UMTS Terrestrial Radio Access Network (UTRAN)

UMTS Terrestrial Radio Access
Network (UTRAN)
UMTS Terrestrial Radio Access (UTRA)
UTRAN Architecture and Protocols
UTRAN Procedures (see separate presentation)
Important References
Books:
Kaaranen, Ahtiainen, Laitinen, Naghian, Niemi: UMTS Networks
Architecture, Mobility and Services. 2nd edition, Wiley, 2005
Holma, Toskala: WCDMA for UMTS. 4th edition, Wiley, 2007
Walke, Althoff, Seidenberg: UMTS Ein Kurs. 2. Auflage, J. Schlembach
Fachverlag, 2002
T. Benkner, C. Stepping: UMTS Universal Mobile Telecommunications
System. J. Schelmbach Fachverlag, 2002.
Central 3GPP Documents on UTRAN:

25.401: UTRAN overview
25.301: Radio link protocols (UTRA)
25.931: UTRAN procedures
UMTS Networks
Andreas Mitschele-Thiel, Jens Mueckenheim
Nov. 2012
UTRAN Architecture
UMTS Networks
Components and Interfaces

Macro Diversity
UTRAN Functions
Protocol Architecture
RRC connection and signaling connection
Access Stratum and Non Access Stratum
Nov. 2012
UTRAN Components and Interfaces

Core Network
Iu
Iu
UTRAN
RNS
RNS
Iur
RNC
Iub
Node B
RNC
Iub
Iub
Node B
Node B
Iub
Node B
A Radio Network Subsystem (RNS) consists of a RNC, one or more Node Bs and
optionally one SAS (standalone A-GPS serving mobile location center)
Source: 3GPP 25.401
UMTS Networks
Nov. 2012
Macro Diversity:
Serving and Drift RNS
Source: 3GPP 25.401
C o r e N e tw o r k
Iu
D r if t R N S ( D R N S )
Iu r
S e r v in g R N S ( S R N S )
C e l ls
UE
Each RNS is responsible for the resources of its set of cells

For each connection between User Equipment (UE) and the UTRAN, one RNS is the
Serving RNS (SRNS)
Drift RNSs (DRNS) support the Serving RNS by providing radio resources
Macro-diversity and handover is supported by Node B and RNC
UMTS Networks
Nov. 2012
Serving, Drift and Controlling RNC

Core Network
Iu
Iu
UTRAN
RNS
RNS
Iub
Node B
Softer handover:
maximum ratio combining
in Node B
UMTS Networks
Iur
DRNC
RNC
RNCSRNC
Iub
Iub
Node B
Node B
UE
Iub
Node B
Soft handover:
radio frame selection (layer 1)
in SRNC (and DRNC)
Nov. 2012
Roles of RNSs/RNCs
Source: 3GPP 21.905
Serving RNS (SRNS)

A role an RNS can take with respect to a specific connection between a UE and
UTRAN
There is one Serving RNS for each UE that has a connection to UTRAN
The Serving RNS is in charge of the RRC connection between a UE and the
UTRAN
The Serving RNS terminates the Iu for this UE
Drift RNS (DRNS)
A role an RNS can take with respect to a specific connection between a UE and
UTRAN
An RNS that supports the Serving RNS with radio resources when the
connection between the UTRAN and the UE need to use cell(s) controlled by this
RNS
Controlling RNC (CRNC)
A role an RNC can take with respect to a specific set of UTRAN access points (an
UTRAN access point is specific to a cell)
Exactly one Controlling RNC serves an UTRAN access point (i.e. each cell)
The Controlling RNC has the overall control of the logical resources of its UTRAN
access points
UMTS Networks
Nov. 2012
Distribution of Functions between

RNCs
Radio resource management:
CRNC owns the radio resources of a cell
SRNC handles the connection (RRC/RANAP) to one UE, and may
borrow radio resources of a certain cell from the CRNC
SRNC performs dynamical control of power for dedicated channels,
within limits admitted by CRNC
Inner loop power control for some radio links of the UE connection may be
done by the Node B
Inner loop control is controlled by an outer loop, for which the SRNC has
overall responsibility
SRNC handles scheduling of data for dedicated channels

CRNC handles scheduling of data for common channels (no macro
diversity on DL common channels)
Source: 3GPP 25.401, Ch 6.3

UMTS Networks
Nov. 2012
Serving, Drift and Controlling RNC

Core Network
Iu
Iu
UTRAN
RNS
RNS
Iur
DRNC
RNC
SRNC
Iub
Node B
Iub
Iub
Node B
Node B
common/ shared
channel
UE 2
UMTS Networks
RNCSRNC
Iub
Node B
dedicated channel in
macro-diversity mode
UE 1
Nov. 2012
Serving and Controlling RNC

