ETSI TS 136 423 V11.3.0 (2013-01) Technical Specification LTE; Evolved Universal Terrestrial Radio Access Network (E-UTRAN); X2 Application Protocol (X2AP) (3GPP TS 36.423 version 11.3.0 Release 11) 3GPP TS 36.423 version 11.3.0 Release 11 1 ETSI TS 136 423 V11.3.0 (2013-01) Reference RTS/TSGR-0336423vb30 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). 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ETSI 3GPP TS 36.423 version 11.3.0 Release 11 3 ETSI TS 136 423 V11.3.0 (2013-01) Contents Intellectual Property Rights ................................................................................................................................ 2 Foreword ............................................................................................................................................................. 2 Foreword ............................................................................................................................................................. 7 1 Scope ........................................................................................................................................................ 8 2 References ................................................................................................................................................ 8 3 Definitions, symbols and abbreviations ................................................................................................... 9 3.1 Definitions .......................................................................................................................................................... 9 3.2 Symbols ............................................................................................................................................................ 10 3.3 Abbreviations ................................................................................................................................................... 10 4 General ................................................................................................................................................... 10 4.1 Procedure specification principles .................................................................................................................... 10 4.2 Forwards and backwards compatibility ............................................................................................................ 11 4.3 Specification notations ..................................................................................................................................... 11 5 X2AP services ........................................................................................................................................ 11 5.1 X2AP procedure modules ................................................................................................................................ 11 5.2 Parallel transactions .......................................................................................................................................... 11 6 Services expected from signalling transport ........................................................................................... 12 7 Functions of X2AP ................................................................................................................................. 12 8 X2AP procedures ................................................................................................................................... 13 8.1 Elementary procedures ..................................................................................................................................... 13 8.2 Basic mobility procedures ................................................................................................................................ 13 8.2.1 Handover Preparation ................................................................................................................................. 13 8.2.1.1 General .................................................................................................................................................. 13 8.2.1.2 Successful Operation ............................................................................................................................. 14 8.2.1.3 Unsuccessful Operation ........................................................................................................................ 16 8.2.1.4 Abnormal Conditions ............................................................................................................................ 16 8.2.2 SN Status Transfer ...................................................................................................................................... 17 8.2.2.1 General .................................................................................................................................................. 17 8.2.2.2 Successful Operation ............................................................................................................................. 17 8.2.2.3 Abnormal Conditions ............................................................................................................................ 17 8.2.3 UE Context Release .................................................................................................................................... 18 8.2.3.1 General .................................................................................................................................................. 18 8.2.3.2 Successful Operation ............................................................................................................................. 18 8.2.3.3 Unsuccessful Operation ........................................................................................................................ 18 8.2.3.4 Abnormal Conditions ............................................................................................................................ 18 8.2.4 Handover Cancel ........................................................................................................................................ 18 8.2.4.1 General .................................................................................................................................................. 18 8.2.4.2 Successful Operation ............................................................................................................................. 19 8.2.4.3 Unsuccessful Operation ........................................................................................................................ 19 8.2.4.4 Abnormal Conditions ............................................................................................................................ 19 8.3 Global Procedures ............................................................................................................................................ 19 8.3.1 Load Indication ........................................................................................................................................... 19 8.3.1.1 General .................................................................................................................................................. 19 8.3.1.2 Successful Operation ............................................................................................................................. 