UMTS Interface Protocol

ZTE University

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

UMTS System Structure

CN

UTRAN

UE

UTRANUMTS Terrestrial Radio Access Network

CNCore Network
UEUser Equipment

UMTS Network Architecture

Terminology of UMTS RNS Network

UTRAN: UMTS Terrestrial Radio Access Network

RNS: Radio Network Subsystem
RNC: Radio Network Controller
UE: User Equipment
Uu: Radio Interface
Iub: The interface between NodeB and RNC
Iur: The interface between RNCs
Iu_CS: between RNC and CS domain
Iu_PS:between RNC and PS domain
Iu_BC:for BroadCast domain

Universal model of the UTRAN interfaces

Radio

Control Plane

User Plane

Application
Protocol

Data
Stream(s)

Network
Layer

Transport Transport Network

Network
User Plane
Layer

Transport Network
Control Plane

Transport Network
User Plane

ALCAP(s)
Signalling
Bearer(s)

Signalling
Bearer(s)

Physical Layer

Data
Bearer(s)

Universal model of the UTRAN interfaces

Horizontal: UTRAN falls into 2 layers

z
z

Vertical: UTRAN falls into 4 planes

z
z
z
z

Radio Network Layer (RNL)

Transport Network Layer (TNL)
Control plane
User plane
TNL control plane
TNL user plane

In R99 and R4, the ATM technology is adopted at the

transport network layer, while R5, IP transmission is
introduced.

UMTS Bearing Services Structure

UMTS

MT

TE

CN Iu
EDGE
Node

UTRAN

CN
Gateway

TE

End-to-End Service

TE/MT Local
Bear service

External Bear
Service

UMTS Bear Service

RAB Service

RB Services

Iu Interface
Bear Services

UTRA FDD/TDD
Service

Physical Bear
Service

CN Bear
Service
Backbone
Services

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

Iu Interface

Core Network (CN)

UTRAN

CS
Domain

Node B

Iu-CS

RNC
Node B

PS
Domain
Iu-PS

Node B
RNC

BC
Domain

Node B

Iu-BC

Iu Interface

Iu-CS Interface Stack Structure

Radio Network
Layer

Control Plane

User Plane

RANAP

Iu UP Protocol
Layer

transport Network User

Plane

transport Network Control

Plane

transport Network User

Plane

Q.2630.1

transport
Network Layer

SCCP

Q.2150.1

MTP3b

MTP3b

SSCF-NNI

SSCF-NNI

SSCOP

SSCOP

AAL 5

AAL 5

ATM
Physical Layer

AAL 2

Iu-PS Interface Stack Structure

Control Plane
Radio Network
Layer

User Plane
Iu UP Protocol

RNSAP

Layer

Transport Network User

Plane

Transport Network
Control Plane

Transport Network User

Plane

SCCP
Transport
Network Layer

M3UA
MTP3-B
GTP-U
SCTP
SSCF-UNI
SSCOP

UDP
IP

IP

AAL 5

AAL 5

ATM

ATM

Physical Layer

Physical Layer

Iu interface Functions

RAB management
z RAB setup, modification and release
z mapping of RAB characteristics to the Uu bearer
z mapping of RAB characteristics to the Iu transmission bearer
z RAB queuing, preemption and priority
Iu radio resource management
z radio resource acceptance control
Iu connection management
z Iu signaling connection management
Iu-UP (RNL) management
z Iu-UP frame protocol mode selection and protocol initialization
Mobility management
Security management
Service and network access
Paging coordination

Stream Control Transmission Protocol(SCTP)

SCTP is a reliable datagram transfer protocol based on an

unreliable transfer protocol such as UDP.
SCTP End Point is a logical entity, logical datagram sender
and receiver. Each SCTP End Point is only identified by IP
address and port number, similar to TCP.
SCTP Association is a logical association or channel
established between two SCTP End Points. Client/Server
mode is adopted.

