Handover in the 3GPP Long Term Evolution

(LTE) Systems
Jihai Han, Bingyang Wu
National Mobile Communication Research Laboratory, Southeast University, Nanjing, 210096, China
Email: hanjihai.seu@gmail.com, wubingyang@seu.edu.cn
Abstract--One of the main goals of E-UTRAN is to provide

handover [2].

seamless access to voice and multimedia services with strict

delay requirements, which is achieved by supporting
handover from source cell to target cell. Proper handover

S1

S1

X2

X2

coverage, higher throughput, reduced latency requirements.

S1

S1

algorithms can make the system increased capacity, better

In this paper we give an overview of the LTE intra-access
handover procedure, the simulation approach, and several
latest handover algorithms which can enhance performance
of the LTE systems are introduced. Finally the results show
that the handover in the LTE system is complicated and

Figure.1.E-UTRAN architecture

imperfect, proper handover algorithms in the LTE system

The rest of this paper is organized as follows. Section

should be researched as quickly as possible.

Keywords- eNodeB; Handover; LTE; Outage probability;
Semi-soft Handover;

I. INTRODUCTION
3G WCDMA system are being deployed all over the
world, while the technologies are being enhanced with
improvements continuously that can guarantee increased
user bit rates and provide better capacity and coverage
performance. In the LTE and LTE-Advanced systems,
Mobility enhancement is an important aspect. LTE and

II gives the overview of the Long Term Evolution (LTE)

systems and the E-UTRAN architecture. The specific
handover procedures are introduced in Section III.
Section IV gives the simulation approach of the handover
procedure, which is most widely used in the systems. In
Section V, several novel handover algorithms that can
improve the performance of the systems are analyzed.
Finally we give a conclusion and discuss the future work
in Section VI.
II. OVERVIEW OF HANDOVER

LTE-Advanced systems should support mobility for

There are two main handover technologies in wireless

various mobile speeds up to 350km/h (or even up to

communication systems, hard handover and soft handover.

500km/h) [1]. With the moving speed even higher, the

Hard handover is a break-before-make method. It means

handover will be more frequent. Therefore, the handover

that a new wireless link connection with the target

performance becomes more crucial, especially for real

eNodeB should be set up after the release of the

time service.

connection with the source eNodeB. Soft handover is a

The E-UTRAN architecture is comprised of eNodeBs,

make-before-break method. It means that a new wireless

Mobility Management Entity (MME), and System

link connection is established with the target eNodeB

Architecture Evolution (SAE) Gateways (Figure.1). The

while the connection with source eNodeB is maintained.

eNodeBs are connected to the MME/S-GW by the S1

The UE simultaneously receive all services data from

interface whereas X2 interface is interconnecting between

several active eNodeBs [3].

the eNodeBs. The latter exists between neighboring nodes

A handover procedure can typically be divided into

that needs to communicate with each other. The X2

four parts: the measurements control, the measurements

interface is used also on U-plane for temporary user

report, the handover decision, the handover execution [4].

downlink data forwarding during the inter-eNodeB

Measurements control and measurements reports can be

978-1-4244-9003-5/10/$26.00 2010 IEEE

considered as handover measurements. In the LTE system,

interaction between the measurements control and the

handover measurements are achieved by the signaling

measurements reports. Handover measurements are made

Figure.2. Intra-MME/S-GW handover

in downlink and processed in the user-equipment (UE).

Processing is done to filter out the effect of fast-fading.
These processed measurement results are reported back
to the base-station (eNodeB) in a periodic or event based
manner. Hence a handover is initiated based on the
processed handover measurements and if certain criteria
are met then the target cell becomes the serving cell
performing the network procedures with the assistance of
the UE.

