1 1.

1 L3(RRC)
2 1.1.1 Overview
3 The Radio Resource Control protocol layer of eNB is used to configure and control the radio resource between
4 the eNB and UE. The main function of RRC layer is to establish, release and manage RRC connection between
5 UE and eNB to allow UE exchange the data with other peers.
6
7 1.1.1.1 SignalingRadio Bearers
8 "Signaling Radio Bearers" (SRBs) are defined as Radio Bearers (RB) that are used only for the transmission of
9 RRC and NAS messages. More specifically, the following three SRBs are defined:
10 - SRB0 is for RRC messages using the CCCH logical channel;
11 - SRB1 is for RRC messages (which may include a piggybacked NAS message) as well as for NAS messages
12 prior to the establishment of SRB2, all using DCCH logical channel;
13 - SRB2 is for RRC messages which include logged measurement information as well as for NAS messages, all
14 using DCCH logical channel. SRB2 has a lower-priority than SRB1 and is always configured by E-UTRAN
15 after security activation.
16
17 In downlink piggybacking of NAS messages is used only for one dependent (i.e. with joint success/ failure)
18 procedure: bearer establishment/ modification/ release. In uplink NAS message piggybacking is used only for
19 transferring the initial NAS message during connection setup.
20 NOTE: The NAS messages transferred via SRB2 are also contained in RRC messages, which however do
21 not include any RRC protocol control information.
22 Once security is activated, all RRC messages on SRB1 and SRB2, including those containing NAS or non-
23 3GPP messages, are integrity protected and ciphered by PDCP. NASindependently applies integrity protection
24 and ciphering to the NAS messages.
25
26 1.1.2 Services
27 1.1.2.1 Services provided to upper layers
28 The RRC protocol offers the following services to upper layers:
29 - Broadcast of common control information;
30 - Notification of UEs in RRC_IDLE, e.g. about a terminating call, for ETWS, for CMAS;
31 - Transfer of dedicated control information, i.e. information for one specific UE.
32
33 1.1.2.2 Services expected from lower layers
34 In brief, the following are the main services that RRC expects from lower layers:
35 - PDCP: integrity protection and ciphering;
36 - RLC: reliable and in-sequence transfer of information, without introducing duplicates and with support for
37 segmentation and concatenation.
38
39 1.1.3 Function Requirement
40 The RRC protocol includes the following main functions:
41  Broadcast of system information:

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42 - Including NAS common information;

43 - Information applicable for UEs in RRC_IDLE, e.g. cell (re-)selection parameters, neighbor cell
44 information and information (also) applicable for UEs in RRC_CONNECTED, e.g. common channel
45 configuration information.
46 - Including ETWS notification, CMAS notification;
47  RRC connection control:
48 - Paging;
49 - Establishment/ modification/ release of RRC connection, including e.g. assignment/ modification of
50 UE identity (C-RNTI), establishment/ modification/ release of SRB1 and SRB2, access class barring;
51 - Initial security activation, i.e. initial configuration of AS integrity protection (SRBs) and AS ciphering
52 (SRBs, DRBs);
53 - RRC connection mobility including e.g. intra-frequency and inter-frequency handover, associated
54 security handling, i.e. key/ algorithm change, specification of RRC context informa tion transferred
55 between network nodes;
56 - Establishment/ modification/ release of RBs carrying user data (DRBs);
57 - Radio configuration control including e.g. assignment/ modification of ARQ configuration, HARQ
58 configuration, DRX configuration;
59 - QoS control including assignment/ modification of semi-persistent scheduling (SPS) configuration
60 information for DL and UL, assignment/ modification of parameters for UL rate control in the UE, i.e.
61 allocation of a priority and a prioritized bit rate (PBR) for each RB;
62 - Recovery from radio link failure;
63  Inter-RAT mobility including e.g. security activation, transfer of RRC context information;
64  Measurement configuration and reporting:
65 - Establishment/ modification/ release of measurements (e.g. intra-frequency, inter-frequency and inter-
66 RATmeasurements);
67 - Setup and release of measurement gaps;
68 - Measurement reporting;
69  Other functions including e.g. transfer of dedicated NAS information and non-3GPP dedicated
70 information, transfer of UE radio access capability information, support for E-UTRAN sharing
71 (multiple PLMN identities);
72  Generic protocol error handling;
73  Support of self-configuration and self-optimization;
74
75 1.1.3.1 Cell Status and cell reservations
76 Cell status and cell reservations are indicated in the SystemInformationBlockType1message by means of two
77 fields:
78  cellBarred(IE type: "barred" or "not barred") :
79 In case of multiple PLMNs indicated in SIB1, this field is common for all PLMNs
80  cellReservedForOperatorUse(IE type: "reserved" or "not reserved") :
81 In case of multiple PLMNs indicated in SIB1, this field is specified per PLMN.
82

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cellReserve
cellBarred dForOperat Cell Status
orUse
not barred not reserved All UEs shall treat this cell as candidate during the cell selection and cell
reselection procedures.
not barred reserved - UEs assigned to Access Class 11 or 15 operating in their HPLMN/EHPLMN
shall treat this cell as candidate during the cell selection and reselection
procedures if the field cellReservedForOperatorUse for that PLMN set to
'reserved'.
- UEs assigned to an Access Class in the range of 0 to 9, 12 to 14 shall behave
as if the cell status is "barred" in case the cell is "reserved for operator use" for
the registered PLMN or the selected PLMN.
NOTE 1: ACs 11, 15 are only valid for use in the HPLMN/ EHPLMN; ACs 12,
13, 14 are only valid for use in the home country [4].
barred - the cell status is "barred"
83
84
85 1.1.4 Function Design
86 1.1.4.1 Broadcast of System Information
87 1.1.4.1.1 Functional Overview
88 In the eNB, the broadcast information is constructed in the L3 broadcast information processes function, and
89 construction of RRC Message and notification to L2 is implemented in the in the RRC function. The Basic
90 operation schematic of the broadcast is shown below.

L3
④ MIB/SIB ①
System
RRC Management
Parameter

③ ②
⑤ Congestion Neighbor Cell
Control Management
MIB/SIB
Context
ASN.1 Enc ⑥

L2

Scheduling

91
92 The Basic operation schematic of the broadcast
Figure 1.1-1 Functional Overview

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93 ① System Parameters acquired from System information

94 ② NRT information acquired from Neighbor Cell Managememt. (ability to receive information while
95 operating)
96 ③ Receive minor to major from release from Congestion control. (only during operation)
97 ④ The broadcast information in the MIB/SIB Management is constructed based on the information acquired
98 (received).Broadcast to RRC.
99 ⑤ The constructed RCC Message is stored as MIB/SIBS
100 ⑥ For each frame, the L2 inquires if there is a change in system information stored in the MIB/SIB context. If
101 there is a change in the broadcast information, MIB/SIB Context is acquired and Scheduling is performed.
102 In the L3, the stored SFN in the MIB is adjusted and the MIB/SIB context is passed to L2 with ASN.1
103 Encode applied.
104
105
106 1.1.4.1.2 MIB/SIB Cotext
107 Broadcasting information is broadcasted the same information repeatedlly if they have no changes. However,
108 the information vary from time to time (e.g. SFN), eNB stores the previous state of ASN.1 Encode, for every
109 cells. Broadcasting information is acquired at the timing of scheduling from L2, updated the SFN information,
110 andpassed to L2 after ASN.1 Encode procedures.
111
112 1.1.4.1.3 MIB/SIB Management
113 Broadcasting information is constructed at specific events in MIB/SIB Management, and stored MIB/SIB
114 Context through RRC.Broadcasting information construction events are shown below.
115
116 Table 1.1-1 Broadcasting information construction events
# Event Content Broadcast
information
1. eNB initiation Broadcast information is constructed based on system MIB/SIBs/SI
parameters from initiation.
2. Blocking release Broadcast information is constructed based on system MIB/SIBs/SI
parameters from Blocking release.
3. Update System If the updated System Parameters are used in the Updated
Parameters construction of the broadcast information, then the information.
broadcast information will be constructed corresponding
to the updated System Parameters. SIBs/SI

4. Congestion control If the Access restrictions are affected by SIB2

regulations CongestionControl function, because Access restrictions
will be placed for unconnected UE, updating/constructing
of broadcasting information will be performed.
5. Congestion control If Access restrictions are released by CongestionControl, SIB2
restriction release because Access restrictions will be released for
unconnected UE, updating/constructing broadcasting
information shall take place.
6. Neighbor Information When Neighbor information is updated, the Neighbor SIB4
Update function shall update/broadcast information about
Neighbor information. SIB5

7. ETWS notification The broadcasting information will be constructed SIB1

according to the information based on bulletins notified
from the MME. SIB10
SIB11
117

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118 1.1.4.1.3.1 Neighbor information update

119 The Neighbor management function constructs and updates information about Neighbor broadcast information
120 when the information on the NRT is changed. The Neighbor information is contained in SIB4 and SIB5. Refer
121 to Neighbor management section for details about Neighbor.
122
123 1.1.4.1.3.2 MIB
124 The MIB consists of the minimum required system information and SIB information necessary for
125 reception.The UE receives SIB based on the information on the MIB.
126 The relationship between the logical channel/ transport channel and MIB/SIB is shown in the figure below.
127
Downlink
Downlink Logical
Logical Channels
Channels
Sta
Sta
PCCH BCCH CCCH DCCH DTCH MCCH MTCH

Downlink Transport Channels

Sta
PCH BCH DL-SCH MCH

128

MIB/SIB MIB SIB

Bold Italic Under
129 Sta Sta Sta

130 Figure 1.1-2Relationship between down channels and MIB/SIB

131
132 The BCCH logical channel is mapped onto BCH, and is defined as RRC`s BCCH-BCH message .The
133 broadcast period of MIB is defined as 40ms, and Subframe#0 of Frame is mapped so that such as
134 SystemFrameNumbe (SFN) mod 4 = 0 is satisfied. When the MIB is updated, the update reflects from the SFN
135 mod =0 to the update. The Figure below shows the mapping image and wireless frame structure of the MIB.
136

1 Radio Frame (10ms)

1SubFrame (1ms)

#0 #1 #2 #3 #4 #5 #6 #7 … #17 #18 #19

1Slot (0.5ms)

#0 #2 #3 #4 #5 #6 #7

1Symbol
137
138
Figure 1.1-3Structure of a wireless frame
139
140

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Radio Frame

#0 #1 #2 #3 #4 #5 #6 #7 #8 #9 #10 #11

SFN mod 4 = 0
= MIB

= MIB repetitions

0 1 2 3 4 5 6 7 8 9

= MIB

1 Radio Frame(10ms)

141
142
Figure 1.1-4Mapping image of MIB
143
144 In the construction of the MIB Message, the setup the value, other than information about
145 systemFrameNumber(SFN), are defined in System Parameters. (Referto System Parameters section) The timing
146 of the Scheduling is notified from the L2 and the 8 bits (because the 2 lower bits are given to L1 PHY) level of
147 the SFN is setup. The construction of MIB Message is shown below.
148

MIB Message

System
Parameter

systemFrameNumber

Set SFN

(MSB 8 bit)
Scheduling

149
150 Figure 1.1-5The construction MIB Message
151
152
153 1.1.4.1.3.3 System Information Block
154 System Information Block (SIB) is classified depending on 13 different types of information.
155 SystemInformationBlockType1 (SIB1) consists of constrains of the UE`s cell, and determines whether or not
156 connection of the connection of the cell is via SIB1.

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157 SIB notifies the UE from the E-UTRAN, and is defined as the BCCH^DL-SCH-Message on the RRC Message,
158 as well as BCCH logical channel is mapped on top of Dl-SCH.
159 In order to transmit more than one SIB at the same times as a broadcast, SIB are multi-layered in the
160 SystemInformation(SI) Message. The multi-layered SIB is transmitted to the UE at the same period as the
161 broadcast. However, SIB1 cannot be multi-layered with other SIB. The types of SIB are shown in the table
162 below.
163
164 Table 1.1-2 SIB type
# SIB Type Description
1. System Information SIB1 Restrictions for the UE`s cell and Scheduling information
Block Type 1 for SIB2-13
2. System Information SIB2 Information required by the UE to gain access to the cell
Block Type 2 and Access restrictions
3. System Information SIB3 Information required for cell reselection
Block Type 3
4. System Information SIB4 Information about neighboring cells from the same carrier
Block Type 4
5. System Information SIB5 Information about neighboring cells from other carriers
Block Type 5
6. System Information SIB6 Information about neighboring WCDMA cells
Block Type 6
7. System Information SIB7 Information about neighboring GSM cells
Block Type 7
8. System Information SIB8 Information about neighboring CDMA2000 cells
Block Type 8
9. System Information SIB9 Information about HeNB
Block Type 9
Information about HeNB
10. System Information SIB10 Emergency Bulletin (Primary)
Block Type 10
11. System Information SIB11 Emergency Bulletin (Secondary)
Block Type 11
12. System Information SIB12 CMAS Alarm
Block Type 12
13. System Information SIB13 MBMS Information
Block Type 13
165
166
167 1.1.4.1.3.3.1 System Information
168 System Information (SI) is defined as a message for placing an SIB. Moreover, SIB2-SIB13 has the same
169 broadcast cycle, making it possible to be placed in the same SI. However, since SIB2 is placed on the head of
170 the SI that is transmitted after SIB1, it is not included in the mapping information. The figure below is an
171 example showing how SI and SIB are mapped.
172

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Mapping of SI and SIB can be set dynamically

SIB1::schedulin
gInfoList = SI- Cycle (160ms) Cycle (320ms) Cycle (320ms)
SIB List
SI-1 SI-2 SI-3

SIB1

SIB2 SIB3 SIB4 SIB5

173
174 Figure 1.1-6Example of SI and SIB mapping
175
176 ・SIB2 is granted a place on SI that is on the head of schedulingInforList on the SIB1.
177 ・SIB (SIB3 and SIB4 in the example) having the same cycle can be mapped into a single SI.
178 ・Even if SIB (SIB3 and SIB4 in the example) having in the same cycle can be mapped into a single SI, it is
179 not compulsory. The Operator can free determine the combination.
180
181 Mapping information of the SI can be set up from System Parameters (Refer toSystem Parameters section).
182 However, depending on the type of SIB, there are also SIB`s that are broadcasted during specific conditions.
183 Therefore, mapping may or may not be required and this will be determined depending on the broadcasted SIB.
184 The figure below shows how SI Message is constructed. As an example, System Parameters are assumed to be
185 set.
186

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SIB2 already
SI Message [1] mapped to the
head
SystemParameter
The number of
SIB2 planes of SI si-Periodicity
Message are those #1 1
that have valid (≠
0) setup of si- #2 2
Periodicity. #3 3
#4 4
SI Message [2]
~

SIB3 #32 0

SIB4 si-Group
#1 1
#2 2
#3 2
SI Message [3]
#4 3
~

SIB5 #7 4

# : System Parameter Index

187
188 Figure 1.1-7Construction of SI Message
189
190 Depending on the number of multi-layered SIB, it is necessary to “guard” so as not to exceed the available
191 Scheduling sizes. However, in Phase 1, the S1to SIB1 configuration is 1:1, which is setup in System Parameters.
192 Therefore size adjustment is unnecessary.
193
194 1.1.4.1.3.3.1.1 Update of System information
195 An update of the broadcast information will take place at the first Frame (where SFN mod m = 0 satisfies
196 Radio Frame) after modification period (denoted by m), when there is a change in SI Message (excluding SIB1,
197 SIB10, SIB11 and SIB12).
198 In the modification period, the UE is informed about System Information update after the next modification
199 period using Paging (Refer to Paging section).
200 The modification period is calculated by modificationPeriodCoeff and defaultPagingCycle which are specified
201 in the System Parameters. The unit of measurement is Radio Frame.
202 m = modificationPeriodCoeff * defaultPagingCycle
203 (m = modification period)
204 When changes occur in the SI Message, the previous message is continuously broadcasted un til SFN mod m =
205 0 is satisfied. At the event of SFN mod m = 0, SI Message content is also updated and the setup of
206 systemInfoValueTag(Refer to systemInfoValueTag section) that is in SIB1 is updated and broadcasted.
207

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208 In special cases, such as emergency alert by ETWS, update of SIB1 and SIB10/10 broadcast is performed
209 without considering the update timing of modification period.
210
211
212 1.1.4.1.3.3.1.2 Paging
213 The broadcast information management uses Paging Message to promote the re-loading of the broadcast
214 information for the UE, in order to tell the UE there has been change in the broadcast information.
215
216 The table below shows transmission moment of the Paging that is used in broadcast information management.
217 However, it does not transmit the Paging such as time related information, where the broadcast information is
218 constantly changing (In Phase1, only SFN in SIB1).
219
# Trigger Purpose Target SIB Page IE Option
1. SI Message Update Notifies the UE that the SI Message Excluding SIB1,10,11,12 systemInfoModification
notification was updated
2. ETWS notification Notifies the UE about the existence of SIB10,11 etws-Indication
ETWS information.
3. CMAS notification Notifies the UE about the existence of SIB12 cmas-Indication-r9
CMAS information
(Not Support)

220 Table 1.1-3Paging Transmission triggers

221
222 To inform all UE, the Option in IE pagingRecordList is “Disabled” and the Paging Message that is transmitted
223 via broadcast information does not set imsi.
224
225 1.1.4.1.3.3.2 SIB1
226 The notifying period of SIB1 are defined at a fixed 80ms and mapped to SubFrame # 5 of Frame to satisfy the
227 8 = 0 SFN mod. The SIB1 has repeat cycle width of 80ms, and repetitions are mapped to SubFrame#5 of Frame
228 to satisfy SFN mod 2 = 2. However, since the bandwidth is the download bandwidth received by the UE from
229 MIB, it can be adjusted by mapping. The figure below shows the mapping image of SIB1.
230

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Radio Frame

#0 #1 #2 #3 #4 #5 #6 #7 #8 #9 #10 #11

SFN mod 8 = 0

= SIB1

= SIB1 repetitions 0 1 2 3 4 5 6 7 8 9

= SIB1

1 Radio Frame (10ms)

231
232 Figure 1.1-8Mapping image of SIB1
233
234 The construction of SIB1 Message is mainly based on the System Parameters (Refer to System Parameter
235 section). schedulingInfoList (Refer to construction of schedulingInfoList section) is based on scheduling
236 information from System Parameters.systemInfoValueTag(Refer to systemInfoValueTagsetup section) is
237 incremented when the UE is notified about the change to the previous values of a scheduled SI. The figure
238 below shows the construction of a SIB1 Message.
239

SIB1 Message

System
Parameter

schedulingInfoList

scheduling
systemInfoValueTag InfoList

Initialize = 0
When use it, increment

240
241 Figure 1.1-9Construction of SIB1 Message
242
243
244 1.1.4.1.3.3.2.1 Construction of schedulingInfoList
245 The SIBs after SIB2 can be multi-layered and mapping information of SI can be setup for SIB1. The definition
246 of mapping information can be defined in System Parameters.
247 Below is an example of the relationship between the System Parameters and the SI mappi ng of SIB1.

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248

SystemInformationBlock Type1 The valid SystemParameter

sequencenumberisthe
same number as si-Group
thenumber of
surfacesthat are #1 1
definedby theSI #2 2
Messageis #3 2
schedulingInfoList
#4 3
si-Periodicity Same as SI Message,
~
the Type of SIB to be
sib-MappingInfo
mapped to the same #11 4
SIB-Type SI is setup.

si-Periodicity
#1 1
#2 2
#3 3
Periodicty of Index is #4 4
setup as same as array ~
index number of
schedulinginfoList #32 0

249
250 Figure 1.1-10Example of the relation between SI Mapping related configurations and System
251 Parameters
252
253 In the SIB1, all the setup options for Window sizes are available in si-WindowLenght.
254 The mapping information for each SI Message, si-WindowLenght, with si-Periodcity is calculated using the
255 following.(Refer to TS 36.304 [5.2.3])
256 1．determine the integer value x = (n – 1)*w
257 where w is the si-WindowLength(ms)
258 where n is the SI Message Index(1~n)
259 2．the SI-window starts at the subframe #a, where a = x mod 10,
260 in the radio frame for which SFN mod T = FLOOR(x/10),
261 where T is the si-Periodicity of the concerned SI message;
262 In the example related to System Parameter and Si Mapping setup, when we take the si-WindowLength as
263 4(ms15) for example, it is possible to calculate the SubFrame information/ Frame information at the start of SI
264 Message, as shown below. The area calculated from the above equation becomes an area mapped for each SI
265 Message.
266
267 Table 1.1-4SI Examples of SI information calculations
# SI Message SIB si-Periodicity si-Window x a SI Message
Index Length Start Frame
1. 1 SIB2 1(rf8) 4(ms15) 0 0 SFN mod 8 = 0
2. 2 SIB3 2(rf16) 15 5 SFN mod 16 = 1

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3. SIB4
4. 3 SIB5 3(rf32) 30 0 SFN mod 32 = 3
268
269

Radio Frame

1 Radio Frame(10ms)

0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9

SI Index=1 SI Index=2 SI Index=3

Frame= SFN mod 8 = 0 Frame= SFN mod 16 = 1 Frame= SFN mod 32 = 3

SubFrame#0 SubFrame#5 SubFrame#0
270 si-WindowLength 15ms si-WindowLength 15ms si-WindowLength 15ms
271 Figure 1.1-11Possible SI Message mapping Region
272
273 In the actual mapping, L2 Scheduler will be determined in accordance with the circumstances of the
274 Scheduling. However, in the following subframe, SIB2-13 mapping is impossible.
275 ・subframe #5 in radio frames for which SFN mod 2 = 0 (SIB1 SubFrame)
276 ・MBSFN subframes
277 ・any uplink subframes in TDD
278 ※ si-WindowLength is possible to set the minimum to 1ms. However, in the context of Special SubFrame and
279 assignment pattern of the Frame by DL/UL in TDD, SubFrame available in DL i s limited (Frame Structure
280 Type2). Depending on the combined pattern, there is a concern about the occasion where the calculated
281 subframe will not be notified. There is a necessity to investigate such occasion when there no notification (In
282 some cases, it is better to limit those subjects by settings in System Parameters).
283
284
285 1.1.4.1.3.3.2.2 Setup of systemInfoValueTag
286 systeminfoValueTag is common for all other than MIB, SIB1, SIB10, SIB11 and SIB2.
287 If there is a change in the information on SIB, the systemInfoValueTag will be incremented. The UE will
288 discard all the system information and then re-acquire, if system information does not match the previously
289 received systemInfoValueTag. By using systemInfoValueTag, it is possible for the eNB to reflect changes from
290 the broadcast information. It should be noted that change notification by systemInfoValueTag should be eligible
291 for SIB12, SIB1, SIB10, SIB11 and MIB, in order for the UE to perform information update autonomously.
292 Furthermore, in the case of SIB, if the SFN IE, etc., are updated each time, change notification can be also
293 excluded.
294

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295 1.1.4.1.3.3.3 SIB2

296 The SIB2 mainly consists of Radio Resource related configurations common also to the UE, and UE`s call
297 connection is limited until MIB/SIB1/SIB2 is received completely.
298 In order to be setup by the Operator, most of IE in SIB2 is constructed based on the System Parameters(Refer
299 to System Parameters section). The ac-BarringInfo (Refer toConstruction of ac-BarringInfo section) which is an
300 IE Option, is constructed in accordance to the state of CongenstionControl. The figure below shows the
301 construction of SIB2 Message.
302

Congestion Major or Minor true

SIB2 Message Congestion
(Option Add)
ac-BarringInfo Control
Congestion Major and Minor false
(Option Remove)

System
Parameter

303
304 Figure 1.1-12Construction of SIB2 Message
305
306
307 1.1.4.1.3.3.3.1 Construction of ac-BarringInfo
308 The ac-BarringInfo, which is an Option information that is notified by CongetstionControl during mild to severe
309 congestion and constructed on the basis of recovery. In the state of mild or heavy congestion the ac -BarringInfo
310 option is imposed. The following table shows the setup information for ac-Baring. It should be noted here, that
311 the Minor and Major implies congestion and sever congestions respectively.
312
313 Table 1.1-5ac-BarringInfo configurations
# IE No Loｗ Congestion High Congestion
Congestion
1. ac-BarringInfo OP absent OP present OP present
2. ac-BarringForEmergency FALSE FALSE
3. ac-BarringForMO-Signalling OP absent OP present
4. ac-BarringFactor ac-BarringFactorMajorSig
5. ac-BarringTime ac-BarringTimeMajorSig
6. ac-BarringForSpecialAC 0
7. ac-BarringForMO-Data OP present OP present
8. ac-BarringFactor ac-BarringFactorMinorData ac-BarringFactorMajorData
9. ac-BarringTime ac-BarringTimeMinorData ac-BarringTimeMajorData
10. ac-BarringForSpecialAC 0 0

314 OP Present/Absent = Option IE enable・disable

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315 ・ac-BarringForEmergency ： AC10 = FALSE (Not regulated)

316 ・ac-BarringForSpecialAC ： AC11-15 = 0 (all bit off：Not regulated)
317 ・itaric font = System Parameter (See. Error! Reference source not found.Error! Reference source not
318 found.)
319
320
321 1.1.4.1.3.3.4 SIB3
322 SIB3 consists of information related to cell re-selection. All the IE contained in SIB3 can be setup by the
323 Operator, based on System Parameters (Refer to System Parameters section). The figure below shows the
324 construction of SIB3.
325

SIB3 Message

System
Parameter

326
327 Figure 1.1-13Construction of SIB3 Message
328
329 1.1.4.1.3.3.5 SIB4
330 The SIB4, which is related to intra-frequency cell re-selection, is used to inform the UE about neighboring cell
331 information, call re-selection parameters, and blacklisted cell information. Since the information of SIB4 is
332 managed by neighbor Cell Management, the notifications are notified by the neighbor Cell Management
333 function. neighbor Cell Management notifies the broadcast information manager, if there is any change in
334 information in the NRT that is being managed. The broadcast information management constructs SIB4 is based
335 on that information that is broadcasted. The figure below shows the construction of SIB4
336

SIB4 Message
NRT Initalize or
Neighbor Cell
intraFreqNeighCellList
NRT update indication Management
intraFreqBlackCellList

Black List Initialize or

Black List update indication
System
Parameter

337
338 Figure 1.1-14Construction of SIB4 Message
339

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340 intraFreqNeighCellList, intraFreqBlackCellList have both become Option IE. If the List is not present in the
341 information reported from the Neighbor Cell Management function, then OptionField is not granted.
342
343
344 1.1.4.1.3.3.6 SIB5
345 SIB5 includes information related to the inter-frequency cell re-selection. The UE uses information from other
346 EUTRA frequencies and inter-frequency neighboring cell, etc. to report back. Since the unit of SIB5 is
347 configured by the operator, SIB5 is constructed based on System Parameters (Refer to System Parameters
348 section). Since the the information from interFreNeighCellList and interFreqBlackCellLsit are managed by Cell
349 Management Function (Refer to neighbor management section), the Cell Management Function is notified. If
350 there is a change in information in the NRT that is managed, then the neighbor Cell Management will notify the
351 broadcast information management. The figure below shows the construction of SIB4.
352

SIB5 Message
NRT Initalize or
Neighbor Cell

NRT update indication Management

interFreqNeighCellList
Black List Initialize or
interFreqBlackCellList
Black List update indication
System
Parameter

353
354 Figure 1.1-15Construction of SIB5 Message
355
356 intraFreqNeighCellList, intraFreqBlackCellList have both become Option IE.
357 If the List is not present in the information reported from the Neighbor Cell Management function, then
358 OptionField is not granted.
359
360

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361 1.1.4.2 RRC Connection Control

362 1.1.4.2.1 Initial Connection Establishment
363 1.1.4.2.1.1 Successful Operation

364 1.1.4.2.1.1.1 Initial Connection Establishment Procedure Initiated by UE

UE eNB MME

C-S0

1.RRC：RRCConnectionRequest

C-S1

2.Radio Admission Control in RRC connection establishment

3.Radio Bearer Control in SRB1 establishment

4.RRC：RRCConnectionSetup

C-S2

timer：TRRCConSetupCompWait
5.RRC：RRCConnectionSetupComplete

6.S1AP：INITIAL UE MESSAGE

C-S3

timer：TS1InitContextSetupReqWait

number of retransmissions：NS1InitUEMsg
7.S1AP：INITIAL CONTEXT SETUP REQUEST

C-S4

8.Radio Admission Control in Radio Bearer establishment

365
366 Figure 1.1-16 Initial Connection Establishment Procedure Initiated by UE (Successful: w/o HeNB-GW) (1/2)

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UE eNB MME

OPTIONAL：Execute if the MME has been omitted UE Capability Info IE of INITIAL CONTEXT SETUP REQUEST
Message
9.RRC：UECapabilityEnquiry

C-S5

timer：TRRCCapabilityInfoWait
10.RRC：UECapabilityInformation

11.S1AP：UE CAPABILITY INFO INDICATION

12.RRC：SecurityModeCommand

C-S6

timer：TRRCSecModeCompWait
13.RRC：SecurityModeComplete

14.Radio Bearer Control in SRB2 and DRB establishment

15.RRC：RRCConnectionReconfiguration

C-S7

timer：TRRCConReconfCompWait
16.RRC：RRCConnectionReconfigurationComplete

17.S1AP：INITIAL CONTEXT SETUP RESPONSE

C-S8

367
368 Figure 1.1-17 Initial Connection Establishment Procedure Initiated by UE (Successful: w/o HeNB-GW) (2/2)
369
370 (Step1)
371 eNB performs the following subprocedure, when eNB receives RRC::RRCConnectionRequest :

372 ・Change the Call State to C-S1.

373 ・Proceed (Step2)

374
375 (Step2)

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376 eNB performs the Radio Admission Control to establish RRC Connection as follows :

377 ・Proceed (Step3), if the Admission result is grant.

378 ・Send RRC::RRCConnectionReject, if the Admission result is not grant (see 1.1.4.2.1.2.1).
379
380 (Step3)
381 eNB performs the Radio Bearer Control to establish SRB1 as follows :

382 ・Proceed (Step4), if the Admission result is grant and SRB1 establishment is success.

383 ・Send RRC::RRCConnectionReject, if the Admission result is not grant (see 1.1.4.2.1.2.1).
384
385 (Step4)
386 eNB sends RRC::RRCConnectionSetup and performs the follows :

387 ・Change the Call State to C-S1.

388 ・Set the timer named TRRCConSetupCompWait, and wait for RRC::RRCConnectionSetupCopmlete.

389 ・Send RRC::RRCConnectionRelease, if the timer named TRRCConSetupCompWait is expired (see

390 1.1.4.2.1.2.2).
391
392 (Step.5)
393 eNB performs the following subprocedure if eNB receives RRC::RRCConnectionSetupComplete from UE :

394 ・Stop the timer named TRRCConSetupCompWait.

395 ・Proceed (Step6.0)

396
397 (Step.6.0)
398 eNB performs the MME selection as follows :
399 - If RRC::RRCConnectionSetupComplete has registeredMME IE, then:
400  If MME indicated by registeredMME IE is NOT under Overload, then SubProcedure #1.
401  If MME indicated by registeredMME IE is under Overload, then SubProcedure #2.
402 - If RRC::RRCConnectionSetupComplete does not have registeredMME IE, then:
403  If there are candidate MMEs which are NOT under Overload, then eNB selects the MME from
404 them according to Relative MME Capacity IE on S1AP::S1 SETUP RESPONSE and afterthat
405 performs SubProcedure #1.
406  If there is no candidate MME which are NOT under Overload, then eNB selects the MME from
407 them according to Relative MME Capacity IE on S1AP::S1 SETUP RESPONSE and afterthat
408 performs SubProcedure #2.
409 The SubProcedure#1 is as follows :

410 ・Proceed (Step6.1)

411

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412 The SubProcedure#2 is as follows :

413 ・Accroding to EstablishmentCause IE on RRC::RRCConnectionRequest and Overload Response IE on S1AP

414 Context (which is stored from Overload Response IE on S1AP::OVERLOAD START), eNB decides
415 subsequent process as follows :
416
417

EstablishmentCause IE
on RRC::RRCConnectionRequest

delayTolerantAccess

highPriorityAccess
mo-signalling

emergency

mt-Access
Overload Response IE
mo-data

on S1AP::OVERLOD START

reject RRC connection establishments for non-

Rjct Acpt Rjct Acpt Acpt Acpt
emergency mobile originated data transfer
reject RRC connection establishments for signaling Rjct Rjct Rjct Acpt Acpt Acpt
only permit RRC connection establishments for
Rjct Rjct Rjct Acpt Acpt Rjct
emergency sessions and mobile terminated services
only permit RRC connection establishments for high
Rjct Rjct Rjct Rjct Acpt Acpt
priority sessions and mobile terminated services
reject only RRC connection establishment for delay
Acpt Acpt Rjct Acpt Acpt Acpt
tolerant access
418
419 - If Acpt is matched, then Proceed (Step6.1).
420 - If Rjct is matched, then eNB sends RRC::RRCConnectionRelease.
421
422
423 (Step.6.1)
424 eNB sends S1AP::INITIAL UE MESSAGE to MME and performs as follows :

425 ・Change the Call State to C-S3.

