UMTS Interface Protocol

ZTE University

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

UMTS System Structure

CN

UTRAN

UE
UTRAN UMTS Terrestrial Radio Access Network
CN Core Network
UE User Equipment

UMTS Network Architecture

Analogy

Analogy

Analogy
To start, we can divide a call into two parts: the signaling (or
control) and data (or information). Already ahead of key
concepts, we can understand the RRC as responsible for the
control, and the RAB as responsible for the information part and
represents the logical connection between the Ue and CN. RAB is
service specific.

the RRC is in Layer 3 - control plane,

while the RAB occurs between the UE
and CN, in the user plane.

Analogy

On that fictitious scenario, the seller is the UTRAN, responsible for creating and
maintaining the communication between the UE (buyer) and CN (deposit) so that the
QoS requirements of each are met.

The cliff is the Uu Interface between the UE and the UTRAN, and the road through the
remote control car goes until the deposit is the Iu Interface, between the UTRAN and
CN

Sending requests and receipts is part of signaling, or the RRC. The shipment of
purchases is the data part, or the RAB. In our scenario, the RRC are the Rails, and RAB
is the full service of sending data between the UE and the CN.

The railcars are the RBs, and convey the information in the radio path. These wagons
define what type of thing will be transported, and in what quantity. Similarly, the RBs
define what type of data will in the RRC, which can be Data or Signaling. When the QoS
attributes change, then the Rbs associated with that RRC connection need to be
reconfigured

The remote control cars are the Iu bearer, and carry information on Iu Interface
(between the UTRAN and the CN), either CS or PS.

What is a bearer?
Bearer: a bearer capability of defined capacity, delay and bit error rate, etc. (as
defined in 3GPP specs.)
Bearer is a flexible concept designating some kind of bit pipe
at a certain network level (see previous slide)
between certain network entities
with certain QoS attributes, capacity, and traffic
flow characteristics
Four UMTS QoS Classes
conversational, streaming, interactive, background

UMTS QoS (service) classes

Conversational
Conversational

Streaming
Streaming

Interactive
Interactive

Background
Background

low delay

reasonably low
delay

low round-trip delay

delay is not critical

low delay variation

basic QoS requirements

speech

video streaming

video
telephony/
conferencing

audio streaming

www applications

basic applications

store-and- forward
applications
(e-mail, SMS)
file transfer

UMTS Bearing Services Structure

UMTS
MT

TE

CN Iu
EDGE
Node

UTRAN

CN
Gateway

TE

End-to-End Service

TE/MT Local
Bear service

External Bear
Service

UMTS Bear Service

RAB Service

RB Services

Iu Interface
Bear Services

UTRA FDD/TDD
Service

Physical Bear
Service

CN Bear
Service
Backbone
Services

Universal model of the UTRAN interfaces

Radio

Control Plane

User Plane

Application
Protocol

Data
Stream(s)

Network
Layer

Transport
Network
Layer

Transport Network

Transport Network
Control Plane

User Plane

Transport Network
User Plane

ALCAP(s)
Signalling
Bearer(s)

Signalling
Bearer(s)

Physical Layer

Data
Bearer(s)

Universal model of the UTRAN interfaces

Horizontal: UTRAN falls into 2 layers

Vertical: UTRAN falls into 4 planes

Radio Network Layer (RNL)

Transport Network Layer (TNL)
Control plane
User plane
TNL control plane
TNL user plane

In R99 and R4, the ATM technology is adopted at the

transport network layer, while R5, IP transmission is
introduced.

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

Iu Interface
Core Network
(CN)

UTRAN

CS
Domain

Node B
RNC

Iu-CS

Node B

PS
Domain
Iu-PS

Node B
RNC

BC
Domain

Node B

Iu-BC

Iu Interface

Iu interface Functions

RAB management

Iu radio resource management

Handovers
SRNC relocation

Security management:

Iu-UP frame protocol mode selection and protocol initialization

Mobility management

Establishment and release of resources for Iu connection and managing the overload

Iu-UP (RNL) management

Interacts with RRM function to analyze the current usage of radio resources to add or reject RAB request

Iu connection management

RAB setup, modification and release

mapping of RAB characteristics to the Uu bearer
mapping of RAB characteristics to the Iu transmission bearer
RAB queuing, preemption and priority

