ETSI TS 138 306 V15.9.0 (2020-04)

5G; NR; User Equipment (UE) radio access capabilities (3GPP TS 38.306 version 15.9.0 Release 15)

RTS/TSGR-0238306vf90

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)

ETSI TS 138 306 V15.9.0 (2020-04)






TECHNICAL SPECIFICATION
5G;
NR;
User Equipment (UE) radio access capabilities
(3GPP TS 38.306 version 15.9.0 Release 15)

---------------------- Page: 1 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 1 ETSI TS 138 306 V15.9.0 (2020-04)



Reference
RTS/TSGR-0238306vf90
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

---------------------- Page: 2 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 2 ETSI TS 138 306 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

---------------------- Page: 3 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 3 ETSI TS 138 306 V15.9.0 (2020-04)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 5
1 Scope . 6
2 References . 6
3 Definitions, symbols and abbreviations . 7
3.1 Definitions . 7
3.2 Symbols . 7
3.3 Abbreviations . 7
4 UE radio access capability parameters . 8
4.1 Supported max data rate . 8
4.1.1 General . 8
4.1.2 Supported max data rate . 8
4.1.3 Void . 9
4.1.4 Total layer 2 buffer size . 9
4.2 UE Capability Parameters . 10
4.2.1 Introduction. 10
4.2.2 General parameters . 11
4.2.3 SDAP Parameters . 12
4.2.4 PDCP Parameters . 12
4.2.5 RLC parameters . 13
4.2.6 MAC parameters . 13
4.2.7 Physical layer parameters . 14
4.2.7.1 BandCombinationList parameters . 14
4.2.7.2 BandNR parameters . 17
4.2.7.3 CA-ParametersEUTRA . 26
4.2.7.4 CA-ParametersNR . 27
4.2.7.5 FeatureSetDownlink parameters . 30
4.2.7.6 FeatureSetDownlinkPerCC parameters . 34
4.2.7.7 FeatureSetUplink parameters . 35
4.2.7.8 FeatureSetUplinkPerCC parameters . 38
4.2.7.9 MRDC-Parameters . 39
4.2.7.10 Phy-Parameters . 41
4.2.7.11 Other PHY parameters . 48
4.2.7.12 NRDC-Parameters . 49
4.2.8 Void . 49
4.2.9 MeasAndMobParameters . 50
4.2.10 Inter-RAT parameters . 53
4.2.10.1 Void. 54
4.2.10.2 Void. 54
4.2.11 Void . 54
4.2.12 Void . 54
4.2.13 IMS Parameters . 54
4.2.14 RRC buffer size . 54
5 Optional features without UE radio access capability parameters . 54
6 Conditionally mandatory features without UE radio access capability parameters . 54
7 Void . 55
8 UE Capability Constraints . 55
Annex A (normative): Differentiation of capabilities. 56
ETSI

---------------------- Page: 4 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 4 ETSI TS 138 306 V15.9.0 (2020-04)
Annex A.1:TDD/FDD differentiation of capabilities in TDD-FDD CA . 56
Annex A.2:FR1/FR2 differentiation of capabilities in FR1-FR2 CA . 57
Annex B (informative): Change history . 59
History . 62

ETSI

---------------------- Page: 5 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 5 ETSI TS 138 306 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

---------------------- Page: 6 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 6 ETSI TS 138 306 V15.9.0 (2020-04)
1 Scope
The present document defines the NR UE Radio Access Capability Parameters.
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 38.101-1: "NR; User Equipment (UE) radio transmission and reception Part 1: Range 1
Standalone".
[3] 3GPP TS 38.101-2: "NR; User Equipment (UE) radio transmission and reception Part 2: Range 2
Standalone".
[4] 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".
[5] 3GPP TS 38.133: "NR; Requirements for support of radio resource management".
[6] 3GPP TS 38.211: "NR; Physical channels and modulation".
[7] 3GPP TS 37.340: "Evolved Universal Terrestrial Radio Access (E-UTRA) and NR Multi-
connectivity".
[8] 3GPP TS 38.321: "NR; Medium Access Control (MAC) protocol specification".
[9] 3GPP TS 38.331: "NR; Radio Resource Control (RRC) protocol specification".
[10] 3GPP TS 38.212: "NR; Multiplexing and channel coding".
[11] 3GPP TS 38.213: "NR; Physical layer procedures for control".
[12] 3GPP TS 38.214: "NR; Physical layer procedures for data".
[13] 3GPP TS 38.215: "NR; Physical layer measurements".
[14] 3GPP TS 36.101: "Evolved Universal Terrestrial Radio Access (E-UTRA) radio transmission and
reception".
[15] 3GPP TS 36.306: "Evolved Universal Terrestrial Radio Access (E-UTRA) User Equipment (UE)
radio access capabilities".
[16] 3GPP TS 38.323: "NR; Packet Data Convergence Protocol (PDCP) specification".
[17] 3GPP TS 36.331: "Evolved Universal Terrestrial Radio Access (E-UTRA) Radio Resource
Control (RRC); Protocol Specification".
[18] 3GPP TS 38.101-4: "NR; User Equipment (UE) radio transmission and reception Part 4:
Performance requirements".
[19] 3GPP TS 36.213: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer
procedures".
ETSI

