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`Design Handbook
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`third-generation UMTScellular systems. The book
`addresses all aspects of the design of the interface
`COMMUNMENeRCOR GRAM ENee)mans
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`Ex. 1011 / Page 2 of 68
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`
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`Ex. 1011 / Page 2 of 68
`
`

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`I
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`UNIVERSITY PRESS
`www.cambridge.org
`ISBN 0-521-82815 - 5
`
`1111111 11111
`9 780521 828154
`
`Ex. 1011 / Page 3 of 68
`
`

`

`DATE DUE
`DATE DU
`AUG 0 2 2005 1 2 1:" 1 ~ - ~ S
`12°18 718
`
`OCT 1 0 2006
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`04-10-12
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`DEMCO,INC.38-2931
`
`DEMCO, INC. 38·2931
`
`Ex. 1011 / Page 4 of 68
`
`Ex. 1011 / Page 4 of 68
`
`

`

`·WCDMA
`Design Handbook
`
`Andrew Richardson
`
`lmagicom Ltd
`
`UTD LIBRARY
`
`2601 N. FLOYD ROAD
`RICHARDSON, TX 75083
`
`:· C AMBRIDGE
`.. UNIVERSITY PRESS
`
`llll~llrnll~l~iil~~~~H
`
`3 1863 006 637 429
`
`Ex. 1011 / Page 5 of 68
`
`

`

`PUBLISHED BY THE PRESS SYNDICATE OF THE UNIVERSITY OF CAMBRIDGE
`The Pitt Building, Trumpington Street, Cambridge, United Kingdom
`
`CAMBRIDGE UNIVERSITY PRE SS
`The Edinburgh Building, Cambridge C B2 2RU, UK
`40 West 20th Street, New York, NY 10011--4211, USA
`477 Williamstown Road, Port Melbourne, VIC 3207, Australia
`Ruiz de Alarc6n 13, 28014 Madrid, Spain
`Dock House, The Waterfront, Cape Town 800 I, South Africa
`
`http://www.cambridge.org
`
`© Andrew Richardson 2005
`
`This book is in copyright. Subject to statutory exception
`and to the provisions of relevant collective licensing agreements,
`no reproduction of any part may take place without
`the written permission of Cambridge University Press.
`
`First published 2005
`
`Printed in the United Kingdom at the University Press, Cambridge
`
`Typefaces Times I 0.5/14 pt and HelveticaNue
`
`System ITTE;X 2e
`
`[TB]
`
`A catalogue record for this book is available from the British Library
`
`Library of Congress Cataloguing in Publication data
`Richardson, Andrew, 196 1-
`WCDMA Design Handbook I Andrew Richardson .
`p. cm.
`Includes bibliographical references and index.
`ISBN052 1828155
`I. Code division multiple access - Handbooks, manuals, etc. 2. Wireless communication systems -
`I. Title.
`Handbooks, manuals, etc. 3. Mobile communication systems - Handbooks, manuals, etc.
`TK5 I 03.452.R53 2004
`621.3845 - dc22 2003058670
`
`ISBN 0 521 82815 5 hardback
`
`Ex. 1011 / Page 6 of 68
`
`

`

`Contents
`
`Preface
`Acknowledgements
`List of abbreviations
`
`1
`
`Introduction
`
`1.1 Concepts and terminology
`1.2 Major concepts behind UMTS
`1.3 Release 99 (R99) network architecture
`1.4 R4 and RS network architecture
`1.5 Services provided by UM TS and their evolution from
`GSM/GPRS services
`1.6 Summary
`
`2
`
`WCDMA in a nutshell
`
`2. 1 Protocol architecture
`2.2 SAPs
`2.3 Principles of the physical layer
`2.4 Principles of the upper layers
`2.5 Radio and data connections
`2.6 Security issues
`2.7 Summary of the operation of the radio interface
`
`3
`
`Spreading codes and modulation
`
`3. 1 Introduction
`3.2
`Introducing WCDMA spreading functions
`
`vii
`
`page xiii
`xv
`
`XVI
`
`1
`
`1
`4
`8
`16
`
`19
`23
`
`24
`
`24
`29
`33
`42
`47
`5 1
`59
`
`64
`
`64
`66
`
`Ex. 1011 / Page 7 of 68
`
`

