07 UMTS UTRAN Signaling Procedures

Internal
UMTS UTRAN Signaling

Procedures
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1 UTRAN System Architecture and

Protocol Stack
2 Basic Terms Related to the UTRAN
3 Basic Signaling Procedures
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UTRAN System Architecture

Core Network
Iu
Iu
RNS
RNS
Iur
RNC
RNC
Iub
Iub
Iub
Node B
Node B
Node B
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Iub
Node B
WCDMA Protocol Architecture

SMS /
GMM / MM
SMS /
GMM / MM
Relay
RRC
RLC
RRC
RLC
MAC
MAC
L1
L1
RANAP
SCCP
Signalling
Bearer
AAL5
RANAP
SCCP
Signalling
Bearer
ATM
ATM
Uu
UE
AAL5
Iu
RNS
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MSC/
SGSN
N
Comparison: GSM-BSS Protocol Architecture

MS
BTS
BSC
MSC
CM
CM
MM
MM
L3
RR
BSSMAP
BSSMAP
RR
RR
BTSM
BTSM
L2
LAPDm
LAPDm LAPD
LAPD
L1
SigL1
SigL1 SigL1
SigL1
Um
Abis
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SCCP
SCCP
MTP
MTP
Protocol Architecture for the RNC Control

Plane
CN
RANAP
UE
RRC
RNC
RNSAP
RNC
NBAP
Node B
NBAP Node B Application Part
RANAPRadio Access Network Application Part
RNSAPRadio Network Subsystem Application Part
RRC Radio Resource Control
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Summary
This part describes the UTRAN

system architecture and the protocol
architecture.
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Protocol Stack
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Basic Terms
UTRANprovides setup, maintenance, and release of radio access

bearer (RAB) for the Non-Access Stratum (NAS) to shield the focus of
the NAS on the features of the radio access stratum.
Other terms: UTRAN, RAB, RB, and RL

RAB
RB
UE
RNC
RL
NodeB
UTRAN
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CN
Basic Terms
RAB:
The service that the access stratum provides to
the Non-Access Stratum (NAS) for transfer of user data

between User Equipment and CN.
RBThe
service provided by the Layer 2 for transfer of
user data between User Equipment and SRNC.

RL: A "radio link" is a logical association between single User
Equipment and a single UTRAN access point. Its physical

realisation comprises one or more radio bearer transmissions.
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UE States
- Reducing actions, DRX, and saving power
RRC connection
URA_PCH
CELL_PCH
CELL_DCH
CELL_FACH
- Dedicated channel
- Radio bearers transmission servcie
IDLE
These states are significant only for

UTRAN and UE. They are transparent to
CN.
DEAD
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- Monitoring paging channel

- Cell reselection
- Searching for the network (PLMN)

- Camp on the cell
Working Modes of the UE

The UE has two working modes: idle mode and connected mode.
Idle mode: The UE is in the standby state and has no service for
processing. In addition, no connection exists between the UE and
UTRAN, and the UTRAN does not contain any information about the
UE. The UE is identified by the NAS identifiers, such as the IMSI,
TMSI, or P-TMSI.
Connected mode: When the UE completes the RRC connection

setup, the UE changes from the idle mode to the connected mode.
In Connected mode, the UE has four states: Cell-DCH, Cell-FACH,
Cell-PCH, and URA-PCH.
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UE States in Connected Mode

Cell-DCH
The UE is in the active state. It communicates over the dedicated
channel. The UE has a dedicated channel in both the uplink and
downlink. The UTRAN accurately knows the cell on which the UE
camps.
Cell-FACH
The UE is in the active state, but it has few data to send in both the
uplink and downlink. It is not required to allocate a dedicated
channel for the UE. The downlink data is transmitted over the FACH,
and the uplink data is transmitted over the RACH. The UE needs to
monitors the FACH in the downlink at any time for its information.
The UTRAN accurately knows the cell on which the UE camps and
maintains the resources for the UE and its state.
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UE States in Connected Mode

