3GPP TS 36.201 V12.0.

0 (2014-09)
Technical Specification
3rd Generation Partnership Project;
Technical Specification Group Radio Access Network;
Evolved Universal Terrestrial Radio Access E!UTRA";
#TE ph$sical la$er; General description
Release %&"
The present document has been developed within the 3
rd
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

Oranisational Partners and shall not be implemented.
This !pecification is provided for future development wor" within 3GPP

only. The Oranisational Partners accept no liability for any use of this
!pecification.
!pecifications and reports for implementation of the 3GPP
TM
system should be obtained via the 3GPP Oranisational Partners# Publications Offices.
3GPP
$eywords
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3GPP TS 3'(&)% *%&()() &)%+!)," & Release %&
+o'e'!
8oreword..........................................................................................................................................................
, !cope......................................................................................................................................................
* 0eferences..............................................................................................................................................
3 9efinitions. symbols and abbreviations..................................................................................................
3., 9efinitions...........................................................................................................................................................
3.* !ymbols...............................................................................................................................................................
3.3 /bbreviations.......................................................................................................................................................
- General description of 6T3 6ayer ,.......................................................................................................
-., 0elation to other layers........................................................................................................................................
-.,., General Protocol /rchitecture........................................................................................................................
-.,.* !ervice provided to hiher layers...................................................................................................................
-.* General description of 6ayer ,............................................................................................................................
-.*., Multiple /ccess..............................................................................................................................................
-.*.* Physical channels and modulation.................................................................................................................
-.*.3 2hannel codin and interleavin....................................................................................................................
-.*.- Physical layer procedures..............................................................................................................................
-.*.: Physical layer measurements.........................................................................................................................
: 9ocument structure of 6T3 physical layer specification......................................................................
:., Overview...........................................................................................................................................................
:.* T! 3;.*+,< Physical layer = General description..............................................................................................
:.3 T! 3;.*,,< Physical channels and modulation..................................................................................................
:.- T! 3;.*,*< Multiple'in and channel codin....................................................................................................
:.: T! 3;.*,3< Physical layer procedures................................................................................................................
:.; T! 3;.*,-< Physical layer = Measurements.......................................................................................................
:.> T! 3;.*,;< Physical layer for relayin operation..............................................................................................
Annex A (informative): Preferred mathematical notations...............................................................
Annex B (informative): Change history..............................................................................................
3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," 3 Release %&
)ore2ord
This Technical !pecification has been produced by the 3
rd
Generation Partnership Project (3GPP).
The contents of the present document are subject to continuin wor" within the T!G and may chane followin formal
T!G approval. !hould the T!G modify the contents of the present document. it will be re?released by the T!G with an
identifyin chane of release date and an increase in version number as follows<
@ersion '.y.(
where<
' the first diit<
, presented to T!G for informationA
* presented to T!G for approvalA
3 or reater indicates T!G approved document under chane control.
y the second diit is incremented for all chanes of substance. i.e. technical enhancements. corrections.
updates. etc.
( the third diit is incremented when editorial only chanes have been incorporated in the document.
3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," + Release %&
1 S#o$e
The present document describes a eneral description of the physical layer of the 3?4T0/ radio interface. The present
document also describes the document structure of the 3GPP physical layer specifications. i.e. T! 3;.*++ series. The T!
3;.*++ series specifies the 4u and 4n points for the 3G 6T3 mobile system. and defines the minimum level of
specifications reBuired for basic connections in terms of mutual connectivity and compatibility.
2 Re4ere'#e!
The followin documents contain provisions which. throuh reference in this te't. constitute provisions of the present
document.
0eferences are either specific (identified by date of publication. edition number. version number. etc.) or
non?specific.
8or a specific reference. subseBuent revisions do not apply.
8or a non?specific reference. the latest version applies. %n the case of a reference to a 3GPP document (includin
a G!M document). a non?specific reference implicitly refers to the latest version of that document in the same
Release as the present document.
C,D 3GPP T0 *,.E+:< F@ocabulary for 3GPP !pecificationsF.
C*D 3GPP T! 3;.*,,< F3volved 4niversal Terrestrial 0adio /ccess (3?4T0/)A Physical channels and
modulationF.
C3D 3GPP T! 3;.*,*< F3volved 4niversal Terrestrial 0adio /ccess (3?4T0/)A Multiple'in and
channel codinF.
C-D 3GPP T! 3;.*,3< F3volved 4niversal Terrestrial 0adio /ccess (3?4T0/)A Physical layer
proceduresF.
C:D 3GPP T! 3;.*,-< F3volved 4niversal Terrestrial 0adio /ccess (3?4T0/)A Physical layer =
MeasurementsF.
