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`Third Generation
`Partnership Project
`
`
`3GPP
`
`
`Working Procedures
`
`17 July 2000
`
`
`
` Ex. 1106
`APPLE INC. / Page 1 of 25
`
`

`

`2
`Third Generation Partnership Project Working Procedures, 17 July 2000
`
`Foreword
`These Working Procedures of the Third Generation Partnership Project (3GPP) are effective from 17 July 2000.
`
`An electronic version of these Partnership Project Working Procedures is available from the following address:
`
`http://www.3gpp.org
`
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`3
`Third Generation Partnership Project Working Procedures, 17 July 2000
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`Contents
`
`Foreword ................................................................................................................................................2
`SECTION A: GENERAL .......................................................................................................................6
`Article 1: Description ..............................................................................................................................6
`Article 2: Purpose ...................................................................................................................................6
`Article 3: Scope and objectives ................................................................................................................6
`SECTION B: PARTICIPATION............................................................................................................7
`Article 4: Categories ...............................................................................................................................7
`Article 5: Partnership ..............................................................................................................................7
`Article 6: Organizational Partnership ........................................................................................................7
`Article 7: Market Representation Partnership..........................................................................................78
`Article 8: Individual Membership..............................................................................................................8
`Article 9: Termination of Individual Membership .......................................................................................8
`Article 10: Observership...........................................................................................................................8
`SECTION C: STRUCTURE...................................................................................................................9
`Article 11: Structure of 3GPP ...................................................................................................................9
`SECTION D: PARTNERS' COLLECTIVE RESPONSIBILITIES............................................................9
`Article 12: Organizational Partners' Collective Responsisbilities...................................................................9
`Article 13: Collective responsibilities of all Partners....................................................................................9
`SECTION E: PROJECT CO-ORDINATION GROUP (PCG) .............................................................. 910
`Article 14: PCG tasks........................................................................................................................... 910
`Article 15: PCG participation ..................................................................................................................10
`Article 16: PCG appointment of Chairman and Vice Chairman.............................................................. 1011
`Article 17: PCG Chairman Responsibilities...............................................................................................11
`Article 18: PCG meetings .......................................................................................................................11
`Article 19: PCG decision making.............................................................................................................11
`SECTION F: TECHNICAL SPECIFICATION GROUPS .................................................................. 1112
`Article 20: TSG tasks ......................................................................................................................... 1112
`Article 21: TSG participation...................................................................................................................12
`Article 22: TSG and WG election of Chairman and Vice Chairman...........................................................12
`Article 23: TSG Chairman responsibilities ................................................................................................13
`Article 24: TSG and WG Chairman and Vice Chairmen dismissal.......................................................... 1314
`Article 25: TSG and WG decision making............................................................................................ 1314
`Article 26: TSG and WG voting during a meeting .....................................................................................14
`Article 27: TSG or WG voting by correspondence................................................................................ 1415
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`Third Generation Partnership Project Working Procedures, 17 July 2000
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`Article 28: TSG or WG voting for the election of TSG or WG Chairman and Vice Chairman......................15
`Article 29: TSG or WG Chairman's decision appeal process......................................................................15
`Article 30: TSG and WG meetings ..........................................................................................................15
`Article 31: TSG and WG meeting invitation..............................................................................................15
`Article 32: TSG and WG meeting agenda ............................................................................................ 1516
`Article 33: TSG and WG meeting registration....................................................................................... 1516
`Article 34: TSG and WG meeting document and file naming .....................................................................16
`Article 35: TSG and WG Participant and Membership List.................................................................... 1617
`Article 36: TSG Sub Working Groups ......................................................................................................17
`SECTION G: WORK PROGRAMME AND TECHNICAL CO-ORDINATION ....................................17
