3GPP TS 36.321 V8.2.0 eoos-os)
`
`Technical Specification
`
`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`Evolved Universal Terrestrial Radio Access (E-UTRA)
`Medium Access Control (MAC) protocol specification
`(Release 8)
`
`aa?
`
`The present document has been developed within the i"Generation Partnership Project (JGl'P"') and may be further elaborated for the purposes of3GPP
`The piesenl document has not been subject toany approval process byIhc J(jPPOtt;ani?anonal Panners and shall not beimplemented
`This Specification Is provided for future development work within JGPP only The Organizational Partners accept no liability for any use ofthis Specification
`Specifications and reports for implementation ofthe JGPP'" system should be obtained via the JGPP Otsani/ationul Partners' Publications Offices
`~~~~
`Evolved Wireless, LLC Exhibit 2006 - 001
`Apple/Microsoft v. Evolved Wireless IPR2016-01229
`
`

`
`Release 8
`
`SGPP TS 36.321 V8.2.0 (2008-D5}
`
`Keywords
`UMTS. radio
`
`3GPF'
`
`Postal address
`
`JGPP support officc addrtss
`650 Route des Luoioles - Sophia Antipolis
`Valbonne - FRANCE
`TEL‘. +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
`
`lntcmet
`
`httpt.-fi'www.3gpp.org
`
`Copyright Notification
`
`No part may but reproduced except as autho1'i?.cd by written pcnnission.
`The copyright and the foregoing restriction extend to reproduction in all media.
`
`© 2008. SGPP Organizational Partners (ARIB, ATIS. CCSA, EETSI,
`All rights reserved.
`
`'I"|‘A. TTC).
`
`ZTEIHTC
`Exhibit 1003-0002
`
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`
`Exhibit 2006-002
`
`

`
`SGPP TS 36.321 V8.2.0 (2003-05}
`
`Contents
`
`Foreword
`
`Definitions and
`Definitions ........................... ..
`Abbreviations ................................................................................................................................................... ..
`
`General
`Introduction ....................
`..............................................
`.............................................................................. ..
`MAC architecture ...................................................................................................................................
`...... ..
`MAC Entities
`
`Services provided to upper layers ........ ..
`Services expected From physical layer...
`Functions.................................................... ..
`Channel structure ......... ..
`Transport Channels ..
`Logical Channels ...................................................................................................................................... .. I0
`Mapping oi‘Transport Channels to Logical Channels .....
`...................................................................... .. 10
`Uplink
`Downlink mapping ............................................................................................................................. ..
`
`.
`
`.
`
`MAC procedures
`Random Access procedure..............................
`Random Access Procedure initialization...
`Random Access Resource se|ection..........
`Random Access Preamble transmission....
`Random Access Response reception ....... ..
`Contention Resolution............................
`Completion of the Random Access procedure ..
`Maintenance of Uplink Time Alignment .............. ..
`D1.-SCH data transfer ................................ ..
`DL Assignment reception ........................................... ..
`HARQ operation
`HARQ Entitym...
`HARQ process.........................
`Disassembiy and dernultip|exing....
`UL-SCI‘! data transfer ....................... ..
`UL Grant reception ..
`HARQ operation .... ..
`I-IARQ entity.......
`HARQ process .................................................................... ..
`Multiplexing and assembly
`Logical channel prioritization...
`Multiplexing of MAC SDUs
`Scheduling Request,...................
`Buffer Status Reporting..........
`Power Headroom Reporting...
`PCH reception..............................
`BCH reception ............................... ..
`Discontinuous Reception
`MAC
`MACReset
`
`
`
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`
`l
`
`4.]
`4.2
`4.2.]
`4.3
`4.3.]
`4.3.2
`4.4
`4.5
`4.5.1
`4.5.2
`4.5.3
`4.5.3.1
`4.5.3.2
`
`5 5
`
`.
`5.
`5.
`5.
`5.
`5.
`3.
`5.
`
`Handling of unknown, unforeseen and erroneous protocol data .................................................................... .. 24
`
`ZTEIHTC
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`

`
`Release 8
`
`3GPP T5 36.321 V8.23 (2008-05]
`
`Protocol Data Units. formats and
`Protocol Data Units....................................
`
`MAC PDU (DI.-SCH and UL-SCI-l)....
`MAC Control Elements........................................ ..
`Buffer Status Report MAC Control Elements .............................. ..
`C-RNTI MAC Control Elcmcnt ................................................... ..
`DRX Command MAC Control Element ............................ ..
`UE Contention Resolution Identity MAC Control Element
`Timing Advance MAC Control Element ........................... ..
`Power Headroom MAC Control Element.
`MAC PDU [transparent MAC)
`MAC PDU {Random Access Rcsponse}.....
`Formats and
`MAC header for DL-SCH and UL-SCI-l................
`MAC header for Random Access Response ........ ..
`MAC payload for Random Access Response .......................................................................................... ..
`Variables and
`RNTI values ...................... ..
`Baekoff Parameter
`
`7.]
`7.2
`
`Annex A (informative):
`
`Change
`
`ZTEIHTC
`Exhibit 1003-0004
`
`Exhibit 2006-004
`
`Exhibit 2006-004
`
`

