ETSI TS 138 300 V15.9.0 (2020-04)

5G; NR; Overall description; Stage-2 (3GPP TS 38.300 version 15.9.0 Release 15)

RTS/TSGR-0238300vf90

General Information

• Status: Published
• Publication Date: 14-Apr-2020
• Technical Committee: 3GPP RAN 2 - Radio layer 2 specification and Radio layer 3 RR specification
• Current Stage: 12 - Completion
• Completion Date: 15-Apr-2020

Standards Content (Sample)

TECHNICAL SPECIFICATION
5G;
NR;
Overall description;
Stage-2
(3GPP TS 38.300 version 15.9.0 Release 15)

3GPP TS 38.300 version 15.9.0 Release 15 1 ETSI TS 138 300 V15.9.0 (2020-04)

Reference
RTS/TSGR-0238300vf90
Keywords
5G
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: [phone]  Fax: [phone]

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

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

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

3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and
of the 3GPP Organizational Partners.
oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and
of the oneM2M Partners. ®
GSM and the GSM logo are trademarks registered and owned by the GSM Association.
ETSI
3GPP TS 38.300 version 15.9.0 Release 15 2 ETSI TS 138 300 V15.9.0 (2020-04)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
server (https://ipr.etsi.org/).
Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
server) which are, or may be, or may become, essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
Legal Notice
This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP).
The present document may refer to technical specifications or reports using their 3GPP identities. These shall be
interpreted as being references to the corresponding ETSI deliverables.
The cross reference between 3GPP and ETSI identities can be found under http://webapp.etsi.org/key/queryform.asp.
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
ETSI
3GPP TS 38.300 version 15.9.0 Release 15 3 ETSI TS 138 300 V15.9.0 (2020-04)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 7
1 Scope . 8
2 References . 8
3 Abbreviations and Definitions . 9
3.1 Abbreviations . 9
3.2 Definitions . 11
4 Overall Architecture and Functional Split . 11
4.1 Overall Architecture . 11
4.2 Functional Split . 12
4.3 Network Interfaces . 14
4.3.1 NG Interface . 14
4.3.1.1 NG User Plane . 14
4.3.1.2 NG Control Plane . 14
4.3.2 Xn Interface . 15
4.3.2.1 Xn User Plane . 15
4.3.2.2 Xn Control Plane . 16
4.4 Radio Protocol Architecture . 16
4.4.1 User Plane . 16
4.4.2 Control Plane . 17
4.5 Multi-Radio Dual Connectivity . 17
4.6 Radio Access Network Sharing . 17
5 Physical Layer . 17
5.1 Waveform, numerology and frame structure . 17
5.2 Downlink . 18
5.2.1 Downlink transmission scheme . 18
5.2.2 Physical-layer processing for physical downlink shared channel . 19
5.2.3 Physical downlink control channels . 19
5.2.4 Synchronization signal and PBCH block . 20
5.2.5 Physical layer procedures . 21
5.2.5.1 Link adaptation . 21
5.2.5.2 Power Control . 21
5.2.5.3 Cell search . 21
5.2.5.4 HARQ . 21
5.2.5.5 Reception of SIB1 . 21
5.3 Uplink . 21
5.3.1 Uplink transmission scheme . 21
