10.1 UE procedure for determining physical uplink control channel assignment

36.2133GPPEvolved Universal Terrestrial Radio Access (E-UTRA)Physical layer proceduresRelease 17TS

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

If a non-BL/CE UE is configured for a single serving cell and is not configured for simultaneous PUSCH and PUCCH transmissions, then in subframe/slot/subslot uplink control information (UCI) shall be transmitted

– on subframe-PUCCH using format 1/1a/1b/3 or 2/2a/2b if the UE is not transmitting PUSCH

– on slot-PUCCH using format 1/1a/1b/3/4 if the UE is not transmitting PUSCH and the UE is configured with higher-layer parameter ul-STTI-Length=’slot’

– on subslot-PUCCH using format 1/1a/1b/4 if the UE is not transmitting PUSCH and the UE is configured with higher-layer parameter ul-STTI-Length=‘subslot‘

– on PUSCH if the UE is transmitting PUSCH in subframe/slot/subslot unless the PUSCH transmission corresponds to a Random Access Response Grant or a retransmission of the same transport block as part of the contention based random access procedure, in which case UCI is not transmitted

– if the UE is semi-persistently scheduled for subframe-PUSCH transmissions of a transport block spanning consecutive PUSCH transmissions (including subframe n) corresponding to an SPS configuration with higher layer parameter totalNumberPUSCH-SPS-UL-Repetitions, in which case periodic CSI is not transmitted

If the UE is configured for a single serving cell and simultaneous PUSCH and PUCCH transmission, then in subframe/slot UCI shall be transmitted

– on subframe-PUCCH using format 1/1a/1b/3 if the UCI consists only of HARQ-ACK and/or SR

– on slot-PUCCH using format 1/1a/1b/3/4 if the UCI consists only of HARQ-ACK and/or SR and the UE is configured with higher-layer parameter ul-STTI-Length=’slot’

– on subslot-PUCCH using format 1/1a/1b/4 if the UCI consists only of HARQ-ACK and/or SR and the UE is configured with higher-layer parameter ul-STTI-Length=‘subslot‘

– on PUCCH using format 2 if the UCI consists only of periodic CSI

– on PUCCH using format 2/2a/2b/3 if the UCI consists of periodic CSI and HARQ-ACK and if the UE is not transmitting PUSCH

– on PUCCH and PUSCH if the UCI consists of HARQ-ACK/HARQ-ACK+SR/positive SR and periodic/aperiodic CSI and if the UE is transmitting PUSCH in subframe/slot/subslot n, in which case the HARQ-ACK/HARQ-ACK+SR/positive SR is transmitted on subframe-PUCCH using format 1/1a/1b/3 or format 1/1a/1b/3/4 if the UE is configured with higher-layer parameter ul-STTI-Length=’slot’, or format 1/1a/1b/4 if the UE is configured with higher-layer parameter ul-STTI-Length=’subslot‘, and the periodic/aperiodic CSI transmitted on PUSCH unless the PUSCH transmission corresponds to a Random Access Response Grant or a retransmission of the same transport block as part of the contention based random access procedure, in which case periodic/aperiodic CSI is not transmitted

– on PUSCH if the UCI consists of HARQ-ACK/HARQ-ACK+SR/positive SR and if the UE is configured with higher-layer parameter ul-STTI-Length=‘subslot‘, and if the PUSCH transmission corresponds to semi-persistent scheduling of subslot-PUSCH (i.e. higher layer parameter sps-ConfigUL-sTTI-r15 is configured, see 3GPP TS 36.331 [9]) and with a configured periodicity of 1 subslot (i.e. semiPersistSchedIntervalUL-STTI-r15 set to sTTI1) and with DMRS-pattern field in the related DCI format equal to ’10’ (i.e., see Table 5.5.2.1.2-2 of 3GPP TS 36.211 [3]), in which case PUCCH is not transmitted

