3GPP TR 25.813 V0.8.2 3 (2006-04)
`
`Technical Report
`
`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`Evolved Universal Terrestrial Radio Access (E-UTRA)
`and Evolved Universal Terrestrial Radio Access Network
`(E-UTRAN);
`Radio interface protocol aspects
`(Release 7)
`
`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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`Keywords
`Evolved UTRA and UTRAN
`
`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.
`
`© 2004, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TTA, TTC).
`All rights reserved.
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`Contents
`
`Foreword.............................................................................................................................................................5
`Introduction ........................................................................................................................................................5
`1
`Scope........................................................................................................................................................6
`2
`References................................................................................................................................................6
`3
`Definitions, symbols and abbreviations ...................................................................................................6
`3.1
`Definitions ......................................................................................................................................................... 6
`3.2
`Symbols ............................................................................................................................................................. 6
`3.3
`Abbreviations................................................................................................................................................. 776
`4
`Objectives and requirements ....................................................................................................................7
`4.1
`Complexity ........................................................................................................................................................ 7
`4.2
`Performance....................................................................................................................................................... 8
`5
`Protocol architecture ................................................................................................................................8
`5.1
`Overall protocol architecture ............................................................................................................................. 8
`5.1.1
`User plane .................................................................................................................................................. 10
`5.1.2
`Control plane.............................................................................................................................................. 10
`5.2
`Layer 1............................................................................................................................................................. 11
`5.2.1
`Services and functions................................................................................................................................ 11
`5.2.2
`Transport channels ..................................................................................................................................... 11
`5.3
`Layer 2............................................................................................................................................................. 12
`5.3.1
`MAC........................................................................................................................................................... 14
`5.3.1.1
`Services and Functions ......................................................................................................................... 14
`5.3.1.2
`Logical Channels.................................................................................................................................. 15
`5.3.1.2.1
`Control Channels ............................................................................................................................ 15
`5.3.1.2.2
`Traffic Channels.............................................................................................................................. 15
`5.3.1.3
`Mapping between logical channels and transport channels.......................................................... 161516
`5.3.1.3.1
`Mapping in Uplink.......................................................................................................................... 16
`5.3.1.3.2
`Mapping in Downlink..................................................................................................................... 16
`5.3.2
`RLC............................................................................................................................................................ 16
`5.3.2.1
`Services and Functions ................................................................................................................. 171617
`5.3.3
`PDCP.......................................................................................................................................................... 17
`5.3.3.1
`Services and Functions ......................................................................................................................... 17
`5.3.4
`Data flows through Layer 2........................................................................................................................ 17
`5.4
`RRC ................................................................................................................................................................. 17
`5.4.1
`Services and Functions............................................................................................................................... 17
`5.4.2
`RRC protocol states & state transitions...................................................................................................... 18
`5.5
`NAS control protocol....................................................................................................................................... 19
`5.5.1
`Services and Functions............................................................................................................................... 19
`5.5.2
`NAS protocol states & state transitions...................................................................................................... 19
`5.6
`Identities used over the E-UTRAN radio interface...................................................................................... 2120
`5.6.1
`NAS related UE identities...................................................................................................................... 2120
`5.6.2
`E-UTRAN related UE identities............................................................................................................. 2120
`5.6.3
`Network entity related Identities ................................................................................................................ 21
`6
`ARQ and HARQ ....................................................................................................................................22
`6.1
`HARQ principles ......................................................................................................................................... 2222
`6.2
`ARQ principles ............................................................................................................................................ 2322
`6.3
`HARQ/ARQ interactions............................................................................................................................. 2322
`7
`Scheduling..............................................................................................................................................23
`8
