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Issue 01

Date 2011-09-30

HUAWEI TECHNOLOGIES CO., LTD.

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Copyright Huawei Technologies Co., Ltd. 2011. All rights reserved.

No part of this document may be reproduced or transmitted in any form or by any means without prior

written consent of Huawei Technologies Co., Ltd.

Trademarks and Permissions

and other Huawei trademarks are trademarks of Huawei Technologies Co., Ltd.

All other trademarks and trade names mentioned in this document are the property of their respective

holders.

Notice

The purchased products, services and features are stipulated by the contract made between Huawei and

the customer. All or part of the products, services and features described in this document may not be

within the purchase scope or the usage scope. Unless otherwise specified in the contract, all statements,

information, and recommendations in this document are provided "AS IS" without warranties, guaranteesor representations of any kind, either express or implied.

The information in this document is subject to change without notice. Every effort has been made in the

preparation of this document to ensure accuracy of the contents, but all statements, information, and

recommendations in this document do not constitute a warranty of any kind, express or implied.

Huawei Technologies Co., Ltd.

Address: Huawei Industrial Base

Bantian, Longgang

Shenzhen 518129

People's Republic of China

Website: http://www.huawei.com

Email: [email protected]

Issue 01 (2011-09-30) Huawei Proprietary and Confidential

Copyright Huawei Technologies Co.,

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RRC About This Document

About This Document

Change HistoryThe change history describes the changes in each release, and the latest document contains all

change histories in earlier documents.

Issue 01 (2011-09-30)

First official release.



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RRC Contents

Contents

About This Document.......................................................................ii

1 Overview......................................................................................1

1.1 About This Document...............................................................................................................................................1

1.2 Architecture..............................................................................................................................................................11.2.1 UE Status and Status Transition (Both Intra- and Inter-RAT)............................................................................1

1.2.2 Signaling Radio Bearer.......................................................................................................................................3

1.3 Services.....................................................................................................................................................................4

1.3.1 Services Provided to Upper Layers....................................................................................................................4

1.3.2 Services Expected from Lower Layers...............................................................................................................4

1.4 Functions..................................................................................................................................................................4

2 RRC Procedures............................................................................6

2.1 System Information..................................................................................................................................................6

2.1.1 Introduction........................................................................................................................................................6

2.1.2 Obtaining System Information...........................................................................................................................9

2.2 RRC Connection Control........................................................................................................................................12

2.2.1 Introduction......................................................................................................................................................12

2.2.2 Paging...............................................................................................................................................................15

2.2.3 RRC Connection Establishment.......................................................................................................................17

2.2.4 Initial Security Activation.................................................................................................................................21

2.2.5 RRC Connection Reconfiguration....................................................................................................................22

2.2.6 RRC Connection Reestablishment...................................................................................................................24

2.2.7 RRC Connection Release.................................................................................................................................252.2.8 Radio Resource Configuration.........................................................................................................................25

2.3 Measurements.........................................................................................................................................................26

2.3.1 Introduction......................................................................................................................................................26

2.3.2 Measurement Configuration.............................................................................................................................27

2.3.3 Triggering a Measurement Reporting Event....................................................................................................27

2.3.4 Measurement Result Reporting........................................................................................................................28

2.4 Others......................................................................................................................................................................28

2.4.1 Downlink Information Transfer........................................................................................................................28

2.4.2 Uplink Information Transfer.............................................................................................................................29

2.4.3 Transferring UE Capability Information................................................................................................ ......... .30



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2.4.4 Transferring CSFB to CDMA2000 1XRTT Parameters...................................................................................31

2.4.5 UE Information.................................................................................................................................................32



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RRC 2 RRC Procedures

1 Overview1.1 About This Document

This document describes the following aspects about radio resource control (RRC):

RRC protocol model

Services provided by the RRC to upper layers and services provided by lower layers tothe RRC

RRC functions

RRC procedure, including the user equipment (UE) status transmission

1.2 Architecture

1.2.1 UE Status and Status Transition (Both Intra-and Inter-RAT)

A UE is in RRC_CONNECTED mode when an RRC connection has been established. If an

RRC connection has not been established, the UE is in RRC_IDLE mode. The RRC status canbe further characterized as follows:

RRC_IDLE

A UE specific discontinuous reception (DRX) may be configured by upper layers.

UE controlled mobility

The UE:

Monitors a paging channel to detect incoming calls, system information changes, andEarthquake and Tsunami Warning System (ETWS) notifications (for ETWS-

supported UEs only).

Performs neighboring cell measurements and cell selection and reselection.

Obtains system information.

RRC_CONNECTED Transfer unicast data to or from UE.



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A UE may be configured with a UE specific DRX at lower layers.

The mobility is controlled on the network side, which means the network sends the orderfor a handover or a network assisted cell change (NACC) to GSM/EDGE radio access

network (GERAN).

The UE: Monitors a paging channel or contents of system information block (SIB) type 1 to

detect system information changes and ETWS notifications (for ETWS-supportedUEs only).

Monitors control channels associated with the shared data channel to determinewhether data must be scheduled for it.

Provides channel quality and feedback information.

Performs neighboring cell measurements and reports measurement results.

Obtains system information.

Figure 1.1 shows RRC states in evolved universal terrestrial radio access (E-UTRA) and

illustrates the mobility support between evolved universal terrestrial radio access network (E-UTRAN), universal terrestrial radio access network (UTRAN), and GERAN.

Figure 1.1 RRC states in E-UTRA and inter-RAT mobility procedures

Handover

CELL_PCH

URA_PCH

CELL_DCH

UTRA_Idle

E-UTRARRC_CONNECTED

E-UTRA RRC_IDLE GSM_Idle/GPRSPacket_Idle

GPRS Packettransfer mode

GSM_Connected

Handover

Reselection Reselection

Reselection

Connectionestablishment/release



CCO,Reselection

CCO withoptionalNACC

CELL_FACH

CCO, Reselection

Figure 1.2 shows the mobility support between E-UTRAN, CDMA2000 1xRTT, and

CDMA2000 HRPD. The details of the CDMA2000 status models are out of the scope of this

specification. RTT is short for radio transmission technology, and HRPD is short for high rate

packet data.



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Figure 1.2 Mobility procedures between E-UTRA and CDMA2000

Handover1xRTT CS Active

1xRTT Dormant

E-UTRARRC_CONNECTED

E-UTRA RRC_IDLE HRPD Idle

Handover

Reselection Reselection


HRPD DormantHRPD Active

The inter-RAT handover procedure supports signaling, conversational services, non-

conversational services and combinations of them. The mobility procedure between the E-UTRA and a non-3GPP RAT (with the CDMA2000 excluded) requires further discussion.

In addition to the state transitions shown in Figure 1.1 and Figure 1.2, connection release withredirection information from E-UTRA RRC_CONNECTED to GERAN, UTRAN and

CDMA2000 (HRPD Idle or 1xRTT Dormant mode).

1.2.2 Signaling Radio Bearer

A signaling radio bearer (SRB) is defined as a radio bearer (RB) that is used only for the

transmission of RRC and non-access stratum (NAS) messages. Specifically, the followingthree SRBs are defined:

SRB0 is used for transmitting RRC messages using the common control channel(CCCH).