Send Security Keys (Ciphering Keys) and the integrity Keys to UTRAN

Service and network access

Paging coordination

Iu-CS Interface Stack Structure

Radio Network
Layer

Control Plane

User Plane

RANAP

Iu UP Protocol
Layer

transport Network User

Plane

transport Network Control

Plane

transport Network User

Plane

Q.2630.1
transport
Network Layer

SCCP

Q.2150.1

MTP3b

MTP3b

SSCF-NNI

SSCF-NNI

SSCOP

SSCOP

AAL 5

AAL 5
ATM
Physical Layer

AAL 2

Iu-CS Protocols
Radio Network Layer - Control Plane

RANAP : provides the signaling service between UTRAN and CN

which is required to fulfill the RANAP functions :

Overall RAB Management

Relocating SRNC
Location reporting

Transport Network Layer- User Plane

SCCP : provides a service for transfer of messages between any

two signaling points in the same or different network. It can act as
connectionless or connection-oriented transport protocol.

Counter
C310210956 Max setup time of RAB
CS connection

Unit
Milisecond

Iu-PS Interface Stack Structure

Radio Network
Layer

Control Plane

User Plane
Iu UP Protocol

RNSAP

Layer

Transport Network User

Plane

Transport Network
Control Plane

Transport Network User

Plane

SCCP
Transport
Network Layer

MTP3-B
SSCF-UNI

M3UA
SCTP

SSCOP

IP

GTP-U
UDP
IP

AAL 5

AAL 5

ATM

ATM

Physical Layer

Physical Layer

Iu-PS Protocols
Transport Network Layer- User Plane

AAL : ATM Adaptation Layer To transmit higher protocols via

ATM/IP, it is required to have adaptation sub layers. These sub
layers contain a common adaptation and a service-specific
adaptation part.
User plane data is carried by data bearers which use AAL 5 in case
of Iu PS and AAL 2 in all other cases.
AAL2 connection is totally independent of ATM. Therefore it is still
used in IP transmissions

C380020016

TrPath

: The number of AAL2 resource requests that failed to modify to RNC because of no enough bandwidth in

Iu Flow Overview
Basic Processing

Initial Message

Response Message for

Success

Response Message for

Failure

Iu Release

IU RELEASE
COMMAND

IU RELEASE COMPLETE

Relocation
Preparation

RELOCATION
REQUIRED

RELOCATION
COMMAND

RELOCATION
PREPARATION FAILURE

Relocation Resource
Allocation

RELOCATION
REQUEST

RELOCATION REQUEST
ACKNOWLEDGE

RELOCATON FAILURE

Relocation Cancel

RELOCATION
CANCEL

RELOCATION CANCEL
ACKNOWLEDGE

SRNS Context
Transfer

SRNS CONTEXT
REQUEST

SRNS CONTEXT
RESPONSE

Security Mode
Control

SECURITY MODE
COMMAND

SECURITY MODE
COMPLETE

Data Volume Report

DATA VOLUME
REPORT REQUEST

DATA VOLUME REPORT

Reset

RESET

RESET ACKNOWLEDGE

Reset Resource

RESET RESOURCE

RESET RESOURCE
ACKNOWLEDGE

SECURITY MODE
REJECT

Iu Flow Overview
Basic Processing

Message

RAB Release Request

RAG RELEASE REQUEST

Iu Release Request

IU RELEASE REQUEST

Relocation Detect

RELOCATION DETECT

Relocation Complete

RELOCATION COMPLETE

SRNS Data Forwarding Initiation

SRNS DATA FORWARD COMMAND

SRNS Context Forwarding from Source RNC to CN

FORWARD SRNS CONTEXT

SRNS Context Forwarding to Target RNC from CN

FORWARD SRNS CONTEXT

Paging

PAGING

Common ID

COMMON ID

CN Invoke Trace

CN INVOKE TRACE

CN Deactivate Trace

CN DEACTIVATE TRACE

Location Reporting Control

LOCATION REPORTING CONTROL

Location Report

LOCATION REPORT

Initial UE Message

INITIAL UE MESSAGE

Direct Transfer

DIRECT TRANSFER

Overload Control

OVERLOAD

Error Indiction

ERROR INDICATION

Iu Flow Overview

Basic Processing

Initial Message

Response Message

RAB Assignment

RAB
ASSIGNMENT
REQUEST

RAB ASSIGNMENT
RESPONSE x N
(N>=1)

