3GPP TS 38.300 V15.0.0 (2017-12)
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`Technical Specification
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`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`NR; NR and NG-RAN Overall Description;
`Stage 2
`(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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`3GPP TS 38.300 V15.0.0 (2017-12)
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`3GPP
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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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`© 2017, 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
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`GSM® and the GSM logo are registered and owned by the GSM Association
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`3GPP
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`Release 15
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`3GPP TS 38.300 V15.0.0 (2017-12)
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`Contents
`Foreword ...................................................................................................................................................... 7
`1
`Scope .................................................................................................................................................. 8
`2
`References .......................................................................................................................................... 8
`3
`Abbreviations and Definitions ............................................................................................................. 9
`3.1
`Abbreviations............................................................................................................................................... 9
`3.2
`Definitions ................................................................................................................................................... 9
`4
`Overall Architecture and Functional Split .......................................................................................... 10
`4.1
`Overall Architecture ................................................................................................................................... 10
`4.2
`Functional Split .......................................................................................................................................... 11
`4.3
`Network Interfaces ..................................................................................................................................... 13
`4.3.1
`NG Interface ......................................................................................................................................... 13
`4.3.1.1
`NG User Plane ................................................................................................................................ 13
`4.3.1.2
`NG Control Plane ............................................................................................................................ 13
`4.3.2
`Xn Interface .......................................................................................................................................... 14
`4.3.2.1
`Xn User Plane ................................................................................................................................. 14
`4.3.2.2
`Xn Control Plane ............................................................................................................................. 14
`4.4
`Radio Protocol Architecture ....................................................................................................................... 15
`4.4.1
`User Plane ............................................................................................................................................ 15
`4.4.2
`Control Plane ........................................................................................................................................ 15
`4.5
`Multi-RAT Dual Connectivity .................................................................................................................... 16
`5
`Physical Layer .................................................................................................................................. 16
`5.1
`Waveform, numerology and frame structure ............................................................................................... 16
`5.2
`Downlink ................................................................................................................................................... 17
`5.2.1
`Downlink transmission scheme ............................................................................................................. 17
`5.2.2
`Physical-layer processing for physical downlink shared channel ............................................................ 17
`5.2.3
`Physical downlink control channels ....................................................................................................... 18
`5.2.4
`Synchronization signal and PBCH......................................................................................................... 18
`5.2.5
`Physical layer procedures ...................................................................................................................... 19
`5.2.5.1
`Link adaptation ............................................................................................................................... 19
`5.2.5.2
`Power Control ................................................................................................................................. 19
`5.2.5.3
`Cell search ...................................................................................................................................... 19
`5.2.5.4
`HARQ............................................................................................................................................. 19
`5.3
`Uplink ....................................................................................................................................................... 19
`5.3.1
`Uplink transmission scheme .................................................................................................................. 19
`5.3.2
`Physical-layer processing for physical uplink shared channel ................................................................. 19
`5.3.3
`Physical uplink control channel ............................................................................................................. 20
`5.3.4
`Random access ..................................................................................................................................... 21
`5.3.5
`Physical layer procedures ...................................................................................................................... 21
`5.3.5.1
`Link adaptation ............................................................................................................................... 21
`5.3.5.2
`Uplink Power control ...................................................................................................................... 21
`5.3.5.3
`Uplink timing control ...................................................................................................................... 21
`5.3.5.4
`HARQ............................................................................................................................................. 21
`5.4
`Carrier aggregation .................................................................................................................................... 21
`5.4.1
`Carrier aggregation ............................................................................................................................... 21
`5.4.2
`Supplemental Uplink ............................................................................................................................ 22
`5.5
`Transport Channels .................................................................................................................................... 22
`6
`Layer 2 ............................................................................................................................................. 23
