04 TM51104EN03GLA3 Procedures

UMTS Functionalities and Procedures
Contents
1
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8
1.9
1.10
1.11
2
2.1
2.2
2.3
2.4
3
3.1
3.2
4
4.1
4.2
4.3
4.4
5
Radio Resource Management

Introduction
Radio Resource Control
Admission Control
Packet Scheduler
Load Control
Code Allocation
Channelization code planning
Scrambling code planning
Power Control
Handover Control
Diversity
Mobility Management
Introduction
Location Update
Paging
Roaming Case
Session Management
Initial Access to the Network
Authentication and Ciphering
Procedure Examples
Elementary Procedures
Paging
RRM Procedure Examples
MM Procedure Examples
Exercises
TM51104EN03GLA3
2010 Nokia Siemens Networks
3
4
6
10
16
18
26
26
28
28
32
54
59
60
62
70
72
75
76
78
85
86
88
115
128
133
TM51104EN03GLA3
Radio Resource Management
TM51104EN03GLA3
1.1
Introduction
The Radio Network Controller (RNC) has similar functionality as the BSC in the GSM
BSS but there are also a few differences. Unlike the GSM systems, the Radio Access
Network (RAN) has RNC-RNC interface (Iur), which enables the RNC to maintain
Radio Resource Management (RRM) independently. The wideband switching in the
RNC makes the element structure of RNC remarkably different to element structure
of BSC in GSM BSS during implementation.
The RNC has different functions to control the radio resource connection. The
functions are divided into network and connection based functions. The connection
based functions are related to task that RRM performs on an active bearer
connection, whereas the network based functions are used continuously in a cell for
all allocations. The examples of network based functions are Admission Control (AC),
Load Control (LC), Resource Manager (RM), and Packet Scheduler (PS). AC and LC
are used to manage the amount of power being transmitted and the number of
subscribers in a cell. This control is important when introducing new bearer
allocations into the network. The RM is responsible for the allocation of the bearer.
TM51104EN03GLA3
RNC
BS
Core
Network
(Wideband)
Switching
Interface Units
Interface Units
Radio
Resource
Mgmt.
Control
Units
Iu
Iur
O&M
Interface
other
RNC
Network
Management
Iub
Nokia Siemens Networks
Fig. 1 General Diagram of RNC
LC
PS
RM
Ne
two
rk
AC
Ba
sed
Fu
nct
ion
s
Packet Scheduler (PS)
Resource Manager (RM)
Admission Control (AC)
Load Control (LC)
Code Allocation
Power Control (PC)
Handover Control,
Micro Diversity (HC)
PC
Co
nne
HC
ctio
nB
ase
dF
u nc
tion
TM51102EN03GLA01
1
Fig. 2 Radio Resource Management Functions
TM51104EN03GLA3
1.2
Radio Resource Control
The RRC has two main states, idle and connected. From the UE to the network
connection point of view, the RRC changes its state from idle to connect. For any
activity between the UE and the network, the RRC-connected state can be
considered as a prerequisite.
When there is no RRC connection between the mobile and the network, but the
mobile is switched on, the mobile is considered to be in an idle mode. It means that
the mobile is listening to one base station and is in readiness to start a connection, or
is waiting to be paged.
When a dedicated channel is provided to the subscriber, for example, for video, the
subscriber is considered to be in the Cell_DCH state. (The DCH is derived from the
name of the channel in the air interface). In this state the UE is sending measurement
reports to the network, which enables the system to control the dedicated bearer and
perform handovers.
If the mobile is only sending small pieces of information to the network, for example
irregular Internet based traffic or for signaling, then the RRC can be in a mode known
as Cell_FACH (the FACH stands for Forward Access Channel) and is different from
the previous state as UE is not using dedicated channel. The network does not
perform handovers as the mobile moves from one cell to another. The UE just
informs the network about its current location.
Depending on the bearer we have and how it is being used, the RNC will move the
RRC between the different states. In addition to the Cell_FACH, if the network finds
that the bearer is not being used for a long time, it can move the connection to a
Cell_PCH mode (Paging Channel), where the mobile is still known to a cell level but
can only be reached via the PCH. In this state the UE is using a Discontinuous
Repetition Function (DRX) to save battery. Again, unlike in the Cell_DCH, as the
subscriber moves, the mobile informs the RNC which cell it has moved to.
The final state is the URA_PCH. This state is similar to the Cell_PCH. But, instead of
monitoring the connection on a cell level, it is now on a RNC level. URA stands for
UTRA Registration Area and the UE monitors the broadcast channel for URA
identities.
The RRC as an entity consists of two items, Medium Access Control (MAC) and
Radio Link Control (RLC). Together these two are also called as Layer 2 processing.
TM51104EN03GLA3
RNC:
RRC States &
Location
Information
RNC
RRC Connection
(stores UEs Cell/URA)
Prerequisite
Prerequisitefor
for
exchange
exchangeofof
User
UserData
Data/ /Signaling
Signaling
TS
TS25.331
25.331
RRC Connected
UE
UE position known in UTRAN

Signaling connection exists
Cell_DCH
DCH allocated
UEs cell known
Cell_PCH
Standby (DRX)
UEs cell known
UE to be paged
RRC Idle
no UE infos in UTRAN,
only in CN
no signaling possible
Cell_FACH
common channels used
UEs cell known
Establish / Release
RRC Connection
LA
RA
URA
RA
URA
URA
URA_PCH
Standby (DRX)
only URA known
UE to be paged
URA
URA
URA
UTRAN
Registration Area
URA
DCH: Dedicated Channel

FACH: Forward Access Channel
PCH: Paging Channel
RRC: Radio Resource Control
set of cells
operator
defined
for RRC
Standby
URA
TM51104EN03GLA01
1
Fig. 3 Radio Resource Control States
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TM51104EN03GLA3
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The Physical Layer, in the layer 1 offers Transport Channels to the MAC layer. There
are different types of transport channels with different characteristics depending on
the transmission. Common transport channels can be shared by multiple handsets
(for example, FACH, RACH, DSCH, BCH, and PCH).
Dedicated transport channels (DCH) are assigned to only one handset at a time. The
transmission functions of the physical layer include channel coding and interleaving,
multiplexing of transport channels, mapping to physical channels, spreading,
modulation and power amplification, with corresponding functions for reception. A
frequency and a code characterize a physical channel.
The MAC protocol, in the layer 1 offers logical channels to the layers above. The
logical channels carry different types of information, which include Dedicated Control
Channel (DCCH), Common Control Channel (CCCH), Dedicated Traffic Channel
(DTCH), Common Traffic Channel (CTCH), Broadcast Control Channel (BCCH) and
the Paging Control Channel (PCCH). The MAC layer performs scheduling and
mapping of logical channel data onto the transport channels provided by the physical
layer.
For common transport channels, the MAC layer adds addressing information to
distinguish data flows intended for different handsets. One major difference to GSM
is the possibility to dynamically switch one logical channel (data flow) onto different
transport channel types, based on the activity of the subscriber. The Radio Link
Control (RLC) protocol, a layer 2 protocol, operates in one of three modes:
transparent, unacknowledged, or acknowledged mode. It performs segmentation/reassembly functions and, in acknowledged mode, provides an assured mode delivery
service by use of retransmission.
RLC provides a service for the RRC signaling to both, the Signaling Radio Bearer
and for the user data transfer, the Radio Access Bearer. Above these layers the
Radio Resource Control (RRC) protocol, in the layer 3 provides control of the
handset from the RNC. It includes functions to control radio bearers, physical
channels, mapping of the different channel types, handover, measurement and other
mobility procedures.
TM51104EN03GLA3
CS RAB
(speech)
RRC
Signaling
PS RAB
(data)
Iu
RLC
RLC
Segmentation
Retransmission across the
air
Ciphering of Non Real Time
data
Buffering
RLC
Logical Channels
Selection of the data to be

inserted in the radio frame
Selection of common or
dedicated channels
Multiplexing of logical
channels into same
transport channels
Ciphering to Real Time data
Medium Access Control

Iub/Iur
Transport Channels
MAC for
Common
Channels
Physical Layer
Physical Channels
TM51102EN03GLA01
1
Fig. 4 Layer 2 Processing
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TM51104EN03GLA3
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1.3
Admission Control
WCDMA radio access has several limiting factors, some of them being absolute and
others environment-dependent. The most important and the most difficult is to control
the interference occurring in the radio path. Due to the nature and basic
characteristics of WCDMA, every UE accessing the network generates a signal.
Simultaneously, the signals generated by the UE can be interpreted to be
interference from the other UEs point of view. When the WCDMA network is planned,
one of the basic criteria for planning is to define the acceptable interference level,
with which the network is expected to function correctly. This planning based value
and the actual signals the UE transmit set practical limits for the Uu interface
capacity.
To be more specific, a value called Signal-to-Interference Ratio (SIR) is used in this
context. Based on radio network planning, the network is, in theory, able to stand as
maximum one SIR of certain size within one cell. That is, in the BTS receiver, the
interference and the signal must have a certain level of power difference in order to
extract one signal out from the other signals using the same carrier. If the power
distance between interfering components and the signal is too small, the BTS is not
able to extract an individual signal out from the carrier anymore. Every UE having a
bearer active through this cell consumes a part of the SIR. The cell is used up to its
maximum level when the BTS receiver is not able to extract the interference from the
carrier.
The main task of admission control is to estimate whether a new call can have
access to the system without sacrificing the bearer requirements of existing calls.
Thus the AC algorithm should predict the load of the cell if the new call is admitted. It
should be noted that the availability of the terrestrial transmission resources is
verified, too, meaning that there is no limiting factor in the rest of the UTRAN either.
Based on the admission control, the RNC either grants or rejects the access.
The SIR or Interference Margin has direct relationship with the cell load. If we
express the cell load with a Load_Factor (from 0 to 1, equals cell percentage load,
that is, 10 % load gives value 0.1) and mark the Interference Margin with I, it leads to
the following equation:
10
TM51104EN03GLA3
SIR Allowed Range
U
u
In
te
rf a
ce
Ba
nd
w
id
th
Admission Control
Radio Access Bearers

in Uu Interface
TM51102EN03GLA01
1
Fig. 5 Admission Control
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TM51104EN03GLA3
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11
Based on the graph, it is fairly easy to indicate that when the cell load exceeds 70 %,
the interference in that cell will be very difficult to control. This is why the WCDMA
radio network is normally dimensioned with expected capacity equivalent to Load
Factor value 0.5 (50 %). This value has a safety margin in it and the network will
behave as expected.
12
TM51104EN03GLA3
Interference Margin (dB) and Load Factor
Interference Margin (dB)
25
20
15
10
0
0
0,1
0,2
0,3
0,4
0,5
0,6
0,7
0,8
0,9
Load Factor
TM51102EN03GLA01
1
Fig. 6 Interference Margin as a function of cell load
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TM51104EN03GLA3
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13
Planning Uplink Admission Control

The RNC controls the interference on the uplink, and the parameters are used to act
as boundaries. The UL interference power, which determines the maximum limit
where the cell is considered to be at maximum load. From the graph depicting,
interference margin as a function of a cell load, a realistic value to represent a
sensible load can be arrived at The value is known as the PRX_Target (PRX stands
for Receive Power level.) value.
The area from 0 to this value is known as the planned load. Once the load is
approaching this value, the Traffic Handovers (TRHO) are performed.
As UMTS traffic is variable and constantly changing, it is possible that the traffic
admission may exceed the PRX_Target. To handle this situation, a second level of
value known as the PRX_TARGET_BS is used by the BTS to stop situations of
congestion. Once this value is reached, the BTS takes actions to reduce the load in
the cell.
14
TM51104EN03GLA3
Interference Margin (dB)
Defines the limit (the first UL

overload threshold) for UL
interference power, after which the
BS starts its load control action to
prevent overload.
Prx_target_BS
Marginal Load Area
Prx_offset
Prx_target
TRHO_threshold
Planned Uplink
Interference Power
Planned Load Area
Load Factor
TM51102EN03GLA01
1
Fig. 7 Admission Control on the Uplink
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TM51104EN03GLA3
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15
1.4
Packet Scheduler
Packet scheduler is a general feature, which handles scheduling radio resources for
Non-Real-Time (NRT) radio access bearers for both uplink and downlink directions.
Packet access is implemented for both dedicated (DCH) and common control
transport channels Random Access and Forward Access Channels (RACH/FACH).
Packet scheduler makes the decision of the used channel type for the downlink
direction. For uplink direction the decision of the used channel type is made by the
UE. Following figure illustrates function of the packet scheduler.
In Release 3, the actions of the packet scheduler are driven by the load control
function. The gap between Real-Time (RT) traffic and the load target of the cell can
be filled by the packet scheduler. As IPv6 is implemented, and Quality of Service
(QoS) becomes a key part of the interface, the scheduler no longer sees the traffic as
real-time and non-real-time, but instead uses a priority system on the packets being
transmitted.
16
TM51104EN03GLA3
Packet Service Session

