3GPP TS 38.202 V15.6.

0 (2019-12)
Technical Specification

3rd Generation Partnership Project;

Technical Specification Group Radio Access Network;
NR;
Services provided by the physical layer
(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 38.202 V15.6.0 (2019-12)

Keywords
3GPP, New Radio, Layer 1

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Contents
Foreword............................................................................................................................................................. 4
1 Scope.........................................................................................................................................................5
2 References.................................................................................................................................................5
3 Definitions, symbols and abbreviations....................................................................................................5
3.1 Definitions........................................................................................................................................................... 5
3.2 Symbols............................................................................................................................................................... 5
3.3 Abbreviations.......................................................................................................................................................5
4 Services and functions of the physical layer.............................................................................................6
4.1 General.................................................................................................................................................................6
4.2 Overview of L1 functions....................................................................................................................................6
5 Model of physical layer of the UE............................................................................................................6
5.1 Uplink model....................................................................................................................................................... 7
5.1.1 Uplink shared channel....................................................................................................................................7
5.1.2 Random access channel................................................................................................................................. 7
5.2 Downlink model.................................................................................................................................................. 8
5.2.1 Downlink shared channel...............................................................................................................................8
5.2.2 Broadcast channel.......................................................................................................................................... 8
5.2.3 Paging channel............................................................................................................................................... 9
6 Simultaneous transmission and reception of physical channels and physical signals............................ 10
6.1 Uplink................................................................................................................................................................ 10
6.2 Downlink........................................................................................................................................................... 11
7 Measurements provided by the physical layer........................................................................................13
7.1 UE measurements.............................................................................................................................................. 13

Annex A (informative): Change history................................................................................................14

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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 is a technical specification of the services provided by the physical layer of 5G-NR to upper
layers.

2 References
The following documents contain provisions which, through reference in this text, constitute provisions of the present
document.

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

[2] 3GPP TS 38.201: "NR; Physical Layer – General Description"

[3] 3GPP TS 38.211: "NR; Physical channels and modulation"

[4] 3GPP TS 38.212: "NR; Multiplexing and channel coding"

[5] 3GPP TS 38.213: "NR; Physical layer procedures for control"

[6] 3GPP TS 38.214: "NR; Physical layer procedures for data"

[7] 3GPP TS 38.215: "NR; Physical layer measurements"

[8] 3GPP TS 38.306: "NR; User Equipment (UE) radio access capabilities"

3 Definitions, symbols and abbreviations

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].

3.2 Symbols
For the purposes of the present document, the following symbols apply:

3.3 Abbreviations
For the purposes of the present document, the abbreviations given in 3GPP TR 21.905 [1] and the following apply. An
abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any, in
3GPP TR 21.905 [1].

For the purposes of the present document, the following abbreviations apply:

ARQ Automatic Repeat Request

BCH Broadcast Channel
CA Carrier Aggregation
CRC Cyclic Redundancy Check
DC Dual Connectivity
DL Downlink
FEC Forward Error Correction
GF Grant-Free
MAC Medium Access Control
MIMO Multiple Input Multiple Output
PBCH Physical Broadcast Channel
PCH Paging Channel

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PDCCH Physical Downlink Control Channel

PDSCH Physical Downlink Shared Channel
PRACH Physical Random Access Channel
PUCCH Physical Uplink Control Channel
PUSCH Physical Uplink Shared Channel
RACH Random Access Channel
RF Radio Frequency
RNTI Radio Network Temporary Identifier
SCH Shared Channel
SI System Information
SPS Semi-Persistent Scheduling
SRS Sounding Reference Signal
TPC Transmit Power Control
UL Uplink

4 Services and functions of the physical layer

4.1 General
The physical layer offers data transport services to higher layers.

The access to these services is through the use of transport channels via the MAC sub-layer.

A transport block is defined as the data delivered by MAC layer to the physical layer and vice versa.

