ETSI TS 136 300 V/8.0.0 (2007-03)
`
`Technical Specification
`
`Universal Mobile Telecommunications System (UMTS);
`Evolved Universal Terrestrial Radio Access (E-UTRA) and
`Evolved Universal Terrestrial Radio Access (E-UTRAN);
`Overall description;
`Stage 2
`(3GPP TS 36.300 version 8.0.0 Release 8)
`
`TAY
`
`
`
`HTC/ZTE Exhibit 1016
`
`

`

`3GFP TS 36.300 version 8.0.0 Release 8
`
`1
`
`ETSI TS 136 300 V8.0.0 (2007-03)
`
`Reference
`DTS/TSGR-0236300v800
`
`Keywords
`UMTS
`
`ETS!
`
`650 Route des Lucioles
`F-06921 Sophia Antipolis Cedex - FRANCE
`
`Tel. #33492 944200 Fax: +33 493 65 47 16
`
`Sirat N° 348 623 562 00017 - NAF 742 C
`Association & but nan lucratif enregistrée a la
`Sous-Préfeciure de Grasse (06) N* 7803/88
`
`Important notice
`
`Individual copies of the present document can be downloaded from:
`http://www. etsi.org
`
`The present document may be made available in more than one electronic version or in print. In any case of existing ar
`perceived difference in contents between such versions, the reference version ls the Portable Document Formal (PDF).
`In case of dispute, the reference shall be the printing on ETSI printers of the PDF version kept onaspecific network drive
`within ETSI Secretariat,
`
`Users of the present document should be aware thal the document may be subjectto revision or changeofstatus,
`Information on the current status of this and other ETSI documents is available at
`hitp://portal_etsi.org/th/status/status.a
`
`If you find errors in the present document, please send your commentto one of the following services:
`hitp:/;
`.8tsiorg/chaircor/ETS
`
`Copyright Notification
`
`No part may be reproduced axcept as authorized by written permission.
`The copyright and the foregoing restriction extend to reproduction in all media.
`
`© European Telecommunications Standards Institute 2007.
`All rights reserved.
`DEcT™, PLUGTESTS™ and UMTS™ are Trade Marks of ETSI registered for the benefit of its Members.
`TIPHON™ and the TIPHON logo are Trade Marks currently being registered by ETSI for the benefit of iis Members,
`3GPP™is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners.
`
`HTC/ZTE Exhibit 1016-2
`
`

`

`3GPP TS 36.300 version 8.0.0 Release 8
`
`2
`
`ETSI TS 136 300 V8.0.0 (2007-03)
`
`Intellectual Property Rights
`
`IPRs essential or potentially essential to the present document may have been declared to ETSL. The information
`pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
`in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
`respect ofETSI standards", whichis available from the ETSI Secretariat. Latest updates are available on the ETSI Web
`server (htip://webapp.etsi_ore/IPR /horme.asp).
`
`Pursuant to the ETSI IPR Policy, no investigation, including [PR searches, has been carried out by ETSI, No guarantee
`can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
`server) which are, or may be, or may become, essential to the present document.
`
`
`Foreword
`
`This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP).
`
`The present docurnent may refer to technical specifications or reports using their 3GPP identities, UMTSidentities or
`GSM identities. These should be interpreted as being references to the corresponding ETSIdeliverables.
`
`The cross reference between GSM, UMTS, 3GPP and ETSIidentities can be found under
`hitp://webapp.etsi.ora/key/queryform.asp.
`
`HTC/ZTE Exhibit 1016-3
`
`

`

`3GPP TS 36.300 version 8.0.0 Release 8
`
`3
`
`ETSI TS 136 300 V8.0.0 (2007-03)
`
`
`
`Contents
`
`Intellectual Property Rights 0.00... ees ceeeeeeeetsensenereesseseesseseecescesearsesseseceescssereseesaecaeecesorsaeesseseaseseeseaneneseesane2
`
`FOTEWOT. ....cceccescesceceeseeseesesceceeseeseesecaeeecsaecaesaessscaseasenecscesenseescaseasenensevaseaeesesaseasenesaesaeseeesseesateaeerersesaneseraeeaneaetaned 2
`
`FOTEWOTK,.0..ceecescsececeecseccecescesscucessssecseeseaccueeseaseaseasececacesersceecateaseneseraeeeeaesescacenesaeeeeserenseseraeeaeesereeesaeersaeansaasatea 8
`
`SCOPC oe eesecsesesccseescssactscesencecessceeassscessceesseaecnseconecessveveasensenasentenseececenevateraesensceaeessnesieserensesnsessatasesieeeseeienes 9
`
`RefETENCES 0... eee eeeeecneesererereerenseeeeerereeesaeseseesaessassesaaeeesaesssansassaaeaessuesesersnaseasenecaeseceeseevarssteseeeusaeseneeesensnesae 9
`
`Definitions, symbols and abbreviations .........cesssessctesseeescecesceetseeecsesaceesnecseeaceeescereneaseevasnevaesasaeestieaees 9
`
`Definitions..........
