WCDMA RNO Handover Procedure Analysis Guidance

Product name WCDMA RNP Product version V100R001
Confidentiality level For internal use only Total 92pages
WCDMA RNO Handover Procedure Analysis Guidance

For internal use only
Prepared by Reviewed by Reviewed by Granted by
URNP-SANA
Date Date Date Date
2004-2-19
Huawei Technologies Co., Ltd.

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WCDMA RNO Handover Procedure Analysis
Revision record
Date 2003-10-30 2003-11-18 Revision version change Description Initial transmittal Initial transmittal revised Author Zang Liang Zang Liang
2005-07-02
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Table of Contents
1 Handover Concept................................................................................................................. 7 2 Classification of Handovers ................................................................................................... 7 2.1 Soft Handover.................................................................................................................. 7 2.1.2 Softer handover ......................................................................................................... 8 2.1.3 Soft Handover ............................................................................................................ 9 2.2 Hard Handover .............................................................................................................. 12 2.2.1 Inter-frequency Hard Handover................................................................................ 12 2.2.2 Intra-frequency Hard Handover................................................................................ 14 2.2.3 Inter-RAT Hard Handover ........................................................................................ 15 3 Signaling Procedures and Message Analyses of Handover Procedures............................. 16 3.1 Measurement Control and Measurement Report........................................................... 17 3.1.1 Measurement Procedures........................................................................................ 17 3.1.2 Measurement Control .............................................................................................. 19 3.1.3 Measurement Report ............................................................................................... 24 3.2 Soft Handover Procedure Analysis ................................................................................ 27 3.2.1 General Description of the Active Set Update Procedure ........................................ 27 3.2.2 Analysis of Soft Handover Related IEs .................................................................... 28 3.2.3 Active Set Update Procedure................................................................................... 34 3.2.4 Soft Handover Signaling Procedures Analysis......................................................... 39 3.3 Hard Handover Procedure Analysis............................................................................... 46 3.3.1 General Description of the Hard Handover Procedure............................................. 46 3.3.2 Analysis of Hard Handover Related IEs................................................................... 50 3.3.3 Hard Handover Signaling Procedure ....................................................................... 75 3.4 Inter-RAT Handover Procedure Analysis....................................................................... 79 3.4.1 General Description of the inter-RAT handover procedure ...................................... 79 3.4.2 Analysis of Inter-RAT Hard Handover Related IEs .................................................. 81 3.4.3 Inter-RAT Hard Handover Signaling Procedure ....................................................... 87 4 Performance Analysis of Handover Procedure.................................................................... 90 4.1 Performance Indicators and Analysis of Soft Handover................................................. 90 4.2 Hard Handover Performance Indicators and Analysis ................................................... 91
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List of Tables
Table1 Table2 Table3 Table4 Table5 Table6 Table7 Table8 Table9 Table10 Table11 Table12 Table13 Table14 Table15 Table16 IEs in a measurement control message................................................................... 20 IEs in a measurement report message .................................................................... 25 Measured results IE ................................................................................................. 25 Event results IE........................................................................................................ 26 IEs in an active set update message ....................................................................... 28 Table 6 Radio link addition information IE................................................................ 31 IEs in an active set update complete message ........................................................ 31 IEs in an active set update failure message............................................................. 33 Active set update failure causes .............................................................................. 33 IEs in a RADIO BEARER ESTABLISHMENT message........................................... 50 IEs in a RADIO BEARER RECONFIGURATION message ..................................... 56 IEs in a RADIO BEARER RELEASE message ........................................................ 61 IEs in a TRANSPORT CHANNEL RECONFIGURATION message ........................ 67 IEs in a PHYSICAL CHANNEL RECONFIGURATION message............................. 72 IEs in a HANDOVER FROM UTRAN COMMAND message ................................... 81 IEs in a HANDOVER TO UTRAN COMMAND message ......................................... 82
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List of Figures
Figure 1 Softer handover (Intra-NodeB, Inter-cell and intra-frequency handover) ................... 9 Figure 2 Soft handover (Intra-NodeB, inter-cell and intra-frequency handover)..................... 10 Figure 3 Soft handover (intra-RNC, inter-NodeB and intra-frequency handover)................... 11 Figure 4 Soft handover (inter-RNS and intra-frequency handover)........................................ 12 Figure 5 Hard handover (intra-NodeB, inter-cell and inter-frequency handover).................... 13 Figure 6 Hard handover (intra-RNS, inter-NodeB and inter-frequency handover) ................. 13 Figure 7 Inter-frequency hard handover................................................................................. 14 Figure 8 Intra-frequency hard handover (inter-RNS without lur) ............................................ 15 Figure 9 Intra-frequency hard handover (of the PS BE service beyond the rate threshold) ... 15 Figure 10 Inter-RAT hard handover ................................................................................ 16 Figure 11 Measurement control and measurement report.............................................. 19 Figure 12 Measurement control procedure, normal case ............................................... 19 Figure 13 Measurement control procedure, failure case................................................. 20 Figure 14 Measurement report, normal case.................................................................. 25 Figure 15 Active Set Update procedure, successful case............................................... 27 Figure 16 Active Set Update procedure, failure case...................................................... 28 Figure 17 Active set update procedure (successful and failure cases) ........................... 34 Figure 18 Radio link addition signaling procedure .......................................................... 40 Figure 19 Radio link deletion signaling procedure .......................................................... 42 Figure 20 Combined radio link addition and deletion signaling procedure...................... 44 Figure 21 Radio bearer establishment, normal case ...................................................... 47 Figure 22 Radio bearer establishment, failure case........................................................ 47 Figure 23 Radio bearer reconfiguration, normal case..................................................... 48 Figure 24 Radio bearer reconfiguration, failure case ...................................................... 48 Figure 25 Radio bearer release, normal case................................................................. 48 Figure 26 Radio bearer release, failure case .................................................................. 48 Figure 27 Transport channel reconfiguration, normal case............................................. 49 Figure 28 Transport channel reconfiguration, failure case.............................................. 49 Figure 29 Physical channel reconfiguration, normal case............................................... 49 Figure 30 Physical channel reconfiguration, failure case................................................ 50 Figure 31 Hard handover signaling procedure (with Iur interface and the UE in CELL_DCH state) .................................................................................................................... 76 Figure 32 Cross-CN hard handover signaling procedure................................................ 78 Figure 33 Inter-RAT handover from UTRAN, successful case ....................................... 79 Figure 34 Inter-RAT handover from UTRAN, failure case .............................................. 80 Figure 35 Inter-RAT handover to UTRAN....................................................................... 80 Figure 36 UTRAN GSM/BSS inter-RAT hard handover signaling procedure ............. 87 Figure 37 GSM/BSS UTRAN inter-RAT hard handover signaling procedure ............. 89
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Key wordsHandover procedure, soft handover, hard handover, inter-RAT handover AbstractThis document introduces the classification of WCDMA handovers, analyzes in details the signaling procedures of handover measurement, soft handover, hard handover and inter-RAT hard handover procedures, and describes the handover performance indicators. List of abbreviations Abbreviations Full spelling
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1 Handover Concept
Handovers are an inevitable issue where a mobile communication system is concerned, and play a very important role in a WCDMA system. It is one of the most important methods to implement a seamless coverage and improve the communication quality. In short, a handover is to transfer a UE connection from one radio link to another to accommodate the change of radio link caused by UEs crossing over cells, load adjustment of network or other reasons.
2 Classification of Handovers
Handovers are of two types, i.e. soft handover and hard handover. Roughly speaking, the difference between them is that in a soft handover a new connection is established before the existing one is disconnected, while in a hard handover it is the vice versa. Soft handovers can be further categorized into softer handover and soft handover. Hard handovers can be further categorized into intra-frequency hard handover, inter-frequency hard handover and inter-system handover.
2.1
Soft Handover
Definition: A soft handover means that there will always remain at least one radio link between the UE and UTRAN when radio links are added or removed. The merits of soft handovers are as follows: Without interrupting communications, soft handovers can improve the handover success rate. Soft handovers implement selection combination and achieve diversity gain and therefore can improve the coverage and radio link performance. Featured with high handover performance and low call-drop possibility when failed, soft handovers can improve the call quality of UEs on cell edges. However, a soft handover can occur only when the target handover cell and source handover cell operate at the same frequency, and the UE in the soft handover state must keep communicating with the two (or more) cells simultaneously, thus taking up more resources in the downlink. A soft handover is an intra-frequency handover of which the target and source cells must meet either of the following two conditions: 1 2 Belong to the same RNC; Belong to different RNCs with a lur interface between them. radio
Soft handovers can be categorized into softer handover and soft handover. The difference between them is that in a softer handover radio links are combined within the NodeB, while in a
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soft handover radio links are combined within the RNC. They are defined in details in subsequent sections respectively.
2.1.2 Softer handover

A softer handover happens between cells of the same frequency and same base station (NodeB). Radio links are combined within a NodeB. As a special kind of soft handover, softer hand over implements the uplink RAKE combination (with the downlink being already RAKE combination) with more combination gain and better link performance than soft handover, while using no extra lub/lur interface resources. A softer handover will cause the following activities: Altering the serving cell, with the target and source cells belonging to the same base station; Changing the allocation of physical channels, e.g. parameters such as channelization code and scrambling code; Combining radio links within the NodeB. The procedures of a softer handover are illustrated in Figure 1 below, with the radio links combined (RAKE combination) within the NodeB. Figure 1 (i) shows that there is a radio link between the UE and the source cell before the handover occurs. Figure 1 (ii) shows that the softer handover occurs, and the UE is in macro diversity handover state with the two links combined within NodeB. Figure 1 (iii) shows that the softer handover completes and the radio link between the UE and the source cell is removed.
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(i)
N/Ap1 UTRAN SRNS SRNC CN(UMTS)
(ii)
NodeB
NodeB
NodeB
NodeB
(iii)
NodeB
NodeB
Intra Node B (Inter Cell)
Figure 1 Softer handover (Intra-NodeB, Inter-cell and intra-frequency handover)
2.1.3 Soft Handover

1. A soft handover happens between different cells of the same frequency and same NodeB. Radio links are combined within the RNC rather than within NodeB (softer handover) because of the NodeB implementation or signaling reasons. Its network structure is the same as that of a softer handover, but with a different implementation mechanism. An intra-NodeB, inter-cell and intra-frequency soft handover will cause the following activities: Altering the serving cell, with the target and source cells belonging to the same base station; Re-allocating physical and transport channels, e.g. parameters such as channelization code and scrambling code; Combining radio links within the RNC. The procedures of an intra-NodeB soft handover are illustrated in Figure 2 below. Figure 2 (i) shows that there is a radio link between the UE and the source cell before the handover occurs. Figure 2 (ii) shows that the soft handover occurs, and the UE is in macro diversity handover state with the two links combined within the RNC. Figure 2 (iii) shows that the soft handover completes and the radio link between the UE and source cell is removed.
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(i)
(ii)
NodeB
NodeB
NodeB
NodeB
(iii)
NodeB
NodeB
Figure 2 Soft handover (Intra-NodeB, inter-cell and intra-frequency handover)
2. An intra-RNC and inter-NodeB soft handover will cause the following activities: Altering the serving cell, with the target and source cells belonging to different base stations in the same RNC; Re-allocating physical and transport channels, e.g. parameters such as channelization code and scrambling code; Combining radio links within the RNC. The procedures of an intra-RNC and inter-NodeB soft handover are illustrated in Figure 3 below. Figure 3 (i) shows that there is a radio link between the UE and the source cell before the handover occurs. Figure 3 (ii) shows that the soft handover occurs, and the UE is in macro diversity handover state with the two links combined within the RNC. Figure 3 (iii) shows that the soft handover completes and the radio link between the UE and source cell is removed.
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(i)
(ii)
NodeB
NodeB
NodeB
NodeB
(iii)
NodeB
NodeB
Inter Node B (Intra RNS)
Figure 3 Soft handover (intra-RNC, inter-NodeB and intra-frequency handover)
3. An inter-RNC, inter-NodeB and intra-frequency soft handover will cause the following activities: Altering the serving cell, with the target and source cells belonging to different base stations in different RNCs; Changing the allocation of physical and transport channels, e.g. parameters such as channelization code and scrambling code; Combining radio links within SRNC. The procedures of such a soft handover are illustrated in Figure 4 below, with the radio links combined within the SRNC via a lur interface. Figure 4 (i) shows that there is a radio link between the UE and the source cell before the handover occurs. Figure 4 (ii) shows that the soft handover occurs, and the UE is in macro diversity handover state with the two links combined within the SRNC via the lur interface. Figure 4 (iiI) shows that the soft handover completes and the radio link between the UE and source cell is removed.
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(i)
N/Ap1 UTRAN SRNS SRNC RNS RNC CN(UMTS) N/Ap2
(ii)
N/Ap1 UTRAN SRNS SRNC DRNS DRNC CN(UMTS) N/Ap2
NodeB
NodeB
NodeB
NodeB
NodeB
NodeB
NodeB
NodeB
(iii)
N/Ap1 UTRAN SRNS SRNC DRNS DRNC CN(UMTS) N/Ap2
NodeB
NodeB
NodeB
NodeB
Inter RNS Soft Handover

Figure 4 Soft handover (inter-RNS and intra-frequency handover)
2.2
Hard Handover
A hard handover happens when the UE releases the original radio link and then sets up a new one. Because a hard handover will release the existing connection before setting up a new one, it will cause temporary communication interruption. Hard handovers can be further categorized into intra-frequency hard handover, inter-frequency hard handover and inter-system handover.
2.2.1 Inter-frequency Hard Handover

1. An intra-NodeB, inter-cell and inter-frequency hard handover will cause the following activities: Altering the UE cell, with the target and source cells belonging to the same NodeB; Changing the frequency; Re-allocating physical and transport channels, e.g. parameters such as channelization code and scrambling code. Re-allocating transport channels, e.g. the number of transport channels and TFS. The procedures of such a hard handover are illustrated in Figure 5 below. The radio link between the UE and the cell as shown in Figure 5 (i) is released first before the radio link between the UE and the cell as shown in Figure 5 (ii) is set up.
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(i)
(ii)
NodeB
NodeB
NodeB
NodeB
Figure 5 Hard handover (intra-NodeB, inter-cell and inter-frequency handover)
2. An intra-RNC, inter-NodeB and inter-frequency hard handover can only take place between adjacent NodeBs at different frequencies, and will cause the following activities: Altering the serving cell, with the target and source cells belonging to different NodeBs in the same RNC; Changing the frequency; Re-allocating physical and transport channels, e.g. parameters such as channelization code and scrambling code; Re-allocating transport channels, e.g. the number of transport channels and TFS. The procedures of such a hard handover are illustrated in Figure 6 below. The radio link between the UE and the cell as shown in Figure 6 (i) is released first before the radio link between the UE and the cell as shown in Figure 6 (ii) is set up. .
(i)
(ii)
NodeB
NodeB
NodeB
NodeB
Figure 6 Hard handover (intra-RNS, inter-NodeB and inter-frequency handover) 2005-07-02 All rights reserved Page 13 , Total92
3. An inter-RNS and inter-frequency handover via the lur interface without changing the SRNC will cause the following activities : Altering the serving cell, with the target and source cells belonging to different RNCs; Changing the frequency; Re-allocating physical and transport channels, e.g. parameters such as channelization code and scrambling code; Re-allocating transport channels, e.g. the number of transport channels and TFS. Figure 7 (i) shows the original radio link with the UE. Figure 7 (ii) shows that the UE releases the original radio link, sets up another one in the target cell and then sets up a new radio link via the lur interface with the original SRNC.
(i)
N/Ap1 UTRAN SRNS SRNC CN(UMTS) N/Ap2 UTRAN SRNS RNC SRNC
(ii)
N/Ap1 CN(UMTS) N/Ap2
RNS
DRNS DRNC
NodeB
NodeB
NodeB
NodeB
NodeB
NodeB
NodeB
NodeB
Inter RNS Hard Handover
Figure 7 Inter-frequency hard handover
2.2.2 Intra-frequency Hard Handover

