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4 General 4.1 Introduction In this specification, (parts of) procedures and messages specified for the UE equally apply to the RN for functionality necessary for the RN. There are also (parts of) procedures and messages which are only applicable to the RN in its communication with the E-UTRAN, in which case the specification denotes the RN instead of the UE. Such RNspecific aspects are not applicable to the UE. This specification is organised as follows: - sub-clause 4.2 describes the RRC protocol model; - sub-clause 4.3 specifies the services provided to upper layers as well as the services expected from lower layers; - sub-clause 4.4 lists the RRC functions; - clause 5 specifies RRC procedures, including UE state transitions; - clause 6 specifies the RRC message in a mixed format (i.e. tabular & ASN.1 together); - clause 7 specifies the variables (including protocol timers and constants) and counters to be used by the UE; - clause 8 specifies the encoding of the RRC messages; - clause 9 specifies the specified and default radio configurations; - clause 10 specifies the RRC messages transferred across network nodes; - clause 11 specifies the UE capability related constraints and performance requirements. 4.2 Architecture 4.2.1 UE states and state transitions including inter RAT A UE is in RRC_CONNECTED when an RRC connection has been established. If this is not the case, i.e. no RRC connection is established, the UE is in RRC_IDLE state. The RRC states can further be characterised as follows: - RRC_IDLE: - A UE specific DRX may be configured by upper layers. - UE controlled mobility; - The UE: - Monitors a Paging channel to detect incoming calls, system information change, for ETWS capable UEs, ETWS notification, and for CMAS capable UEs, CMAS notification; - Performs neighbouring cell measurements and cell (re-)selection; - Acquires system information. - Performs logging of available measurements together with location and time for logged measurement configured UEs. - RRC_CONNECTED: - Transfer of unicast data to/from UE. - At lower layers, the UE may be configured with a UE specific DRX. - For UEs supporting CA, use of one or more SCells, aggregated with the PCell, for increased bandwidth; - Network controlled mobility, i.e. handover and cell change order with optional network assistance (NACC) to GERAN; - The UE: - Monitors a Paging channel and/ or System Information Block Type 1 contents to detect system information change, for ETWS capable UEs, ETWS notification, and for CMAS capable UEs, CMAS notification; - Monitors control channels associated with the shared data channel to determine if data is scheduled for it; - Provides channel quality and feedback information; - Performs neighbouring cell measurements and measurement reporting; - Acquires system information. The following figure not only provides an overview of the RRC states in E-UTRA, but also illustrates the mobility support between E-UTRAN, UTRAN and GERAN. Figure 4.2.1-1: E-UTRA states and inter RAT mobility procedures, 3GPP The following figure illustrates the mobility support between E-UTRAN, CDMA2000 1xRTT and CDMA2000 HRPD. The details of the CDMA2000 state models are out of the scope of this specification. Figure 4.2.1-2: Mobility procedures between E-UTRA and CDMA2000 The inter-RAT handover procedure(s) supports the case of signalling, conversational services, non-conversational services and combinations of these. In addition to the state transitions shown in Figure 4.2.1-1 and Figure 4.2.1-2, there is support for connection release with redirection information from E-UTRA RRC_CONNECTED to GERAN, UTRAN and CDMA2000 (HRPD Idle/ 1xRTT Dormant mode). 4.2.2 Signalling radio bearers Signalling Radio Bearers (SRBs) are defined as Radio Bearers (RB) that are used only for the transmission of RRC and NAS messages. More specifically, the following three SRBs are defined: - SRB0 is for RRC messages using the CCCH logical channel; - SRB1 is for RRC messages (which may include a piggybacked NAS message) as well as for NAS messages prior to the establishment of SRB2, all using DCCH logical channel; - SRB2 is for RRC messages which include logged measurement information as well as for NAS messages, all using DCCH logical channel. SRB2 has a lower-priority than SRB1 and is always configured by E-UTRAN after security activation. In downlink piggybacking of NAS messages is used only for one dependant (i.e. with joint success/ failure) procedure: bearer establishment/ modification/ release. In uplink NAS message piggybacking is used only for transferring the initial NAS message during connection setup. NOTE: The NAS messages transferred via SRB2 are also contained in RRC messages, which however do not include any RRC protocol control information. Once security is activated, all RRC messages on SRB1 and SRB2, including those containing NAS or non-3GPP messages, are integrity protected and ciphered by PDCP. NAS independently applies integrity protection and ciphering to the NAS messages. 