Technische Universitt Wien a

DISSERTATION

System Capacity Optimization of UMTS FDD Networks

ausgefhrt zum Zwecke der Erlangung des akademischen Grades eines Doktors u der technischen Wissenschaften eingereicht an der Technischen Universitt Wien a Fakultt fr Elektrotechnik und Informationstechnik a u von

Alexander GERDENITSCH Matrikelnummer 9656381 A-7022 Loipersbach, Berggasse 1 geboren in Eisenstadt, Osterreich am 21. Oktober 1976

Wien, im Juni 2004

First Supervisor: o. Univ.-Prof. i.R. Dr. Ernst BONEK Institut fr Nachrichtentechnik und Hochfrequenztechnik u Fakultt fr Elektrotechnik und Informationstechnik a u Technische Universitt Wien, Austria a

Second Supervisor: a.o. Univ.-Prof. Dr. Gnther RAIDL u Institut fr Computergraphik und Algorithmen u Fakultt fr Informatik a u Technische Universitt Wien, Austria a

Abstract
In this thesis I investigate the problem of capacity optimization in UMTS FDD networks. The goal is to improve the capacity of the network, measured as served users, only by changing the base station parameters. The focus is on the optimization of antenna tilt and common pilot channel (CPICH) power of the base stations. These parameter adjustments improve the UMTS radio network capacity by means of reducing inter-cell interference, achieve cell load sharing, and optimize base station power resources. Altogether ve dierent algorithms for nding the best settings of antenna tilt and CPICH power are presented. The rst three optimization algorithms, Rule Based Approach, Simulated Annealing and Adaptive Rule Based Approach, are local techniques. Furthermore, a global technique, the Genetic Algorithm, will be presented. Also, an Analytic Optimization Algorithm will be discussed. The tness function used for the algorithms considers the number of served users as the main optimization goal. For the Genetic Algorithm I use a tness function that additionally also considers coverage and soft handover. First, the Rule Based Approach is adressed. The optimization process is characterized by reducing the CPICH power and increasing the antenna downtilt in the individual cells according to a congurable rule set. Subsequently, this algorithm is extended by incorporating Simulated Annealing. Here, the decision whether to take a worse result is, in contrast to the rst method, independent of the rule set. The third local algorithm is also a further development of the Rule Based Approach. The main dierence between the Adaptive Rule Based Approach and the other two local approaches is that CPICH power and antenna tilt are changed together, and that also an increase of CPICH power and antenna up tilting is possible during the optimization process. Further, a Genetic Algorithm is introduced which I improved by taking operators that are adapted for the UMTS capacity optimization problem by taking into account the quality of the network. In addition, a local optimization is included to improve the performance. Finally, I address an Analytical Optimization Algorithm. Beside antenna tilt and CPICH power settings, this algorithm optimizes also the antenna azimuth. i

ii The performance of the algorithms is evaluated using a static UMTS FDD network simulator on two virtual scenarios of a typical European city. In the rst scenario the network covers the whole area of the city. The second scenario only spans across downtown. With the dierent algorithms, I show improvements in capacity of up to 105 % compared to the initial settings. The Genetic Algorithm performs best, but with the drawback of a high computation time. If we compare the three local optimization techniques, Rule Based Approach, Simulated Annealing and Adaptive Rule Based Approach, we see that the Adaptive Rule Based Approach achieves the highest improvement. The computation eort for all three algorithms is approximately the same. The Analytic Optimization Algorithm shows, with only ve network evaluations, almost the same optimization result as the local algorithms.

Zusammenfassung
Diese Dissertation beschftigt sich mit der Kapazittsoptimierung in UMTS Moa a bilfunknetzen. Das Ziel ist, die Kapazitt im Netz, gemessen an der Anzahl a der bedienten Teilnehmer, nur durch Optimierung der Basisstationsparameter zu erhhen. Zur Optimierung werden die Antennenneigung sowie die Sendeleio stung des common pilot channel (CPICH) herangezogen. Eine korrekte Einstellung dieser Parameter bewirkt eine Kapazittssteigerung des UMTS Mobilfunka netzes durch Reduzierung der Interferenz der Nachbarzellen. Weiters kommt es zu einer gleichmssigen Aufteilung der Last auf die einzelnen Zellen und zur Opa timierung der Leistungsressourcen der Basisstationen. In dieser Arbeit werden insgesamt fnf verschiedene Algorithmen zur Suche nach u der optimalen Einstellung der Antennenneigung sowie der CPICH-Leistung vorgestellt. Die ersten drei Optimierungsalgorithmen, ein auf einem Regelwerk basierter Algorithmus, ein auf diesem basierender adaptiver Algorithmus und ein Simulated Annealing Algorithmus, sind lokale Techniken. Weiters wird auch eine globale Technik, ein genetischer Algorithmus, untersucht. Der letzte diskutierte Algorithmus ist ein analytischer Optimierungsalgorithmus. Die verwendete Fitnessfunktion beschreibt das Optimierungsziel (Kapazittssteiga erung) durch die Anzahl der bedienten Mobilfunkteilnehmer. Fr den genetischen u Algorithmus wird die Fitnessfunktion um den Grad der Netzabdeckung und die Anzahl der Teilnehmer, die mit mehr als einer Basisstation gleichzeitig verbunden sind, erweitert. Zu Beginn stelle ich in meiner Arbeit den auf einem Regelwerk basierten Algorithmus vor. Der Optimierungsprozess bei diesem Algorithmus zeichnet sich durch eine Erhhung der Antennenneigung und Reduzierung der CPICH-Leistung in o den einzelnen Zellen mittels eines kongurierbaren Regelwerkes aus. In weiterer Folge wird der Algorithmus durch das Einbinden von Simulated Annealing erweitert. Die Entscheidung, ob ein schlechtes Ergebnis akzeptiert wird, ist im Gegensatz zum vorigen Algorithmus unabhngig vom Regelwerk. Der dritte Algoa rithmus ist ebenfalls eine Erweiterung des ersten Algorithmus. Der grundlegende Unterschied zu den vorigen Algorithmen ist, dass nun die Antennenneigung und die CPICH-Leistung gemeinsam adaptiert werden, und dass eine Erhhung der o iii

iv CPICH-Leistung sowie eine Reduzierung der Antennenneigung whrend des Opa timierungsprozesses ebenfalls zulssig ist. a Weiters behandle ich einen genetischen Algorithmus, der an meine Problemstellung angepasst ist. Mittels angepasster Operatoren wird auch die Qualitt des a Mobilfunknetzes zur Optimierung herangezogen. Ein Bestandteil des genetischen Algorithmus ist auch eine lokale Optimierung, mit dem Ziel die Leistung des Algorithmus weiter zu steigern. Schlielich behandle ich in meiner Dissertation einen analytischen Optimierungsalgorithmus. Dieser Algoritmus optimiert neben der Antennenneigung und der CPICH-Leistung auch den Azimutwinkel der Antenne. Die Leistungsfhigkeit der einzelnen Algorithmen wird mit Hilfe eines statischen a UMTS FDD Netzwerksimulators auf zwei virtuellen Szenarien einer typischen europischen Grostadt bewertet. Das erste Szenario umfasst das komplette Stadta gebiet, wogegen das zweite nur das Zentrum der Stadt abdeckt. Mit den einzelnen Algorithmen zeige ich auf beiden Szenarien eine Kapazittssteiga erung von bis zu 105 % verglichen zur anfnglichen Parametereinstellung. Der a genetische Algorithmus liefert das beste Ergebnis, jedoch mit dem Nachteil der langen Laufzeit. Unter den lokalen Optimierungsverfahren schneidet der adaptive Regelwerk basierte Algorithmus am besten ab. Die Laufzeit ist jedoch fr u alle drei Algorithmen ungefhr gleich. Der analytische Optimierungsalgorithmus a zeigt eine hnliche Kapazittssteigerung wie die lokalen Verfahren, jedoch mit a a dem Vorteil, dass dieser Algorithmus nur fnf statt mehr als hundert Iterationen u bentigt. o

Acknowledgment
I am deeply grateful to Prof. Ernst Bonek for his guidance and invaluable support during my work. I thank him for his encouragement during the course of this work and for various suggestions improving the quality of this thesis. I am also very grateful to Martin Toeltsch and Thomas Neubauer of SYMENA, Software & Consulting GmbH, for the numerous discussions and their fruitful collaboration. Further I thank them for providing the static UMTS FDD network simulator CAP ESSOT M . Special thanks go to Thomas Baumgartner and Werner Weichselberger for many critical and useful suggestions and discussions. My very great appreciation goes to all my colleagues, Plamen Dintchev, Klaus Kopsa, Christian Pommer, Hseyin Ozcelik, Elmar Trojer, Markus Herdin, Geru hard Gritsch and Biljana Badic for their fruitful collaboration. Very special thanks to Stefan Jakl, who shared the oce with me and worked together with me on the same project, for the numerous discussions and the excellent oce atmosphere. Further I thank him for proof-reading this thesis. It was a pleasure to share the oce with you. Thanks are also included to Wolfgang Karner and Yee Yang Chong, who made their master thesis in our project under the guidance of Stefan and me. I owe also thanks to Michael Feher of Dipl.-Ing. Dr. Hermann Bhler GmbH, u Prof. Gnther Raidl of the Algorithms and Data Structures Group from the u Vienna University of Technology and Hendrik Rogier of the Electromagnetics Group from the Department of Information Technology (INTEC), Ghent University, Belgium. Last, but not least, I would like to thank my parents and family for the tremendous support during my studies. Without their assistance I wouldnt have reached my goals.

vi

Contents
1 Introduction 1.1 1.2 1.3 1.4 Background and Standardization of W-CDMA . . . . . . . . . . . Objectives of the UMTS System . . . . . . . . . . . . . . . . . . . Motivation for UMTS Optimization . . . . . . . . . . . . . . . . . Structure of the Thesis . . . . . . . . . . . . . . . . . . . . . . . . 1 2 4 6 7 9 9 10 10 13 15 15 15 15 17 17 18 18 18 19 19

2 Radio System Aspects 2.1 2.2 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . UTRA FDD System Description . . . . . . . . . . . . . . . . . . . 2.2.1 2.2.2 2.3 Channel and Frame Structure . . . . . . . . . . . . . . . . Modulation, Spreading and Scrambling . . . . . . . . . . .

Transport Channels and Physical Channels . . . . . . . . . . . . . 2.3.1 Synchronization Channel . . . . . . . . . . . . . . . . . . . 2.3.1.1 2.3.1.2 2.3.2 Primary SCH . . . . . . . . . . . . . . . . . . . . Secondary SCH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Common Pilot Channel 2.3.2.1 2.3.2.2

Primary Common Pilot Channel . . . . . . . . . Secondary Common Pilot Channel . . . . . . . .

2.3.3 2.3.4 2.3.5 2.3.6

Broadcast Channel . . . . . . . . . . . . . . . . . . . . . . Random Access Channel . . . . . . . . . . . . . . . . . . . Forward Access Channel . . . . . . . . . . . . . . . . . . . Paging Channel . . . . . . . . . . . . . . . . . . . . . . . . vii

viii 2.3.7 2.3.8 2.3.9

CONTENTS Dedicated Channel . . . . . . . . . . . . . . . . . . . . . . Downlink Shared Channel . . . . . . . . . . . . . . . . . . Uplink Common Packet Channel . . . . . . . . . . . . . . . . . . 20 20 20 21 21 21 22 23 25 26 30 31 33 33 36 37 39 40 42 44 45 45 46 46

2.3.10 Necessary Common Channels in a UMTS Network 2.4

Physical Layer Procedures . . . . . . . . . . . . . . . . . . . . . . 2.4.1 2.4.2 2.4.3 Cell Search . . . . . . . . . . . . . . . . . . . . . . . . . . Power Control . . . . . . . . . . . . . . . . . . . . . . . . . Handover . . . . . . . . . . . . . . . . . . . . . . . . . . .

2.5

Services and Applications . . . . . . . . . . . . . . . . . . . . . . 2.5.1 2.5.2 2.5.3 UMTS Forum Trac Classes . . . . . . . . . . . . . . . .

3GPP UMTS QoS Classes . . . . . . . . . . . . . . . . . . Trac Forecast for UMTS Network Optimization . . . . .

3 Overview of Optimization Techniques 3.1 3.2 3.3 3.4 3.5 General Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Local Search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Simulated Annealing . . . . . . . . . . . . . . . . . . . . . . . . . Tabu Search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Evolutionary Algorithms . . . . . . . . . . . . . . . . . . . . . . . 3.5.1 Genetic Algorithms . . . . . . . . . . . . . . . . . . . . . . 3.5.1.1 3.5.1.2 3.5.1.3 3.5.1.4 3.6 Selection . . . . . . . . . . . . . . . . . . . . . .

Recombination . . . . . . . . . . . . . . . . . . . Mutation . . . . . . . . . . . . . . . . . . . . . . Applications for Genetic Algorithms . . . . . . .

Ant Colony Optimization . . . . . . . . . . . . . . . . . . . . . . .

CONTENTS 4 Coverage- and Capacity-limiting Factors 4.1 4.2 4.3 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Uplink and Downlink Coverage-limited Scenarios . . . . . . . . . Uplink Capacity-limited Scenarios . . . . . . . . . . . . . . . . . . 4.3.1 4.3.2 4.4 4.4.1 4.4.2 4.4.3 4.5 Insucient Uplink Power . . . . . . . . . . . . . . . . . . . Uplink Cell Load Limitation . . . . . . . . . . . . . . . . . Cell Power Limitation . . . . . . . . . . . . . . . . . . . . Orthogonal Variable Spreading Factor (OVSF) Code Limitation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Code Power Limitation . . . . . . . . . . . . . . . . . . . .

ix 49 49 50 53 53 54 55 55 57 57 58 61 61 62 62 63 66 68 69 71 71 71 72 72 73 74 75 75 76 77

Downlink Capacity-limited Scenarios . . . . . . . . . . . . . . . .

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5 Key Optimization Parameters 5.1 5.2 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Antenna Parameters . . . . . . . . . . . . . . . . . . . . . . . . . 5.2.1 5.2.2 5.3 5.4 5.5 Antenna Azimuth . . . . . . . . . . . . . . . . . . . . . . . Antenna Tilt . . . . . . . . . . . . . . . . . . . . . . . . .

Common Pilot Channel (CPICH) Power . . . . . . . . . . . . . . A Short Investigation of CPICH and Antenna Tilt Changing . . . Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6 Fitness Function and Performance Indicators 6.1 6.2 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Fitness Function . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.1 6.2.2 6.2.3 6.3 6.4 Basic Fitness Function . . . . . . . . . . . . . . . . . . . . Extended Fitness Function . . . . . . . . . . . . . . . . . . Used Fitness Function . . . . . . . . . . . . . . . . . . . .

Grade of Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . Performance Indicators . . . . . . . . . . . . . . . . . . . . . . . . 6.4.1 6.4.2 6.4.3 Outaged Mobiles . . . . . . . . . . . . . . . . . . . . . . . Quality Factor . . . . . . . . . . . . . . . . . . . . . . . . . Summary of Performance Indicators . . . . . . . . . . . . .

x 7 Simulation Environment 7.1 7.2

CONTENTS 79 79 79 81 82 82 83 83 84 85 86 89 89 90 91 92 94 94 96 99 99

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Used UMTS FDD Simulator . . . . . . . . . . . . . . . . . . 7.2.1 7.2.2 Parameters of the Network Simulator . . . . . . . . . . . . CPICH Coverage Verication Modes . . . . . . . . . . . . 7.2.2.1 7.2.2.2 Mode 1 . . . . . . . . . . . . . . . . . . . . . . . Mode 2 . . . . . . . . . . . . . . . . . . . . . . .

7.3 7.4

Simulator Interface . . . . . . . . . . . . . . . . . . . . . . . . . . Network Scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . 7.4.1 7.4.2 Big Scenario . . . . . . . . . . . . . . . . . . . . . . . . . . Small Scenario . . . . . . . . . . . . . . . . . . . . . . . .

8 Optimization Algorithms 8.1 8.2 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Local Optimization Algorithms . . . . . . . . . . . . . . . . . . . 8.2.1 8.2.2 8.2.3 Rule Based Approach . . . . . . . . . . . . . . . . . . . . . Simulated Annealing . . . . . . . . . . . . . . . . . . . . . Adaptive Rule Based Approach . . . . . . . . . . . . . . . 8.2.3.1 8.2.3.2 8.3 Why Adjust CPICH Power and Antenna Tilt Together? . . . . . . . . . . . . . . . . . . . . . . . Algorithm Description . . . . . . . . . . . . . . .

Genetic Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . 8.3.1 8.3.2 Representation . . . . . . . . . . . . . . . . . . . . . . . .

Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 8.3.2.1 8.3.2.2 8.3.2.3 8.3.2.4 8.3.2.5 Initial Population . . . . . . . . . . . . . . . . . . 102 Selection . . . . . . . . . . . . . . . . . . . . . . 102

Recombination . . . . . . . . . . . . . . . . . . . 104 Mutation . . . . . . . . . . . . . . . . . . . . . . 106 Local Optimization . . . . . . . . . . . . . . . . . 107

CONTENTS 8.3.2.6 8.3.2.7 8.3.2.8 8.3.3 8.4

xi Adding Users as New Impulse . . . . . . . . . . . 108 Reduced Population Size . . . . . . . . . . . . . . 108 Implementation for Distributed Computing . . . 109

Summary of Genetic Algorithm . . . . . . . . . . . . . . . 112

Analytic Optimization Algorithm . . . . . . . . . . . . . . . . . . 112 8.4.1 Azimuth Adjustment Strategy . . . . . . . . . . . . . . . . 113 8.4.1.1 8.4.2 8.4.3 Algorithm Description . . . . . . . . . . . . . . . 115

Strategy for Antenna Downtilt . . . . . . . . . . . . . . . . 117 CPICH Power Level Adjustment Strategy . . . . . . . . . 118 8.4.3.1 8.4.3.2 Strategy for CPICH Coverage Verication Mode 1 121 Strategy for CPICH Coverage Verication Mode 2 122 125

9 Algorithm Performance Analysis 9.1 9.2

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 Results for the Rule Based Approach . . . . . . . . . . . . . . . . 125 9.2.1 Various Investigations with the Rule Based Approach . . . 126 9.2.1.1 9.2.1.2 9.2.1.3 9.2.1.4 9.2.2 Optimization on Dierent Snapshots . . . . . . . 127 Analyzing Optimization Results with Dierent Snapshots . . . . . . . . . . . . . . . . . . . . . . . . . 127 Optimization with Modied Parameter Ranges . 131 Optimization on Adapted Start Scenarios . . . . 133

Runtime of the Rule Based Approach . . . . . . . . . . . . 133

9.3

Results for Simulated Annealing . . . . . . . . . . . . . . . . . . . 134 9.3.1 9.3.2 9.3.3 9.3.4 Results with Slow Cooling . . . . . . . . . . . . . . . . . . 134 Results with Geometric Cooling . . . . . . . . . . . . . . . 137 Results with Improved Rule Set . . . . . . . . . . . . . . . 137 Runtime of Simulated Annealing . . . . . . . . . . . . . . 139

9.4 9.5

Results for the Adaptive Rule Based Approach . . . . . . . . . . . 139 Results with the Genetic Algorithm . . . . . . . . . . . . . . . . . 141

xii 9.5.1

CONTENTS CPICH Coverage Verication Mode 1 . . . . . . . . . . . . 142 9.5.1.1 9.5.1.2 9.5.2 Results on the Small Network Scenario . . . . . . 142 Results on the Big Network Scenario . . . . . . . 145

CPICH Coverage Verication Mode 2 . . . . . . . . . . . . 148 9.5.2.1 9.5.2.2 Results on the Small Network Scenario . . . . . . 148 Results on the Big Network Scenario . . . . . . . 148

9.5.3 9.6

Runtime of the Genetic Algorithm . . . . . . . . . . . . . 154

Results for the Analytic Optimization Algorithm . . . . . . . . . . 155 9.6.1 9.6.2 9.6.3 CPICH Coverage Verication Mode 1 . . . . . . . . . . . . 156 CPICH Coverage Verication Mode 2 . . . . . . . . . . . . 157 Runtime of the Analytic Optimization Algorithm . . . . . 159

9.7

Comparison of the Various Approaches . . . . . . . . . . . . . . . 159 163 167 169 173

10 Summary and Conclusion 11 Appendix A UMTS - Network Structure B 3GPP COST 259 Channel Models

B.1 Model Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . 173 B.2 3GPP Considerations . . . . . . . . . . . . . . . . . . . . . . . . . 174 C RAKE Reception D Rule Set for Rule Based Approach E Rule Sets for Simulated Annealing F Rule Sets for Adaptive Rule Based Approach G Parameter File for Genetic Algorithm 177 181 183 185 189

CONTENTS H Flowcharts for Analytic Optimization Algorithm I Simulation Parameters

xiii 191 197 201 205 209 213

J Frequently Used Acronyms K Frequently Used Symbols L Curriculum Vitae Bibliography

xiv

CONTENTS

List of Tables
2.1 2.2 2.3 2.4 3.1 Technical overview of FDD mode. . . . . . . . . . . . . . . . . . . Service Characteristics (source: [101]). . . . . . . . . . . . . . . . Eective call duration (source: [101]). . . . . . . . . . . . . . . . . Operational environment and cell types (source: [101]). . . . . . . Analogy between the thermodynamic simulation of annealing and optimization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Example link budget for a data service (source: [68]). . . . . . . . Example uplink link budgets for illustrating the impact of service data rate (source: [68]). . . . . . . . . . . . . . . . . . . . . . . . Typical base station transmit power congurations (source: [68]). Assignment tness function - optimization algorithm. . . . . . . . Used performance indicators for the several algorithms. . . . . . . Example rule set for Rule Based Optimization Algorithm. CPICH power and antenna tilt adjustment. . . . . 10 26 29 31

38 51 52 56 74 77 92 96 97

4.1 4.2 4.3 6.1 6.2 8.1 8.2 8.3 8.4 8.5 8.6

. . . . . . . . . . . .

Example of CPICH power and antenna tilt limitation & stepsize settings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Best setting of optimization parameters for GA. . . . . . . . . . . 113 Rules for adjusting the antenna downtilt according to the mean elevation angle in CPICH coverage verication mode 1. . . . . . . 118 Rules for adjusting the antenna downtilt according to the mean elevation angle in CPICH coverage verication mode 2. . . . . . . 119 xv

xvi 9.1 9.2 9.3 9.4 9.5 9.6 9.7 9.8 9.9

LIST OF TABLES Results for the Rule Based Approach with CPICH verication mode 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 Results for the Rule Based Approach with CPICH verication mode 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 Results for the Rule Based Approach with dierent parameter ranges.131 Results for the Rule Based Approach with adapted antenna tilt in the start scenario. . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 Results for the Rule Based Approach with adapted CPICH power in the start scenario. . . . . . . . . . . . . . . . . . . . . . . . . . 134 Results for Simulated Annealing with Slow Cooling, dierent values for . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 Results for Simulated Annealing with Slow Cooling, dierent values for TC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 Results for Simulated Annealing with Geometric Cooling. . . . . . 138 Results for Simulated Annealing with improved rule set. . . . . . 139

9.10 Results for Adaptive Rule Based Approach with CPICH verication mode 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 9.11 GA settings for the best optimization run on the small network scenario with CPICH verication mode 1. . . . . . . . . . . . . . 142 9.12 Evaluation of the best result with 100 dierent snapshots on the small network scenario with CPICH verication mode 1. . . . . . 144 9.13 GA settings for the best optimization run on the big network scenario with CPICH verication mode 1. . . . . . . . . . . . . . . . 145 9.14 Evaluation of the best result with 100 dierent snapshots on the big network scenario with CPICH verication mode 1. . . . . . . 147 9.15 Evaluation of the best result with 100 dierent snapshots on the small network scenario with CPICH verication mode 2. . . . . . 150 9.16 GA settings for the best optimization run on the small network scenario with CPICH verication mode 2. . . . . . . . . . . . . . 150 9.17 Evaluation of best result with 100 dierent snapshots on the big network scenario with CPICH verication mode 2. . . . . . . . . . 153 9.18 GA settings for the best optimization run on the big network scenario with CPICH verication mode 2. . . . . . . . . . . . . . . . 153

LIST OF TABLES

xvii

9.19 Results for the Analytic Optimization Algorithm with CPICH verication mode 1 (40 snapshots). . . . . . . . . . . . . . . . . . . . 156 9.20 Results for the Analytic Optimization Algorithm with CPICH verication mode 2 (40 snapshots) with CP ICHEc /I0 threshold -12 dB and required coverage probability in worst case of 0.5/0.75. . . . . 158 9.21 Results for the Analytic Optimization Algorithm with CPICH verication mode 2 (40 snapshots) with CP ICHEc /I0 threshold -12 dB and required coverage probability in worst case of 0.8/0.98. . . . . 158 9.22 Comparison of the dierent algorithms with 50 dierent snapshots on the big network scenario with CPICH verication mode 1. . . . 160 B.1 Preliminary environments identied by COST 259. . . . . . . . . 174 B.2 Propagation properties proposed by COST 259 and considered by 3GPP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 D.1 Standard rule set used for Rule Based Approach. . . . . . . . . . 181 E.1 Rule set 1 for Simulated Annealing. . . . . . . . . . . . . . . . . . 183 E.2 Rule set 2 for Simulated Annealing. . . . . . . . . . . . . . . . . . 184 F.1 Rule set 1 for Adaptive Rule Based Approach. . . . . . . . . . . . 185 F.2 Rule set 2 for Adaptive Rule Based Approach. . . . . . . . . . . . 186 F.3 Rule set 3 for Adaptive Rule Based Approach. . . . . . . . . . . . 186 F.4 Rule set 4 for Adaptive Rule Based Approach. . . . . . . . . . . . 187 I.1 I.2 I.3 I.4 I.5 Base station antenna parameters in simulator CAP ESSOT M . . . 197 System parameters in simulator CAP ESSOT M . . . . . . . . . . . 198 Channel parameters in simulator CAP ESSOT M . . . . . . . . . . 199 Mobile station parameters in simulator CAP ESSOT M . . . . . . . 199 User parameters in simulator CAP ESSOT M . . . . . . . . . . . . 199

xviii

LIST OF TABLES

List of Figures
1.1 1.2 1.3 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 Spectrum allocation for Europe, China, Japan, Korea and North America [100]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ITU-R IMT-2000 grouping [54]. . . . . . . . . . . . . . . . . . . . UMTS network environment [48]. . . . . . . . . . . . . . . . . . . Channel structure for W-CDMA [97]. . . . . . . . . . . . . . . . . Frame structure for the downlink DPCH. . . . . . . . . . . . . . . Frame structure for the uplink DPCH. . . . . . . . . . . . . . . . Transmit path for DPCH in the downlink direction. . . . . . . . . Transmit path for DPCH in the uplink direction. . . . . . . . . . Code tree for OVSF (orthogonal variable spreading factor) codes. Relation between spreading and scrambling. . . . . . . . . . . . . Transport-channel to physical-channel mapping. . . . . . . . . . . Synchronization Channel (SCH) structure. . . . . . . . . . . . . .

3 5 6 11 12 12 13 13 14 14 16 16 17 22

2.10 Common Pilot Channel (CPICH) structure. . . . . . . . . . . . . 2.11 Code groups. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.12 Outer and inner TPC loop. The green-colored blocks reside in the physical (PHY) layer and the yellow-colored blocks reside in the radio resource control (RRC) layer (source: [74]). . . . . . . . . . 2.13 Softer handover. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.14 Soft handover. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.15 Types of services (source: [47]). . . . . . . . . . . . . . . . . . . . 2.16 Packet transmission over the UMTS air interface (source: [100]). . xix

23 24 25 27 29

xx

LIST OF FIGURES 2.17 3GPP trac classes classication. . . . . . . . . . . . . . . . . . . 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 5.1 5.2 5.3 5.4 5.5 Local Search algorithm. . . . . . . . . . . . . . . . . . . . . . . . 30 36 39 40 41 43 43 45 46 62 63 64 64 68 73 80 84 85 87 90 91 93 95 98

Simulated Annealing algorithm. . . . . . . . . . . . . . . . . . . . Tabu Search algorithm. . . . . . . . . . . . . . . . . . . . . . . . . The structure of an Evolutionary Algorithm. . . . . . . . . . . . . Genetic Algorithm. . . . . . . . . . . . . . . . . . . . . . . . . . . Canonical Genetic Algorithm. . . . . . . . . . . . . . . . . . . . . 1-point crossover. . . . . . . . . . . . . . . . . . . . . . . . . . . . Mutation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Adjustment of base station azimuth. . . . . . . . . . . . . . . . . Horizontal pattern of base station antenna (in dB). . . . . . . . . Adjustment of base station downtilt. . . . . . . . . . . . . . . . . Vertical pattern of base station antenna (in dB). . . . . . . . . . . Capacity for dierent CPICH power and antenna tilt settings. (Capacity is measured as served users.) . . . . . . . . . . . . . . . . . The three tradeos of UMTS optimization (source: [75]). . . . . . Schematic principle of a static Monte Carlo simulator. . . . . . . . Interface between network simulator and optimization algorithm. . Base station location and one user distribution of the big network scenario. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Base station location and one user distribution of the small network scenario. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Structure of local optimization process. . . . . . . . . . . . . . . . Rule Based Optimization Algorithm. . . . . . . . . . . . . . . . . Extension of Rule Based Optimization algorithm to Simulated Annealing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Why adjust CPICH power and antenna tilt together? . . . . . . . Detailed owchart of Adaptive Rule Based Approach. . . . . . . .