If the UE is configured with more than one serving cell and is not configured for simultaneous PUSCH and PUCCH transmission, then in subframe/slot/subslot UCI shall be transmitted

– on subframe-PUCCH using format 1/1a/1b/3/4/5 or 2/2a/2b if the UE is not transmitting PUSCH

– on slot-PUCCH using format 1/1a/1b/3/4 if the UE is not transmitting PUSCH

– on subslot-PUCCH using format 1/1a/1b/4 if the UE is not transmitting PUSCH

– on PUSCH of the serving cell given in Clause 7.2.1 if the UCI consists of aperiodic CSI or aperiodic CSI and HARQ-ACK

– on primary cell PUSCH if the UCI consists of periodic CSI and/or HARQ-ACK and if the UE is transmitting on the primary cell PUSCH in subframe unless the primary cell PUSCH transmission corresponds to a Random Access Response Grant or a retransmission of the same transport block as part of the contention based random access procedure, in which case UCI is not transmitted

– on primary cell subframe-PUSCH if the UCI consists of periodic CSI and/or HARQ-ACK and if the PUSCH in subframe cid:image002.png@01D3F938.ED598C70 is semi-persistently scheduled as part of consecutive PUSCH transmissions of a transport block associated with an SPS configuration with higher layer parameter totalNumberPUSCH-SPS-UL-Repetitions, in which case periodic CSI is not transmitted.

– on PUSCH of the secondary cell (other than an LAA SCell) with smallest SCellIndex if the UCI consists of periodic CSI and/or HARQ-ACK and if the UE is not transmitting PUSCH on primary cell but is transmitting PUSCH on at least one secondary cell (other than an LAA SCell)

If the UE is configured with more than one serving cell and simultaneous PUSCH and PUCCH transmission, then in subframe/slot/subslot UCI shall be transmitted

– on subframe-PUCCH using format 1/1a/1b/3 if the UCI consists only of HARQ-ACK and/or SR

– on slot-PUCCH using format 1/1a/1b/3/4 if the UCI consists only of HARQ-ACK and/or SR

– on subslot-PUCCH using format 1/1a/1b/4 if the UCI consists only of HARQ-ACK and/or SR

– on subframe-PUCCH using format 4/5 if the UCI consists only of HARQ-ACK and/or SR and/or periodic CSI

– on PUCCH using format 2 if the UCI consists only of periodic CSI corresponding to one serving cell

– as described in Clause 10.1.1, if the UCI consists of periodic CSI and HARQ-ACK and if the UE is not transmitting on PUSCH

– on PUCCH and primary cell PUSCH if the UCI consists of HARQ-ACK and periodic CSI and the UE is transmitting PUSCH on the primary cell, in which case the HARQ-ACK is transmitted on PUCCH using format 1a/1b/3 and the periodic CSI is transmitted on PUSCH unless the primary cell PUSCH transmission corresponds to a Random Access Response Grant or a retransmission of the same transport block as part of the contention based random access procedure, in which case periodic CSI is not transmitted

– on PUCCH and PUSCH of the secondary cell (other than a LAA SCell) with the smallest SCellIndex if the UCI consists of HARQ-ACK and periodic CSI and if the UE is not transmitting PUSCH on primary cell but is transmitting PUSCH on at least one secondary cell, in which case, the HARQ-ACK is transmitted on subframe-PUCCH using format 1a/1b/3 and the periodic CSI is transmitted on PUSCH

– on PUCCH and PUSCH if the UCI consists of HARQ-ACK/HARQ-ACK+SR/positive SR and aperiodic CSI in which case the HARQ-ACK/HARQ-ACK+SR/positive SR is transmitted on subframe/slot-PUCCH using format 1/1a/1b/3 or on slot-PUCCH using format 1/1a/1b/3/4 or on subslot-PUCCH using format 1/1a/1b/4 and the aperiodic CSI is transmitted on PUSCH of the serving cell given in Clause 7.2.1

