Technical Specification Group, Radio Access NetworkTSGR#2(99)008Meeting #2, Fort Lauderdale, 2-4 March 1999Source:Title:UMTS Terrestrial Radio Access Network (UTRAN);Architecture Description;Stage 2; (UMTS ZZ.01 version 1.0.0)Document for:Agenda Item:
`
`Cisco Systems, Inc., Exhibit 1131
`Page 1
`
`

`
`TD SMG P-99-076 UMTS ZZ.01 V1.0.0 (1999-01)Technical ReportUMTS Terrestrial Radio Access Network (UTRAN);Architecture Description;Stage 2;(UMTS ZZ.01 version 1.0.0)
`
`UMTS
`
`Universal MobileTelecommunications System
`
`Cisco Systems, Inc., Exhibit 1131
`Page 2
`
`

`
`ETSIUMTS ZZ.01 V1.0.0 (1999-01)2UMTS ZZ.01 version 1.0.0ReferenceDTS/SMG-02zz01U (iic90icr.PDF)Keywords<keyword[, keyword]>ETSIPostal addressF-06921 Sophia Antipolis Cedex - FRANCEOffice address650 Route des Lucioles - Sophia AntipolisValbonne - FRANCETel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16Siret N° 348 623 562 00017 - NAF 742 CAssociation à but non lucratif enregistrée à laSous-Préfecture de Grasse (06) N° 7803/88Internetsecretariat@etsi.frIndividual copies of this ETSI deliverablecan be downloaded fromhttp://www.etsi.orgCopyright NotificationNo part may be reproduced except as authorized by written permission.The copyright and the foregoing restriction extend to reproduction in all media.© European Telecommunications Standards Institute 1999.All rights reserved.
`
`Cisco Systems, Inc., Exhibit 1131
`Page 3
`
`

`
`ETSIUMTS ZZ.01 V1.0.0 (1999-01)3UMTS ZZ.01 version 1.0.0ContentsIntellectual Property Rights...............................................................................................................................5Foreword............................................................................................................................................................51Scope.......................................................................................................................................................62References...............................................................................................................................................63Definitions, abbreviations and symbols..................................................................................................63.1Definitions..........................................................................................................................................................63.2Abbreviations.....................................................................................................................................................73.3Symbols..............................................................................................................................................................73.4Notation.............................................................................................................................................................74General architecture.................................................................................................................................75Basic principles.......................................................................................................................................86UTRAN Logical architecture..................................................................................................................86.1O&M of Node B................................................................................................................................................96.1.1Physical O&M............................................................................................................................................106.1.2Logical O&M.............................................................................................................................................107Mobility Handling.................................................................................................................................117.1Dedicated Connection......................................................................................................................................117.2Consequences for Mobility Handling...............................................................................................................117.3Radio Network Temporary Identity.................................................................................................................117.3.1RNTI format and allocation........................................................................................................................117.3.2RNTI usage in UL Common channel transmission....................................................................................127.3.3RNTI usage in DL Common channel transmission....................................................................................128Synchronisation.....................................................................................................................................128.1Synchronisation model.....................................................................................................................................128.1.1Time Alignment handling...........................................................................................................................138.1.2Frame synchronisation................................................................................................................................138.1.3Radio Interface Synchronisation.................................................................................................................138.1.4Ciphering handling.....................................................................................................................................138.1.5Time-of-day handling.................................................................................................................................148.2Network Synchronisation.................................................................................................................................148.3Radio interface synchronisation.......................................................................................................................148.4Frame Synchronisation.....................................................................................................................................168.4.1General principles for frame synchronisation.............................................................................................168.4.2UE Frame Number definition.....................................................................................................................178.4.3CFN-CELL FN Offset................................................................................................................................178.4.4Use of frame numbers in uplink and downlink transmission......................................................................188.4.5Timing adjustment in Iub/Iur interfaces.....................................................................................................198.4.6Initial synchronisation of the first dedicated branch...................................................................................198.4.7Initial synchronisation of a additional soft handover branches...................................................................198.4.8Maintaining offset......................................................................................................................................198.4.9Synchronisation of L1 configuration changes............................................................................................198.5Node Synchronisation......................................................................................................................................209Function descriptions.............................................................................................................................209.1List of functions...............................................................................................................................................209.2Functions description.......................................................................................................................................209.2.1Functions related to overall system access control.....................................................................................219.2.1.1System information broadcasting..........................................................................................................219.2.2Functions related to security and privacy...................................................................................................219.2.2.1Use of Temporary Identifier.................................................................................................................219.2.2.2Radio channel ciphering.......................................................................................................................219.2.2.3Radio channel deciphering....................................................................................................................21
`
`Cisco Systems, Inc., Exhibit 1131
`Page 4
`
`