6.1 7.1 7.2 7.3 7.4

8.1 8.2 8.3 8.4 8.5

LIST OF FIGURES 8.6 8.7 8.8 8.9 Representation of individuals for capacity optimization. . . . . . .

xxi 99

Flowchart of Genetic Algorithm approach. . . . . . . . . . . . . . 101 Recombination operator. . . . . . . . . . . . . . . . . . . . . . . . 104 Mutation operator. . . . . . . . . . . . . . . . . . . . . . . . . . . 106

8.10 Detailed owchart of local optimization. . . . . . . . . . . . . . . 107 8.11 Distributed Computing. . . . . . . . . . . . . . . . . . . . . . . . 110 8.12 Distributed Client Scheduler. . . . . . . . . . . . . . . . . . . . . 111

8.13 Client. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 8.14 Best and worst case of antenna directions in a regular hexagonal grid. Source: [80]. . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 8.15 Worst case and best case of base station azimuth in a regular grid, pathgain in dB. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 8.16 Check, if bs ref erence(i) looks to bs to interleave. . . . . . . . . 116 8.17 Window 1 contains the most angles. . . . . . . . . . . . . . . . . . 116 8.18 Elevation angle of the cell area. . . . . . . . . . . . . . . . . . . . 117 8.19 Function for adjustment of the antenna downtilt according to the mean elevation angle in CPICH coverage verication mode 1. . . . 119 8.20 Function for adjustment of the antenna downtilt according to the mean elevation angle in CPICH coverage verication mode 2. . . . 120 8.21 Transmit power of one cell in the optimization area of the big network scenario. . . . . . . . . . . . . . . . . . . . . . . . . . . . 121 9.1 9.2 9.3 9.4 9.5 9.6 Results for the Rule Based Approach on dierent snapshots. . . . 127 Results for the Rule Based Approach on dierent snapshots after optimization for snapshot 1. . . . . . . . . . . . . . . . . . . . . . 128 Results for the Rule Based Approach on dierent snapshots after optimization for snapshot 11. . . . . . . . . . . . . . . . . . . . . 129 Results for the Rule Based Approach on dierent snapshots after optimization for snapshot 18. . . . . . . . . . . . . . . . . . . . . 129 Results for the Rule Based Approach on dierent snapshots after optimization for snapshot 6. . . . . . . . . . . . . . . . . . . . . . 130 Results for the Rule Based Approach on dierent snapshots after optimization for snapshot 14. . . . . . . . . . . . . . . . . . . . . 130

xxii 9.7 9.8 9.9

LIST OF FIGURES 3D matrix of parameter range limits for the Rule Based Approach. 132 Block diagram for the simulation of the four rule sets over 50 snapshots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140 Comparison of cdf curves for the four rules sets of the Adaptive Rule Based Approach (50 snapshots). . . . . . . . . . . . . . . . . 140

9.10 Results for the Genetic Algorithm on the small network scenario with CPICH verication mode 1. . . . . . . . . . . . . . . . . . . 143 9.11 Optimization run for the best result on the small network scenario with CPICH verication mode 1. . . . . . . . . . . . . . . . . . . 144 9.12 Results for the Genetic Algorithm on the big network scenario with CPICH verication mode 1. . . . . . . . . . . . . . . . . . . . . . 146 9.13 Optimization run for the best result on the big network scenario with CPICH verication mode 1. . . . . . . . . . . . . . . . . . . 147 9.14 Mean results over 100 snapshots for the Genetic Algorithm on the small network scenario with CPICH verication mode 2. . . . . . 149 9.15 Optimization run for the best result on the small network scenario with CPICH verication mode 2. . . . . . . . . . . . . . . . . . . 151 9.16 Mean results over 100 snapshots for the Genetic Algorithm on the big network scenario with CPICH verication mode 2. . . . . . . 152 9.17 Optimization run for the best result on the big network scenario with CPICH verication mode 2. . . . . . . . . . . . . . . . . . . 154 9.18 Results for the Analytic Optimization Algorithm with CPICH verication mode 1 (40 snapshots). . . . . . . . . . . . . . . . . . . . 157 9.19 Results for the Analytic Optimization Algorithm with CPICH verication mode 2 (40 snapshots) with CP ICHEc /I0 threshold -12 dB.159 9.20 Comparison of the dierent algorithms on the big network scenario with CPICH verication mode 1. . . . . . . . . . . . . . . . . . . 161 A.1 Overview and basic entities of the UMTS network structure. . . . 171 B.1 Channel shape (power delay prole) with multiple clusters. Source: [7]. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 B.2 Reduced complexity channel model parameters. Source: [7]. . . . 176 C.1 The principle of maximum ratio combining within the CDMA RAKE receiver. Source: [54]. . . . . . . . . . . . . . . . . . . . . 178

LIST OF FIGURES

xxiii

C.2 Block diagram of a W-CDMA RAKE receiver. Source: [54]. . . . 179 C.3 Schematic block diagram of matched-lter. . . . . . . . . . . . . . 179 H.1 Automatic azimuth adjustment routine for turning base stations to critical spots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192 H.2 Automatic azimuth adjustment routine for interleaving base stations.193 H.3 Automatic tilt adjustment routine. . . . . . . . . . . . . . . . . . 194 H.4 Automatic CPICH adjustment routine for CPICH coverage verication mode 2, function: set CPICH coverage in total scenario. . . 195 H.5 Automatic CPICH adjustment routine for CPICH coverage verication mode 2, function: set CPICH coverage in optimization area. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196

xxiv

LIST OF FIGURES

Chapter 1 Introduction
Third generation (3G) mobile communication systems in Europe are known as the Universal Mobile Telecommunication System (UMTS). UMTS is expected to play a key role in creating the future mass market for high-quality multimedia communications that will approach 2 billion users worldwide by the year 2010 [102]. Enabling anytime, anywhere connectivity to the Internet is just one of the opportunities for UMTS networks. UMTS will bring more than just mobility to the Internet. The major market opportunity will build on new possibilities for mobile users like multi-media-messaging, location-based services, personalized information, and entertainment experiences. Due to the number of new applications and services a signicant redistribution of operators revenue will take place within the next years. Nobody knows the killer application per se, but all market studies are in complete agreement in one point: packet data will increasingly dominate the trac ows. By 2007, predictions from the heyday of the UMTS euphoria state that more data than voice will ow over mobile networks [102, 35]. This is an amazing statistic considering that mobile cellular networks today are almost exclusively voice. In 2nd generation systems, coverage planning and frequency planning, involving optimization, are the most important but also sucient issues for operating the network. Coverage prediction and capacity estimation are mostly well separable. In UMTS networks, where all users operate on the same frequency carrier, the number of simultaneous connections directly inuences the system capacity. Multiple services like speech, Internet and high data rate interactive services will co-exist. Since higher bit-rate services will require higher capacity, the base station density will have to be increased. In this thesis I focus on the problem of capacity optimization for UMTS FDD networks. The goal is to improve the capacity of the network only by changing the base station parameters and not by using more sites. 1

CHAPTER 1. INTRODUCTION

1.1

Background and Standardization of W-CDMA

In June 1987 the RACE I project (Research of Advanced Communication Technologies in Europe) was initiated by the European Union. This was the ocial start of the research and development activities towards a third generation mobile communication system in Europe. After RACE I several European R&D programs e.g. RACE II and ACTS (Advanced Communications Technologies and Services) [10] followed in order to support 3rd generation mobile communications system development. Within ACTS, the FRAMES project (Future Radio Wideband Multiple Access System) was initiated with the objective of dening a proposal for a UMTS radio access system. From a global point of view, the work for the development of 3rd generation mobile systems started in 1992, when the WARC (World Administrative Radio Conference) of ITU (International Telecommunications Union) identied the frequencies around 2 GHz for use by future third generation mobile systems. The ITU calls these IMT 2000 1 . The frequency bands and geographical areas, where these dierent bands are dened, are shown in Figure 1.1. For IMT 2000 altogether 230 MHz in two frequency bands, 1885 - 2025 MHz and 2110 - 2200 MHz, were reserved. The proposals for the UMTS Terrestrial Radio Access (UTRA) air interface received by the milestone were grouped into ve concept groups in ETSI in June 1997, after their submission and presentation during 1996 and early 1997. The following groups were formed: Alpha concept: Wideband CDMA (W-CDMA) [37] Beta concept: OFDMA [38] Gamma concept: Wideband TDMA (W-TDMA) [39] Delta concept: Wideband TDMA/CDMA [40] Epsilon concept: ODMA [41] ETSI decided between the technologies in January 1998 [42], selecting W-CDMA as the standard for the UTRAN air interface on the paired frequency bands, i.e. for FDD (Frequency Division Duplexing) operation, and TDMA/CDMA for the operation within unpaired spectrum allocation, i.e. for TDD (Time Division Duplexing) operation. These combined modes formed the basis for the ETSI proposal to the ITU as a candidate IMT-2000 radio transmission technology. It
International Mobile Telecommunications 2000. 2000 can be interpreted either as for the year 2000 , or for the frequency band around 2000 MHz .
1

1.1. BACKGROUND AND STANDARDIZATION OF W-CDMA

Figure 1.1: Spectrum allocation for Europe, China, Japan, Korea and North America [100].

took 10 years from the initiation of the European research programs (RACE I+II, ACTS) to reach a decision of the UTRA technology. The detailed standardization of UTRA proceeded within ETSI until the work was handed over to the 3rd Generation Partnership Project (3GPP). The technical work was transferred to 3GPP with the contribution of UTRA in early 1999. Meanwhile the standardization bodies of Japan (TTC, ARIB), Korea (TTA), China (CWTS) and USA (T1P1) were independently choosing their own 3G radio access technologies. Even though the original goal of the standardization process was a single common global IMT-2000 radio interface, the goal to achieve a single worldwide standard was extremly dicult from the beginning. In Europe and Asia, including Japan and Korea, W-CDMA is to be used utilizing 5 MHz blocks in the frequency bands at around 2 GHz. In North America that spectrum had already been auctioned for operators using second generation systems in blocks of 1.25 MHz (see Figure 1.1). Hence, 3rd generation services have to be implemented not only within the existing frequency bands, but also with a dierent radio technology, since there were no cohesive 5 MHz frequency blocks available in the US. Since it became evident that it would be very dicult to achieve identical specications, initiatives were started to create a single forum for a common UTRA standardization. The 3rd Generation Partnership Project (3GPP - http://www.3gpp.org) was set up in 1998 with this objective, including

CHAPTER 1. INTRODUCTION

TTC/ARIB for Japan, ETSI for Europe, TTA for Korea, T1P1 for the US and CWTS for China as partners. The detailed technical work of this group started in early 1999, with the aim of having the rst version of the common specication, called Release-99, ready by the end of 1999. Within 3GPP, four dierent technical specication groups (TSG) were set up as follows: Radio Access Network TSG Core Network TSG Service and System Aspects TSG Terminals TSG Within these groups the one most relevant to the W-CDMA technology is the Radio Access Network TSG (RAN TSG), which produced the Release-99 of the UTRA air interface. The development of the ITU recommendations for 3rd generation mobile communication systems ran like this: In the rst phase of the IMT-2000 candidate submission process, the ITU received a number of dierent proposals. In the second phase of the process, evaluation results were received from proponent organizations as well as from other evaluation groups. The ITU IMT-2000 process was nalized at the end of 1999, when the detailed specication was created and the radio interface specications were approved by ITU-R [54, 95]. The members of ITU-R IMT-2000 family are shown in Figure 1.2. The TDMA subgroup consits of a TDMA single carrier (UWC-136) and a TDMA Multi-Carrier2 (DECT) concept. The CDMA interface consists of the Direct-Spread (UTRA FDD) and the Multi-Carrier (cdma2000) part. The TDD part of the CDMA concept consists of the 3GPP proposal, UTRA TDD (3.84 Mchip/s) and the Chinese narrowband version TD-SCDMA (1.2288 Mchip/s). Good overviews on the 3GPP proposals for IMT-2000 are given in [22, 29, 54, 84]

1.2

Objectives of the UMTS System

The UMTS forum (www.umts-forum.org) is an open and independent panel, which was founded by a multiplicity of companies and telecom authorities with the goal to advance the development and implementation of the UMTS system. The UMTS forum denes the UMTS system in the following way: UMTS will be a mobile communication system that can oer signicant user benets including
2

Multi-Carrier here means FDMA.

1.2. OBJECTIVES OF THE UMTS SYSTEM

Figure 1.2: ITU-R IMT-2000 grouping [54].

high-quality wireless multimedia services to a convergent network of xed, cellular and satellite components. It will deliver information directly to users and provide them with access to new and innovative services and applications. It will oer mobile personalized communications to the mass market regardless of location, network or terminal used. The idea was to harmonize the present dierent systems in only one wireless infrastructure, with a multiplicity of possible services and applications. It should be possible to implement communication services from each person to each other person, at all times, on any place, without disturbing delay, at low costs and with selectable quality and security. Some of the goals, which were important during the denition phase of the UMTS system are presented in the following list: To create an integrated system, in which the user can use services of simple and consistent manner. Oer the possibility to choose between services of dierent networks and operators. To deliver a broad spectrum of mobile telecommunication services. These services should also include data services with exible data rates from 32 kbit/s up to 2 Mbit/s, which could also be used in xed networks and special services for mobile communication. The quality should be the same as in xed networks. The services should be oered by mobile terminals (mobile phones, terminals xed in cars,...) and by xed terminals in all environments (ats, oces, means of transportation, public buildings, i.e. from small picocells in buildings up to big macrocells with coverage by satellite). A possible environment is shown in Figure 1.3. Worldwide roaming.

CHAPTER 1. INTRODUCTION The cellular structure of the network should accomplish the condition for a complete personal communication network. Open architecture, to facilitate an easy introduction of new technologies and services. Support of dierent types of terminals (e.g. mobile terminals, PDAs, notebooks,...)

A small, cheap, light and simple usable terminal should be established at the mass market for standard applications. Beside these terminals, there will be a set of products, which are convenient for applications with higher requirements.

Figure 1.3: UMTS network environment [48].

1.3

Motivation for UMTS Optimization

The UMTS radio interface can carry voice and data services with various data rates, trac requirements and quality of service (QoS) targets. Furthermore, the operating environments vary considerably from outdoor macro cells to indoor micro cells. Careful conguration of the many network and cell parameters is

1.4. STRUCTURE OF THE THESIS

required and crucial to the network operator, because they determine the capability to provide services, inuence the QoS, and account for a major portion of the total network deployment and maintenance costs. Optimization is needed, both in the planning stage to optimize the network conguration for investment saving as well as after the deployment of the network to satisfy growing service demand (see [73, 106]). However, there are numerous congurable parameters which are multi-dimensional and interdependent, and their inuence on the network is highly non-linear. Hence, nding optimum network conguration is a very complex and time-consuming task. Automated optimization algorithms are needed to perform the optimization process quickly and eciently, with minimal contribution from the operational expenditure. Dierent optimization techniques are known, which are suitable for the problem of UMTS base station parameter optimization. All these techniques have several advantages and also disadvantages. During the work for this thesis several automated optimization algorithms (local, global and analytic algorithms) were developed, which are presented and compared in the present work. Base station parameters such as antenna azimuth, antenna tilt and common pilot channel power (CPICH) are the three most common optimization parameters that have signicant inuence on network capacity. By optimizing these three key parameters, the network capacity can be boosted without additional investment needed. The work on this thesis led to four papers at international conferences and one submission to an Asian journal. Some of the results obtained during the course of this thesis have also been discussed at working group 3 of COST 273 (www.lx.it.pt/cost273).

1.4

Structure of the Thesis

The thesis is organized as follows: Chapter 2 gives a short overview of the system description of UMTS FDD. Beside the theoretical basics of W-CDMA, transport channels, physical channels and the physical layer procedures, also a short introduction on possible services and applications is presented. Chapter 3 gives an overview over common and well known optimization techniques. This chapter discusses local as well as global optimization algorithms.

CHAPTER 1. INTRODUCTION Chapter 4 presents the UMTS radio network coverage and capacity limiting factors. For the several limiting reasons possible solutions are given. In Chapter 5 the parameters, which are used during this thesis for optimizing the capacity in a UMTS FDD network, are described in more detail. Further, the inuence of these parameters on the capacity in the network is explained. Chapter 6 introduces the used tness functions for the optimization as well as the performance indicators, which are taken into account during the optimization process. Chapter 7 is a description of the simulation environment. The main characteristics of the used simulator are specied as well as the simulation scenarios and the user distribution in the scenarios. In Chapter 8 of the thesis all the developed optimization algorithm are presented. Altogether ve dierent strategies are introduced. First, the optimization with local algorithms are studied. Further, a global optimization approach and an analytic algorithm are presented in this chapter. Chapter 9 presents some results achieved with the several algorithms. Finally, Chapter 10 summarizes and concludes the thesis.

Chapter 2 Radio System Aspects

2.1 Introduction

UMTS Terrestrial Radio Access (UTRA) denotes the air interface of the UMTS system. The basis for UTRA is spread spectrum technology. Very good and elaborate descriptions of this technique are given in [54, 97]. Thereby, an articialspectral spreading increases the resistance against interference of the transmitting signal. With a user dependent spreading code, this code multiplex technique can be used as a multiple access scheme. This technology is called Code Division Multiple Access (CDMA). CDMA has been claimed to deliver high capacity [105], i.e. that a lot of users can be served. The frequency reuse factor is one, therefore all cells can use the whole frequency band. Furthermore, CDMA oers the possibility to combat interference eciently and multipath propagation by the use of simple RAKE receivers. Details of the RAKE receiver are explained in Appendix C. The standardized UTRA solution from ETSI includes two dierent concepts. These two are the UTRA FDD mode with the use of W-CDMA (Wideband CDMA) and the UTRA TDD mode with TD-CDMA (Time Division/Code Division Multiple Access). For the FDD mode, two 60 MHz bands (paired bands, 1920 -1980 MHz for UL and 2110 - 2170 MHz for DL) are scheduled, whereas 20 and 15 MHz (unpaired band, 1900 -1920 MHz and 2010 - 2025 MHz) are reserved for the TDD mode. The planned application areas for the FDD mode are public macro and micro cells with data rates up to 384 kbit/s, whereas the TDD mode should be dedicated for small public cells (micro and pico cells) as well as for unlicensed wireless applications and wireless local loops (WLL) with data rates up to 2 Mbit/s. In the following the UTRA FDD mode is explained in more detail. 9

10

CHAPTER 2. RADIO SYSTEM ASPECTS

2.2

UTRA FDD System Description

A short overview about the technical details of the FDD mode is given in Table 2.1. Multiple access scheme Duplex technique Modulation scheme Chip rate Pulse shaping Bearer spacing Frame length Synchronization between the base stations DS-CDMA FDD QPSK 3.84 Mchip/s Root raised cosine with a roll-o factor of 0.22 5 MHz 10 ms not necessary

Table 2.1: Technical overview of FDD mode. The most important characteristics of the W-CDMA technology, which are used within the FDD mode, are presented in the following list: Flexible support of dierent services. W-CDMA oers the possibility to allocate the required data rates by a judicious choice of dierent spreading sequences and by the adaptation of the transmit power. The management of the resources takes place in a decentralized way in each cell. Increased capacity and coverage by high bandwidth (interference resistance also compared to the other users in the same cell) and fast power control. Assistance of adaptive antenna arrays, called Smart Antennas. The application of these antennas improves the interference resistance and therefore boosts the capacity. The base stations operate asynchronously and so the expense for the installation of the network is signicantly reduced. It is also possible to use UMTS as a local network inside a building.

2.2.1

Channel and Frame Structure

As in the GSM system, the ow of information in the UMTS system is organized in channels. Thereby, we dier between transport channels and physical channels.

2.2. UTRA FDD SYSTEM DESCRIPTION

11

The transport channels are mapped on the physical channels by multiplexing (see Figure 2.1).

Figure 2.1: Channel structure for W-CDMA [97].

The transport channels are divided into common and dedicated transport channels, whereby the rst ones are used by more than one mobile in the cell. The same distinction is made for the physical channels. In the case of the dedicated physical channels we can dier between the dedicated physical data channel (DPDCH) and the dedicated physical control channel (DPCCH). The DPCCH includes pilot bits, data for the transmit power control (TPC) and information about the transmitting data (TFI, transport format indicator). Figure 2.2 shows the frame structure of the dedicated transport channel for the downlink. Each frame has a length of 10 ms and is divided into 15 slots. The rst part of a slot includes the DPCCH and in the second part follows the DPDCH. There are 7 different bit rates possible, from 12.2 kbit/s up to 2 Mbit/s. Due to the fact that the chip rate is constant (3.84 Mchip/s), dierent spreading factors are necessary. For the increase of the data rate over 1 Mbit/s, several DPDCHs are assigned to one mobile, but only one DPCCH. The frame structure of the DPCH for the uplink is shown in Figure 2.3. In contrast to downlink, data and control information are transmitted in parallel, separated by the I- and Q-branch (see Section 2.2.2). A description of the individual transport and physical channels and their mapping is given in Section 2.3.

12

CHAPTER 2. RADIO SYSTEM ASPECTS

Figure 2.2: Frame structure for the downlink DPCH.

Figure 2.3: Frame structure for the uplink DPCH.

2.2. UTRA FDD SYSTEM DESCRIPTION

13

2.2.2

Modulation, Spreading and Scrambling

Figures 2.4 and 2.5 show the arrangement of modulator, spreading, scrambling, pulse shaping and conversion to IF- and HF- frequency for uplink and downlink.

Figure 2.4: Transmit path for DPCH in the downlink direction.

Figure 2.5: Transmit path for DPCH in the uplink direction.

The spreading of the spectrum is accomplished by the channelization code cch . The channelization codes are the same for up- and downlink. Their task is to orthogonalize the dierent data streams of the transmitter and to increase the bandwidth. Due to the dierent data rates and the xed chip rate of 3.84 Mchip/s there are various codes with dierent lengths. These codes have to be orthogonal, because in the downlink the separation of the users is done by the channelization codes. Therefore, so-called OVSF (orthogonal variable spreading factor) codes are used. The choice of the codes takes place with the code tree shown in Figure 2.6. The codes of all branches from one layer of the tree are orthogonal to each other. Furthermore, all codes with dierent length are orthogonal to each other, if the branch from the longer code does not originate from the branch with the shorter code. The scrambling in the downlink takes place with a 38400 chip (10 ms) long segment of a gold code with the length 218 1. This code is repeated in each frame. Overall, 512 dierent scrambling codes are used. Through scrambling no additional spreading of the spectrum takes place. Figure 2.7 shows the relation of the chip rate in the channel to spreading and scrambling in UTRA. In downlink for

14

CHAPTER 2. RADIO SYSTEM ASPECTS

Figure 2.6: Code tree for OVSF (orthogonal variable spreading factor) codes.

each cell only one scrambling code is assigned (i.e for each mobile in the cell the same code is applied). Therefore, the purpose of the complex valued scrambling codes are to distinguish signals originating from dierent base stations in the mobile. The scrambling in the uplink is done in order to distinguish signals of dierent mobiles at the base stations. There are two dierent possibilities for the scrambling operation: either, a short code from a Kasami-set [19] of length 256 or a long code, consisting of a 38400 chip segment from a gold code [19] of length 241 1. The possibility of utilization of the short code was created to facilitate the Joint Detection technique [19] with feasible eort. In contrast to the downlink, the separation of the users (i.e the orthogonality) in the uplink is guaranteed by the scrambling code and not by the spreading code. This means that a mobile, when choosing its spreading code, does not have to take into account the spreading codes of the other users in the cell.

Figure 2.7: Relation between spreading and scrambling.

2.3. TRANSPORT CHANNELS AND PHYSICAL CHANNELS

15

2.3

Transport Channels and Physical Channels

In UTRA FDD the data generated at higher layers is carried over the air interface with transport channels, which are mapped in the physical layer to dierent physical channels. The basic organization of this concept for the information ow is described in Section 2.2.1 of this thesis. The various dierent tasks (e.g. cell search, paging,...) that the UMTS network has to fulll are handled by dierent transport channels. These logical transport channels are the services that the physical layer oers to higher layers. Figure 2.8 illustrates the mapping of transport channels to physical channels. There are also physical channels that are not transparent to higher layers and have no corresponding transport channels. The synchronization channel (SCH), the common pilot channel (CPICH) and the acquisition indication channel (AICH) are not directly visible to higher layers, but are essential from the system function point of view. The dedicated channel (DCH) is mapped onto two physical channels, the dedicated physical data channel (DPDCH) and the dedicated physical control channel (DPCCH). In the following a brief description of the dierent channels is given.

2.3.1

Synchronization Channel

The synchronization channel (SCH) is a pure physical channel used for the cell search procedure by the mobile. Hence, the SCH has to be transmitted into the entire cell. The SCH consists of two sub-channels transmitted in parallel, the primary and secondary SCH. The 10 ms radio frames of the primary and secondary SCH are divided into 15 slots of length 2560 chips each. The SCH is only transmitted during the rst 256 chips of each slot. Figure 2.9 shows the structure of the SCH.

2.3.1.1

Primary SCH

The primary SCH consists of a modulated sequence of length 256 chips, the primary synchronization code, denoted cp in Figure 2.9. The sequence cp is transmitted once every slot and is the same for every cell in the system, so that the mobiles can detect it easily with a matched lter.

2.3.1.2

Secondary SCH

The secondary SCH consists of a repeatedly transmitted sequence of modulated codes with a length of 256 chips. The secondary synchronization codes, which are

16

CHAPTER 2. RADIO SYSTEM ASPECTS

Figure 2.8: Transport-channel to physical-channel mapping.

Figure 2.9: Synchronization Channel (SCH) structure.

2.3. TRANSPORT CHANNELS AND PHYSICAL CHANNELS

17

transmitted in parallel to cp , are denoted ci,k in Figure 2.9, where i = 0, 1..., 63 is s the number of the scrambling code group, and k = 0, 1, ...14 is the slot number. Each secondary synchronization code is from a set of 16 dierent codes. The sequence of secondary synchronization codes transmitted on the secondary SCH indicates which of the 64 possible scrambling code groups is used in the cell. As the sequence of the 15 secondary synchronization codes are rotationally variant, the secondary SCH determines also the beginning of the radio frame. Figure 2.11 in Section 2.4.1 shows the 64 code groups.

2.3.2

Common Pilot Channel

The common pilot channel (CPICH) is a xed rate downlink physical channel (15 kbit/s) that carries a continuous pre-dened bit/symbol sequence. The spreading factor of the CPICH is 256. Figure 2.10 shows the frame structure of the CPICH. The function of the CPICH is to aid the channel estimation at the mobile for the DCH (see Section 2.3.7) and to provide the channel estimation reference for the common channels. The CPICH does not carry any higher layer information, neither is there any transport channel mapped to it.

Figure 2.10: Common Pilot Channel (CPICH) structure.

There are two types of CPICHs, the primary and secondary CPICH (P-CPICH and S-CPICH). They dier in their use and the limitations placed on their physical features [3]. In the following the P-CPICH and S-CPICH are explained in more detail.

2.3.2.1

Primary Common Pilot Channel

The primary common channel (P-CPICH) is always spread with channelization code Cch,256,0 and scrambled with the scrambling code of the cell. Hence the

18

CHAPTER 2. RADIO SYSTEM ASPECTS

P-CPICH can be used in the mobile to determine the scrambling code used for scrambling the downlink channels of the cell (see Section 2.4.1). There is always only one P-CPICH per cell, which is broadcast over the entire cell. The P-CPICH is the phase reference for the SCH, P-CCPCH, AICH and PICH, and the default phase reference for all other downlink physical channels [3]. The P-CPICH is responsible for the measurements on the handover and cell selection/reselection. The use of the CPICH reception level at the mobile for handover measurements has the consequence that by adjusting the CPICH power the cell load can be balanced between adjacent cells. Reducing the CPICH power in one cell causes that mobiles at the cell boundary hand over to the neighboring cells, while increasing it invites more mobiles to hand over to the cell [54].

2.3.2.2

Secondary Common Pilot Channel

The secondary common pilot channel (S-CPICH) can be spread by any channelization code of length 256 and can be scrambled by either the primary or a secondary scrambling code. There maybe zero, one, or several S-CPICHs per cell. A S-CPICH may be transmitted over the entire cell or only into a part of the cell. The S-CPICH can be the phase reference for secondary common control physical channels (S-CCPCH) and dedicated physical channels (DPCH) [3].

2.3.3

Broadcast Channel

The broadcast channel (BCH) is a transport channel that is used to broadcast network or cell specic information for a given cell. The most typical data needed in every network are the available random access codes and access slots in the cell, or the types of transmit diversity methods used with other channels for that cell. Physically the BCH is transported by the primary common control physical channel (P-CCPCH), which is a downlink data channel only. It is crucial that all mobiles in the cell can decode the P-CCPCH. Therefore, the P-CCPCH is transmitted with high power and xed data rate (spreading factor SF = 256) in order to reach all the users within the intended coverage area.

2.3.4

Random Access Channel

The random access channel (RACH) is an uplink transport channel, which carries control information from the terminal, such as a request to set up an RNC connection. It can further be used to send small amounts of uplink packet data to

2.3. TRANSPORT CHANNELS AND PHYSICAL CHANNELS

19

the network [54]. The random access channel must be heard from the whole desired cell coverage area, especially for the initial system access and other control procedures. The RACH is mapped on the physical random access channel (PRACH). The PRACH has specic preambles, which are sent prior to data transmission. These use a spreading factor of 256 and contain a signature sequence of 16 symbols. Once the preamble has been detected by the base station and acknowledged with the acquisition indicator channel (AICH) the 10 or 20 ms long message part is transmitted with a spreading factor from 256 down to 32. If the sent preamble is not acknowledged within a certain time, the preamble is retransmitted with increased power until the reception of the preamble is acknowledged by the base station. Beside this power adjustment prior to transmission, there is no power control for the PRACH.

2.3.5

Forward Access Channel

The forward access channel (FACH) is a downlink transport channel that carries control data to terminals in the given cell, for example, after a random access message has been received by the base station. It is also possible to transmit packet data on the FACH. There can be more than one FACH per cell with dierent data rates, but there must be at least one FACH with such a low data rate that all terminals in the cell can decode it. The FACH does not use fast power control, and the messages transmitted need to include in-band identication information. The FACH is mapped on the secondary common control physical channel (SCCPCH). If there exists more than one FACH in the cell, then all these are multiplexed on one S-CCPCH. The S-CCPCH may use dierent osets between the control and data elds at dierent symbol rates and may support slow power control. More details and a table of all possible slot formats are given in [3].

2.3.6

Paging Channel

The paging channel (PCH) is a downlink transport channel that carries data relevant to the paging procedure, that is, when the network wants to initiate communication with the terminal [54]. An example is a speech call: the network transmits the paging message to the terminal on the paging channel of those cells belonging to the location area that the terminal is expected to be in. The signal has to be heard in the entire cell area and can be transmitted in up to a few hundreds cells, depending on the system conguration. The PCH is transported like the FACH by the S-CCPCH.

20

CHAPTER 2. RADIO SYSTEM ASPECTS

The conguration of the paging channel aects the terminals power consumption in standby mode. The less often the mobile has to tune the receiver on to listen for a possible paging message, the longer will the terminals battery last in standby mode. Therefore, all mobiles are assigned to a paging group. The presence of a paging message in the S-CCPCH is signaled by the network on a separate physical channel, the paging indication channel (PICH). So, a terminal in stand-by mode only has to check the PICH and does not need to decode the S-CCPCH all the time.

2.3.7

Dedicated Channel

The dedicated channel (DCH) is the only dedicated transport channel specied in 3GPP. The DCH carries all higher layer information intended for a given user including data for the actual services (speech frames, data,...) as well as higher layer control information (handover commands, measurement control commands,...). In the physical layer the DCH is mapped on the dedicated physical channel (DPCH). The DPCH uses closed-loop power control and fast data adaptation on a frame-by-frame basis. It can be transmitted to a part of the cell and support soft/softer handover. The DPCH consists of two sub-channels, the dedicated physical data channel (DPDCH) that carries the actual user data and the dedicated physical control channel (DPCCH) that carries physical layer information. As the modulation scheme is dierent in up- and downlink, the structure of the DPCH is also dierent for the two directions. The downlink and uplink slot structure of the DPCH are shown in Figure 2.2 and Figure 2.3 in Section 2.2.1.

2.3.8

Downlink Shared Channel

The downlink shared channel (DSCH) is a transport channel intended to carry dedicated user data and/or control information in the downlink. The DSCH can be shared by several users [54]. As a pure data channel, the DSCH is always associated with a downlink DCH for power control and signaling purposes. In the physical layer the DSCH is mapped on the physical downlink shared channel (PDSCH). The PDSCH uses fast power control and the data rate can be changed on a frame-by-frame basis.

2.3.9

Uplink Common Packet Channel

The uplink common packet channel (CPCH) is an extention to the RACH that is intended to carry packet-based user data in the uplink direction. In contrast

2.4. PHYSICAL LAYER PROCEDURES

21

to the RACH the CPCH uses fast power control and collision detection. In the physical layer the CPCH is transported by the physical common packet channel (PCPCH). The uplink CPCH transmission may last serveral frames in contrast with one or two frames for the RACH meassage. A detailed description of the CPCH can be found in [54].

2.3.10

Necessary Common Channels in a UMTS Network

For the basic network operation the following channels are required: SCH, PCPICH, the P-CCPCH for carrying the BCH, a S-CCPCH for carrying the FACH and the PCH, the PICH and a PRACH together with AICH for random access. The use of the CPCH and DSCH is optional for the network, which makes all physical channels necessary for signaling and transport of CPCH and DSCH optional.

2.4

Physical Layer Procedures

In the physical layer of the UMTS system there are many procedures essential for system operation. Power control, cell search and handover are briey described in this section. An exhaustive description can be found in [54, 68].

2.4.1

Cell Search

The cell search procedure or synchronization procedure in UTRA FDD mode of the UMTS system diers greatly from the procedure in a synchronous system like cdma2000. Since the cells use 512 dierent scrambling codes and not just dierent code phase shifts, terminals cannot search all the codes of 10 ms duration without any prior knowledge. The cell search procedure using the synchronization channel has basically three steps: Step 1: Slot synchronization After power on the mobile searches for the 256-chip primary SCH that is equal in all cells. As the primary SCH code is the same in every slot, the peak detected corresponds to the slot boundary. Step 2: Frame synchronization and code-group identication In the second step the mobile detects the secondary SCH in order to determine the boundaries of the frame structure and which of the 64 possible

22

CHAPTER 2. RADIO SYSTEM ASPECTS

Figure 2.11: Code groups.

code groups is used for the downlink scrambling. In the example in Figure 2.11 the cell uses the code group with the number 4. Step 3: Scrambling-code identication During the third and last step of the cell search procedure, the mobile determines the exact primary scrambling code used by the found cell. This is done by trying to detect the P-CPICH that is scrambled with one of the eight primary scrambling codes of the code group. After the primary scrambling code has been identied, the primary CCPCH can be detected and the system- and cell specic BCH information can be read.

2.4.2

Power Control

Stringent uplink and downlink transmit power control (TPC) is required to combat the near-far problem. The near-far problem in the uplink is created by interfering users located near the base stations, which corrupt the signals from more distant mobiles. The uplink TPC must be fast enough to track rapid channel variations (e.g. caused by small-scale fading). The same properties are desired for the downlink TPC even though the near-far problem is less important. In UTRA FDD mode the power control is done in the control loops, the outer loop and the inner loop. The outer loop is handled in the RNC and controls the QoS (e.g. BER or BLER) by adjusting the target signal to interference ratio (SIR) of the link according to the service. The SIR target is adjusted at a slow rate (typically 10-100 Hz) and signaled via higher layers. The required SIR, BER and BLER measurements are standardized in [4]. The inner loop of the power control, also called fast power control or closed loop power control, adjusts the transmit power after every slot (666 s) according to the received SIR of the previous slot, resulting in a 1500 Hz command rate. If the received SIR is below the target SIR, then a power up command is fed back

2.4. PHYSICAL LAYER PROCEDURES

23

to the transmitter using the power control bits that are reserved for this purpose in every slot. If the received SIR is equal to or above the target SIR, then a power down command is sent to the transmitter. The transmitter adjusts the transmit power according to the received power control command in steps of 1 dB. Additionally, multiples of that step size can be used. The specications dene the relative accuracy for a 1 dB power control step to be 0.5 dB. Figure 2.12 shows the interaction between the outer and inner loop.

Figure 2.12: Outer and inner TPC loop. The green-colored blocks reside in the physical (PHY) layer and the yellow-colored blocks reside in the radio resource control (RRC) layer (source: [74]).

In UTRA FDD there is also an open loop power control, which is applied for initiating the transmission on the RACH or CPCH. Here the transmitter estimates the pathloss in the downlink using the received P-CPICH power (the transmit P-CPICH power is known at the receiver) prior to transmission. The mobile adjusts the transmit power using the noise level at the receiver that is signaled on higher layers in such a way that the target SIR is reached at the receiver. Due to measurement inaccuracies the open loop power control is very inaccurate. In normal conditions the tolerance for the open loop power control is 9 dB [6].

2.4.3

Handover

Handover is one of the most important mechanisms in wireless networks, since it provides the maintenance of seamless communication when a mobile moves from one site to another. Within the UTRA FDD mode the possible handovers are as follows:

24 Softer handover Soft handover Hard handover

CHAPTER 2. RADIO SYSTEM ASPECTS

During softer handover, a mobile is simultaneously connected to two adjacent cells of a site (base station). The communication between the mobile and the base station takes place concurrently via two air interface channels, one for each cell separately. This requires the use of two separate codes in the downlink. In the uplink a similar process takes place at the base station: the signal of the mobile is received in each cell and then combined by maximum ratio combining 1 . Softer handover typically occurs in about 5 - 15 % of the connections [54]. Figure 2.13 shows a softer handover scenario.

Figure 2.13: Softer handover.

