Verizon 5G TF; Air Interface Working Group; Verizon 5th Generation Radio Access; Physical channels and modulation (Release 1)

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1 Verizon 5G TF; Air Interface Working Group; Verizon 5th Generation Radio Access; Physical channels and modulation (Release 1) 1, 16 Cio, Ericsson, Intel Corp., LG Electronics, Nokia, Qualcomm Technologies Inc., Samsung Electronics & Verizon V 1.7 Dilaimer: This document provides information related to 5G technology. All information provided herein is subject to change without notice. The members of the 5GTF dilaim and make no guaranty or warranty, express or implied, as to the accuracy or completeness of any information contained or referenced herein. THE 5GTF AND ITS MEMBERS DISCLAIM ANY IMPLIED WARRANTY OF MERCHANTABILITY, NON-INFRINGEMENT, OR FITNESS FOR ANY PARTICULAR PURPOSE, AND ALL INFORMATION IS PROVED ON AN AS-IS BASIS. No licenses under any intellectual property of any kind are provided by any person (whether a member of the 5GTF or not) that may be necessary to access or utilize any of the information contained herein, including, but not limited to, any source materials referenced herein, and any patents required to implement or develop any technology deribed herein. It shall be the responsibility of anyone attempting to use the information contained or referenced herein to obtain any such licenses, if necessary. The 5GTF and its members dilaim liability for any damages or losses of any nature whatsoever whether direct, indirect, special or consequential resulting from the use of or reliance on any information contained or referenced herein. 16 Cellco Partnership d/b/a Verizon Wireless; All rights reserved

2 Document History Version Date Change Verizon POC Draft version created Agreements after April 5GTF FF Agreements before May 5GTF FF v Agreements before May 5GTF FF v First version approved CR#1 approved New release including CR# CR# approved CR#3 approved New release including CR# and CR# CR#4 approved CR#5 approved CR#6 approved CR#7 approved CR#8 approved CR#9 approved CR#1 approved CR#11 approved CR#1 approved CR#13 approved CR#14 approved CR#15 approved CR#16 approved CR#17 approved CR#18 approved CR#19 approved CR# approved CR#1 approved CR# approved CR#3 approved CR#4 approved CR#5 approved CR#6 approved New release including CR#4, CR#5, CR#6, CR#7, CR#8, CR#9 and CR#1 New release including CR#11, CR#1, CR#13 and CR#14 New release including CR#15, CR#16, CR#17, CR#18, CR#19, CR#, CR#1 and CR# New release including CR#3, CR#4, CR#5, CR#6

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4 Table of Contents 1 Scope... 9 References Symbols and abbreviations Symbols Abbreviations Frame structure Uplink Overview Physical channels Physical signals Slot structure and physical resources Resource grid Resource elements Resource blocks Physical uplink shared channel (xpusch) Scrambling Modulation A Layer mapping Precoding Mapping to physical resources Physical uplink control channel (xpucch) xpucch format Reference signals Generation of the reference signal sequence Demodulation reference signal associated with xpucch Demodulation reference signal associated with xpusch Sounding reference signal Phase noise compensation reference signal OFDM baseband signal generation Physical random access channel (xprach) Random access preamble subframe Preamble sequence generation Baseband signal generation Scheduling Request Collection during RACH Periods Modulation and upconversion... 43

5 6 Downlink Overview Physical channels Physical signals Slot structure and physical resource elements Resource grid Resource elements Resource blocks Resource-element groups (xregs) Guard Period for TDD Operation General structure for downlink physical channels Scrambling Modulation Layer mapping Precoding Mapping to resource elements Physical downlink shared channel (xpdsch) Physical broadcast channel (xpbch) Scrambling Modulation Layer mapping and precoding Mapping to resource elements A Extended Physical broadcast channel A.1 Scrambling A. Modulation A.3 Layer mapping and precoding A.4 epbch Configuration A.5 Mapping to resource elements Physical downlink control channel (xpdcch) xpdcch formats xpdcch multiplexing and rambling Modulation Layer mapping and precoding Mapping to resource elements Reference signals UE-specific reference signals associated with xpdsch UE-specific reference signals associated with xpdcch CSI reference signals... 61

6 6.7.4 Beam reference signal (BRS) Beam refinement reference signals DL Phase noise compensation reference signal A Demodulation reference signal for xpbch Demodulation reference signals associated with epbch Synchronization signals Primary synchronization signal (PSS) Secondary synchronization signal (SSS) Extended synchronization signal OFDM baseband signal generation Modulation and upconversion Generic functions Modulation mapper BPSK QPSK QAM QAM Pseudo-random sequence generation Timing Uplink-downlink frame timing List of Figures Figure : Uplink resource grid Figure 5.3-1: Overview of uplink physical channel processing Figure : Mapping of xpucch demodulation reference signals... 9 Figure : DM-RS location... 3 Figure : Mapping of uplink DMRS according to RE mapping index k i... 3 Figure : Mapping of phase noise compensation reference signals according to RE mapping index k in case of l ' = i xpusch last Figure : Random access preamble Figure : Reception of RACH signal at 5GNB during RACH subframe Figure : SR preamble... 4 Figure 5.8-1: Uplink modulation Figure 6..-1: Downlink resource grid Figure 6.3-1: Overview of physical channel processing... 47

7 Figure : Mapping of UE-specific reference signals, antenna ports 8, 9, 1, 11, 1, 13, 14 and Figure : Mapping of CSI-RS for ol allocation... 6 Figure Mapping of beam reference signals including xpbch Figure : Mapping of BRRS showing a 1 ol allocation, e.g. l= Figure : Mapping of phase noise compensation reference signals, antenna ports 6 and 61 in case of =3 and l ' = l ' xpdsch first xpdsch last Figure 6.1-1: Downlink modulation Figure 8.1-1: Uplink-downlink timing relation List of Tables Table : Antenna ports used for different uplink physical channels and signals 14 Table : Resource block parameters 16 Table : Uplink modulation hemes 17 Table 5.3.A.-1: Codeword-to-layer mapping for spatial multiplexing 18 Table 5.3.A.3-1: Codeword-to-layer mapping for transmit diversity 18 Table : Codebook for transmission on antenna ports {4, 41} Table 5.4-1: Supported xpucch format 1 Table : Definition of (n) for RS M N. 4 Table : The sequence w p (i) 8 Table : m SRS,,,1,, 3 b UL b, values for the uplink bandwidth of 1 N 34 Table 5.6-1: OFDM parameters 38 Table : Random access preamble parameters 39 Table : Random access configuration 39 Table : Scheduling request preamble parameters 4 Table : Physical resource blocks parameters 46 Table : Modulation hemes 48 Table : Codeword-to-layer mapping for spatial multiplexing. 48 Table : Codeword-to-layer mapping for transmit diversity. 48 Table : xpbch modulation hemes. 51 Table 6.5.A.-1: epbch modulation hemes. 53 Table 6.5.A.4-1: epbch transmission periodicity 53 Table : Supported xpdcch formats 55 Table : xpdcch modulation hemes 55 Table : Codeword-to-layer mapping for transmit diversity 56

8 Table : The sequence w p (i) 58 Table : The sequence w p (i) 6 Table : 16 bit bitmap indicating a CSI resource configuration 63 Table : The sequence w p (i) 64 Table : Logical beam index mapping according to BRS transmission period 65 Table : Beam index mapping to OFDM ol in each beam reference signal 65 Table : The sequence in odd OFDM ol 71 Table : The sequence in even OFDM ol 71 Table : Root indices for the primary synchronization signal 71 Table : Mapping between physical-layer cell-identity group (1) N and the indices m and m 1 74 Table : Cyclic shifts for the extended synchronization signal 75 Table 6.9-1: OFDM parameters 77 Table : BPSK modulation mapping 79 Table : QPSK modulation mapping 79 Table : 16QAM modulation mapping 79 Table : 64QAM modulation mapping 8

9 1 Scope The present document deribes the physical channels for Verizon 5G Radio. 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.) 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 V5G document, a non-specific reference implicitly refers to the latest version of that document in the same Release as the present document. [1]: TS V5G.1: "Verizon 5G Radio Access (V5G RA); Physical layer; General deription". []: TS V5G.1: "Verizon 5G Radio Access (V5G RA); Multiplexing and channel coding". [3]: TS V5G.13: "Verizon 5G Radio Access (V5G RA); Physical layer procedures". 3 Symbols and abbreviations 3.1 Symbols For the purposes of the present document, the following ols apply: (, l) k Resource element with frequency-domain index k and time-domain index l ( p) k, l a Value of resource element ( k, l) for antenna port p D Matrix for supporting cyclic delay diversity D RA Density of random access opportunities per radio frame f Carrier frequency f RA xprach resource frequency index within the considered time-domain location PUSCH M Scheduled bandwidth for uplink transmission, expressed as a number of subcarriers PUSCH M Scheduled bandwidth for uplink transmission, expressed as a number of resource blocks

