ETSI TS 136 213 V15.7.0 (2019-10)

TECHNICAL SPECIFICATION
LTE;
Evolved Universal Terrestrial Radio Access (E-UTRA);
Physical layer procedures
(3GPP TS 36.213 version 15.7.0 Release 15)

3GPP TS 36.213 version 15.7.0 Release 15 1 ETSI TS 136 213 V15.7.0 (2019-10)

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3GPP TS 36.213 version 15.7.0 Release 15 2 ETSI TS 136 213 V15.7.0 (2019-10)
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ETSI
3GPP TS 36.213 version 15.7.0 Release 15 3 ETSI TS 136 213 V15.7.0 (2019-10)
Contents
Intellectual Property Rights . 2
Legal notice . 2
Modal verbs terminology . 2
Foreword . 8
1 Scope . 9
2 References . 9
3 Symbols and abbreviations . 10
3.1 Symbols . 10
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 . 14
5 Power control . 15
5.1 Uplink power control. 15
5.1.1 Physical uplink shared channel . 15
5.1.1.1 UE behaviour . 16
5.1.1.2 Power headroom . 30
5.1.2 Physical uplink control channel . 33
5.1.2.1 UE behaviour . 34
5.1.3 Sounding Reference Symbol (SRS) . 39
5.1.3.1 UE behaviour . 39
5.1.3.2 Power headroom for Type3 report . 41
5.1.4 Power allocation for EUTRA dual connectivity . 42
5.1.4.1 Dual connectivity power control Mode 1 . 43
5.1.4.2 Dual connectivity power control Mode 2 . 50
5.1.5 Power allocation for PUCCH-SCell . 54
5.2 Downlink power allocation . 55
5.2.1 eNodeB Relative Narrowband TX Power (RNTP) restrictions . 58
6 Random access procedure . 59
6.1 Physical non-synchronized random access procedure . 59
6.1.1 Timing . 60
6.2 Random Access Response Grant . 61
7 Physical downlink shared channel related procedures . 66
7.1 UE procedure for receiving the physical downlink shared channel . 67
7.1.1 Single-antenna port scheme . 86
7.1.2 Transmit diversity scheme . 86
7.1.3 Large delay CDD scheme . 86
7.1.4 Closed-loop spatial multiplexing scheme . 86
7.1.5 Multi-user MIMO scheme . 87
7.1.5A Dual layer scheme . 87
7.1.5B Up to 8 layer transmission scheme . 87
7.1.6 Resource allocation . 87
7.1.6.1 Resource allocation type 0 . 89
7.1.6.2 Resource allocation type 1 . 90
7.1.6.3 Resource allocation type 2 . 91
7.1.6.4 PDSCH starting position . 94
7.1.6.4A PDSCH starting position for BL/CE UEs . 96
7.1.6.5 Physical Resource Block (PRB) bundling. 96
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7.1.7 Modulation order and transport block size determination . 98
7.1.7.1 Modulation order and redundancy version determination . 100
7.1.7.2 Transport block size determination . 106
7.1.7.2.1 Transport blocks not mapped to two or more layer spatial multiplexing . 111
7.1.7.2.2 Transport blocks mapped to two-layer spatial multiplexing . 119
7.1.7.2.3 Transport blocks mapped for DCI Format 1C and DCI Format 6-2 . 119
7.1.7.2.4 Transport blocks mapped to three-layer spatial multiplexing . 120
7.1.7.2.5 Transport blocks mapped to four-layer spatial multiplexing . 120
7.1.7.2.6 Transport blocks mapped for BL/CE UEs configured with CEModeB and PDSCH bandwidth
up to 1.4MHz . 121
7.1.7.2.7 Transport blocks mapped for BL/CE UEs SystemInformationBlockType1-BR . 122
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 . 122
7.1.7.3 Redundancy Version determination for Format 1C . 122
7.1.8 Storing soft channel bits . 123
7.1.9 PDSCH resource mapping parameters . 123
7.1.10 Antenna ports quasi co-location for PDSCH . 125
7.1.11 PDSCH subframe assignment for BL/CE UE . 126
7.2 UE procedure for reporting Channel State Information (CSI) . 128
7.2.1 Aperiodic CSI Reporting using PUSCH . 138
7.2.2 Periodic CSI Reporting using PUCCH . 163
7.2.3 Channel Quality Indicator (CQI) definition . 203
