystem

This is the section of the UMTS / WCDMA network that interfaces to both the UE and the core network. The overall radio access network, i.e. collectively all the Radio Network Subsystem is known as the UTRAN UMTS Radio Access Network. The Radio Network Subsystem comprises two main components:
y

Radio Network Controller, RNC: This element of the radio network subsystem controls the Node Bs that are connected to it. The RNC undertakes the radio resource management and some of the mobility management functions, although not all. It is also the point at which the data encryption / decryption is performed to protect the user data from eavesdropping. Node B: Node B is the term used within UMTS to denote the base station transceiver. It contains the transmitter and receiver to communicate with the UEs within the cell.

In order to facilitate effective handover between Node Bs under the control of different RNCs, the RNC not only communicates with the Core Network, but also with neighbouring RNCs.

UMTS Radio Network Subsystem Architecture

UMTS Core Network

The UMTS core network architecture is a migration of that used for GSM with further elements overlaid to enable the additional functionality demanded by UMTS. In view of the different ways in which data may be carried, the UMTS core network may be split into two different areas:

Circuit switched elements: These elements are primarily based on the GSM network entities and carry data in a circuit switched manner, i.e. a permanent channel for the duration of the call. Packet switched elements: These network entities are designed to carry packet data. This enables much higher network usage as the capacity can be shared and data is carried as packets which are routed according to their destination.

Some network elements, particularly those that are associated with registration are shared by both domains and operate in the same way that they did with GSM.

UMTS Core Network Circuit switched elements The circuit switched elements of the UMTS core network architecture include the following network entities:
y y

Mobile switching centre (MSC): This is essentially the same as that within GSM, and it manages the circuit switched calls under way. Gateway MSC (GMSC): This is effectively the interface to the external networks.

Packet switched elements The packet switched elements of the UMTS core network architecture include the following network entities:
y

Serving GPRS Support Node (SGSN): As the name implies, this entity was first developed when GPRS was introduced, and its use has been carried over into the UMTS

network architecture. The SGSN provides a number of functions within the UMTS network architecture. o Mobility management When a UE attaches to the Packet Switched domain of the UMTS Core Network, the SGSN generates MM information based on the mobile's current location. o Session management: The SGSN manages the data sessions providing the required quality of service and also managing what are termed the PDP (Packet data Protocol) contexts, i.e. the pipes over which the data is sent. o Interaction with other areas of the network: The SGSN is able to manage its elements within the network only by communicating with other areas of the network, e.g. MSC and other circuit switched areas. o Billing: The SGSN is also responsible billing. It achieves this by monitoring the flow of user data across the GPRS network. CDRs (Call Detail Records) are generated by the SGSN before being transferred to the charging entities (Charging Gateway Function, CGF). Gateway GPRS Support Node (GGSN): Like the SGSN, this entity was also first introduced into the GPRS network. The Gateway GPRS Support Node (GGSN) is the central element within the UMTS packet switched network. It handles inter-working between the UMTS packet switched network and external packet switched networks, and can be considered as a very sophisticated router. In operation, when the GGSN receives data addressed to a specific user, it checks if the user is active and then forwards the data to the SGSN serving the particular UE.

Shared elements The shared elements of the UMTS core network architecture include the following network entities:
y

Home location register (HLR): This database contains all the administrative information about each subscriber along with their last known location. In this way, the UMTS network is able to route calls to the relevant RNC / Node B. When a user switches on their UE, it registers with the network and from this it is possible to determine which Node B it communicates with so that incoming calls can be routed appropriately. Even when the UE is not active (but switched on) it re-registers periodically to ensure that the network (HLR) is aware of its latest position with their current or last known location on the network. Equipment identity register (EIR): The EIR is the entity that decides whether a given UE equipment may be allowed onto the network. Each UE equipment has a number known as the International Mobile Equipment Identity. This number, as mentioned above, is installed in the equipment and is checked by the network during registration. Authentication centre (AuC) : The AuC is a protected database that contains the secret key also contained in the user's USIM card.