`

`71
`87
`97
`102
`108
`
`115
`
`115
`115
`115
`122
`128
`134
`136
`136
`
`137
`
`137
`140
`143
`146
`154
`165
`169
`174
`176
`
`184
`
`184
`184
`187
`189
`204
`
`Contents
`
`3.3 Channelisation codes
`3.4 Scrambling codes
`3.5 Modulation
`3.6 Downlink spreading and modulation
`3.7 Uplink spreading and modulation
`
`Physical layer
`
`Introduction
`4.1
`4.2 Physical channel mapping
`4.3 Uplink channels
`4.4 Downlink channels
`4.5 Spreading and scrambling codes
`4.6 Cell timing
`4 .7 PRACH timing and CPCH timing
`4.8 Summary
`
`- 4
`
`viii
`
`
`
`5
`
`RF aspects
`
`5.1 Frequency issues
`5.2 UE transmitter specifications
`5.3 Node B transmitter specifications
`5.4 Received signals
`5.5 Node B receiver characteristics
`5.6 Node B receiver performance
`5.7 UE receiver characteristics
`5.8 UE receiver performance tests
`5.9 UMTS transceiver architecture study
`
`6
`
`Chip rate processing functions
`
`6.1
`Introduction
`6.2 Analogue to digital converter (ADC)
`6.3 Receive filtering
`6.4 Rake receiver overview
`6.5 Channel estimation
`
`Ex. 1011 / Page 8 of 68
`
`

`

`ix
`
`-
`
`Contents
`
`6.6
`6.7
`
`Searcher
`Initial system acqujsition
`
`7
`
`Symbol rate processing functions
`
`7. 1 WCDMA symbol rate transmission path
`7.2 Convolutional error correction codes
`7.3 Turbo codes as used in WCDMA
`7.4 The performance of the WCDMA turbo code via examples
`
`8
`
`Layer 2- medium access control (MAC)
`
`8.1 MAC introduction
`8.2 MAC architecture
`8.3 MAC functions and services
`8.4 MAC PDUs and primitives
`8.5 MAC operation
`8.6 Random access procedure
`8.7 Control of CPCH
`8.8 TFC selection in uplink in UE
`
`9
`
`Layer 2- RLC
`
`9.1
`Introduction
`9.2 TM
`9.3 UM
`9.4 AM
`9.5
`Summary
`
`10
`
`PD C P and BMC protocols
`
`10.1
`PDCP architecture and operation
`10.2 Broadcast/multicast control
`10.3 CBS PDU summary
`10.4
`Summary
`
`206
`208
`
`217
`
`217
`229
`235
`247
`
`248
`
`248
`25 1
`257
`261
`264
`264
`277
`282
`
`300
`
`300
`300
`306
`314
`335
`
`337
`
`337
`344
`347
`348
`
`71
`87
`97
`102
`108
`
`115
`
`115
`115
`115
`122
`128
`134
`136
`136
`
`137
`
`137
`140
`143
`146
`154
`165
`169
`174
`176
`
`184
`
`184
`184
`187
`189
`204
`
`Ex. 1011 / Page 9 of 68
`
`

`

`-
`
`ix
`
`Contents
`
`6.6
`6.7
`
`Searcher
`Initial system acquisition
`
`7
`
`Symbol rate processing functions
`
`7.1 WCDMA symbol rate transmission path
`7.2 Convolutional error correction codes
`7.3
`Turbo codes as used in WCDMA
`7.4 The performance of the WCDMA turbo code via examples
`
`8
`
`Layer 2 - medium access control (MAC)
`
`8.1 MAC introduction
`8.2 MAC architecture
`8.3 MAC functions and services
`8.4 MAC PDUs and primitives
`8.5 MAC operation
`8.6 Random access procedure
`8.7 Control of CPCH
`8.8 TFC selection in uplink in UE
`
`9
`
`Layer2-RLC
`
`9.1
`Introduction
`9.2 TM
`9.3 UM
`9.4 AM
`9.5
`Summary
`
`10
`
`PD C P and BMC protocols
`
`10.1 PDCP architecture and operation
`10.2 Broadcast/multicast control
`10.3 CBS PDU summary
`10.4
`Summary
`
`206
`208
`
`217
`
`217
`229
`235
`247
`
`248
`
`248
`251
`257
`261
`264
`264
`277
`282
`
`300
`
`300
`300
`306
`314
`335
`
`337
`
`337
`344
`347
`348
`
`71
`87
`97
`102
`108
`
`115
`
`115
`115
`115
`122
`128
`134
`136
`136
`
`137
`
`137
`140
`143
`146
`154
`165
`169
`174
`176
`
`184
`
`184
`184
`187
`189
`204
`
`Ex. 1011 / Page 10 of 68
`
`

