7.1.1 MAC

38.523-13GPP5GSPart 1: ProtocolRelease 17TSUser Equipment (UE) conformance specification

Tools: ARFCN - Frequency Conversion for 5G NR/LTE/UMTS/GSM

7.1.1.0 Default Pre-Test Conditions for all MAC test cases

The following pre-test conditions shall be applied in all MAC test cases until the test case explicitly over writes these conditions

System Simulator:

– The SS configures the test environment in accordance to the execution conditions in Table 7.1.1.0-1.

UE:

– None

Preamble:

– The SS performs the generic procedure in [4] to get UE in state RRC_CONNECTED in accordance to the execution conditions in Table 7.1.1.0-2 and using the message condition UE TEST LOOP MODE A to return one PDCP SDU per DL PDCP SDU.

Table 7.1.1.0-1: Test environment

Execution Condition	Cell configuration	System Information Combination
IF pc_NG_RAN_NR	NR Cell 1	NR: System information Combination NR-1
ELSE IF pc_EN_DC	E-UTRA Cell 1 is PCell, NR Cell 1 is PSCell	EUTRA: System information Combination 1 NR: N/A
ELSE IF pc_NGEN_DC	NG-RAN E-UTRA Cell 1 is PCell, NR Cell 1 is PSCell	EUTRA: System information Combination 1 NR: N/A
ELSE IF pc_NE_DC	NR Cell 1 is PCell, E-UTRA Cell 1 is PSCell	NR: System information Combination NR-1 E-UTRA: N/A

Table 7.1.1.0-2: Preamble parameters

Execution Condition	Multi-PDN / Multi-PDU Sessions Condition	Generic Procedure Parameters	Primary DRB used for Data testing
IF pc_NG_RAN_NR	FALSE	Connectivity(NR), Test loop function(On) One DRB	Default DRB of the first PDU session on NR Cell
IF pc_NG_RAN_NR	TRUE	Connectivity(NR), Test loop function(On) N DRBs (N ≥ 2)
ELSE IF pc_EN_DC	FALSE	Connectivity(EN-DC), DC bearer(One MN Terminated MCG bearer and One SN terminated SCG bearer), Test loop function(On)	SN Terminated SCG bearer unless explicitly specified in test case
ELSE IF pc_EN_DC	TRUE	Connectivity(EN-DC), DC bearer(Two MN Terminated MCG bearer and One SN terminated SCG bearer), Test loop function(On)
ELSE IF pc_NGEN_DC	FALSE	Connectivity(NGEN-DC), DC bearer(One MN Terminated MCG bearer and One SN terminated SCG bearer), Test loop function(On)	SN Terminated SCG bearer unless explicitly specified in test case
ELSE IF pc_NGEN_DC	TRUE	Connectivity(NGEN-DC), DC bearer(Two MN Terminated MCG bearer and One SN terminated SCG bearer), Test loop function(On)
ELSE IF pc_NE_DC	FALSE	Connectivity(NE-DC), DC bearer(One MN Terminated MCG bearer and One SN terminated SCG bearer), Test loop function(On)	SN Terminated SCG bearer unless explicitly specified in test case
	TRUE	Connectivity(NE-DC), DC bearer(N ≥ 2 MN Terminated MCG bearer and One SN terminated SCG bearer), Test loop function(On)

Table 7.1.1.0-3: Message conditions

Execution Condition	Message condition exceptions
IF pc_NG_RAN_NR	Message with condition AM is used for step 7 in 4.5.4.2 according to [4]
ELSE IF pc_EN_DC	Message condition MCG_and_SCG with condition AM is used for step 7 in 4.5.4.2 according to [4]
ELSE IF pc_NGEN_DC	Message condition MCG_and_SCG with condition AM is used for step 7 in 4.5.4.2 according to [4]
ELSE IF pc_NE_DC	Message condition MCG_and_SCG with condition AM is used for step 7 in 4.5.4.6 according to [4]

Table 7.1.1.0-4: SDAP Configuration Settings for pc_NG_RAN_NR and pc_NE_DC

Parameter	Value DRB1	Value DRB2	Value DRB3
default DRB	true	false	false
mappedQoS-FlowsToAdd	QFI 1 in Table 4.8.2.3-1 according to TS38.508-1	QFI 2 in Table 4.8.2.3-2 according to TS38.508-1	QFI 3 in Table 4.8.2.3-3 according to TS38.508-1

7.1.1.1 Random Access Procedures

7.1.1.1.1 Correct selection of RACH parameters / Random access preamble and PRACH resource explicitly signalled to the UE by RRC / contention free random access procedure

7.1.1.1.1.1 Test Purpose (TP)

(1)

with { UE in RRC_Connected }

ensure that {

when { SS sends an RRCReconfiguration message including RACH-ConfigDedicated information element }

then { UE sends a prach preamble given in the RACH-ConfigDedicated on the target cell }

}

(2)

with { UE in RRC_Connected state after transmission of a PRACH preamble on NR SpCell received in RACH-ConfigDedicated on the target cell }

ensure that {

when { UE does not receive a matching Random Access response in ra-ResponseWindowSize (hence considers RACH attempt as failed) and PREAMBLE_TRANSMISSION_COUNTER is less than PREAMBLE_TRANS_MAX }

then { UE retransmits a PRACH preamble received in RACH-ConfigDedicated on the target cell }

}

7.1.1.1.1.2 Conformance requirements

References: The conformance requirements covered in the present test case are specified in: TS 38.321, clauses 5.1.2, 5.1.4. Unless otherwise stated these are Rel-15 requirements.

[TS 38.321, clause 5.1.2]

The MAC entity shall:

…

1> else if the ra-PreambleIndex has been explicitly provided by PDCCH; and

1> if the ra-PreambleIndex is not 0b000000:

2> set the PREAMBLE_INDEX to the signalled ra-PreambleIndex;

2> select the SSB signalled by PDCCH.

1> else if the contention-free Random Access Resources associated with SSBs have been explicitly provided in rach-ConfigDedicated and at least one SSB with SS-RSRP above rsrp-ThresholdSSB amongst the associated SSBs is available:

2> select an SSB with SS-RSRP above rsrp-ThresholdSSB amongst the associated SSBs;

2> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected SSB.

…

1> else if an SSB is selected above:

2> determine the next available PRACH occasion from the PRACH occasions corresponding to the selected SSB permitted by the restrictions given by the ra-ssb-OccasionMaskIndex if configured or indicated by PDCCH (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the consecutive PRACH occasions according to clause 8.1 of TS 38.213 [6], corresponding to the selected SSB; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the selected SSB).

1> else if a CSI-RS is selected above:

2> if there is no contention-free Random Access Resource associated with the selected CSI-RS:

3> determine the next available PRACH occasion from the PRACH occasions, permitted by the restrictions given by the ra-ssb-OccasionMaskIndex if configured, corresponding to the SSB in candidateBeamRSList which is quasi-collocated with the selected CSI-RS as specified in TS 38.214 [7] (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the consecutive PRACH occasions according to clause 8.1 of TS 38.213 [6], corresponding to the SSB which is quasi-collocated with the selected CSI-RS; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the SSB which is quasi-collocated with the selected CSI-RS).

2> else:

3> determine the next available PRACH occasion from the PRACH occasions in ra-OccasionList corresponding to the selected CSI-RS (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the PRACH occasions occurring simultaneously but on different subcarriers, corresponding to the selected CSI-RS; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the selected CSI-RS).

1> perform the Random Access Preamble transmission procedure (see clause 5.1.3).

NOTE: When the UE determines if there is an SSB with SS-RSRP above rsrp-ThresholdSSB or a CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS, the UE uses the latest unfiltered L1-RSRP measurement.

[TS 38.321, clause 5.1.4]

Once the Random Access Preamble is transmitted and regardless of the possible occurrence of a measurement gap, the MAC entity shall:

1> if the contention-free Random Access Preamble for beam failure recovery request was transmitted by the MAC entity:

2> start the ra-ResponseWindow configured in BeamFailureRecoveryConfig at the first PDCCH occasion as specified in TS 38.213 [6] from the end of the Random Access Preamble transmission;

2> monitor for a PDCCH transmission on the search space indicated by recoverySearchSpaceId of the SpCell identified by the C-RNTI while ra-ResponseWindow is running.

1> else:

2> start the ra-ResponseWindow configured in RACH-ConfigCommon at the first PDCCH occasion as specified in TS 38.213 [6] from the end of the Random Access Preamble transmission;

2> monitor the PDCCH of the SpCell for Random Access Response(s) identified by the RA-RNTI while the ra-ResponseWindow is running.

1> if notification of a reception of a PDCCH transmission on the search space indicated by recoverySearchSpaceId is received from lower layers on the Serving Cell where the preamble was transmitted; and

1> if PDCCH transmission is addressed to the C-RNTI; and

1> if the contention-free Random Access Preamble for beam failure recovery request was transmitted by the MAC entity:

2> consider the Random Access procedure successfully completed.

1> else if a downlink assignment has been received on the PDCCH for the RA-RNTI and the received TB is successfully decoded:

2> if the Random Access Response contains a MAC subPDU with Backoff Indicator:

3> set the PREAMBLE_BACKOFF to value of the BI field of the MAC subPDU using Table 7.2-1, multiplied with SCALING_FACTOR_BI.

2> else:

3> set the PREAMBLE_BACKOFF to 0 ms.

2> if the Random Access Response contains a MAC subPDU with Random Access Preamble identifier corresponding to the transmitted PREAMBLE_INDEX (see clause 5.1.3):

3> consider this Random Access Response reception successful.

2> if the Random Access Response reception is considered successful:

3> if the Random Access Response includes a MAC subPDU with RAPID only:

4> consider this Random Access procedure successfully completed;

4> indicate the reception of an acknowledgement for SI request to upper layers.

3> else:

4> apply the following actions for the Serving Cell where the Random Access Preamble was transmitted:

5> process the received Timing Advance Command (see clause 5.2);

5> indicate the preambleReceivedTargetPower and the amount of power ramping applied to the latest Random Access Preamble transmission to lower layers (i.e. (PREAMBLE_POWER_RAMPING_COUNTER – 1) × PREAMBLE_POWER_RAMPING_STEP);

5> if the Random Access procedure for an SCell is performed on uplink carrier where pusch-Config is not configured:

6> ignore the received UL grant.

5> else:

6> process the received UL grant value and indicate it to the lower layers.

4> if the Random Access Preamble was not selected by the MAC entity among the contention-based Random Access Preamble(s):

5> consider the Random Access procedure successfully completed.

4> else:

5> set the TEMPORARY_C-RNTI to the value received in the Random Access Response;

5> if this is the first successfully received Random Access Response within this Random Access procedure:

6> if the transmission is not being made for the CCCH logical channel:

7> indicate to the Multiplexing and assembly entity to include a C-RNTI MAC CE in the subsequent uplink transmission.

6> obtain the MAC PDU to transmit from the Multiplexing and assembly entity and store it in the Msg3 buffer.

NOTE: If within a Random Access procedure, an uplink grant provided in the Random Access Response for the same group of contention-based Random Access Preambles has a different size than the first uplink grant allocated during that Random Access procedure, the UE behaviour is not defined.

1> if ra-ResponseWindow configured in BeamFailureRecoveryConfig expires and if a PDCCH transmission on the search space indicated by recoverySearchSpaceId addressed to the C-RNTI has not been received on the Serving Cell where the preamble was transmitted; or

1> if ra-ResponseWindow configured in RACH-ConfigCommon expires, and if the Random Access Response containing Random Access Preamble identifiers that matches the transmitted PREAMBLE_INDEX has not been received:

2> consider the Random Access Response reception not successful;

2> increment PREAMBLE_TRANSMISSION_COUNTER by 1;

2> if PREAMBLE_TRANSMISSION_COUNTER = preambleTransMax + 1:

3> if the Random Access Preamble is transmitted on the SpCell:

4> indicate a Random Access problem to upper layers;

4> if this Random Access procedure was triggered for SI request:

5> consider the Random Access procedure unsuccessfully completed.

3> else if the Random Access Preamble is transmitted on an SCell:

4> consider the Random Access procedure unsuccessfully completed.

2> if the Random Access procedure is not completed:

3> select a random backoff time according to a uniform distribution between 0 and the PREAMBLE_BACKOFF;

3> if the criteria (as defined in clause 5.1.2) to select contention-free Random Access Resources is met during the backoff time:

4> perform the Random Access Resource selection procedure (see clause 5.1.2);

3> else:

4> perform the Random Access Resource selection procedure (see clause 5.1.2) after the backoff time.

The MAC entity may stop ra-ResponseWindow (and hence monitoring for Random Access Response(s)) after successful reception of a Random Access Response containing Random Access Preamble identifiers that matches the transmitted PREAMBLE_INDEX.

HARQ operation is not applicable to the Random Access Response reception.

7.1.1.1.1.3 Test description

7.1.1.1.1.3.1 Pre-test conditions

Same Pre-test conditions as in clause 7.1.1.0 except the following:

– 2 NR cells (NR Cell 1 and NR Cell 2) are configured.

– Test loop function(Off)

7.1.1.1.1.3.2 Test procedure sequence

Table 7.1.1.1.1.3.2-1: Main behaviour

St	Procedure	Message Sequence		TP	Verdict
		U – S	Message
1	The SS transmits an RRCReconfiguration message to handover NR Cell 1 to target NR Cell 2, including RACH-ConfigDedicated information element (Note 1, Note 3)	<–	RRCReconfiguration	–	–
2	Void
3	Check: Does the UE transmit Preamble on PRACH corresponding to ra-PreambleIndex in step 1 on NR Cell2?	–>	(PRACH Preamble)	1	P
4	Check: Does the UE re-transmits Preamble on PRACH corresponding to ra-PreambleIndex in step 1 on NR Cell2?	–>	(PRACH Preamble)	2	P
5	The SS transmits Random Access Response on NR cell 2, with RAPID corresponding to ra-PreambleIndex in step 1	<–	Random Access Response	–	–
6	Check: Does the UE transmit an RRCReconfigurationComplete message? (Note 2)	–>	RRCReconfigurationComplete	–	–
Note 1: For EN-DC the NR RRCReconfiguration message is contained in RRCConnectionReconfiguration 36.508 [7], Table 4.6.1-8 using condition EN-DC_PSCell_HO AND RBConfig_NoKeyChange. Note 2: For EN-DC the NR RRCReconfigurationComplete message is contained in RRCConnectionReconfigurationComplete. Note 3: For FR1,PRACH preamble format 0 as per TS 38.211[24] Table 6.3.3.1-1 is configured (real network deployment).

7.1.1.1.1.3.3 Specific message contents

Table 7.1.1.1.1.3.3-1: Void

Table 7.1.1.1.1.3.3-2: RRCReconfiguration for EN-DC (step 1, Table 7.1.1.1.1.3.2-1)

Derivation Path: 38.508-1 [4], Table 4.6.1-13 with condition EN-DC_HO.
Information Element	Value/remark	Comment	Condition
RRCReconfiguration ::= SEQUENCE {
criticalExtensions CHOICE {
rrcReconfiguration ::= SEQUENCE {
secondaryCellGroup	CellGroupConfig
}
}
}

Table 7.1.1.1.1.3.3-2A: RRCReconfiguration for NR/5GC (step 1, Table 7.1.1.1.1.3.2-1)

Derivation Path: 38.508-1 [4], Table 4.6.1-13
Information Element	Value/remark	Comment	Condition
RRCReconfiguration ::= SEQUENCE {
criticalExtensions CHOICE {
radioBearerConfig	RadioBearerConfig as per TS 38.508-1[4] Table 4.6.3-132 with conditions DRBn and Recover_PDCP	n set to the default DRB of the first PDU session	NR
rrcReconfiguration ::= SEQUENCE {
nonCriticalExtension SEQUENCE {
masterCellGroup	CellGroupConfig
}
}
}
}

Table 7.1.1.1.1.3.3-3: CellGroupConfig for EN-DC (Table 7.1.1.1.1.3.3-2)

Derivation Path: 38.508-1 [4], Table 4.6.3-19 with condition PSCell_change
Information Element	Value/remark	Comment	Condition
CellGroupConfig ::= SEQUENCE {
spCellConfig SEQUENCE {
spCellConfigCommon	ServingCellConfigCommon
reconfigurationWithSync SEQUENCE {
rach-ConfigDedicated CHOICE {
uplink	RACH-ConfigDedicated
}
newUE-Identity	UE identity different from NR cell 1 UE identity
}
}
}

Table 7.1.1.1.1.3.3-3A: CellGroupConfig for NR/5GC (Table 7.1.1.1.1.3.3-2A)

Derivation Path: 38.508-1 [4], Table 4.6.3-19 with condition PCell_change
Information Element	Value/remark	Comment	Condition
CellGroupConfig ::= SEQUENCE {
spCellConfig SEQUENCE {
reconfigurationWithSync SEQUENCE {
spCellConfigCommon	ServingCellConfigCommon
rach-ConfigDedicated CHOICE {
uplink	RACH-ConfigDedicated
}
newUE-Identity	UE identity different from NR cell 1 UE identity
}
spCellConfigDedicated	ServingCellConfig
}
}

Table 7.1.1.1.1.3.3-4: RACH-ConfigDedicated (Table 7.1.1.1.1.3.3-3 and Table 7.1.1.1.1.3.3-3A)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-129
Information Element	Value/remark	Comment	Condition
RACH-ConfigDedicated::= SEQUENCE {
cfra SEQUENCE {
occasions SEQUENCE {
rach-ConfigGeneric	RACH-ConfigGeneric		FR1, PRACH Preamble format 0 used
}
resources CHOICE {
ssb SEQUENCE {
ssb-ResourceList SEQUENCE (SIZE(1..maxRA-SSB-Resources)) OF CFRA-SSB-Resource {	1 entry
CFRA-SSB-Resource[1] SEQUENCE {		entry 1
ssb	0
ra-PreambleIndex	52	Randomly selected
}
}
}
}
}

Table 7.1.1.1.1.3.3-5: RACH-ConfigGeneric (Table 7.1.1.1.1.3.3-4)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-129
Information Element	Value/remark	Comment	Condition
RACH-ConfigDedicated::= SEQUENCE {
prach-ConfigurationIndex	14		FR1
	149		FR2
zeroCorrelationZoneConfig	12		FR1
	15		FR2
}

Table 7.1.1.1.1.3.3-6: ServingCellConfigCommon (Table 7.1.1.1.1.3.3-3 and Table 7.1.1.1.1.3.3-3A)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-168
Information Element	Value/remark	Comment	Condition
ServingCellConfigCommon ::= SEQUENCE {
uplinkConfigCommon SEQUENCE {
initialUplinkBWP	BWP-UplinkCommon
}
tdd-UL-DL-ConfigurationCommon	TDD-UL-DL-ConfigCommon
}

Table 7.1.1.1.1.3.3-7: BWP-UplinkCommon (Table 7.1.1.1.1.3.3-6)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-10
Information Element	Value/remark	Comment	Condition
BWP-UplinkCommon ::= SEQUENCE {
rach-ConfigCommon CHOICE {
setup	RACH-ConfigCommon
}
}

Table 7.1.1.1.1.3.3-8: RACH-ConfigCommon (Table 7.1.1.1.1.3.3-7)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-128
Information Element	Value/remark	Comment	Condition
RACH-ConfigCommon::= SEQUENCE {
rach-ConfigGeneric	RACH-ConfigGeneric
ssb_perRACH_OccasionAndCB_PreamblesPerSSB CHOICE {
one	n36
}
prach-RootSequenceIndex CHOICE {
l139	Set according to table 4.4.2-2 in TS 38.508-1 [4] for the NR Cell..
l839	Set according to table 4.4.2-2 in TS 38.508-1 [4] for the NR Cell.	PRACH Preamble format 0 used	FR1,
}
}

Table 7.1.1.1.1.3.3-9: TDD-UL-DL-ConfigCommon (Table 7.1.1.1.1.3.3-6)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-192
Information Element	Value/remark	Comment	Condition
TDD-UL-DL-ConfigCommon ::= SEQUENCE {
referenceSubcarrierSpacing	SubcarrierSpacing
pattern1 SEQUENCE {
dl-UL-TransmissionPeriodicity	ms5		FR1
	ms0p625		FR2
nrofDownlinkSlots	3		FR1 AND SCS30
	1		FR1 AND SCS15
	3		FR2
nrofDownlinkSymbols	6		FR1
	10		FR2
nrofUplinkSlots	2		FR1 AND SCS30
	1		FR1 AND SCS15
	1		FR2
nrofUplinkSymbols	4		FR1
	2		FR2
dl-UL-TransmissionPeriodicity-v1530	ms3		FR1
}
pattern2	Not present
pattern2 SEQUENCE {			FR1
dl-UL-TransmissionPeriodicity	ms2
nrofDownlinkSlots	4		FR1 AND SCS30
	2		FR1 AND SCS15
nrofDownlinkSymbols	0
nrofUplinkSlots	0
nrofUplinkSymbols	0
}
}

Table 7.1.1.1.1.3.3-10: ServingCellConfig (Table 7.1.1.1.1.3.3-3A)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-167
Information Element	Value/remark	Comment	Condition
ServingCellConfig ::= SEQUENCE {
uplinkConfig SEQUENCE {
initialUplinkBWP	BWP-UplinkDedicated
}
}

Table 7.1.1.1.1.3.3-11: BWP-UplinkDedicated (Table 7.1.1.1.1.3.3-10)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-15
Information Element	Value/remark	Comment	Condition
BWP-UplinkDedicated ::= SEQUENCE {
pucch-Config CHOICE {
setup	PUCCH-Config
}
}

Table 7.1.1.1.1.3.3-12: PUCCH-Config (Table 7.1.1.1.1.3.3-11)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-112
Information Element	Value/remark	Comment	Condition
PUCCH-Config ::= SEQUENCE {
schedulingRequestResourceToAddModList SEQUENCE (SIZE (1..maxNrofSR-Resources)) OF SchedulingRequestResourceConfig {	1 entry
SchedulingRequestResourceConfig	SchedulingRequestResourceConfig	entry 1
}
}

Table 7.1.1.1.1.3.3-13: SchedulingRequestResourceConfig (Table 7.1.1.1.1.3.3-12)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-157
Information Element	Value/remark	Comment	Condition
SchedulingRequestResourceConfig ::= SEQUENCE {
periodicityAndOffset CHOICE {
sl10	2	With SCS = kHz15 results in repetition every 10 ms	SCS15
sl20	5	With SCS = kHz30 results in repetition every 10 ms	SCS30
sl80	4	With SCS = kHz120 results in repetition every 10 ms	SCS120
}
}

7.1.1.1.1a Correct selection of RACH parameters / Random access preamble and PRACH resource explicitly signalled to the UE by PDCCH Order / contention free random access procedure

7.1.1.1.1a.1 Test Purpose (TP)

(1)

with { UE in RRC_Connected }

ensure that {

when { PDCCH control command is received in NR SpCell providing Random Access Preamble }

then { UE sends a PRACH preamble given in the PDCCH Order in NR SpCell }

}

(2)

with { UE in RRC_Connected state after transmission of a PRACH preamble on NR SpCell received in PDCCH control command on NR SpCell }

ensure that {

when { UE does not receive a matching Random Access response in ra-ResponseWindowSize (hence considers RACH attempt as failed) and PREAMBLE_TRANSMISSION_COUNTER is less than PREAMBLE_TRANS_MAX }

then { UE retransmits a PRACH preamble received in PDCCH control command on NR SpCell }

}

7.1.1.1.1a.2 Conformance requirements

References: The conformance requirements covered in the present test case are specified in: TS 38.321, clauses 5.1.2, 5.1.4 and TS 38.212 clause 7.3.1.2.1. Unless otherwise stated these are Rel-15 requirements.

