3GPP TS 36.213 V8.6.0 (2009-03)
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.
Keywords
UMTS, radio, layer 1
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Contents
Foreword (5)
1Scope (6)
2References (6)
3Definitions, symbols, and abbreviations (7)
3.1Symbols (7)
3.2Abbreviations (7)
4Synchronisation procedures (8)
4.1Cell search (8)
4.2Timing synchronisation (8)
4.2.1Radio link monitoring (8)
4.2.2Inter-cell synchronisation (8)
4.2.3Transmission timing adjustments (8)
5Power control (9)
5.1Uplink power control (9)
5.1.1Physical uplink shared channel (9)
5.1.1.1UE behaviour (9)
5.1.1.2Power headroom (12)
5.1.2Physical uplink control channel (12)
5.1.2.1UE behaviour (12)
5.1.3Sounding Reference Symbol (14)
5.1.3.1UE behaviour (14)
5.2Downlink power allocation (15)
5.2.1 eNodeB Relative Narrowband TX Power restrictions (16)
6Random access procedure (16)
6.1Physical non-synchronized random access procedure (16)
6.1.1Timing (17)
6.2Random Access Response Grant (17)
7 Physical downlink shared channel related procedures (18)
7.1UE procedure for receiving the physical downlink shared channel (19)
7.1.1 Single-antenna port scheme (21)
7.1.2Transmit diversity scheme (21)
7.1.3Large delay CDD scheme (22)
7.1.4Closed-loop spatial multiplexing scheme (22)
7.1.5Multi-user MIMO scheme (22)
7.1.6Resource allocation (22)
7.1.6.1Resource allocation type 0 (22)
7.1.6.2Resource allocation type 1 (23)
7.1.6.3Resource allocation type 2 (24)
7.1.7Modulation order and transport block size determination (25)
7.1.7.1Modulation order determination (25)
7.1.7.2Transport block size determination (26)
7.1.7.2.1Transport blocks not mapped to two-layer spatial multiplexing (27)
7.1.7.2.2Transport blocks mapped to two-layer spatial multiplexing (32)
7.1.7.2.3Transport blocks mapped for DCI Format 1C (33)
7.1.7.3Redundancy Version determination for Format 1C (33)
7.2UE procedure for reporting channel quality indication (CQI), precoding matrix indicator (PMI) and rank
indication (RI) (33)
7.2.1Aperiodic CQI/PMI/RI Reporting using PUSCH (36)
7.2.2Periodic CQI/PMI/RI Reporting using PUCCH (40)
7.2.3Channel quality indicator (CQI) definition (46)
7.2.4Precoding Matrix Indicator (PMI) definition (48)
7.3UE procedure for reporting ACK/NACK (49)
8Physical uplink shared channel related procedures (52)
8.1Resource Allocation for PDCCH DCI Format 0 (54)
8.2UE sounding procedure (55)
8.3UE ACK/NACK procedure (57)
8.4UE PUSCH Hopping procedure (58)
8.4.1 Type 1 PUSCH Hopping (59)
8.4.2 Type 2 PUSCH Hopping (59)
8.5UE Reference Symbol procedure (60)
8.6Modulation order, redundancy version and transport block size determination (60)
8.6.1Modulation order and redundancy version determination (60)
8.6.2Transport block size determination (61)
8.6.3Control information MCS offset determination (61)
8.7UE Transmit Antenna Selection (63)
9Physical downlink control channel procedures (64)
9.1UE procedure for determining physical downlink control channel assignment (64)
9.1.1 PDCCH Assignment Procedure (64)
9.1.2 PHICH Assignment Procedure (65)
9.2PDCCH validation for semi-persistent scheduling (66)
10Physical uplink control channel procedures (67)
10.1UE procedure for determining physical uplink control channel assignment (67)
10.2Uplink ACK/NACK timing (72)
Annex A (informative): Change history (74)
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.