1. The procedures of an intra-UTRAN, inter-RNS and intra-frequency handover without lur interface are illustrated in Figure 8 below. Figure 8 (i) shows the original radio link with the UE. Figure 8 (ii) shows that the UE releases the original radio link, sets up another one in the target cell and then sets up a new radio link with the new SNRC.
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(i)
N/Ap1 UTRAN SRNS SRNC RNS RNC CN(UMTS) N/Ap2
(ii)
N/Ap1 UTRAN RNS RNC SRNS SRNC CN(UMTS) N/Ap2
NodeB
NodeB
NodeB
NodeB
NodeB
NodeB
NodeB
NodeB
Inter RNS (Intra UTRAN) No Iur
Figure 8 Intra-frequency hard handover (inter-RNS without lur)
2. An intra-frequency hard handover also occurs for the handover of a high-speed PS Best Effort service which is beyond the rate threshold, because a soft handover would use too much capacity in the downlink. Figure (i) shows the original radio link with the UE. Figure (ii) shows that the UE releases the original radio link and then sets up another one between adjacent intra-frequency cells in the same SRNC.
(i)
(ii)
NodeB
NodeB
NodeB
NodeB
Figure 9 Intra-frequency hard handover (of the PS BE service beyond the rate threshold)
2.2.3 Inter-RAT Hard Handover

Figure 10 illustrates inter-RAT handovers between WCDMA FDD system and GSM system. Figure 10 (i) and (ii) illustrate an inter-RAT handover from the 3G WCDMA to the 2G GSM. Figure 10 (iii) and (iv) illustrate an inter-RAT handover from the 2G GSM to the 3G WCDMA. Figure 10 (v) and (vi) illustrate another kind of inter-RAT handover from the 2G GSM to the 3G WCDMA. Figure 10 (i) shows the original radio link with the UE in the WCDMA system. Figure 10 (ii)
shows that the UE releases the original radio link and sets up another one in the GSM system. Figure 10 (iii) shows the original radio link with the UE in the GSM system. Figure 10 (iv) shows that the UE releases the original radio link and sets up another one in the WCDMA system. Figure 10 (v) shows the original radio link with the UE in the GSM system. Figure 10 (vi) shows that the UE releases the original radio link and sets up two links in the WCDMA system.
(i)
N/Ap1 UTRAN SRNS SRNC CN (UMTS) N/Ap2 UTRAN SRNS
(ii)
N/Ap1 CN (UMTS) N/Ap2
GSM/GPRS BSS
RNC
GSM/GPRS BSS
NodeB
NodeB
NodeB
NodeB
(iii)
N/Ap1 CN (UMTS) N/Ap2 UTRAN RNS
(iv)
N/Ap1 CN (UMTS) N/Ap2 UTRAN SRNS RNC
GSM/GPRS BSS
GSM/GPRS BSS
SRNC
NodeB
NodeB
NodeB
NodeB
(v)
N/Ap1 CN (UMTS) N/Ap2 UTRAN RNS
(vi)
N/Ap1 CN (UMTS) N/Ap2 UTRAN SRNS RNC
GSM/GPRS BSS
GSM/GPRS BSS
SRNC
NodeB
NodeB
NodeB
NodeB
Intra CN UTRAN/GSM
Figure 10
Inter-RAT hard handover
3 Signaling Procedures and Message Analyses of Handover Procedures

A typical handover procedure is as follows: measurement controlmeasurement
reporthandover decisionhandover implementationnew measurement control. At the measurement control stage, the UTRAN will send measurement control messages to inform the UE of the parameters to be measured. At the measurement report stage, the UE will send measurement report messages to the UTRAN. At the handover decision stage, the UTRAN will make a handover decision based on the measurement report received. At the handover implementation stage, the UE and UTRAN will implement the signaling procedure and respond to signaling messages. The handover decision stage will be described in details in the Handover Algorithm Analysis, and therefore, will not be repeated here.
3.1
Measurement Control and Measurement Report
3.1.1 Measurement Procedures

The UE measurements are classified into the following 7 types: Intra-frequency measurements. Inter-frequency measurements. Inter-RAT measurements. Traffic volume measurements: Measurements on uplink traffic volume. Quality measurements: Measurements of quality parameters, e.g. downlink transport BLER (Block Error Rate). UE-internal measurements: Measurements of UE transmission power and RSSI (Received Signal Level). UE positioning measurements: Measurement of UE position. Because various functions or procedures in the UTRAN, such as cell reselection, handover and power control, will use these measurements, the UE shall support a number of measurements running in parallel, and shall also support that each measurement is controlled and reported independent of others. Cells that the UE measures are classified into three different categories, i.e. Active Set, Monitored Set and Detected Set. UTRAN may control any measurement in the UE either by broadcasting system information and/or by transmitting MEASUREMENT CONTROL message. The latter message includes the following measurement control information: 1. Measurement identity: A reference number that should be used by the UTRAN when setting up, modifying or releasing the measurement and by the UE in the measurement report. 2. Measurement command: One out of three different measurement commands. Setup: Setup a new measurement. Modify: Modify a previously defined measurement, e.g. to change the reporting criteria. Release: Stop a measurement and clear all information in the UE that are related to that
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measurement. 3. Measurement type: One of the types listed above describing what the UE shall measure. Presence or absence of the following control information depends on the measurement type. 4. Measurement objects: The objects the UE shall measure, and corresponding object information. 5. Measurement quantity: The quantity the UE shall measure. This also includes the filtering of the measurements. 6. Reporting quantities: The quantities the UE shall include in the report in addition to the quantities that are mandatory to report for the specific event. 7. Measurement reporting criteria: The triggering of the measurement report, e.g. periodical or event-triggered reporting. 8. Measurement Validity: Defines in which UE states the measurement is valid. 9. Measurement reporting mode: This specifies whether the UE shall transmit the measurement report using AM or UM RLC. 10. Additional measurement identities: A list of references to other measurements. When this measurement triggers a measurement report, the UE shall also include the reporting quantities for the measurements referenced by the additional measurement identities. When the reporting criteria are fulfilled, for example, a specified event occurred or the time of periodical reporting comes, the UE shall send a MEASUREMENT REPORT message to UTRAN. In the measurement reporting mechanism field of a measurement control message, the network will inform the UE which events should be reported. All the events concerning intra-frequency measurements are labeled 1X; those concerning inter-frequency measurements are labeled 2X; those concerning inter-system measurements are labeled 3X. An inter-frequency/inter-RAT hard handover may require to start up the compressed mode for inter-frequency/inter-system measurements. Figure 11 shows the signaling procedures of the measurement control and reporting procedures. The SRNC-RRC sends a MEASUREMENT CONTROL message to the UE-RRC to ask the UE to perform a measurement and report it. The UE-RRC sends a primitive to the UE-L1 layer to configure it for the measurement. The UE-L1 layer, after the primary smooth processing, sends a primitive to the UE-RRC to report the measurement results. The UE-RRC, after the secondary smooth processing, sends a MEASUREMENT REPORT message to the SRNC-RRC when the reporting criteria are fulfilled.
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Uu
UE-RRC UE-L1
Iub
SRNC-RRC
MEASUREMENT CONTROL CPHY-Measurement-REQ
Measurement
CPHY-Measurement-IND
Measurement
CPHY-Measurement-IND Reporting criteria fulfilled MEASUREMENT REPORT
Figure 11
Measurement control and measurement report
3.1.2 Measurement Control

The purpose of the measurement control procedure is to setup, modify or release a measurement in the UE. The normal and failure cases of the measurement control procedure are illustrated respectively in Figure 12 and Figure 13 below.
UE MEASUREMENT CONTROL UTRAN
Figure 12
Measurement control procedure, normal case
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UE MEASUREMENT CONTROL UTRAN
MEASUREMENT CONTROL FAILURE
Figure 13
Measurement control procedure, failure case
1. Initiation of the measurement control procedure The UTRAN may request a measurement by the UE to be setup, modified or released with a MEASUREMENT CONTROL message, which is transmitted on the downlink DCCH using AM RLC. When a new measurement is created, UTRAN should set the IE "Measurement identity" to a value, which is not used for other measurements. UTRAN may use several "Measurement identity" for the same "Measurement type". In case of setting several "Measurement identity" within a same "Measurement type", the measurement object or the list of measurement objects can be set differently for each measurement with different "Measurement identity ". When a current measurement is modified or released, UTRAN should set the IE "Measurement identity" to the value, which is used for the measurement being modified or released. In case of modifying IEs within a "Measurement identity", it is not needed for UTRAN to indicate the IEs other than modified IEs, and the UE continues to use the current values of the IEs that are not modified. 2. Information elements in a MEASUREMENT CONTROL message IEs (information elements) in a MEASUREMENT CONTROL message are listed in the table below.
Table1 IEs in a measurement control message
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Information Element/Group name Message Type UE information elements RRC transaction identifier
Need MP MP
Multi
Type and reference Message Type RRC transaction identifier 10.3.3.36 Integrity check info 10.3.3.16 Measurement Identity10.3.7. 48 Measurement Command 10.3.7.46 Measurement Reporting Mode 10.3.7.49 Additional measurement s list 10.3.7.1
Semantics description
Integrity check info Measurement Information elements Measurement Identity Measurement Command Measurement Reporting Mode Additional measurements list CHOICE Measurement type >Intra-frequency measurement >Inter-frequency measurement >Inter-RAT measurement >UE positioning measurement >Traffic Volume measurement >Quality measurement >UE internal measurement Physical channel
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CH
MP MP OP
OP CV comman d
Intra-frequenc y measurement 10.3.7.36 Inter-frequenc y measurement 10.3.7.16 Inter-RAT measurement 10.3.7.27 UE positioning measurement 10.3.7.100 Traffic Volume measurement 10.3.7.68 Quality measurement 10.3.7.56 UE internal measurement 10.3.7.77
Information Element/Group name information elements DPCH compressed mode status info
Need OP
Multi
Type and reference DPCH compressed mode status info 10.3.6.34
Notes on IEs in yellow: Measurement identity: Used to identify different types of measurements or the same type of measurements with different objects. Because one measurement control message is used to assign one measurement ID, the UE in the DCH mode should receive at least two succeeding measurement control messages. A measurement ID is assigned by the UTRAN to set up a measurement, used by it to modify or release the measurement and used by the UE to send a certain type of measurement report. Up to 16 (depending upon the "Measurement Identity") measurements can be initiated simultaneously in the UE. According to the present handover algorithms, Measurement identity can be 1,2,9, of which 1 is used for intra-frequency measurements and assistant soft handover decisions, including 1a~1f events; 2 is used to activate or de-activate the compressed mode, including 2d and 2f events; 9 is used for inter-frequency periodical measurements. Measurement command: The type of the UTRAN-initiated measurement control. Three types are available, i.e. Setup, Modify and Release. Another measurement setup message will be ignored if the measurement has been set up. Measurement Reporting Mode: Including the Measurement Report Transfer Mode and Periodical Reporting/Event Trigger Reporting Mode. The Measurement Report Transfer Mode includes the AM (Acknowledged Mode) and UM (Unacknowledged Mode), which should be selected based on the report type. In the case of an event report, the AM RLC should be used to ensure a successful transfer. In the case of a periodical report, the UM RLC should be selected. The Event Trigger Reporting Mode is often used during handovers. Intra-frequency measurements and soft handovers focus on 1a~1f events while inter-frequency measurements and inter-frequency hard handovers focus on 2a events. For details on other IEs, please refer to protocol 25.331 and reference document[5]. 3. Procedure Upon reception of a MEASUREMENT CONTROL message sent by the UTRAN on the downlink DCCH using AM RLC, the UE will: read the IE "Measurement command"; if the IE "measurement command" has the value "setup": store this measurement in the variable MEASUREMENT_IDENTITY according to the IE "measurement identity";
for measurement types "inter-RAT measurement" or "inter-frequency measurement": - if, according to its measurement capabilities, the UE requires compressed mode to perform the measurements and a compressed mode pattern sequence with an appropriate measurement purpose is simultaneously activated by the IE "DPCH compressed mode status info"; or if, according to its measurement capabilities, the UE does not require compressed mode to perform the measurements:
for any other measurement type: begin measurements according to the stored control information for this measurement identity.
if the IE "Measurement command" has the value "modify": for all measurement control present in the MEASUREMENT CONTROL message: if a measurement was stored in the variable MEASUREMENT_IDENTITY associated to the identity by the IE "measurement identity": replace the corresponding information stored in variable MEASUREMENT_IDENTITY associated to the identity indicated by the IE "measurement identity"; resume the measurements according to the new stored measurement control information.
otherwise: set the variable CONFIGURATION_INCOMPLETE to TRUE;
if the IE "measurement command" has the value "release": terminate the measurement associated with the identity given in the IE "measurement identity"; clear all stored measurement control information related associated to this measurement identity in variable MEASUREMENT_IDENTITY.
and the procedure ends.
If UTRAN instructs the UE to perform a measurement that is not supported by the UE, the UE shall:
retain the measurement configuration that was valid before the MEASUREMENT CONTROL message was received;
set the IE "RRC transaction identifier" in the MEASUREMENT CONTROL FAILURE message to the value of "RRC transaction identifier" in the entry for the MEASUREMENT
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CONTROL message in the table "Accepted transactions" in the variable TRANSACTIONS and clear that entry. set the cause value in IE "failure cause" to "unsupported measurement"; submit the MEASUREMENT CONTROL FAILURE message to lower layers for transmission on the DCCH using AM RLC;
If the variable CONFIGURATION_INCOMPLETE is set to TRUE, the UE shall:
set the IE "RRC transaction identifier" in the MEASUREMENT CONTROL FAILURE message to the value of "RRC transaction identifier" in the entry for the MEASUREMENT CONTROL message in the table "Accepted transactions" in the variable TRANSACTIONS and clear that entry;
set the cause value in IE "failure cause" to "Configuration incomplete"; submit the MEASUREMENT CONTROL FAILURE message to lower layers for transmission on the DCCH using AM RLC;
If the MEASUREMENT CONTROL message contains a protocol error, the UE shall:
set the IE "RRC transaction identifier" in the MEASUREMENT CONTROL FAILURE message to the value of "RRC transaction identifier" in the entry for the MEASUREMENT CONTROL message in the table "Accepted transactions" in the variable TRANSACTIONS and clear that entry;
set the IE "failure cause" to the cause value "protocol error"; submit the MEASUREMENT CONTROL FAILURE message to lower layers for transmission on the DCCH using AM RLC;
3.1.3 Measurement Report

