ETSI TS 136 300 V13.14.0 (2020-04)

TECHNICAL SPECIFICATION
LTE;
Evolved Universal Terrestrial Radio Access (E-UTRA)
and Evolved Universal Terrestrial
Radio Access Network (E-UTRAN);
Overall description;
Stage 2
(3GPP TS 36.300 version 13.14.0 Release 13)

3GPP TS 36.300 version 13.14.0 Release 13 1 ETSI TS 136 300 V13.14.0 (2020-04)

Reference
RTS/TSGR-0236300vde0
Keywords
LTE
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ETSI
3GPP TS 36.300 version 13.14.0 Release 13 2 ETSI TS 136 300 V13.14.0 (2020-04)
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ETSI
3GPP TS 36.300 version 13.14.0 Release 13 3 ETSI TS 136 300 V13.14.0 (2020-04)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 15
1 Scope . 16
2 References . 16
3 Definitions, symbols and abbreviations . 18
3.1 Definitions . 18
3.2 Abbreviations . 21
4 Overall architecture . 25
4.1 Functional Split . 26
4.2 Void . 28
4.2.1 Void . 28
4.2.2 Void . 28
4.3 Radio Protocol architecture . 28
4.3.1 User plane . 29
4.3.2 Control plane . 29
4.4 Synchronization . 30
4.5 IP fragmentation . 30
4.6 Support of HeNBs . 30
4.6.1 Architecture . 30
4.6.2 Functional Split . 32
4.6.3 Interfaces. 34
4.6.3.1 Protocol Stack for S1 User Plane . 34
4.6.3.2 Protocol Stacks for S1 Control Plane . 35
4.6.3.3 Protocol Stack for S5 interface. 36
4.6.3.4 Protocol Stack for SGi interface . 36
4.6.3.5 Protocol Stack for X2 User Plane and X2 Control Plane . 36
4.6.4 Void . 36
4.6.5 Support of LIPA with HeNB . 36
4.6.6 Support of X2 GW . 38
4.6.6.1 Enhanced TNL Address Discovery . 39
4.6.6.2 Routing of X2AP messages . 39
4.6.6.3 (H)eNB unavailability . 39
4.6.6.4 (H)eNB registration . 39
4.7 Support for relaying. 39
4.7.1 General . 39
4.7.2 Architecture . 40
4.7.3 S1 and X2 user plane aspects . 40
4.7.4 S1 and X2 control plane aspects . 41
4.7.5 Radio protocol aspects . 42
4.7.6 Signalling procedures . 43
4.7.6.1 RN attach procedure . 43
4.7.6.2 E-RAB activation/modification. 44
4.7.6.3 RN startup procedure . 44
4.7.6.4 RN detach procedure . 45
4.7.6.5 Neighbouring Information Transfer . 46
4.7.6.6 Mobility to or from RN . 46
4.7.7 Relay Node OAM Aspects . 46
4.7.7.1 Architecture . 46
4.7.7.2 OAM Traffic QoS Requirements . 47
4.7.7.3 Security Aspects . 47
4.7.7.4 Void. 47
4.7.7.5 OAM Requirements for Configuration Parameters . 47
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4.7.7.5.1 Parameters Associated with Relay Bearer Mapping . 47
4.8 Support of SIPTO at the Local Network . 47
4.8.1 General . 47
4.8.2 SIPTO at the Local Network with collocated L-GW . 48
4.8.3 Support for SIPTO@LN with Stand-Alone Gateway . 49
4.9 Support for Dual Connectivity . 49
4.9.1 General . 49
4.9.2 Radio Protocol Architecture . 49
4.9.3 Network Interfaces . 50
4.9.3.1 E-UTRAN Control Plane for Dual Connectivity . 50
4.9.3.2 E-UTRAN User Plane for Dual Connectivity . 50
4.9.3.3 Support of HeNBs for Dual Connectivity . 51
4.9.3.4 Support of SIPTO@LN and LIPA for Dual Connectivity . 51
4.10 NB-IoT . 53
5 Physical Layer for E-UTRA . 53
5.1 Downlink Transmission Scheme . 56
5.1.1 Basic transmission scheme based on OFDM . 56
5.1.1a Basic transmission scheme based on OFDM for NB-IoT . 56
5.1.2 Physical-layer processing . 56
5.1.3 Physical downlink control channels . 57
5.1.4 Downlink Reference signal and synchronization signals . 58
5.1.4a Downlink Reference signal and synchronization signals for NB-IoT . 58
5.1.5 Downlink multi-antenna transmission . 58
5.1.5a Downlink multi-antenna transmission for NB-IoT . 59
5.1.6 MBSFN transmission . 59
5.1.7 Physical layer procedure . 59
5.1.7.1 Link adaptation . 59
