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 packet-
switched.
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, Cell-
FACH, 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
After RRC Connection Setup, UE will
transit to CELL_FACH or CELL_DCH.
CELL_DCH CELL_FACH CN indicates UE using dedicated
channel (CELL_DCH) or common
channel (CELL_FACH) according to
IDLE the service request.
If there is no service right now, UE
DEAD will be indicated into PCH mode or
release RRC connection back to
Sketch of RRC State Transition IDLE mode.
RRC State Transition (II)

Transit from CELL_FACH Mode

URA_PCH CELL_PCH

UE do not occupy dedicated

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

Sketch of RRC State Transition

RRC State Transition (III)

Transit from CELL_DCH Mode

URA_PCH CELL_PCH
UE transceives uplink and downlink
data through dedicated channels
(DPDCHs and DPCCHs).
CELL_DCH CELL_FACH
During the time when there is no data
transmitted, CN may indicate UEs
IDLE transiting to URA_PCH or CELL_PCH.

DEAD

Sketch of RRC State Transition

RRC State Transition (IV)

CELL_PCHURA_PCH
URA_PCH CELL_PCH UE has no activated uplink.
Paging Information makes UE back to
CELL_FACH or CELL_DCH mode.
CELL_DCH CELL_FACH In CELL_PCH, UE should transit to
CELL_FACH first to finish cell updating,
and go back if no service request.
IDLE
In URA_PCH, if URA changes, UE also
transits to CELL_FACH to finish cell
DEAD updating first before it goes back to
URA_PCH.
Sketch of RRC State Transition System resource can be saved in these
two modes.
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/
Cell selection Hand Over
URA update

Channel
reconfiguration
RB/RAB
Modification
Location
Update

RRC RAB
Idle Mode
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
3Frame channel
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

#511 Scrambling Code
The #0 Scrambling Code Cluster
Group The
left
left
8192 8176 8176P-SC #7 Scrambling
#510 Scrambling Code Code
8192
Scrambling 8177 8177S-SC
Group Group
Scrambling
codes

8160#504 112 8176P-SC
#1 Code
Scrambling Code codes
are 8160
Scrambling are
used 8191 8191S-SC
8161Group 113 8177S-SC
8161 Group used
for 1 16P-SC
8064
8064 #0 Scrambling Code for
compression
127 6
8191S-SC
17S-SC compression
mode 81758065
8175
8065 Group
1 mode
0 0P-SC
7 31S-SC
8079 80791 1S-SC

3
1 1 15S-SC
5
2rd Step: Frame synchronization and Scrambling
code-group
Scrambling-code identification

CPICH is predefine
sequence
Spreading Factor is 256
(Cch,256,0)
Scrambling by P-
scrambling 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 P-
CCPCH and obtain the
BCH information
UE Calling Flow

Power on
Cell/
Cell selection Hand Over
URA update

Channel RB/RAB
Location reconfiguration Modification

Update

RRC RAB
Idle Mode
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 2.1 Send Authentication

Info Ack
3.Security Mode Control
4. Security Mode
Command
5. Security Mode
Complete
6. Security Mode Complete
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
MAP_Insert _Subscriber_Data_ACK
MAP_Update _Location_ACK
Location Update
Confirm ACK
TMSI_Allocation_Complete

Release RB Release CN
Signaling Connection
UE Calling Flow

Power on
Cell/
Cell selection Hand Over
URA update

Channel RB/RAB
Location reconfiguration Modification
Update

RRC RAB
Idle Mode
Release Establish

Call RRC NAS
Initiate Establish Establish
UE Work Mode Transforming
RRC connection
URA_PCH CELL_PCH

CELL_DCH CELL_FACH

Dedicated High level

Channel Signaling
RB Transport Triger (CN)
Service IDLE

Probe paging
channel
Cell Reselection
Network
Selection (PLMN) DEAD
Cell Camping

All the Status exist in UTRAN and UE, and

transparent for CN
UE Calling Flow

Power on
Cell/
Cell selection Hand Over
URA update

Channel
reconfiguration
RB/RAB
Modification
Location
Update

RRC RAB
Idle Mode
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)
12. ISUP ANM
13. RRC DT(Connect)