The purpose of the measurement reporting procedure is to transfer measurement results from the UE to UTRAN. The normal case of the measurement report is illustrated in figure below.
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WCDMA RNO Handover Procedure Analysis UE MEASUREMENT REPORT UTRAN
Figure 14
Measurement report, normal case
In CELL_DCH state, the UE shall transmit a MEASUREMENT REPORT message on the uplink DCCH when the reporting criteria stored in variable MEASUREMENT_IDENTITY are met for any ongoing measurements that are being performed in the UE. 1. IEs in a measurement report message IEs (information elements) in a MEASUREMENT REPORT message are listed in the table below.
Table2 IEs in a measurement report message
Information Element/Group name Message Type UE information elements Integrity check info Measurement Information Elements Measurement identity Measured Results Measured Results on RACH Additional Measured results >Measured Results Event results
Need MP
Multi
Type and reference Message Type Integrity check info 10.3.3.16 Measurement identity 10.3.7.48 Measured Results 10.3.7.44 Measured Results on RACH 10.3.7.45
CH
MP OP OP
OP MP OP
1 to <maxAdditionalMeas> Measured Results 10.3.7.44 Event results 10.3.7.7

Table3 Measured results IE
IE Measured results is described in table below.
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Information Need Multi Type and reference Element/Group name CHOICE MP Measurement >Intra-frequency measured results list >Inter-frequency measured results list >Inter-RAT measured results list >Traffic volume measured results list >Quality measured results list >UE Internal measured results >UE positioning measured results This IE contains the measured results of the quantities as specified by the reporting quantities in the measurement control message. IE Event results is described in table below.
Table4 Event results IE
Information Element/Group name CHOICE event result >Intra-frequency measurement event results >Inter-frequency measurement event results >Inter-RAT measurement event results
Need MP
Multi
Type and reference
For IS-2000 results, include fields of the Pilot Strength Measurement Message from subclause 2.7.2.3.2.5 of TIA/EIA/IS-2000. 5
>Traffic volume measurement event results >Quality measurement event results >UE internal measurement event results >UE positioning measurement event results For details on other IEs, please refer to protocol 25.331 and reference document[5].
2. Procedure
For the measurement, which triggered the MEASUREMENT REPORT message, the UE shall:
set the IE "measurement identity" to the measurement identity, which is associated with that measurement in variable MEASUREMENT_IDENTITY, i.e. the measurement identity in the MEASUREMENT CONTROL message;
set the IE "measured results" to include measurements according to the IE "reporting quantity" of that measurement stored in variable MEASUREMENT_IDENTITY; and if all the reporting quantities are set to false, not set the IE "measured results";
if the MEASUREMENT REPORT message was triggered by an event,
set the IE "Event results" according to the event that triggered the report.
The UE shall:
transmit the MEASUREMENT REPORT message on the uplink DCCH using either AM or UM RLC according to the stored IE "measurement reporting mode" associated with the measurement identity that triggered the report.
When the MEASUREMENT REPORT message has been submitted to lower layers for transmission:
the procedure ends.
3.2
Soft Handover Procedure Analysis
3.2.1 General Description of the Active Set Update Procedure

The purpose of the active set update procedure is to update the active set of the connection between the UE and UTRAN. The UE should keep on using the old RLs while configuring the new RLs. Also the UE should keep the transmitter turned on during the procedure. This procedure is only used in FDD mode. The successful and failure cases of the active set update procedure are illustrated respectively in Figure 15 and Figure 16 below.
UE ACTIVE SET UPDATE UTRAN
ACTIVE SET UPDATE COMPLETE
Figure 15 2005-07-02
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UE ACTIVE SET UPDATE
UTRAN
ACTIVE SET UPDATE FAILURE
Figure 16
Active Set Update procedure, failure case
The procedure is initiated when UTRAN orders a UE in CELL_DCH state, to make the following modifications of the active set of the connection: a) Radio link addition; b) Radio link removal; c) Combined radio link addition and removal; In case a) and c), UTRAN should: prepare new additional radio link(s) in the UTRAN prior to the command to the UE. send an ACTIVE SET UPDATE message on downlink DCCH using AM or UM RLC. In all cases, the UTRAN should:
3.2.2 Analysis of Soft Handover Related IEs

1. ACTIVE SET UPDATE message This message is sent by UTRAN to the UE. RLC-SAP: AM ; Logical channel: DCCH. IEs in an active set update message are listed in table below.
Table5 IEs in an active set update message
Need MP
Multi
Type and reference Message Type
MP
RRC transaction identifier 10.3.3.36
Integrity check info Integrity protection mode info
CH OP
Integrity check info 10.3.3.16 Integrity protection mode info 10.3.3.19
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Ciphering mode info Activation time New U-RNTI CN information elements CN Information info RB information elements Downlink counter synchronisation info >RB with PDCP information list
OP MD OP
Ciphering mode info 10.3.3.5 Activation time 10.3.3.1 U-RNTI 10.3.3.47 Default value is "now".
OP
CN Information info 10.3.1.3
OP OP 1 to <maxR BallRA Bs> This IE is needed for each RB having PDCP in the case of lossless SRNS relocation RB with PDCP information 10.3.4.22
>>RB with PDCP information Phy CH information elements Uplink radio resources Maximum allowed UL TX power Downlink radio resources Radio link addition information >Radio link addition information
MP
MD
Maximum allowed UL TX power 10.3.6.39
Default value is the existing "maximum UL TX power.
OP
1 to <maxR L-1>
Radio link addition information required for each RL to add Radio link addition information 10.3.6.68
MP
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Radio link removal information
OP
1 to <maxR L>
Radio link removal information required for each RL to remove Radio link removal information 10.3.6.69
>Radio link removal information
MP
TX Diversity Mode
MD
TX Diversity Mode 10.3.6.86
Default value is the existing TX diversity mode.
SSDT information
OP
SSDT information 10.3.6.77
The IE in yellow is an important IE which will be described in detail hereinafter. An active set update message mainly contains such IEs as Message Type, UE information elements, CN information elements, RB information elements and Phy CH information elements, which are described below. Message Type: Used to identify the message, mandatory. UE information elements: Including the following IEs: -RRC transaction identifier: Used to identify the RRC, mandatory. -Integrity check info: Used for integrity check, conditional. -Integrity protection mode info: Used for integrity protection, optional. -Ciphering mode info: Used for ciphering, optional. -Activation time: Used to specify the activation time with now as its default value, mandatory. -New U-RNTI: Used to configure the new UTRAN RNTI, optional. CN information elements: Used to describe the CN information, optional. RB information elements: Including the following IEs: -Downlink counter synchronisation info: Used to describe the downlink counter synchronisation information, optional. Phy CH information elements: Including IEs Uplink radio resources element and Downlink radio resources. Uplink radio resources: Including the following IE: -Maximum allowed UL TX power: Used to specify the maximum allowed uplink TX power with the existing maximum UL TX power as its default value, mandatory. Downlink radio resources: Including the following IEs: -Radio link addition information: Used for radio link addition, optional.
-Radio link removal information: Used for radio link removal, optional. -TX Diversity Mode: Used to specify the TX diversity mode with the existing TX diversity mode as its default value, mandatory. -SSDT information: Used to describe SSDT information, optional. IE Radio link addition information is described in the table below.
Table6 Table 6 Radio link addition information IE
Information Element/Group name Primary CPICH info Downlink DPCH info for each RL TFCI combining indicator SCCPCH Information for FACH
Need MP MP OP OP
Multi
Type and reference Primary CPICH info 10.3.6.60 Downlink DPCH info for each RL 10.3.6.21 TFCI combining indicator 10.3.6.81 SCCPCH Information for FACH 10.3.6.70
The Primary CPICH info represents the scrambling code of the cell for the purpose of cell identification. Because there are a total of 512 primary scrambling codes, the value of this IE is within the range of 0~511. An error in this IE will result in a failed downlink synchronization of the physical layer, thus causing the active set update procedure, namely, soft handover, to fail. The Downlink DPCH info for each radio link mainly contains the elements of the downlink DPCH, such as DPCH frame offset and DL channelisation code. An error in sending or receiving either of these two elements will cause the soft handover to fail. 2. ACTIVE SET UPDATE COMPLETE message This message is sent by the UE to UTRAN. RLC-SAP: AM; logical channel: DCCH. IEs in an Active Set Update Complete message are listed in table below.
Table7 IEs in an active set update complete message
Need MP
Multi
MP
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Integrity check info Uplink integrity protection activation info
CH OP
Integrity check info 10.3.3.16 Integrity protection activation info 10.3.3.17
RB Information elements Radio bearer uplink ciphering activation time info Uplink counter synchronisation info >RB with PDCP information list OP 1 to <maxR BallRA Bs> >>RB with PDCP information >START list MP 1 to <maxC Ndomai ns> >>CN domain identity >>START MP MP CN domain identity 10.3.1.1 START 10.3.3.38 START value to be used in this CN domain. Message Type: Used to identify the message type, mandatory. UE information elements: Including the following IEs: -RRC transaction identifier: Used to identify the RRC, mandatory. -Integrity check info: Used for integrity check, conditional. -Uplink integrity protection activation info: Used for uplink integrity protection, optional. RB information elements: Including the following IEs: -Radio bearer uplink ciphering activation time info: Used to describe the radio bearer uplink
OP
RB activation time info 10.3.4.13
OP This IE is needed for each RB having PDCP in the case of lossless SRNS relocation MP RB with PDCP information 10.3.4.22 START [40] values for all CN domains.
ciphering activation time information, optional. -Uplink counter synchronisation info: Used to describe the uplink counter synchronisation information, optional. 3. Active Set Update Failure message This message is sent by the UE to UTRAN. RLC-SAP: AM; logical channel: DCCH. IEs in an Active Set Update Failure message are listed in table below.
Table8 IEs in an active set update failure message
Need MP
Multi
MP
Integrity check info Failure cause
CH MP
Integrity check info 10.3.3.16 Failure cause and error information 10.3.3.14
Message Type: Used to identify the message, mandatory. UE information elements: Including the following IEs: -RRC transaction identifier: Used to identify the RRC, mandatory. -Integrity check info: Used for integrity check, conditional. -Failure cause, the mandatory item, is used to report the failure cause. An active set update failure message is used by the UE to report to the RNC the failure cause of the active set update procedure. It is very important to analyze soft handover failures that have caused a high call-drop ratio. The active set update failure causes mainly include common failure causes and protocol error causes, which are listed in table below.
Table9 Active set update failure causes
Active set update failure type Active set update failure cause Common failure cause Configuration unsupported Physical channel failure Incompatible simultaneous reconfiguration
Protocol error cause
Compressed mode runtime error Cell update occurred Invalid configuration Configuration incomplete Unsupported measurement ASN.1 violation or encoding error Message type non-existent or not implemented Message not compatible with receiver state Information element value not comprehended Conditional information element error Message extension not comprehended
3.2.3 Active Set Update Procedure

