3GPP TS 36.331 V8.5.0 (2009-03)
`
`Technical Specification
`
`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`Evolved Universal Terrestrial Radio Access (E-UTRA)
`Radio Resource Control (RRC);
`Protocol specification
`(Release 8)
`
`The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP.
`The present document has not been subject to any approval process by the 3GPP Organizational Partners and shall not be implemented.
`
`This Specification is provided for future development work within 3GPP only. The Organizational Partners accept no liability for any use of this Specification.
`Specifications and reports for implementation of the 3GPP TM system should be obtained via the 3GPP Organizational Partners' Publications Offices.
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`IPR2022-00648
`Apple EX1012 Page 1
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`Release 8
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`3GPP TS 36.331 V8.5.0 (2009-03)
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`Keywords
`UMTS, radio
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`3GPP
`
`Postal address
`
`
`3GPP support office address
`650 Route des Lucioles - Sophia Antipolis
`Valbonne - FRANCE
`Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
`
`Internet
`http://www.3gpp.org
`
`Copyright Notification
`
`No part may be reproduced except as authorized by written permission.
`The copyright and the foregoing restriction extend to reproduction in all media.
`
`© 2009, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TTA, TTC).
`All rights reserved.
`
`UMTS™ is a Trade Mark of ETSI registered for the benefit of its members
`3GPP™ is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners
`LTE™ is a Trade Mark of ETSI currently being registered for the benefit of its Members and of the 3GPP Organizational Partners
`GSM® and the GSM logo are registered and owned by the GSM Association
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`3GPP
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`Release 8
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`3GPP TS 36.331 V8.5.0 (2009-03)
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`Contents
`Foreword .......................................................................................................................................................... 11
`1
`Scope ...................................................................................................................................................... 12
`2
`References .............................................................................................................................................. 12
`3
`Definitions, symbols and abbreviations ................................................................................................. 14
`3.1
`Definitions ......................................................................................................................................................... 14
`3.2
`Abbreviations .................................................................................................................................................... 14
`4
`General ................................................................................................................................................... 16
`4.1
`Introduction ....................................................................................................................................................... 16
`4.2
`Architecture ....................................................................................................................................................... 16
`4.2.1
`UE states and state transitions including inter RAT .................................................................................... 16
`4.2.2
`Signalling radio bearers ............................................................................................................................... 18
`4.3
`Services ............................................................................................................................................................. 18
`4.3.1
`Services provided to upper layers ................................................................................................................ 18
`4.3.2
`Services expected from lower layers ........................................................................................................... 19
`4.4
`Functions ........................................................................................................................................................... 19
`5
`Procedures .............................................................................................................................................. 20
`5.1
`General .............................................................................................................................................................. 20
`5.1.1
`Introduction .................................................................................................................................................. 20
`5.1.2
`General requirements ................................................................................................................................... 20
`5.2
`System information ........................................................................................................................................... 20
`5.2.1
`Introduction .................................................................................................................................................. 20
`5.2.1.1
`General ................................................................................................................................................... 20
`5.2.1.2
`Scheduling .............................................................................................................................................. 21
`5.2.1.3
`System information validity and notification of changes ...................................................................... 21
`5.2.1.4
`Indication of ETWS notification ............................................................................................................ 22
`5.2.2
`System information acquisition ................................................................................................................... 22
`5.2.2.1
`General ................................................................................................................................................... 22
`5.2.2.2
`Initiation ................................................................................................................................................. 23
`5.2.2.3
`System information required by the UE ................................................................................................ 23
`5.2.2.4
`System information acquisition by the UE ............................................................................................ 23
`5.2.2.5
`Essential system information missing .................................................................................................... 24
`5.2.2.6
`Actions upon reception of the MasterInformationBlock message ......................................................... 24
`5.2.2.7
`Actions upon reception of the SystemInformationBlockType1 message ............................................... 24
`5.2.2.8
`Actions upon reception of SystemInformation messages ....................................................................... 25
`5.2.2.9
`Actions upon reception of SystemInformationBlockType2 .................................................................... 25
`5.2.2.10
`Actions upon reception of SystemInformationBlockType3 .................................................................... 25
`5.2.2.11
`Actions upon reception of SystemInformationBlockType4 .................................................................... 25
`5.2.2.12
`Actions upon reception of SystemInformationBlockType5 .................................................................... 25
`5.2.2.13
`Actions upon reception of SystemInformationBlockType6 .................................................................... 25