[TS 38.321, clause 5.1.2]

The MAC entity shall:

…

1> else if the ra-PreambleIndex has been explicitly provided by either PDCCH or RRC; and

1> if the ra-PreambleIndex is not 0b000000; and

1> if contention-free Random Access Resource associated with SSBs or CSI-RS have not been explicitly provided by RRC:

2> set the PREAMBLE_INDEX to the signalled ra-PreambleIndex.

…

1> if an SSB is selected above and an association between PRACH occasions and SSBs is configured:

2> determine the next available PRACH occasion from the PRACH occasions corresponding to the selected SSB permitted by the restrictions given by the ra-ssb-OccasionMaskIndex if configured (the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the selected SSB).

1> else if a CSI-RS is selected above and an association between PRACH occasions and CSI-RSs is configured:

2> determine the next available PRACH occasion from the PRACH occasions in ra-OccasionList corresponding to the selected CSI-RS (the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the selected CSI-RS).

1> else:

2> determine the next available PRACH occasion (the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion).

1> perform the Random Access Preamble transmission procedure (see clause 5.1.3).

[TS 38.321, clause 5.1.4]

Once the Random Access Preamble is transmitted and regardless of the possible occurrence of a measurement gap, the MAC entity shall:

…

1> else:

2> start the ra-ResponseWindow configured in RACH-ConfigCommon at the first PDCCH occasion as specified in TS 38.213 [6] from the end of the Random Access Preamble transmission;

2> monitor the PDCCH of the SpCell for Random Access Response(s) identified by the RA-RNTI while the ra-ResponseWindow is running.

1> if notification of a reception of a PDCCH transmission is received from lower layers; and

1> if PDCCH transmission is addressed to the C-RNTI; and

…

1> else if a downlink assignment has been received on the PDCCH for the RA-RNTI and the received TB is successfully decoded:

2> if the Random Access Response contains a Backoff Indicator subheader:

3> set the PREAMBLE_BACKOFF to value of the BI field of the Backoff Indicator subheader using Table 7.2-1.

2> else:

3> set the PREAMBLE_BACKOFF to 0 ms.

2> if the Random Access Response contains a Random Access Preamble identifier corresponding to the transmitted PREAMBLE_INDEX (see subclause 5.1.3):

3> consider this Random Access Response reception successful.

2> if the Random Access Response reception is considered successful:

3> if the Random Access Response includes RAPID only:

4> consider this Random Access procedure successfully completed;

4> indicate the reception of an acknowledgement for the SI request to upper layers.

3> else:

4> apply the following actions for the Serving Cell where the Random Access Preamble was transmitted:

5> process the received Timing Advance Command (see subclause 5.2);

5> if the Serving Cell for the Random Access procedure is SRS-only SCell:

6> ignore the received UL grant.

5> else:

6> process the received UL grant value and indicate it to the lower layers.

4> if the Random Access Preamble was not selected by the MAC entity among the contention-based Random Access Preamble(s):

5> consider the Random Access procedure successfully completed.

…

1> if ra-ResponseWindow configured in BeamFailureRecoveryConfig expires and if the PDCCH addressed to the C-RNTI has not been received:

2> consider the Random Access Response reception not successful;

2> increment PREAMBLE_TRANSMISSION_COUNTER by 1;

2> if PREAMBLE_TRANSMISSION_COUNTER = preambleTxMax + 1:

3> if the Random Access Preamble is transmitted on the SpCell:

4> indicate a Random Access problem to upper layers.

3> else if the Random Access Preamble is transmitted on a SCell:

4> consider the Random Access procedure unsuccessfully completed.

2> if in this Random Access procedure, the Random Access Preamble was selected by MAC among the contention-based Random Access Preambles:

3> select a random backoff time according to a uniform distribution between 0 and the PREAMBLE_BACKOFF;

3> delay the subsequent Random Access Preamble transmission by the backoff time.

2> perform the Random Access Resource selection procedure (see subclause 5.1.2).

HARQ operation is not applicable to the Random Access Response transmission.

[TS 38.212, 7.3.1.2.1]

If the CRC of the DCI format 1_0 is scrambled by C-RNTI and the "Frequency domain resource assignment" field are of all ones, the DCI format 1_0 is for random access procedure initiated by a PDCCH order, with all remaining fields set as follows:

– Random Access Preamble index – 6 bits according to ra-PreambleIndex in Subclause 5.1.2 of [8, TS38.321]

– UL/SUL indicator – 1 bit. If the value of the "Random Access Preamble index" is not all zeros and if the UE is configured with SUL in the cell, this field indicates which UL carrier in the cell to transmit the PRACH according to Table 7.3.1.1.1-1; otherwise, this field is reserved

– SS/PBCH index – 6 bits. If the value of the "Random Access Preamble index" is not all zeros, this field indicates the SS/PBCH that shall be used to determine the RACH occasion for the PRACH transmission; otherwise, this field is reserved.

– PRACH Mask index – 4 bits. If the value of the "Random Access Preamble index" is not all zeros, this field indicates the RACH occasion associated with the SS/PBCH indicated by "SS/PBCH index" for the PRACH transmission, according to Subclause 5.1.1 of [8, TS38.321]; otherwise, this field is reserved

– Reserved bits – 10 bits

7.1.1.1.1a.3 Test description

7.1.1.1.1a.3.1 Pre-test conditions

Same Pre-test conditions as in clause 7.1.1.0 except that Test loop function(Off).

7.1.1.1.1a.3.2 Test procedure sequence

Table 7.1.1.1.1a.3.2-1: Main behaviour

St	Procedure	Message Sequence		TP	Verdict
		U – S	Message
0A	SS transmits an RRCReconfiguration message to configure specific parameters. Note 1, Note 3	<–	RRCReconfiguration	–	–
0B	The UE transmits RRCReconfigurationComplete message. Note 2	–>	RRCReconfigurationComplete	–	–
1	The SS transmits a PDCCH order providing Random Access Preamble ID 37 on NR SpCell.	<–	(PDCCH Order)	–	–
2	Check: Does the UE transmit Preamble on PRACH corresponding to ra-PreambleIndex in step 1?	–>	(PRACH Preamble)	1	P
3	Check: Does the UE re-transmits Preamble on PRACH corresponding to ra-PreambleIndex in step 1?	–>	(PRACH Preamble)	2	P
4	Check: Does the UE transmit Preamble on PRACH corresponding to ra-PreambleIndex in step 1?	–>	(PRACH Preamble)	2	P
5	Check: Does the UE re-transmits Preamble on PRACH corresponding to ra-PreambleIndex in step 1?	–>	(PRACH Preamble)	2	P
6	The SS transmits Random Access Response on NR SpCell, with RAPID corresponding to ra-PreambleIndex in step 1	<–	Random Access Response	–	–
Note 1: for EN-DC the NR RRCReconfiguration message is contained in RRCConnectionReconfiguration. Note 2: for EN-DC the NR RRCReconfigurationComplete message is contained in RRCConnectionReconfigurationComplete. Note 3: For FR1, PRACH preamble format 0 as per TS 38.211[24] Table 6.3.3.1-1 is configured in order to provide coverage for PRACH preamble format 0 testing

7.1.1.1.1a.3.3 Specific message contents

Table 7.1.1.1.1a.3.3-1: RRCReconfiguration (step 0A, Table7.1.1.1.1a.3.2-1)

Derivation Path: TS 38.508-1 [4], Table 4.6.1-13
Information Element	Value/remark	Comment	Condition
RRCReconfiguration ::= SEQUENCE {
		TS 38.508-1 [4], 2
criticalExtensions CHOICE {
rrcReconfiguration ::= SEQUENCE {
secondaryCellGroup	CellGroupConfig	OCTET STRING (CONTAINING CellGroupConfig)	EN-DC
nonCriticalExtension SEQUENCE {			NR
masterCellGroup	CellGroupConfig	OCTET STRING (CONTAINING CellGroupConfig)
}
}
}
}

Table 7.1.1.1.1a.3.3-2: CellGroupConfig (Table 7.1.1.1.1a.3.3-1)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-19
Information Element	Value/remark	Comment	Condition
CellGroupConfig ::= SEQUENCE {
spCellConfig SEQUENCE {
reconfigurationWithSync SEQUENCE {
spCellConfigCommon	ServingCellConfigCommon
newUE-Identity	RNTI-Value
t304	ms2000
rach-ConfigDedicated	Not Present
}
spCellConfigDedicated	ServingCellConfig
}
}

Table 7.1.1.1.1a.3.3-3: ServingCellConfigCommon (Table 7.1.1.1.1a.3.3-2)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-168
Information Element	Value/remark	Comment	Condition
ServingCellConfigCommon ::= SEQUENCE {
uplinkConfigCommon SEQUENCE {
initialUplinkBWP	BWP-UplinkCommon
}
tdd-UL-DL-ConfigurationCommon	TDD-UL-DL-ConfigCommon
}

Table 7.1.1.1.1a.3.3-4: BWP-UplinkCommon (Table 7.1.1.1.1a.3.3-3)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-10
Information Element	Value/remark	Comment	Condition
BWP-UplinkCommon ::= SEQUENCE {
rach-ConfigCommon CHOICE {
setup	RACH-ConfigCommon
}
}

Table 7.1.1.1.1a.3.3-5: RACH-ConfigCommon (Table 7.1.1.1.1a.3.3-4)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-128
Information Element	Value/remark	Comment	Condition
RACH-ConfigCommon::= SEQUENCE {
rach-ConfigGeneric	RACH-ConfigGeneric
ssb_perRACH_OccasionAndCB_PreamblesPerSSB CHOICE {
one	n36
}
prach-RootSequenceIndex CHOICE {
l139	Set according to table 4.4.2-2 in TS 38.508-1 [4] for the NR Cell
l839	Set according to table 4.4.2-2 in TS 38.508-1 [4] for the NR Cell.	PRACH Preamble format 0 used	FR1,
}
}

Table 7.1.1.1.1a.3.3-6: RACH-ConfigGeneric (Table 7.1.1.1.1a.3.3-5)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-130
Information Element	Value/remark	Comment	Condition
RACH-ConfigGeneric ::= SEQUENCE {
preambleReceivedTargetPower	-104
preambleTransMax	n4
prach-ConfigurationIndex	14		FR1
	149		FR2
zeroCorrelationZoneConfig	12		FR1
	15		FR2
}

Table 7.1.1.1.1a.3.3-7: TDD-UL-DL-ConfigCommon (Table 7.1.1.1.1a.3.3-3)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-192
Information Element	Value/remark	Comment	Condition
TDD-UL-DL-ConfigCommon ::= SEQUENCE {
referenceSubcarrierSpacing	SubcarrierSpacing
pattern1 SEQUENCE {
dl-UL-TransmissionPeriodicity	ms5		FR1
	ms0p625		FR2
nrofDownlinkSlots	3		FR1 AND SCS30
	1		FR1 AND SCS15
	3		FR2
nrofDownlinkSymbols	6		FR1
	10		FR2
nrofUplinkSlots	2		FR1 AND SCS30
	1		FR1 AND SCS15
	1		FR2
nrofUplinkSymbols	4
	2		FR2
dl-UL-TransmissionPeriodicity-v1530	ms3		FR1
}
pattern2	Not present
pattern2 SEQUENCE {			FR1
dl-UL-TransmissionPeriodicity	ms2
nrofDownlinkSlots	4		FR1 AND SCS30
	2		FR1 AND SCS15
nrofDownlinkSymbols	0
nrofUplinkSlots	0
nrofUplinkSymbols	0
}
}

Table 7.1.1.1.1a.3.3-8: ServingCellConfig (Table 7.1.1.1.1a.3.3-2)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-167
Information Element	Value/remark	Comment	Condition
ServingCellConfig ::= SEQUENCE {
uplinkConfig SEQUENCE {
initialUplinkBWP	BWP-UplinkDedicated
}
}

Table 7.1.1.1.1a.3.3-9: BWP-UplinkDedicated (Table 7.1.1.1.1a.3.3-8)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-15
Information Element	Value/remark	Comment	Condition
BWP-UplinkDedicated ::= SEQUENCE {
pucch-Config CHOICE {
setup	PUCCH-Config
}
}

Table 7.1.1.1.1a.3.3-10: PUCCH-Config (Table 7.1.1.1.1a.3.3-9)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-112
Information Element	Value/remark	Comment	Condition
PUCCH-Config ::= SEQUENCE {
schedulingRequestResourceToAddModList SEQUENCE (SIZE (1..maxNrofSR-Resources)) OF SchedulingRequestResourceConfig {	1 entry
SchedulingRequestResourceConfig	SchedulingRequestResourceConfig	entry 1
}
}

Table 7.1.1.1.1a.3.3-11: SchedulingRequestResourceConfig (Table 7.1.1.1.1a.3.3-10)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-112
Information Element	Value/remark	Comment	Condition
SchedulingRequestResourceConfig ::= SEQUENCE {
periodicityAndOffset CHOICE {
sl10	2	With SCS = kHz15 results in repetition every 10 ms	SCS15
sl20	5	With SCS = kHz30 results in repetition every 10 ms	SCS30
sl80	4	With SCS = kHz120 results in repetition every 10 ms	SCS120
}
}

7.1.1.1.2 Random access procedure / Successful / C-RNTI Based / Preamble selected by MAC itself

7.1.1.1.2.1 Test Purpose (TP)

(1)

with { UE in RRC_Connected NR SpCell TimeAlignmentTimer expired, and has UL Data to send }

ensure that {

when { the UL MAC PDU Size is less than messageSizeGroupA }

then { UE transmits a random access preamble using a preamble in group A of random access preambles }

}

(2)

with { UE in RRC_Connected state after transmission of a PRACH preamble on NR SpCell }

ensure that {

when { SS does not answer with a matching Random Access Response within ra-ResponseWindowSize }

then { UE retransmits a PRACH preamble from same group }

}

(3)

with { UE in RRC_Connected state after transmission of a PRACH preamble on NR SpCell }

ensure that {

when { UE receives while ra-ResponseWindowSizeTimer is running MAC PDU containing multiple RARs but none of the subheaders contains a RAPID corresponding to the UE }

then { UE retransmits a PRACH preamble from same group }

}

(4)

with { UE in RRC_Connected state after transmission of a PRACH preamble on NR SpCell }

ensure that {

when { SS sends a Random Access Response including a Backoff Indicator and the Random Access Preamble identifier is different from the value received from the UE }

then { UE triggers RA preamble after a random time between 0 and the indicated Backoff parameter from same group }

}

(5)

with { UE in RRC_Connected state after transmission of a PRACH preamble on NR SpCell }

ensure that {

when { UE receives while ra-ResponseWindowSizeTimer is running MAC PDU containing multiple RARs and one of the subheaders contains a RAPID corresponding to the UE and containing Backoff Indicator }

then { UE stores Backoff Indicator UE transmits RACH procedure MSG3 }

}

(6)

with { UE in RRC_Connected state after transmission of Msg3 on NR SpCell without dedicated preamble }

ensure that {

when { The SS does not schedule any PDCCH transmission addressed to UE C-RNTI before Contention resolution timer expiry }

then { UE transmits a random access preamble using a preamble in the same group of random access preambles as used for the first transmission of Msg3 }

}

(7)

with { UE in RRC_Connected state after transmission of Msg3 on NR SpCell without dedicated preamble }

ensure that {

when { UE receive PDCCH transmission addressed to its C-RNTI before Contention resolution timer expiry }

then { UE considers RACH procedure as complete }

}

(8)

with { UE in RRC CONNECTED state and Random Access Preambles group B is configured }

ensure that {

when { UE has data available for transmission and the MAC PDU Size carrying this data is greater than ra-Msg3SizeGroupA and TimeAlignmentTimer expires }

then {UE transmits a random access preamble using a preamble in group B of random access preambles}

}

(9)

with { UE in RRC_Connected state and having initiated a random access procedure in NR SpCell }

ensure that {

when { The SS transmits a Timing Advance Command in a Random Access Response message }

then {the UE applies the received Timing Advance value in the next transmitted MAC PDU }

}

7.1.1.1.2.2 Conformance requirements

References: The conformance requirements covered in the present test case are specified in: TS 38.321, clauses 5.1.2, 5.1.3, 5.1.4, 5.1.5, 5.2, 6.1.3.2, 6.1.5 and 6.2.3. Unless otherwise stated these are Rel-15 requirements.

[TS 38.321, clause 5.1.2]

The MAC entity shall:

…

1> else (i.e. for the contention-based Random Access preamble selection):

2> if at least one of the SSBs with SS-RSRP above rsrp-ThresholdSSB is available:

3> select an SSB with SS-RSRP above rsrp-ThresholdSSB.

2> else:

3> select any SSB.

2> if Msg3 has not yet been transmitted:

3> if Random Access Preambles group B is configured:

4> if the potential Msg3 size (UL data available for transmission plus MAC header and, where required, MAC CEs) is greater than ra-Msg3SizeGroupA and the pathloss is less than PCMAX (of the Serving Cell performing the Random Access Procedure) –preambleReceivedTargetPower – msg3-DeltaPreamble – messagePowerOffsetGroupB; or

4> if the Random Access procedure was initiated for the CCCH logical channel and the CCCH SDU size plus MAC subheader is greater than ra-Msg3SizeGroupA:5> select the Random Access Preambles group B.

4> else:

5> select the Random Access Preambles group A.

3> else:

4> select the Random Access Preambles group A.

2> else (i.e. Msg3 is being retransmitted):

3> select the same group of Random Access Preambles as was used for the Random Access Preamble transmission attempt corresponding to the first transmission of Msg3.

2> if the association between Random Access Preambles and SSBs is configured:

3> select a Random Access Preamble randomly with equal probability from the Random Access Preambles associated with the selected SSB and the selected Random Access Preambles group.

2> else:

3> select a Random Access Preamble randomly with equal probability from the Random Access Preambles within the selected Random Access Preambles group.

2> set the PREAMBLE_INDEX to the selected ra-PreambleIndex.

…

1> if the Random Access procedure was initiated for SI request (as specified in TS 38.331 [5]); and

1> if ra-AssociationPeriodIndex and si-RequestPeriod are configured:

2> determine the next available PRACH occasion from the PRACH occasions corresponding to the selected SSB in the association period given by ra-AssociationPeriodIndex in the si-RequestPeriod permitted by the restrictions given by the ra-ssb-OccasionMaskIndex (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the consecutive PRACH occasions according to subclause 8.1 of TS 38.213 [6] corresponding to the selected SSB).

1> else if an SSB is selected above:

2> determine the next available PRACH occasion from the PRACH occasions corresponding to the selected SSB permitted by the restrictions given by the ra-ssb-OccasionMaskIndex if configured (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the consecutive PRACH occasions according to subclause 8.1 of TS 38.213 [6], corresponding to the selected SSB; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the selected SSB).

1> else if a CSI-RS is selected above:

2> if there is no contention-free Random Access Resource associated with the selected CSI-RS:

2> else:

1> perform the Random Access Preamble transmission procedure (see subclause 5.1.3).

[TS 38.321, clause 5.1.3]

The MAC entity shall, for each Random Access Preamble:

1> if PREAMBLE_TRANSMISSION_COUNTER is greater than one; and

1> if the notification of suspending power ramping counter has not been received from lower layers; and

1> if SSB selected is not changed (i.e. same as the previous Random Access Preamble transmission):

2> increment PREAMBLE_POWER_RAMPING_COUNTER by 1.

1> select the value of DELTA_PREAMBLE according to subclause 7.3;

1> set PREAMBLE_RECEIVED_TARGET_POWER to preambleReceivedTargetPower + DELTA_PREAMBLE + (PREAMBLE_POWER_RAMPING_COUNTER – 1) × PREAMBLE_POWER_RAMPING_STEP;

1> except for contention-free Random Access Preamble for beam failure recovery request, compute the RA-RNTI associated with the PRACH occasion in which the Random Access Preamble is transmitted;

1> instruct the physical layer to transmit the Random Access Preamble using the selected PRACH, corresponding RA-RNTI (if available), PREAMBLE_INDEX and PREAMBLE_RECEIVED_TARGET_POWER.

The RA-RNTI associated with the PRACH in which the Random Access Preamble is transmitted, is computed as:

RA-RNTI= 1 + s_id + 14 × t_id + 14 × 80 × f_id + 14 × 80 × 8 × ul_carrier_id

where s_id is the index of the first OFDM symbol of the specified PRACH (0 ≤ s_id < 14), t_id is the index of the first slot of the specified PRACH in a system frame (0 ≤ t_id < 80), f_id is the index of the specified PRACH in the frequency domain (0 ≤ f_id < 8), and ul_carrier_id is the UL carrier used for Msg1 transmission (0 for NUL carrier, and 1 for SUL carrier).

[TS 38.321, clause 5.1.4]

Once the Random Access Preamble is transmitted and regardless of the possible occurrence of a measurement gap, the MAC entity shall:

…

1> else:

2> start the ra-ResponseWindow configured in RACH-ConfigCommon at the first PDCCH occasion as specified in TS 38.213 [6] from the end of the Random Access Preamble transmission;

2> monitor the PDCCH of the SpCell for Random Access Response(s) identified by the RA-RNTI while the ra-ResponseWindow is running.

1> if notification of a reception of a PDCCH transmission is received from lower layers on the Serving Cell where the preamble was transmitted; and

1> if PDCCH transmission is addressed to the C-RNTI; and

1> if the contention-free Random Access Preamble for beam failure recovery request was transmitted by the MAC entity:

2> consider the Random Access procedure successfully completed.

1> else if a downlink assignment has been received on the PDCCH for the RA-RNTI and the received TB is successfully decoded:

2> if the Random Access Response contains a MAC subPDU with Backoff Indicator:

3> set the PREAMBLE_BACKOFF to value of the BI field of the MAC subPDU using Table 7.2-1, multiplied with SCALING_FACTOR_BI.

2> else:

3> set the PREAMBLE_BACKOFF to 0 ms.

