1、 ETSI TS 1EvolvedRadio AccS1 Appli3GPP TS 36.4TECHNICAL SPECIFICATION136 413 V13.1.0 (2016LTE; ed Universal Terrestrial ccess Network (E-UTRAN); plication Protocol (S1AP) .413 version 13.1.0 Release 1316-01) 13 ETSI ETSI TS 136 413 V13.1.0 (2016-01)13GPP TS 36.413 version 13.1.0 Release 13 Reference
2、 RTS/TSGR-0336413vd10 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 but non lucratif enregistre la Sous-Prfecture de Grasse (06) N 7803/88 Important notice The present
3、document can be downloaded from: http:/www.etsi.org/standards-search The present document may be made available in electronic versions and/or in print. The content of any electronic and/or print versions of the present document shall not be modified without the prior written authorization of ETSI. I
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7、ithout the written authorization of ETSI. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2016. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTMand the ETSI logo are Trade Marks of ETSI registered for the benefit of its
8、 Members. 3GPPTM and LTE are Trade Marks of ETSI 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 ETSI TS 136 413 V13.1.0 (2016-01)23GPP TS 36.413 version 13.1.0 Release 13 Intell
9、ectual 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 Right
10、s (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 (https:/ipr.etsi.org/). Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has
11、 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 ETS
12、I 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,
13、UMTS, 3GPP and ETSI identities can be found under http:/webapp.etsi.org/key/queryform.asp. Modal verbs terminology In the present document “shall“, “shall not“, “should“, “should not“, “may“, “need not“, “will“, “will not“, “can“ and “cannot“ are to be interpreted as described in clause 3.2 of the E
14、TSI Drafting Rules (Verbal forms for the expression of provisions). “must“ and “must not“ are NOT allowed in ETSI deliverables except when used in direct citation. ETSI ETSI TS 136 413 V13.1.0 (2016-01)33GPP TS 36.413 version 13.1.0 Release 13 Contents Intellectual Property Rights 2g3Foreword . 2g3M
15、odal verbs terminology 2g3Foreword . 13g31 Scope 14g32 References 14g33 Definitions and abbreviations . 16g33.1 Definitions 16g33.2 Abbreviations . 17g34 General . 18g34.1 Procedure Specification Principles . 18g34.2 Forwards and Backwards Compatibility 18g34.3 Specification Notations 19g35 S1AP Ser
16、vices 20g36 Services Expected from Signalling Transport 21g37 Functions of S1AP . 22g38 S1AP Procedures 24g38.1 List of S1AP Elementary procedures . 24g38.2 E-RAB Management procedures 26g38.2.1 E-RAB Setup 26g38.2.1.1 General 26g38.2.1.2 Successful Operation . 26g38.2.1.3 Unsuccessful Operation 27g
17、38.2.1.4 Abnormal Conditions 28g38.2.2 E-RAB Modify . 28g38.2.2.1 General 28g38.2.2.2 Successful Operation . 28g38.2.2.3 Unsuccessful Operation 29g38.2.2.4 Abnormal Conditions 29g38.2.3 E-RAB Release . 30g38.2.3.1 General 30g38.2.3.2 Successful Operation . 30g38.2.3.2.1 E-RAB Release MME initiated 3
18、0g38.2.3.2.2 E-RAB Release Indication eNB initiated . 31g38.2.3.3 Abnormal Conditions 31g38.2.4 E-RAB Modification Indication . 31g38.2.4.1 General 31g38.2.4.2 Successful Operation . 32g38.2.4.3 Unsuccessful Operation 32g38.2.4.4 Abnormal Conditions 33g38.3 Context Management procedures . 33g38.3.1
19、Initial Context Setup . 33g38.3.1.1 General 33g38.3.1.2 Successful Operation . 33g38.3.1.3 Unsuccessful Operation 36g38.3.1.4 Abnormal Conditions 36g38.3.2 UE Context Release Request (eNB initiated) . 37g38.3.2.1 General 37g38.3.2.2 Successful Operation . 37g38.3.3 UE Context Release (MME initiated)
20、 . 38g3ETSI ETSI TS 136 413 V13.1.0 (2016-01)43GPP TS 36.413 version 13.1.0 Release 13 8.3.3.1 General 38g38.3.3.2 Successful Operation . 38g38.3.3.3 Abnormal Conditions 38g38.3.4 UE Context Modification 39g38.3.4.1 General 39g38.3.4.2 Successful Operation . 39g38.3.4.3 Unsuccessful Operation 40g38.
