10.1.1 PUCCH format information

36.2133GPPEvolved Universal Terrestrial Radio Access (E-UTRA)Physical layer proceduresRelease 16TS

Using the PUCCH formats defined in Clause 5.4.1, 5.4.2, 5.4.2A, 5.4.2B, 5.4.2C, 5.4A.2, 5.4A.3, and 5.4A.4 in [3], the following combinations of UCI on PUCCH are supported:

– Format 1a for 1-bit HARQ-ACK or in case of FDD or FDD-TDD primary cell frame structure type 1 for 1-bit HARQ-ACK with positive SR.

– Format 1b for 2-bit HARQ-ACK or for 2-bit HARQ-ACK with positive SR.

– Format 1b for up to 4-bit HARQ-ACK with channel selection when the UE is configured with more than one serving cell or, in the case of TDD, when the UE is configured with a single serving cell.

– Format 1 for positive SR.

– Format 2 for a CSI report when not multiplexed with HARQ-ACK.

– Format 2a for a CSI report multiplexed with 1-bit HARQ-ACK for normal cyclic prefix.

– Format 2b for a CSI report multiplexed with 2-bit HARQ-ACK for normal cyclic prefix.

– Format 2 for a CSI report multiplexed with HARQ-ACK for extended cyclic prefix.

– For subframe-PUCCH, format 3 for up to 10-bit HARQ-ACK for FDD or FDD-TDD primary cell frame structure type 1 and for up to 20-bit HARQ-ACK for TDD and for up to 21 bit HARQ-ACK for FDD-TDD primary cell frame structure type 2.

– For subframe-PUCCH, format 3 for up to 11-bit corresponding to 10-bit HARQ-ACK and 1-bit positive/negative SR for FDD or FDD-TDD and for up to 21-bit corresponding to 20-bit HARQ-ACK and 1-bit positive/negative SR for TDD and for up to 22-bit corresponding to 21-bit HARQ-ACK and 1-bit positive/negative SR for FDD-TDD primary cell frame structure type 2.

– For subframe-PUCCH, format 3 for HARQ-ACK, 1-bit positive/negative SR (if any) and CSI report(s).

– For subframe-PUCCH, format 3 for up to 22 bits of UCI including HARQ-ACK, SR (if any) and periodic CSI report(s) (if any) for UE configured with Format 4 or Format 5 or for UE configured with more than 5 serving cells..

– For slot-PUCCH, Format 3 for up to 11-bits of UCI including HARQ-ACK, SR.

– For subframe-PUCCH, format 4 for more than 22 bits of UCI including HARQ-ACK, SR (if any) and periodic CSI report(s) (if any).

– For slot-PUCCH, Format 4 for more than 11 bits of UCI including HARQ-ACK, SR (if any) for UE configured with slot-PUCCH format 3

– For slot-PUCCH, Format 4 for more than 2 bits of UCI including HARQ-ACK, SR (if any) for UE not configured with slot-PUCCH format 3

– For subslot-PUCCH, Format 4 for more than 3 bits of UCI including HARQ-ACK, SR (if any)

– For subframe-PUCCH, format 5 for more than 22 bits of UCI including HARQ-ACK, SR (if any) and periodic CSI report(s) (if any).

– For subframe-PUCCH, format 4 for more than one CSI report, SR (if any) and HARQ-ACK corresponding to PDSCH transmission only on the primary cell (if any).

– For subframe-PUCCH, format 5 for more than one CSI report, SR (if any) and HARQ-ACK corresponding to PDSCH transmission only on the primary cell (if any).

For slot-PUCCH only PUCCH formats 1/1a/1b, 3, 4 are supported. For subslot-PUCCH only PUCCH formats 1/1a/1b, and 4 are supported.

For a UE configured with PUCCH format 3, not configured with PUCCH format 4/5, and for HARQ-ACK transmission on PUSCH or using PUCCH format 3, or for a UE configured with two serving cells and PUCCH format 1b with channel selection and HARQ-ACK transmission on PUSCH, or for a non BL/CE UE configured with one serving cell and PUCCH format 1b with channel selection according to Tables 10.1.3-5, 10.1.3-6, 10.1.3-7 and HARQ-ACK transmission on PUSCH or for a UE configured with PUCCH format 4/5 and HARQ-ACK transmission on PUSCH or using PUCCH format 3/4/5:

– for subframe-PDSCH, if the configured downlink transmission mode for a serving cell supports up to 2 transport blocks and only one transport block is received in a subframe, the UE shall generate a NACK for the other transport block if spatial HARQ-ACK bundling is not applied.

