UMTS Interface Protocol

Contents
1 UTRAN System Architecture......................................................................................................................1
1.1 UTRAN Architecture...........................................................................................................................1
1.2 Explanation Related to RNS................................................................................................................1
1.3 UTRAN Common Protocol model......................................................................................................2
2 UMTS Interface Hierarchy..........................................................................................................................7
2.1 Control Plane and User Plane..............................................................................................................7
2.2 Access Layer and Non-access Layer...................................................................................................7
3 Interface and Protocol..................................................................................................................................1
3.1 Protocol Overview...............................................................................................................................1
3.1.1 RRC Connection Setup.............................................................................................................1
3.1.2 Network Registration Process..................................................................................................2
3.1.3 Connection Release Process.....................................................................................................4
3.2 Protocol Related to Interface Uu.........................................................................................................6
3.2.1 Uu Interface protocol architecture............................................................................................6
3.2.2 Status of RRC Protocol..........................................................................................................13
3.2.3 Some Explanations.................................................................................................................14
3.3 Protocol related to Interface Iu..........................................................................................................14
3.3.1 IU interface architecture.........................................................................................................14
3.3.2 Protocol Structure of Iu Interface...........................................................................................15
3.3.3 Some Explanations.................................................................................................................20
3.3.4 RANAP Process......................................................................................................................22
3.4 Protocol related to Interface Iur.........................................................................................................24
3.4.1 Function and Structure of Interface Iur..................................................................................24
i

3.4.2 DCH Frame Protocol of Interface Iur....................................................................................25

3.4.3 RNSAP Process......................................................................................................................25
3.5 Protocol Related to Interface Iub.......................................................................................................27
3.5.1 Node B Logic Model..............................................................................................................28
3.5.2 NBAP Process.........................................................................................................................28

ii

1 UTRAN System Architecture

1.1 UTRAN Architecture
Figure 1 shows the overall architecture of UMTS UTRAN (UMTS Terrestrial Radio
Access Network) system of 3GPP R4.
Figure 1 Overall UTRAN Architecture

Core Network
Iu

UTRAN

Iu

RNS

RNS
Iur

RNC
Iub
Node B

RNC

Iub

Iub

Node B

Node B

Iub
Node B

The interface between CN and UTRAN is Interface Iu.

Inside UTRAN, the interface between RNC and Node B is Interface Iub.
Inside UTRAN, the interface between RNCs is Interface Iur.
In addition, the interface between UTRAN and UE is Interface Uu.

1.2 Explanation Related to RNS

RNS (Radio Network Subsystem): The general name for one RNC and all Nodes B it
manages.
SRNC (Serving RNC): The RNS connecting with CN is called SRNS and the RNC of
RNS is called SRNC.

DRNC (Drift RNC): In the case of soft handover of UMTS, UE can use several RNSs.
Figure 2 shows the relation of SRNS and DRNS.
Figure 2 SRNS and DRNS

Core Network

Iu
DRNS

Iur

SRNS

Cells

UE

Several links can exist inside one UE at the same time. The user data to access DRNS
is sent to SRNS from DRNS via Interface Iur. DRNC wont process the data but
transmit it between Interface Iub and Interface Iur transparently. One UE can access
one or several DRNSs.
CRNC (Control RNC): When UE access one RNS, the RNC of the RNS is called
CRNC. Therefore, in Figure 2, both SRNC and DRNC are CRNC. CRNC manages the
resources of the whole cell. SRNC schedules data on user DCH and CRNC schedules
data on CCH.
For Source RNC (S-RNC) and Target RNC (T-RNC), refer to Chapter of Interface Iu.

1.3 UTRAN Common Protocol model

shows the general protocol model for UTRAN Interfaces, and described in detail in the
following subclauses. The structure is based on the principle that the layers and planes
are logically independent of each other. Therefore, as and when required, the
standardisation body can easily alter protocol stacks and planes to fit future
requirements.

Chapter 3 Interface and Protocol

Figure 3 UTRAN Common Protocol Model

Radio
Network
Layer

Control Plane

User Plane

Application
Protocol

Data
Stream(s)

Transport Transport Network

User Plane
Network
Layer

Transport Network
Control Plane

Transport Network
User Plane

ALCAP(s)

Signalling
Bearer(s)

Signalling
Bearer(s)

Data
Bearer(s)

Physical Layer

Horizontal, The Protocol Structure consists of two main layers, Radio Network Layer,
and Transport Network Layer. All UTRAN related issues are visible only in the Radio
Network Layer, and the Transport Network Layer represents standard transport
technology that is selected to be used for UTRAN, but without any UTRAN specific
requirements.
Vertical, UTRAn falls into the following 4 planes: control plane , user plane , TNL
control plane , TNL user plane.

Control plane

The Control Plane Includes the Application Protocol, i.e. RANAP, RNSAP or NBAP,
and the Signalling Bearer for transporting the Application Protocol messages.
Among other things, the Application Protocol is used for setting up bearers for (i.e.
Radio Access Bearer or Radio Link) in the Radio Network Layer. In the three plane
structure the bearer parameters in the Application Protocol are not directly tied to the
User Plane technology, but are rather general bearer parameters.
The Signalling Bearer for the Application Protocol may or may not be of the same type
as the Signalling Protocol for the ALCAP. The Signalling Bearer is always set up by
O&M actions.

User plane
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UMTS Interface Protocol

The User Plane Includes the Data Stream(s) and the Data Bearer(s) for the Data
Stream(s). The Data Stream(s) is/are characterised by one or more frame protocols
specified for that interface.

TNL control plane

The Transport Network Control Plane does not include any Radio Network Layer
information, and is completely in the Transport Layer. It includes the ALCAP
protocol(s) that is/are needed to set up the transport bearers (Data Bearer) for the User
Plane. It also includes the appropriate Signalling Bearer(s) needed for the ALCAP
protocol(s).
The Transport Network Control Plane is a plane that acts between the Control Plane
and the User Plane. The introduction of Transport Network Control Plane makes it
possible for the Application Protocol in the Radio Network Control Plane to be
completely independent of the technology selected for Data Bearer in the User Plane.
When Transport Network Control Plane is used, the transport bearers for the Data
Bearer in the User Plane are set up in the following fashion. First there is a signalling
transaction by the Application Protocol in the Control Plane, which triggers the set up
of the Data Bearer by the ALCAP protocol that is specific for the User Plane
technology.
The independence of Control Plane and User Plane assumes that ALCAP signalling
transaction takes place. It should be noted that ALCAP might not be used for all types
Data Bearers. If there is no ALCAP signalling transaction, the Transport Network
Control Plane is not needed at all. This is the case when pre-configured Data Bearers
are used.
It should also be noted that the ALCAP protocol(s) in the Transport Network Control
Plane is/are not used for setting up the Signalling Bearer for the Application Protocol
or for the ALCAP during real time operation.
The Signalling Bearer for the ALCAP may or may not be of the same type as the
Signalling Bearer for the Application Protocol. The Signalling Bearer for ALCAP is
always set up by O&M actions.

