ETSI TS 138 213 V15.6.0 (2019-07)

TECHNICAL SPECIFICATION
5G;
NR;
Physical layer procedures for control
(3GPP TS 38.213 version 15.6.0 Release 15)

3GPP TS 38.213 version 15.6.0 Release 15 1 ETSI TS 138 213 V15.6.0 (2019-07)

Reference
RTS/TSGR-0138213vf60
Keywords
5G
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3GPP TS 38.213 version 15.6.0 Release 15 2 ETSI TS 138 213 V15.6.0 (2019-07)
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Legal Notice
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Modal verbs terminology
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ETSI
3GPP TS 38.213 version 15.6.0 Release 15 3 ETSI TS 138 213 V15.6.0 (2019-07)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 5
1 Scope . 6
2 References . 6
3 Definitions, symbols and abbreviations . 6
3.1 Definitions . 6
3.2 Symbols . 7
3.3 Abbreviations . 7
4 Synchronization procedures . 9
4.1 Cell search . 9
4.2 Transmission timing adjustments . 10
4.3 Timing for secondary cell activation / deactivation. 11
5 Radio link monitoring . 12
6 Link recovery procedures . 13
7 Uplink Power control . 14
7.1 Physical uplink shared channel . 14
7.1.1 UE behaviour . 15
7.2 Physical uplink control channel . 20
7.2.1 UE behaviour . 20
7.3 Sounding reference signals . 25
7.3.1 UE behaviour . 25
7.4 Physical random access channel . 27
7.5 Prioritizations for transmission power reductions . 28
7.6 Dual connectivity . 28
7.6.1 EN-DC . 28
7.6.1A NE-DC . 29
7.6.2 NR-DC . 30
7.7 Power headroom report . 30
7.7.1 Type 1 PH report . 31
7.7.2 Type 2 PH report . 32
7.7.3 Type 3 PH report . 32
8 Random access procedure . 33
8.1 Random access preamble . 33
8.2 Random access response . 35
8.3 PUSCH scheduled by RAR UL grant. 36
8.4 PDSCH with UE contention resolution identity . 38
9 UE procedure for reporting control information . 38
9.1 HARQ-ACK codebook determination . 39
9.1.1 CBG-based HARQ-ACK codebook determination . 40
9.1.2 Type-1 HARQ-ACK codebook determination . 40
9.1.2.1 Type-1 HARQ-ACK codebook in physical uplink control channel . 41
9.1.2.2 Type-1 HARQ-ACK codebook in physical uplink shared channel. 45
9.1.3 Type-2 HARQ-ACK codebook determination . 46
9.1.3.1 Type-2 HARQ-ACK codebook in physical uplink control channel . 46
9.1.3.2 Type-2 HARQ-ACK codebook in physical uplink shared channel. 51
9.2 UCI reporting in physical uplink control channel . 52
9.2.1 PUCCH Resource Sets. 52
9.2.2 PUCCH Formats for UCI transmission . 55
9.2.3 UE procedure for reporting HARQ-ACK . 56
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9.2.4 UE procedure for reporting SR . 58
9.2.5 UE procedure for reporting multiple UCI types . 59
9.2.5.1 UE procedure for multiplexing HARQ-ACK or CSI and SR in a PUCCH . 63
9.2.5.2 UE procedure for multiplexing HARQ-ACK/SR/CSI in a PUCCH . 64
9.2.6 PUCCH repetition procedure . 68
9.3 UCI reporting in physical uplink shared channel . 69
10 UE procedure for receiving control information . 73
10.1 UE procedure for determining physical downlink control channel assignment . 74
10.2 PDCCH validation for DL SPS and UL grant Type 2 . 83
11 UE-group common signalling . . 84
11.1 Slot configuration . 84
11.1.1 UE procedure for determining slot format . 87
11.2 Interrupted transmission indication . 92
11.3 Group TPC commands for PUCCH/PUSCH . 93
11.4 SRS switching . 94
12 Bandwidth part operation . 94
13 UE procedure for monitoring Type0-PDCCH CSS sets . 97
Annex A: Change history . 107
History . 109

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3GPP TS 38.213 version 15.6.0 Release 15 5 ETSI TS 138 213 V15.6.0 (2019-07)
Foreword
This Technical Specification has been produced by the 3rd Generation Partnership Project (3GPP).
