9.5 Reporting of Rank Indicator (RI)

36.1013GPPEvolved Universal Terrestrial Radio Access (E-UTRA)Release 18TSUser Equipment (UE) radio transmission and reception

Tools: ARFCN - Frequency Conversion for 5G NR/LTE/UMTS/GSM

The purpose of this test is to verify that the reported rank indicator accurately represents the channel rank. The accuracy of RI (CQI) reporting is determined by the relative increase of the throughput obtained when transmitting based on the reported rank compared to the case for which a fixed rank is used for transmission. Transmission mode 4 is used with the specified CodebookSubSetRestriction in section 9.5.1, transmission mode 9 is used with the specified CodebookSubSetRestriction in section 9.5.2 and transmission mode 3 is used with the specified CodebookSubSetRestriction in section 9.5.3, and transmission mode 10 is used with the specified CodebookSubSetRestriction in section 9.5.5.

For fixed rank 1 transmission in sections 9.5.1, 9.5.2 and 9.5.5, the RI and PMI reporting is restricted to two single-layer precoders, For fixed rank 2 transmission in sections 9.5.1, 9.5.2 and 9.5.5, the RI and PMI reporting is restricted to one two-layer precoder, For follow RI transmission in sections 9.5.1 and 9.5.2, the RI and PMI reporting is restricted to select the union of these precoders. Channels with low and high correlation are used to ensure that RI reporting reflects the channel condition.

For fixed rank 1 transmission in section 9.5.3, the RI reporting is restricted to single-layer, for fixed rank 2 transmission in section 9.5.3, the RI reporting is restricted to two-layers. For follow RI transmission in section 9.5.3, the RI reporting is either one or two layers.

9.5.1 Minimum requirement (Cell-Specific Reference Symbols)

9.5.1.1 FDD

The minimum performance requirement in Table 9.5.1.1-2 is defined as

a) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 1 shall be ≥ _;

b) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 2 shall be ≥ _;

For the parameters specified in Table 9.5.1.1-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.5.1.1-2.

Table 9.5.1.1-1: RI Test (FDD)

Parameter		Unit	Test 1	Test 2	Test 3
Bandwidth		MHz	10
PDSCH transmission mode			4
Downlink power allocation		dB	-3
		dB	-3
	σ	dB	0
Propagation condition and antenna configuration			2 x 2 EPA5
CodeBookSubsetRestriction bitmap			000011 for fixed RI = 1 010000 for fixed RI = 2 010011 for UE reported RI
Antenna correlation			Low	Low	High
RI configuration			Fixed RI=2 and follow RI	Fixed RI=1 and follow RI	Fixed RI=1 and follow RI
SNR		dB	0	20	20
		dB[mW/15kHz]	-98	-98	-98
		dB[mW/15kHz]	-98	-78	-78
Maximum number of HARQ transmissions			1
Reporting mode			PUCCH 1-1 (Note 4)
Physical channel for CQI/PMI reporting			PUCCH Format 2
PUCCH Report Type for CQI/PMI			2
Physical channel for RI reporting			PUSCH (Note 3)
PUCCH Report Type for RI			3
Reporting periodicity		ms	N_pd= 5
PMI and CQI delay		ms	8
cqi-pmi-ConfigurationIndex			6
ri-ConfigurationInd			1 (Note 5)
Note 1: If the UE reports in an available uplink reporting instance at subframe SF#n based on PMI and CQI estimation at a downlink subframe not later than SF#(n-4), this reported PMI and wideband CQI cannot be applied at the eNB downlink before SF#(n+4). Note 2: Reference measurement channel RC.2 FDD according to Table A.4-1 with one sided dynamic OCNG Pattern OP.1 FDD as described in Annex A.5.1.1. Note 3: To avoid collisions between RI reports and HARQ-ACK it is necessary to report both on PUSCH instead of PUCCH. PDCCH DCI format 0 shall be transmitted in downlink SF#4 and #9 to allow periodic RI to multiplex with the HARQ-ACK on PUSCH in uplink subframe SF#8 and #3. Note 4: The bit field for precoding information in DCI format 2 shall be mapped as: ● For reported RI = 1 and PMI = 0 >> precoding information bit field index = 1 ● For reported RI = 1 and PMI = 1 >> precoding information bit field index = 2 ● For reported RI = 2 and PMI = 0 >> precoding information bit field index = 0 Note 5: To avoid the ambiguity of TE behaviour when applying CQI and PMI during rank switching, RI reports are to be applied at the TE with one subframe delay in addition to Note 1 to align with CQI and PMI reports.

Table 9.5.1.1-2: Minimum requirement (FDD)

	Test 1	Test 2	Test 3
₁	N/A	1.05	0.9
₂	1	N/A	N/A
UE Category	≥2	≥2	≥2

9.5.1.2 TDD

The minimum performance requirement in Table 9.5.1.2-2 is defined as

The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 1 shall be ≥ _;
The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 2 shall be ≥ _;

For the parameters specified in Table 9.5.1.2-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.5.1.2-2.

Table 9.5.1.2-1: RI Test (TDD)

Parameter		Unit	Test 1	Test 2	Test 3
Bandwidth		MHz	10
PDSCH transmission mode			4
Downlink power allocation		dB	-3
		dB	-3
	σ	dB	0
Uplink downlink configuration			2
Special subframe configuration			4
Propagation condition and antenna configuration			2 x 2 EPA5
CodeBookSubsetRestriction bitmap			000011 for fixed RI = 1 010000 for fixed RI = 2 010011 for UE reported RI
Antenna correlation			Low	Low	High
RI configuration			Fixed RI=2 and follow RI	Fixed RI=1 and follow RI	Fixed RI=1 and follow RI
SNR		dB	0	20	20
		dB[mW/15kHz]	-98	-98	-98
		dB[mW/15kHz]	-98	-78	-78
Maximum number of HARQ transmissions			1
Reporting mode			PUSCH 3-1 (Note 3)
Reporting interval		ms	5
PMI and CQI delay		ms	10 or 11
ACK/NACK feedback mode			Bundling
Note 1: If the UE reports in an available uplink reporting instance at subframe SF#n based on PMI and CQI estimation at a downlink subframe not later than SF#(n-4), this reported PMI and wideband CQI cannot be applied at the eNB downlink before SF#(n+4). Note 2: Reference measurement channel RC.2 TDD according to Table A.4-1 with one sided dynamic OCNG Pattern OP.1 TDD as described in Annex A.5.2.1. Note 3: Reported wideband CQI and PMI are used and sub-band CQI is discarded.

