2 - SCTP

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eRAN2.2
SCTP
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01
Date
2011-09-30
HUAWEI TECHNOLOGIES CO., LTD.
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About This Document
About This Document

Change History
The change history records the changes in each release, and the change history in the latest
document contains all changes in the documents in earlier versions.
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First official release.
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Contents
Contents
About This Document......................................................................iii
1 Overview...................................................................................... 1
2 Terms........................................................................................... 2
3 SCTP Functions.............................................................................5
3.1 Association Setup and Shutdown.......................................................................................................................5
3.2 Sequenced Delivery Within Streams.................................................................................................................6
3.3 User Data Fragmentation...................................................................................................................................6
3.4 Acknowledgement and Congestion Avoidance..................................................................................................6
3.5 Chunk Bundling.................................................................................................................................................7
3.6 Packet Validation...............................................................................................................................................7
3.7 Path Management..............................................................................................................................................7
4 SCTP Primitive.............................................................................. 8
4.1 Request Primitive Sent from an SCTP User to the SCTP Protocol...................................................................8
4.2 Notification Primitive Sent from an SCTP Protocol to an SCTP User............................................................11
5 SCTP Messages...........................................................................14
5.1 Structure...........................................................................................................................................................14
5.2 SCTP Data Chunk Format...............................................................................................................................18
5.3 SCTP Endpoint Maintenance Parameters and Recommended Values.............................................................34
6 SCTP Basic Signaling Procedure...................................................37

6.1 Association Setup.............................................................................................................................................37
6.2 Association Termination..................................................................................................................................40
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6 SCTP Basic Signaling Procedure
Overview
The Stream Control Transmission Protocol (SCTP) is a new Internet Protocol (IP) transport
protocol, existing at an equivalent level with the User Datagram Protocol (UDP) and
Transmission Control Protocol (TCP), which provide transport layer functions to Signaling
System No. 7. As a connectionless transmission protocol, the UDP cannot meet the
requirements for transmission quality of Signaling System No. 7. As a transmission protocol
with connections, the TCP provides reliable transmission with a congested header, poor realtime performance, and poor multihoming. In addition, denial of service (DoS) may attack the
data during transmission. Therefore, the Internet Engineering Task Force (IETF) approves the
reliable connection-oriented packet data transmission protocol SCTP in RFC2960. Unlike the
TCP, the SCTP provides reliable signaling transmission. The design of the SCTP includes
congestion avoidance behavior, resistance to flooding and spoofing attacks, and integration of
the real-time performance and multihoming function. Therefore, the SCTP becomes one
member of the SIGTRAN series protocols.
The SCTP is regarded as a protocol applicable to the transport layer between the SCTP user
application and packet network services. During actual application, the LTE control plane
functions as SCTP upper-layer users, such as S1 Application Protocol (S1AP) and X2
Application Protocol (X2AP), and Internet Protocol (IP) networks function as the lower layer.
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Terms
Transport Address
A transport address is defined by an IP address, transport layer protocol, and transport layer
port No. In the case of SCTP transportation over IP, a transport address is defined by an IP
address and an SCTP port No. The SCTP uses the SCTP port No. to identify users with the
same IP address. It has the same meaning as the TCP port No. For example, the IP address
10.105.28.92 and the SCTP port No. 1024 define a transport address, the IP address
10.105.28.93 and the SCTP port No. 1024 define a transport address, and the IP address
10.105.28.92 and the SCTP port No. 1023 define another transport address.
Host and SCTP Endpoint
Host
A host is configured with one or more IP addresses, and is a typical physical entity.
SCTP endpoint
An endpoint is the basic SCTP logical concept. It transmits and receives data packets and is a
typical logical entity.
Each transport address defined by an IP address and an SCTP port No. identifies only one
endpoint. An endpoint can be defined by multiple transport addresses. One target endpoint can
be configured with different IP addresses, but with the same SCTP port No.
A host can have multiple endpoints.
Association and Stream
Association
Association is a logical connection or tunnel for data transmission. It is established between

two SCTP endpoints following the four-way handshake mechanism defined in the SCTP
protocol.
The SCTP protocol defines that two endpoints can have only one association at any time.
Association is defined by the transport addresses of two endpoints. After configuring the local
IP address, local SCTP port No., peer IP address, and peer SCTP port No., a unique SCTP
association is determined.
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Stream
Stream is a special term in the SCTP protocol. The term stream is used in an SCTP association
to specify a sequence of user messages to be delivered to the upper-layer protocol. Generally,
messages in the same stream are delivered in a sequence. A stream refers to a unidirectional
logical tunnel from one endpoint to another endpoint in an SCTP association. Each
association consists of multiple unidirectional streams. The streams, identified by different
IDs, are independent from each other. Each steam can transmit data without interference from
other streams.
Each association can have multiple streams, and the number of available streams depends on the
negotiation result of the two endpoints during association setup. In addition, one stream belongs to
only one association. The number of outbound streams can be different from that of inbound
streams.
Data delivered in sequence must be transmitted in the same stream.
Path and Primary Path
Path
A path refers to a route on which an endpoint transmits SCTP packets to the specific transport
address of the peer endpoint. If the packet data is to be transmitted to different destination
transport addresses, an independent path is not required.
Primary path
A primary path refers to a path on which the source and target addresses in an SCTP packet
are transmitted to the peer endpoint by default. If multiple target addresses function as the
target address of an endpoint, the endpoint supports multihoming. If the endpoint transmitting
SCPT packets supports multihoming, the source and target addresses must be defined so that
the following two items can be controlled: the path for responding to the returned chunk and
the interface to transmit packets.
The two SCTP endpoints of an SCTP association can be configured with multiple IP
addresses. Therefore, there are multiple paths between the two endpoints. In this case, the
SCTP association supports multiple addresses. This feature is the unique difference of the
SCTP from the TCP.
The principle for an endpoint to transmit SCTP packets is as follows: The local endpoint
transmits the SCTP packets from the transport address A to the peer endpoint through the
primary path. If the primary path is faulty, the SCTP packet is automatically switched to a
standby path. The transport address of the peer endpoint takes precedence over the transport
address of the local endpoint.
The SCTP protocol also defines heartbeat messages. If a path is in idle mode, the local SCTP
user instructs the SCTP protocol to generate a heart beat message and sends the message to
the peer endpoint through this idle path. Then, the peer endpoint must respond with a heat
beat acknowledgement message immediately. This mechanism is used to precisely measure
the round trip time (RTT). In this case, association status can be monitored in real time and
the active state of an SCTP association can be sustained.
TSN and SSN
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The SCTP protocol uses the TSN mechanism to acknowledge data transmission. In an
association, each chunk sent from one endpoint to the peer endpoint is assigned a 32-bit
sequence number derived from the initial TSN in sequence.
The TSN is maintained in an association.
In the TCP protocol, the acknowledgement of data transmission and data delivery in sequence is
implemented based on the TSN. If the TSN is not consecutive, data is retransmitted based on the TCP
protocol until the TSN is consecutive. Then, data is transmitted to upper-layer users. However, this
mechanism defined in the TCP protocol cannot meet the requirements for low-rate transmission delay
specified in the Signaling System No. 7.
Stream sequence number (SSN)
The SCTP protocol assigns a 16-bit SSN for each chunk transmitted from the local endpoint
in a stream in sequence. This ensures sequence transmission in the stream.
During association setup, the SSNs for all streams start from 0. If the SSN reaches 65535, the
next SSN starts from 0.
The TSN and SSN are independent from each other.
Congestion Window (CWND)

The SCTP protocol supports a sliding window. A congestion window is maintained in each
target address, and can adjust its size based on the network status. If the length of an
unacknowledged message sent from the target address exceeds the size of the CWND, the
endpoint stops transmitting data to the address.
Receive Window (RWND)

The RWND specifies the size of a receive buffer for a peer endpoint in an association. During
association setup, the two endpoints exchange their RWNDs. The RWND adjusts itself based
on the status of data transmission and acknowledgement. The RWND size specifies the
maximum size of data that can be transmitted based on the SCTP protocol. If the RWND size
is 0, one more packet can be transmitted based on the SCTP protocol to obtain the buffer
changes of the peer endpoint. It keeps on transmitting packets until it is restricted by the
CWND value.
Transmission Control Block (TCB)

A TCB is an internal data structure. It is generated by an SCTP endpoint for each association
between the SCTP endpoint and other endpoints. The TCB contains all the status and
operation information about an endpoint. This helps the endpoints maintain and manage the
corresponding association.
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SCTP Functions
SCTP functions include association setup and shutdown, sequenced delivery within streams,
user data fragmentation, acknowledgement and congestion avoidance, chunk bundling, packet
validation, and path management.
Figure 1.1 SCTP functions
3.1 Association Setup and Shutdown