SRB1 is used for transmitting RRC messages (which may include piggybacked NAS

messages) and NAS messages, both using the dedicated control channel (DCCH).

SRB2 is used for transmitting NAS messages using the DCCH logical channel. SRB2

has a lower-priority than SRB1 and is always configured by E-UTRAN after security

activation.

In the downlink, NAS message piggybacking is used only for a dependent procedure, for

example, bearer establishment, modification, or release. A dependent procedure is with jointsuccess or failure. In the uplink, NAS message piggybacking is used only for transferring the

initial NAS message during connection setup.

Note: RRC messages include the NAS messages transferred on SRB2, but not include anyRRC protocol control information.

Once security is activated, all RRC messages on SRB1 and SRB2, including those containingNAS or non-3GPP messages, are integrity-protected by the Packet Data Convergence

Protocol (PDCP) and encrypted by the PDCP. NAS independently applies integrity protection

and encryption to NAS messages.



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1.3 Services

1.3.1 Services Provided to Upper Layers

The RRC protocol offers the following services to upper layers:

Broadcast of common control information

Notifications to UEs in RRC_IDLE mode, such as a notification about a terminating callfrom ETWS

Transfer of dedicated control information, such as information for a specific UE

1.3.2 Services Expected from Lower Layers

In brief, the following are the main services that RRC expects from lower layers:

Integrity protection and encryption on the PDCP layer

Reliable and in-sequence transfer of information on the Radio Link Control (RLC) layer,without introducing duplicates and with support for segmentation and concatenation

Details about the services provided by the PDCP layer (for example, integrity protection and

encryption) are provided in TS 36.323. The services provided by the RLC layer (for example,the RLC modes) are specified in TS 36.322 [7]. Further details about the services provided by

Medium Access Control layer (for example, the logical channels) are provided in TS 36.321.

The services provided by physical layer (for example, the transmission channels) are specifiedin TS 36.302.

1.4 FunctionsThe RRC protocol provides the following functions:

Broadcast of System Information NAS common information

Information applicable to UEs in RRC_IDLE mode, for example, cell selection andreselection parameters, neighboring cell information

Information applicable to UEs in RRC_CONNECTED mode, for example, common

channel configuration information.

ETWS notification

RRC Connection Control Paging

RRC connection establishment, modification, or release, including UE identity (C-RNTI)

assignment or modification, SRB1 and SRB2 establishment, modification or release, and

access class barring.

Initial security activation, for example, initial configuration of AS integrity protection(SRBs) and AS encryption (SRBs and DRBs)

RRC connection mobility, including intra- and inter-frequency handover, associated

security handling, key or algorithm changes, and specification of RRC context

information transferred between network nodes



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Data radio bearer (DRB) establishment, modification, and release

Radio configuration control, including assignment and modification of ARQconfiguration, HARQ configuration, and DRX configuration

QoS control, including assignment and modification of the following items:

Semi-persistent scheduling (SPS) configuration information for downlink and uplink

Uplink rate control parameters in the UE, which is allocation of a priority and a

prioritized bit rate (PBR) for each RB

Recovery from radio link failures

Inter-RAT mobility, including security activation and transfer of RRC context

information

Measurement configuration and result reporting

Measurement establishment, modification, and release, including intra-frequency,

inter-frequency, and inter-RAT measurements

Measurement gap establishment and release

Measurement result reporting

Other functions, including transfer of dedicated NAS information and non-3GPPdedicated information, transfer of UE radio access capability information, and support

for E-UTRAN sharing (multiple PLMN identities)

Generic protocol error handling

Support of self-configuration and self-optimization



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2 RRC Procedures2.1 System Information

2.1.1 Introduction

Overview

System information is divided into a master information block (MIB) and many SIBs. The

MIB includes a limited number of most essential and most frequently used transmissionparameters that are needed for obtaining other system information. The MIB is transmitted on

the broadcast channel (BCH). SIBs other than SystemInformationBlockType1 are carried in

system information (SI) messages. Mappings of SIBs to SI messages can be configured

flexibly by schedulingInfoList included in SystemInformationBlockType1 with followingrestrictions:

Each SIB is contained only in one SI message.

Only SIBs having the same scheduling requirements (periodicity) can be mapped to thesame SI message.

SystemInformationBlockType2 is always mapped to the SI message that corresponds to

the first entry in the list of SI messages in schedulingInfoList.

Multiple SI messages with the same periodicity may be transmitted simultaneously.SystemInformationBlockType1 and all SI messages are transmitted on the downlink shared

channel (DL-SCH).

Scheduling

The MIB uses a fixed schedule with a periodicity of 40 ms within which retransmission is

performed. The first transmission of the MIB is scheduled in subframe 0 of radio frames with

the SFN mod 4 equals 0, and retransmissions are scheduled in subframe 0 of all the otherradio frames.

SystemInformationBlockType1 uses a fixed schedule with a periodicity of 40 ms within whichretransmission is performed. The first transmission ofSystemInformationBlockType1 is

scheduled in subframe 5 of radio frames with the SFN mod 8 equals 0, and retransmission is

scheduled in subframe 5 of radio frames with the SFN mod 2 equals 0.

The SI messages are transmitted within periodical time-domain windows in dynamic



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scheduling mode. Each SI message is associated with a SI-window and the SI-windows fordifferent SI messages do not overlap. That is, only the associated SI is transmitted within one

SI-window. The length of the SI-window is common for all SI messages, and is configurable.

Within the SI-window, the associated SI message can be transmitted many times in anysubframe other than the MBSFN subframes, uplink subframes in TDD, and subframe 5 of

radio frames with the SFN mod 2 equals 0. The UE obtains detailed time-domain schedulinginformation (other information, for example, frequency-domain scheduling and the transport

format being used) from decoded system information radio network temporary identifier (SI-RNTI) on physical downlink control channel (PDCCH). For details, see TS 36.321.

Only one SI-RNTI is used to handle SystemInformationBlockType1 as well as all SI messages.

SystemInformationBlockType1 is used to configure the SI-window length and the transmission

periodicity for the SI messages.

System Information Validity and Notification of Changes

Change of system information (not include ETWS information) only occurs at specific radio

frames, which means the concept of a modification period is introduced. System information

with the same content may be transmitted many times within a modification period which isdefined by its scheduling. The modification period boundaries are defined by the system

frame number (SFN) for which the SFN mod m equals 0. m is the number of radio frames

comprising the modification period. The modification periodis configured by systeminformation.

If (some of the) system information changes on the network side, the UEs are the first one to

be informed about this change within a modification period. In the next modification period,the network transmits the updated system information. These general principles are illustrated

in Figure 1.1, in which different colors indicate different system information. Upon receiving

a change notification, the UE obtains the new system information during next modification

period. The old system information is valid to the UE until the UE obtains new systeminformation.

Figure 1.1 Procedure of a system information change

DOCUMENTTYPE 1 (1)

TypeUnitOrDepartmentHereTypeYourNameHere TypeDateHere

BCCH modification period (n)

Change notification Updated information

BCCH modification period (n+1)

Paging messages are used to inform UEs in RRC_IDLE mode and UEs in

RRC_CONNECTED mode about system information changes. If the UE receives a Paging

message including systemInfoModification, the system information changes in the next

modification period. UEs are only informed about system information changes without furtherdetails, such as which part of system information changes.

