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For TIGO Use Only - October 2013

LTE CALL PROCESSING


OVERVIEW

STUDENT GUIDE

80-W2598-1 REV H
For TIGO Use Only - October 2013
For TIGO Use Only - October 2013

STUDENT GUIDE
80-W2598-1 REV H
For TIGO Use Only - October 2013

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LTE Call Processing Overview 80-W2598-1 Rev H

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Table of Contents

Section 1: Introduction.......................................................................................... 1-1


Course Overview .................................................................................................................. 1-2
Objectives ...................................................................................................................... 1-3
Introductions ...................................................................................................................... 1-4
Classroom Logistics ............................................................................................................. 1-5
Interacting Using Polling Software ............................................................................... 1-6
Topic Map ...................................................................................................................... 1-9
Introducing Charlie ........................................................................................................... 1-10
Course Icons .................................................................................................................... 1-11
To Provide Charlies Services ........................................................................................ 1-12
LTE UE and EPS Procedures .......................................................................................... 1-13
Topic Map .................................................................................................................... 1-14
Overall EPS Architecture................................................................................................. 1-15
E-UTRAN Entities/Functions ........................................................................................ 1-16
EPS Entities/Functions .................................................................................................... 1-17
E-UTRAN & EPC User Plane: Protocol Stack ........................................................... 1-18
EPS QoS Definitions and Parameters ......................................................................... 1-19
QoS Class Identifier (QCI) Service Characteristics ............................................... 1-20
3GPP References................................................................................................................. 1-21

Section 2: EPS Network Architecture ............................................................... 2-1


Objectives ...................................................................................................................... 2-2
Character, Device, Services, and Networks ............................................................... 2-3
EPS Networks in Wireless Town ................................................................................... 2-4
MMEs in ellTeEi Network ................................................................................................. 2-5
MME Areas, Tracking Areas, and eNB Cluster in ellTeEi ..................................... 2-6
Channels Used in ellTeEi eNBs (E-UTRAN) ............................................................... 2-7
PDN-GWs and APNs in ellTeEi Network..................................................................... 2-8
Charlies Subscription Information............................................................................... 2-9
Overall Wireless Town EPS Network Architecture.............................................. 2-10
Charlies Mobility and Services in ellTeEi Network ............................................. 2-11
LTE UE and EPS Procedures to Enable EPS Services .......................................... 2-12
Interactions .................................................................................................................... 2-14

Section 3: Idle Mode Procedures ....................................................................... 3-1


Objectives ...................................................................................................................... 3-2
To Provide Charlies Services .......................................................................................... 3-3
UE Idle Procedures .............................................................................................................. 3-4
UE RRC States and Procedures ....................................................................................... 3-5
Signaling Flow Overview................................................................................................... 3-6
Step A: Cell Selection........................................................................................................... 3-7
Charlies Device and Subscription ................................................................. 3-8
Band/Frequencies in ellTeEi (E-UTRAN) Network................................ 3-9
PLMN Selection/Initial Camping Overview ......................................... 3-10
How is the PLMN Selected? ............................................................................ 3-11
A-1) PLMN Selection for Charlie .................................................................. 3-12
A-1) System Acquisition for Charlie ........................................................... 3-13
A-2) System Information Broadcast ........................................................... 3-14

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A-2) Master Information Block (MIB)........................................................ 3-15


A-2) MIB Collected for Charlie ...................................................................... 3-16
Other Performance Criteria ........................................................................................... 2-17
A-2) System Information Block SIB Type 1.......................................... 3-17
A-2) Cell Access ................................................................................................... 3-18
A-2) Cells and Services ..................................................................................... 3-19
A-2) Cell Selection Radio Suitability Criteria .......................................... 3-20
A-2) System Information Blocks (SIBs) .................................................... 3-21
A-2) SI Scheduling for ellTeEi Network .................................................... 3-22
A-2) System Information Block SIB Type 2.......................................... 3-23
A-3) Paging and DRX Example ...................................................................... 3-24
A-3) SIB Change Monitoring .......................................................................... 3-25
A-3) SIB Change Notification ......................................................................... 3-26
Random Access Parameters in SIB2 ........................................................... 3-27
Contention Based RACH Procedure ............................................................ 3-28
RACH Procedure
Step 1 ....................................................................................................... 3-29
Step 2 ....................................................................................................... 3-30
Steps 3 & 4 ............................................................................................. 3-31
Constants and Timers ....................................................................................... 3-32
Step B: Cell Reselection.................................................................................................... 3-33
B-1) System Information Block SIB Type 3.......................................... 3-34
B-1) System Information Block SIB Type 4.......................................... 3-35
B-1) Intra-Frequency Cell Reselection ...................................................... 3-36
B-1) Intra-frequency Cell Reselection Example..................................... 3-37
B-1) Charlie Performs Cell Reselection to PCI 50 ................................. 3-38
B-1) Reselection and Mobility States ......................................................... 3-39
B-2) System Information Block SIB Type 5.......................................... 3-40
B-2) Non-Intra-Frequency Cell Reselection ............................................ 3-41
B-2) Inter Frequency and Inter RAT Cell Reselection ........................ 3-42
B-2) Inter-Frequency Cell Reselection Example ................................... 3-43
B-2) Equal Priority Inter-Frequency Reselection Scenario .............. 3-44
B-2) Non-Equal Priority Inter-Frequency Reselection Scenario ... 3-45
B-2) Non-Equal Priority Inter-Frequency Reselection Scenario ... 3-46
Reselection to Other RATs .............................................................................. 3-47
System Information Block
SIB Type 6 - UTRAN ........................................................................... 3-48
SIB Type 8 CDMA2000 HRPD..................................................... 3-49
SIB Type 8 CDMA2000 1xRTT ................................................... 3-50
Summary: Idle Mode Procedures ................................................................................ 3-51
Interactions .................................................................................................................... 3-52
Key Takeaways.................................................................................................................... 3-62

Section 4: EPS Registration and EPS Bearer Establishment .................... 4-1


Objectives ...................................................................................................................... 4-2
To Provide Charlies Services .......................................................................................... 4-3
EPS Services as Charlie Moves Through the EPS Network ................................. 4-4
Initial EPS Attach Procedure Overview ...................................................................... 4-5

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Functions in EPS to Support Registration .................................................................. 4-6


Bearer(s) Established during the EPS Registration ............................................... 4-7
Register with EPS Network .............................................................................................. 4-8
Step A: EPS Attach Procedure Initiation and MME Selection............................ 4-9
A-1) EPS Attach Procedure Initiation ........................................................ 4-10
A-1) Information used during Initial EPS Attach .................................. 4-11
A-1) Attach Request and PDN Connectivity Request ......................... 4-12
A-2) RRC Connection Request....................................................................... 4-13
A-2) RRC Connection Setup............................................................................ 4-14
A-2) RRC Connection Establishment ......................................................... 4-15
A-3) MME Selection Method .......................................................................... 4-16
A-3) MME Selection for Charlie .................................................................... 4-17
A-4) S1-MME Interface [eNB and MME] ................................................... 4-18
A-4) Logical S1 Connection Establishment ............................................. 4-19
A-4) NAS PDU Processing ............................................................................... 4-20
Exercise - EPS Attach Procedure Initiation and MME Selection .... 4-21
Answers .................................................................................................. 4-22
Step B: Authentication, NAS Security & Subscription Download .................. 4-23
B-1) S6a Interface [MME and HSS].............................................................. 4-24
B-1) Authentication Procedure .................................................................... 4-25
B-1) Authentication Vectors from HSS/AUC .......................................... 4-26
B-1) NAS Transport ........................................................................................... 4-27
B-2) Authentication and Key Agreement Procedure ........................... 4-28
B-2) Successful Authentication..................................................................... 4-29
B-3) NAS Security Activation ......................................................................... 4-30
B-3) NAS Security Activation ......................................................................... 4-31
B-4) Location & Subscriber Information Exchange ............................. 4-32
B-4) Location & Subscriber Information Exchange ............................. 4-33
Exercise - Authentication, NAS Security & Subscription
Download ............................................................................................... 4-34
Answers .................................................................................................. 4-35
Step C: S5/S11 EPS Bearer and IP-CAN Session Setup ....................................... 4-36
C-1) What is next at MME? ............................................................................. 4-37
C-1) Default APN Determination.................................................................. 4-38
C-1) PDN-GW Selection .................................................................................... 4-39
C-1) S-GW Selection........................................................................................... 4-40
C-2) Protocol on S11, S5 and S1-U Interface ........................................... 4-41
C-2) Tunnels in GTP Protocol ........................................................................ 4-42
C-2) S11 Bearer Establishment .................................................................... 4-43
C-2) S5 Bearer Establishment ....................................................................... 4-44
C-3) IP-CAN Establishment (Dynamic PCC) ............................................ 4-45
C-3) Download (additional) QoS Profiles from SPR............................. 4-46
C-3) Procedures at PCRF ................................................................................. 4-47
C-4) Procedures at P-GW ................................................................................ 4-48
C-4) Procedures at S-GW ................................................................................. 4-49
Exercise - S5/S11 EPS Bearer and IP-CAN Session Setup ................. 4-50
Answers .................................................................................................. 4-51

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Step D: Attach Accept and DRB Setup ........................................................................ 4-52


D-1) MMEs and Tracking Areas in ellTeEi ............................................... 4-53
D-1) EMM Attach Accept & Activate Default EPS Bearer Request 4-54
D-1) Initial Context (S1 Bearer Setup) ...................................................... 4-55
D-2) AS Security .................................................................................................. 4-56
D-3) UE Capability Exchange ......................................................................... 4-57
D-4) SRB2 and DRB Setup............................................................................... 4-58
Step E: Attach Procedure Completion ....................................................................... 4-59
E-1) eNB Complete EPS Bearer Setup ........................................................ 4-60
E-2) Completion of EPS Registration (E-RAB Setup)........................... 4-61
E-3) IPv6 Prefix Allocation ............................................................................. 4-62
Exercise - Attach Accept and DRB Setup .................................................. 4-63
Answers .................................................................................................. 4-64
End-to-End EPS Bearer and Dormancy..................................................................... 4-65
Summary Bearers, Tunnels, Keys, and IP Addresses ....................................... 4-66
Packet Data Dormancy What Remains? ................................................................ 4-67
Summary EPS Attach Procedure .............................................................................. 4-68
Paging for MT-Data............................................................................................................ 4-69
Overview Service Request Procedure .................................................................... 4-70
Network Triggered (Paging Procedure) ................................................................... 4-71
EPS Detach .................................................................................................................... 4-72
UE Initiated ........................................................................................................... 4-73
Network Initiated ............................................................................................... 4-74
Interactions .................................................................................................................... 4-75
Key Takeaways.................................................................................................................... 4-81

Section 5: Dedicated EPS Bearer Establishment and Multiple


PDN Connectivity ...................................................................................... 5-1
Objectives ...................................................................................................................... 5-2
To Provide Charlies Services .......................................................................................... 5-3
EPS Services as Charlie Moves Through the EPS Network ................................. 5-4
Overview Dedicated EPS Bearer Setup.................................................................... 5-5
Network Initiated Dedicated EPS Bearer Setup ...................................................... 5-6
Step A: Re-activate Default EPS Bearer ....................................................................... 5-7
A-1) Exercise RRC Connection Establishment ...................................... 5-8
Exercise Answers.................................................................................. 5-9
A-2) Re-activation of Default EPS Bearer ................................................. 5-10
Step B: IMS Client Registration ..................................................................................... 5-11
B) SDP Information in SIP INVITE ............................................................... 5-12
Step C: Initiating Dedicated EPS Bearer Setup ....................................................... 5-13
C-1) Rx Interface Signaling (Media and Filter Information)............. 5-14
C-1) Sp Interface Signaling (Charlies QoS Subscription) .................. 5-15
C-2) PCRF Actions: Binding Mechanisms and Policy Decision ........ 5-16
C-2) IP-CAN Session Modification ............................................................... 5-17
C-3) Dedicated EPS Bearer Setup (S5 and S11 I/f) .............................. 5-18
Step D: Dedicated EPS Bearer Setup .......................................................................... 5-19
D-1) ESM Activate Dedicated EPS Bearer Context Request .............. 5-20
D-2) S1-U RAB and DRB Setup Initiation.................................................. 5-21
D-2) S1-U RAB and DRB Setup Completion ............................................. 5-22
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Step E: Completing Dedicated EPS Bearer Setup .................................................. 5-23


E) Completion of Dedicated EPS E-RAB Setup ....................................... 5-24
Snapshot of Bearers, Tunnels, and Charging .......................................................... 5-25
Exercise - Network Initiated Dedicated EPS Bearer Setup ............................... 5-26
Answers .................................................................................................................. 5-27
UE Initiated Dedicated EPS Bearer Setup ................................................................ 5-28
Summary Dedicated EPS Bearer Establishment ................................................ 5-29
EPS Services as Charlie Moves Through the EPS Network ............................... 5-30
Overview Multiple PDN Connectivity..................................................................... 5-31
PDN Connectivity to Office APN ............................................................................... 5-32
A) APN in PDN Connectivity Request ..................................................... 5-33
B-1) PDN GW Selection and EPS Bearer Setup ...................................... 5-34
B-2) IP-CAN Session Setup and PCC Rule ................................................. 5-35
B-3) Charging ID and Uplink TEIDs ............................................................ 5-36
C) S1-U/DRB and Activate Default EPS Bearer Request .................... 5-37
Summary PDN Connectivity to Office APN ....................................................... 5-38
Data Routing Support in EPS ......................................................................................... 5-39
Overview Data Transport through EPS ................................................................. 5-40
Summary of Bearers, Tunnels, and Charging ......................................................... 5-41
and Mapping of Application Data to Bearers/Tunnels ................................... 5-42
UL Packet Filters to EPS Bearers Mapping at UE .................................................. 5-43
UL U-Plane Data Mappings on GTP-U Tunnel in EPS .......................................... 5-44
DL Packet Filters to EPS Bearers Mapping in EPS ................................................ 5-45
Interactions .................................................................................................................... 5-46
Key Takeaways.................................................................................................................... 5-52

Section 6: Mobility Management in Connected State ................................. 6-1


Objectives ...................................................................................................................... 6-2
To Provide Charlies Services .......................................................................................... 6-3
Connected Mode Procedures........................................................................................... 6-4
Connected Mode Mobility ................................................................................................. 6-5
UE Measurements Objects ............................................................................................ 6-6
Mobility Measurement Metrics ...................................................................................... 6-7
Mobility Measurement Reporting ................................................................................. 6-8
E-UTRA Event Parameters ............................................................................................... 6-9
Measurement Configuration Example ....................................................................... 6-10
Charlie is Configured to Make Measurements ....................................................... 6-11
When to Make Measurements ...................................................................................... 6-12
Charlie Reports Event A3 ................................................................................................ 6-13
Measurement Reports ...................................................................................................... 6-14
Intra-LTE Handover Types............................................................................................. 6-15
X2-based Handover ........................................................................................................... 6-16
Signaling Messages ........................................................................................... 6-17
Decision and Preparation ............................................................................... 6-18
X2 Handover
Execution I............................................................................................................. 6-19
Execution II and Completion ......................................................................... 6-20
Bearers, Tunnels, and Charging IDs prior to X2 Handover ............................... 6-21
Bearers, Tunnels, and Charging IDs after X2 Handover ..................................... 6-22
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Handover Complete .......................................................................................................... 6-23


S1 Handover Message Flow ........................................................................................ 6-24
S1-based Handover Signaling Messages .................................................................. 6-25
S1 Handover
Decision and Preparation I ............................................................................. 6-26
Preparation II ....................................................................................................... 6-27
Preparation III ..................................................................................................... 6-28
Execution I............................................................................................................. 6-29
Execution II ........................................................................................................... 6-30
Execution III and Completion ........................................................................ 6-31
Data Forwarding ................................................................................................. 6-32
Bearers, Tunnels, and Charging IDs
prior to S1 Handover ........................................................................................ 6-33
after S1 Handover .............................................................................................. 6-34
Summary: S-1 Based Handover .................................................................................... 6-35
Tracking Area Update
RRC Connected ................................................................................................... 6-36
RRC Idle ................................................................................................................. 6-37
Interactions .................................................................................................................... 6-38
Key Takeaways.................................................................................................................... 6-46
Appendix .................................................................................................................... 6-47
Tracking Area Update Procedure Overview ........................................................... 6-48
Tracking Area Update RRC Idle ............................................................................... 6-49
Tracking Area Update Request ..................................................................................... 6-50
MME EPC Context Exchange ......................................................................................... 6-51
EPC Context Update in S-GW and P-GW ................................................................... 6-52
HSS Update .................................................................................................................... 6-53
TAU Accept/Complete...................................................................................................... 6-54
Snapshot of Bearers, Tunnels, and Charging .......................................................... 6-55

Section 7: Radio Link Failure and Recovery .................................................. 7-1


Objectives ...................................................................................................................... 7-2
To Provide Charlies Services .......................................................................................... 7-3
Overview of Radio Link Failure Scenarios ................................................................. 7-4
Downlink Physical Layer Failure ................................................................................... 7-5
Recovery .................................................................................................................. 7-6
Random Access Problems................................................................................................. 7-7
Maximum RLC Retransmissions .................................................................................... 7-8
Handover Failure T304 Expiry ................................................................................... 7-9
Recovery from RLF Overview ................................................................................... 7-10
Charlies Scenario ............................................................................................................... 7-11
Recovery from RLF in the Same Cell .......................................................................... 7-12
RRC Connection Re-establishment in the Same Cell ........................................... 7-13
Handover Failure T304 Expiry ................................................................................ 7-14
Recovery from Handover Failure in a Different Cell ........................................... 7-15
Interactions .................................................................................................................... 7-16
Key Takeaways.................................................................................................................... 7-28

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Section 8: Inter-RAT Mobility in Connected State: UTRAN....................... 8-1


Objectives ...................................................................................................................... 8-2
To Provide Charlies Services .......................................................................................... 8-3
Charlies Mobility and Services in EllTeEi Network .............................................. 8-4
3GPP Interworking Architecture (S3/S4/S12)........................................................ 8-6
Control Plane Protocol Stack ........................................................................................... 8-7
User Plane Protocol Stack ................................................................................................. 8-8
3GPP Interworking (Legacy Gn/Gp) ............................................................................ 8-9
Registration for 3GPP Interworking ......................................................................... 8-10
Review: Handover Measurement Reporting .......................................................... 8-11
Measurements for IRAT Handover ............................................................................. 8-12
Charlie is Configured to Make Measurements ....................................................... 8-13
Charlie Reports Event A3 ................................................................................................ 8-14
Charlie is Configured to Make inter-RAT Measurements .................................. 8-15
Measurement Gap Configuration................................................................................. 8-16
Inter-RAT Measurement Report .................................................................................. 8-17
LTE to UTRAN Handover ................................................................................................ 8-18
Charlies Current Bearers, Tunnels, and Charging IDs ....................................... 8-19
IRAT Iu Handover (E-UTRAN to UTRAN) ................................................................ 8-20
IRAT Handover to UTRAN
Call Flow ................................................................................................................. 8-21
Decision and Preparation ............................................................................... 8-22
Pre Release 8 EPS Bearer Mapping............................................................................. 8-23
IRAT Handover to UTRAN
Preparation ........................................................................................................... 8-24
Data Forwarding ................................................................................................. 8-25
Execution I............................................................................................................. 8-26
Execution II ........................................................................................................... 8-27
Execution III.......................................................................................................... 8-28
Completion ............................................................................................................ 8-29
Handover Complete .......................................................................................................... 8-30
Routing Area Update: RRC Idle Mode ........................................................................ 8-31
IRAT Iu Handover (UTRAN to E-UTRAN) ................................................................ 8-32
IRAT Handover to E-UTRAN
Call Flow ................................................................................................................. 8-33
Decision and Preparation ............................................................................... 8-34
Preparation ........................................................................................................... 8-35
Execution I............................................................................................................. 8-36
Execution II ........................................................................................................... 8-37
Completion I ......................................................................................................... 8-38
Completion II........................................................................................................ 8-39
Completion III ...................................................................................................... 8-40
Summary IRAT Handover UTRAN to E-UTRAN ................................................. 8-41
Interactions .................................................................................................................... 8-42
Key Takeaways.................................................................................................................... 8-52

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Section 9: Inter-RAT Mobility in Connected State: CDMA2000


(eHRPD)....................................................................................................... 9-1
Objectives ...................................................................................................................... 9-2
To Provide Charlies Services .......................................................................................... 9-3
Charlies Mobility and Services in EllTeEi Network .............................................. 9-4
Network Architecture and Handover Optimizations ............................................ 9-6
EPS and eHRPD Network Architecture (Non-Optimized) ................................... 9-7
eHRPD and EPS Interworking with Optimized Handover .................................. 9-8
Handover Scenarios between LTE and eHRPD ....................................................... 9-9
Handover Optimizations from E-UTRAN to eHRPD ............................................ 9-10
Optimized versus Non-Optimized Handover ......................................................... 9-11
Pre-Registration ................................................................................................................. 9-12
eHRPD Pre-Registration Call Flow .............................................................................. 9-14
Idle Handover: E-UTRAN to eHRPD ........................................................................... 9-15
Idle Handover from E-UTRAN: With Pre-Registration ....................................... 9-16
Idle Handover from E-UTRAN: Without Pre-Registration .............................. 9-17
Active Handover: E-UTRAN to eHRPD ...................................................................... 9-19
Non-Optimized Active Handover from E-UTRAN ................................................. 9-20
Optimized Active Handover from E-UTRAN ........................................................ 9-22
Idle Handover: eHRPD to E-UTRAN ........................................................................... 9-24
Idle Handover from eHRPD .......................................................................................... 9-25
S101 Tunnel Redirection ................................................................................................ 9-26
S101 Tunnel Redirection ............................................................................................... 9-27
S101 Tunnel Redirection Call Flow ............................................................................ 9-28
Interactions .................................................................................................................... 9-29
Key Takeaways.................................................................................................................... 9-39

Section 10: Circuit Switched Fallback (CSFB): UTRAN ............................ 10-1


Objectives .................................................................................................................... 10-2
To Provide Charlies Services ........................................................................................ 10-3
What is Circuit Switched Fallback (CSFB)? ............................................................. 10-4
3GPP CSFB Architecture .................................................................................................. 10-5
SGs and S3 Protocol Stacks ............................................................................................ 10-6
SFB: Initial Attach............................................................................................................... 10-7
Initial Attach: Location Update ..................................................................................... 10-8
CSFB: Attach Accept .......................................................................................................... 10-9
CSFB Mobile Originated (MO) Call ........................................................................... 10-10
Active Mode
MO Call (UTRAN) PS Handover Supported ....................................... 10-11
MO Call (UTRAN) Redirection ................................................................ 10-12
Redirection Enhancements in Release 9 ............................................................... 10-13
CSFB Mobile Terminated (MT) Call ......................................................................... 10-14
Idle Mode: MT Call (UTRAN)
PS Handover Supported (I) ......................................................................... 10-15
Redirection (I) .................................................................................................. 10-17

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Active Mode: MT Call (UTRAN) ................................................................................. 10-19


Estimated Call Setup Delay Comparison ............................................................... 10-20
MT Roaming Retry .......................................................................................................... 10-21
Short Message Service (SMS) over SGs .................................................................. 10-22
SMS
Mobile Originated from Idle........................................................................ 10-23
Mobile Terminated from Idle ..................................................................... 10-24
Interactions ................................................................................................................. 10-25
Key Takeaways................................................................................................................. 10-35
Appendix A ................................................................................................................. 10-36
EPS Attach
(Non-Combined): IMS PS Voice Preferred ............................................ 10-37
(Combined): IMS PS Voice Preferred ..................................................... 10-38
(Combined): CS Voice Preferred .............................................................. 10-39
(Non-Combined): IMS PS Voice Only ..................................................... 10-40
(Non-Combined): CS Voice Only .............................................................. 10-41

Section 11: Enhanced Circuit Switched Fallback:


CDMA2000 1xRTT ................................................................................. 11-1
Objectives .................................................................................................................... 11-2
To Provide Charlies Services ........................................................................................ 11-3
What are the Options to Support Voice? ................................................................. 11-4
CSFB .................................................................................................................... 11-5
CSFB Advantages and Disadvantages ........................................................................ 11-6
3GPP2 CSFB Network Architecture ......................................................................... 11-7
E-UTRAN Functional Requirements for CSFB Support ..................................... 11-8
MME Functional Requirements for CSFB Support ............................................... 11-9
1xCS IWS Functional Requirements for CSFB Support ................................... 11-10
1x MSC Functional Requirements for CSFB Support ........................................ 11-11
1xRTT CSFB Registration ............................................................................................ 11-12
System Information Block SIB Type 8 CDMA2000 1xRTT ...................... 11-13
1xRTT CSFB Registration Call Flow ......................................................................... 11-14
Release 9 Enhancements for 1xRTT CSFB ........................................................... 11-15
MO Enhanced CSFB to 1xRTT Call Flow ................................................................ 11-16
MT Enhanced CSFB to 1xRTT Call Flow................................................................. 11-18
Typical Call Setup Time for 1X CSFB ....................................................................... 11-20
Interactions ................................................................................................................. 11-21
Key Takeaways................................................................................................................. 11-33

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Acronyms and Abbreviations

3G 3rd Generation
3GPP 3rd Generation Partnership Project
AAA Authentication, Authorization, and Accounting
ACK Acknowledgment
AES Advanced Encryption Standard
AF Application Function
AIPN All-IP Network
AKA Authentication and Key Agreement
AM Acknowledged Mode
AMBR Aggregate Maximum Bit Rate
AMC Adaptive Modulation and Coding
AMD Acknowledged Mode Data
AN Access Network
ANR Automatic Neighbor Relation
APN Access Point Name
APP Applications Portability Profile
ARFCN Absolute Radio Frequency Channel Number
ARP Allocation and Retention Priority
ARQ Automatic Repeat Request
AS Access Stratum
ASME Access Security Management Entity
AuC Authentication Center
AUTN Authentication result
AV Authentication Vector
AVP Attribute Value Pair
BCCH Broadcast Control Channel
BCH Broadcast Channel
BER Bit Error Rate
BI Backoff Indicator
BLER Block Error Rate
BP Bandwidth Part
BPSK Binary Phase Shift Keying
BSR Buffer Status Report
BW Bandwidth
CCCH Common Control Channel
CCE Control Channel Elements
Carrier Class Ethernet
CDD Cyclic Delay Diversity
CDM Code Division Multiplexed
CDMA Code Division Multiple Access
CDS Channel Dependent Scheduling
CFI Control Format Indicator
CN Core Network
CP Control Plane
Cyclic Prefix
C-Plane Control Plane
CPICH Common Pilot Channel
CQI Channel Quality Indicators

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CRC Cyclic Redundancy Check


C-RNTI Cell Radio Network Temporary Identifier
CS Circuit Switched
CSCF Call Session Control Function
CSG Closed Subscriber Group
CSI Channel Signal Information
CW Code Word
DCCH Dedicated Control Channel
DCI Downlink Control Information
DFT Discrete Fourier Transform
DFTS-OFDM Discrete Fourier Transform Spread Orthogonal Frequency Division
Multiplexing
DL Downlink
DL-SCH Downlink Shared Channel
DM Demodulation
DM-RS Demodulation Reference Signal
DRB Data Radio Bearer
DRX Discontinuous Reception
DS Data Services
DSCP Differentiated Services Code Point
DSMIP Dual Stack Mobile IP
DTCH Dedicated Traffic Channel
DTX Discontinuous Transmission
DwPTS Downlink Pilot Time Slot
E-AGCH Enhanced Absolute Granting Channel
EARFCN E-UTRA Absolute Radio Frequency Channel Number
ECGI E-UTRAN Cell Global Identifier
E-DCH Enhanced Dedicated Channel
EDGE Enhanced Data Rates for GSM Evolution
E-DPCCH Enhanced Dedicated Physical Control Channel
E-DPDCH Enhanced Dedicated Physical Data Channel
E-HICH Enhanced Hybrid Indicator Channel
EEA EPS Encryption Algorithm
EIA EPS Integrity Algorithm
eKSI Key Set Identifier in E-UTRAN
EMM EPS Mobility Management
eNB Evolved Node B
eNodeB Evolved Node B
EHPLMN Equivalent Home Public Land Mobile Network
EPC Evolved Packet Core
ePCF Evolved Packet Control Function
ePDG evolved Packet Data Gateway
EPLMN Equivalent PLMN
EPRE Energy Per Resource Element
EPS Evolved Packet System
E-RGCH Enhanced Relative Granting Channel
ESM EPS Session Management
ESP Encapsulated Security Protocol
ETWS Earthquake and Tsunami Warning System
E-UTRA Evolved Universal (or UMTS) Terrestrial Radio Access

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E-UTRAN Evolved UMTS Terrestrial Radio Access Network


Evolved Universal Terrestrial Radio Access Network
EV-DO Evolution-Data Optimized
EVRC Enhanced Variable Rate Codec
FCC Federal Communications Commission
FD Full-Duplex
FDD Frequency Division Duplex
FDM Frequency Division Multiplexing
FDMA Frequency Division Multiple Access
FDS Frequency Diverse Scheduling
FFT Fast Fourier Transform
FH Frequency Hopping
FI Framing Information
FL Forward Link
FMS First Missing Sequence
FS Frame Structure
FSS Frequency Selective Scheduling
FSTD Frequency Shift Time Diversity
FTEID Fully Qualified Tunnel Endpoint Identifier
GBR Guaranteed Bit Rate
GCI Global Cell ID
GERAN GSM/EDGE Radio Access Network
GGSN Gateway GPRS Support Node
GLONASS Russian GLObal NAvigation Satellite System
GNSS Global Navigation Satellite Systems
GP Guard Period
GPRS General Packet Radio Service
GPS Global Positioning System
GSM Global System for Mobiles
GTP-U GPRS Tunneling Protocol User
GUMMEI Globally Unique MME Identity
GUTI Globally Unique Temporary Identifier
GW Gateway
HA Home Agent
HAP ID HARQ Process ID
HARQ Hybrid ARQ
HD Half-Duplex
HeNB Home eNode B
HFN Hyper Frame Number
HI Hybrid ARQ Indicator
HLR Home Location Register
HNBID Home Evolved Node B Identifier
HO Handover
HOM Higher Order Modulation
HPLMN Home Public Land Mobile Network
HRPD High Rate Packet Data
HS High Speed
HSDPA High Speed Downlink Packet Access
HS-DPCCH High Speed Dedicated Control Channel
HSGW HRPD Serving Gateway

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HSPA High-Speed Packet Access


HSPA+ High-Speed Packet Access evolved or enhanced
HSS Home Subscriber Service
HSUPA High Speed Uplink Packet Access
IC Interference Cancellation
ID Identification
IDFT Inverse Discrete Fourier Transform
IETF Internet Engineering Task Force
IFFT Inverse Fast Fourier Transform
IMS IP Multimedia Subsystem
IMSI International Mobile Subscriber Identity
IP Internet Protocol
IP-CAN IP Connectivity Access Network
ISI Inter-Symbol Interference
ISR Idle Signaling load Reduction
ITU-R International Telecommunication Union Radio Communication Sector
L1 Layer 1
L2 Layer 2
LAN Local Area Networks
LCG Logical Channel Group
LCID Logical Channel ID
LFDM Localized Frequency Division Multiplexing
LI Length Indicators
LOS Line of Sight
LSTI LTE/SAE Trial Initiative
LTE Long Term Evolution
LTI Linear Time Invariant
MAC Medium Access Control
MAPL Maximum Allowable Path Loss
MBMS Multimedia Broadcast Multicast Service
MBR Maximum Bit Rate
MBSFN Multimedia Broadcast over a Single Frequency Network
MCC Mobile Country Code
MCCH Multicast Control Channel
MCH Multicast Channel
MCS Modulation and Coding Scheme
MCW Multiple Code Word
ME Mobile Equipment
MIB Master Information Block
MIMO Multiple Input Multiple Output
MIP Mobile IP
MME Mobility Management Entity
MMEC MME Code
MMEGI MME Group ID
MMEI MME Identifier
MNC Mobile Network Code
MSC Mobile Switching Center
MSISDN Mobile Station ISDN
MSIN Mobile Subscriber Identification Number

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MTCH Multicast Traffic Channel


M-TSMI MME Temporary Mobile Subscriber Identity
MU-MIMO Multi-User Multiple Input Multiple Output
NACC Network Assisted Cell Change
NAK Negative Acknowledgment
NAS Non-Access Stratum
NCL Neighbor Cell List
NDI New Data Indicator
NID Network ID
NLOS Non Line of Sight
NR Neighbor Relation
NW Network
OFDM Orthogonal Frequency Division Multiplexing
OFDMA Orthogonal Frequency Division Multiple Access
OI Overload Indicator
PAPR Peak-to-Average Power Ratio
PAR Peak to Average Ratio
PARC Per Antenna Rate Control
PBCH Physical Broadcast Channel
PCC Policy Charging and Control
PCCC Parallel Concatenated Convolutional Code
PCCH Paging Control Channel
PCEF Policy Control and Enforcement Function
PCFICH Physical Control Format Indicator Channel
PCH Paging Channel
PCI Physical Cell ID
PCO Protocol Configuration Options
PCRF Policy and Charging Rules Function
Policy Control Resource Function
P-CSCF Proxy Call Session Control Function
PDCCH Physical Downlink Control Channel
PDCP Packet Data Convergence Protocol
PDB Packet Delay Buffer
PDG Packet Data Gateway
PDN Packet Data Network
PDN-GW Packet Data Network Gateway
PDSCH Physical Downlink Shared Channel
PDSN Packet Data Serving Node
PDU Protocol Data Unit
PELR Packet Error Loss Rate
PF Paging Frame
P-GW Packet Data Network Gateway
PHICH Physical Hybrid Automatic Repeat Request Indicator Channel
PHR Power Headroom Report
PHY Physical Layer
PLMN Public Land Mobile Network
PMCH Physical Multicast Channel
PMI Precoding Matrix Indicator
PMIP Proxy Mobile IP
PN PseudoNoise

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PO Paging Occasion
PRACH Physical Random Access Channel
PRB Physical Resource Block
P-RNTI Paging Radio Network Temporary Identifier
PS Packet Switched
PSC Primary Synchronization Signal
P-SCH Primary Synchronization Channel
PSS Primary Synchronization Signal
PSTN Packet Switched Telephone Network
PSVT Packet Switched Video Telephony
P-TMSI Packet Temporary Mobile Subscriber Identity
Paging TMSI
PTT Push-To-Talk
PUCCH Physical Uplink Control Channel
PUSCH Physical Uplink Shared Channel
QAM Quadrature Amplitude Modulation
QCI QoS Class Identifier
QoS Quality of Service
QPSK Quadrature Phase Shift Keying
RACH Random Access Channel
RAN Radio Access Network
RAND Random Number (authentication)
RAPID Random Access Preamble Identifier
RAR Random Access Response
RA-RNTI Random Access - Radio Network Temporary Identifier
RAT Radio Access Technology
RB Resource Block
RBG Resource Block Group
RDS RMS Delay Spread
RE Resource Element
REG Resource Element Group
RES Authentication Response
RET Remote Electrical Tilt
RF Radio Frequency
RI Rank Indicator
RIV Resource Indication Value
RL Reverse Link
RLC Radio Link Control
RLF Radio Link Failure
Reverse Link FIFO
Return Link Finger Module
RMS Root Mean Square
RNC Radio Network Controller
RNL Radio Network Layer
RNTI Radio Network Temporary Identifier
ROHC Robust Header Compression
RPLMN Registered PLMN
RRC Radio Resource Control
RRM Radio Resource Management
RS Reference Signal

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RSCP Received Signal Code Power


RSRP Reference Signal Receive Power
RSRQ Reference Signal Receive Quality
RSSI Received Signal Strength Indication
RV Redundancy Version
Rx Receive
SAE System Architecture Evolution
SAW Stop-And-Wait
SC Service Center
S-CSCF Serving Call Session Control Function
SC-FDM Single Carrier Frequency Division Multiplexing
SC-FDMA Single Carrier Frequency Division Multiple Access
SCH Supplemental Channel (CDMA2000)
Synchronization Channel (WCDMA)
SCTP Stream Control Transmission Protocol
SCW Single Code Word
SDF Service Data Flow
SDP Session Description Protocol
SDM Spatial Division Multiplexing
SDMA Spatial Division Multiple Access
SDU Service Data Unit
SFBC Space Frequency Block Code
SFN System Frame Number
SGSN Serving GPRS Support Node
S-GW Serving Gateway
SI System Information Message
SIC Successive Interference Cancellation
SIP Session Initiation Protocol
SI-RNTI System Information - Radio Network Temporary Identifier
SISO Single Input Single Output
SIB System Information Block
SM Session Management
Spatial Multiplexing
SMS Short Message Service
SMS-IWMSC Short Message Service-Inter Working Mobile Switching Center
SNR Signal to Noise Ratio
SON Self Optimizing Network
SPR Subscriber Profile Repository
SPS Semi-Persistent Scheduling
S-QoS Subscribed Quality of Service
SR Scheduling Request
SRB Signaling Radio Bearer
SRS Sounding Reference Signals
SSC Secondary Synchronization Signal
S-SCH Secondary Synchronization Channel
SSS Secondary Synchronization Signal
S-TMSI SAE Temporary Mobile Subscriber Identity
SU-MIMO Single User Multiple Input Multiple Output
TA Tracking Area
Timing Advance/Alignment

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TAC Tracking Area Code


TAI Tracking Area ID
TAU Tracking Area Update
TB Transport Block
TBCC Tail Biting Convolutional Coding
TDD Time Division Duplex
TDM Time Division Multiplexing
TDMA Time Division Multiple Access
TEID Tunnel Endpoint Identifier
TFT Traffic Flow Template
TMA Tower Mounted Amplifier
TPC Transmit Power Control
TM Transparent Mode
TMSI Temporary Mobile Subscriber Identity
TTI Transmission Time Interval
Tx Transmit
UCI Uplink Control Information
UDP User Datagram Protocol
UE User Equipment
UL Uplink
UL-SCH Uplink Shared Channel
UM Unacknowledged Mode
UMTS Universal Mobile Telecommunications System
U-Plane User Plane
UP User Plane
UpPTS Uplink Pilot Time Slot
USIM Universal Subscriber Identity Module
UTRA UMTS Terrestrial Radio Access
UTRAN UMTS Terrestrial Radio Access Network
VCC Voice Call Continuity
VLR Visitor Location Register
VoIP Voice over Internet Protocol
VoLGA Voice over LTE via Generic Access
VPN Virtual Private Network
VRB Virtual Resource Block
VT Video Telephony
WCDMA Wideband Code Division Multiple Access
WiFi Wireless Fidelity (IEEE 802.11)
WiMAX Worldwide Interoperability for Microwave Access
Z-C ZadoffChu sequence

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Section 1: Introduction

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Notes

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Section 1: Introduction

Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Section 1: Introduction

Overall EPS Architecture


EPS (Evolved Packet System) consists of E-UTRAN (Evolved UTRAN) and EPC (Evolved Packet
Core), plus UE, HSS and Operator IP Service domain/platform.
EPS also can inter-connect with other Access Networks, both 3GPP (GERAN, UTRAN) and non-3GPP
(CDMA, WiFi, WiMAX), whose entities/interfaces are not shown here, for simplicity
E-UTRAN only entity is the eNode B. The eNode Bs can, optionally, interconnect to each other via
the X2 interface.
EPC includes the following entities:
MME (Mobility Management Entity), handling the Control Plane
S-GW (Serving Gateway) & P-GW (PDN Gateway), handling the User Plane
The above diagram shows the option of split MME/SGW/PWG entities. Other
topology/configuration options are possible (e.g., combining all 3 entities in one physical node, or
S/P-GW together, or MME & S-GW together).
HSS is formally out of the EPC, and will need to be updated with new EPS subscription data and
functions.
PCRF and Gx/Rx provide QoS Policy and Charging control (PCC), similarly to the UMTS PS domain.
(Gxc is only present in case of PMIP-based S5). PCRF functions are described in TS 23.203.
See the next slides for more details on EPS entities, interfaces, and protocol options.

