ETSI TS 136 401 V8.4.0 (2009-01) Technical Specification LTE; Evolved Universal Terrestrial Radio Access Network (E-UTRAN); Architecture description (3GPP TS 36.401 version 8.4.0 Release 8) 3GPP TS 36.401 version 8.4.0 Release 8 1 ETSI TS 136 401 V8.4.0 (2009-01) Reference RTS/TSGR-0336401v840 Keywords LTE ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16 Siret N° 348 623 562 00017 - NAF 742 C Association à but non lucratif enregistrée à la Sous-Préfecture de Grasse (06) N° 7803/88 Important notice Individual copies of the present document can be downloaded from: http://www.etsi.org The present document may be made available in more than one electronic version or in print. In any case of existing or perceived difference in contents between such versions, the reference version is the Portable Document Format (PDF). In case of dispute, the reference shall be the printing on ETSI printers of the PDF version kept on a specific network drive within ETSI Secretariat. Users of the present document should be aware that the document may be subject to revision or change of status. Information on the current status of this and other ETSI documents is available at http://portal.etsi.org/tb/status/status.asp If you find errors in the present document, please send your comment to one of the following services: http://portal.etsi.org/chaircor/ETSI_support.asp 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. © European Telecommunications Standards Institute 2009. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTM, TIPHONTM, the TIPHON logo and the ETSI logo are Trade Marks of ETSI registered for the benefit of its Members. 3GPPTM 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 Trade Marks registered and owned by the GSM Association. ETSI 3GPP TS 36.401 version 8.4.0 Release 8 2 ETSI TS 136 401 V8.4.0 (2009-01) Intellectual Property Rights IPRs essential or potentially essential to the present document may have been declared to ETSI. The information pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web server (http://webapp.etsi.org/IPR/home.asp). Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become, essential to the present document. Foreword This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP). The present document may refer to technical specifications or reports using their 3GPP identities, UMTS identities or GSM identities. These should be interpreted as being references to the corresponding ETSI deliverables. The cross reference between GSM, UMTS, 3GPP and ETSI identities can be found under http://webapp.etsi.org/key/queryform.asp. ETSI 3GPP TS 36.401 version 8.4.0 Release 8 3 ETSI TS 136 401 V8.4.0 (2009-01) Contents Intellectual Property Rights................................................................................................................................2 Foreword.............................................................................................................................................................2 Foreword.............................................................................................................................................................5 1 Scope........................................................................................................................................................6 2 References................................................................................................................................................6 3 Definitions and abbreviations...................................................................................................................7 3.1 Definitions..........................................................................................................................................................7 3.2 Abbreviations.....................................................................................................................................................7 4 General principles....................................................................................................................................8 5 General architecture.................................................................................................................................8 5.1 General...............................................................................................................................................................8 5.2 User plane...........................................................................................................................................................8 5.3 Control plane......................................................................................................................................................9 6 E-UTRAN architecture...........................................................................................................................10 6.1 Overview..........................................................................................................................................................10 6.2 E-UTRAN Identifiers.......................................................................................................................................10 6.2.1 The principle of handling of Application Protocol Identities.....................................................................10 6.2.2 PLMN Identity............................................................................................................................................11 6.2.3 Globally Unique MME Identifier (GUMMEI)...........................................................................................11 6.2.4 Global eNB ID............................................................................................................................................11 6.2.5 E-UTRAN Cell Global Identifier (ECGI)...................................................................................................11 6.2.6 Tracking Area Identity................................................................................................................................11 6.2.7 E-RAB ID...................................................................................................................................................11 6.2.8 UE Identifiers..............................................................................................................................................12 6.2.8.1 RNTI.....................................................................................................................................................12 6.2.8.2 S-Temporary Mobile Subscriber Identity (S-TMSI).............................................................................12 6.3 Transport Addresses.........................................................................................................................................12 