The contents of the present document are subject to continuing work within the TSG and may change following formal
TSG approval. Should the TSG modify the contents of the present document, it will be re-released by the TSG with an
identifying change of release date and an increase in version number as follows:
Version x.y.z
where:
x the first digit:
1 presented to TSG for information;
2 presented to TSG for approval;
3 or greater indicates TSG approved document under change control.
y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
updates, etc.
z the third digit is incremented when editorial only changes have been incorporated in the document.

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3GPP TS 38.213 version 15.6.0 Release 15 6 ETSI TS 138 213 V15.6.0 (2019-07)
1 Scope
The present document specifies and establishes the characteristics of the physical layer procedures for control
operations in 5G-NR.
2 References
The following documents contain provisions which, through reference in this text, constitute provisions of the present
document.
[1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications"
[2] 3GPP TS 38.201: "NR; Physical Layer – General Description"
[3] 3GPP TS 38.202: "NR; Services provided by the physical layer"
[4] 3GPP TS 38.211: "NR; Physical channels and modulation"
[5] 3GPP TS 38.212: "NR; Multiplexing and channel coding"
[6] 3GPP TS 38.214: "NR; Physical layer procedures for data"
[7] 3GPP TS 38.215: "NR; Physical layer measurements"
[8-1] 3GPP TS 38.101-1: "NR; User Equipment (UE) radio transmission and reception; Part 1: Range 1
Standalone"
[8-2] 3GPP TS 38.101-2: "NR; User Equipment (UE) radio transmission and reception; Part 2: Range 2
Standalone"
[8-3] 3GPP TS 38.101-3: "NR; User Equipment (UE) radio transmission and reception; Part 3: Range 1
and Range 2 Interworking operation with other radios"
[9] 3GPP TS 38.104: "NR; Base Station (BS) radio transmission and reception"
[10] 3GPP TS 38.133: "NR; Requirements for support of radio resource management"
[11] 3GPP TS 38.321: "NR; Medium Access Control (MAC) protocol specification"
[12] 3GPP TS 38.331: "NR; Radio Resource Control (RRC); Protocol specification"
[13] 3GPP TS 36.213: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer
procedures"
[14] 3GPP TS 36.321: "Evolved Universal Terrestrial Radio Access (E-UTRA); Medium Access
Control (MAC) protocol specification"

3 Definitions, symbols and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in [1, TR 21.905] and the following apply. A
term defined in the present document takes precedence over the definition of the same term, if any, in [1, TR 21.905]. A
parameter referenced in italics is provided by higher layers.
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3.2 Symbols
For the purposes of the present document, the following symbols apply:
3.3 Abbreviations
For the purposes of the present document, the abbreviations given in TR 21.905 [1] and the following apply. An
abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any,
in [1, TR 21.905].
