•
`
`'
`
`.
`
`--
`
`·•
`
`ii-
`
`.
`
`- -~ -
`
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`
`i) WILEY
`
`Radio Access For Third Generation
`Mobile Communications
`
`Ol: UMTS
`
`APPLEINC./ Page 1 of 24
`
`Revised Edition |
`
`
`
`
`
`
`Edited by Harri Holma
`and Antti Toskala
`
`Ex.1103
`
`Ex.1103
`APPLE INC. / Page 1 of 24
`
`

`

`WCDMA
`FORUMTS
`
`Radio Access For Third Generation
`Mobile Communications
`
`Revised edition
`
`Edited by
`Harri Holma and Antti Toskala
`Both of Nokia, Finland
`
`JOHN WILEY & SONS, LTD
`Chichester • New York• Weinheim • Brisbane • Singapore • Toronto
`
`Ex.1103
`APPLE INC. / Page 2 of 24
`
`

`

`Copyright © 2001 by John Wiley & Sons, Ltd,
`Baffins Lane, Chichester,
`West Sussex, PO19 IUD, England
`
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`National
`International ( +44) 1243 779777
`
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`
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`
`All Rights Reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in
`any form or by any means, electronic, mechanical, photocopying, recording, scanning or otherwise, except under
`the terms of the Copyright Designs and Patents Act 1988 or under the terms of a licence issued by the Copyright
`Licensing Agency, 90 Tottenham Court Road , London, WlP 9HE, UK, without the permission in writing of the
`· Publisher, with the exception of any material supplied specifically for the purpose of being entered and executed
`on a computer system, for exclusive use by the purchaser of the publication.
`
`Neither the author(s) nor John Wiley & sons Ltd accept any responsibility or liability for loss or damage occasioned
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`
`British Library Cataloguing in Publication Data
`
`A catalogue record for this book is available from the Britjsh Library
`
`ISBN O 471 48687 6
`
`Typeset by Laser Words, Madras, India
`Printed and bound in Great Britain by Antony Rowe Ltd, Chippenham, Wiltshire.
`This book is printed on acid-free paper responsibly manufactured from sustainable forestry,
`in which at least two trees are planted for each one used for paper production.
`
`C
`
`Ackn
`
`Abbr
`
`1 Int
`
`Harri
`1.1
`1.2
`1.3
`1.4
`1.5
`Refer
`
`2U
`
`Jouni
`2. 1
`2.2
`__ 3
`
`_.4
`__ 5
`
`R fr
`
`Ex.1103
`APPLE INC. / Page 3 of 24
`
`

