ETSI TS 138 214 V15.9.0 (2020-04)

ETSI TS 138 214 V15.9.0 (2020-04)






TECHNICAL SPECIFICATION
5G;
NR;
Physical layer procedures for data
(3GPP TS 38.214 version 15.9.0 Release 15)

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3GPP TS 38.214 version 15.9.0 Release 15 1 ETSI TS 138 214 V15.9.0 (2020-04)



Reference
RTS/TSGR-0138214vf90
Keywords
5G
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3GPP TS 38.214 version 15.9.0 Release 15 2 ETSI TS 138 214 V15.9.0 (2020-04)
Intellectual Property Rights
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Legal Notice
This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP).
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"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
ETSI

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3GPP TS 38.214 version 15.9.0 Release 15 3 ETSI TS 138 214 V15.9.0 (2020-04)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 5
1 Scope . 6
2 References . 6
3 Definitions, symbols and abbreviations . 7
3.1 Definitions . 7
3.2 Symbols . 7
3.3 Abbreviations . 7
4 Power control . 8
4.1 Power allocation for downlink . 8
5 Physical downlink shared channel related procedures . 9
5.1 UE procedure for receiving the physical downlink shared channel . 9
5.1.1 Transmission schemes . 10
5.1.1.1 Transmission scheme 1 . 10
5.1.2 Resource allocation . 10
5.1.2.1 Resource allocation in time domain . 10
5.1.2.1.1 Determination of the resource allocation table to be used for PDSCH. 11
5.1.2.2 Resource allocation in frequency domain . 14
5.1.2.2.1 Downlink resource allocation type 0 . 15
5.1.2.2.2 Downlink resource allocation type 1 . 15
5.1.2.3 Physical resource block (PRB) bundling. 16
5.1.3 Modulation order, target code rate, redundancy version and transport block size determination . 17
5.1.3.1 Modulation order and target code rate determination . 19
5.1.3.2 Transport block size determination . 22
5.1.4 PDSCH resource mapping . 25
5.1.4.1 PDSCH resource mapping with RB symbol level granularity . 25
5.1.4.2 PDSCH resource mapping with RE level granularity . 26
5.1.5 Antenna ports quasi co-location. 27
5.1.6 UE procedure for receiving downlink reference signals . 29
5.1.6.1 CSI-RS reception procedure. 29
5.1.6.1.1 CSI-RS for tracking . 30
5.1.6.1.2 CSI-RS for L1-RSRP computation . 31
5.1.6.1.3 CSI-RS for mobility . 31
5.1.6.2 DM-RS reception procedure . 32
5.1.6.3 PT-RS reception procedure . 33
5.1.7 Code block group based PDSCH transmission . 35
5.1.7.1 UE procedure for grouping of code blocks to code block groups . 35
5.1.7.2 UE procedure for receiving code block group based transmissions . 35
5.2 UE procedure for reporting channel state information (CSI) . 36
5.2.1 Channel state information framework. 36
5.2.1.1 Reporting settings . 36
5.2.1.2 Resource settings . 36
5.2.1.3 (void) . 37
5.2.1.4 Reporting configurations . 37
5.2.1.4.1 Resource Setting configuration . 39
5.2.1.4.2 Report Quantity Configurations . 40
5.2.1.4.3 L1-RSRP Reporting . 42
5.2.1.5 Triggering/activation of CSI Reports and CSI-RS . 42
5.2.1.5.1 Aperiodic CSI Reporting/Aperiodic CSI-RS . 42
5.2.1.5.2 Semi-persistent CSI/Semi-persistent CSI-RS . 43
5.2.1.6 CSI processing criteria . 45
ETSI

