ETSI TS 138 523-1 V15.0.0 (2018-07)

5G; 5GS; UE conformance specification; Part 1: Protocol (3GPP TS 38.523-1 version 15.0.0 Release 15)

DTS/TSGR-0538523-1vf00

General Information

• Status: Published
• Publication Date: 11-Jul-2018
• Technical Committee: 3GPP RAN 5 - Mobile Terminal Conformance Testing (formely T1)
• Current Stage: 12 - Completion
• Completion Date: 12-Jul-2018

Standards Content (Sample)

ETSI TS 138 523-1 V15.0.0 (2018-07)






TECHNICAL SPECIFICATION
5G;
5GS;
UE conformance specification;
Part 1: Protocol
(3GPP TS 38.523-1 version 15.0.0 Release 15)

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3GPP TS 38.523-1 version 15.0.0 Release 15 1 ETSI TS 138 523-1 V15.0.0 (2018-07)



Reference
DTS/TSGR-0538523-1vf00
Keywords
5G
ETSI
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3GPP TS 38.523-1 version 15.0.0 Release 15 2 ETSI TS 138 523-1 V15.0.0 (2018-07)
Intellectual Property Rights
Essential patents
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Foreword
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, UMTS identities or
GSM identities. These should be interpreted as being references to the corresponding ETSI deliverables.
The cross reference between GSM, UMTS, 3GPP and ETSI identities can be found under
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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