`

`349
`
`349
`352
`358
`362
`374
`377
`379
`391
`394
`
`395
`
`395
`400
`404
`406
`414
`425
`433
`436
`
`437
`
`437
`437
`441
`442
`456
`467
`476
`483
`498
`
`508
`
`509
`514
`
`Contents
`
`Layer 3- RRC
`
`Introduction
`11.1
`System information broadcasting
`11.2
`Paging and DRX
`11.3
`11.4 RRC connection establishment
`11.5 Direct transfer procedure
`11.6 RB setup
`11.7 Handover
`11.8 Miscellaneous RRC procedures
`11.9
`Summary
`
`- 1
`
`1
`
`x
`
`12
`
`Measurements
`
`Introduction
`12. l
`12.2 Measurement control
`12.3 Measurement variables
`12.4 Cell signal measurement procedures
`12.5 Reporting the measurement results
`12.6 Measurements for interoperation with GSM
`Location services measurements
`12.7
`Summary
`12.8
`
`13
`
`NAS
`
`Introduction
`13. 1
`13.2 NAS architecture
`13.3 MS classes and network modes
`13.4 MM protocol entity
`13.5 Call control protocol
`13.6 GMM protocol states
`13.7 GMM procedures
`SM protocol and PDP contexts
`13.8
`SMS protocol
`13.9
`
`14
`
`Idle mode functions
`
`14. 1 USIM architecture and operation
`Idle mode overview
`14.2
`
`Ex. 1011 / Page 11 of 68
`
`

`

`xi
`
`........ ~~~~~~~~~~~~~~~~~~~~~~~~~~~-
`
`Contents
`
`Idle mode substate machine
`14.3
`14.4 NAS idle mode functions and interrelationship
`14.5 AS idle mode functions and interrelationship
`14.6 Example of idle mode procedures
`14.7
`Summary
`
`Appendix
`References
`Index
`
`515
`519
`527
`537
`541
`
`542
`551
`553
`
`349
`
`349
`352
`358
`362
`374
`377
`379
`391
`394
`
`395
`
`395
`400
`404
`406
`414
`425
`433
`436
`
`437
`
`437
`437
`441
`442
`456
`467
`476
`483
`498
`
`508
`
`509
`514
`
`Ex. 1011 / Page 12 of 68
`
`

`

`Abbreviations
`
`2G
`3G
`3G-MSC/VLR
`3GPP
`3G-SGSN
`AC
`ACK
`ACLR
`ACS
`ADC
`ADF
`AGC
`AI
`AICH
`AID
`AK
`AM
`AMD
`AMF
`AMR
`AP
`APN
`ARQ
`AS
`ASC
`ASIC
`ATM
`ATT
`ATT
`AUTN
`AV
`
`second generation
`third generation
`third generation mobile switching centre/visitor location register
`3rd Generation Partnership Project
`third generation serving GPRS support node
`access class
`acknowledgement
`adj acent channel leakage ratio
`adjacent channel selectivity
`analogue to digital converter
`application dedicated files
`automatic gain control
`acquisition indicator
`acquisition indication channel
`application identifier
`anonymity key
`acknowledged mode
`acknowledged mode data
`authentication and key management field
`adaptive multirate
`access preamble
`access point name
`automatic repeat request
`access stratum
`access service class
`application specific integrated circuit
`asynchronous transfer mode
`AICH transmission timing
`attach flag
`authentication token
`authentication vector
`
`xvi
`
`Ex. 1011 / Page 13 of 68
`
`

`

`xvii
`
`- AWGN
`
`Abbreviations
`
`/visitor location register
`
`10de
`
`BBF
`BC
`BCCH
`BCD
`BCFE
`BCH
`BER
`BGCF
`BLER
`BMC
`BO
`BPF
`BPSK
`BS
`BSC
`BSS
`BTS
`C/I
`err
`CA
`CAI
`CAMEL
`CBC
`CBS
`cc
`CCC
`CCCH
`CCDF
`CCTrCH
`CD
`CD/CA-I CH
`CDMA
`CFN
`CID
`CK
`CKSN
`CLI
`CLIR
`CM
`CN
`
`additive white Gaussian noise
`baseband filter
`broadcast control
`broadcast control channel
`binary coded decimal
`broadcast channel functional entity
`broadcast channel
`bit error rate
`breakout gateway control function
`block error rate
`broadcast and multicast control protocol
`buffer occupancy
`band pass filter
`binary phase shift keyed
`base station
`base station controller
`base station system
`base transceiver station
`carrier to interference ratio
`control/traffic
`channel assignment
`channel assignment indicator
`customised application for mobile network enhanced logic
`cell broadcast centre
`cell broadcast service
`call control
`CPCH control channel
`common control channel
`complementary cumulative distribution function
`coded composite transport channel
`collision detection
`collision detection/channel assignment indicator channel
`code division multiple access
`connection frame number
`context identifier
`cipher key
`cipher key sequence number
`calling line identification
`calling line identification restriction
`connection management
`core network
`
`Ex. 1011 / Page 14 of 68
`
`

