3GPP TS 36.300 V8.1.0 (2007-06)
`
`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 1042-0001
`
`

`
`
`Release 8
`
`2
`
`3GPP TS 36.300 V8.1.0 (2007-06)
`
`Keywords
`UMTS, stage 2, radio, architecture
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`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 1042-0002
`
`

`
`
`Release 8
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`3
`
`3GPP TS 36.300 V8.1.0 (2007-06)
`
`Contents
`
`Foreword ............................................................................................................................................................ 9
`1
`Scope ...................................................................................................................................................... 10
`2
`References .............................................................................................................................................. 10
`3
`Definitions, symbols and abbreviations ................................................................................................. 10
`3.1
`Definitions ........................................................................................................................................................... 10
`3.2
`Abbreviations ...................................................................................................................................................... 11
`4
`Overall architecture ................................................................................................................................ 12
`4.1
`Functional Split ................................................................................................................................................... 13
`4.2
`Interfaces ............................................................................................................................................................. 14
`4.2.1
`S1 Interface .................................................................................................................................................... 14
`4.2.2
`X2 Interface ................................................................................................................................................... 14
`4.3
`Radio Protocol architecture ................................................................................................................................ 14
`4.3.1
`User plane ...................................................................................................................................................... 14
`4.3.2
`Control plane ................................................................................................................................................. 15
`4.4
`Synchronization ................................................................................................................................................... 16
`4.5
` IP fragmentation ................................................................................................................................................. 16
`5
`Physical Layer for E-UTRA ................................................................................................................... 16
`5.1
`Downlink Transmission Scheme ........................................................................................................................ 17
`5.1.1
`Basic transmission scheme based on OFDM................................................................................................ 17
`5.1.2
` Physical-layer processing ............................................................................................................................. 17
`5.1.3
`Physical downlink control channel ............................................................................................................... 18
`5.1.4
`Downlink Reference signal ........................................................................................................................... 18
`5.1.5
`Downlink multi-antenna transmission .......................................................................................................... 18
`5.1.6
`MBSFN transmission .................................................................................................................................... 19
`5.1.7
`Physical layer procedure ............................................................................................................................... 19
`5.1.7.1
`Link adaptation ........................................................................................................................................ 19
`5.1.7.2
`Power Control .......................................................................................................................................... 19
`5.1.7.3
`Cell search ............................................................................................................................................... 19
`5.1.8
`Physical layer measurements definition ....................................................................................................... 19
`5.2
`Uplink Transmission Scheme ............................................................................................................................. 19
`5.2.1
`Basic transmission scheme ............................................................................................................................ 19
`5.2.2
` Physical-layer processing ............................................................................................................................. 20
`5.2.3
`Physical uplink control channel .................................................................................................................... 20
`5.2.4
`Uplink Reference signal ................................................................................................................................ 21
`5.2.5
`Random access preamble .............................................................................................................................. 21
`5.2.6
`Uplink multi-antenna transmission ............................................................................................................... 21
`5.2.7
`Physical channel procedure ........................................................................................................................... 21
`5.2.7.1
`Link adaptation ........................................................................................................................................ 21
`5.2.7.2
`Uplink Power control .............................................................................................................................. 21
`5.2.7.3
`Uplink timing control .............................................................................................................................. 21
`5.3
`Transport Channels ............................................................................................................................................. 22
`5.3.1
`Mapping between transport channels and physical channels ....................................................................... 23
`5.4
`E-UTRA physical layer model ............................................................................................................................ 23
`5.4.1
`Physical-layer model of E-UTRA transport channels .................................................................................. 24
`5.4.1.1
`Downlink-Shared Channel ...................................................................................................................... 24
`5.4.1.2
`Broadcast Channel ................................................................................................................................... 25