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3GPP TS 38.523-1 version 15.0.0 Release 15 3 ETSI TS 138 523-1 V15.0.0 (2018-07)
Contents
Intellectual Property Rights . 2
Foreword . 2
Modal verbs terminology . 2
Foreword . 8
1 Scope . 9
2 References . 9
3 Definitions, symbols and abbreviations . 10
3.1 Definitions . 10
3.2 Symbols . 11
3.3 Abbreviations . 11
4 Overview . 11
4.1 Test methodology . 11
4.1.1 Testing of optional functions and procedures . 11
4.1.2 Test interfaces and facilities. 11
4.2 Implicit testing . 11
4.3 Repetition of tests . 11
4.4 Handling of differences between conformance requirements in different releases of core specifications . 12
5 Reference conditions and generic setup procedures . 12
5.1 Reference conditions . 12
5.2 Generic setup procedures . 12
6 Idle mode operations . 12
6.1 NR idle mode operations . 12
7 Layer 2 . 12
7.1 NR Layer 2 . 12
7.1.0 Common test case specific values for Layer 2 . 12
7.1.1 MAC . 13
7.1.1.0 Default Pre-Test Conditions for all MAC test cases . 13
7.1.1.1 Random Access Procedures . 14
7.1.1.1.1 Correct selection of RACH parameters / Random access preamble and PRACH resource
explicitly signalled to the UE by RRC / contention free random access procedure . 14
7.1.1.1.2 Random access procedure / Successful / C-RNTI Based / Preamble selected by MAC itself . 19
7.1.1.2 Downlink Data Transfer . 33
7.1.1.2.1 Correct Handling of DL MAC PDU / Assignment / HARQ process . 33
7.1.1.3 Uplink Data Transfer. 41
7.1.1.3.1 Correct Handling of UL MAC PDU / Assignment / HARQ process . 41
7.1.1.3.2 Logical channel prioritization handling . 48
7.1.1.3.3 Correct handling of MAC control information / Scheduling requests . 52
7.1.1.3.4 Correct handling of MAC control information / Buffer status / UL data arrive in the UE Tx
buffer / Regular BSR . 57
7.1.1.3.5 Correct handling of MAC control information / Buffer Status / UL resources are allocated /
Padding BSR . 67
7.1.1.3.6 Correct handling of MAC control information / Buffer status / Periodic BSR timer expires . 76
7.1.1.3.7 UE power headroom reporting / Periodic reporting / DL pathloss change reporting . 83
7.1.1.4 Transport Size Selection . 94
7.1.1.4.1 DL-SCH Transport Block Size Selection . 94
7.1.1.4.1.1 DL-SCH Transport Block Size selection / DCI format 1_0 . 94
7.1.1.4.1.2 DL-SCH Transport Block Size selection / DCI format 1_0 / 256QAM . 101
7.1.1.4.1.3 DL-SCH transport block size selection / DCI format 1_1 / RA type 0/RA Type 1 / 2
Codewords enabled . 109
7.1.1.4.1.4 DL-SCH transport block size selection / DCI format 1_1 / RA type 0/RA Type 1 / 2
Codewords enabled / 256QAM. 120
7.1.1.4.2 UL-SCH Transport Block Size Selection . 132
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3GPP TS 38.523-1 version 15.0.0 Release 15 4 ETSI TS 138 523-1 V15.0.0 (2018-07)
7.1.1.4.2.1 UL-SCH Transport Block Size selection / DCI format 0_0 . 132
7.1.1.4.2.2 UL-SCH Transport Block Size selection / DCI format 0_0 / 256QAM . 142
7.1.1.4.2.3 UL-SCH transport block size selection / DCI format 0_1 / RA type 0/RA Type 1 / 2
Codewords enabled . 151
7.1.1.4.2.4 UL-SCH transport block size selection / DCI format 0_1 / RA type 0/RA Type 1 / 2
Codewords enabled / 256QAM. 167
7.1.1.5 Discontinuous reception . 184
7.1.1.5.1 DRX operation / Short cycle not configured / Parameters configured by RRC . 184
7.1.1.5.2 DRX operation / Short cycle not configured / Long DRX command MAC control element
reception . 192
7.1.1.5.3 DRX operation / Short cycle configured / Parameters configured by RRC . 200
7.1.1.5.4 DRX Operation / Short cycle configured / DRX command MAC control element reception . 208
7.1.1.6 Semi-Persistent Scheduling . 216
7.1.1.6.1 Correct handling of DL assignment / Semi-persistent case . 216
7.1.2 RLC . 225
7.1.2.1 Default Pre-Test Conditions for all RLC test cases . 225
7.1.2.1.1 Default Pre-Test Conditions for AM RLC test cases. 225
7.1.2.1.2 Default Pre-Test Conditions for UM RLC test cases. 226
7.1.2.2 RLC Unacknowledged mode . 226
7.1.2.2.1 UM RLC / Segmentation and reassembly / 6-bit SN / Segmentation Info (SI) field . 226
7.1.2.2.2 UM RLC / Segmentation and reassembly / 12-bit SN / Segmentation Info (SI) field . 230
7.1.2.2.3 UM RLC / 6-bit SN / Correct use of sequence numbering . 232
7.1.2.2.4 UM RLC / 12-bit SN / Correct use of sequence numbering . 236
7.1.2.2.5 UM RLC / Receive Window operation and t-Reassembly expiry . 240
7.1.2.2.6 UM RLC / RLC re-establishment procedure . 243
7.1.2.3 RLC Acknowledged Mode . 246
7.1.2.3.1 AM RLC / 12-bit SN / Segmentation and reassembly / Segmentation Info (SI) field . 246
