The UMTS Terrestrial Radio Access network General

The UMTS Terrestrial Radio Access Network General

UMTS System Overview

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The UMTS Terrestrial Radio Access network General

UMTS Terrestrial Radio Access Network General

1. THE UMTS TERRESTRIAL RADIO ACCESS NETWORK GENERAL 1.1 Requirements of the UTRAN 1.2 Functions of the UTRAN UTRAN ARCHITECTURE 2.1 UTRAN Architecture General 2.2 The Node B 2.3 The RNC 2.4 RNC Terminology 2.5 Controlling RNC Functions 2.6 Serving RNC Functions 2.7 Drift RNC Functions THE 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 UTRAN INTERFACES AND PROTOCOLS General Protocols Architecture General Protocol Model Radio Network Layer Protocols UTRAN Protocols Fitting Them Together RRC Idle Mode RRC Connected Mode (1) RRC Connected Mode (2) Functions Of The UTRAN Protocols

1 3 7 9 11 13 15 15 15 17 19 21 23 23 25 27 29 31 33 35 35 37 39 41 43 47

2.

3.

4.

HANDOVERS 4.1 Softer Handover 4.2 Soft Handover THE 5.1 5.2 5.3 5.4 5.5 5.6 TRANSPORT NETWORK Requirements Of The Transport Network The Options ATM Operation The ATM Cell ATM and Quality Of Service Use Of ATM In The UTRAN

5.

6.

ANNEX A 6.1 A1 TRANSPORT NETWORK LAYER PROTOCOLS

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The UMTS Terrestrial Radio Access network General

1. THE UMTS TERRESTRIAL RADIO ACCESS NETWORK GENERAL

1.1 Requirements of the UTRAN
In defining the UMTS Terrestrial Radio Access Network (UTRAN), a number of requirements and assumptions were identified. These are specified to ensure maximum flexibility in the future evolution of the UMTS concept, and to ensure easy evolution to the UMTS concept from second generation networks. In addition, they provide flexibility in accessing the core network from not only the UTRAN, but from evolved GPRS/EDGE GSM networks, Satellite access networks, fixed access (narrowband and broadband), and future access types such as the Broadband Radio Access Network. The UTRAN is considered a separate entity to the core network, with a defined interface connecting them. This interface is designed to provide a logical separation of signalling and user data transport (this fits in with the evolved GSM network specified for use in UMTS at Release 99). The interfaces are designed to be fully specified, allowing as few options as possible and based on the logical model of the entities concerned. This ensures maximum compatibility between manufacturers. All radio procedures and aspects are fully handled within the UTRAN, including mobility of the radio connection (soft handover, relocation of serving entities etc.). This allows replacement of this radio access network with another access technology, fulfilling one of the basic requirements.

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CORE NETWORK

UTRAN

Logical Separation of Signalling and Data Transport CN and UTRAN functions separate from Transport Functions Macro diversity fully handled in UTRAN Mobility for RRC connection is fully controlled by UTRAN Interfaces based on logical model of the entities (with as few functional options as possible).

Fig. 1 Requirements of the UTRAN

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The UMTS Terrestrial Radio Access network General

1.2 Functions of the UTRAN

UTRAN functions have been specified to provide support for all radio activities needed within the network infrastructure. They can be split into four main areas System Access, Mobility, Radio Channel Ciphering, and Radio Resource Management and Control. System access functions involve broadcasting system information to allow the mobile to configure for access, admission control and radio channel congestion. Mobility functions within the UTRAN are extensive in that they comprise handovers, Serving Radio Network Controller (SRNC) relocations, and additionally, UTRAN Registration Area (URA) and Cell updates for packet mode procedures. These are used so that the UE can fall back to a less active state whilst retaining its packet data virtual connection, known as a Packet Data Protocol Context (which describes the quality of service required as well as specifying the address). In this case, the mobile is tracked at URA or Cell level and paged accordingly when required to receive data. Radio channel ciphering occurs in the UE and Serving RNC (at the RLC or MAC layer), unlike GSM, where only the air interface is ciphered.