TNL user plane

The Data Bearer(s) in the User Plane, and the Signalling Bearer(s) for Application
Protocol, belong also to Transport Network User Plane. As described in the previous
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Chapter 3 Interface and Protocol

subclause, the Data Bearers in Transport Network User Plane are directly controlled by
Transport Network Control Plane during real time operation, but the control actions
required for setting up the Signalling Bearer(s) for Application Protocol are considered
O&M actions.

2 UMTS Interface Hierarchy

2.1 Control Plane and User Plane
Purpose of the control plane:
Control the radio access bearer and the connection between UE and the network;
Transmit messages of non-access layer transparently.
Purpose of user plane:
Transmit the user data via the access network.
In UTRAN, each interface of RNL has user plane and control plane.
The control plane protocols of each interface on RNL include:
Interface Iu: RANAP
Interface Iur: RANSAP
Interface Iub: NBAP
Interface :Uu: RRC protocol
The user plane data and control plane data of all RNL belong to TNL user plane. TNL
control plane protocol is ALCAP, belonging to SAAL (Signalling AAL) of ATM.

2.2 Access Layer and Non-access Layer

The concepts of access layer and non-access layer are related to the communication of
UE and CN. The access layer bears the upper layer services via the SAP (Service
Access Point), as shown in Figure 4.
Figure 4 Access Layer and Non-access Layer

Non-Access Stratum
Radio
protocols
(1)

Radio
protocols
(1)

UE

Iu

Iu

proto
cols

proto
cols

(2)

(2)

Access Stratum
UTRAN
Radio
(Uu)

Iu

CN

Example for non-access layer:

In AMR voice telephone (the calling party), there are several UE-CN signaling, which
are the control plane signaling of non-access layer. These signaling are encapsulated in
RRC protocol first and then transmitted to RNC transparently. RNC decodes these
signaling out of RRC messages, encapsulates into RANAP, and then transmits to CN
transparently via RANAP.
UERNC

CM Service Request

RNCUE

Authentication Request

UERNC

Authentication Response

RNCUE

CM Service Accept

UERNC

SETUP

RNCUE

Call Processing

RNCUE

Alerting

RNCUE

Connect

UERNC

Connect Acknowledge

3 Interface and Protocol

3.1 Protocol Overview
Besides the process that UE searches for the net, UE registration fall into 3 phases:

RRC connection setup

Network registration

Connection release

3.1.1 RRC Connection Setup

Figure 5 shows the flow of RRC connection setup.
Figure 5 RRC Connection Setup

Node B
Serving RNS

UE

RRC

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

RRC

5. Downlink Synchronisation

6. Uplink Synchronisation

DCH-FP

DCH-FP

Start TX
description
7. CCCH : RRC Connection Setup
RRC
8. DCCH : RRC Connection Setup Complete
RRC

Detailed
descriptions:
At the beginning, UE does not have dedicated channel resources, so it sends the
message of RRC connection setup on CCCH (RACH).
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UMTS Interface Protocol

RNC allocates RNTI and available resources to UE, decides to allocate DCH to UE,
and inform Node B to allocate DCH to UE with NBAP message of Radio Link Setup
Request.
Node B allocates resources to UE, starts to receive, and returns Radio Link Setup
Response to RNC.
At this time, there are no resources of the transmission network on Interface Iub, so
ALCAP of SRNC sends the message of ERQ (Establish Request). This message
contains AAL2 binding ID. This ID can help Node B to bind the data transmission
bearer on Interface Iub and DCH, and sends the message of ECF (Establish Confirm)
back to RNC.
Node

and

SRNC

perform

the

frame

synchronization

via

Downlink

Synchronization and Uplink. Synchronization in DCH frame protocol, and then to

perform the DL transmission.
Although DCH resources on Interface Iub are ready, UE does not know it. Therefore,
SRNC sends the message of RRC Connection Setup to UE on CCCH (FACH), and
informs UE of related parameters.
According to related parameters in RRC Connection Setup, UE configures the
physical layer. Node B sets up DCH successfully and sends the message of RRC
Connection Setup Complete back to SRNC on DCH.

3.1.2 Network Registration Process

shows the flow of UE registration for CS domain.

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Chapter 3 Interface and Protocol

Figure 6 UE Location Update

Detailed descriptions:
After RRC connection sets up, UE establishes DCH. UE needs to change information
11

UMTS Interface Protocol

with CN (this is signaling interaction of non-access layer and readers of non-access

layer signaling can refer to [3]), that is, to initiate the Location Update. This message is
encapsulated in the RRC message of Initial Direct Transfer, which is sent to RNC by
UE.
RRC of RNC receives the message of Initial Direct Transfer, decodes the high-layer
messages from it, and sends to RANAP entity. RANAP entity will encapsulate the
message of Location Update into Initial UE Message and sends it to CN through
SCCP entity. At this time, there is no signaling connection between RNC and CN, so
the message of Initial UE Message of RANAP is encapsulated into SCCP connection
setup massage (CR) and sent to CN.
SCCP entity of CN receives the SCCP connection setup request. It returns SCCP
connection setup message (CC) to RNC and sends the RANAP massage contained in
CR messages to RANAP entity. RANAP entity decodes the message of Location
Update of NAS layer and sends it to the related modules on NAS layer for processing.
After receiving the message of Location Update from UE, CN initiates the
authentication. The signalling during the authentication process is transmitted
transparently. RNC and Node B only transfer between UE and CN, but do not process
messages. Messages of Authentication Request and Authentication Response are
NAS messages, too. They are encapsulated into the message of Direct Transfer of
RANAP and RRC.
After the authentication check on UE is passed, CN initiates the security mode process.
It is to encrypt and protect the data and signaling of the air interface. Messages of
security mode are not transmitted transparently and it needs RNC processing.
After the authentication check is passed and the security mode is initiated, CN sends
the message of Location Update Accept to UE, informing that UE registration
succeeds. This message is transmitted transparently.

3.1.3 Connection Release Process

shows the connection release process.

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Chapter 3 Interface and Protocol

Figure 7 RRC Connection Release

Detailed descriptions:
After Location Update completes, CN initiates Iu release process.
SRNC sends the message of RRC connection release to RRC.
UE sends the message of RRC connection release back to RNC.
RNC informs Node B to delete RL and after deleting RL, Node B replies to RNC.
RNC informs CN that returns Iu release completes via RANAP.
CN initiates to release SCCP link and RNC returns the message of SCCP release
confirmation.
RNC initiates to release the transmission resources on Interface Iub.