4.3 Services 4.3.1 Services provided to upper layers The RRC protocol offers the following services to upper layers: - Broadcast of common control information; - Notification of UEs in RRC_IDLE, e.g. about a terminating call, for ETWS, for CMAS; - Transfer of dedicated control information, i.e. information for one specific UE. 4.3.2 Services expected from lower layers In brief, the following are the main services that RRC expects from lower layers: - PDCP: integrity protection and ciphering; - RLC: reliable and in-sequence transfer of information, without introducing duplicates and with support for segmentation and concatenation. Further details about the services provided by Packet Data Convergence Protocol layer (e.g. integrity and ciphering) are provided in TS 36.323 . The services provided by Radio Link Control layer (e.g. the RLC modes) are specified in TS 36.322 . Further details about the services provided by Medium Access Control layer (e.g. the logical channels) are provided in TS 36.321 . The services provided by physical layer (e.g. the transport channels) are specified in TS 36.302 . 4.4 Functions The RRC protocol includes the following main functions: - Broadcast of system information: - Including NAS common information; - Information applicable for UEs in RRC_IDLE, e.g. cell (re-)selection parameters, neighbouring cell information and information (also) applicable for UEs in RRC_CONNECTED, e.g. common channel configuration information. - Including ETWS notification, CMAS notification; - RRC connection control: - Paging; - Establishment/ modification/ release of RRC connection, including e.g. assignment/ modification of UE identity (C-RNTI), establishment/ modification/ release of SRB1 and SRB2, access class barring; - Initial security activation, i.e. initial configuration of AS integrity protection (SRBs) and AS ciphering (SRBs, DRBs); - For RNs, configuration of AS integrity protection for DRBs; - RRC connection mobility including e.g. intra-frequency and inter-frequency handover, associated security handling, i.e. key/ algorithm change, specification of RRC context information transferred between network nodes; - Establishment/ modification/ release of RBs carrying user data (DRBs); - Radio configuration control including e.g. assignment/ modification of ARQ configuration, HARQ configuration, DRX configuration; - For RNs, RN-specific radio configuration control for the radio interface between RN and E-UTRAN; - In case of CA, cell management including e.g. change of PCell and addition/ modification/ release of SCell(s); - QoS control including assignment/ modification of semi-persistent scheduling (SPS) configuration information for DL and UL, assignment/ modification of parameters for UL rate control in the UE, i.e. allocation of a priority and a prioritised bit rate (PBR) for each RB; - Recovery from radio link failure; - Inter-RAT mobility including e.g. security activation, transfer of RRC context information; - Measurement configuration and reporting: - Establishment/ modification/ release of measurements (e.g. intra-frequency, inter-frequency and inter- RAT measurements); - Setup and release of measurement gaps; - Measurement reporting; - Other functions including e.g. transfer of dedicated NAS information and non-3GPP dedicated information, transfer of UE radio access capability information, support for E-UTRAN sharing (multiple PLMN identities); - Generic protocol error handling; - Support of self-configuration and self-optimisation; - Support of measurement logging and reporting for network performance optimisation ; NOTE: Random access is specified entirely in the MAC including initial transmission power estimation. 5 Procedures 5.1 General 5.1.1 Introduction The procedural requirements are structured according to the main functional areas: system information (5.2), connection control (5.3), inter-RAT mobility (5.4) and measurements (5.5). In addition sub-clause 5.6 covers other aspects e.g. NAS dedicated information transfer, UE capability transfer, sub-clause 5.7 specifies the generic error handling, sub-clause 5.8 covers MBMS and sub-clause 5.9 covers RN-specific procedures. 5.1.2 General requirements The UE shall: 1> process the received messages in order of reception by RRC, i.e. the processing of a message shall be completed before starting the processing of a subsequent message; NOTE 1: E-UTRAN may initiate a subsequent procedure prior to receiving the UE s response of a previously initiated procedure. 1> within a sub-clause execute the steps according to the order specified in the procedural description; 1> consider the term radio bearer (RB) to cover SRBs and DRBs but not MRBs unless explicitly stated otherwise; 1> set the rrc-TransactionIdentifier in the response message, if included, to the same value as included in the mes..............................................