Cell-PCH
The UE has no data to send in the uplink and downlink. It needs to
monitor the PICH for receiving paging messages. Therefore, the UE
enters the discontinuous reception, which saving the power.
The UTRAN knows which cell that the UE camps on. Thus, after the
UE roams to another cell, the UTRAN needs to update the cell
information of the UE.
URA-PCH
The UE has no data to send in the uplink and downlink. It needs to
monitor the PICH and enters the discontinuous reception. The
UTRAN knows only the UTRAN registration area (URA) of the UE. A
URA contains multiple cells. That is, the UTRAN updates the
location information only after the URA where the UE is located
changes, thus saving resources and reducing signaling.
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Serving RNC and Drift RNC

CN
Iu
SRNC
Iur
DRNC
In the WCDMA system, the SRNC and DRNC are introduced due to the Iur interface.
The SRNC and DRNC correspond to a specific UE.
For connections between a UE and the CN, the RNC that is directly connected the CN
and controls all resources of the UE is called the SRNC. The RNC that has no direct
connection with the CN and only provides resources for the UE is called DRNC.
A UE in connection state has at least one and only one SRNC, but can have no or
multiple DRNCs.
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CRNC
CN
...
Iu
CRNC
Node B
Iub
Node B
Cell
Cell
Cell
The controller RNC (CRNC) corresponds to a NodeB or cell.
The RNC that is directly connected to a NodeB and controls the

usage of resources of the NodeB is called the CRNC.
A NodeB corresponds to one and only one CRNC.
The CRNC allocates the resources of all the NodeBs controlled by

the CRNC properly.
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Summary
This part describes some

terms related to the UTRAN.
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Protocol Stack
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Basic Signaling Procedures
System Information
Broadcasting
Paging
Paging Procedure
Handover
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System Information Broadcasting
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Overview of the System Information

MIB: includes the PLMN identifier and the scheduling information of the schedule block (SB) and
system block (SB).
SB1: includes the scheduling information of the SIB.
SB2 : includes the scheduling information of the SIB.
SIB1: includes the UE timers and counters and the system information at the NAS.
SIB2: includes the URA information.
SIB3: includes the parameters for cell selection and reselection.
SIB4: includes the parameters for cell selection and cell reselection in connected mode.
SIB5: includes the parameters for the configuration of the common physical channel in a cell.
SIB6: includes the parameters for the configuration of the common physical channel in a cell in
connected mode.
SIB7: includes the information about the uplink interface and dynamic persistence level.
SIB8: includes the static information about the CPCH in the cell.
SIB9: includes the dynamic information about the CPCH in the cell.
SIB10: includes the information of dynamic resource assignment control (DRAC).
SIB11: includes the measurement control information.
SIB12: includes the measurement control information in connected mode.
SIB13: includes the ANSI-41 system information.
SIB14: includes the information in TDD mode.
SIB15: includes the information for LCS.
SIB16: includes the reconfiguration information about the handover from another system to the
UTRAN.
SIB17: includes the configuration information of the shared physical channel in connected mode
(TDD).
SIB18: includes the information of the neighboring PLMN.
Note: The network planning engineers should pay more attention to the system information in blue.
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SI1
The SIB1 includes the following information:

System information at the NAS, such as LAC,
RAC, and T3212
DRX period coefficient of the CS domain: K 6,
that is, DRX period 2^k = 2 ^ 6 = 64 TTI = 640 ms.
DRX period coefficient of the PS domain K 6,
that is, DRX period 2^k = 2 ^ 6 = 64 TTI = 640 ms.
Timers and counters of the UE in connected mode
or timers of the UE in idle mode
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SI3
The System info type 3 includes the parameters
for cell selection and reselection.
Qhyst2s: indicates the cell reselection hysteresis
of Ec/Io measurement.
Sintrasearch: indicates the intra-frequency
reselection start threshold.
Sintersearch: indicates the inter-frequency
SinterRatsearch: includes the inter-system
Qqualmin: indicates the minimum quality
standard for cell selection.
Qrxlemin: indicates the minimum access level
for cell selection.
T reselection: indicates the reselection hysteresis
time.
Max Allowed UE TX power: indicates the
maximum transmit power allowed by the UE.
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SI5
The System info type 5 includes the feature

parameters of the following common physical
channels and the configuration information of the
corresponding common transport channels:
PICH
AICH
PCCPCH
PRACH
SCCPCH
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SI7 and SI11