19 8.3.1.3 Unsuccessful Operation ........................................................................................................................ 20 8.3.1.4 Abnormal Conditions ............................................................................................................................ 20 8.3.2 Error Indication ........................................................................................................................................... 20 8.3.2.1 General .................................................................................................................................................. 20 8.3.2.2 Successful Operation ............................................................................................................................. 21 8.3.2.3 Unsuccessful Operation ........................................................................................................................ 21 8.3.2.4 Abnormal Conditions ............................................................................................................................ 21 ETSI 3GPP TS 36.423 version 11.3.0 Release 11 4 ETSI TS 136 423 V11.3.0 (2013-01) 8.3.3 X2 Setup ..................................................................................................................................................... 21 8.3.3.1 General .................................................................................................................................................. 21 8.3.3.2 Successful Operation ............................................................................................................................. 21 8.3.3.3 Unsuccessful Operation ........................................................................................................................ 22 8.3.3.4 Abnormal Conditions ............................................................................................................................ 23 8.3.4 Reset ........................................................................................................................................................... 23 8.3.4.1 General .................................................................................................................................................. 23 8.3.4.2 Successful Operation ............................................................................................................................. 23 8.3.4.3 Unsuccessful Operation ........................................................................................................................ 23 8.3.4.4 Abnormal Conditions ............................................................................................................................ 23 8.3.5 eNB Configuration Update ......................................................................................................................... 24 8.3.5.1 General .................................................................................................................................................. 24 8.3.5.2 Successful Operation ............................................................................................................................. 24 8.3.5.3 Unsuccessful Operation ........................................................................................................................ 25 8.3.5.4 Abnormal Conditions ............................................................................................................................ 25 8.3.6 Resource Status Reporting Initiation .......................................................................................................... 26 8.3.6.1 General ........................................................................................................................................................ 26 8.3.6.2 Successful Operation .................................................................................................................................. 26 8.3.6.3 Unsuccessful Operation ........................................................................................................................ 27 8.3.6.4 Abnormal Conditions .................................................................................................................................. 27 8.3.7 Resource Status Reporting .......................................................................................................................... 28 8.3.7.1 General .................................................................................................................................................. 28 8.3.7.2 Successful Operation ............................................................................................................................. 28 8.3.7.3 Unsuccessful Operation ........................................................................................................................ 28 8.3.7.4 Abnormal Conditions ............................................................................................................................ 28 8.3.8 Mobility Settings Change ........................................................................................................................... 28 8.3.8.1 General .................................................................................................................................................. 28 8.3.8.2 Successful Operation ............................................................................................................................. 28 8.3.8.3 Unsuccessful Operation ........................................................................................................................ 29 8.3.8.4 Abnormal Conditions ............................................................................................................................ 29 8.3.9 Radio Link Failure Indication ..................................................................................................................... 29 8.3.9.1 General .................................................................................................................................................. 29 8.3.9.2 Successful Operation ............................................................................................................................. 29 8.3.9.3 Unsuccessful Operation ........................................................................................................................ 30 8.3.9.4 Abnormal Conditions ............................................................................................................................ 30 8.3.10 Handover Report ......................................................................................................................................... 30 8.3.10.1 General .................................................................................................................................................. 30 8.3.10.2 Successful Operation ............................................................................................................................. 30 8.3.10.3 Unsuccessful Operation ........................................................................................................................ 31 8.3.10.4 Abnormal Conditions ............................................................................................................................ 