`Article 37: Work Programme..................................................................................................................17
`Article 38: Work Items....................................................................................................................... 1718
`Article 39: Work Item creation................................................................................................................18
`Article 40: Work Item adoption by PCG..................................................................................................18
`Article 41: Work Item stopping ...............................................................................................................18
`Article 42: Technical co-ordination...................................................................................................... 1819
`SECTION H: DELIVERABLES...........................................................................................................19
`Article 43: Deliverable types...................................................................................................................19
`Article 44: Approval process...................................................................................................................19
`Article 45: Drafting rules........................................................................................................................19
`Article 46: Copyright and ownership........................................................................................................19
`Article 47: Conversion by Organizational Partners....................................................................................19
`SECTION I: REPORTING............................................................................................................... 1920
`Article 48: Chairman’s reporting obligations ......................................................................................... 1920
`Article 49: Changes to structure and officials ...........................................................................................20
`Article 50: Calendar of meetings .............................................................................................................20
`SECTION J: EXTERNAL RELATIONS ..............................................................................................20
`Article 51: Relationship with the ITU.......................................................................................................20
`Article 52: Relations with other groups ....................................................................................................20
`SECTION K: MISCELLANEOUS ................................................................................................... 2021
`Article 53: Resources......................................................................................................................... 2021
`Article 54: Support Team.................................................................................................................... 2021
`Article 55: Intellectual Property Rights (IPR) Policy.................................................................................21
`Article 56: Working language..................................................................................................................21
`Article 57: Duration................................................................................................................................21
`Article 58: Review of activities ...............................................................................................................21
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`Third Generation Partnership Project Working Procedures, 17 July 2000
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`Article 59: Dissolution, winding up...........................................................................................................21
`Article 60: Amendments to 3GPP Working Procedures ........................................................................ 2122
`Annex A: Definitions.......................................................................................................................... 2223
`Annex B: Abbreviations ..................................................................................................................... 2324
`Annex C: Individual member application form...................................................................................... 2425
`Annex D: External Liaison Approval Process………………………………………………………
`
`
`
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`Third Generation Partnership Project Working Procedures, 17 July 2000
`
`SECTION A:
`
`GENERAL
`
`Description
`Article 1:
`The Partnership Project is not a legal entity but is a collaborative activity between the following recognized Standards
`Development Organizations:
`
`ARIB
`
`(Japan)
`
`CWTS
`
`(China)
`
`ETSI
`
`(Europe)
`
`T1
`
`(US)
`
`TTA
`
`(Korea)
`
`TTC
`
`(Japan)
`
`The Partnership Project is entitled the “THIRD GENERATION PARTNERSHIP PROJECT” and may be known by the
`acronym “3GPP”.
`
`Purpose
`Article 2:
`The purpose of 3GPP is to prepare, approve and maintain globally applicable Technical Specifications and Technical
`Reports for a 3rd Generation Mobile System based on the evolved GSM core network, and the Universal Terrestrial
`Radio Access (UTRA), to be transposed by the Organizational Partners into appropriate deliverables (e.g., standards).
`
`Scope and objectives
`Article 3:
`The 3rd Generation Mobile System and its capabilities shall be developed in a phased approach. Initially, 3GPP shall
`prepare, approve and maintain the necessary set of Technical Specifications and Technical Reports for a 3rd Generation
`Mobile System including:
`?? UTRAN (including UTRA; in Frequency Division Duplex (FDD) and Time Division Duplex (TDD) modes);
`?? 3GPP Core Network (Third Generation networking capabilities evolved from GSM. These capabilities include mobility
`management, global roaming, and utilisation of relevant Internet Protocols);
`?? Terminals for access to the above (including specifications for a UIM); and
`?? System and service aspects.
`
`3Gpp shall prepare, approve and maintain the necessary set of Technical Specifications and Technical Reports for:
`
`- the Global System for Mobile communication (GSM) including GSM evolved radio access technologies (e.g. General
`Packet Radio Service (GPRS) and Enhanced Data rates for GSM Evolution (EDGE)).
`
`3GPP shall consider the long term evolution.
`
`The Technical Specifications and Technical Reports shall be developed in view of global roaming and circulation of
`terminals.
`
`The set of 3GPP Technical Specifications and Technical Reports for the 3GPP core network and the specifications for the
`GSM core network should be common to the greatest extent possible and should not be unnecessarily different.