426 ・Set the timer named TS1InitContextSetupReqWait, and wait for S1AP::INITIAL CONTEXT SETUP
427 REQUEST :
428 - If NS1InitUEMsg is 0, then eNB sends RRC::RRCConnectionRelease to UE.
429 - If NS1InitUEMsg is not 0, then eNB resends S1AP::INITIAL UE MESSAGE to MME and restarts
430 the timer named TS1InitContextSetupReqWait.

431 ・eNB performs the following subprocedure, when the restarted TS1InitContextSetupReqWait is expired :
432 - If (num of retransmission of S1AP::INITIAL UE MESSAGE >= NS1InitUEMsg) or if
433 NS1InitUEMsg is 0, then eNB sends RRC::RRCConnectionRelease to UE.
434 - Otherwise, eNB resends S1AP::INITIAL UE MESSAGE to MME and restarts the timer named
435 TS1InitContextSetupReqWait.

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436
437 (Step.7)
438 eNB performs the following subprocedure, if eNB receives S1AP::INITIAL CONTEXT SETUP REQUEST
439 from MME :

440 ・Stop the timer named TS1InitContextSetupReqWait.

441 ・Change the Call State to C-S4.

442 ・Stop the timer named TS1InitContextSetupReqWait.

443 ・Proceed (Step.8)

444
445 (Step.8)
446 eNB performs Admission Control for Radio Bearer.
447 If the Admission Control result is admitted, then :

448 ・Proceed (Step.9), if the S1AP::INITIAL CONTEXT SETUP REQUEST in (Step.7) does NOT have UE
449 Capability Info IE.

450 ・Proceed (Step.12), if the S1AP::INITIAL CONTEXT SETUP REQUEST in (Step.7) has UE Capability Info
451 IE.
452 If the Admission Control result is denied, then :

453 ・eNB sends RRC::RRCConnectionRelease to UE and sends S1AP::INITIAL CONTEXT SETUP FAILURE
454 (Refer to section 1.1.4.2.1.2.4).
455
456 (Step.9)
457 eNB sends RRC::UECapabilityEnquiry to UE and performs as follows :

458 ・Change the Call State to C-S5.

459 ・Set the timer named TRRCCapabilityInfoWait.

460 ・eNB sends RRC::RRCConnectionRelease to UE and sends S1AP::INITIAL CONTEXT SETUP FAILURE, if
461 the TRRCCapabilityInfoWait timer is expired (Refer to section 1.1.4.2.1.2.5).
462
463 (Step.10)
464 eNB performs the following subprocedure, if eNB receives RRC::UECapabilityInformation from UE :

465 ・Stop the timer named TRRCCapabilityInfoWait.

466 ・Proceed (Step.11)

467
468 (Step.11)
469 eNB sends S1AP::UE CAPABILITY INFO INDICATION to MME and performs as follows :

470 ・Proceed (Step.12)

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471
472 (Step.12)
473 eNB sends RRC::SecurityModeCommand to MME and performs as follows :

474 ・Change the Call State to C-S6.

475 ・Set the timer named TRRCSecModeCompWait.

476 ・eNB sends RRC::RRCConnectionRelease to UE and sends S1AP::INITIAL CONTEXT SETUP FAILURE, if
477 the TRRCSecModeCompWait timer is expired (Refer to section 1.1.4.2.1.2.6).

478 ・eNB stops TRRCSecModeCompWait timer, sends RRC::RRCConnectionRelease to UE and sends

479 S1AP::INITIAL CONTEXT SETUP FAILURE, if eNB receives RRC::SecurityModeFailure (Refer to section
480 1.1.4.2.1.2.7).
481
482 (Step.13)
483 eNB performs the following subprocedure, if eNB receives RRC::SecurityModeComplete from UE :

484 ・Stop the timer named TRRCSecModeCompWait.

485 ・Proceed (Step.14)

486
487 (Step.14)
488 eNB performs Radio Bearer Control to establish SRB2 and DRB and performs as follows :
489 If the Radio Bearer Control result is completed, then :

490 ・Proceed (Step.15).

491 If the Radio Bearer Control result is failed, then :

492 ・eNB sends RRC::RRCConnectionRelease to UE and sends S1AP::INITIAL CONTEXT SETUP FAILURE
493 (Refer to section 1.1.4.2.1.2.4).
494
495 (Step.15)
496 eNB sends RRC::RRCConnectionReconfiguration toUE and performs as follows :

497 ・Change the Call State to C-S7.

498 ・Set the timer named TRRConReconfCompWait.

499 ・eNB sends RRC::RRCConnectionRelease to UE and sends S1AP::INITIAL CONTEXT SETUP FAILURE, if
500 the TRRConReconfCompWait timer is expired (Refer to section 1.1.4.2.1.2.8).

501 ・eNB sends RRC::RRCConnectionReestablishmentReject to UEand sends S1AP::INITIAL CONTEXT SETUP

502 FAILURE to MME, if eNB receives RRC::RRCConnectionReestablishementRequest
503 (reestablishmentCause=reconfigurationFailure) from UE(Refer to section 1.1.4.2.1.2.9).
504
505 (Step.16)

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506 eNB performs the following subprocedure, if eNB receives RRC::RRCConnectionReconfigurationComplete

507 from UE :

508 ・Stop the timer named TRRConReconfCompWait.

509 ・Proceed (Step.17)

510
511 (Step.17)
512 eNB sends S1AP::INITIAL CONTEXT SETUP RESPONSE to MME and performs as follows :

513 ・Change the Call State to C-S8.

514
515
516
517 1.1.4.2.1.1.2 Initial Connection Establishment Procedure Initiated by MME

UE eNB MME

C-S0

1.S1AP：PAGING

2.RRC：Paging

3.initial connection establishment Procedure(initiated by UE)

518
519 Figure 1.1-18Initial Connection Establishment Procedure Initiated by MME (Successful: w/o HeNB-GW)
520
521 (Step.1)
522 eNB performs the following subprocedure, if eNB receives S1AP::PAGING from MME :

523 ・Proceed (Step.2)

524
525 (Step.2)
526 eNB sends RRC::Paging to UE and performs as follows :

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527 ・Proceed (Step.3)

528
529 (Step.3)
530 Same as (Step.1) through (Step.18) in 1.1.4.2.1.1.1.
531
532 1.1.4.2.1.2 Unsuccessful Operation
533 1.1.4.2.1.2.1 Radio Admission Control or Radio Bearer Control is reject case1

UE eNB MME

1.RRC：RRCConnectionRequest

C-S1

If Radio Admission Control or Radio Bearer Control is reject

2.RRC:RRCConnectionReject

C-S0

534
535 Figure 1.1-19 Radio Admission Control or Radio Bearer Control is reject case1 (Unsuccessful: w/o HeNB-GW)
536
537 (Step.1)
538 Same as (Step.1) in 1.1.4.2.1.1.1.
539
540 (Step.2)
541 eNB sends the RRC::RRCConnectionReject to UE and performs as following subprocedure, if the Radio
542 Admission Control or the Radio Bearer Control is failed :

543 ・Change the Call State to C-S0.

544

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545 1.1.4.2.1.2.2 TRRCConSetupComp expiry

UE eNB MME

1.connection establishment procedure initiated by UE Step1～Step3

2.RRC：RRCConnectionSetup

C-S2

timer：TRRCConSetupCompWait
(RRC：RRCConnectionSetupComplete)

Timer expiry

3.RRC：RRCConnectionRelease

C-S0

546
547 Figure 1.1-20 TRRCConSetupComp expiry (Unsuccessful: w/o HeNB-GW)
548
549 (Step.1)
550 Same as (Step.1) through (Step.3) in 1.1.4.2.1.1.1.
551
552 (Step.2)
553 Same as (Step.4) in 1.1.4.2.1.1.1.
554
555 (Step.3)
556 eNB sends RRC::RRCConnectionRelease and performs the following subprocedure, if
557 TRRCConSetupCompWait timer is expired :

558 ・Change the Call State to C-S0.

559

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560 1.1.4.2.1.2.3 TS1InitContextSetupReqWait expiry

UE eNB MME

1.connection establishment procedure initiated by UE Step1～Step5

C-S2

2.S1AP：INITIAL UE MESSAGE

C-S3

timer：TS1InitContextSetupReqWait

number of retransmissions：NS1InitUEMsg
(S1AP：INITIAL CONTEXT SETUP REQUEST)

Timer expiry

3.RRC：RRCConnectionRelease

C-S0

561
562 Figure 1.1-21TS1InitContextSetupReqWait expiry (Unsuccessful: w/o HeNB-GW)
563
564 (Step.1)
565 Same as (Step.1) through (Step.5) in 1.1.4.2.1.1.1.
566
567 (Step.2)
568 Same as (Step.6) in 1.1.4.2.1.1.1.
569
570 (Step.3)
571 eNB sends RRC::RRCConnectionRelease and performs the following subprocedure, if
572 TS1InitContextSetupReqWait timer is expired :

573 ・Change the Call State to C-S0.

574

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575 1.1.4.2.1.2.4 Radio Admission Control or Radio Bearer Control is reject case2

UE eNB MME

1.connection establishment procedure initiated by UE Step1～Step7(or Step13)

C-S4(or S6)

If Radio Admission Control or Radio Bearer Control is reject

2.RRC：RRCConnectionRelease

3.S1AP：INITIAL CONTEXT SETUP FAILURE

C-S0

576
577 Figure 1.1-22 Radio Admission Control or Radio Bearer Control is reject case2 (Unsuccessful: w/o HeNB-GW)
578
579 (Step.1)
580 Same as (Step.1) through (Step.7) or (Step.13) in 1.1.4.2.1.1.1.
581
582 (Step.2)
583 eNB performs Admission Control for Radio Bearer.
584 If the Admission Control result is denied, then :

585 ・eNB sends RRC::RRCConnectionRelease to UE and proceed (Step.3).

586
587 (Step.3)
588 eNB sends S1AP::INITIAL CONTEXT SETUP FAILURE and performs the following subprocedure :

589 ・Change the Call State to C-S0.

590

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591 1.1.4.2.1.2.5 TRRCCapabilityInfoWait expiry

UE eNB MME

1.connection establishment procedure initiated by UE Step1～Step8

2.RRC：UECapabilityEnquir

C-S5

timer：TRRCCapabilityInfoWait
(RRC：UECapabilityInformation)

Timer expiry

3.RRC：RRCConnectionRelease

4.S1AP：INITIAL CONTEXT SETUP FAILURE

C-S0

592
593 Figure 1.1-23 TRRCCapabilityInfoWait expiry (Unsuccessful: w/o HeNB-GW)
594
595 (Step.1)
596 Same as (Step.1) through (Step.8) in 1.1.4.2.1.1.1.
597
598 (Step.2)
599 Same as (Step.9) in 1.1.4.2.1.1.1.
600
601 (Step.3)
602 eNB sends RRC::RRCConnectionRelease and performs the following subprocedure, if
603 TRRCCapabilityInfoWait timer is expired :

604 ・Proceed (Step.4).

605
606 (Step.4)
607 eNB sends S1AP::INITIAL CONTEXT SETUP FAILURE and performs the following subprocedure :

608 ・Change the Call State to C-S0.

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609 1.1.4.2.1.2.6 TRRCSecModeCompWait expiry

UE eNB MME

1.connection establishment procedure initiated by UE Step1～Step11

2.RRC：SecurityModeCommand

C-S6

timer：TRRCSecModeCompWait
(RRC：SecurityModeComplet)

3.RRC：RRCConnectionRelease
Timer expiry

4.S1AP：INITIAL CONTEXT SETUP FAILURE

C-S0

610
611 Figure 1.1-24 TRRCSecModeCompWait expiry (Unsuccessful: w/o HeNB-GW)
612
613 (Step.1)
614 Same as (Step.1) through (Step.11) in 1.1.4.2.1.1.1.
615
616 (Step.2)
617 Same as (Step.12) in 1.1.4.2.1.1.1.
618
619 (Step.3)
620 eNB sends RRC::RRCConnectionRelease and performs the following subprocedure, if
621 TRRCSecModeCompWait timer is expired :

622 ・Proceed (Step.4).

623
624 (Step.4)
625 eNB sends S1AP::INITIAL CONTEXT SETUP FAILURE and performs the following subprocedure :

626 ・Change the Call State to C-S0.

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627
628 1.1.4.2.1.2.7 Security Mode Command failure

UE eNB MME

1.connection establishment procedure initiated by UE Step1～Step11

2.RRC：SecurityModeCommand

C-S6

timer：TRRCSecModeCompWait
3.RRC：SecurityMode
Failure
4.RRC：RRCConnectionRelease

5.S1AP：INITIAL CONTEXT SETUP FAILURE

C-S0

629
630 Figure 1.1-25 Security Mode Command failure (Unsuccessful: w/o HeNB-GW)
631
632 (Step.1)
633 Same as (Step.1) through (Step.11) in 1.1.4.2.1.1.1.
634
635 (Step.2)
636 Same as (Step.12) in 1.1.4.2.1.1.1.
637
638 (Step.3)
639 eNB performs the following subprocedure, if eNB receives RRC::SecurityModeFailure from UE :

640 ・Stop the timer named TRRCSecModeCompWait.

641 ・Proceed (Step.4).

642
643 (Step.4)
644 eNB sends RRC::RRCConnectionRelease to UE and performs the following subprocedure :

645 ・Proceed (Step.5).

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646
647 (Step.5)
648 eNB sends S1AP::INITIAL CONTEXT SETUP FAILURE and performs the following subprocedure :

649 ・Change the Call State to C-S0.

650
651
652 1.1.4.2.1.2.8 TRRCConReconfCompWait expiry

UE eNB MME

1.connection establishment procedure initiated by UE Step1～Step14

2.RRC：RRCConnectionReconfiguration

C-S7

timer：TRRCConReconfCompWait
(RRC：RRCConnectionReconfigurationComplete)

Timer expiry

3.RRC：RRCConnectionRelease

4.S1AP：INITIAL CONTEXT SETUP FAILURE

C-S0

653
654 Figure 1.1-26 TRRCConReconfCompWait expiry (Unsuccessful: w/o HeNB-GW)
655
656 (Step.1)
657 Same as (Step.1) through (Step.14) in 1.1.4.2.1.1.1.
658
659 (Step.2)
660 Same as (Step.15) in 1.1.4.2.1.1.1.
661
662 (Step.3)

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663 eNB sends RRC::RRCConnectionRelease and performs the following subprocedure, if

664 TRRCConReconfCompWait timer is expired :

665 ・Proceed (Step.4).

666
667 (Step.4)
668 eNB sends S1AP::INITIAL CONTEXT SETUP FAILURE and performs the following subprocedure :

669 ・Change the Call State to C-S0.

670
671
672 1.1.4.2.1.2.9 RRC Connection Reconfiguration failure (UE reject case)

UE eNB MME

1.connection establishment procedure initiated by UE Step1～Step14

2.RRC：RRCConnectionReconfiguration

C-S7

timer：TRRCConReconfCompWait
3.RRC：RRCConnectionReestablishmentRequest

4.RRC：RRCConnectionReestablishmentReject

5.S1AP：INITIAL CONTEXT SETUP FAILURE

C-S0

673
674 Figure 1.1-27 RRC Connection Reconfiguration failure (UE reject case) (Unsuccessful: w/o HeNB-GW)
675
676 (Step.1)
677 Same as (Step.1) through (Step.14) in 1.1.4.2.1.1.1.
678
679 (Step.2)
680 Same as (Step.15) in 1.1.4.2.1.1.1.

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681
682 (Step.3)
683 eNB performs the following subprocedure, if eNB receives RRC::RRCConnectionReestablishmentRequest from
684 UE :

685 ・Stop the timer named TRRCConReconfCompWait.

686 ・Proceed (Step.4).

687
688 (Step.4)
689 eNB sends RRC::RRCConnectionReestablishmentReject to UE and performs the following subprocedure :

690 ・Proceed (Step.5).

691
692 (Step.5)
693 eNB sends S1AP::INITIAL CONTEXT SETUP FAILURE and performs the following subprocedure :

694 ・Change the Call State to C-S0.

695
696

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697 1.1.4.2.1.2.10 eNB is Connected State case

UE eNB MME

C-S8

1.RRC：RRCConnectionRequest

2.RRC:RRCConnectionReject

3.S1AP：UE CONTEXT RELEASE REQUEST

C-S9

timer ：TS1UEContextRelCmdWait

number of retransmissions：NS1UEContextRelReq
4.S1AP：UE CONTEXT RELEASE COMMAND

5.S1AP：UE CONTEXT RELEASE COMPLETE

C-S0

698
699 Figure 1.1-28 eNB is Connected State case (Unsuccessful: w/o HeNB-GW)
700
701 (Step.1)
702 eNB performs the following subprocedure, when eNB receives RRC::RRCConnectionRequest against existing
703 UE Context :

704 ･Prceed (Step.2)

705
706 (Step.2)
707 eNB performs the following subprocedure after eNB sends RRC::RRCConnectionReject :

708 ･Prceed (Step.3)

709
710 (Step.3) through (Step.5)
711 eNB performs Connection Release initiated by eNB (except not sending RRC::RRCConnectionRelease to UE).
712

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713
714 1.1.4.2.1.3 Message definitions
715
716 Table 1.1-6. RRC Message definitions
# Message Direction Explanation
1 RRCConnectionRequest UE to eNB
2 RRCConnectionSetup eNB to UE
3 RRCConnectionSetupComplete UE to eNB
4 UECapabilityEnquiry eNB to UE
5 UECapabilityInformation UE to eNB
6 SecurityModeCommand eNB to UE
7 SecurityModeComplete UE to eNB
8 RRCConnectionReconfiguration eNB to UE
9 RRCConnectionReconfigurationComplete UE to eNB
10 Paging eNB to UE
11 RRCConnectionReject eNB to UE
12 RRCConnectionRelease eNB to UE
13 SecurityModeFailure UE to eNB
14 RRCConnectionReestablishmentRequest UE to eNB
15 RRCConnectionReestablishmentReject eNB to UE
717
718
719 Table 1.1-7. S1AP Message definitions
# Message Direction Explanation
1 INITIAL UE MESSAGE eNB to MME
2 INITIAL CONTEXT SETUP REQUEST MME to eNB
3 UE CAPABILITY INFO INDICATION eNB to MME
4 INITIAL CONTEXT SETUP RESPONSE eNB to MME
5 PAGING MME to eNB
6 INITIAL CONTEXT SETUP FAILURE eNB to MME
720
721
722 1.1.4.2.1.4 Timers
723
724 Table 1.1-8 Timers
# Message Explanation Value
1 TRRCCONSetupCompWait Refer to ConfigurationParameter
1.1.4.2.1.1.1Successful

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Operation section (to be fill the configuration parameter

name by Contela)
2 TS1InitContextSetupReqWait Refer to ConfigurationParameter
1.1.4.2.1.1.1Successful
(to be fill the configuration parameter
Operation section
name by Contela)
3 TRRCCapabilityInfoWait Refer to ConfigurationParameter
1.1.4.2.1.1.1Successful
(to be fill the configuration parameter
Operation section
name by Contela)
4 TRRCSecModeCompWait Refer to ConfigurationParameter
1.1.4.2.1.1.1Successful
(to be fill the configuration parameter
Operation section
name by Contela)
5 TRRCConReconfCompWait Refer to ConfigurationParameter
1.1.4.2.1.1.1Successful
(to be fill the configuration parameter
Operation section
name by Contela)
725
726 1.1.4.2.1.5 System Paramsters
727
728 Table 1.1-9 System Parameters
# Parameter Name Explanation range Unit Default Value
1
729
730 1.1.4.2.2 Connection Release
731 1.1.4.2.2.1 Overview
732 This section describes the specifications of connection release on the eNB.
733
734 1.1.4.2.2.2 Definitions of State
735 The eNB defines call states related to Connection Release (CallState) and manages them.
736 CallStates are managed according to UE units.
737 Table 1.1-1CallState definitions
# CallState Name Description
1 C-S9 S1AP：UE CONTEXT RELEASE COMMAND idle
state
738

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739 1.1.4.2.2.3 Operation under Normal functioning

740 1.1.4.2.2.3.1 Connection release sequence initiated by the MME

UE eNB MME

C-S8

1.S1AP：UE CONTEXT RELEASE COMMAND

2.S1AP：UE CONTEXT RELEASE COMPLETE

3.RRC：RRCConnectionRelease

C-S0

741
742
743 Figure 1.1-1Connection release procedure initiated by MME
744
745 (Step1)
746 When the eNB receives S1AP: UE CONTEXT RELEASE COMMAND from the MME, the following
747 procedure is implemented.
748 ・Proceed to (step2).
749
750 (Step2)
751 The eNB transmits S1AP:UE CONTEXT RELEASE COMPLETE to the MME and the following procedure is
752 implemented.
753 ・Proceed to (step3)
754
755
756 (Step3)
757 The eNB transmits RRC:RRCConnectionRelease to the UE and following procedure is implemented.
758 ・The CallState is changed to C-50.

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759 1.1.4.2.2.3.2 Connection Release sequence initiated by eNB

UE eNB MME

C-S8

1.S1AP：UE CONTEXT RELEASE REQUEST

C-S9

timer ：TS1UEContextRelCmdWait

number of retransmissions：NS1UEContextRelReq
2.S1AP：UE CONTEXT RELEASE COMMAND

3.S1AP：UE CONTEXT RELEASE COMPLETE

4.RRC：RRCConnectionRelease

C-S0

760
761
Figure 1.1-2Connection release procedure initiated by eNB
762
763 (Step 1)
764 eNB transmits S1AP:UE CONTEXT RELEASE REQUEST to the MME and the following procedures are
765 implemented

766 ・The CallState is changed to C-S9

767 ・TS1UEContextRelCmdWait timer is initiated, and standby for S1AP: UECONTEXT RELEASE COMMAND.

768 ・When the TS1UEContextRelCmdWait timer expires, RRC: ConnectionRelease is transmitted to the UE (refer
769 to connection release procedure initiated by S1AP：RESET section for details)
770
771 (Step 2)
772 When the eNB receives S1AP: UECONTEXT RELEASE COMMAND, the following procedure is
773 implemented.

774 ・Proceed to (step3).

775 (Step3)

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776 The eNB transmits S1AP:UECONTEXT RELEASE COMPLETE to the MME and the following procedure is
777 implemented.

778 ・Proceed to step 4.

779
780 (Step4)
781 The eNB transmits RRC:RRCConnectionRelease to the UE and the following procedure is implemented.

782 ・The CallState is changed to C-S0

783
784 1.1.4.2.2.3.3 Connection Release procedure initiated by S1AP: RESET

UE eNB MME

C-S8

1.S1AP：RESET

2.S1AP：RESET ACKNOWLEDGE
3.RRC：RRCConnectionRelease

C-S0

785
786
Figure 1.1-3Connection release procedure initiated by MME
787
788 (Step1)
789 When the eNB receives S1AP from the MME, the following procedure isimplemented. If the RESET specifies
790 multiple users, then the connection release`s load is balanced by TBD.

791 ・Proceed to (step2).

792
793 (Step2)
794 The eNB transmits S1AP: RESET ACKNOWLEDGE and the following is implemented

795 ・Proceed to (Step3).

796
797 (Step3)

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798 The eNB transmits RRC:RRCConnection to the UE, and the following is implemented.

799 ・CallState changes to C-S0

800 1.1.4.2.2.4 Operation under irregular functioning
801 1.1.4.2.2.4.1 TS1UEContextRelCmdWait expiry

UE eNB MME

C-S8

1.S1AP：UE CONTEXT RELEASE REQUEST

C-S9

timer ：TS1UEContextRelCmdWait

number of retransmissions：NS1UEContextRelReq
(S1AP：UE CONTEXT RELEASE COMMAND)

Timer expiry

2.RRC：RRCConnectionRelease

C-S0

802
803 Figure 1.1-4TS1UEContextRelCmdWait expiry
804
805 (Step1)
806 The eNB transmits S1AP: UECONTEXT RELEASE REQUEST to the MME, and the following procedures are
807 implemented.

808 ・The CallState is changed to C-S9

809 ・When the TS1UEContextRelCmdWait expires for the first time, the following is implemented.
810 -If NS1UEContextRelReq is 0, proceed to (Step2).
811 - If NS1UEContextRelReq is not 0, S1AP: UE CONTEXT RELEASE REQUEST is retransmitted
812 andTS1UEContextRelCmdWait timer is reset.

813 ・When the TS1UEContextCmdWait expires during reset, the following is performed.

814 -If the retransmission number of “NS1UEContextRelReq≦S1AP:UE CONTEXT RELEASE REQUEST

815 “orthe NS1UEContextReq is 0, proceed to (step2).

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816 -In case not mentioned above, S1AP: UE CONTEXT RELEASE REQUEST is retransmitted
817 andTS1UEContextRelCmdWait timer is reset.
818 (Step2)
819 The eNB transmits RRC:RRCConnectionRelease to UE, and the following is performed.

820 ・The CallState is changed to C-S0.

821
822 1.1.4.2.2.5 Message Definitions
823 For further instructions on how each IE is handled corresponding to the Message used in this section, please
824 refer to the Appendix.
825 Table 1.1-2RRC Message definitions
# Message Direction Explanation
RRCConnectionRelease eNB to UE
826
827 Table 1.1-3S1AP Message definition
# Message Direction Explanation
UE CONTEXT RELEASE COMMAND MME to eNB
UE CONTEXT RELEASE COMPLETE eNB to MME
UE CONTEXT RELEASE REQUEST eNB to MME
828
829 1.1.4.2.2.6 Timers
830 The timers used in this chapter are described below.
831 Table 1.1-4Timers
# Timers Name Explanation Value
1 TS1UEContextRelCmdWait Refer to Successful Operation under System Parameters
normal functioning section
(Same as the timer name)
832
833 1.1.4.2.2.7 System Parameters
834 The system parameters used in this chapter are described below.
835 Table 1.1-5System Parameters
# Parameter Name Explanation range Unit Default Value
1 TS1UEContextRelCmdWait 1～50 100[ms] TBD

2 NS1UEContextRelReq Retransmission number of 0～10 times TBD

S1AP：UE CONTEXT
RELEASE REQUEST
836
837

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838 1.1.4.2.2.8 Operation and Maintenance function

839 ■CFC
840 Refer to CRR in the Appendix.

841 ■Statistic
842 Refer to Statistic on the Appendix.

843 ■Debug

844 ・RRC message monitoring function

845 →Outputs the dump of transmitted/received RRC message to any Port.

846 Displays transmit/receive time (1/1000 accuracy) and, if present, the identified UE similar to CALLID.

847 ・S1-MME message monitoring function

848 →Outputs the dump of transmitted/received S1-MME message to any Port.

849 Displays the transmit/receive time (1/1000 accuracy) and, if present, the identified UE similar to CALLID.
850
851
852
853
854
855
856
857
858
859
860
861
862
863
864
865
866
867
868
869
870
871
872

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873
874
875
876 1.1.4.2.3 Connection Reestablishment
877 1.1.4.2.3.1 State definitions
878 Table 1.1-10CallState definitions
# CallState Name Explanation
1 C-S10 Complete state for SRB1reestablishment and wait state for
SRB2,DRB stop completion
3 C-S11 Wait state for SRB2,DRB reestablishment completion
4 C-S12 Wait state for RRC：RRCConnectionReestablishmentComplete

5 C-S13 Wait state for RRC：RRCConnectionReconfigurationComplete

reestablishment
6 C-S14 Wait state for S1AP：UE CONTEXT RELEASE COMMAND
reestablishment failure
879

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880 1.1.4.2.3.2 Successful Operation

UE eNB MME

C-S8

1.RRC：RRCConnectionReestablishmentRequest

C-S10

2.Radio Bearer Control in SRB1 reestablishment and SRB2,DRBsuspended

3.RRC：RRCConnectionReestablishment

C-S11

timer：TRRCConReEstCompWait
4.RRC：RRCConnectionReestablishmentComplete

C-S12

5.Radio Bearer Control in SRB2 DRBreestablishment

6.RRC：RRCConnectionReconfiguration

C-S13

timer：TRRCConReconfCompWait

7.RRC：RRCConnectionReconfigurationComplete

C-S8

881
882 Figure 1.1-29connection reestablishment procedure
883 (Step1)
884 eNB performs the following subprocedure when eNB receives
885 RRC::RRCConnectionReestablishmentRequest :

886 ・Change the Call State to C-S10.

887 ・Proceed (Step2)

888

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889 (Step2)
890 eNB performs SRB1 reestablishment and SRB2,DRBsuspended and performs as follows :

891 ・Proceed (Step3), if the result is success.

892 ・Send RRC::RRCConnectionReestablishmentReject and sendS1AP：UE CONTEXT RELEASE REQUEST to

893 MME if the result is failure (For details, refer to SRB1 reestablishment and SRB2,DRBsuspendedUnsuccessful
894 casesectionsee ).
895
896 (Step3)

897 eNB sends RRC：RRCConnectionReestablishment and performs as follows :

898 ・Change the Call State to C-S11.

899 ・Set the timer named TRRCConReEstCompWait, and wait for RRC：
900 RRCConnectionReestablishmentComplete.

901 ・Send RRC：RRCConnectionRelease and send S1AP：UE CONTEXT RELEASE REQUEST to MME, if the
902 timer named TRRCConReEstCompWait is expired (For details, refer to TRRCConReEstCompWait expiry
903 section).see xx).
904
905 (Step4)

906 eNB performs the following subprocedure, when eNB receives RRC：
907 RRCConnectionReestablishmentComplete.

908 ・Stop the timer TRRCConReEstCompWait started in (Step3)

909 ・Change the Call State to C-S12.

910 ・Proceed (Step5)

911
912 (Step5)
913 eNB performs SRB2 DRBreestablishment and performs as follows :

914 ・Proceed (Step6), if the result is success.

915 ・Send RRC：RRCConnectionRelease and sendS1AP：UE CONTEXT RELEASE REQUEST to MME if the
916 result is failure (For details, refer to SRB2 DRB reestablishment Unsuccessful casesection).see xx).
917
918 (Step6)

919 eNB performs RRC：RRCConnectionReconfiguration and performs as follows :

920 ・Change the Call State to C-S13.

921 ・Set the timer named TRRCConReEstCompWait, and wait for RRC：
922 RRCConnectionReestablishmentComplete.

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923 ・Send RRC：RRCConnectionRelease and send S1AP：UE CONTEXT RELEASE REQUEST to MME, if the
924 timer named TRRCConReEstCompWait is expired (For details, refer to TRRCConReconfCompWait
925 expirysection).see xx).

926 ・Send RRC::RRCConnectionReestablishmentReject and sendS1AP：UE CONTEXT RELEASE REQUEST to

927 MME if eNB receives RRCConnectionReestablishmentRequest (RRC connection reconfiguration, failure) (For
928 details, refer to 5.3.1.3.7.6.4.5 RRC connection reconfiguration, failure(UE reject case)section).see xx).
929
930 (Step7)

931 eNB performs the following subprocedure, when eNB receives RRC：
932 RRCConnectionReconfigurationComplete:

933 ・Stop the timer TRRCConReEstCompWait started in (Step3)

934 ・Change the Call State to C-S8.

935

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936 1.1.4.2.3.3 Unsuccessful Operation

UE eNB MME

C-S8

1.RRC：RRCConnectionReestablishmentRequest

C-S10

SRB1 reestablishment and SRB2,DRBsuspended is Unsuccessful

2.RRCConnectionReestablishmentReject

3.S1AP：UE CONTEXT RELEASE REQUEST

C-S14

timer ：TS1UEContextRelCmdWait

number of retransmissions：NS1UEContextRelReq
4.S1AP：UE CONTEXT RELEASE COMMAND

5.S1AP：UE CONTEXT RELEASE COMPLETE

C-S0

937
938 Figure 1.1-30 Unsuccessful procedure
図図Error!
Error!
NoNo
text
textofof
specified
specified
style
styleinin
document.-1 図 SRB1reestablishment
document.-2SRB1 reestablishmentand
and
939 (Step1) SRB2,DRBsuspendedUnsuccessful case
940 Same as (Step1) in Successful Operationsection.xx
941
942 (Step2)

943 eNB sends RRC：RRCConnectionReestablishmentReject and performs as follows if eNB fails SRB1
944 reestablishment or SRB2,DRBsuspended.