2> if the Random Access Response contains a MAC subPDU with Random Access Preamble identifier corresponding to the transmitted PREAMBLE_INDEX (see subclause 5.1.3):

3> consider this Random Access Response reception successful.

2> if the Random Access Response reception is considered successful:

3> if the Random Access Response includes RAPID only:

4> consider this Random Access procedure successfully completed;

4> indicate the reception of an acknowledgement for the SI request to upper layers.

3> else:

4> apply the following actions for the Serving Cell where the Random Access Preamble was transmitted:

5> process the received Timing Advance Command (see subclause 5.2);

5> if the Serving Cell for the Random Access procedure is SRS-only SCell:

6> ignore the received UL grant.

5> else:

6> process the received UL grant value and indicate it to the lower layers.

4> if the Random Access Preamble was not selected by the MAC entity among the contention-based Random Access Preamble(s):

5> consider the Random Access procedure successfully completed.

4> else:

5> set the TEMPORARY_C-RNTI to the value received in the Random Access Response;

…

1> if ra-ResponseWindow configured in BeamFailureRecoveryConfig expires and if the PDCCH addressed to the C-RNTI has not been received on the Serving Cell where the preamble was transmitted:

2> consider the Random Access Response reception not successful;

2> increment PREAMBLE_TRANSMISSION_COUNTER by 1;

2> if PREAMBLE_TRANSMISSION_COUNTER = preambleTxMax + 1:

3> if the Random Access Preamble is transmitted on the SpCell:

4> indicate a Random Access problem to upper layers.

4> if this Random Access procedure was triggered for SI request:

5> consider the Random Access procedure unsuccessfully completed.

> else if the Random Access Preamble is transmitted on a SCell:

4> consider the Random Access procedure unsuccessfully completed.

2> if the Random Access procedure is not completed:

3> select a random backoff time according to a uniform distribution between 0 and the PREAMBLE_BACKOFF;

3> if the criteria (as defined in subclause 5.1.2) to select contention-free Random Access Resources is met during the backoff time:

4> perform the Random Access Resource selection procedure (see subclause 5.1.2);

3> else:

4> perform the Random Access Resource selection procedure (see subclause 5.1.2) after the backoff time.

HARQ operation is not applicable to the Random Access Response transmission.

[TS 38.321, clause 5.1.5]

Once Msg3 is transmitted, the MAC entity shall:

1> start the ra-ContentionResolutionTimer and restart the ra-ContentionResolutionTimer at each HARQ retransmission in the first symbol after the end of the Msg3 transmission;

1> monitor the PDCCH while the ra-ContentionResolutionTimer is running regardless of the possible occurrence of a measurement gap;

1> if notification of a reception of a PDCCH transmission of the SpCell is received from lower layers:

2> if the C-RNTI MAC CE was included in Msg3:

3> if the Random Access procedure was initiated by the MAC sublayer itself or by the RRC sublayer and the PDCCH transmission is addressed to the C-RNTI and contains a UL grant for a new transmission; or

3> if the Random Access procedure was initiated by a PDCCH order and the PDCCH transmission is addressed to the C-RNTI; or

3> if the Random Access procedure was initiated by a beam failure indication from lower layer and the PDCCH transmission is addressed to the C-RNTI:

4> consider this Contention Resolution successful;

4> stop ra-ContentionResolutionTimer;

4> discard the TEMPORARY_C-RNTI;

4> consider this Random Access procedure successfully completed.

…

1> if ra-ContentionResolutionTimer expires:

2> discard the TEMPORARY_C-RNTI;

2> consider the Contention Resolution not successful.

1> if the Contention Resolution is considered not successful:

2> flush the HARQ buffer used for transmission of the MAC PDU in the Msg3 buffer;

2> increment PREAMBLE_TRANSMISSION_COUNTER by 1;

2> if PREAMBLE_TRANSMISSION_COUNTER = preambleTxMax + 1:

3> indicate a Random Access problem to upper layers.

3> if this Random Access procedure was triggered for SI request:

4> consider the Random Access procedure unsuccessfully completed.

2> if the Random Access procedure is not completed:

3> select a random backoff time according to a uniform distribution between 0 and the PREAMBLE_BACKOFF;

3> if the criteria (as defined in subclause 5.1.2) to select contention-free Random Access Resources is met during the backoff time:

4> perform the Random Access Resource selection procedure (see subclause 5.1.2);

3> else:

4> perform the Random Access Resource selection procedure (see subclause 5.1.2) after the backoff time.

[TS 38.321, clause 5.2]

RRC configures the following parameters for the maintenance of UL time alignment:

– timeAlignmentTimer (per TAG) which controls how long the MAC entity considers the Serving Cells belonging to the associated TAG to be uplink time aligned.

The MAC entity shall:

1> when a Timing Advance Command MAC CE is received, and if a N_TA (as defined in TS 38.211 [8]) has been maintained with the indicated TAG:

2> apply the Timing Advance Command for the indicated TAG;

2> start or restart the timeAlignmentTimer associated with the indicated TAG.

…

1> when a timeAlignmentTimer expires:

2> if the timeAlignmentTimer is associated with the PTAG:

3> flush all HARQ buffers for all Serving Cells;

3> notify RRC to release PUCCH for all Serving Cells, if configured;

3> notify RRC to release SRS for all Serving Cells, if configured;

3> clear any configured downlink assignments and configured uplink grants;

3> clear any PUSCH resource for semi-persistent CSI reporting;

3> consider all running timeAlignmentTimers as expired;

3> maintain N_TA (defined in TS 38.211 [8]) of all TAGs.

2> else if the timeAlignmentTimer is associated with an STAG, then for all Serving Cells belonging to this TAG:

3> flush all HARQ buffers;

3> notify RRC to release PUCCH, if configured;

3> notify RRC to release SRS, if configured;

3> clear any configured downlink assignments and configured uplink grants;

3> clear any PUSCH resource for semi-persistent CSI reporting;

3> maintain N_TA (defined in TS 38.211 [8]) of this TAG.

When the MAC entity stops uplink transmissions for an SCell due to the fact that the maximum uplink transmission timing difference between TAGs of the MAC entity or the maximum uplink transmission timing difference between TAGs of any MAC entity of the UE is exceeded, the MAC entity considers the timeAlignmentTimer associated with the SCell as expired.

The MAC entity shall not perform any uplink transmission on a Serving Cell except the Random Access Preamble transmission when the timeAlignmentTimer associated with the TAG to which this Serving Cell belongs is not running. Furthermore, when the timeAlignmentTimer associated with the pTAG is not running, the MAC entity shall not perform any uplink transmission on any Serving Cell except the Random Access Preamble transmission on the SpCell.

[TS 38.321, clause 6.1.3.2]

The C-RNTI MAC CE is identified by MAC PDU subheader with LCID as specified in Table 6.2.1-2.

It has a fixed size and consists of a single field defined as follows (Figure 6.1.3.2-1):

– C-RNTI: This field contains the C-RNTI of the MAC entity. The length of the field is 16 bits.

Figure 6.1.3.2-1: C-RNTI MAC CE

[TS 38.321, clause 6.1.5]

A MAC PDU consists of one or more MAC subPDUs and optionally padding. Each MAC subPDU consists one of the following:

– a MAC subheader with Backoff Indicator only;

– a MAC subheader with RAPID only (i.e. acknowledgment for SI request);

– a MAC subheader with RAPID and MAC RAR.

A MAC subheader with Backoff Indicator consists of five header fields E/T/R/R/BI as described in Figure 6.1.5-1. A MAC subPDU with Backoff Indicator only is placed at the beginning of the MAC PDU, if included. ‘MAC subPDU(s) with RAPID only’ and ‘MAC subPDU(s) with RAPID and MAC RAR’ can be placed anywhere between MAC subPDU with Backoff Indicator only (if any) and padding (if any).

A MAC subheader with RAPID consists of three header fields E/T/RAPID as described in Figure 6.1.5-2.

Padding is placed at the end of the MAC PDU if present. Presence and length of padding is implicit based on TB size, size of MAC subPDU(s).

Figure 6.1.5-1: E/T/R/R/BI MAC subheader

Figure 6.1.5-2: E/T/RAPID MAC subheader

Figure 6.1.5-3: Example of MAC PDU consisting of MAC RARs

[TS 38.321, clause 6.2.3]

The MAC RAR is of fixed size as depicted in Figure 6.2.3-1, and consists of the following fields:

– R: Reserved bit, set to "0";

– Timing Advance Command: The Timing Advance Command field indicates the index value T_A used to control the amount of timing adjustment that the MAC entity has to apply in TS 38.213 [6]. The size of the Timing Advance Command field is 12 bits;

– UL Grant: The Uplink Grant field indicates the resources to be used on the uplink in TS 38.213 [6]. The size of the UL Grant field is 27 bits;

– Temporary C-RNTI: The Temporary C-RNTI field indicates the temporary identity that is used by the MAC entity during Random Access. The size of the Temporary C-RNTI field is 16 bits.

The MAC RAR is octet aligned.

Figure 6.2.3-1: MAC RAR

7.1.1.1.2.3 Test description

7.1.1.1.2.3.1 Pre-test conditions

Same Pre-test conditions as in clause 7.1.1.0 except that Short_DCI condition is applied in NR Serving cell configuration.

7.1.1.1.2.3.2 Test procedure sequence

Table 7.1.1.1.2.3.2-1: Main behaviour

St	Procedure	Message Sequence		TP	Verdict
		U – S	Message
–	EXCEPTION: Step 0AA is performed IF pc_NG_RAN_NR only.	–	–	–	–
0AA	The SS transmits an updated system information as specified in Table 7.1.1.1.2.3.3-1A.	–	–	–	–
0A	SS transmits an RRCReconfiguration message to configure specific parameters. (Note 1)	<–	RRCReconfiguration	–	–
0B	The UE transmits RRCReconfigurationComplete message. (Note 2)	–>	RRCReconfigurationComplete	–	–
1	SS transmits Timing Advance command to SpCell. SS does not send any subsequent timing alignments. Start Timer_T1 = Time Alignment timer value on SS.	<–	MAC PDU (Timing Advance Command MAC Control Element)	–	–
2	40 to 50 TTI before Timer_T1 expires the SS transmits a MAC PDU containing a PDCP SDU of size 56 bits, less then ra-Msg3SizeGroupA (208 bits) on SpCell. (Note 3)	<–	MAC PDU	–	–
3	The SS ignores scheduling requests and does not allocate any uplink grant.	–	–	–	–
4	Check: Does the UE transmit preamble on PRACH using a preamble in group A defined in CellGroupConfig in RRCReconfiguration (totalNumberOfRA-Preambles, ssb-perRACH-OccasionAndCB-PreamblesPerSSB and numberOfRA-PreamblesGroupA) on SpCell in frame number X meeting condition n_SFN mod 8 =1, subframe number 2,6,9 (FDD FR1), frame number X meeting condition nSFN mod 2 =1, subframe number 8,9 (FR1 TDD) and frame number X meeting condition nSFN mod 4 =1 and slot number 8, 9, 18, 19, 28, 29, 38, 39 , 48, 49, 58, 59, 68, 69, 78, 79 (FR2 120 kHz)?	–>	PRACH Preamble	1	P
5	Check: Does the UE transmit a preamble on PRACH, in frame number X+8 subframe number 2,6,9 (FDD FR1), in frame number X or X+2 in subrame number 8,9 (FR1 TDD) and frame number X or X+4 and slot number 8, 9, 18, 19, 28, 29, 38, 39 , 48, 49, 58, 59, 68, 69, 78, 79 (FR2 120 kHz) using the same group A?	–>	PRACH Preamble	2	P
6	The SS transmits a MAC PDU addressed to UE RA-RNTI, containing multiple RARs but none of the MAC sub headers contains a matching RAPID on SpCell.	<–	Random Access Response	–	–
–	EXCEPTION: In parallel with step 7, parallel behaviour defined in table 7.1.1.1.2.3.2-2 is executed.	–	–	–	–
7	Check: Does the UE re-transmit a preamble on PRACH on SpCell using the same group A?	–>	PRACH Preamble	3	P
8	The SS transmits a Random Access Response with the back off parameter set to value Index field ’12’ and with the Random Access Preamble identifier different from the value received from the UE in the Random Access Preamble. The SS sets Timer_T2 to the Back off value ‘960’ associated with the Index value ‘12’ and starts Timer_T2.	<–	Random Access Response(BI, RAPID)	–	–
9	Check: Does UE send a Random Access Preamble on SpCell while Timer_T2 is running?	–>	Random Access Preamble	4	P
10	SS sends Random Access Response with an UL Grant of 56-bits, a back off parameter set to value Index field ‘13’ and the Random Access Preamble identifier value set to the same value as received from the UE in the Random Access Preamble. (Note 4)	<–	Random Access Response(BI, RAPID)	–	–
11	Check: Does UE sends a msg3 in the grant associated to the Random Access ´Response received in step 10 on SpCell?	–>	msg3 (C-RNTI MAC CONTROL ELEMENT)	5	P
12	SS does not schedule any PDCCH transmission for UE C-RNTI. The SS sets Timer_T3 to the Back off value ‘1920’ associated with the Index value ‘13’ plus Contention Resolution Timer and starts Timer_T3.	–	–	–	–
13	Check: Does the UE transmit preamble on PRACH using a preamble belonging to group A for time equal to Timer_T3 on SpCell?	–>	PRACH Preamble	6	P
14	The SS transmits Random Access Response with an UL Grant of 56-bits and RAPID corresponding to the transmitted Preamble in step 13, including T-CRNTI.	<–	Random Access Response	–	–
15	UE sends a msg3 using the grant associated to the Random Access ´Response received in step 14 on SpCell?	–>	msg3 (C-RNTI MAC CONTROL ELEMENT)	–	–
16	SS schedules PDCCH transmission for UE C_RNTI and allocate uplink grant.	<–	Contention Resolution	–	–
–	EXCEPTION: In parallel with step 17, parallel behaviour defined in table 7.1.1.1.2.3.2-3 is executed.	–	–	–	–
17	Check: Does the UE transmit a MAC PDU with C-RNTI containing looped back PDCP SDU?	–>	MAC PDU	7	P
–	EXCEPTION: Step 17AA is performed IF pc_NG_RAN_NR only.	–	–	–	–
17AA	The SS transmits an updated system information as specified in Table 7.1.1.1.2.3.3-1A.	–	–	–	–
17A	The SS transmits an RRCReconfiguration message to configure specific parameters. (Note 1)	<–	NR RRC: RRCReconfiguration	–	–
17B	The UE transmits an RRCReconfigurationComplete message. (Note 2)	–>	NR RRC: RRCReconfigurationtComplete	–	–
18	SS transmits Timing Advance command to SpCell. SS does not send any subsequent timing alignments. Start Timer_T4 = Time Alignment timer value on SS.	<–	MAC PDU (Timing Advance Command MAC Control Element)	–	–
19	40 to 50 TTI before Timer_T4 expires the SS transmits a MAC PDU containing a PDCP SDU of size > ra-Msg3SizeGroupA (208 bits).	<–	MAC PDU	–	–
20	The SS ignores scheduling requests and does not allocate any uplink grant.	–	–	–	–
21	Check: Does the UE transmit preamble on PRACH using a preamble in group B defined in CellGroupConfig in RRCReconfiguration (ssb-perRACH-OccasionAndCB-PreamblesPerSSB, numberOfRA-PreamblesGroupA and numberOfRA-Preambles) on SpCell?	–>	PRACH Preamble	8	P
22	The SS transmits Random Access Response with an UL Grant of 56-bits and RAPID corresponding to the transmitted Preamble in step 21, including T-CRNTI.	<–	Random Access Response	–	–
23	UE sends a msg3 using the grant associated to the Random Access ´Response received in step 22 on SpCell?	–>	msg3 (C-RNTI MAC CONTROL ELEMENT)	–	–
23A	SS schedules PDCCH transmission for UE C_RNTI and allocate uplink grant.	<–	Contention Resolution	–	–
24	Check: Does the UE transmit a MAC PDU with C-RNTI containing looped back PDCP SDU?	–>	MAC PDU	9	P
Note 1: for EN-DC the NR RRCReconfiguration message is contained in RRCConnectionReconfiguration. Note 2: for EN-DC the NR RRCReconfigurationComplete message is contained in RRCConnectionReconfigurationComplete. Note 3: MAC PDU size of 56bits is selected to allow UE send status PDU and still stays below the limit of ra-Msg3SizeGrioupA. Note 4: UL grant of 56bits is to make UE not send any loopback data in uplink with msg3.

Table 7.1.1.1.2.3.2-2: Parallel behaviour

St	Procedure	Message Sequence		TP	Verdict
		U – S	Message
1	Check: Does the UE transmit msg3 message on SpCell?	–>	msg3 (C-RNTI MAC CONTROL ELEMENT)	–	F

Table 7.1.1.1.2.3.2-3: Parallel behaviour

St	Procedure	Message Sequence		TP	Verdict
		U – S	Message
1	Check: Does the UE transmit an PRACH preamble on SpCell?	–>	PRACH Preamble	–	F

7.1.1.1.2.3.3 Specific message contents

Table 7.1.1.1.2.3.3-1: MAC-CellGroupConfig (preamble)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-68
Information Element	Value/remark	Comment	Condition
MAC-CellGroupConfig ::= SEQUENCE {
tag-Config SEQUENCE {
tag-ToAddModList SEQUENCE (SIZE (1..maxNrofTAGs)) OF TAG {	1 entry
TAG[1] SEQUENCE {		entry 1
timeAlignmentTimer	ms750
}
}
}
}

Table 7.1.1.1.2.3.3-1A: SystemInformationBlockType1 (step 0AA and 17AA, Table 7.1.1.1.2.3.2-1)

Derivation path: 38.508-1 [4] table 4.6.1-28
Information Element	Value/Remark	Comment	Condition
SIB1 ::= SEQUENCE {
servingCellConfigCommon	ServingCellConfigCommon	Same contents as in Table 7.1.1.1.2.3.3-4
}

Table 7.1.1.1.2.3.3-2: RRCReconfiguration (step 0A and step 17A, Table 7.1.1.1.2.3.2-1)

Derivation Path: TS 38.508-1 [4], Table 4.6.1-13
Information Element	Value/remark	Comment	Condition
RRCReconfiguration ::= SEQUENCE {
		TS 38.508-1 [4], 2.
criticalExtensions CHOICE {
rrcReconfiguration ::= SEQUENCE {
secondaryCellGroup	CellGroupConfig	OCTET STRING (CONTAINING CellGroupConfig)	EN-DC
nonCriticalExtension SEQUENCE {			NR
masterCellGroup	CellGroupConfig	OCTET STRING (CONTAINING CellGroupConfig)
}
}
}
}

Table 7.1.1.1.2.3.3-3: CellGroupConfig (Table 7.1.1.1.2.3.3-2)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-19
Information Element	Value/remark	Comment	Condition
CellGroupConfig ::= SEQUENCE {
spCellConfig SEQUENCE {
reconfigurationWithSync SEQUENCE {
spCellConfigCommon	ServingCellConfigCommon
newUE-Identity	RNTI-Value
t304	ms2000
rach-ConfigDedicated	Not Present
}

Table 7.1.1.1.2.3.3-4: ServingCellConfigCommon (Table 7.1.1.1.2.3.3-3, Table 7.1.1.1.2.3.3-1A)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-168
Information Element	Value/remark	Comment	Condition
ServingCellConfigCommon ::= SEQUENCE {
uplinkConfigCommon SEQUENCE {
initialUplinkBWP	BWP-UplinkCommon
}
}

Table 7.1.1.1.2.3.3-5: BWP-UplinkCommon (Table 7.1.1.1.2.3.3-4)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-10
Information Element	Value/remark	Comment	Condition
BWP-UplinkCommon ::= SEQUENCE {
rach-ConfigCommon CHOICE {
setup	RACH-ConfigCommon
}
}

Table 7.1.1.1.2.3.3-6: RACH-ConfigCommon (Table 7.1.1.1.2.3.3-5)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-128
Information Element	Value/remark	Comment	Condition
RACH-ConfigCommon::= SEQUENCE {
rach-ConfigGeneric	RACH-ConfigGeneric
totalNumberOfRA-Preambles	42
ssb-perRACH-OccasionAndCB-PreamblesPerSSB CHOICE {
One	n32
}
groupBconfigured SEQUENCE {
ra-Msg3SizeGroupA	b208
messagePowerOffsetGroupB	minusinfinity
numberOfRA-PreamblesGroupA	28
}
ra-ContentionResolutionTimer	sf48
}

Table 7.1.1.1.2.3.3-7: RACH-ConfigGeneric (Table 7.1.1.1.2.3.3-6)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-130
Information Element	Value/remark	Comment	Condition
RACH-ConfigGeneric ::= SEQUENCE {
prach-ConfigurationIndex	119	As per Table 6.3.3.2-2: of TS 38.211 [24], this results in PRACH preamble transmission in a radio frame meeting n_SFN mod 2=1, subframe number 2, 6, 9 and starting symbol 0 using preamble Format A2.	FR1 FDD
prach-ConfigurationIndex	91	As per Table 6.3.3.2-3: of TS 38.211 [24], this results in PRACH preamble transmission in a radio frame meeting n_SFN mod 2=1, subframe number 4, 9 and starting symbol 0 using preamble Format A2.	FR1 TDD
prach-ConfigurationIndex	6	As per Table 6.3.3.2-4: of TS 38.211 [24] and clause 5.3.2 of TS 38.211 this results in PRACH preamble transmission in radio frame meeting nSFN mod 4 = 1, slot number 8, 9, 18, 19, 28, 29, 38, 39 , 48, 49, 58, 59, 68, 69, 78, 79 and starting symbol 0 using preamble format A1.	FR2 (120 kHz)
preambleReceivedTargetPower	dBm-104
preambleTransMax	n10
powerRampingStep	dB2
ra-ResponseWindow	sl8		FR1 FDD and FR2 (120 kHz)
	sl20		FR1 TDD
}

Table 7.1.1.1.2.3.3-8: Void

7.1.1.1.3 Random access procedure / Successful / SI request

7.1.1.1.3.1 Test Purpose (TP)

(1)

with { UE in RRC_Idle State and need for Updated System information }

ensure that {

when { UE transmitted PRACH preamble and ra-ResponseWindow has expired}

then { UE retransmits the PRACH Preamble }

}

(2)

with { UE in RRC_Idle State and transmitted PRACH preamble for System information request }

ensure that {

when { UE received a RAR message addressed to RA-RNTI and including matching RAPID only }

then { UE considers the RACH procedure to be successfully completed and informs the upper layer }

}

(3)

Void

7.1.1.1.3.2 Conformance requirements

References: The conformance requirements covered in the present TC are specified in: 3GPP TS 38.321, clause 5.1.2, 5.1.3, 5.1.4, and 6.1., 3GPP TS 38.331 clause 5.2.2.2.25. Unless otherwise stated these are Rel-15 requirements.

