Physical Cell Identity Self-Organization for Home

eNodeB Deployment in LTE

Yi Wu, Hai Jiang, Ye Wu, Dongmei Zhang
Nokia Siemens Networks
Beijing, CHINA

Abstract Femtocells, also called home base stations, are small

cellular access points installed by home users to get better indoor
voice and data coverage with lower network operation cost.
Considering the coexistence of eNB (macro cell) and a huge
number of Home eNBs (femto cells), the assignment of Physical
Cell Identity (PCI) among the different cells would be quite
complex, especially in the user-deployment scenario of Home
eNBs. In this paper, a solution of PCI self-organization for LTE
Home eNB is proposed under the autonomous configuration
framework of femto cells. By replacing time consuming and costly
tasks with automatic mechanisms, operational expenditure of the
widely distributed Home eNBs can be well reduced.
KeywordsSelf-Organization, Femto cell, PCI, CSG.

I. I NTRODUCTION
Femto cells are short-range low-cost low-power cellular
radio systems which are plugged to residential DSL or cable
broadband connections to provide improved indoor wireless
coverage and increased throughput for mobile data services
directly at home. The concept of femto cell [1] is quite simple:
making a base station cheap enough to be deployed in high
volume for residential use, connected to the core network via
broadband. This would deliver an end-user the same service
and benefit as a converged offering but, crucially, would
use existing standard handsets, with no need to upgrade to
expensive dual-mode devices.
An example of femtocell access via broadband Internet is
shown in Fig.1. With the use of residential IP broadband
connection behind the femtocell, an efficient fixed mobile
convergence (FMC) solution is achieved. Correspondingly, the
business analysis in [2][3] show that the mobile operators
could benefit from lower cost and increased fixed mobile
substitution, leading to higher revenues and more profitable
relationships with their newfound Internet and web partners.
The ABI Research [4] has released a market prediction of 102
million world-wide users on more than 32 million femtocells
by 2012. Toward this end, a collaborative organization called
the Femto-Forum comprising operators and femtocell vendors
was formed in 2007 with the objective of developing open
standards for product interoperability [5]. In April 2009, it is
announced that the worlds first femtocell standard has been
published by 3GPP [6].
The femtocell deployment in LTE is referred to as Home
eNodeB (HeNB). As shown in Fig.1, The LTE architecture
may deploy a Home eNodeB Gateway (HeNB GW) to allow
the S1 interface between the HeNB and the EPC (Evolved

Fig. 1. Femto access of Home eNodeB via broadband Internet in LTE

architecture

Packet Core) to scale to support a large number of HeNBs.

Currently the specification does not support X2 connectivity
of HeNBs because there is no direct link existing at the
HeNB level. In LTE Rel-9 [7][8], there are three modes for
HeNBs, namely: closed access mode, hybrid access mode
and open access mode. Considering the coexistence of eNB
(macro cell) and a huge number of HeNBs (femto cells)
with different access types, the assignment of Physical Cell
Identity (PCI) needs to be investigated in order to solve the
so-called PCI collision and PCI confusion problems. If the
HeNBs are manually controlled, higher operational complexity
and management costs are inevitable. Since the deployment of
HeNB is usually assumed to be user-specific and accordingly,
the location distribution and power on/off behavior may not be
predefined and controlled by the operators, it is preferred to
use a self-organized method for PCI assignment of the HeNB.
Actually self-organization is a key requested feature for the
next generation mobile networks. In [9], a method of automatic
configuration for Physical Cell Identity in LTE system has
been proposed in the concept of Self-Organization Network
(SON). This method makes use of mobile measurements to
update the neighbor cell relation lists and to detect the PCI
conflicts on the Operation Support System (OSS) for problem
solution. In [10], a graph coloring based method is developed

