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LTE and

GSM/UMTS
Interworking

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4G LTE
Welcome to LTE (e).............................................................1 hour
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LTE Air Interface Signaling Overview (e).........................3 hours
VoLTE Overview................................................................3 hours
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UMTS Signaling (e)...........................................................1 hours
UMTS Mobility (e).............................................................1 hours
HSDPA (R5) (e).................................................................3 hours
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v13.1

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Table of Contents

Chapter 1
Interworking - Executive Summary ................................................................................................................ 1
Evolution ........................................................................................................................................................... 3
Interworking Architecture ................................................................................................................................ 7
Examples of Interworking Scenarios ............................................................................................................ 13
Chapter 2
Interworking Network Architecture ............................................................................................................. 19
Network Architectures and Interfaces .......................................................................................................... 21
UMTS and GSM/EDGE Architecture ............................................................................................................. 30
Interfaces and Protocols ............................................................................................................................... 35
Network Identities .......................................................................................................................................... 44
Chapter 3
Initial Session Setup ..................................................................................................................................... 49
LTE Attach and Default Bearer Setup........................................................................................................... 51
UMTS/EDGE PDP Context Establishment .................................................................................................... 65
Additional Material......................................................................................................................................... 78
Chapter 4
Connected-Mode Interworking ..................................................................................................................... 83
LTE Measurement Procedure ....................................................................................................................... 87
UMTS Measurement Procedure.................................................................................................................... 96
Handover Examples -- S4 SGSN ............................................................................................................... 104

LTE_304 Version 1.7

Table of Contents
LTE-to-UTRAN Handover (S4-SGSN) ........................................................................................................... 115
LTE-to-UTRAN Pre-R8 (Gn SGSN) ................................................................................................................ 122
UTRAN-to-LTE (Gn SGSN) ............................................................................................................................ 125
E-UTRAN-GERAN Handover ......................................................................................................................... 132
Additional Material ...................................................................................................................................... 137
GERAN <-> LTE IRAT Examples ................................................................................................................... 139
LTE-to-GERAN CCO + NACC ......................................................................................................................... 143
GERAN-to-LTE PS Handover ........................................................................................................................ 145
Chapter 5
Idle-Mode Interworking...............................................................................................................................151
Device States and IRAT Mobility Procedures ............................................................................................. 153
Idle-Mode Interworking ................................................................................................................................ 160
IRAT Cell (Re)selection ................................................................................................................................ 170
LA/TA Updates ............................................................................................................................................. 180
Idle-State Signaling Reduction (ISR) .......................................................................................................... 188
Combined LAU/TAU ..................................................................................................................................... 191
Additional Information: PLMN Selection .................................................................................................... 195
Chapter 6
Circuit-Switched Interworking....................................................................................................................201
Voice in LTE .................................................................................................................................................. 203
IMS Overview................................................................................................................................................ 205
CS Fallback................................................................................................................................................... 212
ii

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Table of Contents
SR-VCC .......................................................................................................................................................... 222
IMS Service Centralization and Continuity ................................................................................................. 228
Support for SMS........................................................................................................................................... 233
Acronyms .....................................................................................................................................................239
References...................................................................................................................................................247

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iii

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1 | Interworking - Executive Summary

Chapter 1:
Interworking Executive Summary
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1 | Interworking - Executive Summary

Objectives
After completing this module, you will be able to:
Illustrate the evolutionary steps of UMTS and
LTE
Analyze the key differences between UMTS and
LTE architecture
Explain the two architectural options for
interworking GSM/UMTS with LTE networks
Describe the options for supporting voice and
SMS

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Chapter References:
[1] 23.401 General Packet Radio Service (GPRS)
enhancements for Evolved Universal Terrestrial Radio
Access Network (E-UTRAN) access
[2] 36.300 E-UTRA and E-UTRAN Overall Description
(Stage 2)
[3] 36.331 - Evolved Universal Terrestrial Radio Access (EUTRA) Radio Resource Control (RRC)
[4] 36.211-36.214: Physical Layer related documents

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1 | Interworking - Executive Summary

Evolution, Goals and


Challenges

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1 | Interworking - Executive Summary

3GPP Evolution: Toward LTE-Advanced


Release 99
Voice, 2 Mbps (384
kbps) data rate

Release 6

Release 10

Release 11

LTE-Advanced (3 Gbps DL
and 1.5 Gbps UL)

CoMP

HSUPA (5.76 Mbps UL)

Release 8
Bearer-independent
CS architecture

R 99

R 11

LTE (300 and


75 Mbps)

Release 4

R8

R6

R 10
R9

R7
R4

R5

Release 9
Emergency calls
using IMS

Release 5
HSDPA (14 Mbps DL)

Release 7
HSPA+ (21/28 Mbps)

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For LTE, the evolutionary process has been a while in the


making, and is not likely to end anytime soon. Each 3GPP
standards release since the original UMTS specification
has continued to add to and expand the capabilities of the
network:

Release 99 (R99) defined the original UMTS system,


supporting circuit voice services as well as theoretical
peak data rates of up to 2 Mbps. Commercial
systems delivered packet data services of up to 384
kbps.

R4 defined a bearer-independent circuit-switched


architecture, separating switches into gateways and
controllers, and laying the groundwork for the IP
Multimedia Subsystem (IMS).

R5 defined High-Speed Downlink Packet Access


(HSDPA), which boosted packet data rates to 14
Mbps on the downlink. R5 also completed the design
of IMS.

R6 increased data rates to more than 5 Mbps on the


uplink with High-Speed Uplink Packet Access
(HSUPA), and introduced support for Multimedia

Broadcast/Multicast Services (MBMS).

R7 provided further enhancements to HSDPA and


HSUPA, called HSPA+. Support for higher-order
modulation and Multiple Input Multiple Output
(MIMO)-antenna systems offered a significant
increase in data rates, potentially up to 42 Mbps.

R8 defined the Long Term Evolution (LTE) system,


starting the transition to 4G technology, while R9
adds further enhancements and capabilities,
including support for MBMS, the definition of Home
eNBs for improved residential and in-building
coverage, and support for IMS-based emergency
calls.

R10 defines LTE-Advanced, offering support for (8x8)


MIMO in the downlink, channel aggregation up to 100
MHz, and relays.

Enhancements to LTE-Advanced are


being
incorporated in R11 and beyond. For example,
Coordinated Multipoint (CoMP) transmission and
reception are part of R11.

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1 | Interworking - Executive Summary

2G/3G Architecture Attributes


Voice over
CS
MSC

CS

Two core networks with


different services and
requirements

Wireless Core Network

ATM/IP
Backhaul
Air interface
juggling CS
and PS

UTRAN/
GERAN

PS

PS-CN
(SGSN and
GGSN)

Best effort
data

Increasing data
rates over 10 year
evolution
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2G and 3G networks have two types of core networks, a


Circuit Switched-Core Network (CS-CN) and a Packet
Switched-Core Network (PS-CN). Both core networks are
supported by a single radio network. Voice services are
supported using the circuit switched network and packet
services are supported using the packet switched core
network. The radio interfaces support bursty traffic for the
packet domain and traditional telephony traffic for the CS
domain. The UMTS Terrestrial Radio Access Network
(UTRAN) consists of Node Bs and Radio Network
Controllers (RNCs). The GSM EDGE Radio Access Network
(GERAN) is composed of BTS and Base Station Controllers
(BSC). The MSC/VLR (Mobile Switching Center/Visiting
Location Register) or the MSC-S (MSC- Server) and MGW
(Media Gateways) are the key elements in the circuitswitched core network. The Serving GPRS Support Node
(SGSN) and the Gateway GPRS Support Node (GGSN) are
the two key elements in the packet-switched core
network. The Home Location Register (HLR) maintains a
common database for both domains.

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1 | Interworking - Executive Summary

LTE Architecture Attributes


MME

Evolved Packet
Core (EPC)
HSS

IP
Multimedia
System
PDN Gateway
(P-GW)

Serving Gateway
(S-GW)

PCRF

Internet

E-UTRAN
UE

An ALL-IP Network
A single core network
Handles mixture of real-time and non-real-time services
via comprehensive QoS architecture
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The new entities in the Evolved Packet Core (EPC) consist


of the Mobility Management Entity (MME), the serving
gateway (S-GW), the PDN gateway (PDN-GW) and the
ePDG. EPS focuses on the enhancement of packetswitched technology to cope with rapid growth in IP traffic,
higher data rates, lower latency and a packet optimized
system.

S-GW (Serving Gateway): The serving gateway is


responsible for anchoring the user plane for intereNB handover and inter-3GPP mobility. Its anchor
functionality is like a GGSN in a pre-LTE architecture.
This is like an SGSN without the mobility/session
functionality and with minimal data bearer
functionality. It will support lawful interception.

MME (Mobility Management Entity): It is responsible


for managing and storing UE contexts, generating
temporary identifiers to the UEs, idle state mobility
control, distributing paging messages to eNBs,
security control, and EPS bearer control.

Gateways: There are two gateways in LTE, one


terminating towards the E-UTRAN and one
terminating towards the external packet data
network. These two are called the serving gateway
and the PDN gateway, respectively. A UE has only one
serving gateway at any instance. However, it can have
multiple PDN Gateways if it is connected to multiple
PDNs. These two gateways may co-exist.

P-GW (Packet Data Network Gateway): This gateway


is responsible for anchoring the user plane for
mobility between 3GPP access systems and non3GPP access systems. It is like an HA (Home Agent)
in MIP, and it will provide support for charging, lawful
interception and policy enforcement.

PCRF (Policy Charging Rule Function): The


introduction of IMS has separated the SIP signaling
that negotiates the bearer capabilities for a session
from the actual bearer establishment procedure in
the EPC. PCRF is a means by which the IMS and EPC
interact to create a bearer with the agreed upon QoS.
This interaction is also required to tie up the signaling
and bearer for billing purpose. This also is taken care
of by the PCRF.

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1 | Interworking - Executive Summary

Interworking
Architecture

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1 | Interworking - Executive Summary

Inter-RAT Requirements
R99 or later
USIM-based
authentication

Maintain voice
quality during and
after handover

Support for
minimal impact
to 2G/3G

Inter-PLMN
handover
support

No loss of
data during
handover

Optimized
active mode
Mobility
Online and
offline
charging

Idle mode
mobility

QoS backward
compatibility

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The EPS architecture is required to meet the following


requirements:

Voice Quality: when handing over a voice call from


LTE to UMTS or GSM, the maximum delay should be
less than 300ms. Quality should be maintained
during and after the handover. This applies to all realtime services. For non-real-time services the delay
should not exceed 500ms.

No loss of data during handover

EPS should support QoS backward compatibility, i.e.,


EPS should provide QoS levels that are equivalent to
existing UMTS QoS levels. In addition, the system
should support a change of QoS during handover
when the new system does not support the same QoS
as the old.

Support of optimized active mode mobility: The


mobile must be able to transition between networks
when in active mode such that the operation is
optimized with respect to delay and packet loss.

Authentication using R99 or later USIM must be


supported though new applications and parameters
may be supported. After an IRAT handover there is
no requirement to re-authenticate.

Support for all existing 3GPP charging models must


be supported. Online and offline charging should be
supported.

In addition, mobile devices, if supporting LTE in


addition to either UMTS or GSM, should support
measurements and handover to and from both UMTS
and GSM.

Support of idle mode mobility. The mobile must be


able to transition between networks when in idle
mode.

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1 | Interworking - Executive Summary

Two Interworking Options


LTE UTRAN/GERAN Interworking
Option 1

Option 2

S4-SGSN

Gn- SGSN

SGSN is upgraded with R8


I/W features
More costly option
Better performance

SGSN No Change
Less costly option
Lower performance

UTRAN/GSM Radio Network upgrade for LTE measurements

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LTE supports interworking with other 3GPP access


systems. LTE provides service continuity in 3GPP and non3GPP, i.e., the UE communicates using the same IP
address independently of the access network it is
attached to.
3GPP has defined two options for interworking between
LTE and 3GPP technologies.
Option 1 requires enhancements to the SGSN to support
new interfaces to the EPC. These enhancements are
defined in Release 8, and this option is sometimes
referred to as the Release 8 SGSN option. Alternatively,
it is known as the S4-SGSN option due to the support for
the S4 interface between SGSN and SGW. This option is
more costly to deploy as the existing GPRS networks need
to be upgraded. However, the advantage is better
performance.

SGSN and GGSN. The interworking is achieved by having


the EPC implement the protocols and procedures of the
existing GPRS core network. While less costly to deploy,
this solution has performance drawbacks.
The advantages of the S4 SGSN over the Gn SGSN
solution include:

support for a signaling reduction feature which results


in improved capacity and improved UE battery life

with the S4 SGSN solution, direct tunneling of user


data from the RNC will be possible for roaming users

Option 2 provides a solution that allows minimal impact to


the existing network. In this option, the SGSN does not
change from R7 or earlier releases. It is known as the preR8 option, or alternatively, the Gn-SGSN option. That is
due to the support for the traditional Gn interface between

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1 | Interworking - Executive Summary

Two Interworking Options (continued)


LTE UTRAN/GERAN Interworking
Option 1
S4-SGSN

SGSN is upgraded with R8


I/W features
More costly option
Better performance

Option 2
Gn- SGSN

SGSN No Change
Less costly option
Lower performance

UTRAN/GSM Radio Network upgrade for LTE measurements

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The SGSN plays a key role in both solutions, and the


GGSN plays no role at all. Both options require some
changes in the UTRAN and GSM radio networks if
handover performance is to meet the requirements. In
order to allow a mobile device to handover from 2G or 3G
to LTE, it needs to be informed about the LTE frequencies
operating in the area. So at a minimum, it is expected that
the UMTS RNC and the BSC will provide the necessary
Release 8 functionality.
A third option which could be deployed requires no
changes to the UMTS or GSM networks. The mobile device
can independently decide to move between the LTE
network and the 2G or 3G network. In this case, there will
be no service continuity, and therefore may not be
acceptable to many operators.

10

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1 | Interworking - Executive Summary

Option 1: S4-SGSN
Enhanced to support:
1. S-GW, P-GW selection
2. MME selection
3. Interface to HSS

SGSN selection
S4-SGSN
MME
S3

UMTS/GPRS
RNC

HSS

S4

S11

S12
Direct Tunnel

LTE Core
S5

3GPP mobility S-GW


anchor

P-GW

P-GW anchors
the IP address

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The equivalent of LTE MME in 2G/3G systems is the


mobility management function of the SGSN. The
equivalent of the LTE S-GW in 2G/3G systems is the data
bearer functionality of the SGSN. Along with the other
functions of SGSN, SGSN is enhanced to support S-GW
and MME selection functions. The key point to notice is
that when a UE is using UMTS/GPRS access, the sessions
are anchored at the S-GW. So, a PDP context in
UMTS/GPRS will have an S4 bearer and an S5 bearer
portion. An SGSN acts like an MME during the PDP
context activation process. It selects the S-GW/MME and
P-GW, and establishes the S4 bearer and S5 bearer.
During handover scenarios from UMTS/GPRS to LTE,
SGSN also selects the MME to which the UE is handing
over.

During handovers from LTE to UMTS/GPRS, MME selects


the SGSN based on the UEs location.
Even during UMTS/GPRS access, P-GW will be anchoring
the IP address of a UE. For bearers or session, S-GW is the
anchor point but for the IP address P-GW is still the anchor
point. Network mobility would still be based on GTP or
PMIP over the S5/S8 interface.
Note that the deployed network may for some time still
contain GGSNs, which can support existing non-LTEcapable mobiles.

The serving S-GW is the anchor for the interworking of LTE


and other 3GPP access systems. It relays traffic between
2G/3G systems and the P-GW.

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11

1 | Interworking - Executive Summary

Option 2: Gn-SGSN
HSS
S-GW

EPC
S5

E-UTRAN

P-GW (~GGSN)

MME
(~SGSN)

S11

Gn or Gp

Gn

HLR

UTRAN/
GERAN

Gn SGSN
GGSN
Pre- Rel 8 PS-CN

EPC emulates the R7 GPRS core network


HSS and HLR data must be consistent
The MME and P-GW support GTPv1-C
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LTE supports interworking of LTE with legacy or Pre-Rel8


UMTS and GPRS SGSNs. This requires no changes to the
SGSN. MME acts like a peer SGSN and P-GW acts like a
GGSN to support mobility across LTE and Pre-Release 8
3GPP access systems. Gn or Gp (GTPv1-C)-based mobility
is used.
Gn is the interface used between two SGSNs in pre-Rel 8
architecture. The same interface would be used between
the MME and the SGSN. Gp or Gn is the interface used
between the SGSN and the GGSN in pre-Rel 8
architecture. The same interface would be used between
the P-GW and the SGSN. The IP address would be
anchored at the P-GW, even for access through
UMTS/GPRS. Gn and Gp are based on GTPv1-C.
In this solution, a key consideration is to ensure
consistency between the HSS and HLR data for the user.
The two databases could use a single dataset, or
procedures could be put in place to communicate
changes and synchronize. The standard does not
prescribe a solution, and therefore vendors will devise
proprietary ways to solve the issue.

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1 | Interworking - Executive Summary

Examples of
Interworking Scenarios

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1 | Interworking - Executive Summary

IRAT Mobility Scenarios


Example Scenarios
QoS, Security
Parameters, Service
Continuity, IP Addressing,
Delays in Service,
Throughput Changes

UE is powered on. Which network


(2G/3G/4G) will it choose?
The UE has an ongoing data session. What
happens when the Idle or Connected Mode
UE moves between 3G and 4G coverage
areas?

The UE is in a voice call, what happens when


it moves between 3G and 4G coverage areas?

IRAT
Challenges

The UE has both voice and data services.


What happens when it moves between
2G/3G and 4G coverage areas?

An Explosion of IRAT Mobility Scenarios


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Inter Radio Access Technology scenarios can be divided


into different categories depending on the capabilities of
the mobile device, the state of the mobile device (Idle or
connected), the available radio access network types
(combination of GERAN, UTRAN and E-UTRAN), and the
type of services that may be in use during the handover
period, such as non-real time packet services or circuit
switched services. Some example scenarios are:

The UE (User Equipment) is just powered on, possibly


in a new location after it was shut down and is now
faced with possible choices of multiple networks
(PLMNs) and access technologies.

A device which has already camped on a suitable cell


in a permitted network may need to change cells to a
different technology based on signal strengths
perceived by the UE on each available technology.

While in active mode, the UE may be transmitting and


receiving data to a Packet Data Network. Due to
mobility, the UE may be handed over to the network
with the wider coverage area, usually this scenario is
about leaving the higher-G network to a lower-G

14

legacy network.

Changing of access technology while in real time


circuit switched services such as voice. Like the
previous scenario, this usually involves handing over
the call to the lower-G technology. In LTE voice will
be packetized and is always handled as a voice over
IP.

Combined Packet and Circuit services while doing an


IRAT-handover. The capabilities of the network and
the UE determine which bearers will be handed over
to the other access technology.

All these scenarios pose challenges for the interworking


between LTE and GERAN/UTRAN. For example, besides
the obvious challenge of maintaining the continuity of the
service during the handover, the IRAT procedure must
also address changes in QoS, Latency, Throughput, Bearer
Characteristics, etc. that come as a result of changing the
access technology. The number of possible network
combinations and configurations has resulted in an
explosion of IRAT scenarios. Only a few will be
implemented in real operation.

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1 | Interworking - Executive Summary

Voice and SMS Interworking Options


Starting a
voice call
Circuit-Switched
Fallback (CSFB)

SMS

via MSC and MME


(control plane)

Voice over IP

via IMS
(user plane)

Voice call
handover

Single-Radio
Voice Call Continuity
(SR-VCC)

IMS Service
Continuity (ISC)
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Assume that there is a hybrid LTE/legacy device. There


are several basic ways of supporting such a device: VoIP
(Voice over IP) using One Voice Profile, Circuit-Switched
Fallback (CSFB), SR-VCC (Single-Radio Voice Call
Continuity), and IMS Service Continuity (ISC).
Since LTE is an all-IP packet-data network, supporting
voice using LTE is achieved via VoIP. One Voice Profile
specifies IMS-related features to support VoIP, using the
LTE E-UTRAN and EPC.
CSFB does not require the use of the IMS. When a hybrid
UE needs to use voice services in an area where both an
LTE and legacy CS network (e.g., UTRAN, GERAN, or 1x)
are available, the UE uses the legacy CS network for the
voice call instead of the LTE. This would be quite useful
when VoIP is not supported by the LTE UE and/or the LTE
network in initial deployments. Whether the call is UEoriginated or UE-terminated, CSFB can be used. For a
voice call, the UE leaves the LTE air interface and starts
using the CS air interface. Once the call is over, the UE
comes back to LTE.

SR-VCC allows an ongoing voice call to continue when the


UE leaves the LTE coverage area and enters a non-LTE CS
coverage area. The IMS is used as an anchor for such
calls. While on the LTE, the UE uses VoIP, and while on the
CS, the UE has a regular circuit-switched call. The initial
version SR-VCC supports a one-way transition from LTE to
CS (and NOT from CS to LTE).
ISC allows for bi-directional transitions between LTE and
CS for voice and non-voice services. In the case of a dualtransceiver UE, some services can be obtained via LTE
and other services can be received via CS.

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1 | Interworking - Executive Summary

Summary
LTE has evolved from UMTS. R8 is the first LTE
release and R10 is known as LTE-Advanced.
IRAT handovers must achieve a minimal
interruption in services.
Idle-mode and active-mode mobility procedures
have been developed to support interoperability.
The S4-SGSN interworking approach utilizes new
interfaces for interoperability, but the Gn-SGSN
approach uses the existing interfaces.
Various voice and SMS interworking options are
available.
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1 | Interworking - Executive Summary

Review Questions
1. Name three key differences between 3G and 4G
networks.
2. What are the two I/W architecture options for
interoperability and which option is expected to be
common in initial deployments?
3. What are the options for voice deployment?
4. What are the options for SMS deployment?
5. Is it possible to guarantee no loss of data during
IRAT handovers for all services?

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2 | Interworking Network Architecture

Chapter 2:
Interworking Network
Architecture
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2 | Interworking Network Architecture

Objectives
After completing this module, you will be able to:
Outline the Pre-R8 and R8 UMTS and GERAN
architectures
Illustrate the interworking architecture between
LTE and UMTS/GSM/GPRS
Sketch the network interfaces and protocols used
for interworking
Describe the difference between GTPv2 and
GTPv1

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Chapter References:
[1] 23.401 General Packet Radio Service (GPRS)
enhancements for Evolved Universal Terrestrial Radio
Access Network (E-UTRAN) access
[2] 23.060 General Packet Radio Service (GPRS);
Service description (Stage 2)
[3] 29.274 Tunnelling Protocol for Control plane
(GTPv2-C); (Stage 3)
[4] 29.272 Mobility Management Entity (MME) and
Serving GPRS Support Node (SGSN) related
interfaces based on Diameter protocol
[5] 29.060 GPRS Tunneling Protocol (GTP) across the
Gn and Gp interface
[6] 24.301 Non-Access-Stratum (NAS) protocol for
Evolved Packet System (EPS); (Stage 3)

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2 | Interworking Network Architecture

Network Architectures
and Interfaces

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2 | Interworking Network Architecture

LTE: Long Term Evolution


E-UTRA
Downlink: 300 Mbps
Uplink: 75 Mbps
OFDM and MIMO

EPC (Evolved Packet Core)


Simplified architecture
IP-based services
E-UTRAN
Simplified architecture
Evolved Node B
Radio Resource
Management by eNodeB

eNodeB

E-UTRAN

Core

eNodeB

E-UTRAN + EPC = EPS (Evolved Packet System)


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The 3G Partnership Project (3GPP) is responsible for


defining the Long Term Evolution program for UMTS
networks, called LTE. 3GPP focuses on three key areas:

Evolved UMTS Terrestrial Radio Access (E-UTRA): This


air interface is based on an OFDM physical layer and
utilizes MIMO techniques to increase the data rates.
It supports over 300 Mbps in the downlink to the User
Equipment (UE) and over 50 Mbps in the uplink,
using a scalable channel bandwidth of up to 20 MHz.

Evolved UMTS Terrestrial Radio Access Network (EUTRAN): Unlike the Node B and Radio Network
Controller (RNC) of the UTRAN, the E-UTRAN has only
one node: the Evolved NodeB, or eNodeB. The
eNodeB is responsible not only for the physical layer
operations of OFDM and MIMO, but is also
responsible for scheduling of downlink and uplink
resources, handovers, and Radio Resource
Management (RRM).

Evolved Packet Core (EPC): UMTS used circuit (Mobile


Switching Center (MSC)) and packet (Serving GPRS
Support Node (SGSN) and Gateway GPRS Support

22

Node (GGSN)) core network components. In LTE, the


network is moving to simplified IP-based networks,
replacing the current network components with
Mobility Management Entities and Serving Gateways
(MME/S-GW) and Packet Data Network Gateways (PGW).

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2 | Interworking Network Architecture

Evolved Packet Core (EPC)


S6a

Core

S11

S1

PCRF

HSS

MME

Gx
SGi

E-UTRAN

S1

Services
(Internet,
IMS, etc.)

S5/S8
P-GW

S-GW

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PDN Gateway allocates the users IP address, and


forwards packets intended for the user to the
appropriate Serving Gateway. It also provides support
for charging, lawful interception and policy
enforcement.

New entities in the Evolved Packet Core (EPC) include the


Mobility Management Entity (MME), the Serving Gateway
(S-GW), and the Packet Data Network (PDN) Gateway.

MME: The MME is responsible for managing and


storing UE contexts, generating temporary identifiers
to the UEs, idle state mobility control, distributing
paging messages to eNodeBs, security control, and
EPS (Evolved Packet System) bearer control.

Gateways: There are two gateways in LTE, one facing


towards the E-UTRAN (the Serving Gateway) and one
facing towards the external packet data network (the
PDN Gateway). A UE has only one Serving Gateway,
but it may have multiple PDN Gateways.

Serving Gateway (S-GW): The Serving Gateway is


responsible for anchoring the user plane for intereNodeB handover and inter-3GPP mobility, similar to
a GGSN in a pre-LTE network.

PDN Gateway (P-GW): This gateway is responsible for


anchoring the user plane for mobility between 3GPP
access systems and non-3GPP access systems.
Similar in nature to a home agent in mobile IP, the

PCRF (Policy and Charging Rules Function): The PCRF


functionalities include policy control decision and
flow-based charging control. PCRF is the main QoS
control entity in the network. It is responsible for
building the policy rules that will apply to a users
services, and passing the rules to the P-GW via the Gx
interface. The policy rules indicate whether the P-GW
should grant resource reservation requests, and if it
is allowed to process packets for a given IP flow. The
PCRF may use the subscription information as a basis
for the policy and charging control decisions.

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2 | Interworking Network Architecture

Evolved Packet Core (EPC) (continued)

S6a

Core

S11

S1

PCRF

HSS

MME

Gx
SGi

E-UTRAN

S1

Services
(Internet,
IMS, etc.)

S5/S8
P-GW

S-GW

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The key network reference points defined in LTE include:

S1-MME: This is the reference point for the control


plane protocol between the E-UTRAN and the MME.

S1-U: This reference point is based on the GTPv1-U


protocol between the E-UTRAN and S-GW. This
interface supports EPS bearer user plane tunneling
and inter-eNodeB path-switching during handover.

S5/S8: This reference point between the Serving


Gateway and P-GW can be GTP protocol-based, or
IETF-based. It supports mobility when the mobile
moves out of the scope of the Serving Gateway. If the
P-GW is in a different network (for roaming scenarios),
S8 is used instead.

S6a: This reference point is based on the Diameter


interface. It is between the evolved packet core and
the HSS.

24

SGi: This reference point is between the P-GW and


external packet data networks. The packet data
network may be an operator-external public or private
packet data network, or an intra-operator packet data
network (e.g., for provision of IMS services).

S11: This reference point is between the MME and


Serving Gateway.

Gx: The Gx interface supports the provisioning of


policy and charging rules.

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2 | Interworking Network Architecture

Mobility Management Entity (MME)


HSS

Authentication
Authentication

User Profile
Retrieval

S6a

MSC-S
SGs

MME
Idle Mobility Management
Paging
UE Location Tracking
Tracking Area Management
S1-MME Default Bearer Setup
P-GW, S-GW Selection
Lawful Interception

NAS Signaling

eNB

IRAT
Mobility
Signaling

S3

Gn

S4
SGSN

Gn
SGSN

S11

S-GW

IRAT
Mobility
Signaling

GSM/UMTS Networks
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The MME is a node defined in LTE to handle the signaling


functionality. MME stands for Mobility Management Entity.
The MME tracks and maintains the current location of
UEs. This allows the MME to page a mobile. It is also
involved in MME selection for inter-MME handovers. The
S10 interface between MMEs provides MME relocation
and MME-to-MME information transfer. The MME selects
the SGSN and performs inter-CN node signalling for inter3GPP handovers, i.e., with GPRS and UMTS, a S3
interface between SGSN and MME enables a user and
bearer information exchange for inter-3GPP access
network mobility.

It also plays a vital role in user authentication, and for that


it consults HSS on the S6a interface. This enables transfer
of subscription and authentication data to a MME for
authenticating user access to the network. Based on
subscription data, the MME selects a P-GW, and then a SGW, and finally establishes a bearer between the UE and
the P-GW.

The MME manages the UE identities and security-related


parameters. It controls security between UE and eNB (AS
security) and security between UE and MME (NAS
security). It is also responsible for signalling between the
UE and the MME.

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2 | Interworking Network Architecture

Serving Gateway (S-GW)


MME
S11

Paging
trigger

S-GW

eNB

IRAT
user plane

Packet data routing


Local mobility anchor
i.e., inter-eNB handover
lawful interception
idle mode buffering
IRAT mobility anchor

S12

S4
S4
SGSN

RNC/BSC

S5/S8

GTP

PDN
GW

IRAT mobility
signaling
and user plane

GSM/UMTS Networks
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The S-GW in LTE terminates towards the E-UTRAN, and a


UE has only one Serving Gateway at any instance. S-GW is
basically defined to handle user data functionality, and is
involved in routing and forwarding of data packets to P-GW
via the S5 interface. The S5 interface can be GTP-based
or PMIP-based, and is also used for Serving Gateway
relocation due to UE mobility. The S-GW is connected to
the eNB via the S1-U interface, which provides user plane
tunneling and inter-eNB handovers. The S-GW also
performs mobility anchoring for inter-3GPP mobility on the
S4 interface, which connects S-GW and 2.5/3G SGSN,
and the S12 interface, which connects the S-GW with the
UTRAN or GERAN when the direct tunnelling feature has
been implemented. The S-GW is also responsible for
Lawful Interception accounting on the user.

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2 | Interworking Network Architecture

PDN Gateway (P-GW)


Policy and
charging rules

S-GW

GTP
S5/S8

IRAT mobility
signaling
and user plane

P-GW (HA)
Packet filtering
DSCP marking
Lawful interception
Charging
DL rate enforcement
Default router for UE
Inter S-GW handover
GGSN emulation
Gn

PCRF
Gx

IMS

Internet

Gn
SGSN

GSM/UMTS Networks
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The PDN Gateway is the node that connects the UE to


external PDNs (Packet Data Network), and acts as the
UEs default router. A UE may be connected to multiple
PDNs through one or more PDN Gateway. The P-GW is
responsible for anchoring the user plane mobility within
the LTE/EPC network, as well as for inter-RAT handovers.
The PDN Gateway may be responsible for the allocation of
an IP address to the UE during default EPS bearer set up.
Packet filtering of user traffic may be implemented at the
P-GW in support of QoS differentiation between multiple IP
flows. The P-GW supports Lawful Interception of user
traffic in support of government intelligence services
combating criminal activity. It also supports service level
charging by collecting and forwarding Call Data Records
(CDRs). It supports DL data rate enforcement, ensuring
that a user does not exceed his traffic rate subscription
level.

IP flow. The P-GW is connected to the S-GW via the S5


interface, and supports the establishment of data bearers
between the S-GW and itself.
The P-GW can also support the Gn interface to connect to
a 2.5G/3G SGSN for interoperability.

The Gx interface provides transfer of (QoS) policy and


charging rules from the Policy and Charging Rules
Function (PCRF) to the P-GW. The policy rules indicate
whether the P-GW should grant resource reservation
requests, and if it is allowed to process packets for a given

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2 | Interworking Network Architecture

Home Subscriber Server (HSS)


Stores user subscription, identification, service

profile, and location information

Generates security-related information


May be combined with HLR (not standardized)

Authentication
S6d

S6a

MME

S4 SGSN

HSS/HLR
Gr
S-GW

Gn SGSN
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The HSS (Home Subscriber Server) is a master-user


database that stores subscription-related information to
support other call control and session management
entities. It is a storehouse for user identification,
numbering and service profiles. It incorporates HLR and
AuC subscriber data, as well as IMS-specific user
subscription information. It is involved in user
authentication and authorization in LTE networks. During
registration, the MME talks to the HSS via the S6a
interface for user authentication and ciphering
information. The HSS generates security information for
mutual authentication, integrity checking, and ciphering.
The HSS can also provide information about the user's
physical location. We can have one or more than one HSS
in a home network depending on the number of mobile
subscribers and the equipment capacity.
The HSS also supports communication with UMTS/GPRS
S4 SGSNs with the S6d interface which is equivalent to
the S6a interface. Some implementations may also
integrate the legacy Gr interface, allowing the Gn SGSN to
access the same subscriber information database as is
used in LTE.

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2 | Interworking Network Architecture

Exercise: Many-to-One Mapping


Function

Node

1. Authentication of the UE

A. eNB

2. IP address assignment for the UE

3. (Idle mode) UE location tracking


4. S1-U packet forwarding to/from
eNodeB
5. Paging to the UE via eNodeBs
6. Subscriber database
7. Radio resource management

B. MME
C. S-GW
D. P-GW
E. HSS

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2 | Interworking Network Architecture

UMTS and GSM/EDGE


Architecture

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2 | Interworking Network Architecture

GSM/GPRS Changes
Internet
PSTN
GGSN
Gn
MSC
(MSC-S/MGW)

Gb

Iu
or

SGSN
or

BSC

Required Changes:
Upgrade of BSC to support:
SI 2quater (Info about EUTRAN)
SI 5/measurement info
Optional Changes:
Support for S4/S3
Support for S6d
Support for S12
Support of NACC/RIM
Support of CS Fallback
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When a GSM/GPRS operator deploys an LTE network,


there are a number of possible changes that could be
made in the GSM/GPRS network to support
interoperability. It is very important to note that none of
these changes remove the need for a new handset by the
subscriber. Most of the changes are optional to support
interoperability, but there are a minimum number of
changes that are required to support any level of
interoperability.

Iu

The other changes are optional and will be discussed over


the next few pages. They are adding support for S4, S3,
and S6d interfaces to the SGSN; adding support for the
S12 interface to the BSC; adding support for networkassisted cell change and radio interface messages to the
network; and, lastly, adding the support for CS Fallback to
the MSC or MSC-S.

The first change is the only update that is required by the


BSC. The BSC needs to be updated to support
communicating the LTE neighbor information to the
mobile, receiving measurements from the mobile, and
making a handover decision to send the mobile to an LTE
network. The biggest changes are the addition of an SI 2
quater message on the broadcast channel to send the EUTRAN information to a mobile that is idle, and an SI 5 or
measurement information message that will be used to
communicate between LTE neighbors and the mobile that
is on a call.