`5.4.1.3
`Paging Channel ........................................................................................................................................ 26
`5.4.1.4
`Multicast Channel .................................................................................................................................... 27
`5.4.1.5
`Uplink Shared Channel............................................................................................................................ 28
`5.4.1.6
`Random-access Channel .......................................................................................................................... 29
`5.4.2
`Physical-layer indications ............................................................................................................................. 29
`5.4.2.1
`Error indicators ........................................................................................................................................ 30
`5.4.2.2
`Channel-quality indicators ...................................................................................................................... 30
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`3GPP
`
`ZTE/HTC
`Exhibit 1042-0003
`
`

`
`
`Release 8
`
`4
`
`3GPP TS 36.300 V8.1.0 (2007-06)
`
`Layer 2 ................................................................................................................................................... 30
`6
`MAC Sublayer .................................................................................................................................................... 31
`6.1
`Services and Functions .................................................................................................................................. 31
`6.1.1
`Logical Channels ........................................................................................................................................... 31
`6.1.2
`Control Channels ............................................................................................................................... 32
`6.1.2.1
`Traffic Channels ...................................................................................................................................... 32
`6.1.2.2
`Mapping between logical channels and transport channels ......................................................................... 32
`6.1.3
`Mapping in Uplink................................................................................................................................... 32
`6.1.3.1
`Mapping in Downlink .............................................................................................................................. 33
`6.1.3.2
`RLC Sublayer ...................................................................................................................................................... 34
`6.2
`Services and Functions .................................................................................................................................. 34
`6.2.1
`PDU Structure ............................................................................................................................................... 34
`6.2.2
`PDCP Sublayer .................................................................................................................................................... 35
`6.3
`Services and Functions .................................................................................................................................. 35
`6.3.1
`PDU Structure ............................................................................................................................................... 35
`6.3.2
`Data flows through Layer 2 ................................................................................................................................ 36
`6.4
`RRC ........................................................................................................................................................ 36
`7
`Services and Functions ....................................................................................................................................... 36
`7.1
`RRC protocol states & state transitions .............................................................................................................. 36
`7.2
`Transport of NAS messages ............................................................................................................................... 37
`7.3
`System Information ............................................................................................................................................. 37
`7.4
`RRC Procedures .................................................................................................................................................. 38
`7.5
`E-UTRAN identities ............................................................................................................................... 38
`8
`E-UTRAN related UE identities ......................................................................................................................... 38
`8.1
`Network entity related Identities ........................................................................................................................ 38
`8.2
`ARQ and HARQ .................................................................................................................................... 39
`9
`HARQ principles ................................................................................................................................................. 39
`9.1
`ARQ principles .................................................................................................................................................... 40
`9.2
`HARQ/ARQ interactions .................................................................................................................................... 40
`9.3
`10 Mobility .................................................................................................................................................. 40
`10.1
`Intra E-UTRAN ................................................................................................................................................... 40
`10.1.1
`Mobility Management in LTE_IDLE ........................................................................................................... 41
`10.1.1.1
`Cell selection ........................................................................................................................................... 41
`10.1.1.2
`Cell reselection ........................................................................................................................................ 41
`10.1.1.3
`Handling in eNB ...................................................................................................................................... 42
`10.1.1.4
`Handling above eNB ............................................................................................................................... 42
`10.1.1.5
`Mobility Management Entity (MME) ..................................................................................................... 42
`10.1.2
`Mobility Management in LTE_ACTIVE ..................................................................................................... 42
`10.1.2.1
`Handover .................................................................................................................................................. 42
`10.1.2.1.1
`C-plane handling ................................................................................................................................ 43
`10.1.2.1.2
