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Contents
Contents
1 EPS Architecture .................................................................................................................... 1-2
1.1 EPS Network Elements ................................................................................................................................. 1-3 1.1.1 User Equipment ................................................................................................................................... 1-3 1.1.2 Evolved Node B ................................................................................................................................... 1-5 1.1.3 Mobility Management Entity ............................................................................................................... 1-6 1.1.4 Serving Gateway .................................................................................................................................. 1-7 1.1.5 Packet Data Network - Gateway .......................................................................................................... 1-8 1.2 EPS Interfaces ............................................................................................................................................... 1-9 1.2.1 E-UTRAN Interfaces ........................................................................................................................... 1-9 1.2.2 EPC Interfaces ..................................................................................................................................... 1-9 1.2.3 Additional Network Elements and Interfaces..................................................................................... 1-10
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LTE Protocols and Procedures 2.2.19 GPRS Tunneling Protocol version 2 - Control ................................................................................. 2-29 2.2.20 S5/S8 Interface ................................................................................................................................. 2-29 2.2.21 Proxy Mobile IP ............................................................................................................................... 2-30 2.2.22 S10 Interface .................................................................................................................................... 2-30 2.2.23 SGi Interface .................................................................................................................................... 2-31
Contents
5.1.3 PDCP Headers.................................................................................................................................... 5-61 5.1.4 PDCP ROHC...................................................................................................................................... 5-62 5.1.5 PDCP Integrity ................................................................................................................................... 5-63 5.1.6 PDCP Ciphering ................................................................................................................................. 5-64
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LTE Protocols and Procedures 7.2.7 E-RAB Establishment ...................................................................................................................... 7-107 7.2.8 S1 Handover..................................................................................................................................... 7-109 7.2.9 Path Switch ...................................................................................................................................... 7-114 7.2.10 Handover Cancel ............................................................................................................................ 7-116 7.2.11 Status Transfer................................................................................................................................ 7-117 7.2.12 UE Context Release ....................................................................................................................... 7-117 7.2.13 Reset............................................................................................................................................... 7-118 7.2.14 Location Reporting Control ........................................................................................................... 7-118 7.2.15 Overload ......................................................................................................................................... 7-119 7.2.16 Direct Information Transfer ........................................................................................................... 7-119 7.2.17 Paging ............................................................................................................................................ 7-120
7.3 User Plane GTP Functions and Procedures ............................................................................................... 7-120 7.3.1 GTP Tunnels .................................................................................................................................... 7-120 7.3.2 GTPv1-U Header ............................................................................................................................. 7-121 7.3.3 Extension Header ............................................................................................................................. 7-122 7.3.4 Handling of Sequence Numbers....................................................................................................... 7-123 7.3.5 GTPv1-U Procedures ....................................................................................................................... 7-123 7.3.6 Path Management............................................................................................................................. 7-123 7.3.7 UDP header and Port Numbers ........................................................................................................ 7-126
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Figures
Figure 1-1 LTE Reference Architecture ............................................................................................................. 1-3 Figure 1-2 User Equipment Functional Elements .............................................................................................. 1-4 Figure 1-3 Evolved Node B Functional Elements .............................................................................................. 1-5 Figure 1-4 MME Functional Elements ............................................................................................................... 1-7 Figure 1-5 S-GW Functional Elements .............................................................................................................. 1-8 Figure 1-6 PDN-GW Functional Elements......................................................................................................... 1-8 Figure 1-7 E-UTRAN Interfaces ........................................................................................................................ 1-9 Figure 1-8 EPC Architecture and Interfaces ..................................................................................................... 1-10 Figure 1-9 Additional Network Elements and Interfaces ................................................................................. 1-11 Figure 2-1 NAS and AS Control Plane ............................................................................................................. 2-14 Figure 2-2 NAS and AS User Plane ................................................................................................................. 2-15 Figure 2-3 NAS Protocol stack......................................................................................................................... 2-16 Figure 2-4 NAS Identities ................................................................................................................................ 2-17 Figure 2-5 TA and TA List ................................................................................................................................ 2-18 Figure 2-6 NAS States and State Transtions..................................................................................................... 2-21 Figure 2-7 Network Attach ............................................................................................................................... 2-22 Figure 2-8 Uu Interface Protocols .................................................................................................................... 2-23 Figure 2-9 Main RRC Functions ...................................................................................................................... 2-23 Figure 2-10 PDCP Functions ............................................................................................................................ 2-24 Figure 2-11 RLC Modes and Functions ........................................................................................................... 2-25 Figure 2-12 Medium Access Control Functions ............................................................................................... 2-25 Figure 2-13 Physical Layer Functions .............................................................................................................. 2-26 Figure 2-14 X2 Interface Protocols .................................................................................................................. 2-26 Figure 2-15 S1 Interface Protocols ................................................................................................................... 2-28 Figure 2-16 S11 Interface Protocols ................................................................................................................. 2-29 Figure 2-17 S5/S8 Interface Protocols.............................................................................................................. 2-30
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Figure 2-18 S10 Interface Protocols ................................................................................................................. 2-31 Figure 2-19 SGi Interface Protocols ................................................................................................................. 2-31 Figure 3-1 QoS Packet Scheduling................................................................................................................... 3-33 Figure 3-2 LTE Bearers .................................................................................................................................... 3-34 Figure 3-3 Service Data Flows ......................................................................................................................... 3-34 Figure 3-4 Default and Dedicated EPS Bearers ............................................................................................... 3-35 Figure 3-5 Signaling Radio Bearers ................................................................................................................. 3-37 Figure 3-6 Data Radio Bearers ......................................................................................................................... 3-38 Figure 3-7 E-RAB QoS Parameters to the eNB ............................................................................................... 3-38 Figure 3-8 E-UTRA E-RAB QoS ..................................................................................................................... 3-39 Figure 4-1 RRC Interaction with Lower Layers ............................................................................................... 4-41 Figure 4-2 eNB Structure ................................................................................................................................. 4-42 Figure 4-3 RRC States ...................................................................................................................................... 4-43 Figure 4-4 E-UTRA RRC State Interaction ...................................................................................................... 4-44 Figure 4-5 Mobility Procedures between E-UTRA and CDMA2000 .............................................................. 4-45 Figure 4-6 MIB and SIB1 Parameters .............................................................................................................. 4-45 Figure 4-7 LTE SIBs ........................................................................................................................................ 4-46 Figure 4-8 RRC Paging .................................................................................................................................... 4-47 Figure 4-9 RRC Connection ............................................................................................................................. 4-47 Figure 4-10 RRC Security Mode Command .................................................................................................... 4-48 Figure 4-11 RRC Connection Reconfiguration ................................................................................................ 4-49 Figure 4-12 RRC Connection Reestablishment ................................................................................................ 4-50 Figure 4-13 RRC Connection Release.............................................................................................................. 4-50 Figure 4-14 Information Transfer ..................................................................................................................... 4-51 Figure 4-15 Measurement Configuration ......................................................................................................... 4-52 Figure 4-16 Measurement Object ..................................................................................................................... 4-53 Figure 4-17 Report Configuration .................................................................................................................... 4-53 Figure 4-18 Periodical Reporting ..................................................................................................................... 4-54 Figure 4-19 Event Based Trigger (Event A3) ................................................................................................... 4-54 Figure 4-20 Event A3 Example ........................................................................................................................ 4-56 Figure 5-1 PDCP Functions .............................................................................................................................. 5-59 Figure 5-2 PDCP Data PDU for SRB ............................................................................................................... 5-61 Figure 5-3 User Plane PDCP Data PDU with Long PDCP SN (12 bits) .......................................................... 5-61
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Figure 5-4 User Plane PDCP Data PDU with Short PDCP SN (7 bits) ............................................................ 5-62 Figure 5-5 PDCP Control PDU for PDCP Status Report ................................................................................. 5-62 Figure 5-6 PDCP Control PDU for Interspersed ROHC Feedback Packet ...................................................... 5-62 Figure 5-7 ROHC Feedback ............................................................................................................................. 5-63 Figure 5-8 Derivation of MAC-I ...................................................................................................................... 5-64 Figure 5-9 Count Value .................................................................................................................................... 5-64 Figure 5-10 PDCP Ciphering ........................................................................................................................... 5-64 Figure 6-1 RLC Modes..................................................................................................................................... 6-67 Figure 6-2 Transparent Mode RLC .................................................................................................................. 6-68 Figure 6-3 Unacknowledged Mode RLC ......................................................................................................... 6-68 Figure 6-4 Acknowledged Mode RLC ............................................................................................................. 6-70 Figure 6-5 RLC UMD 5bit SN (No Length Indicators) ................................................................................... 6-71 Figure 6-6 RLC UMD 10bit SN (No Length Indicators) ................................................................................. 6-71 Figure 6-7 RLC UMD with 2 Length Indicators .............................................................................................. 6-72 Figure 6-8 RLC AMD with no Length Indicators ............................................................................................ 6-73 Figure 6-9 RLC AMD with Odd Number of Length Indicators ....................................................................... 6-73 Figure 6-10 RLC AMD PDU Segment............................................................................................................. 6-74 Figure 6-11 AMD Segmentation ...................................................................................................................... 6-74 Figure 6-12 RLC Status PDU ........................................................................................................................... 6-75 Figure 6-13 MAC Structure (UE Side)............................................................................................................. 6-76 Figure 6-14 MAC Header................................................................................................................................. 6-77 Figure 6-15 MAC Subheaders .......................................................................................................................... 6-78 Figure 6-16 Timing Advance Parameter ........................................................................................................... 6-79 Figure 6-17 Short BSR and Truncated BSR MAC Control Element................................................................ 6-79 Figure 6-18 Long BSR MAC Control Element ................................................................................................ 6-79 Figure 6-19 Power Control Headroom ............................................................................................................. 6-80 Figure 6-20 Power Headroom Control Element ............................................................................................... 6-80 Figure 6-21 Random Access RRC Signaling Procedure .................................................................................. 6-81 Figure 6-22 Random Access Response ............................................................................................................ 6-82 Figure 6-23 Backoff Indicator .......................................................................................................................... 6-83 Figure 7-1 X2 Control and User Plane ............................................................................................................. 7-85 Figure 7-2 X2 Handover Request ..................................................................................................................... 7-89 Figure 7-3 X2 Handover Preparation Failure ................................................................................................... 7-90
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Figure 7-4 X2 SN Status Transfer .................................................................................................................... 7-91 Figure 7-5 X2 UE Context Release .................................................................................................................. 7-92 Figure 7-6 X2 Handover Cancel....................................................................................................................... 7-92 Figure 7-7 X2 Load Indication ......................................................................................................................... 7-93 Figure 7-8 X2 Uplink Interference ................................................................................................................... 7-93 Figure 7-9 Downlink RNTP ............................................................................................................................. 7-93 Figure 7-10 X2 Resource Status Request ......................................................................................................... 7-94 Figure 7-11 X2 Resource Status Update........................................................................................................... 7-95 Figure 7-12 X2 Setup Request ......................................................................................................................... 7-96 Figure 7-13 eNB Configuration Update ........................................................................................................... 7-97 Figure 7-14 S1 Control and User Plane ............................................................................................................ 7-98 Figure 7-15 S1 Setup Request ........................................................................................................................ 7-102 Figure 7-16 S1 Setup Response ...................................................................................................................... 7-102 Figure 7-17 S1 Initial UE Message ................................................................................................................ 7-104 Figure 7-18 S1 Downlink and Uplink NAS Transport ................................................................................... 7-104 Figure 7-19 S1 Initial Context Setup Request ................................................................................................ 7-106 Figure 7-20 Initial Context Setup Response ................................................................................................... 7-107 Figure 7-21 S1 E-RAB Setup Request ........................................................................................................... 7-108 Figure 7-22 S1 E-RAB Setup Response ......................................................................................................... 7-108 Figure 7-23 E-RAB Release Indication .......................................................................................................... 7-109 Figure 7-24 Requirement for S1 Handover Procedures.................................................................................. 7-110 Figure 7-25 S1 Handover Required ................................................................................................................ 7-111 Figure 7-26 S1 Handover Command .............................................................................................................. 7-112 Figure 7-27 S1 Handover Request ................................................................................................................. 7-113 Figure 7-28 Handover Request Acknowledge ................................................................................................ 7-114 Figure 7-29 Handover Notify ......................................................................................................................... 7-114 Figure 7-30 S1 Path Switch Request .............................................................................................................. 7-115 Figure 7-31 Path Switch Request Acknowledge ............................................................................................ 7-116 Figure 7-32 Handover Cancel ........................................................................................................................ 7-116 Figure 7-33 UE Context Release .................................................................................................................... 7-117 Figure 7-34 UE Context Release Request ...................................................................................................... 7-118 Figure 7-35 S1 Reset ...................................................................................................................................... 7-118 Figure 7-36 S1 Trace Start .................................................................................... Error! Bookmark not defined.
