Permanent Reference Document NAPRD03

Version Specific Technical Overview of PTCRB Certification Program

Version 6.14

September, 2023

© 2020-2023 CTIA Certification. All Rights Reserved.

Any reproduction, modification, alteration, creation of a derivative work, or transmission of all or any part of this
publication, in any form, by any means, whether electronic or mechanical, including photocopying, recording, or via any
information storage and retrieval system, without the prior written permission of CTIA Certification, is unauthorized and
strictly prohibited by federal copyright law. This publication is solely for use within the PTCRB Certification Program. Any
other use of this publication is strictly prohibited unless authorized by CTIA Certification or its assigns in writing.
 PTCRB Certification Program
1400 16th Street, NW

Suite 600

Washington, DC 20036

[email protected]

1.202.785.0081

www.ptcrb.com

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Table of Contents
Section 1 Introduction........................................................................................................................ 7
1.1 Purpose........................................................................................................................... 7
Section 2 Wireless Device Certification Test Requirements..........................................................8
2.1 Scope.............................................................................................................................. 8
2.2 Introduction.................................................................................................................... 8
2.3 Reference Test Specifications......................................................................................8
2.3.1 GERAN:.......................................................................................................... 8
2.3.2 UTRA: ............................................................................................................ 8
2.3.3 E-UTRA:......................................................................................................... 9
2.3.4 NR: ............................................................................................................ 9
2.3.5 Data Throughput:............................................................................................9
2.3.6 Near Field Communication (NFC):..................................................................9
2.3.7 Positioning:..................................................................................................... 9
2.3.8 Cybersecurity Evaluation:.............................................................................10
2.3.9 Device RF Performance Evaluation:.............................................................10
2.3.10 Wi-Fi RF Performance Evaluation:...............................................................10
2.3.11 MMS (Multimedia Messaging Service) (Deleted)..........................................10
2.3.12 OMA SUPL (Secure User Plane Location) 1.0, 2.0......................................10
2.3.13 IP Multimedia Subsystem (IMS)....................................................................10
2.3.14 OMA DM 1.2 (Deleted).................................................................................10
2.3.15 TTY: .......................................................................................................... 10
2.3.16 A-GNSS Radiated Performance:..................................................................11
2.3.17 AT-Commands (Deleted)..............................................................................11
2.3.18 OMA FUMO 1.0 (Deleted)............................................................................11
2.3.19 Connection Efficiency...................................................................................11
2.3.20 Remote SIM Provisioning.............................................................................11
2.3.21 PTCRB Validation Group (PVG) Permanent Reference Documents:...........11
2.3.22 Utility IoT Device Evaluation:........................................................................11
2.3.23 General Notes:............................................................................................. 12
2.4 Participating Organizations......................................................................................... 12
2.5 List of Tests for Accredited Testing...........................................................................12
2.6 Document Amendments.............................................................................................. 12
2.7 Data Fields Used by the PTCRB Test Case (TC) Database.......................................12
2.7.1 Test Specification Field.................................................................................12
2.7.2 Parameter Value Field..................................................................................12
2.7.3 Description Field...........................................................................................13
2.7.4 RFT (Request For Test) Field.......................................................................13
2.7.5 Test Platform Fields......................................................................................13
2.7.6 Category Field (PTCRB Test Case Category)..............................................14
2.7.7 Technology Area Field..................................................................................20
2.7.8 TC Cluster Field............................................................................................20
2.7.9 Test Case Classifications.............................................................................20
2.7.10 Test Case Sub-Classifications for all “Bearer Band” Tests...........................21
2.7.11 Special Rules and Exceptions:.....................................................................22
2.8 PTCRB Bands............................................................................................................... 23
2.9 RF Performance Evaluation.........................................................................................24
2.9.1 OTA Performance Test Requirements for Non-IoT Devices.........................24

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 2.9.2 OTA Performance Test Requirements for IoT (internet of Things) Devices..25
2.9.3 Applicability of OTA Performance Testing to ECOs......................................27
2.9.4 Receive Diversity / MIMO.............................................................................27
2.9.5 Reduction of OTA Test Case Redundancy...................................................28
2.9.6 Audio Testing (Moved to Section 4.1)...........................................................29
2.9.7 Radiated Spurious Testing...........................................................................29
2.9.8 Method for Measuring Power Reduction Due to Proximity Sensor...............29
2.10 E-UTRA / E-UTRA Carrier Aggregation (CA) Interoperability Testing (Deleted).....29
2.11 Test Case Execution Environment.............................................................................29
2.12 UE Capability Audit...................................................................................................... 29
2.12.1 GERAN only: TS 51.010-1 test case 26.6.11.2 (Deleted).............................29
2.12.2 GERAN/UTRA device: 3GPP TS 34.123-1 test case 8.1.5.7.......................29
2.12.3 UTRA only device: 3GPP TS 34.123-1 test case 8.1.5.7..............................30
2.12.4 UTRA/E-UTRA device: 3GPP TS 34.123-1 test case 8.1.5.7 and 3GPP TS
36.523-1 test case 8.5.4.1............................................................................30
2.12.5 GERAN/UTRA/E-UTRA device: 3GPP TS 34.123-1 test case 8.1.5.7 and
3GPP TS 36.523-1 test case 8.5.4.1............................................................30
2.12.6 E-UTRA only device: 3GPP TS 36.523-1 test case 8.5.4.1..........................30
2.12.7 NR only device: 3GPP TS 38.523-1 test case 8.1.5.1.1...............................30
2.12.8 E-UTRA/NR device: 3GPP TS 36.523-1 test case 8.5.4.1 and 3GPP TS
38.523-1 test case 8.2.1.1.1.........................................................................30
2.12.9 GERAN/UTRA/E-UTRA/NR device: TS 34.123-1 test case 8.1.5.7 and TS
36.523-1 test case 8.5.4.1 and TS 38.523-1 test case 8.2.1.1.1..................30
2.12.10 Device with GEA1 disabled: 3GPP TS 51.010-1 test case 44.2.5.2.5..........30
2.13 AT-Command Assessment Requirements (Deleted).................................................30
2.14 Execution of E-UTRA Channel Bandwidth Test Cases (Deleted).............................30
2.15 TTY Total Character Error Rate Reporting Requirement..........................................30
2.15.1 Reporting...................................................................................................... 31
2.15.2 Applicability................................................................................................... 31
2.16 Connection Efficiency.................................................................................................. 31
2.16.1 Applicability................................................................................................... 31
2.17 Supplementary Services and NITZ.............................................................................31
2.17.1 New Testing.................................................................................................. 31
2.17.2 Previously Certified Devices.........................................................................31
2.18 Embedded Secure Element (eSE)...............................................................................31
2.18.1 Applicability................................................................................................... 32
2.18.2 All other NFC Test Book Testing..................................................................32
2.19 Extreme Test Conditions (Deleted).............................................................................32
2.20 Execution of Test Cases for E-UTRA Carrier Aggregation (CA) (Deleted)..............32
2.21 IoT Cybersecurity Assessment Requirements (Moved to Section 4.2)...................32
2.22 Multi-Band Relaxation (MBR) Declaration/Execution Requirements (Deleted).......32
2.23 Alternative NB-IoT Guard Band Test Channels (Deleted).........................................32
2.24 Network Independent UICC Test Cases.....................................................................32
2.24.1 LTE-M and/or NB-IoT UICC Test Case Applicability.....................................32
Section 3 Application Enablers Evaluation, General Information................................................33
3.1 Application Enabler (AE) Test Applicability...............................................................33
3.1.1 AE Testing Required.....................................................................................33

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 3.1.2 AE Testing Not Required..............................................................................33
3.1.3 AE Test Specification....................................................................................33
3.1.4 ECOs 33
3.1.5 Application Enabler Certification Criteria......................................................33
3.1.6 AE Technical Requirements.........................................................................34
3.1.7 AE Options Table/ICS/Test Case Mapping Document.................................35
3.1.8 AE Interoperability Test Results....................................................................35
3.2 Specific Application Enabler Test Requirements......................................................35
3.2.1 Multimedia Messaging Service (MMS) (Deleted)..........................................35
3.2.2 Video Telephony (VT) (Deleted)...................................................................35
3.2.3 Instant Messaging Presence Service (IMPS) (Deleted)................................35
3.2.4 Push to Talk over Cellular (PoC) (Deleted)...................................................35
3.2.5 Java (Deleted).............................................................................................. 35
3.2.6 Device Management (Deleted).....................................................................35
3.2.7 Secure User Plane Location (SUPL)............................................................35
3.2.8 Browsing 2.3 (Deleted).................................................................................36
3.2.9 FUMO (Deleted)...........................................................................................36
3.2.10 SCOMO (Deleted)........................................................................................ 36
Section 4 Miscellaneous Certification Requirements...................................................................37
4.1 3GPP Audio Testing..................................................................................................... 37
4.2 IoT Cybersecurity Assessment Requirements..........................................................37
4.2.1 IoT Cybersecurity Certification Test Plan......................................................37
4.2.2 IoT Cybersecurity Test Applicability..............................................................37
4.3 Converged Wireless Testing.......................................................................................38
4.4 Utility IoT Device Assessment Requirements............................................................38
Appendix A Change History................................................................................................................... 40

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List of Figures
No table of figures entries found.

