3GPP TS 36.213 V12.3.0 (2014-09)
`
`Technical Specification
`
`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`Evolved Universal Terrestrial Radio Access (E-UTRA);
`Physical layer procedures
`(Release 12)
`
`The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP.
`The present document has not been subject to any approval process by the 3GPP Organisational Partners and shall not be implemented.
`
`This Specification is provided for future development work within 3GPP only. The Organisational Partners accept no liability for any use of this Specification.
`Specifications and reports for implementation of the 3GPP TM system should be obtained via the 3GPP Organisational Partners' Publications Offices.
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`Keywords
`UMTS, rad o, ayer 1
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`3GPP
`
`Postal address
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`3GPP support office address
`650 Route des Luc o es – Soph a Ant po s
`Va bonne – France
`Te .: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
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`Internet
`http://www.3gpp.org
`
`Copyright Notification
`
`No part may be reproduced except as authorized by written permission.
`The copyright and the foregoing restriction extend to reproduction in all media.
`
`© 2014, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TTA, TTC).
`All rights reserved.
`
`UMTS™ is a Trade Mark of ETSI registered for the benefit of its members
`3GPP™ is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners
`LTE™ is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners
`GSM® and the GSM logo are registered and owned by the GSM Association
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`Contents
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`Foreword ............................................................................................................................................................. 6
`1
`Scope ........................................................................................................................................................ 7
`2
`References ................................................................................................................................................ 7
`3
`Symbols and abbreviations ....................................................................................................................... 8
`3.1
`Symbols ............................................................................................................................................................... 8
`3.2
`Abbreviations ...................................................................................................................................................... 8
`4
`Synchronization procedures ................................................................................................................... 10
`4.1
`Cell search ......................................................................................................................................................... 10
`4.2
`Timing synchronization .................................................................................................................................... 10
`4.2.1
`Radio link monitoring ................................................................................................................................. 10
`4.2.2
`Inter-cell synchronization ............................................................................................................................ 10
`4.2.3
`Transmission timing adjustments ................................................................................................................ 10
`4.3
`Timing for Secondary Cell Activation / Deactivation ...................................................................................... 11
`5
`Power control ......................................................................................................................................... 12
`5.1
`Uplink power control ........................................................................................................................................ 12
`5.1.1
`Physical uplink shared channel ................................................................................................................... 12
`5.1.1.1
`UE behaviour ......................................................................................................................................... 12
`5.1.1.2
`Power headroom .................................................................................................................................... 19
`5.1.2
`Physical uplink control channel .................................................................................................................. 21
`5.1.2.1
`UE behaviour ......................................................................................................................................... 21
`5.1.3
`Sounding Reference Symbol (SRS) ............................................................................................................ 24
`5.1.3.1
`UE behaviour ......................................................................................................................................... 24
`5.2
`Downlink power allocation ............................................................................................................................... 25
`5.2.1
`eNodeB Relative Narrowband TX Power (RNTP) restrictions .................................................................. 26
`6
`Random access procedure ...................................................................................................................... 28
`6.1
`Physical non-synchronized random access procedure ...................................................................................... 28
`6.1.1
`Timing ......................................................................................................................................................... 28
`6.2
`Random Access Response Grant ...................................................................................................................... 29
`7
`Physical downlink shared channel related procedures ........................................................................... 31
`7.1
`UE procedure for receiving the physical downlink shared channel .................................................................. 31
`7.1.1
`Single-antenna port scheme ......................................................................................................................... 39
`7.1.2
`Transmit diversity scheme ........................................................................................................................... 40
`7.1.3
`Large delay CDD scheme ............................................................................................................................ 40
`7.1.4
`Closed-loop spatial multiplexing scheme .................................................................................................... 40
`7.1.5
`Multi-user MIMO scheme ........................................................................................................................... 40
`7.1.5A
`Dual layer scheme ....................................................................................................................................... 40
`7.1.5B
`Up to 8 layer transmission scheme .............................................................................................................. 40
`7.1.6
`Resource allocation ..................................................................................................................................... 40
`7.1.6.1