During soft handover, a mobile is connected to two cells belonging to dierent base stations. As in softer handover, the communication between the mobile and the base stations take place concurrently via two air interface channels from each base station separately. As in softer handover, both signals are received at the mobile by maximum ratio combining rake processing. Seen from the mobile, there are very few dierences between softer and soft handover. However, in the uplink soft handover diers signicantly from softer handover: the signals of the mobile are received from both base stations, but the received data is then routed to the RNC for combining. Soft handover occurs in about 20 - 40 % of the connections [54]. Figure 2.14 shows a soft handover scenario. In addition to soft/softer handover, the UTRA FDD mode provides two other handover types (hard handover2 ): Inter-frequency hard handover: Occurs for example, when a mobile hands over from one W-CDMA frequency carrier to another. One application for
Maximum ratio combining (MRC) is one of the most common linear combining techniques in receive diversity systems. In MRC, combiner weights are chosen to maximize the output signal to noise ratio (SNR). Details on MRC are well described in [59, 90]. 2 A hard handover results in the radio connection being broken between the network and the mobile, before a new radio connection is established with the network in the target cell. Hard handovers usually require a change of frequency.
1

2.5. SERVICES AND APPLICATIONS

25

Figure 2.14: Soft handover.

this are high capacity base stations, so-called hot-spot cells 3 , with several carriers. Another application is the handover from a macro-cell to a microcell, which uses dierent frequencies. Inter-system hard handover: Takes place between the UTRA FDD mode and the UTRA TDD mode, or between the UTRA FDD mode and the GSM system. The support of seamless inter-frequency hard handover is a key feature of WCDMA, not previously implemented in cellular CDMA system. Hard handover is necessary for the support of a hierarchical cell structure (HCS): a cellular system can provide very high capacity through micro-cells, oering at the same time full coverage via the macro cells. Therefore, hard handover is a very important feature to perform handover between the dierent cells. A second scenario, where hard handover is necessary, is the hot-spot one. In this case, a certain cell that serves a high trac area uses carriers in addition to those used by the neighboring cells. If the deployment of extra carries is to be limited to the actual hot-spot area, the possibility of hard handover is essential.

2.5

Services and Applications

In second generation mobile communication systems like GSM, basically there is only one major service, speech (circus switched), from which a network cannot oer many services and applications to a demanding user. UMTS will be able to supply a wide range of services with dierent bit rates and exible trac asymmetry.
Hot spot cells can have a larger number of carriers than the surrounding ones, therefore, a dierent mechanism of handover is necessary between dierent frequencies, which is hard handover.
3

26

CHAPTER 2. RADIO SYSTEM ASPECTS

In this section two classications of services from dierent points of view are presented. The rst classication is based on market forecasts by the UMTS Forum. The second one is based on QoS requests. Further, the importance of trac forecasts for network optimization is explained.

2.5.1

UMTS Forum Trac Classes

Based on market forecasts, which are performed by the UMTS Forum (see Section 1.2) the services for UMTS can be divided in several classes. Figure 2.15 shows this classication. Speech (S) is a symmetric service with the same amount of information in the UL as in the DL and with an activity factor of 0.5. This implies that the system should be able to handle the discontinuous transmission mode. The simple messaging service (SM) is the evolution of the GSM short message service (SMS). The typical size of a message is about 40 KByte and and an acceptable delay for this service is about 30 s. The switched data service is a 14.4 kbit/s CS service type similar to existing data service in GSM. Services like downloads for the WWW belong to the multimedia service class (MM). The typical amount of data that needs to be transmitted for a medium MM service is about 0.5 MByte during 14 s, while for a high MM service a data size of 10 MByte and a call duration of 53 s is typical. While these MM services are asymmetrical, the interactive MM service is based on a 128 kbit/s symmetrical connection.
Services User nominal bit rate [kbit/s] HIMM HMM MMM SD SM S 128 2000 384 14 14 16 Eective call duration [s] 144 53 14 156 30 60 User net bit rate [kbit/s] 128 1509 286 14.4 10.67 16 2 2 2 3 2 1.75 1/1 0.005/1 0.026/1 1/1 1/1 1/1 CS PS PS CS PS CS Coding factor Asymmetry factor Switch mode Service bandwidth [kbit/s] 256/256 15/3200 15/3200 43/43 22/22 28/28

Table 2.2: Service Characteristics (source: [101]). Table 2.2 shows UMTS service characteristics, where some major service parameters for a possible trac and capacity estimation are presented. These parameters can be explained as follows [47]: User nominal bit rate corresponds to the output bit rate from the source without error protection.

2.5. SERVICES AND APPLICATIONS

27

Figure 2.15: Types of services (source: [47]).

28

CHAPTER 2. RADIO SYSTEM ASPECTS Eective call duration of a service corresponds to how long, on average, the service is connected. It is based on the average call duration multiplied by the activity factor 4 (see Table 2.3) implies that the system should be able to handle the discontinuous transmission (DTX) mode. User net bit rate is a measure of the bit rate taking into account the packet eciency factor, which is based on considerations of practical packet networks and includes the eect of retransmission of unsuccessful packets. Coding factor is a generalized measure of the degree of coding required to transport the service to the required quality. Asymmetry factor is used to show that some services will have a dierent load (bit rate and bandwith) in the UL and DL. Switch mode denes, if the service is CS or PS. Since the call duration and the activity factor are not suitable to characterize PS services, an estimation of eective call duration is generated. Service bandwith is the product of user nominal bit rate, coding factor and asymmetry factor.

The various classes have dierent characteristics. HIMM, e.g., video telephony, require isochronous transmission, as well as SD and S. Therefore, they are handled as CS services. The average call duration time of these services corresponds to the actual connection set up time, and the eective call duration depends on the activity factor, which is 0.5 for speech and 0.8 for video telephony. For PS services, the call duration is the sum of the time intervals, where data is actually transferred via the air interface. Thus, the activity factor in this scenario is equal to one. In Figure 2.16 the structure of a PS transmission is shown and the eective call duration per service according to the activity factor and the average call duration is given in Table 2.3. The call duration and the activity factor are not suitable to characterize PS services. However, an estimation of the eective call duration, and the equivalent oered bit quantity that packet services will generate, can be based on calculations that consider busy hour calls and an acceptable throughput and delay for packet services [96].
The activity factor describes how many percent of a connection during a call one user is, on average, active. Or in other words, it describes if and how much, on average, the activity of the service will vary.
4

2.5. SERVICES AND APPLICATIONS

29

Figure 2.16: Packet transmission over the UMTS air interface (source: [100]).

Services HIMM HMM MMM SD SM S

Activity factor Average call duration [s] Eective call duration [s] 0.8 1 1 1 1 0.5 180 53.3 13.9 156 30 120 144 53.3 13.9 156 30 60

Table 2.3: Eective call duration (source: [101]).

30

CHAPTER 2. RADIO SYSTEM ASPECTS

2.5.2

3GPP UMTS QoS Classes

Beside the classication in the six groups S, SM, SD, MMM, HMM and HIMM from the UMTS-Forum described above, there exists also a second service classication. 3GPP divides the applications and services in four dierent groups, according to the QoS requests. The four dierent trac classes are: conversational, streaming, interactive, and background. The main distinguishing factor between these classes is the delay-sensitive of the trac: the conversational class is meant for very delay-sensitive trac, while background class is the most delayinsensitive. The characteristics of the UMTS QoS classes are shown in Figure 2.17.

Figure 2.17: 3GPP trac classes classication.

The conversational and streaming classes are typically transmitted as real-time connections over the air interface, while interactive and background classes are transmitted as non-real-time packet data using packet scheduling. The applications, which belong to the four dierent classes, are shown in the following list [54]: Conversational: Real time applications (speech services, voice over IP, video telephony), strict low end-to-end delay. Streaming: Streaming data transferring applications (web broadcast, video streaming on demand), with high symmetric trac. Interactive: Client-server applications (web browsing, database access, games, tele-machines), low round trip delay is required Background: Long delay applications (SMS, email, downloading databases,...) A detailed description of the four UMTS QoS classes can be found in [54].

2.5. SERVICES AND APPLICATIONS

31

2.5.3

Trac Forecast for UMTS Network Optimization

For radio network optimization, trac is a very important input parameter. Therefore, it is necessary to perform some trac forecast based on users and services statistics. Table 2.4 shows statistical information that is fundamental for the network optimization process, since most of trac estimation is dependent on the user density. Therefore, the corresponding network capacity estimation for each operational environment may be obtained. Only three of the operational environments (marked in bold in Table 2.4) contribute to the maximum total amount of capacity required, because they coexist in the same geographical area [96].
Operational environments CBD/urban (in building) Suburban (in building or on street) Home (in building) Urban (pedestrian) Urban (vehicular) Rural in- and out-door Density of potential users/km2 180 000 7 200 380 108 000 2 780 36 Cell type Micro/pico Macro Pico Macro/micro Marco/micro Macro

Table 2.4: Operational environment and cell types (source: [101]). The following conclusions are based upon market forecast data for the years up to 2005 [101]. For example, it is assumed that 90 % of the total speech and low data trac will be carried over existing 2G networks within this period. It is also considered that 60 % of the indoor trac will be carried over licenseexempt networks (like WLAN), and that high (2 Mbit/s) and medium (384 kbit/s) multimedia services are PS, which are tolerant to delay. Although the majority of users will be speech users, most of the capacity is needed for multimedia services.

32

CHAPTER 2. RADIO SYSTEM ASPECTS

Chapter 3 Overview of Optimization Techniques

3.1 General Issues

This chapter gives a short overview of commonly used and well known optimization techniques. There are several dierent techniques, which are suitable for dierent optimization problems. The dierent types of optimization problems are classied according to [92] in the following list: Continuous functions Combinatorial problems Nonlinear structures, e.g.: Neural networks Fuzzy systems Computer programs Integrated circuits The problem of optimizing the base station parameters of a UMTS network, which is covered by this work, is a highly nonlinear problem and is assigned to the rst item in the previous list. For an optimization problem a quantitative value (tness function) is dened, for which we are interested in the maximum or minimum value. This value depends on dierent parameters, and the goal of an optimization algorithm is to optimize the quantitative value (tness function). The optimization algorithms can be classied according to their tasks in the following way [83]: 33

34

CHAPTER 3. OVERVIEW OF OPTIMIZATION TECHNIQUES Restricted and not restricted optimization: In the case of a restricted optimization problem limits are set for the variables, e.g. only positive values are allowed for a variable. Global and local optimization: Global optimization looks always for the absolute maxima or minima of a function. In contrast, local optimization, only considers the maximum or minimum value within a limited scope. With or without calculation of the derivation: If it is possible to calculate the derivation, it can be involved in the optimization process. Often, the calculation of the derivation is very time consuming, especially when the solution space is very large. One-dimensional and multidimensional problems: In the case of one-dimensional problems the optimization algorithm only has to optimize one parameter. On the other hand, multidimensional optimization has to optimize more than one parameter. In most practical tasks this is the case. Continuous and discrete optimization: Discrete optimization deals with parameters with discrete values (e.g zero and one) and so the solution space is limited. In the case of a continuous optimization the parameters are real values and so there exists an innite number of solutions.

Examples of conventional optimization methods are Random Search, Simplexmethod, enumeration method and gradient method. Random Search is a global method and very generally applicable, but on the other hand usually inecient. The Simplex-method is an approach involving mathematical programming formulations, which is suitable for linear tness functions with linear boundary conditions. The third conventional method, the enumeration method, is a primitive enumeration of the solutions. It is very inecient, especially in the case of a large solution space. For this reason advanced enumeration methods were developed, like dynamic programing or branch-and-bound. The gradient method is a very popular approach for several types of problems. It is a purely local method, and it must be possible to calculate the derivation. For an overview on this area see [43]. For solving complex problems, like nonlinear structures, it is very inecient and time-consuming to use such conventional mathematical methods for optimizing these kind of problems. Some problems are intractable to solve due to the following properties, which can occour: The solution space is large and complex.

3.1. GENERAL ISSUES

35

The function to be optimized has many of local optima. Such a function is called multi-modal [76]. Boundary conditions complicate the search for the optima. The optimized function is time-variant or superposed with noise. The problem has more than one tness function. Therefore, a set of Paretooptimal1 [76] solutions is searched. In the last decades also other, now commonly applied optimization methods have been developed, which not necessarily nd the absolute optimum, but they hopefully give a good approximate solution. The algorithms can be summarized under the term heuristic methods. One class of these heuristic methods is very popular for solving practical problems, the so-called meta-heuristics. In the following list the most commonly used meta-heuristic techniques are shown: Local Search Tabu Search Simulated Annealing Genetic Algorithms Evolutionary Strategies Evolutionary Programming Estimation of Distribution Algorithms Ant Colony Optimization While business and operations research practitioners have frequently focused on conventional optimization approaches involving mathematical programming formulations, computer scientists and electronic engineers have focused on applying optimization techniques subject to multi-criteria objectives and constraints [106]. Under mathematical programming formulations, discrete decision variables are used to represent components of the model and/or network. Subsequently, maximization objectives and constraints are stated in terms of (frequently linear) equations. Such problems are often tackled using commercial mathematical
A solution is called Pareto-optimal (or ecient) solution, if there is no other solution for which at least one criterion has a better value while values of remaining criteria are the same or better. In other words, one can not improve any criterion without deteriorating a value of at least one other criterion.
1

36

CHAPTER 3. OVERVIEW OF OPTIMIZATION TECHNIQUES

programming solvers (such as CPLEX, using a Simplex-method in [73] for base station positioning for cellular radio networks) or using problem specic heuristics and techniques. An important dierence between these approaches concerns the required eort. Formulating a problem so that mathematical programming can be applied may be problematic for engineering problems such as network design, particularly when non-linearities and dependencies need to be considered. It takes potentially much less eort to tailor a suitable meta-heuristic approach such as Simulated Annealing. However, given the diculty of the network design problem and the tensions and conicts involved, the way in which meta-heuristics techniques are targeted and tailored is crucial. In this chapter a short outline for some of the most eective and frequently used meta-heuristic solution techniques are introduced. A comprehensive overview of these and other relevant techniques is given in [86].

3.2

Local Search

The Local Search algorithm is a local iterative search technique that generates a sequence of solutions for the optimization problem, say x1 , x2 , . . . , xk . At each iteration i (1 i k 1), solution xi is perturbed a number of times (by rules which are described as a move) to produce a neighborhood N(x) of candidate solutions. The best solution in the neighborhood is then taken as solution xi+1 , if it is better than the solution in the previous iteration. This algorithm works with the so-called greedy concept, because it always takes the best one. In Figure 3.1 a simple program structure for a local search algorithm is shown. procedure Local Search begin x initial solution; repeat x N (x); // derive neighborhood solution if x is better than x then xx; until termination condition is fullled; end Figure 3.1: Local Search algorithm. One big disadvantage of the algorithm is that in general it only nds a local optimum. An improvement gives the so-called Multi-start Local Search, which starts from several dierent initial solutions. A full description of the Local Search

3.3. SIMULATED ANNEALING

37

method and its extensions is given in [8, 85]. For the optimization of combinatorial problems it is a very popular approach. The best known example is the TravelingSalesman Problem 2 . Also for network design such methods are utilized. This approach is best to generate an initial network for further development [106]. A crucial issue concerns the way in which the candidate sites3 for a network and congurations are ordered. Such methods, for example, have been investigated for related graph based problems and frequency assignment for GSM in [14, 15]. In [99], this approach has been used for cell planning.

3.3

Simulated Annealing

Simulated Annealing (SA) is a meta-heuristic derived from statistical mechanics. It is a technique that has attracted signicant attention as suitable for optimization problems of large scale, especially ones where a desired global extremum is hidden among many, poorer, local extrema. At the heart of the method of Simulated Annealing is an analogy with thermodynamics, specically with the way that liquids freeze and crystallize, or metals cool and anneal. At high temperatures, the molecules of a liquid move freely with respect to one another. If the liquid is cooled slowly, thermal mobility is lost. The atoms are often to line themselves up and form a pure crystal that is completely ordered over a distance up to billions of times the size of an individual atom in all directions. This crystal is the state of the minimum energy for this system. The amazing fact is that for slowly cooled systems, nature is able to nd this minimum energy state. In fact, if a liquid metal is cooled quickly, it does not reach this state. So the essence of the process is slow cooling, allowing ample time for redistribution of the atoms as they lose mobility. This is the technical denition of annealing, dened in [89]. The so-called Boltzmann probability distribution, P rob (E) eE/kT (3.1)

expresses the idea that a system in thermal equilibrium at temperature T has its energy probabilistically distributed among all dierent energy states E. Even at low temperature, there is a chance, albeit very small, of a system being in a high energy state. Therefore, there is a corresponding chance for the system to get out of a local energy minimum in favor of nding a better, more global
The traveling salesman problem, or TSP for short, is dened as follows: given a nite number of citiesalong with the cost of travel between each pair of them, nd the cheapest way of visiting all the cities and returning to your starting point. 3 A candidate site is a possible site for a base station.
2

38

CHAPTER 3. OVERVIEW OF OPTIMIZATION TECHNIQUES

one. In Equ. (3.1) the quantity k (Boltzmanns constant) is a constant of nature that relates temperature to energy. In other words, the system sometimes goes uphill as well as downhill ; but the lower the temperature, the less likely is any signicant uphill excursion. For the simulation of the anneling process nding a state of minimum energy the instructions are given in the following list: Start with high temperature and cool down slowly. For each temperature accept transitions to a new molecular structure, if the energy E is lower. Accept transitions to molecular structures with higher energy only with a probability of eE/kT . The instructions in the list above, can be used as optimization algorithm. The analogy between the thermodynamic simulation of annealing and optimization is shown in Table 3.1. thermodynamic simulation system state energy E transition of state solidication (crystal) temperature T optimization valid solution x value of tness function f (x) derive neighborhood solution N (x) founded solution control parameter T

Table 3.1: Analogy between the thermodynamic simulation of annealing and optimization. A simple program structure of a Simulated Annealing optimization algorithm is shown in Figure 3.2. The variable Z is an equal distributed random value between zero and one. The critical point of the algorithm is how to choose the initial value for the temperature T and the function for the cooling temperature g(T, i). This function describes the cooling plan in the algorithm. In literature the following dierent functions are known among others: Geometric Cooling: g(T ) = T with [0.8, 1). Slow Cooling: g(T ) = T /(1 + T ) with > 0 and small. Theoretic good scheme: g(T ) = /(1 + i) with proportional to the increase in tness function, and i is the iteration counter.

3.4. TABU SEARCH

39

Reannelaing: If a new solution is accepted, drop T according to g(T ) = T /(1 + T ). If the new solution is discarded, increase T according to g(T ) = T /(1 + T /l) with l N . For more details on the dierent functions for T see [66]. The Simulated Annealing optimization algorithm also accepts worse results in contrast to the Local Search described in 3.2, to permit escape from local optima which are not global. The chances of accepting a worse solution is controlled by the cooling temperature T . For a detailed treatment of Simulated Annealing see [9]. This approach is very popular for cell planning issues [11, 56, 73]. procedure Simulated Annealing begin i 0; T initial temperature; x initial solution; repeat x N (x); // derive neighborhood solution if x is better than x then xx; else if Z < e|f (x )f (x)|/T then xx; end T g(T, i); i i + 1; until termination condition is fullled; end Figure 3.2: Simulated Annealing algorithm.

3.4

Tabu Search

The Tabu Search meta-heuristic technique (TS) operates using the neighborhood principle of the Local Search technique from 3.2. However, in order to prevent cycling and to provide a mechanism for escaping locally but not globally optimal solutions, some moves 4 at one particular iteration may be classied as tabu. After a valid move is executed, it is stored in the so-called tabu list T L. Now it is not allowed to perform this move again for the next k iterations. This tabu list is an
4

A move denotes the transition from one solution to an other.

40

CHAPTER 3. OVERVIEW OF OPTIMIZATION TECHNIQUES

essential component of the algorithm, because it stores the history of the visited candidate solutions. There can also be aspiration criterias, which override the tabu moves if particular circumstances apply. A detailed description on tabu list management and aspiration criteria can be found in [67]. procedure Tabu Search begin T L 0; // tabu list x initial solution; repeat X subset of N (x) under consideration of T L; x best solution of X ; add move from x to x to T L; delete moves from T L, which are older than k iterations; xx; if x is better than best solution until now then store x; end until termination condition is fullled; end Figure 3.3: Tabu Search algorithm. In Figure 3.3 a simple program structure for a Tabu Search algorithm is shown. The Tabu Search technique as extension of the Local Search algorithm is a very ecient optimization technique for the optimization of combinatorial problems like the TSP or the Bin Packing Problem 5 . In [18] a short overview of dierent combinatorial problems is given. For the TSP the Tabu Search algorithm nowadays is the most ecient technique for optimizing this problem. For cell planning issues in CDMA networks this method is also used [12, 71]. For further details of Tabu Search see [49, 67, 93].

3.5

Evolutionary Algorithms

Evolutionary Algorithms (EA) are a category of computer-based problem solving systems, which use calculable models of natural selection and evolution processes as their key elements. The theory about evolution was founded by Charles DarBin Packing Problem: Determine how to put the most objects in a given number of xed space bins. More formally, nd a partition and assignment of a set of objects such that a constraint is satised.
5

3.5. EVOLUTIONARY ALGORITHMS

41

win 6 in the year 1859. In his famous book The Origin of Species he explained the inheritance with variances (mutation) and talked about natural selection. The principal structure of an evolutionary optimization algorithm in shown in Figure 3.4. In this Figure, P denotes a population of solutions. In each iteration a new generation Q is produced, and from the union of Q and P the new population P is decided. procedure EA begin P set of initial solutions; Evaluate(P ); repeat Q GenerateNewSolutionByVariation(P ); Evaluate(P ); P SelectBetterSolutions(P, Q); until termination condition is fullled; end Figure 3.4: The structure of an Evolutionary Algorithm. Evolutionary Algorithms have the following properties: They do not require certain properties of the optimized function like continuity, dierentiability or dimensionality. The algorithms are not restricted to numeric optimization. No special information about the solution space like derivation, is needed. Suitable for problems with a big solution space, where other techniques, like enumeration methods, need to much time. Global view of the technique: The algorithm searches for the global optimum, and not for the next local one. Finding of the optimal solution cannot be guaranteed. It is possible to combine Evolutionary Algorithms with other optimization techniques or problem specic heuristics.
Charles Robert Darwin (1809-1882): Darwin was the British naturalist who became famous for his theories of evolution and natural selection. Like several scientists before him, Darwin believed all the life on earth evolved (developed gradually) over millions of years from a few common ancestors.
6

42

CHAPTER 3. OVERVIEW OF OPTIMIZATION TECHNIQUES Robustness: Evolutionary Algorithms are suitable for many dierent types of problems (see Section 3.1). Specialized methods often achieve better results only on certain problems.

The most important types of Evolutionary Algorithms are enumerated in the list below. This classication is not unique, because there are a lot of hybrid approaches. Genetic Algorithms Evolutionary Strategies Evolutionary Programming Classier Systems Genetic Systems Genetic Programming In the following the most important and most popular representatives, the Genetic Algorithms, which are used in this thesis for optimizing the base station parameters, are described in more detail.

3.5.1

Genetic Algorithms

The idea of using genetic approaches for optimization originated from J. H. Holland about thirty years ago. He wrote the primary work about Genetic Algorithms (GA) [53]. De Jong [31] extended his work for functional optimization, involving the use of optimization search strategies based on after the Darwinian notion of natural selection and evolution. In the last two decades, rst D. E. Goldberg [50] and then Z. Michalewicz [13, 76, 77] enhanced the methods and made research on the theoretical basics of Genetic Algorithms. Genetic Algorithms are particularly eective, when the goal is to nd an approximate global maximum in a high dimensional, multi-modal function domain in a near-optimum manner [61]. They dier from other conventional techniques by operating on a group (or population) of trial solutions in parallel. Normally a Genetic Algorithm operates on a coding of the function parameters (a chromosome) rather than on the parameters themselves. For the coding of the problem a suitable structure should be used. The most common coding schemes are binary coding or gray coding. Simple, stochastic operators (selection, crossover and mutation) are used to explore the solution domain in search of an optimal solution. The basic block diagram with the three operators are depicted in Figure 3.5.

3.5. EVOLUTIONARY ALGORITHMS

43

Figure 3.5: Genetic Algorithm.

procedure GA begin i 0; initialize(P (i)); evaluate (P (i)); while (not termination-condition) do i i + 1; Qs (i) select(P (i 1)); Qr (i) recombine(Qs (i)); P (i) mutate(Qr (i)); evaluate (P (i)); done end Figure 3.6: Canonical Genetic Algorithm.

44

CHAPTER 3. OVERVIEW OF OPTIMIZATION TECHNIQUES

Figure 3.6 shows the algorithm of the block diagram from Figure 3.5. This simple type of GA is known as Canonical GA. In Figure 3.6 P (i) denotes the population of the actual iteration, Qs (t) indicates the population after the selection process and Qr (t) is the population after recombination. In keeping with the natural selection analogy, successive populations of trial solutions are called generations. Subsequent generations are made up of children, produced through the selective reproduction of pairs of parents taken from the current generation. A list of some of the commonly encountered GA terms relating to the optimization problem is presented below: Population: Parent: Child: Generation: Chromosome: Set of trial solutions. Member of the current generation. Member of the next generation. Successively created populations (GA iterations). Coded form of a trial solution vector (string) consisting of genes made of alleles. A chromosom is also referred to as individual. Each gene can have a value (allele) of a certain value set (e.g. one bit). Concrete value of a gene (e.g for a bit representation: zero or one). Positive number assigned to an individual representing a measure of quality.

Gene: Allele: Fitness:

In the beginning of the optimization process the rst population has to be initialized (see Figure 3.6). Normally this is done by a random setting. For the evaluation of all the individuals of the population, a tness function f (i) is needed. A higher tness value means a better solution and a lower tness value shows a worse solution. If the tness function reaches the highest value, this means that the searched optimal solution is found. In the following the three operators are shortly explained. 3.5.1.1 Selection

The selection of the parents for the next generation is mostly controlled by randomness, but according to the natural selection: Better individuals are selected more often then worse individuals. The selection process forces the population of the GA in the direction of better solutions. In the majority of cases a tness proportional selection scheme is used. This method is referred to as roulette-wheel

3.5. EVOLUTIONARY ALGORITHMS

45

selection, because it works like the roulette game with dierent probabilities. For each individual the tness value is scaled according to the sum of the tness of all the individuals. The probability for an individual i to be selected in the selection process is shown in Equ. (3.2). ps (i) = f (i) f (j)
n

n j=1

(3.2)

with f (j) 0 and

j=1

f (j) > 0

In Equ. (3.2) n denotes the size of the population. 3.5.1.2 Recombination

Recombination is the primary operator for generating new individuals. In Figure 3.7 the 1-point crossover is shown, as one possible example for a recombination operator. In this example 8 parameters are binary coded on one chromosome.

Figure 3.7: 1-point crossover. The crossover is either performed for all individuals of the population, or for the majority of the population controlled by a certain randomness (e. g. pc = 0.8). The creation of couples as well as the choice of the crossover points are also performed randomly. 3.5.1.3 Mutation

The mutation operator is used as secondary operator in Genetic Algorithms. This operator makes small, random changes. Only one gene of a chromosome obtains a new value. Mutation is responsible for introducing new and lost gene material (alleles) into the population. In Figure 3.8 an example of mutation for a chromosome with eight binary coded parameters is shown. Parameter no. 4 mutates from 1 to 0. The mutation is usually performed with a ceratin probability only (e.g. pm = 0.5).

46

CHAPTER 3. OVERVIEW OF OPTIMIZATION TECHNIQUES

Figure 3.8: Mutation.

3.5.1.4

Applications for Genetic Algorithms

Researchers and developers use Genetic Algorithms in many areas where a global optimum is searched for. In particular they are used for practical optimization applications with a big and complex solution spaces. In the eld of electromagnetics engineering, developers use Genetic Algorithms for example for the design of lightweight, broadband microwave absorbers, the reduction of array sidelobes in thinned arrays, the shaped-beam antenna arrays or the design of broadband patch antennas [61]. In the area of network planning for 2G and 3G systems, Genetic Algorithms are very popular. In [52, 78] these algorithms are used for the base station location problem. The papers [21, 55, 70] demonstrate approaches for coverage and capacity optimization in wireless networks using Genetic Algorithms.

3.6

Ant Colony Optimization

The idea of imitating the behavior of ants to nd solutions for combinatorial optimization problems was initiated by Colorni, Dorigo and Maniezoo in 1991 [24, 25, 26]. The metaphor comes from the way ants search for food and nd their way back to the nest. Initially, ants explore the area surrounding their nest in a random manner. As soon as an ant nds a source food, it evaluates the interest of the source (quality and quantity) and carries some of the food to the nest. During the return trip, the ant leaves a chemical pheromone trail on the ground, whose quantity depends on the quality of the source. The role of this pheromone trail is to guide other ants towards the source. After a while, the path to a good source of food will be indicated by a strong pheromone trail, as the trail grows with the number of ants that reach the source. Since sources that are close to the nest are visited more frequently than those that are far away, pheromone trails leading to the nearest sources grow faster. The nal result of this process is that ants are able to optimize their work. The transfer of this food searching behavior into an algorithmic framework for

3.6. ANT COLONY OPTIMIZATION

47

solving combinatorial optimization problems is obtained through an analogy between: the search area of the real ants and the set of feasible solutions to the combinatorial problem; the amount of food associated with a source and the tness function; the pheromone trail and an adaptive memory. A standard ant system is schematically described as follows: 1. Initialize the pheromone trail. 2. While a stopping criterion is not met do: (a) for each ant, construct a new solution using the current pheromone trail and an evaluation of the partial solution being constructed; (b) update the pheromone trail. The most important component of an ant system is the management of pheromone trails. In a standard ant system, pheromone trails are used in conjunction with the tness function to guide the construction of new solutions. Once a solution has been produced, a standard ant system updates the pheromone trails as follows: rst all trails are weakened to simulate the evaporation of pheromone; then, pheromone trails that correspond to components that were used to construct the resulting solution are reinforced, taking into consideration the quality of this solution. Ant systems have been applied to dierent combinatorial optimization problems like TSPs [25, 34, 46] and Quadratic Assignment Problems 7 (QAP) [34] with comparable or even better performances than other natural inspired systems, like Genetic Algorithms. For more practical combinatorial problems, like transport logistic problems or project and process planning problems these very new optimization techniques are also in use [33]. Ant systems are used for routing and load balancing in circuit switched telecommunications networks [94] and routing in packet switched telecommunications networks like the Internet [32]. For continuous optimization problems, like the base station parameter optimization of an wireless network the ant colony technique is not fully developed to achieve good results in agreeable time [57].
Quadratic Assignment Problem: The problem of assigning a set of facilities to a set of locations with given distances between the locations and given ows between the facilities. The goal then is to place the facilities on locations in such a way that the sum of the product between ows and distances is minimal.
7

48

CHAPTER 3. OVERVIEW OF OPTIMIZATION TECHNIQUES

Chapter 4 Coverage- and Capacity-limiting Factors

4.1 Introduction

Unlike GSM, the coverage and capacity improvement methods cannot be separated anymore in the UMTS system. There is always a tradeo between coverage and capacity. Some of the improvement methods enhance the coverage at the cost of capacity, while others improve capacity, but at the same time the coverage decreases. In UMTS the network coverage and capacity can be either uplink or downlink limited. It is generally accepted that service coverage is uplink limited. However, system capacity may be either uplink or downlink limited depending upon the system conguration and the trac prole. In rural environments, where the network is normally planned with relatively low uplink load, the scenario is typically capacity limited in the uplink. A downlink capacity-limited scenario is more likely in an urban scenario, where the network is planned for higher uplink load to increase the system capacity [68]. When a cells capacity limitation is reached, additional users cannot be admitted to the system and, therefore, they are put to outage. Outaged users are within the coverage of the cell, but not able to access the network services. Thus, as the number of users at outage increases, the network capacity decreases. The outage problems can be managed by radio resource management (RRM) and optimization of the base station parameters. Therefore, understanding and identifying the limitations is important for the development of optimization strategies for increasing coverage and capacity eectively. This chapter provides the basis for understanding the reasons for coverage and capacity limited scenarios both in the up- and downlink. Further, the corre49

50

CHAPTER 4. COVERAGE- AND CAPACITY-LIMITING FACTORS

sponding solutions for the enhancement of network coverage and capacity are presented.

