LTE Protocols and Procedures

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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

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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
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

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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
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

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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
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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LTE Protocols and Procedures

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Figures

Figure 1-1 LTE Reference Architecture...............................................................................................................1-2

Figure 1-2 User Equipment Functional Elements...............................................................................................1-3
Figure 1-3 Evolved Node B Functional Elements...............................................................................................1-5
Figure 1-4 MME Functional Elements................................................................................................................1-6
Figure 1-5 S-GW Functional Elements...............................................................................................................1-7
Figure 1-6 PDN-GW Functional Elements..........................................................................................................1-7
Figure 1-7 E-UTRAN Interfaces.........................................................................................................................1-8
Figure 1-8 EPC Architecture and Interfaces........................................................................................................1-9
Figure 1-9 Additional Network Elements and Interfaces..................................................................................1-10
Figure 2-1 NAS and AS Control Plane..............................................................................................................2-13
Figure 2-2 NAS and AS User Plane..................................................................................................................2-14
Figure 2-3 NAS Protocol stack..........................................................................................................................2-15
Figure 2-4 NAS Identities..................................................................................................................................2-16
Figure 2-5 TA and TA List.................................................................................................................................2-17
Figure 2-6 NAS States and State Transtions......................................................................................................2-20
Figure 2-7 Network Attach................................................................................................................................2-21
Figure 2-8 Uu Interface Protocols.....................................................................................................................2-22
Figure 2-9 Main RRC Functions.......................................................................................................................2-22
Figure 2-10 PDCP Functions.............................................................................................................................2-23
Figure 2-11 RLC Modes and Functions.............................................................................................................2-24
Figure 2-12 Medium Access Control Functions................................................................................................2-24
Figure 2-13 Physical Layer Functions...............................................................................................................2-25
Figure 2-14 X2 Interface Protocols...................................................................................................................2-25

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Figure 2-15 S1 Interface Protocols....................................................................................................................2-27

Figure 2-16 S11 Interface Protocols..................................................................................................................2-28
Figure 2-17 S5/S8 Interface Protocols...............................................................................................................2-29
Figure 2-18 S10 Interface Protocols..................................................................................................................2-30
Figure 2-19 SGi Interface Protocols..................................................................................................................2-30
Figure 3-1 QoS Packet Scheduling....................................................................................................................3-32
Figure 3-2 LTE Bearers.....................................................................................................................................3-33
Figure 3-3 Service Data Flows..........................................................................................................................3-33
Figure 3-4 Default and Dedicated EPS Bearers................................................................................................3-34
Figure 3-5 Signaling Radio Bearers..................................................................................................................3-36
Figure 3-6 Data Radio Bearers..........................................................................................................................3-37
Figure 3-7 E-RAB QoS Parameters to the eNB................................................................................................3-37
Figure 3-8 E-UTRA E-RAB QoS......................................................................................................................3-38
Figure 4-1 RRC Interaction with Lower Layers................................................................................................4-40
Figure 4-2 eNB Structure...................................................................................................................................4-41
Figure 4-3 RRC States.......................................................................................................................................4-42
Figure 4-4 E-UTRA RRC State Interaction.......................................................................................................4-43
Figure 4-5 Mobility Procedures between E-UTRA and CDMA2000...............................................................4-44
Figure 4-6 MIB and SIB1 Parameters...............................................................................................................4-44
Figure 4-7 LTE SIBs..........................................................................................................................................4-45
Figure 4-8 RRC Paging.....................................................................................................................................4-46
Figure 4-9 RRC Connection..............................................................................................................................4-46
Figure 4-10 RRC Security Mode Command.....................................................................................................4-47
Figure 4-11 RRC Connection Reconfiguration.................................................................................................4-48
Figure 4-12 RRC Connection Reestablishment.................................................................................................4-49
Figure 4-13 RRC Connection Release...............................................................................................................4-49
Figure 4-14 Information Transfer......................................................................................................................4-50
Figure 4-15 Measurement Configuration..........................................................................................................4-51
Figure 4-16 Measurement Object......................................................................................................................4-52
Figure 4-17 Report Configuration.....................................................................................................................4-52
Figure 4-18 Periodical Reporting......................................................................................................................4-53
Figure 4-19 Event Based Trigger (Event A3)....................................................................................................4-53
Figure 4-20 Event A3 Example.........................................................................................................................4-55

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Figure 5-1 PDCP Functions...............................................................................................................................5-58