10 M bit Number of coded bits to transmit on a physical channel M Number of modulation ols to transmit on a physical channel layer M Number of modulation ols to transmit per layer for a physical channel ap M Number of modulation ols to transmit per antenna port for a physical channel N A constant equal to 48 for f 75 khz N CP,l Downlink cyclic prefix length for OFDM ol l in a slot N CS Cyclic shift value used for random access preamble generation () N Bandwidth available for use by xpucch formats, expressed in multiples of HO N The offset used for xpusch frequency hopping, expressed in number of resource blocks (set by higher layers) cell N Physical layer cell identity DL N Downlink bandwidth configuration, expressed in multiples of min, DL N N Smallest downlink bandwidth configuration, expressed in multiples of max, DL N Largest downlink bandwidth configuration, expressed in multiples of UL N Uplink bandwidth configuration, expressed in multiples of min, UL N N Smallest uplink bandwidth configuration, expressed in multiples of max, UL N Largest uplink bandwidth configuration, expressed in multiples of DL N Number of OFDM ols in a downlink slot UL N Number of OFDMA ols in an uplink slot N Resource block size in the frequency domain, expressed as a number of subcarriers N sb Number of sub-bands for xpusch frequency-hopping with predefined hopping pattern sb N Size of each sub-band for xpusch frequency-hopping with predefined hopping pattern, expressed as a number of resource blocks N SP Number of downlink to uplink switch points within the radio frame N N N N N

11 PUCCH N RS Number of reference ols per slot for xpucch N TA Timing offset between uplink and downlink radio frames at the UE, expressed in units of T s N TA offset Fixed timing advance offset, expressed in units of T s () n xpucch Resource index for xpucch formats n PDCCH Number of xpdcchs present in a subframe n P Physical resource block number RA n P First physical resource block occupied by xprach resource considered RA n Poffset First physical resource block available for xprach n V Virtual resource block number n RNTI Radio network temporary identifier n f n s P p System frame number Slot number within a radio frame Number of antenna ports used for transmission of a channel Antenna port number r RA Index for xprach versions with same preamble format and xprach density Q m ( s p ) l t Modulation order: for QPSK, 4 for 16QAM and 6 for 64QAM Time-continuous baseband signal for antenna port p and OFDM ol l in a slot () t RA Radio frame indicator index of xprach opportunity (1) t RA Half frame index of xprach opportunity within the radio frame () t RA Uplink subframe number for start of xprach opportunity within the half frame T f T s Radio frame duration Basic time unit

12 T slot Slot duration W Precoding matrix for downlink spatial multiplexing PRACH Amplitude aling for xprach PUCCH Amplitude aling for xpucch PUSCH Amplitude aling for xpusch SRS Amplitude aling for sounding reference ols f Subcarrier spacing f RA Subcarrier spacing for the random access preamble Number of transmission layers 3. Abbreviations For the purposes of the present document, the following abbreviations apply. 5GNB CCE CDD CSI DCI DM-RS epbch P REG SCG SRS V xpbch 5G NodeB Control Channel Element Cyclic Delay Diversity Channel-State Information Downlink Control Information Demodulation Reference Signal Extended Physical Broadcast CHannel Physical Resource Block Resource-Element Group Secondary Cell Group Sounding Reference Signal Virtual Resource Block 5G Physical Broadcast CHannel

13 xpdcch xpdsch xprach xpucch xpusch 5G Physical Downlink Control CHannel 5G Physical Downlink Shared CHannel 5G Physical Random Access CHannel 5G Physical Uplink Control CHannel 5G Physical Uplink Shared CHannel 4 Frame structure Throughout this specification, unless otherwise noted, the size of various fields in the time domain is T seconds. expressed as a number of time units s Each radio frame is T T 1 ms long and consists of 1 slots of length f 1536 s T slot 1536 Ts.1ms where subframe i consists of slots i Four subframe types are supported:, numbered from to 99. A subframe is defined as two consecutive slots and i 1. a. Subframe including DL control channel and DL data channel, b. Subframe including DL control channel, DL data channel and UL control channel, c. Subframe including DL control channel and UL data channel, d. Subframe including DL control channel, UL data channel and UL control channel. Subframe type can change on subframe basis. Transmissions in multiple cells can be aggregated where up to 7 secondary cells can be used in addition to the primary cell. Unless otherwise noted, the deription in this specification applies to each of the up to 8 serving cells. In case of multi-cell aggregation, different subframe type can be used in the different serving cells. UE may assume that there is no conflicting DL or UL transmit direction in a given OFDM ol on all heduled component carriers. 5 Uplink 5.1 Overview The smallest resource unit for uplink transmissions is denoted a resource element and is defined in clause 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 [] and the present document TS V5G.11. The following uplink physical channels are defined:

14 - Physical Uplink Shared Channel, xpusch - Physical Uplink Control Channel, xpucch - Physical Random Access Channel, xprach 5.1. 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. Slot structure and physical resources 5..1 Resource grid UL The transmitted signal in each slot is deribed by one or several resource grids of N N 1 UL subcarriers and N 7 OFDM ols. The resource grid is illustrated in Figure An antenna port is defined such that the channel over which a ol on the antenna port is conveyed can be inferred from the channel over which another ol 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 The index p ~ is used throughout clause when a sequential numbering of the antenna ports is necessary. Table : Antenna ports used for different uplink physical channels and signals Physical channel or signal Index ~ p the number of antenna ports configured for the respective physical channel/signal Antenna port number p as a function of xpusch SRS PCRS xpucch

15 One uplink slot Tslot UL N OFDM ols k N UL N 1 Resource block N UL N resource elements N subcarriers UL N N subcarriers Resource element ( k, l) UL l l N 1 k Figure : Uplink resource grid 5.. Resource elements Each element in the resource grid is called a resource element and is uniquely defined by the index pair UL k, l UL in a slot where k,..., N N 1 and l,..., N 1 are the indices in the frequency and time domains, respectively. Resource element k, l on antenna port p corresponds to the complex value a ( p) k, l. When there is no risk for confusion, or no particular antenna port is specified, the index p may be dropped. Quantities ( p) k, l 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.

16 5..3 Resource blocks A physical resource block is defined as N UL consecutive subcarriers in the frequency domain, where physical resource block in the uplink thus consists of consecutive OFDM ols in the time domain and UL N and UL one slot in the time domain and 9 khz in the frequency domain. Table : Resource block parameters N N are given by Table A N N resource elements, corresponding to UL Configuration N N Normal cyclic prefix 1 7 The relation between the physical resource block number elements ( k, l) in a slot is given by n P k N n P in the frequency domain and resource Virtual resource block groups of localized type UL UL UL Virtual resource block groups of localized type are numbered from to N 1, where 4N N. Virtual resource block group of index UL UL UL UL 4n, 4n 1, 4n, 4n 3. VG VG VG VG VG VG UL n VG is mapped to a set of physical resource blocks given by 5.3 Physical uplink shared channel (xpusch) The baseband signal representing the physical uplink shared channel is defined in terms of the following steps: - rambling - modulation of rambled bits to generate complex-valued ols - mapping of the complex-valued modulation ols onto one or several transmission layers - precoding of the complex-valued ols - mapping of precoded complex-valued ols to resource elements - generation of complex-valued time-domain OFDM signal for each antenna port Figure 5.3-1: Overview of uplink physical channel processing

17 5.3.1 Scrambling The block of codeword bits b( ),...,b( M bit 1), where M is the number of codeword bits transmitted bit on the physical uplink shared channel in one subframe, shall be rambled with a UE-specific rambling sequence prior to modulation, resulting in a block of rambled bits b ~ ( ),...,b ~ ( M bit 1) according to the following pseudo code Set i = while i M bit if b (i ) x // ACK/NACK or Rank Indication placeholder bits ~ b q ) ( ( i) 1 else if b (i ) y // ACK/NACK or Rank Indication repetition placeholder bits b ~ (i ) b ~ (i 1) i = i + 1 end while else // Data or channel quality coded bits, Rank Indication coded bits or ACK/NACK coded bits end if end if b ~ (i ) b(i ) c(i ) mod where x and y are tags defined in [] clause and where the rambling sequence c ( i ) is given by clause 7.. The rambling sequence generator shall be initialised with c cell nrnti q ns N at the start of each subframe where ns n s mod n and RNTI init corresponds to the RNTI associated with the xpusch transmission as deribed in clause 9 in [3] Modulation The block of rambled bits b ~ ( ),...,b ~ ( M bit 1) shall be modulated as deribed in clause 7.1, resulting in a block of complex-valued ols d( ),...,d( M 1). Table specifies the modulation mappings applicable for the physical uplink shared channel. Table : Uplink modulation hemes

18 Physical channel xpusch Modulation hemes QPSK, 16QAM, 64QAM 5.3.A Layer mapping The complex-valued modulation ols to be transmitted are mapped onto one or two layers. Complexvalued modulation ols d ( ),..., d( M () 1) shall be mapped onto the layers x( i) x ( i) or T () (1) x ( i) x ( i) x ( i), for one and two layer transmission respectively, i,1,..., M 1 where layer M is the number of modulation ols per layer. layer 5.3.A.1 Layer mapping for transmission on a single antenna port For transmission on a single antenna port, a single layer is used, 1, and the mapping is defined by () x ( i) d( i) with M M. layer 5.3.A. Layer mapping for spatial multiplexing For spatial multiplexing, the layer mapping shall be done according to Table 5.3.A.-1. Table 5.3.A.-1: Codeword-to-layer mapping for spatial multiplexing Codeword-to-layer mapping Number of layers i layer,1,..., M 1 () 1 x ( i) d( i) x x () (1) ( i) d(i) ( i) d(i 1) layer M M layer M M () () 5.3.A.3 Layer mapping for transmit diversity For transmit diversity the layer mapping shall be done according to Table 5.3.A.3-1. Table 5.3.A.3-1: Codeword-to-layer mapping for transmit diversity Number of layers x x () (1) Codeword-to-layer mapping i layer,1,..., M 1 ( i) d(i) ( i) d(i 1) M M layer