System info type 7
UL interference: The open-loop power control uses the
Preamble_Initial_Power=Primary CPICH DL TX power - CPICH_RSCP + UL
interference + Constant Value.
Expiration Time Factor: indicates the update period for the SIB7 by the UE. The
value can be : (2, 4, 8, 16, 32, 64, 128, 256)times. The existing value is 16 times, that
is, the period is 4096 / 16 = 32 TTI = 320 ms.
System info type 11

The intra-frequency neighbor list, inter-frequency neighbor list, and interRAT frequency list and the measurement configuration information of the
UE in Idle state are used for cell resection of the UE in the idle state.
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System Information
Broadcasting
Paging
Paging Procedure
Handover
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CN-Initiated Paging
Paging type 1
CN
RNC1
RNC2
NODEB1.1
NODEB2.1
PAGING
RANAP
RANAP
RANAP
PAGING
RANAP
PCCH: PAGING TYPE 1
PCCH: PAGING TYPE 1
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UE
CN-Initiated Paging
Paging type 2
If the UE is in the CELL_DCH or CELL_FACH state, the UTRAN sends the paging type 2 message to
the paged UE over the DCCH.
CN
SRNC
UE
PAGING
RANAP
RANAP
DCCH:
RRC
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PAGING TYPE 2
RRC
UTRAN-Initiated Paging
UE
RRC
NodeB1
Paging Type 1
RNC1
RRC
When the system information changes, the UTRAN triggers the paging
procedure to notify the UE in the idle mode, CELL_PCH state, and
URA_PCH state to update the system information, so that the UE can obtain
the updated system information.
To trigger the state change (for example, the state changes to the
CELL_FACH) of the UE in the CELL_PCH and URA_PCH states, the
UTRAN initiates the paging procedure. As an acknowledgment for the
paging, the UE initiates the cell update or URA update.
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System Information
Broadcasting
Paging
Paging Procedure
Handover
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3 Call Procedure
3.1 Call Overall Procedure
3.2 RRC Setup Procedure
3.3 NAS Signaling Setup Procedure
3.4 RAB Setup Procedure
3.5 RAB Release Procedure
3.6 RRC Connection Release Procedure
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Call Overall ProcedureUE as Calling Party
Process of signaling
connection setup between the
UE and UTRAN
Signaling exchange
between the UE and
CN
Process of service
connection between the UE
and
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3 Call Procedure
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RRC Connection Setup Procedure
When the NAS of the UE in idle mode requests for signaling connection setup,
the UE initiates the RRC connection setup procedure. Each UE has a maximum of one RRC connection.
The RRC connection setup is used to configure the signaling channel at the UTRAN side.
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RRC CONNECTION REQUEST
UE identifier
RRC connection setup
cause
RACH measurement
report
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RRC CONNECTION SETUP
Configure the ID of the UE

in the RNC.
Configure the message

bearer format over the
DCCH.
Configure the dedicated transport
channel format.
Configure the physical

channel format.
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RRC CONNECTION SETUP COMPLETE
Authentication
parameters of the CS
and PS domains
UE capability
parameters
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3 Call Procedure
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SETUP
Voice
service
Called
number
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3 Call Procedure
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RAB Setup Procedure
QAAl2
QAAl2
QAAl2
QAAl2
There are more than one ALCAP setup procedures on Iu Interface, and more than one user plane RABs can be established
simultaneously. After the user plane is established, the UE enters the call connection.
In the protocols, the RAB is defined as the bearer for the NAS by the access stratum.
The RAB refers to the bearer of the user plane and is used to transmit voice services, data services, and multimedia services
between the UE and CN.
The RAB setup consists of the setup of the service bearer AAL2 PATH of the Iu interface and Iub interface and the
reconfiguration of radio resources of the RAN and UE.
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RAB Assignment Request

If there are multiple types of
services, each type of service
establishes an RAB respectively.
Service type
Service bearer rate
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RB Setup
Mapping information of
the RAB, including three
RB sub-flows
Configure both uplink and downlink transport

channels, reconfigure the DCH, and add
three DCHs to carry services.
Configuration process of the physical channel
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3 Call Procedure
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RAB Release Procedure