`
`3GPF TS 35.321 V8.10 (2003-D5]
`
`Foreword
`
`This Technical Specification has been produced by the 3”‘ Generation Partnership Project (3GPP).
`
`The contents of the present document are subject to continuing work within the 1'80 and may change following l'on'na|
`TSG approval. Should the ‘F86 modify the contents ofthe present document. it will be rc—relea.scd by the TSG with an
`identifying change of release date and an increase in version number as follows:
`
`Version x.y.z
`
`where:
`
`the first digit:
`
`1
`
`2
`
`3
`
`presented to TSG for irtformation;
`
`presented to TSG for approval;
`
`or greater indicates TSG approved document under change control.
`
`the second digit is incremented for all changes of substance, Le. technical enhancements, corrections,
`updates. etc.
`
`the third digit is incremented when editorial only changes have been incorporated in the document.
`
`ZTEIHTC
`Exhibit 1003-0005
`
`Exhibit 2006-005
`
`Exhibit 2006-005
`
`

`
`SGPP TS 35.321 V8.2.0 [2008-05]
`
`1 Scope
`
`The present document specifies the E-UTRA MAC protocol.
`
`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 ofpublication, edition number. version number, etc.) or
`non-specific.
`
`For a specific reference, subsequent revisions do not apply.
`
`For anon-specific reference, the latest version applies. In the case era rcfcrenceto a3GPP document [including
`a. GSM document). a non-specific reference implicitly refers to the latest version of that document in the aroma
`Release as the present document‘.
`
`3GP]-' TR 2l.905: "Vocabulary for BGPP Specifications".
`
`SGPP TR 36.213: "Evolved Universal Terrestrial Radio Access [E-UTRA): Physical Layer
`Procedures“.
`
`3Gl-‘P TS 36.322: “Evolved Univc1'salTcrtcstria| Radio Access [E-UTRA}; Radio Link Control
`(RLC) protocol specification".
`
`JGPP TS 36.323: “Evolved Universal Tenestrial Radio Access [E-UTRA); Packet Data
`Convergence Protocol 1‘ PDCP) Specification“.
`
`SGPP TS 36.212: “Evolved Universal Terrestrial Radio Access [E'.—UTRA); Multiplexing and
`channel coding".
`
`3GPP TS 36.2[4: “Evolved Universal Terrestrial Radio Access fl-”.~U'l'RA); Physical layer;
`Measurements".
`
`3
`
`Definitions and abbreviations
`
`3.1
`
`Definitions
`
`For the purposes of the present document. the terms and definitions given in TR 21.905 [1] and the following apply. A
`term defined in the present document takes precedence over the definition ofthc same tern1.ifany, in TR 2|.905 [I].
`
`Active Time: time during which the UE monitors the PDCCI-I for n PDCCH-subfrarne. Section 5.7 defines the
`conditions for which a subframe is included as part ofActivc Time.
`
`Contention Resolution Timer: Specifies the number ofconsccutive PDCCI-l-subfrarncls) during which the UE shall
`monitor the PDCCH after the uplink message containing the C-RNTI MAC control element or the uplinlc message
`associated with UE Contention Resolution Identity submitted from higher layer is transmitted.
`
`DRX Cycle: Specifics the periodic repetition ofthc On Duration followed by a possible period ofinactivity (see figure
`3.l-I below).
`
`ZTEIHTC
`Exhibit 1003-0006
`
`Exhibit 2006-006
`
`Exhibit 2006-006
`
`