Successful and failure cases of the active set update procedure are illustrated in Figure 17. Please refer to relevant sections for details on the procedure. The figure clearly describes the successful and failure cases of the reception of an Active Set Update message by the UE and reception of an Active Set Update Complete/Failure message by the UTRAN. increasing the call-drop rate.
SRNC sends an Active Set Update message to the UE
Sections 2.1.2
through 2.1.8 has detailed each sub-procedure. In failure cases, the handovers will fail, thus
UE procedure, successful case
UE procedure, failure case
Reception of the message by the UE, successful case
Section a
Configuratio n
Invalid configurat
Incompatibl e
Invali d
Wron g
Section h
Section c
Section d
Section d
Section h
Reception of the message by the UTRAN, successful case Section e
Reception of the message by the UTRAN, failure case
Section f
Handover succeeds
Handover fails
Figure 17
Active set update procedure (successful and failure cases)
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1. Reception of an ACTIVE SET UPDATE message by the UE (successful case) Upon reception of an ACTIVE SET UPDATE message the UE shall act upon all received information elements as specified in the protocol. The UE shall: - first add the RLs indicated in the IE "Radio Link Addition Information"; - remove the RLs indicated in the IE "Radio Link Removal Information". If the UE active set is full or becomes full, an RL, which is included in the IE "Radio Link Removal Information" for removal, shall be removed before adding RL, which is included in the IE "Radio Link Addition Information" for addition; - if the ACTIVE SET UPDATE message contained the IE "Ciphering mode info":: - include and set the IE "Radio bearer uplink ciphering activation time info" to the value of the variable RB_UPLINK_CIPHERING_ACTIVATION_TIME_INFO; - if the ACTIVE SET UPDATE message contained the IE "Integrity protection mode info" with the IE "Integrity protection mode command" set to "Modify": - include and set the IE "Integrity protection activation info" to the value of the variable INTEGRITY_PROTECTION_ACTIVATION_INFO; if the variable PDCP_SN_INFO is non-empty: - include the IE "RB with PDCP information list" in the ACTIVE SET UPDATE COMPLETE message and set it to the value of the variable PDCP_SN_INFO; - if the ACTIVE SET UPDATE message includes the IE "TFCI combining indicator" associated with a radio link to be added: configure Layer 1 to soft combine TFCI (field 2) of this new link with those links already in the TFCI (field 2) combining set; - if the received ACTIVE SET UPDATE message included the IE "Downlink counter synchronisation info": - calculate the START value, - include the calculated START values for each CN domain in the IE "START list" in the IE "Uplink counter synchronisation info" in the ACTIVE SET UPDATE COMPLETE message; - set the IE "RRC transaction identifier" in the ACTIVE SET UPDATE COMPLETE message to the value of "RRC transaction identifier" in the entry for the ACTIVE SET UPDATE message in the table "Accepted transactions" in the variable TRANSACTIONS, and clear that entry; - transmit an ACTIVE SET UPDATE COMPLETE message on the uplink DCCH using AM RLC without waiting for the Physical Layer synchronization; - if the IE "Integrity protection mode info" was present in the ACTIVE SET UPDATE message: start applying the new integrity protection configuration in the uplink for signalling radio bearer RB2 from and including the transmitted ACTIVE SET UPDATE COMPLETE message; - if the variable PDCP_SN_INFO is empty:
- if the ACTIVE SET UPDATE message contained the IE "Ciphering mode info": - when RLC has confirmed the successful transmission of the ACTIVE SET UPDATE COMPLETE message: - perform the actions below; - if the ACTIVE SET UPDATE message did not contain the IE "Ciphering mode info": - when RLC has been requested to transmit the ACTIVE SET UPDATE COMPLETE message: perform the actions below; - if the variable PDCP_SN_INFO is non-empty: - when RLC has confirmed the successful transmission of the ACTIVE SET UPDATE COMPLETE message: - for each radio bearer in the variable PDCP_SN_INFO: - if the IE "RB started" in the variable ESTABLISHED_RABS is set to "started": - configure the RLC entity for that radio bearer to "continue"; - clear the variable PDCP_SN_INFO; if the ACTIVE SET UPDATE message contained the IE "Ciphering mode info": set the IE "Reconfiguration" in the variable CIPHERING_STATUS to FALSE; and clear the variable RB_UPLINK_CIPHERING_ACTIVATION_TIME_INFO;
if the ACTIVE SET UPDATE message contained the IE "Integrity protection mode info": set the IE "Reconfiguration" in the variable INTEGRITY_PROTECTION_INFO to FALSE; and clear the variable INTEGRITY_PROTECTION_ACTIVATION_INFO; the procedure ends on the UE side.
2. Unsupported configuration in the UE (failure case) If UTRAN instructs the UE to use a configuration that it does not support, the UE shall: keep the active set as it was before the ACTIVE SET UPDATE message was received; transmit an ACTIVE SET UPDATE FAILURE message on the DCCH using AM RLC; set the IE "RRC transaction identifier" in the ACTIVE SET UPDATE FAILURE message to the value of "RRC transaction identifier" in the entry for the ACTIVE SET UPDATE message in the table "Accepted transactions" in the variable TRANSACTIONS; and clear that entry; set the IE "failure cause" to "configuration unsupported"; when the ACTIVE SET UPDATE FAILURE message has been submitted to lower layers for transmission: the procedure ends on the UE side.
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3. Invalid configuration (failure case) If any of the following conditions are valid: a radio link indicated by the IE "Downlink DPCH info for each RL" in the IE "Radio link addition information" has a different spreading factor than the spreading factor for the radio links in the active set that will be established at the time indicated by the IE "Activation time"; and/or a radio link in the IE "Radio link addition information" is also present in the IE "Radio Link Removal Information"; and/or the IE "Radio Link Removal Information" contains all the radio links which are part of or will be part of the active set at the time indicated by the IE "Activation time"; and/or the variable INVALID_CONFIGURATION is set to TRUE: the UE shall: keep the active set as it was before the ACTIVE SET UPDATE message was received; transmit an ACTIVE SET UPDATE FAILURE message on the DCCH using AM RLC; set the IE "RRC transaction identifier" in the ACTIVE SET UPDATE FAILURE message to the value of "RRC transaction identifier" in the entry for the ACTIVE SET UPDATE message in the table "Accepted transactions" in the variable TRANSACTIONS; and clear that entry; set the IE "failure cause" to "Invalid configuration"; When the ACTIVE SET UPDATE FAILURE message has been submitted to lower layers for transmission: the procedure ends on the UE side.
4. Incompatible simultaneous reconfiguration (failure case) If the variable INCOMPATIBLE_SECURITY_RECONFIGURATION becomes set to TRUE due to the received ACTIVE SET UPDATE message, the UE shall: transmit a ACTIVE SET UPDATE FAILURE message on the uplink DCCH using AM RLC; set the IE "RRC transaction identifier" in the ACTIVE SET UPDATE FAILURE message to the value of "RRC transaction identifier" in the entry for the ACTIVE SET UPDATE message in the table "Accepted transactions" in the variable TRANSACTIONS; and clear that entry; set the IE "failure cause" to the cause value "incompatible simultaneous reconfiguration"; when the ACTIVE SET UPDATE FAILURE message has been delivered to lower layers for transmission: set the variable INCOMPATIBLE_SECURITY_RECONFIGURATION to FALSE; continue with any ongoing processes and procedures as if the ACTIVE SET UPDATE message has not been received; and the procedure ends.
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If the variable ORDERED_RECONFIGURATION is set to TRUE; and if the activation time for the procedure that has set variable ORDERED_RECONFIGURATION and the activation time for the Active Set Update procedure are within a time window of 5 frames, the UE may: transmit a ACTIVE SET UPDATE FAILURE message on the uplink DCCH using AM RLC; set the IE "RRC transaction identifier" in the ACTIVE SET UPDATE FAILURE message to the value of "RRC transaction identifier" in the entry for the ACTIVE SET UPDATE message in the table "Accepted transactions" in the variable TRANSACTIONS; and clear that entry; set the IE "failure cause" to the cause value "incompatible simultaneous reconfiguration"; when the ACTIVE SET UPDATE FAILURE message has been delivered to lower layers for transmission: continue with any ongoing processes and procedures as if the ACTIVE SET UPDATE message has not been received;
5. Reception of the ACTIVE SET UPDATE COMPLETE message by the UTRAN (successful case) When the UTRAN has received the ACTIVE SET UPDATE COMPLETE message, the UTRAN may remove radio link(s) that are indicated to remove to the UE in case b) the procedure ends on the UTRAN side. and c); and
6. Reception of the ACTIVE SET UPDATE FAILURE message by the UTRAN (failure case) When the UTRAN has received the ACTIVE SET UPDATE FAILURE message, the UTRAN may delete radio links that were included in the IE "Radio Link Addition Information" for addition. The procedure ends on the UTRAN side. 7. Invalid ACTIVE SET UPDATE message (failure case) If the ACTIVE SET UPDATE message contains a protocol error causing the variable PROTOCOL_ERROR_REJECT to be set to TRUE according to clause 9, the UE shall perform procedure specific error handling as follows. The UE shall: transmit a ACTIVE SET UPDATE FAILURE message on the uplink DCCH using AM RLC; set the IE "RRC transaction identifier" in the ACTIVE SET UPDATE FAILURE message to the value of "RRC transaction identifier" in the entry for the ACTIVE SET UPDATE message in the table "Rejected transactions" in the variable TRANSACTIONS; and clear that entry; set the IE "failure cause" to the cause value "protocol error";
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include the IE "Protocol error information" with contents set to the value of the variable PROTOCOL_ERROR_INFORMATION; when the ACTIVE SET UPDATE FAILURE message has been delivered to lower layers for transmission: continue with any ongoing processes and procedures as if the invalid ACTIVE SET UPDATE message has not been received; and the procedure ends.
8. Reception of an ACTIVE SET UPDATE message in wrong state (failure case) If the UE is in another state than CELL_DCH state upon reception of the ACTIVE SET UPDATE message, the UE shall perform procedure specific error handling as follows. The UE shall: transmit a ACTIVE SET UPDATE FAILURE message on the uplink DCCH using AM RLC; set the IE "RRC transaction identifier" in the ACTIVE SET UPDATE FAILURE message to the value of "RRC transaction identifier" in the entry for the ACTIVE SET UPDATE message in the table "Accepted transactions" in the variable TRANSACTIONS; and clear that entry; set the IE "failure cause" to the cause value "protocol error"; include the IE "Protocol error information" with the IE "Protocol error cause" set to "Message not compatible with receiver state"; when the ACTIVE SET UPDATE FAILURE message has been delivered to lower layers for transmission: continue with any ongoing processes and procedures as if the ACTIVE SET UPDATE message has not been received; and the procedure ends
3.2.4 Soft Handover Signaling Procedures Analysis

This section focuses on signaling procedures of three typical soft handover procedures, which are radio link addition, radio link removal and combined radio link addition and removal. Soft handovers only apply to FDD mode. All the procedures described below are soft handover procedures with lur interface. Intra-RNC soft handover procedures are simpler than them, that is, without the SRNC-DRNC part of each procedure. The procedures described in this section are typical examples only. The signaling procedure of an actual handover must be analyzed on a case-to-case basis. Radio link addition signaling procedure analysis Conditions for the soft handover-radio link addition signaling procedure are as follows: -One or more radio links have been set up between the UE and SRNC; -A new radio link between the UE and SNRC will be set up through a new NodeB and new RNC.
Because only one radio link between the UE and UTRAN will be set up, no macro diversity combination/splitting will occur in the DRNS. The figure below illustrates the soft handover-radio link addition signaling procedure.
UE Node B Drift RNS Drift RNC Serving RNC
Decision to setup new RL 1. Radio Link Setup Request RNSAP RNSAP NBAP Start RX 3. Radio Link Setup Response 2. Radio Link Setup Request NBAP
NBAP
NBAP 4. Radio Link Setup Response
RNSAP
RNSAP
5. ALCAP Iub Bearer Setup
ALCAP Iur Bearer Setup
DCH-FP
6. Downlink Synchronisation
DCH-FP
DCH-FP
7. Uplink Synchronisation
DCH-FP
Start TX 8. DCCH : Active Set Update RRC [Radio Link Addition] 9. DCCH : Active Set Update Complete RRC
RRC
RRC
Figure 18
Radio link addition signaling procedure
Signaling procedure: 1. Having decided to set up a new radio link in a new cell under the control of another RNC (DRNC), the SRNC sends a Radio Link Setup Request message to the DRNC via RNSAP, requesting the later to prepare necessary radio resources. Because the new radio link is the first one set up between the UE and DRNC, a new lur signaling connection should be set up, which will bear the UE related RNSAP signaling messages. Message Radio Link Setup Request contains the following parameters: Cell ID, TFS, TFCS, frequency and uplink scrambling code.
2. The DRNC judges whether it can fulfill the request for radio resources, and if yes, sends a NBAP message Radio Link Setup Request to the NodeB for it to activate the uplink RX. Message Radio Link Setup Request contains the following parameters: Cell ID, TFS, TFCS, frequency and uplink scrambling code. 3. The NodeB assigns radio resources on request, and upon the successful completion of the allocation, sends a NBAP message Radio Link Setup Response to the DRNC. Message Radio Link Setup Response contains the following parameters : Signaling end and transport addressing information message includes the following parameters: signaling end, transport layer addressing information (AAL2 addressing and AAL2 binding ID for the data bearer). 4. The DRNC sends a Radio Link Setup Response message to the SRNC via RNSAP. Message Radio Link Setup Response contains the following parameters: Transport layer addressing information (AAL2 addressing and AAL2 binding ID for the data bearer) and adjacent cell information. 5. The SRNC initiates the establishment of the lur/lub bearer via protocol ALCAP, and includes in the request an AAL2 binding ID used to bind the lub bearer with a DCH. 6/7. The NodeB and SRNC exchange DCH FP frames Downlink Synchronization and Uplink Synchronization to set up bearer synchronization. NodeB activates the downlink TX. 8. The SRNC sends an Active Set Update message, which contains radio link addition parameters, to the UE over the DCCH. Parameters: Update type, cell ID, downlink scrambling code, power control information and adjacent cell information. 9. After configuring the parameters based on the RRC message, the UE sends a RRC message Active Set Update Complete to the SRNC. Radio link deletion signaling procedure analysis Conditions for the soft handover-radio link deletion signaling procedure are as follows: -One or more radio links have been set up between the UE and SRNC; -An existing UE-SRNC radio link via the DRNC will be deleted. The figure below illustrates the soft handover-radio link deletion signaling procedure.
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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
RRC 3. Radio Link Deletion Request RNSAP RNSAP NBAP 4. Radio Link Deletion Request NBAP
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
Figure 19
Radio link deletion signaling procedure
Signaling procedure: 1. Having decided to delete a radio link, the SRNC sends a RRC message Active Set Update, which contains radio link deletion parameters, to the UE over the DCCH. Parameters: Update type and cell ID. 2. UE deactivates the downlink RX of the radio link to be deleted and send a RRC message Active Set Update Complete to the SRNC. 3. The SRNC sends a Radio Link Deletion Request message to the DRNC via RNSAP. Parameters: Cell ID and transport layer addressing information. 4. The DRNC sends a NBAP message Radio Link Deletion Request to NodeB for it to stop the TX and RX. Parameters: Cell ID and transport layer addressing information. 5. The NodeB deactivates radio resources and sends a NBAP message Radio Link Deletion Response to the DRNC. 6. Radio Link Deletion Response. The DRNC sends a RNSAP message Radio Link Deletion Response to the SRNC. 7. The SRNC initiates the release of the lur/lub bearer via protocol ALCAP.
Combined radio link addition and deletion signaling procedure analysis Conditions for the soft handover-combined radio link addition and deletion signaling procedure are as follows: -One or more radio links have been set up between the UE and SRNC; -A new radio link between the UE and SNRC will be set up through a new NodeB and new RNC. -An existing UE-SRNC radio link via a NodeB in the SRNC will be deleted. The figure below illustrates the soft handover-combined radio link addition and deletion signaling procedure.
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UE Node B Drift RNS Node B Serving RNS Drift RNC

Serving RNC
Decision to setup new RL and release old RL 1. Radio Link Setup Request
RNSAP NBAP Start RX NBAP 3. Radio Link Setup Response NBAP RNSAP 2. Radio Link Setup Request NBAP
RNSAP
4. Radio Link Setup Response
RNSAP
5. ALCAP Iub Data Transport Bearer Setup
ALCAP Iur Bearer Setup
DCH-FP
6. Downlink Synchronisation
DCH-FP
DCH-FP
7. Uplink Synchronisation
DCH-FP
Start TX 8. DCCH : Active Set Update Command RRC [Radio Link Addition & Deletion] 9. DCCH : Active Set Update Complete
RRC
RRC
RRC
NBAP
10. Radio Link Deletion Request
NBAP
Stop RX and TX
NBAP
11. Radio Link Release Response
NBAP
12. ALCAP Iub Data Transport Bearer Release
Figure 20
Combined radio link addition and deletion signaling procedure
Signaling procedure: 1. Having decided to set up a new radio link in a new cell under the control of another RNC (DRNC), the SRNC sends a Radio Link Setup Request message to the DRNC via RNSAP, requesting the later to prepare necessary radio resources. Because the new radio link is the first one set up between the UE and DRNC, a new lur signaling connection should be set up, which will bear the UE related RNSAP signaling messages.
Message Radio Link Setup Request contains the following parameters: Cell ID, TFS, TFCS, frequency and uplink scrambling code. 2. The DRNC judges whether it can fulfill the request for radio resources, and if yes, sends a NBAP message Radio Link Setup Request to its NodeB for it to activate the uplink RX. Message Radio Link Setup Request contains the following parameters: Cell ID, TFS, TFCS, frequency and uplink scrambling code. 3. The NodeB assigns radio resources on request, and upon the successful completion of the allocation, sends a NBAP message Radio Link Setup Response to the DRNC. Message Radio Link Setup Response contains the following parameters : Signaling end and transport addressing information message includes the following parameters: signaling end, transport layer addressing information (AAL2 addressing and AAL2 binding ID for the data bearer). 4. The DRNC sends a Radio Link Setup Response message to the SRNC via RNSAP. Message Radio Link Setup Response contains the following parameters: Transport layer addressing information (AAL2 addressing and AAL2 binding ID for the data bearer) and adjacent cell information. 5. The SRNC initiates the establishment of the lur/lub bearer via protocol ALCAP, and includes in the request an AAL2 binding ID used to bind the lub bearer with a DCH. 6/7. The NodeB and SRNC exchange DCH FP frames Downlink Synchronisation and Uplink Synchronisation to synchronize the bearer. NodeB activates the downlink TX. 8. The SRNC sends an Active Set Update message, which contains radio link addition and deletion parameters, to the UE over the DCCH. Parameters: Update type, cell ID, downlink scrambling code, power control information and adjacent cell information. 9. After configuring the parameters based on the RRC message, the UE deactivates the downlink RX of the radio link to be deleted and activate the downlink RX of the radio link to be added, and sends a RRC message Active Set Update Complete to the SRNC. 10. The SRNC sends a NBAP message Radio Link Deletion Request to NodeB for it to stop the TX and RX. Parameters: Cell ID and transport layer addressing information. 11. The NodeB deactivates radio resources and sends a NBAP message Radio Link Deletion Response to the SRNC. 12. The SRNC initiates the release of the lur/lub bearer via protocol ALCAP.
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3.3
Hard Handover Procedure Analysis
3.3.1 General Description of the Hard Handover Procedure