Summary
The UMTS network architecture is considerably more complicated than any previous core network architectures. It offers considerably greater levels of functionality and the UMTS network has to handle both circuit switched and packet data. 3GPP UMTS, the Universal Mobile Telecommunications System is the third generation (3G) successor to the second generation GSM based cellular technologies which also include GPRS, and EDGE. Although UMTS uses a totally different air interface, the core network elements have been migrating towards the UMTS requirements with the introduction of GPRS and EDGE. In this way the transition from GSM to the 3G UMTS architecture did not require such a large instantaneous investment. UMTS uses Wideband CDMA (WCDMA or W-CDMA) to carry the radio transmissions, and often the system is referred to by the name WCDMA. It is also gaining a third name. Some are calling it 3GSM because it is a 3G migration for GSM.

3GPP UMTS Specifications and Management

In order to create and manage a system as complicated as UMTS or WCDMA it is necessary to develop and maintain a large number of documents and specifications. For UMTS or WCDMA, these are now managed by a group known as 3GPP - the Third Generation Partnership Programme. This is a global co-operation between six organisational partners - ARIB, CCSA, ETSI, ATIS, TTA and TTC. The scope of 3GPP was to produce globally applicable Technical Specifications and Technical Reports for a 3rd Generation Mobile Telecommunications System. This would be based upon the GSM core networks and the radio access technologies that they support (i.e., Universal Terrestrial Radio Access (UTRA) both Frequency Division Duplex (FDD) and Time Division Duplex (TDD) modes). Since it was originally formed, 3GPP has also taken over responsibility for the GSM standards as well as looking at future developments including LTE (Long Term Evolution) and the 4G technology known as LTE Advanced.

UMTS Capabilities
UMTS uses Wideband CDMA - WCDMA - as the radio transmission standard. It employs a 5 MHz channel bandwidth. Using this bandwidth it has the capacity to carry over 100 simultaneous voice calls, or it is able to carry data at speeds up to 2 Mbps in its original format. However with the later enhancements of HSDPA and HSUPA (described in other articles

accessible from the cellular telecommunications menu page ) included in later releases of the standard the data transmission speeds have been increased to 14.4 Mbps. Many of the ideas that were incorporated into GSM have been carried over and enhanced for UMTS. Elements such as the SIM have been transformed into a far more powerful USIM (Universal SIM). In addition to this, the network has been designed so that the enhancements employed for GPRS and EDGE can be used for UMTS. In this way the investment required is kept to a minimum. A new introduction for UMTS is that there are specifications that allow both Frequency Division Duplex (FDD) and Time Division Duplex (TDD) modes. The first modes to be employed are FDD modes where the uplink and downlink are on different frequencies. The spacing between them is 190 MHz for Band 1 networks being currently used and rolled out. However the TDD mode where the uplink and downlink are split in time with the base stations and then the mobiles transmitting alternately on the same frequency is particularly suited to a variety of applications. Obviously where spectrum is limited and paired bands suitably spaced are not available. It also performs well where small cells are to be used. As a guard time is required between transmit and receive, this will be smaller when transit times are smaller as a result of the shorter distances being covered. A further advantage arises from the fact that it is found that far more data is carried in the downlink as a result of internet surfing, video downloads and the like. This means that it is often better to allocate more capacity to the downlink. Where paired spectrum is used this is not possible. However when a TDD system is used it is possible to alter the balance between downlink and uplink transmissions to accommodate this imbalance and thereby improve the efficiency. In this way TDD systems can be highly efficient when used in picocells for carrying Internet data. The TDD systems have not been widely deployed, but this may occur more in the future. In view of its character, it is often referred to as TD-CDMA (Time Division CDMA).

UMTS WCDMA specification summary

UMTS WCDMA system offered a significant improvement in capability over the previous 2G services.

Parameter Data rate RF channel bandwidth Multiple access scheme Duplex schemes

Specification 2048 kbps low range 384 kbps urban and outdoor 5 MHz CDMA FDD and also TDD

UMTS / WCDMA summary

UMTS or as it is often termed, Wideband CDMA, WCDMA is being widely deployed. It offers many advantages over GSM, GPRS, and EDGE in terms of much higher data rates and greater flexibility. These basic technical abilities reflect as a much richer number of applications and features that the 3G phones can be used to perform. This not only gives the user a much more useful 'phone', but this also translates into higher revenues for the operator. Physical layer within UMTS / WCDMA is totally different to that employed by GSM. It employs a spread spectrum transmission in the form of CDMA rather than the TDMA transmissions used for GSM. Additionally it currently uses different frequencies to those allocated for GSM.