`QoS Control .......................................................................................................................................2423
`9
`Mobility..................................................................................................................................................24
`9.1
`Intra E-UTRAN ........................................................................................................................................... 2625
`9.1.1
`Variable bandwidth scenarios ................................................................................................................ 2625
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`Cell selection.............................................................................................................................................. 26
`9.1.2
`Cell reselection........................................................................................................................................... 26
`9.1.3
`Paging......................................................................................................................................................... 26
`9.1.4
`Handover................................................................................................................................................ 2726
`9.1.5
`Measurements ........................................................................................................................................ 2726
`9.1.6
`Intra-frequency ................................................................................................................................. 2726
`9.1.6.1
`Inter-frequency ................................................................................................................................. 2726
`9.1.6.2
`Network aspects ..................................................................................................................................... 2726
`9.1.7
`Inter RAT..................................................................................................................................................... 2726
`9.2
`Cell reselection....................................................................................................................................... 2827
`9.2.1
`Handover................................................................................................................................................ 2827
`9.2.2
`Measurements ........................................................................................................................................ 2827
`9.2.3
`Inter-RAT handovers from E-UTRAN............................................................................................. 2827
`9.2.3.1
`Inter-RAT Handovers to E-UTRAN ................................................................................................ 2927
`9.2.3.2
`Inter-RAT cell reselection from E-UTRAN ..................................................................................... 2927
`9.2.3.3
`Limiting measurement load at UE.................................................................................................... 2927
`9.2.3.4
`Network Aspects .................................................................................................................................... 2928
`9.2.4
`Timing Advance ......................................................................................................................................... 2928
`9.3
`Security ..............................................................................................................................................3028
`10
`Security Termination Points ........................................................................................................................ 3028
`10.1
`11 MBMS................................................................................................................................................3028
`12 Migration and compatibility...............................................................................................................3029
`12.1
`Migration scenario ....................................................................................................................................... 3129
`12.2
`Interaction with previous releases................................................................................................................ 3129
`12.3
`Interoperability ............................................................................................................................................ 3129
`13
`UE capabilities ...................................................................................................................................3129
`14
`Impact on specifications.....................................................................................................................3129
`14.1
`Specification methodology .......................................................................................................................... 3129
`14.2
`Affected specifications ................................................................................................................................ 3129
`14.3
`New specifications....................................................................................................................................... 3129
`Annex A: Change history...........................................................................................................................3230
`Annex B: RACH and Contention Resolution...........................................................................................3331
`Annex C: Architecture Progress ...............................................................................................................3432
`Annex D: Editorship...................................................................................................................................3533
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`Foreword
`This Technical Report has been produced by the 3rd Generation Partnership Project (3GPP).
`
`The contents of the present document are subject to continuing work within the TSG and may change following formal
`TSG approval. Should the TSG modify the contents of the present document, it will be re-released by the TSG with an
`identifying change of release date and an increase in version number as follows:
`
`Version x.y.z
`
`where:
`
`x the first digit:
`
`1 presented to TSG for information;
`
`2 presented to TSG for approval;
`
`3 or greater indicates TSG approved document under change control.
`
`y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
`updates, etc.
`
`z
`
`the third digit is incremented when editorial only changes have been incorporated in the document.
`
`Introduction
`With enhancements such as HSDPA and Enhanced Uplink, the 3GPP radio-access technology will remain highly
`competitive for several years to come. However, to ensure competitiveness in an even longer time frame, the long-term
`evolution of the 3GPP radio-access technology is under study. Important parts of such a long-term evolution include
`reduced latency, higher user data rates, optimised support for packet services, improved system capacity and coverage,
`and reduced cost for the operator, while also reducing system complexity. In order to achieve this, evolutions of the
`radio interface as well as the radio network architecture are considered in the study item “Evolved UTRA and UTRAN”
`[1]. This document covers the Radio Interface Protocol Aspects of the study item.
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`Scope
`1
`The purpose of this TR is to help TSG RAN WG2 to define and describe the radio interface protocol evolution under
`consideration for Evolved UTRA and UTRAN [1]. This activity involves the Radio Access Network work area of the
`3GPP studies for evolution and has impacts both on the Mobile Equipment and Access Network of the 3GPP systems.
`This document is intended to gather the agreements rather than comparing different solutions.
`
`NOTE:
`
`this document is a living document, i.e. it is permanently updated and presented to TSG-RAN meetings.
