ETSI TS V ( )

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1 TS 38 V5.. (8-7 TECHICAL SPECIFICATIO 5G; R; Physical chaels ad modulatio (3GPP TS 38. versio 5.. Release 5

2 3GPP TS 38. versio 5.. Release 5 TS 38 V5.. (8-7 Referece DTS/TSGR-38vf Keywords 5G 65 Route des Lucioles F-69 Sophia Atipolis Cedex - FCE Tel.: Fax: Siret AF 74 C Associatio à but o lucratif eregistrée à la Sous-Préfecture de Grasse (6 783/88 Importat otice The preset documet ca be dowloaded from: The preset documet may be made available i electroic versios ad/or i prit. The cotet of ay electroic ad/or prit versios of the preset documet shall ot be modified without the prior writte authorizatio of. I case of ay existig or perceived differece i cotets betwee such versios ad/or i prit, the oly prevailig documet is the prit of the Portable Documet Format (PDF versio kept o a specific etwork drive withi Secretariat. Users of the preset documet should be aware that the documet may be subect to revisio or chage of status. Iformatio o the curret status of this ad other documets is available at If you fid errors i the preset documet, please sed your commet to oe of the followig services: Copyright otificatio o part may be reproduced or utilized i ay form or by ay meas, electroic or mechaical, icludig photocopyig ad microfilm except as authorized by writte permissio of. The cotet of the PDF versio shall ot be modified without the writte authorizatio of. The copyright ad the foregoig restrictio exted to reproductio i all media. 8. All rights reserved. DECT TM, PLUGTESTS TM, UMTS TM ad the logo are trademarks of registered for the beefit of its Members. 3GPP TM ad LTE TM are trademarks of registered for the beefit of its Members ad of the 3GPP Orgaizatioal Parters. oemm logo is protected for the beefit of its Members. GSM ad the GSM logo are trademarks registered ad owed by the GSM Associatio.

3 3GPP TS 38. versio 5.. Release 5 TS 38 V5.. (8-7 Itellectual Property Rights Essetial patets IPRs essetial or potetially essetial to ormative deliverables may have bee declared to. The iformatio pertaiig to these essetial IPRs, if ay, is publicly available for members ad o-members, ad ca be foud i SR 34: "Itellectual Property Rights (IPRs; Essetial, or potetially Essetial, IPRs otified to i respect of stadards", which is available from the Secretariat. Latest updates are available o the Web server ( Pursuat to the IPR Policy, o ivestigatio, icludig IPR searches, has bee carried out by. o guaratee ca be give as to the existece of other IPRs ot refereced i SR 34 (or the updates o the Web server which are, or may be, or may become, essetial to the preset documet. Trademarks The preset documet may iclude trademarks ad/or tradeames which are asserted ad/or registered by their owers. claims o owership of these except for ay which are idicated as beig the property of, ad coveys o right to use or reproduce ay trademark ad/or tradeame. Metio of those trademarks i the preset documet does ot costitute a edorsemet by of products, services or orgaizatios associated with those trademarks. Foreword This Techical Specificatio (TS has bee produced by 3rd Geeratio Partership Proect (3GPP. The preset documet may refer to techical specificatios or reports usig their 3GPP idetities, UMTS idetities or GSM idetities. These should be iterpreted as beig refereces to the correspodig deliverables. The cross referece betwee GSM, UMTS, 3GPP ad idetities ca be foud uder Modal verbs termiology I the preset documet "shall", "shall ot", "should", "should ot", "may", "eed ot", "will", "will ot", "ca" ad "caot" are to be iterpreted as described i clause 3. of the Draftig Rules (Verbal forms for the expressio of provisios. "must" ad "must ot" are OT allowed i deliverables except whe used i direct citatio.

4 3GPP TS 38. versio 5.. Release 5 3 TS 38 V5.. (8-7 Cotets Itellectual Property Rights... Foreword... Modal verbs termiology... Foreword... 6 Scope... 7 Refereces Defiitios, ols ad abbreviatios Defiitios Symbols Abbreviatios Frame structure ad physical resources Geeral umerologies Frame structure Frames ad subframes Slots Physical resources Atea ports Resource grid Resource elemets Resource blocks Geeral Poit A Commo resource blocks Physical resource blocks Virtual resource blocks Badwidth part Carrier aggregatio Geeric fuctios Modulatio mapper /-BPSK BPSK QPSK QAM QAM QAM Sequece geeratio Pseudo-radom sequece geeratio Low-PAPR sequece geeratio Base sequeces of legth 36 or larger Base sequeces of legth less tha OFDM basebad sigal geeratio OFDM basebad sigal geeratio for all chaels except PCH OFDM basebad sigal geeratio for PCH Modulatio ad upcoversio... 6 Uplik Overview Overview of physical chaels Overview of physical sigals Physical resources Physical chaels Physical uplik shared chael Scramblig...

5 3GPP TS 38. versio 5.. Release 5 4 TS 38 V5.. ( Modulatio Layer mappig Trasform precodig Precodig Mappig to virtual resource blocks Mappig from virtual to physical resource blocks Physical uplik cotrol chael Geeral Sequece ad cyclic shift hoppig Group ad sequece hoppig Cyclic shift hoppig PUCCH format Sequece geeratio Mappig to physical resources PUCCH format Sequece modulatio Mappig to physical resources PUCCH format Scramblig Modulatio Mappig to physical resources PUCCH formats 3 ad Scramblig Modulatio Block-wise spreadig Trasform precodig Mappig to physical resources Physical radom-access chael Sequece geeratio Mappig to physical resources Physical sigals Referece sigals Demodulatio referece sigal for PUSCH Sequece geeratio (void Precodig ad mappig to physical resources Phase-trackig referece sigals for PUSCH Sequece geeratio Sequece geeratio if trasform precodig is ot eabled Sequece geeratio if trasform precodig is eabled Mappig to physical resources Precodig ad mappig to physical resources if trasform precodig is ot eabled Mappig to physical resources if trasform precodig is eabled Demodulatio referece sigal for PUCCH Demodulatio referece sigal for PUCCH format Sequece geeratio Mappig to physical resources Demodulatio referece sigal for PUCCH format Sequece geeratio Mappig to physical resources Demodulatio referece sigal for PUCCH formats 3 ad Sequece geeratio Mappig to physical resources Soudig referece sigal SRS resource Sequece geeratio Mappig to physical resources Soudig referece sigal slot cofiguratio Dowlik Overview Overview of physical chaels... 75

