3GPP TS 36.211 V10.1.0 (2011-03)
`
`Technical Specification
`
`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`Evolved Universal Terrestrial Radio Access (E-UTRA);
`Physical Channels and Modulation
`(Release 10)
`
`
`
`
`
`
`
`The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP.
`
`
`The present document has not been subject to any approval process by the 3GPP Organizational Partners and shall not be implemented.
`
`This Specification is provided for future development work within 3GPP only. The Organizational Partners accept no liability for any use of this Specification.
`Specifications and reports for implementation of the 3GPP TM system should be obtained via the 3GPP Organizational Partners' Publications Offices.
`
`Ericsson Exhibit 1007
`Page 1
`ERICSSON v. ETRI
`
`

`

`
`Release 10
`
`2
`
`3GPP TS 36.211 V10.1.0 (2011-03)
`
`
`
`
`
`
`
`
`
`Keywords
`UMTS, radio, layer 1
`
`3GPP
`
`Postal address
`
`
`3GPP support office address
`650 Route des Lucioles - Sophia Antipolis
`Valbonne - FRANCE
`Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
`
`Internet
`http://www.3gpp.org
`
`Copyright Notification
`
`No part may be reproduced except as authorized by written permission.
`The copyright and the foregoing restriction extend to reproduction in all media.
`
`© 2011, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TTA, TTC).
`All rights reserved.
`
`UMTS™ is a Trade Mark of ETSI registered for the benefit of its members
`3GPP™ is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners
`LTE™ is a Trade Mark of ETSI currently being registered for the benefit of its Members and of the 3GPP Organizational Partners
`GSM® and the GSM logo are registered and owned by the GSM Association
`
`3GPP
`
`Ericsson Exhibit 1007
`Page 2
`ERICSSON v. ETRI
`
`

`

`
`Release 10
`
`3
`
`3GPP TS 36.211 V10.1.0 (2011-03)
`
`Contents
`
`Foreword ............................................................................................................................................................ 6
`1
` Scope ....................................................................................................................................................... 7
`2
`References ................................................................................................................................................ 7
`3
`Definitions, symbols and abbreviations ................................................................................................... 7
`3.1
`Symbols ................................................................................................................................................................. 7
`3.2
`Abbreviations ........................................................................................................................................................ 9
`4
`Frame structure ......................................................................................................................................... 9
`4.1
`Frame structure type 1 ........................................................................................................................................ 10
`4.2
`Frame structure type 2 ........................................................................................................................................ 10
`5
`Uplink ..................................................................................................................................................... 11
`5.1
`Overview ............................................................................................................................................................. 11
`5.1.1
`Physical channels .......................................................................................................................................... 12
`5.1.2
`Physical signals ............................................................................................................................................. 12
`5.2
`Slot structure and physical resources .................................................................................................................. 12
`5.2.1
`Resource grid ................................................................................................................................................. 12
`5.2.2
`Resource elements ......................................................................................................................................... 14
`5.2.3
`Resource blocks ............................................................................................................................................. 14
`5.3
`Physical uplink shared channel ........................................................................................................................... 14
`5.3.1
`Scrambling ..................................................................................................................................................... 15
`5.3.2
`Modulation .................................................................................................................................................... 15
`5.3.2A
`Layer mapping ............................................................................................................................................... 16
`5.3.2A.1
`Layer mapping for transmission on a single antenna port ...................................................................... 16
`5.3.2A.2
`Layer mapping for spatial multiplexing .................................................................................................. 16
`5.3.3
`Transform precoding ..................................................................................................................................... 16
`5.3.3A
`Precoding ....................................................................................................................................................... 17
`5.3.3A.1
`Precoding for transmission on a single antenna port .............................................................................. 17
`5.3.3A.2
`Precoding for spatial multiplexing .......................................................................................................... 17
`5.3.4
`Mapping to physical resources ...................................................................................................................... 20
`5.4
`Physical uplink control channel .......................................................................................................................... 21
`5.4.1
`PUCCH formats 1, 1a and 1b ........................................................................................................................ 22
`5.4.2
`PUCCH formats 2, 2a and 2b ........................................................................................................................ 24
`5.4.2A
`PUCCH format 3 ........................................................................................................................................... 25
`5.4.3
`Mapping to physical resources ...................................................................................................................... 26
`5.5
`Reference signals ................................................................................................................................................ 27
`5.5.1
`Generation of the reference signal sequence ................................................................................................ 28
`5.5.1.1
` or larger .............................................................................................. 28
`RB
`3N
`Base sequences of length
`sc
`5.5.1.2
` .............................................................................................. 28
`RB
`3N
`Base sequences of length less than
`sc
`5.5.1.3
`Group hopping ......................................................................................................................................... 30
`5.5.1.4
`Sequence hopping .................................................................................................................................... 31
`5.5.2
`Demodulation reference signal ..................................................................................................................... 31
`5.5.2.1
`Demodulation reference signal for PUSCH ............................................................................................ 31
`5.5.2.1.1
`Reference signal sequence ................................................................................................................. 31
`5.5.2.1.2
`Mapping to physical resources .......................................................................................................... 33
`5.5.2.2
`Demodulation reference signal for PUCCH ........................................................................................... 33
`5.5.2.2.1
`Reference signal sequence ................................................................................................................. 33
`5.5.2.2.2
`Mapping to physical resources .......................................................................................................... 35
`5.5.3
`Sounding reference signal ............................................................................................................................. 35
`5.5.3.1
`Sequence generation ................................................................................................................................ 35
`5.5.3.2
`Mapping to physical resources ................................................................................................................ 35
`5.5.3.3
`Sounding reference signal subframe configuration ................................................................................ 39
`5.6
`SC-FDMA baseband signal generation .............................................................................................................. 39
`5.7
`Physical random access channel ......................................................................................................................... 40
`5.7.1
`Time and frequency structure ....................................................................................................................... 40
`
`3GPP
`
`Ericsson Exhibit 1007
`Page 3
`ERICSSON v. ETRI
`
`