19 5.3.3 Precoding () ( 1) The precoder takes as input a block of vectors x ( i)... x ( i) T,,1,..., layer i M 1 from the layer ( ) ( P 1) mapping and generates a block of vectors z ( i)... z ( i) T ap, i,1,..., M 1 to be mapped onto resources elements Precoding for transmission on a single antenna port For transmission on a single antenna port, precoding is defined by where, i ap,1,..., M 1, ap layer M M. z i x i Precoding for transmit diversity Precoding for transmit diversity is only used in combination with layer mapping for transmit diversity as deribed in clause 5.3.A.3. Transmit diversity supports P antenna ports where the set of antenna p 4,41. ports used for transmit diversity is z ( i) z ( i) z ( i), i,1,..., M 1 of the precoding operation is defined by () (1) The output T ap () z (i) 1 (1) z (i) 1 () z (i 1) (1) z (i 1) 1 j 1 1 j Re x j Re x jim x Im x () (1) () (1) ( i) ( i) ( i) ( i) layer for i,1,..., M 1 with M M. ap layer Precoding for spatial multiplexing Precoding for spatial multiplexing is only used in combination with layer mapping for spatial multiplexing as deribed in clause 5.3.A.. Spatial multiplexing supports P antenna ports where the set of p 4,41. antenna ports used for spatial multiplexing is Precoding for spatial multiplexing is defined by ap where i,1,..., M 1, according to Table ap z z layer i 1 i y W y i 1 i M M and. The precoding matrix W (i) shall be generated

20 Table : Codebook for transmission on antenna ports {4, 41} Codebook Number of layers index j j Mapping to physical resources For each antenna port p, used for transmission of the physical channel, the block of complex-valued ols z shall be multiplied with the amplitude aling factor xpusch in order ~ p ~ p,, ap z M 1 to conform to the transmit power for xpusch as specified in [3], and mapped in sequence starting with ~ z p. The relation between the index ~ p and the antenna port p is given by Table The mapping to resource elements k, l meets the following criteria in the current subframe: - they are in the physical resource blocks corresponding assigned for transmission. xpusch - they are within the allocated ols l,l last as deribed in the UL assignment using DCI format A1/A in []. - they are not used for transmission of phase noise compensation reference signal. - they are not defined on REs in ol l = which are reserved to be used for UE-specific reference signals associated with xpusch. The mapping to resource elements k, l on antenna port p not reserved for other purposes shall be in increasing order of first the index k over the assigned physical resource blocks and then the index l. 5.4 Physical uplink control channel (xpucch) The physical uplink control channel, xpucch, carries uplink control information. The xpucch can be cell transmitted in the last ol of a subframe. xpucch uses a cyclic shift, n n ), which varies with the slot number n s according to n cell 7 UL i cs ( ns ) c(8n n ) i s i cs ( s

21 ns n s mod where the pseudo-random sequence c (i) is defined by clause 7.. The pseudo-random sequence generator shall be initialized with nsc nsc cinit n where n is given by clause The physical uplink control channel supports single format as shown in Table Table 5.4-1: Supported xpucch format xpucch format Modulation heme Number of bits per subframe, M bit QPSK xpucch format The block of bits b ( ),..., b ( M bit 1) shall be rambled with a UE-specific rambling sequence, ~ ~ resulting in a block of rambled bits b (),..., b ( M bit 1) according to ~ b( i) b( i) c( i) mod where the rambling sequence c (i) is given by clause 7.. The rambling sequence generator shall be initialised with at the start of each subframe where cell 16 n 1 N 1 nrnti c s init ns n s mod n RNTI is the C-RNTI. ~ ~ The block of rambled bits b (),..., b ( M bit 1) shall be QPSK modulated as deribed in sub-clause 7.1, resulting in a block of complex-valued modulation ols d ( ),..., d( M 1) where M. M bit Layer mapping The complex-valued modulation ols to be transmitted are mapped onto one or two layers. Complexvalued modulation ols d ( ),..., d ( M 1) shall be mapped on to the layers T ( ) ( 1) x ( i) x ( i)... x ( i), i layer,1,..., M 1 where is the number of layers and layer M is the number of modulation ols per layer. For transmission on a single antenna port, a single layer is used, 1, and the mapping is defined by layer () with M M. () x ( i) d( i)

22 For transmission on two antenna ports, and the mapping rule of can be defined by layer () with M M / Precoding x x () (1) ( i) d(i) ( i) d(i 1) () ( 1) The precoder takes as input a block of vectors x ( i)... x ( i) T,,1,..., layer i M 1 from the layer ( ) ( P1) mapping and generates a block of vectors y ( i) y ( i) T ap, i,1,..., M 1 to be mapped onto resource elements. For transmission on a single antenna port, precoding is defined by where i ap,1,..., M 1 and ap layer M M. () y ( i) x () ( i) ~ For transmission on two antenna ports, p,1, the output () (1) y ( i) y ( i) y ( i) T the precoding operation is defined by () y (i) (1) y (i) () y (i 1) (1) y (i 1) for i layer,1,..., M 1 with ap layer M M j j, i,1,..., M 1 of Re x j Re x jim x Im x The mapping to resource elements is defined by operations on quadruplets of complex-valued ols. ( ~ p Let ) ( ~ p ( ) ) ( ~ p ( ~ ( ~ (4 ), ) p (4 1), ) p w i y i y i y (4i ), y ) (4i 3) denote ol quadruplet i for antenna port p~, where i quad,1,..., M 1 and M 4. quad M ~ ) ~ ( ) quad () (1) () (1) ( i) ( i) ( i) ( i) ( p ( p The block of quadruplets w ),..., w ( M 1) shall be cyclically shifted, resulting in w ( ~ p ) ( ~ p where ) ( ~ p cell w i w ) ( i n ( n )) mod M Let. cs s quad ( p) ( p) ( p) ( p) ( p) w i y i y i y i y i ~ ) ( p ( ),..., w ( Mquad 1) ( ) (4 ), (4 1), (4 ), (4 3) denote another ol quadruplet i for antenna port p obtained after cell-specific cyclic shift. The block of complex-valued ols w shall be mapped to z according to ap

23 p xpucch xpucch ' ' 8 ' ( p z ) n () N N m N k y ( ) m k where and () n xpucch is indicated in the xpdcch. k k 1 k' k k 5 k 4 6 k 7 m',1,,,5 N xpucch Reference signals The following uplink reference signals are supported: - Demodulation reference signal, associated with transmission of xpucch - Demodulation reference signal, associated with transmission of xpusch - Sounding reference signal, not associated with transmission of xpusch or xpucch - Phase noise reference signal, associated with transmission of xpusch Generation of the reference signal sequence Reference signal sequence ( ) ( n ) is defined by a cyclic shift of a base sequence r ( ), u, v n according to RS r u v ( ) j n u, v n) e ru, v( n), r ( n M where M mn is the length of the reference signal sequence and1 m N. Multiple reference signal sequences are defined from a single base sequence through different values of. Base sequences ( ) r, v n RS u are divided into groups, where,1,..., 9 max,ul u is the group number and v is the base sequence number within the group, such that each group contains one base sequence ( v ) of RS RS each length M mn m 5 and two base sequences ( v, 1) of each length M mn, max,ul 6 m N. The sequence group number u and the number v within the group may vary in time as deribed in clause and , respectively. The definition of the base sequence RS ru, v(),..., ru, v( M 1) depends on the sequence length M Base sequences of length larger than RS RS 3N RS For M 3N, the base sequence ru, v(),..., ru, v( M 1) is given by RS u, v n) xq ( nmod NZC ), r ( n M RS

24 where the with q given by The length th q root Zadoff-Chu sequence is defined by x q qm( m1) j RS N RS m e ZC, m N 1 q q q 1 v ( 1) q N RS ZC ( u 1) 31 RS N ZC of the Zadoff-Chu sequence is given by the largest prime number such that Base sequences of length less than 3N ZC RS ZC RS N M. For RS M N, base sequence is given by j( n) 4 RS ru, v( n) e, n M 1 where the value of (n) is given by Table for Table : Definition of (n) for RS M N. RS M N.

25 u ( ),..., (3) Group hopping The sequence-group number u in slot n s is defined by a group hopping pattern f gh ( n s ) and a sequence-shift pattern f ss according to u f n ) f mod 3 gh( s ss There are 17 different hopping patterns and 3 different sequence-shift patterns. Sequence-group hopping can be enabled or disabled by means of the cell-specific parameter Group-hopping-enabled provided by higher layers. The group-hopping pattern f ) for SRS and is given by gh ( n s f ns ) gh( 7 c(8n i s i i) mod3 if group hopping isdisabled if group hopping is enabled

26 where the pseudo-random sequence c (i) is defined by clause 7.. The pseudo-random sequence generator shall be initialized with clause c init RS n 3 at the beginning of each radio frame where RS n is given by For SRS, the sequence-shift pattern Sequence hopping SRS f ss is given by f SRS ss n RS mod3 where RS n is given by clause Sequence hopping only applies for reference-signals of length RS M 6N. For reference-signals of length group is given by v. For reference-signals of length group in slot n s is defined by c( n s ) v RS M 6N, the base sequence number v within the base sequence RS M 6N, the base sequence number v within the base sequence if group hopping is disabled and sequence hopping is enabled otherwise where the pseudo-random sequence c (i) is given by section 7.. The parameter Sequence-hoppingenabled provided by higher layers determines if sequence hopping is enabled or not. For SRS, the pseudo-random sequence generator shall be initialized with RS n 5 RS c init n ssmod3 at the beginning of each radio frame where and is given by clause ss Determining virtual cell identity for sequence generation The definition of Sounding reference signals: RS n depends on the type of transmission. RS n is given by clause - - n RS RS N cell xsrs if no value for n n otherwise. xsrs n is configured by higher layers, 5.5. Demodulation reference signal associated with xpucch Demodulation reference signals associated with xpucch are transmitted on single antenna port p 1 or two antenna ports p, p 1.

