6.4 Reporting of Rank Indicator (RI)

38.521-43GPPNRPart 4: PerformanceRadio transmission and receptionRelease 17TSUser Equipment (UE) conformance specification

6.4.1 1RX requirements (Void)

6.4.2 2RX requirements

6.4.2.1 FDD

6.4.2.1_1 2Rx FDD FR1 RI reporting for both SA and NSA

6.4.2.1_1.1 Test Purpose

The purpose of this test is to verify that the reported rank indicator accurately represents the channel rank. The accuracy of RI 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.

6.4.2.1_1.2 Test applicability

This test applies to all types of NR UE release 15 and forward.

This test also applies to all types of EUTRA UE release 15 and forward supporting EN-DC.

6.4.2.1_1.3 Minimum Conformance Requirements

The minimum performance requirement in Table 6.4.2.1_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 6.4.2.1_1.3-1, and using the downlink physical channels specified in Annex C.3.1, the minimum requirements are specified in Table 6.4.2.1_1.3-2.

Table 6.4.2.1_1.3-1: RI Test (FDD)

Parameter

Unit

Test 1

Test 2

Test 3

Bandwidth

MHz

10

10

10

Subcarrier spacing

kHz

15

15

15

Duplex Mode

FDD

FDD

FDD

SNR

dB

0

20

20

Propagation channel

TDLA30-5

TDLA30-5

TDLA30-5

Antenna configuration

ULA Low 2×2

ULA Low 2×2

ULA High 2×2

Beamforming Model

As defined in Annex B.4.1

As defined in Annex B.4.1

As defined in Annex B.4.1

ZP CSI-RS configuration

CSI-RS resource Type

Periodic

Periodic

Periodic

Number of CSI-RS ports (X)

4

4

4

CDM Type

FD-CDM2

FD-CDM2

FD-CDM2

Density (ρ)

1

1

1

First subcarrier index in the PRB used for CSI-RS (k0)

Row 5,(4)

Row (5,4)

Row 5,(4)

First OFDM symbol in the PRB used for CSI-RS (l0)

(9)

(9)

(9)

CSI-RS

periodicity and offset

slot

5/1

5/1

5/1

NZP CSI-RS for CSI acquisition

CSI-RS resource Type

Periodic

Periodic

Periodic

Number of CSI-RS ports (X)

2

2

2

CDM Type

FD-CDM2

FD-CDM2

FD-CDM2

Density (ρ)

1

1

1

First subcarrier index in the PRB used for CSI-RS (k0 )

Row 3 (6)

Row 3 (6)

Row 3 (6)

First OFDM symbol in the PRB used for CSI-RS (l0)

(13)

(13)

(13)

NZP CSI-RS-timeConfig

periodicity and offset

slot

5/1

5/1

5/1

CSI-IM configuration

CSI-IM resource Type

Periodic

Periodic

Periodic

CSI-IM RE pattern

Pattern 0

Pattern 0

Pattern 0

CSI-IM Resource Mapping

(kCSI-IM,lCSI-IM)

(4,9)

(4,9)

(4,9)

CSI-IM timeConfig

periodicity and offset

slot

5/1

5/1

5/1

ReportConfigType

Periodic

Periodic

Periodic

CQI-table

Table 2

Table 2

Table 2

reportQuantity

cri-RI-PMI-CQI

cri-RI-PMI-CQI

cri-RI-PMI-CQI

timeRestrictionForChannelMeasurements

not configured

not configured

not configured

timeRestrictionForInterferenceMeasurements

not configured

not configured

not configured

cqi-FormatIndicator

Wideband

Wideband

Wideband

pmi-FormatIndicator

Wideband

Wideband

Wideband

Sub-band Size

RB

8

8

8

csi-ReportingBand

1111111

1111111

1111111

CSI-Report periodicity and offset

slot

5/0

5/0

5/0

Codebook configuration

Codebook Type

typeI-SinglePanel

typeI-SinglePanel

typeI-SinglePanel

Codebook Mode

1

1

1

(CodebookConfig-N1,CodebookConfig-N2)

N/A

N/A

N/A

CodebookSubsetRestriction

010000 for fixed rank 2,

010011 for following rank

000011 for fixed rank 1,

010011 for following rank

000011 for fixed rank 1,

010011 for following rank

RI Restriction

N/A

N/A

N/A

Physical channel for CSI report

PUCCH

PUCCH

PUCCH

CQI/RI/PMI delay

ms

8

8

8

Maximum number of HARQ transmission

1

1

1

RI Configuration

Fixed RI = 2 and follow RI

Fixed RI = 1 and follow RI

Fixed RI = 1 and follow RI

Note 1: Measurements channels are specified in Table A.4-2. TBS.2-1 is used for Rank 1 case. TBS.2-2 is used for Rank 2 case.

Table 6.4.2.1_1.3-2: Minimum requirement (FDD)

Test 1

Test 2

Test 3

1

N/A

1.05

0.9

2

1.0

N/A

N/A

The normative reference for this requirement is TS 38.101-4 [2] clause 6.4.2.1.

6.4.2.1_1.4 Test Description

6.4.2.1_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. The initial test configurations consist of environmental conditions, test frequencies, test channel bandwidths and sub-carrier spacing based on NR operating bands specified in Table 5.3.5-1 of 38.521-1.

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

Test Environment: Normal as defined in TS 38.508 [6] clause 4.1.

Frequencies to be tested: Mid Range as defined in TS 38.508 [6] clause 5.2.2.

For EN-DC within FR1 operation, setup the LTE link according to Annex D

1. Connect the SS, the faders and AWGN noise source to the UE antenna connectors as shown in TS 38.508-1 [6] Annex A, in Figure A.3.1.7.1 for TE diagram and section A.3.2.3 for UE diagram.