`6.1
`Overview ................................................................................................................................................... 23
`6.2
`MAC Sublayer ........................................................................................................................................... 24
`6.2.1
`Services and Functions.......................................................................................................................... 24
`6.2.2
`Logical Channels .................................................................................................................................. 25
`6.2.3
`Mapping to Transport Channels ............................................................................................................ 25
`6.2.4
`HARQ .................................................................................................................................................. 25
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`6.3
`6.3.1
`6.3.2
`6.3.3
`6.4
`6.4.1
`6.5
`6.6
`6.7
`6.8
`6.9
`6.10
`7
`7.1
`7.2
`7.3
`7.4
`7.5
`7.6
`7.7
`7.8
`8
`8.1
`8.2
`9
`9.1
`9.2
`9.2.1
`9.2.1.1
`9.2.1.2
`9.2.2
`9.2.2.1
`9.2.2.2
`9.2.2.3
`9.2.2.4
`9.2.2.4.1
`9.2.2.4.2
`9.2.2.5
`9.2.3
`9.2.3.1
`9.2.3.2
`9.2.3.2.1
`9.2.3.2.2
`9.2.4
`9.2.5
`9.2.6
`9.2.7
`9.3
`9.3.1
`9.3.1.1
`9.3.1.2
`9.3.1.3
`9.3.2
`9.3.2.1
`9.3.2.2
`9.3.2.3
`9.3.2.4
`9.4
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`RLC Sublayer ............................................................................................................................................ 25
`Transmission Modes ............................................................................................................................. 25
`Services and Functions.......................................................................................................................... 26
`ARQ ..................................................................................................................................................... 26
`PDCP Sublayer .......................................................................................................................................... 26
`Services and Functions.......................................................................................................................... 26
`SDAP Sublayer .......................................................................................................................................... 27
`L2 Data Flow ............................................................................................................................................. 27
`Carrier Aggregation .................................................................................................................................... 27
`Dual Connectivity ...................................................................................................................................... 29
`Supplementary Uplink ................................................................................................................................ 29
`Bandwidth Adaptation ................................................................................................................................ 29
`RRC ................................................................................................................................................. 30
`Services and Functions ............................................................................................................................... 30
`Protocol States ........................................................................................................................................... 31
`System Information Handling ..................................................................................................................... 31
`Access Control ........................................................................................................................................... 32
`UE Capability Retrieval framework ............................................................................................................ 32
`Transport of NAS Messages ....................................................................................................................... 33
`Carrier Aggregation ................................................................................................................................... 33
`Bandwidth Adaptation ................................................................................................................................ 33
`NG Identities .................................................................................................................................... 33
`UE Identities .............................................................................................................................................. 33
`Network Identities ...................................................................................................................................... 33
`Mobility and State Transitions .......................................................................................................... 34
`Overview ................................................................................................................................................... 34
`Intra-NR .................................................................................................................................................... 34
`Mobility in RRC_IDLE ........................................................................................................................ 34
`Cell Selection .................................................................................................................................. 34
`Cell Reselection .............................................................................................................................. 35
`Mobility in RRC_INACTIVE ............................................................................................................... 35
`Overview ........................................................................................................................................ 35
`Cell Reselection .............................................................................................................................. 36
`RAN-Based Notification Area ......................................................................................................... 36
`State Transitions .............................................................................................................................. 37
`UE triggered transition from RRC_INACTIVE to RRC_CONNECTED ..................................... 37
`Network triggered transition from RRC_INACTIVE to RRC_CONNECTED ............................. 37
`RNA update .................................................................................................................................... 38
`Mobility in RRC_CONNECTED .......................................................................................................... 38
`Overview ........................................................................................................................................ 38
`Handover ........................................................................................................................................ 39
`C-Plane Handling ....................................................................................................................... 39
`U-Plane Handling ...................................................................................................................... 41
`Measurements....................................................................................................................................... 41
`Paging .................................................................................................................................................. 43
`Random Access Procedure .................................................................................................................... 43