Hard handovers include intra-frequency, inter-frequency and inter-RAT hard handovers, of which the inter-RAT hard handover procedure is complicated and will be described in section 3.3. Hard handovers can be also categorized into timing re-initialised hard handovers and timing-maintained hard handovers in terms of the synchronization method. 1. Timing re-initialised hard handover The purpose of the timing re-initialised hard handover procedure is to remove all the RL(s) in the active set and establish new RL(s) along with a change in the UL transmission timing and the CFN in the UE according to the SFN of the target cell. This procedure is initiated when UTRAN does not know the target SFN timing before hard handover Timing re-initialised hard handover initiated by the UTRAN is normally performed by using the procedure "Physical channel reconfiguration", but may also be performed by using either one of the following procedures: "radio bearer establishment"; "Radio bearer reconfiguration"; "Radio bearer release"; or "Transport channel reconfiguration". execute the Timing Re-initialised hard handover procedure by following the procedure
If IE "Timing indication" has the value "initialise", UE shall: indicated in the subclause relevant to the procedure chosen by the UTRAN. 2. Timing-maintained hard handover The purpose of the Timing-maintained hard handover procedure is to remove all the RL(s) in the active set and establish new RL(s) while maintaining the UL transmission timing and the CFN in the UE. This procedure can be initiated only if UTRAN knows the target SFN timing before hard handover. The target SFN timing can be known by UTRAN in the following 2 cases: UE reads SFN when measuring "Cell synchronisation information" and sends it to the UTRAN internally knows the time difference between the cells.
UTRAN in MEASUREMENT REPORT message. Timing-maintained hard handover initiated by the network is normally performed by using the procedure "Physical channel reconfiguration", but may also be performed by using either one of the following procedures: "radio bearer establishment"; "Radio bearer reconfiguration" ; "Radio bearer release"; or
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"Transport channel reconfiguration".
If IE "Timing indication" has the value "maintain", UE shall initiate the Timing-maintained hard handover procedure by following the procedure indicated in the subclause relevant to the procedure chosen by the UTRAN. The reconfiguration procedures are used to perform timing-maintained hard handovers, i.e. radio bearer establishment procedure, radio bearer reconfiguration procedure, radio bearer release procedure, transport channel reconfiguration procedure and physical channel reconfiguration procedure, which are described as below., The radio bearer establishment procedure is used to establish new radio bearer(s). The normal and failure cases of this procedure are illustrated respectively in Figure 21 and Figure 22.
UE RADIO BEARER SETUP UTRAN
RADIO BEARER SETUP COMPLETE
Figure 21
Radio bearer establishment, normal case
UE RADIO BEARER SETUP
UTRAN
RADIO BEARER SETUP FAILURE
Figure 22
Radio bearer establishment, failure case
The radio bearer reconfiguration procedure is used to reconfigure parameters for a radio bearer or signaling link. The normal and failure cases of this procedure are illustrated respectively in Figure 23 and Figure 24.
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UE UTRAN
RADIO BEARER RECONFIGURATION
RADIO BEARER RECONFIGURATION COMPLETE
Figure 23
UE
Radio bearer reconfiguration, normal case

UTRAN
RADIO BEARER RECONFIGURATION
RADIO BEARER RECONFIGURATION FAILURE
Figure 24
Radio bearer reconfiguration, failure case
The radio bearer release procedure is used to release radio bearer(s). The normal and failure cases of this procedure are illustrated respectively in figures 24 and 25.
UE RADIO BEARER RELEASE UTRAN
RADIO BEARER RELEASE COMPLETE
Figure 25
UE
Radio bearer release, normal case

UTRAN RADIO BEARER RELEASE
RADIO BEARER RELEASE FAILURE
Figure 26
Radio bearer release, failure case
The transport channel reconfiguration procedure is used to reconfigure transport channel

parameters. The normal and failure cases of this procedure are illustrated respectively in figures Figure 27 and Figure 28.
UE TRANSPORT CHANNEL RECONFIGURATION TRANSPORT CHANNEL RECONFIGURATION COMPLETE UTRAN
Figure 27
UE
Transport channel reconfiguration, normal case

UTRAN TRANSPORT CHANNEL RECONFIGURATION TRANSPORT CHANNEL RECONFIGURATION FAILURE
Figure 28
Transport channel reconfiguration, failure case
The physical channel reconfiguration procedure is used to establish, reconfigure and release physical channels. The normal and failure cases of this procedure are illustrated respectively in Figure 29 and Figure 30.
UE PHYSICAL CHANNEL RECONFIGURATION PHYSICAL CHANNEL RECONFIGURATION COMPLETE UTRAN
Figure 29
Physical channel reconfiguration, normal case
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UE PHYSICAL CHANNEL RECONFIGURATION PHYSICAL CHANNEL RECONFIGURATION FAILURE UTRAN
Figure 30
Physical channel reconfiguration, failure case
3.3.2 Analysis of Hard Handover Related IEs

This section analyzes hard handover related reconfiguration IEs in the following messages: RADIO BEARER ESTABLISHMENT RADIO BEARER RECONFIGURATION RADIO BEARER RELEASE TRANSPORT CHANNEL RECONFIGURATION PHYSICAL CHANNEL RECONFIGURATION 1. RADIO BEARER ESTABLISHMENT message This message is sent by the UTRAN to the UE to establish new radio bearer(s). It can be used to reconfigure transport and physical channels. RLC-SAP: AM; Logical channel: DCCH. IEs in a RADIO BEARER ESTABLISHMENT message are listed in table below.
Table10 IEs in a RADIO BEARER ESTABLISHMENT message
Information Element/Group name Message Type UE Information Elements RRC transaction identifier
Nee d MP MP
Multi
Type and reference Message Type RRC transaction identifier 10.3.3.36
CH OP
Integrity check info 10.3.3.16 Integrity protection mode 10.3.3.19 info
Ciphering mode info

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OP
Ciphering
mode 10.3.3.5 Activation time New U-RNTI New C-RNTI RRC State Indicator MD OP OP MP
info Default "now" value is
Activation time 10.3.3.1 U-RNTI 10.3.3.47 C-RNTI 10.3.3.8 RRC State Indicator 10.3.3.10
UTRAN DRX cycle length coefficient
MD
UTRAN DRX cycle length coefficient 10.3.3.49
Default value is the existing value of UTRAN DRX cycle length coefficient
CN Information Elements CN Information info UTRAN mobility information elements URA identity RB Information Elements Signalling RB information to setup list OP 1 to <maxS RBsetu p> >Signalling RB information to setup RAB information to setup list OP 1 to <maxR ABsetu p> >RAB information for setup MP RAB information for setup 10.3.4.10 RB information to be affected
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OP
OP
URA identity 10.3.2.6 For each signalling radio bearer established Signalling RB information to setup 10.3.4.24 For each RAB established
MP
OP
1 to
list >RB information to be affected Downlink counter synchronisation info >RB with PDCP information list OP OP MP
<maxR B> RB information to be affected 10.3.4.17
1 to <maxR BallRA Bs>
This IE is needed for each RB having PDCP in the case of lossless SRNS relocation RB with PDCP information 10.3.4.22
>>RB with PDCP information
MP
TrCH Information Elements Uplink transport channels UL Transport channel information common for all transport channels OP UL Transport channel information common for all transport channels 10.3.5.24 Deleted TrCH information list OP 1 to <maxTr CH> >Deleted UL TrCH information MP Deleted TrCH information 10.3.5.5 Added or Reconfigured TrCH information list >Added or Reconfigured UL TrCH information MP OP 1 to <maxTr CH> Added or Reconfigured UL TrCH information
UL
10.3.5.2 CHOICE mode >FDD >>CPCH set ID >>Added or Reconfigured TrCH information for DRAC list >>>DRAC static information MP OP OP 1 to <maxTr CH> DRAC 10.3.5.7 >TDD Downlink transport channels DL Transport channel information common for all transport channels OP DL Transport channel information common for all transport channels10.3.5 .6 Deleted TrCH information list OP 1 to <maxTr CH> >Deleted DL TrCH information MP Deleted DL TrCH information 10.3.5.4 Added or Reconfigured TrCH information list >Added or Reconfigured DL TrCH information MP OP 1 to <maxTr CH> Added Reconfigured DL 10.3.5.1 PhyCH information elements
OP CPCH set ID 10.3.5.3
static
information (no data)
or TrCH
information
Frequency info
MD
Frequency info 10.3.6.36
Default value is the existing frequency information value of
Uplink radio resources Maximum allowed UL TX power MD Maximum allowed UL TX power 10.3.6.39 CHOICE channel requirement >Uplink DPCH info >CPCH SET Info Downlink radio resources CHOICE mode >FDD >>Downlink PDSCH information OP Downlink PDSCH information 10.3.6.30 >TDD Downlink information common for all radio links OP Downlink information common for all radio links 10.3.6.24 Downlink information per radio link list >Downlink information for each radio link MP OP 1 to <maxR L> Downlink information for each radio link 10.3.6.27 Analysis of IEs: Message Type: Used to identify the message, mandatory.
Default value is the existing maximum UL TX power
OP Uplink DPCH info 10.3.6.88 CPCH SET Info 10.3.6.13 MP
(no data)
Send downlink information for each radio link
UE information elements: Including the following IEs: -RRC transaction identifier : Used to identify the RRC, mandatory. -Integrity check info: Used for integrity check, conditional. -Integrity protection mode info: Used for integrity protection, optional. -Ciphering mode info: Used for ciphering, optional. -Activation time: Used to specify the activation time with now as its default value, mandatory. -New U-RNTI: Used to configure the new UTRAN RNTI, optional. -New C-RNTI: Used to configure the new CRNC RNTI, optional. -RRC State Indicator: Used to describe the RRC state of the UE, mandatory. -UTRAN DRX cycle length coefficient: Used to specify the UTRANs discontinuous RX cycle length, mandatory. CN information elements: Used to describe the CN information, optional. UTRAN mobility information elements: Used to describe UTRAN mobility information, especially the URA identity, optional. RB information elements: Including the following IEs: -Signalling RB information to setup list: Used to describe each signaling radio bearer to be set up, optional. -RAB information to setup list: Used to describe each radio access bearer, optional. -RB information to be affected list: Used to describe each radio bearer to be affected, optional. -Downlink counter synchronisation info: Used to describe the downlink counter synchronisation information, optional. TrCH Information Elements: Including IEs Uplink transport channels and Downlink transport channels. Uplink transport channels: Including the following IEs: -UL Transport channel information common for all transport channels: Used to describe UL transport channel information common for all transport channels, optional. -Deleted TrCH information list: Used to list the transport channels to be deleted, optional. -Added or Reconfigured TrCH information list: Used to list the transport channels to be added or reconfigured, optional. -CHOICE mode: Used to describe the chosen mode (FDD or TDD), optional. Downlink transport channels: Including the following IEs: -DL Transport channel information common for all transport channels: Used to describe the downlink transport information common for all transport channels, optional. -Deleted TrCH information list: Used to list the transport channels to be deleted, optional. -Added or Reconfigured TrCH information list: Used to list the transport channels to be added or reconfigured, optional.
Phy CH information elements: Including IEs Uplink radio resources and Downlink radio resources, of which the radio bear frequency is mandatory with current frequency as its default value. Uplink radio resources: Including the following IEs: -Maximum allowed UL TX power: Used to specify the maximum allowed uplink TX power with the existing maximum UL TX power as its default value, mandatory. -CHOICE channel requirement: Used to choose the channel requirement, optional. Downlink radio resources: Including the following IEs: -CHOICE mode: Used to describe the chosen mode (FDD or TDD), mandatory. -Downlink information common for all radio links: Used to describe the downlink information common for all radio links, optional. -Downlink information per radio link list: Used to describe the downlink information of each radio link, optional. 2. RADIO BEARER RECONFIGURATION message This message is sent by the UTRAN to the UE to reconfigure QoS related parameters for a radio bearer. The message can be used to change the MAC multiplexing and reconfigure the transport and physical channels. RLC-SAP: AM; Logical channel: DCCH. IEs in a RADIO BEARER RECONFIGURATION message are listed in table below.
Table11 IEs in a RADIO BEARER RECONFIGURATION message
Information Element/Group name Message Type UE Information elements RRC transaction identifier Integrity check info Integrity protection mode info Ciphering mode info Activation time
Nee d MP MP CH OP OP MD
Multi
Type and reference Message Type RRC transaction identifier 10.3.3.36 Integrity check info 10.3.3.16 Integrity protection mode info 10.3.3.19 Ciphering mode info 10.3.3.5 Activation time 10.3.3.1
Default value is "now"
New U-RNTI New C-RNTI

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OP OP
All rights reserved
U-RNTI 10.3.3.47 C-RNTI 10.3.3.8