945 ・Proceed (Step3)

946
947 (Step3)

948 eNB sends S1AP：UE CONTEXT RELEASE REQUEST to MME and performs as follows.

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949 ・Change the Call State to C-S14.

950 ・Set the timer named TS1UEContextRelCmdWait, and wait for S1AP：UE CONTEXT RELEASE
951 COMMAND.

952 ・Perform as follows when the timer named TS1UEContextRelCmdWait is expired for the first time.

953 - Change the Call State to C-S0 if NS1UEContextRelReq is “0”. eNB does not send RRC：
954 RRCConnectionRelease.

955 - Resend S1AP：UE CONTEXT RELEASE REQUESTand reset the timer named
956 TS1UEContextRelCmdWait Change if NS1UEContextRelReq is except for cases of“0”.

957 ・Perform as follows when the timer named TS1UEContextRelCmdWait is expired again.

958 - Change the Call State to C-S0 if “NS1UEContextRelReq≦The number of retransmissions of S1AP”
959 or NS1UEContextRelReq is “0”. eNB does not send RRC：RRCConnectionRelease.

960 - Resend S1AP：UE CONTEXT RELEASE REQUESTand reset the timer named
961 TS1UEContextRelCmdWait in other than those above cases.
962
963 (Step4)

964 eNB performs as follows when eNB receives S1AP：UE CONTEXT RELEASE COMMAND from MME.

965 ・Proceed (Step5)

966
967 (Step5)

968 eNB sends S1AP：UE CONTEXT RELEASE COMPLETE to MME and performs as follows

969 ・Change the Call State to C-S0.

970
971
972

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973 1.1.4.2.3.4 TRRCConReEstCompWait expiry

UE eNB MME

1.connection reestablishment procedure Step1～Step2

2.RRC：RRCConnectionReestablishment

C-S11

timer：TRRCConReEstCompWait
(RRC：RRCConnectionReestablishmentComplete)

Timer expiry

3.connection release Procedure(initiated by eNB)

C-S0

974
975 Figure 1.1-31TRRCConReEstCompWait expiry
976 (Step1)
977 Same as (Step1)(Step2) in Successful Operation section.
978
979 (Step2)
980 Same as (Step3) in Successful Operationsection.
981
982 (Step3)
983 Perform connection release Procedure(initiated by eNB) in (Step1)-(Step4) when the timer named
984 TRRCConReEstCompWait is expired.
985
986
987 1.1.4.2.3.5 SRB2 DRB reestablishment Unsuccessful case
988

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UE eNB MME

1.connection reestablishment procedure Step1～Step4

C-S12

SRB2 DRBreestablishment is Unsuccessful

2.connection release Procedure(initiated by eNB)

C-S0

989
990 Figure 1.1-32SRB2 DRB reestablishment Unsuccessful case
991
992 1.1.4.2.3.6 RRC connection reconfiguration, failure(UE reject case)
993 (Step1)
994 Same as (Step1)(Step2) in Successful Operation section.
995
996 (Step2)
997 Perform connection release Procedure(initiated by eNB) in (Step1)-(Step4) when eNB fails SRB2
998 DRBreestablishment.
999
1000
1001 1.1.4.2.3.7 TRRCConReconfCompWait expiry
1002
1003
1004

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UE eNB MME

1.connection reestablishment procedure Step1～Step5

2.RRC：RRCConnectionReconfiguration

C-S13

timer：TRRCConReconfCompWait
(RRC：RRCConnectionReconfigurationComplete)

Timer expiry

3.connection release Procedure(initiated by eNB)

C-S0

1005
1006 Figure 1.1-33TRRCConReconfCompWait expiry
1007 (Step1)
1008 Same as (Step1)-(Step5) in Successful Operation section.xx.
1009
1010 (Step2)
1011 Same as (Step6) in Successful Operation section.
1012
1013 (Step3)
1014 Perform connection release Procedure(initiated by eNB) in (Step1)-(Step4) when the timer named
1015 TRRCConReconfCompWait is expired.
1016
1017 1.1.4.2.3.8 RRC connection reconfiguration, failure(UE reject case)
1018

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UE eNB MME

1.connection reestablishment procedure Step1～Step5

2.RRC：RRCConnectionReconfiguration

C-S13

timer：TRRCConReconfCompWait
3.RRC：RRCConnectionReestablishmentRequest

4.RRC：RRCConnectionReestablishmentReject

5.S1AP：UE CONTEXT RELEASE REQUEST

C-S14

timer ：TS1UEContextRelCmdWait

number of retransmissions：NS1UEContextReq
6.S1AP：UE CONTEXT RELEASE COMMAND

7.S1AP：UE CONTEXT RELEASE COMPLETE

C-S0

1019
1020 Figure 1.1-34RRC connection reconfiguration, failure(UE reject case)
1021
1022 (Step1)
1023 Same as (Step1)-(Step5) in Successful Operation section.xx.
1024
1025 (Step2)
1026 Same as (Step6) in Successful Operation section.
1027
1028 (Step3)

1029 eNB performs as follows when eNB receives RRC：RRCConnectionReestablishmentRequest.

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1030 ・Stop the timer TRRCConReconfCompWait started in (Step2)

1031 ・Proceed (Step4)

1032
1033 (Step4)

1034 eNB sends RRC：RRCConnectionReestablishmentReject and performs as follows.

1035 ・Proceed (Step5)

1036
1037 (Step5)-(Step7)
1038 Same as (Step3)-(Step5) in connection release procedure initiated by eNBsection.
1039
1040
1041 1.1.4.2.3.9 Null State case

UE eNB MME

C-S0

1.RRC：RRCConnectionReestablishmentRequest

2.RRCConnectionReestablishmentReject

C-S0

1042
1043 Figure 1.1-35 Idle State case
1044 (Step1)
1045 (Step1)

1046 eNB performs as follows when eNB receives RRC：RRCConnectionReestablishmentRequest.

1047 ・Proceed (Step2)

1048
1049 (Step2)

1050 eNB sends RRC：RRCConnectionReestablishmentReject.

1051

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1052
1053 1.1.4.2.3.10 Message definitions
1054
1055 Table 1.1-11. RRC Message definitions
# Message Direction Explanation
RRCConnectionReestablishmentRequest UE to eNB
RRCConnectionReestablishment eNB to UE
RRCConnectionReestablishmentComplete UE to eNB
RRCConnectionReestablishmentReject eNB to UE
RRCConnectionReconfiguration eNB to UE
RRCConnectionReconfigurationComplete UE to eNB

1056
1057
1058 Table 1.1-12. S1AP Message definitions
# Message Direction Explanation
UE CONTEXT RELEASE REQUEST eNB to MME
UE CONTEXT RELEASE COMMAND MME to eNB
UE CONTEXT RELEASE COMPLETE eNB to MME

1059
1060
1061 1.1.4.2.3.11 Timers
1062
1063 Table 1.1-13 Timers
# Message Explanation Value
TRRCConReEstCompWait Refer to xx Successful System Parameters
Operation section
(same as Timers)
TRRCConReconfCompWait Defined in connection Defined in connection
establishment section establishment section
TS1UEContextRelCmdWait Defined in connection Defined in connection
establishment section establishment section

1064
1065
1066 1.1.4.2.3.12 System Paramsters
1067

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1068 Table 1.1-14 System Parameters

# Parameter Name Explanation range Unit Default Value
1 TRRCConReEstCompWait Refer to Section xx 1～50 100[ms] TBD

2 TBD
1069
1070
1071 1.1.4.2.4 UE Context Modification
1072 eNB maintains and stores the information(e.g. E-RAB List) to connect core NW(MME, S-GW) through eNB
1073 as UE context for UE. UE context change initiated by UE is performed in case of receipt the requirement from
1074 MME to change Security key, etc.
1075
1076 1.1.4.2.4.1.1 Successful Operation(without AS Key change)
1077

UE eNB MME

1.S1AP：UE CONTEXT MODIFICATION REQUEST

Not AS keychange

2.S1AP：UE CONTEXT MODIFICATION RESPONSE

1078
1079 Figure 1.1-36UE Context Modificationprocedure without AS keychange
1080
1081 (Step1)

1082 eNB performs to the following when eNB receives S1AP：UE CONTEXT MODIFICATION REQUEST
1083 without AS key change (without Security Key IE and UE Security Capabilities IE) from MME.

1084 ・Restore IE information except for Security Key IE and UE Security Capabilities IE.

1085 ・Proceed (Step2)

1086
1087 (Step2)

1088 eNB sends S1AP：UE CONTEXT MODIFICATION RESPONSE to MME.

1089
1090

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1091 1.1.4.2.4.1.2 Successful Operation( intra cell handover procedure, AS Key change）
1092 eNB performs AS Securrity procedure in case of intra cell handover.eNB behavior related to AS Security
1093 procedure (Step 3 to 12) are shown in the following figure.
1094
UE eNB MME SGW

DL/UL Data DL/UL Data

1. New KeNB derivation

2. UE CONTEXT MODIFICATION
REQUEST

AS Security procedure 3. AS Key generation

DL Data

4.Stop DL data transmission

Stop UL data scheduling
Old AS Key
Start DL data buffering
duration of use 使
用期間 5.RRCConnectionReconfiguration

6. integrity protection
New AS Key
duration of use 7.ciphering
使用期間

8.Random access procedure

9.RRCConnectionReconfigurationComplete
10.UE CONTEXT MODIFICATION RESPONSE

11. Restart DL data transmission

DL Data

12.Restart UL data transmission

DL/UL Data DL/UL Data

1095
1096 Figure 1.1-37UE Context Modificationprocedure with AS keychange
1097
1098
1099 Following procedure are performed if UE CONTEXT MODIFICATION REQUESTreceived from MME
1100 contains Security Key IE.
1101
1102 (Step 3)

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1103 (1) KRRCint and KRRCenc retained in AS Security information maintenance are contained inold KRRCint、old
1104 KRRCenc.
1105 (2) AS Key are generated (KRRCint, KRRCenc and KUPenc) from Security Key(KeNB) contained UE
1106 CONTEXT MODIFICATION REQUEST. KeNB, KRRCint, KRRCenc, KUPenc, NCC are contained in AS
1107 Security information management. NCC is initial value, so the stored value is “0”.
1108 (3) AS algorithm is selected from UE Security Capabilities IE contained in UE CONTEXT MODIFICATION
1109 REQUEST, and integrity protection algorithm and ciphering algorithm are decided. integrity protection
1110 algorithm, ciphering algorithm and UE Security Capabilities IE are contained in AS Securityinformation
1111 maintenance.
1112
1113 (Step 4)
1114 (1) DL data transmission and UL scheduling are stopped and DL data from SGW are buffered in order to switch
1115 from old Key to new Key. UL data transmission from UE are stopped when UL scheduling is stopped.
1116
1117 (Step 5)
1118 (1) SecurityConfigHO IE in RRC Connection Reconfiguration message are constructed and sent to UE.
1119
1120
1121 Table 1.1-15SecurityConfigHO IE
No Child IE Parent IE Values to be set

1 securityAlgorithmConfig SecurityAlgorithmConfig Set integrity protection algorithm

and ciphering algorithm contained
in AS Security information
maintenance.
2 keyChangeIndicator SecurityAlgorithmConfig Set TRUE(because this indicates
handover procedure.)
3 nextHopChainingCount SecurityAlgorithmConfig Set NCC contained in AS Security
information maintenance.
1122
1123 (Step 6)
1124 (1) Set KRRCint, old KRRCint andintegrity protection algorithm obtained in (Step 3) to PDCP. (This purpose is
1125 to start integrity protection.)
1126
1127 (Step 7)
1128 (1) KRRCenc, KUPenc, old KRRCenc, ciphering algorithm obtained in (Step 3) to PDCP. (This purpose is to
1129 start ciphering.)
1130
1131 (Step 8)
1132 (1) Random access procedure are performed.
1133
1134 (Step 9)
1135 (1) UE sends RRCConnectionReconfigurationComplete. At this time, new Key is used for AS Key inciphering
1136 and integrity protection. New Key is also used for Integrity protection check in eNB.

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1137 (2) eNB deletes old KRRCint and old KRRCenc retained in AS Security information maintenance after
1138 reception of RRCConnectionReconfigurationComplete. old KRRCint and old KRRCenc set in PDCP are
1139 deleted.
1140
1141 (Step 10)
1142 (1) eNB sends UE CONTEXT MODIFICATION RESPONSE to MME.
1143
1144 (Step 11)
1145 (1) eNB start DL data transmission again.
1146
1147 (Step 12)
1148 (1) eNB start UL scheduling again. UL data from UE are transmitted.
1149
1150
1151 1.1.4.2.4.2 System Paremeters
# Parameter Name Corresponding Description Related
parameter/IE section
defined in 3GPP

1 Physical Cell ID PCI Physical Cell Id

2 Carrier Frequency EARFCN-DL DL frequency
allowedCiphering - List for Ciphering algorithm
AlgorithmList eea0,128-eea1,128-eea2 are stored in
order of priority.
・eea0 (Null ciphering)
・128-eea1 (SNOW 3G based)
・128-eea2 (AES based)
allowedIntegrity - List for Integrity protection algorithm
ProtectionAlgorithmList eia0,128-eia1,128-eia2 are stored in
order of priority
・eia0 (Null ciphering)
・128-eia1 (SNOW 3G based)
・128-eia2 (AES based)
1152
1153
1154
1155
1156
1157 1.1.4.2.5 E-RAB Management
1158 E-RAB management is responsible for setting up, modifying and releasing E-UTRAN radio and S1 resources
1159 for one or more E-RABs that are used for user data transport. Procedures for establishment and modification for
1160 E-UTRAN resource are initiated by the MME and requires respective QoS information to be provided to the
1161 eNB. Release of E-Utran resources is triggered by the MME either directly or following s received from the
1162 eNB.

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1163 1.1.4.2.5.1 Method of operation of QoS

1164 1.1.4.2.5.1.1 Definition of State
1165 The eNB defines call states related to the QoS (CallState) and manages them. These CallStates are managed
1166 according to UE units.
1167 Table 1.1-6CallState

＃ Name of CallState Description

C-S8 Connected state

1.
Refer to 5.3.1.7.2 on initial connection setup on the SD documentation.
C-S100 Waiting-state for Bearer Setup completion.
2.
C-S101 Waiting-state for Bearer Setup during RRC Connection Reconfiguration Completion
3.
C-S102 Waiting-state for Bearer Release completion.
4.
C-S103 Waiting-state for Bearer Release when RRC Connection Reconfiguration Completed.
5.
C-S104 Waiting-state for Bearer Modify completion.
6.
C-S105 Waiting-state for Bearer Modify during RRC Connection Reconfiguration
7. Completion.
C-S106 Waiting-state for ContextModify completion
8.
C-S107 Waiting-state Bearer pre-emption completion
9.
C-S108 Waiting-state for BearerPreemption during RRC Connection Reconfiguration
10. Completion.
1168
1169 1.1.4.2.5.1.1.1 InitialAttach
1170 When an UE is attaching to the network, an EPS Bearer is always set up and remains until the UE detaches in
1171 order to provide an ‘Always On’ IP connectivity, reducing set up latency and excessive signaling. This Bearer is
1172 the Default Bearer and its QoS parameters are set by the network based on the UE subscription profile stored in
1173 the HSS(Home Subscriber Server). The Default Bearer is always non-GBR. Please refer to CallState
1174 management section for the InitialAttach sequence.
1175 When the eMB receives S1AP::INITIAL CONTEXT SETUP REQUEST from MME, the following is
1176 performed.

1177 ・If the UE-AMBR (optional) is attached to the received QoS parameter, then that content is activated and
1178 passed to the lower layers

1179 ・The QCI, ARP, GBR and MBR and MBR of the received QoS are activated and passed on to lower layers.
1180
1181 1.1.4.2.5.1.1.2 S1 HO
1182 Please refer to Mobility management section for details of S1 HO sequence.
1183 When the (target) eNB receives S1AP HANDOVER REQUEST from the MME, the following areperformed.

1184 ・If UE-AMBR (optional) is attached to the received QoS parameter, then that content is activated and passed
1185 to the lower layers

1186 ・The QCI, ARP, GBR and MBR and MBR of the received QoS is activated and passed on to lower layers.

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1187 When the (Source) eNB receives S1AP UEContext Release Command the following occurs.

1188 ・The QoS parameters will be invalid.

1189
1190 1.1.4.2.5.1.1.3 X2 HO
1191 Please refer to Mobility management section for X2 HO sequence.
1192 When the (target) eNB receives X2AP HANDOVER REQUEST from the (source) eNB the following occurs.

1193 ・If UE-AMBR (optional) is assigned to the received QoS parameter, then that content is activated and passed
1194 to the lower layers

1195 ・The QCI, ARP, GBR and MBR and MBR of the received QoS are activated and passed on to lower layers.
1196 When the (Source) eNB receives X2AP UEContext Release from the (Target) eNB, the following is performed.

1197 ・The QoS parameters will be invalidated.

1198
1199 1.1.4.2.5.1.1.4 Path Switch
1200 Please refer to Mobility management section for PathSwitch sequence.
1201 When the eMB receives S1AP::PATHSWITCH REQUEST ACKNOWLEDGE from the MME, the following is
1202 performed.

1203 ・If UE-AMBR (optional) is attached to the received QoS parameter, then that content is activated and passed
1204 to the lower layers.
1205
1206 1.1.4.2.5.1.1.5 Dedicated Bearer Activation
1207 More EPS Bearers can be established for one UE, known as Dedicated Bearers. The QoS parameters of the
1208 Dedicated Bearer are decided by PCRF using Service/Application on QoS depending on the necessity.
1209 There are two cases for Dedicated Bearer Activation; PCRF-initiated and UE-initiated. But in terms of eNB
1210 operation, the following common sequence will be implemented.
1211

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UE eNB MME

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

1. S1AP::E-RAB RELEASE COMMAND

(ActivateDedicated EPS Bearer ContextRequest)

C-S100

2. Implement radio admission control

3. Implement radio bearer control

4.RRC::RRC Connection Reconfiguration

(ActivateDedicated EPS Bearer ContextRequest)

timer:TRRCConReconfCompWait

C-S101

5.RRC::RRC Connection Reconfiguration Complete

6. QoS parameters disabled and notified to lower layers

7.S1AP::E-RAB SETUP RESPONSE

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

8.RRC::UL Information Transfer

Activate Dedicated EPS Bearer ContextAccept)

9.S1AP::UL NAS Transfer

(Activate Dedicated EPS Bearer ContextAccept)

1212
1213
Figure 1.1-5Dedicated Bearer Activation
1214
1215
1216

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1217 (Step1)
1218 When the eNB receives S1AP::E-RAB REQUEST from the MME, the message verification is performed.

1219 ・If authenticated, (Step2) is followed.

1220 ・If unauthenticated, proceed to Bearer Setup unsuccessful operation.

1221
1222 (Step2)
1223 The eNB performs admission control, based on the received QoS parameters. For details, please refer to
1224 Equipment protection section.

1225 ・If the result from admission control is “permitted”, proceed to (Step3).

1226 ・If the result from admission control is “denied”, then refer to Bearer Setup unsuccessful operation section.
1227
1228 (Step3)
1229 The eNB performs Radio Bearer Control. For details, please refer to Radio Bearer Control section.

1230 ・If the result from Radio Bearer Control is “successful”, then proceed to (Step4).

1231 ・If the result from Radio Bearer Control is “failure”, then refer to Bearer Setup unsuccessful operation section.
1232
1233 (Step4)
1234 The eNB performs the following.

1235 ・Transmits the RRC::RRC Connection Reconfiguration setup information of the Bearer to be added, to drb-
1236 ToAddModList IE. For details, please refer Message Specifications in the Appendix.

1237 ・Initiates the TRRCConReconfCompWait timer and waits for RRC::RRC Connection Reconfiguration
1238 Complete.

1239 ・If the RRCConReconfCompWait timer expires, Bearer Setup unsuccessful operation will be performed.
1240 However, retransmission of the RRC Connection Reconfiguration in the RLC layer will be performed.
1241
1242 (Step5)
1243 When the eNB receives RRC::RRC Connection Reconfiguration Complete from UE, the following is
1244 performed.

1245 ・The TRRCConReconfCompWait timer is stopped.

1246 ・Proceed to (Step6).

1247
1248 (Step6)
1249 The eNB performs the following.

1250 ・If UE-AMBR (optional) is assigned to the received QoS parameter, then that content is activated and passed
1251 to the lower layers.

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1252 ・The QCI, ARP, GBR and MBR and MBR of the received QoS is activated and the lower layers are notified.

1253 ・Proceed to (Step7).

1254
1255 (Step7)
1256 The eNB performs the following.

1257 ・Transmits S1AP::E-RAB SETUP RESPONSE.

1258
1259 (Step8)
1260 When the eNB receives RRC::UL Information Transfer from the UE, the following is performed.

1261 ・Proceed to (Step9).

1262
1263 (Step9)
1264 The eNB transmits S1AP::UL NAS Transport to the MME.
1265
1266 1.1.4.2.5.1.1.6 Dedicated Bearer Deactivation
1267 This operation will be carried out when the Service/Application is terminated and QoS requirements of the
1268 Dedicated Bearer are removed. There are two cases for Dedicated Bearer Deactivation; PCRF-initiated and UE-
1269 initiated. But in terms of eNB operation, the following common sequence will be implemented.
1270
1271
1272
1273
1274
1275
1276
1277
1278
1279

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UE eNB MME

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

1. S1AP::E-RAB RELEASE COMMAND

(Deactivate EPS Bearer ContextRequest)

C-S102

2.RRC::RRC Connection Reconfiguration

(Deactivate EPS Bearer ContextRequest)

timer:TRRCConReconfCompWait

C-S103

3.RRC::RRC Connection Reconfiguration Complete

4. QoS parameters disabled and notified to lower layers

5.S1AP::E-RAB SETUP RESPONSE

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

6.RRC::UL Information Transfer

Deactivate EPS Bearer ContextAccept)

7.S1AP::UL NAS Transfer

(Deactivate EPS Bearer ContextAccept)

1280
1281 Figure 1.1-6Dedicated Bearer Deactivation
1282
1283
1284

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1285 (Step1)
1286 When the eNB receives S1AP::E-RAB RELEASE COMMAND from the MME, the verification of the message
1287 is performed。

1288 ・If authenticated, proceed to (Step2).

1289 ・If unauthenticated, proceed to the unsuccessful operation.

1290
1291 (Step2)
1292 The eNB performs the following.

1293 ・Transmits the RRC::RRC Connection Reconfiguration setup information of the Bearer to be removed, to the
1294 drb-ToReleaseList IE. For details, please refer Message Specifications in the Appendix.

1295 ・Initiates the TRRCConReconfCompWait timer and waits for RRC::RRC Connection Reconfiguration
1296 Complete.

1297 ・If the RRCConReconfCompWait timer expires, Bearer Setup unsuccessful operation will be performed.
1298 However, the retransmission of the RRC Connection Reconfiguration in the RLC layer will be performed.
1299
1300 (Step3)
1301 When the eNB receives RRC::RRC Connection Reconfiguration Complete from UE, the following is
1302 performed.

1303 ・The TRRCConReconfCompWait timer is stopped.

1304 ・Proceed to (Step4).

1305
1306 (Step4)
1307 The eNB performs the following.

1308 ・Invalidates the QoS parameters of the Bearer and notifies the lower layers.

1309 ・Proceed to (Step5).

1310
1311 (Step5)
1312 The eNB performs the following.

1313 ・Transmits S1AP::E-RAB RELEASE RESPONSE.

1314
1315 (Step6)
1316 When the eNB receives RRC::UL Information Transfer from the UE, the following is performed.

1317 ・Proceed to (Step7).

1318
1319 (Step7)

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1320 The eNB performs the following.

1321 ・Transmits S1AP::UL NAS Transport to the MME.

1322
1323 1.1.4.2.5.1.1.7 Bearer Modification with bearer QoS Update
1324 This operation will be carried out when the QoS of the Service/Application is updated. Furthermore, when any
1325 QoS parameter (QCI, ARP, MBR or GBR,) that is listed in QOS management sectionError! Reference source
1326 not found., is updated this operation will be carried according to unit of Bearers.
1327 There are three cases for this operation: PCRF-initiated, UE-initiated and HSS-initiated. But in terms of eNB
1328 operation, the following common sequence will be implemented.
1329

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UE eNB MME

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

1. S1AP::E-RAB MODIFY REQUEST

(Modify EPS Bearer ContextRequest)

C-S104

2. Implement radio admission control

3. Implement radio bearer control

4.RRC::RRC Connection Reconfiguration

(Modify EPS Bearer ContextRequest)

timer:TRRCConReconfCompWait

C-S105

5.RRC::RRC Connection Reconfiguration Complete

6. New QoS parameters enabled and notified to lower layers

7.S1AP::E-RAB MODIFY RESPONSE

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

8.RRC::UL Information Transfer

Modify EPS Bearer ContextAccept)

9.S1AP::UL NAS Transfer

(Modify EPS Bearer ContextAccept)

1330
1331 Figure 1.1-7Bearer Modification with bearer QoS Update
1332
1333
1334

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1335 (Step1)
1336 When the eNB receives S1AP::E-RAB MODIFY REQUEST from the MME, the verification of the message is
1337 performed。

1338 ・If authenticated, proceed to (Step2).

1339 ・If unauthenticated, proceed to the unsuccessful operation section.

1340
1341 (Step2)
1342 The eNB performs admission control based on the received QoS parameters. For detailed information, please
1343 refer to Equipment protection section.

1344 ・If the result from admission control is “permitted”, proceed to (Step3).

1345 ・If the result from admission control is “denied”, then refer to unsuccessful operation section.
1346
1347 (Step3)
1348 The eNB performs Radio Bearer Control. For details, please refer to Radio Bearer Control section.

1349 ・If the result from Radio Bearer Control is “successful”, then proceed to Step4.

1350 ・If the result from Radio Bearer Control is“failure”, then refer to Bearer Setup unsuccessful operation section.
1351
1352 (Step4)
1353 The eNB performs the following.

1354 ・Transmits the RRC::RRC Connection Reconfiguration setup information of the Bearer to be added, to the
1355 drb-ToAddModList IE. For details, please refer Message Specifications in the Appendix.

1356 ・Initiates the TRRCConReconfCompWait timer and waits for RRC::RRC Connection Reconfiguration
1357 Complete.

1358 ・If the RRCConReconfCompWait timer expires, sequence for unsuccessful operation will be performed.
1359 However, the retransmission of the RRC Connection Reconfiguration in the RLC layer will be performed.
1360
1361 (Step5)
1362 When the eNB receives RRC::RRC Connection Reconfiguration Complete from the MME the following is
1363 performed.

1364 ・ The TRRCConReconfCompWait timer is stopped.

1365 ・ Proceed to (Step6).
1366 ・
1367 (Step6)
1368 The eNB will perform the following.

1369 ・If UE-AMBR (optional) is assigned to the received QoS parameter, then that new content is activated and
1370 passed to the lower layers. If there is no UE-AMBR (optional) attached then the previous UE-AMBR (optional)
1371 is used.

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1372 ・The QCI, ARP, GBR and MBR and MBR of the received QoS is activated and passed on to lower layers.

1373 ・Proceed to (Step7).

1374
1375 (Step7)
1376 The eNB will perform the following.

1377 ・Transmit S1AP::E-RAB MODIFY RESPONSE.

1378
1379 (Step8)
1380 When the eNB receives RRC::UL Information Transfer from the UE, the following is performed.

1381 ・Proceed to (Step9).

1382
1383 (Step9)
1384 The eNB will transmit S1AP::UL NAS Transport to the MME.
1385
1386 1.1.4.2.5.1.1.8 Bearer Modification without bearer QoS Update
1387 This operation, unlike the previous section, will be carried out when UE-AMBR is updated, and when any QoS
1388 parameter (QCI, ARP, MBR or GBR,) is not updated. There are three cases for this operation: PCRF-initiated,
1389 UE-initiated and HSS-initiated. But in terms of eNB operation, the following common sequence will be
1390 implemented. Note that if the Security Key is changed; please refer to the sequence of security section.
1391
1392
1393
1394

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UE eNB MME

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

1. S1AP::UE CONTEXT MODIFICATION REQUEST

C-S106

2New QoS parameters enabled and notified to lower layers

3.S1AP::UE CONTEXT MODIFICATION RESPONSE

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

1395
1396 Figure 1.1-8Bearer Modification without bearer QoS Update
1397
1398
1399

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1400 (Step1)
1401 When the eNB receives S1AP::UE CONTEXT MODIFICATION REQUEST from the MME, the following is
1402 performed.

1403 ・Proceed to (Step2).

1404
1405 (Step2)
1406 The eNB performs the following.

1407 ・The assigned UE-AMBR(optional) is activated and notified to the lower layers.

1408 ・Proceed to (Step3).

1409
1410 (Step3)
1411 The eNB will perform the following.

1412 ・Transmits S1AP::UE CONTEXT MODIFICATION RESPONSE.

1413
1414 1.1.4.2.5.1.1.9 PDN Connectivity Activation
1415 The UE implements the sequence below for Multiple PDN Access, while also utilizing PDN connection service
1416 such as Core Network`s IMS (IP Multimedia Subsystem). This operation implements UE-initiated.
1417

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UE eNB MME

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

1.RRC::UL Information Transfer

(PDN Connectivity Request)

2.S1AP::UL NAS Transport

(PDN Connectivity Request)

3.S1AP::E-RAB SETUP REQEST

(Activate Default EPS Bearer Context Request)

C-S104

4. Implement radio admission control

5. Implement radio bearer control

6.RRC::RRC Connection Reconfiguration

(ActivateDefault EPS Bearer ContextRequest)

timer:TRRCConReconfCompWait

C-S105

7.RRC::RRC Connection Reconfiguration Complete

8. QoS parameters enabled and notified to lower layers

9.S1AP::E-RAB SETUP RESPONSE

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

10.RRC::UL Information Transfer

Activate Default EPS Bearer ContextAccept)

11.S1AP::UL NAS Transfer

(Activate Default EPS Bearer ContextAccept)

1418
1419 Figure 1.1-9PDN Connectivity Activation
1420
1421
1422

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1423 In the terms of eNB control, this operation is same as Dedicated Bearer Activation section.
1424
1425 1.1.4.2.5.1.1.10 PDN Connectivity Deactivation
1426 This sequence is conducted when the PDN connection is disconnected outside the Core Network in Multiple
1427 PDN Access. There are three cases for PDN Connectivity Deactivation; UE-initiated, P-GW-initiated, S-GW-
1428 initiated. But in terms of eNB operation, the following common sequence will be implemented.