4.2

Uplink and Downlink Coverage-limited Scenarios

The majority of existing literature makes the assumption that service coverage is uplink limited [68]. In general this is true, though it is fairly easy to identify scenarios where service coverage is downlink limited, for example when the data rate is asymmetric with more data in the downlink combined with a limited base station transmit power capability. The simplest method for studying service coverage performance is using a link budget. For the identication, which parameters need to be improved to enhance service coverage performance, the link budget is also very useful. Techniques, which require additional investments for improving the service coverage are active antennas, mast head ampliers, higher-order receive diversity, increased sectorization, repeaters and smart antennas. Some of these techniques improve coverage, but at the cost of capacity. However, other techniques like smart antennas simultaneously improve both coverage and capacity. A detailed description of the individual techniques can be found in [68]. A good overview on smart antennas is given in [16, 45]. Link budgets for a W-CDMA system follow the same principles as those for GSM. The main dierences are the inclusion of processing gain, Eb /N0 requirement, soft handover gain, target uplink cell loading and a headroom to accommodate the fast power control loop. In the link budget the target loading is the main capacityrelated parameter. A low value for the target loading corresponds to a larger cell range, but a lower cell capacity. The link budget for a data service supporting 384 kbit/s on the downlink and 64 kbit/s on the uplink is presented in Table 4.1. The lower allowed propagation loss value indicates that the service coverage is uplink limited. If we assume a power of 37 dBm for the power amplier of the base station, the service coverage of the scenario gets downlink limited. A maximum of half of the total transmit power is generally allocated to any one single link, i.e. 34 dBm (similar to the example from Table 4.1 where 40 dBm represents half of the total transmit power capabiliy of a 43 dBm power amplier). Therefore, the downlink allowed propagation loss decreases by 6 dB and results in a downlink-limited service coverage. A series of typical uplink link budgets is presented in Table 4.2 for a range of service data rates. The dierence in the allowed propagation loss value may be used to estimate the dierence in site count requirements for various service

4.2. UPLINK AND DOWNLINK COVERAGE-LIMITED SCENARIOS

51

Parameter Service bit rate Maximum transmit power Antenna gain

b b

Uplink 64 21.0 0.0 0.0

c

Downlink 384 40.0a 18.5 2.0 56.5 10.0 4.5 1.2 80d 7.5 -174.0 8.0 -159.0 -99.9 18.5 0.0c 0.0 2.0f -101.9 158.4 kbit/s dBm dBi dB dBm dB dB dB % dB dBm/Hz dB dBm/Hz dBm dBi dB dB dB dBm dB

Body loss / cable loss Transmit EIRP Processing gain Required Eb /N0 MDC gain Target loading

21.0 17.8 2.0 0.0 50 3.0 -174.0 3.0 -168.0 -117.9 18.5 2.0 3.0 2.0 -133.4 154.4

Rise over thermal noise Thermal noise density Receiver noise gure Interference oor
e

Receiver sensitivity Receiver antenna gain Cable loss/ body lossb Fast fading margin Soft handover gain EIRP required Allowed propagation loss

Table 4.1: Example link budget for a data service (source: [68]). 40 dBm is a typical limit placed upon a downlink trac channel for a 43 dBm power amplier module to prevent an excessive share of base station power being allocated to a single user. b The values for the antenna gain, body loss and cable loss are very optimistic. A detailed research on this topic shows [87]. c It has been assumed that data services do not incur a body loss. d The downlink target loading is a function of the trac mix loading in the cell. 80 % is a typical value. e Measurements of the background noise oor can be found in [82]. f The value for soft handover gain in the downlink is too hard. Typical values, based on numerous simulations can be found in [17].
a

52

CHAPTER 4. COVERAGE- AND CAPACITY-LIMITING FACTORS

coverage objectives [68]. Table 4.2 shows that the highest data rate service denes the cell range in terms of the allowed propagation loss. Planning the network for a 384 kbit/s service coverage will be sucient to ensure acceptable coverage performance for lower data rate services and speech. Service type Uplink bit rate Maximum transmit power Antenna gaina Body loss / cable lossa Transmit EIRP Processing gain Required Eb /N0 Target loading Rise over thermal noise Thermal noise density Receiver noise gure Interference oor Receiver sensitivity Receiver antenna gain Cable loss/ body loss Fast fading margin Soft handover gain EIRP required Allowed propagation loss
a

Speech 12.2 21.0 0.0 3.0 18.0 25.0 4.0 50 3.0 -174.0 3.0 -168.0 -123.1 18.5 2.0 3.0 2.0 -138.6 156.6

Data 64 21.0 0.0 0.0c 21.0 17.8 2.0 50 3.0 -174.0 3.0 -168.0 -117.9 18.5 2.0 3.0 2.0 -133.4 154.4

Data 144 21.0 2.0b 0.0c 23.0 14.3 1.5 50 3.0 -174.0 3.0 -168.0 -114.9 18.5 2.0 3.0 2.0 -130.4 153.4

Data 384 21.0 2.0b 0.0c 23.0 10.0 1.0 50 3.0 -174.0 3.0 -168.0 -111.1 18.5 2.0 3.0 2.0 -126.6 149.6 kbit/s dBm dBi dB dBm dB dB % dB dBm/Hz dB dBm/Hz dBm dBi dB dB dB dBm dB

Table 4.2: Example uplink link budgets for illustrating the impact of service data rate (source: [68]). a The values for the antenna gain, body loss and cable loss are very optimistic. A detailed research on this topic shows [87]. b It has been assumed that terminals supporting higher data rates are superior in terms of antenna conguration. c It has been assumed that data services do not incur a body loss. Improving any of the parameters in the link budget will lead to an improvement in service coverage performance. However, improving service coverage leads to a greater average base station transmit power requirement per downlink connection.

4.3. UPLINK CAPACITY-LIMITED SCENARIOS

53

If the system capacity is uplink limited, then this is of no consequence. Although, if the system capacity is downlink limited, then improving service coverage will lead to a loss in system capacity. A dierent approach would be to improve the Eb /N0 performance. Then, it is possible to simultaneously enhance both service coverage and system capacity.

4.3

Uplink Capacity-limited Scenarios

In the uplink, there are two possible limiting factors for uplink capacity-limited systems. One reason could be that the mobile doesnt have enough transmit power to achieve the required bit energy to interference plus noise density ratio (Eb /I0 ) to access the network services. An uplink capacity-limited scenario can also occur when the maximum uplink load is reached and therefore no additional users can be accepted in the system. The trac associated with an uplink capacity-limited scenario is generally relatively symmetric.

4.3.1

Insucient Uplink Power

The maximum allowed transmit power of a mobile must be enough to fulll the Eb /I0 requirement at the base station in order to access the network services. The transmit power PT X,M S needed for the mobile is calculated using Equ. (4.1) and compared to the maximum allowed. PT X,M S = N0 L p (1 U L ) (1 + (4.1)

W ) R

Where N0 is the background noise, Lp is the propagation loss between the mobile and the base station, R, and are the bit rate, service activity and uplink Eb /N0 requirement of the chosen service respectively, W is the W-CDMA chip rate and U L is the uplink loading. Hence, if the mobile fails to fulll the required Eb /I0 , the RNC commands the mobile to increase its transmit power through the closed loop power control algorithm, which is based on the received power measured at the base station. If this is not possible, because the maximum transmit power of the mobile is achieved, the mobile is put to outage. From Equ. (4.1) we can see that the required transmit power of a mobile is directly proportional to the path loss. Consequently, this power level could be reduced by decreasing the path loss, e.g. by adjusting the antenna downtilt or the antenna azimuth.

54

CHAPTER 4. COVERAGE- AND CAPACITY-LIMITING FACTORS

4.3.2

Uplink Cell Load Limitation

An uplink capacity-limited scenario is likely to occur in environments where the capacity requirements are relatively low and the network has been planned with a low uplink cell load to maximize cell range and thus reduce the requirements for the sites. The maximum permissible level of uplink cell load U L,threshold determines the interference margin that appears in any link budget calculation (see Table 4.1). The greater the cell loading, the greater the required number of sites, as well as the higher potential capacity per site. The trac in an uplink capacitylimited scenario is generally relatively symmetric. The uplink load equation is dened as Equ. (4.2) [68].
KN

U L =
k=1

1 1+
W k Rk

(1 + i)

(4.2)

Where KN is the number of mobiles connected to base station N. Rk and k are the bit rate and Eb /N0 requirement from the user k of the chosen service, respectively. W is the W-CDMA chip rate and i is the other-to-own cell received power ratio. This ratio is dened as Equ. (5.1) in Section 5.2.2. In an uplink capacity-limited system, the capacity per cell is directly proportional to the maximum permissible level of uplink cell load [68]. Each mobile which establishes a connection with the same Eb /N0 requirement and activity factor, increases the cell load by the same amount. Doubling the maximum cell load U L,threshold results in doubling the cell capacity for an uplink-limited scenario. The impact upon cell range is dependent upon the absolute levels of the cell load. The relationship between the cell load and the maximum allowed propagation loss is exponential [68]. In Equ. (4.3) the relationship between the uplink cell load U L and the resulting increase in receiver interference oor L is shown. L = 10 log10 (1 U L ) (4.3)

As U L achieves 100 %, the receiver interference oor increases without limit. However, this condition in practise can never occur, because the mobiles have a nite transmit power capability. When the maximum uplink load of a cell is reached, U L U L,threshold (where U L,threshold is the planned maximum permissible level of uplink cell load), any additional users will be set to outage even though the users would have enough transmit power to access the network services. In the following list the reasons, why the maximum uplink cell load is reached are summarized:

4.4. DOWNLINK CAPACITY-LIMITED SCENARIOS The network is planned with a too low uplink cell load U L . High base station transmit power capability. Relatively symmetric trac (e.g. speech users).

55

For a uplink capacity limited scenario, more users can be admitted into the system by shrinking the planned service coverage area of the cells (by the use of down tilting the antenna) so that the mobiles at the cell boundaries handover to adjacent cells that have lower trac density to achieve load balancing within the network. As a result, the overall network capacity will be improved.

4.4

Downlink Capacity-limited Scenarios

A downlink capacity-limited scenario occurs due to several reasons: the maximum transmit power of the base station is reached, OVSF code utilization reaches its limitation, or the requested code power for a mobile is higher than the permitted level. Downlink capacity-limited scenarios are likely to occur in suburban or urban environments, where the the network has been planned to a relatively high uplink cell loading [68]. The trac associated with a downlink capacity-limited scenario is generally asymmetric, with a greater amount of trac in the downlink.

4.4.1

Cell Power Limitation

Downlink capacity-limited scenarios due to maximum cell power are likely to occur where the network has been congured with low base station transmit power capability, which may have been done in some circumstances to reduce the requirement for power amplier modules. In Equ. (4.4) the total required transmit power from the serving base station is shown.
n

PT =
i=1

PT X,n + Pcommon

(4.4)

In Equ. (4.4) PT X,n is the required code power for the connected user n, and Pcommon is the overall transmit power of the common channels. In general, approximately 20 % of the maximum cell power PT,max is assigned to the pilot and common control channels. The remaining 80 % is available to support trac channel capacity.

56

CHAPTER 4. COVERAGE- AND CAPACITY-LIMITING FACTORS

When the base station reaches its maximum transmit power level, PT = PT,max (where PT,max is the maximum base station transmit power capability), it cannot allocate extra power to an additional user even if the cell is not highly loaded. In this case, additional users cannot be added without modifying the base station conguration. All active users belonging to a cell, including those mobiles connected by soft handover share the total transmit power PT . Hence, a lower average code power 1 requirement P T X (P T X = n n PT X,n ) results in a higher cell capacity. Furi=1 thermore, it is possible to increase the number of served users by reducing the soft handover overhead. Soft handover links only occur at the cell border, which experience maximum path loss and therefore require higher code power. Table 4.3 shows a range of typical W-CDMA base station transmit power congurations PT,max . The capacity oered by each transmit power conguration PT,max is a function of the trac prole as well as the maximum propagation loss dening the cell range. The greater the propagation loss, the greater the average code power P T X and the lower the cell capacity. In other words, we can say that the smaller the cell size the lower P T X and the higher the cell capacity. Base station Tx power per cell per carrier 37 dBm (5 W) 40 dBm (10 W) Provides low capacity for scenarios where the main objective is providing service coverage. Provides medium capacity per carrier. Two carriers each congured with 10 W provide greater capacity than one carrier congured with 20 W. 43 dBm (20 W) 46 dBm (40 W) Provides high capacity per carrier. Provides increased capacity per carrier when maximum allowed propagation loss is relatively high. Table 4.3: Typical base station transmit power congurations (source: [68]). As we can see from Equ. (4.4), a part of the total transmit power of the base station is assigned to the common pilot channel (CPICH) and the other common channels. Consequently, by reducing the CPICH power and the powers of the other common channels, more power will be available to support the trac channel capacity. In the following list the reasons, why the maximum transmit power PT,max of a base station is reached, are summarized: Application

4.4. DOWNLINK CAPACITY-LIMITED SCENARIOS The network is planned with a too high uplink cell load U L . Low base station transmit power capability. Greater trac on the downlink (asymmetric trac, e.g. data users).

57

4.4.2

Orthogonal Variable Spreading Factor (OVSF) Code Limitation

In W-CDMA spreading and scrambling operations are performed in two steps. The user signal is rst spread by the channelization code, called orthogonal variable spreading factor (OVSF) code, and then randomized by the scrambling code. In the downlink, scrambling codes are used for the separation of the individual cells, which have maximum 512 available codes. The separation of the individual donwlink connections for dierent users within one cell is done by the OVSF codes. A detailed description about the scrambling and spreading operations are presented in Section 2.2.2. Channelization codes become the limitimg factor under relatively high throughput scenarios [68]. This is likely to occur in either microcell or indoor scenarios, where the cell range is limited and code orthogonality is high. One possible solution to avoid OVSF code limitation is to reduce SHO links. Hence, the number of available OVSF codes for serving links increases. This is because SHO connections require independent channels from serveral base stations at the same time and therefore are reducing the available OVSF codes. Another possibility when the channelization codes become the limiting factor would be to use a second scrambling code to introduce a second channelization code tree. The two code trees will not be orthogonal to another and so this will cause higher intra-cell interference.

4.4.3

Code Power Limitation

In the downlink, each dedicated link needs a certain transmit power to reach the Eb /N0 requirement for a sucient connection to the mobile. In Equ. (4.5) the required transmit power for a certain link is presented.
R W k k Lp (Itot k Ik +NM S ) k

PT X

(4.5)

58

CHAPTER 4. COVERAGE- AND CAPACITY-LIMITING FACTORS

Where NM S is the background noise level at the mobile station, Itot is the total wideband interference power received at the mobile station, Ik is the total wideband power received at the mobile station from base station k, Lpk is the link loss from base station k to the mobile station, k is the orthogonality factor of cell k and k is the scaling factor (relative maximum link powers) for dierent base stations in the active set. This code power PT X is limited per single trac link. This limitation is dened as the maximum transmitted power PT X,max on one channelization code on a given carrier. If the code power PT X requested by a mobile is higher then the permitted level (PT X > PT X,max ), the mobile will not be admitted.

4.5

Summary

Understanding the limitation mechanisms for service coverage and system capacity forms an essential part of being able to develop eective capacity optimization strategies for UMTS radio networks. Service coverage and system capacity can be either uplink or downlink limited. Coverage is generally uplink limited, although a low base station transmit power capability combined with asymmetric data services may lead to a downlink coverage-limited scenario. Capacity may be either uplink or downlink limited depending upon the planned level of uplink loading, the base station transmit power capability, the trac loading of the network and the performance of the network. There are various available techniques to increase the network capacity. According to [68], the simplest and most eective way to increase system capacity is to add one or more carriers. When all the available carriers have been used, then other methods such as additional scrambling codes, mast head ampliers and active antennas, remote HF head ampliers, high-order receive diversity, downlink transmit diversity, beamforming, sectorization, repeaters, micro cells or smart antennas [16, 45] could be applied. In [68] the most of these techniques are described in more detail. There are also several possible ways to increase the network capacity without additional infrastructure and cost investment, for instance: Minimizing the intra- and inter-cell interference Shrinking the service coverage area Optimizing the CPICH power allocation

4.5. SUMMARY Optimizing SHO links and overhead

59

This thesis focuses on possible ways of increasing the network capacity on system level optimization corresponding to base station conguration. Hence, the considered capacity limited scenarios are: Cell load limitation Cell power and OVSF code limitation Uplink cell load, base station transmit power and OVSF code utilization are a powerful measure for radio network optimization.

60

CHAPTER 4. COVERAGE- AND CAPACITY-LIMITING FACTORS

Chapter 5 Key Optimization Parameters

5.1 Introduction

In this chapter the parameters, which are used in this thesis for optimizing the capacity in a UMTS FDD network, are described in more detail. Careful conguration of the many network and cell parameters is required and crucial to the network operator, because they determine the capability to provide services, inuence the quality of service (QoS), and account for a major portion of the total network deployment and maintenance costs. However, there are numerous congurable base station parameters which are multi-dimensional and interdependent, and their inuence on the network is highly non-linear. The following list shows the most important parameters: Antenna settings Antenna azimuth Antenna tilt Height Antenna pattern Primary common pilot channel (P-CPICH) power level Soft handover parameters Active set size Active set window 61

62

CHAPTER 5. KEY OPTIMIZATION PARAMETERS

All these parameters have a strong inuence on the interference in the system and therefore on the amount of served mobile terminals 1 (capacity of the network). The optimization algorithms described in this thesis focus on optimizing P-CPICH power as well as antenna tilt and antenna azimuth. So, in the following a description of these three parameters is presented. Furthermore, the inuence of these key optimization parameters on the network, especially on system capacity and coverage will be explained.

5.2

Antenna Parameters

The antenna parameters are the most important ones related to the interference situation in the network. Besides the height of the antenna and the used pattern, the azimuth angle and the elevation angle can be tuned. The height of the antenna as well as the antenna azimuth can only changed with a higher operating expense. However, changing antenna tilt and antenna pattern is associated with less eort.

5.2.1

Antenna Azimuth

This thesis focuses on base stations with 3 sectors (cells) and a xed spacing of 120 between the three antennas. When adjusting the antenna azimuth, all three antennas are turned in the same direction at the same time, so that the spacing between them will be kept constant at 120 , as shown in Figure 5.1. The arrows symbolize the directions of the main beams of the antennas.

Figure 5.1: Adjustment of base station azimuth.

For nding the optimum azimuth settings in a network, the interference has to be taken into account. The goal of the azimuth optimization in this work is to reduce the intra- and inter-cell interference. As a result the capacity of the network will be increased. In Figure 5.2, the horizontal pattern of the used KATHREIN 739707
1

A mobile terminal is dened as served, if it is able to access a network service.

5.2. ANTENNA PARAMETERS

63

antenna [64] is shown. The pattern shows a dierence in antenna gain of about 6 dB between the main direction of the antenna (0 ) compared to an angle of 60 (at this angle the adjacent sectors of this base station begin, and there the mobile stations will initiate a handover to the neighboring cell). Due to that dierence of 6 dB, the direction of the main beam of the antenna is quite signicant and thus it is important to adjust the azimuth of the antennas in order to reach the highest antenna gain for the users in the own cell, as well as the lowest gain (or highest attenuation) for the mobile stations located in neighboring cells. This way, less power is needed for covering the area, and therefore less interference is generated.

Figure 5.2: Horizontal pattern of base station antenna (in dB).

5.2.2

Antenna Tilt

The antenna tilt is dened as the elevation angle of the main beam of the antenna relative to the azimuth plane. Since the tilt is usally set in the direction down to the ground, the term downtilt is often used. A positive downtilt is dened as the negative elevation angle of the main beam of the antenna relative to the horizontal plane (see Figure 5.3). The service area in Figure 5.3 is the own cell and the far-end interference area is the area of the adjacent cells. The antenna downtilt can be implemented in a mechanical way as well as by electrical tilting. These two tilting mechanisms have dierent eect: When using mechanical tilting, the antenna pattern itself stays constant and is only tilted,

64

CHAPTER 5. KEY OPTIMIZATION PARAMETERS

Figure 5.3: Adjustment of base station downtilt.

while with electrical tilting the antenna pattern changes when adjusting the tilt. Due to the complexity of analyzing the system with changing the antenna pattern for every tilt value, in this thesis only mechanical tilting is applied. So, the optimization algorithms in this work are evaluated on networks with one xed antenna pattern (KATHREIN 739707 antenna [64]) with a xed predened electrical tilt of 3 included in the vertical antenna pattern. Figure 5.4 shows the used vertical antenna pattern. A very detailed examination on the eect of electrical and mechanical antenna down-tilting in UMTS networks can be found in [44].

Figure 5.4: Vertical pattern of base station antenna (in dB). Antenna downtilt is often used in mobile wireless systems, particularly in the UMTS network, where trac in all cells is simultaneously supported using the same carrier frequency. The desired eect is a reduction of the other-to-own cell interference ratio i, which is dened according to [68] in Equ. (5.1).

5.2. ANTENNA PARAMETERS

65

i=

Ioth Iown

(5.1)

In Equ. (5.1) Ioth denotes the inter-cell interference (interference from the other cells) and Iown is the intra-cell interference (interference from the own cell). By down-tilting the antennas, the other-to-own-cell interference ratio i can be reduced: The antenna main beam delivers less power towards the neighboring base stations, and therefore most of the radiated power goes to the area that is intended to be served by this particular base station [20]. Due to the fact that the interference in the system is decreasing, the capacity increases and more users can be served in the network. However, down-tilting the antenna will also reduce the sectorization eciency, which will decrease the cell capacity. Both, other-to-own-cell interference ratio i and sectorization eciency aect the overall network capacity. According to [20], for small and moderate antenna downtilt angles, the improvement provided through inter-cell interference rejection dominates, and a net increase in capacity can be achieved. For larger downtilt values, the reduction of sectorization eciency dominates, and the result is a net decrease in capacity. Additionally, antenna tilt adjustment also aects the cell coverage area. Too much down-tilting causes that the service area could become too small and also holes in the coverage of the network can occur. Furthermore, if the down-tilting reaches a certain value, the interference in the neighboring cells increases again due to the side lobes of the vertical antenna pattern. Figure 5.5 in Section 5.4 shows this eect. In [88] it is shown that, for smaller inter-cell site separation, higher downtilt is required to mitigate the inter-cell interference. As the inter-cell site separation increases, smaller downtilt is advantageous, oering higher gains to distant users. Hence, the impact on the cell coverage area limits the tilt to reasonable values. The simulation analysis of [69] shows that the optimum value for the antenna tilting depends on the propagation environment, the cell site, user locations, and the antenna radiation pattern. Furthermore, in order to achieve the highest number of served users, it is very crucial to eectively control the inter-cell interference and soft handover overhead. It also stated that due to the antenna radiation pattern side lobes and nulls, there could be some variations of i and coverage probability can occur as a function of the antenna tilting angle. In [72] it is demonstrated that antenna tilt tuning can also help to relieve congestion in hot-spot sectors and maintain the blocking probability at an acceptable level. Detailed descriptions of the eect of antenna tilt on the system capacity are presented in [20, 60, 69, 72, 88].

66

CHAPTER 5. KEY OPTIMIZATION PARAMETERS

5.3

Common Pilot Channel (CPICH) Power

The common pilot channel in UMTS consists of two subchannels, the primary CPICH (P-CPICH) and the secondary CPICH (S-CPICH). A detailed description of the CPICH channels is given in Section 2.3.2. The algorithms in this thesis focus on the optimization of the P-CPICH power, and therefore the term CPICH will be used for P-CPICH in the following. The CPICH is very important for handover, cell selection and cell reselection. After turning on the power of the mobile station and while roaming in the network, the mobile measures and reports the received level of chip energy to interference plus noise density ratio (Ec /I0 ) on the CPICH to the base station for the cell selection procedures. Ec is the average energy per pseudo noise (PN) chip, and I0 denotes the total received power density, including signal and interference, as measured at the mobile station antenna connector2 . This Ec /I0 ratio is given by Equ. (5.2), RSCPCP ICH Ec = Io RSSI (5.2)

where the received signal code power (RSCPCP ICH ) is the received power of the CPICH measured at the mobile station. It can be used to estimate the path loss, since the transmission power of the CPICH is either known or can be read from the system information. The received signal strength indicator (RSSI) is the wideband received power within the relevant channel bandwidth in the downlink. The cell with the highest received CPICH level at the mobile station is selected as the serving cell. As a consequence, by adjusting the CPICH power level, the cell load can be balanced between neighboring cells, which reduces the inter-cell interference, stabilizes network operation and facilitates radio resource management [103]. Reducing the CPICH power of one cell causes part of the terminals to hand over to adjacent cells, while increasing it invites more terminals to hand over to the own cell, as well as to make their initial access to the network in that cell. During the radio network planning process, the CPICH transmit power of the base stations should be set as low as possible, while ensuring that the serving cells and neighboring cells can be measured and synchronized to and the CPICH can be
There exist quantities that are a ratio of energy per chip to PSD. This is the common practice of relating energy magnitudes in communication systems. It can be seen that if both energy magnitudes in the ratio are divided by time, the ratio is converted from an energy ratio to a power ratio, which is more useful from a measurement point of view. It follows that an energy per chip of X dBm/3.84 MHz can be expressed as a mean power per chip of X dBm. Similarly, a signal PSD of Y dBm/3.84 MHz can be expressed as a signal power of Y dBm.
2

5.3. COMMON PILOT CHANNEL (CPICH) POWER

67

used as a phase reference for all other downlink physical channels. Too high values of CPICH power will cause the cells to overlap and therefore create interference to the neighboring cells, called pilot pollution, which will decrease the network capacity. Furthermore, the CPICH power is part of the total transmit power of the base station, which is generally limited. Thus, less CPICH power would provide more power for the trac channels, and therefore increase the capacity. On the other hand, the mobile stations are only able to receive the CPICH down to a certain threshold level of Ec /I0 , which determines the coverage area. Due to that fact, setting the CPICH power too low will cause uncovered areas between the cells. In an uncovered area, CPICH power is too weak for the mobile to decode the signal, and call setup is impossible. According to the specications of the Third Generation Partnership Project (3GPP), the mobile must be able to decode the pilot from a signal with Ec /I0 of -20 dB [2]. To make Equ. (5.2) better understandable, the Ec /I0 ratio can also be described with Equ. (5.3).
PCP ICH Lp numBSs PT X,i + IACI i=1 Lpi

CP ICHEc /I0 =

+ N0

(5.3)

Where PCP ICH is the CPICH power of the best server, Lp is the link loss to the best server, PT X,i is the total transmit power of BS i, Lpi is the link loss to base station i, IACI is adjacent channel interference, N0 is the thermal noise of the mobile and numBSs is the number of base stations in the network. The soft handover (SHO) area can also be controlled by the strength of the CPICH power. By reducing the CPICH power, the SHO areas will decrease. However, a certain amount of overlapping cell boundaries is necessary for mobiles near the cell border to perform SHO and to counteract uctuations of receiving signal power. As conclusion, the level of the CPICH power is very important to reach high capacity in the system. Therefore, the CPICH power level is a key optimization parameter and is included in the optimization strategies for the increase of the capacity in this thesis. The power levels of the other common channels (PCH, SCH,...) are typically set with respect to the CPICH power level [68]. Therefore, the optimization algorithms in this thesis change the power of the PCH and SCH in the same way like the CPICH power. For example, if the CPICH power is decreased by 1 dB also the power of PCH and SCH is reduced by 1 dB. Further information regarding the inuence of the adjustment of CPICH power on the system capacity can be found in [60, 65, 68, 72, 91, 103]

68

CHAPTER 5. KEY OPTIMIZATION PARAMETERS

5.4

A Short Investigation of CPICH and Antenna Tilt Changing

To show the inuence of CPICH power and antenna tilt the dierent settings for all base stations are evaluated on the small scenario. In Section 7.4.2 this scenario is introduced. It consists of 9 base stations equipped with 3-sector antennas, thus comprising 27 cells. In this scenario only speech users are used instead of two-way 64 kbit/s data users, which are normally used for the small network scenario. Figure 7.4 shows the distribution of the base stations as well as the user distribution. For this investigation the antenna downtilt was varied from 0 up to 16 , in steps of 1 , with the same value for the antenna tilt in each cell. Further, the CPICH power value was changed from 33 dBm in 1 dB steps down to 10 dBm, again with the same value in each cell. All possible combinations for these two parameters were evaluated on the small scenario with the UMTS FDD network simulator in CPICH coverage verication mode 1 (see Section 7.2.2.1). A 3D-plot in Figure 5.5 shows the results of this investigation.

Figure 5.5: Capacity for dierent CPICH power and antenna tilt settings. (Capacity is measured as served users.)

In Figure 5.5 the x- and y-axis show the key optimization parameters CPICH power and antenna tilt. The z-axis shows the number of served users in the

5.5. SUMMARY

69

network. From the plot we see that if the CPICH power is varied by the same value in each cell, there is no strong inuence on the number of served users. This means that the absolute level of the CPICH power is not so important for the capacity, because the serving cell areas remain the same. However, if the cells would have dierent power values for the CPICH, this will inuence the serving cell areas in the network and so causes an increase or decrease in capacity, depending on the setting. The antenna tilt aects the capacity in a dierent way. From Figure 5.5 we can divide the antenna tilt range in 4 areas: area1 : 0 6 area2 : 6 11 area3 : 11 13 area4 : 13 16 In area1 the capacity increases, if the antenna downtilt value increases. This is due to the reduction of inter-cell interference. In area2 the capacity decreases due to the antenna radiation pattern (see Figure 5.4 in Section 5.2.2). The rst side lobe in the antenna pattern (compare with Figure 5.4) increases the capacity in the network in area3. From a downtilt of 13 (area4 ) up to higher values the capacity decreases again. Note that these results are only valid for a scenario with a plane terrain. In a scenario with hilly terrain the situation can be totally dierent.

5.5

Summary

Adjusting the antenna parameters antenna tilt and antenna azimuth as well as the CPICH power enables to increase the network capacity by: 1. Reducing inter-cell interference and pilot pollution. 2. Optimizing base station transmit power resources. 3. Load sharing and balancing between cells. 4. Optimizing SHO areas.

70

CHAPTER 5. KEY OPTIMIZATION PARAMETERS

The amount of transmit power for the CPICH is not specied in the 3GPP standard. So, it is up to the network operator to assign appropriate power levels to the CPICH. In [68], it suggests that the CPICH power is set to about 5-10 % of the total cell transmit power capability. Despite the challenges associated with CPICH power, antenna tilt and antenna azimuth settings adjustment, it is clear that these parameters provide low cost techniques for optimizing expensive UMTS networks, because no additional expenditure in infrastructure is necessary.

Chapter 6 Fitness Function and Performance Indicators

6.1 Introduction

In this chapter the performance indicators of the various optimization algorithms are presented. The indicators are the basis of decisions for the CPICH power and antenna tilt adjustments. The algorithms presented in Section 8.2 and Section 8.3 use the number of outaged mobiles as well as the quality factor QF, introduced by SYMENA, Software & Consulting GmbH, for these decisions. First, the used tness functions for UMTS network optimization in this work are introduced in Section 6.2. Section 6.3 describes the denition of the Grade of Service (GoS), which is an important side constraint for the optimization throughout this thesis. The two important performance indicators, the number of outaged mobiles and the quality factor, respectively, will be described in Section 6.4.1 and 6.4.2.

6.2

Fitness Function

For the evaluation of the network, a tness function has to be dened. The tness function represents the optimization goal. This thesis focuses on the capacity optimization in a UMTS FDD network. So, the the main goal of the optimization process is to increase the number of served users. In this section two tness functions, which are used during this work, are presented. First, a basic version is introduced, which is used for the local optimization algorithms (Section 8.2). During the development of the genetic algorithm 71

72CHAPTER 6. FITNESS FUNCTION AND PERFORMANCE INDICATORS (global optimization technique) in Section 8.3, the tness function was improved by including the coverage area as well as the soft handover.

6.2.1

Basic Fitness Function

As mentioned before, the goal of the optimization is to increase the capacity. So, the basic tness function considers the number of served users in the network as the goal of optimization. Equ. (6.1) shows the tness function for one test solution i1 .
cells

g(i) =
k=0

servedk

(6.1)

In Equ. (6.1), servedk is the number of served users of cell k, and cells is the number of total cells in the network.

6.2.2

Extended Fitness Function

The basic tness function (see Equ. (6.1)) was extended for the use of the genetic algorithm. As before, the number of served users is used again in the tness function. In addition to the capacity, also the coverage area and the number of mobiles in soft handover are taken into account for the tness calculation. This is done to increase the accuracy of the tness value and to allow the algorithm to dierentiate between two otherwise equal solutions: If two solutions have the same number of served users, the solution with the larger coverage area and fewer mobiles in SHO has a higher tness value. In Equ. (6.2) the extended tness function g(i) for one test solution i is shown.
cells

g(i) =
k=0

servedk + gcov + gSHO

(6.2)

In Equ. (6.2), servedk is the number of served users of cell k, and cells is the number of total cells in the network. The term gcov represents the coverage probability of the pixels in the simulation area (covered pixels over existing pixels), scaled between 0 (no coverage) and 1 (all pixels are covered). The SHO proportion is taken into account by the term gSHO in Equ. (6.2). In order to serve more mobiles in a cell, the idea is to reduce the number of SHO links in this cell. In Equ. (6.3) the calculation of gSHO is shown.
In this thesis one test solution means one evaluated network state with one particular parameter setting (antenna azimuth, antenna tilt and CPICH power).
1

6.2. FITNESS FUNCTION

73

gSHO = 1

1 cells gSHO,cell (k) cells k=0 gSHO,max

(6.3)

The term gSHO,cell (k) in Equ. (6.3) denotes the number of SHO links in cell k and gSHO,max is the maximum over all gSHO,cell (k). The range of gSHO is between 0 and 1. A high value of gSHO means a low SHO rate and a low value of gSHO characterizes a high amount of SHO connections. There is always a tradeo between capacity and coverage, QoS and costs. The goal in this thesis is to increase network capacity in a cost eective way, while maintaining the coverage and QoS. Figure 6.1 shows the tradeo between these factors.

Figure 6.1: The three tradeos of UMTS optimization (source: [75]).

6.2.3

Used Fitness Function

Several optimization algorithms are presented in this thesis, using either the basic tness function presented in Section 6.2.1 or the tness function from Section 6.2.2. Table 6.1 summarizes which tness function is used for which algorithm.

74CHAPTER 6. FITNESS FUNCTION AND PERFORMANCE INDICATORS Algorithm Rule Based Approach Simulated Annealing Adaptive Rule Based Approach Genetic Algorithm Analytic Optimization Algorithm

Section 8.2.1 8.2.2 8.2.3 8.3 8.4

Used tness function

cells

g(i) =
k=0 cells

servedk servedk
k=0 cells

g(i) = g(i) =
k=0 cells

servedk

g(i) =
k=0

servedk + gcov + gSHO

cells

g(i) =
k=0

servedk

The tness function value is not considered by the Analytic Optimization Algorithm, but it was used during the development of the algorithm. Further details are described in Section 8.4.

Table 6.1: Assignment tness function - optimization algorithm.

6.3

Grade of Service

Besides the tness value, a second indicator is very important during the optimization process, which is used to characterize the proportion of the users that can be provided with a service. This value is called Grade of Service (GoS) and describes the ratio of served users over all existing users2 . In this thesis the GoS is dened as served existing

GoS =

(6.4)

In Equ. (6.4), served denotes the total number of served users in a dened area (e.g. the whole simulation area), and existing is the total number of simulated users in the same area. During the optimization process, GoS increases from its initial value of 95 % until it has reached 100 %. Then all users are served and the optimization algorithm cannot proceed any further. However, the network could accept more users. Thus, the dierent optimization algorithms developed in his thesis apply the following approach: When GoS reaches a value of 96 %, new users are added to the network until the initially dened GoS of 95 % is reached again. The calculation of the number of additional users is done within the network evaluation with the UMTS FDD network simulator described in Section 7.2. The
Note that some literature denes GoS as the probability of a call being blocked or delayed for more than a specied interval.
2

6.4. PERFORMANCE INDICATORS

75

service mix (40 % speech users and 60 % 64 kbit/s data users) after adding the additional users remains the same. For the big network scenario (see Section 7.4.1) the new users are only added in the optimization area (usergroups optarea1 and optarea2 ), and not in the whole network scenario. However, in the small scenario the additional users are added in the whole network. Remember, the optimization area in the small scenario covers the whole network scenario (see Section 7.4.2). In this thesis, the function for adding the additional users is referred to as Add Users.