For a BL/CE UE, uplink control information (UCI) shall be transmitted in subframe

– on PUCCH using PUCCH formats 1, 1a, 2, 2a for FDD and a UE configured or assumed in CEModeA if the UE is not transmitting PUSCH in subframe , or if the UE is transmitting PUSCH in subframe and the number of PUCCH repetitions defined for the UCI in [3] is larger than 1, or if the UE is transmitting PUSCH in subframe and the indicated PUSCH repetition number in DCI format 6-0A/6-0B is larger than 1, or if the UE is transmitting PUSCH in subframe and the PUSCH resource assignment is using uplink resource allocation type 5

– on PUCCH using PUCCH formats 1, 1a, 1b, 2, 2a, 2b for TDD and a UE configured or assumed in CEModeA if the UE is not transmitting PUSCH in subframe, or if the UE is transmitting PUSCH in subframe and the number of PUCCH repetitions defined for the UCI in [3] is larger than 1, or if the UE is transmitting PUSCH in subframe and the indicated PUSCH repetition number in DCI format 6-0A/6-0B is larger than 1, or if the UE is transmitting PUSCH in subframe and the PUSCH resource assignment is using uplink resource allocation type 5

– on PUCCH formats 1, 1a for a UE configured or assumed in CEModeB

– on PUSCH if the UE is transmitting PUSCH in subframe and the number of PUCCH repetitions defined for the UCI in [3] is equal to 1, the indicated PUSCH repetition number in DCI format 6-0A/6-0B is equal to 1 and the PUSCH resource assignment is not using uplink resource allocation type 5 unless the PUSCH transmission corresponds to a Random Access Response Grant or a retransmission of the same transport block as part of the contention based random access procedure, in which case UCI is not transmitted.

If the UE is configured with more than one serving cell, then reporting prioritization and collision handling of periodic CSI reports of a certain PUCCH reporting type is given in Clause 7.2.2.

If a UE is not configured with simultaneous transmission of PUSCH and PUCCH, and if a subframe-PUSCH and at least two slot/subslot-PUCCHs or two slot/subslot-PUSCHs are collided within the same subframe on a given carrier, prioritization and collision handling between PUSCH and PUCCH spanning the same number of symbols (given in this clause) is first applied, followed by prioritization and collision handling of PUSCH and PUCCH spanning different number of symbols (given in this clause).

A UE transmits PUCCH only on the primary cell.

A UE is configured by higher layers to transmit PUCCH on one antenna port or two antenna ports . PUCCH format 4 and PUCCH format 5 can only be transmitted on one antenna port .

For a serving cell, and a UE configured with higher layer parameter shortTTI, in case of a collision between a subframe-PUCCH and slot/subslot-PUCCH in a subframe, the subframe-PUCCH transmission is dropped. If the slot/subslot-PUCCH coincides with a SR transmission instance, SR that was prepared as part of the subframe-PUCCH transmission is transmitted on the slot/subslot-PUCCH in case SR is not already prepared for the slot/subslot-PUCCH. Otherwise, the SR that was prepared as part of the subframe-PUCCH transmission is not transmitted on that slot/subslot-PUCCH. The UE shall transmit the HARQ-ACK response associated with the subframe-PUCCH using the slot/subslot-PUCCH (as defined in Clause 7.3). The UE shall apply spatial HARQ-ACK bundling on the HARQ-ACK response associated with the subframe-PUCCH

– in case subslot-PUCCH is used

– in case slot-PUCCH is used if bundling is configured for the cell (see spatialBundlingPUCCH in 3GPP TS 36.331 [11]).

