01-Chapter 1 UTRAN Interface Protocols and Functions PDF

Protocols and Signalling Analysis
HUAWEI UMTS Radio Access Network Table of Contents
Table of Contents
Chapter 1 UTRAN Interface Protocols and Functions............................................................... 1-1

1.1 Overview ............................................................................................................................ 1-1
1.2 Uu Interface ....................................................................................................................... 1-2
1.2.1 Uu Protocol Structure.............................................................................................. 1-2
1.2.2 RRC Functions ........................................................................................................ 1-4
1.2.3 L2 Functions............................................................................................................ 1-5
1.2.4 L1 Functions............................................................................................................ 1-6
1.3 Iub Interface ....................................................................................................................... 1-6
1.3.1 Iub Protocol Structure ............................................................................................. 1-6
1.3.2 NBAP Functions ...................................................................................................... 1-7
1.3.3 NBAP Procedures ................................................................................................... 1-9
1.3.4 Iub FP for Common Transport Channel Data Transfer......................................... 1-10
1.3.5 Iub FP for Dedicated Transport Channel Data Transfer ....................................... 1-14
1.4 Iur Interface...................................................................................................................... 1-18
1.4.1 Iur Protocol Structure ............................................................................................ 1-18
1.4.2 RNSAP Functions ................................................................................................. 1-19
1.4.3 RNSAP Procedures .............................................................................................. 1-20
1.4.4 Iur FP for Transport Channel Data Transfer ......................................................... 1-22
1.5 Iu Interface ....................................................................................................................... 1-22
1.5.1 Iu Protocol Structure ............................................................................................. 1-22
1.5.2 RANAP Functions ................................................................................................. 1-25
1.5.3 RANAP Procedures .............................................................................................. 1-27
1.5.4 Iu UP Functions..................................................................................................... 1-29
1.5.5 GTP-U Functions................................................................................................... 1-34
1.5.6 SABP Functions .................................................................................................... 1-34
Huawei Technologies Proprietary
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Protocols and Signalling Analysis Chapter 1
HUAWEI UMTS Radio Access Network UTRAN Interface Protocols and Functions
Chapter 1 UTRAN Interface Protocols and

Functions
1.1 Overview
Figure 1-1 UTRAN interfaces
As shown in Figure 1-1, UTRAN interfaces in the UMTS system include Iub, Iur, Iu and
Uu interfaces. See Table 1-1 for the description of the interfaces.
Table 1-1 UTRAN interfaces
Interface Description
Uu Logical interface between UTRAN and UE
Iub Logical interface between RNC and NodeB
Iur Logical interface between RNCs
Iu Logical interface between RNC and CN
1-1
Iub, Iur, Iu and Uu interfaces are standard interfaces and can be used to connect
different network elements (NEs) from different providers. Iub, Iur and Iu interfaces are
also called UTRAN terrestrial interfaces.
According to the type of CN entity connected to RNC, the Iu interface can be classified
as Iu-CS interface, Iu-PS interface and Iu-BC interface. The Iu-CS interface is used to
connect RNC and MSC. The Iu-PS interface is used to connect RNC and SGSN. The
Iu-BC interface is used to connect RNC and CBC.
1.2 Uu Interface
1.2.1 Uu Protocol Structure
Uu interface is the interface between User Equipment (UE) and UMTS Terrestrial Radio
Access Network (UTRAN) and it is the most important interface in the UMTS system.
As shown in Figure 1-2, the Uu interface includes three protocol layers, physical layer
(L1), data link layer (L2) and network layer (L3).
L1 provides the radio physical channels for the transmission of the traffic from upper
layers. The functions of L1 are implemented by NodeB.
L2 includes four sublayers, Medium Access Control (MAC), Radio Link Control (RLC),
Broadcast/Multicast Control (BMC) and Packet Data Convergence Protocol (PDCP).
The functions of L2 are implemented by RNC.
L3 includes the Radio Resource Control (RRC) sublayer in the access stratum, the
Mobility Management (MM) and Call Control (CC) in the non-access stratum (NAS).
The RRC functions of L3 are implemented by RNC, and the MM and CC functions of L3
are implemented by CN.
1-2
GC Nt DC
Duplication avoidance
GC Nt DC
UuS boundary
C-plane signalling U-plane information
RRC control L3
co co co co
Radio
ntr ntr ntr ntr Bearers
PDCP
PDCP L2/PDCP
BMC
L2/BMC
RLC RLC L2/RLC

RLC RLC
RLC RLC
RLC RLC
Logical
Channels
MAC L2/MAC
Transport
Channels
PHY L1
Figure 1-2 Uu interface protocol stack
The technical specifications of Uu interface are shown in Figure 1-3.
1-3
GC Nt DC
Duplication avoidance
GC Nt DC
C-plane signalling U-plane information UuS boundary
control
L3
TS25.331
TS25.323 L2/PDCP
control
control
control
control
TS25.324 L2/BMC
RLC RLC L2/RLC

RLC RLC
RLC
RLC TS25.322RLC
Logical
Channels
TS25.321 L2/MAC
Transport
Channels
TS25.211~TS25.215 L1
Figure 1-3 Uu interface technical specifications
1.2.2 RRC Functions
The RRC performs the functions listed below:

z Broadcast of information related to the non-access stratum (Core Network)
z Broadcast of information related to the access stratum
z Establishment, maintenance and release of an RRC connection between the UE
and UTRAN
z Establishment, reconfiguration and release of Radio Bearers
z Assignment, reconfiguration and release of radio resources for the RRC
connection
z RRC connection mobility functions
z Route selection for the Protocol Data Unit (PDU) of upper layers
z Control of requested QoS
z UE measurement reporting and control of the reporting
z Outer loop power control
z Control of ciphering
z Paging
z Initial cell selection and cell re-selection
1-4
z Arbitration of radio resources on uplink DCH

