3rd Generation Partnership Project;

3GPP TS 38.214
Technical Specification Group Radio Access Network;
V15.0.0 (2017-12)
NR;
Technical Specification
Physical layer procedures for data
(Release 15)

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 Organizational Partners and shall not be implemented.
This Specification is provided for future development work within 3GPP only. The Organizational 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 Organizational Partners' Publications Offices.
Release 15 2 3GPP TS 38.214 V15.0.0 (2017-12)

Keywords
3GPP, New Radio, Layer 1

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3GPP
Release 15 3 3GPP TS 38.214 V15.0.0 (2017-12)

Contents
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....................................................................................................................................9
5.1.1.1 Transmission scheme 1.............................................................................................................................9
5.1.2 Resource allocation......................................................................................................................................10
5.1.2.1 Resource allocation in time domain.......................................................................................................10
5.1.2.2 Resource allocation in frequency domain..............................................................................................10
5.1.2.2.1 Downlink resource allocation type 0................................................................................................10
5.1.2.2.2 Downlink resource allocation type 1................................................................................................11
5.1.2.3 Physical resource block (PRB) bundling................................................................................................11
5.1.3 Modulation order, target code rate, and transport block size determination................................................12
5.1.3.1 Modulation order and target code rate determination............................................................................12
5.1.3.2 Transport block size determination........................................................................................................14
5.1.4 PDSCH resource mapping...........................................................................................................................17
5.1.4.1 PDSCH resource mapping with RB symbol level granularity...............................................................17
5.1.4.2 PDSCH resource mapping with RE level granularity............................................................................18
5.1.5 Antenna ports quasi-colocation....................................................................................................................18
5.1.6 UE procedure for receiving downlink reference signals..............................................................................19
5.1.6.1 CSI-RS reception procedure...................................................................................................................19
5.1.6.1.1 CSI-RS for tracking..........................................................................................................................19
5.1.6.1.2 CSI-RS for L1-RSRP computation...................................................................................................19
5.1.6.2 DM-RS reception procedure..................................................................................................................20
5.1.6.3 PT-RS reception procedure.....................................................................................................................21
5.2 UE procedure for reporting channel state information (CSI)............................................................................23
5.2.1 Channel state information framework..........................................................................................................23
5.2.1.1 Reporting settings...................................................................................................................................24
5.2.1.2 Resource settings....................................................................................................................................24
5.2.1.3 Measurement link...................................................................................................................................24
5.2.1.4 Reporting configurations........................................................................................................................25
5.2.1.4.1 Resource Setting configuration.........................................................................................................26
5.2.1.4.2 Non-PMI port indication..................................................................................................................27
5.2.1.5 CSI selection and activation...................................................................................................................27
5.2.1.5.1 Aperiodic CSI...................................................................................................................................27
5.2.1.5.2 Semi-persistent CSI..........................................................................................................................28
5.2.2 Channel state information............................................................................................................................28
5.2.2.1 Channel quality indicator (CQI).............................................................................................................28
5.2.2.1.1 CSI reference resource definition.....................................................................................................30
5.2.2.2 Precoding matrix indicator (PMI)..........................................................................................................31
5.2.2.2.1 Type I Single-Panel Codebook.........................................................................................................31
5.2.2.2.2 Type I Multi-Panel Codebook..........................................................................................................38
5.2.2.2.3 Type II Codebook.............................................................................................................................42
5.2.2.2.4 Type II Port Selection Codebook......................................................................................................48
5.2.2.3 Reference signal (CSI-RS).....................................................................................................................51
5.2.2.3.1 Non-zero power CSI-RS...................................................................................................................51
5.2.2.4 Channel State Information – Interference Measurement (CSI-IM).......................................................52

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Release 15 4 3GPP TS 38.214 V15.0.0 (2017-12)

5.2.3 CSI reporting using PUSCH........................................................................................................................52

5.2.4 CSI reporting using PUCCH........................................................................................................................54
5.2.5 Priority rules for CSI reports........................................................................................................................54
5.3 UE PDSCH processing procedure time.............................................................................................................55
6 Physical uplink shared channel related procedure................................................................................55
6.1 UE procedure for transmitting the physical uplink shared channel...................................................................56
6.1.1 Transmission schemes..................................................................................................................................56
6.1.1.1 Codebook based UL transmission..........................................................................................................56
6.1.1.2 Non-Codebook based UL transmission..................................................................................................56
6.1.2 Resource allocation......................................................................................................................................57
6.1.2.1 Resource allocation in time domain.......................................................................................................57
6.1.2.2 Resource allocation in frequency domain..............................................................................................57
6.1.2.2.1 Uplink resource allocation type 0.....................................................................................................57
6.1.2.2.2 Uplink resource allocation type 1.....................................................................................................58
6.1.2.3 Resource allocation for uplink transmission without grant....................................................................58
6.1.3 UE procedure for applying transform precoding on PUSCH......................................................................59
6.1.4 Modulation order, redundancy version and transport block size determination..........................................60
6.1.4.1 Modulation order and target code rate determination............................................................................60
6.1.4.2 Transport block size determination........................................................................................................61
6.2 UE reference symbol (RS) procedure................................................................................................................62
6.2.1 UE sounding procedure................................................................................................................................62
6.2.1.1 UE frequency hopping...........................................................................................................................65
6.2.1.2 UE antenna switching.............................................................................................................................66
6.2.1.3 UE sounding procedure between component carriers............................................................................66
6.2.2 UE DM-RS transmission procedure............................................................................................................66
6.2.3 UE PT-RS transmission procedure...............................................................................................................67
6.3 UE PUSCH hopping procedure.........................................................................................................................69
6.4 UE PUSCH preparation procedure time............................................................................................................70

Annex A (informative): Change history................................................................................................71

3GPP
Release 15 5 3GPP TS 38.214 V15.0.0 (2017-12)

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.

3GPP
Release 15 6 3GPP TS 38.214 V15.0.0 (2017-12)

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"

3GPP
Release 15 7 3GPP TS 38.214 V15.0.0 (2017-12)

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].

CQI Channel quality indicator

CP Cyclic prefix
CRC Cyclic redundancy version
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
MCS Modulation and coding scheme
PDCCH Physical downlink control channel
PDSCH Physical downlink shared channel
PUCCH Physical uplink control channel
QCL Quasi-collocation
PMI Precoding Matrix Indicator
PRB Physical resource block
PRG Physical resource block group
PT-RS Phase-tracking reference signal
RB Resource block
RBG Resource block group
RI Rank Indicator
RIV Resource indicator value
SLI Strongest Layer Indicator
SRS Sounding reference signal
SS Synchronisation signal
SS-RSRP SS reference signal received power
SS-RSRQ SS reference signal received quality
SS-SINR SS signal-to-noise and interference ratio
TCI Transmission Configuration Indicator
TDM Time division multiplexing
UE User equipment
UL Uplink

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Release 15 8 3GPP TS 38.214 V15.0.0 (2017-12)

4 Power control

4.1 Power allocation for downlink

The gNodeB determines the downlink transmit energy per resource element.

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 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 Pc_SS 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 with PDSCH, the UE may assume the ratio of NR- PDSCH EPRE to DM-RS EPRE (  DMRS
[dB]) is as shown in Table 4.1-1 according to the number of DM-RS CDM groups without data as defined in [5, TS
38.212] used signalled by DCI.

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

PTRS ,i
When the UE is scheduled with NPTRS PT-RS ports in downlink and the PT-RS port i is associated to nDMRS DM-RS
ports,

- if the UE is configured with the higher layer parameter epre-RATIO, the ratio of PDSCH EPRE to PT-RS EPRE
per layer per RE for PT-RS port i (  PTRS ,i ) is given by

 PTRS ,i  10 log10 ( N PTRS )   PTRS ,i , [dB]

where  PTRS ,i is as shown in the Table 4.1-2 according to the epre-RATIO

- the UE shall assume epre-RATIO is set to state '00' in Table 4.1-2 if not configured.

Table 4.1-2: PDSCH EPRE to PT-RS EPRE per layer per RE for PT-RS port i (  PTRS ,i )

PDSCH-to- The number of DM-RS ports associated to PT-RS port i, ( n DMRS )

PTRS ,i
PT-RS EPRE
ratio 1 2 3 4 5 6
00 0 3 4.77 6 7 7.78
01 0 0 0 0 0 0
10 reserved
11 reserved

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Release 15 9 3GPP TS 38.214 V15.0.0 (2017-12)

5 Physical downlink shared channel related procedures

5.1 UE procedure for receiving the physical downlink shared

channel
For downlink, a maximum of16 HARQ processes in supported. 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.

A UE shall upon detection of a PDCCH with a configured DCI format decode the corresponding PDSCHs as indicated
by that DCI.

[If a UE is configured to decode PDCCH with the CRC scrambled with the [C-RNTI], the UE shall decode the PDCCH
and corresponding PDSCH.]

If the UE has received no SSB-transmitted through higher layer signalling about SS/PBCH block transmissions in the
serving cell, the UE assumes SS/PBCH block transmission according to SSB-transmitted-SIB1, and if the PDSCH
resource allocation overlaps with the SS/PBCH block transmission resources the UE shall determine that PDSCH is rate
matched around them. The UE assumes the periodicity of the SS/PBCH block transmission resources based on SSB-
periodicity-serving-cell.

If the UE has received a SSB-transmitted through higher layer signalling about SS/PBCH block transmissions in the
serving cell, the   UE   assumes   SS/PBCH   block   transmission   according   to   the  SSB-transmitted, and if the PDSCH
resource allocation overlaps with the SS/PBCH block transmission resources the UE shall assume that PDSCH is rate
matched around them. The UE assumes the periodicity of the SS/PBCH block transmission resources based on SSB-
periodicity-serving-cell.

When receiving the PDSCH conveying [SystemInformationBlockType1], a UE shall not assume that any SS/PBCH
block is transmitted in REs used by the UE for a reception of the PDSCH.

When receiving the PDSCH conveying [RAR, OSI, Paging, Msg4], the UE assumes SS/PBCH block transmission
according to SSB-transmitted-SIB1, and if the PDSCH resource allocation overlaps with the SS/PBCH block
transmission resources the UE shall assume that PDSCH is rate matched around them.

When receiving PDSCH for RMSI or broadcasted Other System Info the UE may assume that the DM-RS port of
PDSCH is quasi co-located with the associated SS/PBCH block with respect to [spatial RX parameters].

When receiving PDSCH for Random Access Response the UE may assume that the DM-RS port of PDSCH is quasi co-
located with the SS/PBCH block the UE selected for RACH association and transmission, as defined in Subclause
[TBD] of [6, TS 38.213], with respect to [spatial RX parameters].

When receiving PDSCH conveying Msg4 of Random Access Procedure the UE may assume that the DM-RS port of
PDSCH is quasi co-located with the SS/PBCH block the UE selected for RACH association and transmission, as
defined in Subclause [TBD] of [6, TS 38.213], with respect to [spatial RX parameters].

If the UE is not configured for PUSCH/PUCCH transmission for at least one serving cell configured with slot formats
comprised of DL and UL symbols, and if the UE is not capable of simultaneous reception and transmission on serving
cell c1 and serving cell c2, the UE is not expected to receive PDSCH on serving cell c1 if the PDSCH overlaps in time
with SRS transmission (including any interruption due to uplink or downlink RF retuning time [10]) on serving cell c2
not configured for PUSCH/PUCCH transmission.

5.1.1 Transmission schemes

5.1.1.1 Transmission scheme 1

For transmission scheme 1 of the PDSCH, the UE may assume that a gNB transmission on the PDSCH would be
performed with up to 8 transmission layers on antenna ports [1000-1011] as defined in Subclause 7.3.1.4 of [4, TS
38.211]. For the multi-user MIMO transmission of the PDSCH, the UE may assume that a gNB transmission on the
PDSCH would be performed with up to 4 layers on antenna ports as defined in Subclause 7.3.1.4 of [4, TS 38.211 [4].

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Release 15 10 3GPP TS 38.214 V15.0.0 (2017-12)

5.1.2 Resource allocation

5.1.2.1 Resource allocation in time domain

When the UE is scheduled to receive PDSCH by a DCI, the Time-domain PDSCH resources field of the DCI provides a
row index of an RRC configured table [pdsch-symbolAllocation], where the indexed row defines the slot offset K0, the
start and length indicator SLIV, and the PDSCH mapping type to be assumed in the PDSCH reception.

- The slot allocated for the PDSCH is determined by K0 of the indexed row n+K0, where n is the slot with the
scheduling DCI, K0 is based on the numerology of PDSCH, and

- The starting symbol S relative to [the start of the slot], and the number of consecutive symbols L counting from
the symbol S allocated for the PDSCH are determined from the start and length indicator SLIV of the indexed
row:

if ( L  1)  7 then

SLIV  14  ( L  1)  S

else

SLIV  14  (14  L  1)  (14  1  S )

where 0  L  14  S , and

- The PDSCH mapping type is set to Type A or Type B as defined in sub-clause 7.4.1.1.2 [4, TS 38.211] as given
by the indexed row.

When the UE is configured with aggregation-factor-DL > 1, the same symbol allocation is applied across the
aggregation-factor-DL consecutive slots not defined as UL by the slot format indication.

5.1.2.2 Resource allocation in frequency domain

The UE shall determine the resource block assignment in frequency domain using the resource allocation field in the
detected PDCCH DCI. Two downlink resource allocation schemes type 0 and type 1 are supported. The UE may
assume that when the scheduling grant is received with DCI format 1_0 downlink resource allocation type 1 is used.

If the scheduling DCI is configured to indicated the downlink resource allocation type as part of the Frequency-
domainPDSCHresource field, the UE shall use downlink resource allocation type 0 or type 1 as defined by this field.
Otherwise the UE shall use the downlink frequency resource allocation type as defined by the RRC configured
parameter Resource-allocation-config for PDSCH.

The RB indexing for downlink type 0 and type 1 resource allocation is determined within the UE's active carrier
bandwidth part, and the UE shall upon detection of PDCCH intended for the UE determine first the downlink carrier
bandwidth part and then the resource allocation within the carrier bandwidth part.

5.1.2.2.1 Downlink resource allocation type 0

In downlink resource allocation of type 0, the resource block assignment information includes a bitmap indicating the
Resource Block Groups (RBGs) that are allocated to the scheduled UE where a RBG is a set of consecutive physical
resource blocks defined by higher layer parameter [RBG size configuration downlink] and the size of the carrier
bandwidth part as defined in Table 5.1.2.2.1-1.

Table 5.1.2.2.1-1: Nominal RBG size P

Carrier Bandwidth Part Size Configuration 1 Configuration 2

[1st Range of RBs] P = [one of {2, 4, 8, 16}] P = [one of {2, 4, 8, 16}]
[2nd Range of RBs] P = [one of {2, 4, 8, 16}] P = [one of {2, 4, 8, 16}]
[3rd Range of RBs] P = [one of {2, 4, 8, 16}] P = [one of {2, 4, 8, 16}]
[4th Range of RBs] P = [one of {2, 4, 8, 16}] P = [one of {2, 4, 8, 16}]

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Release 15 11 3GPP TS 38.214 V15.0.0 (2017-12)

size
The total number of RBGs ( N RBG ) for a downlink carrier bandwidth part of size N BWP PRBs is given by
N RBG   N BWP / P where  N BWP / P  of the RBGs are of size P and if N BWP mod P  0 then one of the RBGs
size size size

is of size
size
N BWP  P   N BWP
size
/ P  . The bitmap is of size N RBG bits with one bitmap bit per RBG such that each RBG
is addressable. The RBGs shall be indexed in the order of increasing frequency and non-increasing RBG sizes starting
at the lowest frequency of the carrier bandwidth part. The order of RBG bitmap is such that RBG 0 to RBG N RBG  1
are mapped from MSB to LSB. The RBG is allocated to the UE if the corresponding bit value in the bitmap is 1, the
RBG is not allocated to the UE otherwise.

5.1.2.2.2 Downlink resource allocation type 1

In downlink resource allocation of type 1, the resource block assignment information indicates to a scheduled UE a set
of contiguously allocated localized or distributed virtual resource blocks within the active carrier bandwidth part of size
size
N BWP PRBs.

A downlink type 1 resource allocation field consists of a resource indication value (RIV) corresponding to a starting
virtual resource block ( RB start ) and a length in terms of contiguously allocated resource blocks L RBs . The resource
indication value is defined by

size
if ( L RBs  1)  N BWP /2  then

size
RIV  N BWP ( L RBs  1)  RB start

else
size size size
RIV  N BWP ( N BWP  L RBs  1)  ( N BWP  1  RB start )

where L RBs  1 and shall not exceed N BWP  RBstart .

size

5.1.2.3 Physical resource block (PRB) bundling

A UE may assume that precoding granularity is multiple resource blocks in the frequency domain.

Precoding Resource Block Group (PRGs) of size PBWP  .i partition the carrier bandwidth part i and each PRG consists
of consecutive PRBs, which can be one of the values among {2, 4, scheduled bandwidth}.

If a UE is configured with PRG of "scheduled BW", the UE is not expected to be scheduled with non-contiguous
resource allocation.

The PRG for each carrier bandwidth part is configured by the higher layer parameter prbBundling and pdsch-
BundleSsize, otherwise the PRG size is equal to 2 PRBs.
' start '
The first PRG size is given by PBWP,i  N BWP, i mod PBWP and the last PRG size given by
start size '
( N BWP ,i  N BWP ,i ) mod PBWP ,i .

If the higher layer parameter prbBundling is set to 'ON', the higher-layer parameter pdsch-BundleSize configures two
sets of PRG values, the first set includes one or two PRG values among {2,4, scheduled bandwidth}, and the second set
includes one PRG value.

- If the PRB bundling size indicator signalled in DCI format 1_1 as defined in Subclause 7.3.1.2.2 of [2, TS
38.212] is set to '0', the UE shall use the PRG value from the second set of PRG values.

- If the PRB bundling size indicator signalled in DCI format 1_1 as defined in Subclause 7.3.1.2.2 of [2, TS
38.212] is set to '1' and one value is configured for the first set of PRG values, the UE shall use this PRG value.

- If the PRB bundling size indicator signalled in DCI format 1_1 as defined in Subclause 7.3.1.2.2 of [2, TS
38.212] is set to '1' and two values are configured for the first set of PRG values as (2, scheduled BW) or (4,
scheduled BW), the PRG is determined based on the minimum number of contiguous scheduled PRBs as:

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Release 15 12 3GPP TS 38.214 V15.0.0 (2017-12)

- The UE is not expected to be configured with (2, 4).

size
- If the scheduled PRBs are contiguous and the size of the scheduled PRBs is larger than N BWP ,i / 2 , the PRG is
the same as the scheduled bandwidth, otherwise, the PRG is set to the remaining configured value of 2 or 4,
respectively.

If the higher layer parameter prbBundling is set to 'OFF', the PRG value is configured by the higher-layer parameter
pdschBundleSize.

 .i = 4.
When a UE is configured with RBG = 2, the UE is not expected to be configured with PBWP

5.1.3 Modulation order, target code rate, and transport block size
determination
To determine the modulation order, target code rate, and transport block size(s) in the physical downlink shared channel,
the UE shall first
- read the 5-bit "modulation and coding scheme" field (IMCS) in the DCI to determine the modulation order (Qm)
and target code rate (R) based on the procedure defined in Subclause 5.1.3.1.

and second
- the UE shall use the number of layers (ʋ), the total number of allocated PRBs before rate matching (nPRB) to
determine to the transport block size based on the procedure defined in Subclause 5.1.3.2.

The UE may skip decoding a transport block in an initial transmission if the effective channel code rate is higher than
0.95, 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. If the UE skips decoding, the physical layer indicates to
higher layer that the transport block is not successfully decoded.

5.1.3.1 Modulation order and target code rate determination

For the PDSCH assigned by a PDCCH with DCI format 1_0/1_1 with CRC scrambled by C-RNTI,

if the higher layer parameter MCS-Table-PDSCH is not set to '256QAM',

- the UE shall use IMCS and Table 5.1.3.1-1 to determine the modulation order (Qm) and Target code rate (R) used in
the physical downlink shared channel.

else

- the UE shall use IMCS and Table 5.1.3.1-2 to determine the modulation order (Qm) and Target code rate (R) used in
the physical downlink shared channel.

end

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Release 15 13 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.1.3.1-1: MCS index table 1 for PDSCH

Modulation Spectral
MCS Index Target code Rate x [1024]
Order efficiency
IMCS R
Qm
0 2 120 0.2344
1 2 157 0.3066
2 2 193 0.3770
3 2 251 0.4902
4 2 308 0.6016
5 2 379 0.7402
6 2 449 0.8770
7 2 526 1.0273
8 2 602 1.1758
9 2 679 1.3262
10 4 340 1.3281
11 4 378 1.4766
12 4 434 1.6953
13 4 490 1.9141
14 4 553 2.1602
15 4 616 2.4063
16 4 658 2.5703
17 6 438 2.5664
18 6 466 2.7305
19 6 517 3.0293
20 6 567 3.3223
21 6 616 3.6094
22 6 666 3.9023
23 6 719 4.2129
24 6 772 4.5234
25 6 822 4.8164
26 6 873 5.1152
27 6 910 5.3320
28 6 948 5.5547
29 2 reserved
30 4 reserved
31 6 reserved

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Release 15 14 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.1.3.1-2: MCS index table 2 for PDSCH

Modulation Spectral
MCS Index Target code Rate x [1024]
Order efficiency
IMCS R
Qm
0 2 120 0.2344
1 2 193 0.3770
2 2 308 0.6016
3 2 449 0.8770
4 2 602 1.1758
5 4 378 1.4766
6 4 434 1.6953
7 4 490 1.9141
8 4 553 2.1602
9 4 616 2.4063
10 4 658 2.5703
11 6 466 2.7305
12 6 517 3.0293
13 6 567 3.3223
14 6 616 3.6094
15 6 666 3.9023
16 6 719 4.2129
17 6 772 4.5234
18 6 822 4.8164
19 6 873 5.1152
20 8 682.5 5.3320
21 8 711 5.5547
22 8 754 5.8906
23 8 797 6.2266
24 8 841 6.5703
25 8 885 6.9141
26 8 916.5 7.1602
27 8 948 7.4063
28 2 reserved
29 4 reserved
30 6 reserved
31 8 reserved

5.1.3.2 Transport block size determination

For the PDSCH assigned by a PDCCH with DCI format 1_0/1_1 with CRC scrambled by C-RNTI,

if the higher layer parameter MCS-Table-PDSCH is set to '256QAM' is configured and 0  I MCS  27 , or the higher
layer parameter MCS-Table-PDSCH is not set to '256QAM' configured and 0  I MCS  28 , the UE shall first
determine the TBS as specified below:

1) The UE shall first determine the number of REs (NRE) within the slot.
'
- A UE first determines the number of REs allocated for PDSCH within a PRB ( N RE ) by
' RB sh PRB PRB RB
N RE  N sc  N symb  N DMRS  N oh , where N sc  12 is the number of subcarriers in the frequency
sh
domain in a physical resource block, N symb is the number of scheduled OFDM symbols in a slot,
PRB
N DMRS is the number of REs for DM-RS per PRB in the scheduled duration including the overhead of the
PRB
DM-RS CDM groups indicated by DCI format 1_0/1_1, and N oh is the overhead configured by higher
layer parameter Xoh-PDSCH. If the Xoh-PDSCH is not configured (a value from 0, 6, 12, or 18), the Xoh-
PDSCH is set to 0.
'
- A UE determines the quantized number of REs allocated for PDSCH within a PRB ( N RE by Table 5.1.3.2-
1.

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Release 15 15 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.1.3.2-1: Quantized number of REs allocated for PDSCH within a PRB
' '
N RE N RE
'
N RE 9 6
'
9  N RE  15 12
'
15  N RE  30 18
'
30  N RE  57 42
'
57  N RE  90 72
'
90  N RE  126 108
'
126  N RE  150 144
'
150  N RE 156

'
- A UE determines the total number of REs allocated for PDSCH ( N RE by N RE  N RE  nPRB , where
nPRB is the total number of allocated PRBs for the UE.

2) Intermediate number of information bits (Ninfo) is obtained by N inf o  N RE  R  Qm   .

If N inf o  3824
Use step 3 as the next step of the TBS determination
else
Use step 4 as the next step of the TBS determination
end

3) When N inf o  3824 , TBS is determined as follows

 N 
o  max   infn o   , where
' n
- quantized intermediate number of information bits N inf  24,2
  2 
n  max 3,  log 2  N inf o    6 .
'
- use Table 5.1.3.2-2 find the closest TBS that is not less than N inf o.

