Exhibit 1006.04
`
`ZTE Corporation and ZTE (USA) Inc.
`
`

`
`3G TS 23.121 v3.0.0 (1999-07)
`
`Technical Specification
`
`3rd Generation Partnership Project;
`Technical Specification Group Services and Systems Aspects;
`Architectural Requirements for Release 1999
`(3G TS 23.121 version 3.0.0)
`
`The present document has been developed within the 3"‘ Generation Partnership Project (3GPP T“) and may be further elaborated for the purposes of 3GPP.
`
`The present document has not been subject to any approval process by the 3GPP Organisational Partners and shall not be implemented.
`This Specification is provided for future development work within 3GPP only. The Organisational Partners accept no liability for any use of this Specification.
`Specifications and reports for implementation of the 3GPPm system should be obtained via the 3GPP Organisational Partners’ Publications Offices.
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00001
`
`

`
`3G TS 23.121 version 3.0.0
`
`2
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`Reference
`DTS/TSGSA-0221121U
`
`Keywords
`<keyword[, keyword]>
`
`3GPP
`
`Postal address
`
`3GPP support office address
`650 Route des Lucioles - Sophia Antipolis
`Valbonne - FRANCE
`Te|.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
`
`Internet
`
`http://vwvw.3gpp.org
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00002
`
`

`
`3G TS 23.121 version 3.0.0
`
`3
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`Contents
`
`Foreword .......................................................................................................................................................... .. 5
`
`1
`
`2
`
`3
`3. 1
`3.2
`
`Scope 6
`
`References .............................................................................................................................................. . . 6
`
`Definitions and abbreviations ................................................................................................................. ..6
`Definitions ....................................................................................................................................................... .. 6
`Abbreviations ................................................................................................................................................... .. 6
`
`4
`4.1
`4.2
`4.2.1
`
`Working assumptions ............................................................................................................................. ..7
`General ............................................................................................................................................................. .. 7
`Iu Interface ....................................................................................................................................................... .. 7
`Iu Control Plane ......................................................................................................................................... .. 8
`
`4.2.1.1
`4.2.1.2
`4.2.2
`4.2.2.1
`4.2.2.1.1
`4.2.2.1.2
`4.2.2.1.3
`4.2.2.1.4
`4.2.2.1.5
`4.2.2.1.6
`4.2.2.2
`
`4.2.2.3
`4.3
`4.3 .1
`4.3.1.1
`4.3.2
`4.3.2.1
`4.3.2.1.1
`
`4.3.2.1.2
`4.3.2.1.3
`
`4.3.2.1.4
`4.3.3
`4.3.4
`
`4.3.5
`4.3.6
`4.3.6.1
`4.3.6.2
`4.3.6.3
`4.3.7
`4.3.8
`4.3.9
`4.3.10
`4.3.1 1
`4.3.11.1
`
`4.3.11.2
`4.3.11.3
`4.3.1 1.4
`4.3.12
`4.3.12.1
`
`Iu control plane for CS domain ............................................................................................................ .. 8
`Iu control plane for PD domain ............................................................................................................ .. 8
`Iu User plane .............................................................................................................................................. .. 9
`Principles of User Data Retrieve in UMTS and at GSM-UMTS Hand-Over for PS Domain............ .. 10
`Requirements for Data retrieve at GPRS/UMTS handover .......................................................... .. 10
`Adopted solution for data retrieve at GPRS-UMTS handover ..................................................... .. 10
`Requirements for data retrieve in UMTS ...................................................................................... .. 1 1
`Adopted solution for data retrieve in UMTS ................................................................................ .. 12
`User plane protocol stacks for UMTS data retrieve ...................................................................... .. 13
`User plane protocol stacks for data retrieve between UTRAN and 2G-SGSN ............................. .. 13
`Packet buffering in SRNC and transmission of not yet acknowledged downstream packets at
`SRNC relocation ................................................................................................................................. .. 13
`
`Load sharing ....................................................................................................................................... .. 14
`UMTS Mobility Management (UMIVI) .......................................................................................................... .. 14
`Location Management and Mobility Management concept overview ..................................................... .. 14
`Use of combined procedures for UMTS ............................................................................................ .. 17
`Description of the Location Management and Mobility Management Concept ...................................... .. 18
`Area concepts ..................................................................................................................................... .. 18
`Location areas ............................................................................................................................... .. 18
`
`Routing areas ................................................................................................................................ .. 18
`UTRAN internal areas .................................................................................................................. .. 18
`
`Relationship between the different areas ..................................................................................... .. 18
`MM functionality in different UE service states ...................................................................................... .. 19
`The RRC state machine ............................................................................................................................ .. 20
`
`Relationship between CS and PS service states and RRC state for an UE .............................................. .. 21
`Service registration and location update .................................................................................................. .. 22
`Location area update .......................................................................................................................... .. 23
`Routing area update ............................................................................................................................ .. 23
`Combined updates .............................................................................................................................. .. 23
`Paging initiated by CN ............................................................................................................................. .. 23
`Signalling connection establishment ........................................................................................................ .. 23
`Relations between SRNS relocation and Location registration ............................................................... .. 24
`Requirements on Identifiers for UMTS and GSM ................................................................................... .. 25
`Use of TMSI signature ............................................................................................................................. .. 26
`IMSI attach ......................................................................................................................................... ..26
`
`Location Area update ......................................................................................................................... .. 27
`MM System Information .................................................................................................................... .. 28
`IMSI detach procedure ....................................................................................................................... .. 28
`Signalling procedures ............................................................................................................................... .. 28
`Idle mode procedures ........................................................................................................................ .. 28
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00003
`
`