UMTS Uplink and Downlink

When looking at the radio air interface and its associated properties, it is necessary to define the directions in which the transmissions are occurring. Being a full duplex system, i.e. transmitting simultaneously in both directions, it is necessary to be able to define which direction is which.
y y

Uplink; This may also sometimes be known as the reverse link, and it is the link from the User Equipment (UE) to the Node B or base station. Downlink; This may also sometimes be known as the forward link, and it is the link from the Node B or base station to the User Equipment (UE).

The terms Uplink and Downlink are the terms that are used with UMTS, and especially within Europe. The terms forward link and reverse link are more commonly used with the CDMA2000 technologies and also within North America.

Uplink and downlink transmission directions

UMTS frequencies
There are currently six bands that are specified for use for UMTS / WCDMA although operation on other frequencies is not precluded. However much of the focus for UMTS is currently on frequency allocations around 2 GHz. At the World Administrative radio Conference in 1992, the bands 1885 - 2025 and 2110 - 2200 MHz were set aside for use on a world wide basis by administrations wishing to implement International Mobile Telecommunications-2000 (IMT2000). The aim was that allocating spectrum on a world wide basis would facilitate easy roaming for UMTS / WCDMA users. Within these bands the portions have been reserved for different uses:
y

1920-1980 and 2110-2170 MHz Frequency Division Duplex (FDD, W-CDMA) Paired uplink and downlink, channel spacing is 5 MHz and raster is 200 kHz. An Operator needs 3 - 4 channels (2x15 MHz or 2x20 MHz) to be able to build a high-speed, high-capacity network. 1900-1920 and 2010-2025 MHz Time Division Duplex (TDD, TD/CDMA) Unpaired, channel spacing is 5 MHz and raster is 200 kHz. Transmit and receive transmissions are not separated in frequency. 1980-2010 and 2170-2200 MHz Satellite uplink and downlink.

UMTS carrier frequencies are designated by a UTRA Absolute Radio Frequency Channel Number (UARFCN). This can be calculated from: UARFCN = 5 x (frequency in MHz) UMTS uses wideband CDMA as the radio transport mechanism. The UMTS channels are spaced by 5 MHz.

Synchronisation
The level of synchronisation required for the WCDMA system to operate is provided from the Primary Synchronisation Channel (P-SCH) and the Secondary Synchronisation Channel (SSCH). These channels are treated in a different manner to the normal channels and as a result they are not spread using the OVSFs and PN codes. Instead they are spread using synchronisation codes. There are two types that are used. The first is called the primary code and is used on the P-SCH, and the second is named a secondary code and is used on the S-SCH. The primary code is the same for all cells and is a 256 chip sequence that is transmitted during the first 256 chips of each time slot. This allows the UE to synchronise with the base station for the time slot.

Once the UE has gained time slot synchronisation it only knows the start and stop of the time slot, but it does not know information about the particular time slot, or the frame. This is gained using the secondary synchronisation codes. There is a total of sixteen different secondary synchronization codes. One code is sent at the beginning of the time slot, i.e. the first 256 chips. It consists of 15 synchronisation codes and there are 64 different scrambling code groups. When received, the UE is able to determine before which synchronisation code the overall frame begins. In this way the UE is able to gain complete synchronisation. The scrambling codes in the S-SCH also enable the UE to identify which scrambling code is being used and hence it can identify the base station. The scrambling codes are divided into 64 code groups, each having eight codes. This means that after achieving frame synchronisation, the UE only has a choice of one in eight codes and it can therefore try to decode the CPICH channel. Once it has achieved this it is able to read the BCH information and achieve better timing and it is able to monitor the P-CCPCH.