C;D 3GPP T! 3;.*,;< F3volved 4niversal Terrestrial 0adio /ccess (3?4T0/)A Physical layer for
relayin operationF.
3 5e4i'iio'!, !y6(ol! a'd a((re7iaio'!
3.1 5e4i'iio'!
8or the purposes of the present document. the terms and definitions iven in T0 *,.E+: C,D and the followin apply. /
term defined in the present document ta"es precedence over the definition of the same term. if any. in T0 *,.E+: C,D.
Definition format
<defined term>: <definition>.
example: te't used to clarify abstract rules by applyin them literally.
3.2 Sy6(ol!
8or the purposes of the present document. the followin symbols apply<
Symbol format
3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," - Release %&
GsymbolH G3'planationH
3.3 &((re7iaio'!
8or the purposes of the present document. the abbreviations iven in T0 *,.E+: C,D and the followin apply. /n
abbreviation defined in the present document ta"es precedence over the definition of the same abbreviation. if any. in
T0 *,.E+: C,D.
1P!$ 1inary Phase !hift $eyin
2oMP 2oordinated Multi?Point
2P 2yclic Prefi'
2I% 2hannel Iuality %ndicator
202 2yclic 0edundancy 2hec"
2!% 2hannel !tate %nformation
e&ode?1 3volved &ode 1
3P922J 3nhanced Physical 9ownlin" 2ontrol 2hannel
3?4T0/ 3volved 4niversal Terrestrial 0adio /ccess
899 8reBuency 9ivision 9uple'
J/0I Jybrid /utomatic 0epeat 0eBuest
6T3 6on Term 3volution
M/2 Medium /ccess 2ontrol
M1M! Multimedia 1roadcast and Multicast !ervice
M1!8& MulticastK1roadcast over !inle 8reBuency &etwor"
M%MO Multiple %nput Multiple Output
O89M Orthoonal 8reBuency 9ivision Multiple'in
P12J Physical 1roadcast 2hannel
P28%2J Physical 2ontrol 8ormat %ndicator 2hannel
P9!2J Physical 9ownlin" !hared 2hannel
P922J Physical 9ownlin" 2ontrol 2hannel
PJ%2J Physical Jybrid /0I %ndicator 2hannel
PM2J Physical Multicast 2hannel
P0/2J Physical 0andom /ccess 2hannel
P422J Physical 4plin" 2ontrol 2hannel
P4!2J Physical 4plin" !hared 2hannel
I/M Iuadrature /mplitude Modulation
IPP Iuadratic Permutation Polynomial
IP!$ Iuadrature Phase !hift $eyin
062 0adio 6in" 2ontrol
0& 0elay &ode
0?P922J 0elay Physical 9ownlin" 2ontrol 2hannel
002 0adio 0esource 2ontrol
0!!% 0eceived !inal !trenth %ndicator
0!0P 0eference !inal 0eceived Power
0!0I 0eference !inal 0eceived Iuality
!/P !ervice /ccess Point
!2?89M/ !inle?2arrier 8reBuency 9ivision Multiple /ccess
T99 Time 9ivision 9uple'
TL 9iversity Transmit 9iversity
43 4ser 3Buipment
3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," ' Release %&
4 Ge'eral de!#ri$io' o4 "T, "ayer 1
4.1 Relaio' o o%er layer!
4.1.1 Ge'eral Proo#ol &r#%ie#ure
The radio interface described in this specification covers the interface between the 4ser 3Buipment (43) and the
networ". The radio interface is composed of the 6ayer ,. * and 3. The T! 3;.*++ series describes the 6ayer , (Physical
6ayer) specifications. 6ayers * and 3 are described in the 3;.3++ series.
0adio 0esource 2ontrol (002)
Medium /ccess 2ontrol
(M/2)
Transport channels
Physical layer
2
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o
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M
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a
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6ayer 3
6oical channels
6ayer *
6ayer ,
.i/ure %0 Radio interface protocol architecture around the ph$sical la$er
8iure , shows the 3?4T0/ radio interface protocol architecture around the physical layer (6ayer ,). The physical
layer interfaces the Medium /ccess 2ontrol (M/2) sub?layer of 6ayer * and the 0adio 0esource 2ontrol (002) 6ayer
of 6ayer 3. The circles between different layerKsub?layers indicate !ervice /ccess Points (!/Ps). The physical layer
offers a transport channel to M/2. The transport channel is characteri(ed by how the information is transferred over the
radio interface. M/2 offers different loical channels to the 0adio 6in" 2ontrol (062) sub?layer of 6ayer *. / loical
channel is characteri(ed by the type of information transferred.
