UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`Samsung Electronics Co., Ltd., and,
`Samsung Electronics America, Inc.,
`
`Petitioners
`
`v.
`
`Evolved Wireless LLC,
`
`Patent Owner
`
`DECLARATION OF Sangbum Kim
`
`Case No. IPR2016-01345
`
`02198-00022/8095907.3
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`SAMSUNG 1047-0001
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`

`
`1.
`
`My name is Sangbum Kim. I am currently a senior engineer at Samsung
`
`Electronics Co., Ltd. (“Samsung”), and have been employed by Samsung since
`
`2007.
`
`2.
`
`I have served as one of Samsung’s delegates to the Third Generation
`
`Partnership Project (“3GPP”) for 7 years, since 2009. Specifically, I served in the
`
`subgroup of 3GPP’s Technical Specification Group - Radio Access Network
`
`(“TSG-RAN”) known as Working Group 2 (“WG2”).
`
`3.
`
`In 2009, I attended WG2’s meetings and subscribed to WG2’s reflector list
`
`(3GPP_TSG_RAN_WG2@list.etsi.org), through which I both sent and received e-
`
`mails. In general, before each Working Group meeting that I attended, I received
`
`e-mails from other companies’ delegates through that group’s reflector list,
`
`providing technical documents, called contributions, for discussion at the meeting.
`
`Some of those e-mails provided the technical documents as e-mail attachments,
`
`while other e-mails provided hyperlinks to the locations where the technical
`
`documents were stored on 3GPP’s publicly available website
`
`<http://www.3gpp.org>. These technical documents were always uploaded to, and
`
`freely available for download at, 3GPP’s publicly available website, regardless of
`
`whether the documents were emailed through WG2’s reflector-list as attachments
`
`or hyperlinks.
`
`02198-00022/8095907.3
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`1
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`SAMSUNG 1047-0002
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`

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`4.
`
`As a 3GPP delegate, I sent e-mail messages submitting technical documents
`
`on Samsung’s behalf to WG2’s reflector lists before the meeting for which the
`
`documents were submitted for discussion. I also uploaded technical documents to
`
`3GPP’s publicly available website before the meeting for which the technical
`
`documents were submitted for discussion.
`
`5.
`
`As a delegate for WG2, I have also regularly accessed the location on
`
`3GPP’s website storing technical documents submitted to WG2. That location is
`
`freely available to the public at the uniform resource identifier
`
`<http://www.3gpp.org/ftp/tsg_ran/WG2_RL2/>, which I refer to in this declaration
`
`as “WG2’s public directory.” Since 2009, I have accessed WG2’s public directory
`
`in several ways. For example, I accessed to 3GPP’s homepage
`
`http://www.3gpp.org from which I navigated WG2’s public directory. I could also
`
`access the public directory directly by entering its uniform resource identifier into
`
`my web browser. Regardless of which method I used to access WG2’s public
`
`directory, I never encountered a password requirement or any other restriction that
`
`would prevent me or a member of the general public from accessing WG2’s public
`
`directory or any intermediate location. Based on my 7 years of experience as a
`
`3GPP delegate, at least since 2009 to the present, any member of the public could
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`freely access WG2’s public directory, browse it, and download technical
`
`documents stored to it without restriction.
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`02198-00022/8095907.3
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`2
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`SAMSUNG 1047-0003
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`

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`6.
`
`As a delegate for WG2, I also routinely consulted 3GPP technical
`
`specifications. In my experience, since I started as a delegate in 2009,
`
`specifications have been made freely available on 3GPP’s website to any member
`
`of the public without any restrictions. In preparing this declaration, I accessed the
`
`location on 3GPP’s website where different versions of the technical specification
`
`TS 36.321 are made available. That location is currently available at the uniform
`
`resource identifier <http://www.3gpp.org/dynareport/36321.htm>, which I refer to
`
`in this declaration as “3GPP’s public specification site.” Like any other individual,
`
`I accessed 3GPP’s public specification site without any password or any other
`
`restriction. Attached as Exhibit 1 is a true and correct copy of a printout of 3GPP’s
`
`public specification site. Exhibit 1 provides links to the different versions of TS
`
`36.321, along with dates on which those versions were made available to the
`
`public. For example, Exhibit 1 provides a link to version 8.2.0 of TS 36.321 and
`
`shows that this version was made available on June 17, 2008. Based on my 7 years
`
`of experience as a 3GPP delegate, having routinely accessed versions of 3GPP
`
`technical specifications shortly after they became available to me and members of
`
`the public, I understand the June 17, 2008 date on Exhibit 1 to be accurate and
`
`have no reason to dispute its accuracy.
`
`7.
`
`In preparing this declaration, I selected the link to version 8.2.0, which
`
`initiated a download of a ZIP file titled “36321-820.zip.” I opened that ZIP file
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`02198-00022/8095907.3
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`3
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`SAMSUNG 1047-0004
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`