---------------------- Page: 7 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 7 ETSI TS 138 306 V15.9.0 (2020-04)
3 Definitions, symbols and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in TR 21.905 [1] and the following apply. A
term defined in the present document takes precedence over the definition of the same term, if any, in TR 21.905 [1].
Fallback band combination: A band combination that would result from another band combination by releasing at
least one SCell or uplink configuration of SCell, or SCG. An intra-band non-contiguous band combination is not
considered to be a fallback band combination of an intra-band contiguous band combination.
Fallback per band feature set: A feature set per band that has same or lower values than the reported values from the
reported feature set per band for a given band.
Fallback per CC feature set: A feature set per CC that has lower value of UE supported MIMO layers and BW while
keeping the numerology and other parameters the same from the reported feature set per CC for a given carrier per
band.
3.2 Symbols
For the purposes of the present document, the following symbols apply:
MaxDLDataRate: Maximum DL data rate
MaxDLDataRate_MN: Maximum DL data rate in the MN
MaxDLDataRate_SN: Maximum DL data rate in the SN
MaxULDataRate: Maximum UL data rate
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
TR 21.905 [1].
BC Band Combination
DL Downlink
FS Feature Set
FSPC Feature Set Per Component-carrier
MAC Medium Access Control
MCG Master Cell Group
MN Master Node
MR-DC Multi-RAT Dual Connectivity
PDCP Packet Data Convergence Protocol
RLC Radio Link Control
RTT Round Trip Time
SCG Secondary Cell Group
SDAP Service Data Adaptation Protocol
SN Secondary Node
UL Uplink
ETSI

---------------------- Page: 8 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 8 ETSI TS 138 306 V15.9.0 (2020-04)
4 UE radio access capability parameters
4.1 Supported max data rate
4.1.1 General
The DL and UL max data rate supported by the UE is calculated by band or band combinations supported by the UE. A
UE supporting NR (NR SA, MR-DC) shall support the calculated DL and UL max data rate defined in 4.1.2.
4.1.2 Supported max data rate
For NR, the approximate data rate for a given number of aggregated carriers in a band or band combination is computed
as follows.
J BW ( j),μ
 
N ⋅12
−6 ( j) ( j) ( j) ( j)
PRB
 
data rate (in Mbps) = 10 ⋅ v ⋅Q ⋅ f ⋅ R ⋅ ⋅()1− OH
m max

Layers μ
 
T
j=1  s 

wherein
J is the number of aggregated component carriers in a band or band combination
R = 948/1024
max
For the j-th CC,
( j)
v is the maximum number of supported layers given by higher layer parameter maxNumberMIMO-
Layers

LayersPDSCH for downlink and maximum of higher layer parameters maxNumberMIMO-LayersCB-PUSCH
and maxNumberMIMO-LayersNonCB-PUSCH for uplink.
( j)
Q is the maximum supported modulation order given by higher layer parameter
m
supportedModulationOrderDL for downlink and higher layer parameter supportedModulationOrderUL for
uplink.
( j)
f
is the scaling factor given by higher layer parameter scalingFactor and can take the values 1, 0.8, 0.75,
and 0.4.
μ
 is the numerology (as defined in TS 38.211 [6])
−3
10
μ
μ
T =
s
μ
T
μ
s 14 ⋅ 2
 is the average OFDM symbol duration in a subframe for numerology , i.e. . Note that
normal cyclic prefix is assumed.
BW()j ,μ
()j
N μ
PRB BW
 is the maximum RB allocation in bandwidth with numerology , as defined in 5.3 TS
()j
BW
38.101-1 [2] and 5.3 TS 38.101-2 [3], where is the UE supported maximum bandwidth in the given
band or band combination.
( j)
OH is the overhead and takes the following values
0.14, for frequency range FR1 for DL
0.18, for frequency range FR2 for DL
0.08, for frequency range FR1 for UL
0.10, for frequency range FR2 for UL
NOTE: Only one of the UL or SUL carriers (the one with the higher data rate) is counted for a cell operating
SUL.
The approximate maximum data rate can be computed as the maximum of the approximate data rates computed using
the above formula for each of the supported band or band combinations.
ETSI

