ETSI TS 138 413 V16.4.0 (2021-01)

5G; NG-RAN; NG Application Protocol (NGAP) (3GPP TS 38.413 version 16.4.0 Release 16)

RTS/TSGR-0338413vg40

General Information

• Status: Not Published
• Technical Committee: 3GPP RAN 3 - lub specification, lur specification, lu specification and UTRAN & O&M
• Current Stage: 12 - Completion
• Completion Date: 27-Jan-2021

Standards Content (Sample)

ETSI TS 138 413 V16.4.0 (2021-01)






TECHNICAL SPECIFICATION
5G;
NG-RAN;
NG Application Protocol (NGAP)
(3GPP TS 38.413 version 16.4.0 Release 16)

---------------------- Page: 1 ----------------------
3GPP TS 38.413 version 16.4.0 Release 16 1 ETSI TS 138 413 V16.4.0 (2021-01)



Reference
RTS/TSGR-0338413vg40
Keywords
5G
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: [phone]  Fax: [phone]

Siret N° 348 623 562 00017 - NAF 742 C
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88

Important notice
The present 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. In case of any
existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI
deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.
Users of the present document should be aware that the document may be subject to revision or change of status.
Information on the current status of this and other ETSI documents is available at
https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx
If you find errors in the present document, please send your comment to one of the following services:
https://portal.etsi.org/People/CommiteeSupportStaff.aspx
Copyright Notification
No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying
and microfilm except as authorized by written permission of ETSI.
The content of the PDF version shall not be modified without the written authorization of ETSI.
The copyright and the foregoing restriction extend to reproduction in all media.

© ETSI 2021.
All rights reserved.

DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its Members.

3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and
of the 3GPP Organizational Partners.
oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and
of the oneM2M Partners.
®
GSM and the GSM logo are trademarks registered and owned by the GSM Association.
ETSI

---------------------- Page: 2 ----------------------
3GPP TS 38.413 version 16.4.0 Release 16 2 ETSI TS 138 413 V16.4.0 (2021-01)
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.
Trademarks
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.
Legal Notice
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. These shall be
interpreted as being references to the corresponding ETSI deliverables.
The cross reference between 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 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

---------------------- Page: 3 ----------------------
3GPP TS 38.413 version 16.4.0 Release 16 3 ETSI TS 138 413 V16.4.0 (2021-01)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 16
1 Scope . 17
2 References . 17
3 Definitions and abbreviations . 18
3.1 Definitions . 18
3.2 Abbreviations . 19
4 General . 20
4.1 Procedure Specification Principles . 20
4.2 Forwards and Backwards Compatibility . 21
4.3 Specification Notations . 21
5 NGAP Services . 21
6 Services Expected from Signalling Transport . 22
7 Functions of NGAP . 22
8 NGAP Procedures . 22
8.1 List of NGAP Elementary Procedures . 22
8.2 PDU Session Management Procedures . 24
8.2.1 PDU Session Resource Setup . 24
8.2.1.1 General . 24
8.2.1.2 Successful Operation . 25
8.2.1.3 Unsuccessful Operation . 28
8.2.1.4 Abnormal Conditions . 28
8.2.2 PDU Session Resource Release . 29
8.2.2.1 General . 29
8.2.2.2 Successful Operation . 29
8.2.2.3 Unsuccessful Operation . 30
8.2.2.4 Abnormal Conditions . 30
8.2.3 PDU Session Resource Modify . 30
8.2.3.1 General . 30
8.2.3.2 Successful Operation . 30
8.2.3.3 Unsuccessful Operation . 33
8.2.3.4 Abnormal Conditions . 33
8.2.4 PDU Session Resource Notify . 34
8.2.4.1 General . 34
8.2.4.2 Successful Operation . 34
8.2.4.3 Abnormal Conditions . 35
8.2.5 PDU Session Resource Modify Indication . 35
8.2.5.1 General . 35
8.2.5.2 Successful Operation . 35
8.2.5.3 Unsuccessful Operation . 37
8.2.5.4 Abnormal Conditions . 37
8.3 UE Context Management Procedures . 37
8.3.1 Initial Context Setup . 37
8.3.1.1 General . 37
8.3.1.2 Successful Operation . 37
8.3.1.3 Unsuccessful Operation . 40
8.3.1.4 Abnormal Conditions . 40
8.3.2 UE Context Release Request (NG-RAN node initiated) . 41
8.3.2.1 General . 41
ETSI