31 8.3.11 Cell Activation ............................................................................................................................................ 31 8.3.11.1 General .................................................................................................................................................. 31 8.3.11.2 Successful Operation ............................................................................................................................. 31 8.3.11.3 Unsuccessful Operation ........................................................................................................................ 32 8.3.11.4 Abnormal Conditions ............................................................................................................................ 32 9 Elements for X2AP Communication ...................................................................................................... 32 9.0 General ............................................................................................................................................................. 32 9.1 Message Functional Definition and Content .................................................................................................... 32 9.1.1 Messages for Basic Mobility Procedures .................................................................................................... 32 9.1.1.1 HANDOVER REQUEST ..................................................................................................................... 32 9.1.1.2 HANDOVER REQUEST ACKNOWLEDGE...................................................................................... 34 9.1.1.3 HANDOVER PREPARATION FAILURE .......................................................................................... 35 9.1.1.4 SN STATUS TRANSFER .................................................................................................................... 35 9.1.1.5 UE CONTEXT RELEASE ................................................................................................................... 36 9.1.1.6 HANDOVER CANCEL ....................................................................................................................... 37 9.1.2 Messages for global procedures .................................................................................................................. 37 9.1.2.1 LOAD INFORMATION ....................................................................................................................... 37 9.1.2.2 ERROR INDICATION ......................................................................................................................... 38 9.1.2.3 X2 SETUP REQUEST .......................................................................................................................... 38 9.1.2.4 X2 SETUP RESPONSE ........................................................................................................................ 38 9.1.2.5 X2 SETUP FAILURE ........................................................................................................................... 39 ETSI 3GPP TS 36.423 version 11.3.0 Release 11 5 ETSI TS 136 423 V11.3.0 (2013-01) 9.1.2.6 RESET REQUEST ............................................................................................................................... 39 9.1.2.7 RESET RESPONSE.............................................................................................................................. 40 9.1.2.8 ENB CONFIGURATION UPDATE .................................................................................................... 40 9.1.2.9 ENB CONFIGURATION UPDATE ACKNOWLEDGE .................................................................... 42 9.1.2.10 ENB CONFIGURATION UPDATE FAILURE................................................................................... 42 9.1.2.11 RESOURCE STATUS REQUEST ....................................................................................................... 42 9.1.2.12 RESOURCE STATUS RESPONSE ..................................................................................................... 43 9.1.2.13 RESOURCE STATUS FAILURE ........................................................................................................ 44 9.1.2.14 RESOURCE STATUS UPDATE ......................................................................................................... 45 9.1.2.15 MOBILITY CHANGE REQUEST ....................................................................................................... 46 9.1.2.16 MOBILITY CHANGE ACKNOWLEDGE .......................................................................................... 46 9.1.2.17 MOBILITY CHANGE FAILURE ........................................................................................................ 47 9.1.2.18 RLF INDICATION ............................................................................................................................... 47 9.1.2.19 HANDOVER REPORT ........................................................................................................................ 48 9.1.2.20 CELL ACTIVATION REQUEST ........................................................................................................ 49 9.1.2.21 CELL ACTIVATION RESPONSE ...................................................................................................... 50 9.1.2.22 CELL ACTIVATION FAILURE ......................................................................................................... 50 9.2 Information Element definitions ....................................................................................................................... 50 9.2.0 General ........................................................................................................................................................ 50 9.2.1 GTP Tunnel Endpoint ................................................................................................................................. 51 9.2.2 Trace Activation ......................................................................................................................................... 51 9.2.3 Handover Restriction List ........................................................................................................................... 52 9.2.4 PLMN Identity ............................................................................................................................................ 52 9.2.5 DL Forwarding ........................................................................................................................................... 53 9.2.6 Cause .......................................................................................................................................................... 53 9.2.7 Criticality Diagnostics ................................................................................................................................ 56 9.2.8 Served Cell Information .............................................................................................................................. 57 9.2.9 E-RAB Level QoS Parameters.................................................................................................................... 59 9.2.10 GBR QoS Information ................................................................................................................................ 