3GPP TS 38.211 V15.0.0 (2017-12)
`
`Technical Specification
`
`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`NR;
`Physical channels and modulation
`(Release 15)
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`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.
`
`
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`Samsung Exhibit 1008, Page 001
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`

`

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`Release 15
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`2
`
`3GPP TS 38.211 V15.0.0 (2017-12)
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`
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`
`Keywords
`New 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.
`
`© 2017, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TSDSI, 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 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
`
`Samsung Exhibit 1008, Page 002
`
`

`

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`Release 15
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`3
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`3GPP TS 38.211 V15.0.0 (2017-12)
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`Contents
`
`Foreword............................................................................................................................................................. 6
`
`1
`
`2
`
`3
`3.1
`3.2
`3.3
`
`Scope ........................................................................................................................................................ 7
`
`References ................................................................................................................................................ 7
`
`Definitions, symbols and abbreviations ................................................................................................... 7
`Definitions ......................................................................................................................................................... 7
`Symbols ............................................................................................................................................................. 7
`Abbreviations ..................................................................................................................................................... 7
`
`4
`4.1
`4.2
`4.3
`4.3.1
`4.3.2
`4.4
`4.4.1
`4.4.2
`4.4.3
`4.4.4
`4.4.4.1
`4.4.4.2
`4.4.4.3
`4.4.4.4
`4.4.4.5
`4.4.5
`4.5
`
`Frame structure and physical resources .................................................................................................... 7
`General ............................................................................................................................................................... 7
`Numerologies ..................................................................................................................................................... 8
`Frame structure .................................................................................................................................................. 8
`Frames and subframes .................................................................................................................................. 8
`Slots .............................................................................................................................................................. 8
`Physical resources ............................................................................................................................................ 11
`Antenna ports ............................................................................................................................................. 11
`Resource grid ............................................................................................................................................. 11
`Resource elements ...................................................................................................................................... 11
`Resource blocks ......................................................................................................................................... 11
`General ................................................................................................................................................. 11
`Reference resource blocks .................................................................................................................... 11
`Common resource blocks ..................................................................................................................... 12
`Physical resource blocks ....................................................................................................................... 12
`Virtual resource blocks ......................................................................................................................... 12
`Carrier bandwidth part ............................................................................................................................... 12
`Carrier aggregation .......................................................................................................................................... 12
`
`5
`5.1
`5.1.1
`5.1.2
`5.1.3
`5.1.4
`5.1.5
`5.1.6
`5.2
`5.2.1
`5.2.2
`5.2.2.1
`5.2.2.2
`5.3
`5.4
`
`Generic functions ................................................................................................................................... 13
`Modulation mapper .......................................................................................................................................... 13
`π/2-BPSK ................................................................................................................................................... 13
`BPSK .......................................................................................................................................................... 13
`QPSK ......................................................................................................................................................... 13
`16QAM ...................................................................................................................................................... 13
`64QAM ...................................................................................................................................................... 13
`256QAM .................................................................................................................................................... 13
`Sequence generation ........................................................................................................................................ 14
`Pseudo-random sequence generation ......................................................................................................... 14
`Low-PAPR sequence generation ................................................................................................................ 14
`Base sequences of length 36 or larger .................................................................................................. 14
`Base sequences of length less than 36 .................................................................................................. 15
