5G New Radio

INBULLETS

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 г

5G NR in BULLETS

Companion ,vebsite: ,V\V\V.Sg-buUets.com

Comments and requests regarding the content ofthis book can Ье sent to contact@5g-bullets.com
These ,vill Ье considered for future editions.

Chris Johnson has ,vorked ор 50 for the past 3 years. Не has ,vorked in moЬile telecommunications for the past 25 years, spending most ofthis time focused
оп UМTS and LТЕ . Chris has been employed Ьу Nokia for the past 19 years. Не is currently а Principal Engineer at Nokia and is based in the UК. Chris lias
previously authored the ' LТЕ in Bullets' and 'Radio Access Nehvorks for UМTS - Principles and Practice' titles. Не has also contributed content ,vithin the
' Radio Net\vork Planning and Optimisation for UМTS' and ' HSDPNHSUPA for UМTS' titles.

The content ofthis book represents the нnderstanding ofthe aнthor. It does not necessarily represent the vie,v nor opinion ofthe autlюr's employer.
Descriptions are intended to Ье generic and do not represent the implementation of any individual vendor.

The ЗОРР 50 logo has been нsed ,vith kind pennission from ETSI.
ETSI is the joint copyright holder of tl1e ЗОРР 50 logo.

The author ,vould like to acknowledge his employer, Nokia UK Limited for providing the opportunities to gain valuaЫe project experience. The author ,vould like
to thank his manager, Stнart Davis for supporting participation ,vithin projects ,vhich have promoted continuous leaming and development. The author ,voнld also
like to thank Juha Sarkioja and Poul Larsen for providing opportunities to ,vork оп global 50 activities ,vithin Nokia.

The author ,vould like to ackno,vledge colleagues from ,vithin Nokia ,vho have supported а пd eпcouraged the development of material for this book. These
include Jyri Lamшinmaki, Lorena Sema Oonzalez, Iап Ноп1е апd Poeti Boedllihartoпo. 111 addition, the author ,vould like to thaпk colleagues from outside Nokia
,vho have also supported the developmeпt ofthis book. 1Ъеsе iпclude Pinaki Royclю,vdlшry, Mark Livas, Ammar Кlшlid and Ран\ Clarkson.

ТЬе a utlюr ,vould al so like to offer special tlшпks to \1i s parents ,v\10 provided а perfect ,vorkiпg e11viro11me11t during tl1e ,veeks spent iп Scotlaпd . Не ,vou\d
a\so like to thank tbem for t\1eir coпtiпuoн s sнpport and e11courageme11t.

Editioп 1, v ers ioп 1

Copyrig\1t © 201 9 Chris Jo\111s011, Fan1ham, Епg \ апd

All rig\11s reserved. No part of thi s рнЫi с аtiоп may Ье repro dнc ed , di stributed , or tra11s1nitted in апу fonn or Ь у ап у means, iпc lнdin g p\10tocopyi11g, scanniпg,
or ot\1er e l e ctroпic or mechaпica\ methods , ,vitlюнt the prior ,vritten pennissio11 of t\1e анt\юг.

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1 FUNDAMENTALS ...... .. .......................................................................... ............. ............................................................ 8

1.1 INTRODUCTION ......... ... ... ......... ........... .. .......... ... ....................... .................. ......... ......... .. ... ...... ... ..... ... ........ ........... .... 8
1.2 USE CASES ... .. ................... ................ ........ ...... ............ ........ ............ ....... .. ... ...................................... ..... ........... .... ... .... 9
1.2.1 E11l1011ced Moblle Bmadband (еМВВ) ............... ............. ...... .. ............... .... ......... .. ..... .. ............ .... .. ....... ... .......... 10
1. 2.2 Massi11e Machine Туре Communications (тМТС) ............... ............ ... ....................... .. ........... ........ ...... ..... ........ 10
1. 2.3 U/t1·a ReliaЬ!e and Lo,v Latency Communications (URLLC) ............ .. ...................................... ......................... 11
1.2.4 Vehicle to Eve1ything (V2X) .............. .... .. .. .... .......... .... ....... ........................ .......... ..... ... ...... .. .......... .. ... ...... ... ... ... 11
1.3 REQUIREMENTS .................. .... .............. .. ... ........ ....... ........ ...... .. ....... .... ..... ........ .... ...... ........... ............ ...................... 13
1.4 NETWORКARCHIТECTURE ..... ............. ............ .. ........... .............. ...................... .. .. ..... ..... ............. .................. ....... 15
1.4.1 REFERENCE POJNT SYSTEM ARCHIТECTURE ... ... ....... .... ................... .............. .. ................. ........ .. ............ . 16
1.4.2 SERVICE BASED SYSTEM ARCHIТECTURE ................................................................. ......... ...... .................. 17
1.4.3 NETWORK FUNCTIONS ....... ... ... ..... .... .............. .. ..... .... ....................... .. ..... ......... ....... ..... .. ...... ..... ....... ....... ...... 19
l .5 BASE STATION ARCHIТECTURES ..... ..................... ........ .......... .. .................... .. .......... .. ..... .. ........................... ....... 30
1.5.1 STANDALONE BASE STAТION ..... ....... .... .. .... ... ................ .. .... ... .. ... .. ..... .. ..... ................... ... ... ...... ..... ... ......... ... 30
1.5.2 NON-STANDALONE BASE STAТION. .............. .. ... .. ........... ......... ..... .. .... ............. .. ....... ... .. .... .. .... ..... ............. .. . 31
1.5.3 CU-DU SPLIT BASE STAТION ...... ...... .. ........ ........... ..... ... ........... ............. .......... .... ............................... ........ ... 35
1.5.4 СР-ИР SEPARAТION. .. .. ..... ..... ... ...... ....... .. ..... ........................... :...... .. ... ...... ...... .. ......... ...... ........ .... .. ... ..... ... ..... 38
1.5.5 ANTENNA ARCHIТECTURES .... ... .............. ........ .... ....... ... .......... ......................... ... .... .... ........ .... ........... ........... 39
1.5.6 BASE STAТION CLASSES ............... .. .. ..... ... ... .... ......... .......... .... ..................... ...... ... ........ ......... .... .... ....... .. .... .... 42
1.6 INТERFACES ........ .. ................. .......... ................... ............... ............. ................... ... ................. ... .. ...... ......... .... .. .... ... .. 43
1.6. 1 XnJNTERFACE ...... ..... .... ......... .. ............... ............... .. ................... .. ... .. .. .... .. ...... .... .. ............ ... .... ......... ... ..... ...... 43
1.6. 2 Fl JNTERFACE ........... ... ... ....... ... .. ... ... .............. ... ...................... ..... ...... ...... ....... .. .. ... ............... .. .. ... .. ............ ..... 46
1.6.3 El JNTERFACE ...... ....................... ... .. .... ......... ... .............. ....... ...... ...... .... ... ... .. ............. ... ......... ... .. ...... .... ...... ..... 49
1.6.4 NG INTERFACE .......... ...................................... ... .... .... ......... ........ ........ ............ ... .. ......... .. .. ...... ............ ... ........ .. 51
1.6.5 Х2 INTERFACE .. ......... ....... ............. ....... ... .... ... .... .. ... ...... .. ... ....... .... ..... .. ..... ... .... ... ...... ....... ..... ... ... ...... ..... ....... ... 55
1.7 PROTOCOLSTACKS ... .. ... ...... ..... ... ................. .. ........ ........ ......... ...... ... ... .. ..... ........................... .... .... .... ..... ..... ........... 56
1. 7.1 USERPLANE ....................... ..... ........... ............ ....... .......... ........ .... .. ......... ..... ...................... ............................... 56
1. 7.2 CONTROL PLANE ........... ................. ..... ... ..... .. ......... ..... ......... .. ... ..... ................ ..... ... .... ........ .. .......... ................. 58
1.8 RRCSTATES .............. ......... .................. .... ............ ........ .... .......... ......... ........ .. .. .... ...... ... .. ..................... ...................... 61
1.8.1 RRC lDLE ................................. ... ......... ... ............... .......... .... .. ...... .......... .. .. ....... ..... ... ... .................. ... ...... .... ..... .. 62
1.8. 2 RRC CONNECTED .......... ........... .... ....... ......... .................. .... .... ... .. ........ .. .... ....... .......... .. .............. ..... ..... ... .... .... 63
1.8.3 RRC JNA CТIVE .. ..... ....... ....... .. ......... .... .. ........... .. ..... ............. ........ ......... ..... ...... .... ... .. .......... ... ........ ..... .. .......... .. 64
1.9 REGISTRA TION MANAGEMENТ ..... ........ .......... ....... ................ ........ .... ... ........... ... ......... ............ .... ... ........ ............ 67
1.10 CONNECTIONMANAGEMENТ ... ........... .... .. ....... ..... ............... .......... ............................. ... ...... ........ ...... .. .... .... .. ..... 68
1.11 ACCESS CONТROL .... ............... .................... .. .. .. ... ......... .. .... ...... ... ......................................... .............. ............ ...... .. 69
1.12 SIGNALLINGRADIOBEARERS ........ ..... .. ... .......... .... ..... .. .... .. ................ ........... ................................ .. .. ..... ........ ..... 7 1
1.13 PDU SESSIONS .................... .... .......... ...... .... .... .......... .............. .·... ....... ... .. .......... :........... .. ....... ..... .. .. ........... ...... .... ...... 73
1.14 QUALIТYOFSERVICE ..... .. ....... ... .. .... ... ......... ........... .......... :................. ...... ............................... .... .... ............... .... ... 76
1.15 NETWORКSLICING ... .. ........ ..... .... ..... ....... ......... ... .......... ........ ....... ..................... ..... .......... ........... .. .... ..... .. .. .. .......... 79
1.1 6 EDGECOMPUTING ...................... ............ ..... ... .... ....... ................... .. ... ....... ................ ... .... .. ...... .. ........ .... ... .... ........ ... 81
1.1 7 MICOMODE ............... .... ... ..... .... ....... ........................ ..... ... ...... ....... ... ........ .......... ............................................... ........ 82
1.18 UE САР AВILITIES ..... ............................... ..... ... .................. ....... ... ... ............. ................. ......... .... .... ..... ... ................... 82
1.19 SPECTRUM .................. .. ....... .......................... ..................... .. .................. ............. .... .... .. .. .................................... ...... 84
1.19.1 DUPLEX MODES........ ............. ... .. ... ................ .... ....... ...... .. .......... .......... ... ...... ... ....... .. ..... .. .......................... 85
1.19.2 OPERAТING BANDS ................................. .... ...... .......... .... .... ... .. ... ... .... ................ ............ ........ ........... ..... .... 86
1.19.3 BAND COМВJNATIONS .......... .. .......... ......................................... .... .... .. .... ...................... ........ ... ................. 89
1.19.4 МILLIМETER WAVE PROPAGATION. ..................................................... .... .. ... .. .................. ... ....... ..... ...... 90
1.20 MIMO ...... ...... ... ................................................................ ...................... .... ..... ....... .. ........ ..... ................. ........ ......... .. .. 92
1.21 BEAМFORМING ......... .... ....... ...... .............. ... ....... ..... ..... ............. ....................... .... ... .... .. ..................... ............ ...... .... 95
1.22 3GPP SPECIFICATIONS ............................................ ... ..... ......... ................................ ......... ...... .... ...... ... .. ............... 101
2 AIR INTERFACE ........................................................ .............. .. .. ............. ... ............................ ..... .............................. 102
2. 1 NUMEROLOGY ... ....... ...... .. .... .... ......... ....... ... ... ... ...... .... ....... .. .. ...... .... ... .... .. ..... ....... ...... .. .. .. .... .... ......... .. .. ...... ..... .... 102
2.2 RADIO FRAМES AND SLOTS ... .... ........ .... ............. ...... .......... ...... .. .. ..... ....... .. .. ....... ....... ....... .... ... ......... ..... ... ..... .... 106
2.3 RESOURCE BLOCKS AND BANDWIDTH PARTS .. .... .. ..... .. .... ... ......... ..... .... ..... ........ .... ......... .. ..... ..... ...... .. ......... 11 3
2.3. 1 COMMON RESOURCE BLOCKS .. .. ..... ... .. ..... ....... ................. ...... .. .... ........... ...... ............................ ... .... ........ 113
2.3.2 BANDWIDTH PARTS ....... ............................ . .. .. ....................... ..... ....... .... ..... .. .... .......... .. .. ........ ... .............. ..... 116
2.3.3 PHYSICAL RESOURCE BLOCKS ....................... .............. .. .. .. ............ .......... ...... .. .... ... ... ... ... ............ .... ....... 118

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24.2 3CHANNEL
4 VIRTUAL RESOURCE BLOCKS
BANDWIDTHS ··············· . .·.···.. ........... . ................ ... ...... ........
···· · ···........····................
.. .. ...................... .... ... .... l l 8
. . . ... . . . ............ l l 9
2:52 /1REQ~J~~;:}t:Л~~~i::::::::::::::::::::::::::::: : : : : :::: :::::::::: : : :::::: : : : ::: :::::::: : : : : : ::: ::: ::: ::::::::::::::::::::::::::::::::: ::::::::::::;~;
2.5.2 SYNCJ-JRONISATJON RASTER ... ..... ..... .. ..... ......... .... ....... ....... ... .. ... ... .. ...... ... ...... ...... ... .. ... .... .... .. ........... ... ....... . 123
2.6. ANTENNAPORTSANDQUASICO-LOCATION ................. . ................. ... ........ . ... ... . ... ....... ....... ......... .... ...........127