4.2 Overview of L1 functions

As mentioned in [2, TS 38.201], the physical layer is expected to perform the following functions to provide the data
transport service:

- Error detection on the transport channel and indication to higher layers;

- FEC encoding/decoding of the transport channel;

- Hybrid ARQ soft-combining;

- Rate matching of the coded transport channel to physical channels;

- Mapping of the coded transport channel onto physical channels;

- Power weighting of physical channels;

- Modulation and demodulation of physical channels;

- Frequency and time synchronisation;

- Radio characteristics measurements and indication to higher layers;

- Multiple Input Multiple Output (MIMO) antenna processing;

- RF processing.

L1 functions are modelled for each transport channel in subclause 5.

5 Model of physical layer of the UE

The 5G-NR physical-layer model captures those characteristics of the 5G-NR physical-layer that are relevant from the
point-of-view of higher layers. More specifically, the physical-layer model captures:

- The structure of higher-layer data being passed down to or up from the physical layer;

- The means by which higher layers can configure the physical layer;

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- The different indications (error indications, channel-quality indications, etc.) that are provided by the physical
layer to higher layers.

5.1 Uplink model

5.1.1 Uplink shared channel
The physical-layer model for Uplink Shared Channel transmission is described based on the corresponding PUSCH
physical-layer-processing chain, see Figure 5.1.1-1. Processing steps that are relevant for the physical-layer model, e.g.
in the sense that they are configurable by higher layers, are highlighted in blue.

- Higher-layer data passed to/from the physical layer

- CRC and transport-block-error indication

- FEC and rate matching

- Data modulation

- Mapping to physical resource

- Multi-antenna processing

- Support of L1 control and Hybrid-ARQ-related signalling

Figure 5.1.1-1: Physical-layer model for UL-SCH transmission

5.1.2 Random access channel

The physical-layer model for RACH transmission is characterized by a PRACH preamble format that consists of a
cyclic prefix, a preamble, and a guard time during which nothing is transmitted.

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5.2 Downlink model

5.2.1 Downlink shared channel
The physical-layer model for Downlink Shared Channel transmission is described based on the corresponding PDSCH
physical-layer-processing chain, see Figure 5.2.1-1. Processing steps that are relevant for the physical-layer model, e.g.
in the sense that they are configurable by higher layers, are highlighted in blue.

- Higher-layer data passed to/from the physical layer;

- CRC and transport-block-error indication;

- FEC and rate matching;

- Data modulation;

- Mapping to physical resource;

- Multi-antenna processing;

- Support of L1 control and Hybrid-ARQ-related signalling.

Figure 5.2.1-1: Physical-layer model for DL-SCH transmission

5.2.2 Broadcast channel

The physical-layer model for BCH transmission is characterized by a fixed pre-defined transport format. There is one
transport block for the BCH every 80ms. The BCH physical-layer model is described based on the corresponding
PBCH physical-layer-processing chain, see Figure 5.2.2-1:

- Higher-layer data passed to/from the physical layer;

- CRC and transport-block-error indication;

- FEC and rate matching;

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- Data modulation;

- Mapping to physical resource;

- Multi-antenna processing.

Figure 5.2.2-1: Physical-layer model for BCH transmission

5.2.3 Paging channel

The physical-layer model for PCH transmission is described based on the corresponding physical-layer-processing
chain, see Figure 5.2.3-1. The PCH is carried on PDSCH. Processing steps that are relevant for the physical-layer model,
e.g. in the sense that they are configurable by higher layers, are highlighted in blue.

- Higher-layer data passed to/from the physical layer;

- CRC and transport-block-error indication;

- FEC and rate matching;

- Data modulation;

- Mapping to physical resource;

- Multi-antenna processing.

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Figure 5.2.3-1: Physical-layer model for PCH transmission

6 Simultaneous transmission and reception of physical

channels and physical signals
This clause describes the requirements from the UE to send and receive multiple physical channels and physical signals
simultaneously depending on the capabilities and service requirements. The following notation is used between both the
uplink and downlink subclauses below.

- p is the number of uplink carriers configured for the UE on which physical channels can be transmitted

- p' is the number of uplink carriers configured for the UE on which SRS can be transmitted

- q is the number of downlink carriers configured for the UE

- j is the number of cell groups configured for the UE.

- k is the number of PUCCH groups configured for the UE.