59 9.2.11 Bit Rate ....................................................................................................................................................... 60 9.2.12 UE Aggregate Maximum Bit Rate .............................................................................................................. 60 9.2.13 Message Type ............................................................................................................................................. 60 9.2.14 ECGI ........................................................................................................................................................... 61 9.2.15 COUNT Value ............................................................................................................................................ 61 9.2.16 GUMMEI .................................................................................................................................................... 61 9.2.17 UL Interference Overload Indication .......................................................................................................... 62 9.2.18 UL High Interference Indication ................................................................................................................. 62 9.2.19 Relative Narrowband Tx Power (RNTP) .................................................................................................... 62 9.2.20 GU Group Id ............................................................................................................................................... 63 9.2.21 Location Reporting Information ................................................................................................................. 63 9.2.22 Global eNB ID ............................................................................................................................................ 64 9.2.23 E-RAB ID ................................................................................................................................................... 64 9.2.24 eNB UE X2AP ID ...................................................................................................................................... 64 9.2.25 Subscriber Profile ID for RAT/Frequency priority ..................................................................................... 64 9.2.26 EARFCN .................................................................................................................................................... 64 9.2.27 Transmission Bandwidth ............................................................................................................................ 65 9.2.28 E-RAB List ................................................................................................................................................. 65 9.2.29 UE Security Capabilities ............................................................................................................................. 65 9.2.30 AS Security Information ............................................................................................................................. 66 9.2.31 Allocation and Retention Priority ............................................................................................................... 66 9.2.32 Time To Wait .............................................................................................................................................. 67 9.2.33 SRVCC Operation Possible ........................................................................................................................ 67 9.2.34 Hardware Load Indicator ............................................................................................................................ 67 9.2.35 S1 TNL Load Indicator ............................................................................................................................... 68 9.2.36 Load Indicator ............................................................................................................................................. 68 9.2.37 Radio Resource Status ................................................................................................................................ 68 9.2.38 UE History Information .............................................................................................................................. 68 9.2.39 Last Visited Cell Information ..................................................................................................................... 69 9.2.40 Last Visited E-UTRAN Cell Information ................................................................................................... 69 9.2.41 Last Visited GERAN Cell Information ....................................................................................................... 69 9.2.42 Cell Type .................................................................................................................................................... 69 9.2.43 Number of Antenna Ports ........................................................................................................................... 70 ETSI 3GPP TS 36.423 version 11.3.0 Release 11 6 ETSI TS 136 423 V11.3.0 (2013-01) 9.2.44 Composite Available Capacity Group ........................................................................................................ 70 9.2.45 Composite Available Capacity ................................................................................................................... 70 9.2.46 Cell Capacity Class Value .......................................................................................................................... 70 9.2.47 Capacity Value ............................................................................................................................................ 71 9.2.48 Mobility Parameters Information ................................................................................................................ 71 9.2.49 Mobility Parameters Modification Range ................................................................................................... 71 9.2.50 PRACH Configuration ................................................................................................................................ 71 9.2.51 Subframe Allocation ................................................................................................................................... 72 9.2.52 CSG Membership Status ............................................................................................................................. 72 9.2.53 CSG ID ....................................................................................................................................................... 72 9.2.54 ABS Information ........................................................................................................................................ 72 9.2.55 Invoke Indication ........................................................................................................................................ 74 9.2.56 MDT Configuration .................................................................................................................................... 74 9.2.57 Void ............................................................................................................................................................ 