4.1.2 Ser7i#e $ro7ided o %i3%er layer!
The physical layer offers data transport services to hiher layers. The access to these services is throuh the use of a
transport channel via the M/2 sub?layer. The physical layer is e'pected to perform the followin functions in order to
provide the data transport service<
? 3rror detection on the transport channel and indication to hiher layers
? 832 encodinKdecodin of the transport channel
? Jybrid /0I soft?combinin
? 0ate matchin of the coded transport channel to physical channels
? Mappin of the coded transport channel onto physical channels
? Power weihtin of physical channels
? Modulation and demodulation of physical channels
? 8reBuency and time synchronisation
? 0adio characteristics measurements and indication to hiher layers
? Multiple %nput Multiple Output (M%MO) antenna processin
? Transmit 9iversity (TL diversity)
3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," 1 Release %&
? 1eamformin
? 08 processin. (&ote< 08 processin aspects are specified in the T! 3;.,++ series)
4.2 Ge'eral de!#ri$io' o4 "ayer 1
4.2.1 Muli$le &##e!!
The multiple access scheme for the 6T3 physical layer is based on Orthoonal 8reBuency 9ivision Multiple'in
(O89M) with a cyclic prefi' (2P) in the downlin". and on !inle?2arrier 8reBuency 9ivision Multiple /ccess (!2?
89M/) with a cyclic prefi' in the uplin". To support transmission in paired and unpaired spectrum. two duple' modes
are supported< 8reBuency 9ivision 9uple' (899). supportin full duple' and half duple' operation. and Time 9ivision
9uple' (T99).
The 6ayer , is defined in a bandwidth anostic way based on resource bloc"s. allowin the 6T3 6ayer , to adapt to
various spectrum allocations. / resource bloc" spans either ,* sub?carriers with a sub?carrier bandwidth of ,:"J( or *-
sub?carriers with a sub?carrier bandwidth of >.:"J( each over a slot duration of +.:ms.
The radio frame structure type , is used for 899 (for both full duple' and half duple' operation) and has a duration of
,+ms and consists of *+ slots with a slot duration of +.:ms. Two adjacent slots form one sub?frame of lenth ,ms. The
radio frame structure type * is used for T99 and consists of two half?frames with a duration of :ms each and containin
each M slots of lenth +.:ms and three special fields (9wPT!. GP and 4pPT!) which have confiurable individual
lenths and a total lenth of ,ms. / sub?frame consists of two adjacent slots. e'cept for sub?frames , and ;. which
consist of 9wPT!. GP and 4pPT!. 1oth :ms and ,+ms switch?point periodicity are supported. 8urther details on the
6T3 frame structure are specified in C*D.
To support a Multimedia 1roadcast and Multicast !ervice (M1M!). 6T3 offers the possibility to transmit
MulticastK1roadcast over a !inle 8reBuency &etwor" (M1!8&). where a time?synchroni(ed common waveform is
transmitted from multiple cells for a iven duration. M1!8& transmission enables hihly efficient M1M!. allowin for
over?the?air combinin of multi?cell transmissions in the 43. where the cyclic prefi' is utili(ed to cover the difference
in the propaation delays. which ma"es the M1!8& transmission appear to the 43 as a transmission from a sinle lare
cell. Transmission on a dedicated carrier for M1!8& with the possibility to use a loner 2P with a sub?carrier
bandwidth of >.:"J( is supported as well as transmission of M1!8& on a carrier with both M1M! transmissions and
point?to?point transmissions usin time division multiple'in. Transmission of P9!2J also in M1!8& subframes that
are not used for M2J is supported.
Transmission with multiple input and multiple output antennas (M%MO) are supported with confiurations in the
downlin" with up to eiht transmit antennas and eiht receive antennas. which allow for multi?layer downlin"
transmissions with up to eiht streams. Multi?layer uplin" transmissions with up to four streams are supported with
confiurations in the uplin" with up to four transmit antennas and four receive antennas. Multi?user M%MO. i.e.
allocation of different streams to different users is supported in both 46 and 96.
2oordinated Multi?Point (2oMP) transmission and reception are supported. includin the possibility to confiure a 43
with multiple 2hannel !tate %nformation (2!%) feedbac" processes. /reation of multiple cells is supported in the
uplin" and downlin" with up to five servin cells. where each servin cell can use a transmission bandwidth of up to
,,+ resource bloc"s.