UMTS power control

As with any CDMA system it is essential that the base station receives all the UEs at approximately the same power level. If not, the UEs that are further away will be lower in strength than those closer to the node B and they will not be heard. This effect is often referred to as the near-far effect. To overcome this the node B instructs those stations closer in, to reduce their transmitted power, and those further away to increase theirs. In this way all stations will be received at approximately the same strength. It is also important for node Bs to control their power levels effectively. As the signals transmitted by the different node Bs are not orthogonal to one another it is possible that signals from different ones will interfere. Accordingly their power is also kept to the minimum required by the UEs being served. To achieve the power control there are two techniques that are employed: open loop; and closed loop. Open loop techniques are used during the initial access before communication between the UE and node B has been fully established. It simply operates by making a measurement of the received signal strength and thereby estimating the transmitter power required. As the transmit and receive frequencies are different, the path losses in either direction will be different and therefore this method cannot be any more than a good estimate. Once the UE has accessed the system and is in communication with the node B, closed loop techniques are used. A measurement of the signal strength is taken in each time slot. As a result of this a power control bit is sent requesting the power to be stepped up or down. This process is undertaken on both the up and downlinks. The fact that only one bit is assigned to power control

means that the power will be continually changing. Once it has reached approximately the right level then it would step up and then down by one level. In practice the position of the mobile would change, or the path would change as a result of other movements and this would cause the signal level to move, so the continual change is not a problem. The modulation schemes used within the CDMA signal format have been chosen to optimise the performance of the overall UMTS, WCDMA system. One major drive that influenced the choice of the UMTS modulation formats was experience gained from 2G systems. By using a careful choice of modulation scheme it has been possible to overcome the problems experienced in 2G. However there many other requirements that need to be met in addition to this.

UMTS modulation schemes

There are several considerations that were taken into account when making the choice for the overall format for the UMTS WCDMA modulation formats. Some of the considerations were:
y

It is necessary to ensure that the data is carried efficiently over the available spectrum, and therefore maximum use is made of the available spectrum, and hence the capacity of the system is maximised. The modulation scheme should be chosen to ensure that the efficiency of the RF power amplifier in the handset or UE is made as high as possible. By enabling the power amplifier to be maximised, less battery power is consumed for the same transmitted power. As battery power is of particular importance to users, this is a key requirement. The modulation format should be chosen to avoid the audio interference caused to many nearby electronics equipment resulting from the pulsed transmission format used on many 2G systems such as GSM

As the uplink and downlink have different requirements, the exact format for the modulation format used on either direction is slightly different. UMTS modulation schemes for both uplink and downlink, although somewhat different are both based around phase shift keying formats. This provides many advantages over other schemes that could be used in terms of spectral efficiency and other requirements.

Note on PSK:

Phase shift Keying, PSK is a form of modulation used particularly for data transmissions .It offers an effective way of transmitting data. By altering the number of different phase states which can be adopted, the data speeds that can be achieved within a given channel can be increased, but at the cost of lower resilience to noise an interference.

Downlink modulation
The UMTS modulation format for the downlink is more straightforward than that used in the uplink. The downlink uses quadrature phase shift keying, QPSK. The QPSK modulation used in the downlink is used with time-multiplexed control and data streams. While time multiplexing would be a problem in the uplink, where the transmission in this format would give rise to interference in local audio systems, this is not relevant for the downlink where the NodeB is sufficiently remote from any local audio related equipment to ensure that interference is not a problem.

Uplink modulation
However the uplink uses two separate channels so that the cycling of the transmitter on and off does not cause interference on the audio lines, a problem that was experienced on GSM. The dual channels (dual channel phase shift keying) are achieved by applying the coded user data to the I or In-phase input to the DQPSK modulator, and control data which has been encoded using a different code to the Q or quadrature input to the modulator.

Summary
While some compromises have been made to the UMTS modulation schemes for uplink and downlink, the overall performance provides an effective solution to meet the requirements for the overall UMTS cellular system. The data carried by the UMTS / WCDMA transmissions is organised into frames, slots and channels. In this way all the payload data as well as the control data can be carried in an efficient manner. UMTS uses CDMA techniques (as WCDMA) as its multiple access technology, but it additionally uses time division techniques with a slot and frame structure to provide the full channel structure. A channel is divided into 10 ms frames, each of which has fifteen time slots each of 666 microseconds length. On the downlink the time is further subdivided so that the time slots contain fields that contain either user data or control messages. On the uplink dual channel modulation is used so that both data and control are transmitted simultaneously. Here the control elements contain a pilot signal, Transport Format Combination Identifier (TFCI), FeedBack Information (FBI) and Transmission Power Control (TPC). The channels carried are categorised into three: logical, transport and physical channels. The logical channels define the way in which the data will be transferred, the transport channel along with the logical channel again defines the way in which the data is transferred, the physical channel carries the payload data and govern the physical characteristics of the signal.

