Uplink transmissions and receptions
Apparatuses and methods for uplink (UL) transmissions and receptions. A method performed by a user equipment (UE). The method includes transmitting capability information about an UL codebook for 3 antenna ports; receiving a configuration indicating a sounding resource signal (SRS) resource set including at least one SRS resource with 4 SRS ports, wherein one of the 4 SRS ports is muted; and transmitting a SRS from 3 of the 4 SRS ports. The method further includes receiving an indication indicating a transmit precoding matrix indicator (TPMI) for transmission of a physical uplink shared channel (PUSCH) and transmitting the PUSCH based on the indicated TPMI. The TPMI indicates a precoding matrix from the UL codebook for the 3 antenna ports.
1 . A user equipment (UE) comprising
a processor; and
a transceiver operably coupled to the processor, the transceiver configured to:
transmit capability information about an uplink (UL) codebook for 3 antenna ports,
receive a configuration indicating a sounding resource signal (SRS) resource set comprising at least one SRS resource with 4 SRS ports, wherein one of the 4 SRS ports is muted,
transmit a SRS from 3 of the 4 SRS ports,
receive an indication indicating a transmit precoding matrix indicator (TPMI) for transmission of a physical uplink shared channel (PUSCH), and
transmit the PUSCH based on the indicated TPMI,
wherein the TPMI indicates a precoding matrix from the UL codebook for the 3 antenna ports, and
wherein:
a payload of the TPMI=2 bits when maxRank=1,
the payload of the TPMI=3 bits when maxRank=2 or 3, and
maxRank is higher layer configured.
2 . The UE of claim 1 , wherein the muted port is a fourth of the 4 SRS ports.
3 . The UE of claim 1 , wherein the UL codebook for the 3 antenna ports includes non-coherent (NC) precoding matrices given by:
Rank
TPMI index i
Precoder matrix W
1
0-2
1
3
[
1
0
0
]
1
3
[
0
1
0
]
1
3
[
0
0
1
]
2
0-2
1
3
[
1
0
0
1
0
0
]
1
3
[
1
0
0
0
0
1
]
1
3
[
0
0
1
0
0
1
]
3
0
1
3
[
1
0
0
0
1
0
0
0
1
]
.
4 . The UE of claim 1 , wherein:
the at least one SRS resource is two SRS resources, and
the indication includes an SRS resource indicator (SRI) indicating one of the two SRS resources.
5 . The UE of claim 1 , wherein:
when a number of layers for transmission of the PUSCH is one, transmission of the PUSCH is with transform precoding enabled or disabled,
when transform precoding is enabled, transmission of the PUSCH is based on discrete Fourier transform spread orthogonal frequency domain multiplexing (DFT-s-OFDM), and
when transform precoding is disabled, transmission of the PUSCH is based on cyclic prefix orthogonal frequency domain multiplexing (CP-OFDM).
