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Content for  TS 38.300  Word version:  16.3.0

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5.3  Uplink

5.3.1  Uplink transmission scheme

Two transmission schemes are supported for PUSCH: codebook based transmission and non-codebook based transmission.
For codebook based transmission, the gNB provides the UE with a transmit precoding matrix indication in the DCI. The UE uses the indication to select the PUSCH transmit precoder from the codebook. For non-codebook based transmission, the UE determines its PUSCH precoder based on wideband SRI field from the DCI.
A closed loop DMRS based spatial multiplexing is supported for PUSCH. For a given UE, up to 4 layer transmissions are supported. The number of code words is one. When transform precoding is used, only a single MIMO layer transmission is supported.
Transmission durations from 1 to 14 symbols in a slot is supported.
Aggregation of multiple slots with TB repetition is supported.
Two types of frequency hopping are supported, intra-slot frequency hopping, and in case of slot aggregation, inter-slot frequency hopping. Intra-slot and inter-slot frequency hopping are not supported when PRB interlace uplink transmission waveform is used.
PUSCH may be scheduled with DCI on PDCCH, or a semi-static configured grant may be provided over RRC, where two types of operation are supported:
  • The first PUSCH is triggered with a DCI, with subsequent PUSCH transmissions following the RRC configuration and scheduling received on the DCI, or
  • The PUSCH is triggered by data arrival to the UE's transmit buffer and the PUSCH transmissions follow the RRC configuration.
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5.3.2  Physical-layer processing for physical uplink shared channelWord‑p. 32
The uplink physical-layer processing of transport channels consists of the following steps:
  • Transport Block CRC attachment;
  • Code block segmentation and Code Block CRC attachment;
  • Channel coding: LDPC coding;
  • Physical-layer hybrid-ARQ processing;
  • Rate matching;
  • Scrambling;
  • Modulation: Π/2 BPSK (with transform precoding only), QPSK, 16QAM, 64QAM and 256QAM;
  • Layer mapping, transform precoding (enabled/disabled by configuration), and pre-coding;
  • Mapping to assigned resources and antenna ports.
The UE transmits at least one symbol with demodulation reference signal on each layer on each frequency hop in which the PUSCH is transmitted, and up to 3 additional DMRS can be configured by higher layers.
Phase Tracking RS may be transmitted on additional symbols to aid receiver phase tracking.
The UL-SCH physical layer model is described in TS 38.202.
For configured grants operation with shared spectrum channel access, described in clause 10.3, a CG-UCI (Configured Grant Uplink Control Information) is transmitted in PUSCH scheduled by configured uplink grant.
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5.3.3  Physical uplink control channel

Physical uplink control channel (PUCCH) carries the Uplink Control Information (UCI) from the UE to the gNB. Five formats of PUCCH exist, depending on the duration of PUCCH and the UCI payload size.
  • Format #0: Short PUCCH of 1 or 2 symbols with small UCI payloads of up to two bits with UE multiplexing capacity of up to 6 UEs with 1-bit payload in the same PRB;
  • Format #1: Long PUCCH of 4-14 symbols with small UCI payloads of up to two bits with UE multiplexing capacity of up to 84 UEs without frequency hopping and 36 UEs with frequency hopping in the same PRB;
  • Format #2: Short PUCCH of 1 or 2 symbols with large UCI payloads of more than two bits with no UE multiplexing capability in the same PRBs;
  • Format #3: Long PUCCH of 4-14 symbols with large UCI payloads with no UE multiplexing capability in the same PRBs;
  • Format #4: Long PUCCH of 4-14 symbols with moderate UCI payloads with multiplexing capacity of up to 4 UEs in the same PRBs.
The short PUCCH format of up to two UCI bits is based on sequence selection, while the short PUCCH format of more than two UCI bits frequency multiplexes UCI and DMRS. The long PUCCH formats time-multiplex the UCI and DMRS. Frequency hopping is supported for long PUCCH formats and for short PUCCH formats of duration of 2 symbols. Long PUCCH formats can be repeated over multiple slots.
For operation with shared spectrum channel access, PUCCH Format #0, #1, #2, #3 are extended to use resource in one PRB interlace (up to two interlaces for Format #2 and Format #3) in one RB Set. PUCCH Format #2 and #3 are enhanced to support multiplexing capacity of up to 4 UEs in the same PRB interlace when one interlace is used.
UCI multiplexing in PUSCH is supported when UCI and PUSCH transmissions coincide in time, either due to transmission of a UL-SCH transport block or due to triggering of A-CSI transmission without UL-SCH transport block:
  • UCI carrying HARQ-ACK feedback with 1 or 2 bits is multiplexed by puncturing PUSCH;
  • In all other cases UCI is multiplexed by rate matching PUSCH.
UCI consists of the following information:
  • CSI;
  • ACK/NAK;
  • Scheduling request.
For operation with shared spectrum channel access, multiplexing of CG-UCI and PUCCH carrying HARQ-ACK feedback can be configured by the gNB. If not configured, when PUCCH overlaps with PUSCH scheduled by a configured grant within a PUCCH group and PUCCH carries HARQ ACK feedback, PUSCH scheduled by configured grant is skipped.
QPSK and Π/2 BPSK modulation can be used for long PUCCH with more than 2 bits of information, QPSK is used for short PUCCH with more than 2 bits of information and BPSK and QPSK modulation can be used for long PUCCH with up to 2 information bits.
Transform precoding is applied to PUCCH Format #3 and Format #4.
Channel coding used for uplink control information is described in table 5.3.3-1.
Uplink Control Information size including CRC, if present
Channel code