`5.2.2.14
`Actions upon reception of SystemInformationBlockType7 .................................................................... 25
`5.2.2.15
`Actions upon reception of SystemInformationBlockType8 .................................................................... 25
`5.2.2.16
`Actions upon reception of SystemInformationBlockType9 .................................................................... 26
`5.2.2.17
`Actions upon reception of SystemInformationBlockType10 .................................................................. 26
`5.2.2.18
`Actions upon reception of SystemInformationBlockType11 .................................................................. 27
`5.2.3
`Acquisition of an SI message ...................................................................................................................... 28
`5.3
`Connection control ............................................................................................................................................ 28
`5.3.1
`Introduction .................................................................................................................................................. 28
`5.3.1.1
`RRC connection control ......................................................................................................................... 28
`5.3.1.2
`Security .................................................................................................................................................. 29
`5.3.1.3
`Connected mode mobility ...................................................................................................................... 30
`5.3.2
`Paging .......................................................................................................................................................... 30
`5.3.2.1
`General ................................................................................................................................................... 30
`5.3.2.2
`Initiation ................................................................................................................................................. 31
`5.3.2.3
`Reception of the Paging message by the UE ......................................................................................... 31
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`RRC connection establishment .................................................................................................................... 31
`5.3.3
`General ................................................................................................................................................... 31
`5.3.3.1
`Initiation ................................................................................................................................................. 32
`5.3.3.2
`Actions related to transmission of RRCConnectionRequest message ................................................... 34
`5.3.3.3
`Reception of the RRCConnectionSetup by the UE ................................................................................ 35
`5.3.3.4
`Cell re-selection while T300, T302, T303 or T305 is running .............................................................. 35
`5.3.3.5
`T300 expiry ............................................................................................................................................ 36
`5.3.3.6
`T302, T303 or T305 expiry or stop ........................................................................................................ 36
`5.3.3.7
`Reception of the RRCConnectionReject by the UE ............................................................................... 36
`5.3.3.8
`Abortion of RRC connection establishment .......................................................................................... 37
`5.3.3.9
`Initial security activation ............................................................................................................................. 37
`5.3.4
`General ................................................................................................................................................... 37
`5.3.4.1
`Initiation ................................................................................................................................................. 37
`5.3.4.2
`Reception of the SecurityModeCommand by the UE ............................................................................ 37
`5.3.4.3
`RRC connection reconfiguration ................................................................................................................. 38
`5.3.5
`General ................................................................................................................................................... 38
`5.3.5.1
`Initiation ................................................................................................................................................. 39
`5.3.5.2
`5.3.5.3
`Reception of an RRCConnectionReconfiguration not including the mobilityControlInfo by the
`UE .......................................................................................................................................................... 39
`5.3.5.4
`Reception of an RRCConnectionReconfiguration including the mobilityControlInfo by the UE
`(handover) .............................................................................................................................................. 39
`Reconfiguration failure .......................................................................................................................... 41
`5.3.5.5
`T304 expiry (handover failure) .............................................................................................................. 41
`5.3.5.6
`Counter check .............................................................................................................................................. 42
`5.3.6
`General ................................................................................................................................................... 42
`5.3.6.1
`5.3.6.2 Initiation 42
`5.3.6.3 Reception of the CounterCheck message by the UE .............................................................................................. 42
`5.3.7
`RRC connection re-establishment ............................................................................................................... 43
`5.3.7.1
`General ................................................................................................................................................... 43
`5.3.7.2
`Initiation ................................................................................................................................................. 43
`5.3.7.3
`Actions following cell selection while T311 is running ........................................................................ 44
`5.3.7.4
`Actions related to transmission of RRCConnectionReestablishmentRequest message ......................... 44
`5.3.7.5
`Reception of the RRCConnectionReestablishment by the UE ............................................................... 45
`5.3.7.6
`T311 expiry ............................................................................................................................................ 45
`5.3.7.7
`T301 expiry or selected cell no longer suitable ..................................................................................... 46
`5.3.7.8
`Reception of RRCConnectionReestablishmentReject by the UE ........................................................... 46
`5.3.8
`RRC connection release ............................................................................................................................... 46
`5.3.8.1
`General ................................................................................................................................................... 46
`5.3.8.2
`Initiation ................................................................................................................................................. 46
`5.3.8.3
`Reception of the RRCConnectionRelease by the UE ............................................................................. 46
