ETSI TS 138 306 V15.2.0 (2018-09)

5G; NR; User Equipment (UE) radio access capabilities (3GPP TS 38.306 version 15.2.0 Release 15)

ETSI TS 138 306 V15.2.0 (2018-09)

Name:ETSI TS 138 306 V15.2.0 (2018-09)   Standard name:5G; NR; User Equipment (UE) radio access capabilities (3GPP TS 38.306 version 15.2.0 Release 15)
Standard number:ETSI TS 138 306 V15.2.0 (2018-09)   language:English language
Release Date:17-Sep-2018   technical committee:3GPP RAN 2 - Radio layer 2 specification and Radio layer 3 RR specification
Drafting committee:   ICS number:
ETSI TS 138 306 V15.2.0 (2018-09)






TECHNICAL SPECIFICATION
5G;
NR;
User Equipment (UE) radio access capabilities
(3GPP TS 38.306 version 15.2.0 Release 15)

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3GPP TS 38.306 version 15.2.0 Release 15 1 ETSI TS 138 306 V15.2.0 (2018-09)



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3GPP TS 38.306 version 15.2.0 Release 15 2 ETSI TS 138 306 V15.2.0 (2018-09)
Intellectual Property Rights
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pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
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Foreword
This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP).
The present document may refer to technical specifications or reports using their 3GPP identities, UMTS identities or
GSM identities. These should be interpreted as being references to the corresponding ETSI deliverables.
The cross reference between GSM, UMTS, 3GPP and ETSI identities can be found under
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Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 3 ETSI TS 138 306 V15.2.0 (2018-09)
Contents
Intellectual Property Rights . 2
Foreword . 2
Modal verbs terminology . 2
Foreword . 4
1 Scope . 5
2 References . 5
3 Definitions, symbols and abbreviations . 5
3.1 Definitions . 5
3.2 Symbols . 6
3.3 Abbreviations . 6
4 UE radio access capability parameters . 6
4.1 Supported max data rate . 6
4.1.1 General . 6
4.1.2 Max data rate without ue-CategoryDL and ue-CategoryUL . 6
4.1.3 Max data rate with ue-CategoryDL and ue-CategoryUL . 7
4.1.4 Total layer 2 buffer size . 7
4.2 UE Capability Parameters . 8
4.2.1 Introduction. 8
4.2.2 General parameters . 8
4.2.3 SDAP Parameters . 8
4.2.4 PDCP Parameters . 9
4.2.5 RLC parameters . 9
4.2.6 MAC parameters . 10
4.2.7 Physical layer parameters . 11
4.2.8 RF parameters . 21
4.2.9 Measurement parameters . 27
4.2.10 Inter-RAT parameters . 27
4.2.10.1 eutraFDD . 27
4.2.10.2 eutraTDD . 27
4.2.11 Neighbour cell SI acquisition parameters . 28
4.2.11.1 eutra-CGI-Reporting . 28
4.2.11.2 nr-CGI-Reporting . 28
4.2.12 MMTEL parameters . 28
- delayBudgetReporting . 28
- recommendedBitRate . 28
- recommendedBitRateQuery . 28
5 Optional features without UE radio access capability parameters . 28
6 Conditionally mandatory features . 28
7 Capability coordination in MR-DC operation . 28
Annex A (informative): Change history . 29
History . 30

ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 4 ETSI TS 138 306 V15.2.0 (2018-09)
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.
ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 5 ETSI TS 138 306 V15.2.0 (2018-09)
1 Scope
The present document defines the NR UE Radio Access Capability Parameters.
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 38.101-1: "NR; User Equipment (UE) radio transmission and reception Part 1: Range 1
Standalone".
[3] 3GPP TS 38.101-2: "NR; User Equipment (UE) radio transmission and reception Part 2: Range 2
Standalone".
[4] 3GPP TS 38.101-3: "NR; User Equipment (UE) radio transmission and reception Part 3: Range 1
and Range 2 Interworking operation with other radios".
[5] 3GPP TS 38.133: "NR; Requirements for support of radio resource management".
[6] 3GPP TS 38.211: "NR; Physical channels and modulation".
[7] 3GPP TS 37.340: "Evolved Universal Terrestrial Radio Access (E-UTRA) and NR Multi-
connectivity".
[8] 3GPP TS 38.321: "NR; Medium Access Control (MAC) protocol specification".
[9] 3GPP TS 38.331: "NR; Radio Resource Control (RRC) protocol specification".
[10] 3GPP TS 38.212: "NR; Multiplexing and channel coding".
[11] 3GPP TS 38.213: "NR; Physical layer procedures for control".
[12] 3GPP TS 38.214: "NR; Physical layer procedures for data".
[13] 3GPP TS 38.215: "NR; Physical layer measurements".
[14] 3GPP TS 36.101: "Evolved Universal Terrestrial Radio Access (E-UTRA) radio transmission and
reception".
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].
Fallback band combination: A band combination that would result from another band combination by releasing at
least one SCell or uplink configuration of SCell.
ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 6 ETSI TS 138 306 V15.2.0 (2018-09)
3.2 Symbols
For the purposes of the present document, the following symbols apply:
MaxDLDataRate: Maximum DL data rate
MaxDLDataRate_MN: Maximum DL data rate in the MN
MaxDLDataRate_SN: Maximum DL data rate in the SN
MaxULDataRate: Maximum UL data rate
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].
DL Downlink
MAC Medium Access Control
MCG Master Cell Group
MN Master Node
MR-DC Multi-RAT Dual Connectivity
PDCP Packet Data Convergence Protocol
RLC Radio Link Control
RTT Round Trip Time
SCG Secondary Cell Group
SDAP Service Data Adaptation Protocol
SN Secondary Node
UL Uplink
4 UE radio access capability parameters
4.1 Supported max data rate
4.1.1 General
The DL and UL max data rate supported by the UE is calculated by band or band combinations supported by the UE. A
UE supporting MR-DC shall support the calculated DL and UL max data rate defined in 4.1.2. A non MR-DC capable
UE supporting a max data rate lower than the calculated max data rate indicates the DL and UL max data rate by the UE
category as defined in 4.1.3.
4.1.2 Max data rate without ue-CategoryDL and ue-CategoryUL
For NR, the approximate data rate for a given number of aggregated carriers in a band or band combination is computed
as follows.
J BW ( j),μ
 
N ⋅12
−6 ( j) ( j) ( j) PRB ( j)
 
data rate (in Mbps) = 10 ⋅ v ⋅Q ⋅ f ⋅ R ⋅ ⋅()1− OH
m max
 μ
 Layers 
T
j=1 s
 

wherein
J is the number of aggregated component carriers in a band or band combination
R = 948/1024
max
For the j-th CC,
( j)
v is the maximum number of layers
Layers
( j)
Q is the maximum modulation order
m
( j)
f is the scaling factor
The scaling factor can take the values 1, 0.8, 0.75, and 0.4.
( j)
f is signalled per band and per band per band combination
μ
is the numerology (as defined in TS 38.211 [6])
ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 7 ETSI TS 138 306 V15.2.0 (2018-09)
−3
10
μ
μ T =
s
μ
T
μ
s
14 ⋅ 2
is the average OFDM symbol duration in a subframe for numerology , i.e. . Note
that normal cyclic prefix is assumed.
BW()j ,μ
()j
N μ
BW
PRB
is the maximum RB allocation in bandwidth with numerology , as defined in 5.3
()j
BW
TS 38.101-1 [2] and 5.3 TS 38.101-2 [3], where is the UE supported maximum bandwidth in
the given band or band combination.
( j)
OH is the overhead and takes the following values
[0.14], for frequency range FR1 for DL
[0.18], for frequency range FR2 for DL
[0.08], for frequency range FR1 for UL
[0.10], for frequency range FR2 for UL
NOTE: Only one of the UL or SUL carriers (the one with the higher data rate) is counted for a cell operating
SUL.
The approximate maximum data rate can be computed as the maximum of the approximate data rates computed using
the above formula for each of the supported band or band combinations.
For EUTRA in case of MR-DC, the approximate data rate for a given number of aggregated carriers in a band or band
combination is computed as follows.