2. The parameter settings for the cell are set up according to Table 6.1.2-1 and Table 6.4.2.1_1.3-1 as appropriate.

3. Downlink signals for NR cell are initially set up according to Annexes C.0, C.1, C.2, C.3.1 and uplink signals according to Annexes G.0, G.1, G.2, G.3.1 of TS 38.521-1 [7].

4. Propagation conditions for the NR cell are set according to Annex B.0.

5. Ensure the UE is in state RRC_CONNECTED with generic procedure parameters Connectivity NR, Connected without release On and Test Mode ON for SA or EN-DC, DC bearer MCG and SCG, Connected without release On and Test Mode ON for NSA according to TS 38.508-1 [6] clause 4.5. Message contents are defined in clause 6.4.2.1_1.4.3.

6.4.2.1_1.4.2 Test procedure

1. Set the parameters of bandwidth, reference channel, the propagation condition, antenna configuration, antenna correlation, Codebook configuration, Beamforming Model, RI configuration and SNR according to Table 6.4.2.1_1.3-1 as appropriate.

2. The SS shall send PDSCH via PDCCH DCI format 1_1 for C_RNTI to transmit the DL RMC according to the UE reported CQI (wideband CQI), PMI and fixed RI as defined in Table 6.4.2.1_1.3-1. The SS sends downlink MAC padding bits on the DL RMC. Measure theaccording to Annex G.3. 3.

3. Propagation conditions are set according to Annex B.2.

4. The SS shall transmit an RRC Connection Reconfiguration message to set codebookSubsetRestriction as for UE reported RI according to Table 6.4.2.1_1.3-1.

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

6. Propagation conditions are set according to Table 6.4.2.1_1.3-1.

7. The SS shall send PDSCH via PDCCH DCI format 1_1 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. Measure according to Annex G.3.3.
If the ratio ( / ) satisfies the requirement in Table 6.4.2.1_1.5-1, then pass the UE for this test and go to step 8. Otherwise, declare a FAIL verdict.

8. If all tests have not been done, then repeat the same procedure (steps 1 to 7) with test conditions according to the Table 6. 4.2. 1_1.3-2 for the other Tests as appropriate. Otherwise, declare a PASS verdict.

6.4.2.1_1.4.3 Message Contents

6.4.2.1_1.4.3.1 Message exceptions for SA

Table 6.4.2.1_1.4.3.1-1: CSI-ResourceConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-41

Information Element

Value/remark

Comment

Condition

CSI-ResourceConfig ::= SEQUENCE {

resourceType

periodic

}

Table 6.4.2.1_1.4.3.1-2: CSI-RS-ResourceMapping for NZP-CSI-RS

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-45

Information Element

Value/remark

Comment

Condition

CSI-RS-ResourceMapping ::= SEQUENCE {

frequencyDomainAllocation CHOICE {

other

001000

row3, k0=6

}

nrofPorts

p2

firstOFDMSymbolInTimeDomain

13

}

Table 6.4.2.1_1.4.3.1-3: CSI-RS-ResourceMapping for ZP-CSI-RS

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-45

Information Element

Value/remark

Comment

Condition

CSI-RS-ResourceMapping ::= SEQUENCE {

frequencyDomainAllocation CHOICE {

other

000100

row5, k0=4

}

nrofPorts

p4

firstOFDMSymbolInTimeDomain

9

}

Table 6.4.2.1_1.4.3.1-4: CSI-IM-Resource

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-34

Information Element

Value/remark

Comment

Condition

csi-IM-ResourceElementPattern

pattern0 SEQUENCE {

subcarrierLocation-p0

s4

symbolLocation-p0

9

}

periodicityAndOffset

CSI-ResourcePeriodicityAndOffset

Table 6.4.2.1_1.4.3.1-5: CSI-ResourcePeriodicityAndOffset

Derivation Path: TS 38.508-1 [6], clause 4.6.2, Table 4.6.3-43

Information Element

Value/remark

Comment

Condition

CSI-ResourcePeriodicityAndOffset CHOICE {

Slots5

1

}

Table 6.4.2.1_1.4.3.1-6: CodebookConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.2, Table 4.6.3-25

Information Element

Value/remark

Comment

Condition

nrOfAntennaPorts CHOICE {

Two SEQUENCE {

twoTX-CodebookSubsetRestriction

010000

Fixed rank 2

000011

Fixed rank 1

010011

Following rank

}

}

}

typeI-SinglePanel-ri-Restriction

11111111

Non restriction

Table 6.4.2.1_1.4.3.1-7: CSI-ReportConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-39

Information Element

Value/remark

Comment

Condition

reportConfigType CHOICE {

periodic SEQUENCE {

reportSlotConfig CHOICE {

slots5

slots5

0

}

pucch-CSI-ResourceList

9

PUCCH format Id=9

}

reportFreqConfiguration SEQUENCE {

csi-ReportingBand CHOICE {

subbands7

1111111

}

}

}

6.4.2.1_1.4.3.2 Message exceptions for NSA

Same as in clause 6.4.2.1_1.4.3.1.

6.4.2.1_1.5 Test Requirements

Table 6.4.2.1_1.5-1: Test Requirement (FDD)

Test 1

Test 2

Test 3

1

N/A

1.04

0.89

2

0.99

N/A

N/A

6.4.2.2 TDD

6.4.2.2_1 2Rx TDD FR1 RI reporting for both SA and NSA

6.4.2.2_1.1 Test Purpose

The purpose of this test is to verify that the reported rank indicator accurately represents the channel rank. The accuracy of RI 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.