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Figure 7-37 Location Report Control ............................................................................................................. 7-119 Figure 7-38 Overload Start ............................................................................................................................. 7-119 Figure 7-39 Paging ......................................................................................................................................... 7-120 Figure 7-40 GTP Tunnel ................................................................................................................................. 7-121 Figure 7-41 GTPv1-U Header ........................................................................................................................ 7-121 Figure 7-42 GTP Extension Header ............................................................................................................... 7-122 Figure 7-43 GTP Echo Procedure................................................................................................................... 7-124 Figure 7-44 Supported Extension Headers Notification ................................................................................. 7-125 Figure 7-45 End Marker Procedure ................................................................................................................ 7-125 Figure 8-1 Handover Phases ........................................................................................................................... 8-128 Figure 8-2 X2 Based Handover with Lossless PDCP..................................................................................... 8-129 Figure 8-3 Mobility Control Information ....................................................................................................... 8-130 Figure 8-4 X2AP SN Status Transfer ............................................................................................................. 8-131 Figure 8-5 S1 Based Inter MME/S-GW Handover ........................................................................................ 8-133 Figure 8-6 S1 Based Inter MME/S-GW Handover Continued ....................................................................... 8-134 Figure 8-7 S1 Based Inter MME/S-GW Handover Continued ....................................................................... 8-135 Figure 8-8 E-UTRAN to UTRAN Handover ................................................................................................. 8-136 Figure 8-9 E-UTRAN to UTRAN Handover Continued ................................................................................ 8-137
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Tables
Table 1-1 UE Categories ..................................................................................................................................... 1-4 Table 2-1 NAS EMM and ESM Procedures ..................................................................................................... 2-19 Table 3-1 QCI Attributes .................................................................................................................................. 3-36 Table 5-1 Supported Header Compression Protocols and Profiles ................................................................... 5-60 Table 6-1 RLC PDU Formats ........................................................................................................................... 6-70 Table 6-2 FI Field Interpretation ....................................................................................................................... 6-72 Table 6-3 LCID Coding for DL-SCH ............................................................................................................... 6-77 Table 6-4 LCID Coding for UL-SCH ............................................................................................................... 6-78 Table 6-5 Power Headroom Report Mapping ................................................................................................... 6-80 Table 6-6 Uplink Grant ..................................................................................................................................... 6-82 Table 7-1 Mapping between X2AP Functions and X2AP EPs ......................................................................... 7-86 Table 7-2 Class 1 Elementary Procedures ........................................................................................................ 7-86 Table 7-3 S1AP Class 1 Elementary Procedures .............................................................................................. 7-99 Table 7-4 S1AP Class 2 Elementary Procedures ............................................................................................ 7-100 Table 7-5 Messages in GTP-U ........................................................................................................................ 7-123
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About This Chapter
The following table lists the contents of this chapter. Section 1.1 EPS Network Elements 1.2 EPS Interfaces
EPS Architecture
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Whilst UMTS is based upon WCDMA technology, the 3GPP developed new specifications for the LTE air interface based upon OFDMA (Orthogonal Frequency Division Multiple Access) in the downlink and SC-FDMA (Single Carrier - Frequency Division Multiple Access) in the uplink. This new air interface is termed the E-UTRA (Evolved - Universal Terrestrial Radio Access).
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ESM (EPS Session Management) - is a Control Plane activity which manages the activation, modification and deactivation of EPS bearer contexts. These can either be default EPS bearer contexts or dedicated EPS bearer contexts. Figure 1-2 User Equipment Functional Elements
In terms of the Physical Layer, the capabilities of the UE may be defined in terms of the frequencies and data rates supported. Devices may also be capable of supporting adaptive modulation including QPSK (Quadrature Phase Shift Keying), 16QAM (16 Quadrature Amplitude Modulation) and 64QAM (Quadrature Amplitude Modulation). In terms of the radio spectrum, the UE is able to support several scalable channels including; 1.4MHz, 3MHz, 5MHz, 10MHz, 15MHz and 20MHz whilst operating in FDD (Frequency Division Duplex) and/or TDD (Time Division Duplex). Furthermore, the UE may also support advanced antenna features such as MIMO (Multiple Input Multiple Output). Table 1-1 UE Categories UE Category Maximum Downlink Data Rate 10.3Mbit/s 51.0Mbit/s 102.0Mbit/s 150.8Mbit/s 302.8Mbit/s Number of Downlink Data Streams 1 2 2 2 4 Maximum Uplink Data Rate 5.2Mbit/s 25.5Mbit/s 51.0Mbit/s 51.0Mbit/s 75.4Mbit/s Support for Uplink 64QAM No No No No Yes
1 2 3 4 5
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Security in LTE is not solely limited to encryption and integrity protection of information passing across the air interface but instead, NAS encryption and integrity protection between the UE and MME also takes place. In addition, IPSec may also be used to protect user data within both the E-UTRAN and EPC.
eNB Identities
In addition to the UE identities already discussed, there are a number of specific identities associated with the eNB. These include: TAI (Tracking Area Identity) - is a logical group of neighboring cells defined by the service provider in which UEs in LTE Idle mode are able to move within without needing to update the network. As such, it is similar to a RAI (Routing Area Identity) used in 2G and 3G packet switched networks. ECGI (E-UTRAN Cell Global Identifier) - is comprised of the MCC, MNC and ECI (Evolved Cell Identity), the later being coded by each service provider.
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Femto Cells
In order to improve both network coverage and capacity, the 3GPP have developed a new type of base station to operate within the home or small business environment. Termed the HeNB (Home Evolved Node B), this network element forms part of the E-UTRAN and in so doing supports the standard E-UTRAN interfaces. However, it must be stated that HeNBs do not support the X2 interface. The architecture may include an HeNB-GW (Home Evolved Node B - Gateway) which resides between the HeNB in the E-UTRAN and the MME / S-GW in the EPC in order to scale and support large numbers of base station deployments.
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Uu Interface
The Uu Interface supports both a Control Plane and a User plane and spans the link between the UE and the eNB / HeNB. The principle Control Plane protocol is RRC (Radio Resource Control) while the User Plane is designed to carry IP datagrams.
X2 Interface
The X2 interface interconnects two eNBs and in so doing supports both a Control Plane and User Plane. The principle Control Plane protocol is X2AP (X2 Application Protocol).
S1 Interface
The S1 interface can be subdivided into the S1-MME interface supporting Control Plane signaling between the eNB and the MME and the S1-U Interface supporting User Plane traffic between the eNB and the S-GW. The principle Control Plane protocol is S1AP (S1 Application Protocol).
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These include, but are not limited to the: HSS (Home Subscriber Server) - this can be considered a master database within the PLMN. Although logically it is considered as one entity, the HSS in practice is made up of several physical databases depending upon subscriber numbers and redundancy requirements. The HSS holds variables and identities for the support, establishment and maintenance of calls and sessions made by subscribers. It is connected to the MME via the S6a Interface which uses the protocol Diameter. PCRF (Policy and Charging Rules Function) - this supports functionality for policy control through the PDF (Policy Decision Function) and charging control through the CRF (Charging Rules Function). As such, it provides bearer network control in terms of QoS and the allocation of the associated charging vectors. The PCRF downloads this information over the Gx Interface using the Diameter protocol. ePDG (evolved Packet Data Gateway) - which is used when connecting to Untrusted Non 3GPP IP Access networks. It provides functionality to allocate IP addresses in addition to encapsulating / de-encapsulating IPSec (IP Security) and PMIP tunnels. It connects to the PDN-GW via the S2b Interface. RNC (Radio Network Controller) - which forms part of the 3GPPs UTRAN (Universal Terrestrial Radio Access Network), the RNC connects to the S-GW to support the tunneling of User Plane traffic using GTP-U. The interface linking these network elements is the S12 Interface. SGSN (Serving GPRS Support Node) - this forms part of the 3GPPs 2G and 3G packet switched core domain. It connects to both the MME and S-GW in order to support
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packet switched mobility and uses the GTPv2-C and GTP-U protocols respectively. The SGSN connects to the MME via the S3 Interface and the S-GW via the S4 Interface. EIR (Equipment Identity Register) - this database enables service providers to validate a particular IMEI (International Mobile Equipment Identity) against stored lists. It connects to the MME via the S13 Interface and uses the Diameter protocol for message transfer.
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About This Chapter
The following table lists the contents of this chapter. Section 2.1 EPS Signaling 2.2 EPS Protocols
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Control Plane
Figure 2-1 illustrates the concept of NAS and AS signaling, i.e. the Control Plane. It is worth noting that the NAS signaling is effectively transparent to the E-UTRAN. Access Stratum signaling provides a mechanism to deliver NAS signaling, as well as the lower layer signaling required to setup, maintain and manage the connections. The X2 interfaces are also part of this methodology and as such it also is part of Access Stratum signaling. Figure 2-1 NAS and AS Control Plane
User Plane
The User Plane focuses on the delivery of IP datagrams to and from the EPC, namely the S-GW and PDN-GW. Figure 2-2 illustrates this concept.
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In the case of the User Plane the higher layer NAS is an IP datagram. This effectively is delivered between the UE and the PDN-GW, with the eNB and S-GW acting as lower layer relaying devices.
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TA1
MME1 MME Group A
TA2
MME2
UE Context
TA3
GUTI S-TMSI
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MME Group B
MME2 MME1
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GUTI
The EPC uses the IMSI number as the permanent user identifier (or rather, USIM identifier). As in the legacy core Network a temporary identifier is also used, for subscriber identity confidentiality reasons, in place of the IMSI whenever possible. The temporary identifier in the EPS is called the Globally Unique Temporary Identity (GUTI). The use of the GUTI is very similar to the use of the legacy TMSI (CS domain) and PTIMSI (PS domain) numbers. There is a difference however: the GUTI explicitly links with the MME pool Area concept. GUTI = MCC + MNC + MMEGI + MMEC + M-TMSI, where MMEGI: MME Group Identifier (16 bit) MMEC: MME Code (8 bit)
The GUTI is allocated when the UE performs initial registration (Attach) with an MME. The GUTI is then typically changed whenever the UE performs some EMM procedure, such as TA update. The S-TMSI is a shortened version of the GUTI that uniquely identifies the user with an MME Group. The S-TMIS ,rather than the complete GUTI, is used within most NAS messages.
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Table 2-1 NAS EMM and ESM Procedures EMM Procedures Attach Detach Tracking Area Update Service Request Extended Service Request GUTI Reallocation Authentication Identification Security Mode Control EMM Status EMM Information NAS Transport Paging ESM Procedures Default EPS Bearer Context Activation Dedicated EPS Bearer Context Activation EPS Bearer Context Modification EPS Bearer Context Deactivation UE Requested PDN Connectivity UE Requested PDN Disconnect UE Requested Bearer Resource Allocation UE Requested Bearer Resource Modification ESM Information Request ESM Status
EMM Procedures
The key EMM procedures include: Attach - this is used by the UE to attach to an EPC (Evolved Packet Core) for packet services in the EPS (Evolved Packet System). Note that it can be also used to attach to non-EPS services. Detach - this is used by the UE to detach from EPS services. In addition, it can also be used for other procedures such as disconnecting from non-EPS services. Tracking Area Updating - this procedure is always initiated by the UE and is used for the various purposes. The most common include normal and periodic tracking area updating. Service Request - this is used by the UE to get connected and establish the radio and S1 bearers when uplink user data or signaling is to be sent. Extended Service Request - this is used by the UE to initiate a Circuit Switched fallback call or respond to a mobile terminated Circuit Switched fallback request from the network. GUTI Reallocation - this is used to allocate a GUTI (Globally Unique Temporary Identifier) and optionally to provide a new TAI (Tracking Area Identity) list to a particular UE. Authentication - this is used for AKA (Authentication and Key Agreement) between the user and the network. Identification - this is used by the network to request a particular UE to provide specific identification parameters, e.g. the IMSI (International Mobile Subscriber Identity) or the IMEI (International Mobile Equipment Identity).
