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    UMTS UTRAN SignalingProcedures

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    11 UTRAN System Architecture andUTRAN System Architecture and

    Protocol StackProtocol Stack

    2 Basic Terms Related to the UTRAN2 Basic Terms Related to the UTRAN

    3 Basic Signaling Procedures3 Basic Signaling Procedures

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    UTRAN System Architecture

    RNS

    RNC

    RNS

    RNC

    Core Network

    Node B Node B Node B Node B

    Iu Iu

    Iur

    Iub IubIub Iub

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    WCDMA Protocol Architecture

    AAL5

    RANAP

    SCCP

    Relay

    RRCRLC

    MAC

    L1

    RANAPSCCP

    AAL5

    Uu IuUE RNS MSC/

    SGSN

    SignallingBearer

    RRC

    RLC

    MAC SignallingBearer

    ATM

    L1

    ATM

    SMS /GMM / MM

    SMS /GMM / MM

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    Comparison: GSM-BSS Protocol Architecture

    CM

    MM

    RR

    LAPDm

    SigL1

    L3

    L2

    L1

    MS

    RR BTSM

    LAPDm

    SigL1

    LAPD

    SigL1

    LAPD

    SigL1

    BTSM

    RR

    SCCP

    MTP

    BSSMAP

    CM

    MM

    BSSMAP

    SCCP

    MTP

    MSCBSCBTS

    Um AAbis

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    Protocol Architecture for the RNC ControlPlane

    Node B

    RNC

    CN

    UE

    RANAP

    NBAP

    RNSAPRRC

    NBAP Node B Application Part

    RANAPRadio Access Network Application PartRNSAPRadio Network Subsystem Application PartRRC Radio Resource Control

    RNC

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    Summary

    This part describes the UTRAN

    system architecture and the protocolarchitecture.

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    1 UTRAN System Architecture and1 UTRAN System Architecture and

    Protocol StackProtocol Stack

    2 Basic Terms Related to the UTRAN2 Basic Terms Related to the UTRAN

    3 Basic Signaling Procedures3 Basic Signaling Procedures

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    Basic Terms

    UTRANprovides setup, maintenance, and release of radio access

    bearer (RAB) for the Non-Access Stratum (NAS) to shield the focus of

    the NAS on the features of the radio access stratum. Other terms: UTRAN, RAB, RB, and RL

    RAB

    RB

    RLNodeB

    RNC CNUE

    UTRAN

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    Basic Terms

    RAB: The service that the access stratum provides to

    the Non-Access Stratum (NAS) for transfer of user data

    between User Equipment and CN.

    RBThe service provided by the Layer 2 for transfer of

    user data between User Equipment and SRNC.

    RL: A "radio link" is a logical association between single User

    Equipment and a single UTRAN access point. Its physical

    realisation comprises one or more radio bearer transmissions.

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    CELL_DCH CELL_FACH

    CELL_PCHURA_PCH

    IDLE

    DEAD - Searching for the network (PLMN)

    - Camp on the cell

    - Monitoring paging channel- Cell reselection

    - Dedicated channel- Radio bearers transmission servcie

    - Reducing actions, DRX, and saving power

    RRC connection

    These states are significant only forUTRAN and UE. They are transparent to

    CN.

    UE States

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    Working Modes of the UE

    The UE has two working modes: idle mode and connected mode.

    Idle mode: The UE is in the standby state and has no service for

    processing. In addition, no connection exists between the UE and

    UTRAN, and the UTRAN does not contain any information about the

    UE. The UE is identified by the NAS identifiers, such as the IMSI,

    TMSI, or P-TMSI.

    Connected mode: When the UE completes the RRC connection

    setup, the UE changes from the idle mode to the connected mode.

    In Connected mode, the UE has four states: Cell-DCH, Cell-FACH,

    Cell-PCH, and URA-PCH.

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    UE States in Connected Mode

    Cell-DCH

    The UE is in the active state. It communicates over the dedicated

    channel. The UE has a dedicated channel in both the uplink and

    downlink. The UTRAN accurately knows the cell on which the UE

    camps.