Table 9.5.1.2-2: Minimum requirement (TDD)

	Test 1	Test 2	Test 3
₁	N/A	1.05	0.9
₂	1	N/A	N/A
UE Category	≥2	≥2	≥2

9.5.2 Minimum requirement (CSI Reference Symbols)

9.5.2.1 FDD

The minimum performance requirement in Table 9.5.2.1-2 is defined as

a) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 1 shall be ≥ _;

b) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 2 shall be ≥ _;

For the parameters specified in Table 9.5.2.1-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.5.2.1-2.

Table 9.5.2.1-1: RI Test (FDD)

Parameter		Unit	Test 1	Test 2	Test 3
Bandwidth		MHz	10
PDSCH transmission mode			9
Downlink power allocation		dB	0
		dB	0
	Pc	dB	0
	σ	dB	0
Propagation condition and antenna configuration			2 x 2 EPA5
Cell-specific reference signals			Antenna ports 0
Beamforming Model			As specified in Section B.4.3
CSI reference signals			Antenna ports 15, 16
CSI-RS periodicity and subframe offset T_CSI-RS / ∆_CSI-RS			5/1
CSI reference signal configuration			6
CodeBookSubsetRestriction bitmap			000011 for fixed RI = 1 010000 for fixed RI = 2 010011 for UE reported RI
Antenna correlation			Low	Low	High
RI configuration			Fixed RI=2 and follow RI	Fixed RI=1 and follow RI	Fixed RI=1 and follow RI
SNR		dB	0	20	20
		dB[mW/15kHz]	-98	-98	-98
		dB[mW/15kHz]	-98	-78	-78
Maximum number of HARQ transmissions			1
Reporting mode			PUCCH 1-1
Physical channel for CQI/PMI reporting			PUSCH (Note 3)
PUCCH Report Type for CQI/PMI			2
Physical channel for RI reporting			PUCCH Format 2
PUCCH Report Type for RI			3
Reporting periodicity		ms	N_pd = 5
PMI and CQI delay		ms	8
cqi-pmi-ConfigurationIndex			2
ri-ConfigurationInd			1 (Note 4)
Note 1: If the UE reports in an available uplink reporting instance at subframe SF#n based on PMI and CQI estimation at a downlink subframe not later than SF#(n-4), this reported PMI and wideband CQI cannot be applied at the eNB downlink before SF#(n+4). Note 2: Reference measurement channel RC.9 FDD according to Table A.4-1 with one sided dynamic OCNG Pattern OP.1 FDD as described in Annex A.5.1.1. Note 3: To avoid collisions between CQI/ PMI reports and HARQ-ACK it is necessary to report both on PUSCH instead of PUCCH. PDCCH DCI format 0 shall be transmitted in downlink SF#1 and #6 to allow periodic CQI/ PMI to multiplex with the HARQ-ACK on PUSCH in uplink SF#0 and #5. Note 4: To avoid the ambiguity of TE behaviour when applying CQI and PMI during rank switching, RI reports are to be applied at the TE with one subframe delay in addition to Note 1 to align with CQI and PMI reports.

Table 9.5.2.1-2: Minimum requirement (FDD)

	Test 1	Test 2	Test 3
₁	N/A	1.05	0.9
₂	1	N/A	N/A
UE Category	≥2	≥2	≥2

9.5.2.2 TDD

The minimum performance requirement in Table 9.5.2.2-2 is defined as

a) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 1 shall be ≥ _;

b) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 2 shall be ≥ _;

For the parameters specified in Table 9.5.2.2-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.5.2.2-2.

Table 9.5.2.2-1: RI Test (TDD)

Parameter		Unit	Test 1	Test 2	Test 3
Bandwidth		MHz	10
PDSCH transmission mode			9
Downlink power allocation		dB	0
		dB	0
	Pc	dB	0
	σ	dB	0
Uplink downlink configuration			1
Special subframe configuration			4
Propagation condition and antenna configuration			2 x 2 EPA5
Cell-specific reference signals			Antenna ports 0
CSI reference signals			Antenna ports 15, 16
Beamforming Model			As specified in Section B.4.3
CSI reference signal configuration			4
CSI-RS periodicity and subframe offset T_CSI-RS / ∆_CSI-RS			5/4
CodeBookSubsetRestriction bitmap			000011 for fixed RI = 1 010000 for fixed RI = 2 010011 for UE reported RI
Antenna correlation			Low	Low	High
RI configuration			Fixed RI=2 and follow RI	Fixed RI=1 and follow RI	Fixed RI=1 and follow RI
SNR		dB	0	20	20
		dB[mW/15kHz]	-98	-98	-98
		dB[mW/15kHz]	-98	-78	-78
Maximum number of HARQ transmissions			1
Reporting mode			PUCCH 1-1
Physical channel for CQI/ PMI reporting			PUSCH (Note 3)
PUCCH report type for CQI/ PMI			2
Physical channel for RI reporting			PUCCH Format 2
Reporting periodicity		ms	N_pd = 5
PMI and CQI delay		ms	10
ACK/NACK feedback mode			Bundling
cqi-pmi-ConfigurationIndex			4
ri-ConfigurationInd			1
Note 1: If the UE reports in an available uplink reporting instance at subframe SF#n based on PMI and CQI estimation at a downlink subframe not later than SF#(n-4), this reported PMI and wideband CQI cannot be applied at the eNB downlink before SF#(n+4). Note 2: Reference measurement channel RC.9 TDD according to Table A.4-1 with one sided dynamic OCNG Pattern OP.1 TDD as described in Annex A.5.2.1. Note 3: To avoid collisions between CQI/PMI reports and HARQ-ACK it is necessary to report both on PUSCH instead of PUCCH. PDCCH DCI format 0 shall be transmitted in downlink SF#4 and #9 to allow periodic CQI/PMI to multiplex with the HARQ-ACK on PUSCH in uplink SF#3 and #8.

