ETSI TS 136 213 V14.12.0 (2019-10)

TECHNICAL SPECIFICATION
LTE;
Evolved Universal Terrestrial Radio Access (E-UTRA);
Physical layer procedures
(3GPP TS 36.213 version 14.12.0 Release 14)

3GPP TS 36.213 version 14.12.0 Release 14 1 ETSI TS 136 213 V14.12.0 (2019-10)

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RTS/TSGR-0136213vec0
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3GPP TS 36.213 version 14.12.0 Release 14 2 ETSI TS 136 213 V14.12.0 (2019-10)
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Legal notice
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This Technical Specification (TS) has been produced by the ETSI 3 Generation Partnership Project (3GPP).
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Contents
Intellectual Property Rights . 2
Legal notice . 2
Modal verbs terminology . 2
Foreword . 8
1 Scope . 9
2 References . 9
3 Symbols and abbreviations . 9
3.1 Symbols . 9
3.2 Abbreviations . 10
4 Synchronization procedures . 12
4.1 Cell search . 12
4.2 Timing synchronization . 12
4.2.1 Radio link monitoring . 12
4.2.2 Inter-cell synchronization . 12
4.2.3 Transmission timing adjustments . 12
4.3 Timing for Secondary Cell Activation / Deactivation . 13
5 Power control . 14
5.1 Uplink power control. 14
5.1.1 Physical uplink shared channel . 14
5.1.1.1 UE behaviour . 14
5.1.1.2 Power headroom . 23
5.1.2 Physical uplink control channel . 26
5.1.2.1 UE behaviour . 27
5.1.3 Sounding Reference Symbol (SRS) . 31
5.1.3.1 UE behaviour . 31
5.1.3.2 Power headroom for Type3 report . 33
5.1.4 Power allocation for dual connectivity . 34
5.1.4.1 Dual connectivity power control Mode 1 . 34
5.1.4.2 Dual connectivity power control Mode 2 . 42
5.1.5 Power allocation for PUCCH-SCell . 46
5.2 Downlink power allocation . 46
5.2.1 eNodeB Relative Narrowband TX Power (RNTP) restrictions . 49
6 Random access procedure . 50
6.1 Physical non-synchronized random access procedure . 50
6.1.1 Timing . 51
6.2 Random Access Response Grant . 52
7 Physical downlink shared channel related procedures . 55
7.1 UE procedure for receiving the physical downlink shared channel . 57
7.1.1 Single-antenna port scheme . 67
7.1.2 Transmit diversity scheme . 68
7.1.3 Large delay CDD scheme . 68
7.1.4 Closed-loop spatial multiplexing scheme . 68
7.1.5 Multi-user MIMO scheme . 68
7.1.5A Dual layer scheme . 68
7.1.5B Up to 8 layer transmission scheme . 68
7.1.6 Resource allocation . 68
7.1.6.1 Resource allocation type 0 . 70
7.1.6.2 Resource allocation type 1 . 71
7.1.6.3 Resource allocation type 2 . 72
7.1.6.4 PDSCH starting position . 73
7.1.6.4A PDSCH starting position for BL/CE UEs . 75
7.1.6.5 Physical Resource Block (PRB) bundling. 75
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7.1.7 Modulation order and transport block size determination . 77
7.1.7.1 Modulation order and redundancy version determination . 78
7.1.7.2 Transport block size determination . 82
7.1.7.2.1 Transport blocks not mapped to two or more layer spatial multiplexing . 83
7.1.7.2.2 Transport blocks mapped to two-layer spatial multiplexing . 91
7.1.7.2.3 Transport blocks mapped for DCI Format 1C and DCI Format 6-2 . 91
7.1.7.2.4 Transport blocks mapped to three-layer spatial multiplexing . 92
7.1.7.2.5 Transport blocks mapped to four-layer spatial multiplexing . 93
7.1.7.2.6 Transport blocks mapped for BL/CE UEs configured with CEModeB and PDSCH bandwidth
up to 1.4MHz . 93
7.1.7.2.7 Transport blocks mapped for BL/CE UEs SystemInformationBlockType1-BR . 94
7.1.7.2.8 Transport blocks mapped for UEs configured with ce-pdsch-maxBandwidth-config value of 5
MHz or with pdsch-MaxBandwidth-SC-MTCH value of 24 PRBs . 94
7.1.7.3 Redundancy Version determination for Format 1C . 94
7.1.8 Storing soft channel bits . 95
7.1.9 PDSCH resource mapping parameters . 95
7.1.10 Antenna ports quasi co-location for PDSCH . 96
7.1.11 PDSCH subframe assignment for BL/CE UE . 97
7.2 UE procedure for reporting Channel State Information (CSI) . 99
7.2.1 Aperiodic CSI Reporting using PUSCH . 107
7.2.2 Periodic CSI Reporting using PUCCH . 131
7.2.3 Channel Quality Indicator (CQI) definition . 172
7.2.4 Precoding Matrix Indicator (PMI) definition . 182
7.2.5 Channel-State Information – Reference Signal (CSI-RS) definition . 210
7.2.6 Channel-State Information – Interference Measurement (CSI-IM) Resource definition . 212