6 . The UE of claim 1 , wherein:
the UL codebook for the 3 antenna ports includes partial coherent (PC) precoding matrices comprising both zero and non-zero entries in each column of the PC precoding matrices,
the PC precoding matrices are obtained by partitioning the 3 antenna ports into N g =2 groups, a first group comprising 2 of the 3 antenna ports and a second group comprising 1 of the 3 antenna port,
a layer of the PUSCH transmission is transmitted from either the first or the second group, and
the UL codebook for the 3 antenna ports includes the PC precoding matrices given by at least one of TABLE A, TABLE B, and TABLE C, given by:
TABLE A
TPMI
index
Index
Rank
i
j
precoder matrix W′
1
0-4
0-4
1
s
1
[
W
_
1
,
0
0
]
=
1
s
1
[
1
1
0
]
1
s
1
[
W
_
1
,
1
0
]
=
1
s
1
[
1
-
1
0
]
1
s
1
[
W
_
1
,
2
0
]
=
1
s
1
[
1
j
0
]
1
s
1
[
W
_
1
,
3
0
]
=
1
s
1
[
1
-
j
0
]
1
s
1
[
0
2
×
1
1
]
=
1
s
1
[
0
0
1
]
2
5-10
0-5
1
s
2
[
W
_
2
,
0
0
1
×
2
]
=
1
s
2
[
1
1
1
-
1
0
0
]
1
s
2
[
W
_
2
,
1
0
1
×
2
]
=
1
s
2
[
1
1
j
-
j
0
0
]
1
s
2
[
W
_
1
,
0
0
2
×
1
0
1
]
=
1
s
2
[
1
0
1
0
0
1
]
1
s
2
[
W
_
1
,
1
0
2
×
1
0
1
]
=
1
s
2
[
1
0
-
1
0
0
1
]
1
s
2
[
W
_
1
,
2
0
2
×
1
0
1
]
=
1
s
2
[
1
0
j
0
0
1
]
1
s
2
[
W
_
1
,
3
0
2
×
1
0
1
]
=
1
s
2
[
1
0
-
j
0
0
1
]
3
11-12
0-1
1
s
3
[
W
_
2
,
0
0
2
×
1
0
1
×
2
1
]
=
1
s
3
[
1
1
0
1
-
1
0
0
0
1
]
1
s
3
[
W
_
2
,
10
0
2
×
1
0
1
×
2
1
]
=
1
s
3
[
1
1
0
j
-
j
0
0
0
1
]
TABLE B
TPMI
index
Index
Rank
i
j
precoder matrix W′
1
0-4
0-4
1
s
1
[
1
0
2
×
1
]
=
1
s
1
[
1
0
0
]
1
s
1
[
0
W
_
1
,
0
]
=
1
s
1
[
0
1
1
]
1
s
1
[
0
W
_
1
,
1
]
=
1
s
1
[
0
1
-
1
]
1
s
1
[
0
W
_
1
,
20
]
=
1
s
1
[
0
1
j
]
1
s
1
[
0
W
_
1
,
3
]
=
1
s
1
[
0
1
-
j
]
2
5-10
0-5
1
s
2
[
0
1
×
2
W
_
2
,
0
]
=
1
s
2
[
0
0
1
1
1
-
1
]
1
s
2
[
0
1
×
2
W
_
2
,
1
]
=
1
s
2
[
0
0
1
1
j
-
j
]
1
s
2
[
0
1
W
_
1
,
0
0
2
×
1
]
=
1
s
2
[
0
1
1
0
1
0
]
1
s
2
[
0
1
W
_
1
,
1
0
2
×
1
]
=
1
s
2
[
0
1
1
0
-
1
0
]
1
s
2
[
0
1
W
_
1
,
2
0
2
×
1
]
=
1
s
2
[
0
1
1
0
j
0
]
1
s
2
[
0
1
W
_
1
,
3
0
2
×
1
]
=
1
s
2
[
0
1
1
0
-
j
0
]
3
11-12
0-1
1
s
3
[
0
1
×
2
1
W
_
2
,
0
0
2
×
1
]
=
1
s
3
[
0
0
1
1
1
0
1
-
1
0
]
1
s
3
[
0
1
×
2
1
W
_
2
,
0
0
2
×
1
]
=
1
s
3
[
0
0
1
1
1
0
j
-
j
0
]
TABLE C
Rank
TPMI index i
Index j
precoder matrix W′
1
0-4
0-4
1
s
1
[
0
1
0
]
1
s
1
[
1
0
1
]
1
s
1
[
1
0
-
1
]
1
s
1
[
1
0
j
]
1
s
1
[
1
0
-
j
]
2
5-10
0-5
1
s
2
[
1
1
0
0
1
-
1
]
1
s
2
[
1
1
0
0
j
-
j
]
1
s
2
[
1
0
0
1
1
0
]
1
s
2
[
1
0
0
1
-
1
0
]
1
s
2
[
1
0
0
1
j
0
]
1
s
2
[
1
0
0
1
-
j
0
]
3
11-12
0-1
1
s
3
[
1
1
0
0
0
1
1
-
1
0
]
1
s
3
[
1
1
0
0
0
1
j
-
j
0
]
where s 1 , s 2 , and s 3 are scaling factors belonging to [√{square root over (3,3)}].
