ETSI TS 138 211 V15.6.0 (2019-07)

5G; NR; Physical channels and modulation (3GPP TS 38.211 version 15.6.0 Release 15)

RTS/TSGR-0138211vf60

General Information

• Status: Published
• Publication Date: 25-Jul-2019
• Technical Committee: 3GPP RAN 1 - Radio layer 1 specification
• Current Stage: 12 - Completion
• Completion Date: 26-Jul-2019

Standards Content (Sample)

TECHNICAL SPECIFICATION
5G;
NR;
Physical channels and modulation
(3GPP TS 38.211 version 15.6.0 Release 15)

3GPP TS 38.211 version 15.6.0 Release 15 1 ETSI TS 138 211 V15.6.0 (2019-07)

Reference
RTS/TSGR-0138211vf60
Keywords
5G
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3GPP TS 38.211 version 15.6.0 Release 15 2 ETSI TS 138 211 V15.6.0 (2019-07)
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ETSI
3GPP TS 38.211 version 15.6.0 Release 15 3 ETSI TS 138 211 V15.6.0 (2019-07)
Contents
Intellectual Property Rights . 2
Legal Notice . 2
Modal verbs terminology . 2
Foreword . 6
1 Scope . 7
2 References . 7
3 Definitions, symbols and abbreviations . 7
3.1 Definitions . 7
3.2 Symbols . 7
3.3 Abbreviations . 8
4 Frame structure and physical resources . 9
4.1 General . 9
4.2 Numerologies . 9
4.3 Frame structure . 10
4.3.1 Frames and subframes . 10
4.3.2 Slots . 10
4.4 Physical resources . 11
4.4.1 Antenna ports . 11
4.4.2 Resource grid . 11
4.4.3 Resource elements . 12
4.4.4 Resource blocks . 12
4.4.4.1 General . 12
4.4.4.2 Point A . 12
4.4.4.3 Common resource blocks . 12
4.4.4.4 Physical resource blocks . 13
4.4.4.5 Virtual resource blocks . 13
4.4.5 Bandwidth part . 13
4.5 Carrier aggregation . 13
5 Generic functions . 13
5.1 Modulation mapper . 13
5.1.1 π/2-BPSK . 14
5.1.2 BPSK . 14
5.1.3 QPSK . 14
5.1.4 16QAM . 14
5.1.5 64QAM . 14
5.1.6 256QAM . 14
5.2 Sequence generation . 15
5.2.1 Pseudo-random sequence generation . 15
5.2.2 Low-PAPR sequence generation . 15
5.2.2.1 Base sequences of length 36 or larger . 15
5.2.2.2 Base sequences of length less than 36 . 15
5.3 OFDM baseband signal generation . 19
5.3.1 OFDM baseband signal generation for all channels except PRACH . 19
5.3.2 OFDM baseband signal generation for PRACH . 20
5.4 Modulation and upconversion . 21
6 Uplink . 22
6.1 Overview . 22
6.1.1 Overview of physical channels . 22
6.1.2 Overview of physical signals . 22
6.2 Physical resources . 22
6.3 Physical channels . 23
6.3.1 Physical uplink shared channel . 23
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6.3.1.1 Scrambling . 23
6.3.1.2 Modulation . 23
6.3.1.3 Layer mapping . 24
6.3.1.4 Transform precoding . 24
6.3.1.5 Precoding . 25
6.3.1.6 Mapping to virtual resource blocks . 28
6.3.1.7 Mapping from virtual to physical resource blocks . 28
6.3.2 Physical uplink control channel . 28
6.3.2.1 General . 28
6.3.2.2 Sequence and cyclic shift hopping . 29
6.3.2.2.1 Group and sequence hopping . 29
6.3.2.2.2 Cyclic shift hopping . 30
6.3.2.3 PUCCH format 0 . 30
6.3.2.3.1 Sequence generation . 30
6.3.2.3.2 Mapping to physical resources . 30
6.3.2.4 PUCCH format 1 . 31
6.3.2.4.1 Sequence modulation . 31
6.3.2.4.2 Mapping to physical resources . 32
6.3.2.5 PUCCH format 2 . 32
6.3.2.5.1 Scrambling . 32
6.3.2.5.2 Modulation . 32
6.3.2.5.3 Mapping to physical resources . 32
6.3.2.6 PUCCH formats 3 and 4 . 33
6.3.2.6.1 Scrambling . 33
6.3.2.6.2 Modulation . 33
6.3.2.6.3 Block-wise spreading . 33
6.3.2.6.4 Transform precoding . 34
6.3.2.6.5 Mapping to physical resources . 34
6.3.3 Physical random-access channel . 35
6.3.3.1 Sequence generation. 35
6.3.3.2 Mapping to physical resources . 40
6.4 Physical signals . 59
6.4.1 Reference signals . 59
