EXHIBIT 2 

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3GPP TS 36.213 V8.3.0 (2008-05)

Technical Specification 

3rd Generation Partnership Project;

Technical Specification Group Radio Access Network;

Evolved Universal Terrestrial Radio Access (E-UTRA);

Physical layer procedures

(Release 8)

The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP.

 

The present document has not been subject to any approval process by the 3GPP Organisational Partners and shall not be implemented. 

This Specification is provided for future development work within 3GPP only. The Organisational Partners accept no liability for any use of this Specification. 

Specifications and reports for implementation of the 3GPP TM system should be obtained via the 3GPP Organisational Partners’ Publications Offices. 

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3GPP 

Release 8 2 3GPP TS 36.213 V8.3.0 (2008-05) 

Keywords 

UMTS, radio, layer 1 

3GPP 

Postal address 

3GPP support office address 

650 Route des Lucioles – Sophia Antipolis 

Valbonne – France 

Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16 

Internet 

http://www.3gpp.org 

Copyright Notification 

No part may be reproduced except as authorized by written permission. 

The copyright and the foregoing restriction extend to reproduction in all media. 

© 2008, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TTA, TTC). 

All rights reserved. 

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3GPP 

Release 8 3 3GPP TS 36.213 V8.3.0 (2008-05) 

Contents 

Foreword ............................................................................................................................................................ 5

1 Scope ........................................................................................................................................................ 6

2 References ................................................................................................................................................ 6

3 Definitions, symbols, and abbreviations .................................................................................................. 6

3.1 Symbols ................................................................................................................................................................. 6

3.2 Abbreviations ........................................................................................................................................................ 7

4 Synchronisation procedures ..................................................................................................................... 7

4.1 Cell search ............................................................................................................................................................. 7

4.2 Timing synchronisation ........................................................................................................................................ 8

4.2.1 Radio link monitoring ..................................................................................................................................... 8

4.2.3 Inter-cell synchronisation ................................................................................................................................ 8

4.2.4 Transmission timing adjustments ................................................................................................................... 8

5 Power control ........................................................................................................................................... 8

5.1 Uplink power control ............................................................................................................................................ 8

5.1.1 Physical uplink shared channel ....................................................................................................................... 8

5.1.1.1 UE behaviour ............................................................................................................................................. 8

5.1.1.2 Power headroom ...................................................................................................................................... 10

5.1.2 Physical uplink control channel .................................................................................................................... 11

5.1.2.1 UE behaviour ........................................................................................................................................... 11

5.1.3 Sounding Reference Symbol ......................................................................................................................... 12

5.1.3.1 UE behaviour ........................................................................................................................................... 12

5.2 Downlink power allocation ................................................................................................................................. 12

5.2.1 eNodeB Relative Narrowband TX Power restrictions ................................................................................. 13

6 Random access procedure ...................................................................................................................... 13

6.1 Physical non-synchronized random access procedure ....................................................................................... 13

6.1.1 Timing ........................................................................................................................................................... 14

6.1.1.1 Synchronized ........................................................................................................................................... 14

6.1.1.2 Unsynchronized ....................................................................................................................................... 14

7 Physical downlink shared channel related procedures ........................................................................... 14

7.1 UE procedure for receiving the physical downlink shared channel .................................................................. 14

7.1.1 Single-antenna port ....................................................................................................................................... 15

7.1.2 Transmit diversity ........................................................................................................................................ 15

7.1.3 Open-loop spatial multiplexing ................................................................................................................... 15

7.1.4 Closed-loop spatial multiplexing ................................................................................................................. 15

7.1.5 Void .............................................................................................................................................................. 15

7.1.6 Resource allocation ...................................................................................................................................... 15

7.1.6.1 Resource allocation type 0 ...................................................................................................................... 16

7.1.6.2 Resource allocation type 1 ...................................................................................................................... 16

7.1.6.3 Resource allocation type 2 ...................................................................................................................... 16

7.1.7 Modulation order and transport block size determination .......................................................................... 17

7.1.7.1 Modulation order determination.............................................................................................................. 17

7.1.7.2 Transport block size determination ......................................................................................................... 18

7.1.7.2.1 Transport blocks not mapped to two-layer spatial multiplexing ............................................................ 18

7.1.7.2.2 Transport blocks mapped to two-layer spatial multiplexing .................................................................. 23

7.2 UE procedure for reporting channel quality indication (CQI), precoding matrix indicator (PMI) and rank 

indication (RI) ..................................................................................................................................................... 24

7.2.1 Aperiodic CQI/PMI/RI Reporting using PUSCH ........................................................................................ 25

7.2.2 Periodic CQI/PMI/RI Reporting using PUCCH ........................................................................................... 29

7.2.3 Channel quality indicator (CQI) definition ................................................................................................... 33

7.2.4 Precoding Matrix Indicator (PMI) definition ............................................................................................... 34

7.3 UE procedure for reporting ACK/NACK ........................................................................................................... 34

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Release 8 4 3GPP TS 36.213 V8.3.0 (2008-05) 

8 Physical uplink shared channel related procedures ................................................................................ 34

8.1 Resource Allocation for PDCCH DCI Format 0 ................................................................................................ 35

8.2 UE sounding procedure ....................................................................................................................................... 36

8.2.1 Sounding definition ....................................................................................................................................... 36

8.3 UE ACK/NACK procedure ................................................................................................................................ 36

8.4 UE PUSCH Hopping procedure ......................................................................................................................... 37

8.4.1 Type 1 PUSCH Hopping ............................................................................................................................... 38

8.4.2 Type 2 PUSCH Hopping ............................................................................................................................... 38

8.5 UE Reference Symbol procedure ....................................................................................................................... 38

8.6 Modulation order, redundancy version and transport block size determination ............................................... 38

8.6.1 Modulation order and redundancy version determination .......................................................................... 38

8.6.2 Transport block size determination ............................................................................................................. 39

8.7 UE Transmit Antenna Selection ......................................................................................................................... 40

9 Physical downlink control channel procedures ...................................................................................... 40

9.1 UE procedure for determining physical downlink control channel assignment ................................................ 40

9.1.1 PDCCH Assignment Procedure .................................................................................................................... 40

9.1.2 PHICH Assignment Procedure ..................................................................................................................... 41

10 Physical uplink control channel procedures ........................................................................................... 42

10.1 UE procedure for determining physical uplink control channel assignment ..................................................... 42

10.2 Uplink ACK/NACK timing ................................................................................................................................ 43

Annex A (informative): Change history ............................................................................................... 45

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Release 8 5 3GPP TS 36.213 V8.3.0 (2008-05) 

Foreword 

This Technical Specification (TS) has been produced by the 3rd Generation Partnership Project (3GPP). 

The contents of the present document are subject to continuing work within the TSG and may change following formal 

TSG approval. Should the TSG modify the contents of 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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Release 8 6 3GPP TS 36.213 V8.3.0 (2008-05) 

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” 

3 Definitions, symbols, and abbreviations 

3.1 Symbols 

For the purposes of the present document, the following symbols apply: 

DL NRB Downlink bandwidth configuration, expressed in units of RB Nsc as defined in [3] 

UL NRB Uplink bandwidth configuration, expressed in units of RB Nsc as defined in [3] 

UL Nsymb Number of SC-FDMA symbols in an uplink slot as defined in [3] 

RB Nsc Resource block size in the frequency domain, expressed as a number of subcarriers as defined in 

[3] 

Ts Basic time unit as defined in [3] 

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3.2 Abbreviations 

For the purposes of the present document, the following abbreviations apply. 

ACK Acknowledgement 

BCH Broadcast Channel 

CCE Control Channel Element 

CQI Channel Quality Indicator 

CRC Cyclic Redundancy Check 

DAI Downlink Assignment Index 

DL Downlink 

DTX Discontinuous Transmission 

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 

PRACH Physical Random Access Channel 

PRB Physical Resource Block 

PUCCH Physical Uplink Control Channel 

PUSCH Physical Uplink Shared Channel 

QoS Quality of Service 

RBG Resource Block Group 

RE Resource Element 

RPF Repetition Factor 

RS Reference Signal 

SIR Signal-to-Interference Ratio 

SINR Signal to Interference plus Noise Ratio 

SRS Sounding Reference Symbol 

TA Time alignment 

TTI Transmission Time Interval 

UE User Equipment 

UL Uplink 

UL-SCH Uplink Shared Channel 

VRB Virtual Resource Block 

4 Synchronisation 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. 

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Release 8 8 3GPP TS 36.213 V8.3.0 (2008-05) 

4.2 Timing synchronisation 

4.2.1 Radio link monitoring 

The downlink radio link quality of the serving cell shall be monitored by the UE for the purpose of indicating radio 

problem detection status to higher layers. The radio problem detection may be based on cell-specific reference signals. 

In non-DRX mode operations, the physical layer in the UE shall every radio frame check the quality, measured over the 

previous [200ms] period, against thresholds (Qout and Qin) defined implicitly by relevant tests in [6]. 

The UE shall indicate radio problem detection to higher layers when the quality is worse than the threshold Qout and 

continue until the quality is better than the threshold Qin. 

The start and stop of the radio problem detection monitoring are triggered by higher layers. 

4.2.3 Inter-cell synchronisation 

[For example, for cell sites with a multicast physical channel] 

4.2.4 Transmission timing adjustments 

Upon reception of a timing advance command, the UE shall adjust its uplink transmission timing. The timing advance 

command is expressed in multiples of 16Ts and is relative to the current uplink timing. 

For a timing advance command received on subframe n, the corresponding adjustment of the timing shall apply from 

the beginning of subframe n+6.

5 Power control 

Downlink power control determines the energy per resource element (EPRE). The term resource element energy 

denotes the energy prior to CP insertion. The term resource element energy also denotes the average energy taken over 

all constellation points for the modulation scheme applied. Uplink power control determines the average power over a 

DFT-SOFDM symbol in which the physical channel is transmitted. 

5.1 Uplink power control 

Uplink power control controls the transmit power of the different uplink physical channels. 

A cell wide overload indicator (OI) is exchanged over X2 for inter-cell power control. An indication X also exchanged 

over X2 indicates PRBs that an eNodeB scheduler allocates to cell edge UEs and that will be most sensitive to inter-cell 

interference. 

[Note: Above lines regarding OI, X and X2 to be moved to an appropriate RAN3 spec when it becomes available] 

5.1.1 Physical uplink shared channel 

5.1.1.1 UE behaviour 

The setting of the UE Transmit power PPUSCH for the physical uplink shared channel (PUSCH) transmission in 

subframe i is defined by 

( ) min{ ,10 log ( ( )) ( ) ( ) ( )} PUSCH MAX 10 PUSCH O_PUSCH TF P i  P M i  P j   PL   i  f i [dBm] 

where, 

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Release 8 9 3GPP TS 36.213 V8.3.0 (2008-05) 

 PMAX is the maximum allowed power that depends on the UE power class 

 ( ) MPUSCH i is the size of the PUSCH resource assignment expressed in number of resource blocks valid for 

subframe i. 

 PO_PUSCH ( j) is a parameter composed of the sum of a 8-bit cell specific nominal component 

( ) PO_NOMINAL_ PUSCH j signalled from higher layers for j=0 and 1 in the range of [-126,24] dBm with 1dB 

resolution and a 4-bit UE specific component ) PO_UE_PUSCH ( j configured by RRC for j=0 and 1 in the range 

of [-8, 7] dB with 1dB resolution. For PUSCH (re)transmissions corresponding to a configured scheduling 

grant then j=0 and for PUSCH (re)transmissions corresponding to a received PDCCH with DCI format 0 

associated with a new packet transmission then j=1. 

    0, 0.4, 0.5, 0.6, 0.7, 0.8, 0.9, 1 is a 3-bit cell specific parameter provided by higher layers 

 PL is the downlink pathloss estimate calculated in the UE 

 ( ) 10 log (2 1) ( ) TF  10  KS MPR i i for KS 1.25 and 0 for KS  0 where KS is a cell specific parameter 

given by RRC 

o MPR(i) TBS(i)/ N (i)  RE whereTBS(i) is the Transport Block Size for subframe i and NRE (i) is 

the number of resource elements determined as UL

symb

RB

PUSCH sc NRE (i)  2M (i) N  N for subframe i

  PUSCH is a UE specific correction value, also referred to as a TPC command and is included in PDCCH with 

DCI format 0 or jointly coded with other TPC commands in PDCCH with DCI format 3/3A. The current 

PUSCH power control adjustment state is given by f (i) which is defined by: 

o ( ) ( 1) ( ) f i  f i   PUSCH i  KPUSCH if f () represents accumulation 

 where f (0)  0

 The value of KPUSCH is 

 For FDD, KPUSCH = 4 

 For TDD UL/DL configurations 1-6, KPUSCH is given in Table 5.1-1 

 For TDD UL/DL configuration 0 

o If the PUSCH transmission in subframe 2 or 7 is scheduled with a PDCCH 

of DCI format 0 in which the second bit of the UL index is set, KPUSCH = 

7 

 For all other PUSCH transmissions, KPUSCH is given in Table 5.1-1.The UE attempts to 

decode a PDCCH of DCI format 0 and a PDCCH of DCI format 3/3A in every subframe 

except when in DRX 

  PUSCH  0 dB for a subframe where no TPC command is decoded or where DRX occurs or 

i is not an uplink subframe in TDD. 

 The PUSCH dB accumulated values signalled on PDCCH with DCI format 0 are [-1, 0, 1, 3]. 

 The PUSCH  dB accumulated values signalled on PDCCH with DCI format 3/3A are one of 

[-1, 1] or [-1, 0, 1, 3] as semi-statically configured by higher layers. 

 If UE has reached maximum power, positive TPC commands shall not be accumulated 

 If UE has reached minimum power, negative TPC commands shall not be accumulated 

 UE shall reset accumulation 

 at cell-change 

 when entering/leaving RRC active state 

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Release 8 10 3GPP TS 36.213 V8.3.0 (2008-05) 

 when an absolute TPC command is received 

 when PO_UE_PUSCH ( j) is received 

 when the UE (re)synchronizes 

o ( ) ( ) f i   PUSCH i  KPUSCH if f () represents current absolute value 

 where ( )  PUSCH i  KPUSCH was signalled on PDCCH with DCI format 0 on subframe 

KPUSCH i  

 The value of KPUSCH  4 is 

 For FDD, KPUSCH = 4 

 For TDD UL/DL configurations 1-6, KPUSCH is given in Table 5.1-1 

 For TDD UL/DL configuration 0 

o If the PUSCH transmission in subframe 2 or 7 is scheduled with a 

PDCCHof DCI format 0 in which the second bit of the UL index is set, 

KPUSCH = 7 

o For all other PUSCH transmissions, KPUSCH is given in Table 5.1-1. 