SystemInformationBlockType1 includes a value tagsystemInfoValueTag, which indicateswhether an SI message changes. UEs may use systemInfoValueTag, for example, to check

whether the previously stored SI messages are still valid upon return from an uncovered area.

In addition, UEs consider stored system information to be valid for only 3 hours after it is

obtained, unless otherwise specified.

E-UTRAN may not updatesystemInfoValueTagupon changes of some system information,such as ETWS information and regularly changing parameters (CDMA2000 system time).



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Similarly, E-UTRAN may not includesystemInfoModification in a Paging message if somesystem information changes.

The UE checks the validity of stored system information using the following two methods:

Checks systemInfoValueTag inSystemInformationBlockType1 after the modificationperiod.

Find the indication ofsystemInfoModification for at least modificationPeriodCoeff timesduring a modification period if no Paging message is received. If the UE receives no

Paging message during a modification period, it may assume that system information

will not change in the next modification period. If a UE in RRC_CONNECTED mode

receives a Pagingmessage during a modification period, it may deduce from thepresence or absence ofsystemInfoModification whether system information other than

ETWS and CMAS information will change in the next modification period.

ETWS or CMAS-supported UEs in RRC_CONNECTED mode attempt to read paging at least

once every defaultPagingCycle to check whether there is an ETWS notification.

Indication of ETWS Notification

An ETWS primary notification or ETWS secondary notification may occur anytime. A Pagingmessage is used to inform ETWS-supported UEs in RRC_IDLE mode and UEs in

RRC_CONNECTED mode about an ETWS primary notification or ETWS secondary

notification. If the UE receives a Paging message including etws-Indication, it starts to receivean ETWS primary notification or ETWS secondary notification based onschedulingInfoList

contained in SystemInformationBlockType1 .

An ETWS primary notification is contained in SystemInformationBlockType10 and an ETWSsecondary notification is contained in SystemInformationBlockType11 . A secondary

notification can be transmitted in segments. The segmentation for the transmission of a

specific secondary notification is fixed in a cell. For example, the segment of the same sizemust have the same messageIdentifier,serialNumberand warningMessageSegmentNumber.

An ETWS secondary notification corresponds to a single CB_DATA information element (IE)

as defined in TS 23.041.

Indication of CMAS Notification

CMAS notification may occur at any time. The Paging message is used to inform CMAS-

supported UEs in RRC_IDLE mode and UEs in RRC_CONNECTED mode about one or

more CMAS notifications. If the UE receives a Paging message including a cmas-Indication,it starts to receive a CMAS notifications based on the schedulingInfoList contained in

SystemInformationBlockType1 .

A CMAS notification is contained in SystemInformationBlockType12 . A CMAS notification

can be transmitted in segments. The segmentation for the transmission of a specific CMAS

notification is fixed in a cell. For example, the segment of the same size must have the samemessageIdentifier,serialNumberand warningMessageSegmentNumber. Transmission of

CMAS notifications does not interleave with each other in E-UTRAN, that is, each segment

of a specific CMAS notification is transmitted prior to those of another CMAS notification. A

CMAS notification corresponds to a single CB_DATA IE as defined in TS 23.041.



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2.1.2 Obtaining System Information.

Overview

Figure 1.1Normal procedure for obtaining system information

E-UTRAN

MasterInformationBlock

UE

SystemInformationBlockType1

SystemInformation

In the system information obtaining procedure, the UE obtains the AS- and NAS-systeminformation that is broadcasted by the E-UTRAN. The procedure applies to UEs in

RRC_IDLE mode or RRC_CONNECTED mode.

Initiation

A UE uses the system information obtaining procedure in the following scenarios:

Cell selection after the UE is powered on

Cell reselection Completion of an inter-RAT handover to E-UTRA

Returning from an uncovered area

Receiving an indication about system information change

Receiving an indication about an ETWS notification

Receiving an indication about a CMAS notification

Exceeding the maximum validity duration

Unless otherwise specified in the procedure specifications, the system information obtainingprocedure applies to any stored system information, which means delta configuration does not

apply to system information and the UE stops using blank fields in system information unless

otherwise specified.

System Information Required by a UE

The UE will:

1> ensure a valid version of at least the following system information, which is also referred to as

the required system information:

2> if in RRC_IDLE mode:

3> theMasterInformationBlockand SystemInformationBlockType1 as well as

SystemInformationBlockType2 through SystemInformationBlockType8 , depending on support

of the concerned RATs;



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2> if in RRC_CONNECTED mode:

3> theMasterInformationBlock, SystemInformationBlockType1 and

SystemInformationBlockType2 as well as SystemInformationBlockType8 , depending on

support of CDMA2000;

1> Delete any stored system information after 3 hours from the moment it is confirmed to be

valid, unless otherwise specified. For details, see "System Information Validity andNotification of Changes."

1> Consider any stored system information except SystemInformationBlockType10,

SystemInformationBlockType11 and systemInformationBlockType12 to be invalid if

systemInfoValueTagin the SystemInformationBlockType1 is different from that in storedsystem information.

System Information Obtained by the UEs

A UE will:

1> Use the specified broadcast control channel (BCCH) configuration.

1> If the procedure is triggered by a system information change notification,

2> the UE starts obtaining the required system information from the beginning of the

modification period following the one in which the change notification was received;

1> If the UE is in RRC_IDLE mode and enters a cell for which the UE has not stored a validversion of the system information required in RRC_IDLE mode:

2> obtain the system information required in RRC_IDLE mode using the procedure for obtaining

the system information;

1> after a successful handover for which the UE has not stored a valid version of the system

information required in RRC_CONNECTED mode:

2> use the procedure for obtaining system information to obtain the system information requiredin RRC_CONNECTED mode;

2> upon obtaining the concerned system information:

3> discard the related radio resource configuration information contained in

radioResourceConfigCommon IE if it has been stored previously;

1> following a request from CDMA2000 upper layers:

2> obtain SystemInformationBlockType8 ;

1> initiate neither the RRC connection establishment procedure nor transmission of the

RRCConnectionReestablishmentRequestmessage before it obtains the

MasterInformationBlock, the SystemInformationBlockType1 message, and a valid version of

SystemInformationBlockType2 ;

1> if the UE supports ETWS:

2> upon entering a cell during RRC_IDLE mode, following successful handover or upon

connection re-establishment:

3> discard any previously buffered warningMessageSegment;

3> clear, if any, the current values ofmessageIdentifierandserialNumberfor



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SystemInformationBlockType11 ;

2> when the UE obtains SystemInformationBlockType1 following ETWS indication, upon

entering a cell during RRC_IDLE mode, following successful handover or upon connection

re-establishment:

3> if theschedulingInfoListindicates that SystemInformationBlockType10 is present:

4> start obtaining SystemInformationBlockType10 immediately;


4> start obtaining SystemInformationBlockType11 immediately;

1> if the UE supports CMAS:

2> upon entering a cell during RRC_IDLE mode, following successful handover or upon

connection re-establishment:

3> discard any previously buffered warningMessageSegment;

3> clear, if any, stored values ofmessageIdentifierandserialNumberfor

SystemInformationBlockType12 associated with the discarded warningMessageSegment;

2> when the UE obtains SystemInformationBlockType1 following CMAS indication, uponentering a cell during RRC_IDLE, following successful handover or upon connection re-

establishment:



1> if the UE is interested to receive Multimedia Broadcast Multicast Service (MBMS) services;

and

1> if theschedulingInfoListindicates that SystemInformationBlockType13 is present and the UEhas not stored a valid version of this system information block:

2> acquire SystemInformationBlockType13 ;

The UE may apply the received SIBs immediately, which means the UE does not need to delay using a

SIB until all SI messages are received. The UE may delay applying the received SIBs until completinglower layer procedures associated with a received or a UE originated RRC message, for example, an

ongoing random access procedure.