MTP3-User Adaptation Layer Protocol(M3UA)

M3UA (MTP3-User Adaptation Layer) protocol conducts

conversion between SPCs and IP addresses. It is used for
the SS7 signaling to transfer between the Softswitch and
the Signaling Gateway(SG). It supports to transfer the
MTP3 user messages over the IP network, including ISUP,
TUP, and SCCP messages.

Signaling connection control protocol SCCP

In ZXWR RNC, SCCP protocol is mainly used to transport

signaling message by Iu/Iur interface. The client is RANAP
and RNSAP.
It offers the connectionless or connection-oriented services
for its client. The SCCP also offers the segmentation and
reassembly functions.

Iu Flow Overview
Basic Processing

Initial Message

Response Message for

Success

Response Message for

Failure

Iu Release

IU RELEASE
COMMAND

IU RELEASE COMPLETE

Relocation
Preparation

RELOCATION
REQUIRED

RELOCATION
COMMAND

RELOCATION
PREPARATION FAILURE

Relocation Resource
Allocation

RELOCATION
REQUEST

RELOCATION REQUEST
ACKNOWLEDGE

RELOCATON FAILURE

Relocation Cancel

RELOCATION
CANCEL

RELOCATION CANCEL
ACKNOWLEDGE

SRNS Context
Transfer

SRNS CONTEXT
REQUEST

SRNS CONTEXT
RESPONSE

Security Mode
Control

SECURITY MODE
COMMAND

SECURITY MODE
COMPLETE

Data Volume Report

DATA VOLUME
REPORT REQUEST

DATA VOLUME REPORT

Reset

RESET

RESET ACKNOWLEDGE

Reset Resource

RESET RESOURCE

RESET RESOURCE
ACKNOWLEDGE

SECURITY MODE
REJECT

Iu Flow Overview
Basic Processing

Message

RAB Release Request

RAG RELEASE REQUEST

Iu Release Request

IU RELEASE REQUEST

Relocation Detect

RELOCATION DETECT

Relocation Complete

RELOCATION COMPLETE

SRNS Data Forwarding Initiation

SRNS DATA FORWARD COMMAND

SRNS Context Forwarding from Source RNC to CN

FORWARD SRNS CONTEXT

SRNS Context Forwarding to Target RNC from CN

FORWARD SRNS CONTEXT

Paging

PAGING

Common ID

COMMON ID

CN Invoke Trace

CN INVOKE TRACE

CN Deactivate Trace

CN DEACTIVATE TRACE

Location Reporting Control

LOCATION REPORTING CONTROL

Location Report

LOCATION REPORT

Initial UE Message

INITIAL UE MESSAGE

Direct Transfer

DIRECT TRANSFER

Overload Control

OVERLOAD

Error Indiction

ERROR INDICATION

Iu Flow Overview

Basic Processing

Initial Message

Response Message

RAB Assignment

RAB
ASSIGNMENT
REQUEST

RAB ASSIGNMENT
RESPONSE x N
(N>=1)

Appendix
Abbreviation

Full Name

SCCP

Signaling connection control protocol

MTP3B

Broadband message transfer protocol

SSCF-NNI

Service specific coordination function for support of

signaling at the network node interface

SSCF-UNI

Service specific coordination function for support of

signaling at the user network interface

SSCOP

Service specific connection oriented protocol

Q.2630.1

AAL2 signaling control protocol

Q.2150.1

AAL2 signaling transport converter at NNI

M3UA

MTP3 user adaptation protocol

SCTP

Stream control transmission protocol

GTP-U

GPRS tunneling protocol user

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

Iur Interface Stack Structure

Control Plane
Radio Network
Layer

User Plane

RNSAP

Iur Data Flow

Transport Network User

Plane

Transport Network
Control Plane

Transport Network User

Plane

ALCAP(Q.2630.1)

Transport
Network Layer

SCCP

STC(Q.2150.1)

MTP3-B

M3UA

MTP3-B

M3UA

SSCF-UNI

SCTP

SSCF-UNI

SCTP

SSCOP

IP

SSCOP

IP

AAL 5

AAL 5

ATM
Physical Layer

AAL Type 2

Iur interface Functions

Iur interface has the following functions:

Inter-RNC mobility management
z SRNC relocation, inter-RNC cell and UTRAN registration area
update, inter-RNC paging, and protocol error report.
Dedicated channel data transmission
z used to transmit dedicated channel data between two RNCs.
Common channel data transmission
z setup and release of the transmission connection needed in
common channel data stream transmission of the Iur interface,
Global resource management
z transmission of inter-RNC cell measurement information.
z transmission of inter-RNC Node B timing information.