 The PUSCH  dB absolute values signalled on PDCCH with DCI format 0 are [-4,-1, 1, 4]. 

 f (i)  f (i 1) for a subframe where no PDCCH with DCI format 0 is decoded or where 

DRX occurs or i is not an uplink subframe in TDD. 

o f () type (accumulation or current absolute) is a UE specific parameter that is given by RRC. 

Table 5.1-1 KPUSCH for TDD configuration 0-6 

TDD UL/DL 

Configuration 

subframe number i 

0 1 2 3 4 5 6 7 8 9 

0 - - 6 7 4 - - 6 7 4 

1 - - 6 4 - - - 6 4 - 

2 - - 4 - - - - 4 - - 

3 - - 4 4 4 - - - - - 

4 - - 4 4 - - - - - - 

5 - - 4 - - - - - - - 

6 - - 7 7 5 - - 7 7 - 

5.1.1.2 Power headroom 

The UE power headroom PH valid for subframe i is defined by 

PH (i)  PMAX 10log10 (MPUSCH (i))  PO_PUSCH ( j)   PL  TF (TF(i))  f (i)[dB] 

where, PMAX , ( ) MPUSCH i , PO_PUSCH ( j) ,  , PL, ( ( )) TF  TF i and f (i) are defined in section 5.1.1.1. 

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Release 8 11 3GPP TS 36.213 V8.3.0 (2008-05) 

The power headroom shall be rounded to the closest value in the range [40; -23] dB with steps of 1 dB and is delivered 

by the physical layer to higher layers. 

5.1.2 Physical uplink control channel 

5.1.2.1 UE behaviour 

The setting of the UE Transmit power PPUCCH for the physical uplink control channel (PUCCH) transmission in 

subframe i is defined by 

PUCCH MAX O_PUCCH F_PUCCH P ( ) min{ , ( ) ( )} i P P PL F g i     [dBm] 

where 

 F_PUCCH  ( ) F table entries for each PUCCH transport format (TF ) defined in Table 5.4-1 in [3] are given by 

RRC 

o Each signalled F_PUCCH  ( ) F 2-bit value corresponds to a PUCCH (TF) relative to PUCCH format 0. 

 PO_PUCCH is a parameter composed of the sum of a 5-bit cell specific parameter PO_NOMINAL_ PUCCH provided 

by higher layers with 1 dB resolution in the range of [-127, -96] dBm and a UE specific component 

PO_UE_PUCCH configured by RRC in the range of [-8, 7] dB with 1 dB resolution. 

  PUCCH is a UE specific correction value, also referred to as a TPC command, included in a PDCCH with DCI 

format 1A/1/2 or sent jointly coded with other UE specific PUCCH correction values on a PDCCH with DCI 

format 3/3A. 

o The UE attempts to decode a PDCCH with DCI format 3/3A and one or several PDCCHs with DCI 

format 1A/1/2 on every subframe except when in DRX. 

o If the UE decodes a PDCCH with DCI format 1A/1/2 and the corresponding detected RNTI equals the 

C-RNTI of the UE, the UE shall use the  PUCCH provided in that PDCCH. 

else 

 if the UE decodes a PDCCH with DCI format 3/3A, the UE shall use the  PUCCH provided 

in that PDCCH 

else the UE shall set  PUCCH = 0 dB. 

o ( ) ( 1) ( ) g i  g i   PUCCH i  KPUCCH where g(i) is the current PUCCH power control adjustment 

state with initial condition g(0)  0 . 

 The  PUCCH dB values signalled on PDCCH with DCI format 1A/1/2 are [-1, 0, 1, 3]. 

 The  PUCCH dB values signalled on PDCCH with DCI format 3/3A are [-1,1] or [-1,0,1,3] 

as semi-statically configured by higher layers. 

 If UE has reached maximum power, positive TPC commands shall not be accumulated 

 If UE has reached minimum power, negative TPC commands shall not be accumulated 

 UE shall reset accumulation 

 at cell-change 

 when entering/leaving RRC active state 

 when PO_UE_PUCCH ( j) is received 

 when the UE (re)synchronizes 

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Release 8 12 3GPP TS 36.213 V8.3.0 (2008-05) 

5.1.3 Sounding Reference Symbol 

5.1.3.1 UE behaviour 

The setting of the UE Transmit power PSRS for the Sounding Reference Symbol transmitted on subframe i is defined by 

( ) min{ , 10log ( ) O_PUSCH ( ) ( )} SRS MAX SRS_OFFSET 10 SRS P i  P P  M  P j   PL  f i [dBm] 

where 

 For KS  1.25 , PSRS_OFFSET is a 4-bit UE specific parameter semi-statically configured by higher layers 

with 1dB step size in the range [-3, 12] dB. 

 For KS  0 , PSRS_OFFSET is a 4-bit UE specific parameter semi-statically configured by higher layers with 1.5 

dB step size in the range [-10.5,12] dB 

 MSRS is the bandwidth of the SRS transmission in subframe i expressed in number of resource blocks. 

 f (i) is the current power control adjustment state for the PUSCH, see Section 5.1.1.1. 

 PO_PUSCH ( j) is a parameter as defined in Section 5.1.1.1. 

5.2 Downlink power allocation 

The eNodeB determines the downlink transmit energy per resource element. 

A UE may assume downlink reference symbol EPRE is constant across the downlink system bandwidth and constant 

across all subframes until different RS power information is received. 

For each UE, the PDSCH-to-RS EPRE ratio among PDSCH REs in all the OFDM symbols not containing RS is equal 

and is denoted by  A . 

The UE may assume that for 16 QAM or 64 QAM or RI>1 spatial multiplexing  A is equal to PA which is a UE 

specific semi-static parameter signalled in dB by higher layers in the range of [3, 2, 1, 0, -1, -2, -3, -6] using 3-bits. 

For each UE, the PDSCH-to-RS EPRE ratio among PDSCH REs in all the OFDM symbols containing RS is equal and 

is denoted by  B . 

The cell-specific ratio  B  A / is given by Table 5.2-1 according to cell-specific parameter PB signalled by higher 

layers and the number of configured eNodeB cell specific antenna ports. 

Table 5.2-1: Ratio of PDSCH-to-RS EPRE in symbols with and without reference symbols for 1, 2, or 4 

cell specific antenna ports 

PB

 B  A /

One Antenna Port Two and Four Antenna Ports 

0 1 5/4 

1 4/5 1 

2 3/5 3/4 

3 2/5 1/2 

For PMCH with 16QAM or 64QAM, the UE may assume that the PMCH-to-RS EPRE ratio is equal to 0 dB. 

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Release 8 13 3GPP TS 36.213 V8.3.0 (2008-05) 

5.2.1 eNodeB Relative Narrowband TX Power restrictions 

The determination of reported Relative Narrowband TX Power indication   PRB RNTP n is defined as follows: 













 



is made ( ) 1 if no promise about the upper limit of

( ) 0 if

( )

( )

max_

( )

max_

p

nom

A PRB

p threshold

nom

A PRB

PRB

E

E n

RNTP

E

E n

RNTP n

where ( ) A PRB E n is the maximum intended EPRE of UE-specific PDSCH REs in OFDM symbols not containing RS 

in this physical resource block on antenna port p in the considered future time interval; PRB n is the physical resource 

block number  0,..., 1 DL nPRB NRB ; RNTPthreshold takes on one of the following 

values RNTPthreshold    ,11,10,9,8,7,6,5,4,3,2,1,0,1,2,3 [dB] and 

RB

SC

DL

RB

p

p

nom N N

f

P

E 







( ) 1 max

( )

max_

where ( )

max

p P is the base station maximum output power described in [7], and f , DL NRB and RB NSC are defined in [3]. 

6 Random access procedure 

Prior to initiation of the non-synchronized physical random access procedure, Layer 1 shall receive the following 

information from the higher layers: 

1. Random access channel parameters (PRACH configuration, frequency position and preamble format) 

2. Parameters for determining the root sequences and their cyclic shifts in the preamble sequence set for the cell 

(index to root sequence table, cyclic shift ( NCS ), and set type (unrestricted or restricted set)) 

6.1 Physical non-synchronized random access procedure 

From the physical layer perspective, the L1 random access procedure encompasses the transmission of random access 

preamble and random access response. The remaining messages are scheduled for transmission by the higher layer on 

the shared data channel and are not considered part of the L1 random access procedure. A random access channel 

occupies 6 resource blocks in a subframe or set of consecutive subframes reserved for random access preamble 

transmissions. The eNodeB is not prohibited from scheduling data in the resource blocks reserved for random access 

channel preamble transmission. 

The following steps are required for the L1 random access procedure: 

1. Layer 1 procedure is triggered upon request of a preamble transmission by higher layers. 

2. A preamble index, preamble transmission power (PREAMBLE_TRANSMISSION_POWER), associated RARNTI, random access window ([RA_WINDOW_BEGIN—RA_WINDOW_END]) and PRACH resource are 

indicated by higher layers as part of the request. 

3. A preamble sequence is then selected from the preamble sequence set using the preamble index. 

4. A single preamble transmission then occurs using the selected preamble sequence with transmission power 

PREAMBLE_TRANSMISSION_POWER on the indicated PRACH resource. 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 14 of 46
3GPP 

Release 8 14 3GPP TS 36.213 V8.3.0 (2008-05) 

5. If an associated PDCCH with RA-RNTI is detected within the random access response window then the 

corresponding DL-SCH transport block is passed to higher layers. 

6. If the random access response window has past then the physical random access procedure is exited. 

6.1.1 Timing 

6.1.1.1 Synchronized 

6.1.1.2 Unsynchronized 

7 Physical downlink shared channel related procedures 

7.1 UE procedure for receiving the physical downlink shared 

channel

A UE shall receive PDSCH broadcast control transmissions, [namely Paging, RACH Response, and BCCH] associated 

with DCI formats 1A or 1C signalled by a PDCCH in the common search spaces. Additionally, the UE is semistatically configured via higher layer signalling to receive PDSCH data transmissions signalled via PDCCH UE specific 

search spaces, based on one of the following transmission modes: 

1. Single-antenna port; port 0 

2. Transmit diversity 

3. Open-loop spatial multiplexing 

4. Closed-loop spatial multiplexing 

5. Multi-user MIMO 

6. Closed-loop Rank=1 precoding 

7. Single-antenna port; port 5 

A UE not configured to receive PDSCH data transmissions based on one of the transmission modes may receive 

PDSCH data transmissions with DCI format 1A signalled by a PDCCH in its UE specific search spaces or the common 

search spaces. 

A UE semi-statically configured with a transmission mode shall receive PDSCH data transmissions associated with a 

reference DCI format signalled by a PDCCH in its UE specific search spaces based on Table 7.1-1. In the case of 

transmission modes 1, 2, and 7 a UE shall receive PDSCH data transmissions associated with reference DCI 

formats 1 or 1A in its UE specific search spaces or DCI format 1A in the common search spaces. A UE with reference 

DCI format 1B or 2 may also receive PDSCH data transmissions associated with DCI format 1A signalled by a PDCCH 

in its UE specific search spaces or the common search spaces. A UE shall be configured to use the PUCCH or PUSCH 

feedback mode corresponding to its reference DCI format. 

Table 7.1-1: Reference DCI Format(s) supported by each Transmission Mode 

Transmission Mode Reference DCI Format 

 

1 1, 1A 

2 1, 1A 

3 2 

4 2 

5 TBD 

6 1B 

7 1, 1A 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 15 of 46
3GPP 

Release 8 15 3GPP TS 36.213 V8.3.0 (2008-05) 

7.1.1 Single-antenna port 

For the single-antenna port mode, the UE may assume that an eNB transmission on the PDSCH would be performed 

according to Section 6.3.4.1 of [3] 

7.1.2 Transmit diversity 

For the transmit diversity mode, the UE may assume that an eNB transmission on the PDSCH would be performed 

according to Section 6.3.4.3 of [3] 

7.1.3 Open-loop spatial multiplexing 

For the open-loop spatial multiplexing transmission mode, the UE may assume, based on the rank indication (RI) 

obtained from an associated DCI as determined from the number of assigned transmission layers, that an eNB 

transmission on the physical PDSCH would be performed according to the following: 

 RI = 1 : transmit diversity as defined in Section 6.3.4.3 of [3] 

 RI > 1 : large delay CDD as defined in Section 6.3.4.2.2 of [3] 

For RI>1, the operation of large delay CDD is further defined as follows: 

 For 2 antenna ports, the precoder for data resource element index i, denoted by W(i) is selected according to 

1 W (i)  C where C1 denotes the precoding matrix corresponding to precoder index 0 in Table 6.3.4.2.3-1 of 

[3]. 

 For 4 antenna ports, the UE may assume that the eNB cyclically assigns different precoders to different data 

resource elements on the physical downlink shared channel as follows. A different precoder is used every 

 data resource elements, where  denotes the number of transmission layers in the case of spatial 

multiplexing. In particular, the precoder for data resource element index i, denoted by W(i) in Section 6.3.4.2.2 

of [3] is selected according to Ck W (i)  , where k is the precoder index given by 

1,4 1 mod 1,4 1 1 mod 





 





 



 



   





 





 



 



    

i i k , where k=1,2,...4, and 1 2 3 4 C ,C ,C ,C denote 

precoder matrices corresponding to precoder indices 12,13,14 and 15, respectively, in Table 6.3.4.2.3-2 of 

[3]. . 

7.1.4 Closed-loop spatial multiplexing 

For the closed-loop spatial multiplexing transmission mode, the UE may assume that an eNB transmission on the 

PDSCH would be performed according to the applicable number of transmission layers as defined in Section 6.3.4.2.1 

of [3]. 

