UMTS System Architecture

and Protocol Architecture

Overview on overall system architecture
– UMTS network architecture and elements
– Mobile station
– High-level functions
– UMTS domains and strata
– UMTS/GPRS protocol architecture
References:
• Kaaranen, Ahtiainen, Laitinen, Naghian, Niemi: UMTS Networks – Architecture, Mobility and
Services. 2nd edition, Wiley 2005
• Ch 5.1: Core Network Architecture Release 3
• Ch 5.4&5.5: Core Network Architecture Release 4 and 5
• Ch 6: UMTS Terminal
• 3GPP TS 23.002: UMTS network architecture (CN and AN entities) and procedures
• 3GPP TS 23.101: General UMTS architecture
• 3GPP TS 23.060: GPRS, Service Description
• 3GPP TS 21.101/21.102/21.103: List of standards for Release 3, 4 and 5, respectively
• 3GPP TR 21.905: UMTS vocabulary and abbreviations

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 1

UMTS/GSM Network Architecture

Base station Base station ISDN

Base station MSC GMSC
controller
GSM Core
GSM (Circuit
RAN switched)
Base station

HLR
AuC
EIR

node B
node B SGSN
Radio network Internet
controller
GPRS Core GGSN
node B UTRAN (Packet
Switched)

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 2

 UMTS System Architecture
Mobile Station (MS):
Radio Access Network (RAN):
• radio interface
• radio-specific functions
• service control and user interface

data
networks

ISDN
USIM
network

mobile
network

Core Network (CN):

radio-independent functions
• transport
UMTS Subscriber Identity Module (USIM): • mobility management
• subscriber-specific data • subscriber data
• support of authorized access to network • service control

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 3

 PSTN Gi Gp

Circuit switched CN
GMSC GGSN

Packet switched CN
UMTS Network Architecture

AuC
Gc
C H
Basic Configuration, Release 3

HLR Gn
PSTN PSTN

Gr
D EIR
F Gf
G
VLR VLR
Gs
B B SGSN
MSC MSC
E

CN
Source: 3GPP 23.002-3.4.0

A Gb IuCS IuPS

GSM BSS RNS

Iur

RAN BSC RNC RNC

Abis Iub

BTS BTS Node B Node B

UTRAN
cell

Um Uu
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 4
Mobile-services Switching Centre (MSC)
Source: 3GPP 23.002-3.5.0

An exchange performing all the switching and signalling functions (CS

only) for mobile stations
MSC controls mobile-originated and mobile-terminated CS calls
Functions
– call management
– mobility management (handling attach and authentication)
– subscriber administration
– maintenance of charging data (for radio network usage)
– CS data services (FAX, modem)
– supplementary call services (call forwarding, etc.)
– SS7-based signaling
Main difference to an exchange in a fixed network: deal with mobility (e.g.
location registration, handover)

Gateway MSC (GMSC)

– Provides interconnection between the UMTS core network and external
PSTN/ISDN networks
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 5
GPRS Support Node (GSN) Source: 3GPP 23.002-3.5.0

GSNs constitute the interface between the radio access network and the
fixed networks for packet switched services (similar to MSC for CS calls)
Serving GSN (SGSN)
– session management
– mobility management
– subscriber database management (interface with HLR)
– maintenance of charging data (for radio network usage)
– IP-based transport of user data between SGSN and the UTRAN
– IP- or SS7-based signaling transport
Gateway GSN (GGSN)
– gateway for UMTS packet service to external data networks (e.g. the
Internet)
– IP interface towards SGSN
– performs user data screening and security
– maintenance of charging data (for external data network usage)
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 6
Home Location Register (HLR) Source: 3GPP 23.002-3.5.0

Home (primary) data base in charge of the management of

mobile subscribers
Basic information:
• International Mobile Subscriber Identity (IMSI)
• CS subscription information
– one or more Mobile Subscriber International ISDN number(s)
(MSISDN)
• PS subscription information
– zero or more Packet Data Protocol (PDP) address(es)
– permission for GGSN to dynamically allocate PDP addresses for a
subscriber
• location information enabling the charging and routing of calls towards
the MSC or SGSN where the MS is registered (e.g. VLR Number)
Other information:
• teleservices and bearer services subscription information
• service restrictions (e.g. roaming limitation)
• parameters attached to supplementary services
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 7
Visitor Location Register (VLR) Source: 3GPP 23.002-3.5.0

