The UMTS system will be defined in a phased approach. The present document specifies the requirements for Release '99 of UMTS. Some requirements which are necessary to ensure a smooth transition to later releases are also indicated. The present document should, however, be read in conjunction with the other 22.000 series documents which provide a complete description of the requirements for UMTS Release '99.

The following documents contain provisions which, through reference in this text, constitute provisions of the present document.

• References are either specific (identified by date of publication, edition number, version number, etc.) or non-specific.
• For a specific reference, subsequent revisions do not apply.
• For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document (including a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same Release as the present document.

The present document is the starting point of the set of specifications that define the UMTS Service Requirements for UMTS Phase 1 Release '99. The UMTS Service requirements for Release '99 are defined in the following normative specifications. Since these specifications may also address some requirements for later Releases of UMTS phase 1, they explicitly state when a requirement does not apply to Release '99. These specifications may refer (directly or indirectly) to further specifications which provide detailed descriptions of service requirements incorporated in UMTS. In particular the service requirements of any GSM component of a UMTS system are specified by reference to GSM service requirements specifications.

The UMTS system will be defined in a phased approach. The present document addresses the UMTS phase 1 capabilities for Release '99 and it provides pointers to other 22.000 series documents which contain detailed requirements. The UMTS phase 1 requirements can be met by the capabilities of GSM phase 2+ Release '99 including specific enhancements for UMTS. Additional developments to fully meet the requirements for UMTS phase 1 standardisation are listed in the present document for Release '99 requirements. The fundamental difference between GSM and UMTS phase 1 resides in the support of high bit rate bearer services with the notion of negotiated traffic and QoS characteristics. UMTS phase 1 shall in particular support bursty and asymmetric traffic in an efficient way. This shall allow UMTS phase 1 to support single- and multi-media N-ISDN applications and single- and multi-media IP applications. The phase 1 USIM is developed on the basis of the phase 2+ Release '99 SIM. When UMTS specific requirements have not been stated in the present document it is assumed that the GSM phase 2+ Release '99 specifications for the SIM is adopted for the UMTS phase 1 requirements. No specific requirement is addressed for the mobile termination since it relates to the UMTS access stratum and to the UMTS core network (depending whether peer entities end either in the access or in the core). A UMTS network is logically divided into a radio access network and a core network, connected via an open interface. The core network is from a functional point of view divided into a Packet Switched Service Domain and a Circuit Switched Service Domain. Networks and terminals may have only the PS domain or only the CS domain or both domains implemented. Regarding the phase 1 standardisation of UMTS access network, only the UTRAN (including all UTRA modes if several modes are defined) is considered as being part of the UMTS access network. Other types of access networks are for further consideration. UTRAN is a new access network and as such all the UTRAN requirements are defined in the present document. This includes in particular the interoperability requirements put on the UTRAN and GSM BSS access networks to cater with UMTS networks operating the two types of access networks. UMTS phase 1 shall be developed in such a way that it supports compatibility with an evolved GSM network from the point of view of roaming and handover. This could be achieved by evolving from a GSM phase 2+ network but does not exclude other developments. Therefore, phase 1 specifications shall allow operators to introduce new technologies (such as ATM, IP, ...). An overall UMTS system approach is needed for UMTS phase 1 development as it is more than the addition of a UTRAN to a GSM Phase 2+ architecture. Requirements to the GSM phase 2+ core network for UMTS should be incorporated. To enable operators to utilize the network resources efficiently, the optimization of the signalling load as well as the reduction of the required overall transmission capacity is a critical success factor. Therefor the standard should aim for an architecture with minimal signalling traffic and optimized transmission infrastructureCommon subscriber data management for CS and PS traffic should be implemented in all relevant network elements. Furthermore the standard should support an integrated node (MSC/SGSN) for PS and CS traffic as well as separated nodes as in GSM/GPRS. From the viewpoint of the necessity of providing multi-vendor environments, interfaces within the UTRAN (such as Iub) shall be standardized. However, since operator dependent O&M requirements over these interfaces may exist, specifications should be able to be expanded flexibly according to operator specific requirements It should be noted that the advanced bearer capabilities of the phase 1 UMTS access network may not be fully supported by the phase 1 UMTS core network. This however guarantees the viability of the UMTS access network to allow the scope within phase 1 to support broadband bearer services. A standard default speech codec shall be standardised for UMTS phase 1. UMTS should support tandem free operation from day 1 to enable lower transmission costs and for higher speech quality. Crossphase compatibility issues in transcoder location should be considered when moving from Phase 1 UTRAN Release '99 to later releases in which transcoder free operation will be supported.