`

`
`Release 10
`
`4
`
`3GPP TS 36.211 V10.1.0 (2011-03)
`
`5.7.2
`5.7.3
`5.8
`6
`6.1
`6.1.1
`6.1.2
`6.2
`6.2.1
`6.2.2
`6.2.3
`6.2.3.1
`6.2.3.2
`6.2.4
`6.2.5
`6.2.6
`6.3
`6.3.1
`6.3.2
`6.3.3
`6.3.3.1
`6.3.3.2
`6.3.3.3
`6.3.4
`6.3.4.1
`6.3.4.2
`6.3.4.2.1
`6.3.4.2.2
`6.3.4.2.3
`6.3.4.3
`6.3.4.4
`6.3.5
`6.4
`6.5
`6.6
`6.6.1
`6.6.2
`6.6.3
`6.6.4
`6.7
`6.7.1
`6.7.2
`6.7.3
`6.7.4
`6.8
`6.8.1
`6.8.2
`6.8.3
`6.8.4
`6.8.5
`6.9
`6.9.1
`6.9.2
`6.9.3
`6.10
`6.10.1
`6.10.1.1
`6.10.1.2
`6.10.2
`6.10.2.1
`6.10.2.2
`
`Preamble sequence generation ...................................................................................................................... 46
`Baseband signal generation ........................................................................................................................... 49
`Modulation and upconversion ............................................................................................................................ 49
`Downlink ................................................................................................................................................ 50
`Overview ............................................................................................................................................................. 50
`Physical channels .......................................................................................................................................... 50
`Physical signals ............................................................................................................................................. 50
`Slot structure and physical resource elements .................................................................................................... 51
`Resource grid ................................................................................................................................................. 51
`Resource elements ......................................................................................................................................... 51
`Resource blocks ............................................................................................................................................. 52
`Virtual resource blocks of localized type ................................................................................................ 53
`Virtual resource blocks of distributed type ............................................................................................. 53
`Resource-element groups .............................................................................................................................. 54
`Guard period for half-duplex FDD operation ............................................................................................... 55
`Guard Period for TDD Operation ................................................................................................................. 55
`General structure for downlink physical channels ............................................................................................. 55
`Scrambling ..................................................................................................................................................... 56
`Modulation .................................................................................................................................................... 56
`Layer mapping ............................................................................................................................................... 56
`Layer mapping for transmission on a single antenna port ...................................................................... 56
`Layer mapping for spatial multiplexing .................................................................................................. 57
`Layer mapping for transmit diversity ...................................................................................................... 59
`Precoding ....................................................................................................................................................... 59
`Precoding for transmission on a single antenna port .............................................................................. 59
`Precoding for spatial multiplexing using antenna ports with cell-specific reference signals ................ 59
`Precoding without CDD .................................................................................................................... 59
`Precoding for large delay CDD ......................................................................................................... 60
`Codebook for precoding and/or CSI reporting.................................................................................. 61
`Precoding for transmit diversity .............................................................................................................. 64
`Precoding for spatial multiplexing using antenna ports with UE-specific reference signals ................ 65
`Mapping to resource elements ...................................................................................................................... 66
`Physical downlink shared channel ...................................................................................................................... 66
`Physical multicast channel .................................................................................................................................. 66
`Physical broadcast channel ................................................................................................................................. 67
`Scrambling ..................................................................................................................................................... 67
`Modulation .................................................................................................................................................... 67
`Layer mapping and precoding ....................................................................................................................... 67
`Mapping to resource elements ...................................................................................................................... 67
`Physical control format indicator channel .......................................................................................................... 68
`Scrambling ..................................................................................................................................................... 68
`Modulation .................................................................................................................................................... 68
`Layer mapping and precoding ....................................................................................................................... 68
`Mapping to resource elements ...................................................................................................................... 69
`Physical downlink control channel ..................................................................................................................... 69