1
Repetition code
2
Simplex code
3-11
Reed Muller code
>11
Polar code

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5.3.4  Random accessWord‑p. 33
Random access preamble sequences, of four different lengths are supported. Sequence length 839 is applied with subcarrier spacings of 1.25 and 5 kHz, sequence length 139 is applied with subcarrier spacings of 15, 30, 60 and 120 kHz, and sequence lengths of 571 and 1151 are applied with subcarrier spacings of 30 kHz and 15 kHz respectively. Sequence length 839 supports unrestricted sets and restricted sets of Type A and Type B, while sequence lengths 139, 571, and 1151 support unrestricted sets only. Sequence length 839 is only used for operation with licensed channel access while sequence length 139 can be used for operation with either licensed or shared spectrum channel access. Sequence lengths of 571 and 1151 can be used only for operation with shared spectrum channel access.
Multiple PRACH preamble formats are defined with one or more PRACH OFDM symbols, and different cyclic prefix and guard time. The PRACH preamble configuration to use is provided to the UE in the system information.
For IAB additional random access configurations are defined. These configurations are obtained by extending the random access configurations defined for UEs via scaling the periodicity and/or offsetting the time domain position of the RACH occasions.
IAB-MTs can be provided with random access configurations (as defined for UEs or after applying the aforementioned scaling/offsetting) different from random access configurations provided to UEs.
The UE calculates the PRACH transmit power for the retransmission of the preamble based on the most recent estimate pathloss and power ramping counter.
The system information provides information for the UE to determine the association between the SSB and the RACH resources. The RSRP threshold for SSB selection for RACH resource association is configurable by network.
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5.3.5  Physical layer proceduresWord‑p. 34

5.3.5.1  Link adaptation

Four types of link adaptation are supported as follows:
  • Adaptive transmission bandwidth;
  • Adaptive transmission duration;
  • Transmission power control;
  • Adaptive modulation and channel coding rate.
For channel state estimation purposes, the UE may be configured to transmit SRS that the gNB may use to estimate the uplink channel state and use the estimate in link adaptation.

5.3.5.2  Uplink Power control

The gNB determines the desired uplink transmit power and provides uplink transmit power control commands to the UE. The UE uses the provided uplink transmit power control commands to adjust its transmit power.

5.3.5.3  Uplink timing control

The gNB determines the desired Timing Advance setting and provides that to the UE. The UE uses the provided TA to determine its uplink transmit timing relative to the UE's observed downlink receive timing.

5.3.5.4  HARQ

Asynchronous Incremental Redundancy Hybrid ARQ is supported. The gNB schedules each uplink transmission and retransmission using the uplink grant on DCI. For operation with shared spectrum channel access, UE can also retransmit on configured grants.
The UE may be configured to transmit code block group based transmissions where retransmissions may be scheduled to carry a sub-set of all the code blocks of a transport block.
Up to two HARQ-ACK codebooks corresponding to a priority (high/low) can be constructed simultaneously. For each HARQ-ACK codebook, more than one PUCCH for HARQ-ACK transmission within a slot is supported. Each PUCCH is limited within one sub-slot, and the sub-slot pattern is configured per HARQ-ACK codebook.
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5.3.5.5  Prioritization of overlapping transmissions |R16|

PUSCH and PUCCH can be associated with a priority (high/low) by RRC or L1 signalling. If a PUCCH transmission overlaps in time with a transmission of a PUSCH or another PUCCH, only the PUCCH or PUSCH associated with a high priority can be transmitted.

5.3.6  Uplink Reference Signals and Measurements for Positioning |R16|Word‑p. 35
The periodic, semipersistent and aperiodic transmission of Rel-15 SRS is defined for gNB UL RTOA, UL SRS-RSRP, UL-AoA measurements to facilitate support of UL TDOA and UL AoA positioning methods as described in TS 38.305.
The periodic, semipersistent and aperiodic transmission of SRS for positioning is defined for gNB UL RTOA, UL SRS-RSRP, UL-AoA, gNB Rx-Tx time difference measurements to facilitate support of UL TDOA, UL AoA and multi-RTT positioning methods as described in TS 38.305.
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