LTE Protocols and Procedures

LTE Protocols and Procedures
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
2 EPS Protocols ............................................................................................................................2-13

2.1 EPS Signaling.............................................................................................................................................. 2-14
2.2 EPS Protocols .............................................................................................................................................. 2-15
2.2.1 NAS Functionality ............................................................................................................................. 2-15
2.2.2 NAS Concepts and Identities ............................................................................................................. 2-16
2.2.3 EMM and ESM .................................................................................................................................. 2-18
2.2.4 NAS States and State Transitions ....................................................................................................... 2-20
2.2.5 Uu Interface ....................................................................................................................................... 2-22
2.2.6 Uu Interface - RRC ............................................................................................................................ 2-23
2.2.7 Uu Interface - PDCP .......................................................................................................................... 2-23
2.2.8 Uu Interface - RLC ............................................................................................................................ 2-24
2.2.9 Uu Interface - MAC ........................................................................................................................... 2-25
2.2.10 Uu Interface - Physical ..................................................................................................................... 2-25
2.2.11 X2 Interface...................................................................................................................................... 2-26
2.2.12 X2 Interface - X2 Application Protocol ........................................................................................... 2-26
2.2.13 X2 Interface - Stream Control Transmission Protocol ..................................................................... 2-27
2.2.14 X2 Interface - GPRS Tunneling Protocol - User .............................................................................. 2-27
2.2.15 S1 Interface ...................................................................................................................................... 2-27
2.2.16 S1 Interface - S1 Application Protocol............................................................................................. 2-28
2.2.17 S1 Interface - SCTP and GTP-U ...................................................................................................... 2-28
2.2.18 S11 Interface .................................................................................................................................... 2-29
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Huawei Proprietary and Confidential

Copyright Huawei Technologies Co., Ltd
Contents

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
3 LTE/SAE Quality of Service ...................................................................................................3-32

3.1 EPS Bearer Services and E-UTRA Radio Bearers ...................................................................................... 3-33
3.1.1 QoS in Packet Switched Networks .................................................................................................... 3-33
3.1.2 LTE Bearers ....................................................................................................................................... 3-33
3.1.3 The Default EPS Bearer ..................................................................................................................... 3-35
3.1.4 Dedicated EPS Bearers ...................................................................................................................... 3-35
3.1.5 EPS QoS Parameters .......................................................................................................................... 3-35
3.2 E-UTRA Radio Bearers ............................................................................................................................... 3-37
3.2.1 Signaling Radio Bearers..................................................................................................................... 3-37
3.2.2 Data Radio Bearers ............................................................................................................................ 3-37
3.2.3 Radio Bearer QoS .............................................................................................................................. 3-38
4 Radio Resource Control ..........................................................................................................4-40

4.1 The RRC Layer ........................................................................................................................................... 4-41
4.1.2 Services Provided To Upper Layers ................................................................................................... 4-41
4.1.3 Services Expected From Lower Layers ............................................................................................. 4-41
4.2 RRC Structure ............................................................................................................................................. 4-42
4.3 RRC States .................................................................................................................................................. 4-42
4.3.2 Functions ............................................................................................................................................ 4-43
4.4 RRC Services .............................................................................................................................................. 4-45
4.4.1 System Information ............................................................................................................................ 4-45
4.4.2 Paging ................................................................................................................................................ 4-46
4.4.3 RRC Connection Establishment ......................................................................................................... 4-47
4.4.4 Initial Security Activation .................................................................................................................. 4-48
4.4.5 RRC Connection Reconfiguration ..................................................................................................... 4-48
4.4.6 RRC Connection Re-establishment.................................................................................................... 4-49
4.4.7 RRC Connection Release ................................................................................................................... 4-50
4.4.8 Radio Link Failure ............................................................................................................................. 4-50
4.4.9 Information Transfer .......................................................................................................................... 4-51
4.4.10 Measurement Configuration ............................................................................................................ 4-51
4.4.11 Handover Configuration ................................................................................................................... 4-56
4.4.12 Cell Selection ................................................................................................................................... 4-56
4.4.13 Cell Reselection ............................................................................................................................... 4-56
5 Packet Data Convergence Protocol .......................................................................................5-58

5.1 PDCP Operation .......................................................................................................................................... 5-59
5.1.1 Functions ............................................................................................................................................ 5-59
5.1.2 PDCP Header Compression Profiles .................................................................................................. 5-60
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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
6 Radio Link Control and Medium Access Control .............................................................6-66

6.1 RLC Functions ............................................................................................................................................ 6-67
6.1.1 Services Provided to Upper Layers .................................................................................................... 6-67
6.1.2 Services Expected from Lower Layers .............................................................................................. 6-67
6.1.3 Functions ............................................................................................................................................ 6-67
6.2 RLC Modes and Formatting ........................................................................................................................ 6-68
6.2.1 Transparent Mode .............................................................................................................................. 6-68
6.2.2 Unacknowledged Mode ..................................................................................................................... 6-68
6.2.3 Acknowledged Mode ......................................................................................................................... 6-69
6.2.4 TMD PDU .......................................................................................................................................... 6-70
6.2.5 UMD PDU ......................................................................................................................................... 6-71
6.2.6 AMD PDU ......................................................................................................................................... 6-72
6.2.7 RLC Timers ........................................................................................................................................ 6-75
6.2.8 Configurable Parameters .................................................................................................................... 6-75
6.3 MAC Functions ........................................................................................................................................... 6-75
6.4 MAC Architecture ....................................................................................................................................... 6-76
6.5 MAC Formatting ......................................................................................................................................... 6-77
6.5.1 MAC Headers .................................................................................................................................... 6-77
6.5.2 MAC Subheaders ............................................................................................................................... 6-78
6.5.3 Random Access Process ..................................................................................................................... 6-81
7 X2/S1 Interface and Protocols ................................................................................................7-84

7.1 X2AP Functions and Procedures ................................................................................................................. 7-85
7.1.2 Functions of the X2 Application Protocol .......................................................................................... 7-85
7.1.3 X2 Elementary Procedures ................................................................................................................. 7-86
7.1.4 Message Formatting ........................................................................................................................... 7-87
7.1.5 X2 Basic Mobility Procedures - Handover Preparation ..................................................................... 7-88
7.1.6 X2 Load Indication ............................................................................................................................ 7-92
7.1.7 X2 Resource Status Reporting ........................................................................................................... 7-94
7.1.8 X2 Setup ............................................................................................................................................ 7-95
7.1.9 X2 eNB Configuration ....................................................................................................................... 7-96
7.2 S1AP Functions and Procedures ................................................................................................................. 7-97
7.2.1 S1AP Functions.................................................................................................................................. 7-98
7.2.2 S1AP Elementary Procedures ............................................................................................................ 7-99
7.2.3 S1 Setup ........................................................................................................................................... 7-101
7.2.4 eNB and MME Configuration Update ............................................................................................. 7-103
7.2.5 NAS Transport ................................................................................................................................. 7-103
7.2.6 Initial Context Setup ........................................................................................................................ 7-105
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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
8 Mobility in LTE ......................................................................................................................8-127

8.1 X2 Handover ............................................................................................................................................. 8-128
8.1.1 Handover Phases .............................................................................................................................. 8-128
8.1.2 X2 Based Handover with Lossless PDCP ........................................................................................ 8-128
8.1.3 Data Forwarding .............................................................................................................................. 8-132
8.2 S1 Handover .............................................................................................................................................. 8-133
8.2.1 Inter MME and S-GW Handover ..................................................................................................... 8-133
8.2.2 S1 Status Transfer ............................................................................................................................ 8-135
8.3 Inter RAT Handover .................................................................................................................................. 8-136
8.3.1 E-UTRAN to UTRAN Handover..................................................................................................... 8-136
8.3.2 UTRAN to E-UTRAN Handover..................................................................................................... 8-137
9 Glossary ...................................................................................................................................9-138
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Figures
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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Figures
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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Figures
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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Figures
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...................................................................................................
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Figures
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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1 EPS Architecture
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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1-1
1 EPS Architecture
EPS Architecture
About This Chapter

The following table lists the contents of this chapter.
Section
1.1 EPS Network Elements
1.2 EPS Interfaces
1-2

Issue 06 (2006-03-01)
1 EPS Architecture
1.1 EPS Network Elements

The term EPS (Evolved Packet System) relates to the Evolved 3GPP Packet Switched
Domain. In contrast to the 2G and 3G networks defined by the 3GPP, LTE can be simply
divided into a flat IP based bearer network and a service enabling network. The former can be
further subdivided into the E-UTRAN (Evolved - Universal Terrestrial Radio Access Network)
and the EPC (Evolved Packet Core) where as support for service delivery lies in the IMS (IP
Multimedia Subsystem). This reference architecture can be seen in Figure 1-1
Figure 1-1 LTE Reference Architecture
IMS
HSS
CSCF
Video AS
E-UTRAN
EPC
MME
UE
eNB
eNB
S-GW
PDN-GW
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).
1.1.1 User Equipment

Like that of UMTS, the mobile device in LTE is termed the UE (User Equipment) and is
comprised of two distinct elements; the USIM (Universal Subscriber Identity Module) and the
ME (Mobile Equipment).
The ME supports a number of functional entities including:
RR (Radio Resource) - this supports both the Control Plane and User Plane and in so
doing, is responsible for all low level protocols including RRC (Radio Resource Control),
PDCP (Packet Data Convergence Protocol), RLC (Radio Link Control), MAC (Medium
Access Control) and the PHY (Physical) Layer.
EMM (EPS Mobility Management) - is a Control Plane entity which manages the
mobility management states the UE can exist in; LTE Idle, LTE Active and LTE
Detached. Transactions within these states include procedures such as TAU (Tracking
Area Update) and handovers.
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1 EPS Architecture
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
EPS Mobility Management

Registration
Tracking Area Update
Handover
Control
Plane
EPS Session Management

Bearer Activation
Bearer Modification
Bearer Deactivation
EPS Mobility & EPS

Session Management
UE
User
Plane
IP Adaptation
Function
Radio Resource
Radio Resource
RRC, PDCP, RLC, MAC &
PHY Layer Protocols
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
1-4
UE Category
Maximum
Downlink
Data Rate
Number of
Downlink
Data Streams
Maximum
Uplink
Data Rate
Support for
Uplink
64QAM
10.3Mbit/s
5.2Mbit/s
No
51.0Mbit/s
25.5Mbit/s
No
102.0Mbit/s
51.0Mbit/s
No
150.8Mbit/s
51.0Mbit/s
No
302.8Mbit/s
75.4Mbit/s
Yes

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1 EPS Architecture
1.1.2 Evolved Node B

In addition to the new air interface, a new base station has also been specified by the 3GPP
and is referred to as an eNB (Evolved Node B). These, along with their associated interfaces
form the E-UTRAN and in so doing, are responsible for:
RRM (Radio Resource Management) - this involves the allocation to the UE of the
physical resources on the uplink and downlink, access control and mobility control.
Date Compression - is performed in both the eNB and the UE in order to maximize the
amount of user data that can be transferred on the allocated resource. This process is
undertaken by PDCP.
Data Protection - is performed at the eNB and the UE in order to encrypt and integrity
protect RRC signaling and encrypt user data on the air interface.
Routing - this involves the forwarding of Control Plane signaling to the MME and User
Plane traffic to the S-GW (Serving - Gateway).
Packet Classification and QoS Policy Enforcement - this involves the marking of
uplink packets based upon subscription information or local service provider policy. QoS
(Quality of Service) policy enforcement is then responsible for ensuring such policy is
enforced at the network edge.
Figure 1-3 Evolved Node B Functional Elements
Radio Resource
Management
Packet
Classification
and QoS Policy
Enforcement
Data
Compression
eNB
Routing
Data Protection
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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1 EPS Architecture
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.
1.1.3 Mobility Management Entity

The MME is the Control Plane entity within the EPC and as such is responsible for the
following functions:
1-6
NAS Signaling and Security - this incorporates both EMM (EPS Mobility Management)
and ESM (EPS Session Management) and thus includes procedures such as Tracking
Area Updates and EPS Bearer Management. The MME is also responsible for NAS
security.
S-GW and PDN-GW Selection - upon receipt of a request from the UE to allocate a
bearer resource, the MME will select the most appropriate S-GW and PDN-GW. This
selection criterion is based on the location of the UE in addition to current load
conditions within the network.
Tracking Area List Management and Paging - whilst in the LTE Idle state, the UE is
tracked by the MME to the granularity of a Tracking Area. Whilst UEs remain within the
Tracking Areas provided to them in the form of a Tracking Area List, there is no
requirement for them to notify the MME. The MME is also responsible for initiating the
paging procedure.
Inter MME Mobility - if a handover involves changing the point of attachment within the
EPC, it may be necessary to involve an inter MME handover. In this situation, the
serving MME will select a target MME with which to conduct this process.
Authentication - this involves interworking with the subscribers HSS (Home Subscriber
Server) in order to obtain AAA (Access Authorization and Accounting) information with
which to authenticate the subscriber. Like that of other 3GPP system, authentication is
based on AKA (Authentication and Key Agreement).

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Figure 1-4 MME Functional Elements
NAS Signaling
and Security
Authentication
S-GW and
PDN-GW
Selection
MME
Inter MME
Mobility
Tracking Area List

Management and
Paging
1.1.4 Serving Gateway

The S-GW terminates the S1-U Interface from the E-UTRAN and in so doing, provides the
following functions:
Mobility Anchor - for inter eNB handovers, the S-GW acts as an anchor point for the
User Plane. Furthermore, it also acts as an anchor for inter 3GPP handovers to legacy
networks - GPRS and UMTS.
Downlink Packet Buffering - when traffic arrives for a UE at the S-GW, it may need to
be buffered in order to allow time for the MME to page the UE and for it to enter the
LTE Active state.
Packet Routing and Forwarding - traffic must be routed to the correct eNB on the
downlink and the specified PDN-GW on the uplink.
Lawful Interception - this incorporates the monitoring of VoIP (Voice over IP) and other
packet services.
GTP/PMIP Support - if PMIP (Proxy Mobile IP) is used on the S5/S8 Interfaces, the
S-GW must support MAG (Mobile Access Gateway) functionality. Furthermore, support
for GTP/PMIP chaining may also be required.
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Figure 1-5 S-GW Functional Elements
Mobility Anchor
GTP/PMIP
Support
Downlink
Packet
Buffering
S-GW
Lawful
Interception
Packet Routing
and Forwarding
1.1.5 Packet Data Network - Gateway

The PDN-GW is the network element which terminates the SGi Interface towards the PDN
(Packet Data Network). If a UE is accessing multiple PDNs, there may be a requirement for
multiple PDN-GWs to be involved. Functions associated with the PDN-GW include:
Packet Filtering - this incorporates the deep packet inspection of IP datagrams arriving
from the PDN in order to determine which TFT (Traffic Flow Template) they are to be
associated with.
Lawful Interception - as with the S-GW, the PDN-GW may also monitor traffic as it
passes across it.
IP Address Allocation - IP addresses may be allocated to the UE by the PDN-GW. This is

included as part of the initial bearer establishment phase or when UEs roam between
different access technologies.
Transport Level Packet Marking - this involves the marking of uplink and downlink
packets with the appropriate tag e.g. DSCP (Differentiated Services Code Point) based
on the QCI (QoS Class Identifier) of the associated EPS bearer.
Accounting - through interaction with a PCRF (Policy Rules and Charging Function), the
PDN-GW will monitor traffic volumes and types.
Figure 1-6 PDN-GW Functional Elements
Packet Filtering
Accounting
Lawful
Interception
Transport
Level Packet
Marking
1-8
PDN-GW
IP Address
Allocation

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1.2 EPS Interfaces

1.2.1 E-UTRAN Interfaces
As with all 3GPP technologies, it is the actual interfaces which are defined in terms of the
protocols they support and the associated signaling messages and user traffic that traverse
them. Figure 1-7 illustrates the main interfaces in the E-UTRAN.
Figure 1-7 E-UTRAN Interfaces
E-UTRAN
Uu
EPC
S1-MME
S1-MME
S1-U
eNB
X2
MME
S1-U
eNB
S-GW
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).
1.2.2 EPC Interfaces

Figure 1-8 illustrates the fundamental architecture of the EPC and in so doing identifies the
key interfaces which exist between the network elements. It should be stated however that
there exists additional interfaces which link the EPC with the IMS and legacy 3GPP / Non
3GPP architectures.
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Figure 1-8 EPC Architecture and Interfaces
EPC
S1-MME
S10
MME
S11
MME
S5/S8
S1-U
S-GW
SGi
PDN-GW
1.2.3 Additional Network Elements and Interfaces