`PDCCH formats ............................................................................................................................................ 69
`PDCCH multiplexing and scrambling .......................................................................................................... 69
`Modulation .................................................................................................................................................... 70
`Layer mapping and precoding ....................................................................................................................... 70
`Mapping to resource elements ...................................................................................................................... 70
`Physical hybrid ARQ indicator channel ............................................................................................................. 71
`Modulation .................................................................................................................................................... 72
`Resource group alignment, layer mapping and precoding ........................................................................... 72
`Mapping to resource elements ...................................................................................................................... 74
`Reference signals ................................................................................................................................................ 76
`Cell-specific reference signals ...................................................................................................................... 76
`Sequence generation ................................................................................................................................ 76
`Mapping to resource elements ................................................................................................................. 76
`MBSFN reference signals ............................................................................................................................. 79
`Sequence generation ................................................................................................................................ 79
`Mapping to resource elements ................................................................................................................. 79
`
`3GPP
`
`Ericsson Exhibit 1007
`Page 4
`ERICSSON v. ETRI
`
`

`

`
`Release 10
`
`5
`
`3GPP TS 36.211 V10.1.0 (2011-03)
`
`UE-specific reference signals ........................................................................................................................ 81
`6.10.3
`Sequence generation ................................................................................................................................ 81
`6.10.3.1
`Mapping to resource elements ................................................................................................................. 82
`6.10.3.2
`Positioning reference signals ........................................................................................................................ 87
`6.10.4
`Sequence generation ................................................................................................................................ 87
`6.10.4.1
`Mapping to resource elements ................................................................................................................. 87
`6.10.4.2
`Positioning reference signal subframe configuration ............................................................................. 88
`6.10.4.3
`CSI reference signals ..................................................................................................................................... 89
`6.10.5
`Sequence generation ................................................................................................................................ 89
`6.10.5.1
`Mapping to resource elements ................................................................................................................. 89
`6.10.5.2
`CSI reference signal subframe configuration ......................................................................................... 92
`6.10.5.3
`Synchronization signals ...................................................................................................................................... 93
`6.11
`Primary synchronization signal ..................................................................................................................... 93
`6.11.1
`Sequence generation ................................................................................................................................ 93
`6.11.1.1
`Mapping to resource elements ................................................................................................................. 93
`6.11.1.2
`Secondary synchronization signal ................................................................................................................. 94
`6.11.2
`Sequence generation ................................................................................................................................ 94
`6.11.2.1
`Mapping to resource elements ................................................................................................................. 96
`6.11.2.2
`OFDM baseband signal generation .................................................................................................................... 97
`6.12
`Modulation and upconversion ............................................................................................................................ 97
`6.13
`Generic functions ................................................................................................................................... 98
`7
`Modulation mapper ............................................................................................................................................. 98
`7.1
`BPSK ................................................................................................................................................................... 98
`7.1.1
`QPSK ................................................................................................................................................................... 98
`7.1.2
`16QAM ................................................................................................................................................................ 99
`7.1.3
`64QAM ................................................................................................................................................................ 99
`7.1.4
`Pseudo-random sequence generation ................................................................................................................ 100
`7.2
`Timing .................................................................................................................................................. 101
`8
`Uplink-downlink frame timing ......................................................................................................................... 101
`8.1
`Change history ............................................................................................. 102
`Annex A (informative):
`
`
`3GPP
`
`Ericsson Exhibit 1007
`Page 5
`ERICSSON v. ETRI
`
`