7.2.7 Zero Power CSI-RS Resource definition . 212
7.2.8 CSI-RS Activation / Deactivation . 212
7.3 UE procedure for reporting HARQ-ACK . 213
7.3.1 FDD HARQ-ACK reporting procedure . 213
7.3.2 TDD HARQ-ACK reporting procedure . 217
7.3.2.1 TDD HARQ-ACK reporting procedure for same UL/DL configuration . 217
7.3.2.2 TDD HARQ-ACK reporting procedure for different UL/DL configurations . 229
7.3.3 FDD-TDD HARQ-ACK reporting procedure for primary cell frame structure type 1 . 236
7.3.4 FDD-TDD HARQ-ACK reporting procedure for primary cell frame structure type 2 . 237
8 Physical uplink shared channel related procedures . 238
8.0 UE procedure for transmitting the physical uplink shared channel . 238
8.0.1 Single-antenna port scheme . 253
8.0.2 Closed-loop spatial multiplexing scheme . 253
8.1 Resource allocation for PDCCH/EPDCCH with uplink DCI format . 254
8.1.1 Uplink resource allocation type 0 . 254
8.1.2 Uplink resource allocation type 1 . 254
8.1.3 Uplink resource allocation type 2 . 255
8.1.4 Uplink resource allocation type 3 . 255
8.1.5 Uplink resource allocation type 4 . 256
8.1.5.1 UL Resource Block Groups . 256
8.2 UE sounding procedure . 257
8.3 UE HARQ-ACK procedure . 267
8.4 UE PUSCH hopping procedure . 269
8.4.1 Type 1 PUSCH hopping . 270
8.4.2 Type 2 PUSCH hopping . 270
8.5 UE Reference Symbol (RS) procedure . 270
8.6 Modulation order, redundancy version and transport block size determination . 271
8.6.1 Modulation order and redundancy version determination . 271
8.6.2 Transport block size determination . 277
8.6.3 Control information MCS offset determination . 280
8.7 UE transmit antenna selection . 284
8.8 Transmission timing adjustments . 284
9 Physical downlink control channel procedures . 284
9.1 UE procedure for determining physical downlink control channel assignment . 285
9.1.1 PDCCH assignment procedure . 285
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9.1.2 PHICH assignment procedure. 289
9.1.3 Control Format Indicator (CFI) assignment procedure . 291
9.1.4 EPDCCH assignment procedure . 291
9.1.4.1 EPDCCH starting position . 298
9.1.4.2 Antenna ports quasi co-location for EPDCCH . 299
9.1.4.3 Resource mapping parameters for EPDCCH . 299
9.1.4.4 PRB-pair indication for EPDCCH . 300
9.1.5 MPDCCH assignment procedure . 300
9.1.5.1 MPDCCH starting position . 307
9.1.5.2 Antenna ports quasi co-location for MPDCCH . 307
9.2 PDCCH/EPDCCH/MPDCCH validation for semi-persistent scheduling . 308
9.3 PDCCH/EPDCCH/MPDCCH control information procedure . 309
10 Physical uplink control channel procedures . 310
10.1 UE procedure for determining physical uplink control channel assignment . 310
10.1.1 PUCCH format information . 313
10.1.2 FDD HARQ-ACK feedback procedures . 318
10.1.2.1 FDD HARQ-ACK procedure for one configured serving cell . 318
10.1.2.2 FDD HARQ-ACK procedures for more than one configured serving cell . 320
10.1.2.2.1 PUCCH format 1b with channel selection HARQ-ACK procedure . 320
10.1.2.2.2 PUCCH format 3 HARQ-ACK procedure . 324
10.1.2.2.3 PUCCH format 4 HARQ-ACK procedure . 326
10.1.2.2.4 PUCCH format 5 HARQ-ACK procedure . 327
10.1.3 TDD HARQ-ACK feedback procedures . 328
10.1.3.1 TDD HARQ-ACK procedure for one configured serving cell . 330
10.1.3.2 TDD HARQ-ACK procedure for more than one configured serving cell . 342
10.1.3.2.1 PUCCH format 1b with channel selection HARQ-ACK procedure . 342
10.1.3.2.2 PUCCH format 3 HARQ-ACK procedure . 358
10.1.3.2.3 PUCCH format 4 HARQ-ACK procedure . 365
10.1.3.2.4 PUCCH format 5 HARQ-ACK procedure . 382
10.1.3A FDD-TDD HARQ-ACK feedback procedures for primary cell frame structure type 2 . 382
10.1.4 HARQ-ACK Repetition procedure . 384
10.1.5 Scheduling Request (SR) procedure . 385
10.2 Uplink HARQ-ACK timing . 386
11 Physical Multicast Channel (PMCH) related procedures . 390
11.1 UE procedure for receiving the PMCH . 390
11.2 UE procedure for receiving MCCH and system information change notification. 391
12 Assumptions independent of physical channel. 391
13 Uplink/Downlink configuration determination procedure for Frame Structure Type 2 . 391
13.1 UE procedure for determining eIMTA-uplink/downlink configuration . 392
13A Subframe configuration for Frame Structure Type 3 . 393
14 UE procedures related to Sidelink . 396
14.1 Physical Sidelink Shared Channel related procedures . 397
