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ETSI TS

Evolved UniversalPhysical

(3GPP TS 36.

TECHNICAL SPECIFICATIO

36 211 V13.1.0 (201

LTE;errestrial Radio Access (E-

hannels and modulation11 version 13.1.0 Release 1

N

6-04)

UTRA);

3)

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ETSI TS 136 211 V13.1.0 (2016-04)13GPP TS 36.211 version 13.1.0 Release 13

ReferenceRTS/TSGR-0136211vd10

Keywords

LTE

ETSI

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Intellectual Property Rights

IPRs essential or potentially essential to the present document may have been declared to ETSI. The information

pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found

in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI inrespect of ETSI standards" , which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web

server (https://ipr.etsi.org/ ).

Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guaranteecan be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web

server) which are, or may be, or may become, essential to the present document.

Foreword

This Technical Specification (TS) has been produced by ETSI 3rd Generation Partnership Project (3GPP).

The present document may refer to technical specifications or reports using their 3GPP identities, UMTS identities orGSM identities. These should be interpreted as being references to the corresponding ETSI deliverables.

The cross reference between GSM, UMTS, 3GPP and ETSI identities can be found under

http://webapp.etsi.org/key/queryform.asp.

Modal verbs terminology

In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and

"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of

provisions).

"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.

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Contents

Intellectual Property Rights ................................................................................................................................ 2

Foreword ............................................................................................................................................................. 2

Modal verbs terminology .................................................................................................................................... 2

Foreword ............................................................................................................................................................. 7

1 Scope ........................................................................................................................................................ 8

2 References ................................................................................................................................................ 8

3 Symbols and abbreviations ....................................................................................................................... 83.1 Symbols .................................................... .......................................................... ................................................ 8

3.2 Abbreviations ............................................................. .......................................................... ............................ 11

4 Frame structure ....................................................................................................................................... 12

4.1 Frame structure type 1 ........................................................ ........................................................... ................... 124.2 Frame structure type 2 ........................................................ ........................................................... ................... 13

4.3 Frame structure type 3 ........................................................ ........................................................... ................... 14

5 Uplink ..................................................................................................................................................... 165.1 Overview ........................................................ ............................................................. ..................................... 16

5.1.1 Physical channels ...................................................... ............................................................... ................... 16

5.1.2 Physical signals ................................................. ............................................................... ........................... 16

5.2 Slot structure and physical resources............................................................... ................................................. 165.2.1 Resource grid ........................................................ ........................................................... ........................... 16

5.2.2 Resource elements ......................................................... ........................................................... .................. 18

5.2.3 Resource blocks ................................................... ........................................................... ............................ 18

5.2.4 Narrowbands .............................................. ...................................................... ........................................... 18

5.2.5 Guard period for narrowband retuning ............................................... ........................................................ 19

5.3 Physical uplink shared channel ............................................................. .......................................................... . 205.3.1 Scrambling ....................................................... ................................................................ ........................... 20

5.3.2 Modulation ............................................... ...................................................... ............................................. 21

5.3.2A Layer mapping .............................................. ...................................................... ........................................ 22

5.3.2A.1 Layer mapping for transmission on a single antenna port .................................................... ................. 22

5.3.2A.2 Layer mapping for spatial multiplexing ................................................. ............................................... 22

5.3.3 Transform precoding........................................................ ......................................................... .................. 235.3.3A Precoding ....................................................... ........................................................ ..................................... 23

5.3.3A.1 Precoding for transmission on a single antenna port .................................................. ........................... 23

5.3.3A.2 Precoding for spatial multiplexing ................................................................. ....................................... 23

5.3.4 Mapping to physical resources........................................................... ........................................................ . 26

5.4 Physical uplink control channel ................................................................. ...................................................... . 29

5.4.1 PUCCH formats 1, 1a and 1b ................................................... ......................................................... ......... 295.4.2 PUCCH formats 2, 2a and 2b ................................................... ......................................................... ......... 33

5.4.2A PUCCH format 3 .................................................. ...................................................... ................................ 34

5.4.2B PUCCH format 4 ................................................ ...................................................... .................................. 36

5.4.2C PUCCH format 5 .................................................. ...................................................... ................................ 36

5.4.3 Mapping to physical resources........................................................... ........................................................ . 375.5 Reference signals ......................................................... .......................................................... ........................... 40

5.5.1 Generation of the reference signal sequence .......................................................... ..................................... 40

5.5.1.1 Base sequences of length RBsc3 N or larger ................................................................................. ........... 40

5.5.1.2 Base sequences of length less thanRBsc3 N .................................................................... ........................ 41

5.5.1.3 Group hopping ........................................................ ........................................................... ................... 43

5.5.1.4 Sequence hopping ................................................... ........................................................... ................... 44

5.5.1.5 Determining virtual cell identity for sequence generation ....................................................... ............. 445.5.2 Demodulation reference signal ............................................................. ..................................................... . 45

5.5.2.1 Demodulation reference signal for PUSCH .................................................................. ........................ 45

5.5.2.1.1 Reference signal sequence ...................................................... ......................................................... 45

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5.5.2.1.2 Mapping to physical resources ...................................................... .................................................. 47

5.5.2.2 Demodulation reference signal for PUCCH ..................................................... ..................................... 47

5.5.2.2.1 Reference signal sequence ...................................................... ......................................................... 47

5.5.2.2.2 Mapping to physical resources ...................................................... .................................................. 49

5.5.3 Sounding reference signal ........................................................ ......................................................... .......... 50

5.5.3.1 Sequence generation......................................................... ........................................................... .......... 50

5.5.3.2 Mapping to physical resources ................................................. ............................................................. 505.5.3.3 Sounding reference signal subframe configuration ............................................... ................................ 53

5.6 SC-FDMA baseband signal generation .......................................................... .................................................. 54

5.7 Physical random access channel ............................................................. ......................................................... . 55

5.7.1 Time and frequency structure ..................................................... ...................................................... .......... 555.7.2 Preamble sequence generation ............................................................ ....................................................... . 61

5.7.3 Baseband signal generation.................................................... ........................................................... .......... 64