6 3GPP TS 38. versio 5.. Release 5 5 TS 38 V5.. ( Overview of physical sigals Physical resources Physical chaels Physical dowlik shared chael Scramblig Modulatio Layer mappig Atea port mappig Mappig to virtual resource blocks Mappig from virtual to physical resource blocks Physical dowlik cotrol chael (PDCCH Cotrol-chael elemet (CCE Cotrol-resource set (CORESET Scramblig PDCCH modulatio Mappig to physical resources Physical broadcast chael Scramblig Modulatio Mappig to physical resources Physical sigals Referece sigals Demodulatio referece sigals for PDSCH Sequece geeratio Mappig to physical resources Phase-trackig referece sigals for PDSCH Sequece geeratio Mappig to physical resources Demodulatio referece sigals for PDCCH Sequece geeratio Mappig to physical resources Demodulatio referece sigals for PBCH Sequece geeratio Mappig to physical resources CSI referece sigals Geeral Sequece geeratio Mappig to physical resources Sychroizatio sigals Physical-layer cell idetities Primary sychroizatio sigal Sequece geeratio Mappig to physical resources Secodary sychroizatio sigal Sequece geeratio Mappig to physical resources SS/PBCH block Time-frequecy structure of a SS/PBCH block Mappig of PSS withi a SS/PBCH block Mappig of SSS withi a SS/PBCH block Mappig of PBCH ad DM-RS withi a SS/PBCH block Time locatio of a SS/PBCH block Aex A: Chage history History... 97

7 3GPP TS 38. versio 5.. Release 5 6 TS 38 V5.. (8-7 Foreword This Techical Report has bee produced by the 3 rd Geeratio Partership Proect (3GPP. The cotets of the preset documet are subect to cotiuig work withi the TSG ad may chage followig formal TSG approval. Should the TSG modify the cotets of the preset documet, it will be re-released by the TSG with a idetifyig chage of release date ad a icrease i versio umber as follows: Versio x.y.z where: x the first digit: preseted to TSG for iformatio; preseted to TSG for approval; 3 or greater idicates TSG approved documet uder chage cotrol. y the secod digit is icremeted for all chages of substace, i.e. techical ehacemets, correctios, updates, etc. z the third digit is icremeted whe editorial oly chages have bee icorporated i the documet.

8 3GPP TS 38. versio 5.. Release 5 7 TS 38 V5.. (8-7 Scope The preset documet describes the physical chaels ad sigals for 5G-R. Refereces The followig documets cotai provisios which, through referece i this text, costitute provisios of the preset documet. [] 3GPP TR.95: "Vocabulary for 3GPP Specificatios". [] 3GPP TS 38.: "R; Physical Layer Geeral Descriptio" [3] 3GPP TS 38.: "R; Services provided by the physical layer" [4] 3GPP TS 38.: "R; Multiplexig ad chael codig" [5] 3GPP TS 38.3: "R; Physical layer procedures for cotrol " [6] 3GPP TS 38.4: "R; Physical layer procedures for data " [7] 3GPP TS 38.5: "R; Physical layer measuremets" [8] 3GPP TS 38.4: "R; Base Statio (BS radio trasmissio ad receptio" 3 Defiitios, ols ad abbreviatios 3. Defiitios For the purposes of the preset documet, the followig defiitios apply: 3. Symbols For the purposes of the preset documet, the followig ols apply: (, l p, μ k Resource elemet with frequecy-domai idex k ad time-domai idex l for atea port p ad subcarrier spacig cofiguratio μ ; see clause ( p, μ a k, l Value of resource elemet ( k, l for atea port p ad subcarrier spacig cofiguratio μ ; see clause β Amplitude scalig for a physical chael/sigal c ( P sequece; see clause 5.. Δ f Subcarrier spacig Δ f Subcarrier spacig for radom-access preambles κ The ratio betwee T s ad T c ; see clause 4. k Subcarrier idex relative to a referece l OFDM ol idex relative to a referece μ μ Subcarrier spacig cofiguratio, Δf = 5[kHz] (q M bit umber of coded bits to trasmit o a physical chael [for codeword q ] (q M umber of modulatio ols to trasmit o a physical chael [for codeword q ] layer M umber of modulatio ols to trasmit per layer for a physical chael PUSCH M sc Scheduled badwidth for uplik trasmissio, expressed as a umber of subcarriers PUSCH M RB Scheduled badwidth for uplik trasmissio, expressed as a umber of resource blocks

9 3GPP TS 38. versio 5.. Release 5 8 TS 38 V5.. (8-7 ap M umber of modulatio ols to trasmit per atea port for a physical chael υ umber of trasmissio layers size BWP,i Size of badwidth part i ; see clause start BWP,i Start of badwidth part i ; see clause μ CP,l Cyclic prefix legth; see clause 5.3. size, μ grid,x The size of the resource grid; see clauses 4.4. ad 5.3 start, μ grid,x The start of the resource grid; see clause 4.4. PTRS group The umber of PT-RS groups; see clause cell ID Physical layer cell idetity; see clause CORESET RB Frequecy-domai size of a cotrol resource set; see clause umber of resrouce-elemet groups i a CORESET; see clause CORESET REG umber of samples per PT-RS group; see clause group samp RB sc umber of subcarriers per resource block, see clause subframe, μ slot frame, μ slot umber of slots per subframe for subcarrier spacig cofiguratio μ, see clause 4.3. umber of slots per frame for subcarrier spacig cofiguratio μ, see clause 4.3. CORESET Time duratio of a cotrol resource set; see clause PUCCH Legth of the PUCCH trasmissio i OFDM ols; see clause subframe, μ umber of OFDM ols per subframe for subcarrier spacig cofiguratio μ ; see clause 4.3. slot umber of ols per slot TA Timig advace betwee dowlik ad uplik; see clause 4.3. A fixed offset used to calculate the timig advace; see clause 4.3. TA,offset šš Miimum time from receptio to trasmissio for a half-duplex UE; see clause 4.3. μ CRB Commo resource block umber for subcarrier spacig cofiguratio μ, see clause Physical resource block umber; see clause PRB Radio etwork temporary idetifier RTI μ Slot umber withi a subframe for subcarrier spacig cofiguratio μ ; see clause 4.3. s μ Slot umber withi a frame for subcarrier spacig cofiguratio μ ; see clause 4.3. s,f p Atea port umber Q m Modulatio order ρ umber of atea ports r v u, ( Low-PAPR base sequece; see clause 5.. ( α, δ r u v, ( ( t Low-PAPR sequece; see clause 5.. ( s p, μ l The time-cotiuous sigal o atea port p ad subcarrier spacig cofiguratio μ for OFDM ol l i a subframe; see clause 5.3. T Basic time uit for R; see clause 4. c T Radio frame duratio; see clause 4.3. T f s sf Basic time uit for LTE T Subframe duratio; see clause 4.3. T Slot duratio; see clause 4.3. slot T TA Timig advace betwee dowlik ad uplik; see clause 4.3. W Precodig matrix for spatial multiplexig

