5G Air Interface by MPIRICAL PDF

Innovating Telecoms Training
5G Air Interface -
Non-Standalone Operation
Student Guide
www.mpirical.com
5G Air Interface - Non-Standalone Operation
5G Air Interface -
Non-Standalone Operation
Student Guide
MPI5029-01 © Mpirical Limited, 2018 i

Mpirical classes have been developed in accordance with the technical specifications
published by the 3GPP. As such the 3GPP have granted Mpirical Limited the right to use the
3GPP logo to identify specifications, compliant products and services.
First published by Mpirical Limited in 2018

© Mpirical Limited, 2018
All rights reserved. No part of this book or accompanying software may be reproduced or
transmitted in any form by any means, electronic, mechanical, photocopying, recording, or
otherwise without the prior written consent of the publisher. Although every precaution has
been taken in the preparation of this book the publisher assumes no responsibility for errors
and omissions. Nor is any liability assumed for damages resulting from the use of the
information contained within.
ii © Mpirical Limited, 2018 MPI5029-01

Contents
5G New Radio........................................................................... 1-1

5G Phases ............................................................................................................ 1-2
1.1.1 NR (New Radio) Phases ......................................................................... 1-2
1.1.2 5G NR Roadmap..................................................................................... 1-2
NG-RAN Architecture Interfaces .......................................................................... 1-3
1.2.1 Non-Standalone Architecture .................................................................. 1-3
1.2.2 Standalone Architecture .......................................................................... 1-3
1.2.3 EN-DC UE Protocols ............................................................................... 1-4
1.2.4 C-RAN for EN-DC ................................................................................... 1-5
EN-DC Terminology and Options ......................................................................... 1-6
1.3.1 MCG and SCG ........................................................................................ 1-6
1.3.2 EN-DC User Plane Bearer Options......................................................... 1-6
1.3.3 SRB3 ....................................................................................................... 1-8
1.3.4 Split SRB in EN-DC................................................................................. 1-9
1.3.5 Preparing for EN-DC in the RAN .......................................................... 1-10
5G Physical Layer Transmission and Reception .................. 2-1

5G NR Duplexing ................................................................................................. 2-2
2.1.1 FDD and TDD Duplexing Modes............................................................. 2-2
2.1.2 Supplementary Downlink ........................................................................ 2-2
2.1.3 Supplementary Uplink ............................................................................. 2-3
5G Frequency Bands ........................................................................................... 2-3
2.2.1 Definition of Frequency Ranges .............................................................. 2-4
2.2.2 5G NR Bands .......................................................................................... 2-4
2.2.3 EN-DC Band Combinations .................................................................... 2-5
2.2.4 Baseband Processing Combination ........................................................ 2-5
2.2.5 Harmonics and Intermodulation for EN-DC ............................................ 2-6
2.2.6 5G Carrier Numbering ............................................................................. 2-8
5G Waveform: CP-OFDM and DFT-OFDM .......................................................... 2-9
2.3.1 OFDM Subcarriers and Reference Signals........................................... 2-10
2.3.2 Orthogonal Frequency Division Multiplexing......................................... 2-10
MPI5029-01 © Mpirical Limited, 2018 iii

2.3.3 Cyclic Prefix .......................................................................................... 2-12

NR Numerology and Frame Structure ................................................................ 2-13
2.4.1 Numerology ........................................................................................... 2-13
2.4.2 Slot Length ............................................................................................ 2-14
2.4.3 Frame Structure .................................................................................... 2-14
2.4.4 NR Slots ................................................................................................ 2-15
2.4.5 5G NR Time Unit ................................................................................... 2-16
2.4.6 NR Cyclic Prefix .................................................................................... 2-16
2.4.7 NR Physical Resource Block ................................................................ 2-17
2.4.8 Resource Grid ....................................................................................... 2-18
2.4.9 5G NR Transmitted Signal .................................................................... 2-18
2.4.10 Slot Format Configuration ................................................................... 2-19
2.4.11 Uplink/Timing ....................................................................................... 2-20
Channel Bandwidth ............................................................................................ 2-21
2.5.1 Maximum Transmission Bandwidth ...................................................... 2-21
2.5.2 Carrier BWP (Bandwidth Part) .............................................................. 2-22
5G Massive MIMO and Beamforming ..................................... 3-1

Why Massive MIMO? ........................................................................................... 3-2
3.1.1 Requirement for Massive MIMO ............................................................. 3-2
3.1.2 Increasing Capacity................................................................................. 3-2
MIMO .................................................................................................................... 3-3
3.2.1 Summary of Transmission Path in 5G NR .............................................. 3-3
3.2.2 MIMO Spatial Multiplexing ...................................................................... 3-5
3.2.3 SU-MIMO vs MU-MIMO .......................................................................... 3-5
Beamforming (Massive MIMO)............................................................................. 3-6
3.3.1 Spatial Multiplexing vs Beamforming ...................................................... 3-6
3.3.2 Creating a Beam ..................................................................................... 3-6
3.3.3 Narrow Beams and Beam Steering ........................................................ 3-7
3.3.4 Beamforming Nulls .................................................................................. 3-7
3.3.5 Massive MIMO Antennas ........................................................................ 3-8
3.3.6 MIMO in a Handset ................................................................................. 3-9
3.3.7 Multiple Panel Antenna ......................................................................... 3-10
Beam Management in 5G NR ............................................................................ 3-10
3.4.1 Beam Sweeping .................................................................................... 3-11
3.4.2 SS Block ................................................................................................ 3-12
3.4.3 Beam Management Reference Signals ................................................ 3-12
3.4.4 Transmission Configuration and Quasi Co-Location ............................ 3-14
3.4.5 Single and Multiple CSI-RS................................................................... 3-15
3.4.6 Transmission Based on SRS ................................................................ 3-15
3.4.7 SS Burst and Burst Set ......................................................................... 3-16
iv © Mpirical Limited, 2018 MPI5029-01

3.4.8 SS Block Locations ............................................................................... 3-16

3.4.9 SS/PBCH Block Index Indication .......................................................... 3-19
3.4.10 Beam Measurement, Determination and Reporting ........................... 3-19
Transmission in 5G NR ...................................................................................... 3-20
3.5.1 Downlink Transmission ......................................................................... 3-20
3.5.2 Uplink Transmission .............................................................................. 3-21
3.5.3 NR Downlink Antenna Ports .................................................................. 3-22
3.5.4 NR Uplink Antenna Ports ...................................................................... 3-22
5G Physical Layer Details ....................................................... 4-1

5G Physical Layer ................................................................................................ 4-2
4.1.1 Key Specifications ................................................................................... 4-2
4.1.2 Channels and Signals ............................................................................. 4-2
Processing Chain ................................................................................................. 4-6
4.2.1 Code Block Group ................................................................................... 4-6
4.2.2 Codewords to Antenna Ports .................................................................. 4-6
Downlink Physical Channels and Signals ............................................................ 4-8
4.3.1 Downlink Synchronization Signals .......................................................... 4-8
4.3.2 PSS and SSS .......................................................................................... 4-8
4.3.3 Physical Broadcast Channel ................................................................... 4-9
4.3.4 Physical Downlink Control Channel ...................................................... 4-11
4.3.5 Physical Downlink Shared Channel ...................................................... 4-14
4.3.6 PDSCH DMRS ...................................................................................... 4-16
Uplink Physical Channels ................................................................................... 4-19
4.4.1 Physical Random Access Channel ....................................................... 4-19
4.4.2 Physical Uplink Shared Channel........................................................... 4-23
4.4.3 Physical Uplink Control Channel........................................................... 4-25
Additional 5G Reference Signals........................................................................ 4-28
4.5.1 CSI-RS .................................................................................................. 4-28
4.5.2 Sounding Reference Signal .................................................................. 4-30
4.5.3 Phase Tracking Reference Signal......................................................... 4-32
5G Layer 2 and Layer 3 ........................................................... 5-1

EN-DC RRC ......................................................................................................... 5-2
5.1.1 RRC Features ......................................................................................... 5-2
5.1.2 RRC States ............................................................................................. 5-2
5.1.3 RRC Messages ....................................................................................... 5-3
NR PDCP ............................................................................................................. 5-4
5.2.1 PDCP Services........................................................................................ 5-4
5.2.2 Functions ................................................................................................. 5-5
5.2.3 PDCP Profiles ......................................................................................... 5-5
5.2.4 PDCP Protocol Data Units ...................................................................... 5-7
MPI5029-01 © Mpirical Limited, 2018 v

NR Radio Link Control.......................................................................................... 5-9

5.3.1 Transparent Mode ................................................................................. 5-10
5.3.2 Unacknowledged Mode......................................................................... 5-10
5.3.3 Acknowledged Mode ............................................................................. 5-11
5.3.4 RLC Protocol Data Units ....................................................................... 5-12
NR Medium Access Control ............................................................................... 5-15
5.4.1 MAC Services and Functions ................................................................ 5-15
5.4.2 MAC Control Elements.......................................................................... 5-16
5.4.3 NR RNTI Identities ................................................................................ 5-16
5.4.4 MAC Headers ........................................................................................ 5-18
5.4.5 Discontinuous Reception ...................................................................... 5-20
5G EN-DC Operation................................................................ 6-1

Attaching and EN-DC Operation .......................................................................... 6-2
6.1.1 Initial E-UTRA Attach............................................................................... 6-2
6.1.2 UE Capabilities........................................................................................ 6-2
E-UTRA Measurements for EN-DC ...................................................................... 6-5
6.2.1 EUTRA Measurement Configuration Options ......................................... 6-5
6.2.2 Measurement Objects ............................................................................. 6-6
6.2.3 Report Configuration ............................................................................... 6-7
6.2.4 LTE Events Summary ............................................................................. 6-8
6.2.5 NR Events ............................................................................................... 6-9
6.2.6 Measurement Identities ........................................................................... 6-9
6.2.7 NR Measurement Timing Configuration ................................................ 6-10
PSCell Addition ................................................................................................... 6-11
6.3.1 Identifying Suitable NR Cell .................................................................. 6-11
6.3.2 Measurement Report ............................................................................ 6-11
6.3.3 SgNB Addition Request and Request Acknowledge............................. 6-12
6.3.4 RRC Connection Reconfiguration ......................................................... 6-16
6.3.5 Timing .................................................................................................... 6-17
6.3.6 Random Access Process ...................................................................... 6-18
6.3.7 PSCell Split SRB ................................................................................... 6-26
6.3.8 PSCell Split DRB................................................................................... 6-27
6.3.9 Secondary Node Release ..................................................................... 6-28
Radio Link Failure .............................................................................................. 6-29
6.4.1 RLF Configuration ................................................................................. 6-30
6.4.2 Out-of-Sync and In-Sync ....................................................................... 6-30
6.4.3 Failure Report ....................................................................................... 6-31
Beam Failure ...................................................................................................... 6-32
6.5.1 Beam Failure Parameters ..................................................................... 6-32
6.5.2 Beam Failure Detection......................................................................... 6-32
vi © Mpirical Limited, 2018 MPI5029-01

6.5.3 Beam Failure Recovery......................................................................... 6-33

Power Control ..................................................................................................... 6-34
6.6.1 Downlink Power Allocation .................................................................... 6-34
6.6.2 Uplink Power Control ............................................................................ 6-35
5G Scheduling.......................................................................... 7-1
NR Scheduling...................................................................................................... 7-2
7.1.1 Downlink Control Information .................................................................. 7-2
7.1.2 Search Space.......................................................................................... 7-3
7.1.3 Aggregation Levels.................................................................................. 7-4
7.1.4 Resource Allocation Type........................................................................ 7-5
7.1.5 Allocation Type 0 ..................................................................................... 7-5
7.1.6 Allocation Type 1 ..................................................................................... 7-6
7.1.7 Dynamic Switch ....................................................................................... 7-6
7.1.8 PDSCH and PUSCH Scheduling ............................................................ 7-7
7.1.9 Downlink Resource Allocation ................................................................. 7-7
7.1.10 PDSCH Time Domain Resource Allocation .......................................... 7-8
7.1.11 Table 1 and Table 2 PDSCH/PUSCH MCS ......................................... 7-10
7.1.12 Transport Block Size ........................................................................... 7-11
Uplink Resource Allocation................................................................................. 7-12
7.2.1 PUSCH Time Domain Resource Allocation .......................................... 7-13
7.2.2 PUSCH MCS Index ............................................................................... 7-14
Configured Scheduling ....................................................................................... 7-14
7.3.1 Downlink ................................................................................................ 7-14
7.3.2 Uplink .................................................................................................... 7-15
Feedback ............................................................................................................ 7-16
7.4.1 Buffer Status Report.............................................................................. 7-17
7.4.2 Power Headroom Reporting ................................................................. 7-18
7.4.3 HARQ-ACK ........................................................................................... 7-19
7.4.4 Scheduling Request .............................................................................. 7-20
7.4.5 Channel State Information .................................................................... 7-20
7.4.6 Channel Quality Indicator ...................................................................... 7-21
EN-DC Resource Coordination .......................................................................... 7-22
7.5.1 Resource Coordination Signalling......................................................... 7-22
7.5.2 Coordination Resource Bitmap ............................................................. 7-22
5G Mobility with EPC ............................................................... 8-1

EN-DC Mobility ..................................................................................................... 8-2
8.1.1 Mobility Options....................................................................................... 8-2
8.1.2 NR Measurements .................................................................................. 8-2
EN-DC Change of Secondary Node..................................................................... 8-4
8.2.1 Triggers ................................................................................................... 8-4
MPI5029-01 © Mpirical Limited, 2018 vii

8.2.2 Secondary Node Triggered ..................................................................... 8-4

8.2.3 RRC Reconfiguration .............................................................................. 8-5
8.2.4 Measurement Gap Configuration ............................................................ 8-6
8.2.5 Handover Restriction List ........................................................................ 8-8
Inter MeNB Handover with EN-DC ....................................................................... 8-8
Glossary ................................................................................... 9-1
viii © Mpirical Limited, 2018 MPI5029-01

Figures
Figure 1-1 5G Air Interface ......................................................................................... 1-2

Figure 1-2 5G Phase 1 and Phase 2 .......................................................................... 1-2
Figure 1-3 5G 3GPP Releases ................................................................................... 1-2
Figure 1-4 Non-Standalone Architecture .................................................................... 1-3
Figure 1-5 Standalone Architecture ............................................................................ 1-4
Figure 1-6 EN-DC UE Protocols................................................................................. 1-4
Figure 1-7 Centralized 5G RAN – EN-DC .................................................................. 1-5
Figure 1-8 EN-DC MCG and SCG ............................................................................. 1-6

Figure 1-9 EN-DC User Plane Bearer Options .......................................................... 1-7
Figure 1-10 MN Terminated SCG Bearer / SN Terminated MCG Bearer ................... 1-7
Figure 1-11 MR-DC Split Bearer (EN-DC) – Network Perspective ............................ 1-8
Figure 1-12 MR-DC Split Bearer (EN-DC) – UE Perspective .................................... 1-8
Figure 1-13 SRB3 in EN-DC ...................................................................................... 1-9
Figure 1-14 Split SRB for EN-DC ............................................................................... 1-9

Figure 1-15 EN-DC X2 Setup Procedure ................................................................. 1-10
Figure 1-16 EN-DC Configuration Update ............................................................... 1-10
Figure 2-1 FDD and TDD ........................................................................................... 2-2

Figure 2-2 Supplementary Downlink .......................................................................... 2-3
Figure 2-3 Supplementary Uplink ............................................................................... 2-3
Figure 2-4 5G Frequency Bands ................................................................................ 2-4
Figure 2-5 5G Frequency Bands ................................................................................ 2-4
Figure 2-6 Band Identification .................................................................................... 2-4
Figure 2-7 3GPP Band Specifications ........................................................................ 2-5
Figure 2-8 Access to FR1, FR2 and EN-DC Bands ................................................... 2-5
Figure 2-9 EN-DC Band Combination ........................................................................ 2-5
Figure 2-10 EN-DC Band and Baseband Processing Combination........................... 2-6
Figure 2-11 Interference from Harmonic .................................................................... 2-7
Figure 2-12 Interference from Harmonic Mixing ......................................................... 2-7
MPI5029-01 © Mpirical Limited, 2018 ix

Figure 2-13 Interference from IMD (Intermodulation)................................................. 2-8

Figure 2-14 EN-DC Harmonic and Intermodulation Information ................................ 2-8
Figure 2-15 NR-ARFCN Parameters for the Global Frequency Raster ..................... 2-9
Figure 2-16 Example ∆FRaster Example (n41).............................................................. 2-9
Figure 2-17 Access to ∆FRaster and NR-ARFCN Converter ........................................ 2-9
Figure 2-18 Transmitter Block Diagram for CP-OFDM with Optional DFT-spreading . 2-
10
Figure 2-19 5G NR Subcarriers................................................................................ 2-10
Figure 2-20 OFDM Symbol ...................................................................................... 2-10
Figure 2-21 Transmitted Signal ................................................................................ 2-11
Figure 2-22 Inter Symbol Interference...................................................................... 2-12
Figure 2-23 Cyclic Prefix .......................................................................................... 2-13
Figure 2-24 Symbol Period....................................................................................... 2-13
Figure 2-25 Supported Transmission Numerologies (µ=0 to µ=4) ........................... 2-14
Figure 2-26 NR Slot Length slot (µ=0 to µ=4) .......................................................... 2-14

Figure 2-27 µ=0, 1 and 2 Frame Structure ............................................................... 2-15
Figure 2-28 Visualization of Symbols/slot (µ=0 to µ=3) ........................................... 2-15
Figure 2-29 Comparing µ=0 and µ=1 Frame Format ............................................... 2-15
Figure 2-30 5G NR Symbol Timing .......................................................................... 2-16
Figure 2-31 Normal Cyclic Prefix (µ=0, 1 and 2) ...................................................... 2-16
Figure 2-32 Usage of CP and SCS .......................................................................... 2-17
Figure 2-33 Physical Resource Block (µ=0) ............................................................. 2-17
Figure 2-34 Physical Resource Block (µ=1) ............................................................. 2-18
Figure 2-35 Resource Grid and Resource Element ................................................. 2-18

Figure 2-36 5G NR Signal Generation ..................................................................... 2-18
Figure 2-37 NR Slot Format Configuration (Normal CP).......................................... 2-19
Figure 2-38 NR Slot Options .................................................................................... 2-19
Figure 2-39 Example Slot Formats........................................................................... 2-19
Figure 2-40 Uplink Timing Relationship.................................................................... 2-20
Figure 2-41 Minimum Requirements for Inter-Band EN-DC (Downlink) .................. 2-20
Figure 2-42 Channel and Transmission Bandwidth ................................................. 2-21
Figure 2-43 FR1 Maximum Transmission Bandwidth Configuration (NRB)............... 2-21
Figure 2-44 FR2 Maximum Transmission Bandwidth Configuration (NRB)............... 2-21

Figure 2-45 NR Bandwidth and Guardband Sizes ................................................... 2-22
Figure 2-46 Carrier BWP .......................................................................................... 2-22
Figure 2-47 Changing BWP ..................................................................................... 2-23

Figure 3-1 Requirement for Massive MIMO ............................................................... 3-2
x © Mpirical Limited, 2018 MPI5029-01

Figure 3-2 Requirement for Massive MIMO ............................................................... 3-2

Figure 3-3 Shannon-Hartley Theorem........................................................................ 3-3
Figure 3-4 5G NR Downlink Processing Chain .......................................................... 3-4
Figure 3-5 5G NR Uplink Processing Chain (CP-OFDM) .......................................... 3-4
Figure 3-6 MIMO Channel .......................................................................................... 3-4
Figure 3-7 Spatial Multiplexing ................................................................................... 3-5
Figure 3-8 MU-MIMO.................................................................................................. 3-5
Figure 3-9 Sub 6GHz vs mmWave ............................................................................. 3-6
Figure 3-10 Beamforming - Antenna Array ................................................................. 3-6
Figure 3-11 Beamforming Basics ............................................................................... 3-7
Figure 3-12 Beamforming - Additional Antenna Elements ......................................... 3-7
Figure 3-13 Beamforming Nulls.................................................................................. 3-7
Figure 3-14 Multiple Beams ....................................................................................... 3-8
Figure 3-15 Example of Beamforming Lobe .............................................................. 3-8
Figure 3-16 Antenna Elements ................................................................................... 3-8
Figure 3-17 Massive MIMO Antenna (Sub 6GHz)...................................................... 3-9

Figure 3-18 Massive MIMO System supporting up to 512 ports for mmWave .......... 3-9
Figure 3-19 MIMO Devices ...................................................................................... 3-10
Figure 3-20 Multi-Panel Antennas ............................................................................ 3-10

Figure 3-21 Issue with using Massive MIMO ........................................................... 3-11
Figure 3-22 Beam Management............................................................................... 3-11
Figure 3-23 Beam Sweeping .................................................................................... 3-11

Figure 3-24 Beam Sweeping in 3D (64 Beams)....................................................... 3-12
Figure 3-25 SS Block ............................................................................................... 3-12
Figure 3-26 5G NR Reference Signals..................................................................... 3-13
Figure 3-27 Beam Management Reference Signals ................................................ 3-14
Figure 3-28 QCL Types ............................................................................................ 3-14
Figure 3-29 QCL Information in Transmission Configuration ................................... 3-15
Figure 3-30 Sub-6GHz Beamforming with CSI-RS .................................................. 3-15
Figure 3-31 SRS Based Transmission ..................................................................... 3-16
Figure 3-32 SS Burst and SS Burst Set ................................................................... 3-16
Figure 3-33 Sub 6GHz SS Block Locations ............................................................. 3-17
Figure 3-34 Case A, B and C SS Block Locations (less than 6GHz) ....................... 3-17
Figure 3-35 NR Coexistence with LTE ..................................................................... 3-17
Figure 3-36 Larger than 6GHz SS Block Locations ................................................. 3-18
Figure 3-37 Case D and E SS Block Locations (Larger than 6GHz) ....................... 3-18
MPI5029-01 © Mpirical Limited, 2018 xi

Figure 3-38 SS Block Location (L=4, 8 or 64) .......................................................... 3-18

Figure 3-39 SS/PBCH Block Index Example ........................................................... 3-19
Figure 3-40 EN-DC Beam Measurement, Determination and Reporting ................. 3-19
Figure 3-41 Beam Management............................................................................... 3-20
Figure 3-42 Codewords for PDSCH ......................................................................... 3-20
Figure 3-43 DMRS configurations for “front-loaded” CP-OFDM .............................. 3-20
Figure 3-44 DMRS Ports for SU-MIMO and MU-MIMO ........................................... 3-21
Figure 3-45 Uplink Transmission .............................................................................. 3-21
Figure 3-46 5G NR Downlink Antenna Ports ............................................................ 3-22
Figure 3-47 5G NR Uplink Antenna Ports ................................................................ 3-22
Figure 4-1 Key 5G NR Physical Layer Specifications ................................................ 4-2
Figure 4-2 NR Logical Channels ................................................................................ 4-2
Figure 4-3 Signalling Radio Bearers .......................................................................... 4-3
Figure 4-4 Dedicated Traffic Channels ....................................................................... 4-3
Figure 4-5 NR Transport Channels ............................................................................ 4-4
Figure 4-6 Mapping Logical Channels into Transport Channels ................................ 4-4
Figure 4-7 NR Physical Channels .............................................................................. 4-5
Figure 4-8 NR Transport to Physical Layer Mapping ................................................. 4-5
Figure 4-9 NR Synchronization and Reference Signals............................................. 4-5
Figure 4-10 Code Block Generation ........................................................................... 4-6
Figure 4-11 Code Block Group ................................................................................... 4-6
Figure 4-12 5G NR Downlink Processing Chain ........................................................ 4-7
Figure 4-13 5G NR Uplink Processing Chain ............................................................. 4-7
Figure 4-14 Downlink Synchronization Signals .......................................................... 4-8
Figure 4-15 Using the PSS and SSS ......................................................................... 4-8
Figure 4-16 SS Block ................................................................................................. 4-9
Figure 4-17 PSS/SSS Subcarriers ............................................................................. 4-9
Figure 4-18 PBCH/MIB Processing .......................................................................... 4-10
Figure 4-19 DMRS Location for PBCH..................................................................... 4-10

Figure 4-20 PDCCH Mapping .................................................................................. 4-11
Figure 4-21 Scrambling for PDCCH ......................................................................... 4-11
Figure 4-22 CORESET ............................................................................................. 4-12

Figure 4-23 NR Parameters in E-UTRA RRC .......................................................... 4-12
Figure 4-24 CORESET Configuration (via SRB1) .................................................... 4-13
Figure 4-25 Slot Format Indicator............................................................................. 4-13

Figure 4-26 PDCCH for Pre-emption (via SRB1) ..................................................... 4-14
xii © Mpirical Limited, 2018 MPI5029-01

Figure 4-27 DCI Format 2_1 .................................................................................... 4-14

Figure 4-28 PDSCH Physical Layer Processing ...................................................... 4-15
Figure 4-29 Configuring PDSCH .............................................................................. 4-15
Figure 4-30 PDSCH Configuration Setup (Dedicated) ............................................. 4-15
Figure 4-31 Downlink DMRS Types ......................................................................... 4-17
Figure 4-32 DMRS Configuration Parameters ......................................................... 4-17
Figure 4-33 DMRS Type A vs Type B ....................................................................... 4-18
Figure 4-34 PDSCH DRMS Configurations (Type A) ............................................... 4-18
Figure 4-35 Additional DMRS Configuration Examples ........................................... 4-19
Figure 4-36 PRACH Preamble Generation .............................................................. 4-19
Figure 4-37 Example of NR RACH/PRACH Configuration ...................................... 4-20
Figure 4-38 PRACH Configuration Index ................................................................. 4-20
Figure 4-39 Preamble Formats ................................................................................ 4-21
Figure 4-40 PRACH Subcarrier Spacing vs PUSCH SCS ....................................... 4-21
Figure 4-41 PRACH Preamble Formats for L=839 Sequence ................................. 4-21
Figure 4-42 PRACH Format 0 Example ................................................................... 4-22

Figure 4-43 PRACH Format 0 to 3 ........................................................................... 4-22
Figure 4-44 PRACH Preamble Formats for L=139 Sequence ................................. 4-22
Figure 4-45 Physical Uplink Shard Channel ............................................................ 4-23

Figure 4-46 PDSCH Physical Layer Processing ...................................................... 4-23
Figure 4-47 Configuring PDSCH .............................................................................. 4-24
Figure 4-48 PUSCH Configuration Setup (Dedicated) ............................................. 4-25

Figure 4-49 Physical Uplink Control Channel .......................................................... 4-25
Figure 4-50 NR PUCCH Formats ............................................................................. 4-26
Figure 4-51 PUCCH Location................................................................................... 4-26
Figure 4-52 PUCCH Configuration Parameters (Format 2) ..................................... 4-27
Figure 4-53 PUCCH Format 0 Location and UCI HARQ Example .......................... 4-28
Figure 4-54 Additional NR Reference Signals .......................................................... 4-28
Figure 4-55 Key CSI-RS Aspects ............................................................................. 4-28
Figure 4-56 Configuring CSI-RS for PDSCH ........................................................... 4-29
Figure 4-57 CSI-RS Transmitted slots for Periodic or Semi-Persistent ................... 4-29
Figure 4-58 CSI-RS Frame Location ........................................................................ 4-30
Figure 4-59 Sounding Reference Signal .................................................................. 4-30
Figure 4-60 Sounding Reference Signal .................................................................. 4-31
Figure 4-61 SRS Mapping ........................................................................................ 4-31
Figure 4-62 SRS Configuration Example ................................................................. 4-32
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Figure 4-63 Phase Tracking Reference Signal ........................................................ 4-33

Figure 4-64 Example of PTRS Location ................................................................... 4-33
Figure 4-65 Downlink PTRS Configuration Parameters........................................... 4-33
Figure 4-66 Uplink PTRS Configuration Parameters ............................................... 4-34
Figure 4-67 PTRS Not Present ................................................................................ 4-35
Figure 5-1 NR RRC Release 15 ................................................................................. 5-2
Figure 5-2 NR RRC Procedures (v15.1.0) ................................................................. 5-2
Figure 5-3 RRC States ............................................................................................... 5-3
Figure 5-4 RRC Messages (v15.1.0).......................................................................... 5-3
Figure 5-5 NR RRC Connection Reconfigurations Parameters ................................. 5-3
Figure 5-6 NR PDCP .................................................................................................. 5-4
Figure 5-7 PDCP Services to Upper Layers............................................................... 5-5
Figure 5-8 PDCP Function ......................................................................................... 5-5
Figure 5-9 PDCP Profiles ........................................................................................... 5-6
Figure 5-10 PDCP Protocol Data Units ...................................................................... 5-7
Figure 5-11 PDCP Data PDU for SRBs ...................................................................... 5-7
Figure 5-12 User Plane PDCP Data PDU - 12bit SN ................................................. 5-8
Figure 5-13 User Plane PDCP Data PDU - 18bit SN ................................................. 5-8
Figure 5-14 PDCP Control PDU - Feedback .............................................................. 5-8
Figure 5-15 PDCP Control PDU - Status Report ....................................................... 5-9
Figure 5-16 NR Radio Link Control ............................................................................ 5-9
Figure 5-17 Radio Link Control Modes....................................................................... 5-9
Figure 5-18 RLC Services ........................................................................................ 5-10
Figure 5-19 Transparent Mode ................................................................................. 5-10
Figure 5-20 Unacknowledged Mode ........................................................................ 5-11
Figure 5-21 Acknowledged Mode ............................................................................. 5-11
Figure 5-22 RLC PDU’s ............................................................................................ 5-12
Figure 5-23 UMD PDU Header Options ................................................................... 5-12
Figure 5-24 Example of UMD PDUs Without SO ..................................................... 5-13

Figure 5-25 Example of UMD PDU with 12bit SN and SO....................................... 5-13
Figure 5-26 SI (Segment Information) Field ............................................................. 5-13
Figure 5-27 AMD PDU - 12bit with SO ..................................................................... 5-14

Figure 5-28 Status PDU ........................................................................................... 5-14
Figure 5-29 NR MAC for EN-DC Operation ............................................................. 5-15
Figure 5-30 Services Provided to Upper Layers ...................................................... 5-15

Figure 5-31 Services Expected from Physical Layer ............................................... 5-15
xiv © Mpirical Limited, 2018 MPI5029-01

Figure 5-32 MAC Sublayer Functions ...................................................................... 5-16

Figure 5-33 NR MAC Control Elements ................................................................... 5-16
Figure 5-34 NR RNTI Usage .................................................................................... 5-17
Figure 5-35 NR RNTI Values .................................................................................... 5-17
Figure 5-36 RA-RNTI Calculation............................................................................. 5-18
Figure 5-37 MAC SubHeaders ................................................................................. 5-18
Figure 5-38 Downlink LCID ...................................................................................... 5-19
Figure 5-39 Uplink LCID ........................................................................................... 5-19
Figure 5-40 Example of Subheader Mapping .......................................................... 5-20
Figure 5-41 Example of DRX Cycle ......................................................................... 5-21
Figure 6-1 EUTRA Attach - EN-DC Support ............................................................... 6-2
Figure 6-2 UE Capability Transfer .............................................................................. 6-3
Figure 6-3 UE Capability Enquiry ............................................................................... 6-3
Figure 6-4 UE E-UTRA Capability Parameters .......................................................... 6-4
Figure 6-5 UR NR Capability Parameters .................................................................. 6-4
Figure 6-6 UE MR-DC Capabilities ............................................................................ 6-4

Figure 6-7 Initial E-UTRA RRC Connection Reconfiguration ..................................... 6-5
Figure 6-8 Measurement Configuration...................................................................... 6-6
Figure 6-9 Measurement Object................................................................................. 6-6

Figure 6-10 NR Report Configuration (Event B1 NR) ................................................ 6-7
Figure 6-11 Periodical Reporting ................................................................................ 6-8
Figure 6-12 Existing and Updated E-UTRA Events ................................................... 6-9

Figure 6-13 NR Events ............................................................................................... 6-9
Figure 6-14 Measurement Identities......................................................................... 6-10
Figure 6-15 NR Measurement Timing Configuration................................................ 6-10
Figure 6-16 Example of SMTC ................................................................................. 6-11
Figure 6-17 Example of EventB1-NR ....................................................................... 6-11
Figure 6-18 E-UTRA Measurement Report - NR Measurements ............................ 6-12
Figure 6-19 X2AP SgNB Addition............................................................................. 6-12
Figure 6-20 SgNB Addition Request ........................................................................ 6-13
Figure 6-21 CG-ConfigInfo (MeNB to en-gNB Example) ......................................... 6-14
Figure 6-22 SgNB Addition Request Acknowledge .................................................. 6-14
Figure 6-23 CG-Config ............................................................................................. 6-15
Figure 6-24 Determining the Bearer Configuration - MCG Split Bearer................... 6-16
Figure 6-25 Determining the Bearer Configuration - SCG Bearer ........................... 6-16
Figure 6-26 Determining the Bearer Configuration - SCG Split Bearer ................... 6-16
MPI5029-01 © Mpirical Limited, 2018 xv

Figure 6-27 E-UTRA RRC Connection Reconfiguration Procedure......................... 6-17

Figure 6-28 Access Timing ....................................................................................... 6-18
Figure 6-29 Reconfiguration with Sync .................................................................... 6-18
Figure 6-30 Random Access Triggers ...................................................................... 6-19
Figure 6-31 Random Access Procedure .................................................................. 6-19
Figure 6-32 NR RACH/PRACH Configuration ......................................................... 6-20
Figure 6-33 Preamble Group Configuration ............................................................. 6-21
Figure 6-34 Preambles per SSB per PRACH Occasion .......................................... 6-22
Figure 6-35 No Group B ........................................................................................... 6-22
Figure 6-36 Group A Numbering .............................................................................. 6-22
Figure 6-37 Group B Numbering .............................................................................. 6-23
Figure 6-38 SS/PBCH Index Mapping to PRACH Occasion .................................... 6-23
Figure 6-39 Random Access Response Window ..................................................... 6-24
Figure 6-40 Random Access Response Message ................................................... 6-24
Figure 6-41 Timing Alignment................................................................................... 6-25
Figure 6-42 Contention Free Access ........................................................................ 6-25
Figure 6-43 Reconfiguration With Sync (Dedicated RACH Uplink) ......................... 6-26
Figure 6-44 Configuring Split SRB ........................................................................... 6-26
Figure 6-45 DRB Bearer Options ............................................................................. 6-27
Figure 6-46 MCG DRB Bearer to Split DRB Bearer................................................. 6-27
Figure 6-47 MCG DRB Bearer to SCG DRB Bearer ................................................ 6-28
Figure 6-48 NR Event A2 ......................................................................................... 6-28
Figure 6-49 EN-DC Release of Secondary Node (SCG Bearer or SCG Split Bearer) 6-
29
Figure 6-50 Release SCG ........................................................................................ 6-29
Figure 6-51 Radio Link Failure ................................................................................. 6-30
Figure 6-52 Radio Link Monitor Configuration ......................................................... 6-30
Figure 6-53 Out-of-Sync and In-Sync....................................................................... 6-31
Figure 6-54 RLF Counter and Timers for SpCell...................................................... 6-31
Figure 6-55 SCG Failure Information NR ................................................................. 6-31

Figure 6-56 Key Beam Failure Detection and Recovery Parameters ...................... 6-32
Figure 6-57 Beam Failure Detection ........................................................................ 6-33
Figure 6-58 Beam Detection Failure Parameters..................................................... 6-33

Figure 6-59 Beam Failure Recovery Parameters..................................................... 6-34
Figure 6-60 Downlink Power Allocation ................................................................... 6-34
Figure 6-61 Uplink Power Control ............................................................................ 6-35

Figure 6-62 PUSCH Power Control.......................................................................... 6-36
xvi © Mpirical Limited, 2018 MPI5029-01

Figure 6-63 PUCCH Power Control ......................................................................... 6-36

Figure 6-64 PRACH Power Control.......................................................................... 6-36
Figure 6-65 EN-DC Dynamic Power Sharing ........................................................... 6-37
Figure 6-66 Power Headroom Reporting ................................................................. 6-37
Figure 7-1 en-gNB Scheduling ................................................................................... 7-2
Figure 7-2 Downlink Control Information .................................................................... 7-2
Figure 7-3 NR DCI Formats ....................................................................................... 7-3
Figure 7-4 NR PDCCH Search Space ....................................................................... 7-3
Figure 7-5 PDCCH Aggregation Levels...................................................................... 7-4
Figure 7-6 Aggregation Levels ................................................................................... 7-4
Figure 7-7 UE Specific Search Spaces ...................................................................... 7-4
Figure 7-8 NR Resource Allocation Type ................................................................... 7-5
Figure 7-9 Allocation Type 0 - RBG size P ................................................................. 7-5
Figure 7-10 Resource Allocation (Type 0) .................................................................. 7-6
Figure 7-11 PDSCH Resource Allocation Configuration ............................................ 7-6
Figure 7-12 Allocation Type 1 ..................................................................................... 7-6

Figure 7-13 Dynamic Switch Resource Assignment .................................................. 7-7
Figure 7-14 Basic PDSCH and PUSCH Scheduling .................................................. 7-7
Figure 7-15 DCI Format 1_1 ...................................................................................... 7-8

Figure 7-16 DCI Format 1_1 Parameters ................................................................... 7-8
Figure 7-17 Configuring Time Domain Resource Allocation ...................................... 7-9
Figure 7-18 PDSCH Time Domain Resource Allocation ............................................ 7-9

Figure 7-19 PDSCH Start and Length Indicator ......................................................... 7-9
Figure 7-20 SLIV Table ............................................................................................. 7-10
Figure 7-21 MCS for PDSCH ................................................................................... 7-10
Figure 7-22 Extract from MCS Table 1 (Max 64QAM) ............................................. 7-10
Figure 7-23 Extract from MCS Table 2 (Max 256QAM) ........................................... 7-11
Figure 7-24 TBS Size Calculation ............................................................................ 7-11
Figure 7-25 TBS (Ninfo ≤ 3824) ................................................................................. 7-11
Figure 7-26 Uplink Resource Allocation (Format 0_1) ............................................. 7-12
Figure 7-27 DCI Format 0_1 Parameters ................................................................. 7-12
Figure 7-28 Example PUSCH and PUCCH Parameters .......................................... 7-13
Figure 7-29 PUSCH Time Domain Resource Allocation .......................................... 7-13
Figure 7-30 PUSCH Start and Length Indicator ....................................................... 7-13
Figure 7-31 PUSCH MCS Index Tables ................................................................... 7-14
Figure 7-32 Semi-Persistent Scheduling .................................................................. 7-14
MPI5029-01 © Mpirical Limited, 2018 xvii

Figure 7-33 PDSCH Configured Scheduling (SPS) ................................................. 7-15

Figure 7-34 PUSCH Scheduling (Dynamic) ............................................................. 7-15
Figure 7-35 PUSCH Scheduling (With CS) .............................................................. 7-16
Figure 7-36 Configured Grant .................................................................................. 7-16
Figure 7-37 Uplink Feedback ................................................................................... 7-17
Figure 7-38 Buffer Status Report ............................................................................. 7-17
Figure 7-39 BSR Triggers ......................................................................................... 7-17
Figure 7-40 Buffer Status Reporting......................................................................... 7-18
Figure 7-41 Power Headroom Reporting ................................................................. 7-18
Figure 7-42 PHR MAC Control Elements ................................................................. 7-19
Figure 7-43 NR HARQ ............................................................................................. 7-19
Figure 7-44 HARQ-ACK Timing ............................................................................... 7-20
Figure 7-45 Scheduling Request .............................................................................. 7-20
Figure 7-46 Channel State Information .................................................................... 7-20
Figure 7-47 CSI Framework ..................................................................................... 7-21
Figure 7-48 NR CQI Table 1 and 2 ........................................................................... 7-21
Figure 7-49 EN-DC Resource Coordination ............................................................. 7-22
Figure 7-50 Coordination Information Bitmap .......................................................... 7-22
Figure 8-1 Mobility and EN-DC .................................................................................. 8-2
Figure 8-2 EN-DC Mobility ......................................................................................... 8-2
Figure 8-3 EN-DC to DC using Single RRC Reconfiguration not Supported ............. 8-2
Figure 8-4 NR Events ................................................................................................. 8-3
Figure 8-5 Example of NR Event Triggers ................................................................. 8-3
Figure 8-6 Triggering EN-DC Change of Secondary Node ........................................ 8-4
Figure 8-7 EN-DC Change of Secondary Node (Part 1) ............................................ 8-4
Figure 8-8 EN-DC Change of Secondary Node (Part 2) ............................................ 8-5
Figure 8-9 RRC Reconfiguration for Mobility ............................................................. 8-6
Figure 8-10 Measurement Gap .................................................................................. 8-6
Figure 8-11 EN-DC Measurement Gap Configuration ............................................... 8-7

Figure 8-12 E-UTRAN and NR Gap Pattern Configurations ...................................... 8-7
Figure 8-13 Specific Gap Pattern Configuration ........................................................ 8-7
Figure 8-14 Handover Restriction List ........................................................................ 8-8

Figure 8-15 Inter MeNB Handover with EN-DC ......................................................... 8-8
Figure 8-16 E-UTRA RRC Connection Reconfiguration (MN Change with SCG) ... 8-10
xviii © Mpirical Limited, 2018 MPI5029-01

5G New Radio
5G New Radio
5G Phases ............................................................................................................ 1-2

1.1.1 NR (New Radio) Phases ......................................................................... 1-2
1.1.2 5G NR Roadmap..................................................................................... 1-2
NG-RAN Architecture Interfaces .......................................................................... 1-3
1.2.1 Non-Standalone Architecture .................................................................. 1-3
1.2.2 Standalone Architecture .......................................................................... 1-3
1.2.3 EN-DC UE Protocols ............................................................................... 1-4
1.2.4 C-RAN for EN-DC ................................................................................... 1-5
EN-DC Terminology and Options ......................................................................... 1-6
1.3.1 MCG and SCG ........................................................................................ 1-6
1.3.2 EN-DC User Plane Bearer Options......................................................... 1-6
1.3.3 SRB3 ....................................................................................................... 1-8
1.3.4 Split SRB in EN-DC................................................................................. 1-9
1.3.5 Preparing for EN-DC in the RAN .......................................................... 1-10
13-0782-01 © Mpirical Limited, 2018 1-1

5G New Radio
5G Phases
1.1.1 NR (New Radio) Phases
The 5G air interface, also known as NR (New Radio), is 3GPP’s solution to
meet the ITU-R (International Telecommunication Union –
Radiocommunication), and in particular the 5D Working Party, defined
minimum requirements for a 5G or IMT (International Mobile
Telecommunications) 2020 network.
= NR (New Radio)
Figure 1-1 5G Air Interface
3GPP have defined a phased approach to 5G, referred to as 5G Phase 1 and

5G Phase 2. These are defined in 3GPP Release 15 and Release 16
respectively. The early focus for 5G Phase 1 is eMBB (Enhanced Mobile
Broadband) data services and some URLLC (Ultra Reliable Low Latency
Communications) support. 5G Phase 2 is planning to complete the IMT-2020
requirements with various enhancements, as well as support for MIoT
(Massive Internet of Things).
5G Phase 1 5G Phase 2
(Release 15) (Release 16)
Figure 1-2 5G Phase 1 and Phase 2
1.1.2 5G NR Roadmap
Figure 1-3 illustrates the timescales for 5G Release 15 and Release 16. It is
worth nothing that an “Early Drop” of the specification was defined for NSA
(Non-Standalone) operation. Whereby, the 5G RAN (Radio Access Network)
connects to a LTE RAN and utilizes the LTE EPC (Evolved Packet Core). In
terms of NSA operation, this early freeze to the specifications enables service
providers to push forward with early 5G deployments.
2017 2018 2019
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
Rel. 15 Stage 2
Rel. 15 Stage 3
Rel. 15 ASN.1
Freezing NSA
Rel. 16 Stage 1
Rel. 16 Stage 2
Rel. 16 Stage 3
Rel. 16 ASN.1
Figure 1-3 5G 3GPP Releases
1-2 © Mpirical Limited, 2018 13-0782-01

5G New Radio
The full Release 15 specification includes support for SA (Standalone)

operation - whereby the 5G RAN communicates to a 5G Core.
Release 16 is already underway; however, the associated Stage 2
specifications won’t be frozen till mid 2019. With Stage 3 and ASN.1 related
specifications being frozen in early 2020.
NG-RAN Architecture Interfaces

The main two 5G NG-RAN (Next Generation RAN) deployment types are NSA
and SA. In addition, C-RAN (Centralized RAN) technology, also known as
Cloud RAN, will also be deployed.
1.2.1 Non-Standalone Architecture

Non-Standalone deployment involves utilizing the DC (Dual Connectivity)
concept that was introduced in LTE Advanced Pro. This includes a MN
(Master Node) and a SN (Secondary RAN Node). The Master RAN Node
maintains the Control Plane connectivity to the core, i.e. the MME. It can also
utilize the resources of another RAN node, known as a Secondary RAN Node,
to exchange the User Plane traffic of the device, namely the UE (User
Equipment).
Figure 1-4 illustrates the initial NSA deployment, known as EN-DC (E-UTRA-
NR Dual Connectivity) 1. The Master RAN Node in this case is a eNB and the
Secondary RAN Node is an en-gNB (EN-DC configured gNB).
MME HSS PDN

PDN
GW SG
i
S6
a
S1
1 S-GW S5
S1 -U
-M S1
ME
5G
Capable Uu
eNB X2
Uu Master S1
-U
en-gNB
Supports data forwarding
on X2, as well as S1-U
en-gNB connectivity to the EPC
UE Secondary
Figure 1-4 Non-Standalone Architecture
1.2.2 Standalone Architecture

Once a 5GC (5G Core) has been implemented the gNBs can connect directly
using the N2/N3 reference points. In addition, upgraded LTE eNBs supporting
the N2/N3 may also connect to the 5GC; these are known as ng-eNB (Next
Generation eNB). These facilitate devices supporting both the E-UTRA air
interface (lower layers) and 5G NAS (Non-Access Stratum) 2.
1
3GPP TS 37.340 E-UTRA and NR Multi-connectivity; Stage 2
2
3GPP TS 24.501 Non-Access-Stratum Protocol for 5G System; Stage 3

5G New Radio
The inclusion of the 5GC also enables various dual connectivity options
between gNB‘s and ng-eNB’s.
Various Dual Connectivity

options exist between gNB
5GC
and ng-eNB
N2
/N3
/N3
3 N2
/N
N2
Xn
5G
Capable Uu
gNB Xn
Uu Master Uu ng-eNB
5G
Capable LTE + 5G
NAS
gNB UE
UE Secondary
Figure 1-5 Standalone Architecture
1.2.3 EN-DC UE Protocols

The protocols utilized by a EN-DC device will vary depending on what is being
transferred (E-UTRA signalling, User Plane or NR signalling) and whether the
information is related to the eNB, en-gNB or both. In addition, various options
for splitting both the User Plane and the SRB (Signalling Radio Bearer) also
exist.
Figure 1-6 illustrates a high-level view of the protocols supported in a device
which is capable of EN-DC operation.
E-UTRA RRC and User Plane NR RRC

Layer 3 EN-DC
(36.331) (38.331)
E-UTRA PDCP NR PDCP

(36.323) (38.323)
E-UTRA RLC NR RLC

Layer 2 EN-DC
(36.322) (38.322)
E-UTRA MAC NR MAC

(36.321) (38.321)
E-UTRA PHY NR PHY

Layer 1 EN-DC
(36.201) (38.201)
Figure 1-6 EN-DC UE Protocols
The EN-DC related NR protocols include:

 NR RRC (Radio Resource Control) - this is in the en-gNB and the
device. For EN-DC operation, the RRC message set is limited to only
three messages, namely:
 RRC Reconfiguration.
 RRC Reconfiguration Complete.
 Measurement Report.