`
`ETSIUMTS ZZ.01 V1.0.0 (1999-01)4UMTS ZZ.01 version 1.0.09.2.3Functions related to handover....................................................................................................................219.2.3.1Radio environment survey....................................................................................................................219.2.3.2Handover decision................................................................................................................................229.2.3.3Macro-diversity control........................................................................................................................229.2.3.4Handover Control.................................................................................................................................229.2.3.5Handover execution..............................................................................................................................229.2.3.6Handover completion............................................................................................................................229.2.3.7SRNS Relocation..................................................................................................................................229.2.3.8Inter-System handover..........................................................................................................................229.2.3.8.1Handover from UMTS to GSM......................................................................................................239.2.3.8.2Handover from GSM to UMTS......................................................................................................239.2.4Functions related to radio resource management and control.....................................................................239.2.4.1Radio bearer connection set-up and release (Radio Bearer Control)....................................................239.2.4.2Reservation and release of physical radio channels..............................................................................239.2.4.3Allocation and deallocation of physical radio channels........................................................................249.2.4.4Packet data transfer over radio function...............................................................................................249.2.4.5RF power control..................................................................................................................................249.2.4.5.1[FDD — UL OUTER LOOP POWER CONTROL........................................................................249.2.4.5.2[FDD — DL OUTER LOOP POWER CONTROL........................................................................249.2.4.5.3[FDD — UL INNER LOOP POWER CONTROL.........................................................................259.2.4.5.4[FDD — DL INNER LOOP POWER CONTROL.........................................................................259.2.4.5.5UL OPEN LOOP POWER CONTROL..........................................................................................259.2.4.5.6DL OPEN LOOP POWER CONTROL..........................................................................................259.2.4.6Radio channel coding............................................................................................................................259.2.4.7Radio channel decoding........................................................................................................................259.2.4.8Channel coding control.........................................................................................................................259.2.4.9Initial (random) access detection and handling.....................................................................................2510Description of UTRAN interfaces.........................................................................................................2510.1Description of overall protocol architecture.....................................................................................................2510.1.1User plane...................................................................................................................................................2610.1.2Control plane..............................................................................................................................................2610.2Radio interface.................................................................................................................................................2710.3Iu interface, assumptions..................................................................................................................................2710.3.1Streamlining functions................................................................................................................................2810.3.1.1Access Network Triggered Streamlining..............................................................................................2810.3.1.2Core Network Triggered Streamlining..................................................................................................2810.4Iu interface protocol.........................................................................................................................................2810.5Description of UTRAN internal interfaces.....................................................................................................2910.5.1Iur Interface................................................................................................................................................2910.5.1.1Functional split over Iur Interface.........................................................................................................2910.5.1.1.1Macro-diversity Combining/Splitting..............................................................................................2910.5.1.1.2Control of Macro-diversity Combining/Splitting Topology............................................................2910.5.1.1.3Handling of DRNS Hardware Resources........................................................................................3010.5.1.1.4Allocation of Downlink Channelisation Codes...............................................................................3010.5.1.1.5UpLink Power Control....................................................................................................................3010.5.1.2DRNS Logical Model...........................................................................................................................3010.5.1.2.1Overview.........................................................................................................................................3010.5.1.2.2Logical Model Elements.................................................................................................................3010.5.1.2.2.1Radio Link.................................................................................................................................3010.5.1.2.2.2Cell............................................................................................................................................3110.5.1.2.2.3Iur Data Stream..........................................................................................................................3110.5.1.2.2.4Iur User Port..............................................................................................................................3110.5.1.2.2.5Iur Control Port.........................................................................................................................3110.5.1.3Iur Interface protocol............................................................................................................................3110.5.2Iub Interface...............................................................................................................................................3210.5.2.1Iub General Principles..........................................................................................................................3310.5.2.2Functional split over Iub.......................................................................................................................3310.5.2.2.1Traffic management........................................................................................................................3310.5.2.2.1.1Management of dedicated resources..........................................................................................3310.5.2.2.1.2Management of common radio channels...................................................................................33
`
`Cisco Systems, Inc., Exhibit 1131
`Page 5
`
`

