This document outlines various elementary procedures in UMTS, including paging, connection setup, transaction reasoning, security, and transaction clearing. It details multiple steps and message exchanges between different network elements during these processes, including both circuit and packet-switched data transfers. Additionally, it includes examples of handover procedures, location updates, and IMS communication procedures, providing a comprehensive view of the signaling and control mechanisms within UMTS architecture.

1. 2
Elementary Procedures (1/8)
• Paging
• RRC Connection Set-up
• Trasaction Reasoning
• Authentication and Security
• Transaction Set-up with RAB Allocation
• Tansaction
• Transaction Clearing and RAB Release
• RRC Connection Release
Elementary Procedures (2/8)
Paging and RRC Connection Setup
Core Network
Domain
(S)RNC
BS
UE
Uu Iub Iu
RANAP: Paging[The requesting CN domain, IMSI, etc.]
RRC: Paging Type 1[Radio Network Temporary Identity (RNTI)]
RRC: Connection Request[IMSI / TMSI, IMEI, LA Id, RA Id, Reason for the
radio connection ]
NBAP: RL Setup[Transport format
description, power control info, code info]
NBAP: RL Setup Response[Transport
Layer Addressing Info, Reference Info]
Iub Bearer Establishment
FP: Downlink Synch.
FP: Uplink Synch.
RRC: Connection Setup[Transport format, Power control, codes]
RRC: Connection Setup Complete
RANAP: Paging[The requesting CN domain, IMSI]
RRC: Paging Type 2[Radio Network Temporary Identity (RNTI)]
RRC
Connection
Setup
Active Connection

2. 3
Elementary Procedures (3/8)
Transaction Reasoning, Authentication and Security Control
MSC/VLR
(S)RNC
BS
UE
Uu Iub Iu
RANAP: UE Initial Message[TMSI/IMSI, Current LA of
UE, The Kind of Transaction Requested)]RRC: Initial Direct Transfer (MM, GMM,CC, etc.)
RRC: Direct Transfer (Authentication Request)
RRC: Direct Transfer (Authentication Response)
RANAP: Security Mode Command[Selected Security
Algorithms, Integrity and Encryption Keys].
RANAP::Direct Transfer (Authentication Response).
RRC: Security Mode Command[Commands the UE to start encrypting the transaction
with the corresponding keys and algorithms]
RRC: Security Mode Complete (Indicates that UE has successfully turned on the
selected integrity protection and encryption algorithms in this transaction)
RANAP: Security Mode Complete
Transaction
Reasoning
SGSN
RANAP: Direct Transfer (Authentication Request)
Authentication
and Security
Control
Elementary Procedures (4/8)
Transaction Set-up with RAB Allocation, Transaction,
Transaction Clearing with RAB Release (Circuit Switched)
MSC/VLR
(S)RNCBSUE
Uu Iub Iu
RANAP: Direct Transfer(CC: Setup[TransactionId,
StreamId, Traffic class, AsymmetryId, Max bitrate,
Guaranteed bitrate])
RRC: Direct Transfer (CC: Setup[TransactionId, StreamId, Traffic class, AsymmetryId,
Max bitrate, Guaranteed bitrate])
RRC: Radio Bearer Setup
RANAP: RAB Assignment Response
RRC: Radio Bearer Setup Complete
RRC: Direct Transfer (CC: Call Proceeding)
RANAP: Direct Transfer (CC: Call Proceeding)
RANAP: RAB Assignment Request [Unique RAB ID,
QoS Parameters]
Radio Bearer Establishment
Iu CS Bearer Establishment
Further Procedures for User Plane Connection and User Data Flow Established and Carried Between Parties
Transaction
Setup with
RAB
Allocation
Transaction
Transaction
Clearing with
RAB Release
RRC: Direct Transfer (CC: Disconnect)
RANAP: Direct Transfer (CC: Disconnect)
RANAP: Direct Transfer (CC: Release)
RRC: Direct Transfer (CC: Release)
RRC: Direct Transfer (CC: Rel. Complete)
RANAP: Direct Transfer (CC: Rel.. Complete)
RANAP: RAB Assignment Request (Release)
RRC: Radio Bearer Release
RRC: Radio Bearer Release Complete
RANAP: RAB Assignment Response (Release)