Hj:{L~li5
292 DFT-S-OFDM ...... .... ... ..... ..... ... ..... ... ...... .......... ......... .. .. .... ..... ......... ...... ...... .... ......... .... ..... .... ... .. ..... ..... .. .... ... .... 139
Ш
2.1 о· TRANSMITTER AND RECEIVER CHAIN .... ... .............. ......... ..... . . .......... .... ........................ ......... ........................ 140
3 DOWNLINK SIGNALS AND CHANNELS .................................................. ............... ........ .. ....................................141
3,1 DOWNLINK CHANNEL MAPPINGS .... ....... ... ............. .......................... ... ....... .............. .... . . ..... . .... .... ............... ... 141
3.2 SYNCHRONISATION SIGNALS .... ............. .... ............................ . .......... . ...... ..... . ....... ................ . ............. ........... 142
3.3 PHYSICAL BROADCAST CHANNEL .......................... ...... ........... ................... ......... ..................... ... . ........ . .......... 144
3.4 SS/PBCH BLOCKS AND BURSTS............................... . ............. . ... ... .................... ........... ...... ..... ........... . .............. 146
3.5 PHYSICAL DOWNLINK CONTROL CHANNEL .................................... .......... ... ...... ..... ................... ........... ........ .151
3. 5. 1 CONTROL RESOURCE SET (CORESET) .. .. ..... .... ..... .................. ...... ................ .... ... .... ............ ..... ........ .. ........ 154
3.5.2 SEARCH SPACE SETS..... .. ... .... .. .. .. ....... .... .. .... ......... ....... ..... .............. ..... ..... .... ... .... ..... ... ......... .... .... .. ......... ..... 157
3.5.3 SEARCH SPACE SET (SIBl) .. .... .. .... ... ... .... .. .. ... ...... .. ....... .... ... ... ..... ... ...... .. .. ....... ... ..... ... .... ...... ...... ... ... ... ... .... .. 161
3.5.4 DCI FORМAT0 О .... .. .... .. .. .. ...... ........... .... ........... .. ... ......... .. ... .. ... ........ ........ .... ....... ... ... .... ..... ........... ......... ...... 168
3.5.5 DCI FORМAT0 1 ....... .. ........ ..... ..... ... .... ... ... .... .... ... .. ..... .. ... .. .. ... ..... .... .. ...... ........................ .. .... .... .... .... ..... ...... 169
3.5.6 DCJ FORМAT 1 О ..... .. ....... ........... ... ....... ..... ... ..... .. ... .. .. ... .... .. ... .... ...... ...... ... .. .... .... .. .. ... ..... .. ......... .... ........ .. ..... 173
3.5.7 DCI FORМAT 1 1 ... ..... .. ..... .. .. ...... .. .. ... ............ ..... ........... .... .. .. .. .. ............ ...... ........ .......... .. .. .. ... .... ... .. ..... ........ . 175
3.5.8 DCJFORМAT2 О .... ........................ ... ... ............. ... ...... ....... .... .... ..... ............ ... .. ......... .. ....... .. ..... ... .. ......... ........ 179
3.5.9 DCI FORМAT 2 1 ... ... .. .... ............. ...... ...... .. ....... .... .. ... .... .. .... .... .... .... ... .... ........ ...... .. ..... .. ... .. .......... ...... ... ........ . 180
3.5.10 DCI FORМAT 2 2 ......... .... ..... ..... ... ... ... .... .. .. ... .. ....... .... ....... ..... ... ... ......... .. .................. ... ....... ........ ... .... ..... ...180
3.5.11 D CIFORМAT 2 3......... ................ ................. ..... .. ....... ... ........... .. .... .... ....... ......... ........ ............................... 181
3.6 PHYSICAL DOWNLINК SHARED CHANNEL ............ ................... ....................... ......... ... ............... ..... ...... ....... ... 182
3.6.1 MODULATJON AND CODING SСНЕМЕ ..... ... ...... .... ...... .. .............. .. ... ... ....... .. ... ... ...... .. .... .... .... .. ..... ..... ... .... 186
3.6.2 TRANSPORT BLOCK SIZE ..... .... ..... ..... ....... ... ... ... ..... .. ... ......... .. .... ............... .. .. .. .... .... .... .... ......... .. ... ... ... ... .. .... 18 7
3.6.3 PHYSICAL LAYER PROCESSING ...... ... .... .. .. .. ... .. .. .. ....... ..... ... .. ... .. .............................. ........ ...... ... ...... ......... ... 190
3.6.4 RESOURCE ALLOCATIONS ... ..... ..... .... ........ .. ....... .. .... ... .. ... ... .. ... ... .... ... .... ... .... .. .. ......... ..... ... ... ... ... ....... ........ .. 198
3.6.5 RESOURCE BLOCK BUNDLING .... .. .... ............. .............. .. ............ ..... ... .. ...... ..... ........... ... ...... ............ .... ........ 205
3.6.6 PRE-EМPTION ...... ............ .. .. .. ..... .... ........ ..... .... ... .... ...... .... .... ......... ........... .. ..... ...... ..... .. ....... ... ... ...... ..... ... ....... 207
3.6. 7 RESERVED RESOURCES ................ ............ .. ...... .. ... .. .... ..... .... .......... ..... .. ... ..... ..... ................ .. ... .. .... ... ... ......... 209
3.6.8 REPETIТION. ....... ................... .......... .. ... ........ .. ...... ...... .......... .. ... .... ..... ... ........ ............... ... ... ..... ............ .... ........212
3.7 REFERENCE SIGNALS ... . .............. .......................... . ................... ... ......... ......... .................... ..... ... . ....... .... ...... ......213
3.7.1 DEMODULATION REFERENCE SJGNAL FOR РВСН ... .. .... ... ... ... ..... ... ...... .. .. ..... .. ..... ... ..... .... ... ....... ... ......... 213
3. 7.2 DEMODULATION REFERENCE SIGNAL FOR PDCCH .. ..... ..... ...... ... ..... ... .... .. .... ..... .......... ....... .... .......... .. .. 214
3.7. 3 DEMODULATION REFERENCE SJGNAL FOR PDSCН. .... ... .. ............... ....... .... .. ... ... ............... .. ................... 214
3. 7.4 CHANNEL STATE INFORМATION REFERENCE SJGNAL .. ... .... .... ..... ......... ... ........ ......... .... ... ...... .. .. .... .. .... .. 220
3.7.5 TRACIONG REFERENCE SJGNAL ... ... .. ... ..... .. ...... .. ....... ...... .... ...... ..... ... .. ... .. .... ... ......... ......... ......... .. ... .. .... ..... 233
3.7.6 PHASE TRACIONG REFERENCE SJGNAL .............. ..... ....... .. .. ...... ..... .. ... .... .......... .... .... ...... .... ... ...... ....... ....... 234
4 DOWNLINK TRANSMISSION SCHEMES ........ ................... .......... ...................................... .. ........... ............... ....... 239
4.1 ... ..... ...... .......................... ... .......... ....... . .... .............. ............ ............ . . ................................................ ..............239
РВСН
4.2 PDCCH ........ . ... ...... . ..................................... ............ ........ ................ ........... ................................. . . ... ...................... 239
4.3 PDSCH ........................ .......... . ... . ... ..... ................ ................. ...... ................ ... ..... ........... ............. ...................... .......... 241
4.3. 1 OPEN LOOP МIМО ....... ... .... ... ........ ... ...... .. ... .. ......... .. .. ......... ... .. ........ ..... .. ... .... .... .. ... ... ...... ..... ... .... ........ ... .... .. 242
4.3. 2 SEМI- OPEN LOOP МIМО .. ... ..... ..... .... .. ........... .. ....... ....... ...... ........... ... ...... ...... ........ ... ............... ...... .. .. ...... ... .. 243
4.3.3 CLOSED LOOP МIМО .. .. .. .... ...... .. ....... .. .. .. .......... .. ... .. .. ... ........ .... ... ... .. ..... .... .. .... ........ .. ........ ... ........ ..... .. ... ...... 244
4.3 .4 МULТJ- USER МIМО .. ... .... ....... ................ .............. .... ... ...... ...... ... ...... ........ ........ ..... ....... ..... ..... ... ......... ............ 245
4.3.5 RECIPROCIТY BASED .............. .... ..... ....... ....... .... .. .... .. ...... ....... ..... ...... ... ... .. .......... ... .. .. ..... ........ ............... .. ..... 246
4.3.6 МULТJPLE TRP ............. ..... .... ..... ..... .... ...... ......... ... ..... .... .. ... ... ... ...... .. .... .... ..... .... ..... ..... ......... ...... ..... ... .. ... ....... 247

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5 FLOW OF DOWNLINK DA ТА ................................................................................................................................. 248

5.1 SDAP LAYER ....... ....... ......... ...... ... ...... ...... ... .... .. ...... ....... ... ... .... .... ...... ... .. ... ........ ....... ..... .. .... ... ..... ........ ......... .. .... ..... 253
5.2 PDCP LA YER ..... .. .. .. .......... ... .... .... .... ... ..... ... ..... .. , ..... ..... ......... .. ... ... .... ....... .. .. ..... ... .. .......... .. ....... ... ............ ..... .. .... ... . 254
5.3 RLC LAYER .. ....... ......... ... ... .. .. ...... ... ... ...... ........... .... ...... ... .. ......... ........ ............... .. ... .. ....... .. .... ...... ... .. .. ....... ... .. ..... ... . 25 7
5.3.1 TRANSPARENT MODE ... .... ..... ................... .. .... .. ..... .... .... ..... ..... .... .. .. ... ... .... ....... .. .. ... .. .... .. .... .. ...... .... .. .... ..... .. 258
5.3. 2 UNACКNOWLEDGED MODE ... .. ... .......... ... ...... .. ... .... ........... ....... .. .. .. ....... ....... .. ...... .... .. ...... ... .... ........ ...... ... .. 259
5.3.3 ACКNOWLEDGED MODE ... ....... ...... ... ... .... ...... ... .......... ... ..... ........ ... ....... ...... ..... ....... .. ...... ... .... .. ... .. .... .. .... .. .. 260
5.4 МАС LAYER ...... ... .... .................. ..... ... .. ..... ... .... ..... ... ....... ...... ........ ..... ... ... ... .. .. ... ... ... ...... ..... ... .... .... ..... .... ........ ... ...... 263
6 SYSTEM INFORМA TION ......................................................................................................................................... 265
6.1 MASTER INFORМATION BLOCK ........... .. ......... ... .. .... .. ... .... ..... ..... ..... ........ ...... ......... .. .......... ..... ....... ... .. ..... ... .. .... 266
6. 2 SYSTEM INFORМA TION BLOCK 1 ...... .... .. .. ... ... .. .. .... ... ..... .... .. ...... ... .... ... ... .. ... .... ............ .......... ... .... ............ .. .. ... 269
6. 3 SYSTEM INFORМATION BLOCK 2 ... ...... ....... ..... ... ..... .. .. .. ...... .... ..... ........ ........ ........ ..... ... ... .... .... ..... .... ... ... .. .... ... . 277
6.4 SYSTEM INFORМATIO N BLOCK 3 .... .. .. .. ... .......... .. .... .... .... .............. .. .. ..... .... ... ... .... ... .. ..... .... .... ..... .. .. .. .. ... .. .. .... .. 280
6.5 SYSTEM INFORМ A TION BLOCK 4 .... .. ................... ... ....... ....... ........ .. ..... ..... ...... ...... ...... ... ...... .... .. ...... .. ........ ... .... 28 1
6.6 SYSTEM INFORМA TION BLOCK 5 .... .... ... .... ... ..... ..... ........ ... ...... .. .. .. ......... ..... .. ... ..... .... ... ............... .......... ... ........ 284
6.7 SYSTEM INFORMATION BLOCK 6 .... .. .. ..... .. .. ...... .. .... ... ... .. .. .... ... ....... ............... ......... ... ..... ..... ... .......... .... .. ...... ... 285
6.8 SYSTEM INFORМA TION BLOCK 7 .. .. .. ... .. .. .... ....... ... ........ .... .. .. .. ..... ... ..... ..... ...... ........ ..... ...... ... ... .... .. ...... ... ..... ... . 286
6.9 SYSTEM IN FORМA TION BLOCK 8 ....... ................ .. ..... ......... .. ....... ..... ...... .. .. .. ....... .... .. .... .... .. ... ..... ... .. ... ....... ..... .. 286
6.10 SYSTEM INFORМATION BLOCK 9 ....... ...... ..... ....... ...... .............. .. ... .. ....... ... .. .. ..... ........ .. ..... .. .. ..... .... ... ...... ... ... .. .. 287
7 UPLINK SIGNALS AND CHANNELS ....................... ................. ......... .... ... ..... ... ...... ........ ....... ................................. 288
7.1 UPLINK CHANNEL MAPPINGS .. .. ........... ... ............. ..... .... ....... ... ..... ..... ..... .... ......... ... ..... .... .... ..... .. .. .. .... .. ..... ... ...... 288
7.2 PHYSICAL RANDOM ACCESS CHANNEL ........ ....... .. ...... .. .... ... ...... ........ .... ... .. .... ... .. ... ..... .... ... .. .. ... ... ... ... ... ... ..... 289
7.2. 1 BA CKGROUND ...... ... ...... ... ....... ......... ........ .... ...... .......... .. ..... .. ..... .... .. .... ... .. .... .. ... .. ... .. ...... .... ... ... .... .... ... ... ... ... 289
7.2.2 PRACH GENERATJON. ..... .. ......... ..... ................ ... .. ........ .. ..... .. ..... ..... .... .... ...... .... .. .... ... ... ... ......... .. .... ... ...... ..... 293
7.2.3 LON G SEQUENCE PRA CH FORМATS ......... .. ........ ... .. .......... ......... ........ ... ... .... .... ... ... .. .... ... ........ ...... .. ....... ... 296
7.2. 4 SHORT SEQUENCE PRA CH FORМATS ... .... ..... ........ ... ... .. ....... .. .... ........ ... .... .. ... ..... .......... ...... .. ... ..... .. .. ...... .. 301
7.3 PHYSICAL UPLINK CONTROL CHANNEL ..... ..... .. ....... ..... .. ....... .. ..... ...... ... .. ... .. .. .... ... .. ........ .... .............. .... ........ . 308
7.3. 1 РИССН FORМAT 0 .......... ........ .. .. ... .... .. .. .... .. ......... .. ... ...... .... ..... ........ ..... ... .. ........... ... .... .. ..... ........ .. .... .... .... 313
7.3.2 РИССН FOR МA T 1 ...... .. .. .. ..... ... .. ... ...... .... .. .... .... .... .. .... ...... .. ... .. .... ....... .. .. .... .... ... ..... .. ....... ... ........... .. ...... ...... 315
7.3.3 PUCCH FOR МA T 2 ........ ... .. ... ....... .. ... .. ... ... ..... ..... ..... .. ..... .. ...... ... .. .. ... ... ...... .. .. ...... ... ... ... .... ... ...... ..... .. ... .. ..... .. 319
7.3.4 Р ИССН FOR МAT 3 ...... .. .. .. .. .. .... ........ .. ... ... ... ..... .. ... ...... .. ..... ...... .... ..... ....... ................ ..... .... .......... ......... .. ..... .. 321
7.3.5 PUCCH FOR МA T 4 .. .......... ....... .. ..... ...... .......... .... .... ..... ........ ..... ...... .. .. ........... .. ....... ..... .... .. ......... .. .......... ...... . 324
7.3. 6 PUCCH REPETJТlON .. ............ .. ...... .... .... .... ............. .......... .... .... .. .. .... ............ ..... ...... .... ...... .. ..... ..... ..... ....... ... 326
7.4 PHYSICAL UPLINК SHARED CHANNEL ..... ....... .. ... ..... ..... ...... ... .. ..... ... ................ .. .... .. ....... .. ......... .... ....... ........ ... 327
7. 4.1 MODULA TJON AND CODlNG SСНЕМЕ ...... :....... ...... .. :...... ..... ......... .......... .. .. .. .... .. .... .. .. .... ..... .......... ...... .. ... 330
7. 4.2 TRANSPORT BLOCK SJZE ......... ..... ........ ..... .... ... .... :.. .. :.. ..... ......... .... ... .. ... .. ... ...... .... ..... .. ...... ....... ..... .... ..... ..... 332
7. 4.3 PHYSl CAL LAYER PROCESSlNG ........ ..... ... ... .. .. ...... ...... ........ ... ...... ......... ..... ... .. ..... ....... .... .. ..... ... .... .. .. ... .. .... . 333
7. 4.4 RESOURCE ALLOCATlONS ............... .... .. ... ... .... ... ... ......... .... ...... ............ ...... ........ ... .... ... .. .. ........ ................ .. . 339
7.5 UPLINK REFERENCE SIGNALS ........ ........... ............ .. .... ......... ......... .... ...... ............ ... .. ... .......... .. .. ..... ... ...... .. ... ...... 35 1
7.5. 1 DEMODULATJON REFERENCE SlGNAL FOR PUSCH .. .. ....... .. ... .. .. .. .. .. ... .... ... ...... .. .. .. .. ... ........ ... ........ ... .... 351
7. 5.2 DEMODULA TJON REFERENCE SIGNAL FOR РИССН .. .. ... .. ... ... .. ... .... .... ...... ...... .. ... .... .. .. ... ....... ....... .. .. .. .. 35 7
7.5.3 SOUNDJN G REFERENCE SIGNAL .. ... ... ... ....... .. ... ....... ..... ... .. .............. .............. .. ... ..... ............... ... ...... .... .. ... . 358
7.5.4 PHASE TRA CIONG REFERENCE SIGNAL ... ..... ... ................. .... ..... ............. ... ... .. ... .......... .... .. .... ... ...... .... .. .. .. 369
8 UPLINK TRANSMISS ION SC HEMES ...... .. .... .................................................. ............. ..................................... .. .. . 374
8. 1 CODEBOOK BAS ED TRANSMISSION ....... ... ...... ...... .. .. .. ........ .. .. ... ....... ... ...... .... .... .. ............. ..... ............... .. ... ... .... 374
8.2 NON-CODEBOOK BASED TRANSMIS SION .. .. ... .. ..... .. ... .... ... ........ .. .... .. ..... .. ... ..... ... ... ...... ..... .. .. .. ........ ... .. .. .. .... ... 380
9 ВЕАМ MANAGEMENT .................................................................................. .-.......................................................... 382
9.1 IN IТI AL AC QUI S IТION ..... .. ......... ........... ..... .. ... ...... .. ....... ... .. ...... .... .... .... .. .... .. ... .... ........ ... ... ...... .... ...... ..... .......... .. .. 383
9.2 DOWNLINKBEAM REFINEMENT .. .. .... .... ...... .. ....... ...... .. .. ....... ....... ... .... ...... .. .... .... ... ...... ...... ....... .... .. ..... ....... .... .. 384
9.3 UPLINK ВЕАМ REFINEMENT ... ......... .... ..... ..... ............ .... .... .......... ................. .... ... ........... ............... ..... ... ....... ...... 386
9.4 МОВIL/ТУ ..... ......... ..... .......... .. ............... ... ... ... ... ... ................... .... ... .. ................. ..... .. .... ....... .... ..... ... ......... ....... ........ 386
9.5 PMI ВЕАМ SELECTION ..... ... .... ........ .. .......... .... .... ....... .. ..... .............. .... ... .... ..... ........ .... ..... .. .. ......... ...... .... .... ........ .. 388
9.6 ВЕАМ FAILURE & RECOVERY ... ........ .... .. .. ....... .... ... ... ...... ...... ....... ........ ... .... .. .. ...... ... .. ....... ... ....... ........ ... .... ........ 388