`

`xviii
`
`- CP
`
`Abbreviations
`
`CPBCCH
`CPCH
`CPI CH
`CRC
`CRNC
`c-RNTI
`cs
`CSCF
`CS I CH
`CTCH
`CTFC
`CTS
`CW
`DIC
`DAC
`DC
`DCCH
`DCF
`DCFE
`OCH
`DCS1800
`DC-SAP
`DECT
`OF
`DPCCH
`DPCH
`DPDCH
`DRAC
`DRNC
`DRNS
`DRX
`DS CH
`DSP
`DTCH
`DTX
`EDGE
`EF
`EGC
`EIR
`e-MLPP
`
`control protocol
`compact packet BCCH
`common packet channel
`common pilot channel
`cyclic redundancy check
`controlling radio network controller
`cell radio network temporary identifier
`circuit switched
`call session control function
`CPCH status indication channel
`common traffic channel
`calculated transport format combination
`cordless telephony system
`continuous wave
`data/control
`digital to analogue converter
`dedicated control
`dedicated control channel
`digital channel filter
`dedicated control functional entity
`dedicated transport channel
`digital cellular network at 1800MHz
`dedicated control SAP
`digital enhanced cordless telecommunications
`dedicated files
`dedicated physical control channel
`dedicated physical channel
`dedicated physical data channel
`dynamic resource allocation control
`drift radio network controller
`drift radio network subsystem
`discontinuous reception
`downlink shared transport channel
`digital signal processor
`dedicated traffic channel
`discontinuous transmission
`enhanced data rates for GSM evolution
`elementary file
`efficient Golay correlator
`equipment identity register
`enhanced multilevel precedence and preemption
`
`Ex. 1011 / Page 15 of 68
`
`

`

`xix - Abbreviations
`
`EMS
`EOT
`EPC
`ETSI
`EVM
`FACH
`FBI
`FCT
`FDD
`FDMA
`FER
`FFT
`FHT
`FIR
`G3
`GC
`GER AN
`GGSN
`GMM
`GMMAS-SAP
`GMSC
`GPRS
`GSM
`GSMS
`GTP
`HC
`HCS
`HE/Aue
`HFN
`HLR
`HPLMN
`HPSK
`HSDPA
`HSS
`HTTP
`I-CS CF
`IE
`IK
`IMEI
`IMS
`IMSI
`
`extended message service
`end of transmission
`estimated PDU counter
`European Telecommunications Standards Institute
`error vector magnitude
`forward access channel
`feedback mode indicator
`frame count transmitted
`frequency division duplex
`frequency division multiple access
`frame error rate
`fast Fourier transform
`fast Hadamard transform
`finite impulse response
`Group 3
`general control
`GSM/EDGE radio access network
`gateway GPRS support node
`GPRS mobility management
`GPRS mobility management SAP
`gateway mobile switching centre
`general packet radio service
`global system for mobile communications
`GPRS short message service
`GPRS tunnelling protocol
`header compression
`hierarchical cell structures
`home environment/authentication centre
`hyper frame number
`home location register
`homePLMN
`hybrid PSK
`high speed downlink packet access
`home subscriber server
`hypertext transfer protocol
`interrogating call session control function
`information element
`integrity key
`international mobile equipment identity
`internet protocol multimedia subsystem
`international mobile subscriber identity
`
`ations
`
`!emption
`
`Ex. 1011 / Page 16 of 68
`
`

`

`xx
`
`- IMT2000
`
`Abbreviations
`
`IP
`IPDL
`ISDN
`ITU
`KSI
`LA
`LAC
`LAI
`LAPP
`LAU
`LI
`LLC
`LLR
`LNA
`LO
`LR
`LSB
`MAC
`MAC
`MAC-b
`MAC-c/sh
`MAC-d
`MAC-hs
`MAP
`MASF
`MCC
`ME
`MF
`MGCF
`MGW
`MIB
`MLSE
`MM
`MN
`MNC
`MO
`MRC
`MRF
`MRFC
`MRFP
`
`International Mobile Telecommunications 2000
`internet protocol
`idle period on the downlink
`integrated services digital network
`International Telecommunication Union
`key set identifier
`location area
`location area code
`location area identifier
`log a-posteriori probability
`location area update
`length indicator
`logical link control
`log likelihood ratio
`low noise amplifier
`local oscillator
`location registration
`least significant bit
`message authentication code
`medium access control
`MAC - broadcast
`MAC - common or shared
`MAC - dedicated
`MAC - high speed
`maximum a-posteriori probability
`minimum available spreading factor
`mobile country code
`mobile equipment
`master file
`media gateway control function
`media gateway
`master information block
`maximum likelihood sequence estimation
`mobility management
`mobile network
`mobile network code
`mobile originated
`maximum ratio combining
`media resource function
`media resource function controller
`media resource function processor
`
`Ex. 1011 / Page 17 of 68
`
`

