UMTS UTRAN Signaling Procedures

ISSUE 1.0

Wireless Curriculum Development Section

Course Contents

Chapter 1 UTRAN Network Overview Chapter 2 Basic Signaling Process

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UTRAN Overview

UE Working Mode and State

Serving RNCDrift RNC and Control RNC

Source RNC and Target RNC

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UE Working Modes and states

Idle Mode

The UE has no relation to UTRAN, only to CN. For data transfer, a signalling connection has to be established.

UE camps on a cell
It enables the UE to receive system information from the PLMN

When registered and if the UE wishes to establish an RRC

connection, it can do this by initially accessing the network on the control channel of the cell on which it is camped UE can receive "paging" message from control channels of the cell.

It enables the UE to receive cell broadcast services.

The idle mode tasks can be subdivided into three processes:

PLMN selection and reselection; Cell selection and reselection; Location registration.

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UE Working Modes and states

Connected Mode (Cell-DCH, Cell-FACH, Cell-PCH, URAPCH)

When at least one signalling connection exists, the UE is in

connected mode and there is normally an RRC connection between UE and UTRAN. The UE position can be known on different levels:
UTRAN Registration Area (URA) level The UE position is known on URA level. The URA is a set of cells Cell level The UE position is known on cell level. Different transport channel types can be used for data transfer: Common transport channels (RACH / FACH, DSCH, CPCH) Dedicated transport CHannels (DCH)

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UE Working Modes and states

Cell-DCH
In active state
Communicating via its dedicated channels UTRAN knows which cell UE is in.

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Cell-FACH and Cell-PCH State

Cell-FACH
In active state
Few data to be transmitted both in uplink and in downlink. There is no need to allocate dedicated channel for this UE. Downlink uses FACH and uplink uses RACH.

UE need to monitor the FACH for its relative information.

UTRAN knows which cell UE is in.

Cell-PCH
No data to be transmitted or received. Monitor PICH, to receive its paging. lower the power consumption of UE. UTRAN knows which cell UE is in. UTRAN have to update cell information of UE when UE roams to another cell

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URA-PCH State

URA-PCH
No data to be transmitted or received.
Monitor PICH. UTRAN only knows which URA (UTRAN Registration Area, which consists of multiple cells) that UE is in.

UTRAN update UE information only after UE has roamed to

other URA. A better way to lower the resource occupancy and signaling transmission

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UE states
- Reduce actionDTXand save power RRC connection
URA_PCH CELL_PCH

CELL_DCH

CELL_FACH

- Dedicated Channel - Radio bearers Transmission Services

IDLE

- upper layer Signaling trigger (CN) - Monitor paging channel - cell re-selection

DEAD

- Scanning networks (PLMN) - Camp on cell

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SRNC/DRNC
CN Iu SRNC Iur DRNC

SRNC and DRNC are on a per connection basis between a UE and the UTRAN

The SRNC handles the connection to one UE, and may borrow radio resources of a certain cell from the DRNC

Drift RNSs support the Serving RNS by providing radio resources A UE in connection state has at least one and only one SRNC, but can has 0 or multiple DRNCs

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CRNC
CN Iu CRNC Iub Node B
Cell Cell Cell

...
Node B

The CRNC owns the radio resources of a cell Dynamical control of power for dedicated channels, within

limits admitted by CRNC, is done by the SRNC.

Scheduling of data for dedicated channels is done by the SRNC, while for common channels it is done by the CRNC

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Source RNC/Target RNC

CN CN Iur Target RNC RNC

Iu Source RNC

Iu Serving RNC

The SRNS Relocation function coordinates the activities when the SRNS role is to be taken over by another RNS.

Source RNC is the SRNC before SRNs Relocation and Target RNC is the SRNC after SRNs Relocation

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Course Contents

Chapter 1 UTRAN Network Overview Chapter 2 Basic Signaling Process

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Basic Signaling Procedures

2.1 2.2 2.3 2.4 2.5

Call overall process Network start process UE registration process

Call process
Connection mobility management process

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Call overall Procedures

Network side Start 1Initialize equipment 2Process system broadcast Step 1 Handset Power on 1cell reselection 2Location registration 3Waiting for call Step 2 Paging UE Step 3

RRC connection

Establish

Step 6 Soft/hard handover

Step 6 RAB/RB modification

Step 6 Physical channel reconfiguration

Step 6 Transport channel reconfiguration

Step 5 RAB set up 1synchronous set up 2asynchronous set up

Step 4

NAS signaling connection establish

Step 6 URA update

Step 6 Cell update Step 7 Step 8 Waiting for call again 1cell selection 2wait for call

Step 6 Handover with GSM

RRC connection release

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Basic Signaling Procedures

2.1 2.2 2.3 2.4 2.5

Call overall process Network start process UE registration process

Call process
Connection mobility management process

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System Information Broadcast Flow

UE

Node B
1.System Information Update Request NBAP

RNC

CN

NBAP

2.System Information Update Response . NBAP NBAP

RRC

3.BCCH:System Information .