[TS 38.321, clause 5.1.2]

The MAC entity shall:

1> if the Random Access procedure was initiated for beam failure recovery (as specified in subclause 5.17); and

1> if the beamFailureRecoveryTimer (in subclause 5.17) is either running or not configured; and

1> if the contention-free Random Access Resources for beam failure recovery request associated with any of the SSBs and/or CSI-RSs have been explicitly provided by RRC; and

1> if at least one of the SSBs with SS-RSRP above rsrp-ThresholdSSB amongst the SSBs in candidateBeamRSList or the CSI-RSs with CSI-RSRP above rsrp-ThresholdCSI-RS amongst the CSI-RSs in candidateBeamRSList is available:

2> select an SSB with SS-RSRP above rsrp-ThresholdSSB amongst the SSBs in candidateBeamRSList or a CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS amongst the CSI-RSs in candidateBeamRSList;

2> if CSI-RS is selected, and there is no ra-PreambleIndex associated with the selected CSI-RS:

3> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the SSB in candidateBeamRSList which is quasi-collocated with the selected CSI-RS as specified in TS 38.214 [7].

2> else:

3> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected SSB or CSI-RS from the set of Random Access Preambles for beam failure recovery request.

1> else if the ra-PreambleIndex has been explicitly provided by either PDCCH or RRC; and

1> if the ra-PreambleIndex is not 0b000000; and

1> if contention-free Random Access Resource associated with SSBs or CSI-RSs have not been explicitly provided by RRC:

2> set the PREAMBLE_INDEX to the signalled ra-PreambleIndex.

1> else if the contention-free Random Access Resources associated with SSBs have been explicitly provided by RRC and at least one SSB with SS-RSRP above rsrp-ThresholdSSB amongst the associated SSBs is available:

2> select an SSB with SS-RSRP above rsrp-ThresholdSSB amongst the associated SSBs;

2> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected SSB.

1> else if the contention-free Random Access Resources associated with CSI-RSs have been explicitly provided by RRC and at least one CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS amongst the associated CSI-RSs is available:

2> select a CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS amongst the associated CSI-RSs;

2> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected CSI-RS.

1> else:

2> if at least one of the SSBs with SS-RSRP above rsrp-ThresholdSSB is available:

3> select an SSB with SS-RSRP above rsrp-ThresholdSSB.

2> else:

3> select any SSB.

2> if Msg3 has not yet been transmitted:

3> if Random Access Preambles group B is configured:

4> if the potential Msg3 size (UL data available for transmission plus MAC header and, where required, MAC CEs) is greater than ra-Msg3SizeGroupA and the pathloss is less than PCMAX (of the Serving Cell performing the Random Access Procedure) – preambleReceivedTargetPower – msg3-DeltaPreamble – messagePowerOffsetGroupB; or

4> if the Random Access procedure was initiated for the CCCH logical channel and the CCCH SDU size plus MAC subheader is greater than ra-Msg3SizeGroupA:

5> select the Random Access Preambles group B.

4> else:

5> select the Random Access Preambles group A.

3> else:

4> select the Random Access Preambles group A.

2> else (i.e. Msg3 is being retransmitted):

3> select the same group of Random Access Preambles as was used for the Random Access Preamble transmission attempt corresponding to the first transmission of Msg3.

2> if the association between Random Access Preambles and SSBs is configured:

3> select a ra-PreambleIndex randomly with equal probability from the Random Access Preambles associated with the selected SSB and the selected Random Access Preambles group.

2> else:

3> select a ra-PreambleIndex randomly with equal probability from the Random Access Preambles within the selected Random Access Preambles group.

2> set the PREAMBLE_INDEX to the selected ra-PreambleIndex.

1> if an SSB is selected above and an association between PRACH occasions and SSBs is configured:

2> determine the next available PRACH occasion from the PRACH occasions corresponding to the selected SSB permitted by the restrictions given by the ra-ssb-OccasionMaskIndex if configured (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the PRACH occasions occurring simultaneously but on different subcarriers, corresponding to the selected SSB; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the selected SSB).

1> else if a CSI-RS is selected above and an association between PRACH occasions and CSI-RSs is configured:

2> determine the next available PRACH occasion from the PRACH occasions in ra-OccasionList corresponding to the selected CSI-RS (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the PRACH occasions occurring simultaneously but on different subcarriers, corresponding to the selected CSI-RS; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the selected CSI-RS).

1> else if Random Access procedure was initiated for beam failure recovery; and

1> if a CSI-RS is selected above and there is no contention-free Random Access Resource associated with the selected CSI-RS:

2> determine the next available PRACH occasion from the PRACH occasions, permitted by the restrictions given by the ra-ssb-OccasionMaskIndex if configured, corresponding to the SSB in candidateBeamRSList which is quasi-collocated with the selected CSI-RS as specified in TS 38.214 [7] (the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the SSB which is quasi-collected with the selected CSI-RS).

1> else:

2> determine the next available PRACH occasion (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the PRACH occasions occurring simultaneously but on different subcarriers; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion).

1> perform the Random Access Preamble transmission procedure (see subclause 5.1.3).

[TS 38.321, clause 5.1.3]

The MAC entity shall, for each Random Access Preamble:

1> if PREAMBLE_TRANSMISSION_COUNTER is greater than one; and

1> if the notification of suspending power ramping counter has not been received from lower layers; and

1> if SSB selected is not changed (i.e. same as the previous Random Access Preamble transmission):

2> increment PREAMBLE_POWER_RAMPING_COUNTER by 1.

1> select the value of DELTA_PREAMBLE according to subclause 7.3;

1> set PREAMBLE_RECEIVED_TARGET_POWER to preambleReceivedTargetPower + DELTA_PREAMBLE + (PREAMBLE_POWER_RAMPING_COUNTER – 1) × PREAMBLE_POWER_RAMPING_STEP;

1> except for contention-free Random Access Preamble for beam failure recovery request, compute the RA-RNTI associated with the PRACH occasion in which the Random Access Preamble is transmitted;

1> instruct the physical layer to transmit the Random Access Preamble using the selected PRACH, corresponding RA-RNTI (if available), PREAMBLE_INDEX and PREAMBLE_RECEIVED_TARGET_POWER.

The RA-RNTI associated with the PRACH in which the Random Access Preamble is transmitted, is computed as:

RA-RNTI= 1 + s_id + 14 × t_id + 14 × 80 × f_id + 14 × 80 × 8 × ul_carrier_id

[TS 38.321, clause 5.1.4]

Once the Random Access Preamble is transmitted and regardless of the possible occurrence of a measurement gap, the MAC entity shall:

1> if the contention-free Random Access Preamble for beam failure recovery request was transmitted by the MAC entity:

2> start the ra-ResponseWindow configured in BeamFailureRecoveryConfig at the first PDCCH occasion as specified in TS 38.213 [6] from the end of the Random Access Preamble transmission;

2> monitor the PDCCH of the SpCell for response to beam failure recovery request identified by the C-RNTI while ra-ResponseWindow is running.

1> else:

2> start the ra-ResponseWindow configured in RACH-ConfigCommon at the first PDCCH occasion as specified in TS 38.213 [6] from the end of the Random Access Preamble transmission;

2> monitor the PDCCH of the SpCell for Random Access Response(s) identified by the RA-RNTI while the ra-ResponseWindow is running.

1> if notification of a reception of a PDCCH transmission is received from lower layers; and

1> if PDCCH transmission is addressed to the C-RNTI; and

1> if the contention-free Random Access Preamble for beam failure recovery request was transmitted by the MAC entity:

2> consider the Random Access procedure successfully completed.

1> else if a downlink assignment has been received on the PDCCH for the RA-RNTI and the received TB is successfully decoded:

2> if the Random Access Response contains a MAC subPDU with Backoff Indicator:

3> set the PREAMBLE_BACKOFF to value of the BI field of the MAC subPDU using Table 7.2-1, multiplied with SCALING_FACTOR_BI.

2> else:

3> set the PREAMBLE_BACKOFF to 0 ms.

2> if the Random Access Response contains a MAC subPDU with Random Access Preamble identifier corresponding to the transmitted PREAMBLE_INDEX (see subclause 5.1.3):

3> consider this Random Access Response reception successful.

2> if the Random Access Response reception is considered successful:

3> if the Random Access Response includes a MAC subPDU with RAPID only:

4> consider this Random Access procedure successfully completed;

4> indicate the reception of an acknowledgement for SI request to upper layers.

3> else:

4> apply the following actions for the Serving Cell where the Random Access Preamble was transmitted:

5> process the received Timing Advance Command (see subclause 5.2);

5> if the Serving Cell for the Random Access procedure is SRS-only SCell:

6> ignore the received UL grant.

5> else:

6> process the received UL grant value and indicate it to the lower layers.

4> if the Random Access Preamble was not selected by the MAC entity among the contention-based Random Access Preamble(s):

5> consider the Random Access procedure successfully completed.

4> else:

5> set the TEMPORARY_C-RNTI to the value received in the Random Access Response;

5> if this is the first successfully received Random Access Response within this Random Access procedure:

6> if the transmission is not being made for the CCCH logical channel:

7> indicate to the Multiplexing and assembly entity to include a C-RNTI MAC CE in the subsequent uplink transmission.

6> obtain the MAC PDU to transmit from the Multiplexing and assembly entity and store it in the Msg3 buffer.

1> if ra-ResponseWindow configured in BeamFailureRecoveryConfig expires and if the PDCCH addressed to the C-RNTI has not been received:

2> consider the Random Access Response reception not successful;

2> increment PREAMBLE_TRANSMISSION_COUNTER by 1;

2> if PREAMBLE_TRANSMISSION_COUNTER = preambleTransMax + 1:

3> if the Random Access Preamble is transmitted on the SpCell:

4> indicate a Random Access problem to upper layers;

4> if this Random Access procedure was triggered for SI request:

5> consider the Random Access procedure unsuccessfully completed.

3> else if the Random Access Preamble is transmitted on a SCell:

4> consider the Random Access procedure unsuccessfully completed.

2> if the Random Access procedure is not completed:

3> if in this Random Access procedure, the Random Access Preamble was selected by MAC among the contention-based Random Access Preambles:

4> select a random backoff time according to a uniform distribution between 0 and the PREAMBLE_BACKOFF;

4> delay the subsequent Random Access Preamble transmission by the backoff time.

3> perform the Random Access Resource selection procedure (see subclause 5.1.2).

HARQ operation is not applicable to the Random Access Response transmission.

[TS 38.321, clause 6.1.5]

A MAC PDU consists of one or more MAC subPDUs and optionally padding. Each MAC subPDU consists one of the following:

– a MAC subheader with Backoff Indicator only;

– a MAC subheader with RAPID only (i.e. acknowledgment for SI request);

– a MAC subheader with RAPID and MAC RAR.

A MAC subheader with RAPID consists of three header fields E/T/RAPID as described in Figure 6.1.5-2.

Padding is placed at the end of the MAC PDU if present. Presence and length of padding is implicit based on TB size, size of MAC subPDU(s).

Figure 6.1.5-1: E/T/R/R/BI MAC subheader

Figure 6.1.5-2: E/T/RAPID MAC subheader

Figure 6.1.5-3: Example of MAC PDU consisting of MAC RARs

[38.331, clause 5.2.2.2.2]

UEs in RRC_IDLE or in RRC_INACTIVE shall monitor for SI change indication in its own paging occasion every DRX cycle. UEs in RRC_CONNECTED shall monitor for SI change indication in any paging occasion at least once per modification period if the UE is provided with common search space on the active BWP to monitor paging, as specified in TS 38.213 [13], clause 13.

ETWS or CMAS capable UEs in RRC_IDLE or in RRC_INACTIVE shall monitor for indications about PWS notification in its own paging occasion every DRX cycle. ETWS or CMAS capable UEs in RRC_CONNECTED shall monitor for indication about PWS notification in any paging occasion at least once every defaultPagingCycle if the UE is provided with common search space on the active BWP to monitor paging.

For Short Message reception in a paging occasion, the UE monitors the PDCCH monitoring occasion(s) for paging as specified in TS 38.304 [20] and TS 38.213 [13].

If the UE receives a Short Message, the UE shall:

1> if the UE is ETWS capable or CMAS capable, the etwsAndCmasIndication bit of Short Message is set, and the UE is provided with searchSpaceOtherSystemInformation on the active BWP:

2> immediately re-acquire the SIB1;

2> if the UE is ETWS capable and si-SchedulingInfo includes scheduling information for SIB6:

3> acquire SIB6, as specified in clause 5.2.2.3.2, immediately;

2> if the UE is ETWS capable and si-SchedulingInfo includes scheduling information for SIB7:

3> acquire SIB7, as specified in clause 5.2.2.3.2, immediately;

2> if the UE is CMAS capable and si-SchedulingInfo includes scheduling information for SIB8:

3> acquire SIB8, as specified in sub-clause 5.2.2.3.2, immediately;

1> if the systemInfoModification bit of Short Message is set:

2> apply the SI acquisition procedure as defined in sub-clause 5.2.2.3 from the start of the next modification period.

7.1.1.1.3.3 Test description

7.1.1.1.3.3.1 Pre-test conditions

System Simulator:

– NR Cell 1 and NR Cell 11.

– System information combination NR-3 as defined in TS 38.508-1 [4] clause 4.4.3.1.3 is used in NR Cell 1.

UE:

– None.

Preamble:

– The UE is in NR RRC_Idle mode (state 1N-A) on NR Cell 1 according to 38.508-1 [4] Table 4.4A.2-1.

7.1.1.1.3.3.2 Test procedure sequence

Table 7.1.1.1.3.3.2-1/2 illustrate the downlink power levels and other changing parameters to be applied for the cell at various time instants of the test execution. The exact instants on which these values shall be applied are described in the texts in this clause. Configurations marked "T0" is applied for Preamble. Configurations marked "T1" and "T2" are applied at the points indicated in the Main behaviour description in Table 7.1.1.1.3.3.2-3.

Table 7.1.1.1.3.3.2-1: Time instances of cell power level and parameter changes for FR1

	Parameter	Unit	NR Cell 1	NR Cell 11	Remark
T0	SS/PBCH SSS EPRE	dBm/SCS	-90	Off	The power level is such that Srxlev_NRCell1 > 0
	Qrxlevmin	dBm	-106	–
	Qrxlevminoffset	dB	0	–
	Pcompensation	dB	0	–
	Qoffset	dB	16	–
T1	SS/PBCH SSS EPRE	dBm/SCS	-90	-84	The power level values are assigned to satisfy R_{NRCell 1} > R_{NRCell 11}
	Qrxlevmin	dBm	-106	-106
	Qrxlevminoffset	dB	0	0
	Pcompensation	dB	0	0
	Qoffset	dB	16	–
T2	SS/PBCH SSS EPRE	dBm/SCS	-90	-84	The power level values are assigned to satisfy R_{NRCell 1} < R_{NRCell 11}
	Qrxlevmin	dBm	-106	-106
	Qrxlevminoffset	dB	0	0
	Pcompensation	dB	0	0
	Qoffset	dB	-10	–
Note: The downlink signal level uncertainty is specified in TS 38.508-1 [4] clause 6.2.2.1.

Table 7.1.1.1.3.3.2-2: Time instances of cell power level and parameter changes for FR2

	Parameter	Unit	NR Cell 1	NR Cell 11	Remark
T0	SS/PBCH SSS EPRE	dBm/SCS	-91	Off	The power level is such that Srxlev_NRCell1 > 0
	Qrxlevmin	dBm	2* ROUND((-110+Delta(NRfs))/2)	–
	Qrxlevminoffset	dB	0	–
	Pcompensation	dB	0	–
	Qoffset	dB	16	–
T1	SS/PBCH SSS EPRE	dBm/SCS	-91	-82	The power level values are assigned to satisfy R_{NRCell 1} > R_{NRCell 11}
	Qrxlevmin	dBm	2* ROUND((-110+Delta(NRfs))/2)	2* ROUND((-110+Delta(NRfs))/2)
	Qrxlevminoffset	dB	0	0
	Pcompensation	dB	0	0
	Qoffset	dB	16	–
T2	SS/PBCH SSS EPRE	dBm/SCS	-91	-82	The power level values are assigned to satisfy R_{NRCell 1} < R_{NRCell 11}
	Qrxlevmin	dBm	2* ROUND((-110+Delta(NRfs))/2)	2* ROUND((-110+Delta(NRfs))/2)
	Qrxlevminoffset	dB	0	0
	Pcompensation	dB	0	0
	Qoffset	dB	-10	–
Note: The downlink signal level uncertainty is specified in TS 38.508-1 [4] section 6.2.2.2.

Table 7.1.1.1.3.3.2-3: Main behaviour

St	Procedure	Message Sequence		TP	Verdict
St		U – S	Message	TP	Verdict
1	The SS changes SS/PBCH EPRE level of NR Cell 11 according to the row "T1" in Table 7.1.1.1.3.3.2-1/2.	–	–	–	–
2	Wait 60s to ensure UE detects NR Cell 11.	–	–	–	–
3	SS transmits Short Message on PDCCH addressed to P-RNTI using Short Message field in DCI format 1_0. Bit 1 of Short Message field is set to 1 to indicate the SI modification.	<–	(Short Message)	–	–
4	The valueTag for SIB3 in the SIB1 message is increased and si–BroadcastStatus for SIB3 is set to ‘notBroadcasted’ and SS stops broadcasting SIB3.	<–		–	–
5	Check: Does the UE transmit a preamble on PRACH using the preamble indicated by ra-PreambleStartIndex defined in SI-RequestConfig in SIB1 in Table 7.1.1.1.3.3.3-1?	–>	PRACH Preamble	1	P
6	Check: Does the UE re-transmit a preamble on PRACH after ra-ResponseWindow using the preamble indicated by ra-PreambleStartIndex defined in SI-RequestConfig in SIB1 in Table 7.1.1.1.3.3.3-1?	–>	PRACH Preamble	1	P
7	Check: Does the UE re-transmit a preamble on PRACH after ra-ResponseWindow using the preamble indicated by ra-PreambleStartIndex defined in SI-RequestConfig in SIB1 in Table 7.1.1.1.3.3.3-1?	–>	PRACH Preamble	1	P
8	Check: Does the UE re-transmit a preamble on PRACH after ra-ResponseWindow using the preamble indicated by ra-PreambleStartIndex defined in SI-RequestConfig in SIB1 in Table 7.1.1.1.3.3.3-1?	–>	PRACH Preamble	1	P
9	The SS transmits a RAR message addressed to UE RA-RNTI including a MAC subPDU with a matching RAPID only. (Note 1)	<–	Random Access Response	–	–
9A	The SS changes the parameter ‘Qoffset’ in SIB3 of NR Cell 1 according to the row "T2" in Table 7.1.1.1.3.3.2-1/2 and starts broadcasting SIB3.
10	Check: Does UE send Msg3 containing an RRCSetupRequest message in the grant associated to the Random Access Response received in step 9?	–>	RRCSetupRequest	2	F
11	Check: Does the test result of generic test procedure in TS 38.508-1 [4] Table 4.9.5.2.2-1 indicate that the UE is camped on NR Cell 11 belonging to a new TA?	–	–	2	P
Note 1: The UE will indicate the reception of an acknowledgement for SI request to upper layers after UE receives the RAR message including a MAC subPDU with a matching RAPID only, according to TS 38.321 [18] clause 5.1.4.

7.1.1.1.3.3.3 Specific message contents

Table 7.1.1.1.3.3.3-1: SIB1 on NR Cell 1 (Step 4, Table 7.1.1.1.3.3.2-3)

Derivation Path: TS 38.508-1 [4], Table 4.6.1-28
Information Element	Value/remark	Comment	Condition
SIB1 ::= SEQUENCE {
si-SchedulingInfo SEQUENCE {
schedulingInfoList SEQUENCE {	2 entries
si-BroadcastStatus[1]	Broadcasting
si-Periodicity[1]	rf32
sib-MappingInfo[1] SEQUENCE {
type	SibType2
valueTag	0
areaScope	Not present
}
si-BroadcastStatus[2]	notBroadcasting
si-Periodicity[2]	rf64
sib-MappingInfo[2] SEQUENCE {
type	SibType3
valueTag	1
areaScope	Not present
}
}
si-RequestConfig SEQUENCE {
rach-OccasionsSI SEQUENCE {
rach-ConfigSI	RACH-ConfigGeneric	TS 38.508-1 [4], Table 4.6.3-130
ssb-perRACH-Occasion	one
}
si-RequestPeriod	two
si-RequestResources SEQUENCE {	1 entry
ra-PreambleStartIndex[1]	52
ra-AssociationPeriodIndex[1]	0
ra-ssb-OccasionMaskIndex[1]	0
}
}
si-RequestConfigSUL	Not present
}
}

Table 7.1.1.1.3.3.3-2: SIB3 on NR Cell 1 (Preamble and Step 9A, Table 7.1.1.1.3.3.2-3)

Derivation Path: TS 38.508-1 [4], Table 4.6.2-2
Information Element	Value/remark	Comment	Condition
SIB3 ::= SEQUENCE {
intraFreqNeighCellList SEQUENCE {
physCellId	The cell identity of NR Cell 11 defined in 38.508-1 [4] clause 4.4.2
q-OffsetCell	16	Preamble
q-OffsetCell	-10	Step 9A
}
}

7.1.1.1.4 Random access procedure / Successful / Beam Failure / Preamble selected by MAC itself / Non Contention Free RACH procedure

7.1.1.1.4.1 Test Purpose (TP)

(1)

with { UE in RRC_CONNECTED state with no failureDetectionResources configured and RACH procedure due to beam failure is triggered }

ensure that {

when { contention free random access resources for beam failure recovery request associated with SS blocks are not provided by RRC }

then { UE selects initiates the non-contention free Random Access Procedure }

}

(2)

with { UE in RRC_CONNECTED state and RACH procedure due to beam failure is triggered }

ensure that {

when { contention free random access resources for beam failure recovery request associated with SS blocks are explicitly provided by RRC }

then { UE selects the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected SS block and initiates the contention free Random Access Procedure }

}

(3)

with { UE in RRC_CONNECTED state and RACH procedure due to beam failure is triggered }

ensure that {

when { contention free random access resources for beam failure recovery request associated with CSI-RS are explicitly provided by RRC }

then { UE selects the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected CSI-RS and initiates the contention free Random Access Procedure }

}

(4)

with { UE in RRC_CONNECTED state with Preamble transmitted for contention free RACH procedure for beam failure }

ensure that {

when { ra-ResponseWindowBFR expires and the PDCCH addressed to the C-RNTI has not been received }

then { UE retransmits the PRACH Preamble }

}

(5)

with { UE in RRC_CONNECTED state with Preamble transmitted for contention free RACH procedure for beam failure }

ensure that {

when { before expiry of ra-ResponseWindowBFR the PDCCH addressed to the C-RNTI is received }

then { UE considers the RACH procedure to be successfully completed and stops retransmitting PRACH preambles }

}

7.1.1.1.4.2 Conformance requirements

References: The conformance requirements covered in the present test case are specified in: TS 38.321, clause 5.1.2, 5.1.3, 5.1.4 and 5.17. Unless otherwise stated these are Rel-15 requirements.