Packet Call
time
Reading Time
Packet Size
Packet Arrival Interval
TM51102EN03GLA01
1
Fig. 8 Packet scheduler function
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TM51104EN03GLA3
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17
1.5
Load Control
The Radio Resource Management mechanisms Admission Control, Packet

Scheduler and Load Control are important components when controlling the load in
the UTRAN network. The purpose of load control is to optimize the capacity of a cell
and prevent an overload situation to maintain the stability of the system. Load control
consists of Admission Control (AC) algorithms, Packet Scheduler (PS) algorithms,
and Load Control (LC), which updates the load status of the cell based on resource
measurements and estimations provided by AC and PS.
Following figure illustrates how the load control works logically in the RNC.
18
TM51104EN03GLA3
Load Change Info

AC
Load Status
LC
PS
NRT Load
TM51102EN03GLA01
1
Fig. 9 Load Control
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TM51104EN03GLA3
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19
If the system is overloaded, LC returns the system to normal load state in a fast and
controlled way. LC can be divided into two functions:
1. Preventive control, which guards the system from overload.
2. Overload control, which returns the system from an overload state to normal
state.
Interference is the main resource criteria for the CDMA system the following load
control measures are practiced:
1. UL total received wideband interference power.
2. DL total transmission power.
3. One RNC on cell basis periodically under.
RRM acts according to these measurements and parameters set by radio network
planning.
Following figure illustrates Capacity in the Uplink Limited by Interference:
20
TM51104EN03GLA3
The further away

users are moving
The more transmission
power are required to
achieve certain quality
The more users are
connected
Finally the capacity is
filled.
TM51104EN03GLA01
1
Fig. 10 Capacity in the Uplink Limited by Interference
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TM51104EN03GLA3
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21
In the downlink, the capacity is limited by the transmission power of the site. As more
subscribers are added to a cell and as the subscribers move further away from the
site towards the cell edge, the more power is needed to achieve a certain quality. At
this point the capacity of a cell is filled in the downlink because the power/signal
quality to assure a quality connection is not enough.
In the uplink, the capacity is limited to amount of power or interference that is present
in a cell. Therefore, the loading of a cell is based on the combination of these two
directions.
Following figure illustrates the Model of Cell Loading against Traffic Profile.
22
TM51104EN03GLA3
Power
Overload
Load Target
Estimated capacity
of NRT traffic.
Measured load
caused by noncontrollable load.
TM51104EN03GLA01
1
Fig. 11 Model of Cell Loading Against Traffic Profile
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TM51104EN03GLA3
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23
The traffic in a cell can be categorized by priority, depending on the traffic type, for
example, Conversational, Streaming, Interactive, and Background. The categories
can be subdivided into Real Time (RT) and Non-Real Time (NRT) traffic. The figure
above displays a simple example of Release 99 implementation of real time and nonreal time services.
In practice, the real time traffic is given priority over non-real time traffic. The packets
are scheduled to fill in the gaps between the real-time traffic and the load target.
The traffic profile in UMTS is variable, therefore, overload values are used. As in
displayed in the figure above, the system can handle moments of traffic peaks, but if
the traffic is constantly above a certain limit, then certain load reduction measures,
such as handovers, are taken.
The parameters on the right-hand side specify the behavior of the load control. When
the load on the cell is not much, the AC allocates real time bearers, and the PS is
flexible with the packet load. When the load increases, no more real time bearers are
allocated and the PS does not increase the load.
If the load continues to grow, or at the most stay the same (remember, that the
subscribers are still moving, which is affecting the power levels), then the LC takes
actions, such as traffic reason handovers. The PS decreases the bit rate of the nonreal time bearers in an effort to decrease load simultaneously. Under extreme
conditions of the cell being overloaded, the LC may take actions, such as dropping
the NRT bearers.
24
TM51104EN03GLA3
Admission
Control
Load
Control
Packet
Scheduler
Overload
actions
AC doesnt
admit new
bearers
Ptx_threshold or Prx_threshold
PS decreases
bitrates of NRT
bearers
No actions
AC admits RT
bearers
normally
P_CellMax
PS decreases
bitrate and
drops NRT
bearers
Load
preventive LC
actions
AC doesnt
admit new
bearers
Interference
Margin
Ptx_target + Ptx_offset or
Prx_target + Prx_offset
PS doesnt
increase NRT
load but can
change NRT
bitrates
Ptx_target or Prx_target
PS increases
the amount of
NRT bearers
No actions
Load Factor
TM51104EN03GLA01
1
Fig. 12 How the AC, LC and PS work together
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TM51104EN03GLA3
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25
1.6
Code Allocation
This section aims to further specify the properties and usage of the scrambling and
channelization codes in Radio Resource Management (RRM). The different codes
used in WCDMA were briefly explained in the chapter earlier this section aims to
further specify the properties and usage of the scrambling and channelization codes
in RRM.
Both scrambling and channelization codes used in the Uu interface connections are
maintained by the RNC. In principle, the codes could be maintained by the BTS, but
then the system would experience lack of radio resource control such as soft
handovers. When the codes are maintained by the RNC, it is easier to allocate Iub
data ports for multi path connections.
The Uu interface requires two kinds of codes for proper functionality. A part of the
codes used must correlate with each other to a certain extent, and the others must be
orthogonal. Every cell uses one scrambling code. As you already know, this code
acts like a cell ID. Under every scrambling code the RNC has a set of channelization
codes. This set is the same under every scrambling code must first find the correct
scrambling code value first in order to access the cell.
When a connection between the UE and the network is established, the channels
used must be separated. The channelization codes are used for this purpose. The
information sent over the Uu interface is spread with a spreading code per channel.
Spreading code by definition is the same as scrambling code x channelization code.
1.7
Channelization code planning
The codes used in Uu interface can be handled in a code tree, where branches are
consequently blocked when a certain code on a certain spreading factor level is
taken into use. When having plenty of simultaneous connections, with multiple radio
links, multiple channels, and multiple codes, the code tree may easily become
fragmented. Fragmentation means the phenomenon where the probability of the
blocked branch of the code tree increases too much and thus it starts to prevent new
accesses to the system.
For example, if an active call uses high bit rate over the Uu interface, the spreading
factor value in use is small. It furthermore means that a very high-level branch of the
code tree is blocked. When this call is finished and simultaneously new calls access
the system, the blocked code tree branch is not released before the new accesses.
In this situation the system wastes capacity because the code channels allocated for
new calls are not necessarily allocated in the best possible way.
The channelization code used has the same length as the base band data. As a part
of the spreading operation, the base band data and the code are combined and
spread. The result is a fixed length code that is then scrambled. A low data rate
communication can be spread much more over the bandwidth, which also means that
a high spreading factor is used.
26
TM51104EN03GLA3
CC8,0 = (1,1,1,1,1,1,1,1)
Example of code allocation

CC4,0 = (1,1,1,1)
CC8,1 = (1,1,1,1,-1,-1,-1,-1)
CC2,0 = (1,1)
CC8,2 = (1,1,-1,-1,1,1,-1,-1)
CC4,1 = (1,1,-1,-1)
CC8,3 = (1,1,-1,-1,-1,-1,1,1)
CC1,0 = (1)
CC8,4 = (1,-1,1,-1,1,-1,1,-1)
CC4,2 = (1,-1,1,-1)
CC8,5 = (1,-1,1,-1,-1,1,-1,1)
CC2,1 = (1,-1)
CC8,6 = (1,-1,-1,1,1,-1,-1,1)
CC4,3 = (1,-1,-1,1)
CC8,7 = (1,-1,-1,1,-1,1,1,-1)
Spreading Factor:
SF=1
SF=2
SF=3
SF=4
TM51104EN03GLA01
1
Fig. 13 Channelization codes
As codes are released in different branches, the tree can become fragmented and
the RNC should always try to reorganize the tree to make the best use of the
resources. Therefore, in UMTS networks, it is possible that the channelization codes
could change during a connection.
Also, if the scrambling code in the uplink is being used by another person in another
RNC as the subscriber performs a soft handover, the handover is refused and the
serving RNC must allocate a new scrambling code to the subscriber.
TM51104EN03GLA3
27
1.8
Scrambling code planning
There are totally 512 downlink scrambling codes used, eight in each of the 64 code
groups. All the cells that the UE is able to measure in one location should have
different scrambling codes. To ensure this, different scrambling code groups in the
neighboring base stations should be used. The code group allocation is performed
during the network planning. The corresponding functionality should be present in the
network planning tool. The number of re-uses could be 64, as there are 64 code
groups. The scrambling code group planning for different frequency carriers can be
done independently.
1.9
Power Control
In the UTRAN, the power control and accuracy is extremely essential (unlike in GSM
networks). The reasons can be as follows:
The mobiles transmit simultaneously in time (not in different timeslots like in GSM).
The UTRAN uses often only one frequency, which means that the frequency re-use
factor will be 1.
Any inaccuracy in power control immediately increases interference, which then
decreases the capacity of the network.
Following figure shows the Power and Distance.
28
TM51104EN03GLA3
P2
P1
TM51104EN03GLA01
1
Fig. 14 Power and Distance
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29
The physical facts in the UTRAN with regard to the radio path and the distance are
similar to the GSM, but because of the three reasons stated above, the power control
mechanism must be accurate and fast. As a result, the WCDMA power control
mechanism differs from the GSM mechanism.
Following figure shows the different WCDMA Power Control mechanisms.
1.9.1
Open Loop Power Control
When the UE accesses to the network, the initial level for accessing is based on an
estimate. This estimate in turn is based on the signal level received from the Node B
when the UE is in the idle mode and the downlink power level that the UE detects
from the physical channel PICH. In other words, when in an idle mode, the UE
receives information about the used and allowed power levels from the Pilot Channel
of the cell. In addition, the UE evaluates the path loss occurring compared to the
figures received from the CCH-1. Based on this difference, the UE is able to estimate
the correct-enough power level to initialize the connection.
1.9.2
Closed Loop Power Control
When the radio connection is established, the power control method is changed.
During the connection, the method used is called the closed loop power control.
Within this method, the Node commands the UE either to increase or to decrease its
transmission power with the pace of 1.5 kHz (1500 times per second) in the FDD
mode. The decision whether to increase or decrease the power is based on the
received SIR estimated by the Node B.
1.9.3
Outer Loop Power Control
Due to the macro diversity, the UE is simultaneously attached to the network through
more than one cell. The RNC must be aware of the current radio link conditions and
quality. The RNC knows the allowed power levels of the cell and target SIR. In order
to maintain the quality of the radio link, the RNC uses this power control method to
adjust the SIR of the connection. By doing this, the network is able to compensate
changes in the air interface propagation conditions and to achieve the target quality
for the connection. The target quality can be measured with the help of Bit Error Ratio
(BER) and Frame Error Ratio (FER) observations.
30
TM51104EN03GLA3
UE
NodeB
RNC
Open Loop Power Control
Closed Loop Power Control
Outer Loop Power Control
TM51104EN03GLA01
1
Fig. 15 WCDMA Power Control Mechanisms
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31
1.10
Handover Control
UMTS handovers can be intra-system, (inside the WCDMA radio network) or intersystem (from WCDMA to GSM 900/1800). The Inter-System Handovers (ISHO) are
of the traditional type, which are also used in GSM. The ISHO are also known as a
hard handover, because the UE does not maintain simultaneous connections, in
practice it breaks the old connection and then establishes a new connection.
Following figure illustrates The Intra-System and Inter-System Handovers.
The intra-system handovers of UMTS are classified as being inside the same
WCDMA band (intra-frequency) or being from one frequency band to another.
The inter-frequency handover could be a handover from one cell layer to another.
The inter-frequency handovers are hard handovers and are similar to the intersystem handovers. The intra-frequency handovers, on the other hand, could be socalled soft handovers. In a soft handover, the signal is received in both the new and
the old channel for a period of time.
One characteristic of a UMTS network is that the network will communicate with the
UE through different base stations (Node Bs). An active set is a list of cells, through
which the UE has a connection to the network, that is, through which the radio link
set-up has been made.
32
TM51104EN03GLA3
GSM900/1800
BSC
Inter-System
Intra-System
WCDMA TDD
WCDMA TDD
RNC
Inter-System
WCDMA FDD
TM51104EN03GLA01
1
Fig. 16 Intra-System and Inter-System Handovers
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TM51104EN03GLA3
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33
1.10.1
Soft Handover
One characteristic of a UMTS network is that the network will communicate with the
UE through different base stations (Node Bs). An active set is a list of cells, through
which the UE has a connection to the network, that is, through which the radio link
set-up has been made. This is, the UE may have active radio connection between
itself and the network through three cells simultaneously. In soft handover, the UE is
connected to at least two Node Bs at the same time. In the uplink direction, the two
signals come via the base stations to the RNC. In the RNC the signal to be
transported forward to the core network is selected. The selection is done frame by
frame for the speech, and in smaller blocks for data. In the downlink direction, the UE
uses the RAKE receiver to combine signals from two different base stations.
34
TM51104EN03GLA3
Frame Reliability Info
Frame Selection /
Duplication
CN
RNC
Frame Reliability Info
TM51104EN03GLA01
1
Fig. 17 Soft Handover and Active Node B Set
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TM51104EN03GLA3
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35
Soft handover is performed between two cells belonging to different Node Bs but not
necessarily to the same RNC. The source and target cell of the soft handover has the
same frequency. In case of a circuit switched call, the terminal performs soft
handovers at all times if the radio network environment has small cells.
36
TM51104EN03GLA3
Frequency f1
Frequency f1
TM51104EN03GLA01
1
Fig. 18 Soft Handover
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TM51104EN03GLA3
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37
If the subscriber moves from cell site 1, Node B1 to cell site 2, Node B2, first the UE
has a connection through Node B1. The power level and Signal to Interference Ratio
decreases as the UE moves towards Node B2. At some point the Node B2 signal is
high enough and the UE starts to talk via both Node B1 and Node B2. The signal via
Node B2 gets clearer and the signal via Node B1 gets worse. Therefore, when the
UE talks through two Node Bs, we have macro diversity.
38
TM51104EN03GLA3
Power
BS1
BS2
Soft Handover
Window
BS2
BS1
Connect to BS1
Add BS2
Drop BS1
Connect to BS2
TM51104EN03GLA01
1
Fig. 19 Soft Handover (UE moving from BS1 to BS2)
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TM51104EN03GLA3
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39
1.10.2
Softer Handover
In softer handover, the Node B transmits through one sector, but receives from both
the sectors. In this case, the UE has active uplink radio connections with the network
through two cells populating the same Node B.
40
TM51104EN03GLA3
Multipath signal through