`
`3G TS 23.121 version 3.0.0
`
`4
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`4.3.12.1.1
`4.3.12.1.2
`4.3.12.1.3
`4.3.12.1.4
`4.3.12.1.5
`4.3.12.2
`
`4.3.12.2.1
`4.3.12.2.2
`
`4.3. 12.2.3
`
`4.3.12.3
`4.3.12.3.1
`4.3. 12.3.2
`
`4.3.12.4
`4.3.13
`4.3.13.1
`
`4.3.13.2
`4.3.13.3
`4.3.13.4
`
`4.3.13.5
`4.3.13.6
`4.3.13.7
`4.4
`
`4.4.1
`4.4.2
`4.4.2.1
`4.4.2.2
`
`4.5
`4.6
`4.7
`4.7.1
`4.7.2
`4.7.3
`
`4.8
`4.8.1
`
`4.8.2
`4.8.3
`4.9
`4.9.1
`
`Location Area update .................................................................................................................... .. 28
`Routing Area update ..................................................................................................................... .. 30
`Periodic Registration towards both CN nodes without use of Gs ................................................. .. 31
`Periodic Registration with use of Gs/UMSC ................................................................................ .. 33
`UE initiated Combined Detach Procedure when using Gs/UMSC ............................................... .. 33
`SRNS Relocation ................................................................................................................................ .. 33
`
`SRNS relocation principles ........................................................................................................... .. 33
`SRNS relocation (UE connected to a single CN node, 3G_MSC/VLR) followed by Location
`Registration in new Routing Area................................................................................................. .. 34
`SRNS relocation (UE connected to a single CN node, 3G_SGSN) followed by Location
`Registration in new Location Area ............................................................................................... .. 36
`Comparison between UMTS and GSM .............................................................................................. .. 41
`PS -idle state ................................................................................................................................. .. 42
`PS -connected state ....................................................................................................................... .. 42
`
`Issues for further study ....................................................................................................................... .. 42
`Combined update towards the HLR for a combined 3G-(MSC/VLR+SGSN) configuration.................. .. 43
`Motivation .......................................................................................................................................... .. 43
`
`Technical description.......................................................................................................................... .. 43
`Requirements on UTRAN .................................................................................................................. .. 44
`List of MAP services for location management between the HLR and MSC-VLR/SGSN for
`GSl\/I/GPRS ........................................................................................................................................ .. 44
`
`Signalling procedures for combined update towards HLR ................................................................ .. 45
`Combined attach case where the previous attach was towards 2 CN elements .................................. .. 45
`Combined location/routing area update where the previous LA/RA belonged to a 2 CN element .... .. 46
`Ul\/ITS call control ......................................................................................................................................... .. 47
`
`Technical Requirements ........................................................................................................................... .. 47
`Typical Scenarios for Multimedia Control and User Plane ..................................................................... .. 48
`H.324M to H.324M Call .................................................................................................................... .. 48
`IMT-2000 H.323 to H.323 call ..................................................................................................... .. 50
`
`Core network layer 3 ..................................................................................................................................... .. 51
`Structure of radio interface layer 3 ................................................................................................................ .. 52
`Alternate Access technologies to UTRAN .................................................................................................... .. 52
`Advantages of attaching HIPERLAN 2 to UMTS ................................................................................... .. 52
`HIPERLAN 2 UMTS Interworking ......................................................................................................... .. 53
`Related Actions ........................................................................................................................................ .. 53
`
`Location of the IP compression function in UMTS ....................................................................................... .. 53
`Functional role of SNDCP / L3CE ........................................................................................................... .. 53
`
`Position for header compression .............................................................................................................. .. 54
`Implied protocol stack .............................................................................................................................. .. 54
`Short Message Service for UMTS ................................................................................................................. .. 55
`Protocols and architecture ........................................................................................................................ .. 55
`
`4.10
`4.10.1
`4.10.1.1
`
`Mobile IP for UMTS/GPRS End Users, revised version ............................................................................... .. 55
`Mobile IP for UMTS/GPRS End Users ................................................................................................... .. 55
`Alterations of and Additions to Current GPRS Standards ................................................................. .. 58
`
`References ...................................................................................................................................................... ..58
`
`History ............................................................................................................................................................ ..59
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00004
`
`