(Secondary) data base supporting the management of mobile

subscribers currently located within its VLR area
Motivation: minimize load for HLR (i.e. of the primary data base)
Tasks:
• control MSs roaming in an MSC assigned to it
• exchange information with HLR to allow the proper handling of calls
Information maintained by VLR (for call handling):
– International Mobile Subscriber Identity (IMSI)
– Mobile Station International ISDN number (MSISDN)
– Mobile Station Roaming Number (MSRN)
– Temporary Mobile Station Identity (TMSI), if applicable
– location area where the mobile station has been registered
– the last known location and the initial location of the MS
– supplementary service parameters attached to the mobile subscriber
(received from the HLR)
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 8
Authentication Centre (AuC) Source: 3GPP 23.002-3.5.0

Stores data for each mobile subscriber

– to authenticate the International Mobile Subscriber Identity (IMSI)
– to support ciphering of the communication over the radio path

The AuC transmits the data needed for authentication and ciphering via
the HLR to the VLR, MSC and SGSN which need to authenticate a mobile
station

AuC is associated with an HLR, and stores an identity key for each mobile
subscriber

The AuC communicates solely with its associated HLR (H-interface)

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 9

Equipment Identity Register (EIR) Source: 3GPP 23.002-3.5.0

Logical entity storing the International Mobile Equipment Identities (IMEIs)

Equipment is classified as
– white listed: serie number of equipment
– grey listed: equipment tracked by network
– black listed: barred equipment
– unknown to EIR

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 10

Other CN entities Source: 3GPP 23.002-3.5.0

SMS Gateway MSC (SMS-GMSC)

– gateway between Short Message Service Center and PLMN
– deliver SMSs from service center to MS
SMS Interworking MSC (SMS-IWMSC)
– gateway between PLMN and Short Message Service Center
– deliver SMSs from MS to service center
Interworking Function (IWF)
– associated with MSC
– supports interworking of PLMN with fixed networks, e.g. ISDN, PSTN,
PDN (protocol conversion)
Border Gateway (BG)
– PS gateway to other PLMNs
– firewall functionality
Charging Gateway Functionality (CGF)
– collects charging records from SGSNs and GGSNs
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 11 o
Radio Network System (RNS)

Provide access to the UMTS terrestrial radio interface

Radio Network Controller (RNC)
• (Radio) mobility management
Core Network • Management of radio resources

Iu Iu

RNS RNS
UTRAN Iur
RNC RNC

Iub Iub Iub Iub

Node B Node B Node B Node B

Base Station (Node B)

• Radio coverage of cells
• Physical layer processing
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 12
 Mobile Station (MS)
Mobile Equipment (ME)
Mobile station (MS)/ radio transmission
User Equipment (UE) and application
physical equipment used by
a PLMN subscriber Mobile Termination (MT)
functions for radio transmission
and management of the radio
ITU-T Recommendyer
UE interface, e.g. the handset
Terminal Equipment (TE)
Mobile Equipment (ME)
support for end-to-end Mobile
application Termination Uu
functions necessary for Terminal R
(MT) Access
the operation of the Equipment T
Network
access protocols by the (TE) A
user, e.g. a laptop
F