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UE eNB MME

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

1. S1AP::E-RAB RELEASE COMMAND

(Deactivate EPS Bearer ContextRequest)

C-S102

2.RRC::RRC Connection Reconfiguration

(Deactivate EPS Bearer ContextRequest)

timer:TRRCConReconfCompWait

C-S103

3.RRC::RRC Connection Reconfiguration Complete

4. QoS parameters disabled and notified to lower layers

5.S1AP::E-RAB SETUP RESPONSE

C-S8 (RRC_CONNECTED / EMM_REGISTERED / ECM_CONNECTED

6.RRC::UL Information Transfer

Deactivate EPS Bearer ContextAccept)

7.S1AP::UL NAS Transfer

(Deactivate EPS Bearer ContextAccept)

1429
1430 Figure 1.1-10PDN Connectivity Deactivation
1431
1432
1433

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1434 In terms of eNB operation, this procedure is same as that of Dedicated Bearer Deactivation section.
1435
1436 1.1.4.2.5.1.1.11 S1Reset
1437 Please refer to Core Network device connection management section for this sequence procedure. The eNB will
1438 perform the following when UE Context is initiated by S1 Reset.
1439
1440 1.1.4.2.5.1.1.12 Detach and eNB call disconnection initiative
1441 Please refer to Core Network device connection management section for this sequence procedure. The eNB will
1442 implement the following when S1AP::UE Context Release Command is received from the MME due to Detach
1443 and eNB initiated call disconnection.
1444
1445
1446 1.1.4.2.6 Radio Bearer Control
1447 Radio Bearer Control consists of the following 6 types. The eNB stores and manages the Radio Bearer (RB)
1448 related information in units of RB. The Data Radio Bearer (DRB) performs 1 to 1 mapping with the EPS bearer
1449 and the maximum DBR number that can be allocated per UE is 6.
1450
1451 1.1.4.2.6.1 RB establishment
1452 The establishment of each RB will be performed. After the establishment is complete, packet transmission is
1453 enabled.
1454
1455 1.1.4.2.6.1.1 SRB0
1456 SRB0 is established as logical channel(CCCH) with logicalChannelIdentity=0 , logicalChannelGroup=0.
1457
1458 1.1.4.2.6.1.2 SRB1
1459 The eNB performs the establishment of SRB1 in UE units in the event of initial connection or handover (target
1460 eNB). SRB1 is established as logical channel(DCCH) with logicalChannelIdentity=1, logicalChannelGroup=0.
1461 The UE setup is performed using rb-ToAddModList IE (3GPP TS36.331) of the RRC message.
1462
1463 1.1.4.2.6.1.3 SRB2
1464 The eNB performs the establishment of SRB1 in UE units in the event of initial connection or handover (target
1465 eNB). SRB1 is established as logical channel(DCCH) with logicalChannelIdentity=2、logicalChannelGroup=0.
1466 The UE setup is performed using srb-ToAddModList IE(3GPP TS36.331 of the RRC message.
1467
1468 1.1.4.2.6.1.4 DRB
1469 The eNB performs the establishment of DBR in UE units in the event of initial connection, handover (target
1470 eNB) or QoS operation. DRB is established as logical channel(TCH) with logicalChannelIdentity=3~10,
1471 logicalChannelGroup=0~3. The logicalChannelIdentity will not duplicate the allocation of DRB. EPS Bearer`s
1472 QCI (QoS Class Identifier) will determine the corresponding system parameters (TBD).
1473 The UE setup is performed using srb-ToAddModList IE(3GPP TS36.331 of the RRC message.

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1474 1.1.4.2.6.2 RB update

1475 Each RB is updated. If received packets cannot be processed before update completion, then those packers will
1476 be buffered. After update is complete, packet transmission is enabled for each RB. The packers that are buffered
1477 will be prioritized for transmission.
1478 1.1.4.2.6.2.1 SRB0/SRB1/SRB2
1479 The eNB does not change the information of SRB that is already established.
1480 1.1.4.2.6.2.2 DRB
1481 The eNB updates the information on DRB when receiving (S1AP: E-RAB MODIFY REQUEST) . This happens
1482 in the QoS Operation during the update request from the MME`s EPS Bearer.
1483 The UE setup is performed using srb-ToAddModList IE (3GPP TS36.331 of the RRC message.
1484
1485 1.1.4.2.6.2.3 RB release
1486
1487 1.1.4.2.6.2.3.1 SRB1/SRB2
1488 The eNB performs the release of SRB1/SRB2 in UE units in the event of Connection release or handover
1489 (source eNB).
1490
1491 1.1.4.2.6.2.3.2 DRB
1492 The eNB performs the release of DRB in UE units in the event of Connection release or handover (source eNB).
1493
1494 1.1.4.2.6.2.4 RB Reestablishment
1495 Reestablishment is performed on every RB. If packets are received during reestablishment, they are buffered.
1496 After reestablishment is complete, packet transmission is enabled for each RB. The packers that are buffered
1497 will be prioritized for transmission.
1498
1499 1.1.4.2.6.2.4.1 SRB0
1500 The eNB performs the establishment of SRB1 in UE units after the event of reestablishment. Other triggering
1501 specifications for this event are based on the specifications of RB establishment section.
1502
1503 1.1.4.2.6.2.5 RB suspension
1504 Each RB is suspended. The RB`s information will not be changed. Buffering will take place in every RB that is
1505 transmitted.
1506 1.1.4.2.6.2.5.1 SRB0
1507 The specifications for the suspension of SRB0 are not prescribed.
1508 1.1.4.2.6.2.5.2 SRB1/SRB2
1509 The eNB buffers the packet to be sent in each DRB, if the DRB is suspended.
1510 1.1.4.2.6.2.6 RB resumption
1511 Resumption with be performed in each RB. The RB`s information will not be changed. The packets that are
1512 being buffered will be prioritized for transmission.

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1513 1.1.4.2.6.2.6.1 SRB0

1514 The specifications for the resumption of SRB0 are not prescribed.
1515 1.1.4.2.6.2.6.2 SRB1/SRB2
1516 The eNB prioritizes the transmission of the packets that are being buffered at each SRB, during RB resumption.
1517 1.1.4.2.6.2.6.3 DRB
1518 The eNB prioritizes the transmission of the packets that are being buffered at each DRB, during RB resumption.
1519
1520
1521
1522
1523
1524
1525
1526
1527
1528
1529
1530
1531
1532
1533
1534
1535
1536
1537
1538
1539
1540
1541
1542
1543
1544
1545
1546
1547
1548

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1549 1.1.4.2.7 Radio Link Failure

1550 eNB executes the UE Context Release Request(eNB initiated) procedureif eNB detects Radio Link Failure for
1551 a particular UE,
1552
1553 1.1.4.2.7.1 Successful Operation
1554

UE eNB MME

C-S8

1. Radio Link Failuredetection

2.connection release Procedure(initiated by eNB)

C-S0

1555
1556 Figure 1.1-38Radio Link Failure procedure
1557 (Step1)
1558 eNB performs as follows when eNB detects Radio Link Failure. Details on Radio Link Failure is described in
1559 section xx

1560 ・Proceed (Step2)

1561
1562 (Step2)
1563 Same as (Step1)-(Step4) in connection release procedure initiated by eNB section.
1564
1565 1.1.4.2.7.2 Unsuccessful Operation
1566 Void
1567
1568 1.1.4.2.7.3 Timers
1569 Void
1570
1571 1.1.4.2.7.4 System Parameters
1572 Void
1573
1574

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1575 1.1.4.2.8 Data Inactivity Detection

1576 1.1.4.2.8.1 Overview
1577 This section will describe specifications for Data Inactivity Detection on the eNB.
1578 The Data Inactivity Detection is the ability to detect when there is no data communication for a certain period of
1579 time in the PDCP layer on all established Data Radio Bearers of UE units.
1580
1581 1.1.4.2.8.2 State definitions
1582 Void
1583
1584 1.1.4.2.8.3 Regular Operation
1585
1586 1.1.4.2.8.3.1 Procedure

UE eNB MME

C-S8

1.Data Inactivity Detection

2.connection release Procedure(initiated by eNB)

C-S0

1587
1588 (Step1) Figure 1.1-11Data Inactivity Detection procedure
1589
1590 The eNB performs the following if Data Inactivity is detected. Detail specifications about Data Inactivity
1591 Detection are described in Data Inactivity, State Definitions.

1592 ・Proceeded to Step2.

1593 (Step2)

1594 Is same as the description in (Step1)～(Step4) of Connection Release, State definitions.

1595
1596 1.1.4.2.8.3.2 Detailed operation of Data Inactivity Detection
1597 A detailed description of Data Inactivity Detection is described below.
1598

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UE eNB S-GW

1. Initial Connection Establishment(DRB Establishment)

C-S8

Detailed operation ofData Inactivity Detection

2.Timer start

timer ：TDataInactivity

Uplink Data Uplink Data

3.Timerｒe-start

Downlink Data Downlink Data

4.Timerｒe-start

5.Timerexpiry

6.connection release Procedure(initiated by eNB)

C-S0

1599
1600 Figure 1.1-12Detailed operation of Data Inactivity Detection
1601

1602 (Step1)～(Step2)
1603 The eNB performs the following immediately after establishing DRB and completing initial connection.

1604 ・If TDataInactivity(parameter) ≠ 0, then TDataInactivity timer is initiated.

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1605 ・If TDataInactivity(parameter) ＝ 0, then TDataInactivity is not initiated.

1606

1607 (Step3)～(Step4)
1608 The eNB performs the following when either Uplink Data on DRB or Downlink Data is received.

1609 ・When the TDataInactivity is initiated

1610 - If TDataInactivity(parameter) ≠ 0, then TDataInactivity timer is re-initiated.

1611 - If TDataInactivity(parameter) ＝ 0, then TDataInactivity timer is stopped. Connection release is not

1612 performed.

1613 ・When the TDataInactivity is not initiated

1614 - If TDataInactivity(parameter) ≠ 0, then TDataInactivity timer is initiated.

1615 - If TDataInactivity(parameter)＝ 0, then TDataInactivity is not initiated.

1616

1617 (Step5)～(Step6)
1618 The eNB performs connection release procedure (initiated by eNB) when TDataInactivity expires.
1619
1620 1.1.4.2.8.4 Irregular Operation
1621 Void.
1622
1623 1.1.4.2.8.5 Timers
1624 The timers that are used in this section are described below.
1625
1626 Table 1.1-7Timers
# Timers Name Explanation Value
1 TDataInactivity Refer to section Detailed operation System Parameters
of Data Inactivity Detection
(Same as the Timer`s Name)
1627
1628 1.1.4.2.8.6 System Parameters
1629 The system parameters that are used in this section are described below.
1630
1631 Table 1.1-8System Parameters
# Parameter Name Explanation range Unit Default Value
1 TDataInactivity Refer to Section Data 0～300 1[s] TBD
Inactivity Detection:
Timers

If TDataInactivity=0,

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Timer is not initiated

1632
1633 1.1.4.2.8.7 Operation and Maintenance (O&M)
1634 ■CFC
1635 Refer to CRR on Appendix.
1636
1637 ■Statistics
1638 Refer to Statistics on Appendix.
1639
1640
1641
1642
1643
1644
1645
1646
1647
1648
1649
1650
1651
1652
1653
1654
1655
1656
1657
1658
1659
1660
1661
1662
1663
1664
1665
1666
1667

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1668
1669
1670 1.1.4.2.9 QoS Information management
1671 1.1.4.2.9.1 UE Aggregate Maximum Bit Rate(UE-AMBR)
1672 Applies to Bearers with Resource Type = non-GBR. It is the maximum bitrate allowed of the same UE and it is
1673 stored in HSS(Home Subscriber Server). One non-GBR Bearer can have the whole capacity if all other non-
1674 GBR are zero. UE-AMBR = sum(APN-AMBR) for all APN connections of the UE.
1675

1676 ※APN-AMBR：Applies to Bearers with Resource Type = non-GBR. It is the maximum bitrate allowed across
1677 all Bearers of the same UE for each UE-APN connection and it is stored in HSS(Home Subscriber Server). One
1678 non-GBR Bearer can have the whole capacity if all other non-GBR are zero.
1679
1680 eNB receives the following messages related to UE-AMBR from MME and Source eNB.
1681
1682 Table 1.1-16 Messages realted to UE-AMBR
# Message Name Reference
S1AP::INITIAL CONTEXT SETUP REQUEST
1.
S1AP::HANDOVER REQUEST
2.
X2AP::HANDOVER REQUEST
3.
S1AP::PATH SWITCH REQUEST ACKNOWLEDGE
4.
S1AP::E-RAB SETUP REQUEST
5.
S1AP::E-RAB MODIFY REQUEST
6.
S1AP::UE CONTEXT MODIFICATION REQUEST
7.
S1AP::E-RAB RELEASE COMMAND
8.
1683
1684 eNB acquires UE-AMBR from the following IE(UE-AMBR).
1685
1686 Table 1.1-17 IE(UE-AMBR)

＃ IE/Group Name Presence Range

1. UE Aggregate Maximum Bit Rate O

2. UE Aggregate Maximum Bit Rate Downlink M (0..10,000,000,000)
3. UE Aggregate Maximum Bit Rate Uplink M (0..10,000,000,000)
1687
1688
1689 1.1.4.2.9.2 QoS Class Identifier (QCI)
1690 QCI is an index referring to a number of different sets of minimum QoS characteristics, such as priority, delay,
1691 etc. required by a service.The different QCI’s can be achieved by different packet forwarding treatment (e.g.
1692 scheduling, queue management, RLC config, etc.) at the network nodes.
1693 There are 9 standardised QCI’s and associated with example services. The characteristics of the QCI are
1694 described below.

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1695
1696 Table 1.1-18Standardized QCI characteristics
QCI Resource Priority Packet Packet Example Services
Type Delay Error
Budget Loss Rate
1 2 100 ms 10-2 Conversational Voice

2 4 150 ms 10-3 Conversational Video (Live Streaming)

3 GBR 3 50 ms 10-3 Real Time Gaming

4 5 300 ms -6 Non-Conversational Video (Buffered

10
Streaming)
5 1 100 ms 10-6 IMS Signalling

6 6 300 ms -6 Video (Buffered Streaming)

10
Non-GBR TCP-based (e.g., www, e-mail, chat, ftp,
p2p file sharing, progressive video, etc.)
7 7 100 ms 10-3 Voice,
Video (Live Streaming)
Interactive Gaming
8 8 300 ms 10-6 Video (Buffered Streaming)
TCP-based (e.g., www, e-mail, chat, ftp,
9 9 p2p file sharing, progressive video, etc.)

1697
1698 eNB receives the following messages related to QCI from MME and Source eNB.
1699
1700 Table 1.1-19 Messages related to QCI

＃ Message Name Reference

S1AP::INITIAL CONTEXT SETUP REQUEST

1.
S1AP::HANDOVER REQUEST
2.
X2AP::HANDOVER REQUEST
3.
S1AP::E-RAB SETUP REQUEST
4.
S1AP::E-RAB MODIFY REQUEST
5.
1701
1702 eNB acquires QCI from the following IE(QCI)
1703
1704 Table 1.1-20 IE(QCI)

＃ IE/Group Name Presence Range

1. E-RABs To Be Setup List M

2. E-RABs InfoTo Be Setup Item M
3. E-RAB Level QoS Parameters M
4. QCI M (1..9)
1705

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1706 1.1.4.2.9.3 Allocation and Retention Priority (ARP)

1707 It is a priority indicator in order to allow the network to reject the establishment or modification of new Bearers
1708 or discard existing ones in cases of limited resources. After the Bearer establishment, it does not affect routing.
1709 The Messages related to ARP are the same as QCI’s. eNB acquires ARP from the following IE(ARP)
1710
1711 Table 1.1-21 IE(ARP)

＃ IE/Group Name Presence Range

1. E-RABs To Be Setup List M

2. E-RABs InfoTo Be Setup Item M
3. E-RAB Level QoS Parameters M
4. Allocation and Retention Priority M
5. Priority Level M (0..15)
spare (0), highest (1), lowest (14),
no-priority (15)
6. Pre-emption Capability M shall not trigger pre-emption,
may trigger pre-emption
7. Pre-emption Vulnerability M not pre-emptable,
pre-emptable
1712
1713 The ARP pre-emption vulnerability of the default bearer should be set appropriately to minimize the risk of
1714 unnecessary release of the default bearer.
1715
1716
1717 1.1.4.2.9.4 Guaranteed Bit Rate (GBR)
1718 Applies to Bearers with Resource Type = GBR and indicates the minimum bitrate to be provided for this
1719 service. GBR=MBR for now.
1720 The Messages related to GBR are the same as QCI’s. eNB acquires GBR from the following IE(GBR)
1721
1722 Table 1.1-22 IE(GBR)

＃ IE/Group Name Presence Range

1. E-RABs To Be Setup List M

2. E-RABs InfoTo Be Setup Item M
3. E-RAB Level QoS Parameters M
4. GBR QoS Information O
5. E-RAB Guaranteed Bit Rate Downlink M (0..10,000,000,000)
6. E-RAB Guaranteed Bit Rate Uplink M (0..10,000,000,000)
1723
1724
1725 1.1.4.2.9.5 Maximum Bit Rate(MBR)
1726 Applies to Bearers with Resource Type = GBR and indicates the maximum bitrate to be provided for this
1727 service.
1728 The Messages related to MBR are the same as QCI’s. eNB acquires MBR from the following IE(MBR)
1729

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1730 Table 1.1-23 IE(MBR)

＃ IE/Group Name Presence Range

1. E-RABs To Be Setup List M

2. E-RABs InfoTo Be Setup Item M
3. E-RAB Level QoS Parameters M
4. GBR QoS Information O
5. E-RAB Maximum Bit Rate Downlink M (0..10,000,000,000)
6. E-RAB Maximum Bit Rate Uplink M (0..10,000,000,000)
1731
1732
1733 1.1.5 Requirement Lists
1734 1.1.5.1 Broadcast of System Information
No. Contents Support
L3-16-1 eNB shall broadcast the SystemInformation only in INS state. Phase1
L3-16-2 eNB shall broadcast the SystemInformation per cell. Phase1
eNB shall stop broadcasting the SystemInformation if following conditions are met.

1) Physical link disconnection in backhaul is detected

2) All the communication between eNB and connecting MME are disconnected
3) Hardware failure or software failure is detected
L3-16-3 Phase1
These judgement are performed by Hitachi OAM, and it informs L3 of OOS if failure
is detected.

L3 module shall start/stop broadcasting the SystemInformation upon a notification of

INS/OOS from OAM module.
L3-16-4 L3 module shall maintain the information of MIB/SIB. Phase1
L3-16-5 L3 module shall notify the information of MIB/SIB to lower layers for scheduling. Phase1
L3-16-6 eNB shall buffer the information of SIB considering a modification period. Phase1
When S-Pico receives the S1AP::WRITE-REPLACE WARNING REQUEST message
from MME and decides to send SIB10/SIB11, S-Pico shall send the SIB10/SIB11
L3-16-7 message in the timing of the nearest boundary of SI-Periodicity of SIB10/SIB11. In the Phase1
other words, S-Pico shall not wait for the boundary of Repetition Period, which was
started in previous SIB10/SIB11 transmission.
L3-16-8 eNB shall store the information of SIB/MIB which is not ASN.1 encoded. Phase1
eNB shall update the SystemInformation upon the following triggers:
- Activation of eNB
- Starting cell
L3-16-9 - Update of system configuration Phase1
- Change of congestion state
- Update of neighbor information
- Reception of ETWS notice
If a configuration parameter related to assembling the SystemInformation is modified,
L3-16-10 Phase1
eNB shall assemble the SystemInformation.
ac-BarringFactor, ac-BarringTime, and ac-BarringForSpecialAC shall be configurable.
L3-16-11 These system parameters shall be prepared for Congestion State and Normal State Phase1
individually.
L3-16-12 When Neighbor information is changed, update information of SIB4,SIB5. Phase1
eNB shall support S1AP: WRITE-REPLACE WARNING REQUEST/RESPONSE
message and comply with the following specifications.
L3-16-13 Phase1
- 3GPP TS 23.041, 9.1.3.4 Warning Message Delivery Procedure in E-UTRAN
- 3GPP TS 36.413, 8.12.1 Write-Replace Warning

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- 3GPP TS 36.331, 5.2.1.4 Indication of ETWS notification

When WRITE-REPLACE WARNING REQUEST message includes Warning Type
L3-16-14 IE, eNB shall broadcast SIB10 without Repetition Period IE and Broadcast Requested Phase1
IE.
When WRITE-REPLACE WARNING REQUEST message includes Data Coding IE
L3-16-15 and Warning Message Contents IE, eNB shall schedule SIB11 in accordance with the Phase1
value of Repetition Period IE and Broadcasts Requested IE.
When eNB received multiple WRITE-REPLACE WARNING REQUEST messages
L3-16-16 which include the same Message Identifier IE and Serial Number IE, eNB shall Phase1
broadcast only the first message.
When SIB10 and/or SIB11 are already broadcasted, if Message Identifier IE or Serial
Number IE included in newly received WRITE-REPLACE WARNING REQUEST
L3-16-17 message is different from the one included in now broadcasting WRITE-REPLACE Phase1
WARNING REQUEST message, eNB shall stop broadcasting SIB10 and/or SIB11
and process the new WRITE-REPLACE WARNING REQUEST message.
When the Warning Area List IE is not set in WRITE-REPLACE WARNING
L3-16-18 REQUEST message, eNB shall broadcast SIB10/11 to all cells that are managed by Phase1
eNB.
eNB sets Broadcast Completed Area List IE included in WRITE-REPLACE
WARNING RESPONSE message to cell lists which eNB have accepted. If there are
L3-16-19 no cell lists, eNB does not add Broadcast Completed Area List IE to WRITE- Phase1
REPLACE WARNING RESPONSE message. MME shall judge as failure in case of
not existing Broadcast Completed Area List IE.
When eNB received multiple WRITE-REPLACE WARNING REQUEST messages
which include the same Message Identifier IE and Serial Number IE, eNB shall set the
L3-16-20 Phase1
cell information which is already broadcasted to Broadcast Completed Area List IE,
and inform MME of WRITE-REPLACE WARNING RESPONSE message.
When eNB operates two cells and some cells are in OOS, eNB shall set Broadcast
L3-16-21 Completed Area List IE in WRITE-REPLACE WARNING RESPONSE message in Phase2
order to indicate that eNB have accepted the request.
When Concurrent Warning Message Indicator IE is included in WRITE-REPLACE
WARNING REQUEST message, eNB shall judge that there is no ETWS request. In
L3-16-22 Phase1
this case, eNB shall transmits WRITE-REPLACE WARNING RESPONSE message
without Broadcast Completed Area List IE.
When Broadcast Requested IE in WRITE-REPLACE WARNING REQUEST message
is set to '0', eNB shall broadcast SIB10 for primary IEs, and not broadcast SIB11 for
L3-16-23 secondary IEs. Phase1

(*) For the operation of primary(SIB10), confirmation of the customor is needed. TBD.
When RepeitionPeriod IE in WRITE-REPLACE WARNING REQUEST message is
set to '0' and Broadcast Requested IE is not set to '1', eNB shall broadcast SIB10 for
L3-16-24 primary IEs, and not broadcast SIB11 for secondary IEs. Phase1

(*) For the operation of primary(SIB10), confirmation of the customor is needed. TBD.
When the cell indicated by Warning Area List IE in WRITE-REPLACE WARNING
L3-16-25 REQUEST message is not managed in eNB, eNB shall transmits WRITE-REPLACE Phase1
WARNING RESPONSE message without Broadcast Completed Area List IE.
eNB shall support Warning Area List IE in WRITE-REPLACE WARNING
L3-16-26 Phase1
REQUEST.
eNB shall support the segmentation of Secondary Notification using multuple SIB11
L3-16-27 messages. The segmentation length shall be configurable by a system parameter. Phase1
Segments are stored in warningMessageSegment IE in SIB11.
L3-16-28 eNB shall set warningMessageSegmentNumber IE=0 in SIB11 for the first segment. Phase1
eNB shall set warningMessageSegmentNumber IE=n-1 in SIB11 for the n(n>1)
L3-16-29 Phase1
segment.
L3-16-30 The duration of continuing the transmission of SIB10 shall be configurable by a system Phase1

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parameter.
The duration of continuing the transmission of SIB11 shall be determined by the
following information.

- Repetition Period
- Number of Broadcasts Requested
- Number of Segment
- SI-periodicity
L3-16-31 Phase1
If Repetition Period <= number of segment * SI-periodicity
the transmission period between the last segment and the next first segment is SI-
periodicity;
Else
the transmission period between the first segment and the next first segment is
Repetition Period;
L3-16-32 EmergencyAreaID shall be configurable. Phase1
L3-16-33 eNB shall support MIB. Phase1
L3-16-34 eNB shall broadcast MIB as specified in 3GPP TS 36.331, 5.2 System information. Phase1
eNB shall support the following SIBs:
- SIB1
- SIB2
- SIB3
L3-16-35 - SIB4 Phase1
- SIB5
- SIB8
- SIB10
- SIB11
Mapping between SIBs and SI messages shall be configurable. Note: Each SI message
L3-16-36 Phase1
contains only one SIB.
eNB shall map SIBs to SI messages as specified in 3GPP TS 36.331, 5.2 System
L3-16-37 Phase1
information.
L3-16-38 eNB shall take into account a modification period. Phase1
modificationPeriodCoeff and defaultPagingCycle, which are used for calculation of
L3-16-39 Phase1
modification period, shall be configurable.
eNB shall calculate modification period by the following formula:
L3-16-40 m = modificationPeriodCoeff * defaultPagingCycle Phase1
(m: modification period)
For system information validity and notification of change, eNB shall comply with the
following specifications:
L3-16-41 Phase1
- 3GPP TS 36.331, 5.2.1.3 System information validity and notification of changes.
- 3GPP TS 36.304, 7 Paging
L3-16-42 eNB shall not use systemInfoModification in case of modifing SIB1, 10, 11. Phase1
L3-16-43 eNB shall use etws-Indication in case of modifing SIB10, 11. Phase1
L3-16-44 eNB shall broadcast SIB1 as specified in 3GPP TS 36.331, 5.2 System information. Phase1
L3-16-45 Mapping of schedulingInfoList shall be configurable. Phase1
eNB shall not broadcast SI messages in any of the following subframes:
- Subframe #5 in radio frames for which SFN mod 2 = 0 (SIB1 subframe)
L3-16-46 - MBSFN subframes Phase1
- Any uplink subframes in TDD
- Any special subframes in TDD
L3-16-47 si-WindowLength and si-Periodicity shall be configurable. Phase1
eNB shall calculate Frame/SubFrame for SI by the following procedure:

L3-16-48 1. determine the integer value x = (n – 1)*w Phase1

where w is the si-WindowLength(ms)
where n is the SI Message Index( 1~n )

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2. the SI-window starts at the subframe #a, where a = x mod 10,

in the radio frame for which SFN mod T = FLOOR(x/10),
where T is the si-Periodicity of the concerned SI message;
L3-16-49 eNB shall support systemInfoValueTag IE in SystemInformationBlockType1. Phase1
L3-16-50 ResourceConfigCommon IE in SystemInformationBlockType2 shall be configurable. Phase1
eNB shall support ac-BarringInfo IE in SystemInformationBlockType2, which is
L3-16-51 Phase1
configurable by system parameter.
L3-16-52 SystemInformationBlockType3 shall be configurable. Phase1
L3-16-53 SystemInformationBlockType4 shall be configurable. Phase1
L3-16-54 SystemInformationBlockType5 shall be configurable. Phase1
When BS can not send all SIB11 prior to RepetitionPeriod, it shall perform
L3-16-55 retransmission of SIB11 based on RepetitionPeriod after the first SIB11 is transmitted Phase1
completely.
BS shall send Paging with ETWS Indication to all MS belonging to the relevant BS. In
L3-16-56 addition, BS shall send SIB10 and SIB11 to MS so that the MS, where receives Paging Phase1
last, certainly receives SIB10 and all SIB11.
BS shall immediately send Paging with ETWS Indication when it receives S1AP:
L3-16-57 WriteReplaceWarningRequest message. In addition, it shall send Paging with ETWS Phase1
Indication in case of SIB11 retransmission after RepetitionPeriod.
In congestion, BS shall be able to send paging for emergency/priority to MS on a
L3-16-58 priority basis in comparison with paging for other general call when it receives Phase2
emergency/priority call.
S-Pico shall support the synchronization functionality of the following information
between S-Pico and HeMS, so that the HeMS can transfer the information to upper
Node for ETWS.
L3-16-59 Phase1
the information is on :
【WiMAXR2.1】別紙-技-22 上位装置接続要件(ETWS)_np.xlsx
S-Pico shall support the broadcast of two or more PLMN-Identifies in
L3-16-60 Phase1
SystemInformationBlockType1.
S-Pico shall support the configurable Primary PLMN-id on SIB1 by system parameter.
S-Pico shall include the Primary PLMN-id, although the PLMN-id is not included on
the list of S1AP::S1 SETUP RESPONSE.
L3-16-61 If the Primary PLMN-id value of system parameter is not included on the list of Phase1
S1AP::S1 SETUP RESPONSE, then the S-Pico shall set the
cellReservedForOperatorUse, which is associated with Primary PLMN-id, as
"reserved".
S-Pico shall support the configurable Secondary or later PLMN-ids on SIB1 by system
parameter. S-Pico shall only include the Secondary or later PLMN-ids, which are
L3-16-62 Phase1
indicated by system parameter AND are included on the list of S1AP::S1 SETUP
RESPONSE.
S-Pico shall support the configurable cellReservedForOperatorUse, which is assocated
L3-16-63 Phase1
with Secondary or later PLMN-ids, on SIB1 by system parameter.
S-Pico shall support ssac-BarringForMMTEL-Voice-r9 and ssac-BarringForMMTEL-
L3-16-64 Video-r9 in SIB2. These elements shall be configurable by system parameters for Phase1
Congestion State and Normal State.
L3-16-65 SystemInformationBlockType8 shall be configurable. Phase1
1735
1736
1737 1.1.5.2 RRC Connection Control
1738 1.1.5.2.1 Initial Connection Establishment
No. Contents Support
eNB shall support RRC connection establishment procedure(conform to 3GPP TS 36.300, TS
L3-1-1 36.331, TS 36.413).
Phase1

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eNB shall execute the following during the RRC connection establishment procedure(conform to
3GPP TS 36.300,TS 36.331,TS 36.413).
L3-1-2 - Radio Admission Control Phase1
- Radio Bearer Control(establish the SRB1).
- NAS transport procedure(S1AP：INITIAL UE MESSAGE send)
eNB shall support Initial Context Setup procedure(conform to 3GPP TS 36.300、TS 36.331、
L3-1-3 Phase1
TS 36.413).
eNB shall execute the following during the Initial Context Setup procedure(conform to 3GPP TS
36.300,TS 36.331,TS 36.413).
- Initial security activation procedure
- UE capability transfer procedure(*1)
- UE Capability Info Indication(*1)
L3-1-4 - Radio Admission Control
Phase1
- Radio Bearer Control(establish the SRB2 and DRB's)
- RRC connection reconfiguration procedure
*1 Execute if the MME has been omitted UE Capability Info IE of INITIAL CONTEXT
SETUP REQUEST.
eNB shall support Paging(includeUE Identity) procedure(conform to 3GPP TS 36.331, TS
L3-1-5 36.413).
Phase1
If RRC connection establishment procedure failed,eNB shall execute the failure
L3-1-6 procedure(conform to 3GPP TS 36.331,TS 36.413).For some failure cases, it may be asked by Phase1
QueryList.
If Initial Context Setup procedure failed,eNB shall execute the failure procedure(conform to
L3-1-7 3GPP TS 36.331,TS 36.413).For some failure cases, it may be asked by QueryList.
Phase1
L3-1-8 eNB shall support UE-EUTRA-Capability-v940-IEs in UECapabilityInformation Phase1
eNB shall set the TAI IE and E-UTRAN CGI IE on S1AP::INITIAL UE MESSAGE as value of
L3-1-9 selectedPLMN-Identity IE on RRC::RRC Connection Setup Complete.
Phase1
eNB shall store the Equivalent PLMNs IE values against UE Context, whenever eNB receives
L3-1-10 S1AP::INITIAL CONTEXT SETUP REQUEST message or S1AP::DOWNLINK NAS Phase1
TRANSPORT message.
eNB shall select the target MME, according to the selectedPLMN-Identity IE on RRC::RRC
L3-1-11 Connection Setup Complete.
Phase1
1739
1740 1.1.5.2.2 Connection Release
No. Contents Support
eNB shall support UE Context Release (MME initiated) procedure(conform to 3GPP TS
L3-2-1 36.300,TS 36.331,TS 36.413).
Phase1
eNB shall execute the following during the UE Context Release(MME initiated)
L3-2-2 procedure(conform to 3GPP TS 36.331,TS 36.413). Phase1
- RRC connection release procedure
eNB shall support UE Context Release (eNB initiated) procedure(conform to 3GPP TS
L3-2-3 36.331,TS 36.413).
Phase1
eNB shall execute the following during the UE Context Release(eNB initiated)
L3-2-4 procedure(conform to 3GPP TS 36.300, TS 36.331,TS 36.413). Phase1
- RRC connection release procedure
L3-2-5 eNB shall support Reset(MME initiated) procedure (conform to 3GPP TS 36.331,TS 36.413). Phase1
eNB shall execute the following during the Reset(MME initiated) procedure(conform to 3GPP
L3-2-6 TS 36.331,TS 36.413). Phase1
- RRC connection release procedure
If UE Context Release (MME initiated) procedure failed,eNB shall execute the failure
L3-2-7 procedure(conform to 3GPP TS 36.331,TS 36.413).For some failure cases, it may be asked by Phase1
QueryList.
If UE Context Release (eNB initiated) procedure failed,eNB shall execute the failure
L3-2-8 procedure(conform to 3GPP TS 36.331,TS 36.413).For some failure cases, it may be asked by Phase1
QueryList.
If Reset(MME initiated) procedure failed,eNB shall execute the failure procedure(conform to
L3-2-9 3GPP TS 36.331,TS 36.413).For some failure cases, it may be asked by QueryList.
Phase1
eNB shall be able for operator to configure the priority of carrier frequency for cell reselection in
L3-2-10 RRC_IDLE mode per SPID (Subscriber Profile ID for RAT/Frequency Priority).
Phase2

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When eNB release the connection of an UE whose SPID is known, eNB shall inform the UE
L3-2-11 about the priority of carrier frequency for cell reselection corresponding to the SPID.
Phase2
1741
1742 1.1.5.2.3 Connection Reestablishment
No. Contents Support
eNB shall support RRC connection re-establishment procedure(conform to 3GPP TS 36.300, TS
L3-3-1 36.331).
Phase1
If RRC connection re-establishment procedure failed,eNB shall execute the failure
L3-3-2 procedure(conform to 3GPP TS 36.331,TS 36.413). For some failure cases, it may be asked by Phase1
QueryList.
1743
1744 1.1.5.2.4 UE Context Modification
No. Contents Support
eNB shall support UE Context Modification procedure(conform to 3GPP TS 36.300,TS
L3-4-1 36.331,TS 36.413). Phase1

if AS Key is changed, NB shall execute the following during the UE Context Modification
L3-4-2 procedure. Phase1
- RRC connection reconfiguration procedure
If UE Context Modification procedure failed,eNB shall execute the failure procedure(conform to
L3-4-3 3GPP TS 36.331,TS 36.413).For some failure cases, it may be asked by QueryList. Phase1

1745
1746 1.1.5.2.5 E-RAB Management
No. Contents Support
L3-5-1 eNB shall support E-RAB Setup procedure(conform to 3GPP TS 36.300, TS 36.331, TS 36.413). Phase1
eNB shall execute the following during the E-RAB Setup procedure(conform to 3GPP TS
L3-5-2 36.300, TS 36.331, TS 36.413). Phase1
- RRC connection reconfiguration procedure
eNB shall support E-RAB Release procedure(conform to 3GPP TS 36.300, TS 36.331, TS
L3-5-3 Phase1
36.413).
eNB shall execute the following during the E-RAB Release procedure(conform to 3GPP TS
L3-5-4 36.300, TS 36.331, TS 36.413). Phase1
- RRC connection reconfiguration procedure
eNB shall support E-RAB Modification procedure(conform to 3GPP TS 36.300, TS 36.331, TS
L3-5-5 Phase1
36.413).
eNB shall execute the following during the E-RAB Modification procedure(conform to 3GPP TS
L3-5-6 36.300, TS 36.331, TS 36.413). Phase1
- RRC connection reconfiguration procedure
If E-RAB Setup procedure failed,eNB shall execute the failure procedure(conform to 3GPP TS
L3-5-7 Phase1
36.331,TS 36.413).For some failure cases, it may be asked by QueryList.
If E-RAB Release procedure failed,eNB shall execute the failure procedure(conform to 3GPP TS
L3-5-8 Phase1
36.331,TS 36.413).For some failure cases, it may be asked by QueryList.
If E-RAB Modification procedure failed,eNB shall execute the failure procedure(conform to
L3-5-9 Phase1
3GPP TS 36.331,TS 36.413).For some failure cases, it may be asked by QueryList.
1747
1748 1.1.5.2.6 Radio Bearer Control
No. Contents Support
L3-6-1 eNB shall support Radio Bearer Control(conform to 3GPP TS 36.300). Phase1
eNB shall map the Data Radio Bearer (DRB) with EPS Bearer one by one.
L3-6-2 Phase1
eNB shall support maximum number of DRBs that can be configured for a particular UE is 8.