BPRE Bits per resource element
BWP Bandwidth part
CB Code block
CBG Code block group
CCE Control channel element
CORESET Control resource set
CP Cyclic prefix
CRC Cyclic redundancy check
CSI Channel state information
CSS Common search space
DAI Downlink assignment index
DC Dual connectivity
DCI Downlink control information
DL Downlink
DL-SCH Downlink shared channel
EPRE Energy per resource element
EN-DC E-UTRA NR dual connectivity with MCG using E-UTRA and SCG using NR
FR1 Frequency range 1
FR2 Frequency range 2
GSCN Global synchronization channel number
HARQ-ACK Hybrid automatic repeat request acknowledgement
MCG Master cell group
MCS Modulation and coding scheme
NE-DC E-UTRA NR dual connectivity with MCG using NR and SCG using E-UTRA
NR-DC NR NR dual connectivity
PBCH Physical broadcast channel
PCell Primary cell
PDCCH Physical downlink control channel
PDSCH Physical downlink shared channel
PRACH Physical random access channel
PRB Physical resource block
PRG Physical resource block group
PSCell Primary secondary cell
PSS Primary synchronization signal
PUCCH Physical uplink control channel
PUCCH-SCell PUCCH SCell
PUSCH Physical uplink shared channel
QCL Quasi co-location
RB Resource block
RE Resource element
RLM Radio link monitoring
RRM Radio resource management
RS Reference signal
RSRP Reference signal received power
SCG Secondary cell group
SCS Subcarrier spacing
SFN System frame number
SLIV Start and length indicator value
SPS Semi-persistent scheduling
SR Scheduling request
SRI SRS resource indicator
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SRS Sounding reference signal
SSS Secondary synchronization signal
TA Timing advance
TAG Timing advance group
TCI Transmission Configuration Indicator
UCI Uplink control information
UE User equipment
UL Uplink
UL-SCH Uplink shared channel
USS UE-specific search space
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4 Synchronization procedures
4.1 Cell search
Cell search is the procedure for a UE to acquire time and frequency synchronization with a cell and to detect the
physical layer Cell ID of the cell.
A UE receives the following synchronization signals (SS) in order to perform cell search: the primary synchronization
signal (PSS) and secondary synchronization signal (SSS) as defined in [4, TS 38.211].
A UE assumes that reception occasions of a physical broadcast channel (PBCH), PSS, and SSS are in consecutive
symbols, as defined in [4, TS 38.211], and form a SS/PBCH block. The UE assumes that SSS, PBCH DM-RS, and
PBCH data have same EPRE. The UE may assume that the ratio of PSS EPRE to SSS EPRE in a SS/PBCH block is
either 0 dB or 3 dB. If the UE has not been provided dedicated higher layer parameters, the UE may assume that the
ratio of PDCCH DMRS EPRE to SSS EPRE is within -8 dB and 8 dB when the UE monitors PDCCHs for a DCI
format 1_0 with CRC scrambled by SI-RNTI, P-RNTI, or RA-RNTI.
For a half frame with SS/PBCH blocks, the first symbol indexes for candidate SS/PBCH blocks are determined
according to the SCS of SS/PBCH blocks as follows, where index 0 corresponds to the first symbol of the first slot in a
half-frame.
- Case A - 15 kHz SCS: the first symbols of the candidate SS/PBCH blocks have indexes of . For
{}2, 8 +14⋅ n
carrier frequencies smaller than or equal to 3 GHz, n =0,1. For carrier frequencies within FR1 larger than 3
GHz, n = 0,1, 2, 3 .
- Case B - 30 kHz SCS: the first symbols of the candidate SS/PBCH blocks have indexes {}4, 8, 16, 20 + 28⋅ n . For
carrier frequencies smaller than or equal to 3 GHz, n=0. For carrier frequencies within FR1 larger than 3 GHz,
n =0,1.
- Case C - 30 kHz SCS: the first symbols of the candidate SS/PBCH blocks have indexes {}2, 8 +14⋅ n .
- For paired spectrum operation
- For carrier frequencies smaller than or equal to 3 GHz, n =0,1. For carrier frequencies within FR1 larger
than 3 GHz, n = 0,1, 2, 3 .
- For unpaired spectrum operation
- For carrier frequencies smaller than or equal to 2.4 GHz, n =0,1. For carrier frequencies within FR1
larger than 2.4 GHz, n = 0,1, 2, 3 .
- Case D - 120 kHz SCS: the first symbols of the candidate SS/PBCH blocks have indexes .
{}4, 8, 16, 20 + 28⋅ n
For carrier frequencies within FR2, n = 0,1, 2, 3, 5, 6, 7, 8,10,11,12,13,15,16,17,18.