6.4.2.2_1.2 Test applicability

This test applies to all types of NR UE release 15 and forward.

This test also applies to all types of EUTRA UE release 15 and forward supporting EN-DC.

6.4.2.2_1.3 Minimum Conformance Requirements

The minimum performance requirement in Table 6.4.2.2_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 6.4.2.2_1.3-1, and using the downlink physical channels specified in Annex C.3.1, the minimum requirements are specified in Table 6.4.2.2_1.3-2.

Table 6.4.2.2_1.3-1: RI Test (TDD)

Parameter

Unit

Test 1

Test 2

Test 3

Bandwidth

MHz

40

40

40

Subcarrier spacing

kHz

30

30

30

Duplex Mode

TDD

TDD

TDD

TDD Slot Configuration

FR1.30-1

FR1.30-1

FR1.30-1

SNR

dB

0

20

20

Propagation channel

TDLA30-5

TDLA30-5

TDLA30-5

Antenna configuration

ULA Low 2×2

ULA Low 2×2

ULA High 2×2

Beamforming Model

As defined in Annex B.4.1

As defined in Annex B.4.1

As defined in Annex B.4.1

ZP CSI-RS configuration

CSI-RS resource Type

Periodic

Periodic

Periodic

Number of CSI-RS ports (X)

4

4

4

CDM Type

FD-CDM2

FD-CDM2

FD-CDM2

Density (ρ)

1

1

1

First subcarrier index in the PRB used for CSI-RS (k0)

Row 5, (4)

Row 5, (4)

Row 5, (4)

First OFDM symbol in the PRB used for CSI-RS (l0)

(9)

(9)

(9)

CSI-RS

periodicity and offset

slot

10/1

10/1

10/1

NZP CSI-RS for CSI acquisition

CSI-RS resource Type

Periodic

Periodic

Periodic

Number of CSI-RS ports (X)

2

2

2

CDM Type

FD-CDM2

FD-CDM2

FD-CDM2

Density (ρ)

1

1

1

First subcarrier index in the PRB used for CSI-RS (k0)

Row 3 (6)

Row 3 (6)

Row 3 (6)

First OFDM symbol in the PRB used for CSI-RS (l0)

(13)

(13)

(13)

NZP CSI-RS-timeConfig

periodicity and offset

slot

10/1

10/1

10/1

CSI-IM configuration

CSI-IM resource Type

Periodic

Periodic

Periodic

CSI-IM RE pattern

Pattern 0

Pattern 0

Pattern 0

CSI-IM Resource Mapping

(kCSI-IM,lCSI-IM)

(4,9)

(4,9)

(4,9)

CSI-IM timeConfig

periodicity and offset

slot

10/1

10/1

10/1

ReportConfigType

Periodic

Periodic

Periodic

CQI-table

Table 2

Table 2

Table 2

reportQuantity

cri-RI-PMI-CQI

cri-RI-PMI-CQI

cri-RI-PMI-CQI

timeRestrictionForChannelMeasurements

not configured

not configured

not configured

timeRestrictionForInterferenceMeasurements

not configured

not configured

not configured

cqi-FormatIndicator

Wideband

Wideband

Wideband

pmi-FormatIndicator

Wideband

Wideband

Wideband

Sub-band Size

RB

16

16

16

csi-ReportingBand

1111111

1111111

1111111

CSI-Report periodicity and offset

slot

10/9

10/9

10/9

Codebook configuration

Codebook Type

typeI-SinglePanel

typeI-SinglePanel

typeI-SinglePanel

Codebook Mode

1

1

1

(CodebookConfig-N1,CodebookConfig-N2)

N/A

N/A

N/A

CodebookSubsetRestriction

010000 for fixed rank 2,

010011 for following rank

000011 for fixed rank 1,

010011 for following rank

000011 for fixed rank 1,

010011 for following rank

RI Restriction

N/A

N/A

N/A

Physical channel for CSI report

PUCCH

PUCCH

PUCCH

CQI/RI/PMI delay

ms

9.5

9.5

9.5

Maximum number of HARQ transmission

1

1

1

RI Configuration

Fixed RI = 2 and follow RI

Fixed RI = 1 and follow RI

Fixed RI = 1 and follow RI

Note 1: Measurements channels are specified in Table A.4-2. TBS.2-3 is used for Rank 1 case. TBS.2-4 is used for Rank 2 case.

Table 6.4.2.2_1.3-2: Minimum requirement (TDD)

Test 1

Test 2

Test 3

1

N/A

1.05

0.9

2

1.0

N/A

N/A

The normative reference for this requirement is TS 38.101-4 [2] clause 6.4.2.2.

6.4.2.2_1.4 Test Description

6.4.2.2_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. The initial test configurations consist of environmental conditions, test frequencies, test channel bandwidths and sub-carrier spacing based on NR operating bands specified in Table 5.3.5-1 of 38.521-1.

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

Test Environment: Normal as defined in TS 38.508 [6] clause 4.1.

Frequencies to be tested: Mid Range as defined in TS 38.508 [6] clause 5.2.2.

For EN-DC within FR1 operation, setup the LTE link according to Annex D

1. Connect the SS, the faders and AWGN noise source to the UE antenna connectors as shown in TS 38.508-1 [6] Annex A, in Figure A.3.1.7 for TE diagram and section A.3.2.3 for UE diagram.

2. The parameter settings for the cell are set up according to Table 6.1.2-1 and Table 6.4.2.2_1.3-1 as appropriate.

3. Downlink signals for NR cell are initially set up according to Annexes C.0, C.1, C.2, C.3.1 and uplink signals according to Annexes G.0, G.1, G.2, G.3.1 of TS 38.521-1 [7].

