9.9.4 Reporting of Rank Indicator (RI)

36.521-13GPPEvolved Universal Terrestrial Radio Access (E-UTRA)Part 1: Conformance testingRadio transmission and receptionRelease 17TSUser Equipment (UE) conformance specification

The purpose of this test for 4Rx UEs 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 9.9.4.1, transmission mode 9 is used with the specified CodebookSubSetRestriction in section 9.9.4.2.

For the fixed rank 1 transmission with 2 Tx ports the RI and PMI reporting is restricted to two single-layer precoders, For fixed rank 2 transmission with 2 Tx ports the RI and PMI reporting is restricted to one two-layer precoder. For the follow RI transmission for rank 1 and 2 and 2 Tx ports the RI and PMI reporting is restricted to select the union of these precoders.

For the fixed rank 2 transmission with 4 Tx ports the RI and PMI reporting is restricted to any 2 Layer precoder, for the follow RI transmission the RI and PMI reporting is not restricted at all.

Channels with low and high correlation are used to ensure that RI reporting reflects the channel condition.

9.9.4.1 RI Reporting– PUCCH 1-1 4×4

9.9.4.1.1 FDD RI Reporting– PUCCH 1-1 4×4
9.9.4.1.1.1 Test purpose

To verify that the reported rank indicator accurately represents the channel rank.

9.9.4.1.1.2 Test applicability

This test applies to E-UTRA FDD release 10 and forward UEs of Category 2 and onwards that support 4 Rx antenna ports in any FDD bands.

9.9.4.1.1.3 Minimum conformance requirements

The minimum performance requirement in Table 9.9.4.1.1.3-2 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 9.9.4.1.1.3-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.9.4.1.1.3-2.

Table 9.9.4.1.1.3-1: RI Test (FDD)

Parameter

Unit

Test 1

Test 2

Test 3

Test 4

Bandwidth

MHz

10

PDSCH transmission mode

4

Downlink power allocation

dB

-3

-6

dB

-3

-6

σ

dB

0

3

Propagation condition and antenna configuration

2 x 4 EPA5

4 x 4 EPA5

Cell-specific reference signals

Antenna ports 0, 1

Antenna ports 0-3

CodeBookSubsetRestriction bitmap

000011 for fixed RI = 1

010000 for fixed RI = 2

010011 for UE reported RI

Note 6

Antenna correlation

Low

Low

High

Low

RI configuration

Fixed RI=2 and follow RI

Fixed RI=1 and follow RI

Fixed RI=1 and follow RI

Fixed RI=2 and follow RI

SNR

dB

-4

16

16

25

dB[mW/15kHz]

-98

-98

-98

-98

dB[mW/15kHz]

-102

-82

-82

-73

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

Npd= 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 / RC.21 FDD respectively for Test 1-3 / 4 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.

Note 6: The following precoders are allowed in Test 4:
“0x0000 0000 FFFF 0000” for RI=2
“0xFFFF FFFF FFFF FFFF” for UE reported RI

Table 9.9.4.1.1.3-2: Minimum requirement (FDD)

Test 1

Test 2

Test 3

Test 4

1

N/A

1.05

0.9

N/A

2

1

N/A

N/A

1.1

UE Category

≥2

≥2

≥2

≥5

The normative reference for this requirement is TS 36.101 [2] clause 9.9.4.1.1.

9.9.4.1.1.4 Test description

9.9.4.1.1.4.1 Initial conditions

Initial conditions are a set of test configurations the UE needs to be tested in and the steps for the SS to take with the UE to reach the correct measurement state.

Configurations of PDSCH and PDCCH before measurement are specified in Annex C.2.

Test Environment: Normal as defined in TS 36.508 [7] clause 4.1.

Frequencies to be tested: Mid Range as defined in TS 36.508 [7] clause 4.3.1.1.

Channel Bandwidths to be tested: 10MHz, as defined in TS 36.508 [7] clause 4.3.1.1

1. Connect the SS, faders and AWGN noise source to the UE antenna connector (s) as shown in TS 36.508 [7] Annex A, Figure A.76 for test 1-3 and Figure A.74 for test 4 ..

2. The parameter settings for the cell are set up according to Table 9.9.4.1.1.3-1.

3. Downlink signals are initially set up according to Annex C.1 and Annex C.3.2, and uplink signals according to Annex H.1 and H.3.2.

4. Propagation conditions are set according to Annex B.0.

5. Ensure the UE is in State 3A-RF according to TS 36.508 [7] clause 5.2A.2. Message contents are defined in clause 9.9.4.1.1.4.3.

9.9.4.1.1.4.2 Test procedure

1. Set the parameters of bandwidth, reference Channel, the propagation condition, antenna configuration, antenna correlation, CodeBookSubsetRestriction for fixed Rank and the SNR according to Table 9.9.4.1.1.3-1 as appropriate.