`
`References
`2
`The following documents contain provisions which, through reference in this text, constitute provisions of the present
`document.
`
` References are either specific (identified by date of publication, edition number, version number, etc.) or
`non-specific.
`
` For a specific reference, subsequent revisions do not apply.
`
` For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document (including
`a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same
`Release as the present document.
`
`[1]
`
`[2]
`
`[3]
`
`[4]
`
`[5]
`
`[6]
`
`[7]
`
`TD RP-040461: “Proposed Study Item on Evolved UTRA and UTRAN”.
`
`3GPP TR 21.905: “Vocabulary for 3GPP Specifications”.
`
`3GPP TR 25.913: “Requirements for Evolved UTRA and UTRAN”.
`
`3GPP TR 25.912; “Feasibility Study for Evolved UTRA and UTRAN”.
`
`3GPP TR 25.814: “Physical Layer Aspects for Evolved UTRA”.
`
`3GPP TR 23.882, “System architecture evolution (SAE): Report on technical options and
`conclusions”.
`
`3GPP TS 25.133, “Requirements for support of radio resource management”.
`
`3
`
`Definitions, symbols and abbreviations
`
`Definitions
`3.1
`For the purposes of the present document, the following terms and definitions apply.
`<defined term>: <definition>.
`
`Symbols
`3.2
`For the purposes of the present document, the following symbols apply:
`
`<symbol>
`
`<Explanation>
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`Abbreviations
`3.3
`For the purposes of the present document, the following abbreviations apply:
`
`aGW
`ARQ
`AS
`DL
`eNB
`E-UTRA
`E-UTRAN
`HARQ
`HO
`L1
`L2
`L3
`MAC
`NAS
`PDCP
`PDU
`RLC
`RRC
`SAE
`SDU
`TCH
`UE
`UL
`UMTS
`UTRA
`UTRAN
`
`E-UTRAN Access Gateway
`Automatic Repeat Request
`Access Stratum
`Downlink
`E-UTRAN NodeB
`Evolved Universal Terrestrial Radio Access
`Evolved Universal Terrestrial Radio Access Network
`Hybrid Automatic Repeat Request
`Handover
`Layer 1 (physical layer)
`Layer 2 (data link layer)
`Layer 3 (network layer)
`Medium Access Control
`Non-Access Stratum
`Packet Data Convergence Protocol
`Protocol Data Unit
`Radio Link Control
`Radio Resource Control
`System Architecture Evolution
`Service Data Unit
`Traffic Channel
`User Equipment
`Uplink
`Universal Mobile Telecommunications System
`Universal Terrestrial Radio Access
`Universal Terrestrial Radio Access Network
`
`Other abbreviations used in the present document are listed in 3GPP TR 21.905 [2].
`
`Objectives and requirements
`4
`Simplification of the UTRAN protocol architecture and actual protocols is expected. The overall requirements on the E-
`UTRAN are described in 3GPP TR 25.913 [3].
`
`Complexity
`4.1
`A key requirement of E-UTRAN is to maintain the complexity at a reasonable level. In this respect the following
`assumptions decisions apply:
`
`- The number of transport channels will be is reduced compared to UTRAN, by making use of shared channels
`and not supporting .
`
`- Ddedicated transport channels are not supported by E-UTRAN.
`
`- The number of different MAC- entities will be is reduced compared to UTRAN (e.g. MAC-d not needed in the
`absence of dedicated transport channels).
`
`- The BMC layer and the CTCH of UTRAN are not needed in E-UTRAN i.e. All all data broadcast will beis on
`MBMS and on e.g. MTCH.
`
`- There is no SHO in the downlink (as currently supported for Rel-6 dedicated channels in UTRAN) for the shared
`channel, in case of unicast transmissions. Note: Note that Tthis does not preclude the potential support of other
`schemes such as fast cell selection, bi-casting, "softer HO" (L1 combining) for intra-site cases, etc.