Table 9.5.2.2-2: Minimum requirement (TDD)

	Test 1	Test 2	Test 3
₁	N/A	1.05	0.9
₂	1	N/A	N/A
UE Category	≥2	≥2	≥2

9.5.3 Minimum requirement (CSI measurements in case two CSI subframe sets are configured)

9.5.3.1 FDD

The minimum performance requirement in Table 9.5.3.1-2 is defined as

a) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 1 shall be ≥ γ₁

For the parameters specified in Table 9.5.3.1-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.5.3.1-2.

Table 9.5.3.1-1: RI Test (FDD)

Parameter		Unit	Test 1			Test 2
			Cell 1	Cell 2		Cell 1	Cell 2
Bandwidth		MHz	10			10
PDSCH transmission mode			3	Note 10		3	Note 10
Downlink power allocation		dB	-3			-3
		dB	-3			-3
	σ	dB	0			0
Propagation condition and antenna configuration			2 x 2 EPA5			2 x 2 EPA5
CodeBookSubsetRestriction bitmap			01 for fixed RI = 1 10 for fixed RI = 2 11 for UE reported RI	N/A		01 for fixed RI = 1 10 for fixed RI = 2 11 for UE reported RI	N/A
Antenna correlation			Low			Low
RI configuration			Fixed RI=1 and follow RI	N/A		Fixed RI=1 and follow RI	N/A
		dB	0	-12		20	6
		dBmW/15kHz	-98 (Note 3)	N/A		-102 (Note 3)	N/A
			-98 (Note 4)	N/A		-98 (Note 4)	N/A
			-98 (Note 5)	N/A		-94.8 (Note 5)	N/A
		dB[mW/15kHz]	-98	-110		-78	-92
Subframe Configuration			Non-MBSFN	Non-MBSFN		Non-MBSFN	Non-MBSFN
Cell Id			0	1		0	1
Time Offset between Cells		μs	2.5 (synchronous cells)			2.5 (synchronous cells)
ABS Pattern (Note 6)			N/A	10000000 10000000 10000000 10000000 10000000		N/A	10000000 10000000 10000000 10000000 10000000
RLM/RRM Measurement Subframe Pattern (Note 7)			10000000 10000000 10000000 10000000 10000000	N/A		10000000 10000000 10000000 10000000 10000000	N/A
CSI Subframe Sets (Note 8)	C_CSI,0		10000000 10000000 10000000 10000000 10000000	N/A		10000000 10000000 10000000 10000000 10000000	N/A
	C_CSI,1		01111111 01111111 01111111 01111111 01111111			01111111 01111111 01111111 01111111 01111111
Number of control OFDM Symbols			3	3		3	3
Maximum number of HARQ transmissions			1			1
Reporting mode			PUCCH 1-0			PUCCH 1-0
Physical channel for CQI reporting			PUCCH Format 2			PUCCH Format 2
PUCCH Report Type for CQI			4			4
Physical channel for RI reporting			PUCCH Format 2			PUCCH Format 2
PUCCH Report Type for RI			3			3
Reporting periodicity		ms	N_pd= 10			N_pd= 10
cqi-pmi-ConfigurationIndex			11			11
ri-ConfigurationInd			5			5
cqi-pmi-ConfigurationIndex2			10			10
ri-ConfigurationInd2			2			2
Cyclic prefix			Normal		Normal	Normal	Normal
Note 1: If the UE reports in an available uplink reporting instance at subframe SF#n based on CQI estimation at a downlink subframe not later than SF#(n-4), this reported wideband CQI cannot be applied at the eNB downlink before SF#(n+4). Note 2: Reference measurement channel in Cell 1 RC.2 FDD according to Table A.4-1 with one sided dynamic OCNG Pattern OP.1 FDD as described in Annex A.5.1.1. Note 3: This noise is applied in OFDM symbols #1, #2, #3, #5, #6, #8, #9, #10,#12, #13 of a subframe overlapping with the aggressor ABS. Note 4: This noise is applied in OFDM symbols #0, #4, #7, #11 of a subframe overlapping with the aggressor ABS. Note 5: This noise is applied in all OFDM symbols of a subframe overlapping with aggressor non-ABS Note 6: ABS pattern as defined in [9]. Note 7: Time-domain measurement resource restriction pattern for PCell measurements as defined in [7]. Note 8: As configured according to the time-domain measurement resource restriction pattern for CSI measurements defined in [7]. Note 9: Cell 1 is the serving cell. Cell 2 is the aggressor cell. The number of the CRS ports in Cell 1 and Cell 2 is the same. Note 10: Downlink physical channel setup in Cell 2 in accordance with Annex C.3.3 applying OCNG pattern as defined in Annex A.5.1.5.

Table 9.5.3.1-2: Minimum requirement (FDD)

	Test 1	Test 2
₁	0.9	1.05
UE Category	≥2	≥2

9.5.3.2 TDD

The minimum performance requirement in Table 9.5.3.2-2 is defined as

a) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 1 shall be ≥ γ₁.

For the parameters specified in Table 9.5.3.2-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.5.3.2-2.