6.4.1.1 Demodulation reference signal for PUSCH . 59
6.4.1.1.1 Sequence generation . 59
6.4.1.1.2 (void) . 60
6.4.1.1.3 Precoding and mapping to physical resources . 60
6.4.1.2 Phase-tracking reference signals for PUSCH . 64
6.4.1.2.1 Sequence generation . 64
6.4.1.2.1.1 Sequence generation if transform precoding is not enabled . 64
6.4.1.2.1.2 Sequence generation if transform precoding is enabled . 65
6.4.1.2.2 Mapping to physical resources . 65
6.4.1.2.2.1 Precoding and mapping to physical resources if transform precoding is not enabled. 65
6.4.1.2.2.2 Mapping to physical resources if transform precoding is enabled . 67
6.4.1.3 Demodulation reference signal for PUCCH . 68
6.4.1.3.1 Demodulation reference signal for PUCCH format 1 . 68
6.4.1.3.1.1 Sequence generation . 68
6.4.1.3.1.2 Mapping to physical resources . 69
6.4.1.3.2 Demodulation reference signal for PUCCH format 2 . 69
6.4.1.3.2.1 Sequence generation . 69
6.4.1.3.2.2 Mapping to physical resources . 69
6.4.1.3.3 Demodulation reference signal for PUCCH formats 3 and 4 . 70
6.4.1.3.3.1 Sequence generation . 70
6.4.1.3.3.2 Mapping to physical resources . 70
6.4.1.4 Sounding reference signal . 71
6.4.1.4.1 SRS resource . 71
6.4.1.4.2 Sequence generation . 71
6.4.1.4.3 Mapping to physical resources . 72
6.4.1.4.4 Sounding reference signal slot configuration . 76
7 Downlink . 76
7.1 Overview . 76
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7.1.1 Overview of physical channels . 76
7.1.2 Overview of physical signals . 76
7.2 Physical resources . 76
7.3 Physical channels . 77
7.3.1 Physical downlink shared channel . 77
7.3.1.1 Scrambling . 77
7.3.1.2 Modulation . 77
7.3.1.3 Layer mapping . 77
7.3.1.4 Antenna port mapping . 78
7.3.1.5 Mapping to virtual resource blocks . 79
7.3.1.6 Mapping from virtual to physical resource blocks . 79
7.3.2 Physical downlink control channel (PDCCH) . 81
7.3.2.1 Control-channel element (CCE) . 81
7.3.2.2 Control-resource set (CORESET) . 81
7.3.2.3 Scrambling . 82
7.3.2.4 PDCCH modulation . 83
7.3.2.5 Mapping to physical resources . 83
7.3.3 Physical broadcast channel . 83
7.3.3.1 Scrambling . 83
7.3.3.2 Modulation . 83
7.3.3.3 Mapping to physical resources . 83
7.4 Physical signals . 83
7.4.1 Reference signals . 83
7.4.1.1 Demodulation reference signals for PDSCH . 83
7.4.1.1.1 Sequence generation . 83
7.4.1.1.2 Mapping to physical resources . 84
7.4.1.2 Phase-tracking reference signals for PDSCH . 87
7.4.1.2.1 Sequence generation . 87
7.4.1.2.2 Mapping to physical resources . 87
7.4.1.3 Demodulation reference signals for PDCCH . 89
7.4.1.3.1 Sequence generation . 89
7.4.1.3.2 Mapping to physical resources . 89
7.4.1.4 Demodulation reference signals for PBCH . 90
7.4.1.4.1 Sequence generation . 90
7.4.1.4.2 Mapping to physical resources . 90
7.4.1.5 CSI reference signals. 90
7.4.1.5.1 General . 90
7.4.1.5.2 Sequence generation . 90
7.4.1.5.3 Mapping to physical resources . 91
7.4.2 Synchronization signals . 94
7.4.2.1 Physical-layer cell identities. 94
7.4.2.2 Primary synchronization signal . 94
7.4.2.2.1 Sequence generation . 94
7.4.2.2.2 Mapping to physical resources . 94
7.4.2.3 Secondary synchronization signal . 95
7.4.2.3.1 Sequence generation . 95
7.4.2.3.2 Mapping to physical resources . 95
7.4.3 SS/PBCH block . 95
7.4.3.1 Time-frequency structure of an SS/PBCH block . 95
7.4.3.1.1 Mapping of PSS within an SS/PBCH block . 96
7.4.3.1.2 Mapping of SSS within an SS/PBCH block . 96
7.4.3.1.3 Mapping of PBCH and DM-RS within an SS/PBCH block . 96
7.4.3.2 Time location of an SS/PBCH block . 97
Annex A: Change history . 98
History . 99