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Radio Channel Ciphering and Deciphering

Systems Access Control (Admission, Congestion, System information broadcast)

UTRAN FUNCTIONS

Mobility (Handover, SRNS Relocation)

Radio Resource Management and Control

Fig. 2 UTRAN Functions

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The UMTS Terrestrial Radio Access network General

Radio resource management and control functions are very comprehensive, covering all necessary activity to provide, monitor, maintain, and release the radio resources when required. This includes the control and assignment of codes. Measurement and quality estimates are made with the User Equipment assisting in providing measurement reports. As a consequence, Radio Frequency power setting and control can be achieved with the necessary accuracy to ensure the required quality of service is achieved whilst minimising overall system interference. The higher layer signalling messages are also supported by the UTRAN in so far as they are distributed to the correct Core Network Domain (MSC or SGSN). For FDD mode, Macro-diversity (enabling soft handover between Node Bs), is provided by the RNCs ability to receive signals from different Node Bs (which themselves may be a combined signal). The signals are assessed, and the best one is chosen for inclusion into the combined signal. The selections are made on a regular basis (10 80 ms). This introduces an overall gain into the system, allowing the required quality of service to be provided at a lower power. Note that for micro-diversity (softer handover), the Node B uses the Rake Receiver to combine the signal from different cells or sectors (in the same way that the Rake is used to combine different multi-path components).

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Systems Access Control (Admission, Congestion, System information broadcast)

Mobility (Handover, SRNS Relocation)

UTRAN FUNCTIONS

Radio Channel Ciphering and Deciphering

Radio Resource Management and Control

Radio resource configuration and operation Radio quality estimates Radio Bearer Control (allocation, deallocation, set-up and release) Radio protocols provision RF power setting and control Radio channel coding and decoding (and control of coding) Random access detection and handling Distribution of Non Access Stratum messages to required Core Network domain.

FDD Only Macro diversity TDD Only Dynamic Channel Allocation

Fig. 3 UTRAN Radio Resource Management and Control Functions

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The UMTS Terrestrial Radio Access network General

2. UTRAN ARCHITECTURE
2.1 UTRAN Architecture General
The UTRAN architecture comprises of one or more Radio Network Controllers (RNCs), each controlling a number of base sites, known as Node B. Each grouping of RNC and its associated Node Bs are collectively known as a Radio Network Subsystem (RNS). Hence an UTRAN is comprised of one or more RNS. Standard interfaces connect each RNS to the Core Network (both Circuit Switched and Packet Switched Domains), and to the User Equipment. These interfaces are known as IuCS, IuPS, and Uu respectively. The UTRAN internal interfaces are also standardised. The Iur connects RNC (and hence RNS), whilst the Iub connects the RNC and Node B.

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CORE NETWORK

Iu (CS & PS)

Radio Network Controller Radio Network Sub-system (RNS) Iub Node B

Iur

RNC

RNS

Fig.4 UTRAN Architecture and Terminology

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The UMTS Terrestrial Radio Access network General

2.2 The Node B

The term Node B refers to the base station equipment which communicates with the subscribers handset via the radio link (and of course with the main network via a telecoms link). It provides radio resources for a UMTS network, and uses UMTS channel allocation to communicate with the handset. It provides all the RF processing, enabling transmission and reception information to and from the mobile terminal. This information is encoded using the W-CDMA scheme. A single UMTS channel can be used on adjacent Node B sites and in different sectors of the same Node B antenna system. A typical Node B may support a three sector antenna and one or two UMTS carriers, although it is possible to configure up to six sectors and up to three UMTS carriers. Each sector can be used as a different cell. Node B tasks are as follows: conversion of data to and from the radio interface forward error correction rate adaptation W-CDMA spreading & despreading QPSK modulation (Quadrature Phase Shift Keying) measuring the quality & strength of connection determining the frame error rate handover between different sectors on the same Node B (softer handover) participation in power control, enabling the user terminal to adjust its power (inner loop power control)

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NODE B FUNCTIONS

Radio Resource Provider W-CDMA spreading and despreading QPSK Modulation Signal quality & strength measurement Inner loop power control

May support multiple cells through sectored antenna Supports Softer Handover

Converts data to/from W-CDMA transport Forward error correction and frame error rate determination Rate adaptation

Fig. 5 Node B Functions

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The UMTS Terrestrial Radio Access network General