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3GPP TS 38.214 version 15.9.0 Release 15 4 ETSI TS 138 214 V15.9.0 (2020-04)
5.2.2 Channel state information . 46
5.2.2.1 Channel quality indicator (CQI) . 46
5.2.2.1.1 (void) . 48
5.2.2.2 Precoding matrix indicator (PMI) . 48
5.2.2.2.1 Type I Single-Panel Codebook . 48
5.2.2.2.2 Type I Multi-Panel Codebook . 54
5.2.2.2.3 Type II Codebook . 58
5.2.2.2.4 Type II Port Selection Codebook . 64
5.2.2.3 Reference signal (CSI-RS) . 67
5.2.2.3.1 NZP CSI-RS . 67
5.2.2.4 Channel State Information – Interference Measurement (CSI-IM) . 68
5.2.2.5 CSI reference resource definition . 69
5.2.3 CSI reporting using PUSCH . 70
5.2.4 CSI reporting using PUCCH . 72
5.2.5 Priority rules for CSI reports. 73
5.3 UE PDSCH processing procedure time . 73
5.4 UE CSI computation time . 75
6 Physical uplink shared channel related procedure . 76
6.1 UE procedure for transmitting the physical uplink shared channel . 76
6.1.1 Transmission schemes . 77
6.1.1.1 Codebook based UL transmission . 77
6.1.1.2 Non-Codebook based UL transmission . 78
6.1.2 Resource allocation . 79
6.1.2.1 Resource allocation in time domain . 79
6.1.2.1.1 Determination of the resource allocation table to be used for PUSCH. 80
6.1.2.2 Resource allocation in frequency domain . 82
6.1.2.2.1 Uplink resource allocation type 0 . 83
6.1.2.2.2 Uplink resource allocation type 1 . 83
6.1.2.3 Resource allocation for uplink transmission with configured grant . 84
6.1.3 UE procedure for applying transform precoding on PUSCH . 85
6.1.4 Modulation order, redundancy version and transport block size determination . 85
6.1.4.1 Modulation order and target code rate determination . 87
6.1.4.2 Transport block size determination . 90
6.1.5 Code block group based PUSCH transmission . 91
6.1.5.1 UE procedure for grouping of code blocks to code block groups . 91
6.1.5.2 UE procedure for transmitting code block group based transmissions . 92
6.2 UE reference signal (RS) procedure . 92
6.2.1 UE sounding procedure . 92
6.2.1.1 UE SRS frequency hopping procedure . 95
6.2.1.2 UE sounding procedure for DL CSI acquisition . 96
6.2.1.3 UE sounding procedure between component carriers . 96
6.2.2 UE DM-RS transmission procedure . 98
6.2.3 UE PT-RS transmission procedure . 99
6.2.3.1 UE PT-RS transmission procedure when transform precoding is not enabled . 99
6.2.3.2 UE PT-RS transmission procedure when transform precoding is enabled . 101
6.3 UE PUSCH frequency hopping procedure . 102
6.4 UE PUSCH preparation procedure time . 103
Annex A (informative): Change history . 105
History . 108

ETSI

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3GPP TS 38.214 version 15.9.0 Release 15 5 ETSI TS 138 214 V15.9.0 (2020-04)
Foreword
This Technical Specification 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 the present document, it will be re-released by the TSG with an
identifying change of release date and an increase in version number as follows:
Version x.y.z
where:
x the first digit:
1 presented to TSG for information;
2 presented to TSG for approval;
3 or greater indicates TSG approved document under change control.
y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
updates, etc.
z the third digit is incremented when editorial only changes have been incorporated in the document.

ETSI

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3GPP TS 38.214 version 15.9.0 Release 15 6 ETSI TS 138 214 V15.9.0 (2020-04)
1 Scope
The present document specifies and establishes the characteristics of the physicals layer procedures of data channels for
5G-NR.
2 References
The following documents contain provisions which, through reference in this text, constitute provisions of the present
document.
[1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications"
[2] 3GPP TS 38.201: " NR; Physical Layer – General Description"
[3] 3GPP TS 38.202: "NR; Services provided by the physical layer"
[4] 3GPP TS 38.211: "NR; Physical channels and modulation"
[5] 3GPP TS 38.212: "NR; Multiplexing and channel coding"
[6] 3GPP TS 38.213: "NR; Physical layer procedures for control"
[7] 3GPP TS 38.215: "NR; Physical layer measurements"
[8] 3GPP TS 38.101: "NR; User Equipment (UE) radio transmission and reception"
[9] 3GPP TS 38.104: "NR; Base Station (BS) radio transmission and reception"
[10] 3GPP TS 38.321: "NR; Medium Access Control (MAC) protocol specification"
[11] 3GPP TS 38.133: "NR; Requirements for support of radio resource management"
[12] 3GPP TS 38.331: "NR; Radio Resource Control (RRC); Protocol specification"
[13] 3GPP TS 38.306: "NR; User Equipment (UE) radio access capabilities"
[14] 3GPP TS 38.423: "NG-RAN; Xn signalling transport"
[15] 3GPP TS 36.211: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical channels and
modulation"