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5G NR in BULLETS

10 UE MEASUREM ENTS ................................................................................................................................................. 389

10.1 SS-RSRP ............... .. .. .. .. ...... ... ................. .......... .. ..... ..... .. ........... .. .. ... ...... .. ........... ......... ....... ... ... .. ........ ... ... .. ............. .. 389
10.2 SS-RSRQ ....... .. .. .. ..... .. .. ... ... .. .. .... ... ..... .. .... ........ .. ... ... .... .. ....... .. .. ... .......... .. ......... .. .... .............. ............... ..... .. .. .... ... .. .. .. 391
10.3 SS-SINR ......... ........ .. ...... .... .... .. .... .. ...... ... ..... .... ... .... ...... .......... .... ..... ..... ... .... ..... .... ........ .. .......... ... ....... ..... ... ..... ..... .... ..393
10.4 CSI-RSRP ............. .. ................. ... .. .............. ... .. ......... .. ........... ... ....... .. .... .... .. ... ........ .............. .. ........... .. ..... .......... .. ...... 393
10.5 CSI-RSRQ ....... ....... .. ... ..... .. .... ..................... ... ... .. ...... .. ......... ... .. ... .. .. .......... ... ..... .. ... ... ..... .. .... .. .. .. ...... ...... .. ... .. ... .......... 394
10.6 CSI-SINR ........ ..... ...... .. ..... ... ... ... ....... ...... ... .. .. ...... .. .... ... .... .... ..... .. .... ... .... .... .. ...... ... .. .... ... ..... .. .... .. ..... .. ..... ..... .... .... .. ... .394
10.7 SFN AND"FRAМ E ТIMING DIFFERENCE ..... ...... ............... ............ .. .. ...................... ................. ... .... ... ........... .. .. ...394
10.8 OTHERMEASUREMENTS ................... .... ...... ........ ..... ......... ..... ........ .... ....... ..... ............... ...... ..... ... ........ ... .. .... .... ....395
11 MEASUREMENT REPORTING ................................................................................................................................396
11 .1 CELL LEVEL RESULTS ....... ... .. .. .. ................................. .. .............. .. ........... .................. .. ............................ ............ .400
11.2 LA YER 3 FILTERING .. ... .. .. .............. .... ... .. .. ......... .. ........ .. ......... ..... .... .. .. .. .. .. ... ... ....... ... ..... .. ... .. .... ... .. ........ .. .. .......... .401
} 1.3 EVENТ Al .............. ... ....... .. ....... .. ............ .. .. ... ......... ..... .. .... ................. ... .. .... ... .... ...... ..... ..... ... .... .. ..... ..... .... ....... .. ...... .402
11.4 EVENТ А2 .............. ... .................. ... ............. ..................... .. .... .. ..... ... ........ .. .. .. ........ ............... ......... .. .................. ....... .402
11 .5 EVENТ АЗ ....... .. ...................... .. ............... .. ..... .. ..... .. .. ........... .... .. .. .......... .. .. .......... ... .. ............. ............................... ... .403
11 .6 EVENТ А4 .................. ..... ........... .. .. .. .. .. .. .. .. ... .. .. ... .. .... ... .... ... ...... ......... .. ...... ..... ..... .... ....... ...... ... .... .. ......... .... ...... .... ... .403
11 .7 EVENТ А5 ..... ..... .... .... ............ .. ....................................... ... .... .. ... .. .. ...... ....... .......... .... .. .......... ......... ..... ... ... .. .. .. .......... 404
11 .8 EVENТ А6 ..... ...... ....... ............... .......... ....... ........... .......... ........ .... ......... ....... .. ........ .. ................. ....... .... ... ................. .. .404
11.9 EV ENТ В 1 ... ...... .. .. ....... ......... .. .. ... ... .. .. ..... .. ......... .. .... ...... .. ....... .. .. .... ......... .. ........ ... ...... ......... .... ... .. .... .. ..... .. ..... .. ..... .. .405
11.l0EVENТ В 2 ....... .. ........... ....... .. ... ;.. .. .. .. .. .. .. ........ ..... ... .. .. ........ ... .. ... ... .. ... .......... ... .. ............. ..... .... .... .. ........... .... .. ... ... .... .405

12 IDLE MODE PROCEDURES ......................................... ...................................................................... .......... ............. 406

12.1 PLМN SELECTION ........ .... .. .... .... .. ...... .. ... .. .................. .... .. ..... ..... .... .. .. .. .. .. ..... .......... ............ ... ...... .... ... ...... .... .. ...... .406
12.2 CELL SELECTION .. .. .. ............. .. .... .... .. ... ............. .. .. ..... ... ........ .... .......................... .. .. ... .. ............... .. .. .. .. ... .. .. ........... .407
12.3 CELL RESELECTION ... ....... ....................... .. ......... .. ......... .. ..... ... ...... .... .. .. ....... ................... ......... .......... ... ......... .. .... .409
12.3. 1 ABSOLUTE PRIORITIES ........ ........ ......... ...... ... .... ... .. ....... .... ...... ... ..... .... .. .... ... ... .. ..... ... ... ............... .. ........ ... 409
12.3.2 TRIGGERING МEASUREМENTS ....... .. .... ..... ... ........ ....... ... .. .... .. ..... .... ....... .. .. .......... .. ..... ........ ..... ........ ...... 410
12.3.3 MOВILJТY STATES ........ ........ .... .. .......... ..... ... .......... ...... ....... ........... ... ..... ....... ...... ... ....... ... ... ... ... ... ........... ... 41 l
12.3.4 RESELECTJON ....... .... .. ....... ............. ... ..... .... .. ...... ... .. .. ....... ...... ... .. ......... ............... .... ................................ ..412
12.4 PAGING .... ....... ... ..... ..... .. ..... ... ..... ...... .. .. ... .... ..... ....... ................ .... .................. ... ... ..... .. .............. .. ... ....... .... ....... .. ...... ..4 15
12.4. 1 PROCEDURE ..... ... .... ...... ... ..... .. .... ............ .......... ..... .. .. ......... ....... .. .... ...... ........ .. ..... ... ..... ..... ..... ...... ............. 415
12.4.2 OCCASJONS ... ...... .......... .... ........ ... ...... ..................... ....... ............ ....... ..... .. ........ .... .. ..... ...... .. ....... .. .... .. .. .. ..... 419
13 PHYSICAL AND МАС LA YER PROCEDURES ............................................................................. .................... ... .423
13.1 RANDOM ACCESS ........................ ............... ... .. .. ..... .. ......... .... ....... .. .... .. ... ...... .. .. .... .............. .. ............... ..... ... ......... .423
13. 1.1 CONTENTJON BASED ..... .... .... ..... .. ........... .............. ... .. ..... ......... ..... ........... ................ ... ... ... ... ... ... .. ....... ... .. 425
13. 1.2 CONTENTJON FREE .. .. .. ...... .. .... ..... ..... ................. .... .. ......... ...... .. ............. ....... ....... ....... ....... ............. .. ....... 437
13. 1.3 PRIORJТISED RANDOM ACCESS .... .. .... ... .. ........... ...... ......... .. ..... ... .... ......... .... .. ............ .... .... .... ........ ....... . 439
13.2 TIMINGADVANCE ............. ... ............ ..... ........... .. .... .. .................... ........ .. ... .............. .. .......... .... ................ .. ........... ..440
13.3 UPLINКPOW E R C ONТRO L .. .... .. ...... .. .. ... .. .. ........... .. ........... ..... .. .. ............ .... ........................ .......... ..... ......... .... ..... .443
13. 3.1 PUSCH ................ ..... ... .... ... ..... .. ... .. .. .. ... ... ... .. ...... ...... .. .................... ........ ..... ... ... ...... ..... .. ........ ....... .. .... .. ...... 443
13.3.2 Р ИССН. ..... .... .... ... .. .... ... ..... ..... .. ... .. .. ................. ........ .. ......... .............. ..... ..... .... .. .... .... .. .. .. .... ......... ... ....... ..... 449
13.3.3 SRS.... ................. ....... ........ ......... .. ........ ........ ... .. .... .. ............... .... .... .. ........ .. ... ........... .. ............. .... .... ...... ........ 453
13.3.4 UEPO WER CL ASS .... ..... ....... .... .... ... .. ..................... ... ......... ........... ... ........ .... ..... ..... ... ............ ... ..... .... ......... 454
13.3.5 МULTlPLE UPLJNK CARRIERS .............. ....... ... ..... .. ... .. ..... ........ ...... ..... ..... .... ....... .. .. .... .. ..... ... ....... .. .......... 456
13.4 DOWNLINK POWER CONТRO L .......... .... ...... .. .. ... .. ... .... ........ ....... .. ............... ...... .... ... .. ....... .... .... ........ .. ... ............. .457
13.5 HARQ ..... .. ............. ................... ... .. ....... ....... .. .. ... .... .. .... .... .. ... ...... ..... .. ...... ...... ... ......... .......... .. .... .. .. ... .. ........ ..... ......... .459
13.5. 1 DOWNLINKHARQ ..... ........ .. .. .. .. ...... .. ................ .. ... .... ....... .. .. .. ... ............ .... .... .. .. ........... ...... ..... .......... ... .. .. .460
13.5.2 UPLJNK HARQ .... ................... .. ....... ... .. .. .... .... ....... .. ........... .. .... .. ...... ...... .. .. ..... ... ...... .. .. .. ...... .. ... .... ...... ...... .. 469
13.6 CHANNEL STATE REPORТING ......... ... ..... ............ .. ......... ...... ..... .. ...... .... ....... ... ....... .................... .. .......... .. ........... 47 1
13.6. 1 CHANNEL QUALJТY JNDICATOR .... ..... ..... ....... .... ... ......... .. ... .. .. ....... .......... .... .. .............. ... .... ... .. ..... .. .... .. . 475
13.6.2 RANK INDlCATOR ...... ... .. ..... .... ...... ... .. .. .. .. ... .. ..... ..... .... ... .. ..... ... .. ..... .. ... .. .. .... .. ......... .... ............ .. ........... .. .477
13.6.3 PRECODING МATRIX JNDICATOR ... ....... .... .. ... ........ ..... ....... ... .. ...... ... .. ...... .. .... ... .. ...... ... .......... .. ......... .... .478
13.6.4 LAYERlNDJCATOR ...... .. .. .. ........ .............. ........... .... ..... .. .. ...... .. ...... ... .. ... .... .. .... ...... ... ..... .. ..... .. .... ... ..... ... ..... 490
13.6.5 SSBRI, CRI AND L l -RSRP .... ..... .... .... .... ....... .... ... .. ...... .. .. .. .. ........ .. ......... ...... ...... .... ... ............ ...... ... ...... ... ... .491
13.7 UPLINK RESOURCE REQUEST ... ........ .... ..... ................. .... ..... ... .... ..... ..... .. ...... .... ....... ... ....... .. ........ ........ .......... ..... .493
13.7.1 SCHEDULJNGREQUEST ......... ............. ... ... .............. .... .. .. ... ... .. .. ................. ..... .... ... .............. .. ... ............... 493

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 5G NR in BULLETS

13. 7.2 BUFFER STATUS REPORТING ............... .. .. .. ... ... ..... ... .... ....... ... ... ... ... ... ... ..... ......... ..... .... ...... .... ........ ....... . 496
13.8 POWER HEADROOM REPORTING ............ ... ... .. .. ..... .. ......... .... ... ....... ..... .. .... ........ ............ ........ ............... ....... ...... 499
13 .9 RADIO LINKMONIТORJNG ...... ... ............ .... ..... .. ... ................... ................. .... ...... ... .. ..... ... ............ ... .. .. .... ...... .. ...... 502
13.9. 1 BEAMFAILURE... ............. ... ... ... ... .... .... .. ... ... .... ............. ..... .... .............. .. ... .... ....... ....... ... .. ........ .. ...... ...... .. .. 503
13.9.2 RADIOLINKFAILURE .... ............. ........ ... .. ... .............. ... .... ... ... .. .. ..... ... ..... ...... ... ............. ........................... 505
1 3 .l 0DISCONТINUOUS RECEPTION .. ............... .. .. ....... .... ............. ... .. ........................ .............. .. ............................... .... 508

14 VOICE SERVICES ...................................................................................................................................................... 511

14.1 VOICEOVERNEWRADIO ....... ....... ............................ .................... ...... ..................... ... .. ......... .............. .. ..... .. ....... 512
14.2 EPS FALLBACK ..................................... .. ...... ........... ....... ... ......... ........ ..... .. ........... .... .... ... .. .. .... ......... ........ .... ...... ... . 520
14.3 RAT FALLBACK ........... .... ....... ....... ..... ...... ....... ....... ......... ... ........ .. .. ......... ..... .... .. ............... ... ............ .......... .... .... .... 521
15 SIGNALLING PROCEDURES ....................................................................... ............................................................ 522
15.1 LTERRCIDLEMODE ...................................................... .... .. ...... ... ... .. ... ............... .................................... ............. 522
15.2 EN-DC SECONDARY CELLADDITION ....... ........ .. ....................... ...... .. ..... ... .. .......... ... .............. ... ........ ...... .......... 526
15.3 RRC CONNECTION SETUP .... .... ...... .. .. ..... .. .. ........ .. ... ... ............ .... ... .. ... ........... ..... .......... .. ...... .. ........... ....... .. ......... 536
15.4 INIТIAL СОNТЕХТ SETUP .......... .. ............... ...... .. ............................................ .... ... .......................... .................. ... 541
15.5 XN BASED HANDOVER ................................... ............................... .......... ..... ...... .... ......... .. .. ........ .. ..... ............... .. .. 544
15 .6 RRC CONNECTION RELEASE ............ ..... ...... ........ ......... ... ...... ....... .... .............. ... .... .. .... ...... ... .... ..................... ...... 54 7
16 RADIO NETWORК PLANNING .......................................................................................................... ..................... 549
16.1 OPERATING BAND ......... ....... ... ........ ..... .. .... .... ............ ........... .... ............. ... ... ....... ..... ........ ......... ........ .. .... ......... ..... 549
16.2 NR-ARFCN &GSCN ............. ........ ............ ........ ....... ......... ......... ................. ....... .. ... ............. ..... ... .... .... ... ................. 549
16.3 SLOTFORМAT .......... ........ ............... ...... ..... .. .. ... ..... ..................... ............................ .............. .. ..... ... .... ...... ........ .. .. . 550
16.4 ANTENNA SOLUTION ......................... .. .... ..... ........ .... ..... ... ...... ..... ............... ........... ..... ... ........ ..... ......... ........... ...... 553
16.5 DOWNLINК TRANSMIТPOWER ....... ... .... ...... .. .. ..... ... .. ......... .. ........... ...... ... ...... ............ ............ ... ... .... ........... ...... 555
16.6 PCIALLOCATION ... ....... .......... ... ... ...... ... ........ ..... .... ................ .. ..... .. .... .... ....... .. ........... ... ........................... .... ........ 555
16.7 CYCLIC PREFIX ..... ............ .... ... ... ..... .... ... .. ...... ... .. .. ..... .. ..... .............. .......... ........ ... ........... ... ....... .. ....... .. .. .. ... .. ........ . 557
16.8 CSI REFERENCE SIGNAL ... ... ....... ............ ..... ........... .. ... ... ... ... ... ......... .... .. ......... ... ....... ... ...... ... ........... ............ .. .... .. 557
16.9 PHASE TRACКING REFERENCE SIGNAL .... ....... ........... ... .............. .. ..... ... .......... ....... ... ...... .. ......... .. ..... .. ............ 558
16.l0PRACHPLANNING ... ... ... .. ..... ..... ... .. .... .. ...... .. .. .. ..... ..... .... .... .. .... ....... ........ .... .... ........... ....................... .. ....... .......... . 559
16. 10.1 PRACH FOR МAT ..................... .. ...... .. ........ ...... .. .... .... ........................................... .. .......... ... .. ...... ..... .... .. . 559
16. 10.2 PRACH CONFIGURATION lNDEX. .......... .. ............. ........ .................. .. .......... .... ...... ...... ...... ... .. ..... .......... . 560
16.10. 3 ZERO CORRELATIONZONE ... .. ............ .. ...... .. ......... .................................. ...... .. .. .. ... .. ........... ... ... .. ..... ..... . 561
16.10.4 HIGHSPEEDFLAG .. ...... ... .......... ............. ... ... .. ...... .......... .. .. ...... .. ......... ..... ............ .... ....... .. ....... ... .. ........ .. 562
16.10.5 ROOT SEQUENCE INDEX. ... .. ...... .. ... .... .. .. .. ... .. .... ... .. .. ..... .... ...... .... .... .. ........ .... ... .... .. .... ......... ...... ..... .. .. .... 562
16.10.6 PRACH FREQUENCYOFFSET ... .... .. ... .... ......... .. ...... ,...... ....... ... ... ... .'........ ...... .. ................ ... ... ........ ... ....... 564
16.11 NEIGHBOUR PLANNING .................... ... .... ......... .. .... ... .. ,.... ...... ... ... .... .. ..... .. ... .... ........ ...... .. ... .... ... ............. ...... .... .. . 565
l6.1 2CELL & BTS IDENTIТY PLANNING .......... ... ........ .... .............. .. .... ... ........... ..... ..... .. ........................................... ... 566
16 . l3RANNOТIFICATION AREAPLANNING ..................... ....... .. .. .. ......... ... ... .. ... ... ....... ...... ................ .......... ....... .... ... 567
16.14TRACКING AREA PLANNING ... .. .... ...... .. ............. ........ .... ............ .. ............ ...... ..... .. .... ... ........ ..... ... .. ... .... ....... ... .... 568
l6.1 5THROUGHPUT EXPECTATIONS ............................................. ..... .... ................. ........... ....... .......... ........ .......... ...... 569
16.15.1 DOWNLINК. ..... ............ .... ......... ........ ......... ...... .... ..... ..... ... .. ............. ..... ...... ..... .... ...... ..... .. ... ... ... ... ..... ......... 570
16.15.2 UPLINK ... ... .............. ... ........... ... ... ..... ... .............. ... ..... .. ... ..... ... .. .. ..... ......... ... .. .. .. ................ ..... ...... ..... ...... ... 571
17 DYNAMIC SPECTRUM SHARING ....................................................... ................................................................... 574
18 UE IDENTITIES ................................................ ......... ...................... ... .............................. ......................... ............ ...... 578
18.1 IM SI .... ... ... ........ .... ... ... .... ............ ......... ..... ...... .... .... .. ..... ..... ....... ... ......... ...... .. ... ... ......... ... ....... .. .. ........ .. ..... ... .... ......... 578
18.2 IMEI ... ...... ............................. .. .... .. .... .. ... ... .... ...... .. .. ............ .... ....... ... .... ...... .... .... ...... ... ... ....... ....... .. .... ......... ... .. .... ..... 578
18.3 SUPI & SUCI ...... .......... ............................ ...... .. ................... ... .. ... ... ..... ....... ..... ... .. ......... .. ....... ........ .................. .... ..... 579
18.4 5O-GUTI ........................................................... .... .............. ...... ....... ............. .. .... ... ........ .... ... .. .. .. .... ... ... ....... ... ... ....... . 579
18.5 5G-S-TMSI .................................................. ..... ... ..... .. ........ ........... ... ... ... ... ... ........ ...... ..... .... ..................... .. .. .. ....... ... .. 580
18.6 RNTI ..... .. ... ...... .. ....... .. ......... ............ ...... .. .. ... .. .. ... .. ............. ... .. .... ... ...... .. .. .... .... .. ...... .... ... .. ... ........ .. .......... .... .... ....... .. 580
18.7 1 -RNТ I ..... .. ............ .. .. .... ..... .................. ...... .... ... ..... .. ....... ... ... ...... ..... ..... .... .. .... ... ...... .................. ........ ......... ....... ........ 58 1