2.3 The RNC

The RNC controls the operation of multiple Node Bs, managing resources such as allocating capacity for data calls, and providing critical signalling such as connection set-up, plus switching and traffic routing functionality. Compared to 2G systems, it is broadly equivalent to the BSC, but also includes some functionality of the MSC. In particular, it enables autonomous Radio Resource Management by the UTRAN by allowing RNCs to directly communicate (via the Iur interface), eliminating this burden from the core network. So all handover processes, even where moving between cells controlled by different RNCs, are kept within the UTRAN. Compare this with the situation in GSM, where handover between different BSC areas required involvement of the MSC, and hence the core network. The RNC can manage many Node Bs, and allocates radio resources and maintains the equilibrium of a live and dynamic network. It must also interface with the core network to provide access to the network operator services, applications, Internet and gateways to networks such as GSM and PSTN. The Iub is the first example of a fully standardised base-station-to-controller interface within commercial mobile networks, and is defined thus in order to increase competition between manufacturers in this very costly part of the network. For example it is now possible to source Node B and RNC equipment from different vendors, and hence for specialist vendors for Node B only, for example, to enter the market. The key features of the RNC are: management of radio resources channelisation code allocation QoS monitoring handover of users between cells on the same site (softer handover) handover of users between cells on different sites (soft handover) handover of users between different UMTS carriers (hard handover) handover of users to GSM networks (hard handover) power control management of user and Node B equipment network alarm correlation

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Controls functions of multiple Node Bs Radio resource management kept within the UTRAN Interfaces with core network Manages handover Power Control Management

CN

RNC

Node B

Fig. 6 The RNC General Functionality

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The UMTS Terrestrial Radio Access network General

2.4 RNC Terminology

The RNC operates in three main modes Controlling, Serving, and Drift, depending on whether an RRC connection is established, and how it is configured. The descriptions of each mode are with respect to a single User Equipment, since each physical RNC contains all the functionality needed for all three modes and is likely to be acting in different modes with respect to different UE.

Controlling RNC
When mobiles are in idle mode, no RRC connection exists. Hence this mode simply describes the functionality of the RNC which controls the Node B on which the mobile is camped (i.e. the selected Node B). Any RRC messages relevant to the UE are terminated at the UE and Node B.

Serving and Drift RNC

Once a mobile enters the RRC Connected mode, an RRC connection exists, and RRC messages relevant only to the UE are terminated at the UE and Serving RNC (SRNC). In Soft Handover, the mobile is effectively served by two or more Node B. In the case where the Node B are connected to different RNC, the Serving RNC remains as the only Serving RNC, whilst the new RNC (now called the Drift RNC, or DRNC) simply provides the radio resources necessary for the added radio link, and acts to carry the Radio Resource messages and user data between the SRNC and UE transparently over the Iur and Iub interfaces on the relevant channels. As a result of Soft Handover, the original radio link may be deleted from the "active set" of links, leaving the Serving RNC without any of its Node B in the active set. In this case, the DRNC could become the SRNC by a process called SRNC relocation. This procedure is considered optional. If another RNC is involved in the active connection through soft handover, it is declared a Drift RNC. The Drift RNC is responsible only for the allocation of code resources, with the original Serving RNC continuing to handle control functions such as admission, radio resource control, congestion, handover and so on. It is possible to reallocate the Serving RNC to the former Drift RNC, if this becomes necessary.

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Node B "Idle" Mode Node B "Connected" Mode Node B Node B

Controlling RNC

Core MSC/VLR or SGSN Network

Serving RNC

Core MSC/VLR or SGSN Network

Serving RNC Drift RNC

Core MSC/VLR or SGSN Network

Soft Handover

Node B Node B "Connected" Mode (After Soft Handover) Node B Node B SRNC Relocation (Optional)

Serving RNC Drift RNC

Core MSC/VLR or SGSN Network

RNC

Core MSC/VLR or SGSN Network

Serving RNC

Fig. 7 RNC Terminology

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The UMTS Terrestrial Radio Access network General

2.5 Controlling RNC Functions

The CRNC controls one or more Node B. In practice, this is likely to be tens of Node B. It is responsible for loading and congestion of cells, as well as allocating codes and controlling admission. System information broadcasts for mobiles in idle mode (or packet switched cell or URA paging modes) are originated from the controlling RNC.

2.6 Serving RNC Functions

The radio bearers and signalling radio bearers for mobiles in connected mode are terminated here (as well as in the User Equipment). All layer two (data link) processing of information to/from the radio interface is processed here for UE in connected mode (layer 1, the physical layer, is provided by the node B). Outer loop power control is supported as well as the handover decisions. Each User Equipment will have only one SRNC. The Serving RNC will often also be the Controlling RNC for the Node B used by the mobile.

2.7 Drift RNC Functions

The DRNC is any RNC other than the SRNC which controls cells currently used by the mobile. There may be zero, one or more DRNC at any one time for the specified mobile. The DRNC may itself be performing macro-diversity combining and splitting in support of Soft Handover. No layer 2 processing of the data destined for, or received from, the radio interface is performed in the DRNC.

