3GPP

3rd Generation Partnership Project;
3GPP TS 38.300
Technical Specification Group Radio Access Network;
V15.3.1 (2018-10)
NR; NR and NG-RAN Overall Description;
Technical Specification
Stage 2
(Release 15)
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.
Release 15 2 3GPP TS 38.300 V15.3.1 (2018-10)
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3GPP
Release 15 3 3GPP TS 38.300 V15.3.1 (2018-10)
Contents
Foreword..........................................................................................................................................................7
1 Scope......................................................................................................................................................8
2 References..............................................................................................................................................8
3 Abbreviations and Definitions................................................................................................................9
3.1 Abbreviations.......................................................................................................................................................9
3.2 Definitions.........................................................................................................................................................10
4 Overall Architecture and Functional Split.............................................................................................11
4.1 Overall Architecture...........................................................................................................................................11
4.2 Functional Split..................................................................................................................................................12
4.3 Network Interfaces............................................................................................................................................14
4.3.1 NG Interface.................................................................................................................................................14
4.3.1.1 NG User Plane........................................................................................................................................14
4.3.1.2 NG Control Plane...................................................................................................................................14
4.3.2 Xn Interface..................................................................................................................................................15
4.3.2.1 Xn User Plane.........................................................................................................................................15
4.3.2.2 Xn Control Plane....................................................................................................................................15
4.4 Radio Protocol Architecture..............................................................................................................................16
4.4.1 User Plane....................................................................................................................................................16
4.4.2 Control Plane................................................................................................................................................16
4.5 Multi-RAT Dual Connectivity...........................................................................................................................17
5 Physical Layer......................................................................................................................................17
5.1 Waveform, numerology and frame structure.....................................................................................................17
5.2 Downlink...........................................................................................................................................................18
5.2.1 Downlink transmission scheme...................................................................................................................18
5.2.2 Physical-layer processing for physical downlink shared channel................................................................18
5.2.3 Physical downlink control channels.............................................................................................................19
5.2.4 Synchronization signal and PBCH...............................................................................................................19
5.2.5 Physical layer procedures.............................................................................................................................20
5.2.5.1 Link adaptation.......................................................................................................................................20
5.2.5.2 Power Control........................................................................................................................................20
5.2.5.3 Cell search..............................................................................................................................................20
5.2.5.4 HARQ.....................................................................................................................................................21
5.2.5.5 Reception of SIB1..................................................................................................................................21
5.3 Uplink................................................................................................................................................................21
5.3.1 Uplink transmission scheme........................................................................................................................21
5.3.2 Physical-layer processing for physical uplink shared channel.....................................................................21
5.3.3 Physical uplink control channel...................................................................................................................22
5.3.4 Random access.............................................................................................................................................23
5.3.5 Physical layer procedures.............................................................................................................................23
5.3.5.1 Link adaptation.......................................................................................................................................23
5.3.5.2 Uplink Power control.............................................................................................................................23
5.3.5.3 Uplink timing control.............................................................................................................................23
5.3.5.4 HARQ.....................................................................................................................................................23
5.4 Carrier aggregation............................................................................................................................................24
5.4.1 Carrier aggregation......................................................................................................................................24
5.4.2 Supplementary Uplink.................................................................................................................................24
5.5 Transport Channels............................................................................................................................................24
6 Layer 2.................................................................................................................................................25
6.1 Overview...........................................................................................................................................................25
6.2 MAC Sublayer...................................................................................................................................................27
6.2.1 Services and Functions.................................................................................................................................27
6.2.2 Logical Channels..........................................................................................................................................27
6.2.3 Mapping to Transport Channels...................................................................................................................27
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6.2.4 HARQ..........................................................................................................................................................28
6.3 RLC Sublayer....................................................................................................................................................28
6.3.1 Transmission Modes....................................................................................................................................28
6.3.3 ARQ.............................................................................................................................................................28
6.4 PDCP Sublayer..................................................................................................................................................29
6.5 SDAP Sublayer..................................................................................................................................................29
6.6 L2 Data Flow.....................................................................................................................................................30
6.7 Carrier Aggregation...........................................................................................................................................30
6.8 Dual Connectivity..............................................................................................................................................32
6.9 Supplementary Uplink.......................................................................................................................................32
6.10 Bandwidth Adaptation.......................................................................................................................................32
7 RRC......................................................................................................................................................33
7.1 Services and Functions......................................................................................................................................33
7.2 Protocol States...................................................................................................................................................34
7.3 System Information Handling...........................................................................................................................34
7.3.1 Overview......................................................................................................................................................34
7.3.2 Scheduling....................................................................................................................................................35
7.3.3 SI Modification............................................................................................................................................36
7.4 Access Control...................................................................................................................................................36
7.5 UE Capability Retrieval framework..................................................................................................................36
7.6 Transport of NAS Messages..............................................................................................................................37
7.7 Carrier Aggregation...........................................................................................................................................37
7.8 Bandwidth Adaptation.......................................................................................................................................37
8 NG Identities........................................................................................................................................37
8.1 UE Identities......................................................................................................................................................37
8.2 Network Identities.............................................................................................................................................38
9 Mobility and State Transitions..............................................................................................................38
9.1 Overview...........................................................................................................................................................38
9.2 Intra-NR.............................................................................................................................................................39
9.2.1 Mobility in RRC_IDLE...............................................................................................................................39
9.2.1.1 Cell Selection.........................................................................................................................................39
9.2.1.2 Cell Reselection......................................................................................................................................40
9.2.1.3 State Transitions.....................................................................................................................................40
9.2.2 Mobility in RRC_INACTIVE......................................................................................................................42
9.2.2.1 Overview................................................................................................................................................42
9.2.2.3 RAN-Based Notification Area...............................................................................................................43
9.2.2.4 State Transitions.....................................................................................................................................43
9.2.2.4.1 UE triggered transition from RRC_INACTIVE to RRC_CONNECTED.......................................43
9.2.2.4.2 Network triggered transition from RRC_INACTIVE to RRC_CONNECTED...............................45
9.2.2.5 RNA update............................................................................................................................................46
9.2.3 Mobility in RRC_CONNECTED................................................................................................................47
9.2.3.1 Overview................................................................................................................................................47
9.2.3.2 Handover................................................................................................................................................48
9.2.3.2.1 C-Plane Handling.............................................................................................................................48
9.2.3.2.2 U-Plane Handling.............................................................................................................................50
9.2.3.2.3 Data Forwarding...............................................................................................................................51
9.2.3.3 Re-establishment procedure...................................................................................................................52
9.2.4 Measurements..............................................................................................................................................53
9.2.5 Paging..........................................................................................................................................................55
9.2.6 Random Access Procedure...........................................................................................................................56
9.2.7 Radio Link Failure.......................................................................................................................................57
9.2.8 Beam failure detection and recovery...........................................................................................................57
9.3 Inter RAT...........................................................................................................................................................58
9.3.1 Intra 5GC.....................................................................................................................................................58
9.3.1.2 Handover................................................................................................................................................58
9.3.1.3 Measurements.........................................................................................................................................58
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9.3.2 From 5GC to EPC........................................................................................................................................58

9.3.2.2 Handover................................................................................................................................................59
9.3.2.3 Measurements.........................................................................................................................................59
9.3.2.4 Data Forwarding.....................................................................................................................................59
9.3.3 From EPC to 5GC........................................................................................................................................59
9.3.3.1 Data Forwarding.....................................................................................................................................59
9.4 Roaming and Access Restrictions......................................................................................................................60
10 Scheduling............................................................................................................................................60
10.1 Basic Scheduler Operation................................................................................................................................60
10.2 Downlink Scheduling........................................................................................................................................61
10.3 Uplink Scheduling.............................................................................................................................................61
10.4 Measurements to Support Scheduler Operation................................................................................................61
10.5 Rate Control.......................................................................................................................................................62
10.5.1 Downlink......................................................................................................................................................62
10.5.2 Uplink..........................................................................................................................................................62
10.6 Activation/Deactivation Mechanism.................................................................................................................62
10.7 E-UTRA-NR Physical Layer Resource Coordination.......................................................................................63
11 UE Power Saving.................................................................................................................................63
12 QoS.......................................................................................................................................................64
12.1 Overview...........................................................................................................................................................64
13 Security................................................................................................................................................66
13.1 Overview and Principles....................................................................................................................................66
13.2 Security Termination Points...............................................................................................................................68
13.3 State Transitions and Mobility...........................................................................................................................68
14 UE Capabilities.....................................................................................................................................68
15 Self-Configuration and Self-Optimisation............................................................................................69
15.1 Definitions.........................................................................................................................................................69
15.2 UE Support for self-configuration and self-optimisation..................................................................................69
15.3 Self-configuration..............................................................................................................................................69
15.3.1 Dynamic configuration of the NG-C interface............................................................................................69
15.3.1.1 Prerequisites...........................................................................................................................................69
15.3.1.2 SCTP initialization.................................................................................................................................69
15.3.1.3 Application layer initialization...............................................................................................................69
15.3.2 Dynamic Configuration of the Xn interface................................................................................................70
15.3.2.1 Prerequisites...........................................................................................................................................70
15.3.2.2 SCTP initialization.................................................................................................................................70
15.3.2.3 Application layer initialization...............................................................................................................70
15.3.3 Automatic Neighbour Cell Relation Function.............................................................................................70
15.3.3.1 General...................................................................................................................................................70
15.3.3.2 Intra-system – intra NR Automatic Neighbour Cell Relation Function.................................................71
15.3.3.3 Intra-system – intra E-UTRA Automatic Neighbour Cell Relation Function........................................72
15.3.3.4 Intra-system – inter RAT Automatic Neighbour Cell Relation Function...............................................72
15.3.3.5 Inter-system Automatic Neighbour Cell Relation Function...................................................................72
15.3.4 Xn-C TNL address discovery.......................................................................................................................73
16 Verticals Support..................................................................................................................................74
16.1 URLLC..............................................................................................................................................................74
16.1.1 Overview......................................................................................................................................................74
16.1.2 LCP Restrictions..........................................................................................................................................74
16.1.3 Packet Duplication.......................................................................................................................................74
16.2 IMS Voice..........................................................................................................................................................75
16.2.1 Support for MMTEL IMS voice and video enhancements..........................................................................75
16.2.1.1 RAN-assisted codec adaptation..............................................................................................................75
16.2.1.2 MMTEL voice quality/coverage enhancements.....................................................................................75
16.3 Network Slicing.................................................................................................................................................76
16.3.1 General Principles and Requirements..........................................................................................................76
16.3.2 CN Instance and NW Slice Selection..........................................................................................................77
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16.3.2.1 CN-RAN interaction and internal RAN aspects....................................................................................77

16.3.2.2 Radio Interface Aspects..........................................................................................................................77
16.3.3 Resource Isolation and Management...........................................................................................................77
16.3.4 Signalling Aspects........................................................................................................................................78
16.3.4.1 General...................................................................................................................................................78
16.3.4.2 CN Instance and NW Slice Selection.....................................................................................................78
16.3.4.3 UE Context Handling.............................................................................................................................78
16.3.4.4 PDU Session Handling...........................................................................................................................79
16.3.4.5 Mobility..................................................................................................................................................79
16.4 Public Warning System......................................................................................................................................80
16.5 Emergency Services...........................................................................................................................................81
16.5.1 Overview......................................................................................................................................................81
16.5.2 IMS Emergency call.....................................................................................................................................81
16.5.3 eCall over IMS.............................................................................................................................................81
16.5.4 Fallback........................................................................................................................................................81
Annex A (informative): QoS Handling in RAN..................................................................................82

A.1 PDU Session Establishment.................................................................................................................82
A.2 New QoS Flow with RQoS...................................................................................................................82
A.3 New QoS Flow with Explicit RRC Signalling......................................................................................83
A.4 New QoS Flow with Explicit NAS Signalling......................................................................................84
A.5 Release of QoS Flow with Explicit Signalling......................................................................................85
A.6 UE Initiated UL QoS Flow...................................................................................................................85
Annex B (informative): Deployment Scenarios..................................................................................87
B.1 Supplementary Uplink..........................................................................................................................87
B.2 Multiple SSBs in a carrier.....................................................................................................................87
Annex C (informative): I-RNTI Reference Profiles...........................................................................89
Annex D (informative): Change history................................................................................................90
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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:
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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1 Scope
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.
2 References
The following documents contain provisions which, through reference in this text, constitute provisions of the present
document.
- References are either specific (identified by date of publication, edition number, version number, etc.) or
non-specific.
- For a specific reference, subsequent revisions do not apply.
- 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.
[1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
[2] 3GPP TS 36.300: "Evolved Universal Terrestrial Radio Access (E-UTRA) and Evolved Universal
Terrestrial Radio Access Network (E-UTRAN); Overall description; Stage 2".
[3] 3GPP TS 23.501: "System Architecture for the 5G System; Stage 2".
[4] 3GPP TS 38.401: "NG-RAN; Architecture description".
[5] 3GPP TS 33.501: "Security Architecture and Procedures for 5G System".
[6] 3GPP TS 38.321: "NR; Medium Access Control (MAC) protocol specification".
[7] 3GPP TS 38.322: "NR; Radio Link Control (RLC) protocol specification".
[8] 3GPP TS 38.323: "NR; Packet Data Convergence Protocol (PDCP) specification".
[9] 3GPP TS 37.324: "NR; Service Data Protocol (SDAP) specification".
[10] 3GPP TS 38.304: "NR; User Equipment (UE) procedures in idle mode".
[11] 3GPP TS 38.306: "NR; User Equipment (UE) radio access capabilities".
[12] 3GPP TS 38.331: "NR; Radio Resource Control (RRC); Protocol specification".
[13] 3GPP TS 38.133: "NR; Requirements for support of radio resource management".
[14] 3GPP TS 22.168: "Earthquake and Tsunami Warning System (ETWS) requirements; Stage 1".
[15] 3GPP TS 22.268: "Public Warning System (PWS) Requirements".
[16] 3GPP TS 38.410: "NG-RAN; NG general aspects and principles".
[17] 3GPP TS 38.420: "NG-RAN; Xn general aspects and principles".
[18] 3GPP TS 38.101: "NR; User Equipment (UE) radio transmission and reception".
[19] 3GPP TS 22.261: "Service requirements for next generation new services and markets".
[20] 3GPP TS 38.202: "NR; Physical layer services provided by the physical layer"
[21] 3GPP TS 37.340: "NR; Multi-connectivity; Overall description; Stage-2".
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[22] 3GPP TS 23.502: "Procedures for the 5G System; Stage 2".
[23] IETF RFC 4960 (2007-09): "Stream Control Transmission Protocol".
[24] 3GPP TS 26.114: "Technical Specification Group Services and System Aspects; IP Multimedia
Subsystem (IMS); Multimedia Telephony; Media handling and interaction".
[25] Void.
[26] 3GPP TS 38.413: "NG-RAN; NG Application Protocol (NGAP)".
3 Abbreviations and Definitions
3.1 Abbreviations
For the purposes of the present document, the abbreviations given in 3GPP TR 21.905 [1], in 3GPP TS 36.300 [2] and
the following apply. An abbreviation defined in the present document takes precedence over the definition of the same
abbreviation, if any, in 3GPP TR 21.905 [1] and 3GPP TS 36.300 [2].
5GC 5G Core Network

5QI 5G QoS Identifier
A-CSI Aperiodic CSI
AKA Authentication and Key Agreement
AMBR Aggregate Maximum Bit Rate
AMC Adaptive Modulation and Coding
AMF Access and Mobility Management Function
ARP Allocation and Retention Priority
BA Bandwidth Adaptation
BCH Broadcast Channel
BPSK Binary Phase Shift Keying
C-RNTI Cell RNTI
CBRA Contention Based Random Access
CCE Control Channel Element
CD-SSB Cell Defining SSB
CFRA Contention Free Random Access
CMAS Commercial Mobile Alert Service
CORESET Control Resource Set
DFT Discrete Fourier Transform
DCI Downlink Control Information
DL-SCH Downlink Shared Channel
DMRS Demodulation Reference Signal
DRX Discontinuous Reception
ETWS Earthquake and Tsunami Warning System
GFBR Guaranteed Flow Bit Rate
I-RNTI Inactive RNTI
INT-RNTI Interruption RNTI
LDPC Low Density Parity Check
MDBV Maximum Data Burst Volume
MICO Mobile Initiated Connection Only
MFBR Maximum Flow Bit Rate
MMTEL Multimedia telephony
MNO Mobile Network Operator
MU-MIMO Multi User MIMO
NCGI NR Cell Global Identifier
NCR Neighbour Cell Relation
NCRT Neighbour Cell Relation Table
NGAP NG Application Protocol
NR NR Radio Access
P-RNTI Paging RNTI
PCH Paging Channel
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PCI Physical Cell Identifier

PDCCH Physical Downlink Control Channel
PDSCH Physical Downlink Shared Channel
PO Paging Occasion
PRACH Physical Random Access Channel
PRB Physical Resource Block
PRG Precoding Resource block Group
PSS Primary Synchronisation Signal
PUCCH Physical Uplink Control Channel
PUSCH Physical Uplink Shared Channel
PWS Public Warning System
QAM Quadrature Amplitude Modulation
QFI QoS Flow ID
QPSK Quadrature Phase Shift Keying
RA-RNTI Random Access RNTI
RACH Random Access Channel
RANAC RAN-based Notification Area Code
REG Resource Element Group
RMSI Remaining Minimum SI
RNA RAN-based Notification Area
RNAU RAN-based Notification Area Update
RNTI Radio Network Temporary Identifier
RQA Reflective QoS Attribute
RQoS Reflective Quality of Service
RS Reference Signal
RSRP Reference Signal Received Power
RSRQ Reference Signal Received Quality
SD Slice Differentiator
SDAP Service Data Adaptation Protocol
SFI-RNTI Slot Format Indication RNTI
SI-RNTI System Information RNTI
SLA Service Level Agreement
SMC Security Mode Command
SMF Session Management Function
S-NSSAI Single Network Slice Selection Assistance Information
SPS Semi-Persistent Scheduling
SRS Sounding Reference Signal
SS Synchronization Signal
SSB Synchronization Signal and PBCH block
SSS Secondary Synchronisation Signal
SST Slice/Service Type
SU-MIMO Single User MIMO
SUL Supplementary Uplink
TA Timing Advance
TPC Transmit Power Control
UCI Uplink Control Information
UL-SCH Uplink Shared Channel
UPF User Plane Function
URLLC Ultra-Reliable and Low Latency Communications
Xn-C Xn-Control plane
Xn-U Xn-User plane
XnAP Xn Application Protocol
3.2 Definitions
For the purposes of the present document, the terms and definitions given in 3GPP TR 21.905 [1], in 3GPP TS 36.300
[2] and the following apply. A term defined in the present document takes precedence over the definition of the same
term, if any, in 3GPP TR 21.905 [1] and 3GPP TS 36.300 [2].
Cell-Defining SSB: an SSB with an RMSI associated.
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gNB: node providing NR user plane and control plane protocol terminations towards the UE, and connected via the NG
interface to the 5GC.
MSG1: preamble transmission of the random access procedure.
MSG3: first scheduled transmission of the random access procedure.
ng-eNB: node providing E-UTRA user plane and control plane protocol terminations towards the UE, and connected
via the NG interface to the 5GC.
NG-C: control plane interface between NG-RAN and 5GC.
NG-U: user plane interface between NG-RAN and 5GC.
NG-RAN node: either a gNB or an ng-eNB.
Numerology: corresponds to one subcarrier spacing in the frequency domain. By scaling a reference subcarrier spacing
by an integer N, different numerologies can be defined.
Xn: network interface between NG-RAN nodes.
4 Overall Architecture and Functional Split
4.1 Overall Architecture

An NG-RAN node is either:
- a gNB, providing NR user plane and control plane protocol terminations towards the UE; or
- an ng-eNB, providing E-UTRA user plane and control plane protocol terminations towards the UE.
The gNBs and ng-eNBs are interconnected with each other by means of the Xn interface. The gNBs and ng-eNBs are
also connected by means of the NG interfaces to the 5GC, more specifically to the AMF (Access and Mobility
Management Function) by means of the NG-C interface and to the UPF (User Plane Function) by means of the NG-U
interface (see 3GPP TS 23.501 [3]).
NOTE: The architecture and the F1 interface for a functional split are defined in 3GPP TS 38.401 [4].
The NG-RAN architecture is illustrated in Figure 4.1-1 below.
Figure 4.1-1: Overall Architecture
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4.2 Functional Split

The gNB and ng-eNB host the following functions:
- Functions for Radio Resource Management: Radio Bearer Control, Radio Admission Control, Connection
Mobility Control, Dynamic allocation of resources to UEs in both uplink and downlink (scheduling);
- IP header compression, encryption and integrity protection of data;
- Selection of an AMF at UE attachment when no routing to an AMF can be determined from the information
provided by the UE;
- Routing of User Plane data towards UPF(s);
- Routing of Control Plane information towards AMF;
- Connection setup and release;
- Scheduling and transmission of paging messages;
- Scheduling and transmission of system broadcast information (originated from the AMF or OAM);
- Measurement and measurement reporting configuration for mobility and scheduling;
- Transport level packet marking in the uplink;
- Session Management;
- Support of Network Slicing;
- QoS Flow management and mapping to data radio bearers;
- Support of UEs in RRC_INACTIVE state;
- Distribution function for NAS messages;
- Radio access network sharing;
- Dual Connectivity;
- Tight interworking between NR and E-UTRA.
The AMF hosts the following main functions (see 3GPP TS 23.501 [3]):
- NAS signalling termination;
- NAS signalling security;
- AS Security control;
- Inter CN node signalling for mobility between 3GPP access networks;
- Idle mode UE Reachability (including control and execution of paging retransmission);
- Registration Area management;
- Support of intra-system and inter-system mobility;
- Access Authentication;
- Access Authorization including check of roaming rights;
- Mobility management control (subscription and policies);
- Support of Network Slicing;
- SMF selection.
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The UPF hosts the following main functions (see 3GPP TS 23.501 [3]):
- Anchor point for Intra-/Inter-RAT mobility (when applicable);
- External PDU session point of interconnect to Data Network;
- Packet routing & forwarding;
- Packet inspection and User plane part of Policy rule enforcement;
- Traffic usage reporting;
- Uplink classifier to support routing traffic flows to a data network;
- Branching point to support multi-homed PDU session;
- QoS handling for user plane, e.g. packet filtering, gating, UL/DL rate enforcement;
- Uplink Traffic verification (SDF to QoS flow mapping);
- Downlink packet buffering and downlink data notification triggering.
The Session Management function (SMF) hosts the following main functions (see 3GPP TS 23.501 [3]):
- Session Management;
- UE IP address allocation and management;
- Selection and control of UP function;
- Configures traffic steering at UPF to route traffic to proper destination;
- Control part of policy enforcement and QoS;
- Downlink Data Notification.
This is summarized on the figure below where yellow boxes depict the logical nodes and white boxes depict the main
functions.
Figure 4.2-1: Functional Split between NG-RAN and 5GC
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4.3 Network Interfaces

4.3.1 NG Interface
4.3.1.1 NG User Plane

The NG user plane interface (NG-U) is defined between the NG-RAN node and the UPF. The user plane protocol stack
of the NG interface is shown on Figure 4.3.1.1-1. The transport network layer is built on IP transport and GTP-U is used
on top of UDP/IP to carry the user plane PDUs between the NG-RAN node and the UPF.
Figure 4.3.1.1-1: NG-U Protocol Stack
NG-U provides non-guaranteed delivery of user plane PDUs between the NG-RAN node and the UPF.
Further details of NG-U can be found in 3GPP TS 38.410 [16].
4.3.1.2 NG Control Plane