3. 4
Elementary Procedures (5/8)
Transaction Set-up with RAB Allocation, Transaction,
Transaction Clearing with Iu Release (Circuit Switched)
MSC/VLR
(S)RNC
BS
UE
Uu Iub Iu
RANAP Direct Transfer(CC: Setup[TransactionId,
StreamId, Traffic class, AsymmetryId, Max bitrate,
Guaranteed bitrate])
RRC: Direct Transfer (CC: Setup[TransactionId, StreamId, Traffic class, AsymmetryId,
Max bitrate, Guaranteed bitrate])
RRC: Radio Bearer Setup
RANAP: RAB Assignment Response
RRC: Radio Bearer Setup Complete
RRC: Direct Transfer (CC: Call Proceeding)
RANAP: Direct Transfer (CC: Call Proceeding)
RANAP: RAB Assignment Request [Unique RAB ID,
QoS Parameters]
Radio Bearer Establishment
Iu CS Bearer Establishment
Further Procedures for User Plane Connection and User Data Flow Established and Carried Between Parties
Transaction
Setup with
RAB
Allocation
Transaction
Transaction
Clearing with
Iu Release
RRC: Direct Transfer (CC: Disconnect)
RANAP: Direct Transfer (CC: Disconnect)
RANAP: Direct Transfer (CC: Release)
RRC: Direct Transfer (CC: Release)
RRC: Direct Transfer (CC: Rel. Complete)
RANAP: Direct Transfer (CC: Rel.. Complete)
RANAP: Iu Release Command
RRC: Radio Bearer Release
RRC: Radio Bearer Release Complete
RANAP: Iu Release Complete
Clearing RRC Connection
Elementary Procedures (6/8)
Transaction Set-up with RAB Allocation, Transaction,
Transaction Clearing with RAB Release (Packet Switched)
SGSN
(S)RNCBSUE
Uu Iub Iu
RANAP Direct Transfer(SM: Active PDP Context
Request)
RRC: Direct Transfer (SM: Active PDP Context Request)
RRC: Radio Bearer Setup
RANAP: RAB Assignment Response
RRC: Radio Bearer Setup Complete
RRC: Direct Transfer (SM: Active PDP Context Accept)
RANAP: Direct Transfer (SM: Active PDP Context Accept)
RANAP: RAB Assignment Request [Unique RAB ID,
QoS Parameters (Guaranteed bitrate)]
Radio Bearer Establishment
Iu PS Bearer Establishment
Exchanging Packet Switched Data between the UE and the CN Domain
Transaction
Setup with
RAB
Allocation
Transaction
Transaction
Clearing with
RAB Release
RRC: Direct Transfer (SM: Deactivate PDP Context Request)
RANAP: Direct Transfer (SM: Deactivate PDP Context Req.)
RANAP: RAB Assignment Request (Release)
RRC: Radio Bearer Release
RRC: Radio Bearer Release Complete
RANAP: RAB Assignment Response (Release)
RANAP: Direct Transfer (SM: Deactivate PDP Context
Accept)RRC: Direct Transfer (SM: Deactivate PDP Context Accept)

4. 5
Elementary Procedures (7/8)
Transaction Set-up with RAB Allocation, Transaction,
Transaction Clearing with Iu Release (Packet Switched)
SGSN
(S)RNC
BS
UE
Uu Iub Iu
RANAP Direct Transfer(SM: Active PDP Context
Request)
RRC: Direct Transfer (SM: Active PDP Context Request)
RRC: Radio Bearer Setup
RANAP: RAB Assignment Response
RRC: Radio Bearer Setup Complete
RRC: Direct Transfer (SM: Active PDP Context Accept)
RANAP: Direct Transfer (SM: Active PDP Context Accept)
RANAP: RAB Assignment Request [Unique RAB ID,
QoS Parameters (Guaranteed bitrate)]
Radio Bearer Establishment
Iu PS Bearer Establishment
Exchanging Packet Switched Data between the UE and the CN Domain
Transaction
Setup with
RAB
Allocation
Transaction
Transaction
Clearing with
Iu Release
RRC: Direct Transfer (SM: Deactivate PDP Context Request)
RANAP: Direct Transfer (SM: Deactivate PDP Context Req.)
RANAP: Direct Transfer (SM: Deactivate PDP Context
Accept)RRC: Direct Transfer (SM: Deactivate PDP Context Accept)
RRC: Radio Bearer Release
RANAP: Iu Release Command
RANAP: Iu Release Complete
RRC: Radio Bearer Release Complete
Clearing of RRC Connection
Elementary Procedures (8/8)
RRC Connection Release
(S)RNCBSUE
Uu
Iub
RRC: Connection Release
RRC: Connection Release Complete
NBAP: RL Deletion
NBAP:RL Deletion Response
Iub Bearer Release