`

`
`Release 10
`
`6
`
`3GPP TS 36.211 V10.1.0 (2011-03)
`
`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.
`
`3GPP
`
`Ericsson Exhibit 1007
`Page 6
`ERICSSON v. ETRI
`
`

`

`
`Release 10
`
`7
`
`3GPP TS 36.211 V10.1.0 (2011-03)
`
` Scope
`1
`The present document describes the physical channels for evolved UTRA.
`
`References
`2
`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]
`
`[2]
`
`[3]
`
`[4]
`
`[5]
`
`[6]
`
`[7]
`
`[8]
`
`
`
`3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
`
`3GPP TS 36.201: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical Layer –
`General Description".
`
`3GPP TS 36.212: "Evolved Universal Terrestrial Radio Access (E-UTRA); Multiplexing and
`channel coding".
`
`3GPP TS 36.213: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer
`procedures".
`
`3GPP TS 36.214: "Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer –
`Measurements".
`
`3GPP TS 36.104: “Evolved Universal Terrestrial Radio Access (E-UTRA); Base Station (BS)
`radio transmission and reception”.
`
`3GPP TS 36.101: “Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE)
`radio transmission and reception”.
`
`3GPP TS36.321, “Evolved Universal Terrestrial Radio Access (E-UTRA); Medium Access
`Control (MAC) protocol specification”
`
`3
`
`Definitions, symbols and abbreviations
`
`Symbols
`3.1
`For the purposes of the present document, the following symbols apply:
`
`Resource element with frequency-domain index k and time-domain index l
`
` ),( lk
` [for antenna port p ]
`Value of resource element
`Matrix for supporting cyclic delay diversity
`Density of random access opportunities per radio frame
`Carrier frequency
`
`3GPP
`
` ),( lk
`
`(
`)
`ka
`
`D
`RAD
`0f
`
`
`,pl
`
`
`
`Ericsson Exhibit 1007
`Page 7
`ERICSSON v. ETRI
`
`