5G New Radio
 NR PDCP (Packet Data Convergence Protocol) - like LTE, this

supports User Plane and Control Plane, as well as in band control. For
EN-DC operation it is in the eNB, en-gNB and the device. PDCP main
role involved sequencing and security such as integrity and encryption.
 NR RLC (Radio Link Control) - very similar to LTE RLC. It is found in
the en-gNB and the device. RLC main role is the segmentation and
reassembly of PDCP. In addition, RLC can operate in AM
(Acknowledge Mode) which facilitates retransmissions.
 NR MAC (Medium Access Control) - very similar to LTE MAC, however
designed to operate with the NR Physical Layer. As such, it includes
resource allocation. It can be found in the en-gNB and the device.
 NR PHY (Physical) - this is the 5G NR and offers data transport
services to the higher layers. It includes many of the LTE radio
concepts such as power control, synchronization, random access,
HARQ (Hybrid Automatic Repeat Request) etc. It can be found in the
en-gNB and the device.
Note: NR SDAP (Service Data Adaptation Protocol) is a protocol above
PDCP however will only be present when the device is connected to a 5GC
(5G Core), i.e. not part of EN-DC operation.
1.2.4 C-RAN for EN-DC

EN-DC supports both centralized and non-centralized deployment
configurations. With the Centralized RAN architecture, as shown in Figure
1-7, the en-gNB is split between a CU (Central Unit) and a DU (Distributed
Unit). The Central Unit includes RRC (Radio Resource Control) and PDCP
(Packet Data Convergence Protocol). Whereas, the Distributed Unit hosts the
RLC (Radio Link Control), MAC (Medium Access Control) and the PHY
(Physical) layers. In addition, the DU may be further split towards a RRH
(Remote Radio Head). If this is the case, the most common standard is based
on eCPRI (Evolved Common Public Radio Interface).
MME HSS PDN

PDN
GW SG
i
S6
a
S1
1 S-GW S5
S1 -U
-M S1
ME
S1
-U
X2
-U
X2
-C en-gNB CU
EN-DC Central Unit includes
Device Uu
eNB RRC and PDCP
Uu F1
en-gNB en-gNB DU
CU Distributed Unit includes
en-gNB RLC, MAC and PHY
UE DU
Figure 1-7 Centralized 5G RAN – EN-DC
The F1 interface 3 standardizes the functionality split, utilizing F1AP (F1

Application Protocol) which includes:
 Interface Management.
3
3GPP TS 38.470 - NG-RAN F1 General Aspects and Principles

5G New Radio
 Context Management.
 RRC Message Transfer.
It is worth noting that en-gNB CU’s can be split into a CP (Control Plane) and UP (User
Plane). In this case, the E1 interface 4 is defined.
EN-DC Terminology and Options

Dual Connectivity includes various terminology to identify carriers and the
relationship to the Master RAN Node and the Secondary RAN Node.
1.3.1 MCG and SCG

The terms MCG (Master Cell Group) and SCG (Secondary Cell Group) are
specific to dual connectivity:
 Master Cell Group - this is a group of serving cells associated with the
Master RAN Node, comprising of the SpCell (Special Cell) which is
known as the PCell (Primary Cell) and optionally one or more SCell
(Secondary Cell).
 Secondary Cell Group - this is a group of serving cells associated with
the Secondary RAN Node, comprising of the SpCell which is known as
the PSCell (Primary SCell) and optionally one or more SCells.
MCG (Master Cell SCG (Secondary

Group) Cell Group)
F1 F5
F2 PCell PSCell F6
(SpCell) (SpCell)
F3 F7
eNB SCell SCell en-gNB
F4 F8
SCell SCell
SCell SCell
Figure 1-8 EN-DC MCG and SCG
A SpCell (Special Cell) supports PUCCH (Physical Uplink Control Channel)

transmission and contention based Random Access. In addition, it is always
activated.
1.3.2 EN-DC User Plane Bearer Options

In terms of data bearers there are broadly three types:
 MCG bearer - this is a radio bearer that uses a RLC (Radio Link
Control) bearer only in the MCG.
 SCG bearer - this is a radio bearer that uses a RLC bearer only in the
SCG. This is also referred to as “Option 3a” in the context of EN-DC
operation.
 Split bearer - this is a radio bearer with RLC bearers both in MCG and
SCG. It can then be classified as:
4
3GPP TS 38.460 - NG-RAN E1 General Aspects and Principles

5G New Radio
 MCG Split Bearer - NR-PDCP (New Radio - Packet Data

Convergence Protocol) is located in the Master RAN Node (eNB).
This is also referred to as “Option 3” in the context of EN-DC
operation.
 SCG Split Bearer - NR-PDCP is located in the Secondary RAN
Node (en-gNB). This is also referred to as “Option 3x” in the
context of EN-DC operation.
Figure 1-9 visualizes the path of the MCG Bearer and SCG Bearer, as well as
the split bearer options.
MCG Bearer
MCG Split Bearer Master eNB
SCG Bearer Bearer Splitting
SCG Split Bearer The Master eNB can split
the data between itself and
the Secondary
S-GW
Core
Network
UE
Core Network User Plane
The S-GW can send
Bearer Splitting separate flows of user
The Secondary en-gNB can plane data to the Master or
also split data it receives from Secondary Secondary RAN Node
the core network en-gNB
Figure 1-9 EN-DC User Plane Bearer Options
Note that there is a variation on MCG and SCG bearer configuration, termed
“MN terminated SCG Bearer” and “SN terminated MCG Bearer”. The
configuration for these is outlined in Figure 1-10.
SN Terminated Master eNB

MCG Bearer
MN Terminated SCG Bearer
MN Terminated
NR-PDCP at the MN will send
SCG Bearer
all PDCP PDUs to the SN
S-GW
Core
Network
UE
SN Terminated MCG Bearer

NR-PDCP at the SN will send Secondary
all PDCP PDUs to the MN en-gNB
Figure 1-10 MN Terminated SCG Bearer / SN Terminated MCG Bearer
In terms of the granularity of the user plane splitting, within 4G the user plane
can be split at the S-GW (Serving Gateway) to the granularity of an individual
EPS Bearer. From the RAN perspective, each individual EPS Bearer being
supported in termed an E-RAB (E-UTRAN Radio Access Bearer).

5G New Radio
Split Bearer for EN-DC

Using EN-DC, it is possible to split the user plane bearers between the MeNB
(Master eNB) and the Secondary en-gNB. Figure 1-11 outlines the protocol
stack which is used to support this at the Master and Secondary RAN Nodes.
Any transfer of data between the nodes is based on a user plane connection
across X2.
MCG MCG Split SCG Split SCG

Bearer Bearer Bearer Bearer
X2
E-UTRA /
NR PDCP NR PDCP NR PDCP
NR PDCP
E-UTRA E-UTRA E-UTRA

NR RLC NR RLC NR RLC
RLC RLC RLC
E-UTRA MAC NR MAC
Master RAN Node (eNB) Secondary RAN Node (en-gNB)
Figure 1-11 MR-DC Split Bearer (EN-DC) – Network Perspective
Figure 1-12 shows the protocol stack required at the device to support EN-
DC.

E-UTRA /
NR PDCP NR PDCP
NR PDCP
E-UTRA E-UTRA
NR RLC NR RLC
RLC RLC
E-UTRA MAC NR MAC
User Equipment
Figure 1-12 MR-DC Split Bearer (EN-DC) – UE Perspective
1.3.3 SRB3
Figure 1-13 illustrates SRB3 (Signalling Radio Bearer 3), which is available in
various Dual Connectivity options, including EN-DC.
SRB3 is optional and provides a direct SRB between the Secondary RAN
Node and the device. For EN-DC operation the RRC messages include:
 RRC Reconfiguration.
 RRC Reconfiguration Complete.
 Measurement Report.
Note: If SRB3 is not configured, X2 and LTE RRC (utilizing SRB1) are able to
pass the NR RRC messages between the device and en-gNB.

5G New Radio
MME HSS PDN

PDN
GW SG
i
S6
a
S1
No SRB3 1 S-GW S5
RRC Signalling from
ME
en-gNB is sent across S1
-M
-U
X2 and LTE RRC SRB1 S1
eNB
1
2 X2
-U
S1 SRB3
3
Optionally, SRB3
can be configured
en-gNB from the en-gNB
UE
Figure 1-13 SRB3 in EN-DC
1.3.4 Split SRB in EN-DC

EN-DC also enables Split SRB (Signalling Radio Bearer) operation. In so
doing, this allows duplication of RRC PDUs generated by the Master RAN
Node, via the direct path and via the Secondary RAN Node.
SRB1 and SRB2 can be configured as a Split SRB. Figure 1-14 illustrates key
aspects, including the fact that a Split SRB utilizes NR PDCP and that there
are RLC bearers both in MCG and SCG. It is also possible for a device to be
configured with both split SRB and SRB3 simultaneously.
Note that SRB0 and SRB3 are not able to be configured as a Split Bearer.
SRB0 Split SRB

SRB1 (SRB1, SRB2) SRB3
SRB2
X2
E-UTRA
NR PDCP NR PDCP
PDCP
E-UTRA E-UTRA
NR RLC NR RLC
RLC RLC
E-UTRA MAC NR MAC
eNB en-gNB
Figure 1-14 Split SRB for EN-DC
The selection of transmission path in downlink depends on network

implementation. For the uplink, the device is configured by the Master RAN
Node to use either the MCG path, SCG path or duplicate the transmission on
both MCG and SCG.

5G New Radio
1.3.5 Preparing for EN-DC in the RAN

From the RAN perspective, before EN-DC can be activated the X2 reference
point between the MeNB and the en-gNB must be set up. This is achieved
using the EN-DC X2 Setup procedure, as shown in Figure 1-15. It should be
noted that either node can actually initiate the procedure. All message
exchanges are based on X2AP (X2 Application Protocol).
EN-DC X2 Setup Request

eNB/en-gNB Global Identity -
List of served cells -
Served E-UTRAN/NR Cell Information -
(Cell ID, TAC, FDD/TDD, Operating Bands, etc)
EN-DC X2 Setup Request
EN-DC X2 Setup Response

MeNB en-gNB
EN-DC X2 Setup Response
Equivalent information from responding RAN node
Figure 1-15 EN-DC X2 Setup Procedure
In essence, the EN-DC X2 Setup procedure is an opportunity for the two RAN
nodes involved in EN-DC operation to share their cell configurations with one
another. If, after X2 Setup is complete, a node needs to add, modify or delete
a served cell, it will notify its peer node using the EN-DC Configuration Update
procedure.
EN-DC Configuration Update

Used by the MeNB to update the en-gNB on added,
modified or deleted served cells
(Also used by the en-gNB to send updates for NR cells)
EN-DC Configuration Update
EN-DC Configuration Update Acknowledge

MeNB en-gNB
Figure 1-16 EN-DC Configuration Update

5G Physical Layer Transmission and Reception
5G Physical Layer Transmission and

Reception
5G NR Duplexing ................................................................................................. 2-2

2.1.1 FDD and TDD Duplexing Modes............................................................. 2-2
2.1.2 Supplementary Downlink ........................................................................ 2-2
2.1.3 Supplementary Uplink ............................................................................. 2-3
5G Frequency Bands ........................................................................................... 2-3
2.2.1 Definition of Frequency Ranges .............................................................. 2-4
2.2.2 5G NR Bands .......................................................................................... 2-4
2.2.3 EN-DC Band Combinations .................................................................... 2-5
2.2.4 Baseband Processing Combination ........................................................ 2-5
2.2.5 Harmonics and Intermodulation for EN-DC ............................................ 2-6
2.2.6 5G Carrier Numbering ............................................................................. 2-8
5G Waveform: CP-OFDM and DFT-OFDM .......................................................... 2-9
2.3.1 OFDM Subcarriers and Reference Signals........................................... 2-10
2.3.2 Orthogonal Frequency Division Multiplexing......................................... 2-10
2.3.3 Cyclic Prefix .......................................................................................... 2-12
NR Numerology and Frame Structure ................................................................ 2-13
2.4.1 Numerology ........................................................................................... 2-13
2.4.2 Slot Length ............................................................................................ 2-14
2.4.3 Frame Structure .................................................................................... 2-14
2.4.4 NR Slots ................................................................................................ 2-15
2.4.5 5G NR Time Unit ................................................................................... 2-16
2.4.6 NR Cyclic Prefix .................................................................................... 2-16
2.4.7 NR Physical Resource Block ................................................................ 2-17
2.4.8 Resource Grid ....................................................................................... 2-18
2.4.9 5G NR Transmitted Signal .................................................................... 2-18
2.4.10 Slot Format Configuration ................................................................... 2-19
2.4.11 Uplink/Timing ....................................................................................... 2-20
Channel Bandwidth ............................................................................................ 2-21
2.5.1 Maximum Transmission Bandwidth ...................................................... 2-21
2.5.2 Carrier BWP (Bandwidth Part) .............................................................. 2-22

5G NR Duplexing
5G NR (New Radio) utilizes a lot of existing transmission and reception
techniques. However, there are many new or enhanced aspects relating to the
5G NR waveform, frame structure and numerology, as well as channel
bandwidth.
2.1.1 FDD and TDD Duplexing Modes

Like LTE, 5G NR has the requirement to operate in different frequency bands,
with a combination of duplexing modes. The main duplexing modes are FDD
(Frequency Division Duplexing) and TDD (Time Division Duplexing).
Figure 2-1 illustrates a basic comparison of FDD and TDD operation. FDD
utilizes a separate frequency for the DL (Downlink) and UL (Uplink). In
comparison, TDD utilizes a single frequency and alternates downlink and
uplink transmission in time. For 5G, the choice of FDD or TDD is mainly
based on the service provider’s spectrum allocation and the frequency band
chosen.
FDD TDD
Frequency
Frequency
F1 F1 F1 F1 F1
F2
Time Time
Figure 2-1 FDD and TDD
2.1.2 Supplementary Downlink

The use of SDL (Supplementary Downlink) is typically related to providing a
capacity boost in the downlink. In WRC-15 (World Radio Conference 15), the
frequency range 1427MHz to 1518MHz was made available for SDL
operation. As such, both LTE and 5G NR 3GPP specifications include SDL
bands which reside between these frequencies.
If the SDL frequency is lower than the primary band the coverage footprint is
larger, however this extra coverage cannot be used. This is due to the device
still needing an uplink provide UCI (Uplink Control Information).
Figure 2-2 illustrates an example whereby the SDL band is lower than the
main operating band and provides greater coverage. Devices inside the blue
ring are able to benefit from the SDL operation with greater resource
allocation, as well as better indoor penetration (if a lower frequency).

Downlink and SDL Downlink

Uplink Coverage Only Coverage
Main FDD/TDD SDL Bands

Band may be (1427 to
higher or lower 1518MHz)
than SDL Bands
SDL Downlink
More resources and if a
F2 UL + DL
lower frequency, better Frequency
indoor penetration SDL NR Frequency
(Supplementary Band
Downlink)
Figure 2-2 Supplementary Downlink
2.1.3 Supplementary Uplink

5G NR also supports SUL (Supplementary Uplink). Figure 2-3 illustrates an
example of SUL operation. The primary band (shaded blue) provides good
downlink and uplink coverage, however as a result of device power limitations
the uplink coverage is actually reduced (red area). The SUL is typically
implemented at a lower frequency band and thus the uplink footprint is much
greater (green area). In so doing, devices on the edge of the blue shaded
area can utilize the downlink from the primary band and the uplink from the
SUL.
Downlink Only
Downlink and Coverage
Uplink Coverage
Device using DL
from Primary
Band and UL
SUL Coverage
from SUL
F2 UL + DL
Frequency
SUL (Supplementary NR Frequency
Uplink) Band
Figure 2-3 Supplementary Uplink
Note: a device operating simultaneous transmission of more than one UL in

different bands may lead to in-device interference.
5G Frequency Bands
5G NR includes the concept of FR (Frequency Range), as well as adding new
frequency bands and carrier numbering. Figure 2-4 identifies key areas
related to the use of 5G frequency bands.

Definition of
EN-DC Band
Frequency 5G NR Bands
Combinations
Ranges
Harmonics and
5G Carrier
Intermodulation
Numbering
for EN-DC
Figure 2-4 5G Frequency Bands
2.2.1 Definition of Frequency Ranges

3GPP specifications define various requirements which are sometimes
defined separately for different FR (Frequency Range). Figure 2-5 illustrates
the two frequency range designations, namely FR1 (Frequency Range 1) and
FR2 (Frequency Range 2), as well as their corresponding frequency range.
Note that FR1 is the sub 6GHz band, whereas FR2 covers approximately
24GHz to 53GHz.
Frequency Range Designation Corresponding Frequency Range
FR1 450MHz – 6000MHz
FR2 24250MHz – 52600MHz
Figure 2-5 5G Frequency Bands
Existing WCDMA and LTE bands are retained for 5G NR. Figure 2-6
illustrates the change in identification of a band, which for 5G NR is prefixed
by an “n”. It is worth noting that there is not always a corresponding band, for
example LTE Band 4 does not currently exist as a NR band. In addition, there
are new NR bands that have been introduced.
WCDMA LTE NR
Band XII Band 7 n7
Figure 2-6 Band Identification
2.2.2 5G NR Bands
In terms of the 3GPP specifications, there are three variants for transmission
and reception, as illustrated in Figure 2-7. These are Range 1 and Range 2,
as well as Interworking operation with other radios. The latter includes the EN-
DC operating bands.

Range 1 and Range 2

Interworking
Range 1 Standalone Range 2 Standalone
Operation with Other
(3GPP TS 38.101-1) (3GPP TS 38.101-2)
Radio
(3GPP TS 38.101-3)
NR Bands NR Bands
EN-DC Operating
26 Bands 3 Bands
Bands
(n1, n2, n3, n5... n84) (n257, n258 & n260)
Figure 2-7 3GPP Band Specifications
A complete list of FR1 and FR2 bands, as well as EN-DC band combinations
is available via the “5G Air Interface Resources” on the Mpirical
LearningZone.
Figure 2-8 Access to FR1, FR2 and EN-DC Bands
2.2.3 EN-DC Band Combinations

In terms of EN-DC operation, the “early drop” for Release 15 supports various
band combinations ranging from “1 LTE + 1 NR” up to “4 LTE + 1 NR” (with
the NR band being either FR1 or FR2). The full list of combinations can be
found in the “5G Air Interface Resources” on the Mpirical LearningZone.
Up to 4 Bands
eNB and en-gNB may
eNB be co-located
Uu X2
Master
Uu
EN-DC
Device
en-gNB
Secondary
1 Band
UE (FR1 or FR2)
Figure 2-9 EN-DC Band Combination
2.2.4 Baseband Processing Combination

In EN-DC, the capabilities of a device supporting both E-UTRA and NR are
provided to both eNB and en-gNB. This includes MR-DC (Multi-RAT Dual

Connectivity) band combinations, listing the supported E-UTRA and NR band

combinations.
However, other RAT (Radio Access Technology) specific capabilities need not
be visible to the node of the other RAT. For EN-DC, E-UTRA and NR
capabilities (i.e. band combinations, baseband processing capabilities and the
maximum power for FR1 the device can use in SCG), it is up to the eNB to
decide on how to resolve the dependency. As such, the eNB provides the
resulting UE capabilities usable for SCG configuration to the en-gNB.
Figure 2-10 illustrates the key parameters related to supported band
combinations, as well as supported BPC (Baseband Processing
Combination). The BPC includes key information about CA (Carrier
Aggregation), for example, the maximum bandwidth supported per CC
(Component Carrier).
Supported Band Combination

UE-MRDC-Capability
Baseband Processing Combination MRDC
UE
Supported Band Combination
UE-NR-Capability
Supported Baseband Processing Combination
Figure 2-10 EN-DC Band and Baseband Processing Combination
2.2.5 Harmonics and Intermodulation for EN-DC

NSA (Non-Standalone) EN-DC deployments require dual-connectivity of LTE
and NR, with the LTE eNB acting as the Master RAN node. In this scenario,
the device may encounter in-device interference issues.
Broadly, there are three different types of in-device interference due to
simultaneous UL transmission over different bands:
 Interference from Harmonic.
 Interference from Harmonic Mixing.
 Interference from IMD (Intermodulation).
In some cases, this will impact LTE, NR or other systems such as Wi-Fi,
Bluetooth and GNSS (Global Navigation Satellite System).
Interference from Harmonic

Interference can be seen when operating in EN-DC operation whereby the
harmonics from the LTE UL cause interference in the NR DL, as illustrated in
Figure 2-11.

UL UL
LTE NR
LTE NR (FR1)
DL DL
LTE NR
Harmonic from
UL LTE interfere
with DL NR
Figure 2-11 Interference from Harmonic
This situation only occurs on specific LTE bands, when the harmonics orders
(2nd, 3rd, 4th etc) are impacting the NR DL band. The higher the order of
harmonic, the lower the interference/impact. In some cases, the specifications
make allowances for this type of interference, known as “receiver sensitivity
degradation”.
Interference from Harmonic Mixing

In addition to the harmonics themselves, harmonic mixing will also cause
interference. This typically causes issues with the DL LTE signals, as
illustrated in Figure 2-12. As such the device sensitivity for LTE will be
impacted.
UL UL
LTE NR
LTE NR (FR1)
DL DL
LTE NR
Harmonic
Mixing from UL
NR interfere
with DL LTE
Figure 2-12 Interference from Harmonic Mixing
Interference from IMD (Intermodulation)

IMD (Intermodulation) is a significant issue in any radio system. Figure 2-13
illustrates how a combination of 2 or more uplink frequencies (or their
harmonics) can cause interference to the downlink radio. Thus, reducing the
receiver sensitivity.

UL UL
LTE NR
LTE NR (FR1)
DL DL
LTE NR
IMD from UL
NR/LTE interfere
with DL LTE
Figure 2-13 Interference from IMD (Intermodulation)
For EN-DC operation, there is a large number of combinations of LTE carriers

(up to 4) + NR carrier. This number is greatly increased with combinations of
harmonics and associated intermodulation results. As such, the 3GPP
produced a series of TR (Technical Reports) which highlight the Harmonic,
Harmonic Mixer and IMD related products, as well as the bands/systems they
effect. Figure 2-14 illustrates the four key EN-DC specifications; note that
others exist.
TR (Technical Report) on DC (Dual Connectivity) Band Combinations
TR 37.863-01-01 TR 37.863-02-01 TR 37.863-03-01 TR 37.863-04-01
LTE 1DL/1UL + LTE 2DL/1UL + LTE 3DL/1UL + LTE 4DL/1UL +

One NR Band One NR Band One NR Band One NR Band
Figure 2-14 EN-DC Harmonic and Intermodulation Information
2.2.6 5G Carrier Numbering

The channel raster defines a set of RF (Radio Frequency) reference
frequencies that are used to identify the RF channel position. A global
frequency raster is defined for all frequencies from 0 to 100 GHz and is used
to define the set of allowed RF reference frequencies. The granularity of the
global frequency raster is ∆FGlobal.
The RF reference frequency in the uplink and downlink is designated by the
NR-ARFCN (NR Absolute Radio Frequency Channel Number). The
relationship between the NR-ARFCN and the RF reference frequency FREF in
MHz for the downlink and uplink is given by the equation shown in Figure
2-15.

FREF = FREF-Offs + ∆FGlobal (NREF – NREF-Offs)
Frequency
∆FGlobal (kHz) FREF-Offs (MHz) NREF-Offs Range of NREF
Range (MHz)
0 – 3000 5 0 0 0 – 599999
3000 – 24250 15 3000 600000 600000 – 2016666
24250 – 100000 60 24250.08 2016667 2016667 – 3279165
Figure 2-15 NR-ARFCN Parameters for the Global Frequency Raster
NOTE: For each operating band, a subset of frequencies from the global
frequency raster are applicable and this forms a channel raster with a
granularity ∆FRaster, which may be equal to or larger than ∆FGlobal. Figure 2-16
illustrates an example of band n41 which utilizes a ∆FRaster = 15kHz.
E.g. Band n41, 15kHz Raster
5kHz 15kHz
∆FGlobal ∆FRaster
Figure 2-16 Example ∆FRaster Example (n41)
A complete list of ∆FRaster, as well as a NR-ARFCN to frequency converter can

be accessed via the “5G Air Interface Resources” on the Mpirical
LearningZone.
Figure 2-17 Access to ∆FRaster and NR-ARFCN Converter
5G Waveform: CP-OFDM and DFT-OFDM

The 5G NR radio “carrier” is based on a OFDM (Orthogonal Frequency
Division Multiplexing) waveform. Specifically, the downlink and uplink
transmission waveform is conventional OFDM using a CP (Cyclic Prefix). In
addition, the uplink can include an additional transform precoding stage. The
optional use of transform precoding is typically related to devices with limited
uplink link budgets eg. IoT devices.
Figure 2-18 illustrates a transmitter block diagram used for 5G NR. It includes
functions related to subcarrier Mapping, IFFT (Inverse Fast Fourier
Transform) and CP Insertion, as well as the optional Transform Precoding (UL
only).

Transform Subcarrier
IFFT CP Insertion
Precoding* Mapping
* Optionally present in
UL, not present in DL
Figure 2-18 Transmitter Block Diagram for CP-OFDM with Optional DFT-spreading
2.3.1 OFDM Subcarriers and Reference Signals

OFDM in 5G NR, like LTE, utilizes multiple subcarriers, as illustrated in Figure
2-19. The big change for 5G NR is that there are various SCS (Subcarrier
Spacing) options defined. These are identified as µ (Numerology).
Various Subcarrier
Subcarriers Spacing Options
Power
“Numerology”
µ
Frequency
Channel Bandwidth
Figure 2-19 5G NR Subcarriers
Figure 2-20 illustrates how each subcarrier carries the modulated symbol,
noting that the frequency, phase and amplitude do not change during that
symbol. Depending on the frequency of the individual subcarrier, as well as
the duration of the symbol (changes based on the numerology), the number of
cycles for a symbol will change.
Amplitude and Phase

E.g 250000 cycles per symbol,
remain constant for
at 3.5GHz (using µ=15kHz)
symbol duration
Time
Subcarrier
OFDM Symbol OFDM Symbol
Figure 2-20 OFDM Symbol
2.3.2 Orthogonal Frequency Division Multiplexing

OFDM has already been widely used in LTE. OFDM has a number of
advantages and disadvantages.
OFDM Advantages:
 Wide channels are more resistant to fading and OFDM equalizers are
much simpler to implement than those in CDMA.
 OFDM is almost completely resistant to multi-path interference due to
very long symbols. Note that at higher numerologies the symbol
durations will be reduced. However, beam forming at these higher
frequencies will minimize potential multipath issues.

 OFDM is ideally suited to MIMO due to the easy matching of transmit

signals to the uncorrelated RF channel.
OFDM Disadvantages:
 Sensitive to frequency errors and phase noise due to close subcarrier
spacing.
 Sensitive to Doppler shift which creates interference between
subcarriers. The frequency is a key part of Doppler shift, i.e. higher
frequencies suffer more. As such, NR forces higher frequencies to
utilize a larger numerology.
 Pure OFDM creates high PAPR (Peak-to-Average Power Ratio).
However, various techniques and codes are used to minimize this.
Transmitted Signal
OFDM waveforms typically create a high PAPR. The peaks are created when
the symbols to be transmitted are the same and nulls are created when the
symbols are different. In reality, since there are a number of subcarriers
involved the signal over time is no longer sinusoidal but instead Gaussian.
Depending on the symbol sequence, the resultant combined signal may be
constructive or destructive. This is illustrated in Figure 2-21.
Amplitude
Time
OFDM
Symbol
Figure 2-21 Transmitted Signal
It is worth nothing that 5G NR, like LTE, uses various mechanisms to reduce
the PAPR.
Combating Interference in the Time Domain

While the OFDM process overcomes interference in the frequency domain,
issues still exist in the time domain. One of the major problems effecting radio
transmission systems is that of ISI (Inter Symbol Interference). This is caused
by multipath effects and it manifests itself in terms of a delayed and
attenuated copy of the original signal.

Inter Symbol
Interference
Delay Spread
Figure 2-22 Inter Symbol Interference
One method of combating this effect is the use of equalizers. However, these
require a known bit pattern such as a training sequence which in turn reduces
the overall capacity of the channel to carry user data. Further, the need for an
equalizer also adds costs in terms of both money and processing power.
2.3.3 Cyclic Prefix

In most OFDM systems, a CP (Cyclic Prefix) can be used to counter the
effects of multipath propagation. This can be represented as a “guard period”
which is located just in front of the user data portion and as such, is able to
mitigate Delay Spread. The CP is in fact the final part of the OFDM Symbol
copied and placed in front of the same OFDM symbol. This is represented in
Figure 2-23.
In this example the CP represents 20% of the symbol and since the delay
spread in this case was only about 10% the symbol can be received. For 5G
NR there is a normal CP and an extended CP. The extended CP provides a
greater period for multipath protection and hence is linked to large cell sizes.
Unfortunately, extended CP also reduces the number of symbols per
slot/subframe andas such the data rate is reduced.

Symbol Period
1st Received
Signal
Delayed Signal Observation

Period
Symbol Period
1st Received
Signal
Delayed
Observation
Signal
Period
Figure 2-23 Cyclic Prefix
Figure 2-24 illustrates an example of a complex waveform and the CP being

taken from the back of the symbol and added to the front, i.e. the symbol
duration has increased which would provide a lower data rate with the benefit
of being resistant to multipath delay spread.
E Symbol Period
Previous Next
Symbol Symbol
Period CP Period
Figure 2-24 Symbol Period
NR Numerology and Frame Structure

2.4.1 Numerology
A key part of the 5G NR is flexibility. As such, there are various options for
subcarrier spacing; these are identified as µ (Numerology). Figure 2-25
illustrates µ=0 to µ=4. In so doing, the subcarrier spacings of 15kHz, 30kHz,
60kHz, 120kHz and 240kHz are defined. It is worth noting that the 3GPP
specification also mentions 480kHz subcarrier spacing however this may not
be available until 5G Phase 2 (Release 16).
As well as the numerology indicating subcarrier spacing, it also impacts many
other physical layer configurations and timings.

Figure 2-25 also illustrates the fact all numerologies support a normal CP,
however µ=2 (60kHz) also supports an extended CP.
µ Δf = 2μ ⋅15 [kHz] Cyclic Prefix

0 15 Normal
1 30 Normal
2 60 Normal, Extended
3 120 Normal
4 240 Normal
12 x 12 x 12 x 12 x 12 x
15kHz 30kHz 60kHz 120kHz 240kHz
(180kHz) (360kHz) (720kHz) (1440kHz) (2880kHz)
Figure 2-25 Supported Transmission Numerologies (µ=0 to µ=4)
A larger SCS is typically linked to higher frequencies since they experience

greater doppler shift. As an example, the doppler shift at 300km/h would be
~528Hz for a 1.9GHz carrier, compared with ~972Hz for a 3.5GHz carrier.
2.4.2 Slot Length

Each 5G NR numerology has a different number of slots per frame/subframe,
as illustrated in Figure 2-26. What is important to note is even though the
higher numerologies have more slots in a frame, the actual bandwidth is
greater, i.e. less subcarriers for a given bandwidth. The trade-off is related to
QoS and latency requirements, as well as frequency ranges.
kHz µ N slot N frame,µ N subframe,µ

symb slot slot
0 14 10 1 240kHz
0.0625ms/slot
1 14 20 2
2 12/14 40 4
3 14 80 8
120kHz
4 14 160 16 0.125ms/slot
60kHz
0.25ms/slot
30kHz
15kHz 0.5ms/slot
1ms/slot
Duration
Figure 2-26 NR Slot Length slot (µ=0 to µ=4)
2.4.3 Frame Structure

The 5G NR frame structure follows that of LTE, utilizing a 10ms Frame with
ten 1ms subframes. However, since 5G NR supports multiple numerologies
the number of slots varies. Figure 2-27 illustrates the frame structure for µ=0,
1 and 2, which respectively include 1, 2 or 4 slots per subframe, i.e. 10, 20 or
40 slots per frame.

1 Radio Frame = 10 Subframes = 10 or 20 or 40 slots = 10ms
0 1 2 3 4 5 6 7 8 9
1ms
Subframe
Slot = 1ms µ N slot

symb N frame,µ
slot N subframe,µ
slot
15kHz
0 14 10 1
0.5ms 0.5ms 1 14 20 2
30kHz Slot Slot
2 12/14 40 4
0.25ms 0.25ms 0.25ms 0.25ms 3 14 80 8
60kHz Slot Slot Slot Slot 4 14 160 16
Figure 2-27 µ=0, 1 and 2 Frame Structure
2.4.4 NR Slots
The number of symbols per slot is typically 14, with the exception of µ=2
which supports an extended CP. Figure 2-28 visualizes the symbols per slot
for µ=0, 1, 2 and 3.
15kHz 30kHz 60kHz 120kHz
1ms/slot 0.5ms/slot 0.25ms/slot 0.125ms/slot
14 14 14
Symbols Symbols Symbols
14
Extended CP
12 Symbols
Figure 2-28 Visualization of Symbols/slot (µ=0 to µ=3)
Figure 2-29 illustrates a comparison of µ=0 and µ=1.

1 Radio Frame = 10 Subframes = 10 or 20 slots = 10ms
0 1 2 3 4 5 6 7 8 9
1ms
Subframe
Slot = 1ms µ N slot

symb N frame,µ
slot N subframe,µ
slot
15kHz 0 14 10 1
14 Symbols
1 14 20 2
0.5ms 0.5ms 2 12/14 40 4

Slot Slot
3 14 80 8
30kHz 14 Symbols 14 Symbols
4 14 160 16
Figure 2-29 Comparing µ=0 and µ=1 Frame Format
Note: For TDD operation, various slot configuration options are allowed which
enable dynamic assignment of DL and UL symbols.

2.4.5 5G NR Time Unit

The NR time domain is expressed in Tc (Time Units):
𝑇𝑇𝑇𝑇 = 1/(∆𝑓𝑓𝑚𝑚𝑚𝑚𝑚𝑚 ∙ 𝑁𝑁𝑓𝑓 )
where ∆𝑓𝑓𝑚𝑚𝑚𝑚𝑚𝑚 = 480 ∙ 103 Hz (sampling time for the maximum subcarrier
spacing) and 𝑁𝑁𝑓𝑓 = 4096. This equates to ~ 509ns.
The constant 𝜅𝜅 = 𝑇𝑇𝑆𝑆 ⁄𝑇𝑇𝐶𝐶 = 64 and relates to the ratio of Ts (LTE Time Unit) to
the NR time unit (Tc), where 𝑇𝑇𝑠𝑠 = 1⁄(∆𝑓𝑓𝑟𝑟𝑟𝑟𝑟𝑟 ∙ 𝑁𝑁𝑓𝑓,𝑟𝑟𝑟𝑟𝑟𝑟 ), ∆𝑓𝑓𝑟𝑟𝑟𝑟𝑟𝑟 = 15 ∙ 103 𝐻𝐻𝐻𝐻 and
𝑁𝑁𝑓𝑓,𝑟𝑟𝑟𝑟𝑟𝑟 = 2048.
2.4.6 NR Cyclic Prefix

As defined in Figure 2-30, the size of the cyclic prefix varies with the
numerology (subcarrier spacing). If µ=2, an extended CP can also be utilized.
15kHz 30kHz 30kHz
1ms/slot 0.5ms/slot (l) 0.5ms/slot (l)
Symbol
Number 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 27
(l)
CP (Cyclic Prefix)
µ µ
NCP,l · Tc Nu · Tc
Tc NR Time Unit
µ
= 1/(∆fmax · Nf) = 0.5086263ns Nu = 2048κ · 2-µ
512κ · 2-µ Extended CP
Where: ∆fmax = 480 · 103 Hz and
µ
Nf = 4096 NCP,l = 144κ · 2-µ + 16κ Normal CP, l =0 or l = 7 · 2µ
144κ · 2-µ Normal CP, l ≠0 or l ≠ 7 · 2µ
κ = Ts/Tc = 64
Figure 2-30 5G NR Symbol Timing
When using a normal cyclic prefix, depending on the numerology and the
symbol number in the subframe, the size varies. Using the equation in Figure
2-30 it can be seen that the first symbol in the subframe, as well as the
symbol after the half way point, has a slightly larger cyclic prefix.
Subframe 1ms
15kHz= 1 slot
0 1 2 3 4 5 6 7 8 9 10 11 12 13
30kHz = 2 slots
0 27
60kHz = 4 slots
0 55
Figure 2-31 Normal Cyclic Prefix (µ=0, 1 and 2)

Figure 2-32 illustrates the relationship the SCS and the CP has on the
deployment in terms of Cell Size, Frequency and Achievable Latency.
Achievable
Cell Size Latency
Large 15kHz Medium
15kHz
Medium 30kHz Low
30kHz
15kHz 30kHz
Very
Small 30kHz 60kHz
15x2n kHz Low
60kHz 60kHz
n=3,4,5,...
Frequency
Low Medium High Very High
Sub 1GHz 100GHz
Figure 2-32 Usage of CP and SCS
2.4.7 NR Physical Resource Block

Like LTE, the term PRB (Physical Resource Block) is utilized in 5G NR. PRB
specifically relates to the grouping of 12 subcarriers, as illustrated in Figure
2-33 for µ=0
1 Radio Frame = 10 Subframes = 10 slots = 10ms
0 1 2 3 4 5 6 7 8 9
µ N slot
symb N frame,µ
slot N subframe,µ
slot
Slot 0
11
0 14 10 1
Resource Block
Subcarrier
Physical
1 14 20 2
2 12/14 40 4
3 14 80 8
0
4 14 160 16
OFDM Symbol
Figure 2-33 Physical Resource Block (µ=0)
Figure 2-34 illustrates the PRB for µ=1. The key visual change for µ=1 is the
subcarriers are twice as wide, i.e. 30kHz compared to 15kHz and the symbol
duration has been halved.

1 Radio Frame = 10 Subframes = 20 slots = 10ms
0 1 2 3 4 5 6 7 8 9
Slot 0 Slot 1
11
µ N slot
symb N frame,µ
slot N subframe,µ
slot
0 14 10 1
Resource Block
1 14 20 2
Subcarrier
Physical
2 12/14 40 4
3 14 80 8
4 14 160 16
Figure 2-34 Physical Resource Block (µ=1)
2.4.8 Resource Grid

For each numerology and carrier there is a Resource Grid defined, consisting
𝑀𝑀𝑀𝑀𝑀𝑀 𝑅𝑅𝑅𝑅 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠,𝜇𝜇
of 𝑁𝑁𝑅𝑅𝑅𝑅 ∙ 𝑁𝑁𝑆𝑆𝑆𝑆 − 1 subcarrier and 𝑁𝑁𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 OFDM symbols. Figure 2-35
also illustrates the concept of a RE (Resource Element) which can be used to
carry control, data or one of the various types of reference signals.
Subframe
Max RB
k=NRB · NSC -1
· NSC Subcarriers
Subcarriers = 12
RB
NRB
µ
RB
NSC
Resource Element
k=0
l=0 l=14·2µ-1
Figure 2-35 Resource Grid and Resource Element
2.4.9 5G NR Transmitted Signal

The complex signal that is transmitted in 5G NR is a time-continuous signal,
(𝑝𝑝,𝜇𝜇)
identified as 𝑠𝑠𝑙𝑙 (𝑡𝑡). This relates to antenna port 𝑝𝑝 and subcarrier spacing
𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠,𝜇𝜇 𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆
configuration µ for OFDM symbol 𝑙𝑙 ∈ {0, 1, … . . , 𝑁𝑁𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 𝑁𝑁𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 − 1}. It is
applicable for any subframe, physical channel or signal, except the PRACH
(Physical Random Access Channel). It is defined by:
𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠,𝜇𝜇
𝑅𝑅𝑅𝑅 −1
𝑁𝑁𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔 𝑁𝑁𝑠𝑠𝑠𝑠
𝜇𝜇 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠,𝜇𝜇
𝑅𝑅𝑅𝑅 /2) ∆𝑓𝑓(𝑡𝑡−𝑁𝑁 𝜇𝜇 𝜇𝜇
(𝑝𝑝,𝜇𝜇) (𝑝𝑝,𝜇𝜇) 𝑗𝑗2𝜋𝜋(𝑘𝑘+𝑘𝑘0 −𝑁𝑁𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔 𝑁𝑁𝑠𝑠𝑠𝑠 𝐶𝐶𝐶𝐶,𝑙𝑙 𝑇𝑇𝑐𝑐 −𝑡𝑡𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠,𝑙𝑙 )
𝑠𝑠𝑙𝑙 (𝑡𝑡) = � 𝑎𝑎𝑘𝑘,𝑙𝑙 ∙ 𝑒𝑒
𝑘𝑘=0
Figure 2-36 5G NR Signal Generation

2.4.10 Slot Format Configuration

One of the key flexibilities of 5G NR relates to the slot format configuration
which is defined in a “big table” 5. This can be visualized via the “5G Air
Interface Resources” on the Mpirical LearningZone.
Figure 2-37 NR Slot Format Configuration (Normal CP)
Figure 2-39 illustrates basic slot options. A key point to note is that within a
slot the symbols can be configured as uplink or downlink, as well as null to
accommodate switching.
Slot
Downlink Only Downlink
Uplink Only Upink
UL
Downlink
Control
Mixed DL-UL
DL
Uplink
Control
Figure 2-38 NR Slot Options
Figure 2-39 illustrates an extract from the slot configuration table for a Normal
CP. Slots can be configured for 'downlink' (denoted 'D'), 'flexible' (denoted
'X'), or 'uplink' (denoted 'U'). In addition, a SFI (Slot Format Indication) is used
which can be configured dynamically using DCI (Downlink Control
Information) or static/semi-static using RRC (Radio Resource Control).
Symbol Number in a Slot
Format
0 1 2 3 4 5 6 7 8 9 10 11 12 13
0 D D D D D D D D D D D D D D D Downlink
1 U U U U U U U U U U U U U U
U Uplink
2 X X X X X X X X X X X X X X
3 D D D D D D D D D D D D D X X Flexible
4 D D D D D D D D D D D D X X
55 D D X X X U U U D D D D D D
56-255 Reserved
Figure 2-39 Example Slot Formats
The slot format configuration is very flexible, enable the system to

concatenate and repeat different slot formats. In addition, the system also
enables multiple configurations to be set, thus being able to dynamically
switch between different slot format combinations. Each one identified by a
5
3GPP TS 38.211 NR; Physical Channels and Modulation

SFI (Slot Format Indication). In addition, parameters such as TDD-UL-DL-

ConfigCommon and TDD-UL-DL-ConfigDedicated are utilized to further define
slot specific configurations.
2.4.11 Uplink/Timing
Like LTE, 5G NR requires a TA (Timing Advance) to ensure the uplink
transmissions from devices arrive correctly synchronized. As such, the uplink
frame is “advanced” from the device’s perspective. This is illustrated in Figure
2-40. Note that for TDD operation an additional offset is also included
depending on whether FR1 or FR2 is utilized.
Downlink Frame
Uplink Frame
(NTA + NTA, offset) · Tc
Timing Duplex Mode of cell used for uplink

Advance NTA, offset
transmission
Equation
FDD in FR1 or FR2 0 (Note)
(includes µ)
TDD in FR1 25560
TDD in FR2 13763
Note: Regardless of whether LTE-NR coexistence is configured or not in FR1
Figure 2-40 Uplink Timing Relationship
The actual timing advance value is sent to the device by the MAC (Medium
Access Control) layer and various procedures are in place to ensure it is
correctly maintained.
It is also worth noting that the PCell and PSCell will have a timing relationship.
Such that the relative transmission timing difference between subframe timing
boundary of the E-UTRA PCell and slot timing boundaries of PSCell can be
aggregated EN-DC. Figure 2-41 illustrates example values for both
asynchronous and synchronous minimum downlink timing for EN-DC. Note
that slightly different values also exist for uplink, as well as intra-band
combinations.
E-UTRA
Subframes
NR Slots
Minimum Requirements for inter-band EN-DC
Asynchronous EN-DC Synchronous EN-DC

E-UTRA SCS Pcell DL in PSCell
Maximum Receive Timing Maximum Receive Timing
(kHz) (kHz)
Difference (µs) Difference (µs)
15 15 500 33
15 30 250 33
15 60 125 33
15 120 62.5 33
Figure 2-41 Minimum Requirements for Inter-Band EN-DC (Downlink)

Channel Bandwidth
The channel bandwidth supported by a device, for a single NR RF carrier, can
vary. From a base station perspective, different device channel bandwidths
may be supported within the same spectrum. In addition, multiple carriers, i.e.
CA (Carrier Aggregation), to the same device using the base station’s channel
bandwidth is also allowed.
Figure 2-42 illustrates the concept of Channel bandwidth and NRB
(Transmission Bandwidth Configuration). The minimum guardband size also
changes depending on the combination of SCS and channel bandwidth.
Channel Bandwidth (MHz)
Transmission Bandwidth Configuration NRB (RB)
Transmission Bandwidth (RB)
Active
Resource
Blocks
Guardband
(can be asymmetric)
Figure 2-42 Channel and Transmission Bandwidth
2.5.1 Maximum Transmission Bandwidth

The maximum transmission bandwidth also varies depending on the
combination of SCS and channel bandwidth. Figure 2-43 and Figure 2-44
illustrates the maximum values in terms of RB (Resource Blocks) for FR1 and
FR2 respectfully.
SCS 5 10 15 20 25 30 40 50 60 80 100
kHz MHz MHz MHz MHz MHz MHz MHz MHz MHz MHz MHz
15 25 52 79 106 133 (160) 216 270 n/a n/a n/a
30 11 24 38 51 65 (78) 106 133 162 217 273
60 n/a 11 18 24 31 (38) 51 65 79 107 135
Figure 2-43 FR1 Maximum Transmission Bandwidth Configuration (NRB)
SCS 50 100 200 400

kHz MHz MHz MHz MHz
60 66 132 264 n/a
120 32 66 132 264
Figure 2-44 FR2 Maximum Transmission Bandwidth Configuration (NRB)
The “5G Air Interface Resources” on the Mpirical LearningZone details

additional specific related to guardband sizes.