`Resource allocation type 0 ..................................................................................................................... 41
`7.1.6.2
`Resource allocation type 1 ..................................................................................................................... 41
`7.1.6.3
`Resource allocation type 2 ..................................................................................................................... 42
`7.1.6.4
`PDSCH starting position ........................................................................................................................ 43
`7.1.6.5
`Physical Resource Block (PRB) bundling ............................................................................................. 45
`7.1.7
`Modulation order and transport block size determination ........................................................................... 46
`7.1.7.1
`Modulation order determination ............................................................................................................ 46
`7.1.7.2
`Transport block size determination ....................................................................................................... 48
`7.1.7.2.1
`Transport blocks not mapped to two or more layer spatial multiplexing ........................................ 49
`7.1.7.2.2
`Transport blocks mapped to two-layer spatial multiplexing ............................................................ 56
`7.1.7.2.3
`Transport blocks mapped for DCI Format 1C ................................................................................. 56
`7.1.7.2.4
`Transport blocks mapped to three-layer spatial multiplexing .......................................................... 57
`7.1.7.2.5
`Transport blocks mapped to four-layer spatial multiplexing ........................................................... 58
`7.1.7.3
`Redundancy Version determination for Format 1C ............................................................................... 58
`7.1.8
`Storing soft channel bits .............................................................................................................................. 59
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`7.1.9
`7.1.10
`7.2
`7.2.1
`7.2.2
`7.2.3
`7.2.4
`7.2.5
`7.2.6
`7.2.7
`7.3
`7.3.1
`7.3.2
`7.3.2.1
`7.3.2.2
`7.3.3
`7.3.4
`8
`8.0
`8.0.1
`8.0.2
`8.1
`8.1.1
`8.1.2
`8.2
`8.3
`8.4
`8.4.1
`8.4.2
`8.5
`8.6
`8.6.1
`8.6.2
`8.6.3
`8.7
`9
`9.1
`9.1.1
`9.1.2
`9.1.3
`9.1.4
`9.1.4.1
`9.1.4.2
`9.1.4.3
`9.1.4.4
`9.2
`9.3
`10
`10.1
`10.1.1
`10.1.2
`10.1.2.1
`10.1.2.2
`10.1.2.2.1
`10.1.2.2.2
`10.1.3
`10.1.3.1
`10.1.3.2
`10.1.3.2.1
`10.1.3.2.2
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`PDSCH resource mapping parameters ........................................................................................................ 59
`Antenna ports quasi co-location for PDSCH .............................................................................................. 60
`UE procedure for reporting Channel State Information (CSI) .......................................................................... 61
`Aperiodic CSI Reporting using PUSCH ..................................................................................................... 64
`Periodic CSI Reporting using PUCCH ....................................................................................................... 72
`Channel Quality Indicator (CQI) definition ................................................................................................ 89
`Precoding Matrix Indicator (PMI) definition .............................................................................................. 95
`Channel-State Information – Reference Signal (CSI-RS) definition ........................................................ 100
`Channel-State Information – Interference Measurement (CSI-IM) Resource definition .......................... 101
`Zero Power CSI-RS Resource definition .................................................................................................. 101
`UE procedure for reporting HARQ-ACK ....................................................................................................... 102
`FDD HARQ-ACK reporting procedure .................................................................................................... 102
`TDD HARQ-ACK reporting procedure .................................................................................................... 102
`TDD HARQ-ACK reporting procedure for same UL/DL configuration ............................................ 103
`TDD HARQ-ACK reporting procedure for different UL/DL configurations ..................................... 109
`FDD-TDD HARQ-ACK reporting procedure for primary cell frame structure type 1 ............................ 113
`FDD-TDD HARQ-ACK reporting procedure for primary cell frame structure type 2 ............................ 113
`Physical uplink shared channel related procedures .............................................................................. 114
`UE procedure for transmitting the physical uplink shared channel ................................................................ 114
`Single-antenna port scheme ....................................................................................................................... 120
`Closed-loop spatial multiplexing scheme .................................................................................................. 120
`Resource allocation for PDCCH/EPDCCH with uplink DCI format ............................................................. 121
`Uplink resource allocation type 0 ........................................................................................................ 121
`Uplink resource allocation type 1 ........................................................................................................ 121
`UE sounding procedure ................................................................................................................................... 122
`UE HARQ-ACK procedure ............................................................................................................................ 128
`UE PUSCH hopping procedure ...................................................................................................................... 130
`Type 1 PUSCH hopping ............................................................................................................................ 131
`Type 2 PUSCH hopping ............................................................................................................................ 131
`UE Reference Symbol (RS) procedure ........................................................................................................... 131
`Modulation order, redundancy version and transport block size determination ............................................. 132
`Modulation order and redundancy version determination ........................................................................ 132
`Transport block size determination ........................................................................................................... 133
`Control information MCS offset determination ........................................................................................ 135
`UE transmit antenna selection ......................................................................................................................... 138
`Physical downlink control channel procedures .................................................................................... 139
`UE procedure for determining physical downlink control channel assignment ............................................. 139
`PDCCH assignment procedure .................................................................................................................. 139