In addition to the network elements, interfaces and associated protocols discussed so far, the
EPC connects with numerous other nodes and networks. These are illustrated in Figure 1-9.
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Figure 1-9 Additional Network Elements and Interfaces
CDMA
2000
S6a
EIR
HSS
S13
S101
EPC
S10
S3
MME
SGSN
PCRF
MME
S11
Gx
S4
S2a
S5/S8
S-GW
S12
PDN-GW
S103
RNC
Trusted
Non 3GPP
IP Access
S2b
Wn
CDMA
2000
Untrusted
Non 3GPP
IP Access
ePDG
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.
1-12
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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EPS Protocols
About This Chapter

Section
2.1 EPS Signaling
2.2 EPS Protocols
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2.1 EPS Signaling

The connectivity between the UE and the EPS can be split into a Control Plane and a User
Plane. Both of these can further split into the NAS (Non Access Stratum) and AS (Access
Stratum). The Access Stratum consist of the protocols and signaling involved with the
E-UTRAN, i.e. maintain both the air interface and S1 interfaces. In contrast, the Non Access
Stratum, as its name suggests, is not part of the Access Stratum and is defined as higher layer
signaling and traffic (IP datagrams).
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
E-UTRAN
Non Access
Stratum
Signaling
EPC
MME
UE
Access
Stratum
Signaling
eNB
S-GW
PDN-GW
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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Figure 2-2 NAS and AS User Plane
E-UTRAN
Non Access
Stratum IP
Datagrams
EPC
MME
UE
Access
Stratum
Transport
eNB
S-GW
PDN-GW
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.
2.2 EPS Protocols

2.2.1 NAS Functionality
The Non Access Stratum (NAS) protocols are used for signaling exchange between the UE
and the Mobility Management Entity (MME).
NAS sits on top of RRC layer in the UE and S1AP of the MME. All NAS messages are
carried by RRC and SIAP messages in radio interface and S1-MME interface respectively.
The NAS signaling is identified as EPS Mobility Management (EMM) and EPS Session
Management (ESM).
The EMM Protocol signaling is related to UE mobility and security procedures. The ESM
protocol handles signaling related to the default and dedicated user plane bearers.
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Figure 2-3 NAS Protocol stack
S1
Uu
eNB
MME
UE
Non Access Stratum
NAS
NAS
RRC
RRC
S1AP
S1AP
PDCP
PDCP
SCTP
SCTP
RLC
RLC
MAC
MAC
IP
IP
PHY
PHY
L1/L2
L1/L2
2.2.2 NAS Concepts and Identities

Tracking Area
The NAS layer makes use of Tracking Area (TA) for mobility management. The Tracking
Area is the same concept as GSM/UMTS concept of Routing Area, it is an operator defined
group of cells. The MME is aware of the location of an attached UE at the TA or TA list level
through the TA Update procedure. The TA is typically the area within which the UE is paged
for incoming calls.
Tracking Area Identity (TAI) is a cell configuration.
TAI = MCC + MNC + TAC, where
TAI : Tracking area identity
MCC : Mobile Country Code
MNC : Mobile Network Code
TAC : Tracking Area Code
As an operator option, there may also be MME Pool (MME Group) areas defined. An MME
Pool Area is defined as an area within which a UE may be served without need to change the
serving MME. An MME Pool Area is served by one or more MMEs in parallel. MME pool
Areas are a collection of complete Tracking Areas. MME Pool Areas may overlap each other,
as seen in Figure 2-4
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Figure 2-4 NAS Identities
TA1
MME2
MME Group A
MME1
TA2
UE Context
TA3
GUTI
S-TMSI
PLMN
TA5
MME2
MME Group B
MME1
TA4
MME Group C
MME1
TA6
TA7
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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)
M-TIMSI : M- Temporary Mobile Subscriber Identity32 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.
Tracking Area List

In order to avoid frequent TA updating, the MME may order the UE to keep multiple TAs
which is called TA List of a UE.
UE only updates the TA information to MME when it moves to a TA not in its TA list.
Figure 2-5 TA and TA List
Cell 1
Cell 2
Cell 3
Cell 4
Cell 5
Cell 6
Cell 7
TA 1
TA2
List (TA1 TA2)
List ( TA2)
UE1
Cell 8
UE 2
2.2.3 EMM and ESM

The NAS signaling between the UE and the EPC is identified as EMM or ESM. Table 2-1
illustrates the main EMM and ESM signaling procedures.
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Table 2-1 NAS EMM and ESM Procedures

EMM Procedures
ESM Procedures
Attach
Default EPS Bearer Context Activation
Detach
Dedicated EPS Bearer Context Activation
Tracking Area Update
EPS Bearer Context Modification
Service Request
EPS Bearer Context Deactivation
Extended Service Request
UE Requested PDN Connectivity
GUTI Reallocation
UE Requested PDN Disconnect
Authentication
UE Requested Bearer Resource Allocation
Identification
UE Requested Bearer Resource Modification
Security Mode Control
ESM Information Request
EMM Status
ESM Status
EMM Information
NAS Transport
Paging
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.
2.2.4 NAS States and State Transitions

There are separate protocol state machines for the EMM protocol and ESM protocol.
EMM protocol state machine relates to whether the UE is properly registered in the network
or not and whether there exists an active NAS Signaling Connection between the UE and
MME or not. The ESM protocol state machine deals exclusively with the existence or not of
EPS bearers.
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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)
Data Transfer Possible when ECM
connected
One Default Bearer
Zero, one or more Dedicated Bearer
EPS Bearer
Establishment
ECM IDLE
No NAS Signaling Connection
Tracking Area Updates
NAS Connection
Release
NAS Connection
Establishment
ECM CONNECTED
NAS Signaling Connection
Data transfer possible
Last EPS Bearer

Released
Attach
Detach
ESM INACTIVE
EMM DEREGISTERED
No PDN context
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
UE
MME
eNB
RRC CONNECTION
EMM: EPS ATTACH REQUEST

ESM: PDN CONNECTIVITY REQUEST
AUTHENTICATION
Enter state
ECM_CONNECTED
SECURITY MODE
Enter state
EMM_REGISTERED
ESM_ACTIVE
EMM: EPS ATTACH ACCEPT

ESM: ACTIVE DEFAULT EPS
BEARER CONTEXT REQUEST
EMM: EPS ATTACH COMPLETE
ESM: ACTIVE DEFAULT EPS
BEARER CONTEXT ACCEPT
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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Figure 2-8 Uu Interface Protocols
Uu
Control Plane
UE
eNB
EMM and ESM
Non Access Stratum
RRC
Access Stratum
User Plane
IP
PDCP
PDCP
RLC
RLC
MAC
MAC
PHY
PHY
2.2.6 Uu Interface - RRC

The main air interface control protocol is RRC (Radio Resource Control). For RRC messages
to be transferred between the UE and the eNB it uses the services of PDCP, RLC, MAC and
PHY. Figure 2-9 identifies the main RRC functions. In summary, RRC handles all the
signaling between the UE and the E-UTRAN, with signaling between the UE and Core
Network, i.e. NAS (Non Access Stratum) signaling, being carried by dedicated RRC
messages. When carrying NAS signaling, RRC does not alter the information but instead,
provides the delivery mechanism.
Figure 2-9 Main RRC Functions
System Information
PLMN and Cell Selection
Admission Control
Security Management
Cell Reselection
Measurement Reports
Handovers and Mobility
NAS Transport
Radio Resource Management
NAS Signaling
RRC
PDCP
RLC
MAC
PHY
eNB
2.2.7 Uu Interface - PDCP

LTE implements PDCP in both the User Plane and Control Plane. This is unlike UMTS,
where PDCP was only found in the User Plane. The main reason for the difference is that
PDCP in LTE takes on the role of security, i.e. encryption and integrity. In addition, Figure
2-10 illustrates some of the other functions performed by PDCP.
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Figure 2-10 PDCP Functions
Control Plane
Encryption
Integrity Checking
NAS Signaling
User Plane
IP Header Compression
Encryption
Sequencing and Duplicate Detection
RRC
PDCP
RLC
MAC
PHY
eNB
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.
2.2.8 Uu Interface - RLC

The RLC (Radio Link Control) protocol exists in the UE and the eNB. As its name suggests it
provides radio link control, if required. In essence, RLC supports three delivery services to
the higher layers:
TM (Transparent Mode) - this is utilized for some of the air interface channels, e.g.
broadcast and paging. It provides a connectionless service for signaling.
UM (Unacknowledged Mode) - this is like Transparent Mode, in that it is a

connectionless service; however it has the additional features of sequencing,
segmentation and concatenation.
AM (Acknowledged Mode) - this offers an ARQ (Automatic Repeat Request) service.

As such, retransmissions can be used.
These modes, as well as the other RLC features are illustrated in Figure 2-11. In addition to
ARQ, RLC offers segmentation, re-assembly and concatenation of information.
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Figure 2-11 RLC Modes and Functions
NAS Signaling
TM (Transparent Mode)
UM (Unacknowledged Mode)
AM (Acknowledged Mode)
Segmentation and Re-Assembly
Concatenation
Error Correction
RRC
PDCP
RLC
MAC
PHY
eNB
2.2.9 Uu Interface - MAC

MAC (Medium Access Control) provides the interface between the E-UTRA protocols and
the E-UTRA Physical Layer. In doing this it provides the following services:
Mapping - MAC maps the information received on the LTE Logical Channels into the
LTE transport channels.
Multiplexing - the information provided to MAC will come from a RB (Radio Bearer) or
multiple Radio Bearers. The MAC layer is able to multiplex different bearers into the
same TB (Transport Block), thus increasing efficiency.
HARQ (Hybrid Automatic Repeat Request) - MAC utilizes HARQ to provide error
correction services across the air. HARQ is a feature which requires the MAC and
Physical Layers to work closely together.
Radio Resource Allocation - QoS (Quality of Service) based scheduling of traffic and
signaling to users is provided by MAC.
In order to support these features the MAC and Physical Layers need to pass various
indications on the radio link quality, as well as the feedback from HARQ operation.
Figure 2-12 Medium Access Control Functions
NAS Signaling
RRC
Channel Mapping and Multiplexing
Error Correction - HARQ
QoS Based Scheduling
PDCP
RLC
MAC
PHY
eNB
2.2.10 Uu Interface - Physical

The PHY (Physical Layer) in LTE provides a new and flexible channel. It does however
utilize features and mechanisms defined in earlier systems, i.e. UMTS. Figure 2-13 illustrates
the main functions provided by the Physical Layer.
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Figure 2-13 Physical Layer Functions
Error Detection
FEC Encoding/Decoding
Rate Matching
Mapping of Physical Channels
Power Weighting
Modulation and Demodulation
Frequency and Time Synchronization
Radio Measurements
MIMO Processing
Transmit Diversity
Beamforming
RF Processing
NAS Signaling
RRC
PDCP
RLC
MAC
PHY
eNB
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
X2
eNB
eNB
Control Plane
User Plane
X2AP
GTP-U
SCTP
UDP
IP
IP
Layer 2
Layer 2
Layer 1
Layer 1
2.2.12 X2 Interface - X2 Application Protocol

The X2AP is responsible for the following functions:
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Mobility Management - this enables the serving eNB to move the responsibility of a
specified UE to a target eNB. This includes Forwarding the User Plane, Status Transfer
and UE Context Release functions.

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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.
2.2.13 X2 Interface - Stream Control Transmission Protocol

Defined by the IETF (Internet Engineering Task Force) rather than the 3GPP, SCTP was
developed to overcome the shortfalls in TCP (Transmission Control Protocol) and UDP when
transferring signaling information over an IP bearer. Functions provided by SCTP include:
Reliable Delivery of Higher Layer Payloads.
Sequential Delivery of Higher Layer Payloads.
Improved resilience through Multihoming.
Flow Control.
Improved Security.
SCTP is also found on the S1-MME Interface which links the eNB to the MME.
2.2.14 X2 Interface - GPRS Tunneling Protocol - User

GTP-U tunnels are used to carry encapsulated PDU (Protocol Data Unit) and signaling
messages between endpoints or in the case of the X2 interface. Numerous GTP-U tunnels may
exist in order to differentiate between EPS bearer contexts and these are identified through a
TEID (Tunnel Endpoint Identifier).
GTP-U is also found on the S1-U Interface which links the eNB to the S-GW and may also be used on
the S5 Interface linking the S-GW to the PDN-GW.
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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2 EPS Protocols
Figure 2-15 S1 Interface Protocols
S1-U
S1-MME
MME
eNB
eNB
S-GW
Control Plane
User Plane
S1AP
GTP-U
SCTP
UDP
IP
IP
Layer 2
Layer 2
Layer 1
Layer 1
2.2.16 S1 Interface - S1 Application Protocol

The S1AP spans the S1-MME Interface and in so doing, supports the following functions:
E-RAB (E-UTRAN - Radio Access Bearer) Management - this incorporates the setting
up, modifying and releasing of the E-RABs by the MME.
Initial Context Transfer - this is used to establish an S1UE context in the eNB, setup the
default IP connectivity and transfer NAS related signaling.
UE Capability Information Indication - this is used to inform the MME of the UE

Capability Information.
Mobility - this incorporates mobility features to support a change in eNB or change in

RAT.
Paging.
S1 Interface Management - this incorporates a number of sub functions dealing with

resets, load balancing and system setup etc.
NAS Signaling Transport - this is used for the transport of NAS related signaling over
the S1-MME Interface.
UE Context Modification and Release - this allows for the modification and release of
the established UE Context in the eNB and MME respectively.
Location Reporting - this enables the MME to be made aware of the UEs current
location within the network.
2.2.17 S1 Interface - SCTP and GTP-U

The S1-MME and S1-U lower layer protocols are similar to the X2 interface. As such, they
also utilize the services of SCTP (discussed in Section 2.2.13 ) and GTP-U (discussed in
Section 2.2.14 ).
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2 EPS Protocols
2.2.18 S11 Interface

The S11 Interface links the MME with the S-GW in order to support Control Plane signaling.
In so doing, it utilizes GTPv2-C (GPRS Tunneling Protocol version 2 - Control) which, like
all other interfaces which use variants of GTP, uses the services of UDP and IP.
S11
MME
S-GW
Control Plane
GTPv2-C
UDP
IP
Layer 2
Layer 1
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).
2.2.19 GPRS Tunneling Protocol version 2 - Control

GTPv2-C supports the transfer of signaling messages between the MME and the S-GW and as
such is responsible for the exchange of the following message types:
Path Management - this incorporates Echo Request and Echo Response messages to
ensure ongoing connectivity across the link.
Tunnel Management - these messages are used to activate, modify and delete the EPS
bearers and sessions spanning the network.
Mobility Management - these messages ensure mobility is supported through a

combination of relocation and notification procedures.
CS (Circuit Switched) Fallback - this incorporates suspend and resume procedures

during fallback to circuit switched operation.
Non 3GPP Access - these messages support the establishment of tunnels to forward
packet data between the 3GPP and Non 3GPP networks.
2.2.20 S5/S8 Interface

The S5/S8 Interface links the S-GW with the PDN-GW and supports both a Control Plane and
User Plane. The term S5 is used when these elements reside within the same PLMN (Public
Land Mobile Network) and S8 when the interface spans a HPLMN (Home Public Land
Mobile Network) / VPLMN (Visited Public Land Mobile Network).
The GTPv2-C protocol operates on the Control Plane for both of these interfaces whereas
GTP-U or PMIP is used on the User Plane.
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2 EPS Protocols
2.2.21 Proxy Mobile IP

Defined by the IETF, PMIP supports mobility when a UE moves from one S-GW to another
during a handover procedure. Data is tunneled between the PDN-GW, which supports HA
(Home Agent) functionality and the S-GW, which acts as the FA (Foreign Agent).
It is anticipated that PMIP will be used by 3GPP2 based networks migrating to LTE as they
already utilize PMIP within their 3G architectures. 3GPP based networks however are
expected to use GTP-U instead.
Figure 2-17 S5/S8 Interface Protocols
S5/S8
S-GW
PDN-GW
Control Plane
User Plane
GTPv2-C
GTP-U / PMIP
UDP
UDP
IP
IP
Layer 2
Layer 2
Layer 1
Layer 1
2.2.22 S10 Interface

The S10 Interface links two MMEs in order to pass Control Plane signaling. In so doing, it
uses the services of GTPv2-C.
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2 EPS Protocols
S10
MME
MME
Control Plane
GTPv2-C
UDP
IP
Layer 2
Layer 1
2.2.23 SGi Interface

The SGi Interface connects the PDN-GW to an external PDN. This could be the public
Internet, Corporate Intranets or a service providers network supporting services such as the
IMS. Although defined by the 3GPP, the protocols which operate over the SGi Interface are
defined by the IETF and include TCP, UDP in addition to a host of application specific
protocols.
Figure 2-19 SGi Interface Protocols
SGi
PDN-GW
Applications
TCP / UDP
IP
Layer 2
Layer 1
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3 LTE/SAE Quality of Service
LTE/SAE Quality of Service
About This Chapter