`
`3GPP T5 36.321 V8.2.0 (2008-D5}
`
`-I-0.-1 Dari-cr.'Iort—rf4jDp;mrIu:ri{|*_fur DRX
`U5‘ .i'l‘ra.‘l rnoniror
`PDCCH 2’. .
`
`- -0"
`
`J
`
`in
`
`DR.XCyr.1'|'J" --
`
`Figure 3.1-1: DRX Cycle
`
`DRX Inactivity Timer: Spec} fies the number of consecutive PDCCI-I—subframe(s] after successfully decoding a
`PDCCH indicating an initial UL or DL user data transmission for this UE.
`
`DRX Retransmission Timer: Specifics the maximum number of consecutive PDCCH-subt'ramo(s} for as soon as a UL
`retransmission is expected by the UE.
`
`DRX Short Cycle Timer: This parameter specifies the number of consecutive subfra.me(s)the UE shall follow the short
`DRX cycle after the DRX Inactivity Timer has expired.
`
`HARQ RTT Timer: This parameter specifies the minimum amount of subi’rame(s) before :1 DL HARD retransmission
`is expected by the UE.
`
`On Duration Timer: Specifics the number of consecutive PDCCH-subframe{s) at the beginning of a DRX Cycle.
`
`RA-RNTI: The Random Access RNTI is used on the PDCCH when Random Access Response messages are
`transmitted. it unambiguously identifies which time-frequency resource was utilized by the UE to transmit the Random
`Access preamble.
`
`PDCCH-subfrnme: For FDD UE operation. this represents any subfrarne; for TDD. only downlink subframes.
`
`NOTE:
`
`A timer is running once it is started, until it is stopped or until it expires.
`
`NOTE: When defining On Duration Timer, DRX Inactivity Timer, DRX Retransmission Timer and Contention
`Resolution Timer, PDCCH-subfrarnes and subfrarnes including DwPTS are considered as subframes
`where the timer, if running, shall be updated.
`
`3.2
`
`Abbreviations
`
`For the purposes of the present document, the abbreviations given in TR 2 L905 [1] and the following apply. An
`abbreviation defined in the present document takes precedence over the definition of the some abbreviation, If any. in
`TR 21.905 [I].
`
`BSR
`C~R?~lTl
`CQI
`E-UTRA
`E-UTRAN
`MAC
`PH R
`P-RNTI
`RA-RNTI
`RNTI
`Sl—RNTl
`SR
`SR5
`TB
`
`Buffer Status Report
`Cell RNTI
`Channel Quality indicator
`Evolvcd UMTS Terrestrial Radio Access
`Evolved UMTS Terrestrial Radio Access Network
`Medium Access Control
`Power Headroom Report
`Paging RNTI
`Random Access RNTI
`Radio Network Temporary Identifier
`System Information RNTI
`Scheduling Request
`Sounding Reference Symbols
`Transport Block
`
`ZTEr’i-{TC
`Exhibit i003-0007
`
`Exhibit 2006-007
`
`Exhibit 2006-007
`
`

`
`SGPP TS 36.321 V8.2.0 (2008-05)
`
`4
`
`General
`
`4.1
`
`Introduction
`
`The objective is to describe the MAC architecture and the MAC entity from a functional point ofview.
`
`4.2
`
`MAC architecture
`
`The description in tl1is sub clause is a model and does not specify or restrict implementations.
`
`RC is in control of configuration ofMAC.
`
`4.2.1
`
`MAC Entities
`
`L—U'TRA defines two MAC entities; one in the UE and one in the E-UTRAN. These MAC entities handle the following
`transport channels:
`
`— Broadcast Channel (BCH);
`
`~ Downlink Shared Channel (DL-SCH);
`
`-
`
`Paging Channel (PC!-I];
`
`~ Uplink Shared Channel (UL-SCH];
`
`-- Random Access Channe|(s) (RACH).
`
`The exact functions performed by the MAC entities are different in the UE frorn those pcrfonned in the E-I—UTRAN.
`
`4.3
`
`Services
`
`4.3.1
`
`Services provided to upper layers
`
`This clause describes the different services provided by MAC suhlayer to upper layers.
`
`-
`
`—
`
`data transfer
`
`radio resource allocation
`
`4.3.2
`
`Services expected from physical layer
`
`The pltysical layer provides the following services to MAC:
`
`-
`
`-
`
`-
`
`-
`
`data transfer services;
`
`signalling of 1-IARQ feedback;
`
`signalling of Scheduling Request;
`
`rneasI.trct11ents{e.g. Channel Quality Indication (CQl)].
`
`The access to the data transfer services is through the use of transport channels. The characteristics of a transport
`channel an: defined by its transport formal [or format set), specifying the physical layer processing to be applied to the
`transport channel in question. such as channel coding and interleaving, and any service-specific rate matching as
`needed.
`
`ZTEIHTC
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`