An association is initiated by a request from the SCTP users, such as S1AP and X2AP.
Association startup is complex compared with a TCP connection. It is a four-way handshake
and uses the cookie mechanism. A cookie is a chunk containing initial information and
encryption information about an endpoint. It is processed and exchanged between two
endpoints during association setup. This ensures protocol security and avoids spoofing attacks
and DoS.
The SCTP protocol provides a shutdown function in a normal situation for active associations.
The function must be performed based on SCTP user requests. In addition, the SCTP protocol
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provides a shutdown function in an emergency such as interruption. This function can be

started based either on SCTP user requests or errors detected by the SCTP protocol.
The SCTP protocol does not support half-enabled status, that is, one endpoint continues
transmitting data after the peer endpoint stops transmitting data. If either of two endpoints
performs this function, the two endpoints of an association must stop receiving request
primitives from SCTP users.
3.2 Sequenced Delivery Within Streams

Packets can be delivered in a sequence based on the SCTP protocol, and must be transmitted
in the same stream. A stream is the basic for sequenced delivery.
In a stream, the SCTP protocol defines two mechanisms for data transmission
acknowledgement and sequenced delivery. It uses the TSN mechanism for data transmission
acknowledgement, and uses the stream No. and SSN mechanism for sequenced delivery. If
SCTP receives data with sequenced SSNs, it delivers the data to SCTP users, and does not
need to deliver the data after the TSN is consecutive.
If a stream is blocked, the next consecutive SCTP user message can be delivered on another
stream.
The SCTP also provides data delivery without sequence. A received user message can be
delivered in this mode to SCTP users without considering the sequence.
3.3 User Data Fragmentation

The SCTP protocol detects the path maximum transmission unit (PMTU) on each path to pack
user data with a large size. This avoids multiple fragmentations and regrouping on the IP
layer, and reduces data on the IP layer.
On the transmit end, the SCTP protocol fragments user data with a large size to allow the
data to apply to the maximum transmission unit (MTU) on the path at the lower layer.
On the receive end, the SCTP combines all fragmented data to form a complete packet,
and then delivers it to SCTP users.
3.4 Acknowledgement and Congestion

Avoidance
Acknowledgement and congestion avoidance is a policy to ensure data transmission
reliability. The acknowledgement mechanism is basic for data transmission reliability.
Congestion avoidance derives from the TCP window mechanism to control traffic.
The SCTP protocol assigns a TSN to each data fragment or user packet without
fragmentation in sequence and then transmits the data to the lower layer.
The TSN and SSN are independent from each other. The TSN is used to ensure data
transmission reliability, and the SSN is used to ensure that messages within a stream are
transmitted in sequence.
The TSN and SSN separate reliable transmission from sequenced transmission. The
receive end acknowledges all TSNs, even if there are gaps in the sequence.
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Packet retransmission is used to acknowledge the TSN and congestion avoidance.
3.5 Chunk Bundling

If user data with a short length has an SCTP message header with a large size, data
transmission efficiency decreases. Therefore, the SCTP protocol binds several user data into
an SCTP packet to efficiently use bandwidth resources.
An SCTP packet consists of a common header followed by one or more chunks. Each
chunk can contain either user data or SCTP control information.
SCTP users can request bundling of more than one user messages into a single SCTP
packet based on requirements.
To improve bundling efficiency, bundling is performed during congestion or

retransmission, even if users have stopped this function.
3.6 Packet Validation

Packet validation ensures reliably data transmission without errors. The common header of an
SCTP packet consists of a verification tag and an optional 32-bit checksum.
The value of a verification tag is determined by each end of an association during association
setup. If a received packet does not contain the expected value of the verification tag, the
receive end will discard this packet to avoid attacks and invalid SCTP packets.
The 32-bit checksum is set by the transmit end of each SCTP packet to provide additional
protection against data corruption in the network. The receive end discards an SCTP packet
with an invalid 32-bit checksum.
3.7 Path Management

SCTP users at the transmit end use a set of transport addresses as destinations for SCTP
packets. The SCTP path management function chooses a destination transport address for
each SCTP packet that has been transmitted based on the SCTP user's instructions and the
reachability status of the currently valid destination set. If other packet traffic cannot indicate
the reachability, the path management function can monitor the reachability of a destination
transport address using heartbeat messages. In addition, this function can provide information
for an SCTP user if the reachability of any transport addresses changes. The path management
function can also report the set of local transport addresses to the peer end during association
setup, and report the transport addresses returned from the peer end to SCTP users.
During association setup, the path management function defines a primary path for each
SCTP endpoint to transmit SCTP packets.
At the receive end, the path management function checks whether the association to which the
inbound SCTP packet belongs exists before the SCTP packets is processed.
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SCTP Primitive
The SCTP protocol receives the request primitive sent from SCTP users served by the upperlayer protocol, and then provides services for SCTP users. In addition, the SCTP protocol
informs SCTP users of notification primitive based on different events.
SCTP primitive uses the following formats:
Primitive name: mandatory attribute [optional attribute]
Returned result: mandatory attribute [optional attribute]
4.1 Request Primitive Sent from an SCTP User

to the SCTP Protocol
Table 1.1 shows the 16 types of request primitives sent from an SCTP user to the SCTP
protocol.
Table 1.1 SCTP request primitives
Name
Function
INITIALIZE
This primitive allows the SCTP protocol to initiate its internal data
structure and allocate necessary resources for setting up its operation
environment. After the SCTP protocol is initiated, the upper-layer
protocol can communicate with other endpoints without using this
primitive.
The SCTP protocol returns a local SCTP association instance name to the
upper-layer protocol.
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Name
Function
ASSOCIATE
This primitive allows the upper layer to initiate an association to a

specific peer endpoint. The peer endpoint is specified by one of the
transport addresses that define the endpoint. If the association instance is
not started, this primitive is regarded as an error.
An association ID, which is used to locally process an SCTP association,
is returned to indicate whether an association is successfully set up. If
association setup fails, an error code is returned. If association setup
succeeds, the returned result contains the complete peer destination
transport addresses and the number of outbound streams at the local
endpoint. One of the transport addresses is chosen as the default primary
path for sending SCTP packets to the peer endpoint. SCTP uses can use
the returned destination transport address list to change the primary path
or to forcibly send an SCTP packet to a specific transport address.
Returned result: association ID
SHUTDOWN
This primitive is used to gracefully close an association. Any locally

queued user data is delivered to the peer endpoint. The association is
terminated only after the peer endpoint acknowledges all received SCTP
packets.
The returned result indicates whether an association is successfully
closed. A success code is returned if an association is successfully
closed. Otherwise, an error code is returned.
ABORT
This primitive is used to ungracefully close an association. Any locally

queued user data is discarded and an ABORT chunk is sent to the peer
endpoint.
The returned result indicates whether an association is successfully
aborted. A success code is returned if an association is successfully
aborted. Otherwise, an error code is returned.
SEND
This primitive allows SCTP users to instruct the SCTP protocol to

transmit data to a destination transport address in the specific stream.
The returned result indicates whether data is successfully transmitted.
SET
PRIMARY
This primitive allows the upper-layer protocol to instruct the local SCTP
protocol to use the specific destination transport address as the primary
path for transmitting a packet.
The returned result indicates whether the operation succeeds. If the
specified destination transport address is not in the destination transport
address list returned earlier in an ASSOCIATE request primitive or
COMMUNCIATION UP notification primitive, an error code is
returned.
RECEIVE
This primitive reads the available user message in the SCTP queue into
the buffer specified by SCTP users.
The size of messages that have been read is returned in bytes. Other
information may be returned based on specific requirements, for
example, transmit end's address, the stream ID on which the message is
received, and whether there are more available messages for recovery.
For sequenced messages, the SSN may also be returned.
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Name
Function
STATUS
This primitive returns a data block containing the following information:
Association connection state
Destination transport list
Destination transport address reachability states
Current receive end window size
Current congestion window size
Number of unacknowledged DATA chunks
Number of received DATA chunks
Primary path
Recently received SRTT on the primary path
RTO on the primary path
The returned results indicate the status of a specific message.