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2 | Interworking Network Architecture

UMTS/HSPA Changes
Internet

PSTN
GGSN
Gn
MSC
Iu

SGSN
Required Changes:
Upgrade of RNC to support:
SIB19 (Info about E-UTRAN)
Measurement control
Optional Changes:
Support for S4/S3
Support for S6d
Support for S12
Support for CS Fallback

Iu

RNC

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When a UMTS operator deploys an LTE network, there are


a number of possible changes that can be made in the
UMTS network to support interoperability. It is very
important to note that none of these changes remove the
need for a new handset by the subscriber. Most of the
changes are optional to support interoperability, but there
are a minimum number of updates that are required to
support any level of interoperability.

The other changes are optional and will be discussed over


the next few pages. They are adding support for S4, S3,
and S6d interfaces to the SGSN; adding support for the
S12 interface to the RNC; and, lastly, adding the support
for CS Fallback to the MSC or MSC-S.

The RNC needs to be upgraded to support communicating


the neighbor information to the mobile, receiving
measurements from the mobile, and making a handover
decision to send the mobile to an LTE network. The
biggest changes are the addition of SIB 19 on the
broadcast channel to send the E-UTRAN information to a
mobile that is idle, and a measurement control message
that will be used to communicate LTE neighbors to the
mobile that is on a call.

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2 | Interworking Network Architecture

Gn SGSN Interworking
P-GW acts as a GGSN
MME
(SGSN)
Gn (or Gp)

(Usage:
Inter-RAT
Handover
Signaling)

P-GW
MME acts as an SGSN
(GGSN)
Gn (or Gp)
(Example usage: PDP context related
signaling, user traffic transfer)
SGSN

HLR
MAP/SS7

BSC or RNC

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As mentioned above, the minimum number of changes


that need to be made are shown in this chart. In this case,
the BSC or RNC has been upgraded to support the
communication of LTE neighbors for the sake of
measurements. Beyond a new software load in the BSC or
RNC, there is no change to the network. This configuration
is referred to as the Gn SGSN configuration.

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2 | Interworking Network Architecture

S4 SGSN Interworking
P-GW
S5

S11

S-GW

MME
S3

S4

IRAT Handover
Signaling

Creation of EPS Bearers


User Traffic
S6d

SGSN
S12

HSS
User Traffic
(Direct tunnel:
Bypass SGSN)

BSC or RNC

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The first significant change that may take place to the


SGSN is referred to as the S4 SGSN configuration. In this
case, the SGSN has been upgraded to support the S3
interface to a MME for the sake of establishing a data
session. The SGSN will also be configured with the S4
interface for the sake of supporting the user data.

are a number of Attribute Value Pairs (AVP) that have


been developed to support all of the data that was
previously communicated with the Mobility Application
Protocol (MAP).

The next architectural change is based on the direct


tunneling feature. The direct tunneling feature was a
Release 7 feature that allowed the RNC or BSC to directly
connect to the GGSN for the delivery of packets. In this
architecture, the S12 interface has been added between
the S-GW and the BSC or RNC. This interface supports the
direct tunneling feature. For the BSC, the S12 interface is
only available as an option if the BSC has been enhanced
to support Iu.
Also shown on this slide is an optional interface called the
S6d interface. This is an update to the SS7-based Gr
interface that was used to communicate with the HLR. The
S6d interface is a Diameter-based interface where there

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2 | Interworking Network Architecture

Interfaces and
Protocols

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2 | Interworking Network Architecture

S3/S4 (Control Plane) Interface


Creation of Sessions
and Bearers
Enable IRAT handovers

GTPv2-C
UDP
IP
Data link layer
Physical layer

S3

IP
S4 SGSN

S4

MME

S-GW
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The S3 interface is responsible for delivering a signaling


protocol between the SGSN and the MME. The S4
interface is responsible for delivering a signaling protocol
between the SGSN and the S-GW. The protocol used is
GTPv2-C application signaling protocol. The S4 interface is
responsible for EPS bearer setup/release procedures
when a UE is in a GSM or UMTS network. The S3 interface
is responsible for the handover signaling procedure as a
mobile moves from the GERAN/UTRAN to the LTE
network.

36

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2 | Interworking Network Architecture

S4/S12 (User Plane) Interface


User plane PDUs

GTPv1-U
UDP
IP
Data link layer
Physical layer

IP
GTP Tunnel

S4 SGSN
or
RNC/BSC

S4 connects to the SGSN

S-GW

S12 connects to the RNC or BSC


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The S4 and S12 interfaces are used to send user data to


a UE that is in a GERAN or a UTRAN. The S4 interface
connects the S-GW to a SGSN. The S12 interface connects
the S-GW to the RNC or BSC, and is used when the direct
forwarding feature is implemented.

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37

2 | Interworking Network Architecture

S6d Interface
Diameter
SCTP
IP
Data link layer
Physical layer

IP
S4 SGSN

HSS

Uses the same Diameter messages and parameters as the S6a interface

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Diameter is used to talk to HSS. The main function of


the HSS is to give the subscriber information to the
NAS servers in any access system. It also provides
the authentication information and stores the current
NAS server to which the UE is registered. The S6d is
used to support authentication and authorization
procedure for a UE using GERAN and UTRAN access.
The S6d interface is very similar to the S6a interface
that is used by the MME to communicate to the HSS.
They use the same set of messages and parameters.

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2 | Interworking Network Architecture

Gn/Gp Interface
User Plane
User plane PDUs

Control Plane

GTPv1-U

GTPv1-C

UDP

UDP

IP

IP

Data link layer

Data link layer

Physical layer

Physical layer

IP
GTP Tunnel

P-GW (~GGSN)

Gn SGSN

Note that the Gn SGSN also interfaces to MME via Gn and GTPv1-C for mobility
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It is not a requirement for the SGSN to support the new S3


and S4 interfaces. If the SGSN has not been upgraded, it
is referred to as a Pre-Release 8 SGSN or a Gn SGSN.
Therefore, the Gn and Gp interfaces that have been in
place since Release 99 of the standard are used. The Gn
SGSN connects to the P-GW as if it is a GGSN and uses
the same protocols as is used in UMTS or GPRS. And for
mobility across SGSNs, the Gn SGSN connects to the MME
as if it is an SGSN and uses the same protocols as is used
in UMTS or GPRS.

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39

2 | Interworking Network Architecture

Gr Interface
MAP
TCAP
MTP3
MTP2
MTP1

IP
Gn SGSN, or,
S4 SGSN

HLR

SGSN uses MAP to retrieve subscriber profiles and security parameters

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The Gr interface is a SS7-based interface that is used by


the SGSN to retrieve the subscriber profile and security
parameters from the HLR. The Gr interface may still be
used even if the SGSN has been updated to support the
S4 interface.

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2 | Interworking Network Architecture

GTPv1-C and GTPv2-C


GTPv1-C

GTPv2-C

Bearers

Primary, secondary,
NSAPI

Default, dedicated, EPS


bearer ID

QoS

UMTS QoS

LTE QoS

Single set of
messages

Create or modify
bearers for one session

Create or modify
bearers for multiple
sessions

CS Fallback and ISR


interactions

Not supported

Supported

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GTPv2-C is enhanced to support the new bearer features


and LTE QoS. GTPv1-C supported messages to create
bearers for primary and secondary PDP contexts. GTPv2C supports messages to create default and dedicated
bearers. Every dedicated bearer is associated with a
default bearers. So Linked Bearer ID parameter is added.
The EPS Bearer ID identifies the bearers instead of
NSAPIs (Network layer Service Access Point Identifier).
PDP contexts are identified by NSAPIs in UMTS/GPRS.

When ISR is activated, the idle UE could be camped on


either LTE or UTRAN. When the UE is CS-Attached via the
MME and receives a CS Page GTPv2-C supports the
forwarding of a CS Paging message to the SGSN so that
the UE can be paged simultaneously in both networks.

The LTE QoS definition is different from the UMTS/GPRS


QoS definition. Hence, a new QoS parameter is used. A
set of dedicated bearers can be added, deleted, etc. with
one set of signaling messages.
The messages related to 3GPP UMTS <-> GPRS
interworking are used for LTE <-> GPRS/UMTS
interworking. Some of the key messages are Identification
Request,
Context
Request/Response/Acknowledge,
Forwards Relocation Req/Res/Ack, Forward SRNS
Relocation Req/Res/Ack message.

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41

2 | Interworking Network Architecture

SGs (Control Plane) Interface


SGsAP
SCTP

IP
Data link layer
Physical layer

IP
MME

MSC or
MSC-S
Used for CS Fallback and SMS interworking
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One additional option that may be implemented is the CS


Fallback option. It is an option where all voice calls will be
forced back to the 2G or 3G network and LTE will only be
used for packet data services. The CS Fallback option
needs a connection to the MSC or the MSC server. This
connection is referred to as the SGs interface and is
similar to the Gs interface that was designed for GPRS. It
has its own protocol called the SGsAP protocol.

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2 | Interworking Network Architecture

True or False Exercise


1. In the case of S4-SGSN interworking, the S-GW acts as a
local mobility anchor and forwards the user traffic to the
eNodeB or a legacy network.
2. The P-GW allocates an IP address to the UE for both S4SGSN interworking and Gn-SGSN interworking.
3. The interfaces such as S3 and S4 use GTPV1-C, while the
interface Gn uses GTPV2-C for signaling.
4. MME participates in Inter-RAT signaling in cases of both
S4-SGSN interworking and Gn-SGSN interworking.
5. The S10 interface enables implementation of the direct
tunnel feature by bypassing the SGSN for user traffic.

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43

2 | Interworking Network Architecture

Network Identities

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2 | Interworking Network Architecture

Key Interworking Identifiers


3GPP
Core
Network

Bearer
UE

Common Network IDs


PLMN Identity
LTE Network IDs
Global MME Identity (GUMMEI)
MME Code (MMEC)
Tracking Area identity (TAI)
UMTS/GSM Network IDs
Routing Area Identity (RAI)
Network Resource ID (NRI)
Location Area identity (LAI)

Common UE Identities
IMEI and IMSI
TIN
LTE Identities
GUTI and S-TMSI
UMTS/GPRS Identities
TMSI & P-TMSI

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The following are the UE identities that are most relevant


to interworking:

International Mobile Equipment Identity (IMEI): The


IMEI is a mobile equipment serial number.

International Mobile Subscriber Identity (IMSI): The


IMSI is a 15-digit identifier defined by the
International Telecommunication Union (ITU). IMSI
contains Mobile Country Code (MCC), Mobile Network
Code (MNC), and Mobile Identifier. An IMSI provides
unique identification of a mobile globally. This
provides international roaming capabilities. The IMSI
is used as the primary index to the users subscription
information by both HLR and HSS.

TMSI (Temporary Mobile Subscriber Identity): The


TMSI is a temporary identifier assigned to a mobile
station by the MSC.

GUTI (Globally Unique Temporary Identity): The GUTI


is allocated to a UE by the MME. The GUTI contains a
globally unique MME identifier and the UE ID within
the MME. It is a concatenation of GUMMEI and MTMSI. A shorter version of the GUTI, the S-TMSI is
used for paging the mobile.

Packet-TMSI (P-TMSI): The P-TMSI is a temporary


identifier that the SGSN assigns a mobile station in
UMTS or GPRS. The P-TMSI is four octets and is used
for paging over the air.

Note: The Temporary Logical Link Identifier, or


TLLI, is an equivalent identity in GSM using Gb
mode. It is used by LLC in the SGSN to uniquely
identify the MS. The TLLI is derived from the PTMSI.

TIN: Temporary ID used in next update: Used in


conjunction with the ISR (Idle-mode Signaling
Reduction) feature this is not a new ID but one that is
equal to either the GUTI or P-TMSI.

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45

2 | Interworking Network Architecture

Key Interworking Identifiers


(continued)
3GPP
Core
Network

Bearer

UE
Common Network IDs
PLMN Identity
LTE Network IDs
Global MME Identity (GUMMEI)
MME Code (MMEC)
Tracking Area identity (TAI)
UMTS/GSM Network IDs
Routing Area Identity (RAI)
Network Resource ID (NRI)
Location Area identity (LAI)

Common UE Identities
IMEI and IMSI
TIN
LTE Identities
GUTI and S-TMSI
UMTS/GPRS Identities
TMSI & P-TMSI

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All three identifiers, GUTI, TMSI, P-TMSI are temporary


identifiers and provide anonymity for the mobile device in
the their respective domains. The following are the
network-related identities that are most relevant to
interworking:

Public Land Mobile Network (PLMN) ID: This identifies


the operators network and is common to all three
3GPP technologies. It is composed of the Mobile
Country Code (MCC) and the Mobile Network Code
(MNC).

Globally Unique MME Identity (GUMMEI): This


identity, composed of the MMEGI plus MMEC is used
in the E-UTRAN to uniquely identify a specific MME.
The MME Group Identity (MMEGI) identifies a group
of MME in a PLMN which cover a specific geographic
region. The MME Code (MMEC) is a unique code
identifying the MME in its group.

Tracking Area identity: This identifies a tracking area


in an LTE network.

Routing Area Identity (RAI): A routing area in either a


WCDMA or GSM/GPRS network is a collection of

46

contiguous cells smaller than an SGSNs coverage


area and less than a location area. The RAI is
composed of a LAI + a Routing Area Code (RAC).

Location Area Identity (LAI): A location area in either a


WCDMA or GSM/GPRS network is a collection of
contiguous cells smaller than an MSC servers
coverage area. The LAI is composed of the Mobile
Country Code (MCC) + the Mobile Network Code
(MNC) + the Location Area Code (LAC).

ID Mapping: When a mobile moves between an LTE


network and either a 2G or 3G network, the UE will
perform TAU or RAU. It may be necessary to map the IDs
of the two technologies in order to help recover the
mobiles context from the old network. Also in the case of
a combined SGSN/MME it will be important to have the
IDs point to the same node. The MMEs globally unique ID
is the GUMMEI which is contained in the UEs GUTI. The
MMEs unique ID in its geographic area is MME Code
which is contained in the UEs S-TMSI. The corresponding
SGSN ID is the NRI (Network Resource Identifier) which is
contained in the P-TMSI/TLLI. See 23.003 for more
details.

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2 | Interworking Network Architecture

Summary
2G/3G radio networks need to be upgraded to
support interoperability with LTE.
The S4-SGSN option provides a more integrated
solution and more functionality with:
New interfaces S3, S4, S12 that use GTP; and
New interface S6d that uses Diameter.

S-TMSI and P-TMSI are UE identities can be used


to identify the serving MME and SGSN
respectively.
CS Voice and/or SMS interworking may be
accomplished via MME and MCS communication.
New interface SGs uses SGs Application Protocol
(SGsAP).
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47

2 | Interworking Network Architecture

Review Questions
1. What are the minimal changes that are needed
to enable a 2G/3G network to support
interoperability with LTE?
2. What is the difference between GTPv1-C and
GTPv2-C?
3. Mention one example function that can be
carried out for each of the S3, S4 S12, and Gn
interfaces.

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3 | Initial Session Setup

Chapter 3:
Initial Session Setup

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49

3 | Initial Session Setup

Objectives
After completing this module, you will be able to:
Describe the high-level flow of network
attachment and default bearer setup in LTE
Sketch the UMTS Attach procedure
Explain the options for UMTS PDP Context
Establishment Procedure
Compare and contrast these procedures in LTE
and UMTS
Explain the mapping for QoS

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Chapter References:
[1] 23.401 General Packet Radio Service (GPRS)
enhancements for Evolved Universal Terrestrial Radio
Access Network (E-UTRAN) access
[2] 23.060 General Packet Radio Service (GPRS);
Service description (Stage 2)
[3] 29.274 Tunneling Protocol for Control plane
(GTPv2-C); (Stage 3)
[4] 29.272 Mobility Management Entity (MME) and
Serving GPRS Support Node (SGSN) related
interfaces based on Diameter protocol
[5] 29.060 GPRS Tunneling Protocol (GTP) across the
Gn and Gp interface
[6] 24.301 Non-Access-Stratum (NAS) protocol for
Evolved Packet System (EPS); (Stage 3)

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3 | Initial Session Setup

LTE Attach and Default


Bearer Setup

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51

3 | Initial Session Setup

Goal Establish Default EPS Bearer


MME

Evolved Packet
Core (EPC)
HSS

PCRF
Packet Data
Network
(e.g., IMS)

PDN Gateway
(P-GW)

Serving Gateway
(S-GW)

Default EPS
Bearer

E-UTRAN

UE

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Before looking at the details of intersystem mobility, it is


important to look at two basic goals of a mobile device.
The first is the establishment of a data session in LTE. It is
only when the data session is established that an
intersystem handover will occur. This slide shows the goal
of having a default bearer established. This is not to
preclude a dedicated bearer as well, but at a minimum,
there will be at least one default bearer.

52

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3 | Initial Session Setup

Initial Attach to the Network


S1

LTE-Uu

UE

S11
MME

S5/S8
S-GW

eNB

HSS
P-GW

Network Discovery, Access System


Step 0
Selection and RRC connection established
Step 1

Initial Attach
MME Selection and S1
signaling bearer setup

Step 2

Mutual Authentication and

Security Setup

S-GW and P-GW


selection
Step 3

Default EPS Bearer setup and Attach Completion

Step 4

IP Address Allocation
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Network attachment is principally a registration procedure


where the UE needs to register with the network to receive
services.

Step 3: The always-on IP connectivity for the user of the


EPS is enabled by establishing a Default EPS Bearer
during the Network Attach procedure.

Step 0: After acquiring the LTE signal, the UE monitors the


system information to look for a desired PLMN (Public
Land Mobile Network) ID. The eNB may support one or
more PLMNs (one or more service provider may share the
same radio network of LTE), in which case, the eNB may
broadcast one or more PLMN IDs in the system
information messages. If one of the PLMN IDs is
acceptable to the UE, the UE establishes the signaling
radio bearer, SRB1, between the UE and the eNB.

Step 4: The IP address can be allocated during Default


EPS Bearer setup or it can be allocated after default
bearer setup.

Step 1: It performs the Initial Attach procedure where it


selects a MME and then establishes a S1 signaling bearer
between the eNB and the MME. The next step is
authentication.
Step 2: Authentication in LTE is two-way authentication
called Mutual Authentication, the UE and the network both
authenticate each other. Air interface security is turned on
after successful authentication. Then the S-GW and the PGW are selected.

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53

3 | Initial Session Setup

Step 1: Initial Attach


UE

eNB
RRC Connection Setup Complete
Selected PLMN ID

Possible MME
selection by eNB

Registered MME (if known)

NAS: Attach Request


EPS and UMTS
security
capabilities

NAS key set identifier

If valid security context

Old GUTI or IMSI

May be based on SGSN


assigned P-TMSI

UE Network capability
Last visited registered TAI
ESM: PDN Connectivity Request
NAS MAC

Trigger for default


bearer creation

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The UE initiates the attach procedure by the transmission


of a NAS Attach Request message. The Attach Request
message is carried over an RRC message to the eNB. The
RRC parameters Selected PLMN ID and Registered
MME, if known, are used by the eNB to either select a
new MME or communicate with the MME where the UE is
already registered.
In the Attach Request message, the UE must identify
itself to the core network, and there are a number of
possibilities. The IMSI, the GUTI and/or the P-TMSI may be
used depending on the circumstances. The UE may
possess a Globally Unique Temporary UE (GUTI) if it had
previously registered with an MME. The UE may possess a
P-TMSI if it had previously registered with an SGSN. If the
UE doesnt have a GUTI or P-TMSI, then it will use the IMSI
to identify itself.

Additionally, if the UE possesses a valid GUTI, it will


include the GUTI in the Additional GUTI field (not shown
in the diagram) in the Attach message. If the TIN equals
"GUTI" or "RAT-related TMSI" and the UE possesses a valid
GUTI, the UE includes the GUTI in Old GUTI or IMSI field.
If the UEs TIN is deleted, then the first choice for identity
is GUTI. The second choice is to use the P-TMSI/RAI
mapping if there is no valid GUTI.
NOTE: The mapping between P-TMSI/RAI and GUTI is
specified in 3GPP TS 23.003.

Use of the GUTI or P-TMSI for identification depends on a


UE variable known as the Temporary ID Used in Next
Update, or TIN. If the TIN equals "P-TMSI" and the P-TMSI
and Routing Area Identifier (RAI) that the UE possesses
are valid, the UE will map the P-TMSI/RAI into the Old
GUTI or IMSI field.

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3 | Initial Session Setup

Step 1: Initial Attach (continued)


UE

eNB
RRC Connection Setup Complete
Selected PLMN ID

Possible MME
selection by eNB

Registered MME (if known)

NAS: Attach Request


EPS and UMTS
security
capabilities

NAS key set identifier

If valid security context

Old GUTI or IMSI

May be based on SGSN


assigned P-TMSI

UE Network capability
Last visited registered TAI
ESM: PDN Connectivity Request
NAS MAC

Trigger for default


bearer creation

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The UE may also include the Tracking Area Identity (TAI)


where it was last registered. The UE Network Capability
includes the encryption and integrity algorithms supported
by the UE for both EPS and UMTS. This information can be
useful when a UE does a handover from LTE to UMTS.
If the UE was attached to this or another MME earlier, and
it has a NAS security association with an MME, it will
integrity-protect the ATTACH REQUEST message and
include the key set identifier, KSIASME. If the UE does not
have a KSIASME , the NAS key set identifier value is set to
111 and the message is not integrity-protected. If this is
a new MME, the new MME can use the old GUTI to
obtain the context information for the UE.
The Attach Request message (an EPS Mobility
Management message (EMM)) will include an EPS
Session Management (ESM) PDN Connectivity Request
message to trigger the setup of the default EPS bearer.

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55

3 | Initial Session Setup

Step 2: Authentication and Security


MME

UE

EPS AKA-based Mutual Authentication

HSS

EPS AKA-based
Mutual Authentication

NAS security mode command procedures


Initial Context Request

AS Security
Mode Command
procedure

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Authentication and security setup are optional. However,


if the MME cannot find a security context for the UE, or if
the ATTACH request failed integrity checking or didnt
include an integrity check, then authentication and
security are mandatory.
EPS AKA is the Authentication and Key Agreement
procedure used for the mutual authentication of the UE
and the network. In LTE, encryption is possible for NAS
and RRC signaling messages and user plane traffic over
the radio network. Different encryption algorithm options
are provided for each of these protocol layers. Integrity
protection is done on the NAS and the RRC signaling
messages.

It communicates the selected algorithms to the UE, using


the AS security mode command procedure.
At the end of the authentication and security procedure,
the encryption and integrity protection are enabled on
NAS and RRC.
During the authentication, security keys are created in the
USIM and in the MME. CK and IK are used by the UE as
input to the algorithm that creates the KASME, which is
stored in an EPS security context in the UE and MME. The
KASME key is the root key used to derive keys for EPS
integrity protection and ciphering. Subsequently, if the UE
changes RAT to UMTS or GSM/GPRS, the KASME key will
be used to derive the UMTS and GSM/GPRS security keys.

After successful completion of the authentication


procedure, the MME picks the NAS algorithms based on
the UE capability and the operator preference. It
communicates the selected algorithms to the UE using the
NAS security mode command procedure. The MME
triggers the AS security mode command procedure by
sending a Initial Context Request message to the eNB.
The eNB selects the AS security algorithms based on the
operator preference and the UE capability.

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3 | Initial Session Setup

Subscription Information
Update Location Request
(IMSI, MMEI, PLMN ID, RAT type)
MME

Update Location answer

HSS

(Subscriber data)

PDN type, QoS (QCI,


Subscriber data

APN configurations

Example AMBR), VPLMN


Parameters dynamic address

allocation allowed,
static IP address

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After successful authentication and security procedures,


the MME updates the HSS with the current location of the
UE with the Update Location message. In response to this,
the HSS sends the UEs complete subscription information
to the MME. The subscription information provides
information about each of the services (APNs) for which
the UE is registered. The APN configuration indicates the
PDN type, QoS characteristics like QoS Class Indicator
(QCI), Allocation & Retention Priority (ARP) and Aggregate
Max Bit Rate (AMBR). It specifies the PDN type, whether
IPv4, IPv6, or (IPv4 or IPv6) connectivity may be used. It
indicates if a static or dynamic IP address is allocated to
the UE. It indicates if the UE is allowed to connect to a
Visited P-GW.
For the ATTACH procedure, the UE may send an APN. If
not, the MME will use a Default APN which is identified in
the UEs subscription data.

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3 | Initial Session Setup

PDN Connectivity during ATTACH


UE
IPv4, IPv6
or IPv4v6
IP allocation option

PDN Connectivity Request


PDN Type
PCO

MME
Carried in
Attach Request
message

Activate Default EPS Bearer Context Request

EPS Bearer QoS


A/Gb mode parms

EPS Bearer ID
EPS QoS, APN
PDN Address, PCO
Negotiated QoS
LLC SAPI, Radio Priority,
Packet Flow Identifier
Activate Default EPS Bearer Context Accept

Carried in
Attach Accept
message
Carried in Attach
Complete message

EPS Bearer ID
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During the Attach procedure, the PDN connectivity


procedure is utilized to establish a default EPS bearer for
the default APN identified in the UEs subscription data in
the HSS. The NAS ESM (EPS Session Management)
messages are contained in the NAS messages related to
the Attach procedure.
The key parameters included in the PDN Connectivity
Request message are the PDN type and the Protocol
Configuration Options (PCO). The PDN type indicates if the
UE supports IPv4, IPv6 or both. The PCO (optional)
indicates if the UE desires to obtain an IP address via the
Attach procedure or later using DHCP or other options.
The successful creation of the default bearer is indicated
to the UE using the Activate Default EPS Bearer Context
Request. This message includes key parameters like EPS
bearer identity, EPS QoS, and the APN. It will also carry the
assigned IP address in case of IP address allocation with
Default Bearer creation.

58

If interworking of LTE with GPRS/UMTS is supported by


the UE and the MME, then GPRS/UMTS-related
parameters will be included. Negotiated QoS is the
corresponding R99 PDP context QoS and applies to either
UMTS or GPRS. If the UE only supports A/Gb mode, then
parameters LLC SAPI, Radio Priority and Packet Flow
Indicator are included for use in the GPRS radio
environment in the event of and IRAT handover. The
Logical Link Control Service Access Point Identifier (LLC
SAPI) identifies the SAP used for GPRS data transfer at
the LLC layer. The Packet Flow ID is A BSS related ID for
the PDP context. Radio Priority is the priority level the UE
will use for UL traffic on the corresponding PDP context.
During handover from LTE to UMTS/GPRS, these
parameters will be used to created the corresponding PDP
contexts.
The UE acknowledges the reception of the Activate
Default EPS Bearer Context Request message with the
Activate Default EPS Bearer Context Accept message. This
message is carried in the Attach Complete message.

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3 | Initial Session Setup

P-GW Selection by MME


MME

P-GW
S-GW

P-GW Selection Criteria

S-GW Selection Criteria

APN
Static or dynamic IP address
If roaming, P-GW may be
allowed in the visited network

Topology
Load balancing
Selected P-GW
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After authentication, the HSS sends an Insert Subscriber


Data (IMSI, Subscription Data) message to the new MME.
The Subscription Data contains the list of all APNs that the
UE is permitted to access, an indication about which of
those APNs are the Default APNs. Subscription data also
includes for each APN, if it is allowed to connect to the
visited network P-GW. The MME chooses the P-GW based
on the APN/PDN and on whether the IP address to be
allocated is static or dynamic. Please note that P-GWs in a
network may either support PMIP or GTP. The mobility
mechanism supported by the P-GWs selected play a role
in the selection of the S-GW.

S-GW selection also depends on selected P-GWs. If a


subscriber of a GTP-only network roams into a PMIP-only
network, and he has a mixture of both home P-GW and
visited P-GW in his selected P-GW list, then the MME
should select a S-GW that supports both GTP and PMIPbased mobility.

The S-GW is selected on the bases of network topology. SGW selection can be done such that it reduce the
probability of changing the S-GW. Another selection
criteria could be the load balancing concept. Load
balancing between S-GWs enables the network to ensure
equally loaded S-GWs within an S-GW service areas.

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59

3 | Initial Session Setup

Default EPS Bearer Setup - I


S-GW

MME
EPS bearer ID
UL and DL TFT

IMSI, MSISDN, RAT type

QoS

APN, PDN type, PCO, APN-AMBR

Charging
characteristics

MME GTP-C TEID


Default bearer context
Create session
Req/Res

PDN GW address
EPS bearer ID
S-GW S1-U TEID
Charging ID

P-GW

Create session Request

Create session Response


Default bearer context
IP address
S-GW GTP-C TEID
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After the selection of the S-GW, the next important step is


to create the default EPS bearer. The EPS Bearer has
three portions associated with it, one is the radio bearer
between the UE and the eNB, the second is the S1-U
tunnel between the eNB and the S-GW, and the third is
the S5/S8 tunnel between the S-GW and the P-GW.
During the Attach procedure, a default bearer to a default
APN is created for sure. Other default and dedicated
bearers can also be created.
The MME initiates the bearer creation procedure based
on the subscription information from the HSS. During the
Attach procedure, the GTP-C control tunnels to transfer
signaling messages are also created between the S-GW
and P-GW, and also between the MME and S-GW. One
control tunnel exists per PDN per UE.

3.

Default Radio Bearer.

4.

S1-U Bearer completion.

MME keeps track of all the bearers created for an UE by


bearer identity. MME sends a Create Session to the S-GW.
In this request, MME sends the GTP-C MME tunnel ID,
APN, APN-AMBR, PDN type, PCO, default bearer context
information and optionally other bearer contexts. Each
Bearer context information includes the TFTs, Bearer ID,
TFTs, QoS and Charging characteristics. Next the S-GW
and P-GW create the S5/S8 Default bearer and also S5
control bearer.

The order in which the three portion of the bearers are


created is:
1.

S5/S8 Default bearer, S5 Control bearer.

2.

S11 Control Bearer, S1-U bearer S-GW end point


creation.

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3 | Initial Session Setup

Default EPS Bearer Setup - II


Allocates IP Address

S-GW

P-GW

Create Session request


EPS bearer ID
UL and DL TFT

QoS
Charging characteristics
S-GW S5/S8 GTP-U TEID

P-GW S5/S8 GTP-U TEID

IMSI, MSISDN, RAT Type


APN, APN-AMBR, PDN Type, PC0
S-GW GTP-C TEID
Default bearer context
P-GW address

Create Session response


Bearer context created
PDN Address (IP ADDRESS)
P-GW GTP-C TEID
EPS bearer identity

IP Address
Allocation With
Default Bearer
Set Up

Charging ID

Default
S5/S8 EPS Access Bearer
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The S-GW creates end points for the default bearer and
sends them to the P-GW using the Create Session
Request message. It also sends the UEs PCO parameter.
This is used by the P-GW to decide if it should allocate the
IP address to the UE during the default bearer creation
and if it should allocate IPv4, IPv6 or both IPv4 and IPv6
addresses. In the example covered here, the P-GW is
allocating an IP address to the UE during the default
bearer creation. The P-GW returns a Create Default Bearer
Response message to the S-GW. This message contains
the P-GW tunnel IDs for the default bearer and also the IP
address.
The S-GW replies to MME with the Create Default Bearer
Response. In this response, the S-GW sends the default
bearer tunnel IDs for the default bearer that needs to be
established between the S-GW and the eNodeB. Please
note that the creation of the default bearers between the
S-GW and the eNodeB is co-ordinated by the MME.
A GTP-C tunnel for transferring the signaling messages
between the S-GW and P-GW, is also created here.

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3 | Initial Session Setup

Default EPS Bearer Setup - III


eNB

UE

MME
Initial Context Setup Request

RRC Connection Reconfiguration


EPS radio bearer identity
ATTACH ACCEPT

AS security context info for UE


EPS Bearer Context List (BearerID, ERAB QoS parms, S-GW address and S1U GTP tunnel ID)
Address of S-GW and TEID of S-GW

GUTI and TAI List

ATTACH ACCEPT

Default BC Req (Bearer Contexts, APN,


PDN address)

RRC Connection Reconfiguration


Complete

GUTI and TAI List


Default BC Req (Bearer Contexts, APN,
PDN address)

Attach complete (Default BC Accept)


Default EPS Radio Bearer
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The MME sends an Attach Accept message which


contains the GUTI and TAI list. This also contains the
Default BC Req, which in turn carries all the bearer
context information and the IP address given by the P-GW.
Attach Accept is embedded in the Initial Context Setup
Request S1-AP message. In this message, the MME
indicated to the eNB the radio bearers that need to be
created. Default radio bearer is always created. Along with
it other bearers may also be created. The Bearer context
information in the Initial Context Setup Request message
carries the S1-U S-GW tunnel ID end point for the S1-U
bearer between the S-GW and eNB. eNodeB makes a note
of the S-GW tunnel IDs and forwards the Attach Accept
message to the UE using the RRC connection
reconfiguration message. The eNodeB sends the default
radio bearer-related parameters in the RRC connection
reconfiguration message. The UE now sends the Attach
complete message embedded in the RRC Connection
reconfiguration Complete message to the eNB. This
completes the establishment of the default radio bearer.

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3 | Initial Session Setup

Default EPS Bearer Setup - IV


UE

eNB

MME

S-GW

P-GW

Initial Context Setup Res


Modify Bearer Request
EPS Bearer Context
List (Bearer ID, E-RAB
EPS Bearer Context
QoS parms, eNB
address and S1-U GTP (EPS Bearer ID, S1
eNB address, eNodeB
tunnel ID)
TEID)
Attach complete

Modify Bearer Response


EPS Bearer Context
(EPS Bearer ID)

IP Address Allocation with


Default EPS Bearer Setup
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With the Attach Complete message, the UE starts using


the NAS security algorithm indicated by the MME, i.e., the
Attach Complete message shall be protected by the NAS
security algorithm indicated by the MME. The eNB
forwards the Attach Complete message to the new MME
in an Initial Context Response S1-AP message. This
message includes the TEID of the eNB and the address of
the eNB used for downlink traffic on the S1-U reference
point. After the Attach Accept message and once the UE
has obtained a PDN Address Information, the UE can then
send uplink packets towards the eNB which will then be
tunneled to the S-GW and P-GW. The MME sends a Modify
Bearer Request message with eNodeB address, eNodeB
TEIDs, and EPS bearer IDs to the S-GW. The S-GW
acknowledges by sending a Modify Bearer Response (EPS
Bearer Identity) message to the MME. This completes the
establishment of the default S1-U EPS access bearer.
Thus, now an end-to-end default EPS bearer can be
realized.

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63

3 | Initial Session Setup

Fill-in-the-Blanks Exercise
1. The ___________ selects an MME to achieve load
balancing. {UE, eNodeB, S-GW, P-GW, HSS}
2. The ________ selects the S-GW based on factors such
as UE location and load balancing. {eNodeB, MME, PGW, HSS, PCRF}
3. The P-GW is selected based on _________. {APN, QoS,
RAT Type}
4. The combination of Data Radio Bearer, S1-U Bearer,
and S5/S8 Bearer is called the___________. {SRB,
GTP Tunnel, EPS Bearer, PDP Context}
5. The ________ works with the HSS and the UE to
authenticate the UE. {eNodeB, MME, PCRF}

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3 | Initial Session Setup

UMTS/EDGE PDP
Context Establishment

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3 | Initial Session Setup

PDP Context Bearer Paths in EPC


PDP Context
(S4 SGSN)

HSS/HLR

MME

S-GW
P-GW
SGSN

Packet Data
Network
(e.g., IMS)

GGSN

UTRAN/GERAN

UE

PDP Context
(Gn SGSN)

PDP Context
Legacy UE

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The second operation that a mobile will need to be able to


perform is a PDP context establishment when it is in
GSM/GPRS or UMTS coverage. There are two options
here. First, either the SGSN supports the S4 interface and
the connection will go from the SGSN to the S-GW to the PGW. Though not shown in the slide, the connection could
bypass the SGSN and connect from the UTRAN or GERAN
to the S-GW to the P-GW.
Secondly, the SGSN only supports the Gn interface. In that
case, the SGSN connects directly to the P-GW via the Gn
interface.

