ETSI TS 136 211 V12.3.

0 (2014-10)

TECHNICAL SPECIFICATION

LTE;
Evolved Universal Terrestrial Radio Access (E-UTRA);
Physical channels and modulation
(3GPP TS 36.211 version 12.3.0 Release 12)
 3GPP TS 36.211 version 12.3.0 Release 12 1 ETSI TS 136 211 V12.3.0 (2014-10)

Reference
RTS/TSGR-0136211vc30

Keywords
LTE

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3GPP TS 36.211 version 12.3.0 Release 12 2 ETSI TS 136 211 V12.3.0 (2014-10)

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

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

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

In the present document "shall", "shall not", "should", "should not", "may", "may not", "need", "need not", "will",
"will not", "can" and "cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms
for the expression of provisions).

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

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3GPP TS 36.211 version 12.3.0 Release 12 3 ETSI TS 136 211 V12.3.0 (2014-10)

Contents
Intellectual Property Rights ................................................................................................................................2
Foreword.............................................................................................................................................................2
Modal verbs terminology....................................................................................................................................2
Foreword.............................................................................................................................................................6
1 Scope ........................................................................................................................................................7
2 References ................................................................................................................................................7
3 Symbols and abbreviations.......................................................................................................................7
3.1 Symbols .............................................................................................................................................................. 7
3.2 Abbreviations ..................................................................................................................................................... 9
4 Frame structure .......................................................................................................................................10
4.1 Frame structure type 1 ...................................................................................................................................... 10
4.2 Frame structure type 2 ...................................................................................................................................... 11
5 Uplink .....................................................................................................................................................13
5.1 Overview .......................................................................................................................................................... 13
5.1.1 Physical channels ........................................................................................................................................ 13
5.1.2 Physical signals ........................................................................................................................................... 13
5.2 Slot structure and physical resources................................................................................................................ 13
5.2.1 Resource grid .............................................................................................................................................. 13
5.2.2 Resource elements ...................................................................................................................................... 15
5.2.3 Resource blocks .......................................................................................................................................... 15
5.3 Physical uplink shared channel ........................................................................................................................ 16
5.3.1 Scrambling .................................................................................................................................................. 16
5.3.2 Modulation.................................................................................................................................................. 17
5.3.2A Layer mapping ............................................................................................................................................ 18
5.3.2A.1 Layer mapping for transmission on a single antenna port ..................................................................... 18
5.3.2A.2 Layer mapping for spatial multiplexing ................................................................................................ 18
5.3.3 Transform precoding................................................................................................................................... 19
5.3.3A Precoding .................................................................................................................................................... 19
5.3.3A.1 Precoding for transmission on a single antenna port ............................................................................. 19
5.3.3A.2 Precoding for spatial multiplexing ........................................................................................................ 19
5.3.4 Mapping to physical resources.................................................................................................................... 22
5.4 Physical uplink control channel........................................................................................................................ 24
5.4.1 PUCCH formats 1, 1a and 1b ..................................................................................................................... 24
5.4.2 PUCCH formats 2, 2a and 2b ..................................................................................................................... 27
5.4.2A PUCCH format 3 ........................................................................................................................................ 28
5.4.3 Mapping to physical resources.................................................................................................................... 30
5.5 Reference signals .............................................................................................................................................. 31
5.5.1 Generation of the reference signal sequence ............................................................................................... 31
5.5.1.1 Base sequences of length 3N scRB or larger ............................................................................................ 31
5.5.1.2 Base sequences of length less than 3N scRB ............................................................................................ 32
5.5.1.3 Group hopping ...................................................................................................................................... 34
5.5.1.4 Sequence hopping ................................................................................................................................. 35
5.5.1.5 Determining virtual cell identity for sequence generation .................................................................... 35
5.5.2 Demodulation reference signal ................................................................................................................... 36
5.5.2.1 Demodulation reference signal for PUSCH .......................................................................................... 36
5.5.2.1.1 Reference signal sequence ............................................................................................................... 36
5.5.2.1.2 Mapping to physical resources ........................................................................................................ 38
5.5.2.2 Demodulation reference signal for PUCCH .......................................................................................... 38
5.5.2.2.1 Reference signal sequence ............................................................................................................... 38
5.5.2.2.2 Mapping to physical resources ........................................................................................................ 39
5.5.3 Sounding reference signal ........................................................................................................................... 41

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5.5.3.1 Sequence generation.............................................................................................................................. 41

5.5.3.2 Mapping to physical resources .............................................................................................................. 41
5.5.3.3 Sounding reference signal subframe configuration ............................................................................... 44
5.6 SC-FDMA baseband signal generation ............................................................................................................ 45
5.7 Physical random access channel ....................................................................................................................... 46
5.7.1 Time and frequency structure ..................................................................................................................... 46
5.7.2 Preamble sequence generation .................................................................................................................... 52
5.7.3 Baseband signal generation......................................................................................................................... 55
5.8 Modulation and upconversion .......................................................................................................................... 56
6 Downlink ................................................................................................................................................57
6.1 Overview .......................................................................................................................................................... 57
6.1.1 Physical channels ........................................................................................................................................ 57
6.1.2 Physical signals ........................................................................................................................................... 57
6.2 Slot structure and physical resource elements .................................................................................................. 58
6.2.1 Resource grid .............................................................................................................................................. 58
6.2.2 Resource elements ...................................................................................................................................... 59
6.2.3 Resource blocks .......................................................................................................................................... 60
6.2.3.1 Virtual resource blocks of localized type .............................................................................................. 60
6.2.3.2 Virtual resource blocks of distributed type ........................................................................................... 60
6.2.4 Resource-element groups ............................................................................................................................ 62
6.2.4A Enhanced Resource-Element Groups (EREGs) .......................................................................................... 63
6.2.5 Guard period for half-duplex FDD operation ............................................................................................. 63
6.2.6 Guard Period for TDD Operation ............................................................................................................... 63
6.3 General structure for downlink physical channels............................................................................................ 64
6.3.1 Scrambling .................................................................................................................................................. 64
6.3.2 Modulation.................................................................................................................................................. 64
6.3.3 Layer mapping ............................................................................................................................................ 65
6.3.3.1 Layer mapping for transmission on a single antenna port ..................................................................... 65
6.3.3.2 Layer mapping for spatial multiplexing ................................................................................................ 66
6.3.3.3 Layer mapping for transmit diversity .................................................................................................... 67
6.3.4 Precoding .................................................................................................................................................... 67
6.3.4.1 Precoding for transmission on a single antenna port ............................................................................. 67
6.3.4.2 Precoding for spatial multiplexing using antenna ports with cell-specific reference signals ................ 67
6.3.4.2.1 Precoding without CDD .................................................................................................................. 68
6.3.4.2.2 Precoding for large delay CDD ....................................................................................................... 68
6.3.4.2.3 Codebook for precoding and CSI reporting ..................................................................................... 69
6.3.4.3 Precoding for transmit diversity ............................................................................................................ 70
6.3.4.4 Precoding for spatial multiplexing using antenna ports with UE-specific reference signals................. 71
6.3.5 Mapping to resource elements .................................................................................................................... 72
6.4 Physical downlink shared channel .................................................................................................................... 73
6.5 Physical multicast channel ............................................................................................................................... 73
6.6 Physical broadcast channel ............................................................................................................................... 74
6.6.1 Scrambling .................................................................................................................................................. 74
6.6.2 Modulation.................................................................................................................................................. 74
6.6.3 Layer mapping and precoding .................................................................................................................... 74
6.6.4 Mapping to resource elements .................................................................................................................... 74
6.7 Physical control format indicator channel ........................................................................................................ 75
6.7.1 Scrambling .................................................................................................................................................. 75
6.7.2 Modulation.................................................................................................................................................. 75
6.7.3 Layer mapping and precoding .................................................................................................................... 75
6.7.4 Mapping to resource elements .................................................................................................................... 76
6.8 Physical downlink control channel ................................................................................................................... 77
6.8.1 PDCCH formats .......................................................................................................................................... 77
6.8.2 PDCCH multiplexing and scrambling ........................................................................................................ 77
6.8.3 Modulation.................................................................................................................................................. 77
6.8.4 Layer mapping and precoding .................................................................................................................... 78
6.8.5 Mapping to resource elements .................................................................................................................... 78
6.8A Enhanced physical downlink control channel .................................................................................................. 79
6.8A.1 EPDCCH formats ....................................................................................................................................... 79
6.8A.2 Scrambling .................................................................................................................................................. 80
6.8A.3 Modulation.................................................................................................................................................. 80

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6.8A.4 Layer mapping and precoding .................................................................................................................... 80

6.8A.5 Mapping to resource elements .................................................................................................................... 80
6.9 Physical hybrid ARQ indicator channel ........................................................................................................... 82
6.9.1 Modulation.................................................................................................................................................. 82
6.9.2 Resource group alignment, layer mapping and precoding .......................................................................... 83
6.9.3 Mapping to resource elements .................................................................................................................... 85
6.10 Reference signals .............................................................................................................................................. 87
6.10.1 Cell-specific Reference Signal (CRS)......................................................................................................... 87
6.10.1.1 Sequence generation.............................................................................................................................. 87
6.10.1.2 Mapping to resource elements............................................................................................................... 87
6.10.2 MBSFN reference signals ........................................................................................................................... 91
6.10.2.1 Sequence generation.............................................................................................................................. 91
6.10.2.2 Mapping to resource elements............................................................................................................... 91
6.10.3 UE-specific reference signals associated with PDSCH .............................................................................. 93
6.10.3.1 Sequence generation.............................................................................................................................. 93
6.10.3.2 Mapping to resource elements............................................................................................................... 94
6.10.3A Demodulation reference signals associated with EPDCCH ........................................................................ 99
6.10.3A.1 Sequence generation.............................................................................................................................. 99
6.10.3A.2 Mapping to resource elements............................................................................................................... 99
6.10.4 Positioning reference signals .................................................................................................................... 101
6.10.4.1 Sequence generation............................................................................................................................ 101
6.10.4.2 Mapping to resource elements............................................................................................................. 101
6.10.4.3 Positioning reference signal subframe configuration .......................................................................... 102
6.10.5 CSI reference signals ................................................................................................................................ 104
6.10.5.1 Sequence generation............................................................................................................................ 104
6.10.5.2 Mapping to resource elements............................................................................................................. 104
6.10.5.3 CSI reference signal subframe configuration ...................................................................................... 108
6.11 Synchronization signals .................................................................................................................................. 109
6.11.1 Primary synchronization signal................................................................................................................. 109
6.11.1.1 Sequence generation............................................................................................................................ 109
6.11.1.2 Mapping to resource elements............................................................................................................. 109
6.11.2 Secondary synchronization signal............................................................................................................. 110
6.11.2.1 Sequence generation............................................................................................................................ 110
6.11.2.2 Mapping to resource elements............................................................................................................. 111
6.12 OFDM baseband signal generation ................................................................................................................ 113
6.13 Modulation and upconversion ........................................................................................................................ 113
7 Generic functions .................................................................................................................................114
7.1 Modulation mapper ........................................................................................................................................ 114
7.1.1 BPSK ........................................................................................................................................................ 114
7.1.2 QPSK ........................................................................................................................................................ 114
7.1.3 16QAM ..................................................................................................................................................... 115
7.1.4 64QAM ..................................................................................................................................................... 116
7.1.5 256QAM ................................................................................................................................................... 117
7.2 Pseudo-random sequence generation.............................................................................................................. 120
8 Timing ..................................................................................................................................................120
8.1 Uplink-downlink frame timing ....................................................................................................................... 120

Annex A (informative): Change history .............................................................................................121

History ............................................................................................................................................................125

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

The contents of the present document are subject to continuing work within the TSG and may change following formal
TSG approval. Should the TSG modify the contents of the present document, it will be re-released by the TSG with an
identifying change of release date and an increase in version number as follows:

Version x.y.z

where:

x the first digit:

1 presented to TSG for information;

2 presented to TSG for approval;

3 or greater indicates TSG approved document under change control.

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

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

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3GPP TS 36.211 version 12.3.0 Release 12 7 ETSI TS 136 211 V12.3.0 (2014-10)

1 Scope
The present document describes the physical channels for evolved UTRA.

2 References
The following documents contain provisions which, through reference in this text, constitute provisions of the present
document.

• References are either specific (identified by date of publication, edition number, version number, etc.) or
non-specific.

• For a specific reference, subsequent revisions do not apply.

• For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document (including
a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same
Release as the present document.

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

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

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

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

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

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

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

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

[9] 3GPP TS 36.331, “Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Resource
Control (RRC) Protocol specification”

3 Symbols and abbreviations

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

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

a k( ,pl ) Value of resource element (k , l ) [for antenna port p ]
D Matrix for supporting cyclic delay diversity

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DRA Density of random access opportunities per radio frame

f0 Carrier frequency
f RA PRACH resource frequency index within the considered time-domain location
M scPUSCH Scheduled bandwidth for uplink transmission, expressed as a number of subcarriers
PUSCH
M RB Scheduled bandwidth for uplink transmission, expressed as a number of resource blocks
(q)
M bit Number of coded bits to transmit on a physical channel [for codeword q ]
(q)
M symb Number of modulation symbols to transmit on a physical channel [for codeword q ]
layer
M symb Number of modulation symbols to transmit per layer for a physical channel
ap
M symb Number of modulation symbols to transmit per antenna port for a physical channel
N A constant equal to 2048 for Δf = 15 kHz and 4096 for Δf = 7.5 kHz
N CP ,l Downlink cyclic prefix length for OFDM symbol l in a slot
N CS Cyclic shift value used for random access preamble generation
(1)
N cs Number of cyclic shifts used for PUCCH formats 1/1a/1b in a resource block with a mix of
formats 1/1a/1b and 2/2a/2b
(2)
N RB Bandwidth available for use by PUCCH formats 2/2a/2b, expressed in multiples of N scRB
HO
N RB The offset used for PUSCH frequency hopping, expressed in number of resource blocks (set by
higher layers)
cell
N ID Physical layer cell identity
MBSFN
N ID MBSFN area identity
DL
N RB Downlink bandwidth configuration, expressed in multiples of N scRB
min, DL
N RB Smallest downlink bandwidth configuration, expressed in multiples of N scRB
max, DL
N RB Largest downlink bandwidth configuration, expressed in multiples of N scRB
UL
N RB Uplink bandwidth configuration, expressed in multiples of N scRB
min, UL
N RB Smallest uplink bandwidth configuration, expressed in multiples of N scRB
max, UL
N RB Largest uplink bandwidth configuration, expressed in multiples of N scRB
DL
N symb Number of OFDM symbols in a downlink slot
UL
N symb Number of SC-FDMA symbols in an uplink slot
N scRB Resource block size in the frequency domain, expressed as a number of subcarriers
N sb Number of sub-bands for PUSCH frequency-hopping with predefined hopping pattern
sb
N RB Size of each sub-band for PUSCH 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
PUCCH
N RS Number of reference symbols per slot for PUCCH
N TA Timing offset between uplink and downlink radio frames at the UE, expressed in units of Ts
N TA offset Fixed timing advance offset, expressed in units of Ts
(1, ~
p)
nPUCCH Resource index for PUCCH formats 1/1a/1b
( 2, ~
p)
nPUCCH Resource index for PUCCH formats 2/2a/2b
(3, ~p)
nPUCCH Resource index for PUCCH formats 3
nPDCCH Number of PDCCHs present in a subframe
nPRB Physical resource block number
RA
nPRB First physical resource block occupied by PRACH resource considered
RA
nPRB offset First physical resource block available for PRACH
nVRB Virtual resource block number

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nRNTI Radio network temporary identifier

nf System frame number
ns Slot number within a radio frame
P Number of antenna ports used for transmission of a channel
p Antenna port number
q Codeword number
rRA Index for PRACH versions with same preamble format and PRACH density
Qm Modulation order: 2 for QPSK, 4 for 16QAM, 6 for 64QAM and 8 for 256QAM transmissions
sl( p ) (t ) Time-continuous baseband signal for antenna port p and OFDM symbol l in a slot
( 0)
t RA Radio frame indicator index of PRACH opportunity
(1)
t RA Half frame index of PRACH opportunity within the radio frame
( 2)
t RA Uplink subframe number for start of PRACH opportunity within the half frame
Tf Radio frame duration
Ts Basic time unit
Tslot Slot duration
W Precoding matrix for downlink spatial multiplexing
β PRACH Amplitude scaling for PRACH
β PUCCH Amplitude scaling for PUCCH
β PUSCH Amplitude scaling for PUSCH
β SRS Amplitude scaling for sounding reference symbols
Δf Subcarrier spacing
Δf RA Subcarrier spacing for the random access preamble
υ Number of transmission layers

3.2 Abbreviations
For the purposes of the present document, the abbreviations given in TR 21.905 [1] and the following apply.
An abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any,
in TR 21.905 [1].

CCE Control Channel Element

CDD Cyclic Delay Diversity
CRS Cell-specific Reference Signal
CSI Channel-State Information
DCI Downlink Control Information
DM-RS Demodulation Reference Signal
ECCE Enhanced Control Channel Element
EPDCCH Enhanced Physical Downlink Control CHannel
EREG Enhanced Resource-Element Group
PBCH Physical Broadcast CHannel
PCFICH Physical Control Format Indicator CHannel
PDCCH Physical Downlink Control CHannel
PDSCH Physical Downlink Shared CHannel
PHICH Physical Hybrid-ARQ Indicator CHannel
PMCH Physical Multicast CHannel
PRACH Physical Random Access CHannel
PRB Physical Resource Block
PRS Positioning Reference Signal
PUCCH Physical Uplink Control CHannel
PUSCH Physical Uplink Shared CHannel
REG Resource-Element Group
SRS Sounding Reference Signal
VRB Virtual Resource Block

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4 Frame structure
Throughout this specification, unless otherwise noted, the size of various fields in the time domain is expressed as a
number of time units Ts = 1 (15000 × 2048) seconds.

Downlink and uplink transmissions are organized into radio frames with Tf = 307200 × Ts = 10 ms duration.
Two radio frame structures are supported:

- Type 1, applicable to FDD,

- Type 2, applicable to TDD.

Transmissions in multiple cells can be aggregated where up to four secondary cells can be used in addition to the
primary cell. Unless otherwise noted, the description in this specification applies to each of the up to five serving cells.
In case of multi-cell aggregation, different frame structures can be used in the different serving cells.

4.1 Frame structure type 1

Frame structure type 1 is applicable to both full duplex and half duplex FDD. Each radio frame is
Tf = 307200 ⋅ Ts = 10 ms long and consists of 20 slots of length Tslot = 15360 ⋅ Ts = 0.5 ms , numbered from 0 to 19. A
subframe is defined as two consecutive slots where subframe i consists of slots 2i and 2i + 1 .

For FDD, 10 subframes are available for downlink transmission and 10 subframes are available for uplink transmissions
in each 10 ms interval. Uplink and downlink transmissions are separated in the frequency domain. In half-duplex FDD
operation, the UE cannot transmit and receive at the same time while there are no such restrictions in full-duplex FDD.

Figure 4.1-1: Frame structure type 1

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4.2 Frame structure type 2

Frame structure type 2 is applicable to TDD. Each radio frame of length Tf = 307200 ⋅ Ts = 10 ms consists of two half-
frames of length 153600 ⋅ Ts = 5 ms each. Each half-frame consists of five subframes of length 30720 ⋅ Ts = 1 ms . Each
subframe i is defined as two slots, 2i and 2i + 1 , of length Tslot = 15360 ⋅ Ts = 0.5 ms each.

The uplink-downlink configuration in a cell may vary between frames and controls in which subframes uplink or
downlink transmissions may take place in the current frame. The uplink-downlink configuration in the current frame is
obtained according to Section 13 in [4].

The supported uplink-downlink configurations are listed in Table 4.2-2 where, for each subframe in a radio frame, "D"
denotes a downlink subframe reserved for downlink transmissions, "U" denotes an uplink subframe reserved for uplink
transmissions and "S" denotes a special subframe with the three fields DwPTS, GP and UpPTS. The length of DwPTS
and UpPTS is given by Table 4.2-1 subject to the total length of DwPTS, GP and UpPTS being equal
to 30720 ⋅ Ts = 1 ms .

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

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

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

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

In case multiple cells are aggregated, the UE may assume that the guard period of the special subframe in the cells using
frame structure type 2 have an overlap of at least 1456 ⋅ Ts .

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

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

- if the subframe in the primary cell is an uplink subframe, the UE is not expected to receive any downlink
transmissions on a secondary cell in the same subframe

- if the subframe in the primary cell is a special subframe and the same subframe in a secondary cell is a downlink
subframe, the UE is not expected to receive PDSCH/EPDCCH/PMCH/PRS transmissions in the secondary cell
in the same subframe, and the UE is not expected to receive any other signals on the secondary cell in OFDM
symbols that overlaps with the guard period or UpPTS in the primary cell.

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

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

Normal cyclic prefix in downlink Extended cyclic prefix in downlink
DwPTS UpPTS DwPTS UpPTS
Special subframe
Normal cyclic Extended
configuration Normal cyclic Extended cyclic
prefix cyclic prefix
prefix in uplink prefix in uplink
in uplink in uplink
0 6592 ⋅ Ts 7680 ⋅ Ts
1 19760 ⋅ Ts 20480 ⋅ Ts
2192 ⋅ Ts 2560 ⋅ Ts
2 21952 ⋅ Ts 2192 ⋅ Ts 2560 ⋅ Ts 23040 ⋅ Ts
3 24144 ⋅ Ts 25600 ⋅ Ts
4 26336 ⋅ Ts 7680 ⋅ Ts
5 6592 ⋅ Ts 20480 ⋅ Ts
4384 ⋅ Ts 5120 ⋅ Ts
6 19760 ⋅ Ts 23040 ⋅ Ts
7 21952 ⋅ Ts 4384 ⋅ Ts 5120 ⋅ Ts 12800 ⋅ Ts
8 24144 ⋅ Ts - - -
9 13168 ⋅ Ts - - -

Table 4.2-2: Uplink-downlink configurations

Uplink-downlink Downlink-to-Uplink Subframe number

configuration Switch-point periodicity 0 1 2 3 4 5 6 7 8 9
0 5 ms D S U U U D S U U U
1 5 ms D S U U D D S U U D
2 5 ms D S U D D D S U D D
3 10 ms D S U U U D D D D D
4 10 ms D S U U D D D D D D
5 10 ms D S U D D D D D D D
6 5 ms D S U U U D S U U D

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3GPP TS 36.211 version 12.3.0 Release 12 13 ETSI TS 136 211 V12.3.0 (2014-10)

5 Uplink

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

5.1.1 Physical channels

An uplink physical channel corresponds to a set of resource elements carrying information originating from higher
layers and is the interface defined between 3GPP TS 36.212 [3] and the present document 3GPP TS 36.211.
The following uplink physical channels are defined:

- Physical Uplink Shared Channel, PUSCH

- Physical Uplink Control Channel, PUCCH

- Physical Random Access Channel, PRACH

5.1.2 Physical signals

An uplink physical signal is used by the physical layer but does not carry information originating from higher layers.
The following uplink physical signals are defined:

- Reference signal

5.2 Slot structure and physical resources

5.2.1 Resource grid
UL RB UL
The transmitted signal in each slot is described by one or several resource grids of N RB N sc subcarriers and N symb
UL
SC-FDMA symbols. The resource grid is illustrated in Figure 5.2.1-1. The quantity N RB depends on the uplink
transmission bandwidth configured in the cell and shall fulfil
min, UL
N RB ≤ N RB
UL
≤ N RB
max, UL

min, UL
where N RB = 6 and N RB
max, UL
= 110 are the smallest and largest uplink bandwidths, respectively, supported by the
UL
current version of this specification. The set of allowed values for N RB is given by 3GPP TS 36.101 [7].

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

An antenna port is defined such that the channel over which a symbol on the antenna port is conveyed can be inferred
from the channel over which another symbol on the same antenna port is conveyed. There is one resource grid per
antenna port. The antenna ports used for transmission of a physical channel or signal depends on the number of antenna
ports configured for the physical channel or signal as shown in Table 5.2.1-1. The index ~p is used throughout clause 5
when a sequential numbering of the antenna ports is necessary.

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3GPP TS 36.211 version 12.3.0 Release 12 14 ETSI TS 136 211 V12.3.0 (2014-10)

Tslot

UL
N symb

k = N RB N sc − 1
UL RB

UL
N symb × N scRB

(k , l )
× N scRB

N scRB
UL
N RB

k =0

l=0 l= UL
N symb −1

Figure 5.2.1-1: Uplink resource grid

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

Antenna port number p as a function of

Physical channel or signal Index ~
p the number of antenna ports configured
for the respective physical channel/signal
1 2 4
0 10 20 40
1 - 21 41
PUSCH
2 - - 42
3 - - 43
0 10 20 40
1 - 21 41
SRS
2 - - 42
3 - - 43
0 100 200 -
PUCCH
1 - 201 -

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5.2.2 Resource elements

Each element in the resource grid is called a resource element and is uniquely defined by the index pair (k , l ) in a slot
where k = 0,..., N RB N sc − 1 and l = 0,..., N symb
UL RB UL
− 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 k( ,pl ) .
When there is no risk for confusion, or no particular antenna port is specified, the index p may be dropped.
Quantities a k( ,pl ) corresponding to resource elements not used for transmission of a physical channel or a physical signal
in a slot shall be set to zero.

5.2.3 Resource blocks

UL
A physical resource block is defined as N symb consecutive SC-FDMA symbols in the time domain and
UL
N scRB consecutive subcarriers in the frequency domain, where N symb and N scRB are given by Table 5.2.3-1.
UL
A physical resource block in the uplink thus consists of N symb × N scRB resource elements, corresponding to one slot in
the time domain and 180 kHz in the frequency domain.

Table 5.2.3-1: Resource block parameters

UL
Configuration N scRB N symb
Normal cyclic prefix 12 7
Extended cyclic prefix 12 6

The relation between the physical resource block number nPRB in the frequency domain and resource elements (k , l ) in
a slot is given by

⎢ k ⎥
nPRB = ⎢ RB ⎥
⎣⎢ N sc ⎦⎥

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5.3 Physical uplink shared channel

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

- scrambling

- modulation of scrambled bits to generate complex-valued symbols

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

- transform precoding to generate complex-valued symbols

- precoding of the complex-valued symbols

- mapping of precoded complex-valued symbols to resource elements

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

Figure 5.3-1: Overview of uplink physical channel processing

5.3.1 Scrambling
(q)
For each codeword q , the block of bits b ( q ) (0),..., b ( q ) ( M bit − 1) , where M bit
(q)
is the number of bits transmitted in
codeword q on the physical uplink shared channel in one subframe, shall be scrambled with a UE-specific scrambling
~ ~ (q)
sequence prior to modulation, resulting in a block of scrambled bits b ( q ) (0),..., b ( q ) ( M bit − 1) according to the
following pseudo code

Set i = 0

while i < M bit

(q)

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

~
b ( q) (i) = 1

else

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

~ ~
b ( q ) (i) = b ( q ) (i − 1)

else // Data or channel quality coded bits, Rank Indication coded bits or ACK/NACK coded bits
~
( )
b ( q ) (i) = b (q ) (i) + c ( q) (i) mod 2

end if

end if
i=i+1

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3GPP TS 36.211 version 12.3.0 Release 12 17 ETSI TS 136 211 V12.3.0 (2014-10)

end while

where x and y are tags defined in 3GPP TS 36.212 [3] clause 5.2.2.6 and where the scrambling sequence c ( q ) (i ) is
given by clause 7.2. The scrambling sequence generator shall be initialised with
cinit = nRNTI ⋅ 214 + q ⋅ 213 + ⎣ns 2⎦ ⋅ 2 9 + N ID
cell
at the start of each subframe where nRNTI corresponds to the RNTI
associated with the PUSCH transmission as described in clause 8 in 3GPP TS 36.213 [4].

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

5.3.2 Modulation
~ ~ (q)
For each codeword q , the block of scrambled bits b ( q ) (0),..., b ( q ) ( M bit − 1) shall be modulated as described in
(q)
clause 7.1, resulting in a block of complex-valued symbols d ( q ) (0),..., d ( q ) ( M symb − 1) . Table 5.3.2-1 specifies the
modulation mappings applicable for the physical uplink shared channel.

Table 5.3.2-1: Uplink modulation schemes

Physical channel Modulation schemes

PUSCH QPSK, 16QAM, 64QAM

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3GPP TS 36.211 version 12.3.0 Release 12 18 ETSI TS 136 211 V12.3.0 (2014-10)

5.3.2A Layer mapping

The complex-valued modulation symbols for each of the codewords to be transmitted are mapped onto one or two
(q)
layers. Complex-valued modulation symbols d ( q ) (0),..., d ( q ) ( M symb − 1) for codeword q shall be mapped onto the

[ ]T
layers x(i) = x (0) (i ) ... x (υ −1) (i ) , i = 0,1,..., M symb
layer
− 1 where υ is the number of layers and M symb
layer
is the number of
modulation symbols per layer.

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

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

x (0) (i ) = d (0) (i)

layer
with M symb = M symb
(0)
.

5.3.2A.2 Layer mapping for spatial multiplexing

For spatial multiplexing, the layer mapping shall be done according to Table 5.3.2A.2-1. The number of layers υ is less
than or equal to the number of antenna ports P used for transmission of the physical uplink shared channel.
The case of a single codeword mapped to multiple layers is only applicable when the number of antenna ports used for
PUSCH is four.

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

Codeword-to-layer mapping
Number of layers Number of codewords
i = 0,1,..., M symb
layer
−1

1 1 x (0) (i) = d (0) (i)

layer
M symb = M symb
(0 )

x ( 0) (i) = d ( 0) ( 2i )
2 1
layer
M symb = M symb
(0)
2
x (1) (i) = d ( 0) ( 2i + 1)
x (0) (i ) = d (0) (i)
2 2
layer
M symb = M symb
(0)
= M symb
(1)

x (1) (i ) = d (1) (i)

x (0) (i ) = d (0) (i)
3 2 x (1) (i ) = d (1) (2i)
layer
M symb = M symb
(0)
= M symb
(1)
2
x ( 2) (i ) = d (1) (2i + 1)
x ( 0) (i) = d ( 0) ( 2i )
x (1) (i) = d ( 0) ( 2i + 1)
4 2
layer
M symb = M symb
(0)
2 = M symb
(1)
2
x ( 2) (i ) = d (1) (2i)
x (3) (i ) = d (1) (2i + 1)

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3GPP TS 36.211 version 12.3.0 Release 12 19 ETSI TS 136 211 V12.3.0 (2014-10)

5.3.3 Transform precoding

For each layer λ = 0,1,...,υ − 1 the block of complex-valued symbols x ( λ ) (0),..., x (λ ) ( M symb
layer
− 1) is divided into
layer
M symb M scPUSCH sets, each corresponding to one SC-FDMA symbol. Transform precoding shall be applied according
to

M scPUSCH −1 2πik
−j

∑
(λ ) 1
y (l ⋅ M scPUSCH + k) = x ( λ ) (l ⋅ M scPUSCH + i )e M scPUSCH

M scPUSCH i =0

k = 0,..., M scPUSCH − 1
l = 0,..., M symb
layer
M scPUSCH − 1

resulting in a block of complex-valued symbols y ( λ ) (0),..., y ( λ ) ( M symb

layer
− 1) . The variable M scPUSCH = M RB
PUSCH
⋅ N scRB ,
PUSCH
where M RB represents the bandwidth of the PUSCH in terms of resource blocks, and shall fulfil

PUSCH
M RB = 2α 2 ⋅ 3α 3 ⋅ 5α 5 ≤ N RB
UL

where α 2 ,α 3 ,α 5 is a set of non-negative integers.

5.3.3A Precoding
[
The precoder takes as input a block of vectors y (0) (i ) ... y (υ −1) (i ) , i = 0,1,..., M symb
layer
]T
− 1 from the transform

precoder and generates a block of vectors z (0) (i ) [ K ]

T
z ( P −1) (i ) , i = 0,1,..., M symb
ap
− 1 to be mapped onto resource
elements.

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

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

z (0) (i) = y (0) (i)

where i = 0,1,..., M symb

ap
− 1 , M symb
ap
= M symb
layer
.

5.3.3A.2 Precoding for spatial multiplexing

Precoding for spatial multiplexing is only used in combination with layer mapping for spatial multiplexing as described
in clause 5.3.2A.2. Spatial multiplexing supports P = 2 or P = 4 antenna ports where the set of antenna ports used for
spatial multiplexing is p ∈ {20,21} and p ∈ {40,41,42,43} , respectively.

Precoding for spatial multiplexing is defined by

⎡ z ( 0) (i ) ⎤ ⎡ y ( 0) (i ) ⎤
⎢ ⎥ ⎢ ⎥
⎢ M ⎥ =W⎢ M ⎥
⎢ z ( P −1) (i ) ⎥ ⎢ y (υ −1) (i ) ⎥
⎣ ⎦ ⎣ ⎦

where i = 0,1,..., M symb

ap
− 1 , M symb
ap
= M symb
layer
.

The precoding matrix W of size P ×υ is given by one of the entries in Table 5.3.3A.2-1 for P = 2 and by Tables
5.3.3A.2-2 through 5.3.3A.2-5 for P = 4 where the entries in each row are ordered from left to right in increasing order
of codebook indices.