CHANGE
HEARTBEAT
This primitive allows the upper-layer protocol to instruct the local

endpoint to enable or disable heartbeat messages to the specified
destination transport address.
The returned result indicates the operating status. Heartbeat takes place
only when the destination transport address is idle.
REQUEST
HERATBEAT
This primitive instructs the upper-layer protocol to instruct the local

endpoint to perform a heartbeat on the specified destination transport
address with the specific association.
The returned result indicates whether the HEART BEART chunk is
successfully transmitted to the destination transport address.
GET SRTT
REPORT
protocol to report the current SRTT measurement on the specified
destination transport address with the specific association.
The returned result is an integer containing the latest SRTT in
milliseconds.
SET
FRAILURE
THRESHOLD
This primitive allows the local SCTP protocol to customize the threshold
for detecting a reachability failure for the specified destination transport
address.
The returned result indicates whether the operation succeeds.
SET
PROTOCOL
PARAMETER
S
This primitive allows the local SCTP protocol to customize the protocol
parameters.
RECEIVE
UNSENT
MESSAGE
protocol to save the received failure messages in the buffer defined by
the upper-layer protocol.
The returned result shows the failure messages in bytes.
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Name
Function
RECEIVE
UNACKNOW
LEDGED
MESSAGE
protocol to save the received unacknowledged failure messages in the
buffer defined by the upper-layer protocol.
DESTROY
This primitive indicates the destroyed SCTP events. The SCTP event No.
is generated by the INITIALIZE primitive.
The returned result shows the unacknowledged failure messages in bytes.
4.2 Notification Primitive Sent from an SCTP

Protocol to an SCTP User
Table 1.1 shows the 8 types of notification primitives sent from an SCTP protocol to an SCTP
user.
Table 1.1 SCTP notification primitives
Name
Function
DATA ARRIVE
This primitive allows the SCTP protocol to notify an upper-layer user

when a user message is successfully received and is to be transmitted to
an SCTP user.
The following information is to be transmitted:
SEND
FAILURE
Association ID: specifies an SCTP association processed locally.
Stream ID: specifies the stream from which data is received.
This primitive allows the SCTP protocol to notify an SCTP user if a

message cannot be transmitted.
NETWORK
STATUS
CHANGE
Data recovery ID: indicates the untransmitted and unacknowledged

data to be recovered.
Cause code: indicates the reason of a failure, for example, large size,
message lifetime expiration.
If a destination transport address is marked inactive, for example, when

the SCTP protocol detects a failure, or marked active, for example, when
the SCTP protocol detects a fault rectification, the SCTP uses this
primitive to notify an SCTP user.
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Destination transport address: indicates the destination transport

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Name
Function
COMMUNCIA
TION UP
The primitive allows the SCTP protocol to notify an SCTP user that the
local SCTP protocol is ready for receiving and transmitting SCTP
packets or an endpoint losing communication is restored.
COMMUNICA
TION LOST
Status: indicates the type of events that occur.
Destination transport address list: indicates the complete set of

transport addresses for the peer endpoint.
Number of outbound streams: indicates the maximum number of

streams that allowed to be used by an SCTP user.
Number of inbound streams: indicates the number of streams that

requested by the peer endpoint in the association. The value may be
different from the number of outbound streams.
If the SCTP protocol cannot communicate with an endpoint using

heartbeat messages or detects that the endpoint has performed an abort, it
uses this primitive to notify an SCTP user.
COMMUNICA
TION ERROR
Status: indicates the type of events that occur. The status indicates a
failure or a normal termination event occurred in response to a
SHUTDOWN or ABORT request.
Data recovery ID: indicates the untransmitted and unacknowledged

data to be recovered.
Last-acknowledged TSN: indicates the last TSN that is acknowledged

by the peer endpoint.
Last-transmitted TSN: indicates the last TSN received by the peer

endpoint.
If the SCTP protocol receives an ERROR chunk from the peer endpoint,
the SCTP protocol uses this primitive to notify the upper-layer protocol.
RESTART
Error information: indicates the error types and additional information

optionally received from the ERROR chunk.
This primitive allows the SCTP protocol to notify an SCTP user when
the protocol detects that the peer endpoint is restarted.
Association IDs are transmitted.
SHUTDOWN
COMPLETE
This primitive allows the SCTP protocol to notify an SCTP user after the
protocol closes an association.
IDs of SCTP associations processed locally are transmitted.
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SCTP Messages
5.1 Structure
Figure 1.1 shows the structure of an SCTP packet.
Figure 1.1 Structure of an SCTP packet
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Each SCTP packet consists of a common header and several chunks, and each chunk contains
control information or user data. All chunks except INIT, INIT ACK, and SHUTDOWN
COMPLETE can be bound into an SCTP packet to meet the requirements for the MTU size.
Each of the chunks may be independent from other chunks in an SCTP packet. If a user
message cannot be transmitted in an SCTP packet, the message can be divided into several
chunks.
Format of a Common Header

An SCTP common header consists of the source port No., destination port No., verification
tag, and checksum.
Source port No. (16 bits)
It specifies the SCTP port No. for an SCTP transmit endpoint. The receive end can use the
source port No., source IP address, destination port No., and destination IP address to specify
the association to which an SCTP packet belongs.
Destination port No. (16 bits)
It specifies the SCTP port No. of the destination endpoint. The receive end can use this
destination port No. to demultiplex an SCTP packet to the correct receive endpoint or
application.
Verification tag (32 bits)
It is a random mark generated by the local endpoint for the association during association
setup. During association setup, the two endpoints exchange the tag. Then, the transmit end
must contain the tag of the peer endpoint in the common header for verification before data
transmission.
Verification code (32 bits)
The SCTP protocol obtains a 32-bit verification code after using the ADLER-32 algorithm for
user data. In the data packet, the receive end performs the same calculation and uses the
verification code to check whether the user data is damaged.
Chunk Format
Each chunk is formatted with the following fields: Chunk Type, Chunk Flag, Chunk Length,
and Chunk Value.
Chunk type (8 bits)
The chunk type specifies the type of information contained in the Chunk Value field. Table
1.1 lists the major chunk types.
Table 1.1 SCTP chunk types
ID
Chunk Type
Description
DATA (payload
data)
Specifies a user chunk to be transmitted.
INIT
Initiates an SCTP association between two endpoints.
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ID
Chunk Type
Description
INIT ACK
Acknowledges the initiated messages related to an SCTP

association.
SACK
Transmitted to the peer endpoint to acknowledge a

received DATA chunk and notify the peer endpoint of the
sequence interval for the received DATA chunk.
HEARTBEAT
Transmitted by an endpoint to the peer endpoint to check

the reachability of a specific destination transport address
defined in the current association.
HEARTBEAT
ACK
Responds to a HEARTBEAT chunk.
ABORT
Aborts an association.
SHUTDOWN
Used by an endpoint in an association to gracefully close

the association.
SHUTDOWN
ACK
Responds to a SHUTDOWN chunk and transmitted after

an association is closed.
ERROR
Transmitted to the peer endpoint to notify it of an SCTP

association error.
10
COOKIE ECHO
Used only during association setup and transmitted by

the initiating end of an association to the peer endpoint.
11
COOKIE ACK
Acknowledges a COOKIE ECHO chunk.
12
ECNE
Reserved for providing an echo after congestion occurs

in the external environment.
13
CWR
Reserved for reducing the congestion window.
14
SHUTDOWN
COMPLETE
Acknowledges a SHUTDOWN ACK chunk after a

closure program.
15 to 62
Reserved by IETF.
63
Used for IETF-defined chunk extension.
64 to 126
Reserved by IETF.
127
128 to
190
Reserved by IETF.
191
192 to
254
Reserved by IETF.
255
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If the receive endpoint cannot identify a chunk type, the two left-most bits of this field
indicate various operations. Table 1.2 shows the meanings for different combination of bits.
Table 1.2 Meanings for the two left-most bits
Two Left-most
Bits
Meaning
00
Stop processing an SCTP packet and discard it, and do not process
other chunks in the SCTP packet.
01
Stop processing an SCTP packet and discard it, do not process

other chunks in the SCTP packet, and report the unrecognized
parameters in the ERROR or INIT ACK chunk to the initiating
endpoint.
10
Skip this chunk and continue processing.
11
Skip this chunk and continue processing and report the

unrecognized parameters in the ERROR or INIT ACK chunk to
the initiating endpoint.
Chunk Flags (8 bits)
The usage of the bits depends on the chunk type. Unless otherwise specified, the bits are set to
0 on the transmit endpoint and are ignored by the receive endpoint.
Chunk Length (16 bits)
The chunk length specifies the size of a chunk in the binary system, including the following
fields: Chunk Type, Chunk Flags, Chunk Length, and Chunk Value.
Chunk Value (variable length)
The Chunk Value field contains actual information to be transmitted in a chunk. The content
depends on the chunk type. The value is variable.
The total length of a chunk, including type, length, and value, must be a multiple of 4 bytes. If the length
of the chunk is not a multiple of 4 bytes, the transmit end must add 0s to the chunk and the padding is
not included in the chunk length. The receive end can add a maximum of 3 bytes, and all the added bytes
are ignored at the receive end.
Optional or Variable-Length Parameter Format

Chunk values of an SCTP control chunk except the DATA chunk consist of a chunk-typespecific header with required fields, followed by one or more parameters. The optional and
variable-length parameters contained in a chunk are defined based on the parameter type,
parameter length, and parameter value, as shown in Figure 1.1.
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Figure 1.1 Optional or variable-length parameter format

