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1、3GPP TS 38.331 V15.0.0 (2017-12) Technical Specification 3rd Generation Partnership Project; Technical Specification Group Radio Access Network NR Radio Resource Control (RRC) protocol specification (Release 15) The present document has been developed within the 3rd Generation Partnershi

2、p 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 Organiza

3、tional 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. 3GPP TS 38.331 V15.0.0 (2017-12) 157 Release 15 3GPP P

4、ostal address 3GPP support office address 650 Route des Lucioles - Sophia Antipolis Valbonne - FRANCE Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16 Internet http://www.3gpp.org Copyright Notification No part may be reproduced except as authorized by written permission. The copyright an

5、d the foregoing restriction extend to reproduction in all media. ? 2017, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TSDSI, TTA, TTC). All rights reserved. UMTS? is a Trade Mark of ETSI registered for the benefit of its members 3GPP? is a Trade Mark of ETSI registered for the benef

6、it of its Members and of the 3GPP Organizational Partners LTE? is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners GSM? and the GSM logo are registered and owned by the GSM Association Contents Foreword 8 1 Scope 9 2 References 9 3 Definit

7、ions, symbols and abbreviations 10 3.1 Definitions 10 3.2 Abbreviations 10 4 General 11 4.1 Introduction 11 4.2 Architecture 12 4.2.1 UE states and state transitions including inter RAT 12 4.2.2 Signalling radio bearers 14 4.3 Services 14 4.3.1 Services provided to upper layers 14 4.3.2 Se

8、rvices expected from lower layers 14 4.4 Functions 14 5 Procedures 15 5.1 General 15 5.1.1 Introduction 15 5.1.2 General requirements 16 5.2 System information 16 5.2.1 Introduction 16 5.2.2 System information acquisition 17 5.2.2.1 General UE requirements 17 5.2.2.2 SI validity and need t

9、o (re)-acquire SI 17 5.2.2.2.1 SI validity 18 5.2.2.2.2 SI change indication and PWS notification 18 5.2.2.3 Acquisition of System Information 18 5.2.2.3.1 Acquisition of MIB and SIB1 18 5.2.2.3.2 Acquisition of an SI message 19 5.2.2.3.3 Request for on demand system information 20 5.2.2.4 A

10、ctions upon receipt of SI message 20 5.2.2.4.1 Actions upon reception of the MasterInformationBlock 20 5.2.2.4.2 Actions upon reception of the SystemInformationBlockType1 21 5.2.2.4.3 Actions upon reception of SystemInformationBlockTypeX 21 5.2.2.5 Essential system information missing 21 5.3 Co

11、nnection control 21 5.3.1 Introduction 22 5.3.2 Paging 22 5.3.3 RRC connection establishment 22 5.3.4 Initial security activation 22 5.3.5 RRC reconfiguration 22 5.3.5.1 General 22 5.3.5.2 Initiation 23 5.3.5.3 Reception of an RRCReconfiguration by the UE 23 5.3.5.4 Secondary cell group rel

12、ease 24 5.3.5.5 Cell Group configuration 24 5.3.5.5.1 General 24 5.3.5.5.2 Reconfiguration with sync 25 5.3.5.5.3 RLC bearer release 26 5.3.5.5.4 RLC bearer addition/modification 26 5.3.5.5.5 MAC entity configuration 27 5.3.5.5.6 RLF Timers & Constants configuration 27 5.3.5.5.7 SpCell Confi

13、guration 27 5.3.5.5.8 SCell Release 27 5.3.5.5.9 SCell Addition/Modification 27 5.3.5.6 Radio Bearer configuration 28 5.3.5.6.1 General 28 5.3.5.6.2 SRB release 28 5.3.5.6.3 SRB addition/ modification 28 5.3.5.6.4 DRB release 29 5.3.5.6.5 DRB addition/ modification 29 5.3.5.7 Full configura

14、tion 30 5.3.5.9 Reconfiguration failure 32 5.3.5.9.1 Integrity check failure 32 5.3.5.9.2 Inability to comply with RRCReconfiguration 32 5.3.5.9.3 T304 expiry (Reconfiguration with sync Failure) 32 5.3.6 Counter check 33 5.3.7 RRC connection re-establishment 33 5.3.8 RRC connection release 33