21、3.4.4 Abnormal Conditions 40g38.3.5 UE Radio Capability Match 41g38.3.5.1 General 41g38.3.5.2 Successful Operation . 41g38.3.5.3 Unsuccessful Operation 41g38.3.5.4 Abnormal Conditions 41g38.3.6 UE Context Modification Indication 41g38.3.6.1 General 41g38.3.6.2 Successful Operation . 42g38.3.6.3 Unsu
22、ccessful Operation 42g38.3.6.4 Abnormal Conditions 42g38.4 Handover Signalling . 42g38.4.1 Handover Preparation . 42g38.4.1.1 General 42g38.4.1.2 Successful Operation . 42g38.4.1.3 Unsuccessful Operation 46g38.4.1.4 Abnormal Conditions 46g38.4.2 Handover Resource Allocation . 46g38.4.2.1 General 46g
23、38.4.2.2 Successful Operation . 47g38.4.2.3 Unsuccessful Operation 49g38.4.2.4 Abnormal Conditions 50g38.4.3 Handover Notification 50g38.4.3.1 General 50g38.4.3.2 Successful Operation . 50g38.4.3.3 Abnormal Conditions 51g38.4.4 Path Switch Request . 51g38.4.4.1 General 51g38.4.4.2 Successful Operati
24、on . 51g38.4.4.3 Unsuccessful Operation 52g38.4.4.4 Abnormal Conditions 53g38.4.5 Handover Cancellation . 53g38.4.5.1 General 53g38.4.5.2 Successful Operation . 53g38.4.5.3 Unsuccessful Operation 53g38.4.5.4 Abnormal Conditions 53g38.4.6 eNB Status Transfer 54g38.4.6.1 General 54g38.4.6.2 Successful
25、 Operation . 54g38.4.6.3 Unsuccessful Operation 54g38.4.6.4 Abnormal Conditions 54g38.4.7 MME Status Transfer 54g38.4.7.1 General 54g38.4.7.2 Successful Operation . 55g38.4.7.3 Unsuccessful Operation 55g38.4.7.4 Abnormal Conditions 55g38.5 Paging . 55g38.5.1 General 55g38.5.2 Successful Operation 56
26、g38.5.3 Unsuccessful Operation 56g38.5.4 Abnormal Conditions 56g38.6 NAS transport . 56g38.6.1 General 56g38.6.2 Successful Operations . 57g38.6.2.1 Initial UE Message 57g3ETSI ETSI TS 136 413 V13.1.0 (2016-01)53GPP TS 36.413 version 13.1.0 Release 13 8.6.2.2 DOWNLINK NAS TRANSPORT 58g38.6.2.3 UPLIN
27、K NAS TRANSPORT . 59g38.6.2.4 NAS NON DELIVERY INDICATION 59g38.6.2.5 Reroute NAS Request . 60g38.6.3 Unsuccessful Operation 60g38.6.4 Abnormal Conditions 60g38.7 Management procedures . 60g38.7.1 Reset . 60g38.7.1.1 General 60g38.7.1.2 Successful Operation . 61g38.7.1.2.1 Reset Procedure Initiated
28、from the MME 61g38.7.1.2.2 Reset Procedure Initiated from the E-UTRAN 62g38.7.1.3 Abnormal Conditions 62g38.7.1.3.1 Abnormal Condition at the EPC 62g38.7.1.3.2 Abnormal Condition at the E-UTRAN 63g38.7.1.3.3 Crossing of Reset Messages 63g38.7.2 Error Indication . 63g38.7.2.1 General 63g38.7.2.2 Succ
29、essful Operation . 63g38.7.2.3 Abnormal Conditions 64g38.7.3 S1 Setup 64g38.7.3.1 General 64g38.7.3.2 Successful Operation . 64g38.7.3.3 Unsuccessful Operation 65g38.7.3.4 Abnormal Conditions 65g38.7.4 eNB Configuration Update . 65g38.7.4.1 General 65g38.7.4.2 Successful Operation . 65g38.7.4.3 Unsu
30、ccessful Operation 66g38.7.4.4 Abnormal Conditions 66g38.7.5 MME Configuration Update . 66g38.7.5.1 General 66g38.7.5.2 Successful Operation . 67g38.7.5.3 Unsuccessful Operation 67g38.7.5.4 Abnormal Conditions 67g38.7.6 Overload Start . 68g38.7.6.1 General 68g38.7.6.2 Successful Operation . 68g38.7.