16 bits
16 bits
Parameter Type
Parameter Length
Parameter Value
Chunk Parameter Type (16 bits)
It specifies the parameter type, and the value ranges from 0 to 65534. The value 65535 is
reserved for IETF-defined extension.
If the receive endpoint cannot identify a parameter type, the two left-most bits of this field
indicate various operations. Table 1.1 shows the meanings for different combination of bits.
Table 1.1 Meanings for the two left-most bits
Two Leftmost Bits
Meaning
00
Stop processing an SCTP packet and discard it, and do not process
other chunks in the SCTP packet.
01
Stop processing an SCTP packet and discard it, do not process other
chunks in the SCTP packet, and report the unrecognized parameters in
an Unrecognized Parameter Type field in the ERROR or INIT ACK
chunk.
10
Skip this chunk and continue processing.
11
Skip this chunk and continue processing and report the unrecognized
parameters in an Unrecognized Parameter Type field in the ERROR or
INIT ACK field.
Chunk Parameter Length (16 bits)
It contains the size of the parameter in bytes, including the following fields: Parameter Type,
Parameter Length, and Parameter Value. If the Parameter Value field of a parameter is 0, its
Length field is 4. The parameter length does not include any padding bytes.
Chunk parameter value (variable length)
The Parameter Value field contains actual information to be transmitted in the parameter.
The total length of a parameter, including type, length, and value, must be a multiple of 4 bytes. If the
length of the parameter is not a multiple of 4 bytes, the transmit end must add 0s to the chunk and the
padding is not included in the parameter length. The receive end can add a maximum of 3 bytes, and all
the added bytes are ignored at the receive end.
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5.2 SCTP Data Chunk Format

DATA Chunk Format
Figure 1.1 shows the DATA chunk format.
Figure 1.1 DATA chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type = 0
Reserve
U B E
Length
TSN
Stream ID
SSN
Payload Protocol Identifier
User Data
The Type field is set to 0.
The reserved 5 bits are all set to 0s and ignored at the receive end.
U bit (1 bit)
U bit is an unordered bit. If the U bit is set to 1, this chunk is an unordered DATA chunk and
no SSN is assigned to this DATA chunk. Therefore, the receive end must ignore the SSN.
After re-assembly (if necessary), unordered DATA chunks do not need to be reordered before
being dispatched to the SCTP users by the receive end.
If an unordered user message is fragmented, the U bit in each message fragment must be set
to 1.
B bit
B bit is a beginning fragment bit. If it is set in a fragment, the fragment is the first
fragment of a user message.
E bit
E bit is an ending fragment bit. If it is set in a fragment, the fragment is the last fragment
of a user message.
The B and E bits in an unfragmented user message must be set to 1.
If both the B and E bits are set to 0 in a fragment, the fragment is a middle fragment of a
multi-fragment user message. If a user message is fragmented into multiple chunks, the
receive end must use TSNs to reassemble the message. The TSNs for the fragments of a
fragmented user message must be sequential. Table 1.1 describes the meanings for the
values of B and E bits.
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Table 1.1 Meanings for the values of B and E bits

BE
Meaning
10
Indicates the first fragment of a user message.
00
Indicates the middle fragment of a user message.
11
Indicates the last fragment of a user message.
11
Indicates an unfragmented message.
Length (16 bits)

The Length field indicates the number of bytes between the beginning of the Type field
and the end of the User Data field, excluding any padding. If the User Data field of a
DATA chunk is 0, the Length field of the DATA chunk is set to 16.
TSN (32 bits)

The TSN field specifies the TSN of a DATA chunk and the valid value ranges from 0 to
4294967295 (232 1). The TSN value starts from 0 after reaching 4294967295.
Stream ID
The Stream ID field identifies the stream carrying user data. The value of this field is
generated by the transmit end transmitting INIT and INIT ACK chunks.
SSN (16 bits)

The SSN field specifies the transmission sequence number of user data in a stream. The
valid value range of this field is 0 and 65535. If a user message is fragmented based on
the SCTP, each fragment of the user message must have the same SSN.
Payload Protocol Identifier (32 bits)

The Payload Protocol Identifier field specifies an application (or upper layer) identifier.
The value of this field is transmitted to SCTP by its upper layer and then sent to its peer
layer. The payload protocol identifier is not used by SCTP, but can be used by a network
entity or the peer application to identify the type of the information in a DATA chunk.
This field must be sent even in fragmented DATA chunks to ensure that agents in the
network can use it.
If this field is set to 0, the upper layer does not specify any application identifiers for the
payload data.
User Data (variable length)

The User Data field specifies payload user data. This field must be set to a value of a 4
byte boundary with all-zero bytes. A transmit end can add a maximum of 3 bytes of
padding. A receive end ignores the padding.
INIT Chunk Format

The INIT chunk is used to initiate an association between two SCTP endpoints. Figure 1.1
shows the INIT chunk format:
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Figure 1.1 INIT chunk format

0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type = 1
Length
Chunk Flags
Initiate Tag
Advertised Receiver Window Credit
Number of Outbound Streams
Number of Inbound Streams
Initial TSN
Optional/Variable-Length Parameters
An INIT chunk contains the following fields. Unless otherwise expressly noted, each of the
following fields can be included once in an INIT chunk.
Mandatory fields: Initiate Tag, Advertised Receiver Window Credit, Number of Outbound
Streams, Number of Inbound Streams, and Initial TSN.
Variable fields: IPV4 Address, IPV6 Address, Cookie Preservative, Reserved for ECN
Capable, Host Name Address, and Supported Address Types.
Chunk Flags
The Chunk Flags field in an INIT chunk is reserved and all bits in the field are set to 0.
Fields in an INIT chunk can be processed in any order.
Initiate Tag (32 bits)

The receive end of the INIT chunk records the value of the Initiate Tag field. The
parameter value must be put in the Verification Tag field in each SCTP packet
transmitted by the receive end of the INIT chunk within this association.
The Initiate Tag field can be set to any value except 0. If the value of the Initiate Tag
field in a received INIT chunk is 0, the receive end must treat it as an error and transmit
an ABORT chunk to abort the association.
Advertised Receiver Window Credit (A_RWND:32 bits)

The Advertised Receiver Window Credit field specifies the dedicated buffer size in
bytes. The transmit end of the INIT chunk reserves a window for the association. During
the lifetime of the association, the buffer size does not decrease and dedicated buffers
cannot be taken away from this association. However, an endpoint can change the value
of the A_Rwnd field in SACK chunks sent by it.
Number of Outbound Streams (OS)

The OS field specifies the number of outbound streams the transmit end of an INIT
chunk expects to create in this association. This field cannot be set to 0. If a receive end
receives an INIT chunk with the OS field set to 0, the receive end aborts the association.
Number of Outbound Streams (MIS)

The MIS field specifies the maximum number of streams the transmit end of the INIT
chunk allows the peer endpoint to create in this association. This field cannot be set to 0.
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If a receive end receives an INIT chunk with the MIS field set to 0, the receive end
aborts the association.
Initial TSN
The Initial TSN field specifies the TSN to be used by the transmit end. This field can be
set to the value of the INIT Tag field.
IPv4 Address
The IPv4 Address field specifies an IPv4 address in binary coding for the transmit end.
An INIT chunk may contain multiple IPv4 addresses, IPv6 addresses, or combination of
IPv4 and IPv6 addresses.
IPv6 Address
The IPv6 Address field specifies an IPv6 address in binary coding for the transmit end.
An INIT chunk may contain multiple IPv4 addresses, IPv6 addresses, or combination of
IPv4 and IPv6 addresses. A transmit end can use the IPv4 address specified by the IPv4
Address field, instead of mapping an IPv4 address to an IPv6 address.
The value of the IPv4 Address or IPv6 Address field, combined with the source port
number in the SCTP common header, indicates a transport address supported by the
transmit end of the INIT chunk. During the lifetime of the association, the IP address can
appear in the source address field of an IP packet sent from the transmit end of the INIT
chunk, or be used as a destination address of an IP packet sent from the receive end of
the INIT chunk. If the transmit end of an INIT chunk supports multihoming, the INIT
chunk can contain more than one IP address parameter. A transmit end supporting
multihoming can access different types of networks, and therefore more than one address
type may appear in an INIT chunk, that is, an IPv4 address and an IPv6 address can
appear in the same INIT chunk.
If an INIT chunk contains at least one IP address parameter, the following addresses can
be used as destination addresses by the receive end of the INIT chunk:
Source address of the IP packet in the INIT chunk
Any additional addresses provided in the INIT chunk
If the INIT chunk does not contain any IP address parameters, the receive end of the
INIT chunk must use the source address in the received IP packet as its destination
address for the association.
Cookie Preservative
The transmit end of the INIT chunk must use this field to suggest to the receive end of
the INIT chunk for a longer life-span of the Cookie state. The transmit end adds the
Cookie Preservative field to the INIT chunk when it re-attempts to establish an
association with a peer to which its previous attempt of establishing the association fails.
The receive end can ignore the suggested cookie lift-span increase to ensure its security.
The Cookie Preservative field contains the Suggested Cookie Life-span Increment field
that has a 32-bit value. The Suggested Cookie Life-span Increment field indicates the
increment in milliseconds the transmit end expects the receive end to add to the default
cookie life-span.
Host Name Address

