ETSI TS 136 321 V12.3.0 (2014-10)

LTE; Evolved Universal Terrestrial Radio Access (E-UTRA); Medium Access Control (MAC) protocol specification (3GPP TS 36.321 version 12.3.0 Release 12)

RTS/TSGR-0236321vc30

General Information

• Status: Published
• Publication Date: 27-Oct-2014
• Technical Committee: 3GPP RAN 2 - Radio layer 2 specification and Radio layer 3 RR specification
• Current Stage: 12 - Completion
• Due Date: 17-Oct-2014
• Completion Date: 28-Oct-2014

Standards Content (Sample)

ETSI TS 136 321 V12.3.0 (2014-10)






TECHNICAL SPECIFICATION
LTE;
Evolved Universal Terrestrial Radio Access (E-UTRA);
Medium Access Control (MAC) protocol specification
(3GPP TS 36.321 version 12.3.0 Release 12)

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3GPP TS 36.321 version 12.3.0 Release 12 1 ETSI TS 136 321 V12.3.0 (2014-10)



Reference
RTS/TSGR-0236321vc30
Keywords
LTE
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ETSI

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3GPP TS 36.321 version 12.3.0 Release 12 2 ETSI TS 136 321 V12.3.0 (2014-10)
Intellectual Property Rights
IPRs essential or potentially essential to the present document 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 (http://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.
Foreword
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, UMTS identities or
GSM identities. These should be interpreted as being references to the corresponding ETSI deliverables.
The cross reference between GSM, UMTS, 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", "may not", "need", "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 36.321 version 12.3.0 Release 12 3 ETSI TS 136 321 V12.3.0 (2014-10)
Contents
Intellectual Property Rights . 2
Foreword . 2
Modal verbs terminology . 2
Foreword . 5
1 Scope . 6
2 References . 6
3 Definitions and abbreviations . 6
3.1 Definitions . 6
3.2 Abbreviations . 8
4 General . 8
4.1 Introduction . 8
4.2 MAC architecture . 9
4.2.1 MAC Entities . 9
4.3 Services . 10
4.3.1 Services provided to upper layers . 10
4.3.2 Services expected from physical layer . 10
4.4 Functions . 10
4.5 Channel structure . 11
4.5.1 Transport Channels . 11
4.5.2 Logical Channels . 11
4.5.3 Mapping of Transport Channels to Logical Channels . 11
4.5.3.1 Uplink mapping . 12
4.5.3.2 Downlink mapping . 12
5 MAC procedures . 13
5.1 Random Access procedure . 13
5.1.1 Random Access Procedure initialization . 13
5.1.2 Random Access Resource selection . 14
5.1.3 Random Access Preamble transmission . 15
5.1.4 Random Access Response reception. 15
5.1.5 Contention Resolution . 16
5.1.6 Completion of the Random Access procedure . 17
5.2 Maintenance of Uplink Time Alignment . 17
5.3 DL-SCH data transfer . 18
5.3.1 DL Assignment reception . 18
5.3.2 HARQ operation . 20
5.3.2.1 HARQ Entity. 20
5.3.2.2 HARQ process . 20
5.3.3 Disassembly and demultiplexing . 21
5.4 UL-SCH data transfer . 22
5.4.1 UL Grant reception . 22
5.4.2 HARQ operation . 23
5.4.2.1 HARQ entity . 23
5.4.2.2 HARQ process . 24
5.4.3 Multiplexing and assembly . 25
5.4.3.1 Logical channel prioritization . 25
5.4.3.2 Multiplexing of MAC Control Elements and MAC SDUs . 26
5.4.4 Scheduling Request. 26
5.4.5 Buffer Status Reporting . 27
5.4.6 Power Headroom Reporting . 28
5.5 PCH reception . 29
5.6 BCH reception . 30
5.7 Discontinuous Reception (DRX) . 30
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3GPP TS 36.321 version 12.3.0 Release 12 4 ETSI TS 136 321 V12.3.0 (2014-10)
5.8 MAC reconfiguration . 32
5.9 MAC Reset . 32
5.10 Semi-Persistent Scheduling . 32
5.10.1 Downlink . 33
5.10.2 Uplink . 33
5.11 Handling of unknown, unforeseen and erroneous protocol data . 33
5.12 MCH reception . 34
5.13 Activation/Deactivation of SCells . 34
6 Protocol Data Units, formats and parameters . 35
6.1 Protocol Data Units . 35
6.1.1 General . 35
6.1.2 MAC PDU (DL-SCH and UL-SCH except transparent MAC and Random Access Response, MCH) . 35
6.1.3 MAC Control Elements . 36
6.1.3.1 Buffer Status Report MAC Control Elements . 36
6.1.3.2 C-RNTI MAC Control Element . 39
6.1.3.3 DRX Command MAC Control Element . 39
6.1.3.4 UE Contention Resolution Identity MAC Control Element . 40
6.1.3.5 Timing Advance Command MAC Control Element . 40
6.1.3.6 Power Headroom Report MAC Control Element . 40
6.1.3.6a Extended Power Headroom Report MAC Control Element . 41
6.1.3.7 MCH Scheduling Information MAC Control Element . 42
6.1.3.8 Activation/Deactivation MAC Control Element . 43
6.1.3.9 Long DRX Command MAC Control Element . 43
6.1.4 MAC PDU (transparent MAC) . 43
6.1.5 MAC PDU (Random Access Response) . 43
6.2 Formats and parameters . 44
6.2.1 MAC header for DL-SCH, UL-SCH and MCH. 44
6.2.2 MAC header for Random Access Response . 46
6.2.3 MAC payload for Random Access Response . 46
7 Variables and constants . 46
7.1 RNTI values . 46
7.2 Backoff Parameter values . 47
7.3 PRACH Mask Index values. 48
7.4 Subframe_Offset values . 48
7.5 TTI_BUNDLE_SIZE value. 48
7.6 DELTA_PREAMBLE values . 48
7.7 HARQ RTT Timer . 49
Annex A (normative): Handling of measurement gaps . 50
Annex B (normative): Contention resolution for RACH access . 51
Annex C (informative): Intended UE behaviour for DRX Timers . 52
Annex D (informative): Change history . 53
History . 58