Example: DCH (UL&DL macro diversity)
DTCH
Combining/
splitting of
phy. channels
DCCH
DCCH
MAC-d
MAC-d
PHY-upper
PHY
PHY
UE
DTCH
PHY
Uu
PHY
DchFP
DchFP
DchFP
DchFP
AAL2
AAL2
AAL2
AAL2
ATM
ATM
ATM
ATM
NodeB
Iub
cells served
by the same
node B
Combining/splitting is supported for DCH only
(no layer 2 processing in Node B and DRNC)
CRNC
cells served
by the same
CRNC
(optional)
Iur
SRNC
cells served
by different
RNCs
Source: 3GPP 25.401, sc 11.2.4 (see also 25.301, sc 5.6.1)

UMTS Networks
Nov. 2012
10
Serving and Controlling RNC

Example: FACH (DL, no macro diversity)
DTCH DCCH
DCCH DTCH
CCCH
CCCH
MAC-d
MAC-d
MAC-c/sh
MAC-c/sh
PHY
PHY
UE
Uu
FachFP
FachFP
AAL2
FachFP
FachFP
AAL2
AAL2
AAL2
ATM
ATM
ATM
NodeB
Iub
CRNC
ATM
Iur
SRNC
Physical channel is terminated within node B (no support for combining/splitting)

Common MAC (MAC-c/sh) terminates in the CRNC
Dedicated MAC (MAC-d) terminates in the SRNC
Source: 3GPP 25.401, sc 11.2.3 (see also 25.301, sc 5.6.2)
UMTS Networks
Nov. 2012
11
Example: BCH
RRC
RRC
RRC
RLC
RLC
MAC
MAC
PHY
PHY
UE
NodeB
CRNC
RRC terminates in
CRNC: provides broadcast information distributed by node B
Node B: handles periodic repetition of broadcast information
Splitting of RRC eliminates repetition of broadcast data on Iub interface
Source: 3GPP 25.301, sc 5.6.7
UMTS Networks
Nov. 2012
12 o
UTRAN Architecture: Functional Split

Control plane
SRNC
CRNC/DRNC
Mobile
Control
Core
Network
Cell Control
Paging
Node-B
Broadcast
Com./ Shared
Channel
Processing
Dedicated
Channel
Processing
Bearer plane
UMTS Networks
Nov. 2012
13
UTRAN Protocol Architecture: Summary

Core Network
Iu
paging (idle)
Iub
Node-B
CRNC
DRNC
Iur
RANAP
SABP
BM-IWF
N
B
A
P
RRC-b
LOGICAL
CHANNELS
TRANSPORT
CHANNELS
N
B
A
P
RLC-b
BMC
PCCH
BCCH
MAC-b
BCH
PHY
CCCH CTCH
MAC-c/sh
Iub
CCH
FP
Softer Handover
Splitting /
Combining
SRNC RANAP Iu-PS Iu-CS

FP
FP
paging
R (connected, R
N PCCH) N
S
S
A
A
P
P
RLC-c/sh
BCCH
UMTS Networks
RRC-c/sh
Iub/Iur
DCH
FP
PCH
Iub/Iur
DCH
FP
Soft Handover
Splitting /
Combining
User plane
RRC-d
PDCP
RLC-d
Iur
CCH
FP
Iur
CCH
FP
RACH
FACH
DSCH
CPCH
optional
Iub
CCH
FP
Iu
paging (connected)
DCCH
DTCH
MAC-d
DCH
Iub/Iur
DCH
FP
Iub/Iur
DCH
FP
Soft Handover
Splitting /
Combining
Control plane
Nov. 2012
14 o
UTRAN Architecture Principles

User Plane
radio access bearer SAPs (user plane)
Non-Access Stratum
Radio
protocols
(1)
Radio
protocols
(1)
Iu
Iu
proto
cols
proto
cols
(2)
(2)
Access Stratum
UE
Source: 3GPP 25.401

UMTS Networks
Radio
(Uu)
UTRAN
Iu
CN
Non-Access Stratum:
Protocols between UE and CN that are not
terminated in the UTRAN
Access Stratum:
Provides UE-CN transport service to NAS services
AS protocols are closely linked to radio technology
Nov. 2012
15
UTRAN Architecture Principles

Control Plane
signaling connection
CM,MM,GMM,SM (3)
Non-Access Stratum
Radio
protocols
(1)
Radio
protocols
(1)
CM,MM,GMM,SM (3)
Iu
Iu
proto
cols
proto
cols
(2)
(2)
Access Stratum
UE
Source: 3GPP 25.401

UMTS Networks
Radio
(Uu)
UTRAN
Iu
CN
NAS control plane functions:

CM: Connection Management
MM: Mobility Management
GMM: GPRS MM
SM: Session Management
Nov. 2012
16
UTRAN Functions (1)

- Transfer of User Data
- Functions related to overall system access control
- Admission Control
- Congestion Control
- System information broadcasting
- Radio channel ciphering and deciphering
- Integrity protection
- Functions related to mobility
- Handover
- SRNS Relocation
- Paging support
- Positioning
- Synchronisation
Source: 3GPP 25.401, Ch 7.1