    Cell-FACH

    The UE is in the active state, but it has few data to send in both the

    uplink and downlink. It is not required to allocate a dedicated

    channel for the UE. The downlink data is transmitted over the FACH,

    and the uplink data is transmitted over the RACH. The UE needs to

    monitors the FACH in the downlink at any time for its information.

    The UTRAN accurately knows the cell on which the UE camps and

    maintains the resources for the UE and its state.

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    UE States in Connected Mode

    Cell-PCH

    The UE has no data to send in the uplink and downlink. It needs to

    monitor the PICH for receiving paging messages. Therefore, the UE

    enters the discontinuous reception, which saving the power.

    The UTRAN knows which cell that the UE camps on. Thus, after the

    UE roams to another cell, the UTRAN needs to update the cell

    information of the UE.

    URA-PCH

    The UE has no data to send in the uplink and downlink. It needs to

    monitor the PICH and enters the discontinuous reception. The

    UTRAN knows only the UTRAN registration area (URA) of the UE. AURA contains multiple cells. That is, the UTRAN updates the

    location information only after the URA where the UE is located

    changes, thus saving resources and reducing signaling.

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    Serving RNC and Drift RNC

    In the WCDMA system, the SRNC and DRNC are introduced due to the Iur interface.

    The SRNC and DRNC correspond to a specific UE.

    For connections between a UE and the CN, the RNC that is directly connected the CN

    and controls all resources of the UE is called the SRNC. The RNC that has no direct

    connection with the CN and only provides resources for the UE is called DRNC.

    A UE in connection state has at least one and only one SRNC, but can have no or

    multiple DRNCs.

    CN

    SRNC DRNC

    IuIur

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    CRNC

    The controller RNC (CRNC) corresponds to a NodeB or cell.

    The RNC that is directly connected to a NodeB and controls the

    usage of resources of the NodeB is called the CRNC.

    A NodeB corresponds to one and only one CRNC.

    The CRNC allocates the resources of all the NodeBs controlled by

    the CRNC properly.

    Iub

    Node B

    Cell Cell Cell

    Node B

    ...

    Iu

    CRNC

    CN

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    Summary

    This part describes some

    terms related to the UTRAN.

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    1 UTRAN System Architecture and1 UTRAN System Architecture and

    Protocol StackProtocol Stack

    2 Basic Terms Related to the UTRAN2 Basic Terms Related to the UTRAN

    3 Basic Signaling Procedures3 Basic Signaling Procedures

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    Basic Signaling Procedures

    System InformationSystem Information

    BroadcastingBroadcasting

    PagingPaging

    Paging ProcedurePaging Procedure

    HandoverHandover

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    System Information BroadcastingSystem Information Broadcasting

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    Overview of the System InformationOverview of the System InformationMIB: includes the PLMN identifier and the scheduling information of the schedule block (SB) and

    system block (SB).SB1: includes the scheduling information of the SIB.

    SB2 : includes the scheduling information of the SIB.

    SIB1: includes the UE timers and counters and the system information at the NAS.

    SIB2: includes the URA information.

    SIB3: includes the parameters for cell selection and reselection.

    SIB4: includes the parameters for cell selection and cell reselection in connected mode.

    SIB5: includes the parameters for the configuration of the common physical channel in a cell.

    SIB6: includes the parameters for the configuration of the common physical channel in a cell in

    connected mode.

    SIB7: includes the information about the uplink interface and dynamic persistence level.

    SIB8: includes the static information about the CPCH in the cell.

    SIB9: includes the dynamic information about the CPCH in the cell.

    SIB10: includes the information of dynamic resource assignment control (DRAC).SIB11: includes the measurement control information.

    SIB12: includes the measurement control information in connected mode.

    SIB13: includes the ANSI-41 system information.

    SIB14: includes the information in TDD mode.

    SIB15: includes the information for LCS.

    SIB16: includes the reconfiguration information about the handover from another system to theUTRAN.

    SIB17: includes the configuration information of the shared physical channel in connected mode

    (TDD).

    SIB18: includes the information of the neighboring PLMN.

    Note: The network planning engineers should pay more attention to the system information in blue.

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    SI1SI1

    The SIB1 includes the following information:

    System information at the NAS, such as LAC,

    RAC, and T3212

    DRX period coefficient of the CS domain: K 6,

    that is, DRX period 2^k = 2 6 = 64 TTI = 640 ms.

