An Architecture for UMTS-WIMAX

Interworking

Quoc-Thinh Nguyen-Vuong1 , Lionel Fiat2 , and Nazim Agoulmine1

1
University of Evry, France
Nguyenv@iie.cnam.fr,Nazim.Agoulmine@iup.univ-evry.fr
2
Alcatel Marcoussis, France
Lionel.Fiat@alcatel.fr

Abstract. One motivation of Next Generation Networks is the ubiqui-

tous wireless access abilities which provide the automatic handovers for
any moving devices in the heterogeneous networks combining different
access technologies. In this paper, we present a possible UMTS-WIMAX
interworking architecture based on the 3GPP standards and propose the
seamless inter-system handover scheme which enables the service conti-
nuity with low handover latency and packet loss.
Keywords: UMTS, WIMAX, interworking, heterogeneous wireless net-
works, vertical handover

1 Introduction
The current technologies vary widely in terms of bandwidths, media access tech-
nologies, security mechanisms, etc. One of promising evolutions is to combine
different existing wireless technologies to offer access to services while on the
move, at any place and any time. A mobile device with multiple wireless network
interfaces can switch the connection among available access points implementing
different technologies.
The Universal Mobile Telecommunication System (UMTS) provides high mo-
bility with wide area coverage and supports low to medium data rates. However,
UMTS data rates are not sufficient to satisfy data-intensive applications and
the service charge is high. A research trend which aims to integrate UMTS and
Wireless Local Area Network (WLAN) to benefit the high data rate and low cost
of WLAN has much attracted research community and standardization bodies
for the last few years. Recently, the Worldwide Interoperability for Microwave
Access (WIMAX), a common name associated to the IEEE 802.16a/REVd/e
wirelessMAN standard [1, 2], which provides specifications for an air interface
for fixed, portable and mobile broadband wireless access networks, has not only
addressed the last mile problem but also supported the nomadic and mobile
clients on the go over the extended coverage area of cellular network. In our
study here, we focus only on the mobile WIMAX operating in the frequency
band of 2.5-3.5 GHz which supports a maximum mobility at about 100km/h.


This research has been partially funded by Eureka Celtic project SeIMoNet.

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 Several discussions have risen about the competition or the complementarity
between UMTS and WIMAX. We believe that these two technologies are going
to be living happily together. An UMTS-WIMAX interworking approach can
make the best use of advantages of both technologies and can eliminate their
stand-alone defects. The operators can deploy low-cost high-speed WIMAX to
cover the hotzones that is either an extension of UMTS or inter-workable with
UMTS so that they can maximize the utilization of already deployed infras-
tructures. The WIMAX technology can be a complement for UMTS in term of
geographical coverage and Quality of Service (QoS).
The interworking between 3GPP system and WIMAX is under study within
WIMAX Forum and for the moment it doesn’t consider the real inter-system
handover: it is based on reuse of the 3GPP-WLAN interworking model pro-
posed by 3GPP. To the best of our knowledge, there is no completely defined
and referenced interworking architecture between UMTS and WIMAX. This is
our motivation in designing a possible architecture which enables the mobility
and service continuity during handover between these two emerging access tech-
nologies. The paper is organized as follows: Section 2 presents the previous work
related to the interworking issues. Section 3 presents the proposed interworking
architecture. Section 4 describes in details the handover scheme from UMTS to
WIMAX access networks and vice versa. A conclusion and future work are given
in the last section.

