01-Chapter 1 UTRAN Interface Protocols and Functions

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 i
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 Uu Iub Iur Iu Description Logical interface between UTRAN and UE Logical interface between RNC and NodeB Logical interface between RNCs Logical interface between RNC and CN
Huawei Technologies Proprietary 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.

DC
GC
Nt
Duplication avoidance GC C-plane signalling Nt DC UuS boundary U-plane information
RRC co ntr co ntr co co ntr ntr
control
L3
Radio Bearers PDCP PDCP
L2/PDCP
BMC
L2/BMC
RLC RLC
RLC
RLC RLC RLC RLC
RLC
L2/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.
GC
Nt
DC
Duplication avoidance GC C-plane signalling Nt DC U-plane information control TS25.331 TS25.323 UuS boundary
L3 L2/PDCP L2/BMC
control
control
control
control
TS25.324
RLC RLC
RLC
RLC RLC TS25.322 RLC
RLC
L2/RLC
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: Broadcast of information related to the non-access stratum (Core Network) Broadcast of information related to the access stratum Establishment, maintenance and release of an RRC connection between the UE and UTRAN Establishment, reconfiguration and release of Radio Bearers Assignment, reconfiguration and release of radio resources for the RRC connection RRC connection mobility functions Route selection for the Protocol Data Unit (PDU) of upper layers Control of requested QoS UE measurement reporting and control of the reporting Outer loop power control Control of ciphering Paging Initial cell selection and cell re-selection
Arbitration of radio resources on uplink DCH RRC message integrity protection 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: Mapping between logical channels and transport channels Selection of appropriate transport format for each transport channel Priority handling between data flows of one UE Priority handling between UEs by means of dynamic scheduling Priority handling between data flows of several UEs on FACH Identification of UEs on common transport channels Multiplexing/demultiplexing of upper layer PDUs into/from transport blocks delivered to/from the physical layer on common transport channels Traffic volume measurement Transport channel type switching Ciphering for transparent mode RLC Access Service Class selection
II. RLC
The functions of RLC include: Segmentation, reassembly, concatenation, padding and transfer of user data Flow control Error correction, in-sequence delivery of upper layer PDUs and duplicate detection Sequence numbers check Protocol error detection and recovery Ciphering Suspend/resume function
III. PDCP
The functions of PDCP include: Header compression and decompression of IP data streams at the transmit and receive entities respectively Transfer of user data
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: Storage of cell broadcast messages Traffic volume monitoring and radio resource request for CBS Scheduling of BMC messages Transmission of BMC messages to UE Delivery of cell broadcast messages to upper layer (NAS)
1.2.4 L1 Functions
The functions of L1 (physical layer) mainly includes: Provision for higher layers with measurements and indications (such as FER, SIR, interference power, and transmission power) Macro-diversity distribution/combination and soft handover execution Frequency and time (chip, bit, slot, frame) synchronization Closed-loop power control RF processing Multiplexing of transport channels and demultiplexing of coded composite transport channels Mapping of coded composite transport channels onto physical channels 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.
Radio Network Layer
Radio Network Control Plane Node B Application Part (NBAP) Transport Network Control Plane ALCAP Q.2630.1 Q.2150.2 SSCF-UNI SSCOP AAL Type 5 SSCF-UNI SSCOP AAL Type 5 ATM Physical Layer
User Plane FACH FP RACH FP DCH FP PCH FP
Transport Layer
AAL Type 2
Figure 1-4 Iub interface protocol stack The technical specifications of Iub interface are shown in Figure 1-5.
Radio Network Layer
Radio Network Control Plane

NBAP
User Plane
Dedicated Channels Common Channels
TS 25.433 Transport Network Control Plane

Transport Signaling
TS 25.427
TS 25.435
Transport Layer
NBAP Transport
TS 25.426
(Dedicated Channel Transport) Dedicated Channel Transport Common Channel Transport
TS 25.432
(Common Channel Transport)
TS 25.434
TS 25.426
TS 25.434
TS 25.431 Physical Layer
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: Cell Configuration Management
This function gives the controlling RNC (CRNC) the possibility to manage the cell configuration information in a NodeB. Common Transport Channel Management This function gives the CRNC the possibility to manage the configuration of common transport channels in a NodeB. System Information Management This function gives the CRNC the ability to manage the scheduling of System Information to be broadcast in a cell. Resource Event Management This function gives the NodeB the ability to inform the CRNC about the status of NodeB resources. 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. 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. Radio Link Management This function allows the CRNC to manage radio links using dedicated resources in a NodeB. Radio Link Supervision This function allows the CRNC to report failures and restorations of a radio link. Compressed Mode Control This function allows the CRNC to control the usage of compressed mode in a NodeB. 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. 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. Reporting of General Error Situations This function allows reporting of general error situations.
1.3.3 NBAP Procedures