`PHICH assignment procedure ................................................................................................................... 141
`Control Format Indicator (CFI) assignment procedure ............................................................................. 143
`EPDCCH assignment procedure ............................................................................................................... 143
`EPDCCH starting position ................................................................................................................... 149
`Antenna ports quasi co-location for EPDCCH .................................................................................... 149
`Resource mapping parameters for EPDCCH ...................................................................................... 150
`PRB-pair indication for EPDCCH ....................................................................................................... 150
`PDCCH/EPDCCH validation for semi-persistent scheduling ........................................................................ 151
`PDCCH/EPDCCH control information procedure ......................................................................................... 152
`Physical uplink control channel procedures ......................................................................................... 153
`UE procedure for determining physical uplink control channel assignment .................................................. 153
`PUCCH format information ...................................................................................................................... 155
`FDD HARQ-ACK feedback procedures ................................................................................................... 157
`FDD HARQ-ACK procedure for one configured serving cell ............................................................ 157
`FDD HARQ-ACK procedures for more than one configured serving cell ......................................... 158
`PUCCH format 1b with channel selection HARQ-ACK procedure .............................................. 159
`PUCCH format 3 HARQ-ACK procedure ..................................................................................... 162
`TDD HARQ-ACK feedback procedures ................................................................................................... 164
`TDD HARQ-ACK procedure for one configured serving cell ............................................................ 165
`TDD HARQ-ACK procedure for more than one configured serving cell ........................................... 175
`PUCCH format 1b with channel selection HARQ-ACK procedure .............................................. 175
`PUCCH format 3 HARQ-ACK procedure ..................................................................................... 190
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`FDD-TDD HARQ-ACK feedback procedures for primary cell frame structure type 2 ........................... 196
`10.1.3A
`HARQ-ACK Repetition procedure ........................................................................................................... 197
`10.1.4
`Scheduling Request (SR) procedure .......................................................................................................... 199
`10.1.5
`Uplink HARQ-ACK timing ............................................................................................................................ 200
`10.2
`Physical Multicast Channel (PMCH) related procedures ..................................................................... 203
`11
`UE procedure for receiving the PMCH ........................................................................................................... 203
`11.1
`UE procedure for receiving MCCH change notification ................................................................................ 203
`11.2
`12 Assumptions independent of physical channel .................................................................................... 203
`13 Uplink/Downlink configuration determination procedure for Frame Structure Type 2 ...................... 203
`Annex A (informative):
`Change history ............................................................................................. 206
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`Foreword
`This Technical Specification (TS) has been produced by the 3rd Generation Partnership Project (3GPP).
`
`The contents of the present document are subject to continuing work within the TSG and may change following formal
`TSG approval. Should the TSG modify the contents of this present document, it will be re-released by the TSG with an
`identifying change of release date and an increase in version number as follows:
`
`Version x.y.z
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`where:
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`x
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`the first digit:
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`1 presented to TSG for information;
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`2 presented to TSG for approval;
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`3 or greater indicates TSG approved document under change control.
`
`y
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`the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
`updates, etc.
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`z
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`the third digit is incremented when editorial only changes have been incorporated in the document.
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`Scope
`1
`The present document specifies and establishes the characteristics of the physicals layer procedures in the FDD and
`TDD modes of E-UTRA.
`
`References
`2
`The following documents contain provisions which, through reference in this text, constitute provisions of the present
`document.
`
`• References are either specific (identified by date of publication, edition number, version number, etc.) or
`non-specific.
`
`• For a specific reference, subsequent revisions do not apply.
`
`• For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document
`(including a GSM document), a non-specific reference implicitly refers to the latest version of that document in
`the same Release as the present document.
`
`[1]
`
`[2]
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`[3]
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`[4]
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`[5]
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`[6]
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`[7]
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`[8]
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`[9]
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`[10]
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`[11]
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`[12]
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`3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
`
`3GPP TS 36.201: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical Layer –
`General Description".
`
`3GPP TS 36.211: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical channels and
`modulation".
`
`3GPP TS 36.212: "Evolved Universal Terrestrial Radio Access (E-UTRA); Multiplexing and
`channel coding".
`
`3GPP TS 36.214: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer –
`Measurements".
`
`3GPP TS 36.101: "Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE)
`radio transmission and reception".
`
`3GPP TS 36.104: "Evolved Universal Terrestrial Radio Access (E-UTRA); Base Station (BS)
`radio transmission and reception".
`
`3GPP TS 36.321, "Evolved Universal Terrestrial Radio Access (E-UTRA); Medium Access
`Control (MAC) protocol specification".
