`
`Technical Specification
`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`Evolved Universal Terrestrial Radio Access (E-UTRA)
`and Evolved Universal Terrestrial Radio Access Network
`(E-UTRAN);
`Overall description;
`Stage 2
`(Release 8)
`
`
`
`The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP.
`
`
`The present document has not been subject to any approval process by the 3GPP Organizational Partners and shall not be implemented.
`
`This Specification is provided for future development work within 3GPP only. The Organizational Partners accept no liability for any use of this Specification.
`Specifications and reports for implementation of the 3GPP TM system should be obtained via the 3GPP Organizational Partners' Publications Offices.
`
`ZTE/HTC
`Exhibit 1041-0001
`
`
`
`
`Release 8
`
`2
`
`3GPP TS 36.300 V8.2.0 (2007-09)
`
`Keywords
`UMTS, stage 2, radio, architecture
`
`
`
`
`
`3GPP
`
`Postal address
`
`
`3GPP support office address
`650 Route des Lucioles - Sophia Antipolis
`Valbonne - FRANCE
`Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
`
`Internet
`http://www.3gpp.org
`
`Copyright Notification
`
`No part may be reproduced except as authorized by written permission.
`The copyright and the foregoing restriction extend to reproduction in all media.
`
`© 2007, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TTA, TTC).
`All rights reserved.
`
`
`3GPP
`
`ZTE/HTC
`Exhibit 1041-0002
`
`
`
`
`Release 8
`
`3
`
`3GPP TS 36.300 V8.2.0 (2007-09)
`
`Contents
`
`Foreword ............................................................................................................................................................ 9
`1
`Scope ...................................................................................................................................................... 10
`2
`References .............................................................................................................................................. 10
`3
`Definitions, symbols and abbreviations ................................................................................................. 11
`3.1
`Definitions ........................................................................................................................................................... 11
`3.2
`Abbreviations ...................................................................................................................................................... 11
`4
`Overall architecture ................................................................................................................................ 13
`4.1
`Functional Split ................................................................................................................................................... 13
`4.2
`Interfaces ............................................................................................................................................................. 15
`4.2.1
`S1 Interface .................................................................................................................................................... 15
`4.2.2
`X2 Interface ................................................................................................................................................... 15
`4.3
`Radio Protocol architecture ................................................................................................................................ 15
`4.3.1
`User plane ...................................................................................................................................................... 15
`4.3.2
`Control plane ................................................................................................................................................. 16
`4.4
`Synchronization ................................................................................................................................................... 17
`4.5
` IP fragmentation ................................................................................................................................................. 17
`5
`Physical Layer for E-UTRA ................................................................................................................... 17
`5.1
`Downlink Transmission Scheme ........................................................................................................................ 19
`5.1.1
`Basic transmission scheme based on OFDM................................................................................................ 19
`5.1.2
` Physical-layer processing ............................................................................................................................. 19
`5.1.3
`Physical downlink control channel ............................................................................................................... 19
`5.1.4
`Downlink Reference signal ........................................................................................................................... 20
`5.1.5
`Downlink multi-antenna transmission .......................................................................................................... 20
`5.1.6
`MBSFN transmission .................................................................................................................................... 20
`5.1.7
`Physical layer procedure ............................................................................................................................... 21
`5.1.7.1
`Link adaptation ........................................................................................................................................ 21
`5.1.7.2
`Power Control .......................................................................................................................................... 21
`5.1.7.3
`Cell search ............................................................................................................................................... 21
`5.1.8
`Physical layer measurements definition ....................................................................................................... 21
`5.2
`Uplink Transmission Scheme ............................................................................................................................. 21
`5.2.1
`Basic transmission scheme ............................................................................................................................ 21
`5.2.2
` Physical-layer processing ............................................................................................................................. 22
`5.2.3
`Physical uplink control channel .................................................................................................................... 22
`5.2.4
`Uplink Reference signal ................................................................................................................................ 23
`5.2.5
`Random access preamble .............................................................................................................................. 23
`5.2.6
`Uplink multi-antenna transmission ............................................................................................................... 23
`5.2.7
`Physical channel procedure ........................................................................................................................... 23
`5.2.7.1
`Link adaptation ........................................................................................................................................ 23
`5.2.7.2
`Uplink Power control .............................................................................................................................. 23
`5.2.7.3
`Uplink timing control .............................................................................................................................. 23
`5.3
`Transport Channels ............................................................................................................................................. 24