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3GPP TS 36.321 version 12.3.0 Release 12 5 ETSI TS 136 321 V12.3.0 (2014-10)
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 36.321 version 12.3.0 Release 12 6 ETSI TS 136 321 V12.3.0 (2014-10)
1 Scope
The present document specifies the E-UTRA MAC protocol.
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 TR 36.213: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical Layer
Procedures".
[3] 3GPP TS 36.322: “Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Link Control
(RLC) protocol specification”.
[4] 3GPP TS 36.323: “Evolved Universal Terrestrial Radio Access (E-UTRA); Packet Data
Convergence Protocol (PDCP) Specification”.
[5] 3GPP TS 36.212: “Evolved Universal Terrestrial Radio Access (E-UTRA); Multiplexing and
channel coding”.
[6] 3GPP TS 36.214: “Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer;
Measurements”.
[7] 3GPP TS 36.211: “Evolved Universal Terrestrial Radio Access (E-UTRA); Physical Channels
and Modulation”.
[8] 3GPP TS 36.331: “Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Resource
Control (RRC); Protocol specification”.
[9] 3GPP TS 36.133: "Evolved Universal Terrestrial Radio Access (E-UTRA); Requirements for
support of radio resource management".
[10] 3GPP TS 36.101: "Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE)
radio transmission and reception".
[11] 3GPP TS 36.216: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer for
relaying operation".
3 Definitions and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in TR 21.905 [1] and the following apply. A
term defined in the present document takes precedence over the definition of the same term, if any, in TR 21.905 [1].
Active Time: Time related to DRX operation, as defined in subclause 5.7, during which the UE monitors the PDCCH.
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3GPP TS 36.321 version 12.3.0 Release 12 7 ETSI TS 136 321 V12.3.0 (2014-10)
mac-ContentionResolutionTimer: Specifies the number of consecutive subframe(s) during which the UE shall monitor
the PDCCH after Msg3 is transmitted.
DRX Cycle: Specifies the periodic repetition of the On Duration followed by a possible period of inactivity (see figure
3.1-1 below).