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Security Mode Control - this is used to take an EPS security context into use, and initialize and start NAS signaling security between the UE and the MME with the corresponding NAS keys and security algorithms. EMM Status - this is sent by the UE or by the network at any time to report certain error conditions. EMM Information - this allows the network to provide information to the UE. Transport of NAS messages - this is to carry SMS (Short Message Service) messages in an encapsulated form between the MME and the UE. Paging - this is used by the network to request the establishment of a NAS signaling connection to the UE. Is also includes the Circuit Switched Service Notification
ESM Procedures
The key ESM procedures include: Default EPS Bearer Context Activation - this is used to establish a default EPS bearer context between the UE and the EPC. Dedicated EPS Bearer Context Activation - this is to establish an EPS bearer context with specific QoS (Quality of Service) and TFT (Traffic Flow Template) between the UE and the EPC. The dedicated EPS bearer context activation procedure is initiated by the network, but may be requested by the UE by means of the UE requested bearer resource allocation procedure. EPS Bearer Context Modification - this is used to modify an EPS bearer context with a specific QoS and TFT. EPS Bearer Context Deactivation - this is used to deactivate an EPS bearer context or disconnect from a PDN by deactivating all EPS bearer contexts to the PDN. UE Requested PDN Connectivity - this is used by the UE to request the setup of a default EPS bearer to a PDN. UE Requested PDN Disconnect - this is used by the UE to request disconnection from one PDN. The UE can initiate this procedure to disconnect from any PDN as long as it is connected to at least one other PDN. UE Requested Bearer Resource Allocation - this is used by the UE to request an allocation of bearer resources for a traffic flow aggregate. UE Requested Bearer Resource Modification - this is used by the UE to request a modification or release of bearer resources for a traffic flow aggregate or modification of a traffic flow aggregate by replacing a packet filter. ESM Information Request - this is used by the network to retrieve ESM information, i.e. protocol configuration options, APN (Access Point Name), or both from the UE during the attach procedure. ESM Status - this is used to report at any time certain error conditions detected upon receipt of ESM protocol data.
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EMM protocol state machine contains two sets of states: EMM states and ECM states(EPS Connection Management). The UE is either EMM REGISTERED OR EMM DEREGISTERED, i.e. attached or not. The ECM states are only relevant in the EMM REGISTERED state and reflect whether there is an active NAS Signaling Connection established (ECM Connected) or not (ECM Idle). The NAS signaling Connection is required for any exchange of NAS message with the exception of the very messages that triggers the establishment of the NAS Signaling Connection itself (e.g. Attach Request or Paging). Figure 2-6 NAS States and State Transitions
ESM ACTIVE
EMM REGISTERED MME context: IMSI, GUTI, Talist IP address, Security association
PDN Contents: IP Adress APN, QoS Paramters S5 IP address & TEID S11 IP address & TEID (S1-U IP address & TEID)
ECM IDLE
No NAS Signaling Connection Tracking Area Updates NAS Connection Release NAS Connection Establishment
Data Transfer Possible when ECM connected One Default Bearer Zero, one or more Dedicated Bearer
ECM CONNECTED
NAS Signaling Connection Data transfer possible
Attach
Detach
ESM INACTIVE
No PDN context
EMM DEREGISTERED
No MME context
The ESM states are quite straightforward: when at least one (default) bearer is established the UE is in the ESM Active state, otherwise it is in the ESM Inactive state. The ESM signaling needed to establish a bearer requires that the UE is properly registered in the network. It therefore naturally follows that the UE must be in the EMM registered state whenever it is ESM Active. It also follows that there must be a NAS Signaling connection present during the ESM signaling phase when a bearer is being established, i.e. the UE is then ECM connected. However, there is no requirement to keep the NAS Signaling Connection active for the lifetime of the EPS bearer. Hence the UE may very well be ECM Idle while being ESM Active. This makes sense, since the UE may be attached for days, weeks or even months on the end.
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The NAS states (MME related states) are aligned with the RRC states (eNodeB related states). A UE in RRC Idle state is, from the MMEs point of view, in the NAS state ECM Idle. Paging or a request from higher layers to transmit uplink data or signaling will cause a transition from RRC Idle to RRC Connected, causing also a transition from ECM Idle to ECM Connected. This is not shown in Figure 2-6. Figure 2-7 Network Attach
2.2.5 Uu Interface
The Uu Interface supports both a Control Plane and a User plane and spans the link between the UE and the eNB / HeNB. The principle Control Plane protocol is RRC in the Access Stratum and EMM (EPS Mobility Management)/ ESM (EPS Session Management) in the Non Access Stratum. In contrast, the User Plane is designed to carry IP datagrams. However, both Control and User Planes utilize the services of the lower layers, namely PDCP (Packet Data Convergence Protocol), RLC (Radio Link Control) and MAC (Medium Access Control), as well as the PHY (Physical Layer).
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In the Control Plane, PDCP facilitates encryption and integrity checking of signaling messages, i.e. RRC and NAS. The User Plane is slightly different since only encryption is performed. In addition, the User Plane IP datagrams can also be subjected to IP header compression techniques in order to improve the systems performance and efficiency. Finally, PDCP also facilitates sequencing and duplication detection.
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2.2.11 X2 Interface
As previously mentioned, the X2 interface interconnects two eNBs and in so doing supports both a Control Plane and User Plane. The principle Control Plane protocol is X2AP (X2 Application Protocol). This resides on SCTP (Stream Control Transmission Protocol) where as the User Plane IP is transferred using the services of GTP-U (GPRS Tunneling Protocol User) and UDP (User Datagram Protocol). Figure 2-14 illustrates the X2 User Plane and Control Plane protocols. Figure 2-14 X2 Interface Protocols
2 EPS Protocols
Load Management - this function enables eNBs to communicate with each other in order to report resource status, overload indications and current traffic loading. Error Reporting - this allows for the reporting of general error situations for which specific error reporting mechanism have not been defined. Setting / Resetting X2 - this provides a means by which the X2 interface can be setup / reset by exchanging the necessary information between the eNBs. Configuration Update - this allows the updating of application level data which is needed for two eNBs to interoperate over the X2 interface.
2.2.15 S1 Interface
The S1 interface can be subdivided into the S1-MME interface supporting Control Plane signaling between the eNB and the MME and the S1-U Interface supporting User Plane traffic between the eNB and the S-GW.
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GTPv2-C is also found on the S5/S8 Interface between the S-GW and PDN-GW and the S10 Interface between MMEs. Furthermore, it can also be found on the S3 and S4 interfaces when interconnecting with an SGSN (Serving GPRS Support Node).
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3
About This Chapter
Section
3.1 EPS Bearer Services and E-UTRA Radio Bearers 3.2 E-UTRA Radio Bearers
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The main functions associated with QoS in a packet switch (router) are the: Packet Classifier - this function analyses packets and based on a set of filters classifies the packet. As such, it receives the correct packet forwarding treatment and scheduling. Packet Scheduler - this schedules packets based on priority. In so doing various methods are used to ensure low latency data, e.g. voice, is optimally scheduled.
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transport between the S-GW / PDN-GW and eNB according to the EPS QoS profile associated with each EPS Bearer.
It is possible for the UE to establish more than one default EPS bearer, however this is via a different APN (Access Point Name).
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Example Service
1 2 3 4 5 6 7 8 9
2 4 3 5 1 6 7 8 9
Conversational Voice Conversational Video Real Time Gaming Non-Conversational Voice IMS Signaling Video, TCP Based Voice, Video, Interactive Gaming Video, TCP Based Video, TCP Based
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Pre-emption Capability - this indicates the pre-emption capability on other E-RABs. In so doing, it indicates whether the E-RAB will not pre-empt other E-RABs or, the E-RAB may pre-empt other E-RABs. Pre-emption Vulnerability - this indicates the vulnerability of the E-RAB to preemption of other E-RABs.
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E-UTRA Configuration
In order to achieve the QoS for the E-RAB the eNB configures the lower layer protocols, namely PDCP, RLC, MAC and the Physical Layers. Figure 3-8 E-UTRA E-RAB QoS
There are various parameters that could be configured/modified to influence the performance of the E-UTRA and thus aid the eNB QoS scheduling requirements. These include: PDCP Compression. RLC AM or UM. RLC AM Polling Configuration. Uplink MAC Priority. Uplink MAC Prioritized Bit Rate. Uplink MAC Bucket Size Duration. HARQ Configuration and re-transmissions. BSR (Buffer Status Report) Configuration. SPS (Semi Persistent Scheduling) Configuration. Physical Channel and Power Configuration.
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4
About This Chapter
Section 4.1 The RRC Layer 4.2 RRC Structure 4.3 RRC States 4.4 RRC Services
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The layers below RRC also include generic configuration options, e.g. defined mapping rules for SI (System Information) messages. This enables the UE to acquire the eNB and ultimately gain access to the network.
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4.3.2 Functions
The RRC protocol includes the following main functions: Broadcast of SI (System Information):
Including NAS common information. Information applicable for UEs in RRC Idle mode, e.g. cell (re-)selection parameters, neighboring cell information and information applicable for UEs in RRC Connected mode, e.g. common channel configuration information. Including ETWS (Earthquake and Tsunami Warning System) notification. Paging. Establishment/modification/release of RRC connection, including e.g. assignment/ modification of UE identity (C-RNTI), establishment/modification/release of SRB1 and SRB2, AC (Access Class) barring. Initial security activation, i.e. initial configuration of Access Stratum integrity protection (SRBs) and Access Stratum ciphering (SRBs, DRBs). RRC connection mobility including e.g. intra-frequency and inter-frequency handover, associated security handling, i.e. key/algorithm change, specification of RRC context information transferred between network nodes. Establishment/modification/release of RBs carrying user data (DRBs). Radio configuration control including e.g. assignment/modification of ARQ (Automatic Repeat Request) configuration, HARQ (Hybrid ARQ) configuration, DRX (Discontinuous Reception) configuration.
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QoS control including assignment/modification of SPS (Semi-Persistent Scheduling) configuration information for downlink and uplink, assignment/modification of parameters for uplink rate control in the UE, i.e. allocation of a priority and a PBR (Prioritized Bit Rate) for each RB (Radio Bearer). Recovery from Radio Link failure.
Inter-RAT mobility including e.g. security activation, transfer of RRC context information. Measurement configuration and reporting:
Establishment/modification/release of measurements (e.g. intra-frequency, inter-frequency and inter-RAT measurements). Setup and release of measurement gaps. Measurement reporting.
Other functions including e.g. transfer of dedicated NAS information and non-3GPP dedicated information, transfer of UE radio access capability information, support for E-UTRAN sharing (multiple PLMN identities). Generic protocol error handling. Support of self-configuration and self-optimization.
In contrast to the GERAN and UTRA states, the E-UTRA (Evolved - Universal Terrestrial Radio Access) state is simplified. This is mainly due to the fact that it is an optimized packet system.