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Section 1: Introduction

E-UTRAN Entities/Functions
Evolved Node B (eNB) provides the E-UTRA User Plane (PDCP/RLC/MAC/PHY) and Control Plane
(RRC) protocol terminations toward the UE.
The eNBs can optionally be interconnected with each other by means of the X2 interface (logical, i.e.,
may or may not use a point-to-point physical connection between eNBs).
The eNBs are connected by means of the S1 interface to the EPC (Evolved Packet Core), more
specifically to the MME (Mobility Management Entity) by means of the S1-MME and to the Serving
Gateway (S-GW) by means of the S1-U. The S1 interface supports a many-to-many relation between
MMEs / Serving Gateways and eNBs.
3GPP References:
E-UTRAN architecture: TSs 36.401, 36.300, 23.002
S1 interface: TS 36.41x series, TSs 29.274, 24.301
X2 interface: TS 36.42x series

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Section 1: Introduction

S5 interface

Between S-GW and P-GW (split case)

Called S8 for inter-PLMN connection

Can be based on GTP or Proxy Mobile IP

Control Plane Protocol Stack is GTP-C/UDP /IP or PMIPv6/IP

S10 interface
Supports mobility between MMEs. Control Plane Protocol Stack is GTP-C/UDP /IP

S11 interface
Supports EPS Bearer management between MME and S-GW (split case). Control Plane Protocol Stack is
GTP-C/UDP /IP

S6a interface
Used for subscription & security control between MME and HSS
3GPP References:
MME functions and interfaces: TSs 23.401, 23.402, 23.002
S10/S11 interface: TS 29.274; S6a interface: TS 29.272
SAE-GW (SGW/PGW) functions and interfaces: TSs 23.401, 23.402, 23.002
S5/8 interface: TS 29.274 (GTP), 29.275 (PMIP) ; SGi interface: TS 29.061

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Section 1: Introduction

E-UTRAN & EPC User Plane: Protocol Stack


Radio Interface protocols are defined in detail in the next sections.
User plane on the S1-U uses GTP-U for tunneling. The same protocol stack would apply to the X2
interface, for data packet forwarding during handover between eNBs.
For S5/S8, the User plane can use GTP-Tunneling for GTP-U or GRE encapsulation for PMIPv6.
GTP-U for S1 (X2) and S5/8 is an extension of GTP-Uv1 used for GPRS and UMTS (TS 29.281).
The concatenation of LTE RB + S1 Bearer + S5 Bearer makes the EPS Bearer, which can be shared by
multiple Service Flows with the same level of Quality of Service.
UL and DL traffic are mapped onto proper Bearers/Tunnels IDs based on Traffic Flow Template
filters configured at the UE and P-GW (or S-GW, if PMIP is used on S5/8).
EPS Bearer seamless mobility is defined between:
Intra 3GPP networks (Local Mobility): GTP based or Mobile-IP based
3GPP and Non-3GPP networks (Global Mobility): Mobile-IP based
GTP based Mobility (as 3GPP legacy PS domain): Network anchoring/mapping of GTP tunnels
Mobile IP based Mobility (based on the IETF Mobile IP standards): allowed MIP versions
Network Based (PMIP)
Host Based (MIPv4 or DSMIPv6)

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Section 1: Introduction

EPS QoS Definitions and Parameters


QoS Class Identifier (QCI): Used as a reference to Access Node specific parameters that control
how bearer level packets are forwarded (e.g., scheduling weights, admission thresholds, queue
management thresholds, link layer protocol configuration, etc.); these are pre-configured by the
operator.
Allocation and Retention Priority (ARP): Controls priority in bearer establishment/ modification,
or bearer release if resources are limited. The ARP priority level ranges from 1 to 15; 1 is the highest
level of priority.
The GBR indicates the bit rate that can be expected to be provided by a GBR bearer. The MBR limits
the bit rate that can be expected to be provided by a GBR bearer. Rel 8 requires MBR=GBR. MBR and
GBR can be coded as high as 256 Mbps.
The APN-AMBR limits the aggregate bit rate across all non-GBR bearers and across all PDN
connections of the same APN (excess traffic may get discarded) .
The UE-AMBR limits the aggregate bit rate across all non-GBR bearers of a UE (excess traffic may get
discarded by a rate shaping function).
Each QoS parameter (GBR, MBR, UE-AMBR, APN-AMBR) has an Uplink and a Downlink component.
QoS information storage and exchange among HSS and EPS entities is summarized in the diagram
above. UE-AMBR and ARP are network-only parameters (not known in the UE).
More details can be found in TS 23.401, TS 23.203 (PCC), TS 24.301 (NAS), TS 36.413 (S1-AP).

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Section 1: Introduction

QCI Service Characteristics


The standardized QCI characteristics are not signalled on any interface. They are guidelines for the
pre-configuration of node-specific parameters for each QCI. Standardizing a QCI with corresponding
characteristics ensures that applications / services mapped to that QCI receive the same minimum
level of QoS in multi-vendor network deployments and during roaming
Every QCI (GBR and non-GBR) is associated with a Priority level; level 1 is the highest Priority level.
Scheduling between different service data flow (SDF) aggregates shall primarily be based on the
packet delay buffer (PDB). If the target set by the PDB can no longer be met for one or more SDF
aggregate(s) across all UEs that have sufficient radio channel quality, then a scheduler shall meet the
PDB of SDF aggregates on Priority level N in preference to meeting the PDB of SDF aggregates on
Priority level N+1.
The definition (or quantification) of sufficient radio channel quality is outside the scope of
3GPP specifications.
For E-UTRAN, the priority level of a QCI may be used as the basis for assigning the Uplink
priority per Radio Bearer.
The purpose of the PDB is to support the configuration of scheduling and link layer functions (e.g.,
setting scheduling priority weights and HARQ target operating points). The PDB is shall be
interpreted with a confidence level of 98 percent. For a specific QCI, the PDB is the same for both UL
and DL.
The purpose of the PELR is to allow for appropriate link layer protocol configurations (e.g., RLC and
HARQ in E-UTRAN). For a given QCI, the value of the PELR is the same in UL and DL.

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Notes

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Section 1: Introduction

Comments/Notes

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Section 2: EPS Network Architecture

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Section 2: EPS Network Architecture

Notes

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Section 2: EPS Network Architecture

Character, Device, Services and Networks


This course discusses a day in the life of a character, Charlie, who owns an LTE UE.
Charlie uses this device for different applications:
VoIP calls
Browsing and video streaming
Connect to the office via VPN
Wireless Town has two operators that provide E-UTRAN coverage: ellTeEi and PLMN2. Obviously,
Charlie would have purchased a subscription from one of these operators.

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Section 2: EPS Network Architecture

EPS Networks in Wireless Town


An MCC (Mobile Country Code) and MNC (Mobile Network Code) pair uniquely identifies a mobile
phone operator/carrier worldwide. The ITU-T Recommendation E.212 defines mobile country
codes. The MCC remains the same within a country, while the MNC can change as shown above for
two operators.
The assigned MCC/MNC values are broadcasted by the network (System Information message) and
are used by the device during cell selection and camping (as will be described in Section 3).
In addition, EPS defines (as for UMTS Rel6 onward) the concept of shared cells, wherein the two
operators (with different core networks) can have a shared radio access network and radio
resources. In the network architecture that we have considered, the ellTeEi and PLMN2 networks
share cells in suburbs.
Terms:
MCC: Mobile Country Code
MNC: Mobile Network Code

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Section 2: EPS Network Architecture

MMEs in ellTeEi Network


A PLMN can have multiple MMEs. MMEs (identified by MMEC) can be grouped to form an MME area
(identified by MMEGI), also known as the MME Pool Area. The MMEs in an MME group or pool area
share the load. A given pool area may have multiple Tracking Areas (TA).
In EPS, a UE registers with an MMEC in an MME Pool Area. The corresponding MMEC provides the
TAI list. The TAI list is the list of TAIs that the UE can visit without having to re-register with the EPS
network. The most significant bit of the MMEGI must be 1.
There are 3 MMEs (and 3 S/PDN-GWs) in this ellTeEi EPS network. The above table shows the
allocation of the MME identifiers and how their Tracking Areas are split.

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Section 2: EPS Network Architecture

MME Areas, Tracking Areas, and eNB Cluster in ellTeEi


The EPS network considered here has two MMEs in MMEGI 65535 (MMEGI_1) and they serve TAI_A,
TAI_B, and TAI_C. The MME implementation determines which TAs it wants to register a UE with.
This determination could be based on the geographical location (in terms of eNB) from which the UE
is attempting to register. The intent is to prevent ping-pong and achieve optimization between
paging load and registration overhead with UE mobility.
In this network, if the UE performs EPS registration from eNB (PCI=1), the MMEs send TAI_A and
TAI_B in the TAI list, implying that the UE can roam around in the eNBs belonging to these TAs
without having to re-register with the EPS network. Given that, the UE re-registers (Tracking Area
Update procedure) if the UE enters into the coverage areas of eNB that are part of TAI_C and TAI_D.
In MME Area 2, only TAI_D is included in the TAI list in this network architecture.
A UE in ECM IDLE (or RRC Idle) state is paged in all cells of the Tracking Areas in the TAI list.
In the ellTeEi network:
eNBs with PCI 1, 25 belong to Tracking Area TAC_A.
eNBs with PCI 10, 475 belongs to Tracking Area TAC_C.
eNBs with PCI 50, 100, 350, etc. belong to Tracking Area TAC_B.
eNBs with PCI 200, 250, 400, etc. belong to Tracking Area TAC_D.

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Section 2: EPS Network Architecture

Channels Used in ellTeEi eNBs (E-UTRAN)


In the considered network architecture, EPS coverage is available on two frequencies on band 5.
Some cells deploy Single Carrier whilst others deploy two carriers as shown.

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Section 2: EPS Network Architecture

PDN-GWs and APNs in ellTeEi Network


Connectivity to the Internet for different application traffic is provided through two APNs in the
ellTeEi network. These are:
APN-NI: VoipAndDefaultAPN.com
APN-NI: OfficeAccessAPN.com
This course assumes that the following applications use the specific APNs mentioned below:
VoIP through APN 1
HTTP browsing/ FTP transfers through APN1
Email access through APN2
To simplify this illustration, only the Network Identifier part of the APN is mentioned above. The
complete APN is formed by concatenating APN-NI and APN-OI (Operator Identifier), where APN-OI:
mnc<MNC>.mcc<MCC>.3gppnetwork.org:
Concatenating APN-NI and APN-OI, the complete strings are:
APN1: voipAndDefaultAPN.com. mnc001.mcc001.3gppnetwork.org, and
APN2: OfficeAccessAPN.com. mnc001.mcc001.3gppnetwork.org
Terms:
APN: Access Point Name
PDN-GW: PDN Gateway

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Section 2: EPS Network Architecture

Charlies Subscription Information


In EPS, the subscription information of a UE is stored in the HSS/SPR. Each subscription also has the
globally unique IMSI assigned to it. Note that IMSI has MCC/MNC as the most significant bits. The
HSS stores a UEs APN subscription information and a long term key, K, used during authentication.
In addition to these, the HSS/SPR stores QoS information for different EPS bearers, UE and APN
specific maximum bit rate restrictions, etc.
The UE also stores a subset of the subscription information. In particular, IMSI is used during PLMN
selection and camping; APN information is used during registration and default EPS bearer
establishment (discussed in detail in Section 4).
Terms:
HSS: Home Subscriber Server
SPR: Subscriber Profile Repository
AuC: Authentication Center
PCRF: Policy Control Resource Function

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Section 2: EPS Network Architecture

Overall Wireless Town EPS Network Architecture


The following assumptions apply to the EPS network:
HSS downloads the subscriber profile at once when the Authentication is successful.
PCRF downloads the complete subscriber profile (QoS information for additional EPS
bearers) pertaining to the APN which establishes an IP-CAN session at the time of initial
attach.
EPS bearer level QoS parameters are based on subscriber data downloaded from HSS/SPR:
No local PCRF or P-GW configuration policy is used to modify those.
EPS network deploys dynamic PCC architecture. In other words, P-GW performs the bearer
binding (assigning the EPS bearer ID) and P-GW obtains the PCC rules from PCRF.
Nodes are expected to have pre-configured QCI to bearer level packet treatment policy
(scheduling weights, admission thresholds, queue management thresholds, link layer
protocol configuration, etc.) based on TS 23.203.

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Section 2: EPS Network Architecture

Charlies Mobility and Services in ellTeEi Network


This course discusses various EPS procedures as Charlie powers up the LTE UE device and moves
through the EPS network in Idle and Connected states.

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How Does Charlie Obtain Services?


Detect ellTiEe coverage and camp.
Register with MME (through eNBs).
Enables ellTeEi network to locate Charlie at MME area level.
Establish bearers to tunnel application traffic through EPS.
Desired QoS determines the bearer configuration.

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Section 2: EPS Network Architecture

How Does Charlie Obtain Services?


Detect ellTiEe coverage and camp.
Register with MME (through eNBs).
Enables ellTeEi network to locate Charlie at MME area level.
Establish bearers to tunnel application traffic through EPS.
Desired QoS determines the bearer configuration.

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Notes

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Section 2: EPS Network Architecture

HSS: Home Subscriber Server


SPR: Subscriber Profile Repository
AuC: Authentication Center
PCRF: Policy Control Resource Function

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Section 2: EPS Network Architecture

Comments/Notes

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Section 3: Idle Mode Procedures

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Section 3: Idle Mode Procedures

Notes

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Section 3: Idle Mode Procedures

Notes

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Section 3: Idle Mode Procedures

UE Idle Procedures
In this section, Charlies UE will power on and camp on the cell with Physical Cell Identity 1 (PC I).
Then the UE will perform the Attach procedure (which is covered in the next section). After the UE
has successfully completed the Attach procedure, the RRC Connection will be released.
During Idle state mobility, the UE will perform cell reselection from PCI 1 to PCI 50. Reselection is
discussed in detail in this section.

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Section 3: Idle Mode Procedures

UE RRC States and Procedures


The Idle Mode procedures depend on the UEs camped state. This section focuses on the Idle Not
Camped and Idle Camped states.
When the UE is in the Idle Not Camped state, a suitable cell on any PLMN (or RAT) has not been
selected; therefore this state triggers the Cell Search Procedure in order to detect a cell that is
suitable to camp on.
When the UE is in the Idle Camped state, it has acquired a suitable cell belonging to an allowable
(non-barred/restricted) PLMN. While in this state, the UE will perform the following tasks:
Cell reselection on the selected PLMN
Search for High Priority PLMNs
Search for a suitable cell if another PLMN is selected by NAS
Monitor paging messages
Update system information
Perform system access to transition to Connected state
Location registration/re-registration
User application data transfer

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Section 3: Idle Mode Procedures

Notes

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Section 3: Idle Mode Procedures

Notes

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Section 3: Idle Mode Procedures

Charlies Device and Subscription


The device supports Bands 5 and 13.
ME: Mobile Equipment
USIM: Universal Subscriber Identity Module

Support of other technologies in addition to LTE will be presented later in this course.

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Section 3: Idle Mode Procedures

Notes

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Section 3: Idle Mode Procedures

Initial Acquisition
In order to carry out PLMN selection, the UE must undertake a cell search procedure within the
supported frequency bands. The procedure requires that the UE achieve time and frequency
synchronization with the specific cell under consideration. This enables decoding of the PBCH,
which carries the Master Information Block (MIB) that contains the critical system information
necessary to decode transmissions on the PDSCH. System Information Blocks are scheduled for
transmission on the PDSCH via System Information (SI) messages. System Information Block 1
(SIB1) contains a list of PLMN IDs along with a flag to show if a specific PLMN is reserved for
operator use.
A key aspect of the Cell Search Procedure is that LTE supports scalable overall transmission
bandwidths (from 1.4 to 20 MHz). The synchronization channels and the PBCH are transmitted
within the centrally distributed 6 Resource Blocks, which enables system acquisition without
requiring knowledge of the overall system bandwidth.

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Section 3: Idle Mode Procedures

PLMN Selection for E-UTRA


The selection of a PLMN can be manual or automatic. In both cases, the UE scans all possible RF
channels that it supports based on its capability. During the search, and specifically for LTE, all
detected PLMNs with an RSRP -110 dBm are reported to the NAS as High Quality PLMNs without
an associated RSRP value. PLMNs with an RSRP < -110dBm are reported along with an associated
RSRP value. The order in which the UE searches for PLMNs (either intra- or inter-band) is not
defined but can be optimized based on information that the UE has, such as the last frequency on
which it successfully camped. In both automatic and manual modes, the search for PLMNs can be
discontinued by the NAS at any time.
When the UE is in Automatic mode and multiple PLMNs are detected, the order in which selection
takes place is governed by a set of rules such that the Last Registered PLMN (or equivalent) is tried
first, then Home (or equivalent) PLMN followed by a user-defined and operator defined list of
PLMNs in priority order, followed by High Quality PLMNs in random order, followed by other
PLMNs in order of decreasing RSRP.
If a UE is camped on a PLMN that is not the highest priority, it will periodically search for higher
priority PLMNs and report the results to the NAS. The interval between searches is stored on the
USIM and set by the service provider to be between 6 minutes and 8 hours, in increments of 6
minutes.

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Section 3: Idle Mode Procedures

PLMN Selection
From the IMSI, the HPLMN is derived based on the MCC/MNC value.

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System Acquisition
After PSS/SSS detection the UE knows the System Frame and subframe boundaries (not the exact
System Frame Number) and also determines the number of antennas at the eNB.

Frequency EARFCN Range Frequency EARFCN Range


Band
MHz (UL) (UL) MHz (DL) (DL)
5 824-849 20400 20649 869-894 2400 2649

13 777-787 23180 23279 746-756 5180 5279

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Section 3: Idle Mode Procedures

Broadcast of System Information


System Information is broadcast using the PBCH and the PDSCH. The Master Information Block
(MIB) is broadcast with a 40 ms periodicity on the PBCH. The information signaled within the MIB
enables the UE to read all other system information that is broadcast on the PDSCH. Up to 11 System
Information Blocks can be broadcast.
Because other transport channels are transmitted using the PDSCH, a System Information Radio
Network Temporary Identity (SI-RNTI) specific to system information is utilized to identify these
broadcasts. The periodicity of system information broadcast is flexible and can be configured to be
between 80 ms and 5120 ms. An exception is System Information Block 1 (SIB1), which carries cell
access parameters; SIB1 is always broadcast every 80 ms. With the exception of SIB1, all other SIBs
are broadcast in System Information (SI) messages. Different SIBs can be multiplexed on a single SI.

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Section 3: Idle Mode Procedures

Master Information Block (MIB)


The MIB is sent every 40 ms on the PBCH and contains the following fields:
dl-Bandwidth Defines the Downlink bandwidth in terms of number of Resource Blocks (6,
15, 25, 50, 75, 100) corresponding to 1.4, 3, 5, 10, 15, or 20 MHz utilization.
phich-Config Defines the configuration of the PHICH in terms of duration and resources.
systemFrameNumber Specifies the 8 most significant bits of the System Frame Number
(SFN).
For the PHICH, its duration is configurable to be either 1 (normal) or 3 (extended) symbols (for FDD
/non-MBSFN). Typically decoding would be expected with a single symbol, but the option of using 3
symbols for additional reliability in coverage-limited scenarios is allowed.
group
The resources for the PHICH are defined by the number of PHICH groups N PHICH which is configured
by the signalled parameter Ng following:


N g N RB DL
8 for normal cyclic prefix
group


N
2 N g N RB 8
PHICH DL
for extended cyclic prefix

The last two significant bits of the SFN are determined by the position of the subframe relative to the
40-ms MIB TTI with 00, 01, 10, and 11 corresponding to the first, second, third, and fourth
subframes, respectively.

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MIB at Point A
In this example, n50 corresponds to a Downlink bandwidth of 50 resource blocks (RB), resulting in
9 MHz of OFDM subcarriers that correspond to a 10 MHz bandwidth allocation. For the PHICH, the
normal (rather than the extended) resource allocation is specified, resulting in a single symbol being
assigned. The number of groups utilized for the PHICH is related to the Downlink bandwidth and the
signaled parameter Ng. In this example, with 50 RBs, 7 groups are used. The number of PHICH
groups also allows the UE to determine which resources within the control region are utilized for
the PDCCH.
Finally, the eight most significant bits of the System Frame Number (SFN) are signaled as 00001010
in this example. The remaining two bits are the least significant bits, determined by the position of
the frame relative to the MIB. For the frame in which the MIB is transmitted, SFN=0000101000.

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System Information Block SIB Type 1


System Information Block SIB Type 1 contains information necessary for the UE to camp on a cell.
This includes the minimum acceptable quality in terms of RSRP and if access to the cell is restricted.
Additionally, scheduling information about all of the remaining SIBs is included.
The Cell Access related information consists of a PLMN Identity list of up to six PLMNs, where the
first is the primary PLMN. Each PLMN identity also has an associated flag that enables the cell to be
reserved for operator use only. Additional information includes the Tracking area Code that is
common for all the PLMNs, the 28-bit Cell Identity, a Cell Barred indicator, an indicator to signal if
intra-frequency reselection is permitted, and Closed Subscriber Group (CSG) indicator and
identification.
The Cell Selection Info contains q-RxLevMin, which indicates the required minimum received RSRP
level, and q-RxLevMinOffset,which indicates an offset that is applied to a suitability measurement
when searching for a higher priority PLMN.
The SI scheduling is used to define which other SIBs are broadcast and how they are mapped to SI
messages. The Scheduling Info List consists of a periodicity and SIB list for each SI message. Multiple
SIBs can be multiplexed in a single SI message.
Additionally, p-Max defines the maximum Uplink power, freqBandIndicator defines the frequency
band of operation, SI-WindowLength defines the common transmission window for all SIs and a
Value Tag. The Value Tag is used to indicate a change in the contents of the System Information.
SIB 1 also includes configuration information for TDD if the system is not operating in FDD mode.

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Section 3: Idle Mode Procedures

Cell Access
In this example, two PLMN identities are broadcast by the selected cell. Both are not reserved for
operator use nor barred. Additionally, this cell does not belong to a Closed Subscriber Group.
The Cell ID broadcast in SIB1 and Physical Cell Identity (PCI) are different identifiers. While the PCI
has 504 different possibilities, the Cell ID is a 28-bit string.

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Cells and Services


Serving Cell: The cell on which the UE is camped.
Suitable Cell: The UE may camp on this cell to obtain normal service. Criteria include: a cell whose
measured cell attributes satisfy the cell selection criteria (see next slide); the cell PLMN is the
selected PLMN, registered or an equivalent PLMN; the cell is not barred or reserved, and the cell is
not part of a tracking area that is in the list of forbidden tracking areas for roaming.
Acceptable Cell: A cell whose measured cell attributes satisfy the cell selection criteria and is not
barred. The UE may camp on this cell to obtain limited service (originate emergency calls and
receive ETWS notifications).
Barred Cell: A cell the UE is not allowed to camp on.
Restricted Cell: A cell on which camping is allowed, but access attempts are disallowed for UEs
whose access classes are indicated as barred.
Reserved Cell: A cell on which camping is not allowed, except for particular UEs, if so indicated in
the system information.
CSG Cell: A Closed Subscriber Group cell, broadcasting a CSG indication that is set to TRUE and a
specific CSG identity, is accessible by the members of the closed subscriber group for that CSG
identity.

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Section 3: Idle Mode Procedures

Cell Selection Criteria


SIB1 specifies the criteria necessary to determine if a cell is suitable for selection. A cell is
considered suitable for selection when:
Srxlev > 0
where for LTE
Srxlev = Qmeas (Qrxlevmin + Qrxlevminoffset) Pcompensation
such that Qmeas is the measured RSRP and Qrxlevmin is determined in this example to be -100 dBm
(q-RxLevMin *2). Qrxlevminoffset is an offset that is applied uniquely to the calculation of Srxlev when
the UE searches for a higher priority PLMN while camped normally in a visited VPLMN. In this
example, a value of 16 dB is utilized (q-RxLevMinOffset *2). Pcompensation is an offset associated
with the maximum power that the UE will be allowed to transmit.

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Section 3: Idle Mode Procedures

System Information Blocks


In addition to the MIB and SIB1 information blocks, up to ten additional System Information Blocks
(SIBs) can be transmitted. These are broadcast in System Information (SI) messages, each of which
can contain multiple SIBs. Whereas the scheduling of the MIB and SIB1 transmissions is fixed at
40 ms and 80ms, respectively, the scheduling of any additional system broadcast can vary and is
specified in the SIB1 message along with how different SIB are multiplexed within each SI.
SIBs 2 and 3 contain general parameters related to access and reselection and define the
configuration of the LTE cell on which the UE is camped and when the UE should search for
other cells for reselection.
SIBs 4, 5, 6, 7 and 8 contain information related to neighbor cells. Information for intra- and
inter-frequency neighbor cells is defined in SIBs 4 and 5, respectively.
Inter-RAT neighbor information is contained in SIBs 6, 7, and 8 for UTRA, GERAN, and
CDMA2000, respectively.
SIB9 contains information enabling the support of Home eNB.
SIBs 10 and 11 contain information related to the Earthquake and Tsunami warnings, as
defined by 23.041 and 36.413.

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Section 3: Idle Mode Procedures

System Information for ellTeEi


This example illustrates how SI messages are scheduled. In this example, SIB1 defines how SIBs 2, 3,
4 and are to be transmitted in three different SI messages. SIBs 2 and 3 are multiplexed into SI-1
while SIB4 and SIB5 and transmitted in SI-2 and SI-3, respectively. SIB2 is not explicitly included in
the SI scheduling information transmitted in SIB 1, but is always the first SIB within the first SI.
For each SI, the periodicity of the transmission is defined along with a window length that is
common for all SIs (20 ms in this example). The window length defines a time period during which
each SI could be scheduled at any time using the SI-RNTI.
Each SI message is broadcast without any overlap with other messages. The SFN that the UE should
monitor for a specific SI is determined by the following process:
For the concerned SI message, determine the number n which corresponds to the order of entry
in the list of SI messages configured in SIB1. Then determine the integer value x = (n 1)*w,
where w is the si-WindowLength. 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.
This process ensures that there is no overlap between each SI.

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System Information Block SIB Type 2


System Information Block SIB Type 2 contains information necessary for the UE to be able to access the
system.
If a cell is defined as barred in SIB1, then the Cell Barring Related information in SIB 2 defines the barring
configuration in terms of if the cell is barred for mobile originated signaling and/or data, or if the cell is
for emergency use only. Additional parameter specify a barring time and factor that control how long a
UE should consider the cell barred. Access for the special access classes AC11-15 is also defined.
The common Radio Resource Config specifies the configuration of the common Transport and Physical
layer channels. The PRACH and RACH Config enables the UE to access the system by defining the random
access process. The configuration of the main Physical layer data (and associated Control channels) for
the Uplink and Downlink are configured by the PDSCH, PUSCH, and PUCCH Config.
For the Uplink, additional configuration information is specified for the Sounding Reference Signal and
Power Control in the Sounding RS UL Config and the UL Power Control Config information fields. The UL
Frequency Information Info enables the Uplink carrier frequency to be modified from the standard
spacing inferred by the band of operation as well as the specification of a different bandwidth than the
Downlink. An additional maximum power backoff for stricter ACLR requirements can also be specified.
The Time Alignment Timer specifies the maximum number of subframes that a UE should consider itself
time aligned without a timing update from the network, which can be between 500 subframes and
infinity.
The following timers and constants are defined in the UE Constants and Timers information: T300, T301,
T302, T303, T304, T305, T310, T311, T320, T321, N310, and N311.

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Section 3: Idle Mode Procedures

Paging and DRX Example


In Idle mode the UE does not need to monitor for pages continuously. Based on the PCCH Config
information that is broadcast in SIB2, the UE can DRX between paging occasions. In this example, the
paging cycle is defined by defaultPagingCycle as 64 radio frames. The total number of paging
occasions (POs) per paging cycle is defined by nB. In this example nB=1/2, so one PO is available in
every two radio frames. The specific SFN number that each UE should monitor during each paging
cycle is derived from the IMSI.
The maximum number of paging occasions that can be defined per radio frame is 4 (nB=4) and these
will only be transmitted in subframes 0, 4, 5, and 9.
Paging frame (PF) and Occasion (PO) are determined based on standard equations:
PF is given by the following equation: SFN mod T= (T div N)*(UE_ID mod N)
Index i_s, pointing to PO (see table below), is derived from: i_s = floor(UE_ID/N) mod Ns
Where
T: DRX cycle of the UE. T is determined by the shortest of the UE specific DRX value, if allocated by
upper layers, and a default DRX value broadcast in SIB2. DefaultPagingCycle values are {32, 64,
128, 256} radio frames
nB: 4T, 2T, T, T/2, T/4, T/8, T/16, T/32, as broadcast in SIB2
N: min(T, nB); Ns: max(1, nB/T)
Ns PO when i_s=0 PO when i_s=1 PO when i_s=2 PO when i_s=3
UE_ID: IMSI mod 1024
1 9 N/A N/A N/A
2 4 9 N/A N/A
4 0 4 5 9

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Section 3: Idle Mode Procedures

SIB Change Monitoring


A change of system information occurs only at specific radio frames defined by the BCCH
Modification Period, as specified in SIB2. Its value is a multiple of the Default Paging Cycle that is
broadcast in the same system information block. If the system is planning to change the system
information, it pages the UE to inform it of the upcoming change. The paging message can be
received at any time during a BCCH modification period. Once the message has been received by the
UE it will read the new system information, which will be broadcast starting in the next modification
period. The UE applies the previously acquired system information until it acquires the new system
information.
The UE verifies that the system information it acquired is still valid either by checking the Value Tag
in SystemInformationBlockType1 after the modification period boundary or, if no paging is received,
by attempting to find the systemInfoModification indication at least modificationPeriodCoeff times
during a modification period. If no paging message is received by the UE during a modification
period, the UE may assume that no change of system information will occur at the next modification
period boundary. If a UE in RRC_CONNECTED state receives one paging message during a
modification period, it may determine from the presence/absence of systemInfoModification
whether a change of system information will occur in the next modification period.
Some system information changes (e.g., ETWS information or regularly changing parameters like
CDMA system time) may not trigger the E-UTRAN to update the value. Similarly, E-UTRAN may not
include the systemInfoModification within the Paging message upon change of some system
information.