27 Sequence generation For any of the antenna ports p 1,,1 the reference signal sequence r l, n ( m) is defined by 1 1, s ( m) r l n UL 1 c(m) j 1 c(m 1), m,1,..., 4 N max, 1 where n is the slot number within a radio frame and l is the OFDM ol number within the slot. The s pseudo-random sequence c (i) is defined in clause 7.. The pseudo-random sequence generator shall be initialised with c ( nsc ) 16 ns / n 1 nrnti 1 n init s n s mod at the start of each subframe where n RNTI is the C-RNTI. s The quantities ( i) n, i, 1, are given by - - ( ) cell n i N if no value for n ( i) n xpucch, i otherwise. i n xpucch, is provided by higher layers The value of nsc is zero unless specified otherwise. For a xpucch transmission, n SC is given by the DCI formats in [] associated with the xpucch transmission Mapping to resource elements In a physical resource block with frequency-domain index n P assigned for the corresponding xpucch transmission, a part of the reference signal sequence r (m) shall be mapped to complex-valued modulation ols ( p) k, l a in a subframe according to where ( p) ak, l wp ( mmod ) rl, n (4nP m) s

28 wp( i) n wp( i) wp(1 i) n k N n m l 6 m m' m 6 m,1,,3 ns mod 1 and the sequence w p (i) is given by Table Table : The sequence w p (i) P P P m 1 m 3 mod mod 1 Antenna port p w ) w (1) p( p 1 or Figure illustrates the resource elements used for xpucch demodulation reference signals according to the above definition. The notation is used to denote a resource elements used for reference signal transmission on antenna port p. R1 R1 R1 R1 l = l = 6 l = l = 6 even-numbered slots odd-numbered slots Antenna port 1

29 R R1 R R1 R R1 R R1 l = l = 6 l = l = 6 even-numbered slots odd-numbered slots Antenna port l = l = 6 l = l = 6 even-numbered slots odd-numbered slots Antenna port 1 Figure : Mapping of xpucch demodulation reference signals Demodulation reference signal associated with xpusch The xpusch demodulation reference signals are associated and transmitted with antenna port(s) 4,41 and Tx diversity; p for single antenna port transmission are associated with layer(s),1,..., 1 and transmitted with antenna port(s) 4,41 spatial multiplexing; are transmitted only on the physical resource blocks upon which the corresponding xpusch is mapped. p for DMRS for single antenna port transmission and Tx diversity Precoding W v layers P antenna ports (a) DMRS for single antenna port transmission and Tx diversity

30 DMRS for spatial multiplexing Precoding W v layers P antenna ports (b) DMRS for spatial multiplexing Figure : DM-RS location Sequence generation The reference-signal sequence r m is defined by r 1 1 max, UL m 1 cm j 1 cm 1, m,1,...,3 1 The pseudo-random sequence c (i) is defined in clause 7.. The pseudo-random sequence generator shall be initialised with c ( nsc ) 16 ns / 1 n 1 nsc init N. ns n s mod at the start of each subframe. The quantities n, i, 1, are given by ( i) - - n i N if no value for n ( ) ( i) n cell DMRS, i otherwise n DMRS,i is provided by higher layers The value of nsc is zero unless specified otherwise. For a xpusch transmission, n SC is given by the DCI format A1/A in [] associated with the xpusch transmission Mapping to resource elements In a physical resource block with frequency-domain index n P assigned for the corresponding xpusch transmission, a part of the reference signal sequence r (m) shall be mapped to complex-valued

31 modulation ols a in a subframe. Based on the RE mapping index k i indicated by DCI, the ( p) k ki, l ( p) ols a is mapped to resource elements k ki, l on antenna port p according to k ki, l For single antenna port transmission, a 4 rk k k, l For Tx diversity, a a 4 k k, l 41 k k, l 1 r r k k For spatial multiplexing with 1 layer transmission, a a 4 k k, l Wrk 41 k k, l where For spatial multiplexing with layer transmission, a a 4 4 k k, l k k, l k a a m,1, k k, l 1 k k, l 4m N np 1 r k W k k 4 l in even slot only r k The precoding matrix W shall be identical to the precoding matrix used in clause for precoding of the xpusch in the same subframe. Figure illustrates the resource elements used for reference signals.

32 k i = 3 k i = k i = 1 k i = Figure : Mapping of uplink DMRS according to RE mapping index k i Sounding reference signal Sounding reference signals are transmitted on antenna port(s), 4, Sequence generation ( ~ p The sounding reference signal sequence r ) ( ~ p ) n r n SRS u, v p. is defined by clause 5.5.1, where u is the sequence-group number defined in clause and is the base sequence number defined in clause The cyclic shift ~ p of the sounding reference signal is given as

33 cs where,1,,3,4,5,6,7 SRS cs,p nsrs ~ p 8 8 ~ cs ~ cs p,,p n SRS nsrs mod8 N ap ~ p,1,..., N 1 n is configured for aperiodic sounding by the higher-layer parameters cyclicshift-ap for each UE and transmission Mapping to physical resources ~ ap N ap is the number of antenna ports used for sounding reference signal The sequence shall be multiplied with the amplitude aling factor power SRS elements ( k, l) on antenna port p according to SRS in order to conform to the transmit ( p) P specified in clause in [3], and mapped in sequence starting with r () to resource ~ SRS a ( p) k ' k, l N 1 ( ~ p ) ( ') ',1,, RS SRSrSRS k k M, b ap otherwise 1 where N ap is the number of antenna ports used for sounding reference signal transmission and the relation between the index ~ p and the antenna port p is given by Table The quantity k is the frequency-domain starting position of the sounding reference signal, the sounding reference signal sequence defined as b B and SRS RS M,b is the length of M RS, b m SRS, b N where m SRS, b is given by Table The UE-specific parameter srs-bandwidth, BSRS {,1,,3 } is given by higher layers. The frequency-domain starting position k is defined by k k TC n N b k where TC {,1} is given by the UE-specific parameter transmissioncomb-ap, provided by higher n n layers for the UE, and b is frequency position index. The frequency position index b remains constant (unless re-configured) and is defined by nb 4nRRC where the parameter nrrcis given by higher-layer parameters freqdomainposition-ap, SRS can be transmitted simultaneously in multiple component carriers.

34 Table : m SRS,,,1,, 3 b b, values for the uplink bandwidth of N UL 1 SRS bandwidth configuration C SRS SRS- Bandwidth B SRS SRS- Bandwidth B SRS 1 SRS- Bandwidth B SRS SRS- Bandwidth B SRS 3 msrs, msrs, 1 msrs, m SRS, Sounding reference signal subframe configuration The sounding reference signal shall be transmitted in the last ol or the second last ol according to parameter conveyed in DCI. UE can distinguish which ol (last or second last ol) is for SRS transmission via SRS request ( bits) in DCI Phase noise compensation reference signal Phase noise compensation reference signals associated with xpusch are transmitted on antenna port(s) 4,41 p ; are present and are a valid reference for phase noise compensation only if the xpusch transmission is associated with the corresponding antenna port according to []; are transmitted only on the physical resource blocks and ols upon which the corresponding xpusch is mapped Sequence generation The reference-signal sequence r r m is defined by 1 1 N max, UL m 1 cm j 1 cm 1, m,1,..., / 41 The pseudo-random sequence c (i) is defined in clause 7.. The pseudo-random sequence generator shall be initialised with c ( nsc ) 16 ns / 1 n 1 nsc init. ns n s mod at the start of each subframe. The quantities n, i, 1, are given by ( i) - - n i N if no value for n ( ) ( i) n cell PCRS, i otherwise n PCRS,i is provided by higher layers

35 The value of nsc is zero unless specified otherwise. For a xpusch transmission, nsc is given by the DCI format in [] associated with the xpusch transmission Mapping to resource elements In a physical resource block with frequency-domain index n P assigned for the corresponding xpusch transmission, a part of the reference signal sequence r (m) shall be mapped to complex-valued ( p) modulation ols a, l for corresponding xpusch ols in a subframe according to: k i For single antenna port transmission, For Tx diversity, a a a k l 4 k, l 41 k, l 1 4, ' r( k'') r r k k For spatial multiplexing with 1 layer transmission, a a 4 k, l Wrk 41 k, l For spatial multiplexing with layer transmission, a a 4 4 k, l k, l a a k, l 1 k, l 1 r k W r k where the precoding matrix W shall be identical to the precoding matrix used in clause for precoding of the xpusch in the same subframe. xpusch For the starting physical resource block index of xpusch physical resource allocation n P, total xpusch number of allocated xpusch physical resource blocks N P, and RE mapping index k i indicated by DCI, the ols a is mapped to resource elements ( p), l k i l i k, on antenna port p according to:

36 k N m' ' n xpusch P m',1,,..., N 16,1 ' ki k 31 ki,3 k' ' m' / 4 ' { l' i l' i {3,..., l l' i ' { l' i l' i {3,..., l m' / 4mod k' ' 4 xpusch P 1 xpusch last xpusch last k ' }and }and l' i l' i is an odd number}, is an even number}, if k m' ', m i if k 1 m' ',3 m i '' '' where l ' is the ol index within a subframe and where xpusch for the given subframe. Resource elements k l' i signals regarding any value of RE mapping index,1,,3 xpusch l ' last is the ol index of the end of, used for transmission of UE-specific phase noise compensation reference xpusch on any antenna port in the same subframe. k shall not be used for transmission of i Figure illustrates the resource elements used for phase noise compensation reference signals.