Figure 3.1-1: DRX Cycle
drx-InactivityTimer: Specifies the number of consecutive PDCCH-subframe(s) after the subframe in which a PDCCH
indicates an initial UL or DL user data transmission for this UE.
drx-RetransmissionTimer: Specifies the maximum number of consecutive PDCCH-subframe(s) until a DL
retransmission is received.
drxShortCycleTimer: Specifies the number of consecutive subframe(s) the UE shall follow the Short DRX cycle.
drxStartOffset: Specifies the subframe where the DRX Cycle starts.
HARQ information: HARQ information consists of New Data Indicator (NDI), Transport Block (TB) size. For DL-
SCH transmissions the HARQ information also includes HARQ process ID. For UL-SCH transmission the HARQ info
also includes Redundancy Version (RV). In case of spatial multiplexing on DL-SCH the HARQ information comprises
a set of NDI and TB size for each transport block.
HARQ RTT Timer: This parameter specifies the minimum amount of subframe(s) before a DL HARQ retransmission
is expected by the UE.
Msg3: Message transmitted on UL-SCH containing a C-RNTI MAC CE or CCCH SDU, submitted from upper layer
and associated with the UE Contention Resolution Identity, as part of a random access procedure.
onDurationTimer: Specifies the number of consecutive PDCCH-subframe(s) at the beginning of a DRX Cycle.
PDCCH: Refers to the PDCCH [7], EPDCCH (in subframes when configured) or, for an RN with R-PDCCH
configured and not suspended, to the R-PDCCH.
PDCCH-subframe: Refers to a subframe with PDCCH. For UE configured with only FDD serving cell(s), this
represents any subframe; for UE configured with at least one TDD serving cell, if UE is capable of simultaneous
reception and transmission in the aggregated cells, this represents the union of downlink subframes and subframes
including DwPTS of the TDD UL/DL configuration indicated by tdd-Config [8] of all serving cells, except serving cells
that are configured with schedulingCellId [8]; otherwise, this represents the subframes where the PCell is configured as
a downlink subframe or a subframe including DwPTS of the TDD UL/DL configuration indicated by tdd-Config [8].
For RNs with an RN subframe configuration configured and not suspended, in its communication with the E-UTRAN,
this represents all downlink subframes configured for RN communication with the E-UTRAN.
PRACH Resource Index: The index of a PRACH within a system frame [7]
Primary Timing Advance Group: Timing Advance Group containing the PCell.
ra-PRACH-MaskIndex: Defines in which PRACHs within a system frame the UE can transmit a Random Access
Preamble (see subclause 7.3).
RA-RNTI: The Random Access RNTI is used on the PDCCH when Random Access Response messages are
transmitted. It unambiguously identifies which time-frequency resource was utilized by the UE to transmit the Random
Access preamble.
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3GPP TS 36.321 version 12.3.0 Release 12 8 ETSI TS 136 321 V12.3.0 (2014-10)
Secondary Timing Advance Group: Timing Advance Group not containing the PCell. A Secondary Timing Advance
Group contains at least one Serving Cell with an UL configured.
Serving Cell: A Primary or a Secondary Cell [8].
Timing Advance Group: A group of Serving Cells that is configured by RRC and that, for the cells with an UL
configured, using the same timing reference cell and the same Timing Advance value.
NOTE: A timer is running once it is started, until it is stopped or until it expires; otherwise it is not running. A
timer can be started if it is not running or restarted if it is running. A Timer is always started or restarted
from its initial value.
3.2 Abbreviations
For the purposes of the present document, the abbreviations given in TR 21.905 [1] and the following apply. An
abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any, in
TR 21.905 [1].
BSR  Buffer Status Report
C-RNTI  Cell RNTI
CQI  Channel Quality Indicator
eIMTA  Enhanced Interference Management and Traffic Adaptation
eIMTA-RNTI  Enhanced Interference Management and Traffic Adaptation - RNTI
E-UTRA  Evolved UMTS Terrestrial Radio Access
E-UTRAN  Evolved UMTS Terrestrial Radio Access Network
MAC  Medium Access Control
M-RNTI  MBMS RNTI
LCG  Logical Channel Group
PCell  Primary Cell [8]
PHR  Power Headroom Report
PMI  Precoding Matrix Index
P-RNTI  Paging RNTI
pTAG  Primary Timing Advance Group
PTI  Precoding Type Indicator
RA-RNTI  Random Access RNTI
RI  Rank Indicator
RN  Relay Node
RNTI  Radio Network Temporary Identifier
SCell  Secondary Cell [8]
SI-RNTI  System Information RNTI
SR  Scheduling Request
SRS  Sounding Reference Symbols
sTAG  Secondary Timing Advance Group
TAG  Timing Advance Group
TB  Transport Block
TPC-PUCCH-RNTI Transmit Power Control-Physical Uplink Control Channel-RNTI
TPC-PUSCH-RNTI Transmit Power Control-Physical Uplink Shared Channel-RNTI

4 General
4.1 Introduction
The objective is to describe the MAC architecture and the MAC entity from a functional point of view. Functionality
specified for the UE equally applies to the RN for functionality necessary for the RN. There is also functionality which
is only applicable to the RN, in which case the specification denotes the RN instead of the UE. RN-specific behaviour is
not applicable to the UE. For TDD operation, UE behaviour follows the TDD UL/DL configuration indicated by tdd-
Config unless specified otherwise.
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3GPP TS 36.321 version 12.3.0 Release 12 9 ETSI TS 136 321 V12.3.0 (2014-10)
4.2 MAC architecture
The description in this sub clause is a model and does not specify or restrict implementations.
RRC is in control of configuration of MAC.
4.2.1 MAC Entities
E-UTRA defines two MAC entities; one in the UE and one in the E-UTRAN. These MAC entities handle the following
transport channels:
- Broadcast Channel (BCH);
- Downlink Shared Channel(s) (DL-SCH);
- Paging Channel (PCH);
- Uplink Shared Channel(s) (UL-SCH);
- Random Access Channel(s) (RACH);
- Multicast Channel(s) (MCH).
The exact functions performed by the MAC entities are different in the UE from those performed in the E-UTRAN.
The RN includes both MAC entities; one for communication with UEs and one for communication with the E-UTRAN.
If the UE is configured with one or more SCells, there are multiple DL-SCH and there may be multiple UL-SCH and
RACH per UE; one DL-SCH and UL-SCH on the PCell, one DL-SCH, zero or one UL-SCH and zero or one RACH for
each SCell.
Figure 4.2.1-1 illustrates one possible structure for the UE side MAC entity, and it should not restrict implementation.

Figure 4.2.1-1: MAC structure overview, UE side

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