---------------------- Page: 4 ----------------------
3GPP TS 38.413 version 16.4.0 Release 16 4 ETSI TS 138 413 V16.4.0 (2021-01)
8.3.2.2 Successful Operation . 41
8.3.2.3 Abnormal Conditions . 41
8.3.3 UE Context Release (AMF initiated) . 41
8.3.3.1 General . 41
8.3.3.2 Successful Operation . 42
8.3.3.3 Unsuccessful Operation . 42
8.3.3.4 Abnormal Conditions . 42
8.3.4 UE Context Modification . 42
8.3.4.1 General . 42
8.3.4.2 Successful Operation . 43
8.3.4.3 Unsuccessful Operation . 45
8.3.4.4 Abnormal Conditions . 45
8.3.5 RRC Inactive Transition Report . 45
8.3.5.1 General . 45
8.3.5.2 Successful Operation . 45
8.3.5.3 Abnormal Conditions . 45
8.3.6 Connection Establishment Indication . 46
8.3.6.1 General . 46
8.3.6.2 Successful Operation . 46
8.3.6.3 Abnormal Conditions . 47
8.3.7 AMF CP Relocation Indication . 47
8.3.7.1 General . 47
8.3.7.2 Successful Operation . 47
8.3.7.3 Abnormal Conditions . 47
8.3.8 RAN CP Relocation Indication . 47
8.3.8.1 General . 47
8.3.8.2 Successful Operation . 48
8.3.8.3 Abnormal Conditions . 48
8.3.9 Retrieve UE Information . 48
8.3.9.1 General . 48
8.3.9.2 Successful Operation . 49
8.3.9.3 Abnormal Conditions . 49
8.3.10 UE Information Transfer . 49
8.3.10.1 General . 49
8.3.10.2 Successful Operation . 49
8.3.10.3 Abnormal Conditions . 50
8.3.11 UE Context Suspend . 50
8.3.11.1 General . 50
8.3.11.2 Successful Operation . 50
8.3.11.3 Unsuccessful Operation . 51
8.3.11.4 Abnormal Conditions . 51
8.3.12 UE Context Resume. 51
8.3.12.1 General . 51
8.3.12.2 Successful Operation . 51
8.3.12.3 Unsuccessful Operation . 52
8.4 UE Mobility Management Procedures . 52
8.4.1 Handover Preparation . 52
8.4.1.1 General . 52
8.4.1.2 Successful Operation . 53
8.4.1.3 Unsuccessful Operation . 55
8.4.1.4 Abnormal Conditions . 55
8.4.2 Handover Resource Allocation . 55
8.4.2.1 General . 55
8.4.2.2 Successful Operation . 56
8.4.2.3 Unsuccessful Operation . 60
8.4.2.4 Abnormal Conditions . 60
8.4.3 Handover Notification . 61
8.4.3.1 General . 61
8.4.3.2 Successful Operation . 61
8.4.3.3 Abnormal Conditions . 61
8.4.4 Path Switch Request . 61
8.4.4.1 General . 61
ETSI

---------------------- Page: 5 ----------------------
3GPP TS 38.413 version 16.4.0 Release 16 5 ETSI TS 138 413 V16.4.0 (2021-01)
8.4.4.2 Successful Operation . 62
8.4.4.3 Unsuccessful Operation . 65
8.4.4.4 Abnormal Conditions . 65
8.4.5 Handover Cancellation . 65
8.4.5.1 General . 65
8.4.5.2 Successful Operation . 65
8.4.5.3 Unsuccessful Operation . 66
8.4.5.4 Abnormal Conditions . 66
8.4.6 Uplink RAN Status Transfer . 66
8.4.6.1 General . 66
8.4.6.2 Successful Operation . 66
8.4.6.3 Abnormal Conditions . 66
8.4.7 Downlink RAN Status Transfer . 66
8.4.7.1 General . 66
8.4.7.2 Successful Operation . 67
8.4.7.3 Abnormal Conditions . 67
8.4.8 Handover Success . 67
8.4.8.1 General . 67
8.4.8.2 Successful Operation . 67
8.4.8.3 Abnormal Conditions . 68
8.4.9 Uplink RAN Early Status Transfer . 68
8.4.9.1 General . 68
8.4.9.2 Successful Operation . 68
8.4.9.3 Abnormal Conditions . 68
8.4.10 Downlink RAN Early Status Transfer . 68
8.4.10.1 General . 68
8.4.10.2 Successful Operation . 69
8.4.10.3 Abnormal Conditions . 69
8.5 Paging Procedures . 69
8.5.1 Paging . 69
8.5.1.1 General . 69
8.5.1.2 Successful Operation . 69
8.5.1.3 Abnormal Conditions . 70
8.6 Transport of NAS Messages Procedures . 70
8.6.1 Initial UE Message. 70
8.6.1.1 General . 70
8.6.1.2 Successful Operation . 71
8.6.1.3 Abnormal Conditions . 71
8.6.2 Downlink NAS Transport . 72
8.6.2.1 General . 72
8.6.2.2 Successful Operation . 72
8.6.2.3 Abnormal Conditions . 73
8.6.3 Uplink NAS Transport .
...