Table 9.5.3.2-1: RI Test (TDD)

Parameter		Unit	Test1			Test2
			Cell 1		Cell 2	Cell 1		Cell 2
Bandwidth		MHz	10			10
PDSCH transmission mode			3		Note 11	3		Note 11
Uplink downlink configuration			1			1
Special subframe configuration			4			4
Downlink power allocation		dB	-3			-3
		dB	-3			-3
	σ	dB	0			0
Propagation condition and antenna configuration			2 x 2 EPA5			2 x 2 EPA5
CodeBookSubsetRestriction bitmap			01 for fixed RI = 1 10 for fixed RI = 2 11 for UE reported RI		N/A	01 for fixed RI = 1 10 for fixed RI = 2 11 for UE reported RI		N/A
Antenna correlation			Low			Low
RI configuration			Fixed RI=1 and follow RI		N/A	Fixed RI=1 and follow RI		N/A
		dB	0		-12	20		6
		dB[mW/15kHz]	-98 (Note 4)		N/A	-102 (Note 4)		N/A
			-98 (Note 5)		N/A	-98 (Note 5)		N/A
			-98 (Note 6)		N/A	-94.8 (Note 6)		N/A
		dB[mW/15kHz]	-98		-110	-78		-92
Subframe Configuration			Non-MBSFN		Non-MBSFN	Non-MBSFN		Non-MBSFN
Cell Id			0		1	0		1
Time Offset between Cells		μs	2.5 (synchronous cells)			2.5 (synchronous cells)
ABS Pattern (Note 7)			N/A		0000000001 0000000001	N/A		0000000001 0000000001
RLM/RRM Measurement Subframe Pattern (Note 8)			0000000001 0000000001		N/A	0000000001 0000000001		N/A
CSI Subframe Sets (Note 9)	C_CSI,0		0000000001 0000000001		N/A	0000000001 0000000001		N/A
	C_CSI,1		1100111000 1100111000			1100111000 1100111000
Number of control OFDM Symbols			3		3	3		3
Maximum number of HARQ transmissions			1			1
Reporting mode			PUCCH 1-0			PUCCH 1-0
Physical channel for C_CSI,0CQI and RI reporting			PUCCH Format 2			PUCCH Format 2
PUCCH Report Type for CQI			4			4
Physical channel for C_CSI,1CQI and RI reporting			PUSCH (Note 3)			PUSCH (Note 3)
PUCCH Report Type for RI			3			3
Reporting periodicity		ms	N_pd= 10			N_pd= 10
ACK/NACK feedback mode			Multiplexing			Multiplexing
cqi-pmi-ConfigurationIndex			8			8
ri-ConfigurationInd			5			5
cqi-pmi-ConfigurationIndex2			9			9
ri-ConfigurationInd2			0			0
Cyclic prefix			Normal	Normal		Normal	Normal
Note 1: If the UE reports in an available uplink reporting instance at subframe SF#n based on CQI estimation at a downlink subframe not later than SF#(n-4), this reported wideband CQI cannot be applied at the eNB downlink before SF#(n+4). Note 2: Reference measurement channel in Cell 1 RC.2 TDD according to Table A.4-1 with one sided dynamic OCNG Pattern OP.1 TDD as described in Annex A.5.2.1. Note 3: To avoid collisions between RI/CQI reports and HARQ-ACK it is necessary to report them on PUSCH instead of PUCCH. PDCCH DCI format 0 shall be transmitted in downlink SF#4 and #9 to allow periodic RI/CQI to multiplex with the HARQ-ACK on PUSCH in uplink subframe SF#8 and #3. Note 4: This noise is applied in OFDM symbols #1, #2, #3, #5, #6, #8, #9, #10,#12, #13 of a subframe overlapping with the aggressor ABS Note 5: This noise is applied in OFDM symbols #0, #4, #7, #11 of a subframe overlapping with the aggressor ABS. Note 6: This noise is applied in all OFDM symbols of a subframe overlapping with aggressor non-ABS Note 7: ABS pattern as defined in [9]. Note 8: Time-domain measurement resource restriction pattern for PCell measurements as defined in [7]. Note 9: As configured according to the time-domain measurement resource restriction pattern for CSI measurements defined in [7]. Note 10: Cell 1 is the serving cell. Cell 2 is the aggressor cell. The number of the CRS ports in Cell 1 and Cell 2 is the same. Note 11: Downlink physical channel setup in Cell 2 in accordance with Annex C.3.3 applying OCNG pattern as defined in Annex A.5.2.5.

Table 9.5.3.2-2: Minimum requirement (TDD)

	Test 1	Test 2
₁	0.9	1.05
UE Category	≥2	≥2

9.5.4 Minimum requirement (CSI measurements in case two CSI subframe sets are configured and CRS assistance information are configured)

9.5.4.1 FDD

For the parameters specified in Table 9.5.4.1-1, the minimum performance requirement in Table 9.5.4.1-2 is defined as

a) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 1 shall be ≥ γ_1;

b) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 2 shall be ≥ _;

In Table 9.5.4.1-1, Cell 1 is the serving cell, and Cell 2 and Cell 3 are the aggresso cells. The downlink physical channel setup for Cell 1 is according to Annex C.3.2 and for Cell 2 and Cell 3 is according to Annex C.3.3, respectively. The CRS assistance information [7] including Cell 2 and Cell 3 is provided.

Table 9.5.4.1-1: RI Test (FDD)