2 Related work

The concept of interworking two or more access networks to provide ubiquitous

service to mobile users is already in use. There have been a lot of researches
focusing on interworking issues between WLAN and cellular networks [3–8].
In heterogeneous network literature, we can find proposals of using terminal
with a double communication capability which allows the user to switch the
connection from one radio access network to another without packet loss [9, 10].
The idea is to have two different radio interfaces simultaneously activated on the
same device. However, the fact having multiple active interfaces can increase the
amount of consumed energy of mobile device, then reduce device’s lifetime and
can cause the interferences and other physical effects. In this paper, we consider
the case where the mobile has only one active radio interface at a time.
The UMTS-WLAN interworking is currently being studied within the 3GPP
[11, 12]. Up to now, the WLAN is mainly operated as an extension of 3GPP
access network. The real inter-system handover was out of their scope in the last
Release 6. Meanwhile, the Unlicensed Mobile Access (UMA) technology [13, 14]
which consists of providing the transparent communication transition between
2G and public or private unlicensed wireless network such as WiFi, Bluetooth,
has been recently considered as 3GPP standard.
After reviewing the activities for interworking between WLAN and cellular
networks, there exist two interworking architecture approaches: tight coupling
and loose coupling [3–5]. Briefly, the tight coupling [6–8] scheme integrates two

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 networks at the Radio Access Network (RAN)- Core Network (CN) level. In
other words, it makes two different radio access technologies work together with
a single core network. Otherwise, the loose coupling offers a common interface
for the exchange of information between networks. Two access networks have
nothing in common, but the core networks are connected together. The key
component to support mobility management in this architecture is Mobile IP
[15].

3 Proposed interworking architecture

3.1 Architecture description

Firstly, we describe the differences between UMTS-WLAN interworking and

UMTS-WIMAX interworking. The WLAN in hot-spot areas forms the micro-
cells within the UMTS macro-cells. The mobility between UMTS and WLAN
can be referred to fully overlapping handover. Accordingly, the required time
for switching from UMTS to WLAN connection can be tolerantly long. More-
over, when the mobile is connected to WLAN, it can maintain simultaneously
the Packet Data Protocol (PDP) context of UMTS so that it can reconnect
immediately to UMTS without need of PDP context re-activation. On the con-
trary, the mobility between UMTS and WIMAX is referred to partially overlap-
ping handover since the WIMAX coverage is in order of UMTS coverage area.
Consequently, the handover should be done quickly to maintain the connection
particularly when the speed of the mobile terminal is high.
In order to enable the mobility between two access networks UMTS and
WIMAX, we propose a solution under some following conditions: minimum
change of the existing network infrastructure of these two technologies and feasi-
ble solution for short term. By using IP as the common interconnection protocol,
the mobile can connect to multiple networks seamlessly ignoring the heterogene-
ity of access technologies. This is achieved by using Mobile IP mechanism that
hides the heterogeneities of lower-layer technologies. The proposed architecture
for UMTS-WIMAX interworking, depicted in Fig. 1, is based on interworking
architecture models of 3GPP standards [12].
The mobile subscriber (MS) is a mobile node that can communicate with
both UMTS network and WIMAX network. However, note that it can connect
to only one access network at a time. Therefore, the handover between UMTS-
WIMAX must be the hard handover.
The WIMAX Access Network (AN) provides the WIMAX access services for
the MS. The mobility inside WIMAX network is managed by the WIMAX Home
Agent (HA) located between the ASN gateway and the WAG. The WIMAX HA
is not necessarily included in 3GPP core network to keep its independence from
3GPP system. The Foreign Agents (FA) located in ASN Gateway are considered
as the local FAs in the interworking architecture. The WIMAX AN is connected
to the UMTS network via WAG and to the 3GPP AAA server for the WIMAX
authentication process. The WAG is a gateway through which the data from/to

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 Fig. 1. UMTS-WIMAX Mobile IP based interworking architecture

WIMAX AN is routed to provide MS with 3GPP services. The functions of

WAG include enforcing routing of packets through PDG, performing accounting
information and filtering out packets. The main functions of PDG are to route
the packets received from/sent to the PDN to/from the MS and to perform the
FA functions.
The mobility within the UMTS network is managed by its own mobility
mechanism and the FA functions implemented in the GGSN. In order to enable
the vertical handover between these two technologies, the HA is placed in the
PDN and manages FAs of both WIMAX and UMTS networks.