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

Iur Interface Stack Structure

Radio Network
Layer

Control Plane

User Plane

RNSAP

Iur Data Flow

Transport Network User

Plane

Transport Network
Control Plane

Transport Network User

Plane

ALCAP(Q.2630.1)

Transport
Network Layer

SCCP

STC(Q.2150.1)

MTP3-B

M3UA

MTP3-B

M3UA

SSCF-UNI

SCTP

SSCF-UNI

SCTP

SSCOP

IP

SSCOP

IP

AAL 5

AAL 5
ATM
Physical Layer

AAL Type 2

Iur interface Functions

Inter-RNC mobility management

Dedicated channel data transmission

SRNC triggers measurement of dedicated resources in the DRNC.

Common channel data transmission

SRNC relocation, inter-RNC cell and UTRAN registration area update, inter-RNC paging, and
protocol error report.

setup and release of the transmission connection needed in common channel data stream
transmission of the Iur interface,

Global resource management

transmission of inter-RNC cell measurement information.

transmission of inter-RNC Node B timing information.

Serving RNC and Drift RNC in UTRAN

SRNC
BS
BS

Iub

UE
UE

RNC
RNC
Iur

BS
BS

Iub

Iu
Core network

RNC
RNC
DRNC

Concept needed for:

Soft handover between base stations belonging to different RNCs

Serving RNS (SRNS) Relocation

RNS = Radio Network Sub-system =
RNC + all base stations controlled by this RNC
SRNS Relocation means that the Serving RNC functionality is
transferred from one RNC (the old SRNC) to another (the new
SRNC, previously a DRNC) without changing the radio resources and
without interrupting the user data flow.
RANAP provides the signalling facilities over the two Iu interfaces
involved (Iu interfaces to old and new SNRC) for performing
SRNC Relocation in a co-ordinated manner.

SRNS Relocation (cont.)

SRNC
BS
BS

Iub

UE
UE

RNC
RNC

Iu
Core network

Iur

BS
BS

Iub

RNC
RNC

Iu

DRNC
SRNC
SRNC provides: 1) connection to core network
2) macrodiversity combining point

Soft handover concept

SRNC
Leg 1
UE
UE
Leg 3

BS
BS

Iub

BS
BS

Leg 2

BS
BS

Iub

RNC
RNC

Iur

RNC
RNC
DRNC

Iu

Core network

Signal
combining
point is in
SRNC
(downlink: in
UE)

Legs 1 and 2: Iur interface is not needed

Leg 3 is added: Iur interface is needed!

Parameter
Timer for Event 1D in HSPA or MBMS
Event 1D hysterisis
SRNC Wait Time for Relocation Preparation

VALUE
326ms. To
1280 ms
4 dB
60*100m
s

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

Iub Interface Stack Structure

Radio Network Control
Plane
Radio
Network
Layer

Transport Network Control

Plane

User Plane

Node B
Application
Part (NBAP)

ALCAP
Q.2630.1
Transport
Network Layer

Q.2150.1
SSCF-UNI

SSCF-UNI

SSCOP

SSCOP

AAL Type 5

AAL Type 5
ATM
Physical Layer

AAL Type 2

Iub interface Functions

Management of the Iub interface transmission resources.

Logic operation maintenance of Node B, including:

the cell configuration management

radio network performance measurement
common transmission channel management
radio resource management

Transmission of application-related operation & maintenance data.

System information management.
Channel traffic management.
Timing and synchronization management, including:

node synchronization
transmission channel synchronization between the RNC and Node B

Iub interface
Iub interface has a 16 Mbps bandwidth 3G has a 10 Mbps and 2G has a 6 Mbps
link
Iub Bandwith is dynamic

RNC
BBU
RRU

RRU
BSC

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

Uu Interface Stack Structure

Control Plane signaling

User Plane Message

L3

Control

RRC

Uu Interface Edge

RB

Control

PDCPPDCP

Control
Control

L2/PDCP
BMC

Control

RLC RLC
RLC
RLC

RLC RLC
RLC
RLC

L2/BMC

L2/RLC
Logical Channel

MAC

L2/MAC
Transport Channel

Physical Layer

L1

Uu Interface Stack Structure(1)