UMTS Networks
Nov. 2012
17
UTRAN Functions (2)

- Functions related to radio resource management and control
- Radio resource configuration and operation
- Radio environment survey
- Combining/splitting control
- Connection set-up and release
- Allocation and deallocation of radio bearers
- Radio protocols function
- RF power control
- Radio channel coding and decoding
- Channel coding control
- Initial (random) access detection and handling
- CN distribution function for Non Access Stratum messages
- Functions related to broadcast and multicast services (broadcast/multicast
interworking function BM-IWF)
- Broadcast/Multicast Information Distribution
- Broadcast/Multicast Flow Control
- Cell-based Services (CBS) Status Reporting
- Tracing
- Volume reporting
UMTS Networks
Nov. 2012
18
Wrap-up:
Why is UTRAN so complicated?
Some answers:
Limitation of radio resources and last-mile transport resources
CDMA macro-diversity mode
Single RLC/MAC entity required for synchronous delivery of radio
frames over all SHO legs
Splitting/combining of radio frames (multicast)
Tight handover requirements esp. for voice
Need for proactive handover initiation requires interaction between
radio layers
Designed for maximum functionality and flexibility
Overdimensioned from the viewpoint of a single application
UMTS Networks
Nov. 2012
19
Modes and states (PS mode)

UE
SGSN
SM: PDP context (active, inactive)
GGSN
HLR
PMM state (detached, idle, connected)
RNC
Signaling connection
RRC connection
UE mode
UMTS Networks
Nov. 2012
20
Radio Link, RRC Connection,

Signaling Connection
Core Network
Iu
Iu
UTRAN
RNS
RNS
Iur
RNC
Iub
Node B
SRNCRNC
Iub
Iub
Node B
Node B
Iub
Node B
RRC connection -> connected mode

radio link
UE
RRC connections and signaling connections are logical links

UMTS Networks
Nov. 2012
21
Radio Link, RRC Connection,

Core Network
Iu
Iu
RNS
UTRAN
RNS
Iur
DRNC
RNC
Iub
Node B
SRNCRNC
Iub
Iub
Node B
Node B
Iub
Node B
radio link
RRC connection
UE
UMTS Networks
Nov. 2012
22
RRC Connection and Signaling Connection

UE
SRNC
MSC/VLR
or SGSN
Higher layer
control
Higher layer
control
RRC
RRC
RANA
P
RANA
P
Signaling Radio Bearer
Iu Signaling Bearer
RRC Connection
RANAP Connection
Radio Access Bearer

UMTS Networks
Nov. 2012
23
RRC Connection
Connected mode
Cell
Connected
Enter URA
connected state
Enter cell
connected state
RRC
connection
establishment
URA
Connected
RRC
connection
release
Idle mode
UTRAN Registration
Area (URA):
area covered by a
number of cells
URA is only internally
known in the UTRAN
RRC state machine exists as two peer entities, one in the MS and one in
UTRAN (SRNC)
Apart from transient situations and error cases the two peer entities are
synchronized
UMTS Networks
Nov. 2012
24
No
signaling connection exist (idle state)

UE has no relation to UTRAN, only to CN
no data transfer
paging identification by IMSI, TMSI, P-TMSI
Signaling connection exist (connected state)

UE position can be known on different levels:
- URA level (UTRAN registration area): URA is a specified set of cells,
which can be identified on the BCCH.
- Cell level: Different channel types can be used for data transfer:
- Common transport channels (RACH, FACH, DSCH, USCH)
- Dedicated transport channels (DCH)
Source: 3GPP 25.301, ch 6.2
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Nov. 2012
25
Important Vocabulary
Source: 3GPP 21.905
RRC connection
point-to-point bi-directional connection between RRC peer entities on the UE and
the UTRAN sides
UE has either zero or one RRC connection
Signaling connection
an acknowledged-mode link between the UE and the CN to transfer higher layer
information between the entities in the non-access stratum (via RRC and RANAP)
Radio link
a logical association between a single UE and a single UTRAN access point (cell)
its physical realization comprises one or more radio bearer transmissions
Radio bearer (compare signaling radio bearer)
service provided by the RLC layer for transfer of user data between UE and SRNC
Radio interface
interface between UE and a UTRAN access point
radio interface encompasses all the functionality required to maintain the
interface
UMTS Networks
Nov. 2012
26
Radio Interface Protocols

UMTS Terrestrial Radio Access (UTRA)
Air interface protocol architecture

Layer 1, 2 and 3 protocols
Mapping between logical, transport and
physical channels
UMTS Networks
Nov. 2012
27
Radio Protocols Overview