    DRX period coefficient of the PS domain K 6,that is, DRX period 2^k = 2 6 = 64 TTI = 640 ms.

    Timers and counters of the UE in connected mode

    or timers of the UE in idle mode

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    SI3SI3

    The System info type 3 includes the parameters

    for cell selection and reselection.

    Qhyst2s: indicates the cell reselection hysteresis

    of Ec/Io measurement.

    Sintrasearch: indicates the intra-frequencyreselection start threshold.

    Sintersearch: indicates the inter-frequency

    reselection start threshold.

    SinterRatsearch: includes the inter-system

    reselection start threshold.Qqualmin: indicates the minimum quality

    standard for cell selection.

    Qrxlemin: indicates the minimum access level

    for cell selection.

    T reselection: indicates the reselection hysteresis

    time.

    Max Allowed UE TX power: indicates the

    maximum transmit power allowed by the UE.

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    SI5SI5

    The System info type 5 includes the feature

    parameters of the following common physical

    channels and the configuration information of the

    corresponding common transport channels:PICH

    AICH

    PCCPCH

    PRACH

    SCCPCH

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    SI7 and SI11SI7 and SI11

    System info type 7

    UL interference: The open-loop power control uses the

    Preamble_Initial_Power=Primary CPICH DL TX power - CPICH_RSCP + UL

    interference + Constant Value.

    Expiration Time Factor: indicates the update period for the SIB7 by the UE. The

    value can be : (2, 4, 8, 16, 32, 64, 128, 256)times. The existing value is 16 times, that

    is, the period is 4096 / 16 = 32 TTI = 320 ms.

    System info type 11

    The intra-frequency neighbor list, inter-frequency neighbor list, and inter-

    RAT frequency list and the measurement configuration information of the

    UE in Idle state are used for cell resection of the UE in the idle state.

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    Basic Signaling Procedures

    System InformationSystem Information

    BroadcastingBroadcasting

    PagingPaging

    Paging ProcedurePaging Procedure

    HandoverHandover

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    CN-Initiated Paging

    Paging type 1

    CN RNC1 RNC2 NODEB1.1 NODEB2.1 UE

    RANAPRANAP

    RANAP RANAP

    PCCH: PAGING TYPE 1

    PAGING

    PAGING

    PCCH: PAGING TYPE 1

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    CN-Initiated Paging

    Paging type 2

    If the UE is in the CELL_DCH or CELL_FACH state, the UTRAN sends the paging type 2 message to

    the paged UE over the DCCH.

    CN SRNC UE

    RANAPRANAPPAGING

    RRCRRC

    DCCH: PAGING TYPE 2

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    UTRAN-Initiated Paging

    UE RNC1NodeB1

    RRCPagingType1RRC

    When the system information changes, the UTRAN triggers the paging

    procedure to notify the UE in the idle mode, CELL_PCH state, and

    URA_PCH state to update the system information, so that the UE can obtain

    the updated system information.

    To trigger the state change (for example, the state changes to the

    CELL_FACH) of the UE in the CELL_PCH and URA_PCH states, the

    UTRAN initiates the paging procedure. As an acknowledgment for the

    paging, the UE initiates the cell update or URA update.

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    Basic Signaling Procedures

    System InformationSystem Information

    BroadcastingBroadcasting

    PagingPaging

    Paging ProcedurePaging Procedure

    HandoverHandover

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    3 Call Procedure3 Call Procedure

    3.1 Call Overall Procedure3.1 Call Overall Procedure

    3.2 RRC Setup Procedure3.2 RRC Setup Procedure

    3.3 NAS Signaling Setup Procedure3.3 NAS Signaling Setup Procedure

    3.4 RAB Setup Procedure3.4 RAB Setup Procedure

    3.5 RAB Release Procedure3.5 RAB Release Procedure

    3.6 RRC Connection Release Procedure3.6 RRC Connection Release Procedure

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    Call Overall ProcedureUE as Calling Party

    Process of signalingconnection setup between theUE and UTRAN

    Signaling exchange

    between the UE andCN

    Process of serviceconnection between the UEand

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    3 Call Procedure3 Call Procedure

    3.1 Call Overall Procedure3.1 Call Overall Procedure

    3.2 RRC Setup Procedure3.2 RRC Setup Procedure

    3.3 NAS Signaling Setup Procedure3.3 NAS Signaling Setup Procedure

    3.4 RAB Setup Procedure3.4 RAB Setup Procedure

    3.5 RAB Release Procedure3.5 RAB Release Procedure

    3.6 RRC Connection Release Procedure3.6 RRC Connection Release Procedure

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    When the NAS of the UE in idle mode requests for signaling connection setup,

    the UE initiates the RRC connection setup procedure. Each UE has a maximum of one RRC connection.