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`and found a single Word file titled “36321-820.doc.” Attached as Exhibit 2 is a
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`true and correct copy of that Word file.
`
`8.
`
`In preparing this declaration, I accessed the uniform resource identifier
`
`<www.3gpp.org/ftp/tsg_ran/WG2_RL2/TSGR2_61bis/Docs/> without any
`
`password or any other restriction, just like any other member of the public could.
`
`Attached as Exhibit 3 is a true and correct copy of a printout from that website.
`
`Exhibit 3 lists several ZIP files, including R2-081764.zip, as shown in the
`
`following excerpt.
`
`(Ex. 3 at 6.) The text “R2-081764.zip” provides a link to a ZIP file titled R1-
`
`081764.zip. I downloaded and opened this ZIP file and found that it contains a
`
`single Microsoft Word file, a true and correct copy of which is attached as Exhibit 4.
`
`9.
`
`In the excerpt from the 3GPP website printout shown above, there is also a
`
`date stamp (3/24/2008) to the left of the link to R2-081764.zip. Based on my 7
`
`years of experience as a 3GPP delegate, having uploaded ZIP files to 3GPP’s
`
`publicly available server, I understand this date stamp to mean that R2-081764.zip
`
`was uploaded to 3GPP’s publicly available website on March 24, 2008 (before
`
`Meeting #61bis), and that any member of the public could have downloaded the
`
`ZIP file, extracted the Word document it enclosed, and viewed the contents of that
`
`02198-00022/8095907.3
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`4
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`SAMSUNG 1047-0005
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`

`
`Word document without restriction on March 24, 2008 and thereafter. I have no
`
`reason to believe this date stamp is inaccurate.
`
`10.
`
`In preparing this declaration, I accessed the uniform resource identifier
`
`<www.3gpp.org/ftp/tsg_ran/WG2_RL2/TSGR2_62bis/Docs/> without any
`
`password or any other restriction. Attached as Exhibit 5 is a true and correct copy
`
`of a printout from that website. Exhibit 5 lists several ZIP files, including R2-
`
`083727.zip, as shown in the following excerpt.
`
`(Ex. 5 at 11.) The text “R2-083727.zip” provides a link to a ZIP file titled R1-
`
`083727.zip. I downloaded and opened this ZIP file and found that it contains a
`
`single Microsoft Word file, a true and correct copy of which is attached as Exhibit 6.
`
`11.
`
`In the excerpt from the 3GPP website printout shown above, there is also a
`
`date stamp (7/4/2008) to the left of the link to R2-083727.zip. Based on my 7
`
`years of experience as a 3GPP delegate, having uploaded one hundred of ZIP files
`
`to 3GPP’s publicly available server, I understand this date stamp to mean that R2-
`
`083727.zip was uploaded to 3GPP’s publicly available website on July 4, 2008
`
`(during Meeting #62bis), and that any member of the public could have
`
`downloaded the ZIP file, extracted the Word document it enclosed, and viewed the
`
`02198-00022/8095907.3
`
`5
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`SAMSUNG 1047-0006
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`

`
`contents of that Word document without restriction on July 4, 2008 and thereafter.
`
`I have no reason to believe this date stamp is inaccurate.
`
`12.
`
`I declare under penalty of perjury under the laws of the United States of
`
`America that the statements made herein are believed to be true based upon either
`
`my personal knowledge or to the best of my knowledge, information, and belief.
`
`Date: June 30, 2016
`
`02198-00022/80959073
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`6
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`SAMSUNG 1047-0007
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`SAMSUNG 1047-0007
`
`

`
`EXHIBIT 1
`
`EXHIBIT 1
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`SAMSUNG 1047-0008
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`