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UMTS Interface Protocol

3.2 Protocol Related to Interface Uu

3.2.1 Uu Interface protocol architecture
Figure 8 shows the architecture of Uu Interface protocol.
Figure 8 Structure of RRC Protocol
Nt

GC

DC

Duplication avoidance
Nt

GC

DC
UuS boundary
U-plane information

C-plane signalling

L3

control

Radio
Bearers

control
control

control

control

RRC

PDCP

RLC

RLC

PDCP

L2/PDCP

RLC
RLC

RLC

RLC

RLC

BMC

L2/BMC

RLC

L2/RLC

Logical
Channels
MAC

L2/MAC
Transport
Channels

PHY

L1

The Uu
interface is layered into three protocol layers:

the physical layer (L1);

the data link layer (L2);

network layer (L3).

Layer 2 is split into following sublayers: Medium Access Control (MAC), Radio Link
Control (RLC), Packet Data Convergence Protocol (PDCP) and Broadcast/Multicast
Control (BMC). Layer 3 and RLC are divided into Control (C-) and User (U-) planes.
PDCP and BMC exist in the U-plane only.
In the C-plane, Layer 3 is partitioned into sublayers where the lowest sublayer, denoted
as Radio Resource Control (RRC), interfaces with layer 2 and terminates in the
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Chapter 3 Interface and Protocol

UTRAN. The next sublayer provides 'Duplication avoidance' functionality. It

terminates in the CN but is part of the Access Stratum; it provides the Access Stratum
Services to higher layers. The higher layer signalling such as Mobility Management
(MM) and Call Control (CC) is assumed to belong to the non-access stratum..
The functions of RLC:
The RLC sublayer provides ARQ functionality closely coupled with the radio
transmission technique used. There is no difference between RLC instances in C and U
planes.The UTRAN can be requested by the CN to prevent all loss of data (i.e.
independently of the handovers on the radio interface), as long as the Iu connection
point is not modified. This is a basic requirement to be fulfilled by the UTRAN
retransmission functionality as provided by the RLC sublayer.However, in case of the
Iu connection point is changed (e.g. SRNS relocation, streamlining), the prevention of
the loss of data may not be guaranteed autonomously by the UTRAN but relies on
'Duplication avoidance' functions in the CN.There are primarily two kinds of signalling
messages transported over the radio interface - RRC generated signalling messages and
NAS messages generated in the higher layers. On establishment of the signalling
connection between the peer RRC entities three or four UM/AM signalling radio
bearers may be set up. Two of these bearers are set up for transport of RRC generated
signalling messages - one for transferring messages through an unacknowledged mode
RLC entity and the other for transferring messages through an acknowledged mode
RLC entity.
The functions of MAC include:

Mapping between logical channels and transport channels. The MAC is

responsible for mapping of logical channel(s) onto the appropriate transport
channel(s).

Selection of appropriate Transport Format for each Transport Channel

depending on instantaneous source rate. Given the Transport Format
Combination Set assigned by RRC, MAC selects the appropriate transport format
within an assigned transport format set for each active transport channel
depending on source rate. The control of transport formats ensures efficient use of
transport channels.

Priority handling between data flows of one UE. When selecting between the
Transport Format Combinations in the given Transport Format Combination Set,
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UMTS Interface Protocol

priorities of the data flows to be mapped onto the corresponding Transport

Channels can be taken into account. Priorities are e.g. given by attributes of Radio
Bearer services and RLC buffer status. The priority handling is achieved by
selecting a Transport Format Combination for which high priority data is mapped
onto L1 with a "high bit rate" Transport Format, at the same time letting lower
priority data be mapped with a "low bit rate" (could be zero bit rate) Transport
Format. Transport format selection may also take into account transmit power
indication from Layer 1.

Priority handling between UEs by means of dynamic scheduling. In order to

utilise the spectrum resources efficiently for bursty transfer, a dynamic scheduling
function may be applied. MAC realises priority handling on common and shared
transport channels. Note that for dedicated transport channels, the equivalent of
the dynamic scheduling function is implicitly included as part of the
reconfiguration function of the RRC sublayer.

Identification of UEs on common transport channels. When a particular UE is

addressed on a common downlink channel, or when a UE is using the RACH,
there is a need for inband identification of the UE. Since the MAC layer handles
the access to, and multiplexing onto, the transport channels, the identification
functionality is naturally also placed in MAC.

Multiplexing/demultiplexing of upper layer PDUs into/from transport blocks

delivered to/from the physical layer on common transport channels. MAC
should support service multiplexing for common transport channels, since the
physical layer does not support multiplexing of these channels.

Multiplexing/demultiplexing of upper layer PDUs into/from transport block

sets delivered to/from the physical layer on dedicated transport channels. The
MAC allows service multiplexing for dedicated transport channels. This function
can be utilised when several upper layer services (e.g. RLC instances) can be
mapped efficiently on the same transport channel. In this case the identification of
multiplexing is contained in the MAC protocol control information.

Traffic volume measurement. Measurement of traffic volume on logical

channels and reporting to RRC. Based on the reported traffic volume information,
RRC performs transport channel switching decisions.

Transport Channel type switching. Execution of the switching between

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Chapter 3 Interface and Protocol

common and dedicated transport channels based on a switching decision derived

by RRC.

Ciphering. This function prevents unauthorised acquisition of data. Ciphering is

performed in the MAC layer for transparent RLC mode.

Access Service Class selection for RACH and CPCH transmission. The RACH
resources (i.e. access slots and preamble signatures) and CPCH resources (i.e.
access slots and preamble signatures) may be divided between different Access
Service Classes in order to provide different priorities of RACH and CPCH usage.
In addition it is possible for more than one ASC or for all ASCs to be assigned to
the same access slot/signature space. Each access service class will also have a set
of back-off parameters associated with it, some or all of which may be broadcast
by the network. The MAC function applies the appropriate back-off and indicates
to the PHY layer the RACH and CPCH partition associated to a given MAC PDU
transfer.

The functions of PDCP include:

Header

compression

and

decompression.

Header

compression

and

decompression of IP data streams (e.g., TCP/IP and RTP/UDP/IP headers) at the

transmitting and receiving entity, respectively. The header compression method is
specific to the particular network layer, transport layer or upper layer protocol
combinations e.g. TCP/IP and RTP/UDP/IP.

Transfer of user data. Transmission of user data means that PDCP receives
PDCP SDU from the NAS and forwards it to the RLC layer and vice versa.

Support for lossless SRNS relocation. Maintenance of PDCP sequence numbers

for radio bearers that are configured to support lossless SRNS relocation.

The functions of BMC include:

Storage of Cell Broadcast Messages.