5.8 Modulation and upconversion ................................................... ............................................................. .......... 65

6 Downlink ................................................................................................................................................ 666.1 Overview ........................................................ ............................................................. ..................................... 66

6.1.1 Physical channels ...................................................... ............................................................... ................... 66

6.1.2 Physical signals ................................................. ............................................................... ........................... 66

6.2 Slot structure and physical resource elements ......................................................... ......................................... 67

6.2.1 Resource grid ........................................................ ........................................................... ........................... 67

6.2.2 Resource elements ......................................................... ........................................................... .................. 686.2.3 Resource blocks ................................................... ........................................................... ............................ 69

6.2.3.1 Virtual resource blocks of localized type .................................................... .......................................... 69

6.2.3.2 Virtual resource blocks of distributed type ............................................... ............................................ 69

6.2.4 Resource-element groups .................................................. ........................................................ .................. 71

6.2.4A Enhanced Resource-Element Groups (EREGs) ....................................................... ................................... 726.2.5 Guard period for half-duplex FDD operation ................................................................. ............................ 72

6.2.6 Guard Period for TDD Operation ..................................................... .......................................................... 72

6.2.7 Narrowbands .............................................. ...................................................... ........................................... 72

6.2.8 Guard period for narrowband retuning ............................................... ........................................................ 72

6.3 General structure for downlink physical channels ...................................................... ...................................... 74

6.3.1 Scrambling ....................................................... ................................................................ ........................... 746.3.2 Modulation ............................................... ...................................................... ............................................. 75

6.3.3 Layer mapping .............................................. ...................................................... ........................................ 75

6.3.3.1 Layer mapping for transmission on a single antenna port .................................................... ................. 75

6.3.3.2 Layer mapping for spatial multiplexing ................................................. ............................................... 76

6.3.3.3 Layer mapping for transmit diversity ................................................... ................................................. 77

6.3.4 Precoding .................................................... .......................................................... ...................................... 776.3.4.1 Precoding for transmission on a single antenna port .................................................. ........................... 77

6.3.4.2 Precoding for spatial multiplexing using antenna ports with cell-specific reference signals ................ 77

6.3.4.2.1 Precoding without CDD ............................................... .......................................................... ......... 78

6.3.4.2.2 Precoding for large delay CDD ..................................................... .................................................. 78

6.3.4.2.3 Codebook for precoding and CSI reporting ............................................... ...................................... 79

6.3.4.3 Precoding for transmit diversity ............................................................ ................................................ 80

6.3.4.4 Precoding for spatial multiplexing using antenna ports with UE-specific reference signals................. 816.3.5 Mapping to resource elements ............................................................ ....................................................... . 82

6.4 Physical downlink shared channel ........................................................ ........................................................... . 83

6.4.1 Physical downlink shared channel for BL/CE UEs .................................................. .................................. 84

6.5 Physical multicast channel ................................................................. ............................................................ .. 85

6.6 Physical broadcast channel ............................................................ ........................................................ ........... 86

6.6.1 Scrambling ....................................................... ................................................................ ........................... 86

6.6.2 Modulation ............................................... ...................................................... ............................................. 86

6.6.3 Layer mapping and precoding .................................................. ......................................................... ......... 86

6.6.4 Mapping to resource elements ............................................................ ....................................................... . 86

6.7 Physical control format indicator channel .................................................................. ...................................... 88

6.7.1 Scrambling ....................................................... ................................................................ ........................... 88

6.7.2 Modulation ............................................... ...................................................... ............................................. 88

6.7.3 Layer mapping and precoding .................................................. ......................................................... ......... 886.7.4 Mapping to resource elements ............................................................ ....................................................... . 89

6.8 Physical downlink control channel ....................................................... ........................................................... . 90

6.8.1 PDCCH formats ................................................... ............................................................ ........................... 90

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6.8.2 PDCCH multiplexing and scrambling .................................................. ...................................................... 90

6.8.3 Modulation ............................................... ...................................................... ............................................. 90

6.8.4 Layer mapping and precoding .................................................. ......................................................... ......... 91

6.8.5 Mapping to resource elements ............................................................ ....................................................... . 91

6.8A Enhanced physical downlink control channel ................................................ .................................................. 92

6.8A.1 EPDCCH formats ................................................. ........................................................... ........................... 92

6.8A.2 Scrambling .......................................................... ............................................................. ........................... 936.8A.3 Modulation ................................................. ...................................................... ........................................... 93

6.8A.4 Layer mapping and precoding ............................................ ...................................................... .................. 94

6.8A.5 Mapping to resource elements ......................................................... .......................................................... . 94

6.8B MTC physical downlink control channel .......................................................... ............................................... 956.8B.1 MPDCCH formats .......................................................... .......................................................... .................. 95

6.8B.2 Scrambling .......................................................... ............................................................. ........................... 96

6.8B.3 Modulation ................................................. ...................................................... ........................................... 96

6.8B.4 Layer mapping and precoding ............................................ ...................................................... .................. 96

6.8B.5 Mapping to resource elements .......................................................... ......................................................... . 96

6.9 Physical hybrid ARQ indicator channel ........................................................... ................................................ 996.9.1 Modulation ............................................... ...................................................... ............................................. 99

6.9.2 Resource group alignment, layer mapping and precoding ................................................... ..................... 100

6.9.3 Mapping to resource elements ............................................................ ...................................................... 1026.10 Reference signals ....................................................... .......................................................... ........................... 104

6.10.1 Cell-specific Reference Signal (CRS)............................................................. .......................................... 104

6.10.1.1 Sequence generation........................................................... ........................................................ ......... 1046.10.1.2 Mapping to resource elements...................................................... ...................................................... . 104

6.10.2 MBSFN reference signals ....................................................... ......................................................... ......... 108

6.10.2.1 Sequence generation........................................................... ........................................................ ......... 108

6.10.2.2 Mapping to resource elements...................................................... ...................................................... . 108

6.10.3 UE-specific reference signals associated with PDSCH ............................................................... ............. 110

6.10.3.1 Sequence generation........................................................... ........................................................ ......... 1106.10.3.2 Mapping to resource elements...................................................... ...................................................... . 111