Sector 1
Sector 1
f1
Sector 2
f1
Sector 3
f1
Multipath signal through
Sector 3
TM51104EN03GLA01
1
Fig. 20 Softer Handover
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TM51104EN03GLA3
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41
1.10.3
Hard Handover
UMTS Handover
The UMTS hard handover is a GSM-like handover performed between two WCDMA
frequencies. In case of a hard handover, the connection through the old cell is
cleared and the connection with the radio network continues through the new cell.
Hard handover should be avoided if possible because it often results in increased
interference.
42
TM51104EN03GLA3
Frequency f1
Frequency f2
TM51104EN03GLA01
1
Fig. 21 UMTS Handover
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TM51104EN03GLA3
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43
The hard handover performed if the Iur interface is not available. For example,
between the RNCs coming from two manufacturers.
44
TM51104EN03GLA3
RNC
RNC
Iur
Iub
Iub
Frequency f1
Frequency f1
TM51104EN03GLA01
1
Fig. 22 Intra-Frequency Handover
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TM51104EN03GLA3
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45
1.10.4
Inter-System Handover
The possible co-existence of the different radio accesses in the UMTS network, the
UE should be able to fluently change the radio access technology when required. In
order to cater this situation, the 3GPP Specifications identify the combination of
UMTS and GSM as one source for inter-system handovers. The possibility to perform
an inter-system handover is enabled in the UMTS by a special functioning mode,
slotted mode. When the UE uses Uu interface in the slotted mode, the contents of the
Uu interface frame are compressed in order to open a time window, through which
the UE is able to peek and decode the GSM BCCH information.
In addition, both the WCDMA RAN and GSM BSS must be able to send the identity
information of the other on the BCCH and BCH channels to enable the UE to perform
the decoding properly.
46
TM51104EN03GLA3
UMTS
GSM
only
TM51104EN03GLA01
1
Fig. 23 UMTS/GSM Inter-System Handover
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47
Inter-System Handover from GSM

The handover between GSM and UTRAN can be performed for a number of reasons,
for example, to provide specific high bit rate services. The handover is possible
because a dual mode UE receives the UTRAN neighbor cell parameters on GSM
system information messages. The parameters that enable the UE to measure the
neighboring UTRA FDD cell are: downlink centre frequency, downlink bandwidth
(currently only 5 MHz), downlink scrambling code, or scrambling code group for the
CPICH, and reference time difference for the UTRA cell.
The sequence of events in the intersystem handover to BSS to UTRAN is as follows:
1. The UE/MS creates a measurement report that the BSC evaluates to make the
handover decision.
2. The reservation messages are sent to the UTRAN if the BSC decides to hand
over to a UTRA cell resource,
3. The UTRAN acknowledges the resource reservation and provides a UTRAN
handover command.
4. The BSC sends the GSM intersystem handover command to the UE. In this
command, a UMTS Handover to UTRAN command is included, which contains
all the information needed to set up a connection to the UTRA cell. The message
contains reference number to UTRA parameters not the real values to cater to a
situation when the configuration information is more than a GSM message can
handle.
5. The UE completes the procedure of Handover to UTRAN by a sending complete
message to the RNC.
6. Finally, the RNC commands resources to be released by the BSC.
48
TM51104EN03GLA3
UE
GSM BSS
UTRAN
MSC
GSM BCCH or SACCH:

System Information
GSM SACCH:
Measurement Report
Resource Reservation
Resource Reservation Acknowledge and
Handover Command
GSM DCCH:
Command
UTRAN DCCH or DCH: Handover to UTRAN Complete

Release Resources
TM51104EN03GLA01
1
Fig. 24 Inter-System Handover from BSS to UTRAN
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TM51104EN03GLA3
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49
Inter-System Handover from UTRAN

The handover between GSM and UTRAN can be performed for a number of reasons,
for example, to provide specific high bit rate services. The handover is possible
because a dual mode UE receives the UTRAN neighbor cell parameters on GSM
system information messages. The parameters that enable the UE to measure the
neighboring UTRA FDD cell are: downlink centre frequency, downlink bandwidth
(currently only 5 MHz), downlink scrambling code, or scrambling code group for the
CPICH, and reference time difference for the UTRA cell.
The sequence of events in the intersystem handover to UTRAN to BSS is as follows:
1. Based on the measurement report including both UTRAN and BSS values the
RNC makes the handover decision.
2. Resource reservation messages are sent to the BSC.
3. The BSC acknowledges the resource reservation and includes a GSM handover
command.
4. The RNC sends an Intersystem handover command message to the UE. In this
message, the GSM Handover command is included.
5. The UE switches to GSM RR protocol and sends the GSM handover access
message to the BSC.
6. The BSC finally initiates resource release with message to the UTRAN.
50
TM51104EN03GLA3
UE
RNC
UTRAN
MSC
GSM BSS
UTRAN BCCH:
System Information or
UTRAN DCCH:
Measurement Control
UTRAN DCCH or DCH:
Measurement Report
Resource Reservation
Resource Reservation Acknowledge and Handover Command
UTRAN DCCH:
Command
GSM DCCH: Handover Access

Release Resources
TM51104EN03GLA01
1
Fig. 25 Inter-System Handover from UTRAN to BSS
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TM51104EN03GLA3
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51
Handover Decision Mechanism

During the connection, the UE continuously measures some parameters such as
signal strength, quality, and interference, concerning the neighboring cells and
reports the status of these items to the network up to the RNC. These parameters are
measured from the neighboring cells PICHs. The RNC checks whether the values
indicated in the measurement reports trigger any criteria set. As the result of the
trigger, the new Node B is added to the Active Set.
An Active Set is a list of cells, through which the UE has a connection to the network
or through which the radio link set-up is established. The minimum size and
maximum size of the Active Set is one cell and three cells respectively. The UE can
have active radio connection with the network through three cells simultaneously
52
TM51104EN03GLA3
Procedures
Functional Split
Measurement
Reports
Created and
collected by UE
and BS
Measurement
Phase
Signal Strength
Signal Quality
Interference
No
Handover Algorithm
Criteria Fulfilled?
Decision
Phase
Investigated by
RNC
Execution
Phase
Commanded by
RNC executed by
UE
Yes
Activate New BS
Update Active Set
TM51104EN03GLA01
1
Fig. 26 Handover Decision Mechanism
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TM51104EN03GLA3
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53
1.11
1.11.1
Diversity
Micro Diversity
With reference to the soft handover and active set, the two terms that describe the
handling of the multi path components are micro diversity and macro diversity. Micro
diversity means the situation where the propagating multi path components are
combined in the Node B.
WCDMA utilizes the Multi path Propagation, which means that the Node B receiver is
able to determine, differentiate and sum up several signals received from the radio
path. The receiver used for Multi path Propagation is equipment called a RAKE
receiver.
In Multi path Propagation, a signal sent to the radio path is reflected from, for
example, ground, water and buildings and the sent signal is displayed as many
copies at the receiving end. Each one of these signals reaching the receiver at a
different phase and time. The micro-diversity functionality at the Node B level
combines (sums up) different signal paths received from one cell and, in case of
sectorized Node B, the outcomes from different sectors (softer handover).
54
TM51104EN03GLA3
Uplink
(Micro) Diversity
Point
UE
BS
RAKE
Receiver
Same signal propagating in

different ways in the radio path
Summed signal
TM51104EN03GLA01
1
Fig. 27 Micro Diversity
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TM51104EN03GLA3
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55
1.11.2
Macro Diversity
As the UE may use cells belonging to different Node Bs or even different RNCs, the
macro-diversity functionality also exists on the RNC level. The figure depicting Macro
Diversity in RNC presents a case in which the UE has a 3-cell active set in use and
one of those cells is connected to another RNC. In the case, the Node Bs performs
summing of the signal concerning their own radio paths. At the RNC level, the
serving RNC evaluates the frames coming from the Node Bs and chooses the best
signal to send towards the CN domains.
In case of the soft and softer handovers, subjective call quality will be better when the
final signal is constructed from several sources (multi path).
In GSM, the subjective call quality depends on the transmission power used. In other
words, the more power the better quality.
In UMTS, the terminals cannot use much power because if they do the transmission
levels that are very high will start blocking the other users away.
Therefore, the better way to gain better subjective call quality is to utilize the
MultiPath Propagation.
The soft and softer handovers consume radio access capacity because the UE is
occupying more than one radio link connection in the Uu interface. The added
capacity gained from the interference reduction is also bigger and as a result the
system capacity is increased if soft and softer handovers are used.
56
TM51104EN03GLA3
Active Set
BS/NodeB
(Macro)
Diversity Point
Core Network
UE
BS/NodeB
RNC
BS/NodeB
RNC
TM51104EN03GLA01
1
Fig. 28 Macro Diversity in RNC
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TM51104EN03GLA3
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57
58
TM51104EN03GLA3
Mobility Management
TM51104EN03GLA3
59
2.1
Introduction
There are several different mobility management procedures. Following is a short list
of UMTS specified procedures:
Paging (CS)
Paging (PS)
Location update (CS)
Cell attach/detach (PS)
IMSI attach/detach (CS)
Routing area update (PS)
UE identity checking (CS/PS)
Ciphering procedure (CS/PS)
Location registration (CS and PS)
Authentication procedure (CS/PS)
Location info retrieval (CS and PS)
UE hardware (IMEI) checking (CS/PS)
As the user terminals are not fixed to certain positions, the network must keep track
of the location of the mobile. The system must at least be able to know the
geographical area in which the subscriber is located. As in GSM networks, UMTS
has a cellular architecture that allows the network to identify the subscriber.
Therefore, the network maintains information about the location of a subscriber, and
the procedures are specified to allow a constant updating of the databases as the
subscriber moves around the network, and also from one network to another.
The HLR is the central database that stores information on the subscriber, such as
the IMSI and MSISDN. The HLR also stores information about the serving MSC and
SGSN of the subscriber.
In addition, the HLR stores information on the subscriber's service profile. In other
words, the record of the different services, for example, tele services, supplementary,
and packet services, that the subscriber can or cannot use. Therefore, if the network
needs to locate the subscriber in case of a mobile terminated call, or if the network
needs to check if the subscriber is valid, then all requests are sent to the HLR.
60
TM51104EN03GLA3
Location
Updating
Radio Access
MSC
GGSN
RNC
UE
SGSN
HLR, AC, EIR
Core Network
Supplementary
Services
Service
Information
Locating a
Subscriber
Foreign Network
MSC
TM51104EN03GLA01
1
Fig. 29 Role of the HLR
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TM51104EN03GLA3
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61
2.2
Location Update
As the network maintains three layers of information on the subscriber's location, LA,
RA, and URA, there are multiple procedures used to track the movement of the
subscriber. The following are three basic types of location update procedures:
1. Location registration (power on/cell attach)
2. Movement between areas
3. Periodic update
62
TM51104EN03GLA3
VLR contains the