List of Tables
Table 2.7.2-1 PTCRB TC Database Parameter Field Naming Rules.........................................................12

Table 2.7.6-1 PTCRB Test Case Category Field Definitions.....................................................................14

Table 2.7.6.1-1 Category "A” Definition..................................................................................................... 15

Table 2.7.6.2-1 Category “B” Definition..................................................................................................... 16

Table 2.7.6.3-1 Category “D” Definition..................................................................................................... 17

Table 2.7.6.4-1 Category “E” Definition..................................................................................................... 18

Table 2.7.6.5-1 Category “N” Definition..................................................................................................... 19

Table 2.7.6.6-1 Category “S” Definition..................................................................................................... 19

Table 2.7.6.7-1 Category “P” Definition..................................................................................................... 20

Table 2.7.10-1 Single Prio Band Hierarchy................................................................................................ 21

Table 2.8-1 PTCRB Bands by RAT, Frequency Range and Band............................................................23

Table 2.9.2-1 IoT Device Characteristics................................................................................................... 26

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Section 1 Introduction

1.1 Purpose

The purpose of this Permanent Reference Document (PRD) is to provide version specific technical
framework within which GERAN, UTRA, E-UTRA, and NR device certification can take place.

Refer to the latest version of the PTCRB Program Management Document (PPMD) for the process
requirements.

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Section 2 Wireless Device Certification Test Requirements

2.1 Scope

This section of NAPRD03 specifies a common approach to the certification testing of

GERAN/UTRA/E-UTRA/NR wireless devices.

The intent of this document is to define the criteria such that certification testing of devices may be
performed on a consistent basis. This document is maintained by the PTCRB Working Group within
CTIA Certification LLC and is updated on a quarterly basis.

2.2 Introduction

This document is intended to advise PTCRB authorized test laboratories (known as CTIA
Certification Authorized Test Labs or ATLs) concerning the establishment of device conformity with
the reference specifications below. Information is presented to clearly identify which conformance
requirements may be evaluated using the reference test system configuration as defined in the
PTCRB TC (Test Case) Database and which conformance requirements may be evaluated using
other defined methods or equipment.

The PTCRB Test Case (TC) Database includes a concise report of the technical status of the
reference certification test equipment implementation. Where necessary, additional information may
be presented to enable tests to be performed and the results of tests to be interpreted in a
harmonized manner. TC Database provides a separate listing of the test cases. The PTCRB TC
Database shall be used as the primary reference for the actual test cases and applicable
categories.

2.3 Reference Test Specifications

2.3.1 GERAN:

[1] 3GPP TS 51.010 (formerly GSM 11.10)

[2] 3GPP TS 51.010-4 (Deleted)

2.3.2 UTRA:

[3] 3GPP TS 34.121

[4] 3GPP TS 34.123
[5] 3GPP TS 31.121 (USIM) (Deleted)
[6] 3GPP TS 31.124 (USAT)
[7] 3GPPTS 26.132 (Audio) (Deleted)
[8] 3GPP TS 34.108 (Deleted)
[9] ETSI TS 102 230 (UICC)
[10] ETSI TS 102 384 (UICC)
[11] 3GPP TS 34.124 (RSE)

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 2.3.3 E-UTRA:

[20] 3GPP TS 36.521

[21] 3GPP TS 36.523
[22] 3GPP TS 36.124
[23] 3GPP TS 36.508 (Deleted)
[24] 3GPP TS 31.121 (USIM)
[25] 3GPP TS 31.124 (USAT)

2.3.4 NR:

[30] 3GPP TS 38.124

[31] 3GPP TS 38.521
[32] 3GPP TS 38.523
[33] 3GPP TS 38.508 (Deleted)
[34] 3GPP TS 38.533
[35] 3GPP TS 31.121 (USIM)
[36] 3GPP TS 31.124 (USAT)

2.3.5 Data Throughput:

[50] 3GPP TR 37.901

2.3.6 Near Field Communication (NFC):

[60] ETSI TS 102 694 (SWP)

[61] ETSI TS 102 695 (HCI)
[62] GSMA PRD TS.27

2.3.7 Positioning:

[80] 3GPP TS 34.171 (Deleted)

[81] 3GPP TS 37.571
Positioning Exceptions tables moved to PVG.05

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 Note 1: Void.

Note 2: Void.

2.3.8 Cybersecurity Evaluation:

[100] CTIA Cybersecurity Certification Test Plan for IoT Devices

2.3.9 Device RF Performance Evaluation:

[99] CTIA Certification Test Plan for Wireless Device Over-the-Air Performance, Version
4.0.x
[101] CTIA Certification Test Plan for Wireless Device Over-the-Air Performance,
Current Version
[102] CTIA Certification Test Plan for 2X2 Downlink MIMO and Transmit Diversity Over-
the-Air Performance, Current Version.
Found at https://ctiacertification.org/test-plans/

2.3.10 Wi-Fi RF Performance Evaluation:

[103] CTIA Certification/Wi-Fi Alliance Test Plan for RF Performance Evaluation of Wi-Fi
Mobile Converged Devices, Current Version.
Found at https://ctiacertification.org/test-plans/

2.3.11 MMS (Multimedia Messaging Service) (Deleted)

2.3.12 OMA SUPL (Secure User Plane Location) 1.0, 2.0

[121] OMA-ETS-SUPL-V1_0
[122] OMA-ETS-SUPL-V2_0

2.3.13 IP Multimedia Subsystem (IMS)

[130] 3GPP TS 34.229

2.3.14 OMA DM 1.2 (Deleted)

2.3.15 TTY:

[150] PTCRB Bearer-Agnostic TTY Test Specification, Version 2.0

[151] GERAN TTY Test Specification, Rev. 4.31 (Deleted)
[152] TTY UTRA Test Specification, Rev. 2.0 (Deleted)

Note 3: Void

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 Test case applicability as per PTCRB Bearer-Agnostic TTY Test Specification Section 8
shall apply.

2.3.16 A-GNSS Radiated Performance:

[101] CTIA Certification Test Plan for Wireless Device Over-the-Air Performance Current
Version

2.3.17 AT-Commands (Deleted)

2.3.18 OMA FUMO 1.0 (Deleted)

2.3.19 Connection Efficiency

[170] GSMA PRD TS.35

2.3.20 Remote SIM Provisioning

[171] GSMA PRD SGP.23

2.3.21 PTCRB Validation Group (PVG) Permanent Reference Documents:

[202] PVG.02: “Terms of Reference and Working Procedures”

[203] PVG.03: “Evolution Tracking of PTCRB Certification Test Cases and
Requirements”
[204] PVG.04: “Guideline for Radiated Spurious Emission Testing”
[205] PVG.05: “Guideline for Test Case Redundancy and Relaxations”
[206] PVG.06: “Frequently Asked Questions (FAQ)”
[207] PVG.07: “Recommended Test Case List for PTCRB Inter-Laboratory Comparison
Testing”
[208] PVG.08: “AT Command Assessment Guideline”
[209] PVG.09: “Guideline for LTE Data Throughput Testing Verification”
[210] PVG.10:”Guideline for Testing of Devices with Multi-SIM/ (USIM)”
[211] PVG.11: “Overview of Required Frequency Bands and Frequency Band
Combinations for E-UTRA and 5G”
[212] PVG.12: “Process on How to Deal with Test Case Failures During Certification”
[213] PVG.13: “Confidence Test Case List for Modules Using Certified Chipsets or End
Products Using Certified Chipsets”

2.3.22 Utility IoT Device Evaluation:

[214] CTIA Certification Utility IoT Device Test Plan

Found at https://ctiacertification.org/test-plans/

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 2.3.23 General Notes:

Note 4: The core specification citations from 3GPP, OMA, and other Standards Bodies
referenced in this document, represent the definitive specification(s) for expected device
behavior as applicable.

For protocol tests, where 3GPP or OMA have developed TTCN, the official TTCN
represents the definitive specification(s) for test cases utilizing this scripting language.
Other protocol test implementations are allowed if they are based on prose for which
there is a corresponding 3GPP or OMA specification.

In the event of conflicting results between test platforms, equipment using TTCN
developed by 3GPP or OMA if available, represents the correct implementation until
proven otherwise.

2.4 Participating Organizations

Technical validation of the test systems included in this document has been conducted by the
PTCRB Validation Group (PVG). A list of members can be obtained from document PVG.02.

