3GPP TS 23.401 V10.3.0 (2011-03)
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`Technical Specification
`
`3rd Generation Partnership Project;
`Technical Specification Group Services and System Aspects;
`General Packet Radio Service (GPRS) enhancements for
` Evolved Universal Terrestrial Radio Access Network
`(E-UTRAN) access
`(Release 10)
`
`The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP.
`The present document has not been subject to any approval process by the 3GPP Organizational Partners and shall not be implemented.
`This Specification is provided for future development work within 3GPP only. The Organizational Partners accept no liability for any use of this Specification.
`Specifications and reports for implementation of the 3GPP TM system should be obtained via the 3GPP Organizational Partners' Publications Offices.
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`Release 10
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`3GPP TS 23.401 V10.3.0 (2011-03)
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`Keywords
`LTE, GSM, UMTS, GPRS, architecture, stage 2
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`3GPP
`
`Postal address
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`3GPP support office address
`650 Route des Lucioles - Sophia Antipolis
`Valbonne - FRANCE
`Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
`
`Internet
`http://www.3gpp.org
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`Copyright Notification
`
`No part may be reproduced except as authorized by written permission.
`The copyright and the foregoing restriction extend to reproduction in all media.
`
`© 2011, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TTA, TTC).
`All rights reserved.
`
`UMTS™ is a Trade Mark of ETSI registered for the benefit of its members
`3GPP™ is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners
`LTE™ is a Trade Mark of ETSI currently being registered for the benefit of its Members and of the 3GPP Organizational Partners
`GSM® and the GSM logo are registered and owned by the GSM Association
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`3GPP
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`Release 10
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`3GPP TS 23.401 V10.3.0 (2011-03)
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`Contents
`Foreword........................................................................................................................................................... 10
`1
`Scope ...................................................................................................................................................... 11
`2
`References .............................................................................................................................................. 11
`3
`Definitions and abbreviations ................................................................................................................. 14
`3.1
`Definitions ....................................................................................................................................................... 14
`3.2
`Abbreviations ................................................................................................................................................... 14
`4
`Architecture model and concepts ........................................................................................................... 16
`4.1
`General concepts .............................................................................................................................................. 16
`4.2
`Architecture reference model ........................................................................................................................... 16
`4.2.1
`Non-roaming architecture .......................................................................................................................... 16
`4.2.2
`Roaming architecture ................................................................................................................................. 17
`4.2.3
`Reference points ......................................................................................................................................... 19
`4.2.4
`Warning System architecture ..................................................................................................................... 20
`4.3
`High level functions ......................................................................................................................................... 20
`4.3.1
`General ....................................................................................................................................................... 20
`4.3.2
`Network access control functions ............................................................................................................... 21
`4.3.2.1
`General ................................................................................................................................................. 21
`4.3.2.2
`Network/Access network selection ....................................................................................................... 21
`4.3.2.3
`Authentication and authorisation function ............................................................................................ 21
`4.3.2.4
`Admission control function .................................................................................................................. 21
`4.3.2.5
`Policy and Charging Enforcement Function ......................................................................................... 21
`4.3.2.6
`Lawful Interception .............................................................................................................................. 21
`4.3.3
`Packet routing and transfer functions ......................................................................................................... 21
`4.3.3.1
`General ................................................................................................................................................. 21
`4.3.3.2
`IP header compression function............................................................................................................ 21
`4.3.3.3
`Packet screening function ..................................................................................................................... 22
`4.3.3.4
`IP Multicast Forwarding between a network accessed by LIPA and a UE ........................................... 22
`4.3.4
`Security functions ....................................................................................................................................... 22
`4.3.5
`Mobility management functions ................................................................................................................. 22
`4.3.5.1
`General ................................................................................................................................................. 22
`4.3.5.2
`Reachability Management for UE in ECM-IDLE state ........................................................................ 22
`4.3.5.3
`Tracking Area list management ............................................................................................................ 23
`4.3.5.4
`Inter-eNodeB mobility anchor function ................................................................................................ 23
`4.3.5.5
`Inter-3GPP mobility anchor function ................................................................................................... 23
`4.3.5.6
`Idle mode signalling reduction function ............................................................................................... 23
`4.3.5.7
`Mobility Restrictions ............................................................................................................................ 25
`4.3.5.8
`IMS voice over PS Session Supported Indication ................................................................................ 25
`4.3.5.9
`Voice domain preference and UE's usage setting ................................................................................. 26
`4.3.6