`
`The Mobile Broadband Standard
`
`-I»‘I'®OE&*E18-olrlilil-"'-'s'\‘CcYs
`
`ABOUT 3GF'F'
`
`5[JL:t;i'ir<;atIor1t= Groups
`
`Spccilicalions
`
`ZGPP C?llI,'l'|d£1T
`
`Tecllliolugies-3
`
`NL:v.rs 3. E\a'E,’|'1l5
`
`Harm’.-:
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`SllL‘£l!lI.1|.J
`
`CtJ:1l;!L;l
`
`3GPP Specification detail
`Go to spec numbering scheme page
`Backto seriesindex
`
`3GPP TS 36.321 (click spec number to see fileserver directory for this spec)
`
`Evolved Universal Terrestrial Radio Access (E-UTRA); Medium Access Control (MAC) protocol specification
`
`TSG IWG responsible: R2 (click TSGIWG to see its home page)
`Work item which gave rise to this spec: LTE-L23 (click Wt code to see Work Item details in die Work Plan)
`Work items which may have impacted this spec: cllclt here
`Rapporteur: STATHN. Magnus
`Specification required for: E~UTR.AN—based systems
`In the table below
`click meeting nurnberfor meeting details;
`click spec version nurnberto download that version;
`click SDO publication reference to download SDO transposed document.
`
`Release
`
`Freeze meeting
`
`Freeze date
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`2015-12-11
`
`::
`
`::
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`Re!-13
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`Rel-12
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`SP—?0
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`event
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`RP-T0
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`SP-E5
`
`event
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`RP—70
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`version
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`13.0.0
`
`available
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`2016-01-14
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`2014-09-17
`
`1:
`
`version
`
`available
`
`remarks
`
`12.8.0
`
`12.i".0
`
`2016-01-04
`
`2015-09-25
`
`remarks
`
`.
`
`.
`
`.
`
`.
`
`remarks
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`500 publications
`
`ETSI
`
`click refto download
`
`-
`
`ETSI
`
`click refto download
`
`RTS-|'TSGR—0236321vc80
`
`RTSl'TSGR—0235321vc‘i'0
`
`RP-59
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`RP-E-B
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`RP-6?
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`RP—66
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`RF‘—65
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`RP-64
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`RP-64
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`RP-63
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`RP—62
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`12.6.0
`
`12.5.0
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`12.4.0
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`12.3.0
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`12.2.1
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`12.2.0
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`12.1.0
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`12.0.0
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`2015-El?-03
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`2015-03-2?
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`2015-01-05
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`2014-09-23
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`2014-0?-10
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`editorial
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`2014—0?—02
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`2014-03-20
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`2014-01-0?
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`Rel-11
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`SP-5?
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`2012-D9-12
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`::
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`.
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`.
`
`event
`
`RP—6?
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`RP-63
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`RP-62
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`version
`
`available
`
`remarks
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`11.6.0
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`11.5.0
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`11.4.0
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`2015-03-2?
`
`2014-03-20
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`2014-01-0?
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`RTSl'TSGR—0236321vcE0
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`RT3"TSGR-0238321vc5I0
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`RTSJ"|'SGFl—0236321vc40
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`RTSl'TSGR—0236321vc30
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`RT3"TSGR-0238321vc21
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`—
`
`ETSI
`
`click refto download
`
`RTSl'TSGFt—0236321vbf.i0
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`RTSITSGR-023S321vb50
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`vb-10
`SITSG -0236321R
`RT
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`SAMSUNG 1047- 009
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`SAMSUNG 1047-0009
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`