Section
3.1 EPS Bearer Services and
E-UTRA Radio Bearers
3.2 E-UTRA Radio Bearers
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Issue 06 (2006-03-01)
3.1 EPS Bearer Services and E-UTRA Radio Bearers

3.1.1 QoS in Packet Switched Networks
In order to support a mixture on non-real time and real time applications such as voice and
multimedia, the issues associated with radio access based contention means that delay and
jitter may become excessive if the flows of traffic are not coordinated. Modern packet
switches are now termed QoS aware, in that they are able to classify, schedule and forward
traffic based on the destination address, as well as the type of media being transported. Figure
3-1 illustrates how the concept of packet classification and scheduling is part of the eNB,
S-GW and PDN-GW responsibilities.
Figure 3-1 QoS Packet Scheduling
EPC
E-UTRAN
MME
UE
eNB
UE
Packet
Classifier
Data
Voice
S-GW
PDN-GW
Packet
Scheduler
Voice
x10
Data
x2
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.
3.1.2 LTE Bearers

The LTE system utilizes the concept of bearers. In so doing, a bearer has been defined to be
the aggregate of one or more IP flows related to one or more services.
Figure 3-2 illustrates the main bearer terminology in LTE. Note that if the system employs
PMIP (Proxy MIP) on the S5/S8 interfaces then the EPS Bearers effectively terminate on the
S-GW.
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3-33
Figure 3-2 LTE Bearers
Uu
S1-U
UE
eNB
S5/S8
S-GW
End to End Service
SGi
PDN-GW
EPS Bearer Service

EPS Radio Bearer
EPS Access Bearer
GTP Based Transport

(PMIP is different)
End to End Bearer Service

The end to end service runs between the UE and the peer entity, such as a call server, web
server etc. This is supported by an EPS Bearer plus external bearers that may support the
equivalent QoS across the external networks, i.e. beyond the SGi Interface.
EPS Bearer Service

The EPS Bearer extends between the UE and the PDN-GW. It is defined as a logical
aggregate of one or more SDF (Service Data Flow). The EPS Bearer QoS is managed and
controlled in the EPC / E-UTRAN. Figure 3-3 illustrates the concept of Service Data Flows
mapping into the same EPS bearer. Note that the S-GW and eNB are both unaware of the
mapping.
Figure 3-3 Service Data Flows
Uu
UE
S1-U
eNB
S5/S8
S-GW
SGi
PDN-GW
SDF (Service
Data Flow)
EPS Bearer Service
EPS Radio and Access Bearer

The EPS Bearer consist of two parts the EPS Radio Bearer and the EPS Access Bearer. The
EPS Radio Bearer facilitates the transport of the EPS Bearer traffic between the UE and the
eNB. Note that the eNB manages the QoS. The EPS Access Bearer service provides the
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Issue 06 (2006-03-01)
transport between the S-GW / PDN-GW and eNB according to the EPS QoS profile
associated with each EPS Bearer.
3.1.3 The Default EPS Bearer

LTE enables the UE to operate as always on. This is achieved by establishing a default EPS
bearer during the LTE Attach process. The default EPS bearer is configured as non-GBR (non
- Guaranteed Bit Rate) and carries all traffic which is not associated with a dedicated bearer.
Figure 3-4 Default and Dedicated EPS Bearers
Default EPS Bearer
UE
Dedicated EPS Bearer (Maximum of 7)
TFT
PDN-GW
TFT
Each Dedicated EPS Bearers has an

associated TFT (Traffic Flow Template)
It is possible for the UE to establish more than one default EPS bearer, however this is via a different
APN (Access Point Name).
3.1.4 Dedicated EPS Bearers

Dedicated EPS bearers carry traffic for IP flows that have been identified to require a specific
QoS. This classification is achieved using a TFT (Traffic Flow Template) at the PDN-GW and
UE. The TFT, i.e. filters, for the UE to utilize for each dedicated EPS bearer are passed to the
UE in NAS ESM signaling.
Dedicated EPS bearers may be established during the Attach. For example, in the case of
services that require always-on connectivity and higher QoS than that provided by the
default bearer. Dedicated bearers can be either GBR (Guaranteed Bit Rate) or non-GBR.
3.1.5 EPS QoS Parameters

EPS Bearers may support Guaranteed or Non Guaranteed Bit Rate services. As such various
parameters are used to control and identify the QoS.
GBR QoS Information

The GBR QoS Information parameter provides the eNB with information on the uplink and
downlink rates. It can include:
E-RAB Maximum Downlink Bit Rate.
E-RAB Maximum Uplink Bit Rate.
E-RAB Guaranteed Downlink Bit Rate.
E-RAB Guaranteed Uplink Bit Rate.
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AMBR (Aggregate Maximum Bit Rate)

Non Guaranteed EPS Bearers are subject to control through an AMBR (Aggregate Maximum
Bit Rate). The AMBR applies to both the subscriber and APN (Access Point Name) associated
with the subscriber.
UE AMBR (User Equipment Aggregate Maximum Bit Rate) - this value applies to the
total bit rate that can be allocated to a subscriber for all its non-GBR services.
APN AMBR (Access Point Name Aggregate Maximum Bit Rate) - this value applies to
the total bit rate that can be allocated to the subset of a subscribers services associated
with a particular APN.
QoS Class Indicator

QCI (QoS Class Indicator) provides a simple mapping from an integer value to specific QoS
parameters that controls bearer level packet forwarding treatment. Currently eight label types
have been defined, these are illustrated in Table 3-1.
Table 3-1 QCI Attributes
QCI
Type
Priority
Packet
Delay
Budget (ms)
Packet
Error Rate
Example Service
GBR
100
10-2
Conversational Voice
GBR
150
10-3
Conversational Video
GBR
50
10-3
Real Time Gaming
GBR
300
10-6
Non-Conversational Voice
Non-GBR
100
10-6
IMS Signaling
Non-GBR
300
10-6
Video, TCP Based
Non-GBR
100
10-3
Voice, Video, Interactive

Gaming
Non-GBR
300
10-6
Video, TCP Based
Non-GBR
300
10-6
Video, TCP Based
ARP (Allocation and Retention Priority)

The ARP (Allocation and Retention Priority) indicates if a bearer establishment or
modification request can be accepted. In addition, it may be used to indicate which bearers are
dropped when there is congestion in the network. The main parameters include:
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Priority Level (0 to 15) - Value 15 means "no priority", whereas values between 1 and 14
are ordered in decreasing order of priority, i.e. 1 is the highest and 14 the lowest, with
value 0 being reserved.

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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.
3.2 E-UTRA Radio Bearers

The LTE air interface has two types of radio bearers, namely Signaling Radio Bearers and
Data Radio Bearers.
3.2.1 Signaling Radio Bearers

A SRB (Signaling Radio Bearer) is a RB (Radio Bearer) that is only used for the transmission
of RRC and NAS messages. More specifically, the following three SRBs are defined:
SRB0 - this is for RRC messages using a CCCH logical channel, e.g. RRC Connection
Request, Setup and Re-establishment.
SRB1 - this is mainly for RRC messages using a DCCH logical channel. It can also be
used for NAS messages prior to the establishment of SRB2.
SRB2 - this is for NAS messages using a DCCH logical channel. Note that SRB2 has a
lower-priority than SRB1 and is always configured by the E-UTRAN after security
activation.
Figure 3-5 Signaling Radio Bearers
Uu
UE
S1-U
eNB
S5/S8
S-GW
SGi
PDN-GW
SRB 1
RRC (High Priority)
SRB 2
NAS (Lower Priority)
3.2.2 Data Radio Bearers

In addition to Signaling Radio Bearers, at least one DRB (Data Radio Bearer) needs to be
established for the Default EPS bearer. There are various identities used in LTE at different
layers to identify the EPS bearers. The main higher layer identifier is the EPS Bearer Identity,
this has a value between 0 to 15. In a UMTS network this is referred to as a NSAPI (Network
layer Service Access Point Identifier). When the EPS bearer is established an associated DRB
Identity is assigned. These have values between 1 and 32. Finally, the lower layers, i.e. MAC,
allocate the LCID (Logical Channel Identity). There are only 10 available for Radio Bearers,
with the values 1 and 2 mapping to SRB1 and SRB2 respectively. In so doing, the remaining
eight LCID are available for Data Radio Bearers (1 Default EPS Bearer and 7 Dedicated EPS
Bearers).
Figure 3-6 illustrates how the Data Radio Bearer relates to an EPS bearer. In this case the
Default EPS Bearer.
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3-37
Figure 3-6 Data Radio Bearers
Uu
Logical
Channel
Identity
UE
SRB 1
SRB 2
DRB 1
S1-U
eNB
S5/S8
S-GW
SGi
PDN-GW
Default EPS Bearer (EPS Bearer Identity = 5)

DRB Identity
1 to 32
EPS Bearer
Identity 0 to 15
Logical Channel
Identity 1 to 10
for Radio Bearers
3.2.3 Radio Bearer QoS

The QoS for Data Radio Bearers is provided to the eNB by the MME using the standard QoS
attributes such as QCI and ARP, as well as maximum and guaranteed bit rates in the uplink
and downlink direction. Based on these the eNB configures the UE E-UTRA layers and
manages the ongoing scheduling of uplink and downlink traffic.
Figure 3-7 E-RAB QoS Parameters to the eNB
E-RAB ID
E-RAB Level QoS Parameters
Transport Layer Address
GTP-TEID
NAS-PDU
Uu
Logical
Channel
Identity
3-38
MME
UE
SRB 1
SRB 2
DRB 1
S1-U
eNB
S5/S8
S-GW
SGi
PDN-GW
Default EPS Bearer (EPS Bearer Identity = 5)

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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
E-RAB ID
DRB ID
PDCP, RLC, MAC and PHY Configuration
eNB
UE
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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3-39
4 Radio Resource Control
Radio Resource Control
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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4.1 The RRC Layer

RRC (Radio Resource Control) is the main control protocol between the UE and the eNB. Its
key functions include: radio resource management, admission control and security functions,
handover control and E-UTRAN mobility management. The RRC protocol utilizes the lower
layer services of PDCP, RLC and MAC. In addition, it also handles NAS signaling between
the UE and MME. Note that when RRC is carrying NAS signaling, it does not alter the
information but instead, provides the delivery mechanism. Even though RRC uses the
services of the lower layers, it is also responsible for the ongoing configuration of these layers.
This is illustrated in Figure 4-1, with the control lines illustrating the interaction and
management with lower layers.
Figure 4-1 RRC Interaction with Lower Layers
RRC
Control
NAS
RRC
IP
PDCP
RLC
MAC
Physical
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.
4.1.2 Services Provided To Upper Layers

The RRC protocol offers the following services to upper layers:
Broadcast of common control information.
Notification of UEs in RRC Idle mode, e.g. about a terminating call.
Transfer of dedicated control information, i.e. information for one specific UE.
4.1.3 Services Expected From Lower Layers

The main services that RRC expects from lower layers include:
PDCP - integrity protection and ciphering.
RLC - a reliable and in-sequence transfer of information, without introducing duplicates

and with support for segmentation and concatenation.
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4-41
4.2 RRC Structure

Compared to UMTS, RRC has been simplified in terms of the number of messages and the
configuration of the SRB (Signaling Radio Bearer). However, there are still a large number of
parameters and options available to ensure the system can be optimized.
Figure 4-2 illustrates the general structure of the air interface protocols at the eNB. Note that
higher layer NAS signaling and IP datagrams are relayed by the eNB. In addition, RRC also
forms a key part of RRM (Radio Resource Management).
Figure 4-2 eNB Structure
Non Access Stratum

Access Stratum
Relay EMM and

ESM Signaling
RRC
Relay IP Datagrams
EPS
Bearers
RRM
PDCP
PDCP
RLC
RLC
MAC
MAC
Physical
Physical
Control Plane
User Plane
4.3 RRC States

There are three LTE mobility states, namely: LTE Idle, LTE Active and LTE Detached. The
initial EMM Attach procedure enables a UE to transition into the LTE Active State from the
LTE Detached State.
In LTE, RRC has two main states, namely:
RRC Idle - this provides services to support DRX (Discontinuous Reception), broadcast
of SI (System Information) to enable access, cell reselection and paging information.
RRC Connected - in this state the UE has state information stored in the eNB and has an
RRC connection, i.e. SRB (Signaling Radio Bearer). The eNB can track the UE to the
cell level and RRC provides services to support cell measurements in order to facilitate
network controlled handovers.
Figure 4-3 illustrates the different LTE states, as well as some of the key functions performed
by RRC in these states.
In addition to having a GUTI (Globally Unique Temporary Identity) and S-TMSI (Serving Temporary Mobile Subscriber Identity), whilst in the RRC Connected mode, the UE is also
allocated an E-UTRAN identifier(s). The most common is the C-RNTI (Cell - Radio Network
Temporary Identity), however other forms of RNTI (Radio Network Temporary Identity) also
exist.
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Issue 06 (2006-03-01)
Figure 4-3 RRC States
PLMN Selection
Broadcast of System Information
Cell Selection
RRC Connection (SRB)
RRC Context in eNB
UE Known in a Cell
Send and/or Receive Data to/from UE
Network Controlled Mobility
Measurement Control
UE Monitors Scheduling Control Channel
UE Reports Channel Quality
UE can send Feedback Information
DRX can be Configured
LTE Detached
LTE Active
RRC Connected
LTE Idle
RRC Idle
DRX configured by NAS

Broadcast of System Information
Paging
Cell Reselection Mobility
GUTI Allocated
Located in Tracking Area(s)
No RRC Context Stored in the eNB
4.3.2 Functions
The RRC protocol includes the following main functions:
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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.
RRC Connection control:
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.
RRC State Interaction

In addition to RRC Idle and RRC Connected there are various transitions to and from UTRA
(Universal Terrestrial Radio Access) and GERAN (GSM/EDGE Radio Access Network)
States. Figure 4-4 illustrates the main states and inter-RAT mobility procedures.
Figure 4-4 E-UTRA RRC State Interaction
GSM Connected
Handover
Cell_DCH
Cell_FACH
GPRS Packet
Transfer Mode
CCO with NACC
Cell_PCH
URA_PCH
Connection
Establishment/
Release
Connection
Establishment/
Release
Connection
Establishment/
Release
UTRA_Idle
Handover
E-UTRA
RRC Connected
CCO, Reselection
Reselection
Reselection
E-UTRA
RRC Idle
Reselection
CCO, Reselection
GSM Idle/GPRS
Packet Idle
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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Interaction with CDMA2000 States

In addition to interworking with UMTS and GERAN, the LTE system is also able to
interwork with CDMA2000 1xRTT CS (Circuit Switched) and HRPD (High Rate Packet Data)
based systems. Figure 4-5 illustrates the main mobility transitions for CDMA2000
interworking.
Figure 4-5 Mobility Procedures between E-UTRA and CDMA2000
Handover
1xRTT CS Active
Handover
E-UTRA
RRC Connected
HRPD Active
Connection
Establishment/
Release
1xRTT Dormant
Reselection
E-UTRA
RRC Idle
Reselection
HRPD Idle
4.4 RRC Services

There are various procedures performed by RRC. This section includes many of them.
4.4.1 System Information

SI (System Information) in LTE is usually broken down into the MIB (Master Information
Block), SIB 1 (System Information Block 1) and other System Information messages. Figure
4-6 illustrates the main MIB and SIB1 parameters.
Figure 4-6 MIB and SIB1 Parameters
SIB1
PLMN Identity List
Tracking Area Code
Cell Identity
Cell Barred Indication
Intra Frequency Reselection
CSG Indication and Identity
Cell Selection Information
P-Max
Frequency Band Indicator
Scheduling Information List
TDD Configuration
SIB Window Length
System Info Value Tag
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MIB
Bandwidth
PHICH
SFN

eNB
MIB
SIB1
4-45
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
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
SIB4
Intra Freq Neighbour Cell List
Physical Cell ID
q-OffsetCell
Intra Freq Black Cell List
CSG Physical Cell Id Range
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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Issue 06 (2006-03-01)
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
Paging
Paging Record List
- UE Identity (S-TMSI or IMSI)
- CN Domain
System Info Modification
ETWS Indication
eNB
Paging
4.4.3 RRC Connection Establishment

The process of establishing an RRC Connection moves the UE from RRC Idle mode into
RRC Connected mode. Prior to sending the initial RRC Connection Request message the UE
must have preformed a Random Access procedure for uplink resources and has been allocated
these on the UL-SCH, i.e. the RRC Connection procedure is performed on the uplink and
downlink shared channels. Figure 4-9 illustrates the basic RRC Connection establishment
procedure, as well as key parameters.
Figure 4-9 RRC Connection
RRC Connection Request

UE Identity
Cause
UE
eNB
RRC Connection Setup

Radio Resource Config Dedicated
- srb-ToAddModList
- drb-ToAddModList
- drb-ToReleaseList
- MAC Main Config
- SPS Config
- Physical Config Dedicated
RRC Connection Setup Complete