- Case E - 240 kHz SCS: the first symbols of the candidate SS/PBCH blocks have indexes
{}8, 12, 16, 20, 32, 36, 40, 44 + 56 ⋅ n . For carrier frequencies within FR2, n = 0,1, 2, 3, 5, 6, 7, 8 .
From the above cases, if the SCS of SS/PBCH blocks is not provided by ssbSubcarrierSpacing, the applicable cases for
a cell depend on a respective frequency band, as provided in [8-1, TS 38.101-1] and [8-2, TS 38.101-2]. A same case
applies for all SS/PBCH blocks on the cell. If a 30 kHz SS/PBCH block SCS is indicated by ssbSubcarrierSpacing,
Case B applies for frequency bands with only 15 kHz SS/PBCH block SCS as specified in [8-1, TS 38.101-1], and the
case specified for 30 kHz SS/PBCH block SCS in [8-1, TS 38.101-1] applies for frequency bands with 30 kHz
SS/PBCH block SCS or both 15 kHz and 30 kHz SS/PBCH block SCS as specified in [8-1, TS 38.101-1]. For a UE
configured to operate with carrier aggregation over a set of cells in a frequency band of FR2 or with frequency-
contiguous carrier aggregation over a set of cells in a frequency band of FR1, if the UE is provided SCS values by
ssbSubcarrierSpacing for receptions of SS/PBCH blocks on any cells from the set of cells, the UE expects the SCS
values to be same.
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The candidate SS/PBCH blocks in a half frame are indexed in an ascending order in time from 0 to L −1 . A UE
max
determines the 2 LSB bits, for L = 4 , or the 3 LSB bits, for L > 4 , of a SS/PBCH block index per half frame from
max max
a one-to-one mapping with an index of the DM-RS sequence transmitted in the PBCH. For L = 64 , the UE
max
determines the 3 MSB bits of the SS/PBCH block index per half frame from PBCH payload bits a ,a ,a as
A+5 A+6 A+7
described in [5, TS 38.212].
A UE can be provided per serving cell by ssb-periodicityServingCell a periodicity of the half frames for reception of the
SS/PBCH blocks for the serving cell. If the UE is not configured a periodicity of the half frames for receptions of the
SS/PBCH blocks, the UE assumes a periodicity of a half frame. A UE assumes that the periodicity is same for all
SS/PBCH blocks in the serving cell.
For initial cell selection, a UE may assume that half frames with SS/PBCH blocks occur with a periodicity of 2 frames.
Upon detection of a SS/PBCH block, the UE determines from MIB that a CORESET for Type0-PDCCH CSS set, as
described in Subclause 13, is present if [4, TS 38.211] for FR1 or if for FR2. The UE determines
k ≤ 23 k ≤ 11
SSB SSB
from MIB that a CORESET for Type0-PDCCH CSS set is not present if k > 23 for FR1 or if k >11 for FR2; the
SSB SSB
CORESET for Type0-PDCCH CSS set may be provided by PDCCH-ConfigCommon.
For a serving cell without transmission of SS/PBCH blocks, a UE acquires time and frequency synchronization with the
serving cell based on receptions of SS/PBCH blocks on the PCell, or on the PSCell, of the cell group for the serving
cell.
4.2 Transmission timing adjustments
A UE can be provided a value N of a timing advance offset for a serving cell by n-TimingAdvanceOffset for the
TA_offset
serving cell. If the UE is not provided n-TimingAdvanceOffset for a serving cell, the UE determines a default value
N of the timing advance offset for the serving cell as described in [10, TS 38.133].
TA_offset
If a UE is configured with two UL carriers for a serving cell, a same timing advance offset value applies to
N
TA_offset
both carriers.
Upon reception of a timing advance command for a TAG, the UE adjusts uplink timing for PUSCH/SRS/PUCCH
transmission on all the serving cells in the TAG based on a value N that the UE expects to be same for all the
TA_offset
serving cells in the TAG and based on the received timing advance command where the uplink timing for
PUSCH/SRS/PUCCH transmissions is the same for all the serving cells in the TAG.