`
`ETSIUMTS ZZ.01 V1.0.0 (1999-01)5UMTS ZZ.01 version 1.0.010.5.2.2.1.3Control of traffic flows..............................................................................................................3310.5.2.2.2Macro-diversity Combining of Radio Frames.................................................................................3310.5.2.2.3Control of Macro-diversity Combining/Splitting Topology............................................................3310.5.2.2.4Soft Handover Decision..................................................................................................................3310.5.2.2.5Handling of Node B Hardware Resources......................................................................................3310.5.2.2.6Allocation of Downlink Channelisation Codes...............................................................................3410.5.2.2.7UpLink Power Control....................................................................................................................3410.5.2.3Logical model of the Node B................................................................................................................3410.5.2.3.1Elements of the logical model.........................................................................................................3410.5.2.3.1.1Radio Network Logical resources..............................................................................................3410.5.2.3.1.2Transport network logical resources..........................................................................................3410.5.2.3.1.3Node B Communication Contexts for Dedicated Channels.......................................................3510.5.2.3.1.4Common Channels.....................................................................................................................3510.5.2.4Iub Interface Protocol...........................................................................................................................3511UTRAN Internal Bearers.......................................................................................................................3511.1User data Bearers.............................................................................................................................................3611.2Signalling Bearers............................................................................................................................................3611.2.1Signalling Bearer Requirements for Iu Interface........................................................................................3611.2.2Radio Network Control Plane Signalling Bearer Requirements for Iur Interface.......................................3611.2.2.1Addressing of RNSs over the Iur Interface...........................................................................................3611.2.3Transport Network Control Plane Signalling bearer for Iur interface........................................................36History.............................................................................................................................................................37Intellectual Property RightsIPRs essential or potentially essential to the present document may have been declared to ETSI. The informationpertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be foundin SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in respectof ETSI standards", which is available free of charge from the ETSI Secretariat. Latest updates are available on theETSI Web server (http://www.etsi.org/ipr).Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guaranteecan be given as to the existence of other IPRs not referenced in SR 000 314 (or the updates on the ETSI Web server)which are, or may be, or may become, essential to the present document.ForewordThis Technical Report (TR) has been produced by the Special Mobile Group (SMG) of the EuropeanTelecommunications Standards Institute (ETSI).This TR describes the stage-2 overall architecture for the UTRAN.The contents of this TR are subject to continuing work within SMG and may change following formal TC-SMGapproval.
`
`Cisco Systems, Inc., Exhibit 1131
`Page 6
`
`