Selected PLMN-Identity
Registered MME
Dedicated Info NAS
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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.
RRC Connection Reject

Upon receiving a RRC Connection Request the eNB is able to send a RRC Connection Reject.
This includes the Wait Time which the UE will use as the T302 timer. Once the UE is in the
RRC Connected mode or has performed a cell re-selection the T302 timer is stopped.
However, if T302 expires the higher layers are informed about barring alleviation.
4.4.4 Initial Security Activation

The activation of security by RRC is relatively simple. The eNB initiates the procedure by
identifying which ciphering and integrity algorithms to use. Additional information on
integrity and ciphering is discussed in Sections 5.1.5 and 5.1.6 respectively.
Figure 4-10 RRC Security Mode Command
Security Mode Command

Ciphering Algorithm
Integrity Protection Algorithm
UE
eNB
Security Mode Command
Security Mode Complete
Security Mode Failure
4.4.5 RRC Connection Reconfiguration

The purpose of the RRC Connection Reconfiguration procedure is to modify an RRC
connection, e.g. to establish/modify release RBs, to perform handover, to
setup/modify/release measurements. In addition, as part of the procedure, NAS dedicated
information may be transferred from E-UTRAN to the UE.
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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
UE
eNB
RRC Connection Reconfiguration
Request
Complete
RRC Connection Re-establishment
RRC Connection
Reconfiguration Request
Measurement Configuration
Mobility Control Information
Dedicated Info NAS
- srb-ToAddModList
- drb-ToAddModList
- drb-ToReleaseList
- MAC Main Config
- SPS Config
- Physical Config Dedicated
Security Configuration HO
Default EPS Bearer

As part of the EMM Initial Attach procedure the network (MME) initiates the establishment
of the Default EPS Bearer. This triggers the sending of a RRC Connection Reconfiguration
Request message which is able to configure a DRB (Data Radio Bearer) for the Default EPS
Bearer, as well as establishing SRB2. In this example, the RRC Connection Reconfiguration
Request message also configures MAC DRX and additional physical features such as power
control, SRS and CQI (Channel Quality Indication) reporting.
4.4.6 RRC Connection Re-establishment

The RRC Connection Re-establishment message is used to resolve contention, to re-establish
SRB1 and to re-activate security.
The UE initiates the procedure when AS security has been activated and one of the following
conditions is met:
Upon detecting RLF (Radio Link Failure).
Upon handover failure.
Upon mobility from E-UTRA failure.
Upon integrity check failure indication from lower layers.
Upon an RRC Connection Reconfiguration failure.
Figure 4-12 illustrates the RRC Connection Reestablishment procedure. The RRC Connection
Reestablishment Request message includes a cause value:
Reconfiguration Failure.
Handover Failure.
Other Failure.
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Figure 4-12 RRC Connection Reestablishment
UE
eNB
RRC Connection Reestablishment Request
RRC Connection Reestablishment
RRC Connection Reestablishment Complete
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.
4.4.7 RRC Connection Release

The purpose of this procedure is to release the RRC connection, which includes the release of
the established radio bearers as well as all radio resources.
Figure 4-13 illustrates the RRC Connection Release message. If the Idle Mode Mobility
Control Info parameter is included, intra-frequency, inter-frequency and inter-RAT priority
information can be included. In addition, a T320 timer indicates to the UE how long this
dedicated priority is valid. In so doing, on the expiry of the T320 timer the UE removes the
priority given in the Idle Mode Mobility Control Info parameter and relies on the information
in the System Information messages.
Figure 4-13 RRC Connection Release
UE
eNB
RRC Connection Release
RRC Connection Release

Release Cause
Redirected Carrier Info
Idle Mode Mobility Control Info
4.4.8 Radio Link Failure

The Radio Link Failure procedure is triggered on the expiry of a timer T310. This is started
when RRC receives N310 consecutive "out-of-sync" indications from lower layers. The
UE-TimersAndConstants parameter in SIB2 is used to pass the T310 and N310 values to the
UEs.
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Issue 06 (2006-03-01)
4.4.9 Information Transfer

The purpose of the Downlink and Uplink Information Transfer procedures is to transfer NAS
or (tunneled) non-3GPP dedicated information between the E-UTRAN and the UE.
Figure 4-14 illustrates the Information Transfer messages, as well as the main parameters,
namely dedicated NAS signaling.
Figure 4-14 Information Transfer
UE
eNB
DL Information Transfer
DL or UL Information Transfer
Dedicated Info NAS
Dedicated Info CDMA2000-1XRTT
Dedicated Info CDMA2000-HRPD
UL Information Transfer
4.4.10 Measurement Configuration

The UE in RRC Connected mode reports measurement information in accordance with the
Measurement Configuration parameter provided by the eNB in a RRC Connection
Reconfiguration message. In so doing, the UE can be requested to perform the following
types of measurements:
Intra-frequency measurements: measurements at the downlink carrier frequency of the

serving cell.
Inter-frequency measurements: measurements at frequencies that differ from the

downlink carrier frequency of the serving cell.
Inter-RAT measurements of UTRA frequencies.
Inter-RAT measurements of GERAN frequencies.
Inter-RAT measurements of CDMA2000 HRPD or CDMA2000 1xRTT frequencies.
Key Parameters of Measurement Configuration

The measurement configuration includes the following parameters:
Measurement objects - these are the objects on which the UE is configured to perform
the measurements.
Reporting configurations - this is a list of reporting attributes. It includes the reporting

type, namely Periodical or Event Based, as well as the associated attributes.
Measurement identities - this is a list of measurement identities where each measurement

identity links one measurement object with one reporting configuration. By configuring
multiple measurement identities it is possible to link more than one measurement object
to the same reporting configuration, as well as to link more than one reporting
configuration to the same measurement object. The measurement identity is used as a
reference number in the measurement report.
Quantity configurations - this is configured per RAT type and defines the associated
filtering used for all event evaluation and related reporting of that measurement type.
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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
UE
eNB
Request
Complete

Request
- measObjectToRemoveList
- measObjectToAddModList
- reportConfigToRemoveList
- reportConfigToAddModList
- measIdToRemoveList
- measIdToAddModList
- quantityConfig
- measGapConfig
- s-Measure
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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Figure 4-16 Measurement Object
UE
eNB
Request
Complete

Request
- measObjectToAddModList
-- measObjectId
-- measObject measObjectEUTRA
--- carrierFreq
--- allowedMeasBandwidth
--- presenceAntennaPort1
--- neighCellConfig
--- offsetFreq
--- cellsToAddModList
---- cellIndex
---- physCellId
---- cellIndividualOffset
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.
Figure 4-17 Report Configuration
UE
eNB
Request
Complete

Request
- reportConfigToAddModList
-- reportConfigId
-- reportConfig reportConfigEUTRA
--- triggerType event
---- eventId e.g. eventA1
----- a1-Threshold threshold-RSRP
---- hysteresis
---- timeToTrigger
--- triggerQuantity (RSRP)
--- reportQuantity
--- maxReportCells
--- reportInterval
--- reportAmount
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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Figure 4-18 Periodical Reporting
eNB
Periodical
Reporting
eNB
UE
Report Interval (ms120, ms240, ms480, ms640,

ms1024, ms2048, ms5120, ms10240,
min1, min6, min12, min30, min60)
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)
A3 Offset
(-30 to 30dB)
eNB
Event
Reporting
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eNB
UE
TTT (Time to
Trigger)

Report Interval and

Report Amount
Issue 06 (2006-03-01)
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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4-55
Figure 4-20 Event A3 Example
Serving Cell
(Including
Offsets)
Leave
Enter
Enter
Serving
Cell
Neighboring Cell
(Including
Offsets)
Hysteresis
TTT Not
Met
Event
Reporting
TTT
Measurement
Report
UE
It can be seen that the entering and leaving conditions are based on the interaction with
hysteresis value (which could be set to 0).
4.4.11 Handover Configuration

The RRC handover procedures are discussed as part of X2 Handover in Section 8.1 .
4.4.12 Cell Selection

LTE has two cell selection procedures known as Initial Cell Selection, in which the UE
requires no prior knowledge, and Stored Information Cell Selection in which stored
information is used to optimize the selection process.
After a UE has synchronized with the cell and decoded the necessary SI messages, it attempts
to camp on a cell. This is achieved through the cell selection process whereby the UE is
aiming to select the cell which will provide the best quality radio link. The process for cell
selection is as follows:
In terms of the radio channel, the UE measures the RSRP (Reference Signal Received
Power). The LTE downlink and uplink physical frames contain RS (Reference Signal)
which are used as pilot information to aid equalization of the channel. The received
power of these signals may be used as the criteria for cell selection.
It calculates the received level average power for each cell based on one of the above.
This term is defined as Qrxlevmeas for LTE cells and is expressed in dBm .
It assesses the minimum signal level that is acceptable within the cell. The Qrxlevmin
and other parameters are provided to the UE through RRC SI messages.
4.4.13 Cell Reselection

Whilst in the RRC Idle mode the UE will regularly search for a better cell. This change of cell
may also imply a change of RAT (Radio Access Technology).
The cell reselection process can be summarized thus:
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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 Packet Data Convergence Protocol
Packet Data Convergence Protocol
About This Chapter

Section
5.1 PDCP Operation
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5.1 PDCP Operation

5.1.1 Functions
PDCP (Packet Data Convergence Protocol) provides services to both the Control Plane and
User Plane. The main PDCP functions include:
Header compression and decompression of IP datagrams using the ROHC (Robust

Header Compression) protocol.
Maintenance of PDCP SN (Sequence Number) for radio bearers operating in RLC AM

(Acknowledged Mode).
In-sequence delivery of upper layer PDU (Protocol Data Units) at handover.
Duplicate elimination of lower layer SDUs at handover for RLC AM radio bearers.
Ciphering and deciphering of User and Control Plane data.
Integrity protection and integrity verification of the Control Plane data.
Discarding of data on a timeout basis.
Discarding of data on a duplicate basis.
Figure 5-1 illustrates the various functions performed by the transmitting and receiving PDCP
entity. The PDCP SDU (Service Data Unit) identifies a packet from higher layers, i.e. RRC or
IP. In contrast, packets not associated to a PDCP SDU are part of PDCP control signaling.
Typical examples include PDCP Status Report and Header Compression Feedback
Information.
Figure 5-1 PDCP Functions
UE/eNB Transmitting PDCP Entity
UE/eNB Receiving PDCP Entity
Sequence Numbering
Re-ordering (User Plane)
Header Compression (User Plane)
Header Decompression (User Plane)
Packet associated
to a PDCP SDU
Integrity Protection
(Control Plane)
Packet not
associated
to a PDCP
SDU
Packet associated
to a PDCP SDU
Integrity Verification
(Control Plane)
Ciphering
Packet not
associated
to a PDCP
SDU
Deciphering
Add PDCP Header
Remove PDCP Header

Radio Interface
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5-59
5.1.2 PDCP Header Compression Profiles

PDCP includes a number of ROHC (Robust Header Compression) profiles. Table 5-1
illustrates the available profiles and associated usage. Note that profile 0x0000, which
indicates ROHC uncompressed, must always be supported when the use of ROHC is
configured.
Table 5-1 Supported Header Compression Protocols and Profiles
Profile Identifier
Usage:
Reference
0x0000
No compression
RFC 4995
0x0001
RTP/UDP/IP
RFC 4815
0x0002
UDP/IP RFC
RFC 3095, RFC 4815
0x0003
ESP/IP RFC
RFC 3095, RFC 4815
0x0004
IP
RFC 3843, RFC 4815
0x0006
TCP/IP
RFC 4996
0x0101
RTP/UDP/IP
RFC 5225
0x0102
UDP/IP
RFC 5225
0x0103
ESP/IP
RFC 5225
0x0104
IP
RFC 5225
The main references include:
RFC4995 - this defines the ROHC Framework, defining an efficient and future-proof
header compression concept.
RFC 3095 - this extends the ROHC framework and includes four profiles. These are:
RTP/UDP/IP.
UDP/IP.
ESP/IP (Encapsulating Security Payload form of IPSec).
Uncompressed.
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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5.1.3 PDCP Headers

The PDCP layer identifies two types of PDUs, namely data and control. The PDCP Data PDU
is used to convey:
Control Plane data, i.e. the Signaling Radio Bearer.
User Plane data (compressed or uncompressed).
PDCP SDU SN (Sequence Number).
In contrast, the Control PDUs are used for ROHC feedback and PDCP status reporting.
Control Plane PDCP Data PDU for SRBs

Figure 5-2 defines the format of the PDCP Data PDU for SRB transfer. It includes a 5bit SN
(Sequence Number) and a MAC-I (Message Authentication Code - Integrity) check.
Figure 5-2 PDCP Data PDU for SRB
Sequence Number for

SRB
Reserved
Bits
R
PDCP SN
Oct 1
Oct 2
Data
...
MAC-I
MAC-I (cont.)
MAC-I (cont.)
MAC-I (cont.)
Message
Authentication
Code
Oct N-3
Oct N-2
Oct N-1
Oct N
User Plane PDCP Data PDU - 12bit SN

In the User Plane there are two Data PDUs defined, each with a different length sequence
number. Figure 5-3 illustrates the long SN PDU which includes a 12bit SN.
Figure 5-3 User Plane PDCP Data PDU with Long PDCP SN (12 bits)
12 bit Sequence Number

UM and AM Data
1=Data
PDU
D/C
R
R
PDCP SN
PDCP SN (Continued)
Data
...
Oct 1
Oct 2
Oct 3
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.
User Plane PDCP Data PDU - 7bit SN

Figure 5-4 illustrates the PDCP Data PDU with a 7bit SN. Note that this format is only
available when operating in RLC UM.
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Figure 5-4 User Plane PDCP Data PDU with Short PDCP SN (7 bits)
7 bit Sequence
Number UM Data
1=Data
PDU
D/C
PDCP SN
Data
...
Oct 1
Oct 2
Higher layer signaling, i.e. RRC, is used to configure the PDCP options.
PDCP Control PDU - Status Report

Figure 5-5 illustrates a PDCP Control PDU providing PDCP Status Report information. It
includes the FMS (First Missing PDCP Sequence Number), as well as an optional bitmap. The
bitmap includes 0s and 1s, where a zero indicates a PDCP SDU is missing in the receiver.
Figure 5-5 PDCP Control PDU for PDCP Status Report
000
0=Control
PDU
D/C
First Missing PDCP

Sequence Number
PDU Type
FMS
FMS (cont.)
Bitmap (optional)
...
Bitmap (optional)
Oct 1
Oct 2
Oct 3
Oct 2+N
PDCP Control PDU - Feedback

Figure 5-6 illustrates the Control PDU for ROHC feedback. This is sent uncompressed and
includes a ROHC feedback packet.
Figure 5-6 PDCP Control PDU for Interspersed ROHC Feedback Packet
001
0=Control
PDU
D/C
PDU Type
R
R
R
Interspersed ROHC Feedback Packet
...
Oct 1
5.1.4 PDCP ROHC

ROHC works by enabling the sender and the receiver to store the static parts of the header, for
example the IP addresses, whilst only updating the dynamic part. The sender is typically
referred to as the compressor and the receiver the decompressor.
VoIP (Voice over IP) is one of the most important usages for ROHC. This is due to the
potentially high ratio between header and payload. For example, AMR 12.2Kbps packets are
just over 30octets and typically 32octets with framing. The RTP/UDP/IPv4 header is 40 octets
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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
PDCP
Header
VoIP
UE
RTP UDP IPv4
VoIP
Compressed
eNB
PDCP
Header
First Order
ROHC
Feedback
5.1.5 PDCP Integrity

LTE uses the EEA (EPS Encryption Algorithm) for ciphering and the EIA (EPS Integrity
Algorithm) for message integrity.
PDCP provides integrity of the SRBs. Figure 5-8 illustrates how the MAC-I (Message
Authentication Code - Integrity) value is generated. The input parameters to the integrity
algorithm are a 128bit integrity key (derived from the authentication process), a 32bit Count,
a 5bit bearer identity (equal to the RB identity -1), the 1bit direction of the transmission and
the message itself. The direction bit is set to 0 for uplink and 1 for downlink.
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Figure 5-8 Derivation of MAC-I
Count
Direction
Message
Bearer
Key
Count
Direction
Message
Bearer
EIA
Key
EIA
MAC-I
XMAC-I
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
HFN part is equal to 32

minus length of PDCP SN
HFN
PDCP SN
5.1.6 PDCP Ciphering

There are two encryption algorithms, namely 128-EEA1 and 128-EEA2.
128-EEA1 is based on the SNOW 3G algorithm and is identical to UEA2.
128-EEA2 is based on the 128-bit AES (Advanced Encryption Standard).
Figure 5-10 illustrates the ciphering process. The inputs are nearly identical to the integrity
process, however the message input has been replaced with a length parameter. This ensures
that the keystream block generated is of the correct length to cipher the plaintext block.
Figure 5-10 PDCP Ciphering
Count
Key
Direction
Bearer
Length
EEA
Count
Key
Keystream
Block
Plaintext
Block
5-64
Direction
Bearer
Length
EEA
Keystream
Block
Ciphertext
Block