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RRC State Indicator UTRAN DRX cycle length coefficient
MP MD
RRC State Indicator 10.3.3.10 UTRAN DRX cycle length coefficient 10.3.3.49 Default value is the existing value of UTRAN DRX cycle length coefficient
CN information elements CN Information info UTRAN mobility information elements URA identity RB information elements RAB information to reconfigure list >RAB information to reconfigure RB information to reconfigure list >RB information to reconfigure RB information to be affected list >RB information to be affected TrCH Information Elements Uplink transport channels UL Transport channel information common for all transport channels Deleted TrCH information list
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OP
OP OP 1 to < maxRABs etup > MP OP MP OP MP 1 to <maxRB> 1to <maxRB>
URA identity 10.3.2.6
RAB information to reconfigure 10.3.4.11
RB information to reconfigure 10.3.4.18
RB information to be affected 10.3.4.17
OP
UL Transport channel information common for all transport channels 10.3.5.24
OP
1 to
<maxTrCH > >Deleted UL TrCH information Added or Reconfigured TrCH information list >Added or Reconfigured UL TrCH information MP OP 1 to <maxTrCH > Added or Reconfigured UL TrCH information 10.3.5.2 CHOICE mode >FDD >>CPCH set ID >>Added or Reconfigured TrCH information for DRAC list >>>DRAC static information >TDD Downlink transport channels DL Transport channel information common for all transport channels Deleted TrCH information list OP 1 to <maxTrCH > >Deleted DL TrCH information Added or Reconfigured TrCH information list >Added or Reconfigured DL TrCH information MP OP 1 to <maxTrCH > Added or Reconfigured DL TrCH information 10.3.5.1
MP
Deleted UL TrCH information 10.3.5.5
OP OP OP 1 to <maxTrCH > MP DRAC static information 10.3.5.7 (no data) CPCH set ID 10.3.5.3
OP
DL Transport channel information common for all transport channels 10.3.5.6
MP
Deleted DL TrCH information 10.3.5.4
PhyCH information elements Frequency info MD Frequency info 10.3.6.36 Default value is the existing value of frequency information Uplink radio resources Maximum allowed UL TX power MD Maximum allowed UL TX power 10.3.6.39 Default value is the existing maximum UL TX power CHOICE channel requirement >Uplink DPCH info >CPCH SET Info Downlink radio resources CHOICE mode >FDD >>Downlink PDSCH information >TDD Downlink information common for all radio links Downlink information per radio link list >Downlink information for each radio link MP OP 1 to <maxRL> Downlink information for each radio link 10.3.6.27 OP Downlink information common for all radio links 10.3.6.24 OP Downlink PDSCH information 10.3.6.30 (no data) MP Uplink DPCH info 10.3.6.88 CPCH SET Info 10.3.6.13 OP
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Analysis of IEs: Message Type: Used to identify the message, mandatory. UE information elements: Including the following IEs: -RRC transaction identifier : Used to identify the RRC, mandatory. -Integrity check info: Used for integrity check, conditional. -Integrity protection mode info: Used for integrity protection, optional. -Ciphering mode info: Used for ciphering, optional. -Activation time: Used to specify the activation time with now as its default value, mandatory. -New U-RNTI: Used to configure the new UTRAN RNTI, optional. -New C-RNTI: Used to configure the new CRNC RNTI, optional. -RRC State Indicator: Used to describe the RRC state of the UE, mandatory. -UTRAN DRX cycle length coefficient: Used to specify the UTRANs discontinuous RX cycle length, mandatory. CN information elements: Used to describe the CN information, optional. UTRAN mobility information elements: Used to describe UTRAN mobility information, especially the URA identity, optional. RB information elements: Including the following IEs: -RAB information to reconfigure list: Used to describe each radio access bearer to be reconfigured, optional. -RB information to reconfigure list: Used to describe each radio link to be reconfigured, optional. -RB information to be affected list: Used to describe each radio bearer to be affected, optional. TrCH Information Elements: Including IEs Uplink transport channels and Downlink transport channels. Uplink transport channels: Including the following IEs: -UL Transport channel information common for all transport channels: Used to describe UL transport channel information common for all transport channels, optional. -Deleted TrCH information list: Used to list the transport channels to be deleted, optional. -Added or Reconfigured TrCH information list: Used to list the transport channels to be added or reconfigured, optional. -CHOICE mode: Used to describe the chosen mode (FDD or TDD), optional. Downlink transport channels: Including the following IEs: -DL Transport channel information common for all transport channels: Used to describe the downlink transport information common for all transport channels, optional. -Deleted TrCH information list: Used to list the transport channels to be deleted, optional. -Added or Reconfigured TrCH information list: Used to list the transport channels to be
added or reconfigured, optional. Phy CH information elements: Including IEs Uplink radio resources and Downlink radio resources, of which the radio bear frequency is mandatory with current frequency as its default value. Uplink radio resources: Including the following IEs: -Maximum allowed UL TX power: Used to specify the maximum allowed uplink TX power with the existing maximum UL TX power as its default value, mandatory. -CHOICE channel requirement: Used to choose the channel requirement, optional. Downlink radio resources: Including the following IEs: -CHOICE mode: Used to describe the chosen mode (FDD or TDD), optional. -Downlink information common for all radio links: Used to describe the downlink information common for all radio links, optional. -Downlink information per radio link list: Used to describe the downlink information of each radio link, optional.
3. RADIO BEARER RELEASE message This message is sent by the UTRAN to release radio bearer(s). The message can be used to reconfigure the transport and physical channels. RLC-SAP: AM; Logical channel: DCCH. IEs in a RADIO BEARER RELEASE message are listed in table below.
Table12 IEs in a RADIO BEARER RELEASE message
Need MP MP
Multi
CH OP
Integrity check info 10.3.3.16 Integrity protection mode info 10.3.3.19
Ciphering mode info Activation time New U-RNTI

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OP MD OP
All rights reserved
Ciphering mode info 10.3.3.5 Activation time 10.3.3.1 U-RNTI 10.3.3.47

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New C-RNTI RRC State Indicator
OP MP
C-RNTI 10.3.3.8 RRC State Indicator 10.3.3.10
UTRAN DRX cycle length coefficient
MD
UTRAN DRX cycle length coefficient 10.3.3.49
Default value is the existing value of UTRAN DRX cycle length coefficient
CN Information Elements CN Information info Signalling Connection release indication UTRAN mobility information elements URA identity RB Information Elements RAB information to reconfigure list >RAB information to reconfigure RB information to release list MP 1 to <maxRB > >RB information to release RB information to be affected list >RB information to be affected Downlink counter synchronisation info
OP OP
CN Information info 10.3.1.3 CN domain identity 10.3.1.1
OP
OP
1 to < maxRAB setup >
MP
RAB information to reconfigure 10.3.4.11
MP OP 1 to <maxRB > MP
RB information to release 10.3.4.19
RB information to be affected 10.3.4.17
OP
>RB with PDCP information list
OP
1 to <maxRB allRABs>
This IE is needed for each RB having PDCP in the case of lossless SRNS relocation
>>RB with PDCP information
MP
RB with PDCP information 10.3.4.22
TrCH Information Elements Uplink transport channels UL Transport channel information common for all transport channels OP UL Transport channel information common for all transport channels 10.3.5.24 Deleted TrCH information list OP 1 to <maxTrC H> >Deleted UL TrCH information Added or Reconfigured TrCH information list >Added or Reconfigured UL TrCH information MP OP 1 to <maxTrC H> Added or Reconfigured UL TrCH information 10.3.5.2 CHOICE mode >FDD >>CPCH set ID >>Added or Reconfigured TrCH information for DRAC list
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MP
Deleted UL TrCH information 10.3.5.5
OP OP OP 1 to <maxTrC H>
CPCH set ID 10.3.5.3
>>>DRAC static information
MP
DRAC static information 10.3.5.7
>TDD Downlink transport channels DL Transport channel information common for all transport channels OP DL Transport channel information common for all transport channels 10.3.5.6 Deleted TrCH information list OP 1 to <maxTrC H> >Deleted DL TrCH information Added or Reconfigured TrCH information list >Added or Reconfigured DL TrCH information MP OP 1 to <maxTrC H> Added or Reconfigured DL TrCH information 10.3.5.1 PhyCH information elements Frequency info MD Frequency info 10.3.6.36 MP Deleted DL TrCH information 10.3.5.4
(no data)
Default value is the existing value of frequency information
Uplink radio resources Maximum allowed UL TX power MD Maximum allowed UL TX power 10.3.6.39 CHOICE channel
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Default value is the existing maximum UL TX power
OP
requirement >Uplink DPCH info >CPCH SET Info Downlink radio resources CHOICE mode >FDD >>Downlink PDSCH information >TDD Downlink information common for all radio links OP Downlink information common for all radio links 10.3.6.24 Downlink information per radio link list OP 1 to <maxRL> Send downlink information for each radio link to be set-up >Downlink information for each radio link MP Downlink information for each radio link 10.3.6.27 Analysis of IEs: Message Type: Used to identify the message, mandatory. UE information elements: Including the following IEs: -RRC transaction identifier : Used to identify the RRC, mandatory. -Integrity check info: Used for integrity check, conditional. -Integrity protection mode info: Used for integrity protection, optional. -Ciphering mode info: Used for ciphering, optional. -Activation time: Used to specify the activation time with now as its default value, mandatory. -New U-RNTI: Used to configure the new UTRAN RNTI, optional. -New C-RNTI: Used to configure the new CRNC RNTI, optional. -RRC State Indicator: Used to describe the RRC state of the UE. Mandatory. -UTRAN DRX cycle length coefficient: Used to specify the UTRANs discontinuous RX cycle
Uplink DPCH info 10.3.6.88 CPCH SET Info 10.3.6.13 MP OP Downlink PDSCH information 10.3.6.30 (no data)
length, mandatory. CN information elements: Used to describe the CN information, optional. Signalling Connection release indication: Used to describe the signaling connection release indication. UTRAN mobility information elements: Used to describe UTRAN mobility information, especially the URA identity, optional. RB information elements: Including the following IEs: -RAB information to reconfigure list: Used to describe each radio access bearer to be reconfigured, optional. -RB information to reconfigure list: Used to describe each radio link to be reconfigured, optional. -RB information to be affected list: Used to describe each radio bearer to be affected, optional. -Downlink counter synchronisation info: Used to describe the downlink counter synchronisation information, optional. TrCH Information Elements: Including IEs Uplink transport channels and Downlink transport channels. Uplink transport channels: Including the following IEs: -UL Transport channel information common for all transport channels: Used to describe UL transport channel information common for all transport channels, optional. -Deleted TrCH information list: Used to list the transport channels to be deleted, optional. -Added or Reconfigured TrCH information list: Used to list the transport channels to be added or reconfigured, optional. -CHOICE mode: Used to describe the chosen mode (FDD or TDD), optional. Downlink transport channels: Including the following IEs: -DL Transport channel information common for all transport channels: Used to describe the downlink transport information common for all transport channels, optional. -Deleted TrCH information list: Used to list the transport channels to be deleted, optional. -Added or Reconfigured TrCH information list: Used to list the transport channels to be added or reconfigured, optional. Phy CH information elements: Including IEs Uplink radio resources and Downlink radio resources, of which the radio bear frequency is mandatory with current frequency as its default value. Uplink radio resources: Including the following IEs: -Maximum allowed UL TX power: Used to specify the maximum allowed uplink TX power with the existing maximum UL TX power as its default value, mandatory. -CHOICE channel requirement: Used to choose the channel requirement, optional.
Downlink radio resources: Including the following IEs: -CHOICE mode: Used to describe the chosen mode (FDD or TDD), optional. -Downlink information common for all radio links: Used to describe the downlink information common for all radio links, optional. -Downlink information per radio link list: Used to describe the downlink information of each radio link, optional. 4. TRANSPORT CHANNEL RECONFIGURATION message This message is sent by the UTRAN to the UE to reconfigure transport channels. The message can be used to reconfigure the physical channel and TFC subset. RLC-SAP: AM; Logical channel: DCCH. IEs in a TRANSPORT CHANNEL RECONFIGURATION message are listed in table below.
Table13 IEs in a TRANSPORT CHANNEL RECONFIGURATION message
Nee d MP MP
Multi
CH OP
Integrity Integrity
check
info 10.3.3.16 protection mode info 10.3.3.19 Ciphering mode info Activation time New U-RNTI New C-RNTI RRC State Indicator OP MD OP OP MP Ciphering mode info 10.3.3.5 Activation time 10.3.3.1 U-RNTI 10.3.3.47 C-RNTI 10.3.3.8 RRC State Indicator 10.3.3.10 UTRAN DRX cycle length
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MD
All rights reserved
UTRAN
DRX
Default value is
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coefficient
cycle 10.3.3.49
length
the existing value of UTRAN DRX cycle coefficient length
coefficient
CN Information Elements CN Information info UTRAN mobility information elements URA identity RB information elements Downlink counter synchronisation info >RB with PDCP information list OP 1 to <maxRBall RABs> This IE is needed for each RB having PDCP in the case of lossless SRNS relocation >>RB with PDCP information MP RB with PDCP information 10.3.4.22 TrCH Information Elements Uplink transport channels UL Transport channel information common for all transport channels OP UL Transport channel information common for all transport channels 10.3.5.24 Added or Reconfigured TrCH information list >Added or Reconfigured UL TrCH information MP OP 1 to <maxTrCH > Added or Reconfigured UL TrCH
OP
OP
OP
information 10.3.5.2 CHOICE mode >FDD >>CPCH set ID >>Added or Reconfigured TrCH information for DRAC list >>>DRAC static information MP OP OP 1 to <maxTrCH > DRAC 10.3.5.7 >TDD Downlink transport channels DL Transport channel information common for all transport channels OP DL Transport channel information common for all transport channels 10.3.5.6 Added or Reconfigured TrCH information list >Added or Reconfigured DL TrCH information MP OP 1 to <maxTrCH > Added or Reconfigured DL TrCH information 10.3.5.1 PhyCH information elements Frequency info MD Frequency info 10.3.6.36 Default value is the existing value of frequency information Uplink radio resources Maximum allowed UL TX
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OP CPCH set ID 10.3.5.3
static
information (no data)
MD
All rights reserved
Maximum
Default value is
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power
allowed UL TX power 10.3.6.39
the existing maximum UL TX power
CHOICE channel requirement >Uplink DPCH info >CPCH SET Info Downlink radio resources CHOICE mode >FDD >>Downlink PDSCH information
OP Uplink DPCH info 10.3.6.88 CPCH SET Info 10.3.6.13 MP OP Downlink PDSCH information 10.3.6.30
>TDD Downlink information common for all radio links OP Downlink information common for all radio links 10.3.6.24 Downlink information per radio link list >Downlink information for each radio link MP OP 1 to <maxRL> Downlink information for each radio link 10.3.6.27 Analysis of IEs: Message Type: Used to identify the message, mandatory. UE information elements: Including the following IEs: -RRC transaction identifier : Used to identify the RRC, mandatory. -Integrity check info: Used for integrity check, conditional. -Integrity protection mode info: Used for integrity protection, optional. -Ciphering mode info: Used for ciphering, optional.
(no data)
-Activation time: Used to specify the activation time with now as its default value, mandatory.
-New U-RNTI: Used to configure the new UTRAN RNTI, optional. -New C-RNTI: Used to configure the new CRNC RNTI, optional. -RRC State Indicator: Used to describe the RRC state of the UE. Mandatory. -UTRAN DRX cycle length coefficient: Used to specify the UTRANs discontinuous RX cycle length, mandatory. CN information elements: Used to describe the CN information, optional. UTRAN mobility information elements: Used to describe UTRAN mobility information, especially the URA identity, optional. RB information elements: Including the following IEs: -Downlink counter synchronisation info: Used to describe the downlink counter synchronisation information, optional. TrCH Information Elements: Including IEs Uplink transport channels and Downlink transport channels. Uplink transport channels: Including the following IEs: -UL Transport channel information common for all transport channels: Used to describe UL transport channel information common for all transport channels, optional. -Added or Reconfigured TrCH information list: Used to list the transport channels to be added or reconfigured, optional. -CHOICE mode: Used to describe the chosen mode (FDD or TDD), optional. Downlink transport channels: Including the following IEs: -DL Transport channel information common for all transport channels: Used to describe the downlink transport information common for all transport channels, optional. -Added or Reconfigured TrCH information list: Used to list the transport channels to be added or reconfigured, optional. Phy CH information elements: Including IEs Uplink radio resources and Downlink radio resources, of which the radio bear frequency is mandatory with current frequency as its default value. Uplink radio resources: Including the following IEs: -Maximum allowed UL TX power: Used to specify the maximum allowed uplink TX power with the existing maximum UL TX power as its default value, mandatory. -CHOICE channel requirement: Used to choose the channel requirement, optional. Downlink radio resources: Including the following IEs: -CHOICE mode: Used to describe the chosen mode (FDD or TDD), optional. -Downlink information common for all radio links: Used to describe the downlink information common for all radio links, optional. -Downlink information per radio link list: Used to describe the downlink information of each
radio link, optional. 5. PHYSICAL CHANNEL RECONFIGURATION message This message is sent by the UTRAN to the UE to reconfigure physical channels, e.g. assigning, replacing and releasing a group of physical channels. RLC-SAP: AM; Logical channel: DCCH. IEs in a PHYSICAL CHANNEL RECONFIGURATION message are listed in table below.
Table14 IEs in a PHYSICAL CHANNEL RECONFIGURATION message
Information Element/Group name Message Type UE Information Elements RRC transaction identifier Integrity check info Integrity protection mode info Ciphering mode info Activation time New U-RNTI New C-RNTI RRC State Indicator UTRAN DRX cycle length coefficient
Need MP MP CH OP
Multi
Type and reference Message Type RRC transaction identifier 10.3.3.36 Integrity check info 10.3.3.16 Integrity protection mode info 10.3.3.19
OP MD OP OP MP MD
Ciphering mode info 10.3.3.5 Activation time 10.3.3.1 U-RNTI 10.3.3.47 C-RNTI 10.3.3.8 RRC State Indicator 10.3.3.10 UTRAN DRX cycle length coefficient 10.3.3.49 Default value is the existing value of UTRAN DRX cycle length coefficient Default value is "now"
CN Information Elements CN Information info UTRAN mobility information elements URA identity OP URA identity 10.3.2.6
OP
RB information elements Downlink counter synchronisation info >RB with PDCP information list OP 1 to <max RBall RABs > >>RB with PDCP information PhyCH information elements Frequency info MD Frequency info 10.3.6.36 Default value is the existing value of frequency information Uplink radio resources Maximum allowed UL TX power MD Maximum allowed UL TX power 10.3.6.39 Default value is the existing value of the maximum allowed UL TX power CHOICE channel requirement >Uplink DPCH info >CPCH SET Info >CPCH set ID Downlink radio resources CHOICE mode >FDD >>Downlink PDSCH information OP Downlink PDSCH information 10.3.6.30
OP This IE is needed for each RB having PDCP in the case of lossless SRNS relocation MP RB with PDCP information 10.3.4.22
OP Uplink DPCH info 10.3.6.88 CPCH SET Info 10.3.6.13 CPCH set ID 10.3.5.3 MP
>TDD Downlink information common for all radio links OP Downlink information common for all radio links 10.3.6.24 Downlink information per radio link list >Downlink information for each radio link MP OP 1 to <max RL> Downlink information for each radio link 10.3.6.27 Analysis of IEs: Message Type: Used to identify the message, mandatory. UE information elements: Including the following IEs: -RRC transaction identifier : Used to identify the RRC, mandatory. -Integrity check info: Used for integrity check, conditional. -Integrity protection mode info: Used for integrity protection, optional. -Ciphering mode info: Used for ciphering, optional.
(no data)
-Activation time: Used to specify the activation time with now as its default value, mandatory. -New U-RNTI: Used to configure the new UTRAN RNTI, optional. -New C-RNTI: Used to configure the new CRNC RNTI, optional. -RRC State Indicator: Used to describe the RRC state of the UE. Mandatory. -UTRAN DRX cycle length coefficient: Used to specify the UTRANs discontinuous RX cycle length, mandatory. CN information elements: Used to describe the CN information, optional. UTRAN mobility information elements: Used to describe UTRAN mobility information, especially the URA identity, optional. RB information elements: Including the following IEs: -Downlink counter synchronisation info: Used to describe the downlink counter synchronisation information, optional. Phy CH information elements: Including IEs Uplink radio resources and Downlink radio resources, of which the radio bear frequency is mandatory with current frequency as its default value. Uplink radio resources: Including the following IEs: -Maximum allowed UL TX power: Used to specify the maximum allowed uplink TX power
with the existing maximum UL TX power as its default value, mandatory. -CHOICE channel requirement: Used to choose the channel requirement, optional. Downlink radio resources: Including the following IEs: -CHOICE mode: Used to describe the chosen mode (FDD or TDD), optional. -Downlink information common for all radio links: Used to describe the downlink information common for all radio links, optional. -Downlink information per radio link list: Used to describe the downlink information of each radio link, optional.
3.3.3 Hard Handover Signaling Procedure