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3 | Initial Session Setup

PDP Context Establishment


UE

Node B/BTS

SGSN

RNC/BSC

MME/S-GW
or P-GW

HSS/
HLR

Network Discovery, Access System


Selection AND Connection Established

Step 1

Step 2

Initial Attach

Authentication
S-GW or P-GW
Selection

Step 3

PDP Context Establishment

Step 4

IP Address Allocation

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Network attachment is basically a registration procedure


where the UE needs to register with the network to receive
services. After the UE has acquired the network and has
established a signaling radio bearer, it performs an initial
attach procedure with the SGSN. The next step is
authentication. Authentication in UMTS is a two-way
authentication. The UE and network both authenticate
each other, but it is only one-way in GSM/GPRS. After the
attach procedure is complete, the UE will perform an
Activate PDP Context procedure. The GGSN or P-GW is
selected. The IP address can be allocated during PDP
Context set up or it can be allocated after a default bearer
set up.

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67

3 | Initial Session Setup

Authentication and Security


UE

eNB

RNC or BSC

UMTS AKA-Based Mutual Authentication

or
GERAN AKA-Based Authentication of MS

SGSN

HLR or HSS

Retrieve UMTS
Authentication Vector

Retrieve GERAN
Authentication Triplet

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Authentication basically ensures that the user is


authorized to use the particular network services. UMTS
AKA is the authentication and key agreement procedure
used for the mutual authentication of the UMTS UE and
the UMTS network. GSM also has its own AKA, but it is
much simpler.
In GSM and UMTS, encryption is possible for NAS, Radio
Resource signalling, and user plane traffic over the radio
network. Integrity protection is done on the NAS and the
radio signalling messages. At the end of the
authentication and security procedure, the encryption and
integrity protection would be enabled on NAS and radio
related signalling.

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3 | Initial Session Setup

PDP Context Setup


UE

Activate PDP Context Request

SGSN

APN
PDN type
PCO

Activate PDP Context Accept


IP Address
PCO

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The PDP context procedure is used by the UE to trigger the


creation of data bearer to a service network. The key
parameters included in the PDP context activation
procedure are PDN type, APN and Protocol Configuration
Options (PCO). PDN type indicates if the PDP context is
initiated during the handover procedure. In such cases,
the P-GWs selection procedure wont be triggered.
Instead, the P-GW that were used for the UE earlier, would
continued to be used. APN indicates the APN for which the
UE wants a default bearer to be established. PCO
indicates if the UE is requesting for a IPv4 or IPv6.
The SGSN takes care of the signaling to establish Gn
bearer, Gb bearer and Radio bearer for the end-to-end
PDP context creation. The successful creation of the PDP
context is indicated to the UE using the Activate PDP
Context Accept message. This message includes a few key
parameters like IP Address, Negotiated QoS and APN.

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69

3 | Initial Session Setup

IP Anchor Selection by SGSN


Select a P-GW
based on APN

Option 1
S4 SGSN

P-GW

Step 1
S4 SGSN

Step 2

S-GW

Select an S-GW
based on topology

Select a GGSN
based on APN

Option 2
Gn SGSN

One Step only


Gn SGSN

P-GW/GGSN
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Upon receipt of the Activation PDP Context Request


message, the SGSN will need to select the appropriate
GGSN , P-GW, or MME/S-GW. Subscription data also
includes for each APN if it is allowed to connect to the
visited network P-GW. Based on the mobile capabilities,
the APN selected by the mobile and the network
configuration the SGSN will select the appropriate
destination node.
The MME/S-GW is selected on the basis of network
topology, i.e., is this an S4 SGSN or a Gn SGSN. MME/SGW selection can be done such that it reduce the
probability of changing the S-GW. Another selection
criteria could be load balancing concept. Load balancing
between S-GWs enables the network to ensure equally
loaded S-GWs within an S-GWs service area.
In the case of a Gn SGSN, the selection of P-GWs is
performed.

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3 | Initial Session Setup

Establish PDP Context: S4 SGSN - I


PDN

2. S-GW and
P-GW selection.
Maps NSAPI to
EPS Bearer1.

P-GW

3G PS-CN
MME

LTE Core

SGSN
1. PDP Context
Activation
(NSAPI, QOS,
APN)

4. Create Session
Request (IMSI,
bearer context,
PDN GW address)

S-GW

E-UTRAN

3G UTRAN

eNodeB

Node B

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Calls are anchored at the S-GW for LTE interworking with


Release 8 UMTS and GPRS.
1.

In UMTS or GPRS, the mobile performs PDP Context


activation to create an IP session and obtain an IP
address. PDP Context activation is handled differently
in a Release 8 UMTS/GPRS network. The changes
are transparent to the mobile.

2.

SGSN functionality includes choosing the Serving


Gateway (S-GW) and P-GW. It selects an S-GW and PGW just like an MME. It maps the NSAPI IDs to the
EPS bearer ID.

3.

After selecting the GWs, it initiates a GTPv2-C Create


Session Request to the S-GW. This creates the
default bearer towards the APN. SGSN uses the GTPC protocol over the S4 interface to talk to the S-GW.
In this request, the SGSN sends the GTP-C tunnel ID,
APN, APN-AMBR, PDN type, PCO, default bearer
context information and optionally other bearer
contexts. All bearer context information includes the
TFTs, EPS Bearer ID, QoS and charging
characteristics.

4.

The S-GW in turn forwards the message to the P-GW


and establishes a GTP tunnel for the default EPS
bearer.

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3 | Initial Session Setup

PDP Context Establish: S4 SGSN - II


PDN

3G PS-CN

7. PDP
Context
Activation
Accept (IP
address)

MME

LTE
Core

SGSN

P-GW
5. Create Session
Response (bearer
context
IP address)

S-GW
RNC

3G
UTRAN
Node B

E-UTRAN
Direct
tunnel

eNodeB

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5.

The P-GW establishes a context for the UE and


assigns an IP address and replies to the S-GW.

6.

The S-GW forwards the IP address to the SGSN. At


this point GTP-U tunnels have been set up between SGW and both the P-GW and SGSN.

7.

The SGSN forwards the IP addresses to the mobile in


the PDP Context Activation Accept message.

The S-GW acts like a proxy GGSN here. The MME is not
involved during anchoring of calls at the LTE core, for
GPRS and UMTS access. However, the MME would be
involved during handovers between UMTS/GPRS and LTE.
Calls are anchored at the S-GW for LTE interworking with
Release 8 UMTS and GPRS.

The SGSN decides when to establish a direct tunnel and


sets up the tunnel between SRNC and GGSN. SGSN
provides the RAN, the tunnel ID and the address of the
GGSN. The SGSN provides the GGSN, the tunnel ID and
the address of the RAN.
The direct tunnel feature is supported in UMTS release 8
as well. The only difference is that the direct tunnel is
created between the RNC in the UTRAN and the S-GW.
The SGSN coordinates and sets up the tunnel between
the UTRAN and the S-GW.

Direct Tunnel: First, lets understand the one tunnel


solution in the UMTS pre-release 8 architecture. The one
tunnel solution enables a direct user plane tunnel
between SRNC (in the UTRAN) and the GGSN within the
PS domain. The direct GTP tunnel between the SRNC and
GGSN further reduces the latency in the user plane to
enable services like VoIP, thereby providing a very costeffective alternative to voice calls over the PS domain.

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3 | Initial Session Setup

PDP Context Gn SGSN Option


P-GW

SGSN
Create PDP Context Request
Create PDP Context Response

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In the case of the Gn SGSN option, the SGSN will use the
Create PDP Context Request message to connect directly
to the P-GW.

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3 | Initial Session Setup

Mapping of Bearer Contexts


LTE: EPS Bearer

1 -1

GPRS: PDP Context

EPS Bearer ID

NSAPI

Default Bearer

Primary PDP Context

Dedicated Bearer

Secondary PDP Context

Linked EPS Bearer Identity

NSAPI of Default

Default EPS Bearers PDN


Addr, APN, TFT

Default PDP Contexts PDP


Addr, APN, TFT

EPS QoS

UMTS QoS

Mapping done by P-GW, S4-SGSN, MME and UE


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From a core network perspective, there is only a key issue


when moving between LTE and UMTS/GPRS. In LTE, the
term for a data connection is an EPS Bearer. There are
two types of bearers, a Default EPS Bearer or a Dedicated
Bearer. In UMTS and GPRS, the term for a data session
that is used is a PDP Context. There is one-to-one mapping
of the EPS bearers to PDP Contexts.
As a part of the subscription information, the SGSN
receives a default bearer QoS for a Packet Data Network
(PDN) connectivity. The SGSN uses this information and
forces the default bearer QoS on the first PDP Context
activated towards that PDN. This primary PDP Context will
be mapped to the default EPS bearer during the handover
procedure to LTE.
If the SGSN doesnt have information about the default
bearer QoS, it will allow the first PDP Context QoS to be of
the type requested by the network or the UE. It will not
enforce a default type of QoS on it. If the subscriber has
established a Secondary PDP Context, that will be mapped
to a dedicated EPS bearer.

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3 | Initial Session Setup

Mapping of QoS Profiles


LTE QoS Profile

Pre-rel 8 QoS Profile

QCI 1
QCI 2,3
QCI 4
QCI 5, 6, 7, 8
QCI 9

Conversation class
Conversation class/transfer delay
Streaming class
Interactive class (Pri=1,1,2,3)
Background

ARP value 1 to 15
(split into 3 ranges)
Bottom of range

ARP 1,2 or 3

APN-AMBR

MBR (interactive, background)

GBR, MBR

GBR, MBR
(conversational or streaming class)

Packet delay budget


Packet loss rate

Transfer delay
SDU error ratio

ARP 1,2 or 3

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Guidelines on how to map UMTS QoS and LTE QoS are


shown in this table. LTE QCI values 1, 2 and 3 are mapped
to the UMTS conversational class. LTE QCI value 4 is
mapped to the UMTS streaming class. LTE QCI values 5,
6, 7 and 8 are mapped to the UMTS interactive class. LTE
QCI value 9 is mapped to the UMTS background class. A
range of LTE ARPs are mapped to a pre-rel-8 ARP value.
GBR and MBR of LTE EPS bearers are directly mapped to
GBR and MBR of pre-release8 QoS. The interactive
bearers that are mapped to non-GBR EPS bearers, the
pre-rel-8 GBR and MBR can be saved in the MME. This
saved values could be used while handing over again to
UMTS/GPRS. Pre-release 8 transfer delay and SDU error
ratios are derived from the LTE packet delay budget and
packet loss rate.
Note: One way arrows in the slide mean the mapping is in
that direction only.
Source: 23.401, 24.301 and 23.060

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3 | Initial Session Setup

Summary
The LTE attach procedure includes three major
steps: Initial Attach/Default Bearer Setup,
Authentication and IP Address Allocation.
The GPRS and UMTS attach procedure includes
two major steps: Initial Attach and PDP Context
Activation.
PDP Context Activation for GPRS and UMTS
includes the establishment of network resources
and IP address allocation.
The connection path for GPRS and UMTS will vary
based on the SGSN options implemented.
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3 | Initial Session Setup

Review Questions
1. The SGSN always chooses an S-GW to anchor the
session. (T/F)
2. The UMTS Attach procedure is equivalent to the
LTE PDP Context Activation Procedure. (T/F)
3. How does the UE identify itself in the LTE Attach
message?
4. What is the LTE equivalent of the UMTS
Secondary PDP Context?
5. Which LTE QCI is mapped to the UMTS
background class?
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3 | Initial Session Setup

Additional Material

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3 | Initial Session Setup

RAB QoS in UMTS/GERAN


Traffic class

Conversational Streaming class


class

Maximum bit rate (kbps)

16 000 (2) (7)

16 000 (2) (7)

Delivery order
Maximum SDU size (octets)

Yes/No
<=1 500 or 1
502
(5)
Yes/No/5*10-2, 10-2,
5*10-3, 10-3,
10-4, 10-5, 10-6
10-2, 7*10-3, 103, 10-4, 10-5
80 max value
<= 16 000

Yes/No
<=1 500 or 1 502

SDU format information


Delivery of erroneous SDUs
Residual BER

SDU error ratio

Interactive
class

Background
class

16000 overhead
Yes/No
<=1 500 or 1
502

16000
overhead
Yes/No
<=1 500 or 1
502

(5)
Yes/No/Yes/No/Yes/No/5*10-2, 10-2,
4*10-3, 10-5,
4*10-3, 10-5,
5*10-3, 10-3, 10-4,
6*10-8
6*10-8
10-5, 10-6
10-1, 10-2, 7*10-3, 10-3, 10-4, 10-6 10-3, 10-4, 10-6
10-3, 10-4, 10-5
250 max value
<= 16 000
1,2,3
1,2, ..., 15
1,2, ..., 15
1,2, ..., 15

Transfer delay (ms)


Guaranteed bit rate (kbps)
Traffic handling priority
Allocation/Retention
1,2, ..., 15
priority (1)
Source statistic descriptor Speech/unknown Speech/unknown
Signaling Indication
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Yes/No
REF: 3GPP TS 23.203

The QoS attributes associated with a radio access bearer


in UMTS/GERAN are shown in this table from TS 23.203.

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3 | Initial Session Setup

EPS QoS Parameters


QCI
ARP
Non-GBR

GBR Bearers
GBR
MBR

AMBR

S-GW

P-GW

EPS Bearer
QCI: QoS Class Indicator
ARP: Allocation and Retention Priority
GBR: Guaranteed Bit Rate
MBR: Maximum Bit Rate
AMBR: Aggregate Max Bit Rate
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The key QoS parameters associated with a service data


flow are shown in this figure.
1.

2.

80

A QoS Class Identifier (QCI): Defines the general


class of the service. There are currently nine defined.
A QCI is associated with a priority, specific delay and
packet loss values and whether the service has a
guaranteed bit rate. These characteristics will be
used by the EPS nodes (eNB, S-GW, P-GW) to guide
them in deciding how a particular service data flow is
to be processed. QCI determines such things as
resource scheduling, rate shaping, and queue
management and also maps to a specific DSCP for IP
forwarding through the GTP tunnels. At the eNB, QCI
will also be be used to determine RLC configuration.

3.

Allocation and Retention Priority (ARP): This


parameter will be used in congestion situations when
not all users and their services can be
accommodated. The ARP will be used by the
admission control function in the eNB.

For example, a user may subscribe to a service such as


Real Time Gaming. In EPS, Real Time Gaming is defined
as a specific class of service with a defined QCI value and
associated parameter values for packet delay etc. Real
Time Gaming is a GBR service and will therefore be
assigned a guaranteed and maximum bit rate when the
user subscribes. These bit rates may depend on the type
of game in question.

Bearer Type: For GBR bearers, both guaranteed bit


rate (GBR) and maximum bit rate (MBR) are
specified. GBR indicates the data rate that is always
supported on the bearer while MBR puts a limit on
the higher side. For Non-GBR bearers, the aggregate
maximum bit rate (AMBR) parameter will be
specified. AMBR indicates the maximum bit rate that
can be shared across multiple bearers.

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3 | Initial Session Setup

QoS Classes in EPS


Bearer
Type

Packet
Delay

Packet
Loss

Priority

Conversational VoIP

100 ms

10-2

Conversational Video
(Live Streaming)

150 ms

10-3

Non-Conversational Video
(Buffered Streaming)

300 ms

10-6

Real Time Gaming

50 ms

10-3

IMS Signaling

100 ms

10-6

Voice, Video, Interactive


Games

100 ms

10-3

Video (Buffered Streaming)


TCP apps (Web, email, ftp)
Platinum vs. gold user

300 ms

10-6

QCI
1
2

GBR

NON-GBR
7
8
9

Application Example

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The QoS attributes associated with the QoS Class Indices


are shown in the slide.

Service data flows with QCIs of GBR bearer type will


be associated with a Guaranteed Bit Rate parameter,
and a Maximum Bit Rate parameter. The GBR
parameter in particular will used in the admission
control function in the eNB.

Each QCI value has a priority which will be used by


EPS traffic nodes during congestion. If packet queues
are close to overflow then SDFs with lower priority
that others (Priority 9 is the lowest) will have their
packets discarded first. Note that IMS Signaling
packets have the highest priority while QCI 9 is
equivalent to best effort service. Prioritization of SDF
aggregates of the same user will use this value and it
should also be used in the prioritization across users
though the PDB will play a greater role in the
scheduling of one users traffic over another.

The packet delay budget (PDB) associated with an


SDF will be one of the inputs used by the scheduler in
the eNB in determining when to deliver packets of the

8
9

REF: 3GPP TS 23.203

SDF. The PDB values given in the table are a measure


of the maximum time allowed for packet delivery from
P-GW to UE. The eNB can assume that on average,
the delay from P-GW to eNB is 20ms and from this
calculate the maximum over the air delay budget.

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3 | Initial Session Setup

QoS Classes in EPS (continued)


Bearer
Type

Packet
Delay

Packet
Loss

Priority

Conversational VoIP

100 ms

10-2

Conversational Video
(Live Streaming)

150 ms

10-3

Non-Conversational Video
(Buffered Streaming)

300 ms

10-6

Real Time Gaming

50 ms

10-3

IMS Signaling

100 ms

10-6

Voice, Video, Interactive


Games

100 ms

10-3

Video (Buffered Streaming)


TCP apps (Web, email, ftp)
Platinum vs. gold user

300 ms

10-6

QCI
1
2

GBR

NON-GBR
7
8
9

Application Example

8
9

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The packet loss rate (PLR) from the P-GW to eNB is


assumed to be zero in non-congestion situations. The
PLR in the table refers to non-congestion related
packet losses over-the-air. eNB uses this information
to decide upon radio bearer setup for a particular
SDF; e.g., RLC AM or UM, modulation and coding
parameters.

QCIs 7, 8 and 9 may be used for differentiation on


service or subscriber basis. For example QCI 7 and 8
could map to premium and gold users while QCI 9 is
used for all other best effort services

Note that the QoS parameter AMBR may be used to


distinguish between two users or groups of users that
are both assigned QCI=9 for their services.

REF: 3GPP TS 23.203

system. For example QCI #1 maps to the IETF DSCP for


Telephony media (EF), and QCI #5 maps to IETF DSCP for
IP Telephony Signaling (CS5).

The QCI values are somewhat akin to IETF Differentiated


Services Code Point (DSCP) values. There is a
recommended mapping between them which can be used
by the EPS nodes to determine what DSCP values to use
in forwarding traffic through the GTP tunnels in the

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4 | Connected-Mode Interworking

Chapter 4:
Connected-Mode
Interworking
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4 | Connected-Mode Interworking

Objectives
After completing this module, you will be able to:
Describe the different phases in a connected-mode interRAT handover
Explain the measurement procedure as it applies to interRAT handover
List the measurement events for E-UTRAN, UTRAN and
GERAN
Examine detailed call flows for the inter-RAT procedures
between LTE UMTS/GPRS
Indicate the QoS mapping principles for inter-RAT
scenarios across 3GPP-based networks

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Chapter References:
[1] 3GPP TS 44.018 V8.6.0 (RRC)
[2] 3GPP TS 23.003 V8.4.0 (Numbering, Addressing and
Identification)
[3] 3GPP TS 23.401 V8.4.1 (GPRS Enhancements for EUTRAN Access)
[4] 3GPP TS 25.331 V8.6.0 (RRC)
[5] 3GPP TS 36.133 V8.5.0 (Requirements for RRM)
[6] 3GPP TS 25.133 V8.6.0 (Requirements for RRM)
[7] 3GPP TS 45.008 V8.2.0 (RAN Radio Link Control)
[8] 3GPP TS 24.301 V8.0.0 (UE-NAS Signaling)
[9] 3GPP TS 36.413 V8.4.0 (S1-AP)
[10] 3GPP TS 23.060 V8.4.0 (GPRS Service Description)
[11] 3GPP TS 36.300
Description)

84

V8.8.0

(E-UTRAN

Overall

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4 | Connected-Mode Interworking

IRAT Handover Phases


Intra Technology Monitoring
Trigger for IRAT Monitoring
IRAT Measurement and
Event Evaluation
IRAT Event Reporting
IRAT Handover
Decision

HO Preparation
HO Execution
HO Completion
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Handover is used in cellular mobile systems to maintain


connections as MSs move between the coverage areas of
different base stations. To facilitate the handover process,
the mobile and network monitor the transmission
conditions in the current cell as well as surrounding cells
in order to keep the mobile connected to the most
suitable cell. The monitoring process typically begins in the
current radio technology only. In this description, we
assume that the initial radio technology is the preferred
technology. The mobile will always measure the signal
strength of the current cell and may be instructed to
measure intra-technology neighbors if the signal strength
of the current serving cell(s) falls below a threshold.
If the serving cell(s) signal strength continues to fall, it may
be necessary to consider moving the mobile to an
alternative radio technology where better service can be
found. In order to facilitate an inter radio access
technology handover, measurements on different
frequencies will need to be performed. The mobile will
typically need to be allocated time periods, sometimes
called gaps, during which the communication with the
serving cell is suspended in order to allow the mobile to

tune to the frequencies of the alternative radio


technology, perform measurements and then retune to
the serving cells frequency.
The mobile continues to measure the current serving
technology cells but in addition is now measuring a
second technology and perhaps even a third. It may also
be measuring other frequencies in the current technology.
The mobile evaluates the measurements of all
technologies to determine if certain network configured
events have transpired, and if required to report its
findings on a regular basis. The mobiles reports are used
by the current serving cell to facilitate its decision making
responsibilities regarding the supervision of the mobiles
connections.
When the IRAT HO decision is made by the current serving
cell, the actual handover process is begun. As with intratechnology handovers the process can be divided into
three phases, namely, preparation, execution and
completion. Note that depending on the capabilities of the
devices, the network components and the radio
technologies involved, the complexity of these three
phases may vary.

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4 | Connected-Mode Interworking

Generic Measurement Process


3. Perform measurements
on serving system,
IRATs if needed

IRAT1 Neighbor

1. Ongoing assessment of
mobiles measurement
requirements

Serving
RAN

Mobile
Device

Handover decisions
are based on reports
IRAT2 Neighbor
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When the UE/MS has a connection established, the


serving system continually assesses the need to measure
neighbors in the serving system as well as other IRATs the
UE may be capable of accessing.
The serving system sends measurement control
messages to the mobile, informing it of the sets of cells,
frequencies and technologies to be monitored, and the
criteria to be used for measuring and reporting channel
strength and quality. The mobile then monitors the
designated cells as it moves through the network. When
any of the specified reporting criteria is met, the mobile
sends the results to the network in a measurement report
message. Reports may be periodic or event based. If the
measurement report indicates, for example, that a
neighboring cell is better than the current serving cell, the
serving system may request that the mobile hand over to
the new cell.

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4 | Connected-Mode Interworking

LTE Measurement
Procedure

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4 | Connected-Mode Interworking

Measurement Configuration in LTE


RRC Connection Reconfiguration

eNB

Measurement Configuration
UE

Measurement Objects: UTRA: set of cells on one carrier


GERAN: set of frequencies

Which neighbors
to measure

Reporting Configurations: Event, periods definition


Measurement identities: Reference number
Quantity Configurations: How to measure including
L3 filtering definition
Measurement Gaps: When to use silent gaps
s-Measure: Threshold to control all measurements
speedStatePars: Used to scale TTT parameter

Defines reporting
criteria
e.g., Use filtered
Ec/N0 for UTRA
Time periods to
measure other
frequencies

Multiple Objects may be configured in a single RRC message


Objects can be added, modified or removed from the UEs configuration
Up to 32 Measurements Objects may be configured
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The RRC Connection Reconfiguration message in LTE


plays many roles. The parameters in this message
determine its purpose. In this case, it is used to set up
measurement parameters in the UE and is equivalent to
the UMTS message RRC Measurement Control. The same
message is used to configure measurement of LTE and/or
IRAT neighbors as well as measurement gaps.

88

Measurement Objects: This is a list of objects that the


UE should measure. Each object has a unique ID. For
UTRA, an object is a specified set of cells on a specific
W-CDMA carrier. The cells are identified by their
scrambling codes. Cells not in this list are detected
cells and the UE may also be asked to measure for
the purposes of SON. For GERAN, an object is a
specified set of carrier (BCCH) frequencies.

event triggered then the event will be identified, in the


case of IRAT, as either B1 or B2. The triggering
quantity (e.g., RSRP, RSRQ, EcN0, etc) is defined. The
report quantity is only defined here in the case of LTE
neighbors and may be the same as the triggering
quantity, or both RSRP and RSRQ.

Measurement Identity: A reference number that links


a specific Measurement Object to a specific Reporting
Configuration.

Quantity Configuration: For IRAT, this specifies the


quantity to be measured and reported (e.g., either
Ec/N0 or RSCP for UTRA) and the Layer 3 filtering
parameter. For LTE measurements, it specifies only
the L3 filtering parameter.

Reporting Configurations: This is also a list with each


item defining how a measurement report message
from the UE is triggered. Each configuration has a
unique ID. A specific report configuration is either
event triggered or periodical. If the trigger is periodical
then the reporting interval and number of reports
(reportAmount) are also specified. If the report is

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4 | Connected-Mode Interworking

Measurement Configuration in LTE


(continued)
RRC Connection Reconfiguration

eNB

Measurement Configuration
UE

Measurement Objects: UTRA: set of cells on one carrier


GERAN: set of frequencies

Which neighbors
to measure

Reporting Configurations: Event, periods definition


Measurement identities: Reference number
Quantity Configurations: How to measure including
L3 filtering definition
Measurement Gaps: When to use silent gaps
s-Measure: Threshold to control all measurements
speedStatePars: Used to scale TTT parameter

Defines reporting
criteria
e.g., Use filtered
Ec/N0 for UTRA
Time periods to
measure other
frequencies

Multiple Objects may be configured in a single RRC message


Objects can be added, modified or removed from the UEs configuration
Up to 32 Measurements Objects may be configured
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Measurement Gaps: Information about the periods


during which the UE does not transmit or receive data
and instead measures the other radio access
technology environment. The duration of the gap and
interval between successive gaps is defined.

s-Measure: If the serving cell quality is better than


this threshold, the UE is not required to perform
measurements on any type of neighbor.

speedStatePars: The UE may be configured to


estimate its speed by taking a measuring handover
frequency. The time-to-trigger parameter may be
scaled according to medium or high speed.

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4 | Connected-Mode Interworking

Measurement Reports in LTE


Measurement Report
UE

Measurement Results
eNB

Measurement ID
Results for Serving Cell (RSRP and RSRQ)
Result for UTRA (Frequency X, list of cells)
For each cell:

Report
What either
to
contains
Measure
UTRA
or GERAN
cells

Scrambling Code, Global Cell ID


RSCP or Ec/N0
Results for GERA (set of frequencies)
For each cell:
Carrier Frequency, BSIC, Global Cell ID
RSSI

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The inter-RAT-related measurement results are carried


from the UE to E-UTRAN in the RRC message
Measurement Report. The main content of this message
relevant to 3GPP interworking are:

Measurement ID: UE will identify the measurement


with a measurement ID, which is simply a linking
between a measurement object and a reporting
configuration. The purpose of this ID is to avoid
ambiguities about what is measured and reported.

Measurement Results for Serving Cell: The UE will


include the signal strength (RSRP) and signal quality
(RSRQ) of its serving cell in LTE.

Measurement Result for UTRA cell(s): If this report is


for a UMTS frequency, the UE will report the
scrambling codes of the UMTS cells as well as the
Global Cell ID for the UMTS cell which uniquely
identifies the cell with PLMN-ID and Location/Routing
area code. For each cell, the UE will append the
CPICH_RSCP value (96 values corresponding to dBm)
and the signal to noise ratio Ec/I0 (50 values in dB).

90

Measurement Results in GERA: GSM/GPRS


measurement results are reported for cells with
carrier frequency (C0, or BCCH carrier) and the BSIC
(Base Station Identity Code) which together, uniquely
identify the cell in GSM.

Global Cell ID: For GERAN this is the Cell Global ID,
CGI= PLMN-Id + Location area code + cell-id (16 bits).

The signal strength is given as RSSI (Rxlev, coded


using 64 levels).

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4 | Connected-Mode Interworking

Types of Measurements in LTE


Measurements

Non-Gap-Assisted
(for intrafrequency cells)

Gap-Assisted
(inter-frequency cells
and IRAT)

Measurement is Gap Assisted or Non-Gap


Assisted, depending on:
Inter-RAT
UE Capability
LTE and IRAT band configurations (e.g.
adjacent UL LTE and DL UMTS channels)
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Measurements may be either gap-assisted or non-gapassisted. During a gap-assisted measurement, the


network ensures that the UE will not send or receive any
information during the measurement (a gap in the
transmission). This is especially useful for inter-frequency
and inter-RAT measurements, where the UE must tune
briefly to another channel to take the measurement. For
intra-frequency measurements, the UE may continue to
send and receive information while taking the
measurement, since no retuning is required (non-gapassisted).

inter_RAT_Need_For_Gaps which indicates the need for


measurement gaps for each pair of E-UTRA and IRAT
bands. This will be used by eNB in determining whether to
configure measurements gaps for a UE.

The need for gap-assisted measurements depends on the


physical capabilities of the UE. In particular, if the UE has
a GSM receiver, a UMTS receiver and an LTE receiver,
then it may be able to measure other RATs and yet
continue to send and receive data on the current LTE
frequency. However if the current LTE UL frequency and
the measured RAT frequency are adjacent, the
interference produced may invalidate the measurements.
Hence there may still be a need for a measurement gap
even if the UE has multiple receivers. The UE
capabilities
information
includes
a
parameter

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4 | Connected-Mode Interworking

Measurement Gaps
Start Subframe
Number

Gap Repetition
Period

Transmission
Gap

Gaps used by UE to measure other frequencies/IRATs


Measurement Gap Repetition Period (MGRP) = 40 or 80 ms
Measurement Gap Length (MGL) = 6 ms
Gap Offset = 0..MGRP-1

RRC configuration:
Gap Offset determines starting Frame and SF
Gap Pattern determines the repetition period.
Two patterns defined in R8
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If the UE has been configured to use gap-assisted


measurements, the eNodeB will inform the UE when to
start the transmission gaps, how often they occur, and
how long they last (the gap pattern). During each gap, the
UE will not receive any information on the downlink, and
will not send anything on the uplink. A gap will last at least
one subframe (1 ms), and overrides any other
transmission requirement, such as HARQ retransmissions.
The UE is assigned one gap pattern, and will continue the
pattern until the connection is reconfigured or the UE goes
idle.

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4 | Connected-Mode Interworking

LTE Measurement Events


Event A1 Serving becomes better than absolute threshold
Event A2 Serving becomes worse than absolute threshold
Event A3 Neighbor becomes amount of offset better than serving
Event A4 Neighbor becomes better than absolute threshold
Event A5 Serving becomes worse than absolute threshold1 AND
Neighbor becomes better than absolute threshold2

Event B1 Inter-RAT neighbor becomes better than threshold


Event B2 Serving becomes worse than threshold1 and inter-RAT
neighbor becomes better than threshold2

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Several events have been defined in LTE for sending a


measurement report.
The events which are relevant to Inter-RAT handover are:

Intra-Frequency events:

Event A1: Serving becomes better than absolute


threshold. May be used to stop IRAT
measurements.

Event A2: Serving becomes worse than absolute


threshold. May be used to start IRAT
measurements.

Inter-Frequency/IRAT events:

Event B1: Inter-RAT neighbor becomes better


than threshold.

Event B2: Serving becomes worse than


threshold1 and inter-RAT neighbor becomes
better than threshold2.

Events B1 or B2, if reported to the eNB, may result in a


handover to another RAT.

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4 | Connected-Mode Interworking

Signal
RSRP or RSRQ

Trigger for IRAT Monitoring


Event A2
LTE
Serving cell

Used to start looking for IRAT,


or other frequency neighbors
(similar to event 2d in UMTS)

A2 threshold
hyst
Time-to-Trigger

Measurement Report
for event A2 is sent

Time

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Reporting events A2 and A1 may be used as triggers to


start and stop measurements of IRAT or IF (InterFrequency) neighbors. Event A2 is shown in the diagram.
The threshold, hysteresis and time-to-trigger parameters
are delivered to the UE in an RRC Connection
Reconfiguration message containing Measurement
Control IEs. The actual measurements may be based on
RSRP or RSRQ.
If the signal measurement drops below the (Threshold
Hysteresis) level for a time-to-trigger period, the UE will
send a Measurement Report indicating that an event A2
has occurred. At this point the eNB will normally configure
measurement gaps and an IRAT neighbor list for the UE to
measure.
If the signal measurement becomes equal to or better
than the event A1 (Threshold + Hysteresis) for a time-totrigger period, an event A1 Measurement Report will be
sent to the eNB.

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4 | Connected-Mode Interworking

LTE IRAT Measurement B Events


Signal

Ms

LTE
Serving cell

[dB],[dBm]

IRAT
Neighbor cell

Mn+Ofn
Mn
Thresh 2

=Hysteresis
Thresh 1

Time-to-Trigger
(speed dependent)
UE sends MR

Time

Event B2:
(Ms+Hys < Thresh1) AND (Mn+Ofn-Hys > Thresh 2)
(Shown Above)
Event B1:

(Mn+Ofn-Hys > Thresh 2)


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There are two events defined for inter-RAT measurement


reporting in LTE, events B1 and B2.
Event B1 is the simpler of the two and is satisfied when an
inter-RAT neighbor becomes better than an absolute
threshold after taking offset and hysteresis values into
account. This can be seen in the diagram if we ignore the
Ms (Serving cell measurement) line and only look at the
Mn (Neighbor cell measurement) and Mn+Ofn (Offset for
neighbor-dashed) lines. The second inequality, Mn+OfnHys>Thresh, defines the condition for satisfying B1. Event
B1 is simply a comparison of the neighbor IRAT cell with
the absolute threshold which can be adjusted by a
constant hysteresis (), and a frequency dependent offset
value for the neighbor, Ofn. The threshold is given in dBm
or dB values depending on the quantity measured Mn.
The reporting event is triggered when the condition,
Mn+Ofn-Hys > Thresh, is satisfied for all measurements
taken during a TTT (time-to-trigger) period.

Mn+Ofn>Thresh2+Hys for all measurements taken during


a TTT (time-to-trigger) period. Note that a common
Hysteresis value is used for both thresholds, but the offset
value Ofn, for neighbor n, is specific to the frequency used
by the IRAT neighbor.
The availability of B1 and B2 events, in addition to A event
give flexibility for optimizing IRAT procedures for different
environments.
For example, the simpler event B1 may be more often
used at the periphery of the LTE coverage where we
expect the LTE cells to deteriorate rapidly as the UE moves
outside their coverage area into another RAT such as
GSM. As in the idle-mode case, the value of Time-toTrigger parameter can be scaled according to the speed
(in reality, rate of cell change) of the UE.