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`remarks
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`Rel-10
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`RP-60
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`RP-59
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`RP-5-B
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`RP-5?
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`SP-51
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`event
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`RP—62
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`RP—30
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`RP—59
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`RP-50
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`RP-57
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`RF‘-55
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`RP-54
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`RP-53
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`F-{P-52
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`RP-51
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`RF‘-50
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`11.3.0
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`11.2.0
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`11.1.0
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`11.0.0
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`2013-0?-03
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`2013-03» 13
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`2013-01 -03
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`2012-09-24
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`2011-03-23
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`::
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`.
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`.
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`version
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`10.10.0
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`10.9.0
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`10.3.0
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`10.?.0
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`10.6.0
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`10.5.0
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`10.4.0
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`10.3.0
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`10.2.0
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`10.1.0
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`10.0.0
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`available
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`2014-01-0?
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`2013-0?-03
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`2013-03-13
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`2013-01-03
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`2012-09-21
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`2012-03-10
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`2011-12-21
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`2011-10-03
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`2011-03-24
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`2011-04-0E
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`2010-12-21
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`Rel-3
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`SP-46
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`2009-12-10
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`::
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`.
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`RTSJ"|'SGR—0236321vb30
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`RTS|"|'SGR—0235321vb20
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`RT5«"TSGR-023632111010
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`RTSJ'TSGR—023632‘1\rb00
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`ETSI
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`click ref to download
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`RTS.|'TSGR—0236321vaa0
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`RTS.ITSGR—0236321va'30
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`RT5:"'|'5GR—0236321va50
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`RTaI'TsGR-0236321va70
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`RTSJ'TSGR—0236321\ra60
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`RTSfl'SGR—0236321va50
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`RTS:|'T5GR—0235321va40
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`RTSITSGR-023632111830
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`RTSfl'SGR—0236321va20
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`RTS-'T5GR—0236321 V810
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`RTS.|"|'SGR-023E321va00
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`ETSI
`
`available
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`remarks
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`click ref to download
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`Rel-8
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`event
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`RP-55
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`RP-54
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`RF‘-53
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`RP-43
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`RP-47
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`RP-46
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`RP—45
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`SP—-42
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`event
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`RF‘-55
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`RP-54
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`RP-53
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`RP—43
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`RP-46
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`RP-45
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`RP—44
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`RP-43
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`RP-42
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`RP-41
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`version
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`9.6.0
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`9.5.0
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`9.4.0
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`9.3.0
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`9.2.0
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`9.1.0
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`9.0.0
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`2012-03-13
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`2011-12-21
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`2011-10-03
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`2010-06-13
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`2010-04-21
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`2010-01 -05
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`2000-09-23
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`2003-12-11
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`::
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`,
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`version
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`available
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`remarks
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`8.12.0
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`3.11.0
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`0.10.0
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`3.9.0
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`3.3.0
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`8.?.0
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`3.0.0
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`3.5.0
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`3.4.0
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`8.3.0
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`2012-03-13
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`2011-12-21
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`2011-10-03
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`2010-06-13
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`2010-01-05
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`2009-00-20
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`2009-06-13
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`2009-03-23
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`2009-01 -05
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`2008-09-23
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`RTS.I'TSGR—0236321v960
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`RTSITSGR-0235321\1'950
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`RTSI"|'SGR-0236321v-940
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`RTSfl'SGR—0235321v930
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`RTS.|'TSGR—0236321v920
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`RTSITSGR-0235321v910
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`RTS«"TSGR—0236321v000
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`ETSI
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`click ref to download
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`RTSFTSGR-0236321v8c0
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`RTS.|"|'SGR—0236321v3‘b0
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`RTSrrSGR—0236321vBa0
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`RTS.|"|'SGR—0236321vB90
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`RTSJTSGR-0236321v33-0
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`RTSTSGR-023332111370
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`RTS.|TSGR—0236321v3-60
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`RTS.|"|'SGR—0236321v350
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`RTSTSGR-0233321vB40
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`SITSG -023S321vB30
`SAMSEJTNG '1'o47—oo1o
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`SAMSUNG 1047-0010
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`DTSIT SGR—0236321v820
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`RP—40
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`RP-39
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`RP-38
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`RP-36
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`R2430
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`R2-60
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`R259b
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`RF-37
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`R2-59
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`R2-58b
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`R2-58b
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`R2-58b
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`8.2.0
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`8.1.0
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`3.0.0
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`2.0.0
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`1.3.0
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`1.2.0
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`1.1.1
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`1.1.0
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`1.0.0
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`0.2.1
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`0.2.0
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`0.1.1
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`0.1.0
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`0.0.0
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`2003-05-1?
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`2008 - 03- 20
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`200?-12-20
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`200?-12-11
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`RP-W091?
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`R2—0?54B8
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`R2—0?5243
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`R2-(F5093
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`2014-12-18
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`R2-0?4-530
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`200?—09-24
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`F€F'-[F0633
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`R2-073885
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`RP: 0?3?1 5
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`R2-[H2994
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`R2— W291 2
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`R2-0?2?10
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`Change Requests for this spec: click here.
`Genealogy of this spec:
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`anlecede nt(s}
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`page generated from database: 201 6-01-19 17:46:51
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`‘this spec
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`36.321
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`descend ant(s)
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`ABILHJT RELEASES
`
`BROVVSE '3 ECHNOLUGFES
`
`Release 14
`Release 13
`Release 12
`Release 1 1
`Release 10
`Release 9
`Release 8
`Release ?‘
`Release 6
`Release 5
`Release 4
`Release 1999
`
`LTE—Adva nced
`LTE
`Carrier Aggregation Explained
`HetNet.I'SmaiI Cells
`NAS
`The Evolved Packet Core
`HSPA
`UMTS
`W-CD MA
`GPRS 8: EDGE
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`SAMSUNG 1047-0011
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`SAMSUNG 1047-0011
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`

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`EXHIBIT 2
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`EXHIBIT 2
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`SAMSUNG 1047-0012
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`