37 k i = k i =1 k i = k i =3 k i = k i =1 k i = k i =3 m '' m '' 1 Figure : Mapping of phase noise compensation reference signals according to RE mapping index k in case of l ' =1. i xpusch last 5.6 OFDM baseband signal generation This clause applies to all uplink physical signals and uplink physical channels. The time-continuous signal ( s p ) l t for antenna port p in OFDM ol l in an uplink slot is defined by

38 s ( p) l ( p) jkf t NCP, lts t a ( ) e k N 1 UL N / k, l N UL N k 1 / a ( p) ( ) k, l for t NCP, l NTs where k ( ) k UL N N ( ) UL and k N N 1 ( p) and a is the content of resource element k, l on antenna port p. k, l e jkf t N T CP, l s k, 48 N, f 75 khz The OFDM ols in a slot shall be transmitted in increasing order of l, starting with l, where l1 OFDM ol l starts at time ( N CP, ) l l N Ts within the slot. Table lists the values of Table 5.6-1: OFDM parameters N CP, l that shall be used. Configuration Cyclic prefix length N CP, l Normal cyclic prefix 16 for l 144 for l 1,,..., Physical random access channel (xprach) Random access preamble subframe The physical layer random access preamble ol, illustrated in Figure consists of a cyclic prefix of length T CP and a sequence part of length T SEQ. Figure : Random access preamble Figure denotes how the 5GNB receives RACH from multiple UEs with preamble format in Table These UEs occupy the same set of subcarriers. Each UE transmits for two ols. UE1, UE3, UE9, etc. are located close to the 5GNB and they transmit for ten ols in total. UE, UE4,, UE1, etc. are located at cell edge. These UEs also transmit in the same ten ols. Due to the difference in distance, the signals of these UEs arrive at the 5GNB T RTT time later than those of UE1, UE3,, UE5.

39 Figure : Reception of RACH signal at 5GNB during RACH subframe The parameter values are listed in Table Table : Random access preamble parameters Preamble format T GP1 T CP T SEQ N SYM T GP 4*T s 656*T s 48*T s *T s 1 4*T s 1344 *T s 48*T s 8 136*T s Due to extended cyclic prefix, there are ten ols in this sub-frame for preamble format, and eight ols for preamble format 1 meant for 1km distance. Different subframe configurations for RACH are given below. Table : Random access configuration PRACH configuration System Frame Number Subframe Number Any 15, 4 1 Any 15 SFN%4= 15, 4 3 SFN%4= 15 RACH signal is transmitted by a single antenna port 1. The antenna port for RACH signal should have the same directivity as the one during which the measurement of the selected BRS beam was conducted Preamble sequence generation The random access preambles are generated from Zadoff-Chu sequences with a length of 71. The root Zadoff-Chu sequence is defined by th u

40 where the length layers. The random access preamble x u un( n1) j, ZC NZC n e n N 1 N ZC of the Zadoff-Chu sequence is 71. The value of the root is provided by higher x u n shall be mapped to resource elements according to k, l f x ( n) e {,1,} for format {} for format 1 k n 11* (6* n 1), 1 f f ' 1 f ' {,1} n,1...,7, where the cyclic shift, RACH subband index a u j vk 3, RACH if l is even if l is odd RACH {,1...7} {(,1),(,3),(4,5),(6,7),(8,9)} for format l {(,1),(,3),(4,5),(6,7)} for format 1 RACH n n and parameter ' f are provided by higher layers. For preamble format, the cyclic shift has 3 values. On the other hand, one cyclic shift value is used in a cell if preamble format 1 is configured. As outlined by the equations above, the RACH subframe provides 8 RACH subbands each occupying 6s; the parameter determines which subband is used by the UE. During the synchroniation subframe, the UE identifies the ol with a strong beam. A set of parameters provided by the upper layers is used to map the ol with the selected beam to the RACH ol index l, as deribed in Higher layers determine the component carrier, in which the UE transmits the RACH signal. There are 48 or 16 preambles available according to preamble format in each cell. The set of preambles in a cell is found by combination of cyclic shift, OCC, and band index. Preamble index is allocated as follows: n RACH where,

41 Procedure to Compute the Symbols of RACH Signal Layer 1 receives the following parameters from higher layers: System Frame Number, SFN the BRS transmission period as defined in clause expressed in units of ols the number of ols N during the RACH subframe for which the 5GNB applies different rx RACH NRACH 5, if preamble format = NRACH 4, if preamble format = 1 beams number of RACH subframes during 4 radio frames ( depending on RACH configuration) index of RACH subframe m ( ) the synchronization ol index of the selected beam, beam S ( S {,, N 1} ). The RACH subframes use the same beams as the synchronization subframes and in the same sequential order. Hence if the m-th RACH subframe occurs within 4 radio frames with the system frame number, it will use the beams of the synchronization ols identified by the set ( M SFN / 4 NRACH mnrach ( : NRACH 1))% NBRS, m{,, M 1} beam If S is among those ols, the UE shall transmit the RACH preamble during the RACH subframe. sync beam sync sync BRS The transmission should start at ol where beam l S / 4 % %, sync SFN M NRACH m NRACH NBRS NBRS Nrep N denotes the number of ols dedicated to a single RACH transmission. Here N. rep rep Baseband signal generation The baseband signal for PRACH is generated according to subclause 5.6 with a tone spacing of. The cyclic prefix with length of 656 or 1344 samples are inserted corresponding to the preamble format provided by higher layer Scheduling Request Collection during RACH Periods Scheduling request preamble slot Symbols for heduling request (SR) are transmitted during the RACH subframe. They occupy a different set of subcarriers than those of RACH signal. Scheduling request is collected from any UE in a similar manner as the RACH signal. The heduling request preamble, illustrated in Figure consists of a cyclic prefix of length T CP and a sequence part of length T SEQ. Both have the same values as their counterparts of the RACH preamble.

42 Figure : SR preamble Table : Scheduling request preamble parameters Preamble configuration T CP T SEQ 656 T s 48 T s T s 48 T s Preamble sequence generation The heduling request preambles are generated from Zadoff-Chu sequences. Higher layers control the set of preamble sequences used by the UE. The length of heduling request preamble sequence is 71. The by x u un( n1) j, ZC NZC n e n N 1 th u root Zadoff-Chu sequence is defined Where N. Twelve different cyclic shifts of this sequence are defined to obtain heduling request ZC 71 preamble sequence., The random access preamble shall be mapped to resource elements according to a k, l f x j vk 1 u ( n) e k n 11*(6* N, SR {,1,,...11} 51), n,1,...,7 1 if l is even f f ' if l is odd f ' { 1,1}. {(,1),(,3),(4,5),(6,7),(8,9)} for format l {(,1),(,3),(4,5),(6,7)} for format 1 As outlined by the equations above, the RACH subframe provides multiple subbands, each occupying 6s, for transmitting SR; the parameter determines which subband is used by the UE. The values N SR

43 of and N SR are received from upper layers. The ol index l is calculated in the same way as deribed in clause Baseband signal generation The baseband signal for SR is generated in the same manner as RACH as outlined in clause Modulation and upconversion Modulation and upconversion to the carrier frequency of the complex-valued OFDM baseband signal for each antenna port or the complex-valued xprach baseband signal is shown in Figure cos f t Re s l ( t ) (t ) s l Split Filtering Im s l ( t ) sin f t Figure 5.8-1: Uplink modulation 6 Downlink 6.1 Overview The smallest time-frequency unit for downlink transmission is denoted a resource element and is defined in clause Physical channels A downlink physical channel corresponds to a set of resource elements carrying information originating from higher layers and is the interface defined between [] and the present document TS V5G.11. The following downlink physical channels are defined: Physical Downlink Shared Channel, xpdsch Physical Broadcast Channel, xpbch Extended physical broadcast channel, epbch