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3GPP TS 36.211 version 12.3.0 Release 12 20 ETSI TS 136 211 V12.3.0 (2014-10)

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

Number of layers
Codebook index
υ =1 υ=2
1 ⎡1⎤ 1 ⎡1 0⎤
0 ⎢ ⎥ ⎢
2 ⎣1⎦ 2 ⎣0 1⎥⎦
1 ⎡1⎤
1 ⎢ ⎥ -
2 ⎣−1⎦
1 ⎡1 ⎤
2 ⎢ ⎥ -
2 ⎣ j⎦
1 ⎡ 1 ⎤
3 ⎢ ⎥ -
2 ⎣− j ⎦
1 ⎡1 ⎤
4 ⎢ ⎥ -
2 ⎣0 ⎦
1 ⎡0 ⎤
5 ⎢ ⎥ -
2 ⎣1 ⎦

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

Codebook index Number of layers υ = 1

⎡1⎤ ⎡1 ⎤ ⎡1⎤ ⎡ 1 ⎤ ⎡1 ⎤ ⎡1 ⎤ ⎡ 1 ⎤ ⎡ 1 ⎤
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢
1 1
⎢ ⎥ 1 1
⎢ ⎥ 1 1
⎢ ⎥ 1 ⎢
1 ⎥⎥ 1
⎢ ⎥
j
⎢ ⎥ 1
⎢ ⎥
j
⎢ ⎥ 1
⎢
⎢
j ⎥⎥ 1
⎢
⎢
j ⎥⎥
0–7
2 ⎢1⎥ 2 ⎢ j⎥ 2 ⎢− 1⎥ 2 ⎢− j ⎥ 2 ⎢1 ⎥ 2 ⎢ j⎥ 2 ⎢ − 1⎥ 2 ⎢− j ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣−1⎦ ⎣ j⎦ ⎣1⎦ ⎣− j ⎦ ⎣ j⎦ ⎣1 ⎦ ⎣− j ⎦ ⎣ − 1⎦
⎡1⎤ ⎡ 1 ⎤ ⎡1⎤ ⎡ 1 ⎤ ⎡ 1 ⎤ ⎡ 1 ⎤ ⎡ 1 ⎤ ⎡ 1 ⎤
⎢ ⎥ ⎢
1 −1
⎢ ⎥ 1 ⎢
− 1 ⎥⎥ 1
⎢ ⎥
−1
⎢ ⎥ 1
⎢
⎢
− 1 ⎥⎥ 1
⎢
⎢
− j ⎥⎥ 1
⎢
⎢
− j ⎥⎥ 1
⎢
⎢
− j ⎥⎥ 1
⎢
⎢
− j ⎥⎥
8 – 15
2 ⎢1⎥ 2 ⎢ j ⎥ 2 ⎢− 1⎥ 2 ⎢− j ⎥ 2 ⎢ 1 ⎥ 2 ⎢ j ⎥ 2 ⎢ − 1⎥ 2 ⎢− j ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣1⎦ ⎣− j ⎦ ⎣− 1⎦ ⎣ j ⎦ ⎣− j ⎦ ⎣ − 1⎦ ⎣ j ⎦ ⎣ 1 ⎦
⎡1 ⎤ ⎡1⎤ ⎡1 ⎤ ⎡ 1 ⎤ ⎡0 ⎤ ⎡0⎤ ⎡0⎤ ⎡ 0 ⎤
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢
1 0
⎢ ⎥ 1 0
⎢ ⎥ 1 0
⎢ ⎥ 1 ⎢
0 ⎥⎥ 1
⎢ ⎥
1
⎢ ⎥ 1
⎢ ⎥
1
⎢ ⎥ 1
⎢ ⎥
1
⎢ ⎥ 1
⎢
⎢
1 ⎥⎥
16 – 23
2 ⎢1 ⎥ 2 ⎢− 1⎥ 2 ⎢ j⎥ 2 ⎢− j ⎥ 2 ⎢0 ⎥ 2 ⎢0⎥ 2 ⎢0⎥ 2 ⎢ 0 ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣0 ⎦ ⎣0⎦ ⎣0⎦ ⎣ 0 ⎦ ⎣1 ⎦ ⎣−1⎦ ⎣ j⎦ ⎣− j ⎦

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Table 5.3.3A.2-3: Codebook for transmission on antenna ports {40,41,42,43} with υ = 2

Codebook index Number of layers υ = 2

⎡1 0 ⎤ ⎡1 0⎤ ⎡ 1 0⎤ ⎡ 1 0 ⎤
⎢
1 ⎢
1 0 ⎥⎥ 1
⎢
⎢
1 0 ⎥⎥ 1
⎢
⎢
−j 0⎥⎥ 1
⎢
⎢
−j 0 ⎥⎥
0–3
2 ⎢0 1 ⎥ 2 ⎢0 1⎥ 2 ⎢ 0 1⎥ 2 ⎢ 0 1⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣0 − j⎦ ⎣0 j⎦ ⎣ 0 1⎦ ⎣ 0 − 1⎦
⎡1 ⎤0 ⎡1 0⎤ ⎡1 0⎤ ⎡1 0⎤
⎢
1 ⎢
−1 0 ⎥⎥ 1
⎢
⎢
−1 0 ⎥⎥ 1
⎢
⎢
j 0⎥⎥ 1
⎢
⎢
j 0 ⎥⎥
4–7
2 ⎢0 1 ⎥ 2 ⎢0 1⎥ 2 ⎢0 1⎥ 2 ⎢0 1⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣0 − j⎦ ⎣0 j⎦ ⎣0 1⎦ ⎣0 −1⎦
⎡1 0⎤ ⎡1 0⎤ ⎡1 0⎤ ⎡1 0⎤
⎢
1 ⎢
0 1 ⎥⎥ 1
⎢
⎢
0 1 ⎥⎥ 1
⎢
⎢
0 1 ⎥⎥ 1
⎢
⎢
0 1 ⎥⎥
8 – 11
2 ⎢1 0⎥ 2 ⎢1 0⎥ 2 ⎢− 1 0⎥ 2 ⎢− 1 0⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣0 1⎦ ⎣0 −1⎦ ⎣0 1⎦ ⎣0 − 1⎦
⎡1 0⎤ ⎡1 0⎤ ⎡1 0⎤ ⎡1 0⎤
⎢
1 ⎢
0 1⎥⎥ 1
⎢
⎢
0 1 ⎥⎥ 1
⎢
⎢
0 1 ⎥⎥ 1
⎢
⎢
0 1 ⎥⎥
12 – 15
2 ⎢0 1⎥ 2 ⎢0 − 1⎥ 2 ⎢0 1⎥ 2 ⎢0 − 1⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣1 0⎦ ⎣1 0⎦ ⎣− 1 0⎦ ⎣− 1 0⎦

Table 5.3.3A.2-4: Codebook for transmission on antenna ports {40,41,42,43} with υ = 3

Codebook index Number of layers υ = 3

⎡1 0 0⎤ ⎡1 0 0⎤ ⎡1 0 0⎤ ⎡1 0 0⎤
⎢
1 ⎢
1 0 0⎥⎥ 1
⎢
⎢
−1 0 0⎥⎥ 1
⎢
⎢
0 1 0⎥⎥ 1
⎢
⎢
0 1 0⎥⎥
0–3
2 ⎢0 1 0⎥ 2 ⎢0 1 0⎥ 2 ⎢1 0 0⎥ 2 ⎢− 1 0 0⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣0 0 1⎦ ⎣0 0 1⎦ ⎣0 0 1⎦ ⎣0 0 1⎦
⎡1 0 0⎤ ⎡1 0 0⎤ ⎡0 1 0⎤ ⎡0 1 0⎤
⎢
1 ⎢
0 1 0⎥⎥ 1
⎢
⎢
0 1 0⎥⎥ 1
⎢
⎢
1 0 0⎥⎥ 1
⎢
⎢
1 0 0⎥⎥
4–7
2 ⎢0 0 1⎥ 2 ⎢0 0 1⎥ 2 ⎢1 0 0⎥ 2 ⎢− 1 0 0⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣1 0 0⎦ ⎣− 1 0 0⎦ ⎣0 0 1⎦ ⎣0 0 1⎦
⎡0 1 0⎤ ⎡0 1 0⎤ ⎡0 1 0⎤ ⎡0 1 0⎤
⎢
1 ⎢
1 0 0⎥⎥ 1
⎢
⎢
1 0 0⎥⎥ 1
⎢
⎢
0 0 1 ⎥⎥ 1
⎢
⎢
0 0 1⎥⎥
8 – 11
2 ⎢0 0 1⎥ 2 ⎢0 0 1⎥ 2 ⎢1 0 0⎥ 2 ⎢1 0 0⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎣1 0 0⎦ ⎣− 1 0 0⎦ ⎣1 0 0⎦ ⎣− 1 0 0⎦

Table 5.3.3A.2-5: Codebook for transmission on antenna ports {40,41,42,43} with υ = 4

Codebook index Number of layers υ = 4

⎡1 0 0 0⎤
⎢
1 ⎢
0 1 0 0 ⎥⎥
0
2 ⎢0 0 1 0⎥
⎢ ⎥
⎣0 0 0 1⎦

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3GPP TS 36.211 version 12.3.0 Release 12 22 ETSI TS 136 211 V12.3.0 (2014-10)

5.3.4 Mapping to physical resources

For each antenna port p used for transmission of the PUSCH in a subframe the block of complex-valued symbols
~ ~ ap
z ( p ) (0),..., z ( p ) ( M symb − 1) shall be multiplied with the amplitude scaling factor β PUSCH in order to conform to the
transmit power PPUSCH specified in clause 5.1.1.1 in 3GPP TS 36.213 [4], and mapped in sequence starting with
~
z ( p ) (0) to physical resource blocks on antenna port p and assigned for transmission of PUSCH. The relation between
the index ~ p and the antenna port number p is given by Table 5.2.1-1. The mapping to resource elements (k , l )
corresponding to the physical resource blocks assigned for transmission and

- not used for transmission of reference signals, and

- not part of the last SC-FDMA symbol in a subframe, if the UE transmits SRS in the same subframe, and

- not part of the last SC-FDMA symbol in a subframe configured with cell-specific SRS, if the PUSCH
transmission partly or fully overlaps with the cell-specific SRS bandwidth, and

- not part of an SC-FDMA symbol reserved for possible SRS transmission in a UE-specific aperiodic SRS
subframe, and

- not part of an SC-FDMA symbol reserved for possible SRS transmission in a UE-specific periodic SRS
subframe in the same serving cell when the UE is configured with multiple TAGs

shall be in increasing order of first the index k , then the index l , starting with the first slot in the subframe.

If uplink frequency-hopping is disabled or the resource blocks allocated for PUSCH transmission are not contiguous in
frequency, the set of physical resource blocks to be used for transmission is given by nPRB = nVRB where nVRB is
obtained from the uplink scheduling grant as described in clause 8.1 in 3GPP TS 36.213 [4].

If uplink frequency-hopping with type 1 PUSCH hopping is enabled, the set of physical resource blocks to be used for
transmission is given by clause 8.4.1 in 3GPP TS 36.213 [4].

If uplink frequency-hopping with predefined hopping pattern is enabled, the set of physical resource blocks to be used
for transmission in slot ns is given by the scheduling grant together with a predefined pattern according to

(
n~PRB (ns ) = n~VRB + f hop (i ) ⋅ N RB
sb
((
+ N RB
sb
) (
− 1 − 2 n~VRB mod N RB
sb
))
⋅ f m (i ) mod( N RB
sb
)
⋅ N sb )
⎧⎣ns 2⎦ inter − subframe hopping
i=⎨
⎩ns intra and inter − subframe hopping
⎧⎪ n~PRB (ns ) N sb = 1
nPRB (ns ) = ⎨ ~
⎡
⎪⎩nPRB (ns ) + N RB 2
HO
⎤ N sb > 1

⎧⎪ nVRB N sb = 1
n~VRB = ⎨
⎡
⎪⎩nVRB − N RB 2
HO
⎤ N sb > 1

where nVRB is obtained from the scheduling grant as described in clause 8.1 in 3GPP TS 36.213 [4]. The parameter
HO sb
pusch-HoppingOffset, N RB , is provided by higher layers. The size N RB of each sub-band is given by,

⎧
⎪
UL
N RB N sb = 1
=⎨
⎣( )
sb
N RB
⎪
⎩
UL
N RB − HO
N RB − HO
N RB mod 2 N sb ⎦ N sb > 1

where the number of sub-bands N sb is given by higher layers. The function f m (i ) ∈ {0,1} determines whether mirroring
is used or not. The parameter Hopping-mode provided by higher layers determines if hopping is "inter-subframe" or
"intra and inter-subframe".

The hopping function f hop (i ) and the function f m (i ) are given by

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⎧ 0 N sb = 1
⎪ i ⋅10 + 9
⎪( f hop (i − 1) +
⎪
f hop (i ) = ⎨
∑ c( k ) × 2
k =i ⋅10 +1
k − ( i ⋅10 +1)
) mod N sb N sb = 2

⎪ ⎛ i⋅10 + 9 ⎞
⎪( f hop (i − 1) + ⎜
⎪ ⎜ ∑ c ( k ) × 2 k − (i⋅10 +1) ⎟ mod( N sb − 1) + 1) mod N sb
⎟
N sb > 2
⎩ ⎝ k =i⋅10+1 ⎠

⎧i mod 2 N sb = 1 and intra and inter − subframe hopping

⎪
f m (i ) = ⎨CURRENT_TX _NB mod 2 N sb = 1 and inter − subframe hopping
⎪c (i ⋅10) N sb > 1
⎩

where f hop (−1) = 0 and the pseudo-random sequence c (i ) is given by clause 7.2 and CURRENT_TX_NB indicates the
transmission number for the transport block transmitted in slot ns as defined in [8]. The pseudo-random sequence
generator shall be initialised with cinit = N ID
cell
for frame structure type 1 and cinit = 29 ⋅ (nf mod 4) + N ID
cell
for frame
structure type 2 at the start of each frame.

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5.4 Physical uplink control channel

The physical uplink control channel, PUCCH, carries uplink control information. Simultaneous transmission of PUCCH
and PUSCH from the same UE is supported if enabled by higher layers. For frame structure type 2, the PUCCH is not
transmitted in the UpPTS field.

The physical uplink control channel supports multiple formats as shown in Table 5.4-1.
Formats 2a and 2b are supported for normal cyclic prefix only.

Table 5.4-1: Supported PUCCH formats

PUCCH format Modulation scheme Number of bits per subframe, M bit

1 N/A N/A
1a BPSK 1
1b QPSK 2
2 QPSK 20
2a QPSK+BPSK 21
2b QPSK+QPSK 22
3 QPSK 48

cell
All PUCCH formats use a cyclic shift, n cs (ns , l ) , which varies with the symbol number l and the slot number ns
according to

∑i =0 c(8Nsymb
7
cell
ncs (ns , l ) = UL
⋅ ns + 8l + i ) ⋅ 2i

where the pseudo-random sequence c(i ) is defined by clause 7.2. The pseudo-random sequence generator shall be
initialized with cinit = nID
RS RS
, where nID cell
is given by clause 5.5.1.5 with N ID corresponding to the primary cell, at the
beginning of each radio frame.
(2) (1)
The physical resources used for PUCCH depends on two parameters, N RB and N cs , given by higher layers.
(2)
The variable N RB ≥ 0 denotes the bandwidth in terms of resource blocks that are available for use by PUCCH formats
2/2a/2b transmission in each slot. The variable N cs(1) denotes the number of cyclic shift used for PUCCH formats
1/1a/1b in a resource block used for a mix of formats 1/1a/1b and 2/2a/2b. The value of N cs(1) is an integer multiple of
ΔPUCCH
shift
within the range of {0, 1, …, 7}, where ΔPUCCH
shift
is provided by higher layers. No mixed resource block is
(1)
present if N cs = 0 . At most one resource block in each slot supports a mix of formats 1/1a/1b and 2/2a/2b.
Resources used for transmission of PUCCH formats 1/1a/1b, 2/2a/2b and 3 are represented by the non-negative indices
~
(1, p ) ~ ⎡ N (1) ⎤ (3, p ) ~
nPUCCH (2, p )
, nPUCCH < N RB N sc + ⎢
(2) RB cs
⎥ ⋅ ( N sc
RB
− N cs
(1)
− 2) , and nPUCCH , respectively.
⎢
⎢ 8 ⎥
⎥

5.4.1 PUCCH formats 1, 1a and 1b

For PUCCH format 1, information is carried by the presence/absence of transmission of PUCCH from the UE.
In the remainder of this clause, d (0) = 1 shall be assumed for PUCCH format 1.

For PUCCH formats 1a and 1b, one or two explicit bits are transmitted, respectively. The block of bits
b(0),..., b( M bit − 1) shall be modulated as described in Table 5.4.1-1, resulting in a complex-valued symbol d (0) .
The modulation schemes for the different PUCCH formats are given by Table 5.4-1.

(α ~ )
PUCCH
The complex-valued symbol d (0) shall be multiplied with a cyclically shifted length N seq = 12 sequence ru ,v p (n)
for each of the P antenna ports used for PUCCH transmission according to

~ 1 (α ~ )
y ( p ) ( n) = d (0) ⋅ ru ,v p (n), n = 0,1,..., N seq
PUCCH
−1
P

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(α ~ )
where ru ,v p (n) is defined by clause 5.5.1 with M scRS = N seq
PUCCH
. The antenna-port specific cyclic shift α ~p varies
between symbols and slots as defined below.
~ ~
The block of complex-valued symbols y ( p ) (0),..., y ( p ) ( N seq
PUCCH
− 1) shall be scrambled by S (n s ) and block-wise
spread with the antenna-port specific orthogonal sequence wn ( ~p ) (i) according to
oc

~
(
z ( p ) m'⋅ N SF
PUCCH
⋅ N seq
PUCCH
+ m ⋅ N seq
PUCCH
)
+ n = S (ns ) ⋅ wn (~p) (m) ⋅ y ( p ) (n )
oc
~

where

m = 0,..., N SF
PUCCH
−1
n = 0,..., N seq
PUCCH
−1
m' = 0,1

and

⎧1 if n′~p (ns ) mod 2 = 0

S (ns ) = ⎨ jπ 2
⎩e otherwise

PUCCH
with N SF = 4 for both slots of normal PUCCH formats 1/1a/1b, and N SF
PUCCH
= 4 for the first slot and
PUCCH
N SF = 3 for the second slot of shortened PUCCH formats 1/1a/1b. The sequence wn ( ~p ) (i) is given by Table 5.4.1-2
oc

and Table 5.4.1-3 and n′~p (ns ) is defined below.

(1, p ) ~
Resources used for transmission of PUCCH format 1, 1a and 1b are identified by a resource index nPUCCH from which
~
( p)
the orthogonal sequence index noc (ns ) and the cyclic shift α ~p (ns , l ) are determined according to

(~
p)
(ns )=
⎣
⎧ n′~ (n ) ⋅ ΔPUCCH N ′
⎪ p s shift ⎦ for normal cyclic prefix
noc ⎨
⎩ ⎣
⎪2 ⋅ n′~p (ns ) ⋅ Δ shift
PUCCH
N′ ⎦ for extended cyclic prefix
~
α ~p (ns , l )= 2π ⋅ ncs
( p)
(ns , l ) N scRB

(~
[
⎪ cs s (
p s shift oc (
⎧ n cell (n , l ) + n′~ (n ) ⋅ ΔPUCCH + n ( ~p ) (n ) mod ΔPUCCH mod N ′ mod N RB
s shift sc )) ] for normal cyclic prefix
p)
(ns , l )= ⎨ cell
[ ( ) ]
ncs ~
⎪ ncs (ns , l ) + n′~p ( ns ) ⋅ Δ shift + noc (ns ) 2 mod N ′ mod N sc
PUCCH ( p) RB
for extended cyclic prefix
⎩

where
~
⎧⎪ N (1) if nPUCCH
(1, p )
< c ⋅ N cs
(1)
ΔPUCCH
N ′ = ⎨ csRB shift
⎪⎩ N sc otherwise
⎧3 normal cyclic prefix
c=⎨
⎩2 extended cyclic prefix

The resource indices within the two resource blocks in the two slots of a subframe to which the PUCCH is mapped are
given by
~ ~
⎧⎪n (1, p ) (1, p )
if nPUCCH < c ⋅ N cs(1) ΔPUCCH
n′~p (ns ) = ⎨ PUCCH
( ) ( )
shift
(1, ~
p)
⎪⎩ nPUCCH − c ⋅ N cs(1) ΔPUCCH
shift mod c ⋅ N scRB ΔPUCCH
shift otherwise

for ns mod 2 = 0 and by

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⎧ [( )] ( ) ~
⎪ c n′~p ( ns − 1) + 1 mod cN sc Δ shift + 1 − 1 nPUCCH ≥ c ⋅ N cs Δ shift
n′~p ( ns ) = ⎨
RB PUCCH (1, p ) (1) PUCCH

( )
⎪⎩⎣h ~p / c ⎦ + h ~p mod c N ' / Δ shift
PUCCH
otherwise

( ) (
for ns mod 2 = 1 , where h ~p = n′~p (ns − 1) + d mod cN ' ΔPUCCH
shif t )
, with d = 2 for normal CP and d = 0 for extended CP.

The parameter deltaPUCCH-Shift ΔPUCCH

shift is provided by higher layers.

Table 5.4.1-1: Modulation symbol d (0) for PUCCH formats 1a and 1b

PUCCH format b(0),..., b( M bit − 1) d (0)

0 1
1a
1 −1
00 1
01 −j
1b
10 j
11 −1

Table 5.4.1-2: Orthogonal sequences w(0) [ L PUCCH

w( N SF − 1) ] PUCCH
for N SF =4

Sequence index noc (ns )

(~
p)
Orthogonal sequences w(0) [ L PUCCH
w( N SF − 1) ]
0 [+ 1 + 1 + 1 + 1]
1 [+ 1 − 1 + 1 − 1]
2 [+ 1 − 1 − 1 + 1]

Table 5.4.1-3: Orthogonal sequences w(0) [ L PUCCH

w( N SF − 1) ] PUCCH
for N SF =3

Sequence index noc (ns )

(~
p)
Orthogonal sequences w(0) [ L PUCCH
w( N SF − 1) ]
0 [1 1 1]

1 [1 e j 2π 3
e j 4π 3
]
2 [1 e j 4π 3
e j 2π 3
]

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5.4.2 PUCCH formats 2, 2a and 2b

The block of bits b (0),..., b(19) shall be scrambled with a UE-specific scrambling sequence, resulting in a block of
~ ~
scrambled bits b (0),..., b (19) according to
~
b (i ) = (b(i ) + c(i ) ) mod 2

where the scrambling sequence c(i ) is given by clause 7.2. The scrambling sequence generator shall be initialised with
(
cinit = (⎣ns 2⎦ + 1) ⋅ 2 N ID
cell
)
+ 1 ⋅ 216 + nRNTI at the start of each subframe where nRNTI is C-RNTI.
~ ~
The block of scrambled bits b (0),..., b (19) shall be QPSK modulated as described in clause 7.1, resulting in a block of
complex-valued modulation symbols d (0),..., d (9) .

PUCCH
Each complex-valued symbol d (0),..., d (9) shall be multiplied with a cyclically shifted length N seq = 12 sequence
(α ~ )
ru ,v p (n) for each of the P antenna ports used for PUCCH transmission according to

~ 1 (α ~ )
z ( p ) ( N seq
PUCCH
⋅ n + i) = d (n) ⋅ ru , v p (i )
P
n = 0,1,...,9
i = 0,1,..., N scRB − 1

(α ~ )
where ru,v p (i) is defined by clause 5.5.1 with M scRS = N seq
PUCCH
.

(2, p ) ~
Resources used for transmission of PUCCH formats 2/2a/2b are identified by a resource index nPUCCH from which the
cyclic shift α ~p (ns , l ) is determined according to

~
α ~p (ns , l ) = 2π ⋅ ncs
( p)
(ns , l ) N scRB

where
~
( p)
ncs (
(ns , l ) = ncs
cell
)
(ns , l ) + n′~p (ns ) mod N scRB

and
~ ~
⎧
⎪n
(2, p )
mod N scRB ( 2, p )
if nPUCCH < N scRB N RB
(2)
n′~p (ns ) = ⎨ PUCCH
( ⎪ (2, ~
p) (1)
)
⎩ nPUCCH + N cs + 1 mod N sc otherwise
RB

for ns mod 2 = 0 and by

[ (
⎧ )] ( )
⎪ N n′~ (n − 1) + 1 mod N sc + 1 − 1 if nPUCCH < N sc N RB
RB
n′~p ( ns ) = ⎨ scRB p s ( 2, ~p )
RB ( 2, p ) RB (2) ~

( ⎪ )
⎩ N sc − 2 − nPUCCH mod N sc
RB
otherwise

for ns mod 2 = 1 .

For PUCCH formats 2a and 2b, supported for normal cyclic prefix only, the bit(s) b(20),..., b( M bit − 1) shall be
modulated as described in Table 5.4.2-1 resulting in a single modulation symbol d (10) used in the generation of the
reference-signal for PUCCH format 2a and 2b as described in clause 5.5.2.2.1.

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Table 5.4.2-1: Modulation symbol d (10) for PUCCH formats 2a and 2b

PUCCH format b(20),..., b( M bit − 1) d (10)

0 1
2a
1 −1
00 1
01 −j
2b
10 j
11 −1

5.4.2A PUCCH format 3

The block of bits b(0),..., b( M bit − 1) shall be scrambled with a UE-specific scrambling sequence, resulting in a block of
~ ~
scrambled bits b (0),..., b ( M bit − 1) according to
~
b (i) = (b(i) + c(i) ) mod 2

where the scrambling sequence c(i ) is given by clause 7.2. The scrambling sequence generator shall be initialised with
(
cinit = (⎣ns 2⎦ + 1) ⋅ 2 N ID
cell
)
+ 1 ⋅ 216 + nRNTI at the start of each subframe where nRNTI is the C-RNTI.
~ ~
The block of scrambled bits b (0),..., b ( M bit − 1) shall be QPSK modulated as described in Subclause 7.1, resulting in a
block of complex-valued modulation symbols d (0),..., d ( M symb − 1) where M symb = M bit 2 = 2 N scRB .

The complex-valued symbols d (0),..., d ( M symb − 1) shall be block-wise spread with the orthogonal sequences wn( ~p ) (i )
oc , 0

and wn( ~p ) (i ) resulting in PUCCH

N SF,0 + PUCCH
N SF,1 sets of N scRB values each according to
oc ,1

⎧w ( ~p ) ( n ) ⋅ e j π ⎣n cscell ( ns , l ) 64 ⎦ 2 ⋅ d (i ) n < N SF,

PUCCH
~ ⎪ noc , 0 0
y n( p ) (i ) =⎨
j π ⎣n cs
cell
⎪wn ( ~p ) ( n ) ⋅ e ⋅ d ( N sc + i ) otherwise
( ns , l ) 64 ⎦ 2 RB
⎩ oc ,1
n = n mod N SF,
PUCCH
0

n = 0,..., N SF,
PUCCH
0 + N SF,
PUCCH
1 −1
i = 0,1,..., N scRB − 1

PUCCH
where N SF,0 = N SF,1
PUCCH
= 5 for both slots in a subframe using normal PUCCH format 3 and N SF,0
PUCCH
= 5,
PUCCH
N SF,1 = 4 holds for the first and second slot, respectively, in a subframe using shortened PUCCH format 3. The
orthogonal sequences wn( ~p ) (i ) and wn( ~p ) (i ) are given by Table 5.4.2A-1. Resources used for transmission of PUCCH
oc , 0 oc ,1

(3, p ) ~ ( p) ( p) ~ ~
formats 3 are identified by a resource index nPUCCH from which the quantities noc,0 and noc,1 are derived according to

~ ~
,0 = nPUCCH mod N SF,1
( p) (3, p ) PUCCH
noc

(~
p)
noc
(
= ⎨ ( ~poc
~
)
⎧⎪ 3n ( p,)0 mod N SF,1
PUCCH PUCCH
if N SF,1 =5
,1 ) PUCCH
⎪⎩noc,0 mod N SF,1 otherwise

Each set of complex-valued symbols shall be cyclically shifted according to

~ ~ ~
((
y n( p ) (i ) = y n( p ) i + ncs
cell
)
(ns , l ) mod N scRB )
cell
where ncs (ns , l ) is given by Subclause 5.4, ns is the slot number within a radio frame and l is the SC-FDMA symbol
number within a slot.

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The shifted sets of complex-valued symbols shall be transform precoded according to

N scRB −1 2πik
−j

∑
(~ 1 1 ~ ~ N scRB
z p)
(n ⋅ N scRB + k) = y n( p ) (i )e
P N scRB i =0

k= 0,..., N scRB −1
n= PUCCH
0,..., N SF,0 + N SF,1
PUCCH
−1

where P is the number of antenna ports used for PUCCH transmission, resulting in a block of complex-valued symbols
((
z ( p ) (0),..., z ( p ) N SF,0
~ ~ PUCCH
)
+ N SF,1
PUCCH
)
N scRB − 1 .

Table 5.4.2A-1: The orthogonal sequence wnoc (i)

Sequence index noc

Orthogonal sequence wnoc (0) [ L PUCCH
wnoc ( N SF − 1) ]
PUCCH
N SF =5 PUCCH
N SF =4
0 [1 1 1 1 1] [+ 1 + 1 + 1 + 1]

1 [1 e j 2π 5
e j 4π 5
e j 6π 5
e j 8π 5
] [+ 1 − 1 + 1 − 1]

2 [1 e j 4π 5
e j 8π 5
e j 2π 5
e j 6π 5
] [+ 1 + 1 − 1 − 1]

3 [1 e j 6π 5
e j 2π 5
e j 8π 5
e j 4π 5
] [+ 1 − 1 − 1 + 1]

4 [1 e j 8π 5
e j 6π 5
e j 4π 5
e j 2π 5
] -

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5.4.3 Mapping to physical resources

~
The block of complex-valued symbols z ( p ) (i) shall be multiplied with the amplitude scaling factor β PUCCH in order to
conform to the transmit power PPUCCH specified in Subclause 5.1.2.1 in 3GPP TS 36.213 [4], and mapped in sequence
~
starting with z ( p ) (0) to resource elements. PUCCH uses one resource block in each of the two slots in a subframe.
Within the physical resource block used for transmission, the mapping of z ( p ) (i) to resource elements (k, l ) on antenna
~

port p and not used for transmission of reference signals shall be in increasing order of first k , then l and finally the
slot number, starting with the first slot in the subframe. The relation between the index ~
p and the antenna port number
p is given by Table 5.2.1-1.

The physical resource blocks to be used for transmission of PUCCH in slot ns are given by

⎧⎢ m ⎥
⎪⎢ ⎥ if (m + ns mod 2) mod 2 = 0
⎪⎣ 2 ⎦
nPRB =⎨
⎪ N UL − 1 − ⎢ m ⎥ if (m + ns mod 2) mod 2 = 1
⎪ RB ⎢2⎥
⎩ ⎣ ⎦

where the variable m depends on the PUCCH format. For formats 1, 1a and 1b
~
⎧ N RB
(2) (1, p )
if nPUCCH < c ⋅ N cs
(1)
ΔPUCCH
shift
⎪ (1, ~p )
⎢ PUCCH ⎥
m = ⎨ nPUCCH − c ⋅ N cs Δ shift
(1) ⎡ (1) ⎤
N cs
⎥ + N RB + ⎢
(2)
⎪⎢ ⎥ otherwise
⎩ ⎢
⎣ c ⋅ N RB
sc Δ PUCCH
shift ⎥
⎦ ⎢ 8 ⎥

⎧3 normal cyclic prefix

c=⎨
⎩2 extended cyclic prefix

and for formats 2, 2a and 2b

⎣ ⎦
~
m = nPUCCH
(2, p )
N scRB

and for format 3

⎣ ⎦
~
m = nPUCCH
(3, p ) PUCCH
N SF,0

Mapping of modulation symbols for the physical uplink control channel is illustrated in Figure 5.4.3-1.

In case of simultaneous transmission of sounding reference signal and PUCCH format 1, 1a, 1b or 3 when there is one
serving cell configured, a shortened PUCCH format shall be used where the last SC-FDMA symbol in the second slot
of a subframe shall be left empty.

nPRB = N RB
UL
−1 m =1 m=0
m=3 m=2

m=2 m=3
nPRB = 0 m=0 m =1

Figure 5.4.3-1: Mapping to physical resource blocks for PUCCH

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5.5 Reference signals

Two types of uplink reference signals are supported:

- Demodulation reference signal, associated with transmission of PUSCH or PUCCH

- Sounding reference signal, not associated with transmission of PUSCH or PUCCH

The same set of base sequences is used for demodulation and sounding reference signals.

5.5.1 Generation of the reference signal sequence

Reference signal sequence ru(,αv ) (n) is defined by a cyclic shift α of a base sequence ru ,v (n) according to

ru(,αv ) (n) = e jαn ru ,v (n), 0 ≤ n < M scRS

where M scRS = mN scRB is the length of the reference signal sequence and 1 ≤ m ≤ N RB
max, UL
. Multiple reference signal
sequences are defined from a single base sequence through different values of α .

Base sequences ru ,v (n) are divided into groups, where u ∈ {0,1,...,29} is the group number and v is the base sequence
number within the group, such that each group contains one base sequence ( v = 0 ) of each length M scRS = mN scRB ,
1 ≤ m ≤ 5 and two base sequences ( v = 0,1 ) of each length M scRS = mN scRB , 6 ≤ m ≤ N RB
max, UL
. The sequence group
number u and the number v within the group may vary in time as described in clauses 5.5.1.3 and 5.5.1.4,
RS
respectively. The definition of the base sequence ru ,v (0),..., ru ,v ( M scRS − 1) depends on the sequence length M sc .

5.5.1.1 Base sequences of length 3N scRB or larger

For M scRS ≥ 3N scRB , the base sequence ru ,v (0),..., ru ,v ( M scRS − 1) is given by

ru ,v (n) = xq (n mod N ZC
RS
), 0 ≤ n < M scRS

where the q th root Zadoff-Chu sequence is defined by

πqm ( m +1)
−j
xq (m ) = e
RS
N ZC
, 0 ≤ m ≤ N ZC
RS
−1

with q given by

q = ⎣q + 1 2⎦ + v ⋅ (−1) ⎣2 q ⎦
q = N ZC
RS
⋅ (u + 1) 31

RS
The length N ZC RS
of the Zadoff-Chu sequence is given by the largest prime number such that N ZC < M scRS .

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5.5.1.2 Base sequences of length less than 3N scRB

For M scRS = N scRB and M scRS = 2N scRB , base sequence is given by

ru ,v (n) = e jϕ ( n )π 4 , 0 ≤ n ≤ M scRS − 1

where the value of ϕ (n) is given by Table 5.5.1.2-1 and Table 5.5.1.2-2 for M scRS = N scRB and M scRS = 2N scRB ,
respectively.

Table 5.5.1.2-1: Definition of ϕ (n) for M scRS = N scRB .

u ϕ (0),...,ϕ (11)
0 -1 1 3 -3 3 3 1 1 3 1 -3 3
1 1 1 3 3 3 -1 1 -3 -3 1 -3 3
2 1 1 -3 -3 -3 -1 -3 -3 1 -3 1 -1
3 -1 1 1 1 1 -1 -3 -3 1 -3 3 -1
4 -1 3 1 -1 1 -1 -3 -1 1 -1 1 3
5 1 -3 3 -1 -1 1 1 -1 -1 3 -3 1
6 -1 3 -3 -3 -3 3 1 -1 3 3 -3 1
7 -3 -1 -1 -1 1 -3 3 -1 1 -3 3 1
8 1 -3 3 1 -1 -1 -1 1 1 3 -1 1
9 1 -3 -1 3 3 -1 -3 1 1 1 1 1
10 -1 3 -1 1 1 -3 -3 -1 -3 -3 3 -1
11 3 1 -1 -1 3 3 -3 1 3 1 3 3
12 1 -3 1 1 -3 1 1 1 -3 -3 -3 1
13 3 3 -3 3 -3 1 1 3 -1 -3 3 3
14 -3 1 -1 -3 -1 3 1 3 3 3 -1 1
15 3 -1 1 -3 -1 -1 1 1 3 1 -1 -3
16 1 3 1 -1 1 3 3 3 -1 -1 3 -1
17 -3 1 1 3 -3 3 -3 -3 3 1 3 -1
18 -3 3 1 1 -3 1 -3 -3 -1 -1 1 -3
19 -1 3 1 3 1 -1 -1 3 -3 -1 -3 -1
20 -1 -3 1 1 1 1 3 1 -1 1 -3 -1
21 -1 3 -1 1 -3 -3 -3 -3 -3 1 -1 -3
22 1 1 -3 -3 -3 -3 -1 3 -3 1 -3 3
23 1 1 -1 -3 -1 -3 1 -1 1 3 -1 1
24 1 1 3 1 3 3 -1 1 -1 -3 -3 1
25 1 -3 3 3 1 3 3 1 -3 -1 -1 3
26 1 3 -3 -3 3 -3 1 -1 -1 3 -1 -3
27 -3 -1 -3 -1 -3 3 1 -1 1 3 -3 -3
28 -1 3 -3 3 -1 3 3 -3 3 3 -1 -1
29 3 -3 -3 -1 -1 -3 -1 3 -3 3 1 -1

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Table 5.5.1.2-2: Definition of ϕ (n) for M scRS = 2N scRB

u ϕ (0),...,ϕ (23)
0 -1 3 1 -3 3 -1 1 3 -3 3 1 3 -3 3 1 1 -1 1 3 -3 3 -3 -1 -3
1 -3 3 -3 -3 -3 1 -3 -3 3 -1 1 1 1 3 1 -1 3 -3 -3 1 3 1 1 -3
2 3 -1 3 3 1 1 -3 3 3 3 3 1 -1 3 -1 1 1 -1 -3 -1 -1 1 3 3
3 -1 -3 1 1 3 -3 1 1 -3 -1 -1 1 3 1 3 1 -1 3 1 1 -3 -1 -3 -1
4 -1 -1 -1 -3 -3 -1 1 1 3 3 -1 3 -1 1 -1 -3 1 -1 -3 -3 1 -3 -1 -1
5 -3 1 1 3 -1 1 3 1 -3 1 -3 1 1 -1 -1 3 -1 -3 3 -3 -3 -3 1 1
6 1 1 -1 -1 3 -3 -3 3 -3 1 -1 -1 1 -1 1 1 -1 -3 -1 1 -1 3 -1 -3
7 -3 3 3 -1 -1 -3 -1 3 1 3 1 3 1 1 -1 3 1 -1 1 3 -3 -1 -1 1
8 -3 1 3 -3 1 -1 -3 3 -3 3 -1 -1 -1 -1 1 -3 -3 -3 1 -3 -3 -3 1 -3
9 1 1 -3 3 3 -1 -3 -1 3 -3 3 3 3 -1 1 1 -3 1 -1 1 1 -3 1 1
10 -1 1 -3 -3 3 -1 3 -1 -1 -3 -3 -3 -1 -3 -3 1 -1 1 3 3 -1 1 -1 3
11 1 3 3 -3 -3 1 3 1 -1 -3 -3 -3 3 3 -3 3 3 -1 -3 3 -1 1 -3 1
12 1 3 3 1 1 1 -1 -1 1 -3 3 -1 1 1 -3 3 3 -1 -3 3 -3 -1 -3 -1
13 3 -1 -1 -1 -1 -3 -1 3 3 1 -1 1 3 3 3 -1 1 1 -3 1 3 -1 -3 3
14 -3 -3 3 1 3 1 -3 3 1 3 1 1 3 3 -1 -1 -3 1 -3 -1 3 1 1 3
15 -1 -1 1 -3 1 3 -3 1 -1 -3 -1 3 1 3 1 -1 -3 -3 -1 -1 -3 -3 -3 -1
16 -1 -3 3 -1 -1 -1 -1 1 1 -3 3 1 3 3 1 -1 1 -3 1 -3 1 1 -3 -1
17 1 3 -1 3 3 -1 -3 1 -1 -3 3 3 3 -1 1 1 3 -1 -3 -1 3 -1 -1 -1
18 1 1 1 1 1 -1 3 -1 -3 1 1 3 -3 1 -3 -1 1 1 -3 -3 3 1 1 -3
19 1 3 3 1 -1 -3 3 -1 3 3 3 -3 1 -1 1 -1 -3 -1 1 3 -1 3 -3 -3
20 -1 -3 3 -3 -3 -3 -1 -1 -3 -1 -3 3 1 3 -3 -1 3 -1 1 -1 3 -3 1 -1
21 -3 -3 1 1 -1 1 -1 1 -1 3 1 -3 -1 1 -1 1 -1 -1 3 3 -3 -1 1 -3
22 -3 -1 -3 3 1 -1 -3 -1 -3 -3 3 -3 3 -3 -1 1 3 1 -3 1 3 3 -1 -3
23 -1 -1 -1 -1 3 3 3 1 3 3 -3 1 3 -1 3 -1 3 3 -3 3 1 -1 3 3
24 1 -1 3 3 -1 -3 3 -3 -1 -1 3 -1 3 -1 -1 1 1 1 1 -1 -1 -3 -1 3
25 1 -1 1 -1 3 -1 3 1 1 -1 -1 -3 1 1 -3 1 3 -3 1 1 -3 -3 -1 -1
26 -3 -1 1 3 1 1 -3 -1 -1 -3 3 -3 3 1 -3 3 -3 1 -1 1 -3 1 1 1
27 -1 -3 3 3 1 1 3 -1 -3 -1 -1 -1 3 1 -3 -3 -1 3 -3 -1 -3 -1 -3 -1
28 -1 -3 -1 -1 1 -3 -1 -1 1 -1 -3 1 1 -3 1 -3 -3 3 1 1 -1 3 -1 -1
29 1 1 -1 -1 -3 -1 3 -1 3 -1 1 3 1 -1 3 1 3 -3 -3 1 -1 -1 1 3

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5.5.1.3 Group hopping

The sequence-group number u in slot ns is defined by a group hopping pattern f gh (ns ) and a sequence-shift pattern
f ss according to

( )
u = f gh (ns ) + f ss mod 30

There are 17 different hopping patterns and 30 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.
Sequence-group hopping for PUSCH can be disabled for a certain UE through the higher-layer parameter Disable-
sequence-group-hopping despite being enabled on a cell basis unless the PUSCH transmission corresponds to a
Random Access Response Grant or a retransmission of the same transport block as part of the contention based random
access procedure.