`OFDM baseband signal generation .................................................................................................................. 18
`Modulation and upconversion.......................................................................................................................... 19
`
`6
`6.1
`6.1.1
`6.1.2
`6.2
`6.3
`6.3.1
`6.3.1.1
`6.3.1.2
`6.3.1.3
`6.3.1.4
`6.3.1.5
`6.3.1.6
`
`Uplink ..................................................................................................................................................... 19
`Overview ......................................................................................................................................................... 19
`Overview of physical channels ................................................................................................................... 19
`Overview of physical signals ..................................................................................................................... 20
`Physical resources ............................................................................................................................................ 20
`Physical channels ............................................................................................................................................. 20
`Physical uplink shared channel .................................................................................................................. 20
`Scrambling ............................................................................................................................................ 20
`Modulation ........................................................................................................................................... 21
`Layer mapping ...................................................................................................................................... 21
`Transform precoding ............................................................................................................................ 21
`Precoding .............................................................................................................................................. 22
`Mapping to virtual resource blocks ...................................................................................................... 25
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`3GPP
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`Samsung Exhibit 1008, Page 003
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`Release 15
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`3GPP TS 38.211 V15.0.0 (2017-12)
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`6.3.1.6
`6.3.2
`6.3.2.1
`6.3.2.2
`6.3.2.2.1
`6.3.2.2.2
`6.3.2.3
`6.3.2.3.1
`6.3.2.3.2
`6.3.2.4
`6.3.2.4.1
`6.3.2.4.2
`6.3.2.5
`6.3.2.5.1
`6.3.2.5.2
`6.3.2.5.3
`6.3.2.6
`6.3.2.6.1
`6.3.2.6.2
`6.3.2.6.3
`6.3.2.6.4
`6.3.2.6.5
`6.3.3
`6.3.3.1
`6.3.3.2
`6.4
`6.4.1
`6.4.1.1
`6.4.1.1.1
`6.4.1.1.2
`6.4.1.1.3
`6.4.1.2
`6.4.1.2.1
`6.4.1.2.1.1
`6.4.1.2.1.2
`6.4.1.2.2
`6.4.1.2.2.1
`6.4.1.2.2.2
`6.4.1.3
`6.4.1.3.1
`6.4.1.3.1.1
`6.4.1.3.1.2
`6.4.1.3.2
`6.4.1.3.2.1
`6.4.1.3.2.2
`6.4.1.3.3
`6.4.1.3.3.1
`6.4.1.3.3.2
`6.4.1.4
`6.4.1.4.1
`6.4.1.4.2
`6.4.1.4.3
`6.4.1.4.4
`
`Mapping from virtual to physical resource blocks ............................................................................... 26
`Physical uplink control channel ................................................................................................................. 26
`General ................................................................................................................................................. 26
`Sequence and cyclic shift hopping ....................................................................................................... 26
`Group and sequence hopping .......................................................................................................... 27
`Cyclic shift hopping ........................................................................................................................ 27
`PUCCH format 0 .................................................................................................................................. 28
`Sequence generation ....................................................................................................................... 28
`Mapping to physical resources ........................................................................................................ 28
`PUCCH format 1 .................................................................................................................................. 28
`Sequence modulation ...................................................................................................................... 28
`Mapping to physical resources ........................................................................................................ 29
`PUCCH format 2 .................................................................................................................................. 29
`Scrambling ...................................................................................................................................... 29
`Modulation ...................................................................................................................................... 30
`Mapping to physical resources ........................................................................................................ 30
`PUCCH formats 3 and 4 ....................................................................................................................... 30
`Scrambling ...................................................................................................................................... 30
`Modulation ...................................................................................................................................... 30
`Block-wise spreading ...................................................................................................................... 31
`Transform precoding ....................................................................................................................... 31
`Mapping to physical resources ........................................................................................................ 32
`Physical random-access channel ................................................................................................................ 32
`Sequence generation ............................................................................................................................. 32
`Mapping to physical resources ............................................................................................................. 38
`Physical signals ................................................................................................................................................ 41
`Reference signals ....................................................................................................................................... 41
`Demodulation reference signal for PUSCH .......................................................................................... 41