6.10.3A Demodulation reference signals associated with EPDCCH or MPDCCH ................................................ 116

6.10.3A.1 Sequence generation.............................................................. ..................................................... ......... 116

6.10.3A.2 Mapping to resource elements.................................................. .......................................................... . 1176.10.4 Positioning reference signals ....................................................... ............................................................ . 1196.10.4.1 Sequence generation........................................................... ........................................................ ......... 119


6.10.4.3 Positioning reference signal subframe configuration ....................................................... ................... 120

6.10.5 CSI reference signals ...................................................... ......................................................... ................. 122


6.10.5.2 Mapping to resource elements...................................................... ...................................................... . 1226.10.5.3 CSI reference signal subframe configuration ............................................... ....................................... 128

6.11 Synchronization signals ........................................................ ......................................................... ................. 129

6.11.1 Primary synchronization signal (PSS) ................................................................ ...................................... 129



6.11.2 Secondary synchronization signal (SSS) ............................................................. ..................................... 1306.11.2.1 Sequence generation........................................................... ........................................................ ......... 130


6.11A Discovery signal ...................................................... ............................................................ ........................... 132

6.12 OFDM baseband signal generation .................................................. .............................................................. 134

6.13 Modulation and upconversion ..................................................... .......................................................... ......... 134

7 Generic functions ................................................................................................................................. 1357.1 Modulation mapper ................................................ ...................................................... .................................. 135

7.1.1 BPSK ................................................... .......................................................... ........................................... 135

7.1.2 QPSK .......................................................... ........................................................... ................................... 135

7.1.3 16QAM ............................................... ...................................................... ................................................ 136

7.1.4 64QAM ............................................... ...................................................... ................................................ 137

7.1.5 256QAM ............................................... ...................................................... .............................................. 1387.2 Pseudo-random sequence generation............................................................... ............................................... 141

8 Timing .................................................................................................................................................. 141

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8.1 Uplink-downlink frame timing ................................................... ........................................................... ......... 141

9 Sidelink................................................................................................................................................. 1419.1 Overview ........................................................ ............................................................. ................................... 1419.1.1 Physical channels ...................................................... ............................................................... ................. 141

9.1.2 Physical signals ................................................. .............................................................. .......................... 142

9.1.3 Handling of simultaneous sidelink and uplink/downlink transmissions ................................................. .. 142

9.2 Slot structure and physical resources............................................................... ............................................... 143

9.2.1 Resource grid ........................................................ .......................................................... .......................... 143

9.2.2 Resource elements ......................................................... .......................................................... ................. 1439.2.3 Resource blocks ................................................... ........................................................... .......................... 143

9.2.4 Resource pool ................................................. ...................................................... .................................... 144

9.2.5 Guard period ............................................... ...................................................... ........................................ 144

9.3 Physical Sidelink Shared Channel ................................................................... ............................................... 144

9.3.1 Scrambling ....................................................... ............................................................... .......................... 144

9.3.2 Modulation ............................................... ...................................................... ........................................... 1449.3.3 Layer mapping .............................................. ...................................................... ...................................... 144

9.3.4 Transform precoding........................................................ ........................................................ ................. 145

9.3.5 Precoding .................................................... .......................................................... .................................... 145

9.3.6 Mapping to physical resources........................................................... ....................................................... 145

9.4 Physical Sidelink Control Channel .............................................................. ................................................... 146

9.4.1 Scrambling ....................................................... ............................................................... .......................... 1469.4.2 Modulation ............................................... ...................................................... ........................................... 146

9.4.3 Layer mapping .............................................. ...................................................... ...................................... 146


9.4.5 Precoding .................................................... .......................................................... .................................... 146

9.4.6 Mapping to physical resources........................................................... ....................................................... 1469.5 Physical Sidelink Discovery Channel............................................................................... .............................. 146

9.5.1 Scrambling ....................................................... ............................................................... .......................... 146

9.5.2 Modulation ............................................... ...................................................... ........................................... 147

9.5.3 Layer mapping .............................................. ...................................................... ...................................... 147


9.5.5 Precoding .................................................... .......................................................... .................................... 1479.5.6 Mapping to physical resources........................................................... ....................................................... 147

9.6 Physical Sidelink Broadcast Channel .............................................................. ............................................... 147

9.6.1 Scrambling ....................................................... ............................................................... .......................... 147

9.6.2 Modulation ............................................... ...................................................... ........................................... 147

9.6.3 Layer mapping .............................................. ...................................................... ...................................... 148

9.6.4 Transform precoding........................................................ ........................................................ ................. 1489.6.5 Precoding .................................................... .......................................................... .................................... 148

9.6.6 Mapping to physical resources........................................................... ....................................................... 148

9.7 Sidelink Synchronization Signals .......................................................... ......................................................... 148

9.7.1 Primary sidelink synchronization signal ........................................................... ........................................ 148

9.7.1.1 Sequence generation......................................................... .......................................................... ......... 148

9.7.1.2 Mapping to resource elements............................................................. ................................................ 148

9.7.2 Secondary sidelink synchronization signal ................................................................ ............................... 1499.7.2.1 Sequence generation......................................................... .......................................................... ......... 149

9.7.2.2 Mapping to resource elements............................................................. ................................................ 149

9.8 Demodulation reference signals ............................................................... ..................................................... . 149

9.9 SC-FDMA baseband signal generation .......................................................... ................................................ 150

9.10 Timing .................................................. ...................................................... .................................................... 150

Annex A (informative): Change history ............................................................................................. 152

History ............................................................................................................................................................ 156

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Foreword

This Technical Specification 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 formalTSG approval. Should the TSG modify the contents of the 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

where:

x the first digit:

1 presented to TSG for information;

2 presented to TSG for approval;

3 or greater indicates TSG approved document under change control.

y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,updates, etc.

z the third digit is incremented when editorial only changes have been incorporated in the document.

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1 Scope

The present document describes the physical channels for evolved UTRA.

2 References

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.) ornon-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 (includinga GSM document), a non-specific reference implicitly refers to the latest version of that document in the same

Release as the present document .

[1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications".