Plaintext
Block
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6 Radio Link Control and Medium Access Control
Radio Link Control and Medium

Access Control
About This Chapter

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 RLC Functions

6.1.1 Services Provided to Upper Layers
The following services are provided by RLC to RRC or PDCP:
TM (Transparent Mode) - this provides a connectionless service and is utilized for some
of the air interface channels e.g. broadcast and paging.
UM (Unacknowledged Mode) - like that of TM, this also provides a connectionless

service but with additional functionality incorporating sequencing, segmentation and
concatenation.
AM (Acknowledged Mode) - this supports ARQ (Automatic Repeat Request) thereby

operating in a connection orientated mode.
Figure 6-1 RLC Modes
Upper Layers
RLC
TMEntity
TMEntity
UMEntity
UMEntity
AM-Entity
6.1.2 Services Expected from Lower Layers

The following services are expected by RLC from MAC:
Data transfer.
Notification of a transmission opportunity, together with the total size of the RLC PDU
(Protocol Data Units) to be transmitted in the transmission opportunity.
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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Protocol error detection.
6.2 RLC Modes and Formatting

6.2.1 Transparent Mode
A TM (Transparent Mode) RLC entity can be configured to deliver/receive RLC PDUs
through the BCCH, DL/UL CCCH and PCCH logical channels. When a transmitting TM RLC
entity forms TMD (Transparent Mode Data) PDUs from RLC SDUs, it does not segment or
concatenate the RLC SDUs and it does not include any RLC headers in the TMD PDUs.
Figure 6-2 Transparent Mode RLC
Transmitting
TM-RLC Entity
Receiving
TM-RLC Entity
Transmission Buffer
BCCH/PCCH/CCCH
Uu
6.2.2 Unacknowledged Mode

An UM RLC entity can be configured to deliver/receive RLC PDUs through the DTCH
logical channel.
Figure 6-3 Unacknowledged Mode RLC
Transmitting
UM-RLC Entity
Transmission Buffer
Receiving
UM-RLC Entity
SDU Reassembly
Segmentation and
Concatenation
Remove RLC Header
Add RLC Header
Reception Buffer and

HARQ Reordering
DTCH
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Uu

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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.
6.2.3 Acknowledged Mode

The AM (Acknowledged Mode) of RLC, as its name suggests, provides functions that are
needed to support acknowledged data transfer. These include:
Segmentation and reassembly.
Concatenation.
Error correction.
In-sequence delivery of higher layer data.
Duplicate detection.
Reliability in Acknowledged Mode is achieved through the use of selective retransmission.

This involves the transmitter sending a number of AMD (Acknowledged Mode Data) PDUs
and then the receiving entity positively acknowledging all or some of them.
Figure 6-4 illustrates the AM-RLC entity in the UE and eNB. The process begins with the
RLC data PDUs being formatted and then being sent from the transmitter buffer. On receipt of
a number of PDUs, the receiving entity will send a status report back to the transmitter. This
indicates whether the previous PDUs have been received correctly or not. The sender, based
on this information, retransmits the erroneous PDUs. The transmitting side may also include a
polling request in the RLC header which forces a status report from the receiving side.
An AM RLC entity can be configured to deliver/receive RLC PDUs through the DCCH and
DTCH logical channel.
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Figure 6-4 Acknowledged Mode RLC
AM-RLC Entity
Transmission Buffer
SDU Reassembly
RLC
Control
Segmentation and
Concatenation
Retransmission
Buffer
Remove RLC
Header
Reception Buffer &
HARQ Reordering
Add RLC Header
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
PDU Name
Transparent
TMD
Unacknowledged
UMD
Acknowledged
AMD
AMD Segment
Status
6.2.4 TMD PDU

The TMD (Transparent Mode Data) PDU carries user data when RLC is operating in
Transparent Mode. In this mode, no overhead (i.e. no header) is added.
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6.2.5 UMD PDU

The UMD (Unacknowledged Mode Data) PDUs are used for unacknowledged data transfer,
conveying sequentially numbered PDUs. Unlike UMTS, there are a number of UMD PDU
formats. These are typically in two categories:
5bit RLC sequence number.
10bit RLC sequence number.
With each of these categories there are three PDU formats defined, making a total of six
different formats. These include:
No LI (Length Indicator).
Odd number of Length Indicators.
Even number of Length Indicators.
5bit and 10bit UMD PDU with No Length Indicator

The RLC specification details the different PDU formats. Figure 6-5 illustrates the 5bit SN
(Sequence Number) format when no length indicators are present.
Figure 6-5 RLC UMD 5bit SN (No Length Indicators)
Extension Bit
Frame
Information
FI
5bit SN
SN
Oct 1
Oct 2
Data
...
Data
Oct N
Figure 6-6 illustrates the 10bit SN UMD format with no length indicators.
Figure 6-6 RLC UMD 10bit SN (No Length Indicators)
Frame
Information
Extension Bit
10bit SN
R1
R1
R1
FI
SN
Data
SN
Oct 1
Oct 2
Oct 3
...
Data
Oct N
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
Description
00
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.
UMD PDU with Length Indicators

Depending on the PDU frame format, there are one or more E (Extension) bits. These are
used to indicate if the header has been extended. If it is set to 1, it indicates a set of E and LI
(Length Indicator) fields follow. Figure 6-7 illustrates the example of a UMD data PDU with
a 5bit SN and two extensions, i.e. two E/LI sets.
Figure 6-7 RLC UMD with 2 Length Indicators
FI
SN
E=1
Oct 1
Oct 2
LI1
E=1
LI1
E=0
LI2
LI2
Data
Padding is required
for odd number of
extensions
...
Data
Oct N
6.2.6 AMD PDU

The AMD (Acknowledged Mode Data) PDU is used for acknowledged mode data transfer. It
also has different formats for zero, odd or even numbers of E/LI sets. Figure 6-8 illustrates an
AMD PDU with an odd number of length indicators and as such, four padding bits are added.
In addition, AMD used a 10bit sequence number.
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Figure 6-8 RLC AMD with no Length Indicators
Re-segmentation Flag
(AMD PDU)
Poll Bit
D/C RF=0
D/C=1
(Data PDU)
FI
SN
Data
...
Data
10bit SN
Extension Bit
E
SN
Oct 1
Oct 2
Oct N
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
D/C RF=0
FI
SN
SN
E=1
Oct 1
Oct 2
LI
E=0
LI
LI
Data
...
Data
Padding for odd

number of LIs
Oct N
AMD PDU Segment

The AMD PDU Segment is used to transfer upper layer PDUs by the AM RLC entity. It is
used when the AM RLC entity needs to re-segment an AMD PDU, e.g. when insufficient
resources are available for retransmission.
The RF parameter indicates that it is an AMD PDU Segment. As such, an additional two
octets are added to the header, enabling a LSF (Last Segment Flag) and SO (Segment Offset)
parameters to be added. The latter provides an offset in octets within the original AMD PDU.
This can be used in conjunction with the FI (Frame Information) parameter to identify the first
octet.
Figure 6-10 illustrates an example of the AMD PDU segment header. Like the UMD PDU and
AMD PDU, it also has the ability to include zero, odd or even number of E and LI sets.
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Figure 6-10 RLC AMD PDU Segment
Re-segmentation Flag
(AMD PDU Segment)
Last Segment
Flag
D/C RF=1
LSF
FI
SN
E=0
SN
Oct 1
Oct 2
Oct 3
Oct 4
Oct 5
SO
SO
Data
...
Data
Segment
Offset
Oct N
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
Data
AMD
Segment
Offset x
Data
AMD
Segment
Segment Offset x
LSF=1
Data
AMD
Segment
Segment Offset 0
LSF=0
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:
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Polling from its peer AM RLC entity.
Detection of reception failure of an RLC data PDU.

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Figure 6-12 RLC Status PDU
Control PDU Type

1 = Status PDU
D/C=0
(Control PDU)
D/C
Set of SOstart
and SOend
follows
CPT
ACK_SN
ACK_SN
E1
NACK_SN
E1
E2
NACK_SN
NACK_SN
E1
E2
SOstart
SOstart
SOend
SOend
SOend
Padding
...
Set of NACK_SN,
E1 and E2
Oct 1
Oct 2
Oct 3
Oct 4
Oct 5
Oct 6
Oct 7
Oct 8
Oct 9
6.2.7 RLC Timers

The following timers are configured by RRC:
t-PollRetransmit - this timer is used by the transmitting side of an AM RLC entity in

order to retransmit a poll.
t-Reordering - this timer is used by the receiving side of an AM RLC entity and receiving
UM RLC entity in order to detect loss of RLC PDUs at lower layer.
t-StatusProhibit - this timer is used by the receiving side of an AM RLC entity in order to
prohibit transmission of a STATUS PDU.
6.2.8 Configurable Parameters

The following parameters are configured by RRC:
maxRetxThreshold - this parameter is used by the transmitting side of each AM RLC

entity to limit the number of retransmissions of an AMD PDU.
pollPDU - this parameter is used by the transmitting side of each AM RLC entity to
trigger a poll for every pollPDU PDUs.
pollByte - this parameter is used by the transmitting side of each AM RLC entity to
trigger a poll for every pollByte bytes.
sn-FieldLength - this parameter gives the UM SN field size in bits.
6.3 MAC Functions

As mentioned in Section 2.2.9 MAC (Medium Access Control) provides the interface between
the E-UTRA protocols and the E-UTRA Physical Layer. In so doing, it provides the following
services:
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Mapping - MAC maps the information received on the LTE logical channels into the
LTE transport channels.

6-75
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.
Services Expected from the Physical Layer

The Physical Layer provides the following services to MAC:
Data transfer services.
Signaling of HARQ feedback.
Signaling of Scheduling Request.
Measurements, e.g. CQI (Channel Quality Indication).
The access to the data transfer services is through the use of transport channels. The
characteristics of a transport channel are defined by its transport format (or format set),
specifying the Physical Layer processing to be applied to the transport channel in question,
such as channel coding and interleaving, and any service-specific rate matching as needed
6.4 MAC Architecture

Compared to UMTS, which includes various MAC structures for different channel
configurations, the LTE structure is quite simple. Figure 6-13 illustrates where some of the
MAC functions reside.
Figure 6-13 MAC Structure (UE Side)
PCCH
BCCH
CCCH
DCCH
DTCH
MAC Control
Logical Channel Prioritization (UL

Only)
(De-) Multiplexing
Control
Random
Access
Control
HARQ
MAC
PCH
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BCH
DL-SCH
UL-SCH
RACH

Lower Layers
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6.5 MAC Formatting

6.5.1 MAC Headers
There are various MAC headers depending on whether it is being used for shared channel
operation or RAR (Random Access Response).
MAC PDU for DL-SCH and UL-SCH

Figure 6-14 illustrates the different MAC subheaders which can be used for the DL-SCH and
UL-SCH. Note that the 15bit format is used if the payload is greater the 127 octets.
Figure 6-14 MAC Header
Logical Channel
Identity
"1" to indicate another

set of R/R/E/LCID
R
F
LCID
Oct 1
Oct 2
Oct 3
Oct 4
Oct N
LCID
Oct 1
Oct 2
Oct 3
Oct 4
Oct N
Format Bit
0=7bits
Data
R
F
E
L
L
Format Bit
1=15bits
Data
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
Description
00000
CCCH
00001-01010
Identity of the logical channel
01011-11011
Reserved
11100
UE Contention Resolution Identity
11101
Timing Advance Command
11110
DRX Command
11111
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
Description
00000
CCCH
00001-01010
Identity of the logical channel
01011-11001
Reserved
11010
Power Headroom Report
11011
C-RNTI
11100
Truncated BSR
11101
Short BSR
11110
Long BSR
11111
Padding
6.5.2 MAC Subheaders

Multiplexing Subheaders
A number of LCIDs can be multiplexed into a single transmission. Figure 6-15 illustrates how
multiple MAC headers, i.e. subheaders are concatenated together. This enables the
multiplexing of different LCIDs, such as multiple Radio Bearers, as well as MAC control
LCIDs like TA (Timing Advance).
Figure 6-15 MAC Subheaders
LCID indicates
content
Sub
Header C
Sub
Header B
Sub
Header A
MAC is able to multiplex Logical

Channels into single transmission
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
Timing Advance Command
Oct 1
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.
Buffer Status Report

BSR (Buffer Status Report) MAC control elements consist of either:
Short BSR and Truncated BSR format - this indicates one LCG ID (Logical Channel
Group Identity) field and the corresponding Buffer Size field.
Long BSR format - this indicates four Buffer Size fields, corresponding to LCG IDs #0
through #3.
The BSR formats are identified by MAC PDU subheaders. The fields LCG ID and Buffer
Size are defined as :
LCG ID - this is the Logical Channel Group Identity of a group of logical channel(s)
whose buffer status is being reported. The length of the field is 2 bits, i.e. 4 groups are
possible.
Buffer Size - the Buffer Size field identifies the total amount of data available across all
logical channels of a logical channel group after the MAC PDU has been built. The
amount of data is indicated in bytes. It also includes all data that is available for
transmission in the RLC and PDCP layers.
The Short BSR and Truncated BSR control element is illustrates in Figure 6-17. The
Truncated BSR indicates the buffer size for the highest priority LCG ID, however it implies
that other LCG IDs also have data in the buffer.
Figure 6-17 Short BSR and Truncated BSR MAC Control Element
LCG ID
Buffer Size
Oct 1
The Long BSR control element is able to provide the status of all four LCG IDs.
Figure 6-18 Long BSR MAC Control Element
Buffer #0
Buffer #1
Buffer #2
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Buffer #1
Buffer #2
Buffer #3
Oct 1

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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).
Power Headroom Report

The PHR (Power Headroom Report) is configured by RRC, indicating timers and PL
(Pathloss) thresholds to use. For example, if a periodic timer expires or the pathloss changes
by 3dBs the UE is required to inform the eNB.
Figure 6-19 Power Control Headroom
P
Maximum UE
Output Power
PHR
Power
eNB
UE
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
Power Headroom
Oct 1
Table 6-5 illustrates part of the mapping from the PH value to the actual measured value.
Table 6-5 Power Headroom Report Mapping
6-80
PH
Reported value
Measured Quantity Value (dB)
POWER_HEADROOM_0
-23 PH < -22
POWER_HEADROOM_1
-22 PH < -21
POWER_HEADROOM_2
-21 PH < -20
POWER_HEADROOM_3
-20 PH < -19
62
POWER_HEADROOM_62
39 PH < 40
63
POWER_HEADROOM_63
PH 40

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6.5.3 Random Access Process

The SRB is also termed the RRC Connection, i.e. the UE has moved into the
RRC-Connected State. In order to achieve this state signaling between the eNB and the UE is
required. Figure 6-21 illustrates the main signaling messages to establish a SRB. It is initiated
by the UE sending a Random Access Preamble on the RACH.
Figure 6-21 Random Access RRC Signaling Procedure
eNB
UE
MAC RAR
PRACH Preamble Sequence
RACH
MAC Scheduling Grant

UL-SCH

UL-SCH
MAC
Contention
Resolution
DL-SCH

Signalling Radio Bearer
(RRC Connected)
Random Access Response

On receiving the preamble, the eNB sends a RAR (Random Access Response) on the
DL-SCH. This is addressed to the RA-RNTI on the PDCCH (Physical Downlink Control
Channel). It includes the RAPID (Random Access Preamble Identifier), TA (Timing
Alignment) information, initial UL grant and assignment of a Temporary C-RNTI.
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Figure 6-22 Random Access Response
RAPID
Sub Header A
Sub Header B
Sub Header n
RAPID or BI
MAC RAR
MAC RAR A
MAC RAR B
Oct 1
TA
TA
MAC RAR n
UL Grant
UL Grant
UL Grant
Temporary C-RNTI
Temporary C-RNTI
The contents of the 20bit UL (Uplink) Grant is illustrates in Table 6-6.