NBAP procedures are divided into common procedures and dedicated procedures. 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. 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 Cell Configuration Management Elementary procedure Cell Setup Cell Reconfiguration Cell Deletion Common Transport Channel Setup Common Transport Channel Reconfiguration Common Transport Channel Deletion System Information Update Block Resource Unblock Resource Resource Status Indication Audit Required Audit Reset Measurements on Common Resources Common Measurement Initiation Common Measurement Reporting Common Measurement Termination Common Measurement Failure Radio Link Setup
Common Transport Channel Management
System Information Management Resource Event Management
Configuration Alignment
Radio Link Management.
II. NBAP Dedicated Procedures

The NBAP functions and corresponding NBAP dedicated procedures are shown in Table 1-3.
Table 1-3 NBAP functions and corresponding dedicated procedures Function Radio Link Management. Dedicated procedure Radio Link Addition Radio Link Deletion Unsynchronized Radio Link Reconfiguration Synchronized Radio Link Reconfiguration Preparation Synchronized Radio Link Reconfiguration Commit Synchronized Radio Link Reconfiguration Cancellation Radio Link Pre-emption Radio Link Supervision. Compressed Mode Control Radio Link Failure Radio Link Restoration Radio Link Setup Radio Link Addition Compressed Mode Command Unsynchronized Radio Link Reconfiguration Synchronized Radio Link Reconfiguration Preparation Synchronized Radio Link Reconfiguration Commit Synchronized Radio Link Reconfiguration Cancellation Dedicated Measurement Initiation Dedicated Measurement Reporting Dedicated Measurement Termination Dedicated Measurement Failure Downlink Power Control Error Indication
Measurements on Dedicated Resources
DL Power Drifting Correction Reporting of General Error 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: Transport of Transport Block Set (TBS) between the NodeB and the CRNC for common transport channels (including RACH, FACH, and PCH) Support of transport channel synchronization mechanism Support of Node Synchronization mechanism
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
RACH Data Frame
CRNC
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, as shown in Figure 1-7.
NodeB
FACH Data Frame
CRNC
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
PCH Data Frame
CRNC
Figure 1-8 PCH data transfer procedure
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: 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. 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. T3: NodeB specific frame number (BFN) that indicates the time when the NodeB 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.
NodeB
DL Synchronization UL Synchronization
CRNC
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 control frame, as shown in Figure 1-11. NodeB
Timing Adjustment
CRNC
.
Figure 1-11 FACH and PCH Timing Adjustment procedure
The arrival window and the ToA are defined as follows:

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.
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.
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.
1.3.5 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: Transport of TBS between Serving RNC (SRNC) and NodeB Transport of outer loop power control information between SRNC and NodeB Support of transport channel synchronization mechanism Support of Node Synchronization mechanism Transfer of radio interface parameters from SRNC to NodeB
I. Uplink Data Transfer
NodeB
UL Data Frame
SRNC
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. 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. 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. 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.
II. Downlink Data Transfer
NodeB
DL Data Frame
SRNC
Figure 1-13 Downlink data transfer procedure
Downlink Data Transfer procedure is to transfer DL Data Frame from SRNC to NodeB, as shown in Figure 1-13. 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: If the NodeB is aware of a TFI value corresponding to zero bits for this transport channel, this TFI is assumed. When combining the TFIs of the different transport channels, a valid TFCI might result and in this case data shall be transmitted on Uu. 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 TFIs, 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.
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
Outer Loop PC
SRNC
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 RLs 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 control frame, as shown in Figure 1-16.
NodeB
SRNC
DL Node Synchronization UL Node Synchronization
Figure 1-16 Node synchronization procedure
Parameters T1, T2, and T3 are defined as: 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. 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. T3: NodeB specific frame number (BFN) that indicates the time when the NodeB 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
DL Synchronization UL Synchronization
SRNC
Figure 1-17 DCH synchronization procedure
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 control frame, as shown in Figure 1-18.
NodeB
Timing Adjustment
SRNC
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 Network Layer
Control Plane RNSAP Transport Network Control Plane ALCAP(Q.2630.1) STC (Q.2150.1) MTP3-B SSCF-NNI SSCOP AAL5 ATM Physical Layer
User Plane Iur Data Stream(s) Transport Network User Plane
Transport Network User Plane Transport Network Layer
SCCP MTP3-B SSCF-NNI SSCOP AAL5
AAL2
Figure 1-19 Iur interface protocol stack