The group-hopping pattern f gh (ns ) may be different for PUSCH, PUCCH and SRS and is given by

⎧⎪0 if group hopping is disabled

f gh ( ns ) = ⎨⎛ 7 i⎞
⎪⎩⎜⎝ ∑i =0
c(8ns + i ) ⋅ 2 ⎟ mod 30 if group hopping is enabled
⎠

where the pseudo-random sequence c(i ) is defined by clause 7.2. The pseudo-random sequence generator shall be
⎢ n RS ⎥
initialized with cinit = ⎢ ID
⎥
RS
at the beginning of each radio frame where nID is given by clause 5.5.1.5.
⎢
⎣ 30 ⎥
⎦

The sequence-shift pattern f ss definition differs between PUCCH, PUSCH and SRS.

For PUCCH, the sequence-shift pattern f ssPUCCH is given by f ssPUCCH = nID

RS RS
mod 30 where nID is given by clause
5.5.1.5.

For PUSCH, the sequence-shift pattern f ssPUSCH is given by f ssPUSCH = N ID

cell
( )
+ Δ ss mod 30 , where Δ ss ∈ {0,1,...,29} is
PUSCH
configured by higher layers, if no value for nID
is provided by higher layers or if the PUSCH transmission
corresponds to a Random Access Response Grant or a retransmission of the same transport block as part of the
contention based random access procedure, otherwise it is given by f ssPUSCH = n ID
RS RS
mod 30 with nID given by clause
5.5.1.5.

For SRS, the sequence-shift pattern f ssSRS is given by f ssSRS = nID

RS RS
mod 30 where nID is given by clause 5.5.1.5.

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5.5.1.4 Sequence hopping

Sequence hopping only applies for reference-signals of length M scRS ≥ 6N scRB .

For reference-signals of length M scRS < 6N scRB , the base sequence number v within the base sequence group is given by
v=0.

For reference-signals of length M scRS ≥ 6N scRB , the base sequence number v within the base sequence group in slot n s
is defined by

⎧c(n ) if group hopping is disabled and sequence hopping is enabled

v=⎨ s
⎩0 otherwise

where the pseudo-random sequence c(i ) is given by clause 7.2. The parameter Sequence-hopping-enabled provided by
higher layers determines if sequence hopping is enabled or not. Sequence hopping for PUSCH can be disabled for a
certain UE through the higher-layer parameter Disable-sequence-group-hopping despite being enabled on a cell basis
unless the PUSCH transmission corresponds to a Random Access Response Grant or a retransmission of the same
transport block as part of the contention based random access procedure.

⎢ n RS ⎥ 5
For PUSCH, the pseudo-random sequence generator shall be initialized with cinit = ⎢ ID
⎥⋅2 + f ssPUSCH at the
⎣⎢ 30 ⎦⎥
RS
beginning of each radio frame where nID is given by clause 5.5.1.5.

For SRS, the pseudo-random sequence generator shall be initialized with cinit = ⎢
⎢ n RS ⎥ 5
ID
⎥⋅2 (
+ nID
RS
)
+ Δ ss mod 30 at the
⎢⎣ 30 ⎥⎦
RS
beginning of each radio frame where nID is given by clause 5.5.1.5 and Δ ss is given by clause 5.5.1.3.

5.5.1.5 Determining virtual cell identity for sequence generation

RS
The definition of nID depends on the type of transmission.

Transmissions associated with PUSCH:

- RS
nID = N ID
cell PUSCH
if no value for nID is configured by higher layers or if the PUSCH transmission corresponds to
a Random Access Response Grant or a retransmission of the same transport block as part of the contention based
random access procedure,

- RS
nID = nID
PUSCH
otherwise.

Transmissions associated with PUCCH:

- RS
nID = N ID
cell PUCCH
if no value for nID is configured by higher layers,

- RS
nID = nID
PUCCH
otherwise.

Sounding reference signals:

- RS
nID = N ID
cell
.

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5.5.2 Demodulation reference signal

5.5.2.1 Demodulation reference signal for PUSCH

5.5.2.1.1 Reference signal sequence

(λ )
The PUSCH demodulation reference signal sequence rPUSCH (⋅) associated with layer λ ∈ {0,1,...,υ − 1} is defined by
(λ )
rPUSCH ( )
m ⋅ M scRS + n = w(λ ) (m)ru(,αvλ ) (n )

where

m = 0,1
n = 0,..., M scRS − 1

and

M scRS = M scPUSCH

Subclause 5.5.1 defines the sequence ru(,αvλ ) (0),..., ru(,αvλ ) ( M scRS − 1) . The orthogonal sequence w(λ ) (m) is given by

[w ]
(0) w λ (1) = [1 1] for DCI format 0 if the higher-layer parameter Activate-DMRS-with OCC is not set or if the
λ

temporary C-RNTI was used to transmit the most recent uplink-related DCI for the transport block associated with the
corresponding PUSCH transmission, otherwise it is given by Table 5.5.2.1.1-1 using the cyclic shift field in most recent
uplink-related DCI 3GPP TS 36.212 [3] for the transport block associated with the corresponding PUSCH transmission.

The cyclic shift α λ in a slot ns is given as α λ = 2πncs,λ 12 with

(
ncs, λ = nDMRS
(1)
+ nDMRS,
( 2)
λ + nPN ( ns ) mod 12 )
(1)
where the values of nDMRS is given by Table 5.5.2.1.1-2 according to the parameter cyclicShift provided by higher
(2)
layers, nDMRS, λ is given by the cyclic shift for DMRS field in most recent uplink-related DCI 3GPP TS 36.212 [3] for
(2)
the transport block associated with the corresponding PUSCH transmission where the value of nDMRS, λ is given in
Table 5.5.2.1.1-1.
(2) (λ )
The first row of Table 5.5.2.1.1-1 shall be used to obtain nDMRS, 0 and w (m) if there is no uplink-related DCI for the
same transport block associated with the corresponding PUSCH transmission, and

- if the initial PUSCH for the same transport block is semi-persistently scheduled, or

- if the initial PUSCH for the same transport block is scheduled by the random access response grant.

The quantity nPN (ns ) is given by

∑
7
nPN (ns ) = UL
c(8 N symb ⋅ ns + i ) ⋅ 2 i
i =0

where the pseudo-random sequence c(i ) is defined by clause 7.2. The application of c(i ) is cell-specific. The pseudo-
random sequence generator shall be initialized with cinit at the beginning of each radio frame. The quantity cinit is

given by cinit = ⎢
⎢ N cell ⎥ 5
ID
⎥⋅2 ((
+ N ID
cell
) )
+ Δ ss mod 30 if no value for N ID
csh_DMRS
is configured by higher layers or the
⎢⎣ 30 ⎥ ⎦
PUSCH transmission corresponds to a Random Access Response Grant or a retransmission of the same transport block

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as part of the contention based random access procedure, otherwise it is given by

⎢ N csh_DMRS ⎥
cinit = ⎢ ID
30
⎥⋅2
5
(
+ N ID
csh_DMRS
mod 30 .)
⎣⎢ ⎥
⎦

The vector of reference signals shall be precoded according to

⎡~ ( 0)
rPUSCH ⎤ ⎡r ( 0) ⎤
PUSCH
⎢ ⎥ ⎢ ⎥
⎢ M ⎥ =W⎢ M ⎥
⎢~ ( P −1) ⎥
rPUSCH ⎢r (υ −1) ⎥
⎣ ⎦ ⎣ PUSCH ⎦

where P is the number of antenna ports used for PUSCH transmission.

For PUSCH transmission using a single antenna port, P = 1 , W = 1 and υ = 1 .

For spatial multiplexing, P = 2 or P = 4 and the precoding matrix W shall be identical to the precoding matrix used
in clause 5.3.3A.2 for precoding of the PUSCH in the same subframe.

(2)
Table 5.5.2.1.1-1: Mapping of Cyclic Shift Field in uplink-related DCI format to nDMRS, λ and

[w (λ )
(0) w ( λ ) (1) ]
Cyclic Shift Field in
uplink-related DCI format [3]
(2)
nDMRS, λ [w (λ )
(0) w(λ ) (1) ]
λ =0 λ =1 λ=2 λ =3 λ =0 λ =1 λ=2 λ =3
000 0 6 3 9 [1 1] [1 1] [1 − 1] [1 − 1]
001 6 0 9 3 [1 − 1] [1 − 1] [1 1] [1 1]
010 3 9 6 0 [1 − 1] [1 − 1] [1 1] [1 1]
011 4 10 7 1 [1 1] [1 1] [1 1] [1 1]
100 2 8 5 11 [1 1] [1 1] [1 1] [1 1]
101 8 2 11 5 [1 − 1] [1 − 1] [1 − 1] [1 − 1]
110 10 4 1 7 [1 − 1] [1 − 1] [1 − 1] [1 − 1]
111 9 3 0 6 [1 1] [1 1] [1 − 1] [1 − 1]

(1)
Table 5.5.2.1.1-2: Mapping of cyclicShift to nDMRS values

(1)
cyclicShift nDMRS
0 0
1 2
2 3
3 4
4 6
5 8
6 9
7 10

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5.5.2.1.2 Mapping to physical resources

(⋅) shall be multiplied with the

~
For each antenna port used for transmission of the PUSCH, the sequence ~ ( p)
rPUSCH
(0) to the resource blocks.
~ ~
amplitude scaling factor β and mapped in sequence starting with r
PUSCH
( p)
PUSCH
The set of physical resource blocks used in the mapping process and the relation between the index ~
p and the antenna
port number p shall be identical to the corresponding PUSCH transmission as defined in clause 5.3.4.
The mapping to resource elements (k , l ) , with l = 3 for normal cyclic prefix and l = 2 for extended cyclic prefix, in
the subframe shall be in increasing order of first k , then the slot number.

5.5.2.2 Demodulation reference signal for PUCCH

5.5.2.2.1 Reference signal sequence

(⋅) is defined by
( p) ~
The PUCCH demodulation reference signal sequence rPUCCH

~
( p)
rPUCCH ( PUCCH
m' N RS M scRS + mM scRS + n = ) 1
w ( p ) (m) z (m)ru ,v p (n )
~ (α ~ )

where

m = 0,..., N RS
PUCCH
−1
n = 0,..., M scRS − 1
m' = 0,1

and P is the number of antenna ports used for PUCCH transmission. For PUCCH formats 2a and 2b, z (m) equals
d (10) for m = 1 , where d (10) is defined in clause 5.4.2. For all other cases, z (m) = 1.

(α ~ )
The sequence ru ,v p (n) is given by clause 5.5.1 with M scRS = 12 where the expression for the cyclic shift α ~p is
determined by the PUCCH format.

For PUCCH formats 1, 1a and 1b, α ~p (ns , l ) is given by

⎣ ⎦
~
( p)
noc (ns )= n′~p (ns ) ⋅ ΔPUCCH
shift N′
~
α ~p (ns , l )= 2π ⋅ ncs( p ) (ns , l ) N scRB

~ [
⎪ cs s ( p s shift (
oc s shift ))
⎧ n cell ( n , l ) + n′~ ( n ) ⋅ ΔPUCCH + n ( ~p ) (n ) mod ΔPUCCH mod N ′ mod N RB
sc ] for normal cyclic prefix
ncs( p ) ( ns , l )= ⎨ cell
[ ( (~
)
⎪ ncs (ns , l ) + n′~p (ns ) ⋅ Δ shift + noc ( ns ) mod N ′ mod N sc
⎩
PUCCH p)
]
RB
for extended cyclic prefix

where n′~p (ns ) , N ′ , ΔPUCCH

shift
cell
and ncs (ns , l ) are defined by clause 5.4.1. The number of reference symbols per slot
PUCCH
N RS and the sequence w (n) are given by Table 5.5.2.2.1-1 and 5.5.2.2.1-2, respectively.

For PUCCH formats 2, 2a and 2b, α ~p (ns , l ) is defined by clause 5.4.2. The number of reference symbols per slot
~
PUCCH
N RS and the sequence w ( p ) (n) are given by Table 5.5.2.2.1-1 and 5.5.2.2.1-3, respectively.

For PUCCH format 3, α ~p (ns , l ) is given by

~
α ~p ( ns , l ) = 2π ⋅ ncs( p ) ( ns , l ) N scRB
~
( p)
ncs (
( ns , l ) = ncs
cell
)
( ns , l ) + n′~p ( ns ) mod N scRB

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~ ~
where n ′~p ( ns ) is given by Table 5.5.2.2.1-4 and noc,
( p) ( p)
0 and noc,1 for the first and second slot in a subframe,
PUCCH
respectively, are obtained from clause 5.4.2A. The number of reference symbols per slot N RS and the sequence
w (n) are given by Table 5.5.2.2.1-1 and 5.5.2.2.1-3, respectively.

PUCCH
Table 5.5.2.2.1-1: Number of PUCCH demodulation reference symbols per slot N RS

PUCCH format Normal cyclic prefix Extended cyclic prefix

1, 1a, 1b 3 2
2, 3 2 1
2a, 2b 2 N/A

Table 5.5.2.2.1-2: Orthogonal sequences w ( p ) (0) [ ~

L ~
w ( p ) ( N RS
PUCCH
− 1) ] for PUCCH formats 1, 1a and
1b
(~
p)
Sequence index noc (ns ) Normal cyclic prefix Extended cyclic prefix

0 [1 1 1] [1 1]
1 [1 e j 2π 3
e j 4π 3
] [1 − 1]
2 [1 e j 4π 3
e j 2π 3
] N/A

Table 5.5.2.2.1-3: Orthogonal sequences w ( p ) (0) [ ~

w ( p ) ( N RS
PUCCH
− 1) L ~
] for PUCCH formats 2, 2a, 2b
and 3.

Normal cyclic prefix Extended cyclic prefix

[1 1] [1]

~
( p)
Table 5.5.2.2.1-4: Relation between noc and n ′~p ( ns ) for PUCCH format 3.

~ n ′~p ( ns )
( p)
noc
N SF,1 = 5 N SF,1 = 4
0 0 0
1 3 3
2 6 6
3 8 9
4 10 N/A

5.5.2.2.2 Mapping to physical resources

(⋅) shall be multiplied with the amplitude scaling factor β PUCCH and mapped in sequence starting
~
( p)
The sequence rPUCCH
(0) to resource elements (k , l ) on antenna port p . The mapping shall be in increasing order of first k , then
~
( p)
with rPUCCH
l and finally the slot number. The set of values for k and the relation between the index ~ p and the antenna port
number p shall be identical to the values used for the corresponding PUCCH transmission. The values of the symbol
index l in a slot are given by Table 5.5.2.2.2-1.

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Table 5.5.2.2.2-1: Demodulation reference signal location for different PUCCH formats.

Set of values for l

PUCCH format
Normal cyclic prefix Extended cyclic prefix
1, 1a, 1b 2, 3, 4 2, 3
2, 3 1, 5 3
2a, 2b 1, 5 N/A

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5.5.3 Sounding reference signal

5.5.3.1 Sequence generation

(n) = ru,v p (n) is defined by clause 5.5.1, where u is the sequence-group

(α ~ )
( p) ~
The sounding reference signal sequence rSRS
number defined in clause 5.5.1.3 and ν is the base sequence number defined in clause 5.5.1.4. The cyclic shift α ~p of
the sounding reference signal is given as
cs,p ~
nSRS
α ~p = 2π
8
~ ⎛ 8~p ⎞⎟
cs,p
nSRS = ⎜ nSRS
cs
+ mod 8 ,
⎜ N ap ⎟⎠
⎝
~ {
p ∈ 0,1,..., N ap − 1 }
cs
where nSRS = {0, 1, 2, 3, 4, 5, 6, 7} is configured separately for periodic and each configuration of aperiodic sounding by the
higher-layer parameters cyclicShift and cyclicShift-ap, respectively, for each UE and N ap is the number of antenna
ports used for sounding reference signal transmission.

5.5.3.2 Mapping to physical resources

The sequence shall be multiplied with the amplitude scaling factor β SRS in order to conform to the transmit power
( p) ~
PSRS specified in clause 5.1.3.1 in 3GPP TS 36.213 [4], and mapped in sequence starting with rSRS (0) to resource
elements (k , l ) on antenna port p according to

a ( p) ( p )
⎧ 1
⎪
= ⎨ N ap
(~
β SRS rSRS
p)
(k ' ) k ' = 0,1, , M scRS,b − 1 K
2 k '+ k 0 ,l
⎪0
⎩ otherwise

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 5.2.1-1. The set of antenna ports used for sounding reference signal
transmission is configured independently for periodic and each configuration of aperiodic sounding. The quantity k 0( p )
is the frequency-domain starting position of the sounding reference signal and for b = BSRS and M sc,
RS
b is the length of
the sounding reference signal sequence defined as

b = mSRS, b N sc
RS RB
M sc, 2

UL
where mSRS,b is given by Table 5.5.3.2-1 through Table 5.5.3.2-4 for each uplink bandwidth N RB . The cell-specific
parameter srs-BandwidthConfig, CSRS ∈ {0,1,2,3,4,5,6,7} and the UE-specific parameter srs-Bandwidth, BSRS ∈ {0,1,2,3} are
max
given by higher layers. For UpPTS, mSRS, 0 shall be reconfigured to mSRS c UL
{
, 0 = max c∈C mSRS , 0 ≤ N RB − 6 N RA if this } ( )
reconfiguration is enabled by the cell-specific parameter srsMaxUpPts given by higher layers, otherwise if the
max
reconfiguration is disabled mSRS,0 = mSRS,0 ,where c is a SRS BW configuration and CSRS is the set of SRS BW
UL
configurations from the Tables 5.5.3.2-1 to 5.5.3.2-4 for each uplink bandwidth N RB , N RA is the number of format 4
PRACH in the addressed UpPTS and derived from Table 5.7.1-4.
( p)
The frequency-domain starting position k 0 is defined by
BSRS
k 0( p ) = k 0( p ) + ∑ 2M
b =0
RS
sc,b nb

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where for normal uplink subframes k 0( p ) is defined by

(⎣
k 0( p ) = N RB
UL
⎦
/ 2 − mSRS, 0 2 N SC
RB
)
+ k TC
( p)

and for UpPTS by

⎧⎪( N UL − mSRS,0
max
) N scRB + k TC
( p)
if ((nf mod 2) ⋅ (2 − N SP ) + nhf ) mod 2 = 0
k 0( p ) = ⎨ ( pRB
⎪⎩k TC) otherwise

( p)
The quantity k TC ∈ {0,1} is given by

⎧1 - k cs
if nSRS ∈ {4,5,6,7} and ~
p ∈ {1,3} and N ap = 4
( p)
k TC = ⎨ TC
⎩k TC otherwise

where the relation between the index ~ p and the antenna port p is given by Table 5.2.1-1, kTC ∈ {0,1} is given by the
UE-specific parameter transmissionComb or transmissionComb-ap for periodic and each configuration of aperiodic
transmission, respectively, provided by higher layers for the UE, and nb is frequency position index. The variable nhf
is equal to 0 for UpPTS in the first half frame and equal to 1 for UpPTS in the second half frame of a radio frame.

The frequency hopping of the sounding reference signal is configured by the parameter bhop ∈ {0,1,2,3} , provided by
higher-layer parameter srs-HoppingBandwidth. Frequency hopping is not supported for aperiodic transmission.. If
frequency hopping of the sounding reference signal is not enabled (i.e., bhop ≥ BSRS ), the frequency position index nb
remains constant (unless re-configured) and is defined by nb = ⎣4nRRC mSRS,b ⎦mod N b where the parameter nRRC is given
by higher-layer parameters freqDomainPosition and freqDomainPosition-ap for periodic and each configuration of
aperiodic transmission, respectively. If frequency hopping of the sounding reference signal is enabled (i.e.,
bhop < BSRS ), the frequency position indexes nb are defined by

⎧
nb = ⎨
⎣4nRRC mSRS,b ⎦ mod N b b ≤ bhop
⎩{Fb ( nSRS ) + ⎣4nRRC mSRS,b ⎦}mod N b otherwise

UL
where N b is given by Table 5.5.3.2-1 through Table 5.5.3.2-4 for each uplink bandwidth N RB ,

⎧ ⎢n mod Π bb '=bhop N b ' ⎥ ⎢ nSRS mod Π bb'=bhop N b' ⎥

⎪( N / 2) ⎢ SRS ⎥+⎢ ⎥ if N b even
⎪ b
Fb ( nSRS ) = ⎨ ⎢ Π bb'−=1bhop N b' ⎥ ⎢ 2Π bb −'=1bhop N b ' ⎥
⎣ ⎦ ⎣ ⎦
⎪
⎪⎩ ⎣ b −1
⎣N b / 2⎦ nSRS / Π b '=bhop N b ' ⎦ if N b odd

where N bhop = 1 regardless of the N b value on Table 5.5.3.2-1 through Table 5.5.3.2-4, and

⎧ ⎢ ns ⎥ ⎢ Toffset ⎥
⎪⎪2 N SP nf + 2( N SP − 1)⎢ ⎥ + ⎢ ⎥, for 2 ms SRS periodicity of frame structure type 2
nSRS =⎨ ⎣10 ⎦ ⎢⎣ Toffset_max ⎥⎦
⎪
⎩⎪⎣(nf × 10 + ⎣ns / 2⎦) / TSRS ⎦, otherwise

counts the number of UE-specific SRS transmissions, where TSRS is UE-specific periodicity of SRS transmission
defined in clause 8.2 of 3GPP TS 36.213 [4], Toffset is SRS subframe offset defined in Table 8.2-2 of
3GPP TS 36.213 [4] and Toffset_max is the maximum value of Toffset for a certain configuration of SRS subframe offset.
The sounding reference signal shall be transmitted in the last symbol of the uplink subframe.

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Table 5.5.3.2-1: mSRS,b and N b , b = 0,1,2,3 , values for the uplink bandwidth of 6 ≤ N RB
UL
≤ 40

SRS-Bandwidth SRS-Bandwidth SRS-Bandwidth SRS-Bandwidth

BSRS = 0 BSRS = 1 BSRS = 2 BSRS = 3
SRS bandwidth configuration
CSRS mSRS, 0 N0 mSRS,1 N1 mSRS, 2 N2 mSRS,3 N3
0 36 1 12 3 4 3 4 1
1 32 1 16 2 8 2 4 2
2 24 1 4 6 4 1 4 1
3 20 1 4 5 4 1 4 1
4 16 1 4 4 4 1 4 1
5 12 1 4 3 4 1 4 1
6 8 1 4 2 4 1 4 1
7 4 1 4 1 4 1 4 1

Table 5.5.3.2-2: mSRS,b and N b , b = 0,1,2,3 , values for the uplink bandwidth of 40 < N RB
UL
≤ 60

SRS-Bandwidth SRS-Bandwidth SRS-Bandwidth SRS-Bandwidth

SRS bandwidth configuration BSRS = 0 BSRS = 1 BSRS = 2 BSRS = 3
CSRS
mSRS, 0 N0 mSRS,1 N1 mSRS, 2 N2 mSRS,3 N3
0 48 1 24 2 12 2 4 3
1 48 1 16 3 8 2 4 2
2 40 1 20 2 4 5 4 1
3 36 1 12 3 4 3 4 1
4 32 1 16 2 8 2 4 2
5 24 1 4 6 4 1 4 1
6 20 1 4 5 4 1 4 1
7 16 1 4 4 4 1 4 1

Table 5.5.3.2-3: mSRS,b and N b , b = 0,1,2,3 , values for the uplink bandwidth of 60 < N RB
UL
≤ 80

SRS-Bandwidth SRS-Bandwidth SRS-Bandwidth SRS-Bandwidth

SRS bandwidth
BSRS = 0 BSRS = 1 BSRS = 2 BSRS = 3
configuration
CSRS mSRS, 0 N0 mSRS,1 N1 mSRS, 2 N2 mSRS,3 N3
0 72 1 24 3 12 2 4 3
1 64 1 32 2 16 2 4 4
2 60 1 20 3 4 5 4 1
3 48 1 24 2 12 2 4 3
4 48 1 16 3 8 2 4 2
5 40 1 20 2 4 5 4 1
6 36 1 12 3 4 3 4 1
7 32 1 16 2 8 2 4 2

Table 5.5.3.2-4: mSRS,b and N b , b = 0,1,2,3 , values for the uplink bandwidth of 80 < N RB
UL
≤ 110

SRS-Bandwidth SRS-Bandwidth SRS-Bandwidth SRS-Bandwidth

BSRS = 0 BSRS = 1 BSRS = 2 BSRS = 3
SRS bandwidth configuration
CSRS mSRS, 0 N0 mSRS,1 N1 mSRS, 2 N2 mSRS,3 N3
0 96 1 48 2 24 2 4 6
1 96 1 32 3 16 2 4 4
2 80 1 40 2 20 2 4 5
3 72 1 24 3 12 2 4 3
4 64 1 32 2 16 2 4 4
5 60 1 20 3 4 5 4 1
6 48 1 24 2 12 2 4 3
7 48 1 16 3 8 2 4 2

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5.5.3.3 Sounding reference signal subframe configuration

The cell-specific subframe configuration period TSFC and the cell-specific subframe offset Δ SFC for the transmission of
sounding reference signals are listed in Tables 5.5.3.3-1 and 5.5.3.3-2, for frame structures type 1 and 2 respectively,
where the parameter srs-SubframeConfig is provided by higher layers. Sounding reference signal subframes are the
subframes satisfying ⎣ns / 2⎦ mod TSFC ∈ Δ SFC . For frame structure type 2, a sounding reference signal is transmitted
only in uplink subframes or UpPTS.

Table 5.5.3.3-1: Frame structure type 1 sounding reference signal subframe configuration

Configuration Period Transmission offset

srs-SubframeConfig Binary
TSFC (subframes) Δ SFC (subframes)
0 0000 1 {0}
1 0001 2 {0}
2 0010 2 {1}
3 0011 5 {0}
4 0100 5 {1}
5 0101 5 {2}
6 0110 5 {3}
7 0111 5 {0,1}
8 1000 5 {2,3}
9 1001 10 {0}
10 1010 10 {1}
11 1011 10 {2}
12 1100 10 {3}
13 1101 10 {0,1,2,3,4,6,8}
14 1110 10 {0,1,2,3,4,5,6,8}
15 1111 reserved reserved

Table 5.5.3.3-2: Frame structure type 2 sounding reference signal subframe configuration

Configuration Period Transmission offset

srs-SubframeConfig Binary
TSFC (subframes) Δ SFC (subframes)
0 0000 5 {1}
1 0001 5 {1, 2}
2 0010 5 {1, 3}
3 0011 5 {1, 4}
4 0100 5 {1, 2, 3}
5 0101 5 {1, 2, 4}
6 0110 5 {1, 3, 4}
7 0111 5 {1, 2, 3, 4}
8 1000 10 {1, 2, 6}
9 1001 10 {1, 3, 6}
10 1010 10 {1, 6, 7}
11 1011 10 {1, 2, 6, 8}
12 1100 10 {1, 3, 6, 9}
13 1101 10 {1, 4, 6, 7}
14 1110 reserved reserved
15 1111 reserved reserved

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5.6 SC-FDMA baseband signal generation

This clause applies to all uplink physical signals and physical channels except the physical random access channel.

The time-continuous signal sl( p ) (t ) for antenna port p in SC-FDMA symbol l in an uplink slot is defined by

UL RB
⎡N RB N sc / 2 ⎤ −1
j 2π (k +1 2 )Δf (t − N CP ,l Ts )
sl( p ) (t ) = ∑ a ( (p−)) ⋅ e
k ,l
k = − ⎣N RB
UL RB
N sc / 2 ⎦

for 0 ≤ t < (N CP,l + N )× Ts where k ( − ) = k + N UL ⎣ ⎦

RB N sc 2 , N = 2048 , Δf = 15 kHz and a k ,l is the content of resource
RB ( p)

element (k , l ) on antenna port p .

The SC-FDMA symbols in a slot shall be transmitted in increasing order of l , starting with l = 0 , where SC-FDMA
l −1
symbol l > 0 starts at time ∑ l ′= 0
( N CP ,l ′ + N )Ts within the slot.

Table 5.6-1 lists the values of N CP ,l that shall be used.

Table 5.6-1: SC-FDMA parameters

Configuration Cyclic prefix length N CP ,l

160 for l = 0
Normal cyclic prefix
144 for l = 1,2,...,6
Extended cyclic prefix 512 for l = 0,1,...,5

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5.7 Physical random access channel

5.7.1 Time and frequency structure
The physical layer random access preamble, illustrated in Figure 5.7.1-1, consists of a cyclic prefix of length TCP and a
sequence part of length TSEQ . The parameter values are listed in Table 5.7.1-1 and depend on the frame structure and the
random access configuration. Higher layers control the preamble format.

CP Sequence

TCP TSEQ

Figure 5.7.1-1: Random access preamble format

Table 5.7.1-1: Random access preamble parameters

Preamble format TCP TSEQ

0 3168 ⋅ Ts 24576 ⋅ Ts
1 21024 ⋅ Ts 24576 ⋅ Ts
2 6240 ⋅ Ts 2 ⋅ 24576 ⋅ Ts
3 21024 ⋅ Ts 2 ⋅ 24576 ⋅ Ts
4 (see Note) 448 ⋅ Ts 4096 ⋅ Ts
NOTE: Frame structure type 2 and special subframe configurations with UpPTS lengths 4384 ⋅ Ts and 5120 ⋅ Ts only.

The transmission of a random access preamble, if triggered by the MAC layer, is restricted to certain time and
frequency resources. These resources are enumerated in increasing order of the subframe number within the radio frame
and the physical resource blocks in the frequency domain such that index 0 correspond to the lowest numbered physical
resource block and subframe within the radio frame. PRACH resources within the radio frame are indicated by a
PRACH Resource Index, where the indexing is in the order of appearance in Table 5.7.1-2 and Table 5.7.1-4.

For frame structure type 1 with preamble format 0-3, there is at most one random access resource per subframe.
Table 5.7.1-2 lists the preamble formats according to Table 5.7.1-1 and the subframes in which random access preamble
transmission is allowed for a given configuration in frame structure type 1. The parameter prach-ConfigurationIndex is
given by higher layers. The start of the random access preamble shall be aligned with the start of the corresponding
uplink subframe at the UE assuming N TA = 0 , where N TA is defined in clause 8.1. For PRACH configurations 0, 1, 2,
15, 16, 17, 18, 31, 32, 33, 34, 47, 48, 49, 50 and 63 the UE may for handover purposes assume an absolute value of the
relative time difference between radio frame i in the current cell and the target cell of less than 153600 ⋅ Ts .
RA
The first physical resource block nPRB allocated to the PRACH opportunity considered for preamble formats 0, 1, 2 and
RA
3 is defined as nPRB = nPRB
RA RA
offset , where the parameter prach-FrequencyOffset, nPRBoffset is expressed as a physical

resource block number configured by higher layers and fulfilling 0 ≤ nPRBoffset

RA
≤ N RB
UL
−6.

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Table 5.7.1-2: Frame structure type 1 random access configuration for preamble formats 0-3

PRACH System PRACH System

Preamble Subframe Preamble Subframe
Configuration frame Configuration frame
Format number Format number
Index number Index number
0 0 Even 1 32 2 Even 1
1 0 Even 4 33 2 Even 4
2 0 Even 7 34 2 Even 7
3 0 Any 1 35 2 Any 1
4 0 Any 4 36 2 Any 4
5 0 Any 7 37 2 Any 7
6 0 Any 1, 6 38 2 Any 1, 6
7 0 Any 2 ,7 39 2 Any 2 ,7
8 0 Any 3, 8 40 2 Any 3, 8
9 0 Any 1, 4, 7 41 2 Any 1, 4, 7
10 0 Any 2, 5, 8 42 2 Any 2, 5, 8
11 0 Any 3, 6, 9 43 2 Any 3, 6, 9
12 0 Any 0, 2, 4, 6, 8 44 2 Any 0, 2, 4, 6, 8
13 0 Any 1, 3, 5, 7, 9 45 2 Any 1, 3, 5, 7, 9
0, 1, 2, 3, 4,
14 0 Any 46 N/A N/A N/A
5, 6, 7, 8, 9
15 0 Even 9 47 2 Even 9
16 1 Even 1 48 3 Even 1
17 1 Even 4 49 3 Even 4
18 1 Even 7 50 3 Even 7
19 1 Any 1 51 3 Any 1
20 1 Any 4 52 3 Any 4
21 1 Any 7 53 3 Any 7
22 1 Any 1, 6 54 3 Any 1, 6
23 1 Any 2 ,7 55 3 Any 2 ,7
24 1 Any 3, 8 56 3 Any 3, 8
25 1 Any 1, 4, 7 57 3 Any 1, 4, 7
26 1 Any 2, 5, 8 58 3 Any 2, 5, 8
27 1 Any 3, 6, 9 59 3 Any 3, 6, 9
28 1 Any 0, 2, 4, 6, 8 60 N/A N/A N/A
29 1 Any 1, 3, 5, 7, 9 61 N/A N/A N/A
30 N/A N/A N/A 62 N/A N/A N/A
31 1 Even 9 63 3 Even 9

For frame structure type 2 with preamble formats 0-4, there might be multiple random access resources in an UL
subframe (or UpPTS for preamble format 4) depending on the UL/DL configuration [see table 4.2-2]. Table 5.7.1-3 lists
PRACH configurations allowed for frame structure type 2 where the configuration index corresponds to a certain
combination of preamble format, PRACH density value, DRA and version index, rRA .
The parameter prach-ConfigurationIndex is given by higher layers. For frame structure type 2 with PRACH
configuration 0, 1, 2, 20, 21, 22, 30, 31, 32, 40, 41, 42, 48, 49, 50, or with PRACH configuration 51, 53, 54, 55, 56, 57
in UL/DL configuration 3, 4, 5, the UE may for handover purposes assume an absolute value of the relative time
difference between radio frame i in the current cell and the target cell is less than 153600 ⋅ Ts .

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Table 5.7.1-3: Frame structure type 2 random access configurations for preamble formats 0-4

PRACH Density PRACH Density

Preamble Version Preamble Version
configuration Per 10 ms configuration Per 10 ms
Format rRA Format rRA
Index DRA Index DRA
0 0 0.5 0 32 2 0.5 2
1 0 0.5 1 33 2 1 0
2 0 0.5 2 34 2 1 1
3 0 1 0 35 2 2 0
4 0 1 1 36 2 3 0
5 0 1 2 37 2 4 0
6 0 2 0 38 2 5 0
7 0 2 1 39 2 6 0
8 0 2 2 40 3 0.5 0
9 0 3 0 41 3 0.5 1
10 0 3 1 42 3 0.5 2
11 0 3 2 43 3 1 0
12 0 4 0 44 3 1 1
13 0 4 1 45 3 2 0
14 0 4 2 46 3 3 0
15 0 5 0 47 3 4 0
16 0 5 1 48 4 0.5 0
17 0 5 2 49 4 0.5 1
18 0 6 0 50 4 0.5 2
19 0 6 1 51 4 1 0
20 1 0.5 0 52 4 1 1
21 1 0.5 1 53 4 2 0
22 1 0.5 2 54 4 3 0
23 1 1 0 55 4 4 0
24 1 1 1 56 4 5 0
25 1 2 0 57 4 6 0
26 1 3 0 58 N/A N/A N/A
27 1 4 0 59 N/A N/A N/A
28 1 5 0 60 N/A N/A N/A
29 1 6 0 61 N/A N/A N/A
30 2 0.5 0 62 N/A N/A N/A
31 2 0.5 1 63 N/A N/A N/A

Table 5.7.1-4 lists the mapping to physical resources for the different random access opportunities needed for a certain
( 0 ) (1) ( 2 )
PRACH density value, DRA . Each quadruple of the format ( f RA , t RA , t RA , t RA ) indicates the location of a specific
random access resource, where f RA is a frequency resource index within the considered time instance, t RA ( 0)
= 0,1,2
indicates whether the resource is reoccurring in all radio frames, in even radio frames, or in odd radio frames,
(1)
respectively, t RA = 0,1 indicates whether the random access resource is located in first half frame or in second half
( 2)
frame, respectively, and where t RA is the uplink subframe number where the preamble starts, counting from 0 at the
first uplink subframe between 2 consecutive downlink-to-uplink switch points, with the exception of preamble format 4
( 2)
where t RA is denoted as (*). The start of the random access preamble formats 0-3 shall be aligned with the start of the
corresponding uplink subframe at the UE assuming N TA = 0 and the random access preamble format 4 shall start
4832 ⋅ Ts before the end of the UpPTS at the UE, where the UpPTS is referenced to the UE’s uplink frame timing
assuming N TA = 0 .

The random access opportunities for each PRACH configuration shall be allocated in time first and then in frequency if
and only if time multiplexing is not sufficient to hold all opportunities of a PRACH configuration needed for a certain
density value DRA without overlap in time. For preamble format 0-3, the frequency multiplexing shall be done
according to

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⎧ RA ⎢ f RA ⎥
⎪nPRB offset + 6⎢ 2 ⎥, if f RA mod 2 = 0
⎪ ⎣ ⎦
RA
nPRB =⎨
⎪ N RB ⎢ f RA ⎥
UL
− 6 − nPRB
RA
offset − 6 ⎢ ⎥, otherwise
⎪⎩ ⎣ 2 ⎦

UL RA
where N RB is the number of uplink resource blocks, nPRB is the first physical resource block allocated to the PRACH
RA
opportunity considered and where the parameter prach-FrequencyOffset, nPRB offset is the first physical resource block
available for PRACH expressed as a physical resource block number configured by higher layers and fulfilling
0 ≤ nPRBoffset
RA
≤ N RB
UL
−6.

For preamble format 4, the frequency multiplexing shall be done according to

RA
nPRB
⎧⎪6 f RA ,
= ⎨ UL
(
if (nf mod 2) × (2 − N SP ) + t RA)
(1)
mod 2 = 0
⎪⎩ N RB − 6( f RA + 1), otherwise

where nf is the system frame number and where N SP is the number of DL to UL switch points within the radio frame.

Each random access preamble occupies a bandwidth corresponding to 6 consecutive resource blocks for both frame
structures.