The NG control plane interface (NG-C) is defined between the NG-RAN node and the AMF. The control plane protocol
stack of the NG interface is shown on Figure 4.3.1.2-1. The transport network layer is built on IP transport. For the
reliable transport of signalling messages, SCTP is added on top of IP. The application layer signalling protocol is
referred to as NGAP (NG Application Protocol). The SCTP layer provides guaranteed delivery of application layer
messages. In the transport, IP layer point-to-point transmission is used to deliver the signalling PDUs.
Figure 4.3.1.2-1: NG-C Protocol Stack
NG-C provides the following functions:
- NG interface management;
- UE context management;
- UE mobility management;
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Release 15 15 3GPP TS 38.300 V15.3.1 (2018-10)
- Transport of NAS messages;
- Paging;
- PDU Session Management;
- Configuration Transfer;
- Warning Message Transmission.
Further details of NG-C can be found in 3GPP TS 38.410 [16].
4.3.2 Xn Interface
4.3.2.1 Xn User Plane

The Xn User plane (Xn-U) interface is defined between two NG-RAN nodes. The user plane protocol stack on the Xn
interface is shown in Figure 4.3.2.1-1. The transport network layer is built on IP transport and GTP-U is used on top of
UDP/IP to carry the user plane PDUs.
Figure 4.3.2.1-1: Xn-U Protocol Stack
Xn-U provides non-guaranteed delivery of user plane PDUs and supports the following functions:
- Data forwarding;
- Flow control.
Further details of Xn-U can be found in 3GPP TS 38.420 [17].
4.3.2.2 Xn Control Plane

The Xn control plane interface (Xn-C) is defined between two NG-RAN nodes. The control plane protocol stack of the
Xn interface is shown on Figure 4.3.2.2-1. The transport network layer is built on SCTP on top of IP. The application
layer signalling protocol is referred to as XnAP (Xn Application Protocol). The SCTP layer provides the guaranteed
delivery of application layer messages. In the transport IP layer point-to-point transmission is used to deliver the
signalling PDUs.
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Figure 4.3.2.2-1: Xn-C Protocol Stack
The Xn-C interface supports the following functions:
- Xn interface management;
- UE mobility management, including context transfer and RAN paging:
- Dual connectivity.
Further details of Xn-C can be found in 3GPP TS 38.420 [17].
4.4 Radio Protocol Architecture

4.4.1 User Plane
The figure below shows the protocol stack for the user plane, where SDAP, PDCP, RLC and MAC sublayers
(terminated in gNB on the network side) perform the functions listed in subclause 6.
Figure 4.4.1-1: User Plane Protocol Stack
4.4.2 Control Plane

The figure below shows the protocol stack for the control plane, where:
- PDCP, RLC and MAC sublayers (terminated in gNB on the network side) perform the functions listed in
subclause 6;
- RRC (terminated in gNB on the network side) performs the functions listed in subclause 7;
- NAS control protocol (terminated in AMF on the network side) performs the functions listed in 3GPP TS 23.501
[3]), for instance: authentication, mobility management, security control…
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Figure 4.4.2-1: Control Plane Protocol Stack
4.5 Multi-RAT Dual Connectivity

NG-RAN supports Multi-RAT Dual Connectivity (MR-DC) operation whereby a UE in RRC_CONNECTED is
configured to utilise radio resources provided by two distinct schedulers, located in two different NG-RAN nodes
connected via a non-ideal backhaul and providing either E-UTRA (i.e. if the node is an ng-eNB) or NR access (i.e. if the
node is a gNB). Further details of MR-DC operation can be found in 3GPP TS 37.340 [21].
5 Physical Layer
5.1 Waveform, numerology and frame structure

The downlink transmission waveform is conventional OFDM using a cyclic prefix. The uplink transmission waveform
is conventional OFDM using a cyclic prefix with a transform precoding function performing DFT spreading that can be
disabled or enabled.
Figure 5.1-1: Transmitter block diagram for CP-OFDM with optional DFT-spreading
The numerology is based on exponentially scalable sub-carrier spacing f = 2µ × 15 kHz with µ={0,1,3,4} for PSS, SSS
and PBCH and µ={0,1,2,3} for other channels. Normal CP is supported for all sub-carrier spacings, Extended CP is
supported for µ=2. 12 consecutive sub-carriers form a Physical Resource Block (PRB). Up to 275 PRBs are supported
on a carrier.
Table 5.1-1: Supported transmission numerologies.
 f  2  15 [kHz] Cyclic prefix Supported for data Supported for synch
0 15 Normal Yes Yes
1 30 Normal Yes Yes
2 60 Normal, Extended Yes No
3 120 Normal Yes Yes
4 240 Normal No Yes
The UE may be configured with one or more bandwidth parts on a given component carrier, of which only one can be
active at a time, as described in subclauses 7.8 and 6.10 respectively. The active bandwidth part defines the UE's
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operating bandwidth within the cell's operating bandwidth. For initial access, and until the UE's configuration in a cell is
received, initial bandwidth part detected from system information is used.
Downlink and uplink transmissions are organized into frames with 10 ms duration, consisting of ten 1 ms subframes.
Each frame is divided into two equally-sized half-frames of five subframes each. The slot duration is 14 symbols with
Normal CP and 12 symbols with Extended CP, and scales in time as a function of the used sub-carrier spacing so that
there is always an integer number of slots in a subframe.
Timing Advance TA is used to adjust the uplink frame timing relative to the downlink frame timing.
Figure 5.1-2: Uplink-downlink timing relation
Operation on both paired and unpaired spectrum is supported.
5.2 Downlink
5.2.1 Downlink transmission scheme
A closed loop Demodulation Reference Signal (DMRS) based spatial multiplexing is supported for Physical Downlink
Shared Channel (PDSCH). Up to 8 and 12 orthogonal DL DMRS ports are supported for type 1 and type 2 DMRS
respectively. Up to 8 orthogonal DL DMRS ports per UE are supported for SU-MIMO and up to 4 orthogonal DL
DMRS ports per UE are supported for MU-MIMO. The number of SU-MIMO code words is one for 1-4 layer
transmissions and two for 5-8 layer transmissions.
The DMRS and corresponding PDSCH are transmitted using the same precoding matrix and the UE does not need to
know the precoding matrix to demodulate the transmission. The transmitter may use different precoder matrix for
different parts of the transmission bandwidth, resulting in frequency selective precoding. The UE may also assume that
the same precoding matrix is used across a set of Physical Resource Blocks (PRBs) denoted Precoding Resource Block
Group (PRG).
Transmission durations from 2 to 14 symbols in a slot is supported.
Aggregation of multiple slots with Transport Block (TB) repetition is supported.
5.2.2 Physical-layer processing for physical downlink shared channel

The downlink physical-layer processing of transport channels consists of the following steps:
- Transport block CRC attachment;
- Code block segmentation and code block CRC attachment;
- Channel coding: LDPC coding;
- Physical-layer hybrid-ARQ processing;
- Rate matching;
- Scrambling;
- Modulation: QPSK, 16QAM, 64QAM and 256QAM;
- Layer mapping;
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- Mapping to assigned resources and antenna ports.
The UE may assume that at least one symbol with demodulation reference signal is present on each layer in which
PDSCH is transmitted to a UE, and up to 3 additional DMRS can be configured by higher layers.
Phase Tracking RS may be transmitted on additional symbols to aid receiver phase tracking.
The DL-SCH physical layer model is described in 3GPP TS 38.202 [20].
5.2.3 Physical downlink control channels

The Physical Downlink Control Channel (PDCCH) can be used to schedule DL transmissions on PDSCH and UL
transmissions on PUSCH, where the Downlink Control Information (DCI) on PDCCH includes:
- Downlink assignments containing at least modulation and coding format, resource allocation, and hybrid-ARQ
information related to DL-SCH;
- Uplink scheduling grants containing at least modulation and coding format, resource allocation, and hybrid-ARQ
information related to UL-SCH.
In addition to scheduling, PDCCH can be used to for
- Activation and deactivation of configured PUSCH transmission with configured grant;
- Activation and deactivation of PDSCH semi-persistent transmission;
- Notifying one or more UEs of the slot format;
- Notifying one or more UEs of the PRB(s) and OFDM symbol(s) where the UE may assume no transmission is
intended for the UE;
- Transmission of TPC commands for PUCCH and PUSCH;
- Transmission of one or more TPC commands for SRS transmissions by one or more UEs;
- Switching a UE's active bandwidth part;
- Initiating a random access procedure.
A UE monitors a set of PDCCH candidates in the configured monitoring occasions in one or more configured COntrol
REsource SETs (CORESETs) according to the corresponding search space configurations.
A CORESET consists of a set of PRBs with a time duration of 1 to 3 OFDM symbols. The resource units Resource
Element Groups (REGs) and Control Channel Elements (CCEs) are defined within a CORESET with each CCE
consisting a set of REGs. Control channels are formed by aggregation of CCE. Different code rates for the control
channels are realized by aggregating different number of CCE. Interleaved and non-interleaved CCE-to-REG mapping
are supported in a CORESET.
Polar coding is used for PDCCH.
Each resource element group carrying PDCCH carries its own DMRS.
QPSK modulation is used for PDCCH.
5.2.4 Synchronization signal and PBCH

The Synchronization Signal and PBCH block (SSB) consists of primary and secondary synchronization signals (PSS,
SSS), each occupying 1 symbol and 127 subcarriers, and PBCH spanning across 3 OFDM symbols and 240 subcarriers,
but on one symbol leaving an unused part in the middle for SSS as show in figure 5.2.4-1. The periodicity of the SSB
can be configured by the network and the time locations where SSB can be sent are determined by sub-carrier spacing.
Within the frequency span of a carrier, multiple SSBs can be transmitted. The PCIs of those SSBs do not have to be
unique, i.e. different SSBs can have different PCIs. However, when an SSB is associated with an RMSI, the SSB
corresponds to an individual cell, which has a unique NCGI (see subclause 8.2). Such an SSB is referred to as a Cell-
Defining SSB (CD-SSB). A PCell is always associated to a CD-SSB located on the synchronization raster.
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Figure 5.2.4-1: Time-frequency structure of SSB
Polar coding is used for PBCH.
The UE may assume a band-specific sub-carrier spacing for the SSB unless a network has configured the UE to assume
a different sub-carrier spacing.
PBCH symbols carry its own frequency-multiplexed DMRS.
QPSK modulation is used for PBCH.
The PBCH physical layer model is described in 3GPP TS 38.202 [20].
5.2.5 Physical layer procedures
5.2.5.1 Link adaptation

Link adaptation (AMC: adaptive modulation and coding) with various modulation schemes and channel coding rates is
applied to the PDSCH. The same coding and modulation is applied to all groups of resource blocks belonging to the
same L2 PDU scheduled to one user within one TTI and within a MIMO codeword.
For channel state estimation purposes, the UE may be configured to measure CSI-RS and estimate the downlink
channel state based on the CSI-RS measurements. The UE feeds the estimated channel state back to the gNB to be used
in link adaptation.
5.2.5.2 Power Control

Downlink power control can be used.
5.2.5.3 Cell search

Cell search is the procedure by which a UE acquires time and frequency synchronization with a cell and detects the Cell
ID of that cell. NR cell search is based on the primary and secondary synchronization signals, and PBCH DMRS,
located on the synchronization raster.
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5.2.5.4 HARQ
Asynchronous Incremental Redundancy Hybrid ARQ is supported. The gNB provides the UE with the HARQ-ACK
feedback timing either dynamically in the DCI or semi-statically in an RRC configuration.
The UE may be configured to receive code block group based transmissions where retransmissions may be scheduled to
carry a sub-set of all the code blocks of a TB.
5.2.5.5 Reception of SIB1

MIB on PBCH provides the UE with parameters for monitoring of PDCCH for scheduling PDSCH that carries the
SIB1. PBCH may also indicate that there is no associated SIB1, in which case the UE may be pointed to another
frequency from where to search for an SSB that is associated with a SIB1 as well as a frequency range where the UE
may assume no SSB associated with SIB1 is present. The indicated frequency range is confined within a contiguous
spectrum allocation of the same operator in which SSB is detected.
5.3 Uplink
5.3.1 Uplink transmission scheme
Two transmission schemes are supported for PUSCH: codebook based transmission and non-codebook based
transmission.
For codebook based transmission, the gNB provides the UE with a transmit precoding matrix indication in the DCI. The
UE uses the indication to select the PUSCH transmit precoder from the codebook. For non-codebook based
transmission, the UE determines its PUSCH precoder based on wideband SRI field from the DCI.
A closed loop DMRS based spatial multiplexing is supported for PUSCH. For a given UE, up to 4 layer transmissions
are supported. The number of code words is one. When transform precoding is used, only a single MIMO layer
transmission is supported.
Transmission durations from 1 to 14 symbols in a slot is supported.
Aggregation of multiple slots with TB repetition is supported.
Two types of frequency hopping are supported, intra-slot frequency hopping, and in case of slot aggregation, inter-slot
frequency hopping.
PUSCH may be scheduled with DCI on PDCCH, or a semi-static configured grant may be provided over RRC, where
two types of operation are supported:
- The first PUSCH is triggered with a DCI, with subsequent PUSCH transmissions following the RRC
configuration and scheduling received on the DCI, or
- The PUSCH is triggered by data arrival to the UE's transmit buffer and the PUSCH transmissions follow the
RRC configuration.
5.3.2 Physical-layer processing for physical uplink shared channel

The uplink physical-layer processing of transport channels consists of the following steps:
- Transport Block CRC attachment;
- Code block segmentation and Code Block CRC attachment;
- Channel coding: LDPC coding;
- Physical-layer hybrid-ARQ processing;
- Rate matching;
- Scrambling;
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- Modulation: π/2 BPSK (with transform precoding only), QPSK, 16QAM, 64QAM and 256QAM;
- Layer mapping, transform precoding (enabled/disabled by configuration), and pre-coding;
- Mapping to assigned resources and antenna ports.
The UE transmits at least one symbol with demodulation reference signal on each layer on each frequency hop in which
the PUSCH is transmitted, and up to 3 additional DMRS can be configured by higher layers.
Phase Tracking RS may be transmitted on additional symbols to aid receiver phase tracking.
The UL-SCH physical layer model is described in 3GPP TS 38.202 [20].
5.3.3 Physical uplink control channel

Physical uplink control channel (PUCCH) carries the Uplink Control Information (UCI) from the UE to the gNB. Five
formats of PUCCH exist, depending on the duration of PUCCH and the UCI payload size.
- Format #0: Short PUCCH of 1 or 2 symbols with small UCI payloads of up to two bits with UE multiplexing
capacity of up to 6 UEs with 1-bit payload in the same PRB;
- Format #1: Long PUCCH of 4-14 symbols with small UCI payloads of up to two bits with UE multiplexing
capacity of up to 84 UEs without frequency hopping and 36 UEs with frequency hopping in the same PRB;
- Format #2: Short PUCCH of 1 or 2 symbols with large UCI payloads of more than two bits with no UE
multiplexing capability in the same PRBs;
- Format #3: Long PUCCH of 4-14 symbols with large UCI payloads with no UE multiplexing capability in the
same PRBs;
- Format #4: Long PUCCH of 4-14 symbols with moderate UCI payloads with multiplexing capacity of up to 4
UEs in the same PRBs.
The short PUCCH format of up to two UCI bits is based on sequence selection, while the short PUCCH format of more
than two UCI bits frequency multiplexes UCI and DMRS. The long PUCCH formats time-multiplex the UCI and
DMRS. Frequency hopping is supported for long PUCCH formats and for short PUCCH formats of duration of 2
symbols. Long PUCCH formats can be repeated over multiple slots.
UCI multiplexing in PUSCH is supported when UCI and PUSCH transmissions coincide in time, either due to
transmission of a UL-SCH transport block or due to triggering of A-CSI transmission without UL-SCH transport block:
- UCI carrying HARQ-ACK feedback with 1 or 2 bits is multiplexed by puncturing PUSCH;
- In all other cases UCI is multiplexed by rate matching PUSCH.
UCI consists of the following information:
- CSI;
- ACK/NAK;
- Scheduling request.
QPSK and π/2 BPSK modulation can be used for long PUCCH with more than 2 bits of information, QPSK is used for
short PUCCH with more than 2 bits of information and BPSK and QPSK modulation can be used for long PUCCH with
up to 2 information bits.
Transform precoding is applied to long PUCCH.
Channel coding used for uplink control information is described in table 5.3.3-1.
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Table 5.3.3-1: Channel coding for uplink control information
Uplink Control Information size Channel code

including CRC, if present
1 Repetition code
2 Simplex code
3-11 Reed Muller code
>11 Polar code
5.3.4 Random access

Random access preamble sequences, of two different lengths are supported. Long sequence length 839 is applied with
subcarrier spacings of 1.25 and 5 kHz and short sequence length 139 is applied with sub-carrier spacings 15, 30, 60 and
120 kHz. Long sequences support unrestricted sets and restricted sets of Type A and Type B, while short sequences
support unrestricted sets only.
Multiple PRACH preamble formats are defined with one or more PRACH OFDM symbols, and different cyclic prefix
and guard time. The PRACH preamble configuration to use is provided to the UE in the system information.
The UE calculates the PRACH transmit power for the retransmission of the preamble based on the most recent estimate
pathloss and power ramping counter. If the UE conducts beam switching, the counter of power ramping remains
unchanged.
The system information provides information for the UE to determine the association between the SSB and the RACH
resources. The RSRP threshold for SSB selection for RACH resource association is configurable by network.
5.3.5 Physical layer procedures
5.3.5.1 Link adaptation

Four types of link adaptation are supported as follows:
- Adaptive transmission bandwidth;
- Adaptive transmission duration;
- Transmission power control;
- Adaptive modulation and channel coding rate.
For channel state estimation purposes, the UE may be configured to transmit SRS that the gNB may use to estimate the
uplink channel state and use the estimate in link adaptation.
5.3.5.2 Uplink Power control

The gNB determines the desired uplink transmit power and provides uplink transmit power control commands to the
UE. The UE uses the provided uplink transmit power control commands to adjust its transmit power.
5.3.5.3 Uplink timing control

The gNB determines the desired Timing Advance setting and provides that to the UE. The UE uses the provided TA to
determine its uplink transmit timing relative to the UE's observed downlink receive timing.
5.3.5.4 HARQ
Asynchronous Incremental Redundancy Hybrid ARQ is supported. The gNB schedules each uplink transmission and
retransmission using the uplink grant on DCI.
The UE may be configured to transmit code block group based transmissions where retransmissions may be scheduled
to carry a sub-set of all the code blocks of a transport block.
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5.4 Carrier aggregation

5.4.1 Carrier aggregation
In Carrier Aggregation (CA), two or more Component Carriers (CCs) are aggregated. A UE may simultaneously receive
or transmit on one or multiple CCs depending on its capabilities. CA is supported for both contiguous and non-
contiguous CCs. When CA is deployed frame timing and SFN are aligned across cells that can be aggregated. The
maximum number of configured CCs for a UE is 16 for DL and 16 for UL.
5.4.2 Supplementary Uplink

In conjunction with a UL/DL carrier pair (FDD band) or a bidirectional carrier (TDD band), a UE may be configured
with additional, Supplementary Uplink (SUL). SUL differs from the aggregated uplink in that the UE may be scheduled
to transmit either on the supplementary uplink or on the uplink of the carrier being supplemented, but not on both at the
same time.
5.5 Transport Channels

The physical layer offers information transfer services to MAC and higher layers. The physical layer transport services
are described by how and with what characteristics data are transferred over the radio interface. An adequate term for
this is "Transport Channel". This should be clearly separated from the classification of what is transported, which relates
to the concept of logical channels at MAC sublayer.
Downlink transport channel types are:
1. Broadcast Channel (BCH) characterised by:
- fixed, pre-defined transport format;
- requirement to be broadcast in the entire coverage area of the cell, either as a single message or by
beamforming different BCH instances.
2. Downlink Shared Channel (DL-SCH) characterised by:
- support for HARQ;
- support for dynamic link adaptation by varying the modulation, coding and transmit power;
- possibility to be broadcast in the entire cell;
- possibility to use beamforming;
- support for both dynamic and semi-static resource allocation;
- support for UE discontinuous reception (DRX) to enable UE power saving;
3. Paging Channel (PCH) characterised by:
- support for UE discontinuous reception (DRX) to enable UE power saving (DRX cycle is indicated by the
network to the UE);
- requirement to be broadcast in the entire coverage area of the cell, either as a single message or by
beamforming different BCH instances;
- mapped to physical resources which can be used dynamically also for traffic/other control channels.
Uplink transport channel types are:
1. Uplink Shared Channel (UL-SCH) characterised by:
- possibility to use beamforming;
- support for dynamic link adaptation by varying the transmit power and potentially modulation and coding;
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- support for HARQ;
- support for both dynamic and semi-static resource allocation.
2. Random Access Channel(s) (RACH) characterised by:
- limited control information;
- collision risk.
Association of transport channels to physical channels is described in 3GPP TS 38.202 [20].
6 Layer 2
6.1 Overview
The layer 2 of NR is split into the following sublayers: Medium Access Control (MAC), Radio Link Control (RLC),
Packet Data Convergence Protocol (PDCP) and Service Data Adaptation Protocol (SDAP). The two figures below
depict the Layer 2 architecture for downlink and uplink, where:
- The physical layer offers to the MAC sublayer transport channels;
- The MAC sublayer offers to the RLC sublayer logical channels;
- The RLC sublayer offers to the PDCP sublayer RLC channels;
- The PDCP sublayer offers to the SDAP sublayer radio bearers;
- The SDAP sublayer offers to 5GC QoS flows;
- Comp. refers to header compression and segm. to segmentation;
- Control channels (BCCH, PCCH are not depicted for clarity).
NOTE: The gNB may not be able to guarantee that a L2 buffer overflow will never occur. If such overflow
occurs, the UE may discard packets in the L2 buffer.
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Figure 6.1-1: Downlink Layer 2 Structure
Figure 6.1-2: Uplink Layer 2 Structure
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Radio bearers are categorized into two groups: data radio bearers (DRB) for user plane data and signalling radio bearers
(SRB) for control plane data.
6.2 MAC Sublayer

6.2.1 Services and Functions
The main services and functions of the MAC sublayer include:
- Mapping between logical channels and transport channels;
- Multiplexing/demultiplexing of MAC SDUs belonging to one or different logical channels into/from transport
blocks (TB) delivered to/from the physical layer on transport channels;
- Scheduling information reporting;
- Error correction through HARQ (one HARQ entity per cell in case of CA);
- Priority handling between UEs by means of dynamic scheduling;
- Priority handling between logical channels of one UE by means of logical channel prioritisation;
- Padding.
A single MAC entity can support multiple numerologies, transmission timings and cells. Mapping restrictions in logical
channel prioritisation control which numerology(ies), cell(s), and transmission timing(s) a logical channel can use (see
subclause 16.1.2).
6.2.2 Logical Channels

Different kinds of data transfer services as offered by MAC. Each logical channel type is defined by what type of
information is transferred. Logical channels are classified into two groups: Control Channels and Traffic Channels.
Control channels are used for the transfer of control plane information only:
- Broadcast Control Channel (BCCH): a downlink channel for broadcasting system control information.
- Paging Control Channel (PCCH): a downlink channel that transfers paging information, system information
change notifications and indications of ongoing PWS broadcasts.
- Common Control Channel (CCCH): channel for transmitting control information between UEs and network.
This channel is used for UEs having no RRC connection with the network.
- Dedicated Control Channel (DCCH): a point-to-point bi-directional channel that transmits dedicated control
information between a UE and the network. Used by UEs having an RRC connection.
Traffic channels are used for the transfer of user plane information only:
- Dedicated Traffic Channel (DTCH): point-to-point channel, dedicated to one UE, for the transfer of user
information. A DTCH can exist in both uplink and downlink.
6.2.3 Mapping to Transport Channels

In Downlink, the following connections between logical channels and transport channels exist:
- BCCH can be mapped to BCH;
- BCCH can be mapped to DL-SCH;
- PCCH can be mapped to PCH;
- CCCH can be mapped to DL-SCH;
- DCCH can be mapped to DL-SCH;
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- DTCH can be mapped to DL-SCH.
In Uplink, the following connections between logical channels and transport channels exist:
- CCCH can be mapped to UL-SCH;
- DCCH can be mapped to UL- SCH;
- DTCH can be mapped to UL-SCH.
6.2.4 HARQ
The HARQ functionality ensures delivery between peer entities at Layer 1. A single HARQ process supports one TB
when the physical layer is not configured for downlink/uplink spatial multiplexing, and when the physical layer is
configured for downlink/uplink spatial multiplexing, a single HARQ process supports one or multiple TBs.
6.3 RLC Sublayer

6.3.1 Transmission Modes
The RLC sublayer supports three transmission modes:
- Transparent Mode (TM);
- Unacknowledged Mode (UM);
- Acknowledged Mode (AM).
The RLC configuration is per logical channel with no dependency on numerologies and/or transmission durations, and
ARQ can operate on any of the numerologies and/or transmission durations the logical channel is configured with.
For SRB0, paging and broadcast system information, TM mode is used. For other SRBs AM mode used. For DRBs,
either UM or AM mode are used.