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Release 15 16 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.1.3.2-2: TBS for N inf o  3824

Index TBS Index TBS Index TBS Index TBS

1 24 31 336 61 1288 91 3624
2 32 32 352 62 1320 92 3752
3 40 33 368 63 1352 93 3824
4 48 34 384 64 1416
5 56 35 408 65 1480
6 64 36 432 66 1544
7 72 37 456 67 1608
8 80 38 480 68 1672
9 88 39 504 69 1736
10 96 40 528 70 1800
11 104 41 552 71 1864
12 112 42 576 72 1928
13 120 43 608 73 2024
14 128 44 640 74 2088
15 136 45 672 75 2152
16 144 46 704 76 2216
17 152 47 736 77 2280
18 160 48 768 78 2408
19 168 49 808 79 2472
20 176 50 848 80 2536
21 184 51 888 81 2600
22 192 52 928 82 2664
23 208 53 984 83 2728
24 224 54 1032 84 2792
25 240 55 1064 85 2856
26 256 56 1128 86 2976
27 272 57 1160 87 3104
28 288 58 1192 88 3240
29 304 59 1224 89 3368
30 320 60 1256 90 3496

4) When N inf o  3824 , TBS is determined as follows.

' n  N inf o  24 
- quantized intermediate number of information bits N inf o  2  round   , where
 2n 
n   log 2  N inf o  24   5 and ties in the round function are broken towards the next largest integer.
- if R  1 / 4

N'  24   N inf
'
o  24

TBS  8  C   inf o   24 , where C   
 8C   3816 

else
'
if N inf o  8424

N'  24   N inf
'
o  24

TBS  8  C   inf o   24 where C   
 8C   8424 

else

N'  24 
TBS  8   inf o   24
 8 

end

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Release 15 17 3GPP TS 38.214 V15.0.0 (2017-12)

end

else if the higher layer parameter MCS-Table-PDSCH is set to '256QAM' is configured and 28  I MCS  31 ,

- the TBS is assumed to be as determined from the DCI transported in the latest PDCCH for the same transport
block using 0  I MCS  27 . If there is no PDCCH for the same transport block using 0  I MCS  27 ,
and if the initial PDSCH for the same transport block is semi-persistently scheduled, the TBS shall be
determined from the most recent semi-persistent scheduling assignment PDCCH.

else

- the TBS is assumed to be as determined from the DCI transported in the latest PDCCH for the same transport
block using 0  I MCS  28 . If there is no PDCCH for the same transport block using 0  I MCS  28 ,
and if the initial PDSCH for the same transport block is semi-persistently scheduled, the TBS shall be
determined from the most recent semi-persistent scheduling assignment PDCCH.

The NDI and HARQ process ID, as signalled on PDCCH, and the TBS, as determined above, shall be reported to higher
layers.

5.1.4 PDSCH resource mapping

The REs corresponding to the union of configured or dynamically indicated resources in Subclauses 5.1.4.1 and 5.1.4.2
are rate-matched by UE's PDSCH.

5.1.4.1 PDSCH resource mapping with RB symbol level granularity

To decode PDSCH according to a decoded PDCCH, a UE may be configured with any of the higher layer parameters:

- Resource-set-BWP configuring up to [4] rate-match-PDSCH-resource-set(s) which may contain:

- within a BWP, a pair of reserved resources. in numerology. of the BWP indicated by an RB level bitmap
(higher layer parameter rate-match-PDSCH-bitmap1) with 1RB granularity and a symbol level bitmap
spanning one or two slots (higher layer parameters rate-match-PDSCH-bitmap2) for which the reserved RBs
apply. For each pair of RB and symbol level bitmaps, a UE may be configured with a time-domain pattern
(higher layer parameter rate-match-PDSCH-bitmap3) corresponding to a unit equal to a duration of the
symbol level bitmap, and indicating whether the pair is present in the unit or not. The rate-match-PDSCH-
bitmap3can be {1, 5, 10, [20 or 40]} units long. UE disregards configured rate-match-PDSCH-bitmap3 when
the pair of RB and symbol level bitmaps is configured as dynamic. The pair configured as dynamic by higher
layer can be included in one or two groups of resource sets (higher layer parameters Resource-set-group-1
and Resource-set-group-2).

- within a BWP, a frequency domain resource of a CORESET with CORESET-ID [and time domain resource
determined by the higher layer parameters monitoring-offset-PDCCH-slot and monitoring-periodicity-
PDCCH-slot and monitoring-symbols-PDCCH-within-slot of search-space-sets associated with the
CORESET with a CORESET ID]. This rate-matching resource set can be included in one or two groups of
resource sets (higher layer parameters Resource-set-group-1 and Resource-set-group-2).

- Resource-set-cell configuring up to 4 rate-match-PDSCH-resource-set(s) which may contain:

- within a serving cell, a pair of reserved resources. in a given numerology. is indicated by an RB level bitmap
(higher layer parameter rate-match-PDSCH-bitmap1) with RB granularity and a symbol level bitmap
spanning one or two slots (higher layer parameters rate-match-PDSCH-bitmap2) for which the reserved RBs
apply. For each pair of RB and symbol level bitmaps, a UE may be configured with a time-domain pattern
(higher layer parameter rate-match-PDSCH-bitmap3) corresponding to a unit equal to a duration of the
symbol level bitmap, and indicating whether the pair is present in the unit or not. The rate-match-PDSCH-
bitmap3can be {1, 5, 10, [20 or 40]} units long. UE disregards configured rate-match-PDSCH-bitmap3 when
the pair of RB and symbol level bitmaps is configured as dynamic. The pair configured as dynamic by higher
layer can be included in one or two groups of resource sets (higher layer parameters Resource-set-group-1
and Resource-set-group-2).

A configured group Resource-set-group-1 or Resource-set-group-2 contains a list of RB symbol level resource set
indices forming a union of resource-sets rate-matched dynamically if corresponding bit in the PDCCH with a

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Release 15 18 3GPP TS 38.214 V15.0.0 (2017-12)

scheduling DCI. The REs corresponding to the union of configured RB-symbol level resource-sets that are not included
in neither of two groups are rate-matched by UE's PDSCH. To decode PDSCH a UE's PDSCH rate-matches around the
REs corresponding to detected PDCCH that scheduled the PDSCH.

A UE is not expected to handle the case where PDSCH DM-RS REs are overlapping, even partially, with any RE(s)
indicated by the rate-matching configuration rate-match-PDSCH-resource-set and rate-match-resources-v-shift and
rate-match-resources-antenna-port and rate-match-CORESET.

5.1.4.2 PDSCH resource mapping with RE level granularity

To decode PDSCH according to a decoded PDCCH, a UE may be configured with any of higher layer parameters:

- LTE-carrier configuring common RS, in 15 kHz subcarrier spacing applicable only to 15 kHz subcarrier spacing
PDSCH, of one LTE carrier in a serving cell. The configuration contains rate-match-resources-v-shift consisting
of LTE-CRS-vshift(s), rate-match-resources-numb-LTE-CRS-antenna-port consisting of LTE-CRS antenna ports
1, 2 or 4 ports, rate-match-centre-subcarrier-location representing the LTE carrier centre subcarrier location
[determined offset from common subcarrier 0], rate-match-LTE-CRS-BW representing the LTE carrier
bandwidth, and may also configure rate-match-LTE-CRS-MBSFN-subframeconfig representing MBSFN
subframe configuration.

- within a BWP, the UE can be configured with one or more zero-power CSI-RS resource configuration(s), in
numerology of the BWP, according to the higher layer parameter ZP-CSI-RS-ResourceConfig. The following
parameters are configured via higher layer signaling for each zero-power CSI-RS resource configuration:

- ZP-CSI-RS-ResourceConfigId determines zero-power CSI-RS resource configuration identity.

- ZP-CSI-RS-Density defines the zero-power CSI-RS frequency density, where the allowable values are given
in Subclause 7.4.1.5 of [4, TS 38.211].

- ZP-CSI-RS-FreqBand parameters enabling configuration of frequency occupancy of a ZP-CSI-RS resource

within a BWP as defined in Subclause TBD of [4, TS 38.211].

- ZP-CSI-RS-ResourceMapping defines the OFDM symbol and subcarrier occupancy of the ZP-CSI-RS
resource within a slot that are given in Subclause 7.4.1.5 of [4, TS 38.211].

- ZP-CSI-RS-timeConfig defines the ZP-CSI-RS periodicity and slot offset for periodic/semi-persistent ZP-
CSI-RS. The allowable periodicity values of are given in Subclause [TBD] of [4, TS 38.211].

- ZP-CSI-RS-ResourceConfigType defines the ZP-CSI-RS time domain behavior of ZP-CSI-RS resource

configuration as described in Subclause [TBD] of [4, TS 38.211].

The ZP-CSI-RS configuration can be periodic and aperiodic. The UE is configured with a DCI field for triggering the
aperiodic ZP-CSI-RS.

5.1.5 Antenna ports quasi-colocation

The UE can be configured up to M TCI-States by higher layer signalling to decode PDSCH according to a detected
PDCCH with DCI intended for the UE and the given serving cell where M depends on the UE capability. Each
configured TCI state includes one RS set TCI-RS-SetConfig. Each TCI-RS-SetConfig contains parameters for
configuring quasi co-location relationship between the reference signals in the RS set and the DM-RS port group of the
PDSCH. The RS set contains a reference to either one or two DL RSs and an associated quasi co-location type (QCL-
Type) for each one configured by the higher layer parameter QCL-Type. For the case of two DL RSs, the QCL types
shall not be the same, regardless of whether the references are to the same DL RS or different DL RSs. The quasi co-
location types indicated to the UE are based on the higher layer parameter QCL-Type and may take one or a
combination of the following types:

- QCL-TypeA: {Doppler shift, Doppler spread, average delay, delay spread}

- QCL-TypeB: {Doppler shift, Doppler spread}

- QCL-TypeC: {average delay, Doppler shift}

- QCL-TypeD: {Spatial Rx parameter}

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Release 15 19 3GPP TS 38.214 V15.0.0 (2017-12)

The UE receives a selection command [10, TS 38.321] used to map up to 8 TCI states to the codepoints of the DCI field
TCI-states. Until a UE receives higher layer configuration of TCI states and before reception of the activation
command, the UE may assume that the antenna ports of one DM-RS port group of PDSCH of a serving cell are
spatially quasi co-located with the SSB determined in the initial access procedure. When the number of TCI states in
TCI-States is less than or equal to 8, the DCI field TCI-states directly indicates the TCI state.

If a UE is configured with the higher layer parameter TCI-PresentInDCI is set as 'Enabled' for the CORESET
scheduling the PDSCH, the UE assumes that the TCI field is present in the DL DCI of the PDCCH transmitted on the
CORESET. If TCI-PresentInDCI is set as 'Disabled' for the CORESET scheduling the PDSCH, for determining PDSCH
antenna port quasi co-location, the UE assumes that the TCI state for the PDSCH is identical wo the TCI state applied
for the CORESET used for the PDCCH transmission.

If the TCI-PresentinDCI is set as 'Enabled', the UE shall use the TCI-States according to the value of the 'Transmission
Configuration Indication' field in the detected PDCCH with DCI for determining PDSCH antenna port quasi co-
location. The UE may assume that the antenna ports of one DM-RS port group of PDSCH of a serving cell are quasi co-
located with the RS(s) in the RS set with respect to the QCL type parameter(s) given by the indicated TCI state if the
offset between the reception of the DL DCI and the corresponding PDSCH is equal to or greater than a threshold
Threshold-Sched-Offset, where the threshold is FFS. For both the case when TCI-PresentInDCI = 'Enabled' and TCI-
PresentInDCI = 'Disabled' If the offset is less than a threshold, the UE may assume that the antenna ports of one DM-
RS port group of PDSCH of a serving cell are quasi co-located based on the TCI state used for PDCCH quasi-
colocation indication of the lowest CORESET-ID in the latest slot in which one or more CORESETs are configured for
the UE.

5.1.6 UE procedure for receiving downlink reference signals

5.1.6.1 CSI-RS reception procedure

The CSI-RS defined in Subclause 7.4.1.5 of [4, TS 38.211], may be used for time/frequency tracking, CSI computation
and L1-RSRP computation.

5.1.6.1.1 CSI-RS for tracking

If a UE is configured with the higher layer parameter TRS-INFO set as 'ON', the UE shall assume the antenna port with
the same port index of the configured NZP CSI-RS resources in the CSI-RS resource set is same. For frequency range 1,
the UE may be configured with a CSI-RS resource set of four periodic CSI-RS resources in two consecutive slots with
two CSI-RS resources in each slot, for frequency range 2 the UE may be configured with a CSI-RS resource set of two
periodic CSI-RS resources in one slot or with a CSI-RS resource set of four periodic CSI-RS resources in two
consecutive slots with two CSI-RS resources in each slot.

Each CSI-RS resource, defined in Subclause 7.4.1.5 of [4, TS 38.211], is configured by the higher-layer parameter CSI-
RS-ResourceMapping with the following restrictions:

- the time-domain locations of the two CSI-RS resources in a slot is given by one of l   4,8 , l   5,9 , or
l   6,10

- a single port CSI-RS resource with density   3 given by Table 7.4.1.5.2-2

BWP, i
- the bandwidth of the CSI-RS resource is minimum of 50 or N RB resource blocks

- the periodicity is one of 10, 20, 40, or 80 ms

The UE may also assume that the antenna port associated with the SS/PBCH block given by the CSI-RS for
time/frequency tracking burst configuration and the antenna port associated with the CSI-RS for time/frequency
tracking burst are quasi co-located with respect to Doppler shift, average delay and if configured, the spatial Rx
parameter.

5.1.6.1.2 CSI-RS for L1-RSRP computation

If a UE is configured with the higher-layer parameter CSI-RS-ResourceRep set to 'ON', the UE may assume that the
CSI-RS resources, described in Subclause 5.2.2.3.1, within the resource set are transmitted with the same downlink
spatial domain transmission filter, where the CSI-RS resources in the resource set are transmitted in different OFDM

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Release 15 20 3GPP TS 38.214 V15.0.0 (2017-12)

symbols. The UE is not expected to receive different periodicity in CSI-RS-timeConfig and NrofPorts in every CSI-RS
resource within the set. If the CSI-RS-ResourceRep is set to 'OFF', the UE may not assume that the CSI-RS resources
within the resource set are transmitted with the same downlink spatial domain transmission filter and with same
NrofPorts in every symbol.

If a UE is configured with the higher layer parameter NrofPorts set to 'two', the UE shall compute a linear average of
each CSI-RS port's RSRP.

The UE may be configured to use the same OFDM symbols for the CSI-RS and CORESET when those are spatially
quasi co-located and resource elements associated with CSI-RS are the outside of PRBs configured for CORESET.

The UE may be configured to use the same OFDM symbols for the CSI-RS and SSB/PBCH when those are spatially
quasi co-located and resource elements associated with CSI-RS are the outside of PRBs configured for SSB/PBCH.

5.1.6.2 DM-RS reception procedure

When receiving PDSCH scheduled by PDCCH with CRC scrambled by SI-RNTI, RA-RNTI, P-RNTI and or TC-RNTI,
the UE shall assume that the PDSCH is not present in any symbol carrying DM-RS, and a single symbol front-loaded
DM-RS of configuration type 1 on DM-RS port 1000 is transmitted, and in addition

- For PDSCH with mapping type A, the UE shall assume dmrs-AdditionalPosition=2 and up to two additional
DM-RS present in a slot as defined in Subclause 7.4.1.1 of [4, TS 38.211] if within the PDSCH allocation
duration, and

- For PDSCH with allocation duration of 7 symbols with mapping type B, the UE shall assume one additional
DM-RS present in the 5th symbol of the PDSCH allocation, and

- For PDSCH with allocation duration of 4 symbols with mapping type B, the UE shall assume that additional
DM-RS are present, and

- For PDSCH with allocation duration of 2 symbols with mapping type B, the UE shall assume that additional
DM-RS are present.

If a UE is configured with the higher-layer parameter dmrs-Type, the configured DM-RS configuration type is used for
transmitting PDSCH in as defined in Subclause 7.4.1.1 of [4, TS 38.211], otherwise the UE shall use the single symbol
DM-RS with DM-RS configuration type 1 for receiving PDSCH as defined in Table 7.4.1.1.2-1 from [4, TS 38.211].

A UE may be configured with the maximum number of front-loaded DM-RS symbols for PDSCH by higher layer
parameter DL-DMRS-max-len.

- if DL-DMRS-max-len is equal to 1, single-symbol DM-RS can be scheduled for the UE by DCI, and the UE can
be configured with a number of additional DM-RS for PDSCH by higher-layer parameter dmrs-
AdditionalPosition, which can be 0, 1, 2 or 3.

- if DL-DMRS-max-len equal to 2, both single-symbol DM-RS and double symbol DM-RS can be scheduled for
the UE by DCI, and the UE can be configured with a number of additional DM-RS for PDSCH by higher-layer
parameter dmrs-AdditionalPosition, which can be 0 or 1.

For PDSCH with allocation duration of 2 or 4 symbols with mapping type B, only single symbol front-loaded DM-RS
can be transmitted, otherwise, both single symbol and double symbol front-loaded DM-RS can be transmitted.

For PDSCH with allocation duration of 2 or 4 symbols with mapping type B, the UE is not expected to receive
additional DM-RS.

For PDSCH with allocation duration of 7 symbols with mapping type B, one additional DM-RS can be transmitted.

For PDSCH with mapping type A, up to 3 single symbols additional DM-RS or one double symbol additional DM-RS
can be transmitted.

A UE may assume that the DM-RS ports configured with higher layer parameter [-dmrs-group1] or [dmrs-group2] are
quasi co-located (as defined in Subclause 4.3.1 of [4, TS 38.211]) with respect to delay spread, Doppler spread, Doppler
shift, average gain, average delay, and spatial RX parameters.

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Release 15 21 3GPP TS 38.214 V15.0.0 (2017-12)

DMRS,i i  0,1
A UE can be configured with one or two scrambling identity(s), nID , by higher layers for UE-specific
reference signal generation as defined in Subclause [7.4.1.1 of [4, TS 38.211]] to decode PDSCH.

[A UE shall assume that DM-RS sequence for PDSCH scheduled by PDCCH with CRC scrambled by [SI-RNTI] is
started from the lowest PRB of CORSET signalled in PBCH.

A UE may be scheduled with a number of DM-RS ports by the antenna port index in DCI format 1_1 as described in
Subclause 7.3.1.2 of [5, TS 38.212].

For DM-RS configuration type 1,

- if a UE is scheduled with one codeword and assigned with the antenna port mapping with indices of {2, 9, 10, 11
or 30} in Table 7.3.2.2-1 and Table 7.3.1.2.2-2 of Subclause 7.3.1.2 of [5, TS 38.212], or

- if a UE is scheduled with two codewords,

the UE may assume that all the remaining orthogonal antenna ports are not associated with transmission of PDSCH to
another UE.

For DM-RS configuration type 2,

- if a UE is scheduled with one codeword and assigned with the antenna port mapping with indices of {2, 10 or
23} in Table 7.3.2.2-3 and Table 7.3.1.2.2-4 of Subclause 7.3.1.2 of [5, TS38.212], or

- if a UE is scheduled with two codewords,

the UE may assume that all the remaining orthogonal antenna ports are not associated with transmission of PDSCH to
another UE.

If a UE receiving PDSCH is configured with the higher layer parameter DL-PTRS-present, the UE may assume that the
following configurations are not occurring simultaneously for the received PDSCH.

- any DM-RS ports among 1004-1007 or 1006-1011 for DM-RS configurations type 1 and type 2, respectively are
scheduled for the UE and the other UE(s) sharing the DM-RS REs on the same CDM group(s), and

- PT-RS is transmitted to the UE.

The UE is not expected to simultaneously be configured with the maximum number of front-loaded DM-RS symbols
for PDSCH by higher layer parameter DL-DMRS-max-len equal to 2 and more than one additional DM-RS symbol as
given by the higher layer parameter dmrs-AdditionalPosition.

5.1.6.3 PT-RS reception procedure

A UE shall report the preferred MCS and bandwidth thresholds based on the UE capability at a given carrier frequency,
for each subcarrier spacing applicable to data channel at this carrier frequency, assuming the MCS table with the
maximum ModOrder as it reported to support.

If a UE is configured with the higher layer parameter Downlink-PTRS-Config, set to 'ON',

- if the additional higher layer parameters timeDensity and frequencyDensity are both configured, the UE shall
assume the PT-RS antenna ports' presence and pattern are a function of the corresponding scheduled MCS and
scheduled bandwidth in corresponding bandwidth part as shown in Table 5.1.6.3-1 and Table 5.1.6.3-2,

- otherwise the UE shall assume that PT-RS is not present when,

- the scheduled MCS from Table 5.1.3.1-1 is smaller than 10, or

- the scheduled MCS from Table 5.1.3.1-2 is smaller than 5, or

- the number of scheduled RBs is smaller than 3,

- PT-RS is present with LPTRS =1 and KPTRS=2 for all other configurations.

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Release 15 22 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.1.6.3-1: Time density of PT-RS as a function of scheduled MCS

Scheduled MCS Time density ( L PT  RS )

IMCS < ptrs-MCS1 PT-RS is not present
ptrs-MCS1  IMCS < ptrs-MCS2 4

ptrs-MCS2  IMCS < ptrs-MCS3 2

ptrs-MCS3  IMCS < ptrs-MCS4 1

Table 5.1.6.3-2: Frequency density of PT-RS as a function of scheduled bandwidth

Scheduled bandwidth Frequency density ( K PT  RS )

NRB < NRB0 PT-RS is not present
NRB0  NRB < NRB1 2

NRB1  NRB 4

If the higher-layer parameter timeDensity indicates that the thresholds ptrs-MCS(i) = ptrs-MCS(i+1), then the time
density LPTRS of the associated row where both these thresholds appear in Table 5.1.6.3-1 is disabled. If the higher-layer
parameter timeDensity indicates that the thresholds NRB(i) = NRB(i +1), then the frequency density KPTRS of the associated
row where both these thresholds appear in Table 5.1.6.3-2 is disabled.

If either of the parameters PT-RS time density (LPT-RS) and PT-RS frequency density (KPT-RS), shown in Table 5.1.6.3-1
and Table 5.1.6.3-2, are not configured, the UE may assume LPT-RS = 1 and/or KPT-RS = 2.

If either of the parameters PT-RS time density (LPT-RS) and PT-RS frequency density (KPT-RS), shown in Table 5.1.6.3-1
and Table 5.1.6.3-2, are configured as 'PT-RS not present', the UE shall assume that PT-RS is not present.

When a UE is scheduled PDSCH with two DL DM-RS port groups and each DM-RS port group is associated to one PT-
RS port and one CW respectively, the time density of the PT-RS port corresponding to the codeword with lower MCS
should be set as the same as that of the PT-RS port corresponding to the codeword with higher MCS when two PT-RS
ports are active present.

When the UE is receiving a PDSCH with allocation duration of 2 symbols with mapping type B as defined in sub-
clause 7.4.1.1.2 of [4, TS 38.211] and if LPT-RS is set to 2 or 4, the UE shall assume PT-RS is not transmitted.

When the UE is receiving a PDSCH with allocation duration of 4 symbols with mapping type B, and if LPT-RS is set to 4,
the UE shall assume PT-RS is not transmitted.

When a UE is receiving PDSCH for retransmission, if the UE is scheduled with an MCS index greater than V, where
V=28 for in MCS Table 5.1.3.1-1 and V=27 for MCS Table 5.1.3.1-2 respectively, the MCS for the PT-RS time-density
determination is obtained from the DCI received for the same transport block in the initial transmission, which is
smaller than or equal to V.

The scheduled number of PT-RS ports for a UE is indicated by TCI in DCI.

A UE is configured by higher layer parameter nrofPorts with a number of DL PT-RS ports per TCI-state (as described
in sub-clause 5.1.5) for PDSCH transmission.

- If the number of DL PT-RS ports associated to a TCI-state in DCI is set to 2, the scheduled umber of PT-RS ports
is 2, and each PT-RS port is associated with the corresponding DM-RS port group, and the UE does not expect to
be scheduled with one DM-RS port group.

- A DL PT-RS port and the DL DM-RS port(s) within the associated DL DM-RS port group are assumed to be
quasi co-located with respect to {delay spread, Doppler spread, Doppler shift, average delay, spatial Rx
parameters}

- The firstPT-RS antenna port is associated with the lowest indexed DM-RS antenna port among the DM-RS
antenna ports assigned for the first DMRS port group. The second PT-RS antenna port is associated with the

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lowest indexed DM-RS antenna port among the DM-RS antenna ports assigned for the second DMRS port
group.

- If the number of DL PT-RS ports associated to a TCI -state in DCI is set to 1, the number of PT-RS port is 1

- If one PT-RS port is transmitted to a UE and the UE is scheduled with DM-RS ports from two DM-RS port
groups, the UE may assume the PT-RS port is associated to two DM-RS port groups and the PTRS port is
shared among the two DMRS port groups.