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Table 5.7.1-4: Frame structure type 2 random access preamble mapping in time and frequency
PRACH UL/DL configuration (See Table 4.2-2)
configuration Index
0 1 2 3 4 5 6
(See Table 5.7.1-3)
0 (0,1,0,2) (0,1,0,1) (0,1,0,0) (0,1,0,2) (0,1,0,1) (0,1,0,0) (0,1,0,2)
1 (0,2,0,2) (0,2,0,1) (0,2,0,0) (0,2,0,2) (0,2,0,1) (0,2,0,0) (0,2,0,2)
2 (0,1,1,2) (0,1,1,1) (0,1,1,0) (0,1,0,1) (0,1,0,0) N/A (0,1,1,1)
3 (0,0,0,2) (0,0,0,1) (0,0,0,0) (0,0,0,2) (0,0,0,1) (0,0,0,0) (0,0,0,2)
4 (0,0,1,2) (0,0,1,1) (0,0,1,0) (0,0,0,1) (0,0,0,0) N/A (0,0,1,1)
5 (0,0,0,1) (0,0,0,0) N/A (0,0,0,0) N/A N/A (0,0,0,1)
(0,0,0,2) (0,0,0,1) (0,0,0,0) (0,0,0,1) (0,0,0,0) (0,0,0,0) (0,0,0,2)
6
(0,0,1,2) (0,0,1,1) (0,0,1,0) (0,0,0,2) (0,0,0,1) (1,0,0,0) (0,0,1,1)
(0,0,0,1) (0,0,0,0) (0,0,0,0) (0,0,0,1)
7 N/A N/A N/A
(0,0,1,1) (0,0,1,0) (0,0,0,2) (0,0,1,0)
(0,0,0,0) (0,0,0,0) (0,0,0,0)
8 N/A N/A N/A N/A
(0,0,1,0) (0,0,0,1) (0,0,1,1)
(0,0,0,1) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,1)
9 (0,0,0,2) (0,0,0,1) (0,0,1,0) (0,0,0,1) (0,0,0,1) (1,0,0,0) (0,0,0,2)
(0,0,1,2) (0,0,1,1) (1,0,0,0) (0,0,0,2) (1,0,0,1) (2,0,0,0) (0,0,1,1)
(0,0,0,0) (0,0,0,1) (0,0,0,0) (0,0,0,0) (0,0,0,0)
10 (0,0,1,0) (0,0,1,0) (0,0,1,0) N/A (0,0,0,1) N/A (0,0,0,2)
(0,0,1,1) (0,0,1,1) (1,0,1,0) (1,0,0,0) (0,0,1,0)
(0,0,0,0) (0,0,0,1)
11 N/A (0,0,0,1) N/A N/A N/A N/A (0,0,1,0)
(0,0,1,0) (0,0,1,1)
(0,0,0,1) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,1)
(0,0,0,2) (0,0,0,1) (0,0,1,0) (0,0,0,1) (0,0,0,1) (1,0,0,0) (0,0,0,2)
12
(0,0,1,1) (0,0,1,0) (1,0,0,0) (0,0,0,2) (1,0,0,0) (2,0,0,0) (0,0,1,0)
(0,0,1,2) (0,0,1,1) (1,0,1,0) (1,0,0,2) (1,0,0,1) (3,0,0,0) (0,0,1,1)
(0,0,0,0) (0,0,0,0) (0,0,0,0)
(0,0,0,2) (0,0,0,1) (0,0,0,1)
13 N/A N/A N/A N/A
(0,0,1,0) (0,0,0,2) (0,0,0,2)
(0,0,1,2) (1,0,0,1) (0,0,1,1)
(0,0,0,0) (0,0,0,0) (0,0,0,0)
(0,0,0,1) (0,0,0,1) (0,0,0,2)
14 N/A N/A N/A N/A
(0,0,1,0) (0,0,0,2) (0,0,1,0)
(0,0,1,1) (1,0,0,0) (0,0,1,1)
(0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0)
(0,0,0,1) (0,0,0,1) (0,0,1,0) (0,0,0,1) (0,0,0,1) (1,0,0,0) (0,0,0,1)
15 (0,0,0,2) (0,0,1,0) (1,0,0,0) (0,0,0,2) (1,0,0,0) (2,0,0,0) (0,0,0,2)
(0,0,1,1) (0,0,1,1) (1,0,1,0) (1,0,0,1) (1,0,0,1) (3,0,0,0) (0,0,1,0)
(0,0,1,2) (1,0,0,1) (2,0,0,0) (1,0,0,2) (2,0,0,1) (4,0,0,0) (0,0,1,1)
(0,0,0,1) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0)
(0,0,0,2) (0,0,0,1) (0,0,1,0) (0,0,0,1) (0,0,0,1)
16 (0,0,1,0) (0,0,1,0) (1,0,0,0) (0,0,0,2) (1,0,0,0) N/A N/A
(0,0,1,1) (0,0,1,1) (1,0,1,0) (1,0,0,0) (1,0,0,1)
(0,0,1,2) (1,0,1,1) (2,0,1,0) (1,0,0,2) (2,0,0,0)
(0,0,0,0) (0,0,0,0) (0,0,0,0)
(0,0,0,1) (0,0,0,1) (0,0,0,1)
17 (0,0,0,2) (0,0,1,0) N/A (0,0,0,2) N/A N/A N/A
(0,0,1,0) (0,0,1,1) (1,0,0,0)
(0,0,1,2) (1,0,0,0) (1,0,0,1)
(0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0) (0,0,0,0)
(0,0,0,1) (0,0,0,1) (0,0,1,0) (0,0,0,1) (0,0,0,1) (1,0,0,0) (0,0,0,1)
(0,0,0,2) (0,0,1,0) (1,0,0,0) (0,0,0,2) (1,0,0,0) (2,0,0,0) (0,0,0,2)
18
(0,0,1,0) (0,0,1,1) (1,0,1,0) (1,0,0,0) (1,0,0,1) (3,0,0,0) (0,0,1,0)
(0,0,1,1) (1,0,0,1) (2,0,0,0) (1,0,0,1) (2,0,0,0) (4,0,0,0) (0,0,1,1)
(0,0,1,2) (1,0,1,1) (2,0,1,0) (1,0,0,2) (2,0,0,1) (5,0,0,0) (1,0,0,2)
(0,0,0,0) (0,0,0,0)
(0,0,0,1) (0,0,0,1)
(0,0,1,0) (0,0,0,2)
19 N/A N/A N/A N/A N/A
(0,0,1,1) (0,0,1,0)
(1,0,0,0) (0,0,1,1)
(1,0,1,0) (1,0,1,1)
20 / 30 (0,1,0,1) (0,1,0,0) N/A (0,1,0,1) (0,1,0,0) N/A (0,1,0,1)
21 / 31 (0,2,0,1) (0,2,0,0) N/A (0,2,0,1) (0,2,0,0) N/A (0,2,0,1)
22 / 32 (0,1,1,1) (0,1,1,0) N/A N/A N/A N/A (0,1,1,0)
23 / 33 (0,0,0,1) (0,0,0,0) N/A (0,0,0,1) (0,0,0,0) N/A (0,0,0,1)
24 / 34 (0,0,1,1) (0,0,1,0) N/A N/A N/A N/A (0,0,1,0)
(0,0,0,1) (0,0,0,0) (0,0,0,1) (0,0,0,0) (0,0,0,1)
25 / 35 N/A N/A
(0,0,1,1) (0,0,1,0) (1,0,0,1) (1,0,0,0) (0,0,1,0)
(0,0,0,1) (0,0,0,0) (0,0,0,1) (0,0,0,0) (0,0,0,1)
26 / 36 (0,0,1,1) (0,0,1,0) (1,0,0,1) (1,0,0,0) (0,0,1,0)
N/A N/A
(1,0,0,1) (1,0,0,0) (2,0,0,1) (2,0,0,0) (1,0,0,1)

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

(0,0,1,1) (0,0,1,0) (1,0,0,1) (1,0,0,0) (0,0,1,0)
27 / 37
(1,0,0,1) (1,0,0,0) N/A (2,0,0,1) (2,0,0,0) N/A (1,0,0,1)
(1,0,1,1) (1,0,1,0) (3,0,0,1) (3,0,0,0) (1,0,1,0)
(0,0,0,1) (0,0,0,0) (0,0,0,1) (0,0,0,0) (0,0,0,1)
(0,0,1,1) (0,0,1,0) (1,0,0,1) (1,0,0,0) (0,0,1,0)
28 / 38 (1,0,0,1) (1,0,0,0) (2,0,0,1) (2,0,0,0) (1,0,0,1)
(1,0,1,1) (1,0,1,0) N/A (3,0,0,1) (3,0,0,0) N/A (1,0,1,0)
(2,0,0,1) (2,0,0,0) (4,0,0,1) (4,0,0,0) (2,0,0,1)
(0,0,0,1) (0,0,0,0) (0,0,0,1) (0,0,0,0) (0,0,0,1)
(0,0,1,1) (0,0,1,0) (1,0,0,1) (1,0,0,0) (0,0,1,0)
(1,0,0,1) (1,0,0,0) (2,0,0,1) (2,0,0,0) (1,0,0,1)
29 /39
(1,0,1,1) (1,0,1,0) (3,0,0,1) (3,0,0,0) (1,0,1,0)
N/A N/A
(2,0,0,1) (2,0,0,0) (4,0,0,1) (4,0,0,0) (2,0,0,1)
(2,0,1,1) (2,0,1,0) (5,0,0,1) (5,0,0,0) (2,0,1,0)
40 (0,1,0,0) N/A N/A (0,1,0,0) N/A N/A (0,1,0,0)
41 (0,2,0,0) N/A N/A (0,2,0,0) N/A N/A (0,2,0,0)
42 (0,1,1,0) N/A N/A N/A N/A N/A N/A
43 (0,0,0,0) N/A N/A (0,0,0,0) N/A N/A (0,0,0,0)
44 (0,0,1,0) N/A N/A N/A N/A N/A N/A
(0,0,0,0) (0,0,0,0) (0,0,0,0)
45 N/A N/A N/A N/A
(0,0,1,0) (1,0,0,0) (1,0,0,0)
(0,0,0,0) (0,0,0,0) (0,0,0,0)
46 (0,0,1,0) (1,0,0,0) (1,0,0,0)
N/A N/A N/A N/A
(1,0,0,0) (2,0,0,0) (2,0,0,0)
(0,0,0,0) (0,0,0,0) (0,0,0,0)
(0,0,1,0) (1,0,0,0) (1,0,0,0)
47
(1,0,0,0) N/A N/A (2,0,0,0) N/A N/A (2,0,0,0)
(1,0,1,0) (3,0,0,0) (3,0,0,0)
48 (0,1,0,*) (0,1,0,*) (0,1,0,*) (0,1,0,*) (0,1,0,*) (0,1,0,*) (0,1,0,*)
49 (0,2,0,*) (0,2,0,*) (0,2,0,*) (0,2,0,*) (0,2,0,*) (0,2,0,*) (0,2,0,*)
50 (0,1,1,*) (0,1,1,*) (0,1,1,*) N/A N/A N/A (0,1,1,*)
51 (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*)
52 (0,0,1,*) (0,0,1,*) (0,0,1,*) N/A N/A N/A (0,0,1,*)
(0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*)
53
(0,0,1,*) (0,0,1,*) (0,0,1,*) (1,0,0,*) (1,0,0,*) (1,0,0,*) (0,0,1,*)
(0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*)
54 (0,0,1,*) (0,0,1,*) (0,0,1,*) (1,0,0,*) (1,0,0,*) (1,0,0,*) (0,0,1,*)
(1,0,0,*) (1,0,0,*) (1,0,0,*) (2,0,0,*) (2,0,0,*) (2,0,0,*) (1,0,0,*)
(0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*)
(0,0,1,*) (0,0,1,*) (0,0,1,*) (1,0,0,*) (1,0,0,*) (1,0,0,*) (0,0,1,*)
55
(1,0,0,*) (1,0,0,*) (1,0,0,*) (2,0,0,*) (2,0,0,*) (2,0,0,*) (1,0,0,*)
(1,0,1,*) (1,0,1,*) (1,0,1,*) (3,0,0,*) (3,0,0,*) (3,0,0,*) (1,0,1,*)
(0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*)
(0,0,1,*) (0,0,1,*) (0,0,1,*) (1,0,0,*) (1,0,0,*) (1,0,0,*) (0,0,1,*)
56 (1,0,0,*) (1,0,0,*) (1,0,0,*) (2,0,0,*) (2,0,0,*) (2,0,0,*) (1,0,0,*)
(1,0,1,*) (1,0,1,*) (1,0,1,*) (3,0,0,*) (3,0,0,*) (3,0,0,*) (1,0,1,*)
(2,0,0,*) (2,0,0,*) (2,0,0,*) (4,0,0,*) (4,0,0,*) (4,0,0,*) (2,0,0,*)
(0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*) (0,0,0,*)
(0,0,1,*) (0,0,1,*) (0,0,1,*) (1,0,0,*) (1,0,0,*) (1,0,0,*) (0,0,1,*)
(1,0,0,*) (1,0,0,*) (1,0,0,*) (2,0,0,*) (2,0,0,*) (2,0,0,*) (1,0,0,*)
57
(1,0,1,*) (1,0,1,*) (1,0,1,*) (3,0,0,*) (3,0,0,*) (3,0,0,*) (1,0,1,*)
(2,0,0,*) (2,0,0,*) (2,0,0,*) (4,0,0,*) (4,0,0,*) (4,0,0,*) (2,0,0,*)
(2,0,1,*) (2,0,1,*) (2,0,1,*) (5,0,0,*) (5,0,0,*) (5,0,0,*) (2,0,1,*)
58 N/A N/A N/A N/A N/A N/A N/A
59 N/A N/A N/A N/A N/A N/A N/A
60 N/A N/A N/A N/A N/A N/A N/A
61 N/A N/A N/A N/A N/A N/A N/A
62 N/A N/A N/A N/A N/A N/A N/A
63 N/A N/A N/A N/A N/A N/A N/A
NOTE: * UpPTS

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5.7.2 Preamble sequence generation

The random access preambles are generated from Zadoff-Chu sequences with zero correlation zone, generated from one
or several root Zadoff-Chu sequences. The network configures the set of preamble sequences the UE is allowed to use.

There are 64 preambles available in each cell. The set of 64 preamble sequences in a cell is found by including first, in
the order of increasing cyclic shift, all the available cyclic shifts of a root Zadoff-Chu sequence with the logical index
RACH_ROOT_SEQUENCE, where RACH_ROOT_SEQUENCE is broadcasted as part of the System Information.
Additional preamble sequences, in case 64 preambles cannot be generated from a single root Zadoff-Chu sequence, are
obtained from the root sequences with the consecutive logical indexes until all the 64 sequences are found.
The logical root sequence order is cyclic: the logical index 0 is consecutive to 837. The relation between a logical root
sequence index and physical root sequence index u is given by Tables 5.7.2-4 and 5.7.2-5 for preamble formats 0 – 3
and 4, respectively.

The u th root Zadoff-Chu sequence is defined by

πun ( n +1)
−j
xu (n ) = e N ZC
, 0 ≤ n ≤ N ZC − 1

where the length N ZC of the Zadoff-Chu sequence is given by Table 5.7.2-1. From the u th root Zadoff-Chu sequence,
random access preambles with zero correlation zones of length N CS − 1 are defined by cyclic shifts according to

xu ,v (n) = xu ((n + Cv ) mod N ZC )

where the cyclic shift is given by

⎧vN CS v = 0,1,..., ⎢⎣ N ZC N CS ⎥⎦ − 1, N CS ≠ 0 for unrestricted sets

⎪⎪
Cv = ⎨0 N CS = 0 for unrestricted sets
⎪
⎪ dstart ⎢⎣ v nshift ⎥⎦ + (v mod nshift ) N CS v = 0,1,..., nshift ngroup + nshift −1
RA RA RA RA RA
⎩ for restricted sets

and N CS is given by Tables 5.7.2-2 and 5.7.2-3 for preamble formats 0-3 and 4, respectively, where the parameter
zeroCorrelationZoneConfig is provided by higher layers. The parameter High-speed-flag provided by higher layers
determines if unrestricted set or restricted set shall be used.

The variable d u is the cyclic shift corresponding to a Doppler shift of magnitude 1 TSEQ and is given by

⎧p 0 ≤ p < N ZC 2
du = ⎨
⎩ N ZC − p otherwise

where p is the smallest non-negative integer that fulfils ( pu ) mod N ZC = 1 . The parameters for restricted sets of cyclic
shifts depend on d u . For N CS ≤ d u < N ZC 3 , the parameters are given by

RA
nshift = ⎣d u N CS ⎦
d start = 2d u + nshift
RA
N CS
RA
ngroup = ⎣N ZC d start ⎦
RA
nshift (⎣
= max ( N ZC − 2d u − ngroup
RA
d start ) N CS ,0 ⎦)
For N ZC 3 ≤ d u ≤ ( N ZC − N CS ) 2 , the parameters are given by

RA
nshift = ⎣( N ZC − 2d u ) N CS ⎦
d start = N ZC − 2d u + nshift
RA
N CS
RA
ngroup = ⎣d u d start ⎦
RA
nshift ( (⎣
= min max (d u − ngroup
RA RA
d start ) N CS ,0 , nshift⎦) )

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For all other values of d u , there are no cyclic shifts in the restricted set.

Table 5.7.2-1: Random access preamble sequence length

Preamble format N ZC
0–3 839
4 139

Table 5.7.2-2: N CS for preamble generation (preamble formats 0-3)

N CS value
zeroCorrelationZoneConfig
Unrestricted set Restricted set
0 0 15
1 13 18
2 15 22
3 18 26
4 22 32
5 26 38
6 32 46
7 38 55
8 46 68
9 59 82
10 76 100
11 93 128
12 119 158
13 167 202
14 279 237
15 419 -

Table 5.7.2-3: N CS for preamble generation (preamble format 4)

zeroCorrelationZoneConfig N CS value
0 2
1 4
2 6
3 8
4 10
5 12
6 15
7 N/A
8 N/A
9 N/A
10 N/A
11 N/A
12 N/A
13 N/A
14 N/A
15 N/A

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Table 5.7.2-4: Root Zadoff-Chu sequence order for preamble formats 0 – 3

Logical root
Physical root sequence number u
sequence
number (in increasing order of the corresponding logical sequence number)
129, 710, 140, 699, 120, 719, 210, 629, 168, 671, 84, 755, 105, 734, 93, 746, 70, 769, 60, 779
0–23
2, 837, 1, 838
24–29 56, 783, 112, 727, 148, 691
30–35 80, 759, 42, 797, 40, 799
36–41 35, 804, 73, 766, 146, 693
42–51 31, 808, 28, 811, 30, 809, 27, 812, 29, 810
52–63 24, 815, 48, 791, 68, 771, 74, 765, 178, 661, 136, 703
64–75 86, 753, 78, 761, 43, 796, 39, 800, 20, 819, 21, 818
76–89 95, 744, 202, 637, 190, 649, 181, 658, 137, 702, 125, 714, 151, 688
217, 622, 128, 711, 142, 697, 122, 717, 203, 636, 118, 721, 110, 729, 89, 750, 103, 736, 61, 778, 55, 784, 15, 824,
90–115
14, 825
116–135 12, 827, 23, 816, 34, 805, 37, 802, 46, 793, 207, 632, 179, 660, 145, 694, 130, 709, 223, 616
228, 611, 227, 612, 132, 707, 133, 706, 143, 696, 135, 704, 161, 678, 201, 638, 173, 666, 106, 733, 83, 756, 91,
136–167
748, 66, 773, 53, 786, 10, 829, 9, 830
7, 832, 8, 831, 16, 823, 47, 792, 64, 775, 57, 782, 104, 735, 101, 738, 108, 731, 208, 631, 184, 655, 197, 642, 191,
168–203
648, 121, 718, 141, 698, 149, 690, 216, 623, 218, 621
152, 687, 144, 695, 134, 705, 138, 701, 199, 640, 162, 677, 176, 663, 119, 720, 158, 681, 164, 675, 174, 665, 171,
204–263 668, 170, 669, 87, 752, 169, 670, 88, 751, 107, 732, 81, 758, 82, 757, 100, 739, 98, 741, 71, 768, 59, 780, 65, 774,
50, 789, 49, 790, 26, 813, 17, 822, 13, 826, 6, 833
5, 834, 33, 806, 51, 788, 75, 764, 99, 740, 96, 743, 97, 742, 166, 673, 172, 667, 175, 664, 187, 652, 163, 676, 185,
264–327 654, 200, 639, 114, 725, 189, 650, 115, 724, 194, 645, 195, 644, 192, 647, 182, 657, 157, 682, 156, 683, 211, 628,
154, 685, 123, 716, 139, 700, 212, 627, 153, 686, 213, 626, 215, 624, 150, 689
225, 614, 224, 615, 221, 618, 220, 619, 127, 712, 147, 692, 124, 715, 193, 646, 205, 634, 206, 633, 116, 723, 160,
328–383 679, 186, 653, 167, 672, 79, 760, 85, 754, 77, 762, 92, 747, 58, 781, 62, 777, 69, 770, 54, 785, 36, 803, 32, 807,
25, 814, 18, 821, 11, 828, 4, 835
3, 836, 19, 820, 22, 817, 41, 798, 38, 801, 44, 795, 52, 787, 45, 794, 63, 776, 67, 772, 72
767, 76, 763, 94, 745, 102, 737, 90, 749, 109, 730, 165, 674, 111, 728, 209, 630, 204, 635, 117, 722, 188, 651,
384–455
159, 680, 198, 641, 113, 726, 183, 656, 180, 659, 177, 662, 196, 643, 155, 684, 214, 625, 126, 713, 131, 708, 219,
620, 222, 617, 226, 613
230, 609, 232, 607, 262, 577, 252, 587, 418, 421, 416, 423, 413, 426, 411, 428, 376, 463, 395, 444, 283, 556, 285,
456–513 554, 379, 460, 390, 449, 363, 476, 384, 455, 388, 451, 386, 453, 361, 478, 387, 452, 360, 479, 310, 529, 354, 485,
328, 511, 315, 524, 337, 502, 349, 490, 335, 504, 324, 515
323, 516, 320, 519, 334, 505, 359, 480, 295, 544, 385, 454, 292, 547, 291, 548, 381, 458, 399, 440, 380, 459, 397,
514–561 442, 369, 470, 377, 462, 410, 429, 407, 432, 281, 558, 414, 425, 247, 592, 277, 562, 271, 568, 272, 567, 264, 575,
259, 580
237, 602, 239, 600, 244, 595, 243, 596, 275, 564, 278, 561, 250, 589, 246, 593, 417, 422, 248, 591, 394, 445, 393,
562–629 446, 370, 469, 365, 474, 300, 539, 299, 540, 364, 475, 362, 477, 298, 541, 312, 527, 313, 526, 314, 525, 353, 486,
352, 487, 343, 496, 327, 512, 350, 489, 326, 513, 319, 520, 332, 507, 333, 506, 348, 491, 347, 492, 322, 517
330, 509, 338, 501, 341, 498, 340, 499, 342, 497, 301, 538, 366, 473, 401, 438, 371, 468, 408, 431, 375, 464, 249,
630–659
590, 269, 570, 238, 601, 234, 605
257, 582, 273, 566, 255, 584, 254, 585, 245, 594, 251, 588, 412, 427, 372, 467, 282, 557, 403, 436, 396, 443, 392,
660–707 447, 391, 448, 382, 457, 389, 450, 294, 545, 297, 542, 311, 528, 344, 495, 345, 494, 318, 521, 331, 508, 325, 514,
321, 518
708–729 346, 493, 339, 500, 351, 488, 306, 533, 289, 550, 400, 439, 378, 461, 374, 465, 415, 424, 270, 569, 241, 598
730–751 231, 608, 260, 579, 268, 571, 276, 563, 409, 430, 398, 441, 290, 549, 304, 535, 308, 531, 358, 481, 316, 523
752–765 293, 546, 288, 551, 284, 555, 368, 471, 253, 586, 256, 583, 263, 576
766–777 242, 597, 274, 565, 402, 437, 383, 456, 357, 482, 329, 510
778–789 317, 522, 307, 532, 286, 553, 287, 552, 266, 573, 261, 578
790–795 236, 603, 303, 536, 356, 483
796–803 355, 484, 405, 434, 404, 435, 406, 433
804–809 235, 604, 267, 572, 302, 537
810–815 309, 530, 265, 574, 233, 606
816–819 367, 472, 296, 543
820–837 336, 503, 305, 534, 373, 466, 280, 559, 279, 560, 419, 420, 240, 599, 258, 581, 229, 610

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Table 5.7.2-5: Root Zadoff-Chu sequence order for preamble format 4

Logical root sequence Physical root sequence number u
number (in increasing order of the corresponding logical sequence number)
0 – 19 1 138 2 137 3 136 4 135 5 134 6 133 7 132 8 131 9 130 10 129
20 – 39 11 128 12 127 13 126 14 125 15 124 16 123 17 122 18 121 19 120 20 119
40 – 59 21 118 22 117 23 116 24 115 25 114 26 113 27 112 28 111 29 110 30 109
60 – 79 31 108 32 107 33 106 34 105 35 104 36 103 37 102 38 101 39 100 40 99
80 – 99 41 98 42 97 43 96 44 95 45 94 46 93 47 92 48 91 49 90 50 89
100 – 119 51 88 52 87 53 86 54 85 55 84 56 83 57 82 58 81 59 80 60 79
120 – 137 61 78 62 77 63 76 64 75 65 74 66 73 67 72 68 71 69 70 - -
138 – 837 N/A

5.7.3 Baseband signal generation

The time-continuous random access signal s (t ) is defined by

N ZC −1 N ZC −1 2πnk
−j
s (t ) = β PRACH ∑ ∑ ⋅ e j 2π (k +ϕ + K (k0 + 2 ))Δf RA (t −TCP )
1
x u , v ( n) ⋅ e N ZC

k =0 n =0

where 0 ≤ t < TSEQ + TCP , β PRACH is an amplitude scaling factor in order to conform to the transmit power PPRACH
specified in clause 6.1 in 3GPP TS 36.213 [4], and k 0 = nPRB
RA
N scRB − N RB
UL RB
N sc 2 . The location in the frequency domain
RA
is controlled by the parameter nPRB is derived from clause 5.7.1. The factor K = Δf Δf RA accounts for the difference
in subcarrier spacing between the random access preamble and uplink data transmission. The variable Δf RA , the
subcarrier spacing for the random access preamble, and the variable ϕ , a fixed offset determining the frequency-domain
location of the random access preamble within the physical resource blocks, are both given by Table 5.7.3-1.

Table 5.7.3-1: Random access baseband parameters

Preamble format Δf RA ϕ
0–3 1250 Hz 7
4 7500 Hz 2

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5.8 Modulation and upconversion

Modulation and upconversion to the carrier frequency of the complex-valued SC-FDMA baseband signal for each
antenna port or the complex-valued PRACH baseband signal is shown in Figure 5.8-1. The filtering required prior to
transmission is defined by the requirements in 3GPP TS 36.101 [7].

cos (2πf 0 t )

Re {sl (t )}

sl (t )

Im{sl (t )}

− sin (2πf 0 t )

Figure 5.8-1: Uplink modulation

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6 Downlink

6.1 Overview
The smallest time-frequency unit for downlink transmission is denoted a resource element and is defined in
clause 6.2.2.

A subset of the downlink subframes in a radio frame on a carrier supporting PDSCH transmission can be configured as
MBSFN subframes by higher layers. Each MBSFN subframe is divided into a non-MBSFN region and an MBSFN
region.

- The non-MBSFN region spans the first one or two OFDM symbols in an MBSFN subframe where the length of
the non-MBSFN region is given according to Subclause 6.7.

- The MBSFN region in an MBSFN subframe is defined as the OFDM symbols not used for the non-MBSFN
region.

Unless otherwise specified, transmission in each downlink subframe shall use the same cyclic prefix length as used for
downlink subframe #0.

6.1.1 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 3GPP TS 36.212 [3] and the present document 3GPP TS 36.211.
The following downlink physical channels are defined:

- Physical Downlink Shared Channel, PDSCH

- Physical Broadcast Channel, PBCH

- Physical Multicast Channel, PMCH

- Physical Control Format Indicator Channel, PCFICH

- Physical Downlink Control Channel, PDCCH

- Physical Hybrid ARQ Indicator Channel, PHICH

- Enhanced Physical Downlink Control Channel, EPDCCH

6.1.2 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

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6.2 Slot structure and physical resource elements

6.2.1 Resource grid
DL RB DL
The transmitted signal in each slot is described by one or several resource grids of N RB N sc subcarriers and N symb
DL
OFDM symbols. The resource grid structure is illustrated in Figure 6.2.2-1. The quantity N RB depends on the
downlink transmission bandwidth configured in the cell and shall fulfil
min, DL
N RB ≤ N RB
DL
≤ N RB
max, DL

min, DL
where N RB = 6 and N RBmax, DL
= 110 are the smallest and largest downlink bandwidths, respectively, supported by
the current version of this specification.
DL
The set of allowed values for N RB is given by 3GPP TS 36.104 [6]. The number of OFDM symbols in a slot depends
on the cyclic prefix length and subcarrier spacing configured and is given in Table 6.2.3-1.

An antenna port is defined such that the channel over which a symbol on the antenna port is conveyed can be inferred
from the channel over which another symbol on the same antenna port is conveyed. For MBSFN reference signals,
positioning reference signals, UE-specific reference signals associated with PDSCH and demodulation reference signals
associated with EPDCCH, there are limits given below within which the channel can be inferred from one symbol to
another symbol on the same antenna port. There is one resource grid per antenna port. The set of antenna ports
supported depends on the reference signal configuration in the cell:

- Cell-specific reference signals support a configuration of one, two, or four antenna ports and are transmitted on
antenna ports p = 0 , p ∈ {0,1} , and p ∈ {0,1,2,3} , respectively.

- MBSFN reference signals are transmitted on antenna port p = 4 . The channel over which a symbol on antenna
port p = 4 is conveyed can be inferred from the channel over which another symbol on the same antenna port is
conveyed only if the two symbols correspond to subframes of the same MBSFN area.

- UE-specific reference signals associated with PDSCH are transmitted on antenna port(s) p = 5 , p = 7 , p = 8 ,
or one or several of p ∈ {7,8,9,10,11,12,13,14} . The channel over which a symbol on one of these antenna ports is
conveyed can be inferred from the channel over which another symbol on the same antenna port is conveyed
only if the two symbols are within the same subframe and in the same PRG when PRB bundling is used or in the
same PRB pair when PRB bundling is not used.

- Demodulation reference signals associated with EPDCCH are transmitted on one or several of
p ∈ {107,108,109,110} . The channel over which a symbol on one of these antenna ports is conveyed can be
inferred from the channel over which another symbol on the same antenna port is conveyed only if the two
symbols are in the same PRB pair.

- Positioning reference signals are transmitted on antenna port p = 6 . The channel over which a symbol on
antenna port p = 6 is conveyed can be inferred from the channel over which another symbol on the same
antenna port is conveyed only within one positioning reference signal occasion consisting of N PRS consecutive
downlink subframes, where N PRS is configured by higher layers.

- CSI reference signals support a configuration of one, two, four or eight antenna ports and are transmitted on
antenna ports p = 15 , p = 15,16 , p = 15,...,18 and p = 15,...,22 , respectively.

Two antenna ports are said to be quasi co-located if the large-scale properties of the channel over which a symbol on
one antenna port is conveyed can be inferred from the channel over which a symbol on the other antenna port is
conveyed. The large-scale properties include one or more of delay spread, Doppler spread, Doppler shift, average gain,
and average delay.

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6.2.2 Resource elements

Each element in the resource grid for antenna port p is called a resource element and is uniquely identified by the
index pair (k, l ) in a slot where k = 0,..., N RB N sc − 1 and l = 0,..., N symb
DL RB DL
− 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 k( ,pl ) .
When there is no risk for confusion, or no particular antenna port is specified, the index p may be dropped.

Tslot

DL
N symb

k = N RB N sc − 1
DL RB

DL
N symb × N scRB

(k , l )
× N scRB

N scRB
DL
N RB

k =0

l=0 l = N symb
DL
−1

Figure 6.2.2-1: Downlink resource grid

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6.2.3 Resource blocks

Resource blocks are used to describe the mapping of certain physical channels to resource elements. Physical and
virtual resource blocks are defined.
DL
A physical resource block is defined as N symb consecutive OFDM symbols in the time domain and N scRB consecutive
DL
subcarriers in the frequency domain, where N symb and N scRB are given by Table 6.2.3-1. A physical resource block thus
DL
consists of N symb × N scRB resource elements, corresponding to one slot in the time domain and 180 kHz in the frequency
domain.
DL
Physical resource blocks are numbered from 0 to N RB − 1 in the frequency domain. The relation between the physical
resource block number nPRB in the frequency domain and resource elements (k , l ) in a slot is given by

⎢ k ⎥
nPRB = ⎢ RB ⎥
⎢⎣ N sc ⎥⎦

Table 6.2.3-1: Physical resource blocks parameters

DL
Configuration N scRB N symb
Normal cyclic prefix Δf = 15 kHz 7
12
Δf = 15 kHz 6
Extended cyclic prefix
Δf = 7.5 kHz 24 3

A physical resource-block pair is defined as the two physical resource blocks in one subframe having the same physical
resource-block number nPRB .

A virtual resource block is of the same size as a physical resource block. Two types of virtual resource blocks are
defined:

- Virtual resource blocks of localized type

- Virtual resource blocks of distributed type

For each type of virtual resource blocks, a pair of virtual resource blocks over two slots in a subframe is assigned
together by a single virtual resource block number, nVRB .

6.2.3.1 Virtual resource blocks of localized type

Virtual resource blocks of localized type are mapped directly to physical resource blocks such that virtual resource
block nVRB corresponds to physical resource block nPRB = nVRB . Virtual resource blocks are numbered from 0
DL
to N VRB − 1 , where N VRB
DL
= N RB
DL
.

6.2.3.2 Virtual resource blocks of distributed type

Virtual resource blocks of distributed type are mapped to physical resource blocks as described below.

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Table 6.2.3.2-1: RB gap values

Gap ( N gap )
DL
System BW ( N RB ) st nd
1 Gap ( N gap,1 ) 2 Gap ( N gap,2 )

6-10 ⎡N RB
DL
/ 2⎤ N/A
11 4 N/A
12-19 8 N/A
20-26 12 N/A
27-44 18 N/A
45-49 27 N/A
50-63 27 9
64-79 32 16
80-110 48 16

The parameter N gap is given by Table 6.2.3.2-1. For 6 ≤ N RB

DL
≤ 49 , only one gap value N gap,1 is defined and
N gap = N gap,1 . For 50 ≤ N RB
DL
≤ 110 , two gap values N gap,1 and N gap,2 are defined. Whether N gap = N gap,1 or
N gap = N gap,2 is signaled as part of the downlink scheduling assignment as described in 3GPP TS 36.212 [3].

DL
Virtual resource blocks of distributed type are numbered from 0 to N VRB − 1 , where
gap2 = ⎣N RB / 2 N gap ⎦ ⋅ 2 N gap
DL
N VRB = N VRB,
DL
gap1 = 2 ⋅ min( N gap , N RB − N gap )
DL
for N gap = N gap,1 and N VRB
DL
= N VRB,
DL DL
for
N gap = N gap,2 .

~ ~
DL
Consecutive N VRB DL
VRB numbers compose a unit of VRB number interleaving, where N VRB = N VRB
DL
for N gap = N gap,1
~DL
and N VRB = 2 N gap for N gap = N gap,2 . Interleaving of VRB numbers of each interleaving unit is performed with 4
columns and N row rows, where N row = ⎡N VRB /( 4 P ) ⎤⋅ P , and P is RBG size as described in 3GPP TS 36.213 [4]. VRB
DL ~

numbers are written row by row in the rectangular matrix, and read out column by column. N null nulls are inserted in
~ DL
the last N null / 2 rows of the 2nd and 4th column, where N null = 4 N row − N VRB . Nulls are ignored when reading out. The
VRB numbers mapping to PRB numbers including interleaving is derived as follows:

For even slot number ns ;

~ DL
⎧n~PRB
′ − N row , N null ≠ 0 and n~VRB ≥ N VRB − N null and n~VRB mod 2 = 1
⎪~ ′ ~ ~ DL
⎪nPRB − N row + N null / 2 , N null ≠ 0 and nVRB ≥ N VRB − N null and n~ mod 2 = 0
n~PRB (ns ) = ⎨~ VRB ,
′′ − N null / 2
⎪nPRB
~ DL
, N null ≠ 0 and n~VRB < N VRB − N null and n~VRB mod 4 ≥ 2
⎪ ~ ′′
⎩nPRB , otherwise
~ DL
′ = 2 N row ⋅ (n~VRB mod 2) + ⎣n~VRB / 2⎦ + N VRB
where n~PRB
~ DL
⎣
⋅ nVRB / N VRB , ⎦
~ ~ DL
⎣
~ DL
′′ = N row ⋅ (nVRB mod 4) + ⎣nVRB / 4⎦ + N VRB ⋅ nVRB / N VRB ,
and nPRB ~ ~
⎦
~ DL
where n~VRB = nVRB mod N VRB and nVRB is obtained from the downlink scheduling assignment as described in
3GPP TS 36.213 [4].

For odd slot number ns ;

( ~ DL
n~PRB (ns ) = n~PRB (ns − 1) + N VRB ) ~ DL
/ 2 mod N VRB
~ DL
+ N VRB ⎣
~ DL
⋅ nVRB / N VRB ⎦
Then, for all ns ;

⎧⎪n~ (n ), ~ DL
n~PRB (ns ) < N VRB /2
nPRB (ns ) = ⎨ ~PRB s ~ DL ~ DL .
⎪⎩nPRB (ns ) + N gap − N VRB / 2, n~PRB (ns ) ≥ N VRB / 2

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6.2.4 Resource-element groups

Resource-element groups are used for defining the mapping of control channels to resource elements.

A resource-element group is represented by the index pair (k ′, l ′) of the resource element with the lowest index k in
the group with all resource elements in the group having the same value of l . The set of resource elements (k , l ) in a
resource-element group depends on the number of cell-specific reference signals configured as described below with
k 0 = nPRB ⋅ N scRB , 0 ≤ nPRB < N RB
DL
.