The main services and functions of the RLC sublayer depend on the transmission mode and include:
- Transfer of upper layer PDUs;
- Sequence numbering independent of the one in PDCP (UM and AM);
- Error Correction through ARQ (AM only);
- Segmentation (AM and UM) and re-segmentation (AM only) of RLC SDUs;
- Reassembly of SDU (AM and UM);
- Duplicate Detection (AM only);
- RLC SDU discard (AM and UM);
- RLC re-establishment;
- Protocol error detection (AM only).
6.3.3 ARQ
The ARQ within the RLC sublayer has the following characteristics:
- ARQ retransmits RLC SDUs or RLC SDU segments based on RLC status reports;
- Polling for RLC status report is used when needed by RLC;
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- RLC receiver can also trigger RLC status report after detecting a missing RLC SDU or RLC SDU segment.
6.4 PDCP Sublayer

The main services and functions of the PDCP sublayer for the user plane include:
- Sequence Numbering;
- Header compression and decompression: ROHC only;
- Transfer of user data;
- Reordering and duplicate detection;
- in-order delivery;
- PDCP PDU routing (in case of split bearers);
- Retransmission of PDCP SDUs;
- Ciphering, deciphering and integrity protection;
- PDCP SDU discard;
- PDCP re-establishment and data recovery for RLC AM;
- PDCP status reporting for RLC AM;
- Duplication of PDCP PDUs (see subclause 16.1.3) and duplicate discard indication to lower layers.
The main services and functions of the PDCP sublayer for the control plane include:
- Sequence Numbering;
- Ciphering, deciphering and integrity protection;
- Transfer of control plane data;
- Reordering and duplicate detection;
- in-order delivery;
- Duplication of PDCP PDUs (see subclause 16.1.3) and duplicate discard indication to lower layers.
Since PDCP does not allow COUNT to wrap around in DL and UL, it is up to the network to prevent it from happening
(e.g. by using a release and add of the corresponding radio bearer or a full configuration).
6.5 SDAP Sublayer

The main services and functions of SDAP include:
- Mapping between a QoS flow and a data radio bearer;
- Marking QoS flow ID (QFI) in both DL and UL packets.
A single protocol entity of SDAP is configured for each individual PDU session.
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6.6 L2 Data Flow

An example of the Layer 2 Data Flow is depicted on Figure 6.6-1, where a transport block is generated by MAC by
concatenating two RLC PDUs from RBx and one RLC PDU from RBy. The two RLC PDUs from RBx each corresponds
to one IP packet (n and n+1) while the RLC PDU from RBy is a segment of an IP packet (m).
NOTE: H depicts the headers and subheaders.
Figure 6.6-1: Data Flow Example
6.7 Carrier Aggregation

In case of CA, the multi-carrier nature of the physical layer is only exposed to the MAC layer for which one HARQ
entity is required per serving cell as depicted on Figures 6.7-1 and 6.7-2 below:
- In both uplink and downlink, there is one independent hybrid-ARQ entity per serving cell and one transport
block is generated per assignment/grant per serving cell in the absence of spatial multiplexing. Each transport
block and its potential HARQ retransmissions are mapped to a single serving cell.
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Figure 6.7-1: Layer 2 Structure for DL with CA configured
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Figure 6.7-2: Layer 2 Structure for UL with CA configured
6.8 Dual Connectivity

When the UE is configured with SCG, the UE is configured with two MAC entities: one MAC entity for the MCG and
one MAC entity for the SCG. Further details of DC operation can be found in 3GPP TS 37.340 [21].
6.9 Supplementary Uplink

In case of Supplementary Uplink (SUL, see 3GPP TS 38.101 [18]), the UE is configured with 2 ULs for one DL of the
same cell, and uplink transmissions on those two ULs are controlled by the network to avoid overlapping
PUSCH/PUCCH transmissions in time. Overlapping transmissions on PUSCH are avoided through scheduling while
overlapping transmissions on PUCCH are avoided through configuration (PUCCH can only be configured for only one
of the 2 ULs of the cell). In addition, initial access is supported in each of the uplink (see subclause 9.2.6). An example
of SUL is given in Annex B.
6.10 Bandwidth Adaptation

With Bandwidth Adaptation (BA), the receive and transmit bandwidth of a UE need not be as large as the bandwidth of
the cell and can be adjusted: the width can be ordered to change (e.g. to shrink during period of low activity to save
power); the location can move in the frequency domain (e.g. to increase scheduling flexibility); and the subcarrier
spacing can be ordered to change (e.g. to allow different services). A subset of the total cell bandwidth of a cell is
referred to as a Bandwidth Part (BWP) and BA is achieved by configuring the UE with BWP(s) and telling the UE
which of the configured BWPs is currently the active one.
Figure 6.10-1 below describes a scenario where 3 different BWPs are configured:
- BWP1 with a width of 40 MHz and subcarrier spacing of 15 kHz;
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- BWP2 with a width of 10 MHz and subcarrier spacing of 15 kHz;
- BWP3 with a width of 20 MHz and subcarrier spacing of 60 kHz.
Figure 6.10-1: BA Example
7 RRC
7.1 Services and Functions

The main services and functions of the RRC sublayer include:
- Broadcast of System Information related to AS and NAS;
- Paging initiated by 5GC or NG-RAN;
- Establishment, maintenance and release of an RRC connection between the UE and NG-RAN including:
- Addition, modification and release of carrier aggregation;
- Addition, modification and release of Dual Connectivity in NR or between E-UTRA and NR.
- Security functions including key management;
- Establishment, configuration, maintenance and release of Signalling Radio Bearers (SRBs) and Data Radio
Bearers (DRBs);
- Mobility functions including:
- Handover and context transfer;
- UE cell selection and reselection and control of cell selection and reselection;
- Inter-RAT mobility.
- QoS management functions;
- UE measurement reporting and control of the reporting;
- Detection of and recovery from radio link failure;
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- NAS message transfer to/from NAS from/to UE.
7.2 Protocol States

RRC supports the following states which can be characterised as follows:
- RRC_IDLE:
- PLMN selection;
- Broadcast of system information;
- Cell re-selection mobility;
- Paging for mobile terminated data is initiated by 5GC;
- Paging for mobile terminated data area is managed by 5GC;
- DRX for CN paging configured by NAS.
- RRC_INACTIVE:
- PLMN selection;
- Broadcast of system information;
- Cell re-selection mobility;
- Paging is initiated by NG-RAN (RAN paging);
- RAN-based notification area (RNA) is managed by NG- RAN;
- DRX for RAN paging configured by NG-RAN;
- 5GC - NG-RAN connection (both C/U-planes) is established for UE;
- The UE AS context is stored in NG-RAN and the UE;
- NG-RAN knows the RNA which the UE belongs to.
- RRC_CONNECTED:
- 5GC - NG-RAN connection (both C/U-planes) is established for UE;
- The UE AS context is stored in NG-RAN and the UE;
- NG-RAN knows the cell which the UE belongs to;
- Transfer of unicast data to/from the UE;
- Network controlled mobility including measurements.
7.3 System Information Handling

7.3.1 Overview
System Information (SI) is divided into Minimum SI and Other SI, where Minimum SI is transmitted over two different
downlink channels using different messages (MIB and SIB1) and Other SI is transmitted in SystemInformation messages
(SIB2 and above):
- MIB contains cell barred status information and essential physical layer information of the cell required to
receive further system information;
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- SIB1 defines the scheduling of other system information blocks and contains information required for initial
access;
- SIB2 contains cell re-selection information, mainly related to the serving cell;
- SIB3 contains information about the serving frequency and intra-frequency neighbouring cells relevant for cell
re-selection (including cell re-selection parameters common for a frequency as well as cell specific re-selection
parameters);
- SIB4 contains information about other NR frequencies and inter-frequency neighbouring cells relevant for cell
re-selection (including cell re-selection parameters common for a frequency as well as cell specific re-selection
parameters);
- SIB5 contains information about E-UTRA frequencies and E-UTRA neighbouring cells relevant for cell re-
selection (including cell re-selection parameters common for a frequency as well as cell specific re-selection
parameters);
- SIB6 contains an ETWS primary notification;
- SIB7 contains an ETWS secondary notification;
- SIB8 contains a CMAS warning notification;
- SIB9 contains information related to GPS time and Coordinated Universal Time (UTC).
The term Remaining Minimum SI (RMSI) is also used to refer to SIB1. Minimum SI is periodically broadcast and
comprises basic information required for initial access and information for acquiring any other SI broadcast periodically
or provisioned on-demand, i.e. scheduling information. The Other SI encompasses everything not broadcast in the
Minimum SI and may be broadcast either triggered by the network or upon request from the UE as illustrated in Figure
7.3-1 below.
UE gNB
Minimum System Information
always present and broadcast periodically
Other System Information
optionally present and broadcast periodically
OnDemand System Information
broadcast
Figure 7.3-1: System Information Provisioning
For a cell/frequency that is considered for camping by the UE, the UE is not required to acquire the contents of the
minimum SI of that cell/frequency from another cell/frequency layer. This does not preclude the case that the UE
applies stored SI from previously visited cell(s).
If the UE cannot determine the full contents of the minimum SI of a cell (by receiving from that cell or from valid
stored SI from previous cells), the UE shall consider that cell as barred.
In case of BA, the UE only acquires SI on the active BWP.
7.3.2 Scheduling
The MIB is mapped on the BCCH and carried on BCH while all other SI messages are mapped on the BCCH, and
carried on DL-SCH, where they are dynamically carried on DL-SCH. The scheduling of SI messages part of Other SI is
indicated by SIB1.
For UEs in RRC_IDLE and RRC_INACTIVE, a request for Other SI triggers a random access procedure (see subclause
9.2.6) where MSG3 includes the SI request message unless the requested SI is associated to a subset of the PRACH
resources, in which case MSG1 is used for indication of the requested Other SI. When MSG1 is used, the minimum
granularity of the request is one SI message (i.e. a set of SIBs), one RACH preamble and/or PRACH resource can be
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used to request multiple SI messages and the gNB acknowledges the request in MSG2. When MSG 3 is used, the gNB
acknowledges the request in MSG4.
The Other SI may be broadcast at a configurable periodicity and for a certain duration. The Other SI may also be
broadcast when it is requested by UE in RRC_IDLE/RRC_INACTIVE.
For a UE to be allowed to camp on a cell it must have acquired the contents of the Minimum SI from that cell. There
may be cells in the system that do not broadcast the Minimum SI and where the UE therefore cannot camp.
7.3.3 SI Modification
Change of system information (other than for ETWS/CMAS, see subclause 16.4) only occurs at specific radio frames,
i.e. the concept of a modification period is used. System information may be transmitted a number of times with the
same content within a modification period, as defined by its scheduling. The modification period is configured by
system information.
When the network changes (some of the) system information, it first notifies the UEs about this change, i.e. this may be
done throughout a modification period. In the next modification period, the network transmits the updated system
information. Upon receiving a change notification, the UE acquires the new system information from the start of the
next modification period. The UE applies the previously acquired system information until the UE acquires the new
system information.
The Short Message transmitted with P-RNTI over DCI (see subclause 6.5 of 3GPP TS 38.331 [12]) on PDCCH is used
to inform UEs in RRC_IDLE, RRC_INACTIVE and in RRC_CONNECTED about a system information change. If the
UE receives a Short Message with system information change indication, it knows that the system information (other
than for ETWS/CMAS) will change at the next modification period boundary.
7.4 Access Control

NG-RAN supports overload and access control functionality such as RACH back off, RRC Connection Reject, RRC
Connection Release and UE based access barring mechanisms.
One unified access control framework as specified in 3GPP TS 22.261 [19] is applied for NR. For each access attempt
one Access Category and one or more Access Identities are selected.
NG-RAN broadcasts barring control information associated with Access Categories and Access Identities and the UE
determines whether an identified access attempt is authorized or not, based on the broadcasted barring information and
the selected Access Category and Access Identities. In the case of multiple core networks sharing the same NG-RAN,
the NG-RAN provides broadcasted barring control information for each PLMN individually.
The unified access control framework is applicable to all UE states (RRC_IDLE, RRC_INACTIVE and
RRC_CONNECTED state).
For NAS triggered requests, the UE NAS determines one access category and access identity(ies) for the given access
attempt and provides them to RRC for access control check. The RRC performs access barring check based on the
access control information and the determined access category and access identities. The RRC indicates whether the
access attempt is allowed or not to NAS layer. The NAS also performs the mapping of the access category and access
identity(ies) associated with the access attempt to establishment cause and provides the establishment cause to RRC for
inclusion in connection request to enable the gNB to decide whether to reject the request.
For AS triggered request (i.e. RNA update), the RRC determines the resume cause value and the corresponding access
category.
7.5 UE Capability Retrieval framework

The UE reports its UE radio access capabilities which are static at least when the network requests. The gNB can
request what capabilities for the UE to report based on band information.
When allowed by the network, a temporary capability restriction request maybe sent by the UE to signal the limited
availability of some capabilities (e.g. due to hardware sharing, interference or overheating) to the gNB. The gNB can
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then confirm or reject the request. The temporary capability restriction should be transparent to 5GC. Namely, only
static capabilities are stored in 5GC.
7.6 Transport of NAS Messages

Void.
Transport of NAS Messages is not complete and is targeted for completion in June 2018.
7.7 Carrier Aggregation

When CA is configured, the UE only has one RRC connection with the network. At RRC connection establishment/re-
establishment/handover, one serving cell provides the NAS mobility information, and at RRC connection re-
establishment/handover, one serving cell provides the security input. This cell is referred to as the Primary Cell (PCell).
Depending on UE capabilities, Secondary Cells (SCells) can be configured to form together with the PCell a set of
serving cells. The configured set of serving cells for a UE therefore always consists of one PCell and one or more
SCells.
The reconfiguration, addition and removal of SCells can be performed by RRC. At intra-NR handover, RRC can also
add, remove, or reconfigure SCells for usage with the target PCell. When adding a new SCell, dedicated RRC signalling
is used for sending all required system information of the SCell i.e. while in connected mode, UEs need not acquire
broadcast system information directly from the SCells.
7.8 Bandwidth Adaptation

To enable BA on the PCell, the gNB configures the UE with UL and DL BWP(s). To enable BA on SCells in case of
CA, the gNB configures the UE with DL BWP(s) at least (i.e. there may be none in the UL). For the PCell, the initial
BWP is the BWP used for initial access. For the SCell(s), the initial BWP is the BWP configured for the UE to first
operate at SCell activation.
In paired spectrum, DL and UL can switch BWP independently. In unpaired spectrum, DL and UL switch BWP
simultaneously. Switching between configured BWPs happens by means of RRC signalling, DCI or inactivity timer.
When an inactivity timer is configured for a serving cell, the expiry of the inactivity timer associated to that cell
switches the active BWP to a default BWP configured by the network. There can be at most one active BWP per cell.
8 NG Identities
8.1 UE Identities
In this subclause, the identities used by NR connected to 5GC are listed. For scheduling at cell level, the following
identities are used:
- C-RNTI: unique UE identification used as an identifier of the RRC Connection and for scheduling;
- CS-RNTI: unique UE identification used for Semi-Persistent Scheduling in the downlink;
- INT-RNTI: identification of pre-emption in the downlink;
- P-RNTI: identification of Paging and System Information change notification in the downlink;
- SI-RNTI: identification of Broadcast and System Information in the downlink;
- SP-CSI-RNTI: unique UE identification used for semi-persistent CSI reporting on PUSCH;
For power and slot format control, the following identities are used:
- SFI-RNTI: identification of slot format;
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- TPC-PUCCH-RNTI: unique UE identification to control the power of PUCCH;
- TPC-PUSCH-RNTI: unique UE identification to control the power of PUSCH;
- TPC-SRS-RNTI: unique UE identification to control the power of SRS;
During the random access procedure, the following identities are also used:
- RA-RNTI: identification of the Random Access Response in the downlink;
- Temporary C-RNTI: UE identification temporarily used for scheduling during the random access procedure;
- Random value for contention resolution: UE identification temporarily used for contention resolution purposes
during the random access procedure.
For NR connected to 5GC, the following UE identities are used at NG-RAN level:
- I-RNTI: used to identify the UE context in RRC_INACTIVE.
8.2 Network Identities

The following identities are used in NG-RAN for identifying a specific network entity:
- AMF Name: used to identify an AMF.
- NR Cell Global Identifier (NCGI): used to identify NR cells globally. The NCGI is constructed from the PLMN
identity the cell belongs to and the NR Cell Identity (NCI) of the cell.
- gNB Identifier (gNB ID): used to identify gNBs within a PLMN. The gNB ID is contained within the NCI of its
cells.
- Global gNB ID: used to identify gNBs globally. The Global gNB ID is constructed from the PLMN identity the
gNB belongs to and the gNB ID. The MCC and MNC are the same as included in the NCGI.
- Tracking Area identity (TAI): used to identify tracking areas. The TAI is constructed from the PLMN identity the
tracking area belongs to and the TAC (Tracking Area Code) of the Tracking Area.
- Single Network Slice Selection Assistance information (S-NSSAI): identifies a network slice.
9 Mobility and State Transitions
9.1 Overview
Load balancing is achieved in NR with handover, redirection mechanisms upon RRC release and through the usage of
inter-frequency and inter-RAT absolute priorities and inter-frequency Qoffset parameters.
Measurements to be performed by a UE for connected mode mobility are classified in at least three measurement types:
- Intra-frequency NR measurements;
- Inter-frequency NR measurements;
- Inter-RAT measurements for E-UTRA.
For each measurement type one or several measurement objects can be defined (a measurement object defines e.g. the
carrier frequency to be monitored).
For each measurement object one or several reporting configurations can be defined (a reporting configuration defines
the reporting criteria). Three reporting criteria are used: event triggered reporting, periodic reporting and event triggered
periodic reporting.
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The association between a measurement object and a reporting configuration is created by a measurement identity (a
measurement identity links together one measurement object and one reporting configuration of the same RAT). By
using several measurement identities (one for each measurement object, reporting configuration pair) it is then possible
to:
- associate several reporting configurations to one measurement object and;
- associate one reporting configuration to several measurement objects.
The measurements identity is as well used when reporting results of the measurements.
Measurement quantities are considered separately for each RAT.
Measurement commands are used by NG-RAN to order the UE to start, modify or stop measurements.
Inter system fallback towards E-UTRAN is performed when 5GC does not support emergency services, voice services,
for load balancing etc. Depending on factors such as CN interface availability, network configuration and radio
conditions, the fallback procedure results in either CONNECTED state mobility (handover procedure) or IDLE state
mobility (redirection) - see 3GPP TS 23.501 [3] and 3GPP TS 38.331 [12].
In the N2 signalling procedure, the AMF based on support for emergency services, voice service, any other services or
for load balancing etc, may indicate the target CN type as EPC or 5GC to the gNB node. When the target CN type is
received by gNB, the target CN type is also conveyed to the UE in RRCRelease Message.
9.2 Intra-NR
9.2.1 Mobility in RRC_IDLE
9.2.1.1 Cell Selection

The principles of PLMN selection in NR are based on the 3GPP PLMN selection principles. Cell selection is required
on transition from RM-DEREGISTERED to RM-REGISTERED, from CM-IDLE to CM-CONNECTED and from CM-
CONNECTED to CM-IDLE and is based on the following principles:
- The UE NAS layer identifies a selected PLMN and equivalent PLMNs;
- Cell selection is always based on CD-SSBs located on the synchronization raster (see subclause 5.2.4):
- The UE searches the NR frequency bands and for each carrier frequency identifies the strongest cell as per
the CD-SSB. It then reads cell system information broadcast to identify its PLMN(s):
- The UE may search each carrier in turn ("initial cell selection") or make use of stored information to
shorten the search ("stored information cell selection").
- The UE seeks to identify a suitable cell; if it is not able to identify a suitable cell it seeks to identify an
acceptable cell. When a suitable cell is found or if only an acceptable cell is found it camps on that cell and
commence the cell reselection procedure:
- A suitable cell is one for which the measured cell attributes satisfy the cell selection criteria; the cell PLMN
is the selected PLMN, registered or an equivalent PLMN; the cell is not barred or reserved and the cell is not
part of a tracking area which is in the list of "forbidden tracking areas for roaming";
- An acceptable cell is one for which the measured cell attributes satisfy the cell selection criteria and the cell
is not barred.
Transition to RRC_IDLE:
On transition from RRC_CONNECTED to RRC_IDLE, a UE should camp on the last cell for which it was in
RRC_CONNECTED or a cell/any cell of set of cells or frequency be assigned by RRC in the state transition
message.
Recovery from out of coverage:
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The UE should attempt to find a suitable cell in the manner described for stored information or initial cell
selection above. If no suitable cell is found on any frequency or RAT, the UE should attempt to find an
acceptable cell.
In multi-beam operations, the cell quality is derived amongst the beams corresponding to the same cell (see subclause
9.2.4).
9.2.1.2 Cell Reselection

A UE in RRC_IDLE performs cell reselection. The principles of the procedure are the following:
- Cell reselection is always based on CD-SSBs located on the synchronization raster (see subclause 5.2.4).
- The UE makes measurements of attributes of the serving and neighbour cells to enable the reselection process:
- For the search and measurement of inter-frequency neighbouring cells, only the carrier frequencies need to be
indicated.
- Cell reselection identifies the cell that the UE should camp on. It is based on cell reselection criteria which
involves measurements of the serving and neighbour cells:
- Intra-frequency reselection is based on ranking of cells;
- Inter-frequency reselection is based on absolute priorities where a UE tries to camp on the highest priority
frequency available;
- An NCL can be provided by the serving cell to handle specific cases for intra- and inter-frequency
neighbouring cells;
- Black lists can be provided to prevent the UE from reselecting to specific intra- and inter-frequency
neighbouring cells;
- Cell reselection can be speed dependent;
- Service specific prioritisation.
In multi-beam operations, the cell quality is derived amongst the beams corresponding to the same cell (see subclause
9.2.4).
9.2.1.3 State Transitions

The following figure describes the UE triggered transition from RRC_IDLE to RRC_CONNECTED (for the NAS part,
see 3GPP TS 23.502 [22]):
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UE gNB AMF
UE in RRC_IDLE
CM-IDLE
1. RRCSetupRequest
2. RRCSetup
UE in RRC_CONNECTED
CM-IDLE
2a. RRCSetupComplete
3. INITIAL UE MESSAGE
UE in RRC_CONNECTED
CM-CONNECTED
4. DOWNLINK NAS TRANSPORT
4a. DLInformationTransfer
5. ULInformationTransfer
5a. UPLINK NAS TRANSPORT
6. INITIAL CONTEXT SETUP REQUEST
7. SecurityModeCommand
7a. SecurityModeComplete
8. RRCReconfiguration
8a. RRCReconfigurationComplete
9. INITIAL CONTEXT SETUP RESPONSE
Figure 9.2.1.3-1: UE triggered transition from RRC_IDLE to RRC_CONNECTED
1. The UE requests to setup a new connection from RRC_IDLE.
2/2a. The gNB completes the RRC setup procedure.
NOTE: The scenario where the gNB rejects the request is described below.
3. The first NAS message from the UE, piggybacked in RRCSetupComplete, is sent to AMF.
4/4a/5/5a. Additional NAS messages may be exchanged between UE and AMF [22].
6. The AMF prepares the UE context data (including PDU session context, the Security Key, UE Radio Capability
and UE Security Capabilities, etc.) and sends it to the gNB.
7/7a. The gNB activates the AS security with the UE.
8/8a. The gNB performs the reconfiguration to setup SRB2 and DRBs.
9. The gNB informs the AFM that the setup procedure is completed.
NOTE: RRC messages in step 1 and 2 use SRB0, all the subsequent messages use SRB1. Messages in step 6 are
integrity protected. From step 7 on, all the messages are integrity protected and ciphered.
The following figure describes the rejection from the network when the UE attempts to setup a connection from
RRC_IDLE:
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UE gNB
UE in RRC_IDLE
CM-IDLE
1. RRCSetupRequest
2. Procedure cannot be handled