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eNB shall configure the SRB0 with the following Parameters :

L3-6-3 - logicalChannelIdentity=0 Phase1
- logicalChannelGroup=0
eNB shall configure the SRB1 with the following Parameters :
L3-6-4 - logicalChannelIdentity=1 Phase1
- logicalChannelGroup=0
eNB shall configure the SRB2 with the following Parameters :
L3-6-5 - logicalChannelIdentity=2 Phase1
- logicalChannelGroup=0
eNB shall configure the DRB(s) with the following Parameters :
L3-6-6 Phase1
- logicalChannelIdentity=3 .. 10 (shall not overlap with each DRB for a particular UE)
- logicalChannelGroup=0 .. 3
The maximum number of S1-U shall be configurable from OAM. The parameter shall be
L3-6-7 configurable in run-time. Phase1
-->Changing config-file(xml) and need to reboot.
1749
1750 1.1.5.2.7 Radio Link Failure
No. Contents Support
L3-7-1 eNB shall detect Radio Link Failure for a particular UE. Phase1
if eNB detects Radio Link Failure for a particular UE,eNB shall execute the UE Context Release
L3-7-2 Phase1
Request(eNB initiated) procedure.
eNB shall support the configurable system parameter which shows duration between the timing
L3-7-3 of detection of Radio Link Failure and the timing to execute the UE Context Release Phase1
Request(eNB initiated) procedure.
1751
1752 1.1.5.2.8 Data Inactivity Detection
No. Contents Support
L3-8-1 eNB shall detect a state in which no data is flowing for a particular UE. Phase1
if eNB detect a state in which no data is flowing for a particular UE,eNB shall execute the UE
L3-8-2 Phase1
Context Release Request(eNB initiated) procedure.
eNB shall support the configurable system parameter which shows the duration to detect a state
L3-8-3 Phase1
in which data is not flowing.
1753
1754 1.1.5.2.9 QoS Information management
No. Contents Support
eNB shall support the management functionality of the following QoS Parameters :
(conform to 3GPP TS 36.300, TS 36.413)

-UE Aggregate Maximum Bit Rate(UE-AMBR)

L3-9-1 Phase1
-QoS Class Identifier (QCI)
-Allocation and Retention Priority (ARP)
-Guaranteed Bit Rate (GBR)
-Maximum Bit Rate (MBR)
1755
1756 1.1.5.3 Measurement configuration
No. Contents Support
eNB shall support the procedure to set / delete the UE's information by sending the
L3-10-1 RRCConnectionReconfiguration message against UE. Phase1
(conform to 3GPP TS 36.331.)

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L3-10-2 eNB shall support Measurement Configuration IE according to UE capabilities. Phase1

eNB shall support the following measurement type :
L3-10-3 Phase1
- Intra-frequency measurement
eNB shall support the following measurement type :
L3-10-4 Phase1
- Inter-frequency measurement
L3-10-5 eNB shall support the contents of Measurement object which conforms to 3GPP TS 36.331. Phase1
eNB shall support the contents of Reporting configuration which conforms to 3GPP TS
L3-10-6 Phase1
36.331.(si-RequestForHO-r9 is Non-support)
L3-10-7 eNB shall support the contents of Measurement identities which conforms to 3GPP TS 36.331. Phase1
L3-10-8 eNB shall support the contents of Quantity configuration which conforms to 3GPP TS 36.331. Phase1
eNB shall support the contents of Measurement gap configuration which conforms to 3GPP TS
L3-10-9 Phase1
36.331.
L3-10-10 eNB shall support the contents of s-Measure which conforms to 3GPP TS 36.331. Phase1
L3-10-11 eNB shall support the contents of Speed state parameter which conforms to 3GPP TS 36.331. Phase2
eNB shall support the Measurement configuration information which can be configured by the
operator as system parameters whose units are per eNB.

-Offset level (gapOffset) of Measurement gap configuration is out of scope.

L3-10-12 Phase1
-eNB shall associate each measId with the system parameter named measDestination to identify
which functionality should be used for the measId.
-eNB shall limit the number of operator-configurable measIds is 31 of 32. eNB shall reserve the
one of 32 of measIds for Measurement configuration of reportCGI.
eNB shall broadcast the following information against UEs.
eNB shall keep the consistency between the following information to be broadcast and the
information to construct RRCConnectionReconfiguration message.
L3-10-13 Phase1
- The biggest frequency bandwidth which can be measured at the time of Intra-frequency cell re-
selection using System Information Block Type 3（SIB3）.

eNB shall broadcast the following information against UEs.

eNB shall keep the consistency between the following information to be broadcast and the
information to construct RRCConnectionReconfiguration message.
L3-10-14 Phase1
- The biggest frequency bandwidth which can be measured at the time of Inter-frequency cell re-
selection using System Information Block Type 5（SIB5）.

eNB shall set Measurement configuration information for every function to need the following
result of a measurement.
L3-10-15 (1) Hand over Phase1
(2) ANR
(3) VoLTE FB

L3-10-16 eNB shall set unique gapOffset of Measurement gap for every UE. Phase1

L3-10-17 S-Pico shall support both Gap pattern 0 and 1. Phase1

eNB shall generate Measurement configuration by the following methods :

L3-10-18 (eNB start-up) : eNB shall generate Measurement Configuration from the information of Phase1
configuration(system) parameters, when the eNB start-up.

eNB shall modify Measurement configuration by the following methods

L3-10-19 (Modify System parameter) : Phase1
eNB shall modify Measurement configuration, when the operator changes the system
parameters.

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eNB shall NOT send the RRCConnectionReconfiguration message against all connected UEs
just after the timing of system parameters changing.
eNB shall send the the RRCConnectionReconfiguration message with the new system parameter
values, if eNB detects the other trigger to send the message.
eNB shall distribute the result on Measurement report message sent from UT to appropriate
L3-10-20 Phase1
functionality to analyze it.
eNB shall discard the Measurement report, if the Measurement report contains the unknown
L3-10-21 Phase1
measId.
1757
1758
1759
1760 1.2 L3(S1-AP)
1761 S1AP provides the signaling service between E-UTRAN and the evolved packet core (EPC) that is required to
1762 fulfil the S1AP functions.
1763 S1AP consists of Elementary Procedures(EPs). An Elementary Procedures is a unit of interaction between
1764 eNBs and the EPC.
1765
1766 S1AP services are divided into two groups:
1767 - Non UE-associated services: They are related to the whole S1 interface instance between the eNB and
1768 MME utilizing a non UE-associated signaling connection.
1769 - UE-associated services: They are related to one UE. S1AP functions that provide these services are
1770 associated with a UE-associated signaling connection that is maintained for the UE in question.
1771
1772 1.2.1 Architecture and Protocol Stack
1773 1) Architecture

1774
1775 Figure 1.2-1. S1 Architecture
1776
1777
1778 2) Protocol Stack
1779 - User plane (S1-U) : The S1 user plane interface (S1-U) is defined between the eNB and the S-
1780 GW.These are the protocols implementing the actual E-RAB service.

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1781 - Control plane (S1-MME) :The S1 control plane interface (S1-MME) is defined between the eNB and
1782 the MME. These are the protocols for controlling the E-RABs and the connection between the UE and
1783 the network from different aspects.
1784

1785
1786 Figure 1.2-2 S1 Protocol Stack
1787
1788  A single SCTP association per S1-MME interface instance shall be used with one pair of stream
1789 identifiers for S1-MME common procedures.
1790  Only a few pairs of stream identifiers should be used for S1-MME dedicated procedures.
1791  MME communication context identifiers that are assigned by the MME for S1-MME dedicated
1792 procedures and eNB communication context identifiers that are assigned by the eNB for S1 -MME
1793 dedicated procedures shall be used to distinguish UE specific S1-MME signaling transport bearers.
1794 The communication context identifiers are conveyed in the respective S1-AP messages.
1795
1796 1.2.2 Functions
1797 S1AP protocol has the following functions:
1798  E-RAB management function: This overall functionality is responsible for setting up, modifying and
1799 releasing ERABs, which are triggered by the MME. The release of E-RABs may be triggered by the
1800 eNB as well.
1801  Initial Context Transfer function: This functionality is used to establish an S1UE context in the eNB,
1802 to setup the default IP connectivity, to setup one or more E-RAB(s) if requested by the MME, and to
1803 transfer NAS signaling related information to the eNB if needed.
1804  UE Capability Info Indication function: This functionality is used to provide the UE Capability Info
1805 when received from the UE to the MME.
1806  Mobility Functions for UEs in LTE_ACTIVE in order to enable
1807 - a change of eNBs within SAE/LTE (Inter MME/Serving SAE-GW Handovers) via the S1 interface
1808 (with EPC involvement).
1809 - a change of RAN nodes between different RATs (Inter-3GPP-RAT Handovers) via the S1 interface
1810 (with EPC involvement).
1811  Paging: This functionality provides the EPC the capability to page the UE.
1812  S1 interface management functions comprise the:

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1813 - Reset functionality to ensure a well-defined initialization on the S1 interface.

1814 - Error Indication functionality to allow a proper error reporting/handling in cases where no failure
1815 messages are defined.
1816 - Overload function to indicate the load situation in the control plane of the S1 interface.
1817 - Load balancing function to ensure equally loaded MMEs within an MME pool area
1818 - S1 Setup functionality for initial S1 interface setup for providing configuration information
1819 - eNB and MME Configuration Update functions are to update application level configuration data
1820 needed for the eNB and MME to interoperate correctly on the S1 interface.
1821  NAS Signaling transport function between the UE and the MME is used:
1822 - to transfer NAS signaling related information and to establish the S1 UE context in the eNB.
1823 - to transfer NAS signaling related information when the S1 UE context in the eNB is already
1824 established.
1825  S1 UE context Release function: This functionality is responsible to manage the release of UE
1826 specific context in the eNB and the MME.
1827  UE Context Modification function: This functionality allows modifying the established UE Context
1828 partly.
1829  Status Transfer: This functionality transfers PDCP SN Status information from source eNB to target
1830 eNB in support of in-sequence delivery and duplication avoidance for intra LTE handover.
1831  Trace function: This functionality is to control a trace recording for a UE in ECM_CONNECTED.
1832  Location Reporting: This functionality allows MME to be aware of the UE"s current location.
1833  LPPa Signaling transport: This functionality transfers LPPa messages between eNB and E-SMLC
1834 over the S1 interface.
1835  S1 CDMA2000 Tunneling function: This functionality is to carry CDMA2000 signaling between UE
1836 and CDMA2000 RAT over the S1 Interface.
1837  Warning message transmission function:
1838 This functionality provides the means to start and overwrite the broadcasting of warning message.
1839  RAN Information Management (RIM) function: This functionality allows the request and transfer
1840 of RAN system information (e.g. GERAN system information) between two RAN nodes via the core
1841 network.
1842  Configuration Transfer function: This functionality allows the request and transfer of RAN
1843 configuration information (e.g. SON information) between two RAN nodes via the core network.
1844
1845 1.2.3 Procedures
1846 Class 1: Elementary Procedures with Response
Response Message
Elementary Procedure Initiating Message
Successful Unsuccessful
S1 Setup S1 SETUP REQUEST S1 SETUP RESPONSE S1 SETUP FAILURE
Initial Context Setup INITIAL CONTEXT INITIAL CONTEXT INITIAL CONTEXT
SETUP REQUEST SETUP RESPONSE SETUP FAILURE
UE Context Release UE CONTEXT UE CONTEXT
RELEASE COMMAND RELEASE COMPLETE

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UE Context Modification UE CONTEXT UE CONTEXT UE CONTEXT

MODIFICATION MODIFICATION MODIFICATION
REQUEST RESPONSE FAILURE
E-RAB Setup E-RAB SETUP E-RAB SETUP
REQUEST RESPONSE
E-RAB Modify E-RAB MODIFY E-RAB MODIFY
REQUEST RESPONSE
E-RAB Release E-RAB RELEASE E-RAB RELEASE
COMMAND RESPONSE
Handover Preparation HANDOVER HANDOVER HANDOVER
REQUIRED COMMAND PREPARATION
FAILURE
Handover Resource HANDOVER HANDOVER REQUEST HANDOVER FAILUR
Allocation REQUREST ACKNOWLEDGE
Path Switch Request PATH SWITCH PATH SWITCH PATH SWITCH
REQUEST REQUEST REQUEST FAILURE
ACKNOWLEDGE
Handover Cancellation HANDOVER CANCEL HANDOVER CANCEL
ACKNOWLEDGE
eNB Configuration ENB ENB ENB
Update CONFIGURATION CONFIGURATION CONFIGURATION
UPDATE UPDATE UPDATE FAILURE
ACKNOWLEDGE
MME Configuration MME MME MME
Update CONFIGURATION CONFIGURATION CONFIGURATION
UPDATE UPDATE UPDATE FAILURE
ACKNOWLEDGE
Write-Replace Warning WRITE-REPLACE WRITE-REPLACE
WARNING REQUEST WARNING RESPONSE
Kill KIIL REQUEST KILL RESPONSE
1847
1848 Class 2: Elementary Procedures without Response
Elementary Procedure Message
Handover Notification HANDOVER NOTIFY
E-RAB Release Indication E-RAB RELEASE INDICATION
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

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Downlink S1 CDMA2000 Tunneling DOWNLINK S1 CDMA2000 TUNNELING

Upllink S1 CDMA2000 Tunneling UPLINK S1 CDMA2000 TUNNELING
UE Capability Info Indication UE CAPABLITY 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
Cell Traffic Trace CELL TRAFFIC TRACE
Location Reporting Failure LOCATION REPORTING FAILURE
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 TRANFER
MME Configuration Transfer MME CONFIGURATION TRANSFER
Downlink UE Associated LPPa Transport DOWNLINK UE ASSOCIATED LPPA TRANSPORT
Uplink UE Associated LPPa Transport UPLINK UE ASSOCIATED LPPA TRANSPORT
Downlink Non UE Associated LPPa Transport DOWNLINK NON UE ASSOCIATED LPPA
TRANSPORT
Uplink Non UE Associated LPPa Transport UPLINK NON UE ASSOCIATED LPPA TRANSPORT
1849
1850 1.2.3.1 S1 Setup
1851 1.2.3.1.1 Successful Operation
1852 1.2.3.1.1.1 S1 Setup Success (w/o HeNB-GW)
1853

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eNB MME

S-1

1.S1AP :: S1 SETUP REQUEST

S-2

timer ：TS1SetupTimer

2.S1AP :: S1 SETUP RESPONSE

S-3

1854
1855 Figure 1.2-3 S1 Setup (Successful: w/o HeNB-GW)
1856 (Step.1)
1857 eNB turns to INS state or eNB receives new MME IPAddress from HeMS through OAM function.
1858 eNB sends S1AP::S1 SETUP REQUEST to MME and performs as follows :

1859 ・Change the Cell State to S-2.

1860 ・Set the timer named TS1SetupTimer and wait for S1AP::S1 SETUP RESPONSE.
1861 Upon sending S1AP::S1 SETUP REQUEST, the Global eNB ID IE shall be decided according to system
1862 parameter named S1_SIG_LINK_SERVER_TYPE_LIST.
1863
1864 (Step.2)
1865 MME sends S1AP::S1 SETUP RESPONSE to eNB.
1866 eNB performs the following subprocedure, when eNB receives S1AP::S1 SETUP RESPONSE.

1867 ・Stop the timer named TS1SetupTimer.

1868 ・Change the Cell State to S-3.

1869 ・If the trigger of this procedure is the turning to INS state, proceed to INS state transition.

1870 ・If the trigger of this procedure is the receiving new MME IPAddress, return to normal response to HeMS.
1871
1872 1.2.3.1.1.2 S1 Setup Success (w/ HeNB-GW)
1873

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eNB HeNB-GW MME

0. S1-MME establishment between HeNB-GW and MME

S-1

1.S1AP :: S1 SETUP REQUEST

S-2

timer ：TS1SetupTimer

2.S1AP :: S1 SETUP RESPONSE

S-3

1874
1875 Figure 1.2-4 S1 Setup (Successful: w/o HeNB-GW)
1876
1877 (Step.0)
1878 HeNB-GW and MME establish S1-MME connection(s). HeNB-GW stores the MME context(s) with MME(s).
1879
1880 (Step.1)
1881 Same as (Step.1) on1.2.3.1.1.1.
1882
1883 (Step.2)
1884 HeNB-GW sends S1AP::S1 SETUP RESPONSE to eNB with the MME context(s), which are established in
1885 (Step.0).
1886 eNB performs the following subprocedure, when eNB receives S1AP::S1 SETUP RESPONSE.

1887 ・Stop the timer named TS1SetupTimer.

1888 ・Change the Cell State to S-3.

1889 ・If the trigger of this procedure is the turning to INS state, proceed to INS state transition.

1890 ・If the trigger of this procedure is the receiving new MME IPAddress, return to normal response to HeMS.
1891

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1892 1.2.3.1.2 Unsuccessful Operation

1893 1.2.3.1.2.1 S1 Setup Failure (w/o HeNB-GW)

eNB MME

S-1

S1 SETUP REQUEST

S-2

timer ：TS1SetupTimer

S1 SETUP FAIRURE

S-1

1894
1895 Figure 1.2-5 S1 Setup Failure (Unsuccessful: w/o HeNB-GW)
1896
1897 (Step.1)
1898 Same as (Step.1) in1.2.3.1.1.1.
1899
1900 (Step.2)
1901 MME sends S1AP::S1 SETUP FAILURE to eNB.
1902 eNB performs the following subprocedure, when eNB receives S1AP::S1 SETUP FAILURE.

1903 ・Stop the timer named TS1SetupTimer.

1904 ・if S1AP::S1 SETUP FAILURE has Time to Wait IE and the retry counter does not reach NS1SetupReq, then
1905 eNB resends S1AP::S1 SETUP REQUEST and start timer:TS1SetupTimer after duration defined in Time to
1906 Wait IE.

1907 ・ if S1AP::S1 SETUP FAILURE does not have Time to Wait IE and the retry counter does not reach
1908 NS1SetupReq, then eNB resends S1AP::S1 SETUP REQUEST and start timer:TS1SetupTimer.

1909 ・if the retry counter reaced NS1SetupReq, then eNB changes the state to S-1.

1910 ・If the trigger of this procedure is the turning to INS state, terminate to INS state transition.

1911 ・If the trigger of this procedure is the receiving new MME IPAddress, return to failure response to HeMS.
1912
1913

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1914 1.2.3.1.2.2 S1 Setup Failure (w/ HeNB-GW)

1915 (Step.0)
1916 Same as (Step.0) in 1.2.3.1.2.1.
1917
1918 (Step.1)
1919 Same as (Step.1) in 1.2.3.1.2.1.
1920
1921 (Step.2)
1922 Same as (Step.2) in 1.2.3.1.2.1 except below :

1923 ・if the retry counter reached NS1SetupReq, then eNB tries to sends S1AP::S1 SETUP REQUEST against other
1924 HeNB-GW IP Address.
1925
1926
1927 1.2.3.1.2.3 TS1SetupTimer Expired (w/o HeNB-GW)
1928

eNB MME

S-1

S1 SETUP REQUEST

S-2

timer ：TS1SetupTimer

S1 SETUP REQUEST

・
・
・
S1 SETUP REQUEST

timer ：TS1SetupTimer

S-1

1929
1930 Figure 1.2-6 TS1SetupTimer Expired (Unsuccessful: w/o HeNB-GW)
1931 (Step.1)

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1932 Same as (Step.1) in 1.2.3.1.1.1.

1933
1934 (Setp.2)
1935 eNB performs the following subprocedure, when eNB detects the TS1SetupTimer expiration :

1936 ・if the retry counter does not reach NS1SetupReq, then eNB resends S1AP::S1 SETUP REQUEST and start
1937 timer:TS1SetupTimer.

1938 ・if the retry counter reaced NS1SetupReq, then eNB changes the state to S-1.

1939 ・If the trigger of this procedure is the turning to INS state, proceed to INS state transition.

1940 ・If the trigger of this procedure is the receiving new MME IPAddress, return to normal response to HeMS.
1941
1942 1.2.3.1.2.4 TS1SetupTimer Expired (w/ HeNB-GW)
1943 Same as 1.2.3.1.2.3.
1944
1945 1.2.3.2 MME Configuration Update
1946 1.2.3.2.1 Successful Operation
1947 1.2.3.2.1.1 MME Configuration Update Success (w/o HeNB-GW)

1948
1949 Figure 1.2-7. MME Configuration Update (Successful: w/o HeNB-GW)
1950

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eNB HeNB-GW MME

ALT.
0. performed S1AP::MME CONFIGURATION UPDATE
between HeNB-GW and MME

0. deleted S1-MME connection between HeNB-GW and

MME by changing HeNB-GW configuration parameters.

S-3

S1AP::MME CONFIGURATION UPDATE

S1AP::MME CONFIGURATION UPDATE ACKNOWLEDGE

1951
1952
1953 Figure 1.2-8MME Configuration Update (Successful: w/ HeNB-GW)
1954
1955
1956 (Step.1)
1957 MME detects MME context modification.
1958 MME sends S1AP::MME CONFIGURATION UPDATE to eNB.
1959
1960 (Step.2)
1961 eNB performs the following subprocedure, if eNB receives S1AP::MME CONFIGURATION UPDATE ;

1962 ・eNB sends the S1AP::MME CONFIGURATION UPDATE ACKNOWLEDGE to MME.

1963 ・eNB applies the new MME context with eNB behavior.
1964 - Update SIB with new MME Context.
1965 - Release UE Context, if new MME Context does not include Served GUMMEI for the current UE
1966 Context. (To be verified : TBD)
1967 - Use new MME Context when eNB sends S1AP::INITIAL UE MESSAGE.
1968
1969 1.2.3.2.1.2 MME Configuration Update Success (w/ HeNB-GW)
1970
1971
1972 (Step.0)
1973 HeNB-GW and MME performs S1AP::MME CONFIGURATION UPDATE procedure, or, HeNB-GW deletes
1974 the S1-MME connection with MME by changing HeNB-GW’s configuration parameters.

1975 [HeNB-GW チームに要確認。他の Trigger ある？：TBD]

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1976
1977 (Step.1)
1978 HeNB-GW sends S1AP::MME CONFIGURATION UPDATE with new MME Context.
1979
1980 (Step.2)
1981 Same as (Step.2) in 1.2.3.2.1.1.
1982
1983 1.2.3.2.2 Unsuccessful Operation
1984 1.2.3.2.2.1 MME Configuration Update Failure (w/o HeNB-GW)

eNB MME

S-3

MME CONFIGURATION UPDATE

MME CONFIGURATION UPDATE FAILURE

1985
1986 Figure 1.2-9 MME Configuration Update (Unsuccessful: w/o HeNB-GW)
1987 (Step.1)
1988 Same as (Step.1) in 1.2.3.2.1.1.
1989
1990 (Step.2)
1991 eNB performs the following subprocedure, if eNB receives S1AP::MME CONFIGURATION UPDATE but
1992 eNB can not recognize each of IE on S1AP::MME CONFIGURATION UPDATE :

1993 ･eNB sends S1AP::MME CONFIGURATION UPDATE FAILURE with “Unspecified Failure” cause IE.
1994
1995
1996 1.2.3.2.2.2 MME Configuration Update Failure (w/ HeNB-GW)
1997 Same as 1.2.3.2.2.1.
1998
1999
2000 1.2.3.2.2.3 MME Configuration Update from unknown MME or HeNB-GW
2001 If eNB receives S1AP::MME CONFIGURATION UPDATE from the MME, with which eNB does not
2002 complete to S1 Setup procedure, then eNB ignores the S1AP::MME CONFIGURATION UPDATE and records
2003 the fact as log.

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2004
2005
2006
2007 1.2.3.3 eNB Configuration Update
2008 1.2.3.3.1 Successful Operation
2009 1.2.3.3.1.1 eNB Configuration Update Success (w/o HeNB-GW)
2010

eNB MME

S-3

ENB CONFIGURATION UPDATE

S-4

timer ：TS1ConfUpTimer

ENB CONFIGURATION UPDATE ACKNOWLEDGE

S-3

2011
2012 Figure 1.2-10 eNB Configuration Update (Successful: w/o HeNB-GW)
2013
2014 (Step.1)
2015 eNB receivesnew parameter from HeMS and modifies of eNB context, whose elements’ value are on
2016 S1AP::eNB CONFIGURATION UPDATE.
2017 eNB sends S1AP::eNB CONFIGURATION UPDATE to MME and performs as follows :

2018 ・Change the Cell State to S-4.

2019 ・ Set the timer named TS1ConfUpTimer and wait for S1AP::eNB CONFIGURATION UPDATE
2020 ACKNOWLEDGE.
2021
2022 (Step.2)
2023 MME sends S1AP::eNB CONFIGURATION UPDATE ACKNOWLEDGE to eNB.
2024 eNB performs the following subprocedure, when eNB receives S1AP::eNB CONFIGURATION UPDATE
2025 ACKNOWLEDGE.

2026 ・Stop the timer named TS1ConfUpTimer.

2027 ・Change the Cell State to S-3.

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2028 ・eNB responses normal acknowledge to HeMS.

2029
2030 1.2.3.3.1.2 eNB Configuration Update Success (w/ HeNB-GW)
2031 Same as 1.2.3.3.1.1
2032
2033 1.2.3.3.2 Unsuccessful Operation
2034 1.2.3.3.2.1 eNB Configuration Update Failure (w/o HeNB-GW)
2035

eNB MME

S-3

ENB CONFIGURATION UPDATE

S-4

timer ：TS1ConfUpTimer

ENB CONFIGURATION UPDATE FAIRURE

S-3

2036
2037 Figure 1.2-11 eNB Configuration Update (Unsuccessful: w/o HeNB-GW)
2038
2039 (Step.1)
2040 Same as (Step.1) in 1.2.3.3.1.1
2041
2042 (Step.2)
2043 MME sends S1AP::eNB CONFIGURATION UPDATE FAILURE to eNB.
2044 eNB performs the following subprocedure, when eNB receives S1AP::eNB CONFIGURATION UPDATE
2045 FAILURE.

2046 ・Stop the timer named TS1ConfUpTimer.

2047 ・if S1AP::eNB CONFIGURATION UPDATE FAILURE has Time to Wait IE and the retry counter does not
2048 reach NS1ConfUp, then eNB resends S1AP::eNB CONFIGURATION UPDATE and start
2049 timer:TS1ConfUpTimer after duration defined in Time to Wait IE.

2050 ・if S1AP::eNB CONFIGURATION UPDATE FAILURE does not have Time to Wait IE and the retry counter
2051 does not reach NS1ConfUp, then eNB resends S1AP::eNB CONFIGURATION UPDATE and start
2052 timer:TS1ConfUpTimer.

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2053 ・if the retry counter reaced NS1ConfUp, then eNB changes the Cell State to S-3 and responses failure to
2054 HeMS(to be filled by Contela).
2055
2056
2057 1.2.3.3.2.2 eNB Configuration Update Failure (w/ HeNB-GW)
2058 Same as 1.2.3.3.2.1.
2059
2060
2061 1.2.3.3.2.3 TS1ConfUpTimer Expired (w/o HeNB-GW)
2062

eNB MME

S-3

ENB CONFIGURATION UPDATE

S-4

timer ：TS1ConfUpTimer

ENB CONFIGURATION UPDATE

・
・
・
ENB CONFIGURATION UPDATE

timer ：TS1ConfUpTimer

S-3

2063
2064 Figure 1.2-12 TS1ConfUpTimer Expired (Unsuccessful: w/o HeNB-GW)
2065
2066 (Step.1)
2067 Same as (Step.1) in 1.2.3.3.1.1
2068
2069 (Setp.2)
2070 eNB performs the following subprocedure, when eNB detects the TS1ConfUpTimer expiration :

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2071 ・if the retry counter does not reach NS1ConfUp, then eNB resends S1AP::eNB CONFIGURATION UPDATE
2072 and start timer:TS1ConfUpTimer.