7.1.5 Void 

7.1.6 Resource allocation 

The UE shall interpret the resource allocation field depending on the PDCCH DCI format detected. A resource 

allocation field in each PDCCH includes two parts, a type field and information consisting of the actual resource 

allocation. PDCCH with type 0 and type 1 resource allocation have the same format and are distinguished from each 

other via the single bit type field. For system bandwidth less than or equal to 10 PRBs the resource allocation field in 

each PDCCH contains only information of the actual resource allocation. PDCCH with DCI format 0 or 1A have a type 

2 resource allocations while PDCCH with DCI format 1 or 2 have type 0 or type 1 resource allocations. PDCCH with a 

type 2 resource allocation do not have a type field. 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 16 of 46
3GPP 

Release 8 16 3GPP TS 36.213 V8.3.0 (2008-05) 

7.1.6.1 Resource allocation type 0 

In resource allocations of type 0, a bitmap indicates the resource block groups (RBGs) that are allocated to the 

scheduled UE where a RBG is a set of consecutive physical resource blocks (PRBs). Resource block group size (P) is a 

function of the system bandwidth as shown in Table 7.1.6.1-1. The total number of RBGs ( NRBG ) for downlink 

system bandwidth of DL NRB PRBs is given by NRBG   N / P DL  RB where   N / P DL

RB of the RBGs are of size P and if 

   / / 0 DL

RB DL NRB P  N P  then one of the RBGs is of size N P N / P DL

RB

DL

RB   . The bitmap is of size NRBG bits 

with one bitmap bit per RBG such that each RBG is addressable. 

Table 7.1.6.1-1: Type 0 Resource Allocation RBG Size vs. Downlink System Bandwidth 

System Bandwidth RBG Size 

DL NRB (P) 

≤10 1 

11 – 26 2 

27 – 63 3 

64 – 110 4 

7.1.6.2 Resource allocation type 1 

In resource allocations of type 1, a bitmap of size   N / P DL

RB indicates to a scheduled UE the PRBs from the set of 

PRBs from one of P resource block group subsets. Also P is the resource block group size associated with the system 

bandwidth as shown in Table 7.1.6.1-1. The portion of the bitmap used to address PRBs in a selected RBG subset has 

size TYPE1 NRB and is defined as 

  /   log2 ( ) 1 DL

RB

TYPE1 NRB  N P  P 

where   N / P DL

RB is the overall bitmap size and   log ( ) 2 P is the minimum number of bits needed to select one of the 

P RBG subsets and one additional bit is used to indicate whether the addressable PRBs of a selected RBG subset is left 

justified or is right justified (right shifted) where the shift is needed for full resource block granular addressability of all 

PRBs in a carrier since the number of PRBs in a RBG subset is larger than the PRB addressing portion of the bitmap as 

indicated by N   N / P DL

RB TYPE1RB  . Each bit in the PRB addressing portion of the bitmap addresses a single 

addressable PRB in the selected RBG subset starting at the left most addressable PRB. 

7.1.6.3 Resource allocation type 2 

In resource allocations of type 2, the resource allocation information indicates to a scheduled UE a set of contiguously 

allocated localized virtual resource blocks or distributed virtual resource blocks depending on the setting of a 1-bit flag 

carried on the associated PDCCH. Localized VRB allocations for a UE vary from a single VRB up to a maximum 

number of VRBs spanning the system bandwidth. Distributed VRB allocations for a UE vary from a single VRB up to DL N VRB VRBs if DL NRB is 6-49 and vary from a single VRB up to 16 if DL NRB is 50-110, where DL N VRB is defined in [3]. 

A type 2 resource allocation field consists of a resource indication value (RIV) corresponding to a starting resource 

block ( RBstart ) and a length in terms of contiguously allocated resource blocks ( LCRBs ). The resource indication value 

is defined by 

if ( 1)   / 2 DL LCRBs   NRB then 

CRBs start DL RIV  NRB (L 1)  RB

else 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 17 of 46
3GPP 

Release 8 17 3GPP TS 36.213 V8.3.0 (2008-05) 

( 1) ( 1 ) start

DL

CRBs RB

DL

RB

DL RIV  NRB N  L   N   RB

7.1.7 Modulation order and transport block size determination 

To determine the modulation order and transport block size(s) in the physical downlink shared channel, the UE shall 

first 

− read the 5-bit “modulation and coding scheme” field ( MCS I ) in the DCI, and 

− compute the total number of allocated PRBs ( NPRB ) based on the procedure defined in Section 7.1.6. 

The UE may skip decoding a transport block in an initial transmission if the effective channel code rate is higher than 

0.92, where the effective channel code rate is defined as the number of downlink information bits (including CRC bits) 

divided by the number of physical channel bits on PDSCH. 

7.1.7.1 Modulation order determination 

The UE shall use MCS I and Table 7.1.7.1-1 to determine the modulation order (Qm ) used in the physical downlink 

shared channel. 

Table 7.1.7.1-1: Modulation and TBS index table for PDSCH 

MCS Index 

MCS I

Modulation Order 

Qm

TBS Index 

TBS I

0 2 0 

1 2 1 

2 2 2 

3 2 3 

4 2 4 

5 2 5 

6 2 6 

7 2 7 

8 2 8 

9 2 9 

10 4 9 

11 4 10 

12 4 11 

13 4 12 

14 4 13 

15 4 14 

16 4 15 

17 6 15 

18 6 16 

19 6 17 

20 6 18 

21 6 19 

22 6 20 

23 6 21 

24 6 22 

25 6 23 

26 6 24 

27 6 25 

28 6 26 

29 2 

30 4 reserved 

31 6 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 18 of 46
3GPP 

Release 8 18 3GPP TS 36.213 V8.3.0 (2008-05) 

7.1.7.2 Transport block size determination 

For 0  I MCS  28 , the UE shall first determine the TBS index ( TBS I ) using MCS I and Table 7.1.7.1-1. For a transport 

block that is not mapped to two-layer spatial multiplexing, the TBS is determined by the procedure in Section 7.1.7.2.1. 

For a transport block that is mapped to two-layer spatial multiplexing, the TBS is determined by the procedure in 

Section 7.1.7.2.2. 

For 29  I MCS  31, the TBS is assumed to be as determined from DCI transported in the latest PDCCH for the same 

transport block using 0  I MCS  28 . 

7.1.7.2.1 Transport blocks not mapped to two-layer spatial multiplexing 

For1  NPRB  110 , the TBS is given by the ( TBS I , NPRB ) entry of Table 7.1.7.2.1-1. 

Table 7.1.7.2.1-1: Transport block size table (dimension 27×110) 

TBS I NPRB

1 2 3 4 5 6 7 8 9 10 

0 16 32 56 88 120 152 176 200 232 248 

1 24 48 88 120 160 200 232 272 304 344 

2 32 72 120 160 200 248 296 336 376 424 

3 40 104 152 208 272 320 392 440 504 568 

4 48 120 200 264 320 408 488 552 632 696 

5 72 152 232 320 424 504 600 680 776 872 

6 320 176 288 392 504 600 712 808 936 1032 

7 104 232 320 472 584 712 840 968 1096 1224 

8 120 248 392 536 680 808 968 1096 1256 1384 

9 136 296 456 616 776 936 1096 1256 1416 1544 

10 152 320 504 680 872 1032 1224 1384 1544 1736 

11 176 376 584 776 1000 1192 1384 1608 1800 2024 

12 208 440 680 904 1128 1352 1608 1800 2024 2280 

13 232 488 744 1000 1256 1544 1800 2024 2280 2536 

14 264 552 840 1128 1416 1736 1992 2280 2600 2856 

15 280 600 904 1224 1544 1800 2152 2472 2728 3112 

16 320 632 968 1288 1608 1928 2280 2600 2984 3240 

17 336 696 1064 1416 1800 2152 2536 2856 3240 3624 

18 376 776 1160 1544 1992 2344 2792 3112 3624 4008 

19 408 840 1288 1736 2152 2600 2984 3496 3880 4264 

20 440 904 1384 1864 2344 2792 3240 3752 4136 4584 

21 488 1000 1480 1992 2472 2984 3496 4008 4584 4968 

22 520 1064 1608 2152 2664 3240 3752 4264 4776 5352 

23 552 1128 1736 2280 2856 3496 4008 4584 5160 5736 

24 584 1192 1800 2408 2984 3624 4264 4968 5544 5992 

25 616 1256 1864 2536 3112 3752 4392 5160 5736 6200 

26 648 1320 1992 2664 3368 4008 4584 5352 5992 6712 

TBS I NPRB

11 12 13 14 15 16 17 18 19 20 

0 288 304 344 376 392 424 456 488 504 536 

1 376 424 456 488 520 568 600 632 680 712 

2 472 520 568 616 648 696 744 776 840 872 

3 616 680 744 808 872 904 968 1032 1096 1160 

4 776 840 904 1000 1064 1128 1192 1288 1352 1416 

5 968 1032 1128 1224 1320 1384 1480 1544 1672 1736 

6 1128 1224 1352 1480 1544 1672 1736 1864 1992 2088 

7 1320 1480 1608 1672 1800 1928 2088 2216 2344 2472 

8 1544 1672 1800 1928 2088 2216 2344 2536 2664 2792 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 19 of 46
3GPP 

Release 8 19 3GPP TS 36.213 V8.3.0 (2008-05) 

9 1736 1864 2024 2216 2344 2536 2664 2856 2984 3112 

10 1928 2088 2280 2472 2664 2792 2984 3112 3368 3496 

11 2216 2408 2600 2792 2984 3240 3496 3624 3880 4008 

12 2472 2728 2984 3240 3368 3624 3880 4136 4392 4584 

13 2856 3112 3368 3624 3880 4136 4392 4584 4968 5160 

14 3112 3496 3752 4008 4264 4584 4968 5160 5544 5736 

15 3368 3624 4008 4264 4584 4968 5160 5544 5736 6200 

16 3624 3880 4264 4584 4968 5160 5544 5992 6200 6456 

17 4008 4392 4776 5160 5352 5736 6200 6456 6712 7224 

18 4392 4776 5160 5544 5992 6200 6712 7224 7480 7992 

19 4776 5160 5544 5992 6456 6968 7224 7736 8248 8504 

20 5160 5544 5992 6456 6968 7480 7992 8248 8760 9144 

21 5544 5992 6456 6968 7480 7992 8504 9144 9528 9912 

22 5992 6456 6968 7480 7992 8504 9144 9528 10296 10680 

23 6200 6968 7480 7992 8504 9144 9912 10296 11064 11448 

24 6712 7224 7992 8504 9144 9912 10296 11064 11448 12216 

25 6968 7480 8248 8760 9528 10296 10680 11448 12216 12576 

26 7224 7992 8504 9144 9912 10680 11448 11832 12576 12960 

TBS I NPRB

21 22 23 24 25 26 27 28 29 30 

0 568 600 616 648 680 712 744 776 776 808 

1 744 776 808 872 904 936 968 1000 1032 1064 

2 936 968 1000 1064 1096 1160 1192 1256 1288 1320 

3 1224 1256 1320 1384 1416 1480 1544 1608 1672 1736 

4 1480 1544 1608 1736 1800 1864 1928 1992 2088 2152 

5 1864 1928 2024 2088 2216 2280 2344 2472 2536 2664 

6 2216 2280 2408 2472 2600 2728 2792 2984 2984 3112 

7 2536 2664 2792 2984 3112 3240 3368 3368 3496 3624 

8 2984 3112 3240 3368 3496 3624 3752 3880 4008 4264 

9 3368 3496 3624 3752 4008 4136 4264 4392 4584 4776 

10 3752 3880 4008 4264 4392 4584 4776 4968 5160 5352 

11 4264 4392 4584 4776 4968 5352 5544 5736 5992 5992 

12 4776 4968 5352 5544 5736 5992 6200 6456 6712 6712 

13 5352 5736 5992 6200 6456 6712 6968 7224 7480 7736 

14 5992 6200 6456 6968 7224 7480 7736 7992 8248 8504 

15 6456 6712 6968 7224 7736 7992 8248 8504 8760 9144 

16 6712 7224 7480 7736 7992 8504 8760 9144 9528 9912 

17 7480 7992 8248 8760 9144 9528 9912 10296 10296 10680 

18 8248 8760 9144 9528 9912 10296 10680 11064 11448 11832 

19 9144 9528 9912 10296 10680 11064 11448 12216 12576 12960 

20 9912 10296 10680 11064 11448 12216 12576 12960 13536 14112 

21 10680 11064 11448 12216 12576 12960 13536 14112 14688 15264 

22 11448 11832 12576 12960 13536 14112 14688 15264 15840 16416 

23 12216 12576 12960 13536 14112 14688 15264 15840 16416 16992 

24 12960 13536 14112 14688 15264 15840 16416 16992 17568 18336 

25 13536 14112 14688 15264 15840 16416 16992 17568 18336 19080 

26 14112 14688 15264 15840 16416 16992 17568 18336 19080 19848 

TBS I NPRB

31 32 33 34 35 36 37 38 39 40 

0 840 872 904 936 968 1000 1032 1032 1064 1096 

1 1128 1160 1192 1224 1256 1288 1352 1384 1416 1416 

2 1384 1416 1480 1544 1544 1608 1672 1672 1736 1800 

3 1800 1864 1928 1992 2024 2088 2152 2216 2280 2344 

4 2216 2280 2344 2408 2472 2600 2664 2728 2792 2856 

5 2728 2792 2856 2984 3112 3112 3240 3368 3496 3496 

6 3240 3368 3496 3496 3624 3752 3880 4008 4136 4136 

7 3752 3880 4008 4136 4264 4392 4584 4584 4776 4968 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 20 of 46
3GPP 

Release 8 20 3GPP TS 36.213 V8.3.0 (2008-05) 