z RRC message integrity protection
z CBS control
1.2.3 L2 Functions
L2 includes four sublayers, Medium Access Control (MAC), Radio Link Control (RLC),
Broadcast/Multicast Control (BMC) and Packet Data Convergence Protocol (PDCP).
I. MAC
The functions of MAC include:

z Mapping between logical channels and transport channels
z Selection of appropriate transport format for each transport channel
z Priority handling between data flows of one UE
z Priority handling between UEs by means of dynamic scheduling
z Priority handling between data flows of several UEs on FACH
z Identification of UEs on common transport channels
z Multiplexing/demultiplexing of upper layer PDUs into/from transport blocks
delivered to/from the physical layer on common transport channels
z Traffic volume measurement
z Transport channel type switching
z Ciphering for transparent mode RLC
z Access Service Class selection
II. RLC
The functions of RLC include:

z Segmentation, reassembly, concatenation, padding and transfer of user data
z Flow control
z Error correction, in-sequence delivery of upper layer PDUs and duplicate
detection
z Sequence numbers check
z Protocol error detection and recovery
z Ciphering
z Suspend/resume function
III. PDCP
The functions of PDCP include:

z Header compression and decompression of IP data streams at the transmit and
receive entities respectively
z Transfer of user data
1-5
z Forwarding of PDCP-SDUs from NAS to RLC, and multiplexing of different RBs to

the same RLC entity
IV. BMC
The functions of BMC include:

z Storage of cell broadcast messages
z Traffic volume monitoring and radio resource request for CBS
z Scheduling of BMC messages
z Transmission of BMC messages to UE
z Delivery of cell broadcast messages to upper layer (NAS)
1.2.4 L1 Functions
The functions of L1 (physical layer) mainly includes:

z Provision for higher layers with measurements and indications (such as FER, SIR,
interference power, and transmission power)
z Macro-diversity distribution/combination and soft handover execution
z Frequency and time (chip, bit, slot, frame) synchronization
z Closed-loop power control
z RF processing
z Multiplexing of transport channels and demultiplexing of coded composite
transport channels
z Mapping of coded composite transport channels onto physical channels
z Modulation/demodulation and spreading/despreading of physical channels
The detailed functions and relevant specifications of L1 are involved with the basic
principles of WCMDA. They are out of the range of this manual. Refer to relevant
protocols and documents for details.
1.3 Iub Interface
1.3.1 Iub Protocol Structure
Iub interface is the interface between RNC and NodeB. The protocol stack of Iub
interface is illustrated in Figure 1-4.
1-6
Radio Network User Plane

Radio Control Plane
FACH FP
RACH FP
DCH FP
PCH FP
Network Node B
Layer Application Part
(NBAP)
Transport Network
Control Plane
ALCAP
Transport
Layer Q.2630.1
Q.2150.2
SSCF-UNI SSCF-UNI
SSCOP SSCOP
AAL Type 5 AAL Type 5 AAL Type 2
ATM
Physical Layer
Figure 1-4 Iub interface protocol stack
The technical specifications of Iub interface are shown in Figure 1-5.

Control Plane Dedicated Common
Radio NBAP Channels Channels
Network TS 25.433 TS 25.427 TS 25.435
Layer
Transport
Network
Control Plane
Transport Signaling
Transport TS 25.426
Layer (Dedicated Channel
Dedicated Common
Transport) Channel Channel
NBAP Transport Transport Transport
TS 25.434
(Common Channel
TS 25.432 Transport) TS 25.426 TS 25.434
Physical LayerTS 25.431
Figure 1-5 Iub interface technical specifications
1.3.2 NBAP Functions
NodeB Application Part (NBAP) is the signalling protocol of the control plane of the
radio network layer on the Iub interface, which provides the following functions:
z Cell Configuration Management
1-7
This function gives the controlling RNC (CRNC) the possibility to manage the cell
configuration information in a NodeB.
z Common Transport Channel Management
This function gives the CRNC the possibility to manage the configuration of
common transport channels in a NodeB.
z System Information Management
This function gives the CRNC the ability to manage the scheduling of System
Information to be broadcast in a cell.
z Resource Event Management
This function gives the NodeB the ability to inform the CRNC about the status of
NodeB resources.
z Configuration Alignment
This function gives the CRNC and the NodeB the possibility to verify and enforce
that both nodes have the same information on the configuration of the radio
resources.
z Measurements on Common Resources
This function allows the NodeB to initiate measurements in the NodeB. The
function also allows the NodeB to report the result of the measurements.
z Radio Link Management
This function allows the CRNC to manage radio links using dedicated resources in
a NodeB.
z Radio Link Supervision
This function allows the CRNC to report failures and restorations of a radio link.
z Compressed Mode Control
This function allows the CRNC to control the usage of compressed mode in a
NodeB.
z Measurements on Dedicated Resources
This function allows the CRNC to initiate measurements in the NodeB. The
function also allows the NodeB to report the result of the measurements.
z DL Power Drifting Correction
This function allows the CRNC to adjust the DL power level of one or more radio
links in order to avoid DL power drifting between radio links.
z Reporting of General Error Situations
This function allows reporting of general error situations.
1-8
1.3.3 NBAP Procedures
NBAP procedures are divided into common procedures and dedicated procedures.
z NBAP common procedures are procedures that request initiation of a UE context
for a specific UE in NodeB or are not related to a specific UE. NBAP common
procedures also incorporate logical O&M procedures.
z NBAP dedicated procedures are procedures that are related to a specific UE
context in NodeB. This UE context is identified by a UE context identity.
The two types of procedures may be carried on separate signalling links.
I. NBAP Common Procedures
The NBAP functions and corresponding NBAP elementary procedures (EPs) are
shown in the Table 1-2.
Table 1-2 NBAP functions and corresponding elementary procedures
Function Elementary procedure