The transmit end of the INIT chunk uses this field to pass its Host Name instead of its IP
addresses to the peer layer. The peer layer resolves the name. This field increases the
possibility for the association working across a NAT box.
Host Name
The length of the host name is variable. The Host Name field specifies a host name based
on the host name syntax in RFC1123. This document does not describe the method for
resolving the host name.
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The host name string contains at least one null terminator and the length of the null
terminator(s) must be included in the length of the host name.
Supported Address Types

The transmit end of the INIT chunk uses the Supported Address Types field to list all the
address types it supports.
Address Type
The Address Type field specifies an address type, such as IPv4 = 5, IPv6 = 6, and
Hostname = 11.
INIT ACK Chunk Format

The INIT ACK chunk acknowledges the initiation of an SCTP association.
As shown in Figure 1.1, the format of an INIT ACK chunk is similar to that of an INIT chunk.
An INIT ACK chunk uses two extra variable fields: State Cookie and Unrecognized
Parameter
Figure 1.1 INIT ACK chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type = 2
Length
Chunk Flags
Initiate Tag
Advertised Receiver Window Credit
Number of Outbound Streams
Number of Inbound Streams
Initial TSN
Optional/Variable-Length Parameters
Initiate Tag (32 bits)

The receive end of the INIT ACK records the value of the Initiate Tag field. The value of
this field must be put into the Verification Tag field in each SCTP packet transmitted by
the receive end of the INIT ACK chunk within this association.
This field can be set to any values except 0. If the value of the Initiate Tag field in a
received INIT ACK chunk is 0, the receive end must treat it as an error and transmit an
ABORT chunk to abort the association.
Advertised Receiver Window Credit (32 bits)

The Advertised Receiver Window Credit field specifies the dedicated buffer size in
number of bytes. The transmit end of the INIT ACK chunk reserves a window for the
association. During the lifetime of the association, the buffer size does not decrease.
Number of Outbound Streams (OS: 16 bits)

The OS field specifies the number of outbound streams the transmit end of an INIT ACK
chunk expects to create in this association. This field cannot be set to 0. If a receive end
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receives an INIT ACK chunk with the OS field set to 0, the receive end aborts the
association and discards the TCB.
Number of Inbound Streams (MIS: 16 bits)

The MIS field specifies the maximum number of streams the transmit end of the INIT
ACK chunk allows the peer endpoint to create in this association. This field cannot be set
to 0. If a receive end receives an INIT ACK chunk with the OS field set to 0, the receive
end aborts the association and discards the TCB.
Initial TSN (32 bits)

The Initial TSN field specifies the TSN to be used by the transmit end. This field can be
set to the value of the INIT Tag field.
IPV4 Address and IPv6 Address

The value of the IPv4 Address or IPv6 Address field, combined with the source port
number in the SCTP common header, indicates a transport address supported by the
transmit end of the INIT ACK chunk. During the lifetime of the association, the IP
address can appear in the source address field of an IP packet sent from the transmit end
of the INIT ACK chunk, or be used as a destination address of an IP packet sent from the
receive end of the INIT ACK chunk. If the transmit end of an INIT chunk supports
multihoming, the INIT ACK chunk can contain more than one IP address parameter. A
transmit end supporting multihoming can access different types of networks, and
therefore more than one address type may appear in an INIT ACK chunk, that is, an IPv4
address and an IPv6 address can appear in the same INIT ACK chunk.
If an INIT ACK chunk contains at least one IP address parameter, the following
addresses can be used as destination addresses by the receive end of the INIT ACK
chunk:
Source address of the IP packet in the INIT ACK chunk
Any additional addresses provided in the INIT ACK chunk
If the INIT ACK chunk does not contain any IP address parameters, the receive end of
the INIT ACK chunk must use the source address in the received IP packet as its
destination address for the association.
State Cookie
The length of the State Cookie field depends on the length of a cookie. This field value
must contain all the necessary state, field information, and message authentication code
required for the transmit end of this INIT ACK chunk to set up the association.
Unrecognized Parameters: variable size

The Unrecognized Parameters field is returned to the originator of the INIT chunk
containing an unrecognized parameter with a value indicating that the field must be
reported to the transmit end. The value of this field contains unrecognized parameters
copied from the INIT chunk complete with Parameter Type, Length, and Value fields.
SACK Chunk Format

The SACK chunk is used to acknowledge received DATA chunks and to inform the peer
endpoint of gaps in the received subsequences of DATA chunks as represented by their TSNs.
A gap indicates that the received TSNs of DATA chunks are not sequential.
Figure 1.1 shows the SACK chunk format.
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Figure 1.1 SACK chunk format

0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type = 3
Length
Chunk Flags
Cumulative TSN Ack

Advertised Receiver Window Credit (a_rwnd)
Number of Gap Ack Blocks = N
Number of Duplicate TSNs = X
Gap Ack Block #1 Start
Gap Ack Block #1 End
Gap Ack Block #n Start
Gap Ack Block #n End

Duplicate TSN 1
Duplicate TSN X
Type
Chunk Flags
The Chunk Flags field is set to all 0s.
Cumulative TSN Ack

The Cumulative TSN Ack field specifies the TSN of the last DATA chunk received in
sequence before a gap. This field acknowledges that all TSNs equal to or greater than the
value of this field have been received.
Advertised Receiver Window Credit (A_RWND)

The A_RWND field specifies the updated maximum number of bytes allowed by the
buffer of the transmit end of the SACK chunk.
Number of Gap Ack Blocks

The Number of Gap Ack Blocks field specifies the number of Gap Ack Blocks in a
SACK chunk. Gap Ack Blocks acknowledge TSNs received after a TSN not in a
sequence is received. Each of the TSN acknowledged by a Gap Ack Block is greater than
the value of Cumulative TSN Ack.
Number of Duplicate TSNs

The Number of Duplicate TSNs field specifies the number of duplicate TSNs received.
Each duplicate TSN is listed following the Gap Ack Block list.
Gap Ack Block

The Gap Ack Blocks fields specify Gap Ack Blocks. These fields are repeated up to the
value of Number of Gap Ack Blocks. If a DATA chunk has a TSN greater than or equal
to the sum of the values of Cumulative TSN Ack and Gap Ack Block Start and less than
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or equal to the sum of values of Cumulative TSN Ack and Gap Ack Block End of each
Gap Ack Block, the DTAT chunk has been received correctly.
Gap Ack Block Start

The Gap Ack Block Start field specifies the start offset TSN for this Gap Ack Block. The
actual TSN is equal to the sum of the values of Cumulative TSN Ack and this field. The
actual TSN identifies the first TSN received in the Gap Ack Block.
Gap Ack Block End

The Gap Ack Block End field specifies the end offset TSN for this Gap Ack Block. The
actual TSN is equal to the sum of the values of Cumulative TSN Ack and this field. The
actual TSN identifies the last TSN received in the Gap Ack Block.
Duplicate TSN
The Duplicate TSN field specifies the number of times a TSN is received after the last
SACK chunk is sent. All duplicate TSNs received by a receive end before sending the
SACK chunk are added to the list of duplicates. The duplicate counter is reset to zero
after a SACK chunk is sent.
HeartBeat Request (HEARTBEAT) Chunk Format

The HEARTBEAT chunk is sent to check whether the destination transport address defined in
an association is available.
Figure 1.1 shows the HEARTBEAT chunk format.
Figure 1.1 HEARTBEAT chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type = 4
Chunk Flags
HEARTBEAT Length
Heartbeat Information TLV (Variable-Length)
Type (8 bits)

The Chunk Flags field is set to all 0s on the transmit end and ignored by the receive end.
HEARTBEAT Length
The HEARTBEAT Length field specifies the length of a chunk in bytes, including the
length of the chunk header and Heartbeat Information field.
HERATBEAT Information
The HEARTBEAT Information field includes Heartbeat Information, which has a
variable length and is in a half-transparent data structure. The value of the Heartbeat
Information field must be identified by the transmit end. Figure 1.2 shows the Heartbeat
Information field format.
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Figure 1.2 Heartbeat Information field format