15、 5.3.9 RRC connection release requested by upper layers 33 5.3.10 Radio resource configuration 33 5.3.11 Radio link failure related actions 33 5.3.11.1 Detection of physical layer problems in RRC_CONNECTED 33 5.3.11.2 Recovery of physical layer problems 33 5.3.11.3 Detection of radio link fail

16、ure 34 5.3.12 UE actions upon leaving RRC_CONNECTED 34 5.3.13 UE actions upon PUCCH/SRS release request 35 5.4 Inter-RAT mobility 35 5.5 Measurements 35 5.5.1 Introduction 35 5.5.2 Measurement configuration 37 5.5.2.1 General 37 5.5.2.2 Measurement identity removal 38 5.5.2.3 Measurement id

17、entity addition/ modification 38 5.5.2.4 Measurement object removal 38 5.5.2.5 Measurement object addition/ modification 39 5.5.2.6 Reporting configuration removal 40 5.5.2.7 Reporting configuration addition/ modification 40 5.5.2.8 Quantity configuration 41 5.5.2.9 Measurement gap configurati

18、on 41 5.5.2.10 Reference signal measurement timing configuration 41 5.5.3 Performing measurements 41 5.5.3.1 General 41 5.5.3.2 Layer 3 filtering 43 5.5.3.3 Derivation of measurement results 43 5.5.4 Measurement report triggering 44 5.5.4.1 General 44 5.5.4.2 Event A1 (Serving becomes better

19、 than threshold) 46 5.5.4.3 Event A2 (Serving becomes worse than threshold) 46 5.5.4.4 Event A3 (Neighbour becomes offset better than PCell/ PSCell) 47 5.5.4.5 Event A4 (Neighbour becomes better than threshold) 47 5.5.4.6 Event A5 (PCell/ PSCell becomes worse than threshold1 and neighbour become

20、s better than threshold2) 48 5.5.4.7 Event A6 (Neighbour becomes offset better than SCell) 49 5.5.5 Measurement reporting 50 5.5.5.1 General 50 5.5.5.2 Reporting of beam measurement information 52 5.6 UE capabilities 52 5.6.1 UE capability transfer 52 5.7 Other 53 5.7.1 DL information transf

21、er 53 5.7.2 UL information transfer 53 5.7.3 SCG failure information 53 5.7.3.1 General 53 5.7.3.2 Initiation 54 5.7.3.3 Failure type determination 54 5.7.3.4 Setting the contents of FailureReportSCG-ToOtherRAT 55 6 Protocol data units, formats and parameters (ASN.1) 56 6.1 General 56 6.1.1

22、 Introduction 56 6.1.2 Need codes for optional downlink fields 56 6.2 RRC messages 57 6.2.1 General message structure 57 – NR-RRC-Definitions 57 – BCCH-BCH-Message 58 – DL-DCCH-Message 58 – UL-DCCH-Message 59 6.2.2 Message definitions 59 – MIB 59 – MeasurementReport 61 – RRCReconfiguratio

23、n 61 – RRCReconfigurationComplete 63 – SIB1 64 6.3 RRC information elements 65 – SetupRelease Information Element 65 6.3.1 System information blocks 65 6.3.2 Radio resource control information elements 65 – DRB-Identity 65 – BandwidthPart-Config 66 – CellGroupConfig 67 – CellIndexList 69

24、– ControlResourceIndex 70 – CrossCarrierSchedulingConfig 70 – CSI-MeasConfig 71 – FailureReportSCG-ToOtherRAT 78 – FrequencyInfoUL 79 – LogicalChannelConfig 80 – MAC-CellGroupConfig 81 – MeasConfig 86 – MeasId 87 – MeasIdToAddModList 88 – MeasObjectEUTRA 88 – MeasObjectId 88 – MeasObject