For a band with synchronous contiguous intra-band EN-DC in a band combination with non-applicable maximum
transmit timing difference requirements as described in Note 1 of Table 7.5.3-1 of [10, TS 38.133], if the UE indicates
ul-TimingAlignmentETURA-NR as 'required' and uplink transmission timing based on timing adjustment indication for a
TAG from MCG and a TAG from SCG are determined to be different by the UE, the UE adjusts the transmission
timing for PUSCH/SRS/PUCCH transmission on all serving cells part of the band with the synchronous contiguous
intra-band EN-DC based on timing adjustment indication for a TAG from a serving cell in MCG in the band.
μ
For a SCS of 2 ⋅15 kHz, the timing advance command for a TAG indicates the change of the uplink timing relative to
μ
the current uplink timing for the TAG in multiples of 16 ⋅ 64 ⋅T 2 . The start timing of the random access preamble is
c
described in [4, TS 38.211].
In case of random access response, a timing advance command [11, TS 38.321], T , for a TAG indicates N values
A TA
μ
by index values of T = 0, 1, 2, ., 3846, where an amount of the time alignment for the TAG with SCS of 2 ⋅15 kHz
A
μ
is N = T ⋅16 ⋅ 64 2 . N is defined in [4, TS 38.211] and is relative to the SCS of the first uplink transmission

TA A TA
from the UE after the reception of the random access response.
In other cases, a timing advance command [11, TS 38.321], T , for a TAG indicates adjustment of a current N
A TA
μ
value, N , to the new N value, N , by index values of T = 0, 1, 2,., 63, where for a SCS of 2 ⋅15 kHz,
TA_old TA TA_new A
μ
N = N +()T −31 ⋅16⋅64 2
.
TA_new TA_old A
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If a UE has multiple active UL BWPs, as described in Subclause 12, in a same TAG, including UL BWPs in two UL
carriers of a serving cell, the timing advance command value is relative to the largest SCS of the multiple active UL
BWPs. The applicable N value for an UL BWP with lower SCS may be rounded to align with the timing
TA_new
advance granularity for the UL BWP with the lower SCS while satisfying the timing advance accuracy requirements in
[10, TS38.133].
Adjustment of an value by a positive or a negative amount indicates advancing or delaying the uplink
N
TA
transmission timing for the TAG by a corresponding amount, respectively.
For a timing advance command received on uplink slot n and for a transmission other than a PUSCH scheduled by a
RAR UL grant as described in Subclause 8.3, the corresponding adjustment of the uplink transmission timing applies
subframe,μ
from the beginning of uplink slot n + k +1 where k = N ⋅()N + N + N + 0.5 T , N is a time

slot T,1 T,2 TA,max sf T,1
duration in msec of N symbols corresponding to a PDSCH reception time for UE processing capability 1 when
additional PDSCH DM-RS is configured, N is a time duration in msec of N symbols corresponding to a PUSCH
T,2 2
preparation time for UE processing capability 1 [6, TS 38.214], is the maximum timing advance value in msec
N
TA,max
subframe,μ
is the number of slots per subframe, and is the
that can be provided by a TA command field of 12 bits, N T
slot sf
subframe duration of 1 msec. N and N are determined with respect to the minimum SCS among the SCSs of all
1 2
configured UL BWPs for all uplink carriers in the TAG and of all configured DL BWPs for the corresponding downlink
subframe,μ
carriers. For μ = 0 , the UE assumes N = 14 [6, TS 38.214]. Slot n and are determined with respect to the
N
1,0 slot
minimum SCS among the SCSs of all configured UL BWPs for all uplink carriers in the TAG. N is determined
TA,max
with respect to the minimum SCS among the SCSs of all configured UL BWPs for all uplink carriers in the TAG and
for all configured initial UL BWPs provided by initialUplinkBWP. The uplink slot n is the last slot among uplink
slot(s) overlapping with the slot(s) of PDSCH reception assuming =0, where the PDSCH provides the timing

is defined in [4, TS 38.211].
advance command and
If a UE changes an active UL BWP between a time of a timing advance command reception and a time of applying a
corresponding adjustment for the uplink transmission timing, the UE determines the timing advance command value
based on the SCS of the new active UL BWP. If the UE changes an active UL BWP after applying an adjustment for
the uplink transmission timing, the UE assumes a same absolute timing advance command value before and after the
active UL BWP change.
