IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`PATENT APPLICATION
`
`In re application of
`
`Gwenael LE BODIC, et al.
`
`Appin. No. Not Assigned
`
`Docket No: Q71377
`
`Confirmation No.:Not Assigned
`
`Group Art Unit: Not Assigned
`
`Filed: August 15, 2002
`
`Examiner: Not Assigned
`
`For: A SYSTEM OF INTEROPERABILITY BETWEEN MMS MESSAGES AND SMS/EMS
`MESSAGES AND AN ASSOCIATED EXCHANGE METHOD
`
`INFORMATION DISCLOSURE STATEMENT
`UNDER 37 C.F.R. §§ 1.97 and 1.98
`
`Commissioner for Patents
`Washington, D.C. 20231
`
`Sir:
`
`In accordance with the duty of disclosure under 37 C.F.R. § 1.56, Applicants hereby
`
`notify the U.S. Patent and Trademark Office of the documents which are listed on the attached
`
`PTO/SB/08 A & B (modified) (substitute for PTO Form 1449) form and/or listed herein and
`
`which the Examiner may deem material to patentability of the claims of the above-identified
`
`application.
`
`One copy of each of the listed documents is submitted herewith, along with a copy of the
`
`corresponding Communication from a Foreign Patent Office.
`
`The present Information Disclosure Statement is being filed: (1) No later than three
`
`months from the application's filing date for an application other than a continued prosecution
`
`application (CPA) under §1.53(d); (2) Before the mailing date of the first Office Action on the
`
`merits (whichever is later); or (3) Before the mailing date of the first Office Action after filing a
`
`Apple Inc.
`Ex. 1014 - Page 1
`
`

`

`INFORMATION DISCLOSURE STATEMENT
`Attorney Docket No. Q71377
`
`request for continued examination (RCE) under §1.114, and therefore, no Statement under
`
`37 C.F.R. § 1.97(e) or fee under 37 C.F.R. § 1.17(p) is required.
`
`The submission of the listed documents is not intended as an admission that any such
`
`document constitutes prior art against the claims of the present application. Applicants do not
`
`waive any right to take any action that would be appropriate to antedate or otherwise remove any
`
`listed document as a competent reference against the cl. ' -I s of the present application.
`
`tfully submitte
`
`•ID
`
`istration o. 18,879
`David J. Cushing
`egistration No. 28,703
`
`SUGHRUE MION, PLLC
`2100 Pennsylvania Avenue, N.W.
`Washington, D.C. 20037-3213
`Telephone: (202) 293-7060
`Facsimile: (202) 293-7860
`
`Date: August 15, 2002
`
`2
`
`Apple Inc.
`Ex. 1014 - Page 2
`
`

`

`substitute for Form 1449 A & B/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(use as many sheets as necessary)
`
`Sheet
`
`1
`
`of I 1
`
`PTO/SB/08 A & B (modified)
`
`Complete if Known
`Not Assigned
`Application Number
`0 —
`Not Assigned
`Confirmation Number
`t
`—
`August 15, 2002
`Filing Date
`4=r
`aca• _____ 03
`Gwenael LE BODIC
`First Named Inventor
`-..
`Not Assigned
`torn
`Art Unit
`----1----.-1
`Not Assigned
`c-..1
`Examiner Name
`Attorney Docket Number Q71377
`
`. CC
`
`.41. C= ,
`
` 2'''
`
`Examiner
`Initials*
`
`Cite
`No.'
`
`Number
`
`Kind
`Code
`N. known)
`
`Publication Date
`MM-DD-YYYY
`
`Document Number
`
`Name of Patentee or Applicant of Cited Document
`
`U.S. PATENT DOCUMENTS
`
`v-3
`
`US
`US
`US
`US
`US
`US
`US
`US
`US
`
`FOREIGN PATENT DOCUMENTS
`
`Examiner
`Initials*
`
`Cite
`No.'
`
`Foreign Patent Document
`
`Count ry
`Code
`WO
`
`Number4
`
`99/66746
`
`Kind Codes
`(if known)
`A2
`
`Publication Date
`MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Translation
`
`12-23-1999
`
`Nokia Telecommunications OY
`
`Yes
`
`Examiner
`Initials*
`
`Cite
`No.'
`
`OTHER PRIOR ART - NON PATENT LITERATURE DOCUMENTS
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the Item (book, magazine,
`Journal, serial, symposium, catalog, etc.), date, page(s), volume-Issue number(s), publisher, city, and/or country where published.
`3GPP TS 23.140 V 4.3.0 releash 4, Universal Mobile Telecommunications System (UMTS) Multimedia
`Messaging Service (MMS), Functional Description , July 24, 2001, pages 55-68, XP002202092.
`3GPP TS 23.040 V 3.5.0, Universal Mobile Telecommunications System (UMTS), Technical Realization of
`the Short Message Service (SMS) August 22, 2000, pages 1-127, XP002202093.
`
`Translation6
`
`Yes
`
`Yes
`
`Examiner Signature
`
`Date Considered
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not considered. Include copy of
`this form with next communication to applicant.
`
`'Applicant's unique citation designation number (optional). 2See Kinds Codes of USPTO Patent Documents at www.uspto.gov, MPEP 901.04 or in the comment box of this document. 3 Enter
`Office that issued the document, by the two-letter code (WIPO Standard ST. 3). 'For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial
`number of the patent document. 'Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST. 16 if possible. 6 Applicant is to indicate here if English
`language Translation is attached.
`
`Apple Inc.
`Ex. 1014 - Page 3
`
`