`

`MTS
`
`track
`TA2
`d on
`)MA
`ar to
`
`�RIB
`high
`>rean
`1 and
`
`rnted
`US-
`1ards
`I that
`from
`
`JSM
`As a
`2000
`1 010-
`ction
`
`fogy
`row­
`) the
`door
`1sid­
`:tion
`MA­
`face
`ered
`
`
`
`
`
`Background and Standardisation of WCDMA
`
`45
`
`4.5.3 cdma2000
`
`to ITU is the result vf work in TR45.5 on the evolution
`
`
`
`The cdma2000 air interface proposal
`
`
`
`
`
`of IS-95 towards the third generation. The cdma2000 proposal is based partly on IS-95
`
`
`
`
`
`
`principles with respect to synchronous network operation, common pilot channels, and so
`
`
`
`
`on, but it is a wideband version with three times the bandwidth of IS-95. The ITU proposal
`
`
`
`
`
`
`
`contains further bandwidth options as well as the multi-caJTier option for downlink. The
`
`
`
`cdma2000 proposal has a high degree of commonality with the Global CDMA 1 ITU
`
`proposal from TTA, Korea.
`
`
`
`
`
`
`_/ cuJTently standardised by 3GPP2.
`
`
`
`
`
`The cdma2000 multi-carrier option is covered in more detail in Chapter 13, as being
`
`4.5.4 TR46.J
`
`The WIMS W-CDMA was not based on work derived from an existing second generation
`
`
`
`
`
`
`
`technology but was a new third generation technology proposal with no direct link to any
`
`
`
`second generation standardisation. It was based on the constant processing gain principle
`
`
`
`
`with a high number of multicodes in use, thus showing some fundamental differences but
`
`
`also a level of commonality with WCDMA technology in other forums.
`
`4.5.5 WP-CDMA
`
`WP-CDMA (Wideband Packet CDMA) resulted from the convergence between W-CDMA
`
`
`
`
`
`
`NIA ofTIPl and WIMS W-CDMA ofTR46.l in the US. The main features of the WIMS W­
`
`
`CDMA proposal were merged with the principles of W-CDMA NIA. The merged proposal
`
`
`
`
`was submitted to the ITU-R IMT-2000 process towards the end of 1998, and to the 3GPP
`
`
`
`
`
`process at the beginning of 1999. Its the most characteristic feature, compared with the other
`
`
`
`
`
`WCDMA-based proposals, was a common packet mode channel operation for the uplink
`
`
`direction, but there were also a few smaller differences.
`
`
`
`4.6 Creation of 3GPP
`
`As similar technologies were being standardised in several regions around the world, it
`
`
`
`
`
`
`
`
`
`
`
`
`became evident that achieving identical specifications to ensure equipment compatibility
`
`
`
`globally would be very difficult with work going on in parallel. Also, having to discuss
`
`
`
`
`
`
`similar issues in several places was naturally a waste of resources for the participating
`
`
`
`
`
`companies. Therefore initiatives were made to.create a single forum for WCDMA standard­
`
`isation for a common WCDMA specification.
`of the 3rd Generation Partner­
`
`
`
`
`The standardisation organisations involved in the creation
`
`
`
`
`
`ship Project (3GPP) [9] were ARIB (Japan), ETSI (Europe), TTA (Korea), ITC (Japan) and
`
`
`
`
`Tl Pl (USA) as shown in Figure 4.2. The partners agreed on joint efforts for the standardisa­
`
`
`
`
`
`tion of UTRA, now standing for Universal TeJTestrial Radio Access, as distinct from UTRA
`
`
`
`
`(UMTS Terrestrial Radio Access) from ETSI, also submitted to 3GPP. Companies such as
`
`
`
`
`manufacturers and operators are members of 3GPP through the respective standardisation
`
`organisation to which they belong.
`
`Ex.1103
`APPLE INC. / Page 4 of 24
`
`

`

`46
`
`WCDMA for UMTS
`
`3GPP
`
`ETSI
`
`ARIB
`
`TTA
`
`T1P1
`
`TTC
`
`CWTS
`
`ETSI Members ARIB Members TTA Members
`
`T1 P1 Members TTC Members CWTS Members
`
`Figure 4.2. 3GPP organisational partners
`
`Later during 1999, CWTS (the China Wireless Telecommunication Standard Group) also
`joined 3GPP and contributed technology from TD/SCDMA, a TDD-based CDMA third
`,generation technology already submitted to ITU-R earlier.
`3GPP also includes market representation partners: GSM Association, UMTS Forum,
`Global Mobile Suppliers Association, 1Pv6 Forum and Universal Wireless Communications
`Consortium (UWCC). In [9] there are up-to-date links to all participating organisations.
`The work was initiated formally at the end of 1998 and the detailed technical work was
`started in early 1999, with the aim of having the first version of the common specification,
`called Release-99, ready by the end of 1999.
`Within 3GPP, four different technical specification groups (TSG) were set up as follows:
`
`• Radio Access Network TSO
`• Core Network TSG
`• Service and System Aspects TSG
`• Terminals TSG
`
`Within these groups the one most relevant to the WCDMA technology is the Radio Access
`Network TSG (RAN TSG), which has been divided into four different working groups as
`illustrated in Figure 4.3.
`The RAN TSO will produce Release-99 of the UTRA air interface specification. The
`work done within the 3GPP RAN TSG working groups has been the basis of the technical
`description of the UTRA air interface covered in this book. Without such a global initiative,
`this book would have been forced to focus on a single regional specification, though with
`many similarities to those of other regions. Thus the references throughout this book are to
`the specification volumes from 3GPP.
`
`Backg
`
`Du
`merge
`for th
`under
`Thus,
`Relea
`30PP
`
`4.7
`
`of cd
`gener
`with
`
`4.8
`
`Durin
`seek
`
`4.9
`
`In the
`nicatio
`In the
`indepe
`
`I
`IITU Ad Hoel
`
`I
`ITU Activity
`co-ordination
`
`I
`I WG1
`
`I
`
`I
`Radio
`layer 1
`
`I Radio access network technical specification groupj
`I
`I
`I WG3
`
`I
`
`I
`I WG4
`
`I
`
`I
`I WG2
`
`I
`
`I
`Radio
`layer 2/3
`
`I
`Architecture
`& interfaces
`
`I
`Radio
`performance
`& RF
`parameters
`
`Figure 4.3. 3GPP RAN TSG working groups
`
`Ex.1103
`APPLE INC. / Page 5 of 24
`
`