5.1.7.2 Power Control . 59
5.1.7.3 Cell search . 59
5.1.7.3a Cell search for NB-IoT . 59
5.1.8 Physical layer measurements definition . 59
5.1.9 Coordinated Multi-Point transmission . 60
5.2 Uplink Transmission Scheme . 60
5.2.1 Basic transmission scheme . 60
5.2.1a Basic transmission scheme for NB-IoT . 60
5.2.2 Physical-layer processing . 61
5.2.3 Physical uplink control channel . 61
5.2.3a Uplink control information for NB-IoT . 62
5.2.4 Uplink Reference signal . 62
5.2.4a Uplink Reference signal for NB-IoT . 62
5.2.5 Random access preamble . 62
5.2.5a Random access preamble for NB-IoT . 63
5.2.6 Uplink multi-antenna transmission . 63
5.2.7 Physical channel procedure. 63
5.2.7.1 Link adaptation . 63
5.2.7.2 Uplink Power control . 63
5.2.7.3 Uplink timing control . 63
5.2.8 Coordinated Multi-Point reception . 63
5.3 Transport Channels. 64
5.3.1 Mapping between transport channels and physical channels . 65
5.3.1a Mapping between transport channels and narrowband physical channels . 66
5.4 E-UTRA physical layer model . 67
5.4.1 Void . 67
5.4.2 Void . 67
5.5 Carrier Aggregation . 67
5.5a Multi-carrier operation for NB-IoT . 68
5.6 Sidelink . 68
5.6.1 Basic transmission scheme . 68
5.6.2 Physical-layer processing . 68
5.6.3 Physical Sidelink control channel . 69
5.6.4 Sidelink reference signals . 69
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5.6.5 Physical channel procedure. 69
5.6.5.1 Sidelink power control . 69
5.6.6 Physical layer measurements definition . 69
5.7 Licensed-Assisted Access . 69
5.7.1 Channel Access Priority Classes . 69
5.7.2 Multiplexing of data. 70
6 Layer 2 . 70
6.1 MAC Sublayer . 72
6.1.1 Services and Functions . 72
6.1.2 Logical Channels . 73
6.1.2.1 Control Channels . 73
6.1.2.2 Traffic Channels . 73
6.1.3 Mapping between logical channels and transport channels . 74
6.1.3.1 Mapping in Uplink . 74
6.1.3.2 Mapping in Downlink . 74
6.1.3.3 Mapping in Sidelink . 75
6.2 RLC Sublayer . 76
6.2.1 Services and Functions . 76
6.2.2 PDU Structure . 76
6.3 PDCP Sublayer . 77
6.3.1 Services and Functions . 77
6.3.2 PDU Structure . 78
6.4 Carrier Aggregation . 78
6.5 Dual Connectivity. 79
7 RRC . 80
7.1 Services and Functions . 80
7.2 RRC protocol states & state transitions . 81
7.3 Transport of NAS messages . 82
7.3a CIoT signalling reduction optimizations . 82
7.3a.1 General . 82
7.3a.2 Control Plane CIoT EPS optimizations . 82
7.3a.3 User Plane CIoT EPS optimizations . 83
7.4 System Information . 86
7.5 Carrier Aggregation . 87
7.6 Dual Connectivity. 88
8 E-UTRAN identities . 89
8.1 E-UTRAN related UE identities . 89
8.2 Network entity related Identities . 89
8.3 Sidelink communication related identities . 90
8.4 MBMS related identities . 90
9 ARQ and HARQ . 91
9.1 HARQ principles . 91
9.2 ARQ principles . 92
9.3 Void . 92
10 Mobility . 92
10.1 Intra E-UTRAN . 93
10.1.1 Mobility Management in ECM-IDLE . 93
10.1.1.1 Cell selection . 93
10.1.1.2 Cell reselection . 94
10.1.1.3 Void. 95
10.1.1.4 Void. 95
10.1.1.5 Void. 95
10.1.2 Mobility Management in ECM-CONNECTED. 95
10.1.2.1 Handover . 95
10.1.2.1.1 C-plane handling . 96
10.1.2.1.2 U-plane handling . 99
10.1.2.2 Path Switch . 100
10.1.2.2.1 Path Switch upon handover . 100
10.1.2.2.2 Path Update upon Dual Connectivity specific activitie s . 100
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10.1.2.2.3 Path Switch upon UE context resume . 101
10.1.2.3 Data forwarding . 101
10.1.2.3.1 For RLC-AM DRBs . 101
10.1.2.3.2 For RLC-UM DRBs . 101
10.1.2.3.3 SRB handling . 102
10.1.2.3.4 User data forwarding for Dual Connectivity . 102
10.1.2.4 Void. 102