6.4
6.4.1

Performance Indicators
Outaged Mobiles

The rst performance indicator that is used for the algorithms are the outaged users of a cell. A user is put to outage due to several reasons. These reasons are called the outaged reasons. In Chapter 4, a general description of the coverageand capacity-limiting factors, which reect the outage reasons, is given. The evaluation of a network scenario with the static UMTS FDD network simulator delivers the number of outaged mobiles per cell. The following list shows the used outaged reasons of the simulator: DL outage: DL cell power: If the total base station power is to high, the connection with the highest code power is closed. This is repeated until the base station transmit power is below the predened maximum value. The outage priority could also be on the existing SHO connections (not implemented in the used simulator). The latter criterion usually equals the former, since SHO connections in most cases have to be transmitted with higher power levels than active links. This is obvious, since SHO connections only occur at the cell border and they require higher DL code power levels as active connections. DL code power: If the required code power for a mobile is to high, this mobile is put to outage. OVSF code power limitation: In that case the number of connections has to be reduced. Similar to the procedure regarding the maximum base station power, the priority is on the connection with the highest power, but could also be on the SHO links.

76CHAPTER 6. FITNESS FUNCTION AND PERFORMANCE INDICATORS Ec /I0 requirement: The mobiles, which do not fulll the Ec /I0 requirements are put to outage. (Only in CPICH coverage verication mode 2, see Section 7.2.2.2) UL outage: UL power: If the required transmit power of the mobile exceeds the maximum transmit power, the connection will be closed. UL load: If the actual load exceeds the planning threshold (also called system design load ), the user with the highest transmit power will be put to outage. This procedure is repeated until the system load is below the predened maximum system load.

6.4.2

Quality Factor

To describe the quality of a cell in the network, a performance indicator denoted as quality factor (QF ) is introduced. The QF indicates whether a cell is heavily loaded or not, and it is the minimum of the following three values: 1. cell load f actor 2. cell pwr f actor 3. ovsf f actor The cell load f actor is a measure of the uplink cell loading condition and is dened as cell load f actor = load threshold cell load load threshold (6.5)

In Equ. (6.5), load threshold denotes the planned uplink cell load and cell load is the actual cell loading. The second value, cell pwr f actor, is a measure of base station transmit power utilization in the downlink and is dened as cell pwr f actor = max cell pwr cell tx pwr max cell pwr (6.6)

In Equ. (6.6), max cell pwr denotes the maximum transmit power of a cell and cell tx pwr represents the current total transmit power of that cell. The third value, ovsf f actor, is a measure of the OVSF code utilization in the downlink and is dened as

6.4. PERFORMANCE INDICATORS ovsf limit ovsf utilization ovsf limit

77

ovsf f actor =

(6.7)

In Equ. (6.7), ovsf limit is the maximum available number of OVSF codes, which is 512; ovsf utilization is the number of used OVSF codes. For example, a voice call occupies 2 codes, so 256 voice users can be served. If there are only 64 kbit/s data users 32 users can be served, because one 64 kbit/s data user occupies 16 codes. The range of each of these three factors is between zero and one. For the QF the minimum of these three values is taken and therefore the range of the QF is between zero and one. A low value for QF describes a heavily loaded cell, and a high value for QF describes a weakly loaded cell. Therefore, by using the QF as the performance indicator, CPICH power and antenna tilt settings can be adjusted adaptively according to the loading condition in the uplink and downlink of a cell.

6.4.3

Summary of Performance Indicators

In this chapter two performance indicators, the number of outaged mobiles as well as the quality factor QF were introduced. Nor for all algorithms, both indicators are used. Table 6.2 gives an overview which indicator is used for which algorithm. Algorithm Rule Based Approach Simulated Annealing Adaptive Rule Based Approach Genetic Algorithm Analytic Optimization Algorithm

Outaged mobiles

Quality factor QF

The analytic optimization algorithm uses dierent parameters as basis for the adjustment of the parameters, which are described in Section 8.4.

Table 6.2: Used performance indicators for the several algorithms.

78CHAPTER 6. FITNESS FUNCTION AND PERFORMANCE INDICATORS

Chapter 7 Simulation Environment

7.1 Introduction

For the evaluation of the dierent optimization techniques, the algorithms have to be evaluated on a network scenario. Furthermore, a network simulator is necessary to calculate the coverage and capacity relevant information. In this chapter the used static UMTS network simulator and the interaction with the optimization algorithms are described in Section 7.2 and Section 7.3. Further, the network scenarios, on which the dierent algorithms are evaluated, are presented in Section 7.4.

7.2

The Used UMTS FDD Simulator

For the evaluation of the network conguration in this thesis, a static UMTS FDD network simulator based on the Monte Carlo approach is used. This approach utilizes a sucient number of independent snapshots of potential user distributions with one xed network conguration. With this they allow the compilations of signicant statistics of the system performance parameters. In the static approach, each single snapshot corresponds to a network situation in equilibrium, which means that the physical layer procedures like power control are applied iteratively for each user in the system. With this we can combat the near-far problem of the real system and nd a stable system condition as it would be, if we have fast power control in real time. Due to the static scenario there is no need for a real time fast power control implementation. The Monte Carlo approach takes not only propagation conditions into account, but also the changes of the individual services, data rates, requirements, user 79

80

CHAPTER 7. SIMULATION ENVIRONMENT

positions and some other time-invariant parameters like SHO-gain. In the simplest case the dierent snapshots (realizations) in a run represent various user positions in the network area. For each realization (which are initialized at the beginning of each run) an iteration is done until a certain convergence criterion is fullled. This criterion can, as an example, be based on the variation of the TX power per iteration for all mobiles in the system. If the change request for the transmit power of a terminal between two consecutive iterations is below a certain threshold for, e.g. 95 % of all mobiles, convergence is attained. When this stable situation has been reached, the number of mobiles able to achieve their performance targets can be determined and a new realization can be computed. For a representative statistical evaluation it is important to perform sucient realizations of the investigated conguration. The principles of the Monte Carlo approach as well as a schematic owchart of a static simulator are shown in Figure 7.1.

Figure 7.1: Schematic principle of a static Monte Carlo simulator. Examples for the UMTS system simulations using the Monte Carlo method can be found in [30, 58, 62, 68, 81]. Proposals for the number of snapshots that have to be done are given in [5]. The simulator used in this work is provided by SYMENA, Software & Consulting

7.2. THE USED UMTS FDD SIMULATOR

81

GmbH, Austria (http://www.symena.com). Coverage, capacity, and quality of service related issues can be analyzed with this tool. Input to the simulator is the network conguration and the user distribution. Uplink and downlink are jointly analyzed, and the simulation results comprise coverage and capacity information, trac statistic, outage reasons for the unserved users, and soft handover (SHO) statistics.

7.2.1

Parameters of the Network Simulator

For the network simulator a lot of dierent parameters have to be dened. In the following the values of the main parameters are introduced. Appendix I summarizes all the network parameters. The simulator uses one carrier and one OVSF code tree. The maximum power of all cells in the network is set to 43 dBm, the maximum code power to 40 dBm and the minimum to 15 dBm. The P-CPICH power level (CPICH) is set to 33 dBm (10 % of the maximum cell power) in the reference scenario (initial value). Additionally, there are parameters for SCH and PCH power, which are both 5 dBm. However, these two parameters are only included in the interference calculation and have no other impact. Note that during the optimization process for the CPICH power, SCH and PCH are changed in the same way (see Section 5.3). The active set window is 3 dBm and the active set size is set to 2. The receiver of the base station utilize 3 rake ngers and use a maximum ratio combining eciency for uplink softer handover operations of 100 %. Appendix C presents a detailed description of the rake receiver. The transmitter loss is 0 dB and the base station noise gure 5 dB. Furthermore, there is the possibility to set the transmission power control (TPC) dynamic range and headroom of the downlink as well as for the uplink, which are 25 dB and 1 dB for the downlink as well as 65 dB and 2 dB for the uplink. In the network conventional antennas are used, with a height of 30 m in all cells. The base stations have 3 sectors using antenna type 739707 from Kathrein with an antenna gain of 16 dBi [64]. The horizontal and vertical antenna pattern are shown in Figure 5.2 and Figure 5.4. The vertical antenna pattern presents an electrical tilt of 3 . For the optimization of the antenna tilt only the mechanical tilt is changed. The initial mechanical tilt is set to 0 in the reference scenario. As parameters of the channel, the following values can be specied in the simulator: The background noise oor is set to -107 dBm, and as path loss model an improved COST 259 model for macro cells is used. A detailed description of the COST 259 model can be found in Appendix B. The large scale fading has zero mean and a standard deviation of 2 dBm. The maximum delay of the channel is 2 s and the total number of multipath components of the channel is set to 5.

82

CHAPTER 7. SIMULATION ENVIRONMENT

The inter-symbol interference of the channel destroys the orthogonality of the codes. This is described by the downlink orthogonality factor, which is 0 if the codes are perfectly orthogonal, and 1 if the codes are totally non-orthogonal. The downlink orthogonality factor is chosen to be 0.4. The standard deviation of the gaussian distribution of the azimuth angles of the channel taps (sigma azimuth of taps) is set to 5 . The adjacent cell interference ratio (ACIR) is 5 % and the inter system interference ratio is 5 % as well. These two parameters only describe an increase of the existing interference level in the system due to other carries or other systems like GSM. Further information about the several network parameter can be found in [68].

7.2.2

CPICH Coverage Verication Modes

For the optimization of a UMTS system the CPICH power level is very important (see Section 5.3 and Section 5.4). The level should be optimized very accurately to use the power resources of the base station eciently, to reduce the interference level, and nevertheless provide the required CPICH coverage in the system. Due to the importance of the CPICH coverage and to achieve the possible minimum of CPICH power level, it is mandatory to know how the simulator denes CPICH coverage when deriving CPICH optimization strategies. The UMTS network simulator CAP ESSOT M from SYMENA provides two modes for CPICH coverage verication: mode 1 with a xed threshold for CPICH coverage and mode 2, including the interference by a Ec /I0 threshold (for details see [68]). In the following both modes are explained in detail. 7.2.2.1 Mode 1

In the CPICH coverage verication mode 1, the CPICH coverage is dened by using the received power of the CPICH measured at the mobile station compared to a certain threshold for the lower limit, the receiver sensitivity. Expressed in Equ. (7.1) it is: RSCPCP ICH S (7.1)

In Equ. (7.1) RSCPCP ICH is the received signal code power of CPICH and S is the receiver sensitivity with a default value of -120 dBm. It is crucial to mention that the CPICH coverage verication mode 1 does not take any interference into account for the calculation of coverage. In this mode the CPICH coverage of a single cell would be the same with or without the presence of the total system.

7.3. SIMULATOR INTERFACE 7.2.2.2 Mode 2

83

The CPICH coverage verication mode 2 includes the interference level of the system in the calculation of CPICH coverage. In this mode, a mobile in the simulated scenario is covered by the CPICH if the EC /I0 for the received CPICH at the mobile station exceeds a certain threshold. This threshold is called CP ICH EC /I0 thres according to the 3GPP specication [2] and is set to -12 dB for the most of the simulations performed in this work. The mobiles, which dont fulll the Ec /I0 requirements are put to outage (see Section 6.4.1). In CAP ESSOT M the Ec /I0 threshold is set by the receiver sensitivity parameter. A receiver sensitivity of -120 dBm is equivalent to an EC /I0 threshold of -12 dB. Equ. (7.2) shows the relationship between EC /I0 threshold and the receiver sensitivity. CP ICH EC /I0 thres = S Pnoise (7.2)

In Equ. (7.2) S denotes the receiver sensitivity and Pnoise is the noise power at 20 C, which is -108.09 dBm. Also, the signal to noise ratio (SNR) is called CPICH EC /I0 although there is an important dierence, which will be explained in the following. In Equ. (7.3) the calculation in CAP ESSOT M for mode 2 is presented. RSCPCP ICH CP ICH Ec /I0 thres RSSI RSCPCP ICH

CP ICHEc /I0 =

(7.3)

In Equ. (7.3) RSCPCP ICH denotes the received signal code power of the CPICH as measured by the mobile and RSSI (received signal strength indicator) is the wideband received power within the relevant channel bandwidth in the downlink. The mentioned dierence is that in the 3GPP specication the CP ICHEc /I0 is the ratio of the received energy per PN chip for the CPICH to the total received power spectral density at the UE antenna connector as shown in Equ. (5.2) and Equ. (5.3), whereas in CAP ESSOT M the CP ICHEc /I0 is the real SNR.

7.3

Simulator Interface

The static UMTS network simulator CAP ESSOT M from SYMENA, Software & Consulting GmbH consists of two parts: the simulation engine and the graphical user interface (GUI). The GUI helps the operator to feed the simulation with the relevant data (user distribution, network conguration and parameters). Further, the GUI prepares the simulation results in tables, diagrams and plots for the

84

CHAPTER 7. SIMULATION ENVIRONMENT

operator. As interface between the simulation engine and the GUI, XML1 les are used, as shown in Figure 7.2.

Figure 7.2: Interface between network simulator and optimization algorithm.

Two les are used as interface: One, which includes all the input information for the simulator, in Figure 7.2 named as XML Input File. The second one, the XML Output File, is generated after the simulation is nished and comprises all the results for the GUI. The XML les are also used as interface for the optimization process. The optimization algorithm prepare the input le for the simulator and starts the simulation. After the simulation is nished the output le of the network analysis is read from the optimization algorithm for calculation of the tness function and GoS. Fig 7.2 shows this interface marked in blue.

7.4

Network Scenarios

For the evaluation of the several optimization algorithms two virtual network scenarios of a typical European city are used. In the rst scenario (bigger one) the network covers the whole area of the city. The second scenario contains only downtown. In the following both scenarios are described. The more interesting one is the bigger one. For the results present in Chapter 9 normally this one is used. Only if it is explicitly mentioned the small scenario is used.
XML: Extensible markup language. The next-generation of HTML, is now viewed as the standard way information will be exchanged that dont share common platforms (www.xml.org).
1

7.4. NETWORK SCENARIOS

85

7.4.1

Big Scenario

In the big network scenario 25 base stations equipped with 3-sector antennas, thus comprising 75 cells, are used. Figure 7.3 shows the distribution of the base stations as well as the distribution of the users. The arrows in the gure represent the main antenna direction of each cell, and the black dots symbolize the users in the system.

Figure 7.3: Base station location and one user distribution of the big network scenario. In this simulation scenario the area inside the rectangle is dened as the optimization area. This means that this region is the area of interest, and the tness function as well as the GoS is evaluated over this part. In the total simulation area the users are distributed equally in each cell according to the best server plot. The best server plot shows the regions of the dominance areas of the dierent cells due to the highest received CPICH power level. That means, all the pixels (one pixel is equivalent to 100 m 100 m) in the best server plot of the scenario with the highest received CPICH power level from one cell

86

CHAPTER 7. SIMULATION ENVIRONMENT

(so-called serving cell ) are dedicated to that cell and describe the best server area of that certain cell. The same number of mobiles are distributed in each of these areas. This kind of distribution is called Best Server Equal distribution in this thesis. It is also possible to use an equally distributed user model. In this model the users are equally distributed over a dened rectangular area. In this work this distribution model is called Equal distribution. For the simulation all the mobiles are assigned to four dierent user groups. It is possible to use Best Server Equaland Equaldistribution in each user group, as well as a certain service (voice or data). The big scenario uses four usergroups: usergroup1, usergroup2, optarea1 and optarea2. The rst two usergroups cover the whole scenario and so dene the service mix in the whole scenario. Usergroups optarea1 and optarea2 only cover the optimization area in the network and so dene the service mix in this area. For the results present in Chapter 9 normally the Best Server Equaldistribution is used in all usergroups. In the scenario a service mix of 40 % 12.2 kbit/s speech users and 60 % two-way 64 kbit/s data users is assumed with an activity factor of 50 % when using speech service and 100 % when using PS data service. The initial number of users in the whole network is 1057. Additional users during the optimization process are admitted in optarea1 and optarea2 by the Add Users function (see Section 6.3). For the variation of the positions of the mobiles in the scenario (generate dierent snapshots, see Figure 7.1 in Section 7.2), the initialization value of the random generator for the dierent usergroups can be changed by a parameter, which is called rand init. In the simulator also some parameters of the mobile stations can be dened and accordingly varied. The maximum transmit power of the mobile station is set to 21 dBm. The mobiles have an antenna gain of 0 dB, and the body loss as well as the receiver noise gure are set to 0 dB. The threshold down to which the received CPICH power level is considered for the interference calculations is -126 dBm, and the receiver sensitivity S of the mobiles is -120 dBm. Since the receiver sensitivity denes the CPICH coverage, S can also reach other values (see Section 7.2.2).

7.4.2

Small Scenario

The second scenario, which is used for some investigations in this work represents the downtown of the European city used for the big network scenario. This scenario is equivalent to the optimization area of the scenario described in the former section. In the small network scenario 9 base stations equipped with 3-sector antennas, thus comprising 27 cells, are used. Figure 7.4 shows the distribution of the base

7.4. NETWORK SCENARIOS stations as well as one distribution of the users.

87

Figure 7.4: Base station location and one user distribution of the small network scenario.

In this scenario the optimization area comprise the whole network. Two usergroups are used: usergroup1 and optarea1. These usergroups cover the whole area. The Best Server Equaldistribution with only two-way 64 kbit/s data users is used in both usergroups. The initial number of users in the network is 376. The other parameters are the same like in the other scenario. Note that additional users are only admitted in optarea1 by the Add Users function (see Section 6.3).

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CHAPTER 7. SIMULATION ENVIRONMENT

Chapter 8 Optimization Algorithms

8.1 Introduction

In this main chapter of the thesis the developed optimization algorithms are presented. Altogether ve dierent strategies for the optimization of antenna tilt (see Section 5.2.2) and CPICH power (see Section 5.3) were developed. First, the optimization with local algorithms was studied and consequentially a Rule Based Approach algorithm, a Simulated Annealing algorithm and an Adpative Rule Based Approach algorithm originated. Further, a Genetic Algorithm approach was implemented and studied in more detail. The disadvantage of all the local and especially the genetic approach is that they are very time consuming. So, also an analytic algorithm was developed with the objective to use as few steps as possible in contrast to the other strategies. This algorithm optimizes also antenna azimuth besides antenna tilt and CPICH power (see Section 5.2.1). The following list summarizes all developed approaches: Local Optimization Algorithms: Rule Based Approach Simulated Annealing Adaptive Rule Based Approach Genetic Algorithm Analytic Optimization Algorithm The Adaptive Rule Based Approach and the Analytic Optimization Algorithm were developed and studied within the scope of the diploma these of Yee Yang 89

90

CHAPTER 8. OPTIMIZATION ALGORITHMS

Chong and Wolfgang Karner under supervision of the author. In this PhD thesis only a brief summary of the approaches as well as some optimization results for comparison with the other algorithms are given. For a detailed description as well as further simulation results see [23, 63].

8.2

Local Optimization Algorithms

In the case of the local algorithms, the optimization of the base station parameters CPICH power and antenna tilt begins with an initial evaluation of the network. After analyzing the results of the rst evaluation, the iterative optimization process is started. Each optimization loop includes two steps. After changing the parameters in the rst step, the network is evaluated in the second step. Then, the next iteration of the optimization loop is started and the parameters are changed again. The optimization runs until a specic termination condition is fullled. Figure 8.1 shows the ow chart of the optimization process.

Figure 8.1: Structure of local optimization process.

For the three dierent local approaches this optimization process is always the same. The dierence lies in the block Change parameters. Further, the decision, which results (test solutions) are accepted and which are not is dierent for the strategies. In the three Sections 8.2.1, 8.2.2 and 8.2.3 the individual approaches are explained and the dierences are worked out.

8.2. LOCAL OPTIMIZATION ALGORITHMS

91

8.2.1

Rule Based Approach

The algorithm is a rule based optimization approach. It starts from a scenario where all cells of the network are set to the identical initial values for CPICH power and tilt. After a rst evaluation, the optimization starts by reducing the CPICH power and increasing the antenna downtilt in individual cells according to a congurable rule set. After each optimization step, a new evaluation of the tness function is perfomed. The algorithm of the Rule Based Approach is illustrated in Figure 8.2, which reects the optimization process from Figure 8.1. Break denotes the termination condition. Procedure RuleBased() begin X := initial parameters f it := evaluation(X) while != break X := change parameters(X) f it := evaluation(X) if (f it > f it) X := X f it := f it end end end Figure 8.2: Rule Based Optimization Algorithm.

The crucial part of the algorithm is the function change paramters(x) (see Figure 8.2). This function processes a rule set like the one depicted in Table 8.1 and is executed for each cell with outaged mobiles (see Section 6.4.1). The parameters of the table describe the following: param species the modied parameter; delta denotes the amount of change; limit describes the lower or upper limit of the parameter, and iter species how often the rule is applied at most. When the optimization process is launched, the algorithm starts with the rst rule of the rule set. In each iteration only one rule is applied. According to Table 8.1, we can see that after the rst 5 optimization loops the algorithm continues with rule number 2 and so on. During one rule also worse results are accepted. When advancing to the next rule, however, the best result of the previous one is taken. The algorithm terminates, when all rules of the rule set have been processed. In Appendix D the standard rule set, which is used in Chapter 9, is presented.

92 rule 1 2 3 4 5 6

CHAPTER 8. OPTIMIZATION ALGORITHMS param CPICH tilt CPICH tilt CPICH tilt delta -5 dB 5 -3 dB 3

limit 28 dBm 5 28 dBm 8

iter 5 5 10 10 10 10

-1 dB 1

28 dBm 10

Table 8.1: Example rule set for Rule Based Optimization Algorithm.

8.2.2

Simulated Annealing

Subsequently the Rule Based Approach was extended and improved by incorporating Simulated Annealing [9]. The decision to accept a bad result is in contrast to the Rule Based Approach independent of the rule set. After an optimization loop worse results can be taken, but only with a certain probability. This probability corresponds to a cooling function (CF). The exponential CF is analogous to the physical process of heating and then slowly cooling steel to obtain a crystalline structure with minimum entropy. In the beginning of the optimization the probability to take a bad result is higher. During the optimization the probability to accept a worse result than the previous one decreases according to the CF. Section 3.3 gives an detailed overview about Simulated Annealing. Concerning the implementation, the main dierence to the Rule Based Approach is shown as bold text in Figure 8.3. The variable rand denotes a uniformly distributed random value between 0 and 1. CF is the cooling function of the Simulated Annealing algorithm. In this algorithm the same decisions for changing CPICH power and antenna tilt settings are used. So, a rule is executed in each cell with outaged mobiles. However, the number of outaged mobiles as well as the outage reason do not inuence the decision. The same type of rule set (see Table 8.1) as in the Rule Based Approach is used for Simulated Annealing in the function change paramters(x). For the Simulated Annealing algorithm the rule set was improved by including additional rules with smaller values for delta. Appendix E presents two developed rule sets (see Table E.1 and Table E.2), which were applied for the optimization results in Chapter 9. Again, the basic tness function from Equ. (6.1) is used. The implementation of Simulated Annealing in this thesis uses only the rule set for nding a new parameter setting and not the Simulated Annealing mechanism. So, like in the Rule Based Approach it is only possible to decrease the CPICH power

8.2. LOCAL OPTIMIZATION ALGORITHMS Procedure RuleBased() begin X := initial parameters f it := evaluation(X) while != break X := change parameters(X) f it := evaluation(X) if (f it > f it) or (rand < CF ) X := X f it := f it end end end

93

Figure 8.3: Extension of Rule Based Optimization algorithm to Simulated Annealing. and increase the antenna downtilt. The idea was to use Simulated Annealing for accepting also bad results with a certain probability. In the algorithm two dierent functions for the cooling temperature TC are implemented. On the one hand Geometric Cooling according to [9] is implemented with the following function: TC,N EW = TC (8.1)

In Equ. (8.1) denotes a parameter of the function. On the other hand also Slow Cooling is implemented according the following function: TC,N EW = TC 1 + TC (8.2)

In Equ. (8.2) denotes a parameter of the function. In Chapter 9 both cooling functions for the cooling temperature TC are used for optimization. For the cooling function the following equation is used: CF = e
GoSGoSOLD TC

(8.3)

In Equ. (8.3), GoS denotes the actual GoS and GoSOLD represents the GoS of the previous iteration. On the one hand, CF depends on the cooling temperature TC . On the other hand, it also depends on the change of the GoS. Thus, for

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CHAPTER 8. OPTIMIZATION ALGORITHMS

big dierences in GoS (if the result is worse than before), the value of CF, and thus the probability to take the new result is lower. If the random value rand is smaller than the CF the optimization result is taken (see Figure 8.3). If a result is not accepted, the previous result is modied again according the same rule. However, only in half of the cells the parameter (CPICH power or antenna tilt) is changed. For this, the cells are sorted by the number of outaged mobiles with the most outaged mobiles rst. If in the last iteration only in one cell the parameter was changed, then the algorithm processes with the next rule and changes the parameter again in all cells with outaged mobiles.

8.2.3

Adaptive Rule Based Approach

In this section the developed Adaptive Rule Based Approach is described. This optimization algorithm is an extension of the Rule Based Approach introduced in Section 8.2.1. The parameters are changed according to an adaptive optimization technique, described in the following. Figure 8.1 shows the basic optimization process. This algorithm diers from the previous two described algorithms (Section 8.2.1 and Section 8.2.2) that now CPICH power and antenna tilt are changed together. Further, an increase of CPICH power and antenna uptilting is also possible. Remember, the Rule Based Approach and Simulated Annealing were only able to change the parameters in one direction (reduce CPICH power and reduce antenna downtilt).

8.2.3.1

Why Adjust CPICH Power and Antenna Tilt Together?

In this section the idea, why CPICH power and antenna tilt are adjusted together, is explained considering an example. Figure 8.4 shows this example. In the rst picture (Figure 8.4 (a)) two mobiles are shown. Both are served by base station BS 1. The goal is to achieve a load balancing in a way that one mobile is served by BS 1 and the other by BS 2. This aim can be reached with three dierent strategies. The rst strategy decreases the CPICH power of BS 1. Figure 8.4 (b) shows this situation. Now, each base station serves one mobile, but with the disadvantage that BS 1 causes inter-cell interference to the cell of BS 2. In the second strategy the antenna downtilt of BS 1 is increased to shrink the coverage area of the cell (Figure 8.4 (c)). However, the CPICH power is to high for the smaller cell and so aects pilot pollution to the adjacent cell. Further, the

8.2. LOCAL OPTIMIZATION ALGORITHMS

95

Figure 8.4: Why adjust CPICH power and antenna tilt together?

96

CHAPTER 8. OPTIMIZATION ALGORITHMS

excessive CPICH power causes a waste of base station power resources, because the total transmit power is limited. The last strategy, which is the basis for the Adaptive Rule Based Approach, combines the previous ones and changes CPICH power and antenna tilt together. So, no additional inter-cell interference and pilot pollution is produced like in strategy one and two. This combined strategy is shown in Figure 8.4 (d).

8.2.3.2

Algorithm Description

In each iteration of the optimization loop (see Figure 8.1) the quality factor QF (see Section 6.4.2) is computed for each cell. CPICH power and antenna tilt are changed according to the developed rules, as shown in Table 8.2. QF QF < 0.5 0.5 QF 0.7 QF > 0.7 CPICH power and antenna tilt change Decrease CPICH power and tilt antenna down No change Increase CPICH power and tilt antenna up

Table 8.2: CPICH power and antenna tilt adjustment. The rules are designed in such a way that a highly loaded cell (QF < 0.5) having outage users is required to shrink its coverage area by decreasing the CPICH power and increasing the antenna downtilt. Conversely, if the cell has a low user density (QF > 0.7), it has to expand its coverage area to cover more users by increasing the CPICH power and antenna uptilt 1 . With this approach, load balancing within the cells in a network can be achieved, resulting in higher network capacity. CPICH power and antenna tilt modications are controlled by a set of rules with dierent stepsize and limitation settings, as shown in Table 8.3. In principle the same type of rule set is used as for the Rule Based Approach, however with the important dierence that now one rule consists of two instructions: one instruction for the CPICH power and one instruction for the antenna tilt. In Table 8.3 param species the modied parameter; stepsize denotes the maximum allowed adjustment of CPICH power and antenna tilt settings per iteration; limit describes the lower or upper limit of the parameter, and iter species how often the rule can be applied at most.
Numerous simulations with dierent values for the limits of QF from Table 8.2 show that 0.5 and 0.7 achieves the best results.
1

8.2. LOCAL OPTIMIZATION ALGORITHMS rule 1 2 param CPICH tilt CPICH tilt stepsize 3 dB 1.5 0.5 dB 0.25

97 iter 50 50

limit 25 dBm 4 10 dBm 7

Table 8.3: Example of CPICH power and antenna tilt limitation & stepsize settings. When the QF of a cell is greater than 0.7, both its CPICH power and antenna up tilt will be increased by stepsize QF 0.7 . 0.3 (8.4)

On the other hand, if the cells QF is less than 0.5, the CPICH power will be reduced and antenna down tilt will be increased by stepsize (1 QF ). (8.5)

Consequently, the adjustments of CPICH power and antenna tilt depend on the cells actual QF . With this strategy, CPICH power and antenna tilt are adjusted adaptively according to the loading condition of a cell. The modication of antenna down tilt and CPICH power has to be limited (lower limit for CPICH power and upper limit for antenna down tilt) in each rule by the parameter limit in order to avoid too big changes in a particular cell (see Table 8.3). There are no limitations set for the maximum CPICH power and maximum antenna up tilt, so that larger service coverage area is allowed in regions where the user density is low. Furthermore, the developed algorithm is biased toward reducing the initial CPICH power and increasing the antenna down tilt. When the optimization process is launched, the algorithm starts with the rst rule of the used rule set (e.g. from Table 8.3). For each rule several iterations are performed. According to Table 8.3, we can see that in this case the algorithm continues with rule number 2 after the rst 50 iterations. If the GoS after one iteration within one rule is lower than 95 percent and lower than the GoS from the previous iteration, the new result is not accepted. In this case, the same iteration is processed again, but only in two third of the previously modied cells (priority according QF ) the CPICH power and tilt settings are

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changed (Cell Reduction). The algorithm terminates, when either all rules of the rule set have been processed, or if the QF in all the cells is between 0.5 and 0.7 (see Table 8.2). This means, the network is balanced or the algorithm cannot process further, due to the limits for CPICH power and tilt. A detailed owchart of the optimization loop is shown in Figure 8.5.

Figure 8.5: Detailed owchart of Adaptive Rule Based Approach. The owchart in Figure 8.5 shows that after the network evaluation with CAP ESSOT M the GoS is used as tness function. The goal of the optimization is to maximize the capacity of the network, and so the number of served users has to be con-

8.3. GENETIC ALGORITHM

99

sidered, like in the basic tness function in Equ. 6.1. Since the GoS (Equ. 6.4) includes the number of served users in the enumerator, also this performance indicator is utilizable as tness function. Appendix F presents four developed rule sets for the Adaptive Rule Based Approach (see Table F.1, Table F.2, Table F.3 and Table F.4), which were applied for the optimization results in Chapter 9.

8.3

Genetic Algorithm

After the development of dierent local optimization algorithms also a global approach was implemented. The theoretical basics of global optimization are described in Section 3.5. The most popular representative of this family of optimization techniques are Genetic Algorithms. Section 3.5.1 gives a general overview of this technique. In this section, my developed genetic approach, which is especially adapted for the optimization of network parameters for the UMTS system, is described. For the algorithm I use a deterministic tness proportional selection, a problem specic recombination operator (altogether 3 dierent versions were developed) and an improved mutation operator. In addition, a simple local optimization based on the Rule Based Approach from Section 8.2.1 is implemented, which is applied to the best individuals to improve their tness. Finally, a parallel implementation is introduced to distribute the individual network evaluations of the population on several computers with a master/slave concept. For the implementation of the Genetic Algorithm an XML le is used as initialization le for the specication of the most important parameters. Appendix G shows this le.

8.3.1

Representation

For the Genetic Algorithm a suitable representation of the parameters CPICH power and antenna tilt is needed. In Figure 8.6 the used coding is shown.

Figure 8.6: Representation of individuals for capacity optimization. Each individual of the population consists of 2n genes, where n is the number of cells. For one cell, one gene is used for the CPICH power and one for the antenna

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tilt. The search space for the algorithm is set in the following way: The range for the CPICH values is from 15 to 38 dBm with a resolution of 0.5 dB; The values for the antenna downtilt are limited by 2 and 10 . The resolution of the tilt is set to 0.5 . The element <limit> species the search space in the initialization le (Appendix G).

8.3.2

Algorithm

In this subsection the optimization process as well as the used genetic operators are described in more detail. Newly developed operators are used to incorporate knowledge about the quality of the cells in the network. In Figure 8.7, the owchart of the implemented algorithm is shown. The algorithm starts with the initialization of all individuals of the population. Section 8.3.2.1 describes this initialization of the population. After the initial phase, the whole population is evaluated with the static UMTS FDD network simulator. The tness function g(i) as well the GoS are calculated for all the individuals (i = 0, 1, ..., n)2 . For the tness evaluation the extended tness function from Equ. 6.2 in Section 6.2.2 is used. In the next step the GoS of the best individual, i.e. the individual with the highest tness value, is compared to the limit3 of 96 %. If the GoS is higher than this threshold, additional users are added in the simulation (Add Users)4 , and the whole population has to be reevaluated again to get the new values for g(i) and GoS. After this preprocessing of the population, the optimization process is started. In my genetic approach I have implemented selection, recombination and mutation. With the selection operator, the individuals for the new population are selected. Of some individuals multiple copies can be selected, and some other individuals will be not selected at all, according to the implemented selection method. After the selection process, the individuals (parents) are recombined to create new individuals (children). The last genetic operator randomly mutates genes of the individuals with a certain probability. When the evolution process of one population is nished, the whole population has to be evaluated again to get the new values for g(i) and GoS of the individuals. With the best individuals of the population a local optimization step is performed to improve the performance of the Genetic Algorithm. After the local step the GoS of the best individual is compared to the threshold of 96 %. If the GoS is higher, then additional users are added and the population is reevaluated. In
The variable n denotes the size of the population. This threshold is specied in the initialization le by the attribute add gos in the element <ga> (Appendix G). 4 See Section 6.3 for details.
3 2

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101

Figure 8.7: Flowchart of Genetic Algorithm approach.