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Controlling RNC (CRNC)

Controls one or more Node Bs. One Node B will have only one CRNC. Controls load and congestion of own cells. Executes admission control and code allocation for new radio links.

Serving RNC (SRNC)

Terminates Radio Bearers and Signalling Radio bearers for the mobile (ie RRC is terminated here in RRC connected mode). Performs Layer 2 processing of data to/from radio interface. Controls handover decisions. Outer loop power control. SRNC may also be CRNC for Node B(s) used by the mobile. Each connected UE has only one SRNC.

Drift RNC (DRNC)

Any RNC, other than SRNC which controls cells used by the mobile. May perform macrodiversity combining and splitting. No layer 2 processing, unless mobile is using common or shared transport channel. A mobile may have one or more DRNCs.

Fig. 8 Controlling, Serving and Drift RNC Functions

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The UMTS Terrestrial Radio Access network General

3. THE UTRAN INTERFACES AND PROTOCOLS

3.1 General Protocols Architecture
The protocol architecture between the User Equipment and Core Network in UMTS is organised logically into a User plane and a Control Plane. The user plane is specified to transport circuit switched or packet switched user information, whilst the Control Plane is specified to handle the control information necessary to provide the requested services and features. In general, the User and Control Planes are described here with respect to the overall system, and not for any individual interface. The general organisation on each plane is that the Non-Access Stratum (the information which is only relevant between the UE and Core Network, irrespective of which access network is between used) is specified separately to the Access Stratum (which is specific as the UTRAN access network in this case). The model shown opposite is therefore relevant to the overall architecture (and therefore directly applicable to the Non-Access Stratum) in terms of defining the User and Control Planes. The Non-Access Stratum protocols shown on the Control Plane comprise Connection Management (Call Control, Short Message Service, Supplementary Services), Mobility Management (both standard and GPRS), and Session Management (for GPRS), all part of the evolved GSM network specifications designated for use within the first phase of UMTS. They do not form part of the UTRAN specifications.

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User Plane

Non-Access Stratum

Radio protocols

Radio protocols

Iu protocols

Iu protocols

Access Stratum UE Radio (Uu) Control Plane UTRAN Iu CN

CM, MM, GMM, SM

Non-Access Stratum

CM, MM, GMM, SM

Radio protocols

Radio protocols

Iu protocols

Iu protocols

Access Stratum

UE
Radio (Uu)

UTRAN Iu

CN

Fig. 9 General Protocols Architecture

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The UMTS Terrestrial Radio Access network General

3.2 General Protocol Model

The General Protocol Model provides a framework for considering each individual UTRAN external, or internal, interface. Since it is used to describe UTRAN interfaces only, it does not include any Non-Access Stratum protocols (these will sit on top of the UTRAN General Protocol Model where required, and be seen only as "data" by the UTRAN protocols). The model is split into the actual UTRAN protocols layer itself, known as the Radio Network Layer, and the Transport Network Layer, which is specified separately. In the Radio Network Layer (RNL), a control plane and user plane exist on each interface. This notation is relevant to that interface only. Hence only control data originated by that particular interface (or higher layer control information carried within further control information which has been originated on that particular interface) is considered part of the control plane. It is feasible in some circumstances for some higher layer control information to be classed as user plane information on the interface in question (due to not having been originated by that interface). In the Transport Network Layer, the RNL Control Plane is provided with a Signalling Bearer, which is generally a pre-configured ATM link, whilst the RNL User Plane is provided with a Data Bearer. This is either a pre-configured ATM link (usual for packet data user information) or set up dynamically by the (Transport Network Layer) Access Link Control Application Part, or ALCAP, (ATM signalling). The ALCAP itself will have a pre-configured signalling bearer.

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Radio Network Layer

Control Plane Application Protocol Transport Network User Plane Transport Network Control Plane ALCAP(s) Signalling Bearer(s) Signalling Bearer(s) Physical Layer

User Plane Data Stream(s) Transport Network User Plane

Transport Network Layer

Data Bearer(s)

ALCAP - Access Link Control Application Part

Fig. 10 UTRAN General Protocol Model

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The UMTS Terrestrial Radio Access network General

3.3 Radio Network Layer Protocols

The UTRAN General Protocol Model has been redrawn and shown opposite together with a summary of the protocols to be found on each interface at the Radio Network Layer. On the Control Plane, these are: IuCS, IuPS Iub Iur Radio Access Network Application Part Node B Application Part Radio Network Sub-system Application Part (RANAP) (NBAP) (RNSAP)

On the User Plane: IuCS, IuPS Iub, Iur Either transparent or appropriate framing protocol (mainly for PS) Framing protocols