`5.3.1
`Mapping between transport channels and physical channels ....................................................................... 25
`5.4
`E-UTRA physical layer model ............................................................................................................................ 25
`5.4.1
`Void ............................................................................................................................................................... 25
`5.4.2
`Void ............................................................................................................................................................... 25
`6
`Layer 2 ................................................................................................................................................... 25
`6.1
`MAC Sublayer .................................................................................................................................................... 27
`6.1.1
`Services and Functions .................................................................................................................................. 27
`6.1.2
`Logical Channels ........................................................................................................................................... 27
`6.1.2.1
`Control Channels ............................................................................................................................... 27
`6.1.2.2
`Traffic Channels ...................................................................................................................................... 28
`6.1.3
`Mapping between logical channels and transport channels ......................................................................... 28
`6.1.3.1
`Mapping in Uplink................................................................................................................................... 28
`
`3GPP
`
`ZTE/HTC
`Exhibit 1041-0003
`
`
`
`
`Release 8
`
`4
`
`3GPP TS 36.300 V8.2.0 (2007-09)
`
`Mapping in Downlink .............................................................................................................................. 28
`6.1.3.2
`RLC Sublayer ...................................................................................................................................................... 29
`6.2
`Services and Functions .................................................................................................................................. 29
`6.2.1
`PDU Structure ............................................................................................................................................... 30
`6.2.2
`PDCP Sublayer .................................................................................................................................................... 30
`6.3
`Services and Functions .................................................................................................................................. 30
`6.3.1
`PDU Structure ............................................................................................................................................... 31
`6.3.2
`Data flows through Layer 2 ................................................................................................................................ 31
`6.4
`RRC ........................................................................................................................................................ 31
`7
`Services and Functions ....................................................................................................................................... 31
`7.1
`RRC protocol states & state transitions .............................................................................................................. 32
`7.2
`Transport of NAS messages ............................................................................................................................... 32
`7.3
`System Information ............................................................................................................................................. 33
`7.4
`RRC Procedures .................................................................................................................................................. 34
`7.5
`E-UTRAN identities ............................................................................................................................... 34
`8
`E-UTRAN related UE identities ......................................................................................................................... 34
`8.1
`Network entity related Identities ........................................................................................................................ 34
`8.2
`ARQ and HARQ .................................................................................................................................... 35
`9
`HARQ principles ................................................................................................................................................. 35
`9.1
`ARQ principles .................................................................................................................................................... 35
`9.2
`HARQ/ARQ interactions .................................................................................................................................... 36
`9.3
`10 Mobility .................................................................................................................................................. 36
`10.1
`Intra E-UTRAN ................................................................................................................................................... 36
`10.1.1
`Mobility Management in LTE_IDLE ........................................................................................................... 36
`10.1.1.1
`Cell selection ........................................................................................................................................... 36
`10.1.1.2
`Cell reselection ........................................................................................................................................ 37
`10.1.1.3
`Handling in eNB ...................................................................................................................................... 38
`10.1.1.4
`Handling above eNB ............................................................................................................................... 38
`10.1.1.5
`Mobility Management Entity (MME) ..................................................................................................... 38
`10.1.2
`Mobility Management in LTE_ACTIVE ..................................................................................................... 38
`10.1.2.1
`Handover .................................................................................................................................................. 38
`10.1.2.1.1
`C-plane handling ................................................................................................................................ 38
`10.1.2.1.2
`U-plane handling ..................................................................................................................................... 41
`10.1.2.2
`Path Switch .............................................................................................................................................. 41
`10.1.2.3
`Data forwarding ....................................................................................................................................... 41
`10.1.2.4
`Handling in eNB ...................................................................................................................................... 42
`10.1.2.5
`Handling above eNB ............................................................................................................................... 42