−3
Data rate (in Mbps) = 10 ∗�

=1
wherein
J is the number of aggregated EUTRA component carriers in MR-DC band combination
is the total maximum number of DL-SCH transport block bits received within a 1ms TTI for j-th CC, as
derived from TS36.213 [22] based on the UE supported maximum MIMO layers for the j-th carrier, and based
on the modulation order and number of PRBs based on the bandwidth of the j-th carrier.
The approximate maximum data rate can be computed as the maximum of the approximate data rates computed using
the above formula for each of the supported band or band combinations.
For MR-DC, the approximate maximum data rate is computed as the sum of the approximate maximum data rates from
NR and EUTRA.
4.1.3 Max data rate with ue-CategoryDL and ue-CategoryUL
4.1.4 Total layer 2 buffer size
The total layer 2 buffer size is defined as the sum of the number of bytes that the UE is capable of storing in the RLC
transmission windows and RLC reception and reordering windows for all radio bearers, and for UEs capable of split
bearers, also in PDCP reordering windows for all split radio bearers.
The required total layer 2 buffer size for split bearer operation in MR-DC is calculated by MaxULDataRate * RLC RTT
+ MaxDLDataRate_SN * RLC RTT + MaxDLDataRate_MN * (RLC RTT + Xn delay + Queuing in SN). Otherwise it is
calculated by MaxDLDataRate * RLC RTT + MaxULDataRate * RLC RTT. The required total layer 2 buffer size is
determined as the maximum total layer 2 buffer size of all the calculated ones for each band combination in the
supported MR-DC or NR band combinations.
wherein
Xn delay + Queuing in SN = 25ms
RLC RTT for EUTRA cell group = 75ms
RLC RTT for NR cell group is defined in Table 4.1.4-1
ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 8 ETSI TS 138 306 V15.2.0 (2018-09)
Table 4.1.4-1: RLC RTT per SCS
SCS (KHz) RLC RTT (ms)
15KHz TBD
30KHz TBD
60KHz TBD
120KHz TBD

Editor's Note: Both MN terminated split bearer and SN terminated split bearers are considered for L2 buffer size
calculation for MR-DC and discussion/decision on the detailed equation is needed.
4.2 UE Capability Parameters
4.2.1 Introduction
If the UE supports both FDD and TDD, set all fields in UE-MRDC-Capability and/or UE-NR-Capability, except fdd-
UE-MRDC-Capability, tdd-UE-MRDC-Capability, fdd-UE-NR-Capability, and tdd-UE-NR-Capability, to include the
values applicable for both FDD and TDD (i.e. functionality supported by both modes). If (some of) the UE capability
fields have a different value for FDD and TDD, the UE includes supported FDD/TDD dedicated additional functionality
by the field in fdd-UE-MRDC-Capability/tdd-UE-MRDC-Capability and/or fdd-UE-NR-Capability/tdd-UE-NR-
Capability. If the UE supports either FDD or TDD only, set all fields in UE-MRDC-Capability and/or UE-NR-
Capability, except fdd-UE-MRDC-Capability, tdd-UE-MRDC-Capability, fdd-UE-NR-Capability and tdd-UE-NR-
Capability, to include the values applicable for the FDD/TDD supported by the UE.
4.2.2 General parameters
Definitions for parameters Per M FDD-
TDD diff
splitSRB-WithOneUL-Path UE TBD Yes
Indicates whether the UE supports UL transmission via either MCG path or SCG path for
the split SRB as specified in TS 37.340 [7].
splitDRB-withUL-Both-MCG-SCG UE TBD Yes
Indicates whether the UE supports UL transmission via both MCG path and SCG path
for the split DRB as specified in TS 37.340 [7].
srb3 UE TBD Yes
Indicates whether the UE supports direct SRB between the SN and the UE as specified
in TS 37.340 [7].

4.2.3 SDAP Parameters
Editor's Note: Targeted for completion in June 2018.
ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 9 ETSI TS 138 306 V15.2.0 (2018-09)
4.2.4 PDCP Parameters
Definitions for parameters Per M FDD-
TDD diff
continueROHC-Context
UE No No
Defines whether the UE supports ROHC context continuation operation where the UE
does not reset the current ROHC context upon handover.
dataRateDRB-IP UE N/A No
Defines the upper bound of the aggregated data rate of user plane integrity protected
data in either UL or DL DRBs. Value 64kbps corresponds to the aggregated data rate of
user plane integrity protected data in either UL or DL cannot exceed 64kbps and so on.
It is not supported in this version and is targeted for completion in June 2018.