`
`ETSIUMTS ZZ.01 V1.0.0 (1999-01)6UMTS ZZ.01 version 1.0.01ScopeThis document describes the overall architecture of the UTRAN, including internal interfaces and assumptions on theradio and Iu interfaces.The assumptions on requirements are documented in a separate document, “Requirements Relevant for UTRANArchitecture”.2ReferencesReferences may be made to:a)specific versions of publications (identified by date of publication, edition number, version number, etc.), inwhich case, subsequent revisions to the referenced document do not apply;b)all versions up to and including the identified version (identified by "up to and including" before the versionidentity);c)all versions subsequent to and including the identified version (identified by "onwards" following the versionidentity); ord)publications without mention of a specific version, in which case the latest version applies.A non-specific reference to an ETS shall also be taken to refer to later versions published as an EN with the samenumber.[1]UMTS 23.01 : Universal Mobile Telecommunications System (UMTS) General UMTSArchitecture[2]UMTS 23.10 : UMTS Access Stratum Services and Functions[3]ITU-T Recommendation I.363.2 : B-ISDN ATM Adaptation Layer type 2 Specification[4]ITU-T Recommendation I.366.1 : Segmentation and Reassembly Service Specific ConvergenceSublayer for the AAL type 2[5]UMTS 23.30 : UMTS Iu principles[6]Vocabulary used in the Radio Interface Protocol specification, Tdoc SMG2/UMTS-L23 356[7]UMTS XX.03 : UTRA FDD, Transport and physical channels description[8]UMTS YY.02 : Layer 1; General Requirements;3Definitions, abbreviations and symbols3.1DefinitionsAccess Stratum SDU (Service Data Unit): Unit of data transferred over the access stratum SAP (Service Access Point)in the Core Network or in the User Equipment.Cell: A cell is defined by a cell identity broadcasted on one physical channel.A Cell is either FDD or TDD mode.Iu: Interconnection point between the RNS and the Core Network. It is also considered as a reference point.Iub: Interface between the RNC and the Node B.Iur: A logical interface between two RNS. Whilst logically representing a point to point link between RNSs, thephysical realisation may not be a point to point link.Logical Model: A Logical Model defines an abstract view of a network or network element by means of informationobjects representing network element, aggregations of network elements, the topological relationship between theelements, endpoints of connections (termination points), and transport entities (such as connections) that transportinformation between two or more termination points.The information objects defined in the Logical Model are used, among others, by connection management functions. Inthis way, a physical implementation independent management is achieved.Node B: A logical node responsible for radio transmission / reception in one or more cells to/from the UE. Terminatesthe Iub interface towards the RNC.Radio Network Controller: This equipment in the RNS is in charge of controlling the use and the integrity of the radioresources.Controlling RNC: A role an RNC can take with respect to a specific set of Node B's. There is only one ControllingRNC for any Node B. The Controlling RNC has the overall control of the logical resources of its node B's.
`
`Cisco Systems, Inc., Exhibit 1131
`Page 7
`
`

`
`ETSIUMTS ZZ.01 V1.0.0 (1999-01)7UMTS ZZ.01 version 1.0.0Radio Network Subsystem: Either a full network or only the access part of a UMTS network offering the allocationand the release of specific radio resources to establish means of connection in between an UE and the UTRAN. A RadioNetwork Subsystem is responsible for the resources and transmission/reception in a set of cells.Serving RNS: A role an RNS can take with respect to a specific connection between an UE and UTRAN. There is oneServing RNS for each UE that has a connection to UTRAN. The Serving RNS is in charge of the radio connectionbetween a UE and the UTRAN. The Serving RNS terminates the Iu for this UE.Drift RNS: The role an RNS can take with respect to a specific connection between an UE and UTRAN. An RNS thatsupports the Serving RNS with radio resources when the connection between the UTRAN and the UE need to use cell(s)controlled by this RNS is referred to as Drift RNSRadio Access Network Application Part: Radio Network Signalling over the Iu.Radio Network Subsystem Application Part: Radio Network Signalling over the Iur.RRC Connection: A point-to-point bi-directional connection between RRC peer entities on the UE and the UTRANsides, respectively. An UE has either zero or one RRC connection. See [6].User Equipment: A Mobile Equipment with one or several UMTS Subscriber Identity Module(s).UMTS Terrestrial Radio Access Network: UTRAN is a conceptual term identifying that part of the network whichconsists of RNCs and Node Bs between Iu an Uu. The concept of UTRAN instantiation is currently undefined.Radio Link: The set of (radio) physical channels comprised in a transmission path between a UE to one UTRAN accesspoint. See [6].3.2AbbreviationsFor the purposes of this specification, the following abbreviations apply.CNCore NetworkDRNSDrift RNSMEMobile EquipmentRANAPRadio Access Network Application PartRNCRadio Network ControllerRNSRadio Network SubsystemRNSAPRadio Network Subsystem Application PartSRNSServing RNSUEUser EquipmentUMTSUniversal Mobile Telecommunication SystemUSIMUMTS Subscriber Identity ModuleUTRANUMTS Terrestrial Radio Access Network3.3SymbolsFor the purposes of this specification the following symbols apply:3.4NotationParts of the document apply only to one mode, FDD or TDD. Any such area will be tagged by [FDD — xxxxxxxxx]and [TDD — yyyyyyyyyyy] respectively. The tag applies to the text until the closing bracket.4General architectureFigure 1. shows a simplified UMTS architecture with the external reference points and interfaces to the UTRAN. Thearchitecture is based on document [1].
`
`Cisco Systems, Inc., Exhibit 1131
`Page 8
`
`