If the received downlink timing changes and is not compensated or is only partly compensated by the uplink timing
adjustment without timing advance command as described in [10, TS 38.133], the UE changes accordingly.
N
TA
If two adjacent slots overlap due to a TA command, the latter slot is reduced in duration relative to the former slot.
4.3 Timing for secondary cell activation / deactivation
With reference to slots for PUCCH transmissions, when a UE receives in a PDSCH an activation command [11, TS
38.321] for a secondary cell ending in slot n, the UE applies the corresponding actions in [11, TS 38.321] no later than
the minimum requirement defined in [10, TS 38.133] and no earlier than slot n + k , except for the following:
- the actions related to CSI reporting on a serving cell that is active in slot n + k
- the actions related to the sCellDeactivationTimer associated with the secondary cell [11, TS 38.321] that the UE
applies in slot n + k
- the actions related to CSI reporting on a serving cell which is not active in slot n + k that the UE applies in the
earliest slot after n + k in which the serving cell is active.
subframe, μ
The value of k is k + 3⋅ N +1 where k is a number of slots for a PUCCH transmission with HARQ-ACK
1 slot 1
information for the PDSCH reception and is indicated by the PDSCH-to-HARQ-timing-indicator field in the DCI
subframe,μ
format scheduling the PDSCH reception as described in Subclause 9.2.3 and N is a number of slots per
slot
μ of the PUCCH transmission.
subframe for the SCS configuration
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With reference to slots for PUCCH transmissions, if a UE receives a deactivation command [11, TS 38.321] for a
secondary cell ending in slot n , the UE applies the corresponding actions in [11, TS 38.321] no later than the minimum
requirement defined in [10, TS 38.133], except for the actions related to CSI reporting on an activated serving cell
which the UE applies in slot n + k .
n
If the sCellDeactivationTimer associated with the secondary cell expires in slot , the UE applies the corresponding
actions in [11, TS 38.321] no later than the minimum requirement defined in [10, TS 38.133], except for the actions
related to CSI reporting on an activated serving cell which the UE applies in the first slot that is after slot
subframe, μ
where is the SCS configuration for PDSCH reception on the secondary cell.
nN+⋅3 μ
slot
5 Radio link monitoring
The downlink radio link quality of the primary cell is monitored by a UE for the purpose of indicating out-of-sync/in-
sync status to higher layers. The UE is not required to monitor the downlink radio link quality in DL BWPs other than
the active DL BWP, as described in Subclause 12, on the primary cell. If the active DL BWP is the initial DL BWP and
for SS/PBCH block and CORESET multiplexing pattern 2 or 3, as described in Subclause 13, the UE is expected to
perform RLM using the associated SS/PBCH block when the associated SS/PBCH block index is provided by
RadioLinkMonitoringRS.
If the UE is configured with a SCG, as described in [12, TS 38.331], and the parameter rlf-TimersAndConstants is
provided by higher layers and is not set to release, the downlink radio link quality of the PSCell of the SCG is
monitored by the UE for the purpose of indicating out-of-sync/in-sync status to higher layers. The UE is not required to
monitor the downlink radio link quality in DL BWPs other than the active DL BWP on the PSCell.