`

`Background and Standardisation of WCDMA
`
`47
`
`During the first half of 1999 the inputs from the various participating organisations were
`merged in a single standard, leaving the rest of the year to finalise the detailed parameters
`for the first full release, Release-99, of UTRA from 3GPP. The member organisations have
`undertaken individually to produce standard publications based on the 3GPP specification.
`Thus, for example, the Release-99 UMTS specifications from ETSI are identical to the
`Release-99 specifications produced by 3GPP. The latest specifications can be obtained from
`3GPP [9].
`During 2000, further work on GSM evolution was moved from ETSI and other forums
`to 3GPP, including work on GPRS and EDGE. A new TSG, TSG GERAN was set up for
`this purpose.
`
`4.7 Creation of 3GPP2
`
`Work done in TR45 .5 and TTA was merged to form 3GPP2, focused on the development
`of cdma2000 Direct-Sequence (DS) and Multi-Carrier (MC) mode for the cdma2000 third
`generation component. This activity has been running in parallel with the 3GPP project,
`with participation from ARIB, TTC and CWTS as member organisations . Recently the
`main concentration has been on the MC mode work, due to decisions resulting from the
`global harmonisation efforts.
`
`4.8 Harmonisation Phase
`During the spring of 1999 several operators and manufacturers held series of meetings to
`seek further harmonisation and convergence between the CDMA-based third generation
`solutions, WCDMA and cdma2000. For the 3GPP framework the ETSI, ARIB, TTA and
`TlPl concepts had already been merged to a single specification, while cdma2000 was
`still on its own in TR45.5. As a result of several meetings and telephone conferences, the
`manufacturers and operators agreed to adopt a harmonised global third generation CDMA
`standard consisting of three modes: Multi-Carrier (MC), Direct Spread (DS) and Time
`Division Duplex (TDD) . The MC mode was based on the cdma2000 multi-carrier option, the
`DS mode on WCDMA (UTRA FDD), and the TDD mode on UTRA TDD. The agreement
`was to phase in a modular approach in which both core networks could be used with all air
`interface alternatives, as described in Figure 1 .4 in Chapter 1.
`The main technical impacts of these harmonisation activities were the change of UTRA
`FDD and TDD mode chip rate from 4.096 Mcps !O 3.84 Mcps and the inclusion of a
`common pilot for UTRA FDD. The work in 3GPP2 focused on the MC mode, and the DS
`mode from cdma2000 was abandoned. The result is that globally there is only one Direct
`Spread (DS) wideband CDMA standard, WCDMA.
`
`4.9
`
`IMT2000 Process in ITU
`
`In the ITU, recommendations have been developed for third generation mobile commu(cid:173)
`nications systems, the ITU terminology being called IMT-2000 [10], formerly FPLMTS.
`In the ITU-R, ITU-R TG8/l has worked on the radio-dependent aspects, while the radio(cid:173)
`independent aspects have been covered in ITU-T SG 11.
`
`Ex.1103
`APPLE INC. / Page 6 of 24
`
`