978-1-4244-3709-2/10/$25.00 2010 IEEE

for the PCI auto-configuration of LTE network. The problem

of a PCI collision and confusion free assignment has been
mapped to the classical graph coloring problem for mathematic
solution. However, none of the previous work has included the
impact of the layered structure of a heterogeneous network
with mixed eNBs and HeNBs on the PCI auto-configuration.
In this paper, a framework of PCI self-organization for the
LTE HeNB is proposed which replaces the time consuming
and costly tasks with automatic mechanisms. With the proposed solution, the HeNB could be assigned an appropriate
PCI in an autonomous way and correspondingly, the PCI
collision and confusion problem is resolved and the handover
from eNB (the macro cell) to HeNB (the femto cell), namely
inbound handover, can be supported well.
The rest of this paper is organized as follows. In Section
II, the technical background is briefly introduced and the
problem is clarified. In Section III, the proposed solution of
layer-structured self-organization for HeNB PCI assignment
is described. Section IV contains the evaluation and analysis.
Finally, concluding remarks are drawn in Section V.

TABLE I
U SE OF PCI IN THE INITIALISATION FOR SCRAMBLING SEQUENCES IN
PHYSICAL CHANNELS

Physical
Channel
PBCH
PCFICH
PHICH
PDCCH
PDSCH
PUCCH
PUSCH

Lower initialisation value of

the scrambling sequence
PCI
PCI+(Subframe Num+1)
(2 PCI+1) 29
PCI+(Subframe Num+1)
(2 PCI+1) 29
PCI+Subframe Num 29
PCI+Subframe Num 29 +
Stream ID 213 +RNTI 214
(Subframe Num+1)
(2 PCI+1) 216 +RNTI
PCI+Subframe Num 29 +
RNTI 214

Reinitialisation
Period
Fourth radio frame
Subframe
Subframe
Subframe
Subframe
Subframe
Subframe

II. T ECHNOLOGY BACKGROUND

A. PCI Assignment in LTE
PCI is the physical identification of a cell which could
identify an eNB at the physical layer. There are totally 504
unique PCIs defined in the LTE system, which are grouped
into 168 unique groups with 3 unique identities contained
in each group [11]. Actually, PCI plays a very important
role in physical layer process. At the physical layer, the
synchronization signals (including Primary Synchronization
Signal (PSS) and Secondary Synchronization Signal (SSS))
and the reference signals (including Cell-specific Reference
Signal (CRS) and UE-specific Reference Signal (URS)) are
constructed from sequences with unique mapping to the PCI.
Furthermore, PCI is also used in the generation process of the
scrambling sequences of most of the physical channel such
as PBCH, PCFICH, PHICH, PDCCH, PDSCH, PUCCH and
PUSCH as shown in Table I. Therefore, when there is a PCI
collision occurring, i.e. two neighbor cells have the same PCI,
the User Equipments (UEs) in the overlapped coverage would
have a poor performance or may even lose the cell connection
due to the conflicts of the neighboring synchronization signals,
reference signals and physical channels.
Another issue is PCI confusion, i.e. two cells which have the
same neighbor are assigned by an identical PCI. PCI confusion
will cause problems to measurement report and handover
preparation of the UEs in the neighbor cell. In measurement
report, the PCI is normally utilized to identify a cell in macro
systems because the eNBs PCI is locally unique according
to the operator network planning. Based on the reported PCI
and corresponding Reference Signal Received Power (RSRP)
the network could monitor the UEs radio channel condition
and manage the neighbor cell list for handover preparation.
However, if there is more than one neighbor cell assigned
with the same PCI, the network is unable to identify the cell
in the measurement report and the handover preparation may

Fig. 2.

Illustration of PCI collision and confusion

be directed to a wrong target. The illustration of PCI collision

and confusion is shown in Fig.2.
When the Self-Organization Network (SON) requirement is
introduced into the LTE system, the radio network parameters
may not always be predefined by the operators network
planning. In this way, the PCI configuration of the SON-based
cell also needs to be autonomous, which should take PCI
collision and confusion problems into account as discussed
above.
B. Access Modes of HeNB in LTE
It is imperative that the HeNB (femto cell) has the ability
to control which UE have the access right for the cell, which
leads to the definition of Closed Subscriber Group (CSG)
[7]. The CSG definition is a way to identify subscribers (i.e.