Event B2 is an extension of event B1, where the UE also


takes the signal strength/quality of the serving LTE cell
into account. In this case, the reporting condition is
satisfied
when
Ms+Hys<Thresh1
AND

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4 | Connected-Mode Interworking

UMTS Measurement
Procedure

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4 | Connected-Mode Interworking

IRAT Measurement in UMTS


UE

SRNC

Measurement Control
Measurement ID
Measurement Command
Reporting Mode
Measurement Type
Inter-RAT
IRAT Reporting Criteria: Event, Time-to-Trigger, Thresholds
E-UTRA frequency list: Carrier freq, Bandwidth, Cell-IDs
IRAT measurement quantity: RSRP, RSRQ or Both

Measurement Report
Measurement ID
Event results
Event ID, Phys Cell-ID

E-UTRA Measured Results


Phys Cell-ID, Frequencies,
RSRP, RSRQ

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In UMTS, the Measurement procedure is triggered by an


RRC Measurement Control message. Here the UE
understands that it either has to start or modify the
measurement procedure, how to report, and the fact that
it is an Intra Frequency (most common case), interFrequency or Inter-RAT measurement. The other
measurement types are: UE Positioning, Traffic Volume,
Quality and UE Internal Measurements. An identity
number (1 to 16) is picked to link the reports from the UE
to this message. The SRNC (Serving RNC) can also
command the UE to Set, Modify or Release a
Measurement using the Measurement Command
information element. The Reporting Mode indicates
whether the measurement is to be reported periodically or
based on event triggers. Reporting Criteria will give more
details for a specific measurement type , such as number
of repetitions, Event ID, thresholds, time-to-trigger, etc.
For the Inter-RAT measurement type, the RNC specifies a
group of parameters, including the following:

should do measurements, physical cell identities (0 to


503) and optionally a Blacklisted cells list which will
not be used.

IRAT Measurement quantity, which for E-UTRA is


RSRP (98 levels) and RSRQ (34 levels) and filtering
information about how the averaging of
measurements should be done. E-UTRA can request
RSRP, RSRQ or both.

Information about the periodicity and Events (IDs and


thresholds).

Then the UE, based on the command from the RNC,


measures and reports using an RRC Measurement Report
message. The Measurement ID and result together with
the Event results are sent in the message. Upon receiving
the Measurement report from the UE, the SRNC may
decide to initiate an inter-RAT handover procedure to from
UTRA to E-UTRA.

E-UTRA frequency list, is complete list of


measurement objects for E-UTRA. The list contains
the frequencies, the bandwidths over which the UE

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4 | Connected-Mode Interworking

Compressed Mode Overview


Why is it
needed?
Full dual receiver terminals for all mobile stations may not be available
Keeps cost of the mobile station to a minimum by not requiring full dual
receiver
UMTS
LTE

Requirements for Compressed Mode


Obtaining good indication of quality of other carriers in adequate time
Performing with minimal degradation of link or overall system capacity

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The need for inter-frequency measurements necessitates


the need for some mechanism to allow the mobile to
continue with the current operation and still measure the
new system or frequency. This can be done in two ways:

98

With a dual receiver terminal, the mobile has two


receivers typically used for antenna diversity
techniques. When the need for measurement arises,
one of the antennas continues with the current
connection, while the second antenna is tuned to the
other frequency for obtaining measurement
information. Since the antenna diversity is nonexistent at this point, the power is ramped up on the
original connection to maintain quality. One of the
drawbacks of this approach is that all mobiles do not
contain dual receivers, as it is cost prohibitive. Thus,
a cheaper mechanism is needed for mobiles in UMTS
systems to perform inter-frequency measurements.
This approach is the Compressed Mode Procedure
The Compressed Mode Procedure allows the UE, with
only one receiver, to obtain measurements and still
continue with the original connection.

Also, note that the use of the compressed method is


detrimental to link performance in cell edges. Since a
soft handover is not possible, the mobile is probably
using maximum power and there is no power
headroom.

The motivation for introducing the compressed mode


procedure is listed in the slide. The reasons given are
some of the fundamental UMTS requirements such as low
cost and backward compatibility.
In the compressed mode format, the mobiles must be
given adequate time to look at the other system or
frequency and perform measurements. For example, for
LTE system the mobile has to synchronize to the slot and
frame structure of LTE cell. Then derive the physical cell id
of the cell and measure the RSRP and/or RSRQ which are
indicators of signal strength and quality respectively. The
UE will be provided with the carrier frequency and
required
measurement
bandwidth
before
the
measurements take place. The must know when and how
the measurement opportunities for compressed mode
occur and this information is given to the UE through L3
signaling.

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4 | Connected-Mode Interworking

Compressed Mode Procedures


How is
it done?
Forced break in transmission and reception (few ms) for performing measurements,
etc.
Increased
Transmission gap (a few slots)
Power

Downlink
10 ms frame
Increased transmit power during this period to keep quality (FER, BLER, BER)
unaffected due to reduced processing gain.

More Power!

Increased
Power

Transmission gap (a few slots)

Uplink
10 ms frame

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Some of the requirements of the UE in compressed mode


can be summarized as follows:

A UE, on higher layers commands, monitors cells on


other frequencies (FDD, TDD, GSM, LTE). To allow the
UE to perform measurements, higher layers (RRC)
command that the UE enters in compressed mode,
depending on the UE capabilities.

In case of a compressed mode decision, the UTRAN


communicates the parameters of the compressed
mode to the UE. A UE with a single receiver supports
downlink compressed mode.

Every UE supports uplink compressed mode when


monitoring frequencies that are close to the uplink
transmission frequency (i.e., frequencies in the TDD
or GSM 1800/1900 bands).

All fixed-duplex UEs support both downlink and uplink


compressed mode to allow inter-frequency handover
within FDD and inter-RAT handovers

Dual receivers do not need to support the


compressed mode. Also, only one type of

measurement is done in a compressed frame.


The general principle of the Compressed Mode Procedure
is to allow a break or a recess in the mobiles current
processing of frames to allow for other activities such as
measurements. This break in the transmission is done
with increased power so that the quality targets such as
BER, BLER, etc. are still maintained at the same level.

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4 | Connected-Mode Interworking

Compressed Mode Type for LTE


Transmission
Gap Length
(TGL)
Slot 0

Slot 14
10ms Frame

Transmission Gap Pattern Length (TGPL)

10ms Frame

1. Several parameters together define the gaps and the pattern of gap occurrences
2. For E-UTRA measurements, TGL 10 slots and TGPL 12 frames
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Several parameters are signaled to for the compressed


mode operation which uses gaps in operation for
measuring the other RAT cells.

TGL is the Transmission Gap Length which indicates


the slot values where the gaps occur. The number of
gap slots is referred to as Transmission Gap Length
(TGL) and this is indicated by an RRC message with
the E-UTRAN Measurement information element.

TGPL or the Transmission Gap Pattern Length is the


number of frames for which the gap pattern defined
by TGL occurs. For measurements on LTE cells, the
requirement is not to have more than 12 consecutive
frames with a gap pattern, the thirteenth frame must
not have any gaps.

So in practice, a UE may be active in UMTS for as low as


14 percent of the time during compressed mode
operation for LTE. In order to minimize the effects of lost
slots, we can use data compression at higher layers
and/or the use of lower Spreading Factor. Unfortunately,
the use of a lower spreading factor requires more power
on the transmit side by a rough factor of 2 (3dB).

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4 | Connected-Mode Interworking

UMTS: IRAT Event 3a


IF
(UMTS quality falls below a threshold)
AND
(E-UTRA quality rises above a threshold)
THEN
Send measurement report to RNC
Measurement
Quantity

LTE Threshold

UMTS Threshold

UMTS

E-UTRA
Time-to-Trigger
Event 3A

UE sends MR

Time

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Four measurement report events have been defined to


support Inter-RAT measurements. The first event, 3a, is
the most sophisticated of the four and is shown in the
slide. The 3a event is defined so the mobile reports when
the total UMTS signal strength drops below a threshold
and the best E-UTRA signal quality/strength goes above a
threshold. These thresholds are independent. Similar to
LTE case, there are Hysteresis, Time-to-Trigger and Offset
parameters associated with this event.
Typically, the UE needs to be in the compress mode to
carry out these measurements, unless it is a UE with dual
radio front end capability. It is normal to use other events
such as inter-frequency event 2d (currently used
frequency drops below a threshold) to force the UE into
compressed mode operation and then carry out the interRAT measurements which need the compressed mode in
any case. If such a strategy is not used, the UE will need to
be in compressed mode during extended periods of time
which can severely affect the performance of the network
and the UE.

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4 | Connected-Mode Interworking

Other Inter-RAT Reporting Events


Event 3b

The E-UTRA quality has moved


below a threshold

Event 3c

The E-UTRA quality has moved


above a threshold

Event 3d

There was a change in the order


of the best E-UTRA cell list

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Besides the commonly used and important Event 3a,


three more events are defined in UMTS for additional
flexibility in network optimization. These events can be
seen as simpler subsets of Event 3a which is a
comparison of the serving UMTS cell and the neighboring
LTE cell.
The other events are:

Event 3b: The E-UTRA RSRP/RSRQ has moved below


a fixed threshold.

Event 3c: The E-UTRA RSRP/RSRQ has moved above


a fixed threshold.

Event 3d: There was a change of the best cell among


the E-UTRA cells.

102

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4 | Connected-Mode Interworking

Exercise: LTE and UMTS Measurements


1. UMTS measurement quantities include ________ and
________, while LTE measurement quantities include
________ and ________. {RSRP, RSCP, (Ec/N0), RSRQ}
2. On the air interface, UMTS cells are identified by ________,
while LTE cells are identified by ________. {PN Offsets,
PCIs, PSCs, IP Addresses}
3. Event ________ facilitates UMTS-to-LTE handover, while
Event ________ facilitates LTE-to-UMTS handover. {1D, 3A,
B2, C5}
RSRP: Reference Signal Received Power, RSCP: Received Signal Code
Power, RSRQ: Reference Signal Received Quality, PCI: Physical Cell ID,
PSC: Primary Scrambling Code
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4 | Connected-Mode Interworking

Handover Examples
S4 SGSN

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Handover Examples - S4 SGSN

1. UMTS Access
Anchoring of Calls
at S-GW

Release 8 UMTS

3. LTE-to-UMTS
handover

2. UMTS-to-LTE
handover

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In the following pages, we will study the signaling flows for


handover from UMTS to LTE and then LTE to UMTS. In
both cases the SGSN has been upgraded to interwork with
the MME and other components in the LTE network.

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Initial Data Path


PDN
P-GW

S4 SGSN
3G PSCN

MME

LTE Core

SGSN

S-GW
RNC

3G
UTRAN
Node B

E-UTRAN

Direct
Tunnel

Mobility
Anchor

eNode B

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The slide shows the data path for user traffic after a
session has been established from a UTRAN-connected
mobile.
With the S4 SGSN option, calls are anchored at the S-GW
for LTE interworking whether the UE is UTRAN or E-UTRAN
connected.
The optional direct tunnel feature is shown in the slide.
The direct tunnel is created between the RNC in the
UTRAN and the S-GW. The SGSN co-ordinates and sets up
the tunnel between the UTRAN and the S-GW.
In the first handover example, direct forwarding is
employed during the handover from UTRAN to E-UTRAN
and no change of S-GW is needed.

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Handover Signaling Overview


Source RAN

Measurements

Target RAN

CORE Network

Start

Prepare
Resources

Source-to-Target
Container

CORE Network
QoS, Keys, Bearers
UE Capabilities

Target-to-Source
Container

Access and Completion of HO

HO Command

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The basic principles of inter-RAT handover signaling are


reviewed here at a high level. The inter-RAT HO is
essentially controlled by the source access RAN which
decides to initiate the handover, perhaps based on
measurements received by the mobile. However,
measurements are not necessary for doing an inter-RAT
handover (handovers that are not triggered by the UE
measurement are sometimes referred to as blind
handovers).

Meanwhile, necessary connections are established


between the core nodes to carry the users traffic. The
overall signaling scheme shown here is generic and
applies also to situation were the Source and Target
networks are using the same RAT.

The source and target radio access networks


communicate through containers which are transparent to
the Core network elements. The source will indicate the
need for HO to the Core network, which will pass the
container to the target RAN as designated by the source.
The target RAN will prepare Radio Resources (RR) for the
incoming mobile. The target is responsible for guiding the
mobile on how to make access there and to do this it will
use a container that will convey the necessary RAN
parameters when the mobile attempts access on the
target RAT.

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4 | Connected-Mode Interworking

UTRAN-to-LTE Handover
(S4-SGSN)

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The following scenario includes the options:

Direct tunnel while UTRAN connected,

Direct forwarding (RNC to eNB) during the handover,


and

No change of S-GW during the handover.

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4 | Connected-Mode Interworking

S4 SGSN-to-LTE HO Preparation 1
UE

RNC

Source
S-GW

SGSN

1. Measurement Report
(e3a or e3c)
2. Relocation Required

P-GW

eNB

MME

3. MME
selection

eNB ID
RNC to eNB
transparent
container

4. Forward Relocation Request


IMSI

eNB ID

MM context
(LTE Auth
Vector)

RNC to eNB transparent


container
PDN connection
APN, IPv4/IPv6 address,
bearer context

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1-2. To start with, the UE is using UMTS access and the


user plane packets are getting transmitted over the
UMTS bearers. Based on the measurement report
sent by the UE, the RNC initiates a handover to LTE.
RNC sends the target eNode B ID to the SGSN. A
transparent
container
carrying
radio-related
information is sent. This information is meant for the
eNode B. The rest of the nodes carry it transparently.
3.

Based on the eNode B ID, the SGSN selects the MME


serving that target eNode B.

4.

The SGSN sends all the PDP context information and


the security information. MME does one-to-one
mapping of the PDP contexts with the EPS Bearers
and also does mapping QoS profiles from UMTS to
LTE. Mapping of the security information eliminates
the requirement to do LTE AKA. PDN Connection
contains information about the IP addresses
allocated to the UE, APN to which UE is connected to,
P-GW and S-GW addresses, TEIDs for all the EPS

bearers at the S-GW. The next step is to prepare the


LTE network for the handover before the actual
execution of the handover process. SGSN triggers the
handover preparation in the target MME.

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4 | Connected-Mode Interworking

S4 SGSN-to-LTE HO Preparation 2
UE

RNC

SGSN

Source
S-GW

P-GW

eNB

MME

5. Handover Request
RNC to eNB Transparent Container
EPS Bearers to be set up (EPS
Bearer ID, S-GW GTP TEID, QOS)
Security Info
Reserves
Resources
6. Handover Request Ack
eNB to RNC Transparent Container
EPS Bearers admitted list
(eNB Addr & S1-U TEID)
7. Forward Relocation Response
eNB Addr & S1-U TEID
eNB to RNC Transparent Container
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5-6. MME initiates the RAB setup procedure towards the


target eNB. It sends the security information and the
QoS information for the RABs. The eNB reserves
resources, if necessary, for these RABs and replies to
the MME. RABs have been created at this point. The
eNB communicates its IP address and TEID(s) for
downlink data and has received the S-GWs IP
address and TEID(s) for uplink data. eNB also sends
radio related information to the RNC transparently
through SGSN and MME. This contains an RRC
message, RRC Connection Reconfiguration for the
UE.
7.

110

MME indicates the successful handover preparation


process to the SGSN. In this message it sends the
transparent container that contains radio-related
information. In the example shown, direct forwarding
applies so the message also contains the target
eNBs IP address and TEID(s).

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4 | Connected-Mode Interworking

S4 SGSN-to-LTE HO - Execution
UE

RNC

SGSN

Source
S-GW

P-GW

eNB

MME

8. Relocation Command

eNB to RNC Transparent Container


eNB Addr & S1-U TEID

Direct
Forwarding
(DL Data)

9. Handover
From UTRAN
Command

E- UTRAN Access
10. Handover to E-UTRAN Complete

SGSN may
maintain UE
context

11. Handover Notify

12. Forward Relocation Complete


13. Forward Relocation Complete Ack
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8.

9.

The SGSN now requests the RNC to initiate the


handover process. In this message, it sends the
transparent container from the eNB, and, if direct
forwarding applies (shown in slide), the target eNB
address and TEID. Otherwise if indirect forwarding
applies and direct tunnel applies then it contains the
target S-GW forwarding TEIDs.
The RNC in turn sends the handover command to the
UE. The exact name of this RRC message is
HANDOVER FROM UTRAN COMMAND. This message
will
carry
the
E-UTRAN
RRC
Connection
Reconfiguration which was received during the
preparation phase from the target eNB. This is sent
as a transparent container to the UE and will include
radio access-related information on the E-UTRAN for
the UE. This includes information such as the Physical
Cell ID of the target cell.

forwarded from the eNB to the UE.


11. The eNB indicates that target cell acquisition is
achieved by sending the Handover Notify message
to the MME.
12,13. The MME informs the SGSN of the success. If the
Idle State Signaling Reduction (ISR) features is in
effect, the SGSN will maintain the UE's contexts.
The Forward Relocation Complete Notification
message contains a parameter indicating if ISR is
activated (only possible if no change of S-GW).

10. The UE acquires the target cell. During this time, the
downlink packets go from the P-GW to the source SGW, then from the source S-GW to the RNC and
finally from RNC to the target eNodeB. Now that the
UE has acquired the eNB, the packets can be

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4 | Connected-Mode Interworking

S4 SGSN-to-LTE HO - Completion
UE

RNC

Source
S-GW

SGSN

P-GW

eNB

MME

14. Modify Bearer Req/Rsp

15. Iu Release Procedure

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14. Now that all the bearers are ready in E-UTRAN, MME
updates the source S-GW with the eNode B Address
and TEID. This gets the RNC out of the forwarding
loop. Downlink and uplink packets are now traveling
from P-GW to the S-GW to target eNode B.
15. SGSN cleans up the resources that were allocated to
the UE in the UTRAN and Iu interface.

112

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4 | Connected-Mode Interworking

Exercise: UMTS-to-LTE Handover


Draw the user data path BEFORE and AFTER the UMTS-to-LTE
handover for S4-SGSN interworking. Assume the absence of a
Direct Tunnel.
PDN
P-GW

3G PS-CN

MME

LTE Core

S4 SGSN

S-GW
RNC

3G
UTRAN
Node B

E-UTRAN

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eNode B

Exercise: Draw the user data path before and after the
handover from UMTS to LTE.

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4 | Connected-Mode Interworking

Handover Examples - S4 SGSN

1. UMTS Access
Anchoring of Calls
at S-GW

Release 8 UMTS

3. LTE-to-UMTS
handover

2. UMTS-to-LTE
handover

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Now we look at the signaling flows for handover from LTE


to UMTS.
The SGSN has been upgraded to interwork with the MME
and other components in the LTE network.
In the following handover example, indirect forwarding is
employed during the handover from E-UTRAN to UTRAN
and no change of S-GW is needed.
After the handover, the optional direct tunnel feature is
NOT in operation and the SGSN is in the data path.

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LTE-to-UTRAN Handover
(S4-SGSN)

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The following scenario includes the options:

Indirect forwarding during the handover,

No change of S-GW during the handover, and

After the handover, direct tunnel is NOT in operation.

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LTE-to-S4 SGSN HO Prep 1


UE

eNB

MME

Source S-GW

P-GW

RNC

Target SGSN

1. Measurement Report
(eB1 or eB2)
2. HO Decision
3. Handover Required
eNB ID

4. Forward Relocation Request

Target RNC
eNB to RNC
transparent
Container
(visited
Cell list)

SGSN
selection

IMSI, RNC ID
eNB to RNC Transparent container
MM context (UMTS Auth vector)
PDN connection (APN, TEID,IP
address, EPS bearer context)

Maps EPS bearers


to PDP contexts

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1.

The mobile is in LTE coverage with an active


connection. However the LTE signal level may be low
and therefore the eNB has asked the UE to measure
UMTS cells also. The UE subsequently sends a
measurement report to the eNB indicating event B1
or B2 has occurred.

2-3. Based on the measurement report sent by the UE,


the eNB initiates a handover to UTRAN. The eNB
sends the target RNC ID to the MME in order that the
MME may choose an appropriate SGSN for the
handover. A transparent container carrying radiorelated information is sent. This information is meant
for the RNC. The rest of the nodes carry it
transparently. In this case, the content is UE history
giving a list of the most recently visited cells.
4.

116

bearers at the S-GW. The target SGSN does one to


one mapping of the EPS bearers with the PDP
contexts and also does mapping QoS profiles from
LTE to UMTS.
The next step is to prepare the UMTS network for the
handover before the actual execution of the handover
process. If the S-GW needs to be relocated (option
not shown on slide), the SGSN will choose one and
create a session in the new target S-GW for the UE.

Based on the RNC ID, MME selects the SGSN serving


that target RNC. MME sends the security context
information to the SGSN including supported
ciphering algorithms and keys. The PDN Connection
contains information about the IP addresses
allocated to the UE, APN to which UE is connected to,
P-GW and S-GW addresses, TEIDs for all the EPS

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4 | Connected-Mode Interworking

LTE-to-S4 SGSN HOPrep 2


UE

eNB

Source
S-GW

MME

P-GW

RNC

SGSN

5. Relocation Request
eNB to RNC Transparent Container
RAB Info (QOS)
Security Info

Reserve Resources
6. Relocation Req. Ack
7. Forward Relocation Response
S4-U Target S-GW Forwarding TEID
RNC to eNB Transparent Container
8. Handover Command
RNC to eNB Transparent Container
S1-U source S-GW Forwarding TEID
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5.

6.

The SGSN initiates the RAB setup procedure towards


the target RNC. It sends security information,
including IK, CK and related algorithms. This allows
data transfer to continue in the UMTS network
without having to perform a new authentication
procedure. SGSN also includes parameters for all the
RABs that are requested to be established. This will
include QoS information per RAB.
RNC performs admission control and reserves
resources for some or all RABs. It sends the message
Relocation Request Acknowledge containing a list of
RABs setup and a list of RABs that failed. The failed
RABs will be deactivated after the handover is
complete. The RNC is now ready to receive downlink
traffic from either the S-GW or the target SGSN if
direct tunnel is not used. The RNC also sends the
Target to Source Transparent Container which flows
transparently through SGSN and MME to the eNB. In
this case it contains the RRC message from the target
RNC to the UE.

7.

The target SGSN sends the Forward Relocation


Response message to the MME. Key parameters
include:

Control Plane TEIDs and IP addresses

Serving GW change indication if the SGSN


choose a new S-GW (not shown on slide)

Target to Source Transparent Container

Accepted and failed RAB Setup Information

IP address/TEID for user plane data forwarding:


there are three possibilities.

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4 | Connected-Mode Interworking

LTE-to-S4 SGSN HOPrep 2 (continued)


UE

eNB

Source
S-GW

MME

P-GW

RNC

SGSN

5. Relocation Request
eNB to RNC Transparent Container
RAB Info (QOS)
Security Info

Reserve Resources
6. Relocation Req. Ack
7. Forward Relocation Response
S4-U Target S-GW Forwarding TEID
RNC to eNB Transparent Container
8. Handover Command
RNC to eNB Transparent Container
S1-U source S-GW Forwarding TEID
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target S-GW forwarding TEIDs and the transparent


container that contains radio related information

The IP address/TEID for user traffic data forwarding


may indicate the RNC, the SGSN or a new S-GW.

If 'Direct Forwarding' applies, or if 'Indirect Forwarding'


and no relocation of Serving GW apply and Direct
Tunnel is used, then the IE 'Address(es) and TEID(s)
for User Traffic Data Forwarding' contains the
addresses and GTP-U tunnel endpoint parameters to
the Target RNC received in step 5a.

If 'Indirect Forwarding' and relocation of Serving GW


apply, then the IE 'Address(es) and TEID(s) for User
Traffic Data Forwarding' contains the address and DL
GTP-U tunnel endpoint parameters to the Serving GW
received in step 6a. This is independent from using
Direct Tunnel or not.

If 'Indirect Forwarding' applies and Direct Tunnel is


not used and relocation of Serving GW does not
apply, then the IE 'Address(es) and TEID(s) for User
Traffic Data Forwarding' contains the DL GTP-U tunnel
endpoint parameters to the Target SGSN.

8.

MME now requests the eNB to initiates the Handover


process. In this message it forwards the source S-GW
forwarding TEIDs.

SGSN indicates the successful handover preparation


process to the MME. In this message it sends the

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4 | Connected-Mode Interworking

LTE-to-S4 SGSN HOExecution


UE

eNB

Source
S-GW

MME

P-GW

9. Mobility from E-UTRAN Cmd

RNC

SGSN

Indirect
Forwarding
(DL Data)
UTRAN Access
10. Handover to UTRAN Complete

11. Relocation Complete

12. Forward Relocation Complete


13. Forward Relocation Complete Ack
14. Modify Bearer Req
SGSN IP Address and TEID(s)

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9.

The eNB in turn sends the Handover command to the


UE. The exact name of this RRC message in Rel8 is
MobilityFromEUTRACommand, and in case of
handover it will carry information about radio
resources that have been allocated in the target cell
for this UE. This information about target RAN is sent
as a transparent container in this message. (The
other possibility for the MobilityFromEUTRACommand
is a Cell Change Order (CCO) command which does
not have a container and must carry explicit
information about the target cell and RAT such as
Physical Cell Ids and carrier frequencies).

14. Now that all the bearers are ready in UMTS, the SGSN
completes the Handover execution by informing the
S-GW that the SGSN is now responsible for all the EPS
Bearers of the UE. The message Modify Bearer
Request is sent. Key parameters are NSAPI(s), SGSN
IP Address and TEID(s) for User Traffic for the
accepted EPS bearers (assuming Direct Tunnel is not
used), ISR Activated or not. Note if the message does
not indicate ISR Activated and S-GW is not changed,
the S-GW deletes any ISR resources by sending a
Delete Bearer Request to the MME.

UE tries to acquire the target cell. During this time the


downlink packets go from P-GW to the source S-GW, then
from source S-GW to the eNB, from eNB back to the
Source S-GW and from Source S-GW to the SGSN and
from the SGSN to the RNC.
10-13. UE acquires the target cell. UE indicates the
UTRAN target cell acquisition by sending the
Handover Complete message to the RNC. RNC
indicates it to the SGSN. SGSN passes this
information to the MME.

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4 | Connected-Mode Interworking

LTE-to-S4 SGSN HO Completion


UE

eNB

Source
S-GW

MME

P-GW

RNC

SGSN

15. Modify Bearer Res

16. Routing Area Update (if needed)


17. Delete Indirect Data Forwarding Tunnel
Request / Response
18. Release Resources

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15.

The S-GW acknowledges the user plane switch to


the SGSN by sending Modify Bearer Response. At
this stage, the user plane path is established for
all EPS Bearers. The path is from UE to RNC to
SGSN to S-GW to P-GW. The Serving GW will send
"end marker" packets on the old path to the eNB
immediately after switching the path.

16.

If the UE discovers that the current RA is not


registered with the SGSN, or if the TIN is set to
"GUTI", then it will initiate a Routing Area Update
procedure.

1718. MME cleans up the resources that were allocated


to the UE in the eNode B and the indirect
forwarding tunnels that were used temporarily
during the handover.

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4 | Connected-Mode Interworking

Exercise: LTE-to-UMTS Handover


Draw the user data path BEFORE and AFTER the LTE-to-UMTS
handover for S4-SGSN interworking. Assume the absence of a
Direct Tunnel.
PDN
P-GW

MME

3G PS-CN
S4 SGSN

LTE Core
S-GW

RNC

3G
UTRAN

E-UTRAN

Node B

eNode B
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Exercise: We have described an example handover from


LTE to UMTS. Draw the old and new user data paths
before and after the handover from LTE to UMTS.

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4 | Connected-Mode Interworking

LTE-to-UTRAN Pre-R8
(Gn SGSN)

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LTE-to-Gn SGSN Handover Prep


Yahoo
server
P-GW

EPC

MME

PDN

3. and 7. Forward
relocation
request/Response

Gn SGSN
5

S-GW
2. Handover
required

8. Handover
command

RNC

E-UTRAN

eNode B

5. Admission
control and radio
access bearer
establishment

4. or 6.
Relocation
Request/Ack

1. Handover
decision

Node B

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To start with UE, is using LTE IP-CAN for all his active
sessions. All the required bearers have been setup in LTE
for the UE.
1.

Now based on the measurement report sent by the


mobile, the eNodeB initiates a handover to the UMTS
cell.

2.

The source eNode B sends the Handover Required


message to the MME. In this message target RNC
identifier, bearers that require data forwarding
between the eNodeB and the target RNC would be
sent.

3.

Now the MME indicates to the SGSN in the Forward


Relocation Request message. This message includes
all the information sent by the eNode B and also the
information about the PDP sessions, Tunnel Endpoint
ID for the P-GW, etc.

4.

Based on the information sent by the MME, the SGSN


and the target RNC do admission control.

5.

The SGSN and the RNC establish the bearer between


the RNC and NodeB and also between the SGSN and

the RNC.
6.

An acknowledgement of this would be sent to the


MME through the SGSN. This Relocation Request
ACK message would contain information about the
tunnel between the eNodeB and the RNC for data
forwarding and also the radio-related information that
the UE needs to handover to UMTS.

7.

The SGSN forwards this information to the MME.

8.

The reception of the acknowledgement message at


the eNodeB, completes the data forwarding path
between the eNode B and the target RNC.

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4 | Connected-Mode Interworking

LTE-to-Gn SGSN Handover:


Execution and Completion
Yahoo
server

PDN

18. Update PDP context

P-GW

Gn SGSN

EPC

19

MME

S-GW

19. Release
Resources

10. Forward
SRNS Context

RNC

E-UTRAN

19

15. UTRAN
access
procedure

eNode B
19

19

9. Mobility from
E-UTRAN
Command

Node B

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9.

The eNodeB sends a Mobility from E-UTRAN


Command to the UE with the radio related
parameters sent by the target RNC.

19. Now the MME directs eNode B and S-GW to release


all the resources used for that UE in LTE.

10. It also forwards context information like PDCP


sequence number, GTP sequence number, etc. to the
MME using the SRNS forward context message.
11. This message is forwarded to the SGSN.
12. This message is then forwarded to the RNC.
13. The RNC responds with a Forward SRNS Context ACK.
14. The SGSN forwards this message to the MME.
15. The UE completes the UTRAN access procedure.
16. The RNC sends the Relocation Complete Message to
the SGSN
17. The SGSN in turn sends it to the MME.
18. At the reception of the Relocation Complete message
from RNC, the SGSN establishes a bearer with the PGW using the Update PDP context procedure. This
completes the establishment of all the required
bearers in UMTS for that UE.

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4 | Connected-Mode Interworking

UTRAN-to-LTE
(Gn SGSN)

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4 | Connected-Mode Interworking

UTRAN-to-LTE Handover - I
MS

Source
RNC

Target
eNB

Old Gn/Gp
SGSN

1. Decision to Handover
2. Relocation Required

New
MME

S-GW

P-GW

HSS

3. Forward Relocation Request


4. Create Session Request
5. Create Session Response

6. Handover Request
Establishment of Radio Access Bearers
7. Handover Request Acknowledge
8. Create Indirect Data
Forwarding Tunnel Request
9. Create Indirect Data
Forwarding Tunnel Response
10. Forward Relocation Response
C1
11. Relocation Command

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1.

The UE has been communicating the UMTS RNC.


Based on UE measurements of UMTS and LTE, the
RNC makes a handover to E-UTRAN decision.

2.

The SRNC requests the SGSN to relocate the UE by


sending a Relocation Required message. This
message includes identity of the target eNodeB.
Gn/Gp SGSNs may be configured to use RNC IDs
instead of eNodeB IDs to identify a target eNodeB.

3.

The SGSN sends a Forward Relocation Request to the


MME based on the identity of the target eNodeB. This
message also contains existing MM and PDP
contexts. The PDP context contains the IP address of
the P-GW for User Plane and Uplink TEID for Data so
that UEs uplink packets can be sent to the P-GW. The
MME needs to perform mapping maps the PDP
context parameters to EPS bearers.

4.

The MME sends a Create Session Request message


to the selected S-GW. The S-GW now knows the
information about the uplink tunnel toward the P-GW.

5.

The S-GW sends a Create Session Response


message back to the MME so that the MME can

126

convey to the eNodeB information about the S-GW


side of the S1-U tunnels.
6.

The MME sends a Handover Request message to the


eNodeB to set up E-RABs. The MME translates the
security parameters received from the SGSN into the
LTE security parameters. The MME also converts the
RNC address received from the Gn SGSN into an
eNodeB address. The MME determines if packet
forwarding from UMTS to LTE is to be done or not.

7.

The eNodeB replies with Handover Request


Acknowledge message after executing admission
control.

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4 | Connected-Mode Interworking

UTRAN-to-LTE Handover I (cont.)


MS

Source
RNC

Target
eNB

Old Gn/Gp
SGSN

1. Decision to Handover
2. Relocation Required

New
MME

S-GW

P-GW

HSS

3. Forward Relocation Request


4. Create Session Request
5. Create Session Response

6. Handover Request
Establishment of Radio Access Bearers
7. Handover Request Acknowledge
8. Create Indirect Data
Forwarding Tunnel Request
9. Create Indirect Data
Forwarding Tunnel Response
10. Forward Relocation Response
C1
11. Relocation Command

8, 9.

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In case of indirect forwarding from UTRAN to the


eNodeB via the S-GW, the MME sends a Create
Indirect Data Forwarding Tunnel Request
message to the S-GW, which contains
information about the eNodeB side of the
downlink forwarding tunnel between the eNodeB
and the S-GW. The S-GW responds with a Create
Indirect Data Forwarding Tunnel Response that
includes the tunnel information about the S-GWs
side of the tunnel (which is between the S-GW
and the UMTS network (i.e., SGSN or RNC).

10, 11. Since the LTE network is ready for the UE, the
MME sends a Forward Relocation Response to
the SGSN, which, in turn, sends a Relocation
Command message to the RNC. The RNC/SGSN
is aware of the packet forwarding tunnel at this
time.

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4 | Connected-Mode Interworking

UTRAN-to-LTE Handover - II
MS

Source
RNC

Target
eNB

Old Gn/Gp
SGSN

New
MME

12. Forwarding of Data

S-GW

P-GW

HSS

13. RRC Message


14. Forward SRNS Context

14. Forward SRNS Context


14. Forward SRNS
Context Acknowledges

MS Detected by Target RNC


15. HO to EUTRAN Complete
15. Handover Notify
16. Forward Relocation Complete
16. Forward Relocation
Complete Acknowledge
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12. User packets can now be forwarded from the RNC to


the target eNodeB directly or via S-GW.
13. The RNC instructs the UE to go to a cell in the target
eNodeB by sending an RRC message (e.g., Handover
from UTRAN Command).
14. This step is not applicable to inter RAT handovers
between UTRAN and E-UTRAN.
15. The UE sends a Handover to EUTRAN Complete
message to the eNodeB acknowledge reception of
the RRC message from the RNC. The eNodeB, in turn,
sends a Handover Notify message to the MME.
16. The MME informs the SGSN that relocation from
UMTS to LTE has been completed.