Figure 2-45 NR Bandwidth and Guardband Sizes
2.5.2 Carrier BWP (Bandwidth Part)

A BWP (Bandwidth Part) is a subset of contiguous CRB (Common Resource
Blocks). It is designed to support low end devices which may support
wideband operation. A device can be configured with up to four bandwidth
parts in the downlink with a single downlink bandwidth part being active at a
given time.
In addition, a device can be configured with up to four bandwidth parts in the
uplink with a single uplink bandwidth part being active at a given time. If a
device is configured with a supplementary uplink, this too can have up to four
bandwidth parts configured with a single uplink bandwidth part being active.
Up to 4 BWP PRB N1
can be Carrier Bandwidth Part 1
configured size
NBWP,1
PRB1
PRB0
Carrier
Bandwidth
PRB N1
start
NBWP,1 Carrier Bandwidth Part 0
size
PRB1 NBWP,0
PRB0
start start
NBWP,0 nCRB = nPRB + NBWP,i
CRB0
“Point A”
Figure 2-46 Carrier BWP
Figure 2-46 illustrates the concept, as well as the simple calculation for the
Common Resource Block number. Common Resource Blocks are numbered
from 0 and upwards in the frequency domain for subcarrier spacing
configuration µ. The centre of subcarrier 0 of Common Resource Block 0 for
subcarrier spacing configuration µ coincides with “Point A”.
In case of TDD, a BWP-pair (UL BWP and DL BWP) will have the same BWP-
ID (BWP Identity) and must have the same location.
The system and device can also use different BWP to enable BA (Bandwidth
Adaptation). In this case, the receive and transmit bandwidth can be adjusted
such that a smaller bandwidth can be used when there is a period of low
activity, ultimately, to save power. Note that the location can move in the
frequency domain, which would increase scheduling flexibility). In addition, the
BWP can have is own SCS, which may be related to different services.

Figure 2-47 illustrates an example of two BWP configurations. It also

highlights that switching may be dynamic changed based on the DCI
(Downlink Control Information).
SCS can be
different BWP Switched by DCI
Cell BWP
Bandwidth #2
BWP#1 BWP#1
Maybe used during

periods of low activity
to save power.
Figure 2-47 Changing BWP


5G Massive MIMO and Beamforming
Why Massive MIMO? ........................................................................................... 3-2

3.1.1 Requirement for Massive MIMO ............................................................. 3-2
3.1.2 Increasing Capacity................................................................................. 3-2
MIMO .................................................................................................................... 3-3
3.2.1 Summary of Transmission Path in 5G NR .............................................. 3-3
3.2.2 MIMO Spatial Multiplexing ...................................................................... 3-5
3.2.3 SU-MIMO vs MU-MIMO .......................................................................... 3-5
Beamforming (Massive MIMO)............................................................................. 3-6
3.3.1 Spatial Multiplexing vs Beamforming ...................................................... 3-6
3.3.2 Creating a Beam ..................................................................................... 3-6
3.3.3 Narrow Beams and Beam Steering ........................................................ 3-7
3.3.4 Beamforming Nulls .................................................................................. 3-7
3.3.5 Massive MIMO Antennas ........................................................................ 3-8
3.3.6 MIMO in a Handset ................................................................................. 3-9
3.3.7 Multiple Panel Antenna ......................................................................... 3-10
Beam Management in 5G NR ............................................................................ 3-10
3.4.1 Beam Sweeping .................................................................................... 3-11
3.4.2 SS Block ................................................................................................ 3-12
3.4.3 Beam Management Reference Signals ................................................ 3-12
3.4.4 Transmission Configuration and Quasi Co-Location ............................ 3-14
3.4.5 Single and Multiple CSI-RS................................................................... 3-15
3.4.6 Transmission Based on SRS ................................................................ 3-15
3.4.7 SS Burst and Burst Set ......................................................................... 3-16
3.4.8 SS Block Locations ............................................................................... 3-16
3.4.9 SS/PBCH Block Index Indication .......................................................... 3-19
3.4.10 Beam Measurement, Determination and Reporting ........................... 3-19
Transmission in 5G NR ...................................................................................... 3-20
3.5.1 Downlink Transmission ......................................................................... 3-20
3.5.2 Uplink Transmission .............................................................................. 3-21
3.5.3 NR Downlink Antenna Ports .................................................................. 3-22
3.5.4 NR Uplink Antenna Ports ...................................................................... 3-22

Why Massive MIMO?

A key part of the 5G NR system relates to the use of Massive MIMO (Multiple
Input Multiple Output). The term “Massive MIMO” relates to an antenna array
system using a “Massive” amount of antenna elements that can serve multiple
users simultaneously. Typically, the number of antenna elements is 128 or
256.
3.1.1 Requirement for Massive MIMO

To understand why Massive MIMO is needed it is best to review some key RF
(Radio Frequency) basics. Figure 3-1 illustrates the radio path between a
transmitter and receiver. PTX represents the power transmitted, R is the
distance between and PRX represents the received power.
PTX R PRX
PTX
PRX =
4πR2
Figure 3-1 Requirement for Massive MIMO
The main issue relates to 5G requiring more bandwidth, which is only

available at the higher frequencies, i.e. mmWAVE (Millimetre Wave).
Therefore, this needs to be factored into the equation (receiver antenna gain),
as illustrated in Figure 3-2. Notice that λ (Wavelength) is now part of the
equation and as it gets smaller with higher mmWave frequencies the receiver
gain will reduce. The final part of the equation is to add the transmitter
antenna gain. Ultimately, Massive MIMO is solving this problem and
increasing the transmitter antenna gain. In summary, at higher frequencies
Massive MIMO is needed or 5G would not work!
PTX
PRX =
4πR2 mmWAVE
This gets smaller as the
Receiver Antenna Gain wavelength gets shorter!
PTX λ
2
PRX = GRX
4πR2 4π
Solution
Transmitter Antenna Gain Increase the Transmitter
PTX λ
2 Antenna Gain.
PRX = GRXGTX
4πR2 4π
Figure 3-2 Requirement for Massive MIMO
3.1.2 Increasing Capacity

To increase capacity, it is worth recapping the Shannon-Hartley theorem. This
identifies the maximum rate at which information can be transmitted over a

communications channel of a specified bandwidth in the presence of noise. In

terms of increasing capacity, the options include:
 Increase Channels (MIMO) - this utilizes the diverse radio enviroment
to facilitate SM (Spatial Multiplexing) of data streams. It is a proven
technique in other systems including LTE.
 Increase Bandwidth (Beamforming) - increasing bandwidth is very
difficult, especially since most bands are already saturated. The key
point with Massive MIMO is the use of beamforming, whereby the
bandwidth can be reused in separate beams.
 Increase S/N (Signal to Noise) - this is part of the equation, however
since it is “log2” it has less impact than the previous two options.
Capacity/Channel = BW * log2 (1+ S/N)

Shannon-
Hartley
Theorem
Capacity = # Channels *BW * log2 (1+ S/N)
Increase Utilizing SM (Spatial Multiplexing) enables multiple streams within the

Channels same RB (Resource Block). System requires CSI (Channel State
(MIMO) Information).
Increase
Existing frequency spectrum is already saturated. mmWave is
Bandwidth
required for greater bandwidth options.
(Beamforming)
Increase S/N Since log2 (1+S/N) this has less impact.
Figure 3-3 Shannon-Hartley Theorem
MIMO
MIMO (Multiple Input Multiple Output) is an antenna technology that utilizes
multiple antennas at both the transmitter and the receiver. It has been widely
used in wireless systems such as Wi-Fi and LTE.
3.2.1 Summary of Transmission Path in 5G NR

To understand some of the MIMO and transmission terminology it is worth
identifying the downlink and uplink processing chains for 5G NR, as illustrated
in Figure 3-4 and Figure 3-5. Whilst all the stages are important, a few key
terms related to 5G NR Transmission and MIMO are highlighted:
 Codewords - prior to processing the Layer 2 MAC (Medium Access
Control) Transport Block, it is first converted into a codeword by
performing FEC (Forward Error Correction) and adding a CRC (Cyclic
Redundancy Check).
 Layers - one or more codewords are processed by a “Layer Mapper”
which creates 𝜈𝜈 transmission layers, with the number of layers always
less than or equal to the number of antenna ports. The term “streams”
is commonly used to describe layers carrying information.
 Antenna Ports - this is defined as “a channel over which a symbol on
the antenna port is conveyed can be inferred from the channel over
which another symbol on the same antenna port is conveyed”. These
do not correspond to physical antennas, i.e. a single antenna port can

be spread across multiple antennas. In addition, multiple antenna port

signals can be transmitted on a single antenna.
Resource OFDM
Modulation
Scrambling Element Signal
Mapper
Mapper Generation
Layer
Codewords
Mapper
Resource OFDM
Modulation
Mapper
Mapper Generation
Layers Antenna
Ports
DMRS
Figure 3-4 5G NR Downlink Processing Chain
Note that the 3GPP Release 15 uplink currently only supports 1 codeword
which can map up to 4 layers. In addition, the processing chain for DFT-s-
OFDM (Discrete Fourier Transform - spread - Orthogonal Frequency Division
Multiplexing) is slightly different, i.e. it includes an additional Transform
Precoding stage.
Resource OFDM
Modulation
Mapper
Mapper Generation
Layer
Codewords Precoding
Mapper
Resource OFDM
Modulation
Mapper
Mapper Generation
Layers Antenna
Ports
DMRS
Figure 3-5 5G NR Uplink Processing Chain (CP-OFDM)
MIMO technology utilizes and exploits the spatial dimension of the radio
waves as they traverse the air interface between a transmitter and receiver.
This spatial dimension is caused by utilizing the natural radio wave
phenomenon called multipath. Multipaths are the diverse radio paths that the
signals take, i.e. some signals bounce off walls, ceilings, and other objects,
reaching the receiving antenna multiple times at different angles and slightly
different times.
h11
1 h21 1
hm1
h12
2 2
h22
hm2
h1n
n h2n m
hmn
Figure 3-6 MIMO Channel

Figure 3-6 illustrates the basic MIMO channel and the various signals
between a transmitter and receiver. Note that each signal e.g. h11, will utilize
multiple multipaths to arrive on each receive antenna. The intelligence is in
the system design, since it can decode each of these signals independently.
Typically, MIMO designation is used, e.g. 2x2. This refers to the number of
“input” and “output” antenna ports, whereby input=transmit and
output=receive at an antenna, e.g. the base station antenna.
3.2.2 MIMO Spatial Multiplexing

MIMO systems can identify separate signals, i.e. layers/streams and these
can be used to carry the same information, effectively a form of diversity.
However, they can also be used to carry different information, which is termed
SM (Spatial Multiplexing) and typically requires good radio conditions, i.e. a
spatially diverse channel with good signal levels. Spatial Multiplexing implies
“different” data on the streams, as illustrated in Figure 3-7.
h11
1 h21 1
Stream hm1
h12
2 2
Stream h22
hm2
h1n
n h2n m
hmn
Figure 3-7 Spatial Multiplexing
3.2.3 SU-MIMO vs MU-MIMO

Like LTE, 5G NR supports both SU-MIMO (Single-User MIMO) and MU-MIMO
(Multi-User MIMO). SU-MIMO, as it name suggests is designed to increase
the performance for a single user. In contrast, MU-MIMO is designed to serve
multiple users simultaneously on the same frequency resource, primarily
relying on spatial separation or beam separation.
SU-MIMO
Increases device performance. Either diversity or
increasing capacity using Spatial Multiplexing.
SU-MIMO MU-MIMO
UE
gNB gNB
UE
MU-MIMO
Multiple devices benefit from either the
spatial propagation capabilities or in the UE
case of massive MIMO, beamforming.
Figure 3-8 MU-MIMO

Using MU-MIMO changes the performance of the channel. In some cases,

users on the edge of a cell may require SU-MIMO to increase the
performance and reliability.
Beamforming (Massive MIMO)

Beamforming, as its name suggests is the “forming” of a “beam” of RF energy.
Fundamentally, the electromagnetic wave radiation pattern from a system is
focused like a beam from a torch (or laser).
3.3.1 Spatial Multiplexing vs Beamforming

These are not mutually exclusive, however typically in the sub 6GHz band the
channel characteristics are rich in multipaths and therefore ideally suited for
spatial multiplexing. In contrast, at mmWave the system relies on
beamforming (to get the power to the device) which has fewer multipaths.
Sub 6GHz mmWave
MIMO Order Up to 8x8 Less MIMO (usually 2x2)
Beamforming to a Single
Main Technique Spatial Multiplexing
Device
Rich Multipaths ideal for Fewer Multipaths due to
Channel Characteristics
Spatial Multiplexing beamforming
Figure 3-9 Sub 6GHz vs mmWave
In addition, the sub 6GHz band is typically used to cover a larger area with
more devices being supported and greater mobility.
3.3.2 Creating a Beam

The easiest method to create a beam is to place multiple antennas in an
“array”. Note that there many implementation options when it comes to
aligning the antenna elements. The simplest is illustrated in Figure 3-10
whereby the antennas are aligned in a line. Notice that as an additional
antenna element is added, the radiation pattern is changed, becoming more
directional.
0° 0°
-30° +30° -30° +30°
Array
-60° +60° -60° +60° Multiple Antenna
Elements
Figure 3-10 Beamforming - Antenna Array
Figure 3-11 illustrates the basic concept of how the electromagnetic waves
are reinforced in the main beam direction. This is typically termed the main
lobe. It is also worth noting that the spacing between the antenna elements is
expressed in wavelengths (λ), with different spacing having a different result.

Main Beam
(Lobe)
Direction
Antenna Array
2 Transmit Antenna
Figure 3-11 Beamforming Basics
3.3.3 Narrow Beams and Beam Steering

Unfortunately, energy is also partially reinforced in unwanted directions,
referred to as “side lobes”. An example of side lobes is illustrated in Figure
3-12. Notice as the number of antenna elements is increased, the main lobe
gain is increased and the beam becomes narrower. In addition, the sidelobes
are reduced. The final example in Figure 3-12 illustrates four equally spaced
antenna elements, however the phase of each is offset by an equal amount,
e.g. 90deg; as a result, the beam is transmitted in a specific direction.
0° 0° 0°
-30° +30° -30° +30° -30° +30°
-60° +60° -60° +60° -60° +60°
Figure 3-12 Beamforming - Additional Antenna Elements
Therefore, by changing the antenna elements’ phase, a beam can effectively

be steered.
3.3.4 Beamforming Nulls

Another key aspect of beamforming is the generation of Nulls. As illustrated in
Figure 3-13, this is the area in which no or little energy is transmitted.
0°
Direction of
“Nulls”
Figure 3-13 Beamforming Nulls
The concept of “Null Steering” is equally as important as beam steering. This

can be illustrated by reviewing the radiation patterns which are sent from an
antenna at the same time to four spatially separate devices. The key point
relates to the fact that whist the main lobe targets the intended device, the
nulls are steered to ensure minimal interference towards other devices.

Source: Keysight Technologies
Figure 3-14 Multiple Beams
The actual radiation pattern will be 3D. Figure 3-15 illustrates an example of a
main lobe direction being changed, as well as the resultant change to the
position of the sidelobes and the nulls.
Figure 3-15 Example of Beamforming Lobe
3.3.5 Massive MIMO Antennas

The range of antennas available for MIMO and Massive MIMO is huge. Inside
an antenna there will be multiple antenna elements. As illustrated in Figure
3-16 these can be cross-polar (dual slant). In conventional systems a “sub-
array” meant that one antenna port would feed multiple elements. However,
as techniques such as vertical tilting were required, i.e. FD-MIMO (Fully
Dimension MIMO) in LTE, the sub-array size is reduced, thus enabling more
control.
FD-MIMO Array (LTE)

Subarray k=2
Conventional Array Massive MIMO

Subarray k=8 Individual control over
antenna elements
Figure 3-16 Antenna Elements

For Massive MIMO, there is a requirement to have even more control. As

such, systems exist which have control over individual antenna elements.
Sub 6GHz Massive MIMO Antenna

Massive MIMO is mostly linked to the requirement to have beamforming at the
mmWave frequencies. However, the concept can still be used in the sub-
6GHz band. Since antenna element size and spacing is a factor of
wavelength, the size of the antenna will increase as the frequency gets lower
(assuming the same level of performance and control is required). Figure 3-17
illustrates typical Massive MIMO antenna sizes for sub 6GHz operation. Each
antenna has 64T64R, meaning 64 RF Transceiver Channels.
1.8GHz
Massive MIMO
64T64R 2.6GHz
Massive MIMO 3.5GHz
Massive MIMO
140cm
100cm
90cm
70cm 50cm 40cm
Figure 3-17 Massive MIMO Antenna (Sub 6GHz)
The key benefit of using 64T64R over traditional 8T8R is an increase to the
peak per-carrier capacity, an increase in cell-edge capacity and an extension
in overall coverage.
Above 6GHz Massive MIMO Antenna

In frequencies above 6GHz, as well as mmWave (above 20GHz), the
solutions focus on TDD operation with up to 512 ports.
Massive MIMO 32, 64 or 128 Ports
Massive MIMO 256 Ports
Massive MIMO with 512 Ports
Figure 3-18 Massive MIMO System supporting up to 512 ports for mmWave
3.3.6 MIMO in a Handset

5G devices, such as handheld mobiles are also being targeted for MIMO
enhancements, as well as the use of beam manipulation. Figure 3-19
illustrates ha scenario with multiple antenna elements on a handheld device.
These could then be used to manipulate the radiation pattern around the
hand, as well as providing limited steering capability towards the cell.

Figure 3-19 MIMO Devices
3.3.7 Multiple Panel Antenna

5G NR supports single panel antennas and multi-panel antennas. An example
of multi-panel operation is illustrated in Figure 3-20, which include four panels
each with 8x4x2=64 element.
4 Panel: SU-MIMO MU-MIMO

256 Elements
4 4
4 4
8 8 8 8
UE UE
UE
UE
UE
Figure 3-20 Multi-Panel Antennas
The first example illustrates how all panels can be utilized in a SU-MIMO
scenario. In contrast, the second scenario focuses on MU-MIMO operation,
with each panel serving a separate user.
Beam Management in 5G NR
Utilizing Massive MIMO is not without its challenges. One key issue relates to
the fact that a beam is used to communicate to a user. However, since the
user could be anywhere in the cell - where does the system point the beam?
The answer relates to the use of a technique called “beam sweeping”.
Effectively moving the beam over time so that eventually a beam is pointed at
the device. Note for 3GPP Release 15 the device is not required to support
two simultaneous beams.

How do we ensure
devices can see the
base station?
Figure 3-21 Issue with using Massive MIMO
Beam sweeping is just one aspect, there are other considerations related to
Massive MIMO and beams; these are highlighted in Figure 3-22.
The process of covering a spatial area utilizing a set of

Beam
beams which are transmitted/received at pre-specified intervals and
Sweeping
directions.
Beam The evaluation of the quality of

Measurement the received signal. Either at the gNB or at the device.
Beam The selection of the suitable beam and is related to the

Determination measurements obtained with beam measurement.
Beam The procedure used by the device to

Reporting send beam quality and beam decision information.
Figure 3-22 Beam Management
3.4.1 Beam Sweeping

The 5G NR system defines a SSB (Synchronization Signal Block). This
includes NR synchronization signals and a PBCH (Physical Broadcast
Channel). Figure 3-23 illustrates the basic concept of beam sweeping.
Time
SSB
(Synchronization
Signal Block)
Figure 3-23 Beam Sweeping
Due to the narrow beams, it is important that the beam sweep covers both the
azimuth of the cell’s footprint, as well as the vertical footprint. Figure 3-24
illustrates an example using 64 beams.

30 Degrees
(4 Beams)
120 Degrees (16 Beams)
Figure 3-24 Beam Sweeping in 3D (64 Beams)
3.4.2 SS Block
The SSB (SS Block) is a key part of beam management. It includes the
following:
 PSS (Primary Synchronization Signal).
 SSS (Secondary Synchronization Signal).
 PBCH (Physical Broadcast Channel).
Figure 3-25 illustrates how the SS Block consists of 4 OFDM symbols and
occupies 240 subcarriers, i.e. 20 PRB (Physical Resource Block). In addition
to the SSB, the downlink DMRS (Demodulation Reference Signals) are also
utilized to determine the identity of a specific beam.
Subcarriers
PSS
48 48
PBCH SSS
PBCH
240 Subcarriers
144 127 PSS 240 SSS 240
(20 PRB)
48 48
0 1 2 3 OFDM Symbols
Figure 3-25 SS Block
3.4.3 Beam Management Reference Signals

Depending on the mode of the device, different reference signals are utilized,
some of which aid beamforming and MIMO. Figure 3-26 illustrates the main
reference signals used in 5G NR.

CSI-RS (Channel- DM-RS (Demodulation PT-RS

State Information RS) RS) (Phase-Tracking RS)
Downlink
Uplink
SRS (Sounding DM-RS PT-RS

Reference Signal) (Demodulation RS) (Phase-Tracking RS)
Figure 3-26 5G NR Reference Signals
Downlink Reference Signals include:

 CSI-RS (Channel State Information RS) - this can be used for
estimation of CSI (Channel State Information) to further prepare
feedback reporting to the base station, e.g. CQI (Channel Quality
Indicator) for link adaptation, precoder-matrix/vector selection, etc.
These can assist beamforming and scheduling for up to eight layers of
transmission.
 DM-RS (Demodulation Reference Signals) - this can be used for
downlink channel estimation for coherent demodulation of PBCH,
PDSCH (Physical Downlink Shared Channel) and PDCCH (Physical
Downlink Control Channel). The DM-RS is mapped over 1 or 2
adjacent OFDM symbols which are “front-loaded”, and the additional
DMRS is always present in the prefixed location.
 PTRS (Phase Tracking RS) - this is optionally present to help
compensate for phase noise and may also help with doppler shift. It is
present only in the resource blocks used for the PDSCH, and only if the
higher-layer parameter indicates PTRS being used. It may be
configured with different levels of Time Density and Frequency Density.
Uplink Reference Signals Include:
 SRS (Sounding RS) - this can be used for estimation of uplink CSI to
assist uplink scheduling and uplink power control.
 DM-RS (Demodulation Reference Signals) - this can be used for
channel estimation for coherent demodulation of the PUSCH (Physical
Uplink Shared Channel). Uplink DM-RS is mapped to physical
resources according to the type given by the higher-layer parameter.
 PTRS (Phase-Tracking RS) - this is present only in the resource blocks
used for the PUSCH, and only if the higher-layer parameter indicates
PTRS being used.
For beamforming assistance whilst in Idle Mode, the PSS, SSS and PBCH
DMRS are utilized. In contrast, once in Connected Mode the CSI-RS is
utilized for the downlink and the SRS for the uplink. Collectively these aid
beam management, as well as narrowing the beam towards a device.

Idle Mode Connected Mode
CSI-RS (Downlink)
PSS, SSS and PBCH DMRS
SRS (Uplink)
Figure 3-27 Beam Management Reference Signals
3.4.4 Transmission Configuration and Quasi Co-Location

The device can be configured with up to “M” TCI (Transmission Configuration
Indicator) States by NR RRC. This enables it to decode PDSCH according to
a detected PDCCH with DCI intended for the device and the given serving
cell. The number of states “M” is dependent on the device capabilities.
Two antenna ports are said to be quasi co-located if the large-scale properties
of the channel over which a symbol on one antenna port is conveyed can be
inferred from the channel over which a symbol on the other antenna port is
conveyed. The large-scale properties include one or more of delay spread,
Doppler spread, Doppler shift, average gain, average delay, and spatial Rx
parameters. When signalling to the device these are grouped into one of the
following types:
QCL-TypeA' Doppler Shift, Doppler Spread, Average Delay, Delay Spread
QCL-TypeB' Doppler Shift, Doppler Spread
QCL-TypeC' Average Delay, Doppler Shift
QCL-TypeD' Spatial Rx Parameter
Figure 3-28 QCL Types
Figure 3-29 illustrates two TRxP (Transmission Reception Point), in this case
two of the antenna ports from on TRxP are QCL, whereas the other signal has
a non-QCL relationship.
The TCI state information includes one RS set TCI-RS-SetConfig. Each TCI-
RS-SetConfig contains parameters for configuring quasi co-location
relationship between the reference signals in the RS set and the DM-RS port
group of the PDSCH. The RS set contains a reference to either one or two DL
RSs and an associated quasi co-location type for each one. For the case of
two DL RSs, the QCL types cannot be the same, regardless of whether the
references are to the same DL RS or different DL RSs.

Used in:
csi-MeasConfig
QCL
Quasi Co-Location pdsch-Config
tci-StatesToAddModList
tci-StateId
qcl-Type1 csi-rs, ssb or
csi-RS-for-
S
C
cell
-R
SI RS
tracking
SI
C
-R
bwp-Id
SI
C
S
-
referenceSignal
qcl-Type TypeA
qcl-Type2 TypeB
TRxP TRxP referenceSignal TypeC
Not QCL qcl-Type TypeD
nrofPTRS-Ports
UE
Figure 3-29 QCL Information in Transmission Configuration
3.4.5 Single and Multiple CSI-RS

NR supports a wide range of transmission and feedback permeations. Figure
3-30 illustrates two examples. The first is based on the en-gNB transmitting a
single CSI-RS. Since NR supports a maximum of 32 ports for the CSI-RS, the
feedback from the device can include the PMI (Precoding Matrix Indicator) to
identify a port. In addition, other feedback such as the RI (Rank Indicator) and
CQI (Channel Quality Indicator) can be sent. This technique is similar to “LTE
Class A”.
The second example illustrates multiple CSI-RS, which identify the beams.
Note that each beam can also include ports, in this example 8 ports. The
device then utilizes a CRI (CSI-RS Resource Indicator) to identify the beam.
This technique is similar to “LTE Class B”.
Single
CSI-RS
- Utilizes Codebook Feedback
CSI-R - Preceding Matrix Indicator
(upto S - Max 32 CSI-RS Ports
32 Po
rts) - Beamforming Possible
- No Beam Selection
PMI (3
2), RI, - Similar to LTE Class A
CQI
CSI-RS
(8 Ports)
- Utilizes Feedback for Beam
CSI-RS - CRI (CSI-RS Resource Indicator)
(8 Ports) - Max 32 CSI-RS Ports
Multiple - Beamforming include CSI-RS
CSI-RS
CSI-RS - Similar to LTE Class B
CRI, P (8 Ports)
MI, RI, CSI-RS
CQI
(8 Ports)
Figure 3-30 Sub-6GHz Beamforming with CSI-RS
3.4.6 Transmission Based on SRS

Like LTE, NR can also utilize SRS based transmission. As illustrated in Figure
3-31, the device can be configured to send SRS to the en-gNB. This
technique assumes TDD reciprocity can be utilized, i.e. effects on the SRS in
the uplink will be seen when the en-gNB schedules the downlink.

Exploits TDD Reciprocity

SRS
RI, CQ
I
NR en-gNB transmission based on
the SRS (Sounding Reference
Signal) received.
Figure 3-31 SRS Based Transmission
3.4.7 SS Burst and Burst Set

To understand the delivery of the SSB it is worth identifying the time related
aspects, broadly these include:
 SS Burst - this defines 1 SS Block or multiple SS Blocks.
 SS Burst Set - this includes 1 or multiple SS Burst(s) and is confined to
a half frame, i.e. 5ms.
 SS Burst Set Periodicity - by default this is 20ms. However, other
values exist.
Figure 3-32 illustrates the relationship between the SS Block and these
definitions.
SS Burst Set Periodicity (20ms by Default)
SS Burst Set (1 or multiple SS Burst)

SS Burst SS Burst SS Burst
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
SS Block
5ms Window (Half Frame) SS Block
Figure 3-32 SS Burst and SS Burst Set
The total number of possible candidates for SSB Locations within a SS Burst
Set is defined by L (Location), where Lmax can equal:
 L=4 or L=8 for µ=0 and µ =1.
 L=64 for µ =3 and µ =4.
 µ=2 cannot carry SSB.
It is also worth noting that not all SSB locations must be utilized.
3.4.8 SS Block Locations

There are five cases (Case A to D) defined for SS block locations. Case A, B
and C relate to the sub-6GHz band and are defined in Figure 3-33.

15kHz subcarrier spacing: the first symbols of the candidate SS/

PBCH blocks have indexes of {2, 8} + 14*n. For carrier frequencies
Case A
smaller than or equal to 3GHz, n=0, 1. For carrier frequencies larger
than 3GHz and smaller than or equal to 6GHz, n=0, 1, 2, 3.

PBCH blocks have indexes {4, 8, 16, 20} + 28*n. For carrier
Case B frequencies smaller than or equal to 3GHz, n=0. For carrier
frequencies larger than 3GHz and smaller than or equal to 6GHz,
n=0, 1.

PBCH blocks have indexes {2, 8} + 14*n. For carrier frequencies
Case C
smaller than or equal to 3GHz, n=0, 1. For carrier frequencies larger
than 3GHz and smaller than or equal to 6GHz, n=0, 1, 2, 3.
Figure 3-33 Sub 6GHz SS Block Locations
In term of visualization, Figure 3-34 illustrates the SS Block symbol locations

for Case A, B and C. Note that only the first 1ms subframe is shown. In reality,
the number of SS Block locations will span multiple subframes.
The blue and red shaded symbols relate to the time aspects of the SS Block,
i.e. 4 OFDM symbols each.
1ms Subframe
Case A = 15kHz
0 1 2 3 4 5 6 7 8 9 10 11 12 13
Case B = 30kHz
0 13 14 27
Case C = 30kHz
0 13 14 27
0.5ms Half Subframe
SS Block
Locations
Figure 3-34 Case A, B and C SS Block Locations (less than 6GHz)
For LTE-NR coexistence the specifications indicate that a 30kHz subcarrier

spacing should be used with a minimum of 10MHz bandwidth. This is so the
system can be adapted to ensure the LTE RS (Reference Signal) are
preserved. Figure 3-35 illustrates the four areas within the NR subframe which
need to preserve LTE Reference Signals. As such, in areas where collisions
occur, the NR SS Blocks are not transmitted by the en-gNB.
SS Block Colliding with

LTE RS are not
transmitted by gNB
0 13 14 27
0.5ms Half Subframe
1ms Subframe
Figure 3-35 NR Coexistence with LTE

Figure 3-36 illustrates the SS Block locations for >6GHz. With Case D and
Case E relating to 120kHz and 240kHz SCS respectively.

PBCH blocks have indexes {4, 8, 16, 20} + 28*n. For carrier
Case D
frequencies larger than 6GHz, n=0, 1, 2, 3, 5, 6, 7, 8, 10, 11, 12, 13,
15, 16, 17, 18.
Case E - 240kHz subcarrier spacing: the first symbols of the

candidate SS/PBCH blocks have indexes {8, 12, 16, 20, 32, 36, 40,
Case E
44} + 56*n. For carrier frequencies larger than 6 GHz, n=0, 1, 2, 3, 5,
6, 7, 8.
Figure 3-36 Larger than 6GHz SS Block Locations
In terms of visualization, Figure 3-37 illustrates Case D and Case E SS Block

locations for the 120kHz and 240kHz slot sizes.
The shaded symbols all relate to symbols where the SS Blocks could be
located.
0.125ms SS Block
Locations
Case D = 120kHz
0 13 14 27
Case E = 240kHz
0 27 55
Figure 3-37 Case D and E SS Block Locations (Larger than 6GHz)
The actual number of SS Block locations is related to SCS with the Lmax
being 4, 8 or 64. Figure 3-38 illustrates the potential SS Block locations.
5ms Window
Case A
15kHz L=4
Case A
15kHz L=8
Case B/C
30kHz L=4
Case B/C
30kHz L=8
Case D
120kHz L=64
Case E
240kHz L=64
Slot containing 2 x SS Blocks 2 Slot containing 4 x SS Blocks

Slot containing 2 x SS Blocks 2 Slot containing 4 x SS Blocks
Figure 3-38 SS Block Location (L=4, 8 or 64)

3.4.9 SS/PBCH Block Index Indication

The SS Block index increments from 0 to L-1 within the SS Burst Set (5ms).
Since the Lmax value is either 4, 8 or 64 the maximum number of bits
required for the index is 6. As such, the determination of the SS Block index is
achieved by decoding two parameters:
 DMRS Sequence - enables the encoding/mapping of the 3bits LSB
(Least Significant Bits) of the SS Block Index (b2, b1, b0).
 PBCH Scrambling Sequence - enables the encoding/mapping of the
3bits MSB (Most Significant Bit) of the SS Block Index (b5, b4, b3).
5ms Window
Case B/C
30kHz L=4
0 L-1
Case B/C
30kHz L=8
0 L-1
SS Block Index
DMRS Sequence - 3 bits (b2, b1, b0)
PBCH Scrambling Sequence (b5, b4, b3)
Figure 3-39 SS/PBCH Block Index Example
3.4.10 Beam Measurement, Determination and Reporting

During the initial discovery procedure, beam measurement and beam
determination is based on the SS/PBCH Block. For EN-DC operation, since
the device does not establish the RRC connection towards the en-gNB, the
initial beam reporting process will go via the LTE master node. This in turn
can communicate with the en-gNB to schedule RACH resources.
SS Burst
UE
Beam Sweep and
eNB en-gNB Measurement
Device identifies Beam

Best Beam Determination
Feedback
on LTE
Beam Reporting
en-gNB Schedules
RACH Resources RACH
Preamble
Figure 3-40 EN-DC Beam Measurement, Determination and Reporting
Figure 3-41 illustrates how a downlink SS block with a specific SS Block index
relates to uplink resources.

DL SS DL SS DL SS DL SS
UL1 UL2 UL3 UL4
Block 1 Block 2 Block 3 Block 4
TRxP
Device
Mapping from downlink SSB to

potential uplink resources
Figure 3-41 Beam Management
Transmission in 5G NR
3.5.1 Downlink Transmission
Codewords
In terms of 5G NR specifics, the number of codewords per PDSCH (Physical
Downlink Shared Channel) assignment per device is:
 1 codeword for 1 to 4 layer transmission.
 2 codewords for 5 to 8 layer transmission.
PDSCH assignment per device is:
1 Codeword 2 Codewords
1 to 4 Layer 5 to 8 Layer
Transmission Transmission
Figure 3-42 Codewords for PDSCH
DMRS Ports
Devices are higher layer configured with 2 DMRS configurations for “front-
loaded” CP-OFDM:
 Type/Configuration 1 - Up to 8 orthogonal DL DMRS ports (1 or 2
symbols).
 Type/Configuration 2 - Up to 12 orthogonal DL DMRS (1 or 2 symbols).
Type/
Up to 8 orthogonal DL DMRS ports are supported
Configuration
(1 or 2 symbols)
1
Type/
Up to 12 orthogonal DL DMRS ports are supported
Configuration
(1 or 2 symbols)
2
Figure 3-43 DMRS configurations for “front-loaded” CP-OFDM

Up to 8 orthogonal DL DMRS ports per device are supported for SU-MIMO

and up to 4 orthogonal DL DMRS ports per device are supported for MU-
MIMO.
SU-MIMO Up to 8 orthogonal DL DMRS ports are supported

Device per device
MU-MIMO Up to 4 orthogonal DL DMRS ports are supported

Device per device
Figure 3-44 DMRS Ports for SU-MIMO and MU-MIMO
The DMRS and corresponding PDSCH are transmitted using the same
precoding matrix and the UE does not need to know the precoding matrix to
demodulate the transmission. The transmitter may use a different precoder
matrix for different parts of the transmission bandwidth, resulting in frequency
selective precoding.
3.5.2 Uplink Transmission

Two transmission schemes are supported for PUSCH:
 Codebook based transmission.
 Non-Codebook based transmission.
Two transmission schemes are supported for

PUSCH
Codebook Based Non-Codebook Based

Transmission Transmission
PUSCH precoder
Transmit Precoding based on wideband
Matrix Indication in the SRI (SRS Resource
DCI Indicator) field from the
DCI
Figure 3-45 Uplink Transmission
For codebook based transmission, the gNB provides the device with a
transmit precoding matrix indication in the DCI (Downlink Control Information).
The device uses the indication to select the PUSCH transmit precoder from
the codebook.
For non-codebook based transmission, the device determines its PUSCH
precoder based on wideband SRI (Sounding Reference Signal Resource
Indicator) field from the DCI.
Other key aspects for uplink transmission:
 Closed loop DMRS based spatial multiplexing is supported for PUSCH.
 Up to 4 layer transmissions are supported for SU-MIMO with CP-
OFDM using 1 codeword.
 When transform precoding is used (DFT-s-OFDM), only a single MIMO
layer transmission is supported.

3.5.3 NR Downlink Antenna Ports

5G NR encompasses a range of antenna port numbers to identify the different
types of downlink transmission. These are defined in Figure 3-46.
Antenna ports starting with 1000 for PDSCH (Physical

1000
Downlink Shared Channel)
Antenna ports starting with 2000 for PDCCH (Physical

2000
Downlink Control Channel)
Antenna ports starting with 3000 for CSI-RS (Channel-

3000
State Information - Reference Signals)
Antenna ports starting with 4000 for SS (Synchronization

4000
Sequence) Block transmission
Figure 3-46 5G NR Downlink Antenna Ports
As an example, CSI-RS port numbering would be:

 2 antenna ports {3000, 3001}.
 4 antenna ports {3000, 3001, 3002, 3003}.
 8 antenna ports {3000, 3001, …, 3007}.
 12 antenna ports {3000, 3001, …, 3011}.
 16 antenna ports {3000, 3001, …, 3015}.
 24 antenna ports {3000, 3001, …, 3023}.
 32 antenna ports {3000, 3001, …, 3031}.
3.5.4 NR Uplink Antenna Ports

The uplink also has defined antenna ports, these are outlined in Figure 3-47.
Antenna Ports starting with 0 for PUSCH (Physical Uplink

0 Shared Channel) and associated DMRS (Demodulation
Reference Signals)
Antenna ports starting with 1000 for SRS (Sounding

1000
Reference Signals)
Antenna ports starting with 2000 for PUCCH (Physical

2000
Uplink Control Channel)
Antenna port 4000 for PRACH (Physical Random Access

4000
Channel)
Figure 3-47 5G NR Uplink Antenna Ports

5G Physical Layer Details
5G Physical Layer ................................................................................................ 4-2

4.1.1 Key Specifications ................................................................................... 4-2
4.1.2 Channels and Signals ............................................................................. 4-2
Processing Chain ................................................................................................. 4-6
4.2.1 Code Block Group ................................................................................... 4-6
4.2.2 Codewords to Antenna Ports .................................................................. 4-6
Downlink Physical Channels and Signals ............................................................ 4-8
4.3.1 Downlink Synchronization Signals .......................................................... 4-8
4.3.2 PSS and SSS .......................................................................................... 4-8
4.3.3 Physical Broadcast Channel ................................................................... 4-9
4.3.4 Physical Downlink Control Channel ...................................................... 4-11
4.3.5 Physical Downlink Shared Channel ...................................................... 4-14
4.3.6 PDSCH DMRS ...................................................................................... 4-16
Uplink Physical Channels ................................................................................... 4-19
4.4.1 Physical Random Access Channel ....................................................... 4-19
4.4.2 Physical Uplink Shared Channel........................................................... 4-23
4.4.3 Physical Uplink Control Channel........................................................... 4-25
Additional 5G Reference Signals........................................................................ 4-28
4.5.1 CSI-RS .................................................................................................. 4-28
4.5.2 Sounding Reference Signal .................................................................. 4-30
4.5.3 Phase Tracking Reference Signal......................................................... 4-32

5G Physical Layer
4.1.1 Key Specifications
Like LTE, the NR physical layer is very complex with many 3GPP
specifications detailing the NR structure and operation. Figure 4-1 illustrates
the main 3GPP specifications for the NR physical layer.
38.202
Services provided by the physical layer
38.212
Multiplexing and Channel
Coding
38.211 38.213, 38.214 38.215

Physical Channels and Physical Layer Procedures Physical Layer
Modulation for Data, Control Measurements
Figure 4-1 Key 5G NR Physical Layer Specifications
4.1.2 Channels and Signals

Prior to defining the physical layer, it is worth defining the types of NR
channels and reference signals. Like LTE, the terminology of Logical
Channels, Transport Channels and Physical Channels is utilized.
Logical Channels
Logical channels for 5G NR can be divided into two groups, namely Control
Channels and Traffic Channels.
BCCH (Broadcast PCCH (Paging CCCH (Common

Control Channel) Control Channel) Control Channel)
DCCH (Dedicated DTCH (Dedicated

Control Channel) Traffic Channel
Figure 4-2 NR Logical Channels
The various forms of these channels are summarized.

 BCCH (Broadcast Control Channel) - this is a downlink channel used
for the broadcast of SI (System Information).
 PCCH (Paging Control Channel) - this is a downlink channel for the
transfer of paging information to the device. It can also be used to
transfer system information change notifications and indications of
ongoing PWS (Public Warning System) broadcasts.
 CCCH (Common Control Channel) - this is used by a device to
establish or re-establish an RRC (Radio Resource Control) connection.
This is referred to as SRB (Signalling Radio Bearer) 0.

 DCCH (Dedicated Control Channel) - this is a two-way channel for the

transfer of control information when the device has an RRC connection.
SRBs when DCCH is activated include:
 SRB 1 - This is used for RRC messages.
 SRB 2 - This is used for NAS (Non-Access Stratum) messages
and has a lower priority than SRB1.
 SRB 3 - This is from the Secondary RAN node and can be used to
configure measurements, MAC, RLC, PDCP and physical layer
parameters, as well as RLF (Radio Link Failure) parameters.
Note that if MCG (Master Cell Group) split SRB is activated, two additional
variants exist:
 SRB1S - This is the SCG part of MCG split SRB1 for EN-DC.
 SRB2S - This is the SCG part of MCG split SRB2 for EN-DC.
CCCH (Common Control Channel)

SRB 0
CCCH (Common Control Channel)
SRB 1 DCCH (Dedicated Control Channel)
SRB 2 DCCH (Dedicated Control Channel) eNB/

UE ng-eNB/gNB
SRB 3 DCCH (Dedicated Control Channel)
For EN-DC
Can be used to configure measurements,
MAC, RLC, PDCP, physical layer and RLF
timers and constants.
en-gNB/gNB
Figure 4-3 Signalling Radio Bearers

 DTCH (Dedicated Traffic Channel) - This is a point to point channel that
may exist in the uplink or downlink. It is part of the DRB (Data Radio
Bearer) assigned to a device.
DRB DTCH (Dedicated Traffic Channel)
DRB
UE
Numbered 1 to 32.
eNB/
ng-eNB/
en-gNB/
gNB
Figure 4-4 Dedicated Traffic Channels
Transport Channels
The 5G NR physical layer provides a transport service to the MAC layer. The
physical layer service is dependent on the type and characteristics of the
traffic to be transported over the air interface. The channels that offer these
services are classified as Transport Channels.

 BCH (Broadcast Channel) - this is a broadcast channel which is part of

the SS (Synchronization Signal) Block. It includes the MIB (Master
Information Block).
 DL-SCH (Downlink - Shared Channel) - this channel supports dynamic
scheduling and dynamic link adaptation by varying the antenna
mapping, modulation, coding and resource/power allocation. In
addition, it supports HARQ (Hybrid Automatic Repeat Request)
operation to improve performance.
 PCH (Paging Channel) - this channel is used to carry the PCCH. It
utilizes DRX (Discontinuous Reception) to improve the device’s battery
life.
 UL-SCH (Uplink - Shared Channel) - this is similar to the DL-SCH,
supporting dynamic scheduling and dynamic link adaptation by varying
the antenna mapping, modulation, coding and resource/power
allocation. In addition, it supports HARQ (Hybrid Automatic Repeat
Request) operation to improve performance. This channel also
supports DTX (Discontinuous Transmission) for device power saving.
 RACH (Random Access Channel) - this channel carries limited
information and is used in conjunction with Physical Channels and
preambles (probes) to provide contention resolution procedures.
DL-SCH
BCH (Broadcast PCH (Paging
(Downlink -
Channel) Channel)
Shared Channel)
UL-SCH (Uplink - RACH (Random

Shared Channel) Access Channel)
Figure 4-5 NR Transport Channels
Mapping Logical Channels into Transport Channels

To provide flexibility, as well as multiplex multiple bearers together, Logical
Channels may be mapped to one or more Transport Channels. These in turn
are mapped into Physical Channels. This mapping is shown in Figure 4-6.
Uplink Logical Channels Downlink Logical Channels
CCCH DCCH DTCH PCCH BCCH CCCH DCCH DTCH
RACH UL-SCH PCH BCH DL-SCH
Uplink Transport Channels Downlink Transport Channels
Figure 4-6 Mapping Logical Channels into Transport Channels
Physical Channels
The 5G NR physical layer defines various Physical Channels. The Physical
Channels defined for the downlink include:
 PDSCH (Physical Downlink Shared Channel).
 PDCCH (Physical Downlink Control Channel).
 PBCH (Physical Broadcast Channel).