`Abbreviations oo... cc eessseensenseceseseesessesseeescssecsssasscesenssensonseseansessosseesseesesensnsecaseneatenssenacsareeenserseaeasseenteasesategs 10
`
`1
`
`2
`
`3
`3.1
`3.2
`
`4
`Al
`42
`4.2.1
`4.2.2
`43
`4.3.1
`4.3.2
`
`Overall architecture 0.2.0... ccccsscescecesceesseeseecesesecenseetseaesacsesncecsassnecasenseaessacseenseseseesseeeesaeeaeeneveeeaseasease 11
`Functional Split 0... casecsescsceeereserecneeeesceeseveecsesasecscsessssesessensesensesscesssssssesseeseseessaseeeeeeensesseseseseresenssessreenens 12
`Tinterfaces......esesseecseesesesesesccsersecseccesasesseseseeseeseesecsenesesessenenscsecaseasensesssaeesecasenessaeserseneeedeesesatateseeseeserseneseeeseaves 13
`
` 13
`S1 Interface......
`
`HQ Interface osc ecesenecescsceseesecsenseneseenecseesecosnensesescessensecsavseeserseeseesasseesueseseeesssesesarevsesssedessenes
`«13
`Radio Protocol architecture 00... cscesccsesesesesesesesteceseerensseetecetenensensoesenseccesenssessserssassesesesnseassasesetees
`ld
`User plane oo. eee seeneees
`13
`Control plane ......ecceeeeesceccesescecsceuerecsaceceeeseesaesssuecaesnesessceseeseeeseeesseessenseseseeensenneseessesstsesnseasessesetenseseneneetenes 14
`
`
`
`5
`Physical Layer for E-UTRA ......ccceeccsecsscsceseseeereseeeeeeeeeesessecseesesaeseneeseesseenecesseessasescaesasesasensaneaseansasenesas 15
`5.1
`Downlink Transmission Scheme .........:.c:scsccscseseetesseeecseeseceeneceeeecaceacecceacecevessaceaeeacsacecesteeasensuecseseasenesaeeneeseeaees 15
`5.1.1
`Basic transmission scheme based on OFDM...
`hese
`1S
`5.1.2
`Physical-layer processing ........cccssssssssescesssserscscseesenenensensseesensecessosseceneaacacaceacatsenssscessnevarscensnenssnerscsersesetes 16
`5.1.3
`Physical downlink control chantel ..........cccsccssesssssesessessessesseseeeseeesnsenssesseaeseecetersseceaesseseteeeseteceeaeeaeseseeseae 16
`5.1.4
`Downlink Reference signal...
`16
`5.1.5
`Downlink multi-antenna transmission ........csessscseseeseececesseconeeetsessesseaseceetscesenacsenseasenssenserensenseaseatatensneneeens 17
`5.1.6
`MBSEN tranSmisSion.............ccscesscesceccecreesececescesceeseeacaceaesecscesacstcsaesaeotesecsacsaesscnsasensesaeecenaeeenseseeeneneneneenes 17
`5.1.7
`Physical layer procedure....
`LT
`
`5.1.7.1
`Link adaptation. .........ccececccscscsesseeesceecercencecconencscesecaeeseveesaeseesessaessesaesaeaavscenseaeesesassasesecatsaeenssaeoseessensease 17
`5.1.7.2
`Power Control ...ccccsccssscesesssscensesecenecsesasscacenseeesenssonsaeenssecnsscaneseseneersaesensenseesecenseassensensesteesessesacasenees 17
`
`5.1.7.3
`17
`Cell search ......cecceceseceeceeseereeeeeeteeeeees
`5.1.8
`Physical layer measurements definition.........csccssssscesssseceeesecceeseneescesserecsecsesscestecesaceneesevaceneeeeenesorenecssaecaee 17
`5.2
`Uplink Transmission Scheme.........ccsscsessscesseecsenersssensesssenerscesecceesaessneeeserenenaceseassatarsevacsesasersenteeseecseeassesaeses 18
`5.2.1
`Basic transmission SCHEME............:ccscsccseeecceceoseeeeceeseeeeseceeenecsetscensesetsevsessessecaeeaesecaesnesasenes
`18
`
`5.2.2
`Physical-layer processing ........:..:ccscscceceeceereeesceneceescesescecesacenesuceeessesseeeseceneenevaeeteneesseatenenseeaes
`18
`
`5.2.3
`Physical uplink control chantiel 00...
`ceesecsesssetensenenesessensesseccesenesecnensseseeneaaceteersneecsersenteeseees
`weld
`
`5.2.4
`Uplink Reference signal... sceesesesserereeeseeereetsesreeenensracesenseeentes
`ld
`
`5.2.5
`Random access preamble... eceseseseeseseserseeeeseetesesesenseesassesaseeentes
`wld
`
`5.2.6
`Uplink multi-antenna transmission........csecsesceeeseectenerseeceeeeetenseeeeees
`wild
`
`5.2.7
`Physical channel procedure........ec.ccessssesseccnseeeserseeeseeevssseeeeanseneseneetes
`20
`
`5.2.7.1
`Link adaptation oc ccsceeseecssenesccetecseeseseessersrseesenaseenteneseenesnsess
`1120
`
`5.2.7.2
`Uplink Power Control ......cccceeccsessessesseesssseneenesensnecseneessseneeneneseesatens
`20
`
`5.2.7.3
`seceeeaeeaeaneeseneneereeteneseatsaenenes
`20
`Uplink timing control...