2. The SS shall send PDSCH via PDCCH DCI format 2 for C_RNTI to transmit the DL RMC according to the UE reported CQI, PMI and RI. In case of CQI reports for two codewords (codeword #0 and #1), the CQI offset level for codeword #1 is selected from {0,1,2,3,-4,-3,-2,-1}. The SS sends downlink MAC padding bits on the DL RMC. The SS sends uplink scheduling information via PDCCH DCI format 0 with CQI request bit set to 0 to schedule UL RMC in subframe #3 and #8 (Table A.4.1-1). Measure theaccording to annex G.5.3.

3. Propagation conditions are set according to Annex B.1.

4. The SS sends uplink scheduling information via PDCCH DCI format 0 to schedule UL RMC in every subframe (Table A.4.1-1).

5. The SS shall transmit an RRC Connection Reconfiguration message to set codebookSubsetRestriction as for UE reported RI according to Table 9.9.4.1.1.3-1.

6. The UE shall transmit RRC Connection Reconfiguration Complete message.

7. Propagation conditions are set according to Table 9.9.4.1.1.3-1.

8. The SS shall send PDSCH via PDCCH DCI format 2 for C_RNTI to transmit the DL RMC according to the UE reported CQI, PMI and RI. In case of CQI reports for two codewords (codeword #0 and #1), the CQI offset level for codeword #1 is selected from {0,1,2,3,-4,-3,-2,-1}. The SS sends downlink MAC padding bits on the DL RMC. The SS sends uplink scheduling information via PDCCH DCI format 0 with CQI request bit set to 0 to schedule UL RMC in subframe #3 and #8 (Table A.4.1-1). Measure according to Annex G.5.3 If the ratio ( / ) satisfies the requirement in Table 9.9.4.1.1.5-1, then pass the UE for this test and go to step 9. Otherwise, fail the UE.

9. If all tests have not been done, then repeat the same procedure (steps 1 to 8) with test conditions according to the Table 9.9.4.1.1.3-2 for the other Tests as appropriate. Otherwise pass the UE.

9.9.4.1.1.4.3 Message contents

Message contents are according to TS 36.508 [7] clause 4.6 with the following exceptions:

Table 9.9.4.1.1.4.3-1: PhysicalConfigDedicated-DEFAULT

Derivation Path: 36.508 clause 4.6.3

Information Element

Value/remark

Comment

Condition

RadioResourceConfigDedicated-SRB2-DRB(n, m) ::= SEQUENCE {

physicalConfigDedicated

PhysicalConfigDedicated- DEFAULT using condition RBC

}

Table 9.9.4.1.1.4.3-2: PhysicalConfigDedicated-DEFAULT

Derivation Path: 36.508 clause 5.5.1.2

Information Element

Value/remark

Comment

Condition

PhysicalConfigDedicated-DEFAULT ::= SEQUENCE {

cqi-ReportConfig

CQI-ReportConfig-DEFAULT

RBC

antennaInfo CHOICE {

antennaInfoDedicated ::= SEQUENCE {

transmissionMode

tm4

}

codebookSubsetRestriction CHOICE {

N4TxAntenna-tm4

According to each test

ue-TransmitAntennaSelection CHOICE {

release

NULL

}

}

}

Table 9.9.4.1.1.4.3-3: PDSCH-ConfigDedicated-DEFAULT for Test4

Derivation Path: 36.331 clause 6.3.2

Information Element

Value/remark

Comment

Condition

PDSCH-ConfigDedicated-DEFAULT ::= SEQUENCE {

p-a

dB-6

}

Table 9.9.4.1.1.4.3-4: CQI-ReportConfig-DEFAULT

Derivation Path: 36.508 clause 4.6.3

Information Element

Value/remark

Comment

Condition

CQI-ReportConfig-DEFAULT ::= SEQUENCE {

cqi-ReportModeAperiodic

Not present

nomPDSCH-RS-EPRE-Offset

0

cqi-ReportPeriodic CHOICE {

setup SEQUENCE {

cqi-PUCCH-ResourceIndex

0

cqi-pmi-ConfigIndex

6

(see Table 7.2.2-1A in TS 36.213)

cqi-FormatIndicatorPeriodic CHOICE {

widebandCQI

NULL

}

ri-ConfigIndex

1

(see Table 7.2.2-1B in TS 36.213)

simultaneousAckNackAndCQI

FALSE

}

}

}

Table 9.9.4.1.1.4.3-5: RRCConnectionReconfiguration for Test 4

Derivation Path: 36.331 clause 6.2.2

Information Element

Value/remark

Comment

Condition

rrcConnectionReconfiguration-r8 SEQUENCE {

nonCriticalExtension SEQUENCE {

lateNonCriticalExtension SEQUENCE {

Not present

lateNonCriticalExtension

Not present

nonCriticalExtension SEQUENCE {

maxLayersMIMO-r10

fourLayers

}

}

}

}

9.9.4.1.1.5 Test requirement

Table 9.9.4.1.1.5-1: Test requirement (FDD)

Test 1

Test 2

Test 3

Test 4

1

N/A

1.04

0.89

N/A

2

0.99

N/A

N/A

1.09

UE Category

≥2

≥2

≥2

≥5

9.9.4.1.2 TDD RI Reporting– PUSCH 3-1 4×4
9.9.4.1.2.1 Test purpose

To verify that the reported rank indicator accurately represents the channel rank.