44 Physical Downlink Control Channel, xpdcch 6.1. Physical signals A downlink physical signal corresponds to a set of resource elements used by the physical layer but does not carry information originating from higher layers. The following downlink physical signals are defined: Reference signal Synchronization signal 6. Slot structure and physical resource elements 6..1 Resource grid DL The transmitted signal in each slot is deribed by one or several resource grids of N N 1 DL subcarriers and N 7 OFDM ols. The resource grid structure is illustrated in Figure An antenna port is defined such that the channel over which a ol on the antenna port is conveyed can be inferred from the channel over which another ol on the same antenna port is conveyed. For beam sweeping transmission per an OFDM ol, i.e. synchronization signals/xpbch/brs, an antenna port is defined within an OFDM ol. For beam sweeping transmission per two consecutive OFDM ols, i.e. epbch, an antenna port is defined within two OFDM ols. For the other transmission, an antenna port is defined within a subframe. There is one resource grid per antenna port. 6.. Resource elements Each element in the resource grid for antenna port p is called a resource element and is uniquely DL identified by the index pair k, l in a slot where k,..., N N 1 and l,..., N 1 are the indices in the frequency and time domains, respectively. Resource element k, l on antenna port p corresponds to the complex value a ( p) k, l is specified, the index p may be dropped. DL. When there is no risk for confusion, or no particular antenna port

45 One downlink slot Tslot N DL OFDM ols k N DL N 1 Resource block N N DL resource elements subcarrier s DL N N subcarrier s N Resource element ( k, l) DL l l N 1 k Figure 6..-1: Downlink resource grid 6..3 Resource blocks Resource blocks are used to deribe the mapping of certain physical channels to resource elements. Physical resource blocks are defined. A physical resource block is defined as N consecutive OFDM ols in the time domain and DL N consecutive subcarriers in the frequency domain, where DL N are given by Table A physical resource block thus consists of N N resource elements, corresponding to one slot in the time domain and 9 khz in the frequency domain. DL N and

46 DL Physical resource blocks are numbered from to N 1 in the frequency domain. The relation between the physical resource block number is given by P n in the frequency domain and resource elements (, l) n P Table : Physical resource blocks parameters Configuration Normal cyclic prefix k N N DL N f 75 khz 1 7 k in a slot A physical resource-block pair is defined as the two physical resource blocks in one subframe having the same physical resource-block number n P. The size of a virtual resource block group is 4 times that of a physical resource block Virtual resource block groups of localized type DL Virtual resource block groups of localized type are numbered from to N 1, where VG DL DL DL 4NVG N. Virtual resource block group of index n VG is mapped to a set of physical resource DL DL DL DL blocks given by 4 n, 4n 1, 4n, 4n 3. VG VG VG VG 6..4 Resource-element groups (xregs) xregs are used for defining the mapping of control channels to resource elements. Each OFDM ol has 16 xregs. The xreg of index where n {, 1,, 15} consists of resource elements ( k, l) with k k k 6m xreg 1 - k 6 nxreg N -,1,4,5 k, 1 -,1,,...,11 m, The OFDM ol index is given by either of l = or l = {, 1} according to the xpdcch transmission configuration as deribed in [3] Guard Period for TDD Operation One OFDM ol serves as a guard period which shall be allocated at the switching period from a downlink transmission to an uplink transmission.

47 6.3 General structure for downlink physical channels This clause deribes a general structure, applicable to more than one physical channel. The baseband signal representing a downlink physical channel is defined in terms of the following steps: rambling of coded bits in each of the codewords to be transmitted on a physical channel modulation of rambled bits to generate complex-valued modulation ols mapping of the complex-valued modulation ols onto one or several transmission layers precoding of the complex-valued modulation ols on each layer for transmission on the antenna ports mapping of complex-valued modulation ols for each antenna port to resource elements generation of complex-valued time-domain OFDM signal for each antenna port Figure 6.3-1: Overview of physical channel processing Scrambling The block of codeword bits b ( ),..., b( M bit 1), where M is the number of codeword bits transmitted on bit the physical channel in one subframe, shall be rambled prior to modulation, resulting in a block of ~ rambled bits b ~ (),..., b ( M bit 1) according to ~ b( i) b( i) c( i) mod where the rambling sequence c (i) is given by clause 7.. The rambling sequence generator shall be initialised at the start of each subframe, where the initialisation value of c init depends on the transport channel type according to c init n RNTI 14 q 13 ns n s 9 cell ns N for xpdsch mod where n RNTI corresponds to the RNTI associated with the xpdsch transmission as deribed in clause 7.1 in [3].

48 6.3. Modulation The block of rambled bits b ~ ( ),...,b ~ ( Mbit 1) shall be modulated as deribed in clause 7.1 using one of the modulation hemes in Table , resulting in a block of complex-valued modulation ols d ( ),..., d( M 1). Table : Modulation hemes Physical channel xpdsch Modulation hemes QPSK, 16QAM, 64QAM Layer mapping The complex-valued modulation ols for the single codeword to be transmitted are mapped onto one or several layers. Complex-valued modulation ols d ( ),..., d( M 1) shall be mapped onto the layer x ( i) x ( i)... x ( i), i,1,..., M 1 where is the number of layers and ( ) ( 1) layers T number of modulation ols per layer Layer mapping for transmission on a single antenna port layer M is the For transmission on a single antenna port, a single layer is used, 1, and the mapping is defined by () x ( i) d( i) with M M. layer Layer mapping for spatial multiplexing For spatial multiplexing, the layer mapping shall be done according to Table The number of layers is less than or equal to the number of antenna ports P used for transmission of the physical channel. Table : Codeword-to-layer mapping for spatial multiplexing. Number of layers () 1 ( i) d( i) Codeword-to-layer mapping layer i,1,..., M 1 layer x M M x x () (1) ( i) d(i) ( i) d(i 1) M M layer Layer mapping for transmit diversity For transmit diversity, the layer mapping shall be done according to Table There is only one codeword and the number of layers is equal to the number of antenna ports P used for transmission of the physical channel. Table : Codeword-to-layer mapping for transmit diversity.

49 Number of layers x () ( i) d(i) (1) x ( i) d(i 1) Codeword-to-layer mapping layer i,1,..., M 1 M M layer Precoding The precoder takes as input one or two of vectors from the layer mapping and generates a block of ( p) vectors T ap y ( i)... y ( i)..., i,1,..., M 1 to be mapped onto resources on each of the antenna ( ) ports, where y p ( i) represents the signal for antenna port p Precoding for transmission on a single antenna port For transmission on a single antenna port, precoding is defined by ( ) y p ( i) x where p is the number of the single antenna port used for transmission of the physical channel and i ap,1,..., M 1, ap layer M M Precoding for transmit diversity Precoding for transmit diversity is only used in combination with layer mapping for transmit diversity as deribed in clause For transmission on two antenna ports, p 1 and of the precoding operation is defined by ( y ( y ( p1 y ( p y ) ) 1) (i) ) (i) (i 1) (i 1) for i layer,1,..., M 1 with ap layer M M. p p () ( i) p,, the output ( p ) ( p ) T j j y ( i) y ( i) y ( i), i,1,..., M 1 Re x j Re x jim x Im x Precoding for spatial multiplexing using antenna ports with UE-specific reference signals Precoding for spatial multiplexing using antenna ports with UE-specific reference signals is only used in combination with layer mapping for spatial multiplexing as deribed in clause Spatial multiplexing using antenna ports with UE-specific reference signals supports up to two antenna ports in p 8,...,15. the set of antenna ports In the following let, p 1 and p, denote the two antenna ports identified in the downlink resource allocation (see DCI Format definitions in []). () (1) () (1) ( i) ( i) ( i) ( i) ap

50 For transmission on one antenna port, the precoding operation is defined by: layer for i,1,..., M 1. ) () y ( p 1 ( i) x ( i ) For transmission on two antenna ports, the precoding operation is defined by: layer for i,1,..., M 1. y y ( p ) 1 ( p ) ( i) x ( i) x () (1) ( i) ( i) Mapping to resource elements For each of the antenna ports used for transmission of the physical channel, the block of complex-valued ( p) ( p) ap ols y (),..., y ( M 1) shall conform to the downlink power allocation specified in clause 6 in [3] and be mapped in sequence starting with () to resource elements k,l that are in the resource blocks assigned for transmission. ( p) y The mapping to resource elements k, l on antenna port p not reserved for other purposes shall be in increasing order of first the index k over the assigned physical resource blocks and then the index l. 6.4 Physical downlink shared channel (xpdsch) The xpdsch shall be processed and mapped to resource elements as deribed in clause 6.3 with the following additions and exceptions: The xpdsch shall be transmitted on antenna port(s) in the set p 8,9,...,15 of layers used for transmission of the xpdsch is one or two., where the number xpdsch xpdsch The index l in a subframe fulfils l l and l where l and are given in first xpdsch l last DCI formats B1 and B in []. xpdsch is not mapped to resource elements reserved for PCRS. If no PCRS is transmitted, xpdsch is mapped to the PCRS REs. If PCRS is transmitted in antenna port 6 or 61 or both, xpdsch is not mapped to the PCRS REs for both antenna port 6 and 61. they are not defined to be used for UE-specific reference signals associated with xpdsch for any of the antenna ports in the set {8, 9,, 15}. first xpdsch l last 6.5 Physical broadcast channel (xpbch) The Physical broadcast channel is transmitted using the same beams used for beam reference signals in each OFDM ol.