`Sequence generation ....................................................................................................................... 41
`Precoding ........................................................................................................................................ 41
`Mapping to physical resources ........................................................................................................ 41
`Phase-tracking reference signals for PUSCH ....................................................................................... 44
`Sequence generation ....................................................................................................................... 44
`Sequence generation if transform precoding is not enabled ...................................................... 44
`Sequence generation if transform precoding is enabled ............................................................ 44
`Mapping to physical resources ........................................................................................................ 45
`Mapping to physical resources if transform precoding is not enabled ...................................... 45
`Mapping to physical resources if transform precoding is enabled ............................................ 46
`Demodulation reference signal for PUCCH ......................................................................................... 47
`Demodulation reference signal for PUCCH format 1 ..................................................................... 47
`Sequence generation .................................................................................................................. 47
`Mapping to physical resources .................................................................................................. 48
`Demodulation reference signal for PUCCH format 2 ..................................................................... 48
`Sequence generation .................................................................................................................. 48
`Mapping to physical resources .................................................................................................. 48
`Demodulation reference signal for PUCCH formats 3 and 4 .......................................................... 49
`Sequence generation .................................................................................................................. 49
`Mapping to physical resources .................................................................................................. 49
`Sounding reference signal .................................................................................................................... 49
`SRS resource ................................................................................................................................... 49
`Sequence generation ....................................................................................................................... 50
`Mapping to physical resources ........................................................................................................ 51
`Sounding reference signal slot configuration .................................................................................. 54
`
`7
`7.1
`7.1.1
`7.1.2
`7.2
`7.3
`7.3.1
`7.3.1.1
`
`Downlink ................................................................................................................................................ 54
`Overview ......................................................................................................................................................... 54
`Overview of physical channels ................................................................................................................... 54
`Overview of physical signals ..................................................................................................................... 55
`Physical resources ............................................................................................................................................ 55
`Physical channels ............................................................................................................................................. 55
`Physical downlink shared channel ............................................................................................................. 55
`Scrambling ............................................................................................................................................ 55
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`3GPP
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`Samsung Exhibit 1008, Page 004
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`Release 15
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`3GPP TS 38.211 V15.0.0 (2017-12)
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`7.3.1.2
`7.3.1.3
`7.3.1.4
`7.3.1.5
`7.3.1.6
`7.3.2
`7.3.2.1
`7.3.2.2
`7.3.2.3
`7.3.2.4
`7.3.2.5
`7.3.3
`7.3.3.1
`7.3.3.2
`7.3.3.3
`7.4
`7.4.1
`7.4.1.1
`7.4.1.1.1
`7.4.1.1.2
`7.4.1.2
`7.4.1.2.1
`7.4.1.2.2
`7.4.1.3
`7.4.1.3.1
`7.4.1.3.2
`7.4.1.4
`7.4.1.4.1
`7.4.1.4.2
`7.4.1.5
`7.4.1.5.1
`7.4.1.5.2
`7.4.1.5.3
`7.4.2
`7.4.2.1
`7.4.2.2
`7.4.2.2.1
`7.4.2.2.2
`7.4.2.3
`7.4.2.3.1
`7.4.2.3.2
`7.4.3
`7.4.3.1
`7.4.3.1.1
`7.4.3.1.2
`7.4.3.1.3
`7.4.3.2
`
`Modulation ........................................................................................................................................... 56
`Layer mapping ...................................................................................................................................... 56
`Antenna port mapping .......................................................................................................................... 57
`Mapping to virtual resource blocks ...................................................................................................... 58
`Mapping from virtual to physical resource blocks ............................................................................... 58
`Physical downlink control channel (PDCCH) ............................................................................................ 59
`Control-channel element (CCE) ........................................................................................................... 59
`Control-resource set (CORESET) ........................................................................................................ 59
`Scrambling ............................................................................................................................................ 60
` PDCCH modulation ............................................................................................................................. 60
`Mapping to physical resources ............................................................................................................. 60
`Physical broadcast channel ......................................................................................................................... 60
`Scrambling ............................................................................................................................................ 60
`Modulation ........................................................................................................................................... 61