GMM /
SM / SMS
GMM /
SM / SMS
Control plane
Layer 3
IP, PPP (user plane)
RRC (control plane)
Layer 2
PDCP (user plane)
BMC (user plane)
RLC
MAC E.g., IP,
PPP
Layer 1
PHY
Relay
RRC
RRC
RANAP
RANAP
RLC
RLC
SCCP
SCCP
MAC
MAC
Signalling
Bearer
Signalling
Bearer
L1
L1
AAL5
AAL5
ATM
ATM
Uu
Iu-Ps
Application
MS
RNS
3G SGSN
E.g., IP,
PPP
User plane
Relay
Relay
PDCP
PDCP
GTP-U
GTP-U
GTP-U
GTP-U
RLC
RLC
UDP/IP
UDP/IP
UDP/IP
UDP/IP
MAC
MAC
AAL5
AAL5
L2
L2
L1
L1
ATM
ATM
L1See 3GPP 25.301 and

L1
Uu
MS
UMTS Networks
Iu-PS
UTRAN
UMTS Networks
book, ch. 9 Gi
Gn
3G-SGSN
3G-GGSN
Nov. 2012
28
Radio Protocol Architecture

C-plane signalling
GC Nt DC
U-plane information
L3
control
Radio
Bearers
control
control
control
control
RRC
Radio Access Bearers

AS control plane SAPs
PDCP
PDCP
L2/PDCP
RLC
RLC
BMC
L2/BMC
RLC
L2/RLC
RLC
RLC
RLC
RLC
RLC
Logical
Channels
MAC
L2/MAC
Transport
Channels
Source: 3GPP 25.301

UMTS Networks
PHY
L1
Nov. 2012
29
GC
Physical Layer Services
Nt

DC
Duplication avoidance
Physical layer offers information transferGCservices (transport channels)

to
UuS boundary
U-plane information
C-plane signalling
MAC and higher layers
Nt
DC
Physical layer transport services define

RRC
how and
L3
control
control
control
control
control
Radio
with what characteristics data are transferred over the radio interface
Bearers
Transport channels do not define what

is transported (which is defined by
logical channels)
Example: DCH offers the same type of
service for control and user traffic RLC
PDCP
PDCP
L2/PDCP
RLC
BMC
L2/BMC
RLC
L2/RLC
RLC
RLC
RLC
RLC
RLC
Logical
Channel
MAC
L2/MAC
Transport
Channels
L1
PHY
UMTS Networks
Nov. 2012
30
GC
Nt

DC
Physical Layer Channel Types
GC Nt
common transport channels (there
is a need for inband
UuS boundary
identification of the UEs when
particular UEs areU-plane
addressed)
information
C-plane signalling
dedicated transport channels (the UEs are identified by the physical
channel, i.e. code and frequency
for FDD (code, time slot and frequency for TDD)
)
RRC
L3
DC
Radio
Bearers
control
control
control
control
control
PDCP
PDCP
L2/PDCP
RLC
RLC
BMC
L2/BMC
RLC
L2/RLC
RLC
RLC
RLC
RLC
RLC
Logical
Channel
MAC
L2/MAC
Transport
Channels
L1
PHY
UMTS Networks
Nov. 2012
31
Physical Layer Common Transport

Channels (1)
Random Access Channel (RACH)
Contention based uplink channel used for transmission of relatively
small amounts of data, e.g. for initial access or non-real-time
dedicated control or traffic data
Forward Access Channel (FACH)
Common downlink channel for relatively small amount of data
no closed-loop power control
Downlink Shared Channel (DSCH) TDD only
Downlink channel shared by several UEs carrying dedicated control or
traffic data
Uplink Shared Channel (USCH) TDD only
Uplink channel shared by several UEs carrying dedicated control or
traffic data
UMTS Networks
Nov. 2012
32
Physical Layer Common Transport

Channels (2)
Broadcast Channel (BCH)
Downlink channel used for broadcast of system information into an
entire cell
Paging Channel (PCH)
A downlink channel used for broadcast of control information into an
entire cell allowing efficient UE sleep mode procedures
Currently identified information types are paging and notification
Another use could be UTRAN notification of change of BCCH
information
High-Speed Downlink Shared Channel (HS-DSCH) Rel. 5

High-speed downlink channel shared by several UEs
UMTS Networks
Nov. 2012
33
Physical Layer Dedicated Transport

Channels & Transport Formats
Dedicated Channel (DCH)
Channel dedicated to one UE used in uplink or downlink
Enhanced Dedicated Channel (E-DCH)
Channel dedicated to one UE used in uplink only.
Subject to Node-B controlled scheduling and HARQ
Transport Formats and Transport Format Sets
A Transport Format or a Transport Format Set is associated with each

transport channel
A Transport Format defines the format offered by L1 to MAC
(encodings, interleaving, bit rate and mapping onto physical channels)
A Transport Format Set is a set of Transport Formats
Example: a variable rate DCH has a Transport Format Set (one Transport
Format for each rate), whereas a fixed rate DCH has a single Transport
Format
See 3GPP 25.302, ch. 7 and Walke, ch 5.10, for details on Transport Formats and Transport Format Sets
UMTS Networks
Nov. 2012
34
Physical Layer Processing