8 4392 4584 4584 4776 4968 4968 5160 5352 5544 5544 

9 4968 5160 5160 5352 5544 5736 5736 5992 6200 6200 

10 5544 5736 5736 5992 6200 6200 6456 6712 6712 6968 

11 6200 6456 6712 6968 6968 7224 7480 7736 7736 7992 

12 6968 7224 7480 7736 7992 8248 8504 8760 8760 9144 

13 7992 8248 8504 8760 9144 9144 9528 9912 9912 10296 

14 8760 9144 9528 9912 9912 10296 10680 11064 11064 11448 

15 9528 9912 10296 10296 10680 11064 11448 11832 11832 12216 

16 9912 10296 10680 11064 11448 11832 12216 12216 12576 12960 

17 11064 11448 11832 12216 12576 12960 13536 13536 14112 14688 

18 12216 12576 12960 13536 14112 14112 14688 15264 15264 15840 

19 13536 13536 14112 14688 15264 15264 15840 16416 16992 16992 

20 14688 14688 15264 15840 16416 16992 16992 17568 18336 18336 

21 15840 15840 16416 16992 17568 18336 18336 19080 19848 19848 

22 16992 16992 17568 18336 19080 19080 19848 20616 21384 21384 

23 17568 18336 19080 19848 19848 20616 21384 22152 22152 22920 

24 19080 19848 19848 20616 21384 22152 22920 22920 23688 24496 

25 19848 20616 20616 21384 22152 22920 23688 24496 24496 25456 

26 20616 21384 22152 22920 22920 23688 24496 25456 25456 26416 

TBS I NPRB

41 42 43 44 45 46 47 48 49 50 

0 1128 1160 1192 1224 1256 1256 1288 1320 1352 1384 

1 1480 1544 1544 1608 1608 1672 1736 1736 1800 1800 

2 1800 1864 1928 1992 2024 2088 2088 2152 2216 2216 

3 2408 2472 2536 2536 2600 2664 2728 2792 2856 2856 

4 2984 2984 3112 3112 3240 3240 3368 3496 3496 3624 

5 3624 3752 3752 3880 4008 4008 4136 4264 4392 4392 

6 4264 4392 4584 4584 4776 4776 4968 4968 5160 5160 

7 4968 5160 5352 5352 5544 5736 5736 5992 5992 6200 

8 5736 5992 5992 6200 6200 6456 6456 6712 6968 6968 

9 6456 6712 6712 6968 6968 7224 7480 7480 7736 7992 

10 7224 7480 7480 7736 7992 7992 8248 8504 8504 8760 

11 8248 8504 8760 8760 9144 9144 9528 9528 9912 9912 

12 9528 9528 9912 9912 10296 10680 10680 11064 11064 11448 

13 10680 10680 11064 11448 11448 11832 12216 12216 12576 12960 

14 11832 12216 12216 12576 12960 12960 13536 13536 14112 14112 

15 12576 12960 12960 13536 13536 14112 14688 14688 15264 15264 

16 13536 13536 14112 14112 14688 14688 15264 15840 15840 16416 

17 14688 15264 15264 15840 16416 16416 16992 17568 17568 18336 

18 16416 16416 16992 17568 17568 18336 18336 19080 19080 19848 

19 17568 18336 18336 19080 19080 19848 20616 20616 21384 21384 

20 19080 19848 19848 20616 20616 21384 22152 22152 22920 22920 

21 20616 21384 21384 22152 22920 22920 23688 24496 24496 25456 

22 22152 22920 22920 23688 24496 24496 25456 25456 26416 27376 

23 23688 24496 24496 25456 25456 26416 27376 27376 28336 28336 

24 25456 25456 26416 26416 27376 28336 28336 29296 29296 30576 

25 26416 26416 27376 28336 28336 29296 29296 30576 31704 31704 

26 27376 27376 28336 29296 29296 30576 31704 31704 32856 32856 

TBS I NPRB

51 52 53 54 55 56 57 58 59 60 

0 1416 1416 1480 1480 1544 1544 1608 1608 1608 1672 

1 1864 1864 1928 1992 1992 2024 2088 2088 2152 2152 

2 2280 2344 2344 2408 2472 2536 2536 2600 2664 2664 

3 2984 2984 3112 3112 3240 3240 3368 3368 3496 3496 

4 3624 3752 3752 3880 4008 4008 4136 4136 4264 4264 

5 4584 4584 4776 4776 4776 4968 4968 5160 5160 5352 

6 5352 5352 5544 5736 5736 5992 5992 5992 6200 6200 

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3GPP 

Release 8 21 3GPP TS 36.213 V8.3.0 (2008-05) 

7 6200 6456 6456 6712 6712 6712 6968 6968 7224 7224 

8 7224 7224 7480 7480 7736 7736 7992 7992 8248 8504 

9 7992 8248 8248 8504 8760 8760 9144 9144 9144 9528 

10 9144 9144 9144 9528 9528 9912 9912 10296 10296 10680 

11 10296 10680 10680 11064 11064 11448 11448 11832 11832 12216 

12 11832 11832 12216 12216 12576 12576 12960 12960 13536 13536 

13 12960 13536 13536 14112 14112 14688 14688 14688 15264 15264 

14 14688 14688 15264 15264 15840 15840 16416 16416 16992 16992 

15 15840 15840 16416 16416 16992 16992 17568 17568 18336 18336 

16 16416 16992 16992 17568 17568 18336 18336 19080 19080 19848 

17 18336 19080 19080 19848 19848 20616 20616 20616 21384 21384 

18 19848 20616 21384 21384 22152 22152 22920 22920 23688 23688 

19 22152 22152 22920 22920 23688 24496 24496 25456 25456 25456 

20 23688 24496 24496 25456 25456 26416 26416 27376 27376 28336 

21 25456 26416 26416 27376 27376 28336 28336 29296 29296 30576 

22 27376 28336 28336 29296 29296 30576 30576 31704 31704 32856 

23 29296 29296 30576 30576 31704 31704 32856 32856 34008 34008 

24 31704 31704 32856 32856 34008 34008 35160 35160 36696 36696 

25 32856 32856 34008 34008 35160 35160 36696 36696 37888 37888 

26 34008 34008 35160 35160 36696 36696 37888 37888 39232 39232 

TBS I NPRB

61 62 63 64 65 66 67 68 69 70 

0 1672 1736 1736 1800 1800 1800 1864 1864 1928 1928 

1 2216 2280 2280 2344 2344 2408 2472 2472 2536 2536 

2 2728 2792 2856 2856 2856 2984 2984 3112 3112 3112 

3 3624 3624 3624 3752 3752 3880 3880 4008 4008 4136 

4 4392 4392 4584 4584 4584 4776 4776 4968 4968 4968 

5 5352 5544 5544 5736 5736 5736 5992 5992 5992 6200 

6 6456 6456 6456 6712 6712 6968 6968 6968 7224 7224 

7 7480 7480 7736 7736 7992 7992 8248 8248 8504 8504 

8 8504 8760 8760 9144 9144 9144 9528 9528 9528 9912 

9 9528 9912 9912 10296 10296 10296 10680 10680 11064 11064 

10 10680 11064 11064 11448 11448 11448 11832 11832 12216 12216 

11 12216 12576 12576 12960 12960 13536 13536 13536 14112 14112 

12 14112 14112 14112 14688 14688 15264 15264 15264 15840 15840 

13 15840 15840 16416 16416 16992 16992 16992 17568 17568 18336 

14 17568 17568 18336 18336 18336 19080 19080 19848 19848 19848 

15 18336 19080 19080 19848 19848 20616 20616 20616 21384 21384 

16 19848 19848 20616 20616 21384 21384 22152 22152 22152 22920 

17 22152 22152 22920 22920 23688 23688 24496 24496 24496 25456 

18 24496 24496 24496 25456 25456 26416 26416 27376 27376 27376 

19 26416 26416 27376 27376 28336 28336 29296 29296 29296 30576 

20 28336 29296 29296 29296 30576 30576 31704 31704 31704 32856 

21 30576 31704 31704 31704 32856 32856 34008 34008 35160 35160 

22 32856 34008 34008 34008 35160 35160 36696 36696 36696 37888 

23 35160 35160 36696 36696 37888 37888 37888 39232 39232 40576 

24 36696 37888 37888 39232 39232 40576 40576 42368 42368 42368 

25 39232 39232 40576 40576 40576 42368 42368 43816 43816 43816 

26 40576 40576 42368 42368 43816 43816 43816 45352 45352 46888 

TBS I NPRB

71 72 73 74 75 76 77 78 79 80 

0 1992 1992 2024 2088 2088 2088 2152 2152 2216 2216 

1 2600 2600 2664 2728 2728 2792 2792 2856 2856 2856 

2 3240 3240 3240 3368 3368 3368 3496 3496 3496 3624 

3 4136 4264 4264 4392 4392 4392 4584 4584 4584 4776 

4 5160 5160 5160 5352 5352 5544 5544 5544 5736 5736 

5 6200 6200 6456 6456 6712 6712 6712 6968 6968 6968 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 22 of 46
3GPP 

Release 8 22 3GPP TS 36.213 V8.3.0 (2008-05) 

6 7480 7480 7736 7736 7736 7992 7992 8248 8248 8248 

7 8760 8760 8760 9144 9144 9144 9528 9528 9528 9912 

8 9912 9912 10296 10296 10680 10680 10680 11064 11064 11064 

9 11064 11448 11448 11832 11832 11832 12216 12216 12576 12576 

10 12576 12576 12960 12960 12960 13536 13536 13536 14112 14112 

11 14112 14688 14688 14688 15264 15264 15840 15840 15840 16416 

12 16416 16416 16416 16992 16992 17568 17568 17568 18336 18336 

13 18336 18336 19080 19080 19080 19848 19848 19848 20616 20616 

14 20616 20616 20616 21384 21384 22152 22152 22152 22920 22920 

15 22152 22152 22152 22920 22920 23688 23688 23688 24496 24496 

16 22920 23688 23688 24496 24496 24496 25456 25456 25456 26416 

17 25456 26416 26416 26416 27376 27376 27376 28336 28336 29296 

18 28336 28336 29296 29296 29296 30576 30576 30576 31704 31704 

19 30576 30576 31704 31704 32856 32856 32856 34008 34008 34008 

20 32856 34008 34008 34008 35160 35160 35160 36696 36696 36696 

21 35160 36696 36696 36696 37888 37888 39232 39232 39232 40576 

22 37888 39232 39232 40576 40576 40576 42368 42368 42368 43816 

23 40576 40576 42368 42368 43816 43816 43816 45352 45352 45352 

24 43816 43816 45352 45352 45352 46888 46888 46888 48936 48936 

25 45352 45352 46888 46888 46888 48936 48936 48936 51024 51024 

26 46888 46888 48936 48936 48936 51024 51024 51024 52752 52752 

TBS I NPRB

81 82 83 84 85 86 87 88 89 90 

0 2280 2280 2280 2344 2344 2408 2408 2472 2472 2536 

1 2984 2984 2984 3112 3112 3112 3240 3240 3240 3240 

2 3624 3624 3752 3752 3880 3880 3880 4008 4008 4008 

3 4776 4776 4776 4968 4968 4968 5160 5160 5160 5352 

4 5736 5992 5992 5992 5992 6200 6200 6200 6456 6456 

5 7224 7224 7224 7480 7480 7480 7736 7736 7736 7992 

6 8504 8504 8760 8760 8760 9144 9144 9144 9144 9528 

7 9912 9912 10296 10296 10296 10680 10680 10680 11064 11064 

8 11448 11448 11448 11832 11832 12216 12216 12216 12576 12576 

9 12960 12960 12960 13536 13536 13536 13536 14112 14112 14112 

10 14112 14688 14688 14688 14688 15264 15264 15264 15840 15840 

11 16416 16416 16992 16992 16992 17568 17568 17568 18336 18336 

12 18336 19080 19080 19080 19080 19848 19848 19848 20616 20616 

13 20616 21384 21384 21384 22152 22152 22152 22920 22920 22920 

14 22920 23688 23688 24496 24496 24496 25456 25456 25456 25456 

15 24496 25456 25456 25456 26416 26416 26416 27376 27376 27376 

16 26416 26416 27376 27376 27376 28336 28336 28336 29296 29296 

17 29296 29296 30576 30576 30576 30576 31704 31704 31704 32856 

18 31704 32856 32856 32856 34008 34008 34008 35160 35160 35160 

19 35160 35160 35160 36696 36696 36696 37888 37888 37888 39232 

20 37888 37888 39232 39232 39232 40576 40576 40576 42368 42368 

21 40576 40576 42368 42368 42368 43816 43816 43816 45352 45352 

22 43816 43816 45352 45352 45352 46888 46888 46888 48936 48936 

23 46888 46888 46888 48936 48936 48936 51024 51024 51024 51024 

24 48936 51024 51024 51024 52752 52752 52752 52752 55056 55056 

25 51024 52752 52752 52752 55056 55056 55056 55056 57336 57336 

26 52752 55056 55056 55056 57336 57336 57336 59256 59256 59256 

TBS I NPRB

91 92 93 94 95 96 97 98 99 100 

0 2536 2536 2600 2600 2664 2664 2728 2728 2728 2792 

1 3368 3368 3368 3496 3496 3496 3496 3624 3624 3624 

2 4136 4136 4136 4264 4264 4264 4392 4392 4392 4584 

3 5352 5352 5352 5544 5544 5544 5736 5736 5736 5736 

4 6456 6456 6712 6712 6712 6968 6968 6968 6968 7224 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 23 of 46
3GPP 

Release 8 23 3GPP TS 36.213 V8.3.0 (2008-05) 

5 7992 7992 8248 8248 8248 8504 8504 8760 8760 8760 

6 9528 9528 9528 9912 9912 9912 10296 10296 10296 10296 

7 11064 11448 11448 11448 11448 11832 11832 11832 12216 12216 

8 12576 12960 12960 12960 13536 13536 13536 13536 14112 14112 

9 14112 14688 14688 14688 15264 15264 15264 15264 15840 15840 

10 15840 16416 16416 16416 16992 16992 16992 16992 17568 17568 

11 18336 18336 19080 19080 19080 19080 19848 19848 19848 19848 

12 20616 21384 21384 21384 21384 22152 22152 22152 22920 22920 

13 23688 23688 23688 24496 24496 24496 25456 25456 25456 25456 

14 26416 26416 26416 27376 27376 27376 28336 28336 28336 28336 

15 28336 28336 28336 29296 29296 29296 29296 30576 30576 30576 

16 29296 30576 30576 30576 30576 31704 31704 31704 31704 32856 

17 32856 32856 34008 34008 34008 35160 35160 35160 35160 36696 

18 36696 36696 36696 37888 37888 37888 37888 39232 39232 39232 

19 39232 39232 40576 40576 40576 40576 42368 42368 42368 43816 

20 42368 42368 43816 43816 43816 45352 45352 45352 46888 46888 

21 45352 46888 46888 46888 46888 48936 48936 48936 48936 51024 

22 48936 48936 51024 51024 51024 51024 52752 52752 52752 55056 

23 52752 52752 52752 55056 55056 55056 55056 57336 57336 57336 

24 55056 57336 57336 57336 57336 59256 59256 59256 61664 61664 

25 57336 59256 59256 59256 61664 61664 61664 61664 63776 63776 

26 59256 61664 61664 61664 63776 63776 63776 63776 66592 75376 

TBS I NPRB

101 102 103 104 105 106 107 108 109 110 

0 2792 2856 2856 2856 2984 2984 2984 2984 2984 3112 

1 3752 3752 3752 3752 3880 3880 3880 4008 4008 4008 

2 4584 4584 4584 4584 4776 4776 4776 4776 4968 4968 

3 5992 5992 5992 5992 6200 6200 6200 6200 6456 6456 

4 7224 7224 7480 7480 7480 7480 7736 7736 7736 7992 

5 8760 9144 9144 9144 9144 9528 9528 9528 9528 9528 

6 10680 10680 10680 10680 11064 11064 11064 11448 11448 11448 

7 12216 12576 12576 12576 12960 12960 12960 12960 13536 13536 

8 14112 14112 14688 14688 14688 14688 15264 15264 15264 15264 

9 15840 16416 16416 16416 16416 16992 16992 16992 16992 17568 

10 17568 18336 18336 18336 18336 18336 19080 19080 19080 19080 

11 20616 20616 20616 21384 21384 21384 21384 22152 22152 22152 

12 22920 23688 23688 23688 23688 24496 24496 24496 24496 25456 

13 26416 26416 26416 26416 27376 27376 27376 27376 28336 28336 

14 29296 29296 29296 29296 30576 30576 30576 30576 31704 31704 

15 30576 31704 31704 31704 31704 32856 32856 32856 34008 34008 

16 32856 32856 34008 34008 34008 34008 35160 35160 35160 35160 

17 36696 36696 36696 37888 37888 37888 39232 39232 39232 39232 

18 40576 40576 40576 40576 42368 42368 42368 42368 43816 43816 

19 43816 43816 43816 45352 45352 45352 46888 46888 46888 46888 

20 46888 46888 48936 48936 48936 48936 48936 51024 51024 51024 

21 51024 51024 51024 52752 52752 52752 52752 55056 55056 55056 

22 55056 55056 55056 57336 57336 57336 57336 59256 59256 59256 

23 57336 59256 59256 59256 59256 61664 61664 61664 61664 63776 

24 61664 61664 63776 63776 63776 63776 66592 66592 66592 66592 

25 63776 63776 66592 66592 66592 66592 68808 68808 68808 71112 

26 66592 66592 68808 68808 68808 71112 71112 71112 71112 73712 

7.1.7.2.2 Transport blocks mapped to two-layer spatial multiplexing 

For1  NPRB  55 , the TBS is given by the ( TBS I , 2 NPRB  ) entry of Table 7.1.7.2.1-1. 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 24 of 46
3GPP 