`5.3.8.4
`T320 expiry ............................................................................................................................................ 47
`5.3.9
`RRC connection release requested by upper layers ..................................................................................... 47
`5.3.9.1
`General ................................................................................................................................................... 47
`5.3.9.2
`Initiation ................................................................................................................................................. 47
`5.3.10
`Radio resource configuration ....................................................................................................................... 47
`5.3.10.0
`General ................................................................................................................................................... 47
`5.3.10.1
`SRB addition/ modification ................................................................................................................... 48
`5.3.10.2
`DRB release ........................................................................................................................................... 48
`5.3.10.3
`DRB addition/ modification ................................................................................................................... 48
`5.3.10.4
`MAC main reconfiguration .................................................................................................................... 49
`5.3.10.5
`Semi-persistent scheduling reconfiguration ........................................................................................... 49
`5.3.10.6
`Physical channel reconfiguration ........................................................................................................... 49
`5.3.11
`Radio link failure related actions ................................................................................................................. 49
`5.3.11.1
`Detection of physical layer problems in RRC_CONNECTED ............................................................. 49
`5.3.11.2
`Recovery of physical layer problems ..................................................................................................... 49
`5.3.11.3
`Detection of radio link failure ................................................................................................................ 50
`5.3.12
`UE actions upon leaving RRC_CONNECTED ........................................................................................... 50
`5.3.13
`UE actions upon PUCCH/ SRS release request .......................................................................................... 50
`5.4
`Inter-RAT mobility ............................................................................................................................................ 50
`5.4.1
`Introduction .................................................................................................................................................. 50
`5.4.2
`Handover to E-UTRA .................................................................................................................................. 51
`5.4.2.1
`General ................................................................................................................................................... 51
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`3GPP TS 36.331 V8.5.0 (2009-03)
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`5.4.2.2
`5.4.2.3
`5.4.2.4
`5.4.2.5
`5.4.3
`5.4.3.1
`5.4.3.2
`5.4.3.3
`5.4.3.4
`5.4.3.5
`5.4.4
`5.4.4.1
`5.4.4.2
`5.4.4.3
`5.4.5
`5.4.5.1
`5.4.5.2
`5.4.5.3
`5.4.5.4
`5.4.6
`5.4.6.1
`5.4.6.2
`5.4.6.3
`5.5
`5.5.1
`5.5.2
`5.5.2.1
`5.5.2.2
`5.5.2.3
`5.5.2.4
`5.5.2.5
`5.5.2.6
`5.5.2.7
`5.5.2.8
`5.5.2.9
`5.5.3
`5.5.3.1
`5.5.3.2
`5.5.4
`5.5.4.1
`5.5.4.2
`5.5.4.3
`5.5.4.4
`5.5.4.5
`5.5.4.6
`5.5.4.7
`5.5.4.8
`5.5.5
`5.5.6
`5.5.6.1
`5.5.6.2
`5.6
`5.6.1
`5.6.1.1
`5.6.1.2
`5.6.1.3
`5.6.2
`5.6.2.1
`5.6.2.2
`5.6.2.3
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`Initiation ................................................................................................................................................. 51
`Reception of the RRCConnectionReconfiguration by the UE ............................................................... 51
`Reconfiguration failure .......................................................................................................................... 52
`T304 expiry (handover to E-UTRA failure) .......................................................................................... 52
`Mobility from E-UTRA ............................................................................................................................... 53
`General ................................................................................................................................................... 53
`Initiation ................................................................................................................................................. 53
`Reception of the MobilityFromEUTRACommand by the UE ................................................................ 53
`Successful completion of the mobility from E-UTRA .......................................................................... 54
`Mobility from E-UTRA failure .............................................................................................................. 54
`Handover from E-UTRA preparation request (CDMA2000) ...................................................................... 55
`General ................................................................................................................................................... 55
`Initiation ................................................................................................................................................. 55
`Reception of the HandoverFromEUTRAPreparationRequest by the UE ............................................. 55
`UL handover preparation transfer (CDMA2000) ........................................................................................ 55
`General ................................................................................................................................................... 55
`Initiation ................................................................................................................................................. 55
`Actions related to transmission of the ULHandoverPreparationTransfer message .............................. 56
`Failure to deliver the ULHandoverPreparationTransfer message ........................................................ 56
`Inter-RAT cell change order to E-UTRAN ................................................................................................. 56
`General ................................................................................................................................................... 56
`Initiation ................................................................................................................................................. 56
`UE fails to complete an inter-RAT cell change order ............................................................................ 56
`Measurements .................................................................................................................................................... 56
`Introduction .................................................................................................................................................. 56
`Measurement configuration ......................................................................................................................... 58
`General ................................................................................................................................................... 58
`Measurement identity removal ............................................................................................................... 59