5. 6
RRM Procedure Examples (1/5)
• Soft Handover – Link Addition and Link
Deletion
• SRNS Relocation – Circuit Switched
• Inter-System Handover from UMTS to
GSM – Circuit Switched
RRM Procedure Examples (2/5)
Soft Handover – Link Addition
SRNCBS 1UE
Uu
Iub
RRC: Measurement Report (Measurements of Intra-frequency, Inter-frequency, Inter-system, Traffic volume, Quality, Internal)
RNSAP: RL Setup Req.
NBAP: RL Setup Response
BS 2 DRNC
IurIubUu
NBAP: RL Setup.
RNSAP: RL Setup Response
Iub Bearer Setup Iur Bearer Setup
FP Downlink Synchronization
FP Uplink Synchronization
RRC: Active Set Update (RL Addition: A new radio link has been added to the active set of the connection, which can be taken into use)
RRC: Active Set Update Complete
UE has a service (RRC connection with the UTRAN exists and is active)

6. 7
Soft Handover – Link Deletion
RRM Procedure Examples (3/5)
SRNCBS 1UE
Uu Iub
RRC: Measurement Report
RNSAP: RL Deletion Request
NBAP: RL Deletion Response
BS 2 DRNC
IurIubUu
NBAP: RL Deletion Request
RNSAP: RL Deletion Response
Iub Bearer Release Iur Bearer Release
RRC: Active Set Update (RL Deletion of BS 2: Indicates the radio connection to be removed)
RRC: Active Set Update Complete
The transaction is going on and the UE moves
RRM Procedure Examples (4/5)
SRNS Relocation – Circuit Switched (UE not involved)
RNC 2
UE
RANAP: Relocation Required [Reason,
Target RNS ID, UE Classmark Info.]
RANAP: Relocation Command
RANAP: Relocation Request Ack.
(Optional) RNSAP: SRNC Relocation Commit
RANAP: Iu Release Command
MSC/VLR
RANAP: Relocation Request
RNC 1
User Data Flow through RNC 1
Data Forwarding
RNC 1 RNC 2
RRC Procedures
RANAP: Relocation Complete
RANAP: Iu Release Complete
User Data Flow through RNC 2
RANAP: Relocation Detect

7. 8
RRM Procedure Examples (5/5)
Inter-System Handover from UMTS to GSM – circuit switched
BSC
RANAP: Relocation Required[Reason,
Cell Global ID, UE Classmark Info.]
BSSMAP: HandOver Required Ack..
BSSMAP: TCH Assign Cmd
GSM RR: Physical Info[Info. for Starting to Use the GSM Radio
Access, Channel Decription, etc.]
MSC/VLR
BSSMAP: HandOver Required
User Data Flow through RNC
BSSMAP: HandOver Detect
User Data Flow through GSM BSC
TCH Allocation
RANAP: Relocation Command
UE
RNC
RRC: Measurement Report
RRC: Handover from UTRAN Command
[Target System, Additional Info. for HO]
GSM RR: Handover Access
GSM RR: Handover Complete
BSSMAP: HandOver Complete
RANAP: Iu Release Command
RANAP: Iu Release Complete
RRC: URA Update
RRC: URA Update Confirm
MM Procedure Examples (1/3)
Cell Update and URA Update
UE RNC
RRC: Cell Update
RRC: Cell Update Confirm
Information exchange between UE and RNC
Information exchange between UE and RNC
Cell
Update
URA
Update

8. 9
MM Procedure Examples (2/3)
Location Update to the CN CS Domain
RNCUE
RRC Initial Direct Transfer (MM: LU
Request[Old LA Id, New LA Id, TMSI])
MAP Update Location
MAP Insert Subscriber
Data[Subscriber Profile, Serv. Info.]
Authentication and Security
New
MSC/VLR
Old
MSC/VLRAuC/HLR
RRC Connection Setup
MAP Cancel Location
RANAP UE Initial Message (MM: LU
Request[Old LA Id, New LA Id, TMSI]) MAP Send Parameters(Fetch Sec. Param.)
MAP Send Parameters(Sec. Param.)
MAP Cancel Location Ack.
MAP Insert Subscriber Data Ack.
MAP Update Location Ack.
RANAP Direct Transfer (MM: LU
Accept [New TMSI])RRC Direct Transfer (MM: LU
Accept [New TMSI])
RRC Direct Transfer (MM:
Ack(TMSI Realloc. Complete)) RANAP Direct Transfer (MM:
Ack(TMSI Realloc. Complete))
RANAP Iu Release Command
RRC Connection Release
RANAP Iu Release Complete
MM Procedure Examples (3/3)
Routing Area Update to the CN PS Domain
AuC/HLRRNCUE
GTP-C: SGSN Ctxt
Req.(Request Subscriber Info.)
RRC Initial Direct
Transfer(GMM: RAU
Request[Old and New RA ID])
RANAP UE Initial Massage
(GMM: RAU Request[Old
and New RA ID])
MAP Send Parameters (Subscriber’s Authentication Vectors)
MAP Send Parameters(Ask for Subscriber’s Authentication Vectors)
MAP Update Location
GTP-C: Update PDP Context Response
GTP-C: SGSN Ctxt Resp.
(Subscriber Info.)
New SGSN Old SGSN GGSN
RRC Connection Setup
Authentication and Security GTP-C: Update PDP Context Request (To Inform that SGSN and
PDP Ctxt Have Been Changed)
MAP Cancel Location
MAP Cancel Location Ack.
MAP Insert Subscriber Data (Transfer Subscriber Profile)
MAP Insert Subscriber Data Ack.
MAP Update Location Ack.
RANAP Direct Transfer
(GMM: RAU Accepted [New
P-TMSI])
RRC Direct Transfer (GMM:
RAU Accepted [New P-TMSI])
RRC Direct Transfer (GMM:
Ack[P-TMSI Realoc.
Complete])
RANAP Direct Transfer
(GMM: Ack[P-TMSI
Realloc. Complete])
RANAP Iu Release Cmd
RRC Connection Release
RANAP Iu Release Complete