Essential System Information Missing

The UE will:

1> if in RRC_IDLE or RRC_CONNECTED mode while T311 is running:

2> if the UE is unable to obtain theMasterInformationBlockor the

SystemInformationBlockType1 :

3> consider the cell as barred in accordance with TS 36.304 and;

3> perform barring as ifintraFreqReselection is set to allowed,and as if the csg-Indication is set

toFALSE;

2> else if the UE is unable to obtain the SystemInformationBlockType2 :



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3> treat the cell as barred in accordance with TS 36.304 [4];

Reception of the MasterInformationBlockMessage

Upon receiving theMasterInformationBlockmessage, the UE will:

1> apply the radio resource configuration included in thephich-Config;

1> if the UE is in RRC_IDLE or RRC_CONNECTED mode while T311 is running:

2> if the UE has no valid system information stored for the concerned cell:

3> apply the received value ofdl-Bandwidth to the ul-Bandwidth until

SystemInformationBlockType2 is received;

Reception of the SystemInformationBlockType1 Message

Upon receiving the SystemInformationBlockType1 message, the UE will:

1> if the frequency band indicated in thefreqBandIndicatoris not part of the frequency bandssupported by the UE:

2> consider the cell as barred in accordance with TS 36.304 and;

2> perform barring as ifintraFreqReselection is set to notAllowed,and as if the csg-Indication is

set toFALSE;

1> else:

2> forward the cellIdentity to upper layers;

2> forward the trackingAreaCode to upper layers;

Reception of the SystemInformationMessage

UE requirements do not relate to the application aspects about the SystemInformation

message, but relate to some specified aspects, such as the procedure using the concerned

system information, or the corresponding field descriptions.

2.2 RRC Connection Control

2.2.1 IntroductionRRC Connection Control

RRC connection establishment involves establishing an SRB1. E-UTRAN completes RRC

connection establishment before establishing the S1 connection, that is, before receiving the

UE context information from the EPC. As a result, AS security is not activated during theinitial phase of the RRC connection. During this initial phase of the RRC connection, the E-

UTRAN instructs the UE to report measurement results. However, UEs accept only handover

messages when security is activated.

Upon receiving the UE context from the EPC, E-UTRAN activates security (both encryption

and integrity protection) using the initial security activation procedure. RRC messages to

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started only after the procedure completes. That is, the response to the message used toactivate security is not encrypted, but the following messages, such as the messages used to

establish SRB2 and DRBs, are both integrity-protected and encrypted.

After having started the initial security activation procedure, E-UTRAN initiates the

establishment of SRB2 and DRBs, that is, E-UTRAN may do this before receiving theconfirmation of the initial security activation from the UE. In any cases, E-UTRAN providesboth encryption and integrity protection for the RRC connection reconfiguration messages

used to establish SRB2 and DRBs. E-UTRAN releases the RRC connection if the initial

security activation or the radio bearer establishment fails, for example, security activation and

DRB establishment are triggered by a joint S1-procedure that does not support partial success.

SRB2 and DRBs security is activated from the start, which means that E-UTRAN does not

establish these bearers before activating security.

RRC connection release is initiated by E-UTRAN. This procedure may be used to redirect the

UE to an inter- or intra-RAT frequency. A UE aborts the RRC connection and change toRRC_IDLE mode without notifying E-UTRAN only in unusual situations.

Security

AS security consists of the integrity protection of RRC signaling and the encryption of the

RRC signaling and user data.

RRC configures security parameters which are part of the AS configuration, including the

integrity protection algorithm, the encryption algorithm, and two parameters, namely

keyChangeIndicator and the nextHopChainingCount which are used by the UE to

determine the AS security keys upon handover or connection reestablishment.

The integrity protection algorithm is the same for SRB1 and SRB2. The encryption algorithmis the same for all radio bearers (RBs), for example, SRB1, SRB2, and DRBs. Neither

integrity protection nor encryption is available to SRB0.

RRC integrity and encryption are always activated at the same time, that is, RRC integrity and

encryption are always activated in one message or procedure. However, it is possible to

switch to a null encryption algorithm (eea0).

The null integrity protection algorithm (eia0) is used only for the UE in limited service mode

[32, TS33.401]. If the null integrity protection algorithm is used, the null encryption algorithm

is also used.

Note: Lower layers discard RRC messages for which the integrity check has failed and report

the failure to RRC.

The AS involves three different security keys: KRRCint, KRRCenc, and KUPenc. KRRCint is used for theintegrity protection of RRC signaling, KRRCenc is used for encrypting the RRC signaling, andKUPenc is used for encrypting user data. All three AS keys are derived from the KeNodeB key. The

KeNodeB is based on the KASME key, which is handled by the upper layer.

After connection establishment, new AS keys are derived. During connection establishment,

AS-parameters will not be exchanged to serve as inputs for the derivation of new AS keys.

The serving eNodeB performs the integrity protection and encryption of the RRC messageused for handovers based on the security configuration used before the handover.

The integrity and encryption algorithms can be changed only upon handovers. The four ASkeys (KeNodeB, KRRCint, KRRCenc,and KUPenc) change upon every handover and connection

reestablishment. The keyChangeIndicatoris used for handovers and indicates whether the UE

must use the keys associated with the latest available KASME key. The UE uses the



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nextHopChainingCountparameter for handovers and connection reestablishment whenderiving the new KeNodeB that is used to generate KRRCint, KRRCenc and KUpenc. For details, see TS

33.401 [32]. An intra-cell handover procedure may be used to change the keys when the UE is

in RRC_CONNECTED mode.

For each radio bearer, an independent counter (COUNT, as specified in TS 36.323 [8]) ismaintained for each direction. For each DRB, the COUNT is used as an input for encryption.For each SRB, the COUNT is used as an input for both encryption and integrity protection. A

COUNT value can be used for only once for a specific security key. To limit signaling

overhead, the individual message or packet includes a short sequence number PDCP SN

which is specified in TS 36.323 [8]. In addition, an overflow counter mechanism is used,which is the hyper frame number: TX_HFN and RX_HFN, as specified in TS 36.323 [8]. The

HFN needs to be synchronized between the UE and the eNodeB. The eNodeB is responsible

for preventing reuse the COUNT with the same RB identity and KeNodeB. Such reuse may becaused by the transmission of a large volume of data that leads to the release and

establishment of new RBs. To avoid such reuse, the eNodeB may use different RB identities

for successively established RBs, and trigger an intra-cell handover or a transition from

RRC_CONNECTED mode to RRC_IDLE mode and then back to RRC_CONNECTED modeagain.

For each SRB, the value provided by RRC to the lower layer to derive the 5-bit BEARERparameter used as input for encryption and integrity protection is the value of the

correspondingsrb-Identity with the MSBs padded with zeros.

