UMTS UTRAN Signaling Procedures

ISSUE 1.0

Wireless Curriculum Development Section

Course Contents
Chapter 1 UTRAN Network Overview
Chapter 2 Basic Signaling Process

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UTRAN Overview
UE

Working Mode and State

Serving
Source

RNC Drift RNC and Control RNC

RNC and Target RNC

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UE Working Modes and states

Idle

Mode
The UE has no relation to UTRAN, only to CN. For data transfer,
a signalling connection has to be established.

UE camps on a cell
It enables the UE to receive system information from the PLMN
When registered and if the UE wishes to establish an RRC
connection, it can do this by initially accessing the network on the
control channel of the cell on which it is camped
UE can receive "paging" message from control channels of the cell.
It enables the UE to receive cell broadcast services.

The idle mode tasks can be subdivided into three processes:

PLMN selection and reselection;
Cell selection and reselection;
Location registration.

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UE Working Modes and states

Connected

Mode (Cell-DCH, Cell-FACH, Cell-PCH, URA-

PCH)

When at least one signalling connection exists, the UE is in

connected mode and there is normally an RRC connection
between UE and UTRAN. The UE position can be known on
different levels:
UTRAN Registration Area (URA) level
The UE position is known on URA level. The URA is a set of cells
Cell level
The UE position is known on cell level. Different transport channel
types can be used for data transfer:
Common transport channels (RACH / FACH, DSCH, CPCH)
Dedicated transport CHannels (DCH)

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UE Working Modes and states

Cell-DCH
In active state
Communicating via its dedicated channels
UTRAN knows which cell UE is in.

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Cell-FACH and Cell-PCH State

Cell-FACH
In active state
Few data to be transmitted both in uplink and in downlink. There is no
need to allocate dedicated channel for this UE.
Downlink uses FACH and uplink uses RACH.
UE need to monitor the FACH for its relative information.
UTRAN knows which cell UE is in.

Cell-PCH
No data to be transmitted or received.
Monitor PICH, to receive its paging.
lower the power consumption of UE.
UTRAN knows which cell UE is in.
UTRAN have to update cell information of UE when UE roams to
another cell

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URA-PCH State

URA-PCH
No data to be transmitted or received.
Monitor PICH.
UTRAN only knows which URA (UTRAN Registration Area,
which consists of multiple cells) that UE is in.
UTRAN update UE information only after UE has roamed to
other URA.
A better way to lower the resource occupancy and signaling
transmission

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UE states
- Reduce action DTX and save power
RRC connection
URA_PCH

CELL_PCH

CELL_DCH

CELL_FACH

- Dedicated Channel
- Radio bearers Transmission Services
IDLE

DEAD

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- upper layer Signaling

trigger (CN)
- Monitor paging channel
- cell re-selection

- Scanning networks (PLMN)

- Camp on cell

SRNC/DRNC
CN
SRNC

SRNC

Iu

Iur

DRNC

and DRNC are on a per connection basis between a UE

and the UTRAN

The

SRNC handles the connection to one UE, and may borrow

radio resources of a certain cell from the CRNC

Drift
A

RNSs support the Serving RNS by providing radio resources

UE in connection state has at least one and only one SRNC, but

can has 0 or multiple DRNCs

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CRNC
CN
Iu

...
Node B

CRNC
Iub
Node B
Cell

The

Cell

Cell

CRNC owns the radio resources of a cell

Dynamical

control of power for dedicated channels, within

limits admitted by CRNC, is done by the SRNC.

Scheduling

of data for dedicated channels is done by the

SRNC, while for common channels it is done by the CRNC

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Source RNC/Target RNC

CN

CN

Iu
Source
RNC

Iu
Serving
RNC

The

Iur

Target
RNC

RNC

SRNS Relocation function coordinates the activities when the

SRNS role is to be taken over by another RNS.

Source

RNC is the SRNC before SRNs Relocation and Target

RNC is the SRNC after SRNs Relocation

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Course Contents
Chapter 1 UTRAN Network Overview
Chapter 2 Basic Signaling Process

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Basic Signaling Procedures

2.1

Call overall process

2.2

Network start process

2.3

UE registration process

2.4

Call process

2.5

Connection mobility management process

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Call overall Procedures

Network side Start
1 Initialize equipment
2 Process system
broadcast

Step 6
Soft/hard handover

Step 1
Handset Power on
1 cell reselection
2 Location registration
3 Waiting for call

Step 6
Transport channel

reconfiguration

reconfiguration

RRC connection
Establish

Step 5
RAB set up
1 synchronous set up
2 asynchronous set up

Step 4

NAS signaling
connection establish

Step 6
Cell update
Step 7

Step 6
Handover with GSM

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Step 3

Step 6
RAB/RB modification

Step 6
Physical channel

Step 6
URA update

Step 2
Paging UE

RRC connection
release

Step 8
Waiting for call again
1 cell selection
2 wait for call

Basic Signaling Procedures

2.1

Call overall process

2.2

Network start process

2.3

UE registration process

2.4

Call process

2.5

Connection mobility management process

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System Information Broadcast Flow

UE

Node B

RNC

1.System Information Update Request

NBAP

NBAP

2.System Information Update Response

.
NBAP
NBAP

RRC

3.BCCH:System Information
.

