ETSI TS 136 300 V14.12.0 (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 14.12.0 Release 14)

3GPP TS 36.300 version 14.12.0 Release 14 1 ETSI TS 136 300 V14.12.0 (2020-04)

Reference
RTS/TSGR-0236300vec0
Keywords
LTE
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: +33 4 92 94 42 00  Fax: +33 4 93 65 47 16

Siret N° 348 623 562 00017 - NAF 742 C
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88

Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI
deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.
Users of the present document should be aware that the document may be subject to revision or change of status.
Information on the current status of this and other ETSI documents is available at
https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx
If you find errors in the present document, please send your comment to one of the following services:
https://portal.etsi.org/People/CommiteeSupportStaff.aspx
Copyright Notification
No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying
and microfilm except as authorized by written permission of ETSI.
The content of the PDF version shall not be modified without the written authorization of ETSI.
The copyright and the foregoing restriction extend to reproduction in all media.

© ETSI 2020.
All rights reserved.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its Members.

3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and
of the 3GPP Organizational Partners.
oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and
of the oneM2M Partners. ®
GSM and the GSM logo are trademarks registered and owned by the GSM Association.
ETSI
3GPP TS 36.300 version 14.12.0 Release 14 2 ETSI TS 136 300 V14.12.0 (2020-04)
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.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
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
3GPP TS 36.300 version 14.12.0 Release 14 3 ETSI TS 136 300 V14.12.0 (2020-04)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 16
1 Scope . 17
2 References . 17
3 Definitions, symbols and abbreviations . 20
3.1 Definitions . 20
3.2 Abbreviations . 22
4 Overall architecture . 27
4.1 Functional Split . 28
4.2 Void . 30
4.2.1 Void . 30
4.2.2 Void . 30
4.3 Radio Protocol architecture . 30
4.3.1 User plane . 30
4.3.2 Control plane . 31
4.4 Synchronization . 32
4.5 IP fragmentation . 32
4.6 Support of HeNBs . 32
4.6.1 Architecture . 32
4.6.2 Functional Split . 34
4.6.3 Interfaces. 36
4.6.3.1 Protocol Stack for S1 User Plane . 36
4.6.3.2 Protocol Stacks for S1 Control Plane . 37
4.6.3.3 Protocol Stack for S5 interface. 38
4.6.3.4 Protocol Stack for SGi interface . 38
4.6.3.5 Protocol Stack for X2 User Plane and X2 Control Plane . 38
4.6.4 Void . 38
4.6.5 Support of LIPA with HeNB . 38
4.6.6 Support of X2 GW . 40
4.6.6.1 Enhanced TNL Address Discovery . 41
4.6.6.2 Routing of X2AP messages . 41
4.6.6.3 (H)eNB unavailability . 41
4.6.6.4 (H)eNB registration . 41
4.7 Support for relaying. 41
4.7.1 General . 41
4.7.2 Architecture . 42