- If one DL PT-RS port is transmitted for two scheduled DL DM-RS port groups, the PT-RS port and the DM-
RS port(s) which are not in the associated DM-RS port group are assumed to be quasi co-located with respect
to {Doppler spread, Doppler shift}. Otherwise, thePT-RS port and the DL DM-RS port(s) within the
associated DL DM-RS port group are assumed to be quasi co-located with respect to {delay spread, Doppler
spread, Doppler shift, average delay, spatial Rx parameters}.

- If a UE is scheduled with one codeword, the PT-RS antenna port is associated with the lowest indexed DM-
RS antenna port among the DM-RS antenna ports assigned for the PDSCH.

- If a UE is scheduled with two codewords, the PT-RS antenna port is associated with the lowest indexed DM-
RS antenna port among the DM-RS antenna ports assigned for the codeword with the higher MCS. If the
MCS indices of the two codewords are the same, the PT-RS antenna port is associated with the lowest
indexed DM-RS antenna port assigned for the codeword 0.
RE
DL PTRS subcarrier offset, k ref shown in Subclause 7.4.1.2 of [1, TS 38.211] is determined by the higher layer
parameter PTRS-RE-offset, as shown in Table 5.1.6.3-3 and Table 5.1.6.3-4 when DMRS configuration type 1 or type
2spectively, is configured. UE shall assume PTRS-RE-offset is set to '00' if not configured.

Table 5.1.6.3-3: PTRS-RE-offset for DMRS configuration type 1

RE
Sub-carrier index for PT-RS ( k ref )for the associated DMRS port
PTRS-RE-offset DMRS port DMRS port DMRS port DMRS port
1000 1001 1002 1003
00 0 2 1 3
01 2 4 3 5
10 6 8 7 9
11 8 10 9 11

Table 5.1.6.3-4: PTRS-RE-offset for DMRS configuration type 2

RE
Sub-carrier index for PT-RS ( k ref ) for the associated DMRS port
PTRS-RE-offset DMRS port DMRS port DMRS port DMRS port DMRS port DMRS port
1000 1001 1002 1003 1004 1005
00 0 1 2 3 4 5
01 1 6 3 8 5 10
10 6 7 8 9 10 11
11 7 0 9 2 11 4

5.2 UE procedure for reporting channel state information (CSI)

5.2.1 Channel state information framework
The time and frequency resources that can be used by the UE to report CSI are controlled by the gNB. CSI consists of
Channel Quality Indicator (CQI), precoding matrix indicator (PMI), CSI-RS resource indicator (CRI), strongest layer
indication (SLI), rank indication (RI) and/or and L1-RSRP.

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For CQI, PMI, CRI, SLI, RI, L1-RSRP, a UE is configured by higher layers with N≥1 ReportConfig Reporting Settings,
M≥1 ResourceConfig Resource Settings, and a single MeasConfig measurement setting containing L≥1 Links. A
MeasConfig contains a list of reporting configurations (ReportConfigList), a list of resource configurations
(ResourceConfigList), a list of link configurations (MeasLinkConfigList) and a list of trigger states (ReportTrigger).

5.2.1.1 Reporting settings

Each Reporting Setting ReportConfig is associated with a single downlink BWP (higher layer parameter
bandwidthPartId) and contains the reported parameter(s) for one CSI reporting band: CSI Type (I or II) if reported,
codebook configuration including codebook subset restriction, time-domain behavior, frequency granularity for CQI
and PMI, measurement restriction configurations, the strongest layer indicator (SLI), the reported L1-RSRP
parameter(s), CRI, and SSBRI (SSB Resource Indicator). Each ReportConfig contains a ReportConfigID to identify the
ReportConfig, a ReportConfigType to specify the time domain behavior of the report (either aperiodic, semi-persistent,
or periodic), a ReportQuantity to indicate the CSI-related or L1-RSRP-related quantities to report, a
ReportFreqConfiguration to indicate the reporting granularity in the frequency domain. For periodic/semi-persistent
reporting, a ReportConfig contains a ReportSlotConfig to specify the periodicity and slot offset. For aperiodic reporting,
a ReportConfig contains an AperiodicReportSlotOffset to specify a set of allowed values of the timing offset for
aperiodic reporting (a particular value is indicated in DCI). The ReportFreqConfiguration contains parameters to enable
configuration of at least subband or wideband PMI and CQI reporting separately. The ReportConfig can also contain
MeasRestrictionConfig-time-channel to specify parameters to enable configuration of time domain measurement
restriction for channel. The ReportConfig can also contain MeasRestrictionConfig-time-interference to specify
parameters to enable separate configuration of time domain measurement restriction for interference. The ReportConfig
can also contain CodebookConfig, which contains configuration parameters for Type-I or Type II CSI including
codebook subset restriction.

5.2.1.2 Resource settings

Each Resource Setting ResourceConfig contains a configuration of S≥1 CSI-RS Resource Sets (higher layer parameter
ResourceSetConfig), with each Resource Set consisting of CSI-RS resources (higher layer parameters NZP-CSI-RS-
ResourceConfigList and CSI-IM-ResourceConfigList) and SS/PBCH Block resources used for L1-RSRP computation
(higher layer parameter resource-config-SS-list). Each Resource setting is located in the BWP identified by the higher
layer parameter BWP-info, and all linked Resource Settings of a CSI Report Setting have the same BWP.

For periodic and semi-persistent CSI Resource Settings, S=1. Each set s contains Ks ≥1 CSI-RS resources (higher layer
parameter CSI-RS-ResourceConfig) each of which includes at least mapping to REs, number of ports and time-domain
behavior as described in Subclause 5.2.2.3.1. The allowable antenna port values and resource mapping patterns are
given in Subclause 7.4.1.5 of [4, TS 38.211]. The time domain behavior of the CSI-RS resources which are part of sets
within a CSI-RS Resource Setting are indicated by the higher layer parameter ResourceConfigType and can be
aperiodic, periodic, or semi-persistent.

The following are configured via higher layer signaling for one or more CSI resource settings for channel and
interference measurement:

- CSI-IM resource for interference measurement as described in Subclause 5.2.2.3.3.

- Non-zero power CSI-RS resource for interference measurement as described in Subclause 5.2.2.3.1 [see Table
[TBD] in [4, TS 38.211]]

- Non-zero power CSI-RS resource for channel measurement as described in Subclause 5.2.2.3.1 [see Table [TBD]
in [4, TS 38.211]]

5.2.1.3 Measurement link

Each Link MeasLinkConfig in the higher layer-configured CSI measurement setting contains the CSI Reporting Setting
indication, CSI Resource Setting Indication, and MeasQuantity an indication of the quantity to be measured which can
be either channel measurement or interference measurement. ReportConfigMax indicates the maximum number of
report configurations, ResourceConfigMax indicates the maximum number of resource configurations,
MeasLinkConfigMax indicates the maximum number of link configurations, ResourceSetMax indicates the maximum
number of resources sets per resource configuration, CSI-RS-ResourcePerSetMax indicates the maximum number of
NZP-CSI-RS resources per NZP-CSI-RS resource set, NZP-CSI-RS-ResourceMax indicates the maximum number of
NZP-CSI-RS resources, CSI-IM-ResourcePerSetMax indicates the maximum number of CSI-IM resources per CSI-IM

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resource set, CSI-IM-ResourceMax indicates the maximum number of CSI-IM resources, and AperiodicReportTrigger
contains trigger states for dynamically selecting one or more aperiodic reporting configurations.

5.2.1.4 Reporting configurations

The Reporting configuration for CSI can be aperiodic (using PUSCH), periodic (using PUCCH) or semi-persistent
(using PUCCH, and DCI activated PUSCH). The CSI-RS Resources can be periodic, semi-persistent, or aperiodic.
Table 5.2.1.4-1 shows the supported combinations of CSI Reporting configurations and CSI Resource configurations
and how the CSI Reporting is triggered for each CSI-RS configuration. Periodic CSI-RS is configured by higher layers.
Semi-persistent CSI-RS is activated and deactivated as described in Subclause 5.2.2.3.4. Aperiodic CSI-RS is
configured and selected as described in Subclause 5.2.2.3.4.

Table 5.2.1.4-1: Triggering/Activation of CSI Reporting for the possible CSI-RS Configurations.

CSI-RS Configuration Periodic CSI Reporting Semi-Persistent CSI Aperiodic CSI Reporting
Reporting
Periodic CSI-RS No dynamic Reporting on PUCCH: the DCI
triggering/activation UE receives a selection
command [10, TS 38.321]
Reporting on PUSCH: DCI
Semi-Persistent CSI-RS Not Supported Reporting on PUCCH: the DCI
UE receives a selection
command [10, TS 38.321]
Reporting on PUSCH: DCI
Aperiodic CSI-RS Not Supported Not Supported DCI

When the UE is configured with the higher layer configured parameter Number-CQI set to '1', a single CQI is reported
for one codeword per CSI report. When '2' is configured, one CQI for each codeword is reported per CSI report. The
Number-CQI is contained in ReportConfig.

When the UE is configured with a CSI-RS resource set and when the higher layer parameter CSI-RS-ResourceRep is set
to 'OFF', the UE shall determine a CRI from the supported set of CRI values as defined in Subclause [TBD] of [5, TS
38.212] and report the number in each CRI report. When the higher layer parameter CSI-RS-ResourceRep is set to 'ON',
CRI is not reported.

For periodic or semi-persistent CSI reporting, the following periodicities (measured in slots) are configured by the
higher layer parameter ReportPeriodicity: {5, 10, 20, 40, 80, 160, 320}.

When the UE is configured with the higher layer parameter ReportQuantity set to 'CRI/RSRP'

- if the UE is configured with the higher layer parameter group-based-beam-reporting set to 'OFF', the UE is not
required to update measurements for more than 64 [CSI-RS and or SSB] resources, and the UE shall report in a
single report nrofReportedRS (higher layer configured) different [CRI and SSBRI (SSB Resource Indicator)] for
each report setting. If the higher layer parameter nrofReportedRS is configured to be one, the reported L1-RSRP
value is defined by a 7-bit value in the range [-140, -44] dBm with 1dB step size. If the higher layer parameter
nrofReportedRS is configured to be larger than one, the UE shall use largest L1-RSRP and differential L1-RSRP
based reporting, where the largest value of L1-RSRP uses a 7-bit value and the differential L1-RSRP uses a 4-bit
value. The differential L1-RSRP values are computed with 2 dB step size with a reference to the largest L1-
RSRP value which is part of the same L1-RSRP reporting instance.

- if the UE is configured with the higher layer parameter group-based-beam-reporting set to 'ON', the UE may
report in a single reporting instance up to number-of-beams-reporting L1-RSRP and CSI reports, where up to
number-of-beams-reporting [CSI-RS and or SSB] resources can be received simultaneously by the UE either
with a single spatial domain receive filter, or with multiple simultaneous spatial domain receive filters.

For L1-RSRP computation

- the UE may be configured with CSI-RS resources, SS/PBCH Block resources or both CSI-RS and SS/PBCH
Block resource.

- the UE may be configured with CSI-RS resource setting up to 16 CSI-RS resource sets having up to 64 resources
within each set. The total number of different CSI-RS resources over all resource sets is no more than 128.

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A UE configured with a CSI-RS resource, when configured with the higher layer parameter ReportQuantity set to 'No
Report', the UE shall not report any information, otherwise the UE shall report the information as configured by the
ReportQuantity.

The ReportFreqConfiguration contained in a ReportConfig indicates the frequency granularity of the CSI Report. For
CSI reporting, a UE can be configured via higher layer signaling with one out of two possible subband sizes, where a
SB
subband is defined as N PRB contiguous PRBs and depends on the total number of PRBs in the carrier bandwidth part
according to Table 5.2.1.4-2.

Table 5.2.1.4-2: Configurable subband sizes

Carrier bandwidth part (PRBs) Subband Size (PRBs)
 < 24 N/A
24 – 72 4, 8
73 – 144 8, 16
145 – 275 16, 32

A CSI reporting setting configuration defines a CSI reporting band as a subset of subbands of the bandwidth part, where
the ReportFreqConfiguration indicates:

- the CSI-ReportingBand as a contiguous or non-contiguous subset of subbands in the bandwidth part for which
CSI shall be reported. The UE is not expected to be configured with a CSI reporting band which contains
subbands where reference signals for channel and interference are not present.

- single CQI or multiple CQI reporting, as configured by the higher layer parameter CQI-FormatIndicator. When
single CQI reporting is configured, a single CQI is reported for each codeword for the entire CSI reporting band.
When multiple CQI reporting is configured, one CQI for each codeword is reported for each subband in the CSI
reporting band.

- single PMI or multiple PMI reporting as configured by the higher layer parameter PMI-FormatIndicator. When
single PMI reporting is configured, a single PMI is reported for the entire CSI reporting band. When multiple
PMI reporting is configured, except with 2 antenna ports, a single wideband indication (i1 in Subclause 5.2.2.2)
is reported for the entire CSI reporting band and one subband indication (i2 in subclause 5.2.2.2) is reported for
each subband in the CSI reporting band. When multiple PMIs are configured with 2 antenna ports, a PMI is
reported for each subband in the CSI reporting band.

When a UE is configured with higher layer parameter CodebookType set to 'TypeI-SinglePanel' and PMI-
FormatIndicator is configured for single PMI reporting, the UE may be configured with CSIReportQuantity to report:

- RI/CRI, and a PMI consisting of a single wideband indication ( i1 in sub-clause 5.2.2.2.1) for the entire CSI
reporting band.

- or, RI/CRI, CQI, and a PMI consisting of a single wideband indication ( i1 in sub-clause 5.2.2.2.1) for the entire
CSI reporting band. The CQI is calculated assuming PDSCH transmission with N p �1 precoders
(corresponding to different i2 in sub-clause 5.2.2.2.1), where the UE assumes that one precoder is randomly
selected from the set of N p precoders for each PRG on PDSCH, where the PRG size for CQI calculation is
configured by the higher layer parameter PUSCH-bundle-size-for-CSI

If a UE is configured with semi-persistent CSI reporting, the UE shall report CSI when both CSI-IM and non-zero
power CSI-RS resources are configured as periodic or semi-persistent. If a UE is configured with aperiodic CSI
reporting, the UE shall report CSI when both CSI-IM and non-zero power CSI-RS resources are configured as periodic,
semi-persistent or aperiodic.

5.2.1.4.1 Resource Setting configuration

Each trigger state configured using the higher layer parameter ReportTrigger is associated one or multiple ReportConfig
where each ReportConfig is linked to periodic, or semi-persistent, or aperiodic resource setting(s):

- When one resource setting is configured, the resource setting is for channel measurement for L1-RSRP
computation.

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- When two resource settings are configured, the first one resource setting is for channel measurement and the
second one is for interference measurement performed on CSI-IM or on non-zero power CSI-RS.

- When three resource settings are configured, the first one resource setting is for channel measurement, the
second one is for CSI-IM based interference measurement and the third one is for non-zero power CSI-RS based
interference measurement.

For CSI measurement(s), a UE assumes:

- each non-zero power CSI-RS port configured for interference measurement corresponds to an interference
transmission layer.

- all interference transmission layers on non-zero power CSI-RS ports for interference measurement, taking into
account the associated EPRE ratios configured in 5.2.2.3.1; and

- other interference signal on REs of non-zero power CSI -RS resource for channel measurement, non-zero power
CSI -RS resource for interference measurement, or CSI-IM resource for interference measurement"

5.2.1.4.2 Non-PMI port indication

If a UE is configured with the higher layer parameter ReportQuantity set to 'CRI/RI/CQI':

- the UE is configured with higher layer parameter Non-PMI-PortIndication contained in a ReportConfig, where r
ports are indicated in the order of layer ordering for rank r and each CSI-RS resource in the CSI resource setting
linked to the ReportConfig in a MeasLinkConfig, based on the order of the associated NZP-CSI-RS-
ResourceConfigID in the linked CSI resource setting linked for channel measurement.

- When calculating the CQI for a rank, the UE shall use the ports indicated for that rank for the selected CSI-RS
resource. The precoder for the indicated ports shall be assumed to be the identity matrix.

5.2.1.5 CSI selection and activation

5.2.1.5.1 Aperiodic CSI

For Resource Sets configured with the higher layer parameter ResourceConfigType set to 'aperiodic', trigger states for
Reporting Setting(s) and/or Resource Set(s) for channel and/or interference measurement on one or more component
carriers are configured using the higher layer parameter AperiodicReportTrigger. For aperiodic CSI report triggering, a
single set of CSI triggering states are higher layer configured, wherein the CSI triggering states can be associated with
either candidate DL BWP. A UE is not expected to be triggered with a CSI report for a non-active DL BWP. A trigger
state is initiated using the DCI CSI request field.

- When the value of the DCI CSI request field is zero, no CSI is requested.

- When the number of configured CSI triggering states in AperiodicReportTrigger is greater than 2 NTS  1 , where
N TS is the number of bits in the DCI CSI request field, the UE receives a selection command [10, TS 38.321]
used to map up to 2 NTS  1 trigger states to the codepoints of the DCI CSI request field. N TS is configured by
the higher layer parameter ReportTriggerSize and N TS   0,1, 2, 3, 4, 5, 6 .

- When the number of CSI triggering states in AperiodicReportTrigger is less than or equal to 2 NTS  1 , the DCI
CSI request field directly indicates the triggering state and the UE's quasi-colocation assumption.

- For each aperiodic CSI-RS resource associated with each CSI triggering state, the UE is indicated the quasi co-
location configuration of quasi co-location RS source(s) and quasi co-location type(s), as described in subclause
5.1.5, through higher layer signaling of QCL-Info-aPerodicReportingTrigger which contains a list of references
to TCI-RS-SetConfig's for the aperiodic CSI-RS resources associated with the CSI triggering state. If a TCI-RS-
SetConfig in the list is configured with a reference to an RS associated with QCL-TypeD, that RS may be an
SS/PBCH block or a CSI-RS resource configured as periodic or semi-persistent.

For a UE configured with the higher layer parameter AperiodicReportTrigger, if a resource setting linked to a
ReportConfig has multiple aperiodic resource sets and only a subset of the aperiodic resource sets is associated with the
trigger state, a higher layer configured bitmap ResourceSetBitmap is configured per trigger state per resource setting to
select the CSI-IM/NZP CSI-RS resource set(s) from the resource setting.

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When aperiodic CSI-RS is used with aperiodic reporting, the CSI-RS offset is configured per resource set in the higher
layer parameter AperiodicNZP-CSI-RS-TriggeringOffset. The CSI-RS triggering offset X is measured in slots.

5.2.1.5.2 Semi-persistent CSI

For semi-persistent reporting on PUSCH, a set of semi-persistent CSI report settings are higher layer configured by
Semi-persistent-on-PUSCHReportTrigger and the CSI request field in DCI scrambled with SP-CSI C-RNTI activates
one of the semi-persistent CSI reports.

For semi-persistent reporting on PUCCH, a set of semi-persistent CSI report settings are higher layer configured by
reportConfigType with the PUCCH resource used for transmitting the CSI report. Semi-persistent reporting on PUCCH
is activated by an activation command [10, TS 38.321], which selects one of the semi-persistent CSI Report settings for
use by the UE on the PUCCH. If the field reportConfigType is not present, the UE shall report the CSI on PUSCH.

For a UE configured with the higher layer parameter ResourceConfigType set to 'semi-persistent'.

- when a UE receives an activation command [10, TS 38.321] for CSI-RS resource(s) for channel measurement
and CSI-IM/NZP CSI-RS resource(s) for interference measurement associated with configured CSI resource
setting(s) in slot n, the corresponding actions in [10, TS 38.321] and the UE assumptions (including quasi-co-
location assumptions provided by a reference to a TCI-RS-SetConfig) on CSI-RS/CSI-IM transmission
corresponding to the configured CSI-RS/CSI-IM resource configuration(s) shall be applied no later than the
minimum requirement defined in [10, TS 38.133].

- when a UE receives a deactivation command [10, TS 38.321] for activated CSI-RS/CSI-IM resource(s)
associated with configured CSI resource setting(s) in slot n, the corresponding actions in [10, TS 38.321] and UE
assumption on cessation of CSI-RS/CSI-IM transmission corresponding to the deactivated CSI-RS/CSI-IM
resource(s) shall apply no later than the minimum requirement defined in [10, TS 38.133].

- the UE may assume that the CSI-RS resource(s) for channel measurement and the CSI-IM/NZP CSI-RS
resource(s) for interference measurement are spatially quasi co-located.

5.2.2 Channel state information

5.2.2.1 Channel quality indicator (CQI)

The CQI indices and their interpretations are given in Table 5.2.2.1-2 for reporting CQI based on QPSK, 16QAM and
64QAM. The CQI indices and their interpretations are given in Table 5.2.2.1-3 for reporting CQI based on QPSK,
16QAM, 64QAM and 256QAM.

Based on an unrestricted observation interval in time unless specified otherwise in this Subclause, [and an unrestricted
observation interval in frequency-TBD], the UE shall derive for each CQI value reported in uplink slot n the highest
CQI index which satisfies the following condition:

- A single PDSCH transport block with a combination of modulation scheme and transport block size
corresponding to the CQI index, and occupying a group of downlink physical resource blocks termed the CSI
reference resource, could be received with a transport block error probability not exceeding:

- 0.1, if the higher layer parameter CQI-table configures Table 5.2.2.1-2, or Table 5.2.2.1-3, or

- a higher layer configured BLER-target, if the higher layer parameter CQI-table configures Table 5.2.2.1-4.

If a UE is not configured with higher layer parameter MeasRestrictionConfig-time-channel, the UE shall derive the
channel measurements for computing CSI reported in uplink slot n and corresponding to the MeasLinkConfig, based on
only the non-zero power CSI-RS (defined in TS 38.211[4]) within a configured MeasLinkConfig associated with the
CSI resource setting.

If a UE is configured with higher layer parameter MeasRestrictionConfig-time-channel, the UE shall derive the channel
measurements for computing CSI reported in uplink slot n and corresponding to the MeasLinkConfig, based on only the
most recent, no later than the CSI reference resource, occasion of non-zero power CSI-RS (defined in [4, TS 38.211])
within a configured MeasLinkConfig associated with the CSI resource setting.

If a UE is not configured with higher layer parameter MeasRestrictionConfig-time-interference, the UE shall derive the
interference measurements for computing CQI value reported in uplink slot n and corresponding to the MeasLinkConfig

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in the CSI measurement setting, based on only the configured CSI resource setting within a configured MeasLinkConfig
associated with the CSI resource setting.

If a UE is configured with higher layer parameter MeasRestrictionConfig-time-interference the UE shall derive the
interference measurements for computing the CQI value reported in uplink slot n and corresponding to the
MeasLinkConfig in the CSI measurement setting, based on the most recent, no later than the CSI reference resource,
occasion of CSI-IM (defined in [4, TS 38.211]) within configured MeasLinkConfig associated with the CSI resource
setting.

For each sub-band index s, a 2-bit sub-band differential CQI is defined as:

- Sub-band Offset level (s) = wideband CQI index – sub-band CQI index (s)

The mapping from the 2-bit wideband differential CQI values to the offset level is shown in Table 5.2.2.1-1

Table 5.2.2.1-1: Mapping spatial differential CQI value to offset level

Spatial differential CQI value Offset level

0 0
1 1
2 ≥2
3 ≤-1

A combination of modulation scheme and transport block size corresponds to a CQI index if:

- the combination could be signaled for transmission on the PDSCH in the CSI reference resource according to the
Transport Block Size determination described in Subclause 5.1.3.2, and

- the modulation scheme is indicated by the CQI index, and

- the combination of transport block size and modulation scheme when applied to the reference resource results in
the effective channel code rate which is the closest possible to the code rate indicated by the CQI index. If more
than one combination of transport block size and modulation scheme results in an effective channel code rate
equally close to the code rate indicated by the CQI index, only the combination with the smallest of such
transport block sizes is relevant.

Table 5.2.2.1-2: 4-bit CQI Table

CQI index modulation code 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

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Release 15 30 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.2.2.1-3: 4-bit CQI Table 2

CQI index modulation code rate x 1024 efficiency

0 out of range
1 QPSK 78 0.1523
2 QPSK 193 0.3770
3 QPSK 449 0.8770
4 16QAM 378 1.4766
5 16QAM 490 1.9141
6 16QAM 616 2.4063
7 64QAM 466 2.7305
8 64QAM 567 3.3223
9 64QAM 666 3.9023
10 64QAM 772 4.5234
11 64QAM 873 5.1152
12 256QAM 711 5.5547
13 256QAM 797 6.2266
14 256QAM 885 6.9141
15 256QAM 948 7.4063

Table 5.2.2.1-3: [TBD]-bit CQI Table 3

For the CQI derivation the UE assumes the same quasi co-location properties between the CSI-IM and/or non-zero
power CSI-RS configured for interference measurements and the non-zero power CSI-RS configured for channel
measurements.