4. Propagation conditions for the NR cell are set according to Annex B.0.

5. Ensure the UE is in state RRC_CONNECTED with generic procedure parameters Connectivity NR, Connected without release On and Test Mode ON for SA or EN-DC, DC bearer MCG and SCG, Connected without release On and Test Mode ON for NSA according to TS 38.508-1 [6] clause 4.5. Message contents are defined in clause 6.4.2.2_1.4.3.

6.4.2.2_1.4.2 Test procedure

1. Set the parameters of bandwidth, reference channel, the propagation condition, antenna configuration, antenna correlation, Codebook configuration, Beamforming Model, RI configuration and SNR according to Table 6.4.2.2_1.3-1 as appropriate.

2. The SS shall send PDSCH via PDCCH DCI format 1_1 for C_RNTI to transmit the DL RMC according to the UE reported CQI (wideband CQI), PMI and fixed RI as defined in Table 6.4.2.2_1.3-1. The SS sends downlink MAC padding bits on the DL RMC. Measure theaccording to Annex G.3. 3.

3. Propagation conditions are set according to Annex B.2.

4. The SS shall transmit an RRC Connection Reconfiguration message to set codebookSubsetRestriction as for UE reported RI according to Table 6.4.2.2_1.3-1.

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

6. Propagation conditions are set according to Table 6.4.2.2_1.3-1.

7. The SS shall send PDSCH via PDCCH DCI format 1_1 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. Measure according to Annex G.3.3.
If the ratio ( / ) satisfies the requirement in Table 6.4.2.2_1.5-1, then pass the UE for this test and go to step 8. Otherwise, declare a FAIL verdict.

8. If all tests have not been done, then repeat the same procedure (steps 1 to 7) with test conditions according to the Table 6.4.2.2_1.3-2 for the other Tests as appropriate. Otherwise, declare a PASS verdict.

6.4.2.2_1.4.3 Message Contents

6.4.2.2_1.4.3.1 Message Contents for SA

Table 6.4.2.2_1.4.3.1-1: CSI-ResourceConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-41

Information Element

Value/remark

Comment

Condition

CSI-ResourceConfig ::= SEQUENCE {

resourceType

periodic

}

Table 6.4.2.2_1.4.3.1-2: CSI-RS-ResourceMapping for NZP-CSI-RS

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-45

Information Element

Value/remark

Comment

Condition

CSI-RS-ResourceMapping ::= SEQUENCE {

frequencyDomainAllocation CHOICE {

other

001000

row3, k0=6

}

nrofPorts

p2

firstOFDMSymbolInTimeDomain

13

}

Table 6.4.2.2_1.4.3.1-3: CSI-RS-ResourceMapping for ZP-CSI-RS

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-45

Information Element

Value/remark

Comment

Condition

CSI-RS-ResourceMapping ::= SEQUENCE {

frequencyDomainAllocation CHOICE {

other

000100

row5, k0=4

}

nrofPorts

p4

firstOFDMSymbolInTimeDomain

9

}

Table 6.4.2.2_1.4.3.1-4: CSI-IM-Resource

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-34

Information Element

Value/remark

Comment

Condition

csi-IM-ResourceElementPattern

pattern0 SEQUENCE {

subcarrierLocation-p0

s4

symbolLocation-p0

9

}

periodicityAndOffset

CSI-ResourcePeriodicityAndOffset

Table 6.4.2.2_1.4.3.1-5: CSI-ResourcePeriodicityAndOffset

Derivation Path: TS 38.508-1 [6], clause 4.6.2, Table 4.6.2-43

Information Element

Value/remark

Comment

Condition

CSI-ResourcePeriodicityAndOffset CHOICE {

Slots10

1

}

Table 6.4.2.2_1.4.3.1-6: CodebookConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.2, Table 4.6.3-25

Information Element

Value/remark

Comment

Condition

nrOfAntennaPorts CHOICE {

Two SEQUENCE {

twoTX-CodebookSubsetRestriction

010000

Fixed rank 2

000011

Fixed rank 1

010011

Following rank

}

}

}

typeI-SinglePanel-ri-Restriction

11111111

Non restriction

Table 6.4.2.2_1.4.3.1-7: CSI-ReportConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-39

Information Element

Value/remark

Comment

Condition

reportConfigType CHOICE {

periodic SEQUENCE {

reportSlotConfig CHOICE {

slots10

slots10

9

}

pucch-CSI-ResourceList

9

PUCCH format Id=9

}

reportFreqConfiguration SEQUENCE {

csi-ReportingBand CHOICE {

subbands7

1111111

}

}

}

6.4.2.2_1.4.3.2 Message exceptions for NSA

Same as in clause 6.4.2.1.2.1.4.3_1.

6.4.2.2_1.5 Test Requirements

Table 6.4.2.2_1.5-1: Test Requirement (TDD)

Test 1

Test 2

Test 3

1

N/A

1.04

0.89

2

0.99

N/A

N/A

6.4.3 4RX requirements

6.4.3.1 FDD

6.4.3.1_1 4Rx FDD FR1 RI reporting for both SA and NSA

6.4.3.1_1.1 Test Purpose

The purpose of this test is to verify that the reported rank indicator accurately represents the channel rank. The accuracy of RI 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.

6.4.3.1_1.2 Test applicability

This test applies to all types of NR UE release 15 and forward supporting 4 Rx antenna ports.

This test also applies to all types of EUTRA UE release 15 and forward supporting EN-DC and 4 Rx antenna ports.

6.4.3.1_1.3 Minimum Conformance Requirements

The minimum performance requirement in Table 6.4.3.1_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 6.4.3.1_1.3-1, and using the downlink physical channels specified in Annex C.3.1, the minimum requirements are specified in Table 6.4.3.1_1.3-2.

Table 6.4.3.1_1.3-1: RI Test (FDD)

Parameter

Unit

Test 1

Test 2

Test 3

Test 4

Bandwidth

MHz

10

10

10

10

Subcarrier spacing

kHz

15

15

15

15

Duplex Mode

FDD

FDD

FDD

FDD

SNR

dB

-2

16

16

22

Propagation channel

TDLA30-5

TDLA30-5

TDLA30-5

TDLA30-5

Antenna configuration

ULA Low 2×4

ULA Low 2×4

ULA High 2×4

ULA Low 4×4

Beamforming Model

As defined in Annex B.4.1

As defined in Annex B.4.1

As defined in Annex B.4.1

As defined in Annex B.4.1

ZP CSI-RS configuration

CSI-RS resource Type

Periodic

Periodic

Periodic

Periodic

Number of CSI-RS ports (X)

4

4

4

4

CDM Type

FD-CDM2

FD-CDM2

FD-CDM2

FD-CDM2

Density (ρ)

1

1

1

1

First subcarrier index in the PRB used for CSI-RS (k0 )

Row 5, (4)

Row 5, (4)

Row 5, (4)

Row 5, (4)

First OFDM symbol in the PRB used for CSI-RS (l0)

(9)

(9)

(9)

(9)

CSI-RS

periodicity and offset

slot

5/1

5/1

5/1

5/1

NZP CSI-RS for CSI acquisition

CSI-RS resource Type

Periodic

Periodic

Periodic

Periodic

Number of CSI-RS ports (X)

2

2

2

4

CDM Type

FD-CDM2

FD-CDM2

FD-CDM2

FD-CDM2

Density (ρ)

1

1

1

1

First subcarrier index in the PRB used for CSI-RS (k0 )

Row 3 (6)

Row 3 (6)

Row 3 (6)

Row 4 (0)

First OFDM symbol in the PRB used for CSI-RS (l0)

(13)

(13)

(13)

(13)

NZP CSI-RS-timeConfig

periodicity and offset

slot

5/1

5/1

5/1

5/1

CSI-IM configuration

CSI-IM resource Type

Periodic

Periodic

Periodic

Periodic

CSI-IM RE pattern

Pattern 0

Pattern 0

Pattern 0

Pattern 0

CSI-IM Resource Mapping

(kCSI-IM,lCSI-IM)

(4,9)

(4,9)

(4,9)

(4,9)

CSI-IM timeConfig

periodicity and offset

slot

5/1

5/1

5/1

5/1

ReportConfigType

Periodic

Periodic

Periodic

Periodic

CQI-table

Table 2

Table 2

Table 2

Table 2

reportQuantity

cri-RI-PMI-CQI

cri-RI-PMI-CQI

cri-RI-PMI-CQI

cri-RI-PMI-CQI

timeRestrictionForChannelMeasurements

not configured

not configured

not configured

not configured

timeRestrictionForInterferenceMeasurements

not configured

not configured

not configured

not configured

cqi-FormatIndicator

Wideband

Wideband

Wideband

Wideband

pmi-FormatIndicator

Wideband

Wideband

Wideband

Wideband

Sub-band Size

RB

8

8

8

8

csi-ReportingBand

1111111

1111111

1111111

1111111

CSI-Report periodicity and offset

slot

5/0

5/0

5/0

5/0

Codebook configuration

Codebook Type

typeI-SinglePanel

typeI-SinglePanel

typeI-SinglePanel

typeI-SinglePanel

Codebook Mode

1

1

1

1

(CodebookConfig-N1,CodebookConfig-N2)

N/A

N/A

N/A

(2,1)

CodebookSubsetRestriction

010000 for fixed rank 2,

010011 for following rank

000011 for fixed rank 1,

010011 for following rank

000011 for fixed rank 1,

010011 for following rank

11111111

RI Restriction

N/A

N/A

N/A

00000010 for fixed Rank 2 and 00001111 for follow RI

Physical channel for CSI report

PUCCH

PUCCH

PUCCH

PUCCH

CQI/RI/PMI delay

ms

8

8

8

8

Maximum number of HARQ transmission

1

1

1

1

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

Note 1: Measurements channels are specified in Table A.4-2 and Table A.4-3. TBS.2-1 is used for Rank 1 case. TBS.2-2 is used for Rank 2 case. TBS.3-1 is used for Rank 3 case. TBS.3-2 is used for Rank 4 case.

Table 6.4.3.1_1.3-2: Minimum requirement (FDD)

Test 1

Test 2

Test 3

Test 4

1

N/A

1.05

0.9

N/A

2

0.9

N/A

N/A

0.9

The normative reference for this requirement is TS 38.101-4 [2] clause 6.4.3.1.

6.4.3.1_1.4 Test Description

6.4.3.1_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.

The initial test configurations consist of environmental conditions, test frequencies, test channel bandwidths and sub-carrier spacing based on NR operating bands specified in Table 5.3.5-1 of 38.521-1.

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

Test Environment: Normal as defined in TS 38.508 [6] clause 4.1.

Frequencies to be tested: Mid Range as defined in TS 38.508 [6] clause 5.2.2.

For EN-DC within FR1 operation, setup the LTE link according to Annex D

1. Connect the SS, the faders and AWGN noise source to the UE antenna connectors as shown in TS 38.508-1 [6] Annex A, in Figure A.3.1.7.4 or A.3.1.7.5 for TE diagram and section A.3.2.5 for UE diagram.

2. The parameter settings for the cell are set up according to Table 6.1.2-1, Table 6.4.3.1_1.3-1 as appropriate.

3. Downlink signals for NR cell are initially set up according to Annexes C.0, C.1, C.2, C.3.1 and uplink signals according to Annexes G.0, G.1, G.2, G.3.1 of TS 38.521-1 [7].

4. Propagation conditions for the NR cell are set according to Annex B.0.

5. Ensure the UE is in state RRC_CONNECTED with generic procedure parameters Connectivity NR, Connected without release On and Test Mode ON for SA or (EN-DC, DC bearer MCG and SCG, Connected without release On for NSA according to TS 38.508-1 [6] clause 4.5. Message contents are defined in clause 6.4.3.1_1.4.3.

6.4.3.1_1.4.2 Test procedure

1. Set the parameters of bandwidth, reference channel, the propagation condition, antenna configuration, antenna correlation, Codebook configuration, Beamforming Model, RI configuration and SNR according to Table 6.4.3.1_1.3-1 as appropriate.

2. The SS shall send PDSCH via PDCCH DCI format 1_1 for C_RNTI to transmit the DL RMC according to the UE reported CQI (wideband CQI), PMI and fixed RI as defined in Table 6.4.3.1_1.3-1. The SS sends downlink MAC padding bits on the DL RMC. Measure theaccording to Annex G.3. 3.

3. Propagation conditions are set according to Annex B.2. 4

4. The SS shall transmit an RRC Connection Reconfiguration message to set codebookSubsetRestriction as for UE reported RI according to Table 6.4.3.1_1.3-1.

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

6. Propagation conditions are set according to Table 6.4.3.1_1.3-1.

7. The SS shall send PDSCH via PDCCH DCI format 1_1 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. Measure according to Annex G.3.3.
If the ratio ( / ) satisfies the requirement in Table 6.4.3.1_1.5-1, then pass the UE for this test and go to step 8. Otherwise, declare a FAIL verdict.

8. If all tests have not been done, then repeat the same procedure (steps 1 to 7) with test conditions according to the Table 6.4.3.1_1.3-2 for the other Tests as appropriate. Otherwise, declare a PASS verdict.

6.4.3.1_1.4.3 Message Contents

6.4.3.1_1.4.3.1 Message exceptions for SA

Table 6.4.3.1_1.4.3.1-1: CSI-ResourceConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-41

Information Element

Value/remark

Comment

Condition

CSI-ResourceConfig ::= SEQUENCE {

resourceType

periodic

}

Table 6.4.3.1_1.4.3.1-2: CSI-RS-ResourceMapping for NZP-CSI-RS

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-45

Information Element

Value/remark

Comment

Condition

CSI-RS-ResourceMapping ::= SEQUENCE {

frequencyDomainAllocation CHOICE {

other

001000

row3, k0=6 for test 1,2,3

row 4

001

row4, k0=0 for test 4

}

nrofPorts

p2

Test 1,2,3

p4

Test 4

firstOFDMSymbolInTimeDomain

13

}

Table 6.4.3.1_1.4.3.1-3: CSI-RS-ResourceMapping for ZP-CSI-RS

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-45

Information Element

Value/remark

Comment

Condition

CSI-RS-ResourceMapping ::= SEQUENCE {

frequencyDomainAllocation CHOICE {

other

000100

row5, k0=4

}

nrofPorts

p4

firstOFDMSymbolInTimeDomain

9

}

Table 6.4.3.1_1.4.3.1-4: CSI-IM-Resource

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-34

Information Element

Value/remark

Comment

Condition

csi-IM-ResourceElementPattern

pattern0 SEQUENCE {

subcarrierLocation-p0

s4

symbolLocation-p0

9

}

periodicityAndOffset

CSI-ResourcePeriodicityAndOffset

Table 6.4.3.1_1.4.3.1-5: CSI-ResourcePeriodicityAndOffset

Derivation Path: TS 38.508-1 [6], clause 4.6.2, Table 4.6.3-43

Information Element

Value/remark

Comment

Condition

CSI-ResourcePeriodicityAndOffset CHOICE {

Slots5

1

}

Table 6.4.3.1_1.4.3.1-6: CodebookConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.2, Table 4.6.3-25

Information Element

Value/remark

Comment

Condition

nrOfAntennaPorts CHOICE {

Two SEQUENCE {

twoTX-CodebookSubsetRestriction

010000

Fixed rank 2

000011

Fixed rank 1

010011

Following rank for test 1,2,3

11111111

Test 4

}

}

}

typeI-SinglePanel-ri-Restriction

11111111

Non restriction for test 1,2,3

00000010

For fixed Rank2 for test 4

00001111

For follow RI for test 4

Table 6.4.3.1_1.4.3.1-7: CSI-ReportConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-39

Information Element

Value/remark

Comment

Condition

reportConfigType CHOICE {

periodic SEQUENCE {

reportSlotConfig CHOICE {

slots5

slots5

0

}

pucch-CSI-ResourceList

8

PUCCH format Id=8

}

reportFreqConfiguration SEQUENCE {

csi-ReportingBand CHOICE {

subbands7

1111111

}

}

}

6.4.3.1_1.4.3.2 Message exceptions for NSA

Same as in clause 6.4.3.1_1.4.3.1.

6.4.3.1_1.5 Test Requirements

Table 6.4.3.1_1.5-1: Minimum requirement (FDD)

Test 1

Test 2

Test 3

Test 4

1

N/A

1.04

0.89

N/A

2

0.89

N/A

N/A

0.89

6.4.3.2 TDD

6.4.3.2_1 4Rx TDD FR1 RI reporting for both SA and NSA

6.4.3.2_1.1 Test Purpose

The purpose of this test is to verify that the reported rank indicator accurately represents the channel rank. The accuracy of RI 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.