Release 8 24 3GPP TS 36.213 V8.3.0 (2008-05) 

For 56  NPRB  110 , a baseline TBS_L1 is taken from the ( TBS I , NPRB ) entry of Table 7.1.7.2.1-1, which is then 

translated into TBS_L2 using the mapping rule shown in Table 7.1.7.2.2-1. The TBS is given by TBS_L2. 

Table 7.1.7.2.2-1: One-layer to two-layer TBS translation table 

TBS_L1 TBS_L2 TBS_L1 TBS_L2 TBS_L1 TBS_L2 TBS_L1 TBS_L2 

1544 3112 3752 7480 10296 20616 28336 57336 

1608 3240 3880 7736 10680 21384 29296 59256 

1672 3368 4008 7992 11064 22152 30576 61664 

1736 3496 4136 8248 11448 22920 31704 63776 

1800 3624 4264 8504 11832 23688 32856 66592 

1864 3752 4392 8760 12216 24496 34008 68808 

1928 3880 4584 9144 12576 25456 35160 71112 

1992 4008 4776 9528 12960 25456 36696 73712 

2024 4008 4968 9912 13536 27376 37888 76208 

2088 4136 5160 10296 14112 28336 39232 78704 

2152 4264 5352 10680 14688 29296 40576 81176 

2216 4392 5544 11064 15264 30576 42368 84760 

2280 4584 5736 11448 15840 31704 43816 87936 

2344 4776 5992 11832 16416 32856 45352 90816 

2408 4776 6200 12576 16992 34008 46888 93800 

2472 4968 6456 12960 17568 35160 48936 97896 

2536 5160 6712 13536 18336 36696 51024 101840 

2600 5160 6968 14112 19080 37888 52752 105528 

2664 5352 7224 14688 19848 39232 55056 110136 

2728 5544 7480 14688 20616 40576 57336 115040 

2792 5544 7736 15264 21384 42368 59256 119816 

2856 5736 7992 15840 22152 43816 61664 124464 

2984 5992 8248 16416 22920 45352 63776 128496 

3112 6200 8504 16992 23688 46888 66592 133208 

3240 6456 8760 17568 24496 48936 68808 137792 

3368 6712 9144 18336 25456 51024 71112 142248 

3496 6968 9528 19080 26416 52752 73712 146856 

3624 7224 9912 19848 27376 55056 75376 151376 

7.2 UE procedure for reporting channel quality indication (CQI), 

precoding matrix indicator (PMI) and rank indication (RI) 

The time and frequency resources that can be used by the UE to report CQI, PMI, and RI are controlled by the eNB. For 

spatial multiplexing, as given in [3], the UE shall determine a RI corresponding to the number of useful transmission 

layers. For transmit diversity as given in [3], RI is equal to one. 

CQI, PMI, and RI reporting is periodic or aperiodic. A UE transmits CQI, PMI, and RI reporting on a PUCCH for 

subframes with no PUSCH allocation. A UE transmits CQI, PMI, and RI reporting on a PUSCH for those subframes 

with PUSCH allocation for a) scheduled PUSCH transmissions with or without an associated scheduling grant or b) 

PUSCH transmissions with no UL-SCH. The CQI transmissions on PUCCH and PUSCH for various scheduling modes 

are summarized in the following table: 

Table 7.2-1: Physical Channels for Aperiodic or Periodic CQI reporting 

Scheduling Mode Periodic CQI reporting channels Aperiodic CQI reporting channel 

Frequency non-selective PUCCH 

Frequency selective PUCCH PUSCH 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 25 of 46
3GPP 

Release 8 25 3GPP TS 36.213 V8.3.0 (2008-05) 

In case both periodic and aperiodic reporting would occur in the same subframe, the UE shall only transmit the 

aperiodic report in that subframe. 

When reporting RI the UE reports a single instance of the number of useful transmission layers. For each RI reporting 

interval during closed-loop spatial multiplexing, a UE shall determine a RI from the supported set of RI values for the 

corresponding eNodeB and UE antenna configuration and report the number in each RI report. For each RI reporting 

interval during open-loop spatial multiplexing, a UE shall determine RI for the corresponding eNodeB and UE antenna 

configuration in each reporting interval and report the detected number in each RI report to support selection between 

RI=1 transmit diversity and RI>1 large delay CDD open-loop spatial multiplexing. 

When reporting PMI the UE reports either a single or a multiple PMI report. The number of RBs represented by a 

single UE PMI report can be DL NRB or a smaller subset of RBs. The number of RBs represented by a single PMI report 

is semi-statically configured by higher layer signalling. A UE is restricted to report PMI and RI within a precoder 

codebook subset specified by a bitmap configured by higher layer signalling. For a specific precoder codebook and 

associated transmission mode, the bitmap can specify all possible precoder codebook subsets from which the UE can 

assume the eNB may be using when the UE is configured in the relevant transmission mode. 

The set of subbands (S) a UE shall evaluate for CQI reporting spans the entire downlink system bandwidth. A subband 

is a set of k contiguous PRBs where k is also semi-statically configured by higher layers. Note the last subband in set S

may have fewer than k contiguous PRBs depending on DL NRB . The number of subbands for system bandwidth given 

by DL NRB is defined by N   N / k DL  RB . The term “Wideband CQI” denotes a CQI value obtained over the set S. 

 For single-antenna port and transmit diversity, as well as open-loop spatial multiplexing, and closed-loop 

spatial multiplexing with RI=1 a single 4-bit wideband CQI is reported according to Table 7.2.3-1. 

 For RI > 1, closed-loop spatial multiplexing PUSCH based triggered reporting includes reporting a wideband 

CQI which comprises: 

o A 4-bit wideband CQI for codeword 1 according to Table 7.2.3-1 

o A 4-bit wideband CQI for codeword 2 according to Table 7.2.3-1 

 For RI > 1, closed-loop spatial multiplexing PUCCH based reporting includes separately reporting a 4-bit 

wideband CQI for codeword 1 according to Table 7.2.3-1 and a wideband spatial differential CQI each with a 

distinct reporting period and relative subframe offset. The wideband spatial differential CQI comprises: 

o A 3-bit wideband spatial differential CQI for codeword 2 = wideband CQI index for codeword 1 – 

wideband CQI index for codeword 2. The set of exact offset levels is {-4, -3, -2, -1, 0, +1, +2, +3} 

7.2.1 Aperiodic CQI/PMI/RI Reporting using PUSCH 

A UE shall perform aperiodic CQI, PMI and RI reporting using the PUSCH upon receiving an indication sent in the 

scheduling grant. 

The aperiodic CQI report size and message format is given by RRC. 

The minimum reporting interval for aperiodic reporting of CQI and PMI and RI is 1 subframe. The subband size for 

CQI shall be the same for transmitter-receiver configurations with and without precoding. 

A UE is semi-statically configured by higher layers to feed back CQI and PMI and corresponding RI on the same 

PUSCH using one of the following reporting modes given in Table 7.2.1-1 and described below: 

Table 7.2.1-1: CQI and PMI Feedback Types for PUSCH reporting Modes 

 PMI Feedback Type 

 No PMI Single PMI Multiple PMI 

C

QI 

Feed

 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 26 of 46
3GPP 

Release 8 26 3GPP TS 36.213 V8.3.0 (2008-05) 

Wideband Mode 1-2 

(wideband CQI) 

 

UE Selected Mode 2-0 Mode 2-2 

(subband CQI) 

 

Higher Layerconfigured Mode 3-0 Mode 3-1 

(subband CQI) 

For each of the transmission modes defined in Section 7.1, the following reporting modes are supported on PUSCH: 

1. Single-antenna port : Modes 2-0, 3-0 

2. Transmit diversity : Modes 2-0, 3-0 

3. Open-loop spatial multiplexing : Modes 2-0, 3-0 

4. Closed-loop spatial multiplexing : Modes 1-2, 2-2, 3-1 

The selection of PMI and the calculation of CQI are both dependent on the RI value that the UE selects for the 

corresponding reporting instance. 

RI report on a PUSCH reporting mode is valid only for CQI/PMI report on that PUSCH reporting mode 

 Wideband feedback 

o Mode 1-2 description: 

 For each subband a preferred precoding matrix is selected from the codebook subset 

assuming transmission only in the subband 

 A UE shall report one wideband CQI value per codeword which is calculated assuming 

the use of the corresponding selected precoding matrix in each subband and 

transmission on set S subbands. 

 The UE shall report the selected precoding matrix indicator for each set S subband. 

 Subband size is given by Table 7.2.1-2. 

 Higher Layer-configured subband feedback 

o Mode 3-0 description: 

 A UE shall report a wideband CQI value which is calculated assuming transmission on 

set S subbands 

 The UE shall also report one subband CQI value for each set S subband. The subband 

CQI value is calculated assuming transmission only in the subband The CQI represents 

channel quality for the first codeword, even when RI>1.

o Mode 3-1 description: 

 A single precoding matrix is selected from the codebook subset assuming transmission 

on set S subbands 

 A UE shall report one subband CQI value per codeword for each set S subband which 

are calculated assuming the use of the single precoding matrix in all subbands 

 A UE shall report a wideband CQI value per codeword which is calculated assuming 

the use of the single precoding matrix in all subbands and transmission on set S

subbands 

 The UE shall report the single selected precoding matrix indicator 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 27 of 46
3GPP 

Release 8 27 3GPP TS 36.213 V8.3.0 (2008-05) 

o Subband CQI for each codeword are encoded differentially with respect to their respective wideband 

CQI using 2-bits as defined by 

 Subband differential CQI = subband CQI index – wideband CQI index 

 Possible subband differential CQI values are {-2, 0, +1, +2} 

o Supported subband size (k) used and number of subbands (M1) in the set of subands S contained in a 

report include those given in Table 7.2.1-2. In Table 7.2.1-2 the k values and M1 values are semistatically configured by higher layers as a function of system bandwidth. 

o The payload size P2 in bits for closed loop spatial multiplexing feedback modes (3-0, 3-1) is given by 

 Mode 3-0 or Mode 3-1 with RI=1: 

P R RI N T C PMI CQI 2 ( ) 2 4 (2 ) ( )      

 Mode 3-1 with RI>1: 

P R RI N T C PMI CQI 2 ( ) 2 (2 4) (2 ) ( )    

 where T=2 if 4 antenna ports for common reference symbols are configured, for 2 

antenna ports T=y, while for mode 3-0 then T=0

Editor’s note: RAN1 needs to agree on y. 

 where C=1 for mode 3-1 and C=0 for mode 3-0 

 where R=2 for up to 4-layer spatial multiplexing else R=1 for up to 2-layer spatial 

multiplexing and R=0 otherwise 

Table 7.2.1-2: Subband Size and #Subband CQI in S vs. System Bandwidth 

System Bandwidth Subband Size #Subband CQI in S

DL NRB (k) (M1) 

6 - 7 (wideband CQI only) 

8 - 10 4 

11 - 26 4 

27 - 63 6 

64 - 110 8 

 UE-selected subband feedback 

o Mode 2-0 description: 

 The UE shall select a set of M preferred subbands of size k (where k and M are given in 

Table 7.2.1-3 for each system bandwidth range) within the set of subbands S. 

 The UE shall also report one CQI value reflecting transmission only over the M selected 

subbands determined in the previous step. The CQI represents channel quality across all 

layers irrespective of computed or reported RI. 

 Additionally, the UE shall also report one wideband CQI value. 

o Mode 2-2 description: 

 The UE shall perform joint selection of the set of M preferred subbands of size k within 

the set of subbands S and a preferred single precoding matrix selected from the 

codebook subset that is preferred to be used for transmission over the M selected 

subbands. 

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 28 of 46
3GPP 

Release 8 28 3GPP TS 36.213 V8.3.0 (2008-05) 

 The UE shall report one CQI value per codeword reflecting transmission only over the 

selected M preferred best subbands and using the same selected single precoding matrix 

in each of the M subbands. 

 The UE shall also report the selected single precoding matrix preferred for the M 

selected subbands. 

