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3GPP TS 38.423 V15.3.0 (2019-03)
Technical Specification
3
rd
Generation Partnership Project;
Technical Specification Group Radio Access Network;
NG-RAN;
Xn application protocol (XnAP)
(Release 15)
The present document has been developed within the 3
rd
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
3GPP
3GPP TS 38.423 V15.3.0 (2019-03)
2
Release 15
3GPP
Postal address
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
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.
© 2019, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TSDSI, 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 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
3GPP
3GPP TS 38.423 V15.3.0 (2019-03)
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Release 15
Contents
Foreword........................................................................................................................................................... 10
1 Scope.......................................................................................................................................................11
2 References...............................................................................................................................................11
3 Definitions, symbols and abbreviations..................................................................................................12
3.1 Definitions......................................................................................................................................................... 12
3.2 Abbreviations.....................................................................................................................................................13
4 General....................................................................................................................................................13
4.1 Procedure specification principles.....................................................................................................................13
4.2 Forwards and backwards compatibility............................................................................................................. 14
4.3 Specification notations.......................................................................................................................................14
5 XnAP services.........................................................................................................................................14
5.1 XnAP procedure modules..................................................................................................................................14
5.2 Parallel transactions........................................................................................................................................... 14
6 Services expected from signalling transport...........................................................................................14
7 Functions of XnAP................................................................................................................................. 15
8 XnAP procedures....................................................................................................................................15
8.1 Elementary procedures...................................................................................................................................... 15
8.2 Basic mobility procedures................................................................................................................................. 17
8.2.1 Handover Preparation.................................................................................................................................. 17
8.2.1.1 General................................................................................................................................................... 17
8.2.1.2 Successful Operation..............................................................................................................................17
8.2.1.3 Unsuccessful Operation..........................................................................................................................19
8.2.1.4 Abnormal Conditions............................................................................................................................. 20
8.2.2 SN Status Transfer....................................................................................................................................... 20
8.2.2.1 General................................................................................................................................................... 20
8.2.2.2 Successful Operation..............................................................................................................................20
8.2.2.3 Unsuccessful Operation..........................................................................................................................21
8.2.2.4 Abnormal Conditions............................................................................................................................. 21
8.2.3 Handover Cancel..........................................................................................................................................21
8.2.3.1 General................................................................................................................................................... 21
8.2.3.2 Successful Operation..............................................................................................................................21
8.2.3.3 Unsuccessful Operation..........................................................................................................................21
8.2.3.4 Abnormal Conditions............................................................................................................................. 21
8.2.4 Retrieve UE Context.................................................................................................................................... 22
8.2.4.1 General................................................................................................................................................... 22
8.2.4.2 Successful Operation..............................................................................................................................22
8.2.4.3 Unsuccessful Operation..........................................................................................................................22
8.2.4.4 Abnormal Conditions............................................................................................................................. 23
8.2.5 RAN Paging................................................................................................................................................. 23
8.2.5.1 General................................................................................................................................................... 23
8.2.5.2 Successful operation...............................................................................................................................23
8.2.5.3 Unsuccessful Operation..........................................................................................................................23
8.2.5.4 Abnormal Condition...............................................................................................................................23
8.2.6 XN-U Address Indication............................................................................................................................ 23
8.2.6.1 General................................................................................................................................................... 23
8.2.6.2 Successful Operation..............................................................................................................................24
8.2.6.3 Unsuccessful Operation..........................................................................................................................24
8.2.6.4 Abnormal Conditions............................................................................................................................. 25
8.2.7 UE Context Release..................................................................................................................................... 25
8.2.7.1 General................................................................................................................................................... 25
8.2.7.2 Successful Operation..............................................................................................................................25
8.2.7.3 Unsuccessful Operation..........................................................................................................................26
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Release 15
8.2.7.4 Abnormal Conditions............................................................................................................................. 26
8.3 Procedures for Dual Connectivity..................................................................................................................... 27
8.3.1 S-NG-RAN node Addition Preparation....................................................................................................... 27
8.3.1.1 General................................................................................................................................................... 27
8.3.1.2 Successful Operation..............................................................................................................................27
8.3.1.3 Unsuccessful Operation..........................................................................................................................30
8.3.1.4 Abnormal Conditions............................................................................................................................. 30
8.3.2 S-NG-RAN node Reconfiguration Completion...........................................................................................31
8.3.2.1 General................................................................................................................................................... 31
8.3.2.2 Successful Operation..............................................................................................................................31
8.3.2.3 Abnormal Conditions............................................................................................................................. 31
8.3.3 M-NG-RAN node initiated S-NG-RAN node Modification Preparation.................................................... 31
8.3.3.1 General................................................................................................................................................... 31
8.3.3.2 Successful Operation..............................................................................................................................32
8.3.3.3 Unsuccessful Operation..........................................................................................................................36
8.3.3.4 Abnormal Conditions............................................................................................................................. 36
8.3.4 S-NG-RAN node initiated S-NG-RAN node Modification.........................................................................37
8.3.4.1 General................................................................................................................................................... 37
8.3.4.2 Successful Operation..............................................................................................................................37
8.3.4.3 Unsuccessful Operation..........................................................................................................................39
8.3.4.4 Abnormal Conditions............................................................................................................................. 39
8.3.5 S-NG-RAN node initiated S-NG-RAN node Change..................................................................................40
8.3.5.1 General................................................................................................................................................... 40
8.3.5.2 Successful Operation..............................................................................................................................40
8.3.5.3 Unsuccessful Operation..........................................................................................................................41
8.3.5.4 Abnormal Conditions............................................................................................................................. 41
8.3.6 M-NG-RAN node initiated S-NG-RAN node Release................................................................................ 41
8.3.6.1 General................................................................................................................................................... 41
8.3.6.2 Successful Operation..............................................................................................................................42
8.3.6.3 Unsuccessful Operation..........................................................................................................................42
8.3.6.4 Abnormal Conditions............................................................................................................................. 43
8.3.7 S-NG-RAN node initiated S-NG-RAN node Release................................................................................. 43
8.3.7.1 General................................................................................................................................................... 43
8.3.7.2 Successful Operation..............................................................................................................................43
8.3.7.3 Unsuccessful Operation..........................................................................................................................43
8.3.7.4 Abnormal Conditions............................................................................................................................. 44
8.3.8 S-NG-RAN node Counter Check.................................................................................................................44
8.3.8.1 General................................................................................................................................................... 44
8.3.8.2 Successful Operation..............................................................................................................................44
8.3.8.3 Unsuccessful Operation..........................................................................................................................44
8.3.8.4 Abnormal Conditions............................................................................................................................. 44
8.3.9 RRC Transfer............................................................................................................................................... 44
8.3.9.1 General................................................................................................................................................... 44
8.3.9.2 Successful Operation..............................................................................................................................45
8.3.9.3 Unsuccessful Operation..........................................................................................................................45
8.3.9.4 Abnormal Conditions............................................................................................................................. 45
8.3.10 Notification Control Indication....................................................................................................................45
8.3.10.1 General................................................................................................................................................... 45
8.3.10.2 Successful Operation – M-NG-RAN node initiated...............................................................................46
8.3.10.3 Successful Operation – S-NG-RAN node initiated................................................................................46
8.3.10.4 Abnormal Conditions............................................................................................................................. 46
8.3.11 Activity Notification.................................................................................................................................... 47
8.3.11.1 General................................................................................................................................................... 47
8.3.11.2 Successful Operation..............................................................................................................................47
8.3.11.3 Abnormal Conditions............................................................................................................................. 47
8.3.12 E-UTRA – NR Cell Resource Coordination................................................................................................47
8.3.12.1 General................................................................................................................................................... 47
8.3.12.2 Successful Operation..............................................................................................................................48
8.3.13 Secondary RAT Data Usage Report............................................................................................................ 48
8.3.13.1 General................................................................................................................................................... 48
8.3.13.2 Successful Operation..............................................................................................................................49
8.3.13.3 Unsuccessful Operation..........................................................................................................................49
3GPP
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Release 15
8.3.13.4 Abnormal Conditions............................................................................................................................. 49
8.4 Global procedures..............................................................................................................................................49
8.4.1 Xn Setup.......................................................................................................................................................49
8.4.1.1 General................................................................................................................................................... 49
8.4.1.2 Successful Operation..............................................................................................................................49
8.4.1.3 Unsuccessful Operation..........................................................................................................................50
8.4.1.4 Abnormal Conditions............................................................................................................................. 50
8.4.2 NG-RAN node Configuration Update......................................................................................................... 51
8.4.2.1 General................................................................................................................................................... 51
8.4.2.2 Successful Operation..............................................................................................................................51
8.4.2.3 Unsuccessful Operation..........................................................................................................................53
8.4.2.4 Abnormal Conditions............................................................................................................................. 53
8.4.3 Cell Activation............................................................................................................................................. 53
8.4.3.1 General................................................................................................................................................... 53
8.4.3.2 Successful Operation..............................................................................................................................53
8.4.3.3 Unsuccessful Operation..........................................................................................................................54
8.4.3.4 Abnormal Conditions............................................................................................................................. 54
8.4.4 Reset.............................................................................................................................................................54
8.4.4.1 General................................................................................................................................................... 54
8.4.4.2 Successful Operation..............................................................................................................................54
8.4.4.3 Unsuccessful Operation..........................................................................................................................55
8.4.4.4 Abnormal Conditions............................................................................................................................. 55
8.4.5 Error Indication............................................................................................................................................ 55
8.4.5.1 General................................................................................................................................................... 55
8.4.5.2 Successful Operation..............................................................................................................................56
8.4.5.3 Unsuccessful Operation..........................................................................................................................56
8.4.5.4 Abnormal Conditions............................................................................................................................. 56
8.4.6 Xn Removal................................................................................................................................................. 56
8.4.6.1 General................................................................................................................................................... 56
8.4.6.2 Successful Operation..............................................................................................................................56
8.4.6.3 Unsuccessful Operation..........................................................................................................................57
8.4.6.4 Abnormal Conditions............................................................................................................................. 57
9 Elements for XnAP Communication...................................................................................................... 57
9.0 General...............................................................................................................................................................57
9.1 Message Functional Definition and Content..................................................................................................... 57
9.1.1 Messages for Basic Mobility Procedures.....................................................................................................57
9.1.1.1 HANDOVER REQUEST...................................................................................................................... 57
9.1.1.2 HANDOVER REQUEST ACKNOWLEDGE...................................................................................... 59
9.1.1.3 HANDOVER PREPARATION FAILURE........................................................................................... 59
9.1.1.4 SN STATUS TRANSFER..................................................................................................................... 60
9.1.1.5 UE CONTEXT RELEASE.................................................................................................................... 60
9.1.1.6 HANDOVER CANCEL........................................................................................................................ 60
9.1.1.7 RAN PAGING....................................................................................................................................... 61
9.1.1.8 RETRIEVE UE CONTEXT REQUEST................................................................................................61
9.1.1.9 RETRIEVE UE CONTEXT RESPONSE..............................................................................................62
9.1.1.10 RETRIEVE UE CONTEXT FAILURE.................................................................................................63
9.1.1.11 XN-U ADDRESS INDICATION.......................................................................................................... 63
9.1.2 Messages for Dual Connectivity Procedures............................................................................................... 64
9.1.2.1 S-NODE ADDITION REQUEST..........................................................................................................64
9.1.2.2 S-NODE ADDITION REQUEST ACKNOWLEDGE..........................................................................66
9.1.2.3 S-NODE ADDITION REQUEST REJECT...........................................................................................68
9.1.2.4 S-NODE RECONFIGURATION COMPLETE.................................................................................... 68
9.1.2.5 S-NODE MODIFICATION REQUEST................................................................................................69
9.1.2.6 S-NODE MODIFICATION REQUEST ACKNOWLEDGE................................................................72
9.1.2.7 S-NODE MODIFICATION REQUEST REJECT.................................................................................74
9.1.2.8 S-NODE MODIFICATION REQUIRED..............................................................................................74
9.1.2.9 S-NODE MODIFICATION CONFIRM................................................................................................77
9.1.2.10 S-NODE MODIFICATION REFUSE................................................................................................... 79
9.1.2.11 S-NODE CHANGE REQUIRED.......................................................................................................... 79
9.1.2.12 S-NODE CHANGE CONFIRM............................................................................................................ 80
9.1.2.13 S-NODE CHANGE REFUSE................................................................................................................81
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