ETSI TS 138 213 V17.2.0 (2022-07)

5G ; NR; Physical layer procedures for control (3GPP TS 38.213 version 17.2.0 Release 17)

RTS/TSGR-0138213vh20

General Information

• Status: Not Published
• Technical Committee: 3GPP RAN 1 - Radio layer 1 specification
• Current Stage: 12 - Citation in the OJ (auto-insert)
• Completion Date: 20-Jul-2022

Standards Content (Sample)

ETSI TS 138 213 V17.2.0 (2022-07)






TECHNICAL SPECIFICATION
5G;
NR;
Physical layer procedures for control
(3GPP TS 38.213 version 17.2.0 Release 17)

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3GPP TS 38.213 version 17.2.0 Release 17 1 ETSI TS 138 213 V17.2.0 (2022-07)

Reference
RTS/TSGR-0138213vh20
Keywords
5G
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ETSI

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3GPP TS 38.213 version 17.2.0 Release 17 2 ETSI TS 138 213 V17.2.0 (2022-07)
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ETSI

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3GPP TS 38.213 version 17.2.0 Release 17 3 ETSI TS 138 213 V17.2.0 (2022-07)
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 . 34
7.3 Sounding reference signals . 39
7.3.1 UE behaviour . 39
7.4 Physical random access channel . 42
7.5 Prioritizations for transmission power reductions . 43
7.6 Dual connectivity . 44
7.6.1 EN-DC . 44
7.6.1A NE-DC . 45
7.6.2 NR-DC . 45
7.7 Power headroom report . 47
7.7.1 Type 1 PH report . 48
7.7.2 Type 2 PH report . 50
7.7.3 Type 3 PH report . 50
8 Random access procedure . 51
8.1 Random access preamble . 51
8.1A PUSCH for Type-2 random access procedure . 54
8.2 Random access response - Type-1 random access procedure . 56
8.2A Random access response - Type-2 random access procedure . 58
8.3 PUSCH scheduled by RAR UL grant. 59
8.4 PDSCH with UE contention resolution identity . 61
9 UE procedure for reporting control information . 61
9.A PUCCH cell switching . 69
9.1 HARQ-ACK codebook determination . 70
9.1.1 CBG-based HARQ-ACK codebook determination . 71
9.1.2 Type-1 HARQ-ACK codebook determination . 72
9.1.2.1 Type-1 HARQ-ACK codebook in physical uplink control channel . 74
9.1.2.2 Type-1 HARQ-ACK codebook in physical uplink shared channel. 85
9.1.3 Type-2 HARQ-ACK codebook determination . 86
9.1.3.1 Type-2 HARQ-ACK codebook in physical uplink control channel . 87
9.1.3.2 Type-2 HARQ-ACK codebook in physical uplink shared channel. 96
9.1.3.3 Type-2 HARQ-ACK codebook grouping and HARQ-ACK retransmission. 97
ETSI