`

`
`
`
`
`5 R
`
`adio Access Network
`
`Architecture
`
`Fabio Longoni and Atte Lansisalmi
`
`5.1 System Architecture
`
`This chapter gives a wide overview of the UMTSsystem architecture, including an intro-
`duction to the logical network elements and the interfaces. The UMTSsystem utilises the
`same well-known architecture that has been used by all main second generation systems
`and even by some first generation systems. The reference list contains the related 3GPP
`specifications.
`The UMTSsystem consists of a number of logical network elements that each has a
`defined functionality. In the standards, network elements are defined at the logical level,
`but this quite often results in a similar physical implementation, especially since there are a
`number of open interfaces (for an interface to be ‘open’, the requirementis that it has been
`defined to such a detailed level that'the equipmentat the endpoints can be from twodifferent
`manufacturers). The network elements can be grouped based on similar functionality, or
`based on which sub-network they belong to.
`Functionally the network elements are grouped into the Radio Access Network (RAN,
`UMTSTerrestrial RAN = UTRAN)that handles ail radio-rclated functionality, andthe
`Core Network, which is responsible for switching and routing calls and data connections to
`external networks. To complete the system, the User Equipment (UE) that interfaces with
`the user and the radio interface is defined. The high-level system architecture is shown in
`Figure 5.1.
`From a specification and standardisation point of view, both UE and UTRANconsist of
`completely new protocols, the design of which is based on the needs of the new WCDMA
`radio technology. On the contrary, the definition of CN is adopted from GSM. This gives
`the system with new radio technology a global base of known and rugged CN technology
`that accelerates and facilitates its introduction, and enables such competitive advantages as
`global roaming.
`
`WCDMAfor UMTS, edited by Harri Holma and Antti Toskala
`© 2001 John-Wiley & Sons, Ltd
`
`WCDMAfor UMTS
`
`roc. IEEE Int. Conf. on
`Helsinki, Finland, 1—4
`
`AMES Multiple Access
`, April 1998, pp. 16-24.
`Multiple Access Mode
`‘onf. on Personal Indoor
`1-4 September 1997,
`
`‘AMES Multiple Access
`door and Mobile Radio
`> pp. 42-46.
`'s for the UMTS Terres-
`"S 21.01 version 3.0.1,
`
`redures for the Choice of
`rt, UMTS 30.03 version
`
`etrestrial Radio Access
`(S 30.06 version 3.0.0,
`
`idio Interface for Third
`
`ations Approved in ITU
`
`
`
`Ex.1103
`APPLEINC./ Page 7 of 24
`
`Ex.1103
`APPLE INC. / Page 7 of 24
`
`

`

`
`
`52 WCDMAfor UMTS
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
` Figure 5.1,
`
`
` i 4 External networks i
`Figure 5.2. Network elements in a PLMN
`
`Another way to group UMTS network elements is to divide them into sub-networks.
`The UMTS system is modular in the sense that it is possible to have several network
`elements of the sametype. In principle, the minimum requirement for a fully featured and
`operational network is to have at least one logical network element of each type (note that
`some features and consequently some network elements are optional). The possibility of
`having several entities of the same type allows the division of the UMTS system into sub-
`networks that are operational either on their own or together with other sub-networks, and
`that are distinguished from each other with unique identities. Such a sub-networkis called a
`UMTS PLMN(Public Land Mobile Network). Typically one PLMN is Operated by a single
`operator, and is connected to other PLMNsas well as to other types of networks, such as
`ISDN, PSTN, the Intemet, and so on. Figure 5.2 shows elements in a PLMN and, in order
`to illustrate the connections, also external networks.
`The UTRANarchitecture is presented in Section 5.2. A short introduction to all the
`elements is given below.
`
`Tatianna
`
`The UE consists of two parts:
`
`¢ The Mobile Equipment (ME)is the radio terminal used for radio communication over
`the Uu interface.
`.The UMTSSubscriber Identity Module (USIM) is a smartcard that holds the subscriber
`identity, performs authentication algorithms, and stores authentication and encryption
`keys and some subscription information that is needed at the terminal.
`
`e
`
`
`
`Ex.1103
`APPLEINC./ Page 8 of 24
`
`Ex.1103
`APPLE INC. / Page 8 of 24
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`