Data
Data
Data
Note: Functional blocks

which implement
concatenation, segmentation,
interleaving, discontinuous
transmission (DTX) and
macrodiversity
distirbution/combining have
been suppressed.
Transport
Block Set
Data
Transport
Block
Data
Data
DCH
DCH
DCH
CRC attachment
CRC attachment
CRC attachment
Channel Coding
Channel Coding
Channel Coding
Rate Matching
Rate Matching
Rate Matching
Transport
Block Set
Transport Channel Multiplexing

Note: Physical Channel
Mapping is used to implement
multicoding (more than one
DPCH). This will usually
only be used for high data
rates
Coded Composite Transport Channel (CCTrCH)
Physical Channel Mapping
DPCH
DPCH
See 3GPP 25.302 for details

UMTS Networks
Nov. 2012
35 o
Physical Layer Functions
Macrodiversity distribution/combining and soft handover execution

Error detection on transport channels and indication to higher layers (CRC)
FEC encoding/decoding and interleaving/deinterleaving of transport channels
Multiplexing of transport channels and demultiplexing of coded composite
transport channels
Rate matching (fit bits into physical channel)
Mapping of coded composite transport channel on multiple physical channels
Power weighting and combining of physical channels
Modulation and spreading/demodulation and despreading of physical channels
Frequency and time (chip, bit, slot, frame) synchronisation
Measurements and indication to higher layers (e.g. frame error rate, signal-tointerference ratio, interference power, transmit power, etc.)
Closed-loop power control
RF processing
Support of timing advance on uplink channels (TDD only)
Support of Uplink Synchronisation (TDD only)
UMTS Networks
Nov. 2012
36
GC
Nt

DC
Medium Access Control (MAC) Services

GC Nt
Data transfer (logical channels SAPs)
UuS boundary
U-plane information
C-plane of
signalling
Unacknowledged transfer
MAC SDUs between
peer MAC entities
No data segmentation (performed by higher layers) on R.99
RRC and MAC
L3
Reallocation of radio resources
parameters
control
Execution of radio resource reallocation and change of MAC Radio
parameters by request of RRC, i.e. change of transport formatBearers
PDCP
(combination) sets, change of transport channel
type
L2/PDCP
PDCP
Autonomously resource allocation in TDD mode
BMC
L2/BMC
Reporting of measurements
control
control
control
control
DC
Local measurements such as

traffic volume and quality
RLC
indication (reported toRLC
RRC)
RLC
RLC
RLC
L2/RLC
RLC
RLC
RLC
Logical
Channel
MAC
L2/MAC
Transport
Channels
L1
PHY
UMTS Networks
Nov. 2012
37
MAC Logical Channels

Logical channels define what information is transported
(transport channels (PHY SAP) define how data are transported)
Control Channels (transfer of control plane information)
Broadcast Control Channel (BCCH) DL

Paging Control Channel (PCCH) DL
Common Control Channel (CCCH) DL/UL
Dedicated Control Channel (DCCH) DL/UL
Shared Channel Control Channel (SHCCH) DL/UL (TDD)
Traffic Channels (transfer of user plane information)

Dedicated Traffic Channel (DTCH) DL/UL
Common Traffic Channel (CTCH) DL/UL
UMTS Networks
Nov. 2012
38 o
MAC Functions (1)

Mapping between logical channels and transport channels
Selection of appropriate Transport Format for each Transport Channel
depending on instantaneous source rate
Priority handling (multiplexing) between data flows of one UE (MAC-d)
Priority handling (scheduling) between different UEs (MAC-c/sh)
Identification of UEs on common transport channels
Example: DTCH/DCCH mapped on DSCH (TDD only)
DTCH DCCH
DCCH DTCH
MAC-d
MAC-d
MAC-c/sh
MAC-c/sh
PHY
PHY
UE
UMTS Networks
Uu
DschFP
DschFP
AAL2
DschFP
DschFP
AAL2
AAL2
AAL2
ATM
ATM
ATM
NodeB
Iub
CRNC
Nov. 2012
ATM
Iur
SRNC
39
MAC Functions (2)

Multiplexing/demultiplexing of upper layer PDUs on common transport
channels
Multiplexing/demultiplexing of upper layer PDUs on dedicated transport
channels
Traffic volume measurement
Transport channel type switching (controlled by RRC)
Ciphering for transparent RLC mode
Example: DTCH/DCCH mapped on DSCH (TDD only)
DTCH DCCH
DCCH DTCH
MAC-d
MAC-d
MAC-c/sh
MAC-c/sh
PHY
PHY
UE
UMTS Networks
Uu
DschFP
DschFP
AAL2
DschFP
DschFP
AAL2
AAL2
AAL2
ATM
ATM
ATM
NodeB
Iub
CRNC
Nov. 2012
ATM
Iur
SRNC
40
Logical/ Transport/ Physical Channels Mapping