A UE can be configured for each DL BWP of a SpCell [11, TS 38.321] with a set of resource indexes, through a
corresponding set of RadioLinkMonitoringRS, for radio link monitoring by failureDetectionResources. The UE is
provided either a CSI-RS resource configuration index, by csi-RS-Index, or a SS/PBCH block index, by ssb-Index. The
UE can be configured with up to N RadioLinkMonitoringRS for link recovery procedures, as decribed in
LR −RLM
Subclause 6, and for radio link monitoring. From the N RadioLinkMonitoringRS, up to N
LR −RLM RLM
RadioLinkMonitoringRS can be used for radio link monitoring depending on a maximum number L of candidate
max
SS/PBCH blocks per half frame as described in Subclause 4.1, and up to two RadioLinkMonitoringRS can be used for
link recovery procedures.
If the UE is not provided RadioLinkMonitoringRS and the UE is provided for PDCCH receptions TCI states that include
one or more of a CSI-RS
- the UE uses for radio link monitoring the RS provided for the active TCI state for PDCCH reception if the active
TCI state for PDCCH reception includes only one RS
- if the active TCI state for PDCCH reception includes two RS, the UE expects that one RS has QCL-TypeD [6,
TS 38.214] and the UE uses the RS with QCL-TypeD for radio link monitoring; the UE does not expect both RS
to have QCL-TypeD
- the UE is not required to use for radio link monitoring an aperiodic or semi-persistent RS
- For L = 4 , the UE selects the N RS provided for active TCI states for PDCCH receptions in CORESETs
max RLM
associated with the search space sets in an order from the shortest monitoring periodicity. If more than one
CORESETs are associated with search space sets having same monitoring periodicity, the UE determines the
order of the CORESET from the highest CORESET index as described in Subclause 10.1.
A UE does not expect to use more than N RadioLinkMonitoringRS for radio link monitoring when the UE is not
RLM
provided RadioLinkMonitoringRS.
Values of N and N for different values of L are given in Table 5-1.
LR −RLM RLM max
ETSI
3GPP TS 38.213 version 15.6.0 Release 15 13 ETSI TS 138 213 V15.6.0 (2019-07)
Table 5-1: N and N as a function of maximum number L of SS/PBCH blocks per half
LR −RLM RLM max
frame
L N N
max LR −RLM RLM
4 2
8 6
64 8
For a CSI-RS resource configuration, powerControlOffsetSS is not applicable and a UE expects to be provided only 'No
CDM' from cdm-Type, only '1' and '3' from density, and only '1 port' from nrofPorts [6, TS 38.214].
If a UE is configured with multiple DL BWPs for a serving cell, the UE performs RLM using the RS(s) corresponding
to resource indexes provided by RadioLinkMonitoringRS for the active DL BWP or, if RadioLinkMonitoringRS is not
provided for the active DL BWP, using the RS(s) provided for the active TCI state for PDCCH receptions in
CORESETs on the active DL BWP.
In non-DRX mode operation, the physical layer in the UE assesses once per indication period the radio link quality,
evaluated over the previous time period defined in [10, TS 38.133] against thresholds (Qout and Qin) configured by
rlmInSyncOutOfSyncThreshold. The UE determines the indication period as the maximum between the shortest
periodicity for radio link monitoring resources and 10 msec.
In DRX mode operation, the physical layer in the UE assesses once per indication period the radio link quality,
and Q ) provided by
evaluated over the previous time period defined in [10, TS 38.133], against thresholds (Qout in
rlmInSyncOutOfSyncThreshold. The UE determines the indication period as the maximum between the shortest
periodicity for radio link monitoring resources and the DRX period.
The physical layer in the UE indicates, in frames where the radio link quality is assessed, out-of-sync to higher layers
when the radio link quality is worse than the threshold Q for all resources in the set of resources for radio link
out
monitoring. When the radio link quality is better than the threshold Q for any resource in the set of resources for radio
in
link monitoring, the physical layer in the UE indicates, in frames where the radio link quality is assessed, in-sync to
higher layers.