Physical Layer Protocol

provides the MAC sublayer with transmission channel services.
MAC Protocol (Media Access Control)
provides the RLC sublayer with logic channel services.
RLC Protocol (Radio Link Control)
on the control plane, provides the RRC sublayer with signaling radio
bearer services.
on the user plane, provides service radio bearer services together
with the PDCP sublayer.
PDCP (Packet data convergence protocol)
adapt different types of network layer protocols to the radio interface.
only exists in the packet domain
BMC (Broadcast main control)
transfer broadcast and multicast information over the radio interface.

Uu Interface Stack Structure(2)

RRC (Radio resource control)

Provide services for the non-access layer, for example, transmitting
messages like call control, session management and mobility
management at the control interface.
Setup, maintenance and release of an RRC connection between
UE and UTRAN.
Setup, reconfiguration and release of radio bearer.
Distribution, reconfiguration and release of radio resources used in
the RRC connection.
RRC connections mobility function management.
Request for QoS control.
UE measurement report and report control.
Outer loop power control, ciphering control, paging.
Initial cell selection and reselection in the idle mode.

RRC Status and Migration Diagram

UTRA Connection Mode
URA_PCH

CELL_PCH

out of
service

out of
service

in
service

CELL_DCH

in
service

CELL_FACH
out of
service

in
service

GPRS Packet Idle Mode

Camping on a UTRAN cell

Camping on a GSM/GPRS cell

Idle Mode

PDCP Function

User Data Transport: Transmit NAS data to RLC layer or

reverse.
IP Head Compression: Compress or decompress the IP
data in the Transport entities and receive entities. Different
network layer has different compression algorithm.
Sequence Number Maintenance: If RB supports lossless
SRNS Reselection, the Sequence Number can be kept
synchronized between UE and RNC.

PDCP is only used in PS services

BMC Services and Function

BMC services adopt TM or UM to provide

Broadcast/Multicast services for the public users
The functions of BMC include cell broadcast
message depository, service flow monitor, radio
resource request for cell broadcast, BMC
message scheduling, sending and receiving cell
broadcast message and so on.

RLC Layer Work Modes

RLC provides the services for the upper layer: RLC

connection setup/release, TM data Transport, UM data
Transport, AM data Transport, unrecoverable error notify
and so on.
The functions for RLC include Segment, Reassemble,
Concatenation, Padding added, Data Transport, Error
Detect, PDU delivery in order, Detection Repeat, Flow
Control, Sequence Number Detection, Protocol Error
Detection/ Retrieval/ Encryption/ Suspend function.
RLC work modes: TM, UM,AM. Different work mode is
adopted according to the QoS requirement of different
services; for the signaling, the work mode also depends on
the significance.

MAC-Transport Channel Categories

DCH, Dedicated Channel

BCH, Broadcast Channel

FACH, Forward Access Channel
PCH, Paging Channel
RACH, Random Access Channel
CPCH, Common Packet Channel
DSCH, DL Share Channel

Dedicated
Transport
Channel

Common Transport
Channel

MAC-Some Transport Channel Principles

Transport Block

Transport Block

Transport Block

Transport Time Interval

Transport Block

Transport Block

Transport Block

Transport Block

Transport Block

Transport Block

Transport Time Interval

Transport Block
Transport Block

Transport Block Transport Block

Transport Block

Transport Block Transport Block Transport Block

Transport
Time Interval

Transport Block

MAC-Some Transport Channel Principles

Transport Block

Transport Block Set

The bit number of a Transport Block Set.

Transport Time Interval

The bit number of a Transport Block.

Transport Block Set Size

A Set of Transport Blocks which are Transmitted in a Transport channel on a certain

moment.

Transport Block Size

The basic switching unit between L1 and MAC layer

Transport Time Interval is defined as a time interval for a Transport Block arrived,
and it equals to the time for transporting a Transport Block on the Physical Layer of
Radio Interface. It is always the gemination of MIN. interleaving cycle (10ms, Size of
Radio Frame). MAC layer transports a Transport Block Set to the physical layer in
each TTI.

