3GPP TS 38.331 V15.3.0 (2018-09)
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`Technical Specification
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`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`NR;
`Radio Resource Control (RRC) protocol specification
`(Release 15)
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`The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP..
`The present document has not been subject to any approval process by the 3GPP Organizational Partners and shall not be implemented.
`This Specification is provided for future development work within 3GPP only. The Organizational Partners accept no liability for any use of this Specification.
`Specifications and Reports for implementation of the 3GPP TM system should be obtained via the 3GPP Organizational Partners' Publications Offices.
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`APPLE 1017
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`Release 15
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`3GPP TS 38.331 V15.3.0 (2018-09)
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`3GPP
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`Postal address
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`3GPP support office address
`650 Route des Lucioles - Sophia Antipolis
`Valbonne - FRANCE
`Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
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`Internet
`http://www.3gpp.org
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`Copyright Notification
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`No part may be reproduced except as authorized by written permission.
`The copyright and the foregoing restriction extend to reproduction in all media.
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`© 2018, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TSDSI, TTA, TTC).
`All rights reserved.
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`UMTS™ is a Trade Mark of ETSI registered for the benefit of its members
`3GPP™ is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners
`LTE™ is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners
`GSM® and the GSM logo are registered and owned by the GSM Association
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`Release 15
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`3GPP TS 38.331 V15.3.0 (2018-09)
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`Contents
`Foreword .......................................................................................................................................................... 14 
`1 
`Scope ...................................................................................................................................................... 15 
`2 
`References .............................................................................................................................................. 15 
`3 
`Definitions, symbols and abbreviations ................................................................................................. 16 
`3.1 
`Definitions ........................................................................................................................................................... 16 
`3.2 
`Abbreviations ...................................................................................................................................................... 17 
`4 
`General ................................................................................................................................................... 18 
`4.1 
`Introduction ......................................................................................................................................................... 18 
`4.2 
`Architecture ......................................................................................................................................................... 19 
`4.2.1 
`UE states and state transitions including inter RAT ..................................................................................... 19 
`4.2.2 
`Signalling radio bearers ................................................................................................................................. 21 
`4.3 
`Services ............................................................................................................................................................... 22 
`4.3.1 
`Services provided to upper layers ................................................................................................................. 22 
`4.3.2 
`Services expected from lower layers ............................................................................................................ 22 
`4.4 
`Functions ............................................................................................................................................................. 22 
`5 
`Procedures .............................................................................................................................................. 23 
`5.1 
`General ................................................................................................................................................................ 23 
`5.1.1 
`Introduction ................................................................................................................................................... 23 
`5.1.2 
`General requirements .................................................................................................................................... 23 
`5.2 
`System information ............................................................................................................................................. 23 
`5.2.1 
`Introduction ................................................................................................................................................... 23 
`5.2.2 
`System information acquisition .................................................................................................................... 24 
`5.2.2.1 
`General UE requirements ........................................................................................................................ 24 
`5.2.2.2 
`SI validity and need to (re)-acquire SI .................................................................................................... 24 
`5.2.2.2.1 
`SI validity ........................................................................................................................................... 24 
`5.2.2.2.2 
`SI change indication and PWS notification ...................................................................................... 25 
`5.2.2.3 
`Acquisition of System Information ......................................................................................................... 26 
`5.2.2.3.1 
`Acquisition of MIB and SIB1 ............................................................................................................ 26 
`5.2.2.3.2 
`Acquisition of an SI message ............................................................................................................ 26 
`5.2.2.3.3 
`Request for on demand system information ...................................................................................... 27 
`5.2.2.3.4 
`Actions related to transmission of RRCSystemInfoRequest message ............................................... 27 
`5.2.2.4 
`Actions upon receipt of System Information .......................................................................................... 28 
`5.2.2.4.1 
`Actions upon reception of the MIB ................................................................................................... 28 
`5.2.2.4.2 
`Actions upon reception of the SIB1 ................................................................................................... 28 
`5.2.2.4.3 
`Actions upon reception of SIB2 ......................................................................................................... 29 
`5.2.2.4.4 
`Actions upon reception of SIB3 ......................................................................................................... 30 
`5.2.2.4.5 
`Actions upon reception of SIB4 ......................................................................................................... 30 
`5.2.2.4.6 
`Actions upon reception of SIB5 ......................................................................................................... 30 