5.2.2.1.1 CSI reference resource definition

The CSI reference resource for a serving cell is defined as follows:

- In the frequency domain, the CSI reference resource is defined by the group of downlink physical resource
blocks corresponding to the band to which the derived CQI value relates.

- In the time domain, for a UE configured with a single CSI resource set for the serving cell, the CSI reference
resource is defined by a single downlink slot n-nCQI_ref,

- where for periodic and semi-persistent CSI reporting nCQI_ref is the smallest value greater than or equal to
[TBD], such that it corresponds to a valid downlink slot.

- where for aperiodic CSI reporting, if the UE is indicated by the DCI to report CSI in the same slot as the CSI
request, nCQI_ref is such that the reference resource is in the same valid downlink slot as the corresponding CSI
request, otherwise nCQI_ref is the smallest value greater than or equal to [TBD], such that slot n-nCQI_ref
corresponds to a valid downlink slot.

3GPP
Release 15 31 3GPP TS 38.214 V15.0.0 (2017-12)

A slot in a serving cell shall be considered to be a valid downlink slot if:

- it is configured as a downlink slot for that UE, and

- it does not fall within a configured measurement gap for that UE. and

- the active DL BWP in the slot is the same as the DL BWP for which the CSI reporting is performed.

If there is no valid downlink slot for the CSI reference resource in a serving cell, CSI reporting is omitted for the
serving cell in uplink slot n.

When deriving CSI feedback, the UE is not expected that a non-zero power CSI -RS resource for channel measurement
overlaps with CSI-IM resource for interference measurement or non-zero power CSI -RS resource for interference
measurement.

In the CSI reference resource, the UE shall assume the following for the purpose of deriving the CQI index, and if also
configured, PMI and RI:

- The first 2 OFDM symbols are occupied by control signaling

- The number of PDSCH symbols is equal to 12.

- The bandwidth part subcarrier spacing configured for the PDSCH reception

- The bandwidth as configured for the PDSCH reception

- The reference resource uses the CP length and subcarrier spacing configured for PDSCH reception

- No resource elements used by primary or secondary synchronization signals or PBCH.

- Redundancy Version 0

- The ratio of PDSCH EPRE to CSI-RS EPRE is as given in Subclause 4.1.

- Assume no REs allocated for CSI-RS and zero-power CSI-RS

- Assume the same number of front loaded DM-RS symbols as the maximum front-loaded symbols configured by
the higher layer parameter DL-DMRS-max-len.

- Assume the same number of additional DM-RS symbols as the additional symbols configured by the higher
layer parameter DL-DMRS-add-pos.

- Assume the PDSCH symbols are not containing DM-RS.

- The PDSCH transmission scheme where the UE may assume that the gNB transmission on the PDSCH would be
performed with up to 8 transmission layers on antenna ports [1000-1011] as defined in Subclause 7.3.1.4 of [4,
TS 38.211].

5.2.2.2 Precoding matrix indicator (PMI)

5.2.2.2.1 Type I Single-Panel Codebook

For 2 antenna ports {3000, 3001} and the UE configured with higher layer parameter CodebookType set to 'TypeI-
SinglePanel' each PMI value corresponds to a codebook index given in Table 5.2.2.2.1-1. The UE is configured with the
higher layer parameter TypeI-SinglePanel-2Tx-CodebookSubsetRestriction. The bitmap parameter TypeI-SinglePanel-
2Tx-CodebookSubsetRestriction forms the bit sequence a5 ,..., a1 , a0 where a0 is the LSB and a5 is the MSB and where
a bit value of zero indicates that PMI reporting is not allowed to correspond to the precoder associated with the bit. Bits
0 to 3 are associated respectively with the codebook indices 0 to 3 for   1 layer, and bits 4 and 5 are associated
respectively with the codebook indices 0 and 1 for   2 layers.

3GPP
Release 15 32 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.2.2.2.1-1: Codebooks for 1-layer and 2-layer CSI reporting using antenna ports 3000 to 3001

Codebook Number of layers 

index 1 2

1 1 1 1 1
0   
2 1 2 1 1


1
1 �� 1 1 1 
1 
��
j
2 �� 2j  j 

1 �1 �
2 � -
2�1�
�

1  1 
3   -
2  j 

For 4 antenna ports {3000, 3001, 3002, 3003}, 8 antenna ports {3000, 3001, …, 3007}, 12 antenna ports {3000, 3001,
…, 3011}, 16 antenna ports {3000, 3001, …, 3015}, 24 antenna ports {3000, 3001, …, 3023}, and 32 antenna ports
{3000, 3001, …, 3031}, and the UE configured with higher layer parameter CodebookType set to 'TypeI-SinglePanel',
except when the number of layers  � 2,3, 4 (where  is the associated RI value), each PMI value corresponds to
three codebook indices i1,1 , i1,2 , i2 . When the number of layers  � 2,3, 4 , each PMI value corresponds to four
codebook indices i1,1 , i1,2 , i1,3 , i2 . The composite codebook index i1 is defined by

�
� � � �  � 2,3, 4
i1,1 i1,2 �
i1  �
��
� �  � 2,3, 4
i1,1 i1,2 i1,3 �
�

The codebooks for 1-8 layers are given respectively in Tables 5.2.2.2.1-5, 5.2.2.2.1-6, 5.2.2.2.1-7, 5.2.2.2.1-8, 5.2.2.2.1-
9, 5.2.2.2.1-10, 5.2.2.2.1-11, and 5.2.2.2.1-12. The mapping from i1,3 to k1 and k2 for 2-layer reporting is given in
Table 5.2.2.2.1-3. The mapping from i1,3 to k1 and k2 for 3-layer and 4-layer reporting when PCSI-RS  16 is given in
Table 5.2.2.2.1-4. The quantities j n , q p , um , vl , m , and v%
l , m are given by

jn  e jp n 2
q p  e jp p 4

�� j 2p m 2p m ( N 2 1) �
j
�
��
1 e O2 N 2 L e O2 N 2 � N2 1
um  �� �
�� �
�
� 1 N2 1
2p l ( N1 1) T
� 2p l �
j j
vl ,m �
um e O1 N1
um L e O1 N1
um �
� �
� �
4p l ( N1 2 1) T
� 4p l �
j j
v%
l ,m  �
um e O1 N1
um L e O1 N1
um �
� �
� �

- The values of N 1 and N 2 are configured with the higher layer parameters CodebookConfig-N1 and
CodebookConfig-N2, respectively. The supported configurations of  N1 , N 2  for a given number of CSI-RS
ports and the corresponding values of  O1 , O2  are given in Table 5.2.2.2.1-2. The number of CSI-RS ports,
PCSI-RS , is 2 N 1 N 2 .

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Release 15 33 3GPP TS 38.214 V15.0.0 (2017-12)

- UE shall only use i1, 2  0 and shall not report i1, 2 if the value of CodebookConfig-N2 is set to 1.

The UE is also configured with the higher layer parameters TypeI-SinglePanel-CodebookSubsetRestriction, and TypeI-
SinglePanel-RI-Restriction. The bitmap parameter TypeI-SinglePanel-CodebookSubsetRestriction forms the bit
sequence a Ac 1 ,..., a1 , a0 where a0 is the LSB and a Ac 1 is the MSB and where a bit value of zero indicates that PMI
reporting is not allowed to correspond to any precoder associated with the bit. The number of bits is given by
Ac  N1O1 N 2O2 . Except when the number of layers  �  3, 4 and the number of antenna ports is 16, 24, or 32, bit
a N 2O2l  m is associated with all precoders based on the quantity vl , m , l  0,K , N1O1  1 , m  0,K , N 2O2  1 . When the
number of layers  �  3, 4 and the number of antenna ports is 16, 24, or 32,

- bits a N 2O2  2l 1  m  mod N1O1 N 2O2 , aN 2O2  2l   m , and aN 2O2  2l 1  m are each associated with all precoders based on the
quantity v% l , m , l  0,K , N1O1 2  1 , m  0,K , N 2 O2  1 ;

- if one or more of the associated bits is zero, then PMI reporting is not allowed to correspond to any precoder
based on v%l ,m .

The bitmap parameter TypeI-SinglePanel-RI-Restriction forms the bit sequence r7 ,..., r1 , r0 where r0 is the LSB and r7
is the MSB. When ri is zero, i �  0,1,K , 7 , PMI and RI reporting are not allowed to correspond to any precoder
associated with   i  1 layers.

Table 5.2.2.2.1-2: Supported configurations of  N1 , N 2  and  O1 ,O2 

Number of
CSI-RS antenna ports, PCSI-RS
 N1 , N 2   O1,O2 
4 (2,1) (4,1)
(2,2) (4,4)
8
(4,1) (4,1)
(3,2) (4,4)
12
(6,1) (4,1)
(4,2) (4,4)
16
(8,1) (4,1)
(4,3) (4,4)
24 (6,2) (4,4)
(12,1) (4,1)
(4,4) (4,4)
32 (8,2) (4,4)
(16,1) (4,1)

Table 5.2.2.2.1-3: Mapping of i1,3 to k1 and k2 for 2-layer CSI reporting

N1  N 2  1 N1  N 2 N1  2, N 2  1 N1  2, N 2  1
i1,3
k1 k2 k1 k2 k1 k2 k1 k2
0 0 0 0 0 0 0 0 0
1 O1 0 O1 0 O1 0 O1 0
2 0 O2 0 O2 2O1 0
3 2O1 0 O1 O2 3O1 0

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Release 15 34 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.2.2.2.1-4: Mapping of i1,3 to k1 and k2 for 3-layer and 4-layer CSI reporting when PCSI-RS  16

N1  2, N 2  1 N1  4, N 2  1 N1  6, N 2  1 N1  2, N 2  2 N1  3, N 2  2
i1,3
k1 k2 k1 k2 k1 k2 k1 k2 k1 k2
0 O1 0 O1 0 O1 0 O1 0 O1 0
1 2O1 0 2O1 0 0 O2 0 O2
2 3O1 0 3O1 0 O1 O2 O1 O2
3 4O1 0 2O1 0

Table 5.2.2.2.1-5: Codebook for 1-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode = 1
i1,1 i1, 2 i2
0,1,K , N1O1  1 0,K , N 2O2  1 0,1, 2,3 Wi(1),i ,i2
1,1 1,2

(1) 1 �vl ,m �
where Wl , m, n  � .
PCSI-RS jn vl , m �
� �

CodebookMode = 2, N 2  1
i2
i1,1 i1, 2
0 1 2 3
(1)
N1O1 N O 2 W2i1,1 , 2i1, 2 ,0 W2(i1) , 2i ,1 W2(i11),1 , 2i1, 2 , 2 W2(i11),1 , 2i1, 2 ,3
0,1,..., ,..., 2
0,11 1 1,1 1, 2

2 2
i2
i1,1 i1, 2
4 5 6 7
NO N O W (1) W (1) W (1) W (1)
0,1,..., 1 1 0,11
,..., 2 2 21i1,1 1, 2i1, 2 ,0 2i1,1 1, 2i1, 2 ,1 2i1,1 1, 2i1, 2 , 2 2i1,1 1, 2i1, 2 ,3
2 2
i2
i1,1 i1, 2
8 9 10 11
(1)
N1O1 N O 2 W2i1,1 , 2i1, 2 1,0 W2(i11),1 , 2i1, 2 1,1 W2(i1) , 2i 1, 2 W2(i1) , 2i 1,3
0,1,..., ,..., 2
0,11 1 1,1 1, 2 1,1 1, 2

2 2
i2
i1,1 i1, 2
12 13 14 15
(1) (1) (1) (1)
N1O1 N O 2 W2i1,1 1, 2i1, 2 1,0W2i1,1 1, 2i1, 2 1,W
1 2i1,1 1, 2i1, 2 1, 2W2i1,1 1, 2i1, 2 1,3
0,1,..., ,..., 2
0,11 1
2 2
(1) 1 �vl ,m �
where Wl , m, n  � .
PCSI-RS jn vl , m �
� �

3GPP
Release 15 35 3GPP TS 38.214 V15.0.0 (2017-12)

CodebookMode = 2, N 2  1

i1,1 i1, 2 i2
0 1 2 3
N 1O1 (1)
W2(1) W2(1) W2(1)
0,1,..., 0 1 W2i ,0,0 i ,0,1 i ,0,2 i ,0,3
2
1,1 1,1 1,1 1,1

i1,1 i1, 2 i2
4 5 6 7
N O (1)
W2(1) W2(1) W2(1)
0,1,..., 1 1 0 1 W2i 1,0,0 i1,1 1,0,1 i1,1 1,0,2 i1,1 1,0,3
2
1,1

i1,1 i1, 2 i2
8 9 10 11
N 1O1 (1)
W2(1) W2(1) W2(1)
0,1,..., 0 1 W2i  2,0,0 i  2,0,1 i  2,0,2 i  2,0,3
2
1,1 1,1 1,1 1,1

i1,1 i1, 2 i2
12 13 14 15
N O (1)
W2(1) W2(1) W2(1)
0,1,..., 1 1 0 1 W2i 3,0,0 i1,1  3,0,1 i1,1  3,0,2 i1,1  3,0,3
2
1,1

(1) 1 �vl ,m �
where Wl , m, n  � .
PCSI-RS jn vl , m �
� �

Table 5.2.2.2.1-6: Codebook for 2-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode = 1
i1,1 i1, 2 i2
0,1,K , N1O1  1 0,K , N 2O2  1 0,1 Wi(2),i  k1 ,i1,2 ,i1,2  k2 ,i2
1,1 1,1

(2) 1 �vl ,m vl �
,m� �
where Wl ,l ' ,m, m' ,n  � �.
2 PCSI-RS jn vl , m
� jn vl �,m��
and the mapping from i1,3 to k1 and k2 is given in Table 5.2.2.2.1-3.

3GPP
Release 15 36 3GPP TS 38.214 V15.0.0 (2017-12)

CodebookMode = 2, N 2  1
i2
i1,1 i1,2
0 1
N1O1 N 2 O2
0,K , 1 0,K , 1 W2(2)
i ,2 i  k1 ,2 i1,2 ,2 i1,2  k2 ,0 W2(2)
i ,2i  k1 ,2i1,2 ,2 i1,2  k2 ,1
2 2 1,1 1,1 1,1 1,1

i2
i1,1 i1,2
2 3
NO N O
0,K , 1 1  1 0,K , 2 2  1 W2(2)
i 1,2i 1 k1 ,2i1,2 ,2i1,2  k 2 ,0 W2(2)
i 1,2 i 1 k1 ,2i1,2 ,2i1,2  k2 ,1
2 2 1,1 1,1 1,1 1,1

i2
i1,1 i1,2
4 5
NO N O
0,K , 1 1  1 0,K , 2 2  1 W2(2)
i1,1 ,2i1,1  k1 ,2i1,2 1,2i1,2 1 k 2 ,0 W2(2)
i1,1 ,2i1,1  k1 ,2i1,2 1,2i1,2 1 k2 ,1
2 2
i2
i1,1 i1,2
6 7
NO N O
0,K , 1 1  1 0,K , 2 2  1 W2(2)
i1,1 1,2i1,1 1 k1 ,2i1,2 1,2i1,2 1 k2 ,0 W2(2)
i1,1 1,2i1,1 1 k1 ,2i1,2 1,2i1,2 1 k2 ,1
2 2
(2) 1 �vl ,m vl �,m� �
where Wl ,l ' ,m, m' ,n  � �.
2 PCSI-RS jn vl , m
� j n vl �,m��
and the mapping from i1,3 to k1 and k2 is given in Table 5.2.2.2.1-3.

CodebookMode = 2, N 2  1
i2
i1,1 i1,2
0 1 2 3
NO
0,K , 1 1  1 0 W2(2)
i ,2i  k1 ,0,0,0 W2(2)
i ,2i  k1 ,0,0,1 W2(2)
i 1,2i 1 k1 ,0,0,0 W2(2)
i 1,2i 1 k1 ,0,0,1
2 1,1 1,1 1,1 1,1 1,1 1,1 1,1 1,1

i2
i1,1 i1,2
4 5 6 7
NO
0,K , 1 1  1 0 W2(2)
i1,1  2,2i1,1  2  k1 ,0,0,0 W2(2)
i1,1  2,2i1,1  2  k1 ,0,0,1 W2(2)
i1,1  3,2i1,1  3 k1 ,0,0,0 W2(2)
i1,1  3,2i1,1  3 k1 ,0,0,1
2
(2) 1 �vl ,m vl �
,m� �
where Wl ,l ' ,m, m' ,n  � �.
2 PCSI-RS jn vl , m
� jn vl �,m��
and the mapping from i1,3 to k1 is given in Table 5.2.2.2.1-3.

Table 5.2.2.2.1-7: Codebook for 3-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode = 1-2, PCSI-RS  16

i1,1 i1,2 i2
0,K , N1O1  1 0,1,K , N 2O2  1 0,1 Wi(3),i  k1 ,i1,2 ,i1,2  k2 ,i2
1,1 1,1

(3) 1�vl , m vl �
, m� vl , m �
where Wl ,l � .n 
, m , m� � �.
jn vl ,m jn vl �
3PCSI-RS � , m� jn vl , m �

and the mapping from i1,3 to k1 and k2 is given in Table 5.2.2.2.1-4.

3GPP
Release 15 37 3GPP TS 38.214 V15.0.0 (2017-12)

CodebookMode = 1-2, PCSI-RS �16

i1,1 i1,2 i1,3 i2
N1O1
0,K , 1 0,K , N 2O2  1 0,1, 2,3 0,1 Wi(3),i ,i ,i2
2 1,1 1,2 1,3

� v%
l ,m v%
l ,m v%
l ,m �
� �
(3) 1 q
� p v%l ,m q p v%
l ,m q p v%
l ,m �
where Wl ,m, p , n  �j v% �.
3PCSI-RS � n l ,m jn v%
l ,m jn v% l ,m �
�
jnq p v% jnq n v% jnq p v% �
� l ,m l ,m l ,m �

Table 5.2.2.2.1-8: Codebook for 4-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode = 1-2, PCSI-RS  16

i1,1 i1,2 i2
0,K , N1O1  1 0,1,K , N 2O2  1 0,1 Wi(4),i  k1 ,i1,2 ,i1,2  k2 ,i2
1,1 1,1

(4)
�vl ,m
1 vl �
, m� vl ,m vl �
, m� �
where Wl ,l � .n 
, m, m � � �.
4 PCSI-RS �jn vl , m jn vl �, m� jn vl , m jn vl � �
, m�

and the mapping from i1,3 to k1 and k2 is given in Table 5.2.2.2.1-4.

CodebookMode = 1-2, PCSI-RS �16

i1,1 i1,2 i1,3 i2
N1O1
0,K , 1 0,K , N 2O2  1 0,1, 2,3 0,1 Wi(4),i ,i ,i2
2 1,1 1,2 1,3

� v%l ,m v%
l ,m v%
l ,m v%
l ,m �
� �
(4) 1 �q p v%l ,m q p v%
l ,m q p v%
l ,m q p v%l ,m �
where Wl , m, p , n  �j v% �.
4 PCSI-RS � n l ,m
j n v%
l ,m j n v%
l ,m jn v% l ,m �
�
j nq p v% j nq p v% j nq p v% jnq p v% �
� l ,m l ,m l ,m l ,m �

Table 5.2.2.2.1-9: Codebook for 5-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode = 1-2
i1,1 i1,2 i2
N2  1 0,K , N1O1  1 0,K , N 2O2  1 0,1 Wi(5),i  O1 ,i1,1  O1 ,i1,2 ,i1,2 ,i1,2  O2 ,i2
1,1 1,1

N1  2, N 2  1 0,K , N1O1  1 0 0,1 Wi(5),i O ,i  2O ,0,0,0,i

1,1 1,1 1 1,1 1 2

(5) 1 �vl , m vl , m vl �
, m� vl �
, m� vl ��
, m�
��
where Wl ,l ��
,l �
, m , m� ,n 
.m �
� � �.
5 PCSI-RS jn vl ,m
� j n vl , m , m� vl �
vl � ,m� vl �
�
,m���

3GPP
Release 15 38 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.2.2.2.1-10: Codebook for 6-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode = 1-2
i1,1 i1,2 i2
N2  1 0,K , N1O1  1 0,K , N 2O2  1 0,1 Wi(6),i  O1 ,i1,1  O1 ,i1,2 ,i1,2 ,i1,2  O2 ,i2
1,1 1,1

N1  2, N 2  1 0,K , N1O1  1 0 0,1 Wi(6),i  O1 ,i1,1  2O1 ,0,0,0,i2

1,1 1,1

(6) 1 �vl , m vl , m vl �
, m� vl �
, m� vl �
�
,m�� vl �
�, m���
where Wl ,l ��
,l �
, m, m � ,n 
.m �
� � �.
6 PCSI-RS jn vl ,m
� jn vl ,m jn vl �
, m� j n vl �
, m� vl �
� � vl �
,m � �,m �
��

Table 5.2.2.2.1-11: Codebook for 7-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode = 1-2
i1,1 i1,2 i2
N1O1
N1  4, N 2  1 0,K , 1 0 0,1 Wi(7),i  O1 ,i1,1  2O ,i1,1  3O1 ,0,0,0,0, i2
2 1,1 1,1

N1  4, N 2  1 0,K , N1O1  1 0 0,1 Wi(7),i  O1 ,i1,1  2O ,i1,1  3O1 ,0,0,0,0, i2

1,1 1,1

N1  2, N 2  2 0,K , N1O1  1 0,K , N 2 O2  1 0,1 Wi(7),i O ,i ,i O ,i ,i ,i O ,i O ,i

1,1 1,1 1 1,1 1,1 1 1,2 1,2 1,2 2 1,2 2 2

N 2 O2
N1  2, N 2  2 0,K , N1O1  1 0,K , 1 0,1 Wi(7),i O1 ,i1,1 ,i1,1  O1 ,i1,2 ,i1,2 ,i1,2 O2 ,i1,2  O2 ,i2
2 1,1 1,1

N1  2, N 2  2 0,K , N1O1  1 0,K , N 2 O2  1 0,1 Wi(7),i O1 ,i1,1 ,i1,1  O1 ,i1,2 ,i1,2 ,i1,2 O2 ,i1,2  O2 ,i2
1,1 1,1

(7) 1 �vl , m vl , m vl �, m� vl � � � vl �
, m� �, m�� vl �
�
� � vl �
, m�
� �
�, m� ��
�
where Wl ,l��
,l ��
,l �
�
, m , m�
.m�
�
, m�
�
�,n  � �.
7 PCSI-RS jn vl ,m
� j n vl , m j n vl �, m� vl �
� � vl �
, m� � � vl �
,m� �
� � vl �
, m�
� ��, m�
��
�

Table 5.2.2.2.1-12: Codebook for 8-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode = 1-2
i1,1 i1,2 i2
N1O1
N1  4, N 2  1 0,K , 1 0 0,1 Wi(8),i  O1 ,i1,1  2O ,i1,1  3O1 ,0,0,0,0,i2
2 1,1 1,1

N1  4, N 2  1 0,K , N1O1  1 0 0,1 Wi(8),i  O1 ,i1,1  2O ,i1,1  3O1 ,0,0,0,0,i2

1,1 1,1

N1  2, N 2  2 0,K , N1O1  1 0,K , N 2 O2  1 0,1 Wi(8),i  O ,i ,i  O ,i ,i ,i O ,i  O ,i

1,1 1,1 1 1,1 1,1 1 1,2 1,2 1,2 2 1,2 2 2

N 2 O2
N1  2, N 2  2 0,K , N1O1  1 0,K , 1 0,1 Wi(8),i  O1 ,i1,1 ,i1,1  O1 ,i1,2 ,i1,2 ,i1,2  O2 ,i1,2  O2 ,i2
2 1,1 1,1

N1  2, N 2  2 0,K , N1O1  1 0,K , N 2 O2  1 0,1 Wi(8),i  O1 ,i1,1 ,i1,1  O1 ,i1,2 ,i1,2 ,i1,2  O2 ,i1,2  O2 ,i2
1,1 1,1

(8) 1 �vl , m vl , m vl �
, m� vl �
, m� vl �
� � vl �
, m� �
, m�� vl �
�
� � vl �
, m�
� �
�, m���
�
where Wl ,l ��
,l ��
,l �
�
, m , m�
.m �
�
, m�
�
�,n  � �.
8PCSI-RS j n vl , m
� jn vl ,m jn vl �
,m � jn vl �
,m� vl �
�
,m�� vl �
� � vl �
,m� �
� � vl �
,m �
� ��,m�
���

5.2.2.2.2 Type I Multi-Panel Codebook

For 8 antenna ports {3000, 3001, …, 3007}, 16 antenna ports {3000, 3001, …, 3015}, and 32 antenna ports {3000,
3001, …, 3031}, and the UE configured with higher layer parameter CodebookType set to 'TypeI-MultiPanel',

- The values of N g , N 1 and N 2 are configured with the higher-layer parameters NumberOfPanels,
CodebookConfig-N1, and CodebookConfig-N2, respectively. The supported configurations of N g , N1 , N 2 for a  

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Release 15 39 3GPP TS 38.214 V15.0.0 (2017-12)

given number of CSI-RS ports and the corresponding values of  O1 , O2  are given in Table 5.2.2.2.2-1. The
number of CSI-RS ports, PCSI-RS , is 2 N g N1 N 2 .

- When N g  2 , CodebookMode shall be set to either '1' or '2'. When N g  4 , CodebookMode shall be set to '1'.

The UE is also configured with the higher layer parameters TypeI-MultiPanel-CodebookSubsetRestriction and TypeI-
MultiPanel-RI-Restriction. The bitmap parameter TypeI-MultiPanel-CodebookSubsetRestriction forms the bit sequence
a Ac 1 ,..., a1 , a0 where a0 is the LSB and a Ac 1 is the MSB and where a bit value of zero indicates that PMI reporting is
not allowed to correspond to any precoder associated with the bit. The number of bits is given by Ac  N1O1 N 2O2 . Bit
a N 2O2l  m is associated with all precoders based on the quantity vl , m , l  0,K , N1O1  1 , m  0,K , N 2O2  1 , as defined
below. The bitmap parameter TypeI-MultiPanel-RI-Restriction forms the bit sequence r3 ,..., r1 , r0 where r0 is the LSB
and r3 is the MSB. When ri is zero, i � 0,1,K ,3 , PMI and RI reporting are not allowed to correspond to any
precoder associated with   i  1 layers.

Table 5.2.2.2.2-1: Supported configurations of N g , N1 , N 2 and  O1 ,O2 

 
Number of
CSI-RS antenna ports, PCSI-RS  N g , N1 , N 2   O1,O2 
8 (2,2,1) (4,1)
(2,4,1) (4,1)
16 (4,2,1) (4,1)
(2,2,2) (4,4)
(2,8,1) (4,1)
(4,4,1) (4,1)
32
(2,4,2) (4,4)
(4,2,2) (4,4)

Each PMI value corresponds to the codebook indices i1 and i2 , where i1 is the vector

�
��
i1,1 i1,2
� i1,4 �
�  1
i1  �
��
�i1,1 i1,2
� i1,3 �  � 2,3, 4
i1,4 �

and  is the associated RI value. When CodebookMode is set to '1', i1,4 is

�
� i1,4,1 Ng  2
i1,4  � .
�� � Ng  4
i1,4,1 i1,4,2 i1,4,3 �
�

When CodebookMode is set to '2', i1,4 and i2 are

i1,4  �i1,4,1 i1,4,2 �

� �
.
i2  � �2,0 2,1 2,2 �
i i i �

The mapping from i1,3 to k1 and k2 for 2-layer reporting is given in Table 5.2.2.2.1-3. The mapping from i1,3 to k1
and k2 for 3-layer and 4-layer reporting is given in Table 5.2.2.2.2-2.

- UE shall only use i1, 2  0 and shall not report i1, 2 if the value of CodebookConfig-N2 is set to 1.

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Release 15 40 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.2.2.2.2-2: Mapping of i1,3 to k1 and k2 for 3-layer and 4-layer CSI reporting

N1  2, N 2  1 N1  4, N 2  1 N1  8, N 2  1 N1  2, N 2  2 N1  4, N 2  2
i1,3
k1 k2 k1 k2 k1 k2 k1 k2 k1 k2
0 O1 0 O1 0 O1 0 O1 0 O1 0
1 2O1 0 2O1 0 0 O2 0 O2
2 3O1 0 3O1 0 O1 O2 O1 O2
3 4O1 0 2O1 0

Several quantities are used to define the codebook elements. The quantities j n , a p , bn , um , and vl , m are given by

j n  e jp n 2
a p  e jp 4e jp p 2

bn  e  jp 4 e jp n 2
�� j 2p m 2p m ( N 2 1) �
j
�
��
1 e O2 N2 L e O2 N 2 � N2 1
um  �� �
�� �
�
� 1 N2 1
2p l 2p l ( N1 1) T
� j j �
vl , m �
um e O1 N1
um L e O1 N1
um �
� �
� �

Furthermore, the quantities Wl ,m, gp ,n and Wl ,m, pg ,n ( N g � 2, 4 ) are given by

1, N ,1 2, N ,1

� vl , m � � vl , m �
� j v � � j v �
1 � n l , m � W 2,2,1  1 � n l ,m �
Wl1,2,1
, m , p ,n  � j p vl , m � l , m, p ,n � j p vl , m �
PCSI-RS PCSI-RS
� 1 � � 1
�
j nj p1 vl , m �
�
� � 
� j j
� n p1 vl , m � �
� vl , m � � vl , m �
� j v � � j v �
� n l ,m � � n l ,m �
� j p vl , m � � j p vl , m �
� 1 � � 1
�
1
jnj p1 vl , m �
� 1
j j
� n p1 vl , m �
Wl1,4,1
, m , p ,n 
� � Wl 2,4,1
, m , p ,n 
� �
PCSI-RS � j p2 vl ,m � PCSI-RS � j p2 vl , m �
�
jj v � �
j j v �
�n p2 l , m � � n p2 l , m �
�j v � � j v �
� p3 l , m � � p3 l , m
�
jnj p3 vl , m �
�
� � 
� j j
� n p3 vl , m �
�

where

�
� p1 Ng  2
p� ,
[ p1
� p2 p3 ] Ng  4

and the quantities Wl ,m, gp ,n and Wl ,m, pg ,n ( N g  2 ) are given by

1, N ,2 2, N ,2

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Release 15 41 3GPP TS 38.214 V15.0.0 (2017-12)

� vl , m � � vl , m �
� j v � � j v �
1 � n0 l , m � 2,2,2 1 � n0 l , m �
Wl1,2,2
,m, p,n  �a b v � Wl , m, p ,n  �a b v �
PCSI-RS � p1 n1 l , m � PCSI-RS � p1 n1 l , m �
�a p2 bn2 vl , m � �
a p2 bn2 vl ,m �
� � � �

where

p  [ p1 p2 ]
.
n  [ n0 n1 n2 ]

The codebooks for 1-4 layers are given respectively in Tables 5.2.2.2.2-3, 5.2.2.2.2-4, 5.2.2.2.2-5, and 5.2.2.2.2-6.

Table 5.2.2.2.2-3: Codebook for 1-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode='1', N g � 2, 4
i1,1 i1,2 i1,4,q , q  1,K , N g  1 i2
0,K , N1O1  1 0,K , N 2O2  1 0,1, 2,3 0,1, 2,3 Wi(1),i ,i , i2
1,1 1,2 1,4

1, N ,1
where Wl(1)
, m, p, n  Wl , m, gp ,n .

CodebookMode ='2', N g  2
i1,1 i1,2 i1,4, q , q  1, 2 i2,0 i2, q , q  1, 2

0,K , N1O1  1 0,K , N 2O2  1 0,1, 2,3 0,1, 2,3 0,1 Wi(1),i , i , i2
1,1 1,2 1,4

1, N g ,2
where Wl(1)
, m , p , n  Wl , m , p , n .

Table 5.2.2.2.2-4: Codebook for 2-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode='1', N g � 2, 4
i1,1 i1,2 i1,4,q , q  1,K , N g  1 i2
0,K , N1O1  1 0,K , N 2O2  1 0,1, 2,3 0,1 Wi(2),i  k1 ,i1,2 ,i1,2  k 2 ,i1,4 ,i2
1,1 1,1

(2) 1 � 1, N g ,1 2, N g ,1 �
where Wl ,l �
, m , m�  Wl , m, p ,n Wl�
, m�
2�
, p, n , p,n �

and the mapping from i1,3 to k1 and k2 is given in Table 5.2.2.2.1-3.

CodebookMode='2', N g  2
i1,1 i1,2 i1,4, q , q  1, 2 i2, q , q  0,1, 2

0,K , N1O1  1 0,K , N 2O2  1 0,1, 2,3 0,1 Wi(2),i  k1 ,i1,2 ,i1,2  k 2 ,i1,4 ,i2
1,1 1,1

(2) 1 � 1, N g ,2 2, N g ,2 �
where Wl ,l � , p, n 
, m , m� Wl , m, p ,n Wl�
, m�
2�
, p,n �

and the mapping from i1,3 to k1 and k2 is given in Table 5.2.2.2.1-3.

3GPP
Release 15 42 3GPP TS 38.214 V15.0.0 (2017-12)

Table 5.2.2.2.2-5: Codebook for 3-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode='1', N g � 2, 4
i1,1 i1,2 i1,4,q , q  1,K , N g  1 i2
0,K , N1O1  1 0,K , N 2O2  1 0,1, 2,3 0,1 Wi(3),i  k1 ,i1,2 ,i1,2  k 2 ,i1,4 ,i2
1,1 1,1

(3) 1 � 1, N g ,1 1, N g ,1 2, N g ,1 �
where Wl ,l � , p,n 
, m , m� �
Wl , m, p ,n Wl�, m�, p , n Wl , m, p , n �
3
and the mapping from i1,3 to k1 and k2 is given in Table 5.2.2.2.2-2.

CodebookMode='2', N g  2
i1,1 i1,2 i1,4, q , q  1, 2 i2, q , q  0,1, 2

0,K , N1O1  1 0,K , N 2O2  1 0,1, 2,3 0,1 Wi(3),i  k1 ,i1,2 ,i1,2  k 2 ,i1,4 ,i2
1,1 1,1

(3) 1 � 1, N g ,2 1, N g ,2 2, N g ,2 �
where Wl ,l �
, m , m�  Wl , m, p , n Wl �
,m� , p , n Wl , m, p , n �
3�
, p,n

and the mapping from i1,3 to k1 and k2 is given in Table 5.2.2.2.2-2.

Table 5.2.2.2.2-6: Codebook for 4-layer CSI reporting using antenna ports 3000 to 2999+PCSI-RS

CodebookMode='1', N g � 2, 4
i1,1 i1,2 i1,4,q , q  1,K , N g  1 i2
0,K , N1O1  1 0,K , N 2O2  1 0,1, 2,3 0,1 Wi(4),i  k1 ,i1,2 ,i1,2  k 2 ,i1,4 ,i2
1,1 1,1

(4) 1 � 1, N g ,1 1, N g ,1 2, N g ,1 2, N g ,1 �
where Wl ,l � , p,n 
, m , m� �
Wl , m, p , n Wl �
, m�, p , n Wl , m, p , n Wl �
, m�, p ,n �
4
and the mapping from i1,3 to k1 and k2 is given in Table 5.2.2.2.2-2.

CodebookMode='2', N g  2
i1,1 i1,2 i1,4, q , q  1, 2 i2, q , q  0,1, 2

0,K , N1O1  1 0,K , N 2O2  1 0,1, 2,3 0,1 Wi(4),i  k1 ,i1,2 ,i1,2  k 2 ,i1,4 ,i2
1,1 1,1

(4) 1 � 1, N g ,2 1, N g ,2 2, N g ,2 2, N g ,2 �
where Wl ,l � , p,n 
, m , m� Wl , m, p , n Wl �
, m�, p , n Wl , m, p , n Wl �
, m�
4�
, p ,n �

and the mapping from i1,3 to k1 and k2 is given in Table 5.2.2.2.2-2.

5.2.2.2.3 Type II Codebook

For 4 antenna ports {3000, 3001, …, 3003}, 8 antenna ports {3000, 3001, …, 3007}, 12 antenna ports {3000, 3001, …,
3011}, 16 antenna ports {3000, 3001, …, 3015}, 24 antenna ports {3000, 3001, …, 3023}, and 32 antenna ports {3000,
3001, …, 3031}, and the UE configured with higher layer parameter CodebookType set to 'TypeII'

- The values of N 1 and N 2 are configured with the higher-layer parameters CodebookConfig-N1 and
CodebookConfig-N2, respectively. The supported configurations of  N1 , N 2  for a given number of CSI-RS
ports and the corresponding values of  O1 , O2  are given in Table 5.2.2.2.1-2. The number of CSI-RS ports,
PCSI-RS , is 2 N 1 N 2 .

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Release 15 43 3GPP TS 38.214 V15.0.0 (2017-12)

- The value of L is configured with the higher layer parameter NumberOfBeams, where L  2 when PCSI-RS  4
and L � 2,3, 4 when PCSI-RS  4 .

- The value of N PSK is configured with the higher layer parameter PhaseAlphabetSize, where N PSK � 4,8 .

- The UE is configured with the higher layer parameter SubbandAmplitude set to 'ON' or 'OFF'.

- The UE shall not report RI > 2.

When   2 , where  is the associated RI value, each PMI value corresponds to the codebook indices i1 and i2
where

�
��
i1,1 i1,2
� i1,3,1 i1,4,1 �
�  1
i1  �
��
�i1,1 i1,2
� i1,3,1 i1,4,1 i1,3,2 � 2
i1,4,2 �
��
i2,1,1 � SubbandAmplitude  'OFF',   1
�� � ..
� SubbandAmplitude  'OFF',   2
��
i2,1,1 i2,1,2 �
� �
i2  �
��
i2,1,1 i2,2,1 �
� � SubbandAmplitude  'ON',   1
�
��
i2,1,1 i2,2,1 i2,1,2
�� � SubbandAmplitude  'ON',   2
i2,2,2 �

The L vectors combined by the codebook are identified by the indices i1,1 and i1,2 , where

i1,1  [ q1 q2 ]
q1 � 0,1,K , O1  1
q2 � 0,1,K , O2  1


 N N   
i1, 2  0,1,  ,  1 2   1 .

  L   
Let

n1(0) ,K , n1( L 1) �

n1  �
� �
(0) ( L 1)
n2  �
n2 ,K , n2 �
� �
n1(i ) � 0,1,K , N1  1
n2(i ) � 0,1,K , N 2  1

and

�
�x �
� � x �y
�
C  x, y   �
�y � .
�0 x y
�

where the values of C  x, y  are given in Table 5.2.2.2.3-1.

Then the elements of n1 and n2 are found from i1,2 using the algorithm:

s1  0
for i  0,K , L  1

Find the largest x � L  1  i,K , N1 N 2  1  i in Table 5.2.2.2.3-1 such that i1,2  si 1 �C x , L  i
* *


ei  C x* , L  i 

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Release 15 44 3GPP TS 38.214 V15.0.0 (2017-12)

si  si 1  ei
n   N1 N 2  1  x*
i

n1   n  mod N1
i i

 i
n2
 n   n  
i
1
i

N1

When n1 and n2 are known, i1,2 is found using:

n   N1n2   n1  where the indices i  0,1,K , L  1 are assigned such that n i  increases as i increases
i i i

 
L 1
i1,2  �C N1 N 2  1  n  , L  i , where C  x, y  is given in Table 5.2.2.2.3-1.
i

i 0

- If N 2  1 , q2  0 and n2(i )  0 for i  0,1,K , L  1 , and q2 is not reported.

- When  N1 , N 2   (2,1) , n1  [ 0,1] and n2  [ 0, 0] , and i1,2 is not reported.

- When  N1 , N 2   (4,1) and L  4 , n1  [ 0,1, 2,3] and n2  [ 0,0, 0, 0] , and i1,2 is not reported.

- When  N1 , N 2   (2, 2) and L  4 , n1  [ 0,1, 0,1] and n2  [ 0,0,1,1] , and i1,2 is not reported.

Table 5.2.2.2.3-1: Combinatorial coefficients C  x, y 

y
1 2 3 4
x
0 0 0 0 0
1 1 0 0 0
2 2 1 0 0
3 3 3 1 0
4 4 6 4 1
5 5 10 10 5
6 6 15 20 15
7 7 21 35 35
8 8 28 56 70
9 9 36 84 126
10 10 45 120 210
11 11 55 165 330
12 12 66 220 495
13 13 78 286 715
14 14 91 364 1001
15 15 105 455 1365

The strongest coefficient on layer l , l  1,K , is identified by i1,3,l � 0,1,K , 2 L  1 .

The amplitude coefficient indicators i1,4,l and i2,2,l are

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Release 15 45 3GPP TS 38.214 V15.0.0 (2017-12)

kl(1)
i1,4,l  �
�
(1) (1) �
,0 , kl ,1 , K , kl ,2 L 1 �

i2,2,l  �kl(2) (2) (2) �

,0 , kl ,1 , K , kl ,2 L 1 �
�
,i � 0,1,K , 7
kl(1)

,i � 0,1
kl(2)

(1) (1)
for l  1,K , . The mapping from kl ,i to the amplitude coefficient pl ,i is given in Table 5.2.2.2.3-2 and the mapping
(2) (2)
from kl ,i to the amplitude coefficient pl ,i is given in Table 5.2.2.2.3-3. The amplitude coefficients are represented by

pl(1)  � (1) (1) (1) �

�pl ,0 , pl ,1 ,K , pl ,2 L 1 �
pl(2)  � (2) (2) (2) �
�pl ,0 , pl ,1 ,K , pl ,2 L 1 �

for l  1,K , .

(1) (1)
Table 5.2.2.2.3-2: Mapping of elements of i1,4,l : kl ,i to pl ,i

kl(1)
,i pl(1)
,i

0 0
1 1 64
2 1 32
3 1 16
4 18
5 14
6 12
7 1

(2) (2)
Table 5.2.2.2.3-3: Mapping of elements of i2,2,l : kl ,i to pl ,i

kl(2)
,i pl(2)
,i

0 12
1 1

The phase coefficient indicators are

i2,1,l  �
cl ,0 , cl ,1 ,K , cl ,2 L 1 �
� �

for l  1,K , .

The amplitude and phase coefficient indicators are reported as follows:

The indicators kl ,i1,3,l  7 , kl ,i1,3,l  1 , and cl ,i 1,3,l  0 ( l  1,K , ). kl ,i1,3,l , kl ,i1,3,l , and cl ,i1,3,l are not reported for
(1) (2) (1) (2)
-
l  1,K , .

The remaining 2 L  1 elements of i1,4,l ( l  1,K , ) are reported, where kl ,i � 0,1,K , 7 . Let M l ( l  1,K , )
(1)
-
(1)
be the number of elements of i1,4,l that satisfy kl ,i  0 .

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- The remaining 2 L  1 elements of i2,1,l and i2,2,l ( l  1,K , ) are reported as follows:

- When SubbandAmplitude is set to 'OFF',

- kl(2)
,i  1 for l  1,K , , and i  0,1,K , 2 L  1 . i2,2,l is not reported for l  1,K , .

(1)
- For l  1,K , , the elements of i2,1,l corresponding to the coefficients that satisfy kl ,i  0 , i �i1,3,l , as
determined by the reported elements of i1,4,l , are reported, where cl ,i � 0,1,K , N PSK  1 and the
remaining 2 L  M l elements of i2,1,l are not reported and are set to cl ,i  0 .

- When SubbandAmplitude is set to 'ON',

- For l  1,K , , the elements of i2,2,l and i2,1,l corresponding to the min M l , K 
(2)

 1 strongest
coefficients (excluding the strongest coefficient indicated by i1,3,l ), as determined by the corresponding
reported elements of i1,4,l , are reported, where kl ,i � 0,1 and cl ,i � 0,1,K , N PSK  1 . The values of
(2)

K (2) are given in Table 5.2.2.2.3-4. The remaining 2 L  min M l , K(2)


elements of i2,2,l are not
(2)
reported and are set to kl ,i  1 . The elements of i2,1,l corresponding to the M l  min M l , K 
(2)

weakest
non-zero coefficients are reported, where cl ,i � 0,1, 2,3 . The remaining 2 L  M l elements of i2,1,l are
not reported and are set to cl ,i  0 .

(1) (1) (1) (1)

- When two elements, kl , x and kl , y , of the reported elements of i1,4,l are identical ( kl , x  kl , y ), then


element min  x, y  is prioritized to be included in the set of the min M l , K
(2)

 1 strongest coefficients
for i2,1,l and i2,2,l ( l  1,K , ) reporting.

Table 5.2.2.2.3-4: Full resolution subband coefficients when SubbandAmplitude is set to 'ON'

L K (2)
2 4
3 4
4 6

The codebooks for 1-2 layers are given in Table 5.2.2.2.3-5, where the indices m1(i ) and m2(i ) are given by

m1(i )  O1n1(i )  q1
m2(i )  O2 n2(i )  q2

for i  0,1,K , L  1 , and the quantities j l ,i , um , and vl , m are given by

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� j 2p cl ,i N PSK
e SubbandAmplitude  'OFF'
�
�
�
e
j 2p cl ,i N PSK

SubbandAmplitude = 'ON', min M l , K (2) strongest coefficients (including i1,3,l ) with kl(1) 
,i  0
jl ,i  � j 2p c 4
�
�
e l ,i
SubbandAmplitude = 'ON', M l  min M l , K (2) weakest coefficients with kl(1)
,i  0  
�
�1 SubbandAmplitude = 'ON', 2 L  M l coefficients with kl(1)
,i  0

�� j 2p m 2p m ( N 2 1) �
j .
�
��1 e O2 N 2 L e O2 N 2 � N2 1
um  �� �
�� �
�
� 1 N2 1
2p l 2p l ( N1 1) T
� j j �
vl ,m �
u e O1 N1
um L e O1 N1
um �
�m �
� �

Table 5.2.2.2.3-5: Codebook for 1-layer and 2-layer CSI reporting using antenna ports 3000 to
2999+PCSI-RS

Layers

 1 Wq 1,q (1) (2)  Wq1 , q (1) (2)

1 2 , n1 , n2 , p1 , p1 , i2 ,1,1 1 2 , n1 , n2 , p1 , p1 , i2,1,1

1 �1
2 Wq(2), q , n , n , p(1) , p(2) ,i 
Wq , q , n , n , p(1) , p(2) ,i Wq2,q , n , n , p(1) , p(2) ,i �
1 2 1 2 1 1
(1) (2)
�
2 ,1,1 , p2 , p2 , i2,1,2
2 1 2 1 2 1 1 2,1,1 1 2 1 2 2 2 2,1,2 �

� L 1 �
1 � � 1 2
, i pl , i jl ,i
vm( i ) ,m( i ) pl(1) (2)
�
where Wql ,q , n , n , p(1) p(2) , c  � i 0 �
, l  1, 2 ,
L 1
2 L 1 � �
N1 N 2 � pl ,i pl ,i  �
1 2 1 2 l , l l

�
2
(1) (2)
vm( i ) ,m( i ) pl ,i  L pl ,i  Ljl ,i  L �
(1) (2)

i 0 �i 0
1 2
�
and the mappings from i1 to q1 , q2 , n1 , n2 , p1(1) , and p 2(1) , and from i2 to i2,1,1 , i2,1,2 , p1(2) and p2(2) are as described
above, including the ranges of the constituent indices of i1 and i2 .

When the UE is configured with higher layer parameter CodebookType set to 'TypeII', the UE is also configured with
the higher layer parameters TypeII-CodebookSubsetRestriction and TypeII-RI-Restriction. The bitmap parameter TypeII
-RI-Restriction forms the bit sequence r1 , r0 where r0 is the LSB and r1 is the MSB. When ri is zero, i � 0,1 , PMI
and RI reporting are not allowed to correspond to any precoder associated with   i  1 layers. The bitmap parameter
TypeII- CodebookSubsetRestriction forms the bit sequence B  B1 B2 where bit sequences B1 , and B2 are concatenated
to form B . To define B1 and B2 , first define the O1O2 vector groups G  r1 , r2  as


G  r1 , r2   v N1r1  x1 , N 2 r2  x2 : x1  0,1,K , N1  1; x2  0,1,K , N 2  1 
for

r1 � 0,1,K , O1  1
.
r2 � 0,1,K , O2  1

 k  k
The UE shall be configured with restrictions for 4 vector groups indicated by r1 , r2   for k  0,1, 2, 3 and identified
by the group indices

g    O1r2   r1 
k k k

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for k  0,1,K ,3 , where the indices are assigned such that g  k  increases as k increases. The remaining vector groups
are not restricted.

- If N 2  1 , g  k   k for k  0,1,K ,3 , and B1 is empty.