76 9.2.58 ABS Status .................................................................................................................................................. 76 9.2.59 Management Based MDT Allowed ............................................................................................................ 77 9.2.60 MultibandInfoList ....................................................................................................................................... 78 9.2.61 M3 Configuration ....................................................................................................................................... 78 9.2.62 M4 Configuration ....................................................................................................................................... 78 9.2.63 M5 Configuration ....................................................................................................................................... 78 9.2.64 MDT PLMN List .................................................................................................................................. 79 9.3 Message and Information Element Abstract Syntax (with ASN.1) .................................................................. 80 9.3.1 General ........................................................................................................................................................ 80 9.3.2 Usage of Private Message Mechanism for Non-standard Use .................................................................... 80 9.3.3 Elementary Procedure Definitions .............................................................................................................. 80 9.3.4 PDU Definitions ......................................................................................................................................... 86 9.3.5 Information Element definitions ............................................................................................................... 105 9.3.6 Common definitions ................................................................................................................................. 129 9.3.7 Constant definitions .................................................................................................................................. 130 9.3.8 Container definitions................................................................................................................................. 133 9.4 Message transfer syntax ................................................................................................................................. 138 9.5 Timers ............................................................................................................................................................ 138 10 Handling of unknown, unforeseen and erroneous protocol data .......................................................... 138 Annex A (informative): Change History ............................................................................................ 139 History ............................................................................................................................................................ 142 ETSI 3GPP TS 36.423 version 11.3.0 Release 11 7 ETSI TS 136 423 V11.3.0 (2013-01) 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 36.423 version 11.3.0 Release 11 8 ETSI TS 136 423 V11.3.0 (2013-01) 1 Scope The present document specifies the radio network layer signalling procedures of the control plane between eNBs in E- UTRAN. X2AP supports the functions of X2 interface by signalling procedures defined in this document. X2AP is developed in accordance to the general principles stated in TS 36.401 [2] and TS 36.420 [3]. 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 36.401: "Evolved Universal Terrestrial Radio Access Network (E-UTRAN); Architecture Description". [3] 3GPP TS 36.420: "Evolved Universal Terrestrial Radio Access Network (E-UTRAN); X2 General Aspects and Principles". [4] 3GPP TS 36.413: " Evolved Universal Terrestrial Radio Access Network (E-UTRAN); S1 Application Protocol (S1AP)". [5] ITU-T Recommendation X.691 (2002-07): "Information technology - ASN.1 encoding rules - Specification of Packed Encoding Rules (PER) ". [6] 3GPP TS 32.422: "Telecommunication Management; Subscriber and Equipment Trace; Trace Control and Configuration Management". [7] 3GPP TS 32.421: "Telecommunication Management; Subscriber and Equipment Trace; Trace concepts and requirements". [8] 3GPP TS 36.424: "Evolved Universal Terrestrial Radio Access Network (E-UTRAN); X2 data transport". [9] 3GPP TS 36.331: "Evolved Universal Terrestrial Radio Access (E-UTRAN); Radio Resource Control (RRC) Protocol Specification". [10] 3GPP TS 36.211: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical Channels and Modulation". [11] 3GPP TS 36.213: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer procedures ". [12] 3GPP TS 23.401: "General Packet Radio Service (GPRS) enhancements for Evolved Universal Terrestrial Radio Access Network (E-UTRAN) access". [13] 3GPP TS 23.203: "Policy and charging control architecture". [14] 3GPP TS 24.301: "Non-Access-Stratum (NAS) protocol for Evolved Packet System; Stage 3". ETSI 3GPP TS 36.423 version 11.3.0 Release 11 9 ETSI TS 136 423 V11.3.0 (2013-01) [15] 3GPP TS 36.300: "Evolved Universal Terrestrial Radio Access (E-UTRA), Evolved Universal Terrestrial Radio Access Network (E-UTRAN); Overall description; stage 2". [16] 3GPP TS 36.104: "Base Station (BS) radio transmission and reception ". [17] Void. [18] 3GPP TS 33.401: "Security architecture". [19] 3GPP TS 36.414: "Evolved Universal Terrestrial Radio Access Network (E-UTRAN); S1 data transport". [20] 3GPP TS 23.216: "Single Radio Voice Call Continuity (SRVCC)". [21] 3GPP TS 36.422: "Evolved Universal Terrestrial Radio Access Network (E-UTRAN); X2 signaling transport". [22] 3GPP TS 36.314: "Evolved Universal Terrestrial Radio Access Network (E-UTRAN); Layer 2 - Measurements". [23] Void. [24] 3GPP TS 25.413: "UTRAN Iu interface RANAP signalling" [25] 3GPP TS 37.320: "Universal Terrestrial Radio Access (UTRA) and Evolved Universal Terrestrial Radio Access (E-UTRA); Radio measurement collection for Minimization of Drive Tests (MDT);Overall description; Stage 2". [26] 3GPP TS 29.281: "General Packet Radio Service (GPRS); Tunnelling Protocol User Plane (GTPv1-U)". [27] ITU-T Recommendation X.680 (2002-07): 'Information technology – Abstract Syntax Notation One (ASN.1): Specification of basic notation'. [28] ITU-T Recommendation X.681 (2002-07): 'Information technology – Abstract Syntax Notation One (ASN.1): Information object specification'. [29] 3GPP TS 23.003: "Technical Specification Group Core Network and Terminals; Numbering, addressing and identification". 3 Definitions, symbols and abbreviations 3.1 Definitions 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]. Elementary Procedure: X2AP protocol consists of Elementary Procedures (EPs). An X2AP Elementary Procedure is a unit of interaction between two eNBs. An EP consists of an initiating message and possibly a response message. Two kinds of EPs are used: - Class 1: Elementary Procedures with response (success or failure), - Class 2: Elementary Procedures without response. E-RAB: Defined in TS 36.401 [2]. CSG Cell: as defined in TS 36.300 [15]. Hybrid cell: as defined in TS 36.300 [15]. ETSI