`

`IS 2000
`
`m
`
`xxi - Abbreviations
`
`MRW
`MS
`MSB
`MSC
`MSE
`MSIN
`MT
`MUX
`NACK
`NAS
`NSAPI
`NW
`OCQPSK
`OSI
`OTDOA
`OVSF
`PCCC
`PCCH
`PCCPCH
`PCDE
`PCF
`PCH
`PCPCH
`P-CPICH
`PCs
`P-CSCF
`PD
`PDC
`PDCP
`PDN
`PDP
`PD SCH
`PDU
`PI
`PICH
`PID
`PIN
`PLMN
`PMM
`PN
`PNFE
`
`move receive window
`mobile station
`most significant bit
`mobile switching centre
`mean square error
`mobile subscriber identifier number
`mobile terminated
`multiplex
`negative acknowledgement
`non-access stratum
`network service access point identifier
`network
`orthogonal complex QPSK
`open systems interconnection
`observed time difference of arrival
`orthogonal variable spreading factor
`parallel concatenated convolutional code
`paging control channel
`primary common control physical channel
`peak code domain error
`policy control function
`paging channel
`physical common packet channel
`primary common pilot channel
`personal communication system
`proxy call session control function
`protocol discriminator
`personal digital cellular
`packet data convergence protocol
`packet data network
`packet data protocol
`physical downlink shared channel
`protocol data unit
`paging indicator
`paging indication channel
`packet identifier
`personal identification number
`public land mobile network
`PS mobility management
`pseudo-noise
`paging and notification functional entity
`
`Ex. 1011 / Page 18 of 68
`
`

`

`xxii
`
`-
`
`Abbreviations
`
`PRA
`PRACH
`PS
`PSC
`P-SCH
`PSK
`PSTN
`PTM
`P-TMSI
`PTP
`QoS
`QPSK
`R4
`R5
`R6
`R99
`RA
`RAB
`RABM
`RAC
`RACH
`RAI
`RAT
`RAU
`RB
`RES
`RL
`RLC
`RLS
`RLS
`RM
`RNC
`RNS
`RNTI
`ROHC
`RPLMN
`RRC
`RRC
`RR-S AP
`RSCP
`
`PCPCH resource availability
`physical random access channel
`packet switched
`primary synchronisation code
`primary synchronisation channel
`phase shift keying
`public switched telephone network
`point to multipoint
`packet temporary mobile subscriber identity
`point to point
`quality of service
`quadrature phase shift keying
`Release 4
`Release 5
`Release 6
`Release 99
`routing area
`radio access bearer
`radio access bearer manager
`radio access capability
`random access channel
`routing area identifier
`radio access technology
`routing area update
`radio bearer
`response
`radio link
`radio link control
`radio link set
`recursive least squares
`rate match
`radio network controller
`radio network subsystem
`radio network temporary identifier
`robust header compression
`registered PLMN
`radio resource control
`root raised cosine
`radio resource SAP
`receive signal code power
`
`Ex. 1011 / Page 19 of 68
`
`

`

`ntity
`
`xxiii - Abbreviations
`
`RTT
`SIP
`SAP
`SCCPCH
`SCH
`S-CPICH
`SCR
`S-CSCF
`SDP
`SDU
`SF
`SFN
`SGSN
`SHCCH
`SI
`SI
`SIB
`SIBn
`SID
`SIP
`SIR
`SISO
`SLF
`SM
`SMC-CS
`SMC-GP
`SM-RL
`SMS
`SMSMM
`SM-TL
`SNR
`SOVA
`SQN
`SRB
`SRNS
`s-RNTI
`SS
`S-SCH
`SSDT
`STTD
`
`round trip time
`serial to parallel
`service access point
`secondary common control physical channel
`synchronisation channel
`secondary common pilot channel
`source controlled rate
`serving call session control function
`session description protocol
`service data unit
`spreading factor
`system frame number
`serving GPRS support node
`shared channel control channel
`status indicator
`stream identifier
`system information block
`system information broadcast type n (n = 1, ... ,18)
`silence descriptor
`session initiation protocol
`signal to interference ratio
`soft in soft out
`subscription location function
`session management
`short message control - circuit switched
`short message control - GPRS protocol
`short message relay layer
`short message service
`SMS mobility management
`short message transfer layer
`signal to noise ratio
`soft output Viterbi algorithm
`sequence number
`signalling radio bearer
`serving radio network subsystem
`serving radio network temporary identifier
`supplementary service
`secondary synchronisation channel
`site selection diversity transmission
`space time transmit diversity
`
`Ex. 1011 / Page 20 of 68
`
`