Iur Logical Mode

SRNS

Iur Control Plane

Iur
Control
PORT

DCH
DATA
PORT

DCH
DATA
PORT

DSCH
DATA
PORT

DSCH
DATA
PORT

USCH
DATA
PORT

USCH
DATA
PORT

RACH/
CPCH/FACH
DATA
PORT

Cell
RL

RL

RL

RACH/
CPCH/FACH
DATA
PORT

RACH/FACH Services Context

with Various Features

DRNS
Cell

RL

Radio User Plane

RL

RL

Iur Flow Overview

Radio Link Management

Physical Channel Reconfiguration
Radio Link Supervision
Compressed Mode Control
Measurements on Dedicated Resources
DL Power Drifting Correction
CCCH Signaling Transfer
Paging
Common Transport Channel Resources Management
Relocation Execution

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

Iub Interface Stack Structure

Radio Network Control
Plane
Radio
Network
Layer

Transport Network Control

Plane

User Plane

Node B
Application
Part (NBAP)

ALCAP
Q.2630.1
Transport
Network Layer

Q.2150.1
SSCF-UNI

SSCF-UNI

SSCOP

SSCOP

AAL Type 5

AAL Type 5
ATM
Physical Layer

AAL Type 2

Iub interface Functions

Management of the Iub interface transmission resources.

Logic operation maintenance of Node B, including:
z the cell configuration management
z radio network performance measurement
z common transmission channel management
z radio resource management
Transmission of application-related operation & maintenance data.
System information management.
Channel traffic management.
Timing and synchronization management, including:
z node synchronization
z transmission channel synchronization between the RNC and
Node B

Iub Interface Logical Mode

Control RNC

Node B
Control
PORT

RACH
DATA
PORT

CPCH
DATA
PORT

FACH
DATA
PORT

PCH
DATA
PORT

DSCH
DATA
PORT

USCH
DATA
PORT

DCH
DATA
PORT

Service Terminal Point

Cell

Cell

Cell

DSCH
DATA
PORT

USCH
DATA
PORT

DCH
DATA
PORT

Cell

Communication
Control
Port

Service Terminal Point

Node B Communication
Environment

Node B

Common Transport Channel

Communication
Control
Port

Cell

Cell

Iub Flow Overview

Click to edit master text style

System Information Management
Configuration Alignment
Measurements
Radio Link Management
Radio Link Supervision
Compressed Mode Control
DL Power Drifting Correction

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

Uu Interface Stack Structure

Control Plane signaling

User Plane Message

Uu Interface Edge

L3

Control

RRC

RB

Control

PDCP PDCP

Control

L2/PDCP
BMC

Control
Control

RLC

RLC

RLC

RLC
RLC

RLC

RLC

RLC

L2/BMC

L2/RLC
Logical Channel

MAC

L2/MAC
Transport Channel

Physical Layer

L1

Uu Interface Stack Structure(1)

Physical Layer Protocol

z

MAC Protocol (Media Access Control)

z

on the control plane, provides the RRC sublayer with signaling

radio bearer services.
on the user plane, provides service radio bearer services together
with the PDCP sublayer.

PDCP (Packet data convergence protocol)

z
z

provides the RLC sublayer with logic channel services.

RLC Protocol (Radio Link Control)

z

provides the MAC sublayer with transmission channel services.

adapt different types of network layer protocols to the radio

interface.
only exists in the packet domain

BMC (Broadcast main control)

z

transfer broadcast and multicast information over the radio

interface.