- In the first OFDM symbol of the first slot in a subframe the two resource-element groups in physical resource
block nPRB consist of resource elements (k , l = 0) with k = k 0 + 0, k 0 + 1,..., k 0 + 5 and
k = k 0 + 6, k 0 + 7,..., k 0 + 11 , respectively.

- In the second OFDM symbol of the first slot in a subframe in case of one or two cell-specific reference signals
configured, the three resource-element groups in physical resource block nPRB consist of resource elements
(k , l = 1) with k = k 0 + 0, k 0 + 1,..., k 0 + 3 , k = k 0 + 4, k 0 + 5,..., k 0 + 7 and k = k 0 + 8, k 0 + 9,..., k 0 + 11 ,
respectively.

- In the second OFDM symbol of the first slot in a subframe in case of four cell-specific reference signals
configured, the two resource-element groups in physical resource block nPRB consist of resource elements
(k , l = 1) with k = k 0 + 0, k 0 + 1,..., k 0 + 5 and k = k 0 + 6, k 0 + 7,..., k 0 + 11 , respectively.

- In the third OFDM symbol of the first slot in a subframe, the three resource-element groups in physical resource
block nPRB consist of resource elements (k , l = 2) with k = k 0 + 0, k 0 + 1,..., k 0 + 3 , k = k 0 + 4, k 0 + 5,..., k 0 + 7
and k = k 0 + 8, k 0 + 9,..., k 0 + 11 , respectively.

- In the fourth OFDM symbol of the first slot in a subframe in case of normal cyclic prefix, the three resource-
element groups in physical resource block nPRB consist of resource elements (k , l = 3) with
k = k 0 + 0, k 0 + 1,..., k 0 + 3 , k = k 0 + 4, k 0 + 5,..., k 0 + 7 and k = k 0 + 8, k 0 + 9,..., k 0 + 11 , respectively.

- In the fourth OFDM symbol of the first slot in a subframe in case of extended cyclic prefix, the two resource-
element groups in physical resource block nPRB consist of resource elements (k , l = 3) with
k = k 0 + 0, k 0 + 1,..., k 0 + 5 and k = k 0 + 6, k 0 + 7,..., k 0 + 11 , respectively.

Mapping of a symbol-quadruplet z (i ), z (i + 1), z (i + 2), z (i + 3) onto a resource-element group represented by resource-

element (k ′, l ′) is defined such that elements z (i ) are mapped to resource elements (k , l ) of the resource-element
group not used for cell-specific reference signals in increasing order of i and k . In case a single cell-specific reference
signal is configured, cell-specific reference signals shall be assumed to be present on antenna ports 0 and 1 for the
purpose of mapping a symbol-quadruplet to a resource-element group, otherwise the number of cell-specific reference
signals shall be assumed equal to the actual number of antenna ports used for cell-specific reference signals. The UE
shall not make any assumptions about resource elements assumed to be reserved for reference signals but not used for
transmission of a reference signal.

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6.2.4A Enhanced Resource-Element Groups (EREGs)

EREGs are used for defining the mapping of enhanced control channels to resource elements.

There are 16 EREGs, numbered from 0 to 15, per physical resource block pair. Number all resource elements, except
resource elements carrying DM-RS for antenna ports p = {107,108,109,110} for normal cyclic prefix or p = {107,108}
for extended cyclic prefix, in a physical resource-block pair cyclically from 0 to 15 in an increasing order of first
frequency, then time. All resource elements with number i in that physical resource-block pair constitutes EREG
number i .

6.2.5 Guard period for half-duplex FDD operation

For type A half-duplex FDD operation, a guard period is created by the UE by

- not receiving the last part of a downlink subframe immediately preceding an uplink subframe from the same UE.

For type B half-duplex FDD operation, guard periods, each referred to as a half-duplex guard subframe, are created by
the UE by

- not receiving a downlink subframe immediately preceding an uplink subframe from the same UE, and

- not receiving a downlink subframe immediately following an uplink subframe from the same UE.

6.2.6 Guard Period for TDD Operation

For frame structure type 2, the GP field in Figure 4.2-1 serves as a guard period.

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6.3 General structure for downlink physical channels

This clause describes 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:

- scrambling of coded bits in each of the codewords to be transmitted on a physical channel

- modulation of scrambled bits to generate complex-valued modulation symbols

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

- precoding of the complex-valued modulation symbols on each layer for transmission on the antenna ports

- mapping of complex-valued modulation symbols 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

6.3.1 Scrambling
(q )
For each codeword q , the block of bits b ( q ) (0),..., b ( q ) ( M bit − 1) , where M bit
(q)
is the number of bits in codeword q
transmitted on the physical channel in one subframe, shall be scrambled prior to modulation, resulting in a block of
~ ~ (q)
scrambled bits b ( q ) (0),..., b ( q ) ( M bit − 1) according to

~
( )
b ( q ) (i ) = b ( q ) (i ) + c ( q ) (i ) mod 2

where the scrambling sequence c ( q ) (i ) is given by clause 7.2. The scrambling sequence generator shall be initialised at
the start of each subframe, where the initialisation value of cinit depends on the transport channel type according to

⎧⎪n ⋅ 214 + q ⋅ 213 + ⎣ns 2⎦ ⋅ 29 + N ID

cell
for PDSCH
cinit = ⎨ RNTI 9
⎪⎩⎣ns 2⎦ ⋅ 2 + N ID
MBSFN
for PMCH

where nRNTI corresponds to the RNTI associated with the PDSCH transmission as described in clause 7.1
3GPP TS 36.213 [4].

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

6.3.2 Modulation
~ ~ (q)
For each codeword q , the block of scrambled bits b ( q ) (0),..., b ( q ) ( M bit − 1) shall be modulated as described in
clause 7.1 using one of the modulation schemes in Table 6.3.2-1, resulting in a block of complex-valued modulation
symbols d ( q ) (0),..., d ( q ) ( M symb
(q)
− 1) .

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Table 6.3.2-1: Modulation schemes

Physical channel Modulation schemes

PDSCH QPSK, 16QAM, 64QAM, 256QAM
PMCH QPSK, 16QAM, 64QAM

6.3.3 Layer mapping

The complex-valued modulation symbols for each of the codewords to be transmitted are mapped onto one or several
layers. Complex-valued modulation symbols d ( q ) (0),..., d ( q ) ( M symb
(q)
− 1) for codeword q shall be mapped onto the

[ ]T
layers x(i ) = x (0) (i ) ... x (υ −1) (i ) , i = 0,1,..., M symb
layer
− 1 where υ is the number of layers and M symb
layer
is the number of
modulation symbols per layer.

6.3.3.1 Layer mapping for transmission on a single antenna port

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

x ( 0) (i ) = d ( 0) (i )

layer
with M symb = M symb
(0)
.

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6.3.3.2 Layer mapping for spatial multiplexing

For spatial multiplexing, the layer mapping shall be done according to Table 6.3.3.2-1. The number of layers υ is less
than or equal to the number of antenna ports P used for transmission of the physical channel. The case of a single
codeword mapped to multiple layers is only applicable when the number of cell-specific reference signals is four or
when the number of UE-specific reference signals is two or larger.

Table 6.3.3.2-1: Codeword-to-layer mapping for spatial multiplexing

Codeword-to-layer mapping
Number of layers Number of codewords
i = 0,1,..., M symb
layer
−1

1 1 x ( 0) (i ) = d ( 0) (i )
layer
M symb = M symb
( 0)

x ( 0) (i ) = d ( 0) (2i )
2 1
layer
M symb = M symb
(0)
2
x (1) (i ) = d ( 0) (2i + 1)
x ( 0) (i ) = d ( 0) (i )
2 2
layer
M symb = M symb
( 0)
= M symb
(1)

x (1) (i ) = d (1) (i )
x (0) (i ) = d (0) (3i )
3 1 x (1) (i ) = d (0) (3i + 1)
layer
M symb = M symb
(0)
3
x ( 2) (i ) = d (0) (3i + 2)
x ( 0) (i ) = d ( 0) (i )
3 2 x (1) (i ) = d (1) (2i )
layer
M symb = M symb
( 0)
= M symb
(1)
2
x ( 2) (i ) = d (1) (2i + 1)
x (0) (i) = d (0) (4i)
x (1) (i) = d (0) (4i + 1)
4 1
layer
M symb = M symb
(0)
4
x ( 2) (i) = d (0) (4i + 2)
x (3) (i) = d (0) (4i + 3)
x ( 0) (i ) = d ( 0) (2i )
x (1) (i ) = d ( 0) (2i + 1)
4 2
layer
M symb = M symb
( 0)
2 = M symb
(1)
2
x ( 2)
(i ) = d (1)
(2i )
x (3)
(i ) = d (1)
(2i + 1)
x (i ) = d (2i )
(0) ( 0)

x (1) (i ) = d ( 0) (2i + 1)
5 2 x ( 2) (i) = d (1) (3i)
layer
M symb = M symb
( 0)
2 = M symb
(1)
3
x (3) (i) = d (1) (3i + 1)
x ( 4) (i) = d (1) (3i + 2)
x (0) (i ) = d (0) (3i )
x (1) (i ) = d (0) (3i + 1)
x ( 2) (i ) = d (0) (3i + 2)
6 2
layer
M symb = M symb
( 0)
3 = M symb
(1)
3
x (3) (i) = d (1) (3i)
x ( 4) (i) = d (1) (3i + 1)
x (5) (i) = d (1) (3i + 2)
x (0) (i ) = d (0) (3i )
x (1) (i ) = d (0) (3i + 1)
x ( 2) (i ) = d (0) (3i + 2)
7 2 x (3) (i) = d (1) (4i)
layer
M symb = M symb
( 0)
3 = M symb
(1)
4
x ( 4) (i) = d (1) (4i + 1)
x (5) (i) = d (1) (4i + 2)
x (6) (i) = d (1) (4i + 3)

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x (0) (i) = d (0) (4i)

x (1) (i) = d (0) (4i + 1)
x ( 2) (i) = d (0) (4i + 2)
x (3) (i) = d (0) (4i + 3)
8 2
layer
M symb = M symb
( 0)
4 = M symb
(1)
4
x ( 4) (i) = d (1) (4i)
x (5) (i) = d (1) (4i + 1)
x (6) (i) = d (1) (4i + 2)
x (7 ) (i) = d (1) (4i + 3)

6.3.3.3 Layer mapping for transmit diversity

For transmit diversity, the layer mapping shall be done according to Table 6.3.3.3-1. There is only one codeword and
the number of layers υ is equal to the number of antenna ports P used for transmission of the physical channel.

Table 6.3.3.3-1: Codeword-to-layer mapping for transmit diversity

Number of Number of Codeword-to-layer mapping

layers codewords i = 0,1,..., M symb
layer
−1

x ( 0) (i ) = d ( 0) (2i )
2 1 x (1) (i ) = d ( 0) (2i + 1)
layer
M symb = M symb
(0)
2

x ( 0) (i ) = d ( 0) (4i ) ⎧ M (0) 4 (0)

mod 4 = 0
⎪ if M symb
= ⎨ (0) symb
( )
layer
M symb
x (1) (i ) = d ( 0) (4i + 1)
⎩ M symb + 2 4 mod 4 ≠ 0
(0)
⎪ if M symb
4 1 x ( 2) (i ) = d ( 0) (4i + 2) If M symb mod 4 ≠ 0 two null symbols shall be appended
( 0)

x (3)
(i ) = d ( 0)
(4i + 3) to d
( 0) (0)
( M symb − 1)

6.3.4 Precoding
[
The precoder takes as input a block of vectors x(i ) = x (0) (i ) ... x (υ −1) (i ) , i = 0,1,..., M symb
layer
]
T
− 1 from the layer

[ ]
T
mapping and generates a block of vectors y (i ) = ... y ( p ) (i ) ... , i = 0,1,..., M symb
ap
− 1 to be mapped onto resources on
each of the antenna ports, where y ( p ) (i ) represents the signal for antenna port p .

6.3.4.1 Precoding for transmission on a single antenna port

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

y ( p ) (i ) = x ( 0) (i )

where p ∈ {0,4,5,7,8} is the number of the single antenna port used for transmission of the physical channel and
i = 0,1,..., M symb
ap
− 1 , M symb
ap
= M symb
layer
.

6.3.4.2 Precoding for spatial multiplexing using antenna ports with cell-specific
reference signals
Precoding for spatial multiplexing using antenna ports with cell-specific reference signals is only used in combination
with layer mapping for spatial multiplexing as described in clause 6.3.3.2. Spatial multiplexing supports two or four
antenna ports and the set of antenna ports used is p ∈ {0,1} or p ∈ {0,1,2,3} , respectively.

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6.3.4.2.1 Precoding without CDD

Without Cyclic Delay Diversity (CDD), precoding for spatial multiplexing is defined by

⎡ y ( 0 ) (i ) ⎤ ⎡ x ( 0 ) (i ) ⎤
⎢ ⎥ ⎢ ⎥
⎢ M ⎥ = W (i ) ⎢ M ⎥
⎢ y ( P −1) (i ) ⎥ ⎢ x (υ −1) (i ) ⎥
⎣ ⎦ ⎣ ⎦

where the precoding matrix W (i ) is of size P ×υ and i = 0,1,..., M symb

ap
− 1 , M symb
ap
= M symb
layer
.

For spatial multiplexing, the values of W (i ) shall be selected among the precoder elements in the codebook configured
in the eNodeB and the UE. The eNodeB can further confine the precoder selection in the UE to a subset of the elements
in the codebook using codebook subset restrictions. The configured codebook shall be selected from Table 6.3.4.2.3-1
or 6.3.4.2.3-2.

6.3.4.2.2 Precoding for large delay CDD

For large-delay CDD, precoding for spatial multiplexing is defined by

⎡ y ( 0 ) (i ) ⎤ ⎡ x ( 0 ) (i ) ⎤
⎢ ⎥ ⎢ ⎥
⎢ M ⎥ = W (i ) D (i )U ⎢ M ⎥
⎢ y ( P −1) (i ) ⎥ ⎢ x (υ −1) (i ) ⎥
⎣ ⎦ ⎣ ⎦

where the precoding matrix W (i ) is of size P ×υ and i = 0,1,..., M symb

ap
− 1 , M symb
ap
= M symb
layer
. The diagonal size-
υ × υ matrix D(i ) supporting cyclic delay diversity and the size- υ × υ matrix U are both given by Table 6.3.4.2.2-1
for different numbers of layers υ .

The values of the precoding matrix W (i ) shall be selected among the precoder elements in the codebook configured in
the eNodeB and the UE. The eNodeB can further confine the precoder selection in the UE to a subset of the elements in
the codebook using codebook subset restriction. The configured codebook shall be selected from Table 6.3.4.2.3-1 or
6.3.4.2.3-2.

For 2 antenna ports, the precoder is selected according to W (i ) = C1 where C1 denotes the precoding matrix
corresponding to precoder index 0 in Table 6.3.4.2.3-1.

For 4 antenna ports, the UE may assume that the eNodeB cyclically assigns different precoders to different vectors
[x ]T
(i ) ... x (υ −1) (i ) on the physical downlink shared channel as follows. A different precoder is used every
( 0)

υ vectors, where υ denotes the number of transmission layers in the case of spatial multiplexing. In particular, the
precoder is selected according to W ( i ) = C k , where k is the precoder index given by
⎛⎢ i ⎥ ⎞
k = ⎜⎜ ⎢ ⎥ mod 4 ⎟⎟ + 1 ∈ {1, 2 ,3, 4} and C1 , C 2 , C 3 , C 4 denote precoder matrices corresponding to precoder indices
⎝ ⎣υ ⎦ ⎠
12,13,14 and 15, respectively, in Table 6.3.4.2.3-2.

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Table 6.3.4.2.2-1: Large-delay cyclic delay diversity

Number of layers υ U D (i )
1 ⎡1 1 ⎤ ⎡1 0 ⎤
2 ⎢ − j 2π 2⎥ ⎢ − j 2πi 2 ⎥
2 ⎣1 e ⎦ ⎣0 e ⎦
⎡1 1 1 ⎤ ⎡1 0 0 ⎤
1 ⎢ − j 2π 3 − j 4π 3 ⎥ ⎢ − j 2πi 3 ⎥
3 ⎢
1 e e ⎥ ⎢
0 e 0 ⎥
3 ⎢
⎣1 e − j 4π 3
e − j 8π 3
⎥⎦ ⎢⎣0 0 e − j 4πi 3 ⎥⎦
⎡1 1 1 1 ⎤ ⎡1 0 0 0 ⎤
⎢ − j 6π 4 ⎥ ⎢
1 ⎢
1 e − j 2π 4
e − j 4π 4
e ⎥ ⎢
0 e − j 2πi 4
0 0 ⎥⎥
4
2 ⎢1 e − j 4π 4
e − j 8π 4
e − j12π ⎥ 4
⎢0 0 e − j 4πi 4 0 ⎥
⎢ − j18π 4 ⎥ ⎢ − j 6πi 4 ⎥
⎣1 e − j 6π 4
e − j12π 4
e ⎦ ⎣0 0 0 e ⎦

6.3.4.2.3 Codebook for precoding and CSI reporting

For transmission on two antenna ports, p ∈ {0,1} , and for the purpose of CSI reporting based on two antenna ports
p ∈ {0,1} or p ∈ {15,16} , the precoding matrix W (i ) shall be selected from Table 6.3.4.2.3-1 or a subset thereof. For the
closed-loop spatial multiplexing transmission mode defined in 3GPP TS 36.213 [4], the codebook index 0 is not used
when the number of layers is υ = 2 .

Table 6.3.4.2.3-1: Codebook for transmission on antenna ports {0,1} and for CSI reporting based on
antenna ports {0,1} or {15,16}

Codebook Number of layers υ

index 1 2
1 ⎡1⎤ 1 ⎡1 0⎤
0 ⎢ ⎥ ⎢ ⎥
2 ⎣1⎦ 2 ⎣0 1⎦
1 ⎡1⎤ 1 ⎡1 1 ⎤
1 ⎢ ⎥ ⎢ ⎥
2 ⎣− 1⎦ 2 ⎣1 − 1⎦
1 ⎡1 ⎤ 1 ⎡1 1 ⎤
2 ⎢ ⎥ ⎢ ⎥
2 ⎣ j⎦ 2 ⎣ j − j⎦
1 ⎡ 1 ⎤
3 ⎢ ⎥ -
2 ⎣− j ⎦

For transmission on four antenna ports, p ∈ {0,1,2,3} , the precoding matrix W shall be selected from Table 6.3.4.2.3-2
or a subset thereof. For the purpose of CSI reporting based on four antenna ports p ∈ {0,1,2,3} or p ∈ {15,16,17,18} , the
precoding matrix W shall be selected from Table 6.3.4.2.3-2 or a subset thereof except for
alternativeCodeBookEnabledFor4TX -r12 =TRUE in which case the precoding matrix W shall be selected from
Tables 7.2.4-0A, 7.2.4-0B, 7.2.4-0C, 7.2.4-0D in [4] or a subset thereof. The quantity Wn{s} denotes the matrix defined
by the columns given by the set {s} from the expression Wn = I − 2u n u nH u nH u n where I is the 4× 4 identity matrix
and the vector u n is given by Table 6.3.4.2.3-2.

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Table 6.3.4.2.3-2: Codebook for transmission on antenna ports {0,1,2,3} and for CSI reporting based on
antenna ports {0,1,2,3} or {15,16,17,18}

Number of layers υ
Codebook index un
1 2 3 4
0 u0 = [1 − 1 − 1 − 1] T
W0{1} W0{14} 2 W0{124} 3 W0{1234} 2
1 u1 = [1 − j 1 j] T
W1{1} W1{12} 2 W1{123} 3 W1{1234} 2
2 u 2 = [1 1 − 1 1] T
W2{1} W2{12} 2 W2{123} 3 W2{3214} 2
3 u3 = [1 j 1 − j ]T W3{1} W3{12} 2 W3{123} 3 W3{3214} 2
4 [
u 4 = 1 ( −1 − j ) 2 − j (1 − j ) 2 ]
T
W4{1} W4{14} 2 W4{124} 3 W4{1234} 2

5 [
u5 = 1 (1 − j ) 2 j ( −1 − j ) 2 ]T
W5{1} W5{14} 2 W5{124} 3 W5{1234} 2

6 [
u6 = 1 (1 + j ) 2 − j (−1 + j ) 2 ]
T
W6{1} W6{13} 2 W6{134} 3 W6{1324} 2

7 [
u 7 = 1 ( −1 + j ) 2 j (1 + j ) 2 ]T
W7{1} W7{13} 2 W7{134} 3 W7{1324} 2
8 u8 = [1 − 1 1 1]T W8{1} W8{12} 2 W8{124} 3 W8{1234} 2
9 u9 = [1 − j − 1 − j ]T W9{1} W9{14} 2 W9{134} 3 W9{1234} 2
10 u10 = [1 1 1 − 1]T W10{1} W10{13} 2 W10{123} 3 W10{1324} 2
11 u11 = [1 j −1 j ]T W11{1} W11{13} 2 W11{134} 3 W11{1324} 2
12 u12 = [1 − 1 − 1 1]T W12{1} W12{12} 2 W12{123} 3 W12{1234} 2
13 u13 = [1 − 1 1 − 1]T W13{1} W13{13} 2 W13{123} 3 W13{1324} 2
14 u14 = [1 1 − 1 − 1]T W14{1} W14{13} 2 W14{123} 3 W14{3214} 2
15 u15 = [1 1 1 1]T W15{1} W15{12} 2 W15{123} 3 W15{1234} 2

For the purpose of CSI reporting for eight CSI reference signals the codebooks are given in clause 7.2.4 of
3GPP TS 36.213 [4].

6.3.4.3 Precoding for transmit diversity

Precoding for transmit diversity is only used in combination with layer mapping for transmit diversity as described in
clause 6.3.3.3. The precoding operation for transmit diversity is defined for two and four antenna ports.

For transmission on two antenna ports, p ∈ {0,1} , the output y (i ) = y ( 0) (i ) [ ]

T
y (1) (i ) , i = 0,1,..., M symb
ap
− 1 of the
precoding operation is defined by

⎡ y ( 0) ( 2i ) ⎤ ⎡1 0 j 0⎤ ⎡Re x ( 0) (i ) ⎤ ( )
⎢ (1)
⎢ y ( 2i ) ⎥
⎥
=
1
⎢
⎢
0 −1 0
⎥⎢
(
j ⎥ ⎢ Re x (1) (i ) ⎥
⎥
)
⎢ y ( 0) ( 2i + 1) ⎥ 2 ⎢0 1 0 (
j ⎥ ⎢Im x ( 0) (i ) ⎥ )
⎢
⎢ y ( 2i + 1) ⎦
⎣
(1)
⎥
⎥
⎢
⎣1
⎥⎢
(⎥
0 − j 0⎦ ⎣⎢ Im x (1) (i ) ⎦⎥ )
for i = 0,1,..., M symb
layer
− 1 with M symb
ap
= 2M symb
layer
.

For transmission on four antenna ports, p ∈ {0,1,2,3} , the output y (i ) = y ( 0) (i ) [ y (1) (i ) y ( 2 ) (i ) ]

T
y (3) (i ) ,
i = 0,1,..., M symb
ap
− 1 of the precoding operation is defined by

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⎡ y ( 0) ( 4i ) ⎤ ⎡1 0 0 0 j 0 0 0⎤
⎢ ⎥ ⎢
(1)
⎢ y ( 4i ) ⎥ ⎢
0 0 0 0 0 0 0 0 ⎥⎥
⎢ y ( 2) ( 4i ) ⎥ ⎢0 −1 0 0 0 j 0 0⎥
⎢ ⎥ ⎢ ⎥
(3)
⎢ y ( 4i ) ⎥ ⎢0 0 0 0 0 0 0 0⎥
⎢ ( 0)
y (4i + 1) ⎥⎥ ⎢0 1 0 0 0 j 0 (
0 ⎥ ⎡ Re x ( 0) (i ) ⎤ )
( )
⎢ ⎢ ⎥⎢ ⎥
⎢ y ( 4i + 1) ⎥
(1) 0 ⎥ ⎢ Re x (1) (i ) ⎥
⎢0 0 0 0 0 0 0
⎢ ( 2)
⎢ y (4i + 1) ⎥
⎥ ⎢
⎢
1 0 0 0 −j 0 0
⎥⎢
(
0 ⎥ ⎢Re x ( 2) (i ) ⎥ )
⎢ y (3) ( 4i + 1) ⎥
=
1 ⎢0 0 0 0 0 0 0 (
0 ⎥ ⎢ Re x (3) (i ) ⎥
⎥
)
⎢ ( 0)
⎢ y ( 4i + 2) ⎥
⎥
2
⎢
⎢
0 0 0 0 0 0 0
⎥
(
0 ⎥ ⎢ Im x ( 0) (i ) ⎥ )
( )
⎢ ⎥
⎢ y (1) ( 4i + 2) ⎥ ⎢0 0 1 0 0 0 j 0 ⎥ ⎢ Im x (1) (i ) ⎥
⎢
⎢ y ( 4i + 2) ⎥
( 2)
⎥ ⎢
⎢0 0 0 0 0 0 0
⎥
(
0 ⎥ ⎢⎢ Im x ( 2) (i ) ⎥⎥)
⎢ (3)
y (4i + 2) ⎥
⎥ ⎢0 0 0 −1 0 0 0 j ⎣ Im(x
⎥ ⎢ (3)
(i ) )⎥⎦
⎢ ⎢ ⎥
⎢ y ( 4i + 3) ⎥
( 0)
⎢0 0 0 0 0 0 0 0⎥
⎢ (1) ⎥ ⎢
⎢ y ( 4i + 3) ⎥
0 0 0 1 0 0 0 j⎥
⎢ ⎥
⎢ y ( 2) ( 4i + 3) ⎥ ⎢0 0 0 0 0 0 0 0⎥
⎢ (3) ⎥ ⎢ ⎥
⎣ y (4i + 3) ⎥
⎢ ⎦ ⎣0 0 1 0 0 0 − j 0⎦

⎪ ⎧ 4M symb
layer (0)
if M symb mod 4 = 0
for i = 0,1,..., M symb
layer
− 1 with M symb =⎨
( )− 2
ap .
⎪⎩
layer
4M symb (0)
if M symb mod 4 ≠ 0

6.3.4.4 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 described in clause 6.3.3.2. Spatial multiplexing using antenna ports with
UE-specific reference signals supports up to eight antenna ports and the set of antenna ports used is p = 7,8,...,υ + 6 .

For transmission on υ antenna ports, the precoding operation is defined by

⎡ y ( 7 ) (i ) ⎤ ⎡ x ( 0) (i ) ⎤
⎢ (8 ) ⎥ ⎢ (1) ⎥
⎢ y (i ) ⎥ = ⎢ x (i ) ⎥
⎢ M ⎥ ⎢ M ⎥
⎢ ⎥ ⎢ ⎥
( 6 +υ ) (υ −1)
⎢y
⎣ (i )⎦⎥ ⎢x
⎣ (i )⎦⎥

where i = 0,1,..., M symb

ap
− 1 , M symb
ap
= M symb
layer
.

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6.3.5 Mapping to resource elements

For each of the antenna ports used for transmission of the physical channel, the block of complex-valued symbols
y ( p ) (0),..., y ( p ) ( M symb
ap
− 1) shall conform to the downlink power allocation specified in clause 5.2 in
3GPP TS 36.213 [4] and be mapped in sequence starting with y ( p ) (0) to resource elements (k, l ) which meet all of the
following criteria in the current subframe:

- they are in the physical resource blocks corresponding to the virtual resource blocks assigned for transmission,
and

- they are not used for transmission of PBCH, synchronization signals, and

- they are assumed by the UE not to be used for cell-specific reference signals, where the positions of the cell-
specific reference signals are given by clause 6.10.1.2 with the number of antenna ports for and the frequency
shift of cell-specific reference signals derived as described in clause 6.10.1.2 4, and

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 , starting with the first slot in a
subframe.

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6.4 Physical downlink shared channel

The physical downlink shared channel shall be processed and mapped to resource elements as described in clause 6.3
with the following additions and exceptions:

- In resource blocks in which UE-specific reference signals are not transmitted, the PDSCH shall be transmitted on
the same set of antenna ports as the PBCH, which is one of {0} , {0,1} , or {0,1,2,3} .

- In resource blocks in which UE-specific reference signals are transmitted, the PDSCH shall be transmitted on
antenna port(s) {5} , {7} , {8} , or p ∈ {7,8,...,υ + 6} , where υ is the number of layers used for transmission of the
PDSCH.

- If PDSCH is transmitted in MBSFN subframes as defined in 3GPP TS 36.213 [4], the PDSCH shall be
transmitted on one or several of antenna port(s) p ∈ {7,8,...,υ + 6} , where υ is the number of layers used for
transmission of the PDSCH.

- PDSCH is not mapped to resource elements used for UE-specific reference signals associated with PDSCH

- In mapping to resource elements, the positions of the cell-specific reference signals are given by clause 6.10.1.2
with the number of antenna ports and the frequency shift of the cell-specific reference signals derived as
described in clause 6.10.1.2, unless other values for these parameters are provided by clause 7.1.9 in
3GPP TS 36.213 [4], in which case these values are used in the resource blocks indicated by the relevant DCI.

- If the DCI associated with the PDSCH uses the C-RNTI or semi-persistent C-RNTI, the PDSCH is not mapped
to resource elements assumed by the UE to be used for transmission of CSI reference signals, where the
positions of the CSI reference signals are given by clause 6.10.5.2.The configuration for zero power CSI
reference signals is obtained as described in clause 6.10.5.2, unless other values for these parameters are
provided by clause 7.1.9 in 3GPP TS 36.213 [4], in which case these values are used in the resource blocks
indicated by the relevant DCI. The configuration for non-zero power CSI reference signals is obtained as
described in clause 6.10.5.2,

- PDSCH is not mapped to any physical resource-block pair(s) carrying an EPDCCH associated with the PDSCH.

- The index l in the first slot in a subframe fulfils l ≥ l DataStart where l DataStart is given by clause 7.1.6.4 of
3GPP TS 36.213 [4].

- In mapping to resource elements, if the DCI associated with the PDSCH uses the C-RNTI or semi-persistent C-
RNTI and transmit diversity according to clause 6.3.4.3 is used, resource elements in an OFDM symbol assumed
by the UE to contain CSI-RS shall be used in the mapping if and only if all of the following criteria are fulfilled:

- there is an even number of resource elements for the OFDM symbol in each resource block assigned for
transmission, and

- the complex-valued symbols y ( p ) (i ) and y ( p ) (i + 1) , where i is an even number, can be mapped to resource
elements (k, l ) and (k + n, l ) in the same OFDM symbol with n < 3 .

6.5 Physical multicast channel

The physical multicast channel shall be processed and mapped to resource elements as described in clause 6.3 with the
following exceptions:

- No transmit diversity scheme is specified.

- Layer mapping and precoding shall be done assuming a single antenna port and the transmission shall use
antenna port 4.

- The PMCH can only be transmitted in the MBSFN region of an MBSFN subframe. The index l in the first slot
in the MBSFN subframe fulfils l ≥ lPMCHStart where lPMCHStart is equal to the value given by the higher layer
parameter non-MBSFNregionLength [9].

- The PMCH shall use extended cyclic prefix.

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- The PMCH is not mapped to resource elements used for transmission of MBSFN reference signals.

6.6 Physical broadcast channel

6.6.1 Scrambling
The block of bits b(0),..., b( M bit − 1) , where M bit , the number of bits transmitted on the physical broadcast channel,
equals 1920 for normal cyclic prefix and 1728 for extended cyclic prefix, shall be scrambled with a cell-specific
~ ~
sequence prior to modulation, resulting in a block of scrambled bits b (0),..., b ( M bit − 1) according to
~
b (i ) = (b(i ) + c(i ) ) mod 2

where the scrambling sequence c(i ) is given by clause 7.2. The scrambling sequence shall be initialised with
cinit = N ID
cell
in each radio frame fulfilling nf mod 4 = 0 .

6.6.2 Modulation
~ ~
The block of scrambled bits b (0),..., b ( M bit − 1) shall be modulated as described in clause 7.1, resulting in a block of
complex-valued modulation symbols d (0),..., d ( M symb − 1) . Table 6.6.2-1 specifies the modulation mappings applicable
for the physical broadcast channel.

Table 6.6.2-1: PBCH modulation schemes.

Physical channel Modulation schemes

PBCH QPSK

6.6.3 Layer mapping and precoding

The block of modulation symbols d (0),..., d ( M symb − 1) shall be mapped to layers according to one of clauses 6.3.3.1 or
( 0)
6.3.3.3 with M symb = M symb and precoded according to one of clauses 6.3.4.1 or 6.3.4.3, resulting in a block of vectors

[ ]
T
y (i ) = y (0) (i ) ... y ( P −1) (i ) , i = 0,..., M symb − 1 , where y ( p ) (i ) represents the signal for antenna port p and where
p = 0,..., P − 1 and the number of antenna ports for cell-specific reference signals P ∈ {1,2,4} .

6.6.4 Mapping to resource elements

The block of complex-valued symbols y ( p ) (0),..., y ( p ) ( M symb − 1) for each antenna port is transmitted during 4
consecutive radio frames starting in each radio frame fulfilling nf mod 4 = 0 and shall be mapped in sequence starting
with y (0) to resource elements (k, l ) . The mapping to resource elements (k, l ) not reserved for transmission of
reference signals shall be in increasing order of first the index k , then the index l in slot 1 in subframe 0 and finally the
radio frame number. The resource-element indices are given by
DL RB
N RB N sc
k= − 36 + k ' , k ' = 0,1,...,71
2
l = 0,1,...,3

where resource elements reserved for reference signals shall be excluded. The mapping operation shall assume cell-
specific reference signals for antenna ports 0-3 being present irrespective of the actual configuration. The UE shall
assume that the resource elements assumed to be reserved for reference signals in the mapping operation above but not
used for transmission of reference signal are not available for PDSCH transmission. The UE shall not make any other
assumptions about these resource elements.

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6.7 Physical control format indicator channel

The physical control format indicator channel carries information about the number of OFDM symbols used for
transmission of PDCCHs in a subframe. The set of OFDM symbols possible to use for PDCCH in a subframe is given
by Table 6.7-1.

Table 6.7-1: Number of OFDM symbols used for PDCCH

Number of OFDM symbols Number of OFDM symbols

Subframe
for PDCCH when DL
N RB > 10 DL
for PDCCH when N RB ≤ 10
Subframe 1 and 6 for frame structure type 2 1, 2 2
MBSFN subframes on a carrier supporting PDSCH,
1, 2 2
configured with 1 or 2 cell-specific antenna ports
MBSFN subframes on a carrier supporting PDSCH,
2 2
configured with 4 cell-specific antenna ports
Subframes on a carrier not supporting PDSCH 0 0
Non-MBSFN subframes (except subframe 6 for frame
structure type 2) configured with positioning reference 1, 2, 3 2, 3
signals
All other cases 1, 2, 3 2, 3, 4

The PCFICH shall be transmitted when the number of OFDM symbols for PDCCH is greater than zero.

6.7.1 Scrambling
The block of bits b(0),..., b(31) transmitted in one subframe shall be scrambled with a cell-specific sequence prior to
~ ~
modulation, resulting in a block of scrambled bits b (0),..., b (31) according to
~
b (i ) = (b(i ) + c(i ) ) mod 2

where the scrambling sequence c(i ) is given by clause 7.2. The scrambling sequence generator shall be initialised with
(
cinit = (⎣ns 2⎦ + 1) ⋅ 2 N ID
cell
)
+ 1 ⋅ 2 9 + N ID
cell
at the start of each subframe.

6.7.2 Modulation
~ ~
The block of scrambled bits b (0),..., b (31) shall be modulated as described in clause 7.1, resulting in a block of
complex-valued modulation symbols d (0),..., d (15) . Table 6.7.2-1 specifies the modulation mappings applicable for the
physical control format indicator channel.

Table 6.7.2-1: PCFICH modulation schemes

Physical channel Modulation schemes

PCFICH QPSK

6.7.3 Layer mapping and precoding

The block of modulation symbols d (0),..., d (15) shall be mapped to layers according to one of clauses 6.3.3.1 or 6.3.3.3
(0)
with M symb = 16 and precoded according to one of clauses 6.3.4.1 or 6.3.4.3, resulting in a block of vectors

[ ]T
y (i ) = y ( 0) (i ) ... y ( P −1) (i ) , i = 0,...,15 , where y ( p ) (i ) represents the signal for antenna port p and where
p = 0,..., P − 1 and the number of antenna ports for cell-specific reference signals P ∈ {1,2,4} . The PCFICH shall be
transmitted on the same set of antenna ports as the PBCH.

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6.7.4 Mapping to resource elements

The mapping to resource elements is defined in terms of quadruplets of complex-valued symbols. Let
z ( p ) (i ) = y ( p ) (4i ), y ( p ) (4i + 1), y ( p ) (4i + 2), y ( p ) (4i + 3) denote symbol quadruplet i for antenna port p . For each of
the antenna ports, symbol quadruplets shall be mapped in increasing order of i to the four resource-element groups in
the first OFDM symbol in a downlink subframe or DwPTS with the representative resource-element as defined in
clause 6.2.4 given by

z ( p ) (0) is mapped to the resource - element group represented by k = k

z ( p ) (1) is mapped to the resource - element group represented by k = k + N RB
DL
⎣
2 ⋅ N scRB 2 ⎦
z ( p)
(2) is mapped to the resource - element group represented by k = k + ⎣2 N RB 2⎦⋅ N scRB
DL
2
z ( p ) (3) is mapped to the resource - element group represented by k = k + ⎣3N RB
DL
2⎦⋅ N scRB 2

DL RB
where the additions are modulo N RB N sc ,

( )(
k = N scRB 2 ⋅ N ID
cell DL
mod 2 N RB )
cell
and N ID is the physical-layer cell identity as given by clause 6.11.