`

`
`
`
`
`
`Radio Access Network Architecture 53
`
`UTRANalso consists of two distinct elements:
`
`The Node B converts the data flow between the Iub and Uuinterfaces. It also participates
`in radio resource management. (Note that the term ‘Node B’ from the corresponding
`3GPP specifications is used throughout Chapter 5. The more generic term ‘Base Station’
`used elsewhere in this book means exactly the same thing.)
`
`The Radio Network Controller (RNC) owns and controls the radio resources in its
`domain (the Node Bs connected to it). RNC is the service access point for all services
`UTRANprovides the CN, for example management of connections to the UE.
`
`The main elements of the GSM CN(there are other entities not shown in Figure 5.2, such
`as those used to provide IN services) are as follows:
`
`HLR (Home Location Register) is a database located in the user’s home system that
`stores the master copy of the user’s service profile. The service profile consists of, for
`example, information on allowed services, forbidden roaming areas, and Supplementary
`Service information such as status of call forwarding and the call forwarding number.It
`is created when a new user subscribes to the system, and remains stored as long as the
`subscription is active. For the purpose of routing incoming transactions to the UE (e.g.
`calls or short messages), the HLR also stores the UE location on the level ‘of MSC/VLR
`and/or SGSN,i.e. on the level of serving system.
`
`©
`
`MSC/VLR (Mobile Services Switching Centre/Visitor Location Register) is the switch
`(MSC)and database (VLR)thatserves the UE in its currentlocation for Circuit Switched
`(CS) services. The MSC function is used to switch the CS transactions, and the VLR
`function holds a copy of the visiting user’s service profile, as well as more precise
`information on the UE’s location within the serving system. The part of the network
`that is accessed via the MSC/VLRis often referred to as the CS domain.
`
`GMSC(Gateway MSC)is the switch at the point where UMTS PLMNis connected to
`external CS networks. All incoming and outgoing CS connections go through GMSC.
`SGSN (Serving GPRS (General Packet Radio Service) Support Node) functionality is
`similar to that of MSC/VLRbut is typically used for Packet Switched (PS) services. The
`part of the network that is accessed via the SGSN is often referred to as the PS domain.
`GGSN (Gateway GPRS Support Node) functionality is close to that of GMSC butis in
`relation to PS services.
`i
`
`The external networks can be divided into two groups:
`
`CS networks. These provide circuit-switched connections, like the existing telephony
`service. ISDN and PSTN are examples of CS networks.
`
`PS networks. These provide connections for packet data services. The Internet is one
`example of a PS network.
`
`The UMTSstandards are structured so that internal functionality of the network elements
`is not specified in detuil. Instead, the interfaces between the logical network elements have
`been defined. The following main open interfaces are specified:
`
`
`
`WCDMAfor UMTS
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
` |
`
`| External networks}
`
`‘m into sub-networks.
`have several network
`or a fully featured and
`of each type (note that
`al). The possibility of
`MTSsystem into sub-
`her sub-networks, and
`ub-network is called a
`is operated by a single
`3 of networks, such as
`a PLMNand, in order
`
`ntroduction to all the
`
`0 communication over
`
`at holds the subscriber
`ication and encryption
`ninal.
`
`
`
`Ex.1103
`APPLEINC./ Page 9 of 24
`
`Ex.1103
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`