Cell Configuration Management Cell Setup
Cell Reconfiguration
Cell Deletion
Common Transport Channel Common Transport Channel Setup
Management Common Transport Channel
Reconfiguration
Common Transport Channel Deletion
System Information Management System Information Update
Resource Event Management Block Resource
Unblock Resource
Resource Status Indication
Configuration Alignment Audit Required
Audit
Reset
Measurements on Common Common Measurement Initiation
Resources Common Measurement Reporting
Common Measurement Termination
Common Measurement Failure
Radio Link Management. Radio Link Setup
II. NBAP Dedicated Procedures
The NBAP functions and corresponding NBAP dedicated procedures are shown in
Table 1-3.
1-9
Table 1-3 NBAP functions and corresponding dedicated procedures
Function Dedicated procedure

Radio Link Management. Radio Link Addition
Radio Link Deletion
Unsynchronized Radio Link Reconfiguration
Synchronized Radio Link Reconfiguration
Preparation
Commit
Cancellation
Radio Link Pre-emption
Radio Link Supervision. Radio Link Failure
Radio Link Restoration
Compressed Mode Control Radio Link Setup
Radio Link Addition
Compressed Mode Command
Unsynchronized Radio Link Reconfiguration
Preparation
Commit
Cancellation
Measurements on Dedicated Dedicated Measurement Initiation
Resources Dedicated Measurement Reporting
Dedicated Measurement Termination
Dedicated Measurement Failure
DL Power Drifting Correction Downlink Power Control
Reporting of General Error Error Indication
Situations
1.3.4 Iub FP for Common Transport Channel Data Transfer
Iub frame protocol (FP) for common transport channel data transfer is the protocol of
the user plane of the radio network layer on the Iub interface, which provides the
following services:
z Transport of Transport Block Set (TBS) between the NodeB and the CRNC for
common transport channels (including RACH, FACH, and PCH)
z Support of transport channel synchronization mechanism
z Support of Node Synchronization mechanism
1-10
I. RACH Data Transfer
RACH Data Transfer procedure is to transfer RACH Data Frame from NodeB to CRNC,
as shown in Figure 1-6.
NodeB CRNC
RACH Data Frame
Figure 1-6 RACH data transfer procedure
II. FACH Data Transfer
FACH Data Transfer procedure is to transfer FACH Data Frame from CRNC to NodeB,
NodeB CRNC
FACH Data Frame
Figure 1-7 FACH data transfer procedure
III. PCH Data Transfer
PCH Data Transfer procedure is to transfer PCH Data Frame from CRNC to NodeB, as
shown in Figure 1-8.
NodeB CRNC
PCH Data Frame
Figure 1-8 PCH data transfer procedure
1-11
IV. Node Synchronization
Node synchronization is to obtain the round trip delay (RTD) of transmission over the
Iub interface.
In the Node Synchronization procedure, the RNC sends a DL Node Synchronization

control frame to the NodeB containing the parameter T1. Upon reception of the frame,
the NodeB shall respond with a UL Node Synchronization control frame, indicating T2
and T3, as well as T1 that was indicated in the initiating DL Node Synchronization
control frame, as shown in Figure 1-9.
NodeB CRNC
DL Node Synchronization
UL Node Synchronization
Figure 1-9 Node synchronisation procedure
Parameters T1, T2, and T3 are defined as follows:

z T1: RNC specific frame number (RFN) that indicates the time when the RNC
sends the DL Node Synchronization control frame through the service access
point (SAP) to the transport network layer.
z T2: NodeB specific frame number (BFN) that indicates the time when the NodeB
receives the correspondent DL Node Synchronization control frame through the
SAP from the transport network layer.
sends the UL Node Synchronization control frame through the SAP to the
transport network layer.
V. DL Transport Channels Synchronization
DL transport channel synchronization procedure is used to synchronize the transport

channel after the transport channel has been set up or used to maintain the
synchronization of the transport channel when there is no DL data frame.
In the DL transport channel synchronization procedure, the CRNC sends a DL

Synchronization control frame to the NodeB. This message indicates the target
Connection Frame Number (CFN). Upon reception of the frame, the NodeB shall
immediately respond with a UL Synchronization control frame indicating the Time of
Arrival (ToA) for the DL Synchronization frame and the CFN indicated in the received
message, as shown in Figure 1-10.
1-12
NodeB CRNC
DL Synchronization
UL Synchronization
Figure 1-10 FACH and PCH transport channels synchronization procedure
VI. DL Timing Adjustment
Timing Adjustment procedure is used for a NodeB to indicate the CRNC the incorrect
ToA of downlink data to the NodeB.
Timing adjustment procedure is initiated by the NodeB if a DL frame arrives outside of

the defined arrival window. If the DL frame has arrived before the ToAWS or after the
ToAWE, the NodeB will include the ToA and the target CFN in the Timing Adjustment
NodeB CRNC
Timing Adjustment
Figure 1-11 FACH and PCH Timing Adjustment procedure
The arrival window and the ToA are defined as follows:

z Time of Arrival Window Endpoint (ToAWE): ToAWE represents the time point
by which the DL data shall arrive at the NodeB from Iub. ToAWE is defined as the
amount of milliseconds before the last time point from which a timely DL
transmission for the identified CFN would still be possible taking into account the
NodeB internal delays. ToAWE is set via control plane. If data does not arrive
before ToAWE, a Timing Adjustment control frame shall be sent by NodeB.
z Time of Arrival Window Startpoint (ToAWS): ToAWS represents the time after
which the DL data shall arrive at the NodeB from Iub. ToAWS is defined as the
amount of milliseconds from ToAWE. ToAWS is set via control plane. If data
arrives before ToAWS, a Timing Adjustment control frame shall be sent by NodeB.
z Time of Arrival (ToA): ToA is the time difference between the end point of the DL
arrival window (ToAWE) and the actual arrival time of DL frame for a specific CFN.
A positive ToA means that the frame is received before ToAWE. A negative ToA
means that the frame is received after ToAWE.
1-13
1.3.5 Iub FP for Dedicated Transport Channel Data Transfer
Iub FP for dedicated transport channel data transfer is the radio network user plane of
Iub interface which provides the following services:
z Transport of TBS between Serving RNC (SRNC) and NodeB
z Transport of outer loop power control information between SRNC and NodeB
z Support of transport channel synchronization mechanism
z Support of Node Synchronization mechanism
z Transfer of radio interface parameters from SRNC to NodeB
I. Uplink Data Transfer
NodeB SRNC
UL Data Frame
Figure 1-12 Uplink data transfer procedure
Uplink Data Transfer procedure is to transfer UL Data Frame from NodeB to SRNC, as
shown in Figure 1-12.
Two modes can be used for the UL transmission: normal mode and silent mode. The
SRNC selects the mode when setting up the transport bearer and notifies the NodeB
with the relevant control plane procedure.
z In normal mode, the NodeB shall always send an UL Data Frame to the RNC for
all the DCHs in a set of coordinated DCHs regardless of the number of Transport
Blocks of the DCHs.
z In silent mode and in case only one transport channel is transported on a transport
bearer, the NodeB shall not send an UL Data Frame to the RNC when it has
received a TFI indicating “number of TB equal to 0” for the transport channel
during a TTI.
z In silent mode and in case of coordinated DCHs, when the NodeB receives a TFI
indicating “number of TB equal to 0” for all the DCHs in a set of coordinated DCHs,
the NodeB shall not send an UL data frame to the RNC for this set of coordinated
DCHs.
1-14
II. Downlink Data Transfer
NodeB SRNC
DL Data Frame
Figure 1-13 Downlink data transfer procedure
Downlink Data Transfer procedure is to transfer DL Data Frame from SRNC to NodeB,
The NodeB shall consider a transport bearer synchronized only after it has received at
least one data frame on this transport bearer before the latest time of arrival (LTOA).
The NodeB shall consider the DL user plane for a certain RL synchronized if all
transport bearers established for carrying DL DCH data frames for this RL are
synchronized.
Only when the DL user plane is considered synchronized, the NodeB shall transmit the
data on the DL DPDCH.
When the DL user plane is considered synchronized and the NodeB does not receive a
valid DL Data Frame in a TTI, it assumes that there is no data to be transmitted in that
TTI for this transport channel, and shall act as one of the following cases:
z If the NodeB is aware of a TFI value corresponding to zero bits for this transport
channel, this TFI is assumed. When combining the TFI’s of the different transport
channels, a valid TFCI might result and in this case data shall be transmitted on
Uu.
z If the NodeB is not aware of a TFI value corresponding to zero bits for this
transport channel or if combining the TFI corresponding to zero bits with other
TFI’s, results in an unknown TFI combination, the handling will be different. In the
former case, at each radio frame, the NodeB shall build the TFCI value of each
CCTrCH, according to the TFI of the DCH data frames multiplexed on this
CCTrCH. In the latter case, the NodeB shall transmit only the DPCCH without
TFCI bits.
III. Outer Loop Power Control Information Transfer
Outer loop power control information transfer procedure is to transfer Outer Loop PC
control frame from SRNC to NodeB, as shown in Figure 1-14. The Outer Loop PC
control frame can be sent via any of the transport bearers dedicated to one UE.
1-15
Based, for example, on the CRC Indicator (CRCI) values and on the quality estimate in
the UL frames, the SRNC modifies the SIR target used by the UL Inner Loop Power
Control by including the absolute value of the new SIR target in the Outer Loop PC
control frame sent to the NodeB's. Upon reception of the Outer Loop PC control frame,
the NodeB shall immediately update the SIR target used for the inner loop power
control with the specified value.
NodeB SRNC
Outer Loop PC
Figure 1-14 Outer loop power control information transfer procedure
IV. Radio Interface Parameter Update
Radio interface parameter update procedure is used to update radio interface

parameters which are applicable to all RL’s for the concerning UE. Both synchronized
and unsynchronized parameter updates are also supported.
The procedure is realized by a transmission of Radio Interface Parameter Update

control frame from SRNC to the NodeB, as shown in Figure 1-15.
NodeB SRNC
Radio Interface Parameter Update
Figure 1-15 Radio interface parameter update procedure
V. Node Synchronization
Node synchronization procedure is to obtain the round trip delay (RTD) of transmission
over the Iub interface.
In the Node Synchronization procedure, the SRNC sends a DL Node Synchronization

control frame to the NodeB containing the parameter T1. Upon reception of the frame,
the NodeB shall respond with a UL Node Synchronization control frame, indicating T2
and T3, as well as T1 that was indicated in the initiating DL Node Synchronization
1-16
NodeB SRNC
DL Node Synchronization
UL Node Synchronization
Figure 1-16 Node synchronization procedure
Parameters T1, T2, and T3 are defined as:

z T1: RNC specific frame number (RFN) that indicates the time when RNC sends
the DL Node Synchronization control frame through the SAP to the transport
network layer.
receives the correspondent DL Node Synchronization control frame through the
SAP from the transport network layer.
sends the UL Node Synchronization control frame through the SAP to the
transport network layer.
VI. DL Transport Channel Sychronization
DL transport channel synchronization procedure is used to achieve or restore the

synchronization of the DCH data stream in DL direction, and as a keep-alive procedure
in order to maintain activity on the Iur/Iub transport bearer.
In the DL transport channel synchronization procedure, the CRNC sends a DL

Synchronization control frame to the NodeB. This message indicates the target
Connection Frame Number (CFN). Upon reception of the frame, the NodeB shall
immediately respond with a UL Synchronization control frame indicating the Time of
Arrival (ToA) for the DL Synchronization frame and the CFN indicated in the received
message, as shown in Figure 1-17.
The UL Synchronization control frame shall always be sent, even if the DL