7.2.4 Precoding Matrix Indicator (PMI) definition . 216
7.2.5 Channel-State Information – Reference Signal (CSI-RS) definition . 244
7.2.6 Channel-State Information – Interference Measurement (CSI-IM) Resource definition . 246
7.2.7 Zero Power CSI-RS Resource definition . 246
7.2.8 CSI-RS Activation / Deactivation . 246
7.3 UE procedure for reporting HARQ-ACK . 247
7.3.1 FDD HARQ-ACK reporting procedure . 249
7.3.2 TDD HARQ-ACK reporting procedure . 254
7.3.2.1 TDD HARQ-ACK reporting procedure for same UL/DL configuration . 255
7.3.2.2 TDD HARQ-ACK reporting procedure for different UL/DL configurations . 270
7.3.3 FDD-TDD HARQ-ACK reporting procedure for primary cell frame structure type 1 . 277
7.3.4 FDD-TDD HARQ-ACK reporting procedure for primary cell frame structure type 2 . 279
8 Physical uplink shared channel related procedures . 280
8.0 UE procedure for transmitting the physical uplink shared channel . 280
8.0.1 Single-antenna port scheme . 306
8.0.2 Closed-loop spatial multiplexing scheme . 306
8.1 Resource allocation for PDCCH/EPDCCH/SPDCCH with uplink DCI format . 307
8.1.1 Uplink resource allocation type 0 . 307
8.1.2 Uplink resource allocation type 1 . 308
8.1.3 Uplink resource allocation type 2 . 308
8.1.4 Uplink resource allocation type 3 . 309
8.1.5 Uplink resource allocation type 4 . 310
8.1.5.1 UL Resource Block Groups . 310
8.1.6 Uplink resource allocation type 5 . 311
8.2 UE sounding procedure . 313
8.3 UE HARQ-ACK procedure . 324
8.3A Autonomous uplink feedback procedure . 326
8.4 UE PUSCH hopping procedure . 326
8.4.1 Type 1 PUSCH hopping . 327
8.4.2 Type 2 PUSCH hopping . 327
8.5 UE Reference Symbol (RS) procedure . 328
8.6 Modulation order, redundancy version and transport block size determination . 329
8.6.1 Modulation order and redundancy version determination . 329
8.6.2 Transport block size determination . 337
8.6.3 Control information MCS offset determination . 343
8.7 UE transmit antenna selection . 347
8.8 Transmission timing adjustments . 347
9 Physical downlink control channel procedures . 347
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9.1 UE procedure for determining physical downlink control channel assignment . 348
9.1.1 PDCCH assignment procedure . 348
9.1.2 PHICH assignment procedure. 352
9.1.3 Control Format Indicator (CFI) assignment procedure . 355
9.1.4 EPDCCH assignment procedure . 356
9.1.4.1 EPDCCH starting position . 363
9.1.4.2 Antenna ports quasi co-location for EPDCCH . 363
9.1.4.3 Resource mapping parameters for EPDCCH . 364
9.1.4.4 PRB-pair indication for EPDCCH . 364
9.1.5 MPDCCH assignment procedure . 365
9.1.5.1 MPDCCH starting position . 372
9.1.5.2 Antenna ports quasi co-location for MPDCCH . 372
9.1.6 SPDCCH assignment procedure . 372
9.1.6.1 Resource mapping parameters for SPDCCH . 374
9.1.6.2 PRB-pair indication for SPDCCH . 374
9.1.6.3 Physical Resource Block (PRB) bundling for DMRS-based SPDCCH . 374
9.1.6.4 Antenna ports quasi co-location for DMRS-based SPDCCH . 375
9.2 PDCCH/EPDCCH/MPDCCH/SPDCCH validation for semi-persistent scheduling . 376
9.2A PDCCH/EPDCCH validation for autonomous uplink transmissions . 378
9.3 PDCCH/EPDCCH/MPDCCH/SPDCCH control information procedure . 379
10 Physical uplink control channel procedures . 380
10.1 UE procedure for determining physical uplink control channel assignment . 381
10.1.1 PUCCH format information . 386
10.1.2 FDD HARQ-ACK feedback procedures . 392
10.1.2.1 FDD HARQ-ACK procedure for one configured serving cell . 392
10.1.2.2 FDD HARQ-ACK procedures for more than one configured serving cell . 396
10.1.2.2.1 PUCCH format 1b with channel selection HARQ-ACK procedure . 396