6.1 Uplink
The tables 6.1-1 and 6.1-2 describe the possible combinations of physical channels and SRS that can be sent in
simultaneously in the uplink by one UE. Table 6.1-1 introduces notation for a "Transmission Type" which represents a
physical channel or sounding reference signal, and any associated transport channel. Table 6.1-2 describes the
combinations of these "Transmission Types" which are supported by the UE depending on capabilities [8, TS 38.306],
and enumerates how many of each can be transmitted simultaneously.

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Table 6.1-1: Uplink "Transmission Types"

"Transmission Physical Channel or SRS Associated Comment

Type" Transport Channel
A PRACH RACH Note 1
B PUCCH N/A
C PUSCH UL-SCH Note 2
D SRS N/A
Note 1: RACH corresponds to contention based.
Note 2: UCI on PUSCH without UL-SCH is possible.

Table 6.1-2: Uplink "Transmission Type" combinations

Supported Combinations Comment

jxA Note 1
kxB Note 2
pxC Note 3, Note 4
p' x D Note 3, Note 5
×A+ ×B Note 6
×A+ ×C Note 6
× A + ' ×D Note 6
×B+ ×C Note 8
× B + ' ×D Note 7
× C + ' ×D Note 7
Note 1: The number of cell groups j in the supported combination is subject to UE capability.
Note 2: The number of PUCCH groups k in the supported combination is subject to UE capability.
Note 3: The number of carriers p, and p' in the supported combinations are subject to UE capability.
Note 4: In the case there is one SUL carrier, then p-1 would be supported.
Note 5: UE may be configured with p' but may also have capability to simultaneously sound less than this number.
Note 6: Simultaneous PRACH with PUCCH (or PUSCH or SRS) is supported only in the case of inter-band CA, with
, , , and ' ' depending on the configuration, and subject to UE capability for parallel
transmission.
Note 7: Simultaneous SRS with PUCCH (or PUSCH) is supported only in the case of inter-band CA, with , ,
and ' ' depending on the configuration, and subject to UE capability for parallel transmission.
Note 8: Simultaneous PUCCH and PUSCH(s) is supported only in the case that multiple PUCCH groups are configured
and the respective PUCCH and PUSCH(s) are transmitted in the different PUCCH groups, with < and .
and are subject to UE capability for supported number of PUCCH groups and UL carriers, respectively.
and depend on configuration.

6.2 Downlink
The tables 6.2-1, 6.2-2 describe the possible combinations of physical channels that can be received simultaneously in
the downlink by one UE. Table 6.2-1 introduces notation for a "Reception Type" which represents a physical channel
and any associated transport channel. Table 6.2-2 describes the combinations of these "Reception Types" which are
supported by the UE depending on capabilities [8, TS 38.306], and enumerates how many of each can be received
simultaneously. The UE shall be able to receive all TBs according to the indication on PDCCH. Any subset of the
combinations specified in table 6.2-2 is also supported.

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Table 6.2-1: Downlink "Reception Types"

"Reception Physical Channel(s) Monitored Associated Comment

Type" RNTI Transport Channel
A PBCH N/A BCH
B PDCCH+PDSCH SI-RNTI DL-SCH Note 1
C0 PDCCH P-RNTI N/A Note 1, Note 2
C1 PDCCH+PDSCH P-RNTI PCH Note 1
D0 PDCCH+PDSCH RA-RNTI or Temporary C- DL-SCH Note 3
RNTI
D1 PDCCH+PDSCH C-RNTI, CS-RNTI, MCS-C- DL-SCH
RNTI
D2 PDCCH C-RNTI, CS-RNTI, MCS-C- DL-SCH
RNTI
E PDCCH C-RNTI N/A Note 4
F0 PDCCH Temporary C-RNTI UL-SCH Note 3
F1 PDCCH C-RNTI, CS-RNTI, MCS-C- UL-SCH
RNTI
G PDCCH SFI-RNTI N/A

H PDCCH INT-RNTI N/A

J0 PDCCH TPC-PUSCH-RNTI N/A

J1 PDCCH TPC-PUCCH-RNTI N/A

J2 PDCCH TPC-SRS-RNTI N/A

K PDCCH SP-CSI-RNTI N/A
Note 1: These are received from PCell only.
Note 2: In some cases UE is only required to monitor the short message within the DCI for P-RNTI.
Note 3: These are received from PCell or PSCell.
Note 4: This corresponds to PDCCH-ordered PRACH.