Mobility in RRC_CONNECTED mode

In RRC_CONNECTED mode, the network controls UE mobility. For example, if the UE isentering to a cell with different frequency or an inter-RAT cell, the network decides the time

for the entry and the target cell that the UE must enter. For network controlled mobility in

RRC_CONNECTED mode, only the handover procedure needs to be defined. The network

triggers the handover procedure based on radio conditions and load. To facilitate this, thenetwork may instruct the UE to report the measurement result which may include the

configuration of measurement gaps. The network may also initiate a blind handover without

receiving measurement reports from the UE.

Before sending a handover message to the UE, the source eNodeB prepares one or more

target cells. The target source eNodeB generates the message for performing a handover. Themessage includes the AS configuration information used in the target cell. The source eNodeB

forwards the handover message or information received from the target eNodeB to the UE

without altering the content and values. Then, the source eNodeB forwards the data to all or

part of the DRBs at an appropriate time.

After receiving the handover message, the UE attempts to access the target cell at the first

available random access channel (RACH). For details about random access resource selection,see TS 36.321 [6]. The handover is asynchronous. As a result, the target cell allocates a

dedicated preamble for the random access, and E-UTRA ensures that the preamble is

available from the first available RACH for the UE. After the handover is successfully

performed, the UE sends a message confirming the handover.

If the target eNodeB does not support the release of RRC protocol which the source eNodeB

used to configure the UE, the target eNodeB may not comprehend the UE configurationprovided by the source eNodeB. In this case, the target eNodeB must use the full

configuration operation to reconfigure the UE for a handover and connection reestablishment.

The full configuration operation includes radio configuration initialization, which makes theprocedure independent from the configuration used in the source cell, with the exception that

security algorithms being used continuously before the RRC reestablishment.



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After the handover is successfully performed, PDCP SDUs may be retransmitted in the targetcell. This applies only to DRBs using RLC-AM mode and for handovers without using the

full configuration operation. For more details, see TS 36.323 [8]. After the handover is

successfully performed without using the full configuration operation, the SN and HFN arereset, except for the DRBs using RLC-AM mode. For reconfigurations using the full

configuration operation, the PDCP entities are reestablished (the SN and HFN no longer used)for all DRBs regardless of the RLC mode. For more details, see TS 36.323 [8].

UE behaviors for handover are specified, regardless of the handover procedures within the

network, for example, whether the handover includes X2 or S1 signaling procedures.

The source eNodeB maintains the context for a period of time to enable the UE to return to it

in case of a handover failure. After detecting a handover failure, the UE attempts to resume an

RRC connection either to the source cell or to the target cell using the RRC reestablishmentprocedure. The connection can be resumed only when the cell to be accessed is prepared, that

is, a handover is prepared in the eNodeB of the source cell or target cell.

Common measurement and mobility procedures are used to support handover to a cell that

broadcasting a closed subscriber group (CSG) identity. In addition, E-UTRAN may instructthe UE to report that it is entering a cell or leaving the nearby cell included in the CSG white

list. Furthermore, E-UTRAN may request the UE to provide additional information broadcastby the candidate target cell, for example, the cell global identity, CSG identity, or CSG

membership status.

Note: In addition, E-UTRAN may use the proximity report to configure measurements to

decide whether to request additional information broadcast by the candidate target cell. The

additional information is used to verify whether the UE is authorized to access the target cell,

and to identify the candidate target cell. PCI collision refers to the situation where thephysical layer identity that is included in the measurement report does not identify the cell

uniquely.

2.2.2 Paging

Overview

Figure 1.1 Paging procedure

Paging

UE EUTRAN

This procedure is used to perform the following actions:

Send thePagingmessage to the UE in RRC_IDLE mode.

Inform UEs in RRC_IDLE and RRC_CONNECTED modes about system information

change.

Inform UEs about an ETWS primary notification or a secondary notification.

Inform UEs about a CMAS notification.

The Paging message is sent to the upper layer for initiating RRC connection establishment,



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for example, receiving an incoming call.

Initiation

E-UTRAN initiates the paging procedure by transmitting thePagingmessage when the UE is

paged. For details, see TS 36.304. E-UTRAN may address multiple UEs with onePagingmessage that contains aPagingRecordfor each UE. E-UTRAN may also indicate a system

information change or provide an ETWS or CMAS notification in thePagingmessage.

Reception of the Paging Message by the UE

Upon receiving thePagingmessage, the UE will:

1> if in RRC_IDLE mode, for each of thePagingRecord, if any, included in thePagingmessage:

2> if the ue-Identity included in thePagingRecordmatches one of the UE identities allocated byupper layers:

3> forward the ue-Identity and the cn-Domain to the upper layers;

1> if thesystemInfoModification is included:

2> obtain the required system information again using the procedure for obtaining system

information.

1> if the etws-Indication is included and the UE supports ETWS:

2> obtain SystemInformationBlockType1 again immediately without waiting until the next system

information modification period boundary;




3> obtain SystemInformationBlockType11;

1> if the cmas-Indication is included and the UE supports CMAS:

2> obtain SystemInformationBlockType1 again immediately without waiting until the next systeminformation modification period boundary;





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2.2.3 RRC Connection Establishment

Overview

Figure 1.1 A successful RRC connection establishment procedure

RRCConnectionSetup

RRCConnectionRequest

UE EUTRAN

RRCConnectionSetupComplete

Figure 1.2 An RRC connection establishment attempt rejected by the network

RRCConnectionReject

RRCConnectionRequest

UE EUTRAN

RRC connection establishment involves SRB1 establishment. The procedure is also used to

transfer the initial NAS dedicated information or message from the UE to the E-UTRAN.

E-UTRAN uses this procedure to establish SRB1 only.

Initiation

The UE initiates the procedure when upper layers request establishment of an RRCconnection while the UE is in RRC_IDLE mode.

Upon the initiation procedure, the UE will:

1> if the UE is establishing the RRC connection for mobile terminating calls:

2> if timer T302 is running:

3> inform upper layers about the failure to establish the RRC connection and that access barring

for mobile terminating calls is applicable, upon which the procedure ends;



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1> else if the UE is establishing the RRC connection for emergency calls:

2> if SystemInformationBlockType2 includes the ac-BarringInfo:

3> if the ac-BarringForEmergency is set to TRUE:

4> if the UE has one or more Access Classes, as stored on the user service identity module(USIM), with a value ranging from 11 to 15, which is valid for the UE to use based on TS

22.011 [10] and TS 23.122 [11]:

ACs 12, 13, 14 are only valid for use in the home country and ACs 11, 15 are only valid for use in the

home public land mobile network (HPLMN) or equivalent home public land mobile network(EHPLMN).