RRC

RRC

4.BCCH:System
Information
.

RRC

RRC

5.BCCH:System Information

RRC

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CN

Basic Signaling Procedures

2.1

Call overall process

2.2

Network start process

2.3

UE registration process

2.4

Call process

2.5

Connection mobility management process

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RRC Connection Establishment Flow(CCH)

UE

NodeB

RRC: RRC CONNECTION REQUEST

RRC: RRC CONNECTION SETUP

RRC: RRC CONNECTION SETUP COMPLETE

UE originate RRC connection setup for registration.

SRNC decides to establish RRC connection on common channel,
and uses pre-configured common channel resources.

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SRNC

NAS Signaling Establishment Flow

UE

SRNC

RRC INITIAL DIRECT TRANSFER

RANAP: INITIAL UE MESSAGE
RRC DT
RANAP DT
RANAP DT
RRC DT

UE changes DT messages with CN, such as Authentication,

connection establishment, location registration, etc.

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CN

RRC Connection Release Flow(CCH)

UE

NodeB

SRNC
IU RELEASE COMMAND
IU RELEASE COMPLETE

RRC RRC CONNECTION RELEASE

RRC RRC CONNECTION RELEASE COMPLETE

In registration process, UE does not use dedicated user plane resources.

Instead, it release signaling link directly. Thus registration procedure ends.

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CN

Basic Signaling Procedures

2.1

Call overall process

2.2

Network start process

2.3

UE registration process

2.4

Call process

2.5

Connection mobility management process

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Paging Flow (UE in Idle State or PCH State)

UE

SRNC

CN
RANAP PAGING

RRC PAGING TYPE 1

CN sends paging message and specifies UE and paging area. CN is

responsible for paging message re-send . SRNC sends relevant paging
message according to UE state.

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Paging Flow (connection mode)

UE

Serving
RNC

RANAP

RRC

CN

1. Paging

RANAP

2. DCCH : Paging
RRC

CN sends paging message and specifies UE and paging area. CN is

responsible for paging message re-send . SRNC sends relevant paging
message according to UE state.

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RRC Connection Establishment Flow(DCH)

UE

RRC

Node B
Serving RNS

Serving
RNC

1. CCCH : RRC Connection Request

RRC

Allocate RNTI
Select L1 and L2
parameters
2. Radio Link Setup Request
NBAP

NBAP
Start RX
description
3. Radio Link Setup Response
NBAP

NBAP

4. ALCAP Iub Data Transport Bearer Setup

DCH-FP
DCH-FP

RRC

5. Downlink Synchronisation
6. Uplink Synchronisation

RRC
NBAP

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DCH-FP

Start TX
description
7. CCCH : RRC Connection Setup
8. Radio Link Restore Indication

RRC

DCH-FP

NBAP

9. DCCH : RRC Connection Setup Complete

RRC

NAS Signalling Connection Establishment

UE

Serving
RNC

CN

1. RRC Connection Establishment

RRC

2. DCCH : Initial Direct Transfer

RRC
3. Initial UE Message
RANAP

RANAP

The NAS signalling connection between UE and CN can now be

used for NAS message transfer

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RAB Establish Flow(DCH-DCH, synchronous)

UE

NodeB

SRNC

CN

RAB ASSIGNMENT REQUEST

ALCAP Establish

RL RECONFIG PRE
RL RECONFIG READY
ALCAP Establish, synchronization

RL RECONFIG COMMIT
RRC RB SETUP
RRC RB SETUP COMPLETE

RAB ASSIGNMENT RESPONSE

There are more than one ALCAP establish procedures on Iu Interface,

more than one user plane RABs can be established simultaneously.
After user plane establish, UE enters call connection.