`

`This Page Is Inserted by IFW Operations
`and is not a part of the Official Record
`
`BEST AVAILABLE IMAGES
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`Defective images within this document are accurate representations of
`the original documents submitted by the applicant.
`
`Defects in the images may include (but are not limited to):
`
`• BLACK BORDERS
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`• TEXT CUT OFF AT TOP, BOTTOM OR SIDES
`
`• FADED TEXT
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`•
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`ILLEGIBLE TEXT
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`• SKEWED/SLANTED IMAGES
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`• COLORED PHOTOS
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`As rescanning documents will not correct images,
`please do not report the images to the
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`Apple Inc.
`Ex. 1014 - Page 4
`
`

`

`This Page Blank (uspto)
`
`Apple Inc.
`Ex. 1014 - Page 5
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`

`

`la
`
`-4
`
`ETSI TS 123 040 V3.5.0 (2000-07)
`
`'21011 0AZ, 1<K.- LI)
`
`Technical Specification
`
`XP-002202093
`
`P.D. <2.0.:Car...S:
`..........
`... .
`
`P.
`
`Universal Mobile Telecommunications System (UMTS);
`Technical realization of the Short Message Service (SMS)
`(3G TS 23.040 version 3.5.0 Release 1999)
`
`1NSDOCID: <XP
`
`2202093A 1_,
`
`Apple Inc.
`Ex. 1014 - Page 6
`
`

`

`3G TS 23.040 version 3.5.0 Release 1999
`
`1
`
`ETSI Ts 123 040 V3.5.0 (2000-07)
`
`Reference
`RTSTTSGT-0223040UFt2
`
`Keywords
`UMTS
`
`ETSI
`
`650 Route des Lucioles
`F-06921 Sophia Antipolis Cedex - FRANCE
`
`Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
`
`Siret N.' 348 623 562 00017 - NAF 742 C
`Association a but non lucratif enregistree a la
`Sous-Prefecture de Grasse (06) Nc. 7803/88
`
`Important notice
`
`Individual copies of the present document can be downloaded from:
`http://www.etsi.orq
`
`The present document may be made available in more than one electronic version or in print. In any case of existing or
`perceived difference in contents between such versions, the reference version is the Portable Document Format (PDF).
`In case of dispute, the reference shall be the printing on ETSI printers of the PDF version kept on a specific network
`drive within ETSI Secretariat.
`
`Users of the present document should be aware that the document may be subject to revision or change of status.
`Information on the current status of this and other ETSI documents is available at http://www.etsi.oroitb/status/
`
`If you find errors in the present document, send your comment to:
`editoraetsiir
`
`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.
`
`Co European Telecommunications Standards Institute 2000.
`
`All rights reserved.
`
`I
`
`r...4t". I
`
`NSDOCID: <XP
`
`2202093A 1.2.
`
`Apple Inc.
`Ex. 1014 - Page 7
`
`

`

`3G TS 23.040 version 3.5.0 Release 1999
`
`2
`
`ETSI TS 123 040 V3.5.0 (2000-07)
`
`Intellectual Property Rights
`IPRs essential or potentially essential to the present document may have been declared to ETSI. The information
`pertaining to these essential IPRs, if any, is publicly available for ETS1 members and non-members, and can be found
`in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
`respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
`server (http://wl.vw_etsi.ortdior).
`
`Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
`can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
`server) which are, or may be, or may become, essential to the present document.
`
`Foreword
`This Technical Specification (TS) has been produced by the ETSI 3rd Generation Partnership Project (3GPP).
`
`The present document may refer to technical specifications or reports using their 3GPP identities, UMTS identities or
`GSM identities. These should be interpreted as being references to the corresponding ETSI deliverables.
`
`The cross reference between GSM, UMTS, 3GPP and ETSI identities can be found under www.etsi.org/key
`
`NSDOCID: <XP
`
`2202093A 1_,
`
`1 .. rC• I
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`Apple Inc.
`Ex. 1014 - Page 8
`
`