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4 | Connected-Mode Interworking

UTRAN-to-LTE Handover - III


MS

Source
RNC

Target
eNB

Old Gn/Gp
SGSN

New
MME

20. Iu Release Command

S-GW

P-GW

HSS

17. Modify Bearer Request

20. Iu Release Complete

18. Modify Bearer


Request/Response
19. Modify Bearer Response
21. Tracking Area Update Procedure
22. Procedure in TS 23.401 (Steps 2 to 7 of Figure 5.4.2.2-1)
23. Delete Indirect Data
Forwarding Tunnel Request
23. Delete Indirect Data
Forwarding Tunnel
Response
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17. Since the UE is well-established in the LTE network


due to completion of handover with E-UTRAN, the
MME sends a Modify Bearer Request message to the
S-GW with the eNodeB side of the S1-U tunnel
information.
18 and 19. The S-GW sends a Modify Bearer Request to
the P-GW so that the P-GW can switch the downlink
tunnel from the SGSN to the S-GW. After switching the
tunnel, the P-GW replies with a Modify Bearer
Response.

about the subscriber from the HSS such as the


subscribed UE-AMBR and APN-AMBR values.
22. The MME calculates UE-AMBR and (if needed)
initiates Subscribed QoS Modification procedure to
convey the derived UE-AMBR to the eNodeB and the
subscribed APN-AMBR to both S-GW and P-GW.
23. Upon expiration of the timer, the MME asks the S-GW
to release the resources allocated for indirect packet
forwarding.

19. The S-GW informs the MME about the user plane
switch by sending a Modify Bearer Response
message.
20. The resources in the source UMTS network need to
be released now. Iu Release Command and Iu
Release complete messages help accomplish this
cleaning-up task.
21. Since the MME is aware of the handover from UMTS
to LTE, it carries out part of the TA update procedure.
For example, the MME excludes the context transfer
procedure with the SGSN but obtains the information

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4 | Connected-Mode Interworking

Redirection from LTE to UMTS


eNB

UE

MME

Source S-GW

P-GW

RNC

Target SGSN

Measurement Report (optional)


2. HO Decision
RRC Connection Release
- Redirected Carrier Info
- Frequency priority

Cell Reselection

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A very basic method of doing handover from LTE to UMTS


is for the eNB to release the RRC connection with an
indication that the UE should do cell reselection into the
UTRAN environment.
The parameters that support this are:

redirectedCarrierInfo: This indicates a UMTS carrier


frequency for the UE to tune to.

cellReselectionPriority: This specifies the priority of the


UMTS carrier frequency for cell reselection.

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4 | Connected-Mode Interworking

Exercise: S4-SGSN and Gn-SGSN


Handover
Identify each statement as True or False.
1. In case of S4-SGSN handover to and from E-UTRAN,
S-GW continues to serve as a local mobility anchor for
the user traffic.
2. For LTE-to-UMTS S4-SGSN handover, MME makes the
handover decision.
3. For UMTS-to-LTE Gn-SGSN, RNC makes the handover
decision.
4. S4-SGSN supports packet forwarding between LTE and
UMTS but Gn-SGSN does not support such packet
forwarding.
5. Both S4-SGSN and Gn-SGSN allow preservation of an IP
address for the UE during handover.
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131

4 | Connected-Mode Interworking

E-UTRAN-GERAN
Handover

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4 | Connected-Mode Interworking

LTEGPRS Handover Options


Cell Change Order
CCO + NACC
PS Handover

MME

SGSN
EGPRS

LTE
eNB

BSS
UE/MS

RRCConnected

Packet Transfer
Mode

PS Handover

Cell Change +
optional NACC

Cell Change or
Reselection
Reselection
Packet Idle

RRC-Idle
Cell Change or Reselection
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There are three main options for inter-RAT handover


between the LTE and GERAN (EDGE-GPRS) networks for a
mobile. The PS handover is the most complex procedure
and pertains to mobile in E-UTRA RRC connected to/from
a state in GPRS Packet Transfer mode. This method is
best suited for real-time packet services were delays need
to be kept at a minimum. The delay requirement goals for
real-time packet services (e.g. VoIP )should be ideally as
low as CS delay requirements, however when inter-RAT
handover is involved the delays can be as long as 300500ms. The signaling procedure for packet-switched
handover is very similar to the case between LTE and
UMTS. PS-handover may not be supported in a GPRS
network.

The necessary signaling for cell change is done through


Radio Information Management signaling (RIM signaling),
which is the transparent exchange of RAN related
information through core network nodes.
When the mobile is going from E-UTRA RRC_Idle to GPRS
Packet_idle, the most commonly occurring procedure is
naturally a cell-reselection, with the following Tracking
Area/Routing Area Update procedure. However, for the
case of GPRS to LTE, the network controlled cell change
procedure can be applied using Cell Change Order
messaging (CCO) as an option.

When PS handover is not supported, it is possible to


handover the mobile from RRC-Connected mode in EUTRA
to
GPRS_Packet_Idle
mode
using
the
CELL_Change_Order message with optional Network
Assisted Cell Change procedure (NACC). NACC can reduce
the latency that is normally involved in cell reselection by
providing air-interface related information about the cell
that mobile is going to.

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4 | Connected-Mode Interworking

CCO+NACC
S3/Gn
LTE

MME

EGPRS
SGSN

RIM Signaling

Gb/Iu

S1
BSS

eNB
UE

RRC Connected

RIM Signaling
Source RAN
Purpose set to:
CellChangeOrder
+NACC Sys info

MobilityFromEUTRA
Command

Target
RAN

Connection Estabmnt
to GERAN BSS using
System Information

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Network Assisted Cell Change is a mechanism for LTE to


GPRS inter-RAT handovers. It enables better
performance when a cell change has to occur in the
packet-switched domain and the PS-handover option does
not exist. NACC may be used optionally with Cell Change
Order procedure when a handover is initiated from the EUTRAN to GERAN. The exchange of RAN related
information is achieved through RIM signaling between
the Source and the Target radio networks. The RAN
information is relayed transparently between the source
and target using S1AP, BSSGP (in Gb mode), RANAP (in Iu
mode) and GTP between MME and SGSN. All nodes and
interfaces shown are impacted in order to support NACC
(Network Assisted Cell Change).

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4 | Connected-Mode Interworking

Summary
IRAT handover signaling uses a transparent exchange of
target RAN-related information.
IRAT handover has three phases: preparation, execution
and completion.
Measurements in LTE and UMTS require gaps during
connected-mode communication.
There is one-to-one mapping between the PDP context
and the EPS bearers.
During HO, either direct or indirect forwarding may be
used.
CCO with NACC is an option for connected-mode HO from
LTE-to-GPRS.
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4 | Connected-Mode Interworking

Review Questions
1. What LTE RRC message configures measurement
parameters for the connected UE?
2. (CCO+NACC) is an option when going from E-UTRAN to
GERAN. True or False?
3. In UMTS-to-LTE handover, which node is responsible to
make the handover decision?
4. List all of the measured quantities used for cell
evaluation in LTE, UMTS and GSM/GPRS. Include
units.

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4 | Connected-Mode Interworking

Additional Material

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4 | Connected-Mode Interworking

Data Forwarding Options


(During LTE-to-UMTS HO)

Scenario

Direct or Indirect
Forwarding Applies

S-GW
Relocation

Direct DL Forwarding
Tunnel Address & TEID

Indirect

NO

YES

RNC

Indirect

YES

n/a

Target S-GW

Indirect

NO

NO

SGSN

Direct

n/a

n/a

RNC

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In order to fully support real-time applications in a multitechnology network it is necessary to minimize or


eliminate any loss or delay of data during IRAT handovers.
Consequently, during the handover user data needs to be
forwarded between the two networks. There are a number
of options for forwarding downlink data during handover.
The option used will depend on the following :
1.

2.

138

Direct forwarding from the eNB to the RNC may be


possible. Even though there isnt a standard signaling
interface between the eNB and RNC, the user data
travels through a GTP tunnel which both support. In
this case the eNB will forward DL data directly to the
RNC.
If direct forwarding is not possible then indirect
forwarding may be used. Both the MME and target
SGSN will need to be configured with one of three
options for indirect forwarding -- does not apply,
always applies, or, applies only for inter PLMN inter
RAT handovers. If indirect forwarding applies then the
MME and optionally, the SGSN will configure
forwarding paths on an S-GW. Note that the MME
may choose a different S-GW from the one serving

the call.
3.

The forwarding path for DL data may be affected by


the relocation of the S-GW. If indirect forwarding is
used then the traffic will flow thru both the source
and target S-GWs.

4.

If direct tunnel is to be used in the target network


between the RNC and S-GW, this will also affect the
path of the DL forwarded traffic.

The example in the previous few slides maps to the third


row of the table above where the forwarding address is
that of the SGSN. As an exercise, draw the data
forwarding data paths during handover for the other three
cases.

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4 | Connected-Mode Interworking

GERAN <-> LTE IRAT


Examples

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4 | Connected-Mode Interworking

Active Mode Measurements in GSM


0

Idle slots

BSC
BTS

Active
LTE-capable MS

HO
Decision

MEASUREMENT INFO
E-UTRAN_MULTIRAT_REPORTING

# of cells in the report, 0-3

E-UTRAN_REP_QUANTITY

RSRP or RSRQ

E-UTRAN Neighbor Cell list, EARFCN

Cell and carrier freq info

Not-allowed cells

Blacklisted LTE cells

REPORT_TYPE, Measurement Bandwidth

Enhanced, Normal

REPORTING_GRANULARITY

Granularity (Step size)

Qsearch_C_E-UTRAN

Search threshold

E-UTRAN_MEAS_REPORT_OFFSET

Offset values for reporting

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When the LTE-capable mobile is in active mode on a


GSM/GPRS network (technically referred to as MS in that
mode), it has to do Radio Link Measurements which are
used for handover and power control procedures. For
inter-RAT, it will receive information about inter-RAT
related measurement parameters on the Slow Associated
Control Channel (SACCH); which carries full system
information every 480ms. This Measurement Information
complements and (in certain cases) overrides the interRAT information that the MS may have had in the idle
mode through BCCH. However, for the LTE cell list, the
information in SACCH can be used to derive a neighbor list
from SI2quater information that is on BCCH.

will use the idle slots (and frames) for measuring cells on
other RATs. The measurement information elements guide
the MS about priorities and thresholds so that intra-RAT
measurement are not ignored, and inter-RAT
measurements are made when necessary.

Some of the more important parameters for inter-RAT


measurement are shown in the table. For E-UTRAN, valid
cells to measure are identified cells on frequencies
included in the E-UTRAN Neighbour Cell list. The UE can
measure and report on these cells as long as they are not
members of the not allowed list.
Note that in GERAN there is no need for measurement
gaps or compressed mode for inter-RAT measurements.
The nature of TDMA is such that the multi-RAT capable MS

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4 | Connected-Mode Interworking

Enhanced Measurement Report


(Packet) (Enhanced) Measurement Reports
SACCH (SDCCH)
MS

BSC
BTS

Enhanced Meas. Report


REPORTING_QUANTITY

RSRP or RSRQ

E-UTRA Measurements

Measurement values

E-UTRA_FREQUENCY_INDEX

Frequency list for EARFCN

CELL_IDENTITY

Physical E-UTRAN Cell id

EGPRS can operate with no HO MS does cell


reselection also in Packet Transfer Mode
IF PS Handover is supported in EGPRS, then similar
procedures are defined in the packet domain
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The E-UTRA-related measurement quantities are shown in


the table. The measurement report can be of type
Enhanced or Normal. The MS is informed in the
downlink SACCH Measurement Information message
which type it shall use. The SACCH channel is normally
used, although SDCCH can also be used for measurement
reporting. Both report types can carry inter-RAT cell
measurements. The difference between the two methods
of reporting is primarily in the number of measurement
results that can be reported. Normal Measurement Report
can carry information about the six strongest cells. Intraand inter-RAT results share the same limited resource
within the message. Enhanced Measurement Reports on
the other hand can carry a much larger number of results
(32) in addition to new measurement quantities such as
FER (Frame Error Rate) and a better granularity in
reporting results (controlled mapping of binary values to
the measured quantities).

time packet services. This scenario is even more plausible


if EDGE2 is deployed. In this case, PS Handovers must be
based on similar measurement procedures as described
in here, e.g., there is PACKET MEASUREMENT ORDER and
PACKET ENHANCED MEASUREMENT REPORT messages
defined in EGPRS and Network Controlled (NC)
measurement reporting can be used optionally.

Note that in GPRS, we normally operate with no handover


and the MS can do cell reselections in both packet-idle
and packet transfer modes. However, it is possible to
implement PS Handovers in EGPRS for support of real-

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4 | Connected-Mode Interworking

RSRP, RSRQ Reporting in GERAN


Measurement Report
BSC

UL SACCH/PACCH

eNB

BTS

MS

RSRP 6bits

dBm

RSRQ 3bits*

< - 140

Offset to Offset + Step

- 140 to - 138

Off+Step to Off + 2*Step

- 138 to - 136

Off+2*Step to Off+3*Step

62

- 46 to - 44

63

- 44

Offset+6*Step to Off+7*Step

dB

Off +7*Step
7
Step=1,2 dB, Off= -19.5 to -3.5 dB
* also 6 bit option
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The reporting of RSRP and RSRQ in the GERAN domain is


limited by the format of the pre-existing SACCH. Thus the
reporting follows similar format that is used for reporting
of RxLEV and RxQUAL in GSM when a measurement
report is sent on SACCH in the Uplink. For the signal
strength the reporting for RSRP uses 6 bit coding with
values in dBm corresponding to less than -140 dBm for
the weakest cells to the strongest value of greater than or
equal to -44dBm.

standards. However, this comes at the cost of modifying


the format of SACCH channel. For a mobile that is using
the EDGE channels, it will send the measurement report
on the Packet Associated Control Channel (PACCH).

For the RSRQ, reporting, the network will set the beginning
of the quality value and a granularity level for reporting.
The reason is that the quality reports have used 3 bit
coding for the purpose of measurement reporting.
The
parameter
E-UTRAN_FDD_MEASUREMENT_
REPORT_OFFSET and REPORTING_GRANULARITY define
the offset value and the Step size respectively. These
parameters are conveyed to the MS in the Downlink
SACCH. Step size can be 1dB or 2dB for RSRQ and the
Offset
In order to overcome the 3-bit limitation for RSRQ, a 6-bit
coding version of RSRQ reporting is also defined in the

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4 | Connected-Mode Interworking

LTE-to-GERAN
CCO + NACC

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4 | Connected-Mode Interworking

E-UTRAN GERAN, CCO+NACC


S3/Gn
LTE

MME

EGPRS
SGSN

RIM Signaling

Gb/Iu

S1
BSS

eNB
UE

RRC Connected

RIM Signaling
Source RAN
Purpose set to:
CellChangeOrder
+NACC Sys info

MobilityFromEUTRA
Command

Target
RAN

Connection Estabmnt
to GERAN BSS using
System Information

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Network Assisted Cell Change is a mechanism for LTE to


GPRS inter-RAT handovers. It enables better
performance when a cell change has to occur in the
packet-switched domain and the PS-handover option does
not exist. NACC may be used optionally with Cell Change
Order procedure when a handover is initiated from the EUTRAN to GERAN. The exchange of RAN related
information is achieved through RIM signaling between
the Source and the Target radio networks. The RAN
information is relayed transparently between the source
and target using S1AP, BSSGP (in Gb mode), RANAP (in Iu
mode) and GTP between MME and SGSN. All nodes and
interfaces shown are impacted in order to support NACC
(Network Assisted Cell Change).

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4 | Connected-Mode Interworking

GERAN-to-LTE PS
Handover

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4 | Connected-Mode Interworking

GPRS-to-LTE Handover Preparation


UE

BSS

SGSN

S-GW

P-GW

eNB

MME

Measurement Report

1.Handover Decision
2. PS HO Required
Cause,
Source Cell ID,
Target eNB,
Source to Target
RAN Transparent
Container

3. Forward Relocation Request


IMSI, MM Context (incl. security info),
PDN Connections, TEID for C-Plane,
SGSN Address, Source to
Target Transparent Container

4.Bearer
priority
and QoS
mapping

5. Handover Request/Ack
UE id, Cause, Security info
EPS Bearer list, Source-to
-target transparent
Container
6. Forward Relocation Response
Indication
possible S-GW change
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requirement to do LTE AKA. PDN Connection contains


information about the IP addresses allocated to the
UE, APN to which UE is connected to, P-GW and S-GW
addresses, TEIDs for all the EPS bearers at the S-GW.
The next step is to prepare the LTE network for the
handover before the actual execution of the handover
process. SGSN triggers the handover preparation in
the target MME.

If PS handover is supported, it can be used instead of cell


reselection which is not suitable for real-time packet
services. The following is a generic PS handover inter-RAT
scenario from GERAN (A/Gb mode) to E-UTRAN, assuming
no change of S-GW/P-GW.
1-2. To start with, the UE is using GPRS access and the
user plane packets are getting transmitted over the
GPRS. Based on the measurement report sent by the
UE, the BSS initiates a handover to the LTE. BSS
sends the target eNodeB ID to the SGSN. A
transparent container carrying radio related
information is sent. This information is meant for the
eNodeB. The rest of the nodes carry it transparently.
3-4. Based on the eNodeB ID SGSN selects the MME
serving that target eNodeB and sends the S3
message Forward Relocation Required. SGSN sends
all the PDP context information and the security
information. MME does one to one mapping of the
PDP contexts with the EPS Bearers and also does
mapping of QoS profiles from GPRS to LTE.
Mapping of the security information eliminates the

146

5.

The MME sends a Handover Request to the identified


eNB. This is a request to establish the Bearers, and
to do so the MME provides UE ID, Cause (inter-RAT
HO), Integrity Key (IK), Ciphering Key (CK) and
allowed algorithms for both. The eNB will also receive
bearer information (e.g. number of bearers ) in the Sto-T container, but the EPS bearer list from the MME
overrides this information.

6.

If a new S-GW was involved (e.g., due to change in the


PLMN), the MME must indicate this to the SGSN for
establishment of new S4 GTP connections. The
Forward Relocation Response signals the end of
preparation phase for this scenario.

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4 | Connected-Mode Interworking

GPRS-to-LTE Handover Execution


UE

SGSN

BSS

Empty
buffers

P-GW

S-GW

7. PS HO Required Ack

eNB

MME

Target to Source
Transparent
Container

8. PS HO Command

Carries the RRC Connection


Reconfiguration message
from the target container

RAN parameters
for LTE access

9. E-UTRAN Access Procedure


10. HO to E-UTRAN Complete

11. HO Notification

12. Forward Relocation Complete ( Ack)


13. Update Bearer Req/Resp

SGSN may
maintain UE
context

EPS Bearer IDs, MME Address,


eNB address, TEIDs, PDN GW(s)
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At this point, the inter-RAT HO has been prepared through


the exchange of Transparent Containers between the
source (BSS) and target (eNB) radio networks. In the
Execution phase the UE is commanded to change RAT and
the in the Completion phase the old connections are
released and a Tracking Area Update will be eventually.
7.

The SGSN will now send the PS HO Required


Acknowledge message to the BSS in response to step
2. This information carries UE and logical link IDs, list
of setup packet flow connections and a Target-toSource Container with RAN related info. Before
sending this acknowledgment message the SGSN
may opt to suspend any downlink data for any bearer.
Likewise the BSS may empty any buffer info after
receiving the acknowledgment.

8.

Now the BSS can command the UE to handover to


the target eNB using the message PS Handover
Command. This message is the Mobility from EUTRA
Command message which carries the PS-Handover
information element. This message is based on the
transparent container information that was received
from the target eNB and help the UE in making a

speedier handover to E-UTRAN


9.

In this step, the UE performs the usual access


procedure for accessing the LTE cells. (We can expect
that accessibility to be made via a contention-free
procedure which is possible due to the eNB-to-BSS
container information )

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147

4 | Connected-Mode Interworking

GPRS-to-LTE Handover Execution


(continued)
UE

SGSN

BSS

Empty
buffers

P-GW

S-GW

7. PS HO Required Ack

eNB

MME

Target to Source
Transparent
Container

8. PS HO Command

Carries the RRC Connection


Reconfiguration message
from the target container

RAN parameters
for LTE access

9. E-UTRAN Access Procedure


10. HO to E-UTRAN Complete

11. HO Notification

12. Forward Relocation Complete ( Ack)


13. Update Bearer Req/Resp

SGSN may
maintain UE
context

EPS Bearer IDs, MME Address,


eNB address, TEIDs, P-GW(s)

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10-11. After successful access on LTE, the first uplink


message will be a signaling message, HO-to-E-UTRAN
Complete, which is received by the eNB, which in turn
informs the MME about the successful outcome of
the procedure using the HO notify message (S1AP).
This message includes the TAI and E-UTRAN Cell
Global ID.
12. Now the MME knows that the UE has successfully
made the HO and informs the SGSN. The Forward
Relocation Complete Notification message may
indicate that ISR (Idle State Signaling Reduction) is
activated, in which case the SGSN will maintain the
UE context for future use. The SGSN will acknowledge
this message.
13. The Handover Execution Phase ends when the MME
updates the new bearer information at the S-GW with
the GTP-C message Update Bearer Request, which
includes all the necessary information about the
established bearers, tunnel-end-point IDs, and PGW(s) among others.

148

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4 | Connected-Mode Interworking

GPRS-to-LTE Handover Completion


UE

BSS

SGSN

P-GW

S-GW

13. BSS Packet Flow Deletion

eNB

MME

Timer
based

Radio Bearer
S1 Bearer
S5 Bearer

14. TAU (when triggered)

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In step 12, a timer was started in the SGSN to monitor


when the resources in the radio network should be
released. After Forward Relocation Complete message is
received by the SGSN, the timer is activated and when it
eventually expires, the SGSN will start the procedure to
delete resources in the BSS.
The EPS bearer in LTE is now comprised of a EPS Radio
Bearer, an S1 Bearer between the eNB and the S-GW and
the S5 bearer between the S-GW and the P-GW.
If bearer configuration modifications were performed on
GERAN/UTRANAfter the PS handover is complete the UE
does a Tracking Area Update (TAU) if this is triggered by
conditions that require this procedure to be carried out.
Examples of this include entering a new tracking area, or
if reselection is done from GPRS READY state to E-UTRAN,
or due to a change of UE Core Network Capability.

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149

150

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5 | Idle-Mode Interworking

Chapter 5:
Idle-Mode
Interworking
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151

5 | Idle-Mode Interworking

Objectives
After completing this module, you will be able to:
Describe the idle-mode activities in LTE, UMTS and
GSM/GPRS
Illustrate the details of the inter-RAT cell reselection
procedure
Sketch a diagram showing state transitions between EUTRAN, UTRAN and GERAN
List key broadcast information parameters needed for
idle-mode cell reselection in all three RATs
Step through the multi-RAT PLMN selection procedure
Explain the features for reducing idle-mode signaling
Walk through the paging-area update signaling
procedure
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Chapter References:
[1] 3GPP TS 36.304 V8.5.0
Mode)

(UE Procedures in Idle

[2] 3GPP TS 25.304 V8.5.0


Mode)

(UE Procedures in Idle

[3] 3GPP TS 43.022 V8.1.0 (MS in Idle Mode and Group


Receive Mode)
[4] 3GPP TS 44.018 V8.6.0 (RRC)
[5] 3GPP TS 23.003 V8.4.0 (Numbering, Addressing and
Identification)
[6] 3GPP TS 23.401 V8.4.1 (GPRS Enhancements for EUTRAN Access)
[7] 3GPP TS 25.331 V8.6.0 (RRC)
[8] 3GPP TS 36.133 V8.5.0 (Requirements for RRM)
[9] 3GPP TS 25.133 V8.6.0 (Requirements for RRM)
[10] 3GPP TS 45.008 V8.2.0 (RAN Radio Link Control)

152

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5 | Idle-Mode Interworking

Device States and IRAT


Mobility Procedures

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5 | Idle-Mode Interworking

Idle-Mode Activities
Idle-Mode
Activities
Paging Operation

Enter IDLE Mode

Tracking Area Updates

Exit IDLE Mode

Cell Reselection and


PLMN Selection
Activities During Paging Occasion
Activities During DRX Interval

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Idle Mode Entry: The idle mode is entered when the


NAS signaling connection between UE and ME is
released.

Cell Selection and Reselection: When in idle mode


the selection of a suitable cell is performed by the UE
through measurements and the guidance of cell
selection criteria parameters. To speed up the
process, the UE may contain stored information for
several RATs. It initially camps on the best cell it can
and then periodically look for better cells. If a better
cell is found, that cell is selected. This is known as
cell reselection and the criteria may be different from
the initial choice of cell. The criteria for these
activities are sent to the UE in SIBs. One such
parameter is the RAT/Frequency Selection Priority'
(RFSP). The RFSP is a per UE parameter that is used
by the eNB to derive UE specific cell reselection
priorities to control idle mode camping.

Tracking Area Update: Numerous conditions lead to


UE TA update such as camping on a new cell, timer
expiration, and power-down.

154

Activities during the DRX Interval: Examples of


activities that may occur during this stage are reselection of a preferred BS, scan neighbors, power
down or any other activities where the UE is not
required to be available for DL traffic.

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5 | Idle-Mode Interworking

Idle-Mode Activities (continued)


Idle-Mode
Activities
Paging Operation

Enter IDLE Mode

Tracking Area Updates

Exit IDLE Mode

Cell Reselection and


PLMN Selection
Activities During Paging Occasion
Activities During DRX Interval

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Activities during the Paging Occasion: Prior to this


stage, the UE must read the system information
messages to prepare for reception of the PCH
channel during the paging occasion. Note that the
paging occasion occurs for just one subframe during
the DRX cycle. The eNB broadcasts a page message
to indicate the presence of DL traffic on an existing
EPS bearer or to send high level signaling messages
to the UE perhaps to setup a new bearer. The paging
message is identified by a Paging RNTI. A single
paging message may contain pages for multiple UEs
so each UE must decode the message and look for a
paging record with its unique identifier. UE is
identified by the S-TMSI in the paging record. Possible
actions by the UE in response to the page are service
request or tracking area update.

Idle Mode Exit: Conditions leading to the termination


of the idle mode include answering a page or the
independent establishment of a NAS signaling
connection in order to reactivate current bearers.

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155

5 | Idle-Mode Interworking

EGPRS Radio Resource States


Packet Idle Mode:
MS does not occupy a
radio resource
Temporary Block Flow
(TBF) does NOT exist
MS monitors the BCCH
and CCCH

PACKET IDLE
MODE

LLC Frames to send


Establish TBF

No LLC frames
to send

Packet Transfer Mode:


TBF established
MS monitors a PDCH
MS occupies radio
resources

PACKET TRANSFER
MODE

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When the mobile station is activated for data services, it


will be in one of two states at the Radio Resource layer:

Packet Transfer Mode

Packet Idle Mode

In the packet transfer mode, the mobile station is


allocated a radio resource providing a Temporary Block
Flow (TBF) for a physical Point-to-Point (PTP) connection on
one or more physical channels. This allows for the
unidirectional transfer of the Logical Link Control (LLC)
frames between the network and the mobile station.
Concurrent TBFs may exist in order to support
simultaneous transfer of data in both the uplink and the
downlink. Note that this does not mean that the MS is
constantly sending or receiving while in this state. Much
of the time it is either waiting to send or waiting to receive.
When there is no more data queued up to be transferred,
the TBF(s) are released and the MS transitions to packet
idle mode.

sub-channels on the Common Control CHannel (CCCH).


The transition from packet idle to packet transfer mode
can be triggered implicitly whenever a higher layer needs
to transfer a frame. This accommodates the packet data,
which is typically characterized by discontinuous traffic
with short bursts of high activity interleaved with periods
of idle time.

In the packet idle mode, no radio resources are allocated,


and no TBF exists. The mobile station is not actively
transferring data. Instead, it monitors the relevant paging

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5 | Idle-Mode Interworking

UTRA RRC States


URA-specific Paging
using PCH

Cell-specific Paging
using PCH

RRC Connected Mode

Downlink and
Uplink Data
Transfer

URA_PCH

Cell_PCH

Cell_DCH

Cell_FACH

Transition State;
Cell-specific Paging
using FACH

RRC IDLE Mode


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Four RRC states are defined for a UE in the RRCConnected mode. The first word in the state name
indicates the geographic area resolution at which the UE
location is known. The second word in the state name
specifies which transport channel is used for
communications with the UE. For example, CELL_DCH
implies that the UEs location is known at the cell level
and a DCH (Dedicated Channel) is used for
communicating with the UE. The main state used for
uplink and downlink data transfer is CELL_DCH.
Cell_FACH is typically used as a temporary state where the
UE is continuously monitoring the downlink for an RRC
message, and, the UTRAN uses the Forward Access
Channel (FACH) to communicate with the UE. The UE is
typically moved from the CELL_FACH to CELL_DCH for
dedicated mode data transfer. URA_PCH and Cell_PCH
states involve the UE monitoring the PCH (paging Channel)
periodically for a potential page message. For the sleep
mode states, URA_PCH and Cell_PCH, the user must
move onto either common channels or dedicated
channels to transfer data in the uplink direction. The RNC
assigns the UE to either the Cell_FACH or Cell_DCH state,
depending on the quality of service required for the data

session, with Cell_DCH more commonly used. The UE


needs to do a cell update as it crosses from one cell to
another cell in Cell_PCH state, while The UE needs to do a
URA (UTRAN Registration Area) update as it crosses from
one URA to another URA in URA_PCH state. Form the
uplink signaling perspective, URA_PCH is preferred to
Cell_PCH.

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157

5 | Idle-Mode Interworking

Radio Network Mobility in LTE


Radio Network Mobility

RRC Idle

RRC Connected

Cell Reselection

Handovers

UE-controlled
No measurement reports

Network-controlled, UE assisted handovers


Measurement reports are
sent from UE to eNB

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Mobility is the key differentiator between mobile wireless


systems and other forms of wireless communication (such
as Wireless LANs). Mobility tracks the location of the user,
so that new service requests can be established quickly,
and active applications can continue to operate as the
user moves. In LTE, the specific functions of mobility
differ, depending on the state of the UE:

RRC Idle: Whenever a UE first powers up, it must


locate a suitable cell, synchronize itself, and monitor
the network before it can initiate or receive service. If
the UE moves away out of the coverage area of the
cell, it must select another cell that is capable of
supporting its needs. Cell selection and reselection
are entirely under the control of the UE.

158

RRC Connected: After the UE registers with the


network and establishes an RRC connection, the
mobility process changes. The UE is provided with an
active set (a group of cells to monitor and measure),
and the network determines when and where the UE
hands over, based on measurement reports from the
UE. This allows the network to more closely track the
UEs location and ensure that the UE is always using
the optimum cell for its services.

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5 | Idle-Mode Interworking

State Transitions and Interworking


GSM/GPRS

UMTS

LTE

Cell_DCH

RRC_Connected

GSM Active
HO

HO
CCO
+NACC

Cell_FACH
Connection
Establishment
Release

URA_PCH
Cell_PCH
Connection
Establishment
Release

CCO
Reselection

Reselection

GPRS Packet
Transfer Mode

Connection
Establishment
Release

Reselection

Idle

GSM Idle
GPRS Packet Idle

RRC_Idle
CCO
Reselection

Reselection
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The interworking between the three access technologies,


E-UTRA, UTRA and GERAN involves transitions between
different UE/MS states. These transitions take place
depending on the current state of the mobile and the
mobility context for the device on the network side.
As an example, when the UE is in RRC-CONNECTED mode
in LTE, the process that takes the mobile to CELL_DCH
state in UMTS is network based handover. In both of these
states, the UE is actively using radio resources and has
established radio bearers. A handover is also the process
that takes a UE in RRC_CONNECTED mode in LTE to
GSM_Connected mode and/or GPRS_Packet_transfer
mode.

UE will do a Location/Routing area update and may


eventually enter one of the sleeping modes
CELL/URA_PCH.
Between LTE and GSM, only handovers occur when the UE
is not idle. However, state transitions between GERAN and
LTE may involve CELL_CHANGE_ORDER (CCO) messages
with optional Network Assisted Cell Change (NACC) or just
cell reselection in the case of GPRS Packet transfer mode
to E-UTRA RRC_IDLE mode. In case of GSM_Idle or GPRS
Packet Idle to E-UTRA RRC_IDLE, Cell Reselection and/or
Cell Change Order processes may be used.

On the other hand, a sleeping UE in UMTS mode such as


CELL_PCH or URA_PCH may prefer to jump on a nearby
LTE cell (perhaps triggered by variation in cell signal
strength). In that case, the process is initiated by the
handset and is called Cell Reselection. Note that the same
state transition does not occur for an idle UE in LTE. For
an RRC_IDLE UE in LTE, the mobile will go to UTRA_Idle
(same as UTRA RRC_Idle) mode if it prefers to do cell
reselection to UMTS. After reselecting the UMTS cell the

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159

5 | Idle-Mode Interworking

Idle-Mode Interworking

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5 | Idle-Mode Interworking

Idle Mode in LTE


EPS
UE States

MME

RRC IDLE
EMMREGISTERED
ECM-IDLE

P-GW
S5

S11
S-GW

Signaling Bearer
One or more
Bearers to one or
more PGWs

PDN

What is IDLE Mode?

No NAS Signaling connection exists


At least one PDN Connection exists
UE is registered with MME and EMM context exists
eNB has no context information

Benefits of IDLE Mode:


Conserves resources in E-UTRAN
Conserves battery power in the UE
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A UE is in idle mode when no NAS signaling connection


exists between the UE and the network. There exists no
UE context in E-UTRAN and there is no S1 connection
either to the MME or S-GW.
The E-UTRAN state LTE_DETACHED corresponds to the
NAS Spec EMM-DEREGISTERED. The state E-UTRAN
LTE_IDLE and LTE_ACTIVE correspond to the
combinations EMM-REGISTERED/EMM-IDLE mode and
EMM-REGISTERED/EMM-CONNECTED mode, respectively.
When the UE is in EMM-REGISTERED state, an EMM
context has been established in the UE. When the UE is in
EMM-IDLE mode, the UE location is known to the MME
with an accuracy of a list of tracking areas. Idle mode
enables the UE to periodically become available for
downlink broadcast paging without the need for
connection to a specific BS and without handover
operations. The Idle mode allows the UE to save power
because the UE only scans the downlink at discrete
intervals. Furthermore, the network can send a page
message to the UE in a timely manner.

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161

5 | Idle-Mode Interworking

Idle Mode Entry in LTE


EPC
UE

UE
inactivity
timer
expires

MME

eNB
1.

UE Context
Release

2. Update Bearer Request

4. UE Context
Release Command

5. RRC Connection Release

S-GW

6. UE Context
Release Complete

3. Update Bearer Response

S-GW
releases just
the S1-U
bearers.

eNB deletes
complete UE
context

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Entering idle mode is normally caused by inactivity of the


UEs service data flows. If no traffic is flowing for the UE
then it will benefit the E-UTRAN if it can delete all the
connections the UE has both signaling and traffic.
1.

When an inactivity timer expires in the eNB for this


user it sends an S1 UE Context Release Request
(Cause=inactivity) message to the MME. Other
reasons for release this connection include O&M
intervention, radio connection failure, security
reasons, etc.

NOTE: If the release is initiated by the MME, then


Step 1 is not performed but all subsequent steps
are the same.

2.

The MME sends an Update Bearer Request message


to the S-GW so that the S1-U bearers associated with
the UEs EPS bearers are released.

3.

The S-GW responds with an Update Bearer Response


message to the MME. Note that though the S1 bearer
is released in the S-GW, it retains the associated S1U configuration, allowing for more efficient re-connect
at a later time. In addition, the S5-U configuration is

162

unaffected by this procedure and the P-GW is not


aware that this procedure has taken place. If traffic
arrives for the UE on the S5 interface after the S1-U
bearers are released the S-GW will buffer packets
and trigger a re-establishment of the S1-U
connections.

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5 | Idle-Mode Interworking

Idle Mode Entry in LTE (continued)


EPC
UE

UE
inactivity
timer
expires

MME

eNB
1.