(excerpt, FDD)
Logical Channels
Transport Channels
Physical Channels
P-SCH
Control Ch
Traffic Ch
Common Ch (no FPC)

Common Ch (FPC)
Dedicated Ch (FPC)
S-SCH
P-CPICH
Fixed Channels
Info Channels
Assoc Channels
S-CPICH
BCCH
BCH
P-CCPCH
PCCH
PCH
PICH
CCCH
FACH
S-CCPCH
CTCH
RACH
PRACH
DCCH
DTCH
AICH
DCH
DPDCH
DPCH
Key:
UMTS Networks
DPCCH
Uplink
Downlink
Bidirectional
Data Transfer
Association
Nov. 2012
41 o
Radio Link Control (RLC)
GC
Nt
Transparent data transfer (TM) GC Nt

Unacknowledged data transfer (UM)
C-plane signalling
Acknowledged data transfer (AM)
DC
UuS boundary
U-plane information
L3
control
Radio
Bearers
control
control
control
RRC
control
DC
PDCP
PDCP
L2/PDCP
RLC
RLC
BMC
L2/BMC
RLC
L2/RLC
RLC
RLC
RLC
RLC
RLC
Logical
Channel
MAC
L2/MAC
Transport
Channels
L1
PHY
UMTS Networks
Nov. 2012
42
RLC Services (1)

Transparent data transfer (TM)
Transmission of upper layer PDUs without adding any protocol information (no
RLC header)
Possibly including segmentation/reassembly functionality
Unacknowledged data transfer (UM)
Transmission of upper layer PDUs without guaranteeing delivery to the peer

entity
Error detection: The RLC sublayer shall deliver only those SDUs to the
receiving upper layer that are free of transmission errors by using the
sequence-number check function
Immediate delivery: The receiving RLC sublayer entity shall deliver a SDU
to the upper layer receiving entity as soon as it arrives at the receiver
Acknowledged data transfer (AM)
Transmission of upper layer PDUs and guaranteed delivery to the peer entity
Notification of RLC user at transmitting side in case RLC is unable to deliver the
data correctly
in-sequence and out-of-sequence delivery
error-free delivery (by means of retransmission)
duplication detection
UMTS Networks
Nov. 2012
43
RLC Services (2)

Maintenance of QoS as defined by upper layers
retransmission protocol shall be configurable by layer 3 to provide
different levels of QoS
Notification of unrecoverable errors
RLC notifies the upper layer of errors that cannot be resolved by RLC
itself by normal exception handling procedures
There is a single RLC connection per Radio Bearer
UMTS Networks
Nov. 2012
44
RLC Functions
Transfer of user data (AM, UM, TM)
Segmentation and reassembly (RLC PDU size adapted to transport
format)
Convert variable-size higher
Concatenation
layer PDUs into fixed-size
Padding
RLC PDUs (TBs)
Sequence number check (UM mode)

Duplicate RLC PDUs detection
In-sequence delivery of upper layer PDUs
Error correction (selective-repeat ARQ)
Flow control between RLC peers

Avoid Tx and Rx
SDU discard
buffer overflows or
Protocol error detection and recovery
protocol stalling
Exchange of status information between peer RLC entities
Ciphering (non-transparent mode)
Suspend/resume and stop/continue of data transfer
Re-establishment of AM/UM RLC entity
UMTS Networks
Convert radio link

errors into packet
loss and delay
Nov. 2012
45
GC
Nt

DC
Packet Data Convergence Protocol (PDCP)

Service: PDCP SDU delivery
Nt DC
PDCP
is defined for PS domain only!
GC
UuS boundary
U-plane information
C-plane signalling
L3
control
Radio
Bearers
control
control
control
control
RRC
PDCP
PDCP
L2/PDCP
RLC
RLC
BMC
L2/BMC
RLC
L2/RLC
RLC
RLC
RLC
RLC
RLC
Logical
Channel
MAC
L2/MAC
Transport
Channels
L1
PHY
UMTS Networks
Nov. 2012
46
PDCP Functions
Header compression and decompression
Header compression and decompression of IP data streams (e.g.
TCP/IP and RTP/UDP/IP headers)
Header compression method is specific to the upper layer protocol
combinations, e.g. TCP/IP or RTP/UDP/IP (RFC 2507 & RFC 3095)
Transfer of user data
PDCP receives PDCP SDU from the NAS and forwards it to the RLC layer
and vice versa
Support for lossless SRNS relocation
Maintenance of PDCP sequence numbers for radio bearers that are
configured to support lossless SRNS relocation
UMTS Networks
Nov. 2012
47
GC
Nt
DC
Broadcast/Multicast Control (BMC)