10 3GPP TS 38. versio 5.. Release 5 9 TS 38 V5.. ( Abbreviatios For the purposes of the preset documet, the followig abbreviatios apply: BWP Badwidth part CCE Cotrol chael elemet CORESET Cotrol resource set CRB Commo resource block CSI Chael-state iformatio CSI-RS CSI referece sigal DCI Dowlik Cotrol Iformatio DM-RS Demodulatio referece sigal FR Frequecy rage as defied i [8, TS 38.4] FR Frequecy rage as defied i [8, TS 38.4] IE Iformatio elemet PBCH Physical broadcast chael PDCCH Physical dowlik cotrol chael PDSCH Physical dowlik shared chael PCH Physical radom-access chael PRB Physical resource block PSS Primary sychroizatio sigal PT-RS Phase-trackig referece sigal PUCCH Physical uplik cotrol chael PUSCH Physical uplik shared chael REG Resource-elemet group SRS Soudig referece sigal SSS Secodary sychroizatio sigal VRB Virtual resource block 4 Frame structure ad physical resources 4. Geeral Throughout this specificatio, uless otherwise oted, the size of various fields i the time domai is expressed i time 3 uits Tc = ( Δf max f where Δf max = 48 Hz ad f = 496. The costat κ = Ts Tc = 64 where 3 Ts = ( Δfref f,ref, Δf = 5 Hz ad 48. ref 4. umerologies f, ref = Multiple OFDM umerologies are supported as give by Table 4.- where μ ad the cyclic prefix for a badwidth part are obtaied from the higher-layer parameter subcarrierspacig ad cyclicprefix, respectively. Table 4.-: Supported trasmissio umerologies. μ Δf μ = 5[kHz] Cyclic prefix 5 ormal 3 ormal 6 ormal, Exteded 3 ormal 4 4 ormal

11 3GPP TS 38. versio 5.. Release 5 TS 38 V5.. ( Frame structure 4.3. Frames ad subframes Dowlik ad uplik trasmissios are orgaized ito frames with = ( Δf T ms T f max f c = duratio, each T sf = Δf maxf Tc = duratio. The umber of cosecutive OFDM ols cosistig of te subframes of ( ms per subframe is subframe, μ slot subframe,μ slot =. Each frame is divided ito two equally-sized half-frames of five subframes each with half-frame cosistig of subframes 4 ad half-frame cosistig of subframes 5 9. There is oe set of frames i the uplik ad oe set of frames i the dowlik o a carrier. T = + T before the start of the Uplik frame umber i for trasmissio from the UE shall start TA ( TA TA,offset c correspodig dowlik frame at the UE where TA, offset depeds o the frequecy bad accordig to [38.33]. Dowlik frame i Uplik frame i 4.3. Slots Figure 4.3.-: Uplik-dowlik timig relatio. μ subframe, μ For subcarrier spacig cofiguratio μ, slots are umbered s {,..., slot } μ frame, μ subframe ad {,..., } i icreasig order withi a frame. There are ols i a slot where s, f slot i icreasig order withi a slot cosecutive OFDM slot depeds o the cyclic prefix as give by Tables ad The start of slot i a subframe is aliged i time with the start of OFDM ol slot s μ i the same subframe. OFDM ols i a slot ca be classified as 'dowlik', 'flexible', or 'uplik'. Sigalig of slot formats is described i subclause. of [5, TS 38.3]. I a slot i a dowlik frame, the UE shall assume that dowlik trasmissios oly occur i 'dowlik' or 'flexible' ols. I a slot i a uplik frame, the UE shall oly trasmit i 'uplik' or 'flexible' ols. A UE ot capable of full-duplex commuicatio is ot expected to trasmit i the uplik earlier tha šš after the ed of the last received dowlik ol i the same cell where šš is give by [TS 38.]. Table 4.3.-: umber of OFDM ols per slot, slots per frame, ad slots per subframe for ormal cyclic prefix. μ slot frame, μ slot subframe, μ slot μ s