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Section 3: Idle Mode Procedures

Notes

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Section 3: Idle Mode Procedures

Random Access Parameters in SIB2


The configuration of the RACH and PRACH is shown here. Each cell has a total of 64 random access
preambles that can be employed to access the network. The information specified in SIB2 defines
the configuration. In this example, 60 (numberOfRA-Premables) of the 64 available preambles are
reserved for contention based access. The 60 preambles are divided into two groups: Group A and
Group B following preamblesGroupA such that 56 of the 60 will be used for Group A transmissions.
The difference between Group A and Group B relates to the size of the message that will be
transmitted. messageSizeGroupAS specifies that if the message is less than or equal to 208 bits then a
Group A preamble will be employed.
The power with which the initial preamble is transmitted is defined by an open loop calculation
based on preambleinitialReceivedTargetPower. In this example, each successive transmission
increases by 2 dB (defined by powerRampingStep). The window during which the UE can expect a
response from a preamble transmission is specified as 8 subframes (ra-ResponseWindow). Once the
UE receives a response to a random access, message 3 is transmitted (the maximum number of
HARQ transmissions is defined by maxHARQ-Msg3Tx) and the UE will wait until the expiration of the
mac-ContentionResolutionTimer before assuming that the access attempt was unsuccessful.

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Section 3: Idle Mode Procedures

Contention Based RACH Procedure


The UE selects a preamble from the set of preambles. Two groups are available for contention based
RACH, defined as Group A and Group B. The size of the Group A preamble is defined by sizeofRA-
PreamblesGroupA. The remaining preambles, up to numberofRA-Preambles -1, belong to Group B. Group B
preambles are utilized if the required message size exceeds MESSAGE_SIZE_GROUP_A and the path loss is
less than:
Pmax - preambleinitialReceivedTargetPower - DELTA_PREAMBLE_MSG3 - messagePowerOffsetGroupB
where Pmax is the maximum UE transmit power. This provides the eNB a nominal understanding of the
size of message the UE wants to transmit.
If the eNB detects a preamble, it sends a Random Access Response (RAR) message in the DL-SCH. The
MAC PDU containing the RAR is addressed using the (Random Access) RA-RNTI, which is calculated from:
t_id + 10*f_id
where t_id is the index of the first subframe of RACH resource within a frame (0 <= t_id >= 10) and f_id is
the specified RACH resource within that subframe (0<= f_id >= 6). This creates a one-to-one mapping
between the selected RACH resource and the RA-RNTI. The RAR itself contains an ID to enable
identification of the preamble sent by the UE, the absolute Timing Advance, a (temporary) TC-RNTI and
an Uplink grant. If the preamble ID matches the preamble sent by the UE, the UE applies the timing
advance and starts the contention resolution procedure.
During contention resolution, the UE transmits an Uplink message on the CCCH that includes a terminal
identifier. If this matches the identifier used in the response from the network, then the UE has won
contention resolution. Otherwise the UE must restart the random access procedure. Upon successful
contention resolution, the TC-RNTI assigned as part of the RAR message becomes the C-RTNI.

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Section 3: Idle Mode Procedures

RACH Procedure
There are 64 preambles (signatures) available in each cell. These are determined from the cyclic
shifts of the root Zadoff-Chu sequence, the index of which is signaled to the UE in the PRACHConfig
information. If the UE is executing a contention based RACH procedure, such that a dedicated
preamble is not assigned, then it will randomly select either a Group A or Group B preamble based
on the size of the message to be transmitted.
PRACHConfig informs the UE which PRACH configuration to employ. There are four groups of 16
resource utilization patterns that are suitable for cells of different sizes.
If the UE is executing a contention free random access, the specific preamble signature to utilize
from those reserved for this purpose will be signaled.

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Section 3: Idle Mode Procedures

RACH Procedure (continued)


The figure above shows the RACH process at a high level. During the first step, the UE transmits a
preamble randomly selected from 64 possible preamble sequences divided into two groups. The
group from which the UE selects the preamble depends on the size of the message it would like to
transmit and on the calculated path loss to the eNB. Once the preamble is transmitted, the UE
monitors the Downlink beginning 3 subframes after the end of the preamble for a duration
controlled by a configurable window. If no Downlink response is detected, the preamble is
retransmitted with power increased by a configurable parameter. This process continues until the
defined maximum number of preamble transmissions is reached. If the preamble is successfully
detected by the eNB, then the Downlink Random Access Response (RAR) message is sent, allocating
resources for the UE to transmit its message or enforcing a backoff. In the final step, Contention
Resolution must be performed for a contention-based access attempt.
The UE sets its initial power level to the following value:
preambleInitialReceivedTargetPower - pathloss + DELTA_PREAMBLE
where DELTA_PREAMBLE is a fixed value that depends on the type of preamble format. The UE
selects the first available RACH resource for the transmission. If there is no response within 3
subframes + ra-ResponseWindowSize (defined in subframes), the UE deems the transmission to be
unsuccessful. It selects another RACH preamble, performs the backoff procedure, and transmits
again. The power level is increased by powerRampingStep. This process can be repeated until
preambleTransMax preambles have been transmitted, in which case a failure is declared to the
upper layers.

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Section 3: Idle Mode Procedures

RACH Procedure (continued)


Once a preamble is detected by the eNB, it responds with a Random Access Response (RAR)
message. This message provides information that the UE needs to transmit on the Uplink including
the timing advance and the grant specifying which resources to utilize. In this example, the
preambles were transmitted using common resources, so the UE does not yet have confirmation
that the RAR message transmitted by the eNB is intended for it rather than another UE. Resolution
of this possible contention is therefore necessary. To do this, the UE sends the RRC Connection
Request message using a random number (or the S-TMSI if available) as its identity. A contention
resolution timer is started and monitors the Downlink for the Contention Resolution message. If this
is received and contains the UE identity transmitted in Step 3, then the UE wins the contention. The
temporary C-RNTI contained in the RAR message is converted to C-RNTI. If the Contention
Resolution message containing the correct identity is not received before the
mac-ContentionResolutionTimer expires, the UE assumes the access failed and the random access
procedure needs to be repeated.

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Section 3: Idle Mode Procedures

Timers and Constants


The T300 timer is started when the UE sends an RRCConnectionRequest message. If the timer expires
before the UE has received a response in the form of an RRCConnectionSetup or Reject, the UE
informs the higher layers and ends the connection procedure.
The T301 timer is started when the UE sends an RRCConnectionReestablishmentRequest following a
radio link failure. If the timer expires before the UE has received an RRCConnectionRestablishment or
an RRCConnectionReestablishmentReject, the UE enters Idle mode.
The T310 timer is started when Physical layer problems are detected whereby the UE receives N310
out-of-sync indicators. The timer is stopped if N311 in-sync indicators are received. If T310 expires,
the UE either enters Idle mode or initiates the connection reestablishment procedure, depending on
whether security is activated.
The T311 timer is started when the RRC reconnection procedure is started. If the timer expires
before the selection of a suitable LTE (or other RAT) cell, the UE enters Idle mode.

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Section 3: Idle Mode Procedures

Cell Reselection
Parameter configuration in SIB3/SIB4/SIB5 determines the cell reselection
SIB3 and SIB4 are used during intra-frequency cell reselection
SIB3and SIB5 are used during inter-frequency cell reselection
Information in SIBs provides thresholds and help UE generate different criteria considered
during cell reselection
UE does not perform cell reselection if the SIB3 is not broadcast
Neighbor cell list is not provided to the UE in the SIBs (SIB4 can include a list of cells only for
indicating a per-cell Offset or to mark certain cells as Black-listed).

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Section 3: Idle Mode Procedures

System Information Block SIB Type 3


System Information Block SIB Type 3 contains information that enables the UE to carry out cell
reselection. There are three main components:
Common Reselection Info specifies a hysteresis (Qhyst) that is applied to a cells measured
RSRP to delay reselection and avoid ping-pong. A set of additional parameters associated
with how a UE behaves if mobility-specific reselection is implemented.
Serving Frequency Reselection Info specifies Snonintrasearch and Threshserving,low, which are
utilized with the cell priority to control when measurements of other frequencies and/or
RATs are performed for reselection. The priority of a cell (CellReselectionPriority) can be
specified between 0 and 7, with 0 indicating the lowest priority.
Intra-Frequency Reselection Info contains multiple mandatory and optional parameters.
Minimum Quality (q-RxLevMin) and p-Max are identical to those signaled in SIB1. Sintrasearch
controls the threshold below which a UE carries out intra-frequency measurements for
reselection. Reselection timers are specified for normal operation
(t-ReselectionUTRA) and when mobility-specific reselections are implemented
(t-ReslectionEUTRA-SF). Additional fields specify the measurement bandwidth that should be
used for reselection measurements if this is different from the Downlink bandwidth
(allowedMeasBandwidth): a flag to indicate if the UE should assume that all cells will have at
least two cell-specific antenna ports are used in all neighboring cells (presenceAntennaPort1)
and neighbor cell configuration information associated with MBSFN and TDD
(neighCellConfig).

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System Information Block SIB Type 4


System Information Block SIB Type 4 contains cell reselection information for intra-frequency
neighbors. In LTE, a UE will perform intra-frequency measurements when its RSRP is less than
Sintrasearch. The Intra-Frequency Neighbor Cell List and the associated Intra-Frequency Neighbor Cell
Info fields specify the Physical Cell ID of cells that a UE can consider for reselection, if they are
detected. Each cell has an associated offset (Qoffset) that is applied in the ranking calculation. In
addition to the neighbor cells, SIB4 also defines cells on the Blacklist that a UE should not consider
for reselection even if detected. There can be up to 16 neighbors and blacklisted cells defined in this
system information block.
An additional field in SIB 4 specifies a physical cell ID range for a Closed Subscriber Group (CSG).

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Section 3: Idle Mode Procedures

Intra-Frequency Cell Selection


SIB1, SIB3, and SIB4 provide parameters that are considered during cell reselection. SIB3 contains
parameters that formulate the measurement rules. The specifications mandate that the UE must
detect and measure neighbor cells when the serving cell Srxlev is lower than a certain threshold. The
UE may chose not to perform the measurements, if the serving cell is measured better than the
threshold. After measurements, the UE applies the ranking criterion and the highest ranked cell is
selected during cell reselection. Of course, the new cell must be Suitable to camp on. Note that
hysteresis is applied through Qhyst and Qoffset before the new cell is selected.
If the UE has evaluated in certain consecutive DRX cycles that the serving cell does not fulfill the cell
selection criterion S, the UE shall initiate the measurements of all neighbor cells, regardless of the
measurement rules currently limiting UE measurement activities.
If the UE in RRC_IDLE has not found a new suitable cell based on searches and measurements using
the intra-frequency, inter-frequency, and inter-RAT information indicated in the system information
for 10 s, the UE in RRC_IDLE state is considered to be in an out of service area.
Upon loss of coverage on the registered PLMN, either a new PLMN is selected automatically
(automatic mode), or an indication of which PLMNs are available is given to the user, so that a
manual selection can be made (manual mode).

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Section 3: Idle Mode Procedures

Intra-frequency Cell Reselection Example


This example shows the system parameters necessary for cell reselection; they are transmitted in
SIB3 and SIB4. In SIB3 the Common Reselection Info specifies the serving cell hysteresis as 2 dB.
Additionally, the UE is informed of when to search for both intra- and non intra-frequency
neighbors.
In this example, intra-frequency searches are carried out when Sservingcell 20 dB (2*s-Intrasearch)
while non intra-frequency searches are carried out when Sservingcell 16 dB (2*s-NonIntraSearch) for
equal or lower priority systems.
Searches are always carried out for higher priority systems. In this example, SIB4 specifies the
physical cell IDs and Qoffset values for two neighbor cells. Any inter-frequency or other RAT neighbor
information would be specified in SIBs 5, 6, 7, or 8 depending on the technology involved.

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Section 3: Idle Mode Procedures

Cell Reselection Example


In this example, the UE moves from I to II. The UE is initially camped on the cell with Physical Cell ID
1.
At point 1, Sservingcell < Sintrasearch and the UE begins to search for intra-frequency neighbors.
At point 2, Cell 3 (Physical Cell ID 100) is ranked the highest and the reselection timer is started.
At point 3, Cell 2 (Physical Cell ID 50) also gets ranked better and reselection timer for Cell 2 is
started too. Note at this instance the Treselection for both Cell 2 and Cell 3 are running.
At point 4, the rank of Cell 3 becomes lower than Cell 1 and the reselection timer (for Cell 3) is
stopped. Reselection timer for Cell 2 is still running.
At point 5, the reselection timer for Cell 2 expires and the UE camps on Cell 2. Notice that Cell 3 is
never selected, even though it is ranked the highest during an intermediate interval along the time
line.

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Reselection and Mobility States


High and medium mobility are optional features in LTE, whereby reselection parameters can be
modified from those associated with the normal, non-mobility state. If configured in SIB3, the UE
will count the number of reselections that occur within a defined time TCRmax (this is set to 30
seconds (t-Evaluation ) in this example). The UE will then enter the medium or high mobility state if
the number of reselections is greater than NCR_M or NCR_H (8 or 16), respectively, within this
evaluation period. Upon entering either of the mobility states, the Qhyst of the serving cell is adjusted
by the values signaled by sf-Medium and sf-High in the Mobility Reselection Info ( -2 dB and -4 dB,
respectively, in this example). Similarly, the value of Treselection is scaled by signaled values of
sf-Medium and sf-High in Reselection Timers for Medium and High Mobility (0.5 for both cases in this
example).
A UE will return from the high or medium mobility states to the normal state if the number of
reselections to support high or medium mobility is not detected for a time specified by TCRmaxHyst (set
to 60 seconds in this example).

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Notes

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Section 3: Idle Mode Procedures

Non-Intra-Frequency Cell Reselection


For non intra-frequency searches, the UE behaves differently based on the priority of the
neighboring system. In Idle mode, a UE will perform evaluation of non intra-frequency systems only
if their priority is included in the system information. When the other system has a higher priority,
the UE always evaluates the defined neighbor cells. Reselection is performed if the measured quality
of the neighbor cell is above a signaled threshold (Threshx,high) regardless of the quality of the
serving cell. For equal priority (inter-frequency only) systems, an identical mechanism to that of
intra-frequency reselection is followed whereby the neighbor cell must be (Qhyst + Qoffset) better than
the serving cell for reselection to take place. Note that inter-RAT systems cannot be defined to have
the same priority as an E-UTRA system.
For lower priority neighboring systems, reselection can be triggered only if the serving cell falls
below a fixed threshold (Threshserving,low) and the neighbor cell is detected above a fixed threshold
(Threshx,low).
All of the conditions described above must be satisfied for a period of time defined by the
appropriate reselection timer.

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Inter Frequency (Intra LTE/Inter RAT) Cell Reselection


Inter-frequency reselection is based on absolute priorities; the UE tries to camp on highest priority
frequency available. These priorities are provided in the SIB5 and are valid for all UEs in the serving
cell. In addition, specific priorities per UE can be signaled in the RRC Connection Release message.
The dedicated signalling priorities are deleted when the UE enters the CONNECTED state, or timer
T320 expires (E-UTRAN), or when PLMN selection is performed. Only the frequencies listed in SIB5
are considered for inter-frequency reselection. This list can contain a maximum of 8 inter
frequencies that the UE may be allowed to monitor within E-UTRAN. The parameters provided in
the SIB3 are also considered for ranking evaluations.
With regard to the measurement, the specifications do not dictate behavior when the Reselection
Priority of the non serving frequency is lower than the serving frequency.
Once a cell is selected/reselected, the UE is not allowed to reselect a new cell (be it the old cell or a
new cell) for at least 1 second. Further, the Criteria 1 ensures that the reselection decisions are not
due to instantaneous RF fluctuations.
For inter-frequency neighboring cells, it is possible to indicate the cell specific offset to be
considered during reselection. These parameters are common to all cells on a different frequency.
Blacklists can be provided to prevent the UE from reselecting to specific intra- and inter-frequency.
Cell reselection also can be speed-dependent (speed detection based on UTRAN solution).
SIB6, SIB7, and SIB8 provide the related information for UTRAN, GERAN, and CDMA2000,
respectively.

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Inter-frequency Cell Reselection Example


This example shows system parameters for cell reselection that are transmitted in SIB3 and SIB5. As
in the previous intra-frequency example, the SIB3 Common Reselection Info specifies the serving
cell hysteresis as 2 dB. Additionally, the UE is informed of when to search for both intra- and non
intra-frequency neighbors. In this example, non intra-frequency searches are carried out when
Sservingcell 16 dB (2*s-NonIntraSearch) for equal or lower priority systems. Searches are always
carried out for higher priority systems. SIB5 specifies a single carrier frequency (f2) and the
parameters that are common for all cells within the carrier. Additionally, a single neighbor is
specified in terms of a Physical Cell ID (50) and an associated Qoffset (2 dB). Parameters and
neighbors for up to 8 carrier frequencies can be specified.
An additional parameter, cell priority, is transmitted in SIB3 (for the serving cell) and SIB5 (for each
of the inter-frequency neighbors). The relative priority of the cells controls the reselection decision
process, as illustrated in the following slides.

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Section 3: Idle Mode Procedures

Equal Priority Inter-Frequency Reselection


In this example, the UE moves from I to II. The UE is initially camped on the f1 cell with Physical Cell
ID 1. Assuming no intra-frequency neighbors are detected, the only other neighbor defined is the f2
cell with Physical cell ID 50. The priorities of the two frequencies f1 and f2 are defined as the same.
At point 1, SServingcell < Snonintrasearch and the UE begins to search for the inter-frequency neighbor. The
f2 cell with Physical Cell ID 50 is detected and is ranked the highest at Point 2 because its received
level (Qhyst + Qoffset) is better than that of the serving f1 cell. The reselection timer associated with f2
is started and because the cell remains the highest ranked for the period of the timer, the UE
reselects to this cell when the timer expires.

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Non-Equal Priority Inter-Frequency Reselection


In this example, the UE moves from I to II. The UE is initially camped on the f1 cell with Physical Cell
ID 1. Assuming no intra-frequency neighbors are detected, the only other neighbor defined is the f2
cell with Physical Cell ID 50. The priorities of the two frequencies f1 and f2 are defined such that f1
has a higher priority than f2. At point 1, SServingcell < Snonintrasearch and the UE begins to search for the
inter-frequency neighbor. With the defined priorities, two independent conditions must be met for
reselection to occur. The first of these is met at Point 2 when the received level of the f2 cell
becomes greater than the value of Threshx,low transmitted in SIB5. The second condition is met at
Point 3 when the received level of the serving f1 cell becomes lower than Threshserving,low
transmitted in SIB3. The Treselction timer associated with f2 is started at this time and because this
condition is met for the period of the timer, the UE reselects to this cell when the timer expires.

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Non-Equal Priority Inter-Frequency Reselection


In this example, the UE moves from I to II. The UE is initially camped on the f1 cell with Physical Cell
ID 1. Assuming no intra-frequency neighbors are detected, the only other neighbor defined is the f2
cell with Physical Cell ID 50. The priorities of the two frequencies f1 and f2 are defined such that f1
has a lower priority than f2. When higher priority neighbors are defined, the UE always searches
regardless of the received signal level. At Point 1, the UE detects that the f2 cell becomes greater
than the value of Threshx,high transmitted in SIB5. The Treselction timer associated with f2 is
started at this time and because this condition is met for the period of the timer, the UE reselects to
this cell when the timer expires.

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Reselection to other RATs


SIBs 6, 7, and 8 define reselection parameters for UTRAN, GERAN, and CDMA2000, respectively. A
number of common parameters are always transmitted regardless of the RAT. Reselection from LTE
is always based on the comparative priority of the other RAT. LTE and any other RAT cannot be
defined to have the same priority, and other RATs will not be considered for reselection unless a
priority (cellReselectionPriority) is specified in the SIB. Based on this value, the UE will use the RAT-
specific value of either Threshx,high or Threshx,low (and Threshserving,low) to decide if reselection takes
place. Additionally, each RAT will have an associated value for Treselection as well as the optional
mobility state related parameters and maximum allowed transmit power.
For UTRAN, both FDD and TDD neighbors can be specified on up to 16 different carrier frequencies.
RSRP is used as the quantity for measuring the cell received level. There is no cell-specific
information broadcast in the SIB, with the system information being common for each specified
carrier frequency.
For GERAN, neighboring carrier frequencies are organized into groups. Common reselection
parameters can be defined for up to 16 groups.
For CDMA2000 both 1xRTT and HRPD are supported in SIB8. Neighbors from up to a maximum of
32 band classes can be supported, with up to 16 neighbors per band class.

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System Information Block SIB Type 6


System Information Block 6 contains reselection information associated with UTRAN neighbors.
Information Elements are assigned on a per carrier basis with up to 16 possible individual FDD and
TDD frequencies.
For each carrier a priority is specified which controls the methodology utilized to trigger the
reselection. For IRAT, the priority can only be either higher or lower than LTE. If UTARN is higher
priority then the measured Sxrlev of the a UTRAN cell needs to be greater than the signaled value of
Threshx,high. If UTRAN is lower priority than LTE then both the Srxelv value of the UTRAN cell needs
to be greater than Threshx,low and the Srxlev value of the LTE cell needs to be lower than
Threshserving,low. A reselection timer is also signaled that is common for all UTRAN measurements.
This may be modified by the optional speed related (medium or high mobility) scaling factors. RSCP
is utilized as the UTRAN metric for all idle mode measurements.
Additionally, the maximum UE transmit power for UTRAN is specified, along with the suitability
related values of Qrxlevmin and Qqualmin for RSCP and Ec/No, respectively.

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System Information Block SIB Type 8 HRPD specific information


System Information Block 8 contains reselection related information elements associated with
CDMA2000. Reselection to both HRPD and 1xRTT is covered by this SIB. There are two common IEs
associated with timing. For a UE with a single receiver chain, the timing of the CDMA2000 system is
broadcast in the IE SystemTimeInfoCDMA2000. This can take two values depending on whether the
E-UTRAN and CDMA2000 networks are synchronized. For the synchronous case, the timing
corresponds to the CDMA2000 system time (in units of 10ms) at the SFN boundary at the end of the
SI-window in the SIB is transmitted. For the asynchronous case, the timing is defined (in units of 8
chips) from the end of the same boundary. Additionally, the CDMA2000Search Window is defined as
one of 16 values between 4 and 452 chips.
Additional reselection parameters are defined separately for HRPD and 1xRTT. For HRPD, Pre-
Registration Info lets the UE know if it should pre-register with the HRPD network. The primary and
any optional secondary registration zones are also broadcast. Further HRPD reselection information
is broadcast with the specification of the reselection timer and speed related scaling factors that are
common for all HRPD neighbors. Next, each band class is specified with unique values for the
reselection priority and the parameters Threshx,high and Threshx,low. Additionally, the frequencies
supported by each band class in terms of ARFCN are defined along with the specific PN offsets of the
neighbors associated with each.
1xRTT specific information is shown on the following slide.

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System Information Block SIB Type 8 1xRTT specific information


For 1xRTT, the reselection information is populated in an identical manner to that associated with
HRPD. The reselection timer and the optional speed related scaling factors are defined and are
common across all 1xRTT neighbors. Multiple band class can be defined, each with a unique
reselection priority and Threshx,high and Threshx,low parameters. The absolute frequencies associated
with each band are defined along with the specific cell PN offsets associated with each.
Additional IEs that are unique to 1xRTT are the CSFB Registration Parameters and the Long Code
State. If a UE supports Circuit Switched Fallback (CFSB), the UE is informed of if it should register
with the 1xRTT network. The System ID (SID) and Network ID (NID) are broadcast along with a
number of other registration related IEs: multipleSID: Multiple SID storage indicator, multipleNID:
Multiple NID storage indicator, homeReg: Home registration indicator, foreignSIDReg: SID roamer
registration indicator, foreignNIDReg: NID roamer registration indicator, parameterReg: Parameter-
change registration indicator, powerUpReg: Power-up registration indicator, registrationPeriod:
Registration period, registrationZone: Registration zone, totalZone: Number of registration zones to
be retained, zoneTimer: Zone timer length. The Long Code State IE enables the UE to determine the
sate of the long code registers in the case where Single Radio Voice Call Continuity (SRVCC) is
required thus enabling handover.

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Section 4: EPS Registration and EPS Bearer Establishment

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Notes

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Notes

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EPS Services as Charlie moves through the EPS Network


In the previous section, Charlies UE camped on the cell with Physical Cell Identity 1 (PCI) at power
on. Note that PCI 1 is in Tracking Area Code 100, which belongs to MME Area 1.
In this section, the UE will first register with the EPS network through the Initial EPS Attach
procedure. This Attach procedure is used to:
Register for packet services in EPS, and
Establish (at a minimum) a default EPS bearer that it could use to send and receive the user
application data.
The UE obtains an IPv4 or IPv6 address, or both addresses, during this procedure.
During the initial attach, the UE typically registers with a default APN, as per the subscription.
Charlie will use the existing (default) EPS bearer for browsing news, sports and stocks websites
(best effort transfer, typically).

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Initial EPS Attach Procedure Overview


In the LTE UE protocol stack, EMM and ESM reside in the NAS layer and perform the Attach
procedure.
EMM performs the registration or Attach procedure and ESM performs the PDN Connectivity
procedure to establish EPS bearers with APN(s).
Once the bearers are established, the User Plane application data is transported in these EPS bearers
through the EPS network.
To exchange NAS layer signaling messages or to transport user application data, the AS layer
protocols establish the Radio Bearers on the air interface.

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Functions in EPS to Support Registration


To support the initial EPS Attach and PDN Connectivity, a number of EPS nodes are involved and
performs various functions:
MME Selection: If an eNB connects to multiple MMEs, the eNB selects a suitable MME for the
UE based on the information provided by the UE or the instantaneous MME loading.
Authentication and NAS Security: MME interacts with HSS/AUS to download
Authentication information (UE specific); MME and UE perform mutual authentication, MME
activates NAS security.
Subscriber Data Download: MME downloads subscriber data after successful
Authentication.
PDN-GW Selection: MME selects a PDN-GW in the default APN based on the subscriber
profile.
EPS Bearer setup: MME initiates the process of establishing the EPS bearer toward selected
PDN-GW.
Policy and Charging Rule: PCRF installs the QoS and Charging information at the PDN-GW;
subsequently PDN-GW completes the EPS bearer establishment toward MME; UE is provided
IP addresses by PDN-GW. PCRF interacts with SPR (Subscription Profile Repository) via Sp
interface
UE Context: The contexts are created at the MME and eNB. The context at MME is maintained
even in the dormant state and has all the information that MME can use to support UE for
subsequent Service Requests. Context at eNB is deleted when the RRC Connection is released.

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Bearer(s) established during the EPS Registration


The Initial Attach procedure results in establishment of bearers on different interfaces because EPS
nodes executes different functions.
When the UE starts the procedure, the UE and eNB establish Signaling Radio Bearer (SRB1) on the
air interface. Next the eNB establishes the S1 Control Plane bearer with the MME. This bearer is used
to exchange UE-specific NAS messages.
Next, the MME establishes the S11 Control Plane bearer toward S-GW, and S-GW establishes the S-5
Control Plane Bearer with PDN-GW. This establishes an IP-CAN session with PCRF.
After the PCC rules have been installed, the PDN-GW initiates the S5 User Plane bearer
establishment with S-GW. Thereafter, the MME establishes the S-1 User Plane bearer between S-GW
and eNB.
Finally, the eNB establishes the SRB2 and Data Radio Bearer (DRB) between the UE and the eNB.
Note that DRB maps to S-1 User Plane bearer.

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EPS Attach Procedure + Always-on Connectivity


This figure shows only high-level procedures and messages related to a successful EPS Attach
procedure (using a simplified EPC topology with combined MME & SGW).
For illustration purposes, the Attach Procedure is divided into the following 5 phases:
A. After establishing an RRC connection (UE is in RRC connected mode), the UE can send an
Attach Request message to the MME (first registration to the EPS system). The UE is
required to also request PDN connectivity along with the Attach Request.
B. After all necessary signaling connections are established, EPC may trigger security
functions (for simplicity, only AKA is shown here). HSS will download user subscriber
information to the MME.
C. MME will process the UE request for Default EPS Bearer setup. After this, the Default EPS
bearer is established for negotiated QoS between the MME and the SGW/PGW.
D. The MME will forward the Default Bearer setup request to eNB and UE. The eNB activates
the AS security and establishes the corresponding DRBs.
E. After positive acknowledgment from the eNB and the UE of the requested Default Bearer
& QoS, and receipt of the Attach accept, the EPS Bearer is finally active and UL/DL data
can flow between the UE and the IP network.

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Notes

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A-1) EPS Attach Procedure Initiation


NAS initiates EPS Attach procedure by generating EMM Attach Request and PDN Connectivity
Request messages. The purpose of the Attach Request is to register with the EPS network. The
purpose of the PDN Connectivity Request is to establish connectivity with the PDN for transporting
user data. In order to transport the NAS layer messages, it requests AS layer to establish NAS
Signaling Connection.

MME/S-GW

PDN-GW
(A)
100
MME
1 Area 1
50

(B)
IP Network
MME
Area
2
(C)

Recall: Charlie is camped on eNB with PCI 1 (belongs to MME Area 1, MMEGI_A)

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A-1) Information used during Initial EPS Attach


The UE includes stored/subscribed information in the EMM Attach Request and PDN Connectivity
Request messages. IMSI in Attach Request is used to identify the UE by the EPS network during
Initial Attach. In addition, the supported Security Algorithms are also included.
Further, the UE uses the information obtained during camping in RRC Connection Setup. At Initial
Attach, the UE does not have the Globally Unique Temporary Identity (GUTI). GUTI is assigned by
the MME during Attach procedure. Thus GUTI is not included by RRC during RRC Connection Setup.
The UE also includes an ESM container in the Attach Request. This container carries the PDN
Connectivity Request message generated by the ESM.
ESM includes the requested PDN type to specify the IPv4/IPv6 support and desirable addresses.
When the PDN Connectivity Request message is sent together with an Attach Request message, the
UE shall not include the APN. If the UE needs to provide PCO which requires ciphering or provide an
APN, or both, during the attach procedure, the ESM information transfer flag is set in the message.
The MME will, at a later stage in the PDN connectivity procedure, initiate the ESM information
request procedure in which the UE can provide the MME with PCO or APN or both.
Refer to specification 36.101 for Band to EARFCN mappings.

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A-1) Attach Request and PDN Connectivity Request


When the device operates only in the EPS network, the attach type is EPS Attach. UEs that operate
in CS/PS mode use the combined EPS/IMSI attach to attach to both EPS and non-EPS services.
The NAS Key Set Identifier has two parts: Type of security context and NAS key set ID. For the UE
operating only in the EPS network, the type of Security context is native and the value of 111
conveys that the UE does not have any security context.
The IMSI is used by the MME to obtain the subscriber information from HSS and in UE Network
Capability IE, the supported Ciphering and Integrity Protection algorithms are included.
The ESM container carries the PDN Connectivity Request message generated by the ESM. The PDN
type specifies the IPv4/IPv6 support and desirable addresses. If the UE needs to provide APN and
PCO, which requires ciphering, the ESM information transfer flag is set. In the illustration, the UE is
requesting Primary and Secondary DNS addresses, which does not require encryption. The UE starts
T3410 timer when these messages are sent.

Attach Type EPS Attach

NAS Key Set Native EPS Security Request


Initial Attach
Identifier Context [ 0, 111] Type
PDN Type IPv4v6
EPS Mobile ESM Info
IMSI Primary
Identity Transfer Not set 0.0.0.0
DNS
Flag 0.0.0.0.0.0.0.0
UE Network EPS security address
Capability algorithms APN <not included>
Sec DNS 0.0.0.0
PCO IPCP CONF REQ Address 0.0.0.0.0.0.0.0
ESM Message PDN Connectivity
Container Request

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A-2) RRC Connection Request


When the UE (EMM) is in EMM-IDLE state (RRC state is also Idle) and needs to transmit a NAS
message, the UE (NAS) shall request the lower layer to establish a NAS Signaling Connection. This
causes RRC to establish RRC connection (SRB1) with eNB. During NAS Signaling Connection, the
NAS shall provide the establishment cause to RRC. Among the Establishment Cause, high Priority
Access concerns Access Class (AC) 11 to 15; mt-access stands for Mobile Terminating, mo-data
for Mobile Originating Data and mo-signalling for Mobile Originated signalling.
RRC includes UE-Identity: UE identity included facilitates contention resolution at lower layers. It
can be S-TMSI or Random Value (Integer value in the range [0 to 240 1] ). Since the UE does not
have S-TMSI during Initial EPS Attach, the UE includes Random ID. Note that S-TMSI is part of the
GUTI (discussed later).
NAS signaling connection is also requested in other EPS procedures:
Control Plane: EPS Attach/Detach and EPS Bearer Setup/Release
User Plane: MO Call, MT Call
SRB0 is used for sending the RRCConnectionRequest message on UL CCCH and is always available.
MO-Signaling
eNB assigns C-RNTI as CRNTI_PCI#, e.g.: MT-Access
Established Cause
MO-Data
If eNBs PCI is 1, C-RNTI= CRNTI_1 HighPriorityAccess
If eNBs PCI is 50, C-RNTI=CRNTI_50 Random ID
UE-Identity Type (40 bits)
S-TMSI

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A-2) RRC Connection Setup


In the RRCConnectionSetup message, the eNB configures the RLC and Logical Channel for SRB1.
Specification 36.331 specifies the default configuration which can also be used.
eNB may also include MAC and PHY configuration in RRCConnectionSetup message, but the eNB
does not have any information about UE capability at this point in time. It is likely that the eNB only
configures the RRC Connection with minimum configuration that all LTE UEs are likely to support.
Specification 36.331 also has the default configuration of MAC and PHY, which are used if the eNB
does not configure these explicitly.
Once the UE receives RRCConnectionSetup, UE and eNB use the SRB1 to exchange signaling
messages.

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A-2) RRC Connection Establishment


Once the SRB1 is established, the UE sends NAS PDU in DedicatedInfoNAS IE. The RRC layer is transparent for
this information.
The selectedPLMN-Identity is the index of the PLMN selected by the UE from the plmn-IdentityList included in
SIB1: 1 if the 1st PLMN is selected from the plmn-IdentityList included in SIB1, 2 if the 2nd PLMN is selected,
etc.
RegisteredMME is used to transfer the GUMMEI of the MME where the UE was last registered, as provided by
upper layers. The Globally Unique MME Identifier (GUMMEI) is constructed from the MCC, MNC and MME
Identifier (MMEI); the MMEI shall be constructed from an MME Group ID (MMEGI) and an MME Code (MMEC).
There are rules for inclusion of S-TMSI and Registered MME Entity during RRC Connection establishment. The
following table summarizes the information included in the different procedures:
Procedure Information at UE
IMSI (NAS)
Initial Attach (includes Default EPS Bearer setup) UE-Identity: Random
PLMN ID Index (RRC)
UE-Identity: Random
Tracking Area Update for MME Load Balancing
PLMN ID Index (RRC)
Registered MME Entity
Mobility driven TA Update
PLMN ID Index (RRC)
Periodic TA Update
Default EPS bearer setup with a new PDN GW UE-Identity: S-TMSI (RRC)
UE Initiated Dedicated EPS bearer setup, Detach PLMN ID Index (RRC)

Service Request procedure


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A-3) MME Selection Method


A single eNB can connect to multiple MMEs within a single PLMN or across multiple PLMNs.
Furthermore, the eNB does not maintain any information about the UE in the RRC Idle state. In other
words, the eNB is assisted by UE during RRC Connection establishment in the selection the serving
PLMN. The registered UE also provides the information that helps in the selection of MME in the EPS
network.
At initial Attach, however, the UE is not registered with any MME. Thus the UE does not provide the
information (Registered MME Entity) to forward the NAS messages received from the UE in the
RRCConnectionSetupComplete message. As a result, the eNB selects the MME (in the selected
PLMN) based on instantaneous loading of the MMEs. The loading information is provided by the
MME(s) on a periodic basis.
If an eNB only connects to a single MME, then the MME selection will not be required.
S-TMSI = MMEC + M-TMSI, and
Registered MME Entity = MMEGI + MMEC

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A-3) MME Selection for Charlie


In the illustration, the eNB is shared by the EPS network: ellTeEi and PLMN2. Thus, the PLMN
identity provided in the RRCConnectionSetupComplete is used to select the PLMN. For Charlie, it
will be ellTeEi.
Further, eNB connects to two MMEs in the ellTeEi EPS network. Since Charlie does not provide the
Registered MME entity, the eNB considers the instantaneous weight factors to select the less loaded
MME. The eNB chooses MME A in this case.
MMEs periodically send the loading information to eNBs on S1-C interface. This is not UE-specific
information.
For the EPC nodes in the EPS network, all nodes are assumed to have IPv4 IP addresses.
eNBs: eNB_PCI_ipAddr
For example, eNB with PCI 1 will have IP address eNB_1_ipAddr; eNB with PCI 400 will
have eNB_400_ipAddr, etc.
MME: MME_#_ipAddr.
For example, MME_A_ipAdrr, MME_C-ipAddr, etc.