For a serving cell, and a UE configured with higher layer parameter shortTTI, the UE is not expected to transmit subframe-PUCCH in a given subframe if the UE detects PDCCH/SPDCCH with uplink DCI format 7-0A/7-0B corresponding to a slot/subslot-PUSCH transmission in the same subframe. In this case, the UE shall transmit the HARQ-ACK response associated with the subframe-PUCCH on slot/subslot-PUSCH (as defined in Clause 7.3). The UE shall apply spatial HARQ-ACK bundling on the HARQ-ACK response associated with the subframe-PUCCH

– in case subslot-PUSCH is used

– in case slot-PUSCH is used if bundling is configured for the cell (see spatialBundlingPUCCH in 3GPP TS 36.331 [11]).

For a UE configured with more than one serving cell and not capable of simultaneous transmission of different uplink signal durations to different serving cells as indicated by UE capability simultaneousTx-differentTx-duration, in case of a collision between

– a slot-PUCCH of first serving cell and a subframe-PUSCH/PUCCH/SRS/PRACH of second serving cell or

– a subslot-PUCCH of first serving cell and a subframe/slot-PUSCH/PUCCH/SRS/PRACH of second serving cell

the uplink transmission(s) of the second serving cell are dropped.

For a UE configured with higher layer parameter ul-STTI-Length, and not configured with simultaneous PUSCH and PUCCH transmissions, the UE is not expected to transmit PUCCH and demodulation reference signal for PUSCH in a slot/subslot in which the UE does not transmit PUSCH.

For a serving cell, and a UE configured with higher layer parameter ul-STTI-Length, if the UE is configured with simultaneous PUSCH and PUCCH transmission, in case subframe-PUSCH and/or subframe-PUCCH collide(s) with slot/subslot-PUCCH, the UE is not expected to transmit either of subframe-PUSCH or subframe-PUCCH. The UE shall transmit the HARQ-ACK response corresponding to the subframe-PUSCH/PUCCH using the slot/subslot-PUCCH (as defined in Clause 7.3).

For a serving cell, and a UE configured with higher layer parameter ul-STTI-Length, if the UE is configured with simultaneous PUSCH and PUCCH transmission, in case subframe-PUSCH and/or subframe-PUCCH collide(s) with slot/subslot-PUSCH and slot/subslot-PUCCH, the UE is not expected to transmit either of subframe-PUSCH or subframe-PUCCH. The UE shall transmit the HARQ-ACK response corresponding to the subframe-PUSCH/PUCCH using the slot/subslot-PUCCH (as defined in Clause 7.3).

For FDD or FDD-TDD and primary cell frame structure 1, with two configured serving cells and PUCCH format 1b with channel selection or for FDD with one or more configured serving cells, and the higher layer parameters dl-STTI-Length=’subslot’ and ul-STTI-Length=’slot’, and PUCCH format 3 and without PUCCH format 4 configured, or for FDD with two or more configured serving cells and PUCCH format 3 and without PUCCH format 4/5 configured, where is the number of configured cells and is the number of transport blocks or the SPS release PDCCH/EPDCCH/SPDCCH, if any, received in serving cell , and in

– subframe

– slot

– any of the subslots given in Table 10.1-1 according to the value of when the slot-PUCCH is transmitted in subframe m.

Table 10.1-1: Set of subslot numbers for calculation

	Slot number	Subslot numbers
4		{0,1,2} in subframe m-1
4		{3,4,5} in subframe m-1
6		{0} in subframe m-1 {4,5} in subframe m-2
6		{1,2,3} in subframe m-1
8		{2,3,4} in subframe m-2
8		{0,1} in subframe m-1 {5} in subframe m-2

For TDD and a UE not configured with the parameter EIMTA-MainConfigServCell-r12 for any serving cell, if a UE is configured with one serving cell, or the UE is configured with more than one serving cell and the UL/DL configurations of all serving cells are the same, then

– For TDD with two configured serving cells and PUCCH format 1b with channel selection and a subframe n with M = 1, or for TDD UL/DL configuration 0 and PUCCH format 3, , where is the number of transport blocks or the SPS release PDCCH/EPDCCH/SPDCCH, if any, received in subframe/slot in serving cell , where , and M is the number of elements in K.