`
`V8.2.0 (2008-05)
`
`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)
`
`TM
`
`Tlat‘ prcxcnt docllmtlnt has i:!t:I:11 developed within the 3"‘ (iencralion |’artnc:rs|1ip I‘rojz-:cl {3('il‘|‘ N} and Jnay he l‘urlht:r elalhurutcd for [he ptlrposcs oi‘ 3(il‘I‘.
`
`The prcxenl doCLlmt-:nL has not been suhiecl to any ilppftwill [}fl)E,‘t.‘SS by [he 3{iP1"0rga1I1ixa1tiona| Purlners and shall not be lI!'|pi|',‘I'|'lI3]'l1t:Li.
`'I'Iiis Specil'ICaliun is provided For future di.‘\«’Ci(l}’l’r'|‘It:l]l work within 3(il’l’oni_v, The ()rgani2;1lion2||
`|’arlncr!; accept no liaihilily for any use oi‘ 111 is Specification.
`Spccilicalions and regions lor implementation of [he .‘>(jPP '“ syslt.-in should be obtained via the SUPP Orgzmizalional |’a1nm:r5' Publications IZ)l‘l'1c::.=..
` -0013
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`SAMSUNG 1047-0013
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`Release 8
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`2
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`3GPP TS 36.321 V8.2.0 (2008-05)
`
`Keywords
`UMTS, radio
`
`3GPP
`
`Postal address
`
`3GPP support office address
`650 Route des Lucioles - Sophia Antipoiis
`Valbonne - FRANCE
`Tel_: +33 4 92 94 42 00 Fax: +33 4 93 65 4? 16
`
`Internet
`
`http:Hwww.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.
`
`CC: 2008. 3GPP Organiziltional Partners {ARIB, ATIS, CCSA, |:"|'S[. T['A. TIC).
`All rights reserved.
`
`3GPP
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`SAMSUNG 1047-0014
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`SAMSUNG 1047-0014
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`

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`Release 8
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`3
`
`3C-SPF TS 36.321 V8.2.0 (2008-05)
`
`Contents
`
`Foreword .......................................................................................................................................................... ..5
`
`1
`
`Scope ...................................................................................................................................................... ..6
`
`References .............................................................................................................................................. ..6
`
`Definitions and abbreviations ................................................................................................................. ..6
`6
`7
`
`l
`.2
`
`General ................................................................................................................................................... ..
`4.] Introduction
`4.2
`MAC
`4.2.]
`MAC
`4.3 Services
`
`4.3.]
`4.3.2
`4.4
`4.5
`
`Services provided to upper
`Services expected fromphysical
`Functions
`Channel structure
`
`TransportChannels
`4.5.]
`4.5.2 Logical
`4.5.3
`Mapping of Transport Channels toLogical
`4.5.3.1
`Uplinkmapping
`4.5.3.2
`Downlinkmapping
`
`MAC procedures .................................................................................................................................. ..
`Random Access
`Random Access Procedure initialization
`Random Access Resource
`Random Access Preamble transmission
`
`Random Access Response reception
`Contention
`
`._.
`
`555::
`
`4?
`
`Completion ofthe Random Accessprocedure
`Maintenance of Uplink TimeAlignment
`DL-SCH data transfer
`DL Assignment reception
`HARQ
`
`HARQ
`Disassembly and
`UL-SCHdatatransfer
`
`ULGrant
`HARQ
`HARQ
`HARQ
`Multiplexing andassembly
`Logical channel prioritization
`Multiplexing of MAC
`Scheduling
`Buffer Status
`Power Headroom
`PCH
`BCH
`Discontinuous Reception
`MAC
`MAC
`
`
`
`000000‘-JI--lG"\O'\G'\D\U‘I(.J1
`_——.—.—._..—-.—-_._—
`|*Jl\J|\Jl~Ji\JI~Jl\)l.‘-Jl‘-Jl\Jl\Jl\)—*—*-I1‘-P-I>.-LrJl.a~Jl‘\Jl\J—'—'—©@\-C2'0O
`
`Handling of unknown, unforeseen and erroneous protocol data
`
`3GPP
`
`SAMSUNG 1047-0015
`
`1
`2
`.3
`
`4 5
`
`.
`
`5.1.6
`5.2
`5.3
`5.3.]
`5.3.2
`
`5.3.2.2
`5.3.3
`5.4
`
`5.4.]
`5.4.2
`5.4.2.1
`5.4.2.2
`5.4.3
`5.4.3.1
`5.4.3.2
`5.4.4
`5.4.5
`5.4.6
`5.5
`5.6
`5.7
`5.8
`5.9
`
`5.)(
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`
`Protocol Data Units, formats and parameters ....................................................................................... ..24
`Protocol Data
`24
`24
`24
`MAC PDU (DL-SCH and
`MACControl 26
`
`I
`.2
`3
`
`6.1.3.4
`6. I .3.5
`6.1.3.6
`
`6. I .4
`6.1.5
`6.2
`6.2.]
`
`6.2.2
`6.2.3
`7
`?.l
`12
`
`Buffer Status Report MAC Control Elements
`C-RNTI MAC Control
`DRX Command MAC Control
`
`
`
`
`
`UE Contention Resolution Identity MAC Control
`Timing Advance MACControl
`
`Power Headroom MAC Control Element......................
`
`MAC PDU (transparent
`MAC PDU [Random Access Response}
`Formats andparameters
`MAC header for DL-SCH and UL-SCH
`
`26
`26
`26
`
`27'
`2?
`27
`
`28
`28
`29
`29
`
`30
`MAC header for Random Access
`30
`MAC payload for Random Access
`Variables and constants ........................................................................................................................ ..3l
`RNTI values
`32
`Backofl’ Parameter values
`32
`
`
`
`
`
`
`
`Annex A (informative):
`
`Change history ...............................................................................................33
`
`3GPP
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`SAMSUNG 1047-0016
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`SAMSUNG 1047-0016
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`