6.4.3.2_1.2 Test applicability

This test applies to all types of NR UE release 15 and forward supporting 4 Rx antenna ports.

This test also applies to all types of EUTRA UE release 15 and forward supporting EN-DC and 4 Rx antenna ports.

6.4.3.2_1.3 Minimum Conformance Requirements

The minimum performance requirement in Table 6.4.3.2_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 6.4.3.2_1.3-1, and using the downlink physical channels specified in Annex C.3.1, the minimum requirements are specified in Table 6.4.3.2_1.3-2.

Table 6.4.3.2_1.3-1: RI Test (TDD)

Parameter

Unit

Test 1

Test 2

Test 3

Test 4

Bandwidth

MHz

40

40

40

40

Subcarrier spacing

kHz

30

30

30

30

Duplex Mode

TDD

TDD

TDD

TDD

TDD Slot Configuration

FR1.30-1

FR1.30-1

FR1.30-1

FR1.30-1

SNR

dB

-2

16

16

22

Propagation channel

TDLA30-5

TDLA30-5

TDLA30-5

TDLA30-5

Antenna configuration

ULA Low 2×4

ULA Low 2×4

ULA High 2×4

ULA Low 4×4

Beamforming Model

As defined in Annex B.4.1

As defined in Annex B.4.1

As defined in Annex B.4.1

As defined in Annex B.4.1

ZP CSI-RS configuration

CSI-RS resource Type

Periodic

Periodic

Periodic

Periodic

Number of CSI-RS ports (X)

4

4

4

4

CDM Type

FD-CDM2

FD-CDM2

FD-CDM2

FD-CDM2

Density (ρ)

1

1

1

1

First subcarrier index in the PRB used for CSI-RS (k0)

Row 5, (4)

Row 5, (4)

Row 5, (4)

Row 5, (4)

First OFDM symbol in the PRB used for CSI-RS (l0)

(9)

(9)

(9)

(9)

CSI-RS

periodicity and offset

slot

10/1

10/1

10/1

10/1

NZP CSI-RS for CSI acquisition

CSI-RS resource Type

Periodic

Periodic

Periodic

Periodic

Number of CSI-RS ports (X)

2

2

2

4

CDM Type

FD-CDM2

FD-CDM2

FD-CDM2

FD-CDM2

Density (ρ)

1

1

1

1

First subcarrier index in the PRB used for CSI-RS (k0)

Row 3 (6)

Row 3 (6)

Row 3 (6)

Row 4 (0)

First OFDM symbol in the PRB used for CSI-RS (l0)

(13)

(13)

(13)

(13)

NZP CSI-RS-timeConfig

periodicity and offset

slot

10/1

10/1

10/1

10/1

CSI-IM configuration

CSI-IM resource Type

Periodic

Periodic

Periodic

Periodic

CSI-IM RE pattern

Pattern 0

Pattern 0

Pattern 0

Pattern 0

CSI-IM Resource Mapping

(kCSI-IM,lCSI-IM)

(4,9)

(4,9)

(4,9)

(4,9)

CSI-IM timeConfig

periodicity and offset

slot

10/1

10/1

10/1

10/1

ReportConfigType

Periodic

Periodic

Periodic

Periodic

CQI-table

Table 2

Table 2

Table 2

Table 2

reportQuantity

cri-RI-PMI-CQI

cri-RI-PMI-CQI

cri-RI-PMI-CQI

cri-RI-PMI-CQI

timeRestrictionForChannelMeasurements

not configured

not configured

not configured

not configured

timeRestrictionForInterferenceMeasurements

not configured

not configured

not configured

not configured

cqi-FormatIndicator

Wideband

Wideband

Wideband

Wideband

pmi-FormatIndicator

Wideband

Wideband

Wideband

Wideband

Sub-band Size

RB

16

16

16

16

csi-ReportingBand

1111111

1111111

1111111

1111111

CSI-Report periodicity and offset

slot

10/9

10/9

10/9

10/9

Codebook configuration

Codebook Type

typeI-SinglePanel

typeI-SinglePanel

typeI-SinglePanel

typeI-SinglePanel

Codebook Mode

1

1

1

1

(CodebookConfig-N1,CodebookConfig-N2)

N/A

N/A

N/A

(2,1)

CodebookSubsetRestriction

010000 for fixed rank 2,

010011 for following rank

000011 for fixed rank 1,

010011 for following rank

000011 for fixed rank 1,

010011 for following rank

11111111

RI Restriction

N/A

N/A

N/A

00000010 for fixed Rank 2 and 00001111 for follow RI

Physical channel for CSI report

PUCCH

PUCCH

PUCCH

PUCCH

CQI/RI/PMI delay

ms

9.5

9.5

9.5

9.5

Maximum number of HARQ transmission

1

1

1

1

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

Note 1: Measurements channels are specified in Table A.4-2 and Table A.4-3. TBS.2-3 is used for Rank 1 case. TBS.2-4 is used for Rank 2 case. TBS.3-3 is used for Rank 3 case. TBS.3-4 is used for Rank 4 case.

Table 6.4.3.2_1.3-2: Minimum requirement (TDD)

Test 1

Test 2

Test 3

Test 4

1

N/A

1.05

0.9

N/A

2

0.9

N/A

N/A

0.9

The normative reference for this requirement is TS 38.101-4 [2] clause 6.4.3.2.

6.4.3.2_1.4 Test Description

6.4.3.2_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.