Synchronization control frame is received by the NodeB within the arrival window.
NodeB SRNC
DL Synchronization
UL Synchronization
Figure 1-17 DCH synchronization procedure
1-17
VII. DL Timing Adjustment
Timing adjustment procedure is used to keep the synchronization of the DCH data
stream in DL direction.
The timing adjustment procedure is initiated by the NodeB if a DL frame arrives outside
of the defined arrival window. If the DL frame has arrived before the ToAWS or after the
ToAWE, NodeB will include the ToA and the target CFN in the Timing Adjustment
NodeB SRNC
Timing Adjustment
Figure 1-18 Timing adjustment procedure
1.4 Iur Interface
1.4.1 Iur Protocol Structure
Iur interface is the interface between RNCs. The protocol stack of Iur interface is
illustrated in Figure 1-19.
Radio Control Plane User Plane

Network Iur Data
RNSAP
Layer Stream(s)
Transport Network Transport Network Transport Network

User Plane Control Plane User Plane
ALCAP(Q.2630.1)
Transport
Network SCCP STC (Q.2150.1)
Layer
MTP3-B MTP3-B
SSCF-NNI SSCF-NNI
SSCOP SSCOP
AAL5 AAL5 AAL2
ATM
Physical Layer
Figure 1-19 Iur interface protocol stack
1-18
The technical specifications of the Iur interface are shown in Figure 1-20.

ControlPlane Dedicated Common
Radio
Channels Channels
Network RNSAP
TS 25.427 TS 25.425
Layer TS 25.423
Transport
Network
Control Plane
Transport Signaling
Transport TS 25.426
(Dedicated Channel
Layer Dedicated Common
Transport)
Channel Channel
Signalling TS 25.424 Transport Transport
Transport
(Common Channel
TS 25.422 TS 25.426 TS 25.424
Transport)
Physical LayerTS 25.421
Figure 1-20 Iur interface technical specifications
1.4.2 RNSAP Functions
Radio Network Subsystem Application Part (RNSAP) is the signalling protocol of the
control plane of the radio network layer on Iur interface, which provides the following
functions:
z Radio Link Management
This function allows the Serving RNC (SRNC) to manage radio links using
dedicated resources in a Drift RNS (DRNS).
z Physical Channel Reconfiguration
This function allows the Drift RNC (DRNC) to reallocate the physical channel
resources for a radio link.
z Radio Link Supervision
This function allows the DRNC to report failures and restorations of a radio link.
z Compressed Mode Control
This function allows the SRNC to control the usage of compressed mode within a
DRNS.
z Measurements on Dedicated Resources
This function allows the SRNC to initiate measurements on dedicated resources in
the DRNS. The function also allows the DRNC to report the result of the
measurements.
z DL Power Drifting Correction
1-19
This function allows the SRNC to adjust the DL power level of one or more Radio
Links in order to avoid DL power drifting between the radio links.
z CCCH Signalling Transfer
This function allows the SRNC and DRNC to pass information between the UE
and the SRNC on a CCCH controlled by the DRNS.
z Paging
This function allows the SRNC to page a UE in a URA or a cell in the DRNS.
z Relocation Execution
This function allows the SRNC to finalize a relocation previously prepared via
other interfaces.
z Reporting of General Error Situations
This function allows reporting of general error situations, for which function
specific error messages have not been defined.
1.4.3 RNSAP Procedures
RNSAP procedures can be classified into class 1 and class2.

z The procedures of class 1 have response messages including successful or
unsuccessful outcome, as shown in Table 1-4.
z The procedures of class 2 have no response message. The message is always
assumed successful, as shown in Table 1-5.
Table 1-4 RNSAP class 1 elementary procedures
Elementary Initiating message Response message

procedure
Successful Unsuccessful
outcome outcome
Radio Link RADIO LINK RADIO LINK RADIO LINK
Setup SETUP REQUEST SETUP RESPONSE SETUP FAILURE
Radio Link RADIO LINK RADIO LINK RADIO LINK
Addition ADDITION ADDITION ADDITION
REQUEST RESPONSE FAILURE
Radio Link RADIO LINK RADIO LINK
Deletion DELETION DELETION
REQUEST RESPONSE
Synchronised RADIO LINK RADIO LINK RADIO LINK
Radio Link RECONFIGURATIO RECONFIGURATIO RECONFIGURATIO
Reconfiguratio N PREPARE N READY N FAILURE
n Preparation
1-20
Elementary Initiating message Response message

procedure
Successful Unsuccessful
outcome outcome
Unsynchronise RADIO LINK RADIO LINK RADIO LINK
d Radio Link RECONFIGURATIO RECONFIGURATIO RECONFIGURATIO
Reconfiguratio N REQUEST N RESPONSE N FAILURE
n
Physical PHYSICAL PHYSICAL PHYSICAL
Channel CHANNEL CHANNEL CHANNEL
Reconfiguratio RECONFIGURATIO RECONFIGURATIO RECONFIGURATIO
n N REQUEST N COMMAND N FAILURE
Dedicated DEDICATED DEDICATED DEDICATED
Measurement MEASUREMENT MEASUREMENT MEASUREMENT
Initiation INITIATION INITIATION INITIATION
REQUEST RESPONSE FAILURE
Common COMMON COMMON COMMON
Transport TRANSPORT TRANSPORT TRANSPORT
Channel CHANNEL CHANNEL CHANNEL
Resources RESOURCES RESOURCES RESOURCES
Initialisation REQUEST RESPONSE FAILURE
Table 1-5 RNSAP class 2 elementary procedures
Elementary procedure Initiating message