31、6.3 Unsuccessful Operation 69g38.7.7 Overload Stop . 69g38.7.7.1 General 69g38.7.7.2 Successful Operation . 69g38.7.7.3 Unsuccessful Operation 69g38.8 S1 CDMA2000 Tunnelling Procedures 69g38.8.1 General 69g38.8.2 Successful Operations . 70g38.8.2.1 Downlink S1 CDMA2000 Tunnelling 70g38.8.2.2 Uplink
32、S1 CDMA2000 Tunnelling . 70g38.8.3 Unsuccessful Operation 71g38.8.4 Abnormal Conditions 71g38.9 UE Capability Info Indication 71g38.9.1 General 71g38.9.2 Successful Operation 71g38.10 Trace Procedures 72g38.10.1 Trace Start . 72g38.10.1.1 General 72g38.10.1.2 Successful Operation . 72g38.10.2 Trace
33、Failure Indication 73g38.10.2.1 General 73g38.10.2.2 Successful Operation . 73g38.10.3 Deactivate Trace . 73g38.10.3.1 General 73g3ETSI ETSI TS 136 413 V13.1.0 (2016-01)63GPP TS 36.413 version 13.1.0 Release 13 8.10.3.2 Successful Operation . 73g38.10.4 Cell Traffic Trace 74g38.10.4.1 General 74g38.
34、10.4.2 Successful Operation . 74g38.11 Location Reporting Procedures 74g38.11.1 Location Reporting Control 74g38.11.1.1 General 74g38.11.1.2 Successful Operation . 74g38.11.1.3 Abnormal Conditions 75g38.11.2 Location Report Failure Indication . 75g38.11.2.1 General 75g38.11.2.2 Successful Operation
35、. 75g38.11.3 Location Report 75g38.11.3.1 General 75g38.11.3.2 Successful Operation . 75g38.11.3.3 Abnormal Conditions 76g38.12 Warning Message Transmission Procedures 76g38.12.1 Write-Replace Warning 76g38.12.1.1 General 76g38.12.1.2 Successful Operation . 76g38.12.1.3 Abnormal Conditions 77g38.12.
36、2 Kill 77g38.12.2.1 General 77g38.12.2.2 Successful Operation . 77g38.12.3 PWS Restart Indication . 78g38.12.3.1 General 78g38.12.3.2 Successful Operation . 78g38.12.4 PWS Failure Indication . 79g38.12.4.1 General 79g38.12.4.2 Successful Operation . 79g38.13 eNB Direct Information Transfer . 79g38.1
37、3.1 General 79g38.13.2 Successful Operation 79g38.13.2.1 eNB Direct Information Transfer 79g38.13.3 Abnormal Conditions 80g38.14 MME Direct Information Transfer . 80g38.14.1 General 80g38.14.2 Successful Operation 80g38.14.2.1 MME Direct Information Transfer 80g38.14.3 Abnormal Conditions 80g38.15 e
38、NB Configuration Transfer . 80g38.15.1 General 80g38.15.2 Successful Operation 81g38.15.2.1 eNB Configuration Transfer 81g38.15.3 Abnormal Conditions 81g38.16 MME Configuration Transfer. 81g38.16.1 General 81g38.16.2 Successful Operation 81g38.16.2.1 MME Configuration Transfer . 81g38.16.3 Abnormal
39、Conditions 82g38.17 LPPa transport 82g38.17.1 General 82g38.17.2 Successful Operations . 83g38.17.2.1 DOWNLINK UE ASSOCIATED LPPA TRANSPORT 83g38.17.2.2 UPLINK UE ASSOCIATED LPPA TRANSPORT . 83g38.17.2.3 DOWNLINK NON UE ASSOCIATED LPPA TRANSPORT 83g38.17.2.4 UPLINK NON UE ASSOCIATED LPPA TRANSPORT 8
40、4g38.17.3 Unsuccessful Operation 84g38.17.4 Abnormal Conditions 84g39 Elements for S1AP Communication 85g39.1 Message Functional Definition and Content 85g3ETSI ETSI TS 136 413 V13.1.0 (2016-01)73GPP TS 36.413 version 13.1.0 Release 13 9.1.1 General 85g39.1.2 Message Contents . 85g39.1.2.1 Presence