RRC

RRC

4.BCCH:System Information .

RRC

RRC

5.BCCH:System Information

RRC

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Basic Signaling Procedures

2.1 2.2 2.3 2.4 2.5

Call overall process Network start process UE registration process

Call process
Connection mobility management process

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RRC Connection Establishment Flow(CCH)

UE
RRC: RRC CONNECTION REQUEST

NodeB

SRNC

RRC: RRC CONNECTION SETUP

RRC: RRC CONNECTION SETUP COMPLETE

UE originate RRC connection setup for registration. SRNC decides to establish RRC connection on common channel, and uses pre-configured common channel resources.
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NAS Signaling Establishment Flow

UE
RRC NITIAL DIRECT TRANSFER I RANAP: INITIAL UE MESSAGE RRC T D RANAP T D RANAP T D RRC T D

SRNC

CN

UE changes DT messages with CN, such as Authentication, connection establishment, location registration, etc.
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RRC Connection Release Flow(CCH)

UE NodeB SRNC CN

IU RELEAS COMMAND E IU RELEAS COMPLETE E

RRC RC CONNECTION RELEAS R E RRC RC CONNECTION RELEAS COMPLETE R E

In registration process, UE does not use dedicated user plane resources. Instead, it release signaling link directly. Thus registration procedure ends.
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Basic Signaling Procedures

2.1 2.2 2.3 2.4 2.5

Call overall process Network start process UE registration process

Call process
Connection mobility management process

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Paging Flow (UE in Idle State or PCH State)

UE

SRNC
RANAP AGING P RRC AGING TYPE 1 P

CN

CN sends paging message and specifies UE and paging area. CN is responsible for paging message re-send. SRNC sends relevant paging message according to UE state.

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Paging Flow (connection mode)

UE Serving RNC CN

RANAP

1. Paging

RANAP

2. DCCH : Paging RRC RRC

CN sends paging message and specifies UE and paging area. CN is responsible for paging message re-send. SRNC sends relevant paging message according to UE state.

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RRC Connection Establishment Flow(DCH)

UE N ode B S ervin g R N S S erving RNC

1 . C C C H : R R C C o nnectio n R eq uest RRC RRC

A llo cate R N T I S elect L 1 and L 2 p aram eters 2 . R ad io L ink S etup R eq uest NBAP NBAP

S tart R X d escrip tio n 3 . R ad io L ink S etup R esp o nse NBAP NBAP

4 . A L C A P Iub D ata T ransp o rt B earer S etup 5 . D o w nlink S ynchro nisatio n D C H -F P 6 . U p link S ynchro nisatio n D C H -F P S tart T X d escrip tio n 7 . C C C H : R R C C o nnectio n S etup RRC 8 . R ad io L ink R esto re Ind icatio n NBAP 9 . D C C H : R R C C o nnectio n S etup C o m p lete RRC NBAP

D C H -F P D C H -F P

RRC

RRC

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NAS Signalling Connection Establishment

UE Serving RNC CN

1. RRC Connection Establishment

RRC

2. DCCH : Initial Direct Transfer RRC 3. Initial UE Message RANAP RANAP

The NAS signalling connection between UE and CN can now be used for NAS message transfer

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RAB Establish Flow(DCH-DCH, synchronous)

UE NodeB SRNC
RAB ASSIGNMENT REQUEST
ALCAP Establish

CN

RL RECONFIG PRE RL RECONFIG READY

ALCAP Establish, synchronization

RL RECONFIG COMMIT RRCRB SETUP

RRCRB SETUP COMPLETE RAB ASSIGNMENT RESPONSE

There are more than one ALCAP establish procedures on Iu Interface, more than one user plane RABs can be established simultaneously. After user plane establish, UE enters call connection.
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RAB Establish Flow(DCH-DCH, asynchronous)

UE NodeB SRNC
RAB ASSIGNMENT REQUEST

CN

ALCAP Establish
RL RECONFIG REQ RL RECONFIG RESP
ALCAP Establish, synchronization

RRCRB SETUP

RRCRB SETUP COMPLETE

RAB ASSIGNMENT RESPONSE

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Transport Channel Reconfig Flow(Synchronised )