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`- Compressed mode as defined for UTRANshould is not be supported. If some transmission/reception gaps for
`measurement purpose have to be provided to the UE (exact need/case to be defined), this will be based on
`scheduling gaps.
`
`- Only one receiver structure will be assumed for defining the measurements and their requirements.
`
`- RRC should beis simplified by e.g. reducing the number of RRC states compared to UTRAN (e.g. removal of
`UTRAN CELL_FACH is agreed).
`
`4.2
`Note:
`
`Performance
`From R2-051759: U-Plane Latency < 5msec; C-Plane Latency < 100msec (from Inactive to Active);
`optimisation of User Plane for high bit rates; hide breaks from application; shorter transitions (state
`transitions, handover within UTRA?); support “always-on” efficiently.
`
`5
`
`Protocol architecture
`
`Overall protocol architecture
`5.1
`The E-UTRAN consists of eNBs, providing the E-UTRA user plane (RLC/MAC/PHY) and control plane (RRC)
`protocol terminations towards the UE. The eNBs interface to the aGW via the S1.
`
`Figure 5.1 below gives an overview of the E-UTRAN architecture where:
`
`-
`
`It remains FFS whether the aGW is split into U- and C-plane;
`
`- Logical Nodes depicted as yellow-shaded boxes with solid frame are agreed;.
`
`- Logical Nodes depicted as yellow-shaded boxes with dashed frame are not yet agreed;.
`
`- White boxes depict the functional entities of the control plane and blue boxes depict the functional entities of the
`user plane:
`
`- Those, where an agreement on their association with logical nodes has been achieved are depicted inside this
`logical node;
`
`- Those, where an agreement on their association with logical nodes has not yet been achieved, are depicted
`outside logical nodes and their possible locations are indicated by arrows;
`
`- Those, where an agreement on their existence has been achieved are depicted with solid frames;
`
`- Those, where an agreement on their existence has not been achieved are depicted with dashed frames.;
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`Inter Cell RRM
`
`Connection
`Mobility Cont.
`
`RB Control
`
`Radio
`Admission
`Control
`
`eNB
`Measurement
`Configuration &
`Provision
`
`Dynamic
`Resource
`Allocation
`(Scheduler)
`
`RRC
`
`RLC
`
`MAC
`
`PHY
`
`RRM Server
`(optional)
`
`Inter-Cell
`RRM
`Database
`(optional)
`
`aGW Control Plane
`
`SAE Bearer
`Control
`
`MM Entity
`
`aGW User Plane
`
`PDCP
`
`S1
`
`User Plane
`
`internet
`
`Figure 5.1: E-UTRAN Architecture
`
`The functions agreed to be hosted by the eNB are:
`
`- Selection of aGW at attachment;
`
`- Routing towards aGW at RRC activation;
`
`- Scheduling and transmission of paging messages;
`
`- Scheduling and transmission of BCCH information;
`
`- Dynamic allocation of resources to UEs in both uplink and downlink;
`
`- The configuration and provision of eNB measurements;
`
`- Radio Bearer Control;
`
`- Radio Admission Control;
`
`- Connection Mobility Control in LTE_ACTIVE state.
`
`It remains FFS whether the aGW is split into U- and C-plane. The functions agreed to be hosted by the aGW are:
`
`- Paging origination;
`
`- LTE_IDLE state management;
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`- Ciphering of the user plane;
`
`- PDCP;
`
`- SAE Bearer Control (see 3GPP TR 23.882 [6]);
`
`- Ciphering and integrity protection of NAS signalling.
`
`User plane
`5.1.1
`Figure 5.1.2 1 below shows the user-plane protocol stack for E-UTRAN, where:
`
`- RLC/ and MAC sublayers (terminated in eNB on the network side) performs the functions listed in section 5.3,
`e.g.:
`
`- Scheduling;
`
`- ARQ;
`
`- HARQ;
`
`- Security sublayer (terminated in aGW on the network side) performs:
`
`- Ciphering;
`
`-
`
`Integrity protection (FFS);
`
`- PDCP sublayer (terminated in aGW on the network side) performs the functions listed in section 5.3, e.g.:
`
`- Header Compression.