`

`
`
`|
`
`54
`
`WCDMAfor UMTS
`
`e Cu Interface. This is the electrical interface between the USIM smartcard and the ME.
`The interface follows a standard format for smartcards.
`
`e
`
`e
`
`e
`
`e
`
`UuInterface. This is the WCDMAradiointerface, which is the subject of the main part
`of this book. The Uuis the interface through which the UE accesses the fixed part of the
`system, and is therefore probably the most important open interface in UMTS. There are
`
`likely to bemany moreUE manufacturers than manufacturers offixednetworkelements.
`
`Iu Interface. This connects UTRANto the CN andis introduced in detail in Section 5.4.
`Similarly to the corresponding interfaces in GSM, A (Circuit Switched) and Gb (Packet
`Switched), the open Ju interface gives UMTS operators the possibility of acquiring
`UTRANand CN from different manufacturers. The enabled competition in this area has
`been one of the success factors of GSM.
`
`Tur Interface. The open lur interface allows soft handover between RNCs from different
`manufacturers, and therefore complementsthe open Iu interface. Jur is described in more
`detail in Section 5.5.1.
`
`Tub Interface. The Iub connects a Node B and an RNC. UMTSisthe first commercial
`mobile telephony system where the Controller-Base Station interface is standardised as a
`fully open interface. Like the other open interfaces, open lub is expected to further moti-
`vate competition between manufacturers in this area. It is likely that new manufacturers
`concentrating exclusively on Node Bs will enter the market.
`
`5.2. UTRANArchitecture
`UTRANarchitecture is highlighted in Figure 5.3.
`
`UTRANconsists of one or more Radio Network Sub-systems (RNS). An RNSis a sub-
`network within UTRAN and consists of one Radio Network Controller (RNC) and one or
`more Node Bs. RNCs may be connected to each other via an Tur interface. RNCs and Node
`Bs are connected with an Iub Interface.
`Before entering into a brief description of the UTRAN network elements (in this section)
`and a more extensive description of UTRAN interfaces (in the following sections), we
`present the main characteristics of UTRAN that have also been the main requirements for
`
`|
`i
`
`
`
`
`
`)
`
`!
`
`I
`
`rs
`
`a
`
`Figure 5.3. UTRANarchitecture
`
`Ex.1103
`APPLEINC./ Page 10 of 24
`
`Ex.1103
`APPLE INC. / Page 10 of 24
`
`