14.1.1 UE procedure for transmitting the PSSCH . 397
14.1.1.1 UE procedure for determining subframes for transmitting PSSCH for sidelink transmission mode
1 . 398
14.1.1.1.1 Determination of subframe indicator bitmap . 399
14.1.1.2 UE procedure for determining resource blocks for transmitting PSSCH for sidelink transmission
mode 1 . 401
14.1.1.2.1 PSSCH resource allocation for sidelink transmission mode 1 . 401
14.1.1.2.2 PSSCH frequency hopping for sidelink transmission mode 1 . 402
14.1.1.3 UE procedure for determining subframes for transmitting PSSCH for sidelink transmission mode
2 . 402
14.1.1.4 UE procedure for determining resource blocks for transmitting PSSCH for sidelink transmission
mode 2 . 403
14.1.1.4A UE procedure for determining subframes and resource blocks for transmitting PSSCH for
sidelink transmission mode 3 . 403
14.1.1.4B UE procedure for determining subframes and resource blocks for transmitting PSSCH and
reserving resources for sidelink transmission mode 4 . 404
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14.1.1.4C UE procedure for determining subframes and resource blocks for PSSCH transmission
associated with an SCI format 1 . 404
14.1.1.5 UE procedure for PSSCH power control . 406
14.1.1.6 UE procedure for determining the subset of resources to be reported to higher layers in PSSCH
resource selection in sidelink transmission mode 4 . 407
14.1.1.7 Conditions for selecting resources when the number of HARQ transmissions is two in sidelink
transmission mode 4 . 410
14.1.2 UE procedure for receiving the PSSCH . 410
14.1.3 UE procedure for determining resource block pool and subframe pool for sidelink transmission
mode 2 . 410
14.1.5 UE procedure for determining resource block pool and subframe pool for sidelink transmission
mode 3 and 4 . 411
14.2 Physical Sidelink Control Channel related procedures. 412
14.2.1 UE procedure for transmitting the PSCCH . 412
14.2.1.1 UE procedure for determining subframes and resource blocks for transmitting PSCCH for
sidelink transmission mode 1 . 415
14.2.1.2 UE procedure for determining subframes and resource blocks for transmitting PSCCH for
sidelink transmission mode 2 . 416
14.2.1.3 UE procedure for PSCCH power control . 416
14.2.2 UE procedure for receiving the PSCCH . 417
14.2.3 UE procedure for determining resource block pool and subframe pool for PSCCH . 417
14.2.4 UE procedure for determining resource block pool for PSCCH in sidelink transmission mode 3 and
4 . 418
15 Channel access procedures for LAA . 422
15.1 Downlink channel access procedures . 422
15.1.1 Channel access procedure for transmission(s) including PDSCH/PDCCH/EPDCCH . 422
15.1.2 Channel access procedure for transmissions including discovery signal transmission(s) and not
including PDSCH . 423
15.1.3 Contention window adjustment procedure . 424
15.1.4 Energy detection threshold adaptation procedure . 425
15.1.5 Channel access procedure for transmission(s) on multiple carriers . 426
15.1.5.1 Type A multi-carrier access procedures . 426
15.1.5.1.1 Type A1 . 426
15.1.5.1.2 Type A2 . 426
15.1.5.2 Type B multi-carrier access procedure . 426
15.1.5.2.1 Type B1 . 427
15.1.5.2.2 Type B2 . 427
15.2 Uplink channel access procedures . 427
15.2.1 Channel access procedure for Uplink transmission(s) . 427
15.2.1.1 Type 1 UL channel access procedure . 430
15.2.1.2 Type 2 UL channel access procedure . 431
15.2.2 Contention window adjustment procedure . 431
15.2.3 Energy detection threshold adaptation procedure . 432
15.2.3.1 Default maximum energy detection threshold computation procedure . 432
16 UE Procedures related to narrowband IoT . 433
16.1 Synchronization procedures . 433
16.1.1 Cell search . 433
16.1.2 Timing synchronization . 433
16.2 Power control . 434
16.2.1 Uplink power control . 434
16.2.1.1 Narrowband physical uplink shared channel . 434
16.2.1.1.1 UE behaviour . 434
16.2.1.1.2 Power headroom . 435
16.2.2 Downlink power allocation . 435
16.3 Random access procedure . 435
16.3.1 Physical non-synchronized random access procedure . 435
16.3.2 Timing . 436
16.3.3 Narrowband random access response grant . 437
16.4 Narrowband physical downlink shared channel related procedures . 437
16.4.1 UE procedure for receiving the narrowband physical downlink shared channel . 438
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16.4.1.1 Single-antenna port scheme . 440