UE

NodeB
RL RECONFIG PREPARE RL RECONFIG READY

SRNC

ALCAP Establish, synchronization RL RECONFIG COMMIT

TRANSPORT CHANNEL RECONFIG TRANSPORT CHANNEL RECONFIG COMPLETE ALCAP Release

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Physical Channel Reconfig Flow

UE NodeB
RL RECONFIG PREPARE

SRNC

RL RECONFIG READY

RL RECONFIG COMMIT

PHYSICAL CHANNEL RECONFIG PHYSICAL CHANNEL RECONFIG COMPLETE

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RRC Release FlowDCH

UE NodeB SRNC
IU RELEASE COMMAND IU RELEASE COMPLETE ALCAP Release RRCRRC CONNECTION RELEASE RRCRRC CONNECTION RELEASE COMPLETE RL DELETION RL DELETION RESPONSE ALCAP Release

CN

Release procedure is usually originated by CN. But if UE is faulty, SRNC can also request release.
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Basic Signaling Procedures

2.1 2.2 2.3 2.4 2.5

Call overall process Network start process UE registration process

Call process
Connection mobility management process

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Soft Handover

Macro diversity is a operation state in which a User Equipment simultaneously has radio links with two or more UTRAN access points. The aim is to improve quality of the radio connection or provide seamless connection.

Active Set is a set of radio links simultaneously involved in a specific communication service between an UE and a UTRAN access point.

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Soft Handover Illustration (Intra RNC)

CN
SRNC

CN
SRNC

CN
SRNC

NodeB

NodeB

NodeB

NodeB

NodeB

NodeB

Before Soft Handover

During Soft Handover

After Soft Handover

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Soft Handover Illustration (Inter-RNC)

CN
SRNC

CN
SRNC

RNC

RNC

NodeB

NodeB

NodeB

NodeB

NodeB

NodeB

Before Soft Handover

After Soft Handover

Radio Link(RL) is added and deleted simultaneously

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Soft Handover - Radio Link Addition

UE N ode B D rift R N S D rift RNC S e rv in g RNC D e c isio n to se tu p new R L 1 . R a d io L in k S e tu p R e q u e st

RN SAP 2 . R a d io L in k S e tu p R e q u e st

RN SAP

NBAP S ta rt R X d e sc rip tio n NBAP

NBAP

3 . R a d io L in k S e tu p R e sp o n se

NBAP RN SAP 4 . R a d io L in k S e tu p R e sp o n se RN SAP

5 . A L C A P Iu b B e a re r S e tu p 6 . R a d io L in k R e sto re In d ic a tio n

A L C A P Iu r B e a re r S e tu p

NBAP

NBAP RN SAP 7 . R a d io L in k R e sto re In d ic a tio n RN SAP

8 . D o w n lin k S yn c h ro n isa tio n D C H -F P D C H -F P 9 . U p lin k S yn c h ro n isa tio n D C H -F P D C H -F P

S ta rt T X d e sc rip tio n 1 0 . D C C H : A c tiv e S e t U p d a te RRC [ R a d io L in k A d d itio n ] 1 1 . D C C H : A c tiv e S e t U p d a te C o m p le te RRC RRC RRC

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Soft Handover - Radio Link Deletion

UE Node B Drift RNS Drift RNC Serving RNC

Decision to delete old RL

1. DCCH : Active Set Update RRC [Radio Link Deletion] 2. DCCH : Active Set Update Complete RRC RRC 3. Radio Link Deletion Request RNSAP RNSAP NBAP 4. Radio Link Deletion Request NBAP RRC

Stop RX and TX 5. Radio Link Deletion Response

NBAP

NBAP 6. Radio Link Deletion Response RNSAP RNSAP

7. ALCAP Iub Bearer Release

ALCAP Iur Bearer Release

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Hard Handover Illustration (Intra-RNC)

CN
SRNC

CN
SRNC

NodeB

NodeB

NodeB

NodeB

Before Har Handover 7

After Hard Handover

Radio Link(RL)cannot exist simultaneously

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Hard Handover Illustration (Inter-RNC)

CN
SRNC

CN
SRNC

RNC

RNC

NodeB

NodeB

NodeB

NodeB

Before Hard Handover

After Hard Handover

Radio Link(RL)cant exist simultaneously

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Hard Handover via Iur (DCH on Iur)

UE Node B Source Node B Target RNC Source
2. Radio Link Setup Request NBAP NBAP NBAP