[2] 3GPP TS 36.201: "Evolved Universal Terrestrial Radio Access (E-UTRA); LTE physical layer;

General description".

[3] 3GPP TS 36.212: "Evolved Universal Terrestrial Radio Access (E-UTRA); Multiplexing and

channel coding".

[4] 3GPP TS 36.213: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer

procedures".

[5] 3GPP TS 36.214: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer;

Measurements".

[6] 3GPP TS 36.104: "Evolved Universal Terrestrial Radio Access (E-UTRA); Base Station (BS)

radio transmission and reception".

[7] 3GPP TS 36.101: "Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE)

radio transmission and reception".

[8] 3GPP TS 36.321, "Evolved Universal Terrestrial Radio Access (E-UTRA); Medium Access

Control (MAC) protocol specification".

[9] 3GPP TS 36.331, 'Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Resource

Control (RRC) Protocol specification'

[10] 3GPP TS 36.304, 'Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE)procedures in idle mode'

3 Symbols and abbreviations

3.1 Symbols

For the purposes of the present document, the following symbols apply:

),( lk Resource element with frequency-domain index k and time-domain index l

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)(, plk a Value of resource element ),( lk [for antenna port p ]

D Matrix for supporting cyclic delay diversity

RA D Density of random access opportunities per radio frame

0 f Carrier frequency

RA f PRACH resource frequency index within the considered time-domain location

PRACHhopPRB, f PRACH frequency hopping offset, expressed as a number of resource blocks

PSBCHsc M Bandwidth for PSBCH transmission, expressed as a number of subcarriers

PSBCHRB M Bandwidth for PSBCH transmission, expressed as a number of resource blocks

PSCCHsc M Bandwidth for PSCCH transmission, expressed as a number of subcarriers

PSCCHRB M Bandwidth for PSCCH transmission, expressed as a number of resource blocks

PSDCHsc M Bandwidth for PSDCH transmission, expressed as a number of subcarriers

PSDCHRB M Bandwidth for PSDCH transmission, expressed as a number of resource blocks

PSSCHsc M Scheduled bandwidth for PSSCH transmission, expressed as a number of subcarriers

PSSCH

RB M Scheduled bandwidth for PSSCH transmission, expressed as a number of resource blocksPUSCHsc M Scheduled bandwidth for uplink transmission, expressed as a number of subcarriers

PUSCHRB M Scheduled bandwidth for uplink transmission, expressed as a number of resource blocks

(q) M bit Number of coded bits to transmit on a physical channel [for codeword q ]

(q) M symb Number of modulation symbols to transmit on a physical channel [for codeword q ]

layersymb M Number of modulation symbols to transmit per layer for a physical channel

apsymb M Number of modulation symbols to transmit per antenna port for a physical channel

N A constant equal to 2048 for kHz15=∆ f and 4096 for kHz5.7=∆ f

l N ,CP Downlink cyclic prefix length for OFDM symbol l in a slot

CS N Cyclic shift value used for random access preamble generation

(1)cs N Number of cyclic shifts used for PUCCH formats 1/1a/1b in a resource block with a mix of

formats 1/1a/1b and 2/2a/2b(2)RB N Bandwidth available for use by PUCCH formats 2/2a/2b, expressed in multiples of

RBsc N

HORB N The offset used for PUSCH frequency hopping, expressed in number of resource blocks (set by

higher layers)cellID N Physical layer cell identity

MBSFNID N MBSFN area identity

SLID N Physical layer sidelink synchronization identity

DLRB N Downlink bandwidth configuration, expressed in multiples of

RBsc N

DLmin,RB N Smallest downlink bandwidth configuration, expressed in multiples of

RBsc N

DLmax,RB N Largest downlink bandwidth configuration, expressed in multiples of

RBsc N

ULRB N Uplink bandwidth configuration, expressed in multiples of

RBsc N

ULmin,RB N Smallest uplink bandwidth configuration, expressed in multiples of

RBsc N

ULmax,RB N Largest uplink bandwidth configuration, expressed in multiples of

RBsc N

SLRB N Sidelink bandwidth configuration, expressed in multiples of

RBsc N

ULNB N Total number of uplink narrowbands

acc N Number of consecutive absolute subframes over which the scrambling sequence stays the same

PUSCHabs N Total number of absolute subframes a PUSCH with repetition spans , expressed as a number of

absolute subframesPUSCHrep N Number of repetititions of a PUSCH transmission

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RNTIn Radio network temporary identifier

SAIDn Sidelink group destination identity

f n System frame number

sn Slot number within a radio frame

abs

sf n Absolute subframe number

RA

sf n Index for subframes allowed for preamble transmission

P Number of antenna ports used for transmission of a channel

p Antenna port number

q Codeword number

RAr Index for PRACH versions with same preamble format and PRACH density

Qm Modulation order: 2 for QPSK, 4 for 16QAM, 6 for 64QAM and 8 for 256QAM transmissions

( )t s pl)(

Time-continuous baseband signal for antenna port p and OFDM symbol l in a slot

)0(RAt Radio frame indicator index of PRACH opportunity

)1(RAt Half frame index of PRACH opportunity within the radio frame

)2(RAt Uplink subframe number for start of PRACH opportunity within the half frame

f T Radio frame duration

sT Basic time unit

slotT Slot duration

W Precoding matrix for downlink spatial multiplexing

PRACH β Amplitude scaling for PRACH

PUCCH β Amplitude scaling for PUCCH

PUSCH β Amplitude scaling for PUSCH

SRS β Amplitude scaling for sounding reference symbols

f ∆ Subcarrier spacing

RA f ∆ Subcarrier spacing for the random access preamble

υ Number of transmission layers

3.2 Abbreviations

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].