UE Context
Release

4. UE Context
Release Command

5. RRC Connection Release

6. UE Context
Release Complete

S-GW

2. Update Bearer Request


3. Update Bearer Response

S-GW
releases just
the S1-U
bearers.

eNB deletes
complete UE
context

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4.

The MME now commands the eNB to release its


corresponding S1-U context.

5.

The eNB sends RRC Connection Release message to


the UE to tear down all traffic and signaling bearers
on the air interface. The eNB deletes the UEs
context.

6.

This step occurs in parallel with Step 5. The eNB


sends a confirmation to the MME. At this point, the
S1-AP signaling connection between the MME and
the eNB for the UE is released. The MME retains the
part of the UEs MME context not related to the EUTRAN including the S-GWs S1-U configuration
information.

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163

5 | Idle-Mode Interworking

System Information for IRAT Procedures


SIB 1, 3, 6, 7 (PLMNs, Offsets, Timers, Priority,)
SIB 6: UTRAN Neighbors
E-UTRAN
SIB7: GERAN Neighbors

SIB 3, 4, 6, 18, 19 (PLMNs, Offsets, Timers, RAT Priority,)


SIB19: E-UTRAN Neighbors
UTRAN

SI 2 quarter (E-UTRAN neighbor cell list, Forbidden E-UTRAN Cell


list)
GERAN

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After a UE has found a suitable cell, regardless of the


radio access technology type, it will start to read the
system information elements which are broadcasted from
that cell and also monitor specific signaling channels such
as paging. In the UTRAN and the E-UTRAN, the broadcast
information are extensive and are designated in various
system information blocks, or SIBs. The SIBs are
scheduled according to the information that is carried on a
Master Information Block (MIB) and SIB 1. In GSM and
pre-release 99 3GPP technologies, the broadcast channel
structure is simpler, and the MIB is not used. Different
types of system information are broadcast and identified
by a System Information (SI) number, such as SI 2
quarter.

In UTRAN, the corresponding information is broadcast on


SIBs 6, 18 and 19 as well as SIBs 3 and 4 which convey
cell reselection parameters for Inter-RAT.
In GSM/GERAN, system information from second quarter
is modified in release 8 to include LTE-related cellreselection parameters such as E-UTRAN Neighbor Cell
List and Forbidden (Blacklisted) Neighbor Cell List.

In E-UTRAN, SIBs 1, 3, 6 and 7 carry relevant information


for Inter-RAT cell change. These include information about
offsets between the serving and neighboring cells,
hysteresis values for avoiding the ping-pong effect,
network ID and access technology priorities and other
parameters that control the UEs idle mode behavior for
IRAT cell (re)selection.

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5 | Idle-Mode Interworking

Key IRAT SIB Parameters in LTE


SIBs: 1,3,6,7

eNodeB

Cell Reselection Priority and


Characteristics
Q-offset(s\n)
Q-hyst
Q-rxlevmin
Thresh (freq, high)
Thresh (freq, low)
Thresh (serving, low)
T-reselection (EUTRA)
T-reselection (UTRA)
T-reselection (GERA)
S(nonintrasearch)
Speed dependent reselection
parameters
.

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The cell reselection parameters which are relevant to IRAT


are as follows:

Cell Reselection Priority: This specifies the absolute


priority for E-UTRAN frequency or UTRAN frequency or
group of GERAN frequencies. This information
element contains more detailed cell-specific
information for cells in each type of RAT. This would
include scrambling codes for UTRAN cells for example
and the ARFCN and BSIC (Base Station Identity Code)
for GSM/GERAN cells respectively.

Q-offset(s,n): This specifies the offset between two


cells (Serving and Neighboring).

Q-hyst: This specifies the hysteresis value for ranking


criteria.

Q-rxlevmin: This specifies the minimum required Rx


level in the cell in dBm.

T-reselection (RAT-type): This specifies the cell


reselection timer value for the RAT type. i.e., EUTRA,
UTRA or GERAN.

Thresh (freq, high, low): This is the threshold used by


the UE when reselecting a higher/lower priority
frequency (freq) than the one used in the current
serving cell. There may be different thresholds
defined for each IRAT frequency.

Thresh (serving, low): This is the threshold for serving


frequency and is used in reselection evaluation
towards lower priority RAT

S(nonintrasearch): This is the threshold in dB for EUTRAN inter-frequency and inter-RAT measurements

In addition to the above parameters, LTE defines speed


dependent reselection parameters corresponding to each
of the parameters in above. These parameters are used to
avoid excessive cell reselections for a mobile that is in
high-mobility state.

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5 | Idle-Mode Interworking

Key IRAT SIB Parameters in UTRAN

Node B

PLMN List Up to 6 IDs (in


MIB)
Idle/Connected mode PLMN
IDs of neighbor cells
Frequency band Indicator
S (limit,SearchRATm)
S (search,RAT)
RAT List
Q-hyst, offset,
T (reselection)
Priority List information for
GSM, E-UTRA and UTRA
ARFCN info for GSM cells
UTRAN FDD frequencies
Blacklisted cells for E-UTRA
and, Physical Cell IDs
..

SIBs: 6,18,19

Priorities
between
different
RATs

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The list in the diagram shows some of the most relevant


Cell Search parameters which are broadcasted in a
UTRAN cell for the purpose of Cell/PLMN selection.

PLMN lists indicates the available PLMNs in case of


RAN-sharing. Up to six PLMN IDs may be broadcast
from the same cell. There is an option for not
broadcasting the MCC (Mobile Country Code).

It is possible to influence the choice of PLMN by the


UE based on the mode of the UE. Thus there are two
different PLMN IDs for neighboring cells for (RRC) idle
and (RRC) connected cases.

Frequency bands are indicated in SIB 6.

S parameter values for cell reselection on different


radio access technologies, as well as hysteresis,
offsets and timers are indicated in the SIBs.

An important option in controlling the inter-RAT cell


reselection is the broadcast of Absolute Priority
criteria. SIB 19 in UMTS will provide these reselection
parameters for inter-RAT. Only cells for which a
priority and thresholds (hysteresis, timers, etc.) are

166

defined will be considered for reselection. As an


example of Priority information for GSM, we find the
ARFCN (Absolute Radio Frequency Channel Number),
the band indicator and the starting and ending
ARFCNs. A priority value is associated with the cells
with 0 indicating the lowest priority and maxPrio-1 as
the highest. For UTRAN we have the normal cellreselection parameters as well as the priority value,
and for E-UTRAN we find E-ARFCN, Measurement
bandwidth and the priority value for the RAT.
The network should ensure that priorities for different
RATs are always different.

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5 | Idle-Mode Interworking

Key Information in SI 2-quater


3G Neighbor cells description,
measurement criteria and cell
search criteria

E-UTRAN Cell Info


and Measurement Report
Parameters

Cell Change Notification


Parameters

The list of UMTS frequencies and the scrambling


codes of the neighbor cells
The required information on the measurement
technique, thresholds, and cell reselection
parameters
Threshold for when the mobile starts taking 3G
measurements

The E-UTRAN Reselection/Neighbor list may contain


up to 8 frequencies.
List of Not Allowed Cells may be included
Priority value for E-UTRAN
Cell Search Parameter (Qsearch_I)
Measurement Parameters Description for Enhanced
Reporting

If Cell Change Notification procedure is used for cell


reselection, then the MS is informed about that in here.

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SI 2-quater is the system information message in


GSM/GERAN which will carry IRAT related information. For
LTE, this comprises the E-UTRAN cell reselection list which
may contain up to eight frequencies. This system info also
broadcasts the Measurement Parameters Description
Information Elements which inform the MS about
thresholds and use of measurement reporting
mechanisms (e.g., enhanced measurement reporting).

network about the proposed target cell by sending a


PACKET CELL CHANGE NOTIFICATION message. The
network will then respond with information about the
neighbors of the serving cell. The purpose of this
procedure is to enhance the reliability of cell reselections.
There is also a new procedure defined in Release 8 for
faster acquisition of System Information. The use of this
procedure is signaled in SI 2-quater as well.

RAT priorities can be assigned and the network shall


ensure that the GERAN priority value is different from all
E-UTRAN priority values and UTRAN priority parameters.
The parameter Qsearch_I informs the mobile station
about the thresholds that must be met before the MS
does Inter-Rat measurements towards a E-UTRAN cell.
This parameter therefore can control the reporting of EUTRAN cells.
If the the target cell is an E-UTRAN cell and if Cell Change
Notification is activated towards E-UTRAN cells, then
instead of performing the cell change, the MS will start a
timer and enter the CCN mode. In this mode, the MS will
delay its cell-reselection procedure and inform the

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167

5 | Idle-Mode Interworking

UE Idle Mode Procedures


User indication
Automatic

PLMN Selection

GSM/UTRAN
LA, RA, TA Update
response

Manual

PLMN Selected

PLMN
available

Cell (Re) Selection


GERAN/UTRAN

NW control
Registration Area (LA,
RA, TA) Change

Registration

LTE

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In all the three radio access technologies, the UE/MS has


to follow defined procedures which result in the selection
of a PLMN and eventually camping on suitable cell.
Once a mobile has synchronized with a cell (cell
acquisition, not selection!) it can the read the broadcast
information from that cell, which may broadcast multiple
PLMN IDs if network sharing is used as an example. At
this early point in the procedure, the UE does not know
whether it is in the right PLMN. Thus the first step in the
process is PLMN selection.
PLMN selection can be set to automatic or manual mode,
typically this is done through the mobile devices user
interface. In the Manual mode the subscriber can see the
available network IDs on the display (User Indication in the
display) and choose from the list. In automatic mode the
device may use parameter settings in the SIM card to
choose a permissible network.

procedure. The process of cell (re)selection is strictly


controlled by network parameters of a given RAT which
are broadcast in System Information messages or by
measurement control procedures in each radio access
technology.
After the initial cell selection or after re-selecting a cell in a
new registration area, (which is a Location Area (LA) in
GSM, and a Routing Area (RA) in EGPRS, or both in UMTS,
and a Tracking Area (TA) in LTE) the device must do a
registration area update. The purpose of this registration
is to be paged correctly in the right RAT and area. The
registration process is a NAS procedure. After the
necessary security procedures such as authentication, the
network will respond with a registration area update which
can then result in a new cell reselection procedure or
PLMN selection. The latter can occur for example as a
result of an authentication rejection message or a
redirection message.

After PLMN selection, the device must camp on a suitable


cell with enough signal strength to guarantee a good
chance of success during service establishment. If the cell
is not suitable, this will result in a cell re-selection

168

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5 | Idle-Mode Interworking

Exercise: Match the Columns


System
Information
1. SIB 6
2. SIB 7

3. SIB 19
4. SI2 quarter

Specifics
A. Conveys information
about GERAN neighbors
B. Conveys information
about E-UTRAN
neighbors for the UEs
observing UTRAN
C. Conveys information
about E-UTRAN
neighbors for the UEs
observing GERAN
D. Conveys information
about UTRAN neighbors
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169

5 | Idle-Mode Interworking

IRAT Cell (Re)selection

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5 | Idle-Mode Interworking

Searching for a Suitable Cell


Reserved Cell

Suitable Cell

Barred Cell

Acceptable Cell

Operator service
(Operators use)

Normal service
(public use)
Limited services
(emergency calls)

Restricted Access

Which is my Suitable Cell?


i.e., cell which is:
Part of a selected PLMN,
Not barred, and
Satisfies my cell selection criteria

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The UE will divide the surrounding cells into four


categories, depending on their suitability for providing
service to the UE:

A suitable cell is the type the UE is actively searching


for. It satisfies the cell selection criteria, is not barred
or reserved for operator use, and is part of the
selected PLMN. A suitable cell is (potentially) capable
of supporting all of the UEs services.

An acceptable cell also satisfies the selection criteria,


and is not barred or reserved; however, it may not be
part of the desired PLMN. An acceptable cell may
limit the UE to emergency calls only, but can be used
as a starting point for locating a suitable cell later on.

A barred cell does not allow any access from the UE,
due to traffic overload or other conditions. The UE will
not attempt to select any barred cell.

A reserved cell is part of a registration area that the


UE is not allowed to enter. In general, reserved cells
are only for the operators use (for initial testing, etc.);
the UE will not attempt to select any restricted cell.

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5 | Idle-Mode Interworking

Suitable Cell Selection

UE

eNB

Checks:
Yes, PLMN ID matches
Cell not barred/restricted
Cell selection criteria satisfied
OK! I have found a suitable cell
If any of the checks fail, select another cell
and repeat the process
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Once the UE finds a cell which is strong enough, it checks


the cells PLMN identity and barring status in SIB 1. If the
PLMN is in the UEs prioritized PLMN list and if the cell is
not barred, then the cell is suitable and the UE can select
it. Otherwise, the UE moves on to the next cell and repeats
the process.

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Cell Selection Criteria (LTE)


2. Measures
RSRP / RSRQ

UE

3. Calculates: Srxlev, Squal

eNB
Cell Selection Criteria (Release 8)
Cell Selection Criteria (Release 9)

Srxlev > 0
Srxlev > 0 and Squal > 0

Srxlev = (Qrxlevmeas) (Qrxlevmin + Qrxlevminoffset) Pcompensation


Squal = Qqualmeas (Qqualmin + Qqualminoffset)

Similar Criteria in UTRAN and GERAN


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In order for a cell to be selected in Release 8 of LTE, it


must provide at least a minimum level of signal strength
to the UE. The UE will measure the downlink reference
signals from the cell, and calculate the Cell Selection
Receive Level (Srxlev) for that cell. If Srxlev > 0, then the
cell is good enough to serve the UE. In Release 9 of LTE,
the cell selection criterion adds a second measure, Squal,
the Cell selection quality value, that must also be
satisfied. i.e., Srxlev > 0 AND Squal > 0.
These values are defined as follows:

Srxlev
=
(Qrxlevmeas)

Qrxlevminoffset) Pcompensation

(Qrxlevmin

Squal = Qqualmeas (Qqualmin + Qqualminoffset)

Where:

Qrxlevmeas is the measured


received power (RSRP)

reference

Qrxlevmin is the minimum level for selecting this cell

Qrxlevminoffset is an offset to Qrxlevmin which is only


used when the UE is in a visited PLMN and is
searching periodically for a higher priority PLMN.

Qqualmeas is the measured cell quality value (RSRQ)

Qqualmin is the minimum required quality level in the


cell (dB)

Qqualminoffset is the offset to Qqualmin which is only


used when the UE is in a visited PLMN and is
searching periodically for a higher priority PLMN.

Pcompensation = max(PEMAX PPowerClass, 0),


where PEMAX is the maximum TX power level a UE
may use when transmitting on the uplink in the cell
defined as PEMAX in 36101 and PPowerClass is the
maximum RF output power of the UE according to the
UE power class.

The parameters in the above equations are found in SIB


Type 1.

signal

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5 | Idle-Mode Interworking

Measurement of IRAT cells


If the serving cell is good enough, I will
not search for equal or lower priority RATs,
but I will search for higher priority RATs
occasionally in any case.
RSRP Neighboring
LTE cell

BCCH-carrier Signal
Strength

GERAN Neighbor

RSRP Serving cell


CPICH_RSCP and
CPICH Ec/I0
Neighboring cell

UMTS Neighbor
Serving Cell
UE will measure for reselection:
Periodically for higher-priority RAT
Higher, lower and equal priority RAT when SservingCell < Snonintrasearch)
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The aim of the cell reselection procedure is to assure that


the mobile device is always camped on the best cell when
in idle mode. The decision for cell change is made by the
mobile based on the network settings for cell reselection.
When a request for service is initiated (in either direction)
the probability of a successful outcome increases if the
most favorable cell is used. The criteria for cell reselection
must be chosen carefully to avoid too frequent cell
changes (ping-pong effect) or too slow reaction to changes
in radio condition. This criteria generally depends on the
signal strength of a pilot-like channel from the
neighboring and serving cell as well as the ability of the
mobile to close the uplink connection (e.g. maximum
power of the UE). Typically, it is expected that most of the
cell reselection procedures involve intra-frequency cell
changes. However a cell reselection can sometimes imply
also change in the RAT.

priority rules for cell reselection for the UTRAN and GERAN
are similar to those in the E-UTRAN as far as reselection to
LTE is involved.

For LTE, as long as the UE remains in RRC-Idle state, it


continues to search for the strongest cell within its
preferred PLMN. The UE will move to a different cell (cell
reselection) if the current serving cell is no longer strong
enough (Srxlev < 0), or if a neighboring cell is better. The

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5 | Idle-Mode Interworking

Cell Reselection LTE UMTS/GSM


UE does not need to search for a lower
priority RAT if SServingCell > Snonintrasearch
Higher priority RATs are searched at least
every 60 seconds in any case
BTS

Serving
eNB

NB

In here a lower
priority is assumed
for UTRAN/GERAN

Eight priorities 0-7


RRC_Idle UE
Treselection,RAT

SServingCell
SnonServingCell,x

0 highest, 7 lowest
SIB 6 for UTRAN
SIB 7 for GERAN
RATs have non-equal
priorities

Threshx,low

Snonintrasearch
At least 1 sec on
serving cell

Threshserv,low
> 1sec

Reselection
SearchAward
IRAT
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The RSRP of the serving cell is measured and evaluated


every DRX cycle (320ms-2560ms) for an idle UE and will
be used for evaluation of inter-RAT cell reselection criteria.
When camping on serving eNodeB the RRC Idle UE will
search for higher priority RATs at least every 60*N
seconds, where N is the total number of higher priority
RAT layers for UTRA and GERAN (generally a layer can be
an inter-frequency or Inter-RAT). The absolute priorities
are numbers between 0 and 7, with 0 being the highest
priority. Each RAT type can be given a certain priority value
for the purpose of cell reselection. This information can be
conveyed to the UE through SIBs 6 and 7 or dedicated
signaling (e.g. RRC Release) in E-UTRA. Equal priorities
between RATs are avoided.
In this scenario, we assume the other available RAT(s)
have lower priority than E-UTRA. In this case, it is generally
desirable for the idle UE to ignore lower priority RATs when
the signal quality of its serving E-UTRA cell is above a
certain threshold. This strategy reduces the probability of
unnecessary cell reselections and keeps the LTE-capable
UE in the LTE domain. The UE may choose not to measure
lower priority RATs if SservingCell > Snonintrasearch.

time

The reselection criteria for lower priority RAT reselection


depend on parameters SServingCell, SnonServingCell,x ,
Treselection,RAT , and Threshx,low and Threshserving,low. A cell
reselection occurs when the serving cell signal level
SServingCell is below Threshserv,low and the lower priority RAT
cell has SnonServingCell,x on frequency x greater than
Threshx,low for frequency x for a duration of Treselection,RAT
and more than one second has passed since the UE
camped on the current E-UTRAN cell (to avoid rapid pingponging). The S values in general are the evaluated as in
the case for Srxlev for cell selection criteria.
It is worth mentioning that cell reselection parameters
such as the ones described in the above can be scaled
(change in value) depending on the ground speed of the
UE.

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5 | Idle-Mode Interworking

Cell Reselection UMTS LTE


UE will measure LTE cells of higher priority
at least every 60 seconds or faster
depending on the values of Srxlev and
Squal
Serving
NB

eNB
In here, a higher
priority RAT is
assumed

Srxlev

UE states
Idle/PCH/FACH

When no priorities
exist, normal cell
selection criteria
apply (Srxlev>0 and
Squal>0 )

Treselection, state

Thresh x, high
At least 1 sec on
serving cell

Cell Reselection occurs

> 1sec

time
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In Inter-RAT reselection from UTRA to E-UTRA, the UE will


receive RAT priority information on SIB 19 (or on
dedicated signaling messages) with relevant frequency
band information for each RAT type. No explicit neighbor
list with cell IDs is required in this case and the LTEcapable UE is required to have the ability to decode the
cell IDs in any case. If no absolute priorities are given to
the UE, then normal cell reselection criteria apply similar
to inter-frequency criteria that exist in UMTS.

Threshx,high and a state dependent reselection timer,


Treselection,state. Cell reselection occurs when the S value of
the non-Serving Cell (Srxlev) is greater than Threshx,high
for a duration of Treselection,state which depends on the
RRC state of the UE. For good measure the UE must have
been camping on the current serving UMTS cell for at least
1 second before attempting cell reselection to LTE.

For reselection to E-UTRA, the UE can be in UTRA-Idle


mode or in the sleeping RRC Connected modes in UTRA,
namely the CELL_PCH and URA_PCH modes. Inter-RAT cell
resection is also supported for UE in the RRC Connected
mode called Cell_FACH, which is considered a low datarate/signaling mode in UMTS. (Cell reselection does not
occur in Cell_DCH mode, where handovers are the main
cause of inter-RAT procedures.)
In this example, we assume that E-UTRA is the higher
priority RAT. This is a likely scenario for an LTE-capable
device which should by default strive to be in the LTE
domain. The parameters required for cell reselection are
Srxlev of the non-serving LTE cell, the threshold

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5 | Idle-Mode Interworking

Cell Reselection GPRS LTE


MS will measure IRAT cells of higher
priority at least every 60 sec.
UE reselects if reselection criteria is ok
Serving
BTS

eNB
In here a higher
priority RAT is
assumed

Snon-serving

MS states
Packet_Idle/transfer
Treselection
ThreshE-UTRAN ,high
Reselection

> 5 sec

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Cell reselection from EDGE/GPRS (EGPRS) to LTE is


similar to the procedure for UMTS to LTE. Note that it is
possible to do a reselection from the Packet Transfer
mode of GPRS to E-UTRA RRC_IDLE mode directly without
the need for handover which in EGPRS is done through a
Cell_Change_Order procedure. For a Packet_idle MS, cell
reselection is the procedure that can push the MS into
LTE domain. In general, an LTE-capable MS will search for
LTE cells at least every minute regardless of the serving
cells Rxlev and path loss criteria (C1/C2) if LTE is
designated as the higher priority RAT. It is expected to
designate LTE as the higher priority RAT in areas where
LTE coverage exists as an overlay on 2G.

time

For reselection purposes, the MS will evaluate the Srxlev


(RSRP Qrxlevmin) for the neighboring LTE cells.
Information about the LTE cells and frequency priorities is
given to the MS on System Information 2 quater.
Reselection occurs from EGPRS to LTE when the S value
of the non-serving LTE cell is above a preset threshold
ThreshEUTRA,high for at least Treselction time period. The MS
must have been on the EGPRS cell for at least 5 seconds
before attempting measurements for cell reselection to
other RATs.

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Cell Reselection Speed Dependent


UE Mobility State = Medium
Treselection,RAT x 0.75 (shorter time!)

Signal
Strength

QHyst

Neighbor
Cell

Serving
Cell
time
Treselection,RAT

UE reselects earlier

Three mobility states: normal, medium, and high speed


State determined by frequency of reselections
Normal Mobility is the default, other Award
states
will scale reselection parameters by a factor
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In general, the UE reselects a new cell if the signal


strength of the new cell is better than the serving cell by a
certain amount for a certain length of time. This high level
understanding applies equally well to intra-frequency,
inter-frequency and inter-RAT cell reselections. In all
cases, it is possible to apply a +ve bias to the serving cell,
QHyst in the diagram. QHyst is a common parameter sent in
SIB3. The timer, Treselection that the UE uses depends on
the type of RAT the UE is reselecting to and varies from 0
to 7 seconds.
How long should the timer be? It should be long enough
so that the neighbor cell is well established as the better
cell. But the time should not be too long lest the serving
cell cannot provide adequate service during the evaluation
period. Based on these criteria, it is clear that the speed
at which the user is moving should have an impact on the
reselection timer. For example, if the user is traveling
away from the serving cell at 120 km/h it would need to
reselect a neighbor cell earlier compared to when the user
is walking that same route. To accommodate this, LTE
provides additional parameters for speed dependent cell
reselection. To keep it simple just three speed ranges are

178

defined, the relevant reselection timer is reduced by a


configurable factor, and the positive bias to the serving
cell signal strength, QHyst, is reduced by a configurable
factor.
How does the UE know how fast it is moving? LTE is
optimized for pedestrian to low vehicular speeds so
normal mobility corresponds to speeds of up to about 15
km/h. The UE calculates its speed in terms of the
number of cell reselections it does during a configurable
time period. There are three possible speeds or mobility
states: normal, medium and high mobility states. The UE
will be configured with two thresholds enabling it to
calculate its mobility state. For example, in one minute if
the UE does 6 or more reselections it enters high mobility
state and if it does more than 3 but less than 6
reselections it enters medium mobility state. Otherwise it
remains in normal mobility state. The counting of the cell
reselections includes intra, inter-frequency and inter-RAT
cell selections. Also, the UE discounts consecutive
reselections between the same two cells when calculating
its mobility state. Note that SIB3 contains the parameters
necessary for calculating mobility state.

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Cell Reselection Speed Dependent


(continued)
UE Mobility State = Medium
Treselection,RAT x 0.75 (shorter time!)

Signal
Strength

QHyst

Neighbor
Cell

Serving
Cell
time
Treselection,RAT

UE reselects earlier

Three mobility states: normal, medium, and high speed


State determined by frequency of reselections
Normal Mobility is the default, other Award
states
will scale reselection parameters by a factor
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Lets look at a simple example: The UE has been tracking


its mobility state and has determined that it is moving fast
enough to be in medium mobility state, e.g., it has done
four unique reselections in the past minute. From SIB3, it
sees that QHyst is 3 dB and that the QHyst scaling factor is 0
dB. So the overall positive bias for the serving cell signal
strength is still 3 dB. The UE is moving away from LTE
coverage and is measuring UMTS cells. From SIB6 it sees
that Treselection,UTRA is 4 seconds and that that the scaling
factor for this timer, Treselection,UTRA-SF associated with
medium mobility is 0.75. So the UE calculates the
effective reselection timer = (4 * 0.75) = 3 seconds.
So in this example, the UE will reselect 1 second earlier
compared to normal mobility state. Note that only the
reselection timers and QHyst are affected by this feature.
All other reselection parameters are unaffected and hence
are not discussed here.

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5 | Idle-Mode Interworking

LA/TA Updates

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Illustration of Mobility Areas


3G-MSC 1

3G-MSC 2

LA1

URA

URA
RA1

LA2

URA

URA
RA2

3G-SGSN 1

URA
RA3

LA3

URA

URA
RA4

3G-SGSN 2

URA
RA5

3G-SGSN
3

RA(s) handled by one 3G-SGSN


LA(s) handled by one 3G-MSC/VLR
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For mobility management, four different mobility areas are


defined. Location Areas and Routing Areas are used in the
core network (CN). UTRAN Registration Areas and Cell
Areas are used in the UTRAN. Location Areas are related
to CS services. Routing Areas are related to PS services.
One Location Area is handled by one CN node. This means
that all UEs registered in a specific Location Area are
registered in the associated CN node handling this
specific Location Area. One Routing Area is handled by
one CN node. Again, this means that all UEs registered in
a specific Routing Area are registered in the associated
CN node handling this specific Routing Area. Location
Areas are used by 3G MSC/VLRs for paging UEs. Routing
Areas are used by the 3G SGSNs for paging UEs. UTRAN
Registration Areas (URA) and Cell Areas are only known in
the UTRAN and are used by UEs in RRC-Connected mode.
Please note that, despite what shown in figure, there is no
relationship between a (UTRAN) URA and a (CN) RA

The Routing Area is identified by an Routing Area Identifier


(RAI). The Location Area is identified by an Location Area
Identifier (LAI). The following rules apply for the Routing
Area Identity:
The Routing Area Code (RAC) is only unique when
presented together with an LAI.
LAI = MCC + MNC + LACode.
RAI = MCC + MNC + LAC + RAC.
In UMTS, the RAI is broadcast to UEs in RRC Idle mode,
and is notified to UEs in RRC Connected mode on
established RRC connections as MM system information.
The UTRAN Registration Area Identity (URA ID) identifies a
UTRAN Registration Area (URA). The URA ID can be used
to indicate to the UE which URA it shall use in case of
overlapping URAs. In UMTS, the Cell Identifier (C-ID)
uniquely identifies a cell within an RNS.

A Routing Area is a subset of one, and only one, Location


Area (LA), meaning that an RA cannot span more than one
LA. An RA is served by one and only one SGSN.

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5 | Idle-Mode Interworking

Tracking Area
Paging Control
Context Storage

Serving
MME

S10 Interface

MME2

TAI = 4
TAI = 1
TAI = 1

TAI = 1
TAI = 1

TAI= 1

TAI = 2
TAI = 2

TAI = 1

TAI = 4
TAI =3

TAI = 4
TAI = 4

TAI= 4

TAI = 4

TAI = 2

Idle mode UE

Idle mode context is stored in serving MME


Serving MME may change as UE moves; Context transferred on S10
UE can be registered in multiple TAs (Registration Area)
TAI = MCC + MNC + TAC = PLMN-ID + Tracking Area Code
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To implement idle mode in support of efficient paging, a


geographical region is divided into tracking areas. A
Tracking Area (TA) is a logical grouping of eNBs in a
contiguous region for purposes of paging an UE. A page
message to be sent to a UE is sent to one or more TAs.
Multiple TAs are usually defined in an operators network
to optimize the paging performance. If the TA is too big,
backbone messages may flood the network. If the TA is
too small, UE location updates occur very frequently. In
LTE, a cell can be a member of one and only one TA.
However a UE can be registered in one or more TAs. The
set of TAs that a UE is registered in is known as a
registration area. This provides more flexibility in network
design. A TA may be a Closed Subscriber Group (CSG). For
example, a university campus can be set up as a CSG and
only those users who are part of the CSG will be allowed
access there. An additional parameter is broadcast from
the eNB to indicate that the cell is a part of a CSG. A UE, if
a member of the CSG, will be provisioned with appropriate
information in the form of a white list.

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5 | Idle-Mode Interworking

Tracking Area Update Triggers


EPS
MME

PDN
S-GW

EPS Bearers

P-GW

Triggers for TAU

UE enters new TA
The periodic TAU timer expires (T3412)
UE reselects from UTRAN (e.g., URA_PCH) to E-UTRAN
UE reselects from GERAN (READY) to E-UTRAN
Change of UE CN capabilities (e.g., due to SIM card change)
If the RRC was released with cause value load rebalancing
TAU required
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When a UE is in idle mode, it is not sending any user data


to the network. In the absence of this procedure, the
network wont know if the UE has moved to a different
area and it wont know if the UE is still operating. The
tracking area update procedure keeps the network in the
loop.

Other situations when the UE sends TAU include:

UE reselects from UTRAN (e.g. URA_PCH) to E-UTRAN

UE reselects from GERAN (READY) to E-UTRAN

Change of UE CN capabilities (e.g., due to SIM card


change)

TA updates are always initiated by the UE. There are two


types:

If the RRC connection was released with cause value,


load rebalancing TAU required

Normal tracking area updating is to let the network


know that the UE has moved to a new TA.
Registration information is updated in the MME.

If the TIN indicates P-TMSI when the UE reselects to


E-UTRAN (e.g. due to bearer configuration
modifications performed on GERAN/UTRAN)

Periodic tracking area updating periodically notifies


the network that the UE is still available. This is
controlled in the UE by timer T3412. The timer is sent
by the network to the UE in the ATTACH ACCEPT
message and the TRACKING AREA UPDATE ACCEPT
message.

Normally, a TAU is performed and the UE goes right back


to being idle. However the procedure can be used by the
UE to activate (setup radio and S1 bearers) all EPS
bearers that are active in the UE.

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5 | Idle-Mode Interworking

Tracking Area Update - I


EPC

E-UTRAN

UE

MME

eNB

S-GW

TAU Trigger (e.g., IRAT)

1. TRACKING AREA UPDATE REQUEST


old GUTI
active flag

For IRAT idle mode


HO, retrieve context
from SGSN

Last visited TAI


UE Network Capability
KSI(SGSN)
EPS bearer context status IE
NAS-MAC
.

Start T3430
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A TA update is triggered in the UE either by the expiry of


the periodic timer or by the UEs entry into a new TA.
The UE initiates the TAU procedure by sending a TAU
Request. The key parameters on the message are:
Old GUTI: The Globally Unique Temporary Identity was
assigned to the UE when it attached to the network. This
identifies the UE for the network.
Last Visited TAI: With this the MME knows the current and
previous TAs and may use this info in its deciding which
TAs will be in the registration area for this UE.

NAS-MAC: Signaling messages, even in idle mode, must


be protected by integrity. With this parameter the MME
will be able to check the validity of the message.
KASME and KSISGSN: These keys are necessary for
generating the required authentication, integrity and
ciphering keys. The Key Set Identifier points to possible
existing keys which can be reused without the need to
generate new keys.
To ensure that its message is processed the UE starts
timer T3430. If the timer expires before a response from
the MME the UE will resend.

UE Network Capability: This optional information element


indicates the Core Network capabilities like integrity and
encryption algorithms and support for SRVCC. Support for
ISR is indicated here also, but this is for test purposes
only as the ISR capability is mandatory for the UE.
Active Flag: If set the UE is requesting that the network
activate all its dormant EPS bearers. i.e. it has data to
send
EPS Bearer Status: This is the complete list of all dormant
EPS bearers, at least from the UEs perspective.

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5 | Idle-Mode Interworking

Tracking Area Update - II


UE

EPC

E-UTRAN
eNB
1. TRACKING AREA UPDATE REQUEST

New or Old
MME

2. Authentication

S-GW

HSS

2b. [S6a Signaling]

4. TRACKING AREA UPDATE ACCEPT


Start T3450 if
new GUTI

Old or New GUTI


TAI List

3. Deactivate
bearers not
active in UE

EPS bearer context status IE


NAS-MAC

5. TRACKING AREA UPDATE COMPLETE

Stop T3450
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1.

When the MME receives a tracking area update from


a UE it will first check the integrity of the message. It
uses the message authentication code, NAS-MAC, for
this purpose. If the UE has a valid security association
with the network, the check should pass.

2.

The MME may decide to authenticate the UE at this


time. This step is optional and will depend on
operator policy.

2b. If authentication is needed (e.g., initial TA-update, or


integrity check of TAU request fails) the MME must
contact the HSS for necessary authentication/
security vectors.
3.

The EPS bearer status in the received request


indicates each EPS bearer that is active in the UE. If
there is a mismatch with the MME context and the UE
has deactivated bearers that the MME has active
then the MME will proceed to synchronize the context
and command the S-GW to also synchronize by
tearing down corresponding S1-U and S5-U bearers.
The Create Bearer Request/Response messages
between MME and S-GW are used for this purpose.

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5 | Idle-Mode Interworking

Tracking Area Update II (continued)


UE

EPC

E-UTRAN
eNB
1. TRACKING AREA UPDATE REQUEST

New or Old
MME

2. Authentication

S-GW

HSS

2b. [S6a Signaling]

4. TRACKING AREA UPDATE ACCEPT


Start T3450 if
new GUTI

Old or New GUTI


TAI List

3. Deactivate
bearers not
active in UE

EPS bearer context status IE


NAS-MAC

5. TRACKING AREA UPDATE COMPLETE

Stop T3450
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4.

The MME responds to the UE with a TAU Update


Response.

The key parameters on this message are:


GUTI: This may be the same GUTI that the UE sent in the
request. However if the MME executed the GUTI
reallocation procedure then a new GUTI is being returned
to the UE. This is done for added security and anonymity
purposes. Alternatively if this is a new MME then the GUTI
must be different as it contains the ID of the MME. In any
case if this is a new GUTI being sent the MME starts timer
T3450, expecting a response from the UE to confirm
receipt. If a new MME has processed the TAU request, it
will send a location update to the HSS (not shown). The
HSS will delete the context in the old MME and send
subscriber data to new MME.

synchronize its context to that of the network.