TABLE II
D IFFERENT ACCESS MODES OF H E NB IN LTE
HeNB

Use case

access mode

CSG Membership of the UE

member

non-member

Definitions in System Information Block

CSG-Indication in SIB1

CSG-Identity in SIB1

closed (CSG cell)

private

access

prohibited

TRUE

present

hybrid

public/private

access with privilege

access

FALSE

present

open

public

access

access

FALSE

absent

UEs) that are permitted to access one specific femto cell or

a group of femto cells. The HeNBs with CSG supporting are
supposed to broadcast a CSG identity (CSG-ID) in the system
information, so that UE can use the CSG-ID to facilitate access
for authorized members of the associated CSG. The scope and
uniqueness of the CSG identity should be maintained within
one Public Land Mobile Network (PLMN).
According to Rel-9, a HeNB may be configured with
different access modes: closed access mode, hybrid access
mode and open access mode. In closed access mode, the
HeNB operates as a CSG cell which is only accessible by the
members of the closed subscriber group for that CSG identity
it contains. In hybrid access mode, the HeNB operates as a
hybrid cell where the allowed members access it as a CSG cell
and at the same time, non-CSG members access it as a normal
cell. In open access mode, the HeNB operates as a normal cell.
Practically, the access mode configurations of the HeNB are
broadcasted in the System Information Block Type1 (SIB1)
using two parameters: CSG-Indication and CSG-Identity. In
SIB1, CSG cells have a CSG-Indication bit set to TRUE and
broadcast a CSG-Identity; Hybrid cells have a CSG-Indication
bit set to FALSE but broadcast a CSG-Identity; Open cells
have a CSG-Indication bit set to FALSE without CSG-Identity,
which is the same as the normal macro cells. The summary
of these access modes can be found in Table II.
C. PCI Management of HeNB
The problems of PCI collision and confusion for LTE HeNB
have been widely discussed in 3gpp Working Groups. As
shown in [13], it has been agreed that the HeNB needs to have
a downlink (DL) receiver for autonomous detection during
startup. In this way, the HeNB could avoid PCI collision by
choosing a PCI not in use by any another HeNB or eNB that it
can hear. On the other hand, the PCI confusion may bring more
challenges to the HeNBs while supporting inbound handover.
Compared to the dense and unplanned distribution of femto
cells under a given macro cell coverage, the PCI resources
dedicated for femto cells are limited. Therefore, there might
be lots of femto cells with identical PCI and accordingly
the network is unable to determine the correct target cell for
inbound handover based on measurement reports being sent
by UEs. The issue of PCI confusion can be addressed by a
solution of system information acquisition for HeNBs [14].
The UE is expected to read the broadcasted system information
and acquire the cell global identity (CGI) in autonomous gaps
or network scheduled gaps. When the globally unique CGI is