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the next iteration, the evolution process is repeated. The Genetic Algorithm stops, if a certain termination condition is fullled, e.g. after a certain number of iterations.

8.3.2.1

Initial Population

For all the individuals of the population the initial values for CPICH power and antenna tilt are chosen randomly, but with the same CPICH power and antenna tilt values for all cells. The values for the CPICH power are chosen within 15 and 38 dBm with a resolution of 1 dB. The initial values for the antenna tilt are selected within 2 and 10 with a resolution of 1 . However, not all individuals are initialized randomly. The rst 12 individuals of the population are set to xed predened values. The element <init> of the initialization le (Appendix G) denes the setting. For each of these 12 individuals one value for CPICH power and one value for the antenna tilt is dened. So, each cell of the network has the same CPICH power and antenna tilt value. The background of this initialization is that the search space is covered by the start population as good as possible.

8.3.2.2

Selection

Deterministic Fitness Proportional Selection The selection of the individuals for the new population is implemented as a deterministic tness proportional selection, because trials of several other methods (roulette wheel selection, tournament selection,...)5 have indicated that this method ts best for the problem of UMTS base station parameter optimization. The tness values g(i) of the individuals are scaled to get suitable tness values f (i) for the selection process. I use a linear scaling function, presented in Equ. (8.6).

f (i) = a g(i) b

(8.6)

with a =
5

Cm g g gmax g

and b = a g g

(8.7)

In [76, 77, 92] all the selection methods are explained in detail.

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103

In Equ. (8.7), Cm denotes the selection pressure 6 , which describes how much the algorithm favors good individuals compared to bad individuals. The mean value over all g(i) is denoted as g in Equ. (8.7), and gmax is the highest tness that occurs in the population. My implementation of the tness proportional selection works as follows: First, the best individual since the last function call of Add User is selected to guarantee that the best solution cannot get lost. This method is called elitism 7 in literature [76, 92]. Next, the expected number of descendants for each individual is calculated with the following equation: f (i) n f (j)

e(i) =

n j=1

(8.8)

In Equ. (8.8), n denotes the size of the population. From each individual e(i) 8 descendants are produced. To complete the population, the best individual of the last population is repeatedly selected, until n individuals are in the new population.

Tournament Selection As mentioned before, also other selection methods were tested. For the sake of completeness also tournament selection is explained in the following. With this selection method also good results were achieved during the algorithm development process. First, the implemented tournament selection method selects the best individual of the old population (elitism). Afterwards, k randomly chosen (equal distributed) individuals are selected. The individual with the highest tness value of this selected sub-population is taken over in the new population. This selection procedure is repeated until n individuals are admitted in the new population. The factor k controls the selection pressure. A higher value of k corresponds to a high selection pressure and vice versa. The value for k depends on the optimization problem. In the case of the considered problem in this thesis, it has been shown that good values for k lies between 2 and 10 % of the population size.
The selection pressure is specied in the initialization le by the attribute cm in the element <ga> (Appendix G). Good values of Cm for the base station parameter optimization problem are between 3.5 and 6. 7 Elitism: Independent of the selection function the best k individuals are taken into the new population to guarantee a monotonic increase of the tness. 8 The operator denotes the oor function.
6

104 8.3.2.3 Recombination

CHAPTER 8. OPTIMIZATION ALGORITHMS

Altogether 3 dierent recombination operators were developed. These 3 operators are called: Recombinate outage Recombinate basic Recombinate average In the following all 3 recombination operators are described. Recombinate outage My rst implemented recombination operator takes the quality of the cells into account. To describe the quality of a cell the quality factor (QF ), introduced in Section 6.4.2, is used as performance indicator. The algorithm selects n times randomly two individuals (referred to as parent 1 and parent 2 ) from the population and produces a new child with a recombination probability pc . The recombination operator is shown in Figure 8.8.

Figure 8.8: Recombination operator.

For each cell in the network the number of outaged mobiles and the QF between the two individuals are compared. If the number of outaged mobiles of parent 2 is smaller than that of parent 1 and the QF of parent 2 is better for this cell, then the corresponding genes for this cell are taken from parent 2 for the new child, otherwise the two genes for CPICH power and antenna tilt are taken from parent 1. If the algorithm decides not to produce a child by recombination (with

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105

a probability of (1 pc )), then the rst selected parent is taken unchanged. After Recombinate outage, the population again has a size of n individuals, consisting only of the children produced by the recombination. During the development of the Genetic Algorithm this recombination operator showed the best performance. So, for the results, which are presented in Chapter 9, only the Recombinate outage operator is used.

Recombinate basic In contrast to the previous recombination operator, the Recombinate basic operator selects n/2 times randomly two individuals from the population (parent 1 and parent 2 ) and produces two new children (referred to as child 1 and child 2 ) with a recombination probability pc . First, parent 1 bequeaths all his genes to child 1 and parent 2 bequeaths all his genes to child 2. So, child 1 and child 2 have the same parameter setting for CPICH power and tilt like parent 1 and parent 2, respectively. Then, for each cell in the network the number of outaged mobiles and the QF between the two children are compared. If the number of outaged mobiles of child 2 is smaller than that of child 1 and the QF of child 2 is better for this cell, then the corresponding genes for this cell are exchanged between the children, otherwise the genes are not exchanged. If the algorithm decides not to produce children by recombination (with a probability of (1 pc )), then the selected parents are taken unchanged in the population. After Recombinate basic, the population again has a size of n individuals, consisting only of the children produced by the recombination.

Recombinate average The last version of the recombination operator doesnt take any performance indicator into account. Hence, this operator performs worst of all 3 procedures. For the sake of completeness also this recombination version is explained in this thesis. The Recombinate average algorithm selects n times randomly two individuals (referred to as parent 1 and parent 2 ) from the population and produces a new child with a recombination probability pc . For each cell in the network the average of the parents CPICH power and antenna tilt setting is calculated and taken as new setting for the new child. Equ. 8.9 and Equ. 8.10 show the calculation of the average values.

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CP ICHchild =

CP ICHparent 1 + CP ICHparent 2 2 tiltparent 1 + tiltparent 2 2

(8.9)

tiltchild =

(8.10)

If the algorithm decides not to produce a child by recombination (with a probability of (1 pc )), then the rst selected parent is taken over unchanged in the new population. After Recombinate average, the population again has a size of n individuals.

8.3.2.4

Mutation

The mutation operator is performed with each individual of the population. The algorithm decides for each gene of the individual with a mutation probability pm whether the value of the gene will be mutated or not (for CPICH power and antenna tilt separately). In Figure 8.9, the mutation for one cell is shown.

Figure 8.9: Mutation operator.

Parameters are changed from their old value xold to their new value xnew according to the following rule: xold x xnew xold + x

(8.11)

The value for x in Equ. (8.11) is set to 0.5 for CPICH power and antenna tilt, respectively. From this interval the value xnew is randomly chosen with a resolution of 0.5. So, three solutions are possible: xnew = xold x, xnew = xold or xnew = xold + x. If xnew lies outside the search space, then the corresponding limiting value is taken.

8.3. GENETIC ALGORITHM 8.3.2.5 Local Optimization

107

After the evolution process, a local optimization with the best local num individuals is carried out. The owchart of the local optimization is shown in Figure 8.10. First, the best local num individuals are selected. For each of these individuals, local iter local optimization iterations are performed. These parameters are specied in the initialization le by the attributes local num and local iter in the element <ga> (Appendix G). Each iteration includes two steps. In the rst step, the parameters are changed according to the quality of the cells in the network. The rules for changing the parameters are based on the Rule Based Approach from Section 8.2.1, with the extension that the parameters can be changed in both directions. In the second step, the individuals are evaluated. If the tness value for the new parameter setting of the individual is better than the old one, then this setting is taken, otherwise the old parameter setting is retained.

Figure 8.10: Detailed owchart of local optimization.

I use two rules for the local optimization, the rst rule (rule 1 ) to shrink a cell in the network and the second rule (rule 2 ) to enlarge a cell. In each local iteration for each individual, a random value decides, whether rule 1 or 2 is used. If rule 1

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is selected, then for each cell is checked, if there are outaged mobiles and if QF is bad (QF < 0.1). If this is the case, the CPICH power is decreased by 0.5 dB and the antenna downtilt is increased by 0.5 in this cell, both with a probability of 0.7. In the case of rule 2, in cells without outaged mobiles and with a good QF (QF > 0.1), the CPICH power is increased by 0.5 dB and the antenna downtilt is decreased by 0.5 , both with a probability of 0.5. 8.3.2.6 Adding Users as New Impulse

During the optimization process with the Genetic Algorithm sometimes for several generations no better results are found. The mathematical meaning of this is that the algorithm gets stuck in a local optimum. This especially occurs near the end of the optimization. So, to counteract this phenomenon, the idea is to give the algorithm a new impulse to nd a better result. This new impulse is given by admitting new users by the Add Users function. Normally, the function is called, if the GoS of the best solution in the population reaches a value of 96 %. Then, so many additional users are admitted to the system that the best solution has approximately a GoS of 95 %. In the initialization le it is possible to congure the algorithm in that way that before the GoS reaches a value of 96 % the Add Users function will be called. The attribute add ever of the element <ga> (Appendix G) species the number of generations, after that at the latest the function is called. This means, if add ever is set to a value of 20, at the latest after 20 generations new users area admitted to the system. Also, if the GoS of the best individual of the population is lower than 96 %. With this additional impulse the algorithm is led in a new direction and shows altogether better results. 8.3.2.7 Reduced Population Size

A second idea to give a new impulse during the optimization with the Genetic Algorithm is to increase the selection pressure Cm after a certain number of populations. This can be done either by increasing the value of Cm , or by reducing the size of the population. The idea of this strategy is that rst the algorithm searches in a broader view and also tracks solutions with a not so good tness value. After the selection pressure is increased, the algorithm focuses more on the better solutions and so increases the convergence behavior of the algorithm. In my algorithm I implemented the following approach: In the initialization le two attributes (reduce iter and min pop size) of the element <ga> congure

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109

the increase of the selection pressure (Appendix G). After reduce iter generations the size of the population is halved. This means that the population is sorted by the individuals tness value, and only the rst half is consider furthermore. The lower limit of individuals in one population is specied by the attribute min pop size. So, the selection pressure Cm is increased9 after each reduce iter generations. This means that for example, if the Genetic Algorithm starts with a population size of 200 individuals and reduce iter is set to 100, after 100 generations the size of the population is 100, after 200 generations there are only 50 individuals in the population and so on. If the size of the population reaches the lower limit min pop size, then number of individuals arent reduced furthermore. Simulations have shown that this approach only brings a very small increase of the performance of the Genetic Algorithm. So, this feature is not implemented for the simulation results presented in Chapter 9. 8.3.2.8 Implementation for Distributed Computing

Genetic Algorithms are well suited for a parallel implementation. The big advantage of a parallel implementation is that several computers share the work and so save computation time. If we look at the ow chart of the genetic approach (see Figure 8.7), we see that in the block Evaluation for each individual one network evaluation is performed. This means that altogether n times the simulation engine (see Figure 7.2 in Section 7.3) will be started. Normally, the network evaluations are done in serial processing on one computer. For Genetic Algorithms dierent methods are known for an implementation with several processors. The following list gives an overview of the methods. A description of the individual approaches can be found in [79, 92]. Synchrony master/slave model : A master is responsible for population management, selection, recombination, mutation, etc. For the evaluation of the tness function, the new individuals are sent to several slaves. When all slaves have done their work, the master starts with the next generation. Disadvantages: Master has to wait until all processors have nished their network evaluations Total breakdown, if master has a malfunction High communication eort
Note, that a reduction of 50 % of the individuals does not mean an increase in the selection pressure of 50 %.
9

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Semi-synchrony master/slave model : Works like a steady state algorithm 10 . The master feeds a slave with a new individual promptly after nishing an evaluation. Asynchrony master/slave model : Each processor has its own Genetic Algorithm, but they use one population together. Parallel island model : Such algorithms assume that several sub-populations evolve in parallel. The model includes a concept of migration (movement of an individual from one sub-population to another) and recombination between individuals from dierent sub-populations. This concept is discussed in detail in [21, 51]. In my Genetic Algorithm I use a synchrony master/slave model for a parallel implementation. This concept has some disadvantages and other concepts are much better. However, it is used because a server/client program with this concept was provided by SYMENA, Software & Consulting GmbH. Figure 8.11 shows the topology of the system.

Figure 8.11: Distributed Computing.

On one processor the Genetic Algorithm is running together with a Distributed Client Scheduler. This scheduler is responsible for the communication with the clients (slaves). The Genetic Algorithm prepares the n XML input les (see
A steady state GA produces only one new individual per generation and this new individual replaces one of the current population.
10

8.3. GENETIC ALGORITHM

111

Section 7.3) for the individuals of the current population and initiates the scheduler to distribute the les to the clients. Figure 8.12 shows a screen-shot of the Distributed Client Scheduler.

Figure 8.12: Distributed Client Scheduler.

The clients are running on other processors in the background. It is possible to connect up to 8 processors at the same time with the scheduler. When a client receives an input le, it starts the network evaluation and when it is nished, the XML output le is send back to the scheduler. Figure 8.13 shows a screen-shot of a client.

Figure 8.13: Client.

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So, the clients evaluate the whole population. After nishing the evaluation of the last individual the Distributed Client Scheduler nishes its job with preparing all the XML output les for the Genetic Algorithm. With this approach a speedup in execution time can be achieved with a minimum of 3 clients. If only 2 clients are used, the TCP/IP overhead of the network compensates the advantage of more processors. If 8 clients are used at the same time a speedup of about 600 % is achieved. This is very important for the evaluation of big network scenarios, where the evaluation of one single parameter setting takes a long time. Note, that this parallel implemention only speeds up the runtime of the algorithm, but it doesnt inuence the process of the optimization nor the result.

8.3.3

Summary of Genetic Algorithm

During the development process several settings were tried for the parameters of the Genetic Algorithm. Table 8.4 shows the best setting. With this setting the highest increase was achieved for both scenarios (see Section 7.4). I use a population size of 400 individuals with a selection pressure Cm of 5. With this high value for Cm , I facilitate the production of so-called super-individuals to shorten the runtime of the algorithm, thus accepting a reduced solution diversity in the population. The algorithm stops after 350 iterations. This is equivalent to 150 000 network evaluations. On a Pentium IV with a clock rate of 2.0 GHz and 512 MB main memory, my Genetic Algorithm requires about 64 hours runtime without distributed computing. If the parallel implementation with 8 clients is used, the same algorithm takes only about 10 hours runtime. Normally, the settings from Table 8.4 are used for the simulation results presented in Chapter 9. In cases, where a dierent setting is used for the algorithm, the alternative setting is explicitly stated.

8.4

Analytic Optimization Algorithm

In this section ad hoc strategies for the adjustment of the three key optimization parameters antenna azimuth, antenna downtilt and CPICH power are described, which were developed during a diploma thesis by Wolfgang Karner. Ad hoc in this context means to reach the result only by considering the structure of the UMTS network, for example the position of the base stations to each other, the height of the antennas, the height prole of the terrain, or the maximum transmit power of the base stations. The objective of these strategies is to use as few steps as possible in contrast to the step by step optimization strategies from

8.4. ANALYTIC OPTIMIZATION ALGORITHM Population size Selection pressure Probability Recombination Probability Mutation Local Optimization: Number of individuals Number of iterations Area of search space: CPICH power Antenna downtilt Resolution Termination condition 15 dBm 38 dBm 2 10 0.5 dBm and 0.5 after 350 iterations local num = 20 local iter = 2 n = 400 Cm = 5 pc = 0.8 pm = 0.1

113

Table 8.4: Best setting of optimization parameters for GA. Section 8.2 and Section 8.3, therefore needing as few network evaluations with CAP ESSOT M as possible. The following sections give a brief description of the developed strategies for the three parameters. The full description is presented in [63].

8.4.1

Azimuth Adjustment Strategy

The azimuth adjustment strategy is based on studying the optimum solution for the regular hexagonal layout. The optimum azimuth setting for the regular case was discussed in several papers (e.g. [80]). Figure 8.14 shows the best and the worst case for a scenario with 19 base stations equipped with 3-sector antennas. According to [80], an improper direction of sector antennas in a regular hexagonal layout can cause a capacity degradation exceeding even 20 % and requires an increase of base station transmit power in the range from 3 to 6 dB. The eect of these directions in a regular hexagonal grid can be seen in Figure 8.15a for the worst case and in Figure 8.15b for the best case, where the pathgain is presented in an area of 5000 times 5000 meters with 19 base stations equipped with 3-sector antennas. The plots in Figure 8.15 are produced by a downlink static UMTS FDD simulator, described in [16]. If the transmitted CPICH power level is added to the pathgain in the diagram, the received CPICH power level at each point of the area can be obtained. In the worst case scenario

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Figure 8.14: Best and worst case of antenna directions in a regular hexagonal grid. Source: [80].

(Figure 8.15a), there are zones in the network with bad coverage. These critical zones would need more transmit power to be covered and therefore would cause more interference in the system. In the best case (Figure 8.15b), there are no such holes of bad coverage, and the total area is covered more regularly.

a.

b.

Figure 8.15: Worst case and best case of base station azimuth in a regular grid, pathgain in dB.

8.4. ANALYTIC OPTIMIZATION ALGORITHM 8.4.1.1 Algorithm Description

115

The azimuth adjustment strategy is based on the knowledge of the regular case. The initial setting for the azimuth values can be arbitrarily chosen. Before optimization, all the base stations are marked as unchanged. The algorithm consists of two steps. First, the main lobes of a partition of the antennas are turned to so-called critical spots. In the second step the remaining antennas are interleaved, so that the interference in the network will be minimized. Step 1: Turn Base Stations to Critical Spots For a given UMTS network, rst the number and coordinates of the critical spots have to be dened, as well as the number of base stations nr bs, which should be turned to these critical spots. For the azimuth adjustment routine one or more critical spots have to be dened. We dene a critical spot as a place in the network with a higher minimum distance to all the base stations than all other places; or in other words: a critical spot is a place with a big distance to all the surrounding base stations. Therefore, it is dicult to cover that area and to serve mobile stations located there. For each critical spot the nearest nr bs are determined. The algorithm then adjusts the azimuth values of these nearest base stations, so that one of the main lobes of the three antennas points directly to that critical spot. The routine determines the rotating angles in a way, that the base stations have to be turned between 0 and 120 clockwise starting from north (0 ). After a base station azimuth has been adjusted, this site is marked as changed and cannot be adjusted any more. Figure H.1 in Appendix H shows the owchart of this step. Step 2: Interleaving of the Remaining Base Stations In the second step, the remaining base stations are interleaved. During the azimuth adjustment there are two types of base stations: changed and unchanged ones. For each unchanged base station the distances to all already adjusted base stations are calculated. The base station with the minimum distance to an already changed base station is interleaved rst and will be called bs to interleave in the following. In the next step the rotation angle has to be calculated. For this purpose, the closest 5 already adjusted base stations (in the following denoted as bs ref erence(i), i = 1..5) are taken into account. However, a base station is only taken as bs ref erence(i), if it has a distance to bs to interleave smaller than 1.5 times the distance of the closest base station. Consequently, the maximum value of i can be smaller than 5.

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The rotation angles, by which bs to interleave has to be turned from 0 (north) in order to be interleaved with each bs ref erence(i), are calculated. These angles i are calculated in a way, that the main lobe of one of the three antennas of bs to interleave points directly to bs ref erence(i). If bs ref erence(i) looks directly to bs to interleave however, the angle is calculated so that no main beam of an antenna of bs to interleave points directly back to bs ref erence(i). Bs ref erence(i) is dened as directly looking to bs to interleave, if bs to interleave is within an angle of 30 around the main lobe of one antenna of bs ref erence(i), as can be seen in Figure 8.16.

Figure 8.16: Check, if bs ref erence(i) looks to bs to interleave.

Now we have up to 5 possible angles for turning bs to interleave. If there is only one base station as reference, it is trivial. Then we only have one angle 1 , and thus we can directly take that angle for bs to interleave. If there is more than one reference base stations (bs ref erence(i)) however, the angle for adjusting bs to interleave is calculated by using a sliding window over all the angle values i . The sliding window size was selected to be 20 , so that the maximum deviation, resulting from calculating the adjusting angle, does not exceed 10 . The adjusting angle is the mean of the angles i in the window. Due to the period of the angles of 120 , the center of the sliding window runs from 10 to 130 to close the calculation of the period. Of course, the angles between 0 and 20 have to be copied to the equivalent locations between 120 and 140 rst.

Figure 8.17: Window 1 contains the most angles.

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117

To calculate the rotation angle for bs to interleave, we choose the window which contains the most angles (Figure 8.17). If the number of angles is equal in all windows, we take the window with the minimum dierence between the angles contained in it and calculate the mean angle. If there is only one angle in every window, the angle of the nearest base station is taken as the value for turning bs to interleave. After the azimuth value of base station bs to interleave has been adjusted, it is marked as changed. The algorithm repeats step 2 of the azimuth adjustment routine until no unchanged base stations remain. Figure H.2 in Appendix H shows the owchart of step 2.

8.4.2

Strategy for Antenna Downtilt

The optimum adjustment of the antenna downtilt would be to achieve maximum antenna gain for the mobile stations in the own cell and at the same time having maximum loss in the far end interference area that means in the neighboring cells. A trade o has be found between the requirements of the own users and the advantages for the neighboring cells. In the analytic optimization strategy the antenna downtilt is adjusted according to the mean elevation angle 11 of the users in the coverage area of the cell in reference to the base station antenna, as shown in Figure 8.18.

Figure 8.18: Elevation angle of the cell area.

The antenna downtilt is not set directly equal to the mean elevation, but according to certain rules obtained from results of the Rule Based Approach from Section 8.2.1. For CPICH coverage verication mode 1 these rules are presented
The mean elevation angle is dened as the mean value over all elevation angles of the mobiles in one cell. Single mobiles, which are covered in the cell but are situated e.g. just below the antenna or in a remote area of coverage, having very big or small elevation angles and therefore would falsify the result of the mean elevation, are not considered for the calculation.
11

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in Table 8.5 and in Figure 8.19 as a linearized function over the mean elevation angle. For CPICH coverage verication mode 2 these rules are shown in Table 8.6 and Figure 8.20. Mean elevation angle Antenna downtilt -1.5 1.5 < 1 1 < 0.5 0.5 < 0 0 < 0.5 0.5 < 1 1 < 1.5 1.5 < 2 2 < 2.5 2.5 < 3 3<4 4<5 5<6 6<7 -4 -3 -2 -1 0 1 2 3 4 5 6 7 8 9

Table 8.5: Rules for adjusting the antenna downtilt according to the mean elevation angle in CPICH coverage verication mode 1.

These rules are only valid for the antenna pattern of the used KATHREIN 739707 antenna [64]. For a dierent antenna the rules will be dierent. Note, that the dierence between CPICH coverage verication mode 1 and mode 2 is exactly 2 . Figure H.3 in Appendix H shows the owchart for the implementation of the antenna tilt adjustment.

8.4.3

CPICH Power Level Adjustment Strategy

In Chapter 5.3 it has been shown that the optimum CPICH power level is the lowest CPICH value that can be received correctly by the mobile in the serving area. With this minimum power level, too much overlapping in the CPICH coverage areas is avoided and therefore the minimum pilot pollution and the

8.4. ANALYTIC OPTIMIZATION ALGORITHM

119

Figure 8.19: Function for adjustment of the antenna downtilt according to the mean elevation angle in CPICH coverage verication mode 1.

Mean elevation angle Antenna downtilt -1.5 1.5 < 1 1 < 0.5 0.5 < 0 0 < 0.5 0.5 < 1 1 < 1.5 1.5 < 2 2 < 2.5 2.5 < 3 3<4 4<5 5<6 6<7 -6 -5 -4 -3 -2 -1 0 1 2 3 4 5 6 7

Table 8.6: Rules for adjusting the antenna downtilt according to the mean elevation angle in CPICH coverage verication mode 2.

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Figure 8.20: Function for adjustment of the antenna downtilt according to the mean elevation angle in CPICH coverage verication mode 2.

minimum interference is created in the system. Furthermore, due to the transmit power limitation of the base stations, it is also an advantage to have the minimum CPICH level, in order to provide more power resources to the trac channels and therefore achieve a higher capacity.

The same result can be seen in Figure 8.21, where the total transmit power of one cell in the optimization area of the big network scenario (see Figure 7.3 in Section 7.4.1) is presented over the CPICH power level. This curve is a result of simulations with CAP ESSOT M in CPICH coverage verication mode 1. During the simulation the CPICH power levels of all cells in the scenario have been decreased. To achieve a valid result, the cell had 19 mobiles served for all measurement points. What we can see is that by decreasing the CPICH power level of the cells, the total transmit power of the cells decreases as well, not only due to the amount of reduced CPICH power, but also because of a certain down swinging eect due to a reduced interference level in the system.

Thus, the main task in optimizing the CPICH power level is to avoid a too high degree of cell overlapping while still having a certain minimum CPICH power for providing the required CPICH coverage in the dened area. Therefore, the overall problem is to nd that minimum CPICH level for maintaining CPICH coverage. Due to the signicance of the correct calculation of CPICH coverage and because of the quite dierent coverage verication mode 1 and mode 2, two strategies for the two modes have been developed.

8.4. ANALYTIC OPTIMIZATION ALGORITHM

121

Figure 8.21: Transmit power of one cell in the optimization area of the big network scenario.

8.4.3.1

Strategy for CPICH Coverage Verication Mode 1

In CPICH coverage verication mode 1, the coverage is dened by the mobiles receiver sensitivity, but without consideration of any interference. Therefore, the required coverage can be maintained down to a non realistic CPICH power level of less than 0 dBm at a receiver sensitivity of -120 dBm, as set in the simulator. To have a more realistic lower bound of CPICH power level, a minimum of 15 dBm was set for the CPICH in the optimization strategy. Starting from that minimum CPICH power level of 15 dBm, it is quite easy to adjust the CPICH power levels in all cells for the required CPICH coverage in the dened area, since no interference is included in the coverage verication. What we have to do is to look at all the pixels in the dened area, which are not covered and adjust the CPICH power level of the cell with the smallest path loss to that pixel. The amount of CPICH power, which has to be changed in the base station is the dierence of the received CPICH power level at the mobile to the threshold of -120 dBm. In this way we try to cover a predened part of the system area. One UMTS network operator for example could aim for a coverage of 98% in urban and 80% in rural areas. In the XML output le of the simulator no direct information about the received CPICH power levels at every pixel of the scenario is available, so a overcrowded scenario with about 100 users per cell is used. This is no problem in CPICH coverage verication mode 1, as for coverage verication the interference is not considered. These 100 mobile stations per cell, which are measuring the received CPICH level, are almost covering the whole cell area and therefore provide a

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good statistics for the CPICH levels in the cell.

8.4.3.2

Strategy for CPICH Coverage Verication Mode 2

In CPICH coverage verication mode 2 the CPICH coverage is dened by a certain CP ICHEc /I0 threshold. In this mode the simulator considers the interference level in the system for the coverage verication. Due to the fact that when changing the CPICH power levels, the interference is changing as well, it is very dicult or impossible to adjust the minimum required CPICH power level in one step. The worst case for coverage is the case with the highest possible interference level in the system which happens when all the base stations are transmitting with the maximum power. At the same time this is the ideal case for capacity, because the system will accept users until the power limit is reached if there is no other capacity limitation factor reached before (see Chapter 4 for capacity limitation factors). Therefore, we can conclude that the CPICH coverage should always be adjusted according to the worst case, which is the highest possible interference level in the system. This is the ideal case, if all the cells are transmitting with maximum power. However, it is not ideal, if all the base stations have the same maximum transmit power level. Then, the small cells are creating more inter-cell interference for the adjacent cells, because of the high total transmit power. Therefore, the transmit powers of the cells have to be adapted in a way, that the interference levels do not exceed a certain threshold at the cell border. With this strategy (smaller cells for example have a lower total power limit than big cells) in the network the worst case (=ideal case) will be reached. In the strategy for CPICH coverage verication mode 2 the worst case is determined by creating the highest possible interference level in the system with the maximum transmit powers of the cells and then adjusting the CPICH power levels of the cells in order to achieve the required coverage probability in the dened area. The maximum transmit powers of the base stations are achieved by setting the PCH value in the simulator to the maximum (40 dBm) and the SCH value in a way that the total transmit power of the cell (43 dBm) is reached. Like in the CPICH coverage verication mode 1 an overcrowded scenario is used again for adjusting the CPICH power levels. However, when setting the total transmit powers of the cells to the maximum by increasing the SCH and the PCH, there will not be any mobile served. Therefore, for example 100 mobiles in each cell are investigated. For each mobile the CPICH power level of the

8.4. ANALYTIC OPTIMIZATION ALGORITHM

123

serving cell is adjusted in order to reach the received Ec /I0 requirement12 . If the requirement is already fullled, the CPICH power remains unchanged. Figure H.4 and Figure H.5 in Appendix H show the owchart for the implementation of the CPICH power adjustment for CPICH coverage verication mode 2.

For the simulations in Chapter 9 the Ec /I0 requirements are usually set to -12 dB (Section 7.2.2.2).

12

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Chapter 9 Algorithm Performance Analysis

9.1 Introduction

In this second main chapter, the performance of the various algorithms, introduced in Chapter 8, are presented. Usually the big network scenario (see Section 7.4.1) is used for the analysis of the algorithms. If the small network scenario (7.4.2) is used, it is explicitly mentioned. The results for the local algorithms Rule Based Approach, Simulated Annealing and Adaptive Rule Based Approach, are presented in Section 9.2, Section 9.3 and Section 9.4, respectively. Section 9.5 presents the results for my Genetic Algorithm. The analysis for the Analytic Optimization Algorithm is presented in Section 9.6. Section 9.7 compares all the dierent algorithms. Note that in general the results of the dierent sections cannot be compared with each other, because during the development of the several algorithms also the network simulator has been improved. However, results presented in one section are evaluated with the same version of CAP ESSOT M .

9.2

Results for the Rule Based Approach

In this section the results for the Rule Based Approach (Section 8.2.1) are presented. The network simulations are performed with CPICH coverage verication mode 1 and the rule set from Appendix D is used. The results of the optimization are shown in Table 9.1. Before optimization the number of served users is 483 in the optimization area. After optimization with the Rule Based Approach, 817 users are served. The GoS in both cases is about 95 %. This increase in served users leads to a capacity gain of 69.5 %. 125

126

CHAPTER 9. ALGORITHM PERFORMANCE ANALYSIS Before optimization Served users in optimization area Covered users in optimization area GoS [%] Capacity gain [%] Computational eort [iterations] 94.3 94.5 69.5 % 70 512 856 483 After optimization 817

Table 9.1: Results for the Rule Based Approach with CPICH verication mode 1. Further, the algorithm was executed with various number of iterations (see iter in Table D.1 in Appendix D). The default setting for the rule set is from 6 to 10. Table 9.2 shows the results. The table shows that there are not enough iterations in the rst case (4..8 iterations), while the best result (822) has been obtained by using much more iterations. Iterations 4..8 5..9 6..10 (default) 7..11 8..12 9..13 10..14 Served users in optimization area after optimization 765 807 817 807 810 822 819

Table 9.2: Results for the Rule Based Approach with CPICH verication mode 1.

9.2.1

Various Investigations with the Rule Based Approach

Based on the default rule set from Table D.1 in Appendix D, several investigations have been carried out. In each investigation, one parameter was changed, while all others were kept constant during the optimization process.

9.2. RESULTS FOR THE RULE BASED APPROACH 9.2.1.1 Optimization on Dierent Snapshots

127

In this investigation the Rule Based Approach was performed on several snapshots with dierent user distributions. This means that before the optimization a new user distribution was created and then the algorithm worked with this specic distribution. During the optimization process the distribution of the users remained the same. Figure 9.1 shows the results for 20 dierent snapshots. In the legend of the gure Start serv and End serv denote the served users in the optimization area before and after the optimization. Start cov and End cov are the covered users. In snapshot 1 the default user distribution is used (result from previous section).

Figure 9.1: Results for the Rule Based Approach on dierent snapshots.

The number of served and covered users are within a relatively close range. The average number of served users values at algorithm start is 459. After optimization there are 791 served users in the optimization area on average (compared to 483 and 817 for the result of the previous section). 9.2.1.2 Analyzing Optimization Results with Dierent Snapshots

A very important question is, how stable is an optimized network towards changing user distributions. In this section results are presented with changing the user distribution after the optimization process. For 5 dierent snapshots from

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the section before (snapshot 1, 6, 11, 14 and 18; all shaded in grey in Figure 9.1) also after the optimization 20 snapshots are simulated with CAP ESSOT M . For using the optimized scenarios where the algorithm has performed well (snapshot 1, 11 and 18) the results are shown in Figures 9.2, 9.3 and 9.4.

Figure 9.2: Results for the Rule Based Approach on dierent snapshots after optimization for snapshot 1. As Figures 9.2, 9.3 and 9.4 show, the network is clearly optimized for the scenario generated by the receptive snapshot (if the network is originally optimized for snapshot 18, then the results are best if the same user distribution is used after optimization - see shaded areas in the gures). However, apart from these maxima, the results are relatively stable. This is important, since in a real scenario the users will move all the time, so it would make no sense to optimize the network for a static distribution of users that is never allowed to change. When changing the user distribution of badly optimized scenarios (snapshot 6 and 14), the results are not so good. Figures 9.5 and 9.6 show the results. In these cases, there is no such clear maximum in the results if the user distribution is left unchanged - in some cases even better results are obtained by changing it! This indicates that certain distributions of users exist that the algorithm cannot optimize eciently. On the other hand, this can also be seen as an advantage: in those cases, the algorithm didnt narrowly optimize for a very specic user distribution, and thus the results are worse in absolute numbers, but more generally valid.