`U-plane handling ..................................................................................................................................... 45
`10.1.2.2
`Path Switch .............................................................................................................................................. 46
`10.1.2.3
`Data forwarding ....................................................................................................................................... 46
`10.1.2.4
`Handling in eNB ...................................................................................................................................... 46
`10.1.2.5
`Handling above eNB ............................................................................................................................... 46
`10.1.2.6
`Mobility Management Entity (MME) ..................................................................................................... 46
`10.1.2.7
`Timing Advance ...................................................................................................................................... 46
`10.1.3
`Measurements ................................................................................................................................................ 47
`10.1.3.1
`Intra-frequency neighbour (cell) measurements ..................................................................................... 48
`10.1.3.2
`Inter-frequency neighbour (cell) measurements ..................................................................................... 48
`10.1.4
`Paging and C-plane establishment ................................................................................................................ 48
`10.1.5
`Random Access Procedure ............................................................................................................................ 48
`10.1.5.1
`Contention based random access procedure ........................................................................................... 49
`10.1.5.2
`Non-contention based random access procedure .................................................................................... 50
`10.1.5.3
`Interaction model between L1 and L2/3 for Random Access Procedure ............................................... 51
`10.1.6
`Radio Link Failure......................................................................................................................................... 51
`10.1.7
`Radio Access Network Sharing .................................................................................................................... 52
`10.1.8
`Handling of Roaming and Area Restrictions for UEs in LTE_ACTIVE .................................................... 53
`10.2
`Inter RAT ............................................................................................................................................................ 53
`
`3GPP
`
`ZTE/HTC
`Exhibit 1042-0004
`
`

`
`
`Release 8
`
`5
`
`3GPP TS 36.300 V8.1.0 (2007-06)
`
`Cell reselection .............................................................................................................................................. 53
`10.2.1
`Handover ....................................................................................................................................................... 54
`10.2.2
`Measurements ................................................................................................................................................ 54
`10.2.3
`Inter-RAT handovers from E-UTRAN ................................................................................................... 54
`10.2.3.1
`Inter-RAT handovers to E-UTRAN ........................................................................................................ 54
`10.2.3.2
`Inter-RAT cell reselection from E-UTRAN ........................................................................................... 55
`10.2.3.3
`Limiting measurement load at UE .......................................................................................................... 55
`10.2.3.4
`Network Aspects ........................................................................................................................................... 55
`10.2.4
`Inter 3GPP access system mobility..................................................................................................................... 55
`10.3
`Cell reselection .............................................................................................................................................. 55
`10.3.1
`Handover ....................................................................................................................................................... 55
`10.3.2
`Measurements ................................................................................................................................................ 55
`10.3.3
`Area Restrictions ................................................................................................................................................. 55
`10.4
`Scheduling and Rate Control .................................................................................................................. 55
`11
`Basic Scheduler Operation .................................................................................................................................. 56
`11.1
`Downlink Scheduling .................................................................................................................................... 56
`11.1.1
`Uplink Scheduling ......................................................................................................................................... 56
`11.1.2
`Void ..................................................................................................................................................................... 56
`11.2
`Measurements to Support Scheduler Operation ................................................................................................. 56
`11.3
`Rate Control of GBR, MBR, and AMBR ........................................................................................................... 57
`11.4
`Downlink ....................................................................................................................................................... 57
`11.4.1
`Uplink ............................................................................................................................................................ 57
`11.4.2
`12 DRX in RRC_CONNECTED ................................................................................................................ 57
`13 QoS ......................................................................................................................................................... 58
`13.1
`QoS concept and bearer service architecture ...................................................................................................... 58
`13.2
`Resource establishment and QoS signalling ....................................................................................................... 59
`14
`Security .................................................................................................................................................. 59
`14.1
`Overview and Principles ..................................................................................................................................... 59
`14.2
`Security termination points ................................................................................................................................. 60
`15 MBMS .................................................................................................................................................... 60
`15.1
