3GPP规范-R15-TS38系列NR38213-f00

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1、3GPP TS 38.213 V15.0.0 (2017-12)Technical Specification3rd Generation Partnership Project;Technical Specification Group Radio Access Network;NR;Physical layer procedures for control(Release 15)The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be

2、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

3、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.3GPP TS 38.213 V15.0.0 (2017-12)56Release 15Keywords3GPP, New Radio, Layer 13GPPPostal address3GPP support office address

4、650 Route des Lucioles - Sophia AntipolisValbonne - FRANCETel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16Internethttp:/www.3gpp.orgCopyright NotificationNo part may be reproduced except as authorized by written permission.The copyright and the foregoing restriction extend to reproduction in all media

5、. 2017, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TSDSI, TTA, TTC).All rights reserved.UMTS is a Trade Mark of ETSI registered for the benefit of its members3GPP is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational PartnersLTE is a Trade Mark o

6、f ETSI registered for the benefit of its Members and of the 3GPP Organizational PartnersGSM and the GSM logo are registered and owned by the GSM AssociationContentsForeword51Scope62References63Definitions, symbols and abbreviations73.1Definitions73.2Symbols73.3Abbreviations74Synchronization procedur

7、es84.1Cell search84.2Transmission timing adjustments94.3Timing for secondary cell activation / deactivation105Radio link monitoring106Link reconfiguration procedures107Uplink Power control117.1Physical uplink shared channel117.1.1UE behaviour117.2Physical uplink control channel147.2.1UE behaviour157

8、.3Sounding reference signals167.3.1UE behaviour177.4Physical random access channel187.5Carrier aggregation187.6Dual connectivity197.7Power headroom report197.7.1Power headroom for PUSCH197.7.2Power headroom for SRS198Random access procedure208.1Random access preamble208.2Random access response218.3M

9、sg3 PUSCH219UE procedure for reporting control information219.1HARQ-ACK codebook determination229.1.1CBG-based HARQ-ACK codebook determination229.1.2Type-1 HARQ-ACK codebook determination239.1.3Type-2 HARQ-ACK codebook determination249.1.3.1Type-2 HARQ-ACK codebook in physical uplink control channel

10、249.1.3.2Type-2 HARQ-ACK codebook in physical uplink shared channel279.2UCI reporting in physical uplink control channel289.2.1PUCCH Resource Sets289.2.2PUCCH Formats for UCI transmission299.2.3UE procedure for reporting HARQ-ACK309.2.4UE procedure for reporting SR319.2.5UE procedure for reporting m

11、ultiple UCI types329.2.5.1UE procedure for multiplexing HARQ-ACK or CSI and SR329.2.5.2UE procedure for multiplexing HARQ-ACK/SR and CSI339.2.6UCI repetition procedure369.3UCI reporting in physical uplink shared channel3710UE procedure for receiving control information4010.1UE procedure for determin

12、ing physical downlink control channel assignment4011UE-group common signalling4311.1Slot configuration4311.1.1UE procedure for determining slot format4411.2Discontinuous transmission indication4511.3SRS switching4612Bandwidth part operation4713UE procedure for monitoring Type0-PDCCH common search sp

13、ace49Annex A (informative):Change history56ForewordThis 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 th

14、e 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.zwhere:xthe first digit:1presented to TSG for information;2presented to TSG for approval;3or greater indicates TSG approved docume

15、nt under change control.ythe second digit is incremented for all changes of substance, i.e. technical enhancements, corrections, updates, etc.zthe third digit is incremented when editorial only changes have been incorporated in the document.1ScopeThe present document specifies and establishes the ch

16、aracteristics of the physicals layer procedures for control operations in 5G-NR.2ReferencesThe following documents contain provisions which, through reference in this text, constitute provisions of the present document.13GPP TR 21.905: Vocabulary for 3GPP Specifications23GPP TS 38.201: NR; Physical

17、Layer General Description33GPP TS 38.202: NR; Services provided by the physical layer43GPP TS 38.211: NR; Physical channels and modulation53GPP TS 38.212: NR; Multiplexing and channel coding63GPP TS 38.214: NR; Physical layer procedures for data73GPP TS 38.215: NR; Physical layer measurements83GPP T