3.2 IP address management

In WIMAX network, each time the mobile changes its ASN gateway, it will obtain
a new local IP address through the DHCP server. The ASN GW can learn this
new local IP address and also ask to the DHCP server the WIMAX HA’s address
since it plays the role of the DHCP relay agent in the DHCP discovery process.
The ASN GW then informs the serving BS the MS’s new local IP address and
sends the Mobile IP (MIP) registration to the WIMAX HA. A generic IP-in-IP
tunnel such as Generic Routing Encapsulation (GRE)[16, 17] may be used to
transport the IP packets between the WIMAX HA and the FA.
Each time the mobile switches the connection to the UMTS network, it will
initiate the PDP context activation procedure. No IP address is allocated to
the MS at the PDP context activation. The remote address provided by HA
or an external entity in PDN will be kept unchanged and will be informed to
the GGSN via PDP context activation. The remote IP address is a global home
address that is used to address to the external network and the correspondent
node. It may be a static address or a dynamic address acquired from the HA
or another external entity when the mobile first time connects to the network,

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 discovers and registers with the HA. The PDG/GGSN is then responsible for
relaying MS’s remote allocated IP address to the MS.

4 Handover procedure
To reduce the interruption time during the handover, we have specified a forward
handover procedure. That is to say, before leaving the serving network, the
mobile prepares a new attachment in the target network. In order to reduce the
packet loss during handover, the old FA notifies the HA the MS’s movement so
that the HA can buffer the packets and forward them to the MS as soon as the
HA receives the MIP update from the MS.

4.1 Handover from WIMAX Access Network to UTRAN

Before the handover is initiated, the mobile is connected to the 3GPP services
through WIMAX access network. When the MS enters to an overlapped zone,
the MS can measure signal quality from the UMTS neighboring cells. If the
triggering conditions for vertical handovers is satisfied, the handover decision is
then taken. The target UTRAN will be notified the imminent handover from the
WIMAX network via the HO request message routed through the core network.
The MS will perform the GPRS attach procedure with the UTRAN. Mobility
management contexts are established at the MS and SGSN. The MIP registration
between the HA and new GGSN/FA can be updated after the PDP context is
activated between GGSN and MS. The details of handover procedure from a
WIMAX cell to an UMTS cell is depicted in Fig. 2.

Fig. 2. Handover scheme from WIMAX to UTRAN

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 1. The WIMAX BS sends periodically the topology advertisement message to
inform the MS of neighboring WIMAX BSs and NodeBs. Alternatively, the
MS can scan different channels to discover the neighboring topology. How-
ever, it is not a good solution and it will be our future work. Through out
our study here, we assume that there exists a total cooperation between
the UMTS and WIMAX networks operators. Thus, the UMTS NodeB can
transmit to the MS the WIMAX neighboring cell information and vice versa.
2. Based on the topology advertisement, the MS performs synchronisation and
measurement procedure. The event-triggered inter-system measurement may
be based on the degradation of current signal quality or on the necessity of
switching between access technologies to support higher QoS requirements
or low cost. Since the WIMAX operates in TDD mode, during the down-
link frame duration, only some OFDM symbols are addressed to the mobile.
Accordingly, the remaining time can be used to measure neighboring cell
signals. Note that, to facilitate the measurement on UMTS cell, the infor-
mation such as scrambling code, carrier frequency,...should be included in
advertisement messages.
3. After the measurement step, the mobile shall send the measurement report
to the WIMAX BS. The report must contain the signal quality level of each
candidate UMTS cell.
4. The WIMAX BS initiates the handover procedure by notifying the potential
target UMTS via handover (HO) request message. The PDG will perform a
DNS request to know the addresses of GGSNs which serve the current MS’s
Access Point Name (APN). The PDG then selects one GGSN in the result
list of GGSNs from the DNS request phase and sends the HO request to this
selected one. If the PDG does not receive any response from the GGSN for
a certain time, it will select another GGSN in the found list and resend the
HO request message.
5. The GGSN then sends the HO request message to the SGSNs who serve
the indicated nodeBs. In order to be able to retrieve the address of SGSN
that serves a specific nodeB, we assume that the DNS server or the Home
Location Register (HLR) stores this routing information.
6. The target RAN establishes bearer resources, including radio resources, for
the MS. This step aims to check if the candidate UMTS NodeBs can accept
the MS handover with the required QoS.
7. The NodeB which supports the MS handover will send a HO support message
to the ASN GW which contains the handover decision function.
8. Upon receiving HO support messages, the ASN GW selects the best target
UMTS cell and then returns the HO command to the MS. This message must
include the recommended target NodeB and all the required information
for setting up a new connection. The above exchange may require a large
amount of information and add more latency to handover, it is therefore
preferable to use a pre-configuration mechanism [18]. It means that only a
reference number corresponding to a predefined set of UTRAN parameters is
inserted in the handover command. The MS should download the predefined