51 6.5.1 Scrambling The block of bits b ( ),..., b ( M bit 1), where M bit, the number of bits transmitted on the physical broadcast channel, equals to 548, shall be rambled with a cell-specific sequence prior to modulation, resulting in ~ ~ a block of rambled bits b (),..., b ( M bit 1) according to ~ b( i) b( i) c( i) mod where the rambling sequence c (i) is given by clause 7.. The rambling sequence shall be initialised with cell cinit N in each radio frame fulfilling Modulation ~ ~ The block of rambled bits b (),..., b ( M bit 1) shall be modulated as deribed in clause 7.1, resulting in a block of complex-valued modulation ols d ( ),..., d ( M 1). Table specifies the modulation mappings applicable for the physical broadcast channel. Table : xpbch modulation hemes. Physical channel xpbch Modulation hemes QPSK Layer mapping and precoding The block of modulation ols d ( ),..., d ( M 1) shall be mapped to layers according to clause and precoded according to clause , resulting in a block of vectors y( i) y i y i i,..., M 1. Then block of vectors 1 (7) y ( i) y i y i y ( i) T is obtained by setting ( ) ( ) ~ () y p ( ) i y ( i) for p{,,4,6 } and ( ) ~ (1) y p ( ) i y ( i) for p {1,3,5,7 }, where y p ( i) represents T ~ ~ ~ 1, the signal for antenna port p.the antenna ports p = 7 used for xpbch are identical to the antenna ports p =..7 used for the mapping of BRS according to Mapping to resource elements The block of complex-valued ols is transmitted during 4 consecutive radio frames starting in each radio frame fulfilling. The block of complex-valued ols are divided into 16 sub-block of complex-valued ols, which is given by Sub-block and 1:,, Sub-block and 3:,, Sub-block 4 and 5:,, Sub-block 6 and 7:,,

52 Sub-block 8 and 9:,, Sub-block 1 and 11:,, Sub-block 1 and 13:,, Sub-block 14 and 15:, The sub-frames and 5 in each radio frame shall be assigned to transmit xpbch together with synchronization signals. The sub-block of complex-valued ols is repeated on each OFDM ol in the subframe and it may be transmitted by different analog beams. The sub-blocks are repeated although transmitted with different information after every four radio frames, i.e., after every eight synchronization sub-frames. Focusing on four adjacent radio frames whose first eight bits of SFN are same and indexing the sub-frames of these radio frames from to 199, sub-block i and i+1 are transmitted in sub-frame 5i where. The even indexed sub-block of complex-valued ols transmitted shall be mapped in increasing order of the index in each OFDM ol. The resource-element indices are given by: The odd indexed sub-block of complex-valued ols transmitted in each subframe shall be mapped in decreasing order of the index in each OFDM ol. The resource-element indices are given by: where and Figures illustrates the resource elements used for xpbch according to the numerical definition. 6.5A Extended Physical broadcast channel The system information block to support standalone mode shall be transmitted on epbch via two antenna ports. The epbch is transmitted using the same multiple beams in consecutive OFDM ols, where.

53 The epbch is transmitted on a predefined or configured subframe. The essential system information for initial cell attachment and radio resource configuration shall be included in the system information block. 6.5A.1 Scrambling The block of bits b ( ),..., b ( M bit 1), where M bit, the number of bits transmitted on the extended physical broadcast channel, equals to, shall be rambled with a cell-specific sequence prior to modulation, ~ ~ resulting in a block of rambled bits b (),..., b ( M bit 1) according to ~ b( i) b( i) c( i) mod where the rambling sequence c(i) is given by clause 7.. The rambling sequence shall be initialised with where one subframe, and. ; ns is the slot number within a radio frame and is the OFDM ol number within 6.5A. Modulation ~ ~ The block of rambled bits b (),..., b ( M bit 1) shall be modulated as deribed in clause 7.1, resulting in a block of complex-valued modulation ols d ( ),..., d ( M 1). Table 6.5.A.-1 specifies the modulation mappings applicable for the extended physical broadcast channel. Table 6.5.A.-1: epbch modulation hemes. Physical channel epbch Modulation hemes QPSK 6.5A.3 Layer mapping and precoding The block of modulation ols d ( ),..., d ( M 1) shall be mapped to layers according to clause () with M M and precoded according to clause , resulting in a block of vectors T (5) (51) y ( i) y ( i), y ( i), i,..., M 1, where (5) y ( i ) (51) and y ( i) correspond to signals for antenna port 5 and 51, respectively. 6.5A.4 epbch Configuration The epbch transmission periodicity is configured by xpbch, which is given by Table 6.5.A.4-1. Table 6.5.A.4-1: epbch transmission periodicity

54 Indication bit epbch transmission periodicty epbch transmission is off N/A 1 4ms 4 1 8ms ms 16 The required number of subframes for epbch transmission is determined according to BRS transmission period, which is given by Table 6.5.A.4-. Table 6.5.A.4-: The number of subframes for epbch transmission according to BRS transmission period BRS transmission period # of subframes, 1 slot < 5ms 1 1 subframes = 5ms subframes = 1ms 4 4 subframes = ms 8 When the epbch transmission is on, the multiple subframes for epbch transmission are configured in the radio frame fulfilling assigned to transmit epbch according to Table 6.5.A The subframes in each configured radio frame shall be Table 6.5.A.4-3: Subframe configuration in each configured radio frame Configured subframes Value of in each configured radio frame 1 4 < 1 9, 4 6.5A.5 Mapping to resource elements In each OFDM ol of the configured subframes, the block of complex-valued ols is transmitted via two antenna ports. The block of complex-valued ols is transmitted using identical beams in consecutive OFDM ols. The set of logical beam sweeping indices and their order across pairs of OFDM ols in epbch subframes is identical to the set of logical beam indices and their order across OFDM ols used for BRS transmission during BRS transmission period. The beam indexing initialization for epbch is such that the set of logical beam indices for all, as defined in Table , is applied on the first ol pair of the first epbch subframe in The block of complex-valued ols transmitted in each OFDM ol shall be mapped in increasing order of the index k excluding DM-RS associated with epbch. The resource-element indices are given by

55 where. 6.6 Physical downlink control channel (xpdcch) xpdcch formats The physical downlink control channel (xpdcch) carries heduling assignments. A physical downlink control channel is transmitted using an aggregation of one or several consecutive enhanced control channel elements (CCEs) where each CCE consists of multiple resource element groups (REGs), defined in clause The number of CCEs used for one xpdcch depends on the xpdcch format as given by Table and the number of REGs per CCE is given by Table Table : Supported xpdcch formats PDCCH format Number of CCEs Number of resource-element groups Number of xpdcch bits xpdcch multiplexing and rambling The block of bits b ( ),..., b ( M bit 1) to be transmitted on an xpdcch in a subframe shall be rambled, ~ ~ resulting in a block of rambled bits b (),..., b ( M bit 1) according to ~ b( i) b( i) c( i) mod where the UE-specific rambling sequence c (i) is given by clause 7.. The rambling sequence 9 xpdcch generator shall be initialized with cinit ns n where ns n s mod and the quantity xpdcch n is given by xpdcch cell n N if no value for xpdcch n n otherwise. n is provided by higher layers Modulation ~ ~ The block of rambled bits b (),..., b ( M tot 1) shall be modulated as deribed in clause 7.1, resulting in a block of complex-valued modulation ols d ( ),..., d ( M 1). Table specifies the modulation mappings applicable for the physical downlink control channel. Table : xpdcch modulation hemes Physical channel xpdcch Modulation hemes QPSK

56 6.6.4 Layer mapping and precoding The layer mapping shall be done according to Table There is only one codeword and the number of layers is equal to two. Table : Codeword-to-layer mapping for transmit diversity Number of layers Number of codewords Codeword-to-layer mapping i layer,1,..., M 1 ( i) d (i) 1 x ( i) d (i 1) x () (1) () () layer M M () For transmission on two antenna ports, 17,19 ap i,1,..., M 1 of the precoding operation is defined by (17) (19) p, the output y ( i) y ( i) y ( i) T, y y 17 y i 19 y i 17 i 1 19 i j j Re x j Re x jim x Im x i 1 i i 1 i for i layer,1,..., M 1 with ap layer M M Mapping to resource elements The block of complex-valued ols y ( ),..., y ( M 1) shall be mapped in sequence starting with y ( ) to resource elements k, l on the associated antenna port which meet all of the following criteria: they are part of the xregs assigned for the xpdcch transmission, and l {, 1} equals the OFDM ol index The mapping to resource elements k, l on antenna port p meeting the criteria above shall be in increasing order of the index k. 6.7 Reference signals The following types of downlink reference signals are defined: UE-specific Reference Signal (DM-RS) associated with xpdsch UE-specific Reference Signal (DM-RS) associated with xpdcch CSI Reference Signal (CSI-RS) Beam measurement Reference Signal (BRS) Beam Refinement Reference Signal (BRRS) Phase noise reference signal, associated with transmission of xpdsch Demodulation reference signal for xpbch Reference Signal (DM-RS) associated with epbch

57 There is one reference signal transmitted per downlink antenna port UE-specific reference signals associated with xpdsch UE specific reference signals associated with xpdsch are transmitted on antenna port(s), p 8,9,...,15, indicated via DCI. are present and are a valid reference for xpdsch demodulation only if the xpdsch transmission is associated with the corresponding antenna port according to []; are transmitted only on the physical resource blocks upon which the corresponding xpdsch is mapped. A UE-specific reference signal associated with xpdsch is not transmitted in resource elements k, l in which one of the physical channels are transmitted using resource elements with the same index pair k, l regardless of their antenna port p Sequence generation For any of the antenna ports p 8,9,..., v 7, the reference-signal sequence r m is defined by ,,1,...,3 max, DL r m c m j c m m N 1. The pseudo-random sequence c (i) is defined in clause 7.. The pseudo-random sequence generator shall be initialised with c ( nsc ) 16 ns / 1 n 1 nsc init ns n s mod at the start of each subframe. The quantities n, i, 1, are given by ( i) ( ) cell n i N if no value for ( i) DMRS, i n n otherwise n DMRS,i is provided by higher layers The value of nsc is zero unless specified otherwise. For a xpdsch transmission, SC the DCI format in [] associated with the xpdsch transmission Mapping to resource elements p used for single port transmission, or ports P 1, p n is given by For antenna port 1 p used for two-port transmission in a physical resource block with frequency-domain index n assigned for the corresponding xpdsch transmission, a part of the reference signal sequence r (m) shall be mapped to complex-valued ( p) modulation ols a k, l in a subframe according to