included in the measurement report together with PCI, the PCI

confusion can be resolved.
Since the gaps for acquiring the relative system information
would impact the UEs battery life and might cause interruption to on-going services especially in an area of dense
deployment of CSG cells, it would be better to allow a UE
without CSG membership to avoid useless acquisition to all
the CSG cells. Therefore, it is necessary to make the CSG cells
(i.e. closed access mode HeNB) being identified before reading
system information. The 3gpp specification has defined a
parameter csg-PhysCellIdRange in System Information Block
Type4 (SIB4) which limits the PCI choose of CSG cells into
a certain set. It is expected that such a range would be valid
within the whole PLMN and that the UE can safely assume
it is valid for 24 hours [15]. Correspondingly, UE with such
PCI range information can differentiate a CSG cell from a
non-CSG cell without having to read the system information.
It is noted that the hybrid cells are not contained within the
reserved PCI range for CSG cells. In current standardization
process, the issue of whether the network should also reserve a
PCI list for hybrid cells is still left for further study. Obviously,
there should be no PCI split for the open access cell, wherein
the HeNB works as a normal eNB.
While reviewing the heterogeneous architecture of normal
cellular network and autonomous femto cells, the PCI management issue becomes more complicated as different access
modes with PCI split are included. In this paper, we will
investigate the framework of PCI autonomous assignment for
HeNBs depending on the access mode recognition and PCI
self-organization.
III. APPROACH
In current LTE network, the handover is processed in the
Mobility Management Entity (MME), connected with a Home
Subscriber Server (HSS) which is responsible for subscription
management, authentication and authorization. In Release 9,
the CSG membership management is executed by the HSS
[7]. When a CSG subscriber group is updated, the affected
UEs CSG subscription data shall be updated to the HSS. Then
the HSS pushes updated subscription data to the MME which
will finally impact the mobility management data. The logical
architecture of HeNB and eNB access network is illustrated
in Fig.3, wherein the optional HeNB GW is not included in
this architecture. It is noted that the HeNB GW mainly serves
as a concentrator and will not impact the access control and
mobility functions. In 3GPP the automatic PCI assignment

S6a
MME / S-GW

HSS

S1

S1

PCI Assignment
Function
S1

S1

Cooperate scenario
of CSG cells with
identical CSG-ID

S1

technology has been discussed in the concept of LTE eNB

self-organization [16]. The so-called PCI Assignment Function
(PCI-AF) is proposed to be located in the distributed eNBs
or in a central entity. However, considering the low cost and
low power consumption request of the femtocell, the PCI
Assignment Function for HeNB is preferred to be a central
entity. Here the term central entity means we assume the entity
could access to all required information from the HeNBs and
HSS server. It does not imply any statements about its location
which is left for vendor implementation.
It is well known that the macro cell handover could benefit
from the Neighbor Cell List (NCL) management at each eNB.
The neighbor cells are identified by the locally unique PCIs,
being measured and reported by the UE for potential handover
preparation. Since the HeNB with open access mode operates
just as a normal cell, it is usually used for coverage extension
and hence could be included in the NCL of normal eNBs.
Therefore, the PCI assignment and management for open
access mode HeNB would be similar to the SON LTE network
as studied in previous works [9][10]. Comparatively, the CSG
cells and hybrid access cells have the most attractive feature
of HeNB and might be deployed densely within the macro
cell, which will be the focus of our research here.
As the number of CSG cells and hybrid cells may be large
within a macro cell, the Neighbor Cell List of eNB does not
contain them for saving the UEs battery life. As specified in
the specification, the inbound handover (i.e. handover from
macro to CSG/hybrid cell) will depend on autonomous or
manual search with help of fingerprint proximity such as
location information. Therefore, in the island deployment
scenario of separated CSG cells, the PCI assignment should
be easier since no confusion issue needs to be addressed. However, considering the cooperative multi-cell scenario which is
also popular and important in the use of CSG/hybrid HeNB
deployment e.g. femto solutions for enterprise, shopping mall,
etc., the Neighbor Cell List of CSG/hybrid cell should include
the PCIs of the neighbor cooperative CSG/hybrid cells in order
to expedite the handover within the cooperative area. Based on
this, the PCI collision and confusion of the different femto cell
levels are not neglectable. In this paper we propose a layerstructured PCI self-organization scheme to solve this problem.
Based on different cell types, the PCI Assignment Function
is proposed to control multiple layers of the PCI sets which
include the layer of macro and open access cells, the layer of
hybrid access cells and the layer of CSG cells. Furthermore,
the mapping of PCI to the unique cell global identity (CGI)
and the Neighbor Cell List of each eNB/HeNB could also
be obtained by the PCI Assignment Function from the related
MMEs and HSS. Denote by the universal set of all available
PCIs in the network and by CSG the subset of PCI range
reserved for CSG cells. The algorithm is described as follows:
1) When a HeNB is started up, it first uses the DL receiver
to monitor the neighbor cells whose detected signal
strength is higher than a predefined threshold. Both PCI
and CGI of the detected neighbor cells (may also include
CSG-ID if it exists) are acquired by the reading of