18、S 38.101: NR; User Equipment (UE) radio transmission and reception93GPP TS 38.104: NR; Base Station (BS) radio transmission and reception103GPP TS 38.133: NR; Requirements for support of radio resource management113GPP TS 38.321: NR; Medium Access Control (MAC) protocol specification123GPP TS 38.331

19、: NR; Radio Resource Control (RRC); Protocol specification133GPP TS 36.213: Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer procedures3Definitions, symbols and abbreviations3.1DefinitionsFor the purposes of the present document, the terms and definitions given in 1, TR 21.905 and

20、 the following apply. A term defined in the present document takes precedence over the definition of the same term, if any, in 1, TR 21.905.3.2SymbolsFor the purposes of the present document, the following symbols apply:3.3AbbreviationsFor the purposes of the present document, the abbreviations give

21、n in TR21.905 1 and the following apply. An abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any, in1, TR 21.905.BWPBandwidth partCBCode blockCBGCode block groupCCEControl channel elementCRCCyclic redundancy check CSIChannel state informa

22、tionDCIDownlink control informationDLDownlinkEPREEnergy per resource elementHARQ-ACKHybrid automatic repeat request acknowledgement MCGMaster cell groupMCSModulation and coding schemePBCHPhysical broadcast channelPDCCHPhysical downlink control channelPDSCHPhysical downlink shared channelPRACHPhysica

23、l random access channelPSSPrimary synchronization signalPUCCHPhysical uplink control channelPUSCHPhysical uplink shared channelRBResource blockREResource element RSReference signal RSRPReference signal received powerSCGSecondary cell groupSFNSystem frame numberSPSSemi-persistent schedulingSRScheduli

24、ng requestSRSSounding reference signalSSSSecondary synchronization signalTATiming advanceTAGTiming advance group UCIUplink control informationUEUser equipment ULUplink4Synchronization procedures4.1Cell searchCell search is the procedure by which a UE acquires time and frequency synchronization with

25、a cell and detects the physical layer Cell ID of that 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 shall assume that reception occas

26、ions 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 shall assume that SSS and PBCH DM-RS have same EPRE. For a half frame with SS/PBCH blocks, the number and first symbol indexes for candidate SS/PBCH bloc

27、ks are determined according to the subcarrier spacing of SS/PBCH blocks as follows. -Case A - 15 kHz subcarrier spacing: the first symbols of the candidate SS/PBCH blocks have indexes of 2, 8 + 14*n. For carrier frequencies smaller than or equal to 3 GHz, n=0, 1. For carrier frequencies larger than

28、3 GHz and smaller than or equal to 6 GHz, n=0, 1, 2, 3.-Case B - 30 kHz subcarrier spacing: 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 larger than 3 GHz and smaller than or e

29、qual to 6 GHz, n=0, 1.-Case C - 30 kHz subcarrier spacing: the first symbols of the candidate SS/PBCH blocks have indexes 2, 8 + 14*n. For carrier frequencies smaller than or equal to 3 GHz, n=0, 1. For carrier frequencies larger than 3 GHz and smaller than or equal to 6 GHz, n=0, 1, 2, 3.-Case D -

30、120 kHz subcarrier spacing: the first symbols of the candidate SS/PBCH blocks have indexes 4, 8, 16, 20 + 28*n. For carrier frequencies larger than 6 GHz, n=0, 1, 2, 3, 5, 6, 7, 8, 10, 11, 12, 13, 15, 16, 17, 18.-Case E - 240 kHz subcarrier spacing: the first symbols of the candidate SS/PBCH blocks

31、have indexes 8, 12, 16, 20, 32, 36, 40, 44 + 56*n. For carrier frequencies larger than 6 GHz, n=0, 1, 2, 3, 5, 6, 7, 8.The candidate SS/PBCH blocks in a half frame are indexed in an ascending order in time from 0 to . A UE shall determine the 2 LSB bits, for , or the 3 LSB bits, for , of a SS/PBCH b

32、lock index per half frame from a one-to-one mapping with an index of the DM-RS sequence transmitted in the PBCH. For , the UE shall determine the 3 MSB bits of the SS/PBCH block index per half frame from higher layer parameter SSB-index-explicit. A UE can be configured by parameter SSB-transmitted-S