4.7.3 S1 and X2 user plane aspects . 42
4.7.4 S1 and X2 control plane aspects . 43
4.7.5 Radio protocol aspects . 44
4.7.6 Signalling procedures . 45
4.7.6.1 RN attach procedure . 45
4.7.6.2 E-RAB activation/modification. 46
4.7.6.3 RN startup procedure . 46
4.7.6.4 RN detach procedure . 47
4.7.6.5 Neighbouring Information Transfer . 48
4.7.6.6 Mobility to or from RN . 48
4.7.7 Relay Node OAM Aspects . 48
4.7.7.1 Architecture . 48
4.7.7.2 OAM Traffic QoS Requirements . 49
4.7.7.3 Security Aspects . 49
4.7.7.4 Void. 49
4.7.7.5 OAM Requirements for Configuration Parameters . 49
ETSI
3GPP TS 36.300 version 14.12.0 Release 14 4 ETSI TS 136 300 V14.12.0 (2020-04)
4.7.7.5.1 Parameters Associated with Relay Bearer Mapping . 49
4.8 Support of SIPTO at the Local Network . 49
4.8.1 General . 49
4.8.2 SIPTO at the Local Network with collocated L-GW . 50
4.8.3 Support for SIPTO@LN with Stand-Alone Gateway . 51
4.9 Support for Dual Connectivity . 51
4.9.1 General . 51
4.9.2 Radio Protocol Architecture . 51
4.9.3 Network Interfaces . 52
4.9.3.1 E-UTRAN Control Plane for Dual Connectivity . 52
4.9.3.2 E-UTRAN User Plane for Dual Connectivity . 52
4.9.3.3 Support of HeNBs for Dual Connectivity . 53
4.9.3.4 Support of SIPTO@LN and LIPA for Dual Connectivity . 53
4.10 NB-IoT . 55
5 Physical Layer for E-UTRA . 55
5.1 Downlink Transmission Scheme . 58
5.1.1 Basic transmission scheme based on OFDM . 58
5.1.1a Basic transmission scheme based on OFDM for NB-IoT . 58
5.1.2 Physical-layer processing . 58
5.1.3 Physical downlink control channels . 59
5.1.4 Downlink Reference signal and synchronization signals . 60
5.1.4a Downlink Reference signal and synchronization signals for NB-IoT . 60
5.1.5 Downlink multi-antenna transmission . 60
5.1.5a Downlink multi-antenna transmission for NB-IoT . 61
5.1.6 MBSFN transmission . 61
5.1.7 Physical layer procedure . 61
5.1.7.1 Link adaptation . 61
5.1.7.2 Power Control . 61
5.1.7.3 Cell search . 61
5.1.7.3a Cell search for NB-IoT . 61
5.1.8 Physical layer measurements definition . 62
5.1.9 Coordinated Multi-Point transmission . 62
5.2 Uplink Transmission Scheme . 62
5.2.1 Basic transmission scheme . 62
5.2.1a Basic transmission scheme for NB-IoT . 63
5.2.2 Physical-layer processing . 63
5.2.3 Physical uplink control channel . 63
5.2.3a Uplink control information for NB-IoT . 64
5.2.4 Uplink Reference signal . 64
5.2.4a Uplink Reference signal for NB-IoT . 64
5.2.5 Random access preamble . 65
5.2.5a Random access preamble for NB-IoT . 65
5.2.6 Uplink multi-antenna transmission . 65
5.2.7 Physical channel procedure. 65
5.2.7.1 Link adaptation . 65
5.2.7.2 Uplink Power control . 65
5.2.7.3 Uplink timing control . 66
5.2.8 Coordinated Multi-Point reception . 66
5.3 Transport Channels. 66
5.3.1 Mapping between transport channels and physical channels . 67
5.3.1a Mapping between transport channels and narrowband physical channels . 68
5.4 E-UTRA physical layer model . 69
5.4.1 Void . 69
5.4.2 Void . 69
5.5 Carrier Aggregation . 69
5.5.1 SRS switching between component carriers . 70