`

`3G TS 23.040 version 3.5.0 Release 1999
`
`3
`
`ETSI TS 123 040 V3.5.0 (2000-07)
`
`Contents
`
`Foreword
`
`Introduction
`
`1
`
`Scope
`
`2
`2.1
`2.1.1
`2.1.2
`
`References
`Definitions and abbreviations
`Definitions
`Abbreviations
`
`3
`3.1
`3.2
`3.2.1
`3.2.2
`3.2.3
`3.2.4
`3.2.5
`3.2.6
`3.2.7
`3.2.8
`3.2.9
`3.2.10
`3.3
`3.3.1
`3.3.2
`3.4
`3.4.1
`3.4.2
`3.5
`3.6
`3.7
`3.8
`3_8.1
`3.8.2
`3.8.2.1
`3.8.2.2
`3.8.2.3
`3.8.3
`3.8.4
`3.9
`3.10
`3.10.1
`3.10.2
`3.10.3
`3.10.4
`
`Services and service elements
`Basic services
`Short Message Service elements
`Validity-Period
`Service-Centre-Time-Stamp
`Protocol-Identifier
`More-Messages-to-Send
`Delivery of Priority and non-Priority Messages
`Messages-Waiting
`Alert-SC
`Options concerning MNRG, MNRF, MNRR, MCEF and MWD
`Status report capabilities
`Reply Path
`Unsuccessful short message TPDU transfer SC -> MS
`Errors occurring during transfer of TPDU to MS
`Errors occurring after TPDU arrives at MS
`Unsuccessful short message TPDU transfer MS -> SC
`Errors occurring during transfer of TPDU to SC
`Errors occurring after TPDU arrives at SC
`Use of Supplementary Services in combination with the Short Message Service
`Applicability of Operator Determined Barring to the Short Message Service
`Multiple short message transfer
`SMS and Internet Electronic Mail interworking
`Basic Format
`Optional Fields
`Subject
`Real Name
`Optional Control Flag
`Text concatenation
`Alternative characters for Internet email addresses in MO SMS.
`SMS COMPRESSION
`Enhanced Messaging Service
`Text formatting
`Pictures
`Animations
`Sound
`
`4
`4.1
`4.2
`
`Network architecture
`Basic network structure
`Transfer on link 3
`
`5
`5.1
`5.2
`5.2.1
`5.2.2
`
`Service Centre and PLMN interconnection
`Service centre connection
`Routing requirements
`Mobile terminated short message
`Mobile originated short message
`
`6
`6.1
`
`Service Centre functionality
`Service Centre capabilities
`
`JSDOCID: <XP
`
`2202093A 1_.
`
`6
`
`6
`
`7
`
`7
`9
`9
` 11
`11
` 11
`12
`12
`13
` 13
`13
`13
`13
`16
`16
` 17
`18
`18
`18
`18
`20
`20
`20
`20
`20
`21
`21
`21
`22
`22
`22
`22
`22
`23
`23
`23
`23
`24
`24
`24
`
`25
`25
`26
`
`26
`26
`26
`26
`26
`
`26
`27
`
`Apple Inc.
`Ex. 1014 - Page 9
`
`