9.9.4.1.2.2 Test applicability

This test applies to E-UTRA TDD release 10 and forward UEs of Category 2 and onwards that support 4 Rx antenna ports in any TDD bands.

9.9.4.1.2.3 Minimum conformance requirements

The minimum performance requirement in Table 9.9.4.1.1.3-2 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 9.9.4.1.2-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.9.4.1.2-2.

Table 9.9.4.1.2.3-1: RI Test (TDD)

Parameter

Unit

Test 1

Test 2

Test 3

Test 4

Bandwidth

MHz

10

PDSCH transmission mode

4

Downlink power allocation

dB

-3

-6

dB

-3

-6

σ

dB

0

3

Uplink downlink configuration

2

Special subframe configuration

4

Propagation condition and antenna configuration

2 x 4 EPA5

4 x 4 EPA5

Cell-specific reference signals

Antenna ports 0, 1

Antenna ports 0-3

CodeBookSubsetRestriction bitmap

000011 for fixed RI = 1

010000 for fixed RI = 2

010011 for UE reported RI

Note 4

Antenna correlation

Low

Low

High

Low

RI configuration

Fixed RI=2 and follow RI

Fixed RI= 1 and follow RI

Fixed RI=1 and follow RI

Fixed RI=2 and follow RI

SNR

dB

-4

16

16

25

dB[mW/15kHz]

-98

-98

-98

-98

dB[mW/15kHz]

-102

-82

-82

-73

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 / RC.21 TDD respectively for Test 1-3 / 4 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.

Note 4: The following precoders are allowed in Test 4:
“0x0000 0000 FFFF 0000” for RI=2
“0xFFFF FFFF FFFF FFFF” for UE reported RI

Table 9.9.4.1.2.3-2: Minimum requirement (TDD)

Test 1

Test 2

Test 3

Test 4

1

N/A

1.05

0.9

N/A

2

1

N/A

N/A

1.1

UE Category

≥2

≥2

≥2

≥5

The normative reference for this requirement is TS 36.101 [2] clause 9.9.4.1.2.

9.9.4.1.2.4 Test description

9.9.4.1.2.4.1 Initial conditions

Initial conditions are a set of test configurations the UE needs to be tested in and the steps for the SS to take with the UE to reach the correct measurement state.

Configurations of PDSCH and PDCCH before measurement are specified in Annex C.2.

Test Environment: Normal as defined in TS 36.508 [7] clause 4.1.

Frequencies to be tested: Mid Range as defined in TS 36.508 [7] clause 4.3.1.2.

Channel Bandwidths to be tested: 10MHz, as defined in TS 36.508 [7] clause 4.3.1.2

1. Connect the SS, faders and AWGN noise source to the UE antenna connector (s) as shown in TS 36.508 [7] Annex A, Figure A.76 for test 1-3 and Figure A.74 for test 4 .

2. The parameter settings for the cell are set up according to Table 9.9.4.1.2.3-1.

3. Downlink signals are initially set up according to Annex C.1 and Annex C.3.2, and uplink signals according to Annex H.1 and H.3.2.

4. Propagation conditions are set according to Annex B.0.

5. Ensure the UE is in State 3A-RF according to TS 36.508 [7] clause 5.2A.2. Message contents are defined in clause 9.9.4.1.2.4.3.

9.9.4.1.2.4.2 Test procedure

1. Set the parameters of bandwidth, reference Channel, the propagation condition, antenna configuration, antenna correlation, CodeBookSubsetRestriction for fixed Rank and the SNR according to Table 9.9.4.1.2.3-1 as appropriate.

2. The SS shall send PDSCH via PDCCH DCI format 2 for C_RNTI to transmit the DL RMC according to the UE reported CQI (wideband CQI), PMI and RI. The SS sends downlink MAC padding bits on the DL RMC. The SS schedules the UL transmission to carry the PUSCH CQI feedback via PDCCH DCI format 0 with CQI request bit set to 1 and I_MCS=29 and N_PRB allocated to be less or equal to 4. Measure theaccording to annex G.5.3

3. Propagation conditions are set according to Annex B.1.

4. The SS sends uplink scheduling information via PDCCH DCI format 0 with CQI request bit to 0 to schedule UL RMC in subframe#2 and #7 (Table A.4.1-2).

5. The SS shall transmit an RRC Connection Reconfiguration message to set codebookSubsetRestriction as for UE reported RI according to Table 9.9.4.1.2.3-1.

6. The UE shall transmit RRC Connection Reconfiguration Complete message.

7. Propagation conditions are set according to Table 9.9.4.1.2.3-1.

8. The SS shall send PDSCH via PDCCH DCI format 2 for C_RNTI to transmit the DL RMC according to the UE reported CQI (wideband CQI), PMI and RI. The SS sends downlink MAC padding bits on the DL RMC. The SS schedules the UL transmission to carry the PUSCH CQI feedback via PDCCH DCI format 0 with CQI request bit set to 1 and I_MCS=29 and N_PRB allocated to be less or equal to 4. Measure according to Annex G.5.3
If the ratio ( / ) satisfies the requirement in Table 9.9.4.1.2.5-1, then pass the UE for this test and go to step 9. Otherwise, fail the UE.