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MIB and SIB repeat regularly on the cell. The Scheduling Information List and SIB Window Length parameters enable the UE to determine the occurrence of the other SI messages. Figure 4-7 illustrates the different SIBs, as well as some of the key parameters, which may be scheduled by the eNB. Further information on parameters can be found in the RRC Specification 36.331. Figure 4-7 LTE SIBs
SIB2 Access Class Information Radio Resource Configuration Common UE-Timers And Constants Uplink Frequency Information MBSFN Configuration Information Time Alignment Timer Common SIB3 Cell Reselection Information Q-Hyst Speed State Reselection Parameters Cell Reselection Serving Freq Info S-Non-Intra Search Info Threshold Serving Low Value Cell Reselection Priority Intra Freq Cell Reselection Info q-RxLevMin p-Max s-IntraSearch Allowed Measurement Bandwidth Presence Antenna Port 1 Neighbor Cell Config t-ReselectionEUTRA t-ReselectionEUTRA-SF SIB4 Intra Freq Neighbour Cell List Physical Cell ID q-OffsetCell Intra Freq Black Cell List CSG Physical Cell Id Range SIB5 Inter Frequency Carrier Freq List Inter Frequency Carrier Freq Info Inter Frequency Neighbour Cell List Inter Frequency Neighbour Cell Info Inter Frequency Black Cell List SIB6 Carrier Frequency List UTRA (FDD/TDD) t-Reselection UTRA SIB7 t-Reselection GERAN Carrier Frequency Info List SIB8 CDMA2000 Reselection Information SIB9 Home eNB Name SIB10 ETWS Primary Notification SIB11 ETWS Secondary Notification
4.4.2 Paging
Whilst the UE is in the RRC Idle mode it is monitoring the PCH (Paging Channel) based on a DRX (Discontinuous Reception) cycle. The eNB is instructed to send a Paging message to a given UE (IMSI or S-TMSI) within a Tracking Area (one or more). It is also provided a UE Identity Index parameter from the MME which enables the eNB and the UE to synchronize the paging occurrence. Figure 4-8 illustrates the Paging message. This includes the UE identity, as well as an indication from the domain it came from, namely CS (Circuit Switched) or PS (Packet
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Switched). The Paging message is also able to carry an indication of SI modification, as well as an indication of an ETWS primary notification and/or ETWS secondary notification. Figure 4-8 RRC Paging
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It must be noted that some of the parameters are optional. This is especially the case with the initial RRC Connection Setup message which can be used as part of the re-establishment procedures.
Initial SRB
SRB 1 is the main bearer established as part of the initial RRC Connection. Typically the eNB configures this along with other key features such as: MAC Main Configuration - this includes UL-SCH parameters configuring HARQ (Hybrid ARQ), BSR (Buffer Status Report) timers and PHR (Power Head Room) reporting. Physical Configuration Dedicated - configures some of the initial parameters for the PDSCH, PUCCH and PUSCH. It also includes initial attributes to configure power control. It is worth noting that quite a lot of the RRC Connection Setup parameters are not used initially, e.g. configuration of DRB (Data Radio Bearer), TPC (Transmit Power Control), SRS (Sounding Reference Signal) etc.
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Figure 4-11 illustrates the RRC Connection Reconfiguration message and some of the key parameters. Since the messages can be used in a multitude of scenarios it contains a lot of optional parameters. Figure 4-11 RRC Connection Reconfiguration
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The RRC Connection Reestablishment message includes the Radio Resource Config Dedicated parameter which is able to reestablish the RBs, as well as the MAC and Physical configuration. In addition, the message also includes the Next Hop Chaining Count parameter to update the KeNB key.
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Measurement gaps - this defines the periods that the UE may use to perform measurements, i.e. no downlink or uplink transmissions are scheduled. S-Measure - this optional parameter is a serving cell quality threshold controlling whether or not the UE is required to perform measurements of intra frequency, inter frequency and inter RAT neighboring cells. Figure 4-15 illustrates the main measurement configuration parameters in the RRC Connection Reconfiguration Request message. Figure 4-15 Measurement Configuration
Measurement Objects
Figure 4-16 illustrates some of the key parameters for an E-UTRA measurement object. It includes: measObjectId - this is the identifier for the measurement object. carrierFreq - this is the carrier frequency to measure. allowedMeasBandwidth - is used to indicate the maximum allowed measurement bandwidth on a carrier frequency. presenceAntennaPort1 - this is used to indicate whether all the neighboring cells use Antenna Port 1. When set to TRUE, the UE may assume that at least two cell-specific antenna ports are used in all neighboring cells. neighCellConfig - is used to provide the information related to MBSFN (MBMS over a Single Frequency Network) and TDD UL/DL configuration of neighbor cells. offsetFreq - this defines the offset value applicable to the carrier frequency. cellsToAddModList - this defines the neighboring cell(s) in terms of:
cellIndex - this is the entry index in the neighboring cell list. It is used for future modification or deletion. physCellId - this is the Physical Cell ID for the neighboring cell. cellIndividualOffset - this is the cell individual offset applicable to a specific neighboring cell.
Details of these parameters, as well as other not shown, can be found in the RRC Specification, namely TS 36.331.
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Report Configuration
The Report Configuration parameter is an important aspect of the measurement process and is very similar to the methods employed in UMTS. Figure 4-17 illustrates an example of the Report Configuration parameter. Note that not all options are shown.
Broadly there are two types of reporting methods: periodical and event based. Figure 4-18 illustrates the periodical reporting concept with a configured Report Interval. In addition to the reporting interval the eNB also configures the Report Amount which indicates how may reports to send (r1, r2, r4, r8, r16, r32, r64 or infinity).
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LTE, like UMTS, includes a number of measurement based triggering events, these include: Event A1 - serving cell becomes better than the threshold. Event A2 - serving cell becomes worse than the threshold. Event A3 - neighbor cell becomes (including offset) better than the serving cell. Event A4 - neighbor cell becomes better than the threshold. Event A5 - serving cell becomes worse than Thresh1 (Threshold1) and the neighbor cell becomes better than Thresh2 (Threshold2). Event B1 - Inter RAT neighbor cell becomes better than threshold. Event B2 - serving cell becomes worse than threshold1 and inter RAT neighbor cell becomes better than threshold2. Figure 4-19 illustrates the basic concept of event based reporting using Event A3 as an example. Note this has been simplified. Figure 4-19 Event Based Trigger (Event A3)
Event Reporting
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The event based mechanisms also configure a TTT (Time To Trigger) parameter. This validates criteria before the measurement report is sent. Values for TTT include: ms0, ms40, ms64, ms80, ms100, ms128, ms160, ms256, ms320, ms480, ms512, ms640, ms1024, ms1280, ms2560 and ms5120 (in milliseconds).
Event Conditions
It is worth noting that the actual triggering mechanisms for each event are different (detailed in the RRC Specification). As an example, Event A3 criteria is shown. For Event A3, the TTT timer starts and stops based on the following criteria. Entering condition: Mn+ Ofn + Ocn Hys > Ms + Ofs + Ocs + Off Leaving condition: Mn+ Ofn + Ocn+ Hys < Ms + Ofs + Ocs + Off The variables in the formula are defined as follows: Mn - this is the measurement result of the neighboring cell, not taking into account any offsets. Ofn - this is the frequency specific offset of the frequency of the neighbor cell (i.e. offsetFreq as defined within measObjectEUTRA corresponding to the frequency of the neighbor cell). Ocn - this is the cell specific offset of the neighbor cell (i.e. cellIndividualOffset as defined within measObjectEUTRA corresponding to the frequency of the neighbor cell), and set to zero if not configured for the neighbor cell. Ms - this is the measurement result of the serving cell, not taking into account any offsets. Ofs - this is the frequency specific offset of the serving frequency (i.e. offsetFreq as defined within measObjectEUTRA corresponding to the serving frequency). Ocs - this is the cell specific offset of the serving cell (i.e. cellIndividualOffset as defined within measObjectEUTRA corresponding to the serving frequency), and is set to zero if not configured for the serving cell. Hys - this is the hysteresis parameter for this event (i.e. hysteresis as defined within reportConfigEUTRA for this event). Off - this is the offset parameter for this event (i.e. a3-Offset as defined within reportConfigEUTRA for this event). Mn and Ms are expressed in dBm in case of RSRP (Reference Signal Received Power), or in dB in case of RSRQ (Reference Signal Received Quality). Ofn, Ocn, Ofs, Ocs, Hys, Off are expressed in dB (Decibels). Figure 4-20 illustrates an example of Event 3A. The various offset have been applied to the serving and neighboring cells and the hysteresis value is illustrated by the dotted lines above and below the neighboring cell level.
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It can be seen that the entering and leaving conditions are based on the interaction with hysteresis value (which could be set to 0).
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If the serving cell is bad (bad as defined by broadcasted quality and/or signal strength criteria), the UE will start monitoring cells belonging to other RATs, as well as cells belonging to the currently used RAT. The UE should exclude neighboring cells that do not fulfill broadcasted minimum quality/signal level requirements. The UE should rank the non-excluded cells by also taking into consideration broadcasted (positive or negative) offset values. Finally, the UE should reselect the best cell, from the same RAT or some other RAT, if it fulfills the cell reselection criteria for a given duration of time.
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5
Section
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Usage: No compression RTP/UDP/IP UDP/IP RFC ESP/IP RFC IP TCP/IP RTP/UDP/IP UDP/IP ESP/IP IP
Reference RFC 4995 RFC 4815 RFC 3095, RFC 4815 RFC 3095, RFC 4815 RFC 3843, RFC 4815 RFC 4996 RFC 5225 RFC 5225 RFC 5225 RFC 5225
RFC 4815- this provides corrections and clarifications. RFC 4996 - this defines a profile for TCP/IP (Transmission Control Protocol, Internet Protocol) compression. RFC 5225 - this defined ROHCv2 (Robust Header Compression Version 2) and identifies profiles for RTP, UDP, IP, ESP and UDP-Lite compression.
IMS Profiles
IMS (IP Multimedia Subsystem) capable UEs supporting VoIP (Voice over IP) are required to support ROHC profiles 0x0000, 0x0001, 0x0002 and 0x0004.
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The first bit is assigned to a D/C (Data/Control) bit, where 0 = Control PDU and 1 = Data PDU. Note that the 12bit SN format is available to both RLC AM or UM.
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Figure 5-4 User Plane PDCP Data PDU with Short PDCP SN (7 bits)
Higher layer signaling, i.e. RRC, is used to configure the PDCP options.
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and is therefore bigger that the payload. In contrast, the RTP/UDP/IPv6 header is 60 octets. The addition of ROHC enables the RTP/UDP/IPv4 and RTP/UDP/IPv6 to be reduced to 4 or 6 octets.
ROHC States
A ROHC compressor is in one of 3 main states: IR (Initialization and Refresh) - In this state the compressor has just been created or reset, and full packet headers are sent. FO (First-Order) - In this state, the compressor has detected and stored the static fields on both sides of the connection. The compressor is also sending dynamic packet field differences. SO (Second-Order) - In this state the compressor is suppressing all dynamic fields such as RTP sequence numbers and sending only a logical sequence number and partial checksum to enable the other side to predict, generate and verify the headers of the next expected packet. Figure 5-7 ROHC Feedback
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The 32bit count value consists of the PDCP SN and part of the HFN. This is illustrated in Figure 5-9. Figure 5-9 Count Value
Count
Count
Key
Key
Plaintext Block
Ciphertext Block
Plaintext Block
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6
Section
6.1 RLC Functions 6.2 RLC Modes and Formatting 6.3 MAC Functions 6.4 MAC Architecture 6.5 MAC Formatting
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6.1.3 Functions
The following functions are supported by the RLC sub layer: Transfer of upper layer PDUs. Error correction through ARQ. Concatenation, segmentation and reassembly of RLC SDU (Service Data Units). Re-segmentation of RLC data PDUs. Reordering of RLC data PDUs. Duplicate detection. RLC SDU discard. RLC re-establishment.
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The UM RLC entity forms UMD (Unacknowledged Mode Data) PDUs from RLC SDUs. These may be a segment and/or concatenate the RLC SDUs so that the UMD PDUs fit efficiently within the RLC PDU(s). This is based on the transmission opportunity indicated by MAC. Finally, it includes the relevant RLC headers in the UMD PDU.
Receiving Entity
When a receiving UM RLC entity receives UMD PDUs, it: Detects whether or not the UMD PDUs have been received in duplication. If so, it discards the duplicated UMD PDUs. Reorders the UMD PDUs if they are received out of sequence. Detects the loss of UMD PDUs at lower layers and avoid excessive reordering delays. Reassembles RLC SDUs from the reordered UMD PDUs (not accounting for RLC PDUs for which losses have been detected) and deliver the RLC SDUs to upper layer in ascending order of the RLC SN. Discards received UMD PDUs that cannot be re-assembled into a RLC SDU due to loss at lower layers of an UMD PDU which belonged to the particular RLC SDU.