2.5 List of Tests for Accredited Testing

The PTCRB TC Database shows the status of validated tests approved for certification testing.
Where a variation or specific interpretation of a test specification or test method is required by the
PTCRB Primary Test Laboratory, this will be recorded in the PTCRB TC Database.

2.6 Document Amendments

Any amendment proposals shall be submitted as a contribution to the PTCRB Working Group.

2.7 Data Fields Used by the PTCRB Test Case (TC) Database

2.7.1 Test Specification Field

A document defining the test approach for a feature or combination of features, and the
initial conditions execution conditions, and the pass/fail criteria for the related tests.

2.7.2 Parameter Value Field

Test case as defined in the associated test specification. Note: When the test case
utilized multiple bands, such as tests pertaining to E-UTRA Carrier Aggregation, NR
Dual-Connectivity, NR Carrier Aggregation, etc. the specific bands to be tested are
denoted in a 3GPP-standardized band combination. The 3GPP-standardized band
configuration is contained within square brackets.

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 TABLE 2.7.2-1 PTCRB TC DATABASE PARAMETER FIELD NAMING RULES

Test Case
Technology Parameter: Comment
Allowed Values
n2 Numeric values for the NR bands shall prepend a lower-case “n”
NR Bands
n260 to the band number without any leading zeros.
n25-n66 Numeric values representing Inter-Band between two NR bands.
DC_14A_n2 Numeric values for EN-DC configuration with at least one E-
DC_2A_n260A UTRA band(s) and one NR FR1 or FR2 band(s).
Numeric values for LTE-CA configurations with at least two E-
LTE-CA and NR-CA CA_2A-17A
UTRA component carriers or at least two NR component carriers
Bands CA_n66A-n71A
as Carrier Aggregation configurations.
Numeric values for the NR bands which utilize 4RX shall append
NR 4Rx Bands n7_RX4
“_RX4” to the band number without any leading zeros.
FDD4 Numeric values without leading zeros for the E-UTRA bands and
E-UTRA Bands
TDD41 their corresponding duplex mode shall be used.
Numeric values without leading zeros for E-UTRA bands
FDD4M applicable to LTE-M shall append an upper-case "M" to the band
number.
UTRA bands shall utilize Roman numerals to differentiate
UTRA Bands FDDII
between UTRA & E-UTRA.
GERAN bands with no qualification before or after the actual
GERAN Bands 1900
band definition.
The test case can be performed with any frequency band within a
General Band Independent
radio technology, supported by the device.
The test case can be performed with any RAT supported by the
Bearer agnostic
device
The LTE-M test case can be performed with any frequency band
BI-M
within an LTE-M radio technology, supported by the terminal.
The LTE-M test case can be performed with any frequency band
Network Independent
within an LTE-M radio technology, supported by the device.
The test case can be performed with priority EN-DC configuration
EN-BI
defined in Table 2.7.10-1, supported by the device.
The test case can be performed with priority NR band defined in
NR-BI
Table 2.7.10-1, supported by the device.

2.7.3 Description Field

Test case description as defined in the associated test specification.

2.7.4 RFT (Request For Test) Field

An RFT is a request by the PTCRB Working Group to include test cases for a specific
band, band combination, feature and/or function. The “RFT indication” field in the
PTCRB TC Database shows the association between any given test case and its
associated RFT. All RFTs are maintained in PTCRB PVG.03 and in the RFT portion of
the PTCRB TCDB.

2.7.5 Test Platform Fields

Each validated test platform shall have an associated Test Platform (TP) number, the
relationship for which is maintained in the PTCRB TCDB in the fields labeled “V”. “E” or
“D”, as described below:

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 2.7.5.1 Validation Status Information:
V (Validated): A Test Platform having fully fulfilled the validation criteria complying
with the latest version(s) of the test specification(s).
E (Exception): A Test Platform partially fulfilling the validation criteria and/or just
partially complying to the latest version(s) of the test specification(s).
D (Downgrade): A Test Platform that has been downgraded and is currently not
recommended to be used for certification testing process.

2.7.6 Category Field (PTCRB Test Case Category)

The following test case categories shall be used

TABLE 2.7.6-1 PTCRB TEST CASE CATEGORY FIELD DEFINITIONS

Test case is fully validated, and available in PTCRB

Category "A"
authorized test laboratories
Test case is available in PTCRB authorized test
Category "B"
laboratories with exceptions
Category "C" Reserved category
Test case is downgraded and is not a certification
Category "D"
requirement
Test case is validated, and results are provided in the
Category "E” certification test report. Failure of the device to pass this
test case will not prevent its certification.
Category "N” Not applicable (all versions of NAPRD03)
Not applicable for this version and all later NAPRD03
versions (e.g., execution of this test is suspended). This
Category "S”
test case may be applicable for previous NAPRD03
versions.
New test case not yet validated or a test case that has been
Category "P”
downgraded for more than 45 days.

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 2.7.6.1 Category "A"

TABLE 2.7.6.1-1 CATEGORY "A” DEFINITION

Definition of this category:

Device conformance is tested by a PTCRB authorized test laboratory as indicated
in the "tested band" column. Conformity of the device is demonstrated in a PTCRB
authorized test laboratory using validated test programs on appropriate test
equipment reference configuration listed in TC Database.
Interoperability testing:
This test purpose is tested according to Section 3.2 of this document.
This category is used for:
All test purposes covered by validated Means of Test or a defined interoperability
methodology
Test case result:
A Category A test case shall be passed for the device to obtain PTCRB
certification.
See the guidelines of PVG.12 for the process on how to deal with test case failures
during certification.

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 2.7.6.2 Category "B"

TABLE 2.7.6.2-1 CATEGORY “B” DEFINITION

Definition of this category:

Device conformance is tested to the extent possible by a PTCRB authorized test
laboratory as indicated in the "tested band" column. Conformity of the device is
demonstrated to the extent possible in a PTCRB authorized test laboratory using
validated test programs on an appropriate test equipment reference configuration
listed in TC Database.
This category is used for:
a) Means of Test where test purposes are not fully tested, because parts of the
Means of Test are incorrect and therefore not valid for accredited testing.
b) Means of Test where a "PASS" verdict is a valid verdict, but a "FAIL" verdict may
not be valid.
c) Means of Test not validated for a special device configuration.
Example:
1) Parts of a Means of Test are validated because some sections of the test
program are faulty and therefore the referenced test purpose might be partly
covered, or other referenced test purposes are not covered at all.
2) A Means of Test is running up to a specific test section where more than one
correct device behavior would be possible but only one specific behavior is allowed
by the test program and therefore it might unfairly “FAIL” in this section.
3) A Method of Test is written for a TCH/S device and a DATA-only device, but the
test can be performed for a TCH/S device only.
Test case result:
A Category “B” test case shall be passed for the device to obtain PTCRB
certification, with exception to certain cases.
See the guidelines of PVG.12 for the process on how to deal with test case failures
during certification.

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 2.7.6.3 Category "D"

TABLE 2.7.6.3-1 CATEGORY “D” DEFINITION

Definition of this category:

The test has previously been in category “A”, “B” or “E” but has been “downgraded”
due to an issue with the test case implementation, test platform and/or test
specification and there are no valid Means of Test available.
Unless the test case issue is resolved and the test case re-validated within 45 days
of approval of the test case downgrade, the test case will revert to Category “P”
(45-day rule). The date, time and rationale for each Category D downgrade shall
be documented.
This category is used for:
An indication that a test case was earlier a certification requirement but has been
downgraded due to an issue with the test case; the test case can be revalidated by
application of the “5 day rule” and immediately be re-introduced as a certification
requirement.
Example:
A PTCRB authorized test laboratory has found an issue with a test case
implementation that means the test case cannot be used for certification testing.
The PTCRB Full Test Laboratory or PTCRB Associate Test Laboratory has raised
a change request by application of the “5-day rule” explaining the issue and
proposing to downgrade the test case. On approval of the 5 day rule the test case
category is changed to “D” indicating the test case has been downgraded and is no
longer a certification requirement. If the test case is not corrected and re-validated
with 45 days, it will revert to Category “S” and be treated as though a suspended
test case with no current valid means of test.
Test case result:
A Category “D” test case is not executed.