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 radio configurations before. During this temporary connection, the MS can
reconfigure the connection into a suitable one.
9. Right after that the ASN GW sends the handover confirmation which in-
cludes the target NodeB identifier to the PDG/FA. The allocated resources
in the WIMAX network will be then released
10. Upon reception the handover confirmation message, PDG/FA will send a
MIP update message to HA to notify the MS’s movement. The HA then stops
sending the packets to the MS via this PDG/FA and buffers the inbound
packets until it receives the MIP update from the target UMTS network.
11. The MS performs the GPRS attachment procedure to UTRAN network. The
GPRS attachment procedure consists of accessing to SGSN, authenticating
with the AAA server and updating the location.
12. After performing successfully the GPRS attachment, the MS starts the PDP
context activation through which the MS informs its remote IP address (its
global home address) to the GGSN.
13. After the connection is established between a new GGSN/FA and MS, the
GGSN/FA will perform the MIP registration with the HA including the
MS’s remote IP address and its care of address (address of GGSN/FA). The
data will then be transmitted to MS via the new NodeB and the handover
procedure is completed.

4.2 Handover from UTRAN to WIMAX Access Network

Before the handover is initiated, the MS is in the UMTS network. When the
MS moves to an overlapped zone, it can measure the signal quality from the
neighboring WIMAX BSs. When the network decides to handover to WIMAX,
the MS will set up the connection with WIMAX AN, perform the authentication
and MIP registration update, etc. The handover scheme from an UMTS cell to
a WIMAX cell is depicted in Fig. 3.

1. The UTRAN is responsible for detecting the handover need and initiating
the inter-system measurement process by sending the measurement control
message to the MS. This message contains the neighboring WIMAX cell
information, the compressed mode pattern, etc.
2. While the MS has an on-going communication in FDD mode, in order to
perform the measurement on the neighboring WIMAX cells, it must enter
in the compressed mode. Note that the measurement on WIMAX cell is
performed on the preamble of each WIMAX frame.
3. After the measurement period, the MS sends the measurement report to
the network. The report must contain the parameters indicating the signal
quality level of the neighboring WIMAX BSs.
4. The RNC initiates the handover procedure by notifying the potential target
WIMAX BSs where the mobile may handover. The HO request message
including the MS’s APN, the candidate BS identifiers, the required QoS
of MS’s current applications, etc. will be sent to the GGSN. The GGSN
performs the DNS request to learn the addresses of the PDGs which serve

