White Paper

Interoperable UE Handovers in LTE

By: V. Srinivasa Rao, Senior Architect & Rambabu Gajula, Lead Engineer

Overview CONTENTS
With the fast-changing mobile landscape and convergence in all aspects of Objectives of Handover Procedures pg. 2
telecommunications, “seamless handover” is important for any technology
Intra-LTE (Intra-MME/SGW) Handover
to succeed. Operators and consumers both benefit from seamless handover Using the X2 Interface pg. 2
in terms of cost effectiveness, enhanced features, location independence
and ease of use, not only within a Long Term Evolution (LTE) network but Intra-LTE (Intra-MME/SGW) Handover
also between networks including UMTS, GSM and CDMA. Using the S1 Interface pg. 4

Intra-LTE Handover (Intra-MME/SGW) pg. 4

In this paper we briefly touch upon the procedures executed by the user
equipment (UE) and the various network elements to provide the handover Inter-MME Handover Using the
services requested by the UE. We cover Intra-LTE and LTE to/from UMTS S1 Interface (Without Changing S-GW) pg. 5
handovers.
Inter-MME/SGW Handover Using
the S1 Interface pg. 6

Inter-RAT Handover: E-UTRAN to UTRAN

Iu Mode pg. 7

Inter-RAT Handover: UTRAN to E-UTRAN pg. 9

Conclusions pg. 11

References pg. 11
 Interoperable UE Handovers in LTE | Radisys White Paper 2

Objectives of In LTE there are three types of handovers:

Handover Procedures • Intra-LTE: Handover happens within the current

LTE nodes (intra-MME and Intra-SGW)
1. It is important that QoS is maintained, not
just before and after a handover, but during • Inter-LTE: Handover happens toward the other
the handover as well. LTE nodes (inter-MME and Inter-SGW)

2. Handover shall not drain the UE battery power. • Inter-RAT: Handover between different radio
technology networks, for example GSM/UMTS
3. Service continuity shall be maintained and UMTS
(i.e., minimal handover latency).
4. Seamless handoff to 3G / 2G / CDMA technology. We’ll look at Intra-LTE handovers with X2AP signaling
and S1AP signaling first, then Inter-RAT handovers
There are two ways a handoff can be decided: in LTE (i.e., handover between LTE and UMTS).
• Network Evaluated: the network makes the
handover decision Intra-LTE (Intra-MME/SGW)
• Mobile Evaluated: the UE makes the handoff decision Handover Using the X2
and informs the network about it. In this instance, Interface
the final decision will be made by the network based This procedure is used to handover a UE from a source
upon on the Radio Resource Management. eNodeB (S-eNB) to a target eNodeB (T-eNB) using
In 3G and LTE networks, a hybrid approach is used to the X2 interface when the Mobility Management Entity
decide on the handover. In this case, the UE will assist (MME) and Serving Gateway (SGW) are unchanged.
in the handoff decision by measuring the neighboring It is possible only if direct connectivity exists between
cells and reporting the measurements to the network, the source and target eNodeB’s with the X2 interface.
which in turn decides upon the handoff timing and the The X2 handover procedure is performed without
target cell/node. The parameters to measure and the Evolved Packet Core (EPC) involvement, i.e. preparation
thresholds for reporting are decided by the network. messages are directly exchanged between the S-eNB

Figure 1. Intra-LTE (Intra-MME/SGW) Handover Using the X2 Interface

 Interoperable UE Handovers in LTE | Radisys White Paper 3

and T-eNB. The release of the resources at the source 7. The S-eNB generates the RRC message to perform the
side during the handover completion phase is triggered handover, i.e, RRCCONNECTION RECONFIGURATION
by the T-eNB. The message flow is shown in Figure 1 message including the mobilityControlInformation.
followed by the description. The S-eNB performs the necessary integrity protection
1. A data call is established between the UE, S-eNB and ciphering of the message and sends it to the UE.
and the network elements. Data packets are 8. T
 he S-eNB sends the eNB STATUS TRANSFER
transferred to/from the UE to/from the network message to the T-eNB to convey the PDCP and
in both directions (DL as well as UL). HFN status of the E-RABs.
2. The network sends the MEASUREMENT CONTROL 9. T
 he S-eNB starts forwarding the downlink data
REQ message to the UE to set the parameters to packets to the T-eNB for all the data bearers
measure and set thresholds for those parameters. Its (which are being established in the T-eNB during
purpose is to instruct the UE to send a measurement the HANDOVER REQ message processing).
report to the network as soon as it detects the 10. In the meantime, the UE tries to access the T-eNB
thresholds. cell using the non-contention-based Random
3. The UE sends the MEASUREMENT REPORT to the Access Procedure. If it succeeds in accessing
S-eNB after it meets the measurement report criteria the target cell, it sends the RRC CONNECTION
communicated previously. The S-eNB makes the RECONFIGURATION COMPLETE to the T-eNB.
decision to hand off the UE to a T-eNB using the 11. T
 he T-eNB sends a PATH SWITCH REQUEST
handover algorithm; each network operator could message to the MME to inform it that the UE
have its own handover algorithm. has changed cells, including the TAI+ECGI of
4. The S-eNB issues the RESOURCE STATUS REQUEST the target. The MME determines that the SGW
message to determine the load on T-eNB (this is can continue to serve the UE.
optional). Based on the received RESOURCE STATUS 12. T
 he MME sends a MODIFY BEARER REQUEST
RESPONSE, the S-eNB can make the decision to (eNodeB address and TEIDs for downlink user
proceed further in continuing the handover procedure plane for the accepted EPS bearers) message
using the X2 interface. to the SGW. If the PDN GW requested the UE’s
5. The S-eNB issues a HANDOVER REQUEST message location info, the MME also includes the User
to the T-eNB passing necessary information to Location Information IE in this message.
prepare the handover at the target side (e.g., UE 13. The SGW sends the downlink packets to the target
Context which includes the Security Context and eNB using the newly received addresses and TEIDs
RB Context (including E-RAB to RB Mapping) and (path switched in the downlink data path to T-eNB)
the Target cell info). and the MODIFY BEARER RESPONSE to the MME.
6. The T-eNB checks for resource availability and, if 14. T
 he SGW sends one or more “end marker” packets
available, reserves the resources and sends back on the old path to the S-eNB and then can release
the HANDOVER REQUEST ACKNOWLEDGE message any user plane / TNL resources toward the S-eNB.
including a transparent container to be sent to the
UE as an RRC message to perform the handover. The 15. T
 he MME responds to the T-eNB with a PATH
container includes a new C-RNTI, T-eNB security SWITCH REQ ACK message to notify the completion
algorithm identifiers for the selected security of the handover.
algorithms, and may include a dedicated RACH 16. T
 he T-eNB now requests the S-eNB to release
preamble and possibly some other parameters the resources using the X2 UE CONTEXT RELEASE
(i.e., access parameters, SIBs, etc.). message. With this, the handover procedure is
complete.
 Interoperable UE Handovers in LTE | Radisys White Paper 4

Figure 2. Intra-LTE (Intra-MME/SGW) Handover Using the S1 Interface

Intra-LTE (Intra-MME/SGW) Intra-LTE Handover

Handover Using the (Intra-MME/SGW)
S1 Interface • As mentioned in the previous section, based on the
The S1-based handover procedure is used when MEASUREMENT REPORT from the UE, the S-eNB
the X2-based handover cannot be used—e.g., no decides to Handover the UE to another eNodeB
X2 connectivity to the target eNodeB; by an error (T-eNB). The handover procedure in this section is
indication from the T-eNB after an unsuccessful very similar to that in the previous section (Intra-
X2-based handover; or by dynamic information LTE Handover Using the X2 Interface), except the
learnt by the S-eNB using the STATUS TRANSFER involvement of the MME in relaying the handover
procedure. The S-eNB initiates the handover by signaling between the S-eNB and T-eNB.
sending a Handover required message over the • There are two differences here:
S1-MME reference point. The EPC does not change
the decisions taken by the S-eNB. ˸˸ No need for the PATH SWITCH Procedure between
the T-eNB and MME, as MME is aware of the
The availability of a direct forwarding path is Handover.
determined in the S-eNB (based on the X2 connectivity ˸˸ The SGW is involved in the DL data forwarding
with the T-eNB) and indicated to the source MME. if there is no direct forwarding path available
If a direct forwarding path is not available, indirect between the S-eNB and T-eNB.
forwarding will be used. The source MME uses the
indication from the S-eNB to determine whether to • Once the Handover is complete, the MME clears
apply indirect forwarding or not. The message flow the logical S1 connection with the S-eNB by
is depicted in Figure 2 followed by the description of initiating the UE CONTEXT RELEASE procedure.
the procedures.
 Interoperable UE Handovers in LTE | Radisys White Paper 5

Figure 3. Inter-MME Handover (Intra-SGW)

Inter-MME Handover 2. T
 he S-MME uses GTP signaling to communicate
the handover signaling to the T-MME and vice versa.
Using the S1 Interface The FORWARD RELOCATION procedure in GTP-C is
(Without Changing S-GW) being used here.
In an inter-MME handover, two MMEs are involved in 3. A
 fter receiving the S1 HANDOVER REQUIRED, the
the handover, the source MME (S-MME) and target S-MME detects that the target cell requested for
MME (T-MME). The S-MME controls the S-eNB and the handover belongs to another MME and initiates
T-MME controls the T-eNB; both MMEs are connected the GTP FORWARD RELOCATION REQ message
to the same SGW. This handover is triggered when the to the T-MME.
UE moves from one MME area to another MME area. 4. The T-MME creates the S1 logical connection toward
the T-eNB and sends the S1 HANDOVER REQ on it.
1. As mentioned in the previous section (Intra-MME/
SGW handover), based on the MEASUREMENT 5. The T-eNB prepares the requested resources and
REPORT from the UE, the S-eNB decides to handover responds with a HANDOVER REQ ACK to the T-MME.
the UE to another eNodeB (T-eNB). The handover 6. T
 he T-MME sends a GTP FORWARD RELOCATION
procedure in this section is very similar to that in the RESP to the S-MME, to notify the resource
previous section except for the involvement of two reservation at the T-eNB. From this point onwards,
MMEs coordinating the handover signaling between the interaction between the S-MME and S-eNB
the source and target eNodeBs. is very similar to the S1-based Intra-MME/SGW
handover described in the previous section.
 Interoperable UE Handovers in LTE | Radisys White Paper 6

Figure 4. Inter-MME/SGW Handover

7. DL data packets are forwarded from the S-eNB

to T-eNB via the SGW during the handover as
Inter-MME/SGW Handover
the SGW is not changed here. Using the S1 Interface
8. Once the T-eNB detects the UE in its area, it notifies This scenario is similar to the previous section with the
the T-MME with a S1 HANDOVER NOTIFY message. difference being the Source and Target eNodeBs are
served by different MME/SGW nodes. Figure 4 depicts
9. The T-MME notifies the completion of the handover the procedures and is followed by the explanation.
to the S-MME with a GTP FORWARD RELOCATION
COMPLETE NOTIFY message. 1. As described in the previous section (Inter-MME,
Intra-SGW handover), based on the MEASUREMENT
10. The S-MME acknowledges the GTP FORWARD REPORT from the UE, the S-eNB decides to handover
RELOCAION COMPLETE NOTIFY to the T-MME the UE to another eNodeB (T-eNB). The handover
and proceeds with clearing the S1 logical procedure in this section is very similar to that in
connection and the associated bearer resources. the previous section, except for the involvement of
two SGWs (S-SGW and T-SGW) to transfer the data
packets during the handover.
 Interoperable UE Handovers in LTE | Radisys White Paper 7

Figure 5. Inter-RAT LTE-to-UMTS Handover: Preparation Phase

2. After receiving the GTP: FORWARD RELOCATION

REQ from the S-MME, the T-MME detects the SGW
Inter-RAT Handover:
change and initiates the bearer creation toward the E-UTRAN to UTRAN Iu Mode
target SGW (T-SGW) using a GTP: CREATE SESSION Preparation Phase
REQ message.
In the LTE-to-UMTS Inter RAT handover, the source
3. After the creation of the requested bearers, the eNodeB connects to the S-MME and S-SGW while
T-SGW responds back to the MME with a GTP: the target RNC connects to the T-SGSN and T-SGW;
CREATE SESSION RESPONSE message. both the source and target SGWs connect to the same
4. From this point onward, the message flow is very PGW. This procedure is divided into two parts for
similar to that in the previous section (Inter-MME, clarity, Preparation and Execution. In the Preparation
Intra-SGW handover) except for the following phase, resources are reserved in the target network.
differences: In the Execution phase, the UE is handed over to
the target network from the source network. The
• While processing the S1 HANDOVER NOTIFY Preparation phase message flow is given in Figure 5,
message from the T-eNB, the T-MME updates followed by the description.
the T-eNB endpoint information to the T-SGW
using GTP: MODIFY BEARER REQ. 1. Once the inter-RAT handover is decided at the
S-eNB based on the measurement report procedure,
• After updating the T-eNB information in the it prepares and sends a HANDOVER REQUIRED
bearers (successfully set up during the handover), message to the S-MME.
the T-SGW responds with a GTP: MODIFY BEARER
RESPONSE message to the T-MME. 2. The S-MME detects that it is an Inter-RAT handover
from the message contents, retrieves the target SGSN
• After successful completion of the handover, the details from the database based on the information
S-MME takes care of releasing bearer resources in the message. It now prepares and sends a GTP-C:
with the S-SGW for this UE by initiating the GTP: FORAWRD RELOCATION REQUEST to the T-SGSN.
DELETE SESSION procedure.
3. T
 he T-SGSN detects the change of SGW and
creates the bearer resources in the T-SGW by
initiating the GTP: CREATE SESSION procedure.
 Interoperable UE Handovers in LTE | Radisys White Paper 8

Figure 6. Inter-RAT LTE-to-UMTS Handover: Execution Phase

4. Once the resources are reserved at the T-SGW, Execution Phase

it responds to the T-SGSN with a GTP: CREATE
1. T
 he S-MME sends the HANDOVER COMMAND
SESSION RESPONSE message.
message to the S-eNB with the target to source
5. The T-SGSN now reserves the resources at the transparent container (i.e., it has the reserved
T-RNC by sending a RANAP: RELOCATION REQUEST resource information at the target).
message to it.
2. T
 he S-eNB prepares and sends the MOBILITY FROM
6. The T-RNC reserves the radio resources and EUTRA COMMAND message to prepare the UE for
responds to the T-SGSN with a RANAP: RELOCATION the handover toward the target network.
REQUEST ACK message.
3. A
 fter accessing the target UMTS cell, the UE sends
7. The T-SGSN creates the indirect data forwarding a HO TO UTRAN COMPLETE message to the T-RNC
tunnels in the T-SGW for the DL packets transfer signaling the successful handover.
from the S-SGW to T-SGW during the handover.
4. The S-eNB forwards the DL data packets toward
8. After the Indirect Data forwarding tunnel creation, the T-SGW via the S-SGW during the handover. This
the T-SGSN responds with a GTP: FORWARD step can happen any time after it receives the S1AP
RELOCATION RESPONSE message to the S-MME. HANDOVER COMMAND message from the S-MME.
9. The S-MME has to create the indirect data This step is executed in case a direct forwarding path
forwarding tunnels as the resources are reserved is not available with the T-RNC, otherwise it will
successfully in the target network to forward forward the DL data packets to the T-RNC directly.
the DL packets to the target network. With this, Both the options are shown in Figure 6.
the preparation phase is complete.
 Interoperable UE Handovers in LTE | Radisys White Paper 9

Figure 7. Inter-RAT UMTS-to-LTE Handover: Preparation Phase

5. Once the T-RNC detects the UE in its area, it phase, resources are reserved in the target network,
notifies the T-SGSN about the completion of the while in the execution phase the UE is handed over
handover by sending a RANAP: RELOCATION to the target network from the source network. The
COMPLETE message. Preparation phase message flow is given in Figure 7,
6. The T-SGSN notifies the completion of handover followed by the description.
to the S-MME by sending a GTP: FORWARD 1. O
 nce the inter-RAT handover is decided at
RELOCATION COMPLETE NOTIFICATION ACK the S-RNC based on the measurement report
message. The S-MME acknowledges this message procedure, it prepares and sends a RANAP
and proceeds with release of the resources RELOCATION REQUIRED message to the S-SGSN.
associated with this UE at the S-SGW and S-eNB. 2. The S-SGSN detects that it is an Inter-RAT handover
7. The T-SGSN modifies the E-RAB resources at from the message contents and retrieves the T-MME
the T-SGW by initiating the GTP MODIFY BEARER details from the database based on the information
procedure. in the message. It now prepares and sends a GTP-C:
8. The T-SGW notifies the bearer parameters with FORAWRD RELOCATION REQUEST to the T-MME.
the PGW by initiating the GTP MODIFY BEARER 3. T
 he T-MME detects the change of SGW and creates
procedure. the bearer resources in the T-SGW by initiating the
GTP: CREATE SESSION procedure.
Inter-RAT Handover: 4. O
 nce the resources are reserved at the T-SGW,
UTRAN to E-UTRAN it responds to the T-MME with a GTP: CREATE
SESSION RESPONSE message.
Preparation Phase
5. T
 he T-MME now reserves the resources at the
In the UMTS-to-LTE Inter-RAT handover, the S-RNC
T-eNB by sending aS1AP: HANDOVER REQUEST
connects to the S-SGSN and S-SGW, the T-eNB
message to it.
connects to the T-MME and T-SGW, and both the
source and target SGWs connect to the same PGW. 6. T
 he T-eNB reserves the radio resources and
As above, this procedure is divided into two parts for responds to the T-MME with a S1AP: HANDOVER
clarity, Preparation and Execution. In the Preparation REQUEST ACK message.
 Interoperable UE Handovers in LTE | Radisys White Paper 10

Figure 8. Inter-RAT UMTS-to-LTE Handover: Execution Phase

7. The T-MME creates the indirect data forwarding 3. A

 fter accessing the T-eNB, the UE sends an RRC
tunnels in the T-SGW for the DL packets transfer CONNECTION RECONFIGURATION COMPLETE
from the S-SGW to the T-SGW during the handover message to the T-eNB signaling the successful
if there is no direct forwarding path available from handover.
source to target. 4. T
 he S-RNC forwards the DL data packets toward
8. After the Indirect Data forwarding tunnel creation, the T-SGW via the S-SGW during the handover.
the T-MME responds with a GTP: FORWARD This step can happen any time after it receives the
RELOCATION RESPONSE message to the S-SGSN. RANAP RELOCATION COMMAND message from
9. The S-SGSN has to create the indirect data the S-SGSN. This step is executed in case a direct
forwarding tunnels, as the resources are reserved forwarding path is not available with the T-eNB,
successfully in the target network to forward otherwise it will forward the DL data packets to the
the DL packets to the target network. With this, T-eNB directly. Both the options are shown above in
the preparation phase is complete. Figure 8.
5. O
 nce the T-eNB detects the UE in its area, it notifies
Execution Phase the T-MME about the completion of the handover by
1. The S-SGSN sends the RANAP RELOCATION sending an S1AP: HANDOVER NOTIFY message.
COMMAND message to the S-RNC with the target 6. T
 he T-MME notifies the completion of handover
to source transparent container (it has the reserved to the S-SGSN by sending a GTP: FORWARD
resource information at the target). RELOCATION COMPLETE NOTIFICATION ACK
2. The S-RNC prepares and sends the HO FROM message. The S-SGSN acknowledges this message
UTRAN COMMAND message to prepare the UE and proceeds with the release of the resources
for the handover toward the target network. associated with this UE at the S-SGW and S-RNC.
 Interoperable UE Handovers in LTE | Radisys White Paper 11

7. The T-MME modifies the E-RAB resources at the 4

3GPP TS 36.423: “Evolved Universal Terrestrial
T-SGW by initiating the GTP MODIFY BEARER Radio Access Network (E-UTRAN); X2 Application
procedure. Protocol (X2AP).”
8. The T-SGW notifies the bearer parameters with 5
3GPP TS 25.331: “UMTS Radio Resource Control
the PGW by initiating the GTP MODIFY BEARER (RRC) Protocol specification.”
procedure.
6
3GPP TS 25.413 “UMTS: UTRAN Iu Interface
Conclusions RANAP Signaling.”
Inter-network mobility is a key facilitator for any 7
3GPP TS 29.274: “3G PP Evolved Packet System
communications technology to become more (EPS); Evolved General Packet Radio Service (GPRS)
successful, and LTE is no exception. It can serve as Tunneling Protocol for Control Plane (GTPv2-C).”
a powerful tool for maximizing the value of existing
access resources and assist in quickly realizing 8
3GPP TS 29.060: “General Packet Radio Service
revenue from the deployment of new wireless (GPRS); GPRS Tunneling Protocol (GTP) Across
broadband access technologies. In this paper we the Gn and Gp Interface.”
covered the interoperability to and from LTE and
UMTS technologies.
9
3GPP TS 24.301: “Non-Access-Stratum (NAS)
Protocol for Evolved Packet System (EPS).”
References 10
“ LTE E-UTRAN and its Access Side Protocols”
1
3 GPP TS 23.401: “GPRS Enhancements for white paper by Suyash Tripathi, Vinay Kulkarni,
E-UTRAN Access.” and Alok Kumar.
2
3GPP TS 36.331: “Evolved Universal Terrestrial 11
“ Signaling Procedures in LTE” white paper by
Radio Access (E-UTRA); Radio Resource Control V. Srinivasa Rao and Rambabu G.
(RRC); Protocol Specification.”
3
3GPP TS 36.413: “Evolved Universal Terrestrial
Radio Access Network (E-UTRAN); S1 Application
Protocol (S1AP).”

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September 2011