NOTE: It may be moved to NAS as part of the rest of the UE security capability
(CT1/SA3 confirmation is needed).
maxNumberROHC-ContextSessions UE No No
Defines the maximum number of header compression context sessions supported by the
UE, excluding context sessions that leave all headers uncompressed.
outOfOrderDelivery UE TBD No
Indicates whether UE supports Out of order delivery of data to upper layers by PDCP.
shortSN UE Yes No
Indicates whether the UE supports 12 bit length of PDCP sequence number.
supportedROHC-Profiles UE No No
Defines which ROHC profiles from the list below are supported by the UE:
- 0x0000 ROHC No compression (RFC 5795)
- 0x0001 ROHC RTP/UDP/IP (RFC 3095, RFC 4815)
- 0x0002 ROHC UDP/IP (RFC 3095, RFC 4815)
- 0x0003 ROHC ESP/IP (RFC 3095, RFC 4815)
- 0x0004 ROHC IP (RFC 3843, RFC 4815)
- 0x0006 ROHC TCP/IP (RFC 6846)
- 0x0101 ROHC RTP/UDP/IP (RFC 5225)
- 0x0102 ROHC UDP/IP (RFC 5225)
- 0x0103 ROHC ESP/IP (RFC 5225)
- 0x0104 ROHC IP (RFC 5225)
A UE that supports one or more of the listed ROHC profiles shall support ROHC profile
0x0000 ROHC uncompressed (RFC 5795).
uplinkOnlyROHC-Profiles UE No No
Indicates which ROHC profile(s) from the list below are supported in uplink-only ROHC
operation by the UE.
- 0x0006 ROHC TCP (RFC [6846])
A UE that supports uplink-only ROHC profile(s) shall support ROHC profile 0x0000
ROHC uncompressed (RFC 5795).

4.2.5 RLC parameters
Definitions for parameters Per M FDD-
TDD diff
am-WithShortSN UE Yes No
Indicates whether the UE supports RLC AM with 12 bit length of RLC sequence number.
um-WIthLongSN UE Yes No
Indicates whether the UE supports RLC UM with 12 bit length of RLC sequence number.
um-WithShortSN UE Yes No
Indicates whether the UE supports RLC UM with 6 bit length of RLC sequence number.

ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 10 ETSI TS 138 306 V15.2.0 (2018-09)
4.2.6 MAC parameters
Definitions for parameters Per M FDD-
TDD diff
lcp-Restriction
UE No No
Indicates whether UE supports the selection of logical channels for each UL grant based
on RRC configured restriction.
logicalChannelSR-DelayTimer UE TBD Yes
Indicates whether the UE supports the logicalChannelSR-DelayTimer as specified in TS
38.321 [8]
longDRX-Cycle UE Yes Yes
Indicates whether UE supports long DRX cycle as specified in TS 38.321 [8].
multipleConfiguredGrant UE No Yes
Indicates whether UE supports [16] configured grant configurations per cell group.
multipleSR-Configurations UE No Yes
Indicates whether the UE supports [8] SR configurations per cell group.
pucch-SpatialRelInfoMAC-CE UE No No
Indicates whether the UE supports indication of PUCCH-spatialrelationinfo by a MAC CE
per PUCCH resource.
shortDRX-Cycle UE Yes Yes
Indicates whether UE supports short DRX cycle as specified in TS 38.321 [8].
skipUplinkTxDynamic UE TBD Yes
Indicates whether the UE supports skipping of UL transmission for an uplink grant
indicated on PDCCH if no data is available for transmission as specified in TS 38.321
[8].

ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 11 ETSI TS 138 306 V15.2.0 (2018-09)
4.2.7 Physical layer parameters
ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 12 ETSI TS 138 306 V15.2.0 (2018-09)
Definitions for parameters Per M FDD FR1
TDD FR2
DIFF DIFF
absoluteTPC-Command UE Tbd No Yes
Indicates whether the UE supports absolute TPC command mode.
almostContiguousCP-OFDM-UL UE Tbd No Yes
Indicates whether the UE supports almost contiguous UL CP-OFDM transmissions.
bwp-SwitchingDelay UE Yes No No
Defines whether the UE supports BWP switching delay within type1 or type2 specified
in TS38.xxx
calibrationGapPA UE Tbd No No
Indicates whether the UE needs PA calibration gap to meet the UE Tx requirements. FR2
cbg-FlushIndication-DL UE Tbd No No
Indicates whether the UE supports CBG-based (re)transmission for DL using CBG
flushing out information (CBGFI) as specified in TS 38.214 [12].
cbg-TransIndication-DL UE Tbd No No
Indicates whether the UE supports CBG-based (re)transmission for DL using CBG
transmission information (CBGTI) as specified in TS 38.214 [12].
cbg-TransIndication-UL UE Tbd No No
Indicates whether the UE supports CBG-based (re)transmission for UL using CBG
transmission information (CBGTI) as specified in TS 38.214 [12].
channelBW-90mhz
CC No No No
Indicates whether the UE supports the channel bandwidth of 90 MHz. per
band
and
BC
configuredUL-GrantType1 UE Tbd No No
Indicates whether the UE supports Type 1 PUSCH transmissions with configured
grant as specified in TS 38.214 [12] with UL-TWG-repK value of one.
configuredUL-GrantType2 UE Tbd No No
Indicates whether the UE supports Type 2 PUSCH transmissions with configured
grant as specified in TS 38.214 [12] with UL-TWG-repK value of one.
crossCarrierSameNumerology UE Tbd Yes No
Indicates whether the UE supports cross carrier scheduling for the same numerology
in carrier aggregation with carrier indicator field (CIF).
crossCarrierDiffNumerology UE Tbd Yes No
Indicates whether the UE supports cross carrier scheduling for the different
numerologies in carrier aggregation with carrier indicator field (CIF).
csi-ReportWithoutCQI UE Tbd No Yes
Indicates whether UE supports CSI reporting with report quantity set to 'CRI/RI/i1' as
defined in Section 5.2.1.4 of TS 38.214 [12].
csi-ReportWithoutPMI
UE Tbd No Yes
Indicates whether UE supports CSI reporting with report quantity set to 'CRI/RI/CQI' as
defined in Section 5.2.1.4 of TS 38.214 [12].
csi-RS-CFRA-ForHO UE No No No
Indicates whether the UE can perform handover using a contention free random
access on PRACH resources that are associated with CSI-RS resources of the target
cell.
csi-RS-IM-ReceptionForFeedback CC Tbd No No
Indicates support of CSI-RS and CSI-IM reception for CSI feedback. This capability per
signalling comprises the following parameters: band
- maxNumberNZP-CSI-RS-PerCC indicates the maximum number of configured per
NZP-CSI-RS resources per CC; BC
- maxNumberPortsAcrossNZP-CSI-RS-PerCC indicates the maximum number
of ports across all configured NZP-CSI-RS resources per CC;
- maxNumberCS-IM-PerCC indicates the maximum number of configured CSI-
IM resources per CC;
- maxNumberSimultaneousCSI-RS-ActBWP-AllCC indicates the maximum
number of simultaneous CSI-RS resources in active BWPs across all CCs;
- totalNumberPortsSimultaneousCSI-RS-ActBWP-AllCC indicates the total
number of CSI-RS ports in simultaneous CSI-RS resources in active BWPs
across all CCs.
ETSI

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3GPP TS 38.306 version 15.2.0 Release 15 13 ETSI TS 138 306 V15.2.0 (2018-09)
csi-RS-MeasSCellWithoutSSB CC No No No
Defines whether the UE can perform CSI-RSRP and CSI-RSRQ measurement as per
specified in TS38.215 [13], where CSI-RS resource is configured for a cell that does band
not transmit SS/PBCH block. A UE that supports this feature shall also support per
scellWithoutSSB. BC
diffNumerologyAcrossPUCCH-Group
CC Tbd No No
Indicates whether different numerology across PUCCH
...

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