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 2.7.6.4 Category "E"

TABLE 2.7.6.4-1 CATEGORY “E” DEFINITION

Definition of this category:

Tests that have been validated but are under evaluation are allocated to Category
"E". Category “E” tests shall be performed by a PTCRB authorized test laboratory
on devices as indicated in the "tested band" column; the results of which will not
gate issuance of an IMEI. The results of these tests shall be presented as part of
the certification test results. The results shall also include comments pertaining to
the reason of any failures experienced within a Category “E” test case. This shall
include whether the test case is believed to be at fault and an indication that the
test equipment manufacturer has been contacted. If it is believed to be a device
failure, the comment shall include what type of error was indicated by the test
equipment.
Where a Category “E” test case has failed on a previous certification of the device
or is leveraging results from a related device (i.e., Parent, Module), if changes
have been made to the device which may alter the result of the test case, the test
shall be re-run for the subsequent certifications.
Where a Category “E” test case has failed due to a fault of the test implementation
on a previous certification of the device or is leveraging results from a related
device (i.e., Parent, Module), if changes have been made to the test
implementation, the test shall be re-run for the subsequent certifications.
Interoperability tests may be executed by the manufacturer as defined in Section
3.2 of this document.
This category is used for:
Test for features that were new or not supported by all operators, will also include
recently validated tests prior to being moved to Category "A".
Example:
Tests that have been validated but have not been moved to Category "A" such as
new 5G test cases or features not supported by all operators such as MTSI Voice
via 5GS or EN-DC including FR2.
Test case result:
A Category “E” test case shall be executed. However, a Pass result is not required
for the device to obtain PTCRB certification.
See the guidelines of PVG.12 for the process on how to deal with test case failures
during certification.

Addition of Tests to Category "E"

A PTCRB Working Group member may request inclusion of a specific test in Category
“E”. The PTCRB Operator Steering Group shall review the test and if approved by the
group, the test is moved to Category “E”. All new tests submitted by the PVG will
initially become Category "E".

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 Moving Tests from Category "E" to Any Other Category:
A PTCRB Working Group member may request the movement of a specific test from
Category "E" into another Category (“A”, “B”). Alternatively, the test may be removed.
The PTCRB Operator Steering Group shall review the change request proposal. If the
change request proposal is approved by the group, the test will change to the
proposed category.

2.7.6.5 Category "N"

TABLE 2.7.6.5-1 CATEGORY “N” DEFINITION

Definition of this category:

This listed test does not require any testing nor declaration for all NAPRD03
versions
This category is used for:
Test execution not required
Example:
Band specific tests required testing in 1900 but not required in 850.
Test case result:
A Category “N” test case is not executed.

2.7.6.6 Category “S”

TABLE 2.7.6.6-1 CATEGORY “S” DEFINITION

Definition of this category:

This listed test does not require any testing nor declaration for this version and all
later NAPRD03 versions. This test case may be applicable for previous NAPRD03
versions.
This category is used for:
Test execution not required for this version and all later NAPRD03 versions. It
may be required to execute this test case for previous NAPRD03 versions.
Example:
A test case has been suspended and replaced by a re-defined test case.
Test case result:
A Category “S” test case is not executed for this version and all later NAPRD03
versions.

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 2.7.6.7 Category “P”

TABLE 2.7.6.7-1 CATEGORY “P” DEFINITION

Definition of this category:

Tests which have been specified by an RFT and have never been validated on
commercially available test equipment. Validation reports shall be submitted to
PVG meetings for PTCRB approval, and test cases can only change to category
“E” in a new version of NAPRD03 as defined above.
This category is used for:
Instances where no test solution has ever been available. Note: Beginning with
NAPRD03 V 6.2, test cases that were, at one time, validated but were
subsequently downgraded are no longer moved to Category P after expiry of the
45-day rule, but are moved to Category S instead.
Test case result:
A Category “P” test case is not executed.

2.7.7 Technology Area Field

This identifies the technology area of the test case. This is primarily used to determine
capabilities of a PTCRB Full Test Laboratory or PTCRB Associate Test Laboratory.

2.7.8 TC Cluster Field

This field identifies clusters (groupings) of test cases for transfer validation purposes.

2.7.9 Test Case Classifications

2.7.9.1 Bearer Agnostic

A test case which is independent of the RAT bearer or frequency band used during
the test (typically used for Application Enablers).

2.7.9.2 Band Independent

The performance of test cases is not influenced by the bearer band used for the test
scenario. The test case can be performed with any PTCRB bearer band within a radio
technology, supported by the device.

2.7.9.3 Network Independent

A test case which is validated without the use of a RAT bearer (e.g., SIM interface
specific tests).

2.7.9.4 Bearer Band

A test case that has been validated for specific frequency bands and/or technology
(e.g., GSM1900, FDD2).

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 2.7.10 Test Case Sub-Classifications for all “Bearer Band” Tests

Bearer to be Tested: Defines the RAT bearer(s) and band(s) in which the device shall
be tested.
“Single” indicates that the applicable test case (e.g., protocol testing) shall be
executed in a single PTCRB Band with no specified band prioritization.
“FR Single” indicates that the applicable NR test case (e.g., protocol testing) shall be
executed in a single PTCRB NR FR1 Band and a single NR FR2 Band with no
specified band prioritization.
“NR Single prio” indicates that the applicable test case shall be executed in a single
PTCRB NR Band with a band execution priority order to be followed as specified
in Table.2.7.10-1 below

TABLE 2.7.10-1 SINGLE PRIO BAND HIERARCHY

Bearers to Parameter Value Priority Bands to be tested

be Tested

NR Single EN-BI Priority 1: DC_5A_n66A

prio
Priority 2: DC_66A_n78A
Priority 3: DC_12A_n66A
Priority 4: Any EN-DC configuration supported
by the Device for which validated
EN-BI tests are available

NR Single NR-BI Priority 1: n66

prio
Priority 2: n71
Priority 3: n2

Note: Inter-band test cases shall be executed if the frequency band combinations are
supported by the device.
"All" indicates that the device shall be tested in all PTCRB Bands relevant to the RAT
under test. Section 2.8 of this document identifies all PTCRB Bands by RAT. Test
cases defined for GCF Bands shall be executed as indicated within the applicable
GCF-CC. Bands identified by both PTCRB and GCF are defined as PTCRB Bands
and test execution in these bands shall follow PTCRB rules. Inter-RAT test cases
shall be executed in all frequency band combinations supported by the device.
“I-RAT Single” – indicates an Inter-RAT test case that shall be executed in a single
band combination. Inter-RAT test cases are split into separate test case parts for
each possible band combination. Inter-RAT test cases shall be executed in
PTCRB Bands.
Blank – indicates that the test does not require a bearer
"RAT All" indicates that the applicable test case shall be executed once in each
supported RAT but only in PTCRB Bands within each supported RAT.

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 “TS Rule” indicates that the applicable test case has specific execution requirements
as detailed in the relevant test specification.
Where test cases have been identified as redundant between UTRA and GERAN, or
where a mixture of test capabilities for UTRA and GERAN band support exist, testing
shall be performed according to the following rules:
 If UTRA FDD is supported by the device and the test case in question has
been validated for FDD Band II or V, then execute the test in one of these
UTRA-FDD PTCRB Bands. Note: For instances in which the test case is
only available in bands supported by GCF-CC, execution of the test in a
GCF-CC UTRA band is preferred over GCF-CC GERAN.

 If UTRA FDD is not supported by the device but GSM1900 or GSM850 is

supported by the device and the test case in question has been validated for
GSM1900 or GSM850, then execute the test in one of the GERAN PTCRB
Bands supported by the device.

2.7.11 Special Rules and Exceptions:

Audio testing shall be performed according to the rules as defined in Section 2.9.6 of this
document.
GCF Certification test results for GCF Bands (i.e., bands not listed in the latest PVG.11),
will be recognized as a substitute for PTCRB test results in the GCF bands, provided the
GCF RTO (Recognised Test Organisation) executing the tests is, at a minimum, an
active Observing member of the PVG (i.e., a lab with regulatory duties within a specific
country or PTCRB device Manufacturer).
The applicability of leveraged test results from the GCF certification test scope shall be
confirmed by the PTCRB Primary Test Laboratory responsible for the Initial PTCRB
certification of the device.
Otherwise, any GCF Band test cases assessed as potentially failing to meet PTCRB
requirements shall be performed in a PTCRB Full Test Laboratory or PTCRB Associate
Test Laboratory as delegated by the PTCRB Primary Test Laboratory. Spot-checking of
leveraged test results may be allowed at the discretion of the PTCRB Primary Laboratory.
The PTCRB Primary Test Laboratory shall be responsible for uploading the GCF
Certification test results to the PTCRB certification database along with their own test
results.
Note: An active Observing PVG member will be listed in the appropriate section of
PVG.02 Annex 2 and will attend at least one PVG meeting and one PTCRB Plenary
meeting per year.
For bearer-agnostic testing refer to NAPRD section “Application Enabler (AE) Test
Applicability”.