`

`WCDMAfor UMTS
`
`Radio Access Network Architecture
`
`55
`
`the design of the UTRANarchitecture, functions and protocols. These can be summarised
`in the following points:
`
`e Support of UTRA and all the related functionality. In particular, the major impact on
`the design of UTRANhasbeen the requirement to support soft handover (one terminal
`connected to the network via two or moreactive cclls) and the WCDMA-specific Radio
`Resource Management algorithms.
`e Maximisation of the commonalities in the handling of packet- switched and circuit-
`switched data, with a unique air interface protocol stack and with the use of the
`game interface for the connection from UTRAN to both the PS and CS domains of
`the core network.
`
`e Maximisation of the commonalities with GSM, when possible.
`e Use of the ATM transport as the main transport mechanism in UTRAN.
`
`5.2.1 The Radio Network Controller
`
`The RNC (Radio Network Controller) is the network element responsible for the control of
`the radio resources of UTRAN. It interfaces the CN (mormally to one MSC and one SGSN)
`and also terminates the RRC (Radio Resource Control) protocol that defines the messages
`and procedures between the mobile and UTRAN.It logically corresponds to the GSM BSC.
`
`5.2.1.1 Logical Role of the RNC
`The RNCcontrolling one Node B (i.e. terminating the Iub interface towards the Node B)
`is indicated as the Controlling RNC (CRNC) of the Node B. The Controlling RNC is
`responsible for the load and congestion control of its own cells, and also executes the
`admission control and code allocation for new radio links to be established in thosecells.
`In case one mobile-UTRAN connection uses resources from more than one RNS
`(see Figure 5.4), the RNCs involved have two separate logical roles (with respect to this
`mobile—UTRANconnection):
`
`e Serving RNC. The SRNC for one mobile is the RNC that terminates both the In link
`for the transport of user data and the corresponding RANAPsignalling to/from the
`
`martcard and the ME.
`
`ibject of the main part
`cs the fixed part of the
`‘e in UMTS. There are
`xed network elements.
`
`a detail in Section 5.4.
`tched) and Gb (Packet
`yssibility of acquiring
`xetition in this area has
`
`a RNCs from different
`ar is described in more
`
`‘s the first commercial
`ice is standardised as a
`pected to further moti-
`dat new manufacturers
`
`1S). An RNSis a sub-
`ller (RNC) and one or
`face. RNCs and Node
`
`‘ments (in this section)
`lowing sections), we
`main requirements for
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Figure 5.4. Logical role of the RNC for one UE UTRAN connection. The Icft-hand scenario shows
`one UE in inter-RNC soft handover (combining is performed in the SRNC). The right-hand scenario
`represents one UE using resources from one Node B only, controlled by the DRNC
`
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`
`56 WCDMAfor UMTS
`
`core network (this connection is referred to as the RANAP connection). The SRNC
`also terminates the Radio Resource Control Signalling, that is the signalling protocol
`between the UE and UTRAN.It performsthe L2 processingof the data to/from the radio
`interface. Basic Radio Resource Managementoperations, such as the mapping of Radio
`Access Bearer parametersinto air interface transport channel parameters, the handover
`decision, and outer loop power control, are executed in the SRNC. The SRNC mayalso
`(but not always) be the CRNC of some Node B used by the mobile for connection with
`UTRAN, One UE connected to UTRANhas one and only one SRNC.
`e Drift RNC. The DRNCis any RNC,other than the SRNC,that controls cells used by
`the mobile. If needed, the DRNC may perform macrodiversity combining andsplitting.
`The DRNC does not perform L2 processing of the user plane data, but routes the data
`transparently between the lub andJur interfaces, except when the UEis using a common
`or shared transport channel. One UE may have zero, one or more DRNCs.
`
`Note that one physical RNC normally containsall the CRNC, SRNC and DRNC functionality.
`
`5.2.2 The Nede B (BaseStation)
`The main function of the Node B is to perform the air interface L1 processing (channel
`coding andinterleaving, rate adaptation, spreading, etc.). It also performs some basic Radio
`Resource Management opcration as the inner loop power control. It logically corresponds to
`the GSM Base Station. The enigmatic term ‘Node B’ wasinitially adopted as a temporary
`term during the standardisation process, but then never changed.
`The logical model of the Node B is described in Section 5.5.2.
`
`i.
`
` v
`
`
`
`
`
`
`
`
`
`
`
`
`|
`
`
`5.3 General Protocol Model for UTRAN Terrestrial Interfaces
`
`5.3.1 General
`
`Protocol structures in UTRAN terrestrial interfaces are designed according to the same
`general protocol model. This model is shown in Figure 5.5. The structure is based on the
`principle that the layers and planes are logically independent of each other, and if needed,
`parts of the protocol structure may be changed in the future while other parts remain intact.
`
`5.3.2 Horizontal Layers