---------------------- Page: 9 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 9 ETSI TS 138 306 V15.9.0 (2020-04)
For single carrier NR SA operation, the UE shall support a data rate for the carrier that is no smaller than the data rate
()
computed using the above formula, with =1 and component ⋅⋅ is no smaller than 4.

()
NOTE: As an example, the value 4 in the component above can correspond to =1, = 4 and =1.
For EUTRA in case of MR-DC, the approximate data rate for a given number of aggregated carriers in a band or band
combination is computed as follows.
J
−3
Data rate (in Mbps) = 10 ⋅ TBS

j
j=1
wherein
J is the number of aggregated EUTRA component carriers in MR-DC band combination
is the total maximum number of DL-SCH transport block bits received or the total maximum number of
UL-SCH transport block bits transmitted, within a 1ms TTI for j-th CC, as derived from TS36.213 [19] based on
the UE supported maximum MIMO layers for the j-th CC, and based on the maximum modulation order for the
j-th CC and number of PRBs based on the bandwidth of the j-th CC according to indicated UE capabilities.
The approximate maximum data rate can be computed as the maximum of the approximate data rates computed using
the above formula for each of the supported band or band combinations.
For MR-DC, the approximate maximum data rate is computed as the sum of the approximate maximum data rates from
NR and EUTRA.
4.1.3 Void
4.1.4 Total layer 2 buffer size
The total layer 2 buffer size is defined as the sum of the number of bytes that the UE is capable of storing in the RLC
transmission windows and RLC reception and reordering windows and also in PDCP reordering windows for all radio
bearers.
The required total layer 2 buffer size in MR-DC and NR-DC is the maximum value of the calculated values based on
the following equations:
- MaxULDataRate_MN * RLCRTT_MN + MaxULDataRate_SN * RLCRTT_SN + MaxDLDataRate_SN *
RLCRTT_SN + MaxDLDataRate_MN * (RLCRTT_SN + X2/Xn delay + Queuing in SN)
- MaxULDataRate_MN * RLCRTT_MN + MaxULDataRate_SN * RLCRTT_SN + MaxDLDataRate_MN *
RLCRTT_MN + MaxDLDataRate_SN * (RLCRTT_MN + X2/Xn delay + Queuing in MN)
Otherwise it is calculated by MaxDLDataRate * RLC RTT + MaxULDataRate * RLC RTT.
NOTE: Additional L2 buffer required for preprocessing of data is not taken into account in above formula.
The required total layer 2 buffer size is determined as the maximum total layer 2 buffer size of all the calculated ones
for each band combination and the applicable Feature Set combination in the supported MR-DC or NR band
combinations. The RLC RTT for NR cell group corresponds to the smallest SCS numerology supported in the band
combination and the applicable Feature Set combination.
wherein
X2/Xn delay + Queuing in SN = 25ms if SCG is NR, and 55ms if SCG is EUTRA
X2/Xn delay + Queuing in MN = 25ms if MCG is NR, and 55ms if MCG is EUTRA
RLC RTT for EUTRA cell group = 75ms
RLC RTT for NR cell group is defined in Table 4.1.4-1
ETSI

---------------------- Page: 10 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 10 ETSI TS 138 306 V15.9.0 (2020-04)
Table 4.1.4-1: RLC RTT for NR cell group per SCS
SCS (KHz) RLC RTT (ms)
15KHz 50
30KHz 40
60KHz 30
120KHz 20