5.5a Multi-carrier operation for NB-IoT . 70
5.6 Sidelink . 71
5.6.1 Basic transmission scheme . 71
5.6.2 Physical-layer processing . 71
5.6.3 Physical Sidelink control channel . 71
ETSI
3GPP TS 36.300 version 14.12.0 Release 14 5 ETSI TS 136 300 V14.12.0 (2020-04)
5.6.4 Sidelink reference signals . 71
5.6.5 Physical channel procedure. 71
5.6.5.1 Sidelink power control . 71
5.6.6 Physical layer measurements definition . 71
5.7 Licensed-Assisted Access . 72
5.7.1 Channel Access Priority Classes . 72
5.7.2 Multiplexing of data. 72
6 Layer 2 . 73
6.1 MAC Sublayer . 75
6.1.1 Services and Functions . 75
6.1.2 Logical Channels . 75
6.1.2.1 Control Channels . 75
6.1.2.2 Traffic Channels . 76
6.1.3 Mapping between logical channels and transport channels . 76
6.1.3.1 Mapping in Uplink . 76
6.1.3.2 Mapping in Downlink . 77
6.1.3.3 Mapping in Sidelink . 78
6.2 RLC Sublayer . 78
6.2.1 Services and Functions . 78
6.2.2 PDU Structure . 78
6.3 PDCP Sublayer . 79
6.3.1 Services and Functions . 79
6.3.2 PDU Structure . 80
6.4 Carrier Aggregation . 80
6.5 Dual Connectivity. 81
7 RRC . 83
7.1 Services and Functions . 83
7.2 RRC protocol states & state transitions . 83
7.3 Transport of NAS messages . 84
7.3a CIoT signalling reduction optimizations . 85
7.3a.1 General . 85
7.3a.2 Control Plane CIoT EPS optimizations . 85
7.3a.3 User Plane CIoT EPS optimizations . 86
7.4 System Information . 88
7.5 Carrier Aggregation . 90
7.6 Dual Connectivity. 91
8 E-UTRAN identities . 92
8.1 E-UTRAN related UE identities . 92
8.2 Network entity related Identities . 93
8.3 Sidelink communication and V2X Sidelink Communication related identities . 93
8.4 MBMS related identities . 94
9 ARQ and HARQ . 94
9.1 HARQ principles . 94
9.2 ARQ principles . 96
9.3 Void . 96
10 Mobility . 96
10.1 Intra E-UTRAN . 97
10.1.1 Mobility Management in ECM-IDLE . 97
10.1.1.1 Cell selection . 97
10.1.1.2 Cell reselection . 97
10.1.1.3 Void. 98
10.1.1.4 Void. 98
10.1.1.5 Void. 98
10.1.2 Mobility Management in ECM-CONNECTED. 98
10.1.2.1 Handover . 99
10.1.2.1.1 C-plane handling . 100
10.1.2.1.2 U-plane handling . 102
10.1.2.2 Path Switch . 104
10.1.2.2.1 Path Switch upon handover . 104
ETSI
3GPP TS 36.300 version 14.12.0 Release 14 6 ETSI TS 136 300 V14.12.0 (2020-04)
10.1.2.2.2 Path Update upon Dual Connectivity specific activitie s . 104
10.1.2.2.3 Path Switch upon UE context resume . 104
10.1.2.3 Data forwarding . 104
10.1.2.3.1 For RLC-AM DRBs . 104
10.1.2.3.2 For RLC-UM DRBs . 105
10.1.2.3.3 SRB handling . 105
10.1.2.3.4 User data forwarding for Dual Connectivity . 105
10.1.2.4 Void. 106
10.1.2.5 Void. 106
10.1.2.6 Void. 106
10.1.2.7 Timing Advance . 106
10.1.2.8 Dual Connectivity operation . 107
10.1.2.8.1 SeNB Addition . 107
10.1.2.8.2 SeNB Modification . 108
10.1.2.8.2.1 Intra-MeNB handover involving SCG change . 110
10.1.2.8.3 SeNB Release . 111
10.1.2.8.4 Change of SeNB . 113
10.1.2.8.5 MeNB to eNB Change . 114
10.1.2.8.6 SCG change . 115
10.1.2.8.7 eNB to MeNB change . 115
10.1.2.8.8 Inter-MeNB handover without SeNB change . 116
