`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Third Generation
`Partnership Project
`
`
`3GPP
`
`
`Working Procedures
`
`
`01 September 2022
`
`Samsung Ex. 1202, Page 1 of 45
`
`

`

`2
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`Foreword
`
`These Working Procedures of the Third Generation Partnership Project (3GPP) are effective from 01 September 2022.
`
`An electronic version of these Partnership Project Working Procedures is available from the following address:
`
`http://www.3gpp.org
`
`Samsung Ex. 1202, Page 2 of 45
`
`

`

`3
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`Contents
`
`Foreword............................................................................................................................................................. 2
`
`SECTION A:
`
`GENERAL ........................................................................................................................... 7
`
`Article 1: Description ..................................................................................................................................... 7
`
`Article 2: Purpose ........................................................................................................................................... 7
`
`Article 3: Scope and objectives ...................................................................................................................... 7
`
`SECTION B: PARTICIPATION .................................................................................................................... 8
`
`Article 4: Categories ...................................................................................................................................... 8
`
`Article 5: Partnership ..................................................................................................................................... 8
`
`Article 6: Organizational Partnership ............................................................................................................. 8
`
`Article 7: Market Representation Partnership ................................................................................................ 9
`
`Article 8:
`
`Individual Membership .................................................................................................................. 9
`
`Article 9: Termination of Individual Membership ....................................................................................... 10
`
`Article 10:
`
`Observers and Guests .............................................................................................................. 10
`
`SECTION C: STRUCTURE ......................................................................................................................... 10
`
`Article 11:
`
`Structure of 3GPP ................................................................................................................... 10
`
`SECTION D:
`
`PARTNERS’ COLLECTIVE RESPONSIBILITIES ........................................................ 10
`
`Article 12:
`
`Organizational Partners’ Collective Responsibilities ............................................................. 10
`
`Article 13:
`
`Collective responsibilities of all Partners ............................................................................... 11
`
`SECTION E: PROJECT CO-ORDINATION GROUP (PCG) ..................................................................... 11
`
`Article 14:
`
`PCG tasks ................................................................................................................................ 11
`
`Article 15:
`
`PCG participation ................................................................................................................... 12
`
`Article 16:
`
`PCG appointment of Chair and Vice Chairs ........................................................................... 12
`
`Article 17:
`
`PCG Chair and Vice Chair Responsibilities ........................................................................... 12
`
`Article 18:
`
`PCG meetings ......................................................................................................................... 13
`
`Article 19:
`
`PCG decision making ............................................................................................................. 13
`
`SECTION F: TECHNICAL SPECIFICATION GROUPS........................................................................... 13
`
`Article 20:
`
`TSG tasks ................................................................................................................................ 13
`
`Article 21:
`
`TSG participation .................................................................................................................... 14
`
`TSG and WG election of Chair and Vice Chairs .................................................................... 14
`Article 22:
`22.1
`TSG elections ................................................................................................................................................... 14
`22.2
`WG elections ................................................................................................................................................... 15
`
`Samsung Ex. 1202, Page 3 of 45
`
`

`

`4
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`Article 23:
`
`TSG and WG Chair and Vice Chair responsibilities .............................................................. 16
`
`Article 24:
`
`TSG and WG Chair and Vice Chair dismissal ........................................................................ 17
`
`Article 25:
`
`TSG and WG decision making ............................................................................................... 17
`
`Article 26:
`
`TSG and WG voting during a meeting ................................................................................... 17
`
`Article 27:
`
`TSG or WG voting by correspondence ................................................................................... 18
`
`Article 28:
`
`TSG or WG voting for the election of TSG or WG Chair and Vice Chair ............................. 18
`
`Article 29:
`
`TSG or WG appeal process .................................................................................................... 18
`
`Article 30:
`
`TSG and WG meetings ........................................................................................................... 19
`
`Article 30A: TSG and WG participation ..................................................................................................... 19
`
`Article 31:
`
`TSG and WG meeting invitation ............................................................................................ 19
`
`Article 32:
`
`TSG and WG meeting agenda ................................................................................................ 19
`
`Article 33:
`
`TSG and WG meeting registration ......................................................................................... 19
`
`Article 34:
`
`TSG and WG meeting document and file naming .................................................................. 19
`
`TSG and WG Voting Membership List .................................................................................. 20
`Article 35:
`35.1
`Voting list ........................................................................................................................................................ 20
`35.2
`On creation of new TSG or WG ...................................................................................................................... 20
`35.3
`Established TSGs and WGs ............................................................................................................................. 21
`35.4
`Removal from and reinstatement to voting list ................................................................................................ 21
`35.5
`Meetings other than ordinary meetings ............................................................................................................ 21
`
`Samsung Ex. 1202, Page 4 of 45
`
`

