ETSI TS 138 213 V17.6.0 (2023-06)

5G; NR; Physical layer procedures for control (3GPP TS 38.213 version 17.6.0 Release 17)

RTS/TSGR-0138213vh60

General Information

• Status: Not Published
• Technical Committee: 3GPP RAN 1 - Radio layer 1 specification
• Current Stage: 8 - TB approval
• Completion Date: 14-Jun-2023

Standards Content (Sample)

ETSI TS 138 213 V17.6.0 (2023-07)
TECHNICAL SPECIFICATION
5G;
NR;
Physical layer procedures for control
(3GPP TS 38.213 version 17.6.0 Release 17)
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3GPP TS 38.213 version 17.6.0 Release 17 1 ETSI TS 138 213 V17.6.0 (2023-07)
Reference
RTS/TSGR-0138213vh60
Keywords
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ETSI
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3GPP TS 38.213 version 17.6.0 Release 17 2 ETSI TS 138 213 V17.6.0 (2023-07)
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ETSI
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3GPP TS 38.213 version 17.6.0 Release 17 3 ETSI TS 138 213 V17.6.0 (2023-07)
Contents

Intellectual Property Rights ................................................................................................................................ 2

Legal Notice ....................................................................................................................................................... 2

Modal verbs terminology .................................................................................................................................... 2

Foreword ............................................................................................................................................................. 6

1 Scope ........................................................................................................................................................ 7

2 References ................................................................................................................................................ 7

3 Definitions, symbols and abbreviations ................................................................................................... 8

3.1 Definitions .......................................................................................................................................................... 8

3.2 Symbols .............................................................................................................................................................. 8

3.3 Abbreviations ..................................................................................................................................................... 8

4 Synchronization procedures ................................................................................................................... 10

4.1 Cell search ........................................................................................................................................................ 10

4.2 Transmission timing adjustments ..................................................................................................................... 13

4.3 Timing for secondary cell activation / deactivation.......................................................................................... 14

5 Radio link monitoring ............................................................................................................................ 15

6 Link recovery procedures ....................................................................................................................... 16

7 Uplink Power control ............................................................................................................................. 20

7.1 Physical uplink shared channel ........................................................................................................................ 21

7.1.1 UE behaviour .............................................................................................................................................. 22

7.2 Physical uplink control channel ........................................................................................................................ 34

7.2.1 UE behaviour .............................................................................................................................................. 35

7.3 Sounding reference signals ............................................................................................................................... 40

7.3.1 UE behaviour .............................................................................................................................................. 40

7.4 Physical random access channel ....................................................................................................................... 43

7.5 Prioritizations for transmission power reductions ............................................................................................ 44

7.6 Dual connectivity ............................................................................................................................................. 44

7.6.1 EN-DC ........................................................................................................................................................ 44

7.6.1A NE-DC ........................................................................................................................................................ 45

7.6.2 NR-DC ........................................................................................................................................................ 46

7.7 Power headroom report .................................................................................................................................... 48

7.7.1 Type 1 PH report ........................................................................................................................................ 49

7.7.2 Type 2 PH report ........................................................................................................................................ 51

7.7.3 Type 3 PH report ........................................................................................................................................ 51

8 Random access procedure ...................................................................................................................... 51

8.1 Random access preamble ................................................................................................................................. 52

8.1A PUSCH for Type-2 random access procedure .................................................................................................. 55

8.2 Random access response - Type-1 random access procedure .......................................................................... 57

8.2A Random access response - Type-2 random access procedure .......................................................................... 59

8.3 PUSCH scheduled by RAR UL grant............................................................................................................... 61

8.4 PDSCH with UE contention resolution identity ............................................................................................... 63

9 UE procedure for reporting control information .................................................................................... 63

9.A PUCCH cell switching ..................................................................................................................................... 72

9.1 HARQ-ACK codebook determination ............................................................................................................. 72

9.1.1 CBG-based HARQ-ACK codebook determination .................................................................................... 73

9.1.2 Type-1 HARQ-ACK codebook determination ........................................................................................... 74

9.1.2.1 Type-1 HARQ-ACK codebook in physical uplink control channel ...................................................... 76

9.1.2.2 Type-1 HARQ-ACK codebook in physical uplink shared channel....................................................... 88

9.1.3 Type-2 HARQ-ACK codebook determination ........................................................................................... 89

9.1.3.1 Type-2 HARQ-ACK codebook in physical uplink control channel ...................................................... 90

9.1.3.2 Type-2 HARQ-ACK codebook in physical uplink shared channel....................................................... 99

9.1.3.3 Type-2 HARQ-ACK codebook grouping and HARQ-ACK retransmission....................................... 100

ETSI
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3GPP TS 38.213 version 17.6.0 Release 17 4 ETSI TS 138 213 V17.6.0 (2023-07)

9.1.4 Type-3 HARQ-ACK codebook determination ......................................................................................... 103

9.1.5 HARQ-ACK codebook retransmission ..................................................................................................... 107