The channels are organised such that the logical channels are related to what is transported, whereas the physical layer transport channels deal with how, and with what characteristics. The MAC layer provides data transfer services on logical channels. A set of logical channel types is defined for different kinds of data transfer services.

Logical Channels:
Broadcast Control Channel (BCCH), (downlink). This channel broadcasts information to UEs relevant to the cell, such as radio channels of neighbouring cells, etc. Paging Control Channel (PCCH), (downlink). This channel is associated with the PICH and is used for paging messages and notification information. Dedicated Control Channel (DCCH), (up and downlinks) This channel is used to carry dedicated control information in both directions. Common Control Channel (CCCH), (up and downlinks). This bi-directional channel is used to transfer control information. Shared Channel Control Channel (SHCCH), (bi-directional). This channel is bi-directional and only found in the TDD form of WCDMA / UMTS, where it is used to transport shared channel control information. Dedicated Traffic Channel (DTCH), (up and downlinks). This is a bidirectional channel used to carry user data or traffic. Common Traffic Channel (CTCH), (downlink) A unidirectional channel used to transfer dedicated user information to a group of UEs.

Transport Channels:
Dedicated Transport Channel (DCH), (up and downlink). This is used to transfer data to a particular UE. Each UE has its own DCH in each direction. Broadcast Channel (BCH), (downlink). This channel broadcasts information to the UEs in the cell to enable them to identify the network and the cell. Forward Access Channel (FACH),(down link). This is channel carries data or information to the UEs that are registered on the system. There may be more than one FACH per cell as they may carry packet data.

Paging Channel (PCH) (downlink). This channel carries messages that alert the UE to incoming calls, SMS messages, data sessions or required maintenance such as re-registration. Random Access Channel (RACH), (uplink). This channel carries requests for service from UEs trying to access the system Uplink Common Packet Channel (CPCH), (uplink). This channel provides additional capability beyond that of the RACH and for fast power control. Downlink Shared Channel (DSCH) (downlink).This channel can be shared by several users and is used for data that is "bursty" in nature such as that obtained from web browsing etc.

Physical Channels:
Primary Common Control Physical Channel (PCCPCH) (downlink). This channel continuously broadcasts system identification and access control information. Secondary Common Control Physical Channel (SCCPCH) (downlink) This channel carries the Forward Access Channel (FACH) providing control information, and the Paging Channel (PACH) with messages for UEs that are registered on the network. Physical Random Access Channel (PRACH) (uplink). This channel enables the UE to transmit random access bursts in an attempt to access a network. Dedicated Physical Data Channel (DPDCH) (up and downlink). This channel is used to transfer user data. Dedicated Physical Control Channel (DPCCH) (up and downlink). This channel carries control information to and from the UE. In both directions the channel carries pilot bits and the Transport Format Combination Identifier (TFCI). The downlink channel also includes the Transmit Power Control and FeedBack Information (FBI) bits. Physical Downlink Shared Channel (PDSCH) (downlink). This channel shares control information to UEs within the coverage area of the node B. Physical Common Packet Channel (PCPCH). This channel is specifically intended to carry packet data. In operation the UE monitors the system to check if it is busy, and if not it then transmits a brief access burst. This is retransmitted if no acknowledgement is gained with a slight increase in power each time. Once the node B acknowledges the request, the data is transmitted on the channel. Synchronisation Channel (SCH) The synchronisation channel is used in allowing UEs to synchronise with the network.