`

`5
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`Article 36:
`
`TSG Sub Working Groups ...................................................................................................... 21
`
`SECTION G:
`
`WORK PROGRAMME AND TECHNICAL CO-ORDINATION .................................. 22
`
`Article 37:
`
`Work Programme .................................................................................................................... 22
`
`Article 38:
`
`Work Items ............................................................................................................................. 22
`
`Article 39:
`
`Work Item creation ................................................................................................................. 22
`
`Article 40:
`
`Work Item adoption by PCG .................................................................................................. 22
`
`Article 41:
`
`Work Item stopping ................................................................................................................ 23
`
`Article 42:
`
`Technical co-ordination .......................................................................................................... 23
`
`SECTION H:
`
`DELIVERABLES.............................................................................................................. 23
`
`Article 43:
`
`Deliverable types .................................................................................................................... 23
`
`Article 44:
`
`Approval process .................................................................................................................... 23
`
`Article 45:
`
`Drafting rules .......................................................................................................................... 24
`
`Article 46:
`
`Copyright and ownership ........................................................................................................ 24
`
`Article 47:
`
`Conversion by Organizational Partners .................................................................................. 24
`
`SECTION I: REPORTING .......................................................................................................................... 24
`
`Article 48:
`
`Chair’s reporting obligations .................................................................................................. 24
`
`Article 49:
`
`Changes to structure and officials ........................................................................................... 24
`
`Article 50:
`
`Calendar of meetings .............................................................................................................. 24
`
`SECTION J: EXTERNAL RELATIONS .................................................................................................... 25
`
`Article 51:
`
`Relationship with the ITU ....................................................................................................... 25
`
`Article 52:
`
`Relations with other groups .................................................................................................... 25
`
`SECTION K:
`
`MISCELLANEOUS .......................................................................................................... 26
`
`Article 53:
`
`Resources ................................................................................................................................ 26
`
`Article 54:
`
`Support Team .......................................................................................................................... 26
`
`Article 55:
`
`Intellectual Property Rights (IPR) Policy ............................................................................... 26
`
`Article 56:
`
`Working language ................................................................................................................... 26
`
`Article 57:
`
`Duration .................................................................................................................................. 27
`
`Article 58:
`
`Review of activities ................................................................................................................ 27
`
`Article 59:
`
`Dissolution, winding up .......................................................................................................... 27
`
`Article 59A: Exhaustion of appeal procedures ............................................................................................ 27
`
`Article 60:
`
`Amendments to 3GPP Working Procedures ........................................................................... 27
`
`Annex A: Definitions .................................................................................................................................... 28
`
`Annex B: Abbreviations ............................................................................................................................... 30
`
`Annex C:
`
`Individual member application form ............................................................................................ 31
`
`Annex D:
`
`(Void) ........................................................................................................................................... 33
`
`Annex E: Guidance for MRP applicants ...................................................................................................... 34
`E.1
`Introduction...................................................................................................................................................... 34
`E.2
`Guidance .......................................................................................................................................................... 34
`
`Samsung Ex. 1202, Page 5 of 45
`
`