Parameter		Unit	Cell 1	Cell 2	Cell 3
Bandwidth		MHz	10	10	10
PDSCH transmission mode			3	As defined in Note 1	As defined in Note 1
Downlink power allocation		dB	-3	-3	-3
		dB	-3	-3	-3
	σ	dB	0	N/A	N/A
Propagation condition and antenna configuration			2×2 EPA5 (Note 2)	2×2 EPA5 (Note 2)	2×2 EPA5 (Note 2)
CodeBookSubsetRestriction bitmap			01 for fixed RI = 1 10 for fixed RI = 2 11 for UE reported RI	As defined in Note 1	As defined in Note 1
at antenna port		dB[mW/15kHz]	-98 (Note 3)	N/A	N/A
		dB[mW/15kHz]	-98 (Note 4)	N/A	N/A
		dB[mW/15kHz]	-93 (Note 5)	N/A	N/A
		dB	Reference Value in Table 9.5.4.1-2 for each test	12	10
		dB[mW/15kHz]	Reference Value in Table 9.5.4.1-2 for each test	-86	-88
Subframe Configuration			Non-MBSFN	Non-MBSFN	Non-MBSFN
Time Offset between Cells		μs	N/A	3	-1
Frequency shift between Cells		Hz	N/A	300	-100
Cell Id			0	126	1
ABS pattern (Note 6)			N/A	10000000 10000000 10000000 10000000 10000000	10000000 10000000 10000000 10000000 10000000
RLM/RRM Measurement Subframe Pattern (Note 7)			10000000 10000000 10000000 10000000 10000000	N/A	N/A
CSI Subframe Sets (Note 8)	C_CSI,0		10000000 10000000 10000000 10000000 10000000	N/A	N/A
	C_CSI,1		01111111 01111111 01111111 01111111 01111111	N/A	N/A
Number of control OFDM symbols			3	Note 9	Note 9
Maximum number of HARQ transmissions			1	N/A	N/A
Reporting mode			PUCCH 1-0	N/A	N/A
Physical channel for CQI reporting			PUCCH format 2	N/A	N/A
PUCCH Report Type for CQI			4	N/A	N/A
Physical channel for RI reporting			PUCCH Format 2	N/A	N/A
PUCCH Report Type for RI			3	N/A	N/A
Reporting periodicity		ms	N_pd= 10	N/A	N/A
cqi-pmi-ConfigurationIndex			11	N/A	N/A
ri-ConfigurationInd			5	N/A	N/A
cqi-pmi-ConfigurationIndex2			10	N/A	N/A
ri-ConfigurationInd2			2	N/A	N/A
Cyclic prefix			Normal	Normal	Normal
Note 1: Downlink physical channel setup in Cell 2 and Cell 3 in accordance with Annex C.3.3 applying OCNG pattern OP.5 FDD as defined in Annex A.5.1.5. Note 2: The propagation conditions for Cell 1, Cell 2 and Cell 3 are statistically independent. Note 3: This noise is applied in OFDM symbols #1, #2, #3, #5, #6, #8, #9, #10,#12, #13 of a subframe overlapping with the aggressor ABS. Note 4: This noise is applied in OFDM symbols #0, #4, #7, #11 of a subframe overlapping with the aggressor ABS. Note 5: This noise is applied in all OFDM symbols of a subframe overlapping with aggressor non-ABS Note 6: ABS pattern as defined in [9]. PDSCH other than SIB1/paging and its associated PDCCH/PCFICH are transmitted in the serving cell subframe when the subframe is overlapped with the ABS subframe of aggressor cell and the subframe is available in the definition of the reference channel. Note 7: Time-domain measurement resource restriction pattern for PCell measurements as defined in [7] Note 8: As configured according to the time-domain measurement resource restriction pattern for CSI measurements defined in [7]. Note 9: The number of control OFDM symbols is not available for ABS and is 3 for the subframe indicated by “0” of ABS pattern. Note 10: If the UE reports in an available uplink reporting instance at subframe SF#n based on CQI estimation at a downlink subframe not later than SF#(n-4), this reported wideband CQI cannot be applied at the eNB downlink before SF#(n+4). Note 11: Reference measurement channel in Cell 1 RC.2 FDD according to Table A.4-1 with one sided dynamic OCNG Pattern OP.1 FDD as described in Annex A.5.1.1. Note 12: The number of the CRS ports in Cell1, Cell2 and Cell 3 is the same. Note 13: SIB-1 will not be transmitted in Cell2 and Cell 3 in this test.

Table 9.5.4.1-2: Minimum requirement (FDD)

	Test 1	Test 2	Test 3
for Cell 1 (dB)	4	20	20
for Cell 1 (dB[mW/15kHz])	-94	-78	-78
Antenna correlation	High for Cell 1, low for Cell 2 and Cell 3	Low for Cell 1, Cell 2 and Cell 3	High for Cell 1, low for Cell 2 and Cell 3
₁	N/A	1.05	0.9
₂	1.05	N/A	N/A
UE Category	≥2	≥2	≥2

9.5.4.2 TDD

For the parameters specified in Table 9.5.4.2-1, the minimum performance requirement in Table 9.5.4.2-2 is defined as

a) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 1 shall be ≥ γ_1;

b) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 2 shall be ≥ _;

In Table 9.5.4.2-1, Cell 1 is the serving cell, and Cell 2 and Cell 3 are the aggresso cells. The downlink physical channel setup for Cell 1 is according to Annex C.3.2 and for Cell 2 and Cell 3 is according to Annex C.3.3, respectively. The CRS assistance information [7] including Cell 2 and Cell 3 is provided.

Table 9.5.4.2-1: RI Test (TDD)

Parameter		Unit	Cell 1	Cell 2	Cell 3
Bandwidth		MHz	10	10	10
PDSCH transmission mode			3	As defined in Note 1	As defined in Note 1
Uplink downlink configuration			1	1	1
Special subframe configuration			4	4	4
Downlink power allocation		dB	-3	-3	-3
		dB	-3	-3	-3
	σ	dB	0	N/A	N/A
Propagation condition and antenna configuration			2×2 EPA5 (Note 2)	2×2 EPA5 (Note 2)	2×2 EPA5 (Note 2)
CodeBookSubsetRestriction bitmap			01 for fixed RI = 1 10 for fixed RI = 2 11 for UE reported RI	As defined in Note 1	As defined in Note 1
at antenna port		dB[mW/15kHz]	-98 (Note 3)	N/A	N/A
		dB[mW/15kHz]	-98 (Note 4)	N/A	N/A
		dB[mW/15kHz]	-93 (Note 5)	N/A	N/A
		dB	Reference Value in Table 9.5.4.2-2 for each test	12	10
		dB[mW/15kHz]	Reference Value in Table 9.5.4.2-2 for each test	-86	-88
Subframe Configuration			Non-MBSFN	Non-MBSFN	Non-MBSFN
Time Offset between Cells		μs	N/A	3	-1
Frequency shift between Cells		Hz	N/A	300	-100
Cell Id			0	126	1
ABS pattern (Note 6)			N/A	0000000001 0000000001	0000000001 0000000001
RLM/RRM Measurement Subframe Pattern (Note 7)			0000000001 0000000001	N/A	N/A
CSI Subframe Sets (Note 8)	C_CSI,0		0000000001 0000000001	N/A	N/A
	C_CSI,1		1100111000 1100111000	N/A	N/A
Number of control OFDM symbols			3	Note 9	Note 9
Maximum number of HARQ transmissions			1	N/A	N/A
Reporting mode			PUCCH 1-0	N/A	N/A
Physical channel for C_CSI,0CQI and RI reporting			PUCCH format 2	N/A	N/A
Physical channel for C_CSI,1CQI and RI reporting			PUSCH (Note 14)	N/A	N/A
PUCCH Report Type for CQI			4	N/A	N/A
PUCCH Report Type for RI			3	N/A	N/A
Reporting periodicity		ms	N_pd= 10	N/A	N/A
ACK/NACK feedback mode			Multiplexing	N/A	N/A
cqi-pmi-ConfigurationIndex			8	N/A	N/A
ri-ConfigurationInd			5	N/A	N/A
cqi-pmi-ConfigurationIndex2			9	N/A	N/A
ri-ConfigurationInd2			0	N/A	N/A
Cyclic prefix			Normal	Normal	Normal
Note 1: Downlink physical channel setup in Cell 2 and Cell 3 in accordance with Annex C.3.3 applying OCNG pattern OP.5 TDD as defined in Annex A.5.2.5. Note 2: The propagation conditions for Cell 1, Cell 2 and Cell 3 are statistically independent. Note 3: This noise is applied in OFDM symbols #1, #2, #3, #5, #6, #8, #9, #10,#12, #13 of a subframe overlapping with the aggressor ABS. Note 4: This noise is applied in OFDM symbols #0, #4, #7, #11 of a subframe overlapping with the aggressor ABS. Note 5: This noise is applied in all OFDM symbols of a subframe overlapping with aggressor non-ABS Note 6: ABS pattern as defined in [9]. PDSCH other than SIB1/paging and its associated PDCCH/PCFICH are transmitted in the serving cell subframe when the subframe is overlapped with the ABS subframe of aggressor cell and the subframe is available in the definition of the reference channel. Note 7: Time-domain measurement resource restriction pattern for PCell measurements as defined in [7] Note 8: As configured according to the time-domain measurement resource restriction pattern for CSI measurements defined in [7]. Note 9: The number of control OFDM symbols is not available for ABS and is 3 for the subframe indicated by “0” of ABS pattern. Note 10: If the UE reports in an available uplink reporting instance at subframe SF#n based on CQI estimation at a downlink subframe not later than SF#(n-4), this reported wideband CQI cannot be applied at the eNB downlink before SF#(n+4). Note 11: Reference measurement channel in Cell 1 RC.2 TDD according to Table A.4-1 with one sided dynamic OCNG Pattern OP.1 TDD as described in Annex A.5.2.1. Note 12: The number of the CRS ports in Cell1, Cell2 and Cell 3 is the same. Note 13: SIB-1 will not be transmitted in Cell2 and Cell 3 in this test. Note 14: To avoid collisions between RI/CQI reports and HARQ-ACK it is necessary to report them on PUSCH instead of PUCCH. PDCCH DCI format 0 shall be transmitted in downlink SF#4 and #9 to allow periodic RI/CQI to multiplex with the HARQ-ACK on PUSCH in uplink subframe SF#8 and #3.

Table 9.5.4.2-2: Minimum requirement (TDD)

	Test 1	Test 2	Test 3
for Cell 1 (dB)	4	20	20
for Cell 1 (dB[mW/15kHz])	-94	-78	-78
Antenna correlation	High for Cell 1, low for Cell 2 and Cell 3	Low for Cell 1, Cell 2 and Cell 3	High for Cell 1, low for Cell 2 and Cell 3
₁	N/A	1.05	0.9
₂	1.05	N/A	N/A
UE Category	≥2	≥2	≥2

9.5.5 Minimum requirement (with CSI process)

Each CSI process is associated with a CSI-RS resource and a CSI-IM resource as shown in Table 9.5.5-1.

For UE supports one CSI process, CSI process 0 is configured for Test 1 and Test 2, but CSI process 1 is not configured for Test 2. The corresponding  requirements for Test 1 and Test 2 shall be fulfilled. The requirement on reported RI for CSI process 1 in Test 2 is not applicable.

For UE supports multiple CSI processes, CSI process 0 is configured for Test 1 and CSI processes 0 and 1 are configured for Test 2. The corresponding  requirements for Test 1 and Test 2 shall be fulfilled, and also the requirement on reported RI for CSI process 1 in Test 2.

Table 9.5.5-1: Configuration of CSI processes

	CSI process 0	CSI process 1
CSI-RS resource	CSI-RS signal 0	CSI-RS signal 1
CSI-IM resource	CSI-IM resource 0	CSI-IM resource 1

9.5.5.1 FDD

The minimum performance requirement in Table 9.5.5.1-2 is defined as

a) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 1 shall be ≥ _;

b) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 2 shall be ≥ _;

c) For Test 2, the RI reported for CSI process 1 shall be the same as the most recent RI reported for CSI process 0 if UE is configured with multiple CSI processes.

For the parameters specified in Table 9.5.5.1-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.5.5.1-2.