Cu
UMTS Subscriber Identity USIM
Module (USIM) Terminal Adaptation Functions (TAF)
user identity (service dependent)
contains data and procedures • mapping of terminal requests on
to unambiguously and securely network capabilities
identify itself • flow control/rate adaptations
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 13 o
UMTS High-level Functions (PS Domain)
Network Access Control
Provide means by which a user is
connected to a telecommunication
network
• Registration
Association of Mobile ID with the
user's packet data protocol(s) and
address(es) within the PLMN, and
with the user's access point(s) to the
external PDP network
• Authentication and Authorisation
Identification and authentication of
the service requester, and the
validation of the service request type
• Admission Control
Check available network resources
required to provide the quality of
service (QoS)
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim
• Message Screening
A screening function with filtering out
unauthorised or unsolicited messages
(firewall)
• Charging Data Collection
Collection of data necessary to
support subscription and/or traffic
fees
• Operator Determined Barring
Limitation of the service provider's
financial risk with respect to new
subscribers or to those who have not
promptly paid their bills by restricting
a particular packet-switched service
Oct-12 14
UMTS High-level Functions (PS Domain)
Packet Routing and Transfer
Determining and using the route
for transmission of a message
within and between the PLMN(s)
• Forwarding
Forwarding of data received from
one node to the next node in the
route
• Routing
Selection of the transmission path
for the "next hop" in the route
using the destination address of
the message
• Address Translation and Mapping
Conversion of one address to
another address of the same or
different type, i.e. to convert an
external network protocol
address into an internal network
address
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim
• Encapsulation/Decapsulation
Addition/removal of address and control
information to a data unit for routing
packets within and between the PLMN(s)
and between the SGSN and the MS
• Tunneling
Transfer of encapsulated data units
within and between the PLMN(s) from
the point of encapsulation to the point of
decapsulation
A tunnel is a two-way point-to-point path
• Compression
Optimisation of radio path capacity
• Ciphering
Preservation of the confidentiality of user
data and signalling across the radio
channels
Mobility Management
• Keep track of location of MS
...
Oct-12 15
UMTS Functional Entities: Domains
Domain: grouping of physical entities of the system

Radio Access Home

Air Interface Network (RAN) Network
Domain

[Zu]

Cu Uu Iu [Yu]

Serving Network Transit

(SN) Domain Network
Domain

USIM Mobile Access Network Core Network

Domain Equipment (AN) Domain (CN) Domain
Domain

User Equipment (UE) Domain Infrastructure Domain

Source: 3GPP 23.101-4.0.0

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 16

Functions of the UMTS Domains
Infrastructure domain
– Access network (AN) domain: functions specific to access technique
– Core network (CN) domain: functions independent of access technique
Access network domain
– physical entities managing the resources of the access network
– provides the user with a mechanism to access the core network domain
Serving network (SN) domain
– part of the CN domain to which the AN domain that provides the user’s
access is currently connected
– responsible for routing calls and transport user data/information from source
to destination
– provides CN functions that are local to the user’s access point (i.e. SN
changes when the user moves)
Home network (HN) domain
– provides CN functions that are conducted at a permanent location regardless
of the location of the user’s access point (i.e. does not change due to user
mobility)
– contains user-specific data and is responsible for management of
subscription information
– handle home-specific services, not offered by the serving network domain
User Services Identity Module domain (USIM)
– related to the home network domain by subscription
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 17
 Functional Communication between
UMTS domains Protocols and functions related to the
handling and storage of
“Home Stratum” subscription data and
USIM - HN possibly home network
specific services
USIM - MT MT - SN SN - HN • functions related to subscription
data management, customer care,
including billing and charging,
Protocols and functions to mobility management and
“Serving Stratum” authentication
route and transmit
data/information (user • functions to allow domains other
USIM - MT MT - SN
than the home network domain to
or network generated) from
source to destination act on behalf of the home network

“Transport Stratum” Transport of user data and

“Access Stratum” network control signalling
• error correction and recovery
MT - AN AN - SN • encrypt data over the radio interface
and in the infrastructure part
• adaptation of data to use the supported
Access Serving Home physical format
USIM MT/ME Network Network Network • transcoding of data to make efficient
Domain Domain Domain use of, e.g. the radio interface

Parts of infrastructure, user equipment and

Strata concept: protocols specific to the access technique
• grouping of functions • provides services related to the transmission
of data over the radio interface and
• grouping of the management of the radio
respective protocols interface Source: 3GPP 23.101-4.0.0

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 18 o

ow1
Functional Communication between
UMTS domains

Application Stratum End-to-end protocols and

functions which make use of services
Application provided by the home, serving and
transport strata and infrastructure to
support services and/or value added
services.
The functions and protocols within the
“Serving Stratum” application stratum may adhere to
GSM/UMTS standards such as MExE or
TE - MT MT - SN may be outside the scope of the UMTS
standards.

“Transport Stratum”
“Access Stratum”

MT - AN AN - SN
TE MT
Mobile Access Serving Transit Remote
Equipment Network Network Network Party
Domain Domain Domain Domain

Source: 3GPP 23.101-4.0.0

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 19 o

Folie 19

ow1 Hier ist das Serving Stratum seltsam!