19 ABBREVIATIONS ....................................................................................................................................................... 582

20 INDEX ........................................................................................................................................................................... 586

7
5G NR in BULLETS

1 FUNDAМENТALS

1.1 INTRODUCTION
* 50 has been introduced within the release 15 version of the ЗОРР specifications, whereas 40 was introduced within release 8

* 50 has been specified based upon the requirements ofthe following use cases:
о enhanced "
MoЬile Broadband (еМВВ)

о Ultra ReliaЫe and Low Latency Communications (URLLC)

о massive Macbine Туре Communications (mМТС)

* The Radio Access Network (RAN) belonging to 40 is known as Long Term Evolution (LTE), whereas the RAN belonging to 50 is
, known as New Radio (NR)
* NR has been standardised to allow tight interworking witl1 L ТЕ. Tight interworking supports the inter-connection ofLТЕ and NR Base
Stations. These Base Stations can then Ье used in comЬination to sel'Ve the popнlation ofUser Eqнipment (UE). 50 network
architectшes based upon tight interworking between LTE and NR аге known as Non-Standalone (NSA)

* Non-Standalone architectures allow а smooth and relatively simple evolнtion towards а complete end-to-end 50 System (50S). Non-
Standalone architectures allow re-нse of existing L ТЕ Base Stations and existing 40 Core Networks. ln general, а software нpgrade is
sнfficient to allow inte1working with а set ofNR Base Stations

* Standalone (SA) NR Base Stations pl'Ov,ide connectivity to а 50 Core Network. The comЬination ofNR Base Station and 50 Соге
Network is known as а 50 System (50S). The benefits of 50 аге maximised when нsing а 50 System

* NR Base Stations have а flexiЫe a rchitectшe which supports а range of deployment options:

о а 'classical' Base Station ar·chitectнre can Ье adopted to keep the haгdware within а single caЬinet

о alteгnatively, the Base Station can Ье split into а Centгalised Unit (CU) and а Distгibнted Unit (DU). The CU accommodates the
high er pl'Otocol stack l ayeгs, while the DU accommodates tl1e lowe1· protocol stack layeгs . А single CU can host а large nнmber of
DU (typically > 100), while each DU can host mнltiple cells (typically > 6)
о in additioп , th e CU can Ье split into Contюl Plane (СР) and Useг Plane (UP) fiшctio11s. This allo\VS independent scaling oftl1e СР
а пd UP processiпg capaЬilities . It also allows tl1e two fi.111ctio11s to Ье deployed at diffeгeпt geogгaphic locat ioп s . UP fu11ctio11s may
Ье located iп close proximity to th e DU to help redнce нsе1· plane l ate п cy, wl1il e СР fi.111ctio11s may Ье ce11 t1·alised to pool геsошсеs

о all deploymeпt optioпs сап н sе eitl1eг passive ог active aпtenna. Passive aпte nna are connected to гadio modнl es ttsing RF feeder
саЫеs whe1·eas active antenna are connected to basebaпd pюcess iп g hardwaгe нsing high speed fibre

Congestioп within the lower operatiпg bands, combined with а reqнiremeпt for wideг channel baпdw id ths has led to the specificatioп
* of both low and high operating baпds for 50. Release 15 has adopted tl1e use ofFreqttency Range 1 (450 MHz to 6 OHz) апd
Fгeqнency Raпge 2 (24.25 OHz to 52.60 OHz). Freqttency Range I sttppoгts chaпnel bandwidths from 5 to 100 MHz, wheгeas
Fгequency Raпge 2 supports chanпel bandwidths from 50 to 400 МНz

Fгequeпcy iпclнdes operatiпg

bands which sнpport Fгequeпcy Divisio11 Dнplexiпg (FDD), Time Divisioп Duplexing (TDD),
* Range I
Sttpplemeпtal Downliпk (SDL) апd Sttpplemental Uplink (SUL), wl1ereas Fгeqtteпcy Raпge 2 sttppoгts оп l у TDD. ЗОРР has specified
mechanisms to allow dyпamic changes to the нplink and downlink tгansmissioп pattem нsed Ьу TDD
The NR air-iпteгface ttses Cyclic Prefix OFDM (CP-OFDM) iп both the нplink and downliпk directions. 111 addition, Discrete Fошiег
* Traпsform Spread OFDM (DFT-S-OFDM) сап Ье нsed to help impюve coverage in the ttplink direction. Both waveforms сап use
QPSK, 16QАМ , 64QАМ and 256QAM. DFT-S-OFDM сап also ttse тт/2 BPSK in areas ofweak coverage
апd kНz
are s нpported \Vitl1i11 Freqнeпcy Raпge 1, while sttbcaпieг spac iп gs of 60, 120 апd 240 kНz
* Sttbcarrier spacings of 15, 30
а ге sнpported withiп Fгеqнепсу Raпge
60
2. The 240 kHz sttbcaггier spac iп g is опlу ttsed for the tгa11smissio11 of Sy11chгo11isatio11 Sigпals
апd the Physical Bгoadcast Chanпel (РВСН). Smaller subcaпieг spac iп gs have lоп gег symbol dшatioпs \Vl1ich allow sнpport fог lагgег
cell гапgеs. La,·ger subcaпier spaciпgs have shoгter symbol dшatioпs which allo\v sLtppшt fог loweг l a te пcie s

* Beamfoгming апd MIMO аге impoгtant fог both the ttpliпk and dowпliпk ofthe NR aiг-iпteгface. These сап Ь е combiпed witl1i11 tl1e
coпt ex t
ofmassive MIMO (mMIMO). Beamfoпn iп g is paгticнlaгly i111p oгta 11t to impгove the liпk bLtdget wheп н s iп g Fгeqtteпcy Raп ge
2. Mнlti-Us e г МIМО (MU-MIMO) сап Ь е ttsed to imp ю ve spectп.1111 e ffici e пcy vvheп UE l1 ave sLt ffic ient spati al se paratioп

* Botl1 40 a11d 50 l1ave Ьее11 de s i gп ed to s Ltppoгt Packet Switcl1ed (PS) se1·vices. 40 st1pports tl1 e speecl1 service н s in g Voice оvег LTE
(VoLТЕ) , vvl1ereas 50 s нpp oгts the speech seгv ic e нsiпg Voice оvег NR (VoNR). 40 netwo1·ks supp01·t Siпg l e Radio Voice Call
Co11ti11uity (SRVCC) to allo\v iпteг-system ha11doveг to\vaгds the Ciгc Ltit Switcl1 ed (CS) domaiп belo11gi11g to eitl1 eг 30 or 20. Release
15 does поt support SRVCC fог 50 bllt Packet Switched inte1·-system ha11dove1·s fiom 50 to 40 аге poss iЫ e . SRVCC fi·om 50 to 30 is
specified withiп the гelease 16 veгsioп ofthe ЗОРР specificatioпs

8
 5G NR in BULLETS

1.2 USE CASES

* ЗGРР has adopted the set of ttse cases identified Ьу the Radio Commttnications Sector of the Intemational Telecommttnications Union
(ITTJ-R). These ttse cases are applicaЬ\e to technologies being developed to suppoгt the гequirements oflnternational Mobile
Tel eco 111mнnications fог 2020 (IMT2020) and beyond. The set ofttse cases are:

о enhanced Mobile Broadband (еМВВ)

о Ultra ReliaЬ\e and Low Latency Communications (URLLC)

о massive Machine Туре Commнnications (mМТС)

* ЗGРР is accoш1ting for the requiгements of these ttse cases when standardising 5G. Release 15 focuses нроn the еМВВ and URLLC
categoгies, Ьнt
additional capabilities for mМТС will Ье added in Release 16. The Narrow Band Intemet ofThings (NВ-IoT) and LTE-
Machine (LTE-M) techпologies belonging to 4G pгovide а soltttioп for mМТС withiп the timescales ofrelease 15
* Eacl1 нsе case category l1as its оwп set ofгeqнirements . Fог example, еМВВ requiгes high conпectioп throнghpttts and high network
capacity, whereas URLLC гeqttires low latency and high гeliability for devices witl1 both lo\v апd high 111obility. The IТU-R has
identified а ge11eгal set of 1·eqt1i1·ements and has assigned а п importance to each reqt1ire111eпt for each ttse case. These гequiremeпts апd
their impOl'tance ar·e st1mmarised in Figшe 1

•
High High Hlgh High M edium Medium High High
еМВВ
lmportance lmportance lmportance lmportance lmportance lmportance lmportance lmportance

Low Low Lo1v Low Low High High Low

URLLC
lmportance lmportance lmportance lmportance lmportance lmportance lmportance lmportance

Low Low Low Low High Low Low Medium

mMTC
lmportance lmportance lmportance lmportance lmportance lmportance lmportance lmportance

Maximum Ave rage Spectrum АгеаTr affic Conn ection Latency Mobllity Network
Connection Coпnection Efficiency Capacity Density Energy
Thr oughput Throughput Efficiency

F i gш·e 1- lшро1·tапсе of va 1·io11s 1·eq11i1·e111e11ts for· еас /1 Use Case

* Reqttiгements also vагу \vitl1i11 а specific 11se case categoгy. Fог example, deploying еМВВ acгoss а л.ll'al агеа reqttiгes а foctts ttpon
cover·age, wl1eгeas deployiпg еМВВ acгoss an шЬ а п агеа гeq ui1·es а foct1s uроп capacity
* Eacl1 ttse case categoгy iпclttde s many iпdividttal
applicatioпs. Examples ofthese applicatioпs аге
Enha11ced Moblle
shown i11 F i gшe 2 Broadband

* Existi11g applicatioпs ai·e included, e.g. voice

seгv ices, video s tгeamiпg, iпtemet bгowsing, social
media and in s taпt messengeг applications. Many
/
16
ln-vehicle
e me гging applications аге also i11clt1ded, e.g.
/ Entertainm ent
automatic vel1icles, remote contгol, home
/ Fixed Wireless
a нtom a tion , smart city applications, wеагаЬ\еs,
/ Access
monitoгs апd seпsoгs live event lnternet
/ st reaming Social Media
* Many app licatioп s геqнiге components fi·om
1 Advertisi ng
mнltipl e use case categoгies. Fo1· exampl e, v i1·tнal / Augmented Reality

1·eality гe qui1·es lo\v lat e п cy to pгovide / Puьtic Space Augmented Virtual

гespoпsiveness and higl1 moЬil e bгoadb a nd / Security Shopping Reai,ty

t l11'ou g l1pнt s fог tl1e гapid t1·aпsfe 1· of conteпt Home IMSbased Gam,ng \
Security Personal Voice
/ Sensors
* ЗG РР is епs шiп g
tl1at 5G has s нffi c i eпt flexiЬility Warning \
Hom e lndustrial Systems \
апd ca paЬitity to addr·ess the diveгse set of automation Activity
Track ing Control Systems Moblle \
1·equi1·e111cnts b e loп g in g to tl1is Ьгоаd 1·апgе of / Street light Health Саге
PuЬlic Safety
a pplicatio п s Automation WearaЬles
Mission Critical
\
Remote '
Smart Parking Envionmental ln dustrial Automatic Controlof
* ITU-R Н.е fе ге пс еs: Recommeпdat ion IТU -R City Support Sensors Sensors Driving Vehic1es
М.2083 - 0 \
Massive Machine Ту ре Ultгa R e li a Ьleand
low
* ЗGРР Refereпces: TR 22 .861 , TR 22.862, TR Comn1unicat ions l atency Comm uпi cat ioп s
22 .863
Figш·e 2- Exaшples of applications associated ,vit/1 each Use Case categor·y

9
1.2.1 Enhanced MoЬile Broadband (еМВВ)

* enhanced MoЬile Broadband (еМВВ) represents an evolution ofthe MoЬile Broadband services offeгed Ьу 4G
* еМВВ applications generally involve humans accessing multi-media content, services and data
* еМВВ aims to improve the end-user experience for existing applications and support the introduction ofnew applications
* ЗGРР TR 22.863 identifies the main use case families as:
о high data rate scenarios at offices, shopping centres, шЬаn streets and гesidential locations. This use case family includes the
broadcast of audio and video, e.g. 4К ultra high definition video. Deployments at residential locations should Ье сараЫе of
competing with fixed broadband services
о high density scenarios to support the transfer ofhigh data volumes per unit area, e.g. at offices and other hotspot locations
including shopping centres, шЬаn streets, stadiums and puЬlic transport
, о coverage scenarios including local area coverage within offices and educational estaЫishments, as well as wide area coverage
using mobility to provide seamless connectivity
о high user moЬility in fast moving vehicles with services that are supported using either on-board network equipment or an ехtегпаl
fixed Base Station
о devices with highly variaЫe data rates, such as smart phones which often transfer small but frequent packets but can also tтansfeг
larger packets and data volumes. Smart phones may also act as а gateway fог wearaЫe sensors
о fixed-moЬile convergence to allow fhe comЬination of fixed and mobile broadband services. Devices should Ье аЫе to use both
fixed and mobile broadband connections either simultaneously to incгease aggтegate throughput, or individually