`5.2.2.4.7 
`Actions upon reception of SIB6 ......................................................................................................... 30 
`5.2.2.4.8 
`Actions upon reception of SIB7 ......................................................................................................... 30 
`5.2.2.4.9 
`Actions upon reception of SIB8 ......................................................................................................... 31 
`5.2.2.4.10 
`Actions upon reception of SIB9 ......................................................................................................... 32 
`5.2.2.5 
`Essential system information missing ..................................................................................................... 32 
`5.3  Connection control ................................................................................................................................. 32 
`5.3.1 
`Introduction ................................................................................................................................................... 32 
`5.3.1.1 
`RRC connection control .......................................................................................................................... 32 
`5.3.1.2 
`Security .................................................................................................................................................... 33 
`5.3.2 
`Paging ............................................................................................................................................................ 34 
`5.3.2.1 
`General ..................................................................................................................................................... 34 
`5.3.2.2 
`Initiation ................................................................................................................................................... 34 
`5.3.2.3 
`Reception of the Paging message by the UE .......................................................................................... 34 
`5.3.3 
`RRC connection establishment ..................................................................................................................... 35 
`5.3.3.1 
`General ..................................................................................................................................................... 35 
`5.3.3.2 
`Initiation ................................................................................................................................................... 35 
`5.3.3.3 
`Actions related to transmission of RRCSetupRequest message ............................................................. 36 
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`3GPP TS 38.331 V15.3.0 (2018-09)
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`5.3.3.4 
`5.3.3.5 
`5.3.3.6 
`5.3.3.7 
`5.3.3.8 
`5.3.4 
`5.3.4.1 
`5.3.4.2 
`5.3.4.3 
`5.3.5 
`5.3.5.1 
`5.3.5.2 
`5.3.5.3 
`5.3.5.4 
`5.3.5.5 
`5.3.5.5.1 
`5.3.5.5.2 
`5.3.5.5.3 
`5.3.5.5.4 
`5.3.5.5.5 
`5.3.5.5.6 
`5.3.5.5.7 
`5.3.5.5.8 
`5.3.5.5.9 
`5.3.5.6 
`5.3.5.6.1 
`5.3.5.6.2 
`5.3.5.6.3 
`5.3.5.6.4 
`5.3.5.6.5 
`5.3.5.7 
`5.3.5.8 
`5.3.5.8.1 
`5.3.5.8.2 
`5.3.5.8.3 
`5.3.5.9 
`5.3.5.10 
`5.3.5.11 
`5.3.6 
`5.3.6.1 
`5.3.6.2 
`5.3.6.3 
`5.3.7 
`5.3.7.1 
`5.3.7.2 
`5.3.7.3 
`5.3.7.4 
`5.3.7.5 
`5.3.7.6 
`5.3.7.7 
`5.3.7.8 
`5.3.8 
`5.3.8.1 
`5.3.8.2 
`5.3.8.3 
`5.3.8.4 
`5.3.8.5 
`5.3.9 
`5.3.9.1 
`5.3.9.2 
`5.3.10 
`5.3.10.1 
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`Reception of the RRCSetup by the UE .................................................................................................... 36 
`Reception of the RRCReject by the UE .................................................................................................. 37 
`Cell re-selection while T300 or T302 is running .................................................................................... 37 
`T300 expiry .............................................................................................................................................. 38 
`Abortion of RRC connection establishment ........................................................................................... 38 
`Initial security activation ............................................................................................................................... 38 
`General ..................................................................................................................................................... 38 
`Initiation ................................................................................................................................................... 39 
`Reception of the SecurityModeCommand by the UE ............................................................................. 39 
`RRC reconfiguration ..................................................................................................................................... 39 
`General ..................................................................................................................................................... 39 
`Initiation ................................................................................................................................................... 40 
`Reception of an RRCReconfiguration by the UE ................................................................................... 40 
`Secondary cell group release ................................................................................................................... 42 
`Cell Group configuration ......................................................................................................................... 42 
`General ............................................................................................................................................... 42 
`Reconfiguration with sync ................................................................................................................. 42 
`RLC bearer release ............................................................................................................................. 43 
`RLC bearer addition/modification ..................................................................................................... 43 
`MAC entity configuration ................................................................................................................. 44 
`RLF Timers & Constants configuration ............................................................................................ 44 
`SPCell Configuration ......................................................................................................................... 45 
`SCell Release ..................................................................................................................................... 45 
`SCell Addition/Modification ............................................................................................................. 45 
`Radio Bearer configuration ..................................................................................................................... 46 
`General ............................................................................................................................................... 46 
`SRB release ........................................................................................................................................ 46 
`SRB addition/modification ................................................................................................................ 46 
`DRB release ....................................................................................................................................... 47 
`DRB addition/modification ............................................................................................................... 47 
`Security key update ................................................................................................................................. 49 
`Reconfiguration failure ............................................................................................................................ 50 
`Integrity check failure ........................................................................................................................ 50 