`
`Release 8
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`5
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`3GPP TS 36.321 V8.2.0 (2008-05)
`
`Foreword
`
`This Technical Specification has been produced by the 3"] Generation Partnership Project (3GPP).
`
`The contents ofthe present document are subject to continuing work within the TSG and may change following formal
`TSG approval. Should the TSG modify the contents ofthe present document, it will be re—re|eased by the TSG with an
`identifying change of release date and an increase in version number as follows:
`
`Version x.y.z
`
`where:
`
`x
`
`the first digit:
`
`I
`
`presented to TSG for infonnation;
`
`2 presented to TSG for approval;
`
`3
`
`or greater indicates TSG approved document under change control.
`
`3!
`
`the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
`updates, etc.
`
`2
`
`the third digit is incremented when editorial only changes have been incorporated in the document.
`
`3GPP
`
`SAMSUNG 1047-0017
`
`SAMSUNG 1047-0017
`
`

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`Release 8
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`3GPP TS 36.321 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 ofthe present
`document.
`
`0 References are either specific (identified by date of publication. edition number, version number, etc.) or
`non-specific.
`
`I
`
`0
`
`:1]
`
`:2]
`
`:3]
`
`:4]
`
`:5]
`
`:6]
`
`For a specific reference. subsequent revisions do not apply.
`
`For a non-specific reference. the latest version applies. In the case ofa reference to a 3GPP document (including
`a GSM document], a non-specific reference implicitly refers to the latest version ofthat document in the same
`Release as the present document.
`
`3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
`
`3GPP TR 36.213: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical Layer
`Procedures".
`
`3GPP TS 36.322: “Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Link Control
`(RLC) protocol specification".
`
`3GPP TS 36.323: “Evolved Universal Terrestrial Radio Access (E-UTRA); Packet Data
`Convergence Protocol (PDCP) Specification".
`
`3GPP TS 36.212: “Evolved Universal Terrestrial Radio Access (E-UTRA]; Multiplexing and
`channel coding".
`
`3GPP TS 36.2 I4: “Evolved Universal Terrestrial Radio Access (E-UTRA]; Physical layer:
`Measurements”.
`
`3
`
`Definitions and abbreviations
`
`3.1
`
`Definitions
`
`For the purposes ofthe 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 ofthe same term, ifany, in TR 21.905 [1].
`
`Active Time: time during which the UE monitors the PDCCH for a PDCCH-subframe. Section 5.? defines the
`conditions for which a subframe is included as part ofActive Time.
`
`Contention Resolution Timer: Specifies the number ofconsecutive PDCCH-subfran1e{s) during which the UE shall
`monitor the PDCCH after the uplink message containing the C-RNTI MAC control element or the uplink message
`associated with UE Contention Resolution identity submitted from higher layer is transmitted.
`
`DRX Cycle: Specifies the periodic repetition ofthe On Duration Followed by a possible period of inactivity (see figure
`3.|-l below).
`
`3GPP
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`SAMSUNG 1047-0018
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`SAMSUNG 1047-0018
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`