`
`5.3
`Transport Chantel... ccsssssesscesesssseneesesensesesensneccnsessecseesnecsenseaseseresaceasecsensseaessesesseseseesuvassesassaees
`1.20
`
`5.3.1
`Mapping between transport channels and physical channels. ..........ceseeeseeseeneeeeseceeeseeseeeeeeeees
`21
`
`5.4
`E-UTRA physical layer model 00... ccecesssssesessecensesenesseaescecsssseecenseceesenseceneaasacueseasaasanaseaseaaseararaeeas
`we 22
`
`
`
`5.4.1 Physical-layer model of E-UTRA transport channels...ceceseseseeeteeessentceeseseseneneeneensrerares we 22
`
`Downlink-Shared Chanel .0.........cecceseccceseeceeeeeeeeeenerecereseceeesceseesecseeseraceseeneeaseeseseaeesseaseeeees
`vied
`5.4.1.1
`
`Broadcast Channel...........ceee
`daseateneaeeueeseeeeteeerenteneeeteaters
`123
`5.4.1.2
`
`
`Paging Chantel .0......cccssscsssssssscescesenscesessceseseesssesseeseseeeeeseeeeeeneeseeeseeeenes
`wae
`124
`5.4.1.3
`Multicast Chanel..........ececccceeccseecencesecsccensceesesecsecssenesacsacseceeesaenescesersaessessesassnesaesaeesenaseeessorecsasersaseeses 26
`5.4.1.4
`5.4.1.5
`Uplink Shared Chantel ........cccececcessesseseeecereeeeseceesseseesavscesensaesseeassceneesceaevsceaseaeesevacenseesseseeeneseaveaeenenes 27
`.
`5.4.1.6
`Random-access Channel.....
`
`Physical-layer indications ..0........:cecessescesceccesesseeseesoneesceceaccnavaceasesereeceesecsasenecsaeeeseassaeaesaeesavseeseasseresevsesareees 28
`5.4.2
`
`
`
`HTC/ZTE Exhibit 1016-4
`
`

`

`3GPP TS 36.300 version 8.0.0 Release 8
`
`4
`
`ETSI TS 136 300 V8.0.0 (2007-03)
`
`LAYCL 2... eeccececcesetecesseeeeeeceneeeecesecessenecateceeseseasvarenareeeseesnererseresereenersterseeseeeddstsessasessssseeseessiessieessessesseges28
`6
`6.1
`MAC Sublayet.......eeeeccesesessceseesevseesseeeceaesecseensensenseessaesesseesccaseaesassaeacesesevsenseesaness
`cecentecenecsceaeeseraceeesereneneees 30
`6.1.1
`Services and Functions 0.00...
`ccessescescssecoreseeccecenescecescesnenecsneseeseecessesacatereeecaceeseescsaseetsevesssenserareseesseeetererd 30
`
`
`Logical Chanteels 20.0... csecssssesesssesserevseeeseecsecseeecsseseseseeeseneeesensgeserassssesseseesesercaeseassedesessasseeseensceeaseaseeenoes 30
`6.1.2
`
`Control Channels .........ccccccesccssccssscsssscsssecscsssssssscacesccseeseessacnsseceaeesaceusessqesassersqeeneseseeseevetersersasenesens 30
`6.1.2.1
`
`Traffic Channels...........eccccceceesesesesceeesecereeceseeeteneseeserenesaee
`seceseesseasseceseaseeserseneveceseeeeesaeess 31
`6.1.2.2
`
`6.1.3 Mapping between logical channels and transport channels..0......tceeeeesseseretessereesssesesessescsesesseseceseaeeenees 31
`
`Mapping in Uplink occ scssecstceescessesseenecnseetscserecsceserensvenserarcasersesasacenesssesssseseseesassossesesseeserenteeves 31
`6.1.3.1
`
`6.1.3.2 Mapping in Downlink ooo...cceeeesesetsecsertseeseseersseetscsescesseseressesseeesseaseceesenecssenssestescssossansenesseraseecnensnenses 31
`
`
`RIC Sublayer ccc ccesscsccsesessseccesceseacenseesccaecnensenensecsceeesonesseesoneseeesaseseesasenssenaenass
`6.2
`
`6.2.1
`Services and Functions...
`
`PDUStructure...
`6.2.2
`
`
`6.3
`PDCP Sublayer.......
`Services and Functions...
`6.3.1
`
`PDUStructure...
`6.3.2
`
`Data flows through Layer 2........cccsscccssessesesenceseesscesescecsersessoeseserensesteneeconensacesasenesdersasesecsaessesssesssesseeseuesusenaas 34
`6.4
`
`7
`RRC. cccccscecesscscceseserensceseesaeeeanersceeeeeaeescaeeneneseeessaeeneesaacnsaseseassaeasenesesasonssereaeessaeesaeseasesnesseneesnresmneasaetes 34
`
`71
`Services and FUNCtions....... cc csesssscescesseesseeeeseseeseateseneneseescsecscsseasecusesesscartessenssesssessosssssseseseossnesesensssseessasensseeee 34
`
`7.2
`RRCprotocolstates & state transitions 00...