`
`Release 3
`
`3GPP TS 36.321 VB.2.0 (2003-05)
`
`4.4
`
`Functions
`
`The Following functions are supported by MAC subleyor:
`
`- mapping between logical channels and transport channels;
`
`multiplexing of MAC SDUS from one or different logical channels onto transport blocks (TB) to be delivered to
`the physical layer on transport channels;
`
`clemultiplexing of MAC SDUs from one or different logical channels from transport blocks (TB) delivered from
`the physical layer on transport channels;
`
`scheduling information reporting;
`
`error correction through HARQ;
`
`priority handling between UB3 by means ofdynamic scheduling;
`
`priority handling between logical ciiarinels of one UE:
`
`Logical Channel prioritisation;
`
`-
`
`transport Format selection.
`
`NOTE:
`
`How the multiplexing relates to the QoS of the multiplexed logical channels is FFS.
`
`The location of the diiferent functions and their relevance for uplink and downlinit respectively is illustrated in Table
`4.4-].
`
`Table 4.4-1: MAC function location and link direction association.
`
`eNB
`
`Downllnk
`
`Uplink
`
`XX
`
`X
`
`XXXXXXXX
`
`UE
`X
`X
`
`X X
`
`MAC function
`Mapping between logical channels and transport channels
`
`Multiplexing
`
`Demultiplexing
`
`Error correction throug h HARQ
`
`Transport Format Selection
`Priority handling between UEs
`Priority handling between logical channels of one UE
`Logical Channel prioritisation
`Scheduling information reporting
`
`4.5
`
`Channel structure
`
`The MAC sublayer operates on the channels defined below; transport channels are SAPS between MAC and Layer 1,
`logical channels are SAPS between MAC and RLC.
`
`4.5.1
`
`Transport Channels
`
`The transport channels used by MAC are described in Table 4.5.1-1 below.
`
`Table 4.5.1-1: Transport channels used by MAC
`
`Transport channel name
`Broadcast Channel
`Downllnk Shared Channel
`Paging Channel
`Uplink Shared Channel
`Random Access Channel
`
`Acronym
`BCH
`Di.-SCH
`PCH
`UL-SCH
`RACH
`
`Downllnk
`X
`X
`X
`
`Uplink
`
`ZTEJHTC
`Exhibit 1003-0009
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`

`
`Release 8
`
`3GPP TS 35.321 V8.2.C| (2008-05}
`
`4.5.2
`
`Logical Channels
`
`The MAC layer provides data transfer services on logical channels. A set of logical channel types is defined for
`different kinds of data transfer services as offered by MAC.
`
`Each logical channel type is defined by what type of information is transferred.
`
`MAC provides the control and traffic channels listed in Table 4.5.2-l below. When MAC uses the PDCCI-I to indicate
`radio resource allocation, the RNTI that is mapped on the PDCCH depends on the logical channel type:
`
`-
`
`C-Rl‘-l'1"L'I‘ernporary C—RNTl and Semi-Persistent Scheduling C-RNTI for DCCH and DTCI-l;
`
`P-RNT] for PCCH;
`
`RA-RNTI for Random Access Response on DL—SCl-l;
`
`Temporary C-RNTI for CCCH during the random access procedure;
`
`S]-RNTI for BCCI-l.
`
`Table 4.5.2-1: Logical channels provided by MAC.
`
`Logical channel name
`Broadcast Control Channel
`Paging Control Channel
`Common Control Channel
`Dedicated Control Channel
`Dedicated Traffic Channel
`
`Acronym
`BCCH
`PCCH
`CCCH
`DCCH
`DTCH
`
`Control channel
`
`Traffic channel
`
`4.5.3
`
`Mapping of Transport Channels to Logical Channels
`
`The mapping of logical channels on transport channels depends on the multiplexing that is configured by RRC.
`
`4.5.3.1
`
`Uplink mapping
`
`The MAC entity is responsible for mapping logical channels for the uplink onto uplink transport channels. The uplink
`logical channels can be mapped as described in Figure 4.5.3.1-I and’I'ablc 4.5.3.]-1.
`
`CCCH
`
`DGC H
`
`DTC H
`
`Upiirnlr
`Logical chrrnnelr
`
`LIL—scH
`
`Uplink
`Transport channels
`
`Figure 4.5.3.1-1
`
`Table 4.5.3.1-1: Uplink channel mapping.
`
`a.._.._IW'l”'
`Logl cal channel
`CCCH
`DCCH
`DTCH
`
`UL-SCH
`X
`X
`X
`
`ZTEIHTC
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`