If UE set the active flag in the request, the MME will
reestablish all the active EPS bearers.
UE stops T3430 on receipt of the TAU response. If a new
GUTI is received the UE must confirm by sending
TRACKING AREA UPDATE COMPLETE. On receipt of this
message the MME stops time T3450.

TAI List: This is the list of TAs in which the UE is now


registered. Normally this would include the current and
last visited TAs.
EPS Bearer Status: This is the complete list of all dormant
EPS bearers from the MMEs perspective. If there is a
mismatch with the UE context then the UE will proceed to

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5 | Idle-Mode Interworking

Exercise: Cell Reselection and TAU


True or False?
1. For a UE in the idle mode, the UE and not the network
decides which RAT should be given a high priority for cell
reselection.
2. When an Idle mode UE is observing the downlink of a low
priority RAT, it will search for a high priority RAT such as LTE
at least once every 60 seconds.
3. To facilitate implementation of speed-dependent cell
reselection, the UE estimates its speed in the units such as
miles per hour or meters per second.
4. An idle mode LTE UE must do a Tracking Area Update after
it has performed cell reselection from one LTE cell to
another.
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187

5 | Idle-Mode Interworking

Idle-State Signaling
Reduction (ISR)

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5 | Idle-Mode Interworking

Idle-State Signaling Reduction


S4

P-GW

SGSN

TIN-ID and MM
info stored for
both domains

UTARN/
GERAN

P-TMSI/RA

S-GW
HSS
S11

The HSS
considers both
nodes as
serving the UE
simultaneously.

Paging

GUTI/TA

MME

TA
E-UTRAN

When DL data arrives at P-GW, S-GW


will notify both the SGSN and the
MME and they both page the UE.
Data is transferred only through the
UE selected RAT after connection
setup.

UE can freely reselect


between UTRAN/GERAN and
E-UTRAN cells without doing
RA or TA updates.
TIN is set to RAT-related
when ISR is active.

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ISR or Idle-state Signaling Reduction is a mechanism for


reducing the amount of Tracking Area and Routing Area
updates in a network which is caused by the UE
reselecting between GERAN/UTRAN and E-UTRAN. ISR will
not only reduce the air-interface signaling due to area
updates, but also the required intra-network node
signaling. Support for ISR is mandatory for the UE but its
use is an option on the network side. ISR impacts several
network nodes including SGSN, MME, S-GW and the HSS.
The Gn-SGSN does not support ISR.
The first time a UE reselects from E-UTRAN to GERAN or
UTRAN, the network may activate ISR and inform the UE
via the RAU Accept message. Once activated the UE will
use an ISR specific ID known as TIN: Temporary ID used
in next update.

ISR deactivation by the network can be done by setting


the TIN to either GUTI or P-TMSI after a TAU or RAU
respectively. There are a number of situations that can
arise whereby the UE, MME and SGSN are no longer in
sync. For example: (a) Missing periodic TA or RA updates,
and (b) Serving GW change. In order to minimize the
complexity of this feature, there are no ISR specific
procedures to handle such situations. Rather the solution
is to deactivate ISR. Later the network can re-activate
during normal RAU/TAU procedures and hence resynchronize contexts in MME and SGSN.

If TIN is set to RAT-related TMSI then this is simply an


indication that the UE is free to choose either one of the
Core Network IDs depending on which RAT it happens to
prefer (GUTI or P-TMSI). After the ISR is activated, the
SGSN/MME will not know which RAT is preferred by this
Idle-UE. In that case DL transfer of data requires paging by
both SGSN and the MME.

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189

5 | Idle-Mode Interworking

ISR Activation During RAU


MME
TIN set to
GUTI

SGSN

HSS

Attach Procedure in LTE Domain

IRAT Reselection

ISR
deactivation
RAU Request
Context Exchange
(ISR Capability)

RAU Accept
ISR Activated

HSS-SGSN
signaling
Both MME
and SGSN
registered

TIN set to
RAT-Related TMSI
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During the Attach procedure no special ISR-related


functionality is required. An Attach can by default
deactivate any pre-existing active ISRs. The ISR capable
UE will then set its Temporary ID Used in Next Update
(TIN) to the GUTI allocated to it by the MME.

will not do any updates due to cell reselection as long as it


remains in the TA/RA. When it does change area, it will
use the appropriate RAT-related Temporary ID to do the
signaling.

A while later when the UE reselects to GERAN or UTRAN


for the first time, it will initiate a Routing Area Update
(RAU). During this RAU, ISR may be activated. Since the
TIN was set to GUTI during Attach and the UE is updating
in GERAN/UTRAN, it will indicate a P-TMSI mapped from
GUTI and send it in the RAU Request to the SGSN. The
SGSN will contact the MME and request a Context
Exchange in which they also decide to activate ISR from
the networks point of view. At this point, both the MME
and SGSN are registered as serving at the HSS and SGW (not shown). Without the ISR activation, the MME
would be erased from the HSS memory as a serving node
for this UE (IMSI) after signaling with the SGSN.
RAU Accept message will indicate to the UE that ISR is in
use and the UE will set the TIN value to RAT-related
TMSI value. The MM (Mobility Management) entity at the
UE will now regard P-TMSI and GUTI as valid identities and

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5 | Idle-Mode Interworking

Combined LAU/TAU

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5 | Idle-Mode Interworking

Combined TA/LA Update


New LAI, IMSI,
MME address
and LU type

TA Update

LA Update

3. LAU Request
MME

4. LAU Accept

MSC/VLR

2. Security
Procedures
HSS

Combined TA/LA can be used for CS Fallback

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Already in 2G 3GPP networks, a combined Location


Area/Routing Area procedure was defined. Location areas
are paging areas for MSC/VLR and Routing areas (RA) are
paging areas for SGSN. The purpose of this combined
procedure was to reduce the signaling burden between
the mobile and the core network. A mobile that changes
Location Area (and therefore Routing Area) could, in
principle, request a combined location area update. The
network requirement for this procedure is the existence of
the Gs interface.

In the final step, the UE will get a VLR-based TMSI in the


TAU Accept message. As a result, the UE is now IMSI
attached and ready to receive calls in the CS domain.

In a similar manner, the interface used between the MME


and the MSC/VLR in CS Fallback, namely SGs, can be
used for combined LA/TA update.
In step 3, the MME will send the new LA ID, IMSI, its own
address, and the Location Type (normal).
How does the MME know which MSC/VLR should be
contacted?
In step 1, the UE sends its temporary EPC CN ID, namely
GUTI. MME will use the GUTI to derive the LAI (because
the MME-Group-ID maps to LAC) and from this LAI, the
MME can determine the VLR address in a look-up table.

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5 | Idle-Mode Interworking

Summary
Idle-mode activities between LTE, UMTS and GSM/GPRS
are similar.
The network can assist and direct cell reselection by using
cell reselection parameters in broadcast channels.
Carrier frequencies and RATs can be assigned different
priorities by the network for control of cell reselection.
Cell reselection can be a function of the mobiles speed.
Tracking/Location/Routing Area Update procedures are
done after IRAT cell reselection.
Idle-state Signaling Reduction is a new feature that
reduces the need for frequent paging-area updates for the
UEs frequently encountering boundaries of technologies.
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193

5 | Idle-Mode Interworking

Review Questions
1. Name the two E-UTRA UE states, and list the UE activities
for each.
2. Reselection between LTE/UMTS/GSM/GPRS can only
occur for the UE in the idle state. (T/F)
3. Which SIB carries IRAT cell information in 2G?
4. When ISR is activated, paging may be done through the
SGSN and the MME. (T/F)
5. Explain how the speed of the UE is measured in speed
dependent cell reselection.

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5 | Idle-Mode Interworking

Additional Information:
PLMN Selection

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5 | Idle-Mode Interworking

PLMN Selection Procedure (Automatic)


Optionally use prestored info for
optimization of
scanning frequencies
and cell acquisition

Forward high-quality
PLMN-IDs to the next step;
ELSE pass the value of
measured quality as
well

For each carrier,


search for the
strongest cell and
read the PLMN ID

Scan (all) RF channels

UMTS

CPICH_RSCP > -95 dBm

Is the PLMN LTE


high-quality?

RSRP > -110 dBm

GSM

Rxlev > -85 dBm

NAS layer (at UE) selects a PLMN using the


measurements and SIM card info if available

PLMN

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The diagram illustrates PLMN selection procedure in each


RAT. In the PLMN selection procedure, the mobile must
first scan RF channels within the supported device band.
This process is usually accelerated by using pre-stored
information such as the last carrier frequency used or
home RF carriers as remembered by the device. When a
mobile is powered on, it is a fairly good assumption that
nothing has changed (although this need not be the case
as in the case of a frequent flyer businessman). In any
event, the SIM card can also play a crucial role in the
initial choice of PLMN and RAT type.

initial choice for the PLMN and access technology is


decided by the NAS layer (at the UE) and depends on such
things as SIM card settings and network cell reselection
parameters. The priority between multiple RATs within
each PLMN could also be decided as part of the
implementation by the service provider.

In the next step, the UE selects the strongest cell and


reads the System Information messages broadcasted
from the cell. This may indicate one or more PLMN IDs.
The mobile will eventually choose one PLMN ID and use
that for registration with the network. (This could be simply
the PLMN ID derived from the IMSI on the SIM, but not
necessarily so). For each technology, the threshold for
what is considered a high quality cell is indicated.
Please note that this does not imply that LTE cells are
preferred to UMTS and GSM cells because they are
considered low quality at a lower threshold. Ultimately the

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5 | Idle-Mode Interworking

The SIM and PLMN Selection


UICC
Phonebook
SMS

Elementary Files
IMSI
HPLMN selector with Access
Technology
Operator Controlled PLMN selector
with Access Technology
User controlled PLMN selector with
Access Technology
Operator PLMN List
Forbidden PLMNs
Equivalent Home PLMN list
Network Parameters
- Cell Frequencies for reduction of

U/I SIM

EHPLMN List

MCC1 MNC1
MCC1 MNC2
MCC2 MNC1
. .
PLMN
selection
algorithm
prioritizes in
this order:

search time by the UE/MS

HPLMN/EHPLMN User Controlled Operator Controlled


Randomly from High Quality Decreasing Signal Quality
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In LTE, the Universal IC Card (hardware of smart card)


can support multiple profiles as described in the
standards, such as USIM and ISIM. USIM is derived from
the legacy UMTS specifications and includes all the
enhancements made to the SIM for 3G (more memory,
better over the air control, new elementary files, new
security algorithms, etc.) An ISIM profile on the other hand
is useful when the IP Multimedia Subsystem (IMS) is used
as the central network for provision of services.

RAT in priority order.

The Operator PLMN list contains a prioritized list of


Location Area and Tracking Area identities.

The SIM has different directories and file structures for


storing private information such as the phonebook and
SMS as well as network-related directory which assist the
UE in PLMN and RAT selection.

The IMSI on the SIM can be used to derive the Home


PLMN ID.

If the HPLMN has more than one access technology,


that can be listed with priority order of each RAT.

The elementary files PLMNwAcT and OPLMNwAcT can


be used to list PLMNs with their available RAT in
priority order. Different configurations allow the user
or the operator to choose the preferred PLMN and

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197

5 | Idle-Mode Interworking

The SIM and PLMN Selection (continued)


UICC
Phonebook
SMS

Elementary Files
IMSI
HPLMN selector with Access
Technology
Operator Controlled PLMN selector
with Access Technology
User controlled PLMN selector with
Access Technology
Operator PLMN List
Forbidden PLMNs
Equivalent Home PLMN list
Network Parameters
- Cell Frequencies for reduction of

U/I SIM

EHPLMN List

MCC1 MNC1
MCC1 MNC2
MCC2 MNC1
. .
PLMN
selection
algorithm
prioritizes in
this order:

search time by the UE/MS

HPLMN/EHPLMN User Controlled Operator Controlled


Randomly from High Quality Decreasing Signal Quality
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Forbidden PLMNs IDs are stored in the SIM either by


over the air (OTA) procedures or as a result of
registration area rejections.

To allow provision of multiple Home PLMNs, the


Equivalent Home PLMN (EHPLMN) is introduced. The
PLMN IDs that are in this list are considered Home
PLMNs and are treated as such during PLMN
selection. This allows operators great freedom in
determining the PLMN selection process in areas
where the HPLMN is not available or when you want
the Home PLMN to be treated as a visited PLMN
during cell reselection.

The Network Parameters file contains the list of cell


frequencies for reduction of search time by the
mobile.

on the signal strengths for high quality cells (GSM > 85dBm, UMTS > -95dBm, LTE > -110dBm) and finally if
there are no high quality cells in the MS will choose the
strongest available cell.

The order of PLMN selection priority is shown. First the


mobile tries to select a HPLMN or EHPLMN, if that is not
available it will follow the User controlled PLMN selector
with Access Technology list, and if that is not available,
then the operator controlled list with RAT is used, and if
that is not available, the UE will randomly choose based

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5 | Idle-Mode Interworking

PLMN Selection and Roaming


HPLMN
MME

VPLMN

[C] OK, I will


remember this
and not request
services in the
VPLMN in this
Loc. Area

MSC/SGSN

[B] Location Update Reject


Cause value:
Forbidden Location Area for
Roaming

[D] EMM Procedure


Tracking Area
Update Accept

[A] Entering
a new LA
Overlapping
coverage

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After PLMN and cell re-selection, the mobile will register


with the selected network, which could be a VPLMN with a
similar or different radio access technology than the home
PLMNs. For PLMN selection in automatic mode, the UE
will select PLMN in priority order.
In order to prevent the MS from repeating attempts to
access roaming services, it is possible to reject a service
request or location area update message by designating
specific location/tracking areas as forbidden. When the
mobile is informed that an area is forbidden it will store
that information until the SIM is removed or the device is
powered off. This procedure is handled by the EPS
Mobility Management protocol in the LTE network and by
the corresponding MM and GMM for GSM and EGPRS
respectively.
It is also possible to receive an MM message with cause
value PLMN not allowed. In this case, the PLMN ID is
added to the list of Forbidden PLMNs in the SIM and that
network will not be accessed. In contrast to Location
Area/Tracking area procedure, this information is retained
after SIM card removal or power cycling.

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6 | Circuit-Switched Interworking

Chapter 6:
Circuit-Switched
Interworking
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6 | Circuit-Switched Interworking

Objectives
After completing this module, you will be able to:
Explain CS interworking challenges and propose
standardized solutions
Describe the CS Fallback mechanism and sketch the
signaling involved in mobile-originated and mobileterminated voice calls
Walk through the combined Attach procedure for CS
Fallback
Explain Single-Radio Voice Call Continuity
Illustrate SR-VCC signaling call flows
Describe IMS-based interworking principles
Sketch a high-level IMS-based handover for PS-to-CS
Summarize how SMS can be supported using control and
user plane solutions
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Chapter References:
[1] 3GPP TS 23.002 V8.3.0 (Network Architecture)
[2] 3GPP TS 23.272 V8.3.0 (Circuit Switched Fallback in
EPS)
[3] 3GPP TS 23.216 V8.3.0
Continuity)

(Single Radio Voice Call

[4] 3GPP TS 29.280 V8.1.0 (Sv Interface)


[5] 3GPP TS 29.118 V8.1.0 (SGs Interface)
[6] 3GPP TS 23.292 V8.3.0 (IMS Centralized Services)
[7] 3GPP TS 23.279 V8.1.0 (CS and IMS Services)
[8] 3GPP TS 23.228 V8.6.0 (IMS)
[9] 3GPP TS 23.206 V7.5.0 (VCC)

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6 | Circuit-Switched Interworking

Voice in LTE

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6 | Circuit-Switched Interworking

Voice Solutions in LTE


Redirects voice calls to
the underlying 2G/3G
network using Circuit
Switch Fallback (CSFB)

Simultaneous Voice and


LTE using Dual-Radio
solution (SV-LTE)

Supports packet voice


(VoIP) using IMS (VoLTE)
Transfers active voice calls to
2G/3G outside the LTE
coverage area using SingleRadio Voice Call Continuity
(SR-VCC)

Application-level handover; UE
may select the best RAN:
IMS Service Continuity (ISC)
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Although data services are expanding rapidly, voice


remains the most commonly used wireless service, and is
likely to remain that way for some time. LTE defines a
number of alternative approaches to serving voice users,
depending on the coverage and capabilities of the LTE
network relative to existing 2G or 3G systems.

As Voice over IP (VoIP) solutions are deployed in the LTE


network, the need to move to 2G/3G is eliminated within
the LTE coverage area. Only when the user leaves LTE
entirely will it be necessary to transition the call from the
LTE packet network to the 2G/3G circuit network, through
a process called Voice Call Continuity.

The simplest approach, at least initially, is to continue to


serve voice subscribers on the current 2G/3G network,
and use LTE only for high-speed data services. While this
simplifies the LTE deployment, it requires the user to have
two separate devices, one for voice and one for data or a
dual-radio solution where one radio tunes to LTE for data
services and the other radio tunes to 2G/3G for voice
services.

Ultimately, the goal is to offer all voice and data services


entirely on the LTE network. IMS is the preferred solution
for interworking VoIP with the legacy wireless telephony
network.

The availability of hybrid devices, capable of supporting


both LTE and 2G/3G technologies, allows the user to
remain on the LTE network while using data applications,
moving to the 2G/3G network only when voice services
are needed. This process is known as Circuit Switch
Fallback (CSFB).

204

Finally, handovers can be enabled by the IMS. In this type


of handover, the mobile may play a central role in initiating
and selecting the most appropriate RAT to be used at any
given time. The basic concept of IMS Centralized Services
with service continuity is to provide the user with a CS
Service access, independent of the RAT type being used,
thus providing seamless voice service across radio access
networks.

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6 | Circuit-Switched Interworking

IMS Overview

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205

6 | Circuit-Switched Interworking

Characteristics of IMS
Rapid introduction
of new services
from conception
to deployment

Wireless access network


independence and
seamless mobility

Consolidated
provisioning, billing
and management

IMS
IP Multimedia Subsystem

Uniform QoS
Management

Possibility of fixed
and mobile
convergence

Convergence to
open platform
protocols

Cost-effective deployment
of multimedia services
Open yet integrated environments
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To some extent, IMS can be seen as a reinvention of the


Wireless Intelligent Network (WIN), an old wheel that did
not work very well. WIN and its counterpart in the wireline
world, the Advanced Intelligent Network (AIN), suffered
from a number of disadvantages. It was expensive to
implement and maintain, and its service creation
environment was complex. Also, it was a closed
application development environment; it was not easy for
third parties to develop applications. In addition, IN was
not a uniform standard. There were a number of call
models and no application programming interface (API)
standards. In effect, it turned out to be more of the same
old slow as molasses environment with no new players
and no revolutionary technologies.

Other advantages that IMS brings are consolidated


operations such as billing, provisioning and service
management. For operators, these integrated networks
offer savings in operating costs. In addition, many aspects
of service configuration can be accomplished directly by
the subscriber through a Web interface and/or the
subscribers device.
Lastly, although originally started for mobile networks, IMS
is now also extending its reach into next-generation
wireline networks for fixed-mobile convergence.

So whats new? IMS fixes a lot of the mistakes made by


IN. It is truly an open architecture built upon the already
burgeoning success of the most disruptive technology to
invade the telecom world in decades, namely SIP-based
VoIP. A broad selection of services can be made available
to service providers, and these services can be brought to
market much faster due to the adoption of standard and
open development environments.

206

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6 | Circuit-Switched Interworking

IMS Architecture
IMS
Applications

AS
AS

IMS Control
AS

SGW

ISUP

CSCF
HSS

MGW

PSTN

MGCF

UE

IP CAN
PS
Core

RAN

IP Network

IMS Transport

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The diagram shows a simplified view of the IMS


architecture as defined by 3GPP. IMS offers both general
packet data support and multimedia session capabilities.
The multimedia session capabilities are built on top of the
general packet data support capabilities. The general
packet data capabilities may be deployed without the
multimedia session capabilities.
The underlying IP connectivity is provided by the IP CAN (IP
Connectivity Access Network). Seen from IMSs point of
view, the IP packets will be delivered to and from the user
device through an IP transport mechanism. The generic
term for this type of network which connects the IMS user
to the IMS services is IP-CAN. An example of IP-CAN
network is the UMTS/GPRS packet core network and the
UTRAN/GERAN.

The Call Session Control Function (CSCF) plays various


roles in an IMS network. It provides the user with a secure
entry point to the IMS network. It is the primary call
processing server and SIP registrar. It processes all the
IMS requests from the UE and, as appropriate, provides
access to requested application services.
The other IMS network elements displayed opposite jointly
define a gateway function, enabling the interconnection
between IMS and various external networks. As an
example a voice call initiated as packet-based Voice over
IP (VoIP) in IMS, may connect to a circuit switched phone
in the Public Switched Telephone Network (PSTN). IMS
gateway will facilitate the call setup and the real-time
translation of the media between packet switched and
circuit switched.

Some network entities (e.g., the HSS) may be common to


the Packet Switched Core Network (PS-CN) and the IMS
network. Note also that the IMS Control network provides
access to a separate services network where Application
Servers (AS) reside. This provides a platform for the
introduction of creative new services without the need to
integrate these services into the transport network.

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207

6 | Circuit-Switched Interworking

IMS Session: Mobile Termination


UE

Originator
P-CSCF

S-CSCF

I-CSCF

INVITE
SDP Negotiation
Resource Reservation
Ringing
Answer

<--------------- Media Flow --------------->


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Mobile termination functions are somewhat similar to


mobile origination functions. The I-CSCF is located at the
edge of the administrative domain and is listed in the DNS
and is the first entity to receive inbound requests. The ICSCF interrogates the HSS (not shown) to retrieve the
name (or address) of the S-CSCF where the terminator is
registered. If the terminating network operator wants to
keep the network configuration private, then the I-CSCF
will remain in the call to perform topology hiding.
The diagram shows an overview of the mobile termination
procedure. The sequence is explained below:
INVITE: The originating party sends a SIP INVITE message
through the network to the destination UE.
SDP Negotiation: The two end parties negotiate the media
characteristics (e.g., number of media flows, codecs) for
this session and make a decision on the media streams
they will support for this session.
Resource Reservation: The wireless network reserves the
necessary resources for supporting this session after the
media characteristics for this session have been agreed
upon.

208

Ringing: Once all Quality of Service (QoS) preconditions


have been satisfied, the called party may be alerted to the
incoming call.
Answer: Once the called party accepts the call, the two
endpoints begin exchanging media packets.
Media Flow: The two endpoints exchange voice, video, or
application data packets. While not shown explicitly on the
slide, the media packets may be sent directly between the
endpoints. They do not traverse the same path as the call
signaling.
Session Setup Confirmation: Once resource reservation is
completed successfully, the terminating UE sends a SIP
200 OK final response and the originating point replies
with a SIP ACK message to confirm the session setup.
Session in Progress: Once the P-CSCF approves that the
reserved resources can be used, the UE starts the media
flow. After the session setup is confirmed, the session is
in progress.

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6 | Circuit-Switched Interworking

Role of IMS in E911 Support


Retrieves location and
PSAP routing
Le
information

UE

MME
Serving Mobile
Location
Center

GMLC LRF

Routes emergency
session to correct PSAP

E-SMLC

Gm

Handles emergency
registration request
and selects E-CSCF

P-CSCF

Processes emergency
registration request
and determines
duration of registration

E-CSCF

To PSAP
via IP or PSTN

IMS
Network

S-CSCF
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entities such as a Location Server (i.e., GMLC) to


obtain location information and an RDF to obtain
routing information. The LRF function may be
incorporated into the GMLC. The Location Server is
responsible for actually obtaining the location of the
UE. The RDF gives the correct PSAP destination
address to the E-CSCF for routing the emergency call.

The Public Safety Answering Point (PSAP) is where


emergency calls from the public are received. The
functions of the nodes that participate in E-911 support
are summarized below:

PSAP
LCS Client

P-CSCF: The P-CSCF is the first IMS component that


receives an emergency registration request from the
UE via the E-UTRAN and EPC (specifically, the S-GW
and P-GW). The P-CSCF also chooses a suitable ECSCF.
S-CSCF: The S-CSCF receives the emergency
registration request from the P-CSCF and determines
how long the registration should be valid.
E-CSCF: It is a new entity added to the IMS network
specifically to support emergency sessions. It
processes emergency registrations and is responsible
for routing the emergency request to the correct
emergency center or PSAP. This component is located
in the local network, i.e., in the visited network if the
UE is roaming.

In general, establishing an emergency call in EPS/IMS


follows one of the following two scenarios.
The normal case entails following steps:
1.

The UE establishes an emergency PDN connection.

2.

The UE performs an IMS emergency registration.

3.

The UE makes an emergency VoIP call .

Location Retrieval Function (LRF): It helps obtain the


location information for the UE by interacting with

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209

6 | Circuit-Switched Interworking

Role of IMS in E911 Support (continued)


Retrieves location and
PSAP routing
Le
information

UE

MME
Serving Mobile
Location
Center

GMLC LRF

Routes emergency
session to correct PSAP

E-SMLC

Gm

Handles emergency
registration request
and selects E-CSCF

P-CSCF

Processes emergency
registration request
and determines
duration of registration

PSAP
LCS Client

E-CSCF

To PSAP
via IP or PSTN

IMS
Network

S-CSCF
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The exceptional case is when the UE has, for various


reasons, not been authenticated in the EPC:

The UE establishes an emergency Attachment and an


emergency PDN connection (no authentication
possible).

The UE shall initiate an IMS emergency VoIP call


without IMS registration. In the SIP INVITE message,
the UE shall include both the "anonymous user" and
"emergency service" indications.

In both cases, the UE will include its location, in the form


of the Global Cell ID of the serving cell, in the emergency
SIP INVITE message. This view of the UEs location may be
refined by further messaging and using the services of
LCS.

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6 | Circuit-Switched Interworking

IMS Origination: Emergency Call


IP-CAN

UE

IMS core

LRF

MGCF/
MGW

Emerg.
center

1. Init Emerg.Call
2. Acquire location
3. Invite (emergency)
4. Retrieve PSAP routing information
5. Procedure to obtain the UEs location
6. Return UE location &
PSAP routing information
7a1. Invite (emergency)
7a2. IAM
7b. Invite (emergency)
8. Complete emergency call establishment: SDP Negotiation, Resource Reservation
Ringing, Answer
9. Retrieve location
10. Procedure to obtain the initial or
updated location

11. Return location


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A high level view of the process involved in making an


E911 call using IMS and providing location information
based on the EPS control plane is described below.
1.

The UE sets up an emergency registration with IMS.

2.

The UE may have access to its location independent


of the PLMN. Alternatively the UE, acting as an LCS
client, may request its location information from the
network which, after employing one or more
positioning methods deliver the result to the UE.

3.

4.

The UE sends an INVITE with an emergency indication


to the P-CSCF in the local IMS network. The INVITE
should contain any location information that the
terminal has even if only Global Cell ID. The P-CSCF
forwards the INVITE to the S-CSCF in the home IMS
network and to the E-CSCF in the local network. The
E-CSCF is responsible for routing the call to the PSAP.
If the location information provided by the UE in the
INVITE is sufficient to determine the correct PSAP, the
E-CSCF will route the INVITE message directly.
Otherwise the E-CSCF will send a location request to
the LRF.

Ref: TS 23167 IMS emergency sessions

5.

The LRF may request the UE's location information.


This step involves the GMLC, MME, E-SMLC, the eNB
and the UE. When the UE location result is returned,
the LRF may now query the RDF to specify the PSAP
routing information corresponding to the UEs
location.

6.

The LRF forwards the info to the E-CSCF.

7.

The E-CSCF uses the routing information to forward


the call to the PSAP. It includes the recent UE location
information. Depending on whether the PSAP
supports VoIP or not the INVITE message is forwarded
either to 7a. an MGCF/MGW, or, 7b. the SIP server
in the PSAP.

8.

The emergency call establishment is completed.

9.

The PSAP may now request updated location


information on the UE. The PSAP may determine the
LRF based on the location or via correlation
parameters received in the INVITE message.

10. and 11. The LRF again requests the GMLC for the
target UE's location and returns it to the PSAP. This
step may be carried out a number of times.

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211

6 | Circuit-Switched Interworking

CS Fallback

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6 | Circuit-Switched Interworking

What is CS Fallback?
PSTN

EPC

E-UTRAN

CS-CN

UTRAN/
GERAN
CS and PS Services

PS Services

CS Fallback capable UE
Depends on the existence of UMTS/GPRS umbrella
CS services are provided by the UTRAN/GERAN access
technology
Inter-RAT handoff to UMTS/GPRS when the UE needs
to be using the voice services
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LTE doesnt have a circuit-switched core network.


Different options are looked at to support voice services in
LTE. One solution is to go for VoIP calls over PS-CN using
IMS. Another solution is the Circuit Switched (CS) Fallback
feature. CS Fallback feature allows the UE to switch over
to the UMTS/GERAN and reuse CS-CN for CS-domain
services.
The CS Fallback feature depends of the existence of an
umbrella technology that has CS core and possibly the PS
core. Initially when LTE is deployed, it is very likely that it
would be deployed in pockets. It is also correct to assume
that a 2G/3G wireless network would be giving good
coverage for both CS and PS services. So the CS Fallback
option to support voice services will be a feasible option.
The advantage of CS Fallback is that it doesnt need a
supporting IMS network.
The UE can be actively using LTE access. When a voice
service like a mobile-originated call or mobile-terminated
call is required, the UE would be handed over to a
neighboring UTRAN/GPRS cell.

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213

6 | Circuit-Switched Interworking

EPS Architecture for CS Fallback


Other CS Services

UTRAN

LCS

Uu

SMS

SS

Iu-CS

GERAN
MSC
Server

A
Um

SGs

E-UTRAN
UE

LTE-Uu

S1-MME
MME

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The UE, MME, SGSN, E-UTRAN and MSC-Server must be


enhanced to support the CS Fallback feature. The UE will
be capable of accessing the E-UTRAN/EPC and the
GERAN(UTRAN)/CS Domain. It should be capable for
performing a combined EPS/IMSI Attach procedure. MME
and MSC support the new SGs interface. Paging for the CS
services are sent from MSC server to the MME over the
SGs interface. The MME derives the MSC server number
based on GUTI and LAI. The E-UTRAN should be able to
direct the UE towards the CS capable target cell during CS
fallback.

UMTS/GSM networks. LCS services in particular can play


an important role in the initial phase of LTE deployment,
because it can provide E911 services. In LTE, SMS is
supported over IP and can also interwork with Instant
Messaging (IM) services. It is possible for the LTE-UE
(subscriber) and/or the network to choose the mechanism
for SMS delivery to be the CS domain when CS fallback is
supported.

The SGs reference point is based on the Gs interface. The


SGs interface is used to trigger the paging procedure for
mobile terminated calls. It is used by the UE to perform
location update procedure. It is also used to support SMS
services. The SGsAP over SCTP is defined to support these
functionalities.
Voice is not the only CS service, although it may be the
most important one to utilize CS fallback. Other CS
services such as Location Service (LCS), Short Message
Service (SMS) and Supplementary Service (SS) can also
be used for a mobile that is attached to both EPS and

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6 | Circuit-Switched Interworking

CS Fallback End-to-End View


PAGING Response

PSTN

GERAN
MSC

UTRAN

with CSFB

SGSN
HO to 2G/3G at
the beginning of
voice call

E-UTRAN

S4

SGs
S3

D
Combined
Mobility
Mgmt

HSS

MME

S1-U

S-GW

S5

P-GW
SGi

PDN

PS-path on S1-U may be pulled over to


S4 (or dropped) as a result of the CS
fallback
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This chart shows the principal nodes/interfaces and the


impacts to the nodes that are involved for CS Fallback. An
important requirement is that the MSC (or MSC-Server) is
upgraded with CS Fallback (CSFB) related software. The
SGs interface is used for signaling between the MME and
the enhanced MSC. Mobility Management is shared
across the two nodes over SGs interface using the SGs
Application Part protocol. Paging for MT (Mobile
Terminated) calls is done through the E-UTRAN, but the
PAGING RESPONSE and the continued signaling for call
setup is done through UTRAN/GERAN.
If the UE is already engaged in a PS session on the LTE
domain, CSFB allows continuation of the session
concurrently with the CS voice (UMTS supports that from
Release 99). For this to happen, the PS path is switched
over to 2G/3G domain with MME signaling. This is an
option and it may happen that an incoming call will result
in dropped PS service if the operator wishes to do so.

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215

6 | Circuit-Switched Interworking

CS Fallback Procedures - Overview


Combined Attach
MO CSFB

MT CSFB
EPC Paging

CS Fallback Request

PS Handover

CCO

CS Call Establishment
UMTS/GSM

LTE

Active or Idle
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The basic call flow procedure for CSFB (CS Fallback) is


similar to any normal handover procedure. For CSFB to
operate correctly, the UE must have registered with the
EPC and the 2G/3G CS core networks. This step is
referred to as combined Attach.
The next step depends on whether the UE is originating
the call (MO) or receiving it (MT). For the MO case, the UE
will send a service request and indicates the need for
CSFB. The fallback request from the UE is triggered, for
example, by the lack of IMS voice services on the LTE
side. In the MT case, a Paging message is sent towards
the UE and the UE responds with a service request that
indicates CS Fallback to 2G/3G CS capable network
(paging response comes later after the HO is executed).
There are now two main handover options based on what
is supported on the network side. If PS handover is
supported then the handover procedure follows the
normal procedure for an active mode UE. If PS handover is
not supported, then the Cell Change Order (CCO)
procedure takes place. The entire procedure ends with a
CS call establishment procedure according to the type of
network that the UE is falling back on (i.e. GSM or UMTS).

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6 | Circuit-Switched Interworking

Combined Attach for CS Fallback


MSC
server

MME

UE

HSS

1. Attach Request
(Attach_Type=Combined
EPS/IMSI, CS
Fallback capable)

2. EPS, AKA, Bearer Setup

Derive the
MSC Server ID
3. Location Update Request
(IMSI, MME address)

4. Location Update Accept


5. Attach Accept

Location update
procedure in CS
domain

TMSI

LAI, TMSI
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To successfully use the CS Fallback feature, the UE should


be registered with the MSC Server when it is using the LTE
access.

4.

The MSC-Server also assigns a TMSI to the UE and


sends it to the MME using the Location Area Update
Accept messages.

1.

Network registration of the UE with the MSC-Server is


done during the EPC Attach procedure. The UE will
indicate the Attach Type to be EPS/IMSI type and
indicated that it is a CS Fallback capable UE.

5.

The MME passes the LAI and the TMSI of the UE, to
the UE in the Attach Accept message.

2.

The MME first takes care of the LTE EPS registration


process. Before sending an Attach accept message, it
initiates the Registration of the UE with the MSC
server. The first task of MME is to find out the MSC
server. It needs to know the Location Area of the UE.
An LAI can be statically configured on the MME.
Based on the LAI and the IMSI value, the MME
selects the MSC Server.

3.

The MME sends a Location Area Update message


over the SGsAP with the parameters LAI, IMSI and
MME address. The MSC Server updates the HSS
about the new LAI of the UE. The MSC Server makes
a note of the MME serving the UE, so that it can
contact the MME for the incoming voice calls.

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217

6 | Circuit-Switched Interworking

Mobile-Originated CS Fallback
UE

RNS

eNB

MME

MSC Server
CSFB-Capable

SGSN

1. Service Request
(CS Fallback indicator)
2. Handover with CS fallback
2. Solicit Measurement
report on neighboring
UMTS cell

3. PS Handover Preparation Phase & start of execution phase

4. CM Service Request
4. Iu-CS Msg with CM service Req
5. CS Call Establishment Procedure
6. PS Handover Continuation of execution phase

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In this scenario, the UE is currently using the LTE access


network. The UE is capable of CS Fallback and is
registered with the MSC server. Now the UE needs to
make a voice call.
1.