Table 9.5.5.1-1: RI Test (FDD)

Parameter		Unit	Test 1		Test 2
Parameter		Unit	TP1	TP2	TP1	TP2
Bandwidth		MHz	10 MHz		10 MHz
Transmission mode			10	10	10	10
Downlink power allocation		dB	0		0
		dB	0		0
		dB	0	0	0	0
	σ	dB	0		0
SNR		dB	0	0	20	20
		dB[mW/15kHz]	-98	-98	-78	-78
		dB[mW/15kHz]	-98		-98
Propagation channel			EPA 5 Low	EPA 5 Low	EPA 5 Low	EPA 5 High
Antenna configuration			2×2	2×2	2×2	2×2
Beamforming Model			As specified in Section B.4.3		As specified in Section B.4.3
Timing offset between TPs		us	0		0
Frequency offset between TPs		Hz	0		0
Cell-specific reference signals			Antenna ports 0		Antenna ports 0
CSI-RS signal 0			Antenna ports 15,16	N/A	Antenna ports 15,16	N/A
CSI-RS 0 periodicity and subframe offset T_CSI-RS / ∆_CSI-RS			5/1	N/A	5/1	N/A
CSI-RS 0 configuration			0	N/A	0	N/A
CSI-RS signal 1			N/A	Antenna ports 15,16	N/A	Antenna ports 15,16
CSI-RS 1 periodicity and subframe offset T_CSI-RS / ∆_CSI-RS			N/A	5/1	N/A	5/1
CSI-RS 1 configuration			N/A	3	N/A	3
Zero-power CSI-RS 0 configuration I_CSI-RS / ZeroPowerCSI-RS bitmap			N/A	1 / 1000001000000000	N/A	1] / 1000001000000000
Zero-power CSI-RS 1 configuration I_CSI-RS / ZeroPowerCSI-RS bitmap			1 / 0011000000000000	N/A	1 / 0011000000000000	N/A
CSI-IM 0 periodicity and subframe offset T_CSI-RS / ∆_CSI-RS			5/1	N/A	5/1	N/A
CSI-IM 0 configuration			2	N/A	2	N/A
CSI-IM 1 periodicity and subframe offset T_CSI-RS / ∆_CSI-RS			N/A	5/1	N/A	5/1
CSI-IM 1 configuration			N/A	6	N/A	6
RI configuration			Fixed RI=2 and follow RI	N/A	Fixed RI=1 and follow RI	N/A
Physical channel for CQI/PMI reporting			PUSCH (Note 6)	N/A	PUSCH (Note 6)	PUSCH (Note 6)
PUCCH Report Type for CQI/PMI			2	N/A	2	2
Physical channel for RI reporting			PUCCH Format 2	N/A	PUCCH Format 2	PUCCH Format 2
PUCCH Report Type for RI			3	N/A	3	3
CSI process 0 (Note 7)	CSI-RS		CSI-RS 0	N/A	CSI-RS 0	N/A
	CSI-IM		CSI-IM 0	N/A	CSI-IM 0	N/A
	Reporting mode		PUCCH 1-1	N/A	PUCCH 1-1	N/A
	Reporting periodicity	ms	N_pd = 5	N/A	N_pd = 5	N/A
	CQI delay	ms	8	N/A	10	N/A
	cqi-pmi-ConfigurationIndex		6	N/A	6	N/A
	ri-ConfigIndex		1	N/A	1	N/A
CSI process 1 (Note 7, Note 9)	CSI-RS		N/A	N/A	N/A	CSI-RS 1
	CSI-IM		N/A	N/A	N/A	CSI-IM 1
	Reporting mode		N/A	N/A	N/A	PUCCH 1-1
	Reporting periodicity	ms	N/A	N/A	N/A	N_pd = 5
	CQI delay	ms	N/A	N/A	N/A	10
	cqi-pmi-ConfigurationIndex		N/A	N/A	N/A	4
	ri-ConfigIndex		N/A	N/A	N/A	1
CSI process for PDSCH scheduling			CSI process 0		CSI process 0
Cell ID			0	6	0	6
Quasi-co-located CSI-RS			CSI-RS 0	CSI-RS 1	CSI-RS 0	CSI-RS 1
Quasi-co-located CRS			Same Cell ID as Cell 1	Same Cell ID as Cell 2	Same Cell ID as Cell 1	Same Cell ID as Cell 2
PMI for subframe 2, 3, 4, 7, 8 and 9			010000 for fixed RI = 2 010011 for UE reported RI	100000	000011 for fixed RI = 1 010011 for UE reported RI	N/A
PMI for subframe 1 and 6			100000	100000	100000	N/A
Max number of HARQ transmissions			1	N/A	1	N/A
Note 1: If the UE reports in an available uplink reporting instance at subframe SF#n based on CQI estimation at a downlink SF not later than SF#(n-4), this reported wideband CQI cannot be applied at the eNB downlink before SF#(n+4) Note 2: 3 symbols allocated to PDCCH Note 3: Reference measurement channel RC.13 FDD according to Table A.4-1. PDSCH transmission is scheduled on subframe 2, 3, 4, 7, 8 and 9 from TP1. Note 4: TM10 OCNG as specified in A.5.1.8 is transmitted on subframe 1 and 6 from TP1. Note 5: TM10 OCNG as specified in A.5.1.8 is transmitted on subframe 1, 2, 3, 4, 6, 7, 8 and 9 from TP2 for Test 1; TP2 is blanked for Test 2. Note 6: To avoid collisions between CQI/PMI reports and HARQ-ACK it is necessary to report both on PUSCH instead of PUCCH. PDCCH DCI format 0 shall be transmitted in downlink SF#1 and #6 to allow periodic CQI/PMI to multiplex with the HARQ-ACK on PUSCH in uplink SF#0 and #5. Note 7: If UE supports multiple CSI processes, CSI process 0 is configured as ‘RI-reference CSI process’ for CSI process 1. Note 8: PDCCH DCI format 0 with a trigger for aperiodic CQI shall be transmitted in downlink SF#1 and #6 to allow aperiodic CQI/PMI/RI to be transmitted in uplink SF#0 and #5. Note 9: If UE supports one CSI process, CSI process 1 is not configured in Test 2.

Table 9.5.5.1-2: Minimum requirement (FDD)

	Test 1	Test 2
₁	N/A	1.0
₂	1.0	N/A
UE Category	≥2	≥2

9.5.5.2 TDD

The minimum performance requirement in Table 9.5.5.2-2 is defined as

a) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 1 shall be ≥ _;

b) The ratio of the throughput obtained when transmitting based on UE reported RI and that obtained when transmitting with fixed rank 2 shall be ≥ _;

c) For Test 2, the RI reported for CSI process 1 shall be the same as the most recent RI reported for CSI process 0 if UE is configured with multiple CSI processes.

For the parameters specified in Table 9.5.5.2-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.5.5.2-2.

Table 9.5.5.2-1: RI Test (TDD)

Parameter		Unit	Test 1		Test 2
Parameter		Unit	TP1	TP2	TP1	TP2
Bandwidth		MHz	10 MHz		10 MHz
Transmission mode			10	10	10	10
Downlink power allocation		dB	0		0
		dB	0		0
		dB	0	0	0	0
	σ	dB	0		0
Uplink downlink configuration			2	2	2	2
Special subframe configuration			4	4	4	4
SNR		dB	0	0	20	20
		dB[mW/15kHz]	-98	-98	-78	-78
		dB[mW/15kHz]	-98		-98
Propagation channel			EPA 5 Low	EPA 5 Low	EPA 5 Low	EPA 5 High
Antenna configuration			2×2	2×2	2×2	2×2
Beamforming Model			As specified in Section B.4.3		As specified in Section B.4.3
Timing offset between TPs		us	0		0
Frequency offset between TPs		Hz	0		0
Cell-specific reference signals			Antenna ports 0		Antenna ports 0
CSI-RS signal 0			Antenna ports 15,16	N/A	Antenna ports 15,16	N/A
CSI-RS 0 periodicity and subframe offset T_CSI-RS / ∆_CSI-RS			5/3	N/A	5/3	N/A
CSI-RS 0 configuration			0	N/A	0	N/A
CSI-RS signal 1			N/A	Antenna ports 15,16	N/A	Antenna ports 15,16
CSI-RS 1 periodicity and subframe offset T_CSI-RS / ∆_CSI-RS			N/A	5/3	N/A	5/3
CSI-RS 1 configuration			N/A	3	N/A	3
Zero-power CSI-RS 0 configuration I_CSI-RS / ZeroPowerCSI-RS bitmap			N/A	3 / 1000001000000000	N/A	3 / 1000001000000000
Zero-power CSI-RS 1 configuration I_CSI-RS / ZeroPowerCSI-RS bitmap			3 / 0011000000000000	N/A	3 / 0011000000000000	N/A
CSI-IM 0 periodicity and subframe offset T_CSI-RS / ∆_CSI-RS			5/3	N/A	5/3	N/A
CSI-IM 0 configuration			2	N/A	2	N/A
CSI-IM 1 periodicity and subframe offset T_CSI-RS / ∆_CSI-RS			N/A	5/3	N/A	5/3
CSI-IM 1 configuration			N/A	6	N/A	6
RI configuration			Fixed RI=2 and follow RI	N/A	Fixed RI=1 and follow RI	N/A
CSI process 0 (Note 6, 7)	CSI-RS		CSI-RS 0	N/A	CSI-RS 0	N/A
	CSI-IM		CSI-IM 0	N/A	CSI-IM 0	N/A
	Reporting mode		PUSCH 3-1	N/A	PUSCH 3-1	N/A
	Reporting Interval	ms	5	N/A	5	N/A
	CQI delay	ms	11	N/A	11	N/A
CSI process 1 (Note 6, 7, 8)	CSI-RS		N/A	N/A	N/A	CSI-RS 1
	CSI-IM		N/A	N/A	N/A	CSI-IM 1
	Reporting mode		N/A	N/A	N/A	PUSCH 3-1
	Reporting Interval	ms	N/A	N/A	N/A	5
	CQI delay	ms	N/A	N/A	N/A	11
CSI process for PDSCH scheduling			CSI process 0		CSI process 0
Cell ID			0	6	0	6
Quasi-co-located CSI-RS			CSI-RS 0	CSI-RS 1	CSI-RS 0	CSI-RS 1
Quasi-co-located CRS			Same Cell ID as Cell 1	Same Cell ID as Cell 2	Same Cell ID as Cell 1	Same Cell ID as Cell 2
PMI for subframe 4 and 9			010000 for fixed RI = 2 010011 for UE reported RI	100000	000011 for fixed RI = 1 010011 for UE reported RI	N/A
PMI for subframe 3 and 8			100000	100000	100000	N/A
Max number of HARQ transmissions			1	N/A	1	N/A
ACK/NACK feedback mode			Multiplexing	N/A	Multiplexing	N/A
Note 1: If the UE reports in an available uplink reporting instance at subframe SF#n based on CQI estimation at a downlink SF not later than SF#(n-4), this reported wideband CQI cannot be applied at the eNB downlink before SF#(n+4) Note 2: 3 symbols allocated to PDCCH Note 3: Reference measurement channel RC.13 TDD according to Table A.4-1. PDSCH transmission is scheduled on subframe 4 and 9 from TP1. Note 4: TM10 OCNG as specified in A.5.2.8 is transmitted on subframe 3 and 8 from TP1. Note 5: TM10 OCNG as specified in A.5.2.8 is transmitted on subframe 3, 4, 8 and 9 from TP2 for Test 1; TP2 is blanked for Test 2. Note 6: Reported wideband CQI and PMI are used and sub-band CQI is discarded. Note 7: If UE supports multiple CSI processes, CSI process 0 is configured as ‘RI-reference CSI process’ for CSI process 1. Note 8: If UE supports one CSI process, CSI process 1 is not configured in Test 2. Note 9: PDCCH DCI format 0 with a trigger for aperiodic CQI shall be transmitted in downlink SF#3and #8 to allow aperiodic CQI/PMI/RI to be transmitted in uplink SF#7 and #2.

Table 9.5.5.2-2: Minimum requirement (TDD)

	Test 1	Test 2
₁	N/A	1.0
₂	1.0	N/A
UE Category	≥2	≥2