[TS 38.321, clause 5.1.2]

The MAC entity shall:

1> if the Random Access procedure was initiated for beam failure recovery (as specified in subclause 5.17); and

1> if the beamFailureRecoveryTimer (in subclause 5.17) is either running or not configured; and

1> if the contention-free Random Access Resources for beam failure recovery request associated with any of the SSBs and/or CSI-RSs have been explicitly provided by RRC; and

2> select an SSB with SS-RSRP above rsrp-ThresholdSSB amongst the SSBs in candidateBeamRSList or a CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS amongst the CSI-RSs in candidateBeamRSList;

2> if CSI-RS is selected, and there is no ra-PreambleIndex associated with the selected CSI-RS:

3> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the SSB in candidateBeamRSList which is quasi-collocated with the selected CSI-RS as specified in TS 38.214 [7].

2> else:

3> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected SSB or CSI-RS from the set of Random Access Preambles for beam failure recovery request.

1> else if the ra-PreambleIndex has been explicitly provided by PDCCH; and

1> if the ra-PreambleIndex is not 0b000000:

2> set the PREAMBLE_INDEX to the signalled ra-PreambleIndex;

2> select the SSB signalled by PDCCH.

2> select an SSB with SS-RSRP above rsrp-ThresholdSSB amongst the associated SSBs;

2> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected SSB.

2> select a CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS amongst the associated CSI-RSs;

2> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected CSI-RS.

1> else if the Random Access procedure was initiated for SI request (as specified in TS 38.331 [5]); and

1> if the Random Access Resources for SI request have been explicitly provided by RRC:

2> if at least one of the SSBs with SS-RSRP above rsrp-ThresholdSSB is available:

3> select an SSB with SS-RSRP above rsrp-ThresholdSSB.

2> else:

3> select any SSB.

2> select a Random Access Preamble corresponding to the selected SSB, from the Random Access Preamble(s) determined according to ra-PreambleStartIndex as specified in TS 38.331 [5];

2> set the PREAMBLE_INDEX to selected Random Access Preamble.

1> else (i.e. for the contention-based Random Access preamble selection):

2> if at least one of the SSBs with SS-RSRP above rsrp-ThresholdSSB is available:

3> select an SSB with SS-RSRP above rsrp-ThresholdSSB.

2> else:

3> select any SSB.

2> if Msg3 has not yet been transmitted:

3> if Random Access Preambles group B is configured:

4> if the potential Msg3 size (UL data available for transmission plus MAC header and, where required, MAC CEs) is greater than ra-Msg3SizeGroupA and the pathloss is less than PCMAX (of the Serving Cell performing the Random Access Procedure) – preambleReceivedTargetPower – msg3-DeltaPreamble – messagePowerOffsetGroupB; or

4> if the Random Access procedure was initiated for the CCCH logical channel and the CCCH SDU size plus MAC subheader is greater than ra-Msg3SizeGroupA:

5> select the Random Access Preambles group B.

4> else:

5> select the Random Access Preambles group A.

3> else:

4> select the Random Access Preambles group A.

2> else (i.e. Msg3 is being retransmitted):

3> select the same group of Random Access Preambles as was used for the Random Access Preamble transmission attempt corresponding to the first transmission of Msg3.

2> if the association between Random Access Preambles and SSBs is configured:

3> select a Random Access Preamble randomly with equal probability from the Random Access Preambles associated with the selected SSB and the selected Random Access Preambles group.

2> else:

3> select a Random Access Preamble randomly with equal probability from the Random Access Preambles within the selected Random Access Preambles group.

2> set the PREAMBLE_INDEX to the selected Random Access Preamble.

1> if the Random Access procedure was initiated for SI request (as specified in TS 38.331 [5]); and

1> if ra-AssociationPeriodIndex and si-RequestPeriod are configured:

1> else if an SSB is selected above:

2> determine the next available PRACH occasion from the PRACH occasions corresponding to the selected SSB permitted by the restrictions given by the ra-ssb-OccasionMaskIndex if configured (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the consecutive PRACH occasions according to subclause 8.1 of TS 38.213 [6], corresponding to the selected SSB; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the selected SSB).

1> else if a CSI-RS is selected above:

2> if there is no contention-free Random Access Resource associated with the selected CSI-RS:

2> else:

1> perform the Random Access Preamble transmission procedure (see subclause 5.1.3).

NOTE: When the UE determines if there is an SSB with SS-RSRP above rsrp-ThresholdSSB or a CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS, the UE uses the latest unfiltered L1-RSRP measurement.

[TS 38.321, clause 5.1.4]

Once the Random Access Preamble is transmitted and regardless of the possible occurrence of a measurement gap, the MAC entity shall:

1> if the contention-free Random Access Preamble for beam failure recovery request was transmitted by the MAC entity:

2> start the ra-ResponseWindow configured in BeamFailureRecoveryConfig at the first PDCCH occasion as specified in TS 38.213 [6] from the end of the Random Access Preamble transmission;

2> monitor the PDCCH of the SpCell for response to beam failure recovery request identified by the C-RNTI while ra-ResponseWindow is running.

1> else:

2> start the ra-ResponseWindow configured in RACH-ConfigCommon at the first PDCCH occasion as specified in TS 38.213 [6] from the end of the Random Access Preamble transmission;

2> monitor the PDCCH of the SpCell for Random Access Response(s) identified by the RA-RNTI while the ra-ResponseWindow is running.

1> if notification of a reception of a PDCCH transmission is received from lower layers on the Serving Cell where the preamble was transmitted; and

1> if PDCCH transmission is addressed to the C-RNTI; and

1> if the contention-free Random Access Preamble for beam failure recovery request was transmitted by the MAC entity:

2> consider the Random Access procedure successfully completed.

1> else if a downlink assignment has been received on the PDCCH for the RA-RNTI and the received TB is successfully decoded:

2> if the Random Access Response contains a MAC subPDU with Backoff Indicator:

3> set the PREAMBLE_BACKOFF to value of the BI field of the MAC subPDU using Table 7.2-1, multiplied with SCALING_FACTOR_BI.

2> else:

3> set the PREAMBLE_BACKOFF to 0 ms.

2> if the Random Access Response contains a MAC subPDU with Random Access Preamble identifier corresponding to the transmitted PREAMBLE_INDEX (see subclause 5.1.3):

3> consider this Random Access Response reception successful.

2> if the Random Access Response reception is considered successful:

3> if the Random Access Response includes a MAC subPDU with RAPID only:

4> consider this Random Access procedure successfully completed;

4> indicate the reception of an acknowledgement for SI request to upper layers.

3> else:

4> apply the following actions for the Serving Cell where the Random Access Preamble was transmitted:

5> process the received Timing Advance Command (see subclause 5.2);

5> if the Serving Cell for the Random Access procedure is SRS-only SCell:

6> ignore the received UL grant.

5> else:

6> process the received UL grant value and indicate it to the lower layers.

4> if the Random Access Preamble was not selected by the MAC entity among the contention-based Random Access Preamble(s):

5> consider the Random Access procedure successfully completed.

4> else:

5> set the TEMPORARY_C-RNTI to the value received in the Random Access Response;

5> if this is the first successfully received Random Access Response within this Random Access procedure:

6> if the transmission is not being made for the CCCH logical channel:

7> indicate to the Multiplexing and assembly entity to include a C-RNTI MAC CE in the subsequent uplink transmission.

6> obtain the MAC PDU to transmit from the Multiplexing and assembly entity and store it in the Msg3 buffer.

1> if ra-ResponseWindow configured in BeamFailureRecoveryConfig expires and if the PDCCH addressed to the C-RNTI has not been received on the Serving Cell where the preamble was transmitted:

2> consider the Random Access Response reception not successful;

2> increment PREAMBLE_TRANSMISSION_COUNTER by 1;

2> if PREAMBLE_TRANSMISSION_COUNTER = preambleTransMax + 1:

3> if the Random Access Preamble is transmitted on the SpCell:

4> indicate a Random Access problem to upper layers;

4> if this Random Access procedure was triggered for SI request:

5> consider the Random Access procedure unsuccessfully completed.

3> else if the Random Access Preamble is transmitted on a SCell:

4> consider the Random Access procedure unsuccessfully completed.

2> if the Random Access procedure is not completed:

3> select a random backoff time according to a uniform distribution between 0 and the PREAMBLE_BACKOFF;

3> if the criteria (as defined in subclause 5.1.2) to select contention-free Random Access Resources is met during the backoff time:

4> perform the Random Access Resource selection procedure (see subclause 5.1.2);

3> else:

4> perform the Random Access Resource selection procedure (see subclause 5.1.2) after the backoff time.

HARQ operation is not applicable to the Random Access Response transmission.

7.1.1.1.4.3 Test description

7.1.1.1.4.3.1 Pre-test conditions

Same Pre-test conditions as in clause 7.1.1.0 except that set to return no data in uplink.

7.1.1.1.4.3.2 Test procedure sequence

Table 7.1.1.1.4.3.2-1/1A illustrates the downlink power levels and other changing parameters to be applied for the cells at various time instants of the test execution. Row marked "T0" denotes the initial conditions after preamble, while columns marked "T1"and "T2"are to be applied subsequently. The exact instants on which these values shall be applied are described in the texts in this clause.

Table 7.1.1.1.4.3.2-1: Time instances of cell power level and parameter changes for FR1

	Parameter	Unit	E-UTRA Cell 1	NR Cell 1	NR Cell 1 Beam index #1	NR Cell 1 Beam index #0	Remark
T0	Cell-specific RS EPRE	dBm/15kHz	-85	–	–	–	Beam#1 Switch ON and Beam#0 Switch OFF
	Reference Power	dBm/SCS	–	-88	–	–
	CSI-RS EPRE SS/PBCH SSS EPRE,	dB	–	–	0	-57
T1	Cell-specific RS EPRE	dBm/15kHz	-85	–	–	–	Beam#1 Switch OFF and Beam#0 Switch ON
	Reference Power	dBm/SCS	–	-88	–	–
	CSI-RS EPRE SS/PBCH SSS EPRE,	dB	–	–	-57	0
T2	Cell-specific RS EPRE	dBm/15kHz	-85	–	–	–	Beam#1 Switch ON and Beam#0 Switch OFF
	Reference Power	dBm/SCS	–	-88	–	–
	CSI-RS EPRE SS/PBCH SSS EPRE,	dB	–	–	0	-57
NOTE: "Beam index #1" refers to transmission of the SS/PBCH block with SSB index #1 (according to the ssb-PositionsInBurst) and CSI-RS with index #1 (according to the CSI-MeasConfig being signalled to the UE at step 1/8/17); "Beam index #0" refers to transmission of the SS/PBCH block with SSB index #0 (according to the ssb-PositionsInBurst) and CSI-RS with index #0 (according to the CSI-MeasConfig being signalled to the UE at step 1/8/17).

Table 7.1.1.1.4.3.2-1A: Time instances of cell power level and parameter changes for FR2

	Parameter	Unit	E-UTRA Cell 1	NR Cell 1	NR Cell 1 Beam index #1	NR Cell 1 Beam index #0	Remark
T0	Cell-specific RS EPRE	dBm/15kHz	-96	–	–	–	Beam#1 Switch ON and Beam#0 Switch OFF
	Reference Power	dBm/SCS	–	-82	–	–
	CSI-RS EPRE SS/PBCH SSS EPRE,	dB	–	–	0	-63
T1	Cell-specific RS EPRE	dBm/15kHz	-96	–	–	–	Beam#1 Switch OFF and Beam#0 Switch ON
	Reference Power	dBm/SCS	–	-82	–	–
	CSI-RS EPRE SS/PBCH SSS EPRE,	dBm/SCS	–	–	-63	0
T2	Cell-specific RS EPRE	dBm/15kHz	-96	–	–	–	Beam#1 Switch ON and Beam#0 Switch OFF
	Reference Power	dBm/SCS	–	-82	–	–
	CSI-RS EPRE SS/PBCH SSS EPRE,	dBm/SCS	–	–	0	-63
NOTE: "Beam index #1" refers to transmission of the SS/PBCH block with SSB index #1 (according to the ssb-PositionsInBurst) and CSI-RS with index #1 (according to the CSI-MeasConfig being signalled to the UE at step 1/8/17); "Beam index #0" refers to transmission of the SS/PBCH block with SSB index #0 (according to the ssb-PositionsInBurst) and CSI-RS with index #0 (according to the CSI-MeasConfig being signalled to the UE at step 1/8/17).

Table 7.1.1.1.4.3.2-2: Main behaviour

St	Procedure	Message Sequence		TP	Verdict
		U – S	Message
1	The SS transmits an NR RRCReconfiguration message to configure parameters for BFR. Note 1.	<–	NR RRC: RRCReconfiguration	–	–
2	UE responses NR RRCReconfigurationComplete message. Note 2.	–>	NR RRC: RRCReconfigurationComplete	–	–
3	The SS changes NR Cell 1 power level according to the row "T1" in table 7.1.1.1.4.3.2-1/1A.	–	–	–	–
4	Check: Does the UE transmit a preamble on PRACH for the non-contention free Random Access Procedure on NR Cell 1 Beam index #1?	–>	PRACH Preamble	1	P
5	The SS transmits a MAC PDU addressed to UE RA-RNTI, containing multiple RAR’s and one of the MAC sub headers contains a matching RAPID on NR Cell 1.	<–	Random Access Response	–	–
6	UE sends a msg3 using the grant associated to the Random Access Response received in Step 5 on NR Cell 1.	–>	msg3 (C-RNTI MAC CONTROL ELEMENT)	–	–
7	SS schedules PDCCH transmission for UE C-RNTI.	<–	Contention Resolution	–	–
8	The SS transmits an NR RRCReconfiguration to establish random access resources for BFR associated with SS blocks explicitly. Note 1.	<–	NR RRC: RRCReconfiguration	–	–
9	UE responses NR RRCReconfigurationComplete message. Note 2.	–>	NR RRC: RRCReconfigurationComplete	–	–
10	The SS changes NR Cell 1 power level according to the row "T2" in table 7.1.1.1.4.3.2-1/1A.	–	–	–	–
11	Check: Does the UE transmit preamble on PRACH using a preamble with PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected SS block provided by RRC on NR Cell 1 Beam index #0?	–>	PRACH Preamble	2	P
12	The SS waits for ra-ResponseWindowBFR expire. NOTE: The SS does not transmit Random Access Response to the UE.	–	–	–	–
13	Check: Does the UE retransmit a preamble on PRACH with ra-PreambleIndex same as the Step 11?	–>	PRACH Preamble	4	P
14	The SS transmits a MAC PDU addressed to UE C-RNTI, containing multiple RAR’s and one of the MAC sub headers contains a matching RAPID on NR Cell 1.	<–	Random Access Response	–	–
15	The SS waits for ra-ResponseWindowBFR expire.	–	–	–	–
16	Check: Does the UE retransmit a preamble on PRACH?	–	–	5	F
–	EXCEPTION: Steps 17 to 25 describe behaviour that depends on the UE capability.	–	–	–	–
17	IF pc_csi_RS_CFRA_ForHO THEN the SS transmits an NR RRCReconfiguration message to establish random access resources for BFR associated with CSI-RS explicitly. Note 1.	<–	NR RRC: RRCReconfiguration	–	–
18	UE responses NR RRCReconfigurationComplete message. Note 2.	–>	NR RRC: RRCReconfigurationComplete	–	–
19	The SS changes NR Cell 1 power level according to the row "T1" in table 7.1.1.1.4.3.2-1/1A.	–	–	–	–
20	Check: Does the UE transmit preamble on PRACH using a preamble with PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected CSI-RS provided by RRC on NR Cell 1 Beam index #1?	–>	PRACH Preamble	3	P
21	The SS waits for ra-ResponseWindowBFR expire. NOTE: The SS does not transmit Random Access Response to the UE.	–	–	–	–
22	Check: Does the UE retransmit a preamble on PRACH with ra-PreambleIndex same as the Step 20?	–>	PRACH Preamble	4	P
23	The SS transmits a MAC PDU addressed to UE C-RNTI, containing multiple RAR’s and one of the MAC sub headers contains a matching RAPID on NR Cell 1.	<–	Random Access Response	–	–
24	The SS waits for ra-ResponseWindowBFR expire.	–	–	–	–
25	Check: Does the UE retransmit a preamble on PRACH?	–	–	5	F
Note 1: for EN-DC the NR RRCReconfiguration message is contained in RRCConnectionReconfiguration 36.508 [7], Table 4.6.1-8 using condition EN-DC_EmbedNR_RRCRecon. Note 2: for EN-DC the NR RRCReconfigurationComplete message is contained in RRCConnectionReconfigurationComplete.

7.1.1.1.4.3.3 Specific message contents

Table 7.1.1.1.4.3.3-1: Void

Table 7.1.1.1.4.3.3-2: Void

Table 7.1.1.1.4.3.3-3: RRCReconfiguration (Step 1, Step8, Step17 Table 7.1.1.1.4.3.2-2)

Derivation path: 38.508-1 [4], Table 4.6.1-13
Information Element	Value/remark	Comment	Condition
RRCReconfiguration::=SEQUENCE{
criticalExtensions CHOICE{
rrcReconfiguration SEQUENCE{
secondaryCellGroup	CellGroupConfig	OCTET STRING	EN-DC
nonCriticalExtension SEQUENCE {			NR
masterCellGroup	CellGroupConfig	OCTET STRING (CONTAINING CellGroupConfig)
}
}
}
}

Table 7.1.1.1.4.3.3-4: CellGroupConfig (Table 7.1.1.1.4.3.3-3: RRCReconfiguration)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-19
Information Element	Value/remark	Comment	Condition
CellGroupConfig ::= SEQUENCE {
spCellConfig SEQUENCE {
spCellConfigDedicated	ServingCellConfig
}
}

Table 7.1.1.1.4.3.3-5: ServingCellConfig (Table 7.1.1.1.4.3.3-4: CellGroupConfig)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-168
Information Element	Value/remark	Comment	Condition
ServingCellConfig ::= SEQUENCE {
initialDownlinkBWP	BWP-DownlinkDedicated
uplinkConfig SEQUENCE {
initialUplinkBWP	BWP-UplinkDedicated
}
csi-MeasConfig CHOICE {			Step 1
setup	CSI-MeasConfig
}
}

Table 7.1.1.1.4.3.3-6: BWP-DownlinkDedicated (Table 7.1.1.1.4.3.3-5: ServingCellConfig)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-11
Information Element	Value/remark	Comment	Condition
BWP-DownlinkDedicated ::= SEQUENCE {
pdcch-Config	Not present		Step 17
pdcch-Config CHOICE {			Step 1, Step 8
setup	PDCCH-Config
}
pdsch-Config CHOICE {
setup	PDSCH-Config
}
radioLinkMonitoringConfig CHOICE {
setup	RadioLinkMonitoringConfig
}
}

Table 7.1.1.1.4.3.3-7: RadioLinkMonitoringConfig (Table 7.1.1.1.4.3.3-6: BWP-DownlinkDedicated)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-133
Information Element	Value/remark	Comment	Condition
RadioLinkMonitoringConfig ::= SEQUENCE {
failureDetectionResourcesToAddModList SEQUENCE (SIZE(1..maxNrofFailureDetectionResources)) OF RadioLinkMonitoringRS {	2 entries
RadioLinkMonitoringRS[1] SEQUENCE {		entry 1
radioLinkMonitoringRS-Id	0
purpose	rlf		Step 1, Step 17
	both		Step 8
detectionResource CHOICE {
csi-rs	0	NR Cell 1 Beam index #0
}
}
RadioLinkMonitoringRS[2] SEQUENCE {		entry 2
radioLinkMonitoringRS-Id	1
purpose	rlf		Step 1, Step 8
	both		Step 17
detectionResource CHOICE {
csi-rs	1	NR Cell 1 Beam index #1
}
}
}
beamFailureInstanceMaxCount	n1
beamFailureDetectionTimer	pbfd1
}

Table 7.1.1.1.4.3.3-8: PDSCH-Config (Table 7.1.1.1.4.3.3-6: BWP-DownlinkDedicated)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-100
Information Element	Value/remark	Comment	Condition
PDSCH-Config ::= SEQUENCE {
tci-StatesToAddModList SEQUENCE(SIZE (1.. maxNrofTCI-States)) OF TCI-State {	3 entries
TCI-State[1] SEQUENCE {		entry 1
tci-StateId	0
qcl-type1 SEQUENCE {
cell	ServCellIndex of NR SpCell	Cell ID
bwp-id	0	BWP ID
referenceSignal CHOICE {
ssb	1	SSB index #1
}
qcl-Type	type C
}
qcl-type2	Not present
qcl-type2 SEQUENCE {			FR2
cell	ServCellIndex of NR SpCell	Cell ID
bwp-id	0	BWP ID
referenceSignal CHOICE {
ssb	1	SSB index #1
}
qcl-Type	type D
}
}
TCI-State[2] SEQUENCE {		entry 2
tci-StateId	1
qcl-type1 SEQUENCE {
cell	ServCellIndex of NR SpCell	Cell ID
bwp-id	0	BWP ID
referenceSignal CHOICE {
ssb	0	SSB index #0
}
qcl-Type	type C
}
qcl-type2	Not present
qcl-type2 SEQUENCE {			FR2
cell	ServCellIndex of NR SpCell	Cell ID
bwp-id	0	BWP ID
referenceSignal CHOICE {
ssb	0	SSB index #0
}
qcl-Type	type D
}
}
TCI-State[3] SEQUENCE {		entry 3
tci-StateId	2
qcl-type1 SEQUENCE {
cell	ServCellIndex of NR SpCell	Cell ID
bwp-id	0	BWP ID
referenceSignal CHOICE {
csi-rs	1	Csi-Rs index #1
}
qcl-Type	type A
}
qcl-type2	Not present
qcl-type2 SEQUENCE {			FR2
cell	ServCellIndex of NR SpCell	Cell ID
bwp-id	0	BWP ID
referenceSignal CHOICE {
Csi-rs	1	Csi-Rs index #1
}
qcl-Type	type D
}
}
}
}

Table 7.1.1.1.4.3.3-9: PDCCH-Config (Table 7.1.1.1.4.3.3-6: BWP-DownlinkDedicated)