10.1.2.2.2 PUCCH format 3 HARQ-ACK procedure . 399
10.1.2.2.3 PUCCH format 4 HARQ-ACK procedure . 401
10.1.2.2.4 PUCCH format 5 HARQ-ACK procedure . 404
10.1.3 TDD HARQ-ACK feedback procedures . 405
10.1.3.1 TDD HARQ-ACK procedure for one configured serving cell . 407
10.1.3.2 TDD HARQ-ACK procedure for more than one configured serving cell . 421
10.1.3.2.1 PUCCH format 1b with channel selection HARQ-ACK procedure . 421
10.1.3.2.2 PUCCH format 3 HARQ-ACK procedure . 437
10.1.3.2.3 PUCCH format 4 HARQ-ACK procedure . 444
10.1.3.2.4 PUCCH format 5 HARQ-ACK procedure . 461
10.1.3A FDD-TDD HARQ-ACK feedback procedures for primary cell frame structure type 2 . 461
10.1.4 HARQ-ACK Repetition procedure . 463
10.1.5 Scheduling Request (SR) procedure . 464
10.2 Uplink HARQ-ACK timing . 466
11 Physical Multicast Channel (PMCH) related procedures . 470
11.1 UE procedure for receiving the PMCH . 470
11.2 UE procedure for receiving MCCH and system information change notification. 471
12 Assumptions independent of physical channel. 471
13 Uplink/Downlink configuration determination procedure for Frame Structure Type 2 . 471
13.1 UE procedure for determining eIMTA-uplink/downlink configuration . 472
13A Subframe configuration for Frame Structure Type 3 . 473
14 UE procedures related to Sidelink . 476
14.1 Physical Sidelink Shared Channel related procedures . 477
14.1.1 UE procedure for transmitting the PSSCH . 477
14.1.1.1 UE procedure for determining subframes for transmitting PSSCH for sidelink transmission mode
1 . 479
14.1.1.1.1 Determination of subframe indicator bitmap . 479
14.1.1.2 UE procedure for determining resource blocks for transmitting PSSCH for sidelink transmission
mode 1 . 482
14.1.1.2.1 PSSCH resource allocation for sidelink transmission mode 1 . 482
14.1.1.2.2 PSSCH frequency hopping for sidelink transmission mode 1 . 483
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14.1.1.3 . UE procedure for determining subframes for transmitting PSSCH for sidelink transmission mode
2 . 483
14.1.1.4 UE procedure for determining resource blocks for transmitting PSSCH for sidelink transmission
mode 2 . 484
14.1.1.4A UE procedure for determining subframes and resource blocks for transmitting PSSCH for
sidelink transmission mode 3 . 484
14.1.1.4B UE procedure for determining subframes and resource blocks for transmitting PSSCH and
reserving resources for sidelink transmission mode 4 . 485
14.1.1.4C UE procedure for determining subframes and resource blocks for PSSCH transmission
associated with an SCI format 1 . 485
14.1.1.5 UE procedure for PSSCH power control . 486
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 and in sensing measurement in sidelink
transmission mode 3 . 488
14.1.1.7 Conditions for selecting resources when the number of HARQ transmissions is two in sidelink
transmission mode 4 . 491
14.1.2 UE procedure for receiving the PSSCH . 491
14.1.3 UE procedure for determining resource block pool and subframe pool for sidelink transmission
mode 2 . 492
14.1.5 UE procedure for determining resource block pool and subframe pool for sidelink transmission
mode 3 and 4 . 493
14.2 Physical Sidelink Control Channel related procedures. 494
14.2.1 UE procedure for transmitting the PSCCH . 494
14.2.1.1 UE procedure for determining subframes and resource blocks for transmitting PSCCH for
sidelink transmission mode 1 . 497
14.2.1.2 UE procedure for determining subframes and resource blocks for transmitting PSCCH for
sidelink transmission mode 2 . 497
14.2.1.3 UE procedure for PSCCH power control . 498
14.2.2 UE procedure for receiving the PSCCH . 499