25、NR 89 – MeasObjectToAddModList 94 – MeasResults 95 – PDCCH-Config 99 – PDCP-Config 102 – PDSCH-Config 106 – PhysCellId 109 – PUCCH-Config 109 – PUSCH-Config 112 – Q-OffsetRange 115 – QuantityConfig 115 – RACH-ConfigCommon 116 – RACH-ConfigDedicated 118 – RadioBearerConfig 119 – ReportC

26、onfigId 121 – ReportConfigNR 121 – ReportConfigToAddModList 125 – RLC-Config 126 – RLF-TimersAndConstants 128 – SCellIndex 129 – SchedulingRequest-Config 129 – SchedulingRequestResource-Config 130 – SDAP-Config 130 – SecurityAlgorithmConfig 131 – ServCellIndex 132 – ServingCellConfigCommo

27、n 133 – ServingCellConfigDedicated 135 – SRB-Identity 137 – SPS-Config 137 – SRS-Config 138 – SubcarrierSpacing 140 6.3.3 UE capability information elements 141 – BandCombinationList 141 – RAT-Type 141 – UE-CapabilityRAT-ContainerList 142 – UE-MRDC-Capability 142 – UE-NR-Capability 143 6

28、.3.4 Other information elements 146 6.4 RRC multiplicity and type constraint values 146 – Multiplicity and type constraint definitions 146 7 Variables and constants 148 7.1 Timers 148 7.1.1 Timers (Informative) 148 7.1.2 Timer handling 148 7.2 Counters 148 7.3 Constants 148 7.4 UE variables

29、 149 – VarMeasConfig 149 – VarMeasReportList 149 8 Protocol data unit abstract syntax 151 8.1 General 151 8.2 Structure of encoded RRC messages 151 8.3 Basic production 151 8.4 Extension 152 8.5 Padding 152 9 Specified and default radio configurations 152 9.1 Specified configurations 152

30、9.2 Default radio configurations 153 9.2.1 SRB configurations 153 9.2.1.1 SRB1/SRB1S 153 9.2.1.2 SRB2/SRB2S 153 9.2.1.3 SRB3 154 9.2.2 SRB configurations 154 9.2.2.1 SRB1/SRB1S 154 9.2.2.2 SRB2/SRB2S 155 9.2.2.3 SRB3 155 10 Generic error handling 155 10.1 General 155 10.2 ASN.1 violation

31、or encoding error 155 10.3 Field set to a not comprehended value 156 10.4 Mandatory field missing 156 10.5 Not comprehended field 157 11 Radio information related interactions between network nodes 158 11.1 General 158 11.2 Inter-node RRC messages 158 11.2.1 General 158 11.2.2 Message defini

32、tions 158 – HandoverCommand 158 – HandoverPreparationInformation 159 – SCG-Config 160 – SCG-ConfigInfo 162 11.3 Inter-node RRC information element definitions 163 – CandidateCellInfoList 163 11.4 Inter-node RRC multiplicity and type constraint values 164 12 Processing delay requirements for

33、RRC procedures 165 Annex A (informative): Guidelines, mainly on use of ASN.1 165 A.1 Introduction 165 A.2 Procedural specification 166 A.2.1 General principles 166 A.2.2 More detailed aspects 166 A.3 PDU specification 166 A.3.1 General principles 166 A.3.1.1 ASN.1 sections 166 A.3.1.2 ASN.1

34、 identifier naming conventions 167 A.3.1.3 Text references using ASN.1 identifiers 169 A.3.2 High-level message structure 170 A.3.3 Message definition 171 A.3.4 Information elements 173 A.3.5 Fields with optional presence 174 A.3.6 Fields with conditional presence 175 A.3.7 Guidelines on use

35、of lists with elements of SEQUENCE type 176 A.3.8 Guidelines on use of parameterised SetupRelease type 176 A.4 Extension of the PDU specifications 177 A.4.1 General principles to ensure compatibility 177 A.4.2 Critical extension of messages and fields 177 A.4.3 Non-critical extension of message