The BMC stores the Cell Broadcast messages received over the CBC-RNC
interface for scheduled transmission.

Traffic volume monitoring and radio resource request for CBS.

At the UTRAN side, the BMC calculates the required transmission rate for Cell
Broadcast Service based on the messages received over the CBC-RNC interface,
and requests for appropriate CTCH/FACH resources from RRC.
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UMTS Interface Protocol

Scheduling of BMC messages.

The BMC receives scheduling information together with each Cell Broadcast
message over the CBC-RNC-interface. Based on this scheduling information, at
the UTRAN side, BMC generates schedule messages and schedules BMC
message sequences accordingly. At the UE side, BMC evaluates the schedule
messages and indicates scheduling parameters to RRC, which are used by RRC to
configure the lower layers for CBS discontinuous reception.

Transmission of BMC messages to UE.

This function transmits the BMC messages (Scheduling and Cell Broadcast
messages) according to schedule.

Delivery of Cell Broadcast messages to upper layer (NAS).

This functions delivers the received Cell Broadcast messages to upper layer
(NAS) in the UE. Only non-corrupted Cell Broadcast messages are delivered.

The functions of RRC include:

The Radio Resource Control (RRC) layer handles the control plane signalling of Layer
3 between the UEs and UTRAN. The RRC performs the following functions:

Broadcast of information provided by the non-access stratum (Core

Network). The RRC layer performs system information broadcasting from the
network to all UEs. The system information is normally repeated on a regular
basis. The RRC layer performs the scheduling, segmentation and repetition. This
function supports broadcast of higher layer (above RRC) information. This
information may be cell specific or not. As an example RRC may broadcast Core
Network location service area information related to some specific cells.

Broadcast of information related to the access stratum. The RRC layer

performs system information broadcasting from the network to all UEs. The
system information is normally repeated on a regular basis. The RRC layer
performs the scheduling, segmentation and repetition. This function supports
broadcast of typically cell-specific information.

Establishment, re-establishment, maintenance and release of an RRC

connection between the UE and UTRAN. The establishment of an RRC
connection is initiated by a request from higher layers at the UE side to establish
the first Signalling Connection for the UE. The establishment of an RRC
connection includes an optional cell re-selection, an admission control, and a layer
18

Chapter 3 Interface and Protocol

2 signalling link establishment. The release of an RRC connection can be initiated

by a request from higher layers to release the last Signalling Connection for the
UE or by the RRC layer itself in case of RRC connection failure. In case of
connection loss, the UE requests re-establishment of the RRC connection. In case
of RRC connection failure, RRC releases resources associated with the RRC
connection.

Establishment, reconfiguration and release of Radio Bearers. The RRC layer

can, on request from higher layers, perform the establishment, reconfiguration and
release of Radio Bearers in the user plane. A number of Radio Bearers can be
established to an UE at the same time. At establishment and reconfiguration, the
RRC layer performs admission control and selects parameters describing the
Radio Bearer processing in layer 2 and layer 1, based on information from higher
layers.

Assignment, reconfiguration and release of radio resources for the RRC

connection. The RRC layer handles the assignment of radio resources (e.g. codes,
CPCH channels) needed for the RRC connection including needs from both the
control and user plane. The RRC layer may reconfigure radio resources during an
established RRC connection. This function includes coordination of the radio
resource allocation between multiple radio bearers related to the same RRC
connection. RRC controls the radio resources in the uplink and downlink such that
UE and UTRAN can communicate using unbalanced radio resources (asymmetric
uplink and downlink). RRC signals to the UE to indicate resource allocations for
purposes of handover to GSM or other radio systems.

RRC connection mobility functions. The RRC layer performs evaluation,

decision and execution related to RRC connection mobility during an established
RRC connection, such as handover, preparation of handover to GSM or other
systems, cell re-selection and cell/paging area update procedures, based on e.g.
measurements done by the UE.

Paging/notification. The RRC layer can broadcast paging information from the
network to selected UEs. Higher layers on the network side can request paging
and notification. The RRC layer can also initiate paging during an established
RRC connection.

Routing of higher layer PDUs. This function performs at the UE side routing of

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UMTS Interface Protocol

higher layer PDUs to the correct higher layer entity, at the UTRAN side to the
correct RANAP entity.

Control of requested QoS. This function shall ensure that the QoS requested for
the Radio Bearers can be met. This includes the allocation of a sufficient number
of radio resources.

UE measurement reporting and control of the reporting. The measurements

performed by the UE are controlled by the RRC layer, in terms of what to
measure, when to measure and how to report, including both UMTS air interface
and other systems. The RRC layer also performs the reporting of the
measurements from the UE to the network.

Outer loop power control. The RRC layer controls setting of the target of the
closed loop power control.

Control of ciphering. The RRC layer provides procedures for setting of ciphering
(on/off) between the UE and UTRAN.

Arbitration of radio resources on uplink DCH. This function controls the

allocation of radio resources on uplink DCH on a fast basis, using a broadcast
channel to send control information to all involved users.This function is
implemented in the CRNC.

Initial cell selection and re-selection in idle mode. Selection of the most suitable
cell based on idle mode measurements and cell selection criteria.

Integrity protection. This function adds a Message Authentication Code (MACI) to those RRC messages that are considered sensitive and/or contain sensitive
information.

Initial Configuration for CBS

This function performs the initial configuration of the BMC sublayer.

Allocation of radio resources for CBS

This function allocates radio resources for CBS based on traffic volume
requirements indicated by BMC. The radio resource allocation set by RRC (i.e.
the schedule for mapping of CTCH onto FACH/S-CCPCH) is indicated to BMC
to enable generation of schedule messages. The resource allocation for CBS shall
be broadcast as system information.

Configuration for CBS discontinuous reception

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Chapter 3 Interface and Protocol

This function configures the lower layers (L1, L2) of the UE when it shall listen to
the resources allocated for CBS based on scheduling information received from
BMC.

3.2.2 Status of RRC Protocol

In UMTS, all statuses of UE are scheduled by RRC protocol. One UE has several RRC
statuses, such as, Idle and DCH. Figure 9 shows the status and status conversion
(containing GSM status).
Figure 9 RRC Status and Status Conversion

UTRA RRC Connected Mode

URA_PCH
out of
service

in
service

CELL_DCH

out of
service

in
service

Establish RRC Release RRC

Connection
Connection

in
service

GSM
Connected
Mode

GPRS
Packet
Transfer
Mode

CELL_FACH
out of
service

Release RRC
Connection

GSM:
Handover

UTRA:
Inter-RAT
Handover

CELL_PCH

Cell reselection

Establish RRC
Connection

Release of
temporary
block flow

Release RR
Connection

Establish RR
Connection

Initiation of
temporary
block flow

GPRS Packet Idle Mode1

Camping on a UTRAN cell1

Camping on a GSM / GPRS cell1

Idle Mode

UE status is defined by the channel that UE uses.