`
`Release 8
`
`3GF'P TS 36.321 V3.24} [2003-D5)
`
`4.5.3.2
`
`Downlink mapping
`
`The MAC entity is responsible for mapping the downlink logical channels to downlink transport channels. The
`Ciownlink logical channels can be mapped as described in Figure 4.5.3.2-I and Table 4.5.3.2-I.
`
`PCCH
`
`BCCH
`
`CGC-H
`
`DCCH
`
`DTCH
`
`Doirnlink
`Logical chnnnets
`
`DI.-SCH
`
`Downfink
`Transport channels
`
`Figure 4.5.3.2-1
`
`Table 4.5.3.2-1: Downllnk channel mapping.
`
`ransport channel
`Logical channel
`BCCH
`PCCH
`CCCH
`DCGH
`DTGH
`
`BCH
`
`X
`
`PC H
`
`5
`
`MAC procedures
`
`5.1
`
`Random Access procedure
`
`5.1.1
`
`Random Access Procedure initialization
`
`The Random Access procedure described in this su bclause is initiated by a PDCCH order or by the MAC sublayer
`itself. The PDCCH order or RC optionally indicate a Random Access Preamble and PRACH resource.
`
`Before the procedure can be initiated, the following information is assumed to be available:
`
`-
`
`the available set of PRACH resources for the transmission of the Random Access Preamble and their
`corresponding RA-RNTIS.
`
`the groups of Random Access Preambles and the set of available Random Access Preambles in each group.
`
`the thresholds required for selecting one of‘ the two groups of Random Access Prcambles.
`
`the parameters required to derive the TTI window described in subclausc 5.1.4.
`
`the powewamping factor PDWER_RAMP_STEP.
`
`the parameter PRBAlVlBLE_TRA‘NS_MAX [integer 5 D].
`
`the initial preamble power I’REAMBI.E_ fN[T[AL_RECEIVED_TARG ET_PDWER.
`
`-
`
`the parameter Maximum number ot'Messagc3 HARQ transmissions.
`
`[Note that the above parameters may be updated from higher layers before each Random Access procedure is initiated]
`
`ZTEH-[TC
`Exhibit 1003-001}
`
`Exhibit 2006-01 1
`
`Exhibit 2006-011
`
`

`
`Release 3
`
`12
`
`JGPP T5 36.321 V8.23 (2503-05)
`
`The Random Access procedure shall be performed as follows:
`
`Flush the [Message3] buffer;
`
`set the PREA Ml3LE_TRANSMISSION_COUN'l‘ER to I;
`
`set the hackoff parameter value in the UE to 0 ms;
`
`-
`
`proceed to the selection oflhe Random Access Resource (see subclause 5.1.2).
`
`NOTE:
`
`There is only one Random Access procedure ongoing at any point in time. if the UE receives a request for
`a new Random Access procedure while another is already ongoing, it is up to UE implementation whether
`to continue with the ongoing procedure or start with the new procedure.
`
`5.1.2
`
`Random Access Resource selection
`
`The Random Access Resource procedure shall be performed as follows:
`
`-
`
`If the Random Access Preamble and PRACH resource have been explicitly signalled and the Random Access
`Preamble expiration time, ifconfigurecl. has not expired:
`
`-
`
`the UH can directly proceed to the transmission ofthc Random Access Preamble [see subclausc 5.|.3).
`
`else the Random Access Preamble shall be selected by the UE as follows:
`
`-
`
`If the uplinlt message containing the C-RNTI MAC control element or the uplink message including the
`CCCH SDU has not yet been transmitted. the UE shall:
`
`-
`
`depending on the size of the message to be transmitted on the UL or the requested resource blocks [FF3]
`[the selection also depends on radio conditions], select one of the two groups ofllandont Access
`Preambles configured by RRC.
`
`else, ifthe uplink message containing the C-RNTI MAC control element or the uplinlc message including the
`CCCH SDU is being retransmitted, the UE shall:
`
`-
`
`select the same group of Random Access Preambles as was used for the preamble transmission attempt
`corresponding to the first transmission of the uplink message containing the C-RNTI MAC control
`element or the uplink message including the CCCH SDU.
`
`randomly select a Random Access Preamble within the selected group. The random function shall be such
`that each ofthc allowed selections can be chosen with equal probability;
`
`if more than one PRACI-I resources are available in the some subframe (TDD). randomly select one. The
`random function shall be such that each ofthe allowed selections can be chosen with equal probability;
`
`proceed to the transmission ofthc Random Access Preamble (see subclsuse 5. L3).
`
`5.1.3
`
`Random Access Preamble transmission
`
`'l'11e 1'andom—access procedure shall be performed as follows:
`
`-
`
`IfPREAMBLE_TR.ANSMlSS[0N_COUNTER = PP.EAMBLE_‘i"RANS_MAX + l:
`
`-
`
`indicate a Random Access problem to upper layers.
`
`[— set the parameter PREAMBLE_R.ECElVED_TARGE'l"_POWER. to
`PREA MBLE_l'l*-JITIA L_REC ElVED__'l'A RG ET_POWE.R 4- f PREAMBLE_TRAN SM ISSI ON _COUNTER— I J '
`POWER_RAMF_S'l"E.F:]
`
`-
`
`-
`
`determine the next available Random Access occasion;
`
`instruct the physical layer to transmit a preamble using the selected PRACI-I resource, corresponding RA-RN11.
`preamble index and PREAMBLE__RECEIVED_TARGE"['_POWER.
`
`ZTEIHTC
`Exhibit 1003-0012
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`Exhibit 2006-012
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`Exhibit 2006-012
`
`