- If N 2  1 , B1  b1 10 L b1 0  is the binary representation of the integer 1 where b1 10  is the MSB and b1 0  is the
LSB. 1 is found using:

 
3
1  �C O1O2  1  g  k  , 4  k ,
k 0

 k  k
where C  x, y  is defined in Table 5.2.2.2.3-1. The group indices g  k  and indicators r1 , r2   for k  0,1, 2,3
may be found from 1 using the algorithm:

s1  0
for k  0,K , 3
Find the largest x � 3  k ,K , O1O2  1  k  such that 1  sk 1 �C x , 4  k
* *
 

ek  C x* , 4  k 
sk  sk 1  ek
g    O1O2  1  x*
k

r1   g   mod O1
k k

 k
r2
 g    r  
k
1
k

O1

The bit sequence B2  B2 0  B2 1 B2 2  B2 3 is the concatenation of the bit sequences B2 k  for k  0,1,K ,3 , corresponding
to the group indices g  k  . The bit sequence B2 k  is defined as

B2   b2
k ,2 N1 N 2 1
L b2 
k k ,0

Bits b2 k ,2 N1 x2  x1  1 b2 k ,2 N1 x2  x1   indicate the maximum allowed amplitude coefficient pl ,i for the vector in group g  k 
1

indexed by x1 , x2 , where the maximum amplitude coefficients are given in Table 5.2.2.2.3-6.

Table 5.2.2.2.3-6: Maximum allowed amplitude coefficients for restricted vectors

Maximum
Bits Amplitude
b2
 k ,2 N1 x2  x1  1  k ,2 N1x2  x1  
b2
Coefficient
pl(1)
,i
00 0
01 14
10 12
11 1

5.2.2.2.4 Type II Port Selection Codebook

For 4 antenna ports {3000, 3001, …, 3003}, 8 antenna ports {3000, 3001, …, 3007}, 12 antenna ports {3000, 3001, …,
3007}, 16 antenna ports {3000, 3001, …, 3015}, 24 antenna ports {3000, 3001, …, 3023}, and 32 antenna ports {3000,
3001, …, 3031}, and the UE configured with higher layer parameter CodebookType set to 'TypeII-PortSelection'

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- The number of CSI-RS ports is given by PCSI-RS � 4,8,12,16, 24,32 as configured by higher layer parameter
NrofPorts.

- The value of L is configured with the higher layer parameter NumberOfBeams , where L  2 when PCSI-RS  4
and L � 2,3, 4 when PCSI-RS  4 .

- The value of d is configured with the higher layer parameter PortSelectionSamplingSize, where d � 1, 2,3, 4
�PCSI-RS �
and d �min � , L �.
� 2 �

- The value of N PSK is configured with the higher layer parameter PhaseAlphabetSize, where N PSK � 4,8 .

- The UE is configured with the higher layer parameter SubbandAmplitude set to 'ON' or 'OFF'.

- The UE shall not report RI > 2.

The UE is also configured with the higher layer parameter TypeII-PortSelection-RI-Restriction. The bitmap parameter
TypeII-PortSelection-RI-Restriction forms the bit sequence r1 , r0 where r0 is the LSB and r1 is the MSB. When ri is
zero, i � 0,1 , PMI and RI reporting are not allowed to correspond to any precoder associated with   i  1 layers.

When   2 , where  is the associated RI value, each PMI value corresponds to the codebook indices i1 and i2
where

�
��
i1,1 i1,3,1 i1,4,1 �
� �  1
i1  �
��
�i1,1 i1,3,1 i1,4,1 i1,3,2
� � 2
i1,4,2 �
��i2,1,1 � SubbandAmplitude  'OFF',   1
�� � .
� SubbandAmplitude  'OFF',   2
��
�i2,1,1 i2,1,2 �
�
i2  �
�
��i2,1,1 i2,2,1 �
� SubbandAmplitude  'ON',   1
�
�
��2,1,1 2, 2,1 i2,1,2
� i i � SubbandAmplitude  'ON',   2
i2,2,2 �

The L antenna ports per polarization are selected by the index i1,1 , where

� �P � �
i1,1 ��
0,1, K , �CSI-RS � 1�.
� � 2 d �

The strongest coefficient on layer l , l  1,K , is identified by i1,3,l � 0,1,K , 2 L  1 .

The amplitude coefficient indicators i1,4,l and i2,2,l are

kl(1)
i1,4,l  �
�
(1) (1) �
,0 , kl ,1 , K , kl ,2 L 1 �

i2,2,l  �kl(2) (2) (2) �

,0 , kl ,1 , K , kl ,2 L 1 �
�
,i � 0,1,K , 7
kl(1)

,i � 0,1
kl(2)

(1) (1)
for l  1,K , . The mapping from kl ,i to the amplitude coefficient pl ,i is given in Table 5.2.2.2.3-2 and the mapping
(2) (2)
from kl ,i to the amplitude coefficient pl ,i is given in Table 5.2.2.2.3-3. The amplitude coefficients are represented by

pl(1)  � (1) (1) (1) �

�pl ,0 , pl ,1 ,K , pl ,2 L 1 �
pl(2)  � (2) (2) (2) �
�pl ,0 , pl ,1 ,K , pl ,2 L 1 �

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for l  1,K , .

The phase coefficient indicators are

i2,1,l  �
cl ,0 , cl ,1 ,K , cl ,2 L 1 �
� �

for l  1,K , .

The amplitude and phase coefficient indicators are reported as follows:

The indicators kl ,i1,3,l  7 , kl ,i1,3,l  1 , and cl ,i 1,3,l  0 ( l  1,K , ). kl ,i1,3,l , kl ,i1,3,l , and cl ,i1,3,l are not reported for
(1) (2) (1) (2)
-
l  1,K , .

The remaining 2 L  1 elements of i1,4,1 ( l  1,K , ) are reported, where kl ,i � 0,1,K , 7 . Let M l ( l  1,K , )
(1)
-
(1)
be the number of elements of i1,4,1 that satisfy kl ,i  0 .

- The remaining 2 L  1 elements of i2,1,l and i2,2,l ( l  1,K , ) are reported as follows:

- When SubbandAmplitude is set to 'OFF',

- kl(2)
,i  1 for l  1,K ,  , and i  0,1,K , 2 L  1 . i2,2,l is not reported for l  1,K , .

(1)
- For l  1,K , , the M l  1 elements of i2,1,l corresponding to the coefficients that satisfy kl ,i  0 ,
i �i1,3,l , as determined by the reported elements of i1,4,l , are reported, where cl ,i � 0,1,K , N PSK  1 and
the remaining 2 L  M l elements of i2,1,l are not reported and are set to cl ,i  0 .

- When SubbandAmplitude is set to 'ON',

- For l  1,K , , the elements of i2,2,l and i2,1,l corresponding to the min M l , K
(2)

 1 strongest 
coefficients (excluding the strongest coefficient indicated by i1,3,l ), as determined by the corresponding
reported elements of i1,4,l , are reported, where kl ,i � 0,1 and cl ,i � 0,1,K , N PSK  1 . The values of
(2)

K (2) are given in Table 5.2.2.2.3-4. The remaining 2 L  min M l , K

(2)
 
elements of i2,2,l are not
(2)
reported and are set to kl ,i  1 . The elements of i2,1,l corresponding to the M l  min M l , K
(2)
weakest  
non-zero coefficients are reported, where cl ,i � 0,1, 2,3 . The remaining 2 L  M l elements of i2,1,l are
not reported and are set to cl ,i  0 .

(1) (1) (1) (1)

- When two elements, kl , x and kl , y , of the reported elements of i1,4,l are identical ( kl , x  kl , y ), then

element min  x, y  is prioritized to be included in the set of the min M l , K

(2)
 
 1 strongest coefficients
for i2,1,l and i2,2,l ( l  1,K , ) reporting.

The codebooks for 1-2 layers are given in Table 5.2.2.2.4-1, where the quantity j l ,i is given by

� j 2p cl ,i N PSK
e SubbandAmplitude  'OFF'
�
�
e
�
j 2p cl ,i N PSK
 
SubbandAmplitude = 'ON', min M l , K (2) strongest coefficients (including i1,3,l ) with kl(1)
,i  0
jl , i  � j 2p c
e
�
�
l ,i 4
 
SubbandAmplitude = 'ON', M l  min M l , K (2) weakest coefficients with kl(1)
,i  0

�
1
� SubbandAmplitude = 'ON', 2 L  M l coefficients with kl(1)
,i  0

and vm is a PCSI-RS 2 -element column vector containing a value of 1 in element  m mod PCSI-RS 2  and zeros
elsewhere (where the first element is element 0).

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Table 5.2.2.2.4-1: Codebook for 1-layer and 2-layer CSI reporting using antenna ports 3000 to
2999+PCSI-RS

Layers

 1 Wi  1, p(1) , p(2) ,i  Wi1 , p(1) , p(2) ,i

1,1 1 1 2 ,1,1 1,1 1 1 2,1,1

1 �1
2 Wi (2), p(1) , p(2) ,i  Wi , p(1) , p(2) ,i Wi 2 , p(1) , p(2) ,i �
1,1 1 1
(1) (2)
2 ,1,1 , p2 , p2 ,i2 ,1,2
2 � 1,1 1 1 2,1,1 1,1 2 2 2,1,2 �

� L 1 �
��vi1,1d i pl ,i pl ,i jl ,i �
(1) (2)

1 � i 0 �
where Wi l , p(1) p(2) ,i  , l  1, 2 ,
2 L 1 �L 1
�
� p ,i 
1,1 l , l 2 ,1,l

�vi1,1d i pl ,i  L pl ,i  Ljl ,i �
(1) 2 (1) (2)
l ,i pl(2) �
i 0 �i 0 �
and the mappings from i1 to i1,1 , p1(1) , and p2(1) and from i2 to i2,1,1 , i2,1,2 , p1(2) , and p2(2) are as described above, including the
ranges of the constituent indices of i1 and i2 .

5.2.2.3 Reference signal (CSI-RS)

5.2.2.3.1 Non-zero power CSI-RS

The UE can be configured with one or more non-zero power CSI-RS resource set configuration(s) as indicated by the
higher layer parameter ResourceSetConfig Each resource set consists of K≥1 non-zero power CSI-RS resource(s).

The following parameters for which the UE shall assume non-zero transmission power for CSI-RS resource are
configured via higher layer parameter NZP-CSI-RS-ResourceConfig for each CSI-RS resource configuration:

- NZP-CSI-RS-ResourceConfigId determines CSI-RS resource configuration identity.

- NrofPorts defines the number of CSI-RS ports, where the allowable values are given inSubclause 7.4.1.5 of [4,
TS 38.211].

- CSI-RS-timeConfig defines the CSI-RS periodicity and slot offset for periodic/semi-persistent CSI-RS. The
allowable periodicity values of are given in subclause [TBD] of [4, TS 38.211].

- CSI-RS-ResourceMapping defines the OFDM symbol and subcarrier occupancy of the CSI-RS resource within a
slot that are given in Subclause 7.4.1.5 of [4, TS 38.211].

- CSI-RS-Density defines CSI-RS frequency density, where the allowable values are given in Subclause 7.4.1.5 of
[4, TS 38.211].

- CDMType defines CDM values and pattern, where the allowable values are given in Subclause 7.4.1.5 of [4, TS
38.211].

- CSI-RS-FreqBand parameters configure the bandwidth and the initial RB index in the frequency domain, both in
units of 4RBs, of a CSI-RS resource within a BWP as defined in Subclause 7.4.1.5 of [4, TS 38.211].

- Pc: which is the assumed ratio of PDSCH EPRE to non-zero power CSI-RS EPRE when UE derives CSI
feedback and takes values in the range of [-8, 15] dB with 1 dB step size,

- Pc-PDCCH which is the assumed ratio of PDCCH EPRE to non-zero power CSI-RS EPRE and takes the value
of 0 dB.

- Pc_SS: which is the assumed ratio of SS/PBCH block EPRE to non-zero power CSI-RS EPRE.

- ScramblingID: defines scrambling ID of CSI-RS with length of 10 bits

- CC_Info defines which component carrier the configured CSI-RS is located in.

- BWP-Info defines which bandwidth part the configured CSI-RS is located in.

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- CSI-RS-ResourceRep parameter associated with a CSI-RS resource set defines whether a repetition in
conjunction with spatial domain transmission filter is ON/OFF at gNB-side as described in Subclause 5.1.6.1.2.

- QCL-InfoPeriodicCSI-RS

The UE may be configured the CSI-RS in same OFDM symbols as CORESET, but not in the same resource elements.

The UE may be configured the CSI-RS in same OFDM symbols as SS/PBCH block, but not in the same resource
elements.

The UE may be configured the CSI-RS in same OFDM symbols as SS/PBCH block, but not in the same resource
elements, if the higher layer parameter NrofPorts is configured as 1 or 2.

5.2.2.4 Channel State Information – Interference Measurement (CSI-IM)

The UE can be configured with a single or more CSI-IM resource configuration(s).

The following parameters for which the UE shall assume zero transmission power are configured via higher layer
parameter CSI-IM-ResourceConfig for each CSI-IM resource configuration:

- CSI-IM-ResourceId determines CSI-IM resource configuration identity

- CSI-IM-ResourceMapping as given in Subclause TBD of [4, TS 38.211].

- CSI-IM-RE-Pattern as given in Subclause TBD of [4, TS 38.211].

- CSI-IM-timeConfig defines the CSI-IM periodicity and slot offset for periodic/semi-persistent CSI-IM according
to the Subclause TBD of [4, TS 38.211].

- CSI-IM-FreqBand includes parameters to enable configuration of frequency-occupancy of CSI-IM, as defined in

Subclause TBD of [4, TS 38.211].

5.2.3 CSI reporting using PUSCH

A UE shall perform aperiodic CSI reporting using PUSCH in slot n+Y on serving cell c upon successful decoding in
slot n of an uplink DCI format for serving cell c, where Y is indicated in the decoded uplink DCI. The higher layer
parameter AperiodicReportSlotOffset contains the allowed values of Y for a given Reporting Setting. When N Rep �1
reports are scheduled, let Yi , j be the ith allowed value for Report Setting j ( j  0,K , N Rep  1 ). Then the ith codepoint
of the DCI field corresponds to the allowed value Yi  max
j
Yi , j .

An aperiodic CSI report carried on the PUSCH supports wideband, partial band, and sub-band frequency granularities.
An aperiodic CSI report carried on the PUSCH supports Type I and Type II CSI.

A UE shall perform semi-persistent CSI reporting on the PUSCH upon successful decoding an uplink DCI format. The
uplink DCI format will contain one or more CSI Reporting Setting Indications where the associated CSI Measurement
Links and CSI Resource Settings are higher layer configured. Semi-persistent CSI reporting on the PUSCH supports
Type I and Type II CSI with wideband, partial band, and sub-band frequency granularities. The PUSCH resources and
MCS shall be allocated semi-persistently by an uplink DCI.

CSI reporting on PUSCH can be multiplexed with uplink data on PUSCH. CSI reporting on PUSCH can also be
performed without any multiplexing with uplink data from the UE.

Type I CSI feedback is supported for CSI Reporting on PUSCH. Type I subband CSI is supported for CSI Reporting on
the PUSCH. Type II CSI is supported for CSI Reporting on the PUSCH.

For Type I CSI feedback on PUSCH, a CSI report comprises up to two parts. Part 1 contains RI/CRI, CQI for the first
codeword. Part 2 contains PMI and contains the CQI for the second codeword when RI>4.

For Type II CSI feedback on PUSCH, a CSI report comprises up to two parts. Part 1 is used to identify the number of
information bits in Part 2. Part 1 shall be transmitted in its entirety before Part 2 and may be used to identify the number
of information bits in Part 2. Part 1 has a fixed payload size and contains RI, CQI, and an indication of the number of
non-zero wideband amplitude coefficients per layer for the Type II CSI (see sub-clause 5.2.2). The fields of Part 1 – RI,
CQI, and the indication of the number of non-zero wideband amplitude coefficients for each layer – are separately

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encoded. Part 2 contains the PMI of the Type II CSI. Part 1 and 2 are separately encoded. A Type II CSI report that is
carried on the PUSCH shall be computed independently from any Type II CSI report that is carried on the Long
PUCCH (see sub-clause 5.2.4 and 5.2.2).

When the higher layer parameter ReportQuantity is configured with one of the values 'CRI/RSRP' or 'SSBRI/RSRP', the
CSI feedback consists of a single part.

When CSI reporting on PUSCH comprises two parts, the UE may omit a portion of the Part 2 CSI. Omission of Part 2
CSI is according to the priority order shown in Table 5.2.3-1, where N Rep is the number of CSI reports in one slot.
Priority 0 is the highest priority and priority 2N Rep is the lowest priority and the CSI report numbers correspond to the
order of the associated ReportConfigID. When omitting Part 2 CSI information for a particular priority level, the UE
shall omit all of the information at that priority level.

Table 5.2.3-1: Priority reporting levels for Part 2 CSI

Priority 0:
Part 2 wideband CSI for CSI reports 1 to N Rep
Priority 1:
Part 2 subband CSI of even subbands for CSI report 1
Priority 2:
Part 2 subband CSI of odd subbands for CSI report 1
Priority 3:
Part 2 subband CSI of even subbands for CSI report 2
Priority 4:
Part 2 subband CSI of odd subbands for CSI report 2

⁞
Priority 2 N Rep  1 :
Part 2 subband CSI of even subbands for CSI report N Rep
Priority 2N Rep :
Part 2 subband CSI of odd subbands for CSI report N Rep

When CSI is multiplexed with UL-SCH on PUSCH, Part 2 CSI is omitted only when the UCI code rate for transmitting
all of Part 2 would be greater than a threshold code rate cT , where

cMCS
cT  CSI-2
 offset

- cMCS is the target PUSCH code rate from Table 6.1.4.1-1.

CSI-2
-  offset is the CSI offset value from Table 9.3-2 of [6, TS 38.213].

Part 2 CSI is omitted level by level beginning with the lowest priority level until the lowest priority level is reached
which causes the UCI code rate to be less than or equal to cT .

5.2.4 CSI reporting using PUCCH

A UE is semi-statically configured by higher layers to perform periodic CSI Reporting on the PUCCH. A UE can be
configured by higher layers for multiple periodic CSI Reports corresponding to one or more higher layer configured
CSI Reporting Setting Indications, where the associated CSI Measurement Links and CSI Resource Settings are higher
layer configured. Periodic CSI reporting on the short and the long PUCCH supports wideband and partial band
frequency granularities. Periodic CSI reporting on the PUCCH supports Type I CSI.

A UE shall perform semi-persistent CSI reporting on the PUCCH upon successfully decoding a selection command [10,
TS 38.321]. The selection command will contain one or more CSI Reporting Setting Indications where the associated
CSI Measurement Links and CSI Resource Settings are configured. Semi-persistent CSI reporting on the PUCCH

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supports Type I CSI. Semi-persistent CSI reporting on the Short PUCCH supports Type I CSI with wideband and partial
band frequency granularities. Semi-persistent CSI reporting on the Long PUCCH supports Type I Subband CSI and
Type I CSI with wideband and partial band frequency granularities.

Periodic CSI reporting on the short and long PUCCH supports wideband and partial band frequency granularities.
Periodic CSI reporting on the PUCCH supports Type I CSI. When the short and long PUCCH carry Type I CSI with
wideband and partial band frequency granularity, the CSI payload carried by the short PUCCH and long PUCCH are
identical and the same irrespective of RI/CRI. For type I CSI sub-band reporting on long PUCCH, the payload is split
into two parts. The first part contains RI/CRI, CQI for the first codeword. The second part contains PMI and contains
the CQI for the second codeword when RI > 4.

A [periodic / semi-persistent – TBD] report carried on the Long PUCCH supports Type II CSI feedback, but only Part 1
of Type II CSI feedback (See sub-clause 5.2.2 and 5.2.3). Supporting Type II CSI reporting on the Long PUCCH is a
UE capability. A Type II CSI report (Part 1 only) carried on the Long PUCCH shall be calculated independently of any
Type II CSI reports carried on the PUSCH (see sub-clause 5.2.3).

5.2.5 Priority rules for CSI reports

Two CSI reports are said to collide if the time occupancy of the physical channels scheduled to carry the CSI reports
overlap in at least one OFDM symbol and are transmitted on the same carrier. When a UE is configured to transmit two
colliding CSI reports, the following rules apply (for CSI reports transmitted on PUSCH, as described in Subclause
5.2.3; for CSI reports transmitted on PUCCH, as described in Subclause 5.2.4):

- If an aperiodic CSI report containing Type I CSI collides with either a periodic CSI report containing Type I CSI
or a semi-persistent CSI report containing Type I CSI, then the aperiodic Type I CSI report has priority and the
periodic or semi-persistent Type I CSI report shall not be sent by the UE.

- If a semi-persistent CSI report containing Type II CSI collides with an aperiodic CSI report also containing Type
II CSI, then the aperiodic Type II CSI report has priority and the semi-persistent Type II CSI report shall not be
sent by the UE.

- [TBD if a semi-persistent CSI report collides with a periodic CSI report for Type I colliding with Type I and
Type II colliding with Type II.].

- If a Type I CSI report to be carried on the PUSCH collides with a Type I CSI report to be carried on the PUCCH,
then the Type I CSI report to be carried on the PUSCH has priority, and the Type I CSI report to be carried on the
PUCCH shall not be sent by the UE.

- If a Type II CSI report to be carried on the PUSCH collides with a Type II CSI report to be carried on the
PUCCH, then the Type II CSI report to be carried on the PUSCH has priority, and the Type II CSI report to be
carried on the PUCCH shall not be sent by the UE.

- If an aperiodic Type I CSI report intended for the PUSCH collides with a semi-persistent Type I CSI report also
intended for the PUSCH, then the aperiodic Type I CSI report has priority and the semi-persistent Type I CSI
report shall not be sent by the UE.

- If an aperiodic Type II CSI report intended for the PUSCH collides with a semi-persistent Type II CSI report also
intended for the PUSCH, then the aperiodic Type II CSI report has priority and the semi-persistent Type II CSI
report shall not be sent by the UE.

- If an aperiodic Type I CSI report intended for the PUCCH collides with a Type I CSI report intended for the
PUSCH, then the aperiodic Type I CSI report intended for the PUCCH has lower priority and shall not be sent by
the UE.

- If an aperiodic Type II CSI report intended for the PUCCH collides with a Type II CSI report intended for the
PUSCH, then the aperiodic Type II CSI report intended for the PUCCH has lower priority and shall not be sent
by the UE.

5.3 UE PDSCH processing procedure time

If the first symbol to carry the HARQ-ACK information starts no earlier than at symbol K1 the UE shall provide a valid
HARQ-ACK message, where K1 is defined as the next uplink symbol with its CP starting after

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 ( N1  d1 )(2048  144)  C SCS  N TA   TCafter the last symbol of the PDSCH carrying the TB being
acknowledged. N1 is defined in tables 5.3-1 and 5.3-2 depending on UE capability, where

- N1 and K1 are based on µDL of table 5.3-1 that corresponds to the min (µPDSCH, µPUCCH) when the HARQ-ACK is to
be transmitted on PUCCH, and to the min (µPDSCH, µPUSCH) when the HARQ-ACK is to be transmitted on PUSCH

- If µUL < µDL then C SCS    2  UL

- If µUL ≥ µDL then C SCS    2   DL

- If HARQ-ACK is transmitted on PUCCH, then d1=0,

- If the HARQ-ACK is transmitted on PUSCH, then d1=1.

Otherwise the UE may not provide a valid HARQ-ACK corresponding to the scheduled PDSCH.

Table 5.3-1: PDSCH processing time for PDSCH processing capability 1

PDSCH decoding time N1 [symbols]

 DL No additional PDSCH DM-RS configured Additional PDSCH DM-RS configured
0 8 13
1 10 13
2 17 20
3 20 24

Table 5.3-2: PDSCH processing time for PDSCH processing capability 2

PDSCH decoding time N1 [symbols]

 DL No additional PDSCH DM-RS configured Additional PDSCH DM-RS configured
0 [2.5 - 4] [12]
1 [2.5 - 6] [12]

6 Physical uplink shared channel related procedure

If a UE is configured by higher layers to decode PDCCH with the CRC scrambled by the C-RNTI, the UE shall decode
the PDCCH and transmit the corresponding PUSCH.

6.1 UE procedure for transmitting the physical uplink shared

channel
PUSCH transmission(s) can be dynamically scheduled by an UL grant in a DCI, or semi-statically configured to operate
according to [TS 38.321] upon the reception of higher layer parameter of UL-TWG-type1 without the detection of an
UL grant in a DCI, or semi-persistently scheduled by an UL grant in a DCI after the reception of higher layer parameter
of UL-TWG-type2.

For uplink, a maximum of [8 or 16] HARQ processes in supported. The number of processes the UE may assume will at
most be used for the uplink is configured to the UE for each cell separately by higher layer parameter [nrofHARQ-
processesForPUSCH].