CELL_DCH status indicates that UE occupies the dedicated physical channel.
CELL_FACH status indicates that UE does not use any dedicated channel but uses the
common channel when the traffic is small. UL uses RACH and DL uses FACH. In this
status, UE can initiate cell reselection process and UTRAN can determine which cell
UE locates in.
CELL_PCH status indicates that UE only intercepts PCH and BCH. In this status, UE
can reselect the cell. During the reselection, it converts into CELL_FACH status, the
cell update initiates, and it returns to CELL_PCH status. The network can determine
the cell which the UE locates in.

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UMTS Interface Protocol

URA_PCH status is similar to CELL_PCH status. The network can only determine the
URA cell which the UE locates in.
The introduction of CELL_PCH status and URA_PCH status is to keep UE always in
online status in order not to waster radio resources.

3.2.3 Some Explanations

In CELL_PCH, URA_PCH or Idle status, UE can intercept PCH and BCH, and can
receive the message of Paging. In CELL_DCH or CELL_FACH status, UE cannot
intercept PCH and BCH. Paging Type 2 is introduced to page UE in these two statuses.
Usually, the permanent ID information of UE (such as, IMSI) will not be saved in
RNC. When UE is making a call, CN informs RNC of the IMSI of the UE with the
message of Command ID of RANAP. When CN requires RNC to page a specific UE,
RNC will judge which RRC status the IMSI to page is in, to decide the paging type
(Paging Type 1 or Paging Type 2).

3.3 Protocol related to Interface Iu

3.3.1 IU interface architecture
UTRAN

Core Network (CN)

CS
Domain

Node B
RNC

Iu-CS

Node B

PS
Domain
Iu-PS

Node B
RNC

BC
Domain

Node B

Iu-BC

Iu Interface
The

Iu

interface is specified at the boundary between the Core Network and UTRAN. Figure
depicts the logical division of the Iu interface. From the Iu perspective, the UTRAN
access point is an RNC. The Iu interface towards the PS-domain of the core network is
22

Chapter 3 Interface and Protocol

called Iu-PS, and the Iu interface towards the CS-domain is called Iu-CS. The
differences between Iu-CS and Iu-PS are treated elsewhere in the present document.
The Iu interface to the Broadcast domain is called Iu-BC.
There shall not be more than one Iu interface (Iu-PS) towards the PS-domain from any
one RNC. Each RNC shall not have more than one Iu interface (Iu-CS) towards its
default CN node within the CS domain, but may also have further Iu interfaces (Iu-CS)
towards other CN nodes within the CS domain. (See [6] for definition of Default CN
node.) These further Iu interfaces (Iu-CS) shall only be used as a result of intra-MSC
inter-system handover or SRNS relocation, in the case the anchor CN node directly
connects to the target RNC. There shall not be more than one Iu interface (Iu-BC) from
an RNC towards the Broadcast domain.
In the separated core network architecture, this means that there shall be separate
signalling and user data connections towards the PS and CS domains this applies in
both transport and radio network layers.
In the combined architecture, there shall be separate connections in the user plane
towards the PS and CS domains (in both transport and radio network layers). In the
control plane, there shall be separate SCCP connections to the two logical domains.
In either architecture, there can be several RNCs within UTRAN and so UTRAN may
have several Iu access points towards the Core Network. As a minimum, each Iu access
point (in UTRAN or CN) shall independently fulfil the requirements of the relevant Iu
specifications

3.3.2 Protocol Structure of Iu Interface

Figure 10 shows the structure of Interface Iu-CS protocol and shows the structure of
Interface Iu-PS protocol.
Figure 10 Structure of Iu-CS Protocol

23

UMTS Interface Protocol

Radio
Network
Layer

Transport
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

Q.2150.1

SCCP
MTP3b

MTP3b

SSCF-NNI

SSCF-NNI

SSCOP

SSCOP

AAL5

AAL5

AAL2

ATM
Physical Layer

Figure 11 Structure of Interface Iu-PS Protocol

24

Chapter 3 Interface and Protocol

Radio
Network
Layer

Control Plane

User Plane

RANAP

Iu UP Protocol
Layer

Transport
Network
Layer

Transport Network
User Plane

Transport Network
Control Plane

Transport Network
User Plane

SCCP
M3UA
MTP3-B
GTP-U

SCTP
SSCF-NNI
SSCF-NNI

UDP
IP

SSCOP

IP

AAL5

AAL5

ATM

ATM

Physical Layer

Physical Layer

RANAP: user plane application protocol. It provides the signalling service between
UTRAN and CN that is required to fulfil the RANAP functions. RANAP protocol has
the following functions:

Relocating serving RNC. This function enables to change the serving RNC
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

25

UMTS Interface Protocol

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 change 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 (see [8]).

This function has two sub-classes:

1.

Transport of the initial NAS signalling message from the UE to CN. This function

transfers transparently the NAS information. As a consequence also the Iu signalling

connection is set up.
2.

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.

26

Chapter 3 Interface and Protocol

Reporting general error situations. This function allows reporting of general error
situations, for which function specific error messages have not been defined.

Location related data. This function allows the CN to either retrieve from the RNC
deciphering keys (to be forwarded to the UE) for the broadcasted assistance data,
or request the RNC to deliver dedicated assistance data to the UE.

SCCP: The SCCP is used to support signalling messages between the CNs and the
RNC. One user function of the SCCP, called Radio Access Network Application Part
(RANAP), is defined. The RANAP uses one signalling connection per active UE and
CN for the transfer of layer 3 messages. RANAP may use SSN, SPC and/or GT and
any combination of them as addressing schemes for the SCCP. Which of the available
addressing scheme to use for the SCCP is an operator matter. A new SCCP connection
is established when information related to the communication between a UE and the
network has to be exchanged between RNC and CN, and no SCCP connection exists
between the CN and the RNC involved, for the concerned UE.
MTP3B: provides message routing, discrimination and distribution (for point-to-point
link only), signaling link management load sharing and changeover/back between link
within one link-set. The need for multiple link-sets is precluded.
SAAL-NNI: SAAL-NNI [1] consists of the following sub-layers: - SSCF [3], - SSCOP
[2] and AAL5 [6]. The SSCF maps the requirements of the layer above to the
requirements of SSCOP. Also SAAL connection management, link status and remote
processor status mechanisms are provided. SSCOP provides mechanisms for the
establishment and release of connections and the reliable exchange of signalling
information between signalling entities. Adapts the upper layer protocol to the
requirements of the Lower ATM cells.
IUUP: user plane protocol.
GTP-U: GTP-U is used as the user data bearer towards the PS domain.RANAP
Signalling is used to establish, modify and release the GTP-U tunnels towards the PS
domain.
AAL2: AAL2 is used as the user data bearer towards the CS domain.Q.2630.2 is used
as the protocol for dynamically setup AAL-2 connections over Iu towards the CS
domain. Q.2630.2 adds new optional capabilities to Q.2630.1.