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IuCS Transparent or Iu IuPS Framing Protocols Iub Iur Framing Protocols

IuCs IuPs Iub Iur

RANAP RANAP NBAP RNSAP

Higher Layer Protocols

(not shown)

Radio Network Layer ALCAP Transport Network Layer Signalling Bearer(s)*

User

Control

Data Bearer(s)

Signalling Bearer(s) *

Physical Layer (Not specified) Control Plane User Plane

Transport Network Layer Protocols are ATM Based

* Set up by O & M Action

Fig. 11 Radio Network Layer Protocols

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The UMTS Terrestrial Radio Access network General

3.4 UTRAN Protocols Fitting Them Together

In order to appreciate the complexity, but the logical nature of the UTRAN protocols, several different can be examined:

3.5 RRC Idle Mode

When a mobile is in RRC (Radio Resource Control) idle mode, no RRC connection exists, and any relevant control information is simply carried over each interface using the appropriate control protocol. Hence RRC is found on the Uu interface between the user and network, NBAP on the Iub, and RANAP on both the IuCS and IuPS. Interface control information, together with such radio resource messages as System Information and Paging comprise the control information in idle mode. The relevant layer 2 protocols support the transfer of data over the air interface (Radio Link Control, RLC, and Medium Access Control, MAC). Transport is provided by ATM on the terrestrial interfaces, and W-CDMA on the air interface.

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Core Network
AN AP ) ro l (N BA

Relevant Logical and Transport Channels (incorporates RLC and MAC)

Co nt

Co nt ro l (R

P)

CRNC
AT M

ro l

(R

RC

Co

NODE B RRC Used mainly for Paging and Broadcast messages

DM A

nt

"IDLE"

Fig. 12 Use of Radio Network Layer Protocols (RRC Idle Mode)

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-C

AT M
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The UMTS Terrestrial Radio Access network General

3.6 RRC Connected Mode (1)

In RRC Connected Mode, the Serving RNC provides all layer 2 (RLC and MAC) processing as well as terminating the Radio Bearer and Signalling Radio Bearer. Hence the RRC protocol itself is terminated here (as well as in the UE). All information destined for, or received from the radio interface must therefore be carried transparently from Node B to SRNC (this includes user data, RRC, RLC, MAC information). This information is organised into logical and transport channels (as provided through RLC and MAC). Each transport channel (together with the logical channel(s) it contains), whether data or control information is simply transferred across the Iub interface as User Plane information, as shown opposite. Once at the SRNC, the data is interpreted as required and either acted upon (for RRC messages), transferred over the Iu interface within RANAP messages (for Non-Access Stratum control information, i.e. CM, MM, SM messages), or transferred over the Iu interface either transparently (for circuit switched data) or in the appropriate framing protocol (for packet switched data). In addition, extra control information, relevant to each interface is provided through NBAP on the Iub interface, RANAP on the Iu interface, and Radio Resource messages on the air interface. Transport is provided by ATM on the terrestrial interfaces, and W-CDMA on the air interface.

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(C S

rD at a

Us e

Fr "U am se in r P g la Pr ne ot " oc ol

(N

BA

P)

Relevant Logical and transport channels (incorporates RLC and MAC)

Co n

tro

l (R

AT M

AN AP )

or PS )

Core Network

Iu

Co

nt

ro l

SRNC
AT M

ta

Da

Iub
) ro l

er Us

(R

RC

ro l

nt

Co

Co

nt

NODE B
DM

Carries MM, CM (CC, SS,SMS), SM

-C

"CONNECTED"

Fig. 13 Use of Radio Network Layer Protocols (RRC Connected Mode)

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Uu

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The UMTS Terrestrial Radio Access network General

3.7 RRC Connected Mode (2)

In this case, a Drift RNC has been introduced into the scenario. However, the Radio Bearer and Signalling Radio Bearer, layer 2, and RRC still terminate at the SRNC. Therefore this is basically the same scenario as for the RRC Connected Mode without DRNC, but with the transparent path extended over the Iur interface as well as the Iub for the relevant transport channels. RNSAP provides the additional control information necessary on that interface. The framing protocols for the Iur user plane are the same as those for the Iub interface. Transport is again provided by ATM on the Iur interface.