9.2. RESULTS FOR THE RULE BASED APPROACH

129

Figure 9.3: Results for the Rule Based Approach on dierent snapshots after optimization for snapshot 11.

Figure 9.4: Results for the Rule Based Approach on dierent snapshots after optimization for snapshot 18.

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Figure 9.5: Results for the Rule Based Approach on dierent snapshots after optimization for snapshot 6.

Figure 9.6: Results for the Rule Based Approach on dierent snapshots after optimization for snapshot 14.

9.2. RESULTS FOR THE RULE BASED APPROACH 9.2.1.3 Optimization with Modied Parameter Ranges

131

In this evaluation, the allowed range for modications of parameters (CPICH power and antenna tilt) was adapted. Unless otherwise noted - and unlike in the rule set from Appendix D - the indicated limits were valid throughout the whole simulation (compared to dierent limits in each rule, see Table D.1). Table 9.3 shows the individual results (bold limits indicate restrained parameter ranges, compare Table D.1). CPICH power Antenna tilt [dBm] 15 20 20 25 15 15 25 24..20 20..10 10 [ ] 8 8 7 8 7 5 5 5..8 5..9 6..10 Served users in 816 765 756 730 820 718 694 776 774 716 Covered users in 855 805 794 767 863 754 730 816 814 754 GoS [%] 93.9 94.7 95.1 95.2 93.4 95.2 95.1 95.0 92.1 94.9

optimization area optimization area

Table 9.3: Results for the Rule Based Approach with dierent parameter ranges. Applying constrains to the range of parameters mostly degrades the results. If they need to be in place for some external reasons, the algorithm can still deliver good results; it is however preferable not to have such constrains. Figure 9.7 shows a 3D-visualization of the optimization gain at combinations of limited CPICH power and antenna tilt ranges. Obviously, for the used network scenario, CPICH power modications should be allowed as far downwards as to 15 dBm, and antenna downtilts should be increasable up to 8 . If the range is too large, however, results deteriorate. This is mostly due to the algorithmss linear design - in each step it only moves into one direction and keeps the results if they are slightly better than the results obtained in the previous step - even if a smaller step would have been more benecial. The gains obtained by a true bi-directional algorithm saturates at a higher level, even if the allowed parameter ranges are too large (see results for the Adaptive Rule Based Approach in Section 9.4).

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Figure 9.7: 3D matrix of parameter range limits for the Rule Based Approach.

9.2. RESULTS FOR THE RULE BASED APPROACH 9.2.1.4 Optimization on Adapted Start Scenarios

133

For a given scenario, it might be advantageous to modify certain attributes of all cells (e.g a downtilt of 3 instead of 0 for each antenna in the whole network). The purpose of these investigations was to run the algorithm on such an a priori improved scenario. Table 9.4 shows the initial values and end results for scenarios with a xed tilt on all antennas. Initial values Antenna tilt [] 0 1 2 3 4 5 6 7

Results GoS [%] 94.4 94.7 94.5 95.3 95.4 95.0 95.2 95.3 Served users in optimization area 817 795 790 736 732 784 824 805 94.6 94.6 93.7 95.3 95.2 93.6 94.1 94.4 GoS [%]

Served users in optimization area 483 485 484 521 555 572 616 694

Table 9.4: Results for the Rule Based Approach with adapted antenna tilt in the start scenario. The column Served users in optimization area (Initial values) indicates the usefulness of setting the downtilt to the indicated value for all cells (in this unique scenario). Similar simulations have been carried out, modifying the CPICH power. The results are presented in Table 9.5. These results show that the developed Rule Based Approach depends on the initial setting of the CPICH power and antenna tilt. The main reason for this is that the algorithm is only able to go in one direction.

9.2.2

Runtime of the Rule Based Approach

For the evaluation a Pentium IV with a clock rate of 2 GHz and 512 MB main memory was used. The algorithm with the rule set from Appendix D and with a rst version of the network simulator (not runtime optimized) requires about 1 h 30 min for the 80 iterations.

134

CHAPTER 9. ALGORITHM PERFORMANCE ANALYSIS Initial values Results GoS [%] 94.4 94.7 94.9 95.2 95.0 95.3 95.1 Served users in optimization area 817 815 807 833 814 776 767 94.6 94.6 93.8 94.0 94.1 94.1 94.5 GoS [%]

CPICH power [] 33 32 31 30 29 27 25

Served users in optimization area 483 485 486 494 510 521 524

Table 9.5: Results for the Rule Based Approach with adapted CPICH power in the start scenario.

9.3

Results for Simulated Annealing

For the results with Simulated Annealing (Section 8.2.2) usually the rule set from Table E.1 is used. The network simulations are performed with CPICH coverage verication mode 1 on the big network scenario (7.4.1). Before optimization the number of served users is 483 in the optimization area like in Section 9.2. In this section results with both introduced cooling functions, Slow Cooling (Equ. 8.2) and Geometric Cooling (Equ. 8.1) are presented (Section 9.3.1 and Section 9.3.2). Further, results with the rule set from Table E.2 are presented (Section 9.3.3).

9.3.1

Results with Slow Cooling

For Slow Cooling an initial cooling temperature of 0.07 was used for TC . The value of was changed from 0.9 to 1.4. For each parameter three trials were done. The results are shown in Table 9.6. The results show that there is an important inuence of the parameter on the cooling function. The best result (average of 3 runs), 858 served users in the optimization area, has been obtained with = 1.1. This corresponds to a capacity increase of 77.6 %. Table 9.7 show results with dierent initial values of TC . With this parameter the shape of the cooling function can be changed, like by . The shape of the

9.3. RESULTS FOR SIMULATED ANNEALING

135

Trial Cooling parameter 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3 0.9 0.9 0.9 1.0 1.0 1.0 1.1 1.1 1.1 1.2 1.2 1.2 1.3 1.3 1.3 1.4 1.4 1.4

Served users in optimization area 827 836 868 868 803 839 870 859 846 846 846 805 849 774 805 729 824 821

Number of iterations 102 119 114 121 128 123 104 112 144 135 126 184 102 159 122 131 141 101

Mean value served users 844

836

858

832

809

791

Table 9.6: Results for Simulated Annealing with Slow Cooling, dierent values for .

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cooling function is a very important factor, because the probability of taking a bad result heavily depends on TC . The parameter TC was varied from 0.03 to 1. For a value of 1.1 was used. Trial Initial temperature for TC 1 2 3 1 2 3 1 2 3 4 1 2 3 1 2 3 1 2 3 1 2 3 0.03 0.03 0.03 0.04 0.04 0.04 0.05 0.05 0.05 0.05 0.07 0.07 0.07 0.1 0.1 0.1 0.5 0.5 0.5 1 1 1 Served users in optimization area 718 801 852 710 767 804 851 860 828 834 870 859 846 829 821 773 854 829 828 866 860 829 163 131 140 155 157 190 122 117 127 123 104 112 144 132 126 157 104 133 131 103 87 111 852 837 808 858 843 760 790 Number of iterations Mean value served users

Table 9.7: Results for Simulated Annealing with Slow Cooling, dierent values for TC . The best result I achieved with a initial value for TC of 0.07. So, I conclude that the best choice of the Slow Cooling parameters for the UMTS base station

9.3. RESULTS FOR SIMULATED ANNEALING

137

parameter optimization problem is, if = 1.1 and the initial value of TC is set to 0.07. However, I have to mention that for one cooling parameter setting considerably more trials should be carried out. Due to the long runtime of the algorithm it was only possible to make a few trials for one setting. With only 3 runs a statistical signicance cannot be seen.

9.3.2

Results with Geometric Cooling

For the simulations with the Geometric Cooling function (Equ. 8.1), the initial value of TC was set to 0.07. The parameter was changed from 0.95 to 0.99. For each parameter three trials have been carried out. The rule type was the same as in Section 9.3.1. The results are shown in Table 9.8. From the table we see that the best results are obtained with a value for of 0.990. The algorithm found always the same solution, but always with a dierent number of iterations. If we compare Slow Cooling and Geometric Cooling, we can conclude that Geometric Cooling provides slightly better results.

9.3.3

Results with Improved Rule Set

I extended the rule set from Table E.1 by two additional rules (Table E.2). Now, the algorithm is able to adjust the CPICH power and antenna tilt parameter with a higher resolution. Both cooling functions with the following settings have been tested:

Slow Cooling: Initial value for TC : 0.07, = 1.1 Geometric Cooling: Initial value for TC : 0.07, = 0.990

With each cooling function three simulations have been carried out, to see if the results are independent of the Simulated Annealing random value (probability for the choice of bad results). Table 9.9 shows the results of the simulations. From the table we see again that Geometric Cooling outperforms Slow Cooling. The best result was found with Slow Cooling, however Geometric Cooling found in each trial the same good result.

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Trial Cooling parameter 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3 0.950 0.950 0.950 0.960 0.960 0.960 0.970 0.970 0.970 0.975 0.975 0.975 0.980 0.980 0.980 0.985 0.985 0.985 0.990 0.990 0.990

Served users in optimization area 717 740 731 727 736 750 846 821 849 832 846 863 855 866 866 860 830 867 866 866 866

Number of iterations 145 140 106 107 149 128 136 135 96 121 126 100 116 102 108 89 113 95 105 96 123

Mean value served users 729

738

839

847

862

852

866

Table 9.8: Results for Simulated Annealing with Geometric Cooling.

9.4. RESULTS FOR THE ADAPTIVE RULE BASED APPROACH Cooling function Trial 1 Slow Cooling 2 3 1 Geometric Cooling 2 3 Served users in optimization area 886 831 834 879 879 879 188 131 153 143 162 159 Number of iterations

139 Mean value served users 850

879

Table 9.9: Results for Simulated Annealing with improved rule set.

9.3.4

Runtime of Simulated Annealing

For the evaluation a Pentium IV with a clock rate of 2 GHz and 512 MB main memory was used. The two rule sets have a little bit dierent runtime. Rule set 1 (see Table E.1) requires on average 124 iterations, and therefore the average runtime is about 2 h 10 min. Rule set 2 (see Table E.2) needs on average 156 iterations, and therefore the average runtime is about 2 h 50 min.

9.4

Results for the Adaptive Rule Based Approach

As described in Chapter 8 (Section 8.2.3), the implemented Adaptive Rule Based Algorithm is limited by a set of rules, which restrict the changes of CPICH power and antenna tilt per adjustment. In this section the results are presented for the four developed rules sets (Appendix F). The dierences in the four rule sets are the step size and parameter (CPICH power and antenna tilt) limitation settings. The results in this section are obtained with CPICH coverage verication mode 1. Before and after optimization 50 snapshots with dierent user distributions are simulated. The optimization process itself is performed with one xed user distribution. Before optimization, the mean number of served users in the optimization area is 511. Figure 9.8 shows the block diagram for the simulation. Figure 9.9 gives the cumulative distribution function (cdf) of the achievable number of served users in the optimization area, at a GoS of 95 % over the 50 snapshots. It shows that dierent rule sets have signicant inuence on the optimization result.

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Figure 9.8: Block diagram for the simulation of the four rule sets over 50 snapshots.

Figure 9.9: Comparison of cdf curves for the four rules sets of the Adaptive Rule Based Approach (50 snapshots).

9.5. RESULTS WITH THE GENETIC ALGORITHM

141

The uctuation of the cdf curves suggests that dierent rule sets favor dierent realizations of the user distribution. There is no particular rule set that is able to achieve the highest number of served users in all 50 snapshots. Nevertheless, the gradient of the cdf curves illustrates that rule set #4gives the most stable performance among the four dierent rule sets. Additionally, the mean achieved number of served users for each rule set, shown in Table 9.10, indicates that rule set #4has the highest mean number of served users and therefore yields to a capacity gain of 66.9 %. Simulation Before optimization Rule set #1 Rule set #2 Rule set #3 Rule set #4 Mean # of served users in target area 511 831 839 842 853 Standard deviation (# served users) 7.54 (1.48 %) 31 (3.7 %) 29 (3.5 %) 34 (3.9 %) 25 (2.9 %) 62.6 % 64.2 % 64.8 % 66.9 % Capacity gain [%]

Table 9.10: Results for Adaptive Rule Based Approach with CPICH verication mode 1. It is noticeable that the standard deviation of served users with respect to dierent user distributions after the optimization is much higher than before. This means that the optimized network is less stable regarding the user distribution. In this thesis only a small part of the simulations are shown. In [23] more results and a stability analysis of the algorithm are presented. The runtime of the Adaptive Rule Based Algorithm depends on the used rule set. On average the algorithm requires about 150 iterations. On a Pentium IV with a clock rate of 2 GHz and 512 MB main memory the runtime is approximate 2 h 45 min.

9.5

Results with the Genetic Algorithm

The Genetic Algorithm has been tested on both scenarios (small and big network scenario) as well as with both CPICH coverage verication modes. Several dierent settings of the parameters for the Genetic Algorithm, like size of the population, selection pressure and parameters for the local optimization have been tested. Table 8.4 in Section 8.3.3 shows the best settings. However, good results

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have also been obtained with other settings. As tness function, the extended tness function from Equ. (6.2) was used.

9.5.1
9.5.1.1

CPICH Coverage Verication Mode 1

Results on the Small Network Scenario

For the small network scenario altogether 60 optimization runs have been carried out, always with the same user distribution. Before the optimization 347 served users are in the network. Figure 9.10 shows the results. In Figure 9.10 the results are in chronological order of execution. From the gure we see that during the development process the results got better. The mean number of served users over all 60 runs are 488. This corresponds to a capacity increase of 40.6 %. The standard deviation is 17.6 (3.6 %). The best result was achieved with the optimization run at index 53. After this optimization run 518 users were served, this corresponds to a capacity increase of 49.3 %. Figure 9.11 shows the growth of the tness value (tness value of the best individual and average tness of the population) during the optimization for this run and Table 9.11 presents the used parameters for the Genetic Algorithm. Population size Selection pressure Local optimization: Number of individuals Number of iterations Area of search space: CPICH power Antenna downtilt 15 dBm 33 dBm 0 8 local num = 20 local iter = 2 n = 100 Cm = 5

Table 9.11: GA settings for the best optimization run on the small network scenario with CPICH verication mode 1. For the best optimization run the algorithm terminates after 172 populations. However, Figure 9.11 shows that the nal result is already found after 75 populations. Afterwards, no better results were found. To evaluate the stability of the result, the CPICH power and antenna tilt settings before and after optimization were evaluated with 100 dierent user distribution snapshots. Table 9.12 shows the results of the analysis.

9.5. RESULTS WITH THE GENETIC ALGORITHM

143

Figure 9.10: Results for the Genetic Algorithm on the small network scenario with CPICH verication mode 1.

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Figure 9.11: Optimization run for the best result on the small network scenario with CPICH verication mode 1.

Number of served users in optimization area Min Max Mean Standard deviation Capacity Gain [%]

Before optimization 323 363 344 7.2 (2.1 %)

After optimization 460 518 483 9.1 (1.9 %) 40.4

Table 9.12: Evaluation of the best result with 100 dierent snapshots on the small network scenario with CPICH verication mode 1.

9.5. RESULTS WITH THE GENETIC ALGORITHM

145

The capacity increase for the mean number of served users is only 40.4 %. However, from Table 9.12 we see that the result after optimization is also stable like before optimization, because the standard deviation does not increase. Furthermore we see that the optimization has been carried out for one single user distribution and so during the evaluation with dierent user distributions no higher result than 518 served users was found.

9.5.1.2

Results on the Big Network Scenario

For the big network scenario altogether 17 optimization runs have been carried out, again always with the same user distribution. Before the optimization 506 served users are in the optimization area. Figure 9.12 shows the results, again in chronological order of execution. From Figure 9.12 we see again that optimization runs, which were carried out later in the development process, deliver better results. The mean number of served users over all 17 runs are 1064. This corresponds to a capacity increase of 110.3 %. The standard deviation is 77.8 (7.3 %). The best result was achieved with the optimization run with index 17. After this optimization run, 1148 users were served in the optimization area; this corresponds to a capacity increase of 126.9 %. Figure 9.13 shows the growth of the tness value during the optimization for this run and Table 9.13 presents the used GA parameters. Population size Selection pressure Local optimization: Number of individuals Number of iterations Area of search space: CPICH power Antenna downtilt 15 dBm 33 dBm 0 8 local num = 20 local iter = 2 n = 100 Cm = 5

Table 9.13: GA settings for the best optimization run on the big network scenario with CPICH verication mode 1. The algorithm runs altogether 335 populations. However, like for the small network scenario the best result was already found after 198 populations. From Figure 9.13 we again see (like in Figure 9.11) the biggest increase of the tness

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Figure 9.12: Results for the Genetic Algorithm on the big network scenario with CPICH verication mode 1.

9.5. RESULTS WITH THE GENETIC ALGORITHM

147

Figure 9.13: Optimization run for the best result on the big network scenario with CPICH verication mode 1.

in the rst part of the optimization process (up to population 100). Afterwards, only a small increase of the tness values per population is observed. To evaluate the stability of the result, again the CPICH power and antenna tilt settings before and after optimization were evaluated with 100 dierent user distribution snapshots. Table 9.14 shows the results. Number of served users in optimization area Min Max Mean Standard deviation Capacity Gain [%] 485 529 511 7.5 (1.5 %) 1044 1148 1128 13.0 (1.2 %) 120.7 Before optimization After optimization

Table 9.14: Evaluation of the best result with 100 dierent snapshots on the big network scenario with CPICH verication mode 1. The capacity increase for the mean number of served users is 120.7 % and the

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result after optimization is stable again, like before optimization.

9.5.2

CPICH Coverage Verication Mode 2

All results, which have been performed with the CPICH coverage verication mode 2 were analyzed before and after the optimization with 100 dierent user distribution snapshots. However, the optimization itself has been carried out with one xed user distribution. For the CP ICHEc /I0 threshold a value of -12 dB is used. 9.5.2.1 Results on the Small Network Scenario

Figure 9.14 shows the results on the small network scenario. Altogether, 7 dierent optimization runs have been carried out. Before the optimization in average 352 users are served in the network. The mean number of served users after the optimization over all 7 runs are 374. This corresponds to a capacity increase of 6.3 %. The standard deviation is 7.6 (2.0 %). Index 5 in Figure 9.14 shows the best result. After this optimization run 382 users are served in average, this corresponds to a capacity increase of 8.5 %. If we compare the results from CPICH coverage verication mode 2 with mode 1, we see that now the capacity increase is much lower. This is due to the fact that for mode 2 the interference is included in the calculation and so the network simulator delivers more pessimistic results. Table 9.15 summarizes the optimization results and Table 9.16 presents the used parameters. Again, like for the CPICH coverage verication mode 1 the growth of the tness value during the optimization run is shown for the best run (index 5 in Figure 9.14). See Figure 9.15 for the diagram. Figure 9.15 shows that the optimization run terminates after 452 populations. Only one user distribution has been used during the optimization process. The starting value is 351 served users and the nal value is 397 served users. The best tness value is reached after 416 populations. If we compare the curve from Figure 9.15 with the tness growth of CPICH coverage verication mode 1 (Figure 9.11), we see that now the increase in tness is slower. Remember, in Figure 9.11 the best result was found after 75 populations. 9.5.2.2 Results on the Big Network Scenario

For the big network scenario altogether 21 optimization runs have been carried out. Before the optimization in average 512 users are served in the optimization area. Figure 9.16 shows the results.

9.5. RESULTS WITH THE GENETIC ALGORITHM

149

Figure 9.14: Mean results over 100 snapshots for the Genetic Algorithm on the small network scenario with CPICH verication mode 2.

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Number of served users in optimization area Min Max Mean Standard deviation Capacity Gain [%]

Before optimization 334 369 352 6.8 (1.9 %)

After optimization 366 397 382 6.5 (1.7 %) 8.5

Table 9.15: Evaluation of the best result with 100 dierent snapshots on the small network scenario with CPICH verication mode 2.

Population size Selection pressure Local optimization: Number of individuals Number of iterations Area of search space: CPICH power Antenna downtilt

n = 100 Cm = 5 local num = 20 local iter = 2 15 dBm 33 dBm 0 8

Table 9.16: GA settings for the best optimization run on the small network scenario with CPICH verication mode 2.

9.5. RESULTS WITH THE GENETIC ALGORITHM

151

Figure 9.15: Optimization run for the best result on the small network scenario with CPICH verication mode 2.

In Figure 9.16 the results are in chronological order of execution. From the gure we see that during the development process the results get better. The mean number of served users over all 21 runs are 656. This corresponds to a capacity increase of 28.1 %. The standard deviation is 22.4 (3.4 %). The best result was achieved with the optimization run with the index 16. After optimization 693 users are served in average. This corresponds to a capacity increase of 35.4 %. Again, like for the small network scenario we see that the network simulator is more pessimistic and so the capacity gain is much lower than with the CPICH coverage verication mode 1. Remember, with CPICH verication mode 1 we had a capacity increase of 120 %! However, we have to keep in mind that the results of the CPICH coverage verication mode 2 approximates the real situation better. The optimization results for the best run are summarized in Table 9.17 and the GA parameters in Table 9.18. Figure 9.17 shows the the growth of the tness value during the optimization run. In Figure 9.17 the starting value of the optimization are 498 served users and the termination value are 733 served users in the optimization area. The optimization runs 338 populations. From the gure we see that rst there is a very sharp rise in tness. Then, from population 150 to 280 no better result is found. Afterwards,

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Figure 9.16: Mean results over 100 snapshots for the Genetic Algorithm on the big network scenario with CPICH verication mode 2.

9.5. RESULTS WITH THE GENETIC ALGORITHM

153

Number of served users in optimization area Min Max Mean Standard deviation Capacity Gain [%]

Before optimization 498 530 512 7.5 (1.5 %)

After optimization 672 733 693 9.6 (1.4 %) 35.4

Table 9.17: Evaluation of best result with 100 dierent snapshots on the big network scenario with CPICH verication mode 2.

Population size Selection pressure Local optimization: Number of individuals Number of iterations Area of search space: CPICH power Antenna downtilt

n = 400 Cm = 5 local num = 20 local iter = 2 15 dBm 38 dBm 2 10

Table 9.18: GA settings for the best optimization run on the big network scenario with CPICH verication mode 2.

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Figure 9.17: Optimization run for the best result on the big network scenario with CPICH verication mode 2.

the algorithm nds a new solution and so gets a new impulse. The best result is then found after 320 populations. From the gure we see also that, if we are only interested in a good result and do not want to wait until the algorithm is converged, the algorithm can be stopped after 150 populations. So, we save a lot of computation time.

9.5.3

Runtime of the Genetic Algorithm

The runtime of the Genetic Algorithm depends on the network scenario and on the size of the population. For the presented results two dierent population sizes were used: 100 and 400 individuals. On a Pentium IV with a clock rate of 2 GHz and 512 MB main memory the Genetic Algorithm runs on the big network scenario with 100 individuals about 15 h and with 400 individuals about 65 h. The small network scenario requires approximately half of the time of the big network scenario. The version of the network simulator, which was used for the Genetic Algorithm was optimized in runtime and therefore much faster than the rst version, used for the local algorithms.

9.6. RESULTS FOR THE ANALYTIC OPTIMIZATION ALGORITHM

155

9.6

Results for the Analytic Optimization Algorithm

For obtaining the results with the Analytic Optimization Algorithm, both CPICH coverage verication mode 1 and mode 2 have been used. The two main results in the following Sections 9.6.1 and 9.6.2 are the number of served users in the optimization area (nr served target) and the mean number of served users in the optimization area over 40 dierent user distribution snapshots (mean cap target). The reference scenario is characterized by antenna downtilts of 0 (+3 electrical tilt in the antenna pattern) for all the antennas, and CPICH power levels of 33 dBm in all the cells in the scenario. In the Tables 9.19, 9.20 and 9.21, four columns of results are presented. The rst column shows the results of the reference scenario. The other three columns titled Adj azimuth, Adj tilt and Adj CPICH contain then results after running the strategy for the adjustment of the antenna azimuth, after the additional strategy for the antenna downtilt and after the additional CPICH adjustment strategy, respectively. In the adjustment routine for the antenna azimuth, three critical spots 1 inside the optimization area were used. In the strategy for the adjustment of the antenna downtilt, the initial tilt value was set to 3 (+3 electrical tilt) in all cells, while the initial CPICH power value (start CP ICH) was varied for the diverse simulations. An initial CPICH power level (start CP ICH) is also necessary for the CPICH adjustment strategy. The actually used initial CPICH power level for the special simulation is given in the additional notes in Tables 9.19, 9.20 and 9.21. In the simulations, the required coverage probability for the worst case in the total scenario was set to 50 % and in the optimization area to 75 %, or 80 % in the total scenario and 98 % in the optimization area, as again indicated in the additional notes in the various tables. In CPICH coverage verication mode 2 the coverage probability is indicated as CP ICHEc /I0 cov prob total or CP ICHEc /I0 cov prob target, while in CPICH coverage verication mode 1 simply as cov prob total or cov prob target. For the overcrowded scenario in antenna tilt and CPICH power strategies, 5000 mobiles were used. In Figures 9.18 to 9.19, the mean numbers of served users in the optimization area from the Tables 9.19, 9.20 and 9.21 are presented in bar charts. The bar chart for CPICH coverage verication mode 1 (Figure 9.18) shows the mean capacity in the optimization area in the reference scenario (initial parameter setting) in blue, as well as after the adjustment of base station azimuth (green bar), antenna downtilt (yellow bar) and CPICH power level (red bar). The bar chart for CPICH coverage verication mode 2 (Figure 9.19) presents an additional bar for the variation of
1

For the denition of a critical spot see Section 8.4.1.

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the required coverage probability for the worst case in the optimization area. Thus, in CPICH coverage verication mode 2 there are two dierent bars for the mean number of served users in optimization area after the CPICH adjustment routine, one for required coverage probability in the total scenario of 0.8 and 0.98 in the optimization area, and another for the required coverage probability in the total scenario of 0.5 and 0.75 in the optimization area. It is important to remember that these required coverage probabilities are only for the worst case. The eective coverage probabilities in normal interference situation are presented in the Tables 9.19, 9.20 and 9.21 and are between 0.91 and 1, both in total scenario and in the optimization area.

9.6.1

CPICH Coverage Verication Mode 1

As Figure 9.18 shows, the mean capacity in the optimization area can be increased from 512 mean served users in the reference scenario (blue bar) up to 829 mean served users (red bar). This equals a gain of 62 % in mean capacity compared to the reference scenario. It is important to mention that after the CPICH adjustment the CPICH power level in all cells is 15 dBm, equal to the minimum CPICH power level. It is also shown in Table 9.19 that the reached coverage probability after the CPICH strategy in the total scenario (cov prob total) is more than 91 % and in the optimization area (cov prob target) is 100 %, even though the required coverage probability was set to 0.8 and 0.98 in the total scenario and in the optimization scenario, respectively. However, if using a parameter setting with a CPICH power level of 33 dBm in all cells, thus utilizing the routines without the CPICH procedure, there is also an increase in mean capacity in the optimization area from 512 to 703 mean served users (yellow bar in Figure 9.18). This is an improvement of 37 % compared to the reference scenario. Reference scenario Adj azimuth nr served target mean cap target cov prob total cov prob target additional notes 508 512 1 1 540 557 0.9963 1 Adj tilt Adj CPICH 691 703 0.9904 1 821 829 0.9193 1

start CP ICH in adj tilt: 15 dBm, start CP ICH in adj CPICH: 15 dBm, nal CPICH values = 15 dBm in all cells, required coverage probability: 0.8 total and 0.98 in target area, best server equal dist.

Table 9.19: Results for the Analytic Optimization Algorithm with CPICH verication mode 1 (40 snapshots).

9.6. RESULTS FOR THE ANALYTIC OPTIMIZATION ALGORITHM

157

Figure 9.18: Results for the Analytic Optimization Algorithm with CPICH verication mode 1 (40 snapshots).

9.6.2

CPICH Coverage Verication Mode 2

For this mode the results are shown in Table 9.20 for a required coverage probability in worst case of 0.5 in the total scenario and 0.75 in the optimization area. Before parameter adjustment the mean number of served users is 520 in the reference scenario. The improvement of capacity in the optimization area, which can be reached by using CPICH coverage verication mode 2 is 15 % (to 595 served users) compared to the reference scenario after adjusting the antenna azimuth and of 21 % (to 630 served users) after the antenna tilt routine. After the procedure for adjustment of CPICH power levels, however, Table 9.20 shows a decrease in capacity. This is due to the fact that for reaching the coverage requirements in the worst case with quite severe CP ICHEc /I0 threshold of -12 dB, the CPICH power levels have to be increased from the initial value of 33 dBm in the reference scenario. The nal CPICH power levels after CPICH adjustment are between 32 dBm and 35 dBm. If using the more severe requirements in coverage probability of 0.8 in the total scenario and 0.98 in the optimization area, the nal results goes down even more to 553 served users in the optimization area (see Table 9.21). The nal CPICH power levels in this case are between 35 dBm and 37 dBm. Figure 9.19 shows the results in a diagram. Comparing the results from CPICH coverage verication mode 1 and mode 2, we can see that the possible improvement by optimization is smaller in the more realistic case (mode 2), because the CPICH coverage verication is including

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Reference scenario nr served target mean cap target CP ICHEc /I0 cov prob total CP ICHEc /I0 cov prob target additional notes 480 520 0.9339 0.9545

Adj azimuth 569 595 0.9288 0.9533

Adj tilt 624 630 0.9433 0.9635

Adj CPICH 614 612 0.9598 0.9860

start CP ICH in adj tilt: 36 dBm, start CP ICH in adj CPICH: 32 dBm, nal CPICH values: 32-35 dBm, required coverage probability in worst case: 0.5 total and 0.75 in target area, best server equal dist., CP ICHEc /I0 threshold = 12 dB

Table 9.20: Results for the Analytic Optimization Algorithm with CPICH verication mode 2 (40 snapshots) with CP ICHEc /I0 threshold -12 dB and required coverage probability in worst case of 0.5/0.75.

Reference scenario nr served target mean cap target CP ICHEc /I0 cov prob total CP ICHEc /I0 cov prob target additional notes 480 520 0.9339 0.9545

Adj azimuth 569 595 0.9288 0.9533

Adj tilt 624 630 0.9433 0.9635

Adj CPICH 522 553 0.9823 1

start CP ICH in adj tilt: 36 dBm, start CP ICH in adj CPICH: 32 dBm, nal CPICH values: 35-37 dBm, required coverage probability in worst case: 0.8 total and 0.98 in target area, best server equal dist., CP ICHEc /I0 threshold = 12 dB

Table 9.21: Results for the Analytic Optimization Algorithm with CPICH verication mode 2 (40 snapshots) with CP ICHEc /I0 threshold -12 dB and required coverage probability in worst case of 0.8/0.98.

9.7. COMPARISON OF THE VARIOUS APPROACHES

159

Figure 9.19: Results for the Analytic Optimization Algorithm with CPICH verication mode 2 (40 snapshots) with CP ICHEc /I0 threshold -12 dB.

interference calculation.

9.6.3

Runtime of the Analytic Optimization Algorithm

The Analytic Optimization Algorithm requires only 5 network evaluations. Therefore the runtime is very fast. On a Pentium IV with a clock rate of 2 GHz and 512 MB main memory the algorithms requires with the fast version of the network simulator only about 1 min.

9.7

Comparison of the Various Approaches

In this section a comparison of the individual algorithms is given. The used big network scenario is evaluated with CPICH coverage verication mode 1. Table 9.22 shows the results for 50 user distribution snapshots and in Figure 9.20 the corresponding diagram is presented. From Table 9.22 we see that the Genetic Algorithm performs best. It outperforms all other algorithms easily. Beside the best optimization results we also can conclude that the GA delivers stable results. This means that the resulting

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Number of served Simulation Before optimization Algorithm Rule Based Approach Simulated Annealing Approach Genetic Algorithmb Analytic Optimization Algorithm 1046 821 104.7 60.7
a

Number of Capacity gain [%] network evaluations

users in optimization area 511

806 815 853

57.7 59.5 66.9

80 150 150 150000 5

Adaptive Rule Based

Table 9.22: Comparison of the dierent algorithms with 50 dierent snapshots on the big network scenario with CPICH verication mode 1. a The presented value is the result of only one run. However, for a fair comparison the mean value of several runs should be calculated. b The presented value is the mean value over 17 dierent runs.

9.7. COMPARISON OF THE VARIOUS APPROACHES

161

Figure 9.20: Comparison of the dierent algorithms on the big network scenario with CPICH verication mode 1.

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parameter settings also works ne with dierent user distribution snapshots. For the other algorithms I cannot claim this. However, the Genetic Algorithm has one signicant drawback, its runtime. The computational eort is much higher than for all other algorithms. If we compare the local optimization techniques, Rule Based Approach, Simulated Annealing2 and Adaptive Rule Based Approach, we see that the Adaptive Rule Based Approach shows the best result. The computation eort is for all three algorithms approximately the same. Comparing the result of the Analytic Optimization Algorithm with the local techniques, we see that almost the same improvement is reached. It is important to mention that the computational eort with only 5 network evaluations is much smaller than for all other optimization algorithms. Finally, in this chapter I conclude that if the computational eort is irrelevant, then the Genetic Algorithm is the best choice for optimizing the base station parameters in a UMTS network. However, if the runtime of the algorithm is very important, the Analytic Optimization Algorithm shows a good performance, because in only 5 evaluations a good result is achieved. If the computational eort plays only an underpart, then the Adaptive Rule Based Approach is a good choice, because with about 150 network evaluations the second best result is obtained.

For a fair comparison a mean value of several runs should be calculated.