`
`Release 8
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`13
`
`3GPP TS 36.321 V8.2.0 [2003-05}
`
`5.1.4
`
`Random Access Response reception
`
`Once the Random Access Preamble is transmitted. the UE shall monitor the PDCCH associated with the RA—RNTl
`defined be low in the TTI window [RA_WINDOW_BEG[N—RA_Wl?\lDOW_EN D] for Random Access Response(s)
`identified by the RA-RNTI. The RA-RNTI associated with the PRACH resource in which the Random Access
`Preamble is transmitted, is computed as:
`
`RA— RN Tl= t_id+ I 0* F_id
`
`Where t_id is the index ofthe first subfiame ofthe specified PRACH resource [0£t_ld <lt]), and f_id is the index ofthc
`specified PRACH resource within that subframc, in ascending order of frequency domain (05 l'_id< 6). The UE may
`stop monitoring for Random Access Response(s) afler succcssfill reception of a Random Access Response
`corresponding to the Random Access Preamble transmission.
`
`-
`
`ll’ notification of a reception ofthe Random Access Response is received from lower layers, the UE shall:
`
`-
`
`ifthe Random Access Response contains at Backoff indicator subheader:
`
`-
`
`set the haekoff parameter value in the UP. as indicated by the BI Field of the Backoff Indicator subheadcr
`and Table 7.2-1.
`
`else. set the backoff parameter value in the U1-‘. to 0 ms.
`
`ifthe Random Access Response contains a Random Access Preamble identifier corresponding to the
`transmitted Random Access Preamble {see subclause S.l.3}. the UH shall;
`
`consider this Random Access Response reception successful;
`
`process the received Timing Alignment value (see subclause 5.2):
`
`process the received UL grant valuc;
`
`ifthe Random Access Preamble was explicitly signalled (i.c., not selected by MAC}:
`
`-
`
`consider the Random Access procedure successfully completed.
`
`else, if the Random Access Preamble was selected by UE MAC:
`
`-
`
`set the Temporary C.‘-RNTI to the value received in the Random Access Response message no later
`than at the time ofthe first transmission corresponding to the UL grant provided in the Random
`Access Response message;
`
`if this is the first successfully received Random Access Response within this Random Access
`procedure:
`
`-
`
`iflhe UE is in RRC_CONNECTED state [except for RLF], indicate to the Multiplexing and
`assembly entity to include a C-RNTI MAC control element in the subsequent uplirtk transmission;
`
`obtain the MAC PDU to transmit fi'orn the “Multiplexing and assembly" entity and store it in the
`['Message3] buffer.
`
`When an uplink transmission is required, e.g., for contention resolution. the cl‘-JB should not provide 8.
`grant smaller than 80 bits in the Random Access Response.
`
`If within a Random Access procedure, an uplink grant provided in the Random Access Response for the
`same group ol‘Random Access Preambles has a different size than the first uplink grant allocated during
`that Random Access procedure, the LIE behavior is not defined.
`
`1l'no Random Access Response is received within the TTI window IRA_W[NDOW_ElF.GIN-—RA_WINDOW_END1,
`or if all received Random Access Responses contain Random Access Preamble identifiers that do not match the
`transmitted Random Access Preamble. the Random Access Response reception is considered not successful and the UE
`shall:
`
`-
`
`ifthe Random Access procedure was initiated by the MAC sublaye1'il.self;or
`
`ZTEIHTC
`Exhibit I003-Otll 3
`
`Exhibit 2006-013
`
`Exhibit 2006-013
`
`