5.3.2 Physical-layer processing for physical uplink shared channel . 22
5.3.3 Physical uplink control channel . 22
5.3.4 Random access . 23
5.3.5 Physical layer procedures . 23
5.3.5.1 Link adaptation . 23
5.3.5.2 Uplink Power control . 24
5.3.5.3 Uplink timing control . 24
5.3.5.4 HARQ . 24
5.4 Carrier aggregation . 24
5.4.1 Carrier aggregation . 24
5.4.2 Supplementary Uplink . 24
5.5 Transport Channels. 24
6 Layer 2 . 25
ETSI
3GPP TS 38.300 version 15.9.0 Release 15 4 ETSI TS 138 300 V15.9.0 (2020-04)
6.1 Overview . 25
6.2 MAC Sublayer . 27
6.2.1 Services and Functions . 27
6.2.2 Logical Channels . 28
6.2.3 Mapping to Transport Channels. 28
6.2.4 HARQ . 28
6.3 RLC Sublayer . 28
6.3.1 Transmission Modes . 28
6.3.2 Services and Functions . 29
6.3.3 ARQ . 29
6.4 PDCP Sublayer . 29
6.4.1 Services and Functions . 29
6.5 SDAP Sublayer . 30
6.6 L2 Data Flow . 30
6.7 Carrier Aggregation . 30
6.8 Dual Connectivity. 32
6.9 Supplementary Uplink . 32
6.10 Bandwidth Adaptation . 32
7 RRC . 33
7.1 Services and Functions . 33
7.2 Protocol States . 34
7.3 System Information Handling . 34
7.3.1 Overview . 34
7.3.2 Scheduling . 36
7.3.3 SI Modification . 36
7.4 Access Control . 36
7.5 UE Capability Retrieval framework . 36
7.6 Transport of NAS Messages . 37
7.7 Carrier Aggregation . 37
7.8 Bandwidth Adaptation . 37
7.9 UE Assistance Information. 37
8 NG Identities . 38
8.1 UE Identities . 38
8.2 Network Identities . 38
8.3 User Data Transport on the CN-RAN Interface . 39
9 Mobility and State Transitions . 39
9.1 Overview . 39
9.2 Intra-NR . 40
9.2.1 Mobility in RRC_IDLE . 40
9.2.1.1 Cell Selection . 40
9.2.1.2 Cell Reselection . 40
9.2.1.3 State Transitions . 41
9.2.2 Mobility in RRC_INACTIVE. 42
9.2.2.1 Overview . 42
9.2.2.2 Cell Reselection . 43
9.2.2.3 RAN-Based Notification Area . 43
9.2.2.4 State Transitions . 44
9.2.2.4.1 UE triggered transition from RRC_INACTIVE to RRC_CONNECTED . 44
9.2.2.4.2 Network triggered transition from RRC_INACTIVE to RRC_CONNECTED . 46
9.2.2.5 RNA update. 46
9.2.3 Mobility in RRC_CONNECTED . 48
9.2.3.1 Overview . 48
9.2.3.2 Handover . 49
9.2.3.2.1 C-Plane Handling . 49
9.2.3.2.2 U-Plane Handling . 51
9.2.3.2.3 Data Forwarding . 52
9.2.3.3 Re-establishment procedure . 54
9.2.4 Measurements . 55
9.2.5 Paging . 57
9.2.6 Random Access Procedure . 58
ETSI
3GPP TS 38.300 version 15.9.0 Release 15 5 ETSI TS 138 300 V15.9.0 (2020-04)
9.2.7 Radio Link Failure . 59
9.2.8 Beam failure detection and recovery . 59
9.2.9 Timing Advance . 59
9.3 Inter RAT . 60
9.3.1 Intra 5GC . 60
9.3.1.1 Cell Reselection . 60
9.3.1.2 Handover . 60
9.3.1.3 Measurements . 60
9.3.2 From 5GC to EPC . 61
9.3.2.1 Cell Reselection . 61
9.3.2.2 Handover and redirection . 61
9.3.2.3 Measurements . 61
9.3.2.4 Data Forwarding for the Control Plane . 61
9.3.2.5 Data Forwarding for the User Plane . 61
9.3.3 From EPC to 5GC . 62
9.3.3.1 Data Forwarding for the Control Plane . 62
9.3.3.2 Data Forwarding for the User Plane . 62
9.4 Roaming and Access Restrictions . 63
10 Scheduling . 63
10.1 Basic Scheduler Operation . 63
10.2 Downlink Scheduling . 64
10.3 Uplink Scheduling . 64
10.4 Measurements to Support Scheduler Operation . 64