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 2.8 PTCRB Bands

The following 3GPP-defined bands have been identified as PTCRB Bands in this and all other
PTCRB documents:

TABLE 2.8-1 PTCRB BANDS BY RAT, FREQUENCY RANGE AND BAND

GERAN UTRA E-UTRA NR FR1 NR FR21

850 MHz Band II FDD Band 2 FDD Band n2 n257

1900 MHz Band V FDD Band 4 FDD Band n5 n258

FDD Band 5 FDD Band n7 n260

FDD Band 7 FDD Band n12 n261

FDD Band 12 FDD Band n14

FDD Band 13 FDD Band n25

FDD Band 14 FDD Band n26

FDD Band 25 FDD Band n292

FDD Band 26 FDD Band n30

FDD Band 293 TDD Band n38

FDD Band 30 TDD Band n41

TDD Band 41 TDD Band n48

TDD Band 42 FDD Band n66

TDD Band 43 FDD Band n70

TDD Band 48 FDD Band n71

FDD Band 66 TDD Band n77

FDD Band 71 TDD Band n78

FDD Band 85

1
The NR FR2 bands list in this column have been included to provide FR2 conformance test coverage
and shall be considered EN-DC configurations including FR2 with LTE anchor-agnostic approach.
2
NR FR1 FDD Band 29 supports SDL-only, and as such is only supported during NR NSA EN-DC
operation.
3
E-UTRA FDD Band 29 supports SDL-only, and as such is only supported during E-UTRA CA operation.

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 The further information of PTCRB certification bands and/or supporting Operator(s) information
shall refer to latest version of PTCRB Validation Group (PVG) Permanent Reference Documents
[211] PVG.11.

2.9 RF Performance Evaluation

RF Performance Evaluation is a mandatory requirement for all device types going through PTCRB
Certification (the Category Field in the PTCRB TCDB is informative only.) OTA device assessment
shall be based on the requirements described in sub-clause 2.9.1 through 2.9.5 below.

2.9.1 OTA Performance Test Requirements for Non-IoT Devices

All devices (other than IoT devices) shall be tested for OTA performance as part of
PTCRB certification according to the requirements described in this section:

OTA performance requirements for IoT devices are specified in Section 2.9.2 of this
document.

The test plan to be utilized for the evaluation of OTA Performance for GERAN, UTRA, E-
UTRA, NR FR1 and/or FR2 devices is the version of “CTIA Certification Test Plan for
Wireless Device Over-the-Air Performance” [101] in effect at the time the device’s
certification request is submitted to the PTCRB certification database.

The latest version of the CTIA Certification Test Plan for Wireless Device Over-the-Air
Performance can be downloaded from CTIA Certification’s web site at
https://ctiacertification.org/test-plans/.

If the device supports GNSS or A-GNSS (Note: the GNSS or A-GNSS feature checkbox
shall be checked in the PTCRB certification database), it shall be tested according to
[101].

A listing of CTIA Certification Authorized Test Labs (ATLs) capable of conducting the
testing described in [101] can be found on the same web site (under OTA Performance
authorized testing capability).

A-GNSS tests may include the optional System Information Broadcast (SIB) messages
SIB8 and/or SIB16 according to the requirements of the device’s Target Operator(s).
Prior to lab submission, device manufacturers shall contact the device’s target
operator(s) for operator requirements concerning A-GNSS testing with SIB8 and/or
SIB16, and then make the appropriate declaration in their lab submission with respect to
A-GNSS testing with SIB8 and/or SIB16.

In their lab submission, the device manufacturer shall identify the option to be used as
defined in [99] Document 01.51, Sections 2.5.4, 2.5.5 and 2.5.6, as applicable,
concerning the possible use of SIB8 and/or SIB16.

Devices which support Carrier Aggregation shall be tested for performance of all relevant
CA combinations according to [101] and the corresponding Operator Priority List for the
set of Target Operator(s) identified by the manufacturer. No other CA combinations shall
be tested unless specifically requested by the Target Operator(s).

The device manufacturer shall consult with the Target Operator(s) to determine whether
they have unique OTA test requirements.

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 Some devices include sensors which reduce the transmitter’s RF output power when in
close proximity to the user. TRP measurements of any device that includes user
proximity RF power reduction shall be made according to the requirements of [99],
Document 01.01, Section 2.1.3, Table 2.1.3-1, Note 2, as applicable.

2.9.2 OTA Performance Test Requirements for IoT (internet of Things) Devices

OTA performance test applicability for IoT devices shall be determined as described in
[99] or [101], as applicable, with these special considerations:
 Some devices include sensors which reduce the transmitter’s RF output power
when in close proximity to the user. TRP measurements of any device that
includes user proximity RF power reduction shall be made according to the
requirements of [99], Document 01.01, Section 2.1.3, Table 2.1.3-1, Note 2, as
applicable.

OTA Performance Test Applicability – IoT (Internet of Things) devices, OTA test
applicability for IoT/M2M devices shall be determined through a combination of the use of
[99], Document 01.01, Section 2.1.2 or 2.1.3 (as applicable) in conjunction with the IoT
device characteristics listed in Table 2.9.2-1 below.

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 TABLE 2.9.2-1 IOT DEVICE CHARACTERISTICS

IoT Device Characteristic Response (Y/N)

1 In its intended application, does the IoT device transmit

more than 100 Kbytes in a transaction?

2 On average, is the IoT device expected to send more than

24 transactions per day?

3 Is the IoT device and its antenna intended for installation

in a fixed orientation relative to the horizon?

The following requirements apply regardless of the responses in Table 2.9.2-1 above:
 OTA testing shall only be required in the highest-order RAT supported by the
IoT device.
 OTA testing is required in each supported band within the highest-order RAT
supported by the IoT device.
 If the IoT device supports a band in a lower-order RAT that’s not supported in
the high-order RAT, the band in the lower-order RAT shall also be tested for
OTA performance.

If the IoT device vendor’s response to all of the questions (1) through (3) in Table 2.9.2-1
above is “N”, then the following test requirements 2.9.2.1 through 2.9.2.4 shall apply:

2.9.2.1 TRP Testing shall be performed on all supported bands and all channels as
required by [101]

2.9.2.2 TIS testing shall be performed only in the mid-channel for each supported
band above 1 GHz.

2.9.2.3 TIS testing shall be performed in the low, mid, and high channel for each
supported band below 1 GHz.

2.9.2.4 Testing shall be performed using an anechoic chamber or a reverberation

chamber by an OTA ATL.
o If the device vendor’s response to questions (1) and (2) in Table 2.9.2-1
is “N”, but the response to question (3) is “Y”, then in place of TRP and
TIS, this type of IoT device shall be tested for near-horizon radiated
performance as described below:
• NHPRP ±30° Testing shall be performed on all bands and all
channels as required by Table 2.9.2-1 above
• NHPIS ±30° Testing shall be performed only in the mid channel
for each band supported by Table 2.9.2-1 above

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 o NHPRP and NHPIS testing shall be performed by an ATL in an anechoic
chamber. If the IoT device is physically too large to test in the anechoic
chamber, then testing shall be performed in a reverberation chamber,
and the reported metrics shall be TRP and TIS.

Free-Space testing is optional for notebooks which qualify as “Child” platforms in

the PPMD.

2.9.3 Applicability of OTA Performance Testing to ECOs

OTA Performance testing shall be conducted on an ECO if the associated changes

impact any of the following areas:

2.9.3.1 Hardware design changes applicable to any of the RATs listed in [101] as
well as GNSS

2.9.3.2 Calibration data/procedure applicable to any of the RATs listed in [101] as

well as GNSS

2.9.3.3 Maximum output (radiated) power

If the changes do not impact these areas AND conducted RF output power in all
supported bands has not changed by more than +/- 1 dB, then OTA performance testing
on the ECO is not necessary. The lab shall then upload a document to the PTCRB
certification database, in the Test Results area, providing this justification (see Laboratory
Test Report Content section of PPMD).

ECOs for devices supporting MIMO, which were not required to execute MIMO OTA for
the initial certification, are not required to execute the MIMO OTA testing called for in
Section 2.9.4 of this document.

2.9.4 Receive Diversity / MIMO

2.9.4.1 If the device supports receive diversity, the diversity test conditions shall be
in accordance with [101].

2.9.4.2 If the device supports MIMO, the device shall be tested using the
methodology described in [102].

2.9.4.3 Per 3GPP TS 36.306, Category 1 and higher LTE devices are required to
support two antennas.

Any device unable to support the secondary antenna shall be required to submit a waiver
request. If the waiver request is approved, the PTCRB Primary Test Laboratory shall
check the LTE Single-Antenna Receiver checkbox in the OTA Performance Test area of
the PTCRB certification database and upload the waiver request here. This requirement
shall be checked on all devices regardless of whether they undergo OTA Performance
testing.

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 2.9.5 Reduction of OTA Test Case Redundancy

The purpose of this section is to eliminate the need to execute certain specified OTA and
GNSS performance tests in bands which overlap.

The overlapping band rules specified by the following references shall apply to all band-
specific OTA and GNSS performance tests.