CCE Control Channel Element

CDD Cyclic Delay Diversity

CRS Cell-specific Reference Signal

CSI Channel-State Information

DCI Downlink Control Information

DM-RS Demodulation Reference Signal

ECCE Enhanced Control Channel Element

EPDCCH Enhanced Physical Downlink Control CHannelEREG Enhanced Resource-Element Group

MPDCCH MTC Physical Downlink Control Channel

PBCH Physical Broadcast CHannel

PCFICH Physical Control Format Indicator CHannel

PDCCH Physical Downlink Control CHannel

PDSCH Physical Downlink Shared CHannelPHICH Physical Hybrid-ARQ Indicator CHannel

PMCH Physical Multicast CHannel

PRACH Physical Random Access CHannel

PRB Physical Resource Block

PRS Positioning Reference Signal

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PSBCH Physical Sidelink Broadcast CHannel

PSCCH Physical Sidelink Control CHannel

PSDCH Physical Sidelink Discovery CHannel

PSSCH Physical Sidelink Shared CHannel

PUCCH Physical Uplink Control CHannel

PUSCH Physical Uplink Shared CHannel

REG Resource-Element GroupSCG Secondary Cell Group

SRS Sounding Reference Signal

VRB Virtual Resource Block

4 Frame structure

Throughout this specification, unless otherwise noted, the size of various fields in the time domain is expressed as a

number of time units ( )2048150001s ×=T seconds.

Downlink, uplink and sidelink transmissions are organized into radio frames with ms10307200 sf =×= T T duration.

Three radio frame structures are supported:

- Type 1, applicable to FDD only,

- Type 2, applicable to TDD only,

- Type 3, applicable to LAA secondary cell operation only.

NOTE: LAA secondary cell operation only applies to frame structure type 3.

Transmissions in multiple cells can be aggregated where up to 31 secondary cells can be used in addition to the primary

cell. Unless otherwise noted, the description in this specification applies to each of the up to 32 serving cells. In case of

multi-cell aggregation, different frame structures can be used in the different serving cells.

4.1 Frame structure type 1

Frame structure type 1 is applicable to both full duplex and half duplex FDD only. Each radio frame is

ms10307200 sf =⋅= T T long and consists of 20 slots of length ms5.0T15360 sslot =⋅=T , numbered from 0 to 19. A

subframe is defined as two consecutive slots where subframe i consists of slots i2 and 12 +i . Subframe i in frame f n

has an absolute subframe number inn += f abssf 10 where f n is the system frame number.

For FDD, 10 subframes are available for downlink transmission and 10 subframes are available for uplink transmissions

in each 10 ms interval. Uplink and downlink transmissions are separated in the frequency domain. In half-duplex FDD

operation, the UE cannot transmit and receive at the same time while there are no such restrictions in full-duplex FDD.

Figure 4.1-1: Frame structure type 1

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Frame structure type 2 is applicable to TDD only. Each radio frame of length ms10307200 sf =⋅= T T consists of two

half-frames of length ms5153600 s =⋅T each. Each half-frame consists of five subframes of length ms107203 s =⋅T .

Each subframe i is defined as two slots, i2 and 12 +i , of length ms5.015360 sslot

=⋅= T T each. Subframe i in frame

f n has an absolute subframe number inn += f abssf 10 where f n is the system frame number.

The uplink-downlink configuration in a cell may vary between frames and controls in which subframes uplink or

downlink transmissions may take place in the current frame. The uplink-downlink configuration in the current frame is

obtained according to Section 13 in [4].

The supported uplink-downlink configurations are listed in Table 4.2-2 where, for each subframe in a radio frame, "D"

denotes a downlink subframe reserved for downlink transmissions, "U" denotes an uplink subframe reserved for uplink

transmissions and "S" denotes a special subframe with the three fields DwPTS, GP and UpPTS. The length of DwPTS

and UpPTS is given by Table 4.2-1 subject to the total length of DwPTS, GP and UpPTS being equal to

ms107203 s =⋅T where X is the number of additional SC-FDMA symbols in UpPTS provided by the higher layer

parameter srs-UpPtsAdd if configured otherwise X is equal to 0. The UE is not expected to be configured with 2

additional UpPTS SC-FDMA symbols for special subframe configurations {3, 4, 7, 8} for normal cyclic prefix indownlink and special subframe configurations {2, 3, 5, 6} for extended cyclic prefix in downlink and 4 additional

UpPTS SC-FDMA symbols for special subframe configurations {1 2, 3, 4, 6, 7, 8} for normal cyclic prefix in downlink

and special subframe configurations {1, 2, 3, 5, 6} for extended cyclic prefix in downlink.

Uplink-downlink configurations with both 5 ms and 10 ms downlink-to-uplink switch-point periodicity are supported.

- In case of 5 ms downlink-to-uplink switch-point periodicity, the special subframe exists in both half-frames.

- In case of 10 ms downlink-to-uplink switch-point periodicity, the special subframe exists in the first half-frameonly.

Subframes 0 and 5 and DwPTS are always reserved for downlink transmission. UpPTS and the subframe immediately

following the special subframe are always reserved for uplink transmission.

In case multiple cells are aggregated, the UE may assume that the guard period of the special subframe in the cells using

frame structure type 2 have an overlap of at least s1456 T ⋅ .

In case multiple cells with different uplink-downlink configurations in the current radio frame are aggregated and theUE is not capable of simultaneous reception and transmission in the aggregated cells, the following constraints apply:

- if the subframe in the primary cell is a downlink subframe, the UE shall not transmit any signal or channel on a

secondary cell in the same subframe

- if the subframe in the primary cell is an uplink subframe, the UE is not expected to receive any downlink

transmissions on a secondary cell in the same subframe

- if the subframe in the primary cell is a special subframe and the same subframe in a secondary cell is a downlinksubframe, the UE is not expected to receive PDSCH/EPDCCH/PMCH/PRS transmissions in the secondary cell

in the same subframe, and the UE is not expected to receive any other signals on the secondary cell in OFDM

symbols that overlaps with the guard period or UpPTS in the primary cell.