RLC Re-establishment
At the time of RLC re-establishment, the receiving UM RLC entity, if possible, reassembles RLC SDUs from the UMD PDUs that are received out of sequence and delivers them to upper layer. In addition, it discards any remaining UMD PDUs that could not be reassembled into RLC SDUs.
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AM-RLC Entity Transmission Buffer RLC Control Segmentation and Concatenation Retransmission Buffer SDU Reassembly
Routing DCCH/DTCH
DCCH/DTCH
RLC PDUs
The RLC protocol defines two main categories of PDU, these are: Data. Control. Table 6-1 identifies the different PDU types that are available. Table 6-1 RLC PDU Formats Data Transfer Mode Transparent Unacknowledged Acknowledged PDU Name TMD UMD AMD AMD Segment Status
Figure 6-6 illustrates the 10bit SN UMD format with no length indicators. Figure 6-6 RLC UMD 10bit SN (No Length Indicators)
The FI (Frame Information) field has four possible values and is used for various permutations of segmentation and concatenation. The different permutations are illustrated in Table 6-2.
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Table 6-2 FI Field Interpretation Value 00 Description First byte of the Data field corresponds to the first byte of a RLC SDU. Last byte of the Data field corresponds to the last byte of a RLC SDU. 01 First byte of the Data field corresponds to the first byte of a RLC SDU. Last byte of the Data field does not correspond to the last byte of a RLC SDU. 10 First byte of the Data field does not correspond to the first byte of a RLC SDU. Last byte of the Data field corresponds to the last byte of a RLC SDU. 11 First byte of the Data field does not correspond to the first byte of a RLC SDU. Last byte of the Data field does not correspond to the last byte of a RLC SDU.
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The RF bit is used to indicate whether this PDU is an AMD PDU or AMD PDU Segment. Each AMD PDU also includes a P (Polling) flag, allowing the UE or eNB to request a Status PDU. Figure 6-9 RLC AMD with Odd Number of Length Indicators
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The concept of AMD segmentation is illustrated in Figure 6-11. Note that the two segments in this example will both carry the original RLC SN. In addition, if the AMD Segment is unsuccessfully received, they system may re-segment the data again, i.e. AMD segment and be re-segmented may times. Figure 6-11 AMD Segmentation
AMD
AMD Segment
AMD Segment
Status PDU
An AM RLC entity sends Status PDUs to its peer AM RLC entity in order to provide positive and/or negative acknowledgements of RLC PDUs (or portions of them). It is the responsibility of RRC to invoke the status prohibit in the AM RLC entity when necessary. This takes the form of a timer to prevent the receiver from sending Status PDUs. The transmitting side of an AM RLC entity can receive a negative acknowledgement (notification of reception failure by its peer AM RLC entity) for an AMD PDU or a portion of an AMD PDU by the following: Status PDU from its peer AM RLC entity. HARQ delivery failure from the transmitting MAC entity. Triggers to initiate STATUS reporting include: Polling from its peer AM RLC entity. Detection of reception failure of an RLC data PDU.
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Multiplexing - RLC frames belonging to a Radio Bearer or different bearers may be multiplexed in the same TB (Transport Block). HARQ (Hybrid Automatic Repeat Request) - MAC may invoke HARQ in order to provide error correction services across the air. Radio Resource Allocation - QoS (Quality of Service) based scheduling of traffic to multiple users, or multiple flows to the same user, is invoked at the MAC layer. Formatting - transport formatting and padding is invoked to optimize the radio link within the cell.
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The main parameter is the LCID (Logical Channel Identifier), which is coded differently for the DL-SCH and UL-SCH. Table 6-3 illustrates the DL-SCH coding. Table 6-3 LCID Coding for DL-SCH LCID Index 00000 00001-01010 01011-11011 11100 11101 11110 11111 Description CCCH Identity of the logical channel Reserved UE Contention Resolution Identity Timing Advance Command DRX Command Padding
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The LCID coding for the UL-SCH is illustrates in Table 6-4. Table 6-4 LCID Coding for UL-SCH LCID Index 00000 00001-01010 01011-11001 11010 11011 11100 11101 11110 11111 Description CCCH Identity of the logical channel Reserved Power Headroom Report C-RNTI Truncated BSR Short BSR Long BSR Padding
Timing Advance
Section 6.5.3 examines the RA (Random Access) process and the RAR (Random Access Response). This provides the UE with an initial 11bit TA (Timing Advance) command.
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In other cases, a 6bit Timing Advance command is used. The LCID indicating Timing Advance relates to this 6bit variant. Figure 6-16 illustrates this fixed length TA parameter i.e. there is no length indicator in the MAC subheader. Figure 6-16 Timing Advance Parameter
Since this field is not 11bits it does not indicate the absolute TA value, instead it indicates adjustment of the current NTA value, NTA,old, to the new NTA value, NTA,new, by index values of TA = 0, 1, 2,..., 63, where NTA,new = NTA,old + (TA 31)16. Here, adjustment of the NTA value by a positive or a negative amount indicates advancing or delaying the uplink transmission timing the indicated amount. A TA=31 would result in no change to the timing.
The Long BSR control element is able to provide the status of all four LCG IDs. Figure 6-18 Long BSR MAC Control Element
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DRX Command
The DRX (Discontinuous Reception) Command LCID has no payload, i.e. only the subheader is sent. Upon receiving the DRX command in the downlink the UE activates either a Short DRX Cycle or a Long DRX cycle (depending on RRC based configuration).
If the criteria to send a PHR have been met, the UE includes the appropriate LCID subheader. Figure 6-20 illustrates the PH (Power Headroom) control element. Figure 6-20 Power Headroom Control Element
Table 6-5 illustrates part of the mapping from the PH value to the actual measured value. Table 6-5 Power Headroom Report Mapping PH 0 1 2 3 . 62 63 Reported value POWER_HEADROOM_0 POWER_HEADROOM_1 POWER_HEADROOM_2 POWER_HEADROOM_3 . POWER_HEADROOM_62 POWER_HEADROOM_63 Measured Quantity Value (dB)
PH < -22 -22 PH < -21 -21 PH < -20 -20 PH < -19
-23
PH < 40 PH 40
39
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The contents of the 20bit UL (Uplink) Grant is illustrates in Table 6-6. Table 6-6 Uplink Grant Parameter Hopping Flag Fixed Size Resource Block Assignment Truncated Modulation and Coding Scheme TPC Command for Scheduled PUSCH UL Delay Size (bits) 1 10 4 3 1 Description Indicates whether the allocation should be using uplink hopping. The assigned uplink resources. Indication of modulation and coding scheme to use. Initial power control feedback, e.g. -4dB. Indicates whether uplink assignment is delayed until the next subframe, e.g. K+4+1. Indicates whether the UE has been requested to multiplex the CQI (Channel Quality Indicator) into the scheduled PUSCH transmission.
CQI Request
Backoff Indicator
The eNB may also include a BI (Backoff Indicator) in the first MAC subheader. This indicates a backoff time (0 to 960ms) for non confirmed UEs to implement before trying to re-attempt access. Figure 6-23 illustrates the location of the Backoff Indicator in the MAC frame.
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7
About This Chapter
Section
7.1 X2AP Functions and Procedures 7.2 S1AP Functions and Procedures 7.3 User Plane GTP Functions and Procedures
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The Transport Network Layer Control Plane and User Plane both use the service of IP; however a reliable robust delivery protocol in the form of SCTP (Stream Control Transmission Protocol) exists within the Control Plane. In contrast, the User Plane utilizes GTP-U and the services of the UDP (User Datagram Protocol). Note that an eNB may have one or multiple IP addresses at the Transport Network Layer for both the Control and User Planes.
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The X2AP consists of various EP (Elementary Procedures). Table 7-1illustrates the mapping between the functions provided by the X2 interface and the actual Elementary Procedure(s) that are used to support this functionality. Table 7-1 Mapping between X2AP Functions and X2AP EPs Function Mobility Management Elementary Procedure(s) a) Handover Preparation. b) SN Status Transfer. c) UE Context Release. d) Handover Cancel. Load Management a) Load Indication. b) Resource Status Reporting Initiation. c) Resource Status Reporting. Reporting of General Error Situations Resetting the X2 Setting up the X2 eNB Configuration Update Error Indication. Reset. X2 Setup. eNB Configuration Update.
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The X2AP also supports various Class 2 procedures, i.e. EPs without a response message. Elementary Procedure Load Indication Handover Cancel SN Status Transfer UE Context Release Resource Status Reporting Error Indication Initiating Message LOAD INFORMATION HANDOVER CANCEL SN STATUS TRANSFER UE CONTEXT RELEASE RESOURCE STATUS UPDATE ERROR INDICATION
The role of the X2 interface may be divided into two main groups. These are: X2AP Basic Mobility Procedures - these relate to procedures used to handle the UE mobility within E-UTRAN. X2AP Global Procedures - these relate to procedures that are not related to a specific UE.
Presence
The presence of Information Elements within a message depends on a number of factors including the scenario in which the message has been invoked. Consequently, Information Elements may be: M (Mandatory) - these IE are always included in the message. O (Optional) - these IE may or may not be included in the message. C (Conditional) - these IE are included in the message only if the condition is satisfied.
Range
The Range indicates the number of copies of repetitive Information Elements that are allowed in the message. E.g. there may be three cells configured and each has its associated parameters.
Criticality
In each protocol message, there is criticality information set for individual and/or groups of IE that comprise it. This criticality information instructs the receiver how to act when receiving an IE that is in error or not comprehended. This criticality information may be applied as follows: Null - no criticality information is applied explicitly.
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Yes - criticality information is applied only for non-repeatable IE. Global - the Information Element and all its repetitions have common criticality information. Each - each repetition of the Information Element has its own criticality information. Based on the criticality information, the receiver may take the following action if errors are encountered in the Information Element: Reject. Ignore. Ignore and Notify.
Handover Request
The Handover Request message includes the following information: Old eNB UE X2AP ID - this provides the X2 signaling association for future messages between the source and target eNBs. Cause - this element indicates to the MME the reason for the handover including reasons such as the radio network layer, transport network layer etc. ECGI - this is the global id of the eNB and is expressed as a PLMN identity plus the entire 28bit cell identity. GUMMEI (Globally Unique MME Identifier) - this is the identity of the MME that is currently serving the UE. UE Context Information - this contains the following information:
MME UE S1AP ID - this provides the target eNB with the signaling association reference with the MME across the S1-MME interface for specific UE. UE Security Capabilities - this information element defines the UE capabilities in terms of its RF, E-RAB formats etc. These are typically defined by referencing the category of the LTE device. AS Security Information - the purpose of the Security Context IE is to provide security related parameters to the eNB. These are used to derive security keys for User Plane traffic and RRC signaling messages and for security parameter generation for subsequent X2 or intra eNB handovers. UE Aggregate Maximum Bit Rate - this element is used to define the total bandwidth in Mbit/s that can be allocated to the UE for all E-RABs that are established. E-RABs to be Setup List - this identifies the E-RAB ID, E-RAB QoS, GTP information and RRC Context for each EPS Bearer. The latter provides details on the current configuration and the implementation of the air interface protocols.
UE History Information -this is information about cells that a UE has been served by in the active state prior to the target cell. Trace Activation - this O (Optional) parameter is able to start trace procedures on the Target eNB. In so doing, it indicates which interfaces to trace and where to send the information.
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SRVCC Operation Possible - this indicates to the target eNB whether SRVCC (Single Radio Voice Call Continuity) is available, i.e. the UE can be handed over from the E-UTRAN to CS (Circuit Switched) 2G/3G systems. Figure 7-2 X2 Handover Request
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E-RABs Not Admitted List - this identifies the E-RAB(s) which are not admitted. Target eNB To Source eNB Transparent Container- this includes handover information for the UE. This, in essence, is an RRC Connection Reconfiguration message defining the lower layer configuration on the new cell. Criticality Diagnostics - this is sent by the eNB when parts of a received message have not been comprehended or were missing, or if the message contained logical errors. When applicable, it contains information about which parameters were not comprehended or were missing.