`
`ETSIUMTS ZZ.01 V1.0.0 (1999-01)8UMTS ZZ.01 version 1.0.0 IuUTRANUEUuUTRAN UMTS Terrestrial Radio Access NetworkCNCore NetworkUE User Equipemet CNFigure 1. UMTS Architecture[Editor’s note : The Access Stratum figure from UMTS 23.01 may be included.]5Basic principles[Editor’s note : Here agreed fundamental principles guiding the work on architecture definition should be listed in ashort list.]Some basic principles agreed are:•
`
`Mobility for RRC connection is fully controlled by the UTRAN.Note : Handover to other Access Networks is FFS.6UTRAN Logical architecture[Editor’s note :Logical nodesUTRAN Internal InterfacesFunctional distributionFunctional layering]The UTRAN consists of a set of Radio Network Subsystems connected to the Core Network through the Iu.A RNS consists of a Radio Network Controller and one or more abstract entities currently called Node B. Node B areconnected to the RNC through the Iub interface.A Node B can support FDD mode, TDD mode or dual-mode operation.The RNC is responsible for the Handover decisions that require signalling to the UE.The RNC comprises a combining/splitting function to support macro diversity between different Node B.The functions and internal structure of Node B is for further studies.However, a Node B can comprise an optional combining/splitting function to support macro diversity inside a Node B.Inside the UTRAN, the RNCs of the Radio Network Subsystems can be interconnected together through the Iur. Iu(s)and Iur are logical interfaces. Iur can be conveyed over physical direct connection between RNCs or via any suitabletransport network.The UTRAN architecture is shown in Figure 2.
`
`UTRAN and CN functions are fully separated from transports functions. Addressing scheme used in UTRAN andCN shall not be tied to the addressing schemes of Transport functions. The fact that some UTRAN or CN functionresides in the same equipment as some transport functions does not make the transport functions part of the UTRANor the CN.
`
`•
`•
`
`•
`
`Cisco Systems, Inc., Exhibit 1131
`Page 9
`
`Logical separation of signalling and data transport networks
`Macro diversity is fully handled in the UTRAN
`

`
`ETSIUMTS ZZ.01 V1.0.0 (1999-01)9UMTS ZZ.01 version 1.0.0RNSRNCRNSRNCCore NetworkNode BNode BNode BNode BIuIuIurIubIubIubIubFigure 2. UTRAN ArchitectureEach RNS is responsible for the resources of its set of cells.For each connection between a User Equipment and the UTRAN, One RNS is the Serving RNS. When required, DriftRNSs support the Serving RNS by providing radio resources as shown in Figure 3. The role of an RNS (Serving orDrift) is on a per connection basis between a UE and the UTRAN.SRNSCore NetworkIuDRNSIurUECellsFigure 3. Serving and Drift RNS6.1O&M of Node BThe O&M of Node B is separated in two parts : the O&M linked to the physical and software implementation of NodeB, denoted the physical O&M, and the O&M of the logical resources that the Node B contains, denoted logical O&M.The RNS architecture with the O&M interfaces is shown in Figure 4.
`
`Cisco Systems, Inc., Exhibit 1131
`Page 10
`
`

`
`ETSIUMTS ZZ.01 V1.0.0 (1999-01)10UMTS ZZ.01 version 1.0.0RNCIubNode BNode BIubCellsOMC-BOMC-BOMC-RFigure 4.RNS architecture with O&M interfacesNote : The definition of OMC-R is FFS.Note : The architecture of the RNS, as shown in that figure includes the notion of OMC-B, as the O&M entity for theNode B, as well the OMC-R, as the O&M entity for the RNC. These notions are logical notions that will be furtherrefined in SMG6.Two OMC-B are shown, although this does not imply a physical separation, but only a logical separation. This meansthat when both Node B are from the same manufacturer, it can expected that both logical entities reside in the samephysical entity Similarly, the OMC-R and OMC-B may be physically integrated when both RNC and Node B are fromthe same vendor, which ends up being close to a typical GSM implementation.The protocols on the RNC to OMC-R and Node B to OMC-B interfaces are outside the scope of SMG2.6.1.1Physical O&MThe physical O&M functions are heavily dependent on the implementation of Node B, both for its hardware componentsand for the management of the software load on t