Transport Format

Transport Format is defined as the format of a Transport Block Set which is

transported on a Transport channel. The format is provided for MAC layer by L1 (or
MAC layer provides for L1). The Transport Format is consisted of two parts:
dynamical part and static part.

MAC-Some Transport Channel Principles

Transport Format Set

Transport Format Combination

Transport Format Combination Set is defined as a set of Transport Format

Combination of Coded Composite Transport Channel (CCTrCH) .

Transport Format Indicator

When one or more transport channels map in L1, for each transport channel, there
should be a sets of Transport Format (Transport Format Set) available. For a certain
time, not all the Format Combination is appropriate for L1, but only a sub-set, which
is Transport Format Combination.

Transport Format Combination Set

Transport Format Set is defined as a set of Transport Format on a Transport

Channel. In side of a Transport Format Set the static part of transport format is the
same. The previous two features of the dynamic part determine the instantaneous
bit rate of the Transport channel.

TFI is the specific indicator for a certain Transport Format among the Transport
Format Set. It is used between L1 and MAC layer, when they exchange a transport
block set.

Transport Format Combination Indicator

TFCI is a indicator of the current Transport Format Combination.

The Services Provided by L1 and Timing

Operation

The Physical Layer provides Data Transport Services for

the upper layer, which are implemented by MAC sub-layer
through Transport Channel.

Transport Format (or Transport Format Set) defines the feature of

the transport channel, meanwhile, it also indicates the processing
on the transport channel by physical layer, such as convolutional
encoding and interleaving, rate match required by the services and
so on.

The operation on the physical layer is strictly according to

the timing of L1 Radio frame. And for every 10ms (or
multiple times of 10ms) to generate a transport block.

Physical Layer Function

FEC encoding/decoding of transport channel

To provide measurement and indicator for the upper layer (such as
FER, SIR, Interference Power, Transport Power and so on)
Macro Diversity distribution/ Combination and soft handover
implementation
Error Detection of transport channel
Transport Channel multiplexing, Coding Combination Transport
Channel demultiplexing
Rate Matching
To map Coding Combination Transport Channel to physical channel
Physical channel modulation/Frequency Spreading and
Demodulation/Frequency De-spreading
Frequency and Timing (Chip, Bit, Slot, Frame) synchronization
Close loop power control
Physical channel power weight and combination
RF Processing

Content

Network Architecture
Iu Interface
Iur Interface
Iub Interface
Uu Interface
Service Data Processing Flow

Radio Network Control-Plane protocol

CN
RANAP
RNSAP

RRC

UE

RNC

RNC

NBAP
Node B
NBAP Node B Application Part
RANAP: Radio Access Network Application Part
RNSAP: Radio Network Subsystem Application Part
RRC: Radio Resource Control

AS and NAS

Uu Interface Data Flow

High Layer

High Layer PDU

High Layer PDU

RLC SDU

RLC SDU

L2 RLC
(Non-Transparent Mode)
RLC
Header

L2 MAC
(Non-Transparent Mode)

Segment
Reassembly
And
Concatenation

MAC
Header

RLC
Header

MAC SDU

Transport Block

MAC
Header

MAC SDU

Transport Block

L1
CRC

CRC

The Physical Channel Forming Flow before

Frequency Spreading
TrCH-i+1

data

10 20 40 or 80ms

data

data

TrCH-i

0 8 16 or 24bits

dataCRC dataCRC
d CRC
a t a
data
CRC data
CBL
CBL

dataCRC
512 Ktail CC

Block Size Z

data
CRC
CBL

5120 Ktail Turbo

CedBL
CedBL
CedBL
Rate
Coded
matched
data
data

CC or TC

or

Rate matched data

DTX
line of interleaver:1,2,4 or 8

or

Data
Databefore
after 11stst interleaved
interleaving
Number of Radio Frame:1,2,4 or 8
Radio
Frame

Radio
Frame

Radio
Frame

TrCH-1TrCH-2
TrCH-1 TrCH-2
DTX
CCTrCHTrCH-ITrCH-I

Ph-1

Ph-2

Ph-P

In 10ms
In 10ms

data1 TPC TFCI data2 pilot data1 TPC TFCI data2 pilot data1 TPC TFCI data2 pilot
Frequency Spreading,
Scrambling

Frequency Spreading,
Scrambling

Frequency Spreading,
Scrambling