`
`Release 3
`
`14
`
`SGPP TS 36.32‘! V3.10 (2003-U5}
`
`-
`
`ifthe Random Access procedure was initiated by a PDCCI-I order and the
`PREAMBLE_TRANSMISSION_CDLlNTER is less than PREAMBI.E_TRANS_MAX:
`
`-
`
`-
`
`increment PREAMB1.E._TRANSM| SS[ON_C0l_lNTER by I;
`
`ii‘ in this Random Access procedure:
`
`-
`
`the Random Access Preamble was selected by MAC: or
`
`the Random Access Preamble and PRACH resource were explicitly signalled and will expire before the
`next available Random Access occasion:
`
`—
`
`based on the backoffparametcr in the LIE. compute and apply a baekoiivaluc indicating when a new
`Random Access transmission shall be attempted:
`
`— proceed to the selection ofa Random Access Resource {sce subelause 5.1.2).
`
`I-Editor's note: Wltetlicr error conditions are specified is I-‘F5.
`
`5.1.5
`
`Contention Resolution
`
`Contention Resolution is based on C-RNTI on PDCCH and UE Contention Resolution identity on Dl..—SCH..
`
`Once the uplink message containing the C-RNTI MAC control element or the uplink message including the CCCH
`SDU is transmitted, the UE shall‘.
`
`-
`
`start the Contention Resolution Timer;
`
`monitor the PDCCH until the Contention Resolution Time r expires;
`
`ifnotification ofa reception ofa PDCCH transmission is received from lower layers. the UE shall:
`
`—
`
`ifthe C—RN'1"l MAC control element was included in uplink message:
`
`-
`
`iithc Random Access procedure was initiated by the MAC sublaycr itsclfand the PDCCH transmission is
`addressed to the C-RNTI and contains an UL grant; or
`
`ii" the Random Access procedure was initiated by a PDCCI-I order and the PDCC H transmission is
`addressed to the C-RNT]:
`
`-
`
`consider this Contention Resolution successful;
`
`stop the Contention Resolution Timer;
`
`discard the Temporary C-RNTI;
`
`-
`
`consider this Random Access procedure successfully completed.
`
`—
`
`else ifthe uplink message includes the CCCH SDU and the FDCCI-I transmission is addressed to its
`Temporary C-RNTI:
`
`~
`
`ifthe MAC‘ PDU is successfully decoded:
`
`-
`
`—
`
`-
`
`stop the Contention Resolution Timer;
`
`ifthe MAC PDU contains a UE‘. Contention Resolution Identity MAC control element: and
`
`ifthc UE Contention Resolution Identity included in the MAC control element matches the CCCI-l
`SDU transmitted in the uplink message:
`
`-
`
`consider this Contention Resolution successful and finish the disasscmbly and demultiplexing of
`the MAC‘ PDU:
`
`set the C-RNTI to the value of the Temporary C-RNTI;
`
`consider this Random Access procedure successfully completed.
`
`ZTEIHTC
`Exhibit 1003-00! 4
`
`Exhibit 2006-014
`
`Exhibit 2006-014
`
`

`
`Release 8
`
`-
`
`else
`
`3GPP TS 36.321 V3.10 (2003-D5)
`
`-
`
`consider this Contention Resolution not successful and discard the successfully decoded MAC
`PDU.
`
`-
`
`-
`
`—
`
`discard the-Temporary C-l'{N'l‘l.
`
`if the Contention Resolution Timer expires:
`
`-
`
`consider the Contention Resolution not successful.
`
`if the Contention Resolution is considered not successful the UE shall:
`
`-
`
`-
`
`if the Random Access procedure was initiated by the MAC sublnyer itself; or
`
`ifthe Random Access procedure was initiated by a PDCCH order and the
`PREAMBLE_'l‘RANSMISSION_COUN'l"ER is less than PRi£AMBLF,_'l"RANS_MAX:
`
`-
`
`—
`
`increment PREAME[,E_'I'RANSMlSSIClN_COUNTER by 1:
`
`based on the hackoffparamcter in the UE. compute and apply a backoffvalue indicating when a new
`Random Access transmission shall be attempted;
`
`proceed to the selection of a Random Access Resource (see stibclause 5.1.2).
`
`-
`
`discard the Temporary C—RNTl_
`
`5.1.6 Completion of the Random Access procedure
`
`At successful completion of the Random Access procedure. the UE shall:
`
`-
`
`ifthc PREAMBLE_TRANSM1SSiOl\|_COUT~lTER is greater than PREAMBLB_‘TRANS_MAx:
`
`-
`
`indicate recovery from a Random Access problem to upper layers.
`
`5.2
`
`Maintenance of Uplink Time Alignment
`
`'I'he UE has a configurable ‘time Alignment Timer. The Time Alignment Timer is valid only in the cell for which it was
`configured and started.
`
`ifthe Time Alignment Tirncr has been configured, the UE shall:
`
`- when a Timing Advance MAC control element is received:
`
`-
`
`-
`
`apply the Timing Advance Command;
`
`start the Time Alignment Timer [ifnot running) or restart the Time Alignment Timertifalready running).
`
`- when a Time Alignment Command is received in 3 Random Access Response message:
`
`-
`
`if the Random Access Preamble and PRACH resource were explicitly signalled:
`
`-
`
`—
`
`apply the Time Alignment Command;
`
`start the Time Alignment Timer (ifnot running) or restart the Time Alignment Timer (if already running}.
`
`—
`
`else, ifthe Time Alignment Timer is not running or has expired:
`
`-
`
`apply the Time Alignment Command;
`
`start the Time Alignment Timer;
`
`when the contention resolu lion is considered not successful as described in subclause 5. LS. stop the Time
`Alignment Timer.
`
`clsc:
`
`ZTEXHTC
`Exhibit 1003-D015
`
`Exhibit 2006-015
`
`Exhibit 2006-015
`
`