The technical specifications of the Iur interface are shown in Figure 1-20.
User Plane
Dedicated Channels Common Channels
Radio Network Layer
Radio Network ControlPlane

RNSAP
TS 25.423 Transport Network Control Plane
TS 25.427
TS 25.425
Transport Signaling
Transport Layer
Signalling Transport
TS 25.426
(Dedicated Channel Transport) Dedicated Channel Transport Common Channel Transport
TS 25.424
(Common Channel Transport) Physical LayerTS 25.421
TS 25.422
TS 25.426
TS 25.424
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: Radio Link Management This function allows the Serving RNC (SRNC) to manage radio links using dedicated resources in a Drift RNS (DRNS). Physical Channel Reconfiguration This function allows the Drift RNC (DRNC) to reallocate the physical channel resources for a radio link. Radio Link Supervision This function allows the DRNC to report failures and restorations of a radio link. Compressed Mode Control This function allows the SRNC to control the usage of compressed mode within a DRNS. 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. DL Power Drifting Correction
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. 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. Paging This function allows the SRNC to page a UE in a URA or a cell in the DRNS. Relocation Execution This function allows the SRNC to finalize a relocation previously prepared via other interfaces. 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. The procedures of class 1 have response messages including successful or unsuccessful outcome, as shown in Table 1-4. 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 procedure Initiating message Response message Successful outcome Unsuccessful outcome
Radio Link Setup Radio Link Addition Radio Link Deletion Synchronised Radio Link Reconfiguratio n Preparation
RADIO LINK SETUP REQUEST RADIO LINK ADDITION REQUEST RADIO LINK DELETION REQUEST RADIO LINK RECONFIGURATIO N PREPARE
RADIO LINK SETUP RESPONSE RADIO LINK ADDITION RESPONSE RADIO LINK DELETION RESPONSE RADIO LINK RECONFIGURATIO N READY
RADIO LINK SETUP FAILURE RADIO LINK ADDITION FAILURE
RADIO LINK RECONFIGURATIO N FAILURE
Elementary procedure
Initiating message
Response message Successful outcome Unsuccessful outcome
Unsynchronise d Radio Link Reconfiguratio n Physical Channel Reconfiguratio n Dedicated Measurement Initiation Common Transport Channel Resources Initialisation
RADIO LINK RECONFIGURATIO N REQUEST PHYSICAL CHANNEL RECONFIGURATIO N REQUEST DEDICATED MEASUREMENT INITIATION REQUEST COMMON TRANSPORT CHANNEL RESOURCES REQUEST
RADIO LINK RECONFIGURATIO N RESPONSE PHYSICAL CHANNEL RECONFIGURATIO N COMMAND DEDICATED MEASUREMENT INITIATION RESPONSE COMMON TRANSPORT CHANNEL RESOURCES RESPONSE
RADIO LINK RECONFIGURATIO N FAILURE PHYSICAL CHANNEL RECONFIGURATIO N FAILURE DEDICATED MEASUREMENT INITIATION FAILURE COMMON TRANSPORT CHANNEL RESOURCES FAILURE
Table 1-5 RNSAP class 2 elementary procedures Elementary procedure Initiating message
Uplink Signalling Transfer Downlink Signalling Transfer Relocation Commit Paging Synchronised Radio Link Reconfiguration Commit Synchronised Radio Link Reconfiguration Cancellation Radio Link Failure Radio Link Restoration Dedicated Measurement Reporting Dedicated Measurement Termination Dedicated Measurement Failure
UPLINK SIGNALLING TRANSFER INDICATION DOWNLINK SIGNALLING TRANSFER REQUEST RELOCATION COMMIT PAGING REQUEST RADIO LINK RECONFIGURATION COMMIT RADIO LINK RECONFIGURATION CANCEL RADIO LINK FAILURE INDICATION RADIO LINK RESTORE INDICATION DEDICATED MEASUREMENT REPORT DEDICATED MEASUREMENT TERMINATION REQUEST DEDICATED MEASUREMENT FAILURE INDICATION
Initiating message
Downlink Power Control Compressed Mode Command Common Transport Channel Resources Release Error Indication Radio Link Pre-emption
DL POWER CONTROL REQUEST COMPRESSED MODE COMMAND COMMON TRANSPORT CHANNEL RESOURCES RELEASE REQUEST ERROR INDICATION 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 stack is shown in Figure 1-22. The Iu interface between UTRAN and BC domain of CN is called Iu-BC. The protocol stack is shown in Figure 1-23.
Radio Network Layer
Control Plane RANAP Transport Network Control Plane Q.2630.1 Q.2150.1 MTP3-B SSCF-NNI SSCOP AAL5 ATM Physical Layer
User Plane Iu UP Protocol Layer Transport Network User Plane
Transport Network User Plane Transport Network Layer SCCP MTP3-B SSCF-NNI SSCOP AAL5
AAL2
Figure 1-21 Iu-CS interface protocol stack
Radio Network Layer
Control Plane RANAP Transport Network Control Plane
User Plane Iu UP Protocol Layer Transport Network User Plane
Transport Network User Plane Transport Network Layer
SCCP MTP3-B SSCF-NNI SSCOP AAL5 ATM Physical Layer GTP-U UDP IP AAL5 ATM Physical Layer
Figure 1-22 Iu-PS interface protocol stack
Radio Network Layer
SA Broadcast Plane SABP Protocol Layer
Transport Network Layer
Transport Network User Plane
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.