– if neither PDSCH nor PDCCH/EPDCCH/SPDCCH indicating downlink SPS release is detected in a subframe/slot/subslot for a serving cell, the UE shall generate two NACKs when the configured downlink transmission mode supports up to 2 transport blocks and the UE shall generate a single NACK when the configured downlink transmission mode supports a single transport block.

For a UE configured with PUCCH format 4/5 and with a transmission mode supporting two transport blocks in at least one serving cell, the HARQ-ACK response for subframe-PDSCH, and for a serving cell configured with a transmission mode supporting one transport block is associated with the first codeword. The UE shall generate a NACK for the second codeword if spatial bundling is not applied, and shall generate the same HARQ-ACK response for the second codeword as that for the first codeword if spatial bundling is applied.

For a BL/CE UE configured with PUCCH format 1b with channel selection according to Tables 10.1.3-5, 10.1.3-6, 10.1.3-7, if neither PDSCH nor MPDCCH indicating downlink SPS release is detected in a subframe for a serving cell, the UE shall generate a single NACK.

The scrambling initialization of PUCCH format 2, 2a, 2b, 3, 4 and 5 is by C-RNTI.

For a non-BL/CE UE that is configured with a single serving cell and is not configured with PUCCH format 3, in case of collision between a periodic CSI report and an HARQ-ACK in a same subframe without PUSCH, the periodic CSI report is multiplexed with HARQ-ACK on PUCCH if the parameter simultaneousAckNackAndCQI provided by higher layers is set TRUE, otherwise the CSI is dropped.

A UE that is configured with PUCCH format 4/5 is not expected to be configured with different values for simultaneousAckNackAndCQI-Format3 and simultaneousAckNackAndCQI-Format4-Format5.

For a BL/CE UE,

– if both pucch-NumRepetitionCE-format1 and pucch-NumRepetitionCE-format2 equal 1, in case of collision among two or more of a periodic CSI report, an HARQ-ACK and a SR in a same subframe without PUSCH, the UE behavior follows that of a non-BL/CE UE.

– if at least one of pucch-NumRepetitionCE-format1 and pucch-NumRepetitionCE-format2 is larger than 1, in case of collision among two or more of a periodic CSI report, an HARQ-ACK, and a SR in a same subframe without PUSCH, the highest priority UCI is transmitted, where the priority of HARQ-ACK is higher than SR and the priority of SR is higher than periodic CSI report.

For TDD and for a UE that is configured with a single serving cell and with PUCCH format 3, in case of collision between a periodic CSI report and an HARQ-ACK in a same subframe without PUSCH, if the parameter simultaneousAckNackAndCQI provided by higher layers is set TRUE or if the parameter simultaneousAckNackAndCQI-Format3-r11 provided by higher layers is set TRUE, the periodic CSI report is multiplexed with HARQ-ACK or dropped as described in Clause 7.3, otherwise the CSI is dropped.

For FDD or for FDD-TDD and primary cell frame structure type 1 and for a UE that is configured with more than one serving cell and is not configured with PUCCH format 4/5, in case of collision between a periodic CSI report and an HARQ-ACK in a same subframe without PUSCH,

– if the parameter simultaneousAckNackAndCQI provided by higher layers is set TRUE and if the HARQ-ACK corresponds to a PDSCH transmission or PDCCH/EPDCCH indicating downlink SPS release only on the primary cell,

then the periodic CSI report is multiplexed with HARQ-ACK on PUCCH using PUCCH format 2/2a/2b

– else if the UE is configured with PUCCH format 3 and if the parameter simultaneousAckNackAndCQI-Format3-r11 provided by higher layers is set TRUE, and if PUCCH resource is determined according to Clause 10.1.2.2.2, and

– if the total number of bits in the subframe corresponding to HARQ-ACKs, SR (if any), and the CSI is not larger than 22 or

– if the total number of bits in the subframe corresponding to spatially bundled HARQ-ACKs, SR (if any), and the CSI is not larger than 22

then the periodic CSI report is multiplexed with HARQ-ACK on PUCCH using the determined PUCCH format 3 resource according to [4]

– otherwise,

CSI is dropped.