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Figure 4.2-1: Frame structure type 2 (for 5 ms switch-point periodicity)

Table 4.2-1: Configuration of special subframe (lengths of DwPTS/GP/UpPTS)

Specialsubframe

configuration

Normal cyclic prefix in downlink Extended cyclic prefix in downlinkDwPTS UpPTS DwPTS UpPTS

Normal cyclicprefix

in uplink

Extended cyclicprefix

in uplink

Normal cyclicprefix in uplink

Extended cyclicprefix in uplink

0 s6592 T ⋅

( ) s1 X 2192 T + ⋅ ⋅ ( ) s1 X 2560 T + ⋅ ⋅

s7680 T ⋅

( ) s1 X 2192 T + ⋅ ⋅ ( ) s1 X 2560 T + ⋅ ⋅ 1 s19760 T ⋅ s20480 T ⋅

2 s21952 T ⋅ s23040 T ⋅

3 s24144 T ⋅ s25600 T ⋅

4 s26336 T ⋅ s7680 T ⋅

( ) s2 X 2192 T + ⋅ ⋅

( ) s2 X 2560 T + ⋅ ⋅

5 s6592 T ⋅

( ) s2 X 2192 T + ⋅ ⋅ ( ) s2 X 2560 T + ⋅ ⋅

s20480 T ⋅

6 s19760 T ⋅ s23040 T ⋅

7 s21952 T ⋅ s12800 T ⋅

8 s24144 T ⋅ - - -

9 s13168 T ⋅ - - -

Table 4.2-2: Uplink-downlink configurations

Uplink-downlinkconfiguration

Downlink-to-UplinkSwitch-point periodicity

Subframe number0 1 2 3 4 5 6 7 8 9

0 5 ms D S U U U D S U U U

1 5 ms D S U U D D S U U D

2 5 ms D S U D D D S U D D3 10 ms D S U U U D D D D D4 10 ms D S U U D D D D D D5 10 ms D S U D D D D D D D6 5 ms D S U U U D S U U D


Frame structure type 3 is applicable to LAA secondary cell operation with normal cyclic prefix only. Each radio frame

is ms10307200 sf =⋅= T T long and consists of 20 slots of length ms5.0T15360 sslot =⋅=T , numbered from 0 to 19. A

subframe is defined as two consecutive slots where subframe i consists of slots i2 and 12 +i .

The 10 subframes within a radio frame are available for downlink transmissions. Downlink transmissions occupy one or

more consecutive subframes, starting anywhere within a subframe and ending with the last subframe either fully

occupied or following one of the DwPTS durations in Table 4.2-1.

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5 Uplink

5.1 Overview

The smallest resource unit for uplink transmissions is denoted a resource element and is defined in clause 5.2.2.

5.1.1 Physical channels

An uplink physical channel corresponds to a set of resource elements carrying information originating from higher

layers and is the interface defined between 3GPP TS 36.212 [3] and the present document 3GPP TS 36.211.The following uplink physical channels are defined:

- Physical Uplink Shared Channel, PUSCH

- Physical Uplink Control Channel, PUCCH

- Physical Random Access Channel, PRACH

5.1.2 Physical signals

An uplink physical signal is used by the physical layer but does not carry information originating from higher layers.

The following uplink physical signals are defined:

- Reference signal

5.2 Slot structure and physical resources

5.2.1 Resource grid

The transmitted signal in each slot is described by one or several resource grids of RBscULRB N N subcarriers and

ULsymb N

SC-FDMA symbols. The resource grid is illustrated in Figure 5.2.1-1. The quantity ULRB N depends on the uplink

transmission bandwidth configured in the cell and shall fulfil

ULmax,RB

ULRB

ULmin,RB N N N ≤≤

where 6ULmin,RB = N and 110ULmax,

RB = N are the smallest and largest uplink bandwidths, respectively, supported by the

current version of this specification. The set of allowed values for ULRB N is given by 3GPP TS 36.101 [7].

The number of SC-FDMA symbols in a slot depends on the cyclic prefix length configured by the higher layerparameter UL-CyclicPrefixLength and is given in Table 5.2.3-1.

An antenna port is defined such that the channel over which a symbol on the antenna port is conveyed can be inferred

from the channel over which another symbol on the same antenna port is conveyed. There is one resource grid per

antenna port. The antenna ports used for transmission of a physical channel or signal depends on the number of antenna

ports configured for the physical channel or signal as shown in Table 5.2.1-1. The index p~ is used throughout clause 5

when a sequential numbering of the antenna ports is necessary.

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ULsymb N S C - F D M A s y m b o l s

O n e u p l i n k s l o t slotT

0=l 1ULsymb −= N l

R B

s c

U L R B

N

N

× R B

s c

N

RBsc

ULsymb N N ×

R e s o u r c e

b l o c k

r e s o u r c e

e l e m e n t s

R e s o u r c e

e l e m e n t

),( lk

0=k

1RBscULRB −= N N k

Figure 5.2.1-1: Uplink resource grid

Table 5.2.1-1: Antenna ports used for different physical channels and signals

Physical channel or signal Index p~

Antenna port number p as a function of

the number of antenna ports configuredfor the respective physical channel/signal

1 2 4

PUSCH

0 10 20 401 - 21 41

2 - - 423 - - 43

SRS

0 10 20 401 - 21 412 - - 42

3 - - 43

PUCCH0 100 200 -

1 - 201 -

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5.2.2 Resource elements

Each element in the resource grid is called a resource element and is uniquely defined by the index pair ( )lk , in a slot

where 1,...,0 RBscULRB −= N N k and 1,...,0

ULsymb −= N l are the indices in the frequency and time domains, respectively.

Resource element ( )lk , on antenna port p corresponds to the complex value )( , plk a .

When there is no risk for confusion, or no particular antenna port is specified, the index p may be dropped.

Quantities)(

, plk a corresponding to resource elements not used for transmission of a physical channel or a physical signal

in a slot shall be set to zero.

5.2.3 Resource blocks

A physical resource block is defined as ULsymb N consecutive SC-FDMA symbols in the time domain andRBsc N consecutive

subcarriers in the frequency domain, where ULsymb N andRBsc N are given by Table 5.2.3-1.

A physical resource block in the uplink thus consists of RBscULsymb N N × resource elements, corresponding to one slot in

the time domain and 180 kHz in the frequency domain.