`Radio Resource Management functions ..................................................................................................... 26
`4.3.7
`Network management functions ................................................................................................................. 27
`4.3.7.1
`General ................................................................................................................................................. 27
`4.3.7.2
`Load balancing between MMEs ........................................................................................................... 27
`4.3.7.3
`Load re-balancing between MMEs ....................................................................................................... 27
`4.3.7.4
`MME control of overload ..................................................................................................................... 28
`4.3.7.4.1
`General ............................................................................................................................................ 28
`4.3.7.4.1a
`Throttling of Downlink Data Notification Requests ....................................................................... 29
`4.3.7.4.2
`NAS level congestion control ......................................................................................................... 29
`4.3.7.5
`PDN GW control of overload ............................................................................................................... 31
`4.3.8
`Selection functions ..................................................................................................................................... 32
`4.3.8.1
`PDN GW selection function (3GPP accesses) ...................................................................................... 32
`4.3.8.2
`Serving GW selection function ............................................................................................................. 33
`4.3.8.3
`MME selection function ....................................................................................................................... 34
`4.3.8.4
`SGSN selection function ...................................................................................................................... 34
`4.3.8.5
`Selection of PCRF ................................................................................................................................ 34
`4.3.9
`IP network related functions ...................................................................................................................... 34
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`3GPP
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`Domain Name Service function............................................................................................................ 34
`4.3.9.1
`DHCP function ..................................................................................................................................... 35
`4.3.9.2
`Explicit Congestion Notification .......................................................................................................... 35
`4.3.9.3
`Functionality for Connection of eNodeBs to Multiple MMEs ................................................................... 35
`4.3.10
`E-UTRAN Sharing Function ...................................................................................................................... 35
`4.3.11
`IMS Emergency Session Support ............................................................................................................... 35
`4.3.12
`Introduction .......................................................................................................................................... 35
`4.3.12.1
`Architecture Reference Model for Emergency Services ....................................................................... 37
`4.3.12.2
`Mobility and Access Restrictions for Emergency Services .................................................................. 37
`4.3.12.3
`Reachability Management for UE in ECM-IDLE state ........................................................................ 37
`4.3.12.3a
`PDN GW selection function (3GPP accesses) for Emergency Services ............................................... 37
`4.3.12.4
`QoS for Emergency Services ................................................................................................................ 37
`4.3.12.5
`PCC for Emergency Services ............................................................................................................... 38
`4.3.12.6
`Load re-balancing between MMEs for Emergency Services ................................................................ 38
`4.3.12.7
`IP Address Allocation ........................................................................................................................... 38
`4.3.12.8
`Handling of PDN Connections for Emergency Bearer Services .......................................................... 38
`4.3.12.9
`ISR function for Emergency Bearer Services ....................................................................................... 38
`4.3.12.10
`Closed Subscriber Group functions ............................................................................................................ 38
`4.3.13
`Location Service functions ......................................................................................................................... 39
`4.3.14
`Selected IP Traffic Offload (SIPTO) function ........................................................................................... 39
`4.3.15
`Local IP Access (LIPA) function ............................................................................................................... 39
`4.3.16
`Support for Machine Type Communications (MTC) ................................................................................. 40
`4.3.17
`General ................................................................................................................................................. 40
`4.3.17.1
`Overview of protection from Potential MTC Related Overload ........................................................... 41
`4.3.17.2
`Optimizing periodic TAU Signalling ................................................................................................... 42
`4.3.17.3
`UE configuration and usage of indicators ............................................................................................. 42
`4.3.17.4
`Void ...................................................................................................................................................... 43
`4.3.17.5
`Multimedia Priority Service ....................................................................................................................... 43
`4.3.18
`General ................................................................................................................................................. 43
`4.3.18.1
`IMS-based Multimedia Priority Services ............................................................................................. 44
`4.3.18.2
`Originating IMS-based MPS Session.............................................................................................. 44
`4.3.18.2.1
`Terminating IMS-based MPS Session ............................................................................................ 45
`4.3.18.2.2
`Priority EPS Bearer Services ................................................................................................................ 45
`4.3.18.3
`CS fallback ........................................................................................................................................... 45
`4.3.18.4
`Core Network node resolution ................................................................................................................... 45
`4.3.19
`General ................................................................................................................................................. 45
`4.3.19.1
`MSB in LAC and MME Group ID ....................................................................................................... 46
`4.3.19.2