(e.g. congestion)
3. RRCReject (wait time)
Figure 9.2.1.3-2: Rejection of UE triggered transition from RRC_IDLE
1. UE attempts to setup a new connection from RRC_IDLE.
2. The gNB is not able to handle the procedure, for instance due to congestion.
3. The gNB sends RRCReject (with a wait time) to keep the UE in RRC_IDLE.
9.2.2 Mobility in RRC_INACTIVE
9.2.2.1 Overview
RRC_INACTIVE is a state where a UE remains in CM-CONNECTED and can move within an area configured by NG-
RAN (the RNA) without notifying NG-RAN. In RRC_INACTIVE, the last serving gNB node keeps the UE context and
the UE-associated NG connection with the serving AMF and UPF.
If the last serving gNB receives DL data from the UPF or DL UE-associated signalling from the AMF (except the UE
Context Release Command message) while the UE is in RRC_INACTIVE, it pages in the cells corresponding to the
RNA and may send XnAP RAN Paging to neighbour gNB(s) if the RNA includes cells of neighbour gNB(s).
Upon receiving the UE Context Release Command message while the UE is in RRC_INACTIVE, the last serving gNB
may page in the cells corresponding to the RNA and may send XnAP RAN Paging to neighbour gNB(s) if the RNA
includes cells of neighbour gNB(s), in order to release UE explicitly.
Upon RAN paging failure, the gNB behaves according to 3GPP TS 23.501 [3].
The AMF provides to the NG-RAN node the RRC Inactive Assistance Information to assist the NG-RAN node's
decision whether the UE can be sent to RRC_INACTIVE. The RRC Inactive Assistance Information includes the
registration area configured for the UE, the UE specific DRX, Periodic Registration Update timer, an indication if the
UE is configured with Mobile Initiated Connection Only (MICO) mode by the AMF, and UE Identity Index value. The
UE registration area is taken into account by the NG-RAN node when configuring the RNA. The UE specific DRX and
UE Identity Index value are used by the NG-RAN node for RAN paging. The Periodic Registration Update timer is
taken into account by the NG-RAN node to configure Periodic RNA Update timer.
At transition to RRC_INACTIVE the NG-RAN node may configure the UE with a periodic RNA Update timer value.
At periodic RNA Update timer expiry without notification from the UE, the gNB behaves as specified in 3GPP TS
23.501 [3].
If the UE accesses a gNB other than the last serving gNB, the receiving gNB triggers the XnAP Retrieve UE Context
procedure to get the UE context from the last serving gNB and may also trigger a Data Forwarding procedure including
tunnel information for potential recovery of data from the last serving gNB. Upon successful UE context retrieval, the
receiving gNB shall perform the slice-aware admission control in case of receiving slice information and becomes the
serving gNB and it further triggers the NGAP Path Switch Request and RRC procedures properly. After the path switch
procedure, the serving gNB triggers release of the UE context at the last serving gNB by means of the XnAP UE
Context Release procedure.
In case the UE is not reachable at the last serving gNB, the gNB shall fail AMF initiated UE-associated class 1
procedures if any, and shall trigger the NAS Non Delivery Indication procedure to report the non-delivery of any NAS
PDU received from the AMF for the UE.
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If the UE accesses a gNB other than the last serving gNB and the receiving gNB does not find a valid UE Context, the
receiving gNB can perform establishment of a new RRC connection instead of resumption of the previous RRC
connection.
A UE in the RRC_INACTIVE state is required to initiate RNA update procedure when it moves out of the configured
RNA. When receiving RNA update request from the UE, the receiving gNB triggers the XnAP Retrieve UE Context
procedure to get the UE context from the last serving gNB and may decide to send the UE back to RRC_INACTIVE
state, move the UE into RRC_CONNECTED state, or send the UE to RRC_IDLE.

A UE in RRC_INACTIVE performs cell reselection. The principles of the procedure are as for the RRC_IDLE state
(see subclause 9.2.1.2).
9.2.2.3 RAN-Based Notification Area

A UE in the RRC_INACTIVE state can be configured by the last serving NG-RAN node with an RNA, where:
- the RNA can cover a single or multiple cells, and shall be contained within the CN registration area; in this
release Xn connectivity should be available within the RNA;
- a RAN-based notification area update (RNAU) is periodically sent by the UE and is also sent when the cell
reselection procedure of the UE selects a cell that does not belong to the configured RNA.
There are several different alternatives on how the RNA can be configured:
- List of cells:
- A UE is provided an explicit list of cells (one or more) that constitute the RNA.
- List of RAN areas:
- A UE is provided (at least one) RAN area ID, where a RAN area is a subset of a CN Tracking Area or equal
to a CN Tracking Area. A RAN area is specified by one RAN area ID, which consists of a TAI and optionally
a RAN area Code;
- A cell broadcasts one or more RAN area IDs in the system information.
NG-RAN may provide different RNA definitions to different UEs but not mix different definitions to the same UE at
the same time. UE shall support all RNA configuration options listed above.
9.2.2.4 State Transitions
9.2.2.4.1 UE triggered transition from RRC_INACTIVE to RRC_CONNECTED

The following figure describes the UE triggered transition from RRC_INACTIVE to RRC_CONNECTED in case of
UE context retrieval success:
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UE gNB Last Serving gNB AMF
UE in RRC_INACTIVE
CM-CONNECTED
1. RRCResumeRequest
2. RETRIEVE UE CONTEXT REQUEST
3. RETRIEVE UE CONTEXT RESPONSE
4. RRCResume
UE in RRC_CONNECTED
CM-CONNECTED
5. RRCResumeComplete
6. DATA FORWARDING ADDRESS INDICATION
7. PATH SWITCH REQUEST
8. PATH SWITCH REQUEST RESPONSE
9. UE CONTEXT RELEASE
Figure 9.2.2.4.1-1: UE triggered transition from RRC_INACTIVE to RRC_CONNECTED

(UE context retrieval success)
1. The UE resumes from RRC_INACTIVE, providing the I-RNTI, allocated by the last serving gNB.
2. The gNB, if able to resolve the gNB identity contained in the I-RNTI, requests the last serving gNB to provide
UE Context data.
3. The last serving gNB provides UE context data.
4/5. The gNB and UE completes the resumption of the RRC connection.
NOTE: User Data can also be sent in step 5 if the grant allows.
6. If loss of DL user data buffered in the last serving gNB shall be prevented, the gNB provides forwarding
addresses.
7/8. The gNB performs path switch.
9. The gNB triggers the release of the UE resources at the last serving gNB.
After step 1 above, when the gNB decides to reject the Resume Request and keep the UE in RRC_INACTIVE without
any reconfiguration (e.g. as described in the two examples below), or when the gNB decides to setup a new RRC
connection, SRB0 (without security) can be used. When the gNB decides to reconfigure the UE (e.g. with a new DRX
cycle or RNA) or when the gNB decides to push the UE to RRC_IDLE, SRB1 (with at least integrity protection) shall
be used.
NOTE: SRB1 can only be used once the UE Context is retrieved i.e. after step 3.
The following figure describes the UE triggered transition from RRC_INACTIVE to RRC_CONNECTED in case of
UE context retrieval failure:
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UE in RRC_INACTIVE
CM-CONNECTED
1. RRCResumeRequest
3. Failure to retrieve or verify UE context
4. RETRIEVE UE CONTEXT FAILURE
5. RRCSetup
6. Setup New RRC Connection
Figure 9.2.2.4.1-2: UE triggered transition from RRC_INACTIVE to RRC_CONNECTED

(UE context retrieval failure)
1. The UE resumes from RRC_INACTIVE, providing the I-RNTI, allocated by the last serving gNB.
UE Context data.
3. The last serving gNB cannot retrieve or verify the UE context data.
4. The last serving gNB indicates the failure to the gNB.
5. The gNB performs a fallback to establish a new RRC connection by sending RRCSetup.
6. A new connection is setup as described in sub-clause 9.2.1.3.1.
The following figure describes the rejection form the network when the UE attempts to resume a connection from
RRC_INACTIVE:
UE gNB
UE in RRC_INACTIVE
CM-CONNECTED
1. RRCResumeRequest
2. Procedure cannot be handled

(e.g. congestion)
3. RRCReject (wait time)
Figure 9.2.2,4.1-3: Reject from the network, UE attempts to resume a connection
1. UE attempts to resume the connection from RRC_INACTIVE.
2. The gNB is not able to handle the procedure, for instance due to congestion.
3. The gNB sends RRCReject (with a wait time) to keep the UE in RRC_INACTIVE.
9.2.2.4.2 Network triggered transition from RRC_INACTIVE to RRC_CONNECTED

The following figure describes the network triggered transition from RRC_INACTIVE to RRC_CONNECTED:
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UE Last Serving gNB gNB AMF
UE in RRC_INACTIVE
CM-CONNECTED
1. RAN Paging Trigger
2. RAN Paging
3. Paging UE
4. Resuming from RRC_INACTIVE
Figure 9.2.2.4.2-1: Network triggered transition from RRC_INACTIVE to RRC_CONNECTED
1. A RAN paging trigger event occurs (incoming DL user plane, DL signalling from 5GC, etc.).
2. RAN paging is triggered; either only in the cells controlled by the last serving gNB or also by means of Xn RAN
Paging in cells controlled by other gNBs, configured to the UE in the RAN-based Notification Area (RNA).
3. The UE is paged with the I-RNTI.
4. If the UE has been successfully reached, it attempts to resume from RRC_INACTIVE, as described in sub-
clause 9.2.2.4.1.
9.2.2.5 RNA update

The following figure describes the UE triggered RNA update procedure involving context retrieval over Xn. The
procedure may be triggered when the UE moves out of the configured RNA, or at the expiry of a periodic RNA Update
timer.
UE in RRC_INACTIVE
CM-CONNECTED
1. RRCResumeRequest
RNA Update
4. Send UE to INACTIVE
8. RRCRelease
Suspend Indication
Figure 9.2.2.5-1: RNA update procedure with UE context relocation
1. The UE resumes from RRC_INACTIVE, providing the I-RNTI allocated by the last serving gNB and
appropriate cause value, e.g., RAN notification area update.
UE Context, providing the cause value received in step 1.
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3. The last serving gNB provides UE context.
4. The gNB may move the UE to RRC_CONNECTED (and the procedure follows step 4 of Figure 9.2.2.4.1-1), or
send the UE back to RRC_IDLE (in which case an RRCRelease message is sent by the gNB and the procedure
ends), or send the UE back to RRC_INACTIVE as assumed in the following.
addresses.
6./7. The gNB performs path switch.
8. The gNB moves the UE back to RRC_INACTIVE state by sending RRCRelease with suspend indication.
The following figure describes the periodic RNA update procedure for the case when the last serving gNB decides not
to relocate the UE context:
UE gNB Last Serving gNB
UE in RRC_INACTIVE
CM-CONNECTED
1. RRCConnectionResumeRequest
RNA Update
RNA Update
3. RETRIEVE UE CONTEXT FAILURE
4. RRCRelease
Suspend Indication
Figure 9.2.2.5-2: Periodic RNA update procedure without UE context relocation
1. The UE resumes from RRC_INACTIVE, providing the I-RNTI allocated by the last serving gNB and
appropriate cause value, e.g., RAN notification area update.
UE Context, providing the cause value received in step 1.
3. The last serving gNB responds to the gNB with the RETRIEVE UE CONTEXT FAILURE message including an
encapsulated RRC Connection Release message. The RRC message includes suspend configuration, if the last
serving gNB decides to keep the UE in RRC_INACTIVE.
4. The gNB forwards the RRC Connection Release message to the UE.
9.2.3 Mobility in RRC_CONNECTED
9.2.3.1 Overview
Network controlled mobility applies to UEs in RRC_CONNECTED and is categorized into two types of mobility: cell
level mobility and beam level mobility.
Cell Level Mobility requires explicit RRC signalling to be triggered, i.e. handover. For inter-gNB handover, the
signalling procedures consist of at least the following elemental components illustrated in Figure 9.2.3.1-1:
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UE Source gNB Target gNB
1. HANDOVER REQUEST
Admission Control
2. HANDOVER REQUEST ACKNOWLEDGE
Switch to New Cell
4. RRCReconfigurationComplete
Figure 9.2.3.1-1: Inter-gNB handover procedures
1. The source gNB initiates handover and issues a Handover Request over the Xn interface.
2. The target gNB performs admission control and provides the RRC configuration as part of the Handover
Acknowledgement.
3. The source gNB provides the RRC configuration to the UE in the Handover Command. The Handover
Command message includes at least cell ID and all information required to access the target cell so that the UE
can access the target cell without reading system information. For some cases, the information required for
contention-based and contention-free random access can be included in the Handover Command message. The
access information to the target cell may include beam specific information, if any.
4. The UE moves the RRC connection to the target gNB and replies the Handover Complete.
NOTE: User Data can also be sent in step 4 if the grant allows.
The handover mechanism triggered by RRC requires the UE at least to reset the MAC entity and re-establish RLC.
RRC managed handovers with and without PDCP entity re-establishment are both supported. For DRBs using RLC AM
mode, PDCP can either be re-established together with a security key change or initiate a data recovery procedure
without a key change. For DRBs using RLC UM mode and for SRBs, PDCP can either be re-established together with a
security key change or remain as it is without a key change.
Data forwarding, in-sequence delivery and duplication avoidance at handover can be guaranteed when the target gNB
uses the same DRB configuration as the source gNB.
Timer based handover failure procedure is supported in NR. RRC connection re-establishment procedure is used for
recovering from handover failure.
Beam Level Mobility does not require explicit RRC signalling to be triggered. The gNB provides via RRC signalling
the UE with measurement configuration containing configurations of SSB/CSI resources and resource sets, reports and
trigger states for triggering channel and interference measurements and reports. Beam Level Mobility is then dealt with
at lower layers by means of physical layer and MAC layer control signalling, and RRC is not required to know which
beam is being used at a given point in time.
9.2.3.2 Handover
9.2.3.2.1 C-Plane Handling

The intra-NR RAN handover performs the preparation and execution phase of the handover procedure performed
without involvement of the 5GC, i.e. preparation messages are directly exchanged between the gNBs. The release of the
resources at the source gNB during the handover completion phase is triggered by the target gNB. The figure below
depicts the basic handover scenario where neither the AMF nor the UPF changes:
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UE Source gNB Target gNB AMF UPF(s)
User Data User Data
0.Mobility control information provided by AMF
1.Measurement Control and Reports
2. Handover Decision
3. HANDOVER REQUEST
4. Admission Control
5. HANDOVER REQUEST
ACKNOWLEDGE
6. RAN Handover Initiation
7. SN STATUS TRANSFER
Detach from old cell
Synchronise to new cell
Deliver buffered data

and new data from UPF(s)
User Data
Buffer User Data

from Source gNB
8. RAN Handover Completion
User Data User Data
10. Path Switch in UPF(s)
End Marker
User Data
ACKNOWLEDGE
Figure 9.2.3.2.1-1: Intra-AMF/UPF Handover
0. The UE context within the source gNB contains information regarding roaming and access restrictions which
were provided either at connection establishment or at the last TA update.
1. The source gNB configures the UE measurement procedures and the UE reports according to the measurement
configuration.
2. The source gNB decides to handover the UE, based on MeasurementReport and RRM information.
3. The source gNB issues a Handover Request message to the target gNB passing a transparent RRC container with
necessary information to prepare the handover at the target side. The information includes at least the target cell
ID, KgNB*, the C-RNTI of the UE in the source gNB, RRM-configuration including UE inactive time, basic
AS-configuration including antenna Info and DL Carrier Frequency, the current QoS flow to DRB mapping
rules applied to the UE, the minimum system information from source gNB, the UE capabilities for different
RATs, PDU session related information, and can include the UE reported measurement information including
beam-related information if available. The PDU session related information includes the slice information (if
supported) and QoS flow level QoS profile(s).
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4. Admission Control may be performed by the target gNB. Slice-aware admission control shall be performed if the
slice information is sent to the target gNB. If the PDU sessions are associated with non-supported slices the
target gNB shall reject such PDU Sessions.
5. The target gNB prepares the handover with L1/L2 and sends the HANDOVER REQUEST ACKNOWLEDGE to
the source gNB, which includes a transparent container to be sent to the UE as an RRC message to perform the
handover.
6. The source gNB triggers the Uu handover by sending an RRCReconfiguration message to the UE, containing the
information required to access the target cell: at least the target cell ID, the new C-RNTI, the target gNB security
algorithm identifiers for the selected security algorithms. It can also include a set of dedicated RACH resources,
the association between RACH resources and SSB(s), the association between RACH resources and UE-specific
CSI-RS configuration(s), common RACH resources, and target cell SIBs, etc.
7. The source gNB sends the SN STATUS TRANSFER message to the target gNB.
8. The UE synchronises to the target cell and completes the RRC handover procedure by sending
RRCReconfigurationComplete message to target gNB.
9. The target gNB sends a PATH SWITCH REQUEST message to AMF to trigger 5GC to switch the DL data path
towards the target gNB and to establish an NG-C interface instance towards the target gNB.
10. 5GC switches the DL data path towards the target gNB. The UPF sends one or more "end marker" packets on the
old path to the source gNB per PDU session/tunnel and then can release any U-plane/TNL resources towards the
source gNB.
11. The AMF confirms the PATH SWITCH REQUEST message with the PATH SWITCH REQUEST
ACKNOWLEDGE message.
12. Upon reception of the PATH SWITCH REQUEST ACKNOWLEDGE message from the AMF, the target gNB
sends the UE CONTEXT RELEASE to inform the source gNB about the success of the handover. The source
gNB can then release radio and C-plane related resources associated to the UE context. Any ongoing data
forwarding may continue.
The RRM configuration can include both beam measurement information (for layer 3 mobility) associated to SSB(s)
and CSI-RS(s) for the reported cell(s) if both types of measurements are available. Also, if CA is configured, the RRM
configuration can include the list of best cells on each frequency for which measurement information is available. And
the RRM measurement information can also include the beam measurement for the listed cells that belong to the target
gNB.
The common RACH configuration for beams in the target cell is only associated to the SSB(s). The network can have
dedicated RACH configurations associated to the SSB(s) and/or have dedicated RACH configurations associated to
CSI-RS(s) within a cell. The target gNB can only include one of the following RACH configurations in the Handover
Command to enable the UE to access the target cell:
i) Common RACH configuration;
ii) Common RACH configuration + Dedicated RACH configuration associated with SSB;
iii) Common RACH configuration + Dedicated RACH configuration associated with CSI-RS.
The dedicated RACH configuration allocates RACH resource(s) together with a quality threshold to use them. When
dedicated RACH resources are provided, they are prioritized by the UE and the UE shall not switch to contention-based
RACH resources as long as the quality threshold of those dedicated resources is met. The order to access the dedicated
RACH resources is up to UE implementation.
9.2.3.2.2 U-Plane Handling

The U-plane handling during the Intra-NR-Access mobility activity for UEs in RRC_CONNECTED takes the following
principles into account to avoid data loss during HO:
- During HO preparation U-plane tunnels can be established between the source gNB and the target gNB;
- During HO execution, user data can be forwarded from the source gNB to the target gNB.
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- Forwarding should take place in order as long as packets are received at the source gNB from the UPF or the
source gNB buffer has not been emptied.
- During HO completion:
- The target gNB sends a path switch request message to the AMF to inform that the UE has gained access and
the AMF then triggers path switch related 5GC internal signalling and actual path switch of the source gNB
to the target gNB in UPF;
- The source gNB should continue forwarding data as long as packets are received at the source gNB from the
UPF or the source gNB buffer has not been emptied.
For RLC-AM bearers:
- For in-sequence delivery and duplication avoidance, PDCP SN is maintained on a per DRB basis and the source
gNB informs the target gNB about the next DL PDCP SN to allocate to a packet which does not have a PDCP
sequence number yet (either from source gNB or from the UPF).
- For security synchronisation, HFN is also maintained and the source gNB provides to the target one reference
HFN for the UL and one for the DL i.e. HFN and corresponding SN.
- In both the UE and the target gNB, a window-based mechanism is used for duplication detection and reordering.
- The occurrence of duplicates over the air interface in the target gNB is minimised by means of PDCP SN based
reporting at the target gNB by the UE. In uplink, the reporting is optionally configured on a per DRB basis by
the gNB and the UE should first start by transmitting those reports when granted resources are in the target gNB.
In downlink, the gNB is free to decide when and for which bearers a report is sent and the UE does not wait for
the report to resume uplink transmission.
- The target gNB re-transmits and prioritizes all downlink data forwarded by the source gNB (i.e. the target gNB
should first send all forwarded PDCP SDUs with PDCP SNs, then all forwarded downlink SDAP SDUs before
sending new data from 5GC), excluding PDCP SDUs for which the reception was acknowledged through PDCP
SN based reporting by the UE.
NOTE: Lossless delivery when a QoS flow is mapped to a different DRB at handover, requires the old DRB to be
configured in the target cell. For in-order delivery in the DL, the target gNB should first transmit the
forwarded PDCP SDUs on the old DRB before transmitting new data from 5GCN on the new DRB. In
the UL, the target gNB should not deliver data of the QoS flow from the new DRB to 5GCN before
receiving the end marker on the old DRB from the UE.
- The UE re-transmits in the target gNB all uplink PDCP SDUs starting from the oldest PDCP SDU that has not
been acknowledged at RLC in the source, excluding PDCP SDUs for which the reception was acknowledged
through PDCP SN based reporting by the target.
For RLC-UM bearers:
- The PDCP SN and HFN are reset in the target gNB;
- No PDCP SDUs are retransmitted in the target gNB;
- The target gNB prioritises all downlink SDAP SDUs forwarded by the source gNB over the data from the core
network;
NOTE: To minimise losses when a QoS flow is mapped to a different DRB at handover, the old DRB needs to be
configured in the target cell. For in-order delivery in the DL, the target gNB should first transmit the
forwarded PDCP SDUs on the old DRB before transmitting new data from 5GCN on the new DRB. In
the UL, the target gNB should not deliver data of the QoS flow from the new DRB to 5GCN before
receiving the end marker on the old DRB from the UE.
- The UE does not retransmit any PDCP SDU in the target cell for which transmission had been completed in the
source cell.
9.2.3.2.3 Data Forwarding

The following description depicts the data forwarding principles for intra-system handover.
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The source NG-RAN node may suggest downlink data forwarding per QoS flow established for a PDU session and may
provide information how it maps QoS flows to DRBs. The target NG-RAN node decides data forwarding per QoS flow
established for a PDU Session.
If "lossless handover" is required and the target NG-RAN node applies the same QoS flows to DRB mapping for a DRB
and if all QoS flows mapped to that DRB are accepted for data forwarding, the target NG-RAN node establishes a
downlink forwarding tunnel for that DRB.
For a DRB for which preservation of SN status applies, the target NG-RAN node may decide to establish an UL data
forwarding tunnel.
The target NG-RAN node may also decide to establish a downlink forwarding tunnel for each PDU session. In this case
the target NG-RAN node provides information for which QoS flows data forwarding has been accepted and
corresponding UP TNL information for data forwarding tunnels to be established between the source NG-RAN node
and the target NG-RAN node.
As long as data forwarding of DL user data packets takes place, the source NG-RAN node shall forward user data in the
same forwarding tunnel, i.e.
- for any QoS flow accepted for data forwarding by the target NG-RAN node and for which a DRB DL forwarding
tunnel was established for a DRB to which this QoS flow was mapped at the source NG-RAN node, any fresh
packets of this QoS flow shall be forwarded as PDCP SDUs via the mapped DRB DL forwarding tunnel.
- for DRBs for which preservation of SN status applies, the source NG-RAN node may forward in order to the
target NG-RAN node via the DRB DL forwarding tunnel all downlink PDCP SDUs with their SN corresponding
to PDCP PDUs which have not been acknowledged by the UE.
- for DRBs for which preservation of SN status applies the source NG-RAN node either:
- discards the uplink PDCP PDUs received out of sequence if the source NG-RAN node has not accepted the
request from the target NG-RAN node for uplink forwarding or if the target NG-RAN node has not requested
uplink forwarding for the bearer during the Handover Preparation procedure; or
- forwards to the target NG-RAN node the uplink PDCP PDUs received out of sequence if the source NG-
RAN node has accepted the request from the target NG-RAN node for uplink forwarding for the bearer
during the Handover Preparation procedure.
Handling of end marker packets:
- The source NG-RAN node receives one or several GTP-U end marker packets per PDU session from the UPF
and replicates the end marker packets into each data forwarding tunnel when no more user data packets are to be
forwarded over that tunnel.
- End marker packets sent via a data forwarding tunnel are applicable to all QoS flows forwarded via that tunnel.
After end marker packets have been received over a forwarding tunnel, the target NG-RAN node can start taking
into account the packets of QoS flows associated with that forwarding tunnel received at the target NG-RAN
node from the NG-U PDU session tunnel.
9.2.3.3 Re-establishment procedure