`

`xx iv
`
`-
`
`Abbreviations
`
`SUFI
`TACS
`TAF
`TCP
`TCTF
`TCTV
`TDD
`TDMA
`TE
`TF
`TFC
`TFCI
`TFCS
`TFS
`TFT
`TG8/1
`TGMP
`TI
`TIA
`TM
`TMD
`TMSI
`ToS
`TPC
`TTI
`TVM
`Tx
`UARFCN
`UDP
`UE
`UICC
`UM
`UMTS
`URA
`URL
`u-RNTI
`us
`USAT
`USCH
`USIM
`UTRAN
`
`super fields
`total access communications system
`terminal adaptation function
`transmission control protocol
`target channel type field
`traffic channel transport volume
`time division duplex
`time division multiple access
`terminal equipment
`transport format
`transport format combination
`transport format combination indicator
`transport format combination set
`transport format selection
`traffic flow template
`Task Group 8/1
`transmission gap sequence measurement purpose
`transaction identifier
`Telecommunications Industry Association
`transparent mode
`transport mode data
`temporary mobile subscriber identity
`type of service
`transmit power control
`transmission time interval
`traffic volume measurement
`transmit
`UTRA absolute radio frequency channel number
`user datagram protocol
`user equipment
`universal integrated circuit card
`unacknowledged mode
`Universal Mobile Telecommunications System C304
`UTRAN registration area
`uniform resource locator
`UTRAN radio network temporary identifier
`update status
`USIM application toolkit
`uplink shared channel
`universal subscriber identity module
`UMTS terrestrial radio access network
`
`Ex. 1011 / Page 21 of 68
`
`

`

`xxv
`
`........ ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~-
`
`Abbreviations
`
`VAD
`VCAM
`VGCS
`VLR
`WCDMA
`XMAC
`XRES
`
`voice activity detection
`versatile channel assignment mode
`voice group call service
`visitor location register
`wideband code division multiple access
`expected message suthentication code
`expected response
`
`t purpose
`
`on
`
`~I number
`
`System C304
`
`tifier
`
`Ex. 1011 / Page 22 of 68
`
`

`

`;sage or
`
`:BS.
`
`nessage or CB S4 l
`
`:hedule period relative
`
`1edule period.
`all or part of a new
`
`~ssage in period, new
`1etition of old BMC
`age, CBS41 message,
`1d type of CBS
`3S index of first
`
`he PDCP layer and
`c functions: lossless
`> ensure that packet
`)ther. HC is used to
`l protocol (TCP)/IP
`efined for the GSM
`;ages and notify the
`
`-11 Layer 3 - RRC
`
`11.1
`
`Introduction
`
`In this chapter we examine the structure and the operation of the RRC protocol. The
`RRC protocol is the main AS control protocol. It is responsible for the configuration
`and control of all of the different layers that create the radio connection between the UE
`and the UTRAN. It is a large and complex protocol and consequently, in this chapter,
`we consider only some key aspects of its operation, leaving the interested reader to
`consult the relevant specification [24] for a more thorough description.
`We start this chapter with a review of the RRC protocol architecture before consid(cid:173)
`ering specific key elements of its operation.
`
`11.1.1 Architecture and messages
`
`The RRC protocol architecture is illustrated (from the perspective of the UE) in
`Figure 11. l. The key functions of the architecture are the dedicated control functional
`entity (DCFE), the paging and notification functional entity (PNFE) and the broadcast
`control functional entity (BCFE).
`The RRC messages are passed between the UE and the UTRAN. They are used
`to configure and control the RRC connection between the UE and the UTRAN. The
`RRC messages can be loosely grouped into four categories: RRC connection manage(cid:173)
`ment messages ; RB control messages; RRC connection mobility messages and RRC
`measurement messages.
`In Tables 11.1- 11.4, we review the basic message types. It should be noted that in
`these tables we are not considering the individual messages, but rather a generic type
`of message. For instance, in Table 11.1 we look at an RRC CONNECTION message
`type. In fact, there areanumber ofsuchmessages: RRC CONNECTION REQUEST;
`RRC CONNECTION SETUP; RRC CONNECTION SETUP COPMPLETE and
`RRC CONNECTION RELEASE. By considering just the message types, we can
`compactly represent the different messages in the tables.
`The first category of messages is the RRC connection management messages, which
`are responsible for establishing and maintaining the RRC connection in whatever form
`
`349
`
`Ex. 1011 / Page 23 of 68
`
`