16.4.1.2 Transmit diversity scheme . 440
16.4.1.3 Resource allocation . 441
16.4.1.4 NPDSCH starting position . 442
16.4.1.5 Modulation order and transport block size determination . 443
16.4.1.5.1 Transport blocks not mapped for SystemInformationBlockType1-NB . 443
16.4.1.5.2 Transport blocks mapped for SystemInformationBlockType1-NB . 444
16.4.2 UE procedure for reporting ACK/NACK . 444
16.5 Narrowband physical uplink shared channel related procedures . 445
16.5.1 UE procedure for transmitting format 1 narrowband physical uplink shared channel . 445
16.5.1.1 Resource allocation . 446
16.5.1.2 Modulation order, redundancy version and transport block size determination . 447
16.5.2 UE procedure for NPUSCH retransmission . 449
16.6 Narrowband physical downlink control channel related procedures . 449
16.6.1 NPDCCH starting position . 453
16.6.2 NPDCCH control information procedure . 454
16.7 Assumptions independent of physical channel related to narrowband IoT . 454
16.8 UE procedure for acquiring cell-specific reference signal sequence and raster offset . 454
Annex A (informative): Change history . 455
History . 471

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Foreword
rd
This Technical Specification (TS) has been produced by the 3 Generation Partnership Project (3GPP).
The contents of the present document are subject to continuing work within the TSG and may change following formal
TSG approval. Should the TSG modify the contents of this present document, it will be re-released by the TSG with an
identifying change of release date and an increase in version number as follows:
Version x.y.z
where:
x the first digit:
1 presented to TSG for information;
2 presented to TSG for approval;
3 or greater indicates TSG approved document under change control.
y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
updates, etc.
z the third digit is incremented when editorial only changes have been incorporated in the document.
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3GPP TS 36.213 version 14.12.0 Release 14 9 ETSI TS 136 213 V14.12.0 (2019-10)
1 Scope
The present document specifies and establishes the characteristics of the physicals layer procedures in the FDD and
TDD modes of E-UTRA.
2 References
The following documents contain provisions which, through reference in this text, constitute provisions of the present
document.
- References are either specific (identified by date of publication, edition number, version number, etc.) or
non-specific.
- For a specific reference, subsequent revisions do not apply.
- For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document (including
a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same
Release as the present document.
[1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
[2] 3GPP TS 36.201: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical Layer –
General Description".
[3] 3GPP TS 36.211: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical channels and
modulation".
[4] 3GPP TS 36.212: "Evolved Universal Terrestrial Radio Access (E-UTRA); Multiplexing and
channel coding".
[5] 3GPP TS 36.214: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer –
Measurements".
[6] 3GPP TS 36.101: "Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE)
radio transmission and reception".
[7] 3GPP TS 36.104: "Evolved Universal Terrestrial Radio Access (E-UTRA); Base Station (BS)
radio transmission and reception".
[8] 3GPP TS 36.321, "Evolved Universal Terrestrial Radio Access (E-UTRA); Medium Access
Control (MAC) protocol specification".
[9] 3GPP TS 36.423, "Evolved Universal Terrestrial Radio Access (E-UTRA); X2 Application
Protocol (X2AP)".
[10] 3GPP TS 36.133, "Evolved Universal Terrestrial Radio Access (E-UTRA); Requirements for
support of radio resource management".
[11] 3GPP TS 36.331, "Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Resource
Control (RRC) protocol specification".
[12] 3GPP TS 36.306: "Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE)
radio access capabilities".
3 Symbols and abbreviations
3.1 Symbols
For the purposes of the present document, the following symbols apply:
n System frame number as defined in [3]
f
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n Slot number within a radio frame as defined
...