A UE in RRC_CONNECTED may initiate the re-establishment procedure to continue the RRC connection when a
failure condition occurs (e.g. radio link failure, reconfiguration failure, integrity check failure…).
The following figure describes the re-establishment procedure started by the UE:
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UE in RRC_CONNECTED
CM-CONNECTED
1. RRCReestablishmentRequest
4. RRCReestablishment
4a. RRCReestablishmentComplete
5a. RRCReconfigurationComplete
Figure 9.2.3.3-1: Re-establishment procedure
1. The UE re-establishes the connection, providing the UE Identity (PCI+C-RNTI) to the gNB where the trigger for
the re-establishment occurred.
2. If the UE Context is not locally available, the gNB, requests the last serving gNB to provide UE Context data.
3. The last serving gNB provides UE context data.
4/4a. The gNB continues the re-establishment of the RRC connection. The message is sent on SRB1.
5/5a. The gNB may perform the reconfiguration to re-establish SRB2 and DRBs when the re-establishment
procedure is ongoing.
addresses.
7/8. The gNB performs path switch.
9.2.4 Measurements
In RRC_CONNECTED, the UE measures multiple beams (at least one) of a cell and the measurements results (power
values) are averaged to derive the cell quality. In doing so, the UE is configured to consider a subset of the detected
beams. Filtering takes place at two different levels: at the physical layer to derive beam quality and then at RRC level to
derive cell quality from multiple beams. Cell quality from beam measurements is derived in the same way for the
serving cell(s) and for the non-serving cell(s). Measurement reports may contain the measurement results of the X best
beams if the UE is configured to do so by the gNB.
The corresponding high-level measurement model is described below:
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Figure 9.2.4-1: Measurement Model
NOTE: K beams correspond to the measurements on SSB or CSI-RS resources configured for L3 mobility by
gNB and detected by UE at L1.
- A: measurements (beam specific samples) internal to the physical layer.
- Layer 1 filtering: internal layer 1 filtering of the inputs measured at point A. Exact filtering is implementation
dependent. How the measurements are actually executed in the physical layer by an implementation (inputs A
and Layer 1 filtering) in not constrained by the standard.
- A1: measurements (i.e. beam specific measurements) reported by layer 1 to layer 3 after layer 1 filtering.
- Beam Consolidation/Selection: beam specific measurements are consolidated to derive cell quality. The
behaviour of the Beam consolidation/selection is standardised and the configuration of this module is provided
by RRC signalling. Reporting period at B equals one measurement period at A1.
- B: a measurement (i.e. cell quality) derived from beam-specific measurements reported to layer 3 after beam
consolidation/selection.
- Layer 3 filtering for cell quality: filtering performed on the measurements provided at point B. The behaviour
of the Layer 3 filters is standardised and the configuration of the layer 3 filters is provided by RRC signalling.
Filtering reporting period at C equals one measurement period at B.
- C: a measurement after processing in the layer 3 filter. The reporting rate is identical to the reporting rate at point
B. This measurement is used as input for one or more evaluation of reporting criteria.
- Evaluation of reporting criteria: checks whether actual measurement reporting is necessary at point D. The
evaluation can be based on more than one flow of measurements at reference point C e.g. to compare between
different measurements. This is illustrated by input C and C1. The UE shall evaluate the reporting criteria at least
every time a new measurement result is reported at point C, C1. The reporting criteria are standardised and the
configuration is provided by RRC signalling (UE measurements).
- D: measurement report information (message) sent on the radio interface.
- L3 Beam filtering: filtering performed on the measurements (i.e. beam specific measurements) provided at
point A1. The behaviour of the beam filters is standardised and the configuration of the beam filters is provided
by RRC signalling. Filtering reporting period at E equals one measurement period at A1.
- E: a measurement (i.e. beam-specific measurement) after processing in the beam filter. The reporting rate is
identical to the reporting rate at point A1. This measurement is used as input for selecting the X measurements to
be reported.
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- Beam Selection for beam reporting: selects the X measurements from the measurements provided at point E.
The behaviour of the beam selection is standardised and the configuration of this module is provided by RRC
signalling.
- F: beam measurement information included in measurement report (sent) on the radio interface.
Layer 1 filtering introduces a certain level of measurement averaging. How and when the UE exactly performs the
required measurements is implementation specific to the point that the output at B fulfils the performance requirements
set in 3GPP TS 38.133 [13]. Layer 3 filtering for cell quality and related parameters used are specified in 3GPP TS
38.331 [12] and do not introduce any delay in the sample availability between B and C. Measurement at point C, C 1 is
the input used in the event evaluation. L3 Beam filtering and related parameters used are specified in 3GPP TS 38.331
[12] and do not introduce any delay in the sample availability between E and F.
Measurement reports are characterized by the following:
- Measurement reports include the measurement identity of the associated measurement configuration that
triggered the reporting;
- Cell and beam measurement quantities to be included in measurement reports are configured by the network;
- The number of non-serving cells to be reported can be limited through configuration by the network;
- Cells belonging to a blacklist configured by the network are not used in event evaluation and reporting, and
conversely when a whitelist is configured by the network, only the cells belonging to the whitelist are used in
event evaluation and reporting;
- Beam measurements to be included in measurement reports are configured by the network (beam identifier only,
measurement result and beam identifier, or no beam reporting).
Intra-frequency neighbour (cell) measurements and inter-frequency neighbour (cell) measurements are defined as
follows:
- SSB based intra-frequency measurement: a measurement is defined as an SSB based intra-frequency

measurement provided the center frequency of the SSB of the serving cell and the center frequency of the SSB of
the neighbour cell are the same, and the subcarrier spacing of the two SSBs is also the same.
- SSB based inter-frequency measurement: a measurement is defined as an SSB based inter-frequency

measurement provided the center frequency of the SSB of the serving cell and the center frequency of the SSB of
the neighbour cell are different, or the subcarrier spacing of the two SSBs is different.
NOTE: for SSB based measurements, one measurement object corresponds to one SSB and the UE considers
different SSBs as different cells.
- CSI-RS based intra-frequency measurement: a measurement is defined as a CSI-RS based intra-frequency

measurement provided the bandwidth of the CSI-RS resource on the neighbour cell configured for measurement
is within the bandwidth of the CSI-RS resource on the serving cell configured for measurement, and the
subcarrier spacing of the two CSI-RS resources is the same.
- CSI-RS based inter-frequency measurement: a measurement is defined as a CSI-RS based inter-frequency

measurement provided the bandwidth of the CSI-RS resource on the neighbour cell configured for measurement
is not within the bandwidth of the CSI-RS resource on the serving cell configured for measurement, or the
subcarrier spacing of the two CSI-RS resources is different.
Whether a measurement is non-gap-assisted or gap-assisted depends on the capability of the UE, the active BWP of the
UE and the current operating frequency. In non-gap-assisted scenarios, the UE shall be able to carry out such
measurements without measurement gaps. In gap-assisted scenarios, the UE cannot be assumed to be able to carry out
such measurements without measurement gaps.
9.2.5 Paging
Paging allows the network to reach UEs in RRC_IDLE and in RRC_INACTIVE state, and to notify UEs in
RRC_IDLE, RRC_INACTIVE and RRC_CONNECTED state of system information change (see subclause 7.3.3) and
ETWS/CMAS indications (see subclause 16.4).
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While in RRC_IDLE the UE monitors the paging channels for CN-initiated paging; in RRC_INACTIVE the UE also
monitors paging channels for RAN-initiated paging. A UE need not monitor paging channels continuously though;
Paging DRX is defined where the UE in RRC_IDLE or RRC_INACTIVE is only required to monitor paging channels
during one Paging Occasions (PO) per DRX cycle (see 3GPP TS 38.304 [10]). The Paging DRX cycles are configured
by the network:
1) For CN-initiated paging, a default cycle is broadcast in system information;
2) For CN-initiated paging, a UE specific cycle can be configured via NAS signalling;
3) For RAN-initiated paging, a UE-specific cycle can be configured via RRC signalling;
- The UE uses the shortest of the DRX cycles applicable i.e. a UE in RRC_IDLE uses the shortest of the first two
cycles above, while a UE in RRC_INACTIVE uses the shortest of the three.
The POs of a UE for CN-initiated and RAN-initiated paging are based on the same UE ID, resulting in overlapping POs
for both. The number of different POs in a DRX cycle is configurable via system information and a network may
distribute UEs to those POs based on their IDs.
When in RRC_CONNECTED, the UE monitors the paging channels in any PO signalled in system information. In case
of BA, a UE in RRC_CONNECTED only monitors paging channels on the active BWP.
Paging optimization for UEs in CM_IDLE: at UE context release, the NG-RAN node may provide the AMF with a
list of recommended cells and NG-RAN nodes as assistance info for subsequent paging. The AMF may also provide
Paging Attempt Information consisting of a Paging Attempt Count and the Intended Number of Paging Attempts and
may include the Next Paging Area Scope. If Paging Attempt Information is included in the Paging message, each paged
NG-RAN node receives the same information during a paging attempt. The Paging Attempt Count shall be increased by
one at each new paging attempt. The Next Paging Area Scope, when present, indicates whether the AMF plans to
modify the paging area currently selected at next paging attempt. If the UE has changed its state to CM CONNECTED
the Paging Attempt Count is reset.
Paging optimization for UEs in RRC_INACTIVE: at RAN Paging, the serving NG-RAN node provides RAN Paging
area information. The serving NG-RAN node may also provide RAN Paging attempt information. Each paged NG-
RAN node receives the same RAN Paging attempt information during a paging attempt with the following content:
Paging Attempt Count, the intended number of paging attempts and the Next Paging Area Scope. The Paging Attempt
Count shall be increased by one at each new paging attempt. The Next Paging Area Scope, when present, indicates
whether the serving NG_RAN node plans to modify the RAN Paging Area currently selected at next paging attempt. If
the UE leaves RRC_INACTIVE state the Paging Attempt Count is reset.
9.2.6 Random Access Procedure

The random access procedure is triggered by a number of events, for instance:
- Initial access from RRC_IDLE;
- RRC Connection Re-establishment procedure;
- Handover;
- DL or UL data arrival during RRC_CONNECTED when UL synchronisation status is "non-synchronised";
- Transition from RRC_INACTIVE;
- To establish time alignment at SCell addition;
- Request for Other SI (see subclause 7.3);
- Beam failure recovery.
Furthermore, the random access procedure takes two distinct forms: contention-based random access (CBRA) and
contention-free random access (CFRA) as shown on Figure 9.2.6-1 below.
For initial access in a cell configured with SUL, the UE selects the SUL carrier if and only if the measured quality of the
DL is lower than a broadcast threshold. Once started, all uplink transmissions of the random access procedure remain on
the selected carrier.
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(a) Contention-Based (b) Contention-Free
Figure 9.2.6-1: Random Access Procedures
9.2.7 Radio Link Failure

In RRC_CONNECTED, the UE declares Radio Link Failure (RLF) when one of the following criteria are met:
- Expiry of a timer started after indication of radio problems from the physical layer (if radio problems are
recovered before the timer is expired, the UE stops the timer);
- Random access procedure failure;
- RLC failure.
After RLF is declared, the UE:
- stays in RRC_CONNECTED;
- selects a suitable cell and then initiates RRC re-establishment;
- enters RRC_IDLE if a suitable cell wasn't found within a certain time after RLF was declared.
9.2.8 Beam failure detection and recovery

For beam failure detection, the gNB configures the UE with beam failure detection reference signals and the UE
declares beam failure when the number of beam failure instance indications from the physical layer reaches a
configured threshold within a configured period.
After beam failure is detected, the UE:
- triggers beam failure recovery by initiating a Random Access procedure on the PCell;
- selects a suitable beam to perform beam failure recovery (if the gNB has provided dedicated Random Access
resources for certain beams, those will be prioritized by the UE).
Upon completion of the Random Access procedure, beam failure recovery is considered complete.
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9.3 Inter RAT

9.3.1 Intra 5GC

Cell reselection is characterised by the following:
- Cell reselection between NR RRC_IDLE and E-UTRA RRC_IDLE is supported;
- Cell reselection from NR RRC_INACTIVE to E-UTRA RRC_IDLE is supported.
9.3.1.2 Handover
Inter RAT mobility is characterised by the following:
- The Source RAT configures Target RAT measurement and reporting.
- The source RAT decides on the preparation initiation and provides the necessary information to the target RAT in
the format required by the target RAT:
- For handover preparation from E-UTRA to NR, the source RAT issues a handover preparation request
message to the target RAT passing a transparent RRC container with necessary information to prepare the
handover at the target side. The information for the target RAT is the same type as specified in section
9.2.3.2.1 including the current QoS flow to DRB mapping applied to the UE and RRM configuration.
- The details of RRM configuration are the same type as specified for NR in section 9.2.3.2.1 including beam
measurement information for the listed cells if the measurements are available.
- Radio resources are prepared in the target RAT before the handover.
- The RRC reconfiguration message from the target RAT is delivered to the source RAT via a transparent
container, and is passed to the UE by the source RAT in the handover command:
- The inter-RAT handover command message carries the same type of information required to access the target
cell as specified for NR baseline handover in section 9.2.3.2.1.
- The in-sequence and lossless handover is supported for the handover between gNB and ng-eNB.
- Both Xn and NG based inter-RAT handover between NG-RAN nodes is supported. Whether the handover is over
Xn or CN is transparent to the UE.
- In order to keep the SDAP and PDCP configurations for in-sequence and lossless inter-RAT handover, delta-
configuration for the radio bearer configuration is used.
9.3.1.3 Measurements
Inter RAT measurements in NR are limited to E-UTRA.
9.3.2 From 5GC to EPC

Cell reselection is characterised by the following:
- Cell reselection between NR RRC_IDLE and E-UTRA RRC_IDLE is supported;
- Cell reselection from NR RRC_INACTIVE to E-UTRA RRC_IDLE is supported.
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9.3.2.2 Handover
Inter RAT mobility is characterised by the following:
- The Source RAT configures Target RAT measurement and reporting.
- The source RAT decides on the preparation initiation and provides the necessary information to the target RAT in
the format required by the target RAT.
- Radio resources are prepared in the target RAT before the handover.
- The RRC reconfiguration message from the target RAT is delivered to the source RAT via a transparent
container, and is passed to the UE by the source RAT in the handover command.
- In-sequence and lossless handovers are not supported.
- A full configuration is required to reset the radio bearers.
- Security procedures for handover to E-UTRA/EPC should follow legacy inter-RAT handover procedures.
9.3.2.3 Measurements
Inter RAT measurements in NR are limited to E-UTRA.
9.3.2.4 Data Forwarding

The inter-System data forwarding follows the following key principles:
- Only indirect data forwarding is supported.
- PDU session information at the serving NG-RAN node contains mapping information per QoS Flow to a
corresponding E-RAB.
- At handover preparation, the source NG-RAN node shall decide which mapped E-RABs are proposed to be
subject to data forwarding and provide this information in the source-to-target container to the target eNB.
- The target eNB assigns forwarding TEID/TNL address(es) for the E-RAB(s) for which it accepts data
forwarding.
- A single data forwarding tunnel is established between the source NG-RAN node and UPF per PDU session for
which at least data for a single QoS Flow is subject to data forwarding. For the QoS flow(s) accepted for data
forwarding, the NG-RAN node initiates data forwarding to the UPF by the corresponding PDU session data
forwarding tunnel(s). Then the UPF maps data received from the per PDU session data forwarding tunnel(s) to
the mapped EPS bearer(s).
9.3.3 From EPC to 5GC
9.3.3.1 Data Forwarding

The inter-System data forwarding from EPS to 5GS follows the following key principles:
- Only indirect data forwarding is supported.
- The target NG-RAN node receives in the Handover Request message the mapping between E-RAB ID(s) and
QoS Flow ID(s). It decides whether to accept the data forwarding for E-RAB IDs proposed for forwarding
within the source to target container. It assigns a TEID/TNL address for each PDU session for which at least one
QoS flow is involved in the accepted forwarding.
- The target NG-RAN node sends the Handover Request Acknowledge message in which it indicates the list of
PDU sessions and QoS flows for which it has accepted the forwarding.
- The source eNB receives in the Handover Command message the list of E-RAB IDs for which the target NG-
RAN node has accepted the forwarding of corresponding PDU sessions and QoS flows.
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- For each E-RAB accepted for data forwarding, the source eNB forwards data to the SGW in the corresponding
E-RAB tunnel and the SGW forwards the received data to the UPF in the E-RAB tunnel. Then the UPF maps the
data received from an E-RAB tunnel to the corresponding mapped PDU session tunnel. The target NG-RAN
node prioritizes the forwarded packets over the fresh packets for those QoS flows which are involved in the
accepted forwarding.
9.4 Roaming and Access Restrictions

The roaming and access restriction information for a UE includes information on restrictions to be applied for
subsequent mobility action during CM-CONNECTED state. It may be provided by the AMF and also may be updated
by the AMF later.
It includes the forbidden RAT, the forbidden area and the service area restrictions as specified in 3GPP TS 23.501 [3]. It
also includes serving PLMN and may include a list of equivalent PLMNs.
Upon receiving the roaming and access restriction information for a UE, if applicable, the gNB should use it to
determine whether to apply restriction handling for subsequent mobility action, e.g., handover, redirection.
If the roaming and access restriction information is not available for a UE at the gNB, the gNB shall consider that there
is no restriction for subsequent mobility actions.
Only if received over NG or Xn signalling, the roaming and access restriction information shall be propagated over Xn
by the source gNB during Xn handover. If the Xn handover results in a change of serving PLMN (to an equivalent
PLMN), the source gNB shall replace the serving PLMN with the identity of the target PLMN and move the serving
PLMN to the equivalent PLMN list, before propagating the roaming and access restriction information.
10 Scheduling
10.1 Basic Scheduler Operation

In order to utilise radio resources efficiently, MAC in gNB includes dynamic resource schedulers that allocate physical
layer resources for the downlink and the uplink. In this subclause, an overview of the scheduler is given in terms of
scheduler operation, signalling of scheduler decisions, and measurements.
Scheduler Operation:
- Taking into account the UE buffer status and the QoS requirements of each UE and associated radio bearers,
schedulers assign resources between UEs;
- Schedulers may assign resources taking account the radio conditions at the UE identified through measurements
made at the gNB and/or reported by the UE;
- Schedulers assign radio resources in a unit of slot (e.g. one mini-slot, one slot, or multiple slots);
- Resource assignment consists of radio resources (resource blocks).
Signalling of Scheduler Decisions:
- UEs identify the resources by receiving a scheduling (resource assignment) channel.
Measurements to Support Scheduler Operation:
- Uplink buffer status reports (measuring the data that is buffered in the logical channel queues in the UE) are used
to provide support for QoS-aware packet scheduling.
- Power headroom reports (measuring the difference between the nominal UE maximum transmit power and the
estimated power for uplink transmission) are used to provide support for power aware packet scheduling.
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10.2 Downlink Scheduling

In the downlink, the gNB can dynamically allocate resources to UEs via the C-RNTI on PDCCH(s). A UE always
monitors the PDCCH(s) in order to find possible assignments when its downlink reception is enabled (activity governed
by DRX when configured). When CA is configured, the same C-RNTI applies to all serving cells.
The gNB may pre-empt an ongoing PDSCH transmission to one UE with a latency-critical transmission to another UE.
The gNB can configure UEs to monitor interrupted transmission indications using INT-RNTI on a PDCCH. If a UE
receives the interrupted transmission indication, the UE may assume that no useful information to that UE was carried
by the resource elements included in the indication, even if some of those resource elements were already scheduled to
this UE.
In addition, with Semi-Persistent Scheduling (SPS), the gNB can allocate downlink resources for the initial HARQ
transmissions to UEs: RRC defines the periodicity of the configured downlink assignments while PDCCH addressed to
CS-RNTI can either signal and activate the configured downlink assignment, or deactivate it; i.e. a PDCCH addressed
to CS-RNTI indicates that the downlink assignment can be implicitly reused according to the periodicity defined by
RRC, until deactivated.
NOTE: when required, retransmissions are explicitly scheduled on PDCCH(s).
When a configured downlink assignment is active, if the UE cannot find its C-RNTI on the PDCCH(s), a downlink
transmission according to the configured downlink assignment is assumed. Otherwise, if the UE finds its C-RNTI on
the PDCCH(s), the PDCCH allocation overrides the configured downlink assignment.
When CA is configured, at most one configured downlink assignment can be signalled per serving cell. When BA is
configured, at most one configured downlink assignment can be signalled per BWP. On each serving cell, there can be
only one configured downlink assignment active at a time, and multiple configured downlink assignment can be
simultaneously active on different serving cells only. Activation and deactivation of configured downlink assignments
are independent among the serving cells.
10.3 Uplink Scheduling

In the uplink, the gNB can dynamically allocate resources to UEs via the C-RNTI on PDCCH(s). A UE always monitors
the PDCCH(s) in order to find possible grants for uplink transmission when its downlink reception is enabled (activity
governed by DRX when configured). When CA is configured, the same C-RNTI applies to all serving cells.
In addition, with Configured Grants, the gNB can allocate uplink resources for the initial HARQ transmissions to UEs.
Two types of configured uplink grants are defined:
- With Type 1, RRC directly provides the configured uplink grant (including the periodicity).
- With Type 2, RRC defines the periodicity of the configured uplink grant while PDCCH addressed to CS-RNTI
can either signal and activate the configured uplink grant, or deactivate it; i.e. a PDCCH addressed to CS-RNTI
indicates that the uplink grant can be implicitly reused according to the periodicity defined by RRC, until
deactivated.
When a configured uplink grant is active, if the UE cannot find its C-RNTI/CS-RNTI on the PDCCH(s), an uplink
transmission according to the configured uplink grant can be made. Otherwise, if the UE finds its C-RNTI/CS-RNTI on
the PDCCH(s), the PDCCH allocation overrides the configured uplink grant.
Retransmissions other than repetitions are explicitly allocated via PDCCH(s).
When CA is configured, at most one configured uplink grant can be signalled per serving cell. When BA is configured,
at most one configured uplink grant can be signalled per BWP. On each serving cell, there can be only one configured
uplink grant active at a time. A configured uplink grant for one serving cell can either be of Type 1 or Type 2. For Type
2, activation and deactivation of configured uplink grants are independent among the serving cells. When SUL is
configured, a configured uplink grant can only be signalled for one of the 2 ULs of the cell.
10.4 Measurements to Support Scheduler Operation

Measurement reports are required to enable the scheduler to operate in both uplink and downlink. These include
transport volume and measurements of a UEs radio environment.
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Uplink buffer status reports (BSR) are needed to provide support for QoS-aware packet scheduling. In NR, uplink
buffer status reports refer to the data that is buffered in for a group of logical channel (LCG) in the UE. Eight LCGs and
two formats are used for reporting in uplink:
- A short format to report only one BSR (of one LCG);
- A flexible long format to report several BSRs (up to all eight LCGs).
Uplink buffer status reports are transmitted using MAC signalling.
Power headroom reports (PHR) are needed to provide support for power-aware packet scheduling. In NR, three types of
reporting are supported: one for PUSCH transmission, one for PUSCH and PUCCH transmission and a third one for
SRS transmission. In case of CA, when no transmission takes place on an activated SCell, a reference power is used to
provide a virtual report. Power headroom reports are transmitted using MAC signalling.
10.5 Rate Control