Derivation Path: TS 38.508-1 [4],Table 4.6.3-95
Information Element	Value/remark	Comment	Condition
PDCCH-Config::= SEQUENCE {
controlResourceSetToAddModList SEQUENCE(SEQUENCE(SIZE (1..3)) OF ControlResourceSet {	2 entries
ControlResourceSet[1]	ControlResourceSetid1	entry 1
ControlResourceSet[2]	ControlResourceSetid2	entry 2
}
searchSpacesToAddModList SEQUENCE(SIZE (1..10)) OF SearchSpace {	2 entries
SearchSpace[1]	SearchSpace with condition USS	entry 1
SearchSpace[2]	SearchSpaceBFR	entry 2
}
}

Table 7.1.1.1.4.3.3-10: ControlResourceSetId1 (Table 7.1.1.1.4.3.3-9: PDCCH-Config)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-28
Information Element	Value/remark	Comment	Condition
ControlResourceSet ::= SEQUENCE {
controlResourceSetId	1
tci-StatesPDCCH-ToAddList SEQUENCE (SIZE (1..maxNrofTCI-StatesPDCCH)) OF TCI-StateId {	1 entry		Step 1
TCI-StateId[1]	2	entry 1 TCI-State Id 2
}
tci-StatesPDCCH-ToReleaseList SEQUENCE (SIZE (1..maxNrofTCI-StatesPDCCH)) OF TCI-StateId {	1 entry		Step 8
TCI-StateId[1]	2	entry 1 TCI-State Id 2
}
}

Table 7.1.1.1.4.3.3-11: ControlResourceSetId2 (Table 7.1.1.1.4.3.3-9: PDCCH-Config)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-28
Information Element	Value/remark	Comment	Condition
ControlResourceSet ::= SEQUENCE {
controlResourceSetId	2
}

Table 7.1.1.1.4.3.3-12: SearchSpaceBFR (Table 7.1.1.1.4.3.3-9: PDCCH-Config)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-162
Information Element	Value/remark	Comment	Condition
SearchSpace ::= SEQUENCE {
searchSpaceId	4
controlResourceSetId	2
searchSpaceType CHOICE {
ue-Specific SEQUENCE {
dci-Formats	formats0-0-And-1-0
}
}
}

Table 7.1.1.1.4.3.3-13: CSI-MeasConfig (Table 7.1.1.1.4.3.3-5: ServingCellConfig)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-38
Information Element	Value/remark	Comment	Condition
CSI-MeasConfig::= SEQUENCE {
nzp-CSI-RS-ResourceToAddModList SEQUENCE {	2 entries
NZP-CSI-RS-Resource[1]	NZP-CSI-RS-ResourceId0
NZP-CSI-RS-Resource[2]	NZP-CSI-RS-ResourceId1
}
nzp-CSI-RS-ResourceSetToAddModList SEQUENCE {	1 entry
NZP-CSI-RS-ResourceSet[1]	NZP-CSI-RS-ResourceSetid0
}
csi-IM-ResourceToAddModList	Not present
csi-IM-ResourceSetToAddModList	Not present
csi-SSB-ResourceSetToAddModList	Not present
csi-ReportConfigToAddModList	Not present
reportTriggerSize	Not present
aperiodicTriggerStateList	Not present
}

Table 7.1.1.1.4.3.3-14: NZP-CSI-RS-ResourceId0 (Table 7.1.1.1.4.3.3-13: CSI-MeasConfig)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-85
Information Element	Value/remark	Comment	Condition
NZP-CSI-RS-Resource ::= SEQUENCE {
nzp-CSI-RS-ResourceId	0
resourceMapping	CSI-RS-ResourceMapping with condition TRS	TS 38.508-1 [4], Table 4.6.3-45
qcl-InfoPeriodicCSI-RS	0	QCL to SSB #0
}

Table 7.1.1.1.4.3.3-15: NZP-CSI-RS-ResourceId1 (Table 7.1.1.1.4.3.3-13: CSI-MeasConfig)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-85
Information Element	Value/remark	Comment	Condition
NZP-CSI-RS-Resource ::= SEQUENCE {
nzp-CSI-RS-ResourceId	1
resourceMapping	CSI-RS-ResourceMapping with condition TRS	TS 38.508-1 [4], Table 4.6.3-45
periodicityAndOffset	CSI-ResourcePeriodicityAndOffset_Id1
qcl-InfoPeriodicCSI-RS	1	QCL to SSB #1
}

Table 7.1.1.1.4.3.3-16: CSI-ResourcePeriodicityAndOffset_Id1 (Table 7.1.1.1.4.3.3-15: NZP-CSI-RS-ResourceId1)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-43
Information Element	Value/remark	Comment	Condition
CSI-ResourcePeriodicityAndOffset ::= CHOICE {
slots80	11		FR1
slots320	41		FR2
}

Table 7.1.1.1.4.3.3-17: NZP-CSI-RS-ResourceSetid0 (Table 7.1.1.1.4.3.3-13: CSI-MeasConfig)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-87
Information Element	Value/remark	Comment	Condition
NZP-CSI-RS-ResourceSet ::= SEQUENCE {
nzp-CSI-ResourceSetId	0
nzp-CSI-RS-Resources SEQUENCE (SIZE (1..maxNrofNZP-CSI-RS-ResourcesPerSet)) OF NZP-CSI-RS-ResourceId {	2 entries
NZP-CSI-RS-ResourceId[1]	0	entry 1
NZP-CSI-RS-ResourceId[2]	1	entry 2
}
trs-Info	true
}

Table 7.1.1.1.4.3.3-18: BWP-UplinkDedicated (Table 7.1.1.1.4.3.3-5: ServingCellConfig)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-15
Information Element	Value/remark	Comment	Condition
BWP-UplinkDedicated ::= SEQUENCE {
pucch-Config CHOICE {
setup	PUCCH-Config
}
pusch-Config CHOICE {
setup	PUSCH-Config
}
beamFailureRecoveryConfig	BeamFailureRecoveryConfig_SSB		Step8
	BeamFailureRecoveryConfig_CSIRS		Step17
	Not Present		Step1
}

Table 7.1.1.1.4.3.3-19: BeamFailureRecoveryConfig_SSB (Table 7.1.1.1.4.3.3-18: BWP-UplinkDedicated)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-6
Information Element	Value/remark	Comment	Condition
BeamFailureRecoveryConfig ::= SEQUENCE {
rootSequenceIndex-BFR	0	See TS 38.508-1 [4] clause 4.4.2, Table 4.4.2-2
rach-ConfigBFR	RACH-ConfigGeneric	38.508-1 [4] Table 4.6.3-130
rsrp-ThresholdSSB	57(-99dBm)
candidateBeamRSList SEQUENCE (SIZE(1..maxNrofCandidateBeams)) OF PRACH-ResourceDedicatedBFR CHOICE{
ssb SEQUENCE {
ssb	1	NR Cell Beam#1
ra-PreambleIndex	56	(0..63)
}
}
ssb-perRACH-Occasion	one
ra-ssb-OccasionMaskIndex	0
recoverySearchSpaceID	4
ra-Prioritization	Not Present
beamFailureRecoveryTimer	ms200
}

Table 7.1.1.1.4.3.3-20: BeamFailureRecoveryConfig_CSIRS (Table 7.1.1.1.4.3.3-18: BWP-UplinkDedicated)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-6
Information Element	Value/remark	Comment	Condition
BeamFailureRecoveryConfig ::= SEQUENCE {
rootSequenceIndex-BFR	0	See TS 38.508-1 [4] clause 4.4.2, Table 4.4.2-2
rach-ConfigBFR	RACH-ConfigGeneric	38.508-1 [4] Table 4.6.3-130
rsrp-ThresholdSSB	57(-99dBm)
candidateBeamRSList SEQUENCE (SIZE(1..maxNrofCandidateBeams)) OF PRACH-ResourceDedicatedBFR CHOICE{
csi-RS SEQUENCE {
csi-RS	0
ra-OccasionList SEQUENCE (SIZE(1..maxRA-OccasionsPerCSIRS)) OF INTEGER (0..maxRA-Occasions-1) {	1 entry
INTEGER[1]	0	entry 1 NR Cell Beam#0
}
ra-PreambleIndex	59
}
}
ssb-perRACH-Occasion	Not Present
ra-ssb-OccasionMaskIndex	Not Present
recoverySearchSpaceID	4
ra-Prioritization	Not Present
beamFailureRecoveryTimer	ms200
}

Table 7.1.1.1.4.3.3-21: PUCCH-Config (Table 7.1.1.1.4.3.3-18: BWP-UplinkDedicated)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-112
Information Element	Value/remark	Comment	Condition
pucch-Config::= SEQUENCE {
pucch-PowerControl SEQUENCE {
pathlossReferenceRSs SEQUENCE (SIZE (1..maxNrofPUCCH-PathlossReferenceRSs)) OF PUCCH-PathlossReferenceRS {	1 entry
PUCCH-PathlossReferenceRS[1] SEQUENCE {		entry 1
referenceSignal CHOICE {
ssb-Index	1		Step1, Step17
	0		Step8
}
}
}
}
}

Table 7.1.1.1.4.3.3-22: PUSCH-Config (Table 7.1.1.1.4.3.3-18: BWP-UplinkDedicated)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-118
Information Element	Value/remark	Comment	Condition
pusch-Config::= SEQUENCE {
pusch-PowerControl SEQUENCE {
pathlossReferenceRSToAddModList SEQUENCE (SIZE (1..maxNrofPUSCH-PathlossReferenceRSs)) OF PUSCH-PathlossReferenceRS {	1 entry
PUSCH-PathlossReferenceRS[1] SEQUENCE {		entry 1
referenceSignal CHOICE{
ssb-Index	1		Step1, Step17
	0		Step8
}
}
}
}
}

7.1.1.1.5 Random access procedure / Successful / Supplementary Uplink

7.1.1.1.5.1 Test Purpose (TP)

(1)

with { UE in RRC_CONNECTED state with supplementary uplink configured and RACH procedure is triggered }

ensure that {

when { RSRP of the downlink pathloss reference is less than rsrp-ThresholdSSB-SUL }

then { UE performs the Random Access Procedure on the Supplementary Uplink carrier }

}

7.1.1.1.5.2 Conformance requirements

References: The conformance requirements covered in the present TC are specified in TS 38.321: clause 5.1.1 and clause 5.16. Unless otherwise stated these are Rel-15 requirements.

[TS 38.321, clause 5.1.1]

The Random Access procedure described in this clause is initiated by a PDCCH order, by the MAC entity itself, or by RRC for the events in accordance with TS 38.300 [2]. There is only one Random Access procedure ongoing at any point in time in a MAC entity. The Random Access procedure on an SCell shall only be initiated by a PDCCH order with ra-PreambleIndex different from 0b000000.

NOTE 1: If a new Random Access procedure is triggered while another is already ongoing in the MAC entity, it is up to UE implementation whether to continue with the ongoing procedure or start with the new procedure (e.g. for SI request).

RRC configures the following parameters for the Random Access procedure:

– prach-ConfigurationIndex: the available set of PRACH occasions for the transmission of the Random Access Preamble;

– preambleReceivedTargetPower: initial Random Access Preamble power;

– rsrp-ThresholdSSB: an RSRP threshold for the selection of the SSB. If the Random Access procedure is initiated for beam failure recovery, rsrp-ThresholdSSB used for the selection of the SSB within candidateBeamRSList refers to rsrp-ThresholdSSB in BeamFailureRecoveryConfig IE;

– rsrp-ThresholdCSI-RS: an RSRP threshold for the selection of CSI-RS. If the Random Access procedure is initiated for beam failure recovery, rsrp-ThresholdCSI-RS is equal to rsrp-ThresholdSSB in BeamFailureRecoveryConfig IE;

– rsrp-ThresholdSSB-SUL: an RSRP threshold for the selection between the NUL carrier and the SUL carrier;

– candidateBeamRSList: a list of reference signals (CSI-RS and/or SSB) identifying the candidate beams for recovery and the associated Random Access parameters;

– recoverySearchSpaceId: the search space identity for monitoring the response of the beam failure recovery request;

– powerRampingStep: the power-ramping factor;

– powerRampingStepHighPriority: the power-ramping factor in case of prioritized Random Access procedure;

– scalingFactorBI: a scaling factor for prioritized Random Access procedure;

– ra-PreambleIndex: Random Access Preamble;

– ra-ssb-OccasionMaskIndex: defines PRACH occasion(s) associated with an SSB in which the MAC entity may transmit a Random Access Preamble (see clause 7.4);

– ra-OccasionList: defines PRACH occasion(s) associated with a CSI-RS in which the MAC entity may transmit a Random Access Preamble;

– ra-PreambleStartIndex: the starting index of Random Access Preamble(s) for on-demand SI request;

– preambleTransMax: the maximum number of Random Access Preamble transmission;

– ssb-perRACH-OccasionAndCB-PreamblesPerSSB: defines the number of SSBs mapped to each PRACH occasion and the number of contention-based Random Access Preambles mapped to each SSB;

– if groupBconfigured is configured, then Random Access Preambles group B is configured.

– Amongst the contention-based Random Access Preambles associated with an SSB (as defined in TS 38.213 [6]), the first numberOfRA-PreamblesGroupA Random Access Preambles belong to Random Access Preambles group A. The remaining Random Access Preambles associated with the SSB belong to Random Access Preambles group B (if configured).

NOTE 2: If Random Access Preambles group B is supported by the cell Random Access Preambles group B is included for each SSB.

– if Random Access Preambles group B is configured:

– ra-Msg3SizeGroupA: the threshold to determine the groups of Random Access Preambles;

– msg3-DeltaPreamble: ∆_{PREAMBLE_Msg3} in TS 38.213 [6];

– messagePowerOffsetGroupB: the power offset for preamble selection;

– numberOfRA-PreamblesGroupA: defines the number of Random Access Preambles in Random Access Preamble group A for each SSB.

– the set of Random Access Preambles and/or PRACH occasions for SI request, if any;

– the set of Random Access Preambles and/or PRACH occasions for beam failure recovery request, if any;

– the set of Random Access Preambles and/or PRACH occasions for reconfiguration with sync, if any;

– ra-ResponseWindow: the time window to monitor RA response(s) (SpCell only);

– ra-ContentionResolutionTimer: the Contention Resolution Timer (SpCell only).

In addition, the following information for related Serving Cell is assumed to be available for UEs:

– if Random Access Preambles group B is configured:

– if the Serving Cell for the Random Access procedure is configured with supplementary uplink as specified in TS 38.331 [5], and SUL carrier is selected for performing Random Access Procedure:

– P_CMAX,f,c of the SUL carrier as specified in TS 38.101-1 [14], TS 38.101-2 [15], and TS 38.101-3 [16].

– else:

– P_CMAX,f,c of the NUL carrier as specified in TS 38.101-1 [14], TS 38.101-2 [15], and TS 38.101-3 [16].

The following UE variables are used for the Random Access procedure:

– PREAMBLE_INDEX;

– PREAMBLE_TRANSMISSION_COUNTER;

– PREAMBLE_POWER_RAMPING_COUNTER;

– PREAMBLE_POWER_RAMPING_STEP;

– PREAMBLE_RECEIVED_TARGET_POWER;

– PREAMBLE_BACKOFF;

– PCMAX;

– SCALING_FACTOR_BI;

– TEMPORARY_C-RNTI.

When the Random Access procedure is initiated on a Serving Cell, the MAC entity shall:

1> flush the Msg3 buffer;

1> set the PREAMBLE_TRANSMISSION_COUNTER to 1;

1> set the PREAMBLE_POWER_RAMPING_COUNTER to 1;

1> set the PREAMBLE_BACKOFF to 0 ms;

1> if the carrier to use for the Random Access procedure is explicitly signalled:

2> select the signalled carrier for performing Random Access procedure;

2> set the PCMAX to P_CMAX,f,c of the signalled carrier.

1> else if the carrier to use for the Random Access procedure is not explicitly signalled; and

1> if the Serving Cell for the Random Access procedure is configured with supplementary uplink as specified in TS 38.331 [5]; and

1> if the RSRP of the downlink pathloss reference is less than rsrp-ThresholdSSB-SUL:

2> select the SUL carrier for performing Random Access procedure;

2> set the PCMAX to P_CMAX,f,c of the SUL carrier.

1> else:

2> select the NUL carrier for performing Random Access procedure;

2> set the PCMAX to P_CMAX,f,c of the NUL carrier.

1> perform the BWP operation as specified in clause 5.15;

1> set PREAMBLE_POWER_RAMPING_STEP to

powerRampingStep;1> set SCALING_FACTOR_BI to 1;

1> if the Random Access procedure was initiated for beam failure recovery (as specified in clause 5.17); and

1> if beamFailureRecoveryConfig is configured for the active UL BWP of the selected carrier:

2> start the beamFailureRecoveryTimer, if configured;

2> apply the parameters powerRampingStep, preambleReceivedTargetPower, and preambleTransMax configured in the beamFailureRecoveryConfig;

2> if powerRampingStepHighPriority is configured in the beamFailureRecoveryConfig:

3> set PREAMBLE_POWER_RAMPING_STEP to the powerRampingStepHighPriority.

2> else:

3> set PREAMBLE_POWER_RAMPING_STEP to powerRampingStep.

2> if scalingFactorBI is configured in the beamFailureRecoveryConfig:

3> set SCALING_FACTOR_BI to the scalingFactorBI.

1> else if the Random Access procedure was initiated for handover; and

1> if rach-ConfigDedicated is configured for the selected carrier:

2> if powerRampingStepHighPriority is configured in the rach-ConfigDedicated:

3> set PREAMBLE_POWER_RAMPING_STEP to the powerRampingStepHighPriority.

2> if scalingFactorBI is configured in the rach-ConfigDedicated:

3> set SCALING_FACTOR_BI to the scalingFactorBI.

1> perform the Random Access Resource selection procedure (see clause 5.1.2).

[TS 38.321, clause 5.16]

The Supplementary UL (SUL) carrier can be configured as a complement to the normal UL (NUL) carrier. Switching between the NUL carrier and the SUL carrier means that the UL transmissions move from one carrier to the other carrier, which is done by:

– an indication in DCI;

– the Random Access procedure as specified in clause 5.1.1.

If the MAC entity receives a UL grant indicating an SUL switch while a Random Access procedure is ongoing, the MAC entity shall ignore the UL grant.

The Serving Cell configured with supplementaryUplink belongs to a single TAG.

7.1.1.1.5.3 Test description

7.1.1.1.5.3.1 Pre-test conditions

Same Pre-test conditions as in clause 7.1.1.0 except that supplementary uplink (SUL) carrier is configured on NR Cell 33.

7.1.1.1.5.3.2 Test procedure sequence

Table 7.1.1.1.5.3.2-1 illustrates the downlink power levels to be applied for the NR cells at various time instants of the test execution. Row marked "T0" denotes the initial conditions, while row marked "T1" are to be applied subsequently. The exact instants on which these values shall be applied are described in the texts in this clause.

Table 7.1.1.1.5.3.2-1: Time instances of cell power level changes

Parameter

Unit

NR Cell 1

(NUL)

NR Cell 33 (SUL)

Remark

SS/PBCH

SSS EPRE

dBm/SCS

-75

N/A

NR Cell1 Power level is higher than rsrp-ThresholdSSB-SUL.

SS/PBCH

SSS EPRE

dBm/SCS

-85

N/A

NR Cell1 Power level is lower than rsrp-ThresholdSSB-SUL.

Table 7.1.1.1.5.3.2-2: Main behaviour

St	Procedure	Message Sequence		TP	Verdict
		U – S	Message
1	The SS ignores scheduling requests and does not allocate any uplink grant		–	–	–
2	The SS transmits a MAC PDU containing a PDCP SDU on NR Cell 1.	<–	MAC PDU	–	–
3	The SS changes NR Cell 1’s power level according to the row "T1" in table 7.1.1.1.5.3.2-1. (Note 1)	–	–	–	–
4	Void.	–	–	–	–
5	Check: Does the UE initiate the random access procedure on SUL carrier on NR Cell 33?	–>	PRACH Preamble	1	P
6	The SS transmits Random Access Response with an UL Grant of 56-bits on NR Cell 1 and RAPID corresponding to the transmitted preamble in step 5. (Note 2)	<–	Random Access Response	–	–
7	Check: Does the UE send a msg3 using the grant associated to the Random Access Response received in Step 6 on SUL carrier on NR Cell 33?	–>	Msg3 (C-RNTI MAC CE)	1	P
8	The SS schedules PDCCH transmission on NR Cell 1 for UE C-RNTI with uplink grant’s UL/SUL indicator set to 1.	<–	Contention Resolution	–	–
9	Check: Does the UE transmit a MAC PDU with C-RNTI containing looped back PDCP SDU on SUL carrier on NR Cell 33?	–>	MAC PDU	1	P
Note 1: Reduce the NR Cell 1 SS/PBCH EPRE level to ensure that RSRP of the downlink pathloss reference is lower than rsrp-ThresholdSSB-SUL, while UE is still able to receive msg2 and msg4 correctly. Note 2: UL grant of 56 bits is to make UE not send any loopback data in uplink with msg3, according to TS 38.321 [18] clause 5.4.3.1.