0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Heartbeat Info Type=1
HB Info Length
Sender-specific Heartbeat Info
The Sender-specific Heartbeat Info field in a HEARTBEAT chunk includes the time when the
transmit end transmits this chunk.
HeartBeat Request Acknowledgement (HEARTBEAT ACK) Chunk

Format
A HEARTBEAT ACK chunk is sent as a response to a HEARTBEAT chunk. A HEARTBEAT
ACK chunk responding to a HEARTBEAT chunk is sent to the source IP address in the IP
packet that contains the HEARTBEAT chunk.
Figure 1.1 shows the HEARTBEAT ACK chunk format.
Figure 1.1 HEARTBEAT ACK chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type = 5
Chunk Flags
Heartbeat Ack Length
Heartbeat Information TLV (Variable-Length)
Type (8 bits)

HEARTBEAT ACK Length

The HEARTBEAT Length field specifies the length of a chunk in bytes, including the
length of the chunk header and Heartbeat Information field.
HERATBEAT Information
The Heartbeat Information field has a variable length and is in a half-transparent data
structure. This field must contain the Heartbeat information in the Heartbeat Request
message.
ABORT Chunk Format

An ABORT chunk is sent to abort an association. Cause parameters in the ABORT chunk are
to inform the receive end of abort reasons. DATA chunks cannot be in the same SCTP group
with ABORT chunks. Control chunks, except for INIT, INIT ACK, and SHUTDOWN
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COMPLETE chunks, can be bundled with an ABORT chunk, but the Control chunks must be
placed before the ABORT chunk in the SCTP packet. Otherwise, the receive end ignores these
control chunks.
An ABORT chunk with a format error or for an association that does not exist is discarded. If
an endpoint receives an ABORT chunk, it cannot respond to the ABORT chunk by sending an
ABORT chunk of its own.
Figure 1.1 shows the ABORT chunk format.
Figure 1.1 ABORT chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type = 6
Reserved
Length
zero or more Error Causes
Type (8 bits)

The seven left-most bits are reserved. The Chunk Flags field is set to all 0s on the
transmit end and ignored by the receive end. If the transmit end has a damaged TCB, the
T bit is set to 0. If the transmit end does not have a TCB, the T bit must be set to 1.
Length (16 bits)
The Length field specifies the size of an ABORT chunk in bytes, including the chunk
header and all the Error Cause fields.
Zero or more Error Causes
The information in an ABORT chunk is error causes.
SHUTDOWN Chunk Format

If an endpoint in an association needs to close the association, the SHUTDOWN chunk is
used to gracefully close the association. Figure 1.1 shows the SHUTDOWN chunk format.
Figure 1.1 SHUTDOWN chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type = 7
Chunk Flags
Length=8
Cumulative TSN Ack
Type
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Length
The Length field specifies the size of a SHUTDOWN chunk. This field is set to 8.
Cumulative TSN Ack

The value of the Cumulative TSN Ack field includes the TSN of the last chunk received
in sequence before any gaps. The SHUTDOWN message does not contain Gap Ack
Blocks and therefore it cannot be used to acknowledge TSNs received out of order.
SHUTDOWN ACK Chunk Format

At an association is closed, a SHUTDOWN ACK chunk is used to acknowledge the receipt of
a SHUTDOWN chunk. Figure 1.1 shows the SHUTDOWN ACK chunk format.
Figure 1.1 SHUTDOWN ACK chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type = 8
Chunk Flags
Length=4
Chunk Flags The Chunk Flags field is set to all 0s on the transmit end and ignored by the
receive end.
A SHUTDOWN ACK chunk does not contain other parameters and therefore the Length field
is set to 4.
ERROR Chunk Format

An ERROR chunk is used to notify the receive end of error conditions. An ERROR chunk
contains one or more error causes. An operation error is not considered to be critical. A critical
error is reported using an ABORT chunk. Figure 1.1 shows the ERROR chunk format.
Figure 1.1 ERROR chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type =9
Chunk Flags
Length
one or more Error Causes
Type (8 bits)
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Length (16 bits)
The Length field specifies the size of an ERROR chunk in bytes, including the chunk header
and all the Error Cause fields.
Error causes
An error cause includes the cause code, cause length, and cause-specific information, as
shown in Figure 1.2.
Figure 1.2 Error cause format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Cause Code
Cause Length
Cause-specific Information
The cause-specific information depends on the cause code. The mapping between the cause
code and the cause-specific information is shown in Table 2.1.
Table 2.1 Mapping between the cause-specific information and the cause code
Cause
Code
Value
Cause Code and

Meaning
Parameter Information
Invalid Stream Identifier:

Indicates that the received
DATA chunk contains a
nonexistent stream.
Stream ID (16 bits): Includes the stream ID of the

DATA chunk received in error.
Reserved (16 bits) The Reserved field is set to all
0s on the transmit end and ignored by the receive
end.
Cause Length = 8
Missing mandatory
parameters: Indicates that
one or more mandatory
parameters are missing in a
received INIT or INIT
ACK chunk.
Number of Missing parameters (32 bits):

Indicates the number of parameters contained in
the Cause-specific Information field.
Missing Parameter Type (16 bits): Indicates the
number of the missing mandatory parameter.
Cause Length = 8 + N x 2
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Stale Cookie Error:

Indicates that a valid State
Cookie chunk that is
received has expired.
Measure of Staleness (32 bits): Contains the

difference in microseconds between the current
time and the time when the State Cookie chunk
expires. The transmit end of this error cause can
report the expiration duration of the State Cookie
chunk by sending a non-zero value in the
Measure of Staleness field. If the transmit end
does not expect to provide this information, the
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Cause
Code
Value
Cause Code and

Meaning
Cause Length = 8
4
Out of Resource: Indicates

that the transmit end is out
of resource. This field is
sent with or within an
ABORT chunk.
Cause Length = 4
Unresolvable Address:
Indicates that the transmit
end cannot resolve the
specified address
parameter. For example, the
transmit end does not
support the address type.
This cause code is sent in
combination with or within
an ABORT chunk.
Unresolvable Address (variable length) Contains

the Type, Length and Value of the address
parameter (or Host Name parameter) that
contains the unresolvable address or host name.
Unrecognized Chunk Type:

Returned to the originator
of the chunk if the receive
end cannot recognize the
chunk type and the upper
bits of the Chunk Type
field are set to 01 or 11.
Unrecognized Chunk (variable length): Contains

the Chunk Type, Chunk Flags, and Chunk Length
of the unrecognized chunk in an SCTP packet.
Invalid mandatory
parameter: Returned to the
originator of an INIT or
INIT ACK chunk when one
of the mandatory
parameters is set to an
invalid value.
Cause Length = 4
Unrecognized parameters:
Returned to the originator
of the INIT ACK chunk if
the receive end cannot
recognize one or more
Optional TLV parameters
in an INIT ACK chunk.
Unrecognized Parameters(variable length):

Contains the unrecognized parameters copied
from an INIT ACK chunk. When the transmit end
of the COOKIE ECHO chunk expects to report
unrecognized parameters, this error cause is
normally contained in an ERROR chunk bundled
with the COOKIE ECHO chunk for responding
to the INIT ACK chunk.
The cause length is variable.

9
Issue 01 (2011-09-30)
No User Data: Returned to

the originator of a DATA
chunk if the received
DATA chunk does not have
user data.
TSN: Contains the TSN of the received DATA

chunk without user data.
Cause Length = 8

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eRAN2.2
SCTP
Cause
Code
Value
Cause Code and

Meaning
10
Cookie Received While

Shutting Down: Returned
in an ERROR chunk
bundled with the
retransmitted
SHUTDOWN ACK chunk
when a COOKIE ECHO
chunk was received while
the endpoint was in the
SHUTDOWN-ACK-SENT
state.
Cause Length = 4
COOKIE ECHO Chunk Format

The COOKIE ECHO chunk is used only during association initiation. It is sent by the initiator
of an association to its peer endpoint to complete the initiation. The COOKIE ECHO chunk
must be sent within the association before any DATA chunk is sent, but may be bundled with
one or more DATA chunks in the same packet.
Figure 1.1 shows the COOKIE ECHO chunk format.
Figure 1.1 COOKIE ECHO chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type =10
Chunk Flags
Length
COOKIE
Type (8 bits)
Length (16 bits)
The Length field is set to the size of the chunk in bytes, including the 4 bytes of the chunk
header and the size of the cookie.
Cookie (variable size)
The Cookie field must contain the exact cookie received in the State Cookie field in the
previous INIT ACK chunk. An implementation must make the cookie as small as possible to
ensure interoperability.
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eRAN2.2
SCTP
COOKIE ACK Chunk Format