Oliver Waldhorst; 17.10.2011
UMTS Protocol Architecture

We will focus on the packet switched mode here

References:
• Kaaranen, Ahtiainen, Laitinen, Naghian, Niemi: UMTS Networks – Architecture, Mobility
and Services. Wiley 2001, Ch. 5.1
• Walke, et al: UMTS – ein Kurs, Ch. 5 (air interface only)
• 3G TS 23.060: GPRS, Service Description
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 20
User Plane Bearer Services – Overview
UMTS

TE MT UTRAN CN Iu CN TE
EDGE Gateway
NODE
End-to-End Service

TE/MT Local UMTS Bearer Service External Bearer

Bearer Service Service

Radio Access Bearer Service CN Bearer

Service

Radio Bearer Iu Bearer Backbone

Service Service Bearer Service

UTRA Physical
FDD/TDD Bearer Service
Service

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 21

 Bearer Services – Analogy with Public
Transportation
UMTS Taxi, bus and train combo:
TE MT
Combo ticket:
UTRAN
bus and
CNtaxi
Iu singleCNticket, single
TE reservation,
EDGE same service everywhere
Gateway
NODE
End-to-End Service

TE/MT Local UMTS Bearer Service External Bearer

Bearer Service Service

Radio Access Bearer Service CN Bearer

Service
Train:
Walk to taxi Station – station
Radio Bearer Iu Bearer Backbone
Service Service Bearer Service

UTRA Physical
Bus:
Taxi: FDD/TDD Bearer Service
Bus stop – railway station
Flat – bus stop Service

For each bearer:

• specific attributes (delay,
bandwidth, guarantees, etc.
Taxi with driver Bus with driver
• specific reservation
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim
mechanism
Oct-12 22
 MS-RNS-SGSN-GGSN – User Plane
Application

E.g., IP, E.g., IP,

PPP PPP

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 L1 L1
Uu Iu-PS Gn Gi
MS UTRAN 3G-SGSN 3G-GGSN

Source: 3GPP 23.060-4.1.0

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 23

 MS-RNS-SGSN-GGSN – User Plane
Application

E.g., IP, E.g., IP,

PPP PPP

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 L1 L1
Uu Iu-PS Gn Gi
GTP-U
MS (GPRS Tunneling
UTRAN Protocol for User plane):
3G-SGSN 3G-GGSN
• tunneling of user data between UTRAN and the 3G-SGSN
• tunneling between the GSNs in the backbone network
• encapsulation of all PDP PDUs
Source: 3GPP 23.060-4.1.0

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 24

 MS-RNS-SGSN-GGSN – User Plane
Application PDCP (Packet Data Convergence
E.g., IP, Protocol): E.g., IP,
PPP • provides protocol transparency PPP(wrt
the underlying radio-interface
Relay protocols) for higher-layer protocols
Relay

PDCP PDCP GTP-U

• support
GTP-U
forGTP-U
e.g., IPv4, PPP and
GTP-U
IPv6
(easy introduction of new higher-
layer protocols)
RLC RLC UDP/IP UDP/IP UDP/IP UDP/IP
• compression of control information
MAC MAC AAL5 (header
AAL5 compression)
L2 L2
L1 L1 ATM • no ATM
user data L1
compression in IuL1 mode
Uu Iu-PS (because the data compression
Gn Gi
MS UTRAN efficiency depends on the type
3G-SGSN of
3G-GGSN
user data)

Source: 3GPP 23.060-4.1.0

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 25

 MS-RNS-SGSN-GGSN – User Plane
Application

E.g., IP, E.g., IP,

PPP PPP

Relay RLC (Radio Link

RelayControl):

PDCP PDCP GTP-U

RLC GTP-U
protocol GTP-U
provides logical GTP-U
link
control over the radio interface
There may be several simultaneous
RLC RLC UDP/IP UDP/IP UDP/IP UDP/IP
RLC links per MS; each link is identified
MAC MAC AAL5 by a AAL5
Bearer Id L2 L2
L1 L1 ATM ATM L1 L1
Uu
MAC
Iu-PS
(Medium Access Control):
Gn Gi
MS UTRAN 3G-SGSN 3G-GGSN
MAC protocol controls the access
signaling (request and grant)
procedures for the radio channel
Source: 3GPP 23.060-4.1.0