2073 ・if the retry counter reaced NS1ConfUp, then eNB changes the state to S-3 and responses failure to HeMS (to
2074 be filled by Contela).
2075
2076
2077 1.2.3.3.2.4 TS1ConfUpTimer Expired (w/ HeNB-GW)
2078 Same as 1.2.3.3.2.3.
2079
2080
2081 1.2.3.4 Reset
2082 1.2.3.4.1 Reset procedure initiated from the MME

UE eNB MME

S-3

RESET

RESET ACKNOWLEDGE
RRC::RRCConnectionRelease

initialise

2083
2084 Figure 1.2-13 Reset procedure initiated from the MME (Successful: w/o HeNB-GW)
2085
2086 (Step.1)
2087 MME sends S1AP::RESET to eNB.
2088 eNB receives S1AP::RESET from MME.
2089
2090 (Step.2)
2091 eNB sends S1AP::RESET ACKNOWLEDGE to MME. In paralle, eNB performs the following procedure
2092 according to the Reset Type IE on S1AP::RESET :
2093
# CHOICE Reset Type eNB procedure

1 S1 interface eNB performs the follows against all

UEs, which are connected to MME,

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which sends S1AP::RESET :

eNB reset UE S1AP ID.
eNB sends
RRC::RRCConnectionRelease and
release the UE context (Step.3).
2 Part of S1interface eNB performs the follows against UEs,
which are indicated by S1AP::RESET :
eNB reset UE S1AP ID.
eNB sends
RRC::RRCConnectionRelease and
release the UE context (Step.3).
2094
2095 (Step.3)
2096 eNB sends the RRC::RRCConnectionRelease to UEs. Aftherthat, eNB release the UE Context. (No release
2097 actions with MME.)
2098
2099 If eNB receives S1AP::RESET during other S1 procedure (except Reset), then eNB aborts the other S1
2100 procedure and start Reset procedure.
2101 If eNB receives S1AP::RESET with UE-associated logical S1-connection Item IE and whose MME UE S1AP
2102 ID and eNB UE S1AP ID are not included on any UE Context in eNB, then eNB ignores it and does not include
2103 it on S1AP::RESET ACKNOWLEDGE.
2104 If eNB receives S1AP::RESET during UE context initialization triggered by previous S1AP::RESET, then eNB
2105 performs Reset procedure in serial.
2106 eNB does not initiate Connection Establishment procedure during Reset procedure.
2107
2108

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2109 1.2.3.4.2 Reset procedure initiated from the eNB

UE eNB MME

S-3
RESET
S-8
RRC::RRCConnectionRelease

timer ：TS1ResetTimer

RESET ACKNOWLEDGE

initialise
S-3

2110
2111 Figure 1.2-14 Reset procedure initiated from the eNB (Successful: w/o HeNB-GW)
2112
2113 (Step.1)
2114 eNB detects the trigger of Reset procedure :
2115 - Error Indication
2116 - Turning to OOS
2117 - Detectig the abnormal UE S1AP ID upon receiving S1AP messages.
2118
2119 eNB sends S1AP::RESET to MME and performs as follows :

2120 ・Change the Cell State to S-8.

2121 ・Set the timer named TS1ResetTimer and wait for S1AP::RESET ACKNOWLEDGE.
2122
2123 (Step.2)
2124 eNB sends the RRC::RRCConnectionRelease to UEs. Aftherthat, eNB release the UE Context. (No release
2125 actions with MME.)
2126
2127 (Step.3)
2128 If eNB receives the S1AP::RESET ACKNOWLEDGE from MME, then eNB performs as follows :

2129 ・Stop the timer named TS1ResetTimer.

2130 ・Release the S1AP Context.

2131

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2132 1.2.3.4.3 Reset procedure initiated from the eNB (Timeout)

eNB MME

S-3

RESET
S-8

timer ：TS1ResetTimer

RESET

・
・
・
RESET

timer ：TS1ResetTimer

initialise

S-3
2133
2134 Figure 1.2-15 Reset procedure initiated from the eNB (Unsccessful: w/o HeNB-GW)
2135
2136 (Step.1)
2137 Same as (Step.1) in 1.2.3.4.2.
2138
2139 (Step.2)
2140 Same as (Step.2) in 1.2.3.4.2.
2141
2142 (Step.3)
2143 eNB performs the following subprocedure, when eNB detects the TS1ResetTimer expiration :

2144 ・ if the retry counter does not reach NS1ResetReq, then eNB resends S1AP::RESET and start
2145 timer:TS1ResetTimer.

2146 ・if the retry counter reaced NS1ResetReq, then eNB changes the state to S-3 and releases the S1AP Context.
2147

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2148 1.2.3.4.4 Crossing of Reset procedure

eNB MME

S-3

RESET RESET
S-8

RESET ACKNOWLEDGE

RESET ACKNOWLEDGE

S-3

2149
2150 Figure 1.2-16 Crossing Reset procedure (w/o HeNB-GW)
2151
2152 If eNB receives S1AP::RESET from MME duing eNB-initiated Reset procedure and waiting for the
2153 S1AP::RESET ACKNOWLEDGE, then the eNB response S1AP::RESET ACKNOWLEDGE according to the
2154 contents of received S1AP::RESET.
2155
2156
2157 1.2.3.5 Overload function
2158 1.2.3.5.1 Overload Start (w/o HeNB-GW)

eNB MME

S-3
OVERLOAD START

処理（２）

S-5

2159
2160 Figure 1.2-17 Overload Start (w/o HeNB-GW)
2161 (Step.1)
2162 MME detects overload and sends S1AP::OVERLOAD START with Overload Response IE to eNB.
2163
2164 (Step.2)
2165 eNB receives S1AP::OVERLOAD START from MME.

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2166 eNB stores the overload state and the Overload Response IE on S1AP Context of corresponding MME for MME
2167 selection functionality (See also (Step.6.0) in section 1.1.4.2.1.1.1).
2168
2169
2170 1.2.3.5.2 Overload Stop (w/o HeNB-GW)

eNB MME

S-5
OVERLOAD STOP

新規 UE の接続を制限解除

S-3

2171
2172 Figure 1.2-18 Overload Stop (w/o HeNB-GW)
2173
2174 (Step.1)
2175 MME detects overload disappear and sends S1AP::OVERLOAD STOP to eNB.
2176
2177 (Step.2)
2178 eNB receives S1AP::OVERLOAD STOP from MME.
2179 eNB deletes the overload state on S1AP Context for MME selection functionality (See also (Step.6.0) in section
2180 1.1.4.2.1.1.1).
2181
2182 eNB also deletes the overload state on S1AP Context, if eNB detects the MME is down according to Health
2183 Check function.
2184
2185
2186 1.2.3.6 Configuration Transfer
2187 The Configuration Transfer is used for TNL Discovery functionality to identiy the transport address of Neighbor
2188 eNB.

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S-eNB MME T-eNB

S-3

ENB CONFIGURATION TRANSFER

-SON Information Request
MME CONFIGURATION TRANSFER
-SON Information Request
S-7

ENB CONFIGURATION TRANSFER

-SON Information Reply
MME CONFIGURATION TRANSFER
-SON Information Reply

S-3

2189
2190 Figure 1.2-19 Configuration Transfer (w/o HeNB-GW)
2191
2192 (Step.1)
2193 Source eNB identify that new ECGI is registered on NRT, then Source eNB sends S1AP::eNB
2194 CONFIGURATION TRANSFER with SON Information Request IE to MME.
2195
2196 (Step.2)
2197 MME sends S1AP::MME CONFIGURATION TRANSFER to Target eNB.
2198
2199 (Step.3)
2200 Target eNB sends S1AP::eNB CONFIGURATION TRASFER with SON Information Reply, which contains
2201 the TNL Address of Target eNB to Source eNB.
2202
2203 (Step.4)
2204 MME sends S1AP::MME CONFIGURATION TRANSFER to Source eNB.
2205
2206 (Step.5)
2207 Source eNB receives S1AP::MME CONFIGURATION TRANSFER from MME. Source eNB initiate X2 Setup
2208 procedure using TNL Address.
2209
2210

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2211 1.2.3.7 Error Indication

eNB MME

ERROR INDICATION

2212
2213 Figure 1.2-20 Error Indication (w/o HeNB-GW)
2214
2215 (Step.1)
2216 eNB detects S1-MME message error listed below :
2217 - Transfer Syntax Error
2218 - Abstract Syntax Error (Reject)
2219 - Abstract Syntax Error (Ignore and Notify)
2220 - Abstract Syntax Error (Falsely Constructed Message)
2221 - Message not Compatible with Receiver State
2222 - Semantic Error
2223 eNB sends S1AP::ERROR INDICATION with Protocol Cause IE and Criticality Diagnostics IE if available.
2224
2225
2226 Table 1.2-1. S1AP Message definitions
# Message Direction Explanation
S1 SETUP REQUEST eNB to MME
S1 SETUP RESPONSE MME to eNB
S1 SETUP FAILURE eNB to MME
MME CONFIGURATION UPDATE MME to eNB
MME CONFIGURATION UPDATE eNB to MME
ACKNOWLEDGE
eNB CONFIGURATION UPDATE eNB to MME
eNB CONFIGURATION UPDATE MME to eNB
AACKNOWLEDGE
RESET MME to eNB
eNB to MME
RESET ACKNOWLEDGE MME to eNB
eNB to MME
OVERLOAD START MME to eNB
OVERLOAD STOP MME to eNB
eNB CONFIGURATION TRANSFER eNB to MME

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MME CONFIGURATION TRANSFER MME to eNB

ERROR INDICATION MME to eNB
eNB to MME
2227
2228
2229 1.2.3.7.1.1 Timers
2230 Table 1.2-2 Timers
# Message Explanation Value
TS1SetupTimer Refer to xx Successful ConfigurationParameter
Operation section
(to be fill the configuration
parameter name by Contela)
Time to Wait Refer to Time to Wait IE value on
1.2.3.1.2.1Unsuccessful S1AP::S1 SETUP FAILURE,
Operation section S1AP::eNB
CONFIGURATION UPDATE
Refer to
FAILURE
1.2.3.3.2.1Unsuccessful
Operation section
TS1ConfUpTimer Refer to xx Successful ConfigurationParameter
Operation section
(to be fill the configuration
parameter name by Contela)
TS1ResetTimer Refer to xx Successful ConfigurationParameter
Operation section
(to be fill the configuration
parameter name by Contela)

2231
2232
2233 1.2.3.7.1.2 System Paramsters
2234 Table 1.2-3 System Parameters
# Parameter Name Data Model Definition on TR-069
1 NS1SetupReq No Definition. ConfigurationParameter.
(to be fill the configuration parameter name by Contela)
2 S1_SIG_LINK_SERVER_ InternetGatewayDevice.Services.FAPService.1.FAPControl.LTE.Gateway.X
TYPE_LIST _VENDOR_S1_SIG_LINK_SERVER_TYPE_LIST
3 NS1ConfUp No Definition. ConfigurationParameter.
(to be fill the configuration parameter name by Contela)
4 NS1ResetReq No Definition. ConfigurationParameter.
(to be fill the configuration parameter name by Contela)
2235
2236
2237

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2238
2239 1.2.4 Requirement Lists
No. Contents Support
L3-12-1 Successful Operation of S1Setup shall be supported(based on TS 36.413) Phase1
L3-12-2 Unsuccessful Operation of S1Setup shall be supported(based on TS 36.413) Phase1
Start triggeres of S1 Setup procedure shall be followings.
L3-12-3 (1) At the time of initial start-up of eNB Phase1
(2) At the time of MME addition in MME connection list.
Successful Operation of MME Configuration Update shall be supported(based on TS
L3-12-4 Phase1
36.413)
Unsuccessful Operation of MME Configuration Update shall be supported(based on
L3-12-5 Phase1
TS 36.413)
If eNB receives MME CONFIGURATION UPDATE from MME without S1 setup,
L3-12-6 Phase1
eNB shall ignore this message.
Successful Operation of eNB Configuration Update shall be supported(based on TS
L3-12-7 Phase1
36.413)
Unsuccessful Operation of eNB Configuration Update shall be supported(based on TS
L3-12-8 Phase1
36.413)
Reset procedure shall be supported(based on TS 36.413)
- Error Indication
- turning to OOS
L3-12-9 Phase1
- detecting the abnormal UE S1 AP ID.

The above reset action shal be configuraable by operator.

If a conbination of eNB UE S1 AP ID and MME UE S1 AP ID is discord, eNB shall
L3-12-10 Phase1
start S1: Reset procedure.
If eNB start S1: Reset procedure, ENB shall send RRC RRCConnectionRelease for the
L3-12-11 Phase1
UE.
L3-12-12 Overload Start shall be supported.(based on TS 36.413) Phase1
L3-12-13 Overload Stop shall be supported.(based on TS 36.413) Phase1
If eNB decides that the certain MME is down, eNB shall decides that the MME is not
L3-12-14 Phase1
overload.
L3-12-15 ENB Configuration Transfer shall be supported.(based on TS 36.413) Phase1
L3-12-16 MME Configuration Transfer shall be supported.(based on TS 36.413) Phase1
L3-12-17 Error indication shall be supported.(based on TS 36.413) Phase1
In order to monitor healthcheck of connected MMEs, eNB shall execute heartbeat
L3-12-18 Phase1
verification using SCTP.
In case that consecutive un-receptions of SCTP:HeartBeatAcknowledge excess the
L3-12-19 Phase1
configured value, eNB shall decide that the MME is down.
If eNB decides that the certain MME is down, eNB shall release SCTP and S1AP of
L3-12-20 Phase1
the MME.

L3-12-21 If eNB decides that the certain MME is down, eNB shall send RRC： Phase1
RRCConnectionRelease to all the UE connected with the down MME.
If eNB decides that the certain MME is down, eNB shall send SCTP: Initiation
periodically.
L3-12-22 Phase1
If eNB receives SCTP: Initiation Acknowledgement from the MME, eNB shall set up
SCTP link.
L3-12-23 Timing of sending SCTP: Heartbeat Request shall be deconcentration. Phase2
The maximum number of S1-MME shall be configurable from OAM. The parameter
L3-12-24 Phase1
shall be configurable in run-time.
L3-12-25 eNB shall connect to only one HeNB-GW with S1 Phase1
If current HeNB-GW becomes to be unavailable for S1 connection, eNB shall try to
L3-12-26 Phase1
connect another HeNB-GW automatically
L3-12-27 "Global eNB ID" in S1 setup request message shall be selected by system parameter Phase1

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whether 20 bit or 28 bit

2240
2241
2242

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2243 1.3 L3(X2-AP)

2244 1.3.1 Overview
2245 X2Application Protocol layer provides the signaling service between eNBs in E-UTRAN. X2AP services are
2246 divided into two groups:
2247 - X2AP Basic Mobility Procedures.
2248 - X2AP Global Procedures.
2249
2250 The X2 Interface for the HeNB is not supported at Release 9 Spec (TS36.300). (It is added in Release 10 spec.)
2251 But A S-Pico supports the X2 interface inter S-Pico(s)under same HeNB-GW and inter S-Pico(s) under same
2252 MME.

2253
2254 Figure 1.3-1. Overall E-UTRAN Architecture for S-Pico (Phase1, Rel 9+)
2255

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2256
2257 Figure 1.3-2. Overall E-UTRAN Architecture for S-Pico (Phase2, Rel 10)
2258
2259 1.3.2 Functions
2260 The X2AP protocol provides the following functions:
2261  Mobility Management: This function allows the eNB to move the responsibility of a certain UE to
2262 another eNB. Forwarding of user plane data, Status Transfer and UE Context Release function are
2263 parts of the mobility management.
2264  LoadManagement: This function is used by eNBs to indicate resource status, overload and traffic
2265 load to each other.
2266  Reporting of General Error Situations: This function allows reporting of general error situations,
2267 for which function specific error messages have not been defined.
2268  Resetting the X2: This function is used to reset the X2 interface.
2269  Setting up the X2: This function is used to exchange necessary data for the eNB for setup the X2
2270 interface and implicitly perform an X2 Reset.
2271  eNB Configuration Update: This function allows updating of application level data needed for two
2272 eNBs to interoperate correctly over the X2 interface.
2273 - Mobility Parameters Management: This function allows the eNB to coordinate adaptation of
2274 mobility parameter settings with a peer eNB.
2275 - Mobility Robustness Optimization: This function allowsreporting of information related to mobility
2276 failure events.
2277 - Energy Saving: This function allows decreasing energy consumption by enabling indication of cell
2278 activation/deactivation over the X2 interface.
2279
2280

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2281 1.3.2.1 State definitions

2282
2283 Table 1.3-1CallState definitions
# X2 link State Name Explanation
1 X-S1 No setup status for X2-C
2 X-S2 Wait status for X2AP: X2 SETUP RESPONSE
3 X-S3 Setting status for X2-C
4 X-S4 Wait for X2-C retry
5 X-C1 Wait for X2AP: ENB CONFIGURATION UPDATE
ACKNOWLEDGE
6 X-C2 Wait for eNB update setting retry
2284
2285
2286 1.3.2.2 Normal Operation
2287 1.3.2.2.1 X2 setup
2288

eNB Neighbor eNB

X-S1

1. X2 SETUP REQUEST

X-S2
2. X2 SETUP RESPONSE

X-S3

2289
2290 Figure 1.3-3 X2 Setup procedure
2291
# Event Target eNB
1 Initial setup Neighbor eNB without No
X2flag
2 Additional NRT New additional Nieghbor eNB
without No X2flag
2292
2293 (Step1)
2294 eNB sendsX2 SETUP REQUEST to target eNB at the above event. X2 SETUP RESPONSE wait timer is
2295 started at message transmission.

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2296
2297 (Step2)
2298 Neighbor eNB received X2 SETUP REQUEST sends X2 SETUP RESPONSE to Source eNB. eNB received
2299 X2 SETUP RESPONSE stops X2 SETUP RESPONSE wait timer.
2300
2301 1.3.2.2.2 eNB Configuration Update
2302

eNB Neighbor eNB

X-S3

1. ENB CONFIGURAION UPDATE

X-C1
2. ENB CONFIGURAION UPDATE
ACKNOWLEDGE

X-S3

2303
2304 Figure 1.3-4 eNB Configuration Update procedure
図 Error! No text of specified style in document.-5eNB
document.-6eNB Configuration
2305 (Step1) update procedure
2306 eNB sends ENB CONFIGURATION UPDATE to all of the neighbor eNB in the following event. eNB
2307 informs to remove from Handover candidates by setting of source cell information to this message(ENB Served
2308 Cells To Delete). eNB startsENB CONFIGURATION UPDATEACKNOWLEDGE waittimerat the time of
2309 message transmission.
2310
2311 (at the event of ENB CONFIGURATION UPDATE transmission)
2312 (1) When all of the eNB cells or any cells are obstructed
2313 (2) When one of the obstructed cells are deactivated (X2 Setup is used when all of the obstructed cells are
2314 deactivated)
2315 (3) WhenServed Cell information or GU Group ID list are changed
2316
2317 (Step2)
2318 Neighbor eNB receivedENB CONFIGURATION UPDATE sends ENB CONFIGURATION UPDATE
2319 ACKNOWLEDGE to source eNB.
2320 Neighbor eNB does not select the cell contained in ENB Served Cells To Delete as the Handover candidates.
2321 eNB received ENB CONFIGURATION UPDATE ACKNOWLEDGE stops ENB CONFIGURATION
2322 UPDATE ACKNOWLEDGE wait timer.

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2323 eNB recovers the Handover candidates as target neighbor cell by reception ofX2SETUP REQUEST or ENB
2324 CONFIGURATION UPDATE. X2SETUP REQUEST and ENB CONFIGURATION UPDATE messages are
2325 sent when obstructed neighbor eNB is deactivated.
2326
2327 1.3.2.2.3 eNB Configuration Update
2328
2329

eNB Neighbor eNB

1. ERROR INDICATION

2330
2331 Figure 1.3-5 Error indication procedure
2332
2333 (Step1)
2334 eNB sends ERROR INDICATION to the neighbor target eNB when any following conditions are met.
2335
2336 (the condition of ERROR INDICATION transmission)
2337 (1) in case that received message meets the condition for 3GPP TS 36.423 V9.6.0 clause 10, and failure message
2338 does not exists. (failure messages should be responsed if failure message exists)
2339
2340
2341

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2342 1.3.2.3 Unsuccessful Operation

2343 1.3.2.3.1 X2 SETUP RESPONSE wait timer expiry
2344

eNB Neighbor eNB

X-S1

1. X2 SETUP REQUEST

X-S2
timer：X2 SETUP RESPONSE
wait timer
Timer expiry

2. X2 SETUP REQUEST(retry)

Retry out

X-S1

2345
2346 Figure 1.3-6X2 SETUP RESPONSE wait timer expiry
2347
2348 eNB removes X2 Base Handover candidateds according to section xx (handover) in case that X2 SETUP
2349 RESPONSE wait timer is expired and the number of retry is maximum. (Because X2 link for target neighbor
2350 eNB is not connected.)
2351
2352

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2353 1.3.2.3.2 X2 Setup failure

2354

eNB 隣接 eNB

X-S1

1. X2 SETUP REQUEST

X-S2
2. X2 SETUP FAILURE or
ERROR INDICATION

X-S4 timer：time to wait

3. X2 SETUP REQUEST

X-S2

2355
2356 Figure 1.3-7 X2 Setup failure
2357
2358 Neighbor eNB sends X2 SETUP FAILURE in case that X2 SETUP REQUEST message is incorrect. Set the
2359 time to waitcontained in X2 SETUP FAILURE, based on System parameter.
2360 eNB stops X2 SETUP RESPONSE wait timer at the time of received on X2 SETUP FAILURE or ERROR
2361 INDICATION.
2362 eNB resends X2 SETUP REQUEST after a lapse of time to wait in case that X2 SETUP FAILURE is
2363 contained(if the number of retrys is remained.). eNB resends quickly in case of ERROR INDICATION
2364 reception (if the number of retrys is remained.).
2365
2366
2367

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2368 1.3.2.3.3 ENB CONFIGURATION UPDATE ACKNOWLEDGE wait timer expiry

2369

eNB Neighbor eNB

X-S3

1. ENB CONFIGURATION UPDATE

X-C1
timer：ENB CONFIGURATION UPDATE
ACKNOWLEDGE wait timer
Timer expiry

2. ENB CONFIGURATION UPDATE (retry)

Retry out

X-S3

2370
2371 Figure 1.3-8ENB CONFIGURATION UPDATE ACKNOWLEDGE wait timer expiry
2372
2373 eNB ends the process of eNB Configuration update in case that ENB CONFIGURATION UPDATE
2374 ACKNOWLEDGE wait timer is expired and the number of transmission is maximum.
2375
2376

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2377 1.3.2.3.4 eNB Configuration Update failure

2378

eNB Neighbor eNB

X-S3

1. ENB CONFIGURAION UPDATE

X-C1

2. ENB CONFIGURAION UPDATE

FAILURE or ERROR INDICATION

X-C2 timer：(time to wait +

X2apENBConfigUpdateTimeToWaitOffset)
3. ENB CONFIGURAION UPDATE

X-C1

2379
2380 Figure 1.3-91.3eNB Configuration update failure
2381
2382 Neighbor eNB sends ENB CONFIGURATION UPDATE FAILURE in case that ENB CONFIGURATION
2383 UPDATE message is incorrect.Time to wait contained in ENB CONFIGURATION UPDATE FAILURE is set
2384 based on System parameter.
2385 eNB stops ENB CONFIGURATION UPDATE ACKNOWLEDGE wait timer in case of reception of ENB
2386 CONFIGURATION UPDATE FAILURE or ERROR INDICATION. eNB resendsENB CONFIGURATION
2387 UPDATEin case that ENB CONFIGURATION UPDATE FAILURE is contained after a lapse of(time to wait +
2388 X2apENBConfigUpdateTimeToWaitOffset). eNB resends quickly in case thattime to wait is not contained or
2389 ERROR INDICATIONis received (if the number of retrys is remained.).
2390
2391

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2392 1.3.2.4 Timers

# Timers Name Explanation Value
1 X2 SETUP RESPONSE Refer to Section xx X2apSetupRetryTimVal
wait
2 time to wait Refer to Section xx time to wait included in X2 SETUP
FAILURE or ENB CONFIGURATION
UPDATE FAILURE
3 ENB Refer to Section xx
CONFIGURATION
X2apENBConfigUpdateRetryTimerVal
UPDATE
ACKNOWLEDGE wait
4 Time to wait offset time Refer to Section xx X2apENBConfigUpdateTimeToWaitOffset
2393
2394
2395 1.3.2.5 System Parameters
# Parameter Name Corresponding Description Related
parameter/IE section
defined in
3GPP
1 - Number of X2
SETUP REQUEST
X2apSetupRetryCnt
retry
2 - Time of X2 SETUP
RESPONSE wait
X2apSetupRetryTimVal
timer
3 time to wait Value of time to
wait included in X2
X2apTimeToWaitIndex
SETUP FAILURE
or ENB
CONFIGURATION
UPDATE
FAILURE
4 - Number of ENB
CONFIGURATION
X2apENBConfigUpdateRetryCnt
UPDATE retry
5 - Time of ENB
CONFIGURATION
X2apENBConfigUpdateRetryTimerVal
UPDATE
ACKNOWLEDGE
wait timer
6 X2apENBConfigUpdateTimeToWaitRetryCnt - Number of retries to
be attempted incase
eNB Configuration
Update Failure with
time to wait IE is
received.
7 X2apENBConfigUpdateTimeToWaitOffset - Offset time to be

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added to time to
wait timer IE
received with eNB
Configuration
Update Failure .
8 X2apMMEGroupPLMNId PLMN Id in PLMN ID used in
GU Group Id GU group ID list
9 X2apMMEGroupId MME Group MME group ID used
Id in GU in GU group ID list
Group Id
2396
2397
2398
2399 1.3.3 Requirement Lists
No. Contents Support
L3-11-1 eNB shall support X2 Setup procedure following to TS 36.423 clause 8.3.3. Phase1
Start triggeres of X2 Setup procedure shall be followings.
(1) At the time of initial start-up of eNB
L3-11-2 Phase1
(2) At the time of X2 setup indicated by HeMS.
(3) At the time of neighbor eNB addition in the Neighbor list.
L3-11-3 eNB shall not execute X2 setup to neighbor eNB with No X2 flag. Phase1
In order to reduce eNB load in start-up, timing of sending X2 SETUP shall be
L3-11-4 Phase2
deconcentration.
eNB shall not execute X2-based Handover to neighbor eNB which has not completed
L3-11-5 Phase1
X2 setup. (S1-based Handover is possible)
eNB shall support X2 eNB configuration update procedure following to TS 36.423
L3-11-6 Phase1
clause 8.3.5.
Start triggeres of X2 eNB configuration update procedure shall be followings.
(1) At the time of cell deactivation of at least one cell.
L3-11-7 (2) At the time of change of one or more sub-elements value under the Served Cell Phase1
information element or GU group ID list element in X2AP::eNB CONFIGURATION
UPDATE message.
In case that eNB receive eNB configuration update request with ENB Served Cells To
L3-11-8 Phase1
Delete, eNB shall not select the deleted cell as the target cell of handover.
L3-11-9 eNB shall support X2 ERROR INDICATION following to TS 36.423 clause 8.3.2. Phase1
In order to monitor healthcheck of connected nodes, eNB shall execute heartbeat
L3-11-10 Phase1
verification using SCTP.
In case that consecutive un-receptions of SCTP:HeartBeatAcknowledge excess the
L3-11-11 Phase1
configured value, eNB shall decide that the neighbor eNB is down.
If eNB decides that the certain eNB is down, eNB shall release SCTP and X2AP of the
L3-11-12 Phase1
neighbor eNB and change its X2 state into the X2 setup incompletion.
In order to concentrate loads, timing of sending SCTP: Heartbeat Request shall be
L3-11-13 Phase2
deconcentration.
eNB shall support X2 RESET following to TS 36.423 clause 8.3.4.
- Error Indication
L3-11-14 - turning to OOS Phase1

The above reset action shall be configurable by operator.

The following parameters shall be configurable by operator.
(1) Number of X2 setup retransmissions
L3-11-15 Phase1
(2) Timer awaiting X2 setup response
(3) time to wait value included in X2 SETUP FAILURE or X2 ENB

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CONFIGURATION UPDATE FAILURE

(4) Number of X2 eNB configuration update request retransmissions
(5) Timer awaiting X2 setup eNB configuration update acknowledge
(6) Enable/disable of SCTP heartbeat functionality
(7) Interval of SCTP HeartBeatRequest transmission
(8) Consecutive un-receptions of SCTP:HeartBeatAcknowledge to decide that a
destination is down.
(9) Number of X2 reset retransmissions
(10) Timer awaiting X2 reset response
The maximum number of X2 connections shall be configurable from OAM. The
L3-11-16 Phase1
parameter shall be configurable in run-time.
If the number of established X2 connections has reached the maximum, eNB shall not
perform the SCTP initiation to newly added peer eNBs.
L3-11-17 If the number of established X2 connections become not to have reached the maximum Phase1
due to removing a peer eNB or changing the parameter etc., eNB shall perform the
SCTP establishment, and X2 setup to subsequent newly added eNBs.
If the number of established X2 connection has reached the maximum and eNB
receives the SCTP initiation from a new peer eNB, eNB shall respond with
L3-11-18 Phase1
SCTP:ERROR chunk(Cause: Out of Resource). (The behavior about SCTP initiation
from new peer eNB)
2400
2401

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2402 1.4 Mobility(Handover)

2403
2404 1.4.1 Mobility management in ECM-IDLE
2405 1.4.1.1 Cell selection
2406 TS 36.300 10.1.1.1
2407
2408 1.4.1.2 Cell reselection
2409 TS 36.300 10.1.1.1
2410
2411 1.4.2 Mobility management in ECM-CONNECTED
2412 The Intra-E-UTRAN-Access Mobility Support for UEs in ECM-CONNECTED handles all necessary steps for
2413 relocation/handover procedures, like processes that precede the final HO decision on the source network side
2414 (control and evaluation of UE and eNB measurements taking into account certain UE specific area restrictions),
2415 preparation of resources on the target network side, commanding the UE to the new radio resources and finally
2416 releasing resources on the (old) source network side. It contains mechanisms to transfer context data between
2417 evolved nodes, and to update node relations on C-plane and U-plane.
2418 In E-UTRAN RRC_CONNECTED state, network-controlled UE-assisted handovers are performed and various
2419 DRX cycles are supported:
2420 The UE makes measurements of attributes of the serving and neighbor cells to enable the process:
2421 - There is no need to indicate neighboring cell to enablethe UE to search and measure a cell i.e. E-
2422 UTRAN relies on the UE to detect the neighboring cells;
2423 - For the search and measurement of inter-frequency neighboring cells, at least the carrier frequencies
2424 need to be indicated;
2425 - Network signals reporting criteria for event-triggered and periodical reporting;
2426 - An NCL can be provided by the serving cell by RRC dedicated signaling to handle specific cases for
2427 intra- and inter-frequency neighboring cells. This NCL contains cell specific measurement parameters
2428 (e.g. cell specific offset) for specific neighboring cells;
2429 - Black lists can be provided to prevent the UE from measuring specific neighboring cells.
2430 Depending on whether the UE needs transmission/reception gaps to perform the relevant measurements,
2431 measurements are classified as gap assisted or non-gap assisted.Gap patterns (as opposed to individual gaps) are
2432 configured and activated by RRC.
2433
2434 1.4.3 Handover Related Procedures
Procedure Related Entity Main Function
Procedures MeasurementConfiguration Source eNB MeasurementConfigurationSource
before (eNB --> UE) eNB (eNB --> UE)
Handover Measurement Report Source eNB Reporting measurement results
(UE -->eNB)
Handover Decision Source eNB Decision on target cell(s) and the
type of handover (X2 handover or
S1 handover)

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Handover Handover Preparation CP SourceeNB, Admission control at Target eNB

Procedures Target eNB, Forwarding path preparation
MME(S1 HO
only)
Handover Execution UP SourceeNB, Data forwarding
Target eNB,
MME(S1 HO
only)
Handover Completion CP Target eNB, Path switching
S-GW
UP Target
eNB,MME
2435
2436
2437
2438 1.4.3.1 Measurement Configuration
2439 The UE reports measurement information in accordance with the measurement configuration as provided by E -
2440 UTRAN. E-UTRAN provides the measurement configuration applicable for a UE in RRC_CONNECTED by
2441 means of dedicated signaling, i.e. using the RRCConnectionReconfigurationmessage.
2442

2443
2444 Figure 1.4-1. Measurement Configuration
2445
2446 Following table are shown Measurement configuration Information Elements.
MeasConfig IE Description
Measurement Objects List of measurement objects (Frequencies, Cell List)
Reporting Configuration Reporting criteria that triggers the UE to send a measurement report and
reporting format
Trigger Type Event (Event Id, Hysteresis, Time to Trigger)
Trigger Quantity Used to evaluate the triggering condition for the event
Report Quantity Quantities to be included in the Measurement Report (RSRP,
RSRQ)
Max. Report Cells Max. number of cells, excluding the serving cell, to include in the

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Measurement Report
Report Interval Time during which specific criteria for the event needs to be met
in order to trigger a measurement report.
Report Amount
Measurement ID Used to link a measurement object and a reporting configuration
Quantity Configuration Filtering coefficients for E-UTRA measurements (RSRP, RSRQ)
Measurement Gap Period of time that UE performs measurements (gp0, gp1)
Configuration
s-Measure Serving Cell (or Primary Cell) quality threshold controlling whether or not
the UE is required to perform measurements of neighbor cells
Speed State Parameters
Mobility State Para. Parameters to determine UE mobility state (t-Evaluation, tHystNormal, n-
CellChangeMedium, n-CellChangeHigh)
Time-to-Trigger-SF Be multiplied with the scaling factor applicable for the UE’s speed state
2447
2448
2449 The measurement configuration includes the following parameters:
2450  Measurement objects:The objects on which the UE shall perform the measurements.
2451 - For intra-frequency and inter-frequency measurements a measurement object is a single E-UTRA
2452 carrier frequency. Associated with this carrier frequency, E-UTRAN can configure a list of cell
2453 specific offsets and a list of 'blacklisted' cells. Blacklisted cells are not considered in event evaluation
2454 or measurement reporting.
2455 - For inter-RAT UTRA measurements a measurement object is a set of cells on a single UTRA carrier
2456 frequency.
2457 - For inter-RAT GERAN measurements a measurement object is a set of GERAN carrier frequencies.
2458 - For inter-RAT CDMA2000 measurements a measurement object is a set of cells on a single (HRPD or
2459 1xRTT) carrier frequency.
2460 NOTE 1: Some measurements using the above mentioned measurement objects, only concern a single cell,
2461 e.g. measurements used to report neighboring cell system information, serving cell UE Rx-Tx time
2462 difference.
2463 NOTE 2: The element of measurement object is decided by system paramter.
2464  Reporting configurations: A list of reporting configurations where each reporting configuration
2465 consists of the following:
2466 - Reporting criterion: The criterion that triggers the UE to send a measurement report. This can either be
2467 periodical or a single event description.
2468 - Reporting format: The quantities that the UE includes in the measurement report and associated
2469 information (e.g. number of cells to report).
2470 NOTE 3: Almost element of reporting configurations is decided by system paramter.
2471  Measurement identities: A list of measurement identities where each measurement identity links one
2472 measurement object with one reporting configuration. By configuring multiple measurement identities
2473 it is possible to link more than one measurement object to the same reporting configuration, as well as
2474 to link more than one reporting configuration to the same measurement object. The measurement
2475 identity is used as a reference number in the measurement report.
2476  Quantity configurations:One quantity configuration is configured per RAT type. The quantity
2477 configuration defines the measurement quantities and associated filtering used for all event evaluation
2478 and related reporting of that measurement type. One filter can be configured per measurement quantity.
2479  Measurement gaps: Periods that the UE may use to perform measurements, i.e. no (UL, DL)
2480 transmissions are scheduled.