5> if the ac-BarringInfo includes ac-BarringForMO-Data, and for all of these valid Access

Classes for the UE, the corresponding bit in the ac-BarringForSpecialACcontained in ac-BarringForMO-Data is set to one:

6> consider access to the cell as barred;

4> else:

5> consider access to the cell as barred;

2> if access to the cell is barred:

3> inform upper layers about the failure to establish the RRC connection, upon which the

procedure ends;

1> else if the UE is establishing the RRC connection for mobile originating calls:

2> perform access barring check using T303 as "Tbarring" and ac-BarringForMO-Data as "AC

barring parameter";2> if access to the cell is barred:

3> if SystemInformationBlockType2 includes ac-BarringForCSFB or the UE does not support CS

fallback:


for mobile originating calls is applicable, upon which the procedure ends;

3> else (SystemInformationBlockType2 does not include ac-BarringForCSFB and the UEsupports CS fallback):

4> if timer T306 is not running, start T306 with the timer value of T303;


for mobile originating calls and mobile originating CS fallback is applicable, upon which the

procedure ends;

1> else if the UE is establishing the RRC connection for mobile originating signaling:

2> perform access barring check using T305 as "Tbarring" and ac-BarringForMO-Signalingas"AC barring parameter";


3> inform upper layers about the failure to establish the RRC connection and that access barringfor mobile originating signaling is applicable, upon which the procedure ends;

1> else (the UE is establishing the RRC connection for mobile originating CS fallback):



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2> if SystemInformationBlockType2 includes ac-BarringForCSFB:

3> perform access barring check using T306 as "Tbarring" and ac-BarringForCSFB as "AC

barring parameter";



for mobile originating CS fallback is applicable, due to ac-BarringForCSFB, upon which theprocedure ends;

2> else:

3> perform access barring check using T306 as "Tbarring" and ac-BarringForMO-Data as "AC

barring parameter";


4> if timer T303 is not running, start T303 with the timer value of T306;


for mobile originating CS fallback and mobile originating calls is applicable, due to ac-BarringForMO-Data, upon which the procedure ends;

1> apply the default physical channel configuration;

1> apply the default semi-persistent scheduling configuration;

1> apply the default Media Access Control (MAC) main configuration;

1> apply the CCCH configuration;

1> apply the timeAlignmentTimerCommon included in SystemInformationBlockType2 ;

1> start timer T300;

1> initiate transmission of theRRCConnectionRequestmessage;

Upon initiating the connection establishment procedure, the UE is not required to ensure it maintains up

to date system information applicable only for UEs in RRC_IDLE mode. However, the UE needs toobtain system information upon cell re-selection.

Reception of the RRCConnectionSetup Message by the UE

The UE must:

1> perform the radio resource configuration procedure based on the received

radioResourceConfigDedicated;

1> if stored, discard the cell reselection priority information provided by the

idleModeMobilityControlInfoor inherited from another RAT;

1> stop timer T300;

1> stop timer T302, if running;





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1> enter RRC_CONNECTED mode;

1> stop the cell re-selection procedure;

1> set the content ofRRCConnectionSetupComplete message as follows:

2> set theselectedPLMN-Identity to the public land mobile network (PLMN) selected by upper

layers (for details, see TS 23.122 [11], TS 24.301 [35]) from the PLMN included in theplmn-

IdentityListin SystemInformationBlockType1 ;

2> if upper layers provide the Registered mobility management entity (MME), include and setthe registeredMMEas follows:

3> if the PLMN identity of the Registered MME is different from the PLMN selected by the

upper layers:

4> include theplmnIdentity in the registeredMMEand set it to the value of the PLMN identity in

the Registered MME received from upper layers;

3> set the mmegi andthe mmec to the value received from upper layers;

2> set the dedicatedInfoNASto include the information received from upper layers;

1> submit theRRCConnectionSetupComplete message to lower layers for transmission, upon

which the procedure ends;

Reception of the RRCConnectionRejectMessage by the UE

The UE must:

1> stop timer T300;

1> reset MAC and release the MAC configuration;

1> start timer T302, with the timer value set to the waitTime;

1> inform upper layers about the failure to establish the RRC connection and that access barringfor mobile originating calls, mobile originating signaling, and mobile terminating access is

applicable, upon which the procedure ends;

Abortion of RRC Connection Establishment

If upper layers abort the RRC connection establishment procedure while the UE has not yet

entered RRC_CONNECTED mode, the UE must:


1> reset MAC, release the MAC configuration and re-establish RLC for all RBs that are

established;



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2.2.4 Initial Security Activation

Overview

Figure 1.1 Security mode command (successful operation)

SecurityModeComplete

SecurityModeCommand

UE EUTRAN

Figure 1.2 Security mode command (unsuccessful operation)

SecurityModeFailure

SecurityModeCommand

UE EUTRAN

The purpose of this procedure is to activate AS security upon RRC connection establishment.

Initiation

E-UTRAN initiates the security mode command procedure towards a UE in

RRC_CONNECTED mode. Moreover, E-UTRAN uses the procedure when only SRB1 is

established, that is, before establishment of SRB2 or DRBs.

Reception ofSecurityModeCommandMessage by the UE

The UE must:

1> derive the KeNodeB key, as specified in TS 33.401;

1> derive the KRRCint key associated with the integrityProtAlgorithm indicated in the

SecurityModeCommandmessage, as specified in TS 33.401;

1> request lower layers to verify the integrity protection of the SecurityModeCommandmessage,

using the algorithm indicated by the integrityProtAlgorithm as included in theSecurityModeCommandmessage and the KRRCint key;



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1> if the SecurityModeCommandmessage passes the integrity protection check:

2> derive the KRRCenc key and the KUPenc key associated with the cipheringAlgorithm indicated in

the SecurityModeCommandmessage, as specified in TS 33.401;

2> configure lower layers immediately to apply integrity protection using the indicated algorithmand the KRRCint key immediately, that is, integrity protection will be applied to all subsequent

messages received and sent by the UE;

2> configure lower layers to apply encryption using the indicated algorithm, the KRRCenc key and

the KUPenc key after completing the procedure, that is, encryption will be applied to all

subsequent messages received and sent by the UE, except for the SecurityModeComplete

message which is sent without encryption;

2> consider that the AS security must be activated;

2> submit the SecurityModeComplete message to lower layers for transmission, upon which the

procedure ends;

1> else:

2> continue using the configuration used prior to the reception of the SecurityModeCommand

message, that is, neither apply integrity protection nor encryption.

2> submit the SecurityModeFailure message to lower layers for transmission, upon which theprocedure ends;

2.2.5 RRC Connection Reconfiguration

Overview

Figure 1.1 RRC connection reconfiguration (successful operation)

RRCConnectionReconfigurationComplete

RRCConnectionReconfiguration

UE EUTRAN



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Figure 1.2 RRC connection reconfiguration procedure (unsuccessful operation)

RRC connection re-establishment

RRCConnectionReconfiguration

UE EUTRAN

The purpose of this procedure is to modify an RRC connection, for example, to establish,

modify, or release RBs, to perform handover, and to set up, modify, or release measurements.As part of the procedure, NAS dedicated information may be transferred from the E-UTRAN

to the UE.