 A single precoding matrix is selected from the codebook subset assuming transmission 

on set S subbands 

 A UE shall report a wideband CQI value per codeword which is calculated assuming 

the use of the single precoding matrix in all subbands and transmission on set S

subbands 

 A UE shall also report the selected single precoding matrix indicator for all set S 

subbands. 

o For all UE-selected subband feedback modes the UE shall report the positions of the M selected 

subbands using a combinatorial index r defined as 

 



 

  1

0

M

k

k

M k

N s r

 where the set  1

0





M

k k s , ( 1 1 ,  k  k  k s N s s ) contains the M sorted subband indices 

and 













 

















x y

x y

y

x

y

x

0

 is the extended binomial coefficient, resulting in unique label 















 













  0, , 1

M

N r  . 

o The CQI value for the M selected subbands for each codeword is encoded differentially using 2-bits 

relative to its respective wideband CQI as defined by 

 Differential CQI = best-M average index – wideband CQI index 

 Possible differential CQI values are {+1, +2, +3, +4} 

o Supported subband size k and M values include those shown in Table 7.2.1-3. In Table 7.2.1-3 the k

and M values are a function of system bandwidth. 

o The payload size (P3) in bits for closed loop spatial multiplexing feedback modes (2-0, 2-2) is given 

by 

 Mode 2-0 or Mode 2-2 with RI=1: 

P R RI L T C PMI CQI 3 ( ) 2 4 (2 ) ( )      

 Mode 2-2 with RI>1: 

P R RI L T C PMI CQI 3 ( ) 2 (2 4) (2 ) ( )       

 where T=2 if 4 antenna ports for common reference symbols are configured, for 2 

antenna ports T=y, while for mode 2-0 then T=0

Editor’s note: RAN1 needs to agree on y. 

 where C=2 for mode 2-2 and C=0 for mode 2-0 

 where 





























  M

N

L 2 log

Case 6:20-cv-00541-ADA Document 46-2 Filed 03/05/21 Page 29 of 46
3GPP 

Release 8 29 3GPP TS 36.213 V8.3.0 (2008-05) 

 where R=2 for up to 4-layer spatial multiplexing else R=1 for up to 2-layer spatial 

multiplexing and R=0 otherwise 

Table 7.2.1-3: Subband Size (k) and M values vs. Downlink System Bandwidth 

System Bandwidth 

DL Subband Size k (RBs) M NRB

6 – 7 (wideband CQI only) (wideband CQI only) 

8 – 10 2 1 

11 – 26 2 3 

27 – 63 3 5 

64 – 110 4 6 

7.2.2 Periodic CQI/PMI/RI Reporting using PUCCH 

A UE is semi-statically configured by higher layers to periodically feed back different CQI, PMI, and RI on the PUCCH 

using the reporting modes given in Table 7.2.2-1 and described below. 

For the UE-selected subband CQI, a CQI report in a certain subframe describes the channel quality in a particular part 

or in particular parts of the bandwidth described subsequently as bandwidth part (BP) or parts. The subbands shall be 

indexed in the order of increasing frequency and non-increasing sizes starting at the lowest frequency. 

 There are a total of N subbands for a system bandwidth given by DL NRB where   N / k DL

RB subbands are of size k.

If    / / 0 DL

RB DL NRB k  N k  then one of the subbands is of size N k N / k  DL

RB DLRB   . 

 A bandwidth part is frequency-consecutive and consists of NJ subbands where J bandwidth parts span S or 

DL NRB as given in Table 7.2.2-2. If J 1 then NJ is   N / k / J DL

RB . If J>1 then NJ is either 

  N / k / J DL

RB or   / / 1 DL NRB k J  , depending on DL NRB , k and J. 

 Each bandwidth part j is scanned in sequential order according to increasing frequency as defined by the 

equation j mod(N , J )  SF , where NSF is a counter that a UE increments after each subband report 

transmission for the bandwidth part. 

 For UE selected subband feedback a single subband out of NJ subbands of a bandwidth part is selected along 

with a corresponding L-bit label where L   2 NJ  log . 

The CQI and PMI payload sizes of each PUCCH reporting mode are given in Table 7.2.2-3. 

Four CQI/PMI and RI reporting types with distinct periods and offsets are supported for each PUCCH reporting mode 

as given in Table 7.2.2-3: 

 Type 1 report supports CQI feedback for the UE selected sub-bands 

 Type 2 report supports wideband CQI and PMI feedback. 

 Type 3 report supports RI feedback 

 Type 4 report supports wideband CQI 

In the case where RI and wideband CQI/PMI reporting are configured, RI and wideband CQI/PMI are not reported in 

the same subframe (reporting instance): 

 The reporting interval of the RI reporting is an integer multiple of wideband CQI/PMI period. 

 The same or different offsets between RI and wideband CQI/PMI reporting instances can be configured. 

 Both the reporting interval and offset are configured by higher layers. In case of collision of RI and wideband 

CQI/PMI the wideband CQI/PMI is dropped. 

In the case where RI and both wideband CQI/PMI and subband CQI reporting are configured: 

 The same set of CQI reporting instances, with period P, are used for both wideband CQI/PMI and subband 

CQI reports 

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Release 8 30 3GPP TS 36.213 V8.3.0 (2008-05) 

 The wideband CQI/PMI report has period H*P, and is reported on the set of reporting instances 

indexed by {0, H, 2H,...}. 

 The integer H is defined as H=J*K+1, where J is the number of bandwidth parts. 

 Between every two consecutive wideband CQI/PMI reports, the remaining J*K reporting instances 

are used in sequence for subband CQI reports on K full cycles of bandwidth parts. 

 The reporting interval of RI is M times the wideband CQI/PMI period, and RI is reported on the same PUCCH 

cyclic shift resource as both the wideband CQI/PMI and subband CQI reports. 

 The offset (in subframes) between the RI and wideband CQI/PMI is denoted as O. 

 In case of collision between RI and wideband CQI/PMI or subband CQI, the wideband CQI/PMI or 

subband CQI is dropped. 

 The parameters P, K, M, O are configured by higher layer such as RRC message in a semi-static manner. The 

parameter K should be selected from the set {1,2,3,4}, and the parameter O is selected from the set {0, -1, ...,-

(P-1), -P}. 

The following PUCCH formats are used: 

 Format 2 as defined in section 5.4.2 in [3] when CQI/PMI or RI report is not multiplexed with ACK/NAK 

 Format 2a/2b as defined in section 5.4.2 in [3] when CQI/PMI or RI report is multiplexed with ACK/NAK for 

normal CP 

 Format 2 as defined in section 5.4.2 in [3] when CQI/PMI or RI report is multiplexed with ACK/NAK for 

extended CP 

Table 7.2.2-1: CQI and PMI Feedback Types for PUCCH reporting Modes 

 PMI Feedback Type 

 No PMI Single PMI PUCCH CQI Feedback Type 

 

Wideband Mode 1-0 Mode 1-1 

(wideband CQI) 

 

UE Selected Mode 2-0 Mode 2-1 

(subband CQI) 

For each of the transmission modes defined in Section 7.1, the following reporting modes are supported on PUCCH: 

1. Single-antenna port : Modes 1-0, 2-0 

2. Transmit diversity : Modes 1-0, 2-0 

3. Open-loop spatial multiplexing : Modes 1-0, 2-0 

4. Closed-loop spatial multiplexing : Modes 1-1, 2-1 

RI report in a PUCCH reporting mode is valid only for CQI/PMI report on that PUCCH reporting mode. 

 Wideband feedback 

o Mode 1-0 description: 

 In the subframe where RI is reported (only for open-loop spatial multiplexing): 

 A UE shall determine a RI assuming transmission on set S subbands. 

 The UE shall report a type 3 report consisting of one RI. 

 In the subframe where CQI is reported: 

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Release 8 31 3GPP TS 36.213 V8.3.0 (2008-05) 

 A UE shall report a type 4 report consisting of one wideband CQI value which 

is calculated assuming transmission on set S subbands. For open-loop spatial 

multiplexing the CQI is calculated conditioned on the last reported RI. 

o Mode 1-1 description: 

 In the subframe where RI is reported (only for closed-loop spatial multiplexing): 

 A UE shall determine a RI assuming transmission on set S subbands. 

 The UE shall report a type 3 report consisting of one RI 

 In the subframe where CQI/PMI is reported: 

 A single precoding matrix is selected from the codebook subset assuming 

transmission on set S subbands and conditioned on the last reported RI 

 A UE shall report a type 2 report on each respective successive reporting 

opportunity consisting of 

o A single wideband CQI value which is calculated assuming the use of 

a single precoding matrix in all subbands and transmission on set S

subbands and conditioned on the last reported RI. 

o The selected single precoding matrix indicator (wideband PMI) 

o When RI>1, a 3-bit wideband spatial differential CQI. 

 UE Selected subband feedback 

o Mode 2-0 description: 

 In the subframe where RI is reported (only for open-loop spatial multiplexing): 

 A UE shall determine a RI assuming transmission on set S subbands. 

 The UE shall report a type 3 report consisting of one RI. 

 In the subframe where wideband CQI is reported: 

 The UE shall report a type 4 report on each respective successive reporting 

opportunity consisting of one wideband CQI value conditioned on the last 

reported RI. 

 In the subframe where CQI for the selected subbands is reported: 

 The UE shall select the preferred subband within the set of N subbands in each 

of the J bandwidth parts where J is given in Table 7.2.2-2. For open-loop 

spatial multiplexing, the selection is conditioned on the last reported RI. 

 The UE shall report a type 1 report consisting of one CQI value reflecting 

transmission only over the selected subband of a bandwidth part determined in 

the previous step along with the corresponding best subband L-bit label. A type 

1 report for each bandwidth part will in turn be reported in respective 

successive reporting opportunities. The CQI represents channel quality across 

all layers irrespective of the computed or reported RI. For open-loop spatial 

multiplexing, the selection is conditioned on the last reported RI 

o Mode 2-1 description: 

 In the subframe where RI is reported: 

 A UE shall determine a RI assuming transmission on set S subbands. 

 The UE shall report a type 3 report consisting of one RI. 

 In the subframe where wideband CQI/PMI is reported: 

 A single precoding matrix is selected from the codebook subset assuming 

transmission on set S subbands and conditioned on the last reported RI. 

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Release 8 32 3GPP TS 36.213 V8.3.0 (2008-05) 

 A UE shall report a type 2 report on each respective successive reporting 

opportunity consisting of: 

o A wideband CQI value which is calculated assuming the use of a 

single precoding matrix in all subbands and transmission on set S

subbands and conditioned on the last reported RI. 

o The selected single precoding matrix indicator (wideband PMI). 

o When RI>1, and additional 3-bit wideband spatial differential CQI. 

 In the subframe where CQI for the selected subbands is reported: 

 The UE shall select the preferred subband within the set of Nj subbands in each 

of the J bandwidth parts where J is given in Table 7.2.2-2 conditioned on the 

last reported wideband PMI and RI. 

 The UE shall report a type 1 report per bandwidth part on each respective 

successive reporting opportunity consisting of: 

o A single CQI value 1 reflecting transmission only over the selected 

subband of a bandwidth part determined in the previous step along 

with the corresponding best subband L-bit label conditioned on the 

last reported wideband PMI and RI. 

o If RI>1, an additional 3-bit spatial differential CQI represents the 

difference between CQI value 1 for codeword 1 and CQI value 2 for 

codeword 2 assuming the use of the most recently reported single 

precoding matrix in all subbands and transmission on set S subbands. 

Table 7.2.2-2: Subband Size (k) and Bandwidth Parts (J) vs. Downlink System Bandwidth 

System Bandwidth 

DL NRB

Subband Size k 

(RBs) 

Bandwidth Parts 

(J) 

6 – 7 (wideband CQI only) 1 

8 – 10 4 1 

11 – 26 4 2 

27 – 64 6 3 

65 – 110 8 4 

The corresponding periodicity parameters for the different CQI/PMI modes are defined as: 

 NP is the periodicity of the sub-frame pattern allocated for the CQI reports in terms of subframes were the 

minimum reporting interval is NPMIN . 

 N OFFSET is the subframe offset 

A UE with a scheduled PUSCH allocation in the same subframe as its CQI report shall use the same PUCCH-based 

reporting format when reporting CQI on the PUSCH unless an associated PDCCH with scheduling grant format 

indicates an aperiodic report is required. 

Table 7.2.2-3: PUCCH Report Type Payload size per Reporting Mode 

PUCCH 

Report 

Type 

Reported Mode State 

PUCCH Reporting Modes 

Mode 1-1 Mode 2-1 Mode 1-0 Mode 2-0 

(bits/BP) (bits/BP) (bits/BP) (bits/BP) 

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1 Sub-band 

CQI 

RI = 1 NA 4+L NA 4+L 

RI > 1 NA 7+L NA 4+L 

2 Wideband 

CQI/PMI 

2 TX Antennas RI = 1 NA NA 

4 TX Antennas RI = 1 8 8 NA NA 

2 TX Antennas RI > 1 NA NA 

4 TX Antennas RI > 1 11 11 NA NA 

3 RI 2-layer spatial multiplexing 1 1 1 1 

4-layer spatial multiplexing 2 2 2 2 

4 Wideband 

CQI 

RI = 1 NA NA 4 4 

7.2.3 Channel quality indicator (CQI) definition 

The number of entries in the CQI table for a single TX antenna = 16 as given by Table 7.2.3-1. 

A single CQI index corresponds to an index pointing to a value in the CQI table. The CQI index is defined in terms of 

a channel coding rate value and modulation scheme (QPSK, 16QAM, 64QAM), 

Based on an unrestricted observation interval in time and frequency, the UE shall report the highest tabulated CQI index 

for which a single PDSCH sub-frame with a transport format (modulation and coding rate) and number of REs 

corresponding to the reported or lower CQI index that could be received in a 2-slot downlink subframe aligned, 

reference period ending z slots before the start of the first slot in which the reported CQI index is transmitted and for 

which the transport block error probability would not exceed 0.1. 

Editor’s note: RAN1 needs to agree on z. 

The UE may assume the following in calculating the number of REs for the CQI calculation: 

 3 OFDM symbols for control signaling 

 No resources reserved for P/S-SCH and P-BCH 

 CP length of the non-MBSFN subframe 

In deriving the CQI index, the UE may assume 

 the MIMO mode (TxD or spatial multiplexing) 

 the nominal measurement offset is a parameter semi-statically configurable by higher layers of the data EPRE 

with respect to the RS EPRE, from which the actual measurement offset of the data EPRE is derived 

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Release 8 34 3GPP TS 36.213 V8.3.0 (2008-05) 

Table 7.2.3-1: 4-bit CQI Table 

CQI index modulation coding rate x 

1024 

efficiency 

0 out of range 

1 QPSK 78 0.1523 

2 QPSK 120 0.2344 

3 QPSK 193 0.3770 

4 QPSK 308 0.6016 

5 QPSK 449 0.8770 

6 QPSK 602 1.1758 

7 16QAM 378 1.4766 

8 16QAM 490 1.9141 

9 16QAM 616 2.4063 

10 64QAM 466 2.7305 

11 64QAM 567 3.3223 

12 64QAM 666 3.9023 

13 64QAM 772 4.5234 

14 64QAM 873 5.1152 

15 64QAM 948 5.5547 

7.2.4 Precoding Matrix Indicator (PMI) definition 

For closed-loop spatial multiplexing transmission, precoding feedback is used for channel dependent codebook based 

precoding and relies on UEs reporting precoding matrix indicator (PMI). A UE shall report PMI based on the feedback 

modes described in 7.2.1 and 7.2.2. Each PMI value corresponds to a codebook index given in Table 6.3.4.2.3-1 or 

Table 6.3.4.2.3-2 of [3]. 