For FDD or for FDD-TDD and primary cell frame structure type 1, for a UE configured with PUCCH format 4 or PUCCH format 5, and if the UE has HARQ-ACK/SR and periodic CSI reports to transmit in a subframe,

– if a PUCCH format 3 is determined to transmit the HARQ-ACK/SR according to Clause 10.1.2.2.3 or 10.1.2.2.4, the UE shall use the determined PUCCH format 3 for transmission of the HARQ-ACK/SR and periodic CSI report(s) if the parameter simultaneousAckNackAndCQI-Format3-r11 provided by higher layers is set TRUE; otherwise, the UE shall drop the periodic CSI report(s) and transmit only HARQ-ACK/SR;

– if a PUCCH format 4 is determined to transmit the HARQ-ACK/SR according to Clause 10.1.2.2.3 or a PUCCH format 5 is determined to transmit the HARQ-ACK/SR according to 10.1.2.2.4, the UE shall used the determined PUCCH format 4 or PUCCH format 5 for transmission of the HARQ-ACK/SR and periodic CSI report(s) if the parameter simultaneousAckNackAndCQI-Format4-Format5-r13 provided by higher layers is set TRUE; otherwise, the UE shall drop the periodic CSI report(s) and transmit only HARQ-ACK/SR;

– if there is no PUCCH format 3 or 4 determined to transmit the HARQ-ACK/SR according to Clause 10.1.2.2.3 and there is no PUCCH format 3 or 5 determined to transmit the HARQ-ACK/SR according to Clause 10.1.2.2.4 and there are more than one periodic CSI report(s) in the subframe,

– if the parameter simultaneousAckNackAndCQI-Format4-Format5-r13 provided by higher layers is set TRUE and if the UE is configured with a single PUCCH format 4 resource according to higher layer parameter format4-MultiCSI-resourceConfiguration, the PUCCH format 4 resource is used for transmission of the HARQ-ACK/SR and periodic CSI report(s);

– if the parameter simultaneousAckNackAndCQI-Format4-Format5-r13 provided by higher layers is set TRUE and if the UE is configured with a PUCCH format 5 resource according to higher layer parameter format5-MultiCSI-resourceConfiguration, the PUCCH format 5 resource is used for transmission of the HARQ-ACK/SR and periodic CSI report(s);

– if the parameter simultaneousAckNackAndCQI-Format4-Format5-r13 provided by higher layers is set TRUE and if the UE is configured with two PUCCH format 4 resources and according to higher layer parameter format4-MultiCSI-resourceConfiguration, if , the PUCCH format 4 resource with the smaller between and is used for transmission of the HARQ-ACK/SR and periodic CSI report(s); otherwise, the PUCCH format 4 resource with the larger between and is used for transmission of the HARQ-ACK/SR and periodic CSI report(s), where

is the total number of HARQ-ACK bits in the subframe;

if there no scheduling request bit in the subframe and otherwise

is the total number of CSI report bits in the subframe;

is the number of CRC bits;

, , is the number of PRBs for and respectively, according to higher layer parameter numberOfPRB-format4-r13 according to Table 10.1.1-2;

if shortened PUCCH format 4 is used in the subframe and otherwise; and

is the code rate given by higher layer parameter maximumPayloadCoderate-r13 according to Table 10.1.1-1;

– otherwise, the UE shall drop the periodic CSI report(s) and transmit only HARQ-ACK/SR;

– if there is no PUCCH format 3 or 4 determined to transmit the HARQ-ACK/SR according to Clause 10.1.2.2.3 and there is no PUCCH format 3 or 5 determined to transmit the HARQ-ACK/SR according to Clause 10.1.2.2.4 and there are only one periodic CSI report in the subframe,

– if there is no positive SR and the parameter simultaneousAckNackAndCQI provided by higher layers is set TRUE and if the HARQ-ACK corresponds to a PDSCH transmission or PDCCH/EPDCCH indicating downlink SPS release only on the primary cell, then the periodic CSI report is multiplexed with HARQ-ACK on PUCCH using PUCCH format 2/2a/2b

– else, the UE shall drop the CSI and transmit the HARQ-ACK according to Clause 10.1.2.2.3 or 10.1.2.2.4 when UE shall transmit HARQ-ACK only or UE shall drop the CSI and transmit the HARQ-ACK and SR according to the procedure for FDD with PUCCH format 1a/1b when there is positive SR.

– If a UE transmits HARQ-ACK/SR and periodic CSI report(s) using either a PUCCH format 4 or PUCCH format 5 in a subframe

– if , the UE shall transmit the HARQ-ACK/SR and periodic CSI bits using the PUCCH format 4 or the PUCCH format 5 ;

– if , the UE shall select CSI report(s) for transmission together with HARQ-ACK/SR in ascending order of , where , and are determined according to Clause 7.2.2; the value of satisfies and , and is the number of CSI report bits for the nth CSI report in ascending order of .

For a UE configured with higher layer parameter shortTTI, if the UE has subslot-SR and subframe-PUSCH/PUCCH including more than 2 HARQ-ACK bits either on the same serving cell or on different serving cells in a subframe when the UE is not capable of simultaneous transmission of different uplink signal durations on different serving cells as indicated by the UE capability simultaneousTx-differentTx-duration, and if the UE does not have HARQ-ACK bits corresponding to any subslot-PDSCH in the subslot in which the subslot-SR to be transmitted:

– if the UE is configured with a single subslot-PUCCH format 4 resource according to the higher layer parameter format4-MultiResource-subslotConfiguration, the UE shall multiplex HARQ-ACK and SR bits on .

– if the UE is configured with two subslot-PUCCH format 4 resources and according to the higher layer parameter format4-MultiResource-subslotConfiguration, if , the subslot-PUCCH format 4 resource with the smaller between and is used for transmission of the HARQ-ACK/SR; otherwise, the subslot-PUCCH format 4 resource with the larger between and is used for transmission of the HARQ-ACK/SR, where

is the total number of HARQ-ACK bits on the subframe-PUSCH/PUCCH;

is the number of CRC bits;

, , is the number of PRBs for and respectively, according to higher layer parameter n4numberOfPRBSubslot according to Table 10.1.1-2;

is the code rate given by higher layer parameter n4maxCoderateSubsloPUCCHt-r15 according to Table 10.1.1-1;

For a UE configured with higher layer parameter shortTTI, if the UE has slot-SR and subframe-PUSCH/PUCCH including more than 2 HARQ-ACK bits either on the same serving cell or on different serving cells when the UE is not capable of simultaneous transmission of different uplink signal durations on different serving cells as indicated by the UE capability simultaneousTx-differentTx-duration, and if the UE does not have HARQ-ACK bits corresponding to any subslot/slot-PDSCH in the slot in which the slot-SR to be transmitted:

– if the UE is either not configured with a slot-PUCCH format 4 according to the higher layer parameter format4-MultiResource-slotConfiguration, or the number of HARQ-ACK and SR bits is smaller than or equal to 11 bits, the UE shall multiplex HARQ-ACK and SR bits on slot-PUCCH format 3 resource .

– if the UE is configured with a single PUCCH format 4 resource according to the higher layer parameter format4-MultiResource-slotConfiguration, and if either the UE is not configured with a slot-PUCCH resource or the number of HARQ-ACK and SR bits is larger than 11 bits, the UE shall multiplex HARQ-ACK and SR bits on .

– if the UE is not configured with a slot-PUCCH resource or if the number of HARQ-ACK and SR bits is larger than 11 bits, and if the UE is configured with two slot-PUCCH format 4 resources and according to the higher-layer parameter format4-MultiResource-slotConfiguration, if , the slot-PUCCH format 4 resource with the smaller between and is used for transmission of the HARQ-ACK/SR; otherwise, the slot-PUCCH format 4 resource with the larger between and is used for transmission of the HARQ-ACK/SR, where

is the total number of HARQ-ACK bits on the subframe-PUSCH/PUCCH;

is the number of CRC bits;

, , is the number of PRBs for and respectively, according to higher layer parameter n4numberOfPRB according to Table 10.1.1-2;

if shortened slot-PUCCH format 4 is used and otherwise; and

is the code rate given by higher layer parameter n4maxCoderateSlotPUCCH-r15 according to Table 10.1.1-1;

For TDD or for FDD-TDD and primary cell frame structure type 2 and for a UE that is configured with more than one serving cell, in case of collision between a periodic CSI report and an HARQ-ACK in a same subframe without PUSCH, if the parameter simultaneousAckNackAndCQI provided by higher layers is set TRUE or if the parameter simultaneousAckNackAndCQI-Format3-r11 provided by higher layers is set TRUE or if the parameter simultaneousAckNackAndCQI-Format4-Format5-r13 provided by higher layers is set TRUE, the periodic CSI report is multiplexed with HARQ-ACK or dropped as described in Clause 7.3, otherwise the CSI is dropped.

In case of collision between a periodic CSI report and a HARQ-ACK in a same subframe with PUSCH, the periodic CSI is multiplexed with the HARQ-ACK in the PUSCH transmission in that subframe if the UE is not configured by higher layers for simultaneous PUCCH and PUSCH transmissions or if the UE is provided by higher layers a parameter simultaneousAckNackAndCQI-Format4-Format5-r13 that is set FALSE. If the UE is configured by higher layers for simultaneous PUCCH and PUSCH transmissions, and if the UE does not determine PUCCH format 4/5 for periodic CSI and HARQ-ACK transmission or if the UE is provided by higher layers a parameter simultaneousAckNackAndCQI-Format4-Format5-r13 that is set FALSE, the HARQ-ACK is transmitted in the PUCCH and the periodic CSI is transmitted in the PUSCH (other than a LAA SCell). If the UE is configured by higher layers for simultaneous PUCCH and PUSCH transmissions and if the UE determines PUCCH format 4/5 for periodic CSI and HARQ-ACK transmission and if the UE is provided by higher layers a parameter simultaneousAckNackAndCQI-Format4-Format5-r13 that is set TRUE, the periodic CSI and HARQ-ACK is transmitted in PUCCH format 4/5.

In case of collision between a periodic CSI report and a HARQ-ACK in a same subframe with PUSCH and if an aperiodic CSI report is not triggered for the same subframe, and if a UE is transmitting PUSCH only on LAA SCell(s), the HARQ-ACK and periodic CSI transmission follows the procedure for the case of collision between a periodic CSI report and a HARQ-ACK in the same subframe without PUSCH.

For a BL/CE UE, in case of collision between a UCI and a PUSCH transmission in a same subframe, if the number of PUCCH repetitions defined for the UCI in [3] is larger than 1 or if the indicated PUSCH repetition number in DCI format 6-0A/6-0B is larger than 1 or if the PUSCH resource assignment is using uplink resource allocation type 5, the PUSCH transmission is dropped in that subframe.

For a BL/CE UE in half-duplex FDD operation, in case of collision between a PUCCH format 2 transmission including half-duplex guard subframe and a PDSCH reception with repetitions, the PUCCH format 2 transmission is dropped if:

– the PUCCH is transmitted starting in subframe n, and the MPDCCH scheduling the PDSCH ends in subframe k, with n-k4, or

– the PDSCH is semi-statically scheduled.

For a BL/CE UE, in case of collision between at least one physical resource block to be used for transmission of UCI on PUCCH (defined in [3]) and physical resource blocks corresponding to configured PRACH resources for BL/CE UEs or non-BL/CE UEs (defined in [3]) in a same subframe, the PUCCH is dropped in that subframe.

If a UE is configured with higher layer parameter shortTTI, the UE is not expected to transmit slot-PUCCH in UpPTS of the special subframe in frame structure type 2.

If each of the serving cells configured for the UE has frame structure type 1, UE procedures for HARQ-ACK feedback are given in Clause 10.1.2.

If each of the serving cells configured for the UE has frame structure type 2, UE procedures for HARQ-ACK feedback are given in Clause 10.1.3.

If the UE is configured for more than one serving cell, and if the frame structure type of any two configured serving cells is different, and if the primary cell is frame structure type 1, UE procedure for HARQ-ACK feedback is given in Clause 10.1.2A.

If the UE is configured for more than one serving cell, and if the frame structure type of any two configured serving cells is different, and if the primary cell is frame structure type 2, UE procedure for HARQ-ACK feedback is given in Clause 10.1.3A.

Table 10.1.1-1: code rate corresponding to higher layer parameter maximumPayloadCoderate-r13 or n4maxCoderateSlotPUCCH-r15 or n4maxCoderateSubslotPUCCH-r15

Value of maximumPayloadCoderate-r13 or n4maxCoderateSlotPUCCH-r15 or n4maxCoderateSubslotPUCCH-r15

Code rate

0

0.08

1

0.15

2

0.25

3

0.35

4

0.45

5

0.60

6

0.80

7

Reserved

Table 10.1.1-2: Number of PRBs for PUCCCH format 4 corresponding to higher layer parameter numberOfPRB-format4-r13 or n4numberOfPRBSubslot or n4numberOfPRB

Value of numberOfPRB-format4-r13 or n4numberOfPRBSubslot or n4numberOfPRB

0

1

1

2

2

3

3

4

4

5

5

6

6

8

7

Reserved

If a UE is configured with more than 5 serving cells and is configured with PUCCH format 3 and not configured with PUCCH format 4/5:

– The UE can assume that the total number of bits in a given

– subframe corresponding to HARQ-ACK (if any), SR (if any), and periodic CSI (if any) is not larger than 22.

– slot corresponding to HARQ-ACK (if any), SR (if any) is not larger than 11.

– For calculating the HARQ-ACK bits to be transmitted, the UE shall follow the procedure in clauses 10.1.2.2.3, 10.1.2A, 10.1.3.2.3, 10.1.3A by assuming that PUCCH format 4 is configured.