о Femtocell deployments at office, residential and urban locations to provide а 5G air-interface with а fixed broadband backhaнl

1.2.2 Massive Machine Туре Communications (mMTC)

* massive Machine Туре Commнnicatioп (mMTC) is characteгised Ьу а vегу laгge number of connected devices wl1ich typically
tгansmit low vol нm es ofnon-delay sensitive data

* mMTC devices аге geпeгa lly reqнiгed to Ье lo,v cost апd lшve а l oпg battery li fe
* ЗGРР TR 22.86 l identifies tl1e main categories of app licat ion as :
о Iпtегпеt ofThings (IoT) ,vith а laгge nнmber of devices tгansfeпing small volumes of noп-time cгitica l data
о Smati WearaЫes (peгsonal area network) using low complexity devices with а long batte1y life
о Sепsо г Networks used to monitor а wide 1·ange of metгics , e.g. traffic, weather, parkiпg spaces
* Мапу existing IoT devices do not нsе а cellular netwoгk, e.g. devices using WiFi to connect to the iпtегпеt via а wiгeless гоutег . These
devices are typically short гange, have little or no moЬility апd rely нроп the availaЬility of а wireless гонtег. Bluetooth Low Ene1·gy
(BLE) апd ZigBee аге otl1eг alteгпative wiгeless technologies used to connect IoT devices to eacl1 otheг and to the internet
* Within the context of 5G, the main focнs is нроп 'cellulaг IоТ' devices which use 5G as the access пetwork. Cellнlaг IoT devices
benefit from the ubiquitous wide агеа cove1·age provided Ьу а moЬile operator. These devices may sttppoti applications whicl1 iпvolve
mobility and they do not depend нроп the availaЬility of а wi1·eless гонtе1·
* The Smaгt WearaЫes categoгy includes activity tшcking devices, pe1·soпal seпsoгs, aнgmented reality headsets, smart watches, smaгt
ear buds, smart glasses and identity wristbaпds fог admissioп iпto theme parks. Most ofthese app lications гeqttire moЬility апd benefit
from tl1e wide ai·ea coverage pгovided Ьу cellнlat· netwoгk s
* Sепsог Networks may foгm рагt of the Smaгt City ecosystem. Seпsoгs сап Ье нsed to moпitoг tгaffic coпditions апd саг pat·kiпg
осснрапсу. These metrics can Ье t1sed as iпpнts to gепегаtе recommeпdations for dt·ivers. Seпsor s сап also Ье used to moпitoг
e пviгoпmeпtal metгics st1cl1 as а iг qнality апd weather co пditioп s. Weatheг coпd itioпs сап Ье н sed as ап iпрнt fot· aнtomatic s tгee t
li ght iп g 01· vагiаЫе speed limits. Seпsoгs н sed fог secшity app li ca tioп s сап detect 111ove111eпt ог apply facial гecogпitioп

* IoT devices 111ау поt сопп е сt diгec tly to tl1 e 1110Ьile пehvoгk. Fог example, а s m a гt ,vatch may conп e ct to а s111a1·t рlюпе, апd tl1 e s m a гt
рlюпе соппесts to tl1e mobile п e hvoгk, i.e. tl1 e smart рlюп е acts as а ге l ау device fог tl1 e smart watch

10
 5G NR in BULLETS

1.2.3 Ultra ReliaЬle and Low Latency Communications (URLLC)

* Applications associated \Vith Ultra ReliaЫ e and Low Latency Commt1nications (URLLC) tend to have опlу modeгate throt1ghpt1t
reqнiremeпts Ьнt гequiгe very high reliability апd very low late пcy
* З GРР TR 22.862 ideпtifies the maiп нsе case families as:

0 Higher Reliability апd Lower Latency applic atioпs : this family of applications гequiгe s low lateпcy bt1t does поt require very low
lateпcy . For example, the remote coпtrol ofvehicles Ьу а hнmап operator has а latency гequiгemeпt which is deteгmiпed Ь у the
hнm а п re a ctioп speed. It is поt пecessary for the system to have а reaction speed whicl1 is significaпtly faster thaп the ht1ma11
operator. Aлother example withiп this category is factory and process at1tomation . Closed loop сопtгоl systems within а factory
involve а coпtroller periodically sendiпg commaпds to оп е or тоге devices which mн s t respoпd with feedback \vithiп а specific
time wiпdow . Both the commands апd the feedback mнst Ь е traпsferred with very high reliability

0 Higher Reliability, Higher Availability and Lower Lateпcy applications: this family of applicatioпs is similar to the pгevioнs
category bt1t iпclude s ап additioпal гeqнirem ent fш high availability, i.e. system downtime mt1st Ье vегу low. l11dt1stгial coпtrol
applic a tioп s сап beloпg to this categoгy . These applicatioп s may пoгmally achieve high гeliaЬility апd high avail a Ьility Ьу нsiпg
саЫ е co1111ectio11s rathe1· tliaп wireless соппесtiопs. However, саЫе соппесtiопs may поt always Ье ап attractive solнtion. The
гe mote соп t гоl of droпes сап fit iпto tl1is family of applicatioпs. High availaЬility is importa пt to епsше that the dгопе is always
нпd еr the c oпt rol ofthe hнmап operator. The lateпcy 1·eqt1iгemeпt is dictated Ьу the rea ctioп speed ofthe ht1ma11 operatoг so does
not п е еd to Ь е especially low
о Ve1y Low L ateпcy: this family ofapplicatioпs iпclt1des the сопсерt ofthe 'Tactile Iпterпet'. Tl1e Tactile Internet suppoгts а remote
ex teп s ioп to the lшmап body. Fог example, it allows а sшgеоп to remotely ор ега tе 011 а patieпt usiп g а mechanical arm which
гeacts as thoнgh it was tl1e sшgeon ' s own arm. The surgeon receives both visнal апd tactile feedback from the remote device, e.g.
wh e п the sшgеоп pгesses against somethiпg witl1 the 1·emote arm theп tactile feedback is provided so the sшgеоп с а п feel that l1e
ог she is pгessin g a gaiпst somethiпg . Tl1e lateпcy reqнirem e пt fог tactile coпtrol is more stringeпt than the latency reqt1iremeпt for
ht1ma11 operated remote control vehicles
о Higher Ас с шасу Positioпing : this family of applications involves the measurement of location and the st1bseqt1e11t signalling of
tliat location iпforma tioп . lt is applicaЫe to a utoпomot1s vehicles which exchange location informatioп ,vith eacl1 otl1er to avoid
colli sions. Iпfoгm a tion mt1st Ь е t1·an s fe гre d re liaЫ y а пd ,vith low latency. The maximttm permitted l a teпcy d e peпd s нроп the speed
of tl1e vehicle and the а с сшасу re qнiгe meпt. T hroн g hpнt гeqнiгe me nts for this catego1y teпd to Ье low
о Highe1· Ava il a Ьili ty; thi s fa mily of applications refe1·s to sce n a гi os whe1·e tl1 eгe is а гeqt1irem e11t for improved п etwork ava il a Ьili ty.
This co нl d Ье a pp li ca Ы e to sce п a rio s w l1 eгe tl1e пorm a l m o Ьil e п etwo r k is Liп ava il a Ы e dLie to co п ges ti o п or oLitage. It cot1ld also Ь е
app li ca Ы e to sceп a гi os \v h e гe tl1e погm а l moЬil e п etwo rk does п оt have coverage. Ал exa111ple solt1tio11 is to н sе satellite
coпп ec ti ve l y as а bac k-Lip to the ПOim a l mobile п e t\voгk . La teпc y re qнi1·e me пt s are поt parti ct1larly low bLit tl1e seco пd a 1y
со пп ес ti о п mList Ье 1·e li a Ы e а пd l1ave l1igl1 a va il a Ьili ty

о Mission Cгitical
Services: tl1is family of applications reqLii1·es pгiшitisatioп оvе г погm а l пetwork t1·affic. This prioгitisati oп is
гe qLiiгed to е пsше
that mi ss ioп critical seгvic es have high a va ilaЬility with sho1·t сопп есtiоп setup times. These seгvices also
reqt1iгe ге liаЫ е data tгaпsfe r with low lateп c y . Pгioritis a tioп becomes especially impoгta пt dшin g pe1·iods of пetwoгk coп ge stioп.
C ommш1i cat io11 s fог the е 111егgе п су se1·vices is ап example of а mis s ioп c1·itical seгvice

1.2-4 Vehicle to Everything (V2X)

* Vehicle to Eve1ytl1iпg (V2X) iпclнdes the followiпg compoпeпts which аге illt1strated iп Fi gшe 3:
о Vehicle to Vel1icle (V2V) о Vehicle to Network (V2N)
о Vel1icle to ]11frastп.1 c h.1гe (V2I) о Vehicle to P e d es t1· i a п (V2P)
* Тl1 еге а ге both cellt1lar а пd пo11 - cellt1l a 1· solLitioп s fог V2X commt111ic a tioп. Tl1e IEEE 802. 11 (WiFi) s taпd a rd has Ь ее п modified to
с геа tе 802. 11 р specifically fOI· tl1e pшpo ses of V2X a ppli c atioп s . This гергеsе пt s а 11 0 11 - c e llнlar so lLitioп fо г V2X . Wi Fi typicall y
operates t1si11g нпli c eп se d spectгнm wl1eгe as 802. 11 р ope1·ates iп liceп s ed sp e ctгшn to help impгo ve регfо гmап се . 4G has Ь ее п
e11l1a11 ced to iп c lttd e sнрршt for V2X com111t111icati o11s \Vithi11 tl1e гe l ease 14 ve1·sio11 of the ЗGРР specificatio11s. Tl1is ге ргеsе пt s а п
exa111ple of а cellt1lar solt1tio11 fot· V2X. SG p1·ovides a11othe1· solt1tio11 fог ce llt1l a г V2X
V2V i пvo l ves the tгa 11 sfe 1· of data d iгect l y betwee11 vel1icles. Tl1is гер геsе п ts а vaгia п t of dev ice-to-dev ice (D2D) comm ш1 i catio11 whi cl1
Lises tl1e s i de liп k гa tl1e 1· tl1a11 tl1e tt p li пk о г down liп k. The V2V app licat io11 i111poses specific гeqLiiгe ment s Lipo11 tl1e s i de li пk , e.g. sttµpoгt
fщ- re li aЫe апd lo,v l a t eп cy com111t111icatio11 at higl1 speeds

* V2V commtt пi cati oп is S Lipp o гted botl1 iпs i de а пd Ott ts ide n o пn a l ce l ltt l a г cove гage , i.e. it is по t п есеssагу fог tl1e vel1icles to Ье witl1i11
the coverage ofthe п et\vo гk . UE mt1st scl1edLile t l1 e i г 0\Vll tгa 11 s111 i ss io 11s wl1e11 opeгat iп g oнt s ide tl1e cove гage ofthe n etwoгk. Iп this
case, UE аге а Ы е to tra11s111it and receive data wl1ile iп RRC Idle mode becattse tl1ere is 110 Base Statio11 fo r tl1e RRC Co1111ectio11 seh.tp
ргосе d ше

11
5G NR in BULLETS

Collision avoidance Vehicleto Vehicleto Dynamic ride sharin g

Video sharing Vehicle Pedestrian Safety alerts to pedestrians
Vehicle platooning (V2V) (V2P) Pedestrian warnings to vehicles

Traffic signal timing Vehicleto Vehicleto ln-vehicle entertainment

Саг parking information lnfrastructure Network Vehicle tethering
Vehicle platooning (V21) (V2N) lnternet connectivity

Figure 3 - Components belonging tu Vehicle to Everything (V2X)

* Collision avoidance is а key example of an application for V2V communication. Col\ision avoidance applications exchange location
information between vehicles. This сап supplement information pгovided Ьу sensors which deteгmine the proximity ofnearby vehicles
and obstacles. Video sharing is another example of an application for V2V commнnication . А саг dгiving behind а tгнсk сап have
limited visiЬility ofthe road ahead so сап benefit fгom having а video feed displaying the view in fгont ofthe tn1ck
* V2I involves the transfer of data between vehicles and Road Side Units (RSU). RSU are application seгvers positioned along the road
with bнilt-in Base Station functionality (or bнilt- in UE fi.шctionality) so they сап commнnicate diгectly with passing vehicles. They
form рагt ofthe highway infrastn1ctнre and сап Ье eitheг standalone or сап have connectivity into а larger network
* The tгansfer
oftraffic signal timing information is an example ofV2I. ln this case, the RSU is aware ofthe timing н sed Ьу nearby
tгafficsignals. This timing is provided to vehicles appгoaching the signals so tl1ey are аЫе to геасt appгopгiate ly . The tгansfer of саг
paгking information is anotheг example ofV2l. In this case, the RSU l1as infoгmation regaгding the status of loca l саг paгking facilities.
This information is provided to vehicles to help them find а parkiпg space
* V2N involves the t1·aпsfeг of data between vehicles and the moЬile netwoгk, e.g. pгoviding conпectivity to the internet. Vel1icles may
соппесt to the moЬile пetwo1·k to co l\ect weatl1eг герогts ог to pюvid e iп fшmat ion гega1·ding loca l attгactioпs. Scгeens and inpнt
devices with iп the vehicle сап Ье н sed to pгovide end-нse 1·s \Vith inteгnet co1111ectivity and in-vehicl e eпtertaiпment. Iп-vehicl e
e пteгtaiшn e nt allows end-нse1·s to st1·eam a нdio or video, play games, access social media ог bюw se the intemet

* Vel1icle tetl1eгing
is an example ofV2N. Jп th is case, tl1e vel1icle acts as а 1·e lay fo1· end- н se гs withiп tl1e vel1icle. Tl1e vehicle is likely to
lшv e а betteг link bнdge t
than the eпd-нse1·s within the vehicle, e.g. апtеппа \Vl1ich аге l агgег and oнtside tl1e vel1icle. Tl1e vehicle may
also l1ave тоге апtепnа and а higheг tгaпsmit роwег capaЬility. Tl1e vel1icle takes advaпtage oftl1ese factoгs to connect to the 11et\vo1·k
and ге\ау data tгansfeг fог e nd - useгs witl1in t\1e vehicle. The end-use1·s аге аЫе to tгaпsmit with а 1·edнced роwег апd thнs \1е\р to
conseгve theiг battery life

* V2P involves t\1e tгaпsfer of data between vehicles and pedestгiaпs. Simi l aг to V2V applications, V2P гергеsепts а vaг iaпt of device-to-
device (D2D) commtшication whic\1 нses the sidelink rathe1· than t\1e нр\iпk ог downlink. The ve\1icle comпшn i cates diгectly with а
device, e.g. smaгtp hon e belonging to а pedestгian
* Dyпamic гide shaгing is an example ofV2P. This application allows pedestriaпs to advertise theiг inteгest in sl1ai·ing а ve\1icle to геасh
аspecific destination. It also allows vehicles to advertise theiг williпgness to col\ect pedestгians and take them to thei1· desiгed
destination. Dynamic гid e s\1a1·ing coн ld Ье н sed Ьу taxi companies, 01· сон \d Ье used Ьу pгivate vehicles
* Vel1icle platooning is an impoгtant application fш V2X which са п нsе а comЬi n at ioп ofV2V and V21. Vehicle platooning involves а
gгot1p ofvel1icles connected to опе aпot h er and effectively moving like а ti·ain. Vehic\es s\1a1·e speed, di1·ectio11 and bгaking/acce\e1·at in g
iпteпtions. This al\ows t\1em to travel wit\1 а гeduced distance bet\veen ve\1icles and a\so allows them to ope1·ate witl1 impгoved fi.1el
efficiency. The vehicle w\1ic\1 creates the р\аtооп becomes геsропsiЫе fo1· managing tl1e р\аtооп . Tl1is veh icle нs es V2I fог
commнnication \Vith Road Side Un its (RSU). The iпfoгmatioп гeceived fюm а п RSU is sнbseq н e ntly s l1aгe d \vitl1 а\1 platoon membe1·s
нsiпg V2V commнnication

* The 5G Aнtomotive Association (5GAA) l1as been cгeated to \1 е \р со1шесt tl1e telecom indнstгy witl1 vel1i cle 111а1шfасtнгегs. This
associatioп aims to sнррогt
the development of end-to-end so lнtioп s fог fнtше moЬility and t1·a11spo1·tatio11 se1·vices. 5GAA is а Mai·ket
Repгeseпtatioв Рагt11е1· (MRP) w i thiп ЗGРР