UMTS will support a number of access arrangements which will enable UMTS users to access UMTS Core Networks and VHE services from a variety of fixed and mobile terminals. In all cases, access to UMTS networks will require the use of the UMTS USIM. The UMTS specifications shall enable the design of UMTS Mobile Terminals that can be used in different radio access environments, including those provided by public and private radio access networks connected to public and private networks using paired and unpaired radio bands in licensed and licence exempt spectrum. It is not expected that all of the above access arrangements will be fully supported in UMTS Release'99. However, it is important that the above vision is recognized and that short term decisions that may prevent the realization of that vision are not taken.

UMTS phase 1 will enable the introduction of a range of new services (e.g. Internet services and Multimedia) and applications with the concept of service capabilities. The service capabilities are bearer services defined by parameters (e.g. QoS attributes) and mechanisms needed to realise services.

UTRAN capabilities for UMTS are the complete set of radio access bearer capabilities and radio access bearer control specified in TS 22.105. The UTRAN shall have the following capabilities:

1. A UTRAN shall be contained within only one UMTS network.
2. The UTRAN shall support the set-up, re-negotiation and clearing of connections with a range of traffic and performance characteristics. The re-negotiation of QoS attributes/bearer attributes may result from an upper layer request or a change in the radio conditions (handover, cell load modification,...) and may be mobile station (e.g. by an application or the user via an application) or network initiated. It shall be possible for the UTRAN to apply the following traffic policing mechanisms such as:
   • connection admission control (CAC) during connection set-up and re-negotiation;
   • flow control (FC) on a connection during its lifetime;
   • usage parameter control (UPC) on a connection during its lifetime.
3. The UTRAN shall support radio access bearers for broadcast and multicast applications.
4. The range of traffic and performance characteristics that shall be supported by are indicated in TS 22.105.
5. The UTRAN shall allow one mobile termination to handle more than one radio access bearer service simultaneously. It is nevertheless expected that the terminal and network capabilities will put some limitations on the number of radio access bearer services that can be handled simultaneously. It shall be possible for each radio access to have independent traffic and performance characteristics.
6. Seamless handover of active radio access bearer service(s) from a single mobile termination, between cells of one UTRAN shall be supported. This shall result in an imperceptible loss of speech (if any) for the user of telephony services and without incurring degradation of QoS for data services.
7. At least one Capability Class shall be standardised for mobile terminals supporting more than one UTRA mode (e.g. UTRA FDD and TDD modes). It shall support monitoring of the different types of cells in idle mode (cell reselection procedure) and active mode (handover preparation procedure).
8. For UMTS networks composed of UTRANs with different UTRA modes, the cell selection and the paging procedures shall accommodate to the fact that service areas may be covered by cells supporting one specific mode (e.g. FDD or TDD mode), and cells supporting more than one mode (e.g. FDD and TDD modes).
9. Handover of one mobile termination handling one or more radio access bearer services between cells of two UTRANs using different UTRA modes and operated by one single UMTS network operator shall be supported in both directions. Furthermore, handover between cells using two different UTRA modes should be supported similarly to handover within one mode.
10. The UTRAN shall facilitate determination of the location of a UMTS mobile termination. The realisation of a positioning service can be determined by several methodologies, namely mobile-based positioning, network-based positioning, or a hybrid position architecture. It shall be possible for the location precision to be a UMTS network operator choice, with the precision of the location varying from one part of the service area to another. It shall be possible to achieve a minimum precision of around 50 meters in all types of terrestrial radio environments. Location requirements are detailed in TS 22.071 and in TS 22.105 subclause 8.5.
11. The optimisation of the UTRAN radio interface shall be based upon the objectives expressed in TS 22.105 clause 5.
12. Standardised protocols shall be defined for the operation, administration and maintenance of each of the UTRAN components in UMTS phase 1 in cooperation with ETSI TMN.
13. The USIM requirements defined for later releases of UMTS should be taken into account in the design of UTRAN (for any impact).

There is a special relationship between the UTRAN and GSM access networks as it is expected that UTRANs will start as islands in a sea of GSM BSS. GSM BSS access networks will be a key element for service continuity in UMTS networks. The requirements are the following for UMTS phase 1:

1. UMTS phase 1 shall support dual system UMTS/GSM terminals. At least one Capability Class shall be standardised for mobile terminals supporting the GSM and UTRA system. It shall support monitoring of cells belonging to the two types of access networks in idle mode (cell reselection procedure) and active mode (handover preparation procedure).
2. Cell selection and paging procedures shall be designed to accommodate to the fact that networks may consist of GSM BSS cells, UTRAN cells or a combination of both.
3. For UMTS networks composed of both GSM BSS and UTRAN access networks, handover of radio access bearer services shall be supported between GSM BSS and UTRAN cells, in both directions (i.e. UTRAN to GSM BSS and GSM BSS to UTRAN). Some traffic flows may be re-negotiated, temporarily released or re-established during these handover procedures because of the different radio access bearer capabilities of the GSM BSS and UTRAN access networks.