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Core Network
or PS AN ) AP ) l (R

rD at a

(C S

Us e

Co n

tro

+Iu
AT M

Control (RNSAP)

User Plane Framing Protocol SRNC DRNC ATM

Fr "U am se in r P g la Co Pr ne ot " nt oc ro ol l (N BA AT P) M

+Iur

Us

Co

nt

ro l

at a (R RC )

+Iub

er D

Node B
Co nt ro l A

Fig. 14 Use of Radio Network Layer Protocols (RRC Connected Mode with Drift RNC)
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-C

+Uu

RRC, MAC & RLC Terminate at UE and SRNC If common channels are used, MAC at C/DRNC will be used as well as at SRNC

DM

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The UMTS Terrestrial Radio Access network General

3.8 Functions Of The UTRAN Protocols

The functions of each of the UTRAN control protocols are outlined opposite. RANAP includes those functions needed to manage location procedures which may need Core Network interaction, such as Hard Handover, and SRNS relocation. Radio access bearer management, security, paging, identity management, and transparent transfer of Non-Access Stratum signalling are all supported by RANAP. RNSAP provides functions which are split into four modules. Basic inter RNC mobility is supported in order to provide soft handover between RNS and to transfer waiting data during SRNS relocations. In addition, support is provided for both dedicated channel traffic (transparently transferred between SRNC and UE in dedicated transport channels) and common channel traffic (transferred from the SRNC to the DRNC for inclusion in the common channels being supported by that DRNC which is also acting as the CRNC for the Node B in question). NBAP functions are classed as either common or dedicated, depending on whether they are concerned with common or dedicated channels. RNC in Controlling, Serving or Drift Modes are supported. The functions are generally concerned with the use or configuration of the radio channels, including paging, access requests, radio link measurements, handovers and fault management.

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Core Network

RANAP FUNCTIONS INCLUDE: Relocation SRNS & Hard Handover Radio Access Bearer Management Paging and ID Management UE <-> CN Signalling Transfer (Transparently) Security Mode Control Location Reporting RNSAP FUNCTIONS INCLUDE: Basic Inter - RNC Mobility Dedicated Channel Traffic Support Common Channel Traffic Support Global Resource Management (optional) (Implemented in Four Separate Modules Shown Above)
RNSAP

SRNC

RANAP

DRNC

NBAP FUNCTIONS INCLUDE: Common Setup First Radio Link of UE RACH, FACH & PCH Handling Reporting Cell/Node B Measurements Cell Configuration Fault Management Dedicated RL Addition, Release & Reconfiguration for one UE context Dedicated and Shared Channel Handling Softer Combining Support Reporting of RL Specific Measurements RL Fault Management

NODE B

Fig. 15 UTRAN Protocol Functions

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NBAP

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The UMTS Terrestrial Radio Access network General

4. HANDOVERS
A handover primarily allows a moving mobile to remain connected with the network as different coverage areas (cells) are transited. Alternatively, it allows the network operator to control congestion and cell loading by compelling a mobile to hand over between adjacent cells in the overlap region (or even between hierarchical overlaid cells). Of increased importance for UMTS, though, is the possibility to hand over between cells, frequencies, or even access network types for reasons of service requirements (data rates, capacity, and quality of service issues). Different handover types exist. Hard handovers (as seen in GSM) are needed for handover between different UMTS carrier frequencies and between systems. Soft handover provides handover between cells handled by different Node Bs, whilst softer handover allows handover between cells handled by the same Node B. Soft and softer handovers can be handled entirely within the UTRAN. Hard handovers may be handled entirely within the UTRAN for handovers between carrier frequencies. The Core Network will be involved for inter-system hard handovers.

4.1 Softer Handover

In around 10% of connections at any time, the mobile will be served by more than one cell or sector operating on the same frequency and provided by the same Node B. With the same codes used, the received signals are simply input into the Rake Receiver as different components of the same signal. This process, together with the Rake combining of any multi-path components enhances the signal. Combining in this case is achieved entirely within the Node B and the User Equipment. The process is known as micro-diversity. Only a single power control loop is active per connection, provided by the Node B.

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Core Network

SRNC

Node B Combined signal received via Rake processing

Communication via more than one air interface concurrently Rake receivers at Node B and mobile station used to combine signal (similar to multipath reception) Occurs in about 10% of connections Only one power control loop per connection is active.