Table 5.2.3-1: Resource block parameters

Configuration RBsc N ULsymb N

Normal cyclic prefix 12 7Extended cyclic prefix 12 6

The relation between the physical resource block number PRBn in the frequency domain and resource elements ),( lk in

a slot is given by

=RBsc

PRB N

k n

5.2.4 Narrowbands

A narrowband is defined as six non-overlapping consecutive physical resource blocks in the frequency domain. The

total number of uplink narrowbands in the uplink transmission bandwidth configured in the cell is given by

=6

ULRBUL

NB

N N

The narrowbands are numbered 1,...,0ULNBNB −= N n in order of increasing physical resource-block number where

narrowband NBn is composed of physical resorce-block indices

≥=+++

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5.2.5 Guard period for narrowband retuning

For BL/CE UEs, a guard period is created for Tx-to-Tx frequency retuning between two consecutive subframes.

- If the UE retunes from a first narrowband carrying PUSCH to a second narrowband carrying PUSCH, or if the

UE retunes from a first narrowband carrying PUCCH to a second narrowband carrying PUCCH,

- a guard period is created by the UE not transmitting the last SC-FDMA symbol in the first subframe and the

first SC-FDMA symbol in the second subframe.

- If the UE retunes from a first narrowband carrying PUCCH to a second narrowband carrying PUSCH,

- if the PUCCH uses a shortened PUCCH format, a guard period is created by the UE not transmitting the firstSC-FDMA symbol in the second subframe,

- otherwise a guard period is created by the UE not transmitting the first two SC-FDMA symbols in the second

subframe.

- If the UE retunes from a first narrowband carrying PUSCH to a second narrowband carrying PUCCH,

- a guard period is created by the UE not transmitting the last two SC-FDMA symbols in the first subframe.

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5.3 Physical uplink shared channel

The baseband signal representing the physical uplink shared channel is defined in terms of the following steps:

- scrambling

- modulation of scrambled bits to generate complex-valued symbols

- mapping of the complex-valued modulation symbols onto one or several transmission layers

- transform precoding to generate complex-valued symbols

- precoding of the complex-valued symbols

- mapping of precoded complex-valued symbols to resource elements

- generation of complex-valued time-domain SC-FDMA signal for each antenna port

Figure 5.3-1: Overview of uplink physical channel processing

5.3.1 Scrambling

For each codeword q , the block of bits )1(),...,0()(

bit

)()(−

qqq M bb , where

)(

bit

q M is the number of bits transmitted in

codeword q on the physical uplink shared channel in one subframe, shall be scrambled with a UE-specific scrambling

sequence prior to modulation, resulting in a block of scrambled bits )1(~

),...,0(~ (q)

bit)()(

− M bb qq

according to the

following pseudo code

Set i = 0

while)(

bitq

M i <

if x)()( =ib q // ACK/NACK or Rank Indication placeholder bits

1)(~ )(

=ib q

else

if y)()( =ib q // ACK/NACK or Rank Indication repetition placeholder bits

)1(~

)(~ )()(

−= ibib qq

else // Data or channel quality coded bits, Rank Indication coded bits or ACK/NACK coded bits

( 2mod)()()(~ )()()( icibib qqq +=

end if

end if

i = i + 1

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end while

where x and y are tags defined in 3GPP TS 36.212 [3] clause 5.2.2.6 and where the scrambling sequence )()( ic q is

given by clause 7.2. The scrambling sequence generator shall be initialised with

cellID

9s

1314RNTIinit 2222 N nqnc +⋅+⋅+⋅= at the start of each subframe where RNTIn corresponds to the RNTI

associated with the PUSCH transmission as described in clause 8 in 3GPP TS 36.213 [4].

For BL/CE UEs, the same scrambling sequence is applied per subframe to PUSCH for a given block of acc N

subframes. For the th j block of acc N subframes, the scrambling sequence generator shall be initialised with

( )[ ] cellID9

acc01314

RNTIinit 210mod22 N N j jqnc +⋅++⋅+⋅=

where

acc00

0acc

PUSCHabs0 1,...,1,0

N i j

j N

N i j

=

−

−+=

and 0i is the absolute subframe number of the first uplink subframe intended for PUSCH. The PUSCH transmission

spans PUSCHabs N consecutive subframes including invalid subframes where the UE postpones the PUSCH transmission.

For a BL/CE UE configured in CEModeA, 1acc = N . For a BL/CE UE configured with CEModeB, 4acc = N for frame

structure type 1 and 5acc = N for frame structure type 2.

Up to two codewords can be transmitted in one subframe, i.e., { }1,0∈q . In the case of single-codeword transmission,0=q .

5.3.2 Modulation

For each codeword q , the block of scrambled bits )1(~

),...,0(~ (q)

bit)()(

− M bb qq

shall be modulated as described in

clause 7.1, resulting in a block of complex-valued symbols )1(),...,0()(

symb)()(

−qqq

M d d . Table 5.3.2-1 specifies the

modulation mappings applicable for the physical uplink shared channel.

Table 5.3.2-1: Uplink modulation schemes

Physical channel Modulation schemes

PUSCH QPSK, 16QAM, 64QAM

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5.3.2A Layer mapping

The complex-valued modulation symbols for each of the codewords to be transmitted are mapped onto one or two

layers. Complex-valued modulation symbols )1(),...,0()(

symb)()(

−qqq

M d d for codeword q shall be mapped onto the

layers [ ]

T

i xi xi x )(...)()(

)1()0( −=

υ

, 1,...,1,0

layer

symb −=

M i where υ is the number of layers and

layer

symb M is the number ofmodulation symbols per layer.

5.3.2A.1 Layer mapping for transmission on a single antenna port

For transmission on a single antenna port, a single layer is used, 1=υ , and the mapping is defined by

)()( )0()0( id i x =

with (0)symblayersymb M M = .

5.3.2A.2 Layer mapping for spatial multiplexingFor spatial multiplexing, the layer mapping shall be done according to Table 5.3.2A.2-1. The number of layers υ is less

than or equal to the number of antenna ports P used for transmission of the physical uplink shared channel.The case of a single codeword mapped to multiple layers is only applicable when the number of antenna ports used for

PUSCH is four.