`cssceeeseseseecerereceeetersessesderarsesacsenseesevseeseassasssessessveevessesenseseneeeaes 35
`
`73 Transport of NAS Messages.......eeesecseeeseseeeseeesceseesteecseeseeseceecnereeseserenssesecsesassesecssesseassecasessenssseaseassensasasenss 36
`
`System Information ........ cc ceeeceeseecessereeceecsersceseeeceeceaeeessesseeasnesesseceseseeseraressesevseseeseeseeseveesseeseseeticeesasasseseeseeseee 36
`74
`RRC Procedures 0.0.2... ceeseseccscssececeereeeeeceteesceneecnevsccseensacseeneeseeseceeeaesesesessevecseseserssereseeevasesensseressessseeseesssessnsees 37
`TS
`
`
`
`8
`8.1
`8.2
`
`9
`9.1
`9.2
`9.3
`
`E-UTRAN identities... cc ecceecsseeseeeeseececeeecneeseceeceeeeenecnerereeceasessessansaseaesaesassassassasseceneasseuerassesrsesneses 37
`E-UTRAN related UE identities ..0.........ccececescescesceccesceeesrecevecseevecsessavaceseeseeaecnevsenaeenenecsaeaseasneetaseageeeseseneeseraeraes 37
`Network entity related Identities .00...... cc cesessesseseescenesressessenseneesseecorcncesecsecesererseesessceacotesevaceaeseeseaseneeaeeneenenee 37
`
`ARQ and HAR.o..ccecccsssecscesseseeeceseeecessesetaneesueseseneneesscesecaeneceseeserecsesaeesecaeseseesnedeasesatesseveseaenesseseeeenenene38
`HARQ principles... eeecescesseseteesscsecseserscsscsessssccsssssaevecsavsceesesessssensssssasecausaeteseusasseasecuneaceeuensesessreseseenseeenes 38
`ARQ principles... cceeesesecessctescecceseceecseserseneerecseseseeeseasaenessssecsasssstessaeneasssedeqeesssesecsueseeseecseaceensensaceesecesenases 38
`HARQ/ARQinteractions .......ccccccssecsessetsescereeceecenscsscseescacsensnecaessessesarecesacseeceecacensensseesaeasecenessaesensesessaeesseeseass 38
`
`
`
`LO Mobility... cee eecccseseccesensectscseeeceeesenaeceseaecaeeasecseesevenenaneraceeesaeesesereesssessesnadeeesntessesdseasesesssaseneseessensenes 39
`Tritra E-UTRAN ....cecccccesescssesescesesececscesceacsessecessencaesscessssnenscsnesenceaesesceassenensenepsseaasenesaeeseasecstenssaranserersseasenenseneags 39
`10.1
`
`Mobility Managementin LTEIDLE 20... scceeeeeeseeeceneesereeesecsesaeensenesaseserseeaeneseseceaereeseessarsaseseeeseenes 39
`10.1.1
`Cell selection... cececcsscsccceceecsereececensenceeeseceseseeseeseeneoscenseseesesassaesaersceeeesesseeneesseasenssacteasedsesensenaseeaes 39
`10.1.1.1
`
`
`Cell reselection.......ccscscecsessesseessesseseescsseceesceceescesececorenseseescesevaeeaecseeeecseatessseaessenaeaeeasessesseeeneeseneaeseetseeess 40
`10.1.1.2
`
`Handling in CNB 00.0... ececceceescesseeceecsecsecesaceneccsesaeeneeaesaeaesceeaesaeneeasesseqseseaesnecsteaeneneeesicaesederssseseesseones 41
`10.1.1.3
`
`Handling above NB ........cccsccccsscsscsecsceseessescecteceescetenececeaeerevaceacaceceesseseessensusesacscerseseseeseenesesseaseeneaseaeens 4]
`10.1.1.4
`
`Mobility Management Entity (MME).0.......c.cecscesescescescceseseecescecescsesscnecsesceseeecassenscaesanseneneenensesecentassane 41
`10.1.1.5
`
`Mobility Managementin LTEACTIVE... cceesecsesessseeeceseeeenecescsaeesenessacsessscaseeesaseeteseaseessssesaaenesnases 4]
`10.1.2
`
`seseeseeseceneenseseereeeeneerseesaveneenees 4]
`Handover ......cecsecccesecereceeteeeeceeeeeesaceneess
`10.1.2.1
`
`
`eecesecseseeceeeeceeesacseseessseceesessesaccesseeaeeneensenssasaeseseassasneeseesaeseeeassaraseansaeees 41
`10.1.2.1.1
`C-plane handling 0...