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 t ransmission and reception”
[7] 3GPP TS 36.104: “Evolved Universal Terrestrial Radio Access (E-UTRA); Base Station (BS)
radio transmission and reception”
[8] 3GPP TS36.321, “Evolved Universal Terrestrial Radio Access (E-UTRA); Medium Access
Control (MAC) pr otocol specification”
[9] 3GPP TS36.423, “Evolved Universal Terrestrial Radio Access (E-UTRA); X2 Application
Protocol (X2AP)”
[10] 3GPP TS36.133, “Evolved Universal Terrestrial Radio Access (E-UTRA); Requirements for
support of radio resource management”
[11] 3GPP TS36.331, “Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Resource
Control (RRC) protocol specification”
3
Definitions, symbols, and abbreviations
3.1
Symbols
For the purposes of the present document, the following symbols apply:
DL
RB N
Downlink bandwidth configuration, expressed in units of RB
sc N as defined in [3]
UL
RB N Uplink bandwidth configuration, expressed in units of RB
sc N as defined in [3]
UL
sym b N
Number of SC-FDMA symbols in an uplink slot as defined in [3]
RB sc N
Resource block size in the frequency domain, expressed as a number of subcarriers as defined in
[3]
s T
Basic time unit as defined in [3]
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 SPS C-RNTI Semi-Persistent Scheduling C-RNTI 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 同步过程
4.1 小区搜索
小区搜索是指UE在小区中获取时间和频率同步并检测小区物理层Cell ID的过程。E-UTRA小区搜索支持包含6个以上资源块的传输带宽范围内的搜索。
通过主同步信号和辅同步信号的发送实现下行链路的小区搜索。
4.2 时间同步
4.2.1 无线链路监测
UE应该监测服务小区无线链路的质量，因为UE要把探测到的同步状况传给高层，
在非DRX（Discontinuous Receptio，省电模式）模式操作，UE的物理层在每个无线帧都要检测无线链路质量，并通过前一时间段[200ms]周期测得，这个无线链路质量的检测依赖于门限Qout and Qin（在[10]相关测试中被隐含定义）。
在DRX模式操作，UE的物理层至少每个DRX阶段都要检测无线链路质量，并通过之前的周期[10中定义]测得。这个无线链路质量的检测依赖于门限Qout and Qin（在[10]相关测试中被隐含定义）。
UE的物理层在检测无线链路质量的无线帧中指示同步情况并上报给高层：当无线链路质量比门限值Q out差时，指示为失同步；当无线链路质量好于Qin时，指示为同步。
4.2.2 小区间同步
例如，用于有多播物理信道的小区。
4.2.3 传输定时校正
收到定时提前命令后，UE应该调整PUCCH/PUSCH/SRS的上行发送时间。定时提前命令表示为16Ts的整数倍,它和当前上行时间相关。随机接入前导的起始时间在211中设定。
随机接入响应中，时间提前命令T A,为11bit，通过索引值T A = 0, 1, 2, ..., 1282,来表示N TA值，其中时间序列的数据由N TA = T A?16给出。N TA在[3]中定义。
其它情况下，时间提前命令T A,为6bit，指示当前N TA值相对于新的N TA值N TA,new,的校正，其中索引值T A = 0, 1, 2,..., 63, N TA,new = N TA,old + (T A-31)?16.这里，N TA值的校正是通过一个正的或负的数据，根据给出的数据分别来指示上行传输定时的时间提前或延迟
子帧n上接收到时间提前命令，相应的定时校正从子帧n+6的开始来进行。当由于时间校正，UE的子帧n和n+1中传输的上行PUCCH/PUSCH/SRS有重叠，UE应传输完整的子帧n，而不传输子帧n+6的重叠部分。
如果接收到的下行定时发生改变，没有[10]中所提到的时间提前要求，上行定时校正不再补偿或只是部分补偿,那么UE随之改变N TA。
5 功率控制
下行功率控制决定单位资源元素上的功率值，可见是在频域进行功率分配再进行时域加CP ，同时功率分配是进行在子载波上，是对各个复信号上的幅度的调整。上行功率控制决定所传输的DFT-SOFDM 符号上的功率值。
5.1 上行功率控制
上行功率控制控制着不同物理信道的发送功率值。
关于小区级的过载指示 (OI) 高干扰指示 (HII) 的干扰协调定义在参考文献[9]。
5.1.1
上行物理共享信道
5.1.1.1
UE 行为
每个子帧i 的物理上行信道PUSCH 的发送功率 PUSCH P 设定计算如下：
)}()()()())((log 10,m in{)(TF O_PUSCH PUSCH 10CMAX PUSCH i f i PL j j P i M P i P +?+?++=α [dBm]
其中：
? CMAX P ：UE 最大发送功率，23dBm 左右，见 [6]的6.2.2节。
? )(PUSCH i M ：在子帧i 中PUSCH 所占的带宽，单位是资源块RB 。
?