`
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`Third Generation Partnership Project Working Procedures, 17 July 2000
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`The results of the 3GPP work shall form the basis of member contributions to the ITU in accordance with existing
`procedures.
`
`3GPP shall take account of emerging ITU recommendations on interworking between IMT-2000 family members.
`
`In the framework of agreed relationships, the 3GPP Technical Specifications and Technical Reports will form the basis of
`standards, or parts of standards, of the Organizational Partners.
`
`SECTION B:
`
`PARTICIPATION
`
`Categories
`Article 4:
`Participation in 3GPP shall be classified into one of the following categories:
`?? Partners;
`?? Individual Members.
`?? Observers and Guests
`
`Partnership
`Article 5:
`Partners in 3GPP shall be classified into one of the following two categories:
`?? Organizational Partners;
`?? Market Representation Partners.
`
`Organizational Partnership
`Article 6:
`Organizational Partnership is open to any Standards Organization, irrespective of its geographical location, which has:
`?? a national, regional or other officially recognized status and the capability and authority to define, publish and set
`standards within the 3GPP scope, in that nation or region;
`?? an Intellectual Property Rights (IPR) Policy which is compatible with those of the Organizational Partners;
`?? committed itself to all or part of the 3GPP scope;
`?? signed the Partnership Project Agreement.
`
`Standards Organizations may apply to become an Organizational Partner by writing to any of the existing Organizational
`Partners.
`
`Market Representation Partnership
`Article 7:
`The Organizational Partners may invite Market Representation Partners to take part in 3GPP.
`
`An invitation for Market Representation Partnership is open to any organization, irrespective of its geographical
`location, which:
`?? has the ability to offer market advice to 3GPP and to bring into 3GPP a consensus view of market requirements (e.g.
`services, features and functionality) falling within the 3GPP scope;
`
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`Third Generation Partnership Project Working Procedures, 17 July 2000
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`?? does not have the capability and authority to define, publish and set standards within the 3GPP scope, nationally or
`regionally;
`?? has committed itself to all or part of the 3GPP scope;
`?? has signed the Partnership Project Agreement.
`
`Organizations may apply to become Market Representation Partners by writing to any of the existing Partners.
`
`Individual Membership
`Article 8:
`Membership in an Organizational Partner is a pre-requisite for Individual Membership of 3GPP. All entities registered as
`members of an Organizational Partner and eligible for participation in the technical work of that Organizational Partner,
`can become Individual Members of 3GPP if they are committed to support 3GPP and:
`?? to contribute technically or otherwise to one or mo re of the Technical Specification Groups within the 3GPP scope;
`?? to use the 3GPP results to the extent feasible.
`
`An Individual Member has the right to participate in the work of 3GPP by attending meetings of the Technical
`Specification Groups and subtending groups.
`
`Applications for Individual Membership of a Technical Specification Group shall be made in writing to the relevant
`Organizational Partner using the form given at Annex C.
`
`Individual Members act in 3GPP in their own right and carry the full responsibility for their contributions.
`
`Termination of Individual Membership
`Article 9:
`Individual Membership of 3GPP may be terminated by dissolution, abolition, resignation or expulsion from the related
`Organizational Partner.
`
`Article 10: Observership and Guests
`The status of Observer may be granted by the Organizational Partners to an entity which has the qualifications to
`become a future Partner.
`
`An Observer may send a single representative to an Organizational Partners or PCG meeting. An Observer may also have
`representatives at TSG meetings. Representatives of Observers may participate in discussions, receive and contribute
`documents but may not take part in decision making or hold any leadership positions.
`
`Additional participation rights of an Observer shall be decided by the Organizational Partners on a case-by-case basis.
`
`The status of Guest may be granted for a limited period, by the Organizational Partners to an entity which has the
`qualifications to become a future Individual Memb er. The limited period shall be decided by the Organizational Partners
`on a case-by-case basis.
`
`A Guest may have representatives at TSG and subtending group meetings. Representatives may participate in
`discussions, receive and contribute documents but may not take part in decision making or hold any leadership
`positions.