Uplink Signalling Transfer UPLINK SIGNALLING TRANSFER
INDICATION
Downlink Signalling Transfer DOWNLINK SIGNALLING TRANSFER
REQUEST
Relocation Commit RELOCATION COMMIT
Paging PAGING REQUEST
Synchronised Radio Link RADIO LINK RECONFIGURATION COMMIT
Reconfiguration Commit
Synchronised Radio Link RADIO LINK RECONFIGURATION CANCEL
Reconfiguration Cancellation
Radio Link Failure RADIO LINK FAILURE INDICATION
Radio Link Restoration RADIO LINK RESTORE INDICATION
Dedicated Measurement DEDICATED MEASUREMENT REPORT
Reporting
Dedicated Measurement DEDICATED MEASUREMENT TERMINATION
Termination REQUEST
Dedicated Measurement Failure DEDICATED MEASUREMENT FAILURE
INDICATION
1-21
Elementary procedure Initiating message

Downlink Power Control DL POWER CONTROL REQUEST
Compressed Mode Command COMPRESSED MODE COMMAND
Common Transport Channel COMMON TRANSPORT CHANNEL
Resources Release RESOURCES RELEASE REQUEST
Error Indication ERROR INDICATION
Radio Link Pre-emption RADIO LINK PREEMPTION REQUIRED
INDICATION
1.4.4 Iur FP for Transport Channel Data Transfer
Iur frame protocol (FP) is the protocol of the user plane of the radio network layer on the
Iur interface. It includes Iur FP for common transport channel data transfer and Iur FP
for dedicated transport channel data transfer.
Iur FP for common transport channel data transfer and Iub FP for common transport
channel data transfer are both specified in 3GPP TS25.425 protocol. For details, refer
to section 1.3.4 “Iub FP for Common Transport Channel Data Transfer”.
Iur FP for dedicated transport channel data transfer and Iub FP for dedicated transport
channel data transfer are both specified in 3GPP TS25.427 protocol. For details, refer
to section 1.3.5 “Iub FP for Dedicated Transport Channel Data Transfer”.
1.5 Iu Interface
1.5.1 Iu Protocol Structure
Iu interface is the interface between UTRAN and CN.
The Iu interface between UTRAN and CS domain of CN is called Iu-CS. The protocol
stack is shown in Figure 1-21.
The Iu interface between UTRAN and PS domain of CN is called Iu-PS. The protocol
The Iu interface between UTRAN and BC domain of CN is called Iu-BC. The protocol
1-22

Network Iu UP Protocol
RANAP
Layer Layer

Q.2630.1
Transport
Network SCCP Q.2150.1
Layer
MTP3-B MTP3-B
SSCF-NNI SSCF-NNI
SSCOP SSCOP
AAL5 AAL5 AAL2
ATM
Physical Layer
Figure 1-21 Iu-CS interface protocol stack

Network Iu UP Protocol
RANAP
Layer Layer

Transport
Network SCCP
Layer
MTP3-B GTP-U
SSCF-NNI UDP
SSCOP IP
AAL5 AAL5
ATM ATM
Physical Layer Physical Layer
Figure 1-22 Iu-PS interface protocol stack
1-23
Radio SA Broadcast Plane

Network
Layer SABP Protocol
Layer
Transport Transport Network

Network User Plane
Layer
TCP
IP
AAL5
ATM
Physical Layer
Figure 1-23 Iu-BC interface protocol stack
The technical specifications of Iu interface are shown in Figure 1-24.
1-24
Radio Control Plane User Plane SA Broadcast Plane

Network
Layer
25.413 25.415 25.419
Transport Transport Network Transport Network Transport Network Transport Network

Network User Plane Control Plane User Plane User Plane
Layer
25.412 25.414
25.411
Figure 1-24 Iu interface technical specifications
1.5.2 RANAP Functions
Radio Access Network Application Part (RANAP) is the signalling protocol of the
control plane of the radio network layer on the Iu interface, which provides the following
functions:
z Relocating SRNC
This function enables to change the SRNC functionality as well as the related Iu
resources (RAB(s) and Signalling connection) from one RNC to another.
z Overall RAB management
This function is responsible for setting up, modifying and releasing RABs.
z Queuing the setup of RAB
The purpose of this function is to allow placing some requested RABs into a queue,
and indicate the peer entity about the queuing.
z Requesting RAB release
While the overall RAB management is a function of the CN, the RNC has the
capability to request the release of RAB.
z Release of all Iu connection resources
This function is used to explicitly release all resources related to one Iu
connection.
1-25
z Requesting the release of all Iu connection resources

While the Iu release is managed from the CN, the RNC has the capability to
request the release of all Iu connection resources from the corresponding Iu
connection.
z SRNS context forwarding function
This function is responsible for transferring SRNS context from the RNC to the CN
for intersystem forward handover in case of packet forwarding.
z Controlling overload in the Iu interface
This function allows adjusting the load in the Iu interface.
z Resetting the Iu
This function is used for resetting an Iu interface.
z Sending the UE Common ID (permanent NAS UE identity) to the RNC
This function makes the RNC aware of the UE's Common ID.
z Paging the user
This function provides the CN for capability to page the UE.
z Controlling the tracing of the UE activity
This function allows setting the trace mode for a given UE. This function also
allows the deactivation of a previously established trace.
z Transport of NAS information between UE and CN
This function has two sub-classes:
Sub-class1: Transport of the initial NAS signalling message from the UE to CN.
This function transfers transparently the NAS information. After transmission, the
Iu signalling connection is set up.
Sub-class2: Transport of NAS signalling messages between UE and CN, This

function transfers transparently the NAS signalling messages on the existing Iu
signalling connection. It also includes a specific service to handle signalling
messages differently.
z Controlling the security mode in the UTRAN
This function is used to send the security keys (ciphering and integrity protection)
to the UTRAN, and setting the operation mode for security functions.
z Controlling location reporting
This function allows the CN to operate the mode in which the UTRAN reports the
location of the UE.
z Location reporting
This function is used for transferring the actual location information from RNC to
the CN.
1-26
z Data volume reporting function