7.1.1.1.5.3.3 Specific message contents

Table 7.1.1.1.5.3.3-1: SIB1 of NR Cell 1 (preamble and all steps, Table 7.1.1.1.5.3.2-2)

Derivation Path: TS 38.508-1 [4], Table 4.6.1-28
Information Element	Value/remark	Comment	Condition
SIB1::= SEQUENCE {
servingCellConfigCommon	ServingCellConfigCommonSIB
}

Table 7.1.1.1.5.3.3-2: ServingCellConfigCommonSIB (Table 7.1.1.1.5.3.3-1)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-169
Information Element	Value/remark	Comment	Condition
ServingCellConfigCommonSIB ::= SEQUENCE {
supplementaryUplink SEQUENCE {
initialUplinkBWP	BWP-UplinkCommon
}
}

Table 7.1.1.1.5.3.3-3: BWP-UplinkCommon (Table 7.1.1.1.5.3.3-2)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-14
Information Element	Value/remark	Comment	Condition
BWP-UplinkCommon::= SEQUENCE {
rach-ConfigCommon CHOICE {
setup	RACH-ConfigCommon
}
}

Table 7.1.1.1.5.3.3-4: RACH-ConfigCommon (Table 7.1.1.1.5.3.3-3)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-128
Information Element	Value/remark	Comment	Condition
RACH-ConfigCommon::= SEQUENCE {
rsrp-ThresholdSSB-SUL	76	IE value 76 means -80dBm	SUL
}

Table 7.1.1.1.5.3.3-5: DCI Format 0-1 (Step 8 of Table 7.1.1.1.5.3.2-2)

Derivation Path: TS 38.508-1 [4], Table 4.3.6.1.1.2-1
Information Element	Value/remark	Comment	Condition
UL/SUL indicator	1		UE configured with SUL in the cell

7.1.1.1.6 Random access procedure / Successful/ Temporary C-RNTI Based / Preamble selected by MAC itself

7.1.1.1.6.1 Test Purpose (TP)

(1)

with { UE in RRC Idle state has UL CCCH PDU to send and Random Access Preambles group B is configured }

ensure that {

when { the UL CCCH MAC PDU Size is less than messageSizeGroupA }

then { UE transmits a random access preamble using a preamble in group A of random access preambles }

}

(2)

with { UE in RRC Idle state initiated Random Access procedure to transmit UL CCCH PDU and transmitted MSG3 }

ensure that {

when { The SS schedules any PDCCH transmission addressed to UE Temporary C-RNTI before Contention resolution timer expiry with MAC PDU does not contain a matching UE Contention Resolution Identity MAC CE }

then {UE re transmits a random access preamble using a preamble in the same group of random access preambles as used for the first transmission of Msg3 }

}

(3)

with { UE in RRC Idle state initiated Random Access procedure to transmit UL CCCH PDU and transmitted MSG3 }

ensure that {

when { The SS does not schedule any PDCCH transmission addressed to UE Temporary C-RNTI before Contention resolution timer expiry }

then {UE re transmits a random access preamble using a preamble in the same group of random access preambles as used for the first transmission of Msg3 }

}

(4)

with { UE in RRC Idle state initiated Random Access procedure to transmit UL CCCH PDU and transmitted MSG3 }

ensure that {

when { The SS schedules a PDCCH transmission addressed to UE Temporary C-RNTI before Contention resolution timer expiry }

then {UE assumes RACH procedure as complete }

}

7.1.1.1.6.2 Conformance requirements

References: The conformance requirements covered in the present TC are specified in: 3GPP TS 38.321, clauses 5.1.2, 5.1.3, 5.1.4, 5.1.5, 5.2, 6.1.3.2, 6.1.5 and 6.2.3. Unless otherwise stated these are Rel-15 requirements.

[TS 38.321, clause 5.1.2]

The MAC entity shall:

1> if the Random Access procedure was initiated for beam failure recovery (as specified in subclause 5.17); and

1> if the beamFailureRecoveryTimer (in subclause 5.17) is either running or not configured; and

1> if the contention-free Random Access Resources for beam failure recovery request associated with any of the SSBs and/or CSI-RSs have been explicitly provided by RRC; and

2> select an SSB with SS-RSRP above rsrp-ThresholdSSB amongst the SSBs in candidateBeamRSList or a CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS amongst the CSI-RSs in candidateBeamRSList;

2> if CSI-RS is selected, and there is no ra-PreambleIndex associated with the selected CSI-RS:

3> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the SSB in candidateBeamRSList which is quasi-colocated with the selected CSI-RS as specified in TS 38.214 [7].

2> else:

3> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected SSB or CSI-RS from the set of Random Access Preambles for beam failure recovery request.

1> else if the ra-PreambleIndex has been explicitly provided by PDCCH; and

1> if the ra-PreambleIndex is not 0b000000:

2> set the PREAMBLE_INDEX to the signalled ra-PreambleIndex;

2> select the SSB signalled by PDCCH.

2> select an SSB with SS-RSRP above rsrp-ThresholdSSB amongst the associated SSBs;

2> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected SSB.

1> else if the contention-free Random Access Resources associated with CSI-RSs have been explicitly provided in rach-ConfigDedicated and at least one CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS amongst the associated CSI-RSs is available:

2> select a CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS amongst the associated CSI-RSs;

2> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected CSI-RS.

1> else if the Random Access procedure was initiated for SI request (as specified in TS 38.331 [5]); and

1> if the Random Access Resources for SI request have been explicitly provided by RRC:

2> if at least one of the SSBs with SS-RSRP above rsrp-ThresholdSSB is available:

3> select an SSB with SS-RSRP above rsrp-ThresholdSSB.

2> else:

3> select any SSB.

2> select a Random Access Preamble corresponding to the selected SSB, from the Random Access Preamble(s) determined according to ra-PreambleStartIndex as specified in TS 38.331 [5];

2> set the PREAMBLE_INDEX to selected Random Access Preamble.

1> else (i.e. for the contention-based Random Access preamble selection):

2> if at least one of the SSBs with SS-RSRP above rsrp-ThresholdSSB is available:

3> select an SSB with SS-RSRP above rsrp-ThresholdSSB.

2> else:

3> select any SSB.

2> if Msg3 has not yet been transmitted:

3> if Random Access Preambles group B is configured:

4> if the potential Msg3 size (UL data available for transmission plus MAC header and, where required, MAC CEs) is greater than ra-Msg3SizeGroupA and the pathloss is less than PCMAX (of the Serving Cell performing the Random Access Procedure) – preambleReceivedTargetPower – msg3-DeltaPreamble – messagePowerOffsetGroupB; or

4> if the Random Access procedure was initiated for the CCCH logical channel and the CCCH SDU size plus MAC subheader is greater than ra-Msg3SizeGroupA:

5> select the Random Access Preambles group B.

4> else:

5> select the Random Access Preambles group A.

3> else:

4> select the Random Access Preambles group A.

2> else (i.e. Msg3 is being retransmitted):

3> select the same group of Random Access Preambles as was used for the Random Access Preamble transmission attempt corresponding to the first transmission of Msg3.

> select a Random Access Preamble3 randomly with equal probability from the Random Access Preambles associated with the selected SSB and the selected Random Access Preambles group.

> else:

2> set the PREAMBLE_INDEX to the selected Random Access Preamble.

11> ifthe Random Access procedure was initiated for SI request (as specified in TS 38.331 [5]); and

1> if ra-AssociationPeriodIndex and si-RequestPeriod are configured:

2> determine the next available PRACH occasion from the PRACH occasions corresponding to the selected SSB in the association period given by ra-AssociationPeriodIndex in the si-RequestPeriod permitted by the restrictions given by the ra-ssb-OccasionMaskIndex if configured (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the consecutive PRACH occasions according to subclause 8.1 of TS 38.213 [6] corresponding to the selected SSB).

> else if an SSB is selected above:

2> determine the next available PRACH occasion from the PRACH occasions corresponding to the selected SSB permitted by the restrictions given by the ra-ssb-OccasionMaskIndex if configured or indicated by PDCCH (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the consecutive PRACH occasions according to subclause 8.1 of TS 38.213 [6], corresponding to the selected SSB; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the selected SSB).

1> else if a CSI-RS is selected above:

2> if there is no contention-free Random Access Resource associated with the selected CSI-RS:

3> determine the next available PRACH occasion from the PRACH occasions, permitted by the restrictions given by the ra-ssb-OccasionMaskIndex if configured, corresponding to the SSB in candidateBeamRSList which is quasi-colocated with the selected CSI-RS as specified in TS 38.214 [7] (the MAC entity shall select a PRACH occasion randomly with equal probability amongst the consecutive PRACH occasions according to subclause 8.1 of TS 38.213 [6], corresponding to the SSB which is quasi-colocated with the selected CSI-RS; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the SSB which is quasi-colocated with the selected CSI-RS).

2> else:

1> else if Random Access procedure was initiated for beam failure recovery; and

1> if a CSI-RS is selected above and there is no contention-free Random Access Resource associated with the selected CSI-RS:

1> else:

1> perform the Random Access Preamble transmission procedure (see subclause 5.1.3).

NOTE: When the UE determines if there is an SSB with SS-RSRP above rsrp-ThresholdSSB or a CSI-RS with CSI-RSRP above rsrp-ThresholdCSI-RS, the UE uses the latest unfiltered L1-RSRP measurement.

[TS 38.321, clause 5.1.3]

The MAC entity shall, for each Random Access Preamble:

1> if PREAMBLE_TRANSMISSION_COUNTER is greater than one; and

1> if the notification of suspending power ramping counter has not been received from lower layers; and

1> if SSB or CSI-RS selected is not changed from the selection in the last Random Access Preamble transmission:

2> increment PREAMBLE_POWER_RAMPING_COUNTER by 1.

1> select the value of DELTA_PREAMBLE according to subclause 7.3;

1> set PREAMBLE_RECEIVED_TARGET_POWER to preambleReceivedTargetPower + DELTA_PREAMBLE + (PREAMBLE_POWER_RAMPING_COUNTER – 1) × PREAMBLE_POWER_RAMPING_STEP;

1> except for contention-free Random Access Preamble for beam failure recovery request, compute the RA-RNTI associated with the PRACH occasion in which the Random Access Preamble is transmitted;

1> instruct the physical layer to transmit the Random Access Preamble using the selected PRACH occasion, corresponding RA-RNTI (if available), PREAMBLE_INDEX and PREAMBLE_RECEIVED_TARGET_POWER.

The RA-RNTI associated with the PRACH occasion in which the Random Access Preamble is transmitted, is computed as:

RA-RNTI= 1 + s_id + 14 × t_id + 14 × 80 × f_id + 14 × 80 × 8 × ul_carrier_id

where s_id is the index of the first OFDM symbol of the PRACH occasion (0 ≤ s_id < 14), t_id is the index of the first slot of the PRACH occasion in a system frame (0 ≤ t_id < 80), f_id is the index of the PRACH occasion in the frequency domain (0 ≤ f_id < 8), and ul_carrier_id is the UL carrier used for Random Access Preamble transmission (0 for NUL carrier, and 1 for SUL carrier).

[TS 38.321, clause 5.1.4]

Once the Random Access Preamble is transmitted and regardless of the possible occurrence of a measurement gap, the MAC entity shall:

1> if the contention-free Random Access Preamble for beam failure recovery request was transmitted by the MAC entity:

2> start the ra-ResponseWindow configured in BeamFailureRecoveryConfig at the first PDCCH occasion as specified in TS 38.213 [6] from the end of the Random Access Preamble transmission;

2> monitor for a PDCCH transmission on the search space indicated by recoverySearchSpaceId of the SpCell identified by the C-RNTI while ra-ResponseWindow is running.

1> else:

2> start the ra-ResponseWindow configured in RACH-ConfigCommon at the first PDCCH occasion as specified in TS 38.213 [6] from the end of the Random Access Preamble transmission;

2> monitor the PDCCH of the SpCell for Random Access Response(s) identified by the RA-RNTI while the ra-ResponseWindow is running.

1> if PDCCH transmission is addressed to the C-RNTI; and

1> if the contention-free Random Access Preamble for beam failure recovery request was transmitted by the MAC entity:

2> consider the Random Access procedure successfully completed.

1> else if a downlink assignment has been received on the PDCCH for the RA-RNTI and the received TB is successfully decoded:

2> if the Random Access Response contains a MAC subPDU with Backoff Indicator:

3> set the PREAMBLE_BACKOFF to value of the BI field of the MAC subPDU using Table 7.2-1, multiplied with SCALING_FACTOR_BI.

2> else:

3> set the PREAMBLE_BACKOFF to 0 ms.

2> if the Random Access Response contains a MAC subPDU with Random Access Preamble identifier corresponding to the transmitted PREAMBLE_INDEX (see subclause 5.1.3):

3> consider this Random Access Response reception successful.

2> if the Random Access Response reception is considered successful:

3> if the Random Access Response includes a MAC subPDU with RAPID only:

4> consider this Random Access procedure successfully completed;

4> indicate the reception of an acknowledgement for SI request to upper layers.

3> else:

4> apply the following actions for the Serving Cell where the Random Access Preamble was transmitted:

5> process the received Timing Advance Command (see subclause 5.2);

5> if the Serving Cell for the Random Access procedure is SRS-only SCell:

6> ignore the received UL grant.

5> else:

6> process the received UL grant value and indicate it to the lower layers.

4> if the Random Access Preamble was not selected by the MAC entity among the contention-based Random Access Preamble(s):

5> consider the Random Access procedure successfully completed.

4> else:

5> set the TEMPORARY_C-RNTI to the value received in the Random Access Response;

5> if this is the first successfully received Random Access Response within this Random Access procedure:

6> if the transmission is not being made for the CCCH logical channel:

7> indicate to the Multiplexing and assembly entity to include a C-RNTI MAC CE in the subsequent uplink transmission.

6> obtain the MAC PDU to transmit from the Multiplexing and assembly entity and store it in the Msg3 buffer.

> if ra-ResponseWindow configured in RACH-ConfigCommon expires, and if the Random Access Response containing Random Access Preamble identifiers that matches the transmitted PREAMBLE_INDEX has not been received1:

2> consider the Random Access Response reception not successful;

2> increment PREAMBLE_TRANSMISSION_COUNTER by 1;

2> if PREAMBLE_TRANSMISSION_COUNTER = preambleTransMax + 1:

3> if the Random Access Preamble is transmitted on the SpCell:

4> indicate a Random Access problem to upper layers;

4> if this Random Access procedure was triggered for SI request:

5> consider the Random Access procedure unsuccessfully completed.

3> else if the Random Access Preamble is transmitted on a SCell:

4> consider the Random Access procedure unsuccessfully completed.

2> if the Random Access procedure is not completed:

3> select a random backoff time according to a uniform distribution between 0 and the PREAMBLE_BACKOFF;

3> if the criteria (as defined in subclause 5.1.2) to select contention-free Random Access Resources is met during the backoff time:

4> perform the Random Access Resource selection procedure (see subclause 5.1.2);

3> else:

4> perform the Random Access Resource selection procedure (see subclause 5.1.2) after the backoff time.

HARQ operation is not applicable to the Random Access Response reception.

[TS 38.321, clause 5.1.5]

Once Msg3 is transmitted, the MAC entity shall:

1> start the ra-ContentionResolutionTimer and restart the ra-ContentionResolutionTimer at each HARQ retransmission in the first symbol after the end of the Msg3 transmission;

1> monitor the PDCCH while the ra-ContentionResolutionTimer is running regardless of the possible occurrence of a measurement gap;

1> if notification of a reception of a PDCCH transmission of the SpCell is received from lower layers:

2> if the C-RNTI MAC CE was included in Msg3:

3> if the Random Access procedure was initiated for beam failure recovery (as specified in subclause 5.17) and the PDCCH transmission is addressed to the C-RNTI; or

3> if the Random Access procedure was initiated by a PDCCH order and the PDCCH transmission is addressed to the C-RNT:I

> if the Random Access procedure was initiated for beam failure recovery (as specified in subclause 5.17) and the PDCCH transmission is addressed to the C-RNTI:

4> consider this Contention Resolution successful;

4> stop ra-ContentionResolutionTimer;

4> discard the TEMPORARY_C-RNTI;

4> consider this Random Access procedure successfully completed.

2> else if the CCCH SDU was included in Msg3 and the PDCCH transmission is addressed to its TEMPORARY_C-RNTI:

3> if the MAC PDU is successfully decoded:

4> stop ra-ContentionResolutionTimer;

4> if the MAC PDU contains a UE Contention Resolution Identity MAC CE; and

4> if the UE Contention Resolution Identity in the MAC CE matches the CCCH SDU transmitted in Msg3:

5> consider this Contention Resolution successful and finish the disassembly and demultiplexing of the MAC PDU;

5> if this Random Access procedure was initiated for SI request:

6> indicate the reception of an acknowledgement for SI request to upper layers.

5> else:

6> set the C-RNTI to the value of the TEMPORARY_C-RNTI;

5> discard the TEMPORARY_C-RNTI;

5> consider this Random Access procedure successfully completed.

4> else:

5> discard the TEMPORARY_C-RNTI;

5> consider this Contention Resolution not successful and discard the successfully decoded MAC PDU.

1> if ra-ContentionResolutionTimer expires:

2> discard the TEMPORARY_C-RNTI;

2> consider the Contention Resolution not successful.

1> if the Contention Resolution is considered not successful:

2> flush the HARQ buffer used for transmission of the MAC PDU in the Msg3 buffer;

2> increment PREAMBLE_TRANSMISSION_COUNTER by 1;

2> if PREAMBLE_TRANSMISSION_COUNTER = preambleTransMax + 1:

3> indicate a Random Access problem to upper layers.

3> if this Random Access procedure was triggered for SI request:

4> consider the Random Access procedure unsuccessfully completed.

2> if the Random Access procedure is not completed:

3> select a random backoff time according to a uniform distribution between 0 and the PREAMBLE_BACKOFF;

3> if the criteria (as defined in subclause 5.1.2) to select contention-free Random Access Resources is met during the backoff time:

3> perform the Random Access Resource selection procedure (see subclause 5.1.2).

3> else:

4> perform the Random Access Resource selection procedure (see subclause 5.1.2) after the backoff time.

[TS 38.321, clause 5.2]

RRC configures the following parameters for the maintenance of UL time alignment:

– timeAlignmentTimer (per TAG) which controls how long the MAC entity considers the Serving Cells belonging to the associated TAG to be uplink time aligned.

The MAC entity shall:

1> when a Timing Advance Command MAC CE is received, and if an N_TA (as defined in TS 38.211 [8]) has been maintained with the indicated TAG:

2> apply the Timing Advance Command for the indicated TAG;

2> start or restart the timeAlignmentTimer associated with the indicated TAG.

1> when a Timing Advance Command is received in a Random Access Response message for a Serving Cell belonging to a TAG:

2> if the Random Access Preamble was not selected by the MAC entity among the contention-based Random Access Preamble:

3> apply the Timing Advance Command for this TAG;

3> start or restart the timeAlignmentTimer associated with this TAG.

2> else if the timeAlignmentTimer associated with this TAG is not running:

3> apply the Timing Advance Command for this TAG;

3> start the timeAlignmentTimer associated with this TAG;

3> when the Contention Resolution is considered not successful as described in subclause 5.1.5; or

3> when the Contention Resolution is considered successful for SI request as described in subclause 5.1.5, after transmitting HARQ feedback for MAC PDU including UE Contention Resolution Identity MAC CE:

4> stop timeAlignmentTimer associated with this TAG.

2> else:

3> ignore the received Timing Advance Command.

1> when a timeAlignmentTimer expires:

2> if the timeAlignmentTimer is associated with the PTAG:

3> flush all HARQ buffers for all Serving Cells;

3> notify RRC to release PUCCH for all Serving Cells, if configured;

3> notify RRC to release SRS for all Serving Cells, if configured;

3> clear any configured downlink assignments and configured uplink grants;

3> clear any PUSCH resource for semi-persistent CSI reporting;

3> consider all running timeAlignmentTimers as expired;

3> maintain N_TA (defined in TS 38.211 [8]) of all TAGs.

2> else if the timeAlignmentTimer is associated with an STAG, then for all Serving Cells belonging to this TAG:

3> flush all HARQ buffers;

3> notify RRC to release PUCCH, if configured;

3> notify RRC to release SRS, if configured;

3> clear any configured downlink assignments and configured uplink grants;

3> clear any PUSCH resource for semi-persistent CSI reporting;

3> maintain N_TA (defined in TS 38.211 [8]) of this TAG.

The MAC entity shall not perform any uplink transmission on a Serving Cell except the Random Access Preamble transmission when the timeAlignmentTimer associated with the TAG to which this Serving Cell belongs is not running. Furthermore, when the timeAlignmentTimer associated with the PTAG is not running, the MAC entity shall not perform any uplink transmission on any Serving Cell except the Random Access Preamble transmission on the SpCell.

[TS 38.321, clause 6.1.3.2]

The C-RNTI MAC CE is identified by MAC PDU subheader with LCID as specified in Table 6.2.1-2.

It has a fixed size and consists of a single field defined as follows (Figure 6.1.3.2-1):

– C-RNTI: This field contains the C-RNTI of the MAC entity. The length of the field is 16 bits.

Figure 6.1.3.2-1: C-RNTI MAC CE

[TS 38.321, clause 6.1.5]

A MAC PDU consists of one or more MAC subPDUs and optionally padding. Each MAC subPDU consists one of the following:

– a MAC subheader with Backoff Indicator only;

– a MAC subheader with RAPID only (i.e. acknowledgment for SI request);

– a MAC subheader with RAPID and MAC RAR.

A MAC subheader with RAPID consists of three header fields E/T/RAPID as described in Figure 6.1.5-2.

Padding is placed at the end of the MAC PDU if present. Presence and length of padding is implicit based on TB size, size of MAC subPDU(s).

Figure 6.1.5-1: E/T/R/R/BI MAC subheader

Figure 6.1.5-2: E/T/RAPID MAC subheader

Figure 6.1.5-3: Example of MAC PDU consisting of MAC RARs

[TS 38.321, clause 6.2.3]

The MAC RAR is of fixed size as depicted in Figure 6.2.3-1, and consists of the following fields:

– R: Reserved bit, set to "0";

– UL Grant: The Uplink Grant field indicates the resources to be used on the uplink in TS 38.213 [6]. The size of the UL Grant field is 27 bits;

– Temporary C-RNTI: The Temporary C-RNTI field indicates the temporary identity that is used by the MAC entity during Random Access. The size of the Temporary C-RNTI field is 16 bits.

The MAC RAR is octet aligned.

Figure 6.2.3-1: MAC RAR

7.1.1.1.6.3 Test description

7.1.1.1.6.3.1 Pre-test conditions

Same Pre-test conditions as in clause 7.1.1.0 except that Test loop function(Off).7.1.1.1.6.3.2 Test procedure sequence

Table 7.1.1.1.6.3.2-1: Main behaviour

St	Procedure	Message Sequence		TP	Verdict
St		U – S	Message	TP	Verdict
1	The SS transmits a Paging message including a matched UE identity.	<–	Paging	–	–
2	Check: Does the UE transmit preamble on PRACH using a preamble in group A defined in servingCellConfigCommon in SIB1 (totalNumberOfRA-Preambles, ssb-perRACH-OccasionAndCB-PreamblesPerSSB and numberOfRA-PreamblesGroupA)?	–>	PRACH Preamble	1	P
3	The SS transmits Random Access Response with RAPID corresponding to the transmitted Preamble in step 2, including TC-RNTI and not including Back off Indicator subheader.	<–	Random Access Response	–	–
4	The UE transmits a MAC PDU containing an RRCSetupRequest message. (Note 1)	–>	MAC PDU (RRCSetupRequest)	–	–
5	Before the contention resolution timer expires, the SS does not schedule any PDCCH.
6	Check: Does the UE re-transmit a preamble on PRACH using a preamble in the same group A?	–>	PRACH Preamble	3	P
7	The SS transmits Random Access Response with RAPID corresponding to the transmitted Preamble in step 6, including TC-RNTI and not including Back off Indicator subheader.	<–	Random Access Response	–	–
8	The UE transmits a MAC PDU containing an RRCSetupRequest message. (Note 1)	–>	MAC PDU (RRCSetupRequest)	–	–
9	The SS schedules PDCCH transmission addressed to TC-RNTI to transmit a valid MAC PDU containing an RRCSetup message, but not including a matching ‘UE Contention Resolution Identity’ MAC control element.	<–	MAC PDU (RRCSetup)	–	–
–	EXCEPTION: In parallel with step 10, the parallel behaviour in table 7.1.1.1.6.3.2-2 is running.	–	–	–	–
10	Check: Does the UE re-transmit a preamble on PRACH using a preamble in the same group A?	–>	PRACH Preamble	2	P
11	The SS transmits Random Access Response with RAPID corresponding to the transmitted Preamble in step 10, including TC-RNTI and not including Back off Indicator subheader.	<–	Random Access Response	–
12	The UE transmits a MAC PDU containing an RRCSetupRequest message. (Note 1)	–>	MAC PDU (RRCSetupRequest)	–	–
13	The SS schedules PDCCH transmission addressed to TC-RNTI to transmit a valid MAC PDU containing an RRCSetup message and ‘UE Contention Resolution Identity’ MAC control element with matched ‘Contention Resolution Identity’.	<–	MAC PDU (RRCSetup and UE Contention Resolution Identity MAC CE)	–	–
14	Check: Does UE transmit a MAC PDU containing an RRCSetupComplete message indicating acceptance of RRCSetup message?	–>	MAC PDU (RRCSetupComplete)	4	P
Note 1: Size of RRCSetupRequest message is 45 bits, octet aligned = 48 bits. With 16 bits of MAC Header the minimum size of MAC PDU carrying RRCSetupRequest is 64 bits.