The physical channels defined for the uplink are:

 PRACH (Physical Random Access Channel).
 PUSCH (Physical Uplink Shared Channel).
 PUCCH (Physical Uplink Control Channel).
PBCH (Physical PDSCH (Physical PDCCH (Physical

Broadcast Downlink Shared Downlink Control
Channel) Channel) Channel)
PRACH (Physical PUSCH (Physical PUCCH (Physical
Random Access Uplink Shared Uplink Control
Channel) Channel) Channel)
Figure 4-7 NR Physical Channels
Each Physical Channel includes physical layer processing, such as

modulation, coding, antenna mapping, as well as mapping to physical RE
(Resource Element).
Mapping Transport Channels to Physical Channels

The mapping of Transport Channels to/from Physical Channels is illustrated in
Figure 4-8.
Uplink Transport Channels Downlink Transport Channels

RACH UL-SCH PCH BCH DL-SCH
UCI DCI
PRACH PUSCH PUCCH PDSCH PBCH PDSCH PDCCH

Uplink Physical Channels Downlink Physical Channels
Figure 4-8 NR Transport to Physical Layer Mapping
In addition to carrying transport channels, PDCCH and PUCCH transport DCI

(Downlink Control Information) and UCI (Uplink Control Information)
respectively. In addition, the PUSCH is also able to multiplex UL-SCH and
UCI. The DCI is used to schedule resources, e.g. the PDSCH or PUSCH,
whereas the UCI carries feedback such as CSI (Channel State Information) or
ACK/NACK, as well as device triggered SR (Scheduling Request).
Synchronization and Reference Signals

In addition to the various channels, the NR physical layer also defines SS
(Synchronization Signal) and RS (Reference Signal).
Synchronization DM-RS CSI-RS (Channel-

Signals (Demodulation State Information
(PSS and SSS) RS) RS)
PT-RS
SRS (Sounding
(Phase-Tracking
Reference Signal)
RS)
Figure 4-9 NR Synchronization and Reference Signals

These include: PSS (Primary Synchronization Signal), SSS (Secondary

Synchronization Signal), DM-RS (Demodulation RS), CSI-RS (Channel State
Information RS), SRS (Sounding RS) and PTRS (Phase Tracking RS).
Processing Chain
Depending on the physical channel various processes are undertaken to
ensure the Transport Block is correctly error protected and sized for a given
allocation. Figure 4-10 illustrates the basic terminology used create a CB
(Code Block). Note that some channels have a few extra processes/stages.
Only the PBCH includes an extra layer of scrambling prior to CRC

Scrambling attachment. This scrambling sequence includes variables such as
the Cell Identity and part of the SFN (System Frame Number).
Transport
Error detection is provided by adding a CRC (Cyclic Redundancy
Block CRC
Check) to the TB (Transport Block).
Attachment
Like LTE, however “Polar Coding” replaces TBCC (Tail Bit

Channel
Convolution Code) and LDPC (Low-Density Parity Check) replaces
Coding
Turbo Coding.
This involves matching the number of bits from the error protected
Rate
Transport Block to the given allocation. Typically includes bit
Matching
interleaving.
Code Block The code block concatenation consists of sequentially concatenating

Concatenation the rate matching outputs for the different code blocks.
Figure 4-10 Code Block Generation
4.2.1 Code Block Group

Like LTE, 5G NR supports huge TB (Transport Blocks) which can be split into
multiple CB (Code Blocks). In addition, 5G NR also defines a CBG (Code
Block Group). As illustrated in Figure 4-11, multiple Code Blocks can be in a
Code Block Group, with the maximum number of CBG’s for a transport block
being specified by RRC. The advantage of using Code Block Groups is that
the system can indicate ACK/NACK and retransmission of data at the CBG
level.
TB (Transport Block)
CRC
CRC
CB0 CB1 CB2 CB3 CB4 CB5 CBC-4 CBC-3 CBC-2 CBC-1
CBG0 CBG1 CBG2 CBGN-2 CBGN-1
Code Block Group

Maximum Code Block groups per Transport block
configured by RRC (n2, n4, n6 or n8)
Figure 4-11 Code Block Group
4.2.2 Codewords to Antenna Ports

Depending on the channel type, as well as direction, the output from the Code
Block Concatenation still needs to traverse though various stages before

reaching the antenna ports. Figure 3-4 illustrates an example of the downlink
processing chain. The stages include:
 Scrambling - as its name suggests, this scrambles the Code Block
data. The purpose of this is to improve interference and minimize
“bursts” in the transmission.
 Modulation Mapper - 5G NR supports various modulation schemes up
to 256 QAM, as such the scrambled binary input is converted to a
complex number sequence.
 Layer Mapper - 5G NR supports up to 8 layers (2 codewords)
transmission. This is linked to the process of antenna port mapping.
 Resource Element Mapper - based on the antenna port number, VRB
(Virtual Resource Blocks) are created which can then be mapped to
PRB (Physical Resource Block), with or without interleaving.
 OFDM Signal Generation - the final stage is the creation of the OFDM
(Orthogonal Frequency Division Multiplexing) signal.
Resource OFDM
Modulation
Mapper
Mapper Generation
Layer
Codewords
Mapper
Resource OFDM
Modulation
Mapper
Mapper Generation
Layers Antenna
Ports
DMRS
Figure 4-12 5G NR Downlink Processing Chain
Figure 4-13 illustrates an example of the uplink processing chain (CP-OFDM).
Resource OFDM
Modulation
Mapper
Mapper Generation
Layer
Codewords Precoding
Mapper
Resource OFDM
Modulation
Mapper
Mapper Generation
Layers Antenna
Ports
DMRS
Figure 4-13 5G NR Uplink Processing Chain
The main addition in the uplink are:

 Precoding - this provides an extra process related to mapping layers to
the antenna ports.
 Transform Precoder - this is related to DFT-s-OFDM (Discrete Fourier
Transform - spread - Orthogonal Frequency Division Multiplexing)
transmission and therefore if active is performed prior to the precoding
stage (not shown in Figure 4-13).

Downlink Physical Channels and Signals

4.3.1 Downlink Synchronization Signals
The downlink in 5G NR is based on CP-OFDM with the channel being
scalable. However, at this stage the device may be unaware of the downlink
cell configuration. Consequently, synchronization and cell identity information
must appear on the downlink in a consistent place irrespective of the radio
spectrum configuration. The two synchronization signals are the PSS (Primary
Synchronization Signal) and SSS (Secondary Synchronization Signal). These
provide symbol synchronization, as well as being utilized to derive the NCell
ID
(Cell Identity), which is between 0 and 1007.
(1) (2)
(2)
Ncell
ID = 3NID + NID
(NID )
PSS (2)
(1) and N ID
)
SSS (NID
(1)
NID = 0,…..335
(2)
NID = 0, 1, or 2
gNB
UE
Figure 4-14 Downlink Synchronization Signals

(2)
The PSS can be used to derive NID , whereas decoding the SSS enables the
(1) (2)
device to determine both NID and NID . The device requires these to correctly
decode the PBCH and DMRS. Note that the SS (Synchronization Signal)
Block index also forms part of the PBCH scrambling sequence, as well as the
DMRS sequence. These being sent on antenna port 4000.
PSS (Primary SSS (Secondary

Synchronization Signal) Synchronization Signal)
(2) (1) (2) SS Block Index

NID NID and NID
L=0 to Lmax
PBCH (Physical
DMRS
Broadcast Channel)
Figure 4-15 Using the PSS and SSS
Note that for EN-DC operation, the Master eNB, as well as when configuring
the PSCell and SCell, also passes the necessary SI (System Information) via
dedicated signalling. The device still must acquire the MIB of the PSCell to get
the SFN (System Frame Number) timing of the SCG (which may be different
to the Master Cell Group).
4.3.2 PSS and SSS

The PSS, SSS and PBCH are transmitted together in a SS Block, as
illustrated in Figure 4-16.

Subcarriers
PSS
48 48
PBCH SSS
PBCH
240 Subcarriers
144 127 PSS 240 SSS 240
(20 PRB)
48 48
0 1 2 3 OFDM Symbols
Figure 4-16 SS Block

(2)
The PSS is made up of a 127 m-Sequence which includes NID as part of the
sequence generation. This maps to the 127 subcarriers as illustrated in Figure
4-17, with the remaining subcarrier identified as “set to 0”.
Frequency
143
9 “set to 0” Subcarriers
135
134
133
132
131
144 PSS / SSS Sequence

Subcarriers (127 Subcarriers)
11
10
9
8
7
8 “set to 0” Subcarriers
0
Figure 4-17 PSS/SSS Subcarriers
Similarly, the SSS is also a 127 m-Sequence and is mapped to the same 127
(1) (2)
subcarriers, however 2 symbols later. It is generated using both NID and NID .
4.3.3 Physical Broadcast Channel

The main role of the PBCH is to transport the MIB (Master Information Block),
with data arriving to the coding unit as one transport block every 80ms.
Figure 4-18 illustrates the various coding steps, as well as summarizing the
content of the MIB, which includes:
 systemFrameNumber - this 6bit parameter identifies the current SFN.
 subCarrierSpacingCommon - this indicates the SCS (Subcarrier
Spacing) for SIB1, initial access messages and broadcast SI
messages. If the device acquires this MIB on a carrier frequency
<6GHz, the values 15kHz and 30kHz are applicable. If the device
acquires this MIB on a carrier frequency >6GHz, the values 60kHz and
120kHz are applicable.

 ssb-SubcarrierOffset - this is the frequency domain offset between SSB

and the overall resource block grid in number of subcarriers. Note: this
field only includes the 4 LSB (Least Significant Bits).
 dmrs-TypeA-Position - this defines the position of (first) downlink
DMRS, identified as pos2 or pos3, i.e. symbol 2 or symbol 3.
 pdcch-ConfigSIB1 - this determines a bandwidth for PDCCH/SIB, a
common CORESET (Control Resource Set), a common search space
and necessary PDCCH parameters. It relates to finding the RMSI
(Remaining Minimum System Information), i.e. SIB1.
 cellBarred - this is an indication on whether the cell is barred or not.
 intraFreqReselection - this controls cell reselection to intra-frequency
cells when the highest ranked cell is barred, or treated as barred by the
device.
MIB
systemFrameNumber
Scrambling subCarrierSpacingCommon
ssb-SubcarrierOffset
dmrs-TypeA-Position p
CRC Attachment pdcch-ConfigSIB1
cellBarred
Polar Coding intraFreqReselection
Rate Matching
Scrambling
Modulation
Resource Element Mapping Antenna Port 4000
Figure 4-18 PBCH/MIB Processing
DMRS for PBCH

NR does not include cell reference signals like LTE. As such, the PBCH,
PDSCH and PUSCH require their own DMRS. For the PBCH, the DMRS is
mapped into one of four locations based on a mod4 shift related to the NCell
ID .
Figure 4-19 illustrates were 𝒱𝒱 = 0.

239
PSS
SSS 𝒱𝒱 = NCell
ID mod4
PBCH
182
DMRS for PBCH
56
Figure 4-19 DMRS Location for PBCH

4.3.4 Physical Downlink Control Channel

The PDCCH carries the DCI (Downlink Control Information), i.e. the resource
allocation. It is scheduled based on a RNTI (Radio Network Temporary
Identifier). As illustrated in Figure 4-20 the DCI is mapped into 1 or more CCE
(Control Channel Elements), with each control channel element consisting of
6 REG (Resource Element Groups). Each REG equates to 1 PRB (12
subcarriers) x one OFDM symbol.
REG = 1 PRB x 1
DCI CRC based on RNTI
OFDM Symbol
x6
1, 2, 4, 8 or 16
PRB CCE (Control
CCEs (Aggregation QPSK Modulation
Channel Element)
Level)
CORESET (Control-
Resource Set)
Figure 4-20 PDCCH Mapping
The CCE aggregation levels (1, 2, 4, 8 or 16) define the possible grouping for
large DCI formats. These aggregation levels are also utilized by devices to
search for potential DCI messages. The devices know that the DCI includes a
CRC which are scrambled based on a RNTI.
cinit = ( nRNTI · 216 + nID ) mod231
nRNTI = C-RNTI (if configured) or 0

nID = 0-65535 (if configured) or NCell
ID
Figure 4-21 Scrambling for PDCCH
In terms of physical layer coding, the PDCCH utilizes Polar Coding prior to
Rate Matching and scrambling. The scrambling sequence generator is
initialized as per the equation in Figure 4-21.
Scrambled information is the modulated (QPSK) and mapped to Resource
Elements on antenna port 2000.
CORESET
In addition to a CCE, 5G NR defines a CORESET (Control-Resource Set) for
the PDCCH. This consists of frequency domain resource blocks, given by the
higher-layer parameter “frequencyDomainResources”. This is a bitmap for the
BWP (Bandwidth Part), with each bit relating to 6REGs. In the time domain,
the higher-layer parameter “duration”, defines 1, 2 or 3 symbols. Note that the
duration of 3 symbols (symbols 0, 1, and 2) is only supported if the DL-DMRS-
typeA-pos equals 3, i.e. the position of the downlink DMRS is in symbol 3 and
therefore does not impact the CORESET.

RRC Parameter:
duration PDCCH
(Number of Symbols) CORESET
0
0
1
RRC Parameter:
1
BWP frequencyDomainResources
(Bitmap relating to 6REGs) 1
1
0
0
Figure 4-22 CORESET
CORESET Configuration
The CORESET is configured per BWP. For EN-DC operation, once the device
has the E-UTRA SRB established, a LTE RRC Connection Reconfiguration
message can be sent to the device which includes a NR RRC Connection
Reconfiguration message, however this is embedded in the nr-Config-r15
parameter as illustrated in Figure 4-23. It also illustrates how the parameter
are passed to the device via the X2 interface. Note that parameters nr-Config-
r15 and nr-RadioBearerConfig-r15 are used in difference EN-DC procedures.
In some scenarios, one of these parameters is used. However, in other
scenarios both parameters may be used. i
cg-Config
scg-CellGroupConfig
scg-RB-Config SgNB Addition Request
drx-InfoSCG Acknowledge
candidateCellInfoListSN SgNBtoMeNBContainer
measConfigSN cg-Config
selectedBandCombinationNR
eNB en-gNB
R
rrcConnectionReconfiguration
R con onf
R nr-C
C
e
nonCriticalExtension x 8
C figu g-r1
on ra 5
nr-Config-r15 setup
ne tio
ct n
endc-ReleaseAndAdd-r15
io
i
nr-SecondaryCellGroupConfig-r15
rrcReconfiguration
secondaryCellGroup
p-MaxEUTRA-r15
sk-Counter-r15
nr-RadioBearerConfig1-r15 UE
Figure 4-23 NR Parameters in E-UTRA RRC
Figure 4-24 illustrates an example location of the BWP and the PDCCH
configuration. Note that depending on the scenario, there are various places
for these parameters, for example similar information can be found as part of
the initialDownlinkBWP or downlinkBWP-ToAddModList parameter.

rrcReconfiguration
secondaryCellGroup tion
onnec
cellGroupId RRC C uration
fi g
spCellConfig Recon g-r15
fi
spCellConfigDedicated nr-Con
downlinkBWP-ToAddModList
bwp-Id
bwp-Common
eNB
genericParameters UE
pdcch-ConfigCommon setup
commonControlResourcesSets cg-Config
controlResourceSetId
frequencyDomainResources
duration
cce-REG-MappingType BWP and
reg-BundleSize PDCCH?
interleaverSize
en-gNB
shiftIndex
precoderGranularity
Figure 4-24 CORESET Configuration (via SRB1)
In addition, note that both “Common” and “Dedicated” PDCCH Configurations

exist.
PDCCH for SFI (Slot Format Indication)

The system may also configure a group PDCCH for a cell. This is to indicate
the SFI (Slot Format Indication) index, which maps to a slot format
combination previously defined to the device. Figure 4-25 illustrates an
example of a slot format, as well as a separate example with two slot format
combinations, e.g. 0+28 for high downlink usage and 34+1 for high uplink
usage.
Note that up to 256 slot formats can be concatenated to create a slot format
combination. With the slot format combination identity (SFI index) ranging
from 0 to 4095.
In addition to configuring the slot format combinations on a cell, the system
will also allocate a SFI-RNTI (Slot Format Indication RNTI). This will be
utilized on the PDCCH using a specific format (Format 2_0).
0.5ms 0.5ms
Slot Slot
30kHz 45 45
Slot Formats
0 28
SFI Index 0
Slot Format
34 1 Combinations xN
SFI Index 1
CRC masked
PDCCH Format 2_0
SFI-RNTI
Figure 4-25 Slot Format Indicator
PDCCH for Pre-emption

The system may also configure a PDCCH for downlink pre-emption
indications in a cell. Figure 4-26 illustrates the main downlink pre-emption

setup parameters configured by a NR RRC Connection Reconfiguration

message.
rrcReconfiguration
secondaryCellGroup tion
onnec
cellGroupId RRC C uration
fi g
spCellConfig Recon g-r15
fi
spCellConfigDedicated nr-Con
bwp-Id
bwp-Dedicated eNB
pdcch-Config setup UE
downlinkPreemption setup
cg-Config
int-RNTI
timeFrequencySet
dci-PayloadSize
int-ConfigurationPerServingCell Downlink
servingCellId Preemption
positionInDCI
en-gNB
Figure 4-26 PDCCH for Pre-emption (via SRB1)
If configured, the device will be provided with an INT-RNTI (Interruption RNTI)

which enables it to monitor the PDCCH conveying DCI Format 2_1. The
timeFrequencySet parameter indicates set0 or set1 which corresponds to how
the 14bits per cell are interoperated, as seen in Figure 4-27. In this example
there are 2 serving cells in the “Set of Serving Cells”, each is given a
“positioninDCI” - which will be in multiples of 14bits. Each 14bits for a serving
cell then carries a bitmap to the corresponding symbol group and possible
PRB subset.
Set0 (INT-TF-unit=0)
Set of Serving DCI
INT-Cell-to-INT
Cells Format 2_1
0=yes 1=no
Transmission in
Corresponding
Serving Cell Symbol Group
Cell-to-INT (servingcellId=0 14bits
positioninDCI=0)
Serving Cell Set1 (INT-TF-unit=1)

Cell-to-INT (servingcellId=1 0=yes 1=no
positioninDCI=13) Transmission in
Corresponding
Symbol Group
DCI Payload 7 x 2bit and Subset of
Size (0..126) Pairs PRBs
Figure 4-27 DCI Format 2_1
4.3.5 Physical Downlink Shared Channel

The NR PDSCH is used to deliver Transport Blocks from the en-gNB to the
device. Figure 4-28 illustrates the main physical layer processes that are
performed. Most of these are like LTE PDSCH, however differ in the fine
detail. In addition, the NR PDSCH utilizes LDPC (Low-Density Parity Check)
coding instead of the Turbo Coding used by LTE.

PDSCH Data
TB CRC Attachment Code block concatenation
LDPC Base Graph Selection Scrambling
Code Block Segmentation and Modulation: QPSK, 16QAM,

Code Block CRC Attachment 64QAM and 256QAM
Channel Coding: LDPC Coding Layer Mapping and Pre-coding

(Base Graph #1 or Base Graph #2)
Mapping to Assigned Resources
Rate Matching and Antenna Ports
Figure 4-28 PDSCH Physical Layer Processing
The PDSCH is configured using RRC signalling, namely the PDSCH-Config

parameter. This is included as part of the InitialDownlinkBWP or BWP-
DownlinkDedicated parameters. In addition, there are limited PDSCH
configuration details included as part of the PDSCH-ConfigCommon
parameter.
PDSCH (Physical
Downlink Shared
Channel)
PDSCH-
PDSCH-Config
ConfigCommon
BWP-
InitialDownlinkBWP
DownlinkDedicated
Figure 4-29 Configuring PDSCH
The PDSCH-Config parameter itself contains many other parameters, these

are highlighted in Figure 4-30.
rrcReconfiguration
secondaryCellGroup
sCellToAddModList on
onnecti
sCellConfigDedicated RRC C uration
fig
downlinkBWP-ToAddModList Recon g-r15
pdsch-Config setup N r- C o nfi
dataScramblingIdentityPDSCH
dmrs-DownlinkForPDSCH-MappingTypeA RR OR
CR
dmrs-DownlinkForPDSCH-MappingTypeB ec
tci-StatesToAddModList on eNB
UE fig
vrb-ToPRB-Interleaver ura
tio
resourceAllocation n
PDSCH
pdsch-AllocationList Configuration
pdsch-AggregationFactor
rateMatchPatternToAddModList
rateMatchPatternGroup1
rateMatchPatternGroup2
rbg-Size
mcs-Table
maxNrofCodeWordsScheduledByDCI en-gNB
prb-BundlingType
zp-CSI-RS-ResourceToAddModList
aperiodic-ZP-CSI-RS-ResourceSetsToAddModList
sp-ZP-CSI-RS-ResourceSetsToAddModList
Figure 4-30 PDSCH Configuration Setup (Dedicated)

There are many other parameters related to the PDSCH, however the main
ones highlighted include:
 dataScramblingIdentityPDSCH - this is an identifier used to initiate data
scrambling (c_init) for PDSCH.
 dmrs-DownlinkForPDSCH-MappingTypeA - this is the DMRS
configuration for PDSCH transmissions using PDSCH mapping type A.
 dmrs-DownlinkForPDSCH-MappingTypeB - this is the DMRS
configuration for PDSCH transmissions using PDSCH mapping type B.
 tci-StatesToAddModList - this is a list of TCI (Transmission
Configuration Indicator) states for dynamically indicating (over DCI) a
transmission configuration which includes QCL (Quasi Co-Location)
relationships between the DL RSs in one RS set and the PDSCH
DMRS ports.
 vrb-ToPRB-Interleaver - this indicates the interleaving unit and is
configurable between 2 and 4 PRBs.
 resourceAllocation - this relates to the configuration of resource
allocation type 0 and resource allocation type 1 for non-fallback DCI.
 pdsch-AllocationList - this is a list of time domain configurations for
timing of DL assignment to DL data. If configured, these values
override the values received in corresponding PDSCH-ConfigCommon.
 pdsch-AggregationFactor - this indicates the number of repetitions for
data.
 rateMatchPatternToAddModList - this defines the resources patterns
which the device should rate match PDSCH around.
 rateMatchPatternGroup1 - this parameter relates to Rate Matching.
 rateMatchPatternGroup2 - this parameter relates to Rate Matching.
 rbg-Size - this provides a selection between “config 1” and “config 2” for
RBG (Resource Block Group) size for PDSCH, i.e. part of resource
allocation.
 mcs-Table - this indicates which MCS (Modulation and Coding
Scheme) table the device should use for the PDSCH (QAM64 or
QAM256).
 maxNrofCodeWordsScheduledByDCI - maximum number of code
words that a single DCI may schedule. This changes the number of
MCS/RV/NDI bits in the DCI message from 1 to 2.
 prb-BundlingType - indicates the PRB bundle type and bundle size(s).
If "dynamic" is chosen, the actual BundleSizeSet to use is indicated via
DCI.
 zp-CSI-RS-ResourceToAddModList - this is a list of ZP (Zero-Power)
CSI-RS resources used for PDSCH rate-matching.
 aperiodic-ZP-CSI-RS-ResourceSetsToAddModList - this identifies CSI-
RS parameters which are scheduled by the DCI.
 sp-ZP-CSI-RS-ResourceSetsToAddModList - this identifies CSI-RS
parameters which are scheduled by the MAC CE (Control Element).
4.3.6 PDSCH DMRS

The NR PDSCH utilizes front loaded DMRS symbols which is beneficial in
terms of improving low latency operation, as well as MIMO. However, there
are many configuration options and permutations.

Firstly, there are two DMRS types defined, namely: Type A and Type B. These
are configured as part for the PDSCH configuration (Dedicated or Common)
and relate to a slot based or non-slot based mapping.
Downlink DMRS Downlink DMRS

Type A Type B
Slot Based Non-Slot Based
Position Related to First OFDM Symbol

Slot Assigned to PDSCH
Figure 4-31 Downlink DMRS Types
Figure 4-32 illustrates the key parameters that are utilized for DMRS
configuration.
rrcReconfiguration
secondaryCellGroup
on
sCellToAddModList onnecti
sCellConfigDedicated RRC C uration
fi g
downlinkBWP-ToAddModList Recon g-r15
fi
pdsch-Config setup Nr-Con
dataScramblingIdentityPDSCH
RR OR
dmrs-DownlinkForPDSCH-MappingTypeA CR
dmrs-Type ec
on eNB
dmrs-AdditionalPosition UE fig
ura
dmrs-group1 tio
n
dmrs-group2
maxLength
scramblingID0
scramblingID1
phaseTrackingRS
MIB Includes:
dmrs-DownlinkForPDSCH-MappingTypeB dmrs-TypeA-Position
en-gNB
Figure 4-32 DMRS Configuration Parameters
These include:
 dmrs-Type - this can indicate type 2. If the field is absent, the device
uses DMRS type 1.
 dmrs-AdditionalPosition - four values represent the cases of 1+0, 1+1,
1+1+1. 1+1+1+1 non-adjacent OFDM symbols for DL. If the field is
absent, the device applies the value “pos2”.
 dmrs-group1 - DMRS groups that are Quasi Co-Located, i.e. group 1.
 dmrs-group2 - DMRS groups that are Quasi Co-Located, i.e. group 2.
 maxLength - the maximum number of OFDM symbols for DL front
loaded DMRS. “len1” or “len2” corresponds to symbols. If the field is
absent, the device applies value “len1”.
 scramblingID0 - DL DMRS scrambling initialization. When the field is
absent the device applies the value Physical Cell ID configured for this
serving cell. Relates to a physical parameter n_SCID 0.
 scramblingID1 - DL DMRS scrambling initialization. When the field is
absent the device applies the value Physical Cell ID configured for this
serving cell. Relates to a physical parameter n_SCID 1.

 phaseTrackingRS - configures downlink PTRS (Phase Tracking

Reference Signal).
In addition, the device will also receive the “dmrs-TypeA-Position” parameter
in the MIB. This identifies the position of (first) downlink DM-RS and can be
set to “pos2” or “pos3”. Figure 4-33 illustrates the difference between Type A
(which can be in symbol 2 or 3) and Type B, which is always at the start off
the PDSCH resource allocation.
PDSCH PDSCH
Slot Slot
11 11
Physical Resource Block

Subcarriers
Subcarriers
0 0
DMRS
DMRS
Type A
Type B
Configuration Type 1
Configuration Type 1
DMRS-typeA-pos = 2
Figure 4-33 DMRS Type A vs Type B
In addition to specifying Type A or B, there is also a configuration type, which

is illustrated in Figure 4-34 for Type A.
11 11

Subcarriers
Subcarriers
0 0
DMRS DMRS
Type A Type A
Configuration Type 1 Configuration Type 2
DMRS-typeA-pos = 2 DMRS-typeA-pos = 2
Figure 4-34 PDSCH DRMS Configurations (Type A)
It is also possible to extend, as well as add more DMRS. This is typically done
for specific scenarios, e.g. high speed or certain environments. Utilizing more
DMRS impacts the amount of Resource Elements for the PDSCH, i.e.
reduces the throughput.

Slot Slot
11 11

Subcarriers
Subcarriers
0 0
DMRS DMRS
Type A Type A
DMRS-typeA-pos = 2 Configuration Type 1
maxlength = 2 dmrs-AdditionalPosition = 2
Figure 4-35 Additional DMRS Configuration Examples
Uplink Physical Channels

4.4.1 Physical Random Access Channel
Preamble Sequence Generation
The main role of the PRACH is to transport the PRACH preamble sequences,
with the maximum number of PRACH sequences for a cell set to 64. Various
configuration parameters define which can be used and where/how they can
be sent by the device. To ensure that each cell has a different set of 64
sequences, there is a defined process to generate them.
Initially, the device generates a Zaddoff Chu sequence using a PRACH
rootSequenceIndex; this is sometimes referred to as the base sequence. The
PRACH rootSequenceIndex value is sent by the cell as part of the
PRACH/RACH configuration parameters for a BWP. Next, the 64 different
sequences are generated by performing a cyclic shift of the base sequence,
with the cyclic shift interval determined by a parameter Ncs. Unfortunately, the
Ncs value is determined from various lookup tables which require the other
parameters, specifically: zeroCorrelationZoneConfig, PRACH SCS, as well as
the use of an Unrestricted Set or Restricted Set (Type A or B).
64 Preambles per Cell
Zaddoff Chu sequence using rootSequenceIndex
64 different sequences (L= 839 or L=139) generated by a cyclic shift of the base sequence.
The cyclic shift interval is determined by Ncs. With Ncs being determined by
zeroCorrelationZoneConfig, PRACH SCS, as well as the use of a Unrestricted Set or
Restricted Set (Type A or B).
Figure 4-36 PRACH Preamble Generation

Configuring RACH/PRACH
The RACH/PRACH parameters are sent to the device as part of the
configuration of the BWP Common parameters. Figure 4-37 illustrates an
example of the key parameters included as part of the RACH configuration.
Note that the RACH Configuration Common parameter can be sent nested in
other parameters, the main on is identified as “reconfigurationWithSync”.
rach-ConfigCommon
rrcReconfiguration rach-ConfigGeneric
secondaryCellGroup prach-ConfigurationIndex
spCellConfig msg1-FDM
spCellConfigDedicated msg1-FrequencyStart
uplinkConfig zeroCorrelationZoneConfig
uplinkBWP-ToAddModList preambleReceivedTargetPower
bwp-Common preambleTransMax
rach-ConfigCommon powerRampingStep
ra-ResponseWindow
totalNumberOfRA-Preambles
ssb-perRACH-OccasionAndCB-PreamblesPerSSB
groupBconfigured
ra-Msg3SizeGroupA
messagePowerOffsetGroupB
numberOfRA-PreamblesGroupA
ra-ContentionResolutionTimer
rsrp-ThresholdSSB
rsrp-ThresholdSSB-SUL
prach-RootSequenceIndex
msg1-SubcarrierSpacing
restrictedSetConfig
Figure 4-37 Example of NR RACH/PRACH Configuration
One key part of the RACH configuration is the “prach-ConfigurationIndex”

parameter. This parameter is used by the device to determine when it can
transmit the PRACH Preamble. In addition, it also identifies the preamble
format it should transmit. There are three tables for mapping the prach-
ConfigurationIndex; these relate to different frequency ranges, as well as
paired/unpaired spectrum.
prach-ConfigurationIndex
FR1 and Paired

FR1 and unpaired FR2 and unpaired
Spectrum/Supplementary
spectrum spectrum
Uplink
Preamble Format, Location/Timing (Frame, Subframe, Slot)
Figure 4-38 PRACH Configuration Index
One key parameter identified by the prach-ConfigurationIndex tables is the

Preamble Format. There are different formats which also relate to the two
sequence lengths, as illustrated in Figure 4-39.

Preamble Format
PRACH Preamble Formats for PRACH Preamble Formats for

L=839 Sequence L=139 Sequence
A1, A2, A3, B1, B2, B3, B4, C0

0, 1, 2 and 3
and C2
Figure 4-39 Preamble Formats
The preamble sequence length maps to the number of subcarriers utilized, as

illustrated in Figure 4-40. However, only certain combinations of sequence
length, PRACH subcarrier spacing and PUSCH SCS are permitted.
LRA ∆f RA ∆f PUSCH
839 1.25kHz 15kHz
Frequency
839 1.25kHz 30kHz
839 1.25kHz 60kHz
839 5kHz 15kHz
839 5kHz 30kHz
839 Subcarriers
(1.25kHz or 5kHz SCS) 839 5kHz 60kHz
139 15kHz 15kHz
839 or 139
subcarriers 139 15kHz 30kHz
139 Subcarriers 139 15kHz 60kHz
(15kHz, 30kHz, 60kHz or 139 30kHz 15kHz
120kHz SCS)
139 30kHz 30kHz
139 30kHz 60kHz
139 60kHz 60kHz
139 60kHz 120kHz
139 120kHz 60kHz
139 120kHz 120kHz
Figure 4-40 PRACH Subcarrier Spacing vs PUSCH SCS
When the subcarrier spacing of PRACH preamble is 1.25kHz or 5kHz, a long

sequence (L = 839) is used. The constant 𝜅𝜅 = 𝑇𝑇𝑆𝑆 ⁄𝑇𝑇𝐶𝐶 = 64.
Support for
Format LRA ∆f RA Nu RA
NCP Use Case
Restricted Sets
0 839 1.25kHz 24576κ 3168κ Type A, Type B LTE Refarming
1 839 1.25kHz 2·24576κ 21024κ Type A, Type B Large Cell
Small CP
2 839 1.25kHz 4·24576κ 4688κ Type A, Type B
Large GP
3 839 5kHz 4·6144κ 3168κ Type A, Type B High Speed
Figure 4-41 PRACH Preamble Formats for L=839 Sequence
To better understand the figures in the table, an example of PRACH Format 0

is illustrated in Figure 4-42. The 839 subcarriers, spaced by 1.25kHz, carry
the preamble sequence. In the time domain, the TCP (Cyclic Prefix Duration) is
3168 𝜅𝜅 NR time units, which equates to ~0.1032ms. This in terms of delay
spread equates to 2.998x108 x ~0.1032ms = ~30km. However, the key part is
the GP (Guard Period), this relates to 2.998x108 x ~0.0969ms = ~29km.
Which equates to a max cell size of ~14km.

Support for
NCP Use Case
Restricted Sets
0 839 1.25kHz 24576κ 3168κ Type A, Type B LTE Refarming
1ms
TCP TSEQ GP
3168Κ 24576Κ 2976Κ

= (3168 x 64 x ~0.509 x 10-6)ms = (24576 x 64 x ~0.509 x 10-6)ms = (2976 x 64 x ~0.509 x 10-6)ms
= ~0.1032ms = ~0.8006ms = ~0.0969ms
Figure 4-42 PRACH Format 0 Example
Figure 4-43 illustrates the comparison of the 4 PRACH Preamble Formats for
L=839 Sequence. Key factors are the size of the CP, for handling multipath,
the Guard Period for RTD (Round Trip Delay) and maximum cell size.
1ms
Format
0 3ms
TCP TSEQ GP
Format
1 4.3ms
TCP TSEQ TSEQ GP
Format
2
TCP TSEQ TSEQ TSEQ TSEQ GP
Format
3
TCP 4 x TSEQ GP
Figure 4-43 PRACH Format 0 to 3
The PRACH preamble formats for the short sequences L=139 are illustrated
in Figure 4-44.
Support for
NCP Use Case
Restricted Sets
A1 139 15·2µ kHz 2·2048κ·2-µ 288κ·2-µ - Very Small Cell
µ -µ -µ
A2 139 15·2 kHz 4·2048κ·2 576κ·2 - Small Cell
µ -µ -µ
A3 139 15·2 kHz 6·2048κ·2 864κ·2 - Normal Cell
µ -µ -µ
B1 139 15·2 kHz 2·2048κ·2 216κ·2 - Small Cell
B2 139 15·2µ kHz 4·2048κ·2-µ 360κ·2-µ - Normal Cell
µ -µ -µ
B3 139 15·2 kHz 6·2048κ·2 504κ·2 - Normal Cell
µ -µ -µ
B4 139 15·2 kHz 12·2048κ·2 936κ·2 - Normal Cell
µ -µ -µ
C0 139 15·2 kHz 2048κ·2 1040κ·2 - Normal Cell
µ -µ -µ
C2 139 15·2 kHz 2048κ·2 2048κ·2 - Normal Cell
Figure 4-44 PRACH Preamble Formats for L=139 Sequence

4.4.2 Physical Uplink Shared Channel

The NR PUSCH is used to deliver Transport Blocks from the device to the en-
gNB. There are two uplink options:
 CP-OFDM - This method is ideally suited for MIMO. In this operation
the PUSCH can support QPSK, 16QAM, 64QAM or 256QAM.
 DFT-s-OFDM - This method is suited for low power devices, e.g. IoT
devices. It can only utilize a single layer transmission. In this operation
the PUSCH can support π/4 BPSK, 16QAM, 64QAM or 256QAM.
In addition, the PUSCH is also able to multiplex UCI (Uplink Control
Information). Therefore, an additional “Data and Control Multiplexing” stage is
added in the physical layer process. Finally, the PUSCH supports two
transmission schemes:
 Codebook Based - The gNB provides the device with a transmit
precoding matrix indication in the DCI.
 Non-Codebook based - The Device determines its PUSCH precoder
based on wideband SRI (Sounding Reference Signal Resource
Indicator) field from the DCI.
PUSCH
DFT-s-OFDM Data and Control Transmission

CP-OFDM (MIMO)
(Single Layer) Multiplexing Schemes
Codebook based
QPSK, 16QAM, π/2-BPSK, 16QAM, UCI (Uplink UL transmission
64QAM or 64QAM or Control Non-Codebook
256QAM 256QAM Information) based UL
transmission
Figure 4-45 Physical Uplink Shard Channel
The higher layer concepts are like the PDSCH however differ in the detail.
Figure 4-46 illustrates the CP-OFDM physical layer processing stages. Note
that for DFT-s-OFDM, an addition Transform Precoding stage is added.
PUSCH Data
TB CRC Attachment Code block concatenation
LDPC Base Graph Selection Data and Control Multiplexing
Code Block Segmentation and Scrambling

Code Block CRC Attachment
Modulation: QPSK, 16QAM,
Channel Coding: LDPC Coding 64QAM and 256QAM
(Base Graph #1 or Base Graph #2)
Layer Mapping and Pre-coding
Rate Matching
Mapping to VRB and PRB
Figure 4-46 PDSCH Physical Layer Processing

The PUSCH is configured using RRC signalling, namely the PUSCH-Config

parameter, which is as part of the BWP-UplinkDedicated parameter. Note that
there is also a PUSCH-ConfigCommon parameter - however, as its name
suggests, only carries common PUSCH information.
PUSCH (Physical
Uplink Shared
Channel)
PUSCH-
PUSCH-Config
ConfigCommon
BWP-
UplinkDedicated
Figure 4-47 Configuring PDSCH
Figure 4-48 illustrates an example of the PUSCH-Config parameters. These

include:
 dataScramblingIdentityPUSCH - this is an identifier used to initiate data
scrambling (c_init) for PUSCH.
 txConfig - this indicates whether the device should use codebook
based or non-codebook based transmission. Corresponds to L1
parameter “ulTxConfig”.
 dmrs-UplinkForPUSCH-MappingTypeA - this indicates the DMRS
configuration for PUSCH transmissions using PUSCH mapping type A
(chosen dynamically via PUSCH-TimeDomainResourceAllocation).
 dmrs-UplinkForPUSCH-MappingTypeB - this indicates the DMRS
configuration for PUSCH transmissions using PUSCH mapping type B
(chosen dynamically via PUSCH-TimeDomainResourceAllocation).
 pusch-PowerControl - this includes various parameters that influence
the power.
 frequencyHopping - this indicates if frequency hopping is enabled, as
well as the offset configuration, namely “Mode 1” or “Mode 2“.
 frequencyHoppingOffsetLists - this provides a set of frequency hopping
offsets used when frequency hopping.
 resourceAllocation - this indicates the type of resource allocation.
Includes: Type 0 (bitmap), Type 1 (Start and Stop RBs) or Dynamic
Switch.
 pusch-AllocationList - this is the list of time domain allocations for
timing of UL assignment to UL data. If configured, the values provided
override the values received in corresponding PUSCH-ConfigCommon.
 pusch-AggregationFactor - his is the number of repetitions for data.
 mcs-Table - this indicates which MCS (Modulation and Coding
Scheme) table the device should use for PUSCH without transform
precoder. Options include 64QAM table or 256QAM table.
 mcs-TableTransformPrecoder - this indicates QAM256 table, however
when the field is absent the device uses the 64QAM table.
 transformPrecoder - this enables/disables the transform precoder for
the PUSCH.
 codebookSubset - this identifies the Uplink Codebook Subset.

 maxRank - this identifies the max UL Rank and relates also to

precoding.
 rbg-Size - this enables selection of “config 1” or “config 2” for RBG
(Resource Block Group) size for PUSCH. When the field is absent the
device uses “config 1”.
 uci-OnPUSCH - his can include the selection and configuration of
dynamic and semi-static beta-offset, i.e. related to power control.
 vrb-ToPRB-Interleaver - this defines the interleaving and is configurable
between 2 or 4 PRBs.
rrcReconfiguration
secondaryCellGroup
spCellConfig on
onnecti
spCellConfigDedicated RRC C uration
fig
uplinkConfig Recon g-r15
uplinkBWP-ToAddModList N r- C o nfi
bwp-Dedicated
pusch-Config RR OR
CR
dataScramblingIdentityPUSCH ec
txConfig on eNB
UE fig
dmrs-UplinkForPUSCH-MappingTypeA ura
tio
dmrs-UplinkForPUSCH-MappingTypeB n
PUSCH
pusch-PowerControl
Configuration
frequencyHopping
frequencyHoppingOffsetLists
resourceAllocation
pusch-AllocationList
pusch-AggregationFactor
mcs-Table
mcs-TableTransformPrecoder en-gNB
transformPrecoder
codebookSubset
maxRank
rbg-Size
uci-OnPUSCH
vrb-ToPRB-Interleaver
Figure 4-48 PUSCH Configuration Setup (Dedicated)
4.4.3 Physical Uplink Control Channel

The PUCCH main role is to send UCI (Uplink Control Information) from the
device. However, note that both the PUCCH or PUSCH can carry UCI. Figure
4-49 illustrates the key aspects of the PUCCH.
PUCCH
Two Types of
5 Formats (0-4) Modulation Coding
PUCCH
Short (1-2 OFDM QPSK Varies on UCI Size

Carry UCI (UCI Symbols) or (Repetition,
also sent in or BPSK Simplex Code,
PUSCH) Long 4-14 OFDM (Depends on UCI Reed Muller Code
Symbols) Format) or Polar Code)
Figure 4-49 Physical Uplink Control Channel
The PUCCH supports multiple formats, as illustrated in Figure 4-50. In

addition, frequency hopping can also be configured for PUCCH formats.

For small UCI payloads, up to 2 bits, Format 0 or 1 is utilized. In contrast, for

large UCI payloads, Formats 2, 3 or 4 are utilized. The difference between
these relates to multiplexing (multiple devices) and resource mapping.
Typically, a PUCCH with multiplexing requires some form of sequence coding
or scrambling.
PUCCH Short PUCCH of 1 or 2 symbols with small UCI payloads of up to two

Format 0 bits with UE multiplexing in the same PRB.
PUCCH Long PUCCH of 4-14 symbols with small UCI payloads of up to two
Format 1 bits with multiplexing in the same PRB.
PUCCH Short PUCCH of 1 or 2 symbols with large UCI payloads of more

Format 2 than two bits with no multiplexing in the same PRB.
PUCCH Long PUCCH of 4-14 symbols with moderate UCI payloads with
Format 3 some multiplexing capacity in the same PRB.
PUCCH Long PUCCH of 4-14 symbols with large UCI payloads with no
Format 4 multiplexing capacity in the same PRB.
Figure 4-50 NR PUCCH Formats
The actual configuration of the PUCCH is very complex since there are so
many permeations and parameters. Figure 4-51 illustrates the high-level
location parameters which assist in defining a PUCCH location. Note that not
all formats are configured with the same location parameters, especially when
only 1 PRB is utilized.
PRB N
5
nrofPRBs
(Format 2 4
and
Format 3) 3
startingPRB 1
0
0 14
startingSymbolIndex nrofSymbols
Figure 4-51 PUCCH Location
The actual configuration of the PUCCH includes many parameters, as well as

nested parameters and “sets” to allow dynamic configurations. Figure 4-52
illustrates a high-level view of the PUCCH Configuration Setup, highlighting
the main parameters. In addition, nested parameters for Format 2 are also
highlighted.

pucch-ResourceId
rrcReconfiguration
startingPRB
secondaryCellGroup
intraSlotFrequencyHopping
spCellConfig
secondHopPRB
spCellConfigDedicated
format
uplinkConfig
uplinkBWP-ToAddModList
bwp-Dedicated
format format2
pucch-Config setup
nrofPRBs
resourceSetToAddModList
nrofSymbols
resourceToAddModList
startingSymbolIndex
format1
format2
format3 format2 setup
format4 interslotFrequencyHopping
schedulingRequestResourceToAddModList additionalDMRS
multi-CSI-PUCCH-ResourceList maxCodeRate
dl-DataToUL-ACK nrofSlots
spatialRelationInfoToAddModList pi2PBSK
pucch-PowerControl simultaneousHARQ-ACK-CSI true
Figure 4-52 PUCCH Configuration Parameters (Format 2)
Key parameters include:

 resourceSetToAddModList - this the list for adding PUCCH resource
sets. Note there is also a separate parameter to release.
 resourceToAddModList - this includes the resources which are utilized
by other parts of the configuration.
 format1 to format4 - for each format the appropriate parameters are
configured.
 schedulingRequestResourceToAddModList - this include parameters
which assist SR (Scheduling Request).
 multi-CSI-PUCCH-ResourceList - this identifies the list of PUCCH
Resources Identifiers.
 dl-DataToUL-ACK - this indicates the list of timing for given PDSCH to
the UL ACK.
 spatialRelationInfoToAddModList - this provides the configuration of the
spatial relation between a reference RS and PUCCH.
 pucch-PowerControl - this include various power control parameters
and delta values.
Format 0 Example
Some PUCCH formats utilize scrambling based on a RNTI. However, as an
example Format 0 does not. Instead it utilizes sequence and cyclic shift
hopping.
Figure 4-53 illustrates an example of PUCCH format 0, utilizing 2 symbols.
Format 0 can carry up to 2bits (UCI information) which are mapped to a
corresponding sequence CS (Cyclic Shift). The device will be configured to be
sending 1bit or 2bit HARQ feedback and as such the system knows what to
expect.
Since the PUCCH is also utilized to carry SR (Scheduling Request) these,
along with HARQ feedback, map to specific cyclic shifts.

HARQ Sequence
PRB N Value Cyclic Shift
0 mCS = 0
1 mCS = 6
5 00 mCS = 0
01 mCS = 3
4
10 mCS = 6
3 11 mCS = 9
0 + SR mCS = 3
2 1 + SR mCS = 9
00 + SR mCS = 1
startingPRB 1
01 + SR mCS = 4
0 10 + SR mCS = 7
11 + SR mCS = 10
0 14
startingSymbolIndex nrofSymbols (1 or 2)
Figure 4-53 PUCCH Format 0 Location and UCI HARQ Example
Additional 5G Reference Signals

In addition to the PSS, SSS and DMRS that have already been discussed, the
other NR reference signals include: CSI-RS (Channel State Information RS),
SRS (Sounding RS) and PTRS (Phase Tracking RS).
CSI-RS (Channel- PT-RS

SRS (Sounding
State Information (Phase-Tracking
Reference Signal)
RS) RS)
Figure 4-54 Additional NR Reference Signals
4.5.1 CSI-RS
Unlike LTE, 5G NR does not have cell specific reference signals. As such, it
needs to configure reference signals that a device can monitor and report on.
These are called CSI (Channel State Information) Reference Signals. Figure
4-55 illustrates the key aspects of the CSI-RS. Various configuration options
that enable the CSI-RS to be sent on multiple ports with various scheduling
options such as Periodic and Semi Persistent, as well as Aperiodic - whereby
the network triggers the sending using the DCI.
CSI-RS
Various CDM (Code

Up to 32 Antenna Time/Frequency
Scheduling Division
Ports Locations
Options Multiplexing)
Periodic, Semi- No CDM,

Port 3000, 3001
Persistent or “Mapping Table” FD-CDM2, CDM-4
etc.
Aperiodic or CDM-8
Figure 4-55 Key CSI-RS Aspects

In terms of location, there is a specific time/frequency location table which

defines where in the slot the CSI-RS are sent, as well as other aspects such
as CDM (Code Division Multiplexing) options.
Figure 4-56 illustrates some of the main parameters for CSI-RS configuration.
rrcReconfiguration zp-CSI-RS-ResourceToAddModList
secondaryCellGroup zp-CSI-RS-ResourceId
sCellToAddModList resourceMapping
sCellConfigDedicated frequencyDomainAllocation
downlinkBWP-ToAddModList nrofPorts
pdsch-Config setup firstOFDMSymbolInTimeDomain
. cdm-Type
. density
zp-CSI-RS-ResourceToAddModList freqBand
aperiodic-ZP-CSI-RS-ResourceSetsToAddModList startingRB
sp-ZP-CSI-RS-ResourceSetsToAddModList nrofRBs
periodicityAndOffset
aperiodic-ZP-CSI-RS-ResourceSetsToAddModList sp-ZP-CSI-RS-ResourceSetsToAddModList
zp-CSI-RS-ResourceSetId zp-CSI-RS-ResourceSetId
zp-CSI-RS-ResourceIdList zp-CSI-RS-ResourceIdList
resourceType resourceType
Figure 4-56 Configuring CSI-RS for PDSCH
A key parameter is “resourceMapping”, which includes:

 frequencyDomainAllocation - this defines the frequency domain
allocation within a physical resource block.
 nrofPorts - number of ports (up to 32).
 firstOFDMSymbolInTimeDomain - this identifies the time domain
allocation within a PRB.
 cdm-Type - this identifies the specific CDM type, values include:
noCDM, fd-CDM2, cdm4-FD2-TD2 or cdm8-FD2-TD4.
 density - this is the density of CSI-RS resource measured in
RE/port/PRB.
 freqBand - this can indicate wideband or partial band CSI-RS.
For a CSI-RS resource configured as periodic or semi-persistent by the higher
layer parameter ResourceConfigType, the device assumes that the CSI-RS is
transmitted in slots satisfying:
frame,µ µ
(Nslot nf + ns,f – Toffset) mod TCSI-RS = 0
Figure 4-57 CSI-RS Transmitted slots for Periodic or Semi-Persistent
Where the periodicity TCSI-RS (in slots) and slot offset Toffset are given by the
higher layer parameter CSI-RS-timeConfig. In addition, the device assumes
that CSI-RS is transmitted in a candidate slot only if all OFDM symbols of that
slot corresponding to the configured CSI-RS resource are classified as
“downlink”.