`

`6
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`Annex F: Guidance on meeting organization .............................................................................................. 35
`F.1
`Meeting classification ...................................................................................................................................... 35
`F.2
`Ordinary meetings ........................................................................................................................................... 35
`F.3
`Ad hoc meetings .............................................................................................................................................. 35
`F.4
`Attendance register .......................................................................................................................................... 36
`F.4.1
`Face to face meetings ................................................................................................................................. 36
`F.4.2
`Electronic meetings .................................................................................................................................... 36
`
`Annex G: Working agreements .................................................................................................................... 37
`
`Annex H: Calculation of quorum in TSGs and WGs ................................................................................... 38
`
`Annex I:
`
`Special procedures for exceptional situations restricting travel ................................................... 39
`
`Change history ............................................................................................................................. 45
`
`Annex J:
`
`
`
`
`Samsung Ex. 1202, Page 6 of 45
`
`

`

`7
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`SECTION A: GENERAL
`
`Article 1: Description
`
`The Partnership Project is not a legal entity but is a collaborative activity between the following recognized Standards
`Development Organizations:
`
`ARIB
`
`(Japan)
`
`CCSA
`
`(China)
`
`ETSI
`
`(Europe)
`
`ATIS
`
`(US)
`
`TTA
`
`(Korea)
`
`TTC
`
`(Japan)
`
`TSDSI (India)
`
`The Partnership Project is entitled the “THIRD GENERATION PARTNERSHIP PROJECT” and may be known by the
`acronym “3GPP”.
`
`top
`
`Article 2: Purpose
`
`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),
`
`-
`
`further development of radio technologies such as LTE, coupled with evolution of core network elements such
`as the Evolved Packet Core (EPC),
`
`-
`
`continuing evolution of the 2nd generation GSM/EDGE Radio Access Network (GERAN),
`
`to be transposed by the Organizational Partners into appropriate deliverables (e.g., standards).
`
`top
`
`Article 3: Scope and objectives
`
`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.
`
`Samsung Ex. 1202, Page 7 of 45
`
`

`

`8
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`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.
`
`Options in the form of a regulatory requirement particular to one or more regions / nations shall be included in 3GPP
`specifications. TSGs should not debate the inclusion or rejection of such options.
`
`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
`
`Article 4: Categories
`
`Participation in 3GPP shall be classified into one of the following categories:
`
`• Partners;
`
`•
`
`•
`
`Individual Members;
`
`ITU Representatives;
`
`• Observers;
`
`• Guests.
`
`Article 5: Partnership
`
`Partners in 3GPP shall be classified into one of the following two categories:
`
`• Organizational Partners;
`
`• Market Representation Partners.
`
`top
`
`top
`
`top
`
`Article 6: Organizational Partnership
`
`Organizational Partnership is open to any Standards Organization, irrespective of its geographical location, which has:
`
`Samsung Ex. 1202, Page 8 of 45
`
`

`

`9
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`• 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.
`
`top
`
`Article 7: Market Representation Partnership
`
`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;
`
`• 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. Further
`guidance for MRP applicants can be found in annex E.
`
`top
`
`Article 8: Individual Membership
`
`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 more 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. Applications may also be made on-line using the template
`available at http://www.3gpp.org.
`
`Individual Members act in 3GPP in their own right and carry the full responsibility for their contributions.
`
`top
`
`Samsung Ex. 1202, Page 9 of 45
`
`

`

`10
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`Article 9: Termination of Individual Membership
`
`Individual Membership of 3GPP may be terminated by dissolution, abolition, resignation or expulsion from the related
`Organizational Partner.
`
`top
`
`Article 10: Observers 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 receive documents and contribute documents
`for information, but shall not submit documents that propose changes to the specifications, reports, work item
`descriptions, work plan, or any other document under the control of the TSG. Observers shall 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 Member. 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 receive documents but
`shall not take part in decision making, participate in discussions, contribute documents, or hold any leadership
`positions.
`
`top
`
`SECTION C: STRUCTURE
`
`Article 11: Structure of 3GPP
`
`3GPP shall consist 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.
`
`top
`
`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;
`
`Samsung Ex. 1202, Page 10 of 45
`
`

