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ETSI TS 138 413 V15.3.0 (2019-05)

5G;

NG-RAN;

NG Application Protocol (NGAP)

(3GPP TS 38.413 version 15.3.0 Release 15)

TECHNICAL SPECIFICATION

ETSI ETSI TS 138 413 V15.3.0 (2019-05)13GPP TS 38.413 version 15.3.0 Release 15

Reference

RTS/TSGR-0338413vf30

Keywords

5G ETSI

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DECT TM

PLUGTESTS

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Intellectual Property Rights

Essential patents

IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information

pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found

in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in

respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web

server (https://ipr.etsi.org/).

Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee

can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web

server) which are, or may be, or may become, essential to the present document.

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The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.

ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no

right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does

not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.

Foreword

This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP).

The present document may refer to technical specifications or reports using their 3GPP identities, UMTS identities or

GSM identities. These should be interpreted as being references to the corresponding ETSI deliverables.

The cross reference between GSM, UMTS, 3GPP and ETSI identities can be found under

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 ETSI 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 138 413 V15.3.0 (2019-05)33GPP TS 38.413 version 15.3.0 Release 15

Contents

Intellectual Property Rights ........................................................................

........................................................ 2 Foreword ....................................................................... ...................................................................................... 2 Modal verbs terminology ...................................................................... .............................................................. 2 Foreword ....................................................................... .................................................................................... 13

1 Scope ........................................................................

.............................................................................. 14

2 References ........................................................................

............................ 14

3 Definitions and abbreviations ........................................................................

......................................... 15

3.1 Definitions ........................................................................

................................................................................ 15

3.2 Abbreviations ........................................................................

........................................................................... 16

4 General ........................................................................

........................................................................... 16

4.1 Procedure Specification Principles ........................................................................

........................................... 16

4.2 Forwards and Backwards Compatibility ........................................................................

.................................. 17

4.3 Specification Notations ........................................................................

............................................................ 17

5 NGAP Services ........................................................................

.............................................................. 17

6 Services Expected from Signalling Transport ........................................................................

................ 17

7 Functions of NGAP .......................................................................

......................................................... 18

8 NGAP Procedures ........................................................................

.......................................................... 18

8.1 List of NGAP Elementary Procedures ........................................................................

...................................... 18

8.2 PDU Session Management Procedures ........................................................................

.................................... 19

8.2.1 PDU Session Resource Setup ........................................................................

............................................. 19

8.2.1.1 General ........................................................................

.......................................................................... 19

8.2.1.2 Successful Operation ........................................................................

........................... 20

8.2.1.3 Unsuccessful Operation ........................................................................

................................................ 22

8.2.1.4 Abnormal Conditions ........................................................................

.................................................... 23

8.2.2 PDU Session Resource Release ........................................................................

.......................................... 23

8.2.2.1 General ........................................................................

.......................................................................... 23

8.2.2.2 Successful Operation ........................................................................

........................... 23

8.2.2.3 Unsuccessful Operation ........................................................................

................................................ 24

8.2.2.4 Abnormal Conditions ........................................................................

.................................................... 24

8.2.3 PDU Session Resource Modify ........................................................................

.......................................... 24

8.2.3.1 General ........................................................................

.......................................................................... 24

8.2.3.2 Successful Operation ........................................................................

........................... 24

8.2.3.3 Unsuccessful Operation ........................................................................

................................................ 26

8.2.3.4 Abnormal Conditions ........................................................................

.................................................... 26

8.2.4 PDU Session Resource Notify ........................................................................

............................................ 26

8.2.4.1 General ........................................................................

.......................................................................... 26

8.2.4.2 Successful Operation ........................................................................

........................... 27

8.2.4.3 Abnormal Conditions ........................................................................

.................................................... 27

8.2.5 PDU Session Resource Modify Indication ........................................................................

......................... 27

8.2.5.1 General ........................................................................

.......................................................................... 27

8.2.5.2 Successful Operation ........................................................................

........................... 28

8.2.5.3 Unsuccessful Operation ........................................................................

................................................ 29

8.2.5.4 Abnormal Conditions ........................................................................

.................................................... 29

8.3 UE Context Management Procedures ........................................................................

....................................... 29

8.3.1 Initial Context Setup ........................................................................

........................................................... 29

8.3.1.1 General ........................................................................

.......................................................................... 29

8.3.1.2 Successful Operation ........................................................................

........................... 29

8.3.1.3 Unsuccessful Operation ........................................................................

................................................ 31

8.3.1.4 Abnormal Conditions ........................................................................

.................................................... 31

8.3.2 UE Context Release Request (NG-RAN node initiated) ............................................................................ 32

8.3.2.1 General ........................................................................

.......................................................................... 32 ETSI ETSI TS 138 413 V15.3.0 (2019-05)43GPP TS 38.413 version 15.3.0 Release 15

8.3.2.2 Successful Operation ........................................................................

........................... 32

8.3.2.3 Abnormal Conditions ........................................................................

.................................................... 32

8.3.3 UE Context Release (AMF initiated) ........................................................................

.................................. 32

8.3.3.1 General ........................................................................

.......................................................................... 32

8.3.3.2 Successful Operation ........................................................................

........................... 33

8.3.3.3 Unsuccessful Operation ........................................................................

................................................ 33

8.3.3.4 Abnormal Conditions ........................................................................

.................................................... 33

8.3.4 UE Context Modification ........................................................................

........................... 33

8.3.4.1 General ........................................................................

.......................................................................... 33

8.3.4.2 Successful Operation ........................................................................

........................... 34

8.3.4.3 Unsuccessful Operation ........................................................................

................................................ 35

8.3.4.4 Abnormal Conditions ........................................................................

.................................................... 35

8.3.5 RRC Inactive Transition Report ........................................................................

......................................... 35

8.3.5.1 General ........................................................................

.......................................................................... 35

8.3.5.2 Successful Operation ........................................................................

........................... 35

8.3.5.3 Abnormal Conditions ........................................................................

.................................................... 36

8.4 UE Mobility Management Procedures ........................................................................

..................................... 36

8.4.1 Handover Preparation ........................................................................

......................................................... 36

8.4.1.1 General ........................................................................

.......................................................................... 36

8.4.1.2 Successful Operation ........................................................................

........................... 36

8.4.1.3 Unsuccessful Operation ........................................................................

................................................ 38

8.4.1.4 Abnormal Conditions ........................................................................

.................................................... 38

8.4.2 Handover Resource Allocation ........................................................................

........................................... 38

8.4.2.1 General ........................................................................

.......................................................................... 38

8.4.2.2 Successful Operation ........................................................................

........................... 38

8.4.2.3 Unsuccessful Operation ........................................................................

................................................ 41

8.4.2.4 Abnormal Conditions ........................................................................

.................................................... 41

8.4.3 Handover Notification ........................................................................

........................................................ 41

8.4.3.1 General ........................................................................

.......................................................................... 41

8.4.3.2 Successful Operation ........................................................................

........................... 41

8.4.3.3 Abnormal Conditions ........................................................................

.................................................... 42

8.4.4 Path Switch Request ........................................................................

........................................................... 42

8.4.4.1 General ........................................................................

.......................................................................... 42

8.4.4.2 Successful Operation ........................................................................

........................... 42

8.4.4.3 Unsuccessful Operation ........................................................................

................................................ 44

8.4.4.4 Abnormal Conditions ........................................................................

.................................................... 44

8.4.5 Handover Cancellation ........................................................................

....................................................... 44

8.4.5.1 General ........................................................................

.......................................................................... 44

8.4.5.2 Successful Operation ........................................................................

........................... 44

8.4.5.3 Unsuccessful Operation ........................................................................

................................................ 44

8.4.5.4 Abnormal Conditions ........................................................................

.................................................... 45

8.4.6 Uplink RAN Status Transfer ........................................................................

............................................... 45

8.4.6.1 General ........................................................................

.......................................................................... 45

8.4.6.2 Successful Operation ........................................................................

........................... 45

8.4.6.3 Abnormal Conditions ........................................................................

.................................................... 45

8.4.7 Downlink RAN Status Transfer ........................................................................

...................... 45

8.4.7.1 General ........................................................................

.......................................................................... 45

8.4.7.2 Successful Operation ........................................................................

........................... 46

8.4.7.3 Abnormal Conditions ........................................................................

.................................................... 46

8.5 Paging Procedures ........................................................................

.................................................................... 46

8.5.1 Paging ........................................................................

................................................................................. 46

8.5.1.1 General ........................................................................

.......................................................................... 46

8.5.1.2 Successful Operation ........................................................................

........................... 46

8.5.1.3 Abnormal Conditions ........................................................................

.................................................... 47

8.6 Transport of NAS Messages Procedures ........................................................................

.................................. 47

8.6.1 Initial UE Message........................................................................

.............................................................. 47

8.6.1.1 General ........................................................................

.......................................................................... 47

8.6.1.2 Successful Operation ........................................................................

........................... 47

8.6.1.3 Abnormal Conditions ........................................................................

.................................................... 48

8.6.2 Downlink NAS Transport ........................................................................

................................................... 48

8.6.2.1 General ........................................................................

.......................................................................... 48

8.6.2.2 Successful Operation ........................................................................

........................... 48 ETSI ETSI TS 138 413 V15.3.0 (2019-05)53GPP TS 38.413 version 15.3.0 Release 15

8.6.2.3 Abnormal Conditions ........................................................................

.................................................... 49

8.6.3 Uplink NAS Transport ........................................................................

........................................................ 49

8.6.3.1 General ........................................................................

.......................................................................... 49

8.6.3.2 Successful Operation ........................................................................

........................... 49

8.6.3.3 Abnormal Conditions ........................................................................

.................................................... 49

8.6.4 NAS Non Delivery Indication ........................................................................

............................................ 50

8.6.4.1 General ........................................................................

.......................................................................... 50

8.6.4.2 Successful Operation ........................................................................

........................... 50

8.6.4.3 Abnormal Conditions ........................................................................

.................................................... 50

8.6.5 Reroute NAS Request ........................................................................

......................................................... 50

8.6.5.1 General ........................................................................

.......................................................................... 50

8.6.5.2 Successful Operation ........................................................................

........................... 50

8.6.5.3 Abnormal Conditions ........................................................................

.................................................... 51

8.7 Interface Management Procedures ........................................................................

........................ 51

8.7.1 NG Setup ........................................................................

............................................................................ 51

8.7.1.1 General ........................................................................

.......................................................................... 51

8.7.1.2 Successful Operation ........................................................................

........................... 51

8.7.1.3 Unsuccessful Operation ........................................................................

................................................ 51

8.7.1.4 Abnormal Conditions ........................................................................

.................................................... 52

8.7.2 RAN Configuration Update ........................................................................

................................................ 52

8.7.2.1 General ........................................................................

.......................................................................... 52

8.7.2.2 Successful Operation ........................................................................

........................... 52

8.7.2.3 Unsuccessful Operation ........................................................................

................................................ 53

8.7.2.4 Abnormal Conditions ........................................................................

.................................................... 53

8.7.3 AMF Configuration Update ........................................................................

................................................ 53

8.7.3.1 General ........................................................................

.......................................................................... 53

8.7.3.2 Successful Operation ........................................................................

........................... 53

8.7.3.3 Unsuccessful Operation ........................................................................

................................................ 54

8.7.3.4 Abnormal Conditions ........................................................................

.................................................... 54

8.7.4 NG Reset ........................................................................

............................................................................. 55

8.7.4.1 General ........................................................................

.......................................................................... 55

8.7.4.2 Successful Operation ........................................................................

........................... 55

8.7.4.2.1 NG Reset initiated by the AMF ........................................................................

............................... 55

8.7.4.2.2 NG Reset initiated by the NG-RAN node ........................................................................

............... 56

8.7.4.3 Unsuccessful Operation ........................................................................

................................................ 56

8.7.4.4 Abnormal Conditions ........................................................................

.................................................... 56

8.7.4.4.1 Abnormal Condition at the 5GC ........................................................................

.............................. 56

8.7.4.4.2 Abnormal Condition at the NG-RAN ........................................................................

...................... 57

8.7.4.4.3 Crossing of NG RESET Messages ........................................................................

.......................... 57

8.7.5 Error Indication ........................................................................

................................................................... 57

8.7.5.1 General ........................................................................

.......................................................................... 57

8.7.5.2 Successful Operation ........................................................................

........................... 57

8.7.5.3 Abnormal Conditions ........................................................................

.................................................... 58

8.7.6 AMF Status Indication ........................................................................

........................................................ 58

8.7.6.1 General ........................................................................

.......................................................................... 58

8.7.6.2 Successful Operation ........................................................................

........................... 58

8.7.6.3 Abnormal Conditions ........................................................................

.................................................... 59

8.7.7 Overload Start ........................................................................

..................................................................... 59

8.7.7.1 General ........................................................................

.......................................................................... 59

8.7.7.2 Successful Operation ........................................................................

........................... 59

8.7.7.3 Abnormal Conditions ........................................................................

.................................................... 60

8.7.8 Overload Stop ........................................................................

..................................................................... 60

8.7.8.1 General ........................................................................

.......................................................................... 60

8.7.8.2 Successful Operation ........................................................................

........................... 60

8.7.8.3 Abnormal Conditions ........................................................................

.................................................... 60

8.8 Configuration Transfer Procedures ........................................................................

.......................................... 60

8.8.1 Uplink RAN Configuration Transfer ........................................................................

.................................. 60

8.8.1.1 General ........................................................................

.......................................................................... 60

8.8.1.2 Successful Operation ........................................................................

........................... 61

8.8.1.3 Abnormal Conditions ........................................................................

.................................................... 61

8.8.2 Downlink RAN Configuration Transfer ........................................................................

............................. 61

8.8.2.1 General ........................................................................

.......................................................................... 61 ETSI ETSI TS 138 413 V15.3.0 (2019-05)63GPP TS 38.413 version 15.3.0 Release 15

8.8.2.2 Successful Operation ........................................................................

........................... 61

8.8.2.3 Abnormal Conditions ........................................................................

.................................................... 62

8.9 Warning Message Transmission Procedures ........................................................................

................. 62

8.9.1 Write-Replace Warning ........................................................................

...................................................... 62

8.9.1.1 General ........................................................................

.......................................................................... 62

8.9.1.2 Successful Operation ........................................................................

........................... 62

8.9.1.3 Unsuccessful Operation ........................................................................

................................................ 63

8.9.1.4 Abnormal Conditions ........................................................................

.................................................... 63

8.9.2 PWS Cancel ........................................................................

........................................................................ 64

8.9.2.1 General ........................................................................

.......................................................................... 64

8.9.2.2 Successful Operation ........................................................................

........................... 64

8.9.2.3 Unsuccessful Operation ........................................................................

................................................ 64

8.9.2.4 Abnormal Conditions ........................................................................

.................................................... 65

8.9.3 PWS Restart Indication ........................................................................

....................................................... 65

8.9.3.1 General ........................................................................

.......................................................................... 65

8.9.3.2 Successful Operation ........................................................................

........................... 65

8.9.3.3 Abnormal Conditions ........................................................................

.................................................... 65

8.9.4 PWS Failure Indication ........................................................................

....................................................... 65

8.9.4.1 General ........................................................................

.......................................................................... 65

8.9.4.2 Successful Operation ........................................................................

........................... 65

8.9.4.3 Abnormal Conditions ........................................................................

.................................................... 66

8.10 NRPPa Transport Procedures ........................................................................

................................................... 66

8.10.1 General ........................................................................

................................................................................ 66

8.10.2 Successful Operations ........................................................................

......................................................... 66

8.10.2.1 DOWNLINK UE ASSOCIATED NRPPA TRANSPORT ................................................................... 66

8.10.2.2 UPLINK UE ASSOCIATED NRPPA TRANSPORT ........................................................................

.. 66

8.10.2.3 DOWNLINK NON UE ASSOCIATED NRPPA TRANSPORT ......................................................... 67

8.10.2.4 UPLINK NON UE ASSOCIATED NRPPA TRANSPORT ................................................................ 67

8.10.3 Unsuccessful Operations ........................................................................

..................................................... 67

8.10.4 Abnormal Conditions ........................................................................

.......................................................... 67

8.11 Trace Procedures ........................................................................

...................................................................... 67

8.11.1 Trace Start ........................................................................

....................................... 67

8.11.1.1 General ........................................................................

.......................................................................... 67

8.11.1.2 Successful Operation ........................................................................

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