10.1.2.5 Void. 102
10.1.2.6 Void. 102
10.1.2.7 Timing Advance . 102
10.1.2.8 Dual Connectivity operation . 103
10.1.2.8.1 SeNB Addition . 103
10.1.2.8.2 SeNB Modification . 104
10.1.2.8.2.1 Intra-MeNB handover involving SCG change . 107
10.1.2.8.3 SeNB Release . 108
10.1.2.8.4 Change of SeNB . 109
10.1.2.8.5 MeNB to eNB Change . 110
10.1.2.8.6 SCG change . 111
10.1.2.8.7 eNB to MeNB change . 112
10.1.2.8.8 Inter-MeNB handover without SeNB change . 113
10.1.2.8.9 Addition of a hybrid HeNB as the SeNB . 115
10.1.3 Measurements . 116
10.1.3.1 Intra-frequency neighbour (cell) measurements . 118
10.1.3.2 Inter-frequency neighbour (cell) measurements . 118
10.1.4 Paging and C-plane establishment . 118
10.1.5 Random Access Procedure . 119
10.1.5.1 Contention based random access procedure . 120
10.1.5.2 Non-contention based random access procedure . 122
10.1.5.3 Interaction model between L1 and L2/3 for Random Access Procedure . 123
10.1.6 Radio Link Failure . 123
10.1.7 Radio Access Network Sharing . 124
10.1.8 Handling of Roaming and Area Restrictions for UEs in ECM-CONNECTED . 125
10.1.8a Handling of Roaming and Access Restrictions for UEs in ECM-CONNECTED . 125
10.2 Inter RAT . 125
10.2.1 Cell reselection . 125
10.2.2 Handover . 126
10.2.2a Inter-RAT cell change order to GERAN with NACC . 126
10.2.2b Inter-RAT handovers from E-UTRAN . 127
10.2.2b.1 Data forwarding . 127
10.2.2b.1.1 For RLC-AM bearers . 127
10.2.2b.1.2 For RLC-UM bearers . 127
10.2.3 Measurements . 127
10.2.3.1 Inter-RAT handovers from E-UTRAN . 127
10.2.3.2 Inter-RAT handovers to E-UTRAN . 128
10.2.3.3 Inter-RAT cell reselection from E-UTRAN . 128
10.2.3.4 Limiting measurement load at UE . 128
10.2.4 Network Aspects . 128
10.2.5 CS fallback. 128
10.3 Mobility between E-UTRAN and Non-3GPP radio technologies . 129
10.3.1 UE Capability Configuration . 129
10.3.2 Mobility between E-UTRAN and cdma2000 network . 129
10.3.2.1 Tunnelling of cdma2000 Messages over E-UTRAN between UE and cdma2000 Access Nodes . 130
10.3.2.2 Mobility between E-UTRAN and HRPD . 131
10.3.2.2.1 Mobility from E-UTRAN to HRPD . 131
10.3.2.2.1.1 HRPD System Information Transmission in E-UTRAN . 131
10.3.2.2.1.2 Measuring HRPD from E-UTRAN . 131
10.3.2.2.1.2.1 Idle Mode Measurement Control . 131
10.3.2.2.1.2.2 Active Mode Measurement Control . 131
10.3.2.2.1.2.3 Active Mode Measurement . 131
10.3.2.2.1.3 Pre-registration to HRPD Procedure . 131
10.3.2.2.1.4 E-UTRAN to HRPD Cell Re-selection . 132
10.3.2.2.1.5 E-UTRAN to HRPD Handover. 132
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10.3.2.2.2 Mobility from HRPD to E-UTRAN . 132
10.3.2.3 Mobility between E-UTRAN and cdma2000 1xRTT . 132
10.3.2.3.1 Mobility from E-UTRAN to cdma2000 1xRTT . 132
10.3.2.3.1.1 cdma2000 1xRTT System Information Transmission in E-UTRAN . 132
10.3.2.3.1.2 Measuring cdma2000 1xRTT from E-UTRAN . 132
10.3.2.3.1.2.1 Idle Mode Measurement Control . 133
10.3.2.3.1.2.2 Active Mode Measurement Control . 133
10.3.2.3.1.2.3 Active Mode Measurement . 133
10.3.2.3.1.3 E-UTRAN to cdma2000 1xRTT Cell Re-selection . 133
10.3.2.3.1.4 E-UTRAN to cdma2000 1xRTT Handover . 133
10.3.2.3.2 Mobility from cdma2000 1xRTT to E-UTRAN . 133
10.3.2.3.3 1xRTT CS Fallback . 134
10.3.3 CDMA2000 interworking in LTE shared networks . 135
10.4 Area Restrictions . 135
10.4a Roaming and Access Restrictions . 136
10.5 Mobility to and from CSG and Hybrid cells . 136
10.5.0 Principles for idle-mode mobility with CSG cells . 136
10.5.0.1 Intra-frequency mobility . 136
10.5.0.2 Inter-frequency mobility .
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