5G; NR; Physical layer procedures for control (3GPP TS 38.213 version 15.9.0 Release 15)

RTS/TSGR-0138213vf90

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Published
Publication Date
13-Apr-2020
Current Stage
12 - Completion
Completion Date
14-Apr-2020
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ETSI TS 138 213 V15.9.0 (2020-04)
TECHNICAL SPECIFICATION
5G;
NR;
Physical layer procedures for control
(3GPP TS 38.213 version 15.9.0 Release 15)
---------------------- Page: 1 ----------------------
3GPP TS 38.213 version 15.9.0 Release 15 1 ETSI TS 138 213 V15.9.0 (2020-04)
Reference
RTS/TSGR-0138213vf90
Keywords
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3GPP TS 38.213 version 15.9.0 Release 15 2 ETSI TS 138 213 V15.9.0 (2020-04)
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ETSI
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3GPP TS 38.213 version 15.9.0 Release 15 3 ETSI TS 138 213 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 ................................................................................................... 6

3.1 Definitions .......................................................................................................................................................... 6

3.2 Symbols .............................................................................................................................................................. 7

3.3 Abbreviations ..................................................................................................................................................... 7

4 Synchronization procedures ..................................................................................................................... 9

4.1 Cell search .......................................................................................................................................................... 9

4.2 Transmission timing adjustments ..................................................................................................................... 10

4.3 Timing for secondary cell activation / deactivation.......................................................................................... 11

5 Radio link monitoring ............................................................................................................................ 12

6 Link recovery procedures ....................................................................................................................... 13

7 Uplink Power control ............................................................................................................................. 14

7.1 Physical uplink shared channel ........................................................................................................................ 14

7.1.1 UE behaviour .............................................................................................................................................. 15

7.2 Physical uplink control channel ........................................................................................................................ 20

7.2.1 UE behaviour .............................................................................................................................................. 20

7.3 Sounding reference signals ............................................................................................................................... 25

7.3.1 UE behaviour .............................................................................................................................................. 25

7.4 Physical random access channel ....................................................................................................................... 27

7.5 Prioritizations for transmission power reductions ............................................................................................ 28

7.6 Dual connectivity ............................................................................................................................................. 28

7.6.1 EN-DC ........................................................................................................................................................ 28

7.6.1A NE-DC ........................................................................................................................................................ 29

7.6.2 NR-DC ........................................................................................................................................................ 30

7.7 Power headroom report .................................................................................................................................... 30

7.7.1 Type 1 PH report ........................................................................................................................................ 31

7.7.2 Type 2 PH report ........................................................................................................................................ 32

7.7.3 Type 3 PH report ........................................................................................................................................ 32

8 Random access procedure ...................................................................................................................... 33

8.1 Random access preamble ................................................................................................................................. 33

8.2 Random access response .................................................................................................................................. 35

8.3 PUSCH scheduled by RAR UL grant............................................................................................................... 37

8.4 PDSCH with UE contention resolution identity ............................................................................................... 38

9 UE procedure for reporting control information .................................................................................... 39

9.1 HARQ-ACK codebook determination ............................................................................................................. 40

9.1.1 CBG-based HARQ-ACK codebook determination .................................................................................... 40

9.1.2 Type-1 HARQ-ACK codebook determination ........................................................................................... 41

9.1.2.1 Type-1 HARQ-ACK codebook in physical uplink control channel ...................................................... 41

9.1.2.2 Type-1 HARQ-ACK codebook in physical uplink shared channel....................................................... 46

9.1.3 Type-2 HARQ-ACK codebook determination ........................................................................................... 47

9.1.3.1 Type-2 HARQ-ACK codebook in physical uplink control channel ...................................................... 47

9.1.3.2 Type-2 HARQ-ACK codebook in physical uplink shared channel....................................................... 52

9.2 UCI reporting in physical uplink control channel ............................................................................................ 53

9.2.1 PUCCH Resource Sets................................................................................................................................ 53

9.2.2 PUCCH Formats for UCI transmission ...................................................................................................... 55

9.2.3 UE procedure for reporting HARQ-ACK ................................................................................................... 56

ETSI
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3GPP TS 38.213 version 15.9.0 Release 15 4 ETSI TS 138 213 V15.9.0 (2020-04)