`

`
`Release 10
`
`8
`
`3GPP TS 36.211 V10.1.0 (2011-03)
`
`
`
`
`RAf
`
`PUSCH
`scM
`PUSCH
`RBM
`(q)M bit
`(q)M symb
`layer
`symbM
`
`ap
`symbM
`
`N
`lN ,CP
`CSN
`(1)
`csN
`
`(2)
`RBN
`HO
`RBN
`
`
`
`
`
`
`
`
`
`
`cell
`IDN
`
`MBSFN
`IDN
`DL
`RBN
`DL min,
`RBN
`DL max,
`RBN
`UL
`RBN
`
` ULmin,
`RBN
` ULmax,
`
`RBN
`DL
`symbN
`UL
`symbN
`RB
`scN
`sbN
`sb
`RBN
`
`
`
`
`
`
`SPN
`PUCCH
`RSN
`TAN
`TA N offset
`
`)~,1(
`pn
`
`PUCCH
`)~,2(
`pn
`
`PUCCH
`)~,3(
`pn
`
`PUCCH
`n
`
`PDCCH
`PRBn
`
`RA
`PRBn
`
`RA
`PRBn offset
`
`
`VRBn
`
`n
`RNTI
`fn
`
`
`
`
`
`
`
`PRACH resource frequency index within the considered time-domain location
`Scheduled bandwidth for uplink transmission, expressed as a number of subcarriers
`Scheduled bandwidth for uplink transmission, expressed as a number of resource blocks
`Number of coded bits to transmit on a physical channel [for codeword q ]
`Number of modulation symbols to transmit on a physical channel [for codeword q ]
`Number of modulation symbols to transmit per layer for a physical channel
`Number of modulation symbols to transmit per antenna port for a physical channel
` 15f
` 5.7f
`A constant equal to 2048 for
` and 4096 for
`
`kHz
`kHz
`Downlink cyclic prefix length for OFDM symbol l in a slot
`Cyclic shift value used for random access preamble generation
`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
`RB
`scN
`Bandwidth available for use by PUCCH formats 2/2a/2b, expressed in multiples of
`The offset used for PUSCH frequency hopping, expressed in number of resource blocks (set by
`higher layers)
`Physical layer cell identity
`MBSFN area identity
`RB
`scN
`Downlink bandwidth configuration, expressed in multiples of
`RB
`scN
`Smallest downlink bandwidth configuration, expressed in multiples of
`RB
`scN
`Largest downlink bandwidth configuration, expressed in multiples of
`RB
`scN
`Uplink bandwidth configuration, expressed in multiples of
`RB
`scN
`Smallest uplink bandwidth configuration, expressed in multiples of
`RB
`scN
`Largest uplink bandwidth configuration, expressed in multiples of
`Number of OFDM symbols in a downlink slot
`Number of SC-FDMA symbols in an uplink slot
`Resource block size in the frequency domain, expressed as a number of subcarriers
` Number of sub-bands for PUSCH frequency-hopping with predefined hopping pattern
` Size of each sub-band for PUSCH frequency-hopping with predefined hopping pattern, expressed
`as a number of resource blocks
`Number of downlink to uplink switch points within the radio frame
`Number of reference symbols per slot for PUCCH
`Timing offset between uplink and downlink radio frames at the UE, expressed in units of
`sT
`Fixed timing advance offset, expressed in units of
`Resource index for PUCCH formats 1/1a/1b
`Resource index for PUCCH formats 2/2a/2b
`Resource index for PUCCH formats 3
`Number of PDCCHs present in a subframe
`Physical resource block number
`First physical resource block occupied by PRACH resource considered
`First physical resource block available for PRACH
`Virtual resource block number
`Radio network temporary identifier
`System frame number
`
`sT
`
`3GPP
`
`Ericsson Exhibit 1007
`Page 8
`ERICSSON v. ETRI
`
`

`

`
`Release 10
`
`9
`
`3GPP TS 36.211 V10.1.0 (2011-03)
`
`
`
`
`
` t
`
`
`
`
`Slot number within a radio frame
`Number of antenna ports used for transmission of a channel
`Antenna port number
`Codeword number
`Index for PRACH versions with same preamble format and PRACH density
`Modulation order: 2 for QPSK, 4 for 16QAM and 6 for 64QAM transmissions
`Time-continuous baseband signal for antenna port p and OFDM symbol l in a slot
`Radio frame indicator index of PRACH opportunity
`Half frame index of PRACH opportunity within the radio frame
`Uplink subframe number for start of PRACH opportunity within the half frame
`Radio frame duration
`Basic time unit
`Slot duration
`Precoding matrix for downlink spatial multiplexing
`Amplitude scaling for PRACH
`Amplitude scaling for PUCCH
`Amplitude scaling for PUSCH
`Amplitude scaling for sounding reference symbols
`Subcarrier spacing
`Subcarrier spacing for the random access preamble
`Number of transmission layers
`
`sn
`P
`p
`q
`RAr
`Qm
`s p
`(
`)
`l
`)0(
`RAt
`)1(
`RAt
`)2(
`RAt
`fT
`sT
`slotT
`W
`PRACH
`PUCCH
`PUSCH
`SRS
`f