SN Status Transfer
The SN Status Transfer procedure is used to transfer the uplink and downlink PDCP (Packet Data Convergence Protocol) SN (Sequence Number) and HFN (Hyper Frame Number) status from the source eNB to the target eNB during an X2 handover for each respective E-RAB for which PDCP SN and HFN status preservation applies. These E-RAB(s) are identified in the handover preparation phase based on the RRC Context parameters in the Handover Request.
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The source eNB initiates the SN Status Transfer procedure. In so doing, it stops the assignment of PDCP SNs to downlink SDUs and stops delivering uplink SDUs towards the EPC (Evolved Packet Core). Finally it sends the SN Status Transfer message to the target eNB. For E-RAB that have had forwarding preservation agreed the source eNB forwards the uplink packets to the target eNB and routes downlink packets to the target eNB that will assign its own sequence numbers to the packets based on the value of the PDCP DL Count received from the target eNB. The information in the SN Status Transfer message includes: Old eNB UE X2AP ID - this is the X2 signaling association of the source eNB. New eNB UE X2AP ID - this is the X2 signaling association of the target eNB. E-RABs Subject to Transfer - this lists the E-RAB that have been identified to have forwarding applied based on their QoS. Each E-RAB will have the following parameters detailed for them:
Receive Status of UL PDCP SDUs - this optional parameter provides a bit map of missing PDCP Sequence Numbers. UL Count Value - this is the PDCP-SN and HFN of the next uplink SDU (Service Data Unit) to be forwarded to the EPC. DL Count Value - this is the PDCP-SN and HFN of the first downlink SDU to be formatted into a PDCP SU for delivery to the UE.
UE Context Release
The UE Context Release message is sent once a handover has been successfully completed and enables the source eNB to release all resources associated with the UE.
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Handover Cancel
The Handover Cancel message is sent from the source eNB to the target eNB to cancel a handover that is currently in progress. Figure 7-6 X2 Handover Cancel
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Figure 7-8 illustrates how two of the Load Indication message parameters can be set to indicate the uplink overload and interference requirements on an eNB. Figure 7-8 X2 Uplink Interference
0 1 1 0 Medium Medium Medium High PRB 0 PRB 1 PRB 2 PRB 3 UL Interference Overload Indication
0 High PRB 4
0 Low PRB 5
The Load Indication message also provides the Relative Narrowband Tx Power bitmap and associated parameters. This effectively indicates to neighboring cells the power levels transmitted per PRB. Figure 7-9 Downlink RNTP
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eNB1 Measurement ID eNB2 Measurement ID (C) - If Registration Stop Registration Request - Start or Stop Report Characteristics (O) Cell To Report Reporting Periodicity (O) Resource Status Request Resource Status Response
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7.1.8 X2 Setup
The purpose of the X2 Setup procedure is to exchange application level configuration data needed for two eNBs to interoperate correctly over the X2 interface. This procedure erases any existing application level configuration data in the two nodes and replaces it by the one received. This procedure also resets the X2 interface in a similar fashion to a Reset procedure.
X2 Setup Request
The X2 Setup Request message includes: Global eNB ID - this is the global id of the eNB and is expressed as the first 20bits of the cell ID in the case of a macro eNB and for a home eNB it is the entire 28bit cell identity. Served Cells - this contains a list of the cells supported by the eNB. For each cell the following information is provided:
ECGI (E-UTRAN Cell Global Identifier). PCI (Physical Cell Identifier). EARFCN (E-UTRA Absolute Radio Frequency Channel Number). TAC (Tracking Area Code). Broadcast PLMNs - including FDD and TDD configuration. Neighbor Cells - including ECGI, PCI and EARFCN.
GU Group ID (Globally Unique Group Identifier) - this is all the pools to which the eNB belongs to.
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Global eNB ID Served Cells - Served Cell Information - Neighbor Information -- ECGI -- PCI -- EARFCN GU Group Id List (C) X2 Setup Request X2 Setup Response
Global eNB ID Served Cells - Served Cell Information - Neighbor Information -- ECGI -- PCI -- EARFCN GU Group Id List (C) Criticality Diagnostics
X2 Setup Response
The X2 Setup Response message simply reflects the information included in the request but this time the values are associated with the neighbor that received the request message.
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a change of eNBs within the SAE/LTE (Inter MME/Serving SAE-GW Handovers) via the S1 interface (within EPC involvement). a change of RAN nodes between different RATs (Inter-3GPP-RAT Handovers) via the S1 interface (with EPC involvement).
Paging - this functionality provides the EPC with the capability to page the UE. S1 Interface Management - this function comprise of the:
Reset functionality - this ensures a well defined initialization on the S1 interface. Error Indication - this is to allow proper error reporting/handling in cases where no failure messages are defined. Overload - this is used to indicate the load situation in the Control Plane of the S1 interface. Load balancing -this is used to ensure equally loaded MMEs within an MME pool area. S1 Setup - this is used for initial S1 interface setup for providing configuration information. eNB and MME Configuration Update - these are used to update application level configuration data needed for the eNB and MME to interoperate correctly on the S1 interface.
NAS Signaling Transport - this is between the UE and the MME and is used to:
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transfer NAS signaling related information and to establish the S1 UE context in the eNB. transfer NAS signaling related information when the S1 UE context in the eNB is already established.
S1 UE Context Release - this functionality manages the release of UE specific contexts in the eNB and the MME. UE Context Modification - this functionality allows the partial modification of the established UE Context. Status Transfer - this functionality transfers PDCP SN Status information from the source eNB to target eNB in support of in-sequence delivery and duplication avoidance for intra LTE handover. Trace - this functionality is to control a trace recording for a UE in ECM_CONNECTED. Location Reporting - this functionality allows MME to be aware of the UEs current location. S1 CDMA2000 Tunneling - this functionality is to carry CDMA2000 signaling between the UE and CDMA2000 RAT over the S1 interface. Warning Message Transmission - this functionality provides the means to start and overwrite the broadcasting of warning messages. RIM (RAN Information Management) - this functionality allows the request and transfer of RAN system information (e.g. GERAN system information) between two RAN nodes via the core network. Configuration Transfer - this functionality allows the request and transfer of RAN configuration information (e.g. SON information) between two RAN nodes via the core network.
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Handover Cancellation E-RAB Setup E-RAB Modify E-RAB Release Initial Context Setup
HANDOVER CANCEL E-RAB SETUP REQUEST E-RAB MODIFY REQUEST E-RAB RELEASE COMMAND INITIAL CONTEXT SETUP REQUEST RESET S1 SETUP REQUEST UE CONTEXT RELEASE COMMAND UE CONTEXT MODIFICATION REQUEST ENB CONFIGURATION UPDATE MME CONFIGURATION UPDATE WRITE-REPLACE WARNING REQUEST
HANDOVER CANCEL ACKNOWLEDGE E-RAB SETUP RESPONSE E-RAB MODIFY RESPONSE E-RAB RELEASE RESPONSE INITIAL CONTEXT SETUP RESPONSE RESET ACKNOWLEDGE S1 SETUP RESPONSE UE CONTEXT RELEASE COMPLETE UE CONTEXT MODIFICATION RESPONSE ENB CONFIGURATION UPDATE ACKNOWLEDGE MME CONFIGURATION UPDATE ACKNOWLEDGE WRITE-REPLACE WARNING RESPONSE UE CONTEXT MODIFICATION FAILURE ENB CONFIGURATION UPDATE FAILURE MME CONFIGURATION UPDATE FAILURE S1 SETUP FAILURE INITIAL CONTEXT SETUP FAILURE
Write-Replace Warning
The S1AP also include various Class 2 procedures which are always considered to be successful and therefore do not require a response. Table 7-4 S1AP Class 2 Elementary Procedures Elementary Procedure Handover Notification E-RAB Release Indication Message HANDOVER NOTIFY E-RAB RELEASE INDICATION
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Paging Initial UE Message Downlink NAS Transport Uplink NAS Transport NAS non delivery indication Error Indication UE Context Release Request DownlinkS1 CDMA2000 Tunneling Uplink S1 CDMA2000 Tunneling UE Capability Info Indication eNB Status Transfer MME Status Transfer Deactivate Trace Trace Start Trace Failure Indication Location Reporting Control Location Reporting Failure Indication Location Report Overload Start Overload Stop eNB Direct Information Transfer MME Direct Information Transfer eNB Configuration Transfer MME Configuration Transfer Cell Traffic Trace
PAGING INITIAL UE MESSAGE DOWNLINK NAS TRANSPORT UPLINK NAS TRANSPORT NAS NON DELIVERY INDICATION ERROR INDICATION UE CONTEXT RELEASE REQUEST DOWNLINK S1 CDMA2000 TUNNELING UPLINK S1 CDMA2000 TUNNELING UE CAPABILITY INFO INDICATION eNB STATUS TRANSFER MME STATUS TRANSFER DEACTIVATE TRACE TRACE START TRACE FAILURE INDICATION LOCATION REPORTING CONTROL LOCATION REPORTING FAILURE INDICATION LOCATION REPORT OVERLOAD START OVERLOAD STOP eNB DIRECT INFORMATION TRANSFER MME DIRECT INFORMATION TRANSFER eNB CONFIGURATION TRANSFER MME CONFIGURATION TRANSFER CELL TRAFFIC TRACE
7.2.3 S1 Setup
The S1 Setup procedure is used to exchange configured data which is required in the MME and in the eNB respectively to ensure a proper interoperation. The S1 Setup procedure is triggered by the eNB and is the first S1AP procedure which will be executed. Figure 7-15 illustrates the S1 Setup Request parameters.
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The eNB informs the MME of its Global eNB Identity, supported TA (Tracking Areas), Broadcasted PLMN(s) and CSG information, as well as Default Paging DRX information. In response to the S1 Setup Request messages the MME sends a S1 Setup Response. This includes the served GUMMEI(s) and relative MME capacity. In addition, this message can also include a MME name, e.g. Primary MME. Figure 7-16 S1 Setup Response
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Initial UE Message
When the eNB has received, from the radio interface, the first Uplink NAS message transmitted on an RRC connection to be forwarded to an MME, the eNB invokes the NAS Transport procedure and sends the Initial UE Message to the MME including the NAS message as a NAS-PDU. Note that the first Uplink NAS message is always received in the RRC Connection Setup Complete message. The Initial UE Message contains the following information: eNB - UE S1AP ID - the eNB allocates a unique eNB UE S1AP ID to be used for the UE and this identifies the UE association over the S1 interface. NAS PDU - this contains the NAS message, e.g. EMM Attach with PDN Connectivity Request. TAI - this contains the PLMN Code and TA Code of the TA in which the UE has sent the NAS message. E-UTRAN CGI - contains the cell identify from which the UE has sent the NAS message. S-TMSI - this is the identity of the UE and is sent to the MME if it was received on the air interface. CSG ID - this identifies the CSG (Closed Subscriber Group). RRC Establishment Cause - indicates to the MME the reason for RRC connection establishment. GUMMEI - conveys the Globally Unique MME Identity.
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The Downlink NAS Transport message contains the identifiers referencing the UE, the NAS-PDU and a possible Handover Restriction List. The latter is used to update the eNB on roaming area or access restrictions. The Uplink NAS Transport message is similar, however the current E-UTRAN CGI and TAI are added.
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UE Context Modification
The purpose of the UE Context Modification procedure is to modify the established UE Context. It enables the MME to modify the: Security Key. Subscriber Profile ID for RAT/Frequency priority. UE Aggregate Maximum Bit Rate. CS Fallback Indicator.
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Figure 7-22 illustrates the E-RAB Setup Response message and the eNB E-RAB address parameters for downlink data delivery. Figure 7-22 S1 E-RAB Setup Response
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If the eNB wants to remove all remaining E-RABs e.g. for user inactivity, the UE Context Release Request procedure is used instead.
7.2.8 S1 Handover
The E-UTRAN supports multiple scenarios for handover, for example intra MME, inter MME, inter S-GW, inter RAT, etc. For these different scenarios typically the same message set is used, however the information elements within the messages may be different. A handover involves three phases: Handover preparation. Handover resource allocation. Handover notification. Correlation of S1AP handover messages is examined in Section 8.2 . Figure 7-24 illustrates a scenario resulting in an intra MME handover with possible S-GW change.