33、IB1, indexes of SS/PBCH blocks for which the UE shall not receive other signals or channels in REs that overlap with REs corresponding to the SS/PBCH blocks. A UE can also be configured per serving cell, by higher layer parameter SSB-transmitted, indexes of SS/PBCH blocks for which the UE shall not

34、receive other signals or channels in REs that overlap with REs corresponding to the SS/PBCH blocks. A configuration by SSB-transmitted overrides a configuration by SSB-transmitted-SIB1. A UE can be configured per serving cell by higher layer parameter SSB-timing a periodicity of the half frames for

35、reception of SS/PBCH blocks per serving cell. If the UE is not configured a periodicity of the half frames for receptions of SS/PBCH blocks, the UE shall assume a periodicity of a half frame. A UE shall assume that the periodicity is same for all SS/PBCH blocks in the serving cell.For initial cell s

36、election, a UE may assume that half frames with SS/PBCH blocks occur with a periodicity of 2 frames.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,

37、of the cell group for the serving cell.4.2Transmission timing adjustmentsUpon reception of a timing advance command for a TAG containing the primary cell or PSCell, the UE shall adjust uplink transmission timing for PUCCH/PUSCH/SRS of the primary cell or PSCell based on the received timing advance c

38、ommand.The UL transmission timing for PUSCH/SRS of a secondary cell is the same as the primary cell if the secondary cell and the primary cell belong to the same TAG. If the primary cell in a TAG operates with paired DL/UL spectrum and a secondary cell in the same TAG operates with unpaired DL/UL sp

39、ectrum, UE may assume that for subcarrier spacing of kHz, .If the UE is configured with a SCG, the UL transmission timing for PUSCH/SRS of a secondary cell other than the PSCell is the same as the PScell if the secondary cell and the PSCell belong to the same TAG.Upon reception of a timing advance c

40、ommand or a timing adjustment indication for a TAG not containing the primary cell or PSCell, if all the serving cells in the TAG have the same duplex mode type, the UE shall adjust uplink transmission timing for PUSCH/SRS of all the secondary cells in the TAG based on the received timing advance co

41、mmand or a timing adjustment indication where the UL transmission timing for PUSCH /SRS is the same for all the secondary cells in the TAG. Upon reception of a timing advance command or a timing adjustment indication for a TAG not containing the primary cell or PSCell, if a serving cell in the TAG h

42、as a different duplex mode type compared to the duplex mode type of another serving cell in the same TAG, the UE shall adjust uplink transmission timing for PUSCH/SRS of all the secondary cells in the TAG by using regardless of the duplex mode type of the serving cells and based on the received timi

43、ng advance command or a timing adjustment indication where the UL transmission timing for PUSCH /SRS is the same for all the secondary cells in the TAG. is described in 4, TS 38.211.The timing adjustment indication specified in 12, TS 38.331 indicates the initial used for a TAG. For a subcarrier spa

44、cing of kHz, the timing advance command for a TAG indicates the change of the uplink timing relative to the current uplink timing for the TAG as multiples of . The start timing of the random access preamble is specified in 4, TS 38.211.In case of random access response, a timing advance command 11,

45、TS 38.321, , for a TAG indicates values by index values of = 0, 1, 2, ., 256 if the UE is configured with a SCG, and = 0, 1, 2, ., 1282 otherwise, where an amount of the time alignment for the TAG for subcarrier spacing of kHz is given by . is defined in 4, TS 38.211 and is relative to the subcarrie

46、r spacing of the first uplink transmission from the UE after the reception of the random access response.In other cases, a timing advance command 11, TS 38.321, , for a TAG indicates adjustment of the current value, , to the new value, , by index values of = 0, 1, 2,., 63, where for a subcarrier spa

47、cing of kHz, . If a UE is configured with two UL carriers in a serving cell, where the subcarrier spacing for a first UL carrier is different than the subcarrier spacing for a second carrier, the timing advance command value is relative to the smaller subcarrier spacing. Adjustment of value by a pos

48、itive or a negative amount indicates advancing or delaying the uplink transmission timing for the TAG by a given amount, respectively.For a timing advance command received on slot , the corresponding adjustment of the uplink transmission timing applies from the beginning of slot . If the received do

49、wnlink timing changes and is not compensated or is only partly compensated by the uplink timing adjustment without timing advance command as specified in 10, TS 38.133, the UE changes accordingly. 4.3Timing for secondary cell activation / deactivationWhen a UE receives an activation command 11, TS 3