`
`NOTE:
`
`It is FFS if there is a separate security sublayer or if it is part of PDCP.
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`- RB control;
`
`- Mobility functions;
`
`- UE measurement reporting and control.
`
`- NAS (terminated in aGW on the network side) performs among other things:
`
`- SAE bearer management;
`
`- Authentication;
`
`-
`
`Idle mode mobility handling;
`
`- Paging origination in LTE_IDLE;
`
`- Security control for the aGW-UE signalling between aGW and UE, and for the user plane.
`
`NOTE:
`
`the NAS control protocol is not covered by the scope of this TR and is only mentioned for information.
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`2. Downlink Shared Channel (DL-SCH) characterised by:
`
`-
`
`-
`
`-
`
`-
`
`-
`
`-
`
`support for HARQ;
`
`support for dynamic link adaptation by varying the modulation, coding and transmit power;
`
`possibility to be broadcast in the entire cell;
`
`possibility to use beamforming;
`
`support for both dynamic and semi-static resource allocation;
`
`support for UE discontinuous reception (DRX) to enable UE power saving.
`
`NOTE:
`the possibility to use slow power control depends on the physical layer.
`3. Paging Channel (PCH) characterised by:
`
`-
`
`-
`
`support for UE discontinuous reception (DRX) to enable UE power saving (DRX cycle is indicated by the
`network to the UE);
`
`requirement to be broadcast in the entire coverage area of the cell;
`
`- mapped to physical resources which can be used dynamically also for traffic/other control channels.
`
`It is FFS, whether a NCH is included. If yes, it would be characterised by the following attributes:
`4. Notification Channel (NCH) FFS characterised by:
`
`-
`
`support of UE power saving;
`
`requirement to be broadcast in the entire coverage area of the cell.
`-
`It is FFS whether a separate Multicast Channel (MCH) would exist or if additional attributes will be added to the
`DL-SCH.
`
`Uplink transport channel types are:
`1. Uplink Shared channel Channel (UL-SCH) characterised by:
`
`-
`
`-
`
`-
`
`-
`
`possibility to use beamforming; (likely no impact on specifications)
`
`support for dynamic link adaptation by varying the transmit power and potentially modulation and coding;
`
`support for HARQ;
`
`support for both dynamic and semi-static resource allocation; (Note: new attribute, FFS on whether there
`would be two types of UL-SCH)
`
`NOTE:
`
`the possibility to use uplink synchronisation and timing advance depend on the physical layer.
`
`It is FFS, whether a Random Access Channel RACH is included. If yes, it would be characterised by the following
`attributes:
`2. Random Access Channel(s) (RACH) characterised by:
`
`-
`
`-
`
`limited data field (FFS);
`
`collision risk;
`
`NOTE:
`
`the possibility to use open loop power control depends on the physical layer solution.
`
`Layer 2
`5.3
`Layer 2 is split into the following sublayers: Medium Access Control (MAC), Radio Link Control (RLC) and Packet
`Data Convergence Protocol (PDCP).
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`This section gives a high level description of the Layer 2 sub-layers in terms of services and functions. Figure 5.3a and
`Figure 5.3b below depicts the PDCP/RLC/MAC architecture for downlink and uplink respectively, where:
`
`- Service Access Points (SAP) for peer-to-peer communication are marked with circles at the interface between
`sublayers. The SAP between the physical layer and the MAC sublayer provides the transport channels. The
`SAPs between the MAC sublayer and the RLC sublayer provide the logical channels. The SAPs between the
`RLC sublayer and the PDCP sublayer provide the radio bearers.
`
`- The multiplexing of several logical channels on the same transport channel is possible;
`
`- The multiplexing of radio bearers with the same QoS onto the same priority queue is FFS. If there is no
`multiplexing of radio bearers onto priority queues, there is only one level of multiplexing in the RLC/ and MAC
`sublayers;
`
`-
`
`-
`
`In the uplink, only one transport block is generated per TTI in the non-MIMO case;
`
`In the downlink, the number of transport block is FFS.