This function is responsible for reporting unsuccessfully transmitted DL data
volume over UTRAN for specific RABs.
z Reporting general error situations
1.5.3 RANAP Procedures
RANAP procedures can be classified as class 1, class 2 and class 3.

z The procedures of class 1 have response messages including successful or
unsuccessful outcome, as shown in Table 1-6.
z The procedures of class 2 have no response message. The message is always
considered successful, as shown in Table 1-7.
z The procedures of class 3 may have one or several response messages reporting
both successful and unsuccessful outcomes of the requests as well as temporary
status information about the requests, as shown in Table 1-8. This type of
procedures only terminates through response(s) or EP timer expiry.
Table 1-6 NANAP class 1 elementary procedures
Elementary Initiating Response message

procedure message
Successful outcome Unsuccessful
outcome
Iu Release IU RELEASE IU RELEASE
COMMAND COMPLETE
Relocation RELOCATION RELOCATION RELOCATION
Preparation REQUIRED COMMAND PREPARATION
FAILURE
Relocation RELOCATION RELOCATION RELOCATION
Resource REQUEST REQUEST FAILURE
Allocation ACKNOWLEDGE
Relocation RELOCATION RELOCATION
Cancel CANCEL CANCEL
ACKNOWLEDGE
SRNS Context SRNS SRNS CONTEXT
Transfer CONTEXT RESPONSE
REQUEST
Security Mode SECURITY SECURITY MODE SECURITY MODE
Control MODE COMPLETE REJECT
COMMAND
Data Volume DATA DATA VOLUME
Report VOLUME REPORT
REPORT
REQUEST
1-27
Elementary Initiating Response message

procedure message
Successful outcome Unsuccessful
outcome
Reset RESET RESET
ACKNOWLEDGE
Reset RESET RESET RESOURCE
Resource RESOURCE ACKNOWLEDGE
Elementary procedure Message

RAB Release Request RAB 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 FORWARD SRNS CONTEXT
RNC to CN
SRNS Context Forwarding to Target FORWARD SRNS CONTEXT
RNC from CN
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 Indication ERROR INDICATION
Elementary procedure Initiating message Response message

RAB Assignment RAB ASSIGNMENT REQUEST RAB ASSIGNMENT
RESPONSE x N
(N>=1)
1-28
1.5.4 Iu UP Functions
Iu UP is located in the user plane of the radio network layer on the Iu interface and used
to convey user data associated to Radio Access Bearers (RABs). One Iu UP protocol
instance is associated to one RAB only.
Iu UP protocol instances exist at Iu access point i.e. at CN and UTRAN. Whenever a

RAB requires transfer of user data in the Iu UP, an Iu UP protocol instance exists at
each Iu interface access points. These Iu UP protocol instances are established,
relocated and released together with the associated RAB procedures.
The Iu UP includes two modes of operation: Transparent Mode (TrM) and Support
Mode for predefined SDU size (SMpSDU).
z Transparent mode (TrM)
The transparent mode is intended for those RABs that do not require any particular
feature from the Iu UP protocol other than transfer of user data. Figure 1-25 illustrates
the transparent mode of Iu UP protocol layer.
UTRAN Iu CN
RNL-SAP Non Access
Stratum
Access Stratum
Radio Interface
Iu UP layer Iu UP layer
Protocols
(transparent mode) (transparent mode)
TNL-SAP TNL-SAP
Figure 1-25 Transparent mode of Iu UP
In this mode, the Iu UP protocol instance does not perform any Iu UP protocol
information exchange with its peer over the Iu interface. The Iu UP protocol layer is
used for PDUs transfer between upper layers and transport network layer. For instance,
Iu UP of Iu-PS adopts transparent mode.
z Support mode
The support modes are intended for those RABs that require particular features from
the Iu UP protocol in addition to transfer of user data. When operating in a support
mode, the peer Iu UP protocol instances exchange Iu UP frames. Figure 1-26 illustrates
the support mode of Iu UP protocol layer.
1-29
Iu CN
UTRAN
Non Access
RNL-SAP Stratum
Access Stratum
Iu UP layer Iu UP layer
(support mode) (support mode)
Radio Interface
Support Mode Support Mode

Protocols
Transfer of Iu
Functions UP protocol Functions
frames
TNL-SAP TNL-SAP
Figure 1-26 Support mode of Iu UP
The only support mode which has been defined is the support mode for predefined
SDU size (SMpSDU). For instance, the transfer of AMR speech PDUs would utilize
SMpSDU.
I. User Data Transfer
User data transfer procedure is to transfer Iu UP frames between the two Iu UP protocol
layers on the Iu interface. Since an Iu UP instance is associated to an RAB and an RAB
only, the user data being transferred only relate to the associated RAB.
As shown in Figure 1-27, the transfer of user data procedure is invoked whenever user
data for that particular RAB needs to be sent across the Iu interface.
In SRNC, the upper layers may deliver frame quality classification information together
with the RFCI.
RNC/ CN/
CN Transfer of User Data RNC
(RFCI, payload)
Figure 1-27 Transfers of user data
1-30
II. Initialization Procedure
Initialization procedure is to configure both termination points of the Iu UP with the