• [99] Document 01.50, Section 4.1.1, Table 4.1.1-1 (LTE TRP)

• [99] Document 01.50, Section 4.1.2, Table 4.1.2-1(LTE TIS)

• [99] Document 01.50, Section 4.5.1, Table 4.5.1-1 (LTE-M TRP)

• [99] Document 01.50, Section 4.5.2, Table 4.5.2-1 (LTE-M TIS)

• [99] Document 01.50, Section 4.6.1, Table 4.6.1-1 (NB-IoT TRP)

• [99] Document 01.50, Section 4.6.2, Table 4.6.2-1 (NB-IoT TIS)

• [99] Document 01.50, Section 5.1.1, Table 5.1.1.1-1 (NR FR1 SA TRP)

• [99] Document 01.50, Section 5.1.1, Table 5.1.1.2-1 (NR FR1 SA TIS)

• [99] Document 01.51, Section 2.5.4.1, Table 2.5.4.1-1 (LTE A-GNSS)

• [99] Document 01.51, Section 2.5.5.1, Table 2.5.5.1-1 (LTE-M A-GNSS)

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 If the device supports both NR SA and NSA:

2.9.5.1 OTA performance testing of each supported SA band is required.

2.9.5.2 OTA performance testing of supported NSA bands shall be executed

according to the current version of [99], Document 01.02 (CTIA OTA
Operator Priority List) based on the device’s Target Operator(s).

2.9.5.3 Each applicable band combination per 2.9.5.2 shall be tested according to
the per-band test` configuration described in [99], Document 01.50, Section
5.1.2.

2.9.6 Audio Testing (Moved to Section 4.1)

2.9.7 Radiated Spurious Testing

Radiated Spurious Emissions (RSE) testing shall be conducted according to the

guidelines established in PVG.04, “Guideline for Spurious Emission Radiated Testing”.

2.9.8 Method for Measuring Power Reduction Due to Proximity Sensor

2.9.8.1 Measuring Power Reduction Due to Proximity Sensor Applicability

The requirements in this section are applicable to all devices which utilize a proximity
sensor for transmit power reduction.

The device manufacturer shall include documentation describing the device’s maximum
power reduction and power tolerance for each supported band in the Low, Mid and High
channels.

This test shall be performed according to [99] Document 01.01, Section 2.1.3, Table
2.1.3-1, Note 2.

2.10 E-UTRA / E-UTRA Carrier Aggregation (CA) Interoperability Testing (Deleted)

2.11 Test Case Execution Environment

Device certification shall be conducted with all frequency bands enabled according to its
capabilities. Devices shall not be reconfigured for any testing purposes.

2.12 UE Capability Audit

For Initial Certifications and Parent devices, the PTCRB Primary Test Laboratory shall
ensure that the contents of the UE Capability Information Elements are correctly reported
to the network as specified in the device’s relevant PICS/PIXIT statements.

This shall be achieved by successfully running the validated test cases as follows:

2.12.1 GERAN only: TS 51.010-1 test case 26.6.11.2 (Deleted)

2.12.2 GERAN/UTRA device: 3GPP TS 34.123-1 test case 8.1.5.7

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 2.12.3 UTRA only device: 3GPP TS 34.123-1 test case 8.1.5.7

2.12.4 UTRA/E-UTRA device: 3GPP TS 34.123-1 test case 8.1.5.7 and 3GPP TS
36.523-1 test case 8.5.4.1

2.12.5 GERAN/UTRA/E-UTRA device: 3GPP TS 34.123-1 test case 8.1.5.7 and

3GPP TS 36.523-1 test case 8.5.4.1

2.12.6 E-UTRA only device: 3GPP TS 36.523-1 test case 8.5.4.1

2.12.7 NR only device: 3GPP TS 38.523-1 test case 8.1.5.1.1

2.12.8 E-UTRA/NR device: 3GPP TS 36.523-1 test case 8.5.4.1 and 3GPP TS
38.523-1 test case 8.2.1.1.1

2.12.9 GERAN/UTRA/E-UTRA/NR device: TS 34.123-1 test case 8.1.5.7 and TS

36.523-1 test case 8.5.4.1 and TS 38.523-1 test case 8.2.1.1.1

2.12.10 Device with GEA1 disabled: 3GPP TS 51.010-1 test case 44.2.5.2.5

For any PTCRB Variant / ECO Request, a UE Capability Audit shall be conducted by
PTCRB Full Test Laboratory. This audit is required for all Variant / ECO Requests where
the GERAN, UTRA or E-UTRA functionality of the device has been changed or any
changes have been made to any feature group functionality. Where MMI only changes
have been implemented that have no impact on these areas, the UE Capability Audit will
not be required.

These requirements do not apply to Integrated Devices, i.e., devices embedding a

PTCRB-certified module with the exception of Integrated Devices embedding a PTCRB-
certified module disabling VoLTE features, in which case a PTCRB Authorized Test
Laboratory shall perform a UE Capability Audit per NAPRD03 Section 2.12.6 through
2.16.8.

2.13 AT-Command Assessment Requirements (Deleted)

2.14 Execution of E-UTRA Channel Bandwidth Test Cases (Deleted)

The section for E-UTRA channel bandwidth test cases has been moved to PVG.05.

2.15 TTY Total Character Error Rate Reporting Requirement

This section defines the requirements for reporting TTY Total Character Error Rate (TCER)
measurements.

TTY testing is an optional PTCRB certification requirement. The device manufacturer shall consult
with the operator(s) to which they intend to deploy the device to determine whether this testing is
required. If target operator(s) do not require TTY testing the PTCRB Primary Laboratory can upload
a declaration of no testing required.

TTY test cases shall utilize TP100 to execute testing regardless of the validation status.

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 2.15.1 Reporting

TTY TCER measurements results used for conformance testing shall be included in the
associated test report. TCER shall be reported to a precision of one-tenth of a percent.

2.15.2 Applicability

Requirement applies to all TCER test cases in the PTCRB Bearer Agnostic TTY Test
Specification [150]; specifically test cases 9.3, 9.4, 9.5, 9.6, 9.8, 9.9, and 9.10.

2.16 Connection Efficiency

This section defines the requirements for the applicability of the current version of GSMA TS.35 IoT
Device Connection Efficiency testing.

2.16.1 Applicability

Testing requirements apply to all IoT devices supporting 3GPP Release 8 – 12 IoT
Devices.

Devices implementing eUICC shall be exempt until eUICCs are incorporated into GSMA
TS.34 and TS.35.

Test requirement is based on Test Applicability and Classification from GSMA TS.35
Annex C.

IoT Devices shall execute Connection Efficiency tests using the highest RAT supported
by both the test case and the device.

2.17 Supplementary Services and NITZ

This section identifies the requirements for devices supporting Supplementary Services or NITZ.
This applies to the test cases of 3GPP TS 34.123-1, section 15.

2.17.1 New Testing

Any new device testing or required retesting shall be done utilizing the validated test
cases of 3GPP TS 34.123-1.

2.17.2 Previously Certified Devices

Devices previously certified with the test cases of 3GPP TS 51.010 will not be required to
retest with the test cases of 3GPP TS 34.123-1 unless the ECO changes have warranted
retesting of the functionality. In this case, the 3GPP TS 34.123-1 version of the test case
shall be utilized.

2.18 Embedded Secure Element (eSE)

This section identifies the requirements for devices supporting eSE. This refers to the
requirements of GSMA’s NFC Test Book.

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 2.18.1 Applicability

This requirement applies to any new device being recertified due to eSE capability
changes. Previously certified devices are not required to retest with test cases from the
NFC Test Book unless the ECO changes have warranted retesting of the device’s eSE
functionality.

2.18.2 All other NFC Test Book Testing

This testing must be executed by a PTCRB Full Test Laboratory technology qualified for
eSE. The PTCRB Primary Test Laboratory will upload the device’s eSE report to the
PTCRB certification database. The PTCRB Full Test Laboratory may use test results
acquired from a PTCRB Associate Test Laboratory technology qualified for eSE, of which
they sponsor.

2.19 Extreme Test Conditions (Deleted)

The section for extreme test conditions has been moved to PVG.05.

2.20 Execution of Test Cases for E-UTRA Carrier Aggregation (CA) (Deleted)

2.21 IoT Cybersecurity Assessment Requirements (Moved to Section 4.2)

2.22 Multi-Band Relaxation (MBR) Declaration/Execution Requirements (Deleted)

The section for multi-band relaxation (MBR) declaration/execution requirements has been moved to
PVG.05.

2.23 Alternative NB-IoT Guard Band Test Channels (Deleted)

2.24 Network Independent UICC Test Cases

This section identifies the applicability of Network Independent (NI) UICC test cases for devices
supporting LTE-M or NB-IoT.

2.24.1 LTE-M and/or NB-IoT UICC Test Case Applicability

If at least one LTE-M or NB-IoT frequency band is supported, Network Independent (NI)
UICC test cases of RFT029, 058 and 085 are applicable per the device’s PICS.

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Section 3 Application Enablers Evaluation, General Information
This section defines the PTCRB’s requirements for the certification of the Application Enablers
implemented in the device.