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A-4) S1-MME Interface [eNB and MME]


eNB and MME connect on S1-MME interface and use S1 Application Protocol. An S1-MME interface
is established when the eNB and MME connect to each other during initial provisioning.
Subsequently UE specific logical S1 MME connections are established when the UE sets up RRC
Connection (NAS Signaling Connection) with eNB. Each UE is assigned a unique pair of eNB and
MME S1AP id during S1-MME control connection. eNB S1AP ID is used by MME to send the UE
specific S1 control messages, MME S1AP id is used by the eNB to send the messages to MME. These
IDs are released when the RRC Connection is released (UE transitions into RRC Idle state).
eNB and MME implement Elementary Procedures (which are, basically, messages with or without a
response) on S1-MME interface. Following is a list of important UE specific elementary procedures:
Initial Context Setup/UE Context Release
E-RAB Setup/Release/Modify
Handover Preparation/ Notification, Path Switch, etc.
eNB/MME Status Transfer
Paging
Uplink/Downlink NAS Transport
UE Capability information Indication
In addition to these, eNB and MME implement management procedures; an important one is the
MME loading information.

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A-4) Logical S1 Connection Establishment


Once the MME has been selected, the eNB sends Initial UE message to the MME. The eNB assigns a
unique eNB UE S1 AP ID to the UE. When the eNB has received the S-TMSI, it shall be included in the
message.
NAS message received from the UE is forwarded transparently to MME in this message.
Note: The S1 AP IDs assigned by the eNB (with PCI) will follow the convention eNB_PCI_S1APid. The
S1 AP ids assigned by the MME will follow the convention MME_#_S1APid.

eNB UE S1 AP id Identifier allocated by eNB = 125

TAI: 100
TAI/CGI
CGI (MCC/MNC/CI): 001 01 Cell ID

ATTACH REQUEST + PDN connectivity


NAS PDU
Request

S-TMSI (If received from UE) Not Included

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A-4) NAS PDU Processing


MME uses the IMSI in the NAS PDU of the Initial EPS Attach message to determine if it has an
existing UE context. During Initial Attach, the MME is not expected to have the UE Context. At this
point, the MME begins to create the UE context by storing the UE network capability information,
PDN connectivity request, etc. These are used later during security activation and bearer
establishment.
EPS Attach, Combined
Attach type
EPS+IMSI attach

NAS Key Set ID (eKSI) 0111 (Native context; no key)

EPS identity Old-GUTI, IMSI

Encryption/Integrity
algorithms supported
UE NW capability
Encryption: EEA0/EEA1/EEA2
Integrity: EIA1/EIA2

Last registered TAI If available

ESM message
PDN Connectivity Request
container

Other params IRAT related, DRX

EEA: EPS Encryption Algorithm; EIA: EPS Integrity Algorithm

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Notes

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Notes

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Notes

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B-1) S6a Interface [MME and HSS]


MME (network) and UE authenticate each other during Initial EPS Attach. Authentication in EPS is
always initiated by the network. To initiate the authentication, the MME downloads Authentication
information from HSS/AuC. (In this course, the HSS and AuC are assumed to be co-located.) MME
and HSS/AuC connect on S6a interface and use Diameter Protocol specified in IETF RFC 3588.
Diameter messages use SCTP defined in IETF RFC 4960.
Diameter Protocol is used on a number of different interfaces. IANA allocates Diameter application
identifier to each interface, and it has assigned 16777251 to the S6a interface application.
Diameter messages between MME and HSS are routed based on Origin-Host; Origin-Realm;
Destination-Host; Destination-Realm. Session-ID is assigned to a pair of request-response between
MME and HSS/AUC. User-Name (typically unique IMSI) is used to identify the user/UE/subscription.
In addition to retrieving authentication information through Authentication Procedure
[Authentication-Information-Request/Answer (AIR/AIA)], the interface is used to update the user
location and download subscriber data [Update-Location-Request/Answer (ULR/ULA)].

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B-1) Authentication Procedure


MME and HSS/AuC use commands Authentication-Information-Request/Answer (AIR/AIA) in the
Diameter application for Authentication Procedure. The MME uses this procedure to retrieve the
Authentication Vectors from the HSS. The MME sends Authentication Information Request message
to the HSS/AUC.
The MME includes IMSI and requests EUTRAN vector. A stand alone MME shall include the
Requested-EUTRAN-Authentication-Info only.
MME also indicates the PLMN (MCC/MNC) requesting the information and type of node (MME)
requesting it.

IMSI 001010123456789
Requested-EUTRAN- No. of requested vector(s):1
Authentication-Info
Visited PLMN ID 001/01 [MCC/MNC]

Requesting Node Type MME

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B-1) Authentication Vectors from HSS/AUC


On receiving an Authentication Information request, the HSS shall check whether the IMSI is known.
DIAMETER_ERROR_USER_UNKNOWN is returned if IMSI is not known.
DIAMETER_ERROR_UNKNOWN_ EPS_SUBSCRIPTION is returned if IMSI is known but the subscriber
has no EPS subscription. Otherwise, the HSS returns the result code DIAMETER_SUCCESS. There are
other return codes in addition to these.
The HSS then requests the AuC to generate the requested Authentication Vectors (AVs). The AuC
uses the long term Key, K, tied to IMSI and, since here the EUTRAN-Authentication-Info is requested,
the HSS shall generate the KASME before sending the response to the MME. Overall, the
Authentication Vector includes a random number (RAND), XRES, AUTN and KASME.
Note that XRES is variable in length and the selected length is stored in the USIM as well as AuC. The
same is true for KASME.
Authentication Vector
RAND 16 octets
4-16 octets (depends on
XRES
RES_LENGTH)
AUTN 16 octets

KASME 8 or 16 octets

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B-1) NAS Transport


The NAS message Authentication Request message is carried as NAS PDU to authenticate the UE.
If the MME only needs to send a NAS message transparently via the eNB to the UE, the MME shall
send a Downlink NAS Transport message to the eNB including the NAS message as a NAS-PDU IE. If
the UE-associated logical S1-connection is not established, the MME shall allocate a unique MME UE
S1AP ID for the UE and include that in the Downlink NAS Transport message. Upon reception of
MME UE S1AP ID IE in eNB, the UE-associated logical S1-connection is established.
Similarly, when the eNB has to send only a NAS message to the UE, it uses the Downlink Information
Transfer message. Downlink (DL) Information Transfer and Uplink (UL) Information Transfer are
RRC messages; they carry NAS signaling messages on SRB1.

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B-2) Authentication and Key Agreement Procedure


MME initiates the Authentication and Key Agreement procedure by sending the Authentication
Request to the UE. The MME sends to the UE the random challenge RAND and an authentication
token AUTN for network authentication from the selected authentication vector.
Upon receipt of this message, the UE shall verify whether AUTN can be accepted. The UE shall check
that the "separation bit" in the AMF field of AUTN is set to 1 and reject authentication otherwise
with a cause value. The "separation bit" is bit 0 of the AMF field of AUTN. If AUTN is acceptable, the
UE produces a RES and computes CK and IK.

NAS key set


0, 000
(eKSI)
<same as received
RAND
from HSS>
<same as received
AUTN
from HSS>

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B-2) Successful Authentication


The UE also has the long term key, K, stored in the USIM. It first generates CK and IK and then
computes KASME from CK, IK, and the serving network's identity (SN ID) using the Key Derivation
Function (KDF). SN ID binding implicitly authenticates the serving network's identity when the
derived keys from KASME are successfully used. At this point, the UE has successfully created an EPS
NAS Security Context.
Once the NAS Security context is created, the UE (EMM) generates an Authentication Response
message and includes RES in it. This NAS message is carried by the RRC as NAS PDU in the
UplinkInformationTransfer message (an RRC message) to the eNB.
The eNB forwards the NAS PDU to the MME in Uplink NAS Transport message.
After Authentication, the MME may also retrieve the ME Identity (e.g. IMEI or IMEI-SV), which shall
be transferred encrypted, and may send it to the EIR (Equipment Identity Register) for validation.
This can be done after Authentication and NAS security or, to minimize signalling delays, may be
combined with NAS security setup.
USIM and AuC both hold subscribers long term key, K (128 bits).
During AKA, keys are created.

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B-3) NAS Security Activation


EPS uses two different security layers
UE to MME to protect NAS signalling (NAS security)
UE to eNB to protect AS signalling and User Plane (AS security)
Compromise of a key at a lower level does not compromise the keys at a higher level.
Recall that the UE indicated in the UE network Capability of the EMM Attach Request message that it
supports EEA0/EEA1/EEA2 algorithms for encryption and EEA1/EEA2 for integrity protection.
These algorithms are:
EEA0 Null ciphering algorithm
128-EEA1 SNOW 3G based algorithm
128-EEA2 AES based algorithm
MME selects a NAS integrity algorithm and a NAS ciphering algorithm for the UE. The MME is
expected to select the NAS algorithms that have the highest priority according to the ordered lists.
The selected algorithm is indicated in the NAS Security Mode Command message to the UE and shall
also include the UE security capabilities into that message. This message is integrity protected by
MME with the selected algorithm. 0011 (Integrity protected with
Security Header Type
MME may request IMEI-SV in the NAS Security new EPS security context)
Mode Command. Ciphering and Int Alg. EEA1 (SNOW 3G)/EEA1 (SNOW 3G)
NAS key set (eKSI) 0,000
Others E.g request IMEI-SV
UE Capability (as received in Attach Request)

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B-3) NAS Security Activation


The UE verifies that the message from the MME contains the correct UE security capabilities. This
enables detection of attacks where an attacker has modified the UE security capabilities in the initial
NAS message.
The UE generates NAS security keys (KNASenc and KNASint) based on the algorithms indicated in the
NAS Security Mode Command and replies with an integrity protected NAS Security Mode Complete
message, protected by KNASint.
NAS security is considered activated at this point. Once NAS Security is activated, Security
protected NAS message is exchanged where applied security is indicated by Security Header Type.

0100 (Integrity protected


Security Header
and ciphered with new
Type
EPS security context)

Mobile Identity If requested

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B-4) Location & Subscriber Information Exchange


After AKA and NAS security activation, the MME uses the Update Location procedure to update the
UE location in HSS. This procedure is invoked by the MME by sending an Update Location Request
command (a Diameter based message). The MME includes MME Identity, IMSI, and Update Type
(Update Type indicates Attach procedure) in this message. In the ULR flags, the MME indicates that
the subscriber data is requested.
If the IMSI is known in the HLR and the ULR flag indicates that the subscriber data is requested (as is
the case during Initial Attach), the HSS sends a Result Code of DIAMETER_SUCCESS and subscription
data in the Update Location Answer command.
Subscription data contains useful information that assists the MME in completing the Attach
procedure and establishing the EPS bearers for the UE. The Network-Access-Mode identifies the
type of access (PACKET_AND_CIRCUIT, ONLY_CIRCUIT, ONLY_PACKET). Access-Restriction-Data
indicates the access technology restrictions. RAT-Frequency-Selection-Priority-ID identifies the
frequency restrictions for the UE, to be considered by the eNB during handovers/redirections.
IMSI 001010123456789

IMEI (if requested in


Terminal Info
Security Mode Command)

RAT type E-UTRAN

ULR flags (indicates


Others subscriber data is
requested), VPLMN-ID
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B-4) Location & Subscriber Information Exchange


The APN-Configuration-Profile contains the information related to the user's subscribed APN
configurations for EPS. Within it, multiple APN configurations may be included depending on the UE
subscription. Since Charlie has subscribed to two APNs, both are included here. For each APN, the
HSS includes PDN-Type (IPv4 only, IPv6 only, IPv4v6), Service-Selection identifies the APN-NI
(discussed later), the QoS information for the default EPS bearer with the APN in consideration. Also
included are PDN-GW-Allocation-Type that helps MME select a PDN-GW within an APN for the UE.
And finally the APN-AMBR for non-GBR bearers is also included. Only QoS for the default EPS bearer
for each APN is downloaded at MME from the HSS. APN-AMBR limits the aggregate bit rate across all
non-GBR bearers and across all PDN connections of the same APN. UE-AMBR is the sum of the APN-
AMBR of all active APNs.
Result Success APN config, profile (one per APN)
Default APN Configuration:
Optional (if [PDN-Type: IPv4v6]
Subscriber
requested by [Service-Selection: voipAndDefaultAPN.com]
data
MME in ULR flag) [ EPS-Subscribed-QoS Profile: {QCI_9, ARP:15}]
[ PDN-GW-Allocation-Type: DYNAMIC ]
Others ULA flags [ 3GPP-Charging-Characteristics ]
[ APN-AMBR [UL/DL]: 300/300 Kbps ]

Additional APN Configuration:


See later for more details on Wildcard APN
Subscription data few example IEs
[ Network-Access-Mode: ONLY_PACKET ]
[ Access-Restriction-Data :ONLY_EUTRAN]
[ 3GPP-Charging-Characteristics ]
[ UE-AMBR[UL/DL]: 500/500 Kbps ]
[ APN-Configuration-Profile ]
[ RAT-Frequency-Selection-Priority-ID ]

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Notes

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Step B: Authentication, NAS Security & Subscription Download Summary


During authentication for services in EPS:
MME downloaded Challenge/Response pair from HSS/AUC
UE also authenticated EPS network
MME also downloaded variant of root security key from HSS:
MME and UE generated NAS/eNB security keys and created UE Security Context
MME and UE activated NAS Security
MME downloaded subscriber data from HSS after successful authentication:
Initiated creation of UE Context at the MME

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Notes

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C-1) What is next at MME?


There can be multiple PDN-GWs and S-GWs for a given APN within a single PLMN; only one S-GW
and one PDN-GW serves a UE with an APN.
After subscriber data is downloaded, MME initiates EPS bearer setup with P-GW. To accomplish this:
1. The MME selects a PDN-GW in the subscribed default APN.
2. The MME then selects S-GW.

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C-1) Default APN Determination


The MME considers Requested APN (if included) by the UE in PDN Connectivity Request and
Default APN in Selection-Service in the Subscriber profile downloaded from HSS (expected to be
same) during PDN-GW selection. Update Location Answer was sent by the HSS in response to
Update Location Request, when the MME successfully completed Authentication and NAS Security.
In the illustration above, the MME connects to two APNs. The UE did not include the APN in the PDN
Connectivity Request. However, since the Default APN from HSS is voipAndDefaultAPN.com, APN
officeAccessAPN.com is ruled out for establishment of default EPS bearer during Initial Attach.
In general, the MME follows the subscriber information from HSS for APN selection (in case of
conflict).

PDN Type IPv4v6 Primary 0.0.0.0


DNS address 0.0.0.0.0.0.0.0
APN <not included> Sec DNS 0.0.0.0
Address 0.0.0.0.0.0.0.0.
PCO IPCP CONF REQ

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C-1) PDN-GW Selection


This illustration shows two PDN-GWs in the APN. The MME needs to select one PDN-GW in the APN
for the UE. The PDN-GW selection by the MME is based on the PDN-GW Selection function.
If the subscription context from HSS contains a PDN GW identity corresponding for the default APN
(static configuration), the MME shall use the PDN GW corresponding to the default APN for default
bearer activation. If the default PDN subscription context contains no PDN GW identity (dynamic
configuration) the MME selects a PDN GW. In this case, the MME constructs the APN FQDN from the
APN-NI (Service-Selection) and APN-OI. HSS provides the APN-NI (Network Identifier) in Update
Location Answer and default APN-OI (Operator Identifier) is expected to be known to MME. The
API-OI takes the format mnc001.mcc001.3gppnetwork.org as mandated by 3GPP specifications.
However, if APN-OI is provided by HSS, it is used instead. The APN-NI and APN-OI are concatenated
to form APN FQDN and is used for the DNS query. In the illustration above, the FQDN is
voipAndDefaultAPN.com.mnc001.mcc001.3gppnetwork.org.
When the DNS server is queried for this FQDN, an IP address of 192.168.1.250 is returned.
To establish additional EPS bearers, UE provides APN information to connect to a specific PDN. MME
verifies whether this UE is authorized for this APN by looking into the HSS Subscriber information. If
HSS subscriber database does not contain UE requested APN information, MME does not allow the
associated PDN-GW connection. If HSS database contains wildcard APN, then MME accepts any
APN provided by the UE.

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C-1) S-GW Selection


For EPS Bearer establishment, MME selects the S-GW after selecting PDN-GW. MME can interact
with the DNS server to resolve a DNS string into a possible list of S-GW addresses which will cover
the UE location. Furthermore, the S-GW is selected so that it reduces the probability of changing S-
GWs. Additionally, the MME may consider the load sharing among S-GWs within the same serving
area.
In the illustration above, the MME selected S-GW 1 (with IP address 192.168.1.1).
SGW and PGW have the following conventions:
SGW: SGW_#_ipAddr etc.
PGW: PGW_#_ipAddr etc.

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C-2) Protocol on S11, S5 and S1-U Interface


Within the EPS network, nodes MME, S-GW, P-GW and eNB (for User Plane) use the GPRS Tunneling
protocol.
The IP addresses for these nodes are shown above.

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C-2) Tunnels in GTP Protocol


The EPS nodes establish GTP tunnels on different interfaces to exchange control and User Plane
traffic for the UEs. A GTP tunnel is identified in each node with a TEID, an IP address and a UDP port
number. The receiving end side of a GTP tunnel locally assigns the TEID value the transmitting side
has to use. The TEID values are exchanged between tunnel endpoints using GTP-C or S1-MME
messages, depending on the interface. UDP Destination Port number for GTP-C request messages
shall be 2123.
These nodes establish one GTP-U (GTP User Plane) tunnel for each EPS bearer. In other words, a
separate GTP tunnel is established for a default EPS bearer and then each of the dedicated EPS
bearer wherein each EPS bearer has differing QoS requirements. In that sense, the GTP-U tunnels
separate traffic in different communication flows.
In the illustration above, a single TEID at the S-GW is used for UL (traffic from MME and eNB,
Control Plane and User Plane, respectively) and DL (traffic from P-GW for both Control Plane and
User Plane) for simplicity. They are likely to be different in real EPS implementations and the S-GW
will maintain the mapping between these TEIDs.
The EPS nodes identify themselves by including the interface identifier. These nodes generate a
triplet known as F-TEID, which includes interface identifier, TEID, and IP address of the node.

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C-2) S11 Bearer Establishment


The MME creates MME F-TEID for Control Plane (a F-TEID includes interface type, 32-bit TEID and the nodes
IP address) and sends Create Session Request with IMSI, MME F-TEID, PDN GW address (as F-TEID), PDN
Address (if static IP is assigned by the HSS), the APN, RAT type (EUTRAN), Default EPS Bearer QoS, PDN Type
(IPv4, IPv6 or IPv4v6), APN-AMBR, EPS Bearer Identity, PCO, Charging Characteristics and the Protocol Type
over S5 in the Indication Flags to the selected Serving GW. The RAT type is used for the PCC decision. Charging
Characteristics indicates the kind of charging the bearer context is liable for. The MME may change the
requested PDN type according to the subscription data for this APN. The Protocol Type over S5 (GTP or PMIP)
is provided to S-GW.
In the message above, the MME includes the IP address of selected PDN-GW and PDN type is set to IPv4v6 as
indicated by the UE in PDN Connectivity Request. The PCO (not shown above) as received from UE in PDN
Connectivity Request is also included. QoS information for the default EPS bearer is extracted from subscriber
data obtained from HSS.
Message Type, Length and TEID-C 10 (S11 MME GTP-C
GTP-C header Interface Type
(destination) = 0 interface)
Serving Network; RAT 001/01; EUTRAN
TEID 50000
Indication Flags S5/S8 Protocol Ind.: GTP
MME F-TEID (C) IPv4 address 192.168.1.50
Int. Type=7, TEID=0,
PGW F-TEID (C)
IPv4 Add: 192.168.1.250
APN voipAndDefaultAPN.com
EPS Bearer ID 5
PDN Type IPv4v6
0.0.0.0 (IPv4); QCI: QCI_9
PDN Address Allocation Bearer level QoS
0.0.0...0 0.0 (IPv6) ARP: 15
APN-AMBR [UL/DL] 300/300 Kbps
Charging Characteristics
Bearer Contexts Default EPS Bearer

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C-2) S5 Bearer Establishment


Upon receiving the Create Session Request from the MME, the Serving GW creates a new entry in its
EPS Bearer table, creates separate DL F-TEIDs for the Control Plane and User Plane. It then sends a
Create Session Request with IMSI, S-GW F-TEID-C, S-GW F-TEID-U and additional information
received from the MME to the selected PDN-GW provided by the MME in the received Create Session
Request message.

Message Type, Length and TEID-C


GTP-C header
(destination) = 0
Serving Network
001/01; EUTRAN
[MCC/MNC]; RAT
Indication Flags Piggybacking Supported: Yes

S-GW F-TEID-C 6, 50050, <192.168.1.1>

APN voipAndDefaultAPN.com
EPS Bearer ID 5
PDN Type IPv4v6
4, 50051,
PDN Address 0.0.0.0 (IPv4); S5-U SGW F-TEID
<192.168.1.1>
Allocation 0.0.0...0 0.0 (IPv6)
QCI: QCI_9
Bearer level QoS
APN-AMBR [UL/DL] 300/300 Kbps ARP: 15

Bearer Contexts to be Charging Characteristics


Default EPS bearer
created

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C-3) IP-CAN Establishment (Dynamic PCC)


The P-GW allocates IP addresses to the UE (both IPv4 and IPv6 addresses are allocated, if
requested). The PDN GW takes into account the received PDN type, the Dual Address Bearer Flag
and the policies of operator when the PDN GW selects the PDN type to be used.
Further, in the illustration above, the EPS deploys dynamic PCC. In other words, the P-GW acts like a
PCEF (Policy Control and Enforcement Function) and obtains the default PCC rules for the UE from
PCRF. In order to obtain the rules, the PDN-GW performs an IP-CAN Session Establishment
procedure.
The PDN-GW uses Diameter protocol on Gx interface to connect to PCRF. It assigns a Session-ID and
indicates Initial Request in the CC-Request message sent to the PCRF. The Framed-IP-Address
carries the allocated IP addresses. The Serving Network, RAT type, APN-AMBR, Default EPS Bearer
QoS are also provided to the PCRF by the PDN GW. Session-ID 1

When the PDN GW/PCEF is configured to activate predefined CC-Request-Type INITIAL-REQUEST

PCC rules for the default bearer, the interaction with the PCRF is Subscription-ID
(IMSI)
001010123456789
still required to provide e.g. the UE IP address information to the RAT-TYPE EUTRAN
PCRF. Further, when the IP address is not available when the
PDN GW performs the IP-CAN Session Establishment procedure Framed IP Address
IPv4: 10.168.48.171
IPv6:UE_IPv6_addr
(as is the case when UE requests IP address from DHCP) with
the PCRF, the PDN GW initiates an IP-CAN Session Modification APN-AMBR 300/300 Kbps
procedure to inform the PCRF about an allocated IP address as Default-EPS-Bearer- QCI: QCI_9
soon as the address is available. QoS ARP: 15

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C-3) Download (additional) QoS Profiles from SPR


If the PCRF does not have the subscriber's subscription information (which is the case during Initial
Attach), it sends a request to the Subscriber Profile Repository (SPR) to receive the information
related to the IP-CAN session. The PCRF provides the subscriber ID and, if applicable, the PDN
identifier to the SPR. In the illustration above, the SPR downloads two additional subscribed QoS
profiles (QCI_1 and QCI_5) for the UE at the PCRF. These are specific to the use of VoIP applications.
The PCRF may request notifications from the SPR on changes in the subscription information. The
PCRF stores the information about the allowed service(s) and PCC Rules information. Subsequently,
the PCRF makes the authorization and policy decision.

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C-3) Procedures at PCRF


The PCRF sends the decision(s), including the chosen IP-CAN bearer establishment mode, to the P-
GW (PCEF), which eventually enforces the decision. The PCRF may provide the default charging
method (in Charging-Rule-Definition) and may include the PCC Rules to activate and the Event
Triggers to report.
Policy and Charging Rules allow the enforcement of policy associated with the IP-CAN
session.
Event Triggers indicate to the P-GW (PCEF) what events must be reported to the PCRF.
The PCRF may modify the APN-AMBR and the QoS parameters (QCI and ARP) associated with the
default bearer in the response to the PDN GW.

Session-ID 1

CC-Request-Type INITIAL-REQUEST

Bearer-Control- Charging-Rule-Name Default_APN1


UE_NW
Mode
Charging-Rule- QoS-Information QCI_9, ARP:15
Charging-Rule-Definition
Install
Metering-Method VOLUME

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C-4) Procedures at P-GW


The P-GW creates a new entry in its EPS bearer context table and generates a Charging ID. The new entry allows the P-GW
to route User Plane PDUs between the S-GW and the packet data network, and to start charging. The PDN GW sends a
Create Session Response to S-GW and includes PDN-GW F-TEID for Control Plane and User Plane data. It also includes PDN
Address Allocation (IP addresses), EPS Bearer QoS (unchanged if the PCRF or PDN-GW has not modified it due to local
policy), Protocol Configuration Options (DNS address, for example), Charging ID, Cause and APN-AMBR.
The PDN Address Allocation contains an IPv4 address for IPv4 and/or an IPv6 prefix and an Interface Identifier, depending
on the allocation. If the PDN has been configured by the operator so that the PDN addresses for the requested APN shall be
allocated by usage of DHCPv4 only, or if the PDN GW allows the UE to use DHCPv4 for address allocation according to the
Address Allocation Preference received from the UE, the PDN Address shall be set to 0.0.0.0, indicating that the IPv4 PDN
address shall be negotiated by the UE with DHCPv4 after completion of the Default Bearer Activation procedure. In case of
external PDN addressing for IPv6, the PDN GW obtains the IPv6 prefix from the external PDN using either RADIUS or
Diameter client function. In the PDN Address field of the Create Session Response, the PDN GW includes the Interface
Identifier and IPv6 prefix. The PDN GW sends Router Advertisement to the UE after default bearer establishment with the
IPv6 prefix information for all cases.
P-GW may install the DSCP marking based on the QoS for DL User Plane traffic. Typically, the default EPS bearer are
expected to be match-all filter.
Message Type, Length and TEID-C
GTP header
(destination) = 50050
Cause Success
EPS Bearer ID 5
PGW S5 F-TEID-C 7, 50100, <192.168.1.250>
5, 50101,
IPv4: 10.168.48.171 PGW S5 F-TEID-U
PDN Address <192.168.1.250>
IPv6 Prefix:
Allocation QCI: QCI_9
IPv6 I/f ID: Bearer level QoS
ARP: 15
PCO DNS IP addresses
Charging-ID 240
Bearer Contexts Bearer Context

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C-4) Procedures at S-GW


The Serving GW updates the F-TEID-U to EPS Bearer ID mapping and sends Create Session Response
with PDN Address Allocation, S-GW F-TEID-C and S-GW F-TEID-U, EPS Bearer Identity, EPS Bearer
QoS, PDN GW addresses, Protocol Configuration Options and Cause to the MME.
S-GW F-TEID-U is used by eNB to forward the User Plane traffic to the S-GW.

Message Type, Length and TEID-C


GTP header
(destination) = 50000
Cause Success

SGW S11 F-TEID-C 11, 50050, <IPv4 SGW>

IPv4: 10.168.48.171 EPS Bearer ID 5


PDN Address
IPv6 Prefix:
Allocation
IPv6 I/f ID. S1-U F-TEID-U 1, 50051, <IPv4 SGW>
DNS IP addresses (Primary &
PCO QCI: QCI_9
Secondary Bearer level QoS
ARP: 15
Bearer Contexts
Bearer Context
created

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Notes

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Notes

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Notes

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D-1) MMEs and Tracking Areas in ellTeEi


Now that the default EPS bearer between the S-GW and P-GW is established successfully, and MME
has received the S-GW F-TEID for the UL traffic to be used at the eNB, the MME prepares EMM
Attach Accept for the UE.
In the EPS network architecture that we have considered, the MME Area 1 has three Tracking Areas
with TAI 100, 101 and 102. Therefore, the MME shall register the UE for both the tracking areas
during Attach.

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D-1) EMM Attach Accept & Activate Default EPS Bearer Request

MME sends EMM Attach Accept, which includes Activate Default EPS Bearer Context Request in the ESM
container. In the Attach Accept, the MME also includes T3412, which refers to the duration for which the
registration will be valid. The UE must re-register with MME when this timer expires. The TAI list is included
as discussed on the previous slide.

The EMM also assigns GUTI (Globally Unique Temporary Identity) to the UE. GUTI comprises of MCC/MNC of
the network assigning the GUTI. In addition, it includes the MMEGI (MME Group ID) of the MME Area and
MMEC (MME Code) of the MME within the MME group. All UEs registered with this MME have the same set of
MCC/MNC, MMEGI and MMEC. The M-TMSI is unique for every UE within a MME.

In the Activate Default EPS Bearer Context Request, the MME includes the QCI of the default EPS bearer, the
APN, the allocated IP addresses. When the IPv6 address is allocated, the MME only includes the IPv6 interface
identifier. The complete IPv6 address is created when the UE receives the Router Advertisement message
later.

Attach Result EPS Only EPS QoS QCI_9


voipAndDefaultAPN.com.
T3412 60 minutes APN
mnc001.mcc001.3gppnetwork.org
TAI list 100, 101 PDN IPv4: 10.168.48.171
Address IPv6 I/f ID:
Activate default EPS bearer APN-
ESM Container 300/300 Kbps
context request AMBR
PCO DNS IP addresses
GUTI 001/01; 1000; 10, M-TMSI
EPS network IMS voice over PS session
feature support in S1 mode supported

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D-1) Initial Context (S1 Bearer Setup)


The MME encapsulates the Attach Accept as NAS PDU in the Initial Context Setup Request message and sends
it to eNB on the UEs S1 control channel. In this message, the MME includes the E-RAB IE for the bearer to be
established. This IE contains the EPS bearer ID and the QoS of the default EPS bearer. The eNB uses the QoS
information to determine the RLC, MAC and PDCP parameter configuration of the DRB mapped to default EPS
bearer. Further, the MME includes the transport IP address and TEID that the eNB can use to send the User
Plane data to S-GW. MME extracts this information from the Create Session Response received from S-GW.
The MME also includes the supported security algorithms and the KeNB to the eNB, which are used by the eNB
to generate AS security context. The RAT/Frequency priority list is included as received from HSS when the
subscriber data is downloaded after successful authentication.

MME UE S1 AP
ID/ eNB UE S1 AP 225/125
ID
UE AMBR 500/500 Kbps
E-RAB to setup
<one>
list E RAB ID 5
UE supported E RAB level QoS
UE security QCI_9; ARP:15
algorithms (encryption and parameters
capabilities
integrity protection)
Transport Layer address 192.168.1.1
Security Key KeNB
GTP TEID 50051
HO Restriction <roaming or access
List restrictions for handover>
Attach Accept + Activate
NAS PDU
RAT/Freq priority Default EPS Bearer Request

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D-2) AS Security
The eNB creates the AS Security context when it receives the KeNB from the MME in the Initial
Context Setup Request message. The eNB generates KRRC-int, KRRC-enc and KUP-enc and chooses the
highest priority ciphering and integrity protection algorithms from its configured list and are also
present in the UE EPS security capabilities. The ciphering algorithm is used for ciphering the User
Plane and RRC traffic. The integrity algorithm is used for integrity protection of the RRC signaling
messages. The chosen algorithms are indicated to the UE in the AS Security Mode Command and this
message shall be integrity protected with KRRC-int.
Upon reception of AS Security Mode Command, the UE generates KRRC-int, KRRC-enc and KUP-enc and
sends an AS Security Mode Complete message to the eNB.

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D-3) UE Capability Exchange


The eNB sends UECapabilityEnquiry to transfer UE radio access capability information to E-UTRAN.
The eNB indicates the RAT for which it is requesting the capabilities. This message supports
requests for E-UTRAN, UTRAN, GERAN, CDMA-1xRTT. In the illustration above, the eNB is
requesting only E-UTRAN capabilities.
The UE responds with UECapabilityInformation message, which includes the requested RAT
container(s), if RAT is supported. The information obtained is used to set up the MAC and PHY
configuration (receive and transmit capabilities, e.g., single/dual radio, dual receiver) of the RRC
connection. It also enables efficient measurement control, preventing unnecessary waking up of the
measurement entity.

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D-4) SRB2 and DRB Setup


The eNB sends the RRC Connection Reconfiguration message including the EMM Attach Accept message (as
NAS PDU) to the UE. The eNB also includes configuration to establish SRB2 and DRB (Data Radio Bearer). The
DRB is tied to the default EPS bearer and the configuration of the DRB and also that of the MAC/PHY
(optional) depends on the QoS of the EPS bearer and the UE Capability.
Upon reception of EMM Attach Accept, the UE stops the T3410 timer. The EMM stores the T3412 timer, the
GUTI and the TAI list. The ESM stores the QCI and other QoS information for the default EPS bearer, the APN,
the IP addresses.
The UE (RRC) responds with RRCConnectionReconfigurationComplete message (on SRB1) to acknowledge the
establishment of SRB2 and DRB.
The eNB may configure the measurement configuration at the UE (for Connected mode measurements and
reporting) in the RRCConnectionReconfiguration message (by including MeasConfig IE). Measurement
reporting is discussed in Section 6 Mobility Management in Connected State.
SRB Setup
SRB identity (2)
Logical channel/RLC config
DRB Setup
Radio Resource Config EPS Bearer: 5
Dedicated DRB-Identity: 1
PDCP config: RLC-AM
Logical Channel Config: Prio; PBR
RLC config
Logical Channel ID: 3
Dedicated
Attach Accept + Activate Default EPS Bearer Request
NAS info
MeasConfig Measurement Events and Report may be configured

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Notes

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E-1) eNB Complete EPS Bearer Setup


Upon reception of RRCConnectionReconfigurationComplete, the eNB sends the Initial Context
Response message to the MME and includes the DL TEID and the transport address that the eNB has
assigned to the User Plane data. This is used by the S-GW to forward the User Plane data to the eNB.