It sends a Service Request with the CS Fallback


indicator to the MME. MME in turn initiates the CS
Fallback by sending an S1-AP message with the CS
Fallback Indicator.

2.

The eNB can request the UE to measure the


neighboring UMTS cells.

3.

Next, Inter-RAT PS Handover procedure takes place.

4.

After the handover preparation phase, the UE sends


the CM Service Request to the MSC Server.

5.

Then the UE and the MSC Server perform the legacy


CS call establishment procedure.

6.

Once the call is on, the rest of the PS handover


execution and completion procedure are taken care
of.

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6 | Circuit-Switched Interworking

Mobile-Terminated CS Fallback
UE

UTRAN
GERAN

eNB
Pre-Existing PS Path

MME

S/P-GW

MSC/Server
with CSFB
1. CS Paging over SGs

SGSN

2. Paging (with Caller Line Identification)


3. Extended Service Request (CSFB Accept/Reject)

[3b. Paging Reject]

4. S1AP: CSFB indicator

5. Measurement Report

6. PS inter-RAT HANDOVER Procedure


7. Paging Response

A/Iu-cs message: Paging Response


CS Call Establishment Procedure

8. CS Call Establishment Proc.

CS

CS

IP

IP

IP

S/P-GW

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Mobile Terminated (MT) call in CS Fallback clearly


illustrates the role of the SGs interface and the combined
mobility management (MM) between the MME and the
MSC Server with CSFB functionality.
1.

The incoming call will eventually trigger a Paging


message from the MSC Server towards the UE.
Because of the combined MM functionality, the MSC
Server and MME know that the UE is on the LTE side
and Paging message will be forwarded to MME over
SGs.

2.

The MME will Page the mobile using E-UTRAN (eNode


B). Interestingly for CSFB paging, this message will
carry Caller Line Identification information (see next
step for reason).

mail server/application for example. This important


feature prevents unnecessary inter-RAT handovers for
calls that do not go through.
4.

The MME will now send an S1AP request message


with CS fallback indicator to inform the eNodeB that
the UE must be moved over to GERAN/UTRAN.

3-3b. The UE will send an Extended Service Request


(piggybacked on RRC and S1AP messages) through EUTRAN to the MME, effectively requesting fallback to
CS. If the user wishes not to answer the call, this will
be indicated by CSFB indicator set to Reject and the
MME will send a CS PAGING REJECT to the MSC
Server over SGs. The call will be forwarded to voice

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219

6 | Circuit-Switched Interworking

Mobile-Terminated CS Fallback
(continued)
UE

UTRAN
GERAN

eNB
Pre-Existing PS Path

MME

S/P-GW

MSC/Server
with CSFB
1. CS Paging over SGs

SGSN

2. Paging (with Caller Line Identification)


3. Extended Service Request (CSFB Accept/Reject)

[3b. Paging Reject]

4. S1AP: CSFB indicator

5. Measurement Report

6. PS inter-RAT HANDOVER Procedure


7. Paging Response

A/Iu-cs message: Paging Response


CS Call Establishment Procedure

8. CS Call Establishment Proc.

CS

CS

IP

IP
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5.

At this point the eNB may optionally request a


measurement report on 2G/3G neighbors to
determine the most appropriate target. This is not
mandatory and blind handover to the same cell-site
for example, is an option.

6.

A normal PS handover is done in this step. The


HO_From_E-UTRAN is the message that carries
information about the 2G/3G cell designated for the
UE.

7.

After the UE has acquired the 2G/3G RAN, it will use


this new radio connection to respond to the paging
message on the CS domain.

8.

CS call establishment signaling ensues according to


whether the RAT is GERAN or UTRAN.

IP

S/P-GW

The fallback has been completed at this stage. The voice


path to the PSTN is now through the MSC/MGW and the
PS session is through GERAN/UTRAN SGSN S-GW PGW. (This is possible in GERAN if Dual Transfer Mode,
DTM, is supported). A RAU (Routing Area Update) may
occur after the handover is completed if there is a change
in Routing Area.

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6 | Circuit-Switched Interworking

Exercise: VoLTE and CSFB


True or False?
1. Both VoLTE and CSFB need IMS.
2. IMS is capable of supporting an IP-based E-911 call.
3. For a CSFB call to work in a given geographic area, both
LTE and a legacy CS technology must be available in such
area.
4. A mobile-originated CSFB call is supported but a mobileterminated CSFB call is not supported due to the
implementation difficulties.

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221

6 | Circuit-Switched Interworking

SR-VCC

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6 | Circuit-Switched Interworking

SR-VCC Motivation and Requirements


Limited LTE
Coverage

No CS
domain in
LTE, need for
PS to CS HO

Initially
unidirectional
PS CS

Requirement for
simplified device
RF

Single-Radio
Voice Call
Continuity

R7 VCC
solution is
complicated

Need for in
the call HO

Expands use
of IMS

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SR-VCC is one of the few possible solutions for


interworking across 3GPP networks. Already in release 7,
an elaborate and complete solution had been defined for
Voice Call Continuity (VCC, TS 23.206). The purpose of
VCC is to allow call continuity between the CS and IMS
domains. It is therefore possible to do VoIP support using
the IMS and still handover the ongoing call to the CS
domain and visa-versa. Unfortunately the VCC solution has
some stringent requirements, among them is the
requirement for a dual mode handset with RF front-end
which has to be on two different RAT types/frequencies
simultaneously. This ability allows the UE to make decision
about domain change when the signal strength of one
technology is below a given threshold. Single-Radio VCC,
as the name suggests, simplifies the mobile device by
removing this requirement. In its initial standardized form,
SR-VCC supports only unidirectional IMS to CS domain
handovers.

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223

6 | Circuit-Switched Interworking

SR-VCC Architecture and Functions


Handles relocation
procedure for voice part

GERAN
UTRAN

Holds the session


transfer number

MSC-S/MGW
+ SR-VCC

Iu-cs/A

Sv

SGSN

MME
S1-MME

E-UTRAN

S1-U

D
HSS

S3

S4

SR-VCCCapable
UE

PSTN

Splits voice
and non-voice
bearers

IMS

S11

S-GW

S5

SR-VCC Impacted Nodes

P-GW

SGi
Voice
Anchor

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The slide shows the logical architecture for SR-VCC, with


interfaces and reference points. The SR-VCC-specific
interface is the Sv interface between the SR-VCCenhanced MSC (logically, the MSC/MSC Server or VLR)
and the MME. Naturally both of these nodes are impacted
by the SR-VCC feature. Normally an SGSN is not impacted
by SR-VCC unless it supports interworking with CS domain
(has Gs-like functionality). In that case it must be able to
tell the difference between PS bearers that carry voice
(VoIP) and those which do not. For the MME this function
is a must. The SR-VCC-capable MME will perform PS
bearer splitting which implies the separation of voice-PSbearers from the non-voice-PS-bearers. This is needed so
that the correct PS bearer is handed over to 2G/3G
domain. The MME is also the node that initiates the SRVCC handover for the voice component. Each UE is
allocated a static Session Transfer Number for SR-VCC
(STN-SR) which is used during the handover procedure.
The STN-SR format is E.164, similar to ordinary telephone
numbers.

since no simultaneous dual radio function is required. The


UE must support the T-ADS functionality (Terminating
Access Domain Selection). This allows the UE to select the
CS domain (e.g., GERAN or UTRAN) for voice calls.

The UE is impacted by SR-VCC as well, although the


impact is far less than when the VCC feature is used,

224

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6 | Circuit-Switched Interworking

SR-VCC End-to-End View


GERAN
UTRAN

PSTN

MSC/MGW
+ SR-VCC
SGSN

Sv

HSS

IMS
MME

E-UTRAN

P-GW

S-GW

PSTN
Voice

Non-voice

Voice after HO

Non-Voice after HO
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The basic mechanism in SR-VCC allows a PS-to-CS


handover for both the non-voice carrying and voice
carrying bearers. Handover for the non-voice bearer
portion is optional. Unlike CS Fallback, SR-VCC can be
done for an ongoing voice call anchored at IMS. As can be
seen in this end-to-end view, the non-voice bearer will
necessarily follow the voice path to UTRAN or GERAN (if
GERAN can support concurrent CS+PS). This is due to the
single radio nature of this handover mechanism. The voice
path goes from the 2G/3G RAN to the enhanced MSC
after the handover but the IMS remains the anchor for
voice.
Note: The SR-VCC solution does not require that all MSCs
be upgraded with the SR-VCC feature. If the UE happens
to be handed over to a cell which does not belong to an
SR-VCC-enhanced MSC, then the enhanced MSC must
find and establish a circuit to this serving MSC.

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225

6 | Circuit-Switched Interworking

SR-VCC Call Flow


UE

MME

eNB

MSC Server SGSN


with SR-VCC

Measurement Reports

UTRAN
GERAN

IMS

HO DECISION

3 (SR-VCC) HO Required 4

Request Resources for CS

Splits between voice and


non-voice PS bearers

Request Resources for PS

6 RR Ok

Begin Session Transfer [STN-SR id]

8
Handover Command (target RAN info)

9
HO Execution
UE changes RAT

10

IMS Session Transfer

New Voice path


11
Voice
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Our initial assumption is that there is an ongoing VoIPbased call anchored at the IMS.
1.

E-UTRAN is aware of UE capabilities (SR-VCC


supported or not) and also whether there is an active
voice call.

2.

The eNB makes the handover decision based on


measurement reports.

3.

Once the handover decision is made, the eNB sends


a SR-VCC HO request to the MME.

4.

The MME can distinguish between the voice and nonvoice bearers and signals to the enhanced MSC
Server to reserve CS resources. This signaling is over
the Sv interface.

5.

If there is an ongoing non-voice session, it can be


optionally handed over through the SGSN.

6.

The MSC-Server and the SGSN will contact the target


RAN (e.g., Dual Transfer Mode GERAN) to make
resource reservations and confirm the successful
outcome to the MME.

226

7.

A key message in SR-VCC is the request for a new


voice call from the MSC-Server to the IMS domain.
This message is essentially an ISUP IAM, and carries
an important identifier known as STN-SR or Session
Transfer Number for SR-VCC. This identifier which is
like an ordinary telephone number (E.164) was given
to the MME from HSS during the initial Attach
procedure and is passed over to the MSC Server over
Sv during the Request for Resource in step (5). The
STN-SR is static and is given to the UE during service
provisioning. Within the IMS, an application (SCC:
Service Centralization and Continuity) maps the STNSR to an ongoing IMS voice session.

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6 | Circuit-Switched Interworking

SR-VCC Call Flow (continued)


UE

MME

eNB

MSC Server SGSN


with SR-VCC

Measurement Reports

UTRAN
GERAN

IMS

HO DECISION

3 (SR-VCC) HO Required 4

Request Resources for CS

Splits between voice and


non-voice PS bearers

Request Resources for PS

6 RR Ok

Begin Session Transfer [STN-SR id]

8
Handover Command (target RAN info)

9
HO Execution
UE changes RAT

10

IMS Session Transfer

New Voice path


11
Voice
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8.

After step 6, the MME sends the Handover Command


to the UE. This message carries target cell specific
information for speedier access.

9.

The IMS network will know which session needs to be


transferred to the MSC (more accurately MGW) based
on the STN-SR.

How long does this process take and can it satisfy the low
delay requirements for a real time service such as voice?
Analysis of messaging delays together with simulation
results indicate that from the moment when the Session
Transfer is requested in step (7) to the moment (11) when
the voice path is actually switched, can take around a
100ms. This is an acceptable delay for voice applications.

10. Handover execution procedures are carried out in the


usual manner (10). The new voice path is now
through the MGW associated with the SR-VCC
enhanced MSC-server and the target RAN.
11. The handover is complete.
Please note that the message names shown here are
generic. Refer to the 3GPP technical specification for
exact message name and contents.

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227

6 | Circuit-Switched Interworking

IMS Service
Centralization and
Continuity
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6 | Circuit-Switched Interworking

IMS Service Centralization and


Continuity
IMS
Centralized Services
ICS Enhanced
MSC

EGPRS
GSM

Legacy MSC
(or enhanced)

EGPRS
UMTS/ 1x

WLAN

LTE

Legacy UE

ICS UE

ICS UE

ICS UE

CS Voice

CS Voice

PS VoIP

PS VoIP
+QoS

Service Continuity
Award Solutions Proprietary

An important goal of IMS is to provide continuity in service


across different access networks. This is achieved in
principle by IMS Centralized Services (ICS). One goal of
ICS is to enable IMS services when using CS access for
media bearer. For consistency in services, IMS must
therefore provide service continuity between the PS and
CS domains as well as multiple access technologies. This
implies that the subscriber services can be maintained
seamlessly when the user moves between different
access technologies and uses CS and/or PS domains.
There are two fundamentally different approaches for
realizing the goals of service continuity. One approach is
based on new functionalities in the UE and the second
approach is compatible with legacy UEs and uses new
functional elements in the MSC Servers. Our focus will be
on the latter approach which minimizes impact on the
handset side. Because voice is a key service for operators,
the first service continuity efforts were put on VCC.
Recently, the IMS Service Continuity standardization effort
has expanded to include any type of service such as
multimedia services and Rich IP services.

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6 | Circuit-Switched Interworking

ICS/ISC Architecture
Acting 3PCC
PSTN
GSM

MGC

MGC
UMTS

LTE

CS

SCC AS
CSCF
P-CSCF

HSS

PS

WiFi

Access leg

IMS with Service


Centralization and Continuity

Remote leg

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An important goal of ICS (IMS Centralized Services) is to


enable IMS services when using CS access as well as the
normal PS access. In order to do that, ICS defines a
signaling mechanism between the UE and IMS for the
transport of all of the necessary information for service
continuity (ISC = IMS Service Continuity) across different
network types and domains (CS or PS).

remote leg, or when the initial access leg is remove. In


other words, the SCC AS appears as a Third Party Call
Control Entity (3PCC) between the UE and the remote leg
service.

The central functionality which provides service


centralization and continuity is the SCC AS (Service
Centralization and Continuity Application Server). This
application node is defined for ICS/ISC as part of the IMS
domain. When a session is established, whether from a
CS access or PS access domain, the session will be
anchored at the SCC AS. This allows the SCC AS to
correlate different call legs before and after mobility.
Besides anchoring the session, the SCC AS is responsible
for session transfers between different access networks
(hence the notion of Application Level Handover). Since
the SCC AS is the anchor for the session, it will associate
the Access Leg with the Remote Leg.
A session transfer can occur when user mobility causes
change in the access leg, or when the UE adds a new

230

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6 | Circuit-Switched Interworking

IMS-Based HO Mechanism
IMS

Do
HO

MSC+ICS
4

GERAN

CSCF

UE

E-UTRAN

RL

EPC

SCC AS

MGW
MGCF
Voice

AL

Signaling

Before

PSTN

After
Remote ISDN Phone
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1.

The mechanism for IMS-based voice call transfer is


depicted in this diagram. During the initial session
setup, a PS path has been created through the EUTRAN, EPC, IMS and from there to the PSTN (the
path after MGW is obviously not PS-based). The
signaling (SIP based) path on the other hand is
anchored at SCC AS, where the path is split to an
Access Leg (AL) and a Remote Leg (RL).

2.

Unlike the other inter-RAT handover mechanisms (like


SR-VCC), it is the UE that makes the handover
decision. This decision can be based on radio
conditions, as well operator defined policies. For
example, the operator can set the GSM-GERAN CS
priority as higher for voice calls compared to LTE-EUTRAN and for LTE PS to be higher than WLAN. In this
scenario, the mobile device is assumed to be capable
of transmitting and receiving simultaneously in
multiple access networks. This will clearly provide an
advantage in reducing delays during the handover
procedure, however the IMS Service Continuity
specifications do not require this as a mandatory
capability for the UE.

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6 | Circuit-Switched Interworking

IMS-Based HO Mechanism (continued)


IMS

Do
HO

MSC+ICS
4

GERAN

CSCF

UE

E-UTRAN

RL

EPC

SCC AS

MGW
MGCF
Voice

AL

Signaling

Before

PSTN

After
Remote ISDN Phone
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3.

After the handover decision is made, the UE will send


a CS call setup message to the enhanced MSC
Server. This message carries a Session Transfer
Number (STN) which will be used in the ensuing
signaling to the SCC AS for identifying the session
which is going to be transferred from the PS domain
to the CS domain. STN is statically configured in the
UE (e.g., at provisioning time).

If there are other media present besides the voice on the


original path over PS (E-UTRAN), they would have been
either released after the voice portion is transferred to
GERAN CS or they would have continued over the EUTRAN path. This is possible if (as we assumed) the UE is
capable to maintain simultaneous multi-RAT connections.

4.,5. Since the MSC is enhanced with IMS Service


Continuity function, upon receiving the Setup
message with the STN, it will create a SIP INVITE
message to the SCC AS (via CSCF) and the SCC AS
will send a REINVITE message to the MGCF.
6.

232

The MGCF will command the MGW to update and


transfer the media to the MSC (with ICS). Note that
the voice media path has changed on the access leg
and remains the same on the remote leg.

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6 | Circuit-Switched Interworking

Support for SMS

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233

6 | Circuit-Switched Interworking

SMS Interworking via MSC and MME


Control Plane SMS Solution
Example: UE-originated SMS in idle mode
EPC
UE

SGs
Interface

1. Service Request

E-UTRAN
2. SMS via NAS Signaling

MME

Supported SMS Scenarios

3. Forwarding
of SMS

UMTS/GSM
CS Core

MSC
Server

UE-originated and UE-terminated SMS in idle mode


UE-originated and UE-terminated SMS in connected mode
(direct use of existing NAS signaling: no service
request/paging)
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It is possible to use the LTE E-UTRAN and LTE EPC along


with the legacy CS core network to take care of SMS. In
such cases, the MME needs to support the SGs interface
with an MSC server. The UE includes the SMS inside a
NAS signaling message. UE-originated and UE-terminated
SMSs are both possible. SMS is supported in both the idle
and connected modes. Of course, if the UE is in the idle
mode, we need to first establish connectivity between the
UE and the E-UTRAN and between the UE and the MME.
The UE needs to send a service request message to the
MME. For a UE-terminated SMS, a page message would
be sent to the UE to get the UE out of the idle mode. If the
UE is in the dedicated mode, the UE already has all the
links established. This will remove any extra service
request/paging type signaling exchanges. The UE can
directly place an SMS in a NAS signaling message.

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6 | Circuit-Switched Interworking

SMS using IMS


User Plane SMS Solution
Example: UE-originated SMS

Prerequisite: Registration by IP-SM-GW (ex: AS) with HSS


3. Processing of SMS

IMS

UE
1. SMS in a
SIP message

2. SMS

CSCF

IP-SM-GW

Protocol interworking
between SC and SM-over-IP
sender/receiver

vnd.3GPP.sms payload
contains SMS and
routing information for
IP-SM-GW

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The IMS is a service delivery platform that facilitates the


offering of a variety of IP-based services. While VoIP is
expected to be a popular IMS application, SMS can be
another attractive application that can be handled using
the IMS. In the case of applications such as VoIP calls, the
CSCF does not get involved in any user traffic like
speech. The UE needs to implement the functions of an
SM-over-IP sender and an SM-over-IP receiver. Features
such as status reports, delivery reports, and notification of
memory availability are also supported. The IMS core
network performs functions of an IP-SM-GW. Both UEoriginated and UE-terminated SMSs are supported. The
actual SMS is carried as a "vnd.3gpp.sms" payload in a
SIP MESSAGE request. An Application Server (AS) can act
as an IP-SM-GW (IP Short Message Gateway). For a
receiver to get the SMS, the receiver needs to do IMS
registration and indicate its capability to receive traditional
short messages over the IMS network by providing a
"+g.3gpp.smsip" parameter into the Contact header of the
registration request message.

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235

6 | Circuit-Switched Interworking

Summary
LTE supports voice only on PS bearers, and will have a
relatively small footprint initially.
Three likely scenarios for CS interworking are proposed:
CS Fallback, SR-VCC and IMS application-based.
IMS is a service enabler in 3GPP, and in R8 it can support
Service Centralization and Service Continuity for PS and
CS networks.
CSFB does not use the IMS; SR-VCC and ICS/ISC require
the IMS.
Dual radio capability can improve CS handover
performance but it is not a device requirement.
The C-plane SMS solution uses MME, MSC, and SGs
interface, while the U-plane SMS solution uses IMS.
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6 | Circuit-Switched Interworking

Review Questions
1.
2.
3.
4.
5.

Name two solutions for voice interworking


between LTE and other 3GPP-based networks.
IMS supports access to PS services only. (T/F)
In SR-VCC HO, all PS connections must be
handed over or dropped altogether. (T/F)
CS Fallback can be used to handoff an ongoing
voice call. (T/F)
What is the role of the SCC AS in ICS?

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237

238

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Acronyms

1xEV-DO
1xRTT
2G
3G
3GPP
3GPP2
3PCC
4G
AAA
ACK
ACM
AF
AGCH
AI
AIN
AKA
AL
AM
AMBR
ANM
AP
API
APN
ARFCN
ARP
AS
ASME
ASN
ASN-GW
ATM
AuC
AVP
BC
BCCH
BER
BGCF
BLER
BS
BSC
BSIC
BSS

1x Evolution for Data Optimized


1x Radio Transmission Technology
Second Generation Wireless Systems
Third Generation Wireless Systems
Third Generation Partnership Project
Third Generation Partnership Project 2
Third Party Call Control Entity
Fourth Generation Wireless Systems
Authentication, Authorization and Accounting
Acknowledge or Acknowledgement
Address Complete Message
Application Function
Access Grant Channel
Acquisition Indication
Advanced Intelligent Network
Authentication and Key Agreement
Access Leg
Acknowledged Mode
Aggregate Maximum Bit Rate
Answer Message
Access Point
Application Programming Interface
Access Point Name
Absolute Radio Frequency Channel Number
Allocation and Retention Priority
Application Server
Access Security Management Entity
Access Service Network
Access Service Network Gateway
Asynchronous Transfer Mode
Authentication Center
Attribute Value Pair
Bearer Context
Broadcast Control Channel
Bit Error Rate
Breakout Gateway Control Function
Block Error Rate
Base Station
Base Station Controller
Base Station Identification Code
Base Station Subsystem

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239

Acronyms

BSSGP
BTS
CAMEL
CCCH
CCN
CCO
CDMA
CDR
CID
CK
CM
CN
CoMP
CPICH
CS
CSCF
CS-CN
CSFB
CSG
dB
dBm
DHCP
DL
DNS
DRX
DSCP
DTM
E911
Ec/Io
EDGE
EF
EGPRS
EHPLMN
EMM
eNB
EPC
ePDG
EPS
E-RAB
ESM
E-UTRA

240

BSS GPRS Protocol


Base Transceiver Station
Customized Applications for Mobile Enhanced Logic
Common Control Channel
Cell Change Notification
Cell Change Order
Code Division Multiple Access
Call Data Record
Cell Identifier
Ciphering Key
Connection Management
Core Network
Coordinated Multipoint
Common Pilot Channel
Circuit-Switched
Call Session Control Function
Circuit Switched Core Network
Circuit-Switched Fallback
Closed Subscriber Group
Decibel
Decibel per Milliwatt
Dynamic Host Configuration Protocol
Downlink
Domain Name System
Discontinuous Reception
Differentiated Services Code Point
Dual Transfer Mode
Enhanced 911
Energy per Chip over Interface
Enhanced Data Rates for Global Evolution
Expedited Forwarding
Enhanced GPRS
Equivalent Home PLMN
EPS Mobility Management
Evolved NodeB or E-UTRAN NodeB
Evolved Packet Core
Evolved Packet Data Gateway
Evolved Packet System
Evolved Radio Access Bearer
EPS Session Management
Evolved Universal Terrestrial Radio Access or Evolved UMTS Terrestrial Radio Access

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Acronyms

E-UTRAN
EV-DO
FDD
FER
FMC
GBR
GERAN
GGSN
GMLC
GMM
GMSC
GPRS
GSM
GSN
GTP
GTP-C
GTP-U
GUMMEI
GUTI
GW
HA
HARQ
HLR
HO
HPLMN
HSDPA
HSPA
HSPA+
HSS
HSUPA
IAM
ICS
I-CSCF
IE
IETF
IF
IK
IM
IMEI
IMS

Evolved Universal Terrestrial Radio Access Network or Evolved UMTS Terrestrial Radio
Access Network
Evolution for Data Optimized
Frequency Division Duplex
Frame Error Rate
Fixed Mobile Convergence
Guaranteed Bit Rate
GSM/EDGE Radio Access Network
Gateway GPRS Support Node
Gateway Mobile Location Center
GPRS Mobility Management
Gateway Mobile Switching Center
General Packet Radio Service
Global System for Mobile Communications
GPRS Support Node
GPRS Tunneling Protocol
GPRS Tunneling Protocol Control Plane
GPRS Tunneling Protocol User Plane
Globally Unique MME Identifier
Globally Unique Temporary Identity
Gateway
Home Agent
Hybrid ARQ
Home Location Register
Handover
Home PLMN
High Speed Downlink Packet Access
High Speed Packet Access
High Speed Packet Access Evolved
Home Subscriber Server
High Speed Uplink Packet Access
Initial Address Message
IMS Centralized Services
Interrogating CSCF
Information Element
Internet Engineering Task Force
Inter-Frequency
Integrity Key
Instant Messaging
International Mobile Equipment Identity
IP Multimedia Subsystem

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241

Acronyms

IMSI
IN
IP
IPsec
IPv4
IPv6
IRAT
IS
ISC
ISDN
ISIM
ISR
ISUP
ITU
Iu-CS
km/h
KSI
L3
LA
LAC
LAI
LAN
LCS
LLC
LRF
LTE
LU
MAC
MAP
MBMS
MBR
MCC
MCS
ME
MGC
MGCF
MGL
MGRP
MGW
MHz
MIB

242

International Mobile Subscriber Identity


Intelligent Networks
Internet Protocol
Internet Protocol Security
Internet Protocol version 4
Internet Protocol version 6
Inter Radio Access Technology
Interim Standard
IMS Service Continuity
Integrated Services Digital Network
IP Multimedia Services Identity Module
Idle-State Signaling Reduction
ISDN Signaling User Part
International Telecommunication Union
Iu Circuit Switched
Kilometers per Hour
Key Set Identifier
Layer 3 (network layer)
Location Area
Location Area Code
Location Area Identity
Local Area Network
Location Services
Logical Link Control
Location Retrieval Function
Long Term Evolution
Location Update
Message Authentication Code
Mobile Application Protocol
Multimedia Broadcast Multicast Service
Maximum Bit Rate
Mobile Country Code
Modulation and Coding Scheme
Mobile Equipment
Media Gateway Controller
Media Gateway Control Function
Measurement Gap Length
Measurement Gap Repetition Period
Media Gateway
Megahertz
Master Information Block

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Acronyms

MIMO
MIP
MM
MME
MMEC
MMEGI
MMEI
MNC
MO
MS
MSC
MSC-S
MSISDN
MT
NACC
NAS
NC
NRI
NSAPI
OEP
OFDM
OTA
P
PACCH
PCC
PCEF
PCH
PCM
PCO
PCRF
P-CSCF
PDB
PDCH
PDCP
PDG
PDN
PDN-GW
PDP
PDSN
PDU
P-GW

Multiple Input Multiple Output


Mobile IP
Mobility Management
Mobility Management Entity
Mobility Management Entity Code
Mobility Management Entity Group Identity
Mobility Management Entity Identifier
Mobile Network Code
Mobile Originated
Mobile Station
Mobile Switching Center
Mobile Switching Center Server
Mobile Station International ISDN Number
Mobile Terminal
Network Assisted Cell Change
Non-Access Stratum
Network Controlled
Routing Area Identity (RAI) Network Resource ID
Network layer Service Access Point Identifier
Other End Party
Orthogonal Frequency Division Multiplexing
Over-the-Air
Provider node
Packet Associated Control Channel
Policy and Charging Control
Policy and Charging Enforcement Function
Paging Channel
Pulse Code Modulation
Protocol Configuration Option
Policy and Charging Rules Function
Proxy-CSCF
Packet Delay Budget
Packet Data Channel
Packet Data Convergence Protocol
Packet Data Gateway
Packet Data Network
PDN Gateway
Packet Data Protocol
Packet Data Serving Node
Protocol Data Unit
Packet Data Network Gateway

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243

Acronyms

PLMN
PLR
PMIP
PS
PSAP
PS-CN
PSTN
P-TMSI
PTP
QCI
QoS
R99
RA
RAB
RAC
RACH
RAI
RAN
RANAP
RAT
RAU
RF
RFSP
RIM
RL
RLC
RNC
RNS
RNTI
RR
RRC
RRM
RSCP
RSRP
RSRQ
RSSI
S1-U
SACCH
SAP
SAPI
SCC

244

Public Land Mobile Network


Packet Loss Rate
Proxy MIP
Packet-Switched
Public Safety Answering Point
Packet Switched Core Network
Public Switched Telephone Network
Packet TMSI (Temporary Mobile Subscriber Identity)
Point to Point
QoS Class Identifier
Quality of Service
Release 99
Routing Area
Radio Access Bearer
Routing Area Code
Random Access Channel
Routing Area Identity
Radio Access Network
Radio Access Network Application Part
Radio Access Technology
Routing Area Update
Radio Frequency
RAT/Frequency Selection Priority'
Radio Information Management
Remote Leg
Radio Link Control
Radio Network Controller
Radio Network Subsystem
Radio Network Temporary Identity
Radio Resources
Radio Resource Control
Radio Resource Management
Received Signal Code Power
Reference Signal Received Power
Reference Signal Received Quality
Received Signal Strength Indicator
S1 - User Plane
Slow Associated Control Channel
Service Access Point
Service Access Point Identifier
Service Centralization and Continuity

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Acronyms

SCS
S-CSCF
SCTP
SDCCH
SDF
SDP
SDU
SF
SGsAP
SGSN
S-GW
SI
SIB
SIM
SIP
SMLC
SMS
SPR
SR
SR
SRNC
SRNS
SR-VCC
SS
SS7
STN
TA
TAC
TAI
TAU
TBF
TCAP
TCP
TDD
TDM
TDMA
TEID
TFT
TGL
TGPL
TIN

Service Capability Server


Serving CSCF
Stream Control Transmission Protocol
Standalone Dedicated Control Channel
Service Data Flow
Session Description Protocol
Service Data Unit
Subframe
SGs Application Protocol
Serving GPRS Support Node
Serving Gateway
System Information
System Information Block
Subscriber Identity Module
Session Initiation Protocol
Serving Mobile Location Center
Short Message Service
Subscription Profile Repository
Scheduling Request
Sender Report
Serving Radio Network Controller
Serving RNS
Single Radio Voice Call Continuity
Supplementary Service
Signaling System 7
Session Transfer Number
Tracking Area
Tracking Area Code
Tracking Area Identifier
Tracking Area Update
Temporary Block Flow
Transaction Capabilities Application Part
Transmission Control Protocol
Time Division Duplex
Time Division Multiplex(ing)
Time Division Multiple Access
Tunnel Endpoint Identifier
Traffic Flow Template
Transmission Gap Length
Transmission Gap Pattern Length
ID Used in Next Update

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Acronyms

TLDN
TLLI
TMSI
TS
TTT
UDP
UE
UICC
UL
UM
UMA
UMTS
URA
URI
USIM
UTRA
UTRAN
VCC
VLR
VoIP
VoLTE
WAG
WCDMA
Wi-Fi
WiMAX
WIN
WLAN

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Temporary Local Directory Number


Temporary Logical Link Identifier
Temporary Mobile Subscriber Identity
Technical Specification
Time to Trigger
User Datagram Protocol
User Equipment
Universal Integrated Circuit Card
Uplink
Unacknowledged Mode
Unlicensed Mobile Access
Universal Mobile Telecommunications System
UTRAN Registration Area
Uniform Resource Identifier
UMTS Subscriber Identity Module
Universal Terrestrial Radio Access or UMTS Terrestrial Radio Access
Universal Terrestrial Radio Access Network or UMTS Terrestrial Radio Access Network
Voice Call Continuity
Visitor Location Register
Voice over Internet Protocol
Voice over LTE
WLAN Access Gateway
Wideband Code Division Multiple Access
Wireless Fidelity
Worldwide Interoperability for Microwave Access
Wireless Intelligent Network
Wireless Local Area Networks

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References

Standards
1.
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5.
6.
7.
8.
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10.
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24.
25.
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27.
28.
29.
30.
31.
32.
33.
34.
35.
36.

23.401 General Packet Radio Service (GPRS) enhancements for Evolved Universal Terrestrial Radio Access
Network (E-UTRAN) access
36.300 E-UTRA and E-UTRAN Overall Description (Stage 2)
36.331 - Evolved Universal Terrestrial Radio Access (E-UTRA) Radio Resource Control (RRC)
36.211-36.214: Physical Layer related documents
23.060 General Packet Radio Service (GPRS); Service description (Stage 2)
29.274 Tunnelling Protocol for Control plane (GTPv2-C); (Stage 3)
29.272 Mobility Management Entity (MME) and Serving GPRS Support Node (SGSN) related interfaces based
on Diameter protocol
29.060 GPRS Tunneling Protocol (GTP) across the Gn and Gp interface
24.301 Non-Access-Stratum (NAS) protocol for Evolved Packet System (EPS); (Stage 3)
3GPP TS 44.018 V8.6.0 (RRC)
3GPP TS 23.003 V8.4.0 (Numbering, Addressing and Identification)
3GPP TS 23.401 V8.4.1 (GPRS Enhancements for E-UTRAN Access)
3GPP TS 25.331 V8.6.0 (RRC)
3GPP TS 36.133 V8.5.0 (Requirements for RRM)
3GPP TS 25.133 V8.6.0 (Requirements for RRM)
3GPP TS 45.008 V8.2.0 (RAN Radio Link Control)
3GPP TS 24.301 V8.0.0 (UE-NAS Signaling)
3GPP TS 36.413 V8.4.0 (S1-AP)
3GPP TS 23.060 V8.4.0 (GPRS Service Description)
3GPP TS 36.300 V8.8.0 (E-UTRAN Overall Description)
3GPP TS 36.304 V8.5.0 (UE Procedures in Idle Mode)
3GPP TS 25.304 V8.5.0 (UE Procedures in Idle Mode)
3GPP TS 43.022 V8.1.0 (MS in Idle Mode and Group Receive Mode)
3GPP TS 23.003 V8.4.0 (Numbering, Addressing and Identification)
3GPP TS 36.133 V8.5.0 (Requirements for RRM)
3GPP TS 25.133 V8.6.0 (Requirements for RRM)
3GPP TS 45.008 V8.2.0 (RAN Radio Link Control)
3GPP TS 23.002 V8.3.0 (Network Architecture)
3GPP TS 23.272 V8.3.0 (Circuit Switched Fallback in EPS)
3GPP TS 23.216 V8.3.0 (Single Radio Voice Call Continuity)
3GPP TS 29.280 V8.1.0 (Sv Interface)
3GPP TS 29.118 V8.1.0 (SGs Interface)
3GPP TS 23.292 V8.3.0 (IMS Centralized Services)
3GPP TS 23.279 V8.1.0 (CS and IMS Services)
3GPP TS 23.228 V8.6.0 (IMS)
3GPP TS 23.206 V7.5.0 (VCC)

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