Initiation

E-UTRAN may initiate the RRC connection reconfiguration procedure to a UE in

RRC_CONNECTED mode. E-UTRAN applies the procedure as follows:

the mobilityControlInfo is included only when AS-security has been activated, and SRB2

with at least one DRB are set up and not suspended;

the establishment of RBs (other than SRB1 which is established during RRC connection

establishment) is included only when AS security has been activated;

Reconfiguration Failure

The UE must:

1> if the UE is unable to comply with (part of) the configuration included in theRRCConnectionReconfiguration message:

2> continue using the configuration used prior to the reception of

RRCConnectionReconfiguration message;

2> if security has not been activated:

3> perform the actions upon leaving RRC_CONNECTED mode, with release cause other;

2> else:

3> initiate the connection re-establishment procedure, upon which the connection reconfigurationprocedure ends;



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2.2.6 RRC Connection Reestablishment

Overview

Figure 1.1 RRC connection reestablishment procedure (successful operation)

RRCConnectionReestablishmentRequest

UE EUTRAN

RRCConnectionReestablishment

RRCConnectionReestablishmentComplete

Figure 1.2 RRC connection reestablishment procedure (unsuccessful operation)

RRCConnectionReestablishmentRequest

UE EUTRAN

RRCConnectionReestablishmentReject

This procedure is used to re-establish the RRC connection, which involves the resumption of

SRB1 operation and security re-activation.

A UE in RRC_CONNECTED mode, for which security has been activated, may initiate the

procedure in order to continue the RRC connection. The connection re-establishment

succeeds only if the concerned cell has a valid UE context. If E-UTRAN accepts the re-establishment, SRB1 operation resumes while the operation of other radio bearers remainssuspended. If AS security has not been activated, the UE moves to RRC_IDLE mode directly

instead of initiates the procedure.

E-UTRAN applies the procedure as follows:

Reconfigure SRB1 and to resume data transfer only for this RB;

Reactivate AS security without changing algorithms.

Initiation

The UE initiates the procedure only when AS security has been activated. The UE initiates the

procedure when one of the following conditions is met:



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The radio link failed.

The handover failed.

The mobility from E-UTRA failed.

The lower layer integrity check failed.

RRC connection reconfiguration failed.

Upon initiation of the procedure, the UE must:

stop timer T310, if running;

start timer T311;

suspend all RBs except SRB0;

reset MAC;

apply the default physical channel configuration.

apply the default semi-persistent scheduling configuration;

apply the default MAC main configuration; release reportProximityConfig and clear any associated proximity status reporting timer;

perform cell selection based on the cell selection process as specified in TS 36.304;

2.2.7 RRC Connection Release

Overview

Figure 1.1 RRC connection release procedure (successful operation)

RRCConnectionRelease

UE EUTRAN

Initiation

E-UTRAN initiates the RRC connection release procedure towards a UE in

RRC_CONNECTED mode.

2.2.8 Radio Resource Configuration

Overview

The radio resource configuration procedure involves the following actions:

SRB addition or modification

DRB release

DRB addition or modification

MAC main reconfiguration

Semi-persistent scheduling reconfiguration



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Physical channel reconfiguration

2.3 Measurements

2.3.1 Introduction

The UE reports measurement information based on the measurement configuration provided

by E-UTRAN. E-UTRAN provides the measurement configuration applicable to a UE in

RRC_CONNECTED mode using dedicated signaling, for example, using theRRCConnectionReconfiguration message.

The UE can be requested to perform the following types of measurements:

Intra-frequency measurements: measurements at the downlink carrier frequency of the

serving cell.

Inter-frequency measurements: measurements at frequencies that differ from any of thedownlink carrier frequency of the serving cell.

Inter-RAT measurements of UTRA frequencies.

Inter-RAT measurements of GERAN frequencies.

Inter-RAT measurements of CDMA2000 HRPD or CDMA2000 1XRTT frequencies.

The measurement configuration includes the following parameters:

Measurement objects: The objects on which the UE must perform the measurements.

For intra-frequency and inter-frequency measurements a measurement object is a

single E-UTRA carrier frequency. Associated with this carrier frequency, E-UTRAN

can configure a list of cell specific offsets and a list of blacklisted cells. Blacklisted

cells are not considered in event evaluation or measurement reporting.

For inter-RAT UTRA measurements a measurement object is a set of cells on a singleUTRA carrier frequency.

For inter-RAT GERAN measurements a measurement object is a set of GERAN

carrier frequencies.

For inter-RAT CDMA2000 measurements a measurement object is a set of cells on a

single (HRPD or 1xRTT) carrier frequency.

Reporting configurations: A list of reporting configurations where each reporting

configuration consists of the following:

Reporting criterion: The criterion that triggers the UE to send a measurement report.

This can either be periodical or a single event description. Reporting format: The quantities that the UE includes in the measurement report and

associated information (for example, number of cells to report).

Measurement identities: A list of measurement identities where each measurement

identity links one measurement object with one reporting configuration. By configuring

multiple measurement identities it is possible to link more than one measurement objectto the same reporting configuration, as well as to link more than one reporting

configuration to the same measurement object. The measurement identity is used as a

reference number in the measurement report.

Quantity configurations: One quantity configuration is configured per RAT type. Thequantity configuration defines the measurement quantities and associated filtering used

for all event evaluation and related reporting of that measurement type. One filter can be

configured per measurement quantity.



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Measurement gaps: Periods that the UE may use to perform measurements, that is, nouplink or downlink transmissions are scheduled.

E-UTRAN only configures a single measurement object for a given frequency, which meansit is not possible to configure two or more measurement objects for the same frequency with

different associated parameters, for example, different offsets and blacklists. E-UTRAN mayconfigure multiple instances of the same event, for example, by configuring two reportingconfigurations with different thresholds.

The UE maintains a single measurement object list, a single reporting configuration list, and a

single measurement identities list. The measurement object list includes measurement objectsthat are specified per RAT type, possibly including intra-frequency object (the object

corresponding to the serving frequency), inter-frequency object and inter-RAT objects.

Similarly, the reporting configuration list includes E-UTRA and inter-RAT reportingconfigurations. Any measurement object can be linked to any reporting configuration of the

same RAT type. Some reporting configurations may not be linked to a measurement object.

Likewise, some measurement objects may not be linked to a reporting configuration.

The measurement procedures distinguish the following types of cells:

The serving cell

Listed cells - these are cells listed within the measurement object.

Detected cells - these are cells that are not listed within the measurement object but aredetected by the UE on the carrier frequency indicated by the measurement object.

For E-UTRA, the UE measures and reports on the serving cell, listed cells and detected cells.For inter-RAT UTRA, the UE measures and reports on listed cells and optionally on cells that

are within a range for which reporting is allowed by E-UTRAN. For inter-RAT GERAN, the

UE measures and reports on detected cells. For inter-RAT CDMA2000, the UE measures and

reports on listed cells.

2.3.2 Measurement Configuration

Overview

The measurement configuration procedure mainly involves the following actions:

Remove the measurement identity

Add or modify the measurement identity

Remove the measurement object

Add or modify the measurement object

Add or modify the measurement reporting configuration Configure the measurement quantity

Configure the measurement gap

2.3.3 Triggering a Measurement Reporting Event

Overview

Measurement reporting events are as follows:

Event A1 (The serving cell condition becomes better than the threshold condition)

Event A2 (The serving cell condition becomes worse than the threshold condition)



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Event A3 (Neighboring cell becomes better than the serving cell)

Event A4 (The neighboring cell condition becomes better than the threshold condition)

Event A5 (The serving cell condition becomes worse than threshold1 condition and theneighboring cell condition becomes better than threshold2 condition)

Event B1 (The inter-RAT neighboring cell condition becomes better than thresholdcondition)

Event B2 (The serving cell condition becomes worse than threshold1 condition and inter-

RAT neighboring cell condition becomes better than threshold2 condition)

2.3.4 Measurement Result Reporting

This procedure is used to transfer measurement results from the UE to the E-UTRAN.

