ETSI TS 136 323 V15.4.0 (2019-07)

ETSI TS 136 323 V15.4.0 (2019-07)






TECHNICAL SPECIFICATION
LTE;
Evolved Universal Terrestrial Radio Access (E-UTRA);
Packet Data Convergence Protocol (PDCP) specification
(3GPP TS 36.323 version 15.4.0 Release 15)

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3GPP TS 36.323 version 15.4.0 Release 15 1 ETSI TS 136 323 V15.4.0 (2019-07)



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3GPP TS 36.323 version 15.4.0 Release 15 2 ETSI TS 136 323 V15.4.0 (2019-07)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI 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 (https://ipr.etsi.org/).
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.
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Legal Notice
This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP).
The present document may refer to technical specifications or reports using their 3GPP identities. These shall be
interpreted as being references to the corresponding ETSI deliverables.
The cross reference between 3GPP and ETSI identities can be found under http://webapp.etsi.org/key/queryform.asp.
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
ETSI

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3GPP TS 36.323 version 15.4.0 Release 15 3 ETSI TS 136 323 V15.4.0 (2019-07)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 6
1 Scope . 7
2 References . 7
3 Definitions and abbreviations . 8
3.1 Definitions . 8
3.2 Abbreviations . 8
4 General . 9
4.1 Introduction . 9
4.2 PDCP architecture . 9
4.2.1 PDCP structure . 9
4.2.2 PDCP entities . 10
4.3 Services . 12
4.3.1 Services provided to upper layers . 12
4.3.2 Services expected from lower layers . 13
4.4 Functions . 13
4.5 Data available for transmission . 13
5 PDCP procedures . 15
5.1 PDCP Data Transfer Procedures . 15
5.1.1 UL Data Transfer Procedures . 15
5.1.2 DL Data Transfer Procedures . 16
5.1.2.1 Procedures for DRBs. 16
5.1.2.1.1 Void . 16
5.1.2.1.2 Procedures for DRBs mapped on RLC AM when the reordering function is not used . 16
5.1.2.1.2a RN procedures for DRBs mapped on RLC AM . 17
5.1.2.1.3 Procedures for DRBs mapped on RLC UM when the reordering function is not used . 17
5.1.2.1.3a RN procedures for DRBs mapped on RLC UM . 18
5.1.2.1.4 Procedures for DRBs mapped on RLC AM or RLC UM, for LWA bearers and SLRB when
the reordering function is used . 18
5.1.2.1.4.1 Procedures when a PDCP PDU is received from the lower layers . 18
5.1.2.1.4.2 Procedures when t-Reordering expires . 20
5.1.2.1.4.3 Procedures when the value of t-Reordering is reconfigured . 20
5.1.2.2 Procedures for SRBs when the PDCP duplication function is not used . 20
5.1.3 SL Data Transmission Procedures . 21
5.1.4 SL Data Reception Procedures . 21
5.2 Re-establishment procedure . 22
5.2.1 UL Data Transfer Procedures . 22
5.2.1.1 Procedures for DRBs mapped on RLC AM . 22
5.2.1.2 Procedures for DRBs mapped on RLC UM . 22
5.2.1.3 Procedures for SRBs . 23
5.2.2 DL Data Transfer Procedures . 23
5.2.2.1 Procedures for DRBs mapped on RLC AM while the reordering function is not used . 23
5.2.2.1a Procedures for DRBs mapped on RLC AM while the reordering function is used . 23
5.2.2.2 Procedures for DRBs mapped on RLC UM when the reordering function is not used . 24
5.2.2.2a Procedures for DRBs mapped on RLC UM when the reordering function is used . 24
5.2.2.3 Procedures for SRBs . 24
5.2.2.4 Procedures for LWA bearers . 24
5.3 PDCP Status Report . 25
5.3.1 Transmit operation . 25
5.3.2 Receive operation . 25
5.4 PDCP discard . 25
ETSI