`
`3G TS 23.121 version 3.0.0
`
`5
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`Foreword
`
`This Technical Specification has been produced by the 3GPP.
`
`The contents of the present document are subject to continuing work within the TSG and may change following formal
`TSG approval. Should the TSG modify the contents of this TS, it will be re-released by the TSG with an identifying
`change of release date and an increase in Version number as follows:
`
`Version 3.y.z
`
`where:
`
`X the first digit:
`
`1
`
`presented to TSG for information;
`
`2 presented to TSG for approval;
`
`3
`
`y
`
`2
`
`Indicates TSG approved document under change control.
`
`the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections, updates, etc.
`
`the third digit is incremented when editorial only changes have been incorporated in the specification;
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00005
`
`

`
`3G TS 23.121 version 3.0.0
`
`6
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`1
`
`Scope
`
`The present document covers issues related to the evolution of the GSM platform towards UMTS with the overall goal
`of fulfilling the UMTS service requirements, the support of the UMTS role model, support of roaming and support of
`new functionality, signalling systems and interfaces.
`
`2
`
`References
`
`The following documents contain provisions which, through reference in this text, constitute provisions of the present
`document.
`
`References are either specific (identified by date of publication, edition number, version number, etc.) or non-specific.
`
`For a specific reference, subsequent revisions do not apply.
`
`For a non-specific reference, the latest version applies.
`
`A non-specific reference to an ETS shall also be taken to refer to later versions published as an EN with the same
`number.
`
`[1]
`
`[2]
`
`[3]
`
`[4]
`
`[5]
`
`[6]
`
`[7]
`
`[8]
`
`[9]
`
`ETSI TC-SMG UMTS 22-01: “Services Principles“
`
`ETSI TC-SMG GSM 03.02
`
`ETSI TC-SMG GSM 03.60
`
`ETSI TC-SMG GSM 11.14
`
`ETSI TC-SMG GSM 30.01
`
`ETSI TC-SMG GSM 23.101.
`
`TG.3x6.
`
`UMTSYY.01, UE-UTRAN Radio Interface Protocol Architecture — Stage 2
`
`UMTSYY.03, Description of UE states and Procedures in Connected Mode
`
`3
`
`Definitions and abbreviations
`
`3.1
`
`Definitions
`
`Editors note : Reference to Definition document required.
`
`For the purposes of the present document, the [following] terms and definitions [given in
`
`and the following] apply.
`
`<defined term>: <definition>.
`
`example: text used to clarify abstract rules by applying them literally.
`
`3.2
`
`Abbreviations
`
`For the purposes of the present document, the following abbreviations apply:
`
`<ACRONYM> <EXplanation>
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00006
`
`

