ETSI TS 136 213 V12.3.0 (2014-10)

LTE; Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer procedures (3GPP TS 36.213 version 12.3.0 Release 12)

RTS/TSGR-0136213vc30

General Information

• Status: Published
• Publication Date: 01-Oct-2014
• Technical Committee: 3GPP RAN 1 - Radio layer 1 specification
• Current Stage: 12 - Completion
• Due Date: 10-Oct-2014
• Completion Date: 02-Oct-2014

Standards Content (Sample)

ETSI TS 136 213 V12.3.0 (2014-10)






TECHNICAL SPECIFICATION
LTE;
Evolved Universal Terrestrial Radio Access (E-UTRA);
Physical layer procedures
(3GPP TS 36.213 version 12.3.0 Release 12)

---------------------- Page: 1 ----------------------
3GPP TS 36.213 version 12.3.0 Release 12 1 ETSI TS 136 213 V12.3.0 (2014-10)



Reference
RTS/TSGR-0136213vc30
Keywords
LTE
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: [phone]  Fax: [phone]

Siret N° 348 623 562 00017 - NAF 742 C
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88

Important notice
The present document can be downloaded from:
http://www.etsi.org
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the only prevailing document is the
print of the Portable Document Format (PDF) version kept on a specific network drive within ETSI Secretariat.
Users of the present document should be aware that the document may be subject to revision or change of status.
Information on the current status of this and other ETSI documents is available at
http://portal.etsi.org/tb/status/status.asp
If you find errors in the present document, please send your comment to one of the following services:
http://portal.etsi.org/chaircor/ETSI_support.asp
Copyright Notification
No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying
and microfilm except as authorized by written permission of ETSI.
The content of the PDF version shall not be modified without the written authorization of ETSI.
The copyright and the foregoing restriction extend to reproduction in all media.

© European Telecommunications Standards Institute 2014.
All rights reserved.

TM TM TM
DECT , PLUGTESTS , UMTS and the ETSI logo are Trade Marks of ETSI registered for the benefit of its Members.
TM
3GPP and LTE™ are Trade Marks of ETSI registered for the benefit of its Members and
of the 3GPP Organizational Partners.
GSM® and the GSM logo are Trade Marks registered and owned by the GSM Association.
ETSI

---------------------- Page: 2 ----------------------
3GPP TS 36.213 version 12.3.0 Release 12 2 ETSI TS 136 213 V12.3.0 (2014-10)
Intellectual Property Rights
IPRs essential or potentially essential to the present document may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
server (http://ipr.etsi.org).
Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
server) which are, or may be, or may become, essential to the present document.
Foreword
This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP).
The present document may refer to technical specifications or reports using their 3GPP identities, UMTS identities or
GSM identities. These should be interpreted as being references to the corresponding ETSI deliverables.
The cross reference between GSM, UMTS, 3GPP and ETSI identities can be found under
http://webapp.etsi.org/key/queryform.asp.
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "may not", "need", "need not", "will",
"will not", "can" and "cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms
for the expression of provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
ETSI

---------------------- Page: 3 ----------------------
3GPP TS 36.213 version 12.3.0 Release 12 3 ETSI TS 136 213 V12.3.0 (2014-10)
Contents
Intellectual Property Rights . 2
Foreword . 2
Modal verbs terminology . 2
Foreword . 6
1 Scope . 7
2 References . 7
3 Symbols and abbreviations . 8
3.1 Symbols . 8
3.2 Abbreviations . 8
4 Synchronization procedures . 10
4.1 Cell search . 10
4.2 Timing synchronization . 10
4.2.1 Radio link monitoring . 10
4.2.2 Inter-cell synchronization . 10
4.2.3 Transmission timing adjustments . 10
4.3 Timing for Secondary Cell Activation / Deactivation . 11
5 Power control . 12
5.1 Uplink power control. 12
5.1.1 Physical uplink shared channel . 12
5.1.1.1 UE behaviour . 12
5.1.1.2 Power headroom . 19
5.1.2 Physical uplink control channel . 21
5.1.2.1 UE behaviour . 21
5.1.3 Sounding Reference Symbol (SRS) . 24
5.1.3.1 UE behaviour . 24
5.2 Downlink power allocation . 25
5.2.1 eNodeB Relative Narrowband TX Power (RNTP) restrictions . 26
6 Random access procedure . 28
6.1 Physical non-synchronized random access procedure . 28
6.1.1 Timing . 28
6.2 Random Access Response Grant . 29
7 Physical downlink shared channel related procedures . 31
7.1 UE procedure for receiving the physical downlink shared channel . 31
7.1.1 Single-antenna port scheme . 39
7.1.2 Transmit diversity scheme . 40
7.1.3 Large delay CDD scheme . 40
7.1.4 Closed-loop spatial multiplexing scheme . 40
7.1.5 Multi-user MIMO scheme . 40
7.1.5A Dual layer scheme . 40
7.1.5B Up to 8 layer transmission scheme . 40
7.1.6 Resource allocation . 40
7.1.6.1 Resource allocation type 0 . 41
7.1.6.2 Resource allocation type 1 . 41
7.1.6.3 Resource allocation type 2 . 42
7.1.6.4 PDSCH starting position . 43
7.1.6.5 Physical Resource Block (PRB) bundling. 45
7.1.7 Modulation order and transport block size determination . 46
7.1.7.1 Modulation order determination . 46
7.1.7.2 Transport block size determination . 48
7.1.7.2.1 Transport blocks not mapped to two or more layer spatial multiplexing . 49
7.1.7.2.2 Transport blocks mapped to two-layer spatial multiplexing . 56
ETSI