10.5 Rate Control . 65
10.5.1 Downlink . 65
10.5.2 Uplink . 65
10.6 Activation/Deactivation Mechanism . 65
10.7 E-UTRA-NR Cell Resource Coordination . 66
10.8 Cross Carrier Scheduling . 66
11 UE Power Saving . 66
12 QoS . 67
12.1 Overview . 67
12.2 Explicit Congestion Notification . 69
13 Security. 70
13.1 Overview and Principles . 70
13.2 Security Termination Points . 72
13.3 State Transitions and Mobility . 72
14 UE Capabilities . 72
15 Self-Configuration and Self-Optimisation . 73
15.1 Definitions . 73
15.2 Void . 73
15.3 Self-configuration . 73
15.3.1 Dynamic configuration of the NG-C interface. 73
15.3.1.1 Prerequisites . 73
15.3.1.2 SCTP initialization . 73
15.3.1.3 Application layer initialization . 73
15.3.2 Dynamic Configuration of the Xn interface . 73
15.3.2.1 Prerequisites . 73
15.3.2.2 SCTP initialization . 73
15.3.2.3 Application layer initialization . 74
15.3.3 Automatic Neighbour Cell Relation Function . 74
15.3.3.1 General . 74
15.3.3.2 Intra-system Automatic Neighbour Cell Relation Function . 75
15.3.3.3 Void. 76
15.3.3.4 Void. 76
15.3.3.5 Inter-system Automatic Neighbour Cell Relation Function . 76
15.3.4 Xn-C TNL address discovery . 76
15.4 Support for Energy Saving . 77
ETSI
3GPP TS 38.300 version 15.9.0 Release 15 6 ETSI TS 138 300 V15.9.0 (2020-04)
15.4.1 General . 77
15.4.2 Solution description . 77
15.4.3 O&M requirements . 77
16 Verticals Support . 78
16.1 URLLC . 78
16.1.1 Overview . 78
16.1.2 LCP Restrictions . 78
16.1.3 Packet Duplication . 78
16.1.4 CQI and MCS . 79
16.2 IMS Voice . 79
16.2.0 Support for IMS voice . 79
16.2.1 Support for MMTEL IMS voice and video enhancements . 79
16.2.1.1 RAN-assisted codec adaptation . 79
16.2.1.2 MMTEL voice quality/coverage enhancements . 80
16.3 Network Slicing . 80
16.3.1 General Principles and Requirements . 80
16.3.2 AMF and NW Slice Selection. 82
16.3.2.1 CN-RAN interaction and internal RAN aspects . 82
16.3.2.2 Radio Interface Aspects . 82
16.3.3 Resource Isolation and Management . 82
16.3.4 Signalling Aspects . 82
16.3.4.1 General . 82
16.3.4.2 AMF and NW Slice Selection . 83
16.3.4.3 UE Context Handling . 83
16.3.4.4 PDU Session Setup Handling . 84
16.3.4.5 Mobility . 84
16.4 Public Warning System . 85
16.5 Emergency Services . 85
16.5.1 Overview . 85
16.5.2 IMS Emergency call . 85
16.5.3 eCall over IMS . 86
16.5.4 Fallback . 86
Annex A (informative): QoS Handling in RAN . 87
A.1 PDU Session Establishment . 87
A.2 New QoS Flow with RQoS . 87
A.3 New QoS Flow with Explicit RRC Signalling . 88
A.4 New QoS Flow with Explicit NAS Signalling . 89
A.5 Release of QoS Flow with Explicit Signalling . 90
A.6 UE Initiated UL QoS Flow . 90
Annex B (informative): Deployment Scenarios . 92
B.1 Supplementary Uplink . 92
B.2 Multiple SSBs in a carrier . 92
Annex C (informative): I-RNTI Reference Profiles . 94
Annex D (informative): SPID ranges and mapping of SPID values to cell reselection and
inter-RAT/inter frequency handover priorities . 95
Annex E: NG-RAN Architecture for Radio Access Network Sharing with
multiple cell ID broadcast (informative) . 96
Annex F (informative): Change history . 97
History . 101