Fig. 16 Softer Handover (Micro Diversity)

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The UMTS Terrestrial Radio Access network General

4.2 Soft Handover

In the case of the soft handover, combining is done in the RNC, with the different arriving signals being continually assessed and the best signal chosen (every 10 80ms) for inclusion in the combined signal. The process is known as macro-diversity. Soft handover is generally thought to occur in about 20 40% of connections, and hence increases the overall requirement for transmission capacity in the UTRAN transport network. Additional Rake fingers are also required to cope with the increased number of "wanted" paths. One of the main reasons for employing the soft and softer handover techniques in CDMA is to mitigate the near-far effect, where a closer mobile contributes disproportionately to the overall interference levels. Hence in all handover cases, power control is critical. For softer handover, only one power control loop is active (i.e. only one Node B involved), but for soft handover, more than one power control loop is active (power control is now being provided by more than one Node B). This does not present a problem since the mobile simply responds to the Node B with the lower power requirement, minimising overall interference in the system. Soft and softer handover can be used simultaneously.

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Combining/Splitting

Node B

Core Network

SRNC Node B

DRNC

Node B Communication via more than one air interface concurrently. Signal split/combined at RNC (best frame chosen) Requires additional: Rake receiver channels in Node Bs Transmission links Node B <-> RNC Rake fingers in mobile stations Occurs in about 20 - 40% of connections Power control active for each Node B (mobile responds to Node B with lowest uplink power requirements). Can be combined with softer handover

Fig. 17 Soft Handover (Macro Diversity)

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The UMTS Terrestrial Radio Access network General

5. THE TRANSPORT NETWORK

5.1 Requirements Of The Transport Network
As a network of interconnected nodes, the UTRAN presents familiar problems to the designer of a transport network. The UTRAN provides the User Equipment (UE) with access to the Core Network (CN) for both Circuit Switched and Packet Switched services as well as providing transport for all signalling interactions, including those confined within the UTRAN, those between the UTRAN and the Core Network, and those being transferred through the UTRAN from UE to CN or vice-versa. The W-CDMA air interface has been designed to support services which vary widely in terms of acceptable quality of service. Hence services with varying data rates, delay tolerance, delay variance, and acceptable error rates are all possible. The UTRAN transport network has therefore been specified to support the varying qualities of service required for all the data types.

5.2 The Options

In choosing the technology, reliability, cost, flexibility, scalability, delivery time scales, and not least suitability for the task at hand were all factors. Specifying a protocol especially for UMTS was deemed not necessary since ATM (Asynchronous Transfer Mode) already existed and provided a relatively close match to the requirements. Fortunately, the transport protocol has been specified separately from the UTRAN protocols themselves, hence future flexibility in choice of technology is assured. At the moment, ATM is specified rather than an Internet Protocol (IP) solution, however the continuing work on IP is bringing it closer to satisfying the requirements (and at an inevitably low cost).

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UTRAN Transport Network

SGSN

Rest of Network (CS & PS)

RNC Packet Switched & Circuit Switched User Data & Signalling

MSC

Node B

RNC RNC

S n t ig n a R a d e r lli i o B fa c n g e e C R a d i a re r s ont o Bearers rol In f o r m a ti o n

Fig. 18 UTRAN Transport Network Requirements

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The UMTS Terrestrial Radio Access network General

5.3 ATM Operation

Within a network of ATM switches, virtual channels and virtual paths through the network from entry point to exit point can be provided by ensuring that the switches have the relevant identifiers and routing information available. This information can be pre-configured, or set up within the switches dynamically by specific signalling messages as a requirement for a path or channel through the network arises. Switching is achieved by the use of fixed length (53 Octet) cells with appropriate identifiers. Each cell is identified at each ATM switch and simply directed on to the next switch in accordance with the routing information held in the switch. The identifiers will change as the cell passes through the switch, however, each switch will have been programmed with the correct identifiers and the overall path or channel will still be valid. Switching can occur on two levels at the path level, which may simply switch by analysing only the "virtual path identifier" (irrespective of the "virtual channel identifier"); and at the channel level, where both identifiers are analysed and the cell routed accordingly. This can allow flexibility in network provision by allowing simpler processing at virtual path switches, and more in-depth at virtual channel switches. ATM physical switches can of course have both levels of switching available.

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ATM NETWORK

Virtual channels/paths through the network are set up by O&M action or dynamically using signalling Channels and paths identified using VCIs (Virtual Channel Identifiers) and VPIs (Virtual Path Identifiers) in the ATM Cell Header

ATM Switch

Fig. 19 ATM Operation

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The UMTS Terrestrial Radio Access network General

5.4 The ATM Cell

On any link between switches, the cells for a single path or channel will be allocated as required (asynchronously) within the overall synchronous cell stream. The cell itself is made up of 48 octets of data (which may include higher layer control information) with 5 octets of ATM header information. This information includes: The Virtual Path Identifier (VPI) The Virtual Channel Identifier (VCI) Payload Type (PT) Cell Loss Priority (CLP) Header Error Correction (HEC) The VPI and VCI are used in the switching process. The PT identifies the type of payload. The Cell Loss Priority allows cells to be prioritised in terms of which ones could be discarded first in congestion situations. HEC provides a mechanism for checking for errors within the header (only).