`Inability to comply with RRCReconfiguration ................................................................................. 50 
`T304 expiry (Reconfiguration with sync Failure) ............................................................................. 51 
`Other configuration ................................................................................................................................. 51 
`EN-DC release ......................................................................................................................................... 51 
`Full configuration .................................................................................................................................... 51 
`Counter check ................................................................................................................................................ 52 
`General ..................................................................................................................................................... 52 
`Initiation ................................................................................................................................................... 52 
`Reception of the CounterCheck message by the UE .............................................................................. 53 
`RRC connection re-establishment ................................................................................................................. 53 
`General ..................................................................................................................................................... 53 
`Initiation ................................................................................................................................................... 54 
`Actions following cell selection while T311 is running ......................................................................... 54 
`Actions related to transmission of RRCReestablishmentRequest message ............................................ 55 
`Reception of the RRCReestablishment by the UE .................................................................................. 55 
`T311 expiry .............................................................................................................................................. 56 
`T301 expiry or selected cell no longer suitable ...................................................................................... 56 
`Reception of the RRCSetup by the UE .................................................................................................... 56 
`RRC connection release ................................................................................................................................ 56 
`General ..................................................................................................................................................... 56 
`Initiation ................................................................................................................................................... 57 
`Reception of the RRCRelease by the UE ................................................................................................ 57 
`T320 expiry .............................................................................................................................................. 58 
`UE actions upon the expiry of DataInactivityTimer ............................................................................... 58 
`RRC connection release requested by upper layers ..................................................................................... 58 
`General ..................................................................................................................................................... 58 
`Initiation ................................................................................................................................................... 58 
`Radio link failure related actions .................................................................................................................. 59 
`Detection of physical layer problems in RRC_CONNECTED .............................................................. 59 
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`5.3.10.2 
`5.3.10.3 
`5.3.11 
`5.3.12 
`5.3.13 
`5.3.13.1 
`5.3.13.2 
`5.3.13.3 
`5.3.13.4 
`5.3.13.5 
`5.3.13.6 
`5.3.13.7 
`5.3.13.8 
`5.3.13.9 
`5.3.13.10 
`5.3.14 
`5.3.14.1 
`5.3.14.2 
`5.3.14.3 
`5.3.14.4 
`5.3.14.5 
`5.3.15 
`5.3.15.1 
`5.3.15.2 
`5.4 
`5.4.1 
`5.4.2 
`5.4.2.1 
`5.4.2.2 
`5.4.2.3 
`5.4.3 
`5.4.3.1 
`5.4.3.2 
`5.4.3.3 
`5.4.3.4 
`5.4.3.5 
`5.5 
`5.5.1 
`5.5.2 
`5.5.2.1 
`5.5.2.2 
`5.5.2.3 
`5.5.2.4 
`5.5.2.5 
`5.5.2.6 
`5.5.2.7 
`5.5.2.8 
`5.5.2.9 
`5.5.2.10 
`5.5.2.11 
`5.5.3 
`5.5.3.1 
`5.5.3.2 
`5.5.3.3 
`5.5.3.3a 
`5.5.4 
`5.5.4.1 
`5.5.4.2 
`5.5.4.3 
`5.5.4.4 
`5.5.4.5 
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`Recovery of physical layer problems ...................................................................................................... 59 
`Detection of radio link failure ................................................................................................................. 59 
`UE actions upon going to RRC_IDLE ......................................................................................................... 59 
`UE actions upon PUCCH/SRS release request ............................................................................................ 60 
`RRC connection resume ................................................................................................................................ 60 
`General ..................................................................................................................................................... 60 
`Initiation ................................................................................................................................................... 61 
`Actions related to transmission of RRCResumeRequest or RRCResumeRequest1 message ................. 62 
`Reception of the RRCResume by the UE ................................................................................................ 63 
`T319 expiry or Integrity check failure from lower layers while T319 is running ................................. 64 
`Cell re-selection while T319 or T302 is running .................................................................................... 64 
`Reception of the RRCSetup by the UE .................................................................................................... 64 
`RNA update ............................................................................................................................................. 65 
`Reception of the RRCRelease by the UE ................................................................................................ 65 
`Reception of the RRCReject by the UE .................................................................................................. 65 
`Unified Access Control ................................................................................................................................. 65 
`General ..................................................................................................................................................... 65 
`Initiation ................................................................................................................................................... 65 
`Conditions for stopping of barring timers T390 ..................................................................................... 67 
`Barring alleviation ................................................................................................................................... 67 
`Access barring check ............................................................................................................................... 67 
`RRC connection reject .................................................................................................................................. 68 
`Initiation ................................................................................................................................................... 68 
`Reception of the RRCReject by the UE .................................................................................................. 68 