RFCIs and associated RAB Sub Flows SDU sizes necessary during the transfer of user
data phase. This procedure is mandatory for RABs using the support mode for
predefined SDU size.
The RNC sends initialization frame to the CN, indicating the RFCIs and their
corresponding RAB sub-flow SDU size, as shown in Figure 1-28.
If the CN receives the initialization frame and accepts the parameters, it will respond
with an Initialization ACK frame. Otherwise, it will respond with an Initialization NACK
frame.
RNC CN/other
Initialisation
* ((RFCI, SDU sizes ) )
m
Initialisation ACK
Transfer Of User Data
* it can repeated n times
Figure 1-28 Initialization of Iu UP for m RFCIs
III. Iu Rate Control
Iu rate control procedure is to signal to the peer Iu UP protocol layer the permitted
rate(s) over Iu in the reverse direction of the sent rate control frame.
The Iu rate control procedure is invoked whenever the SRNC/CN decides that the set
of downlink/uplink permitted rates over Iu shall be modified, as shown in Figure 1-29.
The permitted rate is given as RFCI indicators.
RNC/CN CN/RNC
Rate Control
(RFCI indicators,
[Downlink send intervals*])
* Optional
Figure 1-29 Rate control
1-31
IV. Time Alignment Procedure
Time alignment procedure is to minimize the buffer delay in RNC by controlling the
transmission timing in the peer Iu UP protocol layer entity.
The time alignment procedure is invoked whenever the SRNC detects the reception of
Iu UP PDU at an inappropriate timing that leads to an unnecessary buffer delay as
shown in Figure 1-30. The Iu UP protocol layer entity in SRNC indicates the peer entity
the necessary amount of the delay or advance adjustment in the number of 500 µs
steps.
A supervision timer TTA is started after sending the Iu UP time alignment frame. This
timer supervises the reception of the time alignment acknowledgement frame.
The requested Iu UP protocol layer entity in the peer node adjusts the transmission
timing by the amount as indicated by SRNC. If the time alignment frame is correctly
formatted and treated by the receiving Iu UP protocol layer and the time alignment is
treated correctly by the upper layers, this latter sends a time alignment
acknowledgement frame.
Upon reception of a time alignment acknowledgement frame, the Iu UP protocol layer in

the SRNC stops the supervision timer TTA.
If the CN cannot handle the time alignment frame, it will send an NACK frame to the
RNC, indicating the causes. The RNC will decide whether to send again the time
alignment frame or not according to the causes and meanwhile stop the timer TTA.
RNC CN
User data with bad timing
Time Alignment
ACK
User data with adjusted timing
Figure 1-30 Time alignment
V. Error Event
Error event procedure is to handle the error reporting.
1-32
Over the Iu UP protocol the error reports are made with Error event frames as shown in
in Figure 1-31,The Error event procedure in the Iu UP can be triggered by:
z An error detected by the Iu UP functions
z A request by the upper layers
When an Error event is reported by an Error event frame the following information shall
be included:
z A cause value
z Error distance (0: if Iu UP function detected; 1: if requested by upper layers).
CN or other/
RNC/
CN or other RNC
Error event
(Cause value,
Error distance)
Figure 1-31 Error event
VI. Frame Quality Classification
Frame quality classification (FQC) is used to classify the Iu UP frames depending on

whether errors have occurred in the frame or not.
The FQC information is exchanged between RNC and CN through user data transfer
procedure, as shown in Figure 1-32.
RNC/CN Transfer of User Data CN/RNC

(FQC,RFCI, payload )
Transfer of User Data

( FQC, RFCI,payload )
Figure 1-32 Transfers of user data with FQC information
1-33
1.5.5 GTP-U Functions
GPRS Tunnel Protocol User Plane (GTP-U) is to transfer Iu-PS user data through
tunnel protocol. In addition, it also includes the user plane auxiliary signalling such as
error indication of data transferring, handshaking message and supported extension
head list.
1.5.6 SABP Functions
Service Area Broadcast Protocol (SABP) is the protocol of the radio network layer on
the Iu-BC interface, which provides the following functions:
z Message Handling
This function is to broadcast new messages, amend existing broadcasted
messages, and stop the broadcasting of specific messages.
z Load Handling
This function is responsible for determining the loading of the broadcast channels
at any particular point in time.
z Reset
This function permits the CBC to end broadcasting in one or more service areas.
z Error Handling
This function allows the reporting of general error situations, for which function
specific error messages have not been defined.
1-34

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Protocols and Signalling Analysis

HUAWEI UMTS Radio Access Network Table of Contents

Chapter 1 UTRAN Interface Protocols and Functions............................................................... 1-1

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Chapter 1 UTRAN Interface Protocols and

Figure 1-1 UTRAN interfaces

Table 1-1 UTRAN interfaces

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1.2.1 Uu Protocol Structure

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RLC RLC L2/RLC

Figure 1-2 Uu interface protocol stack

The technical specifications of Uu interface are shown in Figure 1-3.

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RLC RLC L2/RLC

Figure 1-3 Uu interface technical specifications

1.2.2 RRC Functions

The RRC performs the functions listed below:

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z Arbitration of radio resources on uplink DCH

The functions of MAC include:

The functions of RLC include:

The functions of PDCP include:

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z Forwarding of PDCP-SDUs from NAS to RLC, and multiplexing of different RBs to

The functions of BMC include:

The functions of L1 (physical layer) mainly includes:

1.3 Iub Interface

1.3.1 Iub Protocol Structure

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Radio Network User Plane

Figure 1-4 Iub interface protocol stack

The technical specifications of Iub interface are shown in Figure 1-5.

Radio Network User Plane

Physical LayerTS 25.431

Figure 1-5 Iub interface technical specifications

1.3.2 NBAP Functions

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1.3.3 NBAP Procedures

I. NBAP Common Procedures

Table 1-2 NBAP functions and corresponding elementary procedures

Function Elementary procedure

II. NBAP Dedicated Procedures

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Table 1-3 NBAP functions and corresponding dedicated procedures

Function Dedicated procedure

1.3.4 Iub FP for Common Transport Channel Data Transfer

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I. RACH Data Transfer

RACH Data Frame

Figure 1-6 RACH data transfer procedure

II. FACH Data Transfer

FACH Data Frame

Figure 1-7 FACH data transfer procedure

III. PCH Data Transfer

PCH Data Frame

Figure 1-8 PCH data transfer procedure

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IV. Node Synchronization

In the Node Synchronization procedure, the RNC sends a DL Node Synchronization

Figure 1-9 Node synchronisation procedure

Parameters T1, T2, and T3 are defined as follows: