UMTS Signaling Flow

ZTE University

Content
UE State transition
Signaling flow

Classification of Flows

In terms of protocol stack, signaling flows can be

access layer signaling flows or non-access layer
signaling flows.
In terms of network composition, signaling flows
can be categorized as circuit-switched or packetswitched.
Access layer and non-access layer signaling flows
are actually so named from the perspective of
protocol stack.

Classification of Flows

The flows at the access layer include PLMN

selection, cell selection, and radio resource
management flows.
The radio resource management flows are the
flows at the RRC layer, including the RRC
connection setup flow, flow of the signaling setup
between UEs and CNs, RAB setup flow, call
release flow, handover flow, and SRNS redirection
flow.

UE Working Modes

There are two basic working modes:

Idle

UE stands by without any service. Theres no connection

between UE and UTRAN.

Connected

UE transferred to the connected mode after accomplishing RRC

Connection Setup.
UE has 4 states under the connected mode:Cell-DCH, CellFACH, Cell-PCH, URA-PCH

UE State

UE States Under the Connected Mode

Cell-DCH

UE is activated, and in service using its dedicated

channels.
There are dedicated channels in both uplink and
downlink.
UTRAN knows exactly which cell the UE is in.

Cell-FACH

UE is activated, but without too much date to transmit,

so theres no need to assign dedicated channels to it.
Downlink data transmitted in FACH, while uplink in
RACH.
UTRAN knows exactly which cell the UE is in.

UE States Under the Connected Mode

Cell-PCH
There is no data transmitted in both uplink and downlink.
UE needs to listen to PICH for paging information.
UE works in discrete receiving, which saves the power effectively.
UTRAN knows exactly which cell the UE is in.
UE needs to do cell update procedure when it passes cells.
URA-PCH
There is no data transmitted in both uplink and downlink.
UE needs to listen to PICH for paging information and receive
discretely.
UTRAN only knows which URA (UTRAN Registration Area) UE
exists.
UE updates its location information only when its URA changes,
which further reduces the signaling saves resource.

RRC State Transition (I)

Transit from IDLE Mode
URA_PCH

CELL_PCH

CELL_DCH

CELL_FACH

After RRC Connection Setup, UE will

transit to CELL_FACH or CELL_DCH.

CN indicates UE using dedicated

channel (CELL_DCH) or common
channel (CELL_FACH) according to
the service request.

If there is no service right now, UE

will be indicated into PCH mode or
release RRC connection back to
IDLE mode.

IDLE

DEAD

Sketch of RRC State Transition

RRC State Transition (II)

Transit from CELL_FACH Mode
URA_PCH

CELL_PCH

CELL_DCH

CELL_FACH

IDLE

DEAD

Sketch of RRC State Transition

UE do not occupy dedicated

channels In the mode of
CELL_FACH.
UE receives downlink data through
FACH(S-CCPCH).
UE transmits uplink data through
RACH(PRACH).

RRC State Transition (III)

Transit from CELL_DCH Mode
URA_PCH

CELL_PCH

CELL_DCH

CELL_FACH

IDLE

DEAD

Sketch of RRC State Transition

UE transceives uplink and downlink

data through dedicated channels
(DPDCHs and DPCCHs).

During the time when there is no data

transmitted, CN may indicate UEs
transiting to URA_PCH or CELL_PCH.

RRC State Transition (IV)

CELL_PCHURA_PCH
URA_PCH

CELL_PCH

CELL_DCH

CELL_FACH

IDLE

UE has no activated uplink.

Paging Information makes UE back to

CELL_FACH or CELL_DCH mode.

In CELL_PCH, UE should transit to

CELL_FACH first to finish cell updating,
and go back if no service request.

In URA_PCH, if URA changes, UE also

transits to CELL_FACH to finish cell
updating first before it goes back to
URA_PCH.

System resource can be saved in these

two modes.

DEAD

Sketch of RRC State Transition

Content
UE State transition
Signaling flow

Basic Conception (1)

RRC (Radio Resource Control)

provides information transfer service to the NAS (Non

Access Stratum).
responsible for controlling the configuration of UMTS
radio interface Layers 1 and 2.

RRC Connection

A point to point bi directional connection between the

RRC (Radio Resource Control) entities on the UE (User
Equipment) and UTRAN (UMTS Terrestrial Radio
Access Network).
The UE requires an RRC connection to access the
services of the UMTS network.

Basic Conception (2)

RAB -Radio Access Bearer

Identify the service the AS (Access Stratum) provides to

the NAS (Non Access Stratum) for transfer of user data
between the UE (User Equipment) and the CN (Core
Network).

RB -Radio Bearer

The service provided by the Layer 2 for the transfer of

user data between UE (User Equipment) and UTRAN
(UMTS Terrestrial Radio Access Network).

Basic Conception (3)

RL (Radio Link)

RL is a logical association between single UE (User

Equipment) and a single UTRAN (UMTS Terrestrial
Radio Access Network) access point.
Its physical realization comprises one or more radio
bearer transmissions.
It is possible for a UMTS mobile to have many radio
links established, when this occurs the mobile is said to
be in a soft handover.

Sketch of the basic conceptions

UE Calling Flow

Power on
Cell selection

Cell/

Hand Over

URA update

Channel

RB/RAB

reconfiguration

Modification

Location

Update

Idle Mode

RRC

RAB

Release

Establish

Call

RRC

NAS

Initiate

Establish

Establish

UE in Idle Mode

What Information needed for UE?

1 Strongest cell 4 Primary SC

2 Slot boundary 5 Information in broadcasts
channel
3Frame
boundary

1st Step: Cell Selection and Slot

Synchronization

DL Scrambling Code Rule

18

2 -1 DL Scrambling Codes in total

(0..262142)
#63 Scrambling Code Cluster
The
left
8192
Scrambling
codes
are
used
for
compression
mode

#511 Scrambling Code

#0 Scrambling Code Cluster
Group

8176 8176P-SC
#7 Scrambling
Code
#510 Scrambling
Code
Group
8177 Group
8177S-SC

112 8176P-SC

#1 Code
Scrambling Code
8160#504
8160
Scrambling
113 8177S-SC
8191 8191S-SC
Group
8161Group
8161

1 16P-SC
8064
8064
#0 Scrambling Code
6
127
8191S-SC
17S-SC
81758065
8175
Group
8065
1
0 0P-SC

7 31S-SC
8079 80791 1S-SC

3
1 15S-SC
1
5

The
left
8192
Scrambling
codes
are
used
for
compression
mode

2rd Step: Frame synchronization and

Scrambling code-group

Scrambling-code identification

CPICH is predefine
sequence
Spreading Factor is 256
(Cch,256,0)
Scrambling by Pscrambling code
UE identified through
symbol-by-symbol
correlation over the
primary P-CPICH with all
the scrambling codes
within the code group.

Obtain broadcast information in P-CCPCH

P-CCPCH contain the

current SFN and system
broadcast information
P-CCPCH SF=256
(Cch,256,1)
P-CCPCH scrambling by
primary scrambling code
UE can use obtained
primary scrambling code
to descrambling the PCCPCH and obtain the
BCH information

UE Calling Flow

Power on
Cell selection

Hand Over

Cell/
URA update

Location

Channel

RB/RAB

reconfiguration

Modification

Update

Idle Mode

RRC

RAB

Release

Establish

Call

RRC

NAS

Initiate

Establish

Establish

UE Initiate Random Access

Establish Dedicated RRC Connection

UE

Node B

SRNC

1. RRC Connection Request

2.Allocate RNTI
L1 and L2 Parameters
3. NBAP RL Setup Request
4. NBAP RL Setup Response
5. ALCAP Establish and Synchronization
6. RRC Connection Setup

7. RRC Connection Setup Complete

RRC Connection Rejection

If the RNC determines that the RRC connection cannot be

established (for example, due to insufficient resources),
the RNC directly sends the UE an RRC CONNECTION
REJECT message which contains the reason for the
rejection of the RRC connection.

Establish Signaling Link with CN

UE

SRNC

CN

1. RRC Initial Direct Transfer

2. RANAP Initial UE Message

SCCP Connect Request
3. SCCP CC(Success)
3. SCCP CJ(Failure)
4. RRC Direct Transfer
5. RRC Direct Transfer

Authentication and Security Mode

UE

RNS

MSC Server/VLR

HLR

1. Authentication Request
1.1 Send Authentication
Info
2. Authentication Response
3.Security Mode Control
4. Security Mode
Command
5. Security Mode
Complete

6. Security Mode Complete

2.1 Send Authentication

Info Ack

CS Location Update Process

UE

RNS

MSC Server/VLR

PVLR

HLR

Establish RRC Connection

Establish CN Signaling Connection
Location Update
Request
Authentication and Security Mode
MAP Update Location
MAP_Cancel_Location
MAP Cancel Location
ACK
MAP_Insert _Subscriber_Data

Location Update
Confirm ACK

TMSI_Allocation_Complete
Release RB

Release CN
Signaling Connection

MAP_Insert _Subscriber_Data_ACK
MAP_Update _Location_ACK

UE Calling Flow

Power on
Cell selection

Hand Over

Cell/
URA update

Location

Channel

RB/RAB

reconfiguration

Modification

Update

Idle Mode

RRC

RAB

Release

Establish

Call

RRC

NAS

Initiate

Establish

Establish

UE Work Mode Transforming

RRC connection
URA_PCH

CELL_PCH

CELL_DCH

CELL_FACH

Dedicated
Channel
RB Transport
Service

Network
Selection (PLMN)
Cell Camping

High level
Signaling
Triger (CN)

IDLE
Probe paging
channel
Cell
Reselection

DEAD

All the Status exist in UTRAN and UE, and transparent for CN

UE Calling Flow

Power on
Cell selection

Cell/

Hand Over

URA update

Channel

RB/RAB

reconfiguration

Modification

Location
Update

Idle Mode

RRC

RAB

Release

Establish

Call

RRC

NAS

Initiate

Establish

Establish

Procedure of Call Initiate

Call Setup Flow

CN initiates a paging message to RNC.

RNC judges the paging message from the CN and then sends a
paging message to the corresponding UE.
If no RRC connection is available, UE will send a RRC connection
setup request message (RRC Connection Request) to RNC.
RNC determines to set up a RRC connection according to the service
request and system resource occupation then sends a RRC
connection setup message (RRC Connection Setup) to UE.
After signaling connection setup, the higher layer of UE (NAS) sends a
service request message to CN through a directly transfer message.
CN sends a RAB assignment message (RAB Assignment Request) to
the RNC to allocate resource for UEs request.

RAB Establish Flow

UE

Node B

SRNC

MSC
1. RANAP RAB
Assignment Request

2. ALCAP Establish and Synchronization

3. NBAP RL Reconfigure
Prepare
4. NBAP RL Reconfigure
Ready
5. ALCAP Establish and Synchronization
6. NBAP RL Reconfigure
Commit
7. RRC RB Setup

8. RRC RB Setup Complete

9. RANAP RAB
Assignment Response

UE Initiate Call
UE

RNS

MSC

Called MSC

1. RRC establish
2. CN signaling establish
3. RRC DT(CM Service Request)
4. Authentication and Security
5. RRC DT(Setup)
6. RRC DT(Call Proceeding)
7. RAB establish

8. ISUP IAM
9. CN bearer establish
10. ISUP ACM

11. RRC DT(Alert)

13. RRC DT(Connect)
14. RRC DT(Connect ACK)
15. Conversation

12. ISUP ANM

UE Receiving Call
UE

RNS

Called MSC
2. Paging

Calling MSC
1. ISUP IAM

3. Paging
4. RRC establish
5. CN signalling establish
6. RRC DT(Paging Response)
7. Authentication and Security
8. RRC DT(Setup)
9. RRC DT(Call Confirm)
10. RAB establish
11. RRC DT(Alerting)