The procedure described in this section is based on lur interface with the UE in the CELL_DCH state. See figure below.
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UE
Node B Source
Node B Target
RNC Source
RNC target
SRNC
RNSAP 2. Radio Link Setup Request
1. Radio Link Setup Request Note 1
RNSAP
NBAP
NBAP
NBAP
3. Radio Link Setup Response
NBAP
4. ALCAP Iub Data Transport Bearer Setup 5. RL Setup Response Note 1
RNSAP
RNSAP
6. ALCAP Iur Data Transport Bearer Setup Note 1 RRC 7. DCCH : Physical Channel Reconfiguration Note 3 RRC
NBAP
8. Radio Link Failure Indication
NBAP
RNSAP 10. DCCH : Physical Channel Reconfiguration Complete Note 3
9. Radio Link Failure Indication Note 2
RNSAP
RRC
RRC
RNSAP
11. Radio Link Deletion Request Note 2
RNSAP
NBAP
12. Radio Link Deletion Request
NBAP
NBAP
13. Radio Link Deletion Response
NBAP
14. ALCAP Iub Data Transport Bearer Release
RNSAP
15. Radio Link Deletion Response Note 2 16. ALCAP Iur Data Transport Bearer Release Note 2
RNSAP
Figure 31
Hard handover signaling procedure (with Iur interface and the UE in CELL_DCH state)
Signaling procedure analysis: 1. SRNC sends a Radio Link Setup Request message to the target RNC. Parameters: Target RNC identifier, s-RNTI, cell ID, TFS and TFCS. 2. The target RNC assigns RNTI and radio resources to the RRC and radio link and then sends a NBAP message Radio Link Setup Request to the target NodeB. Parameters: cell ID, TFS, TFCS, frequency, uplink scrambling code and power control information, etc.
3. The target NodeB assigns radio link resources, activates the physical layer RX and sends a NBAP message Radio Link Setup Response to the target RNC. Parameters: signaling end, transport layer addressing information of the lub bearer. 4. The target RNC initiates the establishment of the lub bearer via protocol ALCAP, and includes in the request an AAL2 binding ID used to bind the lub bearer with a DCH. 5. After completing the preparation, the target RNC sends a Radio Link Setup Response message to the SRNC. 6. The SRNC initiates the establishment of the lur bearer via protocol ALCAP, and includes in the request an AAL2 binding ID used to bind the lur bearer with a DCH. 7. The SRNC sends a RRC message Physical Channel Reconfiguration to the UE. 8. After the UE switches from the old link to the new link, the source NodeB detects a synchronization failure in the old link and sends a NBAP message Radio Link Failure Indication to the source RNC. 9. The source RNC sends a RNSAP message Radio Link Failure Indication to the SRNC. 10. After the RRC with the target RNC is set up and necessary radio resources are assigned, the UE sends a RRC message Physical Channel Reconfiguration Complete to the SRNC. 11. The SRNC sends a RNSAP message Radio Link Deletion Request to the source RNC, requesting it to release the radio resources assigned to the old link. 12. The source RNC sends a NBAP message Radio Link Deletion Request to the source NodeB. Parameters: Cell ID, transport layer addressing information. m. The source NodeB releases the radio resources assigned to the old link and sends a NBAP message Radio Link Deletion Response message to the source RNC. 13. The source RNC initiates the release of the lur bearer via protocol ALCAP. 14. After releasing the lur bearer, the source RNC sends a RNSAP message Radio Link Deletion Response to the SRNC. 15. The SRNC initiates the release of the lur bearer via protocol ALCAP, and includes in the request an AAL2 binding ID used to bind the lur bearer with a DCH, which will be acknowledged by the target RNC. The signaling procedure of a cross-CN hard handover is illustrated in figure below.
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SG SN UE N od e B S o u rc e N od e B T a rg e t RN C S o u rc e RN C T a rg e t 1 . R eloca tion R eq u ir ed 2 . R eloca tion R eq u ir ed

M S C /S G S N S G S N /M S C
RA N AP RA N AP
RANAP RANAP
3 . R eloca tion R eq u est RA N AP RA N A P RA N AP 4 . R eloca tion R eq u est RA NA P
5 . A L C A P Iu D a ta T r a n sp or t B ea r er S etu p N BA P N BA P 6 . R a d io L in k S etu p R eq u est 7 . R a d io L in k S etu p R esp on se N BA P N BA P
8 . A L C A P Iu b D a ta T r a n sp or t B ea r er S etu p 9 . R eloca tion R eq u est A ck n ow led g e RA N A P 1 0 . R eloca tion R eq u est A ck n ow led g e
RA N AP
RANAP 1 1 . R eloca tion C om m a n d
RA N A P
RANAP
RA N A P
RANAP 1 3 . D C C H : P h ysica l C h a n n el R econ fig u r a tion N ote 1
1 2 . R eloca tion C om m a n d
RA N AP
RRC
RRC RA NA P
1 4 . R eloca tion D etect RA NA P 1 5 . R eloca tion D etect RANAP
RA N A P N BA P 1 6 . R a d io L in k F a ilu r e In d ica tion N BA P
RRC
1 7 . D C C H : P h ysica l C h a n n el R econ fig u r a tion C om p lete N ote 1
RRC 1 8 . R eloca tion C om p lete
RA NA P RA NA P
RA NA P RANAP
1 9 . R eloca tion C om p lete
RANAP
2 0 . Iu R elea se C om m a n d
RA N AP
RANAP
2 1 . Iu R elea se C om m a n d
RA N AP
2 2 . A L C A P Iu D a ta T r a n sp or t B ea r er R elea se 2 3 . Iu R elea se C om p lete
RANAP
RANAP
RANAP
2 4 . Iu R elea se C om p lete
RANAP
Figure 32
Cross-CN hard handover signaling procedure
1./2. The SRNC sends a Relocation Required message to the source and target CN nodes. 3./4. 5. After completing the preparation, the CN node sends a Relocation Required The target RNC and CN node establish a lu bearer between them. message to the target RNC to assign appropriate resources. 6./7./8. The target RNC assigns RNTI and radio resources to the RRC and radio link and sends a NBAP message Radio Link Setup Request to the target NodeB. The target NodeB assigns radio link resources, activates the physical layer RX and sends a NBAP message Radio Link Setup Response to the target RNC.
Parameters: Cell ID, TFS, TFCS, frequency, uplink scrambling code and power control information, etc. 9./10. After completing the preparation, the RNC sends a Relocation Required Acknowledge message to the CN. 11./12. After completing the preparation, the CN sends a Relocation Command message to the SRNC. 13. The SRNC sends a RRC message Physical Channel Reconfiguration to the UE. 14./15./16. Upon detecting the UE, the target RNC sends a Relocation Detect message to the two CN nodes. After the UE switches from the old link to the new one, the source NodeB detects a RL failure in the old link and sends a Radio Link Failure Indication message to the source RNC. 17. After the RRC with the target RNC is set up and necessary radio resources are assigned, the UE sends a RRC message Physical Channel Reconfiguration Complete to the target RNC. 18./19. After the UE is successfully handed over to the target RNC and resources are assigned, the RNC sends a Relocation Complete message to all CN nodes. 20./21. The CN sends a Iu Release Command message to the SRNC. 22. release. The old RNC-CN lu bearer is released. 23./24. The old RNC sends a Iu Release Complete message to the CN to acknowledge the
3.4
Inter-RAT Handover Procedure Analysis
3.4.1 General Description of the inter-RAT handover procedure

Inter-RAT handovers include handovers from UTRAN to another system (e.g. GSM) and from another system to UTRAN. Inter-RAT handover from UTRAN to another system
UE UTRAN
HANDOVER FROM UTRAN COMMAND
Figure 33
Inter-RAT handover from UTRAN, successful case
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UE UTRAN
HANDOVER FROM UTRAN COMMAND
HANDOVER FROM UTRAN FAILURE
Figure 34
Inter-RAT handover from UTRAN, failure case
The purpose of the inter-RAT handover procedure is to, under the control of the network, transfer a connection between the UE and UTRAN to another radio access technology (e.g. GSM). This procedure may be used in CELL_DCH state. At present, this procedure is only used in the circuit switching field. The procedure is initiated when UTRAN orders a UE in CELL_DCH state, to make a handover to a radio access technology other than UTRAN, e.g. GSM. To initiate the procedure, UTRAN sends a HANDOVER FROM UTRAN COMMAND message. Failure cases: - UE fails to complete requested handover: The UE does not support the requested handover scenario or cannot establish the connection to the target RAT. -Invalid HANDOVER FROM UTRAN COMMAND message: The IE "Inter-RAT message" received within the HANDOVER FROM UTRAN COMMAND message does not include a valid inter RAT handover message in accordance with the protocol specifications for the target RAT. - Unsupported configuration in HANDOVER FROM UTRAN COMMAND message: The UTRAN instructs the UE to perform a non-supported handover scenario, e.g. multiple RAB or to use a non-supported configuration. Any of the above exceptions will cause a handover failure. Inter-RAT handover from another system to UTRAN
UE UTRAN
HANDOVER TO UTRAN COMMAND (sent via other system)
HANDOVER TO UTRAN COMPLETE
Figure 35
Inter-RAT handover to UTRAN
The purpose of the inter-RAT handover procedure is to, under the control of the network, transfer a connection between the UE and another radio access technology (e.g. GSM) to UTRAN. The procedure is initiated when a radio access technology other than UTRAN, e.g.
GSM, using radio access technology-specific procedures, orders the UE to make a handover to UTRAN. In case UTRAN decides to uses a predefined or default radio configuration that is stored in the UE, it should include the following information in the HANDOVER TO UTRAN COMMAND message. used; PhyCH information elements. In case UTRAN does not use a predefined radio configuration that is stored in the UE, it should include the following information in the HANDOVER TO UTRAN COMMAND message. the IE "U-RNTI" to be assigned; the complete set of RB, TrCH and PhyCH information elements to be used. the IE "U-RNTI" to be assigned; the IE "Predefined configuration identity", to indicate which pre-defined configuration of the IE "Default configuration mode" and IE "Default configuration identity", to indicate
RB, transport channel and physical channel parameters shall be used; or which default configuration of RB, transport channel and physical channel parameters shall be
If an inter-RAT handover fails, the UE will handle the failure. Failure cases include: Invalid Handover to UTRAN Command message. Unsupported configuration in HANDOVER TO UTRAN COMMAND message. UE fails to perform handover. If the UE fails to establish the connection to the UTRAN, it usually will end the procedure, e.g. releasing associated resources and resuming the pre-handover connection and send a failure indicator via the source RAT. Upon reception of a failure indicator from another RAT, the UTRAN will release associated resources and contexts related to this UE. An exception will cause a handover failure.
3.4.2 Analysis of Inter-RAT Hard Handover Related IEs