Radio Network Layer

SA Broadcast Plane 25.419
Control Plane
User Plane 25.415
25.413
Transport Network Layer
Transport Network Control Plane
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: 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. Overall RAB management This function is responsible for setting up, modifying and releasing RABs. 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. 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. Release of all Iu connection resources This function is used to explicitly release all resources related to one Iu connection.
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. 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. Controlling overload in the Iu interface This function allows adjusting the load in the Iu interface. Resetting the Iu This function is used for resetting an Iu interface. Sending the UE Common ID (permanent NAS UE identity) to the RNC This function makes the RNC aware of the UE's Common ID. Paging the user This function provides the CN for capability to page the UE. 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. 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. 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. Controlling location reporting This function allows the CN to operate the mode in which the UTRAN reports the location of the UE. Location reporting This function is used for transferring the actual location information from RNC to the CN.
Data volume reporting function This function is responsible for reporting unsuccessfully transmitted DL data volume over UTRAN for specific RABs. Reporting general error situations
1.5.3 RANAP Procedures

RANAP procedures can be classified as class 1, class 2 and class 3. The procedures of class 1 have response messages including successful or unsuccessful outcome, as shown in Table 1-6. The procedures of class 2 have no response message. The message is always considered successful, as shown in Table 1-7. 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 procedure Initiating message Response message Successful outcome Unsuccessful outcome
Iu Release Relocation Preparation Relocation Resource Allocation Relocation Cancel SRNS Context Transfer Security Mode Control Data Volume Report
IU RELEASE COMMAND RELOCATION REQUIRED RELOCATION REQUEST RELOCATION CANCEL SRNS CONTEXT REQUEST SECURITY MODE COMMAND DATA VOLUME REPORT REQUEST
IU RELEASE COMPLETE RELOCATION COMMAND RELOCATION REQUEST ACKNOWLEDGE RELOCATION CANCEL ACKNOWLEDGE SRNS CONTEXT RESPONSE SECURITY MODE COMPLETE DATA VOLUME REPORT SECURITY MODE REJECT RELOCATION PREPARATION FAILURE RELOCATION FAILURE
Initiating message
Response message Successful outcome Unsuccessful outcome
Reset Reset Resource
RESET RESET RESOURCE
RESET ACKNOWLEDGE RESET RESOURCE ACKNOWLEDGE
Table 1-7 NANAP class 2 elementary procedures Elementary procedure Message
RAB Release Request Iu Release Request Relocation Detect Relocation Complete SRNS Data Forwarding Initiation SRNS Context Forwarding from Source RNC to CN SRNS Context Forwarding to Target RNC from CN Paging Common ID CN Invoke Trace CN Deactivate Trace Location Reporting Control Location Report Initial UE Message Direct Transfer Overload Control Error Indication
RAB RELEASE REQUEST IU RELEASE REQUEST RELOCATION DETECT RELOCATION COMPLETE SRNS DATA FORWARD COMMAND FORWARD SRNS CONTEXT FORWARD SRNS CONTEXT PAGING COMMON ID CN INVOKE TRACE CN DEACTIVATE TRACE LOCATION REPORTING CONTROL LOCATION REPORT INITIAL UE MESSAGE DIRECT TRANSFER OVERLOAD ERROR INDICATION
Table 1-8 NANAP class 3 elementary procedures Elementary procedure Initiating message Response message
RAB Assignment
RAB ASSIGNMENT REQUEST
RAB ASSIGNMENT RESPONSE x N (N>=1)
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). 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 RNL-SAP CN Non Access Stratum Access Stratum Radio Interface Protocols
Iu UP layer (transparent mode)
Iu UP layer (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. 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.
UTRAN
Iu RNL-SAP
CN Non Access Stratum Access Stratum
Iu UP layer (support mode) Radio Interface Protocols Support Mode Functions Transfer of Iu UP protocol frames
Iu UP layer (support mode) Support Mode Functions
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 Transfer of User Data