`
`3GPP TS 36.423, "Evolved Universal Terrestrial Radio Access (E-UTRA); X2 Application
`Protocol (X2AP)".
`
`3GPP TS 36.133, "Evolved Universal Terrestrial Radio Access (E-UTRA); Requirements for
`support of radio resource management".
`
`3GPP TS 36.331, "Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Resource
`Control (RRC) protocol specification".
`
`3GPP TS 36.306: "Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE)
`radio access capabilities".
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`3
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`Symbols and abbreviations
`
`Symbols
`3.1
`For the purposes of the present document, the following symbols apply:
`
`fn
`
`sn
`
`DL
`cellsN
`DL
`
`RBN
`UL
`
`RBN
`UL
`N
`symb
`RB
`
`scN
`
`
`
`
`
`sT
`
`
`
`
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` System frame number as defined in [3]
` Slot number within a radio frame as defined in [3]
`Number of configured cells
`RB
`as defined in [3]
`Downlink bandwidth configuration, expressed in units of
`scN
`RB
`as defined in [3]
`Uplink bandwidth configuration, expressed in units of
`scN
`Number of SC-FDMA symbols in an uplink slot as defined in [3]
`Resource block size in the frequency domain, expressed as a number of subcarriers as defined in
`[3]
`Basic time unit as defined in [3]
`
`Abbreviations
`3.2
`For the purposes of the present document, the abbreviations given in TR 21.905 [1] and the following apply.
`An abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any,
`in TR 21.905 [1].
`
`ACK
`BCH
`CCE
`CDD
`CIF
`CQI
`CRC
`CSI
`CSI-IM
`DAI
`DCI
`DL
`DL-SCH
`DTX
`EPDCCH
`EPRE
`MCS
`NACK
`PBCH
`PCFICH
`PDCCH
`PDSCH
`PHICH
`PMCH
`PMI
`PRACH
`PRS
`PRB
`PUCCH
`PUSCH
`PTI
`RBG
`
`Acknowledgement
`Broadcast Channel
`Control Channel Element
`Cyclic Delay Diversity
`Carrier Indicator Field
`Channel Quality Indicator
`Cyclic Redundancy Check
`Channel State Information
`CSI-interference measurement
`Downlink Assignment Index
`Downlink Control Information
`Downlink
`Downlink Shared Channel
`Discontinuous Transmission
`Enhanced Physical Downlink Control Channel
`Energy Per Resource Element
`Modulation and Coding Scheme
`Negative Acknowledgement
`Physical Broadcast Channel
`Physical Control Format Indicator Channel
`Physical Downlink Control Channel
`Physical Downlink Shared Channel
`Physical Hybrid ARQ Indicator Channel
`Physical Multicast Channel
`Precoding Matrix Indicator
`Physical Random Access Channel
`Positioning Reference Signal
`Physical Resource Block
`Physical Uplink Control Channel
`Physical Uplink Shared Channel
`Precoding Type Indicator
`Resource Block Group
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`RE
`RI
`RS
`SINR
`SPS C-RNTI
`SR
`SRS
`TAG
`TBS
`UCI
`UE
`UL
`UL-SCH
`VRB
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`Resource Element
`Rank Indication
`Reference Signal
`Signal to Interference plus Noise Ratio
`Semi-Persistent Scheduling C-RNTI
`Scheduling Request
`Sounding Reference Symbol
`Timing Advance Group
`Transport Block Size
`Uplink Control Information
`User Equipment
`Uplink
`Uplink Shared Channel
`Virtual Resource Block
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`4
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`Synchronization procedures
`
`Cell search
`4.1
`Cell search is the procedure by which a UE acquires time and frequency synchronization with a cell and detects the
`physical layer Cell ID of that cell. E-UTRA cell search supports a scalable overall transmission bandwidth
`corresponding to 6 resource blocks and upwards.
`
`The following signals are transmitted in the downlink to facilitate cell search: the primary and secondary
`synchronization signals.
`
`A UE may assume the antenna ports 0 – 3 and the antenna port for the primary/secondary synchronization signals of a
`serving cell are quasi co-located (as defined in [3]) with respect to Doppler shift and average delay.
`
`4.2
`
`Timing synchronization
`
`Radio link monitoring
`4.2.1
`The downlink radio link quality of the primary cell shall be monitored by the UE for the purpose of indicating out-of-
`sync/in-sync status to higher layers.
`
`In non-DRX mode operation, the physical layer in the UE shall every radio frame assess the radio link quality,
`evaluated over the previous time period defined in [10], against thresholds (Qout and Qin) defined by relevant tests in
`[10].