6 Link recovery procedures
A UE can be provided, for each BWP of a serving cell, a set q of periodic CSI-RS resource configuration indexes by
failureDetectionResources and a set q of periodic CSI-RS resource configuration indexes and/or SS/PBCH block
indexes by candidateBeamRSList for radio link quality measurements on the BWP of the serving cell. If the UE is not
provided failureDetectionResources, the UE determines the set q to include periodic CSI-RS resource configuration
indexes with same values as the RS indexes in the RS sets indicated by TCI-state for respective CORESETs that the UE
uses for monitoring PDCCH and, if there are two RS indexes in a TCI state, the set q includes RS indexes with QCL-
TypeD configuration for the corresponding TCI states. The UE expects the set q to include up to two RS indexes. The
UE expects single port RS in the set q .
The thresholds Q and Q correspond to the default value of rlmInSyncOutOfSyncThreshold, as described in [10,
out,LR in,LR
TS 38.133] for Q , and to the value provided by rsrp-ThresholdSSB, respectively.
out
The physical layer in the UE assesses the radio link quality according to the set q of resource configurations against
the threshold Q . For the set q , the UE assesses the radio link quality only according to periodic CSI-RS resource
out,LR
configurations or SS/PBCH blocks that are quasi co-located, as described in [6, TS 38.214], with the DM-RS of
PDCCH receptions monitored by the UE. The UE applies the Q threshold to the L1-RSRP measurement obtained
in,LR
from a SS/PBCH block. The UE applies the Q threshold to the L1-RSRP measurement obtained for a CSI-RS
in,LR
resource after scaling a respective CSI-RS reception power with a value provided by powerControlOffsetSS.
In non-DRX mode operation, the physical layer in the UE provides an indication to higher layers when the radio link
quality for all corresponding resource configurations in the set q that the UE uses to assess the radio link quality is
worse than the threshold Q . The physical layer informs the higher layers when the radio link quality is worse than
out,LR
the threshold Q with a periodicity determined by the maximum between the shortest periodicity among the periodic
out,LR
ETSI
3GPP TS 38.213 version 15.6.0 Release 15 14 ETSI TS 138 213 V15.6.0 (2019-07)
CSI-RS configurations and/or SS/PBCH blocks in the set q that the UE uses to assess the radio link quality and 2
msec. In DRX mode operation, the physical layer provides an indication to higher layers when the radio link quality is
with a periodicity determined as described in [10, TS 38.133].
worse than the threshold Qout,LR
Upon request from higher layers, the UE provides to higher layers the periodic CSI-RS configuration indexes and/or
SS/PBCH block indexes from the set q and the corresponding L1-RSRP measurements that are larger than or equal to
the Q threshold.
in,LR
A UE can be provided a CORESET through a link to a search space set provided by recoverySearchSpaceId, as
described in Subclause 10.1, for monitoring PDCCH in the CORESET. If the UE is provided recoverySearchSpaceId,
the UE does not expect to be provided another search space set for monitoring PDCCH in the CORESET associated
with the search space set provided by recoverySearchSpaceId.
The UE may receive by PRACH-ResourceDedicatedBFR, a configuration for PRACH transmission as described in
Subclause 8.1. For PRACH transmission in slot n and according to antenna port quasi co-location parameters
q
associated with periodic CSI-RS resource configuration or with SS/PBCH block associated with index provided
new
by higher layers [11, TS 38.321], the UE monitors PDCCH in a search space set provided by recoverySearchSpaceId
for detection of a DCI format with CRC scrambled by C-RNTI or MCS-C-RNTI starting from slot n + 4 within a
window configured by BeamFailureRecoveryConfig. For PDCCH monitoring in a search space set provided by
recoverySearchSpaceId and for corresponding PDSCH reception, the UE assumes the same antenna port quasi-
q
collocation parameters as the ones associated with index until the UE receives by higher layers an activation for a
new
TCI state or any of the parameters TCI-StatesPDCCH-ToAddlist and/or TCI-StatesPDCCH-ToReleaseList. After the UE
detects a DCI format with CRC scrambled by C-RNTI or MCS-C-RNTI in the search space set provided by
recoverySearchSpaceId, the UE continues to monitor PDCCH candidates in the search space set provided by
...