3.1 Application Enabler (AE) Test Applicability

3.1.1 AE Testing Required

All devices supporting application enablers that are applicable for PTCRB certification.
Specific details on individual application enabler certification requirements are given in
the following sections.

3.1.2 AE Testing Not Required

 Devices that do not support application enablers

 PCMCIA cards
 Variants, re-branded devices having no altered AE implementation from their
parent device.

3.1.3 AE Test Specification

This section lists test specifications applicable to application enablers required for
PTCRB certification. The latest approved version of the listed test specification shall be
used. If the SDO or standardization forum who has the ownership of the test specification
has approved any change requests which are yet to be incorporated into the test
specification, then these change requests should be used for validations and referenced
in the validation report.

3.1.4 ECOs

AE testing shall be conducted on an ECO if the associated changes impact any of the
following areas:
 AE protocol implementation
 Underlying protocols

If the changes do not impact these areas, then AE testing for an ECO is not necessary
and the PTCRB Primary Test Laboratory shall provide a declaration to the PTCRB
certification database stating that testing was not required.

3.1.5 Application Enabler Certification Criteria

Devices supporting application enablers required for PTCRB certification shall fulfill all
applicable application enabler conformance criteria.

The Certification Criteria for application enabler can include both Conformance and
Interoperability tests.

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 Conformance testing shall be performed in a PTCRB Full Test Laboratory, which is
approved for the application enabler being tested.

Interoperability test results shall be provided by the manufacturer and testing does not
have to be performed by a PTCRB Full Test Laboratory. Interoperability testing can be
proved through Field Trials, bi-lateral testing and/or multi-lateral events (e.g., Test Fests
hosted by OMA). The conditions for the I-lateral testing and/or multi-lateral event results
to be accepted for PTCRB certification are:
 The manufacturer shall submit a declaration stating that the changes (if any)
introduced in the implementation tested in the test event, the results of which are
being presented for certification, have not changed the behavior of the
functionality tested. These results will be accepted to apply for certification if they
comply to the Certification Criteria
 All test results shall be submitted to the PTCRB Primary Test Laboratory for
inclusion in the test report, to obtain the certification.
 The test configuration shall be described and made available in the Certification
Declaration
 Manufacturers are responsible for making all the necessary arrangements to be
able to disclose results of I-lateral and/or multi-lateral testing for Certification
purposes.
 Where test Certification Criteria includes client-to-client testing, manufacturers
are also responsible for seeking the appropriate device to test against, contacting
other device manufacturers on a "reasonable effort" basis.

As a general recommendation, in 'client-to-client' testing, the DUT should run the

applicable tests against already certified devices if available.

If the application enabler implementation has already obtained GCF or PTCRB

certification, the manufacturer may choose to re-use the test results under the following
conditions:
 The manufacturer can guarantee that no changes in the protocol stack of the
enabler for which certification is sought, and in the applicable underlying
application protocol stacks like WAP, HTTP, SIP, RTP, RTCP etc., that could
affect the AE functionality have been introduced from the AE client version that
obtained certification.
 The manufacturer can guarantee that no changes in the overall AE behavior
have been introduced from the version that obtained certification, and no features
not included in the original version that obtained certification are added to the AE
client that is seeking certification.

The manufacturer shall provide all the test results from the testing that was conducted for
original certification and any further latest test results, as appropriate.

3.1.6 AE Technical Requirements

This section gives details of the application enabler core specifications relevant for
PTCRB certification. For validation’ the latest approved version, if available, of all the
listed specifications should be used. If the SDO or standardization forum that has
ownership of the specification has approved any change requests of the content of the
specification, which are yet to be incorporated into the document, then these change
requests should be used for validations and referenced in the validation report.

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 3.1.7 AE Options Table/ICS/Test Case Mapping Document

The Options table, ICS or Test Case Mapping Table, as appropriate, shall be filled out by
the manufacturer to indicate the features implemented in the client. This shall be
submitted by the manufacturer to the PTCRB certification database as part of the
certification submission.

If the Options table, ICS or Test Case Mapping table is contained in external
specifications a reference to the document should be added to this section.

All mandatory features, of the implemented enablers for which certification is sought, as
specified in the applicable SDO enabler release specifications shall be implemented in
the device.

3.1.8 AE Interoperability Test Results

This section details how to present IOP test results and information on tested
configurations.

3.2 Specific Application Enabler Test Requirements

3.2.1 Multimedia Messaging Service (MMS) (Deleted)

3.2.2 Video Telephony (VT) (Deleted)

3.2.3 Instant Messaging Presence Service (IMPS) (Deleted)

3.2.4 Push to Talk over Cellular (PoC) (Deleted)

3.2.5 Java (Deleted)

3.2.6 Device Management (Deleted)

3.2.7 Secure User Plane Location (SUPL)

3.2.7.1 SUPL Applicability

SUPL testing is applicable to devices that support OMA SUPL version 1.0 or 2.0.

3.2.7.2 SUPL Test Specification

The evaluation of SUPL is the OMA-ETS-SUPL. This test specification can be

downloaded from OMA's web site.

https://www.openmobilealliance.org/release/SUPL/ETS/

3.2.7.3 SUPL Certification Criteria

The SUPL conformance test cases are captured in the PTCRB TC Database.

3.2.7.4 SUPL Technical Requirements

The following OMA SUPL core specifications shall be used as the basis for all
validations.

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 SUPL_1.0: https://www.openmobilealliance.org/release/SUPL/V1_0-20070615-A/

SUPL 2.0: https://www.openmobilealliance.org/release/SUPL/V2_0_2-20140721/

3.2.8 Browsing 2.3 (Deleted)

3.2.9 FUMO (Deleted)

3.2.10 SCOMO (Deleted)

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Section 4 Miscellaneous Certification Requirements

4.1 3GPP Audio Testing

If the device implements audio support per3GPP Release 4 or later, the audio test cases
in Section 7 of 3GPP TS 26.132 applicable for Release 4 or later shall be applied as
certification criteria instead of the audio test cases applicable for Phase 2 and R99
devices.

Reference test position according to Section 5.3.2 of IEEE 269 – 2002 can be used and
shall accordingly be recorded in the test report if used.

The test report shall contain the following information:

 Ear type used for testing
 Positioning used in the HATS, as per ITU-T P.64
 Nominal volume setting used for receiving related testing

Note: The PTCRB TC database audio test specification 3GPP TS 26.132 contains all
test cases from all 3GPP released specification releases.

The 3GPP TS 26.132 test specification is release specific, which differs from many test
specifications within the PTCRB TC DB. Therefore, requirements for audio tests may
differ i depending on the 3GPP release version of the TS 26.132 test spec. The PTCRB
TC DB does not take this release-specificity of 3GPP audio testing into account.

Therefore, the manufacturer shall declare a 3GPP release against which the device is
compliant.

The conclusion is that devices with an acoustic implementation according to a given

release shall be tested against the latest version of the corresponding release of 3GPP
TS 26.131 and 3GPP TS 26.132.

4.2 IoT Cybersecurity Assessment Requirements

4.2.1 IoT Cybersecurity Certification Test Plan

The test plan is the CTIA Cybersecurity Certification Test Plan for IoT Devices. The latest
version of this test plan can be downloaded from https://ctiacertification.org/test-plans/.A
list of labs authorized to conduct this testing can be found on the same website (under
IoT Cybersecurity Certification Testing authorized testing capability).

4.2.2 IoT Cybersecurity Test Applicability

IoT Cybersecurity testing is an optional PTCRB certification requirement and applies only
to IoT devices. The device manufacturer shall consult with the operator(s) to which they
intend to sell the device to determine whether this testing is required. Should this testing
be required, the device vendor shall check the “IoT Cybersecurity” checkbox when
submitting the PTCRB certification request.

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 The testing is required for IoT devices requesting IoT Network Certified for Smart
Connected Infrastructure™. This certification is recommended for devices operating in
critical infrastructure applications and may be a requirement of some utility or mobile
network operators. To request this certification, the device manufacturer shall check the
“IoT Network Certified for Smart Connected Infrastructure” checkbox when submitting the
certification request.

4.3 Converged Wireless Testing

4.3.1 If the device meets both criteria below, the device shall be tested to the CTIA
Certification/Wi-Fi Alliance Test Plan for RF Performance Evaluation of Wi-Fi Mobile
Converged Devices (e.g., CWG Test Plan) subject to the RF Performance Test
Applicability defined in Section 2.9.1 and/or Section 2.9.2 of this document:

1) Supports 802.11x (Note: the Wi-Fi feature checkbox shall be checked in the PTCRB
certification database) and

2) The device’s Wi-Fi support is intended for consumer use (e.g., as an Internet or
Intranet access point as opposed to use of Wi-Fi for telemetry and/or control functions)

Note: If the device meets both of the criteria above, Converged Wireless Group (CWG)
testing is required regardless of the device type/device.