`10.1.2.6
`Mobility Management Entity (MME) ..................................................................................................... 42
`10.1.2.7
`Timing Advance ...................................................................................................................................... 42
`10.1.3
`Measurements ................................................................................................................................................ 42
`10.1.3.1
`Intra-frequency neighbour (cell) measurements ..................................................................................... 43
`10.1.3.2
`Inter-frequency neighbour (cell) measurements ..................................................................................... 43
`10.1.4
`Paging and C-plane establishment ................................................................................................................ 44
`10.1.5
`Random Access Procedure ............................................................................................................................ 44
`10.1.5.1
`Contention based random access procedure ........................................................................................... 44
`10.1.5.2
`Non-contention based random access procedure .................................................................................... 46
`10.1.5.3
`Interaction model between L1 and L2/3 for Random Access Procedure ............................................... 47
`10.1.6
`Radio Link Failure......................................................................................................................................... 47
`10.1.7
`Radio Access Network Sharing .................................................................................................................... 48
`10.1.8
`Handling of Roaming and Area Restrictions for UEs in LTE_ACTIVE .................................................... 49
`10.2
`Inter RAT ............................................................................................................................................................ 49
`10.2.1
`Cell reselection .............................................................................................................................................. 49
`10.2.2
`Handover ....................................................................................................................................................... 49
`10.2.2a
`Inter-RAT cell change order to GERAN with NACC.................................................................................. 50
`10.2.3
`Measurements ................................................................................................................................................ 50
`10.2.3.1
`Inter-RAT handovers from E-UTRAN ................................................................................................... 50
`10.2.3.2
`Inter-RAT handovers to E-UTRAN ........................................................................................................ 50
`10.2.3.3
`Inter-RAT cell reselection from E-UTRAN ........................................................................................... 51
`10.2.3.4
`Limiting measurement load at UE .......................................................................................................... 51
`
`3GPP
`
`ZTE/HTC
`Exhibit 1041-0004
`
`
`
`
`Release 8
`
`5
`
`3GPP TS 36.300 V8.2.0 (2007-09)
`
`Network Aspects ........................................................................................................................................... 51
`10.2.4
`Inter 3GPP access system mobility..................................................................................................................... 51
`10.3
`Cell reselection .............................................................................................................................................. 51
`10.3.1
`Handover ....................................................................................................................................................... 51
`10.3.2
`Measurements ................................................................................................................................................ 51
`10.3.3
`Area Restrictions ................................................................................................................................................. 51
`10.4
`Scheduling and Rate Control .................................................................................................................. 51
`11
`Basic Scheduler Operation .................................................................................................................................. 52
`11.1
`Downlink Scheduling .................................................................................................................................... 52
`11.1.1
`Uplink Scheduling ......................................................................................................................................... 52
`11.1.2
`Void ..................................................................................................................................................................... 52
`11.2
`Measurements to Support Scheduler Operation ................................................................................................. 52
`11.3
`Rate Control of GBR, MBR, and AMBR ........................................................................................................... 53
`11.4
`Downlink ....................................................................................................................................................... 53
`11.4.1
`Uplink ............................................................................................................................................................ 53
`11.4.2
`CQI reporting for Scheduling ............................................................................................................................. 53
`11.5
`12 DRX in RRC_CONNECTED ................................................................................................................ 54
`13 QoS ......................................................................................................................................................... 55
`13.1
`QoS concept and bearer service architecture ...................................................................................................... 55
`13.2
`Resource establishment and QoS signalling ....................................................................................................... 56
`14
`Security .................................................................................................................................................. 56
`14.1
`Overview and Principles ..................................................................................................................................... 56
`14.2
`Security termination points ................................................................................................................................. 57
`15 MBMS .................................................................................................................................................... 57
`15.1
`General ................................................................................................................................................................ 58
`15.1.1
`E-MBMS Logical Architecture ..................................................................................................................... 58
`15.1.2
`E-MBMS User Plane Protocol Architecture ................................................................................................. 60
`15.2
`MBMS Cells ........................................................................................................................................................ 61
`15.2.1