III. HANDOVER PROCEDURE OF LTE SYSTEM

In LTE systems, active mode mobility managements
are distributed, the eNodeBs are making the handover
decisions without involving MME/S-GW. The necessary
handover information is exchanged between eNodeBs
via the X2 interface. MME/S-GW is notified with a
handover complete information after a new connection is
established between UE and the target eNodeB. After the
reception of the information, the MME/S-GW switch the

Handover technology have many decision criterions,

path. So, there is a time (Detach Time) when the UE is

the main criterions are as follows: Reference Signal

not connected to the systems. The solution method of the

Received Power (RSRP); Reference Signal Received

problems is the temporary forwarding of user data from

Quality (RSRQ); Received Signal Strength Indicator

the source cell to the target cell. But the forwarding of

(RSSI); Signal Noise Ratio (SNR); Carrier interference

the user data can make more delay to the systems and

ratio (CIR); Signal interference plus noise ratio(SINR).

finally impact the performance of the systems. We give

Received Signal Strength Indicator is the most widely

some novel handover algorithm that can decrease the

used criterion in the systems. Handover algorithms that

delay of the systems which will be involved in the

presented in [5] [6] are both based on received signal

Section V.

strength (RSS) measurements.

The Figure.2.gives a more detailed description of the

intra-MME/S-GW handover procedure we can summary

the main steps of the handover procedure as followes:
0.

The UE context in the source eNodeB contains

information regarding roaming restrictions that
where provided either at connection construction
or at the last Timing Advance (TA) update.

1.

The source eNodeB configures user equipment

(UE) measurement procedures according to the
area restriction information.

2.

The handover is triggered by the UE that sends a

Measurement Report to the source eNodeB.

3.

The source eNodeB makes Handover Decision

based on the Measurement Report and the Radio
Resource Management (RRM).

4.

The source eNodeB sends a Handover Request

to the target eNodeB which contains all the
relevant handover informations.

5.

The Admission Control may be performed by

the target eNodeB dependent on the received
information from the source eNodeB to increase
the likelihood of a successful handover, if the
resources can be granted by target eNodeB. If
the resources can not be granted, the target
eNodeB rejects the admission.

6.

The target eNodeB saves the context, prepares

L1/L2 for handover and respond to the source
eNodeB with a Handover Request Ack that
provides information for the establishment of
the new radio link.

7.

The target eNodeB generates the RRC message

to perform the handover, i.e RRC Connection
Reconfigure Message including the Mobility
Control Information, to be sent by the source
eNB towards the UE. The UE receives the RRC
Connection Reconfigure Message with required
parameters and is commanded by the source
eNodeB to perform the HO. The UE does not
need to delay handover execution for delivering
the HARQ/ARQ responses to source eNodeB.

8.

The source eNodeB sends the Sn Status Transfer

Message to the target eNodeB to convey uplink
PDCP SN receiver status and downlink PDCP
SN transmitter status of the E-RABs for which
PDCP status preservation applies (i.e. for RLC
AM). The source eNodeB may omit sending this
message if none of the E-RABs of the UE shall

be treated with PDCP status preservation.

9.

After receiving RRC Connection Reconfigure

Message which includes the Mobility Control
Information, UE performs Synchronisation to
target eNodeB and accesses the target cell via
RACH, following a contention-free procedure if
a dedicated RACH preamble was indicated in
the Mobility Control Information, or following a
contention-based procedure if no dedicated
preamble was indicated.

10. The target eNodeB responds with UL allocation

and timing advance.
11. When the UE has successfully accessed the
target cell, the UE sends the RRC Connection
Reconfiguration Complete Message to confirm
the handover, along with an uplink Buffer Status
Report to the target eNodeB to indicate that the
handover procedure is completed for the UE.
The target eNodeB verifies the C-RNTI sent in
the RRC Connection Reconfiguration Complete
Message. The target eNodeB can begin sending
data to the UE,now.
12. The target eNodeB sends a Path Switch Request
Message to MME to inform that the UE has
changed cell.
13. The MME sends an User Plane Updata Request
Message to the S-GW.
14. The S-GW switches the downlink data path to
the target side. The S-GW sends one or more
"end marker" packets on the old path to the
source eNodeB and then could release any
U-plane resources towards the source eNodeB.
15. S-GW sends an User Plane Updata Response
Message to MME.
16. The MME confirms the Path Switch Message
with the Path Switch Ack Message.
17. After sending UE Context Release, the target
eNodeB informs success message of handover
to the source eNodeB and triggers the release of
resources by the source eNodeB. The target
eNodeB sends the message after the Path Switch
Ack Message is received from the MME.
18. Upon reception of UE Context Release message,
the source eNodeB releases radio and C-plane
related resources associated to the UE context.
The service quality experienced by the end user

during handover is affected by: the Detach Time during

squares representing blocks and streets located between

which the UE is not connected to the system; the delay of

the blocks.