27

UMTS Interface Protocol

3.3.3 Some Explanations

3.3.3.1 SRNS Relocation
One case:
UE crosses 2 RNSs during the move, as shown in Figure 12.
Figure 12 SRNS Relocation (I)

One UE can use 2 RNSs at the same time. The data can be sent on two RLs. In
addition, the data that UE sends to DRNC is sent to SRNC via Interface Iur, and SRNC
will combine them and send to CN.
If UE continues to move, the RL deterioration of UE on SRNS cannot be used again,
which will cause the following case.
Figure 13 SRNS relocation (II)

UE and SRNC have no direct contact, but all data still pass SRNC and reach CN via
Interface Iur. It will cause the waste of resources. Therefore, SRNS relocation should
be initiated, which can move Interface Iu from SRNC to DRNC. In the course of
SRNC relocation, SRNC (Serving RNC) is also called Source RNC and DRNC is also
28

Chapter 3 Interface and Protocol

called Target RNC. Figure 14 shows the result after the relocation completes.
Figure 14 SRNS Relocation (III)

SRNS relocation is the process to move Interface Iu from Source RNC to Target RNC.

3.3.4 RANAP Process

Table 1 Class 1
Elementary

Initiating

Successful Outcome

Unsuccessful Outcome

Procedure

Message

Response message

Response message

Iu Release

IU RELEASE

IU

COMMAND

COMPLETE

Relocation

RELOCATIO

RELOCATION

RELOCATION

Preparation

N REQUIRED

COMMAND

PREPARATION

RELEASE

FAILURE
Relocation

RELOCATIO

RELOCATION

RELOCATION

Resource

N REQUEST

REQUEST

FAILURE

Allocation

ACKNOWLEDGE

Relocation

RELOCATIO

RELOCATION

Cancel

N CANCEL

CANCEL
ACKNOWLEDGE

SRNS Context

SRNS

SRNS

Transfer

CONTEXT

RESPONSE

REQUEST

29

CONTEXT

UMTS Interface Protocol

Elementary

Initiating

Successful Outcome

Unsuccessful Outcome

Procedure

Message

Response message

Response message

Security Mode

SECURITY

SECURITY

SECURITY

Control

MODE

COMPLETE

MODE

MODE

REJECT

COMMAND
Data

Volume

Report

DATA

DATA

VOLUME

REPORT

VOLUME

REPORT
REQUEST
Reset

RESET

RESET
ACKNOWLEDGE

Reset

RESET

RESET

Resource

RESOURCE

ACKNOWLEDGE

RESOURCE

Location

LOCATION

LOCATION

related Data

RELATED

RELATED

DATA

RESPONSE

LOCATION RELATED
DATA

DATA FAILURE

REQUEST

Table 2 Class 2
Elementary Procedure

Message

RAB Modification Request

RAB MODIFY REQUEST

RAB Release Request

RAB 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

FORWARD SRNS CONTEXT

to CN
SRNS Context Forwarding to Target RNC from

FORWARD SRNS CONTEXT

CN
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
30

Chapter 3 Interface and Protocol

Elementary Procedure

Message

Error Indication

ERROR INDICATION

Table 3 Class 3
Elementary Procedure

Initiating Message

Response Message

RAB Assignment

RAB

RAB

ASSIGNMENT

REQUEST

ASSIGNMENT

RESPONSE x N (N>=1)

3.4 Protocol related to Interface Iur

The highest layer protocol of Interface Iur control plane is RANSAP. Figure 15 shows
the structure of Interface Iur protocol.
Figure 15 Structure of Interface Iur Protocol

Radio
Network
Layer

Control Plane

User Plane

RNSAP

Iur Data
Stream(s)

Transport Transport Network

User Plane
Network
Layer

Transport Network
Control Plane
ALCAP(Q.2630.1)

STC (Q.2150.1)

SCCP
MTP3-B

Transport Network
User Plane

M3UA

MTP3-B

M3UA

SSCF-NNI
SSCF-NNI

SCTP

SSCF-NNI
SSCF-NNI

SCTP

SSCOP

IP

SSCOP

IP

AAL5

AAL5

AAL2

ATM
Physical Layer

The protocol structure of Interface Iur control plane (including RNL and TNL) is same
as that of Interface Iu control plane.

3.4.1 Function and Structure of Interface Iur

Interface Iur is to transmit data when UE performs the soft handover between adjacent

31

UMTS Interface Protocol

RNCs.
3GPP prescribes that Interface Iur is a logic entity. That is, Interface Iur and Interface
Iu can either share one channel for the transmission or connect via independent
physical interface.

3.4.2 DCH Frame Protocol of Interface Iur

As shown in Figure,when UE crosses RNSs, DRNC can forward DCH data to SRNC
via Interface Iur. DRNC does not process DCH data but directly send DCH data at
Interface Iub to Interface Iur. DCH frames of Interface Iur and Interface Iub keep
consistent, to greatly reduce DCH data processing by DRNC.