6.4 UE associations in eNB....................................................................................................................................12 7 E-UTRAN functions description............................................................................................................13 7.1 List of functions...............................................................................................................................................13 7.2 Functions description.......................................................................................................................................13 7.2.1 Transfer of user data...................................................................................................................................13 7.2.2 Radio channel ciphering and deciphering...................................................................................................13 7.2.3 Integrity protection.....................................................................................................................................13 7.2.4 Header compression....................................................................................................................................14 7.2.5 Mobility control functions..........................................................................................................................14 7.2.5.1 Handover...............................................................................................................................................14 7.2.5.2 Paging...................................................................................................................................................14 7.2.5.3 Positioning............................................................................................................................................14 7.2.6 Inter-cell interference coordination.............................................................................................................14 7.2.7 Connection setup and release......................................................................................................................14 7.2.8 Load balancing............................................................................................................................................14 7.2.9 Distribution function for NAS messages....................................................................................................14 7.2.10 NAS node selection function......................................................................................................................15 7.2.11 Synchronization..........................................................................................................................................15 7.2.12 Radio access network sharing.....................................................................................................................15 7.2.13 MBMS function..........................................................................................................................................15 7.2.14 Subscriber and equipment trace..................................................................................................................15 7.2.15 RAN Information Management..................................................................................................................15 8 Mobility management.............................................................................................................................15 8.1 Signalling connection.......................................................................................................................................15 ETSI 3GPP TS 36.401 version 8.4.0 Release 8 4 ETSI TS 136 401 V8.4.0 (2009-01) 8.2 Consequences for mobility handling................................................................................................................16 9 Synchronization......................................................................................................................................16 9.1 eNB Synchronisation........................................................................................................................................16 10 E-UTRAN O&M requirements..............................................................................................................17 11 E-UTRAN interfaces..............................................................................................................................17 11.1 General protocol model for E-UTRAN interfaces............................................................................................17 11.1.1 Radio Network Layer and Transport Network Layer.................................................................................17 11.1.2 Control plane..............................................................................................................................................17 11.1.3 User plane...................................................................................................................................................18 11.2 Iuant Interface - general principles...................................................................................................................18 Annex A (informative): Change history...............................................................................................19 History..............................................................................................................................................................20 ETSI 3GPP TS 36.401 version 8.4.0 Release 8 5 ETSI TS 136 401 V8.4.0 (2009-01) Foreword This Technical Specification has been produced by the 3rd Generation Partnership Project (3GPP). The contents of the present document are subject to continuing work within the TSG and may change following formal TSG approval. Should the TSG modify the contents of the present document, it will be re-released by the TSG with an identifying change of release date and an increase in version number as follows: Version x.y.z where: x the first digit: 1 presented to TSG for information; 2 presented to TSG for approval; 3 or greater indicates TSG approved document under change control. y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections, updates, etc. z the third digit is incremented when editorial only changes have been incorporated in the document. ETSI 3GPP TS 36.401 version 8.4.0 Release 8 6 ETSI TS 136 401 V8.4.0 (2009-01) 1 Scope The present document describes the overall architecture of the E-UTRAN, including internal interfaces and assumptions on the radio, S1 and X2 interfaces. 