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The message contains the following information elements: MME UE S1AP ID - this is used to associate signaling relating to a specific UE on the S1 interface at the MME. eNB UE S1AP ID - this is used to associate signaling relating to a specific UE on the S1 interface at the eNB. Handover Type - this defines the type of handover that is required. These include:
Cause - this element indicates to the MME the reason for the handover including reasons with the radio network layer, transport network layer, NAS and protocol. Target ID - for intra LTE mobility this is the Global eNB ID and is expressed as the first 20bits of the cell ID in the case of macro eNB and for Home eNB it is the entire 28bit cell identity. For inter-RAT mobility this parameter relates to the target cell, e.g. the CGI (Cell Global Identifier). Direct Forwarding Path Availability - this indicates to the MME if traffic can be forwarded directly from the source to the target eNB or if it must be routed through the EPC. SRVCC HO Indication - this indicates that SRVCC (Single Radio Voice Call Continuity) procedures need to be supported as part of this handover. SRVCC is the architecture defined to ensure call continuity between IMS, over PS access, and CS access for calls that are anchored in the IMS when the UE is capable of transmitting/receiving on only one of those access networks at a given time.
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Source to Target Transparent Container - this element contains the transparent container which includes radio related information that must be passed between the source and target eNB through the EPC. Note that depending on the mobility scenarios it could include inter-RAT containers. In addition, when SRVCC is used and the handover is to GERAN with DTM (Dual Transfer Mode) HO support a secondary Source to Target Transparent Container is sent. MS (Mobile Station) Classmark 2 and 3 - these are included as part of a SRVCC handover to GERAN.
The Handover Command message includes similar parameters to other S1 messages. In addition, it includes NAS security parameters when handing over from E-UTRAN to a 3G/2G system. It also indicates if any of the E-RAB need to be released.
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The Request Type parameter is part of Location Reporting and is detailed in Section 7.2.14
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7.2.13 Reset
The purpose of the Reset procedure is to initialize or re-initialize the E-UTRAN, or part of E-UTRAN S1AP UE-related contexts, in the event of a failure in the EPC or vice versa. Figure 7-35 S1 Reset
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7.2.15 Overload
The purpose of the Overload Start procedure is to inform an eNB to reduce the signaling load towards the concerned MME. Figure 7-37 Overload Start
The Overload Start message indicates the Overload Action to be performed. This is either: Reject all RRC connection establishments for non-emergency Mobile Originated Direct Transfer. Reject all RRC connection establishments for Signaling. Permit Emergency Sessions only.
Overload Stop
The purpose of the Overload Stop procedure is to signal to an eNB the MME is connected to that the overload situation at the MME has ended and normal operation can resume.
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7.2.17 Paging
The paging of UEs in Idle Mode is facilitated by the MME to send a Paging message to all eNBs managing the UEs TAI (Tracking Area Identity) or TAIs. Figure 7-38 illustrates the Paging message and its parameter. Figure 7-38 Paging
UE Identity Index Value UE Paging Identity Paging DRX (O) CN Domain List of TAIs - TAI CSG Id List (O) - CSG Id Paging
The key parameters include: UE Identity Index Value - this is used by the eNB for calculating the paging occurrence. The value relates to the IMSI mod 1024. UE Paging Identity - this is the S-TMSI for the UE. Paging DRX (O) - this indicates the default Paging DRX value. CN Domain - this indicates whether this is a PS (Packet Switched) or CS (Circuit Switched) paging request. List of TAIs - this indicates to the eNB which TAI(s) the paging message should be send. CSG Id List - this indicates which CSG (Closed Subscriber Group) Identity cells should be paged.
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Each GTP Tunnel supports one EPS Bearer, i.e. E-RAB. Thus multiple tunnels exist for multiple UEs.
The parameters in the header include: Version - this field is used to determine the version of the GTP-U protocol, i.e. version 1. PT (Protocol Type) - this bit is used as a protocol discriminator between GTP (when PT is '1') and GTP (when PT is '0'). Note GTP is not used in the E-UTRAN. E (Extension) - this flag indicates the presence of a meaningful value of the Next Extension Header Type field. When it is set to '1', the Next Extension Header field is present and interpreted.
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S (Sequence) - this flag indicates the presence of a meaningful value of the Sequence Number field. For the Echo Request, Echo Response, Error Indication and Supported Extension Headers Notification messages, the S flag is be set to '1'. Since the use of Sequence Numbers is optional for G-PDUs, the PDN-GW, S-GW and eNB should set the flag to '0'. However, when a G-PDU is being relayed by the Indirect Data Forwarding for Inter RAT HO procedure, then if the received G-PDU has the S flag set to '1', then the relaying entity shall set S flag to '1' and forward the G-PDU. PN (N-PDU Number) - this flag indicates the presence of a meaningful value of the N-PDU Number field. When it is set to '1', the N-PDU Number field is present and interpreted. Message Type - this field indicates the type of GTP-U message. Length - this field indicates the length in octets of the payload, i.e. the rest of the packet following the mandatory part of the GTP header (that is the first 8 octets). TEID (Tunnel Endpoint Identifier) - this field unambiguously identifies a tunnel endpoint in the receiving GTP-U protocol entity. The receiving end side of a GTP tunnel locally assigns the TEID value the transmitting side has to use. The TEID is used by the receiving entity to find the EPS Bearer, except for the following cases:
The Echo Request/Response and Supported Extension Headers notification messages, where the Tunnel Endpoint Identifier is set to all zeroes. The Error Indication message where the Tunnel Endpoint Identifier is set to all zeros.
Optional Fields
Sequence Number - this is used for G-PDUs, an increasing sequence number for the original IP packets transmitted via GTP-U tunnels, when transmission order must be preserved. N-PDU Number - this is used at the Inter SGSN Routing Area Update procedure and some inter-system handover procedures (e.g. between 2G and 3G radio access networks). It coordinates the data transmission for acknowledged mode of communication between the 2G MS (Mobile Station) and the SGSN (Serving GPRS Support Node). Next Extension Header Type - this defines the type of Extension Header that follows this field in the GTP-PDU, e.g. PDCP PDU number.
Following the Extension Header Content a Next Extension Header Content is added. This indicates if an additional extension header is added, if not, it is set to zero. Currently there are two defined extension headers, namely UDP Port and PDCP PDU number.
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For the GTP-U tunnel setup between two nodes for forwarding user traffic, e.g. between eNBs for direct forwarding over X2, Echo Request path maintenance message are not sent except if the forwarded data and the normal data are sent over the same path.
Path Failure
A path counter is used to manage each path. This is used in conjunction with a T3-Response Timer and N3-Requests parameter. The path counter is reset each time an Echo Response is received on the path and incremented when the T3-Response Timer expires for any Echo Request message sent on the path. The path is classed as down if the counter exceeds N3-Requests. In this case, the GTP-U peer may notify the Operation and Maintenance network element. In addition, the GTP-U peer will also notify the upper layer of the path failure, so that EPS contexts associated with the path may be deleted. The recommended value for the N3-Requests parameter is 5 and the T3-Response Timer is usually 20 seconds.
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This message is sent only in case a GTP entity was required to interpret a mandatory Extension Header but the GTP entity was not yet upgraded to support that extension header. The peer GTP entity may retry to use all the extension headers with that node, in an attempt to verify it has been upgraded.
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8 Mobility in LTE
8
About This Chapter
The following table lists the contents of this chapter. Section 8.1 X2 Handover 8.2 S1 Handover 8.3 Inter RAT Handover
Mobility in LTE
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8.1 X2 Handover
8.1.1 Handover Phases
In the RRC Connected mode the system performs network controlled UE assisted handovers. Broadly, this process may be divided into three distinct phases. These are: Measurement and Reporting - the UE takes measurements of neighbor cells and reports these to the serving eNB. The periodicity and radio characteristics of these reports are indicated to the UE through dedicated signaling. Handover Preparation Phase - based on the UE measurements, the most suitable candidate, i.e. target eNB, is identified. Interaction across the X2 interface takes place to allocate resources on the target eNB and to transfer context information. The target eNB provides information, via the source eNB, to access the new cell. Conduct Handover - once the UE has accessed information for the target cell, it conducts the Random Access procedure to gain access and acquire timing information. Once on the new eNB, the packet flow from the S-GW can be switched from the source eNB to the target eNB. Finally, resources on the old eNB are released and context information within the EPC is updated. Figure 8-1 Handover Phases
When handovers are conducted, the eNB must make sure that the eNB cells that are candidates for handover comply with roaming and mobility restrictions for the specific UE. Consequently, the UE Context within the source eNB contains information regarding roaming restrictions which were provided either at connection establishment or during the last Tracking Area Update. The source eNB configures the UEs measurement procedures according to this area restriction information.
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Figure 8-2 illustrates the main type of handover, namely an X2 based handover whilst maintaining PDCP sequencing, i.e. providing a lossless service. Figure 8-2 X2 Based Handover with Lossless PDCP
Target
PRACH Preamble Random Access Response RRC Connection Reconfiguration Complete PDCP Status Report PDCP Status Report UE Context Release End Marker (GTP-U Message) Path Switch Request Ack End Marker (GTP-U Message) Path Switch Request
Measurement Report
The information in the Measurement Report messages from the UE will include serving cell information, as well as the Physical Cell ID for the handover candidates. It will also include the requested measurement, e.g. RSRP (Reference Signal Received Power) or RSRQ (Reference Signal Received Quality). This enables the serving eNB to rank the candidates and identify the most suitable one with which to conduct the handover. Note that various offsets could be used to encourage or discourage handovers from certain cells. Section 4.4.10 discusses the configuration of measurement results.
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Bearer) information, and associated QoS. Full details of the message are discussed in Section 7.1.5 . Admission Control is performed by the target eNB dependent on the received EPS Bearer QoS information. Assuming resources are available, the target eNB reserves the required resources and allocates a C-RNTI and optionally a RACH preamble. The target eNB sends the Handover Request Acknowledge message to the source eNB. This message includes a transparent container to be sent to the UE, i.e. a RRC Connection Reconfiguration Request message. This includes a new C-RNTI, target eNB security algorithm identifiers for the selected security algorithms and dedicated RACH preamble information.
The Mobility Control Information parameters include: Target Physical Cell ID - this indicates the Physical Cell ID (0-503). Carrier Frequency - this indicates the target cell downlink and uplink E-ARFCN. Carrier Bandwidth - this indicates the target cell downlink and uplink bandwidth. Additional Spectrum Emission - this indicates additional emission information, i.e. indicates that the UE should not exceed a specified level for the specified channel bandwidth. T304 - this is the handover timer. If the handover has not been finished and on completion of this timer the handover failure procedure is initiated. Values include: ms50, ms100, ms150, ms200, ms500, ms1000 and ms2000. New UE Identity - this is the UEs C-RNTI on the new cell. Radio Resource Config Common - this provides information about common parameters, i.e. information which is broadcast from the target cell.
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Rach-Config Dedicated - this can assign a dedicated preamble index (0-63) and a PRACH Mask Index.
Random Access
Using the assigned information (from the RRC Connection Reconfiguration Request message) the UE is able to access the target cell and obtain an initial uplink allocation, as well as timing information. Following this, the UE is able to send the RRC Connection Reconfiguration Complete message to the target eNB (stopping T304).
In addition, the UE upon completing the handover to the target eNB exchanges PDCP Status Report PDUs. These are discussed in Section 5.1.3 and indicate the UEs PDCP Status to the target eNB. In so doing, the target eNB is able to identify missing PDCP packets from the downlink perspective, as well as indicate to the UE missing uplink PDCP packets. As a result, the UE and eNB are able to re-send the packets.
Path Switch
The forwarding of downlink user data from the source to the target eNB now takes place. The target eNB sends a S1AP Path Switch message (discussed in Section 7.2.9 ) to the MME to inform it that the UE has changed cell and identifies the new eNB supporting the cell. The
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MME sends a GTPv2-C Modify Bearer Request message to the S-GW which switches the downlink data path to the target side and releases any User Plane resources towards the source eNB. Once this has been completed, the S-GW sends a Modify Bearer Response message to the MME which confirms the path switch with the Path Switch Ack message. Finally, the target eNB is able to send a x2AP UE Context Release message to the old eNB.