10.1.2.8.9 Addition of a hybrid HeNB as the SeNB . 119
10.1.2.9 LWA mobility . 120
10.1.2.9.1 Inter-eNB handover without WT change. 120
10.1.3 Measurements . 122
10.1.3.1 Intra-frequency neighbour (cell) measurements . 124
10.1.3.2 Inter-frequency neighbour (cell) measurements . 124
10.1.4 Paging and C-plane establishment . 124
10.1.5 Random Access Procedure . 125
10.1.5.1 Contention based random access procedure . 125
10.1.5.2 Non-contention based random access procedure . 127
10.1.5.3 Interaction model between L1 and L2/3 for Random Access Procedure . 129
10.1.6 Radio Link Failure . 129
10.1.7 Radio Access Network Sharing . 131
10.1.8 Handling of Roaming and Area Restrictions for UEs in ECM-CONNECTED . 131
10.1.8a Handling of Roaming and Access Restrictions for UEs in ECM-CONNECTED . 131
10.2 Inter RAT . 131
10.2.1 Cell reselection . 131
10.2.2 Handover . 132
10.2.2a Inter-RAT cell change order to GERAN with NACC . 133
10.2.2b Inter-RAT handovers from E-UTRAN . 133
10.2.2b.1 Data forwarding . 133
10.2.2b.1.1 For RLC-AM bearers . 133
10.2.2b.1.2 For RLC-UM bearers . 133
10.2.3 Measurements . 134
10.2.3.1 Inter-RAT handovers from E-UTRAN . 134
10.2.3.2 Inter-RAT handovers to E-UTRAN . 134
10.2.3.3 Inter-RAT cell reselection from E-UTRAN . 134
10.2.3.4 Limiting measurement load at UE . 134
10.2.4 Network Aspects . 134
10.2.5 CS fallback. 135
10.3 Mobility between E-UTRAN and Non-3GPP radio technologies . 135
10.3.1 UE Capability Configuration . 135
10.3.2 Mobility between E-UTRAN and cdma2000 network . 136
10.3.2.1 Tunnelling of cdma2000 Messages over E-UTRAN between UE and cdma2000 Access Nodes . 136
10.3.2.2 Mobility between E-UTRAN and HRPD . 137
10.3.2.2.1 Mobility from E-UTRAN to HRPD . 137
10.3.2.2.1.1 HRPD System Information Transmission in E-UTRAN . 137
10.3.2.2.1.2 Measuring HRPD from E-UTRAN . 137
10.3.2.2.1.2.1 Idle Mode Measurement Control . 137
10.3.2.2.1.2.2 Active Mode Measurement Control . 137
10.3.2.2.1.2.3 Active Mode Measurement . 137
ETSI
3GPP TS 36.300 version 14.12.0 Release 14 7 ETSI TS 136 300 V14.12.0 (2020-04)
10.3.2.2.1.3 Pre-registration to HRPD Procedure . 137
10.3.2.2.1.4 E-UTRAN to HRPD Cell Re-selection . 138
10.3.2.2.1.5 E-UTRAN to HRPD Handover. 138
10.3.2.2.2 Mobility from HRPD to E-UTRAN . 138
10.3.2.3 Mobility between E-UTRAN and cdma2000 1xRTT . 138
10.3.2.3.1 Mobility from E-UTRAN to cdma2000 1xRTT . 138
10.3.2.3.1.1 cdma2000 1xRTT System Information Transmission in E-UTRAN . 138
10.3.2.3.1.2 Measuring cdma2000 1xRTT from E-UTRAN . 138
10.3.2.3.1.2.1 Idle Mode Measurement Control . 139
10.3.2.3.1.2.2 Active Mode Measurement Control . 139
10.3.2.3.1.2.3 Active Mode Measurement . 139
10.3.2.3.1.3 E-UTRAN to cdma2000 1xRTT Cell Re-selection . 139
10.3.2.3.1.4 E-UTRAN to cdma2000 1xRTT Handover . 139
10.3.2.3.2 Mobility from cdma2000 1xRTT to E-UTRAN . 139
10.3.2.3.3 1xRTT CS Fallback . 140
10.3.3 CDMA2000 interworking in LTE shared networks . 141
10.4 Area Restrictions . 141
10.4a Roaming and Access Restrictions . 142
10.5 Mobility to and from CSG and Hybrid cells .
...