9.2.4 UE procedure for reporting SR ................................................................................................................... 59

9.2.5 UE procedure for reporting multiple UCI types ......................................................................................... 59

9.2.5.1 UE procedure for multiplexing HARQ-ACK or CSI and SR in a PUCCH .......................................... 64

9.2.5.2 UE procedure for multiplexing HARQ-ACK/SR/CSI in a PUCCH ..................................................... 65

9.2.6 PUCCH repetition procedure ...................................................................................................................... 69

9.3 UCI reporting in physical uplink shared channel ............................................................................................. 70

10 UE procedure for receiving control information .................................................................................... 74

10.1 UE procedure for determining physical downlink control channel assignment ............................................... 75

10.2 PDCCH validation for DL SPS and UL grant Type 2 ...................................................................................... 84

11 UE-group common signalling ................................................................................................. ............... 85

11.1 Slot configuration ............................................................................................................................................. 85

11.1.1 UE procedure for determining slot format .................................................................................................. 88

11.2 Interrupted transmission indication .................................................................................................................. 94

11.3 Group TPC commands for PUCCH/PUSCH ................................................................................................... 95

11.4 SRS switching .................................................................................................................................................. 96

12 Bandwidth part operation ....................................................................................................................... 96

13 UE procedure for monitoring Type0-PDCCH CSS sets ........................................................................ 99

Annex A: Change history .................................................................................................................... 109

History ............................................................................................................................................................ 111

ETSI
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3GPP TS 38.213 version 15.9.0 Release 15 5 ETSI TS 138 213 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
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3GPP TS 38.213 version 15.9.0 Release 15 6 ETSI TS 138 213 V15.9.0 (2020-04)
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"
[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"
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.
ETSI
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3GPP TS 38.213 version 15.9.0 Release 15 7 ETSI TS 138 213 V15.9.0 (2020-04)
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
CCE Control channel element
CORESET Control resource set
CP Cyclic prefix
CRC Cyclic redundancy check
CSI Channel state information
CSS Common search space
DAI Downlink assignment index
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
GSCN Global synchronization channel number
HARQ-ACK Hybrid automatic repeat request acknowledgement
MCG Master cell group
MCS Modulation and coding scheme
NE-DC E-UTRA NR dual connectivity with MCG using NR and SCG using E-UTRA
NR-DC NR NR dual connectivity
PBCH Physical broadcast channel
PCell Primary cell
PDCCH Physical downlink control channel
PDSCH Physical downlink shared channel
PRACH Physical random access channel
PRB Physical resource block
PRG Physical resource block group
PSCell Primary secondary cell
PSS Primary synchronization signal
PUCCH Physical uplink control channel
PUCCH-SCell PUCCH SCell
PUSCH Physical uplink shared channel
QCL Quasi co-location
RB Resource block
RE Resource element
RLM Radio link monitoring
RRM Radio resource management
RS Reference signal
RSRP Reference signal received power
SCG Secondary cell group
SCS Subcarrier spacing
SFN System frame number
SLIV Start and length indicator value
SPS Semi-persistent scheduling
SR Scheduling request
SRI SRS resource indicator
ETSI
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3GPP TS 38.213 version 15.9.0 Release 15 8 ETSI TS 138 213 V15.9.0 (2020-04)
SRS Sounding reference signal
SSS Secondary synchronization signal
TA Timing advance
TAG Timing advance group
TCI Transmission Configuration Indicator
UCI Uplink control information
UE User equipment
UL Uplink
UL-SCH Uplink shared channel
USS UE-specific search space
ETSI
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3GPP TS 38.213 version 15.9.0 Release 15 9 ETSI TS 138 213 V15.9.0 (2020-04)
4 Synchronization procedures
4.1 Cell search

Cell search is the procedure for a UE to acquire time and frequency synchronization with a cell and to detect the

physical layer Cell ID of the cell.

A UE receives the following synchronization signals (SS) in order to perform cell search: the primary synchronization

signal (PSS) and secondary synchronization signal (SSS) as defined in [4, TS 38.211].