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RAB Establish Flow(DCH-DCH, asynchronous)

NodeB

UE

SRNC

CN
RAB ASSIGNMENT REQUEST
ALCAP Establish

RL RECONFIG REQ
RL RECONFIG RESP
ALCAP Establish, synchronization

RRC RB SETUP
RRC RB SETUP COMPLETE
RAB ASSIGNMENT RESPONSE

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Transport Channel Reconfig Flow(Synchronised )

UE

NodeB

SRNC
RL RECONFIG PREPARE
RL RECONFIG READY

ALCAP Establish, synchronization

RL RECONFIG COMMIT

TRANSPORT CHANNEL RECONFIG

TRANSPORT CHANNEL RECONFIG COMPLETE
ALCAP Release

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Physical Channel Reconfig Flow

UE

NodeB
RL RECONFIG PREPARE
RL RECONFIG READY

RL RECONFIG COMMIT

PHYSICAL CHANNEL RECONFIG

PHYSICAL CHANNEL RECONFIG COMPLETE

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SRNC

RRC Release Flow DCH

UE

SRNC

NodeB

CN

IU RELEASE COMMAND
IU RELEASE COMPLETE
RRC RRC CONNECTION RELEASE

ALCAP Release

RRC RRC CONNECTION RELEASE COMPLETE

RL DELETION
RL DELETION RESPONSE
ALCAP Release

Release procedure is usually originated by CN. But if UE is faulty,

SRNC can also request release.

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Basic Signaling Procedures

2.1

Call overall process

2.2

Network start process

2.3

UE registration process

2.4

Call process

2.5

Connection mobility management process

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Soft Handover

Macro

diversity is a operation state in which a User

Equipment simultaneously has radio links with two or more

UTRAN access points. The aim is to improve quality of the
radio connection or provide seamless connection.
Active

Set is a set of radio links simultaneously involved in a

specific communication service between an UE and a

UTRAN access point.

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Soft Handover Illustration (Intra RNC)

NodeB

CN

CN

CN

SRNC

SRNC

SRNC

NodeB

Before Soft Handover

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NodeB

NodeB

During Soft Handover

NodeB

NodeB

After Soft Handover

Soft Handover Illustration (Inter-RNC)

CN
SRNC

NodeB

NodeB

CN
SRNC

RNC

NodeB

Before Soft Handover

NodeB

NodeB

After Soft Handover

Radio Link(RL) is added and deleted simultaneously

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RNC

NodeB

Soft Handover - Radio Link Addition

UE

Node B
Drift RNS

Drift
RNC

Serving
RNC

Decision to setup
new RL

RNSAP
NBAP

2. Radio Link Setup

Request

Start RX
description
3. Radio Link Setup
Response
NBAP

1. Radio Link Setup

Request

NBAP

NBAP
4. Radio Link Setup
Response

RNSAP

5. ALCAP Iub Bearer Setup

NBAP

6. Radio Link Restore

Indication

DCH-FP

NBAP

RRC

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7. Radio Link Restore

Indication

8. Downlink Synchronisation
9. Uplink Synchronisation

Start TX
description
10. DCCH : Active Set Update
RRC

RNSAP

ALCAP Iur Bearer Setup

RNSAP
DCH-FP

RNSAP

RNSAP

DCH-FP
DCH-FP

RRC

[Radio Link Addition]

11. DCCH : Active Set Update Complete
RRC

Soft Handover - Radio Link Deletion

UE

Node B
Drift RNS

Drift
RNC

Serving
RNC

Decision to delete
old RL

1. DCCH : Active Set Update

RRC

RRC

RRC

[Radio Link Deletion]

2. DCCH : Active Set Update Complete
RRC
3. Radio Link Deletion
Request
RNSAP
RNSAP
NBAP

4. Radio Link Deletion

Request

NBAP

Stop RX and TX

NBAP

5. Radio Link Deletion

Response

NBAP
6. Radio Link Deletion
Response
RNSAP
RNSAP

7. ALCAP Iub Bearer Release

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ALCAP Iur Bearer Release

Hard Handover Illustration (Intra-RNC)

CN

CN

SRNC

SRNC

NodeB

NodeB

Before Har Handover 7

NodeB

NodeB

After Hard Handover

Radio Link(RL)cannot exist simultaneously

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Hard Handover Illustration (Inter-RNC)

CN
SRNC

CN

NodeB

NodeB

SRNC

RNC

Before Hard Handover

NodeB

NodeB

After Hard Handover

Radio Link(RL)cant exist simultaneously

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RNC

Hard Handover via Iur (DCH on Iur)