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2481 NOTE 4: the measGapConfig IE shall be decided by UE Capability, and, the unique value shall be selected
2482 between UEs.
2483
2484 E-UTRAN only configures a single measurement object for a given frequency, i.e. it is not possible to configure
2485 two or more measurement objects for the same frequency with different associated parameters, e.g. different
2486 offsets and/ or blacklists. E-UTRAN may configure multiple instances of the same event e.g. by configuring two
2487 reporting configurations with different thresholds.
2488
2489
2490 1.4.3.2 Measurement Report
2491 UE sends measurement report message to serving eNB.A measurement report can be event-triggered or
2492 periodical.
2493
2494 1) Measurement Reporting Events
Event Description Entering Condition Leaving Condition
A1 Serving cell becomes better than threshold(To Ms-Hys > Thresh Ms+Hys > Thresh
avoid the HO)
A2 Serving cell becomes worse than Ms+Hys < Thresh Ms-Hys < Thresh
threshold(To take IRAT & Inter HO)
A3 Neighbor cell becomes offset better than Mn+Ofn+Ocn-Hys > Mn+Ofn+Ocn+Hys <
Ms+Ofs+Ocs+Off Ms+Ofs+Ocs+Off
serving cell(Intra HO)
A4 Neighbor cell becomes better than Mn+Ofn+Ocn-Hys > Thresh Mn+Ofn+Ocn+Hys < Thresh
threshold(Intra HO)
A5 Serving cell becomes worse than threshold1 Ms+Hys < Thresh1, Ms-Hys > Thresh1,
Mn+Ofn+Ocn-Hys > Thresh2 Mn+Ofn+Ocn+Hys < Thresh2
and neighbor cell becomes better than
threshold2(Inter HO)
A6 Neighbor cell becomes offset better than Mn+Ocn-Hys > Ms+Ocs+Off Mn+Ocn+Hys < Ms+Ocs+Off
secondary cell(SCell)(CA)
B1 Inter-RAT neighbor cell becomes better than Mn+Ofn-Hys > Thresh Mn+Ofn_Hys < Thresh
threshold
B2 Primary cell becomes worse than threshold1 Mp+Hys < Thresh1, Mp-Hys > Thresh1,
and inter-RAT neighbor cell becomes better Mn+Ofn-Hys > Thresh2 Mn+Ofn+Hys < Thresh2
than threshold2(IRAT HO)
2495
Symbol Definition Unit
Ms Measurement result of the serving cell, not taking into account dBm(for RSRP),
any offsets dB(RSRQ)
Mn Measurement result of the neighbor cell, not taking into account dBm(for RSRP),
any offsets dB(RSRQ)
Measurement result of the inter-RAT neighbor cell (for Event dBm or dB(depeding on the
B1,B2 only) neighbor cell)
Mp Measurement result of the primary cell(PCell), not taking into dBm(for RSRP),
account any offsets dB(RSRQ)
Ofs Frequency specific offset of the frequency of the serving cell dB
Ofn Frequency specific offset of the frequency of the neighbor cell dB
Frequency specific offset of the frequency of the inter-RAT dB
neighbor cell (for Event B1,B2 only)
Ofp Frequency specific offset of the primary frequency dB
Ocs,Ocn,Ocp Cell specific offset the {serving cell, neighbor cell, PCell} dB
Hys Hysteresis parameter of the event dB
Off Offset parameter of the event dB

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Thresh Threshold parameter of the event The same unit as Ms

The same unit as Mn (for
event B1 only)
Thresh1 Threshold parameter of the event The same unit as Mp
Thresh2 Threshold parameter of the event The same unit as Mn
2496
2497 2) Example of Measurement Report Triggering (Event A3)
2498 Event A3 is triggered when the strength of a neighbor cell (Mnbr = Mn + Ofn + Ocn) becomes an A3 -offset
2499 (Off) better than the serving cell signal (Mser = Ms + Ofs + Ocs)

2500
2501 Figure 1.4-2. Measurement Report - Event A3
2502
2503
2504 1.4.3.3 Handover Decision
2505 Receiving a handover event (e.g. A3), the serving eNB decides target cell(s) and the type of handover.
2506
2507
2508 1.4.3.3.1 Classification of Handovers
2509 1) Depending on whether EPS entities are changed or not
2510  Intra-LTE Handover
2511 - Intra-MME/S-GW Handover: MME and S-GW are not reallocated during handover.
2512 - Inter-MME Handover: MME is reallocated during handover.
2513 - Inter-S-GW Handover: S-GW is reallocated during handover.
2514 - Inter-MME/S-GW Handover: MME and S-GW are reallocated during handover

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2515
2516  Inter-RAT Handover : Handover between different radio access technologies
2517 - UTRAN to E-UTRAN
2518 - E-UTRAN to UTRAN
2519
2520  Inter-PLMN Handover: Handover between different PLMN Commented [i1]:
2521
2522 2) Depending on whether EPS entity (MME) is involved or not
2523  X2-based Handover: The X2-based handover procedures are used to hand over a UE from a source
2524 eNodeB to a target eNodeB using the X2 reference point. In these procedures the MME is unchanged.
2525
2526  S1-based Handover: The S1-based handover procedure is used when the X2-based handover cannot be
2527 used(X2 connection is not exist or X2 Handover is not allowed).MME is involved in the handover
2528 preparation process.
2529

Commented [i2]:

2530
2531 Figure 1.4-3Decision on Handover Type: X2-based handover vs. S1-based handover
2532

2533 ☞ The X2 Interface for the HeNB is not supported at Release9 Spec(TS36.300). (It is added in Release10 spec.)
2534 But A S-Pico supports the X2 interface inter S-Pico within same HeNB-GW.
2535
2536 3)Depending on whether Outbound or Inbound
2537  Outbound
2538 - LTE HeNB to LTE eNB Handover
2539 - LTE HeNB to UMTS NB Handover ( not support)
2540
2541  Inbound
2542 - LTE eNB to LTE HeNB Handover
2543 - UMTS NB to LTE HeNB Handover (not support)
2544
2545  Inter S-Pico
2546
2547 1.4.3.3.2 Decision of target cell
2548 S-Pico shall support the target cell selection during handover as follows:

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2549 - the target cell has good RSRP or good RSRQ.

2550 - the target cell is registerred on Neighbor Relation Table.
2551 - the TA of the target cell is not included in Handover Restriction List.
2552 - the PLMN-id of the target cell is selectedPLMN-id, or is one of the Equivalent PLMNs IE on UE
2553 Context.
2554
2555
2556 1.4.3.4 Handover Preparation
2557 - Initiated by the source eNB after handover decision
2558 - Used to establish necessary resources in the target eNB for an incoming handover
2559 - Admission control: the target eNBperforms the admission control dependent on the quality of
2560 service (QoS) information and prepares handover with L1/L2.
2561 - Handover command: the serving eNB sends the handover command to UE.
2562 -

2563
2564 Figure 1.4-4 Handover Preparation
2565
X2 Handover S1 Handover
Exchange of handover preparation Direct exchange between Source Indirect exchange between Source
messages eNB and Target eNB eNB and Target eNB via MME
Signaling: X2AP Signaling: S1AP
 HANDOVER REQUEST  HANDOVER REQUIRED,
(Source eNB → Target eNB) HANDOVER REQUEST
 HANDOVER REQUEST ACK (Source eNB →MME →Target
(Target eNB → Source eNB) eNB)
 HANDOVER COMMAND,
HANDOVER REQUEST ACK
(Target eNB →MME →Source
eNB)
Preparation of forwarding bearer Indirect tunnel from Source eNB to
for DL packets Target eNB via S-GW
Derivation of KeNB Derived by Target eNB
AS security base key used by

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Target eNB)
Handover preparation at Target  Reserve resource for ongoing E-RABs
eNB  Derive AS security keys (KRRCint, KRRCenc, KUPenc)
2566
2567
2568 1.4.3.5 Handover Execution
2569 - As soon as the source eNB receives a HandoverCommand from MME, the source eNB sends the
2570 Handover Command message to the UE and initiates DL data forwarding to the target eNB.
2571 - The UE detaches from the source eNB and synchronizes to the target eNBand accesses the targeteNB.
2572 -

2573
2574 Figure 1.4-5 Handover Execution
X2 Handover S1 Handover
Handover trigger message at RRC Connection Reconfiguration(Handover Command) ( UE ← Source
Source eNB
eNB)
Handover trigger message at RRC Connection Reconfiguration Complete(Handover Confirm) ( UE →
Target eNB
Target eNB)
Message for delivering the SN STATUS TRANSFER (Source ENB STATUS TRANSFER
sequence number status eNB → Target eNB) (Source eNB →MME →Target
eNB)
Handling of DL packets at Source Forward to Target eNB via direct Forward to Target eNB via indirect
eNB tunnel over X2 interface tunnel over S1 interface
Handling of DL packets at Target Buffering
eNB
2575
2576
2577 1.4.3.6 Handover Completion
2578 - After the UE has successfully accessed the target eNB, the target eNB informs MME that the UE has
2579 changed eNB.
2580 - S-GW switches the DL data path to the target eNB, and the source eNB releases resources associated
2581 to the UE context
2582 -

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2583
2584 Figure 1.4-6 Handover Completion
X2 Handover S1 Handover
Message for path switch PATH SWITCH REQUEST HANDOVER NOTIFY (Target
(Target eNB → MME) eNB → MME)
PATH SWITCH REQUEST ACK
(Target eNB ← MME)
Resource release at Source eNB Triggered by Target eNB Triggered by MME
2585
2586
2587
2588 1.4.4 Handover Flows
2589
2590 The X2 Interface for the HeNB is not supported at Release9 Spec (TS36.300). (It is added at Release10 spec.)
2591 But A S-Pico supports the X2 interface inter S-Pico(s)under same HeNB-GW and inter S-Pico(s) under same
2592 MME.
2593 1.4.4.1 S1-based handover
2594 The S1-based handover procedure is used when the X2-based handover cannot be used. The source eNodeB
2595 initiates a handover by sending Handover Required message over the S1-MME reference point.

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2596
2597 Figure 1.4-7. S1-based Handover Flow
2598
2599 1. The source eNodeB decides to initiate an S1-based handover to the target eNodeB. This can be triggered e.g.
2600 by no X2 connectivity to the target eNodeB, or by an error indication from the target eNodeB after an
2601 unsuccessful X2-based handover, or by dynamic information learnt by the source eNodeB.
2602 2. The source eNodeB sends Handover Required (Direct Forwarding Path Availability, Source to Target
2603 transparent container, target eNodeB Identity, CSG ID, CSG access mode, target TAI, S1AP Cause) to the

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2604 source MME. The source eNodeB indicates which bearers are subject to data forwarding. Direct Forwarding
2605 Path Availability indicates whether direct forwarding is available from the source eNodeB to the target eNodeB.
2606 This indication from source eNodeB can be based on e.g. the presence of X2. The target TAI is sent to MME to
2607 facilitate the selection of a suitable target MME. When the target cell is a CSG cell or a hybrid cell, the source
2608 eNodeB shall include the CSG ID of the target cell. If the target cell is a hybrid cell, the CSG access mode shall
2609 be indicated.
2610 3. The source MME selects the target MME as described in TS23.401 clause 4.3.8.3 on "MME Selection
2611 Function" and if it has determined to relocate the MME, it sends a Forward Relocation Request (MME UE
2612 context, Source to Target transparent container, RAN Cause, target eNodeB Identity, CSG ID, CSG
2613 Membership Indication, target TAI, MS Info Change Reporting Action (if available), CSG Information
2614 Reporting Action (if available), UE Time Zone, Direct Forwarding Flag) message to the target MME. The target
2615 TAI is sent to the target MME to help it to determine whether S-GW relocation is needed (and, if needed, aid
2616 SGW selection).
2617 The source MME shall perform access control by checking the UE's CSG subscription when CSG ID is
2618 provided by the source eNodeB. If there is no subscription data for this CSG ID or the CSG subscription is
2619 expired, and the target cell is a CSG cell, the source MME shall reject the handover with an appropriate cause
2620 unless the UE has emergency bearer services.
2621 The MME UE context includes IMSI, ME Identity, UE security context, UE Network Capability, AMBR,
2622 Selected CN operator ID, APN restriction, Serving GW address and TEID for control signalling, and EPS
2623 Bearer context(s).
2624 An EPS Bearer context includes the PDN GW addresses and TEIDs (for GTP-based S5/S8) or GRE keys (for
2625 PMIP-based S5/S8) at the PDN GW(s) for uplink traffic, APN, Serving GW addresses and TEIDs for uplink
2626 traffic, and TI. RAN Cause indicates the S1AP Cause as received from source eNodeB.
2627 The source MME includes the CSG ID in the Forward Relocation Request when the target cell is a CSG or
2628 hybrid cell. If the target cell is a hybrid cell, or if there are one or several emergency bearers and the target cell
2629 is a CSG cell, the CSG Membership Indication indicating whether the UE is a CSG member shall be included in
2630 the Forward Relocation Request message.
2631 The Direct Forwarding Flag indicates if direct forwarding is applied, or if indirect forwarding is going to be set
2632 up by the source side.
2633 The target MME shall determine the Maximum APN restriction based on the APN Restriction of each bearer
2634 context in the Forward Relocation Request, and shall subsequently store the new Maximum APN restriction
2635 value.
2636 If the UE receives only emergency services and the UE is UICCless, IMSI can not be included in the MME UE
2637 context in Forward Relocation Request message. For emergency attached UEs, if the IMSI cannot be
2638 authenticated, then the IMSI shall be marked as unauthenticated. Also, in this case, security parameters are
2639 included only if available.
2640 4. If the MME has been relocated, the target MME verifies whether the source Serving GW can continue to
2641 serve the UE. If not, it selects a new Serving GW as described in TS23.401 clause 4.3.8.2 on "Serving GW
2642 Selection Function". If the MME has not been relocated, the source MME decides on this Serving GW re -
2643 selection.
2644 If the source Serving GW continues to serve the UE, no message is sent in this step. In this case, the target
2645 Serving GW is identical to the source Serving GW.If a new Serving GW is selected, the target MME sends a
2646 Create Session Request (bearer context(s) with PDN GW addresses and TEIDs (for GTP-based S5/S8) or GRE
2647 keys (for PMIP-based S5/S8) at the PDN GW(s) for uplink traffic, Serving Network, UE Time Zone) message
2648 per PDN connection to the target Serving GW. The target Serving GW allocates the S-GW addresses and TEIDs
2649 for the uplink traffic on S1_U reference point (one TEID per bearer). The target Serving GW sends a Create
2650 Session Response (Serving GW addresses and uplink TEID(s) for user plane) message back to the target MME.
2651 5. The Target MME sends Handover Request (EPS Bearers to Setup, AMBR, S1AP Cause, Source to Target
2652 transparent container, CSG ID, CSG Membership Indication, Handover Restriction List) message to the target
2653 eNodeB. This message creates the UE context in the target eNodeB, including information about the bearers,
2654 and the security context. For each EPS Bearer, the Bearers to Setup includes Serving GW add ress and uplink

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2655 TEID for user plane, and EPS Bearer QoS. If the direct forwarding flag indicates unavailability of direct
2656 forwarding and the target MME knows that there is no indirect data forwarding connectivity between source and
2657 target, the Bearers to Setup shall include "Data forwarding not possible" indication for each EPS bearer.
2658 Handover Restriction List is sent if available in the Target MME; it is described in TS23.401 clause 4.3.5.7
2659 "Mobility Restrictions".
2660 S1AP Cause indicates the RAN Cause as received from source MME.
2661 The Target MME shall include the CSG ID and CSG Membership Indication when provided by the source
2662 MME in the Forward Relocation Request message.
2663 The target eNodeB sends a Handover Request Acknowledge (EPS Bearer Setup list, EP S Bearers failed to
2664 setup list Target to Source transparent container) message to the target MME. The EPS Bearer Setup list
2665 includes a list of addresses and TEIDs allocated at the target eNodeB for downlink traffic on S1-U reference
2666 point (one TEID per bearer) and addresses and TEIDs for receiving forwarded data if necessary. If the UE-
2667 AMBR is changed, e.g. all the EPS bearers which are associated to the same APN are rejected in the target
2668 eNodeB, the MME shall recalculate the new UE-AMBR and signal the modified UE-AMBR value to the target
2669 eNodeB.
2670 If none of the default EPS bearers have been accepted by the target eNodeB, the target MME shall reject the
2671 handover as specified in TS23.401 clause 5.5.1.2.3.
2672 If the target cell is a CSG cell, the target eNodeB shall verify the CSG ID provided by the target MME, and
2673 reject the handover with an appropriate cause if it does not match the CSG ID for the target cell. If the target
2674 eNodeB is in hybrid mode, it may use the CSG Membership Indication to perform differentiated treatment for
2675 CSG and non-CSG members. If the target cell is a CSG cell, and if the CSG Membership Indication is "non
2676 member", the target eNodeB only accepts the emergency bearers.
2677 6. If indirect forwarding applies and the Serving GW is relocated, the target MME sets up forwarding
2678 parameters by sending Create Indirect Data Forwarding Tunnel Request (target eNodeB addresses and TEIDs
2679 for forwarding) to the Serving GW. The Serving GW sends a Create Indirect Data Forwarding Tunnel Response
2680 (target Serving GW addresses and TEIDs for forwarding) to the target MME. If the Serving GW is not relocated,
2681 indirect forwarding may be set up in step 8 below.
2682 Indirect forwarding may be performed via a Serving GW which is different from the Serving GW used as th e
2683 anchor point for the UE.
2684 7. If the MME has been relocated, the target MME sends a Forward Relocation Response (Cause, Target to
2685 Source transparent container, Serving GW change indication, EPS Bearer Setup List, Addresses and TEIDs)
2686 message to the source MME. For indirect forwarding, this message includes Serving GW Address and TEIDs
2687 for indirect forwarding (source or target). Serving GW change indication indicates a new Serving GW has been
2688 selected.
2689 8. If indirect forwarding applies, the source MME sends Create Indirect Data Forwarding Tunnel Request
2690 (addresses and TEIDs for forwarding) to the Serving GW. If the Serving GW is relocated it includes the tunnel
2691 identifier to the target serving GW.
2692 The Serving GW responds with a Create Indirect DataForwarding Tunnel Response (Serving GW addresses
2693 and TEIDs for forwarding) message to the source MME.
2694 Indirect forwarding may be performed via a Serving GW which is different from the Serving GW used as the
2695 anchor point for the UE.
2696 9. The source MME sends a Handover Command (Target to Source transparent container, Bearers subject to
2697 forwarding, Bearers to Release) message to the source eNodeB. The Bearers subject to forwarding includes
2698 listof addresses and TEIDs allocated for forwarding. The Bearers to Release includes the list of bearers to be
2699 released.
2700 9a. The Handover Command is constructed using the Target to Source transparent container and is sent to the
2701 UE. Upon reception of this message the UE will remove any EPS bearers for which it did not receive the
2702 corresponding EPS radio bearers in the target cell.

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2703 If there is no response from the EPC to the HANDOVER REQUIRED message before timer TS1RELOCprep
2704 expires in the source eNB, the source eNB should cancel the Handover Preparation procedure by initiatin g the
2705 Handover Cancel procedure with the appropriate value for the CauseIE. The source eNB shall ignore any
2706 HANDOVER COMMAND or HANDOVER PREPARATION FAILURE message received after the initiation
2707 of the Handover Cancel procedure. Commented [i3]:
2708 10. The source eNodeB sends the eNodeB Status Transfer message to the target eNodeB via the MME(s) to
2709 convey the PDCP and HFN status of the E-RABs for which PDCP status preservation applies, as specified in TS
2710 36.300 [5]. The source eNodeB may omit sending this message if none of the E-RABs of the UE shall be treated
2711 with PDCP status preservation.
2712 If there is an MME relocation the source MME sends thisinformation to the target MME via the Forward
2713 Access Context Notification message which the target MME acknowledges. The source MME or, if the MME is
2714 relocated, the target MME, sends the information to the target eNodeB via the eNodeB Status Transfer message.
2715 11. The source eNodeB should start forwarding of downlink data from the source eNodeB towards the ta rget
2716 eNodeB for bearers subject to data forwarding. This may be either direct (step 11a) or indirect forwarding (step
2717 11b).
2718 12. After the UE has successfully synchronized to the target cell, it sends a Handover Confirm message to the
2719 target eNodeB. Downlink packets forwarded from the source eNodeB can be sent to the UE. Also, uplink
2720 packets can be sent from the UE, which are forwarded to the target Serving GW and on to the PDN GW.
2721 13. The target eNodeB sends a Handover Notify (TAI+ECGI) message to the target MME.
2722 14. If the MME has been relocated, the target MME sends a Forward Relocation Complete Notification ()
2723 message to the source MME. The source MME in response sends a Forward Relocation Complete Acknowledge
2724 () message to the target MME. Regardless if MME has been relocated or not, a timer in source MME is started
2725 to supervise when resources in Source eNodeB and if the Serving GW is relocated, also resources in Source
2726 Serving GW shall be released.
2727 Upon receipt of the Forward Relocation Complete Acknowledge message the target MME starts a timer if the
2728 target MME allocated S-GW resources for indirect forwarding.
2729 15. The MME sends a Modify Bearer Request (eNodeB address and TEID allocated at the target eNodeB for
2730 downlink traffic on S1-U for the accepted EPS bearers, ISR Activated) message to the target Serving GW for
2731 each PDN connection, including the PDN connections that need to be released. If the PDN GW requested UE's
2732 location and/or User CSG information (determined fromthe UE context), the MME also includes the User
2733 Location Information IE and/or User CSG Information IE in this message. If the UE Time Zone has changed,
2734 the MME includes the UE Time Zone IE in this message. For the case that neither MME nor S-GW changed, if
2735 ISR was activated before this procedure MME should maintain ISR. The UE is informed about the ISR status in
2736 the Tracking Area Update procedure.
2737 The MME releases the non-accepted dedicated bearers by triggering the bearer release procedure as specified in
2738 TS23.401 clause 5.4.4.2. If the Serving GW receives a DL packetfor a non-accepted bearer, the Serving GW
2739 drops the DL packet and does not send a Downlink Data Notification to the MME.
2740 If the default bearer of a PDN connection has not been accepted by the target eNodeB and there are other PDN
2741 connections active, the MME shall handle it in the same way as if all bearers of a PDN connection have not
2742 been accepted. The MME releases these PDN connections bytriggering the MME requested PDN disconnection
2743 procedure specified in TS23.401 clause 5.10.3.
2744 When the Modify Bearer Request does not indicate ISR Activated the Serving GW deletes any ISR resources
2745 by sending a Delete Bearer Request to the other CN node that has bearer resources on the Serving GW reserved.
2746 16. If the Serving GW is relocated, the target Serving GW assigns addresses and TEIDs (one per bearer) for
2747 downlink traffic from the PDN GW. It sends a Modify Bearer Request (Serving GW addresses for user plane
2748 and TEID(s), Serving Network) message per PDN connection to the PDN GW(s). The S-GW also includes User
2749 Location Information IE and/or UE Time Zone IE and/or User CSG Information IE if they are present in step 15.
2750 The Serving GW allocates DL TEIDs on S5/S8 even for non-accepted bearers. The PDN GW updates its
2751 context field and returns a Modify Bearer Response (Charging Id, MSISDN) message to the target Serving GW.
2752 The MSISDN is included if the PDN GW has it stored in its UE context. The PDN GW starts sending

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2753 downlinkpackets to the target GW using the newly received address and TEIDs. These downlink packets will
2754 use the new downlink path via the target Serving GW to the target eNodeB.
2755 If the Serving GW is not relocated, but has received the User Location Information IE and/or UE Time Zone IE
2756 and/or User CSG Information IE from the MME in step 15, the Serving GW shall inform the PDN GW(s) about
2757 these information that e.g. can be used for charging, by sending the message Modify Bearer Request (User
2758 Location Information IE, UE Time Zone IE, User CSG Information IE) to the PDN GW(s ) concerned. A
2759 Modify Bearer Response message is sent back to the Serving GW.
2760 If the Serving GW is not relocated and it has not received User Location Information IE nor UE Time Zone IE
2761 nor User CSG Information IE from the MME in step 15, no message is sent in this step and downlink packets
2762 from the Serving-GW are immediately sent on to the target eNodeB.
2763 17. The target Serving GW sends a Modify Bearer Response message to the target MME. The message is a
2764 response to a message sent at step 15.
2765 If the Serving GW does not change, the Serving GW shall send one or more "end marker" packets on the old
2766 path immediately after switching the path in order to assist the reordering function in the target eNodeB.
2767 18. The UE initiates a Tracking Area Update procedure when one of the conditions listed in clause "Triggers for
2768 tracking area update" applies.
2769 The target MME knows that it is a Handover procedure that has been performed for this UE as it received the
2770 bearer context(s) by handover messages and therefore the target MME performs only a subset of the TA update
2771 procedure, specifically it excludes the context transfer procedures between source MME and target MME.
2772 19. When the timer started in step 14 expires the source MME sends a UE Context Release Command ()
2773 message to the source eNodeB. The source eNodeB releases its resources related to the UE and responds with a
2774 UE Context Release Complete () message. When the timer started in step 14 expires and if the source MME
2775 received the Serving GW change indication in the Forward Relocation Response message, it deletes the EPS
2776 bearer resources by sending Delete Session Request (Cause, LBI) messages to the Source Serving GW. Cause
2777 indicates to the Source Serving GW that the Serving GW changes and the Source Serving GW shall not initiate
2778 a delete procedure towards the PDN GW. The Source Serving GW acknowledges with Delete Session Response
2779 () messages. If ISR has been activated before this procedure, the cause also indicates to the Source S-GW that
2780 the Source S-GW shall delete the bearer resources on the other old CN node by sending Delete Bearer Request
2781 message(s) to that CN node.
2782 If the UE Context Release procedure is not initiated towards the eNB before the expiry of the timer
2783 TS1RELOCOverall, the eNB shall request the MME to release the UE context.
2784 20. If indirect forwarding was used then the expiry of the timer at source MME started at step 14 triggers the
2785 source MME to send a Delete Indirect Data Forwarding TunnelRequest message to the S-GW to release the
2786 temporary resources used for indirect forwardingthat were allocated at step 8.
2787 21. If indirect forwarding was used and the Serving GW isrelocated, then the expiry of the timer at target MME
2788 started at step 14 triggers the target MME to send a Delete Indirect Data Forwarding Tunnel Request message to
2789 the target S-GW to release temporary resources used for indirect forwarding that were allocated at step 6.
2790

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2791 1.4.4.1.1 Inbound (Hand-In) Handover Commented [i4]:

2792
2793 Figure 1.4-8 S1-based Inbound(Hand-In) Handover Flow
2794 1~2. The source eNB decides to initiate an S1-based handover to the target S-Pico.
2795 3. The source eNB sends HANDOVER REQUIRED ( Source to Target transparent container, target eNB
2796 Identity, CSG ID, CSG access mode, target TAI, S1AP Cause) to the source MME.
2797 4. The MME sends HANDOVER REQUEST (EPS Bearers to Setup, AMBR, S1AP Cause, Source to Target
2798 transparent container, CSG ID, CSG Membership Indication, Handover Restriction List) message to the target
2799 S-Pico.
2800 5. The target S-Pico sends a HANDOVER REQUESTACKNOWLEDGE (EPS Bearer Setup list, EPS Bearers
2801 failed to setup list Target to Source transparent container) message to the target MME.
2802 6. If indirect forwarding applies, the source MME sends Create Indirect Data Forwarding Tunnel Request
2803 (addresses and TEIDs for forwarding) to the Serving GW.
2804 7. The Serving GW responds with a Create Indirect DataForwarding Tunnel Response (Serving GW addresses
2805 and TEIDs for forwarding) message to the source MME.
2806 8. The MME sends a HANDOVER COMMAND (Target to Source transparent container, Bearers subject to
2807 forwarding, Bearers to Release) message to the source eNB.
2808 9. The Source eNB sends RRCConnectionReconfiguration(Handover Command, target C-RNTI) message to UE.

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2809 10. The source eNB sends the ENB STATUS TRANSFER message to the target S-PICO via the MME(s) to
2810 convey the PDCP and HFN status of the E-RABs for which PDCP status preservation applies, as specified in TS
2811 36.300.
2812 11. The MME sends the MME STATUS TRANSFER message to the target S-Pico.
2813 12. The source eNB should start forwarding of downlink data from the source eNB towards the target S-Pico for
2814 bearers subject to data forwarding.(Indirect forwarding)
2815 13~17. After the UE has successfully synchronized to the target cell, it sends a
2816 RRCConnectionReconfiguraionComplete (Handover Confirm) message to the target S-Pico.Downlink packets
2817 forwarded from the source eNB can be sent to the UE. Also, uplink packets can be sent from the UE, which are
2818 forwarded to the Serving GW and on to the PDN GW.
2819 18. The target S-Pico sends a HANDOVER NOTIFY (TAI+ECGI) message to the MME.
2820 19. The MME sends a Modify Bearer Request (eNodeB address and TEID allocated at the target S-Pico for
2821 downlink traffic on S1-U for the accepted EPS bearers, ISR Activated) message to the Serving GW for each
2822 PDN connection, including the PDN connections that need to be released.
2823 20. The Serving GW sends a Modify Bearer Response message to the MME.
2824 22. The MME sends a UE CONTEXT RELEASE COMMAND message to the source eNB.
2825 23. The source eNB releases its resources related to the UE and responds with a UE CONTEXT
2826 RELEASECOMPLETE message.
2827 24. The MME to send a Delete Indirect Data Forwarding TunnelRequest message to the S-GW to release the
2828 temporary resources used for indirect forwarding.
2829

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2830 1.4.4.1.2 Outbound (Hand-Out) Handover Commented [i5]:

2831
2832 1.4-9. S1-based Outbound(Hand-Out) Handover Flow
2833 1~2. The source S-Pico decides to initiate an S1-based handover to the target eNB.
2834 3. The source S-Pico sends HANDOVER REQUIRED ( Source to Target transparent container, target eNB
2835 Identity, CSG ID, CSG access mode, target TAI, S1AP Cause) to the source MME.
2836 4. The MME sends HANDOVER REQUEST (EPS Bearers to Setup, AMBR, S1AP Cause, Source to Target
2837 transparent container, CSG ID, CSG Membership Indication, Handover Restriction List) message to the target
2838 eNB.
2839 5. The target eNB sends a HANDOVER REQUESTACKNOWLEDGE (EPS Bearer Setup list, EPS Bearers
2840 failed to setup list Target to Source transparent container) message to the target MME.
2841 6. If indirect forwarding applies, the source MME sends Create Indirect Data Forwarding Tunnel Request
2842 (addresses and TEIDs for forwarding) to the Serving GW.
2843 7. The Serving GW responds with a Create Indirect DataForwarding Tunnel Response (Serving GW addresses
2844 and TEIDs for forwarding) message to the source MME.
2845 8. The MME sends a HANDOVER COMMAND (Target to Source transparent container, Bearers subject to
2846 forwarding, Bearers to Release) message to the source S-Pico.