`Mapping to physical resources ............................................................................................................. 61
`Physical signals ................................................................................................................................................ 61
`Reference signals ....................................................................................................................................... 61
`Demodulation reference signals for PDSCH ........................................................................................ 61
`Sequence generation ....................................................................................................................... 61
`Mapping to physical resources ........................................................................................................ 61
`Phase-tracking reference signals for PDSCH ....................................................................................... 64
`Sequence generation ....................................................................................................................... 64
`Mapping to physical resources ........................................................................................................ 64
`Demodulation reference signals for PDCCH ........................................................................................ 65
`Sequence generation ....................................................................................................................... 65
`Mapping to physical resources ........................................................................................................ 65
`Demodulation reference signals for PBCH .......................................................................................... 66
`Sequence generation ....................................................................................................................... 66
`Mapping to physical resources ........................................................................................................ 67
`CSI reference signals ............................................................................................................................ 67
`General ............................................................................................................................................ 67
`Sequence generation ....................................................................................................................... 67
`Mapping to physical resources ........................................................................................................ 67
`Synchronization signals.............................................................................................................................. 70
`Physical-layer cell identities ................................................................................................................. 70
`Primary synchronization signal ............................................................................................................ 70
`Sequence generation ....................................................................................................................... 70
`Mapping to physical resources ........................................................................................................ 70
`Secondary synchronization signal ........................................................................................................ 70
`Sequence generation ....................................................................................................................... 70
`Mapping to physical resources ........................................................................................................ 71
`SS/PBCH block .......................................................................................................................................... 71
`Time-frequency structure of an SS/PBCH block .................................................................................. 71
`Mapping of PSS within an SS/PBCH block ................................................................................... 71
`Mapping of SSS within an SS/PBCH block ................................................................................... 72
`Mapping of PBCH and DM-RS within an SS/PBCH block ........................................................... 72
`Time location of an SS/PBCH block .................................................................................................... 72
`
`Annex A: Change history ............................................................................................................................... 73
`
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`3GPP
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`Samsung Exhibit 1008, Page 005
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`Release 15
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`6
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`3GPP TS 38.211 V15.0.0 (2017-12)
`
`Foreword
`
`This Technical Report 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
`
`Samsung Exhibit 1008, Page 006
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`

`

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`Release 15
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`7
`
`3GPP TS 38.211 V15.0.0 (2017-12)
`
`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.
`
`3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
`
`3GPP TS 38.201: "NR; Physical Layer – General Description"
`
`3GPP TS 38.202: "NR; Services provided by the physical layer"
`
`3GPP TS 38.212: "NR; Multiplexing and channel coding"
`
`3GPP TS 38.213: "NR; Physical layer procedures for control "
`
`3GPP TS 38.214: "NR; Physical layer procedures for data "
`
`3GPP TS 38.215: "NR; Physical layer measurements"
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`Definitions, symbols and abbreviations
`
`[1]
`
`[2]
`
`[3]
`
`[4]
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`[5]
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`[6]
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`[7]
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` 3
`
`
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`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:
`
`3.3
`
`Abbreviations
`
`For the purposes of the present document, the following abbreviations apply:
`
`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 as a
`
`number of time units
`
` where
`
` Hz and
`
`. The constant
`
`
`
`where
`
`,
`
` and
`
`.
`
`3GPP
`
`T
`c
`
`(
` 1 = f
`
`
`
`
`
`
`
`N
`
`)f
`
`max
`
`f
`
`max
`
`=
`
`480
`
`10
`
`3
`
`f =N
`
`4096
`
`
`
` = TT
`c
`s
`
`=
`
`64
`
`(
`T
`f
`=
`s 1
`
`ref
`
`
`
`N
`
`f,
`
`ref
`
`)
`
`f
`
`ref
`
`=
`
`15
`
`
`
`3
`Hz 10
`
`N
`
`f,
`
`ref
`
`=
`
`2048
`
`Samsung Exhibit 1008, Page 007
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`Release 15
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`3GPP TS 38.211 V15.0.0 (2017-12)
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`4.2
`
`Numerologies
`
`Multiple OFDM numerologies are supported as given by Table 4.2-1 where
`
` and the cyclic prefix for a carrier
`
`bandwidth part are given by the higher-layer parameters DL-BWP-mu and DL-BWP-cp for the downlink and UL-BWP-
`mu and UL-BWP-cp for the uplink.