9. 10
CC Procedure Example (1/1)
Circuit Switched Call –UE Terminating – UE Clears
MSC/VLRRNCUE
ISUP IAM[IMSI, MSRN]
ISUP ACM
MAP Send Routing Info [MSRN]
MAP Send Routing Info[MSISDN]
MAP Provide Routing Number[IMSI]
ISUP IAM [MSISDN]
GMSC
PSTN
HLR
ISUP ACM (To Setup Circuit Switched Path)
MAP Provide Roaming Number Ack.[MSRN]
RANAP Paging [IMSI]
RRC Paging Type 1
Opening of RRC Connection
RRC Initial Direct Transfer
(CC: Initial UE Message)
RANAP Initial UE Message
Authentication and Security
Transaction Setup and Radio Access Bearer Allocation (Circuit Switched)
RRC Direct Transfer (CC: Alert)
RANAP Direct Transfer (CC: Alert)
ISUP Alert ISUP AlertRRC Direct Transfer (CC: Answer)
RANAP Direct Transfer (CC: Answer)
ISUP ANS ISUP ANSRANAP Direct Transfer (CC: Connect)
RRC Direct Transfer (CC: Conn.)
RRC Direct Trans. (CC: Conn.Ack.)
RANAP Direct Transfer(CC: Conn.Ack.)
User Plane connected: User data flow established and carried between parties
RRC Direct Transfer (CC: Disc.)
RANAP Direct Transfer(CC: Disc.)
ISUP REL (release)
RANAP Direct Transfer (CC: Release) ISUP REL(release)
ISUP RLC (release complete)
ISUP RLC
RRC Direct Transfer (CC: Release.)
RRC Direct Transfer (CC: RLC.)
RANAP Direct Transfer(CC: RLC)
Radio Access Bearer Deletion (Circuit Switched)
Iu Release
Closing of RRC Connection
Packet Data Example (1/1)
Packet Data Transfer – Uplink and Downlink
SGSNRNCUE
RRC Cell Update
RRC Cell Update Confirm
GGSN
Internet
Packet are sent in Uplink direction as follows:
PDP Context Activation and Bearer Allocation
Packet Data Transfer (Packet is Tunnelled between RNC and GGSN via GTP-U)
Outgoing Data Packets
PDP Context Deactivation and Bearer Removal
Packet are sent in Downlink direction as follows:
Incoming Data Packets
SM: PDU Notification Request
SM: PDU Notification Response
RANAP Paging
RRC Paging Type 1
RRC Cell Update
RRC Cell Update Confirm
PDP Context Deactivation and Bearer Removal
PDP Context Activation and Bearer Allocation
Packet Data Transfer (Packet is Tunnelled between RNC and GGSN via GTP-U)
Outgoing Data Packets