Uu Interface Stack Structure(2)

RRC (Radio resource control)

z Provide services for the non-access layer, for example, transmitting
messages like call control, session management and mobility
management at the control interface.
z Setup, maintenance and release of an RRC connection between
UE and UTRAN.
z Setup, reconfiguration and release of radio bearer.
z Distribution, reconfiguration and release of radio resources used in
the RRC connection.
z RRC connections mobility function management.
z Request for QoS control.
z UE measurement report and report control.
z Outer loop power control, ciphering control, paging.
z Initial cell selection and reselection in the idle mode.

RRC Mode (UTRAN Side)

Access Plane
RFE

RFE

RFE
RRC

RRC SAPs
BCFE

PNFE

DCFE

SCFE

TME
Tr SAP
RLC
Ctrl
MAC
Ctrl
L1
Ctrl

UM SAP
RLC
MAC
Physical Layer

AM SAP

RRC Status and Migration Diagram

UTRA Connection Mode
URA_PCH

CELL_PCH

out of
service

out of
service

in
service

CELL_DCH

Establish RRC
Connection

in
service

Release RRC
Connection

in
service

Establish RRC
Connection

GSM:
Hand over

GSM
Connection
Mode

GPRS
Packet
Transport
Mode

CELL_FACH
out of
service

Release RRC
Connection

UTRA:
Inter-RAT
Hand over

Cell
Reselection
Release of
temporary
block flow

Release RR
Connection
Initiation of
temporary
block flow

GPRS Packet Idle Mode

Camping on a UTRAN cell

Camping on a GSM/GPRS cell

Idle Mode

Establish RR
Connection

PDCP Function

User Data Transport: Transmit NAS data to RLC layer or

reverse.
IP Head Compression: Compress or decompress the IP
data in the Transport entities and receive entities. Different
network layer has different compression algorithm.
Sequence Number Maintenance: If RB supports lossless
SRNS Reselection, the Sequence Number can be kept
synchronized between UE and RNC.

PDCP is only used in PS services

PDCP Sub-layer Structure

PDCP-SAPs

PDCP-SDU

C-SAP

PDCP
Entity
Head
Compression
Algorithm
Type I

Head
Compression
Algorithm
Type 2

Head
Compression
Algorithm
Type I

Head
Compression
Algorithm
Type 2

PDU

PDU

Counter

Counter

PDCP
Entity
Head
Compression
Algorithm
Type 1

RLC-SDU

RLC-SAPs

UM-SAP

AM-SAP

Tr-SAP

BMC Services and Function

BMC services adopt TM or UM to provide

Broadcast/Multicast services for the public users
The functions of BMC include cell broadcast
message depository, service flow monitor, radio
resource request for cell broadcast, BMC
message scheduling, sending and receiving cell
broadcast message and so on.

BMC Sub-layer Structure

BMC SAP

BMC
Control

BMC Entity

RLC UM-SAP

RLC Layer Work Modes

RLC provides the services for the upper layer: RLC

connection setup/release, TM data Transport, UM data
Transport, AM data Transport, unrecoverable error notify
and so on.
The functions for RLC include Segment, Reassemble,
Concatenation, Padding added, Data Transport, Error
Detect, PDU delivery in order, Detection Repeat, Flow
Control, Sequence Number Detection, Protocol Error
Detection/ Retrieval/ Encryption/ Suspend function.
RLC work modes: TM, UM,AM. Different work mode is
adopted according to the QoS requirement of different
services; for the signaling, the work mode also depends on
the significance.

RLC TM Mode
Radio
Interfaces
Tr-SAP

Function:
Segment and
reassemble User
Data

Transmitting
Tr-Entity
Segment

Transmitting Cache

BCCH/PCCH/DCCH/
CCCH/DTCH/SHCCH

Tr-SAP

Receiving
Tr-Entity
Reassembly

Receiving Cache

BCCH/PCCH/DCCH/
CCCH/DTCH/SHCCH

RLC UM Mode
Radio
Interfaces
UM-SAP

UM-SAP

Function:
Segment and
Concatenation
Padding

Segment &
Concatenation

Transmit User Data

Encryption

Encryption

Adding RLC
Head

Sequence Number
Detection

Transmitting
UM Entity

Transmitting Cache

CCCH/DCCH/
DTCH/SHCCH

Reassembly
Decryption
Deleting RLC
Head
Receiving
Cache

CCCH/DCCH/
DTCH/SHCCH

Receiving
UM Entity

RLC AM Mode
Function:

AM RLC Entity
Segment & Concatenation

Segment/Reassembly
Concatenation
Padding
Transmitting User
Data

RLC Control Unit

Adding RLC Head
Retransmission
Cache&Management

Reassembly
Deleting RLC head/
Extract Piggybacked Information

Multiplexing

Error Control
Delivery in order

Transport Cache

Receiving Cache/
Retransmission Management
Decryption

Detection Repeat
Configuring PDU Head

Protocol Error
Detection/ Retrieval/
Encryption

Encryption
Transmitting Side

Demultiplexing/Routing
Receiving Side

MAC-Transport Channel Categories

DCH, Dedicated Channel

BCH, Broadcast Channel

FACH, Forward Access Channel
PCH, Paging Channel
RACH, Random Access Channel
CPCH, Common Packet Channel
DSCH, DL Share Channel

Dedicated
Transport Channel

Common Transport
Channel

MAC-Some Transport Channel Principles

Transport Block

Transport Block

Transport Block

Transport Time Interval

Transport Block

Transport Block

Transport Block

Transport Block

Transport Block

Transport Block

Transport Time Interval

Transport Block
Transport Block

Transport Block Transport Block

Transport Block

Transport Block Transport Block Transport Block

Transport
Time Interval

Transport Block

MAC-Some Transport Channel Principles

Transport Block
z

Transport Block Set

z

The bit number of a Transport Block Set.

Transport Time Interval

z

The bit number of a Transport Block.

Transport Block Set Size

z

A Set of Transport Blocks which are Transmitted in a Transport channel on a certain

moment.

Transport Block Size

z

The basic switching unit between L1 and MAC layer

Transport Time Interval is defined as a time interval for a Transport Block arrived,
and it equals to the time for transporting a Transport Block on the Physical Layer of
Radio Interface. It is always the gemination of MIN. interleaving cycle (10ms, Size of
Radio Frame). MAC layer transports a Transport Block Set to the physical layer in
each TTI.

Transport Format
z

Transport Format is defined as the format of a Transport Block Set which is

transported on a Transport channel. The format is provided for MAC layer by L1 (or
MAC layer provides for L1). The Transport Format is consisted of two parts:
dynamical part and static part.

MAC-Some Transport Channel Principles

Transport Format Set

z

Transport Format Combination

z

Transport Format Combination Set is defined as a set of Transport Format

Combination of Coded Composite Transport Channel (CCTrCH) .

Transport Format Indicator

z

When one or more transport channels map in L1, for each transport channel, there
should be a sets of Transport Format (Transport Format Set) available. For a certain
time, not all the Format Combination is appropriate for L1, but only a sub-set, which
is Transport Format Combination.

Transport Format Combination Set

z

Transport Format Set is defined as a set of Transport Format on a Transport

Channel. In side of a Transport Format Set the static part of transport format is the
same. The previous two features of the dynamic part determine the instantaneous
bit rate of the Transport channel.

TFI is the specific indicator for a certain Transport Format among the Transport
Format Set. It is used between L1 and MAC layer, when they exchange a transport
block set.

Transport Format Combination Indicator

z

TFCI is a indicator of the current Transport Format Combination.

The Services Provided by L1 and Timing

Operation

The Physical Layer provides Data Transport Services for

the upper layer, which are implemented by MAC sub-layer
through Transport Channel.
z

Transport Format (or Transport Format Set) defines the feature of

the transport channel, meanwhile, it also indicates the processing
on the transport channel by physical layer, such as convolutional
encoding and interleaving, rate match required by the services and
so on.

The operation on the physical layer is strictly according to

the timing of L1 Radio frame. And for every 10ms (or
multiple times of 10ms) to generate a transport block.

Physical Layer Function

FEC encoding/decoding of transport channel

To provide measurement and indicator for the upper layer (such as
FER, SIR, Interference Power, Transport Power and so on)
Macro Diversity distribution/ Combination and soft handover
implementation
Error Detection of transport channel
Transport Channel multiplexing, Coding Combination Transport
Channel demultiplexing
Rate Matching
To map Coding Combination Transport Channel to physical channel
Physical channel modulation/Frequency Spreading and
Demodulation/Frequency De-spreading
Frequency and Timing (Chip, Bit, Slot, Frame) synchronization
Close loop power control
Physical channel power weight and combination
RF Processing

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

Radio Network Control-Plane protocol

CN
RANAP
RNSAP

RRC

UE

RNC

RNC

NBAP
Node B
z NBAPNode B Application Part
z RANAP: Radio Access Network Application Part
z RNSAP: Radio Network Subsystem Application Part
z RRC: Radio Resource Control

UTRAN Control Plane Protocol Stack

UE

CC

RNC

Node B

CN

CC

SM

MM/GMM

SM

MM/GMM

RRC

RRC

RLC

RLC

MAC

MAC

NBAP

NBAP

RANAP

RANAP

Transport
Layer

Transport
Layer

L1

L1

Uu

Transport
Layer

Transport Layer

Iub

Iu

UTRAN User Plane Protocol Stack

UE

RNC

Node B

CN

Iu UP

User Data

Iu UP

PDCP

PDCP

RLC

RLC
MAC

MAC
L1

L1

FP
Transport Layer

Uu

Transport
Layer

Transport
Layer

FP
Transport Layer

Iub

Iu

AS and NAS
Non-Access Stratum (NAS)
GC

Nt

GC

DC

Nt

DC

Access Stratum (AS)

end AS entity

end AS entity
Relay

GC

DC

Nt

RRC

GC

Uu
Stratum
(UuS)

L2/L1

Nt

DC

GC

RRC

Nt

GC

DC

Nt

DC

Iu
Stratum

L2/L1

UE

Core Network

UTRAN
Radio
(Uu)

Iu

Uu Interface Data Flow

High Layer

High Layer PDU

High Layer PDU

RLC SDU

RLC SDU

L2 RLC
(Non-Transparent Mode)
RLC
Header

L2 MAC
(Non-Transparent Mode)

Segment
Reassembly
And
Concatenation

MAC
Header

RLC
Header

MAC SDU

Transport Block

MAC
Header

MAC SDU

Transport Block

L1
CRC

CRC

The Physical Channel Forming Flow before

Frequency Spreading
TrCH-i+1

data

102040 or 80ms

data

data

TrCH-i

0816 or 24bits

data CRC data CRC

d aCRCt
data
CBLCRC data
CBL

data CRC
a

512Ktail CC

data
CRC
CBL

Block Size Z

CedBLRate
CedBL
Coded
matched
data
dataCedBL

5120Ktail Turbo

CC or TC

or

Rate matched data

DTX
line of interleaver:1,2,4 or 8

or

Data
Databefore
after 1st interleaved
interleaving
Number of Radio Frame:1,2,4 or 8
Radio
Frame

Radio
Frame

Radio
Frame

TrCH-1
TrCH-1TrCH-2
TrCH-2
DTX
CCTrCHTrCH-ITrCH-I

Ph-1

Ph-2

Ph-P

In 10ms
In 10ms

data1 TPC TFCI data2 pilot data1 TPC TFCI data2 pilot data1 TPC TFCI data2 pilot
Frequency Spreading,
Scrambling

Frequency Spreading,
Scrambling

Frequency Spreading,
Scrambling