For open-loop spatial multiplexing transmission, PMI reporting is not supported. 

7.3 UE procedure for reporting ACK/NACK 

When both ACK/NACK and SR are transmitted in the same sub-frame a UE shall transmit the ACK/NACK on its 

assigned ACK/NACK PUCCH resource for a negative SR transmission and transmit the ACK/NACK on its assigned 

SR PUCCH resource for a positive SR transmission. 

When only an ACK/NACK or only a SR is transmitted a UE shall use PUCCH Format 1a or 1b for the ACK/NACK 

resource and PUCCH Format 1 for the SR resource as defined in section 5.4.1 in [3]. 

8 Physical uplink shared channel related procedures 

For FDD, there shall be 8 HARQ processes in the uplink. For FDD, the UE shall upon detection of a PDCCH with 

DCI format 0 and/or a PHICH transmission in subframe n intended for the UE, adjust the corresponding PUSCH 

transmission in subframe n+4 according to the PDCCH and PHICH information. 

For TDD, the number of HARQ processes shall be determined by the DL/UL configuration (Table 4.2-2 of [3]), as 

indicated in table 8-1. 

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Release 8 35 3GPP TS 36.213 V8.3.0 (2008-05) 

Table 8-1: Number of synchronous UL HARQ processes for TDD 

TDD UL/DL 

configuration 

Number of HARQ processes 

0 7 

1 4 

2 2 

3 3 

4 2 

5 1 

6 6 

For TDD UL/DL configurations 1-6, the UE shall upon detection of a PDCCH with DCI format 0 and/or a PHICH 

transmission in subframe n intended for the UE, adjust the corresponding PUSCH transmission in subframe n+k, with k 

given in Table 8-2, according to the PDCCH and PHICH information 

For TDD UL/DL configuration 0 the UE shall upon detection of a PDCCH with DCI format 0 and/or a PHICH 

transmission in subframe n intended for the UE, adjust the corresponding PUSCH transmission in subframe n+k if the 

first bit of the UL index in the DCI format 0 is set or PHICH is received in subframe n=0 or 5 in the resource 

corresponding to IPHICH =0, as defined in Section 9.1.2, with k given in Table 8-2. If, for TDD UL/DL configuration 0, 

the second bit of the UL index in the DCI format 0 is set in subframe n or a PHICH is received in subframe n=0 or 5 in 

the resource corresponding to IPHICH =1, as defined in Section 9.1.2, or PHICH is received in subframe n=1 or 6, the UE 

shall adjust the corresponding PUSCH transmission in subframe n+7. 

Table 8-2 k for TDD configurations 0-6 

TDD UL/DL 

Configuration 

DL subframe number n 

0 1 2 3 4 5 6 7 8 9 

0 4 6 4 6 

1 6 4 6 4 

2 4 4 

3 4 4 4 

4 4 4 

5 4 

6 7 7 7 7 5 

8.1 Resource Allocation for PDCCH DCI Format 0 

A resource allocation field in the scheduling grant consists of a resource indication value (RIV) corresponding to a 

starting resource block ( RBSTART ) and a length in terms of contiguously allocated resource blocks ( LCRBs ). The 

resource indication value is defined by 

if ( 1)   / 2 UL LCRBs   NRB then 

CRBs START ULRB RIV  N (L 1)  RB

else 

( 1) ( 1 ) START UL CRBs RB UL

RB UL RIV  NRB N  L   N   RB

For the case where an odd number of resource block pairs have been configured for PUCCH transmissions and a UE’s 

PUSCH resource allocation includes PRBs at a carrier band edge then the PRB of the allocated PUSCH band edge PRB 

pair occupied by the PUCCH resource slot will not be used for the PUSCH. 

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Release 8 36 3GPP TS 36.213 V8.3.0 (2008-05) 

8.2 UE sounding procedure 

The following Sounding Reference Symbol (SRS) parameters are UE specific semi-statically configurable by higher 

layers: 

 Starting sub-carrier assignment 

 Starting physical resource block assignment 

 Duration of SRS transmission: single or indefinite (until disabled) 

 Periodicity of SRS transmissions: {2, 5, 10, 20, 40, 80, 160, 320} ms 

 Frequency hopping (enabled or disabled) 

 Cyclic shift 

The SRS transmission bandwidth does not include the PUCCH region. The cell specific SRS transmission bandwidths 

are configured by higher layers. The allowable values are given in Section 5.5.3.2 of [3]. 

The cell specific SRS transmission sub-frames are configured by higher layers. The allowable values are given in 

Section 5.5.3.3 of [3]. 

In case the UE supports transmit antenna selection, the SRS transmission antenna alternates sequentially between 

successive SRS transmission sub-frames, both when frequency hopping is enabled or disabled, except when a single 

SRS transmission is configured for the UE. 

For TDD, when one SC-FDMA symbol exists in UpPTS, it can be used for SRS transmission. When two SC-FDMA 

symbols exist in UpPTS, both can be used for SRS transmission and both can be assigned to the same UE. 

A UE shall not transmit SRS whenever SRS and CQI transmissions happen to coincide in the same subframe. 

A UE shall not transmit SRS whenever SRS and SR transmissions happen to coincide in the same subframe. 

When a UE is configured by higher layers to support both A/N and SRS transmissions in the same subframe, then the 

UE shall transmit A/N using a shortened PUCCH format where the A/N symbol corresponding to the SRS location is 

punctured as defined in Section 5.4.1 of [3]. Otherwise, the UE shall only transmit the A/N using the normal PUCCH 

format 1a or 1b as defined in Section 5.4.1 of [3]. 

8.2.1 Sounding definition 

8.3 UE ACK/NACK procedure 

For Frame Structure type 1, an ACK/NACK received on the PHICH assigned to a UE in subframe i is associated with 

the PUSCH transmission in subframe i-4. 

For Frame Structure type 2, an ACK/NACK received on the PHICH assigned to a UE in subframe i is associated with 

the PUSCH transmission in the subframe indicated by the following table: 

[...table to be inserted...] 

The physical layer in the UE shall deliver indications to the higher layers as follows: 

For downlink subframe i, if a transport block was transmitted in the associated PUSCH subframe then: 

- if an Uplink Scheduling Assignment is received in subframe i with NDI toggled since the previous subframe 

corresponding to the same HARQ process, a new transmission shall be indicated to the higher layers; 

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- else if an Uplink Scheduling Assignment is received in subframe i with NDI not toggled since the previous subframe 

corresponding to the same HARQ process, a re-transmission shall be indicated to the higher layers. 

- else if no Uplink Scheduling Assignment is received in subframe i, then: 

o if ACK is decoded on the PHICH, ACK shall be delivered to the higher layers; 

o else NACK shall be delivered to the higher layers. 

8.4 UE PUSCH Hopping procedure 

The UE shall perform PUSCH frequency hopping if the single bit frequency hopping (FH) field in a corresponding 

PDCCH with DCI format 0 is set otherwise no PUSCH frequency hopping is performed. 

A UE performing PUSCH frequency hopping shall determine its PUSCH resource allocation for the first slot of a 

subframe (S1) including the lowest index PRB ( ( ) 1 n n S

PRB ) in subframe n from the resource allocation field in a 

corresponding PDCCH with DCI format 0 received on subframe n-4. For a non-adaptive retransmission of a packet on 

a dynamically assigned PUSCH resource a UE shall determine its hopping type based on the last received PDCCH with 

DCI Format 0 associated with the packet. For a PUSCH transmission on a persistently allocated resource on subframe 

n in the absence of a corresponding PDCCH with a DCI Format 0 in subframe n-4, the UE shall determine its hopping 

type based on the hopping information in the initial grant that assigned the persistent resource allocation. The initial 

grant is either a PDCCH with DCI Format 0 or is higher layer signaled. 

The resource allocation field in DCI format 0 excludes either 1 or 2 bits used for hopping information as indicated by 

Table 8.4-1 below where the number of PUSCH resource blocks is defined as PUCCH

RB

UL

RB

PUSCH

RB

~ N  N  N .

 For type 2 

PUSCH hopping, 1 ~ PUCCH

RB

PUCCH NRB  N  if PUCCH NRB is an odd number where PUCCH NRB defined in [3]. 

PUCCH

RB

PUCCH

RB

~

N  N in other cases. The size of the resource allocation field in DCI format 0 after excluding either 1 

or 2 bits shall be y    log (N (N 1)/ 2)  k UL

RB

UL

2 RB , where k = 1 or 2 bits and the number of contiguous RBs that 

can be assigned to a hopping user is limited to min(  UL

RB 2 / N y ,  N Nsb / PUSCHRB )

,where the number of sub-bands 

Nsb is given by higher layers. 

A UE performing PUSCH frequency hopping shall use one of two possible PUSCH frequency hopping types based on 

the hopping information. PUSCH hopping type 1 is described in section 8.4.1 and type 2 is described in section 8.4.2. 

Table 8.4-1: Max PUSCH BW, and Number of Hopping Bits vs. System Bandwidth 

System BW 

UL NRB

Max BW assigned to a hopping 

User 

#Hopping bits for 

2nd slot RA 

(k) 

6-49 

min(  UL

RB 2 / N y ,  N Nsb / PUSCH

RB )

1 

50-110 min(  UL

RB 2 / N y , 

  N Nsb / PUSCH

RB ) 

2 

For either hopping type a single bit signaled by higher layers indicates whether PUSCH frequency hopping is intersubframe only or both intra and inter-subframe. 

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Release 8 38 3GPP TS 36.213 V8.3.0 (2008-05) 

8.4.1 Type 1 PUSCH Hopping 

For PUSCH hopping type 1 the hopping bit or bits indicated in Table 8.4-1 determine ( ) ~n i PRB as defined in Table 8.4-2. 

The lowest index PRB ( S1

PRB n ) of the 1st slot RA in subframe i is defined as ( )   / 2 ~ ( ) 1 1 PUCCHRB SPRB S nPRB i  n i  N . 

The lowest index PRB ( ) n (i PRB ) of the 2nd slot RA in subframe i is defined as ( )  / 2 ~ ( ) PUCCH

PRB PRB NRB n i  n i  . 

8.4.2 Type 2 PUSCH Hopping 

In PUSCH hopping type 2 the set of physical resource blocks to be used for transmission in slot ns is given by the 

scheduling grant together with a predefined pattern according to [3] section 5.3.4.. 

Table 8.4-2: PDCCH DCI Format 0 Hopping Bit Definition 

System BW UL NRB

Number of 

Hopping bits 

Information in 

hopping bits ( ) ~

n i PRB

6 – 49 1 0   PUSCH

RB

S

PRB

PUSCH NRB n (i) mod N ~ / 2 1 



 



  , 

1 Type 2 PUSCH Hopping 

50 – 110 2 

00   PUSCH

RB

S

PRB

PUSCH NRB n (i) mod N ~ / 4 1 



 



 

01   PUSCH

RB

S

PRB

PUSCH NRB n (i) mod N ~ / 4 1 



 



 

10   PUSCH

RB

S

PRB

PUSCH NRB n (i) mod N ~ / 2 1 



 



 

11 Type 2 PUSCH Hopping 

8.5 UE Reference Symbol procedure 

If UL sequence hopping is configured in the cell, it applies to all reference symbols (SRS, PUSCH and PUCCH RS). 

8.6 Modulation order, redundancy version and transport block 

size determination 

To determine the modulation order, redundancy version and transport block size for the physical uplink shared channel, 

the UE shall first 

− read the 5-bit “modulation and coding scheme and redundancy version” field ( MCS I ) in the DCI, and 

− check the “CQI request” bit in DCI, and 

− compute the total number of allocated PRBs ( NPRB ) based on the procedure defined in Section 8.1. 

8.6.1 Modulation order and redundancy version determination 

For 0  I MCS  28 , the modulation order (Qm ) is determined as follows: 

− If the UE is capable of supporting 64QAM in PUSCH and has not been configured by higher layers to transmit 

only QPSK and 16QAM, the modulation order is given by ' Qm in Table 8.6.1-1. 

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Release 8 39 3GPP TS 36.213 V8.3.0 (2008-05) 

− If the UE is not capable of supporting 64QAM in PUSCH or has been configured by higher layers to transmit 

only QPSK and 16QAM, ' Qm is first read from Table 8.6.1-1. The modulation order is set to min(4, ) ' Qm  Qm .

− If the UE is to transmit the PUSCH in bundled mode and [?] NPRB  [and ? I TBS  ], the modulation order is set 

to Qm  2 . 

For 29  I MCS  31, the modulation order is assumed to be as determined from DCI transported in the initial PDCCH 

for the same transport block using 0  I MCS  28 except for the following case. If I MCS  29 , the “CQI request” bit in 

DCI format 0 is set and [2 4] NPRB   , the modulation order is set to  [2] Qm . 

The UE shall use MCS I and Table 8.6.1-1 to determine the redundancy version (rvidx) to use in the physical uplink shared 

channel. 

Table 8.6.1-1: Modulation, TBS index and redundancy version table for PUSCH 

MCS Index 

MCS I

Modulation 

Order ' Qm

TBS 

Index 

TBS I

Redundancy 

Version 

rvidx

0 2 0 0 

1 2 1 0 

2 2 2 0 

3 2 3 0 

4 2 4 0 

5 2 5 0 

6 2 6 0 

7 2 7 0 

8 2 8 0 

9 2 9 0 

10 2 10 0 

11 4 10 0 

12 4 11 0 

13 4 12 0 

14 4 13 0 

15 4 14 0 

16 4 15 0 

17 4 16 0 

18 4 17 0 

19 4 18 0 

20 4 19 0 

21 6 19 0 

22 6 20 0 

23 6 21 0 

24 6 22 0 

25 6 23 0 

26 6 24 0 

27 6 25 0 

28 6 26 0 

29 

reserved 

1 

30 2 

31 3 

8.6.2 Transport block size determination 

For 0  I MCS  28 , the UE shall first determine the TBS index ( TBS I ) using MCS I and Table 8.6.1-1. The UE shall then 

follow the procedure in Section 7.1.7.2.1 to determine the transport block size. 