Common Pilot Channel (CPICH) This channel is transmitted by every node B so that the UEs are able estimate the timing for signal demodulation. Additionally they can be used as a beacon for the UE to determine the best cell with which to communicate. Acquisition Indicator Channel (AICH) The AICH is used to inform a UE about the Data Channel (DCH) it can use to communicate with the node B. This channel assignment occurs as a result of a successful random access service request from the UE. Paging Indication Channel (PICH) This channel provides the information to the UE to be able to operate its sleep mode to conserve its battery when listening on the Paging Channel (PCH). As the UE needs to know when to monitor the PCH, data is provided on the PICH to assign a UE a paging repetition ratio to enable it to determine how often it needs to 'wake up' and listen to the PCH. CPCH Status Indication Channel (CSICH) This channel, which only appears in the downlink carries the status of the CPCH and may also be used to carry some intermittent, or "bursty" data. It works in a similar fashion to PICH. Collision Detection/Channel Assignment Indication Channel (CD/CA-ICH) This channel, present in the downlink is used to indicate whether the channel assignment is active or inactive to the UE. Handover or handoff is as important for UMTS as any other form of cellular telecommunications system. As with any other cellular telecommunications system it is essential that UMTS handover is performed seamlessly so that the user is not aware of any change. Any failures within the UMTS handover (or UMTS handoff) procedure will lead to dropped calls which will in turn result in user dissatisfaction and ultimately it may lead to users changing networks, thereby increasing the churn rate. It is worth noting that the two terms UMTS handover and UMTS handoff have the same meaning. UMTS handover tends is the terminology that tends to be used within Europe, whereas UMTS handoff is more likely to be used within North America.

UMTS handover types

Within UMTS it is possible to define a number of different types of UMTS handover or handoff. With the advent of generic CDMA technology, new possibilities for effecting more reliable forms of handover became possible, and as a result one of a variety of different forms of handover are available depending upon the different circumstances. For purely inter W-CDMA technology, there are three basic types of handover:
y y

Hard handover: This form of handover is essentially the same as that used for 2G networks where one link is broken and another established. Soft handover: This form of handover is a more gradual and the UE communicates simultaneously with more than one Node B or base station during the handover process.

y y

Softer handover: Not a full form of UMTS handover, but the UE communicates with more than one sector managed by the same NodeB. UMTS GSM inter RAT handover: This form of handover occurs when mobiles have to change between Radio Access Technologies.

Each of the different types of handover is used on different occasions dependent upon the conditions. Further details of each type of UMTS handover are given in the individual sections below.

UMTS hard handover

The name hard handover indicates that there is a "hard" change during the handover process. For hard handover the radio links are broken and then re-established. Although hard handover should appear seamless to the user, there is always the possibility that a short break in the connection may be noticed by the user. The basic methodology behind a hard handover is relatively straightforward. There are a number of basic stages of a hard handover: 1. The network decides a handover is required dependent upon the signal strengths of the existing link, and the strengths of broadcast channels of adjacent cells. 2. The link between the existing NodeB and the UE is broken. 3. A new link is established between the new NodeB and the UE. Although this is a simplification of the process, it is basically what happens. The major problem is that any difficulties in re-establishing the link will cause the handover to fail and the call or connection to be dropped. UMTS hard handovers may be used in a number of instances:
y y y

When moving from one cell to an adjacent cell that may be on a different frequency. When implementing a mode change, e.g. from FDD to TDD mode, for example. When moving from one cell to another where there is no capacity on the existing channel, and a change to a new frequency is required.

One of the issues facing UMTS hard handovers was also experienced in GSM. When usage levels are high, the capacity of a particular cell that a UE is trying to enter may be insufficient to support a new user. To overcome this, it may be necessary to reserve some capacity for new users. This may be achieved by spreading the loading wherever possible - for example UEs that can receive a sufficiently strong signal from a neighbouring cell may be transferred out as the original cell nears its capacity level.

UMTS soft handover

Soft handover is a form of handover that was enabled by the introduction of CDMA. Soft handover occurs when a UE is in the overlapping coverage area of two cells. Links to the two base stations can be established simultaneously and in this way the UE can communicate with two base stations. By having more than one link active during the handover process, this provides a more reliable and seamless way in which to perform handover. In view of the fact that soft handover uses several simultaneous links, it means that the adjacent cells must be operating on the same frequency or channel as UEs do not have multiple transmitters and receivers that would be necessary if they were on different frequencies. When the UE and NodeB undertake a soft handover, the UE receives signals from the two NodeBs and combines them using the RAKE receiver capability available in the signal processing of the UE. In the uplink the situation is more complicated as the signal combining cannot be accomplished in the NodeB as more than one NodeB is involved. Instead, combining is accomplished on a frame by frame basis. The best frames are selected after each interleaving period. The selection is accomplished by using the outer loop power control algorithm which measures the signal to noise ratio (SNR) of the received uplink signals. This information is then used to select the best quality frame. Once the soft handover has been completed, the links to the old NodeB are dropped and the UE continues to communicate with the new NodeB. As can be imagined, soft handover uses a higher degree of the network resources than a normal link, or even a hard handover. However this is compensated by the improved reliability and performance of the handover process. However with around 5 to 10% of handovers falling into this category, network operators need to account for it. Note on the RAKE receiver: A RAKE receiver is a form of radio receiver that has been made feasible in many areas by the use of digital signal processing, DSP. It is often used to overcome the effects of multipath propagation. It achieves this by using several sub-receivers known as "fingers" which are given a particular multipath component. Each finger then processes its component and decodes it. The resultant outputs from the fingers are then combined to provide the maximum contribution from each path. In this way rake receivers and multipath propagation can be used to improve the signal to noise performance.