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3GPP TS 38.213 version 17.2.0 Release 17 4 ETSI TS 138 213 V17.2.0 (2022-07)
9.1.4 Type-3 HARQ-ACK codebook determination . 99
9.1.5 HARQ-ACK codebook retransmission . 103
9.2 UCI reporting in physical uplink control channel . 104
9.2.1 PUCCH Resource Sets. 104
9.2.2 PUCCH Formats for UCI transmission . 108
9.2.3 UE procedure for reporting HARQ-ACK . 109
9.2.4 UE procedure for reporting SR . 113
9.2.5 UE procedure for reporting multiple UCI types . 114
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 . 119
9.2.5.1 UE procedure for multiplexing HARQ-ACK or CSI and SR in a PUCCH . 119
9.2.5.2 UE procedure for multiplexing HARQ-ACK/SR/CSI in a PUCCH . 121
9.2.5.3 UE procedure for reporting UCI of different priorities . 125
9.2.5.4 UE procedure for deferring HARQ-ACK for SPS PDSCH . 126
9.2.6 PUCCH repetition procedure . 127
9.3 UCI reporting in physical uplink shared channel . 129
10 UE procedure for receiving control information . 134
10.1 UE procedure for determining physical downlink control channel assignment . 147
10.1.1 Self-carrier and cross-carrier scheduling on the primary cell . 166
10.2 PDCCH validation for DL SPS and UL grant Type 2 . 167
10.2A PDCCH validation for SL configured grant Type 2 . 169
10.3 PDCCH monitoring indication and dormancy/non-dormancy behaviour for SCells . 169
10.4 Search space set group switching and skipping of PDCCH monitoring . 172
10.4A PDCCH monitoring for early indication of paging . 176
10.4B Indication of TRS resources . 177
10.5 HARQ-ACK information for PUSCH transmissions . 177
11 UE-group common signalling . . 178
11.1 Slot configuration . 178
11.1.1 UE procedure for determining slot format . 183
11.2 Interrupted transmission indication . 190
11.2A Cancellation indication . 191
11.3 Group TPC commands for PUCCH/PUSCH . 192
11.4 SRS switching . 193
12 Bandwidth part operation . 194
13 UE procedure for monitoring Type0-PDCCH CSS sets . 196
14 Integrated access-backhaul operation . 209
15 Dual active protocol stack based handover . 215
16 UE procedures for sidelink . 217
16.1 Synchronization procedures . 217
16.2 Power control . 219
16.2.0 S-SS/PSBCH blocks . 219
16.2.1 PSSCH . 220
16.2.2 PSCCH . 221
16.2.3 PSFCH . 221
16.2.4 Prioritization of transmissions/receptions . 223
16.2.4.1 Simultaneous NR and E-UTRA transmission/reception . 223
16.2.4.2 Simultaneous PSFCH transmission/reception . 223
16.2.4.3 Simultaneous SL and UL transmissions/receptions . 224
16.2.4.3.1 Prioritizations for sidelink and uplink transmissions/receptions . 225
16.3 UE procedure for reporting and obtaining control information in PSFCH. 226
16.3.0 UE procedure for transmitting PSFCH with control information . 226
16.3.1 UE procedure for receiving PSFCH with control information . 229
16.4 UE procedure for transmitting PSCCH . 230
16.5 UE procedure for reporting HARQ-ACK on uplink . 230
16.5.1 Type-1 HARQ-ACK codebook determination . 233
16.5.1.1 Type-1 HARQ-ACK codebook in physical uplink control channel . 233
16.5.1.2 Type-1 HARQ-ACK codebook in physical uplink shared channel. 235
ETSI

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3GPP TS 38.213 version 17.2.0 Release 17 5 ETSI TS 138 213 V17.2.0 (2022-07)
16.5.2 Type-2 HARQ-ACK codebook determination . 236
16.5.2.1 Type-2 HARQ-ACK codebook in physical uplink control channel . 236
16.5.2.2 Type-2 HARQ-ACK codebook in physical uplink shared channel. 238
16.6 UE procedure for LTE sidelink transmission . 239
16.7 Operation for in-device coexistence . 239
17 UE with reduced capabilities . 239
17.1 RedCap UE procedures . 239
17.2 Half-Duplex UE in paired spectrum . 240
18 Multicast Broadcast Services . 241
19 PUSCH transmission in RRC_INACTIVE state . 245
19.1 Configured-grant based PUSCH transmission . 245
19.2 Random-access based PUSCH transmission . 247
Annex A: Change history . 248
History . 257

ETSI

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3GPP TS 38.213 version 17.2.0 Release 17 6 ETSI TS 138 213 V17.2.0 (2022-07)
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 17.2.0 Release 17 7 ETSI TS 138 213 V17.2.0 (2022-07)
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"


ETSI

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3GPP TS 38.213 version 17.2.0 Release 17 8 ETSI TS 138 213 V17.2.0 (2022-07)
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 Modulation and coding scheme
NDI New Data Indicator
NE-DC E-UTR
...