9.2 UCI reporting in physical uplink control channel .......................................................................................... 108

9.2.1 PUCCH Resource Sets.............................................................................................................................. 108

9.2.2 PUCCH Formats for UCI transmission .................................................................................................... 112

9.2.3 UE procedure for reporting HARQ-ACK ................................................................................................. 113

9.2.4 UE procedure for reporting SR ................................................................................................................. 117

9.2.5 UE procedure for reporting multiple UCI types ....................................................................................... 118

9.2.5.0 UE procedure for prioritization between SL HARQ-ACK information in a PUCCH and DL

HARQ-ACK or SR or CSI in a PUCCH ............................................................................................. 123

9.2.5.1 UE procedure for multiplexing HARQ-ACK or CSI and SR in a PUCCH ........................................ 124

9.2.5.2 UE procedure for multiplexing HARQ-ACK/SR/CSI in a PUCCH ................................................... 125

9.2.5.3 UE procedure for reporting UCI of different priorities ....................................................................... 129

9.2.5.4 UE procedure for deferring HARQ-ACK for SPS PDSCH ................................................................ 130

9.2.6 PUCCH repetition procedure .................................................................................................................... 131

9.3 UCI reporting in physical uplink shared channel ........................................................................................... 134

10 UE procedure for receiving control information .................................................................................. 138

10.1 UE procedure for determining physical downlink control channel assignment ............................................. 151

10.1.1 Self-carrier and cross-carrier scheduling on the primary cell ................................................................... 171

10.2 PDCCH validation for DL SPS and UL grant Type 2 .................................................................................... 172

10.2A PDCCH validation for SL configured grant Type 2 ....................................................................................... 174

10.3 PDCCH monitoring indication and dormancy/non-dormancy behaviour for SCells ..................................... 174

10.4 Search space set group switching and skipping of PDCCH monitoring ........................................................ 177

10.4A PDCCH monitoring for early indication of paging ........................................................................................ 182

10.4B Indication of TRS resources ........................................................................................................................... 182

10.5 HARQ-ACK information for PUSCH transmissions ..................................................................................... 183

11 UE-group common signalling ................................................................................................. ............. 183

11.1 Slot configuration ........................................................................................................................................... 184

11.1.1 UE procedure for determining slot format ................................................................................................ 189

11.2 Interrupted transmission indication ................................................................................................................ 196

11.2A Cancellation indication ................................................................................................................................... 197

11.3 Group TPC commands for PUCCH/PUSCH ................................................................................................. 198

11.4 SRS switching ................................................................................................................................................ 199

12 Bandwidth part operation ..................................................................................................................... 200

13 UE procedure for monitoring Type0-PDCCH CSS sets ...................................................................... 202

14 Integrated access-backhaul operation ................................................................................................... 215

15 Dual active protocol stack based handover .......................................................................................... 222

16 UE procedures for sidelink ................................................................................................................... 223

16.1 Synchronization procedures ........................................................................................................................... 224

16.2 Power control ................................................................................................................................................. 226

16.2.0 S-SS/PSBCH blocks ................................................................................................................................. 226

16.2.1 PSSCH ...................................................................................................................................................... 226

16.2.2 PSCCH ...................................................................................................................................................... 227

16.2.3 PSFCH ...................................................................................................................................................... 228

16.2.4 Prioritization of transmissions/receptions ................................................................................................. 229

16.2.4.1 Simultaneous NR and E-UTRA transmission/reception ..................................................................... 229

16.2.4.2 Simultaneous PSFCH transmission/reception ..................................................................................... 230

16.2.4.3 Simultaneous SL and UL transmissions/receptions ............................................................................ 231

16.2.4.3.1 Prioritizations for sidelink and uplink transmissions/receptions ................................................... 231

16.3 UE procedure for reporting and obtaining control information in PSFCH..................................................... 232

16.3.0 UE procedure for transmitting PSFCH with control information ............................................................. 232

16.3.1 UE procedure for receiving PSFCH with control information ................................................................. 235

16.4 UE procedure for transmitting PSCCH .......................................................................................................... 236

16.5 UE procedure for reporting HARQ-ACK on uplink ...................................................................................... 237

16.5.1 Type-1 HARQ-ACK codebook determination ......................................................................................... 239

16.5.1.1 Type-1 HARQ-ACK codebook in physical uplink control channel .................................................... 240

16.5.1.2 Type-1 HARQ-ACK codebook in physical uplink shared channel..................................................... 241

ETSI
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3GPP TS 38.213 version 17.6.0 Release 17 5 ETSI TS 138 213 V17.6.0 (2023-07)

16.5.2 Type-2 HARQ-ACK codebook determination ......................................................................................... 242

16.5.2.1 Type-2 HARQ-ACK codebook in physical uplink control channel .................................................... 242

16.5.2.2 Type-2 HARQ-ACK codebook in physical uplink shared channel..................................................... 244

16.6 UE procedure for LTE sidelink transmission ................................................................................................. 245