7 . The UE of claim 1 , wherein the UL codebook for the 3 antenna ports includes full coherent (FC) precoding matrices comprising all non-zero entries, based on length-3 DFT vectors
p
1
,
i
=
[
1
e
j
2
π
l
3
O
1
e
j
4
π
l
3
O
1
]
,
i=0, 1, . . . , 30 1 −1, where:
a rank 1 precoder is given by
1
3
p
1
,
i
where p 1,i is based on all of or a subset of the following table
O 1
p 1,0
p 1,1
p 1,2
p 1,3
p 1,4
p 1,5
p 1,6
p 1,7
p 1,8
p 1.9,
p 1,10
p 1,11
1
[
1
1
1
]
[
1
e
j
2
π
1
3
e
j
2
π
2
3
]
[
1
e
j
2
π
2
3
e
j
2
π
4
3
]
2
[
1
1
1
]
[
1
e
j
2
π
1
6
e
j
2
π
1
3
]
[
1
e
j
2
π
1
3
e
j
2
π
2
3
]
[
1
e
j
π
e
j
2
π
]
[
1
e
j
2
π
2
3
e
j
2
π
4
3
]
[
1
e
j
2
π
5
6
e
j
2
π
5
3
]
4
[
1
1
1
]
[
1
e
j
2
π
1
12
e
j
2
π
1
6
]
[
1
e
j
2
π
1
6
e
j
2
π
1
3
]
[
1
e
j
2
π
1
4
e
j
2
π
1
2
]
[
1
e
j
2
π
1
3
e
j
2
π
2
3
]
[
1
e
j
2
π
5
12
e
j
2
π
5
6
]
[
1
e
j
π
e
j
2
π
]
[
1
e
j
2
π
7
12
e
j
2
π
7
6
]
[
1
e
j
2
π
2
3
e
j
2
π
4
3
]
[
1
e
j
2
π
3
4
e
j
2
π
3
2
]
[
1
e
j
2
π
5
3
e
j
2
π
10
3
]
[
1
e
j
2
π
11
12
e
j
2
π
11
6
]
,
a rank 2 precoding matrix is given by
1
6
p
2
,
i
where p 2,i is based on all of or a subset of the following table
0 1
p 2,0
p 2,1
p 2,2
p 2,3
p 2,4
p 2,5
1
[p 1,0 p 1,1 ]
[p 1,0 p 1,2 ]
[p 1,1 p 1,2 ]
2
[p 1,0 p 1,2 ]
[p 1,0 p 1,4 ]
[p 1,2 p 1,4 ]
[p 1,1 p 1,3 ]
[p 1,1 p 1,5 ]
[p 1,3 p 1,5 ]
4
[p 1,0 p 1,4 ]
[p 1,0 p 1,8 ]
[p 1,4 p 1,8 ]
[p 1,1 p 1,5 ]
[p 1,1 p 1,9 ]
[p 1,5 p 1,9 ]
p 2,6
p 2,7
p 2,8
p 2,9
p 2,10
p 2,11
[p 1,2 p 1,6 ]
[p 1,2 p 1,10 ]
[p 1,6 p 1,10 ]
[p 1,3 p 1,7 ]
[p 1,3 p 1,11 ]
[p 1,7 p 1,11 ],
and
a rank 3 precoding matrix is given by
1
3
p
3
,
i
where p 3,i is based on all of or a subset of the following table
O 1
P3,0
?3,1
P3,2
P3,3
1
[p 1, 0 p 1, 1
p 1, 2 ]
2
[p 1, 0 p 1, 2
[p 1, 1 p 1, 3
p 1, 4 ]
p 1, 5 ]
4
[p 1, 0 p 1, 4
[p 1, 1 p 1, 5
[p 1, 2 p 1, 6
[p 1, 3 p 1, 7
p 1, 8 ]
p 1, 9 ]
p 1, 10 ]
p 1, 11 ].