The contents of the RAB
assignment request message
are different from that of the
RAB setup message. The
message contains Release.
For multiple RABs
For a single RAB, the RAB release is

initiated by the RNC.
The RAB release is initiated by the CN. When the UE is exceptional, the SRNC also requests
for RAB release.
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3 Call Procedure
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RRC Connection Release Procedure

UE
NodeB
SRNC
RRC CONNECTION RELEASE

RRC CONNECTION RELEASE COMPLETE
RL DELETION
RL DELETION RESPONSE
ALCAP Iub Date Bearer Release
The RRC connection release is initiated by the CN. When the UE is exceptional, the SRNC
also requests for RRC connection release.
The connection to the UE is released first, and then the connection to the NodeB is released.
The RRC connection release means the termination of a call.
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System Information
Broadcasting
Paging
Paging Procedure
Handover
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Intra-RNC Soft Handover Procedure (Adding a

Branch)
Node B(new)
UE
SRNC
Decision to setup
new RL
NBAP
1. Radio Link Setup Request
NBAP
Start RX description
NBAP
2. Radio Link Setup Response
NBAP
3 ALCAP Iub Data Transport Bearer Setup

DCH-FP
4. Downlink Synchronisation
DCH-FP
DCH-FP
5.Uplink Synchronisation
DCH-FP
Start TX description
RRC
RRC
6.DCCH: Active Set Update

7.
DCCH : Active Set Update Complete
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RRC
RRC
Intra-RNC Soft Handover Procedure (Deleting

a Branch)
UE
Node B(old)
SRNC
Decision to delete
a RL
RRC
RRC
1.DCCH: Active Set Update

2.
DCCH : Active Set Update Complete
NBAP
3. Radio Link Deletion Request
RRC
RRC
NBAP
Stop RX and Tx
NBAP
4. Radio Link Deletion Response
5 ALCAP Iub Transport Bearer release
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NBAP
Inter-RNC Soft Handover
CN
CN
SRNC
NodeB
NodeB
SRNC
RNC
NodeB
NodeB
NodeB
After soft handover
Before soft handover
When a radio link between the RNC and another NodeB is added,
the original radio link between the SRNC and a NodeB is deleted.
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RNC
NodeB
Inter-RNC Soft Handover Procedure

(Replacing a Radio Link)
UE
Node B
Drift RNS
Node B
Serving RNS
Drift RNC
Serving RNC
Decision to setup
new RL and
release old RL
RNSAP
NBAP
Start RX description
NBAP
NBAP
NBAP 4. Radio Link Setup

Response
RNSAP
5. ALCAP Iub Data Transport Bearer Setup
DCH-FP
DCH-FP
RNSAP
RNSAP
ALCAP Iur Bearer Setup
6. Downlink Synchronisation
DCH-FP
7. Uplink Synchronisation
DCH-FP
Start TX description
8. DCCH: Active Set Update
RRC
RRC
[Radio Link Addition & Deletion]

9. DCCH : Active Set Update Complete
NBAP
RRC
RRC
NBAP
Stop RX and TX
NBAP
11. Radio Link Release Response
12. ALCAP Iub Data Transport Bearer Release
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NBAP
Intra-RNC Hard Handover
NodeB
CN
CN
SRNC
SRNC
NodeB
NodeB
NodeB
After hard handover
Before hard handover
The SRNC cannot maintain two radio links with two NodeBs at the same time.
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Intra-RNC Hard Handover Procedure

UE
Node B
Source
Node B
SRNC
Target
Decide to
handover
NBAP
NBAP
Start Rx
NBAP
NBAP
3 ALCAP Iub Data Transport Bearer Setup

DCH-FP 4. Downlink Synchronisation DCH-FP
DCH-FP
RRC
5.Uplink Synchronisation DCH-FP
Start Tx
6.DCCH : Physical Channel Reconfiguration
7. Radio Link Failure Indication
RRC
NBAP
8. DCCH : Physical Channel Reconfiguration Complete
RRC
NBAP
RRC
NBAP