12 3GPP TS 38. versio 5.. Release 5 TS 38 V5.. (8-7 Table 4.3.-: umber of OFDM ols per slot, slots per frame, ad slots per subframe for exteded cyclic prefix. μ slot frame, μ slot subframe, μ slot Physical resources 4.4. Atea ports A atea port is defied such that the chael over which a ol o the atea port is coveyed ca be iferred from the chael over which aother ol o the same atea port is coveyed. For DM-RS associated with a PDSCH, the chael over which a PDSCH ol o oe atea port is coveyed ca be iferred from the chael over which a DM-RS ol o the same atea port is coveyed oly if the two ols are withi the same resource as the scheduled PDSCH, i the same slot, ad i the same PRG as described i clause of [6, TS 38.4]. Two atea ports are said to be quasi co-located if the large-scale properties of the chael over which a ol o oe atea port is coveyed ca be iferred from the chael over which a ol o the other atea port is coveyed. The large-scale properties iclude oe or more of delay spread, Doppler spread, Doppler shift, average gai, average delay, ad spatial Rx parameters Resource grid For each umerology ad carrier, a resource grid of size, μ grid, x RB sc subcarriers ad subframe,μ OFDM ols is defied, start,μ startig at commo resource block grid idicated by higher-layer sigallig. There is oe set of resource grids per trasmissio directio (uplik or dowlik with the subscript x set to DL ad UL for dowlik ad uplik, respectively. Whe there is o risk for cofusio, the subscript x may be dropped. There is oe resource grid for a give atea port p, subcarrier spacig cofiguratio μ, ad trasmissio directio (dowlik or uplik. œ The carrier badwidth for subcarrier spacig cofiguratio Ê is give by the higher-layer parameter ƒ carrierbadwidth i the SCS-SpecificCarrier IE. The startig positio for subcarrier spacig cofiguratio Ê is give by the higher-layer parameter offsettocarrier i the SCS-SpecificCarrier IE. The frequecy locatio of a subcarrier refers to the ceter frequecy of that subcarrier. For the dowlik, the higher-layer parameter DCsubcarrierDL idicates the locatio of the trasmitter DC subcarrier i the dowlik for each of the umerologies cofigured i the dowlik. Values i the rage 399 represet the umber of the DC subcarrier ad the value 33 idicates that the DC subcarrier is located outside the resource grid. For the uplik, the higher-layer parameter DCsubcarrierUL idicate the locatio of the trasmitter DC subcarrier i the uplik for each of the cofigured badwidth parts, icludig whether the DC subcarrier locatio is offset by 7.5 khz relative to the ceter of the idicated subcarrier or ot. Values i the rage 399 represet the umber of the DC subcarrier, the value 33 idicates that the DC subcarrier is located outside the resource grid, ad the value 33 idicates that the positio of the DC subcarrier i the uplik is udetermied Resource elemets Each elemet i the resource grid for atea port p ad subcarrier spacig cofiguratio μ is called a resource elemet ad is uiquely idetified by ( k, l p, μ where k is the idex i the frequecy domai ad l refers to the ol positio i the time domai relative to some referece poit. Resource elemet ( k, l p, μ correspods to a physical resource ad the complex value a ( p, μ k, l. Whe there is o risk for cofusio, or o particular atea port or subcarrier spacig is specified, the idices p ad μ may be dropped, resultig i a or a k, l. ( p k, l

13 3GPP TS 38. versio 5.. Release 5 TS 38 V5.. ( Resource blocks Geeral RB sc = A resource block is defied as cosecutive subcarriers i the frequecy domai Poit A Poit A serves as a commo referece poit for resource block grids ad is obtaied from: - offsettopoita for a PCell dowlik represets the frequecy offset betwee poit A ad the lowest subcarrier of the lowest resource block of the SS/PBCH block used by the UE for iitial cell selectio, expressed i uits of resource blocks assumig 5 khz subcarrier spacig for FR ad 6 khz subcarrier spacig for FR; - absolutefrequecypoita for all other cases where absolutefrequecypoita represets the frequecy-locatio of poit A expressed as i ARFC Commo resource blocks Commo resource blocks are umbered from ad upwards i the frequecy domai for subcarrier spacig cofiguratio μ. The ceter of subcarrier of commo resource block for subcarrier spacig cofiguratio μ coicides with 'poit A'. The relatio betwee the commo resource block umber for subcarrier spacig cofiguratio μ is give by μ CRB i the frequecy domai ad resource elemets ( k, l μ CRB = k RB sc where k is defied relative to poit A such that k = correspods to the subcarrier cetered aroud poit A Physical resource blocks size BWP, i Physical resource blocks are defied withi a badwidth part ad umbered from to where i is the umber of the badwidth part. The relatio betwee the physical resource block PRB i badwidth part i ad the commo resource block CRB is give by where = + CRB PRB start BWP, i start BWP,i is the commo resource block where badwidth part starts relative to commo resource block Virtual resource blocks size BWP, i Virtual resource blocks are defied withi a badwidth part ad umbered from to where i is the umber of the badwidth part Badwidth part A badwidth part is a subset of cotiguous commo resource blocks defied i subclause for a give start, umerology μ i i badwidth part i o a give carrier. The startig positio μ BWP,i ad the umber of resource blocks size, μ start, μ start, μ start, μ size, μ start, μ size, μ start, μ start, μ size, μ BWP,i i a badwidth part shall fulfil grid, x BWP, i < grid, x + grid, x ad grid, x < BWP, i + BWP, i grid, x + grid, x, respectively. Cofiguratio of a badwidth part is described i clause of [5, TS 38.3]. A UE ca be cofigured with up to four badwidth parts i the dowlik with a sigle dowlik badwidth part beig active at a give time. The UE is ot expected to receive PDSCH, PDCCH, or CSI-RS (except for RRM outside a active badwidth part.

14 3GPP TS 38. versio 5.. Release 5 3 TS 38 V5.. (8-7 A UE ca be cofigured with up to four badwidth parts i the uplik with a sigle uplik badwidth part beig active at a give time. If a UE is cofigured with a supplemetary uplik, the UE ca i additio be cofigured with up to four badwidth parts i the supplemetary uplik with a sigle supplemetary uplik badwidth part beig active at a give time. The UE shall ot trasmit PUSCH or PUCCH outside a active badwidth part. For a active cell, the UE shall ot trasmit SRS outside a active badwidth part. Uless otherwise oted, the descriptio i this specificatio applies to each of the badwidth parts. 4.5 Carrier aggregatio Trasmissios i multiple cells ca be aggregated. Uless otherwise oted, the descriptio i this specificatio applies to each of the servig cells. 5 Geeric fuctios 5. Modulatio mapper The modulatio mapper takes biary digits, or, as iput ad produces complex-valued modulatio ols as output. 5.. π/-bpsk I case of /-BPSK modulatio, bit b (i is mapped to complex-valued modulatio ol d (i accordig to 5.. BPSK e d( i = π ( i mod [( b( i + ( b( i ] I case of BPSK modulatio, bit b (i is mapped to complex-valued modulatio ol d (i accordig to 5..3 QPSK d( i = i [( b( i + ( b( ] I case of QPSK modulatio, pairs of bits, b( i, b(i+, are mapped to complex-valued modulatio ols d (i accordig to QAM di ( = b( i + b(i+ ( ( I case of 6QAM modulatio, quadruplets of bits, b(4 i, b(4i+, b(4i+, b(4i+ 3, are mapped to complex-valued modulatio ols d (i accordig to QAM d( i = b(4 i b(4i+ + b(4i+ b(4i+ 3 {( ( ( ( } I case of 64QAM modulatio, hextuplets of bits, b(6 i, b(6i+, b(6i+, b(6i+ 3, b(6i+ 4, b(6i+ 5, are mapped to complex-valued modulatio ols d (i accordig to