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`PDCP
`
`ROHC
`
`ROHC
`
`Ciphering
`
`Ciphering
`
`SAE Bearers
`
`Radio Bearers
`
`RLC
`
`Segm.
`ARQ
`
`Segm.
`ARQ
`
`...
`
`
`
`Logical ChannelsLogical Channels
`
`Scheduling / Priority Handling
`
`MAC
`
`Multiplexing
`
`HARQ
`
`Transport Channels
`
`RACH
`
`Figure 5.3.b: Layer 2 Structure for UL in UE
`
`MAC Sublayer
`5.3.1
`This subclause provides an overview on services and functions provided by the MAC sublayer.
`
`Services and Functions
`5.3.1.1
`The main services and functions of the MAC sublayer include:
`
`- Mapping between logical channels and transport channels;
`
`- Multiplexing/demultiplexing of upper layer RLC PDUs belonging to one or different radio bearers into/from
`transport blocks (TB) delivered to/from the physical layer on transport channels;
`
`- Traffic volume measurement reporting;
`
`- Error Ccorrection through HARQ;
`
`- Priority handling between logical channels of one UE;
`
`- Priority handling between UEs by means of dynamic scheduling;
`
`- Transport format selection;
`
`- Mapping of Access Classes to Access Service Classes (FFS for RACH);
`
`- Padding (FFS);
`
`-
`
`In-sequence delivery of upper layer RLC PDUs (FFS if RLC cannot handle the out of sequence delivery caused
`by HARQ (FFS);
`
`3GPP
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`IPR2017-1609
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`NSN 2001 Page 14
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`Huawei v. NSN
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`

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`Release 7
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`15
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`3GPP TR 25.813 V0.8.2 3 (2006-04)
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`- Flow Control (FFS between aGW and eNB).
`
`NOTE: How the multiplexing relates to the QoS of the multiplexed logical channels is FFS.
`
`Logical Channels
`5.3.1.2
`The MAC sublayer provides data transfer services on logical channels. A set of logical channel types is defined for
`different kinds of data transfer services as offered by MAC. Each logical channel type is defined by what type of
`information is transferred.
`
`A general classification of logical channels is into two groups:
`
`- Control Channels (for the transfer of control plane information);
`
`- Traffic Channels (for the transfer of user plane information).
`
`There is one MAC entity per cell. MAC generally consists of several function blocks (transmission scheduling
`functions, per UE functions, MBMS functions, MAC control functions, transport block generation…). Transparent
`Mode is only applied to BCCH (FFS) and PCCH.
`
`Control Channels
`5.3.1.2.1
`Control channels are used for transfer of control plane information only. The control channels offered by MAC are:
`
`- Broadcast Control Channel (BCCH)
`A downlink channel for broadcasting system control information.
`
`- Paging (and Notification) Control Channel (P(N)CCH)
`A downlink channel that transfers paging information (and also notifications for MBMS FFS). This channel is
`used when the network does not know the location cell of the UE.
`
`- Common Control Channel (CCCH)
`FFS: Tthis channel is used by the UEs having no RRC connection with the network (need is FFS depending on
`whether the access mechanism is contained in L1. If RACH is visible as a transport channel, CCCH would be
`used by the UEs when accessing a new cell or after cell reselection).
`
`- Multicast Control Channel (MCCH)
`FFS whether it is distinct from CCCH: a point-to-multipoint downlink channel used for transmitting MBMS
`scheduling and control information from the network to the UE, for one or several MTCHs. After establishing
`RRC connection this channel is only used by UEs that receive MBMS. (Note: old MCCH+MSCH).
`
`- Dedicated Control Channel (DCCH)
`A point-to-point bi-directional channel that transmits dedicated control information between a UE and the
`network. Used by UEs having an RRC connection.
`
`Traffic Channels
`5.3.1.2.2
`Traffic channels are used for the transfer of user plane information only. The traffic channels offered by MAC ar