14.2.3 UE procedure for determining resource block pool and subframe pool for PSCCH . 499
14.2.4 UE procedure for determining resource block pool for PSCCH in sidelink transmission mode 3 and
4 . 500
15 Void . 504
16 UE Procedures related to narrowband IoT . 504
16.1 Synchronization procedures . 504
16.1.1 Cell search . 504
16.1.2 Timing synchronization . 504
16.2 Power control . 504
16.2.1 Uplink power control . 504
16.2.1.1 Narrowband physical uplink shared channel . 505
16.2.1.1.1 UE behaviour . 505
16.2.1.1.2 Power headroom . 505
16.2.1.2 SR . 506
16.2.1.2.1 UE behaviour . 506
16.2.2 Downlink power allocation . 506
16.3 Random access procedure . 507
16.3.1 Physical non-synchronized random access procedure . 507
16.3.2 Timing . 507
16.3.3 Narrowband random access response grant . 508
16.4 Narrowband physical downlink shared channel related procedures . 510
16.4.1 UE procedure for receiving the narrowband physical downlink shared channel . 510
16.4.1.1 Single-antenna port scheme . 513
16.4.1.2 Transmit diversity scheme . 513
16.4.1.3 Resource allocation . 513
16.4.1.4 NPDSCH starting position . 516
16.4.1.5 Modulation order and transport block size determination . 517
16.4.1.5.1 Transport blocks not mapped for SystemInformationBlockType1-NB . 517
16.4.1.5.2 Transport blocks mapped for SystemInformationBlockType1-NB . 518
16.4.2 UE procedure for reporting ACK/NACK . 518
16.5 Narrowband physical uplink shared channel related procedures . 519
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16.5.1 UE procedure for transmitting format 1 narrowband physical uplink shared channel . 520
16.5.1.1 Resource allocation . 521
16.5.1.2 Modulation order, redundancy version and transport block size determination . 522
16.5.2 UE procedure for NPUSCH retransmission . 524
16.5.3 UE procedure for transmitting SR . 524
16.6 Narrowband physical downlink control channel related procedures . 524
16.6.1 NPDCCH starting position . 530
16.6.2 NPDCCH control information procedure . 530
16.6.3 NPDCCH validation for semi-persistent scheduling . 530
16.7 Assumptions independent of physical channel related to narrowband IoT . 531
16.8 UE procedure for acquiring cell-specific reference signal sequence and raster offset . 531
16.9 UE procedure for receiving narrowband wake up signal . 531
17 Wake-up signal related procedures for BL/CE UE . 532
Annex A (informative): Change history . 533
History . 551

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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.
ETSI
3GPP TS 36.213 version 15.7.0 Release 15 9 ETSI TS 136 213 V15.7.0 (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".
[13] 3GPP TS 37.213: "Physical layer procedures for shared spectrum channel access".
[14] 3GPP TS 36.304: "Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE)
procedures in idle mode".
[15] 3GPP TS 38.321: "NR; Medium Access Control (MAC) protocol specification"
[16] 3GPP TS 38.133: "NR; Requirements for support of radio resource management"

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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
n Slot number within a radio frame as defined in [3]
s
DL
N Number of configured cells
cells
DL RB
N Downlink bandwidth configuration, expressed in units of N as defined in [3]
RB sc
UL RB
N Uplink bandwidth configuration, expressed in units of N as defined in [3]
RB sc
UL
N Number of SC-FDMA symbols in an uplink slot as defined in [3]
symb
RB
N Resource block size in the frequency domain, expressed as a number of subcarriers as defined in
sc
[3]
T Basic time unit as defined in [3]
s
3.2
...