.........SRB reconfiguration): 2> apply the specified configuration defined in 9.1.2 for the corresponding SRB; 2> apply the corresponding default RLC configuration for the SRB specified in 184.108.40.206 for SRB1 or in 220.127.116.11 for SRB2; 2> apply the corresponding default logical channel configuration for the SRB as specified in 18.104.22.168 for SRB1 or in 22.214.171.124 for SRB2; NOTE 2: This is to get the SRBs (SRB1 and SRB2 for handover and SRB2 for reconfiguration after reestablishment) to a known state from which the reconfiguration message can do further configuration. 1> for each eps-BearerIdentity value included in the drb-ToAddModList that is part of the current UE configuration: 2> release the PDCP entity; 2> release the RLC entity or entities; 2> release the DTCH logical channel; 2> release the drb-identity; NOTE 3: This will retain the eps-bearerIdentity but remove the DRBs including drb-identity of these bearers from the current UE configuration and trigger the setup of the DRBs within the AS in Section 126.96.36.199 using the new configuration. The eps-bearerIdentity acts as the anchor for associating the released and re-setup DRB. 1> for each eps-BearerIdentity value that is part of the current UE configuration but not part of the drb-ToAddModList: 2> perform DRB release as specified in 188.8.131.52; 5.3.6 Counter check 184.108.40.206 General Figure 220.127.116.11-1: Counter check procedure The counter check procedure is used by E-UTRAN to request the UE to verify the amount of data sent/ received on each DRB. More specifically, the UE is requested to check if, for each DRB, the most significant bits of the COUNT match with the values indicated by E-UTRAN. NOTE: The procedure enables E-UTRAN to detect packet insertion by an intruder (a man in the middle ). 18.104.22.168 Initiation E-UTRAN initiates the procedure by sending a CounterCheck message. NOTE: E-UTRAN may initiate the procedure when any of the COUNT values reaches a specific value. 22.214.171.124 Reception of the CounterCheck message by the UE Upon receiving the CounterCheck message, the UE shall: 1> for each DRB that is established: 2> if no COUNT exists for a given direction (uplink or downlink) because it is a uni-directional bearer configured only for the other direction: 3> assume the COUNT value to be 0 for the unused direction; 2> if the drb-Identity is not included in the drb-CountMSB-InfoList: 3> include the DRB in the drb-CountInfoList in the CounterCheckResponse message by including the drb-Identity, the count-Uplink and the count-Downlink set to the value of the corresponding COUNT; 2> else if, for at least one direction, the most significant bits of the COUNT are different from the value indicated in the drb-CountMSB-InfoList: 3> include the DRB in the drb-CountInfoList in the CounterCheckResponse message by including the drb-Identity, the count-Uplink and the count-Downlink set to the value of the corresponding COUNT; 1> for each DRB that is included in the drb-CountMSB-InfoList in the CounterCheck message that is not established: 2> include the DRB in the drb-CountInfoList in the CounterCheckResponse message by including the drb-Identity, the count-Uplink and the count-Downlink with the most significant bits set identical to the corresponding values in the drb-CountMSB-InfoList and the least significant bits set to zero; 1> submit the CounterCheckResponse message to lower layers for transmission upon which the procedure ends; 5.3.7 RRC connection re-establishment 126.96.36.199 General Figure 188.8.131.52-1: RRC connection re-establishment, successful Figure 184.108.40.206-2: RRC connection re-establishment, failure The purpose of this procedure is to re-establish the RRC connection, which involves the resumption of SRB1 operation, the re-activation of security and the configuration of only the PCell. A UE in RRC_CONNECTED, 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 is prepared i.e. has a valid UE context. In case E-UTRAN accepts the re-establishment, SRB1 operation resumes while the operation of other radio bearers remains suspended. If AS security has not been activated, the UE does not initiate the procedure but instead moves to RRC_IDLE directly. E-UTRAN applies the procedure as follows: - to reconfigure SRB1 and to resume data transfer only for this RB; - to re-activate AS security without changing algorithms. 