* ЗGР Р Refeгences : TR 22 .886, TS 22 .185, TS 22. 186

12
 5G NR in BULLETS

1 .3 REQUIREMENTS
* The Rad io Commllnications Sectoг of the I11tem ational TelecommL1nications Un ion (ITU-R) has specified а set of reqL1iгements for
!МТ2 0 2 0 tec lшologies wi thin report IТU-R М . 2410-0. These гeqllirement s will \Je L1sed ,vhen evalllating candidate techno logies, e. g.
the 50 so lutioп specified Ьу ЗGРР . The set of reqlliгemeпts is pгesented iп ТаЫе 1

ApplicaЫe Use Case Upliнk DO\Vllli11k

Peak Data Rate еМВВ 10 Gbps 20 Gbps
Peak Spectral Efficie11cy еМВВ 15 bps/Hz 30 bps/Hz
User Experi eпced Data Rate еМВВ 50 МЬрs 100 Mbps
User Spectral lndoor Hotspot еМВВ 0.2 1О bps/Hz 0.300 bps/Hz
Efficie11cy
Deпse Urban еМВВ 0.150 bps/Hz 0.225 bps/Hz
(5'h percentile)
Rural еМВВ 0.045 bps/Hz 0.120 bps/Hz
Average Spectral l11door Hotspot еМВВ 6.75 bps/Hz 9.00 bps/Hz
Efficie11cy per TRP
De11se Urban еМВВ 5.40 bps/Hz 7.80 bps/Hz
Rнra l е МВВ 1.60 bps/Hz 3.30 bps/Hz
Агеа Traffic Capacity lndoor Hotspot еМВВ - 10 Mbps/m2
User Plane Latency еМВВ 4 ms 4 ms
URLLC 1 ms 1 ms
Co11trol Plane Lateп cy еМВВ& URLLC 20 ms
Co rшec tion Density 111МТС 1 ООО ООО devices / km 2
E11ergy Efficiency еМВВ High Sleep Ratio & Long Sleep
Dнra tioп ,vhile lл active

Reliab ility URLLC 1- 10·5 1- 10·5

Mobility 1О kmllн Lпdoo r Hotspot еМВВ 1.50 bps/Hz -
30 krn/11r De11se Urbaп еМВВ 1.12 bps/Hz -
120 krn/l1r Rшa l еМВВ 0.80 bps/Hz -
500 k1n/l1r Rtiral еМВВ 0.45 bps/Hz -
MoЬility lпte 1т11ptio11 Time еМВВ & LЛU.LC О ms

ТаЫ е 1 - Minimum Req ui1·e111ents fo1· IMT2 020 Radio lпte1· face (specifi ed Ьу IТU-R)

* The Peak Data Rate гeqL1i1·e m e пt is а lar·gely theor·etical figшe becaL1se it гepгesents the peak throL1ghpL1t whicl1 coL1 ld Ь е achieved Ьу а
s iп g l e L1 seг iп idea l гad io cond i ti o п s, i.e. asst1 ming the a iг-interface does поt cat1se any bit ег'rшs. It is 1110s1 likely achievaЫe t1 si п g the
l1igl1e1· operating bands becat1se the ta гge t valt1es гeqL1iгe а lar·ge q Ltaп t ity of spectn1111. Co n s i d e r· iп g the Peak S p ec tгa l Effi ciency va l н es
in tl1e п ехt гоw ofthe tаЫ е, the qL1a11tity ofspectгt1m гeqlliгed to achieve the Peak Data Rates is 20 х 109 / З О = 667 MHz

* Spect1·a l Effi c i e п cy is аm easшe ofthгoLtghpllt р е 1· Lln it ofbaпdwidth (m easшe d iп bps/Hz). Spec tгal Effici ency impгo ve m e пt s аге
p1·ima1·ily acl1ieved t1siп g nшl t ip l e апtепnа tгan s mi ss ion schemes, e.g. 8х8 MIMO. In the case ofTDD, Spectra l Efficieпcy calcL1latio11s
mL1st account fог the Llpliпk/dowп l ink factoг, i.e. the 1·atio betwee11 the L1plink and down link time slots on the sha1·ed са 1тi ег
Tl1e Peak Spectr·al Effic iency reqt1i1·eme11t is also lai·gely theo1·etical becat1se it assllmes idea l 1·adio co пdit i ons. Tl1e Peak Spectгa l
* Efficiency co пes pond s to tl1e Peak Data Rate divided Ьу tl1e channel bandwidth. The IТU-R 1·e qLtiгe me11t fo1· IMT2020 Peak Spectral
E fficieпcy is eqt1al to the ЗGРР 1·eqLtiгe m e пt for LТЕ Advanced Peak Spectгal Effi c i e пcy . Botl1 cases assLtme 8 spatial 111Ltltiplex i11g
s tгea111s iп tl1e dowп l ink and 4 spatial nшltipl exi п g s tгe a 111s in tl1e Ltp li пk

* Tl1e Use1· Ех р е гi е п се d Data Rate гepгesents the tl1гoв g l1pttt whicl1 са п Ь е ac l1ieved Ьу 95 % of the tt se гs withiп а deпse шЬ а п cove гage
ai·ea. Tl1e lar·ge differe п ce bet,veen the Peak Data Rate гe qt1iгe m e пt а пd the Useг Ехрег i е п се d Data Rate 1·eq t1i1·e m eпt гeflect s the
d iffe гe n ce b etwee п idea l peak р е гfогmап се а пd tl1e тоге 1·eali stic ре1·fог111апсе wl1icl1 са п Ье acl1ieved Ь у 95 % of t1se1·s. !t is expected
tl1at tl1e Use1· Ехрегi еп сеd Data Rate ,vill Ье l1i g l1 e г wl1e11 tt se гs а ге se г ved Ьу s111all cell and ind ooг so !Lttioп s
The Use1· Spect1·a l Efficiency гe p1·ese пts the Spectгa l Effic i eпcy whi ch сап Ь е acl1ieved Ьу 95 % oft1seгs ,vithin а specific type of
* cover·age area (iпсlош lюtspot , d e п se шЬап or гша l) . Tl1i s 1·eqt1i1·e111ent acco Ltп ts for· tl1e fгe qtr e пcy гe-Ltse factor·. Ift he n etwoгk is
dep loyed Lt s iп g а ti·eqt1e11cy гe- Lt se of I tl1e11 theгe is no i111pact Ьвt if tl1e fгeqLteпcy гe-Ltse factoг is gr·eater tl1a11 1 tl1e11 tl1e cl1a1111el
baпd ,v i cltl1 is 1ш1 l t ipli ed Ьу tl1e fr·eq Lt eпcy гe-Ltse factoг Ьеfоге ca lcLtlating tl1e Spectr·al Effic iency. In tl1e case ofTDD, tl1e сlыппеl
bandwidth is also scaled Ь у tl1e Ltplin k/do,vп liп k factoг
* The Aveгage Spectra l Efficiency per· T1·a11smiss ion / Reception Point (TRP) repгesents tl1e aveгage Spectral Efficieп cy рег Ltпit of
l1aгd,vaгe. This metric also accoш1ts fог tl1e fi·eqLteпcy гe- L1 se pattem and tl1e TDD L1pli nk/downlink factor. Tl1e гe qlliгe meпts ar·e
s i gnificaпt l y gгea ter tlыn the Useг Spec t гa l Efficiency pгim a 1· il y becaLtse they are ave1·ages гather tl1an 5 peгcentiles

13
5G NR in BULLETS

* The Area Traffic Capacity is the total traffic throughput per m2• This metric depends upon the site density, i.e. higher site densities are
likely to generate higher area traffic capacity (assuming inteгcell interference does not dominate). The requiгement for Area Traffic
Capacity is only specified for the downlink ofthe indoor hotspot scenario
* User Plane Latency represents the contгibt1tion ofthe radio network towaгds the one-way delay associated with transferring an
application packet. It is defined as the delay between а packet entering lауег 2/3 at the transmit side and leaving layer 2/3 at the receive
side. The reqt1irement assumes that the UE is already RRC Connected and is ready to transfeг data. It also assumes а small packet size,
e.g. а payload which includes only an 1Р header. Separate requirements are specified for the еМВВ and URLLC use cases
* Control Plane Latency represents the delay associated with making the transition from а battery efficient state to the start of continuot1s
data transfer. 1Ъе battery efficient state could Ье RRC Idle mode. Sepaгate requirements are specified for the еМВВ and URLLC t1se
cases. The IТU-R states that proposed technologies should target values less than the specified reqt1irement of20 ms, e.g. 10 ms could
Ье targeted. The equivalent requirement for IMT-Advanced (40) was 100 ms

* Connection Density represents the maximt1m number ofUE per unit area which allows those UE to fulfil а specific Quality of Service
(QoS). The Connection Density requirement is applicaЫe to the mМТС t1se case. The QoS requirement is defined as the ability to
successfully transfer 99 % of packets with а maximt1m of 1О s delay. The requirement assumes а Poisson packet arrival process for
, each UE with а minimпm average packet arrival !'ate of 1 message per day ре!' UE (an average packet aпival rate of I message per 2
hours ре!' UE is also suggested). Packets а!'е assumed to have а size of32 bytes. Specific intel'-site distances and system bandwidths are
also specified for this reqt1iгement, i.e. either а 500 m inter-site distance with а 1О MHz system bandwidth, or а 1732 m inteг-s ite
distance with а 50 МНz system bandwidth
* Energy Efficiency has been included as а general гeqt1iгement but withoпt а specific target. The гequirement is applic a Ыe to both tl1e
device and the network. It is noted that Energy Efficiency in the active state is гeflected Ьу the Aveгage Spectral Efficiency, wi1ile
Energy Efficiency in the inactive state is гeflected Ьу the sleep гatio. It is stated that proposed teclшologi es should st1pport а high sleep
ratio with а long sleep dшation
* Reliability coгresponds to the ability to transmit а specific quantity oftraffic within а specific time dшa tion with а high probaЬility of
success. This reqt1irement is applicaЫe to the URLLC пsе case so the time duration (latency) is гelatively shol't and the гeliaЬility
l'equiгement is high. The success probaЬility mt1st Ье 1 - 10-5 = 99.999 % when tгansfeгring 32 bytes of data within а I ms time
dшation. The packet must Ье st1ccessfully transfeпed fгom the top of lауег 2/3 at the transmit side to the top of lауег 2/3 at the receive
side. In addition, it is specified that the 1·equiгement mt1st Ье acl1ieved at the edge ofшban mасго coveгage
* MoЬility coпesponds to the aЬility to maintain а specific пoгm a li sed tгaffic cl1annel data гаtе while moving at а specific speed . The
normalised tгaffic chanпel data гаtе is s imil aг to spectra l efficiency and l1 as пnit s ofbps/Hz. It is ca lcul ated Ьу dividiпg tl1e data гаtе Ьу
tl1e t1·affic channel ba11dwidtl1 rather thaп th e complete cl1a11nel band\vidtl1. Tl1e ПU-R has specified а set of н p link гeqнi1·ements fог а
гапgе of eпv iгonm e nt types and speeds

* MoЬility I11tem1ptio11 Time 1·epгesents the dшation tl1at а UE is t1n aЫe to t1·ansfeг апу t1se1· plane packets when coшp l et in g а l1andov e г.
Th is reqпirement is applicaЫe to both the еМВВ and URLLC п sе cases. А гeq пiгe m e nt of0 ms is specified so data tгansfeг шust Ье
continuoпs dшing 1110Ьility ргосеdшеs

* 3GPP has generated its own set ofrequirements which either achieve ог exceed the гeqt1iгements specified Ьу the IТU-R. These
гeqпirements are defined within 3GPP TR 38.913

* 3GPP has specified а Useг Plane Latency гequiгement of0.5 ms fог both the пplink а пd downlink ofthe URLLC пsе case. 3GPP has
also specified а 1О ms Control Plane Latency. 3GPP TR 38.913 inclt1des notes to help accommodate scenaгios involving satellite links,
e.g. it is stated that User Plane Latency can Ье as high as 600 ms fог geostatioпaгy oгЬits , as high as 180 ms for medium earth oгЬits
and as high as 50 ms for low eai1h orЬits
* 3GPP also specifies а maximпm uplink latency of 1О s for the transfeг of infгequent small packets when the UE starts from its most
battery efficient state. The UE mt1st achieve this requiгement with а 164 dB coupling loss. Tl1e coupling loss is measшed between the
UE antenna connector and the Base Station antenna c01mector
* ТаЫе 2 pгesents throпghpt1t гeqпirements which 3GPP has specified fог а set of relatively high coпpling losses. These reqпirement s ai·e
relatively low due to the high coupling loss

Cot1pli11g Loss Up li11 k Do,v11li11k

164 dB 160 bps 160 bps
143 dB 30 kbps 1 Mbps
140dB 60 kbps 2 Mbps

ТаЫе 2- ЗGРР пq11ireшents fo1· Tlнo11ghp11ts as а f11nction of Co11pling Loss

3GPP also specifies а UE batteгy life гeqнiгement fo1· tl1e mМТС пsе case. The UE batteгy life is specifi ed to Ье at least 1О yea1·s \Vhen
* assum ing а stored en e гgy capacity of 5 Watt Ношs and а UE wh icl1 t1·ansfeгs 200 bytes рег day iп the нpliпk and 20 bytes рег day in
the downliпk wl1ile liaving а coпpling loss of 164 dB

* IТU-R Refeгences: IТU-R М.2410-0, IТU-R М.2412-0

* 3GPP References: TR 38.913, TS 22.26 1

14
 5G NR in BULLETS

1.4 NEТWORKARCHITECTURE

* The 5G System (5GS) inclнdes the 5G Core Network (CN), the 5G Access Network (AN) and the User Eqнipment (UE). Figшe 4
illнstгates these components belonging to the 5G System. The 5G Соге Network provides connectivity to the inteшet and to application
sei-vers. The 5G Access Network can Ье а ЗGРР Next Generation Radio Access Network (NG RAN), ог а non-ЗGPP Access Network

SG System {SGS}

SG Core Network
(SG CN)

SG Access Network (AN) ____ _

ЗGРР Next Generation

Non-ЗGPP
Radio Access Network or Access Network
(NG RAN)

User Equipment (UE)

Figш·e 4 - SG Systeш (SGS)

* А ЗG РР Next Generation Radio Access Netwoгk (NG RAN) can Ье based нроn any ofthe following options:
о Standalone Ne,v Radio (NR) Base Statioп

о Staпdalone Loпg Тегm Evolнtion (LТЕ) Base Station нpgraded to allow coпnectioп to the 5G Со1·е Net\voгk
о Noп-Standalone Base Station нsing NR as the аnсlюг and L ТЕ as ап extension
о Noп-Sta пd a loп e Base Statioп н s in g L ТЕ as the аnсlюг and NR as ап extension

Tl1 ese Base Station aгcl1itectнгes аге descгibed iп sec tioп 1.5. А New Radio (NR) Base Station is kno,vn as а gNode В , whe1·eas an L ТЕ
Base Statio п wl1i cl1 l1as been t1p gгaded to allo,v connectiv ity with tl1e 5G Соге Netwoгk is kлown as а п еп h апсе d eNode В ог а Next
Gene1·atio11 eNode В
* Л11 examp le ofa 11011 - ЗGРР Access Netwo1·k is а Wi1·eless Local Меа Net,Nork (WLAN) based нроп WiFi. Nоп-ЗGРР Access
Net\vorks нs е а Non-ЗGPP Interwork iп g Ft111ction (NЗIWF) to allow co пn ectiv ity with the 5G Соге Netwoгk. The NЗIWF sнppoгts
ЗGРР iпterfaces towaгds the 5G С01·е Net\vork апd 11011-ЗGРР interfaces to,vards tl1e поn-ЗGРР Access Network

* ЗGРР has specified botl1 'Refereпce Poiпt' and 'Se1-vice based' architectшes for the 5G System (5GS)
* Tl1e ' Rеfегепсе Point' aгchitectшe is based нроn а set ofNet\vork Elements (NE) ,vhich нsе' point-to-point iпteгfaces to iпteг-co nnect
tlюsc Net\vo1·k Elements. Signalling ргосеdшеs аге specified for each point-to-point inteгface.' This type of ai·chitectшe is illнstrated in
F i gшe 5. The 'Refe1·eпce Point' architectшe can lead to гepetition within the specifications ifthe same signalling procedшe is нsed
acгoss mнltiple inteгfaces