ETSI

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3GPP TS 38.214 version 15.9.0 Release 15 7 ETSI TS 138 214 V15.9.0 (2020-04)
3 Definitions, symbols and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in TR 21.905 [1] and the following apply. A
term defined in the present document takes precedence over the definition of the same term, if any, in TR 21.905 [1].
3.2 Symbols
For the purposes of the present document, the following symbols apply:
3.3 Abbreviations
For the purposes of the present document, the abbreviations given in TR 21.905 [1] and the following apply. An
abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any, in
TR 21.905 [1].
BWP Bandwidth part
CBG Code block group
CP Cyclic prefix
CQI Channel quality indicator
CPU CSI processing unit
CRB Common resource block
CRC Cyclic redundancy check
CRI CSI-RS Resource Indicator
CSI Channel state information
CSI-RS Channel state information reference signal
CSI-RSRP CSI reference signal received power
CSI-RSRQ CSI reference signal received quality
CSI-SINR CSI signal-to-noise and interference ratio
CW Codeword
DCI Downlink control information
DL Downlink
DM-RS Dedicated demodulation reference signals
EPRE Energy per resource element
L1-RSRP Layer 1 reference signal received power
LI Layer Indicator
MCS Modulation and coding scheme
PDCCH Physical downlink control channel
PDSCH Physical downlink shared channel
PSS Primary Synchronisation signal
PUCCH Physical uplink control channel
QCL Quasi co-location
PMI Precoding Matrix Indicator
PRB Physical resource block
PRG Precoding resource block group
PT-RS Phase-tracking reference signal
RB Resource block
RBG Resource block group
RI Rank Indicator
RIV Resource indicator value
RS Reference signal
SLIV Start and length indicator value
SR Scheduling Request
SRS Sounding reference signal
SS Synchronisation signal
SSS Secondary Synchronisation signal
SS-RSRP SS reference signal received power
ETSI

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3GPP TS 38.214 version 15.9.0 Release 15 8 ETSI TS 138 214 V15.9.0 (2020-04)
SS-RSRQ SS reference signal received quality
SS-SINR SS signal-to-noise and interference ratio
TB Transport Block
TCI Transmission Configuration Indicator
TDM Time division multiplexing
UE User equipment
UL Uplink
4 Power control
4.1 Power allocation for downlink
The gNB determines the downlink transmit EPRE.
For the purpose of SS-RSRP, SS-RSRQ and SS-SINR measurements, the UE may assume downlink EPRE is constant
across the bandwidth. For the purpose of SS-RSRP, SS-RSRQ and SS-SINR measurements, the UE may assume
downlink EPRE is constant over SSS carried in different SS/PBCH blocks. For the purpose of SS-RSRP, SS-RSRQ and
SS-SINR measurements, the UE may assume that the ratio of SSS EPRE to PBCH DM-RS EPRE is 0 dB.
For the purpose of CSI-RSRP, CSI-RSRQ and CSI-SINR measurements, the UE may assume downlink EPRE of a port
of CSI-RS resource configuration is constant across the configured downlink bandwidth and constant across all
configured OFDM symbols.
The downlink SS/PBCH SSS EPRE can be derived from the SS/PBCH downlink transmit power given by the parameter
ss-PBCH-BlockPower provided by higher layers. The downlink SSS transmit power is defined as the linear average
over the power contributions (in [W]) of all resource elements that carry the SSS within the operating system
bandwidth.
The downlink CSI-RS EPRE can be derived from the SS/PBCH block downlink transmit power given by the parameter
ss-PBCH-BlockPower and CSI-RS power offset given by the parameter powerControlOffsetSS provided by higher
layers. The downlink reference-signal transmit power is defined as the linear average over the power contributions (in
[W]) of the resource elements that carry the configured CSI-RS within the operating system bandwidth.
For downlink DM-RS associated with PDSCH, the UE may assume the ratio of PDSCH EPRE to DM-RS EPRE (
β
[dB]) is given by Table 4.1-1 according to the number of DM-RS CDM groups without data as described in
DMRS
DMRS
Subclause 5.1.6.2. The DM-RS scaling factor β specified in Subclause 7.4.1.1.2 of [4, TS 38.211] is given by
PDSCH
β
DMRS
−
DMRS
20
β = 10 .
PDSCH
Table 4.1-1: The ratio of PDSCH EPRE to DM-RS EPRE
Number of DM-RS CDM DM-RS configuration type 1 DM-RS configuration type 2
groups without data
1 0 dB 0 dB
2 -3 dB -3 dB
3 - -4.77 dB