RNC Target

SRNC

1. Radio Link Setup Request RNSAP RNSAP

3. Radio Link Setup Response

4. ALCAP ub Data Transport Bearer Setup

NBAP

5. RL Setup Response RNSAP RNSAP 6. ALCAP Iur Data Transport Bearer Setup RRC NBAP 7.DCCH : Physical Channel Reconfiguration RRC

8. Radio Link Failure Indication

NBAP RNSAP 9. Radio Link Failure Indication RNSAP RRC RNSAP

10. DCCH : Physical Channel Reconfiguration Complete RRC RNSAP NBAP NBAP 12. Radio Link Deletion Request 13. Radio Link Deletion Response 14. ALCAP Iub Data Transport Bearer Release RNSAP 15. Radio Link Deletion Response NBAP NBAP 11. Radio Link Deletion Request

RNSAP

16. ALCAP Iur Data Transport Bearer Release

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Hard Handover FlowUMTS->GSM

UE Node B RNC Serving
RANAP 1. Relocation Required

CN
RANAP MAP/E 2. Prepare Handover

MSC

BSC

BTS

MAP/E BSSMAP

3. Handover Request

BSSMAP

BSSMAP 4. Handover BSSMAP Request Ack 5. Prepare Handover Response MAP/E MAP/E 6. Relocation Command RANAP RRC RANAP

7. DCCH : Inter-System Handover Command RRC

BSSMAP 9. Handover Complete

8. Handover Detect BSSMAP

RR BSSMAP 11. Send End Signal Request MAP/E MAP/E

10. Handover Complete

RR
BSSMAP

RANAP

RANAP 13. Iu Release RANAP Complete RANAP 14. Send End Signal Response MAP/E MAP/E

12. Iu Release Command

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Forward Handover

Forward Handover, including CELL UPDATE and URA UPDATE, is originated by UE. URA UPDATE procedure is only used for UE under URA_PCH state to process URA reselection, and to check if RRC connection is right.

For UE under CELL_FACH and CELL_PCH state

cell reselection needed

In specific SA(Service Area)Timer T305 timed out (this timer is defined in system broadcast message)

For UE under CELL_PCH and URA_PCH state

transfer data on up link needed (enter CELL_FACH state) upon receiving paging message on PCCH, originate cell update CELL UPDATE process can be used to re-establish unrecoverable errors of RLC entitylosing connection, and to monitor RRC connection state.

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Cell Update with SRNS relocation

UE Target RNC Source RNC CN

RRC

1. CCCH: Cell Update [Cell Update Cause,U - RNTI, Measured results on PRACH]

RRC - relay

2. Uplink Signalling Transfer Indicatio n RNSAP RNSAP [new C - RNTI, D - RNTI, UL message]

3. Serving RNC Relocation

RRC

4. DCCH: Cell Update Confirm [S - RNTI, SRNC - ID, new S - RNTI, new SRNC - ID, new C - RNTI]

RRC

5. DCCH : UTRAN Mobility Information Confirm RRC RRC

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Cell Update via Iur without SRNS relocation

UE DRNC source DRNC target SRNC

1. CCCH: Cell Update RRC RRC-relay 2. Uplink Signalling Transfer Indication RNSAP [new C-RNTI,D-RNTI, UL message] 3. Common Transp. Channel Resources Initialization Request RNSAP RNSAP RNSAP

4. Common Transp. Channel Resources Initialization Response RNSAP RNSAP

5. ALCAP Iur bearer setup

6. DCCH: Cell Update Confirm RRC 7. DCCH: UTRAN Mobility Information Confirm RRC RRC RRC

RNSAP

8. Common Transp. Channel Resources Release

RNSAP

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Inter-RNS URA Update via Iur without SRNS relocation

UE Source RNC
1.CCCH: URA Update [U-RNTI, URA update cause] 2.Uplink Signaling Transfer Indication RNSAP RNSAP

Target RNC

Serving RNC

RRC

RRC-relay

[new C-RNTI,D-RNTI, UL message]

3. Decision Not to perform SRNS relocation

4. Downlink Signaling Transfer Request RNSAP RNSAP

RRC

5.CCCH: URA Update Confirm

RRC-relay

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Cell Reselection FlowUMTS->GPRS

UE

Serving RNC

CN

GPRS

1. UE releases connection with RNC

2. UE Access GPRS system

3. Inter-system information exchange data transfer

4. Iu Release Command

RANAP
4. Iu Release Complete

RANAP

RANAP

RANAP

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Cell reselection FlowGPRS->UMTS

UE Serving RNC CN GPRS

1. UE Access UMTS system(RNC)

2. Make signaling connection with CN

3. User plane bearers set up

4. Inter-system information exchange data transfer

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