8 . A base station (BS) comprising
a processor; and
a transceiver operably coupled to the processor, the transceiver configured to:
receive capability information about an uplink (UL) codebook for 3 antenna ports,
transmit a configuration indicating a sounding resource signal (SRS) resource set comprising at least one SRS resource with 4 SRS ports, wherein one of the 4 SRS ports is muted,
receive a SRS from 3 of the 4 SRS ports,
transmit an indication indicating a transmit precoding matrix indicator (TPMI) for transmission of a physical uplink shared channel (PUSCH), and
receive the PUSCH based on the indicated TPMI,
wherein the TPMI indicates a precoding matrix from the UL codebook for the 3 antenna ports, and
wherein:
a payload of the TPMI=2 bits when maxRank=1,
the payload of the TPMI=3 bits when maxRank=2 or 3, and
maxRank is higher layer configured.
9 . The BS of claim 8 , wherein the muted port is a fourth of the 4 SRS ports.
10 . The BS of claim 8 , wherein the UL codebook for the 3 antenna ports includes non-coherent (NC) precoding matrices given by:
Rank
TPMI index i
Precoder matrix W
1
0-2
1
3
[
1
0
0
]
1
3
[
0
1
0
]
1
3
[
0
0
1
]
2
0-2
1
3
[
1
0
0
1
0
0
]
1
3
[
1
0
0
0
0
1
]
1
3
[
0
0
1
0
0
1
]
3
0
1
3
[
1
0
0
0
1
0
0
0
1
]
.
11 . The BS of claim 8 , wherein:
the at least one SRS resource is two SRS resources, and
the indication includes an SRS resource indicator (SRI) indicating one of the two SRS resources.
12 . The BS of claim 8 , wherein:
when a number of layers for transmission of the PUSCH is one, reception of the PUSCH is with transform precoding enabled or disabled,
when transform precoding is enabled, reception of the PUSCH is based on discrete Fourier transform spread orthogonal frequency domain multiplexing (DFT-s-OFDM), and
when transform precoding is disabled, reception of the PUSCH is based on cyclic prefix orthogonal frequency domain multiplexing (CP-OFDM).
13 . The BS of claim 8 , wherein:
the UL codebook for the 3 antenna ports includes partial coherent (PC) precoding matrices comprising both zero and non-zero entries in each column of the PC precoding matrices,
the PC precoding matrices are obtained by partitioning the 3 antenna ports into N g =2 groups, a first group comprising 2 of the 3 antenna ports and a second group comprising 1 of the 3 antenna port,