CSI-RS Location in a Slot

Location based on Row, Port,
Density and CDM Type
TCSI-RS
Time
CSI-RS Location
Based on numerology
and Toffset
Figure 4-58 CSI-RS Frame Location
4.5.2 Sounding Reference Signal

The SRS (Sounding RS) provides the en-gNB with uplink channel quality
information which can be used to assist scheduling, beam management or
antenna switching.
SRS (Sounding Reference Signal)
Various SRS Parameters

SRS Resource
Usage Scheduling are Semi-statically
Sets
Options Configurable
Scheduling, Beam
Periodic, Semi-
Management or One or more SRS-
Persistent or
Antenna “SRS Resource” ResourceConfig
Aperiodic
Switching
Figure 4-59 Sounding Reference Signal
Figure 4-60 illustrates an example whereby a device has been allocated

resources in the uplink. As such, the en-gNB can use the DMRS to provide
channel estimation in this allocation, i.e. a “sub-band”. However, the en-gNB
does not know how the device will perform in the other parts of this channel.
Such that, if it was to allocate resources in these other bands the conditions
may not be “favourable” and additional errors could be introduced. Therefore,
by introducing SRS’s they provide the network with valuable channel
information.

TTI TTI
No Channel
Information
Channel Bandwidth
UE en-gNB
Includes Assigned
DMRS Resources
No Channel
Information
Figure 4-60 Sounding Reference Signal
The configuration of the sounding signal, e.g. bandwidth, duration and

periodicity, are given by higher layers. Figure 4-61 illustrates two examples,
whereby the en-gNB has configured SRS over a desired portion of the band.
0 1 2 3 4 Slots
Also supports:
- 1, 2 or 4 Ports
- Frequency Hopping
- TSRS Periodicity (slots)
BWP
- 1, 2 or 4 Symbol Duration
- Repetition
- Spatial Relation Info
SRS Example
- Sub-band
SRS Example - Increased duration/symbols
startPosition - Wideband - Frequency Domain Position
(8 to13) - One OFDM Symbol
Figure 4-61 SRS Mapping
There are various Sounding Reference Symbol parameters defined. Most are
device semi-statically configurable by higher layers.
Figure 4-62 illustrates an example of the SRS configuration parameter (SRS-
Config). It consists of two key parameters, namely SRS-ResourceSet and
SRS-Resource. The SRS-ResourceSet parameter includes:
 srs-ResourceSetId - this is the ID of this SRS resource set. It is unique
in the context of the BWP.
 srs-ResourceIdList - this is a list of srs-ResourceId relating to this set.
 resourceType - this indicates Aperiodic, Semi-Persistent or Periodic.
For Aperiodic, the aperiodicSRS-ResourceTrigger parameter defines a
“code point” for the DCI message.
 Usage - this indicates if the SRS resource set is used for beam
management vs. used for either codebook based or non-codebook
based transmission.
The SRS-Resource parameter includes:
 srs-ResourceId - this identifies the SRS Resource.

 nrofSRS-Ports - this can indicate 1, 2 or 4 ports.

 ptrs-PortIndex - this is for non-codebook based UL MIMO and only
applicable when the corresponding Phase Tracking Reference Signal is
set.
 transmissionComb - this parameter is part of the SRS configuration and
influences the position and quantity of the RE’s used.
 resourceMapping - this details the location and includes 3 parameters,
namely: startPosition, nrofSymbols and repetitionFactor.
 freqDomainPosition - this parameter influences the location, however is
linked to the frequency hopping parameter.
 freqDomainShift - this parameter influences the location.
 freqHopping - this includes a set of parameters which influence
frequency hopping.
 groupOrSequenceHopping - this identifies whether none, group or
sequence hopping is configured.
 resourceType - this indicates the time domain behaviour of SRS
resource configuration, i.e. whether it is Aperiodic, Semi-Persistent, or
Periodic.
 sequenceId - this parameter is used to initialize pseudo random group
and sequence hopping.
 spatialRelationInfo - this configuration relates to the spatial relation
between a reference RS and the target SRS, i.e. it relates to either a
ssb-Index, csi-RS-Index or SRS.
rrcReconfiguration srs-ResourceToAddModList
secondaryCellGroup srs-ResourceId 0,
sCellToAddModList nrofSRS-Ports
sCellConfigDedicated ptrs-PortIndex
uplinkConfig transmissionComb
uplinkBWP-ToAddModList resourceMapping
bwp-Dedicated startPosition
srs-Config setup nrofSymbols
srs-ResourceSetToAddModList repetitionFactor
srs-ResourceToAddModList freqDomainPosition
tpc-Accumulation freqDomainShift
freqHopping
srs-ResourceSetToAddModList groupOrSequenceHopping
srs-ResourceSetId resourceType
srs-ResourceIdList sequenceId
resourceType aperiodic spatialRelationInfo
aperiodicSRS-ResourceTrigger
csi-RS
slotOffset
usage
Figure 4-62 SRS Configuration Example
4.5.3 Phase Tracking Reference Signal

Since 5G supports mmWave there is a problem with “Phase Noise”, also
known as CPE (Common Phase Error). This is where the CPE shifts the MCS
by a common off-set. As such, higher order MCSs, where the constellation
points are close, are affected. The PTRS (Phase Tracking Reference Signal)
is designed to mitigate this.
Utilizing a greater PTRS density (quantity) improves the performance,
however increases the overhead, i.e. reduces the data rate.

PTRS (Phase Tracking Reference Signals)
Combat CPE
Frequency and Downlink and
(Common Phase
Time Density Uplink
Error) at mmWave
Impacts High Function of BW CP-OFDM and

Order MCS and MCS DFT-s-OFDM
Figure 4-63 Phase Tracking Reference Signal
Figure 4-64 illustrate an example of the PTRS location. Note that there are
many parameters which define location and density. For example, in the time
domain the PTRS can be in every OFDM symbol, every second OFDM
symbol, and every fourth OFDM symbol.
Slot
11
PTRS
Subcarriers
Every Symbol
Every Second Symbol
Every Fourth Symbol
DMRS
Figure 4-64 Example of PTRS Location
The configuration of the PTRS is illustrated in Figure 4-65. This example

shows the PhaseTrackingRS parameter as part of the DMRS Mapping Type A
parameters. Note that it is also available as part of DMRS Mapping Type B.
rrcReconfiguration
secondaryCellGroup
sCellToAddModList
sCellConfigDedicated
pdsch-Config
dmrs-DownlinkForPDSCH-MappingTypeA
phaseTrackingRS
frequencyDensity
timeDensity
epre-RatioPort1
epre-RatioPort2
resourceElementOffset
dmrs-DownlinkForPDSCH-MappingTypeB
Figure 4-65 Downlink PTRS Configuration Parameters

Key parameters in the PTRS-DownlinkConfig include:

 frequencyDensity - his configures the presence and frequency density
of DL PTRS as a function of Bandwidth.
 timeDensity - this configures the presence and time density of DL
PTRS as a function of MCS.
 epre-RatioPort1 - EPRE (Energy Per Resource Element) ratio between
PTRS and PDSCH.
 epre-RatioPort2 - EPRE ratio between PTRS and PDSCH.
 resourceElementOffset - this indicates the subcarrier offset for DL
PTRS.
Figure 4-66 illustrates the uplink PTRS configuration. There are 2 versions
depending on whether CP-OFDM or DFT-s-OFDM is configured.
rrcReconfiguration rrcReconfiguration
secondaryCellGroup secondaryCellGroup
sCellToAddModList sCellToAddModList
sCellConfigDedicated sCellConfigDedicated
uplinkConfig uplinkConfig
uplinkBWP-ToAddModList uplinkBWP-ToAddModList
bwp-Dedicated bwp-Dedicated
pusch-Config pusch-Config
txConfig txConfig
dmrs-UplinkForPUSCH-MappingTypeA dmrs-UplinkForPUSCH-MappingTypeA
phaseTrackingRS phaseTrackingRS
modeSpecificParameters cp-OFDM modeSpecificParameters dft-S-OFDM
frequencyDensity sampleDensity
timeDensity timeDensity
maxNrofPorts
resourceElementOffset
ptrs-Power
Figure 4-66 Uplink PTRS Configuration Parameters
Some parameters in the PTRS-UplinkConfig are the same as the downlink.

Additional parameters include:
 maxNrofPorts - the maximum number of UL PTRS ports for CP-OFDM.
 ptrs-Power - this indicates the Uplink PTRS power boosting factor per
PTRS port.
 sampleDensity - this indicates the sample density of PTRS for DFT-s-
OFDM, pre-DFT, and like CP-OFDM relates to the scheduled BW.
 timeDensity - this identifies the time density, i.e. OFDM symbol level, of
PTRS for DFT-s-OFDM.
The device assumes that PTRS is not present when any of these conditions
are met:
 The scheduled MCS is from the 64QAM table, and is smaller than 10.
 The scheduled MCS is from the 64QAM table, and is smaller than 5.
 The number of scheduled RBs is smaller than 3.
 The RNTI equals RA-RNTI, SI-RNTI or P-RNTI, i.e. Random Access,
System Information or Paging.

PTRS Not Present
The RNTI equals

RA-RNTI, SI-RNTI
The scheduled The scheduled
The number of or P-RNTI, i.e.
MCS from the MCS from the
scheduled RBs is Random Access,
64QAM table and 64QAM table and
smaller than 3 System
is smaller than 10 is smaller than 5
Information or
Paging
Figure 4-67 PTRS Not Present


5G Layer 2 and Layer 3
EN-DC RRC ......................................................................................................... 5-2

5.1.1 RRC Features ......................................................................................... 5-2
5.1.2 RRC States ............................................................................................. 5-2
5.1.3 RRC Messages ....................................................................................... 5-3
NR PDCP ............................................................................................................. 5-4
5.2.1 PDCP Services........................................................................................ 5-4
5.2.2 Functions ................................................................................................. 5-5
5.2.3 PDCP Profiles ......................................................................................... 5-5
5.2.4 PDCP Protocol Data Units ...................................................................... 5-7
NR Radio Link Control.......................................................................................... 5-9
5.3.1 Transparent Mode ................................................................................. 5-10
5.3.2 Unacknowledged Mode......................................................................... 5-10
5.3.3 Acknowledged Mode ............................................................................. 5-11
5.3.4 RLC Protocol Data Units ....................................................................... 5-12
NR Medium Access Control ............................................................................... 5-15
5.4.1 MAC Services and Functions ................................................................ 5-15
5.4.2 MAC Control Elements.......................................................................... 5-16
5.4.3 NR RNTI Identities ................................................................................ 5-16
5.4.4 MAC Headers ........................................................................................ 5-18
5.4.5 Discontinuous Reception ...................................................................... 5-20

EN-DC RRC
NR RRC (Radio Resource Control) 6 is the control protocol between the
device and the en-gNB. For EN-DC operation the MCG (Master Cell Group) is
handled by E-UTRA RRC 7 and the SCG (Secondary Cell Group) by the en-
gNB. It is worth noting the timeline in Figure 5-1. Specifically, that the 5G
Phase 1 RRC ASN.1 (Abstract Syntax Notation version 1) is not due to be
completed until September 2018. This means that specific RRC detail, as well
as fundamental procedures, such as the RRC Connection Establishment,
don’t exist yet.
As such, the discussion that follows will be based on the Dec 2017 NSA (Non-
Standalone) freeze, as well as the Mar 2018 RRC ASN.1 (v15.1.0).
2017 2018
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
Rel. 15 Stage 2
Rel. 15 Stage 3
Rel. 15 ASN.1
Freezing NSA
Figure 5-1 NR RRC Release 15
5.1.1 RRC Features

There are a limited number of RRC features and procedures defined for the
NSA freeze; these are identified in Figure 5-2.
System Information Acquisition

RRC Reconfiguration
Cell Group Configuration
Radio Bearer Configuration
Security Key Update
Reconfiguration Failure
EN-DC Release
Radio Link Failure Related Actions
UE Actions upon PUCCH/SRS Release Request
Measurements
UE Capabilities
Figure 5-2 NR RRC Procedures (v15.1.0)
5.1.2 RRC States

NR RRC has three defined states:
 RRC Idle - this provides services to support DRX (Discontinuous
Reception), broadcast of SI (System Information) to enable access, cell
reselection and paging information.
 RRC_CONNECTED - in this state the device has AS (Access Stratum)
context information stored in the gNB and has an RRC connection.
6
3GPP TS 38.331 NR RRC (Radio Resource Control) Protocol Specification
7
3GPP TR 36.331 E-UTRA RRC (Radio Resource Control) Protocol Specification

 RRC_INACTIVE - the device is configured with specific DRX

parameters and mobility is managed in a RAN-based notification area.
RRC_CONNECTED
NR is only Applicable
RRC_CONNECTED for EN-DC
FFS / Connection
Inactivation
Connection
NR
Establishment /
RRC_INACTIVE
Release
FFS
NR
RRC_IDLE
Figure 5-3 RRC States
As illustrated in Figure 5-3, only the NR RRC_CONNECTED state is

applicable for EN-DC operation.
5.1.3 RRC Messages

The NR RRC specifications includes a limited set of RRC messages for NSA
operation; these can be found in the 3GPP TS 38.331 specification and are
listed in Figure 5-4.
MIB
SIB1
RRC Messages
RRCReconfiguration
(Mar 2018)
RRCReconfigurationComplete
MeasurementReport
Figure 5-4 RRC Messages (v15.1.0)
The key message is the NR RRC Connection Reconfiguration. This is sent by

the en-gNB to the device, either via the Master eNB utilizing the X2 interface
and SRB1 (Signalling Radio Bearer 1) or direct from the en-gNB using SRB3
(Signalling Radio Bearer 3), if SRB3 has been established.
SRB1 tion
o n nec ion
CC rat
RR onfigu -r15
e c
R Con g f i
rrcReconfiguration nr-
radioBearerConfig
secondaryCellGroup RRC R
measConfig econfi eNB
guratio
lateNonCriticalExtension n
UE
nonCriticalExtension
SRB3
en-gNB
Figure 5-5 NR RRC Connection Reconfigurations Parameters

Main parameters include:

 radioBearerConfig - this provides configuration of Radio Bearers, i.e.
the DRB (Data Radio Bearer) and SRB (Signalling Radio Bearer), as
well as PDCP (Packet Data Convergence Protocol) and SDAP (Service
Data Adaptation Protocol), the latter only being used in conjunction with
a 5GC (5G Core).
 SecondaryCellGroup - this provides configuration of the SCG
(Secondary Cell Group) for EN-DC operation.
 measConfig - this provides the mechanism to configure various
measurement objects and reporting options.
 lateNonCriticalExtension - this may be used for additional non-critical
extensions.
 nonCriticalExtension - this will be used for future release/versions of
the message.
NR PDCP
The NR PDCP (Packet Data Convergence Protocol) is similar to E-UTRA
PDCP, in that it offers similar services and formats. Figure 5-6 illustrates the
location of the NR-PDCP for EN-DC operation.

X2
E-UTRA /
NR PDCP

RLC RLC RLC
E-UTRA MAC NR MAC
Figure 5-6 NR PDCP
5.2.1 PDCP Services

The following services are provided by NR PDCP 8 to the upper layers:
 Transfer of User Plane data.
 Transfer of Control Plane data.
 Header compression.
 Ciphering.
 Integrity protection.
8
3GPP TS 38.323 - PDCP (Packet Data Convergence Protocol)

Transfer of User Transfer of Control Header

Plane Data Plane Data Compression
Ciphering Integrity Protection
Figure 5-7 PDCP Services to Upper Layers
The maximum supported size of a PDCP SDU (Service Data Unit) is 9000
bytes.
5.2.2 Functions
Figure 5-8 illustrates some of the functions performed in the transmitting and
receiving PDCP entity. Packets identified as a PDCP SDU imply that they are
from higher layers, e.g. RRC or IP. In contrast, packets not associated to a
PDCP SDU are part of PDCP control signalling; typical examples include
PDCP Status Report and Header Compression Feedback Information.
Transmitting PDCP Entity Receiving PDCP Entity
Sequence Numbering Header Decompression
Header Compression Packet associated to a

PDCP SDU
Packet associated to a
PDCP SDU Packet not Packet not
Reception Buffer:
associated to a Reordering, associated to a
Integrity Protection PDCP SDU Duplicate Discarding PDCP SDU
Ciphering Integrity Verification
Add PDCP Header Deciphering
Routing/Duplication Remove PDCP Header
Figure 5-8 PDCP Function
5.2.3 PDCP Profiles

As part of PDCP implementation, there are a number of ROHC profiles used
by both compressors and decompressors in the device and RAN. Figure 5-9
identifies the available profiles and associated usage; profile 0x0000 (ROHC
uncompressed, RFC 4995 must always be supported when the use of ROHC
is configured.
Compression Standards
RFC 4995
RFC 4995 defines the ROHC (Robust Header Compression) Framework. This
provides an efficient, flexible and future-proof header compression concept. It
is designed to operate efficiently and robustly over various link technologies
with different characteristics.
RFC 3095
This defines additional ROHC framework and various profiles including:

 RTP/UDP/IP (Real Time Transport Protocol / User Datagram Protocol /

Internet Protocol).
 UDP/IP.
 ESP/IP (Encapsulating Security Payload form of IPSec).
 Uncompressed.
RFC 3843
This defines a ROHC compression profile for IP, similar to the IP/UDP profile
defined by RFC 3095, but simplified to exclude UDP, and enhanced to
compress IP header chains of arbitrary length.
RFC 4815
RFC 4815 identifies corrections and clarifications. This is due to some parts of
the previous specification being unclear or containing errors that may lead to
misinterpretations which may impair interoperability between different
implementations.
RFC 4996
RFC 4996 defines a profile for TCP/IP (Transmission Control Protocol/Internet
Protocol). The profile, called ROHC-TCP, provides efficient and robust
compression of TCP headers, including frequently used TCP options such as
SACK (Selective Acknowledgements) and Timestamps.
RFC 5225
This defined ROHCv2 (Robust Header Compression version 2) and identifies
profiles for RTP, UDP, IP, ESP and UDP-Lite. This specification defines a
second version of the profiles found in RFC 3095; it supersedes their
definition, but does not obsolete them. Overall ROHCv2 profiles introduce a
number of simplifications to the rules and algorithms that govern the
behaviour of the compression endpoints. It also defines robustness
mechanisms that may be used by a compressor implementation to increase
the probability of decompression success when packets can be lost and/or
reordered on the ROHC channel. Finally, the ROHCv2 profiles define their
own specific set of header formats using the ROHC formal notation.
Profile Identifier Usage Reference
0x0000 No Compression RFC 4995

0x0001 RTP/UDP/IP RFC 3095, RFC 4815
0x0002 UDP/IP RFC 3095, RFC 4815
0x0003 ESP/IP RFC 3095, RFC 4815
0x0004 IP RFC 3843, RFC 4815
0x0006 TCP/IP RFC 4996
0x0101 RTP/UDP/IP RFC 5225
0x0102 UDP/IP RFC 5225
0x0103 ESP/IP RFC 5225
0x0104 IP RFC 5225
Figure 5-9 PDCP Profiles
IMS (IP Multimedia Subsystem) capable devices supporting VoIP (Voice over
IP) are required to support ROHC profiles 0x0000, 0x0001, 0x0002 and
0x0004.

5.2.4 PDCP Protocol Data Units

The PDCP layer identifies data and control PDUs. The PDCP Data PDU is
used to convey one or more of the following in addition to the PDU header:
 User Plane data.
 Control Plane data.
 MAC-I.
The PDCP Control PDU is used to convey one of the following in addition to
the PDU header:
 A PDCP Status Report.
 An interspersed ROHC feedback.
PDCP Data PDU PDCP Control PDU
A PDCP Status
User Plane data
Report One plus
One or more PDCP Header
plus PDCP An interspersed
Control Plane data
Header ROHC feedback
MAC-I
Figure 5-10 PDCP Protocol Data Units
PDCP Data PDU - SRBs

Figure 5-11 shows the format of the PDCP data PDU when transferring SRB
data. The frame includes a 12bit SN (Sequence Number) and a MAC-I
integrity check.
12bit Sequence Number for PDCP in SRB

Reserved Bits
R R R R PDCP SN
PDCP SN (cont.)
Data
MAC-I
MAC-I (cont.)
MAC-I (cont.)
MAC-I (cont.)
SRB Integrity
Figure 5-11 PDCP Data PDU for SRBs
User Plane PDCP Data PDU - 12bit SN

There are two variants of User Plane PDU defined, providing a long or short
sequence number in the header. Figure 5-12 illustrates the short SN PDU, as
such it includes a 12bit SN. In addition, the first bit is assigned to a D/C
(Data/Control) bit, where 0 = Control PDU and 1 = Data PDU. The 12bit SN

format is available to RLC AM (Acknowledged Mode) or UM

(Unacknowledged Mode).
12bit Sequence Number for AM and UM RLC operation

1 = Data PDU
D/C R R R PDCP SN
PDCP SN (cont.)
Data
User Plane Data
Figure 5-12 User Plane PDCP Data PDU - 12bit SN
User Plane PDCP Data PDU - 18bit SN

Figure 5-13 illustrates the PDCP data PDU with a 18bit sequence number.
This format is available for RLC AM and RLC UM. It is the responsibility of
RRC to configure the “PDCP Configuration” parameter, specifying the SN
length, ROHC Profiles, Discard Timer, etc.
18bit Sequence Number for AM and UM RLC operation

1 = Data PDU
D/C R R R PDCP SN
PDCP SN (cont.)
PDCP SN (cont.)
Data
User Plane Data
Figure 5-13 User Plane PDCP Data PDU - 18bit SN
PDCP Control PDU - Feedback

Figure 5-14 illustrates the control PDU for ROHC feedback. This is sent
uncompressed and includes a ROHC feedback packet.
001 - Header Compression

0 = Control PDU Feedback Information
D/C PDU Type R R R R

Interspersed ROHC feedback packet
ROHC has built-in robustness mechanisms to

avoid error events and provide error recovery
Figure 5-14 PDCP Control PDU - Feedback
PDCP Control PDU - Status Report

Figure 5-15 illustrates a PDCP status report using a 12bit SN. It includes the
FMC (First Missing Count) as well as an optional bitmap. The bitmap includes
0s and 1s, where a zero indicates a PDCP SDU is missing in the receiver.

000 - PDCP Status Report

0 = Control PDU First Missing Count
D/C PDU Type R R R R
FMC
FMC (cont.)
FMC (cont.)
FMC (cont.)
Bitmap (optional)
Bitmap (optional)
Figure 5-15 PDCP Control PDU - Status Report
NR Radio Link Control

The NR RLC (Radio Link Control) 9 protocol exists in the device and the en-
gNB.

X2
E-UTRA /
NR PDCP

RLC RLC RLC
E-UTRA MAC NR MAC
Figure 5-16 NR Radio Link Control
It provides three main information delivery services to the higher layers, TM

(Transparent Mode), UM (Unacknowledged Mode) and AM (Acknowledged
Mode). In addition, some of these data delivery services offer segmentation
and re-assembly, concatenation and error protection.
UM
TM (Transparent AM (Acknowledged
(Unacknowledged
Mode) Mode)
Mode)
Figure 5-17 Radio Link Control Modes
Figure 5-18 illustrates the different RLC services and the peer entities as
identified at the device. It should be noted that the AM entity has one
combined transmitting and receiving entity for the delivery of information using
the Acknowledged Mode service of RLC.
9
3GPP TS 38.322 - RLC (Radio Link Control)

Upper Layers
RLC
TM-Entity UM-Entity AM-Entity UM-Entity TM-Entity
Transmitting Receiving
Side Side
Logical Channels
Figure 5-18 RLC Services
5.3.1 Transparent Mode

TM (Transparent Mode) data is formatted within the TM-Entity of the RLC
layer. As the name suggests, it does not add any header information to the
higher layer SDU (Service Data Unit). It does however provide a transmission
buffer. The TM-RLC mode is used for three logical channels, namely the
BCCH (Broadcast Control Channel), PCCH (Paging Control Channel) and
Uplink/Downlink CCCH (Common Control Channel).
TM-RLC Entity TM-RLC Entity
Transmission
Buffer
BCCH/PCCH/CCCH Uu
Figure 5-19 Transparent Mode
5.3.2 Unacknowledged Mode

The Unacknowledged Mode functionality allows for the segmentation and
reassembly of RLC SDUs. In addition, it enables the concatenation of RLC
SDUs. These functions are performed so that the UMD (Unacknowledged
Mode Data) PDUs fit within the total size of RLC PDUs indicated by lower
layers at the particular transmission opportunity notified by the lower layers.

UM-RLC Entity UM-RLC Entity
Transmission Buffer SDU Reassembly
Segmentation and Remove RLC

Concatenation Header
Add RLC Header Reception Buffer
DTCH/MCCH/MTCH Uu
Figure 5-20 Unacknowledged Mode
The UM mode can be utilized for DTCH (Dedicated Traffic Channel)

operation.
5.3.3 Acknowledged Mode

The Acknowledged Mode of RLC, as its name suggests, provides functions
that are needed to support acknowledged data transfer. These include:
 Segmentation and reassembly.
 Concatenation.
 Error correction.
 In-sequence delivery of higher layer data.
 Duplicate detection.
Reliability in AM Mode is achieved through the use of selective
retransmission. This involves the transmitter sending a number of AMD
(Acknowledged Mode Data) PDUs and then the receiving entity positively
acknowledging all or some of them. Figure 5-21 illustrates the AM-RLC entity
in the device and en-gNB.
AM-RLC Entity
Transmission RLC SDU
Buffer Control Reassembly
Remove RLC
Header
Segmentation
Retransmission
Modify RLC
Buffer
Header
Reception Buffer &
HARQ Reordering
Add RLC
Header Routing
DTCH/DCCH DTCH/DCCH
Figure 5-21 Acknowledged Mode
The process begins with the RLC data PDUs being formatted and then being
sent from the transmitter buffer. On receipt of a number of PDUs, the
receiving entity will send a status report back to the transmitter. This indicates

whether the previous PDUs have been received correctly or not. The sender,
based on this information, retransmits the erroneous PDUs. The transmitting
side may also include a polling request in the RLC header which forces a
status report from the receiving side.
5.3.4 RLC Protocol Data Units

The RLC protocol defines two main categories of PDU, these are Data and
Control. Figure 5-22 identifies the different PDU types that are available.
Data Transfer Mode PDU Name Description
Transparent TMD Transparent Mode Data
Unacknowledged UMD Sequenced Unacknowledged Mode Data
AMD Sequenced Acknowledged Mode Data

Acknowledged
ACK_SN, NACK_SN, SOstart, SOend, NACK
STATUS
Range and NACK_SN
Figure 5-22 RLC PDU’s
TMD PDU
The TMD (Transparent Mode Data) PDU carries user data when RLC is
operating in Transparent Mode. In this mode, no overhead (i.e. no header) is
added.
UMD PDU
The UMD (Unacknowledged Mode Data) PDUs are used for unacknowledged
data transfer, conveying RLC SDUs. Figure 5-23 illustrates the three main
header types.
RLC SDU RLC SDU
H RLC SDU H RLC SDU H RLC SDU
UMD PDU with 6bit or UMD PDU with 6bit or

UMD PDU containing a
12bit SN 12bit SN
complete RLC SDU
No SO (Segment Offset) SO (Segment Offset)
Figure 5-23 UMD PDU Header Options
For segmented RLC SDUs there is the option of using 6bit SN (Sequence
Number) or 12bit sequence number. With the first segment not requiring a SO
(Segment Offset).
The RLC specification details the different PDU formats. Figure 5-24
illustrates examples without a SO (Segment Offset). Note that a 6bit SN
header also exists.

UMD PDU containing a

UMD PDU with 12bit SN (No SO)
complete RLC SDU
SI R R R R R R SI R R SN
SN
Data
Data
Segment Information Sequence Number
Data Data
Figure 5-24 Example of UMD PDUs Without SO
Figure 5-25 illustrates an example of the Segment Offset when utilizing the
12bit SN, again a 6bit SN version also exists. The SO field indicates the
position of the RLC SDU segment in bytes within the original RLC SDU.
UMD PDU with 12bit SN with SO
SI R R SN
SN
SO
SO
Data
Segment Offset
Data
Figure 5-25 Example of UMD PDU with 12bit SN and SO
The SI (Segment Information) field has four possible values and is used for
various permutations of segmentation. The different permutations are
Value Description
00 Data field contains all bytes of an RLC SDU
01 Data field contains the first segment of an RLC SDU
10 Data field contains the last segment of an RLC SDU
11 Data field contains neither the first nor last segment of an RLC SDU
Figure 5-26 SI (Segment Information) Field
AMD PDU
The AMD (Acknowledged Mode Data) PDU is used for acknowledged mode
data transfer. Like UMD PDU’s, formats exist with and without the SO. Figure
5-27 illustrates an example of the 12bit AMD PDU format with SO. Note that
there is also a 18bit version.

1 = Data PDU 12bit SN

Poll for Status Example
D/C P SI R R SN
SN
SO
SO
Data
Data
Figure 5-27 AMD PDU - 12bit with SO
Each AMD PDU also includes a P (Polling) flag, allowing the device or en-
gNB to request a Status PDU.
Status PDU
An AM RLC entity sends Status PDUs to its peer AM RLC entity in order to
provide positive and/or negative acknowledgements of RLC PDUs (or portions
of them). It is the responsibility of RRC to configure whether or not the status
prohibit function is to be used for an AM RLC entity, i.e. a timer to prevent the
receiver from sending Status PDUs.
Triggers to initiate STATUS reporting include:
 Polling from its peer AM RLC entity.
 Detection of reception failure of an RLC data PDU.
Control PDU Type Indicates the SN of the next

1 = Status PDU not received RLC data PDU
Indicates D/C CPT ACK_SN

whether a set of ACK_SN
NACK_SN, E1 , E1 R R R R R R R
E2 and E3
NACK_SN
follows
NACK_SN E1 E2 E3 R
Indicates whether NACK_SN
a set of SOstart NACK_SN E1 E2 E3 R
and SOend SOstart
follows SOstart
SOend
Indicates whether SOend
NACK Range
follows NACK Range
NACK_SN
NACK_SN E1 E2 E3 R
Figure 5-28 Status PDU
Other parameter in the Status PDU include:

 NACK_SN (Negative Acknowledgement SN) Field - this indicates
the SN of the RLC SDU (or RLC SDU segment) that has been
detected as lost at the receiving side of the AM RLC entity.
 SOstart field and SOend field - these indicate the portion of the
RLC SDU with SN = NACK_SN (the NACK_SN for which the
SOstart/SOend related to) that has been detected as lost at the
receiving side of the AM RLC entity.
 NACK Range - this is the number of consecutively lost RLC SDUs
starting from and including NACK_SN.

NR Medium Access Control

5.4.1 MAC Services and Functions
MAC (Medium Access Control) provides the interface between the NR
protocols and the NR Physical Layer.

X2
E-UTRA /
NR PDCP

RLC RLC RLC
E-UTRA MAC NR MAC
Figure 5-29 NR MAC for EN-DC Operation
Services Provided to the Upper Layers

The MAC sublayer provides the following services to the upper layers:
Radio Resource
Data Transfer
Allocation
Figure 5-30 Services Provided to Upper Layers
Services Expected from Physical Layer

The physical layer provides the following services to MAC:
 Data transfer services.
 Signalling of HARQ feedback.
 Signalling of Scheduling Request.
 Measurements, e.g. CQI (Channel Quality Indicator).
Signalling of
Data Transfer Signalling of Measurements
Scheduling
Services HARQ Feedback (CQI)
Requests
Figure 5-31 Services Expected from Physical Layer
A DL-SCH and UL-SCH may support different numerologies and/or TTI

duration within the MAC entity.
Access to the data transfer services is through the use of transport channels.
The characteristics of a transport channel are defined by its transport format
(or format set), specifying the physical layer processing to be applied to the
transport channel in question, such as channel coding and interleaving, and
any service-specific rate matching as needed.

MAC Sublayer Functions

The MAC sublayer supports the following functions:
MAC Function Downlink Downlink
Mapping between Logical Channels and Transport Channels X X
Multiplexing X
Demultiplexing X
Scheduling Information Reporting X
Error Correction through HARQ X X
Logical Channel Prioritisation X
Figure 5-32 MAC Sublayer Functions
5.4.2 MAC Control Elements

A key part of MAC operation relates to passing control information, with each
identified as a CE (Control Element). There are many CEs for 5G NR, Figure
5-33 lists the various types.
Buffer Status Report MAC CEs

C-RNTI MAC CE
UE Contention Resolution Identity MAC CE
Timing Advance Command MAC CE
DRX Command MAC CE
Long DRX Command MAC CE
Configured Grant Confirmation MAC CE
Single Entry PHR MAC CE
Multiple Entry PHR MAC CE
SCell Activation/Deactivation MAC CEs
Duplication Activation/Deactivation MAC CE
SP CSI-RS / CSI-IM Resource Set Activation/Deactivation MAC CE
Aperiodic CSI Trigger State Subselection MAC CE
TCI States Activation/Deactivation for UE-specific PDSCH MAC CE
TCI State Indication for UE-specific PDCCH MAC CE
SP CSI reporting on PUCCH Activation/Deactivation MAC CE
SP SRS Activation/Deactivation MAC CE
PUCCH spatial relation Activation/Deactivation MAC CE
SP ZP CSI-RS Resource Set Activation/Deactivation MAC CE
Figure 5-33 NR MAC Control Elements
Each CE has a defined set of parameters and structure which can be found
within the 3GPP MAC specification 10.
5.4.3 NR RNTI Identities

MAC provides the control and traffic logical channels. When MAC uses the
PDCCH (Physical Downlink Control Channel) to indicate radio resource
allocation, a RNTI (Radio Network Temporary Identifier) is used. However,
there are many different RNTIs types in the en-gNB.
The set of RNTIs defined for 5g NR include:
 P-RNTI (Paging RNTI).
 SI-RNTI (System Information RNTI).
 RA-RNTI (Random Access RNTI).
10
3GPP TS 38.321 MAC (Medium Access Control) Protocol Specification

 C-RNTI (Cell RNTI).

 Temporary C-RNTI.
 CS-RNTI (Configured Scheduling RNTI).
 TPC-CS-RNTI (Transmit Power Control Configured Scheduling RNTI).
 TPC-PUCCH-RNTI (Transmit Power Control PUCCH RNTI).
 TPC-PUSCH-RNTI (Transmit Power Control PUSCH RNTI).
 TPC-SRS-RNTI (Transmit Power Control Sounding Reference Symbols
RNTI).
 INT-RNTI (Interruption RNTI).
 SFI-RNTI (Slot Format Indication RNTI).
 SP-CSI-RNTI (Semi-Persistent CSI RNTI).
Figure 5-34 summarizes the usage of the RNTIs.
Value Usage
P-RNTI Paging and System Information change notification
SI-RNTI Broadcast of System Information
RA-RNTI Random Access Response
Temporary C-RNTI Contention Resolution (when no valid C-RNTI is available)
Temporary C-RNTI Msg3 transmission
C-RNTI Dynamically scheduled unicast transmission
C-RNTI Triggering of PDCCH ordered random access
CS-RNTI Configured scheduled unicast transmission
CS-RNTI Reserved
TPC-CS-RNTI Configured scheduling uplink power control
TPC-PUCCH-RNTI PUCCH power control
TPC-PUSCH-RNTI PUSCH power control
TPC-SRS-RNTI SRS trigger and power control
INT-RNTI Indication pre-emption in DL
SFI-RNTI Slot Format Indication on the given cell
SP-CSI-RNTI Activation of Semi-persistent CSI reporting on PUSCH
Figure 5-34 NR RNTI Usage
The RNTI is a 16bit value, usually represented in hexadecimal format. Figure

5-35 illustrates the allowed and set values. Note that the majority of RNTI are
configured in the range 0x0001 to 0xFFEF. Only the P-RNTI and SI-RNTI
have fixed values.
Value RNTI
0000 N/A
RA-RNTI, Temporary C-RNTI, C-RNTI, CS-RNTI, TPC-CS-RNTI,
0001-FFEF TPC-PUCCH-RNTI, TPC-PUSCH-RNTI, TPC-SRS-RNTI, INT-RNTI,
SFI-RNTI and SP-CSI-RNTI
FFF0–FFFD Reserved
FFFE P-RNTI
FFFF SI-RNTI
Figure 5-35 NR RNTI Values
RA-RNTI
The RA-RNTI is slightly different from the rest since it’s calculated by the
device based on where/when it accessed the network. It is then used by the
device to calculate the correct RAR (Random Access Response) to decode.

The RA-RNTI is calculated using the formula shown,
RA-RNTI= 1 + s_id + 14 × t_id + 14 × 80 × f_id + 14 × 80 × 8 × ul_carrier_id
The index of the first OFDM symbol of the specified PRACH.

s_id
(0 ≤ s_id < 14)
The index of the first slot of the specified PRACH in a system frame.
t_id
(0 ≤ t_id < 80)
The index of the specified PRACH in the frequency domain.

f_id
(0 ≤ f_id < 8)
The UL carrier used for Msg1 transmission.

ul_carrier_id
(0 for NUL carrier, and 1 for SUL carrier)
Figure 5-36 RA-RNTI Calculation
It is also used by the physical layer to scramble the CRC of the PDCCH
(Physical Downlink Control Channel).
5.4.4 MAC Headers

There are various MAC headers depending on whether it is being used for
shared channel operation or RAR (Random Access Response).
MAC PDU for DL-SCH and UL-SCH

Figure 5-37 illustrates the different MAC subheaders which can be used for
the DL-SCH and UL-SCH.
R/F/LCID/L MAC Subheader with 8-bit L field
R F LCID
Format bit set L
to 0 or 1 to Logical
indicate 8bit or Channel ID
16bit length R/F/LCID/L MAC Subheader with 16-bit L field
header format R F LCID
L
L
R/LCID MAC Subheader

R R LCID
Figure 5-37 MAC SubHeaders
Note that the Random Access Response MAC subheader is different.

The main parameter is the LCID (Logical Channel Identity), which is coded
differently for the DL-SCH and UL-SCH. Figure 5-38 illustrates the DL-SCH
LCID index values.

DL LCID Index Description

000000 CCCH
000001–100000 Identity of the logical channel
100001–101111 Reserved
110000 SP ZP CSI-RS Resource Set Activation/Deactivation
110001 PUCCH spatial relation Activation/Deactivation
110010 SP SRS Activation/Deactivation
110011 SP CSI reporting on PUCCH Activation/Deactivation
110100 TCI State Indication for UE-specific PDCCH
110101 TCI States Activation/Deactivation for Ue specific PDSCH
110110 Aperiodic CSI Trigger State Subselection
110111 SP CSI-RS / CSI-IM Resource Set Activation/Deactivation
111000 Duplication Activation/Deactivation
111001 SCell Activation/Deactivation (4 octet)
111010 SCell Activation/Deactivation (1 octet)
111011 Long DRX Command
111100 DRX Command
111101 Timing Advance Command
111110 UE Contention Resolution Identity
111111 Padding
Figure 5-38 Downlink LCID
The LCID index for the UL-SCH is illustrates in Figure 5-39.

UL LCID Index Description
000000 CCCH
000001–100000 Identity of the logical channel
100001–110110 Reserved
110111 Configured Grant Confirmation
111000 Multiple Entry PHR
111001 Single Entry PHR
111010 C-RNTI
111011 Short Truncated BSR
111100 Long Truncated BSR
111101 Short BSR
111110 Long BSR
111111 Padding
Figure 5-39 Uplink LCID
Subheader Mapping
A number of control LCID values reference a fixed length parameter, e.g.
timing advance. In this case the header is only one octet.
Figure 5-40 illustrates how multiple sub-headers concatenate to the MAC
header, with the MAC payload being a concatenation of the indicated
parameters or data.

R/LCID Subheader
R R LCID Oct 1
R/F/LCID/L R/F/LCID/L
Sub- Fixed Sub- Sub-

Variable-sized
header Size Header header MAC SDU
MAC CE
A MAC CE B C
Optional
Padding
Downlink: MAC CE are before MAC SDU
Uplink: MAC CE are after MAC SDU
Figure 5-40 Example of Subheader Mapping
A maximum of one MAC PDU can be transmitted per TB per MAC entity.
5.4.5 Discontinuous Reception

Like LTE, the SCG NR MAC is also able to configure DRX (Discontinuous
Reception) functionality. This controls when a device should monitor the
PDCCH for C-RNTI, CS-RNTI, TPC-PUCCH-RNTI, TPC-PUSCH-RNTI and
TPC-SRS-RNTI.
In order to configure, RRC defines various Parameters including:
 drx-onDurationTimer - this is the duration at the beginning of a DRX
Cycle. Value in multiples of 1/32 ms (subMilliSeconds) or in ms
(milliSecond). For the latter, ms1 corresponds to 1ms, ms2
corresponds to 2ms, and so on.
 drx-SlotOffset - this is the delay in slots before starting the drx-
onDurationTimer. Value in 1/32 ms. Value 0 corresponds to 0ms, value
1 corresponds to 1/32ms, value 2 corresponds to 2/32ms, and so on.
 drx-StartOffset - this is the subframe where the DRX Cycle starts.
 drx-InactivityTimer - this is the duration after the PDCCH occasion in
which a PDCCH indicates an initial UL or DL user data transmission for
the MAC entity.
 drx-RetransmissionTimerDL (per DL HARQ process) - this is the
maximum duration until a DL retransmission is received.
 drx-RetransmissionTimerUL (per UL HARQ process) - this is the
maximum duration until a grant for UL retransmission is received.
 drx-LongCycle - this indicates the size of the Long DRX cycle
 drx-ShortCycle - this indicates the size of the Short DRX cycle
 drx-ShortCycleTimer - this indicates the duration a device uses the
Short DRX cycle.
 drx-HARQ-RTT-TimerDL (per DL HARQ process) this is the minimum
duration before a DL assignment for HARQ retransmission is expected
by the MAC entity.
 drx-HARQ-RTT-TimerUL (per UL HARQ process) - this is the minimum
duration before a UL HARQ retransmission grant is expected by the
MAC entity.
An example of some of these DRX parameters is illustrated in Figure 5-41.

drx-RetransmissionTimerDL
drx-onDurationTimer drx-InactivityTimer
DL
drx-ShortCycle drx-ShortCycle drx-LongCycle
drx-HARQ-RTT-TimerDL
drx-ShortCycleTimer
UL
ACK/NACK
Figure 5-41 Example of DRX Cycle


5G EN-DC Operation
5G EN-DC Operation
Attaching and EN-DC Operation .......................................................................... 6-2

6.1.1 Initial E-UTRA Attach............................................................................... 6-2
6.1.2 UE Capabilities........................................................................................ 6-2
E-UTRA Measurements for EN-DC ...................................................................... 6-5
6.2.1 EUTRA Measurement Configuration Options ......................................... 6-5
6.2.2 Measurement Objects ............................................................................. 6-6
6.2.3 Report Configuration ............................................................................... 6-7
6.2.4 LTE Events Summary ............................................................................. 6-8
6.2.5 NR Events ............................................................................................... 6-9
6.2.6 Measurement Identities ........................................................................... 6-9
6.2.7 NR Measurement Timing Configuration ................................................ 6-10
PSCell Addition ................................................................................................... 6-11
6.3.1 Identifying Suitable NR Cell .................................................................. 6-11
6.3.2 Measurement Report ............................................................................ 6-11
6.3.3 SgNB Addition Request and Request Acknowledge............................. 6-12
6.3.4 RRC Connection Reconfiguration ......................................................... 6-16
6.3.5 Timing .................................................................................................... 6-17
6.3.6 Random Access Process ...................................................................... 6-18
6.3.7 PSCell Split SRB ................................................................................... 6-26
6.3.8 PSCell Split DRB................................................................................... 6-27
6.3.9 Secondary Node Release ..................................................................... 6-28
Radio Link Failure .............................................................................................. 6-29
6.4.1 RLF Configuration ................................................................................. 6-30
6.4.2 Out-of-Sync and In-Sync ....................................................................... 6-30
6.4.3 Failure Report ....................................................................................... 6-31
Beam Failure ...................................................................................................... 6-32
6.5.1 Beam Failure Parameters ..................................................................... 6-32
6.5.2 Beam Failure Detection......................................................................... 6-32
6.5.3 Beam Failure Recovery......................................................................... 6-33
Power Control ..................................................................................................... 6-34
6.6.1 Downlink Power Allocation .................................................................... 6-34
6.6.2 Uplink Power Control ............................................................................ 6-35

5G EN-DC Operation
Attaching and EN-DC Operation

6.1.1 Initial E-UTRA Attach
Activation of EN-DC (E-UTRA-NR Dual Connectivity) can only occur if the
device, eNB (Evolved Node B) and MME (Mobility Management Entity)
support it, as well as the necessary security additions for dialogue with the
Secondary en-gNB. As such, various LTE procedures have been updated to
include EN-DC indications, as well as exchange extra capabilities, e.g.
security.
As shown in Figure 6-1, the initial RRC connection has no indication of EN-
DC support from either the device or eNB. In addition, the eNB SI (System
Information) messages (up to RRC v15.1.0) have no indication of EN-DC
support. Therefore, the first indication of EN-DC is from the device in the LTE
NAS (Non-Access Stratum) Attach Request message. This includes the UE
Network Capability Information Element, which lists the various network
capabilities that the device supports. It also can indicate the support of N1, i.e.
the support of NR (New Radio) NAS. In addition, the Additional Security
Capabilities parameter will indicate which of the NEA (NR Encryption
Algorithms) and NIA (NR Integrity Algorithms) are supported.
E-UTRA RRC
System Information
No Change
E-UTRA RRC LTE NAS Attach Request

Connection - “Dual Connectivity with NR” flag
No Change - N1 flag
- UE Additional Security Capabilities
MME
eNB
UE
LTE Attach Accept
- MME may decline EN-DC operation by setting the
“Use of Dual Connectivity with NR is Restricted” flag
- “Interworking without N26 Supported/Not Supported” flag
Figure 6-1 EUTRA Attach - EN-DC Support
One of the capabilities indicated is “Dual Connectivity with NR”, which will be
set if the device supports EN-DC. Therefore, the MME will be aware that the
device is EN-DC capable, although this does not mean EN-DC will actually be
used. For example, the MME may set the “Use of Dual Connectivity with NR
is Restricted” flag in the Attach Accept, which would prevent EN-DC from
being used. The Attach Accept message also indicates if N26 interworking is
supported.
6.1.2 UE Capabilities
The Initial Context Setup Request message is sent by the MME as part of the
Attach procedure (as well as other procedures). As illustrated in Figure 6-2, if
the device has not attached to a MME previously, the “detailed” UE radio
capabilities would not be known. However, the MME would know the NR UE
Security Capabilities (received in the Attach Request message) and the UE
AMBR (Aggregate Maximum Bit Rate) which will have an “extended” value
capable of indicating pbps (Petabytes per second) - not that this rate is
available yet! The UE-AMBR would have been received from the HSS (Home
Subscriber Sever).