    The RRC connection setup is used to configure the signaling channel at the UTRAN side.

    RRC Connection Setup Procedure

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    RRC CONNECTION REQUEST

    UE identifier

    RRC connection setupcause

    RACH measurementreport

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    RRC CONNECTION SETUP

    Configure the dedicated transport

    channel format.

    Configure the message

    bearer format over the

    DCCH.

    Configure the ID of the UE

    in the RNC.

    Configure the physical

    channel format.

    RRC CONNECTION SETUP COMPLETE

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    RRC CONNECTION SETUP COMPLETE

    Authentication

    parameters of the CSand PS domains

    UE capability

    parameters

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    3 Call Procedure3 Call Procedure

    3.1 Call Overall Procedure3.1 Call Overall Procedure

    3.2 RRC Setup Procedure3.2 RRC Setup Procedure

    3.3 NAS Signaling Setup Procedure3.3 NAS Signaling Setup Procedure

    3.4 RAB Setup Procedure3.4 RAB Setup Procedure

    3.5 RAB Release Procedure3.5 RAB Release Procedure

    3.6 RRC Connection Release Procedure3.6 RRC Connection Release Procedure

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    SETUP

    Voiceservice

    Callednumber

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    3 Call Procedure3 Call Procedure

    3.1 Call Overall Procedure3.1 Call Overall Procedure

    3.2 RRC Setup Procedure3.2 RRC Setup Procedure

    3.3 NAS Signaling Setup Procedure3.3 NAS Signaling Setup Procedure

    3.4 RAB Setup Procedure3.4 RAB Setup Procedure

    3.5 RAB Release Procedure3.5 RAB Release Procedure

    3.6 RRC Connection Release Procedure3.6 RRC Connection Release Procedure

    RAB Setup Procedure

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    There are more than one ALCAP setup procedures on Iu Interface, and more than one user plane RABs can be establishedsimultaneously. After the user plane is established, the UE enters the call connection.

    In the protocols, the RAB is defined as the bearer for the NAS by the access stratum.

    The RAB refers to the bearer of the user plane and is used to transmit voice services, data services, and multimedia services

    between the UE and CN.

    The RAB setup consists of the setup of the service bearer AAL2 PATH of the Iu interface and Iub interface and the

    reconfiguration of radio resources of the RAN and UE.

    QAAl2QAAl2QAAl2QAAl2QAAl2QAAl2QAAl2QAAl2

    QAAl2QAAl2QAAl2QAAl2 QAAl2QAAl2QAAl2QAAl2

    RAB Setup Procedure

    RAB Assignment Request

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    RAB Assignment Request

    If there are multiple types ofservices, each type of serviceestablishes an RAB respectively.

    Service type

    Service bearer rate

    RB Setup

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    RB Setup

    Mapping information ofthe RAB, including threeRB sub-flows

    Configure both uplink and downlink transportchannels, reconfigure the DCH, and addthree DCHs to carry services.

    Configuration process of the physical channel

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    3 Call Procedure3 Call Procedure

    3.1 Call Overall Procedure3.1 Call Overall Procedure

    3.2 RRC Setup Procedure3.2 RRC Setup Procedure

    3.3 NAS Signaling Setup Procedure3.3 NAS Signaling Setup Procedure

    3.4 RAB Setup Procedure3.4 RAB Setup Procedure

    3.5 RAB Release Procedure3.5 RAB Release Procedure

    3.6 RRC Connection Release Procedure3.6 RRC Connection Release Procedure

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    The RAB release is initiated by the CN. When the UE is exceptional, the SRNC also requests

    for RAB release.