10.5.1 Downlink
In downlink, for GBR flows, the gNB guarantees the GFBR and ensures that the MFBR is not exceeded while for non-
GBR flows, it ensures that the UE-AMBR is not exceeded (see subclause 12). When configured for a QoS flow, the
gNB also ensures that the MDBV is not exceeded.
10.5.2 Uplink
The UE has an uplink rate control function which manages the sharing of uplink resources between logical channels.
RRC controls the uplink rate control function by giving each logical channel a priority, a prioritised bit rate (PBR), and
a buffer size duration (BSD). The values signalled need not be related to the ones signalled via NG to the gNB. In
addition, mapping restrictions can be configured (see subclause 6.2.1).
The uplink rate control function ensures that the UE serves the logical channel(s) in the following sequence:
1. All relevant logical channels in decreasing priority order up to their PBR;
2. All relevant logical channels in decreasing priority order for the remaining resources assigned by the grant.
NOTE 1: In case the PBRs are all set to zero, the first step is skipped and the logical channels are served in strict
priority order: the UE maximises the transmission of higher priority data.
NOTE 2: The mapping restrictions tell the UE which logical channels are relevant for the grant received. If no
mapping restrictions are configured, all logical channels are considered.
NOTE 3: Through radio protocol configuration and scheduling, the gNB can guarantee the GFBR(s) and ensure
that neither the MFBR(s) nor the UE-AMBR are exceeded in uplink (see subclause 12).
NOTE 4: The mapping restrictions allows the gNB to fulfill the MDBV requirements through scheduling at least
for the case where logical channels are mapped to separate serving cells.
If more than one logical channels have the same priority, the UE shall serve them equally.
10.6 Activation/Deactivation Mechanism

To enable reasonable UE battery consumption when CA is configured, an activation/deactivation mechanism of Cells is
supported. When a Cell is deactivated, the UE does not need to receive the corresponding PDCCH or PDSCH, cannot
transmit in the corresponding uplink, nor is it required to perform CQI measurements. Conversely, when a Cell is
active, the UE shall receive PDSCH and PDCCH (if the UE is configured to monitor PDCCH from this SCell) and is
expected to be able to perform CQI measurements. NG-RAN ensures that while PUCCH SCell (a Secondary Cell
configured with PUCCH) is deactivated, SCells of secondary PUCCH group (a group of SCells whose PUCCH
signalling is associated with the PUCCH on the PUCCH SCell) should not be activated. NG-RAN ensures that SCells
mapped to PUCCH SCell are deactivated before the PUCCH SCell is changed or removed.
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At reconfiguration without mobility control information:
- SCells added to the set of serving cells are initially deactivated;
- SCells which remain in the set of serving cells (either unchanged or reconfigured) do not change their activation
status (activated or deactivated).
At reconfiguration with mobility control information (i.e. handover):
- SCells are deactivated.
To enable reasonable UE battery consumption when BA is configured, only one UL BWP for each uplink carrier and
one DL BWP or only one DL/UL BWP pair can be active at a time in an active serving cell, all other BWPs that the UE
is configured with being deactivated. On deactivated BWPs, the UE does not monitor the PDCCH, does not transmit on
PUCCH, PRACH and UL-SCH.
10.7 E-UTRA-NR Physical Layer Resource Coordination

An NR cell may use spectrum that overlaps or is adjacent to spectrum in use for E-UTRA cells. In this case network
signalling enables coordination of TDM and FDM physical layer resources between MAC in the gNB and the
corresponding entity in the ng-eNB.
11 UE Power Saving
The PDCCH monitoring activity of the UE in RRC connected mode is governed by DRX and BA.
When DRX is configured, the UE does not have to continuously monitor PDCCH. DRX is characterized by the
following:
- on-duration: duration that the UE waits for, after waking up, to receive PDCCHs. If the UE successfully
decodes a PDCCH, the UE stays awake and starts the inactivity timer;
- inactivity-timer: duration that the UE waits to successfully decode a PDCCH, from the last successful decoding
of a PDCCH, failing which it can go back to sleep. The UE shall restart the inactivity timer following a single
successful decoding of a PDCCH for a first transmission only (i.e. not for retransmissions);
- retransmission-timer: duration until a retransmission can be expected;
- cycle: specifies the periodic repetition of the on-duration followed by a possible period of inactivity (see figure
11-1 below);
- active-time: total duration that the UE monitors PDCCH. This includes the "on-duration" of the DRX cycle, the
time UE is performing continuous reception while the inactivity timer has not expired, and the time when the UE
is performing continuous reception while waiting for a retransmission opportunity.
Figure 11-1: DRX Cycle
When BA is configured, the UE only has to monitor PDCCH on the one active BWP i.e. it does not have to monitor
PDCCH on the entire DL frequency of the cell. A BWP inactivity timer (independent from the DRX inactivity-timer
described above) is used to switch the active BWP to the default one: the timer is restarted upon successful PDCCH
decoding and the switch to the default BWP takes place when it expires.
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12 QoS
12.1 Overview
The 5G QoS model is based on QoS Flows (see 3GPP TS 23.501 [3]) and supports both QoS Flows that require
guaranteed flow bit rate (GBR QoS Flows) and QoS Flows that do not require guaranteed flow bit rate (non-GBR QoS
Flows). At NAS level (see 3GPP TS 23.501 [3]), the QoS flow is thus the finest granularity of QoS differentiation in a
PDU session. A QoS flow is identified within a PDU session by a QoS Flow ID (QFI) carried in an encapsulation
header over NG-U.
The QoS architecture in NG-RAN, both for NR connected to 5GC and for E-UTRA connected to 5GC, is depicted in
the Figure 12-1 and described in the following:
- For each UE, 5GC establishes one or more PDU Sessions;
- For each UE, the NG-RAN establishes at least one Data Radio Bearers (DRB) together with the PDU Session
and additional DRB(s) for QoS flow(s) of that PDU session can be subsequently configured (it is up to NG-RAN
when to do so);
- The NG-RAN maps packets belonging to different PDU sessions to different DRBs;
- NAS level packet filters in the UE and in the 5GC associate UL and DL packets with QoS Flows;
- AS-level mapping rules in the UE and in the NG-RAN associate UL and DL QoS Flows with DRBs.
Figure 12-1: QoS architecture
NG-RAN and 5GC ensure quality of service (e.g. reliability and target delay) by mapping packets to appropriate QoS
Flows and DRBs. Hence there is a 2-step mapping of IP-flows to QoS flows (NAS) and from QoS flows to DRBs
(Access Stratum).
At NAS level, a QoS flow is characterised by a QoS profile provided by 5GC to NG-RAN and QoS rule(s) provided by
5GC to the UE. The QoS profile is used by NG-RAN to determine the treatment on the radio interface while the QoS
rules dictates the mapping between uplink User Plane traffic and QoS flows to the UE. A QoS flow may either be GBR
or Non-GBR depending on its profile. The QoS profile of a QoS flow contains QoS parameters, for instance (see 3GPP
TS 23.501 [3]):
- For each QoS flow:
- A 5G QoS Identifier (5QI);
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- An Allocation and Retention Priority (ARP).
- In case of a GBR QoS flow only:
- Guaranteed Flow Bit Rate (GFBR) for both uplink and downlink;
- Maximum Flow Bit Rate (MFBR) for both uplink and downlink;
- Maximum Packet Loss Rate for both uplink and downlink.
- In case of Non-GBR QoS only:
- Reflective QoS Attribute (RQA): the RQA, when included, indicates that some (not necessarily all) traffic
carried on this QoS flow is subject to reflective quality of service (RQoS) at NAS.
In addition, an Aggregate Maximum Bit Rate is associated to each PDU session (Session-AMBR) and to each UE (UE-
AMBR). The Session-AMBR limits the aggregate bit rate that can be expected to be provided across all Non-GBR QoS
Flows for a specific PDU Session. The UE-AMBR limits the aggregate bit rate that can be expected to be provided
across all Non-GBR QoS Flows of a UE.
The 5QI is associated to QoS characteristics giving guidelines for setting node specific parameters for each QoS Flow.
Standardized or pre-configured 5G QoS characteristics are derived from the 5QI value and are not explicitly signalled.
Signalled QoS characteristics are included as part of the QoS profile. The QoS characteristics consist for instance of
(see 3GPP TS 23.501 [3]):
- Resource Type (GBR, delay critical GBR or Non-GBR);
- Priority level;
- Packet Delay Budget;
- Packet Error Rate;
- Averaging window;
- Maximum Data Burst Volume.
At Access Stratum level, the data radio bearer (DRB) defines the packet treatment on the radio interface (Uu). A DRB
serves packets with the same packet forwarding treatment. The QoS flow to DRB mapping by NG-RAN is based on
QFI and the associated QoS profiles (i.e. QoS parameters and QoS characteristics). Separate DRBs may be established
for QoS flows requiring different packet forwarding treatment, or several QoS Flows belonging to the same PDU
session can be multiplexed in the same DRB.
In the uplink, the mapping of QoS Flows to DRBs is controlled by mapping rules which are signalled in two different
ways:
- Reflective mapping: for each DRB, the UE monitors the QFI(s) of the downlink packets and applies the same
mapping in the uplink; that is, for a DRB, the UE maps the uplink packets belonging to the QoS flows(s)
corresponding to the QFI(s) and PDU Session observed in the downlink packets for that DRB. To enable this
reflective mapping, the NG-RAN marks downlink packets over Uu with QFI.
- Explicit Configuration: QoS flow to DRB mapping rules can be explicitly signalled by RRC.
The UE always applies the latest update of the mapping rules regardless of whether it is performed via reflecting
mapping or explicit configuration.
When a QoS flow to DRB mapping rule is updated, the UE sends an end marker on the old bearer.
In the downlink, the QFI is signalled by NG-RAN over Uu for the purpose of RQoS and if neither NG-RAN, nor the
NAS (as indicated by the RQA) intend to use reflective mapping for the QoS flow(s) carried in a DRB, no QFI is
signalled for that DRB over Uu. In the uplink, NG-RAN can configure the UE to signal QFI over Uu.
For each PDU session, a default DRB may be configured: if an incoming UL packet matches neither an RRC
configured nor a reflective mapping rule, the UE then maps that packet to the default DRB of the PDU session.
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Within each PDU session, it is up to NG-RAN how to map multiple QoS flows to a DRB. The NG-RAN may map a
GBR flow and a non-GBR flow, or more than one GBR flow to the same DRB, but mechanisms to optimise these cases
are not within the scope of standardization.
As specified in 3GPP TS 23.501 [3], the 5GC may associate a GBR QoS flow with notification control to request from
the NG-RAN to notify the 5GC either when the GFBR can no longer be fulfilled or when the GFBR can be fulfilled
again.
13 Security
13.1 Overview and Principles

The following principles apply to NR connected to 5GC security, see 3GPP TS 33.501 [5]:
- For user data (DRBs), ciphering provides user data confidentiality and integrity protection provides user data
integrity;
- For RRC signalling (SRBs), ciphering provides signalling data confidentiality and integrity protection signalling
data integrity;
NOTE: Ciphering and integrity protections are optionally configured except for RRC signalling for which
integrity protection is always configured. Ciphering and integrity protection can be configured per DRB
but all DRBs belonging to a PDU session for which the User Plane Security Enforcement information
indicates that UP integrity protection is required (see 3GPP TS 23.502 [22]), are configured with integrity
protection.
- For key management and data handling, any entity processing cleartext shall be protected from physical attacks
and located in a secure environment;
- The gNB (AS) keys are cryptographically separated from the 5GC (NAS) keys;
- Separate AS and NAS level Security Mode Command (SMC) procedures are used;
- A sequence number (COUNT) is used as input to the ciphering and integrity protection and a given sequence
number must only be used once for a given key (except for identical re-transmission) on the same radio bearer in
the same direction.
The keys are organised and derived as follows:
- Key for AMF:
- KAMF is a key derived by ME and SEAF from KSEAF.
- Keys for NAS signalling:
- KNASint is a key derived by ME and AMF from KAMF, which shall only be used for the protection of NAS
signalling with a particular integrity algorithm;
- KNASenc is a key derived by ME and AMF from KAMF, which shall only be used for the protection of NAS
signalling with a particular encryption algorithm.
Key for gNB:
- KgNB is a key derived by ME and AMF from KAMF. KgNB is further derived by ME and source gNB when
performing horizontal or vertical key derivation.
Keys for UP traffic:
- KUPenc is a key derived by ME and gNB from KgNB, which shall only be used for the protection of UP traffic
between ME and gNB with a particular encryption algorithm;
- KUPint is a key derived by ME and gNB from KgNB, which shall only be used for the protection of UP traffic
between ME and gNB with a particular integrity algorithm.
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Keys for RRC signalling:
- KRRCint is a key derived by ME and gNB from KgNB, which shall only be used for the protection of RRC
signalling with a particular integrity algorithm;
- KRRCenc is a key derived by ME and gNB from KgNB, which shall only be used for the protection of RRC
signalling with a particular encryption algorithm.
Intermediate keys:
- NH is a key derived by ME and AMF to provide forward security.
- KgNB* is a key derived by ME and gNB when performing a horizontal or vertical key derivation.
The primary authentication enables mutual authentication between the UE and the network and provide an anchor key
called KSEAF. From KSEAF, KAMF is created during e.g. primary authentication or NAS key re-keying and key refresh
events. Based on KAMF, KNASint and KNASenc are then derived when running a successful NAS SMC procedure.
Whenever an initial AS security context needs to be established between UE and gNB, AMF and the UE derive a KgNB
and a Next Hop parameter (NH). The KgNB and the NH are derived from the KAMF. A NH Chaining Counter (NCC) is
associated with each KgNB and NH parameter. Every KgNB is associated with the NCC corresponding to the NH value
from which it was derived. At initial setup, the KgNB is derived directly from KAMF, and is then considered to be
associated with a virtual NH parameter with NCC value equal to zero. At initial setup, the derived NH value is
associated with the NCC value one. On handovers, the basis for the KgNB that will be used between the UE and the target
gNB, called KgNB*, is derived from either the currently active KgNB or from the NH parameter. If KgNB* is derived from
the currently active KgNB, this is referred to as a horizontal key derivation and is indicated to UE with an NCC that does
not increase. If the KgNB* is derived from the NH parameter, the derivation is referred to as a vertical key derivation and
is indicated to UE with an NCC increase. Finally, KRRCint, KRRCenc, KUPint and KUPenc are derived based on KgNB after a new
KgNB is derived. This is depicted on Figure 13.1-1 below:
Figure 13.1-1: 5G Key Derivation
With such key derivation, a gNB with knowledge of a KgNB, shared with a UE, is unable to compute any previous KgNB
that has been used between the same UE and a previous gNB, therefore providing backward security. Similarly, a gNB
with knowledge of a KgNB, shared with a UE, is unable to predict any future KgNB that will be used between the same UE
and another gNB after n or more handovers (since NH parameters are only computable by the UE and the AMF).
The AS SMC procedure is for RRC and UP security algorithms negotiation and RRC security activation. When AS
security context is to be established in the gNB, the AMF sends the UE 5G security capabilities to the gNB. The gNB
chooses the ciphering algorithm which has the highest priority from its configured list and is also present in the UE 5G
security capabilities. The gNB also chooses the integrity algorithm which has the highest priority from its configured
list and is also present in the UE 5G security capabilities. The chosen algorithms are indicated to the UE in the AS SMC
and this message is integrity protected. RRC downlink ciphering (encryption) at the gNB starts after sending the AS
SMC message. RRC uplink deciphering (decryption) at the gNB starts after receiving and successful verification of the
integrity protected AS security mode complete message from the UE. The UE verifies the validity of the AS SMC
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message from the gNB by verifying the integrity of the received message. RRC uplink ciphering (encryption) at the UE
starts after sending the AS security mode complete message. RRC downlink deciphering (decryption) at the UE shall
start after receiving and successful verification of the AS SMC message. The RRC Connection Reconfiguration
procedure used to add DRBs shall be performed only after RRC security has been activated as part of the AS SMC
procedure.
The maximum supported data rate for integrity protected DRBs is a UE capability indicated at NAS layer, with a
minimum value of 64 kbps and a maximum value of the highest data rate supported by the UE. In case of failed
integrity check (i.e. faulty or missing MAC-I), the concerned PDU shall be discarded by the receiving PDCP entity.
Key refresh is possible for KgNB, KRRC-enc, KRRC-int, KUP-enc, and KUP-int and can be initiated by the gNB when a PDCP
COUNTs are about to be re-used with the same Radio Bearer identity and with the same KgNB. Key re-keying is also
possible for the KgNB, KRRC-enc, KRRC-int, KUP-enc, and KUP-int and can be initiated by the AMF when a 5G AS security context
different from the currently active one shall be activated.
13.2 Security Termination Points

The table below describes the security termination points.
Table 13.2-1 Security Termination Points
Ciphering Integrity Protection

NAS Signalling AMF AMF
RRC Signalling gNB gNB
User Plane Data gNB gNB
13.3 State Transitions and Mobility

As a general principle, on RRC_IDLE to RRC_CONNECTED transitions, RRC protection keys and UP protection keys
are generated while keys for NAS protection as well as higher layer keys are assumed to be already available. These
higher layer keys may have been established as a result of an AKA run, or as a result of a transfer from another AMF
during handover or idle mode mobility see 3GPP TS 23.502 [22]).
On RRC_CONNECTED to RRC_IDLE transitions, the gNBs deletes the keys it stores for that UE such that state
information for idle mode UEs only has to be maintained in AMF. It is also assumed that gNB does no longer store state
information about the corresponding UE and deletes the current keys from its memory. In particular, on connected to
idle transitions:
- The gNB and UE delete NH, KRRCint, KRRCenc, KUPint and KUPenc and related NCC;
- AMF and UE keeps KAMF, KNASint and KNASenc stored.
On handovers with vertical key derivation the NH is further bound to the target PCI and its frequency ARFCN-DL
before it is taken into use as the KgNB in the target gNB. On handovers with horizontal key derivation the currently
active KgNB is further bound to the target PCI and its frequency ARFCN-DL before it is taken into use as the KgNB in the
target gNB (see subclause 13.1).
It is not required to change the AS security algorithms during intra-gNB-CU handover. If the UE does not receive an
indication of new AS security algorithms during an intra-gNB-CU handover, the UE shall continue to use the same
algorithms as before the handover (see 3GPP TS 38.331 [12]).
14 UE Capabilities
The UE capabilities in NR do not rely on UE categories: UE categories associated to fixed peak data rates are only
defined for marketing purposes and not signalled to the network. Instead, the network determines the UL and DL data
rate supported by a UE from the supported band combinations and from the baseband capabilities (modulation scheme,
MIMO layers, …).
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To limit signalling overhead, the gNB can request the UE to provide NR capabilities for a restricted set of band
combinations. When responding, the UE can skip a subset of the requested band combinations when the corresponding
UE capabilities are the same.
15 Self-Configuration and Self-Optimisation

Self-Configuration and Self-Optimisation are not complete and are targeted for completion in June 2018.
15.1 Definitions
Void.
15.2 UE Support for self-configuration and self-optimisation

Void.
15.3 Self-configuration
15.3.1 Dynamic configuration of the NG-C interface
15.3.1.1 Prerequisites
The following prerequisites are assumed:
- An initial remote IP end point to be used for SCTP initialisation is provided to the NG-RAN node for each AMF
the NG-RAN node is supposed to connect to.
15.3.1.2 SCTP initialization

NG-RAN establishes the first SCTP (IETF RFC 4960 [23]) using a configured IP address.
NOTE: The NG-RAN node may use different source and/or destination IP end point(s) if the SCTP establishment
towards one IP end point fails. How the NG-RAN node gets the remote IP end point(s) and its own IP
address are outside the scope of this specification.
15.3.1.3 Application layer initialization

Once SCTP connectivity has been established, the NG-RAN node and the AMF shall exchange application level
configuration data over NGAP with the NG Setup procedure, which is needed for these two nodes to interwork
correctly on the NG interface.
- The NG-RAN node provides the relevant configuration information to the AMF, which includes list of supported
TA(s), etc;
- The AMF provides the relevant configuration information to the NG-RAN node, which includes PLMN ID, etc.;
- When the application layer initialization is successfully concluded, the dynamic configuration procedure is
completed and the NG-C interface is operational.
After the application layer initialization is successfully completed, the AMF may add or update or remove SCTP
endpoints to be used for NG-C signalling between the AMF and the NG-RAN node pair as specified in 3GPP TS 23.501
[3].
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15.3.2 Dynamic Configuration of the Xn interface
15.3.2.1 Prerequisites
The following prerequisites are necessary:
- An initial remote IP end point to be used for SCTP initialisation is provided to the NG-RAN node.
15.3.2.2 SCTP initialization

NG-RAN establishes the first SCTP (IETF RFC 4960 [23]) using a configured IP address.
NOTE: The NG-RAN node may use different source and/or destination IP end point(s) if the SCTP establishment
towards one IP end point fails.
15.3.2.3 Application layer initialization

Once SCTP connectivity has been established, the NG-RAN node and its candidate peer NG-RAN node are in a
position to exchange application level configuration data over XnAP needed for the two nodes to interwork correctly on
the Xn interface.
- The NG-RAN node provides the relevant configuration information to the candidate NG-RAN node, which
includes served cell information.
- The candidate NG-RAN node provides the relevant configuration information to the initiating NG-RAN node,
which includes served cell information.
- When the application layer initialization is successfully concluded, the dynamic configuration procedure is
completed and the Xn interface is operational.
- The NG-RAN node shall keep neighbouring NG-RAN nodes updated with the complete list of served cells, or, if
requested by the peer NG-RAN node, by a limited list of served cells, while the Xn interface is operational.
15.3.3 Automatic Neighbour Cell Relation Function
15.3.3.1 General
The purpose of ANR function is to relieve the operator from the burden of manually managing NCRs. Figure 15.3.3.1-1
shows ANR and its environment:
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Figure 15.3.3.1-1: Interaction between gNB and OAM due to ANR
The ANR function resides in the gNB and manages the NCRT. Located within ANR, the Neighbour Detection Function
finds new neighbours and adds them to the NCRT. ANR also contains the Neighbour Removal Function which removes
outdated NCRs. The Neighbour Detection Function and the Neighbour Removal Function are implementation specific.
An existing NCR from a source cell to a target cell means that gNB controlling the source cell:
a) Knows the global and physical IDs (e.g. NR CGI/NR PCI, ECGI/PCI) of the target cell.
b) Has an entry in the NCRT for the source cell identifying the target cell.
c) Has the attributes in this NCRT entry defined, either by OAM or set to default values.
NCRs are cell-to-cell relations, while an Xn link is set up between two gNBs. Neighbour Cell Relations are
unidirectional, while an Xn link is bidirectional.
NOTE: The neighbour information exchange, which occurs during the Xn Setup procedure or in the gNB
Configuration Update procedure, may be used for ANR purpose.
The ANR function also allows OAM to manage the NCRT. OAM can add and delete NCRs. It can also change the
attributes of the NCRT. The OAM system is informed about changes in the NCRT.
15.3.3.2 Intra-system – intra NR Automatic Neighbour Cell Relation Function