`Measurement identity addition/ modification ........................................................................................ 59
`Measurement object removal ................................................................................................................. 60
`Measurement object addition/ modification .......................................................................................... 60
`Reporting configuration removal ........................................................................................................... 61
`Reporting configuration addition/ modification .................................................................................... 61
`Quantity configuration ........................................................................................................................... 61
`Measurement gap configuration ............................................................................................................. 62
`Performing measurements ........................................................................................................................... 62
`General ................................................................................................................................................... 62
`Layer 3 filtering ..................................................................................................................................... 63
`Measurement report triggering .................................................................................................................... 63
`General ................................................................................................................................................... 63
`Event A1 (Serving becomes better than threshold) ............................................................................... 65
`Event A2 (Serving becomes worse than threshold) ............................................................................... 66
`Event A3 (Neighbour becomes offset better than serving) .................................................................... 66
`Event A4 (Neighbour becomes better than threshold) ........................................................................... 67
`Event A5 (Serving becomes worse than threshold1 and neighbour becomes better than
`threshold2) ............................................................................................................................................. 67
`Event B1 (Inter RAT neighbour becomes better than threshold) .......................................................... 68
`Event B2 (Serving becomes worse than threshold1 and inter RAT neighbour becomes better than
`threshold2) ............................................................................................................................................. 69
`Measurement reporting ................................................................................................................................ 70
`Measurement related actions ....................................................................................................................... 71
`Actions upon handover and re-establishment ........................................................................................ 71
`Speed dependant scaling of measurement related parameters ............................................................... 72
`Other .................................................................................................................................................................. 72
`DL information transfer ............................................................................................................................... 72
`General ................................................................................................................................................... 72
`Initiation ................................................................................................................................................. 73
`Reception of the DLInformationTransfer by the UE ............................................................................. 73
`UL information transfer ............................................................................................................................... 73
`General ................................................................................................................................................... 73
`Initiation ................................................................................................................................................. 73
`Actions related to transmission of ULInformationTransfer message .................................................... 73
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`3GPP TS 36.331 V8.5.0 (2009-03)
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`5.6.2.4
`5.6.3
`5.6.3.1
`5.6.3.2
`5.6.3.3
`5.6.4
`5.6.4.1
`5.6.4.2
`5.6.4.3
`5.6.4.4
`5.7
`5.7.1
`5.7.2
`5.7.3
`5.7.4
`5.7.5
`6
`6.1
`6.2
`6.2.1
`–
`–
`–
`–
`–
`–
`–
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`6.2.2
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`–
`–
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`–
`–
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`6.3
`6.3.1
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`Failure to deliver ULInformationTransfer message ............................................................................... 74
`UE capability transfer .................................................................................................................................. 74
`General ................................................................................................................................................... 74
`Initiation ................................................................................................................................................. 74
`Reception of the UECapabilityEnquiry by the UE ................................................................................ 74
`CSFB to 1x Parameter transfer .................................................................................................................... 75
`General ................................................................................................................................................... 75
`Initiation ................................................................................................................................................. 75
`Actions related to transmission of CSFBParametersRequestCDMA2000 message .............................. 75
`Reception of the CSFBParametersResponseCDMA2000 message ....................................................... 75
`Generic error handling ....................................................................................................................................... 76
`General ......................................................................................................................................................... 76
`ASN.1 violation or encoding error .............................................................................................................. 76
`Field set to a not comprehended value ........................................................................................................ 76
`Mandatory field missing .............................................................................................................................. 76
`Not comprehended field .............................................................................................................................. 77
`Protocol data units, formats and parameters (tabular & ASN.1) ........................................................... 77
`General .............................................................................................................................................................. 77
`RRC messages ................................................................................................................................................... 78
`General message structure ...........