5G EN-DC Operation
Additional
Security
Capabilities MME
No Change eNB
Initial Context Setup

RRC Security Mode Request
Command NRUESecurityCapabilities
Ue-CapabilityRequest Extended UE AMBR
RRC Security Mode
“eutra” (Attach Accept, Activate Default
Complete
“nr” Bearer Context Request)
“eutra-nr” UE Capability Enquiry
Stored in UE Profile
UE Capability Information
“eutra”, “nr” and “eutra-nr” UE Capability Information
Indication
“eutra”, “nr” and “eutra-nr”
Figure 6-2 UE Capability Transfer
Figure 6-2 illustrates the eNB requesting the device’s capabilities, which for
EN-DC operation include the request for “nr” and “eutra-nr”, i.e. NR and E-
UTRA-NR specific capabilities. Figure 6-3 illustrates the E-UTRA RRC UE
Capability Enquiry message. In addition, nested in one of the non critical
extensions is also the ability to request frequency bands for MR-DC (Multi-
RAT Dual Connectivity).
ueCapabilityEnquiry y
Enquir
criticalExtensions c1 : ueCapabilityEnquiry-r8 pability
ue-CapabilityRequest UE Ca
eutra
nr
eutra-nr
nonCriticalExtension eNB
UE
requestedFreqBandsNR-MRDC-r15
Figure 6-3 UE Capability Enquiry
Upon receiving the request, the device will formulate the UE Capability
information message to be sent back to the eNB. The contents of this will
include capabilities for E-UTRA, NR and E-UTRA-NR. Figure 6-4, Figure 6-5
and Figure 6-6 illustrate the key parameters included, as well as a few of the
nested parameters. Highlighted in red are NR and E-UTRA-NR related
parameters, with the blue parameters related to normal E-UTRA.
The definition of each of these parameters is either in the E-UTRA RRC
Specification (3GPP TS 36.331) or the NR RRC Specification (3GPP TS
38.331).
UE E-UTRA Capability indicates the support of Access Stratum Release 15,
as well as the support of EN-DC operation. It also indicates various
parameters related to PDCP (Packet Data Convergence Protocol) support.
Various parameters in the NR and E-UTRA-NR capabilities include the words:
Common, XDD-Diff (FDD/TDD Difference) or FRX-Diff (FR1/FR2 Difference).
As such, any parameters not Common to both FDD/TDD or FR1/FR2 will be
placed in the corresponding parameter grouping.

5G EN-DC Operation
UE-EUTRA-Capability
accessStratumRelease rel15
ue-Category
pdcp-Parameters
phyLayerParameters
rf-Parameters
measParameters
nonCriticalExtension rohc-ContextMaxSessions-r15
(x22 nonCriticalExtension) rohc-ProfilesUL-Only-r15
nonCriticalExtension rohc-ContextContinue-r15
irat-ParametersNR-r15 outOfOrderDelivery-r15
en-DC-r15 supported sn-SizeLo-r15
supportedBandListNR-r15 ims-VoiceOverNR-PDCP-MCG-Bearer-r15
pdcp-ParametersNR-r15 ims-VoiceOverNR-PDCP-SCG-Bearer-r15
Figure 6-4 UE E-UTRA Capability Parameters
mac-ParametersCommon
mac-ParametersXDD-Diff
UE-NR-Capability
pdcp-Parameters phy-ParametersCommon
rlc-Parameters phy-ParametersXDD-Diff
mac-Parameters phy-ParametersFRX-Diff
phy-Parameters phy-ParametersFR1
rf-Parameters supportedBasebandProcessingCombination
measParameters basebandCombinationParametersUL-List
fdd-Add-UE-NR-Capabilities
tdd-Add-UE-NR-Capabilities supportedBandListNR
fr1-Add-UE-NR-Capabilities supportedBandCombination
fr2-Add-UE-NR-Capabilities bandCombinationParametersUL-List
phy-ParametersMRDC-XDD-Diff
measParametersMRDC-XDD-Diff
generalParametersMRDC-XDD-Diff
measParametersMRDC-FRX-Diff
Figure 6-5 UR NR Capability Parameters
One key part of the MR-DC capabilities is the “general parameters”. This
indicates the specifics about split SRB and split DRB, as well as the support
for SRB3.
phy-ParametersMRDC-XDD-Diff
UE-MRDC-Capability
dynamicPowerSharing
measParametersMRDC
tdm-Pattern
measParametersMRDC-Common
phy-ParametersMRDC-FRX-Diff
dynamicPowerSharing
rf-ParametersMRDC
tdm-Pattern
supportedBandCombination
bandCombinationParametersUL-List
phy-ParametersMRDC splitSRB-WithOneUL-Path
generalParametersMRDC splitDRB-withUL-Both-MCG-SCG
fdd-Add-UE-MRDC-Capabilities srb3
tdd-Add-UE-MRDC-Capabilities
fr1-Add-UE-MRDC-Capabilities phy-ParametersMRDC-XDD-Diff
fr2-Add-UE-MRDC-Capabilities measParametersMRDC-XDD-Diff
generalParametersMRDC-XDD-Diff
Figure 6-6 UE MR-DC Capabilities
Following UE Capability Information, the eNB can then proceed with

establishing SRB2 and the E-RAB and associated DRB (Data Radio Bearer)
on the air interface by sending the RRC Connection Reconfiguration

5G EN-DC Operation
message. This message typically includes the Measurement Configuration

parameter, which may be set to monitor NR cells for EN-DC operation.
S-GW
MME
eNB
RRC Connection
May include Reconfiguration
Measurement (Attach Accept, Activate Default
Configuration for NR Bearer Context Request)
RRC Connection
Reconfiguration Complete Initial Context Setup
Response
SRB2
Uplink Information Transfer Uplink NAS Transport
(Attach Complete, Activate (Attach Complete, Activate
Default Bearer Context Accept) Default Bearer Context Accept)
Modify
E-RAB (DRB) E-RAB
Bearer
Figure 6-7 Initial E-UTRA RRC Connection Reconfiguration
E-UTRA Measurements for EN-DC

Prior to activating EN-DC the eNB must first clarify if the device is in range of
NR cell(s). As such, in E-UTRA RRC Connected mode the device is
configured to monitor and report, by sending a RRC Measurement Report, a
suitable NR cell. Thus, triggering the addition of a en-gNB if one is available.
6.2.1 EUTRA Measurement Configuration Options

The RRC measurement configuration includes the following key parameters:
 Measurement objects - these are the objects on which the UE is
configured to perform the measurements, i.e. the NR Carrier and SS
(Synchronization Signal) Block information.
 Reporting configurations - this is a list of reporting attributes for NR. It
includes the reporting type, namely Periodical or Event Based, as well
as the associated attributes.
 Measurement identities - this is a list of measurement identities where
each measurement identity links one measurement object with one
reporting configuration. By configuring multiple measurement identities,
it is possible to link more than one measurement object to the same
reporting configuration, as well as to link more than one reporting
configuration to the same measurement object. The measurement
identity is used as a reference number in the measurement report.
 Quantity configurations - this is configured per RAT type and defines
the associated filtering used for all event evaluation and related
reporting of that measurement type.
 Measurement gaps - this defines the periods that the device may use
to perform measurements, i.e. no downlink or uplink transmissions are
scheduled. Since EN-DC has at least a dual radio it doesn’t typically
need gap configuration to add the PScell. However, gap configuration
may occur when monitoring Scells, especially if on a different frequency
band.

5G EN-DC Operation
 S-Measure - this optional parameter is a serving cell quality threshold

controlling whether or not the UE is required to perform measurements
of intra frequency, inter frequency and inter RAT neighbouring cells.
 FR1-gap - this defines whether the configured gap is related to all
LTE/NR cells or just LTE and FR1 NR Cells.
Figure 6-8 illustrates the main measurement configuration related parameters
in the RRC Connection Reconfiguration Request message.
rrc-TransactionIdentifier on
onnecti
measConfig RRC C uration
fig
measObjectToAddModList Recon est
reportConfigToAddModList Requ
onfig
measIdToAddModList measC
quantityConfig
measGapConfig
eNB
s-Measure UE
fr1-Gap
Includes NR
Related
Parameters
en-gNB
Figure 6-8 Measurement Configuration
6.2.2 Measurement Objects

Figure 6-9 illustrates some of the key parameters for an E-UTRA
measurement object. They include:
 measObjectId - this is the identifier for the measurement object.
 measObject - this identifies the type of object, which for EN-DC is set to
“measObjectNR-r15”.
 carrierFreq-r15 - this is the NR carrier frequency to measure.
 rs-ConfigSSB-r15 - this provides valuable information on the relative
timing of the SSB when compared to the Pcell.
 offsetFreq - this defines the offset value applicable to the carrier
frequency.
 quantityConfigSet-r15 - this includes reference to which one of the two
NR Quantity Configurations in the NR Quantity Configuration List to be
used.
Details of these parameters can be found in 3GPP TS 36.331.
rrc-TransactionIdentifier
on
measConfig onnecti
RRC C uration
measObjectToAddModList fig
Recon est
measObjectId Requ
bject
measObject measObjectNR-r15 measO
carrierFreq-r15
rs-ConfigSSB-r15
measTimingConfig-r15 eNB
UE
periodicityAndOffset-r15
ssb-Duration-r15
subcarrierSpacingSSB-r15
offsetFreq-r15
quantityConfigSet-r15
en-gNB
Figure 6-9 Measurement Object

5G EN-DC Operation
6.2.3 Report Configuration

The Report Configuration parameter is an important part of the measurement
process; a list of key parameters is illustrated in Figure 6-10, with the red text
highlighting parameters specific to the NR or the NR measurement event
being configured.
reportConfigId
reportConfig reportConfigInterRAT
triggerType event on
onnecti
eventId eventB1-NR-r15 RRC C uration
fi g
hysteresis Recon est
timeToTrigger Requ
onfig
maxReportCells reportC
reportInterval
reportAmount eNB
reportQuantityCellNR-r15 UE
ss-rsrp, ss-rsrq, ss-sinr
maxReportRS-Index-r15
reportQuantityRS-IndexNR-r15
ss-rsrp, ss-rsrq, ss-sinr
reportRS-IndexResultsNR
reportSFTD-Meas-r15 en-gNB
Figure 6-10 NR Report Configuration (Event B1 NR)
Key parameters include:

 triggerType - like LTE, there are two types of reporting methods:
periodical and event based.
 maxReportCells - this indicates the maximum number of cells to report.
 reportInterval - this is used for periodic reporting, or if event based and
the event trigger still exists the device will periodically send the
measurement report.
 reportAmount - indicates the amount of Measurement Report
messages to be sent.
 reportQuantityCellNR-r15 - this indicates the quantities to report, i.e.
the SS-RSRP (Synchronization Signal based Reference Signal
Received Power), SS-RSRQ (Synchronization Signal based Reference
Signal Received Quality) and SS-SINR (Synchronization Signal based
Signal to Interference and Noise Ratio).
 maxReportRS-Index-r15 - this indicates the maximum number of SS-
Block Index’s (beams) to report.
 reportQuantityRS-IndexNR-r15 - this indicates the quantities to report,
i.e. the SS-RSRP, SS-RSRQ and SS-SINR.
 reportRS-IndexResultsNR - this indicates whether Measurement
Reports should be sent related to SS-Block index (beams).
 reportSFTD-Meas-r15 - this indicates that the device should report SFN
(System Frame Number) and subframe time difference.
Figure 6-11 illustrates the periodical reporting concept with a configured
Report Interval. In addition, the MeNB also configures the Report Amount
which indicates how may reports to send (r1, r2, r4, r8, r16, r32, r64 or
infinity).

5G EN-DC Operation
eNB en-gNB
Periodical
Report Interval (ms120, ms240, ms480, ms640,
Reporting
ms1024, ms2048, ms5120, ms10240,
min1, min6, min12, min30, min60)
UE
Figure 6-11 Periodical Reporting
6.2.4 LTE Events Summary

LTE includes a number of “intra E-UTRA” measurement based triggering
events, these include:
 Event A1 - serving cell becomes better than the threshold.
 Event A2 - serving cell becomes worse than the threshold.
 Event A3 - neighbour cell becomes (including offset) better than the
serving cell.
 Event A4 - neighbour cell becomes better than the threshold.
 Event A5 - serving cell becomes worse than Thresh1 (Threshold1) and
the neighbour cell becomes better than Thresh2 (Threshold2).
 Event A6 - Neighbour becomes offset better than SCell (for CA (Carrier
Aggregation)).
 Event C1 - CSI-RS resource becomes better than threshold.
 Event C2 - CSI-RS resource becomes offset better than reference CSI-
RS resource.
 Event V1 - the channel busy ratio is above a threshold for a V2X
device.
 Event V2 - the channel busy ratio is below a threshold for a V2X
device.
In terms of “InterRAT” events the existing LTE variants are:
 Event B1 - Inter RAT neighbour cell becomes better than threshold.
 Event B2 - serving cell becomes worse than threshold1 and inter RAT
neighbour cell becomes better than threshold2.
Note: Additional types of events exist for LTE/WLAN interworking.

5G EN-DC Operation

Event A1 Event A2 Event A3
E-UTRA E-UTRA E-UTRA E-UTRA

Event A4 Event A5 Event A6 Event C1

Event C2 Event V1 Event V2
E-UTRA E-UTRA
InterRAT
Event B1 Event B2
Events
(NR) (NR)
Figure 6-12 Existing and Updated E-UTRA Events
As illustrated in Figure 6-12, Event B1 and B2 can also enable NR reporting

and thus will be utilized to trigger event based EN-DC reporting.
6.2.5 NR Events
NR RRC includes specific events which are also used as part of EN-DC
operation, including:
 Event A1 - Serving becomes better than threshold. For this
measurement, consider the serving cell to be the NR SpCell or the NR
SCell that is configured on the frequency indicated in the associated
measObjectNR.
 Event A2 - Serving becomes worse than threshold. For this
measObjectNR.
 Event A3 - Neighbour becomes offset better than SpCell.
 Event A4 - Neighbour becomes better than threshold.
 Event A5 - SpCell becomes worse than threshold1 and neighbour
becomes better than threshold2.
 Event A6 - Neighbour becomes offset better than SCell.
NR NR NR
NR NR NR
Figure 6-13 NR Events
6.2.6 Measurement Identities

The concept of Measurement Identity is the same for E-UTRA and NR. As
illustrated in Figure 6-14, each identity is a combination of a Measurement
Object and Report Configuration. It is this Measurement Identity that is then
utilized in the Measurement Report message, with the associated measured
result.

5G EN-DC Operation
Measurement
Configuration
LTE F1 LTE F2 NR FR1

Measurement
(Cells) (Cells) (Cells)
Object
ID1 ID2 ID3
Event Event
Report Periodic
E.g E-UTRA A3 E.g NR B2
Configuration ID1
ID2 ID3
Measurement ID1 ID2 ID3

ID (ID1 + ID2) (ID2 + ID2) (ID3 + ID3)
Figure 6-14 Measurement Identities
6.2.7 NR Measurement Timing Configuration

In order to take measurement for EN-DC operation, the device must set up
the first SMTC (SS/PBCH Block Measurement Timing Configuration) in
accordance with the received “periodicityAndOffset” parameter in the MTC
(Measurement Timing Configuration) for the NR SSB. This ensures the first
subframe of each SMTC occasion occurs at an SFN and subframe of the
PCell needs to meet the conditions illustrated in Figure 6-15.
On the identified frequency, the device does not consider SS/PBCH block
transmission in subframes outside the SMTC occasion for measurements.
SMTC (SS/PBCH Block Measurement

Timing Configuration)
measConfig
measObjectToAddModList
measObjectId
MTC (Measurement Timing measObject measObjectNR-r15
Configuration) includes the carrierFreq-r15
“periodicityAndOffset-r15” parameter rs-ConfigSSB-r15
measTimingConfig-r15
periodicityAndOffset-r15
sf5-r15 (0..4)
The first subframe of each SMTC sf10-r15 (0..9)
occasion occurs at an SFN and sf20-r15 (0..19)
subframe of the PCell meeting the sf40-r15 (0..39)
following condition: sf80-r15 (0..79)
sf160-r15 (0..159)
SFN mod T = FLOOR(Offset/10) ssb-Duration-r15 {sf1, sf2, sf3, sf4, sf5 }
subframe = Offset mod 10
with T = Periodicity/10
Figure 6-15 NR Measurement Timing Configuration

5G EN-DC Operation
ssb-Duration-r15 ssb-Duration-r15
E.g. sf2 E.g. sf2
E-UTRA
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
SFN
Offset Periodicity
E.g. sf30 E.g. sf80
NR
SS/PBCH Block SS/PBCH Block

Measurement Measurement
Figure 6-16 Example of SMTC
PSCell Addition
6.3.1 Identifying Suitable NR Cell
Assuming the device has already connected to the LTE PCell and EN-DC is
supported, the eNB will have configured the device to send measurement
reports. This will either be periodic or event based, with the EventB1-NR
being configured for event based. This includes the threshold type, i.e. NR-
RSRP, NR-RSRQ or NR-SINR, as well as the corresponding threshold value.
The EventB1-NR also has an associated TTT (Time to Trigger) and Hys
(Hysteresis) parameter. These, along with the Ofn (Frequency Specific
Offset), defines a specific offset (+/-) for the frequency of the inter-RAT
neighbour cell and are illustrated in Figure 6-17.
The EventB1-NR also includes an entering and leaving condition. As such,
assuming the neighbouring meets the entering condition for the duration of
TTT, then the Measurement Report message would be sent.
PCell
NR-RSRP
NR-RSRQ Send Measurement
NR-SINR Report
Hysteresis Timer < TTT
b1-ThresholdNR-r15
NR Cell
(Mn+Ofn)
Mn+Ofn−Hys > Thresh Timer > TTT
Mn+Ofn+Hys < Thresh
Start Stop Start

Time
Timer Timer Timer
Figure 6-17 Example of EventB1-NR
6.3.2 Measurement Report

The E-UTRA Measurement Report message containing the NR PCI (Physical
Cell Identity), as well as the requested measured quantities, will be sent to the
eNB. It will also contain, if requested, the measured SS/PSCH block
quantities, along with the SS Block Index. In addition, the SFN and Frame
Timing Difference will be included. An example of a Measurement Report is
illustrated in Figure 6-18

5G EN-DC Operation
measurementReport measResultNeighCellListNR-r15
measResults pci-r15
measId measResultCell-r15
measResultPCell rsrpResult-r15
rsrpResult rsrqResult-r15
rsrqResult rs-sinr-Result-r15
measResultNeighCells measResultRS-IndexList-r15
measResultNeighCellListNR-r15 ssb-Index-r15
measResultCellListSFTD-r15 measResultSSB-Index-r15
rsrpResult-r15
rsrqResult-r15
rs-sinr-Result-r15
measResultCellListSFTD-r15
physCellId-r15
sfn-OffsetResult-r15
frameBoundaryOffsetResult-r13
rsrpResult-r15
Figure 6-18 E-UTRA Measurement Report - NR Measurements
Upon receiving the Measurement Report from the device, the eNB would
trigger the activation of EN-DC operation.
6.3.3 SgNB Addition Request and Request Acknowledge

SgNB Addition Request
After identifying the target NR cell from the device, the MeNB sends the X2AP
SgNB Addition Request message to the en-gNB. One of the key parameters
in the SgNB Addition Request messages is the CG-ConfigInfo parameter.
PCI “X”
MeNB en-gNB
A
B
PCI “X” C
SS Block “A” CG-ConfigInfo
Measurement
Report
SgNB Addition
RRC Connection Request Acknowledge
Reconfiguration
RRC Connection
Reconfiguration SgNB Reconfiguration
Complete Complete
Random Access Procedure
Figure 6-19 X2AP SgNB Addition
Key elements of the message are outlined in Figure 6-20.

 MeNB UE X2AP ID - serves as a unique identifier to associate the
X2AP connection with a specific subscriber device.
 NR Security Capabilities and SgNB Key - the MeNB will have been
supplied both of these parameters during the initial attach procedure.
These are now supplied to the en-gNB in support of user plane and
potentially RRC security. Note that S-Kgnb is derived from KeNB at the
MeNB.
 SgNB UE AMBR (Aggregate Maximum Bit Rate) - overall, the UE
AMBR will dictate the total permissible bandwidth that can be allocated
to the subscriber, relative to the total bandwidth in use of all non-GBR

5G EN-DC Operation
(Guaranteed Bit Rate) bearers that the subscriber has active. In an EN-
DC scenario, this UE AMBR limit is split by the MeNB into a MeNB UE
AMBR and a SgNB UE AMBR allocation which will collectively not
exceed the UE AMBR. As such, the SgNB will ensure that the SgNB
UE AMBR is not exceeded. Within this parameter NR can make use of
an “Extended Bit Rate” parameter.
 E-RAB(s) to be added - when adding the en-gNB, the MeNB will need
to provide a variety of different information for each E-RAB that the en-
gNB will need to support. This includes:
 E-RAB ID - uniquely identifying the E-RAB.
 EN-DC Resource Configuration - for each E-RAB, this information
element will dictate how the E-RAB is established in terms of EN-
DC configuration, QoS and tunnel establishment.
 PDCP Present / Not Present in SN - this information element
will dictate how the E-RAB will be configured with respect to
PDCP (Packet Data Convergence Protocol). For instance, if
this field determines that PDCP is present in the Secondary
Node, this configures the E-RAB as an SCG (Secondary Cell
Group) Bearer. See Figure 6-24 for further detail.
 Full E-RAB QoS Parameters - identifying QoS characteristics
of the E-RAB such as QCI (Quality Class Identifier), ARP
(Allocation and Retention Priority) and, if appropriate, GBR
QoS information.
 Tunnel Endpoint Addressing - depending on the
configuration of the E-RAB (MCG Bearer, MCG Split Bearer,
etc), there will be a variety of different TEIDs (Tunnel
Endpoint Identities) which will need to be established.
 MCG Split SRB Request - this will indicate if resources for Split SRB
operation are required.
 MeNB to SgNB Container - this will contain the RRC (Radio Resource
Control) SCG-ConfigInfo message, which supplies the en-gNB with the
latest measurement results for the candidate SCG cells. This allows the
en-gNB to choose and configure the SCG cell(s) that will be allocated
to the subscriber.
NR Security Capabilities
MeNB UE X2AP ID SgNB UE AMBR
and S-KgNB
PDCP Present / Not

E-RAB ID
Present in SN
E-RAB(s) to be Added
EN-DC Resource Full E-RAB QoS

Configuration Parameters
MeNB to SgNB Tunnel Endpoint

MCG Split SRB Request
Container Addressing
Figure 6-20 SgNB Addition Request
The contents of the CG-ConfigInfo parameter varies depending on the

scenario (it is not only used for EN-DC operation). Figure 6-21 illustrates the
main parameters which could be present when adding the en-gNB initially.

5G EN-DC Operation
CG-ConfigInfo
ue-CapabilityInfo
rat-Type
ue-CapabilityRAT-Container
candidateCellInfoListSN
cellIdentification
physCellId
dl-CarrierFreq
measResultCellListSFTD
physCellId
sfn-OffsetResult
frameBoundaryOffsetResult
configRestrictInfo
drx-InfoMCG
drx-LongCycleStartOffset
measConfigMN
scg-RB-Config
Figure 6-21 CG-ConfigInfo (MeNB to en-gNB Example)
Key CG-ConfigInfo parameters include:

 ue-CapabilityInfo - this includes the NR and E-UTRA-NR capabilities
received from the UE.
 candidateCellInfoListSN - this is the set of target candidates, including
the measured quantities, as well as the SSB Index/quantities if
configured.
 measResultCellListSFTD - this provides the results of the SFN Frame
and subframe Time Difference.
 configRestrictInfo - this includes various aspects such as band
combinations, baseband combinations, power coordination, serving cell
indices range and the maximum number of allowed NR frequencies the
SN should configure for measurements for the SCG.
 drx-InfoMCG - this provides configuration of DRX (Discontinuous
Reception) cycles on the MCG.
 measConfigMN - this indicates the measured frequencies in MN
(Master Node), as well as any configured gap periods.
 scg-RB-Config - this provides details of SRBs (including SRB3) and
DRBs that need to be configured, as well as any security configuration.
SgNB Addition Request Acknowledgment
In response to the SgNB Addition Request, the en-gNB will send the SgNB
Addition Request Acknowledge. Key information held within this message is
shown in Figure 6-22.
E-RAB(s)
SgNB UE X2AP Admitted MCG SgNB to MeNB
Admitted to be
ID Split SRBs Container
Added
Figure 6-22 SgNB Addition Request Acknowledge

 SgNB UE X2AP ID - serves as a unique identifier to associate the
X2AP connection with a specific subscriber device. Used in conjunction
with the MeNB UE X2AP ID for all future signalling exchanges relative
to this subscriber.
 E-RABs Admitted to be Added - for each E-RAB requested by the
MeNB, the SgNB will provide a confirmation that the E-RAB was
accepted. This would include information on assigned QoS, as well as

5G EN-DC Operation
tunnel endpoint addressing information (dependent on the EN-DC

configuration for the E-RAB).
 Admitted MCG Split SRBs - this will indicate that the request for Split
SRB operation was successful.
 SgNB to MeNB Container - this will contain the SCG radio resource
configuration that the device requires in order to start using the
secondary cell(s). This will be provided as an RRC CG-Config
message, which includes various parameters, as well as the NR RRC
Reconfiguration message for the device.
The CG-Config message content (carried in the container) is listed in Figure
6-23. It includes:
 scg-CellGroupConfig - this includes the NR RRC Reconfiguration
message that can be sent to the device.
 scg-RB-Config - depending on the use of this parameter, e.g.
configuring PDCP, it includes a NR Radio Bearer Config parameter
(which is also part of a NR RRC Reconfiguration message).
 drx-InfoSCG - this provided SCG DRX information to the eNB.
 candidateCellInfoListSN - this is used to enable a secondary node to
suggest cells to a target secondary gNB to consider configuring, i.e. is
part of mobility.
 measConfigSN - this identifies the measured frequencies configured by
the SN.
 selectedBandCombinationNR - this indicates the band combination
selected by SN for the EN-DC.
CG-Config
scg-CellGroupConfig
RRCReconfiguration
scg-RB-Config
RadioBearerConfig
drx-InfoSCG
candidateCellInfoListSN
measConfigSN
selectedBandCombinationNR
Figure 6-23 CG-Config
Determining the Bearer Configuration

There are a number of bearer configurations that are available for the
operation of an E-RAB; these are MCG Bearer, MCG Split Bearer, SCG
Bearer or SCG Split Bearer. The choice of configuration is made at the MeNB
and the contents of the SgNB Addition Request will ensure the correct
configuration is established. The key information required for each
configuration is outlined below (MCG Bearer has been omitted due to the lack
of involvement with the en-gNB). Firstly, Figure 6-24 outlines the information
that will be included in the SgNB Addition message exchange for an E-RAB
that is in MCG Split Bearer configuration.

5G EN-DC Operation
SgNB Addition Request (MCG Split Bearer)

PDCP not present in SN flag -
Requested SCG E-RAB Level QoS Parameters -
MeNB Uplink GTP TEID at PDCP -
MeNB SgNB Addition Request Acknowledge en-gNB

- SgNB Downlink GTP TEID at SCG
Figure 6-24 Determining the Bearer Configuration - MCG Split Bearer
Figure 6-25 outlines the key information that will be included in the SgNB
Addition message exchange for an E-RAB that is in SCG Bearer
configuration.
SgNB Addition Request (SCG Bearer)

PDCP present in SN flag -
Full E-RAB Level QoS Parameters -
S1 Uplink GTP Tunnel Endpoint -
MeNB SgNB Addition Request Acknowledge en-gNB

- S1 Downlink GTP TEID at the SgNB
Figure 6-25 Determining the Bearer Configuration - SCG Bearer
Figure 6-26 outlines the key information that will be included in the SgNB
Addition message exchange for an E-RAB that is in SCG Split Bearer
configuration.
SgNB Addition Request (SCG Split Bearer)

PDCP present in SN flag -
Full E-RAB Level QoS Parameters -
Maximum MCG Admittable E-RAB Level QoS Parameters -
MeNB Downlink GTP TEID at MCG -
S1 Uplink GTP Tunnel Endpoint -
SgNB Addition Request Acknowledge

MeNB - S1 Downlink GTP TEID at the SgNB en-gNB
- SgNB Uplink GTP TEID at PDCP
- Requested MCG E-RAB Level QoS Parameters
Figure 6-26 Determining the Bearer Configuration - SCG Split Bearer
6.3.4 RRC Connection Reconfiguration

The E-UTRA RRC Connection Reconfiguration message is used to configure
various aspects of EN-DC operation. Figure 6-27 illustrates the key
parameters, related to NR, that can be included.

5G EN-DC Operation
nonCriticalExtension x5
nr-Config-r15 setup
RRCReconfiguration
p-MaxEUTRA-r15
sk-Counter-r15
nr-RadioBearerConfig1-r15
RRCConnectionReconfigurationComplete
scg-ConfigResponseNR-r15
RRCReconfigurationComplete
Figure 6-27 E-UTRA RRC Connection Reconfiguration Procedure
The NR parameters are nesting in several non-critical extensions. Note that

the parameters included depend on the scenario. NR Parameters include:
 nr-Config-r15 - this contains:
 endc-ReleaseAndAdd-r15 - this indicates whether the existing EN-
DC configuration should be released before the new configuration
is added.
 nr-SecondaryCellGroupConfig-r15 - this is the main parameter
since it includes a NR RRC Reconfiguration message.
 p-MaxEUTRA-r15 - this indicates the maximum power for E-UTRA
the device can use in LTE MCG.
 sk-Counter-r15 - this is a “one-shot” counter used upon initial
configuration of security for EN-DC, as well as upon refresh of S-KgNB.
E-UTRAN provides this field upon configuring EN-DC to facilitate
configuration of SRB3.
 nr-RadioBearerConfig1-r15 - this parameter is present in specific EN-
DC scenarios, e.g. when there is a requirement to add, modify and
release signalling and/or data radio bearers.
In response, the device sends the NR RRC Reconfiguration Complete
message. This is included in either the SCG Configuration Response
parameter of the E-UTRA RRC Connection Reconfiguration Complete or, if
SRB 3 is configured, it can be sent directly to the en-gNB.
6.3.5 Timing
When the device is in the E-UTRA RRC Connected state the eNB is
responsible for maintaining the timing relationship. During EN-DC operation,
the TA (Timing Advance) used by the device for the uplink to the eNB can be
different to the uplink TA to the en-gNB.
Initially, the en-gNB can get the device to access via dedicated RACH
preamble information using the “rach-ConfigDedicated” parameter. This is
included in the NR RRC Reconfiguration message, specifically part of the
“reconfigurationWithSync” parameter.

5G EN-DC Operation
en-gNB
eNB The “reconfigurationWithSync”
parameter indicates a device should
Existing E-UTRA RACH te en-gNB. It may also include
Timing Advance “rach-ConfigDedicated”, which would
be used to provide dedicated RACH
resource information.
UE
Figure 6-28 Access Timing
Figure 6-29 illustrates the parameters that are defined for the
reconfiguraitionwithsync parameter. These include:
 spCellConfigCommon - this includes many parameters, but for RACH
access, it specifically includes the RACH Configuration Common setup
parameters. In so doing, it includes specifics to enable preamble
sequence generation, as well as how the RACH is configured on the
en-gNB.
 newUE-Identity - this includes the new C-RNTI, allocated by the en-
gNB, for scheduling etc. This is in addition to the C-RNTI allocated by
the MeNB.
 t304 - this timer relates to reconfiguration with sync procedure. If it
expires the device would indicate an SCG failure.
 rach-ConfigDedicated uplink - this provides dedicated uplink RACH
resources, either related to SSB or CSI-RS.
spCellConfigCommon
rrcReconfiguration
uplinkConfigCommon
secondaryCellGroup
initialUplinkBWP
cellGroupId
rach-ConfigCommon setup
spCellConfig
rach-ConfigGeneric
reconfigurationWithSync
groupBconfigured
spCellConfigCommon
newUE-Identity
t304
rach-ConfigDedicated uplink
restrictedSetConfig
dmrs-TypeA-Position
ss-PBCH-BlockPower
cfra-Resources
ssb-ResourceList
ssb
ra-PreambleIndex
ra-ssb-OccasionMaskIndex
Figure 6-29 Reconfiguration with Sync
6.3.6 Random Access Process

The MAC layer is involved with the RA (Random Access) procedure and as
such, it is responsible for initialization, resource selection and contention
resolution.

5G EN-DC Operation
The random access procedure is triggered by a number of events. For EN-

DC, the triggers are mainly related to:
 SpCell addition.
 en-gNB change / handover.
 Beam failure recovery.
 DL or UL data arrival during RRC_CONNECTED when UL
synchronization status is "non-synchronized".
In addition, once SA (Standalone) is available the device will also trigger the
random access procedure for other scenarios, for example:
 Initial access from RRC IDLE.
 RRC Connection Re-establishment procedure.
 Transition from RRC INACTIVE.
 Request for System Information.
When UL
Handover synchronization Beam Failure
(Addition) status is "non- Recovery
synchronized"
RRC Connection
Initial access Transition from Request for
Re-establishment
from RRC_IDLE RRC_INACTIVE Other SI
Procedure
Figure 6-30 Random Access Triggers
Furthermore, the random access procedure takes two distinct forms:

 CB (Contention Based).
 Contention Free.
Contention Based Random Access Procedure

Figure 6-31 illustrates the basic RA (Random Access) procedure. From the
physical layer perspective, the layer 1 random access procedure
encompasses the transmission of random access preamble (Msg1) in a
PRACH, RAR (Random Access Response) message with a PDCCH/PDSCH
(Msg2), and when applicable, the transmission of Msg3 PUSCH, and PDSCH
for contention resolution (Msg4). A RAPID (Random Access Preamble
Identifier) is included as part of the MAC layer and identifies the preamble
index, which corresponds to the one sent by the device.
en-gNB
6bit RAPID
Random Access Preamble (Msg1) Timing Advance
Preamble Sequence RACH UL Grant
May be a set based on Temporary C-RNTI
Random Access Response (Msg2)
size of transmission
and pathloss DL-SCH
Scheduled Transmission (Msg3) UE Contention
UL-SCH Resolution
MAC Subheader(s) Contention Resolution (Msg4) Identity
PDCCH/DL-SCH
Figure 6-31 Random Access Procedure

5G EN-DC Operation
RACH Configuration Common

An example of the parameters included in the rach-ConfigCommon parameter
is illustrated in Figure 4-37.
rach-ConfigCommon
rrcReconfiguration rach-ConfigGeneric
secondaryCellGroup prach-ConfigurationIndex
spCellConfig msg1-FDM
spCellConfigDedicated msg1-FrequencyStart
uplinkConfig zeroCorrelationZoneConfig
uplinkBWP-ToAddModList preambleReceivedTargetPower
bwp-Common preambleTransMax
rach-ConfigCommon powerRampingStep
ra-ResponseWindow
totalNumberOfRA-Preambles
groupBconfigured
ra-Msg3SizeGroupA
messagePowerOffsetGroupB
rsrp-ThresholdSSB
rsrp-ThresholdSSB-SUL
restrictedSetConfig
Figure 6-32 NR RACH/PRACH Configuration
The following parameters assist the Random Access procedure:

 rach-ConfigGeneric - this includes:
 prach-ConfigurationIndex - this defines the available set of
PRACH occasions for the transmission of the Random Access
Preamble.
 msg1-FDM - this defines the number of PRACH transmission
occasions, using FDM (Frequency Division Multiplexing), in one
time instance.
 msg1-FrequencyStart - this identifies the offset of the lowest
PRACH transmission occasion in frequency domain with respect
to PRB 0. The value is configured so that the corresponding
RACH resource is entirely within the bandwidth of the Uplink BWP
(Bandwidth Part).
 zeroCorrelationZoneConfig - this is linked to the identification of
the cyclic shift which is used to generate the 64 preambles.
 preambleReceivedTargetPower - this is utilized for the initial
Random Access Preamble power calculation.
 preambleTransMax - this defines the maximum number of
Random Access Preamble transmissions.
 powerRampingStep - this the power-ramping factor for stepping
up for the next preamble.
 ra-ResponseWindow - this is the Msg2 (RAR) window length in
number of slots.
 totalNumberOfRA-Preambles - if present, this limits the total number of
access preambles.
 ssb-perRACH-OccasionAndCB-PreamblesPerSSB - this defines the
number of SSBs mapped to each PRACH occasion and the number of
Random Access Preambles mapped to each SSB.

5G EN-DC Operation
 groupBconfigured - this includes various parameters which can define

a set of preambles (Group B). This can be used to indicate a larger
msg3 and possibly increased pathloss.
 ra-ContentionResolutionTimer - this is the initial value for the contention
resolution timer in subframes.
 rsrp-ThresholdSSB - this is the RSRP threshold for the selection of the
SSB and corresponding Random Access Preamble and/or PRACH
occasion.
 rsrp-ThresholdSSB-SUL - this is similar to the rsrp-ThresholdSSB
parameter however linked to the SUL (Supplementary Uplink).
 prach-RootSequenceIndex - this is used as part of the generation of
the 64 preambles.
 msg1-SubcarrierSpacing - this identifies the subcarrier spacing of the
PRACH.
 restrictedSetConfig - this provides configuration of an unrestricted set
or one of two types of restricted sets.
 msg3-transformPrecoding - this indicates to the device whether
transform precoding is enabled for Msg3 transmission.
There are up to 64 preambles per cell which may be grouped into “Group A”
and “Group B”, as illustrated in Figure 6-33. Group B preambles relate to the
size of Msg3 and the pathloss.
64 or “totalNumberOfRA-Preambles” or SSB/PRACH Occasion based
Group A Group B
spCellConfigCommon groupBconfigured
uplinkConfigCommon ra-Msg3SizeGroupA
initialUplinkBWP messagePowerOffsetGroupB
rach-ConfigCommon setup numberOfRA-PreamblesGroupA
rach-ConfigGeneric
groupBconfigured
prach-RootSequenceIndex Total number of preambles is 64. If
msg1-SubcarrierSpacing less the “totalNumberOfRA-
restrictedSetConfig Preambles” needs to be specified
dmrs-TypeA-Position (in rach-ConfigGeneric parameter).
ss-PBCH-BlockPower
Figure 6-33 Preamble Group Configuration
The groupBconfigured parameter indicates:

 ra-Msg3SizeGroupA - this defines the Transport Blocks size threshold
in bits below which the device should use Group A. Values include b56,
b144, b208, b256, b282, b480, b640, b800 or b1000.
 messagePowerOffsetGroupB - power offset for Group b preamble
selection. Value in dB. Value minusinfinity corresponds to infinity.
Values include: dB0, dB5, dB8, dB10, dB12, dB15 or dB18.
 numberOfRA-PreamblesGroupA (SpCell only) - this defines the number
of Random Access Preambles in Random Access Preamble Group A
for each SSB, if Random Access Preambles Group B is configured.

5G EN-DC Operation
Preambles per SSB per PRACH Occasion

In addition to allocating Group A and Group B preamble sets, the system can
configure the ssb-perRACH-OccasionAndCB-PreamblesPerSSB parameter.
This defines the number of SSB per RACH occasion, as well as the number of
contention based preambles per SSB. As illustrated in Figure 6-34, the total
number of preambles per SSB per PRACH occasion can then be calculated.
Number of SS/PBCH blocks associated with one PRACH

SSB-perRACH-Occasion
occasion.
“SSB-perRACH-Occasion” is smaller than one, one SS/PBCH

block is mapped to 1/“SSB-perRACH-Occasion” consecutive
PRACH occasions.
cb-preamblePerSSB Number of preambles per SS/PBCH block.
Total number of
preambles per SSB per
PRACH occasion
= cb-preamblePerSSB
x SSB-perRACH-Occasion
Figure 6-34 Preambles per SSB per PRACH Occasion
Note that If numberOfRA-PreamblesGroupA is equal to the number of

Random Access Preambles per SSB configured by ssb-perRACH-
OccasionAndCB-PreamblesPerSSB, there is no Random Access Preambles
Group B.
Group A
No Group B
=
Figure 6-35 No Group B
The Random Access Preambles in Random Access Preamble Group A are

the Random Access Preambles from 0 to numberOfRAPreamblesGroupA – 1
(if Random Access Preambles Group B is configured). Otherwise, the
Random Access Preambles in Random Access Preamble Group A are the
Random Access Preambles 0 to the number of Random Access Preambles
per SSB configured by ssb-perRACH-OccasionAndCBPreamblesPerSSB.
Group A Group B
0 numberOfRAPreamblesGroupA – 1
Group A
0 ssb-perRACH-OccasionAndCBPreamblesPerSSB
Figure 6-36 Group A Numbering

5G EN-DC Operation
The Random Access Preambles in Random Access Preamble Group B, if

existing, are the Random Access Preambles
numberOfRA-PreamblesGroupA to the number of Random Access Preamles
per SSB configured by ssb-perRACH-OccasionAndCB-PreamblesPerSSB.
Group A Group B
0 numberOfRAPreamblesGroupA
ssb-perRACH-OccasionAndCBPreamblesPerSSB
Figure 6-37 Group B Numbering
SS/PBCH block indexes are mapped to PRACH occasions in the following

order:
SS/PBCH block indexes are mapped to PRACH occasions

in the following order:
in increasing order of preamble indexes within a single PRACH

First
occasion.
in increasing order of frequency resource indexes for frequency

Second
multiplexed PRACH occasions.
in increasing order of time resource indexes for time multiplexed

Third
PRACH occasions within a PRACH slot.
Fourth in increasing order of indexes for PRACH slots.
Figure 6-38 SS/PBCH Index Mapping to PRACH Occasion
The period, starting from frame 0, for the mapping of SS/PBCH blocks to
PRACH occasions is the smallest of 1, 2 or 4 PRACH configuration periods
that is larger than or equal to ⌈NSSB SSB
Tx /NPRACH Period ⌉, where the UE obtains
NSSB SSB
Tx from higher layer parameter SSB-transmitted-SIB1 and NPRACH Period is
the number of SS/PBCH blocks that can be mapped to one PRACH
configuration period.
Random Access Response Window

Once the device has transmitted the selected preamble from the appropriate
group/set, it monitors the PDCCH for Random Access Response(s) identified
by the RA-RNTI (Random Access RNTI) in the RAR (Random Access
Response) window. This is illustrated in Figure 6-39.

5G EN-DC Operation
Window Start
1st symbol of the earliest CORESET RA
configured for Type1-PDCCH Response sl1, sl2, sl4, sl8, sl10,
common search space Window sl20, sl40, sl80
Slots
Preamble
Msg2 Msg3
Msg1
en-gNB Window start can’t be prior to a

calculated number of symbols.
UE (∆ · Nsubframe,µ
slot
slot
· Nsymb )/Tsf
Figure 6-39 Random Access Response Window
On receiving the preamble, the en-gNB sends a Random Access Response

on the DL-SCH. This is addressed to the RA-RNTI and scheduled on the
PDCCH (Physical Downlink Control Channel). It includes the RAPID (Random
Access Preamble Identifier) in a MAC subheader. This corresponds to the
preamble heard. The RAR payload is illustrated in Figure 6-40 and includes
TA (Timing Advance) information, initial UL grant and assignment of a
Temporary C-RNTI.
R/T/RAPID Subheader R/T/RAPID Subheader
E T RAPID E T RAPID MAC RAR
6bit Random Access
Preamble ID
MAC MAC MAC MAC Padding

subPDU1 subPDU2 subPDU3 subPDU3 (opt)
MAC RAR
R R R TA
E T R R BI
TA
R/T/R/R/BI Subheader
Backoff Indicator UL Grant
5 to 1920ms UL Grant
UL Grant
Type Field - RAPID or BI
Temporary C-RNTI
Temporary C-RNTI
Figure 6-40 Random Access Response Message
The UL grant contains 25bits of information, including:

 Frequency Hopping flag - 1bit.
 Msg3 PUSCH frequency resource allocation - 12bits.
 Msg3 PUSCH time resource allocation - 4bits.
 MCS (Modulation and Coding Scheme) - 4bits.
 TPC command for Msg3 PUSCH - 3bits.
 CSI request - 1bit.
Following the scheduled transmission, and since multiple devices may have
transmitted in the same opportunity with the same RAPID, MAC performs
contention resolution on the downlink. This includes a UE Contention
Resolution Identity being sent.