15 3GPP TS 38. versio 5.. Release 5 4 TS 38 V5.. (8-7 {( ( ( ( ( ( } d( i = b(6 i 4 b(6i+ b(6i+ 4 + b(6i+ 4 b(6i+ 3 b(6i QAM I case of 56QAM modulatio, octuplets of bits, b(8 i, b(8i+, b(8i+, b(8i+ 3, b(8i+ 4, b(8i+ 5, b(8i+ 6, b(8i+ 7, are mapped to complex-valued modulatio ols d (i accordig to d( i = b(8 i 8 b(8i+ 4 b(8i+ 4 b(8i+ 6 7 {( ( ( ( ( (8 8 ( (8 3 4 ( (8 5 ( (8 7 } + b i+ b i+ b i+ b i+ 5. Sequece geeratio 5.. Pseudo-radom sequece geeratio Geeric pseudo-radom sequeces are defied by a legth-3 Gold sequece. The output sequece c ( of legth M P, where =,,..., M P, is defied by c( = ( x( + C + x ( + C mod x( + 3 = ( x( x( mod x ( + 3 = ( x ( x ( + + x ( + + x ( mod where = 6 ad the first m-sequece x ( shall be iitialized with x =, x ( =,,,..., 3. The C iitializatio of the secod m-sequece, x (, is deoted by c = x ( i with the value depedig o the = applicatio of the sequece. 5.. Low-PAPR sequece geeratio ( = 3 i iit i ( α, δ r u, v The low-papr sequece ( is defied by a cyclic shift α of a base sequece r u, v ( accordig to RB ZC m sc δ ( α, δ u, v = e α ru, v (, < r ( M where M = is the legth of the sequece. Multiple sequeces are defied from a sigle base sequece through differet values of α ad δ. Base sequeces r, v ( u,,...,9 is the group umber ad v is the base sequece RB δ umber withi the group, such that each group cotais oe base sequece ( v = of each legth MZC = msc, m δ RB δ 5 ad two base sequeces ( v =, of each legth MZC = msc, 6 m δ. The defiitio of the base sequece ru, v (,..., ru, v ( M ZC depeds o the sequece legth M ZC. u are divided ito groups, where { } 5... Base sequeces of legth 36 or larger RB ZC 3 sc For M, the base sequece ru, v (,..., ru, v ( M ZC is give by where ( m ( ru, v ( = xq mod π qm( m+ ZC x = e q ZC ZC

16 3GPP TS 38. versio 5.. Release 5 5 TS 38 V5.. (8-7 q = q + + v ( q = ZC ( u + 3 q The legth ZC is give by the largest prime umber such that ZC M ZC < Base sequeces of legth less tha 36 For { 6,,8,4} M the base sequece is give by ZC ϕ( π 4 ru, v ( = e, M ZC where the value of ϕ ( is give by Tables to For M ZC = 3, the base sequece ru, v (,..., ru, v ( M ZC is give by π ( u+ ( + ( + u, v, ZC r ( = e 3 M Table 5...-: Defiitio of ϕ ( for M 6. u ϕ(,..., ϕ( ZC =

17 3GPP TS 38. versio 5.. Release 5 6 TS 38 V5.. (8-7 Table 5...-: Defiitio of ϕ ( for M. Ü áá ZC =

18 3GPP TS 38. versio 5.. Release 5 7 TS 38 V5.. (8-7 Ü Table : Defiitio of ϕ ( for M 8 áá ZC =

19 3GPP TS 38. versio 5.. Release 5 8 TS 38 V5.. (8-7 Ü Table : Defiitio of ϕ ( for M 4 áá ZC = OFDM basebad sigal geeratio 5.3. OFDM basebad sigal geeratio for all chaels except PCH ( The time-cotiuous sigal s p, μ ( t o atea port p ad subcarrier spacig cofiguratio μ for OFDM ol subframe, slot {,,..., μ slot } l l i a subframe for ay physical chael or sigal except PCH is defied by μ start, l μ start, l size, μ RB grid sc size, RB ( p, μ ( p, μ π k k l ( = k, l f t T t k= s t a e where t t < t + ( u + T c μ μ μ μ ( + grid, x sc Δ ( CP, l c start, l start, size, ( x x ( x x k = + + μ μ start, μ size, μ RB RB grid, grid, sc grid, grid, sc μ CP, l is the time withi the subframe, μ μ μ μ μ u = 48κ 5κ μ CP, l = 44κ 44κ μ μ μ μ + 6κ exteded cyclic prefix ormal cyclic prefix, ormal cyclic prefix, l = or l = 7 μ l ad l 7 μ Δ f is give by clause 4., μ is the subcarrier spacig cofiguratio, ad Ê is the largest Ê value amog the subcarrier spacig cofiguratios provided to the UE for this carrer. The startig positio of OFDM ol l for subcarrier spacig cofiguratio μ i a subframe is give by

20 3GPP TS 38. versio 5.. Release 5 9 TS 38 V5.. (8-7 μ tstart, l = μ t + start, l μ μ ( + u CP, l T c l = otherwise 5.3. OFDM basebad sigal geeratio for PCH ( The time-cotiuous sigal s p, μ ( t o atea port p for PCH is defied by t where start start ( u CP, l c l L ( p, μ ( p, π k Kk k f t T t l ( = k k = s t a e ( ( + + Δ ( CP, l c start K =Δf Δf k = k μ start RB start RB RB size, μ RB o BWP, i sc sc RB sc grid sc μ start, μ size, μ RB start, μ size, μ = grid + grid sc grid + μ μ grid sc k t < t + + T ad - k is give by clause 6.3.3; ( - Δ f is the subcarrier spacig of the iitial active uplik badwidth part durig iitial access. Otherwise, the subcarrier spacig of the active uplik badwidth part; - Ê is the largest Ê value amog the subcarrier spacig cofiguratios provided to the UE for this carrer; Δ f is - - start BWP, i is the lowest umbered resource block of the iitial active uplik badwidth part based o commo resource block idexig ad is derived by the higher-layer parameter iitialuplikbwp durig iitial access. start Otherwise, BWP, i is the lowest umbered resource block of the active uplik badwidth part based o commo resource block idexig ad is derived by the higher-layer parameter UL-BWP; start is the frequecy offset of lowest PCH trasmissio occasio i frequecy domai with respect to PRB of the iitial active uplik badwidth part give by the higher-layer parameter msg-frequecystart durig start iitial access associated with the iitial active uplik badwidth part. Otherwise, is the frequecy offset of lowest PCH trasmissio occasio i frequecy domai with respect to physical resource block of the active uplik badwidth part give by the higher-layer parameter msg-frequecystart associated with the active uplik badwidth part; - is the PCH trasmissio occasio idex i frequecy domai for a give PCH trasmissio occasio i oe time istace as give by clause ; - RB is the umber of resource blocks occupied ad is give by the parameter allocatio expressed i umber of RBs for PUSCH i Table L ad u are give by clause CP, l = CP + 6κ where - for Δf {.5,5}kHz, = Δf, is the umber of times the iterval ( start start u CP t, t + + T c Δf max f Tc =.5 i a subframe - for { 5,3,6,}kHz The startig positio overlaps with either time istace or time istace ( ms start (for Δf { 6, } khz is give by t of the PCH preamble i a subframe (for { } Δf.5,5,5,3 khz or i a 6 khz slot

21 3GPP TS 38. versio 5.. Release 5 TS 38 V5.. (8-7 t t start μ start, l = t μ start, l l = = μ μ μ tstart, l + ( u + CP, l Tc otherwise where - the subframe or 6 khz slot is assumed to start at t = ; - a timig advace value TA = shall be assumed; where - u μ ad μ CP, l are give by clause 5.3.; - μ = shall be assumed for Δf {.5,5}kHz, otherwise it is give by Δf { 5,3,6,}kHz ad the ol positio l is give by l = l t dur slot - l is give by the parameter "startig ol" i Tables to ; t is the PCH trasmissio occasio withi the PCH slot, umbered i icreasig order from to,slot,slot t withi a CH slot where t is give Tables to for L = 39 ad fixed to for L = 839 ; dur is give by Tables to ; slot is give by - if Δf {.5,5,5,6 } khz, the slot = - if Δf { 3, } khz ad either of "umber of PCH slots withi a subframe" i Tables to or "umber of PCH slots withi a 6 khz slot" i Table is equal to, the - otherwise, { } slot, If the preamble format give by Tables to is A/B, A/B or A3/B3, the slot = - if Ž, the the PCH preamble with the correspodig PCH preamble format from B, B ad B3 is trasmitted i the PCH trasmissio occasio; - otherwise the PCH preamble with the correspodig PCH preamble format from A, A ad A3 is trasmitted i the PCH trasmissio occasio 5.4 Modulatio ad upcoversio Modulatio ad upcoversio to the carrier frequecy f of the complex-valued OFDM basebad sigal for atea port p, subcarrier spacig cofiguratio μ, ad OFDM ol l i a subframe assumed to start at t = is give by ( p, μ Re sl for all chaels ad sigals except PCH ad by Re ( t e πf μ μ ( tt T start, l ( { ( } p, μ s t e π f t l CP, l c ½ ¾

22 3GPP TS 38. versio 5.. Release 5 TS 38 V5.. (8-7 for PCH. 6 Uplik 6. Overview 6.. Overview of physical chaels A uplik physical chael correspods to a set of resource elemets carryig iformatio origiatig from higher layers. The followig uplik physical chaels are defied: - Physical Uplik Shared Chael, PUSCH - Physical Uplik Cotrol Chael, PUCCH - Physical Radom Access Chael, PCH 6.. Overview of physical sigals A uplik physical sigal is used by the physical layer but does ot carry iformatio origiatig from higher layers. The followig uplik physical sigals are defied: - Demodulatio referece sigals, DM-RS - Phase-trackig referece sigals, PT-RS - Soudig referece sigal, SRS 6. Physical resources The frame structure ad physical resources the UE shall use whe trasmittig i the uplik trasmissios are defied i Clause 4. The followig atea ports are defied for the uplik: - Atea ports startig with for PUSCH ad associated demodulatio referece sigals - Atea ports startig with for SRS - Atea ports startig with for PUCCH - Atea port 4 for PCH 6.3 Physical chaels 6.3. Physical uplik shared chael Scramblig ( q For the sigle codeword q =, the block of bits b (,..., b ( M bit, where M bit is the umber of bits i codeword q trasmitted o the physical chael, shall be scrambled prior to modulatio, resultig i a block of ~ ( q ~ ( q (q scrambled bits b (,..., b ( M accordig to the followig pseudo code Set i = bit ( q ( q ( q while if i < M ( b q ( q bit ( i = x // UCI placeholder bits ~ b q ( ( i =

23 3GPP TS 38. versio 5.. Release 5 TS 38 V5.. (8-7 else if ( b q ( i = y // UCI placeholder bits ~ ( q b ~ ( q ( i = b ( i else ed if ( i = ( q ( q ( b ( i + c ( i mod ~ ( q b ed if i = i + ed while where x ad y are tags defied i [4, TS 38.] ad where the scramblig sequece c q ( i is give by clause 5... The scramblig sequece geerator shall be iitialized with where - {,,...,3} ID 5 iit = RTI ID c + equals the higher-layer parameter datascrambligidetitypusch if cofigured ad the RTI equals the C-RTI or CS-RTI, ad the trasmissio is ot scheduled usig DCI format _ i a commo search space, ( - cell ID = ID otherwise ad where RTI correspods to the RTI associated with the PUSCH trasmissio as described i clause 6. of [6, TS 38.4] Modulatio ~ ( q ~ ( q (q For the sigle codeword q =, the block of scrambled bits b (,..., b ( M bit shall be modulated as described i clause 5. usig oe of the modulatio schemes i Table , resultig i a block of complex-valued modulatio ( q ( q (q ols d (,..., d ( M. Table : Supported modulatio schemes. Trasform precodig disabled Trasform precodig eabled Modulatio scheme Modulatio order Q m Modulatio scheme Modulatio order Q m /-BPSK QPSK QPSK 6QAM 4 6QAM 4 64QAM 6 64QAM 6 56QAM 8 56QAM Layer mappig For the sigle codeword q =, the complex-valued modulatio ols for the codeword to be trasmitted shall be mapped oto up to four layers accordig to Table Complex-valued modulatio ols d ( q (,..., d ( q ( M (q ( ( υ for codeword q shall be mapped oto the layers [ ] T x ( i = x ( i... x ( i i = layer,,..., M where υ is the umber of layers ad layer M is the umber of modulatio ols per layer.,