NBAP
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NBAP
NBAP
Inter-RNC Hard Handover
CN
SRNC
NodeB
CN
SRNC
RNC
NodeB
NodeB
Before hard handover
RNC
NodeB
After hard handover
The radio link between the SRNC and a NodeB and the radio link between the RNC
and another NodeB cannot exist at the same time.
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Inter-RNC Hard Handover Procedure (over

the Iur Interface)
UE
Node B
Target
Node B
Source
RNC
Source
RNC
Target
SRNC

RNSAP
RNSAP
NBAP
NBAP
NBAP
NBAP
4. ALCAP Iub Data Transport Bearer Setup

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

RNSAP
10. DCCH : Physical Channel Reconfiguration Complete

RRC
RNSAP
NBAP
NBAP

RRC
RRC
RNSAP
NBAP
NBAP

RNSAP
RNSAP
16. ALCAP Iur Data Transport Bearer Release
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SRNC Relocation
Core Network
Core Network
Iu
DRNS
Iu
SRNS
SRNS
RNS
Iur
Cells
UE
UE
Before SRNS Relocation
After SRNS Relocation
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Types of SRNS Relocation

According to existing realization modes of the RNC, the SRNS relocation
can be classified into the following types:
Static relocation
Relocation after the DRL is established when the UE is in the
CELL_DCH state. It is called the static state.
Relocation after the IUR CCH is established when the UE is in the
CELL_FACH state. It is called the FACH static relocation.
Relocation with hard handover: indicates the relocation triggered by

inter-RNC handover when the UE is in the CELL_DCH state.
Relocation with forward handover: indicates the relocation triggered by

the cell update or URA update when the UE is in the CELL_FACH,
CELL_PCH, or URA_PCH state.
Inter-RAT handover: The handover procedure between WCDMA and

GSM is basically the same as the relocation with hard handover.
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Static Relocation
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Relocation with Hard Handover (CS)

SourceRNC
RANAP
NodeB
Relocation Reqired
CN
TargetRNC
Reloc Req
RANAP
NBAP
RL Setup Req
NBAP
NBAP
RL Setup Rsp
NBAP
Est Req
Q.AAL2
Q.AAL2
Est Conf
Q.AAL2
DCH-FP
DL Sync
DCH- FP
DCH-FP
UL Sync
DCH- FP
Q.AAL2
Reloc Req Ack
RANAP
Relocation Cmd
RANAP
RANAP
Physical Channel Recfg Req
RRC
RNSAP
Reloc Detect
RNSAP
RANAP
IU Rel Cmd
RANAP
RANAP
IU Rel Complete
RANAP
RANAP
RANAP
RL Del Req
RANAP
RL Del Rsp
RANAP
UE
The handover procedure is similar

to the inter-BSC handover
procedure in the GSM system.
RANAP
RANAP
RANAP
NodeB
RRC
RL Restore Ind
RNSAP
RNSAP
RRC
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Physical Channel Recfg Complete
RRC
Relocation with Hard Handover (PS)
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Inter-RAT Handover Procedure (from UMTS to

GSM)
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07 UMTS UTRAN Signaling Procedures

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Internal

UMTS UTRAN Signaling

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1 UTRAN System Architecture and

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UTRAN System Architecture

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WCDMA Protocol Architecture

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Comparison: GSM-BSS Protocol Architecture

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Protocol Architecture for the RNC Control

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HUAWEI TECHNOLOGIES CO., LTD.

This part describes the UTRAN

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1 UTRAN System Architecture and

HUAWEI TECHNOLOGIES CO., LTD.

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UTRANprovides setup, maintenance, and release of radio access

Other terms: UTRAN, RAB, RB, and RL

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The service that the access stratum provides to

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

service provided by the Layer 2 for transfer of

user data between User Equipment and SRNC.

Equipment and a single UTRAN access point. Its physical

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These states are significant only for

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- Monitoring paging channel

- Searching for the network (PLMN)

Working Modes of the UE

Connected mode: When the UE completes the RRC connection

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UE States in Connected Mode

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UE States in Connected Mode

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Serving RNC and Drift RNC

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

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

A NodeB corresponds to one and only one CRNC.

The CRNC allocates the resources of all the NodeBs controlled by

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This part describes some

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1 UTRAN System Architecture and

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