A UE assumes that reception occasions of a physical broadcast channel (PBCH), PSS, and SSS are in consecutive

symbols, as defined in [4, TS 38.211], and form a SS/PBCH block. The UE assumes that SSS, PBCH DM-RS, and

PBCH data have same EPRE. The UE may assume that the ratio of PSS EPRE to SSS EPRE in a SS/PBCH block is

either 0 dB or 3 dB. If the UE has not been provided dedicated higher layer parameters, the UE may assume that the

ratio of PDCCH DMRS EPRE to SSS EPRE is within -8 dB and 8 dB when the UE monitors PDCCHs for a DCI

format 1_0 with CRC scrambled by SI-RNTI, P-RNTI, or RA-RNTI.

For a half frame with SS/PBCH blocks, the first symbol indexes for candidate SS/PBCH blocks are determined

according to the SCS of SS/PBCH blocks as follows, where index 0 corresponds to the first symbol of the first slot in a

half-frame.

- Case A - 15 kHz SCS: the first symbols of the candidate SS/PBCH blocks have indexes of . For

{}2, 8 +14 ⋅ n

carrier frequencies smaller than or equal to 3 GHz, n = 0,1. For carrier frequencies within FR1 larger than 3

GHz, n = 0,1, 2, 3 .

- Case B - 30 kHz SCS: the first symbols of the candidate SS/PBCH blocks have indexes {}4, 8, 16, 20 + 28⋅ n . For

carrier frequencies smaller than or equal to 3 GHz, n=0. For carrier frequencies within FR1 larger than 3 GHz,

n = 0,1.

- Case C - 30 kHz SCS: the first symbols of the candidate SS/PBCH blocks have indexes {}2, 8 +14⋅ n .

- For paired spectrum operation

- For carrier frequencies smaller than or equal to 3 GHz, n = 0,1. For carrier frequencies within FR1 larger

than 3 GHz, n = 0,1, 2, 3 .
- For unpaired spectrum operation

- For carrier frequencies smaller than or equal to 2.4 GHz, n = 0,1. For carrier frequencies within FR1

larger than 2.4 GHz, n = 0,1, 2, 3 .

- Case D - 120 kHz SCS: the first symbols of the candidate SS/PBCH blocks have indexes {}4, 8, 16, 20 + 28⋅ n .

n = 0,1, 2, 3, 5, 6, 7, 8,10,11,12,13,15,16,17,18 .
For carrier frequencies within FR2,

- Case E - 240 kHz SCS: the first symbols of the candidate SS/PBCH blocks have indexes

. For carrier frequencies within FR2, n = 0,1, 2, 3, 5, 6, 7, 8 .
{}8, 12, 16, 20, 32, 36, 40, 44 + 56 ⋅ n

From the above cases, if the SCS of SS/PBCH blocks is not provided by ssbSubcarrierSpacing, the applicable cases for

a cell depend on a respective frequency band, as provided in [8-1, TS 38.101-1] and [8-2, TS 38.101-2]. A same case

applies for all SS/PBCH blocks on the cell. If a 30 kHz SS/PBCH block SCS is indicated by ssbSubcarrierSpacing,

Case B applies for frequency bands with only 15 kHz SS/PBCH block SCS as specified in [8-1, TS 38.101-1], and the

case specified for 30 kHz SS/PBCH block SCS in [8-1, TS 38.101-1] applies for frequency bands with 30 kHz

SS/PBCH block SCS or both 15 kHz and 30 kHz SS/PBCH block SCS as specified in [8-1, TS 38.101-1]. For a UE

configured to operate with carrier aggregation over a set of cells in a frequency band of FR2 or with frequency-

contiguous carrier aggregation over a set of cells in a frequency band of FR1, if the UE is provided SCS values by

ssbSubcarrierSpacing for receptions of SS/PBCH blocks on any cells from the set of cells, the UE expects the SCS

values to be same.
ETSI
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3GPP TS 38.213 version 15.9.0 Release 15 10 ETSI TS 138 213 V15.9.0 (2020-04)

The candidate SS/PBCH blocks in a half frame are indexed in an ascending order in time from 0 to L −1 . A UE

max

determines the 2 LSB bits, for L = 4 , or the 3 LSB bits, for L > 4 , of a SS/PBCH block index per half frame from

max
max

a one-to-one mapping with an index of the DM-RS sequence transmitted in the PBCH. For L = 64 , the UE

max

determines the 3 MSB bits of the SS/PBCH block index per half frame from PBCH payload bits a ,a ,a as

A+5 A+6 A+7
described in [5, TS 38.212].