36、s 180 A.4.3.1 General principles 180 A.4.3.2 Further guidelines 180 A.4.3.3 Typical example of evolution of IE with local extensions 181 A.4.3.4 Typical examples of non critical extension at the end of a message 183 A.4.3.5 Examples of non-critical extensions not placed at the default extension

37、 location 183 – ParentIE-WithEM 183 – ChildIE1-WithoutEM 184 – ChildIE2-WithoutEM 185 A.5 Guidelines regarding inclusion of transaction identifiers in RRC messages 186 A.6 Guidelines regarding use of need codes 186 Annex B (informative): Change history 188 Foreword This Technical Specifica

38、tion 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 wit

39、h 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 increment

40、ed 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. 1 Scope The present document specifies the Radio Resource Control protocol for the radio interface between

41、UE and NG-RAN. The scope of the present document also includes: - the radio related information transported in a transparent container between source gNB and target gNB upon inter gNB handover; - the radio related information transported in a transparent container between a source or target gNB a

42、nd another system upon inter RAT handover. - the radio related information transported in a transparent container between a source eNB and target gNB during E-UTRA-NR Dual Connectivity. 2 References The following documents contain provisions which, through reference in this text, constitute provi

43、sions of the present document. - References are either specific (identified by date of publication, edition number, version number, etc.) or nonspecific. - For a specific reference, subsequent revisions do not apply. - For a non-specific reference, the latest version applies. In the case of a re

44、ference 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 38.300: "NR; Overall description; Stage 2". [

45、3] 3GPP TS 38.321: "NR; Medium Access Control (MAC); Protocol specification". [4] 3GPP TS 38.322: "NR; Radio Link Control (RLC) protocol specification". [5] 3GPP TS 38.323: "NR; Packet Data Convergence Protocol (PDCP) protocol specification". [6] ITU-T Recommendation X.680 (07/2002) "Information

46、 Technology - Abstract Syntax Notation One (ASN.1): Specification of basic notation" (Same as the ISO/IEC International Standard 8824-1). [7] ITU-T Recommendation X.681 (07/2002) "Information Technology - Abstract Syntax Notation One (ASN.1): Information object specification" (Same as the ISO/IEC I

47、nternational Standard 8824-2). [8] ITU-T Recommendation X.691 (07/2002) "Information technology - ASN.1 encoding rules: Specification of Packed Encoding Rules (PER)" (Same as the ISO/IEC International Standard 8825-2). [9] 3GPP TS 38.215: "NR; Physical layer measurements". [10] 3GPP TS 36.331: "E

48、volved Universal Terrestrial Radio Access (E-UTRA) Radio Resource Control (RRC); Protocol Specification". [11] 3GPP TS 33.501: "Security Architecture and Procedures for 5G System". [12] 3GPP TS 38.104: “NR; Base Station (BS) radio transmission and reception”. 3 Definitions, symbols and abbreviati

49、ons 3.1 Definitions For the purposes of the present document, the terms and definitions given in 3GPP TR?21.905?[1] 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]. Field: The individual contents

50、of an information element are referred as fields. Floor: Mathematical function used to 'round down' i.e. to the nearest integer having a lower or equal value. Information element: A structural element containing a single or multiple fields is referred as information element. RLC bearer configurat

51、ion: The lower layer part of the radio bearer configuration comprising the RLC and logical channel configurations. Special Cell: For Dual Connectivity operation the term Special Cell refers to the PCell of the MCG or the PSCell of the SCG, otherwise the term Special Cell refers to the PCell. SRB1

52、S: The SCG part of MCG split SRB1 for EN-DC. SRB2S: The SCG part of MCG split SRB2 for EN-DC. 3.2 Abbreviations For the purposes of the present document, the abbreviations given in 3GPP TR?21.905 [1] and the following apply. An abbreviation defined in the present document takes precedence over th

53、e definition of the same abbreviation, if any, in 3GPP TR?21.905?[1]. ACK Acknowledgement AM Acknowledged Mode ARQ Automatic Repeat Request AS Access Stratum ASN.1 Abstract Syntax Notation One BLER Block Error Rate CCCH Common Control Channel CMAS Commercial Mobile Alert Service CP Control