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3GPP TS 38.211 version 15.6.0 Release 15 6 ETSI TS 138 211 V15.6.0 (2019-07)
Foreword
rd
This Technical Specification has been produced by the 3 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 38.211 version 15.6.0 Release 15 7 ETSI TS 138 211 V15.6.0 (2019-07)
1 Scope
The present document describes the physical channels and signals for 5G-NR.
2 References
The following documents contain provisions which, through reference in this text, constitute provisions of the present
document.
[1] 3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
[2] 3GPP TS 38.201: "NR; Physical Layer – General Description"
[3] 3GPP TS 38.202: "NR; Services provided by the physical layer"
[4] 3GPP TS 38.212: "NR; Multiplexing and channel coding"
[5] 3GPP TS 38.213: "NR; Physical layer procedures for control "
[6] 3GPP TS 38.214: "NR; Physical layer procedures for data "
[7] 3GPP TS 38.215: "NR; Physical layer measurements"
[8] 3GPP TS 38.104: "NR; Base Station (BS) radio transmission and reception"
[9] void
[10] 3GPP TS 38.306: "NR; User Equipment (UE) radio access capabilities"

3 Definitions, symbols and abbreviations
3.1 Definitions
For the purposes of the present document, the following definitions apply:
3.2 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 for antenna port
p,μ
and subcarrier spacing configuration ; see clause 4.4.3
( p,μ )
a Value of resource element (k, l) for antenna port and subcarrier spacing configuration ; see
k,l
clause 4.4.3
β Amplitude scaling for a physical channel/signal
c(n) PN sequence; see clause 5.2.1
Δf Subcarrier spacing
Δf Subcarrier spacing for random-access preambles
RA
The ratio between T and T ; see clause 4.1
s c
k Subcarrier index relative to a reference
l OFDM symbol index relative to a reference

Subcarrier spacing configuration, Δ=2 ∙ 15 [ ]
()
Number of coded bits to transmit on a physical channel [for codeword ]
bit
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()
Number of modulation symbols to transmit on a physical channel [for codeword ]
symb
layer
Number of modulation symbols to transmit per layer for a physical channel
symb
PUSCH
Scheduled bandwidth for uplink transmission, expressed as a number of subcarriers
sc
PUSCH
Scheduled bandwidth for uplink transmission, expressed as a number of resource blocks
RB
ap
Number of modulation symbols to transmit per antenna port for a physical channel
symb
υ Number of transmission layers
size
Size of bandwidth part i ; see clause 4.4.4.4
BW P,
start
i Start of bandwidth part ; see clause 4.4.4.4
BW P,
Cyclic prefix length; see clause 5.3.1
CP,
size,
The size of the resource grid; see clauses 4.4.2 and 5.3
grid,
start,
The start of the resource grid; see clause 4.4.2
grid,
PT-RS
The number of PT-RS groups; see clause 6.3.1.4
group
cell
Physical layer cell identity; see clause 7.4.2.1
ID
CORESET
Frequency-domain size of a control resource set; see clause 7.3.2.2
RB
CORESET
Number of resource-element groups in a CORESET; see clause 7.3.2.2
REG
group
Number of samples per PT-RS group; see clause 6.3.1.4
sam p
RB
Number of subcarriers per resource block, see clause 4.4.4.1
sc
subframe,
Number of slots per subframe for subcarrier spacing configuration , see clause 4.3.2
slot
frame,
Number of slots per frame for subcarrier spacing configuration , see clause 4.3.2
slot
CORESET
Time duration of a control resource set; see clause 7.3.2.2
symb
PUCCH
Length of the PUCCH transmission in OFDM symbols; see clause 6.3.2.1
symb
subframe,
Number of OFDM symbols per subframe for subcarrier spacing configuration ; see clause 4.3.1
symb
slot
Number of symbols per slot
symb
Timing advance between downlink and uplink; see clause 4.3.1
TA
A fixed offset used to calculate the timing advance; see clause 4.3.1
TA,offset
Minimum time from reception to transmission for a half-duplex UE; see clause 4.3.2
Rx-T x
System frame number (SFN)
f
Common resource block number for subcarrier spacing configuration , see clause 4.4.4.3
CRB
Physical resource block number; see clause 4.4.4.4
PRB
Radio network temporary identifier
RNT I
Slot number within a subframe for subcarrier spacing configuration ; see clause 4.3.2
s
Slot number within a frame for subcarrier spacing configuration ; see clause 4.3.2
s,f
Antenna port number
Q Modulation order
m
ρ Number of antenna ports
̅() Low-PAPR base sequence; see clause 5.2.2 ,
(,)
() Low-PAPR sequence; see clause 5.2.2
,
,
() The time-continuous signal on antenna port and subcarrier spacing configuration for OFDM