the forwarded packets; the delay difference between the

direct path and the forwarded path (after path switching
there can be packets in the system that are forwarded and
in the same time packets are arriving in the new path to
the target eNodeB) and the amount of discarded UL
packets. The delay difference between the direct path and
the forwarded path can cause out of order delivery of
downlink packets, duplicate TCP segments and TCP
timeouts. The duplicate packets might arrive in uplink as
well due to retransmission of the discarded PDUs.
IV. HANDOVER EVALUATION MECHANISMS
The Simulation is the most commonly used handover
evaluation mechanism. Several simulation models fit for
the evaluation of different types of handover algorithms
and different deployment scenarios have been proposed
and used in literatures. The simulation approach contains
many features of the cellular system and the cellular
environment in the evaluation framework. The approach
provides a commonly comparison method of different
handover algorithms, and also provides the performance
of the cellular systems [4]. Despite being cost-effective,
measurements made at the eNodeBs for the handover
performance evaluation are not very useful, and they
cannot characterize small-area performance. The field
measurements are useful, but they are time-consuming
and expensive. Software simulation provides fast, easy,
and cost-effective evaluation. The analytical approach
gives insight into handover behavior quickly, while

The Propagation Model - The design of spectrally

efficient wireless communication systems require a
detailed understanding of radio propagation environment.
The characteristics of the radio channel vary greatly with
the operating frequency, and the mode of propagation,
e.g., line-of-sight (LoS) radio links, diffraction scattering
reflection, and satellite links. In this paper the emphasis
is on land mobile radio channels that are typical of
terrestrial cellular mobile radio systems, although many
of the concepts will apply to other types of channels as
well [9]. Different propagation models exist for outdoor
and indoor propagation and for different types of
environment (e.g., urban and rural) [10]. Macrocells and
microcells have different propagation characteristics.
Reference [11] presents signal attenuation measurements
for microcells and shows the conventional propagation
models (e. g. Hata and Okumura models) are not valid
for the microcell environment. The main features of the
models discussed have been experimentally validated in
the literature. For example, Reference [12] suggests path
loss, the slow fading, and the fast fading models for the
microcellular systems based on actual measurements.
Reference [13] descries the computer models of Rayleigh,
Rician, log-mormal, and the land mobile satellite fading
channels based on processing of a white Gaussian
random process. The propagation model usually consists
of a path loss model, a slow fading model, and a fast
fading model.

simulations are required for complex scenarios. Hence,

The path loss model: in the macrocells, the path loss

the combination of the analytical approaches and the

models is used for several aspects of cell planning such

simulation approaches can be very powerful. Simulation

as the eNodeB placement, the cell sizing, and frequency

models usually consist of one or more of following

reuse[14]. The path loss models of Hata and Okumura

components: the cell model, the propagation model, the

can be used for macrocells. But microcells have different

traffic model, and the mobility model [7].

models for LOS and NLOS propagation.

The cell model-Cell planning strategies in microcells

The slow fading or the large-scale fading model:

and macrocells are different. The cells can be considered

According to [12], the distribution of the slow fading

as hexagons while considering handover between two

component is close to a log-normal distribution for a

eNodeBs in the neighborhood of two, three, or more cells.

majority of LoS and NLoS streets with different standard

A macrocellular system is sometimes simulated as the

deviations. The distribution is a truncated log-normally

49-cell toroidal systems or the 19-cell toroidal systems [3]

distributed variation. Reference[15] show an exponential

that with the uniformly distributed traffic. Reference [8]

autocorrelation model for shadow fading in mobile radio

discusses the microcell cell planning in the Manhattan

channels. The results show that the model fit is good for

environment. The city is modeled as a chessboard with

moderate and large cells; the predictions are less accurate

for microcells due to multipath.