A UE can be provided per serving cell by ssb-periodicityServingCell a periodicity of the half frames for reception of the

SS/PBCH blocks for the serving cell. If the UE is not configured a periodicity of the half frames for receptions of the

SS/PBCH blocks, the UE assumes a periodicity of a half frame. A UE assumes that the periodicity is same for all

SS/PBCH blocks in the serving cell.

For initial cell selection, a UE may assume that half frames with SS/PBCH blocks occur with a periodicity of 2 frames.

Upon detection of a SS/PBCH block, the UE determines from MIB that a CORESET for Type0-PDCCH CSS set, as

described in Subclause 13, is present if [4, TS 38.211] for FR1 or if for FR2. The UE determines

k ≤ 23 k ≤ 11
SSB SSB

from MIB that a CORESET for Type0-PDCCH CSS set is not present if k > 23 for FR1 or if k >11 for FR2; the

SSB SSB
CORESET for Type0-PDCCH CSS set may be provided by PDCCH-ConfigCommon.

For a serving cell without transmission of SS/PBCH blocks, a UE acquires time and frequency synchronization with the

serving cell based on receptions of SS/PBCH blocks on the PCell, or on the PSCell, of the cell group for the serving

cell.
4.2 Transmission timing adjustments

A UE can be provided a value N of a timing advance offset for a serving cell by n-TimingAdvanceOffset for the

TA,offset

serving cell. If the UE is not provided n-TimingAdvanceOffset for a serving cell, the UE determines a default value

N of the timing advance offset for the serving cell as described in [10, TS 38.133].

TA,offset

If a UE is configured with two UL carriers for a serving cell, a same timing advance offset value N applies to

TA,offset
both carriers.

Upon reception of a timing advance command for a TAG, the UE adjusts uplink timing for PUSCH/SRS/PUCCH

transmission on all the serving cells in the TAG based on a value N that the UE expects to be same for all the

TA,offset

serving cells in the TAG and based on the received timing advance command where the uplink timing for

PUSCH/SRS/PUCCH transmissions is the same for all the serving cells in the TAG.

For a band with synchronous contiguous intra-band EN-DC in a band combination with non-applicable maximum

transmit timing difference requirements as described in Note 1 of Table 7.5.3-1 of [10, TS 38.133], if the UE indicates

ul-TimingAlignmentEUTRA-NR as 'required' and uplink transmission timing based on timing adjustment indication for a

TAG from MCG and a TAG from SCG are determined to be different by the UE, the UE adjusts the transmission

timing for PUSCH/SRS/PUCCH transmission on all serving cells part of the band with the synchronous contiguous

intra-band EN-DC based on timing adjustment indication for a TAG from a serving cell in MCG in the band. The UE is

not expected to transmit a PUSCH/SRS/PUCCH in one CG when the PUSCH/SRS/PUCCH is overlapping in time,

even partially, with random access preamble transmitted in another CG.

For a SCS of 2 ⋅15 kHz, the timing advance command for a TAG indicates the change of the uplink timing relative to

the current uplink timing for the TAG in multiples of 16 ⋅ 64 ⋅T 2 . The start timing of the random access preamble is

described in [4, TS 38.211].

In case of random access response, a timing advance command [11, TS 38.321], T , for a TAG indicates N values

A TA

by index values of = 0, 1, 2, ..., 3846, where an amount of the time alignment for the TAG with SCS of 2 ⋅15 kHz

is N = T ⋅16 ⋅ 64 2 . N is defined in [4, TS 38.211] and is relative to the SCS of the first uplink transmission

TA A TA
from the UE after the reception of the random access response.
ETSI
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3GPP TS 38.213 version 15.9.0 Release 15 11 ETSI TS 138 213 V15.9.0 (2020-04)

In other cases, a timing advance command [11, TS 38.321], T , for a TAG indicates adjustment of a current N

A TA

value, N , to the new N value, N , by index values of T = 0, 1, 2,..., 63, where for a SCS of 2 ⋅15 kHz,

TA_old TA TA_new A
N = N +()T −31 ⋅16⋅ 64 2 .
TA_new TA_old A

If a UE has multiple active UL BWPs, as described in Subclause 12, in a same TAG, including UL BWPs in two UL

carrier
...

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