In the first phase of UMTS, the UMTS core network capabilities are a superset of the phase 2+ Release '99 GSM core network capabilities. The additional requirements for the phase 1 UMTS core network are the following:

1. The phase 1 UMTS core network shall support circuit switched data service capability of at least 64 kbit/s per user. This shall not limit the user from choosing lower data rates.
2. The phase 1 UMTS core network shall support packet switched data service capabilities of at least 2 Mbit/s peak bit rate per user. This shall not limit the user from choosing lower data rates.
3. The phase 1 UMTS core network shall enable set-up, re-negotiation and clearing of connections (i.e. CS calls or PS sessions) with a range of traffic and performance characteristics. The re-negotiation of QoS attributes/bearer may be caused by an application or the user via an application (see UTRAN capability section). It shall be possible to apply traffic policing (e.g. connection admission control, flow control, usage parameter control...) on a connection during its set-up and lifetime.
4. The phase 1 UMTS core network shall support a range of traffic and performance characteristics for connectionless (e.g. unicast, broadcast, and multicast) traffic.
5. The range of traffic and performance characteristics that shall be supported by the phase 1 UMTS core network shall be at least those of GPRS phase 2+ Release '99. This means that the support of the full set of bearer services defined in TS 22.105 is not required for the phase 1 UMTS core network.
6. Established bearers shall not prevent the set-up of a new bearer. These new bearers can be of any type (e.g. PS, CS). It is nevertheless expected that the terminal and network capabilities will put some limitations on the number of bearer services that can be handled simultaneously. It shall be possible for each bearer to have independent traffic and performance characteristics.
7. In order to facilitate the development of new applications, it shall be possible to address applications to/from a phase 1 UMTS mobile termination (e.g. the notion of Internet port).
8. Operator specific services based on the VHE concept shall be supported by the phase 1 UMTS core network. This functionality could be provided through available toolkits (such as CAMEL, MExE, WAP and SIM Toolkit).
9. If UMTS authentication is invoked while a user has services active, the authentication shall not degrade the user services.
10. The phase 1 UMTS core network shall support the generation of standardised charging records based upon parameters such as the dialled number, call duration, traffic (volume, bit rate) and perceived Quality of Service provided to the user.
11. The phase 1 UMTS core network shall support on-line billing. Billing of 3rd party value added services with the concept of one-stop-billing shall be supported by the phase 1 UMTS core network through standardised procedures.
12. The phase 1 UMTS core network shall support both bilateral and (possibly via 3rd party) automatic roaming procedures to UMTS networks with improved security as defined by SMG10.
13. The phase 1 UMTS core network shall support interworking with PSTN, N-ISDN, GSM, X.25 and IP networks with their respective numbering schemes.
14. It shall be possible for the standardised classes of phase 1 UMTS mobile terminals supporting the GSM BSS and UTRAN radio interfaces to roam in GSM networks and receive GSM services.
15. Standardised protocols shall be defined for the operation, administration and maintenance of the UMTS phase 1 core network in cooperation with ETSI TMN.
16. The USIM requirements defined for later releases of UMTS should be taken into account in the design of the phase 1 UMTS core network.
17. Phase 1 UMTS core network shall provide an effective solution of inter-network traffic and signalling in case of global roaming.
18. Phase 1 UMTS core network shall support facilities for monitoring and measurement of traffic flows and characteristics within the network eg for congestion control.
19. Phase 1 UMTS core network shall support single and multiple numbering schemes described in 22.101
20. The phase 1 UMTS core network shall, as an option, support IP mobility between different environments such as fixed and mobile, public and private and between different public systems

In the first phase of UMTS, the USIM shall be developed on the basis of the phase 2+ Release '99 GSM SIM including SAT as described in 3G TS 22.038. The additional requirements for the phase 1 UMTS USIM are as follows:

1. USIM shall provide new and enhanced security features (e.g. mutual authentication...) as defined by SMG10.
2. The UMTS mobile terminal shall support phase 2 and phase 2+ GSM SIMs as access modules to UMTS networks. The services that can be provided in this case may be limited to GSM like services provided by that UMTS network. UMTS mobile terminals shall not support 5V SIMs. It shall be up to the UMTS network operator to accept or reject the use of GSM SIM as access modules in its network.
3. It shall be possible to have multiple applications on the UMTS IC Card (UICC). There shall be a secured and easy mechanism for application selection. An authorised access for each application is mandatory, however it shall be possible to have shared directories between applications where appropriate. The UICC shall be capable of supporting SIM and USIM applications.
4. Simultaneous activation of several USIMs on one mobile terminal need not be supported in UMTS phase 1.
5. A standardised mechanism allowing highly secure transfer of applications and/or associated data to/from the UICC shall be supported in UMTS phase 1.

Security requirements for UMTS Phase 1 Release '99 are defined in the TS 21.133 specification.