---------------------- Page: 4 ----------------------
3GPP TS 36.213 version 12.3.0 Release 12 4 ETSI TS 136 213 V12.3.0 (2014-10)
7.1.7.2.3 Transport blocks mapped for DCI Format 1C . 56
7.1.7.2.4 Transport blocks mapped to three-layer spatial multiplexing . 57
7.1.7.2.5 Transport blocks mapped to four-layer spatial multiplexing . 58
7.1.7.3 Redundancy Version determination for Format 1C . 58
7.1.8 Storing soft channel bits . 59
7.1.9 PDSCH resource mapping parameters . 59
7.1.10 Antenna ports quasi co-location for PDSCH . 60
7.2 UE procedure for reporting Channel State Information (CSI) . 61
7.2.1 Aperiodic CSI Reporting using PUSCH . 64
7.2.2 Periodic CSI Reporting using PUCCH . 72
7.2.3 Channel Quality Indicator (CQI) definition . 89
7.2.4 Precoding Matrix Indicator (PMI) definition . 95
7.2.5 Channel-State Information – Reference Signal (CSI-RS) definition . 100
7.2.6 Channel-State Information – Interference Measurement (CSI-IM) Resource definition . 101
7.2.7 Zero Power CSI-RS Resource definition . 101
7.3 UE procedure for reporting HARQ-ACK . 102
7.3.1 FDD HARQ-ACK reporting procedure . 102
7.3.2 TDD HARQ-ACK reporting procedure . 102
7.3.2.1 TDD HARQ-ACK reporting procedure for same UL/DL configuration . 103
7.3.2.2 TDD HARQ-ACK reporting procedure for different UL/DL configurations . 109
7.3.3 FDD-TDD HARQ-ACK reporting procedure for primary cell frame structure type 1 . 113
7.3.4 FDD-TDD HARQ-ACK reporting procedure for primary cell frame structure type 2 . 113
8 Physical uplink shared channel related procedures . 114
8.0 UE procedure for transmitting the physical uplink shared channel . 114
8.0.1 Single-antenna port scheme . 120
8.0.2 Closed-loop spatial multiplexing scheme . 120
8.1 Resource allocation for PDCCH/EPDCCH with uplink DCI format . 121
8.1.1 Uplink resource allocation type 0 . 121
8.1.2 Uplink resource allocation type 1 . 121
8.2 UE sounding procedure . 122
8.3 UE HARQ-ACK procedure . 128
8.4 UE PUSCH hopping procedure . 130
8.4.1 Type 1 PUSCH hopping . 131
8.4.2 Type 2 PUSCH hopping . 131
8.5 UE Reference Symbol (RS) procedure . 131
8.6 Modulation order, redundancy version and transport block size determination . 132
8.6.1 Modulation order and redundancy version determination . 132
8.6.2 Transport block size determination . 133
8.6.3 Control information MCS offset determination . 135
8.7 UE transmit antenna selection . 138
9 Physical downlink control channel procedures . 139
9.1 UE procedure for determining physical downlink control channel assignment . 139
9.1.1 PDCCH assignment procedure . 139
9.1.2 PHICH assignment procedure. 141
9.1.3 Control Format Indicator (CFI) assignment procedure . 143
9.1.4 EPDCCH assignment procedure . 143
9.1.4.1 EPDCCH starting position . 149
9.1.4.2 Antenna ports quasi co-location for EPDCCH . 149
9.1.4.3 Resource mapping parameters for EPDCCH . 150
9.1.4.4 PRB-pair indication for EPDCCH . 150
9.2 PDCCH/EPDCCH validation for semi-persistent scheduling . 151
9.3 PDCCH/EPDCCH control information procedure . 152
10 Physical uplink control channel procedures . 153
10.1 UE procedure for determining physical uplink control channel assignment . 153
10.1.1 PUCCH format information . 155
10.1.2 FDD HARQ-ACK feedback procedures . 157
10.1.2.1 FDD HARQ-ACK procedure for one configured serving cell . 157
10.1.2.2 FDD HARQ-ACK procedures for more than one configured serving cell . 158
10.1.2.2.1 PUCCH format 1b with channel selection HARQ-ACK procedure . 159
10.1.2.2.2 PUCCH format 3 HARQ-ACK procedure . 162
ETSI