MME UE S1 AP ID/ eNB: 125


eNB UE S1 AP ID MME: 225

RAB-ID, Transport Layer


E-RAB setup
Address and GTP-TEID
E RAB ID 5

Transport Layer address 192.168.1.101

GTP TEID 50001

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E-2) Completion of EPS Registration (E-RAB Setup)


In parallel, the UE sends Attach Complete and Activate Default EPS Bearer Context Accept as NAS
PDU in RRC layer UL Information Transfer message, acknowledging the completion of the Attach
procedure and establishment of EPS bearer. The NAS PDU is forwarded by the eNB in the UL NAS
Transport message to the MME.
Upon reception of this message, the MME sends the Modify Bearer Request to the S-GW. In this
message, the MME forwards the DL TEID and Transport Address that the eNB provided for Default
EPS bearer in the Initial Context Response message. At this point, the end-to-end EPS default bearer
has been established between the UE and the PDN-GW.
The UE can now send Uplink packets to the eNB that will be tunneled to the S-GW and PDN GW. This
is true for User Plane data using IPv4 address (for itself) and IPv4 based corresponding node.

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E-3) IPv6 Prefix Allocation


In the EPS network, Stateless Address Auto-configuration is mandatory. In this, the UE only receives
IPv6 Interface Identifier when the UE requests IPv4v6 or IPv6 address in the Attach Accept message.
The P-GW then sends the Router Advertisement message with the IPv6 prefix to the UE. If the UE
does not receive the Router Advertisement message, it can send a Router Solicitation message to
request it. The IPv6 Prefix is a globally unique (/64). The PDN GW maintains the mapping between
the IMSI and the allocated IPv6 prefix.
The IPv6 interface identifier (RFC 4862) is provided to the UE so that the link local address
generated by the UE does not collide with the link local address of PDN-GW. Once the UE has
received the IPv6 prefix, it constructs a full IPv6 address via IPv6 Stateless Address auto-
configuration (RFC 4862). During stateless address auto-configuration, the UE can choose any
interface identifier to generate IPv6 addresses, other than link-local based on the interface
identifier. For privacy (RFC 3041) the UE may change the interface identifier used to generate full
IPv6 addresses, without involving the network (as long as it does not collide with that PDN-GW).

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Notes

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Notes

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Notes

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Summary Bearers, Tunnels, Keys, and IP Addresses


This slide summarizes the different identities that are used at different nodes to support the Attach
and Default EPS bearer establishment.
When the UE initiated the Initial Attach, it only had IMSI and during the Attach, it was assigned
GUTI. The GUTI comprises of MCC/MNC + MMEGI + MMEC + M-TMSI. The network uses S-TMSI
(MMEC +M-TMSI) to page the UE. The UE also uses the S-TMSI in the RRCConnectionRequest
message to identify itself in MME.
The eNB and MME create the eNB S1 AP ID and MME S1 AP during S1 Control plane establishment.
All S1 Control Plane messages carry these IDs. The MME, S-GW and P-GW create DL, DL/UL and UL
TEID-C for control messages on S11 and S5 interfaces. In this illustration S-GW DL/UL TEID are the
same. The eNB, S-GW and P-GW also creates DL, UL/DL and UL TEID-U for User Plane data. The User
Plane is mapped to EPS bearer ID 5, which is carried by DRB 1 on the LTE-Uu interface.
In Connected mode, there is an AS UE context at the eNB and a UE context at the MME.

SRB ID eNB S1 AP ID MME S1 AP


EPS ID or or ID or MME SGW TEID PGW TEID
DRB ID eNB TEID (U) TEID (C)

1 and 2 125 225

50000 50050 50100

5 1 50001 50051 50101

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Packet Data Dormancy What Remains?


When the UE transitions to Idle state (RRC Idle or ECM Idle) at RRC Connection release, the UE
context at the eNB is deleted. DRB (and SRBs) are deleted too. The eNB S1 AP ID and eNB TEID-U
are also deleted.
The UE context at the MME remains. The GUTI remains valid in the UE as well as MME.

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EPS Attach Reject Causes Defined by the Specifications


For reference, the following list summarizes the scenarios/causes for Attach failure. The Reject
cause numbers listed below refer to the NAS EMM Reject cause.
#3 (Illegal UE)
#6 (Illegal ME)
#7 (EPS services not allowed)
#8 (EPS services and non-EPS services not allowed)
#11 (PLMN not allowed)
#12 (Tracking area not allowed)
#13 (Roaming not allowed in this tracking area)
#14 (EPS services not allowed in this PLMN)
#15 (No suitable cells in tracking area)
#25 (Not authorized for this CSG)

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Notes

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Network Triggered (Paging Procedure)


When the S-GW receives a Downlink data packet for a UE in EMM Idle (RRC Idle) state (known as
User Plane (S1-U) not connected, i.e., the S-GW context data indicates no Downlink User Plane
TEID), the S-GW buffers the Downlink data packet.
The Serving GW sends a Downlink Data Notification message to the MME. The MME responds to the
S-GW with a Downlink Data Notification Ack message and sends a Paging message to the eNB. The
MME includes the UE Paging Identity (both IMSI and S-TMSI) and, optionally, the Paging DRX IE (if
UE requested a specific one during Attach or TAU) in the Paging message. The eNB uses the IMSI and
PCCH-Configuration to determine the Paging frame and Paging Occasion to page the UE.
The Paging message from the eNB to the UE contains S-TMSI. The Paging message is a broadcast
message for all UEs that are configured to listen to the Paging frame; therefore, the message may
also contain S-TMSIs for other UEs.
Upon reception of the Paging message, the UE initiates the Service Request procedure, which will re-
establish all dormant E-RABs (DRB + S1-U bearer).
If the Serving GW receives additional Downlink data packets for this UE, the Serving GW buffers
these Downlink data packets and does not send a new Downlink Data Notification.

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Notes

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Notes

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Step B: Authentication, NAS Security & Subscription Download Summary


During authentication for services in EPS:
MME downloaded Challenge/Response pair from HSS/AUC
UE also authenticated EPS network
MME also downloaded variant of root security key from HSS:
MME and UE generated NAS/eNB security keys and created UE Security Context
MME and UE activated NAS Security
MME downloaded subscriber data from HSS after successful authentication:
Initiated creation of UE Context at the MME

Answer: FALSE: Authentication and Key Agreement

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Answer: FALSE

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Answer: TRUE

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Comments/Notes

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Notes

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Notes

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EPS Services as Charlie Moves Through the EPS Network


The UE released the RRC Connection after EPS registration in PCI 1, and moved to PCI 50 after Cell
Reselection.
In this section, the UE will perform IMS registration with IMS Core for VoIP services. This will cause
the IMS Core-PCRF interaction to trigger the network initiated Dedicated EPS bearer establishment
for Charlie to transport VoIP audio and IMS signaling traffic on dedicated EPS bearers in the EPS
network. These bearers will provide the desired QoS to the VoIP application in the EPS network.

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Overview Dedicated EPS Bearer Setup


In EPS, the dedicated EPS bearer can be used to transport application data desiring specific QoS. The
establishment of these bearers in the UE and the EPS guarantees requested or negotiated QoS.
There are multiple ways the Dedicated EPS bearer(s) can be established. In UE initiated Dedicated
EPS bearer setup (also known as Bearer Resource Allocation procedure), the UE requests a specific
QoS (QCI) and optionally sends a GBR requirement for a new traffic flow aggregate. If the network
accepts the request, it invokes a dedicated EPS bearer context activation procedure.
The network initiated Dedicated EPS bearer setup in the following slides is triggered by:
UE registering with IMS core for IMS services and establishing an IMS VoIP call
IMS node triggering PCRF to establish corresponding dedicated bearers
Note that the default EPS bearer with the PDN must be established before the dedicated EPS bearer
can be established.

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Notes

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Notes

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A-1) Exercise RRC Connection Establishment


When the registered UE is in RRC Idle or ECM-Idle state, the NAS in UE starts a Service Request
procedure when the upper layers have to send data to the corresponding nodes in the Internet. In
this case, the IMS client in the UE starts IMS registration (perceived as user application data by LTE
stack); in this manner, the UE starts a Service Request procedure.

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Exercise Answers
The S-TMSI is used by the UE during the RRC establishment. Once SRB1 is set up, the UE responds
with an RRCConnectionSetupComplete message and piggybacks the NAS Service Request message.
The Registered MME IE does not need to be included because the eNB already knows the MME in
which this UE is registered (S-TMSI=MMEC+MTMSI) allowing selection to take place. A new C-RNTI
is assigned by the eNB during any RRC Connection Setup.

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A-2) Re-activation of Default EPS Bearer


During the RRC Connection establishment, the UE sends a Service Request message to the eNB as
NAS PDU (in RRCConnectionSetupComplete). Since the UE also provides the Registered MME entity
and S-TMSI, the eNB forwards the Service Request message (as NAS PDU) to the registered MME in
the Initial UE message (S1 AP message). The eNB also includes the S-TMSI in this message, which is
used by the MME to find the UE context.
The MME knows the existing EPS bearer(s) for the UE context, so it sends the Initial Context Setup
message to the eNB with E-RAB(s) depending on the number of EPS bearers. In this case the UE has
only one EPS (default) bearer, so one instance of E-RAB to setup is included with (i) S-GW TEID and
transport address, (ii) QoS information, and (iii) KeNB key. The eNB activates the AS security (new AS
keys are derived) and then establishes the SRB2 and a DRB(s) mapped to EPS bearer(s). The eNB
also sends the eNB TEID and transport address to the MME, to be used by the S-GW for DL data. In
the illustration above, only one DRB will be established for the default EPS bearer. No NAS PDU is
included in the RRCConnectionReconfiguration message here.
EPS bearer(s) are ready to transport the user application data at this point.
The IP address of the eNB with PCI 50 is eNB_50_ipAddr. During S1-MME bearer setup, the eNB
assigns eNB_50_S1APid; MME S1AP does not change (i.e. MME_A_S1APid). Also, the eNB assigns
eNB_50_TEID_U_1 as TEID for the DL traffic from SGW 1.

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Notes

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B) SDP Information in SIP INVITE


In the illustration above, the UE first performs the IMS registration with S-CSCF. After that the UE
sends SIP INVITE with SDP information to initiate a VoIP call. Here the SDP information carries the
QoS requirement for the audio, and the source transport address for audio. It is assumed that the
QoS requirement for IMS signaling bearer is known to S-CSCF/P-CSCF (pre-configured). The source
transport address information for the IMS signaling bearer can be determined from SIP INVITE or
REGISTER messages. In other words, the IMS nodes have the QoS information and source transport
addresses for the two bearers.
In the EPS architecture, the IMS nodes are known as Application Function (AF). It is up to the AF to
determine the desired QoS information for the bearers. It can either determine when the SDP-offer
is received or it can use both SDP-offer/SDP-answer to determine it. The possible options and
details are not discussed in this course. It is assumed that the IMS core has the means to determine
it.
In the illustration above, the UE uses IPv4 address for SIP calls.

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C-1) Rx Interface Signaling


When the media information is available at the AF and the related media require PCC supervision,
the AF shall open an Rx Diameter session with the PCRF for the AF session using an AA-Request
command. The AF shall provide the UE's IP address using either Framed-IP-Address AVP or Framed-
IPv6-Prefix AVP, and the corresponding Service Information within Media-Component-Description
AVP(s).
Each Media-Component-Description contains service information for a single media component
within an AF session or the AF signaling information. The information is used by the PCRF to
determine authorized QoS and IP flow classifiers for bearer authorization and PCC rule selection. In
the illustration above, the AF includes two media components one for audio and one for IMS
signaling. Within the Media-Flow-Component, the AF also includes the Flow-Description which
defines a packet filter for an IP flow.

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C-1) Sp Interface Signaling


Recall that during Initial EPS Attach, the PCRF downloaded the UEs subscriber QoS information by
sending a CC-Request to the Subscriber Profile Repository (SPR) during IP-CAN session
establishment. In Charlies case, the SPR downloads two additional subscribed QoS profiles (QCI_1
and QCI_5), as shown above. These are specific to VoIP applications. The PCRF makes the
authorization and policy decision now.

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C-2) PCRF Actions: Binding Mechanisms and Policy Decision


Upon reception of an AA-Request from AF (P-CSCF/S-CSCF), the PCRF performs Session Binding
using the Framed-IP-Address. After this, the PCRF makes policy decisions. The PCRF PCC Rule
decisions may be based on one or more of the following:
Information obtained from the AF on the Rx reference point, e.g. the session, media and
subscriber related information.
Information obtained from the PCEF (Policy Control and Enforcement Function), i.e., PGW on
the Gx reference point.
For example, IP-CAN bearer attributes, request type and subscriber related information.
Information obtained from the SPR via the Sp reference point, e.g. subscriber and service
related data.
Own PCRF pre-configured information.
Based on the policy, the PCC rule authorization and QoS rule generation are performed, including
the authorization/selection of the QoS parameters (QCI, ARP, GBR, MBR, etc.) for the PCC rules.

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C-2) IP-CAN Session Modification


Since the dynamic PCC is deployed, the PCRF sends the RAR Command (Diameter based) to
provision QoS/PCC rules at the P-GW. In this command, the filter and QoS information for the two
bearers are included in the Flow-Description and QoS-Information AVPs, respectively. In the
illustration above, the QCI for two bearers are QCI_1 (GBR) and QCI_5 (non GBR).

Session-ID 1 QCI QCI_1 QCI_5

Charging-
Charging-Rule- IP address 10.168.48.171
Rule-
Definition
Install
Protocol UDP UDP

Port 49500 32416

Charging-Rule-
CharlieVoIPRule
Name
Flow-Description
QCI QCI_1 QCI_5
QoS Information
DURATION Max-Requested-
25.4 Kbps -
Metering Method VOLUME BW-UL/DL
DURATION_VOLUME Guaranteed
25.4 Kbps -
Bitrate-UL/DL
ARP 5 4

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C-3) Dedicated EPS Bearer Setup


The P-GW does not assign EPS Bearer Identity to the dedicated EPS bearers in this case. It is the
MME that assigns an EPS Bearer Identity (the one that not yet been assigned) to the UE.
The PDN GW uses this QoS policy to assign the EPS Bearer QoS; i.e., it assigns the values to the
bearer level QoS parameters QCI, ARP, GBR and MBR. The PDN GW sends a Create Bearer Request
message with IMSI, EPS Bearer QoS, TFT, S5 TEID, and Charging ID to the Serving GW. It also
includes the Linked EPS Bearer Identity (LBI), which is the EPS Bearer Identity of the default bearer
established during Initial EPS Attach. P-GW includes the PCO during the dedicated bearer activation
procedure when the bearer is dedicated for IMS signaling.
The S-GW then sends the Create Bearer Request with IMSI, EPS Bearer QoS, TFT, S1-TEID, and PCO,
to the MME.
If the UE is in Idle state, the MME will trigger the Network Triggered Service Request. In this case,
the UE is in Connected state.
Create Bearer Request on S-11 interface Create Bearer Request on S-5 interface

EPS Bearer QoS QCI_1 QCI_5 EPS Bearer QoS QCI_1 QCI_5

UL TFT <not required; UE can build> TFT <not required; UE can build>
50052 50053 50102 50103
S1-TEID S5-TEID
(SGW_1_TEID_U_2) (SGW_1_TEID_U_2) (PGW_1_TEID_U_2) (PGW_1_TEID_U_3)
Linked Bearer ID 5 5 Charging ID 242 (ChargId_U_2) 243 (ChargId_U_3)
Linked Bearer ID 5 5

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Notes

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D-1) ESM Activate Dedicated EPS Bearer Context Request


The MME selects EPS Bearer Identities for dedicated EPS bearers (which have not yet been assigned
to the UE) and then builds Activate Dedicated EPS Bearer Context Request messages for each bearer.
It includes the TFT (if available), EPS Bearer QoS parameters (excluding ARP), Protocol
Configuration Options, the EPS Bearer Identity and the Linked EPS Bearer Identity (LBI).

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D-2) S1-U RAB and DRB Setup Initiation


The MME sends to the eNB the Bearer Setup Request message with EPS Bearer Identity, EPS Bearer
QoS, UL SGW S1-TEID for each new dedicated EPS bearer. The Activate Dedicated EPS Bearer
Context Request messages are attached as NAS PDUs to this S1-MME message.
The eNB maps the EPS Bearer QoS to the Radio Bearer QoS. It then sends an RRC Connection
Reconfiguration message to the UE to establish the associated DRBs. The UE shall store the QoS
Negotiated, the EPS Bearer Identity and links the dedicated bearer to the default bearer indicated by
the Linked EPS Bearer Identity (LBI). If the UL TFT is included, it is used to determine the mapping
of traffic flows to the radio bearer.

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D-2) S1-U RAB and DRB Setup Completion


The UE acknowledges the radio bearer activation to the eNB with an RRC Connection
Reconfiguration Complete message.
The eNB acknowledges the bearer activation to the MME with a Bearer Setup Response (EPS Bearer
Identity, DL S1-TEID) message. The eNB indicates whether the requested EPS Bearer QoS could be
allocated or not.
The IP address, eNB S1AP id and eNB TEIDs are different here (eNB has changed from PCI 1 to PCI
50).

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Notes

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E) Completion of Dedicated EPS E-RAB Setup


The UE NAS layer builds Activate Dedicated EPS Bearer Context Request messages for each EPS
bearer and includes EPS Bearer Identity. The UE then sends these in individual UL Information
Transfer messages to the eNB, which forwards them to MME in Uplink NAS Transport message.

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Snapshot of Bearers, Tunnels, and Charging


For simplicity, the ID values are not changed.

SRB ID eNB S1 AP ID MME S1 AP


EPS ID or or ID or MME SGW TEID PGW TEID
DRB ID eNB TEID (U) TEID (C)

1 and 2 125 225

50000 50050 50100

5 1 50001 50051 50101

6 2 50002 50052 50102

7 3 50003 50053 50103

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Notes

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UE Initiated Dedicated EPS Bearer Setup


The UE can only initiate the dedicated EPS bearer establishment for IMS if the network has indicated
the support for IMS voice over PS session in S1 mode during the Attach procedure.

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EPS Services as Charlie Moves Through the EPS Network


Charlie is in MME Area 2 and has 1 default and 2 dedicated EPS bearers with APN VoIPAndDefault.
Charlie is in EMM-Connected (RRC Connected) state and wishes to connect to servers at work.
The EPS network architecture is such that connectivity to work is provided by connectivity to APN
OfficeAccess (and not VoIPAndDefault APN). The UE establishes connectivity with a new APN,
establishes a default EPS bearer and obtains a new IPv4 (or IPv6 or both addresses) from the new
APN.

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A) APN in PDN Connectivity Request


The UE initiates the UE Requested PDN procedure by transmitting a PDN Connectivity Request
(APN, PDN Type and Request Type) message. If the UE is in ECM-IDLE mode, this NAS message is
preceded by the Service Request procedure. PDN type indicates the requested IP version (IPv4,
IPv4v6, IPv6). The MME verifies that the APN provided by the UE is allowed by subscription. If the
UE did not provide an APN, the MME shall use the APN from the default PDN subscription context
and use this APN for the remainder of this procedure.
The Request Type indicates "initial request" if the UE requests new additional PDN connectivity over
the 3GPP access network.

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B-1) PDN GW Selection and EPS Bearer Setup


Since the Request Type indicates "initial attach, the MME selects a PDN GW in the requested APN
based on the PDN GW Selection function. Here, the UE includes the APN information in the PDN
Connectivity Request since the security context is established. In this illustration, the Service-
Selection in the subscriber profile downloaded from HSS is wildcard. Therefore, the MME accepts
the UE requested APN, allocates a Bearer ID to the default EPS bearer with the new APN, and sends a
Create Session Bearer Request (with IMSI, MME TEID for Control Plane, RAT type, PDN GW address,
PDN Address, Default EPS Bearer QoS, PDN Type, subscribed APN-AMBR, APN, EPS Bearer ID,
Protocol Configuration Options, and Charging Characteristics) message to the S-GW.
The S-GW creates a new entry in its EPS Bearer table and sends a Create Session Request to the
P-GW3 included by the MME in the received message. S-GW creates the new DL S-GW TEIDs for the
Control Plane and the User Plane and sends them to the P-GW.

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B-2) IP-CAN Session Setup and PCC Rule


The P-GW3 establishes a new IP-CAN session with the PCRF. In this illustration, a single PCRF has
been assumed in the EPS network. A new IP-CAN session is established here since the P-GW has
changed. The P-GW gets the default PCC rules for the UEs default EPS bearer.

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B-3) Charging ID and Uplink TEIDs


The P-GW creates a new entry in its EPS bearer context table and generates a Charging ID. The PDN
GW returns a Create Session Response (with PDN GW address for the User Plane, PDN GW TEID of
the User Plane, PDN GW TEID of the Control Plane, PDN Type, PDN Address, EPS Bearer ID, EPS
Bearer QoS, Protocol Configuration Options, Charging ID) message to the Serving GW.
S-GW also creates a new TEID for UL User Plane data forwarding on the S1 interface from the eNB.

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C) S1-U/DRB and Activate Default EPS Bearer Request


The MME creates a Bearer Setup Request message, including the UL SGW TEID, the default bearer
QoS and the NAS PDU (Activate Default EPS Bearer Request) to the eNB. The eNB sends RRC
Connection Reconfiguration to the UE including the Activate Default EPS Bearer Request message.
This establishes the associated DRB on the air interface.

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Notes

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Summary of Bearers, Tunnels, and Charging


For simplicity, the assigned identifier values are not changed (pay attention to the labels).

SRB ID eNB S1 AP ID MME S1 AP


EPS ID or or ID or MME SGW TEID PGW TEID
DRB ID eNB TEID (U) TEID (C)

1 and 2 125 225

50000 50050 50100

5 1 50001 50051 50101

6 2 50002 50052 50102

7 3 50003 50053 50103

50004 50054 50204

15 4 50005 50055 50205

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Mapping of Application Data to Bearers/Tunnels


This slide illustrates the different DSCP labels that are used in the EPS nodes for routing User Plane
data on different EPS bearers. The nodes are expected to determine the labels based on the QCI of
each EPS bearer.
Examples of DSCP labels:
DSCP_1: EF
DSCP_5: AF
DSCP_8, DSCP_9: Best Effort

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DL Packet Filters to EPS Bearers Mapping in EPS


For each UE, the S-GW and P-GW shall be able to collect and report accounting information; i.e. the
amount of data transmitted in Uplink and Downlink direction categorized with the QCI and ARP pair
per UE per PDN connection.
EPS supports both offline and online charging
CDRs are used for offline
Events are used for online
Accounting functionality is provided by both S-GW and P-GW
Accounting information is on a bearer basis
Usage of radio resources
Usage duration
Usage of general PS domain resources
Usage of the external data networks
Amount of events (in case of event based charging)
S-GW collects charging information for radio network usage
P-GW collects charging information for external data network usage
Charging IDs enable correlation reporting from S-GW and P-GW

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Answer: FALSE

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Connected Mode Procedures


Charlie is at Point III, has registered, and is in the RRC Connected state. He begins to move from
Point III toward Point IV and will eventually arrive at Point V. During this journey he will cross
multiple cell boundaries. As Charlie moves from III to IV, handover from the cell with PCI=50 to the
cell with PCI=350 will be required. Both cells belong to the same MME pool and have an X2 interface
connecting them. This will enable an X2-handover to be executed. With this type of handover, a
significant portion of the signaling takes place directly between the two nodes without any
interaction with the MME/S-GW until a connection with target cell has been established. If
necessary, packets delivered by the S-GW to the source (old) cell will be directly forwarded to the
target cell.
As Charlie continues his journey from IV to V, handover to the cell with PCI=200 will become
necessary. In this case, the source and target cells do not belong to the same MME pool and do not
have an X2 interface between them. This will necessitate an S1-handover to be executed between
the two cells. Once the handover is triggered by the UE, signaling between the source and target
MMEs and S-GWs is necessary to execute the handover and arrange indirect forwarding of data if
necessary.

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Connected Mode Mobility


Any type of cellular system requires handovers to ensure that a mobile device maintains an air
interface connection with the system while the device is mobile. In addition to coverage-based
handover, users may be moved between different resources depending on loading. Load balancing
can be achieved by offloading traffic from a heavily-loaded node to a more lightly loaded alternative
to assure continued quality.
In LTE, when a UE is in RRC Connected state and is mobile in a network, decisions on handovers are
made by the E-UTRAN. Handovers are hard, meaning the connection with the old cell is broken
before the connection with the new cell is established. LTE supports both intra-LTE (intra- and
inter-frequency) and inter-RAT (UTRAN, GERAN, or CDMA2000) handovers. Additionally,
handovers from other RATs to LTE are also supported by the standard.
To assist in handover decisions, the E-UTRAN can configure the UE to report appropriate coverage
or quality measurements associated with the current cell and other target cells or RATs. These
reports can be event driven or periodic in nature. In addition, other criteria such as load balancing,
terminal capabilities, access restrictions, and subscription attributes may be considered when
making a handover decision. Though likely less reliable and therefore less probable, a handover
decision can also be made without information about the target cell (blind handover), depending on
E-UTRAN implementation and configuration.

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UE Measurements
E-UTRAN determines what measurements a UE will make. Measurement objects are the objects on
which the UE shall perform the measurements.
For LTE, a measurement object corresponds to a single E-UTRA carrier frequency (intra- or inter-
frequency). Associated with this carrier frequency, E-UTRAN can configure a list of cell-specific
offsets and a list of blacklisted cells. Blacklisted cells are not considered in event evaluation or
measurement reporting.
For inter-RAT, a measurement object is defined as follows:
UTRAN: a single UTRA carrier frequency with a list of Primary Scrambling Codes (PSCs)
GERAN: a set of GERAN carrier frequencies (ARFCNs)
CDMA2000: a set of cells (defined by PN offsets and search window size) on a single (HRPD
or 1xRTT) carrier frequency.
Inter-frequency and Inter-RAT Measurement Objects can include Measurement Gaps, if required by
the UE (as indicated in UE radio capability), to allow the data communications to be suspended
while the UE measures other frequency/RAT cells.
Also for IRAT neighbors, E-UTRAN can configure a list of cell-specific offsets and a list of
blacklisted cells.
More detailed information on measurements can be found in TS36.331, 5.5.

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Mobility Measurement Metrics

E-UTRAN can configure the UE to perform radio quality measurements utilizing different measurement
quantities defined for each measurement object. The definition also configures applicable filtering of the
measurements that will control when a measurement report is sent to the eNB. The following metrics are
specified as configurable (depending on the technology):
Reference Signal Received Power (RSRP) The linear average over the power contributions (in
[W]) of the resource elements that carry cell-specific reference signals within the considered
measurement frequency bandwidth.
Reference Signal Received Quality (RSRQ) The ratio NRSRP/(E-UTRA carrier RSSI), where N is
the number of RBs of the E-UTRA carrier RSSI measurement bandwidth. The measurements in the
numerator and denominator shall be made over the same set of resource blocks.
UTRA FDD CPICH Received Signal Code Power (RSCP) The received power on one code measured
on the Primary CPICH. The reference point for the RSCP shall be the antenna connector of the UE.
UTRA FDD Carrier RSSI The received wideband power, including thermal noise and noise
generated in the receiver, within the bandwidth defined by the receiver pulse shaping filter. The
reference point for the measurement shall be the antenna connector of the UE.
UTRA FDD CPICH Ec/No The received energy per chip divided by the power density in the band. If
receiver diversity is not in use by the UE, the CPICH Ec/No is identical to CPICH RSCP/UTRA Carrier
RSSI. Measurement shall be performed on the Primary CPICH. The reference point for the CPICH Ec/No
shall be the antenna connector of the UE.
GSM Carrier Received Signal Strength Indicator (RSSI) The wideband received power within the
relevant channel bandwidth. Measurement shall be performed on a GSM BCCH carrier. The reference
point for the RSSI shall be the antenna connector of the UE.

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Mobility Measurement Reporting


Measurement reporting can be configured to be either event-triggered or periodic. For event-
triggered reporting, five LTE (A1 through A5) and two inter-RAT (B1 and B2) events are defined.
Measurement reports are generated when the criteria associated with each event are met.
Depending on the terminals capabilities, some events (e.g., inter-frequency) may require the E-
UTRAN to define measurement gaps to enable the UE to make the measurements.
For periodic reporting , the defined metric(s) will be reported at an interval defined by E-UTRAN.

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E-UTRA Event Parameters


Each E-UTRA event has a number of associated configurable parameters. These are transmitted by
RRC in the measConfig IE which is sent as part of a RRCConnectionReconfiguration message. Events
A1, A2, and A4 have a single absolute threshold. Two different absolute thresholds are necessary for
Event A5. For Event A3, a relative offset is specified enabling the relative comparison of the serving
and neighbor cell. An additional parameter defines whether a report should be generated when the
condition ceases to be met.
Additional parameters can be defined for all events:
Hysteresis Specifies an amount that is added/subtracted to each threshold or offset to
moderate the rate of entry and exit to the criterion of an event being met.
Time to trigger Defines the time during which specific criteria for the event must be met in
order to trigger a measurement report to be sent to E-UTRAN.
Reporting Interval and Reporting Amount Controls how often and how many times a
measurement report is resent when there is no response to the initial report.
Once the reporting criteria are fulfilled, the UE shall send a MeasurementReport message to the E-
UTRAN, including the measurement ID and the results.

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Measurement Configuration Example


UE measurements are configured by the Measurement Configuration IE which is sent in an RRC
Connection Reconfiguration message. The Measurement Object defines on what the UE should make
measurements. This example defines three objects, each corresponding to a different LTE carrier
frequency.
Three Report Configurations (IDs 1, 2, and 3) are defined corresponding to three different Events
(A2, A3, and A4). Seven Measurement Identities are used to link Measurement Objects with specific
Measurement Configurations. In this way, common event configurations can be used across multiple
Measurement Objects. For example, Report Configuration ID 2, corresponding to Event A3, is
defined for all three Measurement Objects (Report IDs 2, 4, and 6) while Report Configuration ID 1
is defined uniquely for Measurement Object 1.
The s-Measure parameter is used to control when the UE makes measurements and defines the
serving cell RSRP value below which UE measurements are required. Additionally, if the UE is not
equipped with a dual receiver then measurement gap patterns are defined to enable measurements
on other LTE carrier frequencies or RATs.

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Charlie is Configured to Make Measurements


Charlie is in the RRC Connected state in the cell with PCI=50. E-UTRAN configures him to make
measurements on two LTE carrier frequencies (f1: his current frequency, and f2). These frequencies
are defined as Measurement Object ID 1 and ID 2, respectively. The s-Measure parameter defines
that measurements will be made when the RSRP of the serving cell falls below 66 dBm. Mapping of
RSRP (and RSRQ) IEs and engineering values is defined in 3GPP TS 36.133.
Two Report Configurations are defined specifying parameters for Events A3 and A4. These are
associated with three Measurement Identities such that Event A3 is reported uniquely for f1, and
Event A4 is reported for both frequencies.
It is assumed that there are no cell-specific offsets defined in this example.
The maxReportCells IE defines the maximum number of cells, excluding the serving cell, that will be
included in the measurement report.

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When to Make Measurements


The chart shown here illustrates the how the measured RSRP of two cells varies as Charlie travels
between Points C and D. No measurements are made until the RSRP of the serving cell falls below
-66 dBm, as defined by S-Measure.

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Charlie Reports an Event A3


The chart demonstrates the process by which Charlie reports an Event A3. UE measurements are
started when the RSRP of the cell with PCI=50 falls below -66 dBm, as defined by s-Measure. Event
A3 is detected at Point 1, when the RSRP of the neighbor cell is greater than that of the serving cell
plus the offset defined in the Measurement Report Configuration (ID 1). When this condition is met,
the Time-to-Trigger timer is started and it expires after 128 ms. Because the conditions to satisfy the
event remain throughout the period that the timer is running, a measurement report is sent at Point
2. Because E-UTRA does not respond to the initial measurement report, additional reports are sent
every 480 ms, as configured.

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Measurement Reports
The UE sends a Measurement Report message to inform E-UTRAN that an Event A3 has been
triggered. The report includes the Measurement Identity (ID=1 in this example) which identifies the
Measurement Object (LTE carrier f1 in this example). The measured RSRPs of both the serving cell
and the neighbor cell are specified in this report and correspond to the measured values at the time
the report was generated, not when they were first detected. In this example, the measurement
report will be resent every 480 ms unless E-UTRAN responds. For the serving cell the RSRP and
RSRQ is always included regardless of the triggering quantity.

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Intra-LTE Handover Types


LTE supports two types of handover: the X2 and S1 procedures. The X2 procedure is the least
complex and typically would be used when an X2 interface exists between the source eNB and the
target eNB. The handover is negotiated directly between the two eNBs; when the UE is established
on the target eNB, the is MME notified in order to switch the path. When no X2 exists between
nodes, the S1 procedure will be utilized with signaling between the target and source eNBs flowing
through the MME.
All handovers in LTE are hard handovers: the air interface connection with the source eNB is
discontinued before being reestablished with the target eNB. The procedure for reestablishing with
the target node is identical for both X2- and S1-based handovers, and requires the use of the random
access procedure to synchronize and begin Uplink transmissions. Typically, the UE would be
notified of the specific random access signature to use so that a contention-free procedure can be
carried out.
From the Core Network perspective, handover can involve changes to the serving MME and S-GW
and this can be due to mobility and the geographic location of the network nodes or due to loading
and congestion control mechanisms.

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X2-based Handover
The X2 handover procedure can be divided into four main phases:
1. Decision: E-UTRAN decides to execute a handover based on measurement reports received
by the UE.
2. Preparation: The serving eNB notifies the target eNB that a handover is requested. It
includes a list of the bearers that will be transferred and if Downlink data forwarding is
proposed. The target eNB acknowledges the Hanover Request and responds with a list of the
bearers that are admitted along with DL and UL GTP tunnel endpoints to enable data
forwarding.
3. Execution: Once the resources have been set up on the target side, the UE is notified and
detaches from the source eNB. Downlink packets that are received by the source from the S-
GW are forwarded to the target eNB. PDCP status and hyper frame number information are
exchanged to enable lossless handover, if required. At this point, the MME is notified of the
changes in order to define direct Uplink and Downlink paths for the User Plane with the S-
GW.
4. Completion: Resources in the source eNB are released following successful completion of
the handover.

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Notes

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X2-based Handover Decision and Preparation


Charlie is mobile in the network and is moving from Point C to Point D. The source eNB (PCI=50)
defines measurements to facilitate handover. As Charlie approaches the boundary between the two
cells, the following steps are followed to trigger the handover:
1. A measurement report is triggered based on the relative RSRP of the source eNB (PCI=50). The
source eNB makes the handover decision and, because (in this example) the source and target
eNBs are members of the same MME pool and have an X2 interface, the handover can be
coordinated directly between the two eNBs.
2. The source eNB sends a Handover Request message to the target eNB. This message includes the
Cause, the global MME identity (GUMMEI), and the UE context information. The UE context
information includes IEs associated with UE security (the source eNB generates a new key
KeNB*) and also specifies the maximum aggregate bit rate. Additional information is specified
associated with the serving EPS bearers. For each listed bearer, this includes QoS parameters,
the GTP tunnel endpoint at the S-GW for the Uplink, and the AS context which contains radio
related information that can be utilized by the target eNB.
3. Assuming that the target eNB is able to accept the handover (based on admission control
policies), preparations for the handover are started. The target eNB responds to the source with
a Handover Request Acknowledge message. This message includes a list of the bearers that have
been accepted by the target and includes the Downlink tunnel endpoint identities. Optionally, a
list of bearers that were not admitted can also be included. The target eNB to source eNB
transparent container is also included and contains RRC related signalling that will be passed
directly to the UE.

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X2 Handover Execution I
4. Following the delivery of the Handover Request Acknowledgement from the target eNB to the
source eNB, the source eNB sends a Handover Command to the UE. This is included in the
RRCConnectionReconfiguration message that is used to perform the handover and is generated
completely by the target eNB. It will include a new C-RNTI and information associated with
random access to enable a contention-free access to be performed. The SecurityConfigHO IE
contains parameters that enable the UE apply AS security based on the target eNBs new KeNB
key. At the same time that this message is transmitted, the source eNB begins to forward User
Plane data to the target eNB. The UE detaches from the source eNB.
5. The SN Status Transfer message that is exchanged between the source and target eNBs enables
seamless data transfer by ensuring synchronization of the PDCP Uplink and Downlink COUNT
values as well as the receiver status. PDCP parameters are sent for each AM bearer that is
transferred.
6. The UE synchronizes with the target eNB using the random access procedure. Typically this will
be contention-free utilizing dedicated resources specified by the target eNB.
7. Once established, the UE confirms the handover by sending its C-RNTI and a Buffer Status
Report (MAC) and an RRC Connection Reconfiguration Complete to the target eNB. After the
handover is confirmed, the target eNB can begin sending Downlink data to the UE.

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X2 Handover Execution II and Completion


8. After the handover is confirmed by the UE to the target eNB, the target eNB informs the MME of
the change in order to establish a direct tunnel with the S-GW. This is achieved by sending the
Path Switch request message that contains a list of (Downlink) bearers that have been switched
and specifies the ID, Transport Layer Address, and the GTP Tunnel Endpoint ID of each. This
enables a direct S1 bearer from the MME to be set up. Additionally, the MME informs the S-GW
of the change with a Modify Bearer Request message.
9. The MME confirms the path switch with a Path Switch Request Acknowledgment message. The
message contains the list of the Uplink bearers that will be switched as well as any that will be
released.
10. The target eNB informs the source eNB that the resources can be released using a UE Context
Release message.

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Bearers, Tunnels, and Charging IDs prior to X2 Handover

SRB ID eNB S1 AP ID MME S1 AP


EPS ID or or ID or MME SGW TEID PGW TEID
DRB ID eNB TEID (U) TEID (C)

1 and 2 125 225

50000 50050 50100

5 1 50001 50051 50101

6 2 50002 50052 50102

7 3 50003 50053 50103

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Bearers, Tunnels, and Charging IDs after X2 Handover

SRB ID eNB S1 AP ID MME S1 AP


EPS ID or or ID or MME SGW TEID PGW TEID
DRB ID eNB TEID (U) TEID (C)

1 and 2 125 225

50000 50050 50100

5 1 50001 50051 50101

6 2 50002 50052 50102

7 3 50003 50053 50103

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Handover Complete
Charlie has completed the handover to the new cell and continues his journey from Point IV to Point
V. Event-based measurements are configured for A3 and A4. As Charlie approaches the boundary of
the cell with PCI=350 and the cell with PCI=200, Event A3 is reported, specifying a new best cell
(PCI=200). A handover is required, but in this case the target cell belongs to a different MME pool
and no X2 interface exists between the target and source eNBs. Therefore, an S1-based handover
with the selection of a new MME and S-GW must be executed.

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S1 Handover Message Flow


The message flow for an S1 handover consists of the same four phases as those for X2. For S1,
however, there is no direct path between the eNBs; therefore the signaling must flow through the
MMEs.
1. Decision: E-UTRAN decides to initiate the handover based on a measurement report and
notifies the serving MME.
2. Preparation: The serving MME identifies and then notifies the target MME, which begins
preparation of the target resources. Because a change of S-GW is also required, the target
MME also initiates preparation of resources in the target S-GW. The final preparation step
is the target MME notifying the source MME of the new addresses and tunnel endpoints
to enable data forwarding.
3. Execution: The source MME begins the execution phase of the handover by notifying the
source eNB which notifies the UE. Data forwarding of Downlink data begins. The UE
detaches from the source eNB and synchronizes with the target using random access
procedures. Once established the target MME begins the process of defining direct Uplink
and Downlink paths for the P-GW to the target S-GW.
4. Completion: After successful completion of the handover, resources in the source eNB
and source MME are released.

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Notes

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S1 Handover Decision and Preparation I


1. An S1-based handover is triggered in the same manner as an X2-based handover: with the
UE sending a measurement report based on the criteria for an event being met or on a
periodic basis, as configured by E-UTRAN. Because no direct path links the source and
target eNBs, S1 based signaling is required to execute the handover.
2. The source eNB sends a Handover Required message to the source MME. This includes
the Cause, Handover Type (intra-LTE in this case), Target eNB ID (including the PLMN
and TA), and an indication if Direct Forwarding is availability.
3. The source MME selects the target MME (based on the procedures and processes
described in Section 4) and sends a Forward Relocation Request. This message contains
the MME UE context, Transaction Identifiers (TIs), Cause, Target eNB Identity, Target TAI,
and the Direct Forwarding Flag. The MME UE context includes IMSI, MME Identity, UE
security context (including the currently utilized KASME), UE Network Capability,
Aggregate Maximum Bit Rate Selected CN operator ID, APN restriction, S-GW addresses,
and TEID for control signalling, and EPS Bearer contexts. Each EPS Bearer context
includes the P-GW addresses and TEIDs for Uplink traffic, APN, S-GW addresses and
TEIDs for Uplink traffic, and TI. The Direct Forwarding Flag indicates if direct forwarding
is applied, or if indirect forwarding is going to be set up by the source side.

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S1 Handover Preparation II
4. Because this handover involves the selection of a new S-GW, the target MME sends a
Create Session Request message to the target S-GW. This message includes the bearer
contexts with P-GW addresses and TEIDs for Uplink traffic. The target S-GW then
allocates the S-GW addresses and TEIDs (one TEID per bearer) for the Uplink traffic.
5. The target S-GW responds to the target MME with a Create Session Response that
includes the allocated S-GW addresses and Uplink TEIDs.

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S1 Handover Preparation III


6. The target MME sends Handover Request message to the target eNB. This message
includes a list of the bearers to be set up, Cause, the Handover Restriction List (specifying
any roaming, area and access restrictions), the Security Context, and Source to Target
transparent container. This triggers the creation of a UE context in the target eNB. For
each bearer, the E-RABs to be Setup List includes the target S-GW address, Uplink TEID
for User Plane, and QoS information. Based on the Security Context, the eNB can generate
a new KeNB.
7. The target eNB acknowledges the Handover Request message, including a list of the
bearers that were successfully set up and a list of bearers for which the set up failed. The
E-RAB Bearer Setup List includes a list of addresses and TEIDs allocated by the target
eNB for Downlink traffic and addresses and TEIDs for receiving forwarded data, if
necessary. The Target to Source transparent Container includes the RRC messaging that
will be passed to the source eNB to trigger the handover
8. The target MME sends a Forward Relocation Response to the Source MME accepting the
handover. This message also indicates the change of S-GW and includes the S-GW address
and TEIDs for direct forwarding.

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S1 Handover Execution I
9. The source MME sends a Handover Command message to the source eNB. This contains a
list of the bearers subject to forwarding (not setup in this example), a list of bearers to be
released, and the Target to Source transparent container. The Bearers Subject to
Forwarding List includes a list of addresses and TEIDs allocated by the serving S-GW for
forwarding..
10. The Handover Command is constructed using the Target to Source transparent container
and is sent to the UE. Upon reception of this message, the UE will remove any EPS bearers
for which it did not receive the corresponding EPS radio bearers in the target cell. The UE
detaches from the source eNB. The SecurityHOConfig IE enables the UE to generate new
AS security keys
11. The source eNB sends an eNB Status Transfer message to the source MME. This message
contains the PDCP status and Hyperframe Numbers to ensure uninterrupted data flow.
12. The PDCP information described in step 11 is transmitted to the target eNB from the
target MME following an exchange of Forward Access Context Notification and
Acknowledgement messages between the source and target MMEs .

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S1 Handover Execution II
13. Once detached from the target eNB, the UE performs random access procedures to
establish and synchronize with the target eNB. The RACH procedure could be contention
based if the target eNB does not send dedicated preamble information. Once established,
the UE sends an RRC Connection Reconfiguration Confirmation message to the target
eNB. The UE is now able to send data packets in the Uplink, which are forwarded to the to
the target S-GW. If data forwarding is configured the target eNB can also now begin to
send forwarded downlink data packets to the UE
14. Upon reception of the handover confirmation, the target eNB sends a Handover Notify
message to the target MME. This message includes the E-UTRAN CGI and the TAI.

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S1 Handover Execution III and Completion


15. The target MME sends a Forward Relocation Complete message to the source MME
indicating that the relocation is complete and communication with the UE has been
established. The source MME begins the process of releasing resources.
16. The source MME sends an Acknowledgement to the Forward Relocation Complete
message.
17. The target MME sends a Modify Bearer Request message to the target S-GW. The message
includes bearer context information for each transferred bearer specifying the eNB
address and TEID for Downlink traffic.
18. The target S-GW assigns addresses and TEIDs (one per bearer) for Downlink traffic from
the P-GW and sends a Modify Bearer Request message to the P-GW. The message includes
the S-GW addresses for the User Plane and the TEIDs.
19. The P-GW updates its context field and returns a Modify Bearer Response message to the
target S-GW including the P-GW addresses and TEIDs, Charging ID and MSISDN. The
MSISDN is included if the P-GW has it stored in its UE context. The P-GW starts sending
Downlink packets to the target S-GW using the newly received address and TEIDs. These
Downlink packets will use the new Downlink path via the target S-GW to the target eNB.
20. The target S-GW sends a Modify Bearer Response message to the target MME, including
the P-GW addresses and TEIDs for Uplink traffic.
21. The source MME Releases the resources toward source eNB and S-GW.

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S1 Handover Data Forwarding


In the absence of an X2 interface, indirect forwarding can be initiated for downlink data by the
target MME. The target MME request the target S-GW to setup tunnel endpoints that will be utilized
by the target S-GW to forward downlink data. The source MME is informed of these tunnel
endpoints by the Forward Relocation Response message. On reception of this message the source
MME requests the source S-GW to setup forwarding tunnel endpoints that will be utilized by the
source eNB to forward data received from the source S-GW.

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Bearers, Tunnels, and Charging IDs prior to S1 Handover

SRB ID eNB S1 AP ID MME S1 AP


EPS ID or or ID or MME SGW TEID PGW TEID
DRB ID eNB TEID (U) TEID (C)

1 and 2 125 225

50000 50050 50100

5 1 50001 50051 50101

6 2 50002 50052 50102

7 3 50003 50053 50103

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Bearers, Tunnels and Charging Ids after S1 Handover


For simplicity, the ID values are not changed.

SRB ID eNB S1 AP ID MME S1 AP


EPS ID or or ID or MME SGW TEID PGW TEID
DRB ID eNB TEID (U) TEID (C)

1 and 2 125 225

50000 50050 50100

5 1 50001 50051 50101

6 2 50002 50052 50102

7 3 50003 50053 50103

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Notes

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Section 6: Mobility Management in Connected State

Tracking Area Update RRC Connected


In EPS, the UE registers with a single MME Pool Area, which may have multiple MMEs sharing the
load. This pool area may have one or more TAs.
The network described here has two MMEs in MMEGI_1 and they serve TAC_A, TAC_B, and TAC_C.
During initial EPS registration, the MME included TAC_A (or TAI_A) and TAC_B (or TAI_B) in the TAI
list, implying that the UE can roam around in the eNBs broadcasting these TAs without having to re-
register with the EPS network. Note that the UE in ECM IDLE (or RRC Idle) state is paged in all cells
of the Tracking Areas in the TAI list.
Whether in RRC Idle or RRC Connected, a UE must complete a TAU when a Tracking Area boundary
is crossed. When the TAU procedure is executed by the UE in RRC Connected state (as shown here),
the new MME directly responds with the TAU Accept message, since the bearer contexts have
already been updated as a part of S1 based handover procedure. For RRC Idle, however, the
procedure requires the relocation of the bearer contexts from the source to the target resources.

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Tracking Area Update RRC Idle


As described in the previous slide, crossing a Tracking Area boundary in RRC Idle will trigger the
Tracking Area Update Procedure, which is initiated by the UE sending to the (new) target resources
a TAU Request message with type TA Updating. The target MME requests and receives the bearer
context information from the (old) source MME. Authentication may be carried out at this point if
the source MME does not validate the UE. After authentication, the target MME sends a Create
Session Request message to the target S-GW, which triggers a Modify Bearer Request message to be
sent to the P-GW. The P-GW responds to the S-GW with a Modify Bearer response which, in turn,
responds to the MME with a Create Session Response message.
Next, the location of the UE needs to be updated in the HSS. This is accomplished by the target MME
sending an Update Location Request to the HHS, which cancels the location of the UE in the source
MME and confirms the location update to the target MME.
Finally, the Tracking Area Update is confirmed with a Tracking Area Update Complete NAS PDU sent
as part of a DL Info Transfer message from the target eNB to the UE.

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Tracking Area Update Procedure Overview


In EPS, the UE registers with a single MME Pool Area, which may have multiple MMEs sharing the
load. This pool area may have one or more TAs. This illustration has 2 MMEs in MMEGI_1 and they
serve TAC_A, TAC_B, and TAC_C. During initial EPS registration, the MME included TAC_A (or TAI_A)
and TAC_B (or TAI_B) in the TAI list, implying that the UE can roam around in the eNBs broadcasting
these TAs without having to re-register with the EPS network. Note that a UE in ECM IDLE (or RRC
Idle) state is paged in all cells of the Tracking Areas in the TAI list.
When the UE moves into an eNB that broadcast a different TAI, registration with the EPS network is
required. In the context of EPS, this is known as the Tracking Area Update procedure.
An EMM-REGISTERED UE also performs periodic Tracking Area Updates with the network after the
periodic TAU timer expires. The UE normally is still under the coverage of the eNB that is
broadcasting the TAC assigned by the registering MME.

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Tracking Area Update RRC Idle


When the UE detects that the Tracking Area Code broadcasted by the new eNB does not belong to
the TAI list provided by the MME during the last registration, the UE knows that it has entered a new
Tracking Area and needs to perform a Tracking Area Update procedure. This procedure is initiated
by the UE by sending a TAU Request message with type TA Updating. The UE can start this
procedure either in the EMM-Idle (RRC Idle) state or EMM-Connected (RRC-Connected) state. In the
Connected state, the UE first successfully executes the handover (controlled by the network). The
handover procedure also updates the bearer contexts in the new MME and the new S-GW.

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Tracking Area Update Request


In the TAU Request message, the UE also includes the previously assigned GUTI and the eKSI. If the
UE has a valid security context (which is the case here), the eKSI is set to last assigned value.
Otherwise, the UE indicates no key is available to the new MME. The UE shall use the current EPS
NAS integrity key to integrity protect the TAU Request message. The UE may also include UE
network capability and the last visited registered TAI. The last visited TAI helps the MME produce a
good list of TAIs for any subsequent TAU Accept message. The Active flag is set by the UE to indicate
the request to establish User Plane bearers and keep the NAS signaling connection after completion
of the Tracking Area Update procedure in the EMM-Idle state.
The UE sends this message to the eNB as NAS PDU in either RRCConnectionSetupComplete (in
EMM-Idle state) or UL Information Transfer message (in Connected state). The eNB forwards it to
the MME in the Initial UE message or UL NAS transport.

TA Updating
Type
Periodic updating
Active flag Applicable in EMM-Idle state
NAS security key set Last assigned (eKSI)
GUTI Identifies the old MME
Old TAI Used to build TAI list
UE network capability Supported Security Algorithms

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MME EPC Context Exchange


If the TAU Request is sent by the UE in Idle state, the new MME uses the GUTI received in the Tracking Area
Update request to derive the old MME address, and sends a Context Request message to the old MME to
retrieve the user information. The new MME includes the old GUTI, complete TAU Request message, and the
new MME S10 F-TEID (to be used by the old MME to send the Control Plane messages to the new MME). The
new MME also includes an MS Validated flag if the new MME has validated the integrity protection of the TAU
message based on the native EPS security context for the UE.
The old MME responds with a Context Response message to the new MME, and it includes the IMSI, MM
Context, a list of all PDN connections, the old MME S10 F-TEID (to be used by the new MME to send the control
message to the old MME), and the S-GW F-TEID for the Control Plane. The MM Context contains the
Uplink/Downlink Subscribed UE AMBR and UE security parameters (type of security keys (e.g., EPS) used for
NAS encryption and integrity protection algorithms, UE and MS network capability, and unused
Authentication vectors, if any). The PDN Connection contains EPS bearer specific information (EPS bearer ID,
UL/DL TFT, S-GW TEIDs, bearer level QoS, and charging characteristics).

The new MME may authenticate the UE at this point, if desired, and establish a new NAS Security Context. If
the integrity check of the TAU Request message fails, then the new MME is informed that authentication is
mandatory.

The new MME determines to relocate the S-GW. The S-GW is relocated when the old S-GW cannot continue to
serve the UE or if a new S-GW is expected to serve the UE more optimally. The new MME sends a Context
Acknowledge to the old MME.

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EPC Context Update in S-GW and P-GW


Applicable for TAU procedure initiated in EMM Idle (RRC Idle) state only.
The new MME constructs an MM context for the UE. If the new MME selects a new S-GW, it sends a Create Session Request
message with the bearer contexts for each EPS bearer in Active state to the new S-GW. The PDN GW address and Protocol
type (GTP or PMIP) are indicated to the S-GW.
The S-GW sends a Modify Bearer Request to the P-GW indicated in the received Create Session Request. It includes the S-
GW F-TEID for the Control Plane and the S-GW F-TEID for the User Plane EPS bearers in the Bearer Contexts to be
modified.
The P-GW updates its bearer contexts and returns a Modify Bearer Response with UL TEID(s) and Charging ID to the S-
GW.
The S-GW updates its bearer context. The S-GW returns a Create Session Response message (with TEIDs for User Plane
and Control Plane and P-GW TEIDs for Uplink traffic and Control Plane) to the new MME.

IMSI, RAT-Type IMSI, EUTRAN SGW_3_TEID_C


SGW F-TEID
MME_C_TEID_C SGW_3_ipAddr
MME F-TEID
MME_C_ipAddr PDN Type IPv4v6
PDN Type IPv4v6 Linked EPS bearer
Linked EPS bearer 5
5 ID
ID Bearer Contexts to QCI_9, SGW_3_TEID_U_1
Bearer Contexts QCI_9, QCI_1, QCI_5 be created (QCI, QCI_1, SGW_3_TEID_U_2
TEIDs) QCI_5, SGW_3_TEID_U_3

SGW_3_TEID_C PGW_1_TEID_C
SGW F-TEID PGW F-TEID
SGW_3_ipAddr PGW_1_ipAddr

Bearer Contexts to QCI_9, SGW_3_TEID_U_1, ChargId_U_1 Bearer Contexts to QCI_9, PGW_1_TEID_U_1, ChargId_U_1
be created (QCI, QCI_1, SGW_3_TEID_U_2, ChargId_U_2 be created (QCI, QCI_1, PGW_1_TEID_U_2, ChargId_U_2
TEIDs, Charging Id) QCI_5, SGW_3_TEID_U_3, ChargId_U_3 TEIDs, Charging Id) QCI_5, PGW_1_TEID_U_3, ChargId_U_3

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HSS Update
Applicable for TAU procedure initiated in EMM Idle (RRC Idle) state only.
The new MME verifies whether it holds subscription data for the UE identified by the GUTI. If there
are no subscription data in the new MME for this UE, then the new MME sends an Update Location
Request message (MME Identity, IMSI, Update Type, MME Capabilities) to the HSS. Update Type
indicates that only the MME registration shall be updated in the HSS.
The HSS sends the Cancel Location message (IMSI, Cancellation Type) to the old MME with
Cancellation Type set to Update Procedure.
The old MME acknowledges with the Cancel Location Ack message (IMSI).
The HSS acknowledges the Update Location Request message by sending an Update Location Ack
message (IMSI, Subscription Data) to the new MME. If the Update Location is rejected by the HSS,
the new MME rejects the TAU Request from the UE with an appropriate cause. If the UE is not
allowed to access the TA due to regional subscription restrictions or access restrictions, the MME
rejects the Tracking Area Update Request with an appropriate cause to the UE and notifies the HSS
of the rejection.

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TAU Accept/Complete
Applicable for TAU procedures initiated in EMM Idle (RRC Idle or EMM Connected (RRC Connected)
state).
The MME sends a TAU Accept message (GUTI, TAI list, EPS bearer status) to the UE. If the "active
flag" is set in the TAU Request message, the User Plane setup procedure can be activated in
conjunction with the TAU Accept message.
If GUTI was included in the TAU Accept (which is the case with the TAU procedure when TAI
changes), the UE acknowledges the received message by returning a TAU Complete message to the
MME.
TA updated,
Result
Combined TAU ack
MCC/MNC: 001/01
MMEGI:32768;
GUTI
MMEC: 21
M-TMSI: 0x0d0c0b0a
TAI list 201

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Snapshot of Bearers, Tunnels, and Charging


For simplicity, the ID values are not changed.

SRB ID eNB S1 AP ID MME S1 AP


EPS ID or or ID or MME SGW TEID PGW TEID
DRB ID eNB TEID (U) TEID (C)

1 and 2 125 225

50000 50050 50100

5 1 50001 50051 50101

6 2 50002 50052 50102

7 3 50003 50053 50103

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Comments/Notes

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Section 7: Radio Link Failure and Recovery

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Notes

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Notes

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Notes

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Section 7: Radio Link Failure and Recovery

Downlink Physical Layer Failure


Physical Layer problems are detected by monitoring the cell-specific Reference Signal (RS) and estimating the
theoretical PDCCH BLER % for specific configurations defined in 36.133. In-Sync and Out-of-Sync indicators
are generated based on the DRX cycle (if configured) and the thresholds Qout (10%) and Qin (2%).
If the UE does not use DRX, and the Downlink radio link quality estimated during the last 200 ms period
becomes worse than Qout, Layer 1 of the UE sends an Out-of-Sync indication to the higher layers within the 200
ms. When the Downlink radio link quality estimated over the last 100 ms period becomes better than the
threshold Qin, Layer 1 of the UE sends an In-Sync indication to the higher layers within the 100 ms. Two
successive indications from Layer 1 will be separated by at least 10 ms. The transmitter power shall be turned
off within 40 ms after the T310 timer expires.
If the UE does use DRX, the evaluation period for Qout and Qin depends on DRX configuration and is shown in
the table below. In this case, two successive In-Sync or Out-of-Sync indications will shall be separated by at
least a maximum of either 10 ms or the DRX cycle length.

DRX Cycle Length (s) Evaluation Period (s)


0.04 20.DRX Cycle
0.08 0.8
0.16 1.6
0.32 3.2
0.64 6.4
1.28 6.4
2.56 12.8

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Downlink Physical Layer Failure - Recovery


This slide shows the UE recovering before the declaration of a Radio Link Failure. As in the previous
slide, T310 is started following N310 Out-of-Sync indicators. However, in this case, N311 In-Sync
indicators (PDCCH BLER< 2%) are received before the expiration of T310. A Radio Link Failure is
not declared.

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Random Access Problems


If, in Connected mode, the Uplink time alignment timer expires, then the UE must perform the
Random Access procedure in order to obtain new timing and an Uplink grant before any new data
can be transmitted on the Uplink. A radio link failure will be declared if the UE transmits a maximum
number of preamble retransmissions without receiving a response from the eNB.
In this example, the maximum number of preambles is configured as 6. After each preamble
transmission, the UE waits for a response for 3 subframes plus the signaled response window size (3
in this example). After the final preamble is transmitted, the UE declares an RLF if no response is
received.

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Maximum RLC Retransmissions


A radio link failure is declared following the completion of the maximum number of retransmissions
by RLC (6 in this example). Following an unsuccessful initial transmission of an RLC PDU, the UEs
RLC entity retransmits the PDU 6 times and then declares an RLF upon failure of the receiving entity
to confirm reception.

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Section 7: Radio Link Failure and Recovery

Handover Failure T304 Expiry


The timer T304 is started by the UE following the reception of the RRC Connection Reconfiguration
command ordering a handover. The UE detaches from the source cell and, following successful
acquisition of the target cell, uses the random access procedure to attempt access. If the UE is unable
to successfully access the target cell before the expiration of T304, an RLF is declared.

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Recovery from RLF Overview


This procedure is utilized to enable recovery from a radio link failure. Once an RLF has been
declared, the timer T311 is started. This is only possible if AS security was activated prior to the
RLF. In this case SRB1 is suspended, and SRB2 and all DRBs are released. If AS security was not
activated, the UE transitions directly to idle mode.
Upon commencement of T311, the UE attempts cell reselection. If unsuccessful before the expiration
of T311, the UE transitions to idle mode. If successful, the UE starts the timer T301 and begins the
connection reestablishment procedure with the selected cell. If T301 expires without successful
reestablishment, the UE transitions to idle mode. If successful, SRB1 resumes and the recovery
mechanism is complete. SRB2 and any DRB can then be established.

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Notes

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Section 7: Radio Link Failure and Recovery

Recovery from an RLF in the Same Cell


At point VI, Charlie enters a coverage hole and experiences a radio link failure. The recovery
mechanism is executed and Charlie reselects the same cell (PCI400), starts timer T301, and sends an
RRC Connection Reestablishment message that includes the assigned C-RNTI, the PCI of the last
serving cell (the same as the reselected cell in this example), the cause, and the Short MAC-I.
The Short MAC-I consists of the 16 least significant bits of the integrity protection MAC-I calculated
utilizing the IE VarShortMAC-Input as input with the COUNT, BEARER, and DIRECTION set to binary
ones. VarShortMAC-Input consists of the PCI, C-RNTI, and the Cell Identity.

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Section 7: Radio Link Failure and Recovery

RRC Connection Re-establishment in the Same Cell


Upon reception of the RRC Connection Reestablishment Request message, the eNB responds with an
RRC Connection Reestablishment message that enables the resumption of SRB1. The eNB was able
to determine the UE context because the request message included both the PCI and C-RNTI of the
original (same) cell. The nextHopChainingCount IE enables the UE to derive the KeNB key from which
the three integrity protection and ciphering keys can be generated.

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Section 7: Radio Link Failure and Recovery

Handover Failure T304 Expiry


At point VII, an RRC Reconfiguration message is sent to the UE to execute a handover from the cell
with PCI=400 to the cell with PCI=250. The UE is assigned a new C-RNTI for the target cell and a
dedicated RACH preamble signature. The timer T304 is also included in the RRC Connection
Reconfiguration message. The UE detaches from the cell with PCI=400 and begins the access process
to the target cell with PCI=250 by sending RACH preambles.
In this example, Charlie does not receive a response from the target eNB before T304 expires and a
radio link failure is declared.

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Section 7: Radio Link Failure and Recovery

Recovery from Handover Failure in a Different Cell


On expiration of T304, Charlie has declared a radio link failure and starts T311. Before the
expiration of T311, he successfully reselects to the original target cell with PCI=250. T311 is stopped
and Charlie starts T301 and sends an RRC Connection Reestablishment Request message that
includes the C-RNTI and PCI of the original source cell. This enables the eNB to determine the
original source eNB and obtain the UE Context. The UE also includes the cause for the
reestablishment (handover failure) and the Short MAC-I. The target eNB then sends the RRC
Connection Reestablishment message to resume SRB1.

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Notes

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Section 7: Radio Link Failure and Recovery

Notes

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Section 7: Radio Link Failure and Recovery

Notes

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Notes

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Notes

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Section 7: Radio Link Failure and Recovery

Notes

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Notes

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Notes

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Notes

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Section 7: Radio Link Failure and Recovery

Notes

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Notes

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Section 7: Radio Link Failure and Recovery

Notes

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Section 7: Radio Link Failure and Recovery

Notes

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Notes

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Notes

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Charlies Mobility and Services in EllTeEi Network


This course discusses various EPS procedures as Charlie powers up the LTE UE device and moves
through the EPS network in Idle and Connected states.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Charlies Mobility and Services in EllTeEi Network


This section discusses handover between LTE and UTRAN. At point VII, Charlie leaves EllTeEis LTE
coverage while in RRC connected mode. An underlying UTRAN network exists and, following the
definition and reporting of appropriate measurements, a handover to UTRAN is executed. The
mechanism to return from UTRAN to LTE is also discussed.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

3GPP Interworking Architecture


3GPP defines two options that enable EPS to UTRAN interworking. The variant that utilizes the
newly defined S3, S4, and S12 interfaces is described here. The S3, S4, and S12 interfaces exclusively
utilize the updated GTPv2 protocol. The S3 interface connects the SGSN with the MME, enabling the
exchange of control information to specifically support the handover and relocation of UEs between
UTRAN and LTE. The S4 interface is utilized for both Control Plane and User Plane information
between the SGSN and the S-GW and uses the GTP-v2-C and GTPv2-U protocols. The S12 interface is
an optional interface that enables the direct connection of the S-GW User Plane with UTRAN (the
RNC in this case). In this scenario, the SGSN (and S4 interface) will only handle the associated
Control Plane.
An additional interface (not shown here) is the S16, which enables the connection (utilizing GTPv2)
of multiple SGSNs.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Control Plane Protocol Stack


S3 (SGSN MME)
The S3 interface utilizes the GTPv2-C protocol and is used to exchange control information between
the SGSN and MME, specifically during handover or relocation.
S4 (SGSN S-GW)
The S4 interface utilizes the GTPv2-C protocol and is used to exchange control information between
the SGSN and S-GW to enable 2G and 3G infrastructure to connect to EPC. User Plane data can also
be exchanged using the S4, as described in the following slide.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

User Plane Protocol Stack


There are two possible User Plane protocol stacks defined for 3GPP interoperability.
In the case where direct tunneling is not used, user plan traffic flows between the UTRAN, SGSN, S-
GW, and P-GW using the GTP-U protocol between each network node. Between the SGSN and the G-
GW, the S4 interface is utilized for the User Plane in addition to the Control Plane as described
previously.
When direct tunneling is available, the S-GW connects directly to UTRAN utilizing the S12 interface
and the GTP-U protocol. There is no User Plane connection to the SGSN if S12 is utilized.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

3GPP Interworking (Legacy Gn/Gp)


An alternative legacy 3GPP interworking architecture exists to that shown previously, which does
not use the newly defined S3, S4, S12, or S16 interfaces. In this solution, the SGSN connects to both
the MME and P-GW using a Gn interface. In this manner, the architecture replicates the legacy 2G/3G
architecture for LTE, with the P-GW mimicking the role of a GGSN and the MME mimicking the role
of an SGSN. User plane data for UTRAN flows between the UTRAN, SGSN, and P-GW.
Also (not shown), if a Release 7 compliant SGSN applies Direct Tunnelling, there is a direct User
Plane connection between the P-GW and UTRAN. A disadvantage of this legacy approach is that Idle
Mode Signaling reduction (ISR) is not supported. Tracking and Routing Area updates would
therefore be required as the UE reselected between each RAT.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Registration for 3GPP Interworking


Interworking for 3GPP technologies is facilitated by a common IP anchor at the P-GW. A UE that is
registered with the EPC is implicitly registered in both GERAN and UTRAN. Mobility between
networks is facilitated by registration updates when the Radio Access technology is changed. For
GERAN and UTRAN this consists of the Location and/or Routing Area update procedure, while for E-
UTRAN the Tracking Area Update Procedure is carried out.
An additional feature of 3GPP interworking is the availability of so-called Idle Mode Signaling
Reduction (ISR). With ISR, the UE remains registered in both an MME and SGSN regardless of the
technology on which it is camped. The UE has identifiers from both domains as well as storing both
the Routing Area and Tracking Area. On inter-technology reselection, no routing or tracking area
update is necessary unless either has changed. UEs will be paged on both technologies when ISR is
active. In the case where an S-GW has Downlink data to deliver to the UE, a Downlink Data
Notification message will be delivered to both the MME and SGSN.
ISR is not activated at the initial attach but rather when an IRAT reselection takes place. At that time,
an ISR flag is included as part of the Routing or Tracking Area Accept message.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Mobility Measurement Reporting


Measurement reporting can be configured to be either event-triggered or periodic. For event-
triggered reporting, five LTE (A1 through A5) and two inter-RAT (B1 and B2) events are defined.
Measurement reports are generated when the criteria associated with each event are met.
Depending on the terminals capabilities, some events (e.g., inter-frequency) may require the E-
UTRAN to define measurement gaps to enable the UE to make the measurements.
For periodic reporting , the defined metric(s) will be reported at an interval defined by E-UTRAN.

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Measurement Gap Configuration


Inter-RAT handover can be blind or non-blind. In the blind scenario, the handover takes place
without knowledge of the radio conditions of the other technology. The handover can be triggered
by the radio conditions of the serving cell or by other considerations such as cell or infrastructure
loading. The disadvantage of this approach is the unknown coverage quality of the target cell, while
the advantage is that the handover can be executed quickly without additional measurements.
For non-blind handover, the UE is configured to make measurements on the target technology. If
measurement gaps are required, a likely approach is to configure inter-RAT measurements when
the coverage of the serving LTE cell reaches some predefined minimal value. In this way the
overhead associated with measurement gaps is minimized. In contrast to compressed Mode for
UMTS, a single LTE Measurement Gap configuration is defined that will be used for all IRAT
measurements. Only one configuration is possible at any one time. The gap duration is always 6 ms
with a repetition period of either 40 or 80 ms (corresponding to 15 or 7.5% of available subframes
respectively). The specific starting SFN and subframe for each gap is defined on a per-UE basis by
RRC, enabling diversity of gap location throughout the available time slots.
The UE reports when gaps are necessary for either inter-frequency and/or inter-RAT during its
capability reporting.