eNB

HeNB
HeNB
HeNB Hybrid cell
Hybrid cell
Hybrid cell

HeNB
HeNB
CSG-ID=1
CSG-ID=1

HeNB
CSG-ID=1

HeNB
Open cell
HeNB
CSG-ID=3

Fig. 3.

HeNB
CSG-ID=2

Illustration of network architecture

system signals and corresponding system information

blocks. The startup HeNB collects the list of the detected
neighbor cells and sends it back to the PCI Assignment
Function.
2) The PCI Assignment Function selects the PCI based on
the access mode of the new HeNB:
2.1) If the access mode of the startup HeNB is closed,
only the CSG cells in the reported neighbor list are
relative to its PCI assignment. Denoted by n CSG
the PCI set of the detected neighbor cells belonging
to CSG and denoted by G the CSG-ID of the new
HeNB, the controller needs to search through the
reported neighbor CSG cells and identify those
cells whose CSG-ID is the same with the new
one. In order to resolve the PCI confusion problem
caused by the CSG cells, all the PCIs of neighbor
cells of these neighbor CSG cells who have the
same CSG-ID of the new one should be collected
and we denote by n n closed{CSG-ID=G} the corresponding PCI set. Then the PCI of the new HeNB
should be selected from the set:



CSG \ n CSG n n closed{CSG-ID=G} (1)
2.2) If the access mode of the startup HeNB is hybrid,
the neighbor macro cells as well as femto cells
of hybrid and open access modes are relative to
its PCI assignment. Let n non-CSG denote the PCI
set of the detected neighbor cells not belonging
to CSG which include macro cells, hybrid and
open access cells. Denoted by G the CSG-ID
of the new HeNB, since the hybrid femto cells

(2)
3) The controller could randomly select one PCI satisfying
the requirement of step 2.1/2.2 and send the decision
back to the requested HeNB. Note that if it is not the first
start up time for this HeNB, it should have also sent its
previous used PCI to the controller. If the previous PCI
still satisfies the requirement of 2.1/2.2, the controller
would assign the HeNB the unchanged PCI.
4) Since the new joined HeNB has changed the network
topology locally, new PCI confusion may be generated due to the new neighbor relations. Therefore, rechecking through the neighbor list of the new HeNB
is necessary. If the access mode of the startup HeNB is
closed/hybrid, the PCI controller needs to check whether
there are CSG/hybrid cells with the identical CSG-ID
that use the same PCI in the neighbor list. Considering
the fact that the previous network topology without the
new HeNB is confusion free, one can conclude that the
new HeNB is the only intersection of their neighbor
lists. Therefore, the detected confusing CSG/hybrid cells
should be ordered according to the length of their
neighbor list which is proportional to the impact degree
of the PCI change. All the detected confusing cells
except the one with the longest length of neighbor list
would be restarted one by one and each restarted one
is treated as a new HeNB which should go through the
step 1 to 3, iteratively. However, because the network
topology is not really changed by the restarted HeNBs,
there is no need for rechecking as step 4. As the result
there is no flooding problem for this proposed iterative
algorithm.
IV. E VALUATION AND A NALYSIS
Actually when we focus on the CSG/hybrid femto cells,
the most challenge of exhausting PCI usage for the proposed
scheme comes from the HeNB autonomous detection for
PCI collision avoidance instead of PCI confusion. This is
because that in CSG/hybrid cells, only the ones with identical
CSG-ID will include the PCI of each other in the Neighbor
Cell List and measurement report. Accordingly, there is no
PCI confusion issue for the CSG/hybrid cells which are not
cooperatively deployed. In this section we will evaluate the

TABLE III
S YSTEM PARAMETERS IN SIMULATION
Parameter

Value

Max Tx power for macro BS

43dBm

Max Tx power for femto BS

15dBm

Thermal noise density

-174dBm/Hz

Macro propagation model

L[dB] = 128.1 + 37.6 lg(R),

where R is in km.