    RAB Release Procedure

    For multiple RABs For a single RAB, the RAB release is

    initiated by the RNC.

    The contents of the RAB

    assignment request message

    are different from that of the

    RAB setup message. The

    message contains Release.

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    3 Call Procedure3 Call Procedure

    3.1 Call Overall Procedure3.1 Call Overall Procedure

    3.2 RRC Setup Procedure3.2 RRC Setup Procedure

    3.3 NAS Signaling Setup Procedure3.3 NAS Signaling Setup Procedure

    3.4 RAB Setup Procedure3.4 RAB Setup Procedure

    3.5 RAB Release Procedure3.5 RAB Release Procedure

    3.6 RRC Connection Release Procedure3.6 RRC Connection Release Procedure

    C C i l d

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    The RRC connection release is initiated by the CN. When the UE is exceptional, the SRNC

    also requests for RRC connection release.

    The connection to the UE is released first, and then the connection to the NodeB is released.

    The RRC connection release means the termination of a call.

    UE NodeB SRNC

    RRC CONNECTION RELEASE

    RRC CONNECTION RELEASE COMPLETE

    RL DELETION

    RL DELETION RESPONSE

    ALCAP Iub Date Bearer Release

    RRC Connection Release Procedure

    Basic Signaling Procedures

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    g g

    System InformationSystem Information

    BroadcastingBroadcasting

    PagingPaging

    Paging ProcedurePaging Procedure

    HandoverHandover

    Intra-RNC Soft Handover Procedure (Adding aB h)

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    Decision to setupnew RL

    7. DCCH : Active Set Update Complete

    6.DCCH: Active Set Update

    UE Node B(new) SRNC

    NBAP1. Radio Link Setup RequestNBAP

    NBAP2. Radio Link Setup ResponseNBAP

    3 ALCAP Iub Data Transport Bearer Setup

    Start RX description

    DCH-FP4. Downlink SynchronisationDCH-FP

    DCH-FP5.Uplink SynchronisationDCH-FP

    Start TX description

    RRC

    RRC

    RRC

    RRC

    Branch)

    Intra-RNC Soft Handover Procedure (Deletinga Branch)

    Intra-RNC Soft Handover Procedure (Deletinga Branch)

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    Decision to deletea RL

    2. DCCH : Active Set Update Complete

    1.DCCH: Active Set Update

    UE Node B(old) SRNC

    NBAP3. Radio Link Deletion RequestNBAP

    NBAP4. Radio Link Deletion ResponseNBAP

    RRC

    RRC

    RRC

    RRC

    Stop RX and Tx

    5 ALCAP Iub Transport Bearer release

    a Branch)a Branch)

    Inter-RNC Soft HandoverInter-RNC Soft Handover

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    Before soft handover After soft handover

    When a radio link between the RNC and another NodeB is added,

    the original radio link between the SRNC and a NodeB is deleted.

    CN

    SRNC RNC

    NodeB NodeBNodeB

    CN

    SRNC RNC

    NodeB NodeBNodeB

    Inter-RNC Soft Handover Procedure(Replacing a Radio Link)

    Inter-RNC Soft Handover Procedure(Replacing a Radio Link)

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    7. Uplink Synchronisation

    RNSAP RNSAP

    1. Radio Link Setup Request

    Start TX description

    RNSAP RNSAP

    4. Radio Link SetupResponse

    NBAP NBAP2. Radio Link Setup Request

    NBAP NBAP3. Radio Link Setup ResponseStart RX description

    Decision to setupnew RL and

    release old RL

    NBAP10. Radio Link Deletion Request

    NBAP NBAP11. Radio Link Release Response

    Stop RX and TX

    12. ALCAP Iub Data Transport Bearer Release

    RRCRRC9. DCCH : Active Set Update Complete

    RRCRRC

    8. DCCH: Active Set Update

    [Radio Link Addition & Deletion]

    NBAP

    UENode B

    Drift RNSNode B

    Serving RNS Drift RNC Serving RNC

    ALCAP Iur Bearer Setup5. ALCAP Iub Data Transport Bearer Setup

    DCH-FPDCH-FP

    DCH-FPDCH-FP

    6. Downlink Synchronisation

    (Replacing a Radio Link)(Replacing a Radio Link)

    Intra-RNC Hard HandoverIntra-RNC Hard Handover

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    Before hard handover After hard handover

    The SRNC cannot maintain two radio links with two NodeBs at the same time.