`
`In DRX mode operation, the physical layer in the UE shall at least once every DRX period assess the radio link quality,
`evaluated over the previous time period defined in [10], against thresholds (Qout and Qin) defined by relevant tests in
`[10].
`
`If higher-layer signalling indicates certain subframes for restricted radio link monitoring, the radio link quality shall not
`be monitored in any subframe other than those indicated.
`
`The physical layer in the UE shall in radio frames where the radio link quality is assessed indicate out-of-sync to higher
`layers when the radio link quality is worse than the threshold Qout. When the radio link quality is better than the
`threshold Qin, the physical layer in the UE shall in radio frames where the radio link quality is assessed indicate in-sync
`to higher layers.
`
`Inter-cell synchronization
`4.2.2
`No functionality is specified in this subclause in this release.
`
`Transmission timing adjustments
`4.2.3
`Upon reception of a timing advance command for a TAG containing the primary cell, the UE shall adjust uplink
`transmission timing for PUCCH/PUSCH/SRS of the primary cell based on the received timing advance command.
`The UL transmission timing for PUSCH/SRS of a secondary cell is the same as the primary cell if the secondary cell
`and the primary cell belong to the same TAG.
`
`Upon reception of a timing advance command for a TAG not containing the primary cell, if all the serving cells in the
`TAG have the same frame structure type, the UE shall adjust uplink transmission timing for PUSCH/SRS of all the
`secondary cells in the TAG based on the received timing advance command where the UL transmission timing for
`PUSCH /SRS is the same for all the secondary cells in the TAG.
`
`Upon reception of a timing advance command for a TAG not containing the primary cell, if a serving cell in the TAG
`has a different frame structure type compared to the frame structure type of another serving cell in the same TAG, the
`UE shall adjust uplink transmission timing for PUSCH/SRS of all the secondary cells in the TAG by using NTAoffset =
`624 regardless of the frame structure type of the serving cells and based on the received timing advance command
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`where the UL transmission timing for PUSCH /SRS is the same for all the secondary cells in the TAG. NTAoffset is
`described in [3].
`
`The timing advance command for a TAG indicates the change of the uplink timing relative to the current uplink timing
`for the TAG as multiples of 16
`. The start timing of the random access preamble is specified in [3].
`sT
`
`In case of random access response, an 11-bit timing advance command [8], TA, for a TAG indicates NTA values by index
`values of TA = 0, 1, 2, ..., 1282, where an amount of the time alignment for the TAG is given by NTA = TA ´16. NTA is
`defined in [3].
`
`In other cases, a 6-bit timing advance command [8], TA, for a TAG indicates adjustment of the current NTA value, NTA,old,
`to the new NTA value, NTA,new, by index values of TA = 0, 1, 2,..., 63, where NTA,new = NTA,old + (TA -31)´16. Here,
`adjustment of NTA value by a positive or a negative amount indicates advancing or delaying the uplink transmission
`timing for the TAG by a given amount respectively.
`
`For a timing advance command received on subframe n, the corresponding adjustment of the uplink transmission timing
`shall apply from the beginning of subframe n+6. For serving cells in the same TAG, when the UE's uplink
`PUCCH/PUSCH/SRS transmissions in subframe n and subframe n+1 are overlapped due to the timing adjustment, the
`UE shall complete transmission of subframe n and not transmit the overlapped part of subframe n+1.
`
`If the received downlink timing changes and is not compensated or is only partly compensated by the uplink timing
`adjustment without timing advance command as specified in [10], the UE changes NTA accordingly.
`
`Timing for Secondary Cell Activation / Deactivation
`4.3
`When a UE receives an activation command [8] for a secondary cell in subframe n, the corresponding actions in [8]
`shall be applied no later than the minimum requirement defined in [10] and no earlier than subframe n+8, except for the
`following:
`
`-
`
`the actions related to CSI reporting
`
`- the actions related to the sCellDeactivationTimer associated with the secondary cell [8]
`
`which shall be applied in subframe n+8.
`
`When a UE receives a deactivation command [8] for a secondary cell or the sCellDeactivationTimer associated with the
`secondary cell expires in subframe n, the corresponding actions in [8] shall apply no later than the minimum
`requirement defined in [10], except for the actions related to CSI reporting which shall be applied in subframe n+8.
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`Power control
`5
`Downlink power control determines the Energy Per Resource Element (EPRE). The term Resource Element Energy
`denotes the energy prior to CP insertion. The term resource element energy also denotes the average energy taken over
`all constellation points for the modulation scheme applied. Uplink power control determines the average