The initial test configurations consist of environmental conditions, test frequencies, test channel bandwidths and sub-carrier spacing based on NR operating bands specified in Table 5.3.5-1 of 38.521-1[7].

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

Test Environment: Normal as defined in TS 38.508-1 [6] clause 4.1.

Frequencies to be tested: Mid Range as defined in TS 38.508-1 [6] clause 5.2.2.

For EN-DC within FR1 operation, setup the LTE link according to Annex D

1. Connect the SS, the faders and AWGN noise source to the UE antenna connectors as shown in TS 38.508-1 [6] Annex A, in Figure A.3.1.7 for TE diagram and section A.3.2.5 for UE diagram.

2. The parameter settings for the cell are set up according to Table 6.1.2-1 and Table 6.4.3.2_1.3-1 as appropriate.

3. Downlink signals for NR cell are initially set up according to Annexes C.0, C.1, C.2, C.3.1 and uplink signals according to Annexes G.0, G.1, G.2, G.3.1 of TS 38.521-1 [7].

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

5. Ensure the UE is in state RRC_CONNECTED with generic procedure parameters Connectivity NR, Connected without release On and Test Mode ON for SA or EN-DC, DC bearer MCG and SCG, Connected without release On and Test Mode ON for NSA according to TS 38.508-1 [6] clause 4.5. Message contents are defined in clause 6.4.3.2_1.4.3.

6.4.3.2_1.4.2 Test procedure

1. Set the parameters of bandwidth, reference channel, the propagation condition, antenna configuration, antenna correlation, Codebook configuration, Beamforming Model, RI configuration and SNR according to Table 6.4.3.2_1.3-1 as appropriate.

2. The SS shall send PDSCH via PDCCH DCI format 1_1 for C_RNTI to transmit the DL RMC according to the UE reported CQI (wideband CQI), PMI and fixed RI as defined in Table 6.4.3.2_1.3-1. The SS sends downlink MAC padding bits on the DL RMC. Measure theaccording to Annex G.3.3.

3. Propagation conditions are set according to Annex B.2.

4. The SS shall transmit an RRC Connection Reconfiguration message to set codebookSubsetRestriction as for UE reported RI according to Table 6.4.3.2_1.3-1.

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

6. Propagation conditions are set according to Table 6.4.3.2_1.3-1.

7. The SS shall send PDSCH via PDCCH DCI format 1_1 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. Measure according to Annex G.3.3.

If the ratio ( / ) satisfies the requirement in Table 6.4.3.2_1.5-1, then pass the UE for this test and go to step 8. Otherwise, declare a FAIL verdict.

8. If all tests have not been done, then repeat the same procedure (steps 1 to 7) with test conditions according to the Table 6.4.3.2_1.3-2 for the other Tests as appropriate. Otherwise, declare a PASS verdict.

6.4.3.2_1.4.3 Message Contents

Message contents are according to TS 38.508-1 [6] clause 4.6 with the following exceptions:

Table 6.4.3.2_1.4.3-1: CSI-RS-ResourceMapping for NZP-CSI-RS

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-45

Information Element

Value/remark

Comment

Condition

CSI-RS-ResourceMapping ::= SEQUENCE {

frequencyDomainAllocation CHOICE {

other

001000

Test1, 2, 3

row4

001

Test4

}

nrofPorts

p2

Test1, 2, 3

p4

Test4

firstOFDMSymbolInTimeDomain

13

}

Table 6.4.3.2_1.4.3-2: CSI-RS-ResourceMapping for ZP-CSI-RS

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-45

Information Element

Value/remark

Comment

Condition

CSI-RS-ResourceMapping ::= SEQUENCE {

frequencyDomainAllocation CHOICE {

other

000100

}

nrofPorts

p4

firstOFDMSymbolInTimeDomain

9

}

Table 6.4.3.2_1.4.3-3: CSI-IM-Resource

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-34

Information Element

Value/remark

Comment

Condition

csi-IM-ResourceElementPattern

pattern0 SEQUENCE {

subcarrierLocation-p0

s4

symbolLocation-p0

9

}

periodicityAndOffset

CSI-ResourcePeriodicityAndOffset

Table 6.4.3.2_1.4.3-4: CSI-ResourcePeriodicityAndOffset

Derivation Path: TS 38.508-1 [6], clause 4.6.2, Table 4.6.3-43

Information Element

Value/remark

Comment

Condition

CSI-ResourcePeriodicityAndOffset CHOICE {

slots10

1

}

Table 6.4.3.2_1.4.3-5: CodebookConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.2, Table 4.6.3-25

Information Element

Value/remark

Comment

Condition

nrOfAntennaPorts CHOICE {

two SEQUENCE {

twoTX-CodebookSubsetRestriction

010000

Fixed rank 2

000011

Fixed rank 1

010011

Following rank

}

}

typeI-SinglePanel-ri-Restriction

11111111

Table 6.4.3.2_1.4.3-6: CSI-ReportConfig

Derivation Path: TS 38.508-1 [6], clause 4.6.3, Table 4.6.3-39

Information Element

Value/remark

Comment

Condition

CSI-ReportConfig ::= SEQUENCE {

reportConfigType CHOICE {

periodic SEQUENCE {

reportSlotConfig CHOICE {

slot10

slot10

9

}

}

}

reportFreqConfiguration SEQUENCE {

csi-ReportingBand CHOICE {

subbands7

1111111

}

}

}

6.4.3.2_1.5 Test Requirements

Table 6.4.3.2_1.5-1: Test Requirement (TDD)

Test 1

Test 2

Test 3

Test 4

1

N/A

1.04

0.89

N/A

2

0.89

N/A

N/A

0.89