50、8.321 for a secondary cell in slot n, the corresponding actions in 8 shall be applied no later than the minimum requirement defined in 12, TS 38.331 and no earlier than slot n+k, except for the following:-the actions related to CSI reporting on a serving cell which is active in slot n+k-the actions

51、related to the sCellDeactivationTimer associated with the secondary cell 11, TS 38.321 which shall be applied in slot n+k -the actions related to CSI reporting on a serving cell which is not active in slot n+kwhich shall be applied in the earliest slot after n+k in which the serving cell is active.W

52、hen a UE receives a deactivation command 11, TS 38.321 for a secondary cell or the sCellDeactivationTimer associated with the secondary cell expires in slot n, the corresponding actions in 11, TS 38.321 shall apply no later than the minimum requirement defined in 12, TS 38.331, except for the action

53、s related to CSI reporting on a serving cell which is active which shall be applied in slot n+k.5Radio link monitoringThe downlink radio link quality of the primary cell shall be monitored by a UE for the purpose of indicating out-of-sync/in-sync status to higher layers. The UE is not required to mo

54、nitor the downlink radio link quality in DL BWPs other than the active DL BWP on the primary cell.If the UE is configured with a SCG, as described in 12, TS 38.331, and the parameter rlf-TimersAndConstantsSCG is provided by the higher layers and is not set to release, the downlink radio link quality

55、 of the PSCell of the SCG shall be monitored by the UE for the purpose of indicating out-of-sync/in-sync status to higher layers.A UE can be configured for each SpCell 11, TS 38.321 with a set of resource indexes for radio link monitoring by higher layer parameter RLM-RS-List. The UE is provided by

56、higher layer parameter RLM-RS an association between a resource index, from the set of resource indexes, with either a CSI-RS resource configuration or a SS/PBCH block. For a CSI-RS resource configuration, the UE is provided a corresponding index by higher layer parameter RLM-CSIRS. For a SS/PBCH bl

57、ock, the UE is provided a corresponding index by higher layer parameter RLM-SSB. In non-DRX mode operation, the physical layer in the UE shall assess the radio link quality, evaluated over the previous time period defined in 10, TS 38.133 against thresholds (Qout and Qin) configured by higher layer

58、parameter RLM-IS-OOS-thresholdConfig.In DRX mode operation, the physical layer in the UE shall assess the radio link quality, evaluated over the previous time period defined in 10, TS 38.133, against thresholds (Qout and Qin). The physical layer in the UE shall in frames where the radio link quality

59、 is assessed indicate out-of-sync to higher layers when the radio link quality is worse than the threshold Qout for all resources in the set of resources for radio link monitoring. When the radio link quality is better than the threshold Qin for any resource in the set of resources for radio link mo

60、nitoring, the physical layer in the UE shall in frames where the radio link quality is assessed indicate in-sync to higher layers.6Link reconfiguration proceduresA UE can be configured, for a serving cell, with a set of periodic CSI-RS resource configuration indexes by higher layer parameter Beam-Fa

61、ilure-Detection-RS-ResourceConfig and with a set of CSI-RS resource configuration indexes and/or SS/PBCH block indexes by higher layer parameter Candidate-Beam-RS-List for radio link quality measurements on the serving cell. If the UE is not provided with higher layer parameter Beam-Failure-Detectio

62、n-RS-ResourceConfig, the UE determines to include SS/PBCH blocks and periodic CSI-RS configurations with same values for higher layer parameter TCI-StatesPDCCH as for control resource sets that the UE is configured for monitoring PDCCH as described in Subclause 10.1. The physical layer in the UE sha

63、ll assess the radio link quality according to the set of resource configurations against the threshold Qout,LR 10, TS 38.133. The threshold Qout,LR corresponds to the default value of higher layer parameter RLM-IS-OOS-thresholdConfig and Beam-failure-candidate-beam-threshold, respectively. For the s

64、et , the UE shall assess the radio link quality only according to periodic CSI-RS resource configurations or SS/PBCH blocks that are quasi co-located, as described in 6, TS 38.214, with the DM-RS of PDCCH receptions DM-RS monitored by the UE. The UE applies the configured Qin,LR threshold for the periodic CSI-RS resource c