symbol l in a subframe; see clause 5.3.1
T Basic time unit for NR; see clause 4.1
c
T Radio frame duration; see clause 4.3.1
f
T Basic time unit for LTE
s
T Subframe duration; see clause 4.3.1
sf
T Slot duration; see clause 4.3.2
slot
T Timing advance between downlink and uplink; see clause 4.3.1
TA
W Precoding matrix for spatial multiplexing

3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
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3GPP TS 38.211 version 15.6.0 Release 15 9 ETSI TS 138 211 V15.6.0 (2019-07)
BWP Bandwidth part
CCE Control channel element
CORESET Control resource set
CRB Common resource block
CSI Channel-state information
CSI-RS CSI reference signal
DCI Downlink Control Information
DM-RS Demodulation reference signal
FR1 Frequency range 1 as defined in [8, TS 38.104]
FR2 Frequency range 2 as defined in [8, TS 38.104]
IE Information element
PBCH Physical broadcast channel
PDCCH Physical downlink control channel
PDSCH Physical downlink shared channel
PRACH Physical random-access channel
PRB Physical resource block
PSS Primary synchronization signal
PT-RS Phase-tracking reference signal
PUCCH Physical uplink control channel
PUSCH Physical uplink shared channel
REG Resource-element group
SRS Sounding reference signal
SSS Secondary synchronization signal
VRB Virtual resource block
4 Frame structure and physical resources
4.1 General
Throughout this specification, unless otherwise noted, the size of various fields in the time domain is expressed in time

()
units T =1 Δf ⋅ N where Δ= 480 ∙ 10 Hz and N = 4096. The constant κ = T T = 64 where
c max f max f s c
T = 1 (Δf ⋅ N ), Δf =15⋅10 Hz and .
N = 2048
s ref f,ref ref f,ref
4.2 Numerologies
Multiple OFDM numerologies are supported as given by Table 4.2-1 where and the cyclic prefix for a bandwidth part
are obtained from the higher-layer parameter subcarrierSpacing and cyclicPrefix, respectively.

Table 4.2-1: Supported transmission numerologies.
μ
μ
Δf = 2 ⋅15 [kHz] Cyclic prefix
0 15 Normal
1 30 Normal
2 60 Normal, Extended
3 120 Normal
4 240 Normal
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4.3 Frame structure
4.3.1 Frames and subframes
()
Downlink and uplink transmissions are organized into frames with T = Δf N 100 ⋅T =10 ms duration, each
f max f c
()
consisting of ten subframes of T = Δf N 1000 ⋅T =1 ms duration. The number of consecutive OFDM symbols
sf max f c
subframe ,subframe ,slot
per subframe is =. Each frame is divided into two equally-sized half-frames of five
symb symb slot
subframes each with half-frame 0 consisting of subframes 0 – 4 and half-frame 1 consisting of subframes 5 – 9.
There is one set of frames in the uplink and one set of frames in the downlink on a carrier.
Uplink frame number i for transmission from the UE shall start T = (N + N )T before the start of the
TA TA TA,offset c
corresponding downlink frame at the UE where N is given by [5, TS 38.213].
TA,offset
Downlink frame i
Uplink frame i
Figure 4.3.1-1: Uplink-downlink timing relation.
4.3.2 Slots
subframe ,
μ
For subcarrier spacing configuration , slots are numbered ∈0, … ,−1 in increasing order within a
s
slot
frame ,slot
subframe and ∈0, … ,−1 in increasing order within a frame. There are N consecutive OFDM
s,f slot symb
slot
N
symbols in a slot where depends on the cyclic prefix as given by Tables 4.3.2-1 and 4.3.2-2. The start of slot
symb s
μ slot
in a subframe is aligned in time with the start of OFDM symbol n N in the same subframe.
s symb
OFDM symbols in a slot can be classified as 'downlink', 'flexible', or 'uplink'. Signaling of slot formats is described in
subclause 11.1 of [5, TS 38.213].
In a slot in a downlink frame, the UE shall assume that downlink transmissions only occur in 'downlink' or 'flexible'
symbols.
In a slot in an uplink frame, the UE shall only transmit in 'uplink' or 'flexible' symbols.
A UE not capable of full-duplex communication and not supporting simultaneous transmission and reception as defined
by paremeter simultaneousRxTxInterBandENDC, simultaneousRxTxInterBandCA or simultaneousRxTxSUL [10, TS
38.306] among all cells within a group of cells is not expected to transmit in the uplink in one cell within the group of
cells earlier than after the end of the last received downlink symbol in the same or different cell within the
Rx-T x c
is given by Table 4.3.2-3.
group of cells where
Rx-T x
A UE not capable of full-duplex communication and not supporting simultaneous transmission and reception as defined
by parameter simultaneousRxTxInterBandENDC, simultaneousRxTxInterBandCA or simultaneousRxTxSUL [10, TS
38.306] among all cells within a group of cells is not expected to receive in the downlink in one cell within the group of
cells earlier than after the end of the last transmitted uplink symbol in the same or different cell within the
Tx- Rx c
group of cells where is given by Table 4.3.2-3.
Tx- Rx
A UE not capable of full-duplex communication is not expected to transmit in the uplink earlier than after the
Rx-Tx c
end of the last received downlink symbol in the same cell where is given by Table 4.3.2-3.
Rx-Tx
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A UE not capable of full-duplex communication is not expected to receive in the downlink earlier than after
Tx-Rx c
the end of the last transmitted uplink symbol in the same cell where is given by Table 4.3.2-3.
Tx-Rx
Table 4.3.2-1: Number of OFDM symbols per slot, slots per frame, and slots per subframe for normal
cyclic prefix.
frame,subframe,slot
symb
slot slot
0 14 10 1
1 14 20 2
2 14 40 4
3 14 80 8
4 14 160 16
Table 4.3.2-2: Number of OFDM symbols per slot, slots per frame, and slots per subframe for
extended cyclic prefix.
slot frame,subframe,
symb
slot slot
2 12 40 4
Table 4.3.2-3: Transition time and
Rx-Tx Tx-Rx
Transition time FR1 FR2
25600 13792
Tx-Rx
25600 13792
Rx-Tx
4.4 Physical resources
4.4.1 Antenna ports
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 DM-RS associated with a PDSCH, the channel over which a PDSCH symbol on one antenna port is conveyed can
be inferred from the channel over which a DM-RS symbol on the same antenna port is conveyed only if the two
symbols are within the same resource as the scheduled PDSCH, in the same slot, and in the same PRG as described in
clause 5.1.2.3 of [6, TS 38.214].
For DM-RS associated with a PDCCH, the channel over which a PDCCH symbol on one antenna port is conveyed can
be inferred from the channel over which a DM-RS symbol on the same antenna port is conveyed only if the two
symbols are within resources for which the UE may assume the same precoding being used as described in clause
7.3.2.2.
For DM-RS associated with a PBCH, the channel over which a PBCH symbol on one antenna port is conveyed can be
inferred from the channel over which a DM-RS symbol on the same antenna port is conveyed only if the two symbols
are within a SS/PBCH block transmitted within the same slot, and with the same block index according to clause
7.4.3.1.
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,
average delay, and spatial Rx parameters.
4.4.2 Resource grid
size,μ RB subframe ,
For each numerology and carrier, a resource grid of N N subcarriers and OFDM symbols is defined,
grid, x sc sym
...