9. If all tests have not been done, then repeat the same procedure (steps 1 to 8) with test conditions according to the Table 9.9.4.1.2.3-2 for the other Tests as appropriate. Otherwise pass the UE.

9.9.4.1.2.4.3 Message contents

Message contents are according to TS 36.508 [7] clause 4.6 with the following exceptions:

Table 9.9.4.1.2.4.3-1: PhysicalConfigDedicated-DEFAULT

Derivation Path: 36.508 clause 5.5.1.2

Information Element

Value/remark

Comment

Condition

PhysicalConfigDedicated-DEFAULT ::= SEQUENCE {

cqi-ReportConfig

CQI-ReportConfig-DEFAULT

antennaInfo CHOICE {

antennaInfoDedicated ::= SEQUENCE {

transmissionMode

tm4

}

codebookSubsetRestriction CHOICE {

N4TxAntenna-tm4

According to each test

ue-TransmitAntennaSelection CHOICE {

release

NULL

}

}

}

Table 9.9.4.1.2.4.3-2: PDSCH-ConfigDedicated-DEFAULT for Test 4

Derivation Path: 36.331 clause 6.3.2

Information Element

Value/remark

Comment

Condition

PDSCH-ConfigDedicated-DEFAULT ::= SEQUENCE {

p-a

dB-6

}

Table 9.9.4.1.2.4.3-3: CQI-ReportConfig-DEFAULT

Derivation Path: 36.508 clause 4.6.3

Information Element

Value/remark

Comment

Condition

CQI-ReportConfig-DEFAULT ::= SEQUENCE {

cqi-ReportModeAperiodic

rm31

nomPDSCH-RS-EPRE-Offset

0

cqi-ReportPeriodic CHOICE {

Not Present

}

}

Table 9.9.4.1.2.4.3-4: PUCCH-ConfigDedicated-DEFAULT

Derivation Path: 36.331 clause 6.3.2

Information Element

Value/remark

Comment

Condition

PUCCH-ConfigDedicated-DEFAULT ::= SEQUENCE {

ackNackRepetition CHOICE {

release

NULL

}

tddAckNackFeedbackMode

Bundling

Multiplexing is selected as default to align with RAN4’s assumptions in RF tests

TDD

}

Table 9.9.4.1.2.4.3-5: RRCConnectionReconfiguration for Test 4

Derivation Path: 36.331 clause 6.2.2

Information Element

Value/remark

Comment

Condition

rrcConnectionReconfiguration-r8 SEQUENCE {

nonCriticalExtension SEQUENCE {

lateNonCriticalExtension SEQUENCE {

Not present

lateNonCriticalExtension

Not present

nonCriticalExtension SEQUENCE {

maxLayersMIMO-r10

fourLayers

}

}

}

}

9.9.4.1.2.5 Test requirement

Table 9.9.4.1.2.5-1: Test requirement (TDD)

Test 1

Test 2

Test 3

Test 4

1

N/A

1.04

0.89

N/A

2

0.99

N/A

N/A

1.09

UE Category

≥2

≥2

≥2

≥5

9.9.4.2 RI Reporting- PUCCH 1-1 for eDL-MIMO 4×4

9.9.4.2.1 FDD RI Reporting- PUCCH 1-1 for eDL-MIMO 4×4
9.9.4.2.1.1 Test purpose

To verify that the reported rank indicator accurately represents the channel rank.

9.9.4.2.1.2 Test applicability

This test applies to all types of E-UTRA FDD release 10 to release 14 UEs of Category 2 and onwards that support 4 Rx antenna ports in any FDD bands. Applicability requires support for FGI bit 103.

This test applies to all types of E-UTRA FDD release 15 and forward UE of Categories 2 to 10 (except for Category 8), and UE DL Categories up to 10 or DL Category 13 that support 4 Rx antenna ports in any FDD RF band. Applicability requires support for FGI bits 103.

This test applies to all types of E-UTRA FDD release 15 and forward UE of Category 8, Categories 11 and higher, or UE DL Categories 11, 12, 14 and higher that support 4 Rx antenna ports in any FDD RF band.

9.9.4.2.1.3 Minimum conformance requirements

The minimum performance requirement in Table 9.9.4.2.1.3-2 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 9.9.4.2.1.3-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.9.4.2.1.3-2.

Table 9.9.4.2.1.3-1: RI Test (FDD)

Parameter

Unit

Test 1

Test 2

Test 3

Test 4

Bandwidth

MHz

10

PDSCH transmission mode

9

Downlink power allocation

dB

0

dB

0

Pc

dB

0

-3

σ

dB

0

-3

Propagation condition and antenna configuration

2 x 4 EPA5

4 x 4 EPA5

Cell-specific reference signals

Antenna ports 0

Beamforming Model

As specified in Section B.4.3

CSI reference signals

Antenna ports 15, 16

Antenna ports 15-18

CSI-RS periodicity and subframe offset

TCSI-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

Note 5

Antenna correlation

Low

Low

High

Low

RI configuration

Fixed RI=2 and follow RI

Fixed RI=1 and follow RI

Fixed RI=1 and follow RI

Fixed RI=2 and follow RI

SNR

dB

-4

16

16

25

dB[mW/15kHz]

-98

-98

-98

-98

dB[mW/15kHz]

-102

-82

-82

-73

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

Npd = 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 / RC.9B FDD respectively for Test 1-3 / 4 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.

Note 5: The following precoders are allowed in Test 4:
“0x0000 0000 FFFF 0000” for RI=2
“0xFFFF FFFF FFFF FFFF” for UE reported RI

Table 9.9.4.2.1.3-2: Minimum requirement (FDD)

Test 1

Test 2

Test 3

Test 4

1

N/A

1.05

0.9

N/A

2

1

N/A

N/A

1.1

UE Category

≥2

≥2

≥2

≥5

The normative reference for this requirement is TS 36.101 [2] clause 9.9.4.2.1.

9.9.4.2.1.4 Test description

9.9.4.2.1.4.1 Initial conditions

Initial conditions are a set of test configurations the UE needs to be tested in and the steps for the SS to take with the UE to reach the correct measurement state.

Configurations of PDSCH and PDCCH before measurement are specified in Annex C.2.

Test Environment: Normal as defined in TS 36.508 [7] clause 4.1.

Frequencies to be tested: Mid Range as defined in TS 36.508 [7] clause 4.3.1.1.

Channel Bandwidths to be tested: 10MHz, as defined in TS 36.508 [7] clause 4.3.1.1

1. Connect the SS, faders and AWGN noise source to the UE antenna connector (s) as shown in TS 36.508 [7] Annex A, Figure A.76 for test 1-3 and Figure A.74 for test 4 .

2. The parameter settings for the cell are set up according to Table 9.9.4.2.1.3-1.

3. Downlink signals are initially set up according to Annex C.1 and Annex C.3.2, and uplink signals according to Annex H.1 and H.3.2.

4. Propagation conditions are set according to Annex B.0.

5. Ensure the UE is in State 3A-RF according to TS 36.508 [7] clause 5.2A.2. Message contents are defined in clause 9.9.4.2.1.4.3.

9.9.4.2.1.4.2 Test procedure

1. Set the parameters of bandwidth, reference channel, the propagation condition, antenna configuration, antenna correlation, CodeBookSubsetRestriction for fixed Rank and the SNR according to Table 9.9.4.2.1.3-1 as appropriate.

2. The SS shall send PDSCH via PDCCH DCI format 2C for C_RNTI to transmit the DL RMC according to the UE reported CQI, PMI and RI. In case of CQI reports for two codewords (codeword #0 and #1), the CQI offset level for codeword #1 is selected from {0,1,2,3,-4,-3,-2,-1}. The SS sends downlink MAC padding bits on the DL RMC. The SS sends uplink scheduling information via PDCCH DCI format 0 with CQI request bit set to 0 to schedule UL RMC in subframe #0 and #5 (Table A.4.1-1). Measure theaccording to annex G.5.3.

3. Propagation conditions are set according to Annex B.1.

4. The SS sends uplink scheduling information via PDCCH DCI format 0 to schedule UL RMC in every subframe (Table A.4.1-1).

5. The SS shall transmit an RRC Connection Reconfiguration message to set codebookSubsetRestriction as for UE reported RI according to Table 9.9.4.2.1.3-1.

6. The UE shall transmit RRC Connection Reconfiguration Complete message.

7. Propagation conditions are set according to Table 9.9.4.2.1.3-1.

8. The SS shall send PDSCH via PDCCH DCI format 2C for C_RNTI to transmit the DL RMC according to the UE reported CQI, PMI and RI. In case of CQI reports for two codewords (codeword #0 and #1), the CQI offset level for codeword #1 is selected from {0,1,2,3,-4,-3,-2,-1}. The SS sends downlink MAC padding bits on the DL RMC. The SS sends uplink scheduling information via PDCCH DCI format 0 with CQI request bit set to 0 to schedule UL RMC in subframe #0 and #5 (Table A.4.1-1). Measure according to Annex G.5.3
If the ratio ( / ) satisfies the requirement in Table 9.9.4.2.1.5-1, then pass the UE for this test and go to step 9. Otherwise, fail the UE.

9. If all tests have not been done, then repeat the same procedure (steps 1 to 8) with test conditions according to the Table 9.9.4.2.1.3-2 for the other Tests as appropriate. Otherwise pass the UE.

9.9.4.2.1.4.3 Message contents

Message contents are according to TS 36.508 [7] clause 4.6 with the following exceptions:

Table 9.9.4.2.1.4.3-1: PhysicalConfigDedicated-DEFAULT

Derivation Path: 36.508 clause 4.6.3

Information Element

Value/remark

Comment

Condition

PhysicalConfigDedicated-DEFAULT::= SEQUENCE {

antennaInfo

Not present

antennaInfo-r10 CHOICE{

RBC

explicitValue-r10

AntennaInfoDedicated-r10

}

cqi-ReportConfig-r10

CQI-ReportConfig-r10- DEFAULT

RBC

csi-RS-Config-r10

CSI-RS-Config-r10

RBC

}

Table 9.9.4.2.1.4.3-2: PDSCH-ConfigDedicated-DEFAULT

Derivation Path: 36.508 clause 6.3.2

Information Element

Value/remark

Comment

Condition

PDSCH-ConfigDedicated-DEFAULT ::= SEQUENCE {

p-a

dB0

}

Table 9.9.4.2.1.4.3-3: AntennaInfoDedicated-r10

Derivation Path: 36.331 clause 6.3.2

Information Element

Value/remark

Comment

Condition

AntennaInfoDedicated-r10 ::= SEQUENCE {

transmissionMode-r10

tm9-v1020

codebookSubsetRestriction-r10

According to each test

ue-TransmitAntennaSelection CHOICE {

release

NULL

}

}

Table 9.9.4.2.1.4.3-4: CQI-ReportConfig-r10-DEFAULT

Derivation Path: 36.508 clause 4.6.3

Information Element

Value/remark

Comment

Condition

CQI-ReportConfig-r10 ::= SEQUENCE {

cqi-ReportAperiodic-r10

Not Present

nomPDSCH-RS-EPRE-Offset

0

cqi-ReportPeriodic-r10

CQI-ReportPeriodic-r10-DEFAULT

pmi-RI-Report-r9

setup

}

Table 9.9.4.2.1.4.3-5: CQI-ReportPeriodic-r10-DEFAULT

Derivation Path: 36.508 clause 4.6.3

Information Element

Value/remark

Comment

Condition

CQI-ReportPeriodic-r10 ::= CHOICE {

setup SEQUENCE {

cqi-PUCCH-ResourceIndex-r10

0

cqi-PUCCH-ResourceIndexP1-r10

Not present

cqi-pmi-ConfigIndex

2

(see Table 7.2.2-1A in TS 36.213)

cqi-FormatIndicatorPeriodic-r10 CHOICE {

widebandCQI-r10 SEQUENCE {

csi-ReportMode-r10

Not present

}

ri-ConfigIndex

1

(see Table 7.2.2-1B in TS 36.213)

simultaneousAckNackAndCQI

FALSE

}

}

}

Table 9.9.4.2.1.4.3-6: CSI-RS-Config

Derivation Path: 36.331 clause 6.3.2

Information Element

Value/remark

Comment

Condition

CSI-RS-Config-r10 ::= SEQUENCE {

csi-RS-r10 CHOICE{

setup SEQUENCE {

antennaPortsCount-r10

an2

Parameter represents the number of antenna ports used for transmission of CSI reference signals

Test 1, 2, 3

an4

Test 4

resourceConfig-r10

6

Parameter: CSI reference signal configuration

subframeConfig-r10

1

= when CSI-RS SubframeConfig is from 0-4; Parameter:

p-C-r10

0

Parameter: which is the assumed ratio of PDSCH EPRE to CSI-RS EPRE when UE derives CSI feedback

Test 1, 2, 3

-3

Test 4

}

}

zeroTxPowerCSI-RS-r10 CHOICE{

release

NULL

}

}

9.9.4.2.1.5 Test requirement

Table 9.9.4.2.1.5-1: Test requirement (FDD) for eDL-MIMO

Test 1

Test 2

Test 3

Test 4

1

N/A

1.04

0.89

N/A

2

0.99

N/A

N/A

1.09

UE Category

≥2

≥2

≥2

≥5

9.9.4.2.2 TDD RI Reporting- PUCCH 1-1 for eDL-MIMO 4×4
9.9.4.2.2.1 Test purpose

To verify that the reported rank indicator accurately represents the channel rank.

9.9.4.2.2.2 Test applicability

This test applies to all types of E-UTRA TDD release 10 to release 14 and forward UEs of Category 2 and onwards that support 4 Rx antenna ports in any TDD bands. Applicability requires support for FGI bit 103.

This test applies to all types of E-UTRA TDD release 15 and forward UE of Categories 2 to 10 (except for Category 8), and UE DL Categories up to 10 or DL Category 13 that support 4 Rx antenna ports in any TDD RF band. Applicability requires support for FGI bits 103.

This test applies to all types of E-UTRA TDD release 15 and forward UE of Category 8, Categories 11 and higher, or UE DL Categories 11, 12, 14 and higher that support 4 Rx antenna ports in any TDD RF band.

9.9.4.2.2.3 Minimum conformance requirements

The minimum performance requirement in Table 9.9.4.2.2.3-2 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 9.9.4.2.2.3-1, and using the downlink physical channels specified in Annex C.3.2, the minimum requirements are specified in Table 9.9.4.2.2.3-2.

Table 9.9.4.2.2.3-1: RI Test (TDD)

Parameter

Unit

Test 1

Test 2

Test 3

Test 4

Bandwidth

MHz

10

PDSCH transmission mode

9

Downlink power allocation

dB

0

dB

0

Pc

dB

0

-3

σ

dB

0

-3

Uplink downlink configuration

1

Special subframe configuration

4

Propagation condition and antenna configuration

2 x 4 EPA5

4 x 4 EPA5

Cell-specific reference signals

Antenna ports 0

CSI reference signals

Antenna ports 15, 16

Antenna ports 15-18

Beamforming Model

As specified in Section B.4.3

CSI reference signal configuration

4

CSI-RS periodicity and subframe offset

TCSI-RS / CSI-RS

5/4

CodeBookSubsetRestriction bitmap

000011 for fixed RI = 1

010000 for fixed RI = 2

010011 for UE reported RI

Note 4

Antenna correlation

Low

Low

High

Low

RI configuration

Fixed RI=2 and follow RI

Fixed RI=1 and follow RI

Fixed RI=1 and follow RI

Fixed RI=2 and follow RI

SNR

dB

-4

16

16

25

dB[mW/15kHz]

-98

-98

-98

-98

dB[mW/15kHz]

-102

-82

-82

-73

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

Npd = 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 / RC.9B TDD respectively for Test 1-3 / 4 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.

Note 4: The following precoders are allowed in Test 4:
“0x0000 0000 FFFF 0000” for RI=2
“0xFFFF FFFF FFFF FFFF” for UE reported RI

Table 9.9.4.2.2.3-2: Minimum requirement (TDD)

Test 1

Test 2

Test 3

Test 4

1

N/A

1.05

0.9

N/A

2

1

N/A

N/A

1.1

UE Category

≥2

≥2

≥2

≥5

The normative reference for this requirement is TS 36.101 [2] clause 9.9.4.2.2.

9.9.4.2.2.4 Test description

9.9.4.2.2.4.1 Initial conditions

Initial conditions are a set of test configurations the UE needs to be tested in and the steps for the SS to take with the UE to reach the correct measurement state.

Configurations of PDSCH and PDCCH before measurement are specified in Annex C.2.

Test Environment: Normal as defined in TS 36.508 [7] clause 4.1.

Frequencies to be tested: Mid Range as defined in TS 36.508 [7] clause 4.3.1.2.

Channel Bandwidths to be tested: 10MHz, as defined in TS 36.508 [7] clause 4.3.1.2.

1. Connect the SS, faders and AWGN noise source to the UE antenna connector (s) as shown in TS 36.508 [7] Annex A, Figure A.76 for test 1-3 and Figure A.74 for test 4 .

2. The parameter settings for the cell are set up according to Table 9.9.4.2.2.3-1.

3. Downlink signals are initially set up according to Annex C.1 and Annex C.3.2, and uplink signals according to Annex H.1 and H.3.2.

4. Propagation conditions are set according to Annex B.0.

5. Ensure the UE is in State 3A-RF according to TS 36.508 [7] clause 5.2A.2. Message contents are defined in clause 9.9.4.2.2.4.3.

9.9.4.2.2.4.2 Test procedure

1. Set the parameters of bandwidth, reference channel, the propagation condition, antenna configuration, antenna correlation, CodeBookSubsetRestriction for fixed Rank and the SNR according to Table 9.9.4.2.2.3-1 as appropriate.

2. The SS shall send PDSCH via PDCCH DCI format 2C for C_RNTI to transmit the DL RMC according to the UE reported CQI (wideband CQI), PMI and RI. The SS sends downlink MAC padding bits on the DL RMC. The SS sends uplink scheduling information via PDCCH DCI format 0 with CQI request bit set to 0 to schedule UL RMC in subframe #3 and #8 (Table A.4.1-2). Measure theaccording to annex G.5.3

3. Propagation conditions are set according to Annex B.1.

4. The SS sends uplink scheduling information via PDCCH DCI format 0 with CQI request bit to 0 to schedule UL RMC in subframe#3 and #8 (Table A.4.1-2).

5. The SS shall transmit an RRC Connection Reconfiguration message to set codebookSubsetRestriction as for UE reported RI according to Table 9.9.4.2.2.3-1.

6. The UE shall transmit RRC Connection Reconfiguration Complete message.

7. Propagation conditions are set according to Table 9.9.4.2.2.3-1.

8. The SS shall send PDSCH via PDCCH DCI format 2C for C_RNTI to transmit the DL RMC according to the UE reported CQI (wideband CQI), PMI and RI. The SS sends downlink MAC padding bits on the DL RMC. The SS sends uplink scheduling information via PDCCH DCI format 0 with CQI request bit set to 0 to schedule UL RMC in subframe #3 and subframe #8 (Table A.4.1-2). Measure according to Annex G.5.3
If the ratio ( / ) satisfies the requirement in Table 9.9.4.2.2.5-1, then pass the UE for this test and go to step 9. Otherwise, fail the UE.

9. If all tests have not been done, then repeat the same procedure (steps 1 to 8) with test conditions according to the Table 9.9.4.2.2.3-2 for the other Tests as appropriate. Otherwise pass the UE.

9.9.4.2.2.4.3 Message contents

Message contents are according to TS 36.508 [7] clause 4.6 with the following exceptions:

Table 9.9.4.2.2.4.3-1: PhysicalConfigDedicated-DEFAULT

Derivation Path: 36.508 clause 4.6.3

Information Element

Value/remark

Comment

Condition

PhysicalConfigDedicated-DEFAULT::= SEQUENCE {

antennaInfo

Not present

antennaInfo-r10 CHOICE{

RBC

explicitValue-r10

AntennaInfoDedicated-r10

}

cqi-ReportConfig-r10

CQI-ReportConfig-r10- DEFAULT

RBC

csi-RS-Config-r10

CSI-RS-Config-r10

RBC

}

Table 9.9.4.2.2.4.3-2: PDSCH-ConfigDedicated-DEFAULT

Derivation Path: 36.508 clause 6.3.2

Information Element

Value/remark

Comment

Condition

PDSCH-ConfigDedicated-DEFAULT ::= SEQUENCE {

p-a

dB0

}

Table 9.9.4.2.2.4.3-3: AntennaInfoDedicated-r10

Derivation Path: 36.331 clause 6.3.2

Information Element

Value/remark

Comment

Condition

AntennaInfoDedicated-r10 ::= SEQUENCE {

transmissionMode-r10

tm9-v1020

codebookSubsetRestriction-r10

According to each test

ue-TransmitAntennaSelection CHOICE {

release

NULL

}

}

Table 9.9.4.2.2.4.3-4: CQI-ReportConfig-r10-DEFAULT

Derivation Path: 36.508 clause 4.6.3

Information Element

Value/remark

Comment

Condition

CQI-ReportConfig-r10 ::= SEQUENCE {

cqi-ReportAperiodic-r10

Not Present

nomPDSCH-RS-EPRE-Offset

0

cqi-ReportPeriodic-r10

CQI-ReportPeriodic-r10-DEFAULT

pmi-RI-Report-r9

setup

}

Table 9.9.4.2.2.4.3-5: CQI-ReportPeriodic-r10-DEFAULT

Derivation Path: 36.508 clause 4.6.3

Information Element

Value/remark

Comment

Condition

CQI-ReportPeriodic-r10 ::= CHOICE {

setup SEQUENCE {

cqi-PUCCH-ResourceIndex-r10

0

cqi-PUCCH-ResourceIndexP1-r10

Not present

cqi-pmi-ConfigIndex

4

(see Table 7.2.2-1A in TS 36.213)

cqi-FormatIndicatorPeriodic-r10 CHOICE {

widebandCQI-r10 SEQUENCE {

csi-ReportMode-r10

Not present

}

ri-ConfigIndex

1

(see Table 7.2.2-1B in TS 36.213)

simultaneousAckNackAndCQI

FALSE

}

}

}

Table 9.9.4.2.2.4.3-6: PUCCH-ConfigDedicated-DEFAULT

Derivation Path: 36.331 clause 6.3.2

Information Element

Value/remark

Comment

Condition

PUCCH-ConfigDedicated-DEFAULT ::= SEQUENCE {

ackNackRepetition CHOICE {

release

NULL

}

tddAckNackFeedbackMode

Bundling

Multiplexing is selected as default to align with RAN4’s assumptions in RF tests

TDD

}

Table 9.9.4.2.2.4.3-7: TDD-Config-DEFAULT

Derivation Path: 36.508 clause 4.6.3

Information Element

Value/remark

Comment

Condition

TDD-Config-DEFAULT ::= SEQUENCE {

subframeAssignment

sa1

specialSubframePatterns

ssp4

}

Table 9.9.4.2.2.4.3-8: CSI-RS-Config

Derivation Path: 36.331 clause 6.3.2

Information Element

Value/remark

Comment

Condition

CSI-RS-Config-r10 ::= SEQUENCE {

csi-RS-r10 CHOICE{

setup SEQUENCE {

antennaPortsCount-r10

an2

Parameter represents the number of antenna ports used for transmission of CSI reference signals

Test 1, 2, 3

an4

Test 4

resourceConfig-r10

4

Parameter: CSI reference signal configuration

subframeConfig-r10

4

= when CSI-RS SubframeConfig is from 0-4; Parameter:

p-C-r10

0

Parameter: which is the assumed ratio of PDSCH EPRE to CSI-RS EPRE when UE derives CSI feedback

Test 1, 2, 3

-3

Test 4

}

}

zeroTxPowerCSI-RS-r10 CHOICE{

release

NULL

}

}

9.9.4.2.2.5 Test requirement

Table 9.9.4.2.2.5-1: Test requirement (TDD) for eDL-MIMO

Test 1

Test 2

Test 3

Test 4

1

N/A

1.04

0.89

N/A

2

0.99

N/A

N/A

1.09

UE Category

≥2

≥2

≥2

≥5