`
`3G TS 23.121 version 3.0.0
`
`7
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`4
`
`Working assumptions
`
`Information flows provided in this document are for information only. They do not constrain implementation.
`
`4.1
`
`General
`
`The phase 1 UMTS/Release ’99 GSM standards should provide the capability to support:
`
`0
`
`0
`
`0
`
`a core network based on an evolved 2G MSC and an evolved SGSN
`
`an optionally evolved Gs interface
`
`class A GSM’ mobiles.
`
`0 Transcoder location shall be according to 23.930
`
`0 UMTS/IMT2000 Phasel (Release 99) network architecture and standards shall allow the operator to choose
`between Integrated and Separated core networks for transmission (including L2)
`
`0 The UMTS standard shall allow for both separated and combined MSC/VLR and SGSN configurations.
`
`0 The UE shall be able to handle separated or combined MSCs and SGSNs.
`
`0 There can be several user planes to these CN nodes.
`
`The following general concepts should be followed :
`
`0
`
`Separate the layer 3 control signalling from the layer 2 transport discussion (do not optimise layer 3 for one
`layer 2 technology).
`
`0 MSC-MSC layer 3 call control is out of scope of standardisation in SMG.
`
`0 As future evolution may lead to the migration of some services from the CS-domain to the PS-domain without
`changes to the associated higher-layer protocols or functions. UMTS release 99 shall provide the flexibility to do
`this in a way that is backwards compatible with release 99 UEs provided this does not introduce significant new
`complexity or requirements in the system.
`
`4.2
`
`Iu Interface
`
`0 Transport protocol across the Iu interface for UTRAN shall be according to 23.930
`
`0 The UTRAN shall support two logically separate signalling flows via Iu to combined or separate network nodes
`of different types (MSC and SGSN).
`
`0 The UTRAN shall contain a “domain distribution function“ to route transparent application-level control
`signalling from the UE to the correct core network domain. The UE shall indicate the type of application being
`addressed (eg via a protocol discriminator). The UTRAN shall map this on to the correct Iu instance to forward
`the signalling.
`
`0 UTRAN-services (including radio access bearers) shall be independent from the core network domain used to
`access them. Either core network domain can access any appropriate UTRAN-service (eg it should be possible
`to access a “speech“ radio access bearer from the PS-domain).
`
`0 The protocol architecture for the User Plane of the Iu interface towards the IP domain shall be based on the same
`principles as for the (evolved) Gn interface, i.e. the user plane part of GTP over UDP/IP shall be used for
`tunneling of end user data packets over the Iu interface
`
`0 One or several AAL5/ATM Permanent VCs may be used as the common layer 2 resources between the UTRAN
`and the ‘IP domain‘ of the CN. The reason for usage of several permanent AAL5/ATM VCs may e. g. be for load
`sharing and redundancy. It is also possible to use one switched VC per user flow (PDP context or radio access
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00007
`
`