Point-to-Point Point-to-Point /'

lnterface lnterface
Network Network Network
Element 1 Element 2 Element 3
Set 'А' Procedures Set 'В' Procedures
specified for this specified for this \.
interface interface

Figш·e 5- Сопсерt of Refere11ce Point systeш a1·chitect111·e

* Tl1e ' Service based' arcl1itectшe гepl aces the set ofNet\voгk Elements with а set ofNetw01·k Fнnctions (NF). Each Network Fнпction
can p1·ovide seгvices to other Netwoгk Fнnctions, i.e. eacl1 Netwoгk Fнnction is а seгv ice pгovider . This type of aгchitectшe is
illн s trated i11 Figшe 6. Tl1e point-to-point inteгfaces аге гeplaced Ьу а common Ьнs \vhicl1 iпteг-connects all Netwoгk Fнnctions.
Se1·vices are specified fог th e Netwoгk Fш1ction pгoviding tl1em, гаth ег thaп fог eacl1 pair ofprovidiпg and consнming Net\voгk
f нп ctioпs

Common Bus

Service 1 А' Service 'С' Serv ice 'Е'

Netwo rk Network Network
Funct ion 1 Service 1 В' Function 2 Service 1 0' Function 3 Serv ice 'F'

Figure 6 - Concept of Se1·vice based systeш ai·chitecture

15
5G NR in BULLETS

* An important characteristic ofthe 50 system architecture is the separation ofuser plane and control plane functions. This differs from
the original 40 system architecture. For example, the Packet Oateway belonging to the original 40 Evolved Packet Core (ЕРС)
provides both control plane and user plane functions, e.g. it provides the control plane function ofIP address allocation, and it provides
the user plane function ofpacket forwarding. The 50 system architecture includes the Session Management Function (SМF) for 1Р
addгess allocation, and the User Plane Fнnction (UPF) for packet forwarding, i.e. control plane and user plane functions are separated

* User plane and control plane separation allows independent scaling ofthe two ftшctions. For example, operators can add more user
plane capability without having to add more control plane capability. lt also allows different deployment stшtegies to Ье adopted for
the нser plane and control plane. For example, user plane functions could Ье distribнted while control plane ftшctions coнld Ье
centralised. Qistribнting the user plane functions helps to keep them located geographically close to the access network and so helps to
minimise latency
* The release 14 version ofthe 30РР specifications includes sнpport for an enhanced version ofthe 40 ЕРС which allows user plane and
control plane separation. This enhanced version ofthe 40 ЕРС is defined within 30РР TS 23 .214
* 30РР References: TS 23.501

REFERENCE POINT SYSTEM ARCHITECTURE

* The 50 System Refeгence Point aгchitecture is illustrated in Figшe 7. This architectuгe specifies а set ofNetwork Elements and а set of
point-to-point interfaces which inteг-connect those Network Elements. The functionality associated witl1 each Network Element is
described in section 1.4.3

* Figшe 7 illustгates the separation of нsе1· plane and contгol plane fнnctions. Uplink useг plane data is transfeпed from the UE to the 50
Access Network. lt is then transfeпed tl1Гough one ог more User Plane Ftшctions (UPF) Ьеfше being forwarded to an extemal data
netwo1·k, e.g. the inteгnet or а private corporate network. Downlink useг plane data follows the same path Ьнt in the opposite di1·ection

SG Саге Network
Path for User Plane Data
Network Slice Selection Application Function
Function (NSSF) (AF) ГJ Co ntro l Plane Netwo rk Elem ents

NS

Policy Control Function N7

(PCF) Data
Network
N22 (DN)
NlS

Authentication Server Function NlЗ Unified Data Management

(AUSF) (UDM)

N12 N8 NlO Nб

Access & Mobllity Management Function Session Management User РlапеFunction

(AMF) Function (SMF) (UPF)

NЗ

N14 Nl N2 N9
(inte1·-AMF) (inter-UPF)

N26
t ow ard s MM E SG Access Netwo rk (ANJ
w ithin 4G Е РС

Uu (ЗGРР Radio Acc ess)

User Equipmeпt (UEI

Figш·e 7 - 5G Syste111 Refereпce Point A 1·cl1itectш· e

16
 5G NR in BULLETS

There are exceptions to the sepai·ation ofuser plane and contгo l plane funct ions. Fог example, user plane data belonging to th e Short
* Message Service (SMS) сап Ье transfeпed нsing Non-Access Stratнm (NAS) signalling between the UE and Access and Mobi lity
Management Function (АМF). The SMS Functi on (SMSF) is not shown in Figure 7 but it сап Ье connected to the АМF using an N20
iпterface

Tl,e poiпt-to - poiпt i_nteгfaces coпnecting the N etwork Elements are label led as NI, N2, NЗ , etc. These iпterface s are kпоwп as _
* Refereпce Poiпts w1thm ЗОРР TS 23 .501 , e.g. N3 1s the Re fereпc e Pomt between the 50 Access Network апd the Use1· Plane Ft1nctюn
(UPF). N I is the Refere пce Poiпt between the UE а пd the Access and Mobility Ma п agemeпt Functioп (АМF). This Reference Poiпt is
lypi cally shown as а diгect logical coпn ec tion between the UE and AMF. Figшe 7 illt1strates the coпnectioп passing tl1rot1gh the 50
Access Network to highlight that all signalling between the UE and АМF is transfeпed thгot1gh th e Access Network
The N9 Rеfеге пс е Point is used to inteг-connect User P lane Functions (UPF). А first UPF сап Ье deployed to provide connectivity to
* tll e 50 Access Network while а second UPF сап Ь е deployed to provide connectivity to the extemal data netwoгk . The N9 Refeгence
Point defines the connection between the two UPF. Simi larly, the Nl4 Re feгence Point defines the connection between two AMF
The N26 Reteгence Point сап Ь е used to connect ап АМF within the 50 Core Network, with а MoЬility Management Entity (ММЕ)
* \V ithiп the 4G Evolved Packet Со 1·е (ЕРС). Th is Refeгence Point is used for inter-working between 40 and 50, e.g. inter-system
lian cl o veгs

* Wli e п
t1 si11g а ЗО РР Next Oene1·ation Radio Access Netwoгk (NO RAN), user plane data and control рlап е signal ling аге tгa n s fe пed
between th e UE and NG RAN t1sing the Ut1 aiг-interface

SERVICE BASED SYSTEM ARCHITECTURE

* The .SG Syste111 Seгv i ce Based aгc hitec ture is illt1strated iп Figшe 8. This ai·chitectшe specifies а set ofNetw01·k Functions (NF) апd а
сотmоп bus \1,l1 ich iпteг-co nn ec ts those Netwoгk Fuп ction s . The Service Based a гc hitectшe is app l i ca Ы e to the сопtюl рlап е section
of tl1 e 50 Соге Netwo гk. The Refereпce P o iпt arc hitectшe remains for th e t1 seг рl а п е section of the 50 Core Ne t,voгk. The
f1111ctio11ality assoc iated with each Net\voгk Ftш cti o п is descгibed in sec tioп 1.4.3

■'
5G Core
Nnef Path for User Plane Data
Net w o rk Network Exposure Function
(NEF)
1
1 Contro l Plane Network Ele ments

Netwo rk Slice Se lection ) Nnssf Nn rf Network Function Repository

Fu nction (NSSF) Functio n (NRF) /"
1

Data
Network
Policy Co ntrol Function 1 Npcf Naf 1 Applica tion Function (DN)
(PCF) (AF)
1 1 J \.

Authentication Server Nausf Nudm ( Unified Data M anage ment

Functio n (AUSF) (UDM) Nб
N9
1 1 J (inter-UPF)

l:" & МоЬШ~ M aoage meo<

Function (AMF)
] Namf

j
Nsmf [

1
Session Managem ent
Fun ction (SMF)
~
1

User Plane Function

(UPF)
1

N1 N2 NЗ

~
N26 ,
'
toward s ММЕ SG Access Network (AN)
--1
w ithin 4G ЕРС 1
- :
Uu ( З GРР Radio Access)

User Equipment (UE)

F i g ш· e 8 - SG System S ervice Base(I A 1· chite ctш·e

17
5G NR in BULLETS

* The Network Function Repository Ft1nction (NRF) plays а central role within the Service Based architecture. Network Functions
register the services they offer with the NRF. They then use the NRF as а database to discover the services offered Ьу other Network
Functions. The following three mechanisms are used:
о service registration : allows а Network Function to register with the NRF and inform th e NRF which services are offered
о service discovery: allows а Network Function to discover other Network Functions and the services they offer
о service authorization: ensures that а Network Function is authoгized to use the services provided Ьу other Network Functions
* The Service Based interfaces connecting each Network Function to the common bus are labelled as Na111r, N,111r, Npcf, etc. Services are
provided and'"consumed using these interfaces
* Network Functions signal to each other using Hypertext TI"ansfer Protocol version 2 (НТТР/2) specified Ьу the IETF within RFC7540.
ЗGРР TS 29.500 describes the t1se оfНТТР/2 within the context ofthe Service Based architecture. The НТТР/2 protocol defines
' methods ' for signalling between Network Functions. Example НТТР/2 methods include:
о POST: can Ье used to request а service from а Network Function
о GET: сап Ье used to retrieve data from а Network Function
о PUT: сап Ье t1sed to create new data at а Network Ft1nction
о Р А ТСН : сап Ье used to update existing data at а NetwoI"k Ftшction

о DELETE: сап Ье used to delete data at а Network Function

* As an example ofthe seгv ice s offered Ьу а Network Function, ТаЫе 3 pгesents the services offel"ed Ьу the Access and MoЬility
Management Fнnction (АМF) . These seгvices are specified within ЗGРР TS 29 .518

Service Na nie Se Г\, i ce Operatio11s Exa rпpl e Co11s11111ers

Naш f_ Commuпicatioп UEContextTransfer Peer АМF
Registratio11StatusUpdate Peer АМF
CreateUEContext Peer АМF
Relea se U E Coпtext Peer АМF
N I MessageNotify АМF , LMF, PCF
N2lпfoNoti fy LMF, АМF
N IN 2 M ess a geS нbsc rib e PCF
N I N 2 M ess age Uп s нbsc rib e PCF
N I N2MessageTra11sfer SMF, SMSF, LM F, PCF
N IN2Tra 11 s fe r Fa ilнreNotific a tio11 SMF, SMSF, LMF
No11UeN2MessageTransfer LMF, CBCF, PWS-!WF
Nоп UeN2 lл foSubscribe CBCF, PWS-!WF
NoпUeN21NfoUп s ubsc rib e CBCF, PWS-ГWF
No11UeN21пfoNotify LMF, CBCF, PWS-IWF
EBLAs sigшпeпt SMF
AМFStatнsCl1a11geSнb sc rib e SMF, PCF, NEF, SMSF, UDM
AМFStatusCl1a11ge U11 s нbsc rib e SMF, PCF, NE F, SMSF, UDM
AМFStatнsCliangeNotify SMF, PCF, NEF, SMSF, UDM
Naшf МТ E11aЬleUEReacl1abi Iity SMSF
ProvideD0111ai11Selecti o11lnfo UDM
Na111f_E ve11tExposнre Subscribe NEF, SMF. PCF, UDM
U11subscribe NEF, SMF. PCF, UDM
Notify NEF, SMF. PCF, UDM
Naшf Location Pгovid e Pos i tion i11 gl11 fo GMLC
EveпtNotify GMLC
PгovideLoc atio11 Iлfo UDM

Та Ые 3 - Set·vices p1·ovided Ьу tl1e Access & Mobili ty Ma n ageш e nt Fun ctio11 (AMF)

* Tl1e АМF pюvid es coпn ec tivity towa1·ds tl1e Access N etwoг k so the AMF pюvid es th e Namf_ Co1111111111icatio11 service to allovv
s i gп a lliп g to wa гd s th e Base Station а пd tl1 e UE. Tl1e NJ N2 Message T1·ш1.ifa op e гation с а п Ь е н se d to гeqt1 es t the АМF to foгwш·d а
message to th e Base Stati on or to tl1e UE. For example, tl1 e S lюr t Message Servi ce F t1п ctioп (SMSF) са п Ltse tl1is service ope1·ati on to
forwa rd ап SMS over Noп-Access St1·atum (NAS) s i gna lliп g to\vat·ds tl1 e UE. This is initiated Ьу the SMSF Lts iп g an НТТР POST
111etl10d to seпd an NI N2 MessageT1 ·a11sfe1· message to tl1 e АМF . Tl1is message encapst1l ates tl1 e SMS to Ь е fo гwaгd ed to th e UE

18
 5G NR in BULLETS

ffa UE is in Idle Mode then the Namf_МТ s ervic e сап Ь е нsed to re qнes t the АМF to page the UE and conseqн e ntly bring the UE into
* Connected Mode. For example, the SMSF сап L\Se the EnaЬ/e UEReachaЬi/ity opeгation in advance ofL1sing the Nl N2 MessageTm11sfe1·
opei·ation ifsending an SMS to а UE whi ch is in Idle Mode
The Namf_E1,e11tExposш ·e service allo,vs Nehvork FL1nctions to sL1bscribe to notifications ofspecific events. For example, the Unified
* Data M a nageш ent (UDM) сап нsе the Subsиib e opeгation to гeqL1es t the AMF to pгovid e пotifications regaгding the location of the
НЕ . Similarly, the АМF сап provide notifications гegarding the registration state , conлectivity state 01· reachability of а UE
т1 1 е Namf_Locatio11 service allows Netwark FL1nctions to initiate pasitioniпg гeqL1e s ts. А Gateway Mabile Lacatian Ceлtre (GMLC)
* сап t1se the P1·ovidePosilio11i11gl11fo operatian ta initiate а reqt1est far the GPS caardinates of а UE
ТаЫе 4 pravides а list ofthe ЗGРР specificatians which describe the seгvices affeгed Ьу the main Network Fнnctions
*
AMF SMF UDM UDR PCF AU SF NRF NSSF NE F
TS 29.518 TS 29.502 тs 29.503 TS 29.504 тs 29.507 TS 29.509 TS29.510 TS 29.531 TS 29.522
тs 29.508 TS 29.51 2
TS29.514

ТаЬ\ е 4- ЗGРР specificatio11s ,vl1icl1 desc1·ibe the services offe1·ell Ьу Nehvo1·k Fu11ctio11s

* The Se гv ice Based a 1·cl1itectшe 1·epгe s ents а mave tawaгds а clo1Jd implementation ofthe Саге Netwш'k. Legacy Са1·е Netwaгks have
been deployed using separate hardware fa1· each Netwoгk E lemeпt. Newer Core Netwarks have been deplayed using virtнalis ed
Netwark Elements ta alla,v mнltipl e Netwark Elements ta aperate нsing а shared ha1·dware platfarm. А virtнalis ed salt1tian сап pravide
fa нlt talerance Ьу allowing the saftwa гe ta switch betwee п hardware platforms in case of а failttre. А clat1d implementatian is expected
ta iпCl'ease Л ex ibility, agility, efficiency and scalability 1·elative ta previat1s s o lнtiaп s. Flexib il ity is paгtic1Jlarly impaгta nt fаг 5G dlle ta
tt1e wide 1·ange aftat·get applications. Agility alla\VS ne,v services to Ь е iпtгadнced with minimal effoгt and а short time-ta-market
* Tl1e 5G С аге Ne twaгk is alsa d es igл ed ta sL1ppaгt c anп ectiaпles s seгvices, i.e. s e гvic es whicl1 allaw data transfe г withoнt а cannectian
being es taЫi s h ed across the 5G netwo1'k. Coпn ectianl ess commt1nication is а reqнiгe me nt for massive M achiп e Тур е CommLJnication
(mMTC) ta sL1ppart the very higl1 density of devices
* ЗG РР Re fe1·eп ces: TS 23 .501 , TS 23.502, TS 29. 500

t-4.3 NE1WORK FUNCTIONS

1-4.3.1 ACCESS & MOBILIТY MANAGEMENТ FUNCТION (АМF)

* Tl1e Access and Mability Management Ft1п c tian (АМ F) is а c antгal plane f1Jnction within the.5G С оге Netwa1·k. The pгim a 1·y
1·espansibilities afth e AMF inclвd e:
о Regist1·atian Maпagem e nt о Re ac h a Ьility Maп agem e пt