Table 6.2-2: Downlink "Reception Type" combinations

Supported Combinations Comment

PCell PSCell SCell
1. RRC_IDLE
A + (B and/or C1 and/or D0) + F0 Note 1

2. RRC_INACTIVE
A + (B and/or C1 and/or D0) + F0 Note 1

3. RRC_CONNECTED
A + C0 + (B and/or (D0 or A + (D0 or (D1+m*D2)) + E + D1 + m*D2 + E + n*F1 + G + Note 2, Note 3,
(D1+m*D2))) + E + F0 + n*F1 + G F0 + n*F1 + G + H + J0 + J1 + H Note 4
+ H + J0 + J1 + J2 + K J2 + K + J0 + J1 + J2 + K

Note 1: UE is not required to decode more than two PDSCH simultaneously, and decoding prioritization when more
than two are received is up to UE implementation.
Note 2: For PCell, UE is not required to decode SI-RNTI PDSCH simultaneously with C-RNTI PDSCH, unless in FR1.
Note 3: Supported combinations are subject to UE capabilities for dual connectivity, carrier aggregation, receiving of
group TPC commands, pre-emption indication and dynamic SFI monitoring.
Note 4: The values of m ≥ 0 and n≥ 0 in the supported combinations are subject to the UE capability.

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7 Measurements provided by the physical layer

7.1 UE measurements
The list and detailed definition of UE measurements is provided in [7, TS 38.215].

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Annex A (informative):
Change history

Change history
Date Meeting TDoc CR Rev Cat Subject/Comment New
version
2017-05 RAN1#89 R1-1712013 Draft skeleton 0.0.0
2017-07 AH_1706 R1-1712013 Update for agreements from meetings up to RAN1 NR AH2 0.0.1
2017-08 RAN1#90 R1-1713371 Update for agreements from meetings up to RAN1 NR AH2 0.0.2
2017-08 RAN1#90 R1-1714655 Update with change marks removed for RAN1 #90 endorsement 0.1.0
2017-09 RAN1#90 R1-1715320 Updated with minor editorial changes for review after RAN1 #90 0.1.1
2017-09 RAN#77 RP-172006 For information to plenary 1.0.0
2017-10 RAN1#90b R1-1719229 Updated for agreements from meetings up to RAN1 #90b 1.0.1
2017-11 RAN1#91 R1-1721047 Updated after email discussion 1.1.0
2017-12 RAN1#91 R1-1721340 Updated to reflect agreements from RAN1 #91 1.2.0
2017-12 RAN#78 RP-172630 Endorsed version for approval by plenary 2.0.0
2017-12 RAN#78 Approved by plenary – Rel-15 spec under change control 15.0.0
2018-03 RAN#79 RP-180200 0001 - F CR capturing the Jan18 ad-hoc and RAN1#92 meeting 15.1.0
agreements
2018-06 RAN#80 RP-181172 0002 1 F CR to 38.202 capturing the RAN1#92bis and RAN1#93 meeting 15.2.0
agreements
2018-06 RAN#80 RP-181257 0003 - B CR to 38.202 capturing the RAN1#92bis and RAN1#93 meeting 15.2.0
agreements related to URLLC
2018-09 RAN#81 RP-181789 0004 - B CR to 38.202 capturing RAN1#94 meeting agreements 15.3.0
2018-12 RAN#82 RP-182523 0005 - F CR to 38.202 capturing RAN1#95 meeting agreements 15.4.0
2019-06 RAN#84 RP-191277 0006 - F Correction to simultaneous reception of DL Channels 15.5.0
2019-06 RAN#84 RP-191277 0007 - F CR on inclusion of TC-RNTI for monitored RNTI for UL-SCH and 15.5.0
inclusion of monitoring PDCCH ordering PRACH on SCell
2019-12 RAN#86 RP-192623 0008 1 F CR on simultaneous transmission of UL channels 15.6.0

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