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 26

 MS-RNS-SGSN-GGSN – Control Plane

GMM / GMM /
SM / SMS SM / SMS
Relay

RRC RRC RANAP RANAP GTP-C GTP-C

RLC RLC SCCP SCCP UDP UDP

MAC MAC Signalling Signalling IP IP

Bearer Bearer
AAL5 AAL5 L2 L2
L1 L1
ATM ATM L1 L1
Uu Iu-Ps Gn or Gp

MS RNS 3G SGSN GSN GSN

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 27 o

MS-RNS-SGSN – Control Plane
GMM (GPRS Mobility Management):
– GMM supports mobility management functionality such as attach, detach,
security, and routing area update
SM (Session Management):
– SM supports PDP context activation and deactivation
SMS supports short message service
GTP-C (GPRS Tunneling Protocol for Control plane):
– establish, manage and release GTP tunnels
RANAP (Radio Access Network Application Protocol):
– transport of higher-layer signalling
– handling of signalling between the 3G-SGSN and UTRAN
– management of the GTP connections on the Iu interface
RRC (Radio Resource Control):
– Information Broadcast (AS and NAS)
– RRC connection management (setup, release, reconfiguration)
– Radio Bearers management (setup, release, reconfiguration)
– Management of radio resources for the RRC connection
– RRC connection mobility functions
– Paging/notification Source: 3GPP 23.060-4.1.0
UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 28
 UMTS Protocol Architecture:
The Complete Picture (Packet Switched)

Uu Iub Iups Gn
Node B RNC SGSN GGSN

SM
SM SM
MM
IP PMM IP
MM PMM
SM
PDCP RRC GTP-C Q2150.1
RRC RRC PDCP GTP-U GTP-U GTP-C GTP-U
RRC
RLC
codec RLC RLC RANAP RANAP
RLC FP Q2150.1
UDP UDP UDP
MAC
MAC MAC
MAC
Phy-up ALCAP ALCAP Phy-up SCCP SCCP
Phy-up Phy-up SCCP SCCP Q2150.1 Q2150.1
STC.2 NBAP NBAP STC.2 MTP3-b MTP3-b Iu UP
ALCAP NBAP NBAP ALCAP IP MTP3B MTP3BIP MTP3BIP
FP SSCF-UNI SSCF-UNI FP SSCF-N SSCF-N
FP SSCF SSCF SSCF SSCF FP SSCF SSCF SSCF SSCFQ2150.1
SSCOP SSCOP SSCOP SSCOP
PHY PHY SSCOP SSCOP SSCOP SSCOP SSCOP SSCOP SSCOP
PHY PHY AAL2 AAL5 AAL5 AAL2 AAL5 AAL5 L2 L2
AAL2 AAL5 AAL5 AAL5 AAL5 AAL2 AAL2 AAL5 AAL5 AAL5 AAL5 AAL5
AAL2
ATM ATM ATM
ATM ATM ATM L1 L1
E1/ STM-1 STM-1 STM-1
E1 E1 E1

Control Plane User Plane Transport Plane Common

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 29 o

 UMTS Protocol Architecture:
The Complete Picture (Circuit Switched)

Uu Iub Iucs
Node B RNC 3G-MSC

CM CM
SM MM
MM MM
MM SM
codec RRC codec
RRC RRC
RRC
RLC
codec RLC RLC RANAP RANAP
RLC
MAC MAC ALCAP ALCAP
MAC MAC
Phy-up ALCAP ALCAP Phy-up STC.1 SCCP SCCP STC.1 Iu UP
Phy-up AA Phy-up SCCP Q2150.1 Iu UP
Iu UP
STC.2 NBAP NBAP STC.2 MTP3-b MTP3B
NBAP ALCAP MTP3B MTP
FP SSCF-UNI SSCF-UNI FP SSCF-NNI SSCF-NNI
SSCF SSCF FP SSCF SSCF
SSCOP SSCOP SSCOP SSCOP
PHY PHY SSCOP SSCOP SSCOP
PHY AAL2 AAL5 AAL5 AAL2
AAL5 AAL2 AAL5
AAL5 AAL5 AAL2 AAL2 AAL5 AAL5 AAL2
ATM ATM ATM
ATM ATM
E1 STM-1 STM-1
E1 E1

Control Plane User Plane Transport Plane Common

UMTS Networks Andreas Mitschele-Thiel, Jens Mückenheim Oct-12 30 o