UMTS softer handover

A form of handover referred to as softer handover is really a special form of soft handover. It is a form of soft handover that occurs when the new radio links that are added are from the same NodeB. This occurs when several sectors may be served from the same NodeB, thereby simplifying the combining as it can be achieved within the NodeB and not require linking further back into the network. UMTS softer handover is only possible when a UE can hear the signals from two sectors served by the same NodeB. This may occur as a result of the sectors overlapping, or more commonly as a result of multipath propagation resulting from reflections from buildings, etc. In the uplink, the signals received by the NodeB, the signals from the two sectors can be routed to the same RAKE receiver and then combined to provide an enhanced signal. In the downlink, it is a little more complicated because the different sectors of the NodeB use different scrambling codes. To overcome this, different fingers of the RAKE receiver apply the appropriate de-spreading or de-scrambling codes to the received signals. Once this has been done, they can be combined as before. In view of the fact that a single transmitter is used within the UE, only one power control loop is active. This may not be optimal for all instances but it simplifies the hardware and general operation.

Inter-RAT / Intersystem UMTS / GSM handover

In many instances it is necessary for the UMTS radio access network to handover to the 2G GSM network. These handovers are given a variety of names including Inter-RAT handover as they are handing over between different forms of Radio Access Technology, Intersystem Handover, and UMTS / GSM Handover. These handovers may be required for one of a variety of reasons including:
y y

Limited UMTS coverage UMTS network busy whereas spare capacity is available on GSM network

The most common form of intersystem or inter-RAT handover is between UMTS and GSM. There are two different types of inter-RAT handover:
y

UMTS to GSM handover: There are two further divisions of this category of handover:
o

Compressed mode handover: Using compressed mode handover the UE uses the gaps in transmission that occur to analyse the reception of local GSM base stations. The UE uses the neighbour list provided by the UMTS network to

monitor and select a suitable candidate base station. Having selected a suitable base station the handover takes place, but without any time synchronisation having occurred. o Blind handover: This form of handover occurs when the base station hands off the UE by passing it the details of the new cell to the UE without linking to it and setting the timing, etc of the mobile for the new cell. In this mode, the network selects what it believes to be the optimum GSM based station. The UE first locates the broadcast channel of the new cell, gains timing synchronisation and then carries out non-synchronised intercell handover. Handover from GSM to UMTS : This form of handover is supported within GSM and a "neighbour list" was established to enable this occur easily. As the GSM / 2G network is normally more extensive than the 3G network, this type of handover does not normally occur when the UE leaves a coverage area and must quickly find a new base station to maintain contact. The handover from GSM to UMTS occurs to provide an improvement in performance and can normally take place only when the conditions are right. The neighbour list will inform the UE when this may happen.

UMTS handover methodology

The decisions about handover are generally handled by the RNC. It continually monitors information regarding the signals being received by both the UE and NodeB and when a particular link has fallen below a given level and another better radio channel is available, it initiates a handover. As part of this monitoring process, the UE measures the Received Signal Code Power (RSCP) and Received Signal Strength Indicator (RSSI) and the information is then returned to the node B and hence to the RNC on the uplink control channel.

Summary
It is essential that handover is performed seamlessly and the user does not notice and breaks or worse still experiences and lost calls. The methods available for UMTS handover or handoff provide additional means that enable more reliable handovers to be achieved. This improvement in performance is able to retain customer satisfaction and keep levels of churn as low as possible.