ANR relies on NCGI (see subclause 8.2).
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Cell A UE Cell B
Phy-CID=3 Phy-CID=5
Global-CID=17 Global-CID=19
1. Report
(PhyCID=5, strong signal)
2. Report GlobalCID Request
(Target PhyCID=5)
2b. BCCH (...)
3. Report GlobalCID=19
Figure 15.3.3.2-1: Automatic Neighbour Relation Function
Figure 15.3.3.2-1 depicts an example where the gNB serving cell A has an ANR function. In RRC_CONNECTED, the
gNB instructs each UE to perform measurements on neighbour cells. The gNB may use different policies for instructing
the UE to do measurements, and when to report them to the gNB. This measurement procedure is as specified in TS
38.331[12].
1. The UE sends a measurement report regarding cell B. This report contains Cell B's PCI, but not its NCGI.
When the gNB receives a UE measurement report containing the PCI, the following sequence may be used.
2. The gNB instructs the UE, using the newly discovered PCI as parameter, to read the all the broadcast NCGI(s),
TAC(s), RANAC(s), PLMN ID(s) and NR frequency band(s) of the related neighbour cell. To do so, the gNB
may need to schedule appropriate idle periods to allow the UE to read the NCGI from the broadcast channel of
the detected neighbour cell. How the UE reads the NCGI is specified in TS 38.331.
3. When the UE has found out the new cell's NCGI(s), the UE reports all the broadcast NCGI(s) to the serving cell
gNB. In addition, the UE reports all the tracking area code(s), RANAC(s), PLMN IDs and NR frequency band(s)
that have been read by the UE.
4. The gNB decides to add this neighbour relation, and can use PCI and NCGI(s) to:
a. Lookup a transport layer address to the new gNB.
b. Update the Neighbour Cell Relation List.
c. If needed, setup a new Xn interface towards this gNB.
15.3.3.3 Intra-system – intra E-UTRA Automatic Neighbour Cell Relation Function

Void.
15.3.3.4 Intra-system – inter RAT Automatic Neighbour Cell Relation Function

Void.
15.3.3.5 Inter-system Automatic Neighbour Cell Relation Function

For Inter-RAT ANR, each cell contains an Inter Frequency Search list. This list contains all frequencies that shall be
searched.
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Cell A UE Cell B
Type=NR Type=LTE
Phy-CID=3 Phy-CID=PSC=5
Global-CID=17 Global-CID=19
1. Report Neighbour Request
(RAT, Frequency)
2. Report Neighbour Response
(PhyCID, Signal Level
3. Report GlobalCID Request
(Target PhyCID=5)
3b. BCCH (...)
4. Report GlobalCID=19
Figure 15.3.3.5-1: Automatic Neighbour Relation Function in case of E-UTRAN detected cell
Figure 15.3.3.5-1 depicts an example where the gNB serving cell A has an ANR function. In RRC_CONNECTED, the
gNB can instruct a UE to perform measurements and detect cells on other RATs. The gNB may use different policies for
instructing the UE to do measurements, and when to report them to the gNB.
1 The gNB instructs a UE to look for neighbour cells in the target RATs. To do so the gNB may need to schedule
appropriate idle periods to allow the UE to scan all cells in the target RATs.
2 The UE reports the PCI and carrier frequency of the detected cells in the target RATs.
When the gNB receives UE reports containing PCIs of cell(s) the following sequence may be used.
3 The gNB instructs the UE, using the newly discovered PCI as parameter, to read the ECGI, the TAC and all
available PLMN ID(s) of the newly detected cell in case of E-UTRA detected cells. The UE ignores
transmissions from the serving cell while finding the requested information transmitted in the broadcast channel
of the detected inter-system/inter-frequency neighbour cell. To do so, the gNB may need to schedule appropriate
idle periods to allow the UE to read the requested information from the broadcast channel of the detected inter-
RAT neighbour cell.
4 After the UE has read the requested information in the new cell, it reports the detected ECGI, TAC, and available
PLMN ID(s) to the serving cell gNB.
5 The gNB updates its inter-RAT NCRT.
15.3.4 Xn-C TNL address discovery

If the NG-RAN node is aware of the RAN node ID of the candidate NG-RAN node (e.g. via the ANR function) but not
of a TNL address suitable for SCTP connectivity, then the NG-RAN node can utilize the 5GC (an AMF it is connected
to) to determine the TNL address as follows:
- The NG-RAN node sends the UPLINK RAN CONFIGURATION TRANSFER message to the AMF to request
the TNL address of the candidate NG-RAN node, and includes relevant information such as the source and target
RAN node ID.
- The AMF relays the request by sending the DOWNLINK RAN CONFIGURATION TRANSFER message to the
candidate NG-RAN node identified by the target RAN node ID.
- The candidate NG-RAN node responds by sending the UPLINK RAN CONFIGURATION TRANSFER
message containing one or more TNL addresses to be used for SCTP connectivity with the initiating NG-RAN
node, and includes other relevant information such as the source and target RAN node ID.
- The AMF relays the response by sending the DOWNLINK CONFIGURATION TRANSFER message to the
initiating NG-RAN node identified by the target RAN node ID.
NOTE: In this version of the specification, it is assumed that the NG-RAN node is able to determine the gNB ID
length of the candidate gNB (e.g. based on OAM configuration).
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16 Verticals Support
16.1 URLLC
16.1.1 Overview
The support of Ultra-Reliable and Low Latency Communications (URLLC) services is facilitated by the introduction of
the mechanisms described in the following subclauses. Please note however that those mechanisms need not be limited
to the provision of URLLC services.
16.1.2 LCP Restrictions

With LCP restrictions in MAC, RRC can restrict the mapping of a logical channel to a subset of the configured cells,
numerologies, PUSCH transmission durations and control whether a logical channel can utilise the resources allocated
by a Type 1 Configured Grant (see subclause 10.3). With such restrictions, it then becomes possible to reserve, for
instance, the numerology with the largest subcarrier spacing and/or shortest PUSCH transmission duration for URLLC
services.
16.1.3 Packet Duplication

When duplication is configured for a radio bearer by RRC, a secondary RLC entity and a secondary logical channel are
added to the radio bearer to handle the duplicated PDCP PDUs. Duplication at PDCP therefore consists in submitting
the same PDCP PDUs twice: once to the primary RLC entity and a second time to the secondary RLC entity. With two
independent transmission paths, packet duplication therefore increases reliability and reduces latency and is especially
beneficial for URLLC services.
NOTE: PDCP control PDUs are not duplicated and always submitted to the primary RLC entity.
When duplication is activated, the original PDCP PDU and the corresponding duplicate shall not be transmitted on the
same carrier. The two different logical channels can either belong to the same MAC entity (CA) or to different ones
(DC). In the former case, logical channel mapping restrictions are used in MAC to ensure that the logical channel
carrying the original PDCP PDUs and logical channel carrying the corresponding duplicates are not sent on the same
carrier.
When an RLC entity acknowledges the transmission of a PDCP PDU, the PDCP entity shall indicate to the other RLC
entity to discard it; and when the secondary RLC entity reaches the maximum number of retransmissions for a PDCP
PDU, the UE informs the gNB but does not trigger RLF.
When configuring duplication for a DRB, RRC also sets the initial state (either activated or deactivated). After the
configuration, the state can then be dynamically controlled by means of a MAC control element and in DC, the UE
applies the MAC CE commands regardless of their origin (MCG or SCG). When duplication is deactivated for a DRB,
the secondary RLC entity is not re-established, the HARQ buffers are not flushed but the corresponding logical channel
mapping restrictions – if any – are lifted, and the transmitting PDCP entity should indicate to the secondary RLC entity
to discard all duplicated PDCP PDUs.
When duplication is configured for an SRB the state is always active and cannot be dynamically controlled.
When activating duplication for a DRB, NG-RAN should ensure that at least one serving cell is activated for each
logical channel of the DRB; and when the deactivation of SCells leaves no serving cells activated for a logical channel
of the DRB, NG-RAN should ensure that duplication is also deactivated.
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16.2 IMS Voice

16.2.1 Support for MMTEL IMS voice and video enhancements
16.2.1.1 RAN-assisted codec adaptation

RAN-assisted codec adaptation provides a means for the gNB to send codec adaptation indication with recommended
bit rate to assist the UE to select or adapt to a codec rate for MMTEL voice or MMTEL video. The RAN-assisted codec
adaptation mechanism supports the uplink/downlink bit rate increase or decrease. For a bearer associated with
configuration of MBR greater than GBR, the recommended uplink/downlink bit rate is within boundaries set by the
MBR and GBR of the concerned bearer.
For uplink or downlink bit rate adaptation, gNB may send a recommended bit rate to the UE to inform the UE on the
currently recommended transport bit rate on the local uplink or downlink, which the UE may use in combination with
other information to adapt the bit rate, e.g. the UE may send a bit rate request to the peer UE via application layer
messages as specified in 3GPP TS 26.114 [24], which the peer UE may use in combination with other information to
adapt the codec bit rate. The recommended bit rate is in kbps at the physical layer at the time when the decision is made.
The recommended bit rate for UL and DL is conveyed as a MAC Control Element (CE) from the gNB to the UE as
outlined in Figure 16.2.1.1-1.
UE gNB
UL/DL bit rate recommendation
Figure 16.2.1.1-1: UL or DL bit rate recommendation
Based on the recommended bit rate from the gNB, a UE may initiate an end-to-end bit rate adaptation with its peer (UE
or MGW). The UE may also send a query message to its local gNB to check if a bit rate recommended by its peer can
be provided by the gNB. The UE is not expected to go beyond the recommended bit rate from the gNB.
The recommended bit rate query message is conveyed as a MAC CE from the UE to the gNB as outlined in Figure
16.2.1.1-2.
UE gNB
UL/DL bit rate recommendation query
Figure 16.2.1.1-2: UL or DL bit rate recommendation query
A prohibit timer can be configured per logical channel by the network to limit UEs sending frequent query MAC CEs.
Independent prohibit timers are used for each direction (uplink and downlink) to prohibit the UE from retransmitting
exactly the same query MAC CE to the gNB during the configured time.
16.2.1.2 MMTEL voice quality/coverage enhancements

The air interface delay budget can be relaxed to increase the robustness of the transmission for coverage enhancement.
Such relaxation may be achieved when a UE in good coverage indicates a preference to the gNB to reduce the local air
interface delay by sending a DelayBudgetReport message to decrease the DRX cycle length, so that the E2E delay and
jitter can be reduced. When the UE detects changes such as end-to-end MMTEL voice quality or local radio quality, the
UE may inform the gNB its new preference by sending DelayBudgetReport messages with updated contents.
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16.3 Network Slicing

16.3.1 General Principles and Requirements
In this sub clause, the general principles and requirements related to the realization of network slicing in the NG-RAN
for NR connected to 5GC and for E-UTRA connected to 5GC are given.
A network slice always consists of a RAN part and a CN part. The support of network slicing relies on the principle that
traffic for different slices is handled by different PDU sessions. Network can realise the different network slices by
scheduling and also by providing different L1/L2 configurations. The UE provides assistance information for network
slice selection in RRC message, if it has been provided by NAS. While the network can support large number of slices
(hundreds), the UE need not support more than 8 slices simultaneously.
Network Slicing is a concept to allow differentiated treatment depending on each customer requirements. With slicing,
it is possible for Mobile Network Operators (MNO) to consider customers as belonging to different tenant types with
each having different service requirements that govern in terms of what slice types each tenant is eligible to use based
on Service Level Agreement (SLA) and subscriptions.
NSSAI (Network Slice Selection Assistance Information) includes one or more S-NSSAIs (Single NSSAI). Each
network slice is uniquely identified by a S-NSSAI, as defined in 3GPP TS 23.501 [3].
The following key principles apply for support of Network Slicing in NG-RAN:
RAN awareness of slices
- NG-RAN supports a differentiated handling of traffic for different network slices which have been pre-
configured. How NG-RAN supports the slice enabling in terms of NG-RAN functions (i.e. the set of network
functions that comprise each slice) is implementation dependent.
Selection of RAN part of the network slice
- NG-RAN supports the selection of the RAN part of the network slice, by assistance information provided by the
UE or the 5GC which unambiguously identifies one or more of the pre-configured network slices in the PLMN.
Resource management between slices
- NG-RAN supports policy enforcement between slices as per service level agreements. It should be possible for a
single NG-RAN node to support multiple slices. The NG-RAN should be free to apply the best RRM policy for
the SLA in place to each supported slice.
Support of QoS
- NG-RAN supports QoS differentiation within a slice.
RAN selection of CN entity
- For initial attach, the UE may provide assistance information to support the selection of an AMF. If available,
NG-RAN uses this information for routing the initial NAS to an AMF. If the NG-RAN is unable to select an
AMF using this information or the UE does not provide any such information the NG-RAN sends the NAS
signalling to one of the default AMFs.
- For subsequent accesses, the UE provides a Temp ID, which is assigned to the UE by the 5GC, to enable the NG-
RAN to route the NAS message to the appropriate AMF as long as the Temp ID is valid (NG-RAN is aware of
and can reach the AMF which is associated with the Temp ID). Otherwise, the methods for initial attach applies.
Resource isolation between slices
- the NG-RAN supports resource isolation between slices. NG-RAN resource isolation may be achieved by means
of RRM policies and protection mechanisms that should avoid that shortage of shared resources in one slice
breaks the service level agreement for another slice. It should be possible to fully dedicate NG-RAN resources to
a certain slice. How NG-RAN supports resource isolation is implementation dependent.
Slice Availability
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- Some slices may be available only in part of the network. The NG-RAN supported S-NSSAI(s) is configured by
OAM. Awareness in the NG-RAN of the slices supported in the cells of its neighbours may be beneficial for
inter-frequency mobility in connected mode. It is assumed that the slice availability does not change within the
UE's registration area.
- The NG-RAN and the 5GC are responsible to handle a service request for a slice that may or may not be
available in a given area. Admission or rejection of access to a slice may depend by factors such as support for
the slice, availability of resources, support of the requested service by NG-RAN.
Support for UE associating with multiple network slices simultaneously
- In case a UE is associated with multiple slices simultaneously, only one signalling connection is maintained and
for intra-frequency cell reselection, the UE always tries to camp on the best cell. For inter-frequency cell
reselection, dedicated priorities can be used to control the frequency on which the UE camps.
Granularity of slice awareness
- Slice awareness in NG-RAN is introduced at PDU session level, by indicating the S-NSSAI corresponding to the
PDU Session, in all signalling containing PDU session resource information.
Validation of the UE rights to access a network slice
- It is the responsibility of the 5GC to validate that the UE has the rights to access a network slice. Prior to
receiving the Initial Context Setup Request message, the NG-RAN may be allowed to apply some
provisional/local policies, based on awareness of which slice the UE is requesting access to. During the initial
context setup, the NG-RAN is informed of the slice for which resources are being requested.
16.3.2 CN Instance and NW Slice Selection
16.3.2.1 CN-RAN interaction and internal RAN aspects

NG-RAN selects AMF based on a Temp ID or assistance information provided by the UE over RRC. The mechanisms
used in the RRC protocol are described in the next sub clause.
Table 16.3.2.1-1 AMF selection based on Temp ID and assistance information
Temp ID Assistance Info AMF Selection by NG-RAN

not available or invalid not available One of the default AMFs is selected (NOTE)
not available or invalid present Selects AMF which supports UE requested slices
Selects AMF per CN identity information in Temp
valid not available, or present
ID
NOTE: The set of default AMFs is configured in the NG-RAN nodes via OAM.
16.3.2.2 Radio Interface Aspects

The UE conveys the slice assistance information over RRC in the explicitly indicated format by the upper layer. The
slice assistance information consists of one or a list of S-NSSAIs, where an S-NSSAI is a combination of:
- mandatory SST (Slice/Service Type) field, which identifies the slice type and consists of 8 bits (with range is 0-
255);
- optional SD (Slice Differentiator) field, which differentiates among Slices with same SST field and consist of 24
bits.
The list shall convey at most 8 S-NSSAI.
16.3.3 Resource Isolation and Management

Resource isolation enables specialized customization and avoids one slice affecting another slice.
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Release 15 78 3GPP TS 38.300 V15.3.1 (2018-10)
Hardware/software resource isolation is up to implementation. Each slice may be assigned with either shared or
dedicated radio resource up to RRM implementation and SLA.
To enable differentiated handling of traffic for network slices with different SLA:
- NG-RAN is configured with a set of different configurations for different network slices by OAM;
- To select the appropriate configuration for the traffic for each network slice, NG-RAN receives relevant
information indicating which of the configurations applies for this specific network slice.
16.3.4 Signalling Aspects
16.3.4.1 General
In this sub clause, signalling flows related to the realization of network slicing in the NG-RAN are given.
16.3.4.2 CN Instance and NW Slice Selection

RAN selects the AMF based on a Temp ID or assistance information provided by the UE.
UE gNB AMF1 AMF2
NG SETUP REQUEST
(List of SNSSAI(s) supported per TA)
NG SETUP RESPONSE
(List of SNSSAI(s) supported per PLMN)
NG SETUP REQUEST
(List of SNSSAI(s) supported per TA)
NG SETUP RESPONSE
(List of SNSSAI(s) supported per PLMN)
RRC Connection Setup
(Temp ID or Assistance Info)
identify slice policies

identify CN node supporting concerned slice(s)
or select default CN node
INITIAL UE MESSAGE
validate UE rights
and slice(s)availability
Figure 16.3.4.2-1: AMF instance selection
In case a Temp ID is not available, the NG-RAN uses the assistance information provided by the UE at RRC connection
establishment to select the appropriate AMF instance (the information is provided after MSG3 of the random access
procedure). If such information is also not available, the NG-RAN routes the UE to one of the configured default AMF
instances.
The NG-RAN uses the list of supported S-NSSAI(s) previously received in the NG Setup Response message when
selecting the AMF with the assistance information. This list may be updated via the AMF Configuration Update
message.
16.3.4.3 UE Context Handling

Following the initial access, the establishment of the RRC connection and the selection of the correct AMF, the AMF
establishes the complete UE context by sending the Initial Context Setup Request message to the NG-RAN over NG-C.
The message contains the Allowed NSSAI and additionally contains the S-NSSAI(s) as part of the PDU session(s)
resource description when present in the message. Upon successful establishment of the UE context and allocation of
PDU session resources to the relevant NW slice(s) when present, the NG-RAN responds with the Initial Context Setup
Response message.
3GPP
Release 15 79 3GPP TS 38.300 V15.3.1 (2018-10)
UE gNB AMF1 AMF2
Preconditions: RRC Connection Establishment, CN Instance Selection, Provisional policies may be applied
INITIAL CONTEXT SETUP
(Allowed NSSAI, one SNSSAI per PDU Session when present)
UE slice access confirmed

policies updated if needed
INITIAL CONTEXT SETUP RESPONSE
Figure 16.3.4.3-1: Network Slice-aware Initial Context Setup
16.3.4.4 PDU Session Handling

When new PDU sessions need to be established or existing ones modified or released, the 5GC requests the NG-RAN
to allocate/release resources relative to the relevant PDU sessions by means of the PDU Session Resource
Setup/Modify/Release procedures over NG-C. One S-NSSAI is added per PDU session, so NG-RAN is enabled to
apply policies at PDU session level according to the SLA represented by the network slice, while still being able to
apply (for example) differentiated QoS within the slice.
NG-RAN confirms the establishment/modification/release of the resources for a PDU session associated to a certain
NW slice by responding with the PDU Session Resource Setup/Modify/Release Response message over the NG-C
interface.
UE gNB AMF1 AMF2
Precondition: UE Context is established in NG-RAN
PDU SESSION RESOURCE SETUP/MODIFY/RELEASE
(one SNSSAI per PDU Session)
NG-RAN verifies PDU session

resources can be established for
given NW Slice (in case of
establishment/modification)
PDU SESSION RESOURCE SETUP/MODIFY/RELEASE RESPONSE
Figure 16.3.4.4-1: Network Slice-aware PDU Session Resource Setup/Modify/Release
16.3.4.5 Mobility
To make mobility slice-aware in case of Network Slicing, S-NSSAI is introduced as part of the PDU session
information that is transferred during mobility signalling. This enables slice-aware admission and congestion control.
Both NG and Xn handovers are allowed regardless of the slice support of the target NG-RAN node i.e. even if the target
NG-RAN node does not support the same slices as the source NG-RAN node. An example for the case of active mode
mobility across different Registration Areas, is shown in Figure 16.3.4.5-1 for the case of 5GC involved handover and
in Figure 16.3.4.5-2 for the case of Xn based handover.
3GPP
Release 15 80 3GPP TS 38.300 V15.3.1 (2018-10)
UE gNB1 gNB2 AMF

in Registration Area 1 in Registration Area 2
UE in RRC_CONNECTED with
n slices configured at NAS level
and with m PDU sessions active
Handover preparation
to gNB2 triggered
HANDOVER REQUIRED
HANDOVER REQUEST
(Allowed NSSAI, one SNSSAI per PDU Session)
HANDOVER REQUEST ACKNOWLEDGE
(List of accepted and failed PDU Sessions)
HANDOVER COMMAND
Handover Execution
Registration Area Update (alignment of slices supported in the new RA between UE and Network)
Figure 16.3.4.5-1: CN based mobility across different Registration Areas
UE gNB1 gNB2 AMF

in Registration Area 1 in Registration Area 2
UE in RRC_CONNECTED with
n slices configured at NAS level
and with m PDU sessions active
at AS level
Slice Aware Handover

Preparation from gNB1
to gNB2 triggered
HANDOVER REQUEST
(one SNSSAI per PDU Session)
Slice Aware
Admission Control
HANDOVER REQUEST ACKNOWLEDGE
(List of admitted and non admitted PDU Sessions)
Handover Execution
PATH SWITCH REQUEST
(List of accepted and failed PDU Sessions)
PATH SWITCH REQUEST ACKNOWLEDGE
(List of switched and released PDU Sessions,
Allowed NSSAI)
Registration Area Update (alignment of slices supported in the new RA between UE and Network)
Figure 16.3.4.5-2: Xn based mobility across different Registration Areas
16.4 Public Warning System

NR connected to 5GC provides support for public warning systems (PWS) through means of system information
broadcast capability. NR is responsible for scheduling and broadcasting of the warning messages as well as for paging
the UE to provide indication that the warning message is being broadcast:
- Earthquake and Tsunami Warning System: ETWS is a public warning system developed to meet the regulatory
requirements for warning notifications related to earthquake and/or tsunami events (see 3GPP TS 22.168 [14]).
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Release 15 81 3GPP TS 38.300 V15.3.1 (2018-10)
ETWS warning notifications can either be a primary notification (short notification) or secondary notification
(providing detailed information).
- Commercial Mobile Alert System: CMAS is a public warning system developed for the delivery of multiple,
concurrent warning notifications (see 3GPP TS 22.268 [15]).
Different SIBs are defined for ETWS primary notification, ETWS secondary notification and CMAS notification.
Paging is used to inform UEs about ETWS indication and CMAS indication. UE monitors ETWS/CMAS indication in
its own paging occasion for RRC_IDLE and RRC_INACTIVE. UE monitors ETWS/CMAS indication in any paging
occasion for RRC Connected. Paging indicating ETWS/CMAS notification triggers acquisition of system information
(without delaying until the next modification period).
16.5 Emergency Services

16.5.1 Overview
NG-RAN provides support for Emergency Services either directly or through fallback mechanisms towards E-UTRA.
The support of Emergency Services is broadcast in system information (see 3GPP TS 36.331 [12]).
16.5.2 IMS Emergency call

An IMS Emergency call support indication is provided to inform the UE that emergency bearer services are supported.
In normal service state the UE is informed if the PLMN supports emergency services through an Emergency Service
Support indicator in the Attach and TAU procedures (see 3GPP TS 23.501 [3]). In limited service state and for
emergency services other than eCall over IMS, a UE is informed about if a cell supports emergency services over NG-
RAN from a broadcast indication (ims-Emergency). The broadcast indicator is set to "support" if any AMF in a non-
shared environment or at least one of the PLMN's in a shared environment supports IMS emergency bearer services.
16.5.3 eCall over IMS

NG-RAN broadcast an indication to indicate support of eCall over IMS (eCallOverIMS). UEs that are in limited service
state need to consider both eCallOverIMS and ims-Emergency to determine if eCall over IMS is possible.
16.5.4 Fallback
RAT fallback towards E-UTRA connected to 5GC is performed when NR does not support Emergency Services and
System fallback towards E-UTRA connected to EPS is performed when 5GC does not support Emergency Services.
Depending on factors such as CN interface availability, network configuration and radio conditions, the fallback
procedure results in either CONNECTED state mobility (handover procedure) or IDLE state mobility (redirection) - see
3GPP TS 23.501 [3] and 3GPP TS 36.331 [12].
3GPP
Release 15 82 3GPP TS 38.300 V15.3.1 (2018-10)
Annex A (informative):
QoS Handling in RAN
A.1 PDU Session Establishment