GC Nt DC
Service:
U-plane information
broadcast/multicast transmission
service in the user
plane
C-plane signalling
for common user data in unacknowledged mode
L3
control
Radio
Bearers
control
control
control
control
RRC
PDCP
Functions:
Storage of Cell Broadcast Messages RLC
RLC
Traffic volume monitoring RLC
and RLC
radio
resource request for CBS
Scheduling of BMC messages
Transmission of BMC messages to UE
Delivery of Cell Broadcast messages to
upper layer (NAS) in the UE
UMTS Networks
UuS boundary
PDCP
L2/PDCP
BMC
L2/BMC
RLC
L2/RLC
RLC
RLC
RLC
Logical
Channel
MAC
L2/MAC
Transport
Channels
L1
PHY
Nov. 2012
48
GC
DC
Nt
Radio Resource Control (RRC)
Nt
GC
DC
UuS boundary
U-plane information
C-plane signalling
L3
control
Radio
Bearers
control
control
control
control
RRC
PDCP
PDCP
L2/PDCP
RLC
RLC
L2/BMC
RLC
L2/RLC
RLC
RLC
RLC
BMC
RLC
RLC
Services Provided to Upper Layers
Logical
Channel
General Control (GC) information broadcast service

MAC
L2/MAC
Notification (Nt) paging and notification broadcast services

Dedicated Control (DC) connection management
PHY and message transfer
UMTS Networks
Nov. 2012
Transport
Channels
L1
49
RRC Interaction with Lower Layers

Measurement Report
Radio Resource
Assignment
[Code, Frequency,
TS, TF Set, Mapping,
etc.]
MAC
MAC
L1
L1
Control
UTRAN
UMTS Networks
Measurements
Control
Control
RLC retransmission
control
Measurements
RLC
Control
Measurements
Measurements
RLC
RRC
Control
Control
RRC
UE
Nov. 2012
50
RRC Functions
RRC handles the control plane signaling of layer 3 between the UEs and UTRAN:
- Broadcast of information provided by the non-access stratum (Core Network)
- Broadcast of information related to the access stratum
- Establishment, re-establishment, maintenance and release of RRC
connections
- Establishment, reconfiguration and release of Radio Bearers
- Assignment, reconfiguration and release of radio resources for the RRC
connection
- RRC connection mobility functions
- Paging/notification
- Routing of higher layer PDUs
- Control of requested QoS
- UE measurement reporting and control of the reporting
- Outer loop power control
- Control of ciphering
- Slow DCA (TDD)
- Arbitration of radio resources on uplink DCH
- Initial cell selection and re-selection in idle mode
- Integrity protection (message authentication for sensitive data)
- Control of Cell Broadcast Service (CBS)
- Timing advance control (TDD)
UMTS Networks
Nov. 2012
51
RRC State Machine

Connected mode
Cell
Connected
Enter URA
connected state
Enter cell
connected state
RRC
connection
establishment
URA
Connected
RRC
connection
release
Idle mode
RRC state machine exists as two peer entities (MS and UTRAN)
The two peer entities are synchronized (apart from transient situations
and error cases)
UMTS Networks
Nov. 2012
52
UTRAN Registration Area (URA)
URA
URA
URA
URA
URA
URA
URA
URA
URA
URA
URA
URA
LA
RA URA
RA URA
URA is independent of
RNC area
URA may cover
RA URA
RA URA
URA
URA
URA
URA
URA
URA
URA
URA
part of an RNC area

parts of several RNC
areas
URAs may overlap
UMTS Networks
RA URA
URA
URA
URA
URA
URA
URA
RA URA URA
URA
URA
URA
URA
URA
Nov. 2012
RA URA URA
URA
URA
URA
URA URA
URA
URA
URA
URA
URA is established in
RRC connected mode
RA URA
RA URA
URA
URA
URA
URA is known to the

UTRAN only
URA
URA
53
RRC State Machine

RRC Idle mode:
no connection established between the MS and UTRAN
no signalling between UTRAN and the MS except for system
information sent from UTRAN on a broadcast channel to the MS
MS can only receive paging messages with a CN identity on the PCH
no information of the MS is
Connected mode
stored in UTRAN
Enter URA
connected state
Cell
Connected
Enter cell
connected state
RRC
connection
establishment
URA
Connected
RRC
connection
release
Idle mode
UMTS Networks
Nov. 2012
54
Connected mode
RRC State Machine

Cell
Connected
Enter URA
connected state
Enter cell
connected state
RRC
connection
establishment
RRC Connected mode:

two main states
URA
Connected
RRC
connection
release
Idle mode
Cell Connected: MS position is known at the cell level; RRC connection

mobility is handled by handover and cell update procedures
URA Connected: MS position is known at the URA level; URA updating
procedures provide the mobility functionality; no dedicated radio resources
are used in the state.
there is one RNC that is acting as serving RNC, and an RRC connection
is established between the MS and this SRNC
An UE has either zero or one RRC connection
UMTS Networks
Nov. 2012
55
RRC State Machine: Details of

connected mode
URA_PCH or CELL_PCH
GSM:
state
GSM
Handover
UTRA RRC Connected Mode

URA_PCH
out of
service
in
service
CELL_DCH
out of
service
Connected
norMode
DTCH
Neither DCCH
are
available
in these states
GPRS
in
service
Packet
Transfer
Mode
CELL_FACH
out of
service
Release RRC
Connection
UTRA:
Inter-RAT
Handover
CELL_PCH
Establish RRC Release RRC

Connection
Connection
in
service
Cell reselection
Establish RRC
Connection
CELL_FACH state
Release RR
Connection
Establish RR
Connection
DCCHInitiation
and,
if configured,
of
DTCHtemporary
are available in this
block flow
state
Release of
temporary
block flow
GPRS Packet Idle Mode
CELL_DCH state
Camping on a UTRAN cell
Camping on a GSM / GPRS cell
Idle Mode
UMTS Networks
DCCH and DTCH are available

in this state
Nov. 2012
56
UMTS RRC State Optimization (PS mode)

Goal: Minimization of Radio Resource
Consumption during Idle Times
idle
T3
URA_PCH
T2
cell_PCH
T1
cell_DCH
UMTS Networks
Tradeoff for idle periods

retaining in state => continuous state cost or
move to cheaper state => one time transition cost
Limited resources
radio resources (transmit power)
channelization codes
processing cost (signaling)
power consumption
transport resources (Iu, Iub, )
Find optimal timeout settings depending on
traffic model (distribution of idle times)
cost per state
cost per transition
user mobility

Nov. 2012
57
Optimization of Timeout Values
UMTS RRC State Optimization
UMTS Networks
sum
state cost
transition cost
Nov. 2012
58

UMTS Terrestrial Radio Access Network (UTRAN)

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UMTS Terrestrial Radio Access

Central 3GPP Documents on UTRAN:

Andreas Mitschele-Thiel, Jens Mueckenheim

Components and Interfaces

Andreas Mitschele-Thiel, Jens Mueckenheim

UTRAN Components and Interfaces

Andreas Mitschele-Thiel, Jens Mueckenheim

Source: 3GPP 25.401

Each RNS is responsible for the resources of its set of cells

Andreas Mitschele-Thiel, Jens Mueckenheim

Serving, Drift and Controlling RNC

Andreas Mitschele-Thiel, Jens Mueckenheim

Source: 3GPP 21.905

Serving RNS (SRNS)

Andreas Mitschele-Thiel, Jens Mueckenheim

Distribution of Functions between

SRNC handles scheduling of data for dedicated channels

Source: 3GPP 25.401, Ch 6.3

Andreas Mitschele-Thiel, Jens Mueckenheim

Serving, Drift and Controlling RNC

Andreas Mitschele-Thiel, Jens Mueckenheim

Serving and Controlling RNC

Source: 3GPP 25.401, sc 11.2.4 (see also 25.301, sc 5.6.1)

Andreas Mitschele-Thiel, Jens Mueckenheim

Serving and Controlling RNC

Physical channel is terminated within node B (no support for combining/splitting)

Andreas Mitschele-Thiel, Jens Mueckenheim

Andreas Mitschele-Thiel, Jens Mueckenheim

UTRAN Architecture: Functional Split

Andreas Mitschele-Thiel, Jens Mueckenheim

UTRAN Protocol Architecture: Summary

SRNC RANAP Iu-PS Iu-CS

UTRAN Architecture Principles

Source: 3GPP 25.401

UTRAN Architecture Principles

Source: 3GPP 25.401

NAS control plane functions:

UTRAN Functions (1)

Source: 3GPP 25.401, Ch 7.1

Andreas Mitschele-Thiel, Jens Mueckenheim

UTRAN Functions (2)

Andreas Mitschele-Thiel, Jens Mueckenheim

Andreas Mitschele-Thiel, Jens Mueckenheim

Modes and states (PS mode)

Andreas Mitschele-Thiel, Jens Mueckenheim

Radio Link, RRC Connection,

RRC connection -> connected mode

RRC connections and signaling connections are logical links

Andreas Mitschele-Thiel, Jens Mueckenheim

Radio Link, RRC Connection,

Andreas Mitschele-Thiel, Jens Mueckenheim

RRC Connection and Signaling Connection

Signaling Radio Bearer

Radio Access Bearer

Andreas Mitschele-Thiel, Jens Mueckenheim

Andreas Mitschele-Thiel, Jens Mueckenheim

signaling connection exist (idle state)

Signaling connection exist (connected state)

Andreas Mitschele-Thiel, Jens Mueckenheim

Source: 3GPP 21.905

Andreas Mitschele-Thiel, Jens Mueckenheim

Radio Interface Protocols

Air interface protocol architecture