– For TDD UL/DL configurations 1-6 and PUCCH format 3 and without PUCCH format 4/5 configured, or for TDD with two configured serving cells and PUCCH format 1b with channel selection and M = 2, where is the in serving cell , is the in serving cell , and is the number of HARQ-ACK bits corresponding to the configured DL transmission mode on serving cell . In case spatial HARQ-ACK bundling is applied, and is the number of PDCCH/EPDCCH or PDSCH without a corresponding PDCCH/EPDCCH received in subframe and serving cell, where and M is the number of elements in K. In case spatial HARQ-ACK bundling is not applied, is the number of transport blocks received or the SPS release PDCCH/EPDCCH received in subframe in serving cell , where and M is the number of elements in K. =0 if no transport block or SPS release PDCCH/EPDCCH is detected in subframe(s) in serving cell , where .

– For TDD with two configured serving cells and PUCCH format 1b with channel selection and M = 3 or 4, if UE receives PDSCH or PDCCH/EPDCCH indicating downlink SPS release only on one serving cell within subframes ,where ;otherwise .

For TDD if the UE is configured with more than one serving cell and if at least two serving cells have different UL/DL configurations, or if the UE is configured with the parameter EIMTA-MainConfigServCell-r12 for at least one serving cell, or for FDD-TDD and primary cell frame structure 2, then

– For PUCCH format 3 without PUCCH format 4/5 configured, or for two configured serving cells and PUCCH format 1b with channel selection and (defined in Clause 10.1.3.2.1 for TDD and Clause 10.1.3A for FDD-TDD), where is the in serving cell , is the in serving cell , and is the number of HARQ-ACK bits corresponding to the configured DL transmission mode on serving cell . In case spatial HARQ-ACK bundling is applied, and is the number of PDCCH/EPDCCH/SPDCCH or PDSCH without a corresponding PDCCH/EPDCCH/SPDCCH received in subframe/slot/subslot and serving cell, where and (defined in Clause 7.3.2.2 for TDD and Clause 7.3.4 for FDD-TDD). In case spatial HARQ-ACK bundling is not applied, is the number of transport blocks received or the SPS release PDCCH/EPDCCH received in subframe/slot/subslot in serving cell , where and (defined in Clause 7.3.2.2 for TDD and Clause 7.3.4 for FDD-TDD). =0 if no transport block or SPS release PDCCH/EPDCCH/SPDCCH is detected in subframe(s) in serving cell , where and (defined in Clause 7.3.2.2 for TDD and Clause 7.3.4 for FDD-TDD). For a serving cell , set if the DL-reference UL/DL configuration (defined in Clause 10.2) for serving cell is TDD UL/DL configuration 0,

– For two configured serving cells and PUCCH format 1b with channel selection and M = 3 or 4 (defined in Clause 10.1.3.2.1 for TDD and Clause 10.1.3A for FDD-TDD), if UE receives PDSCH or PDCCH/EPDCCH indicating downlink SPS release only on one serving cell within subframes ,where and (defined in Clause 7.3.2.2 for TDD and Clause 7.3.4 for FDD-TDD); otherwise .

Throughout the following Clauses, subframes are numbered in monotonically increasing order; if the last subframe of a radio frame is denoted as , the first subframe of the next radio frame is denoted as .

Throughout the following Clauses for a non-BL/CE UE, if the UE is configured with higher layer parameter shortProcessingTime and the corresponding PDCCH with CRC scrambled by C-RNTI is in the UE-specific search space then for FDD or FDD-TDD primary cell frame structure type 1 is given by n1PUCCH-AN-shortPT else if the UE is configured with higher layer parameter n1PUCCH-AN-r11 then is given by n1PUCCH-AN-r11, else is given by higher layer parameter n1PUCCH-AN .