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`3GPP TS 36.321 V8.2.0 (2008-05)
`
`4 On .D1.'f£J'fit)i? HI
`
`Op_.rmrrmiir_i'_fE:r DRX
`
`Iv
`
`L-'.F.'
`
`.\'.Ilifl'.l.|l mom'mJ'
`PUCC.-'.-’
`
`I
`
`4
`
`-IJRX (:}‘£‘.’t.’
`
`I»
`
`Figure 3.1-1: DRX Cycle
`
`DRX Inactivity Timer: Specifies the number of consecutive PDCCH-subframets] after successfully decoding a
`PDCCH indicating an initial UL or DL user data transmission for this UE.
`
`DRX Retransmission Timer: Specifies the maximum number of consecutive PDCCH-subframe{s} for as soon as a DL
`retransmission is expected by the UE.
`
`DRX Short Cycle Timer: This parameter specifies the number of consecutive subframe{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 ofsubframe{s} before a DL HARQ retransmission
`is expected by the UE.
`
`On Duration Timer: Specifies the number of consecutive PDCCH-subframets} at the beginning ofa DRX Cycle.
`
`RA-RNTI: The Random Access RNTI is used on the PDCCH when Random Access Response messages are
`transmitted. lt unambiguously identifies which time-frequency resource was utilized by the UE to transmit the Random
`Access preamble.
`
`PDCCH—sulJframe: For FDD UE operation, this represents any subframe; 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-subframes and subframes including DwPTS are considered as subframes
`where the timer, ifrunning, shall be updated.
`
`3.2
`
`Abbreviations
`
`For the purposes ofthe present document, the abbreviations given in TR 21.905 [1] and the following apply. An
`abbreviation defined in the present document takes precedence over the definition ofthe same abbreviation, if any, in
`TR 21.905 [1].
`
`BSR
`C-RNTI
`
`CO]
`E-UTRA
`E-UTRAN
`MAC
`
`PHR
`P-RNTI
`RA-RNTI
`
`RNTI
`SI-RNT]
`SR
`SRS
`TB
`
`Buffer Status Report
`Cell RNTI
`
`Channel Quality Indicator
`Evolved 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
`
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`Release 8
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`3GPP 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 of view.
`
`4.2
`
`MAC architecture
`
`The description in this sub clause is a model and does not specify or restrict implementations.
`
`RRC is in control ofconfiguration of MAC.
`
`4.2.1
`
`MAC Entities
`
`E-UTRA 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 {PCH);
`
`Uplink Shared Channel [UL-SCH);
`
`- Random Access Channei(s) {RACH).
`
`The exact functions performed by the MAC entities are different in the UE from those performed in the E-UTRAN.
`
`4.3
`
`Services
`
`4.3.1
`
`Services provided to upper layers
`
`This clause describes the different services provided by MAC sublayer to upper layers.
`
`-
`
`-
`
`data transfer
`
`radio resource allocation
`
`signalling of Scheduling Request;
`
`4.3.2
`
`Services expected from physical layer
`
`The physical layer provides the following services to MAC:
`
`data transfer services;
`
`signalling of HARQ feedback;
`
`-
`
`-
`
`-
`
`- measurements (e.g. Channel Quality indication (CQ[)).
`
`The access to the data transfer services is through the use oftransport channels. The characteristics ofa transport
`channel are defined by its transport format (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.
`
`3GPP
`
`SAM SU NG 1047-0020
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`SAMSUNG 1047-0020
`
`

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`Release 8
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`3GPP TS 36.321 V8.2.0 (2008-05)
`
`4.4
`
`Functions
`
`The following functions are supported by MAC sublayer:
`
`- 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:
`
`-
`
`-
`
`-
`
`-
`
`-
`
`demultiplexing of MAC SDUs front 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 UEs by means of dynamic scheduling;
`
`priority handling between logical channels ofone UE;
`
`- Logical Channel prioritisation;
`
`-
`
`transport format selection.
`
`NOTE:
`
`How the multiplexing relates to the QoS ofthe multiplexed logical channels is FFS.
`
`The location ofthe different functions and their relevance for uplink and dovvnlink respectively is illustrated in Table
`4.4-1.
`
`Table 4.4-1: MAC function location and link direction association.
`
`MAC function
`Mapping between logical channels and transport channels
`
`UE
`X
`
`Multiplexing
`
`Dernultiplexing
`
`Error correction through HARQ
`
`Transport Format Selection
`Priority handling between UEs
`Priority handling between logical channels of one UE
`Logical Channel prioritisation
`Scheduling information reporting
`
`X
`
`X
`
`X
`
`X
`X
`
`eNB
`
`X
`
`X
`
`X
`
`X
`
`X
`X
`X
`
`Downlink
`X
`
`Uplink
`X
`X
`
`X
`
`X
`
`X
`X
`
`X
`X
`X
`
`X
`
`X
`X
`X
`
`X
`X
`X
`X
`X
`
`4.5
`
`Channel structure
`
`The MAC sublayer operates on the channels defined below; transport channels are SAPS between MAC and Layer l.
`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 below.
`
`Table 4.5.1-1: Transport channels used by MAC
`
`3GPP
`
`Transport channel name
`Broadcast Channel
`Downlink Shared Channel
`Paging Channel
`Uplink Shared Channel
`Random Access Channel
`
`Acronym
`BCH
`DL-SCH
`PCH
`UL-SCH
`RACH
`
`Downlink
`X
`X
`X
`
`Uplink
`
`X
`X
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`4.5.2
`
`Logical Channels
`
`The MAC layer provides data transfer services on logical channels. A set oflogical channel types is defined for
`different kinds of data transfer services as offered by MAC.
`
`Each logical channel type is defined by what type ofinformation is transferred.
`
`MAC provides the control and traffic channels listed in Table 4.5.2-l below. When MAC uses the PDCCH to indicate
`radio resource allocation, the RNTI that is mapped on the PDCCH depends on the logical channel type:
`
`- C-RNTI, Temporary C-RNTI and Semi-Persistent Scheduling C-RNTI for DCCH and DTCH;
`
`-
`
`P-RNTI for PCCH:
`
`- RA-RNTI for Random Access Response on DL-SCH;
`
`- Temporary C-RNTI for CCCH during the random access procedure;
`
`-
`
`Sl-RNTI for BCCH.
`
`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
`BCC!-I
`PCCH
`CCCH
`DCCH
`DTCH
`
`Control channel
`X
`X
`X
`X
`
`Traffic channel
`
`X
`
`4.5.3
`
`Mapping of Transport Channels to Logical Channels
`
`The mapping oflogical 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 Table 4.5.3. 1-].
`
`CCCH
`
`DCCH
`
`DTCH
`
`___£.—>____
`
`ll‘
`
`U 1''
`pill
`
`Figure 4.5.3.1-1
`Logicczl chanarefs
`
`_ _ _ _ _ _ _
`
`_ _ _ _ _ _ _ __
`UL-SCH
`
`Q
`RACH
`
`Upfink
`'i"mnsport charms.-’s
`
`Table 4.5.3.1-1: Uplink channel mapping.
`
`Transport channel
`Logical channel
`CCCH
`DCCH
`DTCH
`
`UL-SCH
`
`RACH
`
`X
`X
`X
`
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`
`SAMSUNG 1047-0022
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`