6.1.1 Transmission schemes

Two transmission schemes are supported for PUSCH: codebook based transmission and non-codebook based
transmission. The UE is configured with codebook based transmission when the higher layer parameter ulTxConfig is

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set to 'Codebook', the UE is configured non-codebook based transmission when the higher layer parameter ulTxConfig
is set to 'NonCodebook'.

6.1.1.1 Codebook based UL transmission

For codebook based transmission, the UE determines its PUSCH transmission precoder based on SRI, TRI and TPMI
fields from the DCI, where the TPMI is used to indicate the preferred precoder over the SRS ports in the selected SRS
resource by the SRI when multiple SRS resources are configured, or if a single SRS resource is configured TPMI is
used to indicate the preferred precoder over the SRS ports. The transmission precoder is selected from the uplink
codebook, as defined in Subclause 6.3.1.5 of [4, TS 38.211].

For codebook based transmission, the UE determines its codebook subsets based on TPMI and upon the reception of
higher layer parameter ULCodebookSubset which may be configured with 'Full+Partial+Non-Coherent', or
'Partial+Non-Coherent', or 'Non-Coherent' depending on the UE capability. The maximum transmission rank may be
configured by the higher parameter ULmaxRank.

A UE reporting its UE capability of 'Partial+Non-Coherent' transmission shall not expect to be configured by

ULCodebookSubset with 'Full+Partial+Non-Coherent'.

A UE reporting its UE capability of 'Non-Coherent' transmission shall not expect to be configured by

ULCodebookSubset with 'Full+Partial+Non-Coherent' or with Full+Partial+Non-Coherent'.

For codebook based transmission, the UE may be configured with a single SRS resource set and only one SRS resource
can be indicated based on the SRI from within the SRS resource set. The maximum number of configured SRS
resources for codebook based transmission is 2.

6.1.1.2 Non-Codebook based UL transmission

For non-codebook based transmission, the UE can determine its PUSCH precoder and transmission rank based on
wideband SRI field from the DCI. The UE shall use one or multiple SRS resources for SRS transmission, where the
number of SRS resources which can be configured to the UE for simultaneously transmission in the same RBs is being
part of UE capability signalling Only one SRS port for each SRS resource is configured. Only one SRS resource set can
be configured. The maximum number of SRS resources that can be configured for non-codebook based uplink
transmission is 4.

For non-codebook based transmission, the UE can measure NZP CSI-RS resource to calculate the precoder used for the
transmission of precoded SRS.

- If aperiodic SRS resource is configured, the [CSI-RS information in the same slot TBD] for UL channel
measurement is indicated via DCI, where the association among aperiodic SRS triggering state, triggered SRS
resource(s) SRS-ResourceConfigId, CSI-RS resource ID NZP-CSI-RS-ResourceConfigID are higher layer
configured by AperiodicSRS-ResourceTrigger. A UE may receive the dynamic SRS transmission request for
aperiodic SRS transmission in the same slot as the reception of the DL CSI-RS resource, where the SRS
transmission happens [TBD] symbols after the SRS transmission request. A UE may receive the SRI which shall
be associated with the most recent SRS transmission.

- If periodic or semi-periodic SRS resource set is configured, the NZP-CSI-RS-ResourceConfigID for

measurement is indicated via higher layer parameter SRS-AssocCSIRS per set.

6.1.2 Resource allocation

6.1.2.1 Resource allocation in time domain

When the UE is scheduled to transmit PUSCH by a DCI, the Time-domain PUSCH resources field of the DCI provides
a row index of an RRC configured table [pusch-symbolAllocation], where the indexed row defines the slot offset K2, the
start and length indicator SLIV, and the PUSCH mapping type to be applied in the PUSCH reception.

 2  PUSCH 
- The slot where the UE shall transmit the PUSCH is determined by K2 of the indexed row as n    K2
 2  PDCCH 
where n is the slot with the scheduling DCI, K is based on the numerology of PUSCH, and

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- The starting symbol S relative to [the start of the slot], and the number of consecutive symbols L counting from
the symbol S allocated for the PUSCH are determined from the start and length indicator SLIV of the indexed
row:

if ( L  1)  7 then

SLIV  14  ( L  1)  S

else

SLIV  14  (14  L  1)  (14  1  S )

where 0  L  14  S , and

- The PUSCH mapping type is set to Type A or Type B as defined in [38.211 Subclause 6.4.1.1.3] as given by the
indexed row.

6.1.2.2 Resource allocation in frequency domain

The UE shall determine the resource block assignment in frequency domain using the resource allocation field in the
detected PDCCH DCI. Two uplink resource allocation schemes type 0 and type 1 are supported. Uplink resource
allocation scheme type 0 is supported for OFDM-based PUSCH. Uplink resource allocation scheme type 1 is supported
for PUSCH for both cases when transform precoding is enabled or disabled.

If the scheduling DCI carries the [FrequencyDomainRA] field, the UE shall use uplink resource allocation type 0 or
type 1 as defined by this field. Otherwise the UE shall use the uplink frequency resource allocation type as defined by
the RRC configured parameter Resource-allocation-config for PUSCH.

The UE may assume that when the scheduling PDCCH is received with DCI format 1_0 uplink resource allocation type
1 is used.The RB indexing for uplink type 0 and type 1 resource allocation is determined within the UE's active carrier
bandwidth part, and the UE shall upon detection of PDCCH intended for the UE determine first the uplink carrier
bandwidth part and then the resource allocation within the carrier bandwidth part.

The RB indexing for uplink type 0 and type 1 resource allocation is determined within the UE's active carrier bandwidth
part, and the UE shall upon detection of PDCCH intended for the UE determine first the uplink carrier bandwidth part
and then the resource allocation within the carrier bandwidth part.

6.1.2.2.1 Uplink resource allocation type 0

In uplink resource allocation of type 0, the resource block assignment information includes a bitmap indicating the
Resource Block Groups (RBGs) that are allocated to the scheduled UE where a RBG is a set of consecutive physical
resource blocks defined by higher layer parameter RBG-size-PUSCH and the size of the carrier bandwidth part as
defined in Table 6.1.2.2.1-1.

Table 6.1.2.2.1-1: Nominal RBG size P

Carrier Bandwidth Part Size Configuration 1 Configuration 2

[1st Range of RBs] P = [one of {2, 4, 8, 16}] P = [one of {2, 4, 8, 16}]
[2nd Range of RBs] P = [one of {2, 4, 8, 16}] P = [one of {2, 4, 8, 16}]
[3rd Range of RBs] P = [one of {2, 4, 8, 16}] P = [one of {2, 4, 8, 16}]
[4th Range of RBs] P = [one of {2, 4, 8, 16}] P = [one of {2, 4, 8, 16}]

size
The total number of RBGs ( N RBG ) for a uplink carrier bandwidth part of size N BWP PRBs is given by

size
N RBG  N BWP /P  where  N BWP
size
/ P  of the RBGs are of size P and if N BWP mod P  0 then one of the RBGs
size

size
is of size N BWP size
 P  N BWP  
/ P . The bitmap is of size N RBG bits with one bitmap bit per RBG such that each RBG
is addressable. The RBGs shall be indexed in the order of increasing frequency of the carrier bandwidth part and non-
increasing RBG sizes starting at the lowest frequency. The order of RBG bitmap is such that RBG 0 to RBG
N RBG  1 are mapped from MSB to LSB of the bitmap. The RBG is allocated to the UE if the corresponding bit
value in the bitmap is 1, the RBG is not allocated to the UE otherwise.

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6.1.2.2.2 Uplink resource allocation type 1

In uplink resource allocation of type 1, the resource block assignment information indicates to a scheduled UE a set of
size
contiguously allocated localized virtual resource blocks within the active carrier bandwidth part of size N BWP PRBs.

An uplink type 1 resource allocation field consists of a resource indication value (RIV) corresponding to a starting
virtual resource block ( RBstart ) and a length in terms of contiguously allocated physical resource blocks L RBs . The
resource indication value is defined by


size
if ( L RBs  1)  N BWP /2  then

size
RIV  N BWP ( L RBs  1)  RB start

else
size size size
RIV  N BWP ( N BWP  L RBs  1)  ( N BWP  1  RB start )

where L RBs  1 and shall not exceed N BWP  RBstart .

size

6.1.2.3 Resource allocation for uplink transmission without grant

When PUSCH resource allocation is semi-statically configured by higher layers,

Number of DMRS CDM groups, DMRS ports, and number of front-loaded symbols are determined as in Subclause
7.3.1.1 of [5, TS 38.212], and the antenna port value is provided by UL-TWG-DMRS.

- In case of UL-TWG-type1 configuration, the resource allocation follows the received configuration according to
[38.321];

- The row index of an RRC configured table [pusch-symbolAllocation] is determined by the higher layer
parameter UL-TWG-tim-dom,

- the IMCS is provided by higher layer parameter UL-TWG-MCS-TBS,

- In case of UL-TWG-type2 configuration, the resource allocation follows the received configuration and an UL
grant after receiving the grant on a DCI according to [38.321];

The UE shall not transmit anything on the resources configured by UL-TWG-type1 or UL-TWG-type2 if the higher
layers did not deliver a TB to transmit on the resources allocated for uplink transmission without grant.

A set of allowed periodicities P are defined in table 6.1.2.3-1.

Table 6.1.2.3-1: Allowed periodicities P for uplink transmission without grant

 CP Possible values of periodicities P [symbols]
0 Normal 2, 7, n*14, where n={1, 2, 5, 10, 20, 32, 40, 64, 80, 128, 160, 320, 640}
1 Normal 2, 7, n*14, where n={1, 2, 4, 10, 20, 40, 64, 80, 128, 160, 256, 320, 640, 1280}
2 Normal 2, 7, n*14, where n={1, 2, 4, 8, 20, 40, 80, 128, 160, 256, 320, 512, 640, 1280, 2560}
2 Extended 2, 6, n*12, where n={1, 2, 4, 8, 20, 40, 80, 128, 160, 256, 320, 512, 640, 1280, 2560}
3 Normal 2, 7, n*14, where n={1, 2, 4, 8, 16, 40, 80, 160, 256, 320, 512, 640, 1024, 1280, 2560,
5120}

The RRC-configured parameter UL-TWG-repK and UL-TWG-RV-rep define the K repetitions to be applied to the
transmitted TB, and the redundancy version pattern to be applied to the repetitions. For the nth transmission occasion
among K repetitions, n=1, 2, …, K, it is associated with (mod(n-1,4)+1)th value in the configured RV sequence. The
initial transmission of a TB may start at

- the first transmission occasion of the K repetitions if the configured RV sequence is {0,2,3,1},

- any of the transmission occasions of the K repetitions that are associated with RV=0 if the configured RV
sequence is {0,3,0,3},

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- any of the transmission occasions of the K repetitions if the configured RV sequence is {0,0,0,0}, except the last
transmission occasion when K=8.

For any RV sequence, the repetitions shall be terminated after transmitting K repetitions, or at the last transmission
occasion among the K repetitions within the period P, whichever is reached first.

For PUSCH transmission without UL grant,

- if the UE is configured with UL-TWG-type1, the row index of an RRC configured table [pusch-
symbolAllocation] is determined by the higher layer parameter UL-TWG-tim-dom.

- if the UE is configured by UL-TWG-type1, the IMCS is provided by higher layer parameter UL-TWG-MCS-TBS,
and rv is determined based on the procedure in Subclause 6.1.2.3.

- if the UE is configured by UL-TWG-type1, number of DMRS CDM groups, DMRS ports, and number of front-
loaded symbols are determined as in Subclause 7.3.1.1 of [5, TS 38.212], and the antenna port value is provided
by UL-TWG-DMRS.

6.1.3 UE procedure for applying transform precoding on PUSCH

For Msg3 PUSCH transmission, the UE shall consider the transform precoding either enabled or disabled according to
the higher layer configured parameter msg3-tp.

For PUSCH transmission scheduled with a DL DCI:

- If the DCI with the scheduling grant was received with DCI format 1_0, the UE shall, for this PUSCH
transmission, consider the transform precoding either enabled or disabled according to the higher layer
configured parameter msg3-tp.

- If the DCI with the scheduling grant was not received with DCI format 1_0

- If the UE is configured with the higher layer parameter [transform-precoding-scheduled], the UE shall, for
this PUSCH transmission, consider the transform precoding either enabled or disabled according to this
parameter.

- If the UE is not configured with the higher layer parameter [transform-precoding-scheduled], the UE shall,
for this PUSCH transmission, consider the transform precoding either enabled or disabled according to the
higher layer configured parameter msg3-tp.

For PUSCH transmission using Uplink Transmission without a grant

- If the UE is configured with the higher layer parameter [transform-precoding-TWG], the UE shall, for this
PUSCH transmission, consider the transform precoding either enabled or disabled according to this parameter.

- If the UE is not configured with the higher layer parameter [transform-precoding-TWG], the UE shall, for this
PUSCH transmission, consider the transform precoding either enabled or disabled according to the higher layer
configured parameter msg3-tp.

6.1.4 Modulation order, redundancy version and transport block size

determination
To determine the modulation order, target code rate, redundancy version and transport block size for the physical uplink
shared channel, the UE shall first

-  
read the 5-bit "modulation and coding scheme" field I MCS in the DCI to determine the modulation order
 Om  and target code rate (R) based on the procedure defined in Subclause 6.1.4.1

- read "redundancy version" field (rv) in the DCI to determine the redundancy version, and

- [check the "CSI request" bit field]

and second

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- 
the UE shall use the number of layers   , the total number of allocated PRBs n PRB  to determine the
transport block size based on the procedure defined in Subclause 6.1.4.2.

6.1.4.1 Modulation order and target code rate determination

For the PUSCH is assigned by a DCI format 0_0/0_1 with CRC scrambled by C-RNTI,

If the higher layer parameters PUSCH-tp is disabled and MCS-Table-PUSCH is not set to '256QAM',

- the UE shall use IMCS and Table 5.1.3.1-1 to determine the modulation order (Qm) and Target code rate (R) used in
the physical downlink shared channel.

elseif the higher layer parameters PUSCH-tp is disabled and MCS-Table-PUSCH is set to '256QAM',

- the UE shall use IMCS and Table 5.1.3.1-2 to determine the modulation order (Qm) and Target code rate (R) used in
the physical downlink shared channel.

elseif the higher layer parameters PUSCH-tp is enabled and MCS-Table-PUSCH-transform-precoding is not set to
'256QAM',

- the UE shall use IMCS and Table 6.1.4.1-1 to determine the modulation order (Qm) and Target code rate (R) used in
the physical downlink shared channel.

else

- the UE shall use IMCS and Table 5.1.3.1-2 to determine the modulation order (Qm) and Target code rate (R) used in
the physical downlink shared channel.

end

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Table 6.1.4.1-1: MCS index table for PUSCH with transform precoding and 64QAM

Modulation Spectral
MCS Index Target code Rate x 1024
Order efficiency
IMCS R
Qm
0 1 240 0.2344
1 1 314 0.3066
2 2 193 0.3770
3 2 251 0.4902
4 2 308 0.6016
5 2 379 0.7402
6 2 449 0.8770
7 2 526 1.0273
8 2 602 1.1758
9 2 679 1.3262
10 4 340 1.3281
11 4 378 1.4766
12 4 434 1.6953
13 4 490 1.9141
14 4 553 2.1602
15 4 616 2.4063
16 4 658 2.5703
17 6 466 2.7305
18 6 517 3.0293
19 6 567 3.3223
20 6 616 3.6094
21 6 666 3.9023
22 6 719 4.2129
23 6 772 4.5234
24 6 822 4.8164
25 6 873 5.1152
26 6 910 5.3320
27 6 948 5.5547
28 1 reserved
29 2 reserved
30 4 reserved
31 6 reserved

6.1.4.2 Transport block size determination

For the PUSCH is assigned by a DCI format 0_0/0_1 with CRC scrambled by C-RNTI,

if

- 0  I MCS  27 and and the higher layer parameters PUSCH-tp is disabled and MCS-Table-PUSCH is set to
'256QAM', or

- 0  I MCS  27 and the higher layer parameters PUSCH-tp is enabled and MCS-Table-PUSCH- transform-
precoding is set to '256QAM', or

- 0  I MCS  28 and the higher layer parameters PUSCH-tp is disabled and MCS-Table-PUSCH is not set to
'256QAM', or

- 0  I MCS  27 and the higher layer parameters PUSCH-tp is enabled and MCS-Table-PUSCH-transform-
precoding is not set to '256QAM', the UE shall first determine the TBS as specified below:

The UE shall first determine the number of REs (NRE) ,N-RE.) within the slot:

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- '
A UE first determines the number of REs allocated for PUSCH within a PRB N RE  by
' RB sh PRB PRB RB
- N RE  N sc  N symb  N DMRS  N oh , where N sc  12 is the number of subcarriers in the frequency
sh
domain in a physical resource block, N symb is the number of scheduled OFDM symbols in a slot,
PRB
N DMRS is the number of REs for DM-RS per PRB in the scheduled duration including the overhead
PRB
of the DM-RS CDM groups indicated by DCI format 0_0/0_1, and N oh is the overhead configured by
higher layer parameter Xoh-PUSCH. If the Xoh-PUSCH is not configured (a value from 0, 6, 12, or 18), the
Xoh-PDSCH is set to 0.
'
- A UE determines the quantized number of REs allocated for PUSCH within a PRB ( N RE by Table 5.1.3.2-
1)

-   '
A UE determines the total number of REs allocated for PUSCH N RE by N RE  N RE  n PRB where
n PRB is the total number of allocated PRBs for the UE.

- Next, proceed with steps 2-5 as defined in Subclause 5.1.3.2

else if

- 28  I MCS  31 and the higher layer parameters PUSCH-tp is disabled and MCS-Table-PUSCH is set to
'256QAM', or

- 28  I MCS  31 and the higher layer parameters PUSCH-tp is enabled and MCS-Table-PUSCH- transform-
precoding is set to '256QAM', or

- 28  I MCS  31 and the higher layer parameters PUSCH-tp is enabled and MCS-Table-PUSCH- transform-
precoding is not set to '256QAM', or

- the TBS is assumed to be as determined from the DCI transported in the latest PDCCH for the same transport
block using 0  I MCS  27 . If there is no PDCCH for the same transport block using 0  I MCS  27 , and if
the initial PUSCH for the same transport block is transmitted with configured semi-persistently scheduled, the
TBS shall be determined from the most recent configured scheduling PDCCH.

else

- the TBS is assumed to be as determined from the DCI transported in the latest PDCCH for the same transport
block using 0  I MCS  28 . If there is no PDCCH for the same transport block using 0  I MCS  28 , and if
the initial PUSCH for the same transport block is transmitted with configured grant, the TBS shall be determined
from the most recent configured scheduling PDCCH.

6.2 UE reference symbol (RS) procedure

6.2.1 UE sounding procedure
The UE can be configured with one or more Sounding Reference Symbol (SRS) resource sets as configured by the
higher layer parameter SRS-ResourceSetConfig. For each SRS resource set, a UE may be configured with K  1 SRS
resources (higher later parameter SRS-ResourceConfig), where the maximum value of K is indicated by [SRS_capability
[13, 38.306]]. The SRS resource set applicability is configured by the higher layer parameter SRS-SetUse..When the
higher layer parameter SRS-SetUse is set to 'BeamManagement', only one SRS resource in each of multiple SRS sets
can be transmitted at a given time instant. The SRS resources in different SRS resource sets can be transmitted
simultaneously.

A UE shall transmit SRS resources based on the following trigger types:

- trigger type 0: higher layer signalling

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- trigger type 1: DCI formats [TBD]

For trigger type 1, at least one state of the DCI field is used to select at least one out of the configured SRS resource set.

The following SRS parameters are semi-statically configurable by higher layer parameter SRS-ResourceConfig for
trigger type 0 and for trigger type 1.

- SRS-ResourceConfigId determines SRS resource configuration identify.

- Number of SRS ports as defined by the higher layer parameter NrofSRS-Ports in Subclause 6.4.1.4 of [4, TS
38.211] for trigger type 0 and trigger type 1.

- Time domain behaviour of SRS resource configuration as indicated by the higher layer parameter SRS-
ResourceConfigType, which can be periodic, semi-persistent, aperiodic SRS transmission as defined in Subclause
6.4.1.4 of [4, TS 38.211].

- Slot level periodicity and slot level offset as defined by the higher layer parameter SRS-SlotConfig in Subclause
6.4.1.4 of [4, TS 38.211] for an SRS resource of type periodic or semi-persistent.

- Number of OFDM symbols in the SRS resource, starting OFDM symbol of the SRS resource within a slot
including repetition factor R as defined by the higher layer parameter SRS-ResourceMapping in Subclause
6.4.1.4 of [4, TS 38.211] for trigger type 0 and trigger type 1.

- SRS bandwidth B SRS and C SRS , as defined by the higher layer parameter SRS-FreqHopping in Subclause
6.4.1.4 of [4, TS 38.211] for trigger type 0 and trigger type 1.

- Frequency hopping bandwidth, bhop , as defined by the higher layer parameter SRS-FreqHopping in Subclause
6.4.1.4 of [4, TS 38.211] for trigger type 0 and trigger type 1.

- Defining frequency domain position and configurable shift to align SRS allocation to 4 PRB grid, as defined by
the higher layer parameter SRS-FreqDomainPosition in Subclause 6.4.1.4 of [4, TS 38.211] for trigger type 0
and trigger type 1.

- Cyclic shift, as defined by the higher layer parameter SRS-CyclicShiftConfig in Subclause 6.4.1.4 of [4, TS
38.211] for trigger type 0 and trigger type 1

- Transmission comb value and comb offset as defined by the higher layer parameter SRS-TransmissionComb in
Subclause 6.4.1.4 of [4] for trigger type 0 and trigger type 1.

- SRS sequence ID as defined by the higher layer parameter SRS-SequenceId in Subclause 6.4.1.4 of [4] for trigger
type 0 and trigger type 1.

- The configuration of the spatial relation between a reference RS which can be an SSB/PBCH, CSI-RS or an SRS
and the target SRS is indicated by the higher layer parameter SRS-SpatialRelationInfo.

The UE may be configured by the higher layer parameter SRS-ResourceMapping with an SRS resource occupying a
location within the last 6 symbols of the slot.

When PUSCH and SRS are transmitted in the same slot, the UE may be configured to transmit SRS after the
transmission of the PUSCH and the corresponding DM-RS.

A UE may be configured to transmit one or more precoded SRS on configured SRS resource(s), where the transmission
of precoded SRS is based on precoder determination computed on the reference signals indicated by the higher layer
parameters SRS-SpatialRelationInfo.

For a UE configured with one or more SRS resource configuration(s), and when the higher layer parameter SRS-
ResourceConfigType is set to 'periodic':

- if the UE is configured with the higher layer parameter SRS-SpatialRelationInfo set to 'SSB/PBCH', the UE shall
transmit the SRS resource with the same spatial domain transmission filter used for the reception of the
SSB/PBCH, if the higher layer parameter SRS-SpatialRelationInfo is set to 'CSI-RS', the UE shall transmit the
SRS resource with the same spatial domain transmission filter used for the reception of the periodic CSI-RS or
of the semi-persistent CSI-RS, if the higher layer parameter SRS-SpatialRelationInfo is set to 'SRS', the UE shall
transmit the SRS resource with the same spatial domain transmission filter used for the transmission of the
periodic SRS.

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For a UE configured with one or more SRS resource configuration(s), and when the higher layer parameter SRS-
ResourceConfigType is set to 'semi-persistent':

- when a UE receives an activation command [10, TS 38.321] for SRS resourceset in slot n, the corresponding
actions in [10, TS 38.321] and the UE assumptions on SRS transmission corresponding to the configured SRS
resource set shall be applied no later than the minimum requirement defined in [11, TS 38.133].

- when a UE receives a deactivation command [MAC spec citation, 38.321] for activated SRS resourceset in slot
n, the corresponding actions in [10, TS 38.321] and UE assumption on cessation of SRS transmission
corresponding to the deactivated SRS resource set shall apply no later than the minimum requirement defined in
[11, TS 38.133].

- if the UE is configured with the higher layer parameter SRS-SpatialRelationInfo set to 'SSB/PBCH', the UE shall
transmit the SRS resource with the same spatial domain transmission filter used for the reception of the
SSB/PBCH, if the higher layer parameter SRS-SpatialRelationInfo is set to 'CSI-RS', the UE shall transmit the
SRS resource with the same spatial domain transmission filter used for the reception of the periodic CSI-RS or
of the semi-persistent CSI-RS, if the higher layer parameter SRS-SpatialRelationInfo is set to 'SRS', the UE shall
transmit the SRS resource with the same spatial domain transmission filter used for the transmission of the
periodic SRS or of the semi-persistent SRS.

For a UE configured with one or more SRS resource configuration(s), and when the higher layer parameter SRS-
ResourceConfigType is set to 'aperiodic':

- the UE receives a configuration of SRS resource sets,

- the UE receives a downlink DCI or an uplink DCI based activation command where a codepoint of the DCI may
activate one or more SRS resource set(s).

- if the UE is configured with the higher layer parameter SRS-SpatialRelationInfo set to 'SSB/PBCH', the UE shall
transmit the SRS resource with the same spatial domain transmission filter used for the reception of the
SSB/PBCH, if the higher layer parameter SRS-SpatialRelationInfo is set to 'CSI-RS', the UE shall transmit the
SRS resource with the same spatial domain transmission filter used for the reception of the periodic CSI-RS or
of the semi-persistent CSI-RS, if the higher layer parameter SRS-SpatialRelationInfo is set to 'SRS', the UE shall
transmit the SRS resource with the same spatial domain transmission filter used for the transmission of the
periodic SRS or of the semi-persistent SRS or of the aperiodic SRS.

The 2-bit SRS request field [5 TS38.212] in DCI format 0-0, 0-1, 1-0, 1-1, 2-2 indicates the triggered SRS resource set
given in Table 6.2.1-1.

Table 6.2.1-1: SRS request value for trigger type 1

Value of SRS request field Description

'00' No type 1 SRS trigger
'01' The 1st SRS resource set(s) configured by higher layers
'10' The 2nd SRS resource set(s) configured by higher layers
'11' The 3rd SRS resource set(s) configured by higher layers

If a UE is configured with the higher layer parameter SRS-AssocCSIRS and with the higher layer parameter ulTxConfig
set to 'NonCodebook', the UE may be configured with a NZP CSI-RS resource where a NZP-CSI-RS-ResourceConfigId
is associated with an SRS resource set.

A UE shall not transmit SRS when semi-persistent and periodic SRS are configured in the same symbol(s) with short
PUCCH carrying only CSI reports, or if aperiodic SRS is configured and short PUCCH consists of beam failure request.
In the case that SRS is not transmitted due to overlap with short PUCCH, only the SRS symbol(s) that overlap with
short PUCCH symbol(s) are dropped. Short PUCCH shall not be transmitted when aperiodic SRS happens to overlap in
the same symbol with semi-persistent or periodic short PUCCH carrying semi-persistent/periodic CSI report only.

A UE is not expected to be configured with aperiodic SRS and short PUCCH with aperiodic CSI report in the same
symbol.

A UE is not expected to be configured with SRS and PUSCH/UL DMRS/UL PTRS/Long PUCCH in the same symbol.

Trigger type 0 SRS configuration of a UE in a serving cell for SRS periodicity, T SRS, and SRS slot offset, Toffset, is
defined in Table 6.2.1-2.

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Table 6.2.1-2: UE Specific SRS Periodicity and Slot Offset Configuration for trigger type 0

SRS Configuration Index SRS Periodicity (slots) SRS Slot Offset

I SRS TSRS Toffset
0 1 0
1–2 2 I SRS  1
3–7 5 I SRS  3
8 – 17 10 I SRS  8
18 – 37 20 I SRS  18
38 – 77 40 I SRS  38
78 – 157 80 I SRS  78
158 – 317 160 I SRS  158
318 – 637 320 I SRS  318
638 – 1277 640 I SRS  638
1278 – 2557 1280 I SRS  1278
2558 – 5077 2560 I SRS  2558
5078 – 8191 Reserved Reserved

If a UE is configured with the higher layer parameter SRS-GroupSequenceHopping, the UE applies SRS sequence-
group hopping and sequence hopping in every symbol.

6.2.1.1 UE frequency hopping

A UE may be configured to transmit an SRS resource on N s  1,2,4 adjacent symbols within the last six symbols of
a slot, where all antenna ports of the SRS resource are mapped to each symbol of the resource. For a given SRS
resource, the UE is configured with repetition factor R∈{1,2,4} by higher layer parameter SRS-ResourceMapping where
R≤Ns. When frequency hopping within an SRS resource in each slot is not configured (R=Ns), all antenna ports of the
SRS resource in each slot are mapped in each of the N s symbols to the same set of subcarriers in the same set of
PRBs. When frequency hopping within as SRS resource in each slot is configured without repetition (R=1), according
to the SRS hopping parameters B SRS , C SRS and bhop defined in Subclause 6.4.1.4 of [4, TS 38.211], all antenna
ports of the SRS resource in each slot are mapped to different sets of subcarriers in each OFDM symbol, where the
same transmission comb value is assumed for different sets of subcarriers. When both frequency hopping and repetition
within an SRS resource in each slot are configured (Ns=4, R=2), all antenna ports of the SRS resource in each slot are
mapped to the same set of subcarriers within each pair of R adjacent OFDM symbols, and frequency hopping across the
two pairs is according to the SRS hopping parameters B SRS , C SRS and bhop .

A UE may be configured N s  2 or 4 adjacent symbol aperiodic SRS resource with intra-slot frequency hopping
within a bandwidth part, where the full hopping bandwidth is sounded with an equal-size subband across N s symbols
when frequency hopping is configured with R=1. A UE may be configured N s  4 adjacent symbols aperiodic SRS
resource with intra-slot frequency hopping within a bandwidth part, where the full hopping bandwidth is sounded with
an equal-size subband across two pairs of R adjacent OFDM symbols, when frequency hopping is configured with R=2.
All antenna ports of the SRS resource are mapped to the same set of subcarriers within each pair of R adjacent OFDM
symbols of the resource.

A UE may be configured N s  1 symbol periodic or semi-persistent SRS resource with inter-slot hopping within a
bandwidth part, where the SRS resource occupies the same symbol location in each slot. A UE may be configured
N s  2 or 4 symbol periodic or semi-persistent SRS resource with intra-slot and inter-slot hopping within a
bandwidth part, where the N-symbol SRS resource occupies the same symbol location(s) in each slot. For Ns=4, when
frequency hopping is configured with R=2, intra-slot and inter-slot hopping is supported with all antenna ports of the
SRS resource mapped to different sets of subcarriers across two pairs of R adjacent OFDM symbol(s) of the resource in
each slot. All antenna ports of the SRS resource are mapped to the same set of subcarriers within each pair of R adjacent
OFDM symbols of the resource in each slot. For Ns= R, when frequency hopping is configured, inter-slot frequency

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hopping is supported with all antenna ports of the SRS resource mapped to the same set of subcarriers in R adjacent
OFDM symbol(s) of the resource in each slot.

When transform precoding is enabled for PUSCH transmission, the UE shall perform, at least for the 14-symbol slot,
PUSCH frequency hopping [if the frequency hopping field in the corresponding detected PDCCH DCI format is set to
1]; otherwise no PUSCH frequency hopping is performed.

6.2.1.2 UE antenna switching

When UE antenna switching is enabled by the higher layer parameter SRS-SetUse set as 'antenna switching' for a UE
that supports transmit antenna switching, a UE may be configured with one of the following configurations depending
on the UE capability:

- SRS resource set with two SRS resources transmitted in different symbols, each SRS resource consisting of a
single SRS port being associated with different UE antenna ports, or

- SRS resource set with two SRS resources transmitted in different symbols, each SRS resource consisting of two
SRS ports where the port pair of the second resource is associated with a different UE antenna pair than the port
pair of the first resource, or

- SRS resource set with four SRS resources transmitted in different symbols, each SRS resource consisting of a
single SRS port being associated with different UE antenna ports,

and a guard period, not used for any other UE transmission, of Y symbols in-between the SRS resources is used in case
the SRS resources are transmitted in the same slot.

6.2.1.3 UE sounding procedure between component carriers

For a serving cell with slot formats comprised of DL and UL symbols, not configured for PUSCH/PUCCH
transmission, the UE shall not transmit SRS whenever SRS transmission (including any interruption due to uplink or
downlink RF retuning time [11, TS 38.133] as defined by higher layer parameters rf-RetuningTimeUL and rf-
RetuningTimeDL) on the serving cell and PUSCH/PUCCH transmission carrying HARQ-ACK/positive SR/RI/CRI
and/or PRACH happen to overlap in the same symbol and that can result in uplink transmissions beyond the UE's 
indicated uplink carrier aggregation capability included in the [SRS_capability [13, TS 38.306].

For a serving cell with slot formats comprised of DL and UL symbols, not configured for PUSCH/PUCCH
transmission, the UE shall not transmit a type 0 SRS whenever type 0 SRS transmission (including any interruption due
to uplink or downlink RF retuning time [11, TS 38.133] as defined by higher layer parameters rf-RetuningTimeUL and
rf-RetuningTimeDL) on the serving cell and PUSCH transmission carrying aperiodic CSI happen to overlap in the same
symbol and that can result in uplink transmissions beyond the UE's indicated uplink carrier aggregation capability 
included in the [SRS_capability [13, TS 38.306].

For a serving cell with slot formats comprised of DL and UL symbols, not configured for PUSCH/PUCCH
transmission, the UE shall drop PUCCH/PUSCH transmission carrying periodic CSI comprising only CQI/PMI, and/or
SRS transmission on another serving cell configured for PUSCH/PUCCH transmission whenever the transmission and
SRS transmission (including any interruption due to uplink or downlink RF retuning time [11, TS 38.133] as defined by
higher layer parameters rf-RetuningTimeUL and rf-RetuningTimeDL) on the serving cell happen to overlap in the same
symbol and that can result in uplink transmissions beyond the UE's indicated uplink carrier aggregation capability 
included in the [SRS_capability [13, TS 38.306].

For a serving cell with slot formats comprised of DL and UL symbols, not configured for PUSCH/PUCCH
transmission, the UE shall drop PUSCH transmission carrying aperiodic CSI comprising only CQI/PMI whenever the
transmission and type 1 SRS transmission (including any interruption due to uplink or downlink RF retuning time [11,
TS 38.133]) as defined by higher layer parameters rf-RetuningTimeUL and rf-RetuningTimeDL) on the serving cell
happen to overlap in the same symbol and that can result in uplink transmissions beyond the UE's indicated uplink 
carrier aggregation capability included in the [SRS_capability [13, TS 38.306].

6.2.2 UE DM-RS transmission procedure

When transmitting PUSCH which are not scheduled by PDCCH with CRC scrambled by [Temporary C-RNTI], the UE
shall use single symbol front-loaded DM-RS of configuration type 1 on DM-RS port 1000 and the remaining REs not
used for DM-RS in the symbols are not used for any PUSCH transmission, and

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- For PUSCH with mapping type A, the UE shall assume dmrs-AdditionalPosition=2 and up to two additional
DM-RS can be transmitted according to PUSCH duration, or

- For PUSCH with allocation duration of 7 symbols with mapping type B, the UE shall assume one additional
DM-RS can be transmitted at the 5th symbol of the PDSCH duration, or

- For PUSCH with allocation duration of 2 or 4 symbols with mapping type B, the UE shall not transmit additional
DM-RS.

If a UE is configured with DM-RS configuration type for PUSCH by higher-layer parameter dmrs-Type, the configured
DM-RS configuration type is used for transmitting PUSCH as defined in Subclause 6.4.1.1 from [4, TS 38.211],
otherwise the UE shall use the single-symbol DM-RS of configuration type 1 for transmitting PUSCH as defined in
Table 6.4.1.1.2-1 from [4, TS 38.211].

If a UE is configured with a number of additional DM-RS for PUSCH by higher-layer parameter dmrs-
AdditionalPosition, multiple DM-RS symbols are transmitted in a slot as defined in Subclause 6.4.1.1 of [4, TS 38.211],
otherwise single symbol DM-RS with two additional DM-RS are transmitted in a slot as defined in Subclause 6.4.1.1 of
[4, TS 38.211].

A UE may be configured with the maximum number of front-loaded DM-RS symbols for PUSCH by higher layer
parameter UL-DMRS-max-len.

- if UL-DMRS-max-len is equal to 1, single-symbol DM-RS can be scheduled for the UE by DCI, and the UE can
be configured with a number of additional DM-RS for PUSCH by higher-layer parameter dmrs-
AdditionalPosition, which can be 0, 1, 2 or 3.

- if UL-DMRS-max-len is equal to 2, both single-symbol DM-RS and double symbol DM-RS can be scheduled for
the UE by DCI, and the UE can be configured with a number of additional DM-RS for PUSCH by higher-layer
parameter dmrs-AdditionalPosition, which can be 0 or 1.

For PUSCH with allocation duration of 2 or 4 symbols with mapping type B, only single symbol front-loaded DM-RS
can be transmitted, otherwise, both single symbol and double symbol front-loaded DM-RS can be transmitted.

For PUSCH with allocation duration of 2 or 4 symbols with mapping type B, the UE shall not transmit additional DM-
RS.

For PUSCH with allocation duration of 7 symbols with mapping type B, one additional DM-RS can be transmitted.

For PUSCH with mapping type A, up to 3 single symbol additional DM-RS or one double symbol additional DM-RS
can be transmitted.

6.2.3 UE PT-RS transmission procedure

When transform precoding is not enabled and if a UE is configured with the higher layer parameter UL-PTRS-present
set to 'ON',

- if the additional higher layer parameters UL-PTRS-time-density and UL-PTRS-frequency-density are configured,
the UE shall assume the PT-RS antenna ports' presence and pattern are a function of the corresponding scheduled
MCS and scheduled bandwidth in a corresponding bandwidth part as shown in Table 6.2.3-1 and Table 6.2.3-2,

- otherwise the UE may assume that PT-RS is not present when scheduled MCS is smaller than 0 or the number of
scheduled RBs is smaller than 1, and PT-RS is present with LPTRS = 1 and KPTRS = 2 for all other configurations.

Table 6.2.3-1: Time density of PT-RS as a function of scheduled MCS

Scheduled MCS Time density( L PT  RS )

IMCS < ptrs-MCS1 PT-RS is not present
ptrs-MCS1  IMCS < ptrs-MCS2 4
ptrs-MCS2  IMCS < ptrs-MCS3 2
ptrs-MCS3  IMCS < ptrs-MCS4 1

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Table 6.2.3-2: Frequency density of PT-RS as a function of scheduled bandwidth

Scheduled bandwidth Frequency density ( K PT  RS )

NRB < NRB0 PT-RS is not present
NRB0  NRB < NRB1 2
NRB1  NRB 4

If the higher-layer parameter UL-PTRS-time-density indicates that the thresholds ptrs-MCSi = ptrs-MCSi+1, then the time
density LPTRS of the associated row where both these thresholds appear in Table 6.2.3-1 is disabled. If the higher-layer
parameter UL-PTRS-time-density indicates that the thresholds NRB,i = NRB,i+1, then the frequency density KPTRS of the
associated row where both these thresholds appear in Table 6.2.3-2 is disabled.

If either of the parameters PT-RS time density (LPT-RS) and PT-RS frequency density (KPT-RS), shown in Table 6.2.2-1 and
Table 6.2.3-2, are not configured, the UE shall assume LPT-RS = 1 and/or KPT-RS = 2.

If either of the parameters PT-RS time density (LPT-RS) and PT-RS frequency density (KPT-RS), shown in Table 6.2.2-1 and
Table 6.2.3-2, are configured as 'PT-RS not present', the UE shall assume that PT-RS is not present.

If a UE is configured with the higher layer parameters UL-PTRS-present and the number of configured PT-RS ports is 1,
the UE is indicated a DM-RS port to be associated with the PT-RS by UL DCI.

When a UE is scheduled to transmit PUSCH with allocation duration of 2 symbols with mapping type A, and if LPT-RS is
set to 2 or 4, the UE shall not transmit PT-RS.

When a UE is scheduled to transmit PUSCH with allocation duration of 4 symbols with mapping type A, and if LPT-RS is
set to 4, the UE shall not transmit PT-RS.

When a UE is scheduled to transmit PUSCH for retransmission, if the UE is scheduled with IMCS > V, where V = 28 for
MCS table 1 and V = 27 for MCS table 2, respectively, the MCS for PTRS time-density determination is obtained from
the DCI for the same transport block in the initial transmission, which is smaller than or equal to V.

The maximum number of configured PT-RS ports is given by the higher layer parameter UL-PTRS-ports.

If a UE has reported the capability of supporting [full-coherent UL transmission], the UE may expect the number of UL
PT-RS ports to be configured as one,

For non-codebook based UL transmission, the UL PT-RS port index is signalled by a DCI associated to each SRS
resource as described in Subclause 7.3.1.1.2 of [5, TS 38.212].

For non-codebook based UL transmission, the actual number of UL PT-RS port(s) to transmit is determined based
onSRI(s). A UE may be configured with the PT-RS port index for each configured SRS resource by the higher layer
parameter UL-PTRS-SRS-mapping-non-CB. If the PT-RS port index associated with different SRIs are the same, the
corresponding UL DM-RS ports are associated to the one UL PT-RS port.

For partial-coherent and non-coherent codebook based UL transmission, the actual number of UL PT-RS port(s) is
determined based on TPMI and/or TRI in DCI format 0_1.

- if the UE is configured with the higher -layer parameter UL-PTRS-ports set to 2, the actual UL PT-RS port(s)
and the associated transmission layer(s) are derived from indicated TPMI as:

- SRS port 0 and 2 in indicated TPMI share PT-RS port 0, and SRS port 1 and 3 in indicated TPMI share PT-RS
port 1.

- UL PT-RS port 0 is associated with the UL layer [x] of layers which are transmitted with SRS port 0 and SRS
port 2 in indicated TPMI, and UL PT-RS port 1 is associated with the UL layer [y] of layers which are
transmitted with SRS port 1 and SRS port 3 in indicated TPMI, where [x] and/or [y] are given by DCI parameter
PTRS-DMRS association as shown in DCI format 0_1 described in Subclause 6.2.3 of [5, TS38.212].

When transform precoding is enabled and if a UE is configured with the higher layer parameter UL-PTRS-present-
transform-precoding and if the higher layer parameters UL-PTRS-time-density-transform-precoding and UL-PTRS-pre-
DFT-density are configured, the UE shall assume the PT-RS antenna ports' presence and pattern are a function of the
corresponding scheduled bandwidth in a corresponding bandwidth part, as shown in Table 6.2.3-3. The UE shall assume
no PT-RS is present when the number of scheduled RBs is less than or equal to NRB0 if NRB0 > 0.

3GPP
Release 15 69 3GPP TS 38.214 V15.0.0 (2017-12)

Table 6.2.3-3: PT-RS pattern as a function of scheduled bandwidth

Number of samples
Scheduled bandwidth Number of PT-RS groups
per PT-RS group
NRB0 NRB < NRB1 2 2
NRB1  NRB < NRB2 2 4
NRB2  NRB < NRB3 4 2
NRB3  NRB < NRB4 4 4
NRB4  NRB 8 4

When transform precoding is enabled and if a UE is configured with the higher layer parameter UL-PTRS-present-
transform-precoding, the PT-RS scaling factor  specified in Subclause 6.4.1.2.2.2 of [4, TS 38.211] is determined by
the scheduled modulation order as shown in table 6.2.3-4.

Table 6.2.3-4: PT-RS scaling factor (  ) when transform coding enabled.

PT-RS scaling factor ( 

Scheduled modulation
)
π/2-BPSK 1
QPSK 1
16QAM 3 5
64QAM 7 21
256QAM 15 85

6.3 UE PUSCH hopping procedure

In case of resource allocation type 1, whether or not transform precoding is enabled for PUSCH transmission, the UE
may perform PUSCH frequency hopping, otherwise no PUSCH frequency hopping is performed. When transform
precoding and frequency hopping are enabled for PUSCH, the RE mapping is performed in the following order: the
modulated symbols are first mapped across sub-carriers, then across transform precoded symbols within a frequency-
hop, then across frequency hops occupying different sets of PRBs.

If a UE is configured by higher layer parameter Frequency-hopping-PUSCH, one of two frequency hopping modes can
be configured:

- Intra-slot frequency hopping, applicable to single slot and multi-slot PUSCH transmission.

- Inter-slot frequency hopping, applicable to multi-slot PUSCH transmission.

When frequency hopping on PUSCH is enabled and for resource allocation type 1, frequency offsets are configured by
higher layer parameter Frequency-hopping-offsets-set:

- when the size of the active BWP is less than [50] PRBs, one of two higher layer configured offsets is indicated in
the UL grant

- when the size of the active BWP is greater than [50] PRBs, one of four higher layer configured offsets is
indicated in the UL grant

The starting RB during in each hop is given by:

 RBstart First hop

RBstart   ,
 RBstart  RBoffset  mod N BWP Second hop
size

where RBstart be the starting resource within the UL BWP, as calculated from the resource block assignment
information of resource allocation type 1 (described in sub-clause 6.1.2.2.2) and RB offset is the frequency offset in
RBs between the two frequency hops.

3GPP
Release 15 70 3GPP TS 38.214 V15.0.0 (2017-12)

[In case of inter-slot frequency hopping, hopping happens at each slot. The starting RB during slot ns is given by:

  
RBstart ns  
RBstart
 RBstart  RBoffset  mod N BWP
size
ns mod 2  0
ns mod 2  1
,]

where ns,0 is the slot number within a radio frame of the first PUSCH slot of a multi-slot PUSCH transmission, ns
is the current slot number within a radio frame, where a multi-slot PUSCH transmission can take place, RBstart is the
starting resource within the UL BWP, as calculated from the resource block assignment information of resource
allocation type 1 (described in sub-clause 6.1.2.2.2) and RB offset is the frequency offset in RBs between the two
frequency hops.

6.4 UE PUSCH preparation procedure time

If the first symbol in the PUSCH allocation, including the DM-RS, is no earlier than at symbol K2 the UE shall follow
the scheduling DCI, where K2 is defined as the next uplink symbol with its CP starting after
( N 2 
 d 2 )(2048  144)  2 UL  NTA  TC after the last symbol of the PDCCH carrying the DCI scheduling the
PUSCH, where N2 is defined by tables 6.4-1 and 6.4-2 depending on UE capability, where

- N2 and K2 are based on the numerology of the PUSCH to be transmitted,

- If µUL < µDL then C SCS    2  UL

- If µUL ≥ µDL then C SCS    2   DL

- If the first symbol of the PUSCH allocation consists of DM-RS only, then d2=0,

- Otherwise d2=1.

Otherwise the UE may ignore the scheduling DCI.

Table 6.4-1: PUSCH preparation time for PUSCH timing capability 1

 DL PUSCH preparation time N2 [symbols]

0 10
1 12
2 23
3 36

Table 6.4-2: PUSCH preparation time for PUSCH timing capability 2

 DL PUSCH preparation time N2 [symbols]

0 [2.5-6]
1 [2.5-6]

3GPP
Release 15 71 3GPP TS 38.214 V15.0.0 (2017-12)

Annex A (informative):
Change history

Change history
Date Meeting TDoc CR Rev Cat Subject/Comment Version
2017-05 RAN1#89 R1-1708892 - - - Draft skeleton 0.0.0
2017-07 AH_1706 R1-1712016 Inclusion of agreements up to and including RAN1#AH2 0.0.1
2017-08 AH_1706 R1-1714234 Inclusion of agreements up to and including RAN1#AH2 0.0.2
2017-08 RAN1#90 R1-1714596 Updated editor's version 0.0.3
2017-08 RAN1#90 R1-1714626 Updated editor's version 0.0.4
2017-08 RAN1#90 R1-1715077 Endorsed version by RAN1#90 0.1.0
2017-08 RAN1#90 R1-1715324 Inclusion of agreements up to and including RAN1#90 0.1.1
2017-08 RAN1#90 R1-1715331 Updated editor's version 0.1.2
2017-09 RAN#77 RP-172001 For information to plenary 1.0.0
2017-09 AH_1709 R1-1716930 Inclusion of agreements up to and including RAN1#AH3 1.0.1
2017-10 RAN1#90bis R1-1718808 Updated editor's version 1.0.2
2017-10 RAN1#90bis R1-1718819 Endorsed version by RAN1#90bis 1.1.0
2017-10 RAN1#90bis R1-1719227 Inclusion of agreements up to and including RAN1#90bis 1.1.1
2017-11 RAN1#90bis R1-1720113 Inclusion of agreements up to and including RAN1#90bis 1.1.2
2017-11 RAN1#90bis R1-1720114 Inclusion of agreements up to and including RAN1#90bis 1.1.3
2017-11 RAN1#90bis R1-1721051 Endorsed version 1.2.0
2017-12 RAN1#91 R1-1721344 Inclusion of agreements up to and including RAN1#91 1.3.0
2017-12 RAN#78 RP-172416 Endorsed version for approval by plenary 2.0.0
2017-12 RAN#78 Approved by plenary – Rel-15 spec under change control 15.0.0

3GPP