`Radio Link Failure ................................................................................................................................ 44
`Inter RAT .................................................................................................................................................. 44
`Intra 5GC ............................................................................................................................................. 44
`Cell Reselection .............................................................................................................................. 44
`Handover ........................................................................................................................................ 45
`Measurements ................................................................................................................................. 45
`From 5GC to EPC................................................................................................................................. 45
`Cell Reselection .............................................................................................................................. 45
`Handover ........................................................................................................................................ 45
`Measurements ................................................................................................................................. 45
`Data Forwarding.............................................................................................................................. 45
`Roaming and Access Restrictions ............................................................................................................... 46
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`Scheduling ........................................................................................................................................ 46
`10
`Basic Scheduler Operation ......................................................................................................................... 46
`10.1
`Downlink Scheduling ................................................................................................................................. 46
`10.2
`Uplink Scheduling ..................................................................................................................................... 47
`10.3
`Measurements to Support Scheduler Operation ........................................................................................... 47
`10.4
`Rate Control............................................................................................................................................... 47
`10.5
`Downlink ............................................................................................................................................. 47
`10.5.1
`Uplink .................................................................................................................................................. 48
`10.5.2
`Activation/Deactivation Mechanism ........................................................................................................... 48
`10.6
`11 UE Power Saving .............................................................................................................................. 48
`12 QoS .................................................................................................................................................. 49
`13
`Security ............................................................................................................................................ 50
`13.1
`Overview and Principles............................................................................................................................. 50
`13.2
`Security Termination Points ....................................................................................................................... 51
`13.3
`State Transitions and Mobility .................................................................................................................... 51
`14 UE Capabilities ................................................................................................................................. 51
`15
`Self-Configuration and Self-Optimisation ......................................................................................... 51
`15.1
`Definitions ................................................................................................................................................. 51
`15.2
`UE Support for self-configuration and self-optimisation.............................................................................. 51
`15.3
`Self-configuration ...................................................................................................................................... 52
`15.3.1
`Dynamic configuration of the NG-C interface ....................................................................................... 52
`15.3.1.1
`Prerequisites .................................................................................................................................... 52
`15.3.1.2
`SCTP initialization .......................................................................................................................... 52
`15.3.1.3
`Application layer initialization ......................................................................................................... 52
`15.3.2
`Dynamic Configuration of the Xn interface ........................................................................................... 52
`15.3.2.1
`Prerequisites .................................................................................................................................... 52
`15.3.2.2
`SCTP initialization .......................................................................................................................... 52
`15.3.2.3
`Application layer initialization ......................................................................................................... 52
`15.3.3
`Automatic Neighbour Cell Relation Function ........................................................................................ 52
`15.3.3.1
`General ........................................................................................................................................... 52
`15.3.3.2
`Intra-system – intra NR Automatic Neighbour Cell Relation Function .............................................. 52
`15.3.3.3
`Intra-system – intra E-UTRA Automatic Neighbour Cell Relation Function ..................................... 53
`15.3.3.4
`Intra-system – inter RAT Automatic Neighbour Cell Relation Function ............................................ 53
`15.3.3.5
`Inter-system Automatic Neighbour Cell Relation Function ............................................................... 53
`15.3.4
`Xn-C TNL address discovery ................................................................................................................ 53
`16 Verticals Support .............................................................................................................................. 53
`16.1
`URLLC...................................................................................................................................................... 53
`16.1.1
`Overview .............................................................................................................................................. 53
`16.1.2
`LCP Restrictions ................................................................................................................................... 53
`16.1.3
`Packet Duplication ................................................................................................................................ 53
`16.2
`IMS Voice ................................................................................................................................................. 54
`16.3
`Network Slicing ......................................................................................................................................... 54
`16.3.1