    CN

    SRNC

    NodeBNodeB

    CN

    SRNC

    NodeBNodeB

    Intra-RNC Hard Handover ProcedureIntra-RNC Hard Handover Procedure

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    UE Node B Source Node B Target SRNC

    8. DCCH : Physical Channel Reconfiguration Complete

    6.DCCH : Physical Channel Reconfiguration

    1. Radio Link Setup Request

    2. Radio Link Setup Response

    9. Radio Link Deletion Request

    10. Radio Link Deletion Response

    3 ALCAP Iub Data Transport Bearer Setup

    7. Radio Link Failure IndicationRRCRRC

    NBAPNBAP

    NBAP

    RRCRRC

    NBAP

    NBAP

    NBAP NBAP

    Decide to

    handover

    Start Rx

    Start Tx

    DCH-FP4. Downlink SynchronisationDCH-FP

    DCH-FP5.Uplink SynchronisationDCH-FP

    NBAP

    NBAP

    NBAP

    11. ALCAP Iub Data Transport Bearer Release

    Inter-RNC Hard HandoverInter-RNC Hard Handover

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    Before hard handover After hard handover

    The radio link between the SRNC and a NodeB and the radio link between the RNC

    and another NodeB cannot exist at the same time.

    CN

    SRNC RNC

    NodeBNodeB

    CN

    SRNC RNC

    NodeBNodeB

    Inter-RNC Hard Handover Procedure (overthe Iur Interface)

    Inter-RNC Hard Handover Procedure (overthe Iur Interface)

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    RNSAPRNSAP1. Radio Link Setup Request

    UE Node B

    Source

    Node BTarget

    RNCSource

    RNCTarget

    SRNC

    RRCRRC

    10. DCCH : Physical Channel Reconfiguration Complete

    RRC7.DCCH : Physical Channel Reconfiguration

    RRC

    6. ALCAP Iur Data Transport Bearer Setup

    NBAP NBAP2. Radio Link Setup Request

    NBAP NBAP3. Radio Link Setup Response

    NBAP NBAP12. Radio Link Deletion Request

    NBAP NBAP13. Radio Link Deletion Response

    4. ALCAP Iub Data Transport Bearer Setup

    14. ALCAP Iub Data Transport Bearer Release

    RNSAP RNSAP15. Radio Link Deletion Response

    16. ALCAP Iur Data Transport Bearer Release

    RNSAP5. RL Setup Response

    RNSAP

    RNSAP11. Radio Link Deletion Request

    RNSAP

    NBAP NBAP8. Radio Link Failure Indication

    RNSAPRNSAP

    9. Radio Link Failure Indication

    the Iur Interface)the Iur Interface)

    SRNC RelocationSRNC Relocation

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    SRNS

    Core Network

    Iu

    DRNSIur

    UE

    RNS

    Core Network

    Iu

    SRNS

    UE

    After SRNS RelocationBefore SRNS Relocation

    Cells

    Types of SRNS RelocationTypes of SRNS Relocation

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    According to existing realization modes of the RNC, the SRNS relocationcan be classified into the following types:

    Static relocation

    Relocation after the DRL is established when the UE is in theCELL_DCH state. It is called the static state.

    Relocation after the IUR CCH is established when the UE is in the

    CELL_FACH state. It is called the FACH static relocation.

    Relocation with hard handover: indicates the relocation triggered by

    inter-RNC handover when the UE is in the CELL_DCH state.

    Relocation with forward handover: indicates the relocation triggered by

    the cell update or URA update when the UE is in the CELL_FACH,

    CELL_PCH, or URA_PCH state.

    Inter-RAT handover: The handover procedure between WCDMA and

    GSM is basically the same as the relocation with hard handover.

    Static RelocationStatic Relocation

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    60/63Relocation with Hard Handover (PS)Relocation with Hard Handover (PS)

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    Inter-RAT Handover Procedure (from UMTS toGSM)

    Inter-RAT Handover Procedure (from UMTS toGSM)

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