`MBMS-dedicated cell ................................................................................................................................... 61
`15.2.2
`MBMS/Unicast-mixed cell ........................................................................................................................... 61
`15.3
`MBMS Transmission .......................................................................................................................................... 61
`15.3.1
`General ........................................................................................................................................................... 61
`15.3.2
`Single-cell transmission ................................................................................................................................ 61
`15.3.3
`Multi-cell transmission .................................................................................................................................. 62
`15.3.4
`MBMS Reception States ............................................................................................................................... 63
`15.3.5
`MCCH Structure ............................................................................................................................................ 63
`15.4
`Service Continuity ............................................................................................................................................... 63
`16 Radio Resource Management aspects .................................................................................................... 64
`16.1
`RRM functions .................................................................................................................................................... 64
`16.1.1
`Radio Bearer Control (RBC) ......................................................................................................................... 64
`16.1.2
`Radio Admission Control (RAC) .................................................................................................................. 64
`16.1.3
`Connection Mobility Control (CMC) ........................................................................................................... 64
`16.1.4
`Dynamic Resource Allocation (DRA) - Packet Scheduling (PS) ................................................................ 64
`16.1.5
`Inter-cell Interference Coordination (ICIC) .................................................................................................. 65
`16.1.6
`Load Balancing (LB) ..................................................................................................................................... 65
`16.1.7
`Inter-RAT Radio Resource Management ..................................................................................................... 65
`16.2
`RRM architecture ................................................................................................................................................ 65
`16.2.1
`Centralised Handling of certain RRM Functions ......................................................................................... 65
`16.2.2
`De-Centralised RRM ..................................................................................................................................... 65
`16.2.3
`Load balancing control .................................................................................................................................. 65
`17 RF aspects .............................................................................................................................................. 65
`17.1
`Spectrum deployments ........................................................................................................................................ 65
`18 UE capabilities ....................................................................................................................................... 65
`19
`S1 Interface ............................................................................................................................................ 66
`19.1
`S1 User plane ...................................................................................................................................................... 66
`19.2
`S1 Control Plane ................................................................................................................................................. 66
`
`3GPP
`
`ZTE/HTC
`Exhibit 1041-0005
`
`
`
`
`Release 8
`
`6
`
`3GPP TS 36.300 V8.2.0 (2007-09)
`
`S1 Interface Functions ................................................................................................................................... 67
`19.2.1
`S1 Paging function................................................................................................................................... 67
`19.2.1.1
`S1 UE Context Management function .................................................................................................... 67
`19.2.1.2
`Initial Context Setup Function ................................................................................................................ 67
`19.2.1.3
`Mobility Functions for UEs in LTE_ACTIVE ....................................................................................... 68
`19.2.1.4
`Intra-LTE Handover .......................................................................................................................... 68
`19.2.1.4.1
` Inter-3GPP-RAT Handover .............................................................................................................. 68
`19.2.1.4.2
`SAE Bearer Service Management function ............................................................................................ 68
`19.2.1.5
`NAS Signalling Transport function ........................................................................................................ 68
`19.2.1.6
` NAS Node Selection Function ............................................................................................................... 68
`19.2.1.7
`S1-interface management functions ........................................................................................................ 68
`19.2.1.8
`S1 Interface Signalling Procedures ............................................................................................................... 68
`19.2.2
`Paging procedure ..................................................................................................................................... 69
`19.2.2.1
`S1 UE Context Release procedure .......................................................................................................... 69
`19.2.2.2
`S1 UE Context Release (EPC triggered) ........................................................................................... 70
`19.2.2.2.1
`S1 UE Context Release Request (eNB triggered) ............................................................................. 70
`19.2.2.2.2
`Initial Context Setup procedure............................................................................................................... 70
`19.2.2.3
`SAE Bearer signalling procedures .......................................................................................................... 71
`19.2.2.4
`SAE Bearer Setup procedure ............................................................................................................. 71
`19.2.2.4.1
`SAE Bearer Modification procedure ................................................................................................. 72
`19.2.2.4.2
`SAE Bearer Release procedure (MME initiated) .............................................................................. 73
`19.2.2.4.3
`SAE Bearer Release procedure (eNB initiated) ................................................................................ 73
`19.2.2.4.4
`Handover signalling procedures .............................................................................................................. 74
`19.2.2.5
`Handover Preparation procedure ..............................