3.4.3 RNSAP Process

Table 4 Class 1 Elementary Procedures
Elementary
Procedure
Radio

Link

Setup

Initiating Message
RADIO

LINK

SETUP

Successful Outcome

Unsuccessful Outcome

Response message

Response message

RADIO

RADIO LINK SETUP

LINK

SETUP RESPONSE

FAILURE

RADIO

RADIO

REQUEST
Radio

Link

Addition
Radio

Link

Deletion

RADIO

LINK

ADDITION

ADDITION

REQUEST

RESPONSE

RADIO

LINK

RADIO

DELETION

DELETION

REQUEST

RESPONSE

ADDITION FAILURE
LINK

RADIO

Radio

RECONFIGURAT

RECONFIGURATI

RECONFIGURATION

ION PREPARE

ON READY

FAILURE

Unsynchronis

RADIO

RADIO

ed Radio Link

RECONFIGURAT

RECONFIGURATI

RECONFIGURATION

Reconfigurati

ION REQUEST

ON RESPONSE

FAILURE

Physical

PHYSICAL

PHYSICAL

PHYSICAL

Channel

CHANNEL

CHANNEL

CHANNEL

Reconfigurati

RECONFIGURAT

RECONFIGURATI

RECONFIGURATION

on

ION REQUEST

ON COMMAND

FAILURE

Reconfigurati

RADIO

LINK

Synchronised
Link

LINK

LINK

LINK

RADIO

LINK

on Preparation
LINK

LINK

RADIO

LINK

on

32

Chapter 3 Interface and Protocol

Elementary
Procedure

Initiating Message

Successful Outcome

Unsuccessful Outcome

Response message

Response message

Dedicated

DEDICATED

DEDICATED

DEDICATED

Measurement

MEASUREMENT

MEASUREMENT

MEASUREMENT

Initiation

INITIATION

INITIATION

INITIATION

REQUEST

RESPONSE

FAILURE

Common

COMMON

COMMON

COMMON

Transport

TRANSPORT

TRANSPORT

TRANSPORT

Channel

CHANNEL

CHANNEL

CHANNEL

Resources

RESOURCES

RESOURCES

RESOURCES

Initialisation

REQUEST

RESPONSE

FAILURE

Common

COMMON

COMMON

COMMON

Measurement

MEASUREMENT

MEASUREMENT

MEASUREMENT

Initiation

INITIATION

INITIATION

INITIATION

REQUEST

RESPONSE

FAILURE

Information

INFORMATION

INFORMATION

INFORMATION

Exchange

EXCHANGE

EXCHANGE

EXCHANGE

Initiation

INITIATION

INITIATION

INITIATION

REQUEST

RESPONSE

FAILURE

Table 5 Class 2 Elementary Procedures

Elementary Procedure

Initiating Message

Uplink Signalling Transfer

UPLINK

SIGNALLING

TRANSFER

INDICATION
Downlink Signalling Transfer

DOWNLINK

SIGNALLING

TRANSFER

REQUEST
Relocation Commit

RELOCATION COMMIT

Paging

PAGING REQUEST

Synchronised

Radio

Link

Reconfiguration Commit
Synchronised

Radio

RADIO

LINK

RECONFIGURATION

LINK

RECONFIGURATION

COMMIT
Link

RADIO

Reconfiguration Cancellation

CANCEL

Radio Link Failure

RADIO LINK FAILURE INDICATION

Radio Link Restoration

RADIO LINK RESTORE INDICATION

Dedicated Measurement Reporting

DEDICATED MEASUREMENT REPORT

Dedicated

DEDICATED

Measurement

MEASUREMENT

Termination

TERMINATION REQUEST

Dedicated Measurement Failure

DEDICATED MEASUREMENT FAILURE

INDICATION

Downlink Power Control [FDD]

33

DL POWER CONTROL REQUEST

UMTS Interface Protocol

Elementary Procedure
Compressed

Mode

Initiating Message
Command

COMPRESSED MODE COMMAND

[FDD]
Common

Transport

Channel

COMMON

TRANSPORT

CHANNEL

Resources Release

RESOURCES RELEASE REQUEST

Error Indication

ERROR INDICATION

Downlink Power Timeslot Control

DL

[TDD]

REQUEST

Radio Link Pre-emption

RADIO LINK PREEMPTION REQUIRED

POWER

TIMESLOT

CONTROL

INDICATION
Radio Link Congestion

RADIO LINK CONGESTION INDICATION

Common Measurement Reporting

COMMON MEASUREMENT REPORT

Common Measurement Termination

COMMON

MEASUREMENT

TERMINATION REQUEST
Common Measurement Failure

COMMON

MEASUREMENT

FAILURE

INDICATION
Information Reporting

INFORMATION REPORT

Information Exchange Termination

INFORMATION

EXCHANGE

TERMINATION REQUEST
Information Exchange Failure

INFORMATION

EXCHANGE

FAILURE

INDICATION

3.5 Protocol Related to Interface Iub

The high layer protocol of Interface Iub control plane is NBAP. The user plane consists
of several frame protocols. shows the structure of protocols.

Figure 16 Structure of Interface Iub Protocol

34

Chapter 3 Interface and Protocol

Radio Network
Control Plane

Transport
Network
Control Plane

CPCH FP

USCH FP

DSCH FP

FACH FP

PCH FP

DCH FP

RACH FP

Node B
Application Part
(NBAP)

Radio
Network
Layer

User Plane

ALCAP
Q.2630.1
Q.2150.2

Transport
Layer

SSCF-UNI

SSCF-UNI

SSCOP

SSCOP

AAL Type 5

AAL Type 5

AAL Type 2

ATM
Physical Layer

NBAP includes Node B logic O&M and dedicated NBAP.

3.5.1 Node B Logic Model

Figure 17 Node B Logic Model
... ...

Node B
Control
Port

Controlling RNC

Iub
RACH
Data
port

Iub
FDD
CPCH
Data
port

Iub
FACH
Data
port

Iub
DSCH
Data
port

Iub
FDD TFCI2
Data
Port

Iub
PCH
Data
port

Iub
TDD USCH
Data
port

Iub
DCH
Data
port

Iub
DSCH
Data
port

Iub
Communication
FDD TFCI2
Control
Data
Port
port

Traffic termination point

Common Transport Channels,

with attributes

Cell

Cell

...

Node B

Cell

Iub
TDD USCH
Data
port

Iub
DCH
Data
port

Communication
Control
Port

Traffic termination point

Node B Communication Contexts,

with attributes

Cell

Cell

Cell

Node B logic model consists of cell, common transmission channel/port, Node B

communication context, and the corresponding DSCH/DCH. Node B controls NCP and
the communication controls port CCP, etc.
Node B communication context and the corresponding DSCH/DCH port are related to
dedicated user services.

35

UMTS Interface Protocol

Node B communication context is corresponding to CRNC communication context.

Node B communication context is identifies by Node B Communication Text ID,
containing necessary information to communicate with UE. It is established when RL
is setup and deleted when RL is deleted.
There is only one NCP link on one Node B. RNC sends all Node B common control
signaling from NCP. NCP link must be setup before operating, maintaining, and
controlling Node B.
There can be several CCP links on one Node B. RNC sends all Node B dedicated
control signaling from CCP link. Usually, one cell inside Node B can be configured
with one CCP (it is just a routine, not certain.)