2 References The following documents contain provisions which, through reference in this text, constitute provisions of the present document. • References are either specific (identified by date of publication, edition number, version number, etc.) or non-specific. • For a specific reference, subsequent revisions do not apply. • For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document (including a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same Release as the present document. [1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications". [2] 3GPP TS 36.300: " Evolved Universal Terrestrial Radio Access (E-UTRA) and Evolved Universal Terrestrial Radio Access Network (E-UTRAN) Overall description Stage 2". [3] 3GPP TS 23.401: " GPRS enhancements for E-UTRAN access". [4] 3GPP TS 36.414: " Evolved Universal Terrestrial Access Network (E-UTRAN); S1 data transport". [5] 3GPP TS 36.424: " Evolved Universal Terrestrial Access Network (E-UTRAN); X2 data transport". [6] 3GPP TS 36.440: "Evolved Universal Terrestrial Radio Access Network (E-UTRAN); General aspects and principles for interfaces supporting Multimedia Broadcast Multicast Service (MBMS) within E-UTRAN". [7] ITU-T Recommendation G.823 (3/00): "The control of jitter and wander within digital networks which are based on the 2048 kbit/s hierarchy". [8] ITU-T Recommendation G.824 (3/00): "The control of jitter and wander within digital networks which are based on the 1544 kbit/s hierarchy". [9] ITU-T Recommendation G.825 (8/01): "The control of jitter and wander within digital networks which are based on the synchronous digital hierarchy (SDH)". [10] ITU-T Recommendation G.8261/Y.1361 (2/08): "Timing and Synchronization aspects in Packet networks". [11] 3GPP TS 23.003: "Numbering, addressing and identification". [12] 3GPP TR 44.901: "External Network Assisted Cell Change". [13] 3GPP TS 48.018: "General Packet Radio Service (GPRS); BSS GPRS Protocol (BSSGP)". ETSI 3GPP TS 36.401 version 8.4.0 Release 8 7 ETSI TS 136 401 V8.4.0 (2009-01) 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the following terms and definitions apply: E-RAB: An E-RAB uniquely identifies the concatenation of an S1 Bearer and the corresponding Data Radio Bearer. When an E-RAB exists, there is a one-to-one mapping between this E-RAB and an EPS bearer of the Non Access Stratum as defined in [3]. S1: interface between an eNB and an EPC, providing an interconnection point between the E-UTRAN and the EPC. It is also considered as a reference point. X2: logical interface between two eNBs. Whilst logically representing a point to point link between eNBs, the physical realization need not be a point to point link. 3.2 Abbreviations For the purposes of the present document, the terms and definitions given in TR 21.905 [1] and the following apply. A term defined in the present document takes precedence over the definition of the same term, if any, in TR 21.905 [1]. AP Application Protocol C-RNTI Cell RNTI ECGI E-UTRAN Cell Global Identifier EEC Ethernet Equipment Clock eNB E-UTRAN Node B E-RAB E-UTRAN Radio Access Bearer EPC Evolved Packet Core EPS Evolved Packet System E-UTRA Evolved UTRA E-UTRAN Evolved UTRAN FDD Frequency Division Duplex GUMMEI Globally Unique MME Identifier ID Identity IP Internet Protocol LTE Long Term Evolution MBMS Multimedia Broadcast Multicast Service MBSFN Multimedia Broadcast multicast service Single Frequency Network NDS Network Domain Security MME Mobility Management Entity NAS Non Access Stratum PLMN Public Land Mobile Network RA-RNTI Random Access RNTI RET Remote Electrical Tilting RIM RAN Information Management RNL Radio Network Layer RNTI Radio Network Temporary Identifier RRC Radio Resource Control RTP Real-time Transport Protocol QoS Quality of Service SFN System Frame Number S-GW Serving Gateway S-TMSI S-Temporary Mobile Subscriber Identity TCP Transmission Control Protocol TDD Time Division Duplex TDM Time Division Multiplexing TMA Tower Mounted Amplifier TNL Transport Network Layer UDP User Datagram Protocol ETSI 3GPP TS 36.401 version 8.4.0 Release 8 8 ETSI TS 136 401 V8.4.0 (2009-01) UE User Equipment UMTS Universal Mobile Telecommunication System 4 General principles The general principles guiding the definition of E-UTRAN Architecture as well as the E-UTRAN interfaces are the following: - Logical separation of signalling and data transport networks. - E-UTRAN and EPC functions are fully separated from transport functions. Addressing scheme used in E- UTRAN and EPC shall not be tied to the addressing schemes of transport functions. The fact that some E- UTRAN or EPC functions reside in the same equipment as some transport functions does not make the transport functions part of the E-UTRAN or the EPC. - Mobility for RRC connection is fully controlled by the E-UTRAN. - When defining the E-UTRAN interfaces the following principles were followed: the functional division across the interfaces shall have as few options as possible. - Interfaces should be based on a logical model of the entity controlled through this interface. - One physical network element can implement multiple logical nodes. 5 General architecture 5.1 General The protocols over Uu and S1 interfaces are divided into two structures: - User plane protocols These are the protocols implementing the actual E-RAB service, i.e. carrying user data through the access stratum. - Control plane protocols These are the protocols for controlling the E-RABs and the connection between the UE and the network from different aspects (including requesting the service, controlling different transmission resources, handover etc.). Also a mechanism for transparent transfer of NAS messages is included. 5.2 User plane The E-RAB service is offered from SAP to SAP by the Access Stratum. Figure 5.2-1 shows the protocols on the Uu and S1 interfaces that linked together provide this E-RAB service. ETSI 3GPP TS 36.401 version 8.4.0 Release 8 9 ETSI TS 136 401 V8.4.0 (2009-01) Non-Access Stratum Radio Radio S1 S1 proto- proto- proto proto cols cols cols cols (1) (1) (2) (2) Access Stratum UE EPC Radio EUTRAN S1 (Uu) (1) The radio interface protocols are defined in documents TS 36.2xx and TS 36.3xx. (2) The S1 interface protocols are defined in documents TS 36.41x. Figure 5.2-1: S1 and Uu user plane 5.3 Control plane Figure 5.3-1 shows the control plane (signalling) protocol stacks on S1 and Uu interfaces. EMM,ESM (3) Non-Access Stratum EMM,ESM(3) Radio Radio S1 S1 proto- proto- proto proto cols cols cols cols (1) (1) (2) (2) Access Stratum UE Radio EUTRAN S1 EPC (Uu) (1) The radio interface protocols are defined in documents TS 36.2xx and TS 36.3xx. (2) The protocol is defined in documents TS 36.41x. (Description of S1 interface). (3) EMM, ESM: This exemplifies a set of NAS control protocols between UE and EPC. The evolution of the protocol architecture for these protocols is outside the scope of the present document. Figure 5.3-1: S1 and Uu control plane NOTE: Both the Radio protocols and the S1 protocols contain a mechanism to transparently transfer NAS messages. ETSI