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6.8 Physical downlink control channel

6.8.1 PDCCH formats
The physical downlink control channel carries scheduling assignments and other control information. A physical control
channel is transmitted on an aggregation of one or several consecutive control channel elements (CCEs), where a
control channel element corresponds to 9 resource element groups. The number of resource-element groups not
assigned to PCFICH or PHICH is N REG . The CCEs available in the system are numbered from 0 to N CCE − 1 , where
N CCE = ⎣N REG / 9⎦ . The PDCCH supports multiple formats as listed in Table 6.8.1-1. A PDCCH consisting of n
consecutive CCEs may only start on a CCE fulfilling i mod n = 0 , where i is the CCE number.

Multiple PDCCHs can be transmitted in a subframe.

Table 6.8.1-1: Supported PDCCH formats

PDCCH format Number of CCEs Number of resource-element groups Number of PDCCH bits
0 1 9 72
1 2 18 144
2 4 36 288
3 8 72 576

6.8.2 PDCCH multiplexing and scrambling

(i)
The block of bits b ( i ) (0),..., b ( i ) ( M bit − 1) on each of the control channels to be transmitted in a subframe, where M bit
(i)

is the number of bits in one subframe to be transmitted on physical downlink control channel number i , shall be
multiplexed, resulting in a block of bits
(0)
b ( 0) (0),..., b ( 0) ( M bit − 1), b (1) (0),..., b (1) ( M bit
(1)
− 1),..., b ( nPDCCH −1) (0),..., b ( nPDCCH −1) ( M bit
( nPDCCH -1)
− 1) , where nPDCCH is the
number of PDCCHs transmitted in the subframe.
(0)
The block of bits b ( 0) (0),..., b ( 0) ( M bit − 1), b (1) (0),..., b (1) ( M bit
(1)
− 1),..., b ( nPDCCH −1) (0),..., b ( nPDCCH −1) ( M bit
( nPDCCH -1)
− 1) shall be
scrambled with a cell-specific sequence prior to modulation, resulting in a block of scrambled bits
~ ~
b (0),..., b ( M tot − 1) according to
~
b (i ) = (b(i ) + c(i ) ) mod 2

where the scrambling sequence c(i ) is given by clause 7.2. The scrambling sequence generator shall be initialised with
cinit = ⎣ns 2⎦2 9 + N ID
cell
at the start of each subframe.

CCE number n corresponds to bits b(72n), b(72n + 1),..., b(72n + 71) . If necessary, <NIL> elements shall be inserted in
the block of bits prior to scrambling to ensure that the PDCCHs starts at the CCE positions as described in
nPDCCH −1
3GPP TS 36.213 [4] and to ensure that the length M tot = 8 N REG ≥ ∑ i =0
(i )
M bit of the scrambled block of bits
matches the amount of resource-element groups not assigned to PCFICH or PHICH.

6.8.3 Modulation
~ ~
The block of scrambled bits b (0),..., b ( M tot − 1) shall be modulated as described in clause 7.1, resulting in a block of
complex-valued modulation symbols d (0),..., d ( M symb − 1) . Table 6.8.3-1 specifies the modulation mappings applicable
for the physical downlink control channel.

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Table 6.8.3-1: PDCCH modulation schemes

Physical channel Modulation schemes

PDCCH QPSK

6.8.4 Layer mapping and precoding

The block of modulation symbols d (0),..., d ( M symb − 1) shall be mapped to layers according to one of clauses 6.3.3.1 or
( 0)
6.3.3.3 with M symb = M symb and precoded according to one of clauses 6.3.4.1 or 6.3.4.3, resulting in a block of vectors

[ ]T
y (i ) = y ( 0) (i ) ... y ( P −1) (i ) , i = 0,..., M symb − 1 to be mapped onto resources on the antenna ports used for
transmission, where y ( p ) (i ) represents the signal for antenna port p . The PDCCH shall be transmitted on the same set
of antenna ports as the PBCH.

6.8.5 Mapping to resource elements

The mapping to resource elements is defined by operations on quadruplets of complex-valued symbols. Let
z ( p ) (i ) = y ( p ) (4i ), y ( p ) (4i + 1), y ( p ) (4i + 2), y ( p ) (4i + 3) denote symbol quadruplet i for antenna port p .

The block of quadruplets z ( p ) (0),..., z ( p ) ( M quad − 1) , where M quad = M symb 4 , shall be permuted resulting in
w( p ) (0),..., w( p ) ( M quad − 1) . The permutation shall be according to the sub-block interleaver in clause 5.1.4.2.1 of
3GPP TS 36.212 [3] with the following exceptions:

- the input and output to the interleaver is defined by symbol quadruplets instead of bits

- interleaving is performed on symbol quadruplets instead of bits by substituting the terms "bit", "bits" and "bit
sequence" in clause 5.1.4.2.1 of 3GPP TS 36.212 [3] by "symbol quadruplet", "symbol quadruplets" and
"symbol-quadruplet sequence", respectively

<NULL> elements at the output of the interleaver in 3GPP TS 36.212 [3] shall be removed when forming
w( p ) (0),..., w( p ) ( M quad − 1) . Note that the removal of <NULL> elements does not affect any <NIL> elements inserted
in clause 6.8.2.

The block of quadruplets w( p ) (0),..., w( p ) ( M quad − 1) shall be cyclically shifted, resulting in

(
w ( p ) (0),..., w ( p ) ( M quad − 1) where w ( p ) (i ) = w( p ) (i + N ID
cell
)
) mod M quad .

Mapping of the block of quadruplets w ( p ) (0),..., w ( p ) ( M quad − 1) is defined in terms of resource-element groups,
specified in clause 6.2.4, according to steps 1–10 below:

1) Initialize m ′ = 0 (resource-element group number)

2) Initialize k '= 0

3) Initialize l '= 0

4) If the resource element (k ′, l ′) represents a resource-element group and the resource-element group is not
assigned to PCFICH or PHICH then perform step 5 and 6, else go to step 7

5) Map symbol-quadruplet w ( p ) (m' ) to the resource-element group represented by (k ′, l ′) for each

antenna port p

6) Increase m′ by 1

7) Increase l ' by 1

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8) Repeat from step 4 if l ' < L , where L corresponds to the number of OFDM symbols used for PDCCH
transmission as indicated by the sequence transmitted on the PCFICH

9) Increase k ' by 1

10) Repeat from step 3 if k ' < N RB

DL
⋅ N scRB

6.8A Enhanced physical downlink control channel

6.8A.1 EPDCCH formats
The enhanced physical downlink control channel (EPDCCH) carries scheduling assignments. An enhanced physical
downlink control channel is transmitted using an aggregation of one or several consecutive enhanced control channel
elements (ECCEs) where each ECCE consists of multiple enhanced resource element groups (EREGs), defined in
clause 6.2.4A. The number of ECCEs used for one EPDCCH depends on the EPDCCH format as given by Table
6.8A.1-2 and the number of EREGs per ECCE is given by Table 6.8A.1-1.Both localized and distributed transmission is
supported.

An EPDCCH can use either localized or distributed transmission, differing in the mapping of ECCEs to EREGs and
PRB pairs.

A UE shall monitor multiple EPDCCHs as defined in 3GPP TS 36.213 [4]. One or two sets of physical resource-block
pairs which a UE shall monitor for EPDCCH transmissions can be configured. All EPDCCH candidates in EPDCCH
set X m use either only localized or only distributed transmission as configured by higher layers. Within EPDCCH set
X m in subframe i , the ECCEs available for transmission of EPDCCHs are numbered from 0 to N ECCE ,m,i − 1 and
ECCE number n corresponds to

- ( RB
EREGs numbered n mod N ECCE )
+ jN ECCE in PRB index ⎣n / N ECCE
RB RB
⎦ for localized mapping, and
- ⎣ X
⎦ RB
( ( X ECCE
))
EREGs numbered n N RBm + jN ECCE in PRB indices n + j max 1, N RBm N EREG mod N RBm for distributed
X

mapping,
ECCE ECCE RB ECCE
where j = 0,1,..., N EREG − 1 , N EREG is the number of EREGs per ECCE, and N ECCE = 16 N EREG is the number of
ECCEs per resource-block pair. The physical resource-block pairs constituting EPDCCH set X m are in this paragraph
X
assumed to be numbered in ascending order from 0 to N RBm − 1 .

ECCE
Table 6.8A.1-1: Number of EREGs per ECCE, N EREG

Normal cyclic prefix Extended cyclic prefix

Normal Special subframe, Special subframe, Normal Special subframe,
subframe configuration 3, 4, 8 configuration 1, 2, 6, 7, 9 subframe configuration 1, 2, 3, 5, 6
4 8

Table 6.8A.1-2: Supported EPDCCH formats

EPDCCH
Number of ECCEs for one EPDCCH, N ECCE
EPDCCH format Case A Case B
Localized Distributed Localized Distributed
transmission transmission transmission transmission
0 2 2 1 1
1 4 4 2 2
2 8 8 4 4
3 16 16 8 8
4 - 32 - 16

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Case A in Table 6.8A.1-2 is used when the conditions corresponding to case 1 in clause 9.1.4 of 3GPP TS 36.213 [4]
are satisfied, otherwise case B is used. The quantity nEPDCCH for a particular UE and referenced in 3GPP TS 36.213 [4]
is defined as the number of downlink resource elements (k , l ) in a physical resource-block pair configured for possible
EPDCCH transmission of EPDCCH set X 0 and fulfilling all of the following criteria:

- they are part of any one of the 16 EREGs in the physical resource-block pair, and

- they are assumed by the UE not to be used for cell-specific reference signals, where the positions of the cell-
specific reference signals are given by clause 6.10.1.2 with the number of antenna ports for and the frequency
shift of cell-specific reference signals derived as described in clause 6.10.1.2 unless other values for these
parameters are provided by clause 9.1.4.3 in 3GPP TS 36.213 [4], and-

- they are assumed by the UE not to be used for transmission of CSI reference signals, where the positions of the
CSI reference signals are given by clause 6.10.5.2 with the configuration for zero power CSI reference signals
obtained as described in clause 6.10.5.2 unless other values are provided by clause 9.1.4.3 in
3GPP TS 36.213 [4], and with the configuration for non-zero power CSI reference signals obtained as described
in clause 6.10.5.2, and

- the index l in the first slot in a subframe fulfils l ≥ l EPDCCHStar t where l EPDCCHStar t is given by clause 9.1.4.1 of
3GPP TS 36.213 [4].

6.8A.2 Scrambling
The block of bits b(0),..., b( M bit − 1) to be transmitted on an EPDCCH in a subframe shall be scrambled, resulting in a
~ ~
block of scrambled bits b (0),..., b ( M bit − 1) according to
~
b (i ) = (b(i ) + c(i ) ) mod 2

where the UE-specific scrambling sequence c(i ) is given by clause 7.2. The scrambling sequence generator shall be
initialized with cinit = ⎣ns 2⎦ ⋅ 2 9 + nID
EPDCCH
,m where m is the EPDCCH set number.

6.8A.3 Modulation
~ ~
The block of scrambled bits b (0),..., b ( M bit − 1) shall be modulated as described in clause 7.1, resulting in a block of
complex-valued modulation symbols d (0),..., d ( M symb − 1) . Table 6.8A.3-1 specifies the modulation mappings
applicable for the enhanced physical downlink control channel.

Table 6.8A.3-1: EPDCCH modulation schemes

Physical channel Modulation schemes

EPDCCH QPSK

6.8A.4 Layer mapping and precoding

The block of complex-valued modulation symbols shall be mapped to a single layer and precoded according to
y (i ) = d (i ) , i = 0,..., M symb − 1 .

6.8A.5 Mapping to resource elements

The block of complex-valued symbols y (0),..., y ( M symb − 1) shall be mapped in sequence starting with y (0) to
resource elements (k, l ) on the associated antenna port which meet all of the following criteria:

- they are part of the EREGs assigned for the EPDCCH transmission, and

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- they are assumed by the UE not to be used for cell-specific reference signals, where the positions of the cell-
specific reference signals are given by clause 6.10.1.2 with the number of antenna ports for and the frequency
shift of cell-specific reference signals derived as described in clause 6.10.1.2 unless other values for these
parameters are provided by clause 9.1.4.3 in 3GPP TS 36.213 [4], and

- they are assumed by the UE not to be used for transmission of CSI reference signals, where the positions of the
CSI reference signals are given by clause 6.10.5.2 with the configuration for zero power CSI reference signals
obtained as described in clause 6.10.5.2 unless other values are provided by clause 9.1.4.3 in
3GPP TS 36.213 [4], and with the configuration for non-zero power CSI reference signals obtained as described
in clause 6.10.5.2, and

- the index l in the first slot in a subframe fulfils l ≥ l EPDCCHStar t where l EPDCCHStar t is given by clause 9.1.4.1 of
3GPP TS 36.213 [4].

The mapping to resource elements (k, l ) on antenna port p meeting the criteria above shall be in increasing order of
first the index k and then the index l , starting with the first slot and ending with the second slot in a subframe.

For localized transmission, the single antenna port p to use is given by Table 6.8A.5-1 with

RB EPDCCH RB
n ' = n ECCE,low mod N ECCE + n RNTI mod min( N ECCE , N ECCE )

where nECCE,low is the lowest ECCE index used by this EPDCCH transmission in the EPDCCH set, nRNTI equals the
EPDCCH
C-RNTI, and N ECCE is the number of ECCEs used for this EPDCCH.

Table 6.8A.5-1: Antenna port to use for localized EPDCCH transmission

Normal cyclic prefix Extended cyclic prefix

Normal subframes,
n'
Special subframes, Special subframes, Any subframe
configurations 3, 4, 8 configurations 1, 2, 6, 7, 9
0 107 107 107
1 108 109 108
2 109 - -
3 110 - -

For distributed transmission, each resource element in an EREG is associated with one out of two antenna ports in an
alternating manner, starting with antenna port 107, where p ∈ {107,109} for normal cyclic prefix and p ∈ {107,108} for
extended cyclic prefix.

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6.9 Physical hybrid ARQ indicator channel

The PHICH carries the hybrid-ARQ ACK/NACK. Multiple PHICHs mapped to the same set of resource elements
constitute a PHICH group, where PHICHs within the same PHICH group are separated through different orthogonal
group
sequences. A PHICH resource is identified by the index pair nPHICH (
seq
, nPHICH )
group
, where nPHICH is the PHICH group
seq
number and nPHICH is the orthogonal sequence index within the group.

group
For frame structure type 1, the number of PHICH groups N PHICH is constant in all subframes and given by

group ⎪
=⎨
⎡ (
⎧ N g N RBDL
)⎤
8 for normal cyclic prefix

⎡ ( )⎤
N PHICH
⎪⎩2 ⋅ N g N RB 8
DL
for extended cyclic prefix

where N g ∈ {1 6 ,1 2 ,1,2} is provided by higher layers. The index nPHICH

group group
ranges from 0 to N PHICH −1 .

For frame structure type 2, the number of PHICH groups may vary between subframes and is given by mi ⋅ N PHICH
group

group
where N PHICH is given by the expression above and m i is given by Table 6.9-1 with the uplink-downlink configuration
group
provided by the higher-layer parameter subframeAssignment. The index nPHICH in a subframe with non-zero PHICH
resources ranges from 0 to mi ⋅ N PHICH
group
−1 .

Table 6.9-1: The factor m i for frame structure type 2

Uplink-downlink Subframe number i

configuration 0 1 2 3 4 5 6 7 8 9
0 2 1 0 0 0 2 1 0 0 0
1 0 1 0 0 1 0 1 0 0 1
2 0 0 0 1 0 0 0 0 1 0
3 1 0 0 0 0 0 0 0 1 1
4 0 0 0 0 0 0 0 0 1 1
5 0 0 0 0 0 0 0 0 1 0
6 1 1 0 0 0 1 1 0 0 1

6.9.1 Modulation
The block of bits b(0),..., b( M bit − 1) transmitted on one PHICH in one subframe shall be modulated as described in
clause 7.1, resulting in a block of complex-valued modulation symbols z (0),..., z ( M s − 1) , where M s = M bit . Table
6.9.1-1 specifies the modulation mappings applicable for the physical hybrid ARQ indicator channel.

Table 6.9.1-1: PHICH modulation schemes.

Physical channel Modulation schemes

PHICH BPSK

The block of modulation symbols z (0),..., z ( M s − 1) shall be symbol-wise multiplied with an orthogonal sequence and
scrambled, resulting in a sequence of modulation symbols d (0),..., d ( M symb − 1) according to

(
d (i ) = w i mod N SF
PHICH
) (⎣
⋅ (1 − 2c(i ) ) ⋅ z i N SF
PHICH
⎦)
where

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i = 0,..., M symb − 1
M symb = N SF
PHICH
⋅ Ms
⎧4 normal cyclic prefix
PHICH
N SF =⎨
⎩2 extended cyclic prefix

and c(i ) is a cell-specific scrambling sequence generated according to clause 7.2. The scrambling sequence generator
shall be initialised with cinit = (⎣ns 2⎦ + 1) ⋅ 2 N ID
cell
( )
+ 1 ⋅ 2 9 + N ID
cell
at the start of each subframe.

The sequence w(0) [ L

PHICH
w( N SF ]
− 1) is given by Table 6.9.1-2 where the sequence index nPHICH
seq
corresponds to
the PHICH number within the PHICH group.

Table 6.9.1-2: Orthogonal sequences w(0) [ L PHICH

w( N SF − 1) ] for PHICH

Sequence index Orthogonal sequence

seq
Normal cyclic prefix Extended cyclic prefix
nPHICH PHICH
N SF =4 PHICH
N SF =2
0 [+ 1 + 1 + 1 + 1] [+ 1 + 1]
1 [+ 1 − 1 + 1 − 1] [+ 1 − 1]
2 [+ 1 + 1 − 1 − 1] [+ j + j]
3 [+ 1 − 1 − 1 + 1] [+ j − j]
4 [+ j + j + j + j] -
5 [+ j − j + j − j] -
6 [+ j + j − j − j] -
7 [+ j − j − j + j] -

6.9.2 Resource group alignment, layer mapping and precoding

The block of symbols d (0),..., d ( M symb − 1) should be first aligned with resource element group size, resulting in a
block of symbols d ( 0) (0),..., d ( 0) (c ⋅ M symb − 1) , where c = 1 for normal cyclic prefix; and c = 2 for extended cyclic
prefix.

For normal cyclic prefix, d ( 0) (i ) = d (i ) , for i = 0,..., M symb − 1 .

For extended cyclic prefix,

⎧⎪[d (2i ) d (2i + 1) 0 0]T

[d ] mod 2 = 0
group
T nPHICH
( 0)
(4i ) d ( 0) (4i + 1) d ( 0) (4i + 2) d ( 0) (4i + 3) =⎨
⎪⎩[0 0 d (2i ) d (2i + 1)]
T
nPHICH mod 2 = 1
group

(
for i = 0,..., M symb 2 − 1 . )

The block of symbols d ( 0) (0),..., d ( 0) (c ⋅ M symb − 1) shall be mapped to layers and precoded, resulting in a block of

[ ]
T
vectors y (i ) = y ( 0) (i ) ... y ( P −1) (i ) , i = 0,..., c ⋅ M symb − 1 , where y ( p ) (i ) represents the signal for antenna port p ,
p = 0,..., P − 1 and the number of cell-specific reference signals P ∈ {1,2,4} . The layer mapping and precoding operation
depends on the cyclic prefix length and the number of antenna ports used for transmission of the PHICH. The PHICH
shall be transmitted on the same set of antenna ports as the PBCH.

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For transmission on a single antenna port, P = 1 , layer mapping and precoding are defined by clauses 6.3.3.1 and
(0)
6.3.4.1, respectively, with M symb = c ⋅ M symb .

For transmission on two antenna ports, P = 2 , layer mapping and precoding are defined by clauses 6.3.3.3 and 6.3.4.3,
(0)
respectively, with M symb = c ⋅ M symb .

For transmission on four antenna ports, P = 4 , layer mapping is defined by clause 6.3.3.3 with M symb
(0)
= c ⋅ M symb and
precoding by

⎡ y ( 0) ( 4i ) ⎤ ⎡1 0 0 0 j 0 0 0⎤
⎢ ⎥ ⎢
(1)
⎢ y ( 4i ) ⎥ ⎢
0 0 0 0 0 0 0 0 ⎥⎥
⎢ y ( 2) ( 4i ) ⎥ ⎢0 −1 0 0 0 j 0 0⎥
⎢ ⎥ ⎢ ⎥
(3)
⎢ y ( 4i ) ⎥ ⎢0 0 0 0 0 0 0 0⎥
⎢ ( 0)
y (4i + 1) ⎥⎥ ⎢0 1 0 0
j 0 0 (
0 ⎥ ⎡ Re x ( 0) (i ) ⎤ )
( )
⎢ ⎢ ⎥⎢ ⎥
⎢ y ( 4i + 1) ⎥
(1) 0 ⎥ ⎢ Re x (1) (i ) ⎥
⎢0 0 0 0
0 0 0
⎢ ( 2)
⎢ y (4i + 1) ⎥
⎥ ⎢
⎢
1 0 0 − j 0
0 0
⎥⎢
(
0 ⎥ ⎢Re x ( 2) (i ) ⎥ )⎥
⎢ y (3) ( 4i + 1) ⎥ 1 ⎢0 0 0 0 0 0 0 0 ⎥ ⎢ Re(x (3)
)
(i ) ⎥
=
0 ⎥ ⎢ Im(x (i ) )⎥⎥
⎢ ( 0) ⎥ ⎢ ⎥
⎢ y ( 4i + 2) ⎥ 0 0 1 0 0 0 j ( 0)
2 ⎢
0 ⎥ ⎢ Im(x (i ) )⎥
⎢
⎢ y (1) ( 4i + 2) ⎥ ⎢0 0 0 0 0 0 0 (1)

j ⎥ ⎢ Im(x (i ) )⎥
⎢ ⎥ ⎢ ⎥⎢ ⎥
⎢ y ( 4i + 2) ⎥
( 2)
⎢0 0 0 −1 0 0 0 ( 2)

⎢ (3)
y (4i + 2) ⎥
⎥ ⎢0 0 0 0 0 0 0 0 ⎥ ⎢⎣ Im(x (3)
(i ) )⎥⎦
⎢ ⎢ ⎥
⎢ y ( 0) ( 4i + 3) ⎥ ⎢0 0 0 1 0 0 0 j⎥
⎢ (1) ⎥ ⎢
⎢ y ( 4i + 3) ⎥
0 0 0 0 0 0 0 0⎥
⎢ ⎥
⎢ y ( 2) ( 4i + 3) ⎥ ⎢0 0 1 0 0 0 −j 0⎥
⎢ (3) ⎥ ⎢ ⎥
⎢ y (4i + 3) ⎦
⎣ ⎥ ⎣0 0 0 0 0 0 0 0⎦

if (i + nPHICH
group
) mod 2 = 0 for normal cyclic prefix, or (i + nPHICH
group
⎣ ⎦
2 ) mod 2 = 0 for extended cyclic prefix, where
group
nPHICH is the PHICH group number and i = 0,1,2 , and by

⎡ y ( 0) ( 4i ) ⎤ ⎡0 0 0 0 0 0 0 0⎤
⎢ ⎥ ⎢
(1)
⎢ y ( 4i ) ⎥ ⎢
1 0 0 0 j 0 0 0 ⎥⎥
⎢ y ( 2) ( 4i ) ⎥ ⎢0 0 0 0 0 0 0 0⎥
⎢ ⎥ ⎢ ⎥
(3)
⎢ y ( 4i ) ⎥ ⎢0 −1 0 0 0 j 0 0⎥
⎢ ( 0)
y (4i + 1) ⎥⎥ ⎢0 0 0 0 0 0 0 (
0 ⎥ ⎡ Re x ( 0) (i ) ⎤ )
( )
⎢ ⎢ ⎥⎢ ⎥
⎢ y ( 4i + 1) ⎥
(1) 0 ⎥ ⎢ Re x (1) (i ) ⎥
⎢0 1 0 0 0 j 0
⎢ ( 2)
⎢ y (4i + 1) ⎥
⎥ ⎢
0 0 0 0 0 0 0 0 Re(x
⎥⎢ ( 2)
(i ) )⎥
⎢ ⎥⎢
0 ⎥ ⎢ Re(x (i ) )⎥
⎥
⎢ y (3) ( 4i + 1) ⎥ 1 ⎢1 0 0 0 −j 0 0 (3)
=
0 ⎥ ⎢ Im(x (i ) )⎥⎥
⎢ ( 0) ⎥ ⎢ ⎥
⎢ y ( 4i + 2) ⎥ 0 0 0 0 0 0 0 ( 0)
2 ⎢
0 ⎥ ⎢ Im(x (i ) )⎥
⎢
⎢ y (1) ( 4i + 2) ⎥ ⎢0 0 1 0 0 0 j (1)

0 ⎥ ⎢⎢ Im(x (i ) )⎥
⎢ ⎥ ⎢ ⎥ ⎥
⎢ y ( 4i + 2) ⎥
( 2) ( 2)
⎢0 0 0 0 0 0 0
⎢ (3)
y (4i + 2) ⎥
⎥ ⎢0 0 0 −1 0 0 0 j ⎥ ⎢⎣ Im(x (3)
(i ) )⎥⎦
⎢ ⎢ ⎥
⎢ y ( 0) ( 4i + 3) ⎥ ⎢0 0 0 0 0 0 0 0⎥
⎢ (1) ⎥ ⎢
⎢ y ( 4i + 3) ⎥
0 0 0 1 0 0 0 j⎥
⎢ ⎥
⎢ y ( 2) ( 4i + 3) ⎥ ⎢0 0 0 0 0 0 0 0⎥
⎢ (3) ⎥ ⎢ ⎥
⎢ y (4i + 3) ⎦
⎣ ⎥ ⎣0 0 1 0 0 0 − j 0⎦

otherwise for i = 0,1,2 .

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6.9.3 Mapping to resource elements

The sequence y ( p ) (0),..., y ( p ) ( M symb
(0)
− 1) for each of the PHICH groups is defined by

y ( p ) ( n) = ∑y ( p)
i ( n)

where the sum is over all PHICHs in the PHICH group and yi( p ) (n) represents the symbol sequence from the i :th
PHICH in the PHICH group.

PHICH groups are mapped to PHICH mapping units.

For normal cyclic prefix, the mapping of PHICH group m to PHICH mapping unit m' is defined by

~
y m( p' ) (n) = y m( p ) (n)

where

⎧⎪ 0,1,..., N PHICH
group
−1 for frame structure type 1
m' = m = ⎨ ,
⎪⎩0,1,..., mi ⋅ N PHICH
group
− 1 for frame structure type 2

and where m i is given by Table 6.9-1.

For extended cyclic prefix, the mapping of PHICH group m and m + 1 to PHICH mapping unit m' is defined by
~
y m( p' ) (n) = y m( p ) (n) + y m( p+)1 (n)

where

m' = m / 2

⎧⎪ 0,2,..., N PHICH
group
−2 for frame structure type 1
m=⎨
⎪⎩0,2,..., mi ⋅ N PHICH − 2 for frame structure type 2
group

and where m i is given by Table 6.9-1.

Let z ( p ) (i ) = ~
y ( p ) (4i ), ~
y ( p ) (4i + 1), ~ y ( p ) (4i + 3) , i = 0,1,2 denote symbol quadruplet i for antenna port p .
y ( p ) (4i + 2), ~
Mapping to resource elements is defined in terms of symbol quadruplets according to steps 1–10 below:

1) For each value of l′

2) Let nl ′ denote the number of resource element groups not assigned to PCFICH in OFDM symbol l′

3) Number the resource-element groups not assigned to PCFICH in OFDM symbol l′ from 0 to nl′ − 1 , starting
from the resource-element group with the lowest frequency-domain index.

4) Initialize m ′ = 0 (PHICH mapping unit number)

5) For each value of i = 0,1,2

6) Symbol-quadruplet z ( p ) (i ) from PHICH mapping unit m' is mapped to the resource-element group
represented by (k ′, l ′) i as defined in clause 6.2.4 where the indices k i′ and li′ are given by steps 7 and 8
below:

7) The time-domain index li′ is given by

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⎧0 normal PHICH duration, all subframes

⎪( m′ 2 + i + 1) mod 2
⎪⎣ ⎦ extended PHICH duration, MBSFN subframes
li′ = ⎨
(
⎪⎣ m ′ 2 ⎦ + i + 1) mod 2 extended PHICH duration, subframe 1 and 6 in frame structure type 2
⎪
⎩i otherwise

8) Set the frequency-domain index k i′ to the resource-element group assigned the number ni in step 3
above, where ni is given by

⎧
⎪
(⎣N cell
ID ⎦ )
⋅ nli′ n1 + m' mod nli′ i=0
⎪
ni = ⎨ (⎣N cell
ID ⋅ nli′ n1 ⎦ + m'+ ⎣nl ′ 3⎦)mod nl ′
i i
i =1
⎪
⎪
⎩
(⎣N cell
ID ⋅ nli′ n1 ⎦ + m'+ ⎣2 nl ′ 3⎦)mod nl ′
i i
i=2

in case of extended PHICH duration in MBSFN subframes, or extended PHICH duration in subframes 1
and 6 for frame structure type 2 and by

⎧
⎪
(⎣N cell
ID ⎦ )
⋅ nli′ n0 + m ' mod nli′ i=0
⎪
ni = ⎨ (⎣N cell
ID ⋅ nli′ n0 ⎦ + m '+ ⎣nl ′ 3⎦)mod nl ′
i i
i =1
⎪
⎪
⎩
(⎣N cell
ID ⋅ nli′ n0 ⎦ + m '+ ⎣2 nl ′ 3⎦)mod nl ′
i i
i=2

otherwise.

9) Increase m′ by 1.

10) Repeat from step 5 until all PHICH mapping units have been assigned.

The PHICH duration is configurable by higher layers according to Table 6.9.3-1.

Table 6.9.3-1: PHICH duration in MBSFN and non-MBSFN subframes

Non-MBSFN subframes
MBSFN subframes
PHICH duration Subframes 1 and 6
All other cases on a carrier supporting PDSCH
in case of frame structure type 2
Normal 1 1 1
Extended 2 3 2

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6.10 Reference signals

Six types of downlink reference signals are defined:

- Cell-specific Reference Signal (CRS)

- MBSFN reference signal

- UE-specific Reference Signal (DM-RS) associated with PDSCH

- DeModulation Reference Signal (DM-RS) associated with EPDCCH

- Positioning Reference Signal (PRS)

- CSI Reference Signal (CSI-RS)

There is one reference signal transmitted per downlink antenna port.

6.10.1 Cell-specific Reference Signal (CRS)

Cell-specific reference signals shall be transmitted in

- all downlink subframes for frame structure type 1,

- all downlink subframes and DwPTS for frame structure type 2

in a cell supporting PDSCH transmission.

Cell-specific reference signals are transmitted on one or several of antenna ports 0 to 3.

Cell-specific reference signals are defined for Δf = 15 kHz only.

6.10.1.1 Sequence generation

The reference-signal sequence rl ,ns (m) is defined by

1 1
rl ,ns (m) = (1 − 2 ⋅ c(2m)) + j (1 − 2 ⋅ c(2m + 1)), m = 0,1,...,2 N RB
max, DL
−1
2 2

where ns is the slot number within a radio frame and l is the OFDM symbol number within the slot. The pseudo-
random sequence c(i ) is defined in clause 7.2. The pseudo-random sequence generator shall be initialised with
(
cinit = 210 ⋅ (7 ⋅ (ns + 1) + l + 1) ⋅ 2 ⋅ N ID)
cell
+ 1 + 2 ⋅ N ID
cell
+ N CP at the start of each OFDM symbol where

⎧1 for normal CP
N CP = ⎨
⎩0 for extended CP

6.10.1.2 Mapping to resource elements

The reference signal sequence rl ,ns (m) shall be mapped to complex-valued modulation symbols a k( ,pl ) used as reference
symbols for antenna port p in slot ns according to

a k( ,pl ) = rl ,ns (m' )

where

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k = 6m + (v + vshift ) mod 6
⎪0, N symb − 3 if p ∈ {0,1}
⎧ DL
l=⎨
⎪
⎩1 if p ∈ {2,3}
m = 0,1,...,2 ⋅ N RB
DL
−1
m′ = m + N RB
max, DL
− N RB
DL

The variables v and vshift define the position in the frequency domain for the different reference signals where v is
given by

⎧0 if p = 0 and l = 0
⎪3 if p = 0 and l ≠ 0
⎪
⎪⎪3 if p = 1 and l = 0
v=⎨
⎪0 if p = 1 and l ≠ 0
⎪3(ns mod 2) if p = 2
⎪
⎪⎩3 + 3(ns mod 2) if p = 3

The cell-specific frequency shift is given by vshift = N ID

cell
mod 6 .

Resource elements (k, l ) used for transmission of cell-specific reference signals on any of the antenna ports in a slot
shall not be used for any transmission on any other antenna port in the same slot and set to zero.

In an MBSFN subframe, cell-specific reference signals shall only be transmitted in the non-MBSFN region of the
MBSFN subframe.

Figures 6.10.1.2-1 and 6.10.1.2-2 illustrate the resource elements used for reference signal transmission according to the
above definition. The notation R p is used to denote a resource element used for reference signal transmission on
antenna port p .

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R0 R0
t
r
o
p
a
n
n R0 R0
e
t
n
a
e
n
O
R0 R0

R0 R0
l=0 l =6 l =0 l =6

R0 R0 R1
s
t
r
o
p
a
n R0 R0 R1 R1
n
e
t
n
a
o
w
T R0 R0 R1 R1

R0 R0 R1 R1
l=0 l =6 l =0 l =6 l =0 l =6 l =0 l =6

R0 R0 R1 R1 R2 R3
s
t
r
o
p
a
n
n
R0 R0 R1 R1 R2 R3
e
t
n
a
r
u
o
F R0 R0 R1 R1 R2 R3

R0 R0 R1 R1 R2 R3
l=0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6

Figure 6.10.1.2-1. Mapping of downlink reference signals (normal cyclic prefix)

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R0 R0
t
r
o
p
a
n
n R0 R0
e
t
n
a
e
n
O
R0 R0

R0 R0
l=0 l =5 l =0 l =5

Resource element ( )k,l

R0 R0 R1 R1
s
t
r
o
p
a
n R0 R0 R1 R1
n
e
t
Not used for transmission on this antenna port
n
a
o
w
T R0 R0 R1 R1
Reference symbols on this antenna port

R0 R0 R1 R1
l =0 l =5 l =0 l =5 l =0 l =5 l =0 l =5

R0 R0 R1 R1 R2 R3
s
t
r
o
p
a
n
n
R0 R0 R1 R1 R2 R3
e
t
n
a
r
u
o
F R0 R0 R1 R1 R2 R3

R0 R0 R1 R1 R2 R3
l =0 l =5 l =0 l =5 l =0 l =5 l =0 l =5 l =0 l = 5l = 0 l =5 l =0 l =5 l =0 l =5

even-numbered slots odd-numbered slots even-numbered slots odd-numbered slots even-numbered slots odd-numbered slots even-numbered slots odd-numbered slots

Antenna port 0 Antenna port 1 Antenna port 2 Antenna port 3

Figure 6.10.1.2-2. Mapping of downlink reference signals (extended cyclic prefix)

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6.10.2 MBSFN reference signals

MBSFN reference signals shall be transmitted in the MBSFN region of MBSFN subframes only when the PMCH is
transmitted. MBSFN reference signals are transmitted on antenna port 4.

MBSFN reference signals are defined for extended cyclic prefix only.

6.10.2.1 Sequence generation

The MBSFN reference-signal sequence rl ,ns (m) is defined by

1 1
rl ,ns (m) = (1 − 2 ⋅ c(2m)) + j (1 − 2 ⋅ c(2m + 1)), m = 0,1,...,6 N RB
max, DL
−1
2 2

where ns is the slot number within a radio frame and l is the OFDM symbol number within the slot. The pseudo-
random sequence c(i ) is defined in clause 7.2. The pseudo-random sequence generator shall be initialised with
(
cinit = 2 9 ⋅ (7 ⋅ (ns + 1) + l + 1) ⋅ 2 ⋅ N ID
MBSFN
)
+ 1 + N ID
MBSFN
at the start of each OFDM symbol.

6.10.2.2 Mapping to resource elements

The reference-signal sequence rl ,ns (m′) in OFDM symbol l shall be mapped to complex-valued modulation symbols
a k( ,pl ) with p = 4 according to

a k( ,pl ) = rl ,ns (m′)

where

⎧2 m if l ≠ 0 and Δf = 15 kHz
⎪2m + 1 if l = 0 and Δf = 15 kHz
⎪
k=⎨
⎪4m if l ≠ 0 and Δf = 7.5 kHz
⎪⎩4m + 2 if l = 0 and Δf = 7.5 kHz
⎧2 if ns mod 2 = 0 and Δf = 15 kHz
⎪0,4 if n mod 2 = 1 and Δf = 15 kHz
⎪ s
l=⎨
⎪ 1 if n s mod 2 = 0 and Δf = 7.5 kHz
⎪⎩0,2 if ns mod 2 = 1 and Δf = 7.5 kHz

m = 0,1,...,6 N RB
DL
−1
(
m′ = m + 3 N RB
max, DL
− N RB
DL
)
Figure 6.10.2.2-1 illustrates the resource elements used for MBSFN reference signal transmission in case of
Δf = 15 kHz . In case of Δf = 7.5 kHz for a MBSFN-dedicated cell, the MBSFN reference signal shall be mapped to
resource elements according to Figure 6.10.2.2-3. The notation R p is used to denote a resource element used for
reference signal transmission on antenna port p .