220.127.116.11 Initiation The UE shall only initiate the procedure when AS security has been activated. The UE initiates the procedure when one of the following conditions is met: 1> upon detecting radio link failure, in accordance with 5.3.11; or 1> upon handover failure, in accordance with 18.104.22.168; or 1> upon mobility from E-UTRA failure, in accordance with 22.214.171.124; or 1> upon integrity check failure indication from lower layers; or 1> upon an RRC connection reconfiguration failure, in accordance with 126.96.36.199; Upon initiation of the procedure, the UE shall: 1> stop timer T310, if running; 1> start timer T311; 1> suspend all RBs except SRB0; 1> reset MAC; 1> release the SCell(s), if configured, in accordance with 188.8.131.52a; 1> apply the default physical channel configuration as specified in 9.2.4; 1> apply the default semi-persistent scheduling configuration as specified in 9.2.3; 1> apply the default MAC main configuration as specified in 9.2.2; 1> release reportProximityConfig and clear any associated proximity status reporting timer; 1> release measSubframePatternPCell, if configured; 1> if connected as an RN and configured with an RN subframe configuration: 2> release the RN subframe configuration; 1> perform cell selection in accordance with the cell selection process as specified in TS 36.304 ; 184.108.40.206 Actions following cell selection while T311 is running Upon selecting a suitable E-UTRA cell, the UE shall: 1> stop timer T311; 1> start timer T301; 1> apply the timeAlignmentTimerCommon included in SystemInformationBlockType2; 1> initiate transmission of the RRCConnectionReestablishmentRequest message in accordance with 220.127.116.11; NOTE: This procedure applies also if the UE returns to the source PCell. Upon selecting an inter-RAT cell, the UE shall: 1> perform the actions upon leaving RRC_CONNECTED as specified in 5.3.12, with release cause RRC connection failure ; 18.104.22.168 Actions related to transmission of RRCConnectionReestablishmentRequest message If the procedure was initiated due to radio link failure or handover failure, the UE shall: 1> set the reestablishmentCellId in the VarRLF-Report to the global cell identity of the selected cell; The UE shall set the contents of RRCConnectionReestablishmentRequest message as follows: 1> set the ue-Identity as follows: 2> set the c-RNTI to the C-RNTI used in the source PCell (handover and mobility from E-UTRA failure) or used in the PCell in which the trigger for the re-establishment occurred (other cases); 2> set the physCellId to the physical cell identity of the source PCell (handover and mobility from E-UTRA failure) or of the PCell in which the trigger for the re-establishment occurred (other cases); 2> set the shortMAC-I to the 16 least significant bits of the MAC-I calculated: 3> over the ASN.1 encoded as per section 8 (i.e., a multiple of 8 bits) VarShortMAC-Input; 3> with the KRRCint key and integrity protection algorithm that was used in the source PCell (handover and mobility from E-UTRA failure) or of the PCell in which the trigger for the re-establishment occurred (other cases); and 3> with all input bits for COUNT, BEARER and DIRECTION set to binary ones; 1> set the reestablishmentCause as follows: 2> if the re-establishment procedure was initiated due to reconfiguration failure as specified in 22.214.171.124 (the UE is unable to comply with the reconfiguration): 3> set the reestablishmentCause to the value reconfigurationFailure; 2> else if the re-establishment procedure was initiated due to handover failure as specified in 126.96.36.199 (intra-LTE handover failure) or 188.8.131.52 (inter-RAT mobility from EUTRA failure): 3> set the reestablishmentCause to the value handoverFailure; 2> else: 3> set the reestablishmentCause to the value otherFailure; The UE shall submit the RRCConnectionReestablishmentRequest message to lower layers for transmission. 184.108.40.206 Reception of the RRCConnectionReestablishment by the UE NOTE: Prior to this, lower layer signalling is used to allocate a C-RNTI. For further details see TS 36.321 ; The UE shall: 1> stop timer T301; 1> consider the current cell to be the PCell; 1> re-establish PDCP for SRB1; 1> re-establish RLC for SRB1; 1> perform the radio resource configuration procedure in accordance with the received radioResourceConfigDedicated and as specified in 5.3.10; 1> resume SRB1; NOTE: E-UTRAN should not transmit any message on SRB1 prior to receiving the RRCConnectionReestablishmentComplete message. 1> update the KeNB key based on the KASME key to which the current KeNB is associated, using the nextHopChainingCount value indicated in the RRCConnectionReestablishment message, as specified in TS 33.401 ; 1> store the nextHopChainingCount value; 1> derive the KRRCint key associated with the previously configured integrity algorithm, as specified in TS 33.401 ; 1> derive the KRRCenc key and the KUPenc key associated with the previously configured ciphering algorithm, as specified in TS 33.401 ; 1> if connected as an RN: 2> derive the KUPint key associated with the previously configured integrity algorithm, as specified in TS 33.401 ; 1> configure lower layers to activate integrity protection using the previously configured algorithm and the KRRCint key immediately, i.e., integrity protection shall be applied to all subsequent messages received and sent by the UE, including the message used to indicate the successful completion of the procedure; 1> if connected as an RN: 2