`Explicit Indication ................................................................................................................................ 46
`4.3.19.3
`Relaying function ....................................................................................................................................... 46
`4.3.20
`General ................................................................................................................................................. 46
`4.3.20.1
`RN startup and attach procedure........................................................................................................... 47
`4.3.20.2
`General ............................................................................................................................................ 47
`4.3.20.2.1
`Attach for RN preconfiguration ...................................................................................................... 47
`4.3.20.2.2
`Attach for RN operation .................................................................................................................. 47
`4.3.20.2.3
`DeNB E-RAB activation/modification ................................................................................................. 48
`4.3.20.4
`4.4
`Network elements ............................................................................................................................................ 48
`4.4.1
`E-UTRAN .................................................................................................................................................. 48
`4.4.2
`MME .......................................................................................................................................................... 49
`4.4.3
`Gateway ..................................................................................................................................................... 50
`4.4.3.1
`General ................................................................................................................................................. 50
`4.4.3.2
`Serving GW .......................................................................................................................................... 50
`4.4.3.3
`PDN GW .............................................................................................................................................. 50
`4.4.4
`SGSN ......................................................................................................................................................... 51
`4.4.5
`GERAN ...................................................................................................................................................... 51
`4.4.6
`UTRAN ...................................................................................................................................................... 51
`4.4.7
`PCRF .......................................................................................................................................................... 52
`4.4.7.1
`General ................................................................................................................................................. 52
`4.4.7.2
`Home PCRF (H-PCRF) ........................................................................................................................ 52
`4.4.7.3
`Visited PCRF (V-PCRF) ...................................................................................................................... 52
`4.4.8
`PDN GW's associated AAA Server............................................................................................................ 52
`4.4.9
`HeNB subsystem ........................................................................................................................................ 52
`4.4.10
`DeNB ......................................................................................................................................................... 53
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`Release 10
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`4.5
`4.6
`4.6.1
`4.6.2
`4.6.2.1
`4.6.2.2
`4.6.3
`4.6.3.1
`4.6.3.2
`4.6.4
`4.7
`4.7.1
`4.7.2
`4.7.2.1
`4.7.2.2
`4.7.2.3
`4.7.3
`4.7.4
`4.7.5
`4.8
`4.8.1
`5
`5.1
`5.1.0
`5.1.1
`5.1.1.1
`5.1.1.2
`5.1.1.3
`5.1.1.4
`5.1.1.5
`5.1.1.6
`5.1.1.7
`5.1.1.8
`5.1.1.9
`5.1.1.10
`5.1.1.11
`5.1.2
`5.1.2.1
`5.1.2.2
`5.1.2.3
`5.1.2.4
`5.1.2.5
`5.2
`5.2.1
`5.2.2
`5.2.3
`5.2.4
`5.2.5
`5.2.6
`5.3
`5.3.1
`5.3.1.1
`5.3.1.2
`5.3.1.2.1
`5.3.1.2.2
`5.3.1.2.3
`5.3.1.2.4
`5.3.1.2.5
`5.3.1.2.6
`5.3.2
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`Void ................................................................................................................................................................. 53
`EPS Mobility Management and Connection Management states .................................................................... 54
`General ....................................................................................................................................................... 54
`Definition of main EPS Mobility Management states ................................................................................ 54
`EMM-DEREGISTERED ...................................................................................................................... 54
`EMM-REGISTERED ........................................................................................................................... 54
`Definition of EPS Connection Management states .................................................................................... 55
`ECM-IDLE ........................................................................................................................................... 55
`ECM-CONNECTED ............................................................................................................................ 55
`State transition and functions ..................................................................................................................... 56
`Overall QoS concept ........................................................................................................................................ 57
`PDN connectivity service ........................................................................................................................... 57
`The EPS bearer ........................................................................................................................................... 57
`The EPS bearer in general .................................................................................................................... 57
`The EPS bearer with GTP-based S5/S8 ................................................................................................ 59
`The EPS bearer with PMIP-based S5/S8 .............................................................................................. 60
`Bearer level QoS parameters ...................................................................................................................... 60
`Support for Application / Service Layer Rate Adaptation.......................................................................... 61
`Application of PCC in the Evolved Packet System .................................................................................... 62
`Compatibility Issues ........................................................................................................................................ 63
`Network Configuration for Interaction with UTRAN/GERAN ................................................................. 63
`Functional description and information flows ........................................................................................ 63
`Control and user planes .................................................................................................................................... 63
`General ....................................................................................................................................................... 63
`Control Plane .............................................................................................................................................. 63