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2847 9. The Source S-Pico sends RRCConnectionReconfiguration(Handover Command, target C-RNTI) message to
2848 UE.
2849 10. The source S-Pico sends the ENB STATUS TRANSFER message to the target eNB via the MME(s) to
2850 convey the PDCP and HFN status of the E-RABs for which PDCP status preservation applies, as specified in TS
2851 36.300.
2852 11. The MME sends the MME STATUS TRANSFER message to the target eNB.
2853 12. The source S-Pico should start forwarding of downlink data from the source S-Pico towards the target eNB
2854 for bearers subject to data forwarding.(Indirect forwarding)
2855 13~17. After the UE has successfully synchronized to the target cell, it sends a
2856 RRCConnectionReconfiguraionComplete (Handover Confirm) message to the target eNB.Downlink packets
2857 forwarded from the source S-Pico can be sent to the UE. Also, uplink packets can be sent from the UE, which
2858 are forwarded to the Serving GW and on to the PDN GW.
2859 18. The target eNB sends a HANDOVER NOTIFY (TAI+ECGI) message to the MME.
2860 19. The MME sends a Modify Bearer Request (eNodeB address and TEID allocated at the target eNB for
2861 downlink traffic on S1-U for the accepted EPS bearers, ISR Activated) message to the Serving GW for each
2862 PDN connection, including the PDN connections that need to be released.
2863 20. The Serving GW sends a Modify Bearer Response message to the MME.
2864 22. The MME sends a UE CONTEXT RELEASE COMMAND message to the source S-Pico.
2865 23. The source eNB releases its resources related to the UE and responds with a UE CONTEXT
2866 RELEASECOMPLETE message.
2867 24. The MME to send a Delete Indirect Data Forwarding TunnelRequest message to the S-GW to release the
2868 temporary resources used for indirect forwarding.
2869

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2870 1.4.4.1.3 Inter S-Pico Handover Commented [i6]:

2871
2872 Figure 1.4-10S1-based Inter S-Pico Handover Flow
2873 1~2. The source S-Pico decides to initiate an S1-based handover to the target S-Pico.
2874 3. The source S-Pico sends HANDOVER REQUIRED ( Source to Target transparent container, target eNB
2875 Identity, CSG ID, CSG access mode, target TAI, S1AP Cause) to the source MME.
2876 4. The MME sends HANDOVER REQUEST (EPS Bearers to Setup, AMBR, S1AP Cause, Source to Target
2877 transparent container, CSG ID, CSG Membership Indication, Handover Restriction List) message to the target
2878 S-Pico.
2879 5. The target S-Pico sends a HANDOVER REQUESTACKNOWLEDGE (EPS Bearer Setup list, EPS Bearers
2880 failed to setup list Target to Source transparent container) message to the MME.
2881 6. If indirect forwarding applies, the source MME sends Create Indirect Data Forwarding Tunnel Request
2882 (addresses and TEIDs for forwarding) to the Serving GW.
2883 7. The Serving GW responds with a Create Indirect DataForwarding Tunnel Response (Serving GW addresses
2884 and TEIDs for forwarding) message to the source MME.
2885 8. The MME sends a HANDOVER COMMAND (Target to Source transparent container, Bearers subject to
2886 forwarding, Bearers to Release) message to the source S-Pico.

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2887 9. The Source S-Pico sends RRCConnectionReconfiguration(Handover Command, target C-RNTI) message to
2888 UE.
2889 10. The source S-Pico sends the ENB STATUS TRANSFER message to the target S-Picovia the MME(s) to
2890 convey the PDCP and HFN status of the E-RABs for which PDCP status preservation applies, as specified in TS
2891 36.300.
2892 11. The MME sends the MME STATUS TRANSFER message to the target S-Pico.
2893 12. The source S-Pico should start forwarding of downlink data from the source S-Pico towards the target S-
2894 Pico for bearers subject to data forwarding.(Indirect forwarding)
2895 13~17. After the UE has successfully synchronized to the target cell, it sends a
2896 RRCConnectionReconfiguraionComplete (Handover Confirm) message to the target S-Pico.Downlink packets
2897 forwarded from the source S-Pico can be sent to the UE. Also, uplink packets can be sent from the UE, which
2898 are forwarded to the Serving GW and on to the PDN GW.
2899 18. The target S-Pico sends a HANDOVER NOTIFY (TAI+ECGI) message to the MME.
2900 19. The MME sends a Modify Bearer Request (eNodeB address and TEID allocated at the target S-Pico for
2901 downlink traffic on S1-U for the accepted EPS bearers, ISR Activated) message to the Serving GW for each
2902 PDN connection, including the PDN connections that need to be released.
2903 20. The Serving GW sends a Modify Bearer Response message to the MME.
2904 22. The MME sends a UE CONTEXT RELEASE COMMAND message to the source S-Pico.
2905 23. The source S-Pico releases its resources related to the UE and responds with a UE CONTEXT
2906 RELEASECOMPLETE message.
2907 24. The MME to send a Delete Indirect Data Forwarding TunnelRequest message to the S-GW to release the
2908 temporary resources used for indirect forwarding.
2909

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2910 1.4.4.1.4 Inbound Handover (with changing MME and S-GW)

2911
2912

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2913 1.4.4.1.5 Outbound Handover (with changing MME and S-GW)

2914
2915

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2916 1.4.4.1.6 Inter S-Pico Handover(with changing HeNB GW)

2917
2918
2919 1.4.4.2 X2-based handover
2920 X2-Based handover procedures are used to hand over a UE from a source eNodeB to a target eNodeB using the
2921 X2 reference point. In these procedures the MME is unchanged. Two procedures are defined depending on
2922 whether the Serving GW is unchanged or is relocated.

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2923 1.4.4.2.1 Inter S-Pico Handover (without MME changing)

2924
2925

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2926 1.4.4.2.2 Inter S-Pico Handover (with S-GW changing)

2927
2928
2929
2930 1.4.5 Handover Messages
2931 1.4.5.1 RRC Messages
2932  RRCConnectionReconfiguration
2933  RRCConnectionReconfigurationComplete
2934  Measurement Report
2935
2936 1.4.5.2 S1 Messages
2937  HANDOVER REQUIRED
2938  HANDOVER COMMAND
2939  HANDOVER PREPARATION FAILURE
2940  HANDOVER REQUEST
2941  HANDOVER REQUEST ACKNOWLEDGE

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2942  HANDOVER FAILURE

2943  HANDOVER CANCEL
2944  HANDOVER CANCEL ACKNOWLEDGE
2945  UE CONTEXT RELEASE COMMAND
2946  UE CONTEXT RELEASE COMPLETE
2947  ENB STATUS TRANSFER
2948  MME STATUS TRANSFER
2949  HANDOVER NOTIFY
2950
2951 1.4.5.3 X2 Messages
2952  HANDOVER REQUEST
2953  HANDOVER REQUEST ACKNOWLEDGE
2954  HANDOVER PREPARATION FAILURE
2955  HANDOVER CANCEL
2956  UE CONTEXT RELEASE
2957  SN STATUS TRANSFER
2958
2959 1.4.6 Function Design
2960
2961 1.4.6.1 DL Packet forwarding
2962

2963
2964 Figure 1.4-11 DL Packet forwarding
2965
2966 1.4.6.2 Handover scenario
2967 There are handover scenarios in HeNB as follows:

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2968  Inter S-Pico (S-Pico to S-Pico)

2969  Outbound (S-Pico to macro Handover)
2970  Inbound (macro to S-Pico Handover)
2971  Inter Frequency
2972  Inter PLMN
2973

2974
2975 Figure 1.4-12. Handover Scenario for S-Pico (Phase1, Rel9)
2976
2977 1.4.6.2.1 Inbound (macro to S-Pico) Handover
2978  S1 HO without MME without S-GW indirect
2979  S1 HO without MME with S-GW indirect
2980  S1 HO with MME without S-GW indirect
2981  S1 HO with MME with S-GW indirect
2982
2983 1.4.6.2.2 Outbound (S-Pico to macro) Handover
2984  S1 HO without MME without S-GW indirect
2985  S1 HO without MME with S-GW indirect
2986  S1 HO with MME without S-GW indirect
2987  S1 HO with MME with S-GW indirect
2988
2989 1.4.6.2.3 Inter S-Pico Handover
2990 1) [S-Pico under HeNBGW] to [S-Pico under HeNBGW] ( under same HeNBGW )
2991  X2 HO without MME without S-GW
2992  X2 HO without MME with S-GW
2993  S1 HO without MME without S-GW indirect

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2994  S1 HO without MME with S-GW indirect

2995
2996 2) [S-Pico under HeNBGW(*1)] to [S-Pico under HeNBGW(*2)] ((*1) is different from (*2))
2997  S1 HO without MME without S-GW indirect
2998  S1 HO without MME with S-GW indirect
2999  S1 HO with MME without S-GW indirect
3000  S1 HO with MME with S-GW indirect
3001
3002 3) [S-Pico without HeNBGW] to [S-Pico without HeNBGW] ( under same MME )
3003  X2 HO without MME without S-GW
3004  X2 HO without MME with S-GW
3005  S1 HO without MME without S-GW indirect
3006  S1 HO without MME with S-GW indirect
3007
3008 4) Between [S-Pico without HeNBGW] to [S-Pico under HeNBGW]
3009  S1 HO without MME without S-GW indirect
3010  S1 HO without MME with S-GW indirect
3011  S1 HO with MME without S-GW indirect
3012  S1 HO with MME with S-GW indirect
3013
3014 1.4.6.2.4 Inter Frequency Handover
3015 S-Pico shall support Inter Frequency handover in same band.
3016
3017 1.4.6.2.5 Inter TDD-FDD Handover
3018 S-Pico shall support Inter TDD-FDD handover. This scenario is used to VoLTE fallback procedure.
3019
3020 1.4.6.2.6 Inter PLMN Handover
3021 S-Pico shall support handover between cells, which are diffent Primary PLMN from each other. And S-Pico
3022 shall support cell selection during handover according to Handover Restriction List.
3023
3024 1.4.6.3 Process handover failure
3025 S-Pico shalluse handover-timer to support processing handover failure, and S-Pico shall support handover
3026 failure message like as S1AP::HANDOVER PREPARATION FAILURE, X2AP::HANDOVER
3027 PREPARATION FAILURE.
3028 S-Pico shall support handover failure as follows:
3029 1) S1-Based Handover
3030  If there is no response from the EPC to the HANDOVER REQUIRED message before timer
3031 TS1RELOCprep expires in the source eNB, the source eNB should cancel the Handover Preparation
3032 procedure by initiating the Handover Cancel procedure with the appropriate value for the CauseIE.

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3033 The source eNB shall ignore any HANDOVER COMMAND or HANDOVER PREPARATION
3034 FAILURE message received after the initiation of the Handover Cancel procedure.
3035  If UE Context Release procedure is not initiated towards the eNB before the expiry of the
3036 timer TS1RELOCOverall, the eNB shall request the MME to release the UE context.
3037  If S-Pico receives S1AP::HANDOVER PREPARATION FAILURE, then S-Pico shall stop
3038 the timer(TS1RELOCprep) and shall keep the UE's start as RRC Connected.
3039  If S-Pico don't received RRCConnectionREconfigurationComplete message until timer is
3040 expired, then S-Pico shall send S1AP::UE CONTEXT RELEASE REQUSET to MME.
3041 2) X2-Based Handover
3042  If there is no response from the target eNB to the HANDOVER REQUEST message before
3043 timer TRELOCprepexpires in the source eNB, the source eNB should cancel the Handover
3044 Preparation procedure towards the target eNB by initiating the Handover Cancel procedure with the
3045 appropriate value for the CauseIE. The source eNB shall ignore any HANDOVER REQUEST
3046 ACKNOWLEDGE or HANDOVER PREPARATION FAILURE message received after the initiation
3047 of the Handover Cancel procedure and remove any reference and release any resources related to the
3048 concerned X2 UE-associated signalling.
3049  If S-Pico(Source eNB) detects the TRELOCprep timer expired,then S-Pico shall send
3050 X2AP::HANDOVER CANCEL against Target eNB and shall keep the UE's state as RRC Connected.
3051  If S-Pico receives X2AP::HANDOVER PREPARATION FAILURE, then S-Pico shall stop
3052 the timer(TS1RELOCprep) and shall keep the UE's start as RRC Connected.
3053  If S-Pico(Target eNB) don't received RRCConnectionReconfigurationComplete message until
3054 timer is expired, then S-Pico shall NOT send RRC::RRC Connection Release against UE, shall NOT
3055 send S1AP::UE CONTEXT RELEASE REQUSET to MME and shall keep the UE's start as RRC
3056 Connected.
3057  If S-Pico(Target eNB) receives X2AP::PATHSWITCH REQUEST FAILURE in X2-based
3058 Handover, then S-Pico shall send RRC::RRC Connection Release to UE.
3059  If S-Pico(Target eNB) detects X2AP::PATHSWITCH REQUEST AKNOWLEDGE wait
3060 timer expired, then S-Pico shall send RRC::RRC Connection Release against UE.
3061
3062 1.4.6.4 Distinguish MME (supported Global eNB ID 28bit or 20bit)
3063 S-Pico shall decide the Global eNB ID for S1AP::HANDOVER REQUIRED message as follows :
3064 (1) S-Pico shall acquire information of MME type from system parameter. whether "20bit-supported MME" or
3065 "28bit-supported MME".
3066 (2-1) If the MME-type is “20bit supported MME”, then S-Pico shall set target Global eNB ID with MSB 20bit
3067 eNB ID.
3068 (2-2)If the MME-type is “28bit-supported MME”, then S-Pico shall set target Globa eNB ID with 28bit eNB ID.
3069
3070

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3071 1.4.7 Requirement Lists

No. Contents Support
S-Pico shall support S1 based Handover and X2 based Handover with the following Phase1
sub procedures :
-Support of S1 based IntraRAT handover procedure.
-Support of following S1AP Elementary Procedure:
-Handover Preparation
-Handover Resource Allocation
-Path Switch Request
-Handover Cancellation
-UE Context Release
L3-17-1 -Handover Notification
-UE Context Release Request
-eNB Status Transfer
-MME Status Transfer
-Support of X2 based IntraRAT handover procedure.
-Support of following X2AP Elementary Procedure:
-Handover Preparation
-Handover Cancel
-SN Status Transfer
-UE Context Release
S-Pico shall support Intra-Frequency X2 Handover from [S-Pico without HeNBGW] to Phase1
L3-17-2 [S-Pico without HeNBGW].
Under same MME.
S-Pico shall support Intra-Frequency S1 Handover from [S-Pico without HeNBGW] to Phase1
L3-17-3
[S-Pico without HeNBGW].
S-Pico shall support Intra-Frequency S1 Handover from [Macro eNB] to [S-Pico Phase1
L3-17-4
without HeNBGW].
S-Pico shall support Intra-Frequency S1 Handover from [S-Pico without HeNBGW] to Phase1
L3-17-5
[Macro eNB].
S-Pico shall support Intra-Frequency S1 Handover from [S-Pico without HeNBGW] to Phase1
L3-17-6
[S-Pico under HeNBGW].
S-Pico shall support Intra-Frequency S1 Handover from [Macro eNB] to [S-Pico under Phase1
L3-17-7
HeNBGW].
S-Pico shall support Intra-Frequency S1 Handover from [S-Pico under HeNBGW] to Phase1
L3-17-8
[S-Pico without HeNBGW].
S-Pico shall support Intra-Frequency S1 Handover from [S-Pico under HeNBGW] to Phase1
L3-17-9
[Macro eNB].
S-Pico shall support Intra-Frequency X2 Handover from [S-Pico under HeNBGW(*1)] Phase1
to [S-Pico under HeNBGW(*2)].
L3-17-10
(*1) is same as (*2).
S-Pico shall support Intra-Frequency S1 Handover from [S-Pico under HeNBGW(*1)] Phase1
to [S-Pico under HeNBGW(*2)].
L3-17-11
(*1) is same as (*2).
S-Pico shall support Intra-Frequency S1 Handover from [S-Pico under HeNBGW(*1)]
to [S-Pico under HeNBGW(*2)].
L3-17-12 Phase1
(*1) is different from (*2).
S-Pico shall support Inter-Frequency X2 Handover from [S-Pico without HeNBGW] to
L3-17-13 [S-Pico without HeNBGW]. Phase1
Under same MME.
S-Pico shall support Inter-Frequency S1 Handover from [S-Pico without HeNBGW] to
L3-17-14 Phase1
[S-Pico without HeNBGW].

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S-Pico shall support Inter-Frequency S1 Handover from [Macro eNB] to [S-Pico

L3-17-15 Phase1
without HeNBGW].
S-Pico shall support Inter-Frequency S1 Handover from [S-Pico without HeNBGW] to
L3-17-16 Phase1
[Macro eNB].
S-Pico shall support Inter-Frequency S1 Handover from [S-Pico without HeNBGW] to
L3-17-17 Phase1
[FDD eNB].
S-Pico shall support Inter-Frequency S1 Handover from [S-Pico without HeNBGW] to
L3-17-18 Phase1
[S-Pico under HeNBGW].
S-Pico shall support Inter-Frequency S1 Handover from [Macro eNB] to [S-Pico under
L3-17-19 Phase1
HeNBGW].
S-Pico shall support Inter-Frequency S1 Handover from [S-Pico under HeNBGW] to
L3-17-20 Phase1
[S-Pico without HeNBGW].
S-Pico shall support Inter-Frequency S1 Handover from [S-Pico under HeNBGW] to
L3-17-21 Phase1
[Macro eNB].
S-Pico shall support Inter-Frequency S1 Handover from [S-Pico under HeNBGW] to
L3-17-22 Phase1
[FDD eNB].
S-Pico shall support Inter-Frequency X2 Handover from [S-Pico under HeNBGW(*1)]
to [S-Pico under HeNBGW(*2)].
L3-17-23 Phase1
(*1) is same as (*2).
S-Pico shall support Inter-Frequency S1 Handover from [S-Pico under HeNBGW(*1)]
to [S-Pico under HeNBGW(*2)].
L3-17-24 Phase1
(*1) is same as (*2).
S-Pico shall support Inter-Frequency S1 Handover from [S-Pico under HeNBGW(*1)]
to [S-Pico under HeNBGW(*2)].
L3-17-25 Phase1
(*1) is different from (*2).
S-Pico shall support handover between MME(A) and MME(B) (The vender of (A) is
same as one of (B)).
S-Pico shall NOT support handover between MME(C) and MME(D) (The vender of
L3-17-26 Phase1
(C) is different from one of (D)).

(The reason of this feature is come from eNB ID issue (20bit vs 28bit)
L3-17-27 S-Pico shall support handover between different S-GWs. Phase1
S-Pico shall support the target cell selection during handover as follows :
-the target cell has good RSRP or good RSRQ.
-the target cell is registered on Neighbor Relation Table.
L3-17-28 Phase1
-the TA of the target cell is not included in Handover Restriction List.
-the PLMN-id of the target cell is selectedPLMN-id, or is one of the Equivalent
PLMNs IE on UE Context.
S-Pico shall configure the Event A3 (or A5) as Measurement Configuration for Intra-
L3-17-29 Phase1
Frequency Handover Trigger, in the timing of Initial Context Setup.
S-Pico shall configure the Event A2 as Measurement Configuration for Inter-
L3-17-30 Phase1
Frequency Handover Trigger, in the timing of Initial Context Setup.
When S-Pico receives the Measurement Report of Event A2 from UE, S-Pico shall
L3-17-31 configure the Event A3 (or A5) as Measurement Configuration for Inter-Frequency Phase1
Handover Trigger.
When S-Pico configures Measurement Configuration fo Inter-Frequency Handover
Trigger after receiving Measurement Report of Event A2, S-Pico shall delete the
L3-17-32 existing Event A2 Measurement Configuration and shall configure the Event A1 as Phase1
Measurement Configuration for deletion trigger of Inter-Frequency Handover Trigger
Measurement.
When S-Pico receives the Measurement Report of Event A1 from UE, S-Pico shall
L3-17-33 delete Measurement of Inter-Frequency, and shall re-configure the Event A2 for Phase1
starting trigger of Inter-Frequency Measurement.

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S-Pico shall support the system parameter, which indicate whether S-Pico uses the
L3-17-34
Event A3 or Event A5 for Measurement of Handover Trigger. Phase1
If the UE does not support Event A5, then S-Pico shall use the Event A3, even though
L3-17-35
the system parameter indicates Event A5 is used for Handover Trigger. Phase1
S-Pico shall support the system parameter, which indicate whether S-Pico uses RSRP
L3-17-36
or RSRQ for threshold or offset for each Measurement Report Event of Handover. Phase1
S-Pico shall support the system parameter, which show threshold value or offset value
L3-17-37
for each Measurement Report Event of Handover. Phase1
S-Pico shall support the independent system parameters, which show threshold value
L3-17-38
or offset value for Intra-Frequency Handover and for Inter-Frequency Handover. Phase1
S-Pico shall decide the Handover Type according to the following conditions :
- There is X2 connection between Source eNB and Target eNB
and
- Source eNB and Target eNB are in same MME Pool.
L3-17-39 then Phase1
==> X2 Based Handover.
- MME Pool of Source eNB is different from one of Target eNB.
then
==> S1 Based Handover (Indirect forwarding)
S-Pico shall perform following admission control at target eNB in Handover scenario:
- Number of connected UE
L3-17-40 - Number of DRB Phase1
- CPU resource
- S1 Overload
S-Pico (Source eNB) shall stop the TRELOCprep timer and shall keep the UE's state as
L3-17-43 RRC Connected, if the S-Pico receives X2AP::HANDOVER PREPARATION Phase1
FAILURE.
S-Pico (Source eNB) shall send X2AP::HANDOVER CANCEL against Target eNB
L3-17-44 and shall keep the UE's state as RRC Connected, if the S-Pico detects the Phase1
TRELOCprep timer expire.
S-Pico (Source eNB) shall send RRC::RRC Connection Release against UE, shall send
L3-17-45 S1AP::UE CONTEXT RELEASE REQUSET against MME, and shall release the UE Phase1
Context, if the S-Pico detects the TX2RELOCoverall timer expire.
S-Pico (Target eNB) shall NOT send RRC::RRC Connection Release against UE, shall
NOT send S1AP::UE CONTEXT RELEASE REQUSET against MME, and shall keep
L3-17-46 Phase1
the UE's start as RRC Connected, if the S-Pico detects the
RRCConnectionREconfigurationComplete wait timer expire.
S-Pico (Target eNB) shall send RRC::RRC Connection Release against UE, if the S-
L3-17-47 Phase1
Pico receives X2AP::PATHSWITCH REQUEST FAILURE.
S-Pico (Target eNB) shall send RRC::RRC Connection Release against UE, if the S-
L3-17-48 Phase1
Pico detects X2AP::PATHSWITCH REQUEST AKNOWLEDGE wait timer expire.
S-Pico (Source eNB) shall stop the timer and shall keep the UE's start as RRC
L3-17-49 Phase1
Connected, if the S-Pico receives S1AP::HANDOVER PREPARATION FAILURE.
S-Pico (Source eNB) shall send S1AP::HANDOVER CANCEL against Target MME
L3-17-50 and shall keep the UE's state as RRC Connected, if the S-Pico detects the Phase1
TS1RELOCprep timer expire.
S-Pico (Source eNB) shall send RRC::RRC Connection Release against UE, shall send
L3-17-51 S1AP::UE CONTEXT RELEASE REQUSET against MME, and shall release the UE Phase1
Context, if the S-Pico detects the TS1RELOCoverall timer expire.
S-Pico (Target eNB) shall send S1AP::UE CONTEXT RELEASE REQUSET against
L3-17-52 MME, if the S-Pico detects the RRCConnectionREconfigurationComplete wait timer Phase1
expire.
S-Pico shall support handover between cells, which are different Primary PLMN from
L3-17-53 Phase1
each other.
S-Pico shall support cell selection during handover according to Handover Restriction
L3-17-54 Phase1
List.

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S-Pico shall decide the Global eNB ID for S1AP::HANDOVER REQUIRED message
as follows :

(1) S-Pico shall prepare the array of value, which show whether "20bit-supported
MME" or "20/28bit-supported MME". The index of array is "PLMN-id" + "MME
Group ID".
(2) In S1-based Handover case, S-Pico shall perform conventional handover, if the
target cell is on Macro eNB. S-Pico shall perform handover as (3) through (5), if the
L3-17-55 Phase1
target cell is on HeNB.
(3) S-Pico shall determine the PLMN-id and MME Group ID from UE Context.
(4) S-Pico shall search the (1) according to (3), and determine type of MME.
(5-1) If the MME is "20bit-supported MME", then S-Pico shall set the MSB 20bit of
Home eNB ID(28bit) against Global eNB ID for S1AP::HANDOVER REQUIRED
message.
(5-2) If the MME is "20bit/28bit-supported MME", then S-Pico shall set directly Home
eNB ID(28bit) against Global eNB ID for S1AP::HANDOVER REQUIRED message.
S-Pico shall store the Equivalent PLMNs IE whenever S-Pico receives
L3-17-56 S1AP::HANDOVER REQUIRED message or X2AP::HANDOVER REQUEST Phase1
message.
S-Pico shall send the X2AP::HANDOVER REQUEST, which includes the Equivalent
L3-17-57 Phase1
PLMNs IE value on UE Context.
S-Pico shall support the following Handover patterns according to Annex-B :
- Direct/InDirect
L3-17-58 Phase1
- without S-GW change/with S-GW change
- without MME change/with MME change
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To prevent S-Pico from being over the upper limit of the number of controllable DRB(Data
Radio Bearer)s by a system, S-Pico shall monitor the total number of established DRBs(sum of
L3-15-4 DRBs established for each UE), and judge whether the total DRB congestion state is occurring Phase1
or not by comparing the total number of established DRBs with the threshold defined in the
system.
Related to above statement, S-Pico shall monitor the total number of established DRBs so that at
least Default Bearer which is established for each UE can be established.
L3-15-23 Phase1
Moreover, when S-Pico tries to establish multiple DRBs at a time, S-Pico shall perform
Admission Control in order of ARP.
S-Pico shall multiply total GBR of downlink Bearer in Cell and multiply total GBR of uplink
Bearer in Cell when S-Pico establish the Bearer which has 1-4 QCI (in other words, Resource
L3-15-5 Type GBR), and judge whether the GBR congestion state is occurring or not by comparing total Phase1
GBR with the threshold defined as a system parameter. Also, S-Pico shall manage the GBR
congestion state both in DL and in UL.
Related to above statement, when S-Pico tries to establish multiple DRBs at a time, S-Pico shall
L3-15-24 Phase1
perform Admission Control in order of ARP.
eNB shall manage the congestion state of MME, which is changed by receiving the message
L3-15-6 Phase1
S1AP: OVERLOAD START/OVERLOAD STOP sent from the MME.
eNB shall support the system parameters of the congestion control, which can be changed by
L3-15-7 operator under eNB operational. eNB shall re-judge the congestion states except CPU utilization Phase1
by using new threshold of system parameters, if it is changed by operator..
S-Pico shall support the admission control in the connected UE congestion state.
L3-15-8 In the connected UL congestion state, S-Pico shall reject the connection of a new call and HO Phase1
request from source eNB except for emergency call and high priority call.
Related to above statement, S-Pico shall reject the connection of a new call with
L3-15-9 Phase1
RRCConnectionReject for RRCConnectionRequest.
In the total DRB congestion state, S-Pico shall reject the request of establishing a new DRB
L3-15-10 Phase1
except for emergency call and high priority call.
In the total DRB congestion state, S-Pico shall reject the request of establishing a new DRB
L3-15-11 Phase1
except for emergency call and high priority call.
In the total DRB congestion state, S-Pico shall reject the request of establishing a new DRB
L3-15-12 Phase1
except for emergency call and high priority call.
When UE trys to connect S-Pico for purpose of establishing emergency call or high priority call,
if S-Pico is in the connected UE congestion state, S-Pico shall disconnect a UE which has neither
L3-15-13 Phase1
emergency call nor high priority call.
Where, S-Pico shall disconnect the UE that is not transmit and receive data for the longest time.
When S-Pico trys to establish emergency call bearer or high priority call bearer for a UE, if S-
Pico is in the established DRB congestion state for the UE, S-Pico shall disconnect a DRB in the
UE except for emergency call bearer and high priority call bearer.
L3-15-14 Phase1
Establishment of emergency call bearer or high priority call bearer shall be performed without
waiting the disconnection of a DRB, and S-Pico shall determine the disconnected DRB based on
ARP.
When S-Pico trys to establish emergency call bearer or high priority call bearer for a UE, if S-
Pico is in the total DRB congestion state, S-Pico shall disconnect a DRB except for emergency
call bearer and high priority call bearer.
L3-15-15 Phase1
Establishment of emergency call bearer or high priority call bearer shall be performed without
waiting the disconnection of a DRB, and S-Pico shall determine the disconnected DRB based on
ARP.
When S-Pico trys to establish emergency call bearer or high priority call bearer for a UE, if S-
Pico is in the GBR congestion state, S-Pico shall disconnect a GBR DRB except for emergency
call bearer and high priority call bearer.
L3-15-16 Phase1
Establishment of emergency call bearer or high priority call bearer shall be performed without
waiting the disconnection of a DRB, and S-Pico shall determine the disconnected DRB based on
ARP.
When selectable all MMEs are congested by admission control, eNB shall select the target MME
L3-15-17 from the MME(s), which have the smallest value of Overload ActionIE on S1AP:OVERLOAD Phase2
START message, by using round robin algorithm.
eNB shall support the system parameter of the admission control, which can be changed by
operator under eNB operational.
L3-15-18 eNB shall use the new system parameter value in the timing of next admission control event, if it Phase1
is changed by operator.
eNB shall NOT perform any action immediately after the system parameter is changed.

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When UE does not appoint specific MME as a target to connect, eNB shall select the target
L3-15-19 MME from the MME pool by using Relative MME Capacity as Weight Factor to avoid the Phase2
particular MME under heavy load.
eNB shall support the enable / disable of MME load sharing functionality to select the target
L3-15-20 MME to connect, by using system parameter. Phase2
eNB shall prioritize the judgement order of admission controls by the following order :
1. CPU utilization (highest priority)
2. MME
3. The number of connection UE
4. The number of establishment DRB
L3-15-21 5. GBR (Down) Phase1
6. GBR (UP)
7. Downlink traffic buffer utilization

eNB shall NOT perform the subsequent judgement of admission control, if one of the above
admission controls results failure.
The maximum number of connected UEs shall be configurable as a configuration file. The
L3-15-22 Phase1
parameter shall be configurable.
When UEs which have emergency call or high priority access only connect to S-Pico, priority
L3-15-25 Phase1
control of Admission Control shall not be performed.
When S-Pico cannot accept several DRBs that UE establishes in case of judgment of handover
request, S-Pico shall perform one of the following process.
L3-15-26 Phase1
Alternative 1: S-Pico rejects HO request.
Alternative 2: S-Pico accepts HO request, and establish several DRBs (not all) in order of ARP.
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