3.5.2 NBAP Process

Table 6 Class 1
Elementary
Procedure
Cell Setup

Successful Outcome

Message
CELL

SETUP

Unsuccessful
Outcome

Response message

Response message

CELL

CELL

SETUP

SETUP

REQUEST

RESPONSE

FAILURE

Cell

CELL

CELL

CELL

Reconfigurati

RECONFIGURATIO

RECONFIGURATIO

RECONFIGURATIO

on

N REQUEST

N RESPONSE

N FAILURE

Cell Deletion

CELL

CELL

DELETION

DELETION

REQUEST

RESPONSE

Common

COMMON

COMMON

Transport

TRANSPORT

Channel

CHANNEL

Setup

REQUEST

RESPONSE

FAILURE

Common

COMMON

COMMON

COMMON

Transport

TRANSPORT

TRANSPORT

TRANSPORT

Channel

CHANNEL

CHANNEL

CHANNEL

Reconfigurati

RECONFIGURATIO

RECONFIGURATIO

RECONFIGURATIO

on

N REQUEST

N RESPONSE

N FAILURE

Common

COMMON

COMMON

Transport

TRANSPORT

TRANSPORT

Channel

CHANNEL

CHANNEL

Deletion

DELETION

DELETION

REQUEST

RESPONSE
36

COMMON

TRANSPORT
SETUP

CHANNEL

TRANSPORT
SETUP

CHANNEL

SETUP

Chapter 3 Interface and Protocol

Elementary
Procedure

Successful Outcome

Message

Unsuccessful
Outcome

Response message

Response message

Physical

PHYSICAL SHARED

PHYSICAL

PHYSICAL

Shared

CHANNEL

SHARED

SHARED CHANNEL

Channel

RECONFIGURATIO

CHANNEL

RECONFIGURATIO

Reconfigure

N REQUEST

RECONFIGURATIO

N FAILURE

[TDD]

N RESPONSE

Audit

AUDIT REQUEST

AUDIT RESPONSE

AUDIT FAILURE

Block

BLOCK RESOURCE

BLOCK RESOURCE

BLOCK RESOURCE

Resource

REQUEST

RESPONSE

FAILURE

Radio

RADIO LINK SETUP

RADIO

Setup

Link

REQUEST

SETUP RESPONSE

LINK

RADIO

SETUP FAILURE

LINK

System

SYSTEM

SYSTEM

SYSTEM

Information

INFORMATION

INFORMATION

INFORMATION

Update

UPDATE REQUEST

UPDATE

UPDATE FAILURE

Common

COMMON

COMMON

COMMON

Measurement

MEASUREMENT

MEASUREMENT

MEASUREMENT

Initiation

INITIATION

INITIATION

INITIATION

REQUEST

RESPONSE

FAILURE

RESPONSE

Radio

Link

Addition
Radio

Link

Deletion

RADIO

LINK

RADIO

LINK

RADIO

ADDITION

ADDITION

ADDITION

REQUEST

RESPONSE

FAILURE

RADIO

LINK

RADIO

DELETION

DELETION

REQUEST

RESPONSE

RADIO

Radio

RECONFIGURATIO

RECONFIGURATIO

RECONFIGURATIO

N PREPARE

N READY

N FAILURE

Reconfigurati

RADIO

LINK

Synchronised
Link

LINK

LINK

LINK

RADIO

LINK

on
Preparation
Unsynchronis

RADIO

ed

RECONFIGURATIO

RECONFIGURATIO

RECONFIGURATIO

N REQUEST

N RESPONSE

N FAILURE

Dedicated

DEDICATED

DEDICATED

DEDICATED

Measurement

MEASUREMENT

MEASUREMENT

MEASUREMENT

Initiation

INITIATION

INITIATION

INITIATION

REQUEST

RESPONSE

FAILURE

RESET REQUEST

RESET RESPONSE

Radio

Link

LINK

RADIO

LINK

RADIO

LINK

Reconfigurati
on

Reset

37

UMTS Interface Protocol

Elementary
Procedure

Successful Outcome

Message

Unsuccessful
Outcome

Response message

Response message

Cell

CELL

CELL

CELL

Synchronisati

SYNCHRONISATIO

SYNCHRONISATIO

SYNCHRONISATIO

on Initiation

[3.84Mcps

REQUEST

RESPONSE

FAILURE

Cell

CELL

CELL

CELL

Synchronisati

SYNCHRONISATIO

SYNCHRONISATIO

SYNCHRONISATIO

on

Reconfigurati

RECONFIGURATIO

RECONFIGURATIO

RECONFIGURATIO

on

N REQUEST

N RESPONSE

N FAILURE

Cell

CELL

CELL

CELL

Synchronisati

SYNCHRONISATIO

SYNCHRONISATIO

SYNCHRONISATIO

on

Adjustment

REQUEST

RESPONSE

FAILURE

Information

INFORMATION

INFORMATION

INFORMATION

Exchange

EXCHANGE

EXCHANGE

EXCHANGE

Initiation

INITIATION

INITIATION

INITIATION

REQUEST

RESPONSE

FAILURE

INITIATION

INITIATION

INITIATION

TDD]

[3.84

Mcps TDD]

ADJUSTMENT

ADJUSTMENT

ADJUSTMENT

[3.84Mcps
TDD]

Table 7 Class 2
Elementary Procedure

Message

Resource Status Indication

RESOURCE STATUS INDICATION

Audit Required

AUDIT REQUIRED INDICATION

Common Measurement Reporting

COMMON MEASUREMENT REPORT

Common Measurement Termination

COMMON MEASUREMENT TERMINATION

REQUEST

Common Measurement Failure

COMMON

MEASUREMENT

FAILURE

INDICATION
Synchronised Radio Link Reconfiguration Commit

RADIO LINK RECONFIGURATION COMMIT

Synchronised Radio Link Reconfiguration Cancellation

RADIO LINK RECONFIGURATION CANCEL

Radio Link Failure

RADIO LINK FAILURE INDICATION

Radio Link Restoration

RADIO LINK RESTORE INDICATION

Dedicated Measurement Reporting

DEDICATED MEASUREMENT REPORT

Dedicated Measurement Termination

DEDICATED MEASUREMENT TERMINATION

REQUEST
38

Chapter 3 Interface and Protocol

Elementary Procedure

Message

Dedicated Measurement Failure

DEDICATED

MEASUREMENT

FAILURE

INDICATION
Downlink Power Control [FDD]

DL POWER CONTROL REQUEST

Compressed Mode Command [FDD]

COMPRESSED MODE COMMAND

Unblock Resource

UNBLOCK RESOURCE INDICATION

Error Indication

ERROR INDICATION

Downlink Power Timeslot Control [TDD]

DL POWER TIMESLOT CONTROL REQUEST

Radio Link Pre-emption

RADIO

LINK

PREEMPTION

REQUIRED

INDICATION
Cell Synchronisation Reporting [3.84Mcps TDD]

CELL SYNCHRONISATION REPORT

Cell Synchronisation Termination [3.84Mcps TDD]

CELL SYNCHRONISATION TERMINATION

REQUEST

Cell Synchronisation Failure [3.84Mcps TDD]

CELL

SYNCHRONISATION

FAILURE

INDICATION
Information Reporting

INFORMATION REPORT

Information Exchange Termination

INFORMATION EXCHANGE TERMINATION

REQUEST

Information Exchange Failure

INFORMATION
INDICATION

39

EXCHANGE

FAILURE