Indoor propagation model

L[dB] = 37 + 32 lg(R) + nLw ,

where R is in meter, n is the number of indoor walls and Lw =6.9dB
is the attenuation of an indoor wall.

Shadow fading

Lognormal distributed, std. 8.0dB

Multipath fading: power [dB]

EPA:[0,-1.0,-2.0,-3.0,-8.0,-17.2,
-20.8]

Multipath fading: delay [ns]

EPA:[0,30,70,90,110,190,410]

PCI usage efficiency of the CSG/hybrid cell by the proposed

method in a simulated scenario of dense deployment.
Most of the important radio parameters used in simulation
are shown in Table III. A modified Okumura-Hata model as
presented in [17] is used for the macro propagation channel
and a modified COST 231 multi-wall model as presented
in [18] without the effect of floor attenuation is used for
the indoor propagation channel. As for the shadow fading,
a general lognormal distribution with a standard deviation of
8dB is used. For the multi-path fading, the EPA channel model
[19] is used for pedestrian users.
To obtain collision statistics over an entire area of 1km2 ,
instead of dropping HeNBs randomly in the whole area, a
fine uniform grid where each grid point is 100m apart from
another grid point in both horizontal and vertical direction is
defined and a HeNB is dropped into each grid with a dense
probability p. In our simulation it is assumed that a collision
occurs when the ratio between the desired signal energy and
the colliding signal energy becomes lower than a threshold
of 10 dB. All the HeNBs are assumed to be CSG with
12

10

Used PCI number

under a cooperative deployment use the same CSGID as the group identity, the controller needs
to search through the reported neighbor cells to
identify those HeNBs with hybrid access mode
whose CSG-ID is G. In order to resolve the PCI
confusion, all the PCIs of the neighbor cells of
these neighbor hybrid femto cells who have the
same CSG-ID of the new one should be collected.
Denoted by n n hybrid{CSG-ID=G} the corresponding PCI set, the PCI of the new HeNB should be
selected from the set:



(\CSG ) \ n non-CSG n n hybrid{CSG-ID=G}

0
0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

Dense probability of HeNB deployment

Fig. 4.

Assigned PCI number vs. increasing HeNB dense probability

the identical CSG-ID which is the worst case. The proposed

scheme is employed for PCI assignment and we show the
results of used PCI numbers with increasing HeNB dense
probability p in Fig.4. From the results, it is observed that by
the autonomous algorithm with local optimization, the used
PCI number is limited even with a large dense deployment
of cooperative CSG cells. Although here we only consider
the HeNB deployment in a two-dimension area instead of
three-dimension space, the result allows operators to have a
rough estimation and get to know that the PCI number limit
for CSG/hybrid cells deployment in a cooperative way should
not be a practical issue.
V. C ONCLUSION
Femtocell is an attractive proposition for mobile consumers
and operators alike. With the trend towards in-home/office
femtocell deployment, the requirements of SON have been
raised quickly. In this paper we focus on the automatic
assignment of HeNB PCIs depending on different access
modes for network optimization. With the proposed scheme,
the HeNBs could autonomously detect the neighbor cells and
after signaling exchange with the center controller, the PCI is
assigned in a layer-structured self-organized way. By replacing
time consuming and costly tasks with automatic mechanisms,
operational expenditure for PCI allocation and optimization of
the widely distributed Home eNodeBs can be well reduced.
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