a layer of the PUSCH transmission is transmitted from either the first or the second group, and
the UL codebook for the 3 antenna ports includes the PC precoding matrices given by at least one of TABLE A, TABLE B, and TABLE C, given by:
TABLE A
TPMI
index
Index
Rank
i
I
precoder matrix W′
1
0-4
0-4
1
s
1
[
W
_
1
,
0
0
]
=
1
s
1
[
1
1
0
]
1
s
1
[
W
_
1
,
1
0
]
=
1
s
1
[
1
-
1
0
]
1
s
1
[
W
_
1
,
2
0
]
=
1
s
1
[
1
j
0
]
1
s
1
[
W
_
1
,
3
0
]
=
1
s
1
[
1
-
j
0
]
1
s
1
[
0
2
×
1
1
]
=
1
s
1
[
0
0
1
]
2
5-10
0-5
1
s
2
[
W
_
2
,
0
0
1
×
2
]
=
1
s
2
[
1
1
1
-
1
0
0
]
1
s
2
[
W
_
2
,
1
0
1
×
2
]
=
1
s
2
[
1
1
j
-
j
0
0
]
1
s
2
[
W
_
1
,
0
0
2
×
1
0
1
]
=
1
s
2
[
1
0
1
0
0
1
]
1
s
2
[
W
_
1
,
1
0
2
×
1
0
1
]
=
1
s
2
[
1
0
-
1
0
0
1
]
1
s
2
[
W
_
1
,
2
0
2
×
1
0
1
]
=
1
s
2
[
1
0
j
0
0
1
]
1
s
2
[
W
_
1
,
3
0
2
×
1
0
1
]
=
1
s
2
[
1
0
-
j
0
0
1
]
3
11-12
0-1
1
s
3
[
W
_
2
,
0
0
2
×
1
0
1
×
2
1
]
=
1
s
3
[
1
1
0
1
-
1
0
0
0
1
]
1
s
3
[
W
_
2
,
10
0
2
×
1
0
1
×
2
1
]
=
1
s
3
[
1
1
0
j
-
j
0
0
0
1
]
TABLE B
TPMI
index
Index
Rank
i
j
precoder matrix W′
1
0-4
0-4
1
s
1
[
1
0
2
×
1
]
=
1
s
1
[
1
0
0
]
1
s
1
[
0
W
_
1
,
0
]
=
1
s
1
[
0
1
1
]
1
s
1
[
0
W
_
1
,
1
]
=
1
s
1
[
0
1
-
1
]
1
s
1
[
0
W
_
1
,
20
]
=
1
s
1
[
0
1
j
]
1
s
1
[
0
W
_
1
,
3
]
=
1
s
1
[
0
1
-
j
]
2
5-10
0-5
1
s
2
[
0
1
×
2
W
_
2
,
0
]
=
1
s
2
[
0
0
1
1
1
-
1
]
1
s
2
[
0
1
×
2
W
_
2
,
1
]
=
1
s
2
[
0
0
1
1
j
-
j
]
1
s
2
[
0
1
W
_
1
,
0
0
2
×
1
]
=
1
s
2
[
0
1
1
0
1
0
]
1
s
2
[
0
1
W
_
1
,
1
0
2
×
1
]
=
1
s
2
[
0
1
1
0
-
1
0
]
1
s
2
[
0
1
W
_
1
,
2
0
2
×
1
]
=
1
s
2
[
0
1
1
0
j
0
]
1
s
2
[
0
1
W
_
1
,
3
0
2
×
1
]
=
1
s
2
[
0
1
1
0
-
j
0
]
3
11-12
0-1
1
s
3
[
0
1
×
2
1
W
_
2
,
0
0
2
×
1
]
=
1
s
3
[
0
0
1
1
1
0
1
-
1
0
]
1
s
3
[
0
1
×
2
1
W
_
2
,
0
0
2
×
1
]
=
1
s
3
[
0
0
1
1
1
0
j
-
j
0
]
TABLE C
Rank
TPMI index i
Index j
precoder matrix W′
1
0-4
0-4
1
s
1
[
0
1
0
]
1
s
1
[
1
0
1
]
1
s
1
[
1
0
-
1
]
1
s
1
[
1
0
j
]
1
s
1
[
1
0
-
j
]
2
5-10
0-5
1
s
2
[
1
1
0
0
1
-
1
]
1
s
2
[
1
1
0
0
j
-
j
]
1
s
2
[
1
0
0
1
1
0
]
1
s
2
[
1
0
0
1
-
1
0
]
1
s
2
[
1
0
0
1
j
0
]
1
s
2
[
1
0
0
1
-
j
0
]
3
11-12
0-1
1
s
3
[
1
1
0
0
0
1
1
-
1
0
]
1
s
3
[
1
1
0
0
0
1
j
-
j
0
]
where s 1 , s 2 , and s 3 are scaling factors belonging to [√{square root over (3,3)}].
14 . The BS of claim 8 , wherein the UL codebook for the 3 antenna ports includes full coherent (FC) precoding matrices comprising all non-zero entries, based on length-3 DFT vectors
p
1
,
i
=
[
1
e
j
2
π
l
3
O
1
e
j
4
π
l
3
O
1
]
,
i=0, 1, . . . , 30 1 −1, where:
a rank 1 precoder is given by
1
3
p
1
,
i
where p 1,i is based on all of or a subset of the following table
O 1
p 1,0
p 1,1
p 1,2
p 1,3
p 1,4
p 1,5
p 1,6
p 1,7
p 1,8
p 1.9,
p 1,10
p 1,11
1
[
1
1
1
]
[
1
e
j
2
π
1
3
e
j
2
π
2
3
]
[
1
e
j
2
π
2
3
e
j
2
π
4
3
]
2
[
1
1
1
]
[
1
e
j
2
π
1
6
e
j
2
π
1
3
]
[
1
e
j
2
π
1
3
e
j
2
π
2
3
]
[
1
e
j
π
e
j
2
π
]
[
1
e
j
2
π
2
3
e
j
2
π
4
3
]
[
1
e
j
2
π
5
6
e
j
2
π
5
3
]
4
[
1
1
1
]
[
1
e
j
2
π
1
12
e
j
2
π
1
6
]
[
1
e
j
2
π
1
6
e
j
2
π
1
3
]
[
1
e
j
2
π
1
4
e
j
2
π
1
2
]
[
1
e
j
2
π
1
3
e
j
2
π
2
3
]
[
1
e
j
2
π
5
12
e
j
2
π
5
6
]
[
1
e
j
π
e
j
2
π
]
[
1
e
j
2
π
7
12
e
j
2
π
7
6
]
[
1
e
j
2
π
2
3
e
j
2
π
4
3
]
[
1
e
j
2
π
3
4
e
j
2
π
3
2
]
[
1
e
j
2
π
5
3
e
j
2
π
10
3
]
[
1
e
j
2
π
11
12
e
j
2
π
11
6
]
a rank 2 precoding matrix is given by
1
6
p
2
,
i
where p 2,i is based on all of or a subset of the following table
0 1
p 2,0
p 2,1
p 2,2
p 2,3
p 2,4
p 2,5
1
[p 1,0 p 1,1 ]
[p 1,0 p 1,2 ]
[p 1,1 p 1,2 ]
2
[p 1,0 p 1,2 ]
[p 1,0 p 1,4 ]
[p 1,2 p 1,4 ]
[p 1,1 p 1,3 ]
[p 1,1 p 1,5 ]
[p 1,3 p 1,5 ]
4
[p 1,0 p 1,4 ]
[p 1,0 p 1,8 ]
[p 1,4 p 1,8 ]
[p 1,1 p 1,5 ]
[p 1,1 p 1,9 ]
[p 1,5 p 1,9 ]
p 2,6
p 2,7
p 2,8
p 2,9
p 2,10
p 2,11
[p 1,2 p 1,6 ]
[p 1,2 p 1,10 ]
[p 1,6 p 1,10 ]
[p 1,3 p 1,7 ]
[p 1,3 p 1,11 ]
[p 1,7 p 1,11 ],
and
a rank 3 precoding matrix is given by
1
3
p
3
,
i
where p 3,i is based on all of or a subset of the following table
O 1
p 3, 0
p 3, 1
p 3, 2
p 3, 3
1
[p 1, 0 p 1, 1
p 1, 2 ]
2
[p 1, 0 p 1, 2
[p 1, 1 p 1, 3
p 1, 4 ]
p 1, 5 ]
4
[p 1, 0 p 1, 4
[p 1, 1 p 1, 5
[p 1, 2 p 1, 6
[p 1, 3 p 1, 7
p 1, 8 ]
p 1, 9 ]
p 1, 10 ]
p 1, 11 ].
15 . A method performed by a user equipment (UE), the method comprising:
transmitting capability information about an uplink (UL) codebook for 3 antenna ports;
receiving a configuration indicating a sounding resource signal (SRS) resource set comprising at least one SRS resource with 4 SRS ports, wherein one of the 4 SRS ports is muted;
transmitting a SRS from 3 of the 4 SRS ports;
receiving an indication indicating a transmit precoding matrix indicator (TPMI) for transmission of a physical uplink shared channel (PUSCH); and
transmitting the PUSCH based on the indicated TPMI,
wherein the TPMI indicates a precoding matrix from the UL codebook for the 3 antenna ports, and
wherein:
a payload of the TPMI=2 bits when maxRank=1,
the payload of the TPMI=3 bits when maxRank=2 or 3, and
maxRank is higher layer configured.
16 . The method of claim 15 , wherein the muted port is a fourth of the 4 SRS ports.
17 . The method of claim 15 , wherein the UL codebook for the 3 antenna ports includes non-coherent (NC) precoding matrices given by:
Rank
TPMI index i
Precoder matrix W
1
0-2
1
3
[
1
0
0
]
1
3
[
0
1
0
]
1
3
[
0
0
1
]
2
0-2
1
3
[
1
0
0
1
0
0
]
1
3
[
1
0
0
0
0
1
]
1
3
[
0
0
1
0
0
1
]
3
0
1
3
[
1
0
0
0
1
0
0
0
1
]
.