`
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`
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`
`3GPP TS 36.321 V8.2.0 (2008-05)
`
`4.5.3.2
`
`Downlink mapping
`
`Tl1e MAC entity is responsible for mapping the downlink logical channels to downlink transport channels. The
`downlink logical channels can be mapped as described in Figure 4.5.3.2-I and Table 4.5.3.2-I.
`
`l')0wm’fmlr
`.’.ogica:’ culranirefs
`
`Drni-riliiik
`Transport cha.-mels
`
`
`
`BCCH
`
`CCCH
`
`DCCH
`
`DTCH
`
`D.
`
`D
`
` —
`
`BCH
`
`D
`DL—SCH
`
`PCCH
`
`{E
`
`PCH
`
`Figure 4.5.3.2-1
`
`Table 4.5.3.2-1: Downlink channel mapping.
`
`Transport channel
`Logical channel
`BCCH
`PCCH
`CCCH
`DCCH
`DTCH
`
`BCH
`
`X
`
`PCH
`
`DL-SCH
`
`X
`
`X
`
`X
`X
`X
`
`5
`
`MAC procedures
`
`5.1
`
`Random Access procedure
`
`5.1.1
`
`Random Access Procedure initialization
`
`The Random Access procedure described in this subclause is initiated by a PDCCH order or by the MAC sublayer
`itself. The PDCCH order or RRC 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 ofthe 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 ofthe two groups of Random Access Preambles.
`
`the parameters required to derive the TTI window described in subciause 5.1.4.
`
`the power-ramping factor POW ER_RAM P_STE P.
`
`the parameter PREAMBLE_TRANS_MAX [integerfi 0].
`
`the initial preamble power PREAMBLE_ INITlAL_RECElVED_TARGET_POWER.
`
`the parameter Maximum number of Message3 HARQ transmissions.
`
`[Note that the above parameters may be updated from higher layers before each Random Access procedure is initiated]
`
`3GPP
`
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`SAMSUNG 1047-0023
`
`

`
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`3GPP TS 36.321 V8.2.0 (2008-05)
`
`The Random Access procedure shall be performed as follows:
`
`-
`
`-
`
`-
`
`-
`
`Flush the [Message3] buffer;
`
`set the PREAMBLE_TRANSMISSION_COUNTER to 1;
`
`set the backoffparameter value in the UE to 0 ms;
`
`proceed to the selection ofthe Random Access Resource (see subclause 5.1.2).
`
`NOTE:
`
`There is only one Random Access procedure ongoing at any point in time. lfthe 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:
`
`-
`
`-
`
`[fthe Random Access Preamble and PRACH resource have been explicitly signalled and the Random Access
`Preamble expiration time. if configured, has not expired:
`
`-
`
`the UE can directly proceed to the transmission of the Random Access Preamble (see subclause 5. I .3).
`
`else the Random Access Preamble shall be selected by the UE as follows:
`
`-
`
`-
`
`-
`
`-
`
`-
`
`Ifthe uplink 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 ofthe message to be transmitted on the UL or the requested resource blocks [FFS]
`[the selection also depends on radio conditions], select one ofthe two groups of Random Access
`Preambles configured by RRC.
`
`else, ifthe uplink message containing the C-RNTI MAC control element or the uplink 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 ofthe 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 of the allowed selections can be chosen with equal probability;
`
`if more