`

`11
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`• maintenance of 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;
`
`• conduct compliance training at least annually for elected leadership, relevant Support Team personnel and
`interested parties on best practices to follow to
`
`• avoid issues with respect to antitrust/competition laws and regulations;
`
`•
`
`fulfil the leadership/support role with impartiality and in the interests of 3GPP.
`
`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.
`
`top
`
`top
`
`SECTION E: PROJECT CO-ORDINATION GROUP (PCG)
`
`Article 14: PCG tasks
`
`The PCG shall perform the following tasks:
`
`• appointment of PCG Chair and Vice Chairs;
`
`• 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;
`
`Samsung Ex. 1202, Page 11 of 45
`
`

`

`12
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`• appointment or dismissal of TSG Chairs and Vice Chairs, 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.
`
`top
`
`Article 15: PCG participation
`
`The following shall have a right to participate in the PCG:
`
`• Typically, a maximum of five representatives of each Organizational Partner (not counting the Chair and Vice-
`Chairs);
`
`• A maximum of three representatives of each Market Representation Partner. (MRPs are however urged to limit their
`participation to one representative wherever possible.);
`
`• The Chairs and Vice Chairs of the TSGs as ex-officio members;
`
`• A maximum of three ITU representatives;
`
`• One representative of each Observer.
`
`top
`
`top
`
`Article 16: PCG appointment of Chair and Vice Chairs
`
`The PCG shall appoint their Chair and Vice Chairs from amongst the Organizational Partner representatives.
`
`The Chair and Vice Chairs shall be appointed for a one year term of office.
`
`The Chair and Vice Chairs shall normally serve one term of office. If no other candidates are available, the Chair or
`Vice Chairs may be appointed for a further term.
`
`Successive Chairs and Vice Chairs should not be from the same Organizational Partner, the same region or from the
`same group of companies, unless no other candidate is available.
`
`Article 17: PCG Chair and Vice Chair Responsibilities
`
`The PCG Chair is responsible for the overall management of the co-ordination work within 3GPP.
`
`The Chair has the overall responsibility to ensure that the Partnership Project Agreement, Partnership Project
`Description and Partnership Project Working Procedures are followed.
`
`The Chair may nominate officials to assist in the work.
`
`The Chair may be assisted by the Support Team.
`
`The Chair may delegate tasks to the Vice Chairs.
`
`Samsung Ex. 1202, Page 12 of 45
`
`

`

`13
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`In performing their leadership role, the Chair and Vice Chairs shall maintain impartiality and act in the interests of
`3GPP.
`
`At the commencement of each meeting of the PCG, the group shall be reminded that:
`
`
`
`(i) compliance with all applicable antitrust and competition laws is required; and
`
`(ii) the leadership will conduct the meeting with impartiality and in the interests of 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.
`
`top
`
`top
`
`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 Chairs and Vice Chairs of the TSGs shall be taken into account during the consensus building process.
`If consensus cannot be achieved, the PCG Chair 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.
`
`top
`
`SECTION F: TECHNICAL SPECIFICATION GROUPS
`
`Article 20:
`
`TSG tasks
`
`The TSGs shall prepare, approve and maintain the 3GPP Technical Specifications and Technical Reports taking into
`account the market requirements provided by Market Representation Partners.
`
`The TSGs shall also perform the following tasks:
`
`• Propose to the PCG for appointment TSG Chair and Vice Chairs 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;
`
`• Preparation of a detailed time frame and management of detailed work progress;
`
`Samsung Ex. 1202, Page 13 of 45
`
`

`

`14
`Third Generation Partnership Project Working Procedures, 01 September 2022
`
`• 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).
`
`Article 21:
`
`TSG participation
`
`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