ETSI
3GPP TS 38.300 version 15.9.0 Release 15 7 ETSI TS 138 300 V15.9.0 (2020-04)
Foreword
This Technical Specification has been produced by the 3rd 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
3GPP TS 38.300 version 15.9.0 Release 15 8 ETSI TS 138 300 V15.9.0 (2020-04)
1 Scope
The present document provides an overview and overall description of the NG-RAN and focuses on the radio interface
protocol architecture of NR connected to 5GC (E-UTRA connected to 5GC is covered in the 36 series). Details of the
radio interface protocols are specified in companion specifications of the 38 series.
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 TS 36.300: "Evolved Universal Terrestrial Radio Access (E-UTRA) and Evolved Universal
Terrestrial Radio Access Network (E-UTRAN); Overall description; Stage 2".
[3] 3GPP TS 23.501: "System Architecture for the 5G System; Stage 2".
[4] 3GPP TS 38.401: "NG-RAN; Architecture description".
[5] 3GPP TS 33.501: "Security Architecture and Procedures for 5G System".
[6] 3GPP TS 38.321: "NR; Medium Access Control (MAC) protocol specification".
[7] 3GPP TS 38.322: "NR; Radio Link Control (RLC) protocol specification".
[8] 3GPP TS 38.323: "NR; Packet Data Convergence Protocol (PDCP) specification".
[9] 3GPP TS 37.324: " E-UTRA and NR; Service Data Protocol (SDAP) specification".
[10] 3GPP TS 38.304: "NR; User Equipment (UE) procedures in Idle mode and RRC Inactive state".
[11] 3GPP TS 38.306: "NR; User Equipment (UE) radio access capabilities".
[12] 3GPP TS 38.331: "NR; Radio Resource Control (RRC); Protocol specification".
[13] 3GPP TS 38.133: "NR; Requirements for support of radio resource management".
[14] 3GPP TS 22.168: "Earthquake and Tsunami Warning System (ETWS) requirements; Stage 1".
[15] 3GPP TS 22.268: "Public Warning System (PWS) Requirements".
[16] 3GPP TS 38.410: "NG-RAN; NG general aspects and principles".
[17] 3GPP TS 38.420: "NG-RAN; Xn general aspects and principles".
[18] 3GPP TS 38.101-1: "NR; User Equipment (UE) radio transmission and reception; Part 1: Range 1
Standalone".
[19] 3GPP TS 22.261: "Service requirements for next generation new services and markets".
[20] 3GPP TS 38.202: "NR; Physical layer services provided by the physical layer"
[21] 3GPP TS 37.340: "NR; Multi-connectivity; Overall description; Stage-2".
ETSI
3GPP TS 38.300 version 15.9.0 Release 15 9 ETSI TS 138 300 V15.9.0 (2020-04)
[22] 3GPP TS 23.502: "Procedures for the 5G System; Stage 2".
[23] IETF RFC 4960 (2007-09): "Stream Control Transmission Protocol".
[24] 3GPP TS 26.114: "Technical Specification Group Services and System Aspects; IP Multimedia
Subsystem (IMS); Multimedia Telephony; Media handling and interaction".
[25] Void.
[26] 3GPP TS 38.413: "NG-RAN; NG Application Protocol (NGAP)".
[27] IETF RFC 3168 (09/2001): "The Addition of Explicit Congestion Notification (ECN) to IP".
[28] 3GPP TS 24.501: "NR; Non-Access-Stratum (NAS) protocol for 5G System (5GS)".
[29] 3GPP TS 36.331: "Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Resource
Control (RRC); Protocol specification".
[30] 3GPP TS 38.415: "NG-RAN; PDU Session User Plane Protocol".
3 Abbreviations and Definitions
3.1 Abbreviations
For the purposes of the present document, the abbreviations given in TR 21.905 [1], in TS 36.300 [2] and the following
apply. An abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if
any, in TR 2
...