`
`3G TS 23.121 version 3.0.0
`
`8
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`bearer). Switched VCs may be used, however the standardization of the procedures and protocols for use of
`Switched VCs is outside the scope of the 3GPP. If operators use switched VC, the specification of procedures
`and protocol for switched VCs are up to operators and out of scope of the UMTS/IMT-2000 specification.
`
`
`
`Figure 1: Protocol Architecture for the lu user plane towards the IP domain
`
`Note: The termination point of the GTP-U tunnel in the IP domain of the Core Network is FFS.
`
`4.2.1
`
`lu Control Plane
`
`4211
`
`luamvmpmnemrcsdoman
`
`4212
`
`|ummUmpbnemrPDdoman
`
`RANAP
`
`N-Service Primitives
`SCCP-SAP
`Services of the signalling bearer
`
`J iiiiii "F*<?\*N?\*F‘*********************** "
`3 Adaptation Layer
`.
`l ——————————————————————— at
`sccP
`IETF-sigtran
`
`TCP/UDP
`
`IP
`
`MTP3-B
`
`Alternative 1
`
`Alternative 2
`
`Figure 2 SAP between RANAP and its transport for the lu IP domain
`
`Figure 2 shows, for the Iu IP domain, the point at which the service primitives are invoked. A single SAP is defined
`independently of the signalling bearer.
`
`The SAP provides the SCCP primitives.
`
`It is agreed to use the SCCP primitive between RANAP & its transport on the understanding that only the features of
`SCCP necessary for RANAP are used.
`
`The figure is not intended to constrain the architecture.
`
`For transport of RANAP messages over Iu an SCCP protocol shall be used for both packet and circuit switched
`domains. The SCCP protocol shall fully comply with ITU-T white book. RANAP protocol shall be designed to use this
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00008
`
`

`
`3G TS 23.121 Version 3.0.0
`
`9
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`service according to the ITU-T standard. Iu shall be designed so that RANAP is not impacted by alternatives for SCCP
`message transport on layers below SCCP.
`
`In the circuit switched domain SCCP messages shall be transported on a broadband SS7 stack comprising MTP3b on
`top of SAAL-NNI. In this domain no other alternatives are standardised in release -99.
`
`In the packet switched domain the UMTS standard shall allow operators to chose one out of two standardised protocol
`suites for transport of SCCP messages.
`
`Broadband SS7 stack comprising MTP3b on top of SAAL-NNI
`
`IETF/Sigtran CTP protocol suite for MTP3 users with adaptation to SCCP. The protocol suite shall fully comply with
`the IETF standards developed by the Sigtran working group. No UMTS specific adaptations shall be standardised
`below the SCCP protocol.
`
`The grey colour denotes protocols being developed by the IETF sigtran group.
`
`RANAP protocol stack options
`
`RANAP
`
`SCCP
`
`MTP-3b
`
`SAAL-NNI
`
`IP
`
`4.2.2
`
`Iu User plane
`
`0 The standard shall support that the user data flows transported over the Iu reference point to/from the ‘IP domain
`shall be multiplexed on top of common layer 2 resources.
`
`0 One or several AAL5/ATM Permanent VCs may be used as the common layer 2 resources between the UTRAN
`and the ‘IP domain‘ of the CN. The reason for usage of several permanent AAL5/ATM VCs may e.g. be for load
`sharing and redundancy. It is also possible to use one switched VC per user flow (PDP context or radio access
`bearer).
`
`0 A tunnelling protocol is used on top of this common layer 2. This tunnelling protocol corresponds to an
`evolution of the user plane part of the GTP protocol used in GPRS put on top of UDP/IP.
`
`0 The user data plane in the UMTS network is made up of two tunnels:
`
`0
`
`0
`
`a first IP/UDP/GTP tunnel between RNC and 3G SGSN on Iu
`
`a second IP/UDP/GTP tunnel between GGSN and 3G SGSN on Gn
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00009
`
`