41、85g39.1.2.2 Criticality 85g39.1.2.3 Range 85g39.1.2.4 Assigned Criticality . 85g39.1.3 E-RAB Management Messages 86g39.1.3.1 E-RAB SETUP REQUEST . 86g39.1.3.2 E-RAB SETUP RESPONSE . 87g39.1.3.3 E-RAB MODIFY REQUEST . 88g39.1.3.4 E-RAB MODIFY RESPONSE . 88g39.1.3.5 E-RAB RELEASE COMMAND 89g39.1.3.6 E
42、-RAB RELEASE RESPONSE . 89g39.1.3.7 E-RAB RELEASE INDICATION 90g39.1.3.8 E-RAB MODIFICATION INDICATION 91g39.1.3.9 E-RAB MODIFICATION CONFIRM . 92g39.1.4 Context Management Messages . 92g39.1.4.1 INITIAL CONTEXT SETUP REQUEST 92g39.1.4.2 Void. 93g39.1.4.3 INITIAL CONTEXT SETUP RESPONSE 93g39.1.4.4 I
43、NITIAL CONTEXT SETUP FAILURE 94g39.1.4.5 UE CONTEXT RELEASE REQUEST 94g39.1.4.6 UE CONTEXT RELEASE COMMAND . 95g39.1.4.7 UE CONTEXT RELEASE COMPLETE . 95g39.1.4.8 UE CONTEXT MODIFICATION REQUEST . 95g39.1.4.9 UE CONTEXT MODIFICATION RESPONSE . 96g39.1.4.10 UE CONTEXT MODIFICATION FAILURE 96g39.1.4.1
44、1 UE RADIO CAPABILITY MATCH REQUEST . 96g39.1.4.12 UE RADIO CAPABILITY MATCH RESPONSE . 96g39.1.4.13 UE CONTEXT MODIFICATION INDICATION . 97g39.1.4.14 UE CONTEXT MODIFICATION CONFIRM 97g39.1.5 Handover Signalling Messages . 98g39.1.5.1 HANDOVER REQUIRED . 98g39.1.5.2 HANDOVER COMMAND 99g39.1.5.3 HAN
45、DOVER PREPARATION FAILURE 100g39.1.5.4 HANDOVER REQUEST . 101g39.1.5.5 HANDOVER REQUEST ACKNOWLEDGE 102g39.1.5.6 HANDOVER FAILURE 102g39.1.5.7 HANDOVER NOTIFY . 103g39.1.5.8 PATH SWITCH REQUEST . 104g39.1.5.9 PATH SWITCH REQUEST ACKNOWLEDGE . 105g39.1.5.10 PATH SWITCH REQUEST FAILURE . 105g39.1.5.11
46、 HANDOVER CANCEL . 105g39.1.5.12 HANDOVER CANCEL ACKNOWLEDGE . 106g39.1.5.13 eNB STATUS TRANSFER 106g39.1.5.14 MME STATUS TRANSFER 106g39.1.6 PAGING . 106g39.1.7 NAS Transport Messages . 108g39.1.7.1 INITIAL UE MESSAGE 108g39.1.7.2 DOWNLINK NAS TRANSPORT 109g39.1.7.3 UPLINK NAS TRANSPORT . 109g39.1.
47、7.4 NAS NON DELIVERY INDICATION 109g39.1.7.5 REROUTE NAS REQUEST 110g39.1.8 Management messages . 110g39.1.8.1 RESET 110g39.1.8.2 RESET ACKNOWLEDGE 110g39.1.8.3 ERROR INDICATION . 111g39.1.8.4 S1 SETUP REQUEST 111g39.1.8.5 S1 SETUP RESPONSE 112g39.1.8.6 S1 SETUP FAILURE . 112g39.1.8.7 ENB CONFIGURAT
48、ION UPDATE 112g39.1.8.8 ENB CONFIGURATION UPDATE ACKNOWLEDGE 113g3ETSI ETSI TS 136 413 V13.1.0 (2016-01)83GPP TS 36.413 version 13.1.0 Release 13 9.1.8.9 ENB CONFIGURATION UPDATE FAILURE. 113g39.1.8.10 MME CONFIGURATION UPDATE . 113g39.1.8.11 MME CONFIGURATION UPDATE ACKNOWLEDGE . 114g39.1.8.12 MME
49、CONFIGURATION UPDATE FAILURE . 114g39.1.8.13 OVERLOAD START . 114g39.1.8.14 OVERLOAD STOP 115g39.1.9 S1 CDMA2000 Tunnelling Messages 116g39.1.9.1 DOWNLINK S1 CDMA2000 TUNNELLING 116g39.1.9.2 UPLINK S1 CDMA2000 TUNNELLING 116g39.1.10 UE CAPABILITY INFO INDICATION 116g39.1.11 Trace Messages . 117g39.1.11.1 TRACE START 117g39.1.11.2 TRACE FAILURE INDICATION . 117g39.1.11.3 DEACTIVATE TRACE . 117g39.1.12 Location Reporting Messages . 118g39.1.12.1 LOCATION REPORTING CONTROL . 118g39.1.12.2 LOCATION REPORT FAILURE INDICATION 118g39.1.12.3 LOCATION REPORT 118g39.1.13 Warning Me