`General ................................................................................................................................................................ 61
`15.2
`MBMS Cells ........................................................................................................................................................ 62
`15.2.1
`MBMS-dedicated cell ................................................................................................................................... 62
`15.2.2
`MBMS/Unicast-mixed cell ........................................................................................................................... 62
`15.3
`MBMS Transmission .......................................................................................................................................... 63
`15.3.1
`General ........................................................................................................................................................... 63
`15.3.2
`Single-cell transmission ................................................................................................................................ 63
`15.3.3
`Multi-cell transmission .................................................................................................................................. 63
`15.3.4
`MBMS Reception States ............................................................................................................................... 64
`16 Radio Resource Management aspects .................................................................................................... 65
`16.1
`RRM functions .................................................................................................................................................... 65
`16.1.1
`Radio Bearer Control (RBC) ......................................................................................................................... 65
`16.1.2
`Radio Admission Control (RAC) .................................................................................................................. 65
`16.1.3
`Connection Mobility Control (CMC) ........................................................................................................... 65
`16.1.4
`Dynamic Resource Allocation (DRA) - Packet Scheduling (PS) ................................................................ 65
`16.1.5
`Inter-cell Interference Coordination (ICIC) .................................................................................................. 66
`16.1.6
`Load Balancing (LB) ..................................................................................................................................... 66
`16.1.7
`Inter-RAT Radio Resource Management ..................................................................................................... 66
`16.2
`RRM architecture ................................................................................................................................................ 66
`16.2.1
`Centralised Handling of certain RRM Functions ......................................................................................... 66
`16.2.2
`De-Centralised RRM ..................................................................................................................................... 66
`16.2.3
`Load balancing control .................................................................................................................................. 66
`17 RF aspects .............................................................................................................................................. 66
`17.1
`Spectrum deployments ........................................................................................................................................ 66
`
`3GPP
`
`ZTE/HTC
`Exhibit 1042-0005
`
`

`
`
`Release 8
`
`6
`
`3GPP TS 36.300 V8.1.0 (2007-06)
`
`18 UE capabilities ....................................................................................................................................... 66
`19
`S1 Interface ............................................................................................................................................ 67
`19.1
`S1 User plane ...................................................................................................................................................... 67
`19.2
`S1 Control Plane ................................................................................................................................................. 67
`19.2.1
`S1 Interface Functions ................................................................................................................................... 68
`19.2.1.1
`S1 Paging function................................................................................................................................... 68
`19.2.1.2
`S1 UE Context Management function .................................................................................................... 68
`19.2.1.3
`Initial Context Setup Function ................................................................................................................ 68
`19.2.1.4
`Mobility Functions for UEs in LTE_ACTIVE ....................................................................................... 69
`19.2.1.4.1
`Intra-LTE Handover .......................................................................................................................... 69
`19.2.1.4.2
` Inter-3GPP-RAT Handover .............................................................................................................. 69
`19.2.1.5
`SAE Bearer Service Management function ............................................................................................ 69
`19.2.1.6
`NAS Signalling Transport function ........................................................................................................ 69
`19.2.1.7
` NAS Node Selection Function ............................................................................................................... 69
`19.2.2
`S1 Interface Signalling Procedures ............................................................................................................... 69
`19.2.2.1
`Paging procedure ..................................................................................................................................... 70
`19.2.2.2
`S1 UE Context Release procedure .......................................................................................................... 70
`19.2.2.2.1
`S1 UE Context Release (EPC triggered) ........................................................................................... 70
`19.2.2.2.2
`S1 UE Context Release Request (eNB triggered) ............................................................................. 71
`19.2.2.3
`Initial Context Setup procedure............................................................................................................... 71
`19.2.2.4
`SAE Bearer signalling procedures .......................................................................................................... 72
`19.2.2.4.1
`SAE Bearer Setup procedure ............................................................................................................. 72
`19.2.2.4.2
`SAE Bearer Modification procedure ................................................................................................. 73
`19.2.2.4.3
`SAE Bearer Release procedure (MME initiated) .............................................................................. 73
`19.2.2.4.4
`SAE Bearer Release procedure (eNB initiated) ................................................................................ 74
`19.2.2.5
`Handover signalling procedures ......................................