`

`350
`
`-
`
`Layer 3 - RRC
`
`Table 11.1. RRC connection management messages
`
`Generic RRC message
`
`Comment
`
`RRC CONNECTION
`
`SECURITY MODE
`
`COUNTER CHECK
`
`Messages to establish, release and reject the creation of an RRC
`connection including the creation of SRBs.
`Messages to start, reconfigure confirm and indicate fai lure in the
`establishment of ciphering and integrity protection procedures.
`Messages to request by UTRAN a check and provide a response to
`the current COUNT-C used for encryption and ciphering.
`xx DIRECT TRANSFER Messages to create a CN signalling connection (xx=INITJ AL),
`send NAS PD Us on uplink (xx=UPLINK) and receive NAS
`PD Us on downlink (xx=DOWNLINK).
`Messages to send paging on common channels (Type 1) or using
`in-band dedicated channels (Type 2).
`Messages to allow UTRAN to request and respond wi th the
`capabilities of the UE.
`Messages to carry fro m UTR AN system information and to
`indicate changes to it.
`Messages to notify UE or UTRAN that signalling connection to
`CN is released.
`
`PAGING
`
`UE CAPABILITY
`
`SYSTEM
`INFORMATION
`SIGNALLING
`CONNECTION
`
`GC-SAP
`
`Nt-SAP
`
`DC-SAP
`
`UE RAC Model
`
`Access
`Stratum
`
`L1
`
`Figure 11.1 RRC protocol architecture.
`
`it may take. The messages include the RRC connection messages, security control mes(cid:173)
`sages, and system information broadcast messages, as well as messages for NAS data
`transfer. The DIRECT TRANSFE R messages are considered in Section 11.4 when
`we examine the direct transfer procedure. The RRC CONNECTION establishment
`messages are considered in Section 11 .5 when we look at the establishment of an RRC
`connection. The SECURITY MODE messages are considered in Sections 2.6 and the
`SYSTEM INFORMATION messages are considered in the next section.
`
`Ex. 1011 / Page 24 of 68
`
`

`

`351
`
`11.1 Introduction
`
`- ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
`
`Table 11.2. RB control messages
`
`;reation of an RRC
`
`dicate failure in the
`otection procedures.
`provide a response to
`and ciphering.
`m (xx=INITIAL),
`:) and receive NAS
`
`Is (Type 1) or using
`
`:spond with the
`
`1rmation and to
`
`tiling connection to
`
`Generic RRC message
`
`RADIO BEARER
`
`PHYSICAL CHANNEL
`RECONFIGURATION
`TRANSPORT CHANNEL
`RECONFIGURATION
`TRANSPORT FORMAT
`COMBINATION CONTROL
`PUSCH CAPACITY REQUEST
`UPLINK PHYSICAL CHANNEL
`CONTROL
`
`Comment
`
`Messages to establish, modify and release RBs and
`hence RABs.
`Messages used to assign, replace or release a set of
`physical channels.
`Messages to reconfigure a transport channel
`including the physical channels.
`Messages to control the uplink TFC.
`
`[TDD] UE requesting uplink capacity on PUSCH.
`[TDD] Message from UTRAN to transfer uplink
`physical channel information.
`
`Table 11.3. RRC connection mobility messages
`
`Generic RRC message
`
`Comment
`
`ACTIVE SET UPDATE
`
`CELL CHANGE ORDER FROM
`UTRAN
`CELL UPDATE
`HANDOVER TO UTRAN
`
`HANDOVER FROM UTRAN
`
`INTER-RAT HANDOVER INFO
`
`[FDD] To add, replace or delete radio links from the
`active set.
`Message from UTRAN to request cell change to
`another RAT cell.
`Messages to pe1forrn the cell update.
`Message sent via another RAT to cause a handover
`to the UTRAN.
`Messages from UTRAN to cause handover to
`another RAT (e.g. GSM).
`Information from UE to UTRAN sent via another
`RAT prior to handover to UTRAN.
`Messages to perform the URA update.
`URA UPDATE
`UTRAN MOBILITY INFORMATION Messages used by UTRAN to allocate a oew
`RNTI + other mobility information.
`
`:ecurity control mes(cid:173)
`;sages for NAS data
`1 Section 11.4 when
`~ION establishment
`lishment of an RRC
`Sections 2.6 and the
`t section.
`
`The RB control messages shown in Table 11.2 are concerned with the establish(cid:173)
`ment, modification and release of various aspects of the RBs and RABs created in
`the network. This set of messages can be used to configure all or individual layers
`of an RB. The RADIO BEARER control messages are considered in Section 11.6
`when we review the RB establishment procedures, and the PHYSICAL CHANNEL
`REC 0 NFI G URATI 0 N set of messages are covered in Section 11. 7 when we consider
`some of the handover aspects.
`The RR C connection mobility messages shown in Table 11.3 are concerned with the
`mobility aspects of the connection between the UE and the UTRAN. These messages
`include the soft-handover control messages (ACTIVE SET UPDATE) and handover
`
`Ex. 1011 / Page 25 of 68
`
`