`General ................................................................................................................................................. 63
`eNodeB - MME .................................................................................................................................... 64
`UE - MME ............................................................................................................................................ 64
`SGSN - MME ....................................................................................................................................... 65
`SGSN - S-GW ...................................................................................................................................... 65
`S-GW - P-GW ...................................................................................................................................... 66
`MME - MME ........................................................................................................................................ 66
`MME - S-GW ....................................................................................................................................... 67
`MME - HSS .......................................................................................................................................... 67
`MME - EIR ........................................................................................................................................... 68
`CBC - eNodeB ...................................................................................................................................... 68
`User Plane .................................................................................................................................................. 69
`UE - P-GW user plane with E-UTRAN................................................................................................ 69
`eNodeB - S-GW ................................................................................................................................... 69
`UE - PDN GW user plane with 2G access via the S4 interface ............................................................ 70
`UE - PDN GW user plane with 3G access via the S12 interface .......................................................... 71
`UE - PDN GW user plane with 3G access via the S4 interface ............................................................ 72
`Identities .......................................................................................................................................................... 72
`EPS bearer identity ..................................................................................................................................... 72
`Globally Unique Temporary UE Identity ................................................................................................... 72
`Tracking Area Identity (TAI) ..................................................................................................................... 73
`eNodeB S1-AP UE Identity (eNodeB S1-AP UE ID) ................................................................................ 73
`MME S1-AP UE Identity (MME S1-AP UE ID) ....................................................................................... 73
`Closed Subscriber Group ID ...................................................................................................................... 73
`Authentication, security and location management ......................................................................................... 73
`IP address allocation................................................................................................................................... 73
`General ................................................................................................................................................. 73
`IP address allocation, renewal and release mechanisms for GTP based S5/S8 .................................... 76
`IPv4 address allocation via default bearer activation and release via PDN connection release ...... 76
`Allocation, renewal and release of the IPv6 default prefix via IPv6 stateless address
`autoconfiguration ............................................................................................................................ 76
`IPv6 parameter configuration via stateless DHCPv6 ...................................................................... 77
`IPv4 address allocation, renewal and release and IPv4 parameter configuration via DHCPv4 ...... 77
`Void ................................................................................................................................................ 77
`IPv6 Prefix Delegation via DHCPv6 .............................................................................................. 78
`Attach procedure ........................................................................................................................................ 78
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`3GPP TS 23.401 V10.3.0 (2011-03)
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`5.3.2.1
`5.3.2.2
`5.3.3
`5.3.3.0
`5.3.3.0A
`5.3.3.1
`5.3.3.2
`5.3.3.3
`5.3.3.4
`5.3.3.5
`5.3.3.6
`5.3.4
`5.3.4.1
`5.3.4.2
`5.3.4.3
`5.3.5
`5.3.6
`5.3.7
`5.3.8
`5.3.8.1
`5.3.8.2
`5.3.8.2.1
`5.3.8.2.2
`5.3.8.3
`5.3.8.3A
`5.3.8.4
`5.3.9
`5.3.9.1
`5.3.9.2
`5.3.9.3
`5.3.10
`5.3.10.1
`5.3.10.2
`5.3.10.3
`5.3.10.4
`5.3.10.4.1
`5.3.10.4.2
`5.3.10.5
`5.3.11
`5.3.11.1
`5.3.11.2
`5.3.11.3
`5.4
`5.4.1
`5.4.2
`5.4.2.1
`5.4.2.2
`5.4.3
`5.4.4
`5.4.4.1
`5.4.4.2
`5.4.5
`5.4.6
`5.5
`5.5.1
`5.5.1.1
`5.5.1.1.1
`5.5.1.1.2
`5.5.1.1.3
`5.5.1.2
`5.5.1.2.1
`5.5.1.2.2
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`E-UTRAN Initial Attach ...................................................................................................................... 78
`UTRAN/GERAN Initial Attach ........................................................................................................... 89
`Tracking Area Update procedures .............................................................................................................. 89
`Triggers for tracking area update .......................................................................................................... 89
`Provision of UE's TAI to MME in ECM-CONNECTED state ............................................................ 90
`Tracking Area Update procedure with Serving GW change ................................................................ 90
`E-UTRAN Tracking Area Update without S-GW Change ................................................................... 96
`Routing Area Update with MME interaction and without S-GW change .......................................... 102
`Void .................................................................................................................................................... 108
`Void .................................................................................................................................................... 108
`Routing Area Update with MME interaction and with S-GW change ............................................... 108
`Service Request procedures ..................................................................................................................... 114
`UE triggered Service Request ............................................................................................................. 114
`Handling of abnormal conditions in UE triggered Service Request ................................................... 116
`Network Triggered Service Request ................................................................................................... 117
`S1 release procedure................................................................................................................................. 119
`Void .......................................................................................................................................................... 121
`GUTI Reallocation procedure ....................