4.2.2 P%y!i#al #%a''el! a'd 6odulaio'
The physical channels defined in the downlin" are<
the Physical 9ownlin" !hared 2hannel (P9!2J).
the Physical Multicast 2hannel (PM2J).
the Physical 9ownlin" 2ontrol 2hannel (P922J).
the 3nhanced Physical 9ownlin" 2ontrol 2hannel (3P922J).
the 0elay Physical 9ownlin" 2ontrol 2hannel (0?P922J).
3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," 2 Release %&
the Physical 1roadcast 2hannel (P12J).
the Physical 2ontrol 8ormat %ndicator 2hannel (P28%2J)
and the Physical Jybrid /0I %ndicator 2hannel (PJ%2J).
The physical channels defined in the uplin" are<
the Physical 0andom /ccess 2hannel (P0/2J).
the Physical 4plin" !hared 2hannel (P4!2J).
and the Physical 4plin" 2ontrol 2hannel (P422J).
%n addition. sinals are defined as reference sinals. primary and secondary synchroni(ation sinals.
The modulation schemes supported in the downlin" and uplin" are IP!$. ,;I/M and ;-I/M.
4.2.3 +%a''el #odi'3 a'd i'erlea7i'3
The channel codin scheme for transport bloc"s in 6T3 is Turbo 2odin with a codin rate of 0N,K3. two M?state
constituent encoders and a contention?free Buadratic permutation polynomial (IPP) turbo code internal interleaver.
Trellis termination is used for the turbo codin. 1efore the turbo codin. transport bloc"s are semented into byte
alined sements with a ma'imum information bloc" si(e of ;,-- bits. 3rror detection is supported by the use of *- bit
202. 8urther channel codin schemes for 12J and control information are specified in C3D.
4.2.4 P%y!i#al layer $ro#edure!
There are several Physical layer procedures involved with 6T3 operation. !uch procedures covered by the physical
layer areA
? 2ell search
? Power control
? 4plin" synchronisation and 4plin" timin control
? 0andom access related procedures
? J/0I related procedures
? 0elay related procedures
Throuh the control of physical layer resources in the freBuency domain as well as in the time and power domains.
implicit support of interference coordination is provided in 6T3.
4.2.5 P%y!i#al layer 6ea!ure6e'!
0adio characteristics are measured by the 43 and the e&ode?1 and reported to hiher layers in the networ". These
include. e.. measurements for intra? and inter?freBuency handover. inter 0/T handover. timin measurements and
measurements for 00M and in support for positionin.
Measurements for inter?0/T handover are defined in support of handover to G!M. 4T0/ 899. 4T0/ T99.
29M/*+++ ,' 0TT and 29M/*+++ J0P9.
3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," , Release %&
5 5o#u6e' !ru#ure o4 "T, $%y!i#al layer
!$e#i4i#aio'
5.1 87er7ie2
The physical layer specification consists of a eneral document (T! 3;.*+,). and five documents (T!s 3;.*,,. 3;.*,*.
3;.*,3. 3;.*,- and 3;.*,;). The relation between the physical layer specifications in the conte't of the hiher layers is
shown in 8iure *A T! 3;.*,; is the physical layer specification for transmissions between an e&ode?1 and an 0&.
.i/ure &0 Relation 3etween Ph$sical #a$er specifications
5.2 TS 36.201- P%y!i#al layer 9 Ge'eral de!#ri$io'
The scope is to describe<
? The contents of the 6ayer , documents (T! 3;.*++ series)A
? Ohere to find informationA
? / eneral description of 6T3 6ayer ,.
5.3 TS 36.211- P%y!i#al #%a''el! a'd 6odulaio'
The scope of this specification is to establish the characteristics of the 6ayer?, physical channels. eneration of physical
layer sinals and modulation. and to specify<
? 9efinition of the uplin" and downlin" physical channelsA
? The structure of the physical channels. frame format. physical resource elements. etc.A
? Modulation mappin (1P!$. IP!$. etc)A
? Physical shared channel in uplin" and downlin"A
? 0eference sinal in uplin" and downlin"A
? 0andom access channelA
? Primary and secondary synchroni(ation sinalsA
? O89M sinal eneration in downlin"A
3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," %) Release %&
? !2?89M/ sinal eneration in uplin"A
? !cramblin. modulation and up conversionA
? 4plin"?downlin" timin relationA
? 6ayer mappin and precodin in downlin" and uplin".