`

`352
`
`-
`
`Layer 3 - RRC
`
`Table 11.4. RRC measurement messages
`
`Generic RRC message
`
`Comment
`
`MEASUREMENT CONTROL
`
`ASSISTANCE DATA DELIVERY Message from UTRAN to provide UE positioning
`assistance data.
`Message from UTRAN to setup, modify or release a
`measurement.
`Message from UE to deliver measurement reports.
`
`MEASUREMENT REPORT
`
`messages to and from the UTRAN, as well as messages such as CELL and URA
`update. The procedures associated with handover are considered in more detail in
`Section 11.7 for both soft- and hard-handover.
`The final categories of messages are the measurement control and measurement
`reporting messages that are shown in Table 11.4. The measurement messages are con(cid:173)
`cerned with the controlling and reporting of the various measurements made by the
`UE and reported to the UTRAN. The subject of measurements is a large and complex
`issue and for these reasons it is addressed separately (Chapter 12).
`
`11.2 System information broadcasting
`
`We start looking at the design and operation of the RRC, beginning with system infor(cid:173)
`mation broadcast messages. The system information broadcast messages are normally
`carried via the PCCPCH and the SCCPCH in the case of broadcast information used
`for DRAC. In this section we focus on the PCCPCH case.
`
`11.2.1 Structure of broadcast system information
`
`SIBs are system information that is transmitted from the UTRAN to the UE. The
`UE needs to locate and read the system information prior to establishing any radio
`connection to the UTRAN. One of the design problems associated with the SIBs is
`that the information comes in a variety of types. Some information is updated frequently
`(such as estimates of uplink interference levels as measured at the Node B) and some
`information does not need regular updating (cell and system ID s for instance). In
`addition, the messages can be long and also of varying lengths. The structure of the
`broadcast channels is designed, therefore, to cope with these differing constraints.
`Before examining the structure and architecture of the broadcast channels, it is useful
`to examine the lower layers of the physical channels that carry the SIB s. The method of
`transporting the SIBs is via a common physical channel known as the PCCPCH. This
`physical channel is broadcast with a constant data rate and constant TF, so that it is easy
`for the UE to detect and decode the information that is carried by that specific channel.
`
`Ex. 1011 / Page 26 of 68
`
`

`

`353
`
`11.2 System information broadcasting
`
`- ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
`
`System Information Block
`
`I
`
`ie UE positioning
`
`. modify or release a
`
`1surement reports.
`
`as CELL and URA
`·ed in more detail in
`
`:ol and measurement
`~nt messages are con(cid:173)
`rements made by the
`' a large and complex
`.) .
`
`ng with system infor(cid:173)
`tessages are normally
`:.:ast information used
`
`~AN to the UE. The
`stablishing any radio
`1ted with the S!Bs is
`is updated frequently
`ie Node B) and some
`[Ds for instance). In
`. The structure of the
`·ering constraints.
`.t channels, it is useful
`S!Bs. The method of
`s the PCCPCH. This
`1t TF, so that it is easy
`that specific channel.
`
`System Information Message System Information Message -- --- - ·· · ·· ··
`
`(RRC POU ·SYSTEM INFO RMATION)
`
`(RRC POU· SYSTEM INFORMATION)
`
`BCH Transport Block
`
`~ ~
`
`BCH Transport Block
`
`---
`SFN 0 I SFN 1
`---
`• ••
`•
`
`10ms
`
`---I SFN 40951
`SFN n I SFN n+1
`---
`• ••
`•
`
`10ms
`10ms
`10ms
`Primary Common Control Physical Channel (P-CCPCH)
`
`Figure 11 .2 Basic transmission structure of SIBs.
`
`For the broadcast information, a specific transport channel is defined (the BCH). For the
`BCH, the TTI is fixed by the standard as being 20 ms, i.e. a transport block is delivered
`across the radio interface using two 10 ms radio frames . Figure 11.2 illustrates the
`basic transmission of the SIB messages and their relationship to the transport blocks
`and hence the PCCPCH. The radio interface has a frame structure that is based on a
`10 ms frame with a cell SFN that counts the number of frames up to a total length
`of 4096. The SFN is used as the basis of the scheduling of the SIB information, as
`iUustrated in the diagram.
`
`System information message
`The SIBs are segmented and concatenated into system information messages with each
`system information message fitting into a BCH transport block. From Figure 11.2 it
`can be seen that an SIB is segmented into a number of system information messages,
`each of which bec