5G EN-DC Operation
RAR Timing Advance

The RAR includes a 12bit TA (Timing Advance) command, for a TAG (Timing
Advance Group), which indicates TA = 0, 1, 2, ..., 3846. Figure 6-41 illustrates
how the timing alignment is calculated based on the value in the RAR. It also
identifies the Timing advanced steps (in terms of duration), as well as the
timing calculation for other cases, which includes a +ve or -ve adjustment.
Timing Advance Steps 16 · 64 · Tc / 2µ
RAR Timing Alignment for TAG for the SCS 2µ · 15kHz

TA = 0, 1, 2...3846 NTA = TA · 16 · 64 / 2µ
Other Cases Timing Alignment for TAG for the SCS 2µ · 15kHz
TA = 0, 1, 2...63 NTA_New = TA_old + (TA -31) · 16 · 64 / 2µ
Figure 6-41 Timing Alignment
A Timing Advance Group containing the SpCell of a MAC entity is referred to

as PTAG (Primary Timing Advance Group), whereas the term STAG
(Secondary Timing Advance Group) refers to other TAGs.
Contention Free Random Access Procedure

It is also possible for the en-gNB to allocate CFRA (Contention Free Random
Access) opportunities, i.e. dedicated RACH configuration. Figure 6-42
illustrates an example of the process. This includes the en-gNB assigning a
C-RNTI, as well as dedicated RACH resources, including a ra-PreambleIndex.
This information will be passed via the eNB towards the device. Using the
RACH configuration parameters, the device can access using the allocated
preamble sequence. Assuming it is detected by the en-gNB, the successful
confirmation can be either a PDCCH addressed to the allocated C-RNTI, or
alternatively, a PDCCH based on the RA-RNTI which indicates a RAR
carrying the correct RAPID value.
MME S-GW
S1 -U
-M S1
ME
2
- ReconfigurationWithSync
RRC Reconfiguration
- C-RNTI “x”
Uu
eNB X2
- rach-ConfigDedicated
Uu 1 - ra-PreambleIndex
S1
-U “y”
3
en-gNB
UE
4
ra-PreambleIndex “y” PDCCH
(C-RNTI “x” or
RA-RNTI + RAPID “y”)
Figure 6-42 Contention Free Access
Figure 6-43 illustrates examples of the various parameters included. Note

that the resources can be indicated on the UL (Uplink) or SUL (Supplementary
Uplink).

5G EN-DC Operation
In addition, two resources methods are defined:

 SSB Resources- this provides a SSB Index and an occasion Mask.
 CSI-RS Resources - this identifies a CSI-RS index which will have
been configured in the Measurement Objects.
rrcReconfiguration cfra-Resources SSB
secondaryCellGroup ssb-ResourceList
cellGroupId ssb
spCellConfig ra-PreambleIndex
reconfigurationWithSync ra-ssb-OccasionMaskIndex
spCellConfigCommon
newUE-Identity
t304 rach-ConfigDedicated uplink
rach-ConfigDedicated uplink cfra-Resources csirs
csirs-ResourceList
csi-RS
ra-OccasionList
ra-PreambleIndex
Figure 6-43 Reconfiguration With Sync (Dedicated RACH Uplink)
The ra-ssb-OccasionMaskIndex defines in which PRACH occasion associated

with an SSB the MAC entity may transmit a Random Access Preamble (still
FFS in 3GPP TS 38.321 v15.1.0).
6.3.7 PSCell Split SRB

The PSCell Addition procedure can also configure Split SRB operation. If so,
the nested NR RRC Reconfiguration message would indicate which SRB’s
are configured.
nonCriticalExtension x7 Release Split SRB
nr-Config-r15 setup
rrcReconfiguration rrcConnectionReconfiguration
radioBearerConfig nonCriticalExtension x7
srb-ToAddModList nr-Config-r15 setup
srb-Identity 1 endc-ReleaseAndAdd-r15
pdcp-Config nr-SecondaryCellGroupConfig-r15
srb-Identity 2 rrcReconfiguration
pdcp-Config rrc-TransactionIdentifier
cellGroupId cellGroupId
rlc-BearerToAddModList rlc-BearerToReleaseList
logicalChannelIdentity 1, 1
servedRadioBearer srb-Identity : 1 2
logicalChannelIdentity 2,
servedRadioBearer srb-Identity : 2
Figure 6-44 Configuring Split SRB
Figure 6-44 illustrates an example whereby SRB1 and SRB2 are included in
the Secondary Cell Group Configuration, triggering Split SRB’s. It also shows
an example of the rlc-BearerToReleaseList parameter. This includes the
Logical Channel Identities that the MeNB is now releasing, i.e. no longer split
SRBs.

5G EN-DC Operation
6.3.8 PSCell Split DRB

There are various configuration options for an EN-DC EPS Bearer, as
illustrated in Figure 6-45. It is the responsibility of the MeNB to initially select
which configuration option to configure.

Figure 6-45 DRB Bearer Options
The MeNB is also able to change the configuration, e.g. changing from a
MCG Bearer to a MCG Split Bearer. Figure 6-46 illustrates this example with
the MeNB sending an E-UTRA RRC Connection Reconfiguration message
which contains two extensions for NR:
 nr-Config-r15 - this is a NR RRC Reconfiguration message.
 nr-RadioBearerConfig1-r15 - this is a NR Radio Bearer Configuration
parameter. This is sent from the en-gNB to the MeNB in the scg-RB-
Config parameter.
To enable MCG split bearer the DRB is added to the NR configuration. In
addition, the PDCP Configuration parameter “moreThanOneRLC“ indicates
the primary path using the Cell Group Identifier. This is set to 0 to indicate the
MCG and 1 to indicate the SCG.
nr-Config-r15 setup
rrcReconfiguration
MCG
drb-ToAddModList Split MCG
Bearer
cnAssociation eps-BearerIdentity : 6
drb-Identity 2
pdcp-Config
Cell Group ID
moreThanOneRLC
0 = MCG
primaryPath
1 = SCG
cellGroup 0
ul-DataSplitThreshold infinity
Figure 6-46 MCG DRB Bearer to Split DRB Bearer
If the MeNB decided to configure a SCG bearer, the DRB on the MCG is
released. In addition, the PDCP Configuration parameter does not include the
“moreThanOneRLC” parameter. This is illustrated in Figure 6-47

5G EN-DC Operation
radioResourceConfigDedicated
Removes DRB
drb-ToReleaseList
from MCG
2
nr-Config-r15 setup
rrcReconfiguration
MCG SCG
secondaryCellGroup
Bearer Bearer
cellGroupId 1
rlc-BearerToAddModList
logicalChannelIdentity 2,
servedRadioBearer drb-Identity : 2
drb-ToAddModList
cnAssociation eps-BearerIdentity : 6
drb-Identity 2
pdcp-Config
Figure 6-47 MCG DRB Bearer to SCG DRB Bearer
6.3.9 Secondary Node Release

The decision to release a secondary node is made by the MeNB. However,
the trigger is typically related to measurements from the device. As such, the
en-gNB will configure either periodic or event based measurements. As an
example of event based, the NR Event A2 triggers the device to send a
measurement report if the quantities (signal level, quality etc.) fall below a
specific threshold.
Note that Secondary Node Release can also be triggered by the en-gNB, e.g
uplink NR measurements.
en-gNB will also

monitor other
parameters and
the uplink
performance
SRB1 SRB3 related to the
SCG
en-gNB
eNB Event A2
Used for detecting if
SPCell becomes worse
than a threshold.
UE
Figure 6-48 NR Event A2
Ultimately, if a secondary node is to be released, any user plane traffic

handling responsibilities must be relinquished; all SCG and SCG Split Bearers
must be redirected towards the MeNB and the device must be informed that
the secondary node is no longer in use. Figure 6-49 outlines the procedure,
whereby the en-gNB is the initiating node. In this example the trigger was a
Measurement Report message received from the device, however other
triggers at the en-gNB may also occur, e.g. the uplink connection performance
to the en-gNB. Note that it is also possible for the MeNB to release the en-
gNB using a X2AP SgNB Release Request.

5G EN-DC Operation
S-GW
MeNB en-gNB MME
Measurement Report
SgNB Release Required
SgNB Release
Confirm
RRC Connection
Reconfiguration
Procedure
SN Status Transfer
Downlink Data
Forwarding Secondary RAT Data
Usage Report
Path Update Procedure
UE Context Release
Figure 6-49 EN-DC Release of Secondary Node (SCG Bearer or SCG Split Bearer)
In Figure 6-49, receiving a Measurement Report triggered the exchange of the

X2AP SgNB Release Required and subsequent Confirm messages. It is
possible that some of the EPS bearers are configured for SCG Bearer / SCG
Split Bearer operation and as such, the MeNB may request that data
forwarding takes place until the release procedure concludes and the data
path is updated. As such, the SgNB Release Confirm message may contain a
TEID for data forwarding.
Next, the MeNB will conduct the RRC Reconfiguration procedure with the
device, essentially to trigger the device into releasing the entire SCG
configuration that it currently has. An example of the release is illustrated in
Figure 6-50.
nr-Config-r15 release : NULL,
drb-ToReleaseList
2
Figure 6-50 Release SCG
If data forwarding is in operation, the en-gNB will provide the current PDCP
sequence numbers in the SN Status Transfer message in order to catalogue
what data has been sent and received. In addition, the en-gNB will also send
the Secondary RAT Data Usage Report which includes the data volumes
delivered to the UE over the NR leg of the radio interface.
The procedure concludes with the path update, ensuring that the S-GW is
sending all user plane traffic to the MeNB. The MeNB will also delete the UE
context from the en-gNB using the UE Context Release message.
Radio Link Failure

For the purpose of RLF (Radio Link Failure), the device physical layer
monitors the downlink radio link quality of the primary cell for indicating out-of-
sync / in-sync status indications to the higher layers. RLF is declared
separately for the MCG and for the SCG. As such, if radio link failure is
detected for MCG, the device initiates the RRC connection re-establishment

5G EN-DC Operation
procedure. However, on detecting a SCG failure, the device suspends SCG

transmissions for all radio bearers and reports the SCG Failure Information to
the eNB, instead of triggering re-establishment. SCG Failures include: SCG
RLF, SN change failure, SCG configuration failure (only for messages on
SRB3) or SCG RRC integrity check failure (on SRB3).
6.4.1 RLF Configuration

The device is configured with various parameters related to RLF on the SCG
SpCell (Special Cell). Figure 6-51 includes the key RLF configuration
parameters, which identify the timers and counters.
PCell PSCell
(SpCell) (SpCell)
nr-Config-r15 setup
eNB en-gNB rrcReconfiguration
spCellConfig
t310 rlf-TimersAndConstants setup
n310 rlmInSyncOutOfSyncThreshold
n311 spCellConfigDedicated
UE bwp-Dedicated
radioLinkMonitoringConfig setup
RLF, Beam Failure or Both failureDetectionResources
Figure 6-51 Radio Link Failure
The Radio Link Monitor Configuration indicates whether the device should be
monitoring based on the SSB or CSI-RS. In addition, the
failureDedectionResources parameter also includes a “purpose” parameter,
which can indicate: RLF, Beam Failure or both. Note that multiple instances of
the failureDedectionResources parameter can be included.
rrcConnectionReconfiguration purpose RLF

nonCriticalExtension x7 detectionResource
nr-Config-r15 setup csi-RS-Index : 0 RLF
endc-ReleaseAndAdd-r15 Beam Failure
nr-SecondaryCellGroupConfig-r15 Both
rrcReconfiguration purpose RLF
spCellConfig detectionResource
rlf-TimersAndConstants setup ssb-Index : 0
rlmInSyncOutOfSyncThreshold
Can include
bwp-Dedicated
multiple resources
failureDetectionResources
Figure 6-52 Radio Link Monitor Configuration
6.4.2 Out-of-Sync and In-Sync

Determination of Out-of-Sync and In-Sync is illustrated in Figure 6-53. The
measurements of the RS (Reference Signal) BLER (Block Error Rate) can be
configured for the SSB or CSI-RS. This example focuses on SSB based
monitoring. The evaluation time will vary depending on whether DRX is
configured, as well as the Frequency Range (FR1 or FR2).

5G EN-DC Operation
RS Out-of-Sync In-Sync
BLER
SSB BLERout = 10% BLERin = 2%
Time
TEvaluate_out_SSB [ms] TEvaluate_in_SSB [ms]
Non-DRX = max(200, 10*TSSB) ms Non-DRX = max(100, 10*TSSB) ms
Figure 6-53 Out-of-Sync and In-Sync
Upon receiving N310 consecutive "out-of-sync" indications for the PSCell from
lower layers the device starts timer t310. Assuming the device receives n311
In-Sync indication prior to the timer expiring, the t310 timer will stop. However,
if not, the timer expires and the device triggers a RLF.
Out-of-Sync In-Sync N311 In-Sync stops

t310 timer = no RLF
RLF Triggered
n311 Time
n310 (e.g. n3)
(e.g. n6)
t310
(e.g. 2000ms)
Figure 6-54 RLF Counter and Timers for SpCell
6.4.3 Failure Report

The device, on detecting Radio Link Failure on the SCG, sends a E-UTRA
scgFailureInformationNR message to the eNB. This message is from the set
of Class 2 messages added in LTE. Figure 6-55 illustrates the contents of the
scgFailureInformationNR message.
messageClassExtension PCell PSCell

c2 : scgFailureInformationNR-r15 (SpCell) (SpCell)
cgFailureInformationNR-r15
failureReportSCG-NR-r15
failureType-r15 t310-Expiry
X
measResultFreqListNR-r15
carrierFreq-r15
measResultSCG-r15
eNB en-gNB
failureType-r15
t310-Expiry
randomAccessProblem
rlc-MaxNumRetx
UE
scg-ChangeFailure
scg-reconfigFailure
srb3-IntegrityFailure
Figure 6-55 SCG Failure Information NR

5G EN-DC Operation
There are multiple scenarios in which this message is utilized and this is
highlighted in the different failure types:
 t310-Expiry.
 randomAccessProblem.
 rlc-MaxNumRetx.
 scg-ChangeFailure.
 scg-reconfigFailure.
 srb3-IntegrityFailure.
The device will suspend SCG transmission for all SRBs and DRBs, reset SCG
MAC, stop T304 (Reconfiguration with sync Failure), if running. It is the
responsibility of the Master eNB to decide what to do next. Note that the
scgFailureInformationNR message includes the measResultSCG-r15
parameter to assist the MeNB.
Beam Failure
The device may be configured with beam failure recovery. This is used for
indicating a new SSB or CSI-RS when beam failure is detected on the serving
SSB(s)/CSI-RS(s).
6.5.1 Beam Failure Parameters

Additional parameters are provided to the device to aid beam failure
detection, as well as beam failure recovery. The key parameters are illustrated
in Figure 6-56.
beamFailureInstanceMaxCount Used as part of beam failure detection.
beamFailureDetectionTimer Used as part of beam failure detection.
beamFailureCandidateBeamThreshold A RSRP threshold for the beam failure recovery.
preamblePowerRampingStep Used for beam failure recovery.
preambleReceivedTargetPower Used for beam failure recovery.
preambleTxMax Used for beam failure recovery.
Beam failure recovery using contention free Random

ra-ResponseWindow
Access Preamble.
Figure 6-56 Key Beam Failure Detection and Recovery Parameters
6.5.2 Beam Failure Detection

Beam failure is detected by counting beam failure instance indications from
the lower layers to the MAC entity. Figure 6-57 illustrates the beam failure
detection process. Initially, the BFI (Beam Failure Instance) is set to 0. On
detection of a failure, the counter is incremented by 1 and the beam failure
detection timer started. Each beam failure increments the count. If the count
reaches the beamFailureInstanceMaxCount + 1 the random access
procedure is initialized. The beamFailureInstanceMaxCount range is 1 to 10.

5G EN-DC Operation
BFI_COUNTER = 0
BFI_COUNTER =
beamFailureInstanceMaxCount + 1
Beam
Failure
Random Access
Procedure Initiated
1 2 3 4
Time
Increment
BFI_COUNTER beamFailureDetectionTimer BFI_COUNTER = 0
by 1
Figure 6-57 Beam Failure Detection
It the beamFailureDetectionTimer expires, the BFI_Counter is reset to 0. The

beamFailureDetectionTimer duration is in pbfd (Periods of Beam Failure
Detection), ranging from 1 to 10.
Figure 6-58 illustrates the parameters used for configuring beam failure radio
link monitoring.
failureDetectionResources
nr-Config-r15 setup
purpose beamFailure
detectionResource ssb-Index : 0
beamFailureInstanceMaxCount
rrcReconfiguration
beamFailureDetectionTimer
secondaryCellGroup
spCellConfig
initialDownlinkBWP
uplinkConfig
initialUplinkBWP
beamFailureRecoveryConfig setup
Figure 6-58 Beam Detection Failure Parameters
6.5.3 Beam Failure Recovery

The recovery after beam failure involves the device performing a random
access procedure utilizing specific beam failure recovery parameters. These
are very similar to the standard configuration parameters, however point to a
specific PRACH, sequences and control set.
Figure 6-59 illustrates the location of the beamFailureRecoveryConfig
parameter, as well as the specific parameters it contains. One parameter,
identified as candidateBeamThreshold is used to provide a RSRP threshold
so candidates to be considered.

5G EN-DC Operation
rrcConnectionReconfiguration beamFailureRecoveryConfig setup

nonCriticalExtension x7 rootSequenceIndex-BFR
nr-Config-r15 setup rach-ConfigBFR
endc-ReleaseAndAdd-r15 prach-ConfigurationIndex
nr-SecondaryCellGroupConfig-r15 msg1-FDM
rrcReconfiguration msg1-FrequencyStart
secondaryCellGroup zeroCorrelationZoneConfig
spCellConfig preambleReceivedTargetPower
spCellConfigDedicated preambleTransMax
initialDownlinkBWP powerRampingStep
radioLinkMonitoringConfig setup ra-ResponseWindow
uplinkConfig candidateBeamThreshold
initialUplinkBWP candidateBeamRSList
beamFailureRecoveryConfig setup ssb
ssb
ra-PreambleIndex
ra-ssb-OccasionMaskIndex
recoveryControlResourceSetId
recoverySearchSpaceId
Figure 6-59 Beam Failure Recovery Parameters
A successful random access procedure implies the beam failure recovery

procedure was successful.
Power Control
NR, like all other cellular radio systems, requires power control. This is
typically to assist in:
 Maintaining connectivity - as the device moves away from the cell,
power needs to be increased to maintain the link.
 Minimizing interference - ensuring devices and the network don’t cause
additional interference to the surrounding cells.
 Increasing throughput - higher power levels result in a better quality
connection; as such, a higher order MCS (Modulation and Coding
Scheme) can be utilized.
6.6.1 Downlink Power Allocation

The en-gNB defines downlink power control and determines the EPRE
(Energy Per Resource Element). The device assumes downlink EPRE is
constant across the downlink bandwidth. However, different aspects of the NR
air interface have different offsets and ratios.
SS/PBCH SSS Downlink DMRS

CSI-RS EPRE
EPRE EPRE
Ratio for PDSCH Ratio for PDSCH

EPRE to DM-RS EPRE to PT-RS PDCCH EPRE
EPRE EPRE
Figure 6-60 Downlink Power Allocation
SS/PBCH SSS EPRE

The downlink SS/PBCH SSS EPRE can be derived from the SS/PBCH
downlink transmit power given by the parameter SS-PBCH-BlockPower
provided by higher layers in the ServingCellConfigCommon parameter. The
downlink SSS transmit power is defined as the linear average over the power

5G EN-DC Operation
contributions (in Watts) of all resource elements that carry the SSS within the
operating system bandwidth.
CSI-RS EPRE
The downlink CSI-RS EPRE can be derived from the SS/PBCH block
downlink transmit power given by the parameter SS-PBCH-BlockPower and
CSI-RS power offset given by the parameter Pc_SS provided by higher layers
(NZP-CSI-RS-Resource).
Downlink DMRS EPRE
For downlink DM-RS associated with PDSCH, the device assumes the ratio of
PDSCH EPRE to DM-RS EPRE.
PTRS EPRE
The PTRS associated with the PDSCH, various configuration options define
the ratio of PDSCH EPRE to PTRS EPRE per layer and relate to the port.
PDCCH EPRE
The downlink PDCCH EPRE is assumed as the ratio of the PDCCH EPRE to
NZP CSI-RS EPRE and takes the value of 0 dB.
6.6.2 Uplink Power Control

There are multiple scenarios for uplink power control. These are summarized
in Figure 6-61 and include power control for the PUSCH (Physical Uplink
Shared Channel), PUCCH (Physical Uplink Control Channel), SRS (Sounding
Reference Signals), PRACH (Physical Random Access Channel) and Dual
Connectivity.
PUSCH PUCCH SRS
PRACH Dual Connectivity Power Headroom
Figure 6-61 Uplink Power Control
Devices utilizing the PUSCH will also be configured to provide PH (Power

Headroom) reports.
PUSCH Power
On the PUSCH, using a UL BWP “b” of carrier “f” of serving cell “c” using
parameter set configuration with index “j” and PUSCH power control
adjustment state with index “l”, the device determines the PUSCH
transmission power PPUSCH,f,c (i, j, qd, l) in PUSCH transmission period “i”, as

5G EN-DC Operation
Configured Max Path Loss Provides a TPC

Power Mechanism
PCMAX,f,c(i),
PPUSCH,f,c (i,j,qd,l) = min
PO_PUSCH,f,c(j) + 10log10 (2µ ∙ MRB,f,c
PUSCH
(i)) + αf,c( j) ∙ PLf,c (qd) + ∆TF,f,c (i) + ff,c (i,l)
Mixture of UE Bandwidth of Transport

Weighting
and Cell Specific PUSCH #RBs Formatting
Parameters
Figure 6-62 PUSCH Power Control
PUCCH Power
Figure 6-63 summarizes the UE power calculation whilst on the PUCCH
(Physical Uplink Control Channel). Although similar to the PUSCH equation,
the key differences include a PUCCH frame format offset, no weighting on the
PL (Pathloss) and separate specifics parameters include TPC (Transmit
Power Control).
Provides a TPC
Mechanism
PPUCCH,f,c (i,qu,qd,l) =
PCMAX,f,c(i),
min PUCCH
PO_PUSCH,b,f,c(qu) + 10log10 (2µ ∙ MRB,b,f,c (i)) + PLb,f,c (qd) + ∆F_PUCCH (F) + ∆TF,b,f,c (i) + gb,f,c (i,l)
Frame format delta power

offset (High Layer)
Figure 6-63 PUCCH Power Control
PRACH Power
Figure 6-64 summarizes the UE power calculation whilst on the PRACH
(Physical Random Access Channel).
PPRACH,b,f,c (i) = min PCMAX,f,c(i), PPRACH, target,f,c + PLb,f,c
Preamble Format preambleReceivedTargetPower

offset +
DELTA_PREAMBLE
+
(PREAMBLE_POWER_RAMPING_COUNTER – 1) × preamblePowerRampingStep
Figure 6-64 PRACH Power Control
Sounding Reference Signal Power

The SRS (Sounding RS) power equation is like the PUSCH’s equation, in that
it includes a weighting on the pathloss parameter. The major difference is it
includes SRS specific parameters (configured by RRC).
Dual Connectivity
When EN-DC is configured the device is configured a maximum power PLTE
for transmissions on the MCG by higher layer parameter P-LTE and a

5G EN-DC Operation
maximum power PNR for transmissions on the SCG by higher layer parameter
P-NR (part of the CellGroupConfig parameter).
Dynamic Power Sharing
Indicates whether the UE supports dynamic EN-DC power sharing or not. If
the UE supports this capability it will dynamically share the power between
NR and LTE if P_LTE + P_NR > Pcmax.
EN-DC Operation
PLTE PNR
Support Dynamic Power Sharing?
Dynamically share the power between

NR and LTE if P_LTE + P_NR > Pcmax.
Figure 6-65 EN-DC Dynamic Power Sharing
Note various other configurations not supporting Dynamic Power Sharing are
also available, mostly related to TDD configurations and TDM patterns.
Power Headroom Reporting

The Power Headroom reporting procedure provides the network with
information about the difference between the nominal device maximum
transmit power and the estimated power for transmission. This is mostly
utilized by the MAC scheduling process, which defines various Power
Headroom Report types.
Devices
Maximum Power Device’s resource
Power Headroom allocation changed,
MCS Changed,
Path-loss changed etc
Current
Uplink
Power
Figure 6-66 Power Headroom Reporting

5G EN-DC Operation

5G Scheduling
5G Scheduling
NR Scheduling...................................................................................................... 7-2
7.1.1 Downlink Control Information .................................................................. 7-2
7.1.2 Search Space.......................................................................................... 7-3
7.1.3 Aggregation Levels.................................................................................. 7-4
7.1.4 Resource Allocation Type........................................................................ 7-5
7.1.5 Allocation Type 0 ..................................................................................... 7-5
7.1.6 Allocation Type 1 ..................................................................................... 7-6
7.1.7 Dynamic Switch ....................................................................................... 7-6
7.1.8 PDSCH and PUSCH Scheduling ............................................................ 7-7
7.1.9 Downlink Resource Allocation ................................................................. 7-7
7.1.10 PDSCH Time Domain Resource Allocation .......................................... 7-8
7.1.11 Table 1 and Table 2 PDSCH/PUSCH MCS ......................................... 7-10
7.1.12 Transport Block Size ........................................................................... 7-11
Uplink Resource Allocation................................................................................. 7-12
7.2.1 PUSCH Time Domain Resource Allocation .......................................... 7-13
7.2.2 PUSCH MCS Index ............................................................................... 7-14
Configured Scheduling ....................................................................................... 7-14
7.3.1 Downlink ................................................................................................ 7-14
7.3.2 Uplink .................................................................................................... 7-15
Feedback ............................................................................................................ 7-16
7.4.1 Buffer Status Report.............................................................................. 7-17
7.4.2 Power Headroom Reporting ................................................................. 7-18
7.4.3 HARQ-ACK ........................................................................................... 7-19
7.4.4 Scheduling Request .............................................................................. 7-20
7.4.5 Channel State Information .................................................................... 7-20
7.4.6 Channel Quality Indicator ...................................................................... 7-21
EN-DC Resource Coordination .......................................................................... 7-22
7.5.1 Resource Coordination Signalling......................................................... 7-22
7.5.2 Coordination Resource Bitmap ............................................................. 7-22

5G Scheduling
NR Scheduling
The en-gNB includes a scheduler at the MAC layer, which utilizes various
services from the Physical Layer. It schedules resources for a device based
on a variety of factors, some of which are illustrated in Figure 7-1. In so doing,
it will inform a device of any resources allocated, both in the uplink and
downlink.
SR BSR (Buffer
(Scheduling Status Report) PHR (Power
Network Requests) UL Head Room)
Configuration
UL
Measurements
QoS
en-gNB Scheduler (UE and
Requirements
Network)
Resource
Allocation
Figure 7-1 en-gNB Scheduling
Note: Even though the procedures and mechanisms for scheduling devices
are standardized, the actual decision on which device is scheduled, as well as
the amount of resources to allocate, is vendor specific.
7.1.1 Downlink Control Information

The uplink and downlink resource scheduling is through a combination of
RRC configuration and DCI (Downlink Control Information). The DCI is carried
in the PDCCH (Physical Downlink Control Channel), specifically in a
CORESET (Control Resource Set).
en-gNB Scheduler
DCI (Downlink Control

Information)
Downlink Uplink
Resource Resource
Allocation Allocation
Figure 7-2 Downlink Control Information
There are eight NR DCI formats, as illustrated in Figure 7-3. These are used
to schedule resources for the PDSCH (Physical Downlink Shared Channel)
and the PUSCH (Physical Uplink Shared Channel), as well as provide
configuration changes related to:
 Slot Format.
 Interruptions, i.e. indicated to a device or group of devices that the
resource is now not allocated to them (after previously indicating it
was).
 PUSCH and PUCCH TPC (Transmit Power Control).

5G Scheduling
 SRS (Sounding RS) TPC.

DCI formats use a RNTI (Radio Network Temporary Identifier) to indicate
which device, or devices, the DCI is intended for. Note that the RNTI is not
included as part of the DCI message; instead the RNTI is used to scramble
the CRC (Cyclic Redundancy Check) parity bits. The device then performs
blind detection of the PDCCH, i.e. the device checks all PDCCH’s in a specific
search area using the RNTI’s it has been allocated (or system RNTI’s). As
such, when a device de-scrambles the CRC portion, it can be verified. Thus,
indicating that both the DCI has no errors and that the DCI is for this device.
An error in CRC indicates either an error in the payload, or the DCI is not for
this device.
DCI Format Usage RNTI

C-RNTI, TC-RNTI or
Format 0_0 Scheduling of PUSCH in one cell
CS-RNTI
C-RNTI, CS-RNTI or
Format 0_1 Scheduling of PUSCH in one cell
SP-CSI-RNTI
C-RNTI, P-RNTI, SI-RNTI,
Format 1_0 Scheduling of PDSCH in one cell
RA-RNTI, TC-RNTI or CS-RNTI
Format 1_1 Scheduling of PDSCH in one cell C-RNTI or CS-RNTI
Format 2_0 Notifying a group of the slot format SFI-RNTI

Notifying a group about PRB(s) and OFDM
Format 2_1 INT-RNTI
symbol(s) with no transmission
Transmission of TPC commands for
Format 2_2 TPC-PUSCH-RNTI
PUCCH and PUSCH
Transmission of a group of TPC commands
Format 2_3 TPC-SRS-RNTI
for SRS transmissions by one or more UEs
Figure 7-3 NR DCI Formats
7.1.2 Search Space

A set of PDCCH candidates for a device to monitor is defined in terms of
PDCCH search spaces. There are two categories of search space, namely
common search space or UE-specific search space. In addition, various
PDCCH search space types also exist, as illustrated in Figure 7-4. Note that
for EN-DC operation not all types are utilized. For example, since no SI (other
than the PBCH) or paging messages are required on the PSCell, the device
won’t be configured to look for Type0, Type0A or Type2.
Search
Type RNTI
Space
Type0-PDCCH Common SI-RNTI on a Primary Cell
Type0A-PDCCH Common SI-RNTI on a Primary Cell
RA-RNTI, TC-RNTI,
Type1-PDCCH Common
or C-RNTI on a Primary Cell
Type2-PDCCH Common P-RNTI on a INT-RNTI,

C-RNTI, CS-RNTI(s), primary cellSFI-RNIT,
INT-RNTI, SFI-RNTI, TPC-PUSCH-RNTI, TPC-PUCCH-RNTI,

UE-Specific
Common >2
TPC-SRS-RNTI, C-RNTI, CS-RNTI(s) or SP-CSI-RNTI
Type3-PDCCH
UE-Specific C-RNTI, CS-RNTI(s) or SP-CSI-RNTI
Figure 7-4 NR PDCCH Search Space

5G Scheduling
7.1.3 Aggregation Levels

The search spaces consist of CCE (Control Channel Elements) which can
have different aggregation levels. The purpose of the aggregation levels is to
enable the en-gNB to provide more error protection.
Aggregation Levels
Higher Aggregation Levels = Increased Error Protection
Figure 7-5 PDCCH Aggregation Levels
The common search space(s) and UE-specific search space(s) are configured
separately by higher layers (RRC). For common search spaces, typically
aggregation levels 4, 8 and 16 are defined. In contrast, for the UE-specific
search space the aggregation levels 1, 2, 4, 8 or 16 are used, as illustrated in
Figure 7-6.
Aggregation Level
16 - CCE
8 - CCE
4 - CCE
2 - CCE
1 - CCE
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
CCE
Figure 7-6 Aggregation Levels
Figure 7-5 illustrates an example of the aggregation levels, including few blind
detection examples. In so doing, it shows that the device knows at which point
different aggregation levels need to be blindly detected.
Blind Blind Blind

Aggregation Detection Detection Detection
Level 1, 2 and 4 1 1, 2, 4 and 8
1 - CCE 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
2 - CCE 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
4 - CCE 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
8 - CCE 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
16 - CCE 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
Figure 7-7 UE Specific Search Spaces

5G Scheduling
7.1.4 Resource Allocation Type

The NR Resource Allocation Type defines the resource allocation method in
the frequency domain. There are two types defined, namely Type 0 and Type
1. Type 0 is effectively a bitmap, whereas Type 1 uses a RIV (Resource
Indication Value) to specify a starting RB, as well as a number of consecutive
resource blocks. In addition, the system also enables the device to use
Dynamic Switching, i.e. the DCI will indicate which to use.
Resource Allocation Type
Dynamic
Type 0 Type 1
Switch
Start RB and
Bitmap
Number of RB
Figure 7-8 NR Resource Allocation Type
7.1.5 Allocation Type 0

This allocation type effectively relies on bundling a number of consecutive
Resource Blocks into a RBG (Resource Block Group). As such, the PDSCH
and PUSCH are then assigned resources in multiples of RBG.
It is worth nothing that the amount of RB’s per RBS varies depending on the
BWP (Bandwidth Part) size and Configuration. Figure 7-9 illustrates RBG size
“P”. Since the BWP may not always be a multiple of the RBG size, there is a
calculation to determine the size of the first RBG and the last RBG, i.e. it can
be different from “P”. Also, since the allocation is a bitmap, consecutive
resources don’t need to be allocated.
Bandwidth Part Configuration 1 Configuration 2
Size (RBG size P) (RBG size P)
1-36 2 4
37-72 4 8
73-144 8 16
145-275 16 16
Figure 7-9 Allocation Type 0 - RBG size P
An example of the Type 0 resource allocation bitmap is illustrated in the

Mpirical LearningZone.

5G Scheduling
Figure 7-10 Resource Allocation (Type 0)
In terms of configuring the device, the Resource Allocation Type is part of the
pdsch-config parameter which will be included as part of the downlink BWP
configuration.
rrcReconfiguration
secondaryCellGroup
cellGroupId
spCellConfig
spCellConfigDedicated resourceAllocationType0
downlinkBWP-ToAddModList resourceAllocationType1
bwp-Id dynamicSwitch
bwp-Dedicated
pdsch-Config setup
resourceAllocation config1
pdsch-AllocationList config2
k0
mappingType
startSymbolAndLength qam64
rbg-Size qam256
mcs-Table
prb-BundlingType
Figure 7-11 PDSCH Resource Allocation Configuration
7.1.6 Allocation Type 1

Resource Allocation Type 1 enables one or more consecutive RB’s to be
allocated. This is achieved by providing a RIV (Resource Indication Value)
which indicates:
 RBstart - this indicates the start of the allocation.
 LRBs - this is the Length, i.e. the number of consecutive RB’s within a
BWP.
The RIV is calculated based on the equations in Figure 7-12.
If (LRBs – 1) ≤ NBWP / 2 then

size
size
RIV = NBWP (LRBs – 1) + RBstart
else
size size size
RIV = NBWP (NBWP – LRBs + 1) + (NBWP – 1 – RBstart)
Figure 7-12 Allocation Type 1
7.1.7 Dynamic Switch

If Dynamic Switching of resource allocation is configured, the MSB (Most
Significant Bit) of the DCI Frequency Domain Resource Assignment is used to
indicate either Resource Allocation Type 0 or Resource Allocation Type 1.

5G Scheduling
en-gNB
Resource Allocation
Type 0 DCI Frequency Domain
Type 1 Resource Assignment
Dynamic Switch RRC Reconfiguration MSB 0 = Type 0
MSB 1 = Type 1
DCI (PDCCH)
C-RNTI
Figure 7-13 Dynamic Switch Resource Assignment
7.1.8 PDSCH and PUSCH Scheduling

The scheduling of the PDSCH and PUSCH relies on the device correctly
decoding the DCI and identifying a DCI Format, e.g. Format 1_1 for the
PDSCH and Format 0_1 for the PUSCH. Prior to this allocation, the device
will have received the NR RRC Reconfiguration message which would have
identified key aspects related to one of the BWP on the SpCell.
Figure 7-14 illustrates the scheduling of resources for the uplink and the
downlink. Note, this is referred to as “dynamic allocation”, since the device
receives a DCI, which then triggers downlink or uplink resources.
Downlink en-gNB Uplink en-gNB
DCI (PDCCH) DCI (PDCCH)

C-RNTI C-RNTI
PDSCH PUSCH

C-RNTI C-RNTI
PDSCH PUSCH
DCI (PDCCH)
C-RNTI
PDSCH DCI (PDCCH)
C-RNTI
PUSCH
Figure 7-14 Basic PDSCH and PUSCH Scheduling
7.1.9 Downlink Resource Allocation

In the downlink, the en-gNB can dynamically allocate resources to devices via
the C-RNTI on PDCCH(s). As such, a device always monitors the PDCCH(s)
in order to find possible assignments when its downlink reception is enabled.
If CA (Carrier Aggregation) is configured, the same C-RNTI applies to all
serving cells.
The downlink resources are allocated using either the DCI Format 1_0 or
Format 1_1, with Format 1_0 having less capability / flexibility. As such,
Format 1_0 is used by the system to allocate resources for the RAR (Random
Access Response) and “Msg 4”.
To enable a device to utilize Format 1_1, many configuration parameters must
first be provided to the device. These are typically included as part of the NR
RRC Reconfiguration message, which may have been encapsulated over E-
UTRA RRC (SRB1) or alternatively, passed over SRB3 (if configured).

5G Scheduling
Included in the DCI Format 1_1 are various parameters related to the
feedback expected from the device, i.e. the UCI (Uplink Control Information) it
should send, as well as when it should send it.
Configuring BWP en-gNB

and DL/UL
Channels
RRC Reconfiguration DCI Format 1_1
DCI (PDCCH)
C-RNTI
Uplink Channel PDSCH
Information
UCI
Figure 7-15 DCI Format 1_1
The Mpirical LearningZone includes parameter listings for various DCI

Formats, include Format 1_1. These are also listed in Figure 7-16. However,
the detail of each parameter can be found in 3GPP TS 38.212.
Parameter Bits
Carrier Indicator 0,3
Identifier for DCI Formats 1
Bandwidth Part Indicator 0,1,2
Frequency Domain Resource Assignment Variable
Time Domain Resource Assignment 0,1,2,3,4
VRB-to-PRB Mapping 0,1
PRB Bundling Size Indicator 0,1
Rate Matching Indicator 0,1,2
Modulation and Coding Scheme (TB1) 5
New Data Indicator (TB1) 1
Redundancy Version (TB1) 2
Modulation and Coding Scheme (TB2) 5
New Data Indicator (TB2) 1
Redundancy Version (TB2) 2
HARQ Process Number 4
Downlink Assignment Index 0,2,4
TPC Command for Scheduled PUCCH 2
PUCCH Resource Indicator 3
PDSCH-to-HARQ_Feedback Timing Indicator 3
Antenna Port(s) and Number of Layers 4,5,6
Transmission Configuration Indication 0,3
CSI Request 2
CBG Transmission Information 0,2,4,6,8
CBG Flushing Out Information 0,1
DMRS Sequence Initialization 1
Figure 7-16 DCI Format 1_1 Parameters
7.1.10 PDSCH Time Domain Resource Allocation

In addition to allocating resources in the frequency domain, based on Type 0
(RIV) or Type 1 (Bitmap) resource allocation, the device needs to be informed
about the time domain. For Format 1_1, this is either 0, 1, 2, 3, or 4 bits. The
size depends on the number of entries in the higher layer parameter pdsch-
AllocationList, i.e. the parameter needs to be large enough to indicate which
configuration is being used for this allocation.

5G Scheduling
Figure 7-17 illustrates an example of a NR RRC Reconfiguration message

configuring 3 sets (l) of Time Domain Resource Allocation parameters. The
number of bits required in the DCI Format 1_1 Time Domain Resource
Allocation field would be calculated as log2 (l).
rrcReconfiguration {
secondaryCellGroup mappingType
cellGroupId startSymbolAndLength
spCellConfig },
spCellConfigDedicated {
downlinkBWP-ToAddModList k0
bwp-Id mappingType,
bwp-Dedicated startSymbolAndLength
pdsch-Config setup },
vrb-ToPRB-Interleaver {
resourceAllocation k0
pdsch-AllocationList 3 mappingType
rbg-Size startSymbolAndLength
mcs-Table }
prb-BundlingType
Example with 3 options
(device expecting 2bits in DCI)
Figure 7-17 Configuring Time Domain Resource Allocation
The K0 parameter forms part of an equation to define the slot. If not present,
K0 = 0. In addition, as illustrated in Figure 7-18, the ratio of numerology
between the PDSCH and PDCCH is also a factor.
Once the starting slot has been identified (it could be the same slot as the
PDCCH), the device then calculates the resource allocation using the SLIV
(Start and Length Indicator Value).
Slot n
DCI
Length
2µPDSCH
n· + K0
2µPDCCH Start SLIV
Symbol
PDSCH-TimeDomainResourceAllocation
Figure 7-18 PDSCH Time Domain Resource Allocation
The SLIV equation for the downlink is illustrated in Figure 7-19. Note that
there are two equations to calculate SLIV; the choice depends on the size of L
(Length) being allocated.
(L - 1) ≤ 7 SLIV = 14 · (L - 1) + S
0 < L ≤ 14 - S
(L - 1) > 7 SLIV = 14 · (14 - L + 1) + (14 - 1 - S)
PDSCH Normal CP Extended CP

Mapping
Type S L S+L S L S+L
Type A {0,1,2,3} {3,…,14} {3,…,14} {0,1,2,3} {3,…,12} {3,…,12}
Type B {0,…,12} {2,4,7} {2,…,14} {0,…,10} {2,4,6} {2,…,12}
Figure 7-19 PDSCH Start and Length Indicator

5G Scheduling
To better visualize the SLIV values the Mpirical LearningZone includes a SLIV
table which identifies all the permutations, as well as specifying if it is
applicable to Mapping Type A or B.
Figure 7-20 SLIV Table
7.1.11 Table 1 and Table 2 PDSCH/PUSCH MCS

In addition to allocating the frequency and time domain, the device also needs
to be informed about the MCS (Modulation and Coding Scheme). As such, the
5bit MCS parameter in the DCI maps to a IMCS (MCS Index)
Downlink
Modulation and Coding Scheme
IMCS
Table 1 Table 2
(64QAM) (256QAM)
Figure 7-21 MCS for PDSCH
Figure 7-22 illustrates an extract from MCS Table 1 for the PDSCH. The full
table is available in 3GPP TS 38.214. Notice that the IMCS value relates to a
Qm (Modulation Order), which is either 2 (QPSK), 4 (16QAM) or 6 (64QAM).
IMCS Modulation Order (Qm) Target code Rate R x [1024] Spectral Efficiency
0 2 120 0.2344
1 2 157 0.3066
2 2 193 0.3770
3 2 251 0.4902
4 2 308 0.6016
5 2 379 0.7402
27 6 910 5.3320
28 6 948 5.5547
29 2 Reserved
30 4 Reserved
31 6 Reserved
Figure 7-22 Extract from MCS Table 1 (Max 64QAM)
Figure 7-23 illustrates an extract from MCS Table 2 for the PDSCH, which can
indicate Qm=8. This relates to 256QAM.

5G Scheduling
IMCS Modulation Order (Qm) Target code Rate R x [1024] Spectral Efficiency
0 2 120 0.2344
1 2 193 0.3770
2 2 308 0.6016
3 2 449 0.8770
4 2 602 1.1758
5 4 378 1.4766
27 8 948 7.4063
28 2 Reserved
29 4 Reserved
30 6 Reserved
31 8 Reserved
Figure 7-23 Extract from MCS Table 2 (Max 256QAM)
7.1.12 Transport Block Size

The TBS (Transport Block Size) determination in NR is quite complicated. In
summary, the device first calculates Ninfo (Intermediate Number of Information
Bits). This is summarized in Figure 7-24. Once calculated, if Ninfo ≤ 3824, the
TBS table is utilized (with a small calculation). However, if Ninfo is greater than
3824 an equation is utilized to determine the TBS size.
Calculation in 3GPP TS 38.214

TBS Size “5.1.3.2 Transport Block Size
Determination”
Ninfo ≤ 3824 ? Ninfo = NRE * R * Qm * ν
Yes No Where :
NRE = Total Number of Resource Elements
Based on TBS Based on R = Code Rate
Table Equation Qm = Modulation Order
ν = Number of Layers
Figure 7-24 TBS Size Calculation
The Mpirical LearningZone includes the TBS table for Ninfo ≤ 3824.
Figure 7-25 TBS (Ninfo ≤ 3824)

5G Scheduling
Uplink Resource Allocation

The en-gNB, using a combination of RRC signalling and DCI messages, can
allocate uplink resources to a device. Like the downlink, there are two main
DCI formats, namely Format 0_0 and Format 0_1. It is the latter which
provides the greater flexibility, as well as more detail.
Configuring BWP en-gNB

and DL/UL
Channels
RRC Reconfiguration DCI Format 0_1
DCI (PDCCH)
C-RNTI
PUSCH
Figure 7-26 Uplink Resource Allocation (Format 0_1)
The Mpirical LearningZone includes parameter listings for various DCI

Formats, include Format 0_1. These are also listed in Figure 7-27. However,
the detail of each parameter can be found in 3GPP TS 38.212.
Parameter Bits
Carrier Indicator 0,3
UL/SUL Indicator 0,1
Identifier for DCI Formats 1
Bandwidth Part Indicator 0,1,2
Frequency Domain Resource Assignment Variable
Time Domain Resource Assignment 0,1,2,3,4
VRB-to-PRB Mapping 0,1
Frequency Hopping Flag 0,1
Modulation and Coding Scheme 5
New Data Indicator 1
Redundancy Version 2
HARQ Process Number 4
1st Downlink Assignment Index 1,2
2nd Downlink Assignment Index 0,2
TPC Command for Scheduled PUSCH 2
SRS Resource Indicator Variable
Precoding Information and Number of Layers 0,1,2,3,4,5,6
Antenna Ports 2,3,4,5
SRS Request 2
CSI Request 0,1,2,3,4,5,6
CBG Transmission Information 0,2,4,6,8
PTRS - DMRS Association 0,2
beta_offset Indicator 0,2
DMRS Sequence Initialization 0,1
Figure 7-27 DCI Format 0_1 Parameters
In terms of the detail, it is worth noting that the NR RRC Reconfiguration

message will have configured many PUSCH and PUCCH parameters. These
are highlighted in Figure 7-28.