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Charlie is Configured to Make Measurements


In this example, Charlie is in the RRC Connected state in the cell with PCI=250. E-UTRAN configures
him to make measurements on a single LTE carrier frequency (f1) defined as Measurement Object
ID 1. The s-Measure parameter (74) defines that measurements will be made when the RSRP of the
serving cell falls below -66 dBm. No Measurement Gaps are defined by this configuration
Two Report Configurations are defined specifying parameters for Events A3 and A2. These are
associated with two unique Measurement Identities (Report IDs 1 and 2). There are no cell-specific
offsets defined in this example. The purpose of the Event A2 (Serving cell RSRP falls below a fixed
threshold) is to trigger the configuration of Measurement Gaps. In this manner, other technologies
(or LTE frequencies) are not measured until the signal strength of the LTE network reaches an
unacceptable level. Assuming that LTE is a higher priority than the other RAT, this ensures that the
overhead associated with measurement gaps is minimized.
The maxReportCells IE defines the maximum number of cells, excluding the serving cell, that will be
included in the measurement report.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Charlie Reports an Event A3


The chart demonstrates the process by which Charlie reports an Event A2. UE measurements are
started when the RSRP of the cell with PCI=250 falls below -66 dBm, as defined by s-Measure. Event
A2 is detected at Point 1, when the RSRP falls below the threshold (-110 dBm). When this condition
is met, the Time-to-Trigger timer is started and it expires after 1024 ms. Because the conditions to
satisfy the event remain throughout the period that the timer is running, a measurement report is
sent at Point 2. Because E-UTRA does not respond to the initial measurement report, additional
reports are sent every 480 ms beginning at point 3, as configured.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Charlie is Configured to make IRAT Measurements


Charlie is in the RRC Connected state in the cell with PCI=250. Following reception of an Event A2
measurement report, the eNB decides to configure inter-RAT measurements. E-UTRAN configures
two Measurement Objects (LTE Carrier Frequency f1, and UMTS Carrier Frequency ARFCN1). As
before, the
s-Measure parameter defines that measurements will be made when the RSRP of the serving cell
falls below -66 dBm.
Two Report Configurations are defined specifying parameters for Events A1 and B2.
Event B2 is defined to trigger the handover specifying two sets of thresholds: one for the serving
LTE cell and the other for the neighbor UTRAN cell. In this case, for the event to be triggered, the
LTE measured RSRP must be below the defined threshold (1) and the UTRAN RSCP must be above
the defined threshold (2) for the duration of the time to trigger. Once the initial measurement report
has been sent, it will be repeated at an interval of 480 ms.
Additionally, measurement gaps are set up for Charlie utilizing the gp0 configuration corresponding
to a 40 ms repetition cycle. The IE value (10) configures the relative position of the gaps in terms of
frame and subframe numbers as described in the following slide.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Measurement Gap Configuration


A UE can be configured with one of two Measurement Gap Patterns (gp0 or gp1). The first
corresponds to a 40 ms repetition rate for the gap; the second corresponds to a lower repetition rate
of 80 ms. The duration of the gap for both configurations is 6 ms.
As part of the setup of either pattern, the gapOffset IE is defined as an integer with a range of 0-39
for gp0 and 0-79 for gp1. This enables the measurement gaps for different UEs to be distributed in
time defining the start SFN and subframe by:
SFN mod T = FLOOR(gapOffset/10)
subframe = gapOffset mod 10;
where T is 4 or 8 for gp0 and gp1 respectively.
Although the gap has a duration of 6 ms during which no Downlink transmissions are scheduled for
the UE and the UE does not transmit, an additional restriction is that the UE cannot transmit in the
first subframe following a measurement gap. This corresponds to a 7 ms silence period for the UE in
the Uplink.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Measurement Reports
The UE sends a Measurement Report message to inform E-UTRAN that an Event B2 has been
triggered. The report includes the Measurement Identity (ID=4 in this example), which identifies the
Measurement Object (UTRAN ARFCN1 in this example). The measured RSRP and RQRQ of the
serving cell is always included regardless of the serving cell measurement metric that was specified.
For the neighbor UTRAN cell, the triggering metric (RSCP in this case) and the PSC is specified.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

LTE to UTRAN Handover


IRAT handover from LTE is triggered in a similar manner to intra-LTE handover, with the eNB
making the decision based on air interface measurements or resource management reasons. In this
example the serving eNB decides to make the handover based on the reception of a B2 measurement
report indicating that the RSRP of the serving LTE cell had fallen below a predefined threshold and
that a UTRAN cell was detected with an RSRP above a predefined threshold.
From the Core Network perspective, the handover can involve an S-GW change. In all cases, the P-
GW remains the same to ensure IP continuity. If the S-GW changes, indirect data forwarding is
necessary if lossless handover is required, as is the case for AM bearers. In this case the target SGSN
is responsible for detecting the S-GW change and requesting the establishment of resources in the
new target. An additional aspect of handover to UTRAN is how the User Plane will be connected to
the RNC. The provision of User Plane traffic directly from the S-GW to the RNC using a direct tunnel
(S12)or the routing of the User Plane from the S-GW to the SGSN to the RNC (S4) forms part of the
handover procedure.

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

Charlies Current Bearers, Tunnels, and Charging IDs


Charlie is currently in Connected mode on the cell with PCI=250. He has a default and one active
dedicated bearer attached to the same S-GW and P-GW.

SRB ID eNB S1 AP ID MME S1 AP


EPS ID or or ID or MME SGW TEID PGW TEID
DRB ID eNB TEID (U) TEID (C)

1 and 2 125 225

50000 50050 50100

5 1 50001 50051 50101

8 4 50004 50054 50104

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

IRAT Iu Handover (E-UTRAN to UTRAN)


The IRAT handover procedure can be divided into four main phases:
1. Decision: E-UTRAN decides to execute a handover based on measurement reports
received from the UE.
2. Preparation: The serving eNB notifies the serving MME that a handover is requested. It
includes a list of the bearers that will be transferred and whether Downlink data
forwarding is proposed. The target MME notifies the target SGSN to request relocation. If
accepted, the target SGSN requests resources in the target RNC and additionally in the
target S-GW (if S-GW relocation is required).
3. Execution: If there is an S-GW relocation change and data forwarding is required, an
indirect tunneling path is defined between the source eNB, S-GW, and target S-GW. The
source MME then notifies the eNB to execute the handover. The UE ceases receiving on E-
UTRAN and accesses UTRAN. Once the UE is established with the target RNC, the target
SGSN is notified of the successful handover.
4. Completion: Resources in the source eNB, MME, and S-GW are released following
successful completion of the handover.

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Notes

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Section 8: Inter-RAT Mobility in Connected State: UTRAN

IRAT Handover to UTRAN Decision and Preparation


Charlie is mobile in the network and is moving out of the coverage area of the LTE eNB (PCI-250). As
Charlie approaches the boundary of LTE coverage, the following steps are followed to trigger an
inter-technology handover to UTRAN:
1. A measurement report is triggered based on the relative RSRP of the source eNB
(PCI=250) and the RSCP of the target UTRAN cell. The source eNB makes the decision to
execute a handover.
2. The source eNB sends a Handover Required message to the MME. The type of handover as
well as the cause of the handover are included in the message. The RNC ID is included
based on information stored at the source eNB.
3. The source MME identifies the target SGSN from the RNC ID and initiates the handover by
sending a Forward Relocation Request to the target SGSN. This includes the IMSI of the
subscriber, information relating to the active PDN all connections, and Mobility
Management Context information (including security and AMBR information). The MME
includes the GTP Control Plane address that the SGSN can reply to. As part of the PDN
information, a list of EPS bearer contexts is included. This information includes the EPS
IDs and QCI of each EPS bearer.

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Pre-Release 8 EPS Bearer Mapping


Each EPS bearer is mapped one-to-one to a PDP Context. The ARP priority of the EPS bearer is
mapped to the pre-Release 8 ARP as shown by the following table:

EPS ARP Priority Pre-Release 8 ARP

1 to H 1

H+1 to M 2

M+1 to 15 3

The values of H and M are configurable in the SGSN and may be modified subject to the QoS policies
and requirements of a specific deployment.

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IRAT Handover to UTRAN Preparation


4. If the serving S-GW needs to be relocated (as in this example), the target SGSN sends a
Create Session Request message to the target S-GW to secure resources. The selection of
the S-GW by the SGSN follows the procedures outlined previously and the choice could
include network topology or geographical considerations. The SGSN includes details of the
bearers that need to be created.
5. If accepted, the target S-GW responds to the source SGSN with a Create Session Response
message that includes the its Control Plane address and tunnel endpoints. Additionally,
the created bearer context information includes the Uplink tunnel endpoint IDs for the
User Plane.
6. The target SGSN requests resources to be set up in the target RNC by sending a Relocation
Request. The message includes a list of RABs to be set up with an assigned ID and
associated QoS information. The SGSN also includes the transport address and tunnel IDs
for the Uplink User Plane.
7. The target RNC assigns resources and responds with a Relocation Request
Acknowledgement message. This message includes the definition of the Downlink
addresses and tunnel endpoint IDs for each bearer. The RNC also includes an RRC
transparent container to be passed to the E-UTRAN, which will enable the UE to access the
UTRAN cell.

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IRAT Handover to UTRAN Data Forwarding


8. In order to ensure lossless handover, it is necessary that data forwarding be defined for
Downlink packets delivered to the source eNB before the handover is completed. These will
be forwarded from the source eNB to the target S-GW. The SGSN sends a Create Indirect Data
Forwarding Tunnel Request message to the target S-GW, which includes the SGSN addresses
to be used for the data forwarding path. The target S-GW accepts the forwarding request and
responds to the SGSN with a Create Indirect Forwarding Tunnel Response message that
includes the transport address and tunnel endpoint IDs for each forwarded bearer to be
passed to the sources resources.
9. The SGSN sends a Forward Relocation Response message to the source MME in reply to the
initial request. It includes the target S-GW use plane bearer addresses that were received as
part of the procedure described in step 10 in the slide.
10. The source MME sends a Create Indirect Data Forwarding Tunnel Request message to the
source S-GW. This message includes the target transport address and tunnel endpoint IDs
provided in the response message shown in step 9. The source S-GW responds to the source
MME with a Create Indirect Data Forwarding Tunnel Response message, supplying the
transport address and tunnel endpoint IDs that will be passed to the eNB for indirect data
forwarding.

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IRAT Handover to UTRAN Execution I


11. The source MME begins the execution of the handover by sending a Handover Command to
the source eNB. The eNB ceases Downlink data transmission and begins to forward
Downlink data received from the source S-GW towards the target S-GW.
12. The source eNB sends a MobilityfromEUTRANCommand message to the UE. This message
contains radio and security information that allows the UE to access UTRAN. Based on the
value of the NAS COUNT value and Kasme, the UE generates a mapped UMTS security context
KSI (CK and IK). The value of KSI is the same value as eKSI. The UE ceases reception of E-
UTRAN and accesses UTRAN.
13. The UE sends a Handover to UTRAN Complete message to the RNC.

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IRAT Handover to UTRAN Execution II


14. After the handover is confirmed by the UE to the target RNC, the target RNC informs the
SGSN of the successful relocation.
15. The SGSN notifies the source MME of the successful relocation. An additional flag for Idle
Mode Signaling Reduction (ISR) is included to enable the MME to retain the UE Context if ISR
is supported. (Activation of ISR, however, is only possible in the case where the S-GW does
not change). The source MME starts a timer to control when the source resources will be
released.
16. The source MME acknowledges the relocation complete message.

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IRAT Handover to UTRAN Execution III


17. The target SGSN now informs the target S-GW that the handover was successful and requests
that data be directly forwarded to the address and tunnel endpoint identified in the Modify
Bearer request message. The target S-GW is already aware of the P-GW Uplink address and
tunnel endpoints.
18. The target S-GW informs the P-GW of the change with a Modify Bearer Request message that
includes the addresses and tunnel endpoints of each EPS bearer.
19. The P-GW confirms the bearer modification responding with a Modify Bearer Response
message that includes a Charging ID for each accepted bearer. The P-GW also notifies the
PCRF of the change.
20. The target S-GW confirms the bearer modification with the SGSN sending a Modify Bearer
Response message that includes the Uplink addresses and tunnel endpoint IDs for each
accepted bearer.

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IRAT Handover to UTRAN - Completion


21. After expiration of the timer that was started when the relocation was confirmed, the source
MME sends a Delete Session Request message to the source S-GW. The message includes the
bearer ID of the default EPS bearer to which all other bearers are associated. A flag indicates
that the S-GW should not forward this request to the P-GW.
22. Additionally the MME sends a UE Context Release message to the source ENB in order to
release resources at the eNB.
23. The source S-GW confirms the release of resources by sending a Delete Session Response
message.
24. The target SGSN initiates the release of the resources used for indirect data tunneling at the
source S-GW.

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Handover Complete
Charlie has completed the IRAT handover to the new UTRAN cell. UTRAN is now responsible for
configuring appropriate measurements if IRAT handover from UTRAN to E-UTRAN is allowed in this
network.

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Routing Area Update: RRC Idle Mode


If a UE that is ESM active, but in RRC Idle mode in E-UTRAN, reselects to UTRAN and the detects a
new Routing Area, the Routing Area Update procedure is carried out, triggering the relocation of the
bearer contexts to the target resource in the SGSN and S-GW (if changed).
Once the UE is camped on UTRAN, an RRC Connection is set up. A Routing Area Update Request is
sent to the target SGSN. The SGSN is able to derive the MME address from the existing RAI that was
included by the UE in the update request message. The SGSN then queries the source MME, sending
a Context request message. UE Context information is returned to the SGSN, including security and
EPS Bearer information.
If the S-GW is to be changed (as in this example), the SGSN sets up a new session in the target S-GW
and the SGSN initiates the setup of PDP Contexts, mapping 1 to 1 to each EPS bearer as described
earlier. The Target S-GW also informs the P-GW. The Target SGSN informs the HSS of the location
change and, based on the expiration of the previously started timer, the MME orders the eNB to
release the UE context. The SGSN completes the procedure by sending a Routing Area Update Accept
message to the UE, which acknowledges with a Routing Area Update Complete message.

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IRAT Handover (UTRAN to E-UTRAN) Message Flow


The message flow for an S1 handover consists of the same four phases as those for X2. For S1,
however, there is no direct path between the eNBs; therefore, the signaling must flow through the
MMEs.
1. Decision: The serving RNC is responsible for initiating the handover to E-UTRAN. This can
be based on measurements or on other non-radio related issues.
2. Preparation: The serving MME identifies and then notifies the target MME, which begins
preparation of the target resources. Because a change of S-GW is also required, the target
MME also initiates preparation of resources in the target S-GW. The final preparation step
is the target MME notifying the source MME of the new addresses and tunnel endpoints to
enable data forwarding.
3. Execution: The source MME begins the execution phase of the handover by notifying the
source eNB, which notifies the UE. Data forwarding of Downlink data begins. The UE
detaches from the source eNB and synchronizes with the target using random access
procedures. Once established, the target MME begins the process of defining direct Uplink
and Downlink paths for the P-GW to the target S-GW.
4. Completion: After successful completion of the handover, resources in the source eNB
and source MME are released.

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Notes

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IRAT Handover to E-UTRAN Decision and Preparation


Charlie returns to E-UTRAN coverage while being served by UTRAN.
1. In this example, UTRAN has configured event based measurement reporting. Specifically
for measuring LTE while in UTRAN, both periodic and event driven reporting are possible.
For compressed mode an additional Transmission Gap Pattern Sequence Measurement
Purpose (TMP) IE is defined (E-UTRA measurement) to signal to the UE that the defined
measurement gaps are for E-UTRAN. Events 3a, b , c, and d can be defined where the RSRP
or RSRQ of an E-UTRAN cell can be defined as the triggering quantity. Typically Event 3a
would be utilized to trigger an inter-RAT handover such that the measured value of the
serving UTRAN cell is below a threshold and the measured value of the E-UTRAN cell is
above a threshold. A time to trigger and hysteresis can also be applied.
2. The source RNC decides to execute the handover to E-UTRAN and sends a Relocation
Required message to the serving SGSN. The message includes the cause, the ID of the
target eNB, the source RNC ID and the Source RNC to Target RNC Transparent container.
The target eNB ID consists of the PLLM ID, the 20 most significant bits of the 28 bit cell ID
broadcast as part of SIB 1, and the Location Area Indicator. The transparent container
contains RRC and Security related information that is transparent to the Core network. It
will be utilized by the target eNB.
3. The source SGSN sends a Forward Relocation Required message to the target MME.

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IRAT Handover to E-UTRAN - Preparation


4. The target MME secures resources in the target S-GW, sending a Create Session Request
message that includes the PDN connection information (Control and User Plane) supplied
by the source SGSN. The S-GW replies with a Create Session Response message assigning
Uplink addresses and tunnel endpoint for each bearer.
5. Once the session is successfully created in the target S-GW, the target MME sends a
Handover Request message to the target eNB that includes a list of the bearers that are to
be created including the Uplink S-GW User Plane addresses. The Source to Target
Transparent Container is also sent along with the security key (keNB) for AS ciphering
and integrity protection. The MME derives this key from the NAS security parameters
contained in the security context sent by the serving SGSN. The target eNB responds with
a Handover Request Acknowledge message, confirming the bearers that were successfully
set up. A Target-to-Source Transparent Container is also included to enable radio and
security parameters to be passed to the UE through the source system.

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IRAT Handover to E-UTRAN Execution I


6. After the handover request is acknowledged by the eNB, the target MME initiates the
establishment of an indirect forwarding data tunnel by sending a Create Indirect Data
Forwarding Tunnel Request message to the target S-GW. The message includes the User
Plane addresses to use for each bearer at the eNB. The target S-GW responds by assigning
tunnel endpoint IDs for data forwarding. These will be utilized by the source SGSN.
7. The MME confirms the relocation with a Forward Relocation Response message to the
source SGSN. The message includes the list of bearers that have been set up, as well as the
bearer addresses for data forwarding that will be passed to the source S-GW.
8. The source SGSN next establishes the indirect data forwarding path in the source S-GW by
sending a Create Indirect Data Forwarding Tunnel Request message. This message includes
the EPS Bearer IDs and their associated data forwarding addresses in the target S-GW. The
target S-GW responds with a response message confirming the establishment of the
forwarding path and supplying the tunneling addresses for each bearer. These will be
utilized by the source SGSN.

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IRAT Handover to E-UTRAN Execution II


9. The source SGSN sends a Relocation Command message to the source RNC. The message
includes the SGSN addresses for each bearer for data forwarding .
10. The source RNC sends a Handover from UTRAN Command to the UE. It includes a list of
the RABs to handover. The Target to Source Transparent Container contains information
from the target eNB to enable to UE to access the LTE network. The RNC will also start to
forward Downlink data to the target S-GW.
11. On reception of the handover command, the UE moves from UTRAN to E-UTRAN and,
following successful acquisition, collects the E-UTRAN system information and carries out
a random access procedure. Upon successful access, the UE sends an
RRCReconfigurationComplete message confirming the handover.

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IRAT Handover to E-UTRAN Completion I


12. The target eNB confirms the handover by sending a Handover Notify message to the target
MME. It includes the Tracking Area Indicator and E-UTRAN cell Global ID.
13. The MME notifies the SGSN of the successful relocation and confirms the path switch with
a Path Switch Request Acknowledgment message. An additional flag for Idle Mode
Signaling Reduction (ISR) is included to enable the SGSN to retain the UE Context if ISR is
supported. (Activation of ISR, however, is only possible in the case where the S-GW does
not change). The source SGSN starts a timer to control when the source resources will be
released.
14. The target SGSN acknowledges the relocation with a Forward Relocation Complete
Acknowledgement message.

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IRAT Handover to E-UTRAN Completion II


15. With the handover confirmed, the source MME now initiates the modification of the
established bearers so that data can flow directly between the target eNB, S-GW, and the
P-GW. A Modify Bearer Request message is sent to the target S-GW, which includes the eNB
addresses for each bearer.
16. The target S-GW notifies the P-GW of the bearer modification by sending a Modify Bearer
Request message that includes the bearers to be modified and the S-GW Downlink
addresses. The P-GW responds with a confirmation of the modification and assigns
charging IDs to each bearer if necessary.
17. The target S-GW notifies the MME of the successful bearer modification and allocates
Uplink User Plane addresses.

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IRAT Handover to E-UTRAN Completion III


18. After the timer that was started at step 11 expires, the source SGSN begins the release of
resources in the source S-GW and RNC by sending Delete Session Request and Iu Release
messages. The source S-GW responds with a confirmation Delete Session Response
message to the SGSN.
19. The target MME contacts the target S-GW to delete the data forwarding tunnel.

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Section 9: Inter-RAT Mobility in Connected State: CDMA2000 (eHRPD)

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Notes

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Charlies Mobility and Services in EllTeEi Network


This course discusses various EPS procedures as Charlie powers up the LTE UE device and moves
through the EPS network in Idle and Connected states.

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Charlies Mobility and Services in EllTeEi Network


This section discusses handover between LTE and eHRPD. At point VII, Charlie leaves EllTeEis LTE
coverage while in RRC Connected mode. An underlying eHRPD network exists and, following the
definition and reporting of appropriate measurements, a handover to eHRPD is executed.

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EPS and eHRPD Network Architecture (Non-Optimized)


An evolved mode packet data session may transition from a serving eHRPD system to a serving
3GPP EPS system and from a serving 3GPP EPS system to a serving eHRPD system.
S2a Interface:
Connects the PDN Gateway in the 3GPP EPC to the HSGW in the 3GPP2 eHRPD network.
Provides the User Plane with related control and mobility support between eHRPD access and
the PDN-GW.
Detailed requirements and operation of this interface are defined in 3GPP TS 23.402, 3GPP
TS 29.275, and 3GPP2 X.S0057-0 V1.0.
Gxa Interface:
Connects the Policy and Charging Rules Function (PCRF) in the 3GPP EPC to the HSGW in the
3GPP2 eHRPD access network.
Detailed requirements and operation of this interface are defined in 3GPP TS 23.203, 3GPP
TS 29.212 and 3GPP TS 29.213.
STa Interface:
Connects the AAA in the 3GPP EPC to the AAA in the 3GPP2 eHRPD network
Used to authenticate and authorize the UE and carries PMIPv6 mode related Diameter
parameters between the 3GPP AAA server/proxy and the 3GPP2 AAA proxy
Detailed requirements and operation of this interface are defined in 3GPP TS 23.402 and
3GPP TS 29.273.

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eHRPD and EPS Interworking with added Interfaces for Optimized Handover
S101 Interface:
Connects the MME in the 3GPP EPS to the eAN/ePCF in the 3GPP2 eHRPD access network as
defined in 3GPP2 A.S0022-0 v1.0
Provides tunneling of signaling and data between the UE and the target access network via the
source/serving access network
Detailed operation of this interface is defined in 3GPP TS23.402 and 3GPP TS 29.276
S103 Interface:
Connects the Serving S-GW in the 3GPP EPC to the HSGW in the 3GPP2 eHRPD network
Forwards DL data between the S-GW and the HSGW to minimize packet losses in mobility
Detailed requirements and operation of this interface are defined in 3GPP TS 23.402 and 3GPP TS
29.276

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Handover Optimizations from E-UTRAN to eHRPD

Four different handover optimizations are available from E-UTRAN to eHRPD systems.
The S101 interface between the MME and eAN is used for tunneling eHRPD signaling between eAN
and eAT while attached to E-UTRAN. The S103 interface between the S-GW and HSGW is used for
data transfer during the active handover from E-UTRAN to eHRPD. Without the S101 and S103
interfaces, handovers are (completely) Non-Optimized (option 1 above).
With support for the S101 and S103 interfaces, the E-UTRAN System Information Message (SIB 8)
can indicate CDMA2000 1xRTT and EV-DO parameters including the Operating Band Class,
Operating Frequency, Neighbor List, CDMA system time, Search Windows, Cell Reselection threshold
values, EV-DO Pre-Registration support, Pre-Registration Zone IDs, etc. If pre-registration is allowed,
the eAT performs pre-registration with the target eHRPD system while in E-UTRAN. Without pre-
registration support, E-UTRAN to EV-DO mobility is based on cell reselection and is considered to be
Non-Optimized handover (option 2 above).
With pre-registration allowed, there are two types of handover. If a pre-registered eAT goes out of
coverage of E-UTRAN and acquires EV-DO, this is considered Out of Coverage based mobility.
Similarly, an eAT in E-UTRAN coverage can move to an EV-DO system based on re-direction or a cell
reselection mechanism. In this case (option 3 above), an EV-DO Traffic Channel is not assigned while
the eAT is in E-UTRAN Coverage and this is considered to be Non-Optimized handover.
If an eAT is pre-registered with the target eHRPD system, it can request Target Access Network
Traffic Channel resources during handover while still on the E-UTRAN network. This is considered
fully optimized handover.

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Optimized versus Non-Optimized Handovers


Non-Optimized:
The UE leaves the radio environment of the source RAN and performs a radio-level attachment
to the target RAN (e.g., creates an eHRPD session), and then performs a handover attach
procedure to the Packet Data network(s) it had been communicating with over the source RAN.
There are three types of Non-Optimized handovers, based on: whether S101/S103
signaling/bearer tunnels exist, whether Pre-Registration is supported, and whether the UE
receives the TCA from EV-DO while still on the E-UTRAN network.
This applies to both Active and Idle UEs.
Optimized:
Involves the movement of the UE from E-UTRAN to EV-DO using tunneled signaling (i.e., S101
signaling) between the E-UTRAN and the eHRPD.
While still on the source E-UTRAN, the UE tunnels signaling to the target eAN to pre-register, i.e.,
to create both a radio and an IP connection on the target system.
After Pre-Registration, the UE performs a radio-level handover to the target technology per
specified procedures.
E-UTRAN overhead message (SIB 8) triggers the Pre-Registration of the UE via E-UTRAN. SIB 8 also
indicates the Pre-Registration Zone ID.

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Notes

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Pre-Registration
Pre-registration is required to minimize the service interruption time experienced at the UE when
moving from E-UTRAN to eAN.
It lets the UE establish a session in the target eAN before leaving the source E-UTRAN
system.
Pre-registration may occur at any time prior to E-UTRAN to eAN handover.
The S101 interface between the MME and eAN is required to support pre-registration.

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eHRPD Pre-Registration Call Flow


Active handover from E-UTRAN involves three stages: Pre-registration, Preparation, and Execution. Below
are the Pre-Registration steps:
1-2. Assuming an existing radio connection on E-UTRAN, the E-UTRAN overhead message (SIB8) indicates to
the UE that it can perform pre-registration with EV-DO.
3 A communication path is established between the UE and eAN via the S101 interface.
4. If the UE does not have a UATI, or if the UATI needs to be changed, the UE uses EV-DO air interface
signaling to request and receive a UATI value.
5. The UE and the eAN configure the EV-DO session using EV-DO signaling tunneled via S101.
6a. If device level authentication is required by the operator, the UE and eAN establish a PPP connection and
exchange CHAP signaling. The eAN uses A12 signaling to perform the device level authentication as
shown in steps 6b and 6c.
7a-7b.The eAN and HSGW exchange A11' signaling messages to establish the default A10 connection. The A11-
Registration Request message contains the pre-registration indication that the access is occurring
through the S101 tunnel. Based upon this indication, the HSGW does not perform binding establishment
or update at the Packet Data Network Gateway (P-GW).
8. Using the default A10 connection established in Step 7, the UE and HSGW exchange authentication
signaling. The HSGW can obtain policy information related to the user from the PCRF as part of these
procedures. Once authentication is complete, the UE and HSGW exchange signaling to build the IP service
context between themselves, including IP addresses, QoS information, Traffic Flow Templates (TFTs), etc.
Here, no PMIP binding is established beween HSGW and PDN-GW.

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Notes

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Idle Handover from E-UTRAN to eHRPD


This procedure is used if the UE has a dormant eHRPD session in the target eAN, either through the pre-
registration procedure or a previous eHRPD attachment. This idle handover is considered optimized because
the target (eHRPD) session is already established via the Pre-Registration process and the HSGW only needs
to update the P-MIP binding with the P-GW.
1-2. The UE is attached to the E-UTRAN network and is in Idle mode. The UE has received the SIB8 system
information, including the HRPD Idle Cell Reselection Parameters and EV-DO neighbor cell information.
3. Based on SIB8 Idle cell reselection thresholds, the idle UE decides to perform cell reselection to a target
eAN. The decision can be made at any time when the UE is attached to E-UTRAN (including as soon as
pre-registration is completed).
4. The UE retunes to eHRPD and informs the eAN that the UE has performed an inter-technology idle
handover and is now tuned to eHRPD.
5. Since the existing eHRPD session is in the same subnet, the A10 connections already exist. The eAN
sends an A11-Registration Request for all A10s. The Pre-Reg=0 parameter indicates that A11 Reg Req is
sent due to the eAT actively moving from the E-UTRAN to EV-DO air interface and not because of a Pre-
Registration process.
6. Upon receipt of the A11-Registration Request message for eHRPD session with a nonzero lifetime timer
and with the PMIP indicator set to 0, the HSGW determines that it does not have a PMIP binding for
this eAT and performs a binding update. At this point, the User Plane is switched in the P-GW toward
the eHRPD Access Network via the HSGW.
7. The A11-Registration Request message is validated and, if new A10 connections are being established,
the HSGW accepts the A10 connections by returning an A11-Registration Reply message with an accept
indication. This may occur any time after Step 5.

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Idle Handover from UTRAN Call Flow (I)


1. Initially, the UE is attached to the E-UTRAN network and is in Idle mode. Pre-registration has
not been performed.
2. The UE receives SIB8 System Information from the eNode B, containing eHRPD neighbor
information and cell reselection parameters.
3. When the UE meets eHRPD neighbor cell reselection thresholds, it retunes its radio from
LTE to eHRPD.
4. The UE initiates Session Negotiation on the acquired eHRPD network.
5. Based on an eAN initiated A12 Authentication Request, the UE performs A12 CHAP
Authentication with 3GPP2 AAA Server.
6. The eAN initiates the A10 session establishment for the UE and sends an A11-Registration
Request message to the HSGW. The HSGW responds with an A11-Registration Response
message.
7. As part of the PPP Session establishment, the UE initiates the LCP Session Establishment
process with the HSGW.
8. Network Initiated EAP-AKA Authentication is performed and EAP-AKA Authentication is
done by the 3GPP AAA Server.

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Idle Handover from -UTRAN Call Flow (II)


9. The UE sends a VSNCP Configure-Request message over the main service connection. The information in the
message includes a PDN-ID, PDN Type, APN, PDN Address, Protocol Configuration Options, and Attach Type
(Handover Attach). When known, PDN Type indicates the UE IP version capability (IPv4, IPv4/IPv6, IPv6)
associated with the UE. The Protocol Configuration Options indicates whether the UE supports network initiated
bearers.
10. The HSGW performs the Gateway Control Session Establishment procedure with the PCRF. As part of this step, the
PCRF sends the QoS rules and events to the HSGW.
11a. The HSGW sends a PMIP Binding Update to the P-GW in order to update the registration.
11b. The P-GW retrieve the QoS policy parameter from the PCRF.
11c. The P-GW responds with a PMIP Binding Ack message to the HSGW.
12. The HSGW sends a VSNCP Configure-Ack (PDN-ID, APN, PDN Address, PCO, and AttachType) message to the UE over
the main service connection. The Protocol Configuration Options parameter may indicate the Selected Bearer
Control Mode.
13. The HSGW sends a VSNCP Configure-Request message to complete the protocol specified in RFC3772 . The message
includes the PDN-ID and the IPv4 Default Router Address if anIPv4 address is to be assigned either immediately or
deferred.
14. The UE responds with a VSNCP Configure-Ack message. To establish multiple APN connections, the UE may repeat
the steps from 11-13 for multiple APNs.
15. The P-GW initiates the EPS Bearer deletion procedure in the EPC network.
16 . The UE may send an optional Router Solicitation mMessage to HSGW requesting the IPV6 prefix .
17. The HSGW responds to the UE by sending the Router Advertisement including the IPV6 prefix . The prefix is used
by the UE to make an IPV6 address by combination with the Interface Identifier (IID).
18. The UE may optionally request the establishment of additional Dedicated Bearers.

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Notes

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Section 9: Inter-RAT Mobility in Connected State: CDMA2000 (eHRPD)

Non-Optimized Active Handover from E-UTRAN (I)


In this example, the UE does not support IRAT neighbor measurements and is redirected by E-UTRAN to the
eHRPD network based only on measurements of the LTE serving cell. This is considered a Blind Handover.
Initially the UE is attached to the E-UTRAN network and an active data session is in progress.
1. The UE is monitoring the PDCCH for scheduling information and has previously downloaded the system
information (SIB1, SIB2, SIB3, etc.).
2. The UE receives an Event A2 configuration, which is triggered when the measured quantity (RSRP in this
example) falls below the defined threshold.
3. The RRC Connection Reconfiguration Complete message confirms the configuration.
4. The UE detects that the LTE serving cell drops the below the A2 threshold for Time to Trigger seconds.
5. The UE sends a Measurement Report message to the E-UTRAN that contains the LTE serving cell RSRP
and RSRQ.
6. The E-UTRAN decides to execute a blind handover to eHRPD and sends an RRC Connection Release
Message that contains the target eHRPD system Band Class and Channel information.
7. The eNodeB initiates a UE Context Release by sending the UE Context Release Request message to MME
with a cause indication of IRAT Reselection.
8. The MME sends a Release Access Bearer Request to the S-GW and receives a Release Access Bearer
Response message from the S-GW.
9. The MME sends a UE Context Release Command to the eNode B.
10. The eNode B acknowledges the command by sending a UE Context Release Complete message.

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Non-Optimized Active Handover from E-UTRAN (II)


In this example, the UE does not UE does not use the S101interafce to pre-register with eHRPD and there is no existing eHRPD session
with the eAN/ePCF. When the UE attaches to eHRPD, it therefore must go through session establishment and establish a context with the
HSGW.
11. Based on redirection from E-UTRAN, the UE acquires eHRPD and performs session negotiation.
12. Based on the eAN initiated A12 Authentication Request, the UE performs CHAP Authentication with 3GPP2 AAA Server.
13. The eAN initiates A10 session establishment for the UE and sends an A11 Registration Request message to the HSGW. The HSGW
responds with an A11 Registration Response message.
14. As part of the PPP session establishment, the UE initiates the LCP Session Establishment process with the HSGW.
15. Network initiated EAP-AKA Authentication is performed and EAP-AKA Authentication is done by the 3GPP AAA Server.
16. The UE sends a VSNCP Configure Request message over the main service connection. The information in the message includes the
PDN-ID, PDN Type, APN, PDN Address, Protocol Configuration Options, and Attach Type (Handover Attach). When known, PDN Type
indicates the UE IP version capability (IPv4, IPv4/IPv6, IPv6). The Protocol Configuration Options indicate whether the UE supports
network initiated bearers.
17. The HSGW performs the Gateway Control Session Establishment procedure with the PCRF. As part of this step, the PCRF sends the
QoS rules and events to the HSGW.
18a. The HSGW sends a PMIP Binding Update to the P-GW in order to update the registration.
18b. The P-GW retrieves the QoS policy parameters from the PCRF.
18c. The P-GW responds to the HSGW with a PMIP Binding Ack.
19. The HSGW sends a VSNCP Configure-Ack (PDN-ID, APN, PDN Address, PCO, and Attach Type) message to the UE over the main
service connection. The Protocol Configuration Options parameter may indicate the Selected Bearer Control Mode.
20. The HSGW sends a VSNCP Configure Request message to complete the protocol specified in RFC 3772. The message includes the PDN-
ID and the IPv4 Default Router Address if anIPv4 address is to be assigned either immediately or deferred.
21. The UE responds with a VSNCP Configure Ack message. To establish multiple APN Connections, the UE may repeat steps from 16-21
for multiple APNs.
22. The P-GW initiates the EPS Bearer deletion procedure in the EPC network.
23. The UE may send an optional Router Solicitation message to HSGW requesting a IPV6 prefix.
24. The HSGW responds to the UE by sending Router Advertisement containing the IPV6 prefix, which is used by the UE to complete the
IPV6 address by combining with Interface Identifier (IID).
25. The UE may request additional dedicated bearers to be established.