End Marker
To indicate that the S-GW has stopped sending data to the source eNB, it sends a GTP End Marker message (discussed in Section 7.3.6 ) on GTP-U to the source eNB, which in turn forwards it to the target eNB.
RLC-AM DRBs
Upon handover, the source eNB may forward, in order, to the target eNB all downlink PDCP SDUs with an SN that has not been acknowledged by the UE. In addition, the source eNB may also forward without a PDCP SN fresh data arriving over S1 to the target eNB. It is worth noting that the target eNB does not have to wait for the completion of forwarding from the source eNB before it begins transmitting packets to the UE. Upon handover, the source eNB forwards to the Serving Gateway the uplink PDCP SDUs successfully received in-sequence until the sending of the Status Transfer message to the target eNB. Then, at that point in time, the source eNB stops delivering uplink PDCP SDUs to the S-GW. Following this, the source eNB can either: Discard the uplink PDCP SDUs received out of sequence - this assumes that the source or target eNB has not accepted the forwarding of uplink SDUs. Forward to the target eNB the uplink PDCP SDUs received out of sequence - this assumes that the source eNB and target eNB have agreed to do this as part of the handover preparation phase.
SRB Handling
With respect to SRBs, the following principles apply at HO: No forwarding or retransmissions of RRC messages in the target. The PDCP SN and HFN are reset in the target.
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8.2 S1 Handover
Fundamentally, an S1 based handover is triggered when the source eNB wants to handover to another cell and the X2 interface (with associated X2AP) is not configured. There are a number of different S1 based handovers, with most utilizing the same set of messages.
The Target MME then sends the S1AP Handover Request message to the Target eNB including a list of the EPS bearers to transfer. Furthermore, the message also includes the
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necessary parameters to establish an uplink tunnel between the Target eNB and the Target S-GW for uplink traffic. The Target eNB responds with the Handover Request Acknowledge message which included the various TEIDs to support downlink traffic. The MME then passes this information to the Target S-GW enabling the bi-directional tunnel between the Target eNB and Target S-GW to become operational. It should be noted however at this stage, data is still passing through the existing equipment: Source eNB, Source S-GW and PDN-GW. Upon receiving the Create Indirect Data Forwarding Tunnel Response message, the MME sends the Source MME the Forward Relocation Response message containing a transparent container with the Handover Command message from the Target eNB. It also contains addressing information enabling the Source S-GW to be able to start forwarding data to the Target S-GW. This information is then passed to the Source S-GW through the Create Indirect Data Forwarding Tunnel signaling exchange. A uni-directional tunnel now exists between the Source S-GW and the Target S-GW.
The UE then detaches from the old cell and synchronizes with the Target eNB before sending the RRC Connection Reconfiguration Complete message. This triggers the Target eNB to
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send the Target MME the S1AP Handover Notify message which in turn informs the Source MME that the Forward Relocation procedure is complete. Finally, the Target MME sends the Modify Bearer Request message to the Target S-GW which in turn sends it to the PDN-GW, triggering it to direct downlink data for the EPS bearers to the Target S-GW. This phase culminates with the sending of the Modify Bearer Response messages between the PDN-GW, Target S-GW and Target MME.
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Handover Required
Forward Relocation Request Relocation Request Relocation Request Ack Forward Relocation Response
Create Indirect Data Forwarding Tunnel Request Create Indirect Data Forwarding Tunnel Response
The remaining elements of the procedure follow standard UTRAN Relocation mechanisms with the exception of the Target SGSN sending the Forward Relocation Complete Notification message to the MME. Finally, the Source S-GW informs the PDN-GW of a modification to
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the bearer using the Modify Bearer Request / Response messages. In addition, the MME is able to release the S1 resources. Figure 8-9 E-UTRAN to UTRAN Handover Continued
Handover Command Handover from E-UTRAN Handover to Relocation Complete UTRAN Command Forward Relocation Complete Notification Forward Relocation Complete Ack UE Context Release Modify Bearer Request Command Modify Bearer Response UE Context Release Complete
It should be noted that this is only one example of how this procedure may take place and in reality, there may be a number of additional elements which may become involved if necessary. These include additional S-GWs, as well as the establishment of various direct tunnels in the EPC.
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9
Numerics
16 QAM (Quadrature Amplitude Modulation) 64QAM (Quadrature Amplitude Modulation) 2G (Second Generation) 3G (Third Generation) 3GPP (Third Generation Partnership Project) 4G (Fourth Generation)
Glossary
CGI (Cell Global Identifier) CQI (Channel Quality Indication) CRF (Charging Rules Function) CS (Circuit Switched) CSG (Closed Subscriber Group)
D
D/C (Data/Control) dB (Decibels) DCCH (Dedicated Control Channel) DL-SCH (Downlink - Shared Channel) DRB (Data Radio Bearer) DRX (Discontinuous Reception) DSCP (Differentiated Services Code Point) DTCH (Dedicated Traffic Channel) DTM (Dual Transfer Mode)
A
AAA (Access Authorization and Accounting) AC (Access Class) AES (Advanced Encryption Standard) AKA (Authentication and Key Agreement) AM (Acknowledged Mode) AMBR (Aggregate Maximum Bit Rate) AMD (Acknowledged Mode Data) APN (Access Point Name) APN AMBR (Access Point Name Aggregate Maximum Bit Rate) ARP (Allocation and Retention Priority) AS (Access Stratum)
E
E (Extension) EARFCN (E-UTRA Absolute Radio Frequency Channel Number) ECGI (E-UTRAN Cell Global Identifier) ECI (Evolved Cell Identity) EIR (Equipment Identity Register) EMM (EPS Mobility Management) eNB (Evolved Node B) EP (Elementary Procedures) EPC (Evolved Packet Core) ePDG (evolved Packet Data Gateway) EPS (Evolved Packet System) E-RAB (E-UTRAN - Radio Access Bearer) ESM (EPS Session Management) ESM (Evolved Session Management)
B
BCCH (Broadcast Control Channel) BCH (Broadcast Channel) BI (Backoff Indicator) BSR (Buffer Status Report)
C
C (Conditional) CCCH (Common Control Channel)
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E-UTRA (Evolved - Universal Terrestrial Radio Access) E-UTRAN (Evolved - Universal Terrestrial Radio Access Network)
L
LCG ID (Logical Channel Group Identity) LCID (Logical Channel Identifier) LI (Length Indicator) LSF (Last Segment Flag) LTE (Long Term Evolution)
F
FAC (Final Assembly Code) FDD (Frequency Division Duplex) FI (Frame Information) FO (First-Order)
G
GBR (Guaranteed Bit Rate) GERAN (GSM/EDGE Radio Access Network) GTP (GPRS Tunneling Protocol) GTP-U (GPRS Tunneling Protocol - User) GTPv1-U (GPRS Tunneling Protocol Version 1 - User Plane) GTPv2-C (GPRS Tunneling Protocol Version 2 - Control) GU Group ID (Globally Unique Group Identifier) GUMMEI (Globally Unique MME Identifier) GUTI (Globally Unique Temporary Identity)
M
M (Mandatory) MAC (Medium Access Control) MAC-I (Message Authentication Code - Integrity) MAG (Mobile Access Gateway) MCC (Mobile Country Code) ME (Mobile Equipment) MIB (Master Information Block) MIMO (Multiple Input Multiple Output) MME (Mobility Management Entity) MMEC (MME Code) MNC (Mobile Network Code) MS (Mobile Station) MSB (Most Significant Bits) MSIN (Mobile Subscriber Identity Number) M-TMSI (MME - Temporary Mobile Subscriber Identity)
H
HA (Home Agent) HARQ (Hybrid Automatic Repeat Request) HeNB (Home Evolved Node B) HeNB-GW (Home Evolved Node B - Gateway) HFN (Hyper Frame Number) HPLMN (Home Public Land Mobile Network) HRPD (High Rate Packet Data) HSS (Home Subscriber Server)
N
NAS (Non Access Stratum) non-GBR (non - Guaranteed Bit Rate) NSAPI (Network layer Service Access Point Identifier)
O
O (Optional) O&M (Operations and Maintenance) OFDMA (Orthogonal Frequency Division Multiple Access)
I
IE (Information Elements) IETF (Internet Engineering Task Force) IMEI (International Mobile Equipment Identity) IMS (IP Multimedia Subsystem)
P
P (Polling)
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PBCH (Physical Broadcast Channel) PBR (Prioritized Bit Rate) PCCH (Paging Control Channel) PCFICH (Physical Control Format Indicator Channel) PCH (Paging Channel) PCI (Physical Cell Identifier) PCRF (Policy and Charging Rules Function) PDCCH (Physical Downlink Control Channel) PDCP (Packet Data Convergence Protocol) PDF (Policy Decision Function) PDN (Packet Data Network) PDSCH (Physical Downlink Shared Channel) PDU (Protocol Data Unit) PH (Power Headroom) PHICH (Physical Hybrid ARQ Indicator Channel) PHR (Power Headroom Report) PHY (Physical Layer) PL (Pathloss) PLMN (Public Land Mobile Network) PMIP (Proxy Mobile IP) PN (N-PDU Number) PRACH (Physical Random Access Channel) PRB (Physical Resource Block) PS (Packet Switched) PT (Protocol Type) PUCCH (Physical Uplink Control Channel) PUSCH (Physical Uplink Shared Channel)
RAT (Radio Access Technology) RB (Radio Bearer) RLC (Radio Link Control) RLF (Radio Link Failure) RNC (Radio Network Controller) RNL (Radio Network Layer) RNTP (Relative Narrowband Tx Power) ROHC (Robust Header Compression) RR (Radio Resource) RRC (Radio Resource Control) RRM (Radio Resource Management) RSRP (Reference Signal Received Power) RSRQ (Reference Signal Received Quality)
S
S (Sequence) S1AP (S1 Application Protocol) SC-FDMA (Single Carrier Frequency Division Multiple Access) SCTP (Stream Control Transmission Protocol) SDF (Service Data Flow) SDU (Service Data Unit) SGSN (Serving GPRS Support Node) S-GW (Serving - Gateway) SI (System Information) SIB 1 (System Information Block 1) SMS (Short Message Service) SN (Sequence Number) SNR (Serial Number) SO (Second-Order) SO (Segment Offset) SPS (Semi-Persistent Scheduling) SRB (Signaling Radio Bearer) SRNC (Serving RNC) SRS (Sounding Reference Signal) SRVCC (Single Radio Voice Call Continuity) S-TMSI (Serving - Temporary Mobile Subscriber Identity)
Q
QCI (QoS Class Identifier) QoS (Quality of Service) QPSK (Quadrature Phase Shift Keying)
R
RA (Random Access) RACH (Random Access Channel) RAI (Routing Area Identity) RAN (Radio Access Network) RAPID (Random Access Preamble Identifier) RAR (Random Access Response)
T
TA (Timing Advance) TA (Tracking Areas) TAC (Tracking Area Code)
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TAC (Type Approval Code) TAI (Tracking Area Identity) TAU (Tracking Area Update) TB (Transport Block) TCP (Transmission Control Protocol) TCP/IP (Transmission Control Protocol, Internet Protocol) TDD (Time Division Duplex) TEID (Tunnel Endpoint Identifier) TFT (Traffic Flow Template) Thresh1 (Threshold1) Thresh2 (Threshold2) TM (Transparent Mode) TMD (Transparent Mode Data) TNL (Transport network Layer) TPC (Transmit Power Control) TTT (Time To Trigger)
U
UDP (User Datagram Protocol) UE (User Equipment) UE AMBR (User Equipment Aggregate Maximum Bit Rate) UL (Uplink) UL-SCH (Uplink Shared Channel) UM (Unacknowledged Mode) UMD (Unacknowledged Mode Data) USIM (Universal Subscriber Identity Module) UTRA (Universal Terrestrial Radio Access) UTRAN (Universal Terrestrial Radio Access Network)
V
VoIP (Voice over IP) VPLMN (Visited Public Land Mobile Network)
W
WCDMA (Wideband CDMA)
X
X2AP (X2 Application Part) X2AP (X2 Application Protocol)
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Cautioned Words
1 IMSI/IMEI/IP Address
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