12. ISUP ACM

13. RRC DT(Connected)

14. ISUP ANM

15. RRC DT(Connect ACK)

16. Conversation

UE Calling Flow

Power on
Cell selection

Cell/

Hand Over

URA update

Channel

RB/RAB

reconfiguration

Modification

Location
Update

Idle Mode

RRC

RAB

Release

Establish

Call

RRC

NAS

Initiate

Establish

Establish

Handover Category

Intra-system handover

Softer handover, soft handover, hard handover

Depending on the Ec/No of CPICH

Inter-system handover

Between FDD and TDD

Handover with different system

2G/3G handover

Compression mode

Softer/Soft Handover Gain and Costs

Softer/Soft Handover Gain:

The optimal fast close loop power control (MS always keep connection with the
most powerful cell)
Seamless handover, without RB interruption
When MS moves to the edge of the cell, and could not obtain enough signal power,
it can obtain Macro diversity from multiple cells
The UL signaling quality can be improved through obtaining Macro diversity when
Node B (Softer HO) and RNC (Soft HO) combine the receiving signal and lower the
required Transport power of UE.

Softer/Soft Handover Costs:

Additional Rake receiver channel on Node B

Additional DL channelization code
Additional DL power
Additional Rake receiver channel on MS
Additional transport link between Node B and RNC (RNC internal Soft Handover)
Additional transport link between S-RNC and D-RNC (Soft handover between
RNCs)

Soft Handover Flow

NodeB
(DRNS)
Measurement
report

UE

NodeB
(SRNS)

RL setup request
RL setup response

DRNC

RL creation request
RL setup response

Active set update command

Active set update completion

SRNC

RL Deletion request
RL Deletion response

Hard Handover Flow

UE

Target
NodeB

Original
NodeB

SRNC

Measurement report
RL setup request
RL setup response
Reconfiguration command
Reconfiguration completion
RL deletion request
RL deletion response

UE Calling Flow

Power on
Cell selection

Cell/

Hand Over

URA update

Channel

RB/RAB

reconfiguration

Modification

Location

Update

Idle Mode

RRC

RAB

Release

Establish

Call

RRC

NAS

Initiate

Establish

Establish

Forward Hard Handover

Target RNC

UE

RRC

1.CCCH: Cell Update

Source RNC

RRC-relay

[Cell Update Cause,U-RNTI,

Measured results on PRACH]
2. Uplink Signalling
Transfer Indication
RNSAP

RNSAP

[new C-RNTI, D-RNTI,

UL message]

3. Serving RNC Relocation

RRC

4.DCCH: Cell Update Confirm

RRC

[S-RNTI, SRNC-ID, new S-RNTI,

new SRNC-ID, new C-RNTI]
5.DCCH: RNTI Reallocation Complete
RRC

RRC

CN

SRNC Relocation
UE

Node B

RNC
Source

RNC
Target

1. Relocation Required

RANAP

RANAP

MSC/SGSN

2. Relocation Required

SGSN/MSC

RANAP

RANAP

RANAP

3. Relocation Request

RANAP

4. Relocation Request
RANAP

RANAP

5. ALCAP Iu Data
Transport Bearer Setup

6. Relocation
Request Ack.
RANAP

RANAP
7. Relocation Request Ack.