When the UE is scheduled with a PT-RS port associated with the PDSCH,
- if the UE is configured with the higher layer parameter epre-Ratio, the ratio of PT-RS EPRE to PDSCH EPRE
per layer per RE for PT-RS port ( ρ ) is given by Table 4.1-2 according to the epre-Ratio, the PT-RS scaling
PTRS
ρ
PTRS
20
factor β specified in subclause 7.4.1.2.2 of [4, TS 38.211] is given by β = 10 .
PTRS PTRS
- otherwise, the UE shall assume epre-Ratio is set to state '0' in Table 4.1-2 if not configured.
ETSI

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3GPP TS 38.214 version 15.9.0 Release 15 9 ETSI TS 138 214 V15.9.0 (2020-04)
Table 4.1-2: PT-RS EPRE to PDSCH EPRE per layer per RE ( ρ )
PTRS
The number of PDSCH layers
epre-Ratio
1 2 3 4 5 6
0 0 3 4.77 6 7 7.78
1 0 0 0 0 0 0
2 reserved
3 reserved

For link recovery, as described in clause 6 of [6, TS 38.213] the ratio of the PDCCH EPRE to NZP CSI-RS EPRE is
assumed as 0 dB.
5 Physical downlink shared channel related procedures
5.1 UE procedure for receiving the physical downlink shared
channel
For downlink, a maximum of 16 HARQ processes per cell is supported by the UE. The number of processes the UE
may assume will at most be used for the downlink is configured to the UE for each cell separately by higher layer
parameter nrofHARQ-ProcessesForPDSCH, and when no configuration is provided the UE may assume a default
number of 8 processes.
A UE shall upon detection of a PDCCH with a configured DCI format 1_0 or 1_1 decode the corresponding PDSCHs
as indicated by that DCI. For any HARQ process ID(s) in a given scheduled cell, the UE is not expected to receive a
PDSCH that overlaps in time with another PDSCH. The UE is not expected to receive another PDSCH for a given
HARQ process until after the end of the expected transmission of HARQ-ACK for that HARQ process, where the
timing is given by Subclause 9.2.3 of [6]. In a given scheduled cell, the UE is not expected to receive a first PDSCH in
slot i, with the corresponding HARQ-ACK assigned to be transmitted in slot j, and a second PDSCH starting later than
the first PDSCH with its corresponding HARQ-ACK assigned to be transmitted in a slot before slot j. For any two
HARQ process IDs in a given scheduled cell, if the UE is scheduled to start receiving a first PDSCH starting in symbol
j by a PDCCH ending in symbol i, the UE is not expected to be scheduled to receive a PDSCH starting earlier than the
end of the first PDSCH with a PDCCH that ends later than symbol i. In a given scheduled cell, for any PDSCH
corresponding to SI-RNTI, the UE is not expected to decode a re-transmission of an earlier PDSCH with a starting
symbol less than N symbols after the last
...