The following figure shows an example message flow for a PDU session establishment. NAS procedures details
between gNB and 5GC can be found in 3GPP TS 23.501 [3], TS 23.502 [22] and 3GPP TS 38.413 [26].
UE gNB UPF AMF
1. PDU Session Establishment Request
2. PDU SESSION RESOURCE SETUP REQUEST
4. DRB(s) established
6. PDU SESSION RESOURCE SETUP RESPONSE
7. UP Data (QFI) 7. UP Data (QFI)
Figure A.1-1: PDU session establishment
1. UE requests a PDU session establishment to AMF.
2. AMF sends a PDU SESSION RESOURCE SETUP REQUEST message to gNB, which includes the NAS
message to be sent to the UE with NAS QoS related information.
3. gNB sends an RRCReconfiguration message to UE including the configuration of at least one DRB and the NAS
message received at Step 2.
4. UE establishes the DRB(s) for the new PDU session and creates the QFI to DRB mapping rules.
5. UE sends an RRCReconfiguration Complete message to gNB.
6. gNB sends a PDU SESSION RESOURCE SETUP RESPONSE message to AMF.
7. User Plane Data can then be exchanged between UE and gNB over DRB(s) according to the mapping rules and
between UPF and gNB over the tunnel for the PDU session. QFI marking over Uu is optional (see subclause 12)
while QFI marking over NG-U is always present.
A.2 New QoS Flow with RQoS

The following figure shows an example message flow when RQoS is used for a new QoS flow. In this example, the
gNB receives from UPF a first downlink packet associated with a QFI for which the QoS parameters are known from
the PDU session establishment, but for which there is no association to any DRB yet in AS.
3GPP
Release 15 83 3GPP TS 38.300 V15.3.1 (2018-10)
UE gNB UPF AMF
0. PDU Session and DRB(s) established
1. DL Packet (QFI)
2. Use an existing DRB

for the new QoS flow
3. DL Packet (QFI, RDI)
4. Mapping rules updated
Figure A.2-1: DL data with new QFI sent over existing DRB
0. PDU session and DRB(s) have been already established.
1. gNB receives a downlink packet with a new QFI from UPF.
2. gNB decides to send the new QoS flow over an existing DRB.
NOTE: If gNB decides to send it over a new DRB, it needs to establish the DRB first.
3. gNB sends the DL packet over the selected DRB with the new QFI and RDI set in the SDAP header.
4. UE identifies the QFI and RDI in the received DL packet and the DRB on which the packet was received. The
AS mapping rules are then updated accordingly.
5. User Plane Data for the new QoS flow can then be exchanged between UE and gNB over the DRB according to
the updated mapping rules and between UPF and gNB over the tunnel for the PDU session.
A.3 New QoS Flow with Explicit RRC Signalling

The following figure shows an example message flow when explicit RRC signalling is used for a new QoS flow. In this
example, the gNB receives from UPF a first downlink packet associated with a QFI, for which the QoS parameters are
already known from the PDU session establishment, but for which there is no association to any DRB yet in AS.
UE gNB UPF AMF
1. DL Packet (QFI)
2. Map new QoS flow to existing DRB
Figure A.3-1: DL data with new QFI sent over existing DRB
1. gNB receives a downlink packet with a new QFI from UPF.
3GPP
Release 15 84 3GPP TS 38.300 V15.3.1 (2018-10)
2. gNB decides to send the new QoS flow over an existing DRB using explicit RRC signalling for updating the AS
mapping rules.
3. gNB sends an RRCReconfiguration message to UE with the new QFI to DRB mapping rule. gNB may also
decide to update the DRB configuration if required to meet the QoS requirements for the new QoS Flow.
4. UE updates the QFI to DRB mapping rules and configuration (if received).
5. UE sends an RRCReconfigurationComplete message to gNB.
A.4 New QoS Flow with Explicit NAS Signalling

The following figure shows an example message flow when the gNB receives a new QoS flow establishment request
from CN that involves NAS explicit signalling. The QoS flow establishment request provides the gNB and UE with the
QoS parameters for the QFI. In this example, the gNB decides to establish a new DRB (rather than re-use an existing
one) for this QoS flow and provides the mapping rule over RRC signalling. NAS procedures details between gNB and
5GC can be found in 3GPP TS 23.501 [3], 3GPP TS 23.502 [22] and 3GPP TS 38.413 [26].
UE gNB UPF AMF
1. PDU SESSION RESOURCE MODIFY REQUEST (QFI)
2. Set up new DRB
4. New DRB established
6. PDU SESSION RESOURCE MODIFY RESPONSE
Figure A.4-1: DL data with new QoS Flow ID sent over new DRB with explicit signalling
0. PDU session DRB(s) have been already established.
1. gNB receives a PDU SESSION RESOURCE MODIFY REQUEST message from AMF for a new QoS flow.
2. If gNB cannot find an existing DRB to map this new QoS flow, it decides to establish a new DRB.
3. gNB sends an RRCReconfiguration message to UE including the DRB configuration with the new QFI to DRB
mapping rule and the NAS message received at step 1.
4. UE establishes the DRB for the new QoS flow associated with this PDU session and updates the mapping rules.
6. gNB sends a PDU SESSION RESOURCE MODIFY RESPONSE message to AMF.
7. User Plane Data can then be exchanged between UE and gNB over DRB(s) according to the mapping rules and
between UPF and gNB over the tunnel for the PDU session.
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Release 15 85 3GPP TS 38.300 V15.3.1 (2018-10)
A.5 Release of QoS Flow with Explicit Signalling

The following figure shows an example message flow when the gNB receives a request to release a QoS flow from CN
that involves explicit NAS signalling. NAS procedures details between gNB and 5GC can be found in 3GPP TS 23.501
[3], 3GPP TS 23.502 [22] and 3GPP TS 38.413 [26].
UE gNB UPF AMF
1. PDU SESSION RESOURCE MODIFY REQUEST
2. Release QoS flow mapping
6. PDU SESSION RESOURCE MODIFY RESPONSE
Figure A.5-1: Release of QoS Flow with Explicit Signalling
1. gNB receives a PDU SESSION RESOURCE MODIFY REQUEST message from AMF to release a QoS flow.
2. The gNB decides to release corresponding the QFI to DRB mapping rule. Since the DRB also carries other QoS
flows, the DRB is not released.
3. gNB sends an RRCReconfiguration message to UE to release the QFI to DRB mapping rule.
4. UE updates the AS QFI to DRB mapping rules to release this QFI to DRB mapping rule.
6. gNB sends a PDU SESSION RESOURCE MODIFY RESPONSE message to AMF.
A.6 UE Initiated UL QoS Flow

The following figure shows an example message flow when the UE AS receives an UL packet for a new QoS flow for
which a QFI to DRB mapping rule does not exist.
3GPP
Release 15 86 3GPP TS 38.300 V15.3.1 (2018-10)
UE gNB UPF AMF
1. UL packet (QFI)
2. Default DRB
if no mapping rules
3. User Data over DRB (QFI)
4. PDU Data Tunnel (QFI)
Figure A.6-1: UL packet with a new QoS flow for which a mapping does not exist in UE
0. PDU session and DRBs (including a default DRB) have been already established.
1. UE AS receives a packet with a new QFI from UE NAS.
2. UE uses the QFI of the packet to map it to a DRB. If there is no mapping of the QFI to a DRB in the AS
mapping rules for this PDU session, then the packet is assigned to the default DRB.
3. UE sends the UL packet on the default DRB. The UE includes the QFI in the SDAP header.
4. gNB sends UL packets to UPF and includes the corresponding QFI.
5. If gNB wants to use a new DRB for this QoS flow, it sets up one. It can also choose to move the QoS flow to an
existing DRB using RQoS or RRC signalling (see subclauses A.2 and A.3).
3GPP
Release 15 87 3GPP TS 38.300 V15.3.1 (2018-10)
Annex B (informative):
Deployment Scenarios
B.1 Supplementary Uplink

To improve UL coverage for high frequency scenarios, SUL can be configured (see 3GPP TS 38.101 [18]). With SUL,
the UE is configured with 2 ULs for one DL of the same cell as depicted on Figure B.1-1 below:
Figure B.1-1: Example of Supplementary Uplink
B.2 Multiple SSBs in a carrier

For a UE in RRC_CONNECTED, the BWPs configured by a serving cell may overlap in the frequency domain with the
BWPs configured for other UEs by other cells within a carrier. Multiple SSBs may also be transmitted within the
frequency span of a carrier used by the serving cell. However, from the UE perspective, each serving cell is associated
to at most a single SSB. Figure B.2-1 below describes a scenario with multiple SSBs in a carrier, identifying two
different cells (NCGI = 5, associated to SSB1, and NCGI = 6, associated to SSB3) with overlapping BWPs, and where
RRM measurements can be configured to be performed by the UE on each of the available SSBs, i.e. SSB1, SSB2,
SSB3 and SSB4.
3GPP
Release 15 88 3GPP TS 38.300 V15.3.1 (2018-10)
Figure B.2-1: Example of multiple SSBs in a carrier
3GPP
Release 15 89 3GPP TS 38.300 V15.3.1 (2018-10)
Annex C (informative):
I-RNTI Reference Profiles
The I-RNTI provides the new NG-RAN node a reference to the UE context in the old NG-RAN node. How the new
NG-RAN node is able to resolve the old NG-RAN ID from the I-RNTI is a matter of proper configuration in the old and
new NG-RAN node.
Table C-1 below provides some typical partitioning of an 40bit I-RNTI, assuming the following content:
- UE specific reference: reference to the UE context within a logical NG-RAN node;
- NG-RAN node address index: information to identify the NG-RAN node that has allocated the UE specific
part;
NOTE: RAT-specific information may be introduced in a later release, containing information to identify the
RAT of the cell within which the UE was sent to RRC_INACTIVE. This version of the specification only
supports intra-RAT mobility of UEs in RRC_INACTIVE.
- PLMN-specific information: information supporting network sharing deployments, providing an index to the
PLMN ID part of the Global NG-RAN node identifier.
Table C-1: I-RNTI reference profiles
Profile ID UE specific NG-RAN node RAT-specific PLMN-specific Comment

reference address index information information
(e.g., gNB ID, eNB
ID)
1 20 bits 20 bits N/A N/A NG-RAN node address
(~1 million values) (~1 million values) index may be very well
represented by the LSBs
of the gNB ID.
This profile may be
applicable for any NG-
RAN RAT.
2 20 bits 16 bits N/A 4 bits (Max 16 Max number of PLMN
(~1 million values) (65.000 nodes) PLMNs) IDs broadcast in NR is
12.
This profile may be
RAN RAT.
3 24 bits 16 bits N/A N/A Reduced node address
(16 million values) (65.000 nodes) to maximise addressable
UE contexts.
This profile may be
RAN RAT.
3GPP
Release 15 90 3GPP TS 38.300 V15.3.1 (2018-10)
Annex D (informative):
Change history
3GPP
Release 15 91 3GPP TS 38.300 V15.3.1 (2018-10)
Change history
Date Meeting TDoc CR Rev Cat Subject/Comment New
Version
2017.03 RAN2 R2-1702627 - - - First version. 0.1.0
97bis
2017.04 RAN2 R2-1703825 - - - Editorial Updates: 0.1.1
97bis - Stage 2 Details of ARQ operation marked as FFS
- Placeholder for CU/DU Split overview added
- Outdated editor notes removed
- Protocol Architecture updated
- NG-RAN terminology aligned
- Header placement in the L2 overview put as FFS
2017.04 RAN2 R2-1703952 - - - Editorial Updates: 0.1.2
97bis - description of measurements for mobility clarified
- some cell reselection details put FFS
- outdated references removed
2017.04 RAN2 R2-1704296 - - - Editorial updates: 0.1.3
98 - NG interfaces naming aligned to RAN3
- 5GC used consistently
- Statement on lossless delivery removed from 9.3.2
- Overview of PDCP function for CP detailed
2017.05 RAN2 R2-1704298 - - - Agreements of RAN2#97bis captured: 0.2.0
98 - overview of duplication operation
- RLC modes for DRBs and SRBs
- Condition for lossless mobility
- L2 handling at handover
- RLF triggers
- Measurement details (filtering, beams, quality…)
- QoS flow handling in DC
- RACH procedure message usage for on-demand SI
- Random Access Procedure triggers
- DRX baseline
2017.05 RAN2 R2-1704452 - - - RAN3 agreements captured (R3-171329) 0.2.1
98 5G logo and specification title updated
2017.05 RAN2 R2-1705994 - - - RLC failure for RLF generalized. 0.3.0
98
2017.06 RAN2 R2-1706204 - - - Agreements of RAN2#98 captured: 0.3.1
98 - Duplication Control
- RLC mode for SRB0 and System Info
- Provision of Assistance Info for AMF Selection
- QoS Handling from R2-1706011
- Beam measurements combining
- MSG1 request details for on-demand SI
- RNA and RLAU terminology introduced for INACTIVE
- Skipping of SPS resources when nothing to transmit
- Duplication detection at RLC only for AM
- Provision of access category by NAS for connection control
Editorial updates in addition:
- QFI used consistently
2017.06 RAN2 R2-1706205 - - - RAN3 agreements captured (R3-171932) 0.4.0
98
2017.06 RAN2 R2-1706206 - - - Corrections: 0.4.1
98 - provision of AC in INACTIVE is FFS
- agreements on measurement moved from 9.2.1.1 to 9.2.4
2017.06 NR R2-1706540 - - - Editorial corrections 0.5.0
Adhoc 2 Agreement on RLC Segmentation captured
Duplicated statement in 9.2.1.1. and 7.3 removed
2017.08 RAN2 R2-1707748 - - - Agreements of RAN2 NR June Adhoc captured: 0.6.0
99 - TP on Security in R2-1707466
- TP on Measurement Model in R2-1707480
- NCR Acronym addition
- Duplication control details
- UE capabilities and band combinations
- Disabling of PDPC reordering as PDCP function
- On-Demand SI and RACH details
- Measurement Report Characteristics
- Mapping rules update handling
- UE Capabilities and Band Combination handling
In addition:
- ARQ overview aligned with Stage 3 agreements
- L2 Data Flow aligned with Stage 3 agreements
- References updated
RAN3 TP incorporated (R3-172610)
2017.08 RAN2 R2-1709937 - - - Agreements of RAN2 99 captured: 0.7.0
99 - QoS update in R2-1709830
- Description of the RRC states in R2-1707690
3GPP
Release 15 92 3GPP TS 38.300 V15.3.1 (2018-10)
- Correction on RRC_INACTIVE state in R2-1709833

- LCP description in R2-1709829
- Baseline HO procedure update in R2-1709850 with corrections
- UE identities in R2-1709868
- Radio Link Failure handling in R2-1709870
- RAN3 agreements on roaming restrictions in R3-172655
- Integrity protection configurable on a per DRB basis
- Various Acronyms added
- Slicing details
- PWS basic principles
- UE capability restrictions
3GPP
Release 15 93 3GPP TS 38.300 V15.3.1 (2018-10)
2017.09 RAN 77 RP-171730 - - - Provided for information to RAN 1.0.0

2017.10 RAN2 R2-1710693 - - - Editorial Updates and Corrections: 1.0.1
99bis - inter RAT mobility in 9.3.2 restructured
- SON promoted to top subclause level (as it is not a vertical)
- Obsolete subclauses 14 and 15 removed.
- Description of paging in idle aligned with 23.501
- I-RNTI suggested for INACTIVE
- Missing agreement from RAN2 99 on INACTIVE captured
2017.10 RAN2 R2-1711936 - - - Clean version 1.1.0
99bis
2017.10 RAN2 R2-1711972 - - - Corrections: 1.1.1
99bis - Container for mobility in 9.2.3.2.1
- "HO" changed to "handover" for consistency
Agreements from RAN2 99bis captured:
- URLLC text in R2-1710253
- Clarification on RRC States in R2-1710074
- Resume ID terminology in R2-1711778
- Slicing clarifications in R2-1712034
- Usage of SRB0 and SRB1 in INACTIVE
- Prioritisation of RACH resources for handover
- SPS configuration per SCell in CA
- Enabling / Disabling IP on DRB via handover only
- First agreements on Supplementary Uplink
- Maximum supported data rate calculation
RAN3 agreements:
- R3-173639 on Rapporteur updates to RAN3-related sections
- R3-174162 on AMF discovery by NG-RAN
- R3-174187 on RAN paging failure handling in RRC_INACTIVE
- R3-174188 on Unreachability in RAN Inactive State
- R3-174225 on Inter System Handover
- R3-174230 on RRC Inactive Assistant Information
RAN agreement:
- RP-172113 on UE categories.
100
2017.11 RAN2 R2-1712355 - - - Editorial Clean Up: 1.2.1
100 - Editor's Notes & relevant FFS moved to R2-17112357
- Protocol stack figures for NG interface updated
- Dual Connectivity changed to Multi-RAT connectivity
- Details about SI handling added to tackle RMSI
- Access Control updated and reference to 22.261 added
- DC specific details removed (37.340 is used instead)
- Notes numbered wherever required
2017.12 RAN2 R2-174079 - - - Agreements from RAN2 100 captured: 1.2.2
100 - QoS update in R2-1714230
- Updates to stage 2 QoS flow in R2-1712687
- BWP Description in R2-172360
- Transition from INACTIVE to CONNECTED in R2-173937
- SUL overview
- Removal of DC related definitions
- BWP agreements
- SPS terminology changed to CS to cover both types
RAN3 agreements in R3-175011
RAN1 agreements in R1-1721728
100
2017.12 RP-78 RP-172496 - - - Provided for approval to RAN 2.0.0
2017/12 RP-78 Upgraded to Rel-15 (MCC) 15.0.0
2018/03 RP-79 RP-180440 0009 1 F Miscellaneous Corrections & Additions 15.1.0
2018/06 RP-80 RP-181214 0010 1 F Clarification on NR Carrier Aggregation 15.2.0
RP-80 RP-181214 0011 2 F Miscellaneous Corrections 15.2.0
RP-80 RP-181214 0012 1 F Paging Mechanisms 15.2.0
RP-80 RP-181214 0013 2 F Security Update 15.2.0
RP-80 RP-181214 0014 1 F UE Identities 15.2.0
RP-80 RP-181214 0015 1 F Corrections on deactivation of PUCCH SCell 15.2.0
RP-80 RP-181214 0022 2 F Clarification on count wrap around 15.2.0
RP-80 RP-181214 0024 1 F Slicing assistance information 15.2.0
RP-80 RP-181214 0025 - F Physical Layer Update 15.2.0
RP-80 RP-181214 0026 1 F Default DRB & QoS Remapping 15.2.0
RP-80 RP-181214 0027 1 F SSB Clarifications 15.2.0
RP-80 RP-181217 0029 2 B CR on U-plane handling for handover 15.2.0
RP-80 RP-181217 0030 2 B CR on message content in inter-RAT handover 15.2.0
RP-80 RP-181215 0032 1 F Clarifications on (de)activation of Duplication and (de)activation of 15.2.0
SCells
RP-80 RP-181216 0033 2 B Introduce ANR in NR 15.2.0
3GPP
Release 15 94 3GPP TS 38.300 V15.3.1 (2018-10)
RP-80 RP-181215 0036 1 F Corrections to Unified Access Control 15.2.0

RP-80 RP-181215 0040 - F Correction to TS 38.300 on Open Issues for Handover 15.2.0
RP-80 RP-181216 0041 - B Baseline CR for June version of RAN2 TS 38.300 (RAN3 part) 15.2.0
covering agreements of RAN3#100
RP-80 RP-181216 0042 - B Delay budget report and MAC CE adaptation for NR for TS 38.300 15.2.0
2018/09 RP-81 RP-181941 0035 3 B ECN support in NR 15.3.0
RP-81 RP-181938 0043 2 D Miscellaneous Clean Up and Corrections 15.3.0
RP-81 RP-181938 0045 1 F Mobility Call Flows 15.3.0
RP-81 RP-181938 0046 2 F QoS Handling Corrections 15.3.0
RP-81 RP-181938 0047 4 F MDBV Enforcement 15.3.0
RP-81 RP-181939 0050 1 F Completion of description of power saving 15.3.0
RP-81 RP-181940 0051 1 F Correction to description of bandwidth adaptation 15.3.0
RP-81 RP-181939 0053 1 F Clarification of PDCP functionality 15.3.0
RP-81 RP-181939 0062 2 F Clarification on number of CC for NR CA 15.3.0
RP-81 RP-181938 0070 1 F Beam management, failure detection and recovery 15.3.0
RP-81 RP-181941 0071 - F System Information Handling in TS38.300 15.3.0
RP-81 RP-181941 0072 1 F Correction on RRC Resume procedure 15.3.0
RP-81 RP-181940 0077 - F CR on RACH configuration during HO 15.3.0
RP-81 RP-181941 0078 1 F Missing Call Flows 15.3.0
RP-81 RP-181942 0079 1 F CN type indication for Redirection from NR to E-UTRA 15.3.0
RP-81 RP-181942 0080 1 F QoS Flow to DRB Remapping during Handover 15.3.0
RP-81 RP-181941 0081 1 F NR Corrections (38.300 Baseline CR covering RAN3-101 15.3.0
agreements)
2018/10 - - - - - Changes of CR0035 rev 3 were undone since this CR was 15.3.1
actually not approved by RAN #81 as it was not submitted to
RAN #81
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9.3.2 From 5GC to EPC........................................................................................................................................58

16.3.2.1 CN-RAN interaction and internal RAN aspects....................................................................................77

Annex A (informative): QoS Handling in RAN..................................................................................82

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.

- For a specific reference, subsequent revisions do not apply.

[1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications".

[4] 3GPP TS 38.401: "NG-RAN; Architecture description".

[5] 3GPP TS 33.501: "Security Architecture and Procedures for 5G System".

[9] 3GPP TS 37.324: "NR; Service Data Protocol (SDAP) specification".

[15] 3GPP TS 22.268: "Public Warning System (PWS) Requirements".

[16] 3GPP TS 38.410: "NG-RAN; NG general aspects and principles".

[17] 3GPP TS 38.420: "NG-RAN; Xn general aspects and principles".

[21] 3GPP TS 37.340: "NR; Multi-connectivity; Overall description; Stage-2".

[22] 3GPP TS 23.502: "Procedures for the 5G System; Stage 2".

[23] IETF RFC 4960 (2007-09): "Stream Control Transmission Protocol".

[26] 3GPP TS 38.413: "NG-RAN; NG Application Protocol (NGAP)".

3 Abbreviations and Definitions

5GC 5G Core Network

PCI Physical Cell Identifier

Cell-Defining SSB: an SSB with an RMSI associated.

MSG1: preamble transmission of the random access procedure.

MSG3: first scheduled transmission of the random access procedure.

NG-C: control plane interface between NG-RAN and 5GC.

NG-U: user plane interface between NG-RAN and 5GC.

NG-RAN node: either a gNB or an ng-eNB.

Xn: network interface between NG-RAN nodes.

4 Overall Architecture and Functional Split

4.1 Overall Architecture

The NG-RAN architecture is illustrated in Figure 4.1-1 below.

Figure 4.1-1: Overall Architecture

4.2 Functional Split

- IP header compression, encryption and integrity protection of data;

- Routing of User Plane data towards UPF(s);

- Routing of Control Plane information towards AMF;

- Connection setup and release;

- Scheduling and transmission of paging messages;

- Measurement and measurement reporting configuration for mobility and scheduling;

- Transport level packet marking in the uplink;

- Support of Network Slicing;

- QoS Flow management and mapping to data radio bearers;

- Support of UEs in RRC_INACTIVE state;

- Distribution function for NAS messages;

- Radio access network sharing;

- Tight interworking between NR and E-UTRA.

- NAS signalling termination;

- NAS signalling security;

- Inter CN node signalling for mobility between 3GPP access networks;

- Idle mode UE Reachability (including control and execution of paging retransmission);

- Registration Area management;

- Support of intra-system and inter-system mobility;

- Access Authorization including check of roaming rights;