`

`3G TS 23.040 version 3.5.0 Release 1999
`
`4
`
`ETSI TS 123 040 V3.5.0 (2000-07)
`
`a
`
`6.2 .,
`
`7
`7.1
`7.2
`
`8
`8.1
`8.1.1
`8.1.2
`8.1.3
`8.2
`8.2.1
`8.2.2
`8.2.3
`8.3
`
`SC functional requirements
`
`MS functionality
`MS capabilities
`MS configuration
`
`Node functionality
`Node functionality related to SM MT
`Functionality of the SMS-GMSC
`Functionality of the MSC
`Functionality of the SGSN
`Node functionality related to SM MO
`Functionality of the MSC
`Functionality of the SMS-IWMSC
`Functionality of the SGSN
`SMS-IWMSC functionality related to alerting
`
`
`
`9
`9.1
`9.1.1
`9.1.2
`9.1.2.1
`9.1.2.2
`9.1.2.3
`9.1.2.4
`9.1.2.5
`9.2
`9.2.1
`9.2.2
`9.2.2.1
`9.2.2.1a
`9.2.2.2
`9.2.2.2a
`9.2.2.3
`9.2.2.4
`9.2.3
`9.2.3.1
`9.2.3.2
`9.2.3.3
`9.2.3.4
`9.2.3.5
`9.2.3.6
`9.2.3.7
`9.2.3.8
`9.2.3.9
`9.2.3.10
`9.2.3.11
`9.2.3.12
`9.2.3.12.1
`9.2.3.12.2
`9.2.3.12.3
`9.2.3.13
`9.2.3.14
`9.2.3.15
`9.2.3.16
`9.2.3.17
`9.2.3.18
`9.2.3.19
`9.2.3.20
`9.2.3.21
`9.2.3.22
`9.2.3.23
`9.2.3.24
`
`Protocols and protocol architecture
`Protocol element features
`
`Octet and Bit transmission order
`Numeric and alphanumeric representation
`' Integer representation
`Octet representation
`Semi-octet representation
`Alphanumeric representation
`Address fields
`Service provided by the SM-TL
`General
`PDU Type repertoire at SM-TL
`SMS-DELIVER type
`SMS-DELIVER-REPORT type
`SMS-SUBMIT type
`SMS-SUBMIT-REPORT type
`SMS-STATUS-REPORT type
`SMS-COMMAND type
`Definition of the TPDU parameters
`TP-Message-Type-Indicator (TP-MTI)
`TP-More-Messages-to-Send (TP-MMS)
`TP-Validity-Period-Format (TP-VPF)
`TP-Status-Report-Indication (TP-SRI)
`TP-Status-Report-Request (TP-SRR)
`TP-Message-Reference (TP-MR)
`TP-Originating-Address (TP-OA)
`TP-Destination-Address (TP-DA)
`TP-Protocol-Identifier (TP-PID)
`TP-Data-Coding-Scheme (TP-DCS)
`TP-Service-Centre-Time-Stamp (TP-SCTS)
`TP-Validity-Period (TP-VP)
`TP-VP (Relative format)
`TP-VP (Absolute format)
`TP-VP (Enhanced format)
`TP-Discharge-Time (TP-DT)
`TP-Recipient-Address (TP-RA)
`TP-Status (TP-ST)
`TP-User-Data-Length (TP-UDL)
`TP-Reply-Path (TP-RP)
`TP-Message-Number (TP-MN)
`TP-Corrunand-Type (TP-CT)
`TP-Command-Data-Length (TP-CDL)
`TP-Command-Data (TP-CD)
`TP-Failure-Cause (TP-FCS)
`TP-User-Data-Header-Indicator (TP-UDHI)
`TP-User Data (TP-UD)
`
`27
`
`27
`27
`28
`
`28
`28
`28
`30
`31
`32
`32
`32
`32
`33
`
`33
`'34
`34
`34
`34
`35
`35
`36
`36
`38
`38
`38
`38
`41
`42
`45
`47
`49
`50
`50
`50
`51
`51
`51
`51
`52
`52
`52
`54
`54
`55
`55
`55
`55
`56
`56
`56
`57
`58
`58
`58
`58
`59
`59
`60
`60
`
`
`
`3NSDOCID: <XP
`
`2202093A
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`I_>
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`r -Ire• I
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`Apple Inc.
`Ex. 1014 - Page 10
`
`