Table 6-6 Uplink Grant
Parameter
Size
(bits)
Description
Hopping Flag
Indicates whether the allocation should be

using uplink hopping.
Fixed Size Resource Block

Assignment
10
The assigned uplink resources.
Truncated Modulation and Coding

Scheme
Indication of modulation and coding

scheme to use.
TPC Command for Scheduled

PUSCH
Initial power control feedback, e.g. -4dB.
UL Delay
Indicates whether uplink assignment is

delayed until the next subframe, e.g.
K+4+1.
CQI Request
Indicates whether the UE has been

requested to multiplex the CQI (Channel
Quality Indicator) into the scheduled
PUSCH transmission.
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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Figure 6-23 Backoff Indicator
E
Sub Header A
Sub Header B
Sub Header n
MAC RAR B
BI
Oct 1
RAPID or BI
Backoff Indicator
0 - 960ms
MAC RAR n
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7 X2/S1 Interface and Protocols
X2/S1 Interface and Protocols
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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7.1 X2AP Functions and Procedures

The X2 interface links an eNB to its neighbors. It is sub-divided into a Control Plane and User
Plane, these are illustrated in Figure 7-1. The messages required to invoke the X2 interface
services are carried by X2AP (X2 Application Part) in the Control Plane. The User Plane
utilizes the services of GTPv1-U (GPRS Tunneling Protocol Version 1 - User Plane). The
E-UTRAN interfaces use similar terminology to that of UMTS, in that the interfaces are
divided into a RNL (Radio Network Layer) and a TNL (Transport Network Layer). The Radio
Network Layer supports the higher layer functions, incorporating X2AP and the users IP
streams.
Figure 7-1 X2 Control and User Plane
E-UTRAN
Control Plane
X2AP
eNB
X2
eNB
User Plane
RNL
IP
TNL
GTP-U
SCTP
UDP
IP
IP
Layer 2
Layer 2
Layer 1
Layer 1
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.
7.1.2 Functions of the X2 Application Protocol

The X2AP has the following functions:
Mobility Management - this function allows the eNB to move the responsibility of a
certain UE to another eNB. Forwarding of User Plane data, Status Transfer and UE
Context Release function are parts of the mobility management.
Load Management - this function is used by eNBs to indicate resource status, overload
and traffic load to each other.
Reporting of General Error Situations - this function allows reporting of general error
situations, for which function specific error messages have not been defined.
Resetting the X2 - this function is used to reset the X2 interface.
Setting up the X2 - this function is used to exchange necessary data for the eNB for setup
the X2 interface and implicitly perform an X2 Reset.
eNB Configuration Update - this function allows updating of application level data
needed for two eNBs to interoperate correctly over the X2 interface.
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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
Elementary Procedure(s)
Mobility Management
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
Error Indication.
Resetting the X2
Reset.
Setting up the X2
X2 Setup.
eNB Configuration Update
eNB Configuration Update.
7.1.3 X2 Elementary Procedures

The X2AP consists of various Elementary Procedures. Class 1 procedures, i.e. EPs including
a request and response, are illustrated in Table 7-2.
Table 7-2 Class 1 Elementary Procedures
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Elementary
Procedure
Initiating
Message
Successful Outcome
Unsuccessful Outcome
Response message
Response message
Handover
Preparation
HANDOVER
REQUEST
HANDOVER
REQUEST
ACKNOWLEDGE
HANDOVER
PREPARATION
FAILURE
Reset
RESET REQUEST
RESET RESPONSE
X2 Setup
X2 SETUP
REQUEST
X2 SETUP
RESPONSE
X2 SETUP FAILURE
eNB
Configuration
Update
ENB
CONFIGURATION
UPDATE
ENB
CONFIGURATION
UPDATE
ACKNOWLEDGE
ENB CONFIGURATION
UPDATE FAILURE
Resource
Status
Reporting
Initiation
RESOURCE
STATUS
REQUEST
RESOURCE STATUS
RESPONSE
RESOURCE STATUS
FAILURE

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The X2AP also supports various Class 2 procedures, i.e. EPs without a response message.
Elementary Procedure
Initiating Message
Load Indication
LOAD INFORMATION
Handover Cancel
HANDOVER CANCEL
SN Status Transfer
SN STATUS TRANSFER
UE Context Release
UE CONTEXT RELEASE
Resource Status Reporting
RESOURCE STATUS UPDATE
Error Indication
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.
7.1.4 Message Formatting

X2AP messages and S1AP messages consist of individual IE (Information Elements) and
groups of Information Elements that are nested together. Each message must start with the
element defining the Message Type. This will be followed by a series of Information
Elements.
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:
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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.
7.1.5 X2 Basic Mobility Procedures - Handover Preparation

Based on radio resource requirements the source eNB will decide to initiate a handover
procedure with the target eNB. The source eNB initiates the procedure by sending the
Handover Request message to the target eNB. Note that the following messages are also
included in mobility scenarios in Section 8.1 .
Handover Request
The Handover Request message includes the following information:
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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
Handover Request
Old eNB UE X2AP ID
Cause
ECGI
GUMMEI
UE Context Information
- MME UE S1AP ID
- UE Security Capabilities
- AS Security Information
- UE Aggregate Maximum Bit Rate
- Subscriber Profile ID for RAT/Frequency Priority
- E-RAB To Be Setup List
UE History Information
Trace Activation (O)
SRVCC Operation Possible (O)
eNB
Source
eNB
Target
Handover Request
Handover Request Acknowledge
Old eNB UE X2AP ID
New eNB UE X2AP ID
E-RABs Admitted List
E-RABs Not Admitted List (O)
Target eNB To Source eNB Transparent Container
Criticality Diagnostics (O)

The allocation of E-RAB resources will be based on those received in the Handover Request
procedure. Note that if conflicts occur the target eNB can utilize the ARP (Allocation and
Retention Priority) parameter (part of the E-RAB QoS) to help resolve the issue. In so doing,
the target eNB admits the E-RABs and sends the Handover Request Acknowledge message
back to the source eNB. The message contains the following information:
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 Admitted List - this details the list of E-RAB(s) that have been admitted based
on the resources available in the target eNB.
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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.
Handover Preparation Failure

There are a number of reasons why the Handover Preparation Failure message may be sent,
typical examples include:
If the target eNB does not admit at least one non-GBR E-RAB.
The target eNB receives a Handover Request message and the RRC Context parameter
does not include required information.
A failure occurs during the Handover Preparation.
In these instances, the target eNB sends the Handover Preparation Failure message to the
source eNB with the appropriate cause parameter indicated.
Figure 7-3 X2 Handover Preparation Failure
eNB
Source
eNB
Target
Handover Request
Old eNB UE X2AP ID
Cause
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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Figure 7-4 X2 SN Status Transfer
eNB
Source
SN Status Transfer
Old eNB UE X2AP ID
New eNB UE X2AP ID
E-RABs Subject To Status Transfer List
- E-RAB ID
- Receive Status Of UL PDCP SDUs (O)
- UL COUNT Value
- DL COUNT Value
eNB
Target
SN Status Transfer
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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Figure 7-5 X2 UE Context Release
UE Context Release
Old eNB UE X2AP ID
New eNB UE X2AP ID
eNB
Source
eNB
Target
UE Context Release
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
Handover Cancel
Old eNB UE X2AP ID
New eNB UE X2AP ID
Cause
eNB
Source
eNB
Target
Handover Cancel
7.1.6 X2 Load Indication

The Load Indication message transfers load and interference coordination information
between neighboring eNBs that are operating on the same carrier frequency. It enables an
eNB to indicate the interference it is experiencing on particular PRB (Physical Resource
Block) and the sensitivity to interference for each PRB.
The message contains the following information:
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Cell ID - this indicates the cell to which the report relates.
UL Interference Load Indication - this is used to report to a neighbor eNB that specific
PRBs are experiencing interference. This may be defined as high, medium or low. PRB
are listed with PRB 0 being the first in the list, PRB 1 is the second and so on.
UL High Interference Indication - this message indicates the sensitivity of PRB to

interference. A bit map is used, with a 0 indicating low sensitivity and 1 indicating high
sensitivity.
RNTP (Relative Narrowband Tx Power) - this indicates, per PRB, whether downlink
transmission power is lower than the value indicated by the RNTP threshold. The
receiving eNB may take such information into account when setting its scheduling policy
and can consider the received RNTP value valid until reception of a new Load
Information message carrying an update.

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Figure 7-7 X2 Load Indication
Load Indication
Cell Information
- Cell Information Item
-- Cell ID
-- UL Interference Overload Indication
-- UL High Interference Information
--- Target Cell ID
--- UL High Interference Indication
--- RNTP (Relative Narrowband Tx Power)
eNB
eNB
Load Indication
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
UL High Interference
Information (bitmap)
eNB
0
1
1
0
Medium Medium Medium High
PRB 0 PRB 1 PRB 2 PRB 3
0
High
PRB 4
0
Low
PRB 5
UL Interference
Overload Indication
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
RNTP (Relative
Narrowband Tx Power)
Bitmap and Parameters
Downlink
Power
eNB
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PRB 0
PRB 1
PRB 2
PRB 3
PRB 4
PRB 5

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7.1.7 X2 Resource Status Reporting

Closely associated with load reporting is resource status reporting, this is used by an eNB to
request updated information regarding load information etc from its neighbors.
Resource Status Request

The Resource Status Request message is sent from one eNB to its neighbor. It is used to
register (start) measurement reports or to deregister (stop) these reports. It is also used to
request the periodicy of reports and to specify the specific cells on which reports are required.
Figure 7-10 X2 Resource Status Request

eNB1 Measurement ID
eNB2 Measurement ID (C) - If Registration Stop
Registration Request - Start or Stop
Report Characteristics (O)
Cell To Report
Reporting Periodicity (O)
eNB
eNB
Resource Status Response
eNB1 Measurement ID
eNB2 Measurement ID
The Reported Characteristics parameter is used to indicate: PRB Periodic, TNL load
Indication Periodic or HW Load Indication Periodic.

The Resource Status Response message indicates if the request can be performed. Subsequent
messages are then sent in Resource Status Update messages.
Resource Status Failure

The Resource Status Failure message is sent when requested measurements cannot be
initiated.
Resource Status Update

The Resource Status Update message is used to send the requested results. It includes the
requested report.
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Figure 7-11 X2 Resource Status Update
eNB
eNB
eNB1 Measurement ID
eNB2 Measurement ID
Cell Measurement Result
- ECGI
- Hardware Load Indicator
- S1 TNL Load Indicator
- Radio Resource Status
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:
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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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Figure 7-12 X2 Setup Request
X2 Setup Request
Global eNB ID
Served Cells
- Served Cell Information
- Neighbor Information
-- ECGI
-- PCI
-- EARFCN
GU Group Id List (C)
eNB
eNB
X2 Setup Request
X2 Setup Response
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.
7.1.9 X2 eNB Configuration

The purpose of the eNB Configuration Update procedure is to update application level
configuration data needed for two eNBs to interoperate correctly over the X2 interface.

The eNB Configuration Update includes updates and modification to the eNB configuration.
eNB Configuration Update Acknowledge

The eNB Configuration Update Acknowledge message is returned to indicate to the sending
eNB that the necessary updates have been completed in the target eNB.
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Figure 7-13 eNB Configuration Update

Served Cells To Add
Served Cells To Modify
Served Cells To Delete
GU Group Id To Add List
GU Group Id To Delete List
eNB
eNB
eNB Configuration Update Acknowledgment
eNB Configuration Update Acknowledgment

Criticality Diagnostics
eNB Configuration Update Failure

If the eNB cannot accept the update it responds with an eNB Configuration Update Failure
message and the appropriate cause value. If the message includes the Time To Wait parameter
the eNB waits at least for the indicated time before reinitiating the eNB Configuration Update
procedure towards the same eNB. Both eNBs continue to communicate on the X2 interface
with their existing configuration data.
7.2 S1AP Functions and Procedures

The S1AP, which resides on the S1-MME interface within the E-UTRAN, uses the concept of
an EP (Elementary Procedure). These interactions comprise of a series of protocol messages
which in turn consist of one or more IE (Information Element). Like the X2 interface, the S1
interface can be split into a RNL (Radio Network Layer) and TNL (Transport network Layer).
Figure 7-14 illustrates this split, as well as the associated protocols.
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7-97
Figure 7-14 S1 Control and User Plane
Control Plane
User Plane
RNL
S1AP
IP
GTP-U
SCTP
UDP
IP
IP
Layer 2
Layer 2
Layer 1
Layer 1
S1-MME
S1-U
7.2.1 S1AP Functions

S1AP is defined as being able to perform the following functions:
E-RAB Management - this overall functionality is responsible for setting up, modifying
and releasing E-RABs, which are triggered by the MME. Note that the release of
E-RABs may be triggered by the eNB as well.
Initial Context Transfer - this is used to establish an S1 UE context in the eNB, to setup
the default IP connectivity, to setup one or more E-RAB(s) if requested by the MME, as
well as to transfer NAS (Non Access Stratum) signaling related information to the eNB if
needed.
UE Capability Information Indication - this functionality is used to provide the UE

Capability Information when received from the UE to the MME.
Mobility - this function is for UEs in LTE_ACTIVE in order to enable:

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:
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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.
7.2.2 S1AP Elementary Procedures

The S1AP, like X2AP, consists of different classes of procedures, namely Class 1 (with
response) and Class 2 (without response). Table 7-3 illustrates the Class 1 S1AP Procedures
and associated messages.
Table 7-3 S1AP Class 1 Elementary Procedures
Elementary
Procedure
Initiating Message
Successful
Outcome
Unsuccessful
Outcome
Response message
Response message
Handover
Preparation
HANDOVER
REQUIRED
HANDOVER
COMMAND
HANDOVER
PREPARATION
FAILURE
Handover Resource
Allocation
HANDOVER
REQUEST
HANDOVER
REQUEST
ACKNOWLEDGE
HANDOVER
FAILURE
Path Switch Request
PATH SWITCH
REQUEST
PATH SWITCH
REQUEST
ACKNOWLEDGE
PATH SWITCH
REQUEST
FAILURE
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7-99
Handover
Cancellation
HANDOVER
CANCEL
HANDOVER
CANCEL
ACKNOWLEDGE
E-RAB Setup
E-RAB SETUP
REQUEST
E-RAB SETUP
RESPONSE
E-RAB Modify
E-RAB MODIFY
REQUEST
E-RAB MODIFY
RESPONSE
E-RAB Release
E-RAB RELEASE
COMMAND
E-RAB RELEASE
RESPONSE
Initial Context Setup
INITIAL
CONTEXT SETUP
REQUEST
INITIAL
CONTEXT SETUP
RESPONSE
Reset
RESET
RESET
ACKNOWLEDGE
S1 Setup
S1 SETUP
REQUEST
S1 SETUP
RESPONSE
UE Context Release
UE CONTEXT
RELEASE
COMMAND
UE CONTEXT
RELEASE
COMPLETE
UE Context
Modification
UE CONTEXT
MODIFICATION
REQUEST
UE CONTEXT
MODIFICATION
RESPONSE
UE CONTEXT
MODIFICATION
FAILURE
eNB Configuration
Update
ENB
CONFIGURATION
UPDATE
ENB
CONFIGURATION
UPDATE
ACKNOWLEDGE
ENB
CONFIGURATION
UPDATE FAILURE
MME Configuration
Update
MME
CONFIGURATION
UPDATE
MME
CONFIGURATION
UPDATE
ACKNOWLEDGE
MME
CONFIGURATION
UPDATE FAILURE
Write-Replace
Warning
WRITE-REPLACE
WARNING
REQUEST
WRITE-REPLACE
WARNING
RESPONSE
INITIAL
CONTEXT SETUP
FAILURE
S1 SETUP
FAILURE
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
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Elementary Procedure
Message
Handover Notification
HANDOVER NOTIFY
E-RAB Release Indication
E-RAB RELEASE INDICATION

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Paging
PAGING
Initial UE Message
INITIAL UE MESSAGE
Downlink NAS Transport
DOWNLINK NAS TRANSPORT
Uplink NAS Transport
UPLINK NAS TRANSPORT
NAS non delivery indication
NAS NON DELIVERY INDICATION
Error Indication
ERROR INDICATION
UE Context Release Request
UE CONTEXT RELEASE REQUEST
DownlinkS1 CDMA2000 Tunneling
DOWNLINK S1 CDMA2000 TUNNELING
Uplink S1 CDMA2000 Tunneling
UPLINK S1 CDMA2000 TUNNELING
UE Capability Info Indication
UE CAPABILITY INFO INDICATION
eNB Status Transfer
eNB STATUS TRANSFER
MME Status Transfer
MME STATUS TRANSFER
Deactivate Trace
DEACTIVATE TRACE
Trace Start
TRACE START
Trace Failure Indication
TRACE FAILURE INDICATION
Location Reporting Control
LOCATION REPORTING CONTROL
Location Reporting Failure

Indication
LOCATION REPORTING FAILURE

INDICATION
Location Report
LOCATION REPORT
Overload Start
OVERLOAD START
Overload Stop
OVERLOAD STOP
eNB Direct Information Transfer
eNB DIRECT INFORMATION TRANSFER
MME Direct Information Transfer
MME DIRECT INFORMATION TRANSFER
eNB Configuration Transfer
eNB CONFIGURATION TRANSFER
MME Configuration Transfer
MME CONFIGURATION TRANSFER
Cell Traffic Trace
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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7-101
Figure 7-15 S1 Setup Request
eNB
S1 Setup Request
Global eNB ID
eNB Name (O)
Supported TAs
- TAC
Broadcast PLMNs
- PLMN Identity
CSG Id List (O)
- CSG Id
Default Paging DRX
MME
S1 Setup Request
S1 Setup Response
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
eNB
MME
S1 Setup Request
S1 Setup Response
S1 Setup Response
MME Name (O)
Served GUMMEIs
- Served PLMNs
-- PLMN Identity
- Served GroupIDs
-- MME Group ID
- Served MMECs
-- MME Code
Relative MME Capacity
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7.2.4 eNB and MME Configuration Update