(RFCI, payload)
CN/ RNC
Figure 1-27 Transfers of user data
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
*
Initialisation ((RFCI, SDU sizes ) Initialisation ACK Transfer Of User Data m

)
CN/other
* 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
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 s 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
User data with bad timing Time Alignment ACK User data with adjusted timing
CN
Figure 1-30 Time alignment
V. Error Event
Error event procedure is to handle the error reporting.
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: An error detected by the Iu UP functions A request by the upper layers When an Error event is reported by an Error event frame the following information shall be included: A cause value Error distance (0: if Iu UP function detected; 1: if requested by upper layers).
RNC/ CN or other
Error event (Cause value, Error distance)
CN or other/ RNC
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 , (FQC RFCI, payload )

Transfer of User Data , ( FQC RFCI,payload )
CN/RNC
Figure 1-32 Transfers of user data with FQC information
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: Message Handling This function is to broadcast new messages, amend existing broadcasted messages, and stop the broadcasting of specific messages. Load Handling This function is responsible for determining the loading of the broadcast channels at any particular point in time. Reset This function permits the CBC to end broadcasting in one or more service areas. Error Handling This function allows the reporting of general error situations, for which function specific error messages have not been defined.

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Protocols and Signalling Analysis HUAWEI UMTS Radio Access Network

Huawei Technologies Proprietary i

Protocols and Signalling Analysis HUAWEI UMTS Radio Access Network

Chapter 1 UTRAN Interface Protocols and Functions

Chapter 1 UTRAN Interface Protocols and Functions

Huawei Technologies Proprietary 1-1

Protocols and Signalling Analysis HUAWEI UMTS Radio Access Network

Chapter 1 UTRAN Interface Protocols and Functions

Huawei Technologies Proprietary 1-2

Protocols and Signalling Analysis HUAWEI UMTS Radio Access Network

Chapter 1 UTRAN Interface Protocols and Functions

Duplication avoidance GC C-plane signalling Nt DC UuS boundary U-plane information

RRC co ntr co ntr co co ntr ntr

RLC RLC RLC RLC

Logical Channels MAC

Huawei Technologies Proprietary 1-3

Protocols and Signalling Analysis HUAWEI UMTS Radio Access Network

Chapter 1 UTRAN Interface Protocols and Functions

RLC RLC TS25.322 RLC

Logical Channels TS25.321

Figure 1-3 Uu interface technical specifications

1.2.2 RRC Functions

Protocols and Signalling Analysis HUAWEI UMTS Radio Access Network

Chapter 1 UTRAN Interface Protocols and Functions

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1.3 Iub Interface

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Radio Network Layer

User Plane FACH FP RACH FP DCH FP PCH FP

Radio Network Layer

Radio Network Control Plane

TS 25.433 Transport Network Control Plane

(Common Channel Transport)

TS 25.431 Physical Layer

Figure 1-5 Iub interface technical specifications

1.3.2 NBAP Functions

Protocols and Signalling Analysis HUAWEI UMTS Radio Access Network

Chapter 1 UTRAN Interface Protocols and Functions

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Protocols and Signalling Analysis HUAWEI UMTS Radio Access Network

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1.3.3 NBAP Procedures

I. NBAP Common Procedures

Common Transport Channel Management

System Information Management Resource Event Management

Radio Link Management.

II. NBAP Dedicated Procedures

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Measurements on Dedicated Resources

DL Power Drifting Correction Reporting of General Error Situations

1.3.4 Iub FP for Common Transport Channel Data Transfer

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Chapter 1 UTRAN Interface Protocols and Functions

I. RACH Data Transfer

Figure 1-6 RACH data transfer procedure

II. FACH Data Transfer

Figure 1-7 FACH data transfer procedure