`
`3G TS 23.121 version 3.0.0
`
`10
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`This architecture:
`
`0 Provides hierarchical mobility
`
`0 Allows having the RNC directly connected on the IP domain backbone
`
`0 Ensures that all traffic is routed through 3G- SGSN that may perform functions such as charging and Lawful
`Interception.
`
`0 Would allow to have different protocols (or protocol version) on Gn and Iu if needed in the future
`
`The protocol stack is shown in Figure 3.
`
`GTP-U
`
`GTP-U
`
`mm
`
`M”
`
`UE
`
`RNS
`
`3G—SGSN
`
`3G—GGSN
`
`E Protocol layers above RLC and GTP-U are FFS
`
`Figure 3: Protocol Architecture for IP domain user plane
`
`4.2.2.1
`
`Principles of User Data Retrieve in UMTS and at GSM-UMTS Hand-Over for
`PS Domain
`
`4.2.2.1.1
`
`Requirements for Data retrieve at GPRS/UMTS handover
`
`The same reliability as in inter 2G-SGSN RA update case has to be provided at GPRS to/from UMTS handover.
`Therefore, the data retrieval should be ensured between 2G-SGSN and SRNC as it is ensured between two 2G-SGSNs.
`
`Between two 2G- SGSNs, data retrieve is carried out via the Gn interface i.e. via GTP-ul/UDP/IP. In order that the 2G-
`SGSN is not modified for data retrieve with the SRNC, the 2G-SGSN should keep the same protocol stack.
`
`4.2.2.1.2
`
`Adopted solution for data retrieve at GPRS-UMTS handover
`
`. ), it is
`For Control Plane: Since some parameters transported by GTP-c are CN related only (e. g. CN classmark,. .
`necessary to terminate GTP-c signalling exchanged with the 2G- SGSN in the 3G- SGSN, and to use RANAP signalling
`on Iu between 3G- SGSN and SRNC.
`
`For User plane: As Charging of the retrieved data is to be carried out at 3G-SGSN, data exchanged between SRNC and
`2G-SGSN are handled by the 3G- SGSN (two GTP pipes: SRNC — 3G-SGSN and 3G- SGSN — 2G-SGSN ). This
`ensures that:
`
`0
`
`0
`
`3G-SGSN can increment charging counters for user data sent from 2G-SGSN to SRNC
`
`3G-SGSN can decrement charging counters for user data sent from SRNC to 2G-SGSN avoiding that such data
`are charged twice (in 3G-SGSN and in 2G- SGSN)
`
`1 GTP-u stands for GTP user plane protocol
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00010
`
`

`
`3G TS 23.121 version 3.0.0
`
`11
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`
`
`LLC
`
`RLC
`
`H
`
`Data retrieve via 3G-
`SGSN via two GTP
`pipes
`
`Figure 5: Data retrieve between GPRS and UMTS
`
`4.2.2.1.3
`
`Requirements for data retrieve in UMTS
`
`Note: this section deals with the case of SRNS relocation and of UMTS hard hand-over (when this hard hand-over
`involves also the CN i.e. involves a change of Serving RNC).
`
`Since,
`
`there is no buffering in the 3G-SGSN
`
`there is an ARQ mechanism in the Sewing RNC (the RLC layer) similar to the LLC layer in the 2G-SGSN,
`
`the data reliability is ensured by the transfer of non-acknowledged user data from the Source RNC to the Target RNC.
`This transfer ("data retrieve“) can be performed with a mechanism similar to the one used between 2G-SGSNs in
`GPRS.
`
`The Data retrieve between two RNCs belonging to the same UTRAN is required for non real-time data services during
`a SRNS relocation procedure.
`
`Regarding the SRNS Relocation procedure Control Plane, SRNS relocation procedure uses both RANAP signalling
`over the Iu and RNSAP signalling over the Iur.
`
`Regarding the user plane, some requirements can be listed:
`
`Synchronisation:
`
`Since the 3G-SGSN does not buffer downstream data, the source RNC may have to buffer all GTP frames that are not
`yet transmitted or acknowledged at RLC layer. It also has to buffer all GTP frames that continue to arrive from the
`GGSN (the GGSN continues to send them to the source RNC as long as its PDP context has not been updated by the
`SGSN. Furthermore, data that are sent by the GGSN may take a certain time to get to the source RNC).
`
`This means that:
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00011
`
`