Chapter 10 Summary and Conclusion

In this thesis I addressed the problem of capacity optimization in UMTS FDD networks. The goal was to improve the capacity of the network, measured as served users, without any additional expenses: The capacity should be improved only by changing the parameters of the base stations. For the operation of a network, a specic number of base station parameters inuence the capacity and therefore aect the performance of the network. Each sector of a base station can be congured by selecting: antenna type, antenna tilt, antenna pattern or CPICH power. All these parameters have a strong inuence on the interference in the system and therefore on the amount of served users. In this thesis I focused on the optimization of CPICH power and antenna tilt, because these parameters have the most inuence [54, 88]. By optimizing the antenna tilt settings, the other-to-own-cell interference ratio can be reduced: The antenna main beam delivers less power towards the neighboring base stations, and therefore most of the radiated power goes to the area that is intended to be served by this particular base station. Also the CPICH power settings are very important: The CPICH power has to be set such that the coverage is ensured with minimum interference to neighboring cells in order to reduce the pilot pollution. Altogether ve dierent algorithms has been developed. The rst three optimization algorithms, Rule Based Approach, Simulated Annealing and Adaptive Rule Based Approach are local techniques. Also a global technique, the Genetic Algorithm, has been developed. The last algorithm is an analytic approach. The Rule Based Approach starts from a scenario where all cells of the network are set to identical values for CPICH power and antenna tilt. The optimization process is characterized by reducing the CPICH power and increasing the antenna downtilt in the individual cells according to a congurable rule set. Based on the Rule Based Approach the algorithm was subsequently extended and 163

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improved by incorporating Simulated Annealing. In contrast to the rst method, the decision to take a bad result is independent of the rule set. The third algorithm was developed within the scope of a master thesis and is also a further development of the Rule Based Approach. The main dierence between the Adaptive Rule Based Approach and the other two local approaches is that CPICH power and antenna tilt are changed together, and that also an increase of CPICH power and antenna up-tilting is possible during the optimization process. In the next step a Genetic Algorithm was investigated and adapted for the UMTS capacity optimization problem. I implemented a representation scheme, which can also be utilized for optimizing other base station parameters. The genetic operators were adapted for the UMTS capacity optimization problem by considering the quality of the network. In addition, a simple local optimization was implemented, which is applied to the best individuals to improve their tness. The last discussed optimization algorithm is the Analytical Optimization Algorithm. This adjustment routine was developed within the scope of a master thesis. Besides antenna tilt and CPICH power settings, the ad hoc algorithm also optimizes antenna azimuth. Ad hoc in this context means to reach the result only by considering the structure of the UMTS network. Thus, in contrast to the other step by step optimization strategies only a few optimization steps are necessary. A tness function is needed to represent the optimization goal. In this thesis, I considered the number of served users as the goal of the optimization. For the Genetic Algorithm I used a tness function, which also includes coverage and soft handover in addition to the capacity, in order to represent the quality of the solutions more accurately. For the evaluation of the network conguration and in consequence for the evaluation of the tness function, a network simulator is necessary. I used the static UMTS FDD network simulator CAP ESSOT M from SYMENA, Software & Consulting GmbH, for these evaluations. The simulator allows two dierent modes: CPICH coverage verication mode 1 with a xed threshold for CPICH coverage, and CPICH coverage verication mode 2 including the interference by an EC /I0 threshold. The analysis of the individual algorithms was done on two virtual scenarios of a typical European city. In the rst scenario the network covers the whole area of the city. The second scenario contains only downtown. With the dierent algorithms I achieved improvements in capacity of up to 105 % for CPICH coverage verication mode 1 and up to 35 % CPICH coverage verication mode 2. In both modes the Genetic Algorithm performs best, but with the drawback of a high computation time. The Rule Based Approach showed the

165 worst performance. The capacity increase was about 60 % for CPICH coverage verication mode 1. So, I conclude for the developed algorithms that if the computational eort is irrelevant, the Genetic Algorithm is the best choice for optimizing the base station parameters in a UMTS network. However, if the runtime of the algorithm is very important, the Analytic Optimization Algorithm should be used, because this algorithm shows good results in only 5 network evaluations.

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Chapter 11 Appendix

167

168

CHAPTER 11. APPENDIX

Appendix A UMTS - Network Structure

In this appendix an overview over the basic entities of the UMTS network is given. The overview is based on the standard presented in [1]. The basic conguration of a Public Land Mobile Network (PLMN) is shown in Figure A.1. In the basic conguration presented in Figure A.1, all the functions are considered implemented in dierent equipments. Therefore, all the interfaces within PLMN are external. Interface A and Abis are dened in the GSM 08-series of the Technical Specications (TS). Interfaces Iu, Iur are dened in the UMTS 25.4xx-series of Technical Specications. Interfaces B, C, D, E, F and G need the support of the Mobile Application Part of the signalling system No. 7 to exchange the data necessary to provide the mobile service. No protocols for the H-interface and for the I-interface are standardized. All the GPRS-specic interfaces (G-series) are dened in the UMTS 23-series and 24-series of Technical Specications. Interfaces Mc, Nb and Nc are dened in UMTS 23.205 and in the UMTS 29-series of Technical Specication1 . From this conguration, all the possible PLMN organizations can be deduced. In the case when some functions are contained in the same equipment, the relevant interfaces become internal to that equipment. The individual blocks and functionalities of the Core Network (CN) are well presented in [1]. The CN can use two dierent types of access networks: the base station system (BSS) and the radio network system (RNS). The MSC (respectively SGSN) can connect to one of these Access Network (AN) type or to both of them2 . For the network optimization the functionalities in, and the interfaces between
All specications can be found on the 3gpp server, http://www.3gpp.org. The access technologies oered by the BSS are described in the 45-series of 3GPP specications. The access technologies oered by the RNS (FDD, TDD) are described in the 25-series of 3GPP specications (www.3gpp.org).
2 1

169

170

APPENDIX A. UMTS - NETWORK STRUCTURE

RNS and MS are of interest3 . In the network simulator from SYMENA, Software & Consulting GmbH, which is used throughout this thesis, the functionalities of the radio network controller (i.e. SHO, RRM,...) are modeled under the assumption that there is no dierence between two dierent RNCs. This means that the Iur-Interface is not considered.

The interface between the MS and the RNS is specied in the 24- and 25-series of UMTS Technical Specications (www.3gpp.org).

171

Figure A.1: Overview and basic entities of the UMTS network structure.

172

APPENDIX A. UMTS - NETWORK STRUCTURE

Appendix B 3GPP COST 259 Channel Models

This appendix is based on the deployment aspects for channel models in [7]. Within 3GPP only a small portion of the COST 259 models [27] are included. Nevertheless, in the following description the 3GPP point of view is presented. COST 259 [27] is a research forum founded by the EU, in which there are participants from manufactors, operators and universities. This forum is a successor of COST 207 [36] and COST 231 [28], which did the work on which the channel models used in GSM standardization were based. One of the work items identied in COST 259 was to propose a new set of channel models that overcome the limitations in the GSM channel models, while aiming at the same general acceptance. The models are aimed at UMTS and HIPERLAN, with particular emphasis on adaptive antennas and directional channels.

B.1

Model Descriptions

The main dierence between the COST 259 model and previous models is that it tries to describe the complex range of conditions found in the real world by distributions of channels rather than a few typicalcases. The probability densities for the occurrence of dierent channels are functions of mainly two parameters: 1. Environment 2. Distance Given a certain environment (e.g. Urban Macrocell) and a certain distance (or distance range/cell radius), the parameters describing the distribution functions 173

174

APPENDIX B. 3GPP COST 259 CHANNEL MODELS

for this particular case can be extracted. Performing a sucient number of channel realizations will give a distribution of channels, which give a much better representation of reality than what would be possible using only one channel. The environments identied in COST 259 and included in 3GPP so far are given in Table B.1. The macrocellular environments have the same names as the GSM models. Further parameters and a much more detailed description of the model can be found in [27, 98]. Macrocell Typical Urban Bad Urban Rural Area Hilly Terrain Microcell (Street Canyons) (Open Places) (Tunnels) (Street Crossings) Picocell (Tunnel/Corridor) (Factory) (Oce/Residential Home) (Open Lounge)

Table B.1: Preliminary environments identied by COST 259. In COST 259, a number of properties of the propagation channel has been considered in the model work. The full proposal includes all of these properties, but it is quite simple and straightforward to implement the model in a modular structure, so that each of the properties can be switched on or o individually depending on the application. Inherent in the model are also correlations between the properties, e.g. time dispersion and shadow fading are modeled as being partially correlated.

B.2

3GPP Considerations

The propagation properties considered in the COST 259 model and considered by 3GPP are shown in Table B.2. The shape of the channel is given by one or several clusters, where each cluster is exponentially decreasing in delay and Laplacian (double-sided exponential) in azimuth. Each cluster consists of a number of Rayleigh-fading paths, plus a possible non-fading path to get Rice fading. Of interest here are mainly the properties 4 and 7 shown in Table B.2. For this case, a full description of the channel is given by specifying the parameter set (see Figure B.1). The ith cluster is described by its total power Pi , the delay of the rst path i and the cluster delay spread ,i . The last parameter describes the slope of the exponentially decaying power in the cluster. The number of clusters present is given by NC .

B.2. 3GPP CONSIDERATIONS

175

1 2 3 4 6 7 8

Path Loss Shadow Fading Fast Fading Time Dispersion Polarization Multiple Clusters Dynamic channel variations (variations 1-7)

5 Angular dispersion (azimuth and/or elevation at BS)

Table B.2: Propagation properties proposed by COST 259 and considered by 3GPP.

Figure B.1: Channel shape (power delay prole) with multiple clusters. Source: [7].

176

APPENDIX B. 3GPP COST 259 CHANNEL MODELS

From the 3GPP point of view it is possible to reduce the complexity of the COST 259 model by approximating the continuous distributions with a small number of cases, selected to be typical representations of the channel in common environment. 3GPP proposes a set of models with xed parameters as shown in Figure B.2. The selected parameters correspond to the COST 207/GSM models with one important dierence concerning the delay spread value for the Typical Urban channel. This has been reduced to better correspond to typical measurement results.

Figure B.2: Reduced complexity channel model parameters. Source: [7].

A cluster in the models outlined here is represented by a number N P independent Rayleigh-fading paths with classical Doppler spectrum, randomly distributed in the interval [i , i + k ,i ]. Preliminary assignments are N P = 20 and k = 4. For the evolution of the optimization algorithms in this thesis, an improved version of this COST 259 model is used. A data set with all the pathloss information was kindly provided by Dipl. Ing. Dr. Hermann Bhler GmbH, Mdling, Autria. u o

Appendix C RAKE Reception

In this appendix the details about the RAKE implementation for UMTS are explained. The basic operations for CDMA signal reception can be described in three steps: Time delay identication: First of all the dierent time delays at which signicant energy arrives have to be identied. With this, the correlation receivers, i.e. the RAKE ngers, have to be allocated to the individual peaks. Quoted from [54], the measurement grid for acquiring the multipath delays is in the order of one 1 chip duration (typically within the range of 1 - 2 chip duration) with an 4 update rate in the order of some tens of milliseconds. Note that the chip duration in UMTS is Tc = 0.26 s. With this, multipath components with a dierence in the path length of at least 0.26 s can be separated and combined coherently. This dierence in path length corresponds to a distance of about 78 m, which can be obtained even in small cells. For IS-95 systems, with a chip duration of about 1 s (i.e about 300m), this multipath diversity in small cells is not possible. Tracking of phase and amplitude: Within each RAKE nger both, phase and amplitude changes (caused by small scale fading) have to be tracked and removed (see Figure C.1). Signal Combination: The dierent signal contributions (the individual RAKE ngers) have to be combined coherently. The resulting symbols can then be presented to the decoder for further processing. In order to facilitate the tracking of both, signal-phase and -amplitude, UMTS uses known pilot symbols that are used to sound the channel state (i.e the weight 177

178

APPENDIX C. RAKE RECEPTION

Figure C.1: The principle of maximum ratio combining within the CDMA RAKE receiver. Source: [54].

vectors) for a particular nger. With this weight vector the received symbol is rotated back in order to cancel the phase rotation caused by the radio propagation channel. The channel-compensatedsymbols can then be summed up to recover the energy across all delays1 . In Figure C.2 the block diagram of a W-CDMA RAKE receiver is shown. Code generators and correlators perform the despreading and integration to user data symbols of received I- and Q-branches from the HF front-end. The channel estimation uses the pilot symbols for estimating the channel state which will then be removed by the phase rotator from the received symbols. In the Delay Equalizer the dierent delays for the individual taps are compensated. Since the individual taps are uncorrelated (they have dierent fading statistics), the delay equalization provides a multi-path diversity gain. In order to perform a successful despreading, code and data timing must be known. This can be estimated by a so-called matched-lter. A matched lter works the following way (see Figure C.3): We assume an incoming serial data stream. When the samples of the incoming serial data are equal to bits of predened data (i.e. pilot symbols), there is a maximum at lter output. Although there are several dierences between the UMTS RAKE receivers in the mobile and the base station [104], all the basic principles presented in this appendix are the same. To learn more about RAKE reception in UMTS see [54, 97].
This maximum ratio combining (MRC) algorithm performs optimal in case that the interference is uncorrelated [108].
1

179

Figure C.2: Block diagram of a W-CDMA RAKE receiver. Source: [54].

Figure C.3: Schematic block diagram of matched-lter.

180

APPENDIX C. RAKE RECEPTION

Appendix D Rule Set for Rule Based Approach

The standard rule set for the Rule Based Approach (Section 8.2.1) is shown in Table D.1. rule 0 1 2 3 4 5 6 7 8 9 param CPICH tilt CPICH tilt CPICH tilt CPICH tilt CPICH tilt delta -5 dB 5 -4 dB 4 -3 dB 3

limit 24 dBm 5 22 dBm 5 20 dBm 6

iter 6 6 7 7 8 8 9 9 10 10

-2 dB 2 -1 dB 1

18 dBm 7 15 dBm 8

Table D.1: Standard rule set used for Rule Based Approach.

181

182

APPENDIX D. RULE SET FOR RULE BASED APPROACH

Appendix E Rule Sets for Simulated Annealing

The two rule sets, which are used for the Simulated Annealing algorithm (Section 8.2.2) are listed in the following tables. rule 0 1 2 3 4 5 6 7 8 9 10 11 param CPICH tilt CPICH tilt CPICH tilt CPICH tilt CPICH tilt tilt delta -5 dB 5 -4 dB 4

limit 24 dBm 5 22 dBm 5

iter 20 20 20 20 20 20 20 20 20 20 20 20

-3 dB 3 -2 dB 2 -1 dB 1

20 dBm 6 18 dBm 7 15 dBm 8

CPICH -0.5 dB 0.5

15 dBm 8

Table E.1: Rule set 1 for Simulated Annealing.

183

184

APPENDIX E. RULE SETS FOR SIMULATED ANNEALING

rule 0 1 2 3 4 5 6 7 8 9 10 11 12 13

param CPICH tilt CPICH tilt CPICH tilt CPICH tilt CPICH tilt CPICH tilt tilt

delta -5 dB 5 -4 dB 4 -3 dB 3 -2 dB 2

limit 24 dBm 5 22 dBm 5 20 dBm 6 18 dBm 7

iter 20 20 20 20 20 20 20 20 20 20 20 20 20 20

-1 dB 1 -0.5 dB 0.5 0.25

15 dBm 8 15 dBm 8 14 dBm 8.5

CPICH -0.25 dB

Table E.2: Rule set 2 for Simulated Annealing.

Appendix F Rule Sets for Adaptive Rule Based Approach

The four rule sets, which are used for the Adaptive Rule Based Approach (Section 8.2.3) are listed in the following four tables. rule 0 1 2 param CPICH tilt CPICH tilt CPICH tilt delta 3 dB 1.5 2 dB 1

limit 25 dBm 4 15 dBm 5

iter 50 50 50

1 dB 0.5

10 dBm 7

Table F.1: Rule set 1 for Adaptive Rule Based Approach.

185

186APPENDIX F. RULE SETS FOR ADAPTIVE RULE BASED APPROACH

rule 0 1 2 3

param CPICH tilt CPICH tilt CPICH tilt CPICH tilt

delta 3 dB 1.5 1 1 dB 0.5

limit 25 dBm 4

iter 50 50 50 50

2 dB

20 dBm 5 15 dBm 6

1 dB 0.5

10 dBm 7

Table F.2: Rule set 2 for Adaptive Rule Based Approach.

rule 0 1 2 3 4 5 6 7

param tilt CPICH tilt CPICH tilt CPICH tilt CPICH tilt CPICH tilt CPICH tilt CPICH tilt

delta 0.25 3 dB 1.5

limit 25 dBm 4 25 dBm 4

iter 50 50 50 50 50 50 50 50

CPICH 0.5 dB

1 dB 0.5 3 dB 1.5 1 3 dB 1.5

20 dBm 5 20 dBm 5

2 dB

15 dBm 6 15 dBm 6

1 dB 0.5 3 dB 1.5

10 dBm 7 10 dBm 7

Table F.3: Rule set 3 for Adaptive Rule Based Approach.

187

rule 0 1 2 3 4 5 6 7

param CPICH tilt tilt CPICH tilt tilt CPICH tilt tilt CPICH tilt tilt

delta 3 dB 1.5 0.25 3 dB 1.5 0.25 3 dB 1.5 0.25 3 dB 1.5 0.25

limit 25 dBm 4 25 dBm 4 20 dBm 5 20 dBm 5 15 dBm 6 15 dBm 6 10 dBm 7 10 dBm 7

iter 50 50 50 50 50 50 50 50

CPICH 0.5 dB

CPICH 0.5 dB

CPICH 0.5 dB

CPICH 0.5 dB

Table F.4: Rule set 4 for Adaptive Rule Based Approach.

188APPENDIX F. RULE SETS FOR ADAPTIVE RULE BASED APPROACH

Appendix G Parameter File for Genetic Algorithm

For the genetic algorithm an XML le is used to specify the most important parameters. The le contains 3 elements: <ga>, <limit> and <init>. The element <ga> species the main parameters of the algorithm. The search space is dened by the element <limit>. The element <init> denes the start parameter settings of the rst 12 individuals. In the element <ga> the attributes dene the following: pop: Number of individuals in the population. cm: Selection pressure Cm . local num and local iter: Parameters of the local optimization (Section 8.3.2.5). reduce iter and min pop size: Parameters of Reduced Population Size (Section 8.3.2.7). add gos: GoS, where new users are admitted. add ever: Parameter of Adding Users as New Impulse (Section 8.3.2.6). <parameter_file> <ga pop="100" cm="5" local_num="20" local_iter="2" 189

190

APPENDIX G. PARAMETER FILE FOR GENETIC ALGORITHM

reduce_iter="999" min_pop_size="10" add_gos="0.96" add_ever="20" > </ga> <limit cpich_upper="38" cpich_lower="15" tilt_upper="-2" tilt_lower="10" > </limit> <init> <param cpich="33" <param cpich="33" <param cpich="15" <param cpich="15" <param cpich="24" <param cpich="24" <param cpich="24" <param cpich="33" <param cpich="15" <param cpich="33" <param cpich="24" <param cpich="15" </init> </parameter_file>

tilt="0" tilt="6" tilt="0" tilt="6" tilt="0" tilt="6" tilt="4" tilt="4" tilt="4" tilt="2" tilt="2" tilt="2"

/> /> /> /> /> /> /> /> /> /> /> />

Appendix H Flowcharts for Analytic Optimization Algorithm

This appendix presents the owcharts for the Analytic Optimization Algorithm presented in Section 8.4. Figure H.1 and Figure H.2 show the implementation of the azimuth adjustment described in Section 8.4.1. The introduced optimization of the antenna downtilt in Section 8.4.2 is presented by Figure H.3. Figure H.4 and Figure H.5 show the implementation of the CPICH power adjustment from Section 8.4.3. The full description of the implementation can be found in Chapter 6 of Wolfgang Karners diploma thesis [63].

191

192APPENDIX H. FLOWCHARTS FOR ANALYTIC OPTIMIZATION ALGORITHM

Figure H.1: Automatic azimuth adjustment routine for turning base stations to critical spots.

193

Figure H.2: Automatic azimuth adjustment routine for interleaving base stations.

194APPENDIX H. FLOWCHARTS FOR ANALYTIC OPTIMIZATION ALGORITHM

Figure H.3: Automatic tilt adjustment routine.

195

Figure H.4: Automatic CPICH adjustment routine for CPICH coverage verication mode 2, function: set CPICH coverage in total scenario.

196APPENDIX H. FLOWCHARTS FOR ANALYTIC OPTIMIZATION ALGORITHM

Figure H.5: Automatic CPICH adjustment routine for CPICH coverage verication mode 2, function: set CPICH coverage in optimization area.

Appendix I Simulation Parameters

The following tables summarize the relevant network parameters, which are used for CAP ESSOT M . Antenna type Antenna height Antenna sector Antenna gain Antenna pattern Initial antenna downtilt Initial antenna azimuth Conventional 30 m 65 16 dBi Kathrein 739707 (Figure 5.2 and 5.4) 0 mechanical (varied) + 3 predened electrical (xed) 0 (north) / 120 / 240

Table I.1: Base station antenna parameters in simulator CAP ESSOT M .

197

198

APPENDIX I. SIMULATION PARAMETERS

Number of carriers Number of OVSF code trees Maximum base station transmit power Maximum code power Minimum code power Initial CPICH power Initial SCH power Initial PCH power Active set window Active set size Transmitter loss Base station noise gure Number of RAKE ngers MRC eciency DL TPC dynamic range DL TPC headroom UL TPC dynamic range UL TPC headroom

1 1 43 dBm 40 dBm 15 dBm 33 dBm 5 dBm 5 dBm 3 dB 2 0 dB 5 dB 3 1 65 dB 1 dB 25 dB 2 dB

Changed together with CPICH power. See Section 5.3 for details.

Table I.2: System parameters in simulator CAP ESSOT M .

199 Background noise oor Path loss model Maximum delay of channel Number of channel taps azimuth of taps Downlink orthogonality factor of log normal large scale fading of log normal large scale fading Path loss correlation ACIR ISIR

-107 dBm [82] Macro cell [5], improved COST 259 channel model 2 s 5 5 0.4 2 dB 0 0.5 5% 5%

A detailed description of the COST 259 model is given in Appendix B.

Table I.3: Channel parameters in simulator CAP ESSOT M . Maximum mobile station transmit power Mobile station antenna gain Body loss Receiver noise gure Receiver sensitivity Receiver CPICH threshold

21 dBm 0 dB 0 dB 0 dB -120 dBm -126 dBm

The Receiver sensitivity is used in CAP ESSOT M for setting the EC /I0 threshold in CPICH coverage verication mode 2 (see Section 7.2.2.2). A receiver sensitivity of -120 dBm is equivalent to an EC /I0 threshold of -12 dBm.

Table I.4: Mobile station parameters in simulator CAP ESSOT M . User distribution Service mix Activity factor

Best Server Equal / Equal 40 % 12.2kbit/s speech, 60 % 64kbit/s data 50 % speech, 100 % data

See Section 7.4 for a detailed description of the possible user distributions. During this thesis only the Best Server Equal distribution is used for the evaluation of the dierent optimization algorithms.

Table I.5: User parameters in simulator CAP ESSOT M .

200

APPENDIX I. SIMULATION PARAMETERS

Appendix J Frequently Used Acronyms

2G 3G 3GPP ACIR ACTS AICH AN AP-AICH ARIB AuC AS BCH BER BLER BSC BSS BTS cdf CDMA cdma2000 CD/CA-ICH CF CN COST CPCH CPICH CS CSICH CWTS Second Generation Third Generation Third Generation Partnership Project Adjacent Channel Interference Ratio Advanced Communications Technologies and Services Acquisition Indication Channel Access Network Access Preamble Acquisition Indication Channel Association of Radio Industries and Businesses Authentication Center Active Set Broadcast Channel Bit Error Rate Block Error Rate Base Station Controller Base Station System BAse Transceiver Station cumulative distribution function Code Division Multiple Access 3G CDMA standard in US Collision-Detection/Channel-Assignment Indicator Channel Cooling Function Core Network European Cooperation in the eld of Scientic and Technical research Common Packed Channel Common Pilot Channel Circus Switched CPCH Status Indicator Channel China Wireless Communication Standard 201

202 DCH DECT DL DPCCH DPCH DPDCH DSCH DS-CDMA DTX EA EIR EIRP ETSI FACH FDD FDMA FRAMES GA GGSN GoS GPRS GSM GUI HCS HF HIMM HLR HMM HO HIPERLAN HTML IF IMT-2000 IP ISIR ITU ITU-R LAN MDC ME MMM MRC MS

APPENDIX J. FREQUENTLY USED ACRONYMS Dedicated Channel Digital Enhanced Cordless Telefon Downlink Dedicated Physical Control Channel Dedicated Physical Channel Dedicated Physical Data Channel Downlink Shared Channel Direct Sequence CDMA Discontinuous transmission mode Evolutionary Algorithms Equipment Identify Register Equivalent Isotropic Radiated Power European Telecommunications Standardization Institute Forward Access Channel Frequency Division Duplex Frequency Division Multiple Access Future Radio Wideband Multiple Access System Genetic Algorithm Gateway GPRS Support Node Grade of Service General Packet Radio Service Global System for Mobile communications Graphical User Interface Hierarchical Cell Structure Radio Frequency High Interactive Multimedia Home Location Register High Multimedia Handover High Performance Local Area Network Hipertext Markup Language Intermediate Frequency International Mobile Communications 2000 Internet Protocol Inter System Interference Ratio International Telecommunications Union ITU Radiocommunication sector Local Access Network Macro Diversity Combining Mobile Equipment Medium Multimedia Maximum Ratio Combining Mobile Station

203 MSC OFDMA ODMA QAP QoS QPSK OVSF PCH PCPCH PDSCH PHY PICH PLMN PN PRACH PS PSD PSTN P-CCPCH P-CPICH QF RACE RACH RAN RNC RNS RRC RRM R&D S SA SCH SD SGSN SHO SIM SIR SM SMS SNR S-CCPCH S-CPICH T1P1 Mobile Switching Center Orthogonal Frequency Division Multiplex Access Opportunity Driven Multiple Access Quadratic Assignment Problem Quality of Service Quadrature Phase Shift Keying Orthogonal Variable Spreading Factor Paging Channel Physical Common Packed Channel Physical Downlink Shared Channel Physical Paging Indicator Channel Public Land Mobile Network Pseudo Noise Physical Random Access Channel Packet Switched Power Spectrum Density Public Switched Telephone Network Primary Common Control Physical Channel Primary CPICH Quality Factor Research of Advanced Communications Technologies in Europe Random Access Channel Radio Access Network Radio Network Controller Radio Network System Radio Resource Control Radio Resource Management Research and Development Speech Simulated Annealing Synchronization Channel Switched Data Serving GPRS Support Node Soft Handover Subscriber Identity Module Signal to Interference Ratio Simple Messaging Short Message Service Signal to Noise Ratio Secondary Common Control Physical Channel Secondray CPICH Technical Subcommittee in US: Wireless/Mobile Services and Systems

204 TCP/IP TDD TDMA TD-SCDMA TFI TL TPC TS TSG TSP TTA TTC TX UE UL UMTS USIM UTRA UTRAN VLR WARC WLAN WLL W-CDMA W-TDMA WWW XML

APPENDIX J. FREQUENTLY USED ACRONYMS Transmission Control Protocol/ Internet Protocol Time Division Duplex Time Division Multiple Access Time Division - Synchronized CDMA Transport Format Indicator Tabu List Transmit Power Control Tabu Search Technical Specication Group Traveling Salesman Problem Telecommunications Technology Association Telecommunication Technology Committee Transmit User Equipment Uplink Universal Mobile Telecommunications System User Service Identity Module UMTS Terrestrial Radio Access UTRA Network Visitor Location Register World Administrative Radio Conference Wireless LAN Wireless Local Loop Wideband CDMA Wideband TDMA World Wide Web Extensible Markup Language

Appendix K Frequently Used Symbols

Parameter of Geometric Cooling function Orthogonality factor of cell k Parameter of Slow Cooling function Scaling factor (relative maximum link powers) for dierent base stations in the active set Cm Selection Pressure cells Number of cells in the network Ec /I0 for the CPICH CP ICHEc /I0 CP ICH EC /I0 thres Threshold for CP ICHEc /I0 E Energy state Eb /I0 Bit energy to interference plus noise density ratio Eb /N0 Bit energy to noise density ratio Ec Average energy per pseudo noise chip Ec /I0 Chip energy to interference plus noise density ratio e(i) Number of descendants for individual i existing Total number of simulated users U L Uplink loading U L,threshold Maximum cell load f (i) Scaled tness value of individual i g(i) Fitness value of individual i g Mean value over all g(i) gmax Highest tness that occurs in the population gcov Coverage probability of the pixels in the simulation area GoS Grade of Service gSHO SHO proportion gSHO,cell (k) Number of SHO links in cell k gSHO,max Maximum over all gSHO,cell (k) i Other-to-own cell interference ratio I0 Total received power density, including signal and interference, 205 k k

206

APPENDIX K. FREQUENTLY USED SYMBOLS as measured at the mobile station antenna connector Adjacent channel interference Total wideband power received at the mobile station from base station k Inter-cell interference Intra-cell interference Total wideband interference power received at the mobile station Boltzmanns constant Number of mobiles connected to base station N Interference oor Propagation loss between the mobile and the base station Link loss to base station i Link loss from base station k to the mobile station Population size Background noise Number of clusters Background noise level at the mobile station Number of base stations in network Recombination probability Overall transmit power of the common channels CPICH power of best server Total power of ith cluster Mutation probability Noise power at 20 C, which is -108,09 dBm Selection probability for individual i Total required cells transmit power Maximum cell power Average code power Required transmit power for a certain link Total transmit power of base station i Maximum base station transmit power capability Mobiles transmit power Required code power for the connected user n Quality Factor Bit rate Bit rate of user k Received power of the CPICH measured at the mobile station Wideband received power within the relevant channel bandwidth in the downlink Uplink Eb /N0 requirement Uplink Eb /N0 requirement of user k

IACI Ik Ioth Iown Itot k KN L Lp Lpi Lpk n N0 NC NM S numBSs pc Pcommon PCP ICH Pi pm Pnoise ps (i) PT PT,max P TX PT X PT X,i PT X,max PT X,M S PT X,n QF R Rk RSCPCP ICH RSSI k

207 S served servedk ,i T Tc TC i W Receiver Sensitivity Total number of served users Number of served users of cell k Cluster delay spread Temperature Chip duration Cooling temperature Delay of the rst path Service activity W-CDMA chip rate

208

APPENDIX K. FREQUENTLY USED SYMBOLS

Appendix L Curriculum Vitae

Personal Data
Name: Address: Birthday: Family status: Alexander Gerdenitsch Berggasse 1, 7022 Loipersbach 21.10.1976, Eisenstadt Unmarried

Education
1983-1987 1987-1991 1991-1996 Primary school, 2500 Baden. Comprehensive secondary school, 2500 Baden. Federal Secondary College of Engineering Wiener Neustadt, Department of Mechanical Engineering and Automation, School leaving examination in June 1996. Studies of Mechatronics with focus on Communications and 209

1996-2001

210

APPENDIX L. CURRICULUM VITAE Information Engineering at Johannes Kepler University Linz to achieve the Diplom-Ingenieur (Master degree).

2002-2004

PhD studies of Electrical and Electronical Engineering at the Institute of Communications and Radio-Frequency Engineering.

Military service
04/2001 - 11/2001 Completion of the military service in the Austrian army.

Career
12/2001 - 6/2002 Technical employee in the software department of the company Landis & Gyr, 7000 Eisenstadt. Research engineer at the Institute of Communications and Radio-Frequency Engineering, Guhausstrae 25/389, 1040 Wien.

Since 7/2002

Publications
S. Jakl, A. Gerdenitsch, W. Karner, M. Toeltsch, An Approach for the Initial Adjustment of Antenna Azimuth and Other Parameters in UMTS Networks, Proc. 13th IST Mobile & Wireless Communications Summit 2004, June 2004, Lyon, France. A. Gerdenitsch, S. Jakl, W. Karner, M. Toeltsch, Inuence of Antenna Azimuth in Non-Regular UMTS Networks, Proc. 5th World Wireless Congress, San Francisco, US, 2004. A. Gerdenitsch, S. Jakl, M. Toeltsch, The Use of Genetic Algorithms for Capacity Optimization in UMTS FDD Networks, Proc. 3rd International Conference on Networking ICN04, vol. 1, pp. 293-298, ISBN: 0-86341326-9, Guadeloupe, French Caribbean, 2004.

211 A. Gerdenitsch, S. Jakl, Y.Y. Chong, M. Toeltsch, An Adaptive Algorithm for CPICH and Antenna Tilt Optimization in UMTS FDD Networks, Proc. 8th International Conference on Cellular and Intelligent Communications (CIC), p. 378, ISBN: 89-5519-118-9-98560, October 2003, Seoul, Korea. A. Gerdenitsch, S. Jakl, M. Toeltsch, T. Neubauer, Intelligent Algorithms for System Capacity Optimization of UMTS FDD Networks, Proc. IEE 4th International Conference on 3G Mobile Communication Technologies, pp. 222-226, ISBN: 0-85296 756-X, June 2003, London. A. Springer, A. Gerdenitsch, Z. Li, A. Stelzer, R. Weigel, Adaptive Predistortion for Amplier Linearization for UMTS Terminals, Proc. IEEE 7th International Symposium on Spread-Spectrum Techniques and Applications, pp. 78-82, ISBN: 0-7803-7627-7, Sept. 2002, Prague. A. Springer, A. Gerdenitsch, R. Weigel, Digital Predistortion-Based Power Amplier Linearization for UMTS, Proc. European Conference on Wireless Technology (ECWT2001), pp. 185-189, ISBN: 0 86213 163 4, Sept. 2001, London. Alexander Gerdenitsch, Digitale Vorverzerrung zur Linearisierung von Leistungsverstrkern fr UMTS, Master Thesis, June 2001. a u

212

APPENDIX L. CURRICULUM VITAE

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