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Optimized Active Handover from E-UTRAN (I)


1. Assuming an existing active service on E-UTRAN with EV-DO pre-registration is already
completed and S101 is established (step 0), the UE performs EV-DO radio measurements. Based
on the UE measurement reports, the E-UTRAN decides to handover to EV-DO by sending a
HandoverfromEUTRAPreparationRequest message.
2. The UE sends a tunneled EV-DO ConnectionRequest message to the eAN/ePCF to request radio
resources and a traffic channel assignment. Because this message is relayed via the MME, the
MME attaches the associated P-GW address and Uplink GRE key in the S101 Direct Transfer
message.
3. The eAN sends an A11 Registration Request message to the HSGW containing the P-GW address
and the Uplink GRE key that was received in Step 2. It also requests the data forwarding address
for the HSGW and a GRE key.
4. The HSGW replies with an A11-Registration Request message. If data forwarding is supported,
the data forwarding address for the HSGW and the GRE key are included in the message.
5. The eAN allocates the necessary radio resources and sends a tunneled EV-DO
TrafficChannelAssignment (TCA) message to the UE. The S101 message contain the data
forwarding address for the HSGW and GRE key, if provided in Step 4. The TCA is sent via an S101
Direct Transfer message to the MME along with the GRE key and IP address for tunneling
Downlink data from the S-GW to the HSGW (Step 5a) , and is then relayed from the MME via the
eNode B to the UE (Step 5b).
6. If data forwarding is defined, E-UTRAN begins to forward data packets via the S-GW to the
HSGW using the HSGW IP address and GRE key.

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Optimized Active Handover from E-UTRAN (II)


7. The UE acquires EV-DO.
8. Following acquisition, the UE sends a Traffic Channel Complete (TCC) message to the eAN.
9. The eAN sends an A11- Registration Request message containing an Active Start Air link Record
to the HSGW.
10. The HSGW acknowledges with an A11- Registration Reply message.
11. The HSGW creates the PMIP binding and completes any other necessary procedures. This step is
triggered by Step 9 and happens in parallel with Step 10. When the PMIP binding between
HSGW and PDN-GW is completed, P-GW may start forwarding the data packets directly toward
HSGW. At the same time, any configured data forwarding will stop.
12. The eAN indicates that the handover completed to the MME.
13. The MME acknowledges the handover completion.
14. The E-UTRAN, MME, and S-GW release resources, including the PMIP tunnel from the S-GW to
the P-GW.

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Notes

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Idle HO from eHRPD to E-UTRAN


Idle state handover from EV-DO to E-UTRAN occurs when the UE selects an E-UTRAN cell and
performs the E-UTRAN attach procedures.
This call flow describes the procedure for non-optimized Idle state handover from EV-DO to E-
UTRAN and assumes that the UE did not previously attach to the E-UTRAN system. Prior to the
handover, the UE is dormant on EV-DO. After the handover, the UE remains pre-registered in EV-DO
(i.e., the UE retains the EV-DO session).
1-2. The UE is idle on EV-DO and receives the Other RAT Neighbor List Message containing the E-
UTRAN Neighbor List and Idle Cell Reselection thresholds.
3. Based on the Idle Cell Reselection thresholds, the UE decides to perform cell reselection to E-
UTRAN.
4. The UE closes the EV-DO connection and retunes to E-UTRAN.
5. The UE performs the E-UTRAN access procedure and attaches to the LTE network. The P-
GW allocates the same IP address to the UE.
6-7. The P-GW notifies the HSGW to release PMIP binding and perform resource de-allocation.
8. The HSGW may wait an implementation-dependent amount of time before initiating an A10
release procedure in order to reduce the possibility of ping-pong.
Once the UE performs the idle handover to E-UTRAN, the pre-registration is still valid and no further
pre-registration to the eHRPD network is required.

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S101 Tunnel Redirection

Each MME Pool serves a number of Tracking Areas (TA). Each TA consists of a number of cells; each
cell of an eNode B belongs to only one TA. When a UE in Idle mode moves between TAs, the Tracking
Area Update procedure is carried out. If the source and target TAs are controlled by different MMEs,
the source MME communicates with the target MME via the S10 interface in order to transfer the UE
context to the target MME. If a corresponding S101 tunnel exists between the source MME and the
eAN Node (identified by a Session ID), the source MME directs the eAN to relocate the S101 tunnel
toward the target MME.
The E-UTRAN system information messages (SIB 8) indicate the Pre-Registration and Pre-
Registration Zone ID (PRZID). The Pre-Registration Zone corresponds to the Subnet Area (same
Color code for all base stations in the same Subnet ID). When a UE moves from one PRZID to another
PRZID belonging to a different eAN and connecting to the same MME, the UE informs the MME of the
PRZID change and the MME needs to switch the S101 tunnel from the source eAN to the target eAN.

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S101 Tunnel Redirection Call Flow


This call flow describes the S101 redirection procedure for an MME context transfer. This call flow
may occur at any time after pre-registration, including during handover to eHRPD.
1. Initially, the UE performs pre-registration over the source MME. The S101 tunnel is defined
between the source MME and the eHRPD Access Network.
2. When the UE moves from one Tracking Area to another Tracking Area belonging to a
different MME, the UE performs a Tracking Area Update procedure, which triggers a UE
context transfer between the source MME and the target MME.
3. The UEs MME context is moved from the source MME to the target MME, including the
eHRPD Access Network ID (EV-DO string).
4. The target MME sends an S101 Redirection Command message to the eHRPD Access Network
whose ID is received in Step 2. After receiving this message, the eHRPD Access Network
associates the S101 tunnel for this specific UE with the target MME. Then the eHRPD Access
Network releases any context associated with the source MME.
5. In response to the S101 Redirection Command message, the eHRPD Access Network sends an
S101 Redirection Ack message to the target MME.

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Comments/Notes

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Section 10: Circuit Switched Fallback (CSFB): UTRAN

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Section 10: Circuit Switched Fallback (CSFB): UTRAN

Notes

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Notes

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Circuit Switched Fallback (CSFB)


CSFB enables the support of voice service without the deployment of IMS. This is a possible scenario
for many operators when LTE is initially rolled out. CSFB and IMS can also be deployed
simultaneously, meaning that an operator can gradually roll out an IMS system while still supporting
fallback mechanism where necessary. The UE indicates to the network that it wants to perform a
Combined Attached during initial registration with the MME. In practice, this means that the
device requests from the network to also register its presence in the 2G/3G circuit switched
network.
A mobile terminated call for the subscriber arrives at the MSC, which then signals the incoming call
to the MME. The UE is paged in LTE if in idle mode or notified of the call if in active mode. It
responds requesting CS fallback for the call to proceed. For Mobile Originated (MO) calls, the UE
establishes an RRC Connection (if idle) and then notifies the MME that a CS fallback call is required.
The CSFB mechanism itself can consist either of a PS Handover to the other RAT or an RRC
Connection Release with redirection to the other RAT. There are a number of improvements in the
RRC Release mechanism in Release 9 of the specification to reduce delay when the latter mechanism
is employed.

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3GPP CSFB Architecture


The CSFB architecture introduces the SGs interface between the MSC sever and the MME. The
interface is based on the Gs protocols and is utilized to enable mobility management and paging
procedures between the CS Domain and EPC. As a result of a combined attached procedure, a
terminating voice call arriving at the MSC will cause a paging notification to be sent to the MME. The
MME will then be responsible for paging (or notifying) the UE of the incoming voice call.
Additionally, the S3 interface between the MME and SGSN is also shown and enables Idle Mode
Signaling Reduction (ISR). ISR enables a UE to be simultaneously registered in a Tracking Area and
UTRAN/GERAN Routing Area (RA). Tracking and Routing Area Updates are not required as the UE
reselects between technologies unless the TA/RA has changed. Pages for Downlink data (or CSFB
calls) will be sent on both technologies as enabled by the S3 interface.

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SGs and S3 Protocol Stacks


SGs (MSC/VLR MME)
The SGs interface utilizes the SGsAP protocol to transfer messages between the MSC/VLR and the
MME.
S3 (SGSN MME)
The S3 interface utilizes the GTPv2-C protocol and is used to exchange control information between
the SGSN and MME specifically during handover or relocation. For CSFB, the S3 is utilized if Idle
Mode Signaling Reduction (ISR) is implemented so that pages can be forwarded from the MME
towards the SGSN.

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CSFB Initial Attach


MME uses the IMSI in the NAS PDU of the Initial EPS Attach message to determine if it has an
existing UE context. During Initial Attach, the MME is not expected to have the UE Context. At this
point, the MME begins to create the UE context by storing the UE network capability information,
PDN connectivity request, etc. These are used later during security activation and bearer
establishment.
If CSFB is required, the Attach Type IE is set to combined EPS/IMSI attach. This signals to the MME
that the UE requires registration in the CS Domain and is CSFB capable. An additional option during
this attach procedure is that the UE can request SMS only service but not CSFB. In this case, fallback
to another RAT is not supported but the UE can register in the CN domain and receive SMS messages
via the SGs interface.

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Initial Attach
Based on the UEs tracking area, the MME determines the Location Area based on information
stored at the MME. The location area is then used to derive the VLR name. If multiple VLRs serve the
identified Location Area, then the MME uses a hashing function based on the UE IMSI to determine
which VLR to use. Once identified, the MME sends a Location Update request message to the
MSC/VLR that includes the IMSI, the derived Location Area, and the MME address.
On reception of the Location Update Request, the VLR creates an SGs Association by storing the
MME address and responds with a Location Update Accept message that includes the assigned TMSI.

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CSFB: Attach Accept


The MME sends an EMM Attach Accept that includes the result of the combined attach request.
Specifically for CSFB, if the combined attach is successful, NAS includes the Location Area Indicator
and TMSI as supplied by the MSC/VLR. The additional (optional) IE Additional Update Result in
the Attach Accept can take the values SMS Only or CSFB Not Preferred. The action of the UE
when either of these IEs are present is controlled by the UE and network configuration. 3GPP TS
23.221 describes how an individual UE can be configured to be either Voice Centric or Data
Centric (so-called Mode 1 or Mode 2).
Additional UE preferences further define whether the UE is capable or prefers CS Voice and/or IMS
PS Voice. Four settings are possible: CS Voice only, IMS PS Voice only, Prefer CS Voice, IMS PS
Voice secondary and Prefer IMS PS Voice with CS Voice Secondary. Specific combinations of
settings and attach results will cause the UE to either remain in E-UTRAN or reselect to another
RAT.
Appendix A shows flow charts that summarize the actions followed by the UE for various attach
scenarios and results.

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CSFB Mobile Originated (MO) Call


There are two CSFB mechanisms that can be supported, and both are applicable for CS calls
originated while the UE is in E-UTRAN idle or connected mode. With first method, PS Handover, a
packet switched handover from E-UTRAN to the target RAT is initiated by the eNB, while with the
second method, Redirection, the E-UTRAN RRC Connection is released with redirection to the
other RAT. With both techniques, a NAS Extended Service request message is sent to the MME to
trigger the fallback.
On completion of the CS call, there are no CSFB-specific mechanisms defined to return back to E-
UTRAN. Existing handover and reselection mechanisms can be utilized to return to E-UTRAN.

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CSFB in Active Mode: Mobile Originated Call (UTRAN) PS Handover Supported


With the UE in active mode, a NAS Extended Service Request message is sent by the UE to the MME.
The Service Type IE indicates that a MO CS call requiring fallback is required. The MME notifies the
eNB with a UE Context Modification Request that includes the CS Fallback indicator. The eNB then
begins the PS handover to UTRAN process. This could be blind (without prior knowledge of the
UTRAN RF quality) or non-blind. For non-blind, the eNB would configure measurements to be made
on the target RAT.
Once the handover to UTRAN is completed, the UE initiates the setup of the CS call by sending an
Initial Direct Transfer message to the RNC that includes a CM Service Request NAS message as well
as notifying the RNC that this request relates to the CN domain. The RNC forwards the CM Service
Request to the MSC/VLR as part of an Initial UE Message. The MSC/VLR then executes a CS call
setup.

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Active Mode: Mobile Originated Call (UTRAN) Redirection


With the UE in active mode, a NAS Extended Service Request message is sent by the UE to the MME.
The Service Type IE indicates that a MO CS call requiring fallback is required. The MME notifies the
eNB with a UE Context Modification Request that includes the CS Fallback indicator. The eNB then
releases the RRC Connection by sending an RRC Connection Release. In Release 8, the contents of
this message redirect the UE to the specific UTRAN carrier.
Once the UE acquires UTRAN, an RRC Connection is established and the UE initiates the setup of the
CS call by sending an Initial Direct Transfer message to the RNC that includes a CM Service Request
NAS message as well as notifying the RNC that this request relates to the CN domain. The RNC
forwards the CM Service Request to the MSC/VLR as part of an Initial UE Message. The MSC/VLR
then executes a CS call setup.

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Redirection Enhancements in Release 9


In Release 9 of the 3GPP specifications, the RRC Connection Release message is expanded to include
additional IE that will improve CSFB by reducing redirection delay. In Release 8 for redirection, the
message could include just the UTRAN carrier frequency or a group of GERAN frequencies. The UE
would then have to move to the the target system and read the system information before
competing acquisition.
In Release 9 for UTRAN, a list of PSCs, each with a container that includes the associated System
Information Blacks (SIBs), can be defined. Similarly for GERAN, a list of carrier frequencies can be
defined, each with its associated Network/BSS Color Codes and System Information message.

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CSFB Mobile Terminated (MT) Call


Both the PS Handover and Redirection mechanisms for CSFB are also applicable for Mobile
Terminated (MT) calls. If the UE is in idle mode, the MME initiates paging to the UE following
notification from the MSC/VLR of an incoming voice call. Upon reception of the page, the UE
establishes an RRC Connection and responds to the MME with a NAS Extended Service Request
message. The MME notifies the eNB, and E-UTRAN can then initiate either the PS handover
procedure or Redirection based on the network configuration.
If the UE is in connected mode, the MME sends a NAS CS Service Notification message to the UE on
reception of a paging notification from the MSC/VLR. The MME notifies the eNB based on the
reception of a NAS Extended Service Request from the UE and E_UTRAN can then initiate either the
PS handover procedure or Redirection based following the reception of a NAS.
On completion of the CS call, there are no CSFB-specific mechanisms defined to return back to E-
UTRAN. Existing handover and reselection mechanisms can be utilized to return to E-UTRAN.

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Idle Mode: MT Call (UTRAN) PS Handover Supported (I)


The MME receives a Paging Request from the MSC/VLR that includes the UE identify (IMSI and
TMSI) and an indication that a CS call is required. The MME initiates Paging to the UE through the
eNB. The Paging message sent from the eNB to the UE includes an indicator of the CS Domain. The
MME does not wait for a response from the UE before responding to the MSC/VLR with a Service
Request message that prevents the repetition of the Paging Request message and may also be
utilized to trigger a message to inform the calling party that the call is proceeding.
On reception of the page, the UE establishes an RRC Connection and sends a NAS Extended Service
Request message to the MME that includes the Service Type IE set to Mobile Terminating CS
Fallback. The MME then establishes a UE Context at the eNB by sending an Initial Context Setup
message that includes the CS Fallback Indicator. The eNB then begins the PS handover to UTRAN
process. This could be blind (without prior knowledge of the UTRAN RF quality) or non-blind. For
non-blind, the eNB would configure measurements to be made on the target RAT.

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Idle Mode: MT Call(UTRAN) PS Handover Supported (II)


Once the handover to UTRAN is completed, the UE initiates the setup of the CS call by sending an
Initial Direct Transfer message to the RNC that includes a CM Service Request NAS message as well
as notifying the RNC that this request relates to the CN domain. The RNC forwards the Service
request to the MSC/VLR. This triggers the initiation of the CS voice call setup by the MSC/VLR.

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Idle Mode: MT Call (UTRAN) Redirection


The MME receives a Paging Request from the MSC/VLR that includes the UE identify (IMSI and
TMSI) and an indication that a CS call is required. The MME initiates Paging to the UE through the
eNB. The Paging message sent from the eNB to the UE includes an indicator for the CS Domain. The
MME does not wait for a response from the UE before responding to the MSC/VLR with a Service
Request message that prevents the repetition of the Paging Request message and may also be
utilized to trigger a message to inform the calling party that the call is proceeding.
On reception of the page, the UE establishes an RRC Connection and sends a NAS Extended Service
Request message to the MME that includes the Service Type IE set to Mobile Terminating CS
Fallback. The MME then establishes a UE Context at the eNB by sending an Initial Context Setup
message that includes the CS Fallback Indicator. The eNB then sends an RRC Connection Release
message to the UE with redirection to a specific UTRAN carrier (and additional Release 9 PSC and
SIB information, if supported). The eNB, additionally, sends a UE Context Release message to the
MME with a CS Fallback Triggered cause defined.

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Idle Mode: MT Call (UTRAN) Redirection (II)


On release of the E-UTRAN RRC Connection, the UE acquires UTRAN and establishes an RRC
Connection and sends an Initial Direct Transfer message that includes a Paging Response
encapsulated in a Service Request message. The Paging response is forwarded by the RNC to the
MSC/VLR, which initiates the setup of the CS voice call.

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RRC Active: MT Call (UTRAN)


The call flow for a mobile terminated call in active mode is similar to those associated with idle
mode, and both PS Handover and redirection are supported. Based on the reception of a Paging
Request from the MSC/VLR, the MMA sends a NAS CS Service Notification message to the UE to
informing it of the need for CS Service. The UE responds to the MME with a NAS Extended Service
request message that includes Mobile Terminating CS Fallback as the Service Type. The MME then
modifies the existing UE Context by sending a UE Context Modification message to the eNB
indicating the requirement for CS Fallback. Reception is confirmed by the eNB. The eNB then
initiates the CS fallback procedure and can follow either the PS Handover or redirection approaches
as described for idle mode call terminated.

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Estimated Call Setup Delay Comparison


The table demonstrates the impact on the expected all setup delay associated with the CSFB
procedure compared to a native UTRAN CS call setup.
For Release 9, the setup delay introduced by either the PS handover procedure or the redirection
procedure is similar at 340 ms and 360 ms, respectively. This corresponds to a nominal 9% increase.
From a performance perspective, the PS handover approach is likely more reliable in terms of
introducing less interruption for a UE transferring data in parallel to a voice call. Redirection,
however, is simpler to implement and should have a similar reliability in terms of call setup success
on the target system.
For Release 8, the additional time required to read the system information when redirection is
employed increases the overall call setup time by 1270 ms. This is significantly higher than the 340
ms required for PS handover.

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Roaming Retry for CS Fallback


From a 3GPP specification perspective, there is no requirement regarding the relationship between
Tracking Areas in E-UTRAN and Location and Routing Areas in UTRAN or GERAN. From a practical
perspective, however, it makes sense that their assignment be coordinated to reduce the necessity
to perform updates as the UE moves between technologies. However, this approach must be
executed with consideration of the loading and/or geographic requirements that limit the overall
maximum size of each area.
Roaming Retry is defined by 3GPP TS 23.108 not specifically for CSFB but can be applied when a UE
is paged and responds to a different LA and MSC than that which generated the page. Following a UE
generated Location Area Update, the old MSC instructs the GMSC to retransmit the IAM to the new
MSC. This is carried out after interaction with the HLR to obtain a new roaming number from the
new MSC towards which the call can then be delivered.

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Short Message Service (SMS) over SGs


If the home PLMN chooses the CS domain for the delivery of SMS messages, delivery utilizing the SGs
interface between the MSC/VLR and the MME is supported without the need to perform CS fallback.
All other existing protocols and entities for SMS are reused. In both the originating and terminating
case, the message is encapsulated as part of a NAS PDU that is exchanged between the UE and the
MME.

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SMS: Mobile Originated from Idle


Following a combined IMSI/EPS attach, an idle mode UE triggers a Service request in order to send
an SMS message. The message is encapsulated in an Uplink NAS Transport message that is sent to
the MSC via the SGs interface by the MME. The message is forwarded to the SMS-IWMSC, which in
turn forwards the message to the Service Center (SC). The SC confirms the delivery to the SMS-
IWMSC, which sends a delivery report to the MSC. The MSC informs the MME, which encapsulates
the delivery report in a Downlink NAS Transport message before forwarding to the UE.
The UE acknowledges the delivery report with an Uplink NAS Transport message. The MME informs
the MSC of the acknowledgment, which in turn sends a Release request message to the MME. This
message informs the MME that there are no more messages to transfer to the UE.

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SMS: Mobile Terminated from Idle


Following a combined IMSI/EPS attach, an idle mode UE is paged in order to deliver a terminating
SMS message. The paging is initiated by the MSC on reception of a message from the SC via the SMS-
IWMSC. Upon reception of the page, the UE establishes an RRC Connection and forwards a Service
request message to the MME. The MME sends a Service Request message to the MSC, which
responds with a Downlink Unitdata message containing the SMS message. The SMS message is sent
to the UE encapsulated in a Downlink NAS Transport message.
The UE acknowledges delivery by sending an Uplink NAS Transport message to the MME. The MME
forwards the delivery acknowledgment to the MSC, which in turn forwards it to the SC via the SMS-
IWMSC. The MSC also responds to the MME to confirm reception of the delivery report. The MME
forwards the acknowledgment to the UE in a Downlink NAS Transport message. Additionally, the
MSC sends a Release request message to the MME. This message informs the MME that there are no
more messages to transfer to the UE.

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Comments/Notes

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

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Notes

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Notes

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What are the Options to Support Voice?

When a UE is attached to the E-UTRAN, CS voice can be supported in in three different ways:
1) Circuit Switch Fall Back (CSFB): If IMS is not implemented and LTE does not support VoIP,
voice calls can be originated and terminated by falling back on to an existing underlying
CDMA2000 1xRTT network. This technique does not require LTE network connectivity to IMS.
For Mobile Terminated (MT) calls, the UE is paged over LTE.
2) VoIP over LTE: VoIP call support over LTE network requires IMS support. When a UE with an
active VoIP call leaves LTE coverage to an area with only 1xRTT coverage , the call can be
seamlessly handed over from the LTE-IMS to the 1xRTT CS domain. Call continuity from IMS to
the CS domain is maintained with the help of Single Radio Voice Call Continuity (SRVCC)
anchoring.
SMS can be originated and terminated via the LTE network or the 1xRTT CS domain. If the LTE
network does not support SMS, then the message can be sent or received by the 1xRTT CS network
while still on E-UTRAN. The SMS messages are tunneled from the 1xRTT CS network to the E-
UTRAN via the S102 interface (i.e., there is S102 connectivity between the MME and the 1X IWS).
3) Simultaneous Voice and LTE (SVLTE): This solution requires a dual radio device. SVLTE can
simultaneously provide voice services over 1xRTT and data services over E-UTRAN. This
solution does not require any kind of interworking connections between 1xRTT and LTE.

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

CSFB
CDMA operators are likely to initially deploy their LTE network as an overlay on their existing
1xRTT CS coverage. These initial LTE deployments may not immediately support VoIP services in
the Packet Switched domain.
When CSFB is employed to support voice, whenever a dual mode device (LTE and 1X) is powered
on, it acquires LTE coverage and registers with the E-UTRAN for PS services. The E-UTRAN will
broadcast system information that will cause to UE to pre-register (over LTE) with the 1xRTT
network in order to support voice services. When a UE needs to originate voice call , it falls back to
1xRTT coverage and originates the call via the 1xRTT Circuit Switched domain. Upon completion of
the 1xRTT voice call, the device returns to the LTE network.

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

Circuit Switched Fallback (CSFB)


CSFB enables the support of voice service without requiring IMS. Many CDMA2000 operators may
find this solution helpful for their initial LTE deployments. CSFB and IMS also can be deployed
simultaneously, enabling an operator to gradually roll out an IMS system while still supporting the
fallback mechanism where necessary. If CSFB to 1xRTT is supported by the LTE network, the
E-UTRAN indicates this in the system information broadcast in System Information Blocks (SIBs).
Reception of specific IEs by the UE will cause it to register (over LTE) with the 1xRTT network if
CSFB is supported.
A Mobile Terminated call for a subscriber arrives at the MSC, which then signals the incoming call to
the MME. A UE in Idle mode is paged in LTE; a UE in Active mode is notified of the call. The UE
responds requesting CS fallback for the call to proceed. For Mobile Originated (MO) calls, the UE
establishes an RRC Connection (if idle) and then notifies the MME that a CS fallback call is required.
The CSFB mechanism defined in Release 8 of the 3GPP specification consists of an RRC Connection
Release and suspension of any active PS session prior to acquisition of the 1xRTT network. Release
9, however, defines an enhanced version of CSFB that employs a handover mechanism to 1xRTT that
enables resources on the target network to be provisioned while the UE is still on LTE. Additionally,
the UE can support concurrent handling of 1xRTT and HRPD, which enables handover rather than
suspension of a PS session.

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

3GPP2 CSFB Network Architecture


CSFB to 1xRTT in EPS enables CS services to be delivered using the existing 1xRTT CS infrastructure
without requiring IMS. A CSFB enabled terminal, while connected to E-UTRAN, may pre-register in
the 1xRTT CS domain to be able to use 1xRTT. Overlapping LTE and 1xRTT coverage is required.
CSFB with 1xRTT in EPS is achieved by using the S102 reference point between the MME and the
1xCS IWS. An S102 session is established when the CSFB UE performs registration with the 1xRTT
network while on the E-UTRAN network. The S102 session is identified using IMSI/MEID and is long
lived (similar to pre-registration for S101).

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Notes

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

MME-Functional Requirements for CSFB Support


Tunnelling of 1X CS Signaling Messages to/from the UE via E-UTRAN
Tunneling messages are encapsulated in S1-MME S1 Direct Transfer messages
Tunneling of 1X CS Signaling Messages to/from the 1X IWS
Encapsulated messages are tunneled via S102
Each UE singaling messages is identified using the IMSI/MEID
The MME is responsible for 1X IWS selection when multiple are connected to the MME
The 1X IWS selection is based on the CDMA2000 Cell Reference ID
E-UTRAN provides the CDMA2000 Cell Reference ID to the MME
Handling of S102 tunnel redirection in case of MME relocation
S102 tunnel redirected from source to target MME following MME change and
Tracking Area Update

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

Notes

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

Notes

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Notes

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

System Information Block SIB Type 8 1xRTT Specific Information


System Information Block 8 contains reselection related information elements associated with CDMA2000.
Reselection to both HRPD and 1xRTT is covered by this SIB. There are two common IEs associated with
timing. For a UE with a single receiver chain, the timing of the CDMA2000 system is broadcast in the IE
SystemTimeInfoCDMA2000. This can take two values depending on whether the E-UTRAN and CDMA2000
networks are synchronized. For the synchronous case, the timing corresponds to the CDMA2000 system time
(in units of 10ms) at the SFN boundary at the end of the SI-window in the SIB is transmitted. For the
asynchronous case, the timing is defined (in units of 8 chips) from the end of the same boundary. Additionally,
the CDMA2000 Search Window is defined as one of 16 values between 4 and 452 chips.
Additional reselection parameters are defined separately for HRPD and 1xRTT. For 1xRTT, the reselection
information is populated in a near identical manner to that associated with HRPD. The reselection timer and
the optional speed related scaling factors are defined and are common across all 1xRTT neighbors. Multiple
band classes can be defined, each with a unique reselection priority and Threshx,high and Threshx,low
parameters. The absolute frequencies associated with each band are defined along with the specific cell PN
offsets associated with each.
Additional IEs that are unique to 1xRTT are the CSFB Registration Parameters and the Long Code State. If the
UE supports Circuit Switched Fallback (CFSB), the UE is informed if it should register with the 1xRTT network.
The System ID (SID) and Network ID (NID) are broadcast along with a number of other registration related
IEs: multipleSID: Multiple SID storage indicator, multipleNID: Multiple NID storage indicator, homeReg: Home
registration indicator, foreignSIDReg: SID roamer registration indicator, foreignNIDReg: NID roamer
registration indicator, parameterReg: Parameter-change registration indicator, powerUpReg: Power-up
registration indicator, registrationPeriod: Registration period, registrationZone: Registration zone, totalZone:
Number of registration zones to be retained, zoneTimer: Zone timer length. The Long Code State IE enables the
UE to determine the sate of the long code registers in the case where Single Radio Voice Call Continuity
(SRVCC) is required thus enabling handover.

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

1xRTT CS Registration over EPS Call Flow


The UE is required to perform 1xRTT CS registration over E-UTRAN in order to utilize CSFB:
1. Initially, UE attaches to E-UTRAN.
2. Based on a radio layer trigger (e.g., an SIB8 indication from the E-UTRAN ), the UE decides to register with
the 1xRTT CS domain.
3. If the UE is in Idle state, it establishes an RRC connection and performs the Service Request procedure.
4. The UE generates a 1xRTT CS registration request. This message is transparently transferred from the UE
to the E-UTRAN using a UL Information Transfer message. The E-UTRAN forwards this message to the
MME, including the CDMA2000 Reference Cell ID. The MME selects a 1xCS IWS node based on the
CDMA2000 Reference Cell ID. The IMSI is then used to distinguish S102 signalling transactions belonging
to different UEs. The MME sends a S102 Direct Transfer message (IMSI, 1xCS message) to the 1xCS IWS
node.
5. 1xRTT CS registration is performed by the 1xCS IWS node with the 1x MSC/HLR.
6. The 1xRTT CS registration response is tunnelled back to the MME in an S102 Direct Transfer message
(IMSI, 1xCS message). The MME forwards the 1xRTT CS message to the E-UTRAN and the E-UTRAN
forwards the 1xRTT CS message to the UE.
If the trigger for 1xCS registration changes over time, the UE (Idle or Connected state), uses this
information to update the 1xCS registration via the tunnel.
When the UE moves from the coverage area of one MME to the coverage area of another MME, it performs
a Tracking Area Update. Based on this, the S102 tunnel is redirected to the new MME.

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

Release 9 Enhancements for 1xRTT CSFB


The CSFB call flow procedure and call flow defined in 3GPP Release 8 is not well optimized in terms
of voice call setup time. In Release 8, the E-UTRAN releases the RRC Connection and redirects the UE
to a specific 1xRTT carrier defined as a band class and ARFCN (multiple prioritized carriers are also
possible). The UE then completes the entire 1xRTT voice call setup procedure once a suitable cell
has been acquired. This procedure will typically result in an increased call setup time compared to a
UE already camped on 1xRTT.
In 3GPP Release 9, Enhanced CSFB is introduced. Here, 1xRTT parameters and channel assignment
information is provided to the UE while it is still on the E-UTRAN. This can significantly reduce call
setup time. For Enhanced CSFB, the UE informs the E-UTRAN network of its support for the feature
during, for example, the UE Capability Enquiry procedure.

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

MO Enhanced CSFB to 1xRTT Call Flow (I)


1. The UE is E-UTRAN attached and is also registered with the 1xRTT CS network. The UE has informed the
network of its support of enhanced CS fallback to 1xRTT.
2. When the subscriber wants to make a voice call, the UE initiates the CSFB procedure to originate the CS
call.
3. The UE sends an Extended Service Request message to the MME. The UE first establishes an RRC
Connection, if in Idle mode. The Extended Service Request message indicates that CS fallback is required.
4a. For a UE in Active mode, the MME sends UE Context Modification Request message (CS Fallback Indicator)
to the E-UTRAN. The CS Fallback Indicator indicates to the E UTRAN to move the UE to 1xRTT.
4b. The E-UTRAN responds with a UE Context Modification Response message.
For a UE in Idle mode, the MME sends an Initial UE Context Request message (CS Fallback Indicator) to the
E-UTRAN. The CS Fallback Indicator indicates to the E-UTRAN to move the UE to 1xRTT. E-UTRAN
responds with an Initial UE Context Response message.
5. The E-UTRAN may optionally solicit a 1xRTT measurement report from the UE to determine the quality of
the target 1xRTT cell to which the CS Fallback will be performed.
6. The E-UTRAN sends a HandoverFromE-UTRAPreparationRequest message to the UE to start the enhanced
1xCS fallback procedure. It includes the 1x Overhead Parameters and RAND value.
7. The UE initiates signalling to establish the CS access leg by sending a UL HandoverPreparationTransfer
message, which contains the 1xRTT Origination message with the called party number.

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MO Enhanced CSFB to 1xRTT Call Flow (II)


8. a/b/c. Messages between MME and 1X IWS are tunnelled using the S102 interface. The
1xRTT MSC initiates the call with the called party number carried in the 1xRTT Origination
message.
9. The E UTRAN sends a MobilityfromEUTRA command to the UE with an indication that this is for
enhanced 1x CS Fallback operation. 1xRTT related information is also included that contains
1xRTT messages related to the 1X channel assignment. This causes the UE to detach from E-
UTRAN and tune to and acquire the specified 1X channel. This is perceived by the UE as a
Handover Command message to 1xRTT. If the 1xRTT CS network cannot support this CSFB
request (for example due to resource availability), the DL information transfer message is sent
instead, with an embedded 1X message that indicates a failure to the UE.
10. a/b/c. The E-UTRAN sends a UE Context Release Request message (Cause=CSFB Triggered) to
the MME. The S1 bearers are released and the MME starts the preservation and suspension of
non-GBR bearers and the deactivation of GBR bearers toward the S-GW and P-GW(s). The
MME sets the UE context status to suspended.
11. Once tuned to 1xRTT, the UE performs 1X channel acquisition and begins voice call processing
procedures.

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Section 11: Enhanced Circuit Switched Fallback: CDMA2000 1xRTT

MT Enhanced CSFB to 1xRTT Call Flow (I)

1. The UE is E-UTRAN attached and is also registered with the 1xRTT CS network. The UE has informed the
network of its support of enhanced CS fallback to 1xRTT.
2. 1xMSC sends a paging request to the 1xCS IWS with Caller Line Identification, if available.

3. 1xCS IWS node forwards the 1xRTT CS paging request with Caller Line Identification (if available) via the
S102 tunnel to the MME.

4. If the UE is in Idle state, the MME performs the network initiated Service Request procedure to bring the
UE to Active state prior to tunnelling the 1xRTT CS paging request to the UE.
5. The MME forwards the 1xRTT CS paging request to the UE.

6. If the UE accepts the page for the CS Fallback to 1xRTT, the UE sends an Extended Service Request (CS
Fallback Indicator) to the MME.
7a. For a UE in Active mode, the MME sends a UE Context Modification Request message (CS Fallback
Indicator) to the E-UTRAN. The CS Fallback Indicator indicates to the E-UTRAN to move the UE to 1xRTT.
7b. The E-UTRAN responds with a UE Context Modification Response message.
For a UE in Idle mode, the MME sends an Initial UE Context Request message (CS Fallback Indicator) to
the E-UTRAN. The CS Fallback Indicator indicates to the E-UTRAN to move the UE to 1xRTT. The E-
UTRAN responds with na Initial UE Context Response message.
8. The E-UTRAN may optionally solicit a 1xRTT measurement report from the UE to determine the quality
of the target 1xRTT cell to which the CS Fallback will be performed.

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MT Enhanced CSFB to 1xRTT Call Flow (II)


9. The E-UTRAN sends a HandoverFromE-UTRAPreparationRequest message to the UE to start the
enhanced 1xCS fallback procedure. It includes the 1x Overhead Parameters and RAND value.
10. The UE initiates signalling to establish the CS access leg by sending a UL HandoverPreparation
Transfer message, which contains the 1xRTT Page Response message.
11-13. Messages between the MME and 1X IWS are tunnelled using the S102 interface.
14. The E-UTRAN sends a MobilityfromE-UTRA command to the UE with an indication that this is
for Enhanced CSFB. Additionally, 1xRTT related information is included that causes the UE to
tune to and acquire the 1X channel. This is perceived by the UE as a Handover Command
message to 1xRTT.
15a/b/c. The E-UTRAN sends a UE Context Release Request message (Cause=CSFB Triggered)
to the MME.. The S1 bearers are released and the MME starts the preservation and suspension
of non-GBR bearers and the deactivation of GBR bearers toward the S-GW and P-GW(s). The
MME sets the UE context status to suspended.
16. Once tuned to 1xRTT, the UE performs 1X channel acquisition and begins voice call processing
procedures.

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Notes

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Comments/Notes

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