)(O_PUSCH j P ：)(O_PUSCH j P = )( PUSCH O_NOMINAL_j P +O_UE_PUSCH ()P j 。高层决定j 的取值，j=0
时，对应半静态授权的PUSCH 传输或重传；j=1时，对应动态授权的PUSCH 传输或重传；j=2时，对应随机接入响应授权的PUSCH 传输或重传，此时3_O_PRE PUSCH O_NOMINAL_)2(Msg PREAMBLE P P ?+=，
0)2(O_UE_PUSCH =P ，其中，PRE P _0和3_Msg PREAMBLE ?由高层信令配置；
?
当j =0 或1时, {}1,9.0,8.0,7.0,6.0,5.0,4.0,0∈α 是一个3bit 高层配置的小区级参数； 当 j=2时,
.1)(=j α；（部分功率补偿因子）
? PL ：下行路损估计值。通过下式计算出，PL = referenceSignalPower – higher layer filtered RSRP 。其中 referenceSignalPower 由高层配置，RSRP 在参考文档[5]中定义，而higher layer filter 在[11]中配置。
?
TF ()i ?：公式如下，TF 10()10log ((21))S
MPR K PUSCH
offset i β??=-。其中25.1=S K 或者0=S K ，其配置情况由
高层配置用户级参数deltaMCS-Enabled 决定。
o 当ＰＵＳＣＨ中只有控制数据时，/CQI RE MPR O N =；其它情况等于
1
/C r
RE r K
N -=∑。
C 等于码块数, r K 等于第r 个码块的大小，CQI O 等于加上CRC 位的ＣＱＩ比特数，
RE N 等于资源元素由公式得出initial
-PUSCH symb
RB sc PUSCH N N M N RE ??=。其中C , r K 和 initial
-PUSCH symb
N 在参考文档[4]给出，并且C , r K 和PUSCH M 在ＰＤＣＣＨ初始化的时候获得。
o 当ＰＵＳＣＨ中只有控制数据时PUSCH CQI
offset offset ββ= ；其它情况等于1。
?
PUSCH δ ：用户级参数，对应于DCI0和联合编码DCI3/3A 的PDCCHTPC 命令。DCI0使用C-RNTI 加扰CRC ，
DCI3/3A 使用TPC-PUSCH-RNTI 加扰CRC 。当前子帧PUSCH 的功率调整值等于)(i f ，定义如下：
o 当累积修正Accumulation-enabled 使能时，或者在DCI0调整情况下
)()1()(PUSCH PUSCH K i i f i f -+-=δ
?
其中)(PUSCH PUSCH K i -δ是在DCI0或DCI3/3A 传下来的信令TPC ，来自对应PDCCH 的子帧为 PUSCH K i -, 而且)0(f 是最初的累积值。 ?
PUSCH K 的值定义如下:
? 在FDD 情况下,PUSCH K = 4 ? 在TDD UL/DL 配比 1-6时, PUSCH K 由表Table 5.1.1.1-1给出。
?
在TDD UL/DL 配比 0时
o 如果子帧2和7的PUSCH 是PDCCH 的DCI0调度的，且DCI0中的UL index 域
高位设为1时, PUSCH K = 7。 o 其它PUSCH 传输情况时,
PUSCH K 由表5.1.1.1-1设置。
?
除非处在DRX 状态，UE 会不断地在每个子帧检测DCI0和DCI3/3A 分别使用C-RNTI 和T PC-PUSCH-RNTI 。
? 如果DCI0和DCI3/3A 都被检测成功，UE 会选择DCI0的TPC 用作PUSCH δ。 ? 如果没有TPC 命名下发或者处在DRX 状态下以及没有上行子帧时，0PUSCH =δ。
? PUSCH δ的取值单位为dB ，其和DCI0中TPC 取值对应关系见表5.1.1.1-2。
? PUSCH δ的取值单位为dB ，其和DCI3/3A 中TPC 取值对应关系见表5.1.1.1-2或者表5.1.1.1-3，具体用户的TPC 由高层配置的TPC-Index 决定。
? 如果UE 到达最大发送功率时，正的功率修正值TPC 不再有效。 ? 如果UE 到达最小发送功率时，负的功率修正值TPC 不再有效。 ?
UE 应该在以下情况复位累加值：
? 当绝对功率修正值TPC 命令收到时； ? 当收到O_UE_PUSCH P 信令时； ?
当UE 收到随机接入响应消息时；
o 当累积修正Accumulation-enabled 不使能时，)()(PUSCH PUSCH K i i f -=δ
? 其中)(PUSCH PUSCH K i -δ由PUSCH K i -上ＤＣＩ０传送下来ＴＰＣ决定
?