The COOKIE ACK chunk is used only during the association initiation. This chunk
acknowledges the receipt of a COOKIE ECHO chunk. The COOKIE ACK chunk must be
sent within the association before any DATA or SACK chunk is sent, but may be bundled with
one or more DATA or SACK chunks in the same SCTP packet.
As shown in Figure 1.1, the COOKIE ACK chunk does not contain any parameters.
Figure 1.1 COOKIE ACK chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type =11
Chunk Flags
Length=4
SHUTDOWN COMPLETE Chunk Format

The SHUTDOWN COMPLETE chunk acknowledges the receipt of a SHUTDOWN ACK
chunk at the completion of a shutdown process.
As shown in Figure 1.1, the SHUTDOWN COMPLETE chunk does not have any fields.
Figure 1.1 SHUTDOWN COMPLETE chunk format
0
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
Type =14
Reserved
Length=4
Type (8 bits)
The seven left-most bits are reserved. The reserved bits are set to all 0s on the transmit end
and ignored at the receive end.
T bit (1 bit)
The T bit is set to 0 if the transmit end has a damaged TCB. If the transmit end has no TCB,
the T bit is set to 1.
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eRAN2.2
SCTP
5.3 SCTP Endpoint Maintenance Parameters

and Recommended Values
Mandatory Parameters for Each SCTP Instance
Table 1.1 describes the mandatory parameters for each SCTP instance.
Table 1.1 Mandatory parameters for each SCTP instance
Paramete
r
Meaning
Associations
Specifies a list of current associations and corresponding to the data

consumers for each association.
Secret Key
Specifies a secret key for the endpoint calculating the MAC. This
parameter must set to a random cryptographic quality number with a
sufficient length. For details about the selection of secret keys, see the RFC
4086.
Address List
Specifies a list of IP addresses bound with an instance. The value of this

parameter is transmitted to the peer endpoint in an INIT or INIT ACK
chunk.
SCTP Port
Specifies a local SCTP port number to which the endpoint is bound.
Mandatory Parameters for Each SCTP Association

Table 1.1 describes mandatory parameters for each SCTP association.
Table 1.1 Mandatory parameters for each SCTP association
Parameter
Meaning
Peer Verification
Tag
Specifies a tag value to be sent in each packet and be received in an

INIT or INIT ACK chunk.
My Verification
Tag
Specifies a tag expected in every inbound packet and sent in an INIT or

INIT ACK chunk.
Peer Transport
Address List
Specifies a list of SCTP transport addresses to which the peer endpoint

is bound. The value of this parameter derives from the INIT or INIT
ACK chunk and is used to associate an inbound packet with a given
association.
Primary Path
Specifies the current primary destination transport address of the peer

endpoint and a source transport address on this endpoint.
Overall Error
Count
Specifies the number of errors in an overall association.
Overall Error
Threshold
Controls an association. If the Overall Error Count parameter reaches

the value of this parameter, the association will be closed or aborted.
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eRAN2.2
SCTP
Parameter
Meaning
Peer RWND
Specifies the current calculated value for RWND of the peer endpoint.
Nest TSN
Specifies the next TSN to be assigned to a new DATA chunk. This

parameter is sent in an INIT or INIT ACK chunk to the peer and
incremented each time a DATA chunk is assigned a TSN (normally
prior to transmit or during fragmentation).
Last RCVD TSN
Specifies the last TSN received in sequence. This parameter is initially

set to the initial TSN of the peer endpoint, and the value is subtracted 1
in the received an INIT or INIT ACK chunk.
Mapping Array
Specifies an array of bits or bytes indicating which out-of-order TSNs

have been received (relative to the Last RCVD TSN). If no gaps exist,
for example, no out-of-order packets have been received, this
parameter is set to all 0s.
ACK State
Specifies whether a SACK chunk responds to the next received packet.

The initial value is 0.
Inbound Streams
Specifies an array of structures to track the inbound streams, normally

including the next sequence number expected and the stream number.
Outbound
Streams
Specifies an array of structures to track the outbound streams, normally

including the next sequence number to be sent on the stream.
Reasm Queue
Specifies a reassembly queue.
Local Transport
Address List
Specifies a list of local IP addresses bound with this association.
Association
PMTU
Specifies the smallest PMTU discovered for all transport addresses of

the peer endpoint.
For a specific association, verification tags used by the two endpoints do not change during the
association lifetime. After this association is released, an endpoint must use a new verification tag to set
up a new association with the peer endpoint.
Mandatory Parameters for Each Transport Address

For each destination transport address in the peer endpoint's address list derived in an INIT or
INIT ACK chunk, an endpoint needs to maintain the parameters listed in Table 1.1.
Table 1.1 Mandatory parameters for each transport address
Parameter
Meaning
Error Count
Indicates the number of current errors for this destination transport

address.
Error Threshold
Indicates the error threshold for this destination. When the number of
errors reaches the value of this parameter, the association with this
destination transport address stops.
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eRAN2.2
SCTP
Parameter
Meaning
CWND
Indicates the current congestion window.
RTO
Indicates the current retransmission timeout value.
SRTT
Indicates the current smoothed round-trip time.
RTTVAR
Indicates the current RTT variation.
Partial bytes
acked
Indicates the tracking method for CWND increase in congestion

avoidance mode.
State
Indicates the current state of this destination, such as OWN, UP,

ALLOW-HEARTBEAT, and NO-HEARTBEAT.
PMTU
Indicates the current acknowledged path MTU.
Per Destination
Timer
Indicates a timer used by each destination.
Last-time
Indicates the time when the last packet is sent to this destination. This
parameter determines whether a HEARTBEAT chunk is to be sent.
General Parameters
Outbound queue: Indicates a queue of outbound DATA chunks.
Inbound queue: Indicates a queue of inbound DATA chunks.
Recommended Values for SCTP Protocol Parameters
RTO.Initial: 3 seconds
RTO.Min 1 second
RTO.Max 60 seconds
RTO Alpha: 1/8
RTO Beta: 1/4
Valid.Cookie.Life: 60 seconds
Association.Max.Retrans: 10 attempts
Path.Max.Retrans: 5 attempts
Max.Init.Retransmits: 8 attempts
HB.interval: 30 seconds
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eRAN2.2
SCTP
SCTP Basic Signaling Procedure
6.1 Association Setup

SCTP endpoint A sends an INIT chunk to SCTP endpoint B to set up an association with
endpoint B. Then, endpoint B responds to endpoint A with two chunks. Assume that these
chunks are not bound or fragmented. Figure 1.1 shows the signaling procedure.
Figure 1.1 Signaling exchange for setting up an association
Endpoint A
Endpoint B
(1) INIT
(2) INIT ACK
(3) COOKIE ECHO
(4) COOKIE ACK
(5) DATA
(6) SACK
(7) DATA
(8) DATA
(9) SACK
1.
Issue 01 (2011-09-30)
Endpoint A creates a TCB indicating an association is to be set up and sends an INIT

chunk to endpoint B. An INIT chunk includes the following parameters:

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eRAN2.2
SCTP
Initiate Tag: Put in the Verification Tags field. For example, this parameter can be set
to Tag_A, ranging from 1 to 4294967295.
OS: Indicates the maximum number of outbound streams expected by the local
endpoint.
MIS: Indicates the maximum number of inbound streams allowed by the local
endpoint.
After receiving the stream configuration from the peer endpoint, each endpoint must check information
in each stream. If the MIS of the peer is less than the OS of the local endpoint, the peer endpoint cannot
support the outbound streams expected by the local endpoint, the local endpoint must use the MIS as the
outbound streams of the local endpoint and may report any resource shortage to the upper layer. If the
upper layer cannot accept the resource shortage, it may abort the association.
After sending an INIT chunk, endpoint A starts an INIT timer and enters the COOKIE-WAIT
state.
The INIT timer is used for waiting an INIT ACK chunk from the peer endpoint. If no INIT chunk is
received before the timer expires, the local endpoint resends an INIT chunk until the number of INIT
chunks reaches the value of Max.Init.Retransmits.
2.
3.
Upon the receipt of the INIT chunk, endpoint B immediately responds with an INIT
ACK chunk. The INIT ACK chunk must contain the following parameters:
Destination IP address: Set to the source IP address of the INIT chunk.
Initiate Tag: Set to Tag_B.
STATE COOKIE: A temporary TCB is generated based on the basic association