`
`
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`9
`Third Generation Partnership Project Working Procedures, 17 July 2000
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`SECTION C:
`
`STRUCTURE
`
`Article 11: Structure of 3GPP
`3GPP shall consists of a Project Co-ordination Group (PCG) and Technical Specification Groups (TSGs). The Technical
`Specification Groups may establish Working Groups if required.
`
`The Organizational Partners may decide to call a meeting of the full 3GPP membership if required.
`
`SECTION D: PARTNERS’ COLLECTIVE
`RESPONSIBILITIES
`
`Article 12: Organizational Partners’ Collective
`Responsibilities
`The Organizational Partners shall determine the general policy and strategy of 3GPP.
`
`In addition the Organizational Partners shall perform the following tasks:
`?? approval and maintenance of the 3GPP scope;
`?? maintenance the Partnership Project Description
`?? taking decisions on the creation or cessation of Technical Specification Groups, and approving their scope and terms
`of reference;
`?? approval of Organizational Partner funding requirements;
`?? allocation of human and financial resources provided by the Organizational Partners to the Project Co-ordination
`Group;
`?? acting as a body of appeal on procedural matters referred to them.
`
`Article 13: Collective responsibilities of all Partners
`Organizational Partners and Market Representation Partners shall perform the following tasks:
`?? maintenance of the Partnership Project Agreement
`?? approval of applications for 3GPP partnership;
`?? taking decisions relating to the dissolution of 3GPP.
`
`SECTION E: PROJECT CO-ORDINATION GROUP (PCG)
`
`Article 14: PCG tasks
`The PCG shall perform the following tasks:
`?? appointment of PCG Chairman and Vice Chairmen;
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`Third Generation Partnership Project Working Procedures, 17 July 2000
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`?? allocation of human and financial resources provided by Organizational Partners to TSGs;
`?? allocation of voluntary human and financial resources provided by Market Representation Partners and Individual
`Members;
`?? management of the 3GPP Support Team;
`?? handling of appeals from Individual Members on procedural matters referred to them;
`?? propose and approve modifications to the Partnership Project Working Procedures
`?? handling of appeals from Individual Members on technical matters referred to them;
`?? determination of the overall time frame and manage overall work progress;
`?? final adoption of new and stopped work items proposed by the TSGs within the agreed 3GPP scope and objectives;
`?? when a work item is outside the scope of the 3GPP, and where a common global solution is desired, recommend how
`to achieve a global solution;
`?? appointment or dismissal of TSG Chairmen and Vice Chairmen, as proposed by TSGs based on election results. (The
`proposed candidate shall be appointed unless there are extraordinary reasons that prevent such an appointment, e.g.,
`severe company or geographical imbalance within 3GPP. In such cases the TSG shall be requested to elect an
`alternative candidate. The decision not to appoint a candidate shall be made by consensus.);
`?? authorizing requests from the TSGs for approval to liaise with external organizations, and maintain a list of
`
`approved requests
`?? maintenance of the register of Individual Members eligible to participate in 3GPP;
`?? maintenance of the register of IPR declarations relevant to 3GPP, received by the Organizational Partners;
`
`The PCG may decide to call a meeting of the full 3GPP membership if required.
`
`Article 15: PCG participation
`The following shall have a right to participate in the PCG:
`?? Three representatives of each Organizational Partner;
`?? Three representatives of each Market Representation Partner;
`?? The Chairmen and Vice Chairmen of the TSGs as ex-officio members.
`?? One representative of each Observer
`
`.
`
`Article 16: PCG appointment of Chairman and Vice
`Chairman
`The PCG shall appoint their Chairman and Vice Chairmen from amongst the Organizational Partner representatives.
`
`The Chairman and Vice Chairmen shall be appointed for a one year term of office.
`
`The Chairman and Vice Chairmen shall normally serve one term of office. If no other candidates are available, the
`Chairman or Vice Chairmen may be appointed for a further term.