24 %. % depeds % 3GPP TS 38. versio 5.. Release 5 3 TS 38 V5.. ( Trasform precodig If trasform precodig is ot eabled accordig to 6..3 of [6, TS38.4], y ( i = x ( i for each layer λ =,,..., υ. ( λ ( λ If trasform precodig is eabled accordig to 6..3 of [6, TS38.4], υ = ad of phase-trackig referece sigals. x ( ( i o the cofiguratio If the procedure i [6, TS 38.4] idicates that phase-trackig referece sigals are ot beig used, the block of ( ( layer layer complex-valued ols x (,..., x ( M for the sigle layer λ = shall be divided ito M M sc ( ( sets, each correspodig to oe OFDM ol ad x ( i = x ( i If the procedure i [6, TS 38.4] idicates that phase-trackig referece sigals are beig used, the block of complexvalued ols x (,..., x ( M ( ( layer shall be divided ito sets, each set correspodig to oe OFDM ol, ad PUSCH group PTRS ( PUSCH where set l cotais Msc ε l samp group ols ad is mapped to the complex-valued ols x ( lm sc + i correspodig to OFDM ol l prior to trasform precodig, with i {,,..., M PUSCH sc } ad i m. The idex m of PT-RS samples i set l, the umber of samples per PT-RS group, ad the umber of PT-RS groups group samp are defied i clause The quatity ε l = whe OFDM ol l cotais oe or more PT-RS samples, otherwise ε l =. Trasform precodig shall be applied accordig to PUSCH PTRS group PUSCH M sc ( PUSCH ( PUSCH % sc sc PUSCH M i= sc y ( l M + k = x ( l M + i e PUSCH k =,..., Msc l =,..., M M layer PUSCH sc π ik M PUSCH sc layer resultig i a block of complex-valued ols y (,..., y ( M. The variable M where ( ( PUSCH sc PUSCH M RB represets the badwidth of the PUSCH i terms of resource blocks, ad shall fulfil PUSCH RB RB sc = M, where α, α3, α5 is a set of o-egative itegers Precodig ( ( υ The block of vectors [ y ( i... y ( i ] T M PUSCH RB = α layer α α , i =,,..., M shall be precoded accordig to where i = ap,,..., M, ap layer M procedure i [6, TS 38.4]. ( p ( z ( i y ( i M = W M ( pρ ( υ z ( i y ( i M =. The set of atea ports { } p shall be determied accordig to the,..., p ρ For o-codebook-based trasmissio, the precodig matrix W equals the idetity matrix. For codebook-based trasmissio, the precodig matrix W is give by W = for sigle-layer trasmissio o a sigle atea port, otherwise by Tables to with the TPMI idex obtaied from the DCI schedulig the uplik trasmissio.

25 TS 38 V5.. ( GPP TS 38. versio 5.. Release 5 Table : Precodig matrix W for sigle-layer trasmissio usig two atea ports. TPMI idex W (ordered from left to right i icreasig order of TPMI idex Table : Precodig matrix W for sigle-layer trasmissio usig four atea ports with trasform precodig eabled. TPMI idex W (ordered from left to right i icreasig order of TPMI idex

26 TS 38 V5.. ( GPP TS 38. versio 5.. Release 5 Table : Precodig matrix W for sigle-layer trasmissio usig four atea ports with trasform precodig disabled. TPMI idex W (ordered from left to right i icreasig order of TPMI idex Table : Precodig matrix W for two-layer trasmissio usig two atea ports with trasform precodig disabled. TPMI idex W (ordered from left to right i icreasig order of TPMI idex

27 TS 38 V5.. ( GPP TS 38. versio 5.. Release 5 Table : Precodig matrix W for two-layer trasmissio usig four atea ports with trasform precodig disabled. TPMI idex W (ordered from left to right i icreasig order of TPMI idex Table : Precodig matrix W for three-layer trasmissio usig four atea ports with trasform precodig disabled. TPMI idex W (ordered from left to right i icreasig order of TPMI idex

28 3GPP TS 38. versio 5.. Release 5 7 TS 38 V5.. (8-7 Table : Precodig matrix W for four-layer trasmissio usig four atea ports with trasform precodig disabled. TPMI idex W (ordered from left to right i icreasig order of TPMI idex Mappig to virtual resource blocks For each of the atea ports used for trasmissio of the PUSCH, the block of complex-valued ols ( p ( p ap z (,..., z ( M shall be multiplied with the amplitude scalig factor β PUSCH i order to coform to the trasmit power specified i [5, TS 38.3] ad mapped i sequece startig with ( i the virtual resource blocks assiged for trasmissio which meet all of the followig criteria: - they are i the virtual resource blocks assiged for trasmissio, ad ( p k, l p, z to resource elemets ( μ - the correspodig resource elemets i the correspodig physical resource blocks are ot used for trasmissio of the associated DM-RS, PT-RS, or DM-RS iteded for other co-scheduled UEs as described i clause The mappig to resource elemets ( k, l p, μ allocated for PUSCH accordig to [6, TS 38.4] shall be i icreasig order of first the idex k over the assiged virtual resource blocks, where k = is the first subcarrier i the lowestumbered virtual resource block assiged for trasmissio, ad the the idex l, with the startig positio give by [6, TS 38.4] Mappig from virtual to physical resource blocks Virtual resource blocks shall be mapped to physical resource blocks accordig to o-iterleaved mappig. For o-iterleaved VRB-to-PRB mappig, virtual resource block is mapped to physical resource block Physical uplik cotrol chael Geeral The physical uplik cotrol chael supports multiple formats as show i Table I case itra-slot frequecy hoppig is cofigured for PUCCH formats, 3, or 4 accordig to clause 9.. of [5, TS38.3], the umber of ols PUCCH PUCCH i the first hop is give by where is the legth of the PUCCH trasmissio i OFDM ols. Table : PUCCH formats. PUCCH format Legth i OFDM ols umber of bits PUCCH 4 4 > > >