`eeeeceensesesenenseseesesarscsssessessesssesseensscsesscesesssessasecarensesscsseneasseseeeuseeseessnesesaeenes 43
`U-plane handling... cee
`10.1.2.1.2
`
`Path Switch 2... ecceescesesececesescecesecsenesecaceceeceesessessenasevsssacseaesseeesesasseeseseneeeseanesreassenavaceeeeteaesacseneenes 44
`10.1.2.2
`
`Data forwarding .......ccescssessesssessessenseceeneneeeecsecacencasesseeeessueceneorsasenecsaseaseeesssnacsdcaesasaesaenesseeeesseteasoneeaees 44
`10.1.2.3
`
`Handling in @NB .......ccccssssscessessesseseenesscsneseesessccscssesaeseecassacsesorssseatecseeasceneeseeseesessesaeaceienseserseesesseneenees 44
`10.1.2.4
`
`Handling above ENB... ceseseeseeereetesereeereeeseenene
`10.1.2.5
`Mobility Management Entity (MME)... cc eecsssscsseesesesssecetercenssenscnersseessesenerersssseansesseeeseesesnnsesenseasgs 44
`10.1.2.6
`10.1.2.7
`Timing Advance... .ccscccscccseccsccerecsssenseecesseseesenensatenseserecsevsccserenserscensecerasoeeseasteessessaeneasseeesesansesssentenaee 44
`Measurements ..0.....cceecseeecseceesecescerscesecececeaeeneeeseesscessesecsssessassessaeeseesseseeessuenseausassaseuensesnesesersusensseeetesesareees 44
`10.1.3
`
`Neighbour cell measurements within the serving frequency layer... cssesesseeeseereceterersetecsessersearens 45
`10.1.3.1
`10.1.3.2
`Neighbour cell measurements of other frequency layers... eceesesescarseseneseseesssesessesesassensasarsecesssens 45
`Paging and C-plane establishment«0.0... esssccnesseenecnerersererenteneseecesssacsesansssseetssssesssessvessenessesensersscavatees 45
`10.1.4
`
`Random Access Procedure .........scsecessscsesceesserseensesenseecerscsecneceeseeseesesseesssueneesensesseveesacessevateeesrasaueeaseeneeaes 45
`10.1.5
`10.1.6
`Radio Link Failure 0.0... cccccsceeseessescecceseessssesesscesecsesacecevscsesneceseneseesecsecsecseensesessassasaeeaeasesgeaeessosssnenseseeeaeeaes 47
`10.1.7
`Radio Access Network Sharing ...........c:eccessscsessosecesceseeeeseneeceorstaceeenecuavseesessasscesesesaceecreeneaseasesseessenesesesoaes 48
`
`Handling of Roaming and Area Restrictions for UEs in LTE_ACTIVE uu... ccs ecccseeserererscssesessensesearsaee 48
`10.1.8
`10.2
`Trnter RAT oo..eeeeeseesescessescteseeececeeeessceaecsacsaceececseeaeenenseessecensesaeaesasenessessesagesssesesecaecsscensessevaceasentssesseeassesssenssnares 48
`10.2.1
`Cell reselection 0...
`ccssecsssetsecsseesenscsscssatscenssenscssesecesersesesereetscersassedessssseeasaseesessessecesesseeneneessesenseneesssenens 49
`
`Handover .....ceecsscescscecceceetencecesceecesctenevsecececeraeeaeeeeaceesseesesseenssasseeeaeenevasesseaesesesssasesessesesersdeersesesessasssessasases 49
`10.2.2
`
`
`
`
`
`
`
`
`
`HTC/ZTE Exhibit 1016-5
`
`

`

`3GPP TS 36.300 version 8.0.0 Release 8
`
`5
`
`ETSI TS 136 300 V8.0.0 (2007-03)
`
`10.2.3.1
`10.2.3.2
`10.2.3,.3
`10.2.3.4
`10.2.4
`10.3
`10.3.1
`10.3.2
`10.3.3
`10.4
`
`Inter-RAT handovers from E-UTRAN .........ccccscessseeesseeeneseeeessnerssneneeee
`deuaeeeeueseesesseeceeeeees 49
`
`Inter-RAT handovers to E-UTRAN.............
`Inter-RAT cell reselection from E-UTRAN...
`
`
`Limiting measurementload at UE........
`Network Aspects...cscs tereeses
`
`Inter 3GPP access system mobility ...
`
`Cell reselection ......cee
`
`Handover.............
`
`Measurements......
`
`
`Area Restrictions.......
`
`Scheduling and Rate Control...
`cece cseeeeeeeneeteeeeeee
`
`Basic Scheduler Operation ..........cccscesesseeereneesesenenterees
`Signalling of Scheduler Decisions.............::c0ce
`
`Measurements to Support Scheduler Operation.....
`
`Rate Control of GBR, MBR, and AMBR...............
`
`Downlink oo... eee cseeeteererereserereersenees
`Uplink oo. eeecccecescescesesceseccscesecnesecscssuecaesaneeseeeseenceesaensesenseaseecssnecsevsssestesasedesesessseeveensscssesenssrereseeessesessesens ens 52
`
`11
`11.1
`11.2
`11.3
`11.4
`11.4.1
`11.4.2
`
`12)
`
`13
`13.1
`13.2
`
`V4
`14.1
`14.2
`
`TS
`15.1
`15.2
`
`16
`16.1
`16.1.1
`16.1.2
`16.1.3
`16.1.4
`16.1.5
`16.1.6
`16.1.7
`16.2
`16.2.1
`16.2.2
`16.2.3
`
`17)
`17.1
`
`18
`
`DRX in RRCCONNECTED 00. eeeeseeeeeeeceenereeeasaneseeeaecaseseeesacseeseseseseseecssesaesseassseesessesseesasreseserenes 53
`
`QOS ce eeeeesscecsseesseseseecsneneececneneesseceesenesaneccessensenseeneaseaeessasenaaaessnevenaecesassaeeceneasesseersasesesessadsseseseneesesesseeseeeese 53
`QoS concept and bearerservice architecture...
`see
`53
`Resource establishment and QoS signalling...... .
`54
`
`SeCULIEY eee eee ceeeteceecneeeeeseeneerecsecsaeraeeeeseeseesseseneaeaesasanssseeaseasesesusceaseeneessasesesasaseneusassucsecedereseseeensarensens 54
`Overview and Principles ............
`4
`Security termimation Points... cee cesceseeeseceecetereeceeecenseeaeeeceacseeseesaessseeseesesasseeesesaseeseesssssaeesseesensaeesenspeneesegen 54
`
`
`
`
`MIBMS wie cceescccsscecesnesseeeeeneeeseeenseeenneecaeesaseseeeeaseesenencessssesennesneresnseaseeessasueseeuesaseasseeesueosnaseneacenesenteseaeses 55
`MBMScontrol & fUNCtiONS....... eee tsesesensecesesccetersscnssareeseessseneneenesscescaraessccecsareusessesressacsessesseaeatesesensenetenesas 55
`MBMStransmission .........ccseesecessesseetesscnetesccnstsercscetenssevsesavscsscesssessenesasseseasesscaaseustesssceseseesesentenseesnseeenseasavsneas 55
`
`Radio Resource Management aspectoc cecccescssessesesseesecereseseseesseressssenssnsenssassuceessasseseesneneeeascaseesaeees 55
`cesenesuensuasenesssuceascotenecuecsceceeseeseseesaescenseroesieeseceqenseseuacrsseseeraenaeeaseees 55
`RRM functions ........ ee eeeeeeereee
`
`Radio Bearer Control (RBC)..............
`cesecanecescecacsaeecuaenecseevseecenseasacesesersecsesersaeacseeeesasessesaseeneseonsenones sD
`
`Radio Admission Control (RAC)... eeecsesssesesetecnesseeesesreetsreneeesees
`155
`
`Connection Mobility Control (CMC).0.....eccceeecesecsseteceeeeeesenesecseseescenerseeratssenserasenesaeseensesessassessassesnassasaees 56
`Dynamic Resource Allocation (DRA)- Packet Scheduling (PS) ooeeeececeeseeccesescecececcesesesteterseeneenesessesateaeeats 56
`Inter-cell Interference Coordination (ICIC) 0... eeeeecserceneseeseesseas
`+56
`
`Load Balancing (LB) ....... ee cscceesesseeeesecseeaseseacescessesenseeersecseeseassceesesnesenscoeseeseasseasessnserstsaaeasaseeneeneeranenges 56
`.csesecceeenessssseessesseceseesanessssesscotscssassreseesersereensessusesasessees 56
`Inter-RAT Radio Resource Management 000.0...
`
`RRM architecture ..... cc ccsccnesseeeteseseeeeressereresnerssecsseesesesssessessseesesesesnsessceeenes
`eT
`Centralised Handling of certain RRM Functions ...0.....0.c:eccscsscseseseeneeeeeserseeseesecesenenseveneaeseseereeenersenenrerenaey 57
`De-Centralised RRM ......cccccscsssssesesseseescecececesecsavssenassaenesensesenscsecsecensesearenseeeressaesseeausassdsssesessseeesnesseseasass 57
`Load balancing control.........cccescessesceceecetserseseeecseteceseesecseersosesecesecseesecsrssaeereseusaseaenecesersesaesseseseseesenssensensaes 57
`
`
`
`
`
`RE ASpects ooo. eeeecceeseeecerecnereeseecsaecatseeseessesecasecceacenessssessussessesauseusascetessessessseueaesssaseseneenecneeesneesasated 57
`Spectrum deployments ........ cc eseceecssssesessesesenssssesssssesesscsscressensssessseesseessaeeesseseesenessenteassessseaseeseaeeneepeassenenans 57
`
`UE Capabilities 00 ccececesesssecesesecenensecsceseseesassesesseassenesensecnennessecneeseseneenecneeneenesaeneaesseesasaeeneteeenee 57
`
`19ST Enterface ooo eee cee cee ececeeeeeeceeeeeeeesaseecaseascesavsecaccseesacseeanersssnesssenssessuesussesecesasesessesseeetensenecneesseaeretey 57
`
`19.1
`Si User plane o0... ce
`eesecsseescnerssenecneeseeneseeeseeeesseeeseeseease
`7
`19.2
`Si Control Plane... eeeseseesessnereerees
`58
`19.2.1
`S1 Interface Functions«0.0...
`tees
`58
`
`19.2.1.1
`Si Paging function ........cceseseeeeeeeeeeees
`159
`S1 UE Context Managementfunction.....
`19.2.1.2
`59
`
`Initial Context Setup Function «uw...
`19.2.1.3
`59
`
`159
`19.2.2
`SI Interface Signalling Procedures............
`
`Paging Procedure......c..cceccssccseseccssesscceceecseeeeessevseseeaensessesessesenesseeeserereeseestesseseaceeesssessesseessenserenssseneneasiese 60
`19.2.2.1
`
`S1 UE Context Release procedure ..0..... sec cseeseeeseeesereesereeeaseeeeeeeseeseerecseeneeseeseseeessesseesesseseesenenensessets 60
`19.2,.2.2
`
`...-60
`19.2.2.2.1
`S1 UE Context Release (EPC triggered) ........0.0.