The fast fading or small-scale fading model: Fast
fading is usually modeled as a Rician distribution where
parameter K (Rice factor) varies with distance. When
K=0, the variation is Rayleigh fading. Fast fading can
usually be neglected since it gets averaged out due to a
short correlation distance relative to that of the shadow
fading.

Generation (4G) mobile systems, which could lead to an

aggressive consumption of resources at the backhaul
network [19]. When the scheme is widely adopted for the
real time services and the demand for these services
increase, the amount of the backhaul network resources
consumed due to bicasting will increase tremendously.
So we proposed a velocity-based bicasting scheme which
reduces the bicasting time and improve the backhaul
network resource utilization. Our scheme uses a latest

The Traffic Model-Traffic can be assumed to be

concept of bicasting threshold determined on the basis of

uniform distribution for macrocells. But in the microcells,

specific mobile speed groups. Handover prediction has

road structures should to be considered, and traffic can be

been considered an effective technology for improvement

allowed only along the streets. The new call arrival

of the LTE systems handover performance. Although not

process is modeled as an independent Poisson process

a few techniques have been proposed to achieve this goal

with a certain mean arrival rate. The new call durations

including handover preparation based on cross-layer

are independent exponential random variables with a

optimization and mobility prediction, the fact is that their

certain mean. In some simulation scenarios, the statistics

gains are not often as high as their cost. To overcome

of dwell time can be useful [16]. Dwell time is defined as

such weaknesses, reference [20] proposes the simple

the average time spent by an UE in a cell with handover.

handover prediction technique which is based on a novel

The Mobility Model-The UEs which have different

velocities follow a truncated Gaussian distribution [7].
V. LATEST HANDOVER ALGORITHMS FOR LTE
AND LTE-ADVANCED SYSTEMS
As we known, handover can be classified with hard

user mobility model to approximate simulation the laws

of the user mobility actions. We develop a user mobility
database to assist the mobility prediction based on the
user mobility history records.
VI. CONCLUSION

handover and soft handover. Soft handover can only used

Handover is an integral component of the cellular

in the CDMA systems, so we should use hard handover

communications. The efficient handover algorithms can

technology in the LTE and LTE-Advanced systems. But

enhance the system capacity and the service quality cost

the hard handover has its defects: the outage probability

effectively. And different system deployment scenarios

is high and the handover procedure may be unreliable.

present different constrains on handover procedure. In

Reference [17] show that combined partial reuse and soft

the LTE and LTE-Advanced systems, the hard handover

handover can improve the cell edge combined in

can be used. But the hard handover has its shortcoming,

OFDMA system.

for example, the high handover outage probability, large

In paper, we give some latest handover algorithms

with a site selection diversity technique termed semi-soft
handover for the multicarrier systems. Reference [18]
presents a handover technique, referred to as semi-soft
handover utilizing macro diversity, which permit both
hard and soft handover advantages for services over
multicarrier-based broadband networks to be retained.
Reference [3] proposes a fractional soft handover scheme
based on the carrier aggregation. The main idea is to
partially perform soft handover for VoIP, but non-VoIP
service is only transmitted from source eNodeB or target
eNodeB. A velocity-based bicasting handover scheme is
to efficiently utilize backhaul network resource in Fourth

delay. So in the paper, under the analysis of the handover

procedure, we give the novel handover algorithms which
called the semi-soft handover. The simulations in [3] [18]
show that the performance of the semi-soft handover is
better than the hard handover in the systems. They also
show that the scheme not only attains lowest handover
outage probability, but also improves the reliability of
VoIP service. Handover technology represents one of the
radio resource management tasks carried by the cellular
systems. Some other resource management functions,
which include the admission control, channel assignment,
and power control are also important for radio resource
management. So when we research the performance of
the handover, the admission control, channel assignment,

pp.147-152.

and the control also should be considered.

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