PUSCH K 的值等于：
? 在 FDD 情况下,PUSCH K = 4 ? 在 TDD UL/DL 配比1-6时, PUSCH K
由表5.1.1.1-1决定。
?
在TDD UL/DL 配比0
o 如果子帧2和7的PUSCH 是PDCCH 的DCI0调度的，且DCI0中的UL index 域
高位设为1时, PUSCH K = 7。 o 其它PUSCH 传输情况时,
PUSCH
K 由表5.1.1.1-1设置。
? PUSCH δ的取值单位为dB ，其和DCI0中TPC 取值对应关系见表5.1.1.1-2。
?
当子帧DCI0没有检测到、处在DRX 状态以及TDD 制式下无上行子帧时：)1()(-=i f i f 。
o )(*f 在累积修正和绝对值修正情况下，都须满足下面设定：
?
如果收到高层O_UE_PUSCH P 命令，
?
()0=i f
?
否则
?
2)0(msg rampup P f δ+?=
o 其中 2msg δ是随机接入响应专有的TPC 命令，参见6.2节， o
rampup P ? 来自高层，对应总功率放大范围，从第一个preamble 到最后
一个preamble 结束。
Table 5.1.1.1-1
PUSCH K for TDD configuration 0-6
Table 5.1.1.1-2: Mapping of TPC Command Field in DCI format 0/3 to absolute and accumulated
PUSCH δ values.
Table 5.1.1.1-3: Mapping of TPC Command Field in DCI format 3A to PUSCH δ values.
5.1.1.2 功率池
UE 功率池PH 定义如下：
{})()()()())((log 10)(TF O_PUSCH PUSCH 10CMAX i f i PL j j P i M P i PH +?+?++-=α [dB]
其中, CMAX P , )(PUSCH i M , )(O_PUSCH j P , )(j α, PL, )(TF i ? and
)(i f 如5.1.1.1定义。
功率池应该在以下这个范围之内[40; -23] dB ，单位步长dB ，由物理层报给高层。
5.1.2
上行物理控制信道
5.1.2.1
UE 行为
UE 侧对PUCCH P 发送功率定义如下：
()()()(){}i g F n n h PL P P i P HARQ CQI +?+++=F_PUCCH 0_PUCCH CMAX PUCCH ,,min [dBm]
其中
? CMAX P ：UE 最大发送功率，23dBm 左右，见 [6]的6.2.2节。
?
F_PUCCH ()F ?：高层配置，每个一个配置的Each F_PUCCH ()F ?值都是格式UCI1a 的相对值，其中UCI1a
不做调整，具体配置范围参见表5.4-1 [3]。 ?
()n h ：PUCCH 格式关系值，其中CQI n 对应信道质量信息比特如5.2.3.3 [4]，HARQ n HARQ 比特数。
o 对于PUCCH 格式1,1a and 1b ： ()
0,=HARQ CQI n n h o 对于PUCCH 格式2, 2a, 2b 和正常CP 情况下：
()
??
??
?≥???
?
??=otherwise 04if 4log 10,10CQI CQI HARQ CQI n n n n h o 对于PUCCH 格式2和扩展CP 情况下： ()
??
???≥+???
?
??+=otherwise 04if 4log 10,10HARQ CQI HARQ CQI HARQ CQI n n n n n n h ? O_PUCCH P ：是高层配置，等于PUCCH O_NOMINAL_P +O_UE_PUCCH P 。
?
PUCCH δ：是UE 专属修正参数，对应于TPC 命令，包括在DCI 1A/1B/1D/1/2A/2或者DCI 3/3A 中，他们的
CRC 分别用C-RNTI 或者TPC-PUCCH-RNTI 。
o UE 会在PDCCH 中检测DCI 3/3A 或者DCI1A/1B/1D/1/2A/2的TPC 命令，除非在DRX 状态。 o 如果UE 检测PDCCH 中DCI 1A/1B/1D/1/2A/2的TPC 成功，UE 使用PUCCH δ调整发送功率值
否则
?
如果UE 检测DCI 3/3A 成功，UE 利用TPC 的PUCCH δ调整，否则PUCCH δ = 0 dB.
o
∑-=-+-=10
)()1()(M m m PUCCH k i i g i g δ，其中)(i g 是当前帧PUCCH 的发送功率的调整值大小，
?
在FDD 情况下,
1=M and 40=k .