`
`
`
`
`
`
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`HTC/ZTE Exhibit 1016-6
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`3GPP TS 36.300 version 8.0.0 Release 8
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`6
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`ETSI TS 136 300 V8.0.0 (2007-03)
`
`20
`20.1
`20.2
`20.2.1
`20.2.2
`
`KD Interface... eee eeeseseeneseeeeceeeeeesenescsessessseeesscsessneeessncaseneesecseenevscseesesesesasenseseseesesseeneenessresseneaenanete 62
`User Plane oe
`eceeseersenesssessesseneecescesceseseeseseecaeseneneeeesenseeeeeeeeeneeesasessaseeseonsasesseccsassssusseseesessssseeessesecenenseeeaes 62
`
`Control] Plane... eseecsececeseceeeecesetscssceseescsecaceeensesaessenceneceseseseeesessgeasensosaeastensesceessesesaressesesetessesesesesseearsesssessesess 62
`K2-CP FUNctionsoe eeeecesssesececeetecsesceseecceeeccscsenenceacsesceesesaeavaseesseavescesseenssesseseeesersssassgegossseaensnesseseaseeereasts 62
`K2-CP Proceduyes .0.... se sesessecseesseeeseceseeseseseeeaeeeeesecenseeesssesesaevseeesseeeeeeeseeseeseessesteserssesssseseseseseessesereesy 62
`
`21
`System and Terminal complexity... ce esesecseeeeneseeneeeeeeeeeeeenevecnessenesesereneteseteadersassusssusssesesensaseenesses 63
`
`
`21.1 Overall System Complexity 0...seeseecseseeseseesecetecenseacserscserseceseensseasenssesscesavecssesesesansensessessidsessasasescesseeneaees 63
`
`Physical layer complexity ...........ceeesessseccsceseecteececeersceseesaeseenseessnenaeueseasaseaseaeeeaseesenseeenseesseseteeeness
`63
`21.2
`21.3
`UE COMPIEXItY.... ee eetesseseneeseececenereescescersscasenstencnsensnaracsacsecseacsavevsecoessesssessenssasseessssessedusenesssessasetesnsaceeseens cess 63
`
`
`
`22
`22.1
`
`23
`23.1
`
`Support for self-configuration and self-optimisation 0.0... ec cccceessesesersesesarseseessessseecensaueneereseesenterss 63
`Definitions 0... eee eesessesecnecsecsesseeceeceseceeseesesceseseeesessenasessesseeceesseesacserseesesevereeesaenecsteseseuesasssesuseeesesasceesassanente 63
`
`OPES once eeececececnceeseeeseeseesceeseescesaceeaecaeeseseeeeeeererseseneesteveeenaeeeeeennenaesseseneseeeneseseasseceeessusssavcesseesesevaseeee 65
`Support for real time IMS Services... seeseseesesseccnserseeeneesessserecseserserecsesassessenssasacearseesesesasasssseeseenssscansaseaaeens 65
`
`Annex A (informative):
`
`NAS OverVieW ..sccssssssecscscsssscensensceseceessaeneessseeaecnensesesscasseaneassnasonssesesessoasenssees66
`
`A.1
`
`Services and FUnctions .......cccccceseeseseseeesetseeseeeeenesaeeeeeaecnseeereesensnceaesasecanesessuesassaraessessassesneeeeesanereseesessas 66
`
`A.2
`
`NASprotocol states & state transitions... cseseeseseesenseseereneseeatenenenesaceevarenereraenerseseresinseesnnerusaneaeens 66
`
`Annex B (informative):
`
`MAC and RRC Control .....ccccscsessessssceeecssccsccsssssccesesneesaresnaonsenessessensensseeeOD
`
`B.1 Difference between MAC and RRC Control oo... eesesesssssesesescecesseaescencacsaesetseetsccevsceeesceneaseeesevseeareeeass 68
`
`B.2 Classification of MAC and RRC control fUnctions.........ccccsesceeceseceseceeeeeeseeseececeeetaseeseneceenesenerarenseaeenes 68
`
`Annex C (informative):
`
`System Information ........cccccccescssssssssesssscesecssssesssnconsedasaceesseasacenessenscesensesenes69
`
`
`
`C.1
`ST classification 0... eee eeeeneeeeeesseeeeeeseeeaeeaeseecsseaesesesesaesanesecseceseessesecoreseeescaseeseseeseseesaresesnenseseeraess 69
`C.1.1
`Information valid across multiple Cells 0... eceestessescecessenesenseeeesonsencsseesensetersenensreavsctarsensensseesenerssenenaeees 269
`
`C.1.2
`69
`Information needed at cell/PLMN search. ...........cesecceseereeteeeeeeeneneeee
`
`
`C.1.3
`eeseeeseeeteeterseeeeeeeess
`170
`Information needed prior to cell caMpiNg «0.0...
`
`
`
`C.1.4 Information needed priorto cell aCceSS oeeseseessereecenseeeesceensaeseecsseeeseceseateneseesaseenseseateeteeesseass 270
`
`
`C.1.5 Information needed while camping onacell... 71
`
`C.1.6
`Thoughts about category divisiOn.......eceeeecsececcetceccteececsesecscesesaceueoseseesceseseseesnsesenseseeacesesaesaseaesseseseeenetaeteee 72
`
`C.2 Division of SI between static and flexible parts... cseeeeeeetetecteneererereeenerserersenstadeeseesesseseneasenaee 72
`C.2.1
`Static Part... ccecsesceseseesseseesececssectersestecseeecsessseaesecseensceessensessensessesesasseesscsesavseseressceessestesdssacaesssssessusseseeseeeses 72
`we T3
`C.2.2
`Flexible part... scceesseseeseneseeeeeerses
`
`Information whose location is FFS...........:.:cscscsescscessceceeseveceeeoeeressaeseerecseeaesseneeseceseecseeaeeneeasesesaseegsesesaeserseeaeens 74
`C.2.3
`C.2.4
`Dedicated part 0... cee cecesessecsereceeessesssseesesseeceessecnseseeeesecaseeseeesesserersesseseeeeeseseveneeceedeeesssaesedsessssseseseaseesseeees 74
`
`Annex D (informative):
`MBMS wisscssssscscsssssssscsecsssssesssccessssessoesssesseesesssacseneoacansceccscessssesecssceseccacacssssesees15
`
`D.1
`MBMScontrol & functions.....00...0.
`75
`
`TS
`D.2
`MBMStransmission..............