1. HANDOVER FROM UTRAN COMMAND
Table15 IEs in a HANDOVER FROM UTRAN COMMAND message
Need MP
Multi
MP
RRC transaction identifier
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10.3.3.36 Integrity check info Activation time RB information elements RAB information list OP 1 to <maxRABs etup> >RAB info Other information elements Inter-RAT message MP Inter-RAT message 10.3.8.8 Analysis of IEs: Message Type: Used to identify the message, mandatory. UE information elements: Including the following IEs: -RRC transaction identifier : Used to identify the RRC, mandatory. -Integrity check info: Used for integrity check, conditional. -Activation time: Used to specify the activation time with now as its default value, mandatory. RB information elements: Including the following IEs: -RAB information list: Used to describe each radio access bearer, optional. Other information elements: Including the following IEs: -Inter-RAT message: Used to specify the inter-RAT message. 2. HANDOVER TO UTRAN COMMAND
Table16 IEs in a HANDOVER TO UTRAN COMMAND message
CH MD
Integrity check info 10.3.3.16 Activation time 10.3.3.1 Default value is "now"
For each RAB to be handed over RAB info 10.3.4.8
MP
Information Element/Group name New U-RNTI Activation time Ciphering algorithm
Need MP MD OP
Multi
Type and reference U-RNTI Short 10.3.3.48 Activation time 10.3.3.1 Ciphering algorithm
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10.3.3.4 CHOICE specification mode >Complete specification UE information elements RB information elements >>Signalling RB information to setup list MP 1 to <maxSRBs etup> >>>Signalling RB information to setup >>RAB information to setup list >>>RAB information for setup MP OP 1 to <maxRABs etup> RAB information for setup 10.3.4.10 Uplink transport channels >>UL Transport channel information common for all transport channels MP UL Transport channel information common for all transport channels 10.3.5.24 >>Added or Reconfigured TrCH information >>>Added or Reconfigured UL TrCH information MP MP 1 to <maxTrCH > Added or Reconfigured UL TrCH information 10.3.5.2 Downlink transport channels >>DL Transport channel information common for all
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MP
For each signalling radio bearer established Signalling RB information to setup 10.3.4.24 For each RAB established
MP
MP
DL Transport channel
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transport channels
information common for all transport channels 10.3.5.6
>>Added or Reconfigured TrCH information >>>Added or Reconfigured DL TrCH information
MP
1 to <maxTrCH >
MP
Added or Reconfigured DL TrCH information 10.3.5.1
Uplink radio resources >>Uplink DPCH info >>CHOICE mode >>>FDD >>>>CPCH SET Info Downlink radio resources >>>>Downlink PDSCH information OP Downlink PDSCH information 10.3.6.30 >>>TDD >>Downlink information common for all radio links MP Downlink information common for all radio links 10.3.6.24 >>Downlink information per radio link >>>Downlink information for each radio link MP MP 1 to <maxRL> Downlink information for each radio link 10.3.6.27 >Preconfiguration
MP MP OP
Uplink DPCH info 10.3.6.88
CPCH SET Info 10.3.6.13
(no data)
>>CHOICE Preconfiguration mode >>>Predefined configuration
MP MP Predefined configuration identity 10.3.4.5
>>>Default configuration >>>>Default configuration mode MP Enumerated (FDD, TDD) Indicates whether the FDD or TDD version of the default configuration shall be used >>>>Default configuration identity MP Default configuration identity 10.3.4.0 >>RAB info >>Uplink DPCH info OP MP RAB info Post 10.3.4.9 Uplink DPCH info Post 10.3.6.89 Downlink radio resources >>CHOICE mode >>>FDD >>>>Downlink information common for all radio links Downlink information common for all radio links Post 10.3.6.25 >>>TDD >>Downlink information per radio link MP 1 to <maxRL> (no data) Send downlink information for each radio link to be set-up. In TDD MaxRL is 1.
One RAB is established
>>>Downlink information for each radio link
MP
Downlink information for each radio link Post 10.3.6.28
Frequency info Maximum allowed UL TX power
MP MP
Frequency info 10.3.6.36 Maximum allowed UL TX power 10.3.6.39
CHOICE mode >FDD >TDD >>Primary CCPCH Tx Power
MP (no data) MP Primary CCPCH Tx Power 10.3.6.59
Analysis of IEs: -New U-RNTI: Used to configure the new UTRAN RNTI, optional. -Activation time: Used to specify the activation time with now as its default value, mandatory. -Ciphering algorithm: Used to specify the ciphering algorithm, optional. -CHOICE specification mode: Used to choose the specification mode, mandatory. RB information elements: Including the following IEs: -Signalling RB information to setup list: Used to describe each signaling radio bearer to be set up, optional. -RAB information to setup list: Used to describe each radio access bearer, optional. Uplink transport channels: Including the following IEs: -UL Transport channel information common for all transport channels: Used to describe uplink transport channel information common for all transport channels, optional. -Added or Reconfigured TrCH information list: Used to list the transport channels to be added or reconfigured, mandatory. Downlink transport channels: Including the following IEs: -DL Transport channel information common for all transport channels: Used to describe the downlink transport information common for all transport channels, mandatory. -Added or Reconfigured TrCH information list: Used to list the transport channels to be added or reconfigured, mandatory.
Uplink radio resources: Including the following IEs: -Uplink DPCH info: Used to describe the uplink DPCH, mandatory. -CHOICE mode: Used to describe the uplink mode (FDD or TDD), optional. Downlink radio resources: Including the following IEs: -Downlink information common for all radio links: Used to describe the downlink information common for all radio links, mandatory. -Downlink information per radio link list: Used to describe the downlink information of each radio link, optional. -Preconfiguration: Used to describe the pre-configuration, mandatory.
3.4.3 Inter-RAT Hard Handover Signaling Procedure

Inter-RAT handover (from UTRAN) signaling procedure (UTRAN->GSM/BSS) The handover procedure described here is from 3G UMTS to 2G-MSC, namely, from UTRAN to GSM/BSS. The signaling procedure on the GSM side will not be described here in details for it is not covered by this document. The signaling procedure is illustrated in figure below.
UE Node B RNC Serving CN M SC BSC BTS
RANAP
1. Relocation Required
RANAP 2. Prepare Handover
M AP/E
M AP/E 3. Handover Request 4. Handover Request Ack
BSSM AP
BSSM AP
BSSM AP 5. Prepare Handover Response
BSSM AP
M AP/E 6. Relocation Com m and RANAP 7. DCCH : Inter-System Handover Com m an d [Hard Handover] RANAP
M AP/E
RRC
RRC 8. Handover Detect
BSSM AP 9. Handover Com plete RR
BSSM AP
RR 10. Handover Com plete
BSSM AP 11. Send End Signal Request
BSSM AP
M AP/E
M AP/E
RANAP
12. Iu Release Com m and 13. Iu Release Com plete
RANAP
RANAP
RANAP 14. Send End Signal Response M AP/E M AP/E
Figure 36 2005-07-02
UTRAN GSM/BSS inter-RAT hard handover signaling procedure All rights reserved Page 87 , Total92
1. The SRNC sends a RANAP message Relocation Required to CN.
2. The UMTS CN forwards the Relocation Required message to the GSM MSC via the MAP/E interface. 3. Normal GSM signaling procedure; the MSC sends a BSSMAP message Handover Request to the BSC. 4. Normal GSM signaling procedure; the BSC sends a BSSMAP message Handover Request Ack to the MSC. 5. The GSM MSC/BSS completes the initialization procedure, and the MSC sends a MAP/E message Prepare Handover Response to the CN. 6. The CN sends a RANPA message Relocation Command to the SRNC. 7. The SRNC sends a RRC message HANDOVER FROM UTRAN COMMAND to the UE over the existing RRC to perform the inter-RAT handover. 8. Normal GSM signaling procedure; the BSC sends a BSSMAP message Handover Detect the MSC. 9. Normal GSM signaling procedure; the UE sends a Handover Complete message to the BSC. 10. Normal GSM signaling procedure; the BSC sends a BSSMAP message Handover Complete to the MSC. 11. When the GSM detects the UE, the MSC sends a MAP/E message Send End Signal Request to the CN. 12. The CN sends a RANAP message lu Release Command to the SRNC for it to initiate the release of the resources assigned by the SRNC to the old link. 13. The SRNC releases the bearer resources and sends a Iu Release Complete message to the CN. 14. The CN sends a MAP/E message Send End Signal Response to the MSC. Inter-RAT handover (to UTRAN) signaling procedure (GSM/BSS ->UTRAN) The handover procedure described here is from 2G-MSC to 3G UMTS, namely, from GSM/BSS to UTRAN. The signaling procedure on the GSM side will not be described here in details for it is not covered by this document. The signaling procedure is illustrated in figure below.
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UE Node B RNC Target CN MSC

BSC BTS
BSSMAP 2. Prepare Handover
1. Handover Required
BSSMAP
MAP/E
MAP/E
RANAP
3. Relocation Request 4. Relocation Request Ack.
RANAP
RANAP
RANAP 5. Prepare Handover Response
MAP/E
MAP/E 6. Handover Command
BSSMAP
BSSMAP
7. Handover Command RR 8. Relocation Detect RR
RANAP
RANAP
RRC
9. DCCH : Handover Complete
RRC 10. Relocation Complete RANAP RANAP 11. Send End Signal Request
MAP/E
MAP/E 12. Clear Command 13. Clear Complete
BSSMAP
BSSMAP
BSSMAP 14. Send End Signal Response MAP/E MAP/E
BSSMAP
Figure 37
GSM/BSS UTRAN inter-RAT hard handover signaling procedure
1. The BSC sends a Handover Required message to the GSM MSC. 2. The MSC sends a MAP/E message Prepare Handover to the UMTS CN. 3. The CN sends a RANAP message Relocation Request to the target RNC. 4. The target RNC sends a RANAP message Relocation Request Acknowledge to the CN. 5. The CN sends a MAP/E message Prepare Handover Response to the MSC. 6. The MSC sends a BSSMAP message Handover Command to the BSC. 7. The BSC sends a BSSMAP message Handover Command to the UE, which contains the message HANDOVER TO UTRAN COMMAND sent by the UTRAN to UE. 8. Upon detecting the UE, the target RNC sends a Relocation Detect message to the CN. 9. After the RRC with the target RNC is set up and necessary radio resources are assigned, the UE sends a RRC message Handover Complete to the target RNC. 10. Upon completion of the RRC setup, the target RNC sends a RANAP message Relocation Complete to the CN. 11. The CN sends a MAP/E message Send End Signal Request to the MSC. 12. The MSC sends a Clear Command message to the BSC. 13. The BSC sends a Clear Complete message to the MSC. 14. The MSC sends a MAP/E message Send End Signal Response to the CN.
4 Performance Analysis of Handover Procedure

4.1 Performance Indicators and Analysis of Soft Handover
From the perspective of network optimization, it is mainly concerned by three soft handover performance indicators, i.e. soft handover success rate, soft handover ratio and handover delay. The target of soft handover ratio is set up in initial stage of the coverage planning, and we can change the exact ratio by adjusting the antenna and feeder system or power and handover related parameters later on. The other two indicators directly reflect the soft handover performance and are closely related to the capabilities of the RAN and UE as well as cooperation among modules. Soft handover success rate=number of successful soft handovers/number of soft handover attempts. Number of soft handover attempts: Measured by the RNC performance measurement module. It will increase by 1 (including the RNC-oriented and cell-oriented measurement points) while each time the RNC sends an ACTIVE SET UPDATE message. Repeat message for whatever reason is excluded. Number of successful soft handovers: Measured by the RNC performance measurement module. It will increase by 1 (including the RNC-oriented and cell-oriented measurement points) while each time the RNC receives an ACTIVE SET UPDATE COMPLETE message. Due to the inherent merits of soft handovers, the soft handover success rate is usually very high, close to 100%. The causes of soft handover failure are listed in table 3, and the statistical numbers of failture are presented in the performance reports. As for the soft handover delay, it will be focused on the analysis of the UTRAN structure because the CN is not involved in the soft handover procedure. Based on the signaling procedures described above, soft handover delays can be defined as follows: Soft handover delay on the RNC side: The time delay from when the RNC sends a Radio Link Setup Request message till it receives a Radio Link Deletion Response message. This is the case of the combined radio link addition and deletion procedure. In other cases, the definition depends upon the specific procedure. Soft handover delay on the UE side: The time delay from when the UE receives an ACTIVE SET UPDATE message till it sends an ACTIVE SET UPDATE COMPLETE message to the UTRAN. The two kinds of delays should be measured within the RNC and UE respectively to obtain the accurate and actual delay of the soft handover procedure and locate network faults.
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4.2
Hard Handover Performance Indicators and Analysis
The Major hard handover performance indicators are the hard handover success rate and hard handover delay, which can reflect the cooperation and capabilities of UE, RAN and CN as well as the compatibility between UTRAN and other systems. Hard handover success rate=number of successful hard handovers/number of hard handover attempts. Number of hard handover attempts: It will increase by 1 while each time the SRNC sends a Physical Channel Reconfiguration message. Repeat message for whatever reason is excluded. Number of successful hard handovers: It will increase by 1 while each time the SRNC receives a Physical Channel Reconfiguration Complete message. The hard handover success rate is generally less than soft handover success rate, and a hard handover failure is liable to result in a call drop. Because message Handover Command or Handover Complete is transmitted through the GSM BSC other than the RNC, the RNC cannot meausre the inter-RAT hard handover success rate yet. Hard handover delay on the RNC side: The time delay from when the RNC sends a Radio Link Setup Request message till it receives a Radio Link Deletion Response message. Hard handover delay on the UE side: Time delay from when the UE receives a Physical Channel Reconfiguration message or Inter-RAT Handover Command message till it sends a Physical Channel Reconfiguration Complete message or Handover Complete message to the UTRAN. Because the UE does not have the test code for hard handover delay measurement, it is impossible to obtain the accurate hard handover delay so far, and can only figure it out by analyzing the serial port data.
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List of reference [1] 3GPP R99 25_series, 09/2002 [2] Hu Hanyin, 3G Mobile Communications System, 08/2001 [3] Xie Zhibin, 3G Handover Planning, 08/2001 [4] Zheng Wenlong, Handover Type Analysis Report, 10/2001 [5] Analysis Report on Measurement Control and Measurement Report Messages Used for Handover, 10/2001 [6] Wang Zuofen, Ma Liyan, WCDMA RNC V100R002 RAA Hard Handover Outside Plant Performance Test Report, 05/2003/ [7] Tu Rui, WCDMA RNC V100R002 RAA Soft Handover Outside Plant Test Report, 02/2003 [8] Dong Yan, Treatise on WCDMA RNP Traffic Measurement Inicator Analysis, 10/2002
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WCDMA RNO Handover Procedure Analysis Guidance

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Product name WCDMA RNP Product version V100R001

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WCDMA RNO Handover Procedure Analysis Guidance

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WCDMA RNO Handover Procedure Analysis

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WCDMA RNO Handover Procedure Analysis

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2.1.2 Softer handover

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Intra Node B (Inter Cell)

Figure 1 Softer handover (Intra-NodeB, Inter-cell and intra-frequency handover)

2.1.3 Soft Handover

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Intra Node B (Inter Cell)

Figure 2 Soft handover (Intra-NodeB, inter-cell and intra-frequency handover)

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Inter Node B (Intra RNS)

Figure 3 Soft handover (intra-RNC, inter-NodeB and intra-frequency handover)

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Inter RNS Soft Handover

2.2.1 Inter-frequency Hard Handover

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Intra Node B (Inter Cell)

Figure 5 Hard handover (intra-NodeB, inter-cell and inter-frequency handover)

Inter Node B (Intra RNS)

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Inter RNS Hard Handover

Figure 7 Inter-frequency hard handover

2.2.2 Intra-frequency Hard Handover

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Inter RNS (Intra UTRAN) No Iur

Figure 8 Intra-frequency hard handover (inter-RNS without lur)