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 Fig. 3. Handover scheme from UTRAN to WIMAX

the MS’s current APN. The GGSN selects one PDG in the result list and
sends it the HO request message. If the GGSN does not receive any response
from the PDG after a certain time, it will send the HO request to another
PDG in the list. The HO request message will then be transmitted to the
potential WIMAX BSs based on the routing information at the PDG. This
step aims to check if the target WIMAX BS can accept the MS handover
with the required QoS.
5. The WIMAX BSs which support the MS handover will return a HO support
to the RNC.
6. The RNC will select the best target WIMAX BS among the supporting BSs
and then sends the HO command to the MS. This message includes all the
required information for setting up the connection to the selected target
WIMAX BS.
7. Right after that the RNC sends the HO confirmation. The mobile is then
disconnected from the UMTS network and starts the connection setup to
the target WIMAX BS.
8. Upon receiving the handover confirmation, GGSN/FA sends a MIP update
message to the HA to notify the MS’s movement. The HA then stops sending
the packets to the MS via this GGSN/FA and buffers the inbound packets
until it receives the MIP update from the target WIMAX network.
9. Based on the information included in the HO request message, the WIMAX
BS can provide a non-contention based initial-ranging opportunity to the
MS by placing a Fast Ranging Information Element in the UL MAP [1, 2].
This information will facilitate the RAN connection setup of the MS. If not,
the MS must perform the normal ranging procedure which takes more time.

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 10. The MS initiates the connection setup by exchanging Ranging Request (RNG-
REQ)/Ranging Response (RNG-RSP) with the target WIMAX BS. The
details of network entry can be found in [2].
11. In the WIMAX AN, the MS will perform DHCP request to obtain new local
IP address. In this scenario, we describe an address allocation procedure
based on IPv4 mechanism. If IPv6 is used, the local address can be allocated
by Stateless Address Autoconfiguration mechanism without the presence of
the DHCP server[21]. Through this procedure, the ASN GW will also learn
the WIMAX HA address which serves for MIP registration in the following
step.
12. The MS will perform the MIP registration to associate the MS’s local address
with its care of address.
13. The MS performs DNS resolution for PDG address. MS uses APN to indicate
the network service it wants to access. The DNS request will be relayed to
ASN GW which in turn relays the request to the DNS server. The MS will
select one suitable PDG among the list of PDGs given in DNS response.
Note that the selected PDG here may be different from the PDG selected
by GGSN during HO request/support step.
14. The MS then establishes an end-to-end tunnel with the selected PDG using
IKEv2 protocol [19]. Through this process, the MS will inform the PDG
about its local and remote IP address. Each time the mobile changes its
ANS network, it obtains a new local IP address and therefore a new tunnel
should be correctly configured. Regarding inter-WIMAX mobility, the time
required for setting up a new IPSec tunnel when changing of ASN may be too
long that the seamless mobility cannot be achieved. To speed up this kind
of IPSec tunnel relocation, we can use the MOBIKE mechanism proposed
by the IETF MOBIKE WG [20].
15. The PDG performs the MIP registration with the HA as soon as it will be
notified the MS’s remote IP address. The data packets will be transmitted
to MS via the WIMAX AN. The handover procedure is completed.

5 Conclusions and future work

In this paper, we have introduced a practical UMTS-WIMAX interworking ar-

chitecture based on 3GPP standards and proposed a handover procedure which
promises a low packet loss and low interruption time during the switching of
the communication. The mobility between two access networks is achieved by
the MIP mechanism at the network layer. The packet loss during handover is
reduced since the old FA notifies the HA the MS’s movement and consequently
the HA buffers the data packets destined to the MS. The proposed interworking
architecture does not require lot of changes on existing network infrastructures
which is a big advantage. The proposed handover scheme needs the exchange of
messages between the PGD and the GGSN which serve the same APN with the
help of the DNS server. In case the MS connects to multiple APNs, the han-
dover preparation phase may be more complex, which will be our future work

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 with some performance evaluation of our proposed mechanisms in a large scale
network. Moreover, we aim to consider the tightly-coupled interworking architec-
ture approach for 3GPP-WIMAX and 3GPP-WLAN interworking which allows
a seamless handover with less handover latency and less packet loss. The future
interworking architecture should be based on the architecture evolution proposed
by 3GPP standards. We therefore plan to consider the roaming architecture as
well as the mobility scheme in the context of multiple operator environments.

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