58 a p w k'' r ''' k, l p k where k 4m' N np k' p 8,1 1 p 9,13 k' p 1,14 3 p 11,15 if k mod8 4 k'' 1 if 4 k mod 8 7 k k''' 4 l (in even slot only) m',1, The sequence w p (i) is given by Table Table : The sequence w p (i) Antenna port p w w 1 p p Resource elements k, l used for transmission of UE-specific reference signals to one UE on any of the antenna ports in the set S, where S 8,1, S 9,13, S 1,14 or S 11,15 shall not be used for transmission of xpdsch on any antenna port in the same subframe, and not be used for UE-specific reference signals to the same UE on any antenna port other than those in S in the same subframe. Figure illustrates the resource elements used for UE-specific reference signals for antenna ports 8, 9, 1, 11, 1, 13, 14 and 15.

59 Figure : Mapping of UE-specific reference signals, antenna ports 8, 9, 1, 11, 1, 13, 14 and UE-specific reference signals associated with xpdcch The demodulation reference signal associated with xpdcch is transmitted on the same antenna port p 17,19 as the associated xpdcch physical resource Sequence generation For any of the antenna ports 17,19 p, the reference-signal sequence r (m) is defined by

60 1 1 r( m) 1 c(m) j 1 c(m 1), m 1,,..., 3. The pseudo-random sequence c (n) is defined in clause 7.. The pseudo-random sequence generator shall be initialised with c xpdcch 16 xpdcch n / 1 n 1 n init s SC ns n s mod xpdcch at the start of each subframe where n and the quantity xpdcch n is given by SC xpdcch cell n N if no value for n is provided by higher layers n n otherwise. xpdcch xpdcch n is configured by higher layers where Mapping to resource elements For the antenna port p 17,19 shall be mapped to complex-valued modulation ols subframe according to where a m r ( ') ( p) k, l wp l m m' mod 6 ' / k k m ( p) k, l a in a m m' mod The sequence w p (i) is given by Table Table : The sequence w p (i) k 6 nxreg N n 16 xreg m ',1,...,3 l {,1}

61 Antenna port p w ) w (1) p ( p CSI reference signals CSI reference signals are transmitted on 8 or 16 antenna ports using p 16,..., 3 or p 16,..., 31 respectively. The antenna ports associated with CSI reference signals are paired into CSI-RS groups (CRGs). A CRG comprises of two consecutive antenna ports starting from antenna port p 16. One or more of the CRGs is associated with zero-power and used as interference measurement resource. The transmission of CSI- RS is dynamically indicated in the xpdcch Sequence generation The reference-signal sequence r l, n ( m) is defined by s 1 1 3, ( m) s r l n max,dl 1 c(m) j 1 c(m 1), m,1,..., N 1 where n s is the slot number within a radio frame and l is the OFDM ol number within the slot. The pseudo-random sequence c (i) is defined in clause 7.. The pseudo-random sequence generator shall at the start of each OFDM ol be initialised with The quantity c init 1 CSI CSI 7 n 1 l 1 N 1 N 1 s ns n s mod CSI N is configured to the UE using higher layer signalling Mapping to resource elements A CSI-RS resource allocation in a subframe comprises of one ol which is either the last or the second last ol, or the last two consecutive ols. In a subframe used for CSI-RS transmission, the reference signal sequence r l, n ( m) shall be mapped to complex-valued modulation ols ( p) k, l a on antenna port p according to ( p) ak, l rl, n ( m), s s where for p{16,17,18,19,,1,,3} k p 16 8m 8 for p{4,5,6,7,8,9,3,31}. 5 for p{16,17,18,19,,1,,3} l,and n s mod() 1 6 for p{4,5,6,7,8,9,3,31}

62 The mapping is illustrated in Figure frequency AP 16 ~ 3 AP 4 ~ 31 1P 1P ol subframe Time Figure : Mapping of CSI-RS for ol allocation A UE can be configured with a one ol allocation or a two ol allocation of a CSI-RS resource. Each of the REs comprising a CSI resource are configured as either CSI-RS resource (state ) (clause 8..5 in [3]) CSI IM resource (state 1) (clause 8..6 in [3]) A CSI resource configuration is configured via RRC signalling, and it comprises of a 16 bit bitmap indicating RE mapping deribed in Tables

63 The ol allocation for a CSI resource(s) corresponding to a UE within a subframe is dynamically indicated by the resource configuration field of the DCI. Table : 16 bit bitmap indicating a CSI resource configuration k=,8,16, l=1 k=1,9,17, l=1 k=,1,18, l=1 k=3,11,19, l=1 k=4,1,, l=1 k=5,13,1, l=1 k=6,14,, l=1 k=7,15,3, l=1 State /1 /1 /1 /1 /1 /1 /1 /1 k=,8,16, l=13 k=1,9,17, l=13 k=,1,18, l=13 k=3,11,19, l=13 k=4,1,, l=13 k=5,13,1, l=13 k=6,14,, l=13 k=7,15,3, l=13 State /1 /1 /1 /1 /1 /1 /1 / Beam reference signal (BRS) Beam reference signals are transmitted on one or several of antenna ports,1,..., Sequence generation p. The reference-signal sequence is defined by Where l =,1,,13 is the OFDM ol number. The pseudo-random sequence c (i) is defined in clause 7.. The pseudo-random sequence generator shall be initialised with at the start of each OFDM ol, where and Mapping to resource elements The reference signal sequence as reference ols for antenna port p according to shall be mapped to complex-valued modulation ols a used ( p) k, l with

64 PSS/SSS/ESS TS V5G.11 V1.7 (16-1) where and the sequence w p (i) is defined in Table BRS is transmitted from antenna ports p= 7. Table : The sequence w p (i) Antenna port p Resource elements k, l used for transmission of beam reference signals on any of the antenna ports shall be shared based on the orthogonal cover code in Table Figures illustrates the resource elements used for xpbch and beam reference signal transmission according to the numerical definition in and at each OFDM ol. Also shown is the cover code w on each resource mod element used for beam reference signal transmission on antenna port p. p 41 s 18 s 8 REs for BRS 4 REs for xpbch DM-RS 41 s

65 Figure Mapping of beam reference signals including xpbch Beam reference signal transmission period configuration The beam reference signal transmission period shall be configured by higher layers, which can be set to single slot, 1 subframe, subframes or 4 subframes. In each configuration, the maximum # of opportunities for different TX beam training and the logical beam indexes are given by Table , Table : Logical beam index mapping according to BRS transmission period BRS configuration (Indication bits) BRS transmission period 1 slot < 5ms 1 1 subframe = 5ms 1 subframes = 1ms 11 4 subframes = ms Maximum # of beam training opportunities Logical beam index where is the total number of antenna ports. The logical beam index mapping according to the transmission period is given by Table , Table : Beam index mapping to OFDM ol in each beam reference signal BRS configuration 1 1 st BRS Transmission Region BRS configuration st BRS Transmission Region nd BRS Transmission Region 3 rd BRS Transmission Region 4 th BRS Transmission Region where BRS transmission region is defined as a slot (in case of ) or a subframe (in all configuration cases except ) to transmit BRS, is antenna port number, is the logical beam index to transmit beam reference signals for antenna port number in i-th OFDM ol in n-th beam

66 reference signal slot or subframe. The beam indexing initialization is such that logical beam index for all is applied in for Beam refinement reference signals Beam refinement reference signals are transmitted on up to eight antenna ports using. The transmission and reception of BRRS is dynamically heduled in the downlink resource allocation on xpdcch Sequence generation The reference signal can be generated as follows. where n s is the slot number within a radio frame; l is the OFDM ol number within the slot; denotes a pseudo-random sequence defined by clause 7.. The pseudo-random sequence generator shall at the start of each OFDM ol be initialised with: The quantity is configured to the UE via RRC signalling Mapping to resource elements The reference signal sequence shall be mapped to complex-valued modulation ols on antenna port according to where The BRRS can be transmitted in OFDM ols l within a subframe, where l is configured by Indication of OFDM ol index for CSI-RS/BRRS allocation in DCI format in []. On each Tx antenna port, BRRS may be transmitted with different Tx beam.

67 Figure : Mapping of BRRS showing a 1 ol allocation, e.g. l= DL Phase noise compensation reference signal Phase noise compensation reference signals associated with xpdsch are transmitted on antenna port(s) p 6 and/or 61 p as signaled in DCI format in []; are present and are a valid reference for phase noise compensation only if the xpdsch transmission is associated with the corresponding antenna port according to []; are transmitted only on the physical resource blocks and ols upon which the corresponding xpdsch is mapped; are identical in all ols corresponding to xpdsch allocation Sequence generation For any of the antenna ports 6,61 p, the reference-signal sequence r m is defined by