`

`3G TS 23.040 version 3.5.0 Release 1999
`
`5
`
`ETSI TS 123 040 V3.5.0 (2000-07)
`
`Concatenated Short Messages
`Special SMS Message Indication
`Application Port Addressing 8 bit address
`Application Port Addressing 16 bit address
`SMSC Control Parameters
`UDH Source Indicator
`(U)SIM Toolkit Security Headers
`Concatenated short messages, 16-bit reference number
`Wireless Control Message Protocol
`Enhanced Messaging Service
`RFC 822 E-Mail Header
`TP-Reject-Duplicates (TP-RD)
`TP-Status-Report-Qualifier (TP-SRQ)
`TP-Parameter-Indicator (TP-PI)
`Service provided by the SM-RL
`General
`Protocol element repertoire at SM-RL
`RP-MO-DATA
`RP-MT-DATA
`RP-ACK
`RP-ERROR
`RP-ALERT-SC
`RP-SM-MEMORY-AVAILABLE
`
`9.2.3.24.1
`9.2.3.24.2
`9.2.3.24.3
`9.2.3.24.4
`9.2.3.24.5
`9.2.3.24.6
`9.2.3.24.7
`9.2.3.24.8
`9.2.3.24.9
`9.2.3.24.10
`9.2.3.24.11
`9.2.3.25
`9.2.3.26
`9.2.3.27
`9.3
`9.3.1
`9.3.2
`9.3.2.1
`9.3.2.2
`9.3.2.3
`9.3.2.4
`9.3.2.5
`9.3.2.6
`Fundamental procedures within SMS
`10
`Short message mobile terminated
`10.1
`Short message mobile originated
`10.2
`Alert transfer
`10.3
`11 Mapping of error causes between RP layers
`Mobile Terminated short message transfer
`11.1
`Memory available notification
`11.2
`Mobile Originated short message transfer
`11.3
`
`Annex A (informative):
`
`Protocol stacks for interconnecting SCs and MSCs
`
`Annex B (informative):
`
`Information now contained in 3G TS 23.038 [9]
`
`Annex C (informative):
`
`Short message information flow
`
`
`
`
`
`L.
`
`U
`
`63
`.65
`66
`67
`67
`68
`68
`69
`70
`70
`76
`78
`78
`78
`79
`79
`79
`79
`80
`80
`80
`81
`81
`
`81
`81
`94
`99
`
`102
`102
`102
`103
`
`104
`
`105
`
`106
`
`Annex D (informative):
`
`D.1
`
`Introduction
`
`Mobile Station reply procedures— ......................... —........—....... ......... — 123
`123
`
`D.2 The scope of applicability
`
`D.3 Terminology
`D.4 The reply path requesting procedure
`D.5 The reception of an original MT SM
`D.6 The submission of the reply MO SM
`D.7 Usage of SCs for replying
`D.8 Replying possibilities for Phase 1 mobile stations
`D.9 The resulting service for originating SMEs
`
`123
`
`123
`
`123
`
`124
`
`124
`
`124
`
`125
`
`125
`
`
`
`Annex E (informative):
`
`Change
`
`history....
`
`.....
`
`......
`
`••••••••
`
`.......
`
`••••••••••••••••••••••••••••
`
`.....
`
`•••••••••••••••••
`
`.....
`
`4.0000126
`
`iNSDOCID: <XP
`
`2202093A 1_>
`
`rTe•
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`Apple Inc.
`Ex. 1014 - Page 11
`
`