7.1.2.3.2 AM RLC / 18-bit SN / Segmentation and reassembly / Segmentation Info (SI) field . 249
7.1.2.3.3 AM RLC / 12-bit SN / Correct use of sequence numbering . 251
7.1.2.3.4 AM RLC / 18-bit SN / Correct use of sequence numbering . 256
7.1.2.3.5 AM RLC / Control of transmit window/Control of receive window . 261
7.1.2.3.6 AM RLC / Polling for status. 265
7.1.2.3.7 AM RLC / Receiver status triggers . 270
7.1.2.3.8 AM RLC / Reconfiguration of RLC parameters by upper layers . 276
7.1.2.3.9 AM RLC / Reassembling of AMD PDUs . 281
7.1.2.3.10 AM RLC / Re-transmission of RLC PDU with and without re-segmentation . 288
7.1.2.3.11 AM RLC / RLC re-establishment procedure . 296
7.1.3 PDCP . 302
7.1.3.0 Default Pre-Test Conditions for all PDCP test cases . 302
7.1.3.1 Maintenance of PDCP sequence numbers for radio bearers . 303
7.1.3.1.1 Maintenance of PDCP sequence numbers / User plane / 12 bit SN . 303
7.1.3.1.2 Maintenance of PDCP sequence numbers / User plane / 18 bit SN . 307
7.1.3.2 PDCP integrity protection . 307
7.1.3.2.1 Integrity protection / Correct functionality of encryption algorithm SNOW3G / SRB / DRB . 307
7.1.3.2.2 Integrity protection / Correct functionality of encryption algorithm AES / SRB / DRB . 312
7.1.3.2.3 Integrity protection / Correct functionality of encryption algorithm ZUC / SRB / DRB . 313
7.1.3.3 PDCP Ciphering and deciphering . 314
7.1.3.3.1 Ciphering and deciphering / Correct functionality of encryption algorithm SNOW3G / SRB /
DRB . 314
7.1.3.3.2 Ciphering and deciphering / Correct functionality of encryption algorithm AES / SRB / DRB . 316
7.1.3.3.3 Ciphering and deciphering / Correct functionality of encryption algorithm ZUC / SRB / DRB . 317
7.1.3.4 PDCP Handover . 317
7.1.3.4.1 PDCP handover / Lossless handover / PDCP sequence number maintenance / PDCP status
report to convey the information on missing or acknowledged PDCP SDUs at handover / In-
order delivery and duplicate elimination in the downlink . 317
7.1.3.4.2 PDCP handover / Non-lossless handover / PDCP sequence number maintenance . 328
7.1.3.5 PDCP other . 330
7.1.3.5.1 PDCP Discard . 330
7.1.3.5.2 PDCP Uplink Routing / Split DRB . 333
7.1.3.5.3 PDCP Data Recovery . 335
7.1.3.5.4 PDCP reordering / Maximum re-ordering delay below t-Reordering / t-Reordering timer
operations . 340
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3GPP TS 38.523-1 version 15.0.0 Release 15 5 ETSI TS 138 523-1 V15.0.0 (2018-07)
7.1.4 SDAP . 344
8 RRC . 345
8.1 NR RRC . 345
8.2 MR-DC RRC . 345
8.2.1 UE Capability transfer / RRC Others . 345
8.2.1.1 UE capability transfer / Success . 345
8.2.1.1.1 UE capability transfer / Success / EN-DC . 345
8.2.1.2 BandwidthPart Configuration / SCG . 351
8.2.1.2.1 BandwidthPart Configuration / SCG / EN-DC . 351
8.2.2 Radio Bearer Addition, Modification and Release . 354
8.2.2.1 Radio Bearer Addition, Modification and Release / SRB . 354
8.2.2.1.1 SRB3 Establishment, Reconfiguration and Release / NR addition, modification and release /
EN-DC . 354
8.2.2.2 Split SRB Establishment and Release . 360
8.2.2.2.1 Split SRB Establishment and Release / EN-DC . 360
8.2.2.3 Simultaneous SRB3 and Split SRB / Sequential message flow on SRB3 and Split SRB . 367
8.2.2.3.1 Simultaneous SRB3 and Split SRB / Sequential message flow on SRB3 and Split SRB / EN-
DC . 367
8.2.2.4 PSCell addition, modification and release / SCG DRB . 376
8.2.2.4.1 PSCell addition, modification and release / SCG DRB / EN-DC . 376
8.2.2.5 PSCell addition, modification and release / Split DRB . 384
8.2.2.5.1 PSCell addition, modification and release / Split DRB / EN-DC . 384
8.2.2.6 Bearer Modification / MCG DRB . 392
8.2.2.6.1 Bearer Modification / MCG DRB / SRB / PDCP version change / EN-DC . 392
8.2.2.7 Bearer Modification / Handling for bearer type change without security key change . 405
8.2.2.7.1 Bearer Modification / Handling for bearer type change without security key change / EN-DC . 405
8.2.2.8 Bearer Modification / Handling for bearer type change with security key change . 422
8.2.2.8.1 Bearer Modification / Handling for bearer type change with security key change / EN-DC . 422
8.2.2.9 Bearer Modification / Uplink data path / Split DRB Reconfiguration . 450
8.2.2.9.1 Bearer Modification / Uplink data path / Split DRB Reconfiguration / EN-DC . 450
8.2.3 Measurement Configuration Control and Reporting / Handovers . 456
8.2.3.1 Measurement configuration control and reporting / Inter-RAT measurements / Event B1 /
Measurement of NR cells . 456
8.2.3.1.1 Measurement configuration control and reporting / Inter-RAT measurements / Event B1 /