Both the eNB and MME can also send a configuration update message to update information
previously sent in the S1 Setup procedure. These messages carry similar information to the S1
Setup Request and S1 Setup Response messages.
7.2.5 NAS Transport

The role of NAS transport is to transparently move messages between the UE and the MME
that have no relevance to the eNB. The procedures providing this functionality are the Initial
UE Message, Uplink NAS Transport, Downlink NAS Transport, Downlink NAS Non
Delivery Indication.
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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Figure 7-17 S1 Initial UE Message
Initial UE Message
eNB UE S1AP ID
NAS-PDU
TAI
E-UTRAN CGI
S-TMSI (O)
CSG Identity (O)
RRC Establishment cause
GUMMEI (O)
eNB
MME
Initial UE Message
Downlink and Uplink NAS Transport

Subsequent NAS signaling between the UE and MME can be carried by various S1 signaling
messages, such as Downlink NAS Transport and Uplink NAS Transport. However, other
S1AP messages can also carry NAS signaling, these include the Initial Context Setup Request,
E-RAB Setup, E-RAB Modification and E-RAB Release messages. Figure 7-18 illustrates the
Downlink and Uplink NAS transport messages, as well as their contents. It is worth noting
that these messages are independent of each other.
Figure 7-18 S1 Downlink and Uplink NAS Transport
eNB

MME UE S1AP ID
eNB UE S1AP ID
NAS-PDU
Handover Restriction List (O)
MME

MME UE S1AP ID
eNB UE S1AP ID
NAS-PDU
E-UTRAN CGI
TAI
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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NAS Non Delivery Indication

If a eNB decides not to start the delivery of a NAS message or the eNB is unable to ensure
that the message has been received by the UE, it sends a NAS Non Delivery Indication
message to the MME. This includes the non-delivered NAS message and an appropriate cause
value e.g. "S1 intra system Handover Triggered", "S1 inter system Handover Triggered" or
"X2 Handover Triggered". Note that the X2 interface cannot carry or forward NAS PDUs as
part of the handover.
7.2.6 Initial Context Setup

The Initial Context Setup message is used to pass the relevant information in order to
establish the UEs context. Figure 7-19 illustrates the parameters in the Initial Context Setup
Request message. In addition to the MME UE S1AP ID and eNB UE S1AP ID association
identifiers, the other parameters include:
UE Aggregate Maximum Bit Rate - this indicates to the eNB the total aggregate data rate
assigned to the UE.
RAB to be Setup List - this includes the E-RAB context information. Each E-RAB
includes an E-RAB ID, QoS parameters and User Plane tunnel information, i.e. an IP
address and TEID (Tunnel Endpoint Identifier).
UE Security Capabilities - this indicates the security algorithms supported by the UE.
Security Key - the purpose of the Security Key IE is to provide security related
parameters to the eNB.
Trace Activation - this optional parameter is able to setup RRC, X2 and S1AP tracing for
a UE.
Handover Restriction List - this optional parameter is used to update the eNB on roaming
area or access restrictions.
UE Radio Capability - this optional parameter provides the eNB with initial UE radio
capability.
Subscriber Profile ID for RAT/Frequency Priority - this optional parameter is used to

define camp priorities in Idle Mode and to control inter-RAT/inter-frequency handover in
Active Mode.
CS Fallback Indicator - this optional parameter indicates that a fallback to the CS domain
is needed.
SRVCC Operation Possible - this optional parameter indicates if SRVCC is possible.
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Figure 7-19 S1 Initial Context Setup Request
Initial Context Setup Request

MME UE S1AP ID
eNB UE S1AP ID
UE Aggregate Maximum Bit Rate
E-RAB to Be Setup List
- E-RAB ID
- E-RAB Level QoS Parameters
- Transport Layer Address
- GTP-TEID
- NAS-PDU (O)
UE Security Capabilities
Security Key
UE Radio Capability (O)
Subscriber Profile ID for RAT/Frequency Priority (O)
CS Fallback Indicator (O)
eNB
MME
S-GW
Create
Session
(GTPv2-C)
Initial Context Setup Response

E-RAB ID = 5
S-GW Address
and TEID

The eNB sends the Initial Context Setup Response message back to the MME indicating the
E-RABs setup or failed. In addition, for each E-RAB established the eNB provides User Plane
tunnel information in the form of a Transport Layer Address and TEID.
Finally, a Criticality Diagnostics parameter may be included if parts of a received message
have not been comprehended or were missing.
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Figure 7-20 Initial Context Setup Response

MME UE S1AP ID
eNB UE S1AP ID
E-RAB Setup List
- E-RAB ID
- GTP-TEID
E-RAB Failed to Setup List (O)
eNB
MME
S-GW

eNB Address and
TEID
E-RAB ID = 5
Modify
Bearer
S-GW Address
and TEID
Initial Context Setup Failure

If the eNB is not able to establish an S1 UE context, or cannot even establish one non GBR
bearer it considers the procedure to have failed and replies with the Initial Context Setup
Failure message. This includes a cause and optionally the criticality diagnostics parameter.
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.
7.2.7 E-RAB Establishment

The E-RAB Setup procedure is used to setup UE resources, i.e. additional EPS Bearers.
Figure 7-21 illustrates the key parameters. Note that these are identical to the ones used in the
Initial Context Setup Request and Response messages, i.e. involves interaction between MME
and S-GW.
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Figure 7-21 S1 E-RAB Setup Request
eNB
E-RAB Setup Request

MME UE S1AP ID
eNB UE S1AP ID
UE Aggregate Maximum Bit Rate (O)
E-RAB to Be Setup List
- E-RAB ID
- GTP-TEID
- NAS-PDU
MME
E-RAB Setup Request

E-RAB Setup Response
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
eNB
MME
E-RAB Setup Request
MME UE S1AP ID
eNB UE S1AP ID
E-RAB Setup List
- E-RAB ID
- GTP-TEID
E-RAB Failed to Setup List (O)
E-RAB Modification Request and Response

This message is sent due to the requirement to modify the E-RAB, i.e. a change to the QoS or
the TFT (Traffic Flow Template) filters. The E-RAB modification message is almost identical
to the E-RAB Setup however it does not include the User Plane Tunnel information (since it
already exists). The main parameters are the E-RAB QoS and the associated NAS signaling.
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E-RAB Release Command and Response

Assuming that one or more EPS Bearer needs to be released (not all) the MME can sent a
E-RAB Release Command message to the eNB. This includes the E-RAB ID and optionally
associated NAS signaling.

The eNB is able to trigger the releasing of one or more E-RAB(s) belonging to a UE. This is
achieved using the E-RAB Release Indication message which includes the E-RAB ID(s).
Figure 7-23 E-RAB Release Indication

MME UE S1AP ID
eNB UE S1AP ID
E-RAB Released List
eNB
MME
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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Figure 7-24 Requirement for S1 Handover Procedures
S11
S-GW
MME
S11
S1-MME
S1-U
S1-MME
S1-U
S1-U
S1-U
eNB
S-GW
eNB
UE
Handover Preparation Phase - Handover Request

The purpose of the Handover Preparation procedure is to request the preparation of resources
at the target side via the EPC. The source eNB initiates the handover preparation by sending
the Handover Required message to the serving MME. Figure 7-25 illustrates the S1AP
Handover Required message.
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Figure 7-25 S1 Handover Required
eNB
Source
MME
Handover Required
Handover Required
MME UE S1AP ID
eNB UE S1AP ID
Handover Type
Cause
Target ID
Direct Forwarding Path Availability (O)
SRVCC HO Indication (O)
Source to Target Transparent Container
Source to Target Transparent Container Secondary (O)
MS Classmark 2 (C) if SRVCC to GERAN
MS Classmark 3 (C) if SRVCC to GERAN
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:
Intra LTE.
LTE to UTRAN.
LTE to GERAN.
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.
Handover Preparation Phase - Handover Command

The Handover Command message is sent by the MME to indicate to the source eNB that the
handover has been prepared by the target.
Figure 7-26 S1 Handover Command
eNB
Source
MME
Handover Command
Handover Command
MME UE S1AP ID
eNB UE S1AP ID
Handover Type
NAS Security Parameters from E-UTRAN (C)if to UTRAN GERAN
E-RABs Subject to Forwarding List (O)
- E-RAB ID
- DL Transport Layer Address (O)
- DL GTP-TEID (O)
- UL Transport Layer Address (O)
- UL GTP-TEID (O)
E-RABs to Release List (O)
Target to Source Transparent Container
Target to Source Transparent Container Secondary (O)
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.
Handover Preparation Phase - Handover Preparation Failure

The Handover Preparation failure message is sent by the MME to inform the source eNB that
the Handover Preparation has failed.
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Handover Resource Allocation Phase - Handover Request

The purpose of Handover Resource Allocation Phase is to identify and reserve resources for
the handover at the target eNB. Figure 7-27 illustrates the Handover Request message. The
parameters are similar to the Initial Context Setup Request message however additional
handover security parameters for interworking are included.
Figure 7-27 S1 Handover Request
eNB
Target
Handover Request
MME UE S1AP ID
Handover Type
Cause
UE Aggregate Maximum Bit Rate
E-RABs To Be Setup List
- E-RAB ID
- Transport Layer
- GTP-TEID
Source to Target Transparent Container
Request Type (O)
Security Context
NAS Security Parameters to E-UTRAN (C)
MME
Handover Request
The Request Type parameter is part of Location Reporting and is detailed in Section 7.2.14
Handover Resource Allocation Phase - Handover Request Acknowledge

On receiving the Handover Request message from the MME the eNB sends a Handover
Request Acknowledge message.
Figure 7-28 illustrates the Handover Request Acknowledge message. This includes the
admitted E-RAB(s) and associated parameters for handling the User Plane tunnels, namely
eNB Transport Layer Address and GTP-TEID. In addition, it can also include:
DL Transport Layer Address and DL GTP-TEID - these parameters (optionally) are

passed to the source to indicate where to deliver forwarded downlink PDCP SDUs.
UL Transport Layer Address and UL GTP-TEID - these parameters (optionally) are

passed to the source to indicate where to deliver forwarded uplink PDCP SDUs.
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Figure 7-28 Handover Request Acknowledge

MME UE S1AP ID
eNB UE S1AP ID
E-RABs Admitted List
- E-RAB ID
- GTP-TEID
- DL Transport Layer Address (O)
- DL GTP-TEID (O)
- UL Transport Layer Address (O)
- UL GTP-TEID (O)
E-RABs Failed to Setup List (O)
Target to Source Transparent Container
eNB
Target
MME
Handover Request
Handover Resource Allocation Phase - Handover Failure

The Handover Failure message is sent by the target eNB to inform the MME that the
preparation of resources has failed. It includes an appropriate cause value.
Handover Notification Phase

The purpose of notification is to inform the MME that the UE has successfully been handed
over to the target eNB. Figure 7-29 illustrates the Handover Notify message and associate
parameters.
Figure 7-29 Handover Notify
eNB
Target
Handover Notify
MME UE S1AP ID
eNB UE S1AP ID
E-UTRAN CGI
TAI
MME
Handover Notify
7.2.9 Path Switch

The Path Switch Request message is sent by the eNB to request the MME to switch downlink
GTP tunnel termination point(s) from one end-point to another. Note it is also discussed in
Section 8.1 .
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Path Switch Request

Figure 7-30 illustrates an example whereby the handover has taken place between two eNBs.
On completion of the handover the target eNB sends the Path Switch Request message to the
MME indicating a new eNB UE S1AP ID, as well as the original MME UE S1AP ID. The
MME on receiving this message triggers a GTPv2-C Modify Bearer procedure towards the
S-GW.
Figure 7-30 S1 Path Switch Request
eNB
Target
eNB
Source
S-GW
MME
Forwarding
Path Switch Request
Path Switch Request
eNB UE S1AP ID
E-RAB To Be Switched
- E-RAB ID
- Transport layer address
- GTP-TEID
Source MME UE S1AP ID
E-UTRAN CGI
TAI
Modify Bearer
(GTPv2-C)
Path Switch Request Acknowledge

The MME, on successfully updating the S-GW, forwards the Path Switch Request
Acknowledge message to the target eNB.
Figure 7-31illustrates the Path Switch Request Acknowledge message and its parameters. The
MME has assigned a new MME UE S1AP ID and other parameters are similar to previous
S1AP messages.
It is worth noting that if multiple EPS Bearers (multiple E-RABs) were active, each would be
assigned a new Transport Layer Address and GTP-TEID.
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Figure 7-31 Path Switch Request Acknowledge
eNB
Target
eNB
Source
S-GW
MME
Forwarding

MME UE S1AP ID
eNB UE S1AP ID
UE Aggregate Maximum Bit Rate (O)
E-RAB To Be Switched in Uplink List (O)
- E-RAB ID
- GTP-TEID
E-RAB To Be Released List (O)
Security Context
7.2.10 Handover Cancel

The purpose of the Handover Cancel procedure is to enable a source eNB to cancel an
ongoing handover preparation or an already prepared handover. Figure 7-32 illustrates the
Handover Cancel procedure.
Figure 7-32 Handover Cancel
eNB
Source
Handover Cancel
MME UE S1AP ID
eNB UE S1AP ID
Cause
MME
Handover Cancel
Handover Cancel Acknowledge
Handover Cancel Acknowledge
MME UE S1AP ID
eNB UE S1AP ID
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7.2.11 Status Transfer

The purpose of the eNB Status Transfer procedure and MME Status Transfer procedure is to
transfer the uplink PDCP-SN and HFN receiver status and the downlink PDCP-SN and HFN
transmitter status from the source eNB to the target eNB via the MME during an intra LTE S1
handover for each respective E-RAB for which PDCP-SN and HFN status preservation
applies. These messages carry a container which includes similar parameters to the X2 Status
Transfer message discussed in Section 7.1.5 .
7.2.12 UE Context Release

The UE Context Release procedure enables the MME to release of the UE associated logical
connection due to various reasons, for example:
Completion of a transaction between the UE and the EPC.
Completion of successful handover.
Completion of handover cancellation.
Release of the old UE associated logical S1-connection when two UE-associated logical
S1-connections toward the same UE are detected after the UE has initiated the
establishment of a new UE associated logical S1-connection.
The procedure uses UE-associated S1 connection.

Figure 7-33 illustrates the UE Context Release Command message towards the MME. This
contain the UE S1AP ID pair parameter (if available), otherwise it contain the MME UE
S1AP ID.
Figure 7-33 UE Context Release
UE Context Release Command

UE S1AP ID pair or MME UE S1AP ID
Cause
eNB
MME
UE Context Release Command
UE Context Release Complete
UE Context Release Complete
MME UE S1AP ID
eNB UE S1AP ID
UE Context Release Request - eNB Initiated

The purpose of the UE Context Release Request procedure is to enable the eNB to request the
MME to release the UE associated logical S1 connection due to E-UTRAN generated reason.
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Figure 7-34 UE Context Release Request

MME UE S1AP ID
eNB UE S1AP ID
Cause
eNB
MME
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
eNB
Reset
Cause
Reset Type
- S1 Interface
-- Reset All
- Part of S1 Interface
-- UE-Associated Logical S1 Connection List
MME
Reset
Reset Acknowledge
7.2.14 Location Reporting Control

The purpose of Location Reporting Control procedure is to allow the MME to request the
eNB to report where the UE is currently located.
The Request Type contains two parameters:
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Event - this can indicate Direct, Change of service cell, Stop Change of service cell.
Report Area - this has only one option, i.e. ECGI.