5G Scheduling
rrcReconfiguration rrcReconfiguration
cellGroupId cellGroupId
spCellConfig spCellConfig
spCellConfigDedicated spCellConfigDedicated
uplinkConfig uplinkConfig
initialUplinkBWP initialUplinkBWP
pusch-Config setup pucch-Config setup
txConfig codebook, resourceSetToAddModList
dmrs-UplinkForPUSCH-MappingTypeA setup resourceToAddModList
dmrs-UplinkForPUSCH-MappingTypeB setup format1
pusch-PowerControl format2
frequencyHopping format3
frequencyHoppingOffsetLists format4
resourceAllocation schedulingRequestResourceToAddModList
pusch-AllocationList multi-CSI-PUCCH-ResourceList
mcs-Table dl-DataToUL-ACK
codebookSubset
maxRank
rbg-Size
Figure 7-28 Example PUSCH and PUCCH Parameters
7.2.1 PUSCH Time Domain Resource Allocation

Like the PDSCH, the PUSCH has a time domain resource allocation
mechanism. This is illustrated in Figure 7-29.
Slot n
DCI
Length
2µPUSCH
n· + K2
2µPUCCH Start SLIV
Symbol
pusch-AllocationList
k2 PUSCH-TimeDomainResourceAllocation
mappingType
startSymbolAndLength
k2
mappingType
startSymbolAndLength
List = Multiple Allowed e.g. 2
Figure 7-29 PUSCH Time Domain Resource Allocation
The SLIV equation for the uplink is illustrated in Figure 7-30. Note, like the
downlink SLIV, there are two equations to calculate SLIV; the choice depends
on the size of L (Length).
(L - 1) ≤ 7 SLIV = 14 · (L - 1) + S
0 < L ≤ 14 - S
(L - 1) > 7 SLIV = 14 · (14 - L + 1) + (14 - 1 - S)
PUSCH Normal CP Extended CP

Mapping
Type S L S+L S L S+L
Type A 0 {4,…,14} {4,…,14} 0 {4,…,12} {4,…,12}
Type B {0,…,13} {0,…,14} {1,…,14} {0,…,12} {1,…,12} {1,…,12}
Figure 7-30 PUSCH Start and Length Indicator

5G Scheduling
7.2.2 PUSCH MCS Index

The MCS Index for the PUSCH can utilize the same tables as defined for the
PDSCH (see Figure 7-22 and Figure 7-23). However, if transform precoding is
activated there is a specific MCS index table.
Uplink
Modulation and Coding Scheme
IMCS
Transform
Table 1 Table 2
Precoding
(64QAM) (256QAM)
(64QAM)
Figure 7-31 PUSCH MCS Index Tables
Configured Scheduling
7.3.1 Downlink
For the downlink, this is termed SPS (Semi-Persistent Scheduling) and is
configured by NR RRC per Serving Cell and per BWP.
The gNB can allocate downlink resources for the initial transmissions to
device. RRC defines the periodicity of the configured downlink assignments
while PDCCH addresses a CS-RNTI (Configured Scheduling RNTI). This can
either signal and activate the configured downlink assignment, or deactivate it.
For example, a PDCCH addressed to CS-RNTI indicates that the downlink
assignment can be implicitly reused according to the periodicity defined by
RRC, until deactivated.
Figure 7-32 illustrates an example of the CS-RNTI location, as well as the
sps-Config parameter (including Periodicity values).
rrcReconfiguration
secondaryCellGroup
cellGroupId
mac-CellGroupConfig
cs-RNTI
spCellConfig Periodicity
spCellConfigDedicated ms10, ms20, ms32,
downlinkBWP-ToAddModList ms40, ms64, ms80,
bwp-Id ms128, ms160,
bwp-Dedicated
ms320, ms640
sps-Config setup
periodicity
nrofHARQ-Processes
Figure 7-32 Semi-Persistent Scheduling
Figure 7-33 illustrates an example with and without SPS configured.

5G Scheduling
Without SPS en-gNB With SPS en-gNB
DCI (PDCCH)
DCI (PDCCH) C-RNTI
C-RNTI Activate SPS (RRC)
PDSCH Periodicity
DCI (PDCCH)
CS-RNTI
DCI (PDCCH) PDSCH
C-RNTI
PDSCH
DCI (PDCCH) PDSCH
C-RNTI
PDSCH
PDSCH
DCI (PDCCH)
C-RNTI
PDSCH
Figure 7-33 PDSCH Configured Scheduling (SPS)
7.3.2 Uplink
In the uplink, the gNB can dynamically allocate resources to devices via the
C-RNTI on PDCCH(s). A device always monitors the PDCCH(s) in order to
find possible grants for uplink transmission when its downlink reception is
enabled (activity governed by DRX when configured). Note that when CA
(Carrier Aggregation) is configured, the same C-RNTI applies to all serving
cells.
Dynamic en-gNB
DCI (PDCCH)
C-RNTI
PUSCH
DCI (PDCCH)
C-RNTI
PUSCH
DCI (PDCCH)
C-RNTI
PUSCH
Figure 7-34 PUSCH Scheduling (Dynamic)
There are two types of transmission without dynamic grant:

 Configured Grant Type 1 - this is where RRC directly provides the
configured uplink grant (including the periodicity).
 Configured Grant Type 2 - this is where RRC defines the periodicity of
the configured uplink grant while PDCCH addressed to CS-RNTI can
either signal and activate the configured uplink grant, or deactivate it;
i.e. a PDCCH addressed to CS-RNTI indicates that the uplink grant can
be implicitly reused according to the periodicity defined by RRC, until
deactivated.

5G Scheduling
Type 1 Type 2
Configured en-gNB Configured en-gNB
Grant Grant

C-RNTI C-RNTI
Activate CS (RRC) CS (RRC)
Periodicity Activate Periodicity
CS
PUSCH DCI (PDCCH)
CS-RNTI
PUSCH
PUSCH
PUSCH
PUSCH
PUSCH
Overrides CS
C-RNTI C-RNTI
Figure 7-35 PUSCH Scheduling (With CS)
The configuration of Configured Grant is part of the NR RRC Reconfiguration

message. An example is illustrated in Figure 7-36. The Periodicity parameter
is defined in symbols and varies depending on the numerology.
rrcReconfiguration
secondaryCellGroup
cellGroupId
mac-CellGroupConfig
cs-RNTI
spCellConfig
uplinkConfig
initialUplinkBWP
configuredGrantConfig setup
frequencyHopping
cg-DMRS-Configuration Periodicity (Depends on Numerology)
mcs-Table E.g. 15kHz: 2, 7, n*14 Symbols
uci-OnPUSCH
where n={1, 2, 4, 5, 8, 10, 16, 20, 32, 40, 64, 80,
resourceAllocation
powerControlLoopToUse 128, 160, 320, 640}
p0-PUSCH-Alpha
nrofHARQ-Processes
periodicity
configuredGrantTimer
rrc-ConfiguredUplinkGrant
Figure 7-36 Configured Grant
Feedback
The main three types of feedback that assists the en-gNB scheduler include:
BSR (Buffer Status Report), PHR (Power Headroom Report) and UCI (Uplink
Control Information).
The UCI can also be broken down into:
• HARQ-ACK
• SR (Scheduling Request)
• CSI (Channel State Information)

5G Scheduling
Feedback
BSR (Buffer PHR (Power

UCI
Status Report) Headroom)
HARQ-ACK
SR
CSI
Figure 7-37 Uplink Feedback
7.4.1 Buffer Status Report

In EN-DC, the BSR configuration, triggering and reporting are independently
performed per cell group, i.e. the BSR on the SCG (en-gNB) is separate to
that on the MCG (eNB). However, for split bearers, the PDCP data is
considered in BSR in the cell group(s) configured by RRC.
BSR Configuration, Triggering

and Reporting
Independent for MCG and SCG
Figure 7-38 Buffer Status Report
The Buffer Status Reporting procedure provides the en-gNB with information
about the amount of data available for transmission in the UL (Uplink) buffers
of the device. RRC controls Buffer Status Reporting and triggers a BSR MAC
CE (Control Element) if any of the following events occur:
 UL data - when resources are allocated, however either no data is
available for that LCG (Logical Channel Group) or the data belongs to a
logical channel with higher priority. This is known as Regular BSR.
 Padding bits - UL resources are allocated and number of padding bits
is equal to or larger than the size of the Buffer Status Report MAC
control element plus its subheader, in which case the BSR is identified
as Padding BSR.
 retxBSR-Timer - when this timer expires and the device has data
available for transmission (related to logical channels which belong to a
LCG). The is referred to as a Regular BSR.
 periodicBSR-Timer - when this expires the BSR is referred to as
Periodic BSR.
periodicBSR-
retxBSR-Timer
UL Data Padding Bits Timer
Expires
Expires
Figure 7-39 BSR Triggers

5G Scheduling
QCI
LCID LCG (0-3)
(5QI)
1 6 0
5 3 0 Example
LCG
8 5 1 Mapping
en-gNB
9 4 2
Buffer Status Report

- Short BSR format (fixed size)
- Long BSR format (variable size)
- Short Truncated BSR format (fixed size)
- Long Truncated BSR format (variable size)
UE
Figure 7-40 Buffer Status Reporting
BSR Types
BSR (Buffer Status Report) consist of either:
 Short BSR - this includes one LCG ID field and corresponding Buffer
Size field. Other LCG buffers are empty.
 Short Truncated BSR - this includes one LCG ID field and
corresponding Buffer Size field. Other LCG buffers have data.
 Truncated BSR format - this includes one LCG ID field and
corresponding Buffer Size field. Other LCG buffers may have data.
 Long BSR format - this includes all four Buffer Size fields,
corresponding to LCG IDs (up to 8 supported).
7.4.2 Power Headroom Reporting

The Power Headroom reporting procedure is used to provide the en-gNB with
information about the difference between the nominal UE maximum power
and the estimated power for UL-SCH and PUCCH transmission on SpCell
and PUCCH SCell. Figure 7-41 illustrates a simplified representation. The
PHR (Power Headroom Report) can then influence who the en-gNB
schedules future resources.
Device
Maximum Device resource
Power Power
Headroom allocation changed,
MCS Changed,
Path-loss changed etc
Current
Uplink
Power
Figure 7-41 Power Headroom Reporting

5G Scheduling
A PHR (Power Headroom Report) is triggered based on various scenarios,

examples include:
 prohibitPHR-Timer expires - it is also sent if the prohibitPHR-Timer
timer has expired and the path loss has changed more than dl-
PathlossChange dB.
 periodicPHR-Timer expires.
 Activation of a SCell (Secondary Cell) with configured uplink.
 phr-ProhibitTimer expires or has expired - this is related to power
backoff and power management.
PHR MAC Control Element

There are two PHR MAC Control Elements, as illustrated in Figure 7-42. One
carries a Single Entry PHR and the carrier Multiple Entry PHR. The details of
which are included in 3GPP TS 38.321.
PHR
Single Entry Multiple

PHR MAC CE Entry PHR
MAC CE
Figure 7-42 PHR MAC Control Elements
7.4.3 HARQ-ACK
Like LTE, NR supports HARQ (Hybrid Automatic Repeat Request).
Specifically, it supports Asynchronous IR (Incremental Redundancy) HARQ.
For the downlink, a maximum of 16 HARQ processes per cell is supported by
the device. The parameter nrofHARQ-processesForPDSCH can be used to
configure the number to use. The uplink also has a maximum of 16 HARQ
processes per cell supported, with the parameter nrofHARQ-
processesForPUSCH being used to configure the device. Each HARQ
process supports 1 TB (Transport Block), however in the downlink it could be
1 or 2 if Spatial Multiplexing is configured.
HARQ
Downlink Uplink
Maximum of 16 HARQ Maximum of 16 HARQ
Processes Processes
Each HARQ process

Each HARQ process
supports 1 TB (1 or 2 TBs
supports 1 TB
with Spatial Multiplexing)
Figure 7-43 NR HARQ
Since NR also supports CBG (Code Block Group) based transmission, it can
also be aligned with the HARQ-ACK feedback process.

5G Scheduling
HARQ-ACK Timing
In addition to configuring the number of processes, the en-gNB also provides
the device with the HARQ-ACK feedback timing either dynamically in the DCI
or semi-statically in an RRC configuration. Figure 7-44 illustrates the timing
relationship, as well as the RRC configuration parameter dl-DataToUL-ACK.
2µPDSCH
n· + K0
2µPDCCH
Slot n PDSCH PUCCH
DCI
K1
dl-DataToUL-ACK
(0-8 Slots)
Figure 7-44 HARQ-ACK Timing
7.4.4 Scheduling Request

The SR (Scheduling Request) is used for requesting UL-SCH resources for a
new transmission. The device receives a SchedulingRequestConfig
parameter which configures dedicated Scheduling Requests, as well as
providing a sr-ConfigIndex which links to the MAC logical channel
configuration.
SR (Scheduling Request)
Requesting UL-SCH The MAC entity may be

resources for a new configured with zero, one, or
transmission more SR configurations
Each SR configuration Set of PUCCH resources

corresponds to one or more across different BWPs and
logical channels cells
Figure 7-45 Scheduling Request
7.4.5 Channel State Information

The time and frequency resources that can be used by the device to report
CSI (Channel State Information) are controlled by the en-gNB. Figure 7-46
illustrates the various options for CSI.
CRI (CSI-RS
CQI (Channel PMI (Precoding
Resource
Quality Indicator) Matrix Indicator)
Indicator)
LI (Layer RI (Rank
L1-RSRP
Indication) Indication)
Figure 7-46 Channel State Information

5G Scheduling
Some of the key terminology associated with CSI framework is illustrated in

Figure 7-47. Note that many other terms, as well as configuration options
exist.
Reporting Identifies what CSI to report and when to report it. Each Reporting
Settings Setting CSI-ReportConfig is associated with a single downlink BWP.
Identifies what to use to compute CSI. The CSI-ResourceConfig

Resource contains S≥1 CSI Resource Sets. Each includes CSI-RS resources
Settings (comprised of either NZP CSI-RS or CSI-IM) and SS/PBCH Block
resources used for L1-RSRP computation.
Reporting Identifies the aperiodic (using PUSCH), periodic (using PUCCH) or

Configurations semi-persistent (using PUCCH, and DCI activated PUSCH).
Figure 7-47 CSI Framework
7.4.6 Channel Quality Indicator

Like LTE, NR include CQI indices and their interpretations are given in Figure
7-48. This covers Table 1 (64QAM) and Table 2 (256QAM).
The device derives for each CQI value reported in uplink slot “n” the highest
CQI index which satisfies the following condition:
 A single PDSCH transport block with a combination of modulation
scheme, target code rate and Transport Block Size corresponding to
the CQI index, and occupying a group of downlink physical resource
blocks termed the CSI reference resource, could be received with a
transport block error probability not exceeding 0.1, or a higher layer
configured BLER-target.
CQI Index Modulation Code Rate x1024 CQI Index Modulation Code Rate x1024
0 Out of Range 0 Out of Range
1 QPSK 78 1 QPSK 78
2 QPSK 120 2 QPSK 193
3 QPSK 193 3 QPSK 449
4 QPSK 308 4 16QAM 378
5 QPSK 449 5 16QAM 490
6 QPSK 602 6 16QAM 616
7 16QAM 378 7 16QAM 466
8 16QAM 490 8 16QAM 567
9 16QAM 616 9 16QAM 666
10 64QAM 466 10 64QAM 772
11 64QAM 567 11 64QAM 873
12 64QAM 666 12 256QAM 711
13 64QAM 772 13 256QAM 797
14 64QAM 873 14 256QAM 885
15 64QAM 948 15 256QAM 948
Figure 7-48 NR CQI Table 1 and 2

5G Scheduling
EN-DC Resource Coordination

In order to better support LTE-NR coexistence, it is possible for the eNB and
en-gNB to indicated what resources (in terms of PRB’s) they expect to use.
This information can then be utilized by both MAC schedulers.
7.5.1 Resource Coordination Signalling

The X2AP SgNB Addition and Modification procedures are able to carry
coordination information in both the request and acknowledge messages. As
illustrated in Figure 7-49, this includes both DL (Downlink) and UL (Uplink)
information.
MeNBResourceCoordinationInformation
eUTRA-Cell-ID
uLCoordinationInformation
dLCoordinationInformation

SgNB Modification Request
SgNB Addition Request Acknowledge

MeNB SgNB Modification Request Acknowledge en-gNB
SgNBResourceCoordinationInformation
nR-CGI
pLMN-Identit
nRcellIdentifier
uLCoordinationInformation
dLCoordinationInformation
Figure 7-49 EN-DC Resource Coordination
7.5.2 Coordination Resource Bitmap

The representation of the coordination resource bitmap is illustrated in Figure
7-50. It relies on other cell information, specifically the number of resource
blocks for the DL/UL, which is provide during the EN-DC X2 Setup or EN-DC
X2 Configuration procedure. The length of the coordination information bitmap
is in multiples of the NRB indicated. In addition, the bitmap can span multiple
subframes, up to a maximum of 40.
Maximum 40 Subframes
SFN=0 Resource
1 1 1 1 1 1 1 1 0 0 0 1 1 1 1 1 intended to be
1 1 1 1 1 1 1 1 0 0 0 1 1 1 1 1 used for
transmission
1 1 1 1 1 1 1 1 0 0 0 1 1 1 1 1
1 1 1 1 1 1 1 1 0 0 0 1 1 1 1 1
DL
NRB 1 1 1 1 1 1 1 1 0 0 0 1 1 1 1 1
or 1 1 1 1 1 1 1 1 0 0 0 1 1 1 1 1
UL
NRB 1 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0
Resource not
1 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 intended to be
1 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 used for
1 1 0 0 0 0 0 0 0 0 0 1 1 0 0 0 transmission
dLCoordinationInformation and uLCoordinationInformation bitmap is a

DL UL
multiple of NRB or NRB bits, respectively.
Figure 7-50 Coordination Information Bitmap

5G Mobility with EPC
EN-DC Mobility ..................................................................................................... 8-2

8.1.1 Mobility Options....................................................................................... 8-2
8.1.2 NR Measurements .................................................................................. 8-2
EN-DC Change of Secondary Node..................................................................... 8-4
8.2.1 Triggers ................................................................................................... 8-4
8.2.2 Secondary Node Triggered ..................................................................... 8-4
8.2.3 RRC Reconfiguration .............................................................................. 8-5
8.2.4 Measurement Gap Configuration ............................................................ 8-6
8.2.5 Handover Restriction List ........................................................................ 8-8
Inter MeNB Handover with EN-DC ....................................................................... 8-8

EN-DC Mobility
8.1.1 Mobility Options
EN-DC has a variety of different deployment options, for example the en-gNB
may be co-located with the eNB or it may be part of a group of small cells, or
even just an isolated small cell. As such, the mobility pattern for a specific
device could change rapidly. Figure 8-1 illustrates an example of EN-DC
mobility using small cells with the eNB (Master RAN Node) providing macro /
micro coverage. Notice, as the small cells on the en-gNB (Secondary RAN
Node) are configured, the available data rate is “boosted”. This is mainly due
to the additional bandwidth, as well as the probability that less devices are
being served by the small cell.
Secondary RAN nodes

providing localized boosts
Macro
Master RAN
node providing
macro coverage
Data
Rate
Add Secondary Node Remove Master Node

secondary Change secondary Handover
Mobility
Figure 8-1 Mobility and EN-DC
Figure 8-2 highlights some of the key procedures required to facilities EN-DC
mobility, as well as mechanisms to aid the process.
Measurement Change of Change of

Reporting Secondary Node Master Node
Gap Handover
Configuration Restriction List
Figure 8-2 EN-DC Mobility
Inter-RAT SN change procedure with single RRC reconfiguration is not

supported in this version of the protocol (i.e. no transition from EN-DC to DC).
EN-DC
X DC
Figure 8-3 EN-DC to DC using Single RRC Reconfiguration not Supported
8.1.2 NR Measurements
The en-gNB can configure the device to perform measurements, either
periodic or event based.

The specific events, which are also used as part of EN-DC operation,
including:
 Event A1 - serving becomes better than threshold. For this
measObjectNR.
 Event A2 - serving becomes worse than threshold. For this
measObjectNR.
 Event A3 - neighbour becomes offset better than SpCell.
 Event A4 - neighbour becomes better than threshold.
 Event A5 - SpCell becomes worse than threshold1 and neighbour
becomes better than threshold2.
 Event A6 - neighbour becomes offset better than SCell.
Depending on the NR measurement event type, various threshold(s) and
hysteresis values may be provided.
NR NR NR
NR NR NR
Figure 8-4 NR Events
The configuration of a device and the event types to utilize are typically linked
into a specific vendor’s way of managing mobility. As such, a vendor may
choose to implement a specific event to start the measurement configuration
process. An example is illustrated in Figure 8-5, whereby the device is first
configured with NR Event A2 on the PSCell. Therefore, as the PSCell drops
below a specified threshold a MR (Measurement Report), indicating a
Measurement Identity relating to Event A2, is sent. At this point the en-gNB
configures additional Events, for example Event A4 (on a neighbour) and
Event A3. Once these conditions are met, the appropriate Measurement
Report is sent.
PCell
NR-RSRP
NR-RSRQ Event A2
NR-SINR (NR PSCell) Event A3
PSCelll (Neighbour and NR PSCell)
(Mn+Ofn)
NR
Neighbour
Time
Event A4
(Neighbour)
Figure 8-5 Example of NR Event Triggers

In reality, each vendor will have a multitude of measurement control

permutations within the en-gNB, as well as the eNB.
EN-DC Change of Secondary Node

8.2.1 Triggers
The actual trigger to change the EN-DC secondary node can be made by
either the eNB or en-gNB. This may be based on various factors, eg. related
to uplink performance, device measurements (periodic or event), loading, etc.
EN-DC Change of Secondary Node
eNB Triggered en-gNB Triggered
Figure 8-6 Triggering EN-DC Change of Secondary Node
8.2.2 Secondary Node Triggered

In this example, the procedure is triggered by the en-gNB, although it is
possible that the MeNB can also trigger the procedure. It should be noted that
Figure 8-7 and Figure 8-8 are related to a SCG Bearer approach, whereby the
S-GW is sending data directly to the Source en-gNB.
Source Target S-GW

MeNB en-gNB en-gNB MME
SgNB Change
Required
SgNB Addition Request Ack
RRC Connection
Reconfiguration
SgNB Change
Confirm
SgNB Reconfiguration Complete
SN Status Transfer
SN Status Transfer
Figure 8-7 EN-DC Change of Secondary Node (Part 1)
In Figure 8-7, the procedure begins with the Source en-gNB sending the
SgNB Change Required message to the MeNB. This message will identify the
target cell or target SgNB ID and contain measurement results which will
assist the Target en-gNB with cell selection.
On the basis of receiving the SgNB Change Required message, the MeNB
will contact the Target en-gNB with the SN Addition Request message. This
message will detail the E-RABs which must be supported (QoS, EN-DC
configuration, etc) and may also request the establishment of a forwarding
tunnel. Assuming the request is accepted, the Target en-gNB will respond with

an acknowledgement, identifying all of the E-RABs which will be supported

and also supplying a tunnel endpoint and IP address for data forwarding.
At this stage, the MeNB will direct the device to the Target en-gNB through the
RRC Connection Reconfiguration procedure. In addition, the MeNB will notify
the Source en-gNB and the Target en-gNB that the secondary node has been
reconfigured. When the SgNB Change Confirm message is sent to the Source
SgNB as part of this process, the MeNB TEID for data forwarding can be
provided. It is possible at this stage that the Source en-gNB will supply its
PDCP (Packet Data Convergence Protocol) sequence numbering for the
uplink and downlink. This is achieved by sending the SN Status Transfer
message to the Target en-gNB via the MeNB.
In part 2 (Figure 8-8), the procedure continues with the device synchronized
to the Target en-gNB. At this stage, data forwarding may be in operation, as
highlighted in Figure 8-8.
Due to the fact that an SCG Bearer is in operation, the MeNB will initiate an E-
RAB Modification procedure, which will essentially redirect the user plane
traffic away from the old en-gNB and towards the new en-gNB. Note that this
will require interaction between the MME and the S-GW, based on the Bearer
Modification message exchange. Once the new path is established, resources
which may still be in place at the old en-gNB can be torn down using the UE
Context Release message.
Source Target S-GW

MeNB en-gNB en-gNB MME
Downlink Data
Forwarding
Secondary RAT
Data Volume
Report
E-RAB Modification Initiation
Bearer
Modification
Downlink Data
E-RAB Modification Confirm
UE Context
Release
Figure 8-8 EN-DC Change of Secondary Node (Part 2)
8.2.3 RRC Reconfiguration

The target en-gNB will receive a X2AP SgNB Addition Request from the
Master eNB. In Figure 8-9, this was triggered by receiving a SgNB Change
Required from the source en-gNB. This will indicate the target en-gNB ID, as
well as possibly providing SN (Source Node) information, e.g. current SCG
configuration and measured results. The actual NR RRC Reconfiguration
message, which will be sent to the device configuring the Target en-gNB, will
be generated in the target and passed via the eNB to the device. Since this is
a new SCG, this will include the reconfigurationWithSync parameter. Thus,
providing the device with specific RACH information on the new SPCell.

Source Target
en-gNB en-gNB eNB
Target en-gNB ID
Measurement
SgNB Change Required CG-Config (SN Info)
Report
SgNB Addition
Request Target en-gNB ID
SgNB Addition Request CG-Configinfo (SN Info)
Acknowledge
SgNB Change Confirm CG-Config
- RRC Reconfiguration
- reconfigureWithSync
RRC Connection Reconfiguration
RRC Reconfiguration SgNB Reconfiguration

- reconfigureWithSync Complete
Figure 8-9 RRC Reconfiguration for Mobility
8.2.4 Measurement Gap Configuration

Whilst on LTE and EN-DC is not active it is easy for a device to
monitor/measure potential NR cells. This is mainly due to the fact the device
will have a “spare” radio (since not in use). However, once a device activates
EN-DC operation it will have multiple radios active. Now, assuming a device
only had two radios, one locked to LTE and the other locked to NR, then
asking it to monitor a third frequency could be problematic. It is worth noting
that some devices may have 5 or more radios to support various multiband
CA (Carrier Aggregation) scenarios.
However, if the network realized that the device had no radios to monitor
potential neighbouring cells, then one option is to configure a Measurement
Gap.
Measurement Gap
In case of EN-DC, the UE may either be configured with a single (common) gap or with
two separate gaps i.e. a first one for FR1 and a second one for FR2 (that is configured
by NR RRC)
Per-UE Measurement Gaps Per-FR Measurement Gaps
Figure 8-10 Measurement Gap
The measurement gap configuration parameter is sent along with the

measurement configuration parameter in the E-UTRA RRC Connection
Reconfiguration message. This indicates the gap pattern(s) in accordance
with the received gapOffset parameter. Each gap starts at a SFN (System
Frame Number) and subframe meeting the following condition:
SFN mod T = FLOOR(gapOffset/10)
Subframe = gapOffset mod 10
Where: T = MGRP/10

If the system is using a FR (Frequency Range) specific Gap, it will be required

to configured them independently. Note that the FR1 Gap is configured by the
E-UTRA RRC and provided to the en-gNB, whereas the FR2 Gap is part of
NR RRC and will be passed to the device in a NR RRC Reconfiguration
message.
FR1 Gap
measGapConfig
gapFR1 setup
gapOffset
mgl
mgrp
mgta
en-gNB Purpose
eNB
FR2 Gap
measGapConfig
gapFR2 setup
gapOffset
mgl (Measurement Gap Length)
mgrp (Measurement Gap Repetition Period)
mgta (Measurement Gap Timing Advance)
UE
Figure 8-11 EN-DC Measurement Gap Configuration
Gap Pattern Parameters

Figure 8-12 illustrates the E-UTRA and NR Gap pattern configurations. Note
that the values shared in blue are applicable to inter-RAT NR. However, these
are not all utilized by EN-DC. Notice that values up-to Gap Pattern Id 11 are
currently included as part of EN-DC.
Gap Measurement Measurement Gap Gap Measurement Measurement Gap

Pattern Gap Length Repetition Period Pattern Gap Length Repetition Period
Id (MGL, ms) (MGRP, ms) Id (MGL, ms) (MGRP, ms)
0 6 40 12 5.5 20
1 6 80 13 5.5 40
2 3 40 14 5.5 80
3 3 80 15 5.5 160
4 6 20 16 3.5 20
5 6 160 17 3.5 40
6 4 20 18 3.5 80
7 4 40 19 3.5 160
8 4 80 20 1.5 20
9 4 160 21 1.5 40
10 3 20 22 1.5 80
11 3 160 23 1.5 160
Figure 8-12 E-UTRAN and NR Gap Pattern Configurations
Note that 3GPP TS 38.133 includes various applicable pattern id’s for different
combinations of E-UTRA, FR1 and FR2.
Gap Pattern Configuraiton
3GPP TS 38.133
Figure 8-13 Specific Gap Pattern Configuration

8.2.5 Handover Restriction List

As part of attaching to LTE, a device may have been configured with a HRL
(Handover Restriction List). This is typically provided by the MME (Mobility
Management Entity) to the MeNB in the S1AP Initial Context Setup Request
message. In addition to influencing restriction on TA (Tracking Areas), LA
(Location Areas) and Inter-RAT (Radio Access Technology), there is also a NR
Restriction flag. This prohibits the use of NR as a secondary node. Assuming
NR is allowed, the HRL is also passed to the en-gNB as part of the SgNB
Addition Request or SgNB Modification Request.
MME
SgNB Addition Request or

SgNB Modification Request
Handover Restriction List
HandoverRestrictionList
servingPLMN '000000'H,
equivalentPLMNs
forbiddenTAs MeNB en-gNB
forbiddenLAs
forbiddenInterRATs
iE-Extensions
extensionValue NRrestriction
Figure 8-14 Handover Restriction List
Inter MeNB Handover with EN-DC

When EN-DC is in operation, handovers between MeNBs will routinely occur
as the device moves around the network. This handover may or may not
trigger a secondary node change, depending on the configuration and
coverage of the network.
Figure 8-15 outlines how an X2 handover occurs between eNBs when EN-DC
is in operation. In terms of the message flow, the overall procedure is very
similar, regardless of whether a secondary node change does or does not
occur.
Source Target S-GW

en-gNB
MeNB MeNB MME
Handover Request
SgNB Addition
Request
SgNB Addition
Request Ack
RRC Connection
Handover Request
Reconfiguration
Acknowledge
Random Access Procedure
RRC Connection Reconfiguration Complete
Path Switch Procedure
Figure 8-15 Inter MeNB Handover with EN-DC

As with any X2 handover, the procedure begins with the Source MeNB
sending the Handover Request to the Target MeNB. This message will include
all of the information that the target MeNB requires to support the subscriber,
such as EPS bearer configuration, security information and also EPC node
information (MME S1AP ID, S-GW Uplink TEID). When EN-DC is in
operation, the Handover Request will also contain the SgNB UE X2AP ID, en-
gNB ID and the UE context that is currently installed in the en-gNB (the
current E-RAB configuration of SCG and SCG Split Bearers that is active in
the en-gNB).
At this stage, the Target MeNB will determine whether or not the secondary
node should change.
 If a secondary node change is required, the Target MeNB will send the
SgNB Addition Request to the new en-gNB which contains the UE
Context provided by the Source MeNB. As such, the new en-gNB will
know the exact E-RAN configurations it must support.
 If a secondary node change is not required, the Target MeNB will send
the SgNB Addition Request to the existing en-gNB. This message will
include the SgNB UE X2AP ID as a reference, as well as any new
tunnel information required for split bearer operation between the
existing en-gNB and the Target MeNB.
The en-gNB will send the SgNB Addition Request Acknowledge in response
to the MeNB, providing confirmation that the E-RAB configurations are active
and also supplying TEID information where necessary. Consequently, the
Target MeNB will then send the Handover Request Acknowledge message
back to the Source MeNB, confirming that the handover has been accepted.
This message will contain information which will allow the device to
successfully access the new target cell. As such, this information is relayed to
the device in the RRC Connection Reconfiguration Request and may include
information related to a new secondary en-gNB, if applicable (this information
would be provided by the Target MeNB).
Upon receipt of the RRC Connection Reconfiguration Request, the device will
conduct the RACH procedure with the target cell, sending the RRC
Connection Reconfiguration Complete message when signalling resources
have been assigned by the Target MeNB. If a new secondary en-gNB has
been assigned, the device will also conduct a RACH procedure with this en-
gNB also.
In conclusion, the Target MeNB will conduct the Path Switch procedure with
the core network, ensuring that the S-GW is sending downlink data to the
correct MeNB and en-gNB (depending on E-RAB configuration in use).
RRC Connection Reconfiguration
The E-UTRA RRC Connection Reconfiguration message in Figure 8-15 is
used to trigger a MeNB change, as well as providing the en-gNB information,
i.e. configuring a SCG. Figure 8-16 illustrates an example of this message.
Firstly, the highlighted green “mobilityContolInfo” parameter will trigger the
decision to handover to the target eNB. The messages also include the nr-
Config-r15 parameter with NR RRC Reconfiguration message being carried.
This includes RLC bearer information which indicates whether the SRB(s)
or/and DRB(s) are present on the en-gNB. Finally, the
reconfigurationWithSync parameter is also included. This configures the
device to RACH into the SPCell.

rrc-TransactionIdentifier
on
mobilityControlInfo onnecti
RRC C on Request
nonCriticalExtension x 8 figurati
Recon fig-r15
nr-Config-r15 setup nr-Con
RRCReconfiguration
secondaryCellGroup eNB
UE Source
cellGroupId
rlc-BearerToAddModList
spCellConfig
reconfigurationWithSync
p-MaxEUTRA-r15 -30
eNB
en-gNB Target
Figure 8-16 E-UTRA RRC Connection Reconfiguration (MN Change with SCG)

Glossary
µ (Numerology) CS (Cyclic Shift)

5GC (5G Core) CSI (Channel State Information)
AM (Acknowledged Mode) CSI-RS (Channel State Information RS)
AMBR (Aggregate Maximum Bit Rate) CS-RNTI (Configured Scheduling RNTI)
AMD (Acknowledged Mode Data) CU (Central Unit)
ARP (Allocation and Retention Priority) DCCH (Dedicated Control Channel)
AS (Access Stratum) DCI (Downlink Control Information)
ASN.1 (Abstract Syntax Notation version DFT-s-OFDM (Discrete Fourier Transform
1) - spread - Orthogonal Frequency
BA (Bandwidth Adaptation) Division Multiplexing)
BCCH (Broadcast Control Channel) DL (Downlink)
BCH (Broadcast Channel) DL-SCH (Downlink - Shared Channel)
BFI (Beam Failure Instance) DMRS (Demodulation Reference Signals)
BLER (Block Error Rate) DM-RS (Demodulation Reference Signals)
BPC (Baseband Processing Combination) DRB (Data Radio Bearer)
BSR (Buffer Status Report) DRX (Discontinuous Reception)
BWP (Bandwidth Part) DTCH (Dedicated Traffic Channel)
BWP-ID (BWP Identity) DTX (Discontinuous Transmission)
CA (Carrier Aggregation) DU (Distributed Unit)
CB (Code Block) eCPRI (Evolved Common Public Radio
CB (Contention Based) Interface)
CBG (Code Block Group) eMBB (Enhanced Mobile Broadband)
CC (Component Carrier) EN-DC (E-UTRA-NR Dual Connectivity)
CCCH (Common Control Channel) en-gNB (EN-DC configured gNB)
CCE (Control Channel Elements) EPC (Evolved Packet Core)
CDM (Code Division Multiplexing) EPRE (Energy Per Resource Element)
CE (Control Element) E-RAB (E-UTRAN Radio Access Bearer)
CORESET (Control Resource Set) ESP/IP (Encapsulating Security Payload
form of IPSec)
CP (Control Plane)
FDD (Frequency Division Duplexing)
CP (Cyclic Prefix)
FDM (Frequency Division Multiplexing)
CPE (Common Phase Error)
FD-MIMO (Fully Dimension MIMO)
CQI (Channel Quality Indicator)
FEC (Forward Error Correction)
C-RAN (Centralized RAN)
FMC (First Missing Count)
CRB (Common Resource Blocks)
FR (Frequency Range)
CRC (Cyclic Redundancy Check)
FR1 (Frequency Range 1)
CRI (CSI-RS Resource Indicator)
FR2 (Frequency Range 2)
C-RNTI (Cell RNTI)
GBR (Guaranteed Bit Rate)
MPI5029-01 © Mpirical Limited, 2018 9-1

GNSS (Global Navigation Satellite NR-ARFCN (NR Absolute Radio

System) Frequency Channel Number)
GP (Guard Period) NRB (Transmission Bandwidth
HARQ (Hybrid Automatic Repeat Configuration)
Request) NR-PDCP (New Radio - Packet Data
HRL (Handover Restriction List) Convergence Protocol)
HSS (Home Subscriber Sever) NSA (Non-Standalone)
Hys (Hysteresis) OFDM (Orthogonal Frequency Division
IFFT (Inverse Fast Fourier Transform) Multiplexing)
IMCS (MCS Index) Ofn (Frequency Specific Offset)
IMD (Intermodulation) P (Polling)
IMS (IP Multimedia Subsystem) PAPR (Peak-to-Average Power Ratio)
IMT (International Mobile PBCH (Physical Broadcast Channel)
Telecommunications) PCCH (Paging Control Channel)
INT-RNTI (Interruption RNTI) PCell (Primary Cell)
IR (Incremental Redundancy) PCH (Paging Channel)
ISI (Inter Symbol Interference) PCI (Physical Cell Identity)
ITU-R (International Telecommunication PDCCH (Physical Downlink Control
Union – Radiocommunication) Channel)
L (Location) PDCP (Packet Data Convergence
LA (Location Areas) Protocol)
LCG (Logical Channel Group) PDSCH (Physical Downlink Shared
Channel)
LCID (Logical Channel Identity)
PH (Power Headroom)
LDPC (Low-Density Parity Check)
PHR (Power Headroom Report)
LSB (Least Significant Bits)
PHY (Physical)
MAC (Medium Access Control)
PL (Pathloss)
MCG (Master Cell Group)
PMI (Precoding Matrix Indicator)
MCS (Modulation and Coding Scheme)
PRACH (Physical Random Access
MeNB (Master eNB)
Channel)
MIB (Master Information Block)
PRB (Physical Resource Block)
MIMO (Multiple Input Multiple Output)
P-RNTI (Paging RNTI)
MIoT (Massive Internet of Things)
PSCell (Primary SCell)
MME (Mobility Management Entity)
PSS (Primary Synchronization Signal)
mmWAVE (Millimetre Wave)
PTAG (Primary Timing Advance Group)
MN (Master Node)
PTRS (Phase Tracking Reference Signal)
MR (Measurement Report)
PTRS (Phase Tracking RS)
MR-DC (Multi-RAT Dual Connectivity)
PUCCH (Physical Uplink Control Channel)
MSB (Most Significant Bit)
PUSCH (Physical Uplink Shared Channel)
MTC (Measurement Timing Configuration)
QCI (Quality Class Identifier)
MU-MIMO (Multi-User MIMO)
QCL (Quasi Co-Location)
NACK_SN (Negative Acknowledgement
Qm (Modulation Order)
SN)
RA (Random Access)
NAS (Non-Access Stratum)
RACH (Random Access Channel)
NEA (NR Encryption Algorithms)
RAN (Radio Access Network)
ng-eNB (Next Generation eNB)
RAPID (Random Access Preamble
NG-RAN (Next Generation RAN)
Identifier)
NIA (NR Integrity Algorithms)
RAR (Random Access Response)
Ninfo (Intermediate Number of Information
RA-RNTI (Random Access RNTI)
Bits)
RAT (Radio Access Technology)
NR (New Radio)
RB (Resource Blocks)
9-2 © Mpirical Limited, 2018 MPI5029-01

RBG (Resource Block Group) SRB3 (Signalling Radio Bearer 3)

RE (Resource Element) SRI (Sounding Reference Signal
REG (Resource Element Groups) Resource Indicator)
RF (Radio Frequency) SRS (Sounding RS)
RIV (Resource Indication Value) SS (Synchronization Signal)
RLC (Radio Link Control) SSB (Synchronization Signal Block)
RLF (Radio Link Failure) SS-RSRP (Synchronization Signal based
RMSI (Remaining Minimum System Reference Signal Received Power)
Information) SS-RSRQ (Synchronization Signal based
RNTI (Radio Network Temporary Reference Signal Received Quality)
Identifier) SSS (Secondary Synchronization Signal)
ROHC (Robust Header Compression) SS-SINR (Synchronization Signal based
ROHCv2 (Robust Header Compression Signal to Interference and Noise Ratio)
version 2) STAG (Secondary Timing Advance Group)
RRC (Radio Resource Control) SUL (Supplementary Uplink)
RRH (Remote Radio Head) SU-MIMO (Single-User MIMO)
RS (Reference Signal) TA (Timing Advance)
RTD (Round Trip Delay) TA (Tracking Areas)
RTP/UDP/IP (Real Time Transport TAG (Timing Advance Group)
Protocol / User Datagram Protocol / TB (Transport Blocks)
Internet Protocol) TBS (Transport Block Size)
S/N (Signal to Noise) TCI (Transmission Configuration Indicator)
SA (Standalone) TCP (Cyclic Prefix Duration)
SACK (Selective Acknowledgements) TCP/IP (Transmission Control
SCell (Secondary Cell) Protocol/Internet Protocol)
SCG (Secondary Cell Group) TDD (Time Division Duplexing)
SCS (Subcarrier Spacing) TEIDs (Tunnel Endpoint Identities)
SDAP (Service Data Adaptation Protocol) Thresh1 (Threshold1)
SDL (Supplementary Downlink) Thresh2 (Threshold2)
SDU (Service Data Unit) TM (Transparent Mode)
SFI (Slot Format Indication) TMD (Transparent Mode Data)
SFI-RNTI (Slot Format Indication RNTI) TPC (Transmit Power Control)
SFN (System Frame Number) TPC-CS-RNTI (Transmit Power Control
S-GW (Serving Gateway) Configured Scheduling RNTI)
SI (Segment Information) TPC-PUCCH-RNTI (Transmit Power
SI (System Information) Control PUCCH RNTI)
SI-RNTI (System Information RNTI) TPC-PUSCH-RNTI (Transmit Power
Control PUSCH RNTI)
SLIV (Start and Length Indicator Value)
TPC-SRS-RNTI (Transmit Power Control
SMTC (SS/PBCH Block Measurement
Sounding Reference Symbols RNTI)
Timing Configuration)
TR (Technical Reports)
SN (Secondary RAN Node)
TRxP (Transmission Reception Point)
SN (Sequence Number)
TTT (Time to Trigger)
SN (Source Node)
UCI (Uplink Control Information)
SO (Segment Offset)
UE (User Equipment)
SpCell (Special Cell)
UL (Uplink)
SP-CSI-RNTI (Semi-Persistent CSI RNTI)
UL-SCH (Uplink - Shared Channel)
SPS (Semi-Persistent Scheduling)
UM (Unacknowledged Mode)
SR (Scheduling Request)
UMD (Unacknowledged Mode Data)
SRB (Signalling Radio Bearer)
UP (User Plane)
SRB1 (Signalling Radio Bearer 1)
MPI5029-01 © Mpirical Limited, 2018 9-3

URLLC (Ultra Reliable Low Latency WRC-15 (World Radio Conference 15)
Communications) X2AP (X2 Application Protocol).
VoIP (Voice over IP) ZP (Zero-Power)
VRB (Virtual Resource Blocks) λ (Wavelength)
9-4 © Mpirical Limited, 2018 MPI5029-01

Innovating Telecoms Training
Contact Us
Tel: +44 (0) 1524 844669
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Innovating Telecoms Training

MPI5029-01 © Mpirical Limited, 2018 i

First published by Mpirical Limited in 2018

ii © Mpirical Limited, 2018 MPI5029-01

5G New Radio........................................................................... 1-1

5G Physical Layer Transmission and Reception .................. 2-1

MPI5029-01 © Mpirical Limited, 2018 iii

2.3.3 Cyclic Prefix .......................................................................................... 2-12

5G Massive MIMO and Beamforming ..................................... 3-1

iv © Mpirical Limited, 2018 MPI5029-01

3.4.8 SS Block Locations ............................................................................... 3-16

5G Physical Layer Details ....................................................... 4-1

5G Layer 2 and Layer 3 ........................................................... 5-1

MPI5029-01 © Mpirical Limited, 2018 v

NR Radio Link Control.......................................................................................... 5-9

5G EN-DC Operation................................................................ 6-1

vi © Mpirical Limited, 2018 MPI5029-01

6.5.3 Beam Failure Recovery......................................................................... 6-33

5G Mobility with EPC ............................................................... 8-1

MPI5029-01 © Mpirical Limited, 2018 vii

8.2.2 Secondary Node Triggered ..................................................................... 8-4

Glossary ................................................................................... 9-1

viii © Mpirical Limited, 2018 MPI5029-01

Figure 1-1 5G Air Interface ......................................................................................... 1-2

Figure 1-8 EN-DC MCG and SCG ............................................................................. 1-6

Figure 1-14 Split SRB for EN-DC ............................................................................... 1-9

Figure 2-1 FDD and TDD ........................................................................................... 2-2

MPI5029-01 © Mpirical Limited, 2018 ix

Figure 2-13 Interference from IMD (Intermodulation)................................................. 2-8

Figure 2-26 NR Slot Length slot (µ=0 to µ=4) .......................................................... 2-14

Figure 2-35 Resource Grid and Resource Element ................................................. 2-18

Figure 2-44 FR2 Maximum Transmission Bandwidth Configuration (NRB)............... 2-21

Figure 2-47 Changing BWP ..................................................................................... 2-23

x © Mpirical Limited, 2018 MPI5029-01

Figure 3-2 Requirement for Massive MIMO ............................................................... 3-2

Figure 3-17 Massive MIMO Antenna (Sub 6GHz)...................................................... 3-9

Figure 3-20 Multi-Panel Antennas ............................................................................ 3-10

Figure 3-23 Beam Sweeping .................................................................................... 3-11

MPI5029-01 © Mpirical Limited, 2018 xi

Figure 3-38 SS Block Location (L=4, 8 or 64) .......................................................... 3-18

Figure 4-19 DMRS Location for PBCH..................................................................... 4-10

Figure 4-22 CORESET ............................................................................................. 4-12

Figure 4-25 Slot Format Indicator............................................................................. 4-13

xii © Mpirical Limited, 2018 MPI5029-01

Figure 4-27 DCI Format 2_1 .................................................................................... 4-14

Figure 4-42 PRACH Format 0 Example ................................................................... 4-22

Figure 4-45 Physical Uplink Shard Channel ............................................................ 4-23

Figure 4-48 PUSCH Configuration Setup (Dedicated) ............................................. 4-25

MPI5029-01 © Mpirical Limited, 2018 xiii

Figure 4-63 Phase Tracking Reference Signal ........................................................ 4-33

Figure 5-24 Example of UMD PDUs Without SO ..................................................... 5-13

Figure 5-27 AMD PDU - 12bit with SO ..................................................................... 5-14

Figure 5-30 Services Provided to Upper Layers ...................................................... 5-15

xiv © Mpirical Limited, 2018 MPI5029-01

Figure 5-32 MAC Sublayer Functions ...................................................................... 5-16

Figure 6-6 UE MR-DC Capabilities ............................................................................ 6-4

Figure 6-9 Measurement Object................................................................................. 6-6

Figure 6-12 Existing and Updated E-UTRA Events ................................................... 6-9

MPI5029-01 © Mpirical Limited, 2018 xv

Figure 6-27 E-UTRA RRC Connection Reconfiguration Procedure......................... 6-17

Figure 6-55 SCG Failure Information NR ................................................................. 6-31

Figure 6-58 Beam Detection Failure Parameters..................................................... 6-33

Figure 6-61 Uplink Power Control ............................................................................ 6-35