29 3GPP TS 38. versio 5.. Release 5 8 TS 38 V5.. ( Sequece ad cyclic shift hoppig ( α, δ r u, v PUCCH formats,, 3, ad 4 use sequeces ( give by clause 5.. with δ = where the sequece group u ad the sequece umber v deped o the sequece hoppig i clause ad the cyclic shift α depeds o the cyclic shift hoppig i clause Group ad sequece hoppig u = f gh + f ss ad the sequece umber v withi the group depeds o the higher-layer The sequece group ( mod3 parameter pucch-grouphoppig: - if pucch-grouphoppig equals 'either' f f gh ss = = v = ID mod 3 where ID is give by the higher-layer parameter hoppigid. - if pucch-grouphoppig equals 'eable' 7 m μ ( m= ( ( f = c m mod3 f gh s,f hop ss = v = ID mod 3 where the pseudo-radom sequece c (i is defied by clause 5.. ad shall be iitialized at the begiig of c iit = ID 3 where ID is give by the higher-layer parameter hoppigid. each radio frame with - if pucch-grouphoppig equals 'disable' fgh = fss = ID mod 3 v = c + ( μ s,f hop where the pseudo-radom sequece c (i is defied by clause 5.. ad shall be iitialized at the begiig of each radio frame with ¹ where ID is give by the higher-layer parameter hoppigid. The frequecy hoppig idex hop = if itra-slot frequecy hoppig is disabled by the higher-layer parameter PUCCH-frequecy-hoppig. If frequecy hoppig is eabled by the higher-layer parameter PUCCH-frequecyhoppig, hop = for the first hop ad hop = for the secod hop Cyclic shift hoppig The cyclic shift È varies as a fuctio of the ol ad slot umber accordig to where RB sc - ˆ is the slot umber i the radio frame μ RB (( (, mod cs cs s,f sc π α l = m + m + l+ l - is the OFDM ol umber i the PUCCH trasmissio where correspods to the first OFDM ol of the PUCCH trasmissio,

30 3GPP TS 38. versio 5.. Release 5 9 TS 38 V5.. (8-7 - ƒ is the idex of the OFDM ol i the slot that correspods to the first OFDM ol of the PUCCH trasmissio i the slot give by [5, TS 38.3] - m is give by [5, TS 38.3] for PUCCH format ad while for PUCCH format 3 ad 4 is defied i subclause m cs = except for PUCCH format whe it depeds o the iformatio to be trasmitted accordig to subclause 9. of [5, TS 38.3]. The fuctio ( c, l is give by cs μ 7 m cs s,f m= s,f μ ( (, l = c l+ m where the pseudo-radom sequece c (i is defied by subclause 5... The pseudo-radom sequece geerator shall be iitialized with c iit = ID, where ID is give by the higher-layer parameter hoppigid PUCCH format Sequece geeratio The sequece x ( shall be geerated accordig to ( α, δ r u, v x RB α, δ ( l + = r ( sc ( u, v =,,..., l =, where ( is give by clause with subclause 9. of [5, TS 38.3]. RB sc Mappig to physical resources for sigle - ol PUCCH trasmissio for double -ol PUCCH trasmissio m cs depedig o the iformatio to be trasmitted accordig to The sequece x ( shall be multiplied with the amplitude scalig factor β PUCCH, i order to coform to the trasmit power specified i [5, TS 38.3] ad mapped i sequece startig with x ( to resource elemets assiged for trasmissio accordig to subclause 9.. of [5, TS 38.3] i icreasig order of first the idex k over the assiged physical resources, ad the the idex l o atea port p = PUCCH format Sequece modulatio The block of bits b (,..., b ( M bit shall be modulated as described i clause 5. usig BPSK if M ad QPSK if M bit =, resultig i a complex-valued ol d (. ( α, δ r u, v The complex-valued ol d ( shall be multiplied with a sequece ( ( α, δ r u, v y( = d( r =,,..., ( α, δ u, v RB sc ( accordig to where ( is give by clause The block of complex-valued ols y (,..., y( sc shall be blockwise spread with the orthogoal sequece w i (m accordig to RB bit =

31 3GPP TS 38. versio 5.. Release 5 3 TS 38 V5.. (8-7 z RB PUCCH, RB ( m + m + = w ( m y( sc SF, sc =,,..., m =,,..., m =, i RB sc PUCCH, SF, m o itra -slot frequecy hoppig itra - slot frequecy hoppigeabled PUCCH, where SF,m is give by Table Itra-slot frequecy hoppig shall be assumed whe the higher-layer parameter itraslotfrequecyhoppig is provided, regardless of whether the frequecy-hop distace is zero or ot, otherwise o itra-slot frequecy hoppig shall be assumed. The orthogoal sequece w i (m is give by Table where i is the idex of the orthogoal sequece to use accordig to subclause 9.. of [5, TS 38.3]. I case of a PUCCH trasmissio spaig multiple slots accordig to subclause 9..6 of [5, TS38.3], the complex-valued ol d ( is repeated for the subsequet slots. Table : umber of PUCCH ols ad the correspodig PUCCH legth, PUCCH, PUCCH, SF,m o itra-slot hoppig Itra-slot hoppig m = m = m = PUCCH, SF,m. Table : Orthogoal sequeces πϕ( m SF w ( m = e for PUCCH format. i ϕ i = i = i = i = 3 i = 4 i = 5 i = 6 [] [ ] [ ] [ ] [ ] [ ] [ ] [ ] [ ] [ ] [ ] [ 3 4] [ 4 3] [ 3 4 ] [ 4 3 ] [ ] [ 3 4 5] [ 4 4] [ 3 3 3] [ 4 4 ] [ ] - PUCCH, SF,m 7 [ ] [ ] [ ] [ ] [ ] [ ] [ ] Mappig to physical resources The sequece z ( shall be multiplied with the amplitude scalig factor β PUCCH, i order to coform to the trasmit power specified i [5, TS 38.3] ad mapped i sequece startig with z ( to resource elemets which meet all of the followig criteria: - they are i the resource blocks assiged for trasmissio accordig to subclause 9.. of [5, TS 38.3], - they are ot used by the associated DM-RS