4.2 UE Capability Parameters
4.2.1 Introduction
The following clauses define the UE radio access capability parameters. Only parameters for which there is the
possibility for UEs to signal different values are considered as UE radio access capability parameters. Therefore,
mandatory features without capability parameters that are the same for all UEs are not listed here.
The network needs to respect the signalled UE radio access capability parameters when configuring the UE and when
scheduling the UE.
The UE may support different functionalities between FDD and TDD, and/or between FR1 and FR2. The UE shall
indicate the UE capabilities as follows. In the table of UE capability parameter in subsequent clauses, "Yes" in the
column by "FDD-TDD DIFF" and "FR1-FR2 DIFF" indicates the UE capability field can have a different value for
between FDD and TDD or between FR1 and FR2 and "No" indicates if it cannot. "FD" in the column indicates to refer
the associated field description. "FR1 only" or "FR2 only" in the column indicates the associated feature is only
supported in FR1 or FR2 and "TDD only" indicates the associated feature is only supported in TDD.
1> set all fields of UE-NR/MRDC-Capability except fdd-Add-UE-NR/MRDC-Capabilities, tdd-Add-UE-
NR/MRDC-Capabilities, fr1-Add-UE-NR/MRDC-Capabilities and fr2-Add-UE-NR/MRDC-Capabilities, to
include the values applicable for all duplex mode(s) and frequency range(s) that the UE supports;
1> if UE supports both FDD and TDD and if (some of) the UE capability fields have a different value for FDD and
TDD
2> if for FDD, the UE supports additional functionality compared to what is indicated by the previous fields of
UE-NR/MRDC-Capability:
3> include field fdd-Add-UE-NR/MRDC-Capabilities and set it to include fields reflecting the additional
functionality applicable for FDD;
2> if for TDD, the UE supports additional functionality compared to what is indicated by the previous fields of
UE-NR/MRDC-Capability:
3> include field tdd-Add-UE-NR/MRDC-Capabilities and set it to include fields reflecting the additional
functionality applicable for TDD;
1> if UE supports both FR1 and FR2 and if (some of) the UE capability fields have a different value for FR1 and
FR2:
2> if for FR1, the UE supports additional functionality compared to what is indicated by the previous fields of
UE-NR/MRDC-Capability:
3> include field fr1-Add-UE-NR/MRDC-Capabilities and set it to include fields reflecting the additional
functionality applicable for FR1;
2> if for FR2, the UE supports additional functionality compared to what is indicated by the previous fields of
UE-NR/MRDC-Capability:
3> include field fr2-Add-UE-NR/MRDC-Capabilities and set it to include fields reflecting the additional
functionality applicable for FR2;
ETSI

---------------------- Page: 11 ----------------------
3GPP TS 38.306 version 15.9.0 Release 15 11 ETSI TS 138 306 V15.9.0 (2020-04)
NOTE: The fields which indicate "shall be set to 1" or "shall be set to supported" in the following tables means
these features are purely mandatory and are assumed they are the same as mandatory without capability
signaling.
For optional features, the UE radio access capability parameter indicates whether the feature has been implemented and
successfully tested. For mandatory features with the UE radio access capability parameter, the parameter indicates
whether the feature has been successfully tested. In the table of UE capability parameter in subsequent clauses, "Yes" in
the column by "M" indicates the associated feature is mandatory and "No" indicates the associated feature is optional.
"CY" in the column indicates the associated feature is conditional mandatory and the condition is described in the field
description and the associated feature is considered mandatory with capability parameter, when the described condition
is satisfied. "FD" in the column indicates to refer the associated field description. Some parameters in subsequent
clauses are not related to UE features and in the case, "N/A" is indicated in the column.
UE capability parameters have hierarchical structure. In the table of UE capability parameter in subsequent clauses,
"Per" indicates the level the associated parameter is included. "UE" in the column indicates the associated parameter is
signalled per UE, "Band" indicates it is signalled per band, "BC" indicates it is signalled per band combination, "FS"
indicates it is signalled per feature set (per band per band combination), "FSPC" indicates it is signalled per feature set
per component carrier (per CC per band per band combination), and "FD" in the column indicates to refer the associated
field description.
4.2.2 General parameters
Definitions for parameters Per M FDD- FR1-
TDD FR2
DIFF DIFF
accessStratumRelease UE Yes No No
Indicates the access stratum release the UE supports as specified in TS 38.331 [9].
delayBudgetReporting
UE No No No
Indicates whether the UE supports delay budget reporting as specified in TS 38.331
[9].
inactiveState UE Yes No No
Indicates whether the UE supports RRC_INACT
...