`
`
`Table 4.2-1: Supported transmission numerologies.
`
`
`
`0
`1
`2
`3
`4
`
`15
`30
`60
`120
`240
`
`
`
`Cyclic prefix
`
`Normal
`Normal
`Normal, Extended
`Normal
`Normal
`
`
`
`4.3
`
`Frame structure
`
`4.3.1
`
`Frames and subframes
`
`Downlink and uplink transmissions are organized into frames with
`
` duration, consisting
`
`of ten subframes of
`
`subframe is
`
` duration each. The number of consecutive OFDM symbols per
`
`. Each frame is divided into two equally-sized half-frames of five 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.
`
`Transmission of uplink frame number
`
` from the UE shall start
`
` before the start of the
`
`corresponding downlink frame at the UE where
`
` depends on the frequency band according to [38.133].
`
`
`
`Figure 4.3.1-1: Uplink-downlink timing relation
`
`
`
`4.3.2
`
`Slots
`
`For subcarrier spacing configuration
`
`, slots are numbered
`
` in increasing order within a
`
`subframe and
`
` in increasing order within a frame. There are
`
` consecutive OFDM
`
`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
`
`
`
`in a subframe is aligned in time with the start of OFDM symbol
`
` in the same subframe.
`
`OFDM symbols in a slot can be classified as 'downlink' (denoted 'D' in Table 4.3.2-3), 'flexible' (denoted 'X'), or 'uplink'
`(denoted 'U').
`
`In a downlink slot, the UE shall assume downlink transmissions to occur in 'downlink' or 'flexible' symbols only.
`
`3GPP
`
`
`
`
`
`f
`=
`
`
`2 
`
`
`
`[kHz] 15
`
`T
`f
`
`(
`f
`=
`
`N
`
`f
`
`max
`
`100
`
`)
`
`
`
`T
`c
`
`=
`
`ms 10
`
`T
`sf
`
`(
`f
`=
`
`N
`
`f
`
`max
`
`1000
`
`)
`
`
`
`T
`c
`
`=
`
`ms 1
`
`N
`
`subframe
`,
`
`symb
`
`=
`
`N
`
`slot
`N
`symb
`
`subframe
`,
`
`slot
`
`i
`
`T
`TA
`
`=
`
`(
`N
`
`+
`
`N
`
`TA
`
`TA,
`offset
`
`) c
`T
`
`T A,N
`offset
`
`Downlink frame i
`
`Uplink frame i
`
`
`
`n
`
`
`s
`
`
`
`
`,...,0
`
`N
`
`subframe,
`slot
`
`
`
`1
`
`−
`
`
`n
`fs,
`
`
`N
`0
`,...,
`
`
`
`
`
`frame,
`slot
`
`1
`
`−
`
`slot
`symbN
`
`slot
`symbN
`
`s
`
`n
`
`s Nn
`
`slot
`symb
`
`Samsung Exhibit 1008, Page 008
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`

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`Release 15
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`9
`
`3GPP TS 38.211 V15.0.0 (2017-12)
`
`In an uplink slot, the UE shall transmit in 'uplink' or 'flexible' symbols only.
`
`
`
`
`
`
`
`Table 4.3.2-1: Number of OFDM symbols per slot, slots per frame, and slots per subframe for normal
`cyclic prefix.
`
`
`
`0
`1
`2
`3
`4
`5
`
`
`
`14
`14
`14
`14
`14
`14
`
`
`
`
`
`1
`2
`4
`8
`16
`32
`
`10
`20
`40
`80
`160
`320
`
`
`
`Table 4.3.2-2