Table 7.1.1.1.6.3.2-2: Parallel behaviour

St	Procedure	Message Sequence		TP	Verdict
		U – S	Message
1	Check: UE transmits a MAC PDU containing an RRCSetupComplete message indicating acceptance of RRCSetup message?	–>	MAC PDU (RRCSetupComplete)	2	F

7.1.1.1.6.3.3 Specific message contents

Table 7.1.1.1.6.3.3-1: SIB1 (Preamble, Table 7.1.1.1.6.3.2-1)

Derivation Path: TS 38.508-1 [4], Table 4.6.1-28
Information Element	Value/remark	Comment	Condition
SIB1 ::= SEQUENCE {
servingCellConfigCommon SEQUENCE {
uplinkConfigCommon SEQUENCE {
initialUplinkBWP	BWP-UplinkCommon
}
}
}

Table 7.1.1.1.6.3.3-2: BWP-UplinkCommon (Table 7.1.1.1.6.3.3-1)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-10
Information Element	Value/remark	Comment	Condition
BWP-UplinkCommon ::= SEQUENCE {
rach-ConfigCommon CHOICE {
setup	RACH-ConfigCommon
}
}

Table 7.1.1.1.6.3.3-3: RACH-ConfigCommon (Table 7.1.1.1.6.3.3-2)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-128
Information Element	Value/remark	Comment	Condition
RACH-ConfigCommon::= SEQUENCE {
rach-ConfigGeneric	RACH-ConfigGeneric
totalNumberOfRA-Preambles	42
ssb-perRACH-OccasionAndCB-PreamblesPerSSB CHOICE {
One	n32
}
groupBconfigured SEQUENCE {
ra-Msg3SizeGroupA	b208
messagePowerOffsetGroupB	minusinfinity
numberOfRA-PreamblesGroupA	28
}
ra-ContentionResolutionTimer	sf48
}

7.1.1.1.7 Random access procedure / Successful/ Temporary C-RNTI Based / Preamble selected by MAC itself

7.1.1.1.7.1 Test Purpose (TP)

(1)

with { UE in RRC_Connected and NR SpCell TimeAlignmentTimer expired, and has UL Data to send }

ensure that {

when { the BWP selected for Random Access procedure is configured with both 2-step and 4-step RA type Random Access Resources and the RSRP of the downlink pathloss reference is above msgA-RSRP-Threshold }

then { UE SET RA_TYPE to 2-step AND sends a MSGA on the NR SpCell }

}

(2)

with { UE in RRC_Connected NR SpCell TimeAlignmentTimer expired, and has UL Data to send }

ensure that {

when { BWP selected for Random Access procedure is only configured with 2-step RA type Random Access resources }

then { UE SET RA_TYPE to 2-step AND sends a MSGA on the NR SpCell }

}

7.1.1.1.7.2 Conformance requirements

References: The conformance requirements covered in the present TC are specified in: 3GPP TS 38.321, clause 5.1.1, 5.1.2a and 5.1.3a. Unless otherwise stated these are Rel-16 requirements.

[TS 38.321, clause 5.1.1]

1> if the Random Access procedure was initiated for SpCell beam failure recovery (as specified in clause 5.17) and if the contention-free Random Access Resources for beam failure recovery request for 4-step RA type have been explicitly provided by RRC for the BWP selected for Random Access procedure; or

1> if the Random Access procedure was initiated for reconfiguration with sync and if the contention-free Random Access Resources for 4-step RA type have been explicitly provided in rach-ConfigDedicated for the BWP selected for Random Access procedure:

2> set the RA_TYPE to 4-stepRA.

1> else if the BWP selected for Random Access procedure is configured with both 2-step and 4-step RA type Random Access Resources and the RSRP of the downlink pathloss reference is above msgA-RSRP-Threshold; or

1> if the BWP selected for Random Access procedure is only configured with 2-step RA type Random Access resources (i.e. no 4-step RACH RA type resources configured); or

1> if the Random Access procedure was initiated for reconfiguration with sync and if the contention-free Random Access Resources for 2-step RA type have been explicitly provided in rach-ConfigDedicated for the BWP selected for Random Access procedure:

2> set the RA_TYPE to 2-stepRA.

1> else:

2> set the RA_TYPE to 4-stepRA.

1> perform initialization of variables specific to Random Access type as specified in clause 5.1.1a;

1> if RA_TYPE is set to 2-stepRA:

2> perform the Random Access Resource selection procedure for 2-step RA type (see clause 5.1.2a).

1> else:

2> perform the Random Access Resource selection procedure (see clause 5.1.2).

[TS 38.321, clause 5.1.2a]

If the selected RA_TYPE is set to 2-stepRA, the MAC entity shall:

1> if the contention-free 2-step RA type Resources associated with SSBs have been explicitly provided in rach-ConfigDedicated and at least one SSB with SS-RSRP above msgA-RSRP-ThresholdSSB amongst the associated SSBs is available:

2> select an SSB with SS-RSRP above msgA-RSRP-ThresholdSSB amongst the associated SSBs;

2> set the PREAMBLE_INDEX to a ra-PreambleIndex corresponding to the selected SSB.

1> else (i.e. for the contention-based Random Access Preamble selection):

2> if at least one of the SSBs with SS-RSRP above msgA-RSRP-ThresholdSSB is available:

3> select an SSB with SS-RSRP above msgA-RSRP-ThresholdSSB.

2> else:

3> select any SSB.

2> if contention-free Random Access Resources for 2-step RA type have not been configured and if Random Access Preambles group has not yet been selected during the current Random Access procedure:

3> if Random Access Preambles group B for 2-step RA type is configured:

4> if the potential MSGA payload size (UL data available for transmission plus MAC subheader and, where required, MAC CEs) is greater than the ra-MsgA-SizeGroupA and the pathloss is less than PCMAX (of the Serving Cell performing the Random Access Procedure) – msgA-PreambleReceivedTargetPower – msgA-DeltaPreamble – messagePowerOffsetGroupB; or

4> if the Random Access procedure was initiated for the CCCH logical channel and the CCCH SDU size plus MAC subheader is greater than ra-MsgA-SizeGroupA:

5> select the Random Access Preambles group B.

4> else:

5> select the Random Access Preambles group A.

3> else:

4> select the Random Access Preambles group A.

2> else if contention-free Random Access Resources for 2-step RA type have been configured and if Random Access Preambles group has not yet been selected during the current Random Access procedure:

3> if Random Access Preambles group B for 2-step RA type is configured; and

3> if the transport block size of the MSGA payload configured in the rach-ConfigDedicated corresponds to the transport block size of the MSGA payload associated with Random Access Preambles group B:

4> select the Random Access Preambles group B.

3> else:

4> select the Random Access Preambles group A.

2> else (i.e. Random Access preambles group has been selected during the current Random Access procedure):

3> select the same group of Random Access Preambles as was used for the Random Access Preamble transmission attempt corresponding to the earlier transmission of MSGA.

2> select a Random Access Preamble randomly with equal probability from the 2-step RA type Random Access Preambles associated with the selected SSB and the selected Random Access Preambles group;

2> set the PREAMBLE_INDEX to the selected Random Access Preamble.

1> determine the next available PRACH occasion from the PRACH occasions corresponding to the selected SSB permitted by the restrictions given by the msgA-SSB-SharedRO-MaskIndex if configured and ra-ssb-OccasionMaskIndex if configured (the MAC entity shall select a PRACH occasion randomly with equal probability among the consecutive PRACH occasions allocated for 2-step RA type according to clause 8.1 of TS 38.213 [6], corresponding to the selected SSB; the MAC entity may take into account the possible occurrence of measurement gaps when determining the next available PRACH occasion corresponding to the selected SSB);

1> if the Random Access Preamble was not selected by the MAC entity among the contention-based Random Access Preamble(s):

2> select a PUSCH occasion from the PUSCH occasions configured in msgA-CFRA-PUSCH corresponding to the PRACH slot of the selected PRACH occasion, according to msgA-PUSCH-resource-Index corresponding to the selected SSB;

2> determine the UL grant and the associated HARQ information for the MSGA payload in the selected PUSCH occasion;

2> deliver the UL grant and the associated HARQ information to the HARQ entity.

1> else:

2> select a PUSCH occasion corresponding to the selected preamble and PRACH occasion according to clause 8.1A of TS 38.213 [6];

2> determine the UL grant for the MSGA payload according to the PUSCH configuration associated with the selected Random Access Preambles group and determine the associated HARQ information;

2> if the selected preamble and PRACH occasion is mapped to a valid PUSCH occasion as specified in clause 8.1A of TS 38.213 [6]:

3> deliver the UL grant and the associated HARQ information to the HARQ entity.

1> perform the MSGA transmission procedure (see clause 5.1.3a).

NOTE: To determine if there is an SSB with SS-RSRP above msgA-RSRP-ThresholdSSB, the UE uses the latest unfiltered L1-RSRP measurement.

[TS 38.321, clause 5.1.3a]

The MAC entity shall, for each MSGA:

1> if PREAMBLE_TRANSMISSION_COUNTER is greater than one; and

1> if the notification of suspending power ramping counter has not been received from lower layers; and

1> if LBT failure indication was not received from lower layers for the last MSGA Random Access Preamble transmission; and

1> if SSB selected is not changed from the selection in the last Random Access Preamble transmission:

2> increment PREAMBLE_POWER_RAMPING_COUNTER by 1.

1> select the value of DELTA_PREAMBLE according to clause 7.3;

1> set PREAMBLE_RECEIVED_TARGET_POWER to msgA-PreambleReceivedTargetPower + DELTA_PREAMBLE + (PREAMBLE_POWER_RAMPING_COUNTER – 1) × PREAMBLE_POWER_RAMPING_STEP;

1> if this is the first MSGA transmission within this Random Access procedure:

2> if the transmission is not being made for the CCCH logical channel:

3> indicate to the Multiplexing and assembly entity to include a C-RNTI MAC CE in the subsequent uplink transmission.

2> if the Random Access procedure was initiated for SpCell beam failure recovery and spCell-BFR-CBRA with value true is configured:

3> indicate to the Multiplexing and assembly entity to include a BFR MAC CE or a Truncated BFR MAC CE in the subsequent uplink transmission.

2> obtain the MAC PDU to transmit from the Multiplexing and assembly entity according to the HARQ information determined for the MSGA payload (see clause 5.1.2a) and store it in the MSGA buffer.

1> compute the MSGB-RNTI associated with the PRACH occasion in which the Random Access Preamble is transmitted;

1> instruct the physical layer to transmit the MSGA using the selected PRACH occasion and the associated PUSCH resource of MSGA (if the selected preamble and PRACH occasion is mapped to a valid PUSCH occasion), using the corresponding RA-RNTI, MSGB-RNTI, PREAMBLE_INDEX, PREAMBLE_RECEIVED_TARGET_POWER, msgA-PreambleReceivedTargetPower, and the amount of power ramping applied to the latest MSGA preamble transmission (i.e. (PREAMBLE_POWER_RAMPING_COUNTER – 1) × PREAMBLE_POWER_RAMPING_STEP);

7.1.1.1.7.3 Test description

7.1.1.1.7.3.1 Pre-test conditions

Same Pre-test conditions as in clause 7.1.1.0.

7.1.1.1.7.3.2 Test procedure sequence

Table 7.1.1.1.7.3.2-1: Main behaviour

St	Procedure	Message Sequence		TP	Verdict
St		U – S	Message	TP	Verdict
0A	SS transmits an RRCReconfiguration message to configure both 2-Step and 4-Step RA type Random Access Resources. Note 1	<–	RRCReconfiguration	–	–
0B	The UE transmits RRCReconfigurationComplete message. Note 2	–>	RRCReconfigurationComplete	–	–
1	SS transmits Timing Advance command to SpCell. SS does not send any subsequent timing alignments. Start Timer_T1 = Time Alignment timer value on SS.	<–	MAC PDU (Timing Advance Command MAC Control Element)	–	–
2	40 to 50 TTI before Timer_T1 expires the SS transmits a MAC PDU containing a PDCP SDU	<–	MAC PDU	–	–
3	The SS ignores scheduling requests and does not allocate any uplink grant.	–	–	–	–
4	Check: Does the UE MSGA using the selected PRACH occasion and the associated PUSCH resource of MSGA	–>	MAC PDU (including C-RNTI MAC CE)	1	P
5	SS schedules PDCCH transmission for UE C_RNTI and DL MAC PDU containing Absolute Timing Advance Command MAC CE.	<–	MAC PDU(Absolute Timing Advance Command MAC Control Element)	–	–
6	SS transmits an RRCReconfiguration message to configure only 2-Step RA type Random Access Resources. Note 1	<–	RRCReconfiguration	–	–
7	The UE transmits RRCReconfigurationComplete message. Note 2	–>	RRCReconfigurationComplete	–	–
8	SS transmits Timing Advance command to SpCell. SS does not send any subsequent timing alignments. Start Timer_T1 = Time Alignment timer value on SS.	<–	MAC PDU (Timing Advance Command MAC Control Element)	–	–
9	40 to 50 TTI before Timer_T1 expires the SS transmits a MAC PDU containing a PDCP SDU	<–	MAC PDU	–	–
10	The SS ignores scheduling requests and does not allocate any uplink grant.	–	–	–	–
11	Check: Does the UE MSGA using the selected PRACH occasion and the associated PUSCH resource of MSGA	–>	MAC PDU (including C-RNTI MAC CE)	2	P
12	SS schedules PDCCH transmission for UE C_RNTI and DL MAC PDU containing Absolute Timing Advance Command MAC CE.	<–	MAC PDU(Absolute Timing Advance Command MAC Control Element)	–	–
Note 1: for EN-DC the NR RRCReconfiguration message is contained in RRCConnectionReconfiguration. Note 2: for EN-DC the NR RRCReconfigurationComplete message is contained in RRCConnectionReconfigurationComplete.

7.1.1.1.7.3.3 Specific message contents

Table 7.1.1.1.7.3.3-1: RRCReconfiguration for EN-DC (steps 0A and 6, Table 7.1.1.1.7.3.2-1)

Derivation Path: 38.508-1 [4], Table 4.6.1-13 with condition EN-DC_HO.
Information Element	Value/remark	Comment	Condition
RRCReconfiguration ::= SEQUENCE {
criticalExtensions CHOICE {
rrcReconfiguration ::= SEQUENCE {
secondaryCellGroup	CellGroupConfig
}
}
}

Table 7.1.1.1.7.3.3-1A: RRCReconfiguration for NR/5GC (steps 0A and 6, Table 7.1.1.1.7.3.2-1)

Derivation Path: 38.508-1 [4], Table 4.6.1-13
Information Element	Value/remark	Comment	Condition
RRCReconfiguration ::= SEQUENCE {
criticalExtensions CHOICE {
radioBearerConfig	RadioBearerConfig as per TS 38.508-1[4] Table 4.6.3-132 with conditions DRBn and Recover_PDCP	n set to the default DRB of the first PDU session	NR
rrcReconfiguration ::= SEQUENCE {
nonCriticalExtension SEQUENCE {
masterCellGroup	CellGroupConfig
}
}
}
}

Table 7.1.1.1.7.3.3-2: CellGroupConfig for EN-DC (Table 7.1.1.1.7.3.3-1)

Derivation Path: 38.508-1 [4], Table 4.6.3-19 with condition PSCell_change
Information Element	Value/remark	Comment	Condition
CellGroupConfig ::= SEQUENCE {
spCellConfig SEQUENCE {
spCellConfigCommon	ServingCellConfigCommon
reconfigurationWithSync SEQUENCE {
rach-ConfigDedicated CHOICE {
uplink	Not present
}
newUE-Identity	UE identity different from NR cell 1 UE identity
}
}
}

Table 7.1.1.1.7.3.3-2A: CellGroupConfig for NR/5GC (Table 7.1.1.1.7.3.3-1A)

Derivation Path: 38.508-1 [4], Table 4.6.3-19 with condition PCell_change
Information Element	Value/remark	Comment	Condition
CellGroupConfig ::= SEQUENCE {
spCellConfig SEQUENCE {
reconfigurationWithSync SEQUENCE {
spCellConfigCommon	ServingCellConfigCommon
rach-ConfigDedicated CHOICE {
uplink	Not present
}
newUE-Identity	UE identity different from NR cell 1 UE identity
}
}
}

Table 7.1.1.1.7.3.3-3: ServingCellConfigCommon (Table 7.1.1.1.7.3.3-2 and Table 7.1.1.1.7.3.3-2A)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-168
Information Element	Value/remark	Comment	Condition
ServingCellConfigCommon ::= SEQUENCE {
uplinkConfigCommon SEQUENCE {
initialUplinkBWP	BWP-UplinkCommon
}
tdd-UL-DL-ConfigurationCommon	TDD-UL-DL-ConfigCommon
}

Table 7.1.1.1.7.3.3-4: BWP-UplinkCommon (Table 7.1.1.1.7.3.3-3)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-10
Information Element	Value/remark	Comment	Condition
BWP-UplinkCommon ::= SEQUENCE {
rach-ConfigCommon CHOICE {
setup	RACH-ConfigCommon		Step 0A
setup	Not present		Step 6
}
msgA-ConfigCommon-r16 CHOICE {
setup	MsgA-ConfigCommon
}
}

Table 7.1.1.1.7.3.3-5: RACH-ConfigCommon (Table 7.1.1.1.7.3.3-4)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-128
Information Element	Value/remark	Comment	Condition
RACH-ConfigCommon::= SEQUENCE {
rach-ConfigGeneric	RACH-ConfigGeneric
ssb_perRACH_OccasionAndCB_PreamblesPerSSB CHOICE {
one	n36
}
prach-RootSequenceIndex CHOICE {
l139	Set according to table 4.4.2-2 in TS 38.508-1 [4] for the NR Cell.
l839	Set according to table 4.4.2-2 in TS 38.508-1 [4] for the NR Cell.	PRACH Preamble format 0 used	FR1,
}
}

Table 7.1.1.1.7.3.3-6: MsgA-ConfigCommon (Table 7.1.1.1.7.3.3-4)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-81A
Information Element	Value/remark	Comment	Condition
MsgA-ConfigCommonL-r16 ::= SEQUENCE {
rach-ConfigCommonTwoStepRA-r16	RACH-ConfigCommonTwoStepRA
msgA-PUSCH-Config-r16	MsgA-PUSCH-Config
}

Table 7.1.1.1.7.3.3-7: TDD-UL-DL-ConfigCommon (Table 7.1.1.1.7.3.3-3)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-192
Information Element	Value/remark	Comment	Condition
TDD-UL-DL-ConfigCommon ::= SEQUENCE {
referenceSubcarrierSpacing	SubcarrierSpacing
pattern1 SEQUENCE {
dl-UL-TransmissionPeriodicity	ms5		FR1 SCS 30
	ms5		FR1 SCS 15
	ms0p625		FR2
nrofDownlinkSlots	3		FR1 SCS 30
	1		FR1 SCS 15
	3		FR2
nrofDownlinkSymbols	6		FR1 SCS 30
	10		FR1 SCS 15
	10		FR2
nrofUplinkSlots	2		FR1 SCS 30
	1		FR1 SCS 15
	1		FR2
nrofUplinkSymbols	4		FR1 SCS 30
	2		FR1 SCS 15
	2		FR2
dl-UL-TransmissionPeriodicity-v1530	ms3		FR1 SCS 30 or FR1 SCS 15
}
pattern2	Not present
pattern2 SEQUENCE {			FR1 SCS 30 or FR1 SCS 15
dl-UL-TransmissionPeriodicity	ms2
nrofDownlinkSlots	4		FR1 SCS 30
nrofDownlinkSlots	2		FR1 SCS 15
nrofDownlinkSymbols	0
nrofUplinkSlots	0
nrofUplinkSymbols	0
}
}

Table 7.1.1.1.7.3.3-8: RACH-ConfigCommonTwoStepRA (Table 7.1.1.1.7.3.3-4)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-128A
Information Element	Value/remark	Comment	Condition
RACH-ConfigCommonTwoStepRA-r16 ::= SEQUENCE {
msgA-RSRP-Threshold-r16	57	-100 dBm

Table 7.1.1.1.7.3.3-9: MsgA-PUSCH-Config (Table 7.1.1.1.7.3.3-4)

Derivation Path: TS 38.508-1 [4], Table 4.6.3-81B

7.1.1.1.8 Correct selection of RACH parameters / 2-step RACH/MSGA and PRACH resource explicitly signalled to the UE by RRC / contention free random access procedure

7.1.1.1.8.1 Test Purpose (TP)

(1)

with { UE in RRC_Connected }

ensure that {

when { SS sends an RRCReconfiguration message including RACH-ConfigDedicated information element and the contention-free Random Access Resources for 2-step RA type have been explicitly provided in rach-ConfigDedicated }

then { UE SET RA_TYPE to 2-step AND sends a MSGA on the NR PSCell }

}

(2)

with { UE in RRC_Connected state after transmission of a MSGA on NR SpCell received in RACH-ConfigDedicated on the target cell }

ensure that {

when { UE does not receive a matching MSGB in msgB-ResponseWindow and PREAMBLE_TRANSMISSION_COUNTER is less than msgA-TransMax + 1 }

then { UE retransmits a MSGA in RACH-ConfigDedicated on the target cell }

}

7.1.1.1.8.2 Conformance requirements

References: The conformance requirements covered in the present TC are specified in: 3GPP TS 38.321, clause 5.1.1, 5.1.2a, 5.1.3a and 5.1.4a. Unless otherwise stated these are Rel-16 requirements.