10. 11
IMS Procedure Example (1/2)
UTRAN
GERAN
PS CN
SGSN GGSN
HSS
CS CN
MSC
Server
GMSC
Server
MGW MGW
IMS CN
MGW
MGCF
BGCFS-CSCF
I-CSCF
P-CSCF
Iinternet &
Corporate IP
PSTN/ISDN
BSC
RNC
BS
BTS
IMS Procedure Example (2/2)
P-CSCF Discovery Using PDP Context Activation Signaling
Registration Information Flow – User Not Registered
GGSNSGSNUE
Active PDP Context Request
(Ask for P-CSCF IP Addr.)
Create PDP Context Response
Activate PDP Context Accept
Get IP Address(es)
of P-CSCF(s)
P-CSCF I-CSCF HSS S-CSCF
Initiate Communication towards IMS and Gain Signalling Channel
Register [P-CSCF addr.,
Public User ID, Private
User ID, P-CSCS
Network ID, UE IP
Addr.]
Cx-Query [Public User ID,
Private User ID, P-CSCF
Network ID]
Cx-Query Resp.[(S_CSCF
name), S-CSCCF Capability]
Cx-Select-pull [Pub. User ID, Priv. User ID]
Cx-Select-pull Resp [S-CSCF Name & capability]
Register [P-CSCF, addr./name, Pub. User ID, Priv. User
ID, P-CSCF Net. ID, UE IP addr.]
Cx-put [Pub. User ID, Priv. User ID, S_CSCF name]
Cx-put Resp.
Cx-pull [Pub. User ID, Priv. User ID]
Cx-pull Resp.[User Info. ]
Service Control.
200 OK (Home network contact info.)
200 OK (Home Network
Contact Info.[Encrypted
S_CSCF Addr.])
200 OK (Home network contact Info.)
Visited Network Home Network
Create PDP Context Request
P-CSCF
Discovery
Register [Public User ID, Private User ID, Home Network Domain Name, UE IP Addr.]

11. 12
Summary
• The presented UMTS procedures are only
some examples, it does not cover all the
procedures in UMTS.
• The basic procedures are used in other
procedures.
• IMS procedures are not covered by the
basic procedures.
Reference
• Kaaranen Heikki, etc. Architecture,
Mobility and Services, John Wiley & Sons
Ltd, England, 2001
• 3GPP TS 23.228 v5.8.9 IP Multimedia
Subsystem (IMS), 2003-03

12. 13
Thank You!
UMTS Protocols (Control Plane)
Control Plane (Signaling Plane)
TE
PPP
L1
PPP
L1
MT UTRAN
SM/
GMM
RRC
RLC
MAC
Radio
RRC
RLC
MAC
Radio
RANAP
SCCP
MTP3
AAL5
ATM
Replay
ATM
switch
ATM
ARP
server
AAL5
ATM
ATM
ARP
server
SM/
GMM
RANAP
SCCP
MTP3
AAL5
ATM
GTP-C
UDP
IP
IPOA
AAL5
ATM
SGSNGGSN
GTP-C
UDP
IP
IPOA
AAL5
ATM
BSSAP+/
MAP
TCAP
SCCP
MTP3
MTP2
E1
DHCP/
RADIUS
UDP
IP
802.3
FE
GGSN
MSC
_VLR
/HLR
DHCP/
RADIUS
UDP
IP
L2(802.3)
L1(FE)
ISP
MAP
TCAP
SCCP
MTP3
MTP2(SAAL)
E1(ATM)
GGSNHLR
MAP
TCAP
SCCP
MTP3
MTP2(SAAL)
E1(ATM)
SGSNHLR
BSSAP+
TCAP
SCCP
MTP3
MTP2(SAAL)
E1(ATM)
SGSNMSC_HLRSM: Session management
GMM: GPRS mobility management
RRC: Radio resource control
RLC: Radio Link Control
MAC: Medium Access Control
RANAP: Radio Access Network
Application Protocol
SCCP: Signaling Connection
Control Part
MTP3/2: Message Transfer Part 3/2
PDCP: Packet Data Convergence
Protocol
SAAL: Siganaling ATM adaptation
layer
AAL5: ATM adaptation layer 5
GTP-C/U: GPRS Tunneling
Protocol-Control/User
IPoA: IP over ATM
UDP: User Datagram Protocol
BSSAP: Base Station System
GPRS Application Part
MAP: Mobile Application Part
TCAP: Transaction Capabilities
Application Part
PPP: Point to Point Protocol

13. 14
UMTS Protocols (User Plane)
User Plane (Traffic Plane)
TE
IP
PPP
L1
MT UTRAN
ATM
switch
ATM
ARP
server
AAL5
ATM
ATM
ARP
server
SGSNGGSN
IP
GTP-U
UDP
IP
IPOA
AAL5
ATM
IPinIP
IP
802.3
FE
GGSN
Application
IPinIP
IP
L2
L1
ISP
Relay
GTP-U
UDP
IP
IPOA
AAL5
ATM
GTP-U
UDP
IP
IPOA
AAL5
ATM
Relay
GTP-U
UDP
IP
IPOA
AAL5
ATM
PDCP
RLC
MAC
Radio
Relay
PPP
L1
PDCP
RLC
MAC
Radio
Relay
Application