`

`3G TS 23.040 version 3.5.0 Release 1999
`
`6
`
`ETSI TS 123 040 V3.5.0 (2000-07)
`
`I
`
`Foreword
`This Technical Specification (TS) has been produced by the 3"I 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
`The Short Message Service (SMS) provides a means of sending messages of limited size to and from GSM/UMTS
`mobiles. The provision of SMS makes use of a Service Centre, which acts as a store and forward centre for short
`messages. Thus a GSM/UMTS. PLMN needs to support the transfer of short messages between Service Centres and
`mobiles.
`
`Mobile originated messages shall be transported from an MS to a Service Centre. These may be destined for other
`mobile users, or for subscribers on a fixed network. Mobile terminated messages shall be transported from a Service
`Centre to an MS. These may be input to the Service Centre by other mobile users (via a mobile originated short
`message) or by a variety of other sources, e.g. speech, telex, or facsimile.
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`3G TS 23.040 version 3.5.0 Release 1999
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`7
`
`ETSI TS 123 040 V3.5.0 (2000-07)
`
`1
`Scope
`The present document describes the Short Message Service (SMS) for GSM/UMTS networks. It defines:
`
`the services and service elements;
`
`the network architecture;
`
`the Service Centre functionality;
`
`the MSC functionality (with regard to the SMS);
`
`the SGSN functionality (with regard to the SMS);
`
`the routing requirements;
`
`the protocols and protocol layering;
`
`-
`
`-
`
`-
`
`-
`
`-
`
`for the Teleservice Short Message Service, as specified in the GSM TS 02.03 [2] and 3G TS 22.105 [32].
`
`The use of radio resources for the transfer of short messages between the MS and the MSC or the SGSN is described in
`3G TS 24.011 [13] "Short Message Service Support on Mobile Radio Interface", and is dealt with in that specification.
`
`The network aspects of Short Message Service provision are outside the scope of the present document (i.e. the
`provision of network connectivity between the PLMN subsystems). There is no technical restriction within the present
`document for the transfer of short messages between different PLMN's. Any such restriction is likely to be subject to
`commercial arrangements and PLMN operators must make their own provision for interworking or for preventing
`interworking with other PLMN's as they see fit.
`
`The required and assumed network service offered to the higher layers is defined in the present document.
`
`2
`References
`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.
`
`[1]
`
`[2]
`
`[3]
`
`[4]
`
`[5]
`
`[6]
`
`[7]
`
`[8]
`
`[9]
`
`GSM 01.04: "Digital cellular telecommunication system (Phase 2+); Abbreviations and
`acronyms".
`
`GSM 02.03: "Digital cellular telecommunication system (Phase 2+); Teleservices supported by a
`GSM Public Land Mobile Network (PLMN)".
`
`3G TS 22.004: "General on supplementary services".
`
`3G TS 22.041: "Operator determined barring".
`
`GSM 03.02: "Digital cellular telecommunication system (Phase 2+); Network architecture".
`
`3G TS 23.008: "Organization of subscriber data".
`
`3G TS 23.011: "Technical realization of supplementary services - General Aspects".
`
`3G TS 23.015: "Technical realisation of Operator Determined Barring (ODB)".
`
`3G TS 23.038: "Alphabets and language-specific information".
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`3G TS 23.040 version 3.5.0 Release 1999
`
`8
`
`ETSI TS 123 040 V3.5.0 (2000-07)
`
`J
`
`[10]
`
`[11]
`
`[12]
`
`[13]
`
`[14]
`
`[15]
`
`[16]
`
`[17]
`
`[18]
`
`[19]
`
`[20]
`
`[21]
`
`[22]
`
`[23]
`
`[24]
`
`[25]
`
`[26]
`
`[27]
`
`[28]
`
`[29]
`
`[30]
`
`[31]
`
`[321
`
`3G TS 23.041: "Technical realization of Cell Broadcast Service (CBS)".
`
`GSM 03.47 (ETR 354): "Digital cellular telecommunication system; Example protocol stacks for
`interconnecting Service Centre(s) (SC) and Mobile-services Switching Centre(s) (MSC)".
`
`GSM 04.08: "Digital cellular telecommunication system (Phase 2+); Mobile radio interface layer 3
`specification".
`
`3G TS 24.011: "Short Message Service (SMS) support on mobile radio interface".
`
`3G TS 27.005: "Use of Data Terminal Equipment - Data Circuit terminating Equipment (DTE -
`DCE) interface for Short Message Service (SMS) and Cell Broadcast Service (CBS)"
`
`3G TS 29.002: "Mobile Application Part (MAP) specification".
`
`GSM 11.11: "Digital cellular.telecommunication system (Phase 2+); Specification of the
`Subscriber Identity Module - Mobile Equipment (SIM- ME) interface".
`
`CCITT Recommendation E.164 (Blue Book): "Numbering plan for the ISDN era".
`
`CC.11 1 Recommendation E.163 (Blue Book): "Numbering plan for the international telephone
`service".
`
`CCITT Recommendation Q.771: "Specifications of Signalling System No.7; Functional
`description of transaction capabilities".
`
`CCITT Recommendation T.100 (Blue Book): "International information exchange for interactive
`videotex" _
`
`CCITT Recommendation T.101 (Blue Book): "International interworking for videotex services".
`
`CLII I Recommendation X.121 (Blue Book): "International numbering plan for public data