`Inter-RAT mobility ............................................................................................................................................. 69 
`Introduction ................................................................................................................................................... 69 
`Handover to NR ............................................................................................................................................. 69 
`General ..................................................................................................................................................... 69 
`Initiation ................................................................................................................................................... 69 
`Reception of the RRCReconfiguration by the UE .................................................................................. 69 
`Mobility from NR .......................................................................................................................................... 70 
`General ..................................................................................................................................................... 70 
`Initiation ................................................................................................................................................... 70 
`Reception of the MobilityFromNR by the UE ........................................................................................ 70 
`Successful completion of the mobility from NR .................................................................................... 70 
`Mobility from NR failure ........................................................................................................................ 70 
`Measurements ..................................................................................................................................................... 71 
`Introduction ................................................................................................................................................... 71 
`Measurement configuration .......................................................................................................................... 72 
`General ..................................................................................................................................................... 72 
`Measurement identity removal ................................................................................................................ 73 
`Measurement identity addition/modification .......................................................................................... 73 
`Measurement object removal .................................................................................................................. 74 
`Measurement object addition/modification ............................................................................................ 74 
`Reporting configuration removal ............................................................................................................ 75 
`Reporting configuration addition/modification ...................................................................................... 76 
`Quantity configuration ............................................................................................................................. 76 
`Measurement gap configuration .............................................................................................................. 76 
`Reference signal measurement timing configuration ............................................................................. 77 
`Measurement gap sharing configuration ................................................................................................. 78 
`Performing measurements ............................................................................................................................. 78 
`General ..................................................................................................................................................... 78 
`Layer 3 filtering ....................................................................................................................................... 80 
`Derivation of cell measurement results ................................................................................................... 81 
`Derivation of layer 3 beam filtered measurement .................................................................................. 81 
`Measurement report triggering ...................................................................................................................... 82 
`General ..................................................................................................................................................... 82 
`Event A1 (Serving becomes better than threshold) ................................................................................ 84 
`Event A2 (Serving becomes worse than threshold) ................................................................................ 84 
`Event A3 (Neighbour becomes offset better than SpCell) ..................................................................... 85 
`Event A4 (Neighbour becomes better than threshold) ........................................................................... 85 
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`Release 15
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`3GPP TS 38.331 V15.3.0 (2018-09)
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`5.5.4.6 
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`5.5.4.7 
`5.5.4.8 
`5.5.4.9 
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`Event A5 (SpCell becomes worse than threshold1 and neighbour/SCell becomes better than
`threshold2) ............................................................................................................................................... 86 
`Event A6 (Neighbour becomes offset better than SCell) ....................................................................... 87 
`Event B1 (Inter RAT neighbour becomes better than threshold) ........................................................... 87 
`Event B2 (PCell becomes worse than threshold1 and inter RAT neighbour becomes better than
`threshold2) ............................................................................................................................................... 88 
`Measurement reporting ................................................................................................................................. 89 
`5.5.5 
`General ..................................................................................................................................................... 89 
`5.5.5.1 
`Reporting of beam measurement information ........................................................................................ 92 
`5.5.5.2 
`Location measurement indication ................................................................................................................. 92 
`5.5.6 
`General ..................................................................................................................................................... 92 
`5.5.6.1 
`Initiation ................................................................................................................................................... 93 
`5.5.6.2 
`Actions related to transmission of LocationMeasurementIndication message ...................................... 93 
`5.5.6.3 
`UE capabilities .................................................................................................................................................... 93 
`5.6 
`UE capability transfer .................................................................................................................................... 93 
`5.6.1 
`General ..................................................................................................................................................... 93 
`5.6.1.1 
`Initiation ................................................................................................................................................... 94 
`5.6.1.2 
`Reception of the UECa