UE

Node B
Source

Node B
Target

RNC
Source

RNC
Target

2. Radio Link Setup Request

NBAP
NBAP

SRNC

1. Radio Link Setup Request

RNSAP
RNSAP
NBAP

3. Radio Link Setup Response

NBAP

4. ALCAP ub Data Transport Bearer Setup

5. RL Setup Response
RNSAP
RNSAP
6. ALCAP Iur Data Transport Bearer Setup
7.DCCH : Physical Channel Reconfiguration

RRC
NBAP

8. Radio Link Failure Indication

NBAP
RNSAP

9. Radio Link Failure Indication

RNSAP

10. DCCH : Physical Channel Reconfiguration Complete

RRC
RNSAP
NBAP
NBAP

12. Radio Link Deletion Request

13. Radio Link Deletion Response

RRC

11. Radio Link Deletion Request

RRC
RNSAP

NBAP
NBAP

14. ALCAP Iub Data Transport Bearer Release

RNSAP

15. Radio Link Deletion Response

16. ALCAP Iur Data Transport Bearer Release

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RNSAP

Hard Handover Flow UMTS->GSM

UE

Node B

RNC
Serving

CN

RANAP 1. Relocation
Required

MSC

BSC

RANAP
MAP/E

2. Prepare
Handover

MAP/E
BSSMAP

3. Handover
Request

BSSMAP

BSSMAP 4. Handover BSSMAP

Request Ack
5. Prepare Handover
Response
MAP/E
MAP/E
RANAP
RRC

6. Relocation
Command

RANAP

7. DCCH : Inter-System Handover Command

RRC
BSSMAP
9. Handover Complete

RR

BSSMAP
11. Send End Signal
Request
MAP/E
MAP/E
RANAP
RANAP

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8. Handover
Detect

12. Iu Release
Command
13. Iu Release
Complete

RANAP
RANAP
14. Send End Signal
Response
MAP/E
MAP/E

10. Handover
Complete

BSSMAP
RR
BSSMAP

BTS

Forward Handover
Forward

Handover, including CELL UPDATE and URA UPDATE, is

originated by UE. URA UPDATE procedure is only used for UE under

URA_PCH state to process URA reselection, and to check if RRC
connection is right.
For

UE under CELL_FACH and CELL_PCH state

cell reselection needed

In specific SA(Service Area) Timer T305 timed out (this timer is defined in
system broadcast message)

For

UE under CELL_PCH and URA_PCH state

transfer data on up link needed (enter CELL_FACH state)

upon receiving paging message on PCCH, originate cell update

CELL UPDATE process can be used to re-establish unrecoverable errors of

RLC entity losing connection , and to monitor RRC connection state.

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Cell Update with SRNS relocation

Target RNC

UE

1. CCCH: Cell Update

RRC

Source RNC

RRC - relay

[Cell Update Cause,U - RNTI,

Measured results on PRACH]
2. Uplink Signalling
Transfer Indicatio n
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 : UTRAN Mobility Information Confirm
RRC

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RRC

CN

Cell Update via Iur without SRNS relocation

UE

DRNC
source

DRNC
target

SRNC

1. CCCH: Cell Update

RRC

RRC-relay
2. Uplink Signalling Transfer
Indication
RNSAP

RNSAP

[new C-RNTI,D-RNTI,
UL message]

3. Common Transp. Channel Resources

Initialization Request
RNSAP

RNSAP

4. Common Transp. Channel Resources

Initialization Response
RNSAP

RNSAP

5. ALCAP Iur bearer setup

RRC

6. DCCH: Cell Update Confirm

RRC

7. DCCH: UTRAN Mobility Information Confirm

RRC

RRC

RNSAP

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8. Common Transp. Channel Resources Release

RNSAP

Inter-RNS URA Update via Iur without

SRNS relocation
UE

RRC

Source
RNC
1.CCCH: URA Update

Target
RNC

Serving
RNC

RRC-relay

[U-RNTI, URA update cause]

2.Uplink Signaling Transfer Indication
RNSAP

RNSAP

[new C-RNTI,D-RNTI, UL message]

3. Decision Not to
perform SRNS
relocation

4. Downlink Signaling Transfer Request

RNSAP

RRC

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5.CCCH: URA Update Confirm

RRC-relay

RNSAP

Cell Reselection Flow UMTS->GPRS

UE

Serving
RNC

CN

GPRS

1. UE releases connection with RNC

2. UE Access GPRS system

3. Inter-system information exchange
data transfer
4. Iu Release Command

RANAP

RANAP

4. Iu Release Complete

RANAP

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RANAP

Cell reselection Flow GPRS->UMTS

UE

Serving
RNC

CN

GPRS

1. UE Access UMTS system(RNC)

2. Make signaling connection with CN

3. User plane bearers set up

4. Inter-system information exchange

data transfer

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