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R4
R4 R4
R4
R4 R4
R4
R4 R4
R4
R4 R4
R4
R4 R4
R4
R4 R4
l=0 l =5l =0 l =5

Figure 6.10.2.2-1: Mapping of MBSFN reference signals (extended cyclic prefix, Δf = 15 kHz )

R4

R4 R4

R4

R4 R4

R4

R4 R4

R4

R4 R4

R4

R4 R4

R4

R4 R4
l = 0 l = 2l = 0 l = 2
even- odd-
numbered numbered
slots slots
Antenna port 4
Figure 6.10.2.2-3: Mapping of MBSFN reference signals (extended cyclic prefix, Δf = 7.5 kHz )

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6.10.3 UE-specific reference signals associated with PDSCH

UE-specific reference signals associated with PDSCH

- are transmitted on antenna port(s) p = 5 , p = 7 , p = 8 or p = 7,8,...,υ + 6 , where υ is the number of layers

used for transmission of the PDSCH;

- are present and are a valid reference for PDSCH demodulation only if the PDSCH transmission is associated
with the corresponding antenna port according to clause 7.1 of 3GPP TS 36.213 [4];

- are transmitted only on the physical resource blocks upon which the corresponding PDSCH is mapped.

A UE-specific reference signal associated with PDSCH is not transmitted in resource elements (k, l ) in which one of
the physical channels or physical signals other than the UE-specific reference signals defined in 6.1 are transmitted
using resource elements with the same index pair (k, l ) regardless of their antenna port p .

6.10.3.1 Sequence generation

For antenna port 5, the UE-specific reference-signal sequence rns (m) is defined by

1 1
rns (m) = (1 − 2 ⋅ c(2m)) + j (1 − 2 ⋅ c(2m + 1)), m = 0,1,...,12 N RB
PDSCH
−1
2 2

PDSCH
where N RB denotes the assigned bandwidth in resource blocks of the corresponding PDSCH transmission. The
pseudo-random sequence c(i ) is defined in clause 7.2. The pseudo-random sequence generator shall be initialised with
(
cinit = (⎣ns 2⎦ + 1) ⋅ 2 N ID
cell
)
+ 1 ⋅ 216 + nRNTI at the start of each subframe where nRNTI is as described in clause 7.1
3GPP TS 36.213 [4].

For any of the antenna ports p ∈ {7,8,...,υ + 6} , the reference-signal sequence r (m) is defined by

1 1 ⎧⎪0,1,...,12 N RB
max, DL
− 1 normal cyclic prefix
r ( m) = (1 − 2 ⋅ c(2m) ) + j (1 − 2 ⋅ c(2m + 1)), m=⎨ .
2 2 ⎪⎩0,1,...,16 N RB
max, DL
− 1 extended cyclic prefix

The pseudo-random sequence c(i ) is defined in clause 7.2. The pseudo-random sequence generator shall be initialised
with

(
cinit = (⎣ns / 2⎦ + 1) ⋅ 2nID
( nSCID )
)
+ 1 ⋅ 216 + nSCID

at the start of each subframe.

(i )
The quantities nID , i = 0,1 , are given by

- (i )
nID = N ID
cell DMRS,i
if no value for nID is provided by higher layers or if DCI format 1A, 2B or 2C is used for the
DCI associated with the PDSCH transmission

- (i )
nID = nID
DMRS,i
otherwise

The value of nSCID is zero unless specified otherwise. For a PDSCH transmission on ports 7 or 8, nSCID is given by the
DCI format 2B, 2C or 2D in 3GPP TS 36.212 [3] associated with the PDSCH transmission.
In the case of DCI format 2B, nSCID is indicated by the scrambling identity field according to Table 6.10.3.1-1. In the
case of DCI format 2C or 2D, nSCID is given by Table 5.3.3.1.5C-1 in 3GPP TS 36.212 [3].

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3GPP TS 36.211 version 12.3.0 Release 12 94 ETSI TS 136 211 V12.3.0 (2014-10)

Table 6.10.3.1-1: Mapping of scrambling identity field in DCI format 2B to nSCID values for antenna
ports 7 and 8

Scrambling identity field in

DCI format 2B nSCID
(3GPP TS 36.212 [3])
0 0
1 1

6.10.3.2 Mapping to resource elements

For antenna port 5, in a physical resource block with frequency-domain index nPRB assigned for the corresponding
PDSCH transmission, the reference signal sequence rns (m) shall be mapped to complex-valued modulation symbols
a k( ,pl ) with p = 5 in a subframe according to:

Normal cyclic prefix:

a k( ,pl ) = rns (3 ⋅ l ′ ⋅ N RB
PDSCH
+ m' )

k = (k ′) mod N scRB + N scRB ⋅ nPRB

⎧ 4m'+ vshift if l ∈ {2,3}
k′ = ⎨
⎩4m'+( 2 + vshift ) mod 4 if l ∈ {5,6}
⎧3 l ′ = 0
⎪6 l ′ 1
⎪ =
l=⎨
⎪ 2 l ′ = 2
⎪⎩5 l ′ = 3
⎧ 0,1 if ns mod 2 = 0
l′ = ⎨
⎩2,3 if ns mod 2 = 1
m' = 0,1,...,3 N RB
PDSCH
−1

Extended cyclic prefix:

a k( ,pl ) = rns (4 ⋅ l ′ ⋅ N RB
PDSCH
+ m' )

k = (k ′) mod N scRB + N scRB ⋅ nPRB

⎧ 3m'+ vshift if l = 4
k′ = ⎨
⎩3m'+ ( 2 + v shift ) mod 3 if l = 1
⎧4 l ′ ∈ {0,2}
l=⎨
⎩1 l′ = 1
⎧ 0 if ns mod 2 = 0
l′ = ⎨
⎩1,2 if ns mod 2 = 1
m' = 0,1,...,4 N RB
PDSCH
−1

where m' is the counter of UE-specific reference signal resource elements within a respective OFDM symbol of the
PDSCH transmission.

The cell-specific frequency shift is given by vshift = N ID

cell
mod 3 .

The mapping shall be in increasing order of the frequency-domain index nPRB of the physical resource blocks assigned
PDSCH
for the corresponding PDSCH transmission. The quantity N RB denotes the assigned bandwidth in resource blocks
of the corresponding PDSCH transmission.

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3GPP TS 36.211 version 12.3.0 Release 12 95 ETSI TS 136 211 V12.3.0 (2014-10)

Figure 6.10.3.2-1 illustrates the resource elements used for UE-specific reference signals for normal cyclic prefix for
antenna port 5.

Figure 6.10.3.2-2 illustrates the resource elements used for UE-specific reference signals for extended cyclic prefix for
antenna port 5.

The notation R p is used to denote a resource element used for reference signal transmission on antenna port p .

R5 R5

R5 R5

R5 R5

R5 R5

R5 R5

R5 R5
l=0 l=6 l =0 l =6

Figure 6.10.3.2-1: Mapping of UE-specific reference signals, antenna port 5 (normal cyclic prefix)

R5

R5 R5
R5

R5 R5
R5

R5 R5
R5

R5 R5
l=0 l = 5l = 0 l =5

Figure 6.10.3.2-2: Mapping of UE-specific reference signals, antenna port 5 (extended cyclic prefix)

For antenna ports p = 7 , p = 8 or p = 7,8, K,υ + 6 , in a physical resource block with frequency-domain index n PRB

assigned for the corresponding PDSCH transmission, a part of the reference signal sequence r (m) shall be mapped to
complex-valued modulation symbols a k( ,pl ) in a subframe according to

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3GPP TS 36.211 version 12.3.0 Release 12 96 ETSI TS 136 211 V12.3.0 (2014-10)

Normal cyclic prefix:

a k( ,pl ) = w p (l ' ) ⋅ r (3 ⋅ l '⋅N RB

max, DL
+ 3 ⋅ nPRB + m' )

where

⎧ w p (i ) ( m'+ nPRB ) mod 2 = 0

w p (i ) = ⎨
w
⎩ p (3 − i ) ( m'+ nPRB ) mod 2 = 1
k = 5m'+ N scRB nPRB + k '
⎧1 p ∈ {7,8,11,13}
k' = ⎨
⎩0 p ∈ {9,10,12,14}
⎧l ' mod 2 + 2 if in a special subframe with configuration 3, 4, 8 or 9 (see Table 4.2 - 1)
⎪
l = ⎨l ' mod 2 + 2 + 3⎣l ' / 2⎦ if in a special subframe with configuration 1, 2, 6, or 7 (see Table 4.2 - 1)
⎪l ' mod 2 + 5
⎩ if not in a special subframe
⎧0,1,2,3 if ns mod 2 = 0 and in a special subframe with configuration 1, 2, 6, or 7 (see Table 4.2 - 1)
⎪
l ' = ⎨0,1 if ns mod 2 = 0 and not in special subframe with configuration 1, 2, 6, or 7 (see Table 4.2 - 1)
⎪2,3 if ns mod 2 = 1 and not in special subframe with configuration 1, 2, 6, or 7 (see Table 4.2 - 1)
⎩
m' = 0,1,2

The sequence w p (i ) is given by Table 6.10.3.2-1.

Table 6.10.3.2-1: The sequence w p (i ) for normal cyclic prefix

Antenna port p [w p (0) w p (1) w p (2) w p (3) ]

7 [+ 1 + 1 + 1 + 1]
8 [+ 1 − 1 + 1 − 1]
9 [+ 1 + 1 + 1 + 1]
10 [+ 1 − 1 + 1 − 1]
11 [+ 1 + 1 − 1 − 1]
12 [− 1 − 1 + 1 + 1]
13 [+ 1 − 1 − 1 + 1]
14 [− 1 + 1 + 1 − 1]

Extended cyclic prefix:

ak( ,pl ) = w p (l ' mod 2) ⋅ r ( 4 ⋅ l '⋅ N RB

max, DL
+ 4 ⋅ nPRB + m' )

where

⎧ w p (i ) m ′ mod 2 = 0
w p (i ) = ⎨
⎩w p (1 − i ) m ′ mod 2 = 1
k = 3m'+ N scRB n PRB + k '
⎧1 if ns mod 2 = 0 and p ∈ {7,8}
k' = ⎨
⎩2 if ns mod 2 = 1 and p ∈ {7,8}
l = l ′ mod 2 + 4
⎧0,1 if n s mod 2 = 0 and in a special subframe with configuration 1, 2, 3, 5 or 6 (see Table 4.2 - 1)
⎪
l ' = ⎨0,1 if n s mod 2 = 0 and not in a special subframe
⎪⎩2,3 if n s mod 2 = 1 and not in a special subframe
m' = 0,1,2,3

The sequence w p (i ) is given by Table 6.10.3.2-2.

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Table 6.10.3.2-2: The sequence w p (i ) for extended cyclic prefix

Antenna port p [w p (0) w p (1) ]

7 [+ 1 + 1]
8 [− 1 + 1]

For extended cyclic prefix, UE-specific reference signals are not supported on antenna ports 9 to 14.

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 = {7,8,11,13} or S = {9,10,12,14} shall

- not be used for transmission of PDSCH on any antenna port in the same slot, 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 slot.

Figure 6.10.3.2-3 illustrates the resource elements used for UE-specific reference signals for normal cyclic prefix for
antenna ports 7, 8, 9 and 10. Figure 6.10.3.2-4 illustrates the resource elements used for UE-specific reference signals
for extended cyclic prefix for antenna ports 7, 8.

7r
o R7 R7 R7 R7 R8 R8 R8 R8
6, R9 R9 R9 R9 R10 R10 R10 R10
2,
1
no
it
rau
gfi R7 R7 R7 R7 R8 R8 R8 R8
no
c, R9 R9 R9 R9 R10 R10 R10 R10
e
m
ar
fb
us
ali R7 R7 R7 R7
ce R8 R8 R8 R8
pS R9 R9 R9 R9 R10 R10 R10 R10
l=0 l =6 l =0 l =6 l =0 l=6 l=0 l=6 l=0 l =6 l =0 l =6 l=0 l =6 l =0 l =6

r9o R7 R7 R7 R7 R8 R8 R8 R8

,84
R9 R9 R9 R9 R10 R10 R10 R10
,3
no
tia
ru
gfi R7 R7 R7 R7 R8 R8 R8 R8
onc R9 R9 R9 R9 R10 R10 R10 R10
,e
m
ar
fb
us
la R7 R7 R7 R7 R8 R8 R8 R8
ic
ep R9 R9 R9 R9 R10 R10 R10 R10
S l=0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l=0 l =6 l =0 l =6 l=0 l =6 l =0 l =6

R7 R7 R7 R7 R8 R8 R8 R8
R9 R9 R9 R9 R10 R10 R10 R10
se
am
frb
us
kn
il R7 R7 R7 R7 R8 R8 R8 R8
n
w
od
R9 R9 R9 R9 R10 R10 R10 R10

re
ht
ol
l
A R7 R7 R7 R7 R8 R8 R8 R8
R9 R9 R9 R9 R10 R10 R10 R10
l=0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6

Figure 6.10.3.2-3: Mapping of UE-specific reference signals, antenna ports 7, 8, 9 and 10 (normal
cyclic prefix)

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5,
3,
2, R7 R7 R8 R8
1
no
tia
ru
gfi R7 R7 R8 R8
no 6r
c, o
e
am R7 R7 R8 R8
frb
us
la
cie R7 R7 R8 R8
pS
l=0 l =5 l =0 l =5 l=0 l =5 l =0 l =5

R7 R7 R8 R8

es R7 R7 R8 R8
m
raf
bu R7 R7 R8 R8
s R7 R7 R8 R8
kn
il
n
w
od R7 R7 R8 R8
re R7 R7 R8 R8
ht
lo R7 R7 R8 R8
A R7 R7 R8 R8

l =0 l =5 l =0 l =5 l=0 l =5 l =0 l =5

Figure 6.10.3.2-4: Mapping of UE-specific reference signals, antenna ports 7 and 8 (extended cyclic
prefix)

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6.10.3A Demodulation reference signals associated with EPDCCH

The demodulation reference signal associated with EPDCCH

- is transmitted on the same antenna port p ∈ {107,108,109,110} as the associated EPDCCH physical resource;

- is present and is a valid reference for EPDCCH demodulation only if the EPDCCH transmission is associated
with the corresponding antenna port;

- is transmitted only on the physical resource blocks upon which the corresponding EPDCCH is mapped.

A demodulation reference signal associated with EPDCCH is not transmitted in resource elements (k, l ) in which one
of the physical channels or physical signals other than the demodulation reference signals defined in 6.1 are transmitted
using resource elements with the same index pair (k, l ) regardless of their antenna port p .

6.10.3A.1 Sequence generation

For any of the antenna ports p ∈ {107,108,109,110} , the reference-signal sequence r (m) is defined by

1 1 ⎧⎪0,1,...,12 N RB
max, DL
− 1 normal cyclic prefix
r ( m) = (1 − 2 ⋅ c(2m)) + j (1 − 2 ⋅ c(2m + 1)), m=⎨ .
2 2 ⎪⎩0,1,...,16 N RB
max, DL
− 1 extended cyclic prefix

The pseudo-random sequence c(n) is defined in clause 7.2. The pseudo-random sequence generator shall be initialised
with

(
cinit = (⎣ns / 2⎦ + 1) ⋅ 2nID
EPDCCH
,i )
+ 1 ⋅ 216 + nSCID
EPDCCH

EPDCCH
at the start of each subframe where nSCID = 2 and nID
EPDCCH
,i is configured by higher layers. The EPDCCH set to
which the EPDCCH associated with the demodulation reference signal belong is denoted i ∈ {0,1} .

6.10.3A.2 Mapping to resource elements

For the antenna port p ∈ {107,108,109,110} in a physical resource block nPRB assigned for the associated EPDCCH, a
part of the reference signal sequence r (m) shall be mapped to complex-valued modulation symbols a k( ,pl ) in a subframe
according to

Normal cyclic prefix:

a k( ,pl ) = w p (l ' ) ⋅ r (3 ⋅ l '⋅N RB

max, DL
+ 3 ⋅ nPRB + m' )

where

⎧ w p (i ) ( m'+ nPRB ) mod 2 = 0

w p (i ) = ⎨
w
⎩ p (3 − i ) ( m'+ nPRB ) mod 2 = 1
k = 5m'+ N scRB nPRB + k '
⎧1 p ∈ {107,108}
k' = ⎨
⎩0 p ∈ {109,110}
⎧l ' mod 2 + 2 if in a special subframe with configuration 3, 4, 8 or 9 (see Table 4.2 - 1)
⎪
l = ⎨l ' mod 2 + 2 + 3⎣l ' / 2⎦ if in a special subframe with configuration 1, 2, 6, or 7 (see Table 4.2 - 1)
⎪l ' mod 2 + 5
⎩ if not in a special subframe
⎧0,1,2,3 if ns mod 2 = 0 and in a special subframe with configuration 1, 2, 6, or 7 (see Table 4.2 - 1)
⎪
l ' = ⎨0,1 if ns mod 2 = 0 and not in special subframe with configuration 1, 2, 6, or 7 (see Table 4.2 - 1)
⎪2,3 if ns mod 2 = 1 and not in special subframe with configuration 1, 2, 6, or 7 (see Table 4.2 - 1)
⎩
m' = 0,1,2

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The sequence w p (i ) is given by Table 6.10.3A.2-1.

Table 6.10.3A.2-1: The sequence w p (i ) for normal cyclic prefix

Antenna port p [w p (0) w p (1) w p (2) w p (3) ]

107 [+ 1 + 1 + 1 + 1]
108 [+ 1 − 1 + 1 − 1]
109 [+ 1 + 1 + 1 + 1]
110 [+ 1 − 1 + 1 − 1]

Extended cyclic prefix:

a k( ,pl) = w p (l ' mod 2) ⋅ r ( 4 ⋅ l '⋅ N RB

max, DL
+ 4 ⋅ nPRB + m' )

where

⎧ w p (i ) m′ mod 2 = 0
w p (i ) = ⎨
w
⎩ p (1 − i ) m′ mod 2 = 1
k = 3m'+ N scRB nPRB + k '
⎧1 if ns mod 2 = 0 and p ∈ {107,108}
k' = ⎨
⎩2 if ns mod 2 = 1 and p ∈ {107,108}
l = l ′ mod 2 + 4
⎧0,1 if ns mod 2 = 0 and in a special subframe with configuration 1, 2, 3, 5 or 6 (see Table 4.2 - 1)
⎪
l ' = ⎨0,1 if ns mod 2 = 0 and not in a special subframe
⎪2,3 if ns mod 2 = 1 and not in a special subframe
⎩
m' = 0,1,2,3

The sequence w p (i ) is given by Table 6.10.3A.2-2.

Table 6.10.3A.2-2: The sequence w p (i ) for extended cyclic prefix

Antenna port p [w p (0) w p (1) ]

107 [+ 1 + 1]
108 [− 1 + 1]

For extended cyclic prefix, demodulation reference signals are not supported on antenna ports 109 to 110.

Resource elements (k, l ) used for transmission of demodulation reference signals to one UE on any of the antenna ports
in the set S , where S = {107,108} or S = {109,110} shall

- not be used for transmission of EPDCCH on any antenna port in the same slot, and

- not be used for demodulation reference signals to the same UE on any antenna port other than those in S in the
same slot.

Replacing antenna port numbers 7 – 10 by 107 – 110 in Figure 6.10.3.2-3 provides an illustration of the resource
elements used for demodulation reference signals associated with EPDCCH for normal cyclic prefix. Replacing antenna
port numbers 7 – 8 by 107 – 108 in Figure 6.10.3.2-4 provides an illustration of the resource elements used for
demodulation reference signals associated with EPDCCH for extended cyclic prefix.

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6.10.4 Positioning reference signals

Positioning reference signals shall only be transmitted in resource blocks in downlink subframes configured for
positioning reference signal transmission. If both normal and MBSFN subframes are configured as positioning
subframes within a cell, the OFDM symbols in a MBSFN subframe configured for positioning reference signal
transmission shall use the same cyclic prefix as used for subframe #0. If only MBSFN subframes are configured as
positioning subframes within a cell, the OFDM symbols configured for positioning reference signals in the MBSFN
region of these subframes shall use extended cyclic prefix length. In a subframe configured for positioning reference
signal transmission, the starting positions of the OFDM symbols configured for positioning reference signal
transmission shall be identical to those in a subframe in which all OFDM symbols have the same cyclic prefix length as
the OFDM symbols configured for positioning reference signal transmission.

Positioning reference signals are transmitted on antenna port 6.

The positioning reference signals shall not be mapped to resource elements (k, l ) allocated to PBCH, PSS or SSS
regardless of their antenna port p .

Positioning reference signals are defined for Δf = 15 kHz only.

6.10.4.1 Sequence generation

The reference-signal sequence rl , ns (m) is defined by

1 1
rl ,ns (m) = (1 − 2 ⋅ c(2m)) + j (1 − 2 ⋅ c(2m + 1)), m = 0,1,...,2 N RB
max, DL
−1
2 2

where ns is the slot number within a radio frame, l is the OFDM symbol number within the slot. The pseudo-random
sequence c(i ) is defined in clause 7.2. The pseudo-random sequence generator shall be initialised with
(
cinit = 210 ⋅ (7 ⋅ (ns + 1) + l + 1) ⋅ 2 ⋅ N ID
cell
)
+ 1 + 2 ⋅ N ID
cell
+ N CP at the start of each OFDM symbol where

⎧1 for normal CP
N CP = ⎨
⎩0 for extended CP

6.10.4.2 Mapping to resource elements

The reference signal sequence rl ,ns (m) shall be mapped to complex-valued modulation symbols a k( ,pl ) used as reference
signal for antenna port p = 6 in slot ns according to

ak( ,pl) = rl , ns (m' )

where

Normal cyclic prefix:

(
k = 6 m + N RB
DL
− N RB
PRS
)
+ (6 − l + vshift )mod 6
⎧3,5,6 if ns mod 2 = 0
⎪
l = ⎨1,2,3,5,6 if ns mod 2 = 1 and (1 or 2 PBCH antenna ports )
⎪2,3,5,6 if n mod 2 = 1 and (4 PBCH antenna ports )
⎩ s

m = 0,1, K, 2 ⋅ NRB − 1
PRS

m′ = m + max, DL
N RB − N RB
PRS

Extended cyclic prefix:

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(
k = 6 m + N RB
DL
− N RB
PRS
)
+ (5 − l + vshift ) mod 6
⎧4,5 if ns mod 2 = 0
⎪
l = ⎨1,2,4,5 if ns mod 2 = 1 and (1 or 2 PBCH antenna ports )
⎪2,4,5 if n mod 2 = 1 and (4 PBCH antenna ports )
⎩ s

m = 0,1, K, 2 ⋅ NRB − 1
PRS

m′ = m + max, DL
N RB − N RB
PRS

PRS
The bandwidth for positioning reference signals N RB is configured by higher layers and the cell-specific frequency
shift is given by vshift = N ID
cell
mod 6 .

R6
R6 R6

a
R6 R6 R6 R6
n s
t
n r
e o
t
n p
a a
R6 R6 n R6 R6
H n
C e
s t
B t
r
R6 R6 n R6 R6
P a
o
o p H
w
R6 C
t
B
d
n R6 P
r
R6
a
u
e R6
n R6 o R6 R6
F
O

R6 R6 R6 R6
R6 R6 R6 R6
l=0 l=6 l=0 l=6 l=0 l=6 l=0 l=6

Figure 6.10.4.2-1: Mapping of positioning reference signals (normal cyclic prefix)

R6
R6 R6

R6 R6 R6 R6
R6 R6 R6 R6

R6
R6 R6

R6 R6 R6 R6
R6 R6 R6 R6

l =0 l =5 l =0 l =5 l=0 l =5 l =0 l =5

Figure 6.10.4.2-2: Mapping of positioning reference signals (extended cyclic prefix)

6.10.4.3 Positioning reference signal subframe configuration

The cell specific subframe configuration period TPRS and the cell specific subframe offset Δ PRS for the transmission of
positioning reference signals are listed in Table 6.10.4.3-1. The PRS configuration index I PRS is configured by higher
layers. Positioning reference signals are transmitted only in configured DL subframes. Positioning reference signals

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shall not be transmitted in DwPTS. Positioning reference signals shall be transmitted in N PRS consecutive downlink
subframes, where N PRS is configured by higher layers.

The positioning reference signal instances, for the first subframe of the N PRS downlink subframes, shall satisfy
(10 × nf + ⎣ns / 2⎦ − Δ PRS ) mod TPRS = 0 .
Table 6.10.4.3-1: Positioning reference signal subframe configuration

PRS configuration Index I PRS PRS periodicity TPRS PRS subframe offset Δ PRS
(subframes) (subframes)
0 – 159 160 I PRS
160 – 479 320 I PRS − 160
480 – 1119 640 I PRS − 480
1120 – 2399 1280 I PRS − 1120
2400-4095 Reserved

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6.10.5 CSI reference signals

CSI reference signals are transmitted on one, two, four or eight antenna ports using p = 15 , p = 15,16 , p = 15,...,18
and p = 15,...,22 , respectively.

CSI reference signals are defined for Δf = 15 kHz only.

6.10.5.1 Sequence generation

The reference-signal sequence rl ,ns (m) is defined by

1 1
rl ,ns (m) = (1 − 2 ⋅ c(2m)) + j (1 − 2 ⋅ c(2m + 1)), m = 0,1,..., N RB
max, DL
−1
2 2

where ns is the slot number within a radio frame and l is the OFDM symbol number within the slot. The pseudo-
random sequence c(i ) is defined in clause 7.2. The pseudo-random sequence generator shall be initialised with
(
cinit = 210 ⋅ (7 ⋅ (ns + 1) + l + 1) ⋅ 2 ⋅ N ID
CSI
)
+ 1 + 2 ⋅ N ID
CSI
+ N CP at the start of each OFDM symbol where

⎧1 for normal CP
N CP = ⎨
⎩0 for extended CP
CSI cell
The quantity N ID equals N ID unless configured by higher layers.

6.10.5.2 Mapping to resource elements

In subframes configured for CSI reference signal transmission, the reference signal sequence rl ,ns (m) shall be mapped
to complex-valued modulation symbols a k( ,pl ) used as reference symbols on antenna port p according to

a k( ,pl ) = wl " ⋅ rl ,ns (m' )

where

⎧− 0 for p ∈ {15,16}, normal cyclic prefix

⎪
⎪
−6 for p ∈ {17,18}, normal cyclic prefix
⎪− 1 for p ∈ {19,20}, normal cyclic prefix
⎪
⎪− 7 for p ∈ {21,22}, normal cyclic prefix
k= k '+12m + ⎨
⎪− 0 for p ∈ {15,16}, extended cyclic prefix
⎪− 3 for p ∈ {17,18}, extended cyclic prefix
⎪
⎪− 6 for p ∈ {19,20}, extended cyclic prefix
⎪− 9
⎩ for p ∈ {21,22}, extended cyclic prefix
⎧l" CSI reference signal configurations 0 - 19, normal cyclic prefix
⎪
l = l '+ ⎨2l" CSI reference signal configurations 20 - 31, normal cyclic prefix
⎪l" CSI reference signal configurations 0 - 27, extended cyclic prefix
⎩
⎧ 1 p ∈ {15,17,19,21}
wl ′′ = ⎨
⎩(− 1) p ∈ {16,18,20,22}
l"

l" = 0,1
m = 0,1,..., N RB
DL
−1
⎢ N max, DL − N RB
DL ⎥
m' = m + ⎢ RB
⎥
⎢
⎣ 2 ⎥
⎦

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The quantity (k ' , l ' ) and the necessary conditions on ns are given by Tables 6.10.5.2-1 and 6.10.5.2-2 for normal and
extended cyclic prefix, respectively.

Multiple CSI reference signal configurations can be used in a given cell. A UE can be configured with multiple sets of
CSI reference signals,

- up to three configurations for which the UE shall assume non-zero transmission power for the CSI-RS, and

- zero or more configurations for which the UE shall assume zero transmission power.

The CSI-RS configurations for which the UE shall assume non-zero transmission power are provided by higher layers.

The CSI-RS configurations for which the UE shall assume zero transmission power in a subframe are given by a bitmap
derived according to clause 7.2.7 in 3GPP TS 36.213 [4]. For each bit set to one in the 16-bit bitmap, the UE shall
assume zero transmission power for the resource elements corresponding to the four CSI reference signal column in
Tables 6.10.5.2-1 and 6.10.5.2-2 for normal and extended cyclic prefix, respectively, except for resource elements that
overlap with those for which the UE shall assume non-zero transmission power CSI-RS as configured by higher layers.
The most significant bit corresponds to the lowest CSI reference signal configuration index and subsequent bits in the
bitmap correspond to configurations with indices in increasing order.

CSI reference signals can only occur in

- downlink slots where ns mod 2 fulfils the condition in Tables 6.10.5.2-1 and 6.10.5.2-2 for normal and extended
cyclic prefix, respectively, and

- where the subframe number fulfils the conditions in clause 6.10.5.3.

The UE shall assume that CSI reference signals are not transmitted

- in the DwPTS (s) in case of frame structure type 2,

- in subframes where transmission of a CSI-RS would collide with SystemInformationBlockType1 messages,

- in the primary cell in subframes configured for transmission of paging messages in the primary cell for any UE
with the cell-specific paging configuration.

The UE shall assume that none of the CSI reference signals corresponding to a CSI reference signal configuration are
transmitted in subframes where transmission of any of those CSI reference signals would collide with transmission of
synchronization signals or PBCH.

Resource elements (k, l ) used for transmission of CSI reference signals on any of the antenna ports in the set S , where
S = {15} , S = {15,16} , S = {17,18} , S = {19,20} or S = {21,22} shall not be used for transmission of PDSCH on any
antenna port in the same slot.

The mapping for CSI reference signal configuration 0 is illustrated in Figures 6.10.5.2-1 and 6.10.5.2-2.

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Table 6.10.5.2-1: Mapping from CSI reference signal configuration to (k ' , l ' ) for normal cyclic prefix

Number of CSI reference signals configured

CSI reference signal 1 or 2 4 8
configuration
(k ' , l ') ns mod 2 (k ' , l ') ns mod 2 (k ' , l ') ns mod 2
0 (9,5) 0 (9,5) 0 (9,5) 0
1 (11,2) 1 (11,2) 1 (11,2) 1
2 (9,2) 1 (9,2) 1 (9,2) 1
3 (7,2) 1 (7,2) 1 (7,2) 1
4 (9,5) 1 (9,5) 1 (9,5) 1
Frame structure type 1 and 2

5 (8,5) 0 (8,5) 0
6 (10,2) 1 (10,2) 1
7 (8,2) 1 (8,2) 1
8 (6,2) 1 (6,2) 1
9 (8,5) 1 (8,5) 1
10 (3,5) 0
11 (2,5) 0
12 (5,2) 1
13 (4,2) 1
14 (3,2) 1
15 (2,2) 1
16 (1,2) 1
17 (0,2) 1
18 (3,5) 1
19 (2,5) 1
20 (11,1) 1 (11,1) 1 (11,1) 1
Frame structure type 2 only

21 (9,1) 1 (9,1) 1 (9,1) 1

22 (7,1) 1 (7,1) 1 (7,1) 1
23 (10,1) 1 (10,1) 1
24 (8,1) 1 (8,1) 1
25 (6,1) 1 (6,1) 1
26 (5,1) 1
27 (4,1) 1
28 (3,1) 1
29 (2,1) 1
30 (1,1) 1
31 (0,1) 1

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Table 6.10.5.2-2: Mapping from CSI reference signal configuration to (k ' , l ' ) for extended cyclic prefix.

CSI reference signal Number of CSI reference signals configured

configuration 1 or 2 4 8
(k ' , l ') ns mod 2 (k ' , l ') ns mod 2 (k ' , l ') ns mod 2
0 (11,4) 0 (11,4) 0 (11,4) 0
1 (9,4) 0 (9,4) 0 (9,4) 0
2 (10,4) 1 (10,4) 1 (10,4) 1
Frame structure type 1 and 2

3 (9,4) 1 (9,4) 1 (9,4) 1

4 (5,4) 0 (5,4) 0
5 (3,4) 0 (3,4) 0
6 (4,4) 1 (4,4) 1
7 (3,4) 1 (3,4) 1
8 (8,4) 0
9 (6,4) 0
10 (2,4) 0
11 (0,4) 0
12 (7,4) 1
13 (6,4) 1
14 (1,4) 1
15 (0,4) 1
16 (11,1) 1 (11,1) 1 (11,1) 1
Frame structure type 2 only

17 (10,1) 1 (10,1) 1 (10,1) 1

18 (9,1) 1 (9,1) 1 (9,1) 1
19 (5,1) 1 (5,1) 1
20 (4,1) 1 (4,1) 1
21 (3,1) 1 (3,1) 1
22 (8,1) 1
23 (7,1) 1
24 (6,1) 1
25 (2,1) 1
26 (1,1) 1
27 (0,1) 1

R15 R15 R16 R16

R17 R17 R18 R18

l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6

R19 R19 R20 R20

R21 R21 R22 R22

l =0 l =6 l =0 l =6 l =0 l =6 l =0 l =6 l=0 l =6 l =0 l =6 l =0 l =6 l =0 l =6
even-numbered odd-numbered even-numbered odd-numbered even-numbered odd-numbered even-numbered odd-numbered
slots slots slots slots slots slots slots slots

Figure 6.10.5.2-1: Mapping of CSI reference signals (CSI configuration 0, normal cyclic prefix)

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Figure 6.10.5.2-2: Mapping of CSI reference signals (CSI configuration 0, extended cyclic prefix)

6.10.5.3 CSI reference signal subframe configuration

The subframe configuration period TCSI - RS and the subframe offset Δ CSI - RS for the occurence of CSI reference signals
are listed in Table 6.10.5.3-1. The parameter I CSI − RS can be configured separately for CSI reference signals for which
the UE shall assume non-zero and zero transmission power. Subframes containing CSI reference signals shall satisfy
(10nf + ⎣ns 2⎦ − Δ CSI −RS ) mod TCSI −RS = 0 .
Table 6.10.5.3-1: CSI reference signal subframe configuration

CSI-RS periodicity TCSI - RS CSI-RS subframe offset Δ CSI - RS

CSI-RS-SubframeConfig I CSI − RS
(subframes) (subframes)
0–4 5 I CSI − RS
5 – 14 10 I CSI − RS − 5
15 – 34 20 I CSI − RS − 15
35 – 74 40 I CSI − RS − 35
75 – 154 80 I CSI − RS − 75

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6.11 Synchronization signals

There are 504 unique physical-layer cell identities. The physical-layer cell identities are grouped into 168 unique
physical-layer cell-identity groups, each group containing three unique identities. The grouping is such that each
physical-layer cell identity is part of one and only one physical-layer cell-identity group. A physical-layer cell identity
cell
N ID = 3 N ID
(1)
+ N ID
(2) (1)
is thus uniquely defined by a number N ID in the range of 0 to 167, representing the physical-layer
(2)
cell-identity group, and a number N ID in the range of 0 to 2, representing the physical-layer identity within the
physical-layer cell-identity group.

6.11.1 Primary synchronization signal

6.11.1.1 Sequence generation

The sequence d (n) used for the primary synchronization signal is generated from a frequency-domain Zadoff-Chu
sequence according to

⎧ − j πun ( n +1)
⎪ e 63 n = 0,1,...,30
d u (n) = ⎨ πu ( n +1)( n + 2)
⎪e − j 63 n = 31,32,...,61
⎩

where the Zadoff-Chu root sequence index u is given by Table 6.11.1.1-1.

Table 6.11.1.1-1: Root indices for the primary synchronization signal

(2)
N ID Root index u
0 25
1 29
2 34

6.11.1.2 Mapping to resource elements

The mapping of the sequence to resource elements depends on the frame structure. The UE shall not assume that the
primary synchronization signal is transmitted on the same antenna port as any of the downlink reference signals. The
UE shall not assume that any transmission instance of the primary synchronization signal is transmitted on the same
antenna port, or ports, used for any other transmission instance of the primary synchronization signal.

The sequence d (n ) shall be mapped to the resource elements according to

a k ,l = d (n ), n = 0,...,61
DL RB
N RB N sc
k = n − 31 +
2

For frame structure type 1, the primary synchronization signal shall be mapped to the last OFDM symbol in slots 0 and
10.

For frame structure type 2, the primary synchronization signal shall be mapped to the third OFDM symbol in subframes
1 and 6. Resource elements (k , l ) in the OFDM symbols used for transmission of the primary synchronization signal
where
DL RB
N RB N sc
k = n − 31 +
2
n = −5,−4,...,−1,62,63,...66

are reserved and not used for transmission of the primary synchronization signal.

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6.11.2 Secondary synchronization signal

6.11.2.1 Sequence generation

The sequence d (0),..., d (61) used for the second synchronization signal is an interleaved concatenation of two length-31
binary sequences. The concatenated sequence is scrambled with a scrambling sequence given by the primary
synchronization signal.

The combination of two length-31 sequences defining the secondary synchronization signal differs between subframe 0
and subframe 5 according to

⎧⎪s ( m0 ) (n)c0 (n ) in subframe 0

d (2n) = ⎨ 0( m )
⎪⎩s1 1 (n)c0 (n ) in subframe 5
⎧⎪s ( m1 ) (n)c1 (n )z1( m0 ) (n ) in subframe 0
d (2n + 1) = ⎨ 1( m )
⎪⎩s0 0 (n)c1 (n )z1 1 (n ) in subframe 5
(m )

where 0 ≤ n ≤ 30 . The indices m 0 and m1 are derived from the physical-layer cell-identity group N ID
(1)
according to

m0 = m′ mod 31
m1 = (m0 + ⎣m′ 31⎦ + 1) mod 31
⎢ N (1) + q′(q′ + 1) 2 ⎥
m′ = N ID
(1)
+ q (q + 1) 2 , q = ⎢ ID
30
⎣
⎥, q ′ = N ID 30
(1)
⎦
⎣⎢ ⎦⎥

where the output of the above expression is listed in Table 6.11.2.1-1.

The two sequences s0( m0 ) (n) and s1( m1 ) (n) are defined as two different cyclic shifts of the m-sequence ~
s (n) according
to

s ((n + m0 ) mod 31)

s0( m0 ) (n) = ~

1 s ((n + m ) mod 31)

s ( m1 ) (n) = ~ 1

where ~
s (i ) = 1 − 2 x(i ) , 0 ≤ i ≤ 30 , is defined by

x(i + 5) = (x(i + 2) + x(i ) )mod 2, 0 ≤ i ≤ 25

with initial conditions x(0) = 0, x(1) = 0, x(2) = 0, x(3) = 0, x(4) = 1 .