`The protocol structure consists of two main layers, the Radio Network Layer and the Trans-
`port Network Layer. All UTRAN-related issuesare 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 changes.
`
`5.3.3 Vertical Planes
`
`
`
`
`
`
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`
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`
`
`5.3.3.1 Control Plane
`The Control Plane is used for all UMTS-specific control signalling. It includes the Appli-
`cation Protocol (ic. RANAP in Iu, RNSAP in Iur and NBAP in lub), and the Signalling
`Bearer for transporting the Application Protocol messages.
`
`:
`
`
`
`
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`Radio Access Network Architecture 57
`
`
`
`Control plane
`
`1
`‘
`
`:
`
`User plane
`
`!
`Radio
`1
`network
`layer
`
`y
`1
`Application
`1
`Data
`protocol
`stream(s)
`
`FFranapodnelwork;
`Transport
`|!Transportnetwork||
`| Transportnetwork!
`E
`
` Signalling
`
`bearer(s)
`Signalling
`
`control plane
`
`'
`t
`
`user plane
`
`bearer(s)
`
`
`
`
`
`
`
`network
`layer
`
`WCDMAfor UMTS
`
`mnection). The SRNC
`the signalling protocol
`3 data to/from the radio
`; the mapping of Radio
`rameters, the handover
`>. The SRNC mayalso
`ile for connection with
`RNC.
`
`controls cells used by
`ombining and splitting.
`ata, but routes the data
`UEis using a common
`re DRNCs.
`
`nd DRNC functionality.
`
`U1 processing (channel
`‘corms some basic Radio
`ogically correspondsto
`adopted as a temporary
`
`Interfaces
`
`according to the same
`ructure is based on the
`ch other, and if needed,
`ther parts remain intact.
`
`rk Layer and the Trans-
`e Radio Network Layer,
`hnologythat is selected
`
`3. It includes the Appli-
`(ub), and the Signalling
`
`
`
`Figure 5.5, General protocol model for UTRANterrestrial interfaces
`
`The Application Protocol is used, among other things, for setting up bearers to the UE
`(i.e. the Radio Access Bearer in Iu and subsequently the Radio Link in Tur and Tub). In the
`three-plane structure the bearer parameters in the Application Protocol are not directly tied
`to the User Plane technology, but rather are general bearer parameters.
`The Signalling Bearer for the Application Protocol may or may not be of the same type
`as the Signalling Bearer for the ALCAP.It is always sct up by O&M actions.
`
`5.3.3.2 User Plane
`
`All information sent and received by the user, such as the coded voice in a voice call or
`the packets in an Internet connection, are transported via the User Plane. The User Plane
`includes the Data Stream(s), and the Data Bearer(s) for the Data Stream(s). Each Data
`Stream is characterised by one or more frame protocols specified for that interface.
`
`5.3.3.3 Transport Network Control Plane
`The Transport Network Control Plane is used forall control signalling within the Transport
`Layer. It does not include any Radio Network Layer information. It includes the ALCAP
`protocol that is needed to set up the transport bearers (Data Bearer) for the User Plane. It
`also includes the Signalling Bearer needed for the ALCAP.
`The Transport Network Control Plane is a plane that acts between the Control Plane
`and the User Plane. The introduction of the 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 the Data Bearer in the User Plane.
`When the 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 setup of the
`Data Bearer by the ALCAPprotocol that is specific for the User Plane technology.
`
`
`
`
`
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`58
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`WCDMA for UMTS
`
`The independence of the Control Plane and the User Plane assumes that an ALCAP
`signalling transaction takes place.It should be noted that ALCAP mightnotbe uscd for all
`types of Data Bearers. If there is no ALCAPsignalling transaction, the Transport Network
`Control Plane is not needed at all. This is the case when preconfigured 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 that for
`the Application Protocol. The UMTS specifications assume that the Signalling Bearer for
`ALCAPis always set up by O&M actions, and do not specify this in detail.
`
`5.3.3.4 Transport Network User Plane
`
`The Data Bearer(s) in the User Plane, and the Signalling Bearer(s) for the Application
`Protocol, also belong to the Transport Network User Plane. As described in the previous
`section, the Data Bearers in the Transport Network User Plane are directly controlled by
`the Transport Network Control Plane during real-time operation, but the control actions
`required for setting up the Signalling Bearer(s) for the Application Protocol are considered
`O&M actions.
`
`Iu, the UTRAN-CNInterface
`5.4
`The Iu interface connects UTRAN to CN. Iu is an open interface that divides the system
`into radio-specific UTRAN and CN which handles switching, routing and service contro).
`As can be seen from Figure 5.3, the Iu can have two different instances, which are Iu CS
`(Iu Circuit Switched) for connecting UTRANto Circuit Switched (CS) CN, and Ju PS (lu
`Packet Switched) for connecting UTRAN to Packet Switched (PS) CN. Theoriginal design
`goal in the standardisation was to develop only one Tu interface, but then it was r