5.4 TS 36.212- Muli$le/i'3 a'd #%a''el #odi'3
The scope of this specification is to describe the transport channel and control channel data processin. includin
multiple'in. channel codin and interleavin. and to specify<
? 2hannel codin schemesA
? 2odin of 6ayer , K 6ayer * control informationA
? %nterleavinA
? 0ate matchinA
5.5 TS 36.213- P%y!i#al layer $ro#edure!
The scope of this specification is to establish the characteristics of the physical layer procedures. and to specify<
? !ynchronisation procedures. includin cell search procedure and timin synchronisationA
? Power control procedureA
? 0andom access procedureA
? Physical downlin" shared channel related procedures. includin 2!% feedbac" reportinA
? Physical uplin" shared channel related procedures. includin 43 soundin and J/0I /2$K&/2$ detectionA
? Physical shared control channel procedures. includin assinment of shared control channelsA
? Physical multicast channel related procedures.
5.6 TS 36.214- P%y!i#al layer 9 Mea!ure6e'!
The scope of this specification is to establish the characteristics of the physical layer measurements. and to specify<
? Measurements to be performed by 6ayer , in 43 and 3?4T0/&A
? 0eportin of measurement results to hiher layers and the networ"A
? Jandover measurements. idle?mode measurements. etc.
5.0 TS 36.216- P%y!i#al layer 4or relayi'3 o$eraio'
The scope of this specification is to establish the characteristics of e&1 ? 0& transmissions. and to specify relay?
specific advancements in relation to<
? Physical 2hannels and ModulationA
? Multiple'in and channel codinA
? 0elay &ode procedures.
3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," %% Release %&
&''e/ & (i'4or6ai7e)-
Pre4erred 6a%e6ai#al 'oaio'!
The followin table contains the preferred mathematical notations used in 6, documentation.
3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," %& Release %&
ite4 notation
6uli$ly $rodu# #ro!! !i3', e.3. ab
6ari/ $rodu# do !i3', e.3. ab
!#alar $rodu# ($rodu# o4 a 6ari/ (y a !#alar) do !i3', !#alar !%ould $re#ede 6ari/ e.3. ( )
1
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(ra#;ei'3 o4 !e! (all ele6e'! o4 !a6e y$e,
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<a1, a2, >,a$=, or { }
{ } p i i
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(ra#;ei'3 o4 li!! (all ele6e'! 'o 'e#e!!ary o4
!a6e y$e, ordered ele6e'!)
rou'd (ra#;e! (), e.3. (&, u, /)
(ra#;ei'3 o4 !e?ue'#e! (all ele6e'! o4 !a6e
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a'3le (ra#;e!, e.3. @a1, a2, >,a$A or
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(ra#;ei'3 o4 4u'#io' ar3u6e' rou'd (ra#;e!, e.3. 4(x)
(ra#;ei'3 o4 array i'de/ !?uare (ra#;e!, e.3. aBxC
(ra#;ei'3 o4 6ari/ or 7e#or !?uare (ra#;e! BC, e.3.
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Se$araio' o4 i'de/e! u!e a #o66a - e.3. Ni,j
u!e o4 iali# 4or !y6(ol! a !y6(ol !%ould (e ei%er i' iali# or i' 'or6al 4o', (u
6i/i'3 u$ !%ould (e a7oided.
(ra#;ei'3 o4 ari%6ei# e/$re!!io' o 4or#e
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4od o$eraor i! u!ed e/$li#i (ra#;ei'3 o4 6od o$era'd!
a'd $o!!i(ly re!ul !%ould (e do'e.
'u6(er y$e i' a #o'e/ o4 'o' 'e3ai7e i'e3er 'u6(er!, !o6e 'oe!
!%ould !re!! 2%e' a 'u6(er i! !i3'ed, or $o!!i(ly
4ra#io'al.
(i'ary 5or a'd and re!$e#i7ely u!e . or . E4 'o F6od 2F i! e/$li#ily i' %e
e/$re!!io' !o6e e/ !%ould !re!! %a %e o$eraio' i!
6odulo 2.
6ari/ or 7e#or ra'!$o!e 7
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real $ar a'd i6a3i'ary $ar o4 #o6$le/
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Re(/) a'd E6(/)
Modulo o$eraio' (i'#ludi'3 'e3ai7e 7alue)
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3GPP
3GPP TS 3'(&)% *%&()() &)%+!)," %3 Release %&
&''e/ J (i'4or6ai7e)-
+%a'3e %i!ory
6han/e histor$
7ate TSG 8 TSG 7oc( 6R Rev Su3ject96o44ent :ld New
02110106 - - - 5ra4 7er!io' #reaed - 0.0.0
13110106 - - - ,'dor!ed (y R&*1 0.0.1 0.1.0
01111106 - - - ,dior! 7er!io' a R&*1K40 0.1.0 0.1.1
04111106 - - - Re7i!ed edior! 7er!io' a R&*1K40 0.1.1 0.1.2
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01112109 R&*M46 RP-091100 0004 1 ,diorial #orre#io'! o 36.201 L.3.0 9.0.0
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