The two scrambling sequences c0 (n) and c1 (n) depend on the primary synchronization signal and are defined by two
different cyclic shifts of the m-sequence c~ (n) according to

c0 (n) = c~ ((n + N ID
( 2)
) mod 31)
~
c (n) = c ((n + N + 3) mod 31)
( 2)
1 ID

where N ID ( 2)
∈ {0,1,2} is the physical-layer identity within the physical-layer cell identity group N ID
(1)
and
~
c (i ) = 1 − 2 x(i ) , 0 ≤ i ≤ 30 , is defined by

x(i + 5) = (x(i + 3) + x(i ) )mod 2, 0 ≤ i ≤ 25

with initial conditions x(0) = 0, x(1) = 0, x(2) = 0, x(3) = 0, x(4) = 1 .

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The scrambling sequences z1( m0 ) (n) and z1( m1 ) (n) are defined by a cyclic shift of the m-sequence ~
z (n) according to

z1( m0 ) (n) = ~
z ((n + (m0 mod 8)) mod 31)

z1( m1 ) (n) = ~
z ((n + (m1 mod 8)) mod 31)

where m 0 and m1 are obtained from Table 6.11.2.1-1 and ~

z (i ) = 1 − 2 x(i ) , 0 ≤ i ≤ 30 , is defined by

x(i + 5) = (x(i + 4) + x(i + 2) + x(i + 1) + x(i ) ) mod 2, 0 ≤ i ≤ 25

with initial conditions x(0) = 0, x(1) = 0, x(2) = 0, x(3) = 0, x(4) = 1 .

(1)
Table 6.11.2.1-1: Mapping between physical-layer cell-identity group N ID and the indices m 0 and m1

(1) (1) (1) (1) (1)

N ID m0 m1 N ID m0 m1 N ID m0 m1 N ID m0 m1 N ID m0 m1
0 0 1 34 4 6 68 9 12 102 15 19 136 22 27
1 1 2 35 5 7 69 10 13 103 16 20 137 23 28
2 2 3 36 6 8 70 11 14 104 17 21 138 24 29
3 3 4 37 7 9 71 12 15 105 18 22 139 25 30
4 4 5 38 8 10 72 13 16 106 19 23 140 0 6
5 5 6 39 9 11 73 14 17 107 20 24 141 1 7
6 6 7 40 10 12 74 15 18 108 21 25 142 2 8
7 7 8 41 11 13 75 16 19 109 22 26 143 3 9
8 8 9 42 12 14 76 17 20 110 23 27 144 4 10
9 9 10 43 13 15 77 18 21 111 24 28 145 5 11
10 10 11 44 14 16 78 19 22 112 25 29 146 6 12
11 11 12 45 15 17 79 20 23 113 26 30 147 7 13
12 12 13 46 16 18 80 21 24 114 0 5 148 8 14
13 13 14 47 17 19 81 22 25 115 1 6 149 9 15
14 14 15 48 18 20 82 23 26 116 2 7 150 10 16
15 15 16 49 19 21 83 24 27 117 3 8 151 11 17
16 16 17 50 20 22 84 25 28 118 4 9 152 12 18
17 17 18 51 21 23 85 26 29 119 5 10 153 13 19
18 18 19 52 22 24 86 27 30 120 6 11 154 14 20
19 19 20 53 23 25 87 0 4 121 7 12 155 15 21
20 20 21 54 24 26 88 1 5 122 8 13 156 16 22
21 21 22 55 25 27 89 2 6 123 9 14 157 17 23
22 22 23 56 26 28 90 3 7 124 10 15 158 18 24
23 23 24 57 27 29 91 4 8 125 11 16 159 19 25
24 24 25 58 28 30 92 5 9 126 12 17 160 20 26
25 25 26 59 0 3 93 6 10 127 13 18 161 21 27
26 26 27 60 1 4 94 7 11 128 14 19 162 22 28
27 27 28 61 2 5 95 8 12 129 15 20 163 23 29
28 28 29 62 3 6 96 9 13 130 16 21 164 24 30
29 29 30 63 4 7 97 10 14 131 17 22 165 0 7
30 0 2 64 5 8 98 11 15 132 18 23 166 1 8
31 1 3 65 6 9 99 12 16 133 19 24 167 2 9
32 2 4 66 7 10 100 13 17 134 20 25 - - -
33 3 5 67 8 11 101 14 18 135 21 26 - - -

6.11.2.2 Mapping to resource elements

The mapping of the sequence to resource elements depends on the frame structure. In a subframe for frame structure
type 1 and in a half-frame for frame structure type 2, the same antenna port as for the primary synchronization signal
shall be used for the secondary synchronization signal.

The sequence d (n ) shall be mapped to resource elements according to

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a k ,l = d (n ), n = 0,...,61
DL RB
N RB N sc
k = n − 31 +
2
⎧⎪ N symb
DL
− 2 in slots 0 and 10 for frame structure type 1
l = ⎨ DL
⎪⎩ N symb − 1 in slots 1 and 11 for frame structure type 2

Resource elements (k , l ) where

DL RB
N RB N sc
k = n − 31 +
2
⎧⎪ N DL − 2 in slots 0 and 10 for frame structure type 1
l = ⎨ symb
⎪⎩ N symb − 1 in slots 1 and 11 for frame structure type 2
DL

n = −5,−4,...,−1,62,63,...66

are reserved and not used for transmission of the secondary synchronization signal.

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6.12 OFDM baseband signal generation

The time-continuous signal sl( p ) (t ) on antenna port p in OFDM symbol l in a downlink slot is defined by

DL RB
−1 ⎡N RB N sc / 2⎤
j 2πkΔf (t − N CP ,l Ts ) j 2πkΔf (t − N CP ,l Ts )
sl( p ) (t ) = ∑ a ( p( −))
k ,l
⋅e + ∑ k =1
a ( (p+)) ⋅ e
k ,l
k = − ⎣N RB
DL RB
N sc / 2⎦

for 0 ≤ t < (N CP ,l + N )× Ts where k ( − ) = k + N RB ⎣

N sc 2 and k ( + ) = k + N RB
DL RB
⎦
N sc 2 − 1 . The variable N equals
DL RB
⎣ ⎦
2048 for Δf = 15 kHz subcarrier spacing and 4096 for Δf = 7.5 kHz subcarrier spacing.

The OFDM symbols in a slot shall be transmitted in increasing order of l , starting with l = 0 , where OFDM symbol
l −1
l > 0 starts at time ∑ l ′= 0
( N CP ,l ′ + N )Ts within the slot. In case the first OFDM symbol(s) in a slot use normal cyclic
prefix and the remaining OFDM symbols use extended cyclic prefix, the starting position the OFDM symbols with
extended cyclic prefix shall be identical to those in a slot where all OFDM symbols use extended cyclic prefix. Thus
there will be a part of the time slot between the two cyclic prefix regions where the transmitted signal is not specified.

Table 6.12-1 lists the value of N CP ,l that shall be used. Note that different OFDM symbols within a slot in some cases
have different cyclic prefix lengths.

Table 6.12-1: OFDM parameters

Configuration Cyclic prefix length N CP ,l

160 for l = 0
Normal cyclic prefix Δf = 15 kHz
144 for l = 1,2,...,6
Δf = 15 kHz 512 for l = 0,1,...,5
Extended cyclic prefix
Δf = 7.5 kHz 1024 for l = 0,1,2

6.13 Modulation and upconversion

Modulation and upconversion to the carrier frequency of the complex-valued OFDM baseband signal for each antenna
port is shown in Figure 6.13-1. The filtering required prior to transmission is defined by the requirements in
3GPP TS 36.104 [6].

cos (2πf 0t )

{
Re sl( p ) (t ) }

sl( p ) (t )

{
Im sl( p ) (t ) }

− sin (2πf 0t )

Figure 6.13-1: Downlink modulation

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7 Generic functions

7.1 Modulation mapper

The modulation mapper takes binary digits, 0 or 1, as input and produces complex-valued modulation symbols, x=I+jQ,
as output.

7.1.1 BPSK
In case of BPSK modulation, a single bit, b(i ) , is mapped to a complex-valued modulation symbol x=I+jQ according to
Table 7.1.1-1.

Table 7.1.1-1: BPSK modulation mapping

b(i ) I Q
0 1 2 1 2
1 −1 2 −1 2

7.1.2 QPSK
In case of QPSK modulation, pairs of bits, b(i ), b(i + 1) , are mapped to complex-valued modulation symbols x=I+jQ
according to Table 7.1.2-1.

Table 7.1.2-1: QPSK modulation mapping

b(i ), b(i + 1) I Q
00 1 2 1 2
01 1 2 −1 2
10 −1 2 1 2
11 −1 2 −1 2

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7.1.3 16QAM
In case of 16QAM modulation, quadruplets of bits, b(i ), b(i + 1), b(i + 2), b(i + 3) , are mapped to complex-valued
modulation symbols x=I+jQ according to Table 7.1.3-1.

Table 7.1.3-1: 16QAM modulation mapping

b(i ), b(i + 1), b(i + 2), b(i + 3) I Q

0000 1 10 1 10
0001 1 10 3 10
0010 3 10 1 10
0011 3 10 3 10
0100 1 10 − 1 10
0101 1 10 −3 10
0110 3 10 − 1 10
0111 3 10 −3 10
1000 − 1 10 1 10
1001 − 1 10 3 10
1010 −3 10 1 10
1011 −3 10 3 10
1100 − 1 10 − 1 10
1101 − 1 10 −3 10
1110 −3 10 − 1 10
1111 −3 10 −3 10

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7.1.4 64QAM
In case of 64QAM modulation, hextuplets of bits, b(i ), b(i + 1), b(i + 2), b(i + 3), b(i + 4), b(i + 5) , are mapped to complex-
valued modulation symbols x=I+jQ according to Table 7.1.4-1.

Table 7.1.4-1: 64QAM modulation mapping

b (i ), b (i + 1), b (i + 2), b (i + 3), b (i + 4), b (i + 5) I Q b (i ), b (i + 1), b (i + 2), b (i + 3), b (i + 4), b (i + 5) I Q
000000 3 42 3 42 100000 −3 42 3 42
000001 3 42 1 42 100001 −3 42 1 42
000010 1 42 3 42 100010 −1 42 3 42
000011 1 42 1 42 100011 −1 42 1 42
000100 3 42 5 42 100100 −3 42 5 42
000101 3 42 7 42 100101 −3 42 7 42
000110 1 42 5 42 100110 −1 42 5 42
000111 1 42 7 42 100111 −1 42 7 42
001000 5 42 3 42 101000 −5 42 3 42
001001 5 42 1 42 101001 −5 42 1 42
001010 7 42 3 42 101010 −7 42 3 42
001011 7 42 1 42 101011 −7 42 1 42
001100 5 42 5 42 101100 −5 42 5 42
001101 5 42 7 42 101101 −5 42 7 42
001110 7 42 5 42 101110 −7 42 5 42
001111 7 42 7 42 101111 −7 42 7 42
010000 3 42 −3 42 110000 −3 42 −3 42
010001 3 42 −1 42 110001 −3 42 −1 42
010010 1 42 −3 42 110010 −1 42 −3 42
010011 1 42 −1 42 110011 −1 42 −1 42
010100 3 42 −5 42 110100 −3 42 −5 42
010101 3 42 −7 42 110101 −3 42 −7 42
010110 1 42 −5 42 110110 −1 42 −5 42
010111 1 42 −7 42 110111 −1 42 −7 42
011000 5 42 −3 42 111000 −5 42 −3 42
011001 5 42 −1 42 111001 −5 42 −1 42
011010 7 42 −3 42 111010 −7 42 −3 42
011011 7 42 −1 42 111011 −7 42 −1 42
011100 5 42 −5 42 111100 −5 42 −5 42
011101 5 42 −7 42 111101 −5 42 −7 42
011110 7 42 −5 42 111110 −7 42 −5 42
011111 7 42 −7 42 111111 −7 42 −7 42

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7.1.5 256QAM
In case of 256QAM modulation, octuplets of bits, b(i ), b(i + 1), b(i + 2), b(i + 3), b(i + 4), b(i + 5), b(i + 6), b(i + 7) , are
mapped to complex-valued modulation symbols x = (I + jQ ) 170 according to Table 7.1.5-1.

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Table 7.1.5-1: 256QAM modulation mapping

b (i ),..., b (i + 7 ) I Q b (i ),..., b (i + 7 ) I Q b (i ),..., b (i + 7 ) I Q b (i ),..., b (i + 7 ) I Q
00000000 5 5 01000000 5 -5 10000000 -5 5 11000000 -5 -5
00000001 5 7 01000001 5 -7 10000001 -5 7 11000001 -5 -7
00000010 7 5 01000010 7 -5 10000010 -7 5 11000010 -7 -5
00000011 7 7 01000011 7 -7 10000011 -7 7 11000011 -7 -7
00000100 5 3 01000100 5 -3 10000100 -5 3 11000100 -5 -3
00000101 5 1 01000101 5 -1 10000101 -5 1 11000101 -5 -1
00000110 7 3 01000110 7 -3 10000110 -7 3 11000110 -7 -3
00000111 7 1 01000111 7 -1 10000111 -7 1 11000111 -7 -1
00001000 3 5 01001000 3 -5 10001000 -3 5 11001000 -3 -5
00001001 3 7 01001001 3 -7 10001001 -3 7 11001001 -3 -7
00001010 1 5 01001010 1 -5 10001010 -1 5 11001010 -1 -5
00001011 1 7 01001011 1 -7 10001011 -1 7 11001011 -1 -7
00001100 3 3 01001100 3 -3 10001100 -3 3 11001100 -3 -3
00001101 3 1 01001101 3 -1 10001101 -3 1 11001101 -3 -1
00001110 1 3 01001110 1 -3 10001110 -1 3 11001110 -1 -3
00001111 1 1 01001111 1 -1 10001111 -1 1 11001111 -1 -1
00010000 5 11 01010000 5 -11 10010000 -5 11 11010000 -5 -11
00010001 5 9 01010001 5 -9 10010001 -5 9 11010001 -5 -9
00010010 7 11 01010010 7 -11 10010010 -7 11 11010010 -7 -11
00010011 7 9 01010011 7 -9 10010011 -7 9 11010011 -7 -9
00010100 5 13 01010100 5 -13 10010100 -5 13 11010100 -5 -13
00010101 5 15 01010101 5 -15 10010101 -5 15 11010101 -5 -15
00010110 7 13 01010110 7 -13 10010110 -7 13 11010110 -7 -13
00010111 7 15 01010111 7 -15 10010111 -7 15 11010111 -7 -15
00011000 3 11 01011000 3 -11 10011000 -3 11 11011000 -3 -11
00011001 3 9 01011001 3 -9 10011001 -3 9 11011001 -3 -9
00011010 1 11 01011010 1 -11 10011010 -1 11 11011010 -1 -11
00011011 1 9 01011011 1 -9 10011011 -1 9 11011011 -1 -9
00011100 3 13 01011100 3 -13 10011100 -3 13 11011100 -3 -13
00011101 3 15 01011101 3 -15 10011101 -3 15 11011101 -3 -15
00011110 1 13 01011110 1 -13 10011110 -1 13 11011110 -1 -13
00011111 1 15 01011111 1 -15 10011111 -1 15 11011111 -1 -15
00100000 11 5 01100000 11 -5 10100000 -11 5 11100000 -11 -5
00100001 11 7 01100001 11 -7 10100001 -11 7 11100001 -11 -7
00100010 9 5 01100010 9 -5 10100010 -9 5 11100010 -9 -5
00100011 9 7 01100011 9 -7 10100011 -9 7 11100011 -9 -7
00100100 11 3 01100100 11 -3 10100100 -11 3 11100100 -11 -3
00100101 11 1 01100101 11 -1 10100101 -11 1 11100101 -11 -1
00100110 9 3 01100110 9 -3 10100110 -9 3 11100110 -9 -3
00100111 9 1 01100111 9 -1 10100111 -9 1 11100111 -9 -1
00101000 13 5 01101000 13 -5 10101000 -13 5 11101000 -13 -5
00101001 13 7 01101001 13 -7 10101001 -13 7 11101001 -13 -7
00101010 15 5 01101010 15 -5 10101010 -15 5 11101010 -15 -5
00101011 15 7 01101011 15 -7 10101011 -15 7 11101011 -15 -7
00101100 13 3 01101100 13 -3 10101100 -13 3 11101100 -13 -3
00101101 13 1 01101101 13 -1 10101101 -13 1 11101101 -13 -1
00101110 15 3 01101110 15 -3 10101110 -15 3 11101110 -15 -3
00101111 15 1 01101111 15 -1 10101111 -15 1 11101111 -15 -1
00110000 11 11 01110000 11 -11 10110000 -11 11 11110000 -11 -11
00110001 11 9 01110001 11 -9 10110001 -11 9 11110001 -11 -9
00110010 9 11 01110010 9 -11 10110010 -9 11 11110010 -9 -11
00110011 9 9 01110011 9 -9 10110011 -9 9 11110011 -9 -9
00110100 11 13 01110100 11 -13 10110100 -11 13 11110100 -11 -13
00110101 11 15 01110101 11 -15 10110101 -11 15 11110101 -11 -15
00110110 9 13 01110110 9 -13 10110110 -9 13 11110110 -9 -13
00110111 9 15 01110111 9 -15 10110111 -9 15 11110111 -9 -15
00111000 13 11 01111000 13 -11 10111000 -13 11 11111000 -13 -11
00111001 13 9 01111001 13 -9 10111001 -13 9 11111001 -13 -9
00111010 15 11 01111010 15 -11 10111010 -15 11 11111010 -15 -11
00111011 15 9 01111011 15 -9 10111011 -15 9 11111011 -15 -9
00111100 13 13 01111100 13 -13 10111100 -13 13 11111100 -13 -13
00111101 13 15 01111101 13 -15 10111101 -13 15 11111101 -13 -15

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00111110 15 13 01111110 15 -13 10111110 -15 13 11111110 -15 -13

00111111 15 15 01111111 15 -15 10111111 -15 15 11111111 -15 -15

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7.2 Pseudo-random sequence generation

Pseudo-random sequences are defined by a length-31 Gold sequence. The output sequence c(n) of length M PN ,
where n = 0,1,..., M PN − 1 , is defined by

c(n) = ( x1 (n + N C ) + x 2 (n + N C ) ) mod 2
x1 (n + 31) = ( x1 (n + 3) + x1 (n)) mod 2
x2 (n + 31) = ( x2 (n + 3) + x2 (n + 2) + x 2 (n + 1) + x2 (n) ) mod 2

where N C = 1600 and the first m-sequence shall be initialized with x1 (0) = 1, x1 (n) = 0, n = 1,2,...,30 . The initialization

∑
30
of the second m-sequence is denoted by cinit = x (i ) ⋅ 2 i
with the value depending on the application of the
i =0 2
sequence.

8 Timing

8.1 Uplink-downlink frame timing

Transmission of the uplink radio frame number i from the UE shall start ( N TA + N TA offset ) × Ts seconds before the start
of the corresponding downlink radio frame at the UE, where 0 ≤ N TA ≤ 20512 . For frame structure type 1
N TA offset = 0 and for frame structure type 2 N TA offset = 624 unless stated otherwise in [4]. Note that not all slots in a
radio frame may be transmitted. One example hereof is TDD, where only a subset of the slots in a radio frame is
transmitted.

(N TA + N TA offset ) ⋅ Ts seconds

Figure 8.1-1: Uplink-downlink timing relation

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Annex A (informative):
Change history

Change history
Date TSG # TSG Doc. CR Rev Subject/Comment Old New
2006-09-24 - - - Draft version created - 0.0.0
2006-10-09 - - - Updated skeleton 0.0.0 0.0.1
2006-10-13 - - - Endorsed by RAN1 0.0.1 0.1.0
2006-10-23 - - - Inclusion of decision from RAN1#46bis 0.1.0 0.1.1
2006-11-06 - - - Updated editor’s version 0.1.1 0.1.2
2006-11-09 - - - Updated editor’s version 0.1.2 0.1.3
2006-11-10 - - - Endorsed by RAN1#47 0.1.3 0.2.0
2006-11-27 - - - Editor’s version, including decisions from RAN1#47 0.2.0 0.2.1
2006-12-14 - - - Updated editor’s version 0.2.1 0.2.2
2007-01-15 - - - Updated editor’s version 0.2.2 0.2.3
2007-01-19 - - - Endorsed by RAN1#47bis 0.2.3 0.3.0
2007-02-01 - - - Editor’s version, including decisions from RAN1#47bis 0.3.0 0.3.1
2007-02-12 - - - Updated editor’s version 0.3.1 0.3.2
2007-02-16 - - - Endorsed by RAN1#48 0.3.2 0.4.0
2007-02-16 - - - Editor’s version, including decisions from RAN1#48 0.4.0 0.4.1
2007-02-21 - - - Updated editor’s version 0.4.1 0.4.2
2007-03-03 RP_35 RP-070169 For information at RAN#35 0.4.2 1.0.0
Editor’s version, including decisions from RAN1#48bis and RAN1
2007-04-25 - - - 1.0.0 1.0.1
TDD Ad Hoc
2007-05-03 - - - - Updated editor’s version 1.0.1 1.0.2
2007-05-08 - - - - Updated editor’s version 1.0.2 1.0.3
2007-05-11 - - - - Updated editor’s version 1.0.3 1.0.4
2007-05-11 - - - - Endorsed by RAN1#49 1.0.4 1.1.0
2007-05-15 - - - - Editor’s version, including decisions from RAN1#49 1.1.0 1.1.1
2007-06-05 - - - - Updated editor’s version 1.1.1 1.1.2
2007-06-25 - - - - Endorsed by RAN1#49bis 1.1.2 1.2.0
2007-07-10 - - - - Editor’s version, including decisions from RAN1#49bis 1.2.0 1.2.1
2007-08-10 - - - - Updated editor’s version 1.2.1 1.2.2
2007-08-20 - - - - Updated editor’s version 1.2.2 1.2.3
2007-08-24 - - - - Endorsed by RAN1#50 1.2.3 1.3.0
2007-08-27 - - - - Editor’s version, including decisions from RAN1#50 1.3.0 1.3.1
2007-09-05 - - - - Updated editor’s version 1.3.1 1.3.2
2007-09-08 RP_37 RP-070729 - - For approval at RAN#37 1.3.2 2.0.0
12/09/07 RP_37 RP-070729 Approved version 2.0.0 8.0.0
28/11/07 RP_38 RP-070949 0001 - Introduction of optimized FS2 for TDD 8.0.0 8.1.0
Introduction of scrambling sequences, uplink reference signal
28/11/07 RP_38 RP-070949 0002 - sequences, secondary synchronization sequences and control 8.0.0 8.1.0
channel processing
Update of uplink reference-signal hopping, downlink reference
05/03/08 RP_39 RP-080219 0003 1 signals, scrambling sequences, DwPTS/UpPTS lengths for TDD and 8.1.0 8.2.0
control channel processing
Correction of the number of subcarriers in PUSCH transform
28/05/08 RP_40 RP-080432 0004 - 8.2.0 8.3.0
precoding
28/05/08 RP_40 RP-080432 0005 - Correction of PHICH mapping 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0006 - Correction of PUCCH resource index for PUCCH format 2 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0007 3 Correction of the predefined hopping pattern for PUSCH 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0008 - Non-binary hashing functions 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0009 1 PUCCH format 1 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0010 1 CR on Uplink DM RS hopping 8.2.0 8.3.0
Correction to limitation of constellation size of ACK transmission in
28/05/08 RP_40 RP-080432 0012 1 8.2.0 8.3.0
PUSCH
28/05/08 RP_40 RP-080432 0015 1 PHICH mapping for one and two antenna ports in extended CP 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0016 1 Correction of PUCCH in absent of mixed format 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0017 - Specification of CCE size and PHICH resource indication 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0018 3 Correction of the description of frame structure type 2 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0019 - On Delta^pucch_shift correction 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0021 - Corrections to Secondary Synchronization Signal Mapping 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0022 - Downlink VRB mapping to PRB for distributed transmission 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0023 - Clarification of modulation symbols to REs mapping for DVRB 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0024 1 Consideration on the scrambling of PDSCH 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0025 - Corrections to Initialization of DL RS Scrambling 8.2.0 8.3.0

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Change history
Date TSG # TSG Doc. CR Rev Subject/Comment Old New
28/05/08 RP_40 RP-080432 0026 1 CR on Downlink RS 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0027 - CR on Uplink RS 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0028 1 Fixed timing advance offset for LTE TDD and half-duplex FDD 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0029 1 Timing of random access preamble format 4 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0030 1 Uplink sounding RS bandwidth configuration 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0031 - Use of common RS when UE-specific RS are configured 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0032 1 Uplink RS Updates 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0033 - Orthogonal cover sequence for shortened PUCCH format 1a and 1b 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0034 - Clarification of PDCCH mapping 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0035 - TDD PRACH time/frequency mapping 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0036 - Cell Specific Uplink Sounding RS Subframe Configuration 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0038 - PDCCH length for carriers with mixed MBSFN and Unicast Traffic 8.2.0 8.3.0
Correction to the scrambling sequence generation for PUCCH,
28/05/08 RP_40 RP-080432 0040 - 8.2.0 8.3.0
PCFICH, PHICH, MBSFN RS and UE specific RS
28/05/08 RP_40 RP-080432 0041 - PDCCH coverage in narrow bandwidths 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0042 - Closed-Loop and Open-Loop Spatial Multiplexing 8.2.0 8.3.0
28/05/08 RP_40 RP-080432 0043 - Removal of small-delay CDD 8.2.0 8.3.0
09/09/08 RP_41 RP-080668 48 1 Frequency Shifting of UE-specific RS 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 49 1 Correction of PHICH to RE mapping in extended CP subframe 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 50 - Corrections to for handling remaining Res 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 51 - PRACH configuration for frame structure type 1 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 52 2 Correction of PUCCH index generation formula 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 53 - Orthogonal cover sequence for shortened PUCCH format 1a and 1b 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 54 - Correction of mapping of ACK/NAK to binary bit values 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 56 2 Remaining issues on SRS hopping 8.3.0 8.4.0
Correction of n_cs(n_s) and OC/CS remapping for PUCCH formats
09/09/08 RP_41 RP-080668 57 1 8.3.0 8.4.0
1/1a/1b and 2/2a/2b
Corrections to Rank information scrambling in Uplink Shared
09/09/08 RP_41 RP-080668 59 - 8.3.0 8.4.0
Channel
09/09/08 RP_41 RP-080668 60 - Definition on the slot number for frame structure type 2 8.3.0 8.4.0
Correction of the Npucch sequence upper limit for the formats
09/09/08 RP_41 RP-080668 61 - 8.3.0 8.4.0
1/1a/1b
09/09/08 RP_41 RP-080668 62 1 Clarifications for DMRS parameters 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 63 - Correction of n_prs 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 64 1 Introducing missing L1 parameters to 36.211 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 65 3 Clarification on reception of synchronization signals 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 66 - Correction to the downlink/uplink timing 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 67 - ACK/NACK Scrambling scheme on PUCCH 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 68 - DCI format1C 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 69 - Refinement for REG Definition for n = 4 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 71 - Correcting Ncs value for PRACH preamble format 0-3 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 73 - Correction of the half duplex timing advance offset value 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 74 - Correction to Precoding for Transmit Diversity 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 75 - Clarification on number of OFDM symbols used for PDCCH 8.3.0 8.4.0
09/09/08 RP_41 RP-080668 77 - Number of antenna ports for PDSCH 8.3.0 8.4.0
Correction to Type 2 PUSCH predetermined hopping for Nsb=1
09/09/08 RP_41 RP-080668 78 - 8.3.0 8.4.0
operation
09/09/08 RP_41 RP-080668 79 - PRACH frequency location 8.3.0 8.4.0
03/12/08 RP_42 RP-081074 70 1 Correction for the definition of UE-specific reference signals 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 72 2 Corrections to precoding for large delay CDD 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 80 - Correction to the definition of nbar_oc for extended CP 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 81 1 Specification of reserved REs not used for RS 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 82 2 Clarification of the random access preamble transmission timing 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 83 1 Indexing of PRACH resources within the radio frame 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 84 6 Alignment of RAN1/RAN2 specification 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 86 - Clarification on scrambling of ACK/NAK bits for PUCCH format 2a/2b 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 87 - Correction of introduction of shortened SR 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 88 - Corrections to 36.211 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 89 - Clarification on PUSCH DM RS Cyclic Shift Hopping 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 92 1 Correction to the uplink DM RS assignment 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 93 - Clarify the RNTI used in scrambling sequence initialization 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 94 1 On linkage Among UL Power Control Parameters 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 95 - Clarification on PUSCH pre-determined hopping pattern 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 96 - Clarification of SRS sequence-group and base sequence number 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 97 1 SRS subframe configuration 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 98 - Remaining SRS details for TDD 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 99 - Clarifying UL VRB Allocation 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 100 - Clarification on PUCCH resource hopping 8.4.0 8.5.0
Correction for definition of Qm and a pseudo code syntax error in
03/12/08 RP_42 RP-081074 101 - 8.4.0 8.5.0
Scrambling.

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Change history
Date TSG # TSG Doc. CR Rev Subject/Comment Old New
03/12/08 RP_42 RP-081074 105 1 Remaining Issues on SRS of TDD 8.4.0 8.5.0
Correction of reference to RAN4 specification of supported uplink
03/12/08 RP_42 RP-081074 106 - 8.4.0 8.5.0
bandwidth
03/12/08 RP_42 RP-081074 107 - General corrections to SRS 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 109 2 Correction to PCFICH specification 8.4.0 8.5.0
Correction to Layer Mapping for Transmit Diversity with Four Antenna
03/12/08 RP_42 RP-081074 110 1 8.4.0 8.5.0
Ports
Correction of the mapping of cyclic shift filed in DCI format 0 to the
03/12/08 RP_42 RP-081074 111 - 8.4.0 8.5.0
dynamic cyclic shift offset
03/12/08 RP_42 RP-081074 112 - DRS collision handling 8.4.0 8.5.0
Clarification to enable reuse of non-active PUCCH CQI RBs for
03/12/08 RP_42 RP-081074 113 - 8.4.0 8.5.0
PUSCH
03/12/08 RP_42 RP-081074 114 1 PUSCH Mirror Hopping operation 8.4.0 8.5.0
03/12/08 RP_42 RP-081074 108 1 Extended and normal cyclic prefix in DL and UL for LTE TDD 8.4.0 8.5.0
04/03/09 RP_43 RP-090234 115 1 Alignment of PRACH configuration index for FS type 1 and type 2 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 118 1 Clarification for DRS Collision handling 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 121 1 Removing inverse modulo operation 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 123 1 Clarification on the use of preamble format 4 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 124 - Clarification of RNTI used in scrambling sequence 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 125 1 Clarifying PDCCH RE mapping 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 126 - Correction of preamble format 4 timing 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 127 2 Corrections to SRS 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 128 2 Clarification of PDSCH Mapping to Resource Elements 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 129 1 Alignment with correct ASN1 parameter names 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 130 - Correction to PUCCH format 1 mapping to physical resources 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 132 - Correction to type-2 PUSCH hopping 8.5.0 8.6.0
04/03/09 RP_43 RP-090234 134 - Alignment of SRS configuration 8.5.0 8.6.0
27/05/09 RP_44 RP-090527 135 - Correction on UE behavior for PRACH 20ms periodicity 8.6.0 8.7.0
15/09/09 RP_45 RP-090888 137 1 Clarification on DMRS sequence for PUSCH 8.7.0 8.8.0
138 1 Correction to PHICH resource mapping for TDD and to PHICH
15/09/09 RP_45 RP-090888 8.7.0 8.8.0
scrambling
01/12/09 RP_46 RP-091168 142 - Clarification of the transmit condition for UE specific reference signals 8.8.0 8.9.0
01/12/09 RP_46 RP-091172 139 2 Introduction of LTE positioning 8.9.0 9.0.0
01/12/09 RP_46 RP-091177 140 3 Editorial corrections to 36.211 8.9.0 9.0.0
01/12/09 RP_46 RP-091257 141 1 Introduction of enhanced dual layer transmission 8.9.0 9.0.0
16/03/10 RP_47 RP-100209 144 1 Removal of square brackets on positioning subframe periodicities 9.0.0 9.1.0
145 - Clarification of the CP length of empty OFDM symbols in PRS
16/03/10 RP_47 RP-100209 9.0.0 9.1.0
subframes
16/03/10 RP_47 RP-100210 146 - Clarification of MBSFN subframe definition 9.0.0 9.1.0
07/12/10 RP_50 RP-101320 148 - Introduction of Rel-10 LTE-Advanced features in 36.211 9.1.0 10.0.0
15/03/11 RP_51 RP-110254 149 1 Correction on UE behavior for PRACH preamble format 4 10.0.0 10.1.0
15/03/11 RP_51 RP-110256 150 - Corrections to Rel-10 LTE-Advanced features in 36.211 10.0.0 10.1.0
01/06/11 RP_52 RP-110818 153 2 PUSCH interaction with periodic SRS 10.1.0 10.2.0
01/06/11 RP_52 RP-110819 154 1 Correction on describing PUCCH format 3 10.1.0 10.2.0
155 3 Correction on codebooks for CSI-RS based feedback for up to 4 CSI-
01/06/11 RP_52 RP-110821 10.1.0 10.2.0
RS ports.
156 - Correction on overlapping non-zero-power and zero-power CSI-RS
01/06/11 RP_52 RP-110821 10.1.0 10.2.0
configurations
01/06/11 RP_52 RP-110821 157 - Correction on CSI-RS configuration 10.1.0 10.2.0
01/06/11 RP_52 RP-110821 158 - PDSCH transmission in MBSFN subframes 10.1.0 10.2.0
159 - Correction on implicit derivation of transmission comb per antenna
01/06/11 RP_52 RP-110823 10.1.0 10.2.0
port for SRS
01/06/11 RP_52 RP-110823 160 - Uplink DMRS sequence in RACH procedure 10.1.0 10.2.0
15/09/11 RP_53 RP-111229 162 - Corrections on DMRS for Extended CP 10.2.0 10.3.0
Clarification of applicability of precoding power scaling factors for
15/09/11 RP_53 RP-111228 163 - 10.2.0 10.3.0
PDSCH
15/09/11 RP_53 RP-111228 164 - Correction to modulation and upconversion on PRACH 10.2.0 10.3.0
15/09/11 RP_53 RP-111229 165 - Clarification on cyclic prefix of PDSCH in MBSFN subframes 10.2.0 10.3.0
Corrections on indication in scrambling identity field in DCI format 2B
15/09/11 RP_53 RP-111229 166 3 10.2.0 10.3.0
and 2C
05/12/11 RP_54 RP-111668 167 - A correction to PDSCH precoding for CQI calculation 10.3.0 10.4.0
05/12/11 RP_54 RP-111668 168 - Correction to figure of CSI-RS pattern in extended-CP subframe 10.3.0 10.4.0
13/06/12 RP_56 RP-120736 169 - Correction to resource mapping for PDSCH 10.4.0 10.5.0
13/06/12 RP_56 RP-120739 171 - Correction for DMRS group hopping and sequence hopping 10.4.0 10.5.0
Correction to assumed CSI-RS transmissions in subframes used for
13/06/12 RP_56 RP-120738 172 - 10.4.0 10.5.0
paging
04/09/12 RP_57 RP-121274 170 4 Introduction of an additional special subframe configuration 10.5.0 11.0.0
04/09/12 RP_57 RP-121272 173 - Inclusion of Rel-11 features 10.5.0 11.0.0
04/12/12 RP_58 RP-121839 175 - Correction to assumed CSI-RS transmissions in secondary cells 11.0.0 11.1.0
04/12/12 RP_58 RP-121846 176 - Correction to assumed CSI-RS transmissions in secondary cells 11.0.0 11.1.0

ETSI
3GPP TS 36.211 version 12.3.0 Release 12 124 ETSI TS 136 211 V12.3.0 (2014-10)

Change history
Date TSG # TSG Doc. CR Rev Subject/Comment Old New
26/02/13 RP_59 RP-130254 178 - Clarification of CSI RS mapping to resource elements 11.1.0 11.2.0
26/02/13 RP_59 RP-130254 180 - Correction to CSI Reference Signals 11.1.0 11.2.0
26/02/13 RP_59 RP-130255 181 - Additional clarifications/corrections for introducing Rel-11 features 11.1.0 11.2.0
11/06/13 RP_60 RP-130752 182 - Correction to EPDCCH PRB pair indication 11.2.0 11.3.0
11/06/13 RP_60 RP-130752 183 - CR on collision between EPDCCH and PSS/SSS/PBCH 11.2.0 11.3.0
03/09/13 MCC clean-up 11.3.0 11.4.0
03/09/13 RP_60 RP-131250 185 - Correction to QCL behaviour on CRS 11.3.0 11.4.0
03/12/13 RP_62 RP-131894 186 - Correction on the derivation of the non-MBSFN region by PCFICH 11.4.0 11.5.0
03/12/13 RP_62 RP-131896 184 3 Introduction of Rel 12 feature for Downlink MIMO Enhancement 11.5.0 12.0.0
03/03/14 RP_63 RP-140286 187 - On PMCH starting symbol in an MBSFN subframe 12.0.0 12.1.0
10/06/14 RP_64 RP-140858 189 - CR on antenna port definitions 12.1.0 12.2.0
10/06/14 RP_64 RP-140858 190 1 Clarification of downlink subframes 12.1.0 12.2.0
10/06/14 RP_64 RP-140862 191 - Inclusion of eIMTA, TDD-FDD CA, and coverage enhancements 12.1.0 12.2.0
10/09/14 RP_65 RP-141485 192 - Inclusion of low-cost MTC and 256QAM 12.2.0 12.3.0
CR on port 5 UE-specific reference signal when PDSCH is
10/09/14 RP_65 RP-141477 194 - 12.2.0 12.3.0
overlapped with EPDCCH

ETSI
3GPP TS 36.211 version 12.3.0 Release 12 125 ETSI TS 136 211 V12.3.0 (2014-10)

History
Document history
V12.3.0 October 2014 Publication

ETSI