Figure 5-2 PDCP Data PDU for SRB................................................................................................................5-60
Figure 5-3 User Plane PDCP Data PDU with Long PDCP SN (12 bits)...........................................................5-60
Figure 5-4 User Plane PDCP Data PDU with Short PDCP SN (7 bits).............................................................5-61
Figure 5-5 PDCP Control PDU for PDCP Status Report..................................................................................5-61
Figure 5-6 PDCP Control PDU for Interspersed ROHC Feedback Packet.......................................................5-61
Figure 5-7 ROHC Feedback..............................................................................................................................5-62
Figure 5-8 Derivation of MAC-I.......................................................................................................................5-63
Figure 5-9 Count Value......................................................................................................................................5-63
Figure 5-10 PDCP Ciphering.............................................................................................................................5-63
Figure 6-1 RLC Modes......................................................................................................................................6-66
Figure 6-2 Transparent Mode RLC....................................................................................................................6-67
Figure 6-3 Unacknowledged Mode RLC..........................................................................................................6-67
Figure 6-4 Acknowledged Mode RLC..............................................................................................................6-69
Figure 6-5 RLC UMD 5bit SN (No Length Indicators)....................................................................................6-70
Figure 6-6 RLC UMD 10bit SN (No Length Indicators)..................................................................................6-70
Figure 6-7 RLC UMD with 2 Length Indicators...............................................................................................6-71
Figure 6-8 RLC AMD with no Length Indicators.............................................................................................6-72
Figure 6-9 RLC AMD with Odd Number of Length Indicators........................................................................6-72
Figure 6-10 RLC AMD PDU Segment..............................................................................................................6-73
Figure 6-11 AMD Segmentation........................................................................................................................6-73
Figure 6-12 RLC Status PDU............................................................................................................................6-74
Figure 6-13 MAC Structure (UE Side)..............................................................................................................6-75
Figure 6-14 MAC Header..................................................................................................................................6-76
Figure 6-15 MAC Subheaders...........................................................................................................................6-77
Figure 6-16 Timing Advance Parameter............................................................................................................6-78
Figure 6-17 Short BSR and Truncated BSR MAC Control Element................................................................6-78
Figure 6-18 Long BSR MAC Control Element.................................................................................................6-78
Figure 6-19 Power Control Headroom..............................................................................................................6-79
Figure 6-20 Power Headroom Control Element................................................................................................6-79
Figure 6-21 Random Access RRC Signaling Procedure...................................................................................6-80
Figure 6-22 Random Access Response..............................................................................................................6-81
Figure 6-23 Backoff Indicator...........................................................................................................................6-82

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Figure 7-1 X2 Control and User Plane..............................................................................................................7-84

Figure 7-2 X2 Handover Request......................................................................................................................7-88
Figure 7-3 X2 Handover Preparation Failure....................................................................................................7-89
Figure 7-4 X2 SN Status Transfer.....................................................................................................................7-90
Figure 7-5 X2 UE Context Release...................................................................................................................7-91
Figure 7-6 X2 Handover Cancel........................................................................................................................7-91
Figure 7-7 X2 Load Indication..........................................................................................................................7-92
Figure 7-8 X2 Uplink Interference....................................................................................................................7-92
Figure 7-9 Downlink RNTP..............................................................................................................................7-92
Figure 7-10 X2 Resource Status Request..........................................................................................................7-93
Figure 7-11 X2 Resource Status Update............................................................................................................7-94
Figure 7-12 X2 Setup Request...........................................................................................................................7-95
Figure 7-13 eNB Configuration Update............................................................................................................7-96
Figure 7-14 S1 Control and User Plane.............................................................................................................7-97
Figure 7-15 S1 Setup Request.........................................................................................................................7-101
Figure 7-16 S1 Setup Response.......................................................................................................................7-101
Figure 7-17 S1 Initial UE Message.................................................................................................................7-103
Figure 7-18 S1 Downlink and Uplink NAS Transport....................................................................................7-103
Figure 7-19 S1 Initial Context Setup Request.................................................................................................7-105
Figure 7-20 Initial Context Setup Response....................................................................................................7-106
Figure 7-21 S1 E-RAB Setup Request............................................................................................................7-107
Figure 7-22 S1 E-RAB Setup Response..........................................................................................................7-107
Figure 7-23 E-RAB Release Indication...........................................................................................................7-108
Figure 7-24 Requirement for S1 Handover Procedures..................................................................................7-109
Figure 7-25 S1 Handover Required.................................................................................................................7-110
Figure 7-26 S1 Handover Command...............................................................................................................7-111
Figure 7-27 S1 Handover Request...................................................................................................................7-112
Figure 7-28 Handover Request Acknowledge.................................................................................................7-113
Figure 7-29 Handover Notify..........................................................................................................................7-113
Figure 7-30 S1 Path Switch Request...............................................................................................................7-114
Figure 7-31 Path Switch Request Acknowledge..............................................................................................7-115
Figure 7-32 Handover Cancel..........................................................................................................................7-115
Figure 7-33 UE Context Release.....................................................................................................................7-116

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Figure 7-34 UE Context Release Request.......................................................................................................7-117

Figure 7-35 S1 Reset........................................................................................................................................7-117
Figure 7-36 S1 Trace Start...............................................................................................................................7-118
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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