`
`Successive Chairmen and Vice Chairmen should not be from the same Organizational Partner, the same region or from
`the same group of companies, unless no other candidate is available.
`
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`11
`Third Generation Partnership Project Working Procedures, 17 July 2000
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`Article 17: PCG Chairman Responsibilities
`The PCG Chairman is responsible for the overall management of the co-ordination work within 3GPP.
`
`The Chairman has the overall responsibility to ensure that the Partnership Project Agreement, Partnership Project
`Description and Partnership Project Working Procedures are followed.
`
`The Chairman may nominate officials to assist in the work.
`
`The Chairman may be assisted by the Support Team.
`
`The Chairman may delegate tasks to the Vice Chairmen.
`
`In performing his tasks, the Chairman and Vice Chairmen shall maintain strict impartiality and act in the interest of the
`3GPP.
`
`Article 18: PCG meetings
`A meeting of the PCG shall be held at least twice per year.
`
`At least thirty days before the due date, a calling notice, draft agenda and supporting documents shall be issued.
`
`Article 19: PCG decision making
`In any meeting of the PCG, the quorum required for decision making shall be 50% of the total number of Organizational
`Partners. Proxies shall not be permitted.
`
`The PCG shall endeavour to reach consensus on all issues. The views and opinions of the Market Representation
`Partners and the Chairmen and Vice Chairmen of the TSGs shall be taken into account during the consensus building
`process. If consensus cannot be achieved, the Chairman can decide to take a vote. The vote may exceptionally be
`performed by a secret ballot if decided by the PCG.
`
`Each Organizational Partner shall have one vote. A proposal shall be deemed to be approved if 71% of the votes cast are
`in favour. Abstentions or failure to submit a vote shall not be included in determining the number of votes cast.
`
`SECTION F: TECHNICAL SPECIFICATION GROUPS
`
`TSG tasks
`Article 20:
`The TSGs shall prepare, approve and maintain the 3GPP Technical Specifications and Technical Reports.
`
`The TSGs shall also perform the following tasks:
`?? Propose to the PCG for appointment TSG Chairman and Vice Chairmen based on election results;
`?? Creation of TSG Working Groups and approval of their terms of reference;
`?? When a new Working Group is created, the appointment of TSG Working Group Convenor ;
`?? Allocation of resources within the TSG;
`?? Allocation of voluntary human and financial resources provided by Market Representation Partners and Individual
`Members;
`?? Handling of appeals from Individual Members on technical matters;
`
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`12
`Third Generation Partnership Project Working Procedures, 17 July 2000
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`?? Preparation of a detailed time frame and management of detailed work progress;
`?? Management of work items;
`?? Technical Co-ordination;
`?? Proposal and approval of work items within the agreed scope and terms of reference of the TSG.
`?? Where a work item is outside the scope of the 3GPP, but a common global solution is desired, recommend an
`approach to the PCG;
`?? Assignment of work to Partners. (Specification development may be accomplished using various methods, including
`the assignment of work to Partners.)
`?? Maintenance of the list of Individual Members eligible to vote within the TSG (Voting Members).
`
`TSG participation
`Article 21:
`The following shall have a right to participate in the TSGs:
`?? Representatives of members of participating Organizational Partners (i.e. Individual Members);
`?? Representatives of Organizational Partners
`?? Representatives of Market Representation Partners.
`?? Representatives of Observers and Guests
`
`TSG and WG election of Chairman and Vice
`Article 22:
`Chairman
`The TSG Chairman and Vice Chairmen, to be proposed to the PCG for appointment, shall be elected by the Technical
`Specification Group from amongst the Individual Member representatives. Each TSG shall elect a maximum of two Vice
`Chairmen.
`
`The Working Group Chairman and Vice Chairmen shall be elected by the Working Group from amongst the Individual
`Member representatives. Each Working Group shall elect a maximum of two Vice Chairmen.
`
`A candidate for TSG or Working Group election shall provide a letter of support from his Organization and nominations
`may be made up to the point when an election takes place.
`
`The TSG Chairman and Vice Chairmen shall be appointed by the PCG on the proposal of the TSG.