14. RRC DT(Connect ACK)

15. Conversation
UE Receiving Call
UE RNS Called MSC Calling MSC
1. ISUP IAM
2. Paging
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/
Cell selection Hand Over
URA update

Channel
reconfiguration
RB/RAB
Modification
Location
Update

RRC RAB
Idle Mode
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 NodeB
UE DRNC SRNC
(DRNS) (SRNS)
Measurement
report

RL creation request
A RL setup request

RL setup response RL setup response

Active set update command

Active set update completion

B RL Deletion request

RL Deletion response
Hard Handover Flow

Target Original
UE NodeB 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/
Cell selection Hand Over
URA update

Channel
reconfiguration
RB/RAB
Modification
Location
Update

RRC RAB
Idle Mode
Release Establish

Call RRC NAS
Initiate Establish Establish
Forward Hard Handover
UE Target RNC Source RNC CN

1.CCCH: Cell Update

RRC 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

4.DCCH: Cell Update Confirm

RRC RRC
[S-RNTI, SRNC-ID, new S-RNTI,
new SRNC-ID, new C-RNTI]

5.DCCH: RNTI Reallocation Complete

RRC RRC
SRNC Relocation
UE Node B RNC RNC MSC/SGSN SGSN/MSC
Source Target

1. Relocation Required
RANAP RANAP

2. Relocation Required
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 RANAP

8. Relocation Command
RANAP RANAP

9. Relocation Command
RANAP RANAP

10. Relocation
Commit
RNSAP RNSAP

11. Relocation Complete

RANAP RANAP

12. Relocation
Complete
RANAP RANAP

13. Iu Release Command

RANAP RANAP

14. Iu Release Command

RANAP RANAP

15. ALCAP Iu Data Transport Bearer Relelase

16. Iu Release Complete

RANAP RANAP

17. Iu Release Complete

RANAP RANAP
UE Calling Flow

Power on
Cell/
Cell selection Hand Over
URA update

Channel RB/RAB
reconfiguration Modification
Location
Update

RRC RAB
Idle Mode
Release Establish

Call RRC NAS
Initiate Establish Establish
DCH-DCH Transport Channel Reconfiguration
UE Node B Node B Drift Serving CN
Drift RNS Serving RNS RNC RNC

1. Radio Link Reconfiguration

RNSAP Prepare RNSAP
2. Radio Link Reconfiguration Prepare
NBAP NBAP

3. Radio Link Reconfiguration Prepare

NBAP NBAP

4. Radio Link Reconfiguration Ready

NBAP NBAP
5. Radio Link Reconfiguration
RNSAP Ready RNSAP

6. Radio Link Reconfiguration Ready

NBAP 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

RNSAP Commit RNSAP

10. Radio Link Reconfiguration Commit

NBAP NBAP
11. Radio Link Reconfiguration Commit
NBAP NBAP

12. DCCH : Transport Channel Reconfiguration

RRC RRC

13. DCCH : Transport Channel Reconfiguration Complete

RRC RRC

14. ALCAP Iub Data Transport Bearer Release ALCAP Iur Bearer Release

15. ALCAP Iub Data Transport Bearer Release

Cell-FACH to Cell-DCH State Transform
UE Node B Drift Serving
Drift RNS RNC RNC

Decision to switch to
Cell_DCH state

1. Radio Link Setup

RNSAP Request RNSAP
2. Radio Link Setup
NBAP Request NBAP

3. Radio Link Setup

Response
NBAP NBAP

Start RX 4. Radio Link Setup

description Response
RNSAP RNSAP

5. ALCAP Iub Bearer Setup 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 RNSAP

7. Radio Link Deletion Request

NBAP NBAP

8. Radio Link Deletion Response

NBAP NBAP

9. Radio Link Deletion Response

RNSAP RNSAP

10. ALCAP Iub bearer release ALCAP Iur bearer release

UE Calling Flow

Power on
Cell/
Cell selection Hand Over
URA update

Channel
reconfiguration
RB/RAB
Modification
Location
Update

RRC RAB
Idle Mode
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)