information. After the TCB is generated, a 32-bit MAC is generated using a secret
key of the local endpoint and the necessary information based on an irreversible
algorithm described in RFC2401. Necessary information includes a timer stamp for
generating a COOKIE and the COKKIE life-span. The STATE COOKIE parameter
is generated based on the necessary information and the MAC.
Transport address of the local endpoint
MIS
OS
After receiving the INIT ACK chunk, endpoint A stops the INIT timer, exits the
COOKIE-WAIT state, and sends a COOKIE ECHO chunk. The COOKIE ECHO chunk
includes the STATE COOKIE parameter in the INIT ACK chunk. Then, endpoint A
starts the COOKIE timer and enters the COOKIE-ECHOED state.
The COOKIE ECHO chunk can be bound in the same SCTP packet with a DATA chunk, but
the COOKIE ECHO chunk must be the first DATA chunk in the SCTP packet. The transmit
endpoint transmits other packets to the peer endpoint only after receiving a COOKIE ACK
chunk.
4.
Issue 01 (2011-09-30)
After receiving the COOKIE ECHO chunk, endpoint B checks it. Endpoint B calculates
the MAC using the MAC algorithm described in RFC2401 based on the TCB in STATE
COOKIE and the secret key, and compares the calculated MAC with the MAC carried
by the STATE COOKIE parameter. If they are different, endpoint B discards the
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eRAN2.2
SCTP
message. If they are the same, endpoint B compares the time stamp when the TCB is
generated with the current time to check whether the time stamp exceeds the COOKIE
life-span. If the time stamp exceeds the COOKIE life-span, the message is discarded. If
the time stamp is within the COOKIE life-span, endpoint B sets up an association with
endpoint A based on the information in a TCB. Endpoint B enters the ESTABLISHED
state and sends a COOKIE ACK chunk. Endpoint B sends the SCOMMUNCIATION UP
message to an SCTP user.
The COOKIE ACK chunk can be bound in the same SCTP packet with a DATA chunk, but
the COOKIE ACK chunk must be the first DATA chunk in the SCTP packet.
After receiving a COOKIE ACK chunk, endpoint A enters the ESTAABLISHED state from
the COOKIE-ECHOED state and stops the COOKIE timer. Endpoint A sends the
COMMUNICATION UP message to inform SCTP users of a successful association setup.
An association is set up using a four-way startup handshake, including: INIT, INIT ACK, COOKIE
ECHO, and COOKIE ACK.
5.
6.
Endpoint A sends a DATA chunk to endpoint B and starts the T3-RTS timer. The DATA
chunk must contain the following parameters:
TSN: Indicates the initial TSN in a DATA chunk.
Stream Identifier: Identifies the stream to which user data belongs. For example, 0.
Stream Sequence Number: Specifies the transmission sequence number of user data
in a stream. The value ranges from 0 to 65535.
User Data: Carries user payload.
After receiving the DATA chunk, endpoint B sends a SACK chunk. The SACK chunk
must contain the following parameters:
Cumulative TSN Ack: Specifies the initial TSN of endpoint A.
Gap Ack Block: Set to 0.
After receiving a SACK chunk, endpoint A stops the T3-RTX timer.

7.
8.
Issue 01 (2011-09-30)
Endpoint B sends the first DATA chunk to endpoint A. The DATA chunk must contain
the following parameters:
TSN: Indicates the initial TSN of endpoint B.
in a stream. For example, 0.
Endpoint B sends the second DATA chunk to endpoint A. The DATA chunk must contain
the following parameters:
TSN: Indicates the initial TSN + 1 of endpoint B.
in a stream. For example, 1.
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eRAN2.2
SCTP
9.
After receiving the DATA chunk, endpoint B sends a SACK chunk. The SACK chunk
must contain the following parameters:
Cumulative TSN Ack: Specifies the initial TSN of endpoint B.
Gap Ack Block: Set to 0.
6.2 Association Termination

If an endpoint exits from services, it must terminate its association. An association can be
terminated by abort (graceful) or shutdown (ungraceful).
Association abort can be performed in any time with data discarded on both endpoints and not
delivered to the peer endpoint. This method cannot ensure data safety. The procedure for
association abort is simple, as described in the following: An endpoint who decides to abort
an existing association sends an ABORT chunk to its peer endpoint. The endpoint must fill in
the peers verification tag in the outbound packet and must not bundle any DATA chunk with
this ABORT chunk. After checking the Verification Tag field, the receive endpoint releases the
association from its record and reports the termination to its upper layer.
Graceful association shutdown: When an endpoint gracefully shuts down an association, the
two endpoints cannot accept new data from SCTP users, but can submit data in the
transmitted or received SHUTDOWN chunk to SCTP users. Association shutdown ensures
that all data is sent to the peer endpoint and all outstanding data is acknowledged before an
association is shut down.
Figure 1.1 Signaling exchange for association shutdown
Endpoint A
Endpoint B
(1) SHUTDOWN
(2) SHUTDOWN ACK
(3) SHUTDOWN COMPLETE
The procedure for shutting down an association is as follows:

1.
Endpoint A sends a SHUTDOWN chunk to endpoint B. Upon the reception of the

SHUTDOWN chunk, endpoint B enters the SHUTDOWN-PENDING state from the
ESTABLISHED state. In the SHUTDOWN-PENDING state, endpoint B does not accept
any new data from its SCTP users. At the same time, endpoint B waits for endpoint A to
verify all outstanding data that has been received by endpoint A. After endpoint A
verifies all outstanding data, it sends a SHUTDOWN chunk to endpoint B. Endpoint A
starts the T2-shutdown timer and enters the SHUTDOWN-SENT state. The
SHUTDOWN-SENT timer is started waiting endpoint B to sends a SHUTDOWN-ACK
chunk. If no SHUTDOWN-ACK chunk is received before the timer expires, endpoint A
resends a SHUTDOWN chunk.
2.
After receiving the SHUTDOWN chunk, endpoint B enters the SHOUTDOWNRECEIVED state indicating that it does not receive new data from its SCTP users, and
check the Cumulative TSN ACK field in the SHUTDOWN chunk to verify that all
outstanding data has been acknowledged by the transmit end of the SHUTDOWN chunk.
Issue 01 (2011-09-30)

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eRAN2.2
SCTP
After verifying that data has been sent and all outstanding data has been acknowledged,
endpoint B sends a SHUTDOWN ACK chunk and starts the T2-SHUTDOWN timer,
entering the SHUTDOWN-ACK-SENT state. If endpoint A does not receive the
SHUTDOWN ACK chunk before the T2-SHUTDOWN timer expires, endpoint B
resends a SHUTDOWN ACK chunk.
3.
Issue 01 (2011-09-30)
After receiving the SHUTDOWN ACK, endpoint A stops the T2-shutdown timer, sends a
SHUTDOWN COMPLETE chunk to endpoint B, and removes all data about the
association. After receiving the SHUTDOWN COMPLETE chunk, endpoint B checks
whether it is in the SHUTDOWN-ACK-SENT state. If endpoint B is not in the
SHUTDOWN-ACK-SENT state, it discards the SHUTDOWN COMPLETE chunk. If it
is in the SHUTDOWN-ACK-SENT state, it stops the T2-shutdown timer, removes all
data about the association, and enters the CLOSED state.

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40

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HUAWEI TECHNOLOGIES CO., LTD.

Copyright Huawei Technologies Co., Ltd. 2011. All rights reserved.

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6 SCTP Basic Signaling Procedure...................................................37

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6 SCTP Basic Signaling Procedure

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6 SCTP Basic Signaling Procedure

Host and SCTP Endpoint

A host can have multiple endpoints.

Association and Stream

Association is a logical connection or tunnel for data transmission. It is established between

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6 SCTP Basic Signaling Procedure

Data delivered in sequence must be transmitted in the same stream.

Path and Primary Path

TSN and SSN

Transmission sequence number (TSN)

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6 SCTP Basic Signaling Procedure

Stream sequence number (SSN)

Congestion Window (CWND)

Receive Window (RWND)

Transmission Control Block (TCB)

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6 SCTP Basic Signaling Procedure

3.1 Association Setup and Shutdown

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6 SCTP Basic Signaling Procedure

provides a shutdown function in an emergency such as interruption. This function can be

3.2 Sequenced Delivery Within Streams

3.3 User Data Fragmentation

3.4 Acknowledgement and Congestion

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6 SCTP Basic Signaling Procedure

Packet retransmission is used to acknowledge the TSN and congestion avoidance.

3.5 Chunk Bundling

To improve bundling efficiency, bundling is performed during congestion or

3.6 Packet Validation

3.7 Path Management

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6 SCTP Basic Signaling Procedure

Primitive name: mandatory attribute [optional attribute]

Returned result: mandatory attribute [optional attribute]

4.1 Request Primitive Sent from an SCTP User

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6 SCTP Basic Signaling Procedure

This primitive allows the upper layer to initiate an association to a

This primitive is used to gracefully close an association. Any locally

This primitive is used to ungracefully close an association. Any locally

This primitive allows SCTP users to instruct the SCTP protocol to

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6 SCTP Basic Signaling Procedure

This primitive returns a data block containing the following information:

Association connection state

Destination transport list