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3GPP TS 36.323 version 15.4.0 Release 15 4 ETSI TS 136 323 V15.4.0 (2019-07)
5.4a Duplicate PDCP discard . 25
5.5 Header Compression and Decompression . 26
5.5.1 Supported header compression protocols and profiles . 26
5.5.2 Configuration of header compression . 26
5.5.3 Protocol parameters . 27
5.5.4 Header compression . 27
5.5.5 Header decompression . 27
5.5.6 PDCP Control PDU for interspersed ROHC feedback packet . 28
5.5.6.1 Transmit Operation . 28
5.5.6.2 Receive Operation . 28
5.6 Ciphering and Deciphering. 28
5.6.0 General . 28
5.6.1 SL Ciphering and Deciphering for one-to-many communication . 28
5.6.2 SL Ciphering and Deciphering for one-to-one communication . 29
5.6.3 Handling of LWA end-marker PDCP Control PDU . 29
5.6.3.1 Transmit operation . 29
5.6.3.2 Receive Operation . 29
5.7 Integrity Protection and Verification . 30
5.8 Handling of unknown, unforeseen and erroneous protocol data . 30
5.9 PDCP Data Recovery procedure . 30
5.10 Status report for LWA . 31
5.10.1 Transmit operation . 31
5.10.2 LWA status report . 31
5.10.3 Receive operation . 32
5.11 Uplink Data compression and decompression . 32
5.11.1 UDC protocol. 32
5.11.2 Configuration of UDC . 32
5.11.3 UDC header . 32
5.11.4 Uplink data compression . 32
5.11.5 Pre-defined dictionary . 33
5.11.6 UDC buffer reset procedure . 33
5.11.7 UDC checksum error handling . 33
6 Protocol data units, formats and parameters . 33
6.1 Protocol data units . 33
6.1.1 PDCP Data PDU . 33
6.1.2 PDCP Control PDU . 33
6.2 Formats . 34
6.2.1 General . 34
6.2.2 Control plane PDCP Data PDU . 34
6.2.3 User plane PDCP Data PDU with long PDCP SN (12 bits) . 34
6.2.4 User plane PDCP Data PDU with short PDCP SN (7 bits) . 35
6.2.5 PDCP Control PDU for interspersed ROHC feedback packet . 35
6.2.6 PDCP Control PDU for PDCP status report . 36
6.2.7 Void . 37
6.2.8 RN user plane PDCP Data PDU with integrity protection. 37
6.2.9 User plane PDCP Data PDU with extended PDCP SN (15 bits) . 37
6.2.10 User plane PDCP Data PDU for SLRB . 38
6.2.11 User plane PDCP Data PDU with further extended PDCP SN (18 bits) . 39
6.2.12 PDCP Control PDU for LWA status report . 39
6.2.13 PDCP Control PDU for LWA end-marker packet . 41
6.2.14 User plane PDCP Data PDU with long PDCP SN (12 bits) for UDC . 41
6.2.15 User plane PDCP Data PDU with extended PDCP SN (15 bits) for UDC . 42
6.2.16 User plane PDCP Data PDU with further extended PDCP SN (18 bits) for UDC . 42
6.2.17 PDCP Control PDU for UDC feedback packet. 42
6.3 Parameters . 43
6.3.1 General . 43
6.3.2 PDCP SN . 43
6.3.3 Data . 43
6.3.4 MAC-I . 43
6.3.5 COUNT . 43
6.3.6 R . 44
ETSI

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3GPP TS 36.323 version 15.4.0 Release 15 5 ETSI TS 136 323 V15.4.0 (2019-07)
6.3.7 D/C. 44
6.3.8 PDU type . 44
6.3.9 FMS . 44
6.3.10 Bitmap . 44
6.3.11 Interspersed ROHC feedback packet . 45
6.3.12 PGK Index . 45
6.3.13 PTK Identity . 45
6.3.14 SDU Type . 45
6.3.15 K ID . 45
D-sess
6.3.16 NMP. 46
6.3.17 HRW . 46
6.3.18 P . 46
6.3.19 LSN . 46
6.3.21 FU . 46
6.3.22 FR . 47
6.3.23 Checksum . 47
6.3.24 FE. 47
7 Variables, constants and timers . 47
7.1 State variables . 47
7.2 Timers . 48
7.3 Constants . 49
Annex A (informative): An example of UDC Checksum calculation . 50
Annex B (informative): Change history . 51
History . 53

ETSI

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3GPP TS 36.323 version 15.4.0 Release 15 6 ETSI TS 136 323 V15.4.0 (2019-07)
Foreword
rd
This Technical Specification has been produced by the 3 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.
ETSI

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3GPP TS 36.323 version 15.4.0 Release 15 7 ETSI TS 136 323 V15.4.0 (2019-07)
1 Scope
The present document provides the description of the Packet Data Convergence Protocol (PDCP).
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. In the case of a reference to a 3GPP document (including
a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same
Release as the present document.
[1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
[2] 3GPP TS 36.300: "Evolved Universal Terrestrial Radio Access (E-UTRA) and Evolved Universal
Terrestrial Radio Access Network (E-UTRAN); Overall description".
[3] 3GPP TS 36.331: "Evolved Universal Terrestrial Radio Access (E-UTRA) Radio Resource
Control (RRC); Protocol Specification".
[4] 3GPP TS 36.321: "Evolved Universal Terrestrial Radio Access (E-UTRA) Medium Access
Control (MAC) protocol specification".
[5] 3GPP TS 36.322: "Evolved Universal Terrestrial Radio Access (E-UTRA) Radio Link Control
(RLC) protocol specification".
[6] 3GPP TS 33.401: "3GPP System Architecture Evolution: Security Architecture".
[7] IETF RFC 5795: "The RObust Header Compression (ROHC) Framework".
[8] IETF RFC 6846: "RObust Header Compression (ROHC): A Profile for TCP/IP (ROHC-TCP)".
[9] IETF RFC 3095: "RObust Header Compression (ROHC): Framework and four profiles: RTP,
UDP, ESP and uncompressed".
[10] IETF RFC 3843: "RObust Header Compression (ROHC): A Compression Profile for IP".
[11] IETF RFC 4815: "RObust Header Compression (ROHC): Corrections and Clarifications to RFC
3095".
[12] IETF RFC 5225: "RObust Header Compression (ROHC) Version 2: Profiles for RTP, UDP, IP,
ESP and UDP Lite".
[13] 3GPP TS 33.303: "Proximity-based Services; Security Aspects".
[14] 3GPP TS 23.303: "Proximity-based Services; Stage 2".
[15] 3GPP TS 36.360: "Evolved Universal Terrestrial Radio Access (E-UTRA); LTE-WLAN
Aggregation Adaptation Protocol (LWAAP) specification".
[16] IETF RFC 1951: "DEFLATE Compressed Data Format Specifica
...