Table 5.3.2A.2-1: Codeword-to-layer mapping for spatial multiplexing

Number of layers Number of codewordsCodeword-to-layer mapping

1,...,1,0layersymb −= M i

1 1 )()()0()0(

id i x = )0(

symblayersymb M M =

2 1)12()(

)2()()0()1(

)0()0(

+=

=

id i x

id i x 2)0(

symblayersymb M M =

2 2)()( )0()0( id i x = )1(

symb)0(

symblayersymb M M M ==

)()( )1()1( id i x =

3 2

)()( )0()0( id i x =

)12()(

)2()()1()2(

)1()1(

+=

=

id i x

id i x

2)1(

symb)0(


4 2)12()(

)2()()0()1(

)0()0(

+=

=

id i x

id i x

22 )1(symb)0(


)12()(

)2()()1()3(

)1()2(

+=

=

id i x

id i x

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5.3.3 Transform precoding

For each layer 1,...,1,0 −= υ λ the block of complex-valued symbols )1(),...,0( layersymb)()(

− M x x λ λ is divided into

PUSCHsc

layersymb M M sets, each corresponding to one SC-FDMA symbol. Transform precoding shall be applied according

to

1,...,0

1,...,0

)(1

)(

PUSCHsc

layersymb

PUSCHsc

1

0

2

PUSCHsc

)(

PUSCHsc

PUSCHsc

)(

PUSCHsc

PUSCHsc

−=

−=

+⋅=+⋅ ∑−

=

−

M M l

M k

ei M l x

M

k M l y

M

i

M

ik j

π

λ λ

resulting in a block of complex-valued symbols )1(),...,0(layersymb

)()(− M y y

λ λ . The variableRBsc

PUSCHRB

PUSCHsc N M M ⋅= ,

wherePUSCHRB M represents the bandwidth of the PUSCH in terms of resource blocks, and shall fulfil

ULRB

PUSCHRB

532 532 N M ≤⋅⋅= α α α

where 532 ,, α α α is a set of non-negative integers.

5.3.3A Precoding

The precoder takes as input a block of vectors [ ]T i yi y )(...)( )1()0( −υ , 1,...,1,0 layersymb −= M i from the transform

precoder and generates a block of vectors [ ]T P i zi z )()( )1()0( −K , 1,...,1,0 apsymb −= M i to be mapped onto resourceelements.

5.3.3A.1 Precoding for transmission on a single antenna port

For transmission on a single antenna port, precoding is defined by

)()()0()0(

i yi z =

where 1,...,1,0apsymb −= M i ,

layersymb

apsymb M M = .

5.3.3A.2 Precoding for spatial multiplexing

Precoding for spatial multiplexing is only used in combination with layer mapping for spatial multiplexing as described

in clause 5.3.2A.2. Spatial multiplexing supports 2=

P or 4=

P antenna ports where the set of antenna ports used forspatial multiplexing is { }21,20∈ p and { }43,42,41,40∈ p , respectively.

Precoding for spatial multiplexing is defined by

=

−− )(

)(

)(

)(

)1(

)0(

)1(

)0(

i y

i y

W

i z

i z

P υ

M M

where 1,...,1,0 apsymb −= M i ,layersymb

apsymb M M = .

The precoding matrix W of size υ ×P is given by one of the entries in Table 5.3.3A.2-1 for 2=P and by Tables

5.3.3A.2-2 through 5.3.3A.2-5 for 4=P where the entries in each row are ordered from left to right in increasing orderof codebook indices.

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Table 5.3.3A.2-1: Codebook for transmission on antenna ports { }21,20

Codebook indexNumber of layers

1=υ 2=υ

0

1

1

2

1

10

01

2

1

1

−1

1

2

1 -

2

j

1

2

1 -

3

− j

1

2

1 -

4

0

1

2

1 -

5

1

0

2

1 -

Table 5.3.3A.2-2: Codebook for transmission on antenna ports { }43,42,41,40 with 1=υ

Codebook index Number of layers 1=υ

0 – 7

−1

1

1

1

2

1

j

j

1

1

2

1

−

1

1

1

1

2

1

−

−

j

j

1

1

2

1

j

j

1

1

2

1

1

1

2

1

j

j

−

−

j

j

1

1

2

1

−

−

1

1

2

1

j

j

8 – 15

−

1

1

1

1

2

1

−

−

j

j

1

1

2

1

−

−

−

1

1

1

1

2

1

−

−

j

j

1

1

2

1

−

−

j

j

1

1

2

1

−

−

1

1

2

1

j

j

−

−

j

j

1

1

2

1

−

−

1

1

2

1

j

j

16 – 23

0

1

0

1

2

1

−

0

1

0

1

2

1

0

0

1

2

1

j

−

0

0

1

2

1

j

1

0

1

0

2

1

−1

0

1

0

2

1

j

0

1

0

2

1

− j

0

1

0

2

1

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0 – 3

− j010

01

01

2

1

j010

01

01

2

1

−

1010

0

01

2

1 j

−

−

1010

0

01

2

1 j

4 – 7

−

−

j0

10

01

01

2

1

−

j0

10

01

01

2

1

10

10

0

01

2

1 j

−10

10

0

01

2

1 j

8 – 11

10

01

10

01

2

1

−10

01

10

01

2

1

−

10

01

10

01

2

1

−

−

10

01

10

01

2

1

12 – 15

01

10

10

01

2

1

−

01

10

10

01

2

1

− 01

10

10

01

2

1

−

−

01

10

10

01

2

1



0 – 3

100

010

001

001

2

1

−

100

010

001

001

2

1

100

001

010

001

2

1

−

100

001

010

001

2

1

4 – 7

001

100

010

001

2

1

− 001

100

010

001

2

1

100

001

001

010

2

1

−

100

001

001

010

2

1

8 – 11

001

100

001

010

2

1

− 001

100

001

010

2

1

001

001

100

010

2

1

− 001

001

100

010

2

1



0

1000

0100

0010

0001

2

1

8/17/2019 PHY ts_136211v130100p

27/157

ETSI


5.3.4 Mapping to physical resources

For each antenna port p used for transmission of the PUSCH in a subframe the block of complex-valued symbols

)1(),...,0(apsymb

)~()~(− M z z

p p shall be multiplied with the amplitude scaling factor PUSCH β in order to confo

PHY ts_136211v130100p

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