subscribers location and
also subscriber data as
a copy from HLR.
LAC=1
RNC keeps track of the
mobiles within the URAs.
It also informs Core
Network when subscriber
changes LA and/or RA
HLR keeps the

subscribers MSC/VLR
area.
VLR
RNC
HLR
MSC
When switching mobile ON/OFF

(IMSI attach/detach)
LAC=2
RNC
SGSN
SGSN keeps track of the

subscribers.
When moving to other area

(Cell, LA, RA, or URA level)
Periodically over time if the

mobile doesnt perform location
update
TM51104EN03GLA01
1
Fig. 30 Location Update Generic Procedures
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TM51104EN03GLA3
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63
As the RNC receives a location update message, it takes responsibility for informing
the core network. The RNC updates its own information about the subscriber within
the URA and informs the SGSN and VLR, respectively, if the routing area or location
area has also changed.
The reason for updating a location is that the VLR and SGSN databases of the
network are only temporary. Depending on the parameters that the operator use, the
information is only stored for a certain time. If there are no updates, it is assumed that
the information is old. Therefore, avoid storing a large amount of useless data in the
network, the information is removed.
2.2.1
Location Area Procedure
A Location registration or IMSI attach takes place when a UE is turned on and

informs the VLR that it is now back in service to receive the calls. The network then
sends the UE two numbers that are stored in the USIM or SIM card of the UE. These
two numbers are the current LAI and the TMSI. The network sends the LAI through
the control channels of the air interface. The TMSI, temporary identity, which
regularly changes, is used for security purposes, so that the IMSI of a subscriber
does not have to be transmitted over the air interface. Every time the mobile receives
data through the control channels, it reads the LAI and compares it with the LAI
stored in its USIM card. A generic location update is performed if they are different.
The mobile starts the location update process by accessing the MSC or VLR that
sent the location data.
A channel request message sent contains the subscriber identity, which can be the
IMSI or TMSI, and the LAI stored in the USIM card. When the target MSC or VLR
receives the request, it reads the old LAI, which identifies the MSC or VLR that has
served the mobile up to this point. A signaling connection is established between the
two MSCs or VLRs and the subscriber's IMSI is transferred from the old MSC to the
new MSC. Using this IMSI, the new MSC requests the subscriber data from the HLR
and then updates the VLR and HLR after successful authentication.
Periodic location update is carried out when the network does not receive any
location update request from the mobile in a specified time. This kind of situation is
created when a mobile is switched on but no traffic is carried and the mobile is only
reading and measuring the information sent by the network. If the subscriber is
moving within a single location area, the MS does not need to send the location
update request.
A timer controls the periodic updates and the operator of the VLR sets the timer
value. The network broadcasts this timer value so that a UE knows the periodic
location update timer values.
The location registration procedure is similar for both CS and PS Domains. In case of
PS Domain, the MSCs or VLRs are replaced with SGSNs. When the VLR or SGSN is
changed, the new VLR or SGSN sends information about this change to the HLR.
The HLR responds by sending the subscriber information to the VLR or SGSN. Any
earlier location information of the subscriber present in the HLR is cancelled.
64
TM51104EN03GLA3
2.2.2
IMSI Attach/Detach Procedure
In the CS Domain, the UE may have the following two states:

1. Attached
2. Detached
In the attached state, the UE is able to handle transactions and is active in the
network. The UE continuously analyses its radio environment for LAC and cell
identities being visible.
When the UE is switched off or detached, it stores the latest radio environment
information into its memory and informs the network that is now being switched off.
The VLR stores this state change and does not try to reach the UE for mobile
terminated transaction. When the UE is switched on again, it first checks whether the
radio environment matches the one it has on its memory. If the radio environment
matches, the UE informs the VLR that it is now attached again and is able to handle
transactions. If the radio environment does not match, the UE performs a location
area update.
TM51104EN03GLA3
65
2.2.3
Routing Area Update
As a procedure, the routing area update is very similar to the location update and
serves the same purpose. Periodic routing area update is used for checking that a
UE that has not performed any routing area updates for a period is still reachable.
The UE performs a cell update and cell reselection when it changes cell within a
routing area in Ready mode. This could be compared to a handover in UMTS or
GSM for PS connections. Cell update and routing area updates halt possible
reception or sending of data. In such cases, there is a possibility of buffering data in
the Serving SGSN.
When the UE changes cells between the different routing areas, it performs a routing
area update. The two types of routing area updates as follows:
1. Intra-SGSN routing area update - One SGSN can manage many routing areas. If
the new routing area is managed by the same SGSN as the old one, an intraSGSN routing area update is performed.
2. Inter-SGSN routing area update - If the new routing area is managed by a
different SGSN, an inter-SGSN routing area update is performed. The old SGSN
then forwards user packets to the new SGSN.
66
TM51104EN03GLA3
SGSN
RNC
New Cell
RA1
Old Cell
RNC
RA2
TM51104EN03GLA01
1
Fig. 31 Routing Area Update
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TM51104EN03GLA3
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67
2.2.4
Cell Attach/Detach
In the core network packet domain, the MM-state changes during the PS connection.
The MM-state mostly depends on the activity of the connection. This means that
when there are packets to send or receive, the MM-state of the connection is MMconnected. When there is nothing to transmit, the MM-state of the connection is MMidle. The MM-detached state has the same meaning in both the CN domains.
In order to utilize the 3G network resources, such as radio bandwidth effectively, the
MM-state management is not enough for the PS traffic. In PS traffic, the traffic
delivered can be presented as occasional packet bursts. Between these bursts, the
connection is not used, which leads to a situation where it is reasonable to cut the
connection through the network in order to make the network resources available for
other active connections. The method to suppress the packet connection, but at the
same time retain the necessary information in both ends of the connection is called
cell attach / detach.
68
TM51104EN03GLA3
UMTS Mobility
Management
MSC/VLR
Iu(CS)
IMSI Attach / LUP
(UE Service State; LAI)
HLR
RNC
GPRS Attach / RUP
(VLR/SGSN
address)
SGSN
Iu(PS)
Gr
(UE Service State; RAI)
TS
TS23.060,
23.060,
23.121
23.121
Detached:
CS & PS
CS: UE not reachable; no LUPs

PS: UE not reachable, no RUPs
Service States
Detach
Idle:
Attach /
Detach
CS: UE reachable for Paging; LUPs: LAI in VLR

PS: UE reachable for Paging; RUPs: RAI in SGSN
Signalling Connection
Establish / Release
Connected:
CS: UE - CN signalling connection; no LUPs
PS: UE - CN signalling connection; RUPs
TM51104EN03GLA01
1
Fig. 32 Mobility Management State Diagram
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TM51104EN03GLA3
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69
2.3
Paging
In UMTS, the RNC can handle simultaneous CS and PS connections to the

subscriber. Both domains use the LA and RA respectively to track the subscriber's
location. The RNC must track the URA in which the subscriber is. In networks where
the RNCs are connected through Iur interfaces as opposed to the MSC controlling
handovers, the subscribers drift through the radio network passing from one RNC to
another. Therefore, the serving RNC must identify in which URA a subscriber is
located when it receives traffic for itself in a circuit switched connection.
From the HLR, the network is able to determine area or routing area where the
subscriber is located. The network, for example, MSC will contact the MSC or SGSN
serving that area and request contact to the mobile. The VLR or SGSN will then send
a paging message, which contains the ID of the subscriber on a dedicated channel in
the air interface. A mobile in idle mode is always listening to this channel.
If the mobile is able to detect that the network is trying to contact it, the mobile will
request access to the network to gain a signaling channel and determine what the
network is asking for, for example, set up a call or receive the SMS.
In GSM, the VLR or SGSN asks every cell in a certain location area to send the same
paging message. In UMTS, if the subscriber is known to be located in a certain URA,
the RNC can intelligently page for the subscriber in the URA, therefore, reducing the
signaling in the network.
70
TM51104EN03GLA3
MSC
SGSN
Paging
Paging
Paging Response
RNC
LA1/RA1
RNC
LA2/RA2
Fig. 33 Paging in the network
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TM51104EN03GLA3
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71
2.4
Roaming Case
When a subscriber is in a foreign network, the procedures are the same. When the
subscriber registers in the visiting network, it will in turn contact the home network. A
part of the IMSI code specifies the home network. If the two operators have a
roaming agreement and the subscriber is valid, the subscriber information is copied
into the serving VLR of the MSC and the information on the subscriber is stored in
the HLR.
Every VLR in the world has a unique address. As a subscriber moves from one
network to another, the location updating proceeds as normal. The HLR is always
informed of the unique VLR, in which the subscriber was last seen.
If a subscriber is roaming in another network and the network needs to contact the
subscriber to receive a video call, the location of the subscriber is checked from the
HLR. The HLR will then contact the serving MSC to check if the subscriber is still
located in the VLR. This is called the HLR request. Then, the information is returned
to the MSC and a call is routed to the foreign MSC to begin the paging process. Even
if the calling subscriber is located in the foreign network, the call still has to be initially
placed back to the home MSC.
72
TM51104EN03GLA3
SGSN
BS
RNC
MSC/VLR
HLR
(2) Update Location
BS
Home Network
(3) Copy subscriber data
to VLR
(1) IMSI Attach, request access

BS
RNC
MSC/VLR
HLR
BS
(4) Confirm access
Visiting Network
SGSN
UE
TM51104EN03GLA01
1
Fig. 34 Roaming in another network
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TM51104EN03GLA3
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73
74
TM51104EN03GLA3
Session Management
TM51104EN03GLA3
75
In the previous topic we looked at the mobility management and how the network
keeps track of the location of the subscriber and the procedures it performs. In this
topic we will look at how the mobile is able to access the network and to obtain a
bearer. We will also cover two simplified cases of how real time and non-real time
bearers are set up in the network.
There are procedures used to obtain a bearer through the network and terminal is
also capable of determining one network from another. Each country has its own
MCC and each operator within a country has a unique MNC. This information is
broadcasted by every cell in the network. Therefore, when the mobile is activated, it
is able to distinguish between operators by checking this information. Through cooperation of the operators, the frequencies and codes used and shared in interboarder areas are selected for network planning to reduce conflict.
3.1
Initial Access to the Network
When the mobile is switched on, it starts the network selection procedure. The mobile
is aware of the possible frequencies that are available in UMTS and all the possible
codes that are used by the cells.
First, the mobile checks the last frequency and code used to identify the cell, to check
if it is still valid. If the cell cannot be found, the mobile starts applying each code to
each possible frequency in an attempt to detect a signal that indicates the presence
of a cell.
Once the scanning process is over, the mobile selects its home network as the first
choice. The information of this is on the SIM. If the home network is not present, then
it can choose a preferred network, which is usually set by the home network operator.
If the preferred network is not available, the mobile randomly selects another network
that provides the adequate signal level. The procedure of network selection is usually
performed automatically, but it can also be made manually.
On the selection of the network, the mobile will request a location update or IMSI
attach for its position. The RNC will then request for the location update. If the home
network is present the first time, the update is made. For the update, the information
on the subscriber is copied to the serving VLR for the MSC area and the current
information on the subscriber is updated to the HLR. The subscriber is also
registered into the current URA.
76
TM51104EN03GLA3
Operator A
Frequency 1
RNC
MSC/VLR
Operator A
Frequency 1
HLR
SGSN
Operator B
Frequency 2
UE
Operator C
Frequency 3
Networks transmit information

about themselves (MCC + MNC)
TM51104EN03GLA01
1
Fig. 35 Initial Network Access to the Network
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TM51104EN03GLA3
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77
3.2
Authentication and Ciphering
The most important security features in the access security of UMTS are as follows:
Mutual authentication of the user and the network

Use of temporary identities
Radio access network encryption
Protection of signaling integrity inside UTRAN
Note that publicly available cryptographic algorithms are used for encryption and
integrity protection. Algorithms for mutual authentication are operator-specific.
The SN checks the identity of the subscriber as in GSM by a technique called
challenge-and-response. , A new feature in UMTS is that the terminal checks that the
SN is authorized by the home network and the mobile is connected to a legitimate
network.
The security is based on the Quintet, UMTS authentication vector, which is temporary
authentication and key agreement data that enables a VLR or SGSN to engage in
UMTS AKA with a particular user. A quintet consists of five elements as follows:
1. A Network Challenge Random Access Number (RAND)
2. An Expected User Response (XRES)
3. A Cipher Key (CK)
4. An Integrity Key (IK)
5. A Network Authentication Token (AUTN)
The cornerstone of the authentication mechanism is a master key, K, which is shared
between the USIM of the subscriber and the home network database. This is a
permanent secret with the length of 128 bits. The key, K, is never transferred out
from the two locations and the subscriber has no knowledge of the master key.
At the same time, with mutual authentication, keys for encryption and integrity
checking are derived. These are temporary keys with the same length of 128 bits.
New keys are derived from the permanent key, K, during every authentication event.
It is a basic principle in cryptography to limit the use of permanent keys to minimum
and instead derive temporary keys from it for protection of bulk data.
In the Authentication and Key Agreement (AKA) mechanism, the authentication
procedure is started after the user is identified in the serving network. The
identification occurs when the identity of the user, which can be the permanent
identity, IMSI, or temporary identity, TMSI, is transmitted to VLR or SGSN. Then, the
VLR and SGSN send an authentication data request to the AuC in the home network.
The AuC contains master keys of the users and based on the knowledge of IMSI the
AuC is able to generate authentication vectors for the user. The generation process
contains executions of several cryptographic algorithms. The generated vectors are
sent back to VLR or SGSN in the authentication data response. These control
messages are carried on the MAP protocol.
78
TM51104EN03GLA3
Authentication Principles
K
secret Key
128 bit length
IMSI K;
f1...f5
Authentication
Data Request [IMSI]
Authentication
Data Response
[AV(1..n)]
USIM
Authentication Request SGSN/VLR

[Authentication Parameter]
Network
Authentication Authentication Response
Visited PLMN
HLR/AuC
Authentication Vector
/ Quintet
User
Authentication
K: secret Key
SQN: Sequence Number
f1...f5: message authentication /
key generating Functions
Home PLMN
TM51104EN03GLA01
1
Fig. 36 Authentication Principles
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TM51104EN03GLA3
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79
In the serving network, one authentication vector is needed for each authentication
instance, for example, for each run of the authentication procedure.
In other words, the potentially long distance signaling between SN and the AuC is not
needed for every authentication event and the authentication events can be
performed independently without the user actions after the initial registration. The
VLR or SGSN can obtain new authentication vectors from AuC before the number of
stored vectors runs out.
The serving network, VLR or SGSN sends a user authentication request to the
terminal. This message contains two parameters from the authentication vector,
called RAND and AUTN. These parameters are transferred into the USIM that exists
inside a tamper-resistant environment, for example, in the UMTS IC card (UICC). The
USIM contains the master key, K, and uses it with the parameters
RAND and AUTN as inputs for carrying out a computation that resembles the
generation of authentication vectors in AuC. This process also contains executions of
several algorithms similar to the corresponding AuC computation.
As the result of the computation, USIM is able to verify whether the parameter AUTN
was indeed generated in AuC and the computed parameter RES is sent back to VLR
or SGSN in the user authentication response. Now, the VLR or SGSN is able to
compare user response RES with the expected response XRES, which is part of the
authentication vector. In case the responses match, authentication ends positively.
80
TM51104EN03GLA3
Authentication Vector AV
Used for data
encryption
Used for user

authentication
randomly generated,
i.e. non-predictable
consisting of 3 parts
Used for network
authentication
Used for
integrity check
RAND
XRES
CK
IK
AUTN
Random Number
128 bit
Expected Response
32 - 128 bit
Cipher Key
128 bit
Integrity Key
128 bit
Authentication Token
48 + 16 + 64 bit
SGSN/VLR
USIM
(store AV(1..n))
Authentication Request
[RAND(i), AUTN(i)]
generate RES(i) =
f2(RAND(i),K)
AUTN(i) for
Authentication Response
[RES(i)]
User Authentication:
Compare
XRES(i) & RES(i)
Network Authentication
RES: Response
TM51104EN03GLA01
1
Fig. 37 Authentication Vector
AV Generation
AuC
Database
SQN Generator
RAND Generator
(IMSI;K)
AMF
SQN
Sequence Number
Authentication &
key Management
Field
f1
f2
MAC
Message Authentication
Code
Network Authentication
AV =
XRES
Expected Response
User
Authentication
RAND
Random Number
f3
f4
f5
CK
IK
AK
Cipher Key
Ciphering
Integrity Key
Ciphering
Anonymity Key
SQN Anonymity
RAND
XRES
CK
IK
AUTN
Random number
Expected Response
Cipher Key
Integrity Key
Authentication Token
AMF
selection of f1-5 version

different f1-5 versions possible
(operator-dependent)
TM51104EN03GLA01
1
K
secret Key
SQN AK AMF
48 bit
16 bit
MAC
64 bit
Fig. 38 Authentication Vector Generation
TM51104EN03GLA3
81
The keys for radio access network encryption and integrity protection, CK and IK, are
created as a by-product in the authentication process. These temporary keys are
included in the authentication vector and are transferred to the VLR or SGSN.
These keys are later transferred further into the RNC in the radio access network
when the encryption and integrity protection start. Simultaneously, the USIM is also
able to compute CK and IK after it has obtained RAND and verified it through AUTN.
The temporary keys are subsequently transferred from USIM to the mobile
equipment where the encryption and integrity protection algorithms are implemented.
The Sequence Number (SQN) is a counter. There are two SQNMS and SQNHE
respectively to support network authentication. The sequence number SQNHE is an
individual counter for each user and the sequence number SQNMS denotes the
highest sequence number the USIM has accepted.
82
TM51104EN03GLA3
Authentication in the USIM
USIM
VLR / SGSN
Authentication Request
[RAND(i), AUTN(i)]
Generate:
RES
XMAC
CK
IK
(stores AV(1..n))
Authentication Response
[RES(i)]
or Authentication Reject
[XMAC MAC]
RAND
f5
Compare:
XRES(i) = RES(i) ?
User Authentication
SQN AK AMF
MAC
AUTN
AK
SQN
AMF:
Authentication &
key Management
Field
f4
f3
f2
f1
IK
CK
RES
XMAC
Integrity
Check
Ciphering
XMAC = MAC ?
Network
Authentication
to network
User
Authentication
TM51104EN03GLA01
1
XMAC:
Expected Message
Authentication Code
AK: Anonymity Key
Fig. 39 Ciphering in UMTS/UTRAN
Ciphering
UMTS Encryption Algorithm UEA
not in case of
emergency calls
UE
S-RNC
UL = 0
DL = 1
Cipher
Sequence No.
COUNT-C
1 Bearer parameter /
user radio bearer
UE or S-RNC
Direction
Bearer
Length
direction bit
radio bearer id.
length indicator
indicate length
of required
keystream block
CKPS & CKCS
CK
f8 (UEA)
Cipher Key
cipher sequence
Keystream block
Plain text block
ciphered text block
TM51104EN03GLA01
1
Keystream block
Keystream block
=
=
ciphered text block

Plain text block
Fig. 40 Ciphering in UMTS/UTRAN
TM51104EN03GLA3
83
84
TM51104EN03GLA3
Procedure Examples
TM51104EN03GLA3
85
In order to allow the reader to accomplish a network-wide view of some of the most
important UMTS functionalities discussed in the preceding chapters we present a few
examples of UMT system procedures. These procedures illustrate the co-ordination
of actions carried out by a network entities and the role of the UMTS protocols in
controlling this co-ordination.
4.1
Elementary Procedures
In this chapter a basic model for system-wide procedures is presented by modeling

each system procedure as a kind of communication-intensive transaction. The
concept of transaction is used in order to underline the fact that these system-wide
procedures are executed into well-defined completion and that subsequent
procedures represent fairly independent instances of communication.
The layering and interworking of protocols makes it possible to distinguish a set of
elementary procedures, which can be used as building blocks in the design of
network transactions. Depending on a transaction and its type - whether it is mobile
terminated or mobile originated - some parameters and messages vary inside the
elementary procedures and some elementary procedures may or may not be used.
The UMTS protocol interworking model is needed here in the sense that different
procedures make use of different layers in the UMTS network. The transport network
is used in every procedure: signaling transport is always required and user data
transport is required by many transactions. Radio network functions are needed
whenever access network services are required within an elementary procedure. The
overall control of system transactions is done by the system network protocols, which
invoke the elementary procedures in a stepwise manner and determine how the
transaction is proceeding through different steps.
Basically any network transaction can be divided into eight steps as presented in
following figure. For each step an elementary procedure can be distinguished.
Paging is a mobility management procedure used when searching certain subscriber
from the network coverage area. This procedure is only executed if the transaction
originates from the network side. The remaining seven steps are the same whether
the transaction is originated or terminated by the UE.
Radio Resource Control (RRC) connection set-up is an elementary procedure
containing activities and message flow to establish a radio control connection
between the terminal and radio access network. The details of this procedure vary
depending on the case.
86
TM51104EN03GLA3
Paging
Radio Network (C)

System Network (C)
RRC Connection Setup
Radio Network (C)
Transaction Reasoning
Radio Network (C)

System Network (C)
Authentication and Security
Radio Network (C)

System Network (C)
Transaction Setup and

RAB Allocation
Radio Network (C)

System Network (C)
Transaction
Radio Network (C/U)

System Network (C/U)
Transaction Clearing and

RAB Release
Radio Network (C)

System Network (C)
RRC Connection Release
Radio Network (C)
TM51104EN03GLA01
1
Fig. 41 Basic model of UMTS network transactions
Transaction reasoning is an elementary procedure where the terminal indicates to the

Core Network (CN) which kind of transaction is requested. Based on the reasoning
information the CN may decide how to proceed with the transaction or decide to
terminate the execution of the transaction.
After these steps the authentication and security procedure normally takes place.
This elementary procedure authenticates the UMTS subscriber and network to each
other and later activates the necessary security mechanisms for the access network
connection.
Transaction set-up with radio access bearer allocation is an elementary procedure
which allocates the actual communication resources for the transaction. Therefore
the details of this procedure depend on the type of the transaction (circuit or packet
switched).
The elementary procedure transaction is the phase where the user plane connection
exists, i.e. the UE has a UMTS bearer connection active across the whole UMTS
network. Transaction clearing with radio access bearer release is an elementary
procedure used for releasing the network resources related to the transaction.
The RRC connection release is an elementary procedure containing mechanisms
with which the radio control connection between the UE and the access network is
released.
TM51104EN03GLA3
87
4.2
Paging
The paging procedure is needed whenever a UE terminating transaction is to be

performed. Unlike in GSM, UMTS contains two types of paging methods, Type 1 and
Type 2. Paging Type 1 is used by the CN domains and this is the conventional
way to use paging. Paging is part of the radio network control plane and it is
delivered over the Iu Interface by using the AP Paging message. The CN
domain initiating paging addresses it to those LAs/RAs, in which the desired UE
has last reported its location, i.e. performed either location update or routing area
update.
88
TM51104EN03GLA3
UE
RNC
Core
Network
Domain
RANAP: Paging
RRC: Paging Type 1
TM51104EN03GLA01
1
Fig. 42 Paging Type 1
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TM51104EN03GLA3
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89
An RANAP paging message contains two mandatory parameters, the requesting CN

domain and IMSI. From a system security point of view, the unnecessary transfer of
IMSI over the Uu reference point without encryption is not desired and because of
this the RNC may or may not perform various conversions for the IMSI. For example,
the RNC may issue a RRC Paging Type 1 message containing Radio Network
Temporary Identity (RNTI) instead of IMSI. This value has been assigned when the
UE is attached to the network or performed the previous transaction.
Typically the receipt and recognition of the RRC paging Type 1 message by the UE
leads to the establishment of an RRC connection, which is needed to carry on the
transaction, which was initiated by the paging.
In addition to the previously described use, the RRC paging Type 1 has some RAN
specific uses. When the UE is not in idle mode and changes in the system
information parameters need to be made known to the UE, the RNC may use RRC
paging Type 1 to "awake" the UE and thus make it able to read the revised system
information or certain parts of it.
If the UE has a packet switched connection without any activity the RNC uses RRC
paging Type 1 to inform the UE that the packet switched connection should be
reactivated. In this case there are some packet data the CN desires to deliver to the
UE. This forces the UE to perform cell update and after this the RNC is able to route
the data packets to the correct UE.
UMTS terminals are meant to be able to handle various connections simultaneously.
This is, they may have more than one connection at a time with CN domains. When
the UE already has a connection with one CN domain and another connection is
established with the same domain the CN sends RANAP paging like in previous
cases. The paging sent to the UE by the SRNC is now RRC paging Type 2.
The separation between paging Type 1 and Type 2 is done in the RNC, the RANAP
paging always looks the same. The difference between Type 1 and Type 2 is that
Type 1 is used for paging those UEs which are in idle mode, cell-PCH or URA-PCH
state and hence it could be either for certain UEs or for all UEs within cell(s). Type 2,
on the other hand is used for paging those UEs, which are in cell-DCH or Cell-FACH
state, therefore it is always dedicated and addressed to one UE only.
90
TM51104EN03GLA3
UE
RNC
Core
Network
Domain
Active connection exists
RANAP: Paging
RRC: Paging Type 2
TM51104EN03GLA01
1
Fig. 43 Paging Type 2
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TM51104EN03GLA3
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91
92
TM51104EN03GLA3
4.2.1
Following figure illustrates the principle of how the radio connection between the UE
and the RNC is established over the Uu interface and the access domain internal
interface Iub. The RRC connection set-up always starts from the UE with the
message RRC Connection request sent over CCCH (Common Control Channel).
Referring to Chapter 3, the CCCH in the uplink direction means RACK (random
access) and actually the RRC connection request content is coming from the UE over
physical RACH as a result of the initial access procedure. This message arrives to
the RNC over the Iub RACH data port. Upon receiving this message the RRC entity
at the RNC side changes its state from IDLE to CONNECTED Cell_FACH or
Cell_DCH. Then the RNC communicates towards the UE over common control
channels and from those, the used ones are FACH and RACH, respectively.
The RRC connection request message contains plenty of information related to the
requested radio connection, terminal and subscriber identity; in this message the UE
sends to the network, for instance, IMSI or TMSI, IMEI, location area identity and
routing area identity. The RRC connection request must indicate which of these
values are inserted in the message and also contain those values accordingly. In
addition to these identities the RRC connection request contains the reason why the
radio connection is requested. There are various reasons and the following list shows
some of them:
Originating conversational call

Originating streaming call
Originating interactive call
Originating background call
Terminating conversational call
Terminating streaming call
Terminating interactive call
Terminating background call
Emergency call
High priority signaling
Low priority signaling
Call re-establishment
As can be seen from the list, the RRC connection request already indicates what kind
of QoS will be requested when the transaction proceeds. Emergency call is
separated because it will be treated differently over the network than normal
transactions. If the subsequent transaction will be only signaling, this is indicated, too.
TM51104EN03GLA3
93
Depending on the request reason, the RNC makes a decision whether to allocate
dedicated or common resources to this transaction. Based on this decision-making,
the SRNC allocates RNTI and other resources to this transaction.
The Iub interface is "opened" when the RNC sends a NBAP radio link set-up
message to the BS. This message contains transport format description, power
control information and code information, which is the uplink scrambling code for
WCDMA-FDD. The BS acknowledges this message by sending a NBAP radio link
set-up response message. This message informs the RNC about transport layer
addressing information (AAL2 address) and gives also some reference information
for establishment of an Iub bearer in the transport network.
The serving RNC starts the Iub bearer establishment according to the information
received from the BS. This procedure is carried out by the internal control plane of
the transport network at the Iub interface. The established Iub bearer is bound
together with the DCH (Dedicated Channel) assigned to the transaction. After this the
frame protocol connection over Iub is synchronized with message exchange. If we
suppose that a dedicated radio connection using DCH is set up here, then it is the
dedicated channel frame protocol for Iub.
When the Iub communication is ready the RNC sends the RRC connection set-up
message to the UE over common control channels (FACH in this case). In this
message the SRNC informs the UE about the transport format, power control and
codes, which in the case of WCDMA-FDD is a downlink scrambling code. The UE
confirms RRC connection establishment by sending the message RRC connection
set-up complete.
94
TM51104EN03GLA3
Uu
Iub
UE
BS
RNC
RRC: Connection Request
NBAP: RL Setup
NBAP: RL Setup Response
Iub Bearer Establishment

FP: Downlink Synchronization
FP: Uplink Synchronization
RRC: Connection Setup

RRC: Connection Setup Complete
TM51104EN03GLA01
1
Fig. 44 RRC Connection Setup
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TM51104EN03GLA3
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95
4.2.2
Transaction Reasoning
When the RRC connection has been established the UE sends the message RRC
initial direct transfer. RRC initial direct transfer carries in its payload the first system
network message of the transaction from UE to the network.
Upon receiving this information the RNC adds some more parameters to it and
forwards this combination to the appropriate CN domain as a RANAP UE initial
message. The RANAP UE initial message contains in its payload the contents of the
original RRC direct transfer message together with the first system network message
generated by the UE.
The contents of the UE initial message provide the CN with lot of information about
the transaction initiated by the UE. Among such information is the (claimed) identity
of the UMTS subscriber (TMSI or IMSI), his/her current location area and the kind of
transaction requested. All this information is used by the CN node (MSC/VLR or
SGSN) to decide, how to proceed with the transaction request.
96
TM51104EN03GLA3
UE
MSC/VLR or SGSN
RNC
RRC: Initial Direct Transfer
RANAP: UE Initial Message
TM51104EN03GLA01
1
Fig. 45 Transaction reasoning
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TM51104EN03GLA3
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97
4.2.3
Authentication
During the RRC connection establishment the UE already informed the RNC with the
UE classmark parameter about its capabilities in many respects, one of those being
the security algorithms supported by the UE.
The UE and the network authenticate each other by sending the authentication
request message in the payload of RANAP and RRC direct transfer messages to the
UE. After executing the authentication algorithms on USIM the UE responds with an
authentication response message again in the payload of RRC and RANAP direct
transfer messages. In this dialogue the RNC acts as a relay forwarding the contents
of RANAP direct transfer to RRC direct transfer and vice versa.
With a RANAP security mode command message the related CN domain indicates to
UTRAN that the transaction should be encrypted. This message indicates the
selected security algorithms and delivers the integrity and encryption keys to UTRAN.
Based on this information the RNC commands the UE to start encryption with the
corresponding keys and algorithms by sending the RRC security mode command. By
issuing an RRC security mode complete message the UE indicates that it has
successfully turned on the selected integrity protection algorithm and encryption
algorithm for protection of further communication in this transaction. The RNC still
has to inform the related CN domain about the procedure completion with the
message RANAP security mode complete.
98
TM51104EN03GLA3
UE
MSC/VLR or SGSN
RNC
RANAP: Direct Transfer (Authentication

Request)
RRC: Direct Transfer (Authentication

Request)
RRC: Direct Transfer (Authentication
Response)
RANAP: Direct Transfer (Authentication

Response)
RANAP: Security Mode Command

RRC: Security Mode Command
RRC: Security Mode Complete
RANAP: Security Mode Complete
TM51104EN03GLA01
1
Fig. 46 Authentication and Security Control
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99
4.2.4
Transaction Setup with RAB
So far, the contents of the elementary procedures have been similar and thus
independent on the CN domains. Transaction set-up with radio access bearer
allocation is the first step where the different nature of CN domains has to be taken
into account.
In the case of circuit switched transaction the actual set-up information is delivered
through RRC/RANAP direct transfer messages. These messages may carry in their
payload the Call Control (CC) set-up message as shown in Figure 46. The CC set-up
message identifies the transaction and indicates the QoS requirements, i.e. what kind
of bearer is required for the service with the following parameters:
Transaction identifier (TI)

Stream identifier
Traffic class
Asymmetry indicator
Maximum bitrate
Guaranteed bitrate
With the TI value the UE and the CN node are able to separate calls from each other.
Each call has its own TI value. The stream identifier recognizes the bearer used for
this call. If the stream identifier value does not exist yet, it means that the CC protocol
in UE likes to establish a new bearer. The stream identifier value could be in use
already. In that case the CC protocol likes to establish a multicall using an existing
bearer given by the stream identifier. Upon receiving the CC set-up message the
MSC/VLR starts some activities. At first, the MSC/VLR checks whether the UE and
current subscription have rights to perform the requested operation. If yes, the
MSC/VLR starts RAB allocation by assigning a unique RAB ID and requesting a RAB
with given QoS parameters to be set-up by sending the message RANAP RAB
assignment request over the Iu interface. When the RNC receives the RANAP RAB
assignment request it starts activities for radio bearer allocation by first checking if
there are enough resources available to satisfy the requested QoS. If yes, the radio
bearer is allocated according to the request. If not, the RNC may select either to
continue the allocation with lowered QoS values (for instance the maximum bitrate for
the bearer could be lowered) or it may select to queue the request until radio
resources become available.
100
TM51104EN03GLA3
UE
RNC
MSC/VLR
RRC: Direct Transfer (CC: Setup)

RANAP: Direct Transfer
(CC: Setup)
RANAP: RAB Assignment Request
RRC: Radio Bearer Setup
Radio Bearer Establishment
Iu CS Bearer Establishment
RRC: Radio Bearer Setup Complete
RANAP: RAB Assignment Response
(CC: Call Proceeding)
RRC: Direct Transfer
(CC: Call Proceeding)
TM51104EN03GLA03
1
Fig. 47 Transaction Setup with RAB allocation (CS)
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101
The RNC informs the UE about the bearer allocation by sending the message RRC
radio bearer set-up to the UE. When the UE receives this message it is able to
combine the information it originally sent to the network in its CC set-up message
with the received radio bearer identifier. After this the UE can route the user data
traffic (user plane) to the correct radio bearer. As soon as the UE is able to receive
data from the new radio bearer it acknowledges this by sending the RRC radio bearer
set-up complete message to the RNC. The RNC must also establish a Iu bearer for
the new transaction.
After this the RNC indicates that RAB has now been allocated by sending the
message RANAP RAB assignment response to MSC/VLR. If the RNC made
exceptions from the QoS values requested by the MSC/VLR, the changes are
indicated in this message.
Now the RAB is established and the procedure continues on the CC protocol level. In
case the RAB is to be established for a packet switched transaction, the procedure
looks pretty much the same and the differences are within the messages. Instead of
the CC protocol the UE now uses the SM protocol. The UE sends the SM activate
PDF context request message to the network as an RRC direct transfer message
and the RNC relays this as a RANAP direct transfer message to the SGSN in the CN.
Radio bearer allocation is similar to circuit switched traffic except that the parameters
describing the QoS properties of the bearer are different. For example, guaranteed
bitrate is an essential parameter in the case of a packet switched RAB but is not
significant with circuit switched RABs.
After the RAB has been established the CN domain confirms the packet session
establishment by sending an SM activate PDF context accept message. In terms of
Session Management (SM) this means that the SM state is now active and the UE
and the CN domain are able to exchange packet switched data.
102
TM51104EN03GLA3
UE
RNC

(SM: Activate PDP Context Req.)
SGSN

(SM: Activate PDP Context Req.)
RRC: Radio Bearer Setup

Radio Bearer Establishment
Iu PS Bearer Establishment
RRC: Radio Bearer Setup Complete
(SM: Activate PDP Context Accept)
(SM: Activate PDP Context Accept)
TM51104EN03GLA01
1
Fig. 48 Transaction set-up with RAB allocation (PS)
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103
4.2.5
Transaction
In the most typical cases this phase of the transaction contains an active user plane
connection. Examples of this kind of transactions are given later in this chapter.
However, if the RRC connection was requested for a pure signaling purpose like an
MM activity, no user plane bearers are needed. Instead, a signaling connection to
perform the MM activity is used here.
4.2.6
Transaction Clearing and RAB release
In the most typical cases this phase of the transaction contains an active user plane
connection. Examples of this kind of transactions are given later in this chapter.
However, if the RRC connection was requested for a pure signaling purpose like an
MM activity, no user plane bearers are needed. Instead, a signaling connection to
perform the MM activity is used here.
The UE still has an RRC connection to the UTRAN and any other RABs for the same
UE may still exist. In the general case with a single RANAP RAB assignment request
message the CN may cause a number of RABs to be created, deleted or modified.
If all the RABs between the UE and CN domain are released at the same time and
also the related radio resources are deallocated, this can be done by using RANAP
104
TM51104EN03GLA3
UE
RNC
(CC: Disconnect)
MSC/VLR

(CC: Disconnect)
(CC: Release)

(CC: Release)
(CC: Release Complete)
(Release)
RRC: Radio Bearer Release
RRC: Radio Bearer Release Complete

(Release)
TM51104EN03GLA01
1
Fig. 49 Transaction clearing with RAB Release (Circuit Switched)
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105
Iu release command as shown in following figure. Upon receiving this message the
RNC starts RRC radio bearer release over the Iub interface. Also all possible radio
bearers established through DRNCs are released.
When the radio bearers are released the RRC connection is also released. After all
radio bearers and the RRC connection are released the RNC informs the CN domain
with a RANAP Iu release complete message.
released. RAB release is done in the same manner as in the case of circuit switched
connection. When the RAB has been released the SGSN indicates that packet
switched connection is now deactivated by sending the SM deactivate PDP context
accept message to the UE.
106
TM51104EN03GLA3
UE
RNC
(CC: Disconnect)
MSC/VLR

(CC: Disconnect)
(CC: Release)

(CC: Release)

RANAP: Iu Release Command


Clearing of RRC Connection
RANAP: Iu Release Complete
TM51104EN03GLA01
1
Fig. 50 Transaction clearing with Iu release (Circuit Switched)
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TM51104EN03GLA3
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107
In the case of packet switched connections the user plane and RAB(s) are cleared in
the same way as in the case of circuit switched connections. Again the differences
are in the message parameter level. Following figure illustrates the case where the
packet switched connection is closed by deactivation of the PDF content.
The closing of a packet switched connection is one of the SM protocol tasks where
the SM changes its state from active to inactive. The signaling procedure used for
this state transition is PDF context deactivation. When the UE desires to do this, it
sends an RRC direct transfer message containing SM deactivate POP context
request to the SRNC. The SRNC further relays it as a RANAP direct transfer
message to the CN PS domain.
PDP context deactivation request indicates to the SGSN that the RAB allocated for
this packet switched connection is not needed any more and thus it should be
released.
108
TM51104EN03GLA3
UE
RNC
SGSN

(SM: Deactivate PDP Context Req.)
(Release)

(Release)
(SM: Deact. PDP Context Accept)

(SM: Deact. PDP Context Accept)
TM51104EN03GLA01
1
Fig. 51 Transaction clearing with RAB release (Packet Switched)
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TM51104EN03GLA3
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109
After this procedure the UE still has an RRC connection with the network and it may
have other circuit switched and packet switched connections open. If all of the packet
switched connections are to be terminated and also related radio resources deallocated, the system uses the RANAP Iu release command like in the case of circuit
switched connections.
110
TM51104EN03GLA3
UE
RNC
SGSN

(SM: Deactivate PDP Context Accept)
(SM: Deactivate PDP Context Accept)
RANAP: Iu Release Command
Clearing of RRC Connection

RANAP: Iu Release Complete
TM51104EN03GLA01
1
Fig. 52 Transaction clearing with RANAP lu release (Packet Switched
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TM51104EN03GLA3
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111
4.2.7
RRC Connection Release
The RRC connection release procedure, which is shown in following figure, is always
started by the RNC. The RNC identifies which RRC connection is to be released and
then sends this information to the UE in the message RRC connection release. The
UE acknowledges that the RRC connection has been released by sending the
message RRC connection release complete.
After this the RNC starts to clear the lub interface resources. This is done by
exchange of NBAP radio link deletion and NBAP radio link deletion response
messages. When the radio link deletion is agreed on the NBAP level, the transport
data bearer at the lub interface is released. Any radio links established over a DRNC
also has to be released by using the lur subprocedures.
112
TM51104EN03GLA3
Uu
Iub
UE
BS
RNC
RRC: Connection Release

RRC: Connection Release Complete
NBAP: RL Deletion
NBAP: RL Deletion Response
Iub Bearer Release
TM51104EN03GLA01
1
Fig. 53 RRC connection release
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TM51104EN03GLA3
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113
114
TM51104EN03GLA3
4.3
RRM Procedure Examples
The RRM is a collection of algorithms needed to establish and maintain a good

quality radio path between the RNC and the UE. Thus, basically every algorithm the
RRM contains is present in any transaction the UTRAN is involved in. The RRM
algorithms are handover algorithm, power control algorithm, admission control and
packet scheduling as well as code management. From these, power control,
admission control and code management are used "continuously", i.e. from the very
beginning of the transaction and they are involved in every phase of a transaction.
Packet scheduling is used in the context of packet switched transactions and
handovers are applied for both circuit and packet switched transactions whenever
needed.
The RRM entities located in UE and RNC communicate on radio resource
management between themselves by using the RRC protocol. Therefore the
establishment of an RRC connection, is a must for every transaction. However, it is
important to keep in mind, that for any UE one RRC connection with UTRAN is
enough no matter how many radio bearers are simultaneously open for various
system-wide transactions.
In this subsection we present some examples of handovers. The handover type to be
explained first is soft handover. After soft handover examples, we give an overview of
the SRNS relocation procedure, where UE is not involved in the procedure. The last
RRM procedure example is the inter-system handover case where the UE performs
handover from WCDMA to GSM radio access.
TM51104EN03GLA3
115
4.3.1
Soft Handover Link Addition and Link Deletion
When the UE has a service in use the RRC connection with the UTRAN exists and is
active. In this case, the UE continuously measures the radio connection and sends
measurement reports to the SRNC.
The handover algorithm located in the SRNC averages and investigates the contents
of the received measurement reports. Based on the results the SRNC realizes that
the UE has measured a cell located in BS 2 to have radio conditions fulfilling
handover criteria defined in the SRNC. Based on the radio network information
stored in the SRNC database the SRNC finds out that the target cell in BS 2 does not
belong to the same RNS.
The SRNC starts arrangements on the UTRAN side by requesting through the lur
interface the DRNC to set-up a new radio link. This is done by sending a RNSAP RL
set-up request message. This triggers the DRNC to establish a radio link over the lub
interface between the DRNC and BS 2 with NBAP protocol exchange.
After these steps the lub and lur bearers are established and frame protocols are
synchronized in the downlink and uplink directions between the SRNC and BS 2. The
frame protocols in the lub and Iur interfaces implement the radio network user plane
and carry actual user data flow. In this example we assumed that the used service is
a voice call. Thus, the frame protocol used in this example is the Iub/Iur Dedicated
Channel (DCH) frame protocol. When the SRNC has received the FP uplink
synchronization, it sends a RRC active set update message to the UE. In this
message the SRNC indicates to the UE that a new radio link has been added to the
active set of the connection through the cell located in the BS 2 and that the
connection can be taken into use. The UE acknowledges this by responding with
RRC active set update complete.
From the bearer architecture point of view, this example illustrates a situation where
the UE has active, circuit switched RAB. This RAB is realized within UTRAN by the Iu
bearer located between the SRNC and CN and one radio bearer going from the
SRNC to the UE through a cell located in BS 1. The procedure described in following
figure is, in the sense of QoS and bearers, a case where the SRNC adds an
additional radio bearer to the existing connection. The RAB and Iu bearer remain
unchanged. When the frame protocols are synchronized the SRNC performs RAB
mapping to the radio bearers.
116
TM51104EN03GLA3
Uu
Iub
UE
BS1
Serving RNC
RRC: Measurement Report
Iub
BS2
Iur
Drift RNC
RNSAP: RL Setup Request

NBAP: RL Setup
NBAP: RL Setup Response
RNSAP: RL Setup
Response
Iub Bearer Setup
Iur Bearer Setup
FP Downlink Synchronization
FP Uplink Synchronization
RRC: Active Set Update (RL Addition)
RRC: Active Set Update Complete
TM51104EN03GLA01
1
Fig. 54 Soft handover - link addition
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TM51104EN03GLA3
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117
When the UE moves in the network during the transaction, it comes to the point
where the SRNC finds out from the received measurement reports that a radio
connection carrying the radio bearer through a cell located in BS 2 does not fulfill the
criteria set to the radio connection any more. When this happens, the SRNC
indicates to the UE that this particular radio connection can be removed from the
active set. This is done by sending again an RRC active set update message to the
UE indicating the radio connection to be removed. The UE acknowledges the radio
connection removal by sending an RRC active set update complete message to the
SRNC. Upon receiving the UE's acknowledgement the SRNC can now start the radio
link deletion between itself and the BS 2. This is done by using a RNSAP RL deletion
request over the Iur interface, which in turn triggers the DRNC to delete the radio link
in the Iub interface with NBAP protocol exchange. When the radio link has been
deleted both in Iub and Iur, the related Iub and Iur bearers are also released. The
message flow related to a soft handover with a radio link deletion is illustrated in
following figure.
From the bearer architecture point of view this radio link deletion example illustrates
the case, where the SRNC removes one radio bearer but RAB between the CN and
UE remains.
118
TM51104EN03GLA3
Uu
Iub
UE
BS1
Serving RNC
RRC: Measurement Report

RRC: Active Set Update (RL Deletion of BS2)
RRC: Active Set Update Complete
Iur
Iub
BS2
Drift RNC
RNSAP: RL Deletion
Request
NBAP: RL Deletion
Request
NBAP: RL Deletion
Response
RNSAP: RL Deletion
Response
Iub Bearer Release
Iur Bearer Release
TM51104EN03GLA01
1
Fig. 55 Soft handover - link deletion
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119
120
TM51104EN03GLA3
4.3.2
SRNS Relocation Circuit Switched
The role of Serving RNC (SRNC) means the RNC maintains the Iu bearer and
performs RAB mapping to the radio bearers with respect to a single active UE. Since
the radio link components of the radio bearers may continuously change due to soft
handover, the SRNC may end up in the situation, where it does not manage any
radio links with its own BSs directly over the Iub any more. When this happens, the
RAB mapping functionality should be changed to another RNC which is in a better
position to perform it. Since the RAB mapping requires the existence of the Iu bearer
in the same RNC, the CN connection will change, too.
The RRM procedure where the Iu bearer termination is changed from one RNC to
another (and at the same time the radio bearers) is called SRNS relocation. The
message flow of this procedure is illustrated in the following figure. In this figure, the
RNC1 is the original SRNC and the RNC2 is the RNC, which will adopt the SRNC
functionality.
The SRNS relocation procedure can be done in two different ways: either the UE is
actively involved in the procedure or it is not. The example presented here illustrates
the situation where the UE is not involved.
When the original SRNC (RNC 1) realizes that the SRNC functionality should be
transferred to a better RNC candidate (RNC 2), it starts this procedure by contacting
the relevant CN domain with a RANAP relocation required message. This message
contains the reason for the relocation, target RNS identification and UE classmark
information. Based on the target RNS identification the CN domain is able to route
this query further onto the target RNS. This re-routed query is the RANAP relocation
request message. In addition to other relocation related information, the RANAP
relocation request contains information about bearer contexts with which the CN at
the same time effectively moves the RAB and RRC connection end-point from the
original SRNC (RNC1) towards the target SRNC (RNC2).
If the target RNC is able to provide resources to handle the incoming SRNC
functionality it acknowledges the request back to the CN, which relays this
acknowledgement to the source RNS. From the RNC1 point of view this
acknowledgement is a command to start relocation, since everything should be now
ready in the target RNC. Upon receiving the RANAP relocation command the original
SRNC (RNC1) starts to forward data to the target SRNC (RNC2). The expected
SRNC (RNC2) realizes the incoming data and informs the CN domain about the
detection of SRNS relocation with the message RANAP relocation detect. Optionally,
the source SRNC (RNC1) may send a RNSAP SRNC relocation commit message to
the target SRNC (RNC2) over the Iur interface.
In the case of SRNC relocation where the UE is not involved, the UE is not aware of
the message flow described above. If there is a need to perform any RRC
procedures, they are performed after the RANAP relocation detect message. UTRAN
may, for instance, send an RRC UTRAN mobility information message to the UE.
With this message the UTRAN updates C-RNTI and U-RNTI and possibly other
relevant MM information at the UE.
TM51104EN03GLA3
121
When all relevant RRC procedures are performed the new SRNC (RNC2) informs the
CN that SRNC relocation procedure is now complete by sending the message
RANAP relocation complete. This then triggers the CN to release resources related
to the old SRNC (RNC1) by issuing a RANAP Iu release message, which is
acknowledged by the old SRNC (RNC1). Now the user data flows will go through the
new serving RNC and, according to its role, it acts as the macro diversity combination
point for the UE and also controls all RRC activities for this UE.
122
TM51104EN03GLA3
UE
RNC1
MSC/VLR
RNC2
User Data flow through RNC1

RANAP: Relocation
Required
RANAP: Relocation
Request
RANAP: Relocation
Request Ack.
RANAP: Relocation
Command
Data Forwarding
RNC1 to RNC2
(Optional) RNSAP: SRNC Relocation Commit

RANAP: Relocation
Detect
RRC Procedures
RANAP: Relocation
Complete
RANAP: Iu Release
Command
RANAP: Iu Release
Complete
User Data flow through RNC2
TM51104EN03GLA01
1
Fig. 56 SRNS relocation - circuit switched (UE not involved)
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TM51104EN03GLA3
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123
124
TM51104EN03GLA3
4.3.3
Inter-System Handover from UMTS to GSM Circuit

Switched
The 3GPP specifications define that a handover between two radio accesses is a
mandatory requirement for the system. From the UMTS point of view this means that
the system must be able to perform handover between UTRAN and a GSM BSS.
Inter-system handover between UTRAN and GSM BSS is a special case of the
SRNS relocation procedure as can be seen from following figure. Actually RANAP
carries the same kind of information as the BSSMAP protocol in the GSM network
and also much more. If the handover is performed from UTRAN to a GSM BSS, the
UTRAN side messages are exactly the same as in the case of SRNS relocation but
the contents of those messages vary. For example, the message RANAP relocation
required contains the target RNC ID in the SRNC relocation case. When the target is
on the GSM side, the target RNC ID is replaced with cell global identity, which is a
parameter more familiar to the GSM BSC.
Unlike the SRNS relocation, the inter-system handover is a procedure where the UE
is always involved, since the UE must perform Radio Resource (RR) activities in
order to access the GSM BSS; note that the GSM BSS is not able to handle any kind
of context information valid in UTRAN.
The UE must have the possibility to measure the GSM cells surrounding the current
UTRAN cell(s). This is made possible in UTRAN by using the slotted mode
procedure. Slotted mode gives the UE some time to perform measurements on the
GSM band and thus detect any possible handover candidate(s). Information about
these GSM cell candidates is delivered to the RNC with measurement reports just
like that of the UTRAN cells.
As soon as the RNC realizes that a GSM cell is the best candidate and no suitable
UTRAN cells are available, the SRNC starts to require relocation from the CN. The
CN checks the contents of the message RANAP relocation required and finds out
that the target cell for this handover belongs to a GSM BSS. Thus, the CN sends the
message GSM BSSMAP handover required to the target BSC on the GSM network
side. This triggers the target BSC to set up Traffic Channel (TCH) for the connection
to be handed over to it. When the TCH allocation has been successfully performed
within the GSM BSS the handover request is acknowledged back to the CN. The CN
relays this message back to the SRNC as a RANAP relocation command message.
The RANAP relocation command starts the relocation procedure within the SRNC.
Since this is the case where the UE is involved the SRNC commands the UE to
perform intersystem handover by sending the message RRC handover from
UTRAN command. This message contains information about the target system and it
also may carry in its payload any additional information related to the inter-system
handover.
Upon receiving the RRC handover from the UTRAN command the UE checks
whether the message indicated any time to perform the handover (default is
immediately) and starts handover actions accordingly. Since the target radio access
is GSM, the UE sends a GSM RR handover access message to the target cell in the
GSM BSS. When the GSM BSS target cell detects this, it indicates to the BSC that
TM51104EN03GLA3
125
the UE is accessing the GSM BSS. The GSM BSC in turn informs the CN about the
incoming UE by sending the message GSM BSSMAP handover detect.
As an acknowledgement to the GSM RR handover access the UE receives GSM RR
physical info from the GSM BSS cell. This message contains information with which
the UE is able to start to use the GSM radio access, for example, channel
descriptions are sent here to the UE.
Finally, when the UE has successfully accessed the GSM BSS cell, the UE sends a
GSM RR handover complete to the GSM BSC. The BSC in turn relays the same
information to the CN thus indicating that the UE has now entered into the GSM BSS
and the inter-system handover is successfully completed in this respect. Since the
UE does not use UTRAN resources any more, all resources related to the UE can be
released and the CN issues a RANAP lu release command. The RANAP lu release
command in turn triggers the RNC to clear the RRC connection and all the resources
related to the UE are thus released. After this is done the RNC confirms the release
to the CN with the message RANAP lu release complete.
126
TM51104EN03GLA3
UE
RNC
MSC
BSC
User Data flow through RNC

RRC: Measurement
Report
RANAP: Relocation
Required
BSSMAP: Handover
Required
TCH Allocation
BSSMAP: Handover
Required Ack.
RANAP: Relocation
Command
BSSMAP: TCH Assign

Command
GSM RR: Handover Access
BSSMAP: Handover
Detect
GSM RR: Physical Info
GSM RR: Handover Complete
BSSMAP: Handover
Complete
RANAP: Iu Release
Command
RANAP: Iu Release
Complete
User Data flow through BSC
TM51104EN03GLA01
1
Fig. 57 Inter-system handover from UMTS to GSM - circuit switched
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TM51104EN03GLA3
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127
4.4
MM Procedure Examples
When compared to GSM, the MM behaves mostly the same way in UMTS but there
are, however, some differences. MM as an entity covers all procedures, methods and
identities required to maintain knowledge about the UE's location when it is moving in
the network. Due to the existence of packet switched transactions a state model for
MM was introduced.
In GSM networks MM is completely handled between the MS and NSS. In UMTS
networks most of the MM functions are equally handled between the UE and the CN
but not all. The RNC partially handles the UE's movement within the radio access
network using RRC procedures for this purpose. The MM activities handled by the
RNC are cell and URA (UTRAN Registration Area) updates
4.4.1
Cell Update
During a circuit switched transaction, the CN knows the location of a UE with the
accuracy of a location area and the RNC knows the location of the UE with the
accuracy of a cell or to be more precise - cells if the UE is in soft handover state.
The cell information is continuously changing during the transaction. The pace of
change depends on radio network conditions and whether the UE is moving and with
what speed.
In the case of packet switched transactions the location information is distributed in
such a way that the CN PS domain knows the location of the UE with the accuracy of
location area and routing area and the RNC knows the location of the UE with the
accuracy of a cell. Because packet switched connection is discontinuous in nature,
the cell information in the RNC will actually be out-of-date when the data connection
between the UE and the CN is temporarily closed. Hence, the packet switched
connection is enabled from the UE and the CN point of view but the RNC is not able
to route the data packets in this state. If the UE desires to send data packets and the
current cell is different than it was earlier, the UE performs an RRC cell update
procedure to inform the RNC about the current cell. After this basically any RRC
activity is possible, for instance, a radio bearer can be established.
128
TM51104EN03GLA3
UE
RNC
RRC: Cell Update
RRC: Cell Update Confirm
Information Exchange between UE and RNC
TM51104EN03GLA01
1
Fig. 58 Cell update procedure
If, on the other hand, it is the CN PS domain that has some data packets to be sent
to the UE, the CN PS domain first issues a RANAP paging to make the RNC send a
RRC paging Type 1 to the UE. Upon receiving this the UE checks whether the cell
update procedure is needed. If yes, the UE performs cell update and after that it is
ready to start packet reception.
To summaries, the various reasons for a UE to perform a cell update are as follows:
Cell reselection
Periodic cell update
Uplink data transmission
Paging response
Re-entered service area
Radio link failure
Unrecoverable RLC error
In association with a cell update procedure RNC may allocate a new RNTI to the
RRC connection.
TM51104EN03GLA3
129
4.4.2
URA Update
The RNC maintains registration of the current URA for each UE. a URA consists of
number of cells belonging to either one RNC or several RNCs. Like LA and RA, the
URA is one of those identities the UE stores in USIM. When switched on, the UE
continuously monitors the received URA identity. If the received URA differs from the
one stored in USIM the UE performs an RRC URA update procedure.
Other conditions, which trigger a URA update procedure, are, when the periodic URA
update timer has expired or the UE has re-entered a network service area. As in the
case of cell update, the RNC changes the RNTI allocated for the UE.
130
TM51104EN03GLA3
UE
RNC
RRC: URA Update
RRC: URA Update Confirm
Information Exchange between UE and RNC
TM51104EN03GLA01
1
Fig. 59 URA update procedure
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TM51104EN03GLA3
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131
132
TM51104EN03GLA3
Exercises
TM51104EN03GLA3
133
1. What is the name of the interface between 2 RNCs?
Iu-b
Iu-r
Iu-cs
Iu-ps
2. In the state URA_PCH, the connection is monitored?
On cell level
On site level
On RNC level
On URA level
3. What is the purpose of Admission Control?
To estimate whether a new call can have access to the system or not
To optimize the capacity of a cell and prevent an overload situation
To make the decision of the used channel type for the downlink direction
To return the system to normal load state in a fast and controlled way
4. How many downlink scrambling codes are available?
64
128
512
5. In power control what is the accuracy of decreasing and increasing power?
134
15 times per second
150 times per second
TM51104EN03GLA3
6. Soft Handover is performed between two cells?
Belonging to different Node Bs but not necessarily to the same RNC
Belonging to different Node Bs and the same RNC
Belonging to the same RNC
Belonging to the same Node B
7. Micro Diversity is?
Micro diversity means the situation where the propagating multi path
components are combined in the Node B.
components are combined in the RNC.
components are combined in the MS
components are combined in the MSC
8. In UTRAN Authentication, what is the length of the Master Key?
16 bits
32 bits
64 bits
128 bits
TM51104EN03GLA3
135
136
TM51104EN03GLA3

04 TM51104EN03GLA3 Procedures

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04 TM51104EN03GLA3 Procedures

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UMTS Functionalities and Procedures

UMTS Functionalities and Procedures

Radio Resource Management

UMTS Functionalities and Procedures

UMTS Functionalities and Procedures

Radio Resource Management

UMTS Functionalities and Procedures

UMTS Functionalities and Procedures

Fig. 1 General Diagram of RNC

Packet Scheduler (PS)

Resource Manager (RM)

Admission Control (AC)

Load Control (LC)

Power Control (PC)

Fig. 2 Radio Resource Management Functions

UMTS Functionalities and Procedures

Radio Resource Control

UMTS Functionalities and Procedures

(stores UEs Cell/URA)

UE position known in UTRAN

DCH: Dedicated Channel

Fig. 3 Radio Resource Control States

UMTS Functionalities and Procedures

UMTS Functionalities and Procedures

Selection of the data to be

Medium Access Control

Fig. 4 Layer 2 Processing

UMTS Functionalities and Procedures

UMTS Functionalities and Procedures

SIR Allowed Range

Radio Access Bearers

Fig. 5 Admission Control

UMTS Functionalities and Procedures

UMTS Functionalities and Procedures

Interference Margin (dB) and Load Factor

Interference Margin (dB)

Fig. 6 Interference Margin as a function of cell load

UMTS Functionalities and Procedures

Planning Uplink Admission Control

UMTS Functionalities and Procedures

Interference Margin (dB)

Defines the limit (the first UL

Fig. 7 Admission Control on the Uplink

UMTS Functionalities and Procedures

UMTS Functionalities and Procedures

Packet Service Session

Packet Arrival Interval

Fig. 8 Packet scheduler function

UMTS Functionalities and Procedures

The Radio Resource Management mechanisms Admission Control, Packet

UMTS Functionalities and Procedures

Load Change Info

Fig. 9 Load Control

UMTS Functionalities and Procedures

UMTS Functionalities and Procedures

The further away

Fig. 10 Capacity in the Uplink Limited by Interference

UMTS Functionalities and Procedures

UMTS Functionalities and Procedures

Fig. 11 Model of Cell Loading Against Traffic Profile

UMTS Functionalities and Procedures

UMTS Functionalities and Procedures

Fig. 12 How the AC, LC and PS work together

UMTS Functionalities and Procedures