`
`The Chairman and the Vice Chairmen shall be appointed for a two year term of office. The Chairman and Vice Chairmen
`may be appointed for one further consecutive term. If no other candidates are available, the Chairman or Vice Chairmen
`may be appointed for a further term.Regular TSG elections shall be held every two years in the March time frame in odd
`numbered years.
`
`Should the office of Chairman or Vice Chairman, of a TSG, become vacant for reasons other than expiration of term of
`office, a special election shall be conducted to fill the unexpired term. This special election shall be conducted at a
`regularly scheduled meeting of the TSG, and shall be announced in writing, at least 21 days in advance of the meeting.
`
`When a special election is held to fill the office of Chairman, the announcement shall also indicate that there will be an
`election to fill the position of Vice Chairman in the case where the Vice Chairman may be elected to the office of
`Chairman. If at the special election the Vice Chairman is elected to the office of Chairman, that individual, to be proposed
`to the PCG for appointment, shall become Chairman immediately, the position of Vice Chairman shall be assumed vacant,
`and an election shall be held for the office of Vice Chairman.
`
`A partial term of office does not count towards the two consecutive term limit.
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`Chairman and Vice Chairmen should not be from the same region, Organizational Partner, or from the same group of
`companies, unless no other candidate is available.
`
`Successive Chairmen should not be from the same Organizational Partner, the same region or from the same group of
`companies, unless no other candidate is available. This does not apply to special/regular successive elections.
`
`When a new TSG is established, the Organizational Partners shall appoint a convenor for the first two TSG meetings.
`The initial special election for TSG Chairman and Vice Chairmen shall take place at the second TSG meeting. The elected
`Chairman and Vice Chairman shall serve until the next regular TSG election. A partial term of office does not count
`towards the two consecutive term limit. When a new TSG Working Group is established, the TSG shall appoint a
`Convenor for the first two Working Group meetings. The initial election for Working Group Chairman and Vice Chairmen
`shall take place at the second Working Group meeting.
`
`If a TSG or Working Group Chairman or Vice Chairman have a change of company affiliation (job change) during their
`term of office, a new letter of support shall be provided. The decision for the Chair or Vice Chair to continue in office
`shall be made by consensus of the affected group. If consensus cannot be achieved, an election shall be held for the
`office.
`
`At the Working Group level the election is for a two year term. At the TSG level the special election is for the unexpired
`term. A partial term of office does not count towards the two consecutive term limit. If the incumbent is elected, at the
`TSG or WG level, it is for the unexpired term and that term does count toward the term limit. If the change of affiliation is
`that of the Chair, he shall select a Vice Chair to determine consensus and if necessary to manage the election. If there is
`an election, the Vice Chair managing the election should not be a candidate.
`
`TSG Chairman responsibilities
`Article 23:
`The TSG Chairman is responsible for the overall management of the technical work within the TSG and its Working
`Groups. The Chairman has an overall responsibility to ensure that the activities of the TSG follow the Partnership Project
`Working Procedures.
`
`The Chairman may nominate officials to assist in the work.
`
`The Chairman may delegate tasks to the Vice Chairmen.
`
`The Chairman may be assisted by the Support Team.
`
`Recognizing the need to balance the requirement of rapid specification development with the limited resources of
`participants, the Chairman should encourage a minimum number of meetings, especially parallel meetings, and maximize
`the use of electronic means to advance the work.
`
`In performing TSG tasks, the Chairman shall maintain strict impartiality and act in the interest of 3GPP.
`
`TSG and WG Chairman and Vice Chairmen
`Article 24:
`dismissal
`A secret ballot shall be taken for the proposal to dismiss a TSG or WG Chairman or Vice Chairman because of a failure to
`effectively perform their duties, if requested by 30% of the TSG or WG membership list. 71% of the votes cast are
`required to recommend dismissal.
`
`The PCG shall dismiss a Chairman or Vice Chairman on the proposal of the TSG.
`
`TSG and WG decision making
`Article 25:
`TSGs a