802.11 coexistence testing for IoT/M2M devices shall be executed according to [99]
Document 01.20, Section 4.9,

IoT/M2M devices which do not meet the numbered criteria above are exempt from testing to
Version 2.1 of the CWG Test Plan and subsequent releases.

The latest version of the CWG Test Plan can be downloaded from CTIA Certification’s web
site at https://ctiacertification.org/test-plans/.

A listing of labs authorized to conduct CWG OTA performance testing can be found on the same web site
(under Converged Device authorized testing capability).

4.4 Utility IoT Device Assessment Requirements

4.4.1 Utility IoT Device Test Plan

The test plan is the CTIA Certification Utility IoT Device Test Plan. The latest version of
this test plan can be downloaded from https://ctiacertification.org/test-plans/. A list of labs
authorized to conduct this testing can be found on the same website (under Utility IoT
Device authorized testing capability).

4.4.2 Utility IoT Device Test Applicability

Utility IoT Device testing is an optional PTCRB certification requirement and applies only
to IoT devices requesting IoT Network Certified for Smart Connected Infrastructure. This
certification is recommended for devices operating in critical infrastructure applications
and may be a requirement of some utility or mobile network operators. To request this
certification, the device manufacturer shall check the “IoT Network Certified for Smart
Connected Infrastructure” checkbox when submitting the certification request.

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Appendix A Change History

Date Version Description

1997 - 2019 1.0 – 5.42
April 2020 6.0 Document restructured
April 2020 6.0.1 No change is made to the NAPRD03 document. This version is released
to be consistent with the latest PTCRB Test Case Database changes.
June 2020 6.1 Numerous updates and deletions, the most important include the following:
a) The addition of reference identifiers in square brackets
b) The addition of references to PVG PRDs in Section 2.3.21
c) Moved Section 2.9.8.2 (Test Case Redundancy) to 2.9.5 under the
same name to improve the order of sections within the document and
updated it to include overlapping NR FR1 bands
d) As a result of (d) above, 2.9.8.3 through 2.9.8.6 moved up by one
forth-level digit and any references to test redundancy point to 2.9.5.
e) Updated the RSE airlink priority order in Section 2.9.7 to include NR
FR1 at the top of the airlink selection list per PVG20089054
f) Added FR2 Multiband Relaxation to new section 2.22 per
PVG20089055_R1
October 6.2 a) Updated the copyright text
2020 b) Section 2.8: Added supporting operators to Table 2.8-3, 2.8-4.1, 2.8-
4.2
c) Section 2.22.2: Added MB relaxation requirement framework
October 6.2.1 No change is made to the NAPRD03 document. This version is released
2020 to be consistent with the latest PTCRB Test Case Database changes.
January 6.3 a) Added 3GPP TS 31.121 and 31.124 references to clauses 2.3.2 and
2021 2.3.4 as [24] and [25] as well as [35] and [36], respectively
b) Updated clause 2.7.6 to include Category S, eliminate “N All” changing
it to “N” and eliminating “N Next”
c) Added SA/NSA to 2.9.7; Added “EN Single prio” and “NR Single prio”
to Clause 2.7.10
d) Added “Table 2.7.10-1 “EN and NR Single Prio Band Hierarchy” to
Clause 2.7.10
e) Added Section 2.23
March 2021 6.4 a) Updated the PTCRB band information in Section 2.8
b) Added clarification in Section 2.23.1
June 2021 6.5 a) Removed UTRA Band IV from PTCRB Certification
b) Replaced UICC based NFC services references with Embedded
Secure Element (eSE) in Section 2.3.6 and 2.18
c) Removed MMS requirements in Section 3.2.1
d) Included E-UTRA extreme testing in Section 2.19

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 Date Version Description
September 6.6 a) Added n12, n14, n26, and n29 to FR1 SA FDD bands in Table 2.8 4.1
2021 b) Updated Section 2.9.7, Radiated Spurious Emissions, with exemptions
c) Updated Section 2.9, RF Performance Evaluation, section introduction
text
d) Updated Section 2.18.2 regarding UICC based NFC tests
e) Moved extreme test conditions, multi-band relaxation (MBR)
declaration/execution requirements, and E-UTRA channel bandwidth
test cases to PVG.05
December 6.7 a) Added SDL bands in table 2.8-3A and table 2.8-4.2 for E-UTRA and
2021 NR
b) Removed FUMO requirements in Section 2.3.18
c) Updated Section 2.23 NB-IoT Guard Band Test Channels
d) Removed GERAN content in Sections 2.8.1, 2.12.1 and 2.17
e) Updated Section 2.9.5, including the addition of Band 85
f) Updated Section 2.7.10 and Table 2.7.10-1 to bearer bands test
requirement
g) Removed “following exceptions” in Section 2.3.8 given that exceptions
are no longer applicable to this subsection
h) Changed referenced versions to Current Version in Sections 2.3.9 and
2.3.10
i) Removed “Recently Standardized” within Section 2.23.1 as this term is
no longer applicable to this subsection
j) Changed all instances of “Void” to “Deleted”
March 2022 6.8 a) Edited PVG Permanent Reference Documents to include [213] and
edit previous names
b) Updated Table 2.7.2-1 PTCRB TC Database Parameter Field Naming
Rules
c) Updated Section 2.7.10 to proper Bearers
d) Updated Section 2.9.6 to correct version of 3GPP
e) Updated Section 2.12 to include exception
f) Deleted Section 2.13 AT-Command Assessment Requirements
g) Updated Section 3.2.6 to include correct links and OMA-ETS-DM
evaluations
June 2022 6.9 a) Added Section 2.12.10 UE Capability Audit. device with GEA1
Disabled
b) Updated Section 2.7.11 Special Rules and Exception
September 6.10 a) Updated Section 2.8 to replace tables 2.8-1 to 9 with a single table
2022 2.8-1 listing all PTCRB Bands by airlink technology, frequency range
and/or band
b) Added informative Table 2.8-2 proposing PTCRB Band n77 sub-band
names

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 Date Version Description
December 6.11 a) Updated Section 2.9.1 to include Table 2.9.1-1 which lists all GSM,
2022 GPRS. EGPRS, UMTS, E-UTRA and NR bands for which OTA testing
is required
b) Updated Section 2.9.5 to explicitly state that the overlapping band
requirements for the RATs and bands listed in Table 2.9.1-1 apply to
OTA performance testing, GNSS and conformance and performance
testing per CTIA OTA 01.51 and RSE conformance testing per
NAPRD03 Section 2.9,7
c) Deleted Section 2.3.14 OMA DM
d) Deleted Section 3.2.6 Device Management (DM)

April 2023 6.12 a) Updated Table 2.7.2-1 descriptions to align with PTCRB TC Database
b) Updated Table 2.9.1-1 bulleted notes below to numbered sections in
2.9.5 and 2.9.6
c) Updated Sections 2.9.1 through 2.9.8 bulleted requirements to
numbered paragraphs
d) Deleted Section 2.10 LTE/LTE Carrier Aggregation (CA)
Interoperability Testing
e) Removed reference to specific Band 66 LTE-CA combinations in
Section 2.20
f) Updated document to follow corrected capitalization and grammar as
ongoing task
g) Updated RAT terminology through document

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 Date Version Description
June 2023 6.13 a) Updated the descriptions of individual PTCRB TCDB fields in Table
2.7.2-1
b) Updated all RAT terminology to match the PTCRB TCDB
c) Removed all requirements currently duplicated in the CTIA OTA Test
Plan and cited the associated OTA documents/sections.
d) Added a new reference to CTIA Certification Test Plan for Wireless
Device Over-the-Air Performance, V3.9.x as [98]. This reference is
used to cite specific sections of this test plan until CTIA OTA V4.0.x
becomes mandatory, at which time [98] will be retired.
e) Added a new reference to CTIA Certification Test Plan for Wireless
Device Over-the-Air Performance, V4.0.x as [99]. This reference is
used to cite specific sections of this test plan until [101] can be used
as a release-agnostic reference and [99] retired.
f) Moved Audio Testing content from Section 2.9.6 to new Section 4.1.
g) Moved Cybersecurity Test Applicability from Section 2.11 to new
Section 4.2
h) Moved CWG test applicability from individual unnumbered paragraphs
to new Section 4.3
i) Added Wi-Fi OTA coexistence test requirement to Section 4.3,
referencing CTIA OTA V 3.9.x Appendix P.12.
j) Removed Section 2.23
k) Removed Table 2.8.2
September 6.14 a) Removed [98] CTIA Certification Test Plan for Wireless Device Over-
2023 the-Air Performance, V3.9.X as V.4.0.X becomes mandatory.
b) Modified Section 2.15 with additional TTY optional requirements
c) Updated Section 4.2 with additional requirements for IoT Network
Certified for Smart Connected Infrastructure
d) Created Section 4.4 for Utility IoT Device Assessment Requirements

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