54、Plane C-RNTI Cell RNTI DCCH Dedicated Control Channel DL Downlink DRB (user) Data Radio Bearer DRX Discontinuous Reception EHPLMN Equivalent Home Public Land Mobile Network EPC Evolved Packet Core EPS Evolved Packet System ETWS Earthquake and Tsunami Warning System E-UTRA Evolved Universal

55、 Terrestrial Radio Access E-UTRAN Evolved Universal Terrestrial Radio Access Network FDD Frequency Division Duplex FFS For Further Study GERAN GSM/EDGE Radio Access Network GNSS Global Navigation Satellite System GSM Global System for Mobile Communications HARQ Hybrid Automatic Repeat Request

56、 IE Information element IMEI International Mobile Equipment Identity IMSI International Mobile Subscriber Identity kB Kilobyte (1000 bytes) L1 Layer 1 L2 Layer 2 L3 Layer 3 MAC Medium Access Control MCG Master Cell Group MIB Master Information Block N/A Not Applicable PCell Primary Cell

57、 PDCP Packet Data Convergence Protocol PDU Protocol Data Unit PLMN Public Land Mobile Network PTAG Primary Timing Advance Group QoS Quality of Service RAN Radio Access Network RAT Radio Access Technology RLC Radio Link Control RNTI Radio Network Temporary Identifier ROHC RObust Header Compr

58、ession RPLMN Registered Public Land Mobile Network RRC Radio Resource Control SCell Secondary Cell SCG Secondary Cell Group SI System Information SIB System Information Block SpCell Special Cell SRB Signalling Radio Bearer STAG Secondary Timing Advance Group S-TMSI SAE Temporary Mobile Sta

59、tion Identifier TM Transparent Mode UE User Equipment UICC Universal Integrated Circuit Card UL Uplink UM Unacknowledged Mode UP User Plane UTC Coordinated Universal Time UTRAN Universal Terrestrial Radio Access Network In the ASN.1, lower case may be used for some (parts) of the above abbr

60、eviations e.g. c-RNTI. 4 General 4.1 Introduction This specification is organised as follows: - sub-clause 4.2 describes the RRC protocol model; - sub-clause 4.3 specifies the services provided to upper layers as well as the services expected from lower layers; - sub-clause 4.4 lists the RRC f

61、unctions; - clause 5 specifies RRC procedures, including UE state transitions; - clause 6 specifies the RRC messages in ASN.1; - clause 7 specifies the variables (including protocol timers and constants) and counters to be used by the UE; - clause 8 specifies the encoding of the RRC messages; -

62、 clause 9 specifies the specified and default radio configurations; - clause 10 specifies generic error handling; - clause 11 specifies the RRC messages transferred across network nodes; - clause 12 specifies the UE capability related constraints and performance requirements. 4.2 Architecture E

63、ditor's note The state model is still a subject for discussion.FFS 4.2.1 UE states and state transitions including inter RAT Editor’s Note: For EN_DC, only RRC_CONNECTED is applicable. A UE is either in RRC_CONNECTED state or in RRC_INACTIVE state when an RRC connection has been established. If

64、this is not the case, i.e. no RRC connection is established, the UE is in RRC_IDLE state. The RRC states can further be characterised as follows: - RRC_IDLE: - A UE specific DRX may be configured by upper layers; - UE controlled mobility based on network configuration; - The UE: - Monitors a Pa

65、ging channel; - Performs neighbouring cell measurements and cell (re-)selection; - Acquires system information. - RRC_INACTIVE: - A UE specific DRX may be configured by upper layers or by RRC layer; - UE controlled mobility based on network configuration; - The UE stores the AS context; - Th

66、e UE: - Monitors a Paging channel; - Performs neighbouring cell measurements and cell (re-)selection; - Performs RAN-based notification area updates when moving outside the RAN-based notification area; Editor’s Note: FFS Whether a RAN-based notification area is always configured or not. Editor’s Note: FFS UE behavior if it is decided that a RAN-based notification area is not always configured. - Acquires system information. - RRC_CONNECTED: - The UE stores the AS context. - Transfer of