RANAP

8. Relocation Command

RANAP

9. Relocation Command

RANAP

RANAP

RANAP

RANAP

10. Relocation
Commit
RNSAP

RNSAP

11. Relocation Complete

RANAP

RANAP

12. Relocation
Complete
RANAP

RANAP

RANAP

RANAP

13. Iu Release Command

14. Iu Release Command

RANAP

RANAP

15. ALCAP Iu Data Transport Bearer Relelase

RANAP

RANAP

16. Iu Release Complete

17. Iu Release Complete

RANAP

RANAP

UE Calling Flow

Power on
Cell selection

Location

Cell/

Hand Over

URA update

Channel

RB/RAB

reconfiguration

Modification

Update

Idle Mode

RRC

RAB

Release

Establish

Call

RRC

NAS

Initiate

Establish

Establish

DCH-DCH Transport Channel Reconfiguration

UE

Node B
Drift RNS

Node B
Serving RNS

Drift
RNC

Serving
RNC

1. Radio Link Reconfiguration

Prepare
RNSAP

RNSAP
NBAP

2. Radio Link Reconfiguration Prepare

NBAP
NBAP

NBAP

3. Radio Link Reconfiguration Prepare

NBAP

4. Radio Link Reconfiguration Ready

NBAP
5. Radio Link Reconfiguration
Ready
RNSAP
RNSAP
NBAP

6. Radio Link Reconfiguration Ready

NBAP

7. ALCAP Iub Data Transport Bearer Set-up

ALCAP Iur Bearer Set-up

8. ALCAP Iub Data Transport Bearer Set-up

9. Radio Link Reconfiguration
Commit
RNSAP

RNSAP
NBAP

10. Radio Link Reconfiguration Commit

NBAP
NBAP

RRC

RRC

11. Radio Link Reconfiguration Commit

NBAP

12. DCCH : Transport Channel Reconfiguration

RRC
13. DCCH : Transport Channel Reconfiguration Complete
RRC

14. ALCAP Iub Data Transport Bearer Release

ALCAP Iur Bearer Release

15. ALCAP Iub Data Transport Bearer Release

CN

Cell-FACH to Cell-DCH State Transform

UE

Node B
Drift RNS

Drift
RNC

Serving
RNC

Decision to switch to
Cell_DCH state

RNSAP
2. Radio Link Setup
Request

NBAP

NBAP

RNSAP

NBAP

3. Radio Link Setup

Response

Start RX
description

1. Radio Link Setup

Request

NBAP

RNSAP

5. ALCAP Iub Bearer Setup

4. Radio Link Setup

Response

RNSAP

ALCAP Iur Bearer Setup

6. NodeB-SRNC Data Transport Bearer Sync.

Start TX
description
7. DCCH : Physical Channel Reconfiguration
RRC

RRC
8. DCCH : Physical Channel Reconfiguration Complete
RRC

RRC
9. Common Transp. Channel
Resources Release Request
RNSAP
RNSAP

Cell-DCH to Cell-FACH Transform

UE

Node B

DRNC

SRNC

Cell_FACH
state
1. Common Transp. ChannelResources
Initialization Request
RNSAP

RNSAP

2. Common Transp. Channel Resources

Initialization Response
RNSAP

RNSAP

3. ALCAP Iur bearer setup

(if needed)
4. DCCH : Physical Channel Reconfiguration
RRC

RRC

[C-RNTI, Primary CPICH Info [FDD],

optional: Secondary CCPCH Info, PRACHInfo]
5. DCCH : Physical Channel Reconfiguration Complete

RRC

RRC

6. Radio Link Deletion Request

RNSAP

NBAP

RNSAP

7. Radio Link Deletion Request

NBAP
8. Radio Link Deletion Response

NBAP

NBAP
9. Radio Link Deletion Response
RNSAP

10. ALCAP Iub bearer release

RNSAP

ALCAP Iur bearer release

UE Calling Flow

Power on
Cell selection

Cell/

Hand Over

URA update

Channel

RB/RAB

reconfiguration

Modification

Location
Update

Idle Mode

RRC

RAB

Release

Establish

Call

RRC

NAS

Initiate

Establish

Establish

RAB Release Flow

RRC Connection Release

UE

NodeB

SRNC

1. RRC RRC CONNECTION RELEASE

2. RRC RRC CONNECTION RELEASE COMPLETE
3. RL DELETION
4. RL DELETION RESPONSE
5.5.ALCAP
Release
ALCAP

Call setup flow (1)

Call setup flow (2)

Call setup flow (3)

Call setup flow (4)

Call setup flow (5)

Call setup flow (6)