Measurement of NR cells / EN-DC . 456
8.2.3.2 Measurement configuration control and reporting / Inter-RAT measurements / Event B1 /
Measurement of NR cells / RSRQ based measurements . 462
8.2.3.2.1 Measurement configuration control and reporting / Inter-RAT measurements / Event B1 /
Measurement of NR cells / RSRQ based measurements / EN-DC . 462
8.2.3.3 Measurement configuration control and reporting / Inter-RAT measurements / Periodic reporting

/ Measurement of NR cells . 471
8.2.3.3.1 Measurement configuration control and reporting / Inter-RAT measurements / Periodic
reporting / Measurement of NR cells / EN-DC . 471
8.2.3.4 Measurement configuration control and reporting / Event A1 / Measurement of NR PSCell . 482
8.2.3.4.1 Measurement configuration control and reporting / Event A1 / Measurement of NR PSCell /
EN-DC . 482
8.2.3.5 Measurement configuration control and reporting / Event A2 / Measurement of NR PSCell . 489
8.2.3.5.1 Measurement configuration control and reporting / Event A2 / Measurement of NR PSCell /
EN-DC . 489
8.2.3.6 Measurement configuration control and reporting / Event A3 (intra-frequency, inter-frequency
and inter-band measurements) / Measurement of Neighbour NR cells . 497
8.2.3.6.1 Measurement configuration control and reporting / Event A3 (intra-frequency, inter-

frequency and inter-band measurements) / Measurement of Neighbour NR cells / EN-DC . 497
8.2.3.7 Measurement configuration control and reporting / Event A4 (intra-frequency, inter-frequency
and inter-band measurements) / Measurement of Neighbour NR cell . 507
8.2.3.7.1 Measurement configuration control and reporting / Event A4 (intra-frequency, inter-
frequency and inter-band measurements) / Measurement of Neighbour NR cell / EN-DC . 507
8.2.3.8 Measurement configuration control and reporting / Event A5 (intra-frequency, inter-frequency

and inter-band measurements) / Measurement of Neighbour NR cell . 518
8.2.3.8.1 Measurement configuration control and reporting / Event A5 (intra-frequency, inter-
frequency and inter-band measurements) / Measurement of Neighbour NR cell / EN-DC . 518
ETSI

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3GPP TS 38.523-1 version 15.0.0 Release 15 6 ETSI TS 138 523-1 V15.0.0 (2018-07)
8.2.3.9 Measurement configuration control and reporting / SS/PBCH block based / CSI-RS based intra-
frequency measurements / Measurement of Neighbour NR cell . 533
8.2.3.9.1 Measurement configuration control and reporting / SS/PBCH block based beam
measurements of Intra-frequency NR Neighbour PSCell / EN-DC . 533
8.2.3.10 Measurement configuration control and reporting / SS/PBCH block based / CSI-RS based inter-
frequency measurements / Measurement of Neighbour NR cell . 545
8.2.3.10.1 Measurement configuration control and reporting / SS/PBCH block based beam
measurements of Inter-frequency NR Neighbour PSCell / EN-DC . 545
8.2.3.11 Measurement Gaps patterns Related . 557
8.2.3.11.1 Measurement Gaps patterns Related / LTE/NR FR1 / EN-DC . 557
8.2.3.11.2 Measurement Gaps patterns Related / LTE/NR FR2 / EN-DC . 557
8.2.3.12 Measurement configuration control and reporting / Inter-RAT measurements / Event B2 /
Measurement of NR cells . 557
8.2.3.12.1 Measurement configuration control and reporting / Inter-RAT measurements / Event B2 /
Measurement of NR cells / EN-DC .
...