Figure 1.1 Measurement result reporting

2.4 Others

2.4.1 Downlink Information Transfer

Overview

Figure 1.1 Downlink information transfer

DLInformationTransfer

UE EUTRAN

Initiation

E-UTRAN initiates the downlink information transfer procedure whenever there is a need totransfer NAS or non-3GPP dedicated information. E-UTRAN initiates the downlink

information transfer procedure by sending theDLInformationTransfermessage.



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Reception of the DLInformationTransferMessage by the UE

Upon receivingDLInformationTransfermessage, the UE will:

1> if the dedicatedInfoType is set to dedicatedInfoNAS:

2> forward the dedicatedInfoNASto the NAS upper layers.

1> if the dedicatedInfoType is set to dedicatedInfoCDMA2000-1XRTTor to

dedicatedInfoCDMA2000-HRPD:

2> forward the dedicatedInfoCDMA2000 to the CDMA2000 upper layers;

2.4.2 Uplink Information Transfer

Overview

This procedure is used to transfer NAS or (tunneled) non-3GPP dedicated information fromthe UE to the E-UTRAN.

Figure 1.1 Uplink information transfer

ULInformationTransfer

UE EUTRAN

Initiation

A UE in RRC_CONNECTED mode initiates the uplink information transfer procedure

whenever there is a need to transfer NAS or non-3GPP dedicated information, except at RRC

connection establishment in which case the NAS information is piggybacked to the

RRCConnectionSetupComplete message. The UE initiates the uplink information transferprocedure by sending the ULInformationTransfermessage. When CDMA2000 information

has to be transferred, the UE must initiate the procedure only if SRB2 is established.

Actions related to transmission ofULInformationTransfer

message

The UE must set the contents of the ULInformationTransfermessage as follows:

1> if NAS information must be transferred:

2> set the dedicatedInfoType to include the dedicatedInfoNAS;

1> if CDMA2000 1XRTT information must be transferred:

2> set the dedicatedInfoType to include the dedicatedInfoCDMA2000-1XRTT;

1> if CDMA2000 HRPD information must be transferred:

2> set the dedicatedInfoType to include the dedicatedInfoCDMA2000-HRPD;



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1> submit the ULInformationTransfermessage to lower layers for transmission, upon which theprocedure ends;

2.4.3 Transferring UE Capability Information

Overview

Figure 1.1 Transferring UE capability information

UECapabilityInformation

UECapabilityEnquiry

UE EUTRAN

This procedure is used to transfer UE radio access capability information from the UE to E-

UTRAN.

If the UE has changed its E-UTRAN radio access capabilities, the UE will request higher

layers to initiate the necessary NAS procedures (for details, see TS 23.401) that would result

in the update of UE radio access capabilities using a new RRC connection.

Initiation

The E-UTRAN initiates the procedure towards a UE in RRC_CONNECTED mode when its

additional UE radio access capability information is required.

Reception of the UECapabilityEnquiryMessage by the UE

The UE will:

1> set the contents ofUECapabilityInformation message as follows:

2> if the ue-CapabilityRequestincludes eutra:

3> include the UE-EUTRA-Capability within ue-CapabilityRAT-Container and with the rat-Typeset to eutra;

2> if the ue-CapabilityRequestincludesgeran-cs and if the UE supports GERAN CS domain:

3> include the UE radio access capabilities for GERAN CS within ue-CapabilityRAT-Container

and with the rat-Type set togeran-cs;

2> if the ue-CapabilityRequestincludesgeran-ps and if the UE supports GERAN PS domain:

3> include the UE radio access capabilities for GERAN PS within ue-CapabilityRAT-Containerand with the rat-Type set togeran-ps;

2> if the ue-CapabilityRequestincludes utra and if the UE supports UTRA:



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3> include the UE radio access capabilities for UTRA within ue-CapabilityRAT-Container andwith the rat-Type set to utra;

2> if the ue-CapabilityRequestincludes cdma2000-1XRTTand if the UE supports CDMA2000

1xRTT:

3> include the UE radio access capabilities for CDMA2000 within ue-CapabilityRAT-Container

and with the rat-Type set to cdma2000-1XRTT;

1> submit the UECapabilityInformation message to lower layers for transmission, upon which

the procedure ends;

2.4.4 Transferring CSFB to CDMA2000 1XRTTParameters

Overview

Figure 1.1 Transferring CSFB to CDMA2000 1xRTT parameters

CSFBParametersResponseCDMA2000

CSFBParametersRequestCDMA2000

UE EUTRAN

This procedure is used to transfer the CDMA2000 1xRTT parameters required to register the

UE in the CDMA2000 1XRTT network supporting CSFB.

Initiation

A UE in RRC_CONNECTED mode initiates the CSFB to 1x Parameter transfer procedureupon request from the CDMA2000 upper layers. The UE initiates the CSFB to 1x Parameter

transfer procedure by sending the CSFBParametersRequestCDMA2000 message.

Actions Related to Transmission ofCSFBParametersRequestCDMA2000 Message

The UE will submit the CSFBParametersRequestCDMA2000 message to lower layers for

transmission using the current configuration;

Reception of the CSFBParametersResponseCDMA2000 Message

Upon reception of the CSFBParametersResponseCDMA2000 message, the UE will forward

the randand the mobilityParameters to the CDMA2000 1xRTT upper layers;



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2.4.5 UE Information

Overview

Figure 1.1 UE information procedure

UEInformationResponse

UEInformationRequest

UE EUTRAN

The E-UTRAN uses the UE information procedure to request the UE to report information.

Initiation

The E-UTRAN sends the UEInformationRequestmessage to initiate the procedure.

Reception of the UEInformationRequestMessage

When receiving the UEInformationRequestmessage, the UE will:

1> if rach-ReportReq is set to true, set the contents of the rach-Report in the

UEInformationResponse message as follows:

2> set the numberOfPreamblesSentto indicate the number of preambles sent by MAC for the last

successfully completed random access procedure;

2> if contention resolution was not successful for at least one of the transmitted preambles for the

last successfully completed random access procedure:

3> set the contentionDetectedto true;

2> else:

3> set the contentionDetectedtofalse;1> if rlf-ReportReq is set to true and there is radio link failure information available, set the

contents of the rlf-Report in theUEInformationResponse message as follows:

2> set the measResultLastServCell;

2> set the measResultNeighCells to include best neighboring cells, ordered such that the best cell

is listed first, andbased on measurements collected up to the moment the UE detected radiolink failure;

3> if the UE was configured to perform measurements for one or more EUTRA frequencies,

include the measResultListEUTRA and include the corresponding carrierFreq and

measResultList;

3> if the UE was configured to perform measurement reporting for one or more neighboring



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UTRA frequencies, include the measResultListUTRA and include the correspondingcarrierFreq and measResultList;


GERAN frequencies, include the measResultListGERAN;


CDMA2000 frequencies, include the measResultsCDMA2000 and include the correspondingcarrierFreq and measResultList;

The measured quantities are filtered by L3 filter as configured in mobility measurement configuration.

Blacklisted cells do not need to be reported.

1> submit the UEInformationResponse message to lower layers for transmission, upon which the

procedure ends;

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