`networks".
`
`CCITT Recommendation X.400 (Blue Book): "Message handling system and service overview".
`
`ISO/IEC 10646: "Universal Multiple-Octet Coded Character Set (USC); UCS2, 16 bit coding".
`
`3G TS 22.022: "Personalisation of GSM ME Mobile functionality specification - Stage 1".
`
`3G TS 23.042: "Compression Algorithm for Text Messaging Services".
`
`3G TS 23.060: "General Packet Radio Service (GPRS); Service description; Stage 2".
`
`GSM 03.48: "Digital cellular telecommunications system (Phase 2+); Security Mechanisms for the
`SIM application toolkit; Stage 2".
`
`3G TR 21.905: "3G Vocabulary".
`
`3G TS 31.102: "Characteristics of the USIM application".
`
`3G TS 31.101: "UICC — Terminal interface; Physical and logical characteristics".
`
`3G TS 22.105: "Services and Service Capabilites".
`
`[33] •
`
`Infrared Data Association. Specifications for Ir Mobile Communications (IrMC).
`iMelody.
`
`[34]
`
`IETF RFC 822: "Standard for the format of ARPA Internet text messages".
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`3G TS 23.040 version 3.5.0 Release 1999
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`9
`
`ETSI TS 123 040 V3.5.0 (2000-07)
`
`2.1
`
`Definitions and abbreviations
`
`2.1.1
`
`Definitions
`
`NOTE: The term 'mobile station' (MS) in the present document is synonymous with the term 'user equipment'
`(UE) in UMTS terminology as defined in 3G TR 21.905 [29].
`
`active MS: A switched-on mobile station with a SIM / UICC see 3G TS 31.101 [31] module attached.
`
`alert-SC: Service element provided by a GSM/UMTS PLMN to inform an SC which has previously initiated
`unsuccessful short message delivery attempt(s) to a specific MS, that the MS is now recognized by the PLMN to have
`recovered operation.
`
`status report: SC informing the originating MS of the outcome of a short message submitted to an SME.
`
`Gateway MSC For Short Message Service (SMS-GMSC): A function of an MSC capable of receiving a short
`message from an SC, interrogating an HLR for routing information and SMS info, and delivering the short message to
`the VMSC or the SGSN of the recipient MS.
`
`Interworking MSC For Short Message Service (SMS-IVVMSC): A function of an MSC capable of receiving a short
`message from within the PLMN and submitting it to the recipient SC.
`
`Messages-Waiting (MW): Service element that makes a PLMN store information (Messages-Waiting-Indication),
`listing those SCs that have made unsuccessful short message delivery attempts to MSs in that PLMN.
`
`Messages-Waiting-Indication (MWI): Data to be stored in the HLR and VLR with which an MS is associated,
`indicating that there is one or more messages waiting in a set of SCs to be delivered to the MS (due to unsuccessful
`delivery attempt(s)).
`
`Messages-Waiting-Data (MWD): A part of the MWI to be stored in the HLR. MWD consists of an address list of the
`SCs which have messages waiting to be delivered to the MS.
`
`Mobile-services Switching Centre (MSC): The Mobile-services Switching Centre is an exchange which performs
`switching functions for mobile stations located in a geographical area designated as the MSC area.
`
`Mobile-Station-Memory-Capacity-Exceeded-Flag (MCEF): A part of the MWI to be stored in the HLR. MCEF is a
`Boolean parameter indicating if the address list of MWD contains one or more entries because an attempt to deliver a
`short message to an MS has failed with a cause of MS Memory Capacity Exceeded.
`
`Mobile-Station-Not-Reachable-Flag (MNRF): The part of the MWI to be stored in the VLR and the HLR. MNRF is a
`Boolean parameter indicating if the address list of MWD contains one or more entries because an attempt to deliver a
`short message to an MS has failed with a cause of Absent Subscriber.
`
`Mobile-station-Not-Reachable-for-GPRS (MNRG): The part of the MWI to be stored in the SGSN and the HLR.
`MNRG is a Boolean parameter indicating if the address list of MWD contains one or more entries because an attempt to
`deliver a short message to an MS has failed with a cause of Absent Subscriber.
`
`Mobile-Station-Not-Reachable-Reason (MNRR): The part of the MWI in the HLR which stores the reason for an MS
`being absent when an attempt to deliver a short message to an MS fails at the MSC with a cause of Absent Subscriber.
`
`More-Messages-To-Send (MMS): Information element offering an MS receiving a short message from an SC the
`information whether there are still more messages waiting to be sent from that SC to the MS. The TP-MMS element
`(conveyed in the Transfer layer) is copied into the RP-MMS element (conveyed in the Relay layer). It is possible with
`Phase 2 and later versions of MAP (3G TS 29.002 [15]) for the RP-MMS element to keep an SM transaction open
`between the GMSC and the MS in the case where there are more-messages-to-send. Earlier versions of•MAP support
`the transport of the TP-MMS element.
`
`priority: Service element enabling the SC or SME to request a short message delivery attempt to an MS irrespective of
`whether or not the MS has been identified as temporarily absent_
`
`protocol-identifier: Information element by which the originator of a short message (either an SC or an MS) may refer