16.7 Operation for in-device coexistence ............................................................................................................... 245

17 UE with reduced capabilities ................................................................................................................ 246

17.1 RedCap UE procedures .................................................................................................................................. 246

17.2 Half-Duplex UE in paired spectrum ............................................................................................................... 247

18 Multicast Broadcast Services ............................................................................................................... 248

19 PUSCH transmission in RRC_INACTIVE state .................................................................................. 253

19.1 Configured-grant based PUSCH transmission ............................................................................................... 253

19.2 Random-access based PUSCH transmission .................................................................................................. 254

Annex A: Change history ............................................................................................ 255

History ............................................................................................................................................................ 264

ETSI
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3GPP TS 38.213 version 17.6.0 Release 17 6 ETSI TS 138 213 V17.6.0 (2023-07)
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
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3GPP TS 38.213 version 17.6.0 Release 17 7 ETSI TS 138 213 V17.6.0 (2023-07)
1 Scope

The present document specifies and establishes the characteristics of the physical layer procedures for control

operations in 5G-NR.
2 References

The following documents contain provisions which, through reference in this text, constitute provisions of the present

document.
[1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications"
[2] 3GPP TS 38.201: "NR; Physical Layer – General Description"
[3] 3GPP TS 38.202: "NR; Services provided by the physical layer"
[4] 3GPP TS 38.211: "NR; Physical channels and modulation"
[5] 3GPP TS 38.212: "NR; Multiplexing and channel coding"
[6] 3GPP TS 38.214: "NR; Physical layer procedures for data"
[7] 3GPP TS 38.215: "NR; Physical layer measurements"

[8-1] 3GPP TS 38.101-1: "NR; User Equipment (UE) radio transmission and reception; Part 1: Range 1

Standalone"

[8-2] 3GPP TS 38.101-2: "NR; User Equipment (UE) radio transmission and reception; Part 2: Range 2

Standalone"

[8-3] 3GPP TS 38.101-3: "NR; User Equipment (UE) radio transmission and reception; Part 3: Range 1

and Range 2 Interworking operation with other radios"

[8-4] 3GPP TS 38.101-4: "NR; User Equipment (UE) radio transmission and reception; Part 4:

Performance requirements"
[9] 3GPP TS 38.104: "NR; Base Station (BS) radio transmission and reception"
[10] 3GPP TS 38.133: "NR; Requirements for support of radio resource management"
[11] 3GPP TS 38.321: "NR; Medium Access Control (MAC) protocol specification"
[12] 3GPP TS 38.331: "NR; Radio Resource Control (RRC); Protocol specification"

[13] 3GPP TS 36.213: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer

procedures"

[14] 3GPP TS 36.321: "Evolved Universal Terrestrial Radio Access (E-UTRA); Medium Access

Control (MAC) protocol specification"

[15] 3GPP TS 37.213: "Physical layer procedures for shared spectrum channel access"

[16] 3GPP TS 38.473: "F1 application protocol (F1AP)"

[17] 3GPP TS 38.304: "NR; User Equipment (UE) procedures in Idle mode and RRC Inactive state"

[18] 3GPP TS 38.306: "NR; User Equipment (UE) radio access capabilities"
[19] 3GPP TS 38.300: "NR; NR and NG-RAN Overall Description"
ETSI
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3GPP TS 38.213 version 17.6.0 Release 17 8 ETSI TS 138 213 V17.6.0 (2023-07)
3 Definitions, symbols and abbreviations
3.1 Definitions

For the purposes of the present document, the terms and definitions given in [1, TR 21.905] and the following apply. A

term defined in the present document takes precedence over the definition of the same term, if any, in [1, TR 21.905]. A

parameter referenced in italics is provided by higher layers.
3.2 Symbols
For the purposes of the present document, the following symbols apply:
3.3 Abbreviations

For the purposes of the present document, the abbreviations given in TR 21.905 [1] and the following apply. An

abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any,

in [1, TR 21.905].
BPRE Bits per resource element
BWP Bandwidth part
CB Code block
CBG Code block group
CBR Channel busy ratio
CCE Control channel element
CORESET Control resource set
CP Cyclic prefix
CRC Cyclic redundancy check
C-RNTI Cell RNTI
CS-RNTI Configured scheduling RNTI
CSI Channel state information
CSS Common search space
DAI Downlink assignment index
DAPS Dual active protocol stack
DC Dual connectivity
DCI Downlink control information
DL Downlink
DL-SCH Downlink shared channel
EPRE Energy per resource element
EN-DC E-UTRA NR dual connectivity with MCG using E-UTRA and SCG using NR
FR1 Frequency range 1
FR2 Frequency range 2
G-CS-RNTI Group configured scheduling RNTI
G-RNTI Group RNTI
GSCN Global synchronization channel number
HARQ-ACK Hybrid automatic repeat request acknowledgement
MBS Multicast broadcast services
MCG Master cell group
MCS Modula
...