---------------------- Page: 5 ----------------------
3GPP TS 36.213 version 12.3.0 Release 12 5 ETSI TS 136 213 V12.3.0 (2014-10)
10.1.3 TDD HARQ-ACK feedback procedures . 164
10.1.3.1 TDD HARQ-ACK procedure for one configured serving cell . 165
10.1.3.2 TDD HARQ-ACK procedure for more than one configured serving cell . 175
10.1.3.2.1 PUCCH format 1b with channel selection HARQ-ACK procedure . 175
10.1.3.2.2 PUCCH format 3 HARQ-ACK procedure . 190
10.1.3A FDD-TDD HARQ-ACK feedback procedures for primary cell frame structure type 2 . 196
10.1.4 HARQ-ACK Repetition procedure . 197
10.1.5 Scheduling Request (SR) procedure . 199
10.2 Uplink HARQ-ACK timing . 200
11 Physical Multicast Channel (PMCH) related procedures . 203
11.1 UE procedure for receiving the PMCH . 203
11.2 UE procedure for receiving MCCH change notification . 203
12 Assumptions independent of physical channel. 203
13 Uplink/Downlink configuration determination procedure for Frame Structure Type 2 . 203
Annex A (informative): Change history . 206
History . 213

ETSI

---------------------- Page: 6 ----------------------
3GPP TS 36.213 version 12.3.0 Release 12 6 ETSI TS 136 213 V12.3.0 (2014-10)
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

---------------------- Page: 7 ----------------------
3GPP TS 36.213 version 12.3.0 Release 12 7 ETSI TS 136 213 V12.3.0 (2014-10)
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".
ETSI

---------------------- Page: 8 ----------------------
3GPP TS 36.213 version 12.3.0 Release 12 8 ETSI TS 136 213 V12.3.0 (2014-10)
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 Abbreviations
For the purposes of the present document, the abbreviations given in TR 21.905 [1] and the following apply.
An abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any,
in TR 21.905 [1].
ACK Acknowledgement
BCH Broadcast Channel
CCE Control Channel Element
CDD Cyclic Delay Diversity
CIF Carrier Indicator Field
CQI Channel Quality Indicator
CRC Cyclic Redundancy Check
CSI Channel State Information
CSI-IM CSI-interference measurement
DAI Downlink Assignment Index
DCI Downlink Control Information
DL Downlink
DL-SCH Downlink Shared Channel
DTX Discontinuous Transmission
EPDCCH Enhanced Physical Downlink Control Channel
EPRE Energy Per Resource Element
MCS Modulation and Coding Scheme
NACK Negative Acknowledgement
PBCH Physical Broadcast Channel
PCFICH Physical Control Format Indicator Channel
PDCCH Physical Downlink Control Channel
PDSCH Physical Downlink Shared Channel
PHICH Physical Hybrid ARQ Indicator Channel
PMCH Physical Multicast Channel
PMI Precoding Matrix Indicator
PRACH Physical Random Access Channel
PRS Positioning Reference Signal
PRB Physical Resource Block
PUCCH Physical Uplink Control Channel
PUSCH Physical Uplink Shared Channel
PTI Precoding Type Indicator
RBG Resource Block Group
ETSI

---------------------- Page: 9 ----------------------
3GPP TS 36.213 version 12.3.0 Release 12 9 ETSI TS 136 213 V12.3.0 (2014-10)
RE Resource Element
RI Rank Indication
RS Reference Signal
SINR Signal to Interference plus Noise Ratio
SPS C-RNTI Semi-Persistent Scheduling C-RNTI
SR Scheduling Request
SRS Sounding Reference Symbol
TAG Timing Advance Group
TBS Transport Block Size
UCI Uplink Control Information
UE User Equipment
UL Uplink
UL-SCH Uplink Shared Channel
VRB Virtual Resource Block
ETSI

---------------------- Page: 10 ----------------------
3GPP TS 36.213 version 12.3.0 Release 12 10 ETSI TS 136 213 V12.3.0 (2014-10)
4 Synchronization procedures
4.1 Cell search
Cell search is the procedure by which a UE acquires time and frequency synchronization with a cell and detects the
physical layer Cell ID of that cell. E-UTRA cell search supports a scalable overall transmission bandwidth
corresponding to 6 resource blocks and upwards.
The following signals are transmitted in the downlink to facilitate cell search: the primary and secondary
synchronization signals.
A UE may assume the antenna ports 0 – 3 and the antenna port for the primary/secondary synchroniza
...