`to a higher layer protocol.
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`ETSI TS 123 040 V3.5.0 (2000-07)
`
`reply path procedure: A mechanism which allows an SME to request that an SC should be permitted to handle a reply
`sent'in response to a message previously sent from that SME to another SME. This may happen even though the SC
`may be unknown to the SME which received the initial message.
`
`report: Response from either the network or the recipient upon a short message being sent from either an SC or an MS.
`A report may be a delivery report, which confirms the delivery of the short message to the recipient, or it may be a
`failure report, which informs the originator that the short message was never delivered and the reason why.
`
`When issued by the Service Centre, the delivery report confirms the reception of the Short Message by the SC,
`and not the delivery of the Short Message to the SME.
`
`When issued by the Mobile Station, the delivery report confirms the reception of the Short Message by the
`Mobile Station, and not the delivery of the Short Message to the user.
`
`replace short message type: A range of values in the Protocol Identifier which allows an indication to be sent with a
`short message (MT or MO) that the short message is of a particular type allowing the receiving MS or the SC to replace
`an existing message of the same type held in the SC, the ME or on the SIM / UICC, provided it comes:
`
`in MT cases: from the same SC and originating address;
`
`in MO cases: from the same MS.
`
`Service Centre (SC): Function responsible for the relaying and store-and-forwarding of a short message between an
`SME and an MS. The SC is not a part of the GSM/UMTS PLMN, however MSC and SC may be integrated.
`
`Serving GPRS Support Node (SGSN): The Serving GPRS Support Node is an exchange which performs packet
`switching functions for mobile stations located in a geographical area designated as the SGSN area.
`
`short message: Information that may be conveyed by means of the Short Message Seryice described in the present
`document.
`
`Short Message Entity (SME): An entity which may send or receive Short Messages. The SME may be located in a
`fixed network, an MS, or an SC.
`
`SMS-STATUS-REPORT: Short message transfer protocol data unit informing the receiving MS of the status of a
`mobile originated short message previously submitted by the MS, i.e. whether the SC was able to forward the message
`or not, or whether the message was stored in the SC for later delivery.
`
`SMS-COMMAND: Short message transfer protocol data unit which enables an MS to invoke an operation at the SC.
`An MS may then, for example, delete a short message, cancel a TP-Status-Report-Request, enquire about the status of a
`short message or request another function to be performed by the SC.
`
`The type of operation is indicated by the TP-Command-Type and the particular SM to operate on is indicated by the
`TP-Message-Number and the TP-Destination-Address. Receipt of an SMS-COMMAND is confirmed by an RP-ACK
`or RP-ERROR. In the case of certain SMS-COMMANDs, an SMS-STATUS-REPORT may be sent, where the
`outcome of the SMS-COMMAND is passed in its TP-Status field.
`
`SMS-DELIVER: Short message transfer protocol data unit containing user data (the short message), being sent from
`an SC to an MS.
`
`SMS-SUBMIT: Short message transfer protocol data unit containing user data (the short message), being sent from an
`MS to an SC.
`
`Service-Centre-Time-Stamp (SCTS): Information element offering the recipient of a short message the information of
`when the message arrived at the SM-TL entity of the SC. The time of arrival comprises the year, month, day, hour,
`minute, second and time zone.
`
`Validity-Period (VP): Information element enabling the originator MS to indicate the time period during which the
`originator considers the short message to be valid.
`
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`3G TS 23.040 version 3.5.0 Release 1999
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`ETSI TS 123 040 V3.5.0 (2000-07)
`
`2.1.2
`
`Abbreviations
`
`For the purposes of the present document, the following abbreviations apply
`
`ACSE
`E.163
`E.164
`SM MT
`SM MO
`SM-AL
`SM-TL
`SM-RL
`SM-LL
`SM-TP
`SM-RP
`SM-TS
`SM-RS
`T.100
`T.101
`TPDU
`X.121
`X.400
`
`Association Control Service Element
`CCITT Rec. E.163 (Blue Book)
`CCITT Rec. E.164 (Blue Book)
`Short Message Mobile Terminated
`Short Message Mobile Originated
`Short Message Application Layer
`Short Message Transfer Layer
`Short Message Relay Layer
`Short Message Lower Layers
`Short Message Transfer Layer Protocol
`Short Message Relay Layer Protocol
`Short Message Transfer Service
`Short Message Relay Service
`CCITT Rec. T.100 (Blue Book)
`CCITT Rec. T.101 (Blue Book)
`Transfer protocol data unit
`CCITT Rec. X.121 (Blue Book)
`CCITT Rec. X.400 (Blue Book)
`
`In addition to those above, definitions used in the present document are listed in GSM TR 01.04 [1] / 3G TR 21.905
`[29].
`
`Services and service elements
`3
`The SMS provides a means to transfer short messages between a GSM/UMTS MS and an SME via an SC. The