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The ATM Cell: 48 Octets 5 Octets HEADER: (VPI/VCI/PT/ CLP/HEC)

DATA

Contains User Data and Adaptation Information (Quality of service requirements)

ATM Cell Streams: Continuous stream of cells

Asynchronous allocation of cells in synchronious stream

Fig. 20 The ATM Cell

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The UMTS Terrestrial Radio Access network General

5.5 ATM and Quality Of Service

It is not the ATM cell itself which provides the necessary control and protocols to support different Qualities of Service (QoS), but the specified adaptation process which occurs between the data to be transported and the ATM cell. The adaptation process introduces extra overhead (control data) onto the data to be placed within the 48 octets of data within the ATM cell. In terms of protocol, the ATM Adaptation Layer (AAL) lies directly between the data to be carried and the ATM layer. Four different AALs have been specified for use with ATM, and two have been adopted within the UTRAN AAL2 and AAL5. The characteristics of each are shown opposite. Between them, they provide support for all necessary UTRAN QoS requirements.

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AAL5

Variable bit rates Packet type data Segmentation & Reassembly Constant delays not required Suitable for signalling, packet user, data transfer etc

AAL5

AAL5

ATM NETWORK

AAL2

AAL2

AAL2

Variable bit rates Circuit type data Segmentation & Reassembly Constant delays required Suitable for multimedia, video etc AAL-ATM Adaptation Layer

Fig. 21 ATM and Quality of Service

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The UMTS Terrestrial Radio Access network General

5.6 Use Of ATM In The UTRAN

Within UTRAN, the use of AAL2 and AAL5 have been specified over each interface for different types of data. These are shown opposite. AAL2 is only used wherever circuit switched type data is being transferred, or likely to be transferred, otherwise AAL5 is specified (where packet user data only is to be transferred, or for signalling). On the Iub and Iur interfaces, the interfaces user plane data would usually include a mixture of circuit type and packet type (end user) data, and signalling destined for, or received from, the radio interface. On both interfaces, the circuit switched end user data Quality of Service requirements must be satisfied, hence AAL2 is used.

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"USER"

Iu Packet User Data / Signalling

"USER"

AAL 5

ATM

AAL 5

"USER"

IuCS, Iub*, Iur* User Data

"USER"

AAL 2 ATM

AAL 2

* Includes RRC signalling carried transparently over these interfaces

Fig. 22 ATM within the UTRAN

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The UMTS Terrestrial Radio Access network General

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ANNEX 1 TRANSPORT NETWORK LAYER PROTOCOLS

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The UMTS Terrestrial Radio Access network General

A.1 TRANSPORT NETWORK LAYER PROTOCOLS

For clarity, the UTRAN Transport Network Layer protocols are shown for each UTRAN interface. The Access Link Control Application Part (ALCAP) protocol is specified for all interfaces except the IuPS. ALCAP allows for dynamic configuration and routing through the ATM network and is required to set up the relevant AAL2 connections (circuit switched type connections), ensuring that the requested quality of service is supported. The IuPS interface is the only one which uses AAL5 for transporting both user plane and control plane information. In this case, dynamic allocation is not required, and the ALCAP is absent. The paths and channels are pre-configured. The specified ALCAP is International Telecommunications Union (ITU) recommendation Q.2630 which is a protocol originally specified for use with ATM, and designed mainly to control the set up, maintenance, and release of ATM connections with the required QoS.

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IuCS IuPS Iub Iur

Q2630 ABSENT Q2630 Q2630

IuCS IuPS Iub Iur

AAL2, ATM GTP, UDP, AAL5, ATM AAL2, ATM AAL2, ATM

Radio Network Layer ALCAP Transport Network Layer Signalling Bearer(s)*

User

Control

Data Bearer

Signalling Bearer(s) *

Physical Layer (Not specified) Control Plane User Plane

IuCS IuPS Iub Iur

SS7, AAL5, ATM SS7, AAL5, ATM AAL5, ATM SS7, AAL5, ATM

IuCS IuPS Iub Iur

SS7, AAL5, ATM SS7, AAL5, ATM AAL5, ATM SS7, AAL5, ATM

Fig. A.1 Transport Network Layer Protocols

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