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Figure 7-36 Location Report Control
Location Report Control

MME UE S1AP ID
eNB UE S1AP ID
Request Type
- Event
- Report Area
eNB
MME
Location Report Control
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
Overload Start
Overload Response
- Overload Action
eNB
MME
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.
7.2.16 Direct Information Transfer

The purpose of the eNB Direct Information Transfer procedure and MME Direct Information
Transfer procedure is to transfer RAN (Radio Access Network) information to and from the
eNB. Note that the MME does not interpret the transferred RAN information. The payload
includes RIM (RAN Information Management) to and from a GERAN BSS (Base Station
Subsystem).
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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
eNB
Paging
UE Identity Index Value
UE Paging Identity
Paging DRX (O)
CN Domain
List of TAIs
- TAI
CSG Id List (O)
- CSG Id
MME
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.
7.3 User Plane GTP Functions and Procedures

There are various types and version of GTP (GPRS Tunneling Protocol). The E-UTRAN
specifically uses GTPv1-U (GPRS Tunneling Protocol Version 1 - User) on the X2 and S1-U
interfaces. It is worth noting that GTPv1-U is also in the User Plane tunnel in the EPC.
7.3.1 GTP Tunnels

Many UE PDN (Packet Data Network) sessions, termed GTP Tunnels, may be multiplexed
across the GTP Path using the TEID (Tunnel Endpoint Identifier). The receiving side of a
GTP tunnel locally assigns the TEID value the transmitting side has to use. The TEID values
are exchanged between tunnel endpoints using S1AP messages on the S1-MME interface and
GTPv2-C (GPRS Tunneling Protocol Version 2 - Control) messages on the S11 interface.
Figure 7-39 illustrates the concept of a GTP tunnel and the associated endpoints.
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Figure 7-39 GTP Tunnel
S11
MME
GT
S1-MME
PT
S-GW
l
ne
un
Transport Network Address

TEID
S1-U
Transport Network Address

TEID
eNB
Each GTP Tunnel supports one EPS Bearer, i.e. E-RAB. Thus multiple tunnels exist for multiple UEs.
7.3.2 GTPv1-U Header

It is worth noting the headers for GTPv1-U are different to GTPv2-C. Figure 7-40 illustrates
the GTPv1-U header, highlighting the TEID field.
Figure 7-40 GTPv1-U Header
Version
PT
(*)
E
S
Message Type
Length
Length
TEID
TEID
TEID
TEID
Sequence Number
Sequence Number
N-PDU Number
Next Extension Header Type
1
PN
Oct 1
Oct 2
Oct 3
Oct 4
Oct 5
Oct 6
Oct 7
Oct 8
Oct 9
Oct 10
Oct 11
Oct 12
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.
7.3.3 Extension Header

Figure 7-41 illustrates the GTP extension header. This includes the content and its length, i.e.
the type field in the GTP header indicated what was included.
Figure 7-41 GTP Extension Header
Extension Header Length

Extension Header Content
Next Extension Header Type
1
Oct 1
Oct 2 - m
Oct m + 1
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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Extension Header - UDP Port

This extension header is usually transmitted in Error Indication messages to provide the UDP
Source Port of the G-PDU that triggered the Error Indication.
Extension Header - PDCP PDU Number

This extension header is transmitted between eNBs when PDCP PDU packets are forwarded
between the source and target eNBs. The use of this extension header is discussed in Section
8.1 .
7.3.4 Handling of Sequence Numbers

For PDN-GW, S-GW and eNB the usage of sequence numbers in G-PDUs is optional, but if
present GTP-U protocol entities in these nodes are relaying G-PDUs to other nodes, then they
relay the sequence numbers.
7.3.5 GTPv1-U Procedures

Table 7-5 lists the various GTPv1-U messages. The G-PDU is used to tunnel IP datagrams to
and from the eNB.
Table 7-5 Messages in GTP-U
Message Type Value
Message
Echo Request
Echo Response
3-25
Reserved
26
Error Indication
27-30
Reserved
31
Supported Extension Headers Notification
32-253
Reserved
254
End Marker
255
G-PDU
7.3.6 Path Management

Echo Procedure
GTP-U peer entities can send an Echo Request on a path to find out if it is alive. The Echo
Request messages can also be sent for each path in use, i.e. for each EPS Bearer. The
procedure can be repeated periodically and whilst the timing is implementation specific it is
not sent more often than every 60s on each path. Note that this does not prevent resending an
Echo Request with the same sequence number based on response timers.
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Figure 7-42 GTP Echo Procedure
Echo Request
Private Extension (O)
S-GW
eNB
Echo Request
Echo Response
60s
Echo Response
Recovery
Private Extension (O)
Echo Request
Echo Response
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.
Supported Extension Headers Notification Procedure

The Supported Extension Headers Notification message indicates a list of supported
Extension Headers that the GTP entity on the identified IP address can support.
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Issue 06 (2006-03-01)
Figure 7-43 Supported Extension Headers Notification
G-PDU
Including Extension Header
S-GW
eNB
G-PDU
Supported Extension Headers Notification
Extension not
supported
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.
Error Indication Procedure

When a GTP-U node receives a GTP-U PDU for which no EPS Bearer context exists the
GTP-U node discards it and returns a GTP error indication to the originating node. Note that
the GTP entities may include the "UDP Port" extension header (Type 0x40), in order to
simplify the implementation of mechanisms that can mitigate the risk of Denial-of-Service
attacks in some scenarios.
End Marker Procedure

The End Marker procedure is one of the key procedures performed by GTPv1-U. Figure 7-44
illustrates a handover scenario whereby the End Maker message is sent following the last
packet to the source eNB. Note that multiple End Marker messages may be sent, for example
one for each EPS Bearer.
Figure 7-44 End Marker Procedure
eNB
Target
Sent for each

GTP-U Tunnel
eNB
Source
S-GW
G-PDU
G-PDU
End Marker
End Marker
G-PDU
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7.3.7 UDP header and Port Numbers

The registered port for GTP-U is 2152 and depending on the actual GTP message or
procedure this value, or a different value, may be used. The different
Echo Request Message - the UDP Destination Port number for GTP-U request messages
is 2152. The UDP Source Port is a locally allocated port number at the sending GTP-U
entity.
Echo Response Message - the UDP Destination Port value is the UDP Source Port of the
corresponding request message. The UDP Source Port is the value from the UDP
Destination Port of the corresponding request message.
Encapsulated T-PDUs - the UDP Destination Port number is 2152. The UDP Source Port
is a locally allocated port number at the sending GTP-U entity.
Error Indication - the UDP destination port for the Error Indication is the User Plane
UDP port (2152). The UDP source port is locally assigned at the sending node.
NOTE: In network deployments including non-GTP-aware stateful firewalls, those firewalls

must be configured to allow response messages coming from a different UDP port and IP
address than the triggering message.
Supported Extension Headers Notification - the UDP destination port for the Supported
Extension Headers Notification is the User Plane UDP port (2152). The UDP source port is
locally assigned at the sending node.
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8 Mobility in LTE
Mobility in LTE
About This Chapter

Section
8.1 X2 Handover
8.2 S1 Handover
8.3 Inter RAT Handover
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8 Mobility in LTE
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
RSRP
RSRQ
Handover
Preparation
Phase
Conduct
Handover
eNB
Serving
Cell
RSRP
RSRQ
eNB
Neighbor
Cell
Take Measurements
and Report
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.
8.1.2 X2 Based Handover with Lossless PDCP

The UE is configured to send Measurement Reports based on the Measurement Configuration
information in RRC signaling, as discussed in Section 4.4.10 . Using these Measurement
Reports, the source eNB makes decisions regarding the handover. Note that the handover
could be triggered through other mechanisms, such as cell loading, time advance, pre-emption,
O&M, etc.
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8 Mobility in LTE
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
eNB
Source
UE
Measurement
Report
RRC Connection
Reconfiguration
Request
eNB
Target
MME
S-GW
Handover
Request
Handover
Request Ack
SN Status
Transfer
PRACH Preamble
Random Access Response
Complete
PDCP Status Report
Path Switch
Request
PDCP Status Report

UE Context
Release
Path Switch
Request Ack
End Marker
(GTP-U Message)
Modify Bearer
Request
Modify Bearer
Response
End Marker
(GTP-U Message)
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.
X2 Handover Request and Response

The actual handover process starts when the source eNB issues a X2AP Handover Request
message to the target eNB passing the necessary information to prepare the handover at the
target eNB. This includes the identity of the MME serving the UE, target cell ID, security
keys, UE and RRC Context information, including the E-RAB (E-UTRAN - Radio Access
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8 Mobility in LTE
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 source eNB triggers the handover by sending an RRC Connection Reconfiguration
message to the UE. Figure 8-3 illustrates the key information included in the Mobility Control
Information parameter.
Figure 8-3 Mobility Control Information
UE
eNB
Source
Request
RRC Connection
Reconfiguration Request
Mobility Control Information
- TargetPhysCellId
- CarrierFreq
- CarrierBandwidth
- AdditionalSpectrumEmission
- T304
- NewUE-Identity
- RadioResourceConfigCommon
- Rach-ConfigDedicated
Dedicated Info NAS
Security Configuration HO
The Mobility Control Information parameters include:
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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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8 Mobility in LTE
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).
SN Status Transfer and Status Report

The EPS Bearer may define PDCP preservation status, i.e. lossless PDCP. If so, the source
eNB sends the X2AP SN (Sequence Number) Status Transfer message to the target eNB to
convey the uplink PDCP SN receiver status and the downlink PDCP SN transmitter status of
the specific EPS bearers. Figure 8-4 illustrates the X2AP SN Status Transfer message and the
concept of forwarding packets.
Figure 8-4 X2AP SN Status Transfer
End Marker
6
7
8
Downlink SN PDU
UE
Stop
Assigning
PDCP SNs
36 35 34
Uplink SN PDU
New S1
Packets
xxxxxxx
eNB
Source
Uplink PDCP SN = 37
Downlink PDCP SN = 9
PDCP Packets
X2AP SN
Status
Transfer
Packets
directly to
new eNB
xxxxxxx
eNB
Target
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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8 Mobility in LTE
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.
8.1.3 Data Forwarding

Various rules exist for the forwarding of data between the source eNB and 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.
For RLC-UM DRBs

Upon handover, the source eNB does not forward to the target eNB downlink PDCP SDUs for
which transmission had been completed in the source cell. PDCP SDUs that have not been
transmitted may be forwarded. In addition, the source eNB may forward fresh downlink data
arriving over S1 to the target eNB.
Upon handover, the source eNB forwards all uplink PDCP SDUs successfully received to the
Serving Gateway (i.e. including the ones received out of sequence).
SRB Handling
With respect to SRBs, the following principles apply at HO:
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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 Mobility in LTE
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.
8.2.1 Inter MME and S-GW Handover

Preparation Phase
Figure 8-5 illustrates an S1 based handover supporting indirect data forwarding between two
S-GWs. The procedure begins with the Source eNB indicating that an S1 handover is required
by sending the S1AP Handover Required message to the Source MME indicating the Target
eNB etc. Details of this message can be found in Section 7.2.8 The Source MME selects the
appropriate Target MME and sends the GTPv2-C Forward Relocation Request message which
includes amongst other things EPS Bearer information and MME UE Context. The latter
contains information defining the mobility and security attributes. Once this message is
received the Target MME is able to establish an uplink tunnel between the Target S-GW and
PDN-GW through the Create Session Request / Response signaling exchange.
Figure 8-5 S1 Based Inter MME/S-GW Handover
UE
eNB
Source
eNB
Target
MME
Source
Handover Required
S-GW MME
Source Target
Forward
Relocation Request
Handover Request
Handover Request Ack
Forward Relocation
Response
S-GW
Target
PDN
-GW
Create
Session
Request
Create
Session
Response
Create Indirect Data
Forwarding Tunnel
Request
Create Indirect
Data Forwarding
Tunnel Response

Forwarding Tunnel
Request
Create Indirect
Data Forwarding
Tunnel Response
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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8 Mobility in LTE
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.
Conduct Handover Phase

This phase begins with the Source MME sending the Handover Command message to the UE
via the Source eNB. The Handover Command also contains a list of bearers subject to
forwarding enabling downlink data at the Source eNB to be forwarded to the Target S-GW via
the Source S-GW. The RRC Connection Reconfiguration Request message is sent to the UE.
This includes the Mobility Control Information which indicates to the UE how to access the
new cell, as well as key common and dedicated parameters.
Figure 8-6 S1 Based Inter MME/S-GW Handover Continued
UE
eNB
Source
eNB
Target
MME
Source
S-GW MME
Source Target
S-GW
Target
PDN
-GW
Handover Command
RRC Connection
Reconfiguration
Request
RRC Connection
Reconfiguration
Complete
Handover Notify
Forward Relocation
Complete
Notification
Forward Relocation
Complete Ack
Modify
Bearer
Request
Modify
Bearer
Response
Modify
Bearer
Request
Modify
Bearer
Response
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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8 Mobility in LTE
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.
Tracking Area Update and Clearing Resources

The final procedure is the clearing down of the old sessions and tunnels. This is achieved
through a series of Context Release and Delete tunnel messages which begins immediately
following the Tracking Area Update procedure.
Figure 8-7 S1 Based Inter MME/S-GW Handover Continued
UE
eNB
Source
eNB
Target
MME
Source
S-GW MME
Source Target
S-GW
Target
PDN
-GW
Tracking Area Update Procedure

UE Context Release
Command
UE Context Release
Complete
Delete
Session
Request
Delete
Session
Response
Delete Indirect Data

Forwarding Tunnel Request
Forwarding Tunnel Response

Forwarding Tunnel
Request
Forwarding Tunnel
Response
8.2.2 S1 Status Transfer

During the previous handover procedure the Source eNB and Target eNB may exchange
status information, i.e. PDCP Sequence Number information, using the eNB Status Transfer
and MME Status Transfer messages. If sent, these immediately follow the S1AP Handover
Command message. More information on these messages can be found in Section 7.2.11 .
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8 Mobility in LTE
8.3 Inter RAT Handover

After intra-LTE handovers the next most common handovers will be to and from
UTRAN/GERAN systems.
8.3.1 E-UTRAN to UTRAN Handover

Assuming that the UE has been configured to measure Inter RAT cells, i.e. the measurement
and reporting mechanisms have been configured, the eNB may get a Measurement Report
indicating that the UTRAN cell is better. The handover procedure to the UTRAN begins when
the Source eNB determines that a handover to UTRAN is required. As such, it sends the S1AP
Handover Required message to the Source MME which includes the Target Identifier, either a
RNC identity or a CGI (Cell Global Identity). The Source MME uses this information to
determine the Target SGSN (Serving GPRS Support Node) and sends the GTPv2-C Forward
Relocation Request message.
The Target SGSN then maps the EPS bearers to PDP Contexts, including QoS parameters. It
then requests the Target RNC to establish the radio network resources, i.e. RABs, by sending
the RANAP (Radio Access Network Application Protocol) Relocation Request message. The
RNC allocates the necessary resources and returns the RANAP Relocation Request
Acknowledge message. At this stage, the GTP tunnel is established between the Target RNC
and the Target SGSN. The preparation phase culminates with the Target SGSN sending the
Source MME the GTPv2-C Forward Relocation Response message. This contains the
transparent container generated in the Target RNC containing the handover parameters.
Finally, the Source MME exchanges signaling information with the Source S-GW to enable a
tunnel to be established between the Source S-GW and the Target SGSN.
Figure 8-8 E-UTRAN to UTRAN Handover
UE
S-GW
RNC
eNB
MME
SGSN
Source
Target
Source
Target
Source
Handover Required
Forward Relocation Request
PDN
-GW
Relocation Request
Relocation Request Ack
Forward Relocation
Response
Forwarding Tunnel Request
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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8 Mobility in LTE
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
S-GW
RNC
eNB
MME
SGSN
PDN
-GW
Source
Target
Source
Target
Source
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
UE
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.
8.3.2 UTRAN to E-UTRAN Handover

The process of handing over from UTRAN to E-UTRAN is similar to the previous procedure,
in that there is a Relocation procedure performed. The decision to handover to the E-UTRAN
system is performed by the SRNC (Serving RNC). This also identifies the target cell to which
the session is to be routed. The SRNC triggers a Relocation Required message to initiate the
procedure. The SGSN (Serving GPRS Support Node) will then signal to the target MME and
effectively relay information from the SRNC towards the target eNB.
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9 Glossary
CGI (Cell Global Identifier)

CQI (Channel Quality Indication)
CRF (Charging Rules Function)
CS (Circuit Switched)
CSG (Closed Subscriber Group)
Numerics
16 QAM (Quadrature Amplitude
Modulation)
64QAM (Quadrature Amplitude
Modulation)
2G (Second Generation)
3G (Third Generation)
3GPP (Third Generation
Partnership Project)
4G (Fourth Generation)
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)
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)
B
BCCH (Broadcast Control
Channel)
BCH (Broadcast Channel)
BI (Backoff Indicator)
BSR (Buffer Status Report)
C
C (Conditional)
CCCH (Common Control
Channel)
9-138
Glossary

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)
Issue 06 (2006-03-01)
9 Glossary
E-UTRA (Evolved - Universal

Terrestrial Radio Access)
E-UTRAN (Evolved - Universal
Terrestrial Radio Access
Network)
IMSI (International Mobile

Subscriber Identity)
IR (Initialization and Refresh)
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)
M
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 (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)
Issue 06 (2006-03-01)

9-139
9 Glossary
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)
9-140

TA (Timing Advance)
TA (Tracking Areas)
TAC (Tracking Area Code)
Issue 06 (2006-03-01)
9 Glossary
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)
Issue 06 (2006-03-01)

9-141
OptiX Metro 6100

Configuration Guide
Issue 06 (2006-03-01)
9 Glossary

9-1

LTE Protocols and Procedures

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