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Release 8 40 3GPP TS 36.213 V8.3.0 (2008-05) 

For 29  I MCS  31, the transport block size is assumed to be as determined from DCI transported in the initial PDCCH 

for the same transport block using 0  I MCS  28 except for the following case. If I MCS  29 , the “CQI request” bit in 

DCI format 0 is set and [2 4] NPRB   , then there is no transport block for the UL-SCH and only the control 

information feedback for the current PUSCH reporting mode is transmitted by the UE. 

8.7 UE Transmit Antenna Selection 

UE transmit antenna selection when configured is only applicable with DCI Format 0 and FDD. 

9 Physical downlink control channel procedures 

9.1 UE procedure for determining physical downlink control 

channel assignment 

9.1.1 PDCCH Assignment Procedure 

The control region consists of a set of CCEs, numbered from 0 to NCCE,k 1 according to Section 6.8.2 in [3], where 

NCCE,k is the total number of CCEs in the control region of subframe k . The UE shall monitor a set of PDCCH 

candidates for control information in every non-DRX subframe, where monitoring implies attempting to decode each of 

the PDCCHs in the set according to all the monitored DCI formats. The UE is not required to decode control 

information on a PDCCH if the channel-code rate is larger than 3/4, where channel-code rate is defined as number of 

downlink control information bits (including RNTI) divided by the number of physical channel bits on the PDCCH. 

The set of PDCCH candidates to monitor are defined in terms of search spaces, where a search space (L)

k S at 

aggregation level L 1,2,4,8 is defined by a contiguous set of CCEs given by 

k

L Zk i NCCE,( ) (  )mod

where (L)

k Z defines the start of the search space, 0,1,..., 1 ( ) i  M  L  L and (L) M is the number of PDCCHs to 

monitor in the given search space. 

The UE shall monitor one common search space at each of the aggregation levels 4 and 8 and one UE-specific search 

space at each of the aggregation levels 1, 2, 4, 8. The common and UE-specific search spaces may overlap. 

The aggregation levels defining the search spaces and the DCI formats that the UE shall monitor the respective search 

spaces are listed in Table 9.1.1-1. The notation 3/3A implies that the UE shall monitor DCI formats 3 or 3A as 

determined by the configuration. The DCI formats that the UE shall monitor in the UE specific search spaces is a subset 

of those listed in Table 9.1.1-1 and depend on the configured transmission mode as defined in Section 7.1. 

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Table 9.1.1-1: PDCCH candidates monitored by a UE. 

Search space (L)

k S Number of PDCCH 

candidates (L) M

DCI formats 

Type Aggregation level L Size [in CCEs] 

UEspecific 

1 6 6 

0, 1, 1A,1B, 2 2 12 6 

4 8 2 

8 16 2 

Common 4 16 4 0, 1A, 1C, 3/3A 8 16 2 

For the common search spaces, the starting location (L)

k Z is set to 0 for the two aggregation levels L  4 and L  8 . 

For the UE-specific search space (L)

k S at aggregation level L , the starting location (L)

k Z is defined by 

   

Y   A Y D

Z L Y N L

k k

k k

L

k

mod

mod

1

CCE,

( )

  

 

where Y1  nRNTI  0 , A  39827 and D  65537 . 

9.1.2 PHICH Assignment Procedure 

For scheduled PUSCH transmissions in subframe n, a UE shall determine the corresponding PHICH resource in 

subframe n+ kPHICH, where kPHICH is always 4 for FDD and is given in table 9.1.2-1 for TDD. 

Table 9.1.2-1: kPHICH for TDD 

TDD UL/DL 

Configuration 

UL subframe index n 

0 1 2 3 4 5 6 7 8 9 

0 4 7 6 4 7 6 

1 4 6 4 6 

2 6 6 

3 6 6 6 

4 6 6 

5 6 

6 4 6 6 4 7 

The PHICH resource is determined from lowest index PRB of the uplink resource allocation and the 3-bit uplink 

demodulation reference symbol (DMRS) cyclic shift associated with the PUSCH transmission, both indicated in the 

PDCCH with DCI format 0 granting the PUSCH transmission. 

The PHICH resource is identified by the index pair ( , ) seq

PHICH

group

PHICH n n where groupPHICH n is the PHICH group number and 

seq

PHICH n is the orthogonal sequence index within the group as defined by: 

  PHICH

DMRS SF

group

PHICH

lowest index

PRB RA

seq

PHICH

group

PHICH PHICH

group

DMRS PHICH

lowest index

PRB RA

group

PHICH

n I N n N

n I n N I N

( / ) mod 2

( ) mod

_

_

_

_

 

  

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Release 8 42 3GPP TS 36.213 V8.3.0 (2008-05) 

where 

• DMRS n is the cyclic shift of the DMRS used in the UL transmission to which the PHICH is related. 

• PHICH NSF is the spreading factor size used for PHICH modulation as described in section 6.9.1 in [3]. 

• lowest index

PRB RA I __ is the lowest index PRB of the uplink resource allocation 

• group NPHICH is the number of PHICH groups configured by higher layers as described in section 6.9 of 

[3], 

•





   0 otherwise

1 for TDD UL/DL configuration 0 with PUSCH transmission in subframe n 4 or 9

I PHICH

10 Physical uplink control channel procedures 

10.1 UE procedure for determining physical uplink control 

channel assignment 

Uplink control information (UCI) in subframe n shall be transmitted 

- on PUCCH using format 1/1a/1b or 2/2a/2b if the UE is not transmitting on PUSCH in subframe n

- on PUSCH if the UE is transmitting on PUSCH in subframe n

Throughout this section, subframes are numbered in monotonically increasing order; if the last subframe of a radio 

frame is denoted k , the first subframe of the next radio frame is denoted k 1. 

The following combinations of uplink control information on PUCCH are supported: 

- HARQ-ACK using PUCCH format 1a or 1b 

- Scheduling request (SR) using PUCCH format 1 

- HARQ-ACK and SR using PUCCH format 1a or 1b 

- CQI using PUCCH format 2 

- CQI and HARQ-ACK using PUCCH format 

- 2a or 2b for normal cyclic prefix 

- 2 for extended cyclic prefix 

For FDD, the UE shall use PUCCH resource (1)

PUCCH n for transmission of HARQ-ACK in subframe n , where 

- for a dynamically scheduled PDSCH indicated by the detection of a corresponding PDCCH with DCI format 

1A/1/2 in subframe n  4 , the UE shall use (1)

CCE PUCCH

(1) nPUCCH  n  N , where nCCE is the number of the first 

CCE used for transmission of the corresponding DCI assignment and (1) NPUCCH is configured by higher layers. 

- for a semi-persistently scheduled PDSCH transmission and where there is not a corresponding DCI detected in 

subframe n  4 , the value of (1)

PUCCH n is configured by higher layers. 

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For TDD, the UE shall use PUCCH resource (1)

PUCCH n for transmission of HARQ-ACK in subframe n , where 

- for dynamically scheduled PDSCH indicated by the detection of corresponding PDCCH(s) with DCI format 

1A/1/2 within subframe(s) n  k , where k  K and K (defined in Table 10.1-1) is a set of M elements 

  0 1 1 , , M  k k k depending on the subframe n and the UL-DL configuration (defined in Table 4.2-2 in [3]), 

(1)

PUCCH n is given by a function of the first CCE index used for transmission of the corresponding DCI format 

1A/1/2 in subframe m n  k and the corresponding m, where mk is the smallest value in set K such that UE 

detects a DCI format 1A/1/2 in subframe m n  k . 

- for a semi-persistently scheduled PDSCH transmission and where there is not a corresponding DCI detected 

within subframe(s) n  k , where k  K and K is defined in Table 10.1-1, the value of (1)

PUCCH n is configured 

by higher layers. 

Table 10.1-1: Downlink association set index K :   0 1 1 , , M  k k k for TDD 

UL-DL 

Configuration 

Subframe n 

0 1 2 3 4 5 6 7 8 9 

0 - - 6 - 4 - - 6 - 4 

1 - - 7, 6 4 - - - 7, 6 4 - 

2 - - 8, 7, 6, 4 - - - - 8, 7, 6, 4 - - 

3 - - 11, 7, 6 6, 5 5, 4 - - - - - 

4 - - 12, 11, 8, 7 7, 6, 5, 4 - - - - - - 

5 - - TBD - - - - - - - 

6 - - 7 7 5 - - 7 7 - 

10.2 Uplink ACK/NACK timing 

For FDD, the UE shall upon detection of a PDSCH transmission in subframe n-4 intended for the UE and for which an 

ACK/NACK shall be provided, transmit the ACK/NACK response in subframe n. 

For TDD, the UE shall upon detection of a PDSCH transmission within subframe(s) n  k , where k  K and K is 

defined in Table 10.1-1 intended for the UE and for which ACK/NACK response shall be provided, transmit the 

ACK/NACK response in UL subframe n. 

For TDD, the UE shall upon detection of a PDSCH transmission in subframe n intended for the UE and for which an 

ACK/NACK shall be provided, transmit the ACK/NACK response in UL subframe n+k, where k depends on the 

subframe n according to Table 10.2-1 for the UL-DL configurations defined in Table 4.2-2 in [3]. 

Table 10.2-1: Uplink ACK/NACK timing index k for TDD 

Configuration Subframe n 

0 1 2 3 4 5 6 7 8 9 

0 4 6 - - - 4 6 - - - 

1 7 6 - - 4 7 6 - - 4 

2 7 6 - 4 8 7 6 - 4 8 

3 4 11 - - - 7 6 6 5 5 

4 12 11 - - 8 7 7 6 5 4 

5 12 11 - 9 8 7 6 5 4 13 

6 7 7 - - - 7 7 - - 5 

. 

For TDD, the use of a single ACK/NACK response for providing HARQ feedback for multiple PDSCH transmissions 

is supported by performing logical AND of all the corresponding individual (dynamically and semi-persistently 

scheduled) PDSCH transmission ACK/NACKs. Downlink Assignment Index (DAI) denotes the minimum number of 

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Release 8 44 3GPP TS 36.213 V8.3.0 (2008-05) 

dynamic downlink assignment(s) transmitted to the corresponding UE within all the subframe(s) n  k , where k  K , 

and it can be updated from subframe to subframe. If the value of DAI in subframe m n  k , where mk is the smallest 

value in set K such that UE detects a DCI format 1A/1/2 in subframe m n  k , does not equal to the number of 

detected dynamic downlink assignment(s) within the subframe(s) n  k , where k  K , UE shall not transmit 

ACK/NACK. 

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Release 8 45 3GPP TS 36.213 V8.3.0 (2008-05) 

 

Annex A (informative): 

Change history 

Change history

Date TSG # TSG Doc. CR Rev Subject/Comment Old New 

2006-09 Draft version created 0.0.0 

2006-10 Endorsed by RAN1 0.0.0 0.1.0 

2007-01 Inclusion of decisions from RAN1#46bis and RAN1#47 0.1.0 0.1.1 

2007-01 Endorsed by RAN1 0.1.1 0.2.0 

2007-02 Inclusion of decisions from RAN1#47bis 0.2.0 0.2.1 

2007-02 Endorsed by RAN1 0.2.1 0.3.0 

2007-02 Editor’s version including decisions from RAN1#48 & RAN1#47bis 0.3.0 0.3.1 

2007-03 Updated Editor’s version 0.3.1 0.3.2 

2007-03 RAN#35 RP-070171 For information at RAN#35 0.3.2 1.0.0 

2007-03 Random access text modified to better reflect RAN1 scope 1.0.0 1.0.1 

2007-03 Updated Editor’s version 1.0.1 1.0.2 

2007-03 Endorsed by RAN1 1.0.2 1.1.0 

2007-05 Updated Editor’s version 1.1.0 1.1.1 

2007-05 Updated Editor’s version 1.1.1 1.1.2 

2007-05 Endorsed by RAN1 1.1.2 1.2.0 

2007-08 Updated Editor’s version 1.2.0 1.2.1 

2007-08 Updated Editor’s version – uplink power control from RAN1#49bis 1.2.1 1.2.2 

2007-08 Endorsed by RAN1 1.2.2 1.3.0 

2007-09 Updated Editor’s version reflecting RAN#50 decisions 1.3.0 1.3.1 

2007-09 Updated Editor’s version reflecting comments 1.3.1 1.3.2 

2007-09 Updated Editor’s version reflecting further comments 1.3.2 1.3.3 

2007-09 Updated Editor’s version reflecting further comments 1.3.3 1.3.4 

2007-09 Updated Edtior’s version reflecting further comments 1.3.4 1.3.5 

2007-09 RAN#37 RP-070731 Endorsed by RAN1 1.3.5 2.0.0 

2007-09 RAN#37 RP-070737 For approval at RAN#37 2.0.0 2.1.0 

12/09/07 RAN_37 RP-070737 - - Approved version 2.1.0 8.0.0 

28/11/07 RAN_38 RP-070949 0001 2 Update of 36.213 8.0.0 8.1.0 

05/03/08 RAN_39 RP-080145 0002 - Update of TS36.213 according to changes listed in cover sheet 8.1.0 8.2.0 

28/05/08 RAN_40 RP-080434 0003 1 PUCCH timing and other formatting and typo corrections 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0006 1 PUCCH power control for non-unicast information 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0008 - UE ACK/NACK Procedure 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0009 - UL ACK/NACK timing for TDD 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0010 - Specification of UL control channel assignment 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0011 - Precoding Matrix for 2Tx Open-loop SM 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0012 - Clarifications on UE selected CQI reports 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0013 1 UL HARQ Operation and Timing 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0014 - SRS power control 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0015 1 Correction of UE PUSCH frequency hopping procedure 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0017 4 Blind PDCCH decoding 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0019 1 Tx Mode vs DCI format is clarified 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0020 - Resource allocation for distributed VRB 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0021 2 Power Headroom 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0022 - Clarification for RI reporting in PUCCH and PUSCH reporting 

modes 

8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0025 - Correction of the description of PUSCH power control for TDD 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0026 - UL ACK/NACK procedure for TDD 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0027 - Indication of radio problem detection 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0028 - Definition of Relative Narrowband TX Power Indicator 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0029 - Calculation of ΔTF(i) for UL-PC 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0030 - CQI reference and set S definition, CQI mode removal, and 

Miscellanious 

8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0031 - Modulation order and TBS determination for PDSCH and PUSCH 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080434 0032 - On Sounding RS 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080426 0033 - Multiplexing of rank and CQI/PMI reports on PUCCH 8.2.0 8.3.0 

28/05/08 RAN_40 RP-080466 0034 - Timing advance command responding time 8.2.0 8.3.0 

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