`General Principles and Requirements .................................................................................................... 54
`16.3.2
`CN Instance and NW Slice Selection..................................................................................................... 55
`16.3.2.1
`CN-RAN interaction and internal RAN aspects ................................................................................ 55
`16.3.2.2
`Radio Interface Aspects ................................................................................................................... 55
`16.3.3
`Resource Isolation and Management ..................................................................................................... 55
`16.3.4
`Signalling Aspects ................................................................................................................................ 56
`16.3.4.1
`General ........................................................................................................................................... 56
`16.3.4.2
`CN Instance and NW Slice Selection ............................................................................................... 56
`16.3.4.3
`UE Context Handling ...................................................................................................................... 56
`16.3.4.4
`PDU Session Handling .................................................................................................................... 57
`16.3.4.5
`Mobility .......................................................................................................................................... 58
`16.4
`Public Warning System .............................................................................................................................. 59
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`QoS Handling in RAN................................................................................ 60
`Annex A (informative):
`A.1 PDU Session Establishment .............................................................................................................. 60
`A.2 New QoS Flow without Explicit Signalling ....................................................................................... 60
`A.3 New QoS Flow with NAS Reflective QoS and Explicit RRC Signalling ............................................ 61
`A.4 New QoS Flow with Explicit Signalling ............................................................................................ 62
`A.5 Release of QoS Flow with Explicit Signalling ................................................................................... 63
`A.6 UE Initiated UL QoS Flow ................................................................................................................ 64
`Annex B (informative):
`Deployment Scenarios ................................................................................ 66
`B.1 Supplementary Uplink ...................................................................................................................... 66
`Annex C (informative):
`Change history ........................................................................................... 67
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`3GPP TS 38.300 V15.0.0 (2017-12)
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`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:
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`Version x.y.z
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`where:
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`x
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`the first digit:
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`1 presented to TSG for information;
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`2 presented to TSG for approval;
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`3 or greater indicates TSG approved document under change control.
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`y
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`the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
`updates, etc.
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`z
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`the third digit is incremented when editorial only changes have been incorporated in the document.
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`3GPP TS 38.300 V15.0.0 (2017-12)
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`Scope
`1
`The present document provides an overview and overall description of the NG-RAN and focuses on the radio interface
`protocol architecture of NR connected to 5GC (E-UTRA connected to 5GC is covered in the 36 series). Details of the
`radio interface protocols are specified in companion specifications of the 38 series.
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`References
`2
`The following documents contain provisions which, through reference in this text, constitute provisions of the present
`document.
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`- References are either specific (identified by date of publication, edition number, version number, etc.) or
`non-specific.
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`- For a specific reference, subsequent revisions do not apply.
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`- 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.
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`[1]
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`[2]
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`[20]
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`3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
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`3GPP TS 36.300: "Evolved Universal Terrestrial Radio Access (E-UTRA) and Evolved Universal
`Terrestrial Radio Access Network (E-UTRAN); Overall description; Stage 2".
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`3GPP TS 23.501: "System Architecture for the 5G System; Stage 2".
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`3GPP TS 38.401: "NG-RAN; Architecture description".
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`3GPP TS 33.501: "Security Architecture and Procedures for 5G System".
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`3GPP TS 37.340: "NR; Multi-connectivity; Overall description; Stage-2".
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`3GPP TS 38.321: "NR; Medium Access Control (MAC) protocol specification".
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`3GPP TS 38.322: "NR; Radio Link Control (RLC) protocol specification".
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`3GPP TS 38.323: "NR; Packet Data Convergence Protocol (PDCP) specification".
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`3GPP TS 37.324: "NR; Service Data Protocol (SDAP) specification".
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`3GPP TS 38.304: "NR; User Equipment (UE) procedures in idle mode".
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`3GPP TS 38.306: "NR; User Equipment (UE) radio access capabilities".
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`3GPP TS 38.331: "NR; Radio Resource Control (RRC); Protocol specification".
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`3GPP TS 38.133: "NR; Requirements for support of radio resource management".
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`3GPP TS 22.168: "Earthquake and Tsunami Warning System (ETWS) requirements; Stage 1".
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`3GPP TS 22.268: "Public Warning System (PWS) Requirements".
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`3GPP TS 38.410: "NG-RAN; NG general aspects and principles".
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`3GPP TS 38.420: "NG-RAN; Xn general aspects and principles".
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`3GPP TS 38.101: "NR; User Equipment (UE) radio transmission and reception".
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`3GPP TS 22.261: "Service requirements for next generation new services and markets".
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`3GPP TS 38.202: "NR; Physical layer services provided by the physical layer"
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