`D3
`Deployment Scenarios .........ccccsessssesssecsesenecseeenseseseceesnescerseasseeesssaesenssenseaenenssaeeceserscsecncaessessenssaversessasaseasaseeses 76
`
`
`
`Annex E (informative):
`Drivers for Mobility Control................deacenscssesesncssessussncceeneaaseseocscassceceoscesee77
`
`E.l
`DIIVETS oes ccsescessescescctsesceseeatensessecsecosescesceseseesesseceeececaneaetessesseseccsecessceaeeaeseesesaeesessavseeneesecaesaesiseasensesgenenseeasenees 77
`
`Best radio CONGItHON 00... tceeesesenseneeeeneaeeasaneecerseracescseracsesassesaesanaes
`18
`E.1.1
`
`Camp load balancing ....... es eeeseeseseeceseerecesensesenereceererterseressaseessesensees
`78
`E.1.2
`78
`E.1.3
`Traffic load balancing........
`
`VEcapability 0.eee
`78
`E.1.4
`
`Hierarchical cell structures 0.0...
`ccccesssetsesseesecseteerseeeeeonenenereseeenees
`78
`E.1.5
`
`wD
`E.1.6
`Network sharing........0c:cseceee
`Private networks/homecells .............
`weTd
`E.1.7
`
`Subscription based mobility control .......
`TD
`E.1.8
`Service based mobility control............
`weld
`E.1.9
`
`MBMS .....cssssssesssesessesssecescesssssceneserssssessssssscesssensesecesesusssssesenessscesenersnssesceseesscasaseaesesenseqneaeaserseneentets
`Td
`E.1.10
`
`
`
`E.2 Limitations for mobility COMtrOL 0...ccceeecessecescccegeecsesesseeceeteccenececeaseassceeeesecsesaresesseacacsaceaeeneaneraeenee 19
`
`
`UE battery SAVING oc cecsesscscsscseecsessescsssscestensesscsseseesssaseseenesceeesacesacearsceseceecorseesseeeeenesseeaseaeassaseneens
`19
`E.2.1
`
`
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`HTC/ZTE Exhibit 1016-7
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`3GPP TS 36.300 version 8.0.0 Release 8
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`7
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`ETSI TS 136 300 V8.0.0 (2007-03)
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`E.2.4
`
`OAM complexity 0... cccececcsessesssseessesesesessesseseseesssaesessessessssscssssssesacsessssesseseesssessacsesscassesseaesesescecsasscenvess 80
`
`Annex F (informative):
`
`Change WistOry .....cscsccssssccsesesesssscessnscessesssesessessssscasssesseecsssesssssesssessnsessrsenees81
`
`HSCOLY .o.eeeeeceececeeeeescesesssesesesscsacssssssesessesessessesssessenssssscessssessessssensesssccseeseseeseotensvsenessessneessssesesesssessessssenessesanees 83
`
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`HTC/ZTE Exhibit 1016-8
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`3GPP TS 36.300 version 8.0.0 Release 8
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`8
`
`ETSI TS 136 300 V8.0.0 (2007-03)
`
`
`
`Foreword
`
`This Technical Specification has been produced by the 3" Generation Partnership Project (3GPP).
`
`The contents of the present documentare subject to continuing work within the TSG and may change following formal
`TSG approval. Should the TSG modify the contents of the present document, it will be re-released by the TSG with an
`identifying change of release date and an increase in version numberasfollows:
`
`Version x.y.z
`
`where:
`
`x
`
`thefirst digit:
`
`1
`
`presented to TSG for information;
`
`2 presented to TSG for approval;
`
`3
`
`or greater indicates TSG approved document under changecontrol.
`
`y the seconddigit is incrementedfor all changesof substance,i.e. technical enhancements, corrections,
`updates, etc.
`
`z
`
`the third digit is incremented wheneditorial only changes have been incorporated in the document.
`
`
`
`
`
`
`
`
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`HTC/ZTE Exhibit 1016-9
`
`

`

`
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`3GPP TS 36.300 version 8.0.0 Release 8
`
`9
`
`ETSI TS 136 300 V8.0.0 (2007-03)
`
` 1
`
`Scope
`
`The present document provides an overview and overall description of the E-UTRANradio interface protocol
`architecture. Details of the radio interface protocols will be specified in companionspecifications of the 36 series.
`
` 2
`
`References
`
`The following documents contain provisions which, through reference in this text, constitute provisions of the present
`document.
`
`e References are either specific (identified by date of publication, edition number, version number,etc.) or
`non-specific.
`
`e Fora specific reference, subsequent revisions do not apply.
`
`e Fora non-specific reference, the latest version applies. In the case of a reference to a 3GPP document(including
`a GSM document), a non-specific reference implicitly refers to the latest version of that documentin the same
`Release as the present document.
`
`[1]
`
`[2]
`
`[3]
`
`[4]
`
`[5]
`
`[6]
`
`[7]
`
`3GPP TR 21.905: “Vocabulary for 3GPP Specifications”.
`
`3GPP TR 25.913: “Requirements for Evolved UTRA (E-UTRA)and Evolved UTRAN(E-
`UTRANY”
`
`3GPP TS 36.201: “Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer;
`General description”.
`
`3GPP TS 36.211 Evolved Universal Terrestrial Radio Access (E-UTRA); Physical Channels and
`Modulation
`
`3GPP TS 36.212 Evolved Universal Terrestrial Radio Access (E-UTRA); Multiplexi