`
`16
`
`3C-EPP TS 36.321 V8.21} {Z008-D5}
`
`-
`
`ignore the received Time Alignment Command.
`
`- when the Time Alignment Timer has expired or is not running:
`
`-
`
`prior to any uplink transmission, use the Random Access procedure (see subclausc 5.1) in orderto obtain
`uplink Time Alignment.
`
`- when the Time Alignment Timer expires:
`
`-
`
`-
`
`release all PUCCH resources;
`
`release any assigned SR5 resources.
`
`5.3
`
`DL-SCH data transfer
`
`Editor‘; note: L‘ttm:t1t text applies to. at lcttst. I-‘DD.
`
`5.3.1
`
`DL Assignment reception
`
`l7.u.litnr's note: A tltiwnlink assiglintcnt can relate to one or two lMlMU) '|'lIis. It is Fl-'5 how this in|"t‘-nrnttion is
`prcsctitccd Io MAL".
`
`When the UE has a C-RNTI, Semi-Persistent Schedttiing C-RNTI. Temporary C-RNTI or RA-RNTI, the UE shall for
`each TTI during Active Time. for each TTI when a Random Access Response or Con tcnticn Resolution is expected and
`for each Tl‘! for which a D1. assignment has been configured:
`
`-
`
`ifa downlink assignment for this TTI has been received on the PDCCH for the UE's C~RNTI, Temporary
`C-RNTI or RA-FLNTI:
`
`~
`
`indicate a downlink assignment and the associated I-IARQ information to the HARQ entity for this ”i"i‘I.
`
`else. ifa downlink assignment for this 'l'Tl has been configured:
`
`-
`
`indicate a downlinlc assigmnent, for a new transrnission, and the associated I-IARQ information to the HARQ
`entity for this 'i'Tl.
`
`When the UE needs to read BCCH. the UE shall:
`
`-
`
`ifadovvnlink assignment for this TTI has been received on the PDCCH for the SI-RNTI;
`
`-
`
`indicate a downlink assignment for the dedicated broadcast HARQ process to the HARQ entity for this TTI.
`
`NOTE:
`
`Dovvnlinlt assignments for both C-RNTI and Sl-RNTI can be received in the same TTI.
`
`is configured, as ttccdcd, by upper lat;-'cr;~‘ or MAC [|'-‘i-‘Si to monitor Pi}(!(.'l-l litrt.‘-R_N'l'|, and by
`|idi1or's I1I.1tc.’l..l
`HAL" to monitor PDCCI-i for Tcntporary C-RNTi and RA-Ri\lTl.
`
`5.3.2
`
`HARQ operation
`
`5.3.2.1
`
`HARQ Entity
`
`There is one HARQ entity at the UE which processes the HARQ process identifiers indicated by the HA RQ infonnation
`associated with TBS received on the DL-SCH and directs the received data to the corresponding HARQ process for
`reception operations [see subolattsc 5.3.2.2).
`
`A number ofparaltcl l-IARQ processes are used in the UE to support the HA RQ entity. [The number of HA RQ
`processes is FFS].
`
`lfa downlinlt assignment has been indicated or configured for this TTL the UE shall:
`
`-
`
`allocate the received TB to the HARQ process indicated by the associated HARQ information.
`
`if a dovvnlink assignment has been indicated for the broadcast I-IARQ process, the UE shall:
`
`ZTEEHTC
`Exhibit I 003-0016
`
`Exhibit 2006-016
`
`Exhibit 2006-016
`
`

`
`Release 3
`
`‘IT
`
`3GPP TS 36.321 V8.24} [2008-05]
`
`-
`
`allocate the received T8 to the broadcast HARQ process.
`
`NOTE:
`
`in case of BCCH a dedicated broadcast HARQ process is used.
`
`HARQ process
`5.3.2.2
`For each received TB:
`
`-
`
`if the NDI. when provided, has been incremented compared to the value of the previous received transmission
`for this HARQ process: or
`
`if the HARQ process is equal to the broadcast process and the physical layer indicates a new transmission; or
`
`if this is the very first received transmission for this HARQ process:
`
`-
`
`a new transmission is indicated for this HARO process.
`
`-
`
`else. a retransmission is indicated for this HARQ process.
`
`The UE then shall:
`
`-
`
`ifa new transmission is indicated for this HARQ process:
`
`-
`
`replace the data currently in the soft buffer for this HARQ process with the received data.
`
`if a retransmissi