`
`3G TS 23.121 version 3.0.0
`
`12
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`The target RNC has to start as Serving RNC just after having received SRNS Relocation Commit message from the
`source RNC even if all downstream data have not been retrieved yet.
`
`The user data retrieve may last a relatively long time. A timer is armed in the Source SRNC at the beginning of the data
`transfer phase. The contexts related to the UE in the Source SNRC will be released when the timer expires, i.e. when
`downstream data from GGSN is considered as finished.
`
`Data reliability:
`
`Depending upon the required reliability, there could be a need for a layer 2 protocol or not. In the GPRS, the user data
`is transfer via GTP/UPD/IP if the user-to-user data is IP-based, and via GTP/TCP/IP if the user-to-user data is X25-
`based. Here, only GTP/UDP/IP is considered.
`
`Multiplexing of PDP contexts during data retrieve:
`
`Several SRNS Relocation procedures for different users and/or different bearers may be canied out simultaneously and
`independently. GTP is used to differentiate the data retrieve contexts.
`
`Associated signalling:
`
`Considering signalling, there are two kinds of signalling:
`
`Signalling linked with transmission of CN parameters. This corresponds to signalling exchanged on Gn between 3G-
`SGSNs during the (first) phase of resources for the SRNS relocation.
`
`Signalling linked with the transmission of the sequence numbers of the acknowledged protocol (RLC) between SRNC
`and UE. This can be done over Iur when the source SRNC actually hands-over the role of SRNC (when sending the
`RNSAP “Relocation commit” to the target SRNS).
`
`4.2.2.1.4
`
`Adopted solution for data retrieve in UMTS
`
`Data Retrieve procedure at SRNS relocation shall be carried out through the Iu interface: data exchanged between
`source and target SRNC are handled by the 3G-SGSN (3 GTP pipes: source SRNC — source 3G-SGSN, source 3G-
`SGSN — destination 3G- SG SN and destination 3G- SG SN — destination SRNC).
`
`Source 3G-SGSN has to decrement charging counters for user data sent from SRNC to 2G-SGSN avoiding that such
`data are charged twice (in 3G-SGSN and in 2G-SGSN).
`
`
`
`RLC
`
`RLC
`
`data retrieve via 3G-SGSN
`
`Figure 6: User data Retrieve in UMTS
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00012
`
`

`
`3G TS 23.121 version 3.0.0
`
`13
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`4.2.2.1.5
`
`User plane protocol stacks for UMTS data retrieve
`
`The user plane for data retrieve between two RNCs is based on GTP-u/UDP/IP. The GTP connections terminated in the
`3G-SGSNs as described in the following figure.
`
`Source
`
`3G-SGSN
`
`3G-SGSN
`
`Target
`
`
`
`Figure 7: User plane protocol stack for data retrieve in UMTS
`
`4.2.2.1.6
`
`User plane protocol stacks for data retrieve between UTRAN and 2G-SGSN
`
`The user plane for data retrieve between UTRAN and 2G-SGSN is based on GTP-u/UDP/IP. The protocol stack and
`the GTP connections termination points are described in the following figure.
`
`SRNC
`
`3G-SGSN
`
`2G-SGSN
`
`
`
`Figure 8: User plane protocol stack for data retrieve between GPRS and UMTS
`
`4.2.2.2
`
`Packet buffering in SRNC and transmission of not yet acknowledged
`downstream packets at SRNC relocation
`
`Due to the bursty nature of IP traffic and due to the limited amount of downstream radio resources, some (large)
`buffering capacity is needed in the network to absorb the traffic peaks that arrive as there are not enough radio
`resources to send them to the UE(s). Only this kind of buffering is considered in the rest of this section.
`
`Large buffering capacity in both CN and SRNC would add to the:
`
`-
`
`cost of the network (duplication of memory resources)
`
`transit delay (packets may have to stay in 2 large queues)
`
`ETSI
`
`ZTE Corporation and ZTE (USA) Inc.
`Exhibit 1006.04-00013
`
`

`
`3G TS 23.121 version 3.0.0
`
`14
`
`3G TS 23.121 V3.0.0 (1999-07)
`
`complexity of the system (coordination between CN and SRNC for buffer management and associated packet
`scheduling