о C ann e ctioп Ma п agem e пt о MaЬility Management

* Regist1·atio11 M a пage m eпt allo,vs а UE to 1·eg i s te г and deгeg i s te г witl1 the 5G System. А UE mt1st camplete the 1·egist1·atian ргасеdше to
гece i ve a нtha1· i sa tianta tise 5G se1·vices . Reg istгa tian moves the UE fram the RМ-D e regist e 1·e d state ta the RМ-Reg i s te1·ed state.
Regist1·atian M a пage ment is desc1·ibed iп sectian 1.9. Registгa tion c1·eates а UE C aпtex t within the п e twoгk. А UE Cantext is а set of
p a гam ete 1·s whicl1 ideпtify and c l1aгacte гi se the UE. Sa111e afthe ра га 111 еt е гs belanging ta а UE Context а1·е p1·ese11ted in Fi g шe 9. The
АМF iпte гac t s with o th e г Ne twark Fнncti o п s dtll'ing the 1·eg i s tгa tio11 pгa cedtll'e. Fa1· exa111ple, the AMF fa1ward s the P e 1·111 a n eпt
Eqt1ip111ent Id e пtifi e r (PEI) ta tl1e SMF, UDM а пd PCF
* Ca1111ectia11 M aп agemeпt is в sed to estaЫi sh and гe l ease tl1e cantral рlап е s i gп a llin g ca nп ec ti a п between the UE а пd tl1e AMF, i.e.
acrass tl1e N l inte1·face. Es taЫisl1iп g an N I s i gпallin g c ann e ctioп maves tl1e UE fram CM-Idl e ta C M -C aпn ec te d . Ca пr1 ec ti o 11
M a п age m e пt is described in secti on 1.1О . Т11 е N I s i gn a lliп g c onп ec tion allaws No n Acces_
s S tra tшn (NAS) messages ta Ь е exc l1 a п ge d
bel\veen the UE а пd AMF. Tl1e NAS s i gn a lliп g pгotacal is specified Ьу ЗG РР ,v ithiп TS 24.501 . Т11 е AMF is the termiпation po iпt
\Vitl1i11 tl1e Са ге Nel\va,·k fог tl1e integ1·ity pгo t ecti aп апd cipl1eri11 g applied to NAS messages. Tl1e te rmin at i a п p o iпt for NAS s i g na lliп g
p1·acedtll'es са п Ье eitl1e1· the AMF ar the SМF :
о tl1e Reg i s tra ti o п , At1th eп t i ca ti oп , Seгv i ce Re qв est а п d I deпt i ty Req L1est p гaced tll'es ше examples ofNAS signa lling
p1·acedtll'es m a п age d Ьу tl1e АМF . Messages b e l oпg in g ta these prace dшes are exc l1a пged b etwee п tl1e UE а пd АМF
о the PDU Sessian Es taЫ i s hm e n t, M odi ficat ioп and Release prace dшes аге examples afNAS s i gлa llin g prace dшes m a п aged
Ь у tl1e SMF. Tl1e АМF acts as а transparent гонtе г fог tl1ese proc e dшe s and foГ\va гd s messages b e t\veeп tl1e UE and SMF

19
5G NR in BULLETS

ИЕ /dentity lnformation ИЕ Capabllity lnformation

Subscription Permanent /dentifier (SUPI) ИЕ Network Capabl/ity

• fnterna/ional Moblle Subscriber ldentity (IMSI) М/СО Mode lndication
5G-G/obally Unique Тетрогагу ldentifier (5G-GUТI) Voice Support Match lndicator
Permanent Equipment ldentifier(PEI) ИЕ Radio Capabllity for Paging lnformation
• lnternational Moblle Equipment ldentity (IMEI) SMS Supported

"дccess and Mobllity lnformation РОИ Session lnformation

Registration Management State Network S/ice Se/ection Assistance lnformation

Registration Агеа Network S/ice lnstance /dentity
Mobllity Restrictions РОИ Session ldentity
Security lnformation for Control Р/апе and User Plane SMFAddress
Network Slice lnstances Access Туре

Figш·e 9- Ехашрlе content of UE Context stored Ьу AMF

* Reachability Management is used to ensure that а UE is always геасhаЫе , i.e. it is possiЫe to page the UE when there is а 1·equirement
to estaЬlish а mobile terminated connection. Paging а UE which is in the CM-Idle state triggers the UE to initiate the NAS Set-vice
Request procedure and subsequently estaЫish ап Nl signalling connection before moving into the CM-Connected state. The АМF
supports Reachability Management Ьу storing location information as part ofthe UE context. The UE context includes the registration
area (а Tracking Area, or а list ofTracking Areas) within which the UE is registered. The UE context сап also include more specific
information regarding the UE location, i.e. recommended cells and nodes for paging
* UE \vhich are configшed to use Mobile Initiated Connection Only (MICO) are categorised as bei ng unreachaЫe. These UE cannot Ье
paged and аге only аЫе to estaЫish mobile ot·iginated connections from the CM-Idle state. The MICO mode of operation is described
in section 1.17.
* MoЬility Management is used to maintain knowledge ofthe UE's location within the network. The UE is гe qнire d to complete pet·iodic
гeg istгatioп updates after it has completed initial registгation. These peгiodic updates act as keep-alives to veгify that th e UE гemaiп s оп
tl1e system, and has not moved онt of coveгage ог become un ava il aЬle dне to а п у otheг геаsоп, e.g. the batteгy l1 as dt·a iп ed. The UE is
also гequiгed to comp lete updates due to moЬility . These updates аге tгigget·e d if the UE nюves oнts id e the сштеnt 1·egistгation агеа, i.e.
oнtside the Tгacking Area 01· list ofTt·acking Areas witl1i11 which tl1 e UE is сштепtlу гegiste red
* Tl1e AMF is also геsропsiЫе fог handling Next Geneгation App li ca tioп Pгotoco l (NGAP) sigпa llin g wl1ich is tгansfeпed bet\.veen the
АМF а пd а Next Generation RAN node, i.e. between ап AMF and а Base Station. NGAP is specified within 3GPP TS 38.413 а пd is
equivalent to S 1АР which is used in 4G networks (between tl1e ММЕ and Base Station). Categories ofNGAP signalling procedшes
include:
о PDU Sessioп Management о Paging Pro cedшes о Configшation Tгansfe1·

о UE Context Management о Transpoгt ofNAS Messages о Waгning Message

Tгaпsmission
о UE MoЬility Managemeпt о Iпteгface Management
* PDU Session Management pгocedure s а1·е нsed to setup, modify and гele ase resources at the Base Station and UE. The SMF is
responsiЫe for PDU Session Managemeпt so these procedшes are completed afteг the АМF has Ь ееп instntcted Ьу the SMF

* UE MoЬility Management ргосеdшеs are нsed to sнpport handoveг procedшes. Хп based haпdover procedures use the NGAP Path
Switch signalling ргосеdше (the Хп inter-conn ects а pair of 5G BTS similaг to the Х2 inteгface нsed Ьу 4G). N2 based handover
procedшes н sе the NGAP Ha11dove1· Reqнi1·ed, Handover Reqнest, Handoveг Comma пd апd Handoveг Notify signalling рго сеdшеs

* NGAP is нsed to tгaпsfer NAS messages between the BTS and AMF, while а Sig11alli11g Radio Веагег (SRВ) is tised to t1·ansfe1· NAS
messages between tl1e UE апd BTS. Tl1e com Ьin at ion ofthese hops pгovides tl1e e пd -to-end tгa11sfe1· ofNAS messages acгoss t\1e N l
inteгface betwee п th e UE and АМF. Tl1e comЬination ofNAS and NGAP signalling is illнstгated in Figшe 1О. This figuгe also
illt1st1·ates а sнbset ofNAS messages beiп g tгaпsfeпe d to and f1·om the SMF

SMF 1
ИЕ
NAS over SRB
I
BTS I NAS over NGAP I AMF NAS overN 11
f
1

Ии N2

Comblnation provides NA S over N1

Figш·e 10 - Suшша1·у of NAS апd NGAP Si gпa lliп g Patl1s

20
 5G NR in BULLETS

t rface Management ргосеdшеs аге вsed to set1.1p the NG connection behveen th e Base Station and АМF . Both the N 1 and N2
11
* . \ \ races tise the NG coпnection bet\veen the Base Station and АМF. Interface Management procedшes also allow both RAN and
:~~F coпfigшation вpdates to Ье providecl. For exa mple, the RAN configuration update allows the Base Station to info1m th e АМF of
any chaпges to the supported PLМN or Tгackmg Areas
Cotifi gtt rat ioп T1·ansfeг ргосеdшеs allow the Base Statioп апd АМF to exchange iпformation related to SelfOptimisiпg Networks
* (SON). For example, these procedures сап Ь е 1.1sed to support Automatic Neighb ,Jш Relations (ANR) . The end-to-end transfer of
iпformatio11 could Ь е between а pair ofBase Stations but the information has to Ье sent via the АМF if an Xn interface does not exist
betweeп the Base Stations

Tlie АМF is res ponsiЫ e for allocating а 5G Globally Unique Temporary Ideпtifier (5G-GUTI), which is а concatenation ofthe
* Globally Uпique АМF Identifier (GUAМI) and the 5G Temporary Mobile Subscription Identifier (5G-TMSI). Tl1e 5G - GUТI provides
greater privacy thaп the IMSI because it is а temporary identity which the АМF can re -assigп at any time. The 5G- GUТI is described in
section 18.4. 3GPP has specified mapping п1les between the 5G-GUTI and the 4G-GUTI. This iпcludes а mapping between the АМF
ideпtity а п d the ММЕ identity. The 5G-TMSI is mapped onto the 4G М-ТМSI

Tlie AMF is respoпsiЫe fог selecting an appropriate Authentication Server Functioп (AUSF) dшing th e reg istration procedure. The
AUSF allows the UE to authenticate itself with th e 5G Core Network, i.e. verify that the subscriber is genвine and authorised to access
tli e netwo1·k. Tl1e АМF may Ь е configured to use а specific AUSF or tl1e АМF may use the Network Function Repositoгy Ftmction
(NJ{f) to discover s вita Ы e AUSF within the 5G Core Network
Tlie AMF is respo п s iЫ e for selecting an appropriate Unified Data Maп agement (UDM) fвnction dвring the registratioп procedure. Tl1e
UDM manages tl1e use1·'s subscription information. The АМF тау Ье coпfigшed to нsе а specific UDM or the АМF т ау нsе the
Netwoгk Fнnction Repository Function (NRF) to discover а UDM whi ch manages the user's subscription

The AMF is responsiЫe fог selecting an appropriate Policy Contгol Function (PCF) for the UE dшing tl1 e regi s tгation procedшe . The
PCF pгo v id es the АМF with an 'Access and Mobility Policy' for tl1e UE. This may include а specification of allowed or forЬidden
Ti·ack iп g Агеаs. The АМF may Ье configшed to н sе а specific PCF ог the AMF may нsе the Network Function Repository Function
(NRF) to discover а PCF which can provide the гelevaпt UE infoгmation

Tl1e АМF is responsiЫe for selecting an appropri ate Session Management Fuп c tion (SМF) during PDU Session es taЫi shment . The
AMF can apply а raп ge of criteria dшing the selection procedure:
о Data Network Name (DNN): А DNN is the 50 eqнivalent of а 40 Access Point Name (APN). It ге fегs to the data netwo1·k to
which the PDU Sess i oп p1·ovides conn ectivi ty. For exa mpl e, theгe тау Ь е а DNN fог conпect ivity t owa гd s the puЬlic inte гnet . А
specific SMF та у Ье configшed to sнpport а specific set ofDNN
о St1bsc1·iptio11 iпfoгmatioп: tl1e AMF retг i eves st1b scгip ti on iпfo гm a tioп fгom th e Uп i fied I>ata Maпageme 11 t (UI>M) fiшctioп dшiп g
tl1e Registrat ion р1·осеdше. T his са п inc lt1de inform at ioп regarding tl1e set of s нb sc rib ed DNN
о Single Network Sli ce Se l ec tioп Ass i s ta п ce Iпfoгm at i on (S-NSSAI) : Ал S-NSSA I id e п t i fies а Net\voгk Sli ce. It comp ri ses а
Slice/Service Туре (SST) and а Slice Differe пtiatoг (SD). The SST defi nes the expected n ehvo гk b e h av ioш , e.g. va lt1e 1 1·efe гs to
enlianced MoЬile ВгоаdЬапd (еМВВ) , and valt1e 2 гe fers to Ultra Re liaЫ e Low Lateп c y Commнnic at ion (URLLC). The SD
allows diffeгentiation of se гvices belonging to the sa me SSТ. Network Slicing is desc1·i?ed in section 1.15
* Tl1e АМF provides st1ppoгt fог the Sho11 Message Seгv ice (SMS). MoЬile teгminated SMS а ге received from tl1 e SMS Function
(SMSF) апd аге packaged within а NAS message Ь еfоге being tгa nsfe~тed to the UE. А Sigпalliпg Radio Веагег (SRВ) is used to
tп111sfeг the NAS message across the aiг-inteгface. The AMF receives moЬile originated SMS within нplink NAS messages and
foГ\vards tl1em to the SMSF. The SMSF is an optional Network Function

* 30РР Refe1·ences: TS 23.5 01 , TS 23,5 02, TS 24 .501, TS 38.413

SESSION MANAGEMENТ FUNCTION (SMF)

* Tl1 e Sessioп Maпagemeпt Ftmction (SМF) is а contгol рlапе functioп \Vitl1i11 tl1e 50 Соге Nehvoгk. The pгima1·y гes poпs ibiliti es of th e
SMF inclllde:

о PDU Sess ioп Management

о IP Add 1·ess A ll ocatioп

о OTP-U Тшш е l Maпageme11t

о Dowп li пk Not i ficatioп Maпagement

* PDU Sess i oп Maп agement inclнdes tl1e setup, mod ificat ion апd гel ease of PDU Sess i oпs . А PDU Sess ioп is the 50 eq lli va leпt of ап
EPS Веагег iп 40. lt rep гesen ts а coпnect i oп betweeп the UE and the ex it of а Useг P lane Fнnctioп (UPF) towa1·ds а specific Data
Network (DN). Tl,e exit is identified Ьу its Data Netwoгk Name (DNN). F igшe 11 illн stгates tl1e сопсерt of а PDU sess i oп апd the
DNN providing conпect i v i ty !о а specific Data Netwшk

21
5G NR in BULLETS

втs
ИЕ __ ,,..----.,,.------, Destination
IPAddress
PDUSession

IPAddress
allocated to ИЕ

Figure 11 - Concept of а PDU Session

* PDU Session Management requires the SMF to complete signalling procedures towa1·ds the UE, Base Station and User Plane Function
(UPF). The SМF сап signal directly with the UPF but requires the АМF to support signalling towards the UE and Base Station . The
SMF uses Non Access Stгatum (NAS) signalling messages to communicate with the UE. Both the Base Station and АМF act as
transparent routers for these messages which are relayed behveen the SMF and UE. The UE сап initiate the setup of а PDU Session Ьу
sending а NAS: PDU Session EstaЬ!is/1111e11I Request. Assнming а successful setup, the SМF responds with а NAS : PDU Session
EstaЬ!ishment Ассер/ message. Signalling towards the Base Station requires the АМF to transfer messages using the Next Generation
Application Protocol (NGAP) . The АМF and Base Station are responsiЫe for managing NGAP signalling procedures Ьнt content is
relayed to and from the SMF when those procedures гelate to Session Management
* IP Address Allocation is dependent upon the type of PDU Session. А PDU Session сап Ье setup to transfer eithe1· IPv4, 1Pv6, Ethemet
01· Uпst11.1ctuгed data types. The UE сап reqнest а specific data type within the NAS : PDU Session EstaЬ!ishm ent Request message. The
allocated data type is confiгmed withiп the NAS: PDU Session EstaЬ!ishment Ассер/ message. IP Addгess allocatioп is applicaЫe to
PDU Sessions which tгansfe1· 1Pv4 01· IPv6 packets. The IP Address defines the пetwork layer source address fог нplink packets and
destination addгess fог downliпk packets. PDU Session data types аге described furtheг in section 1.13 . The ЗGРР specifications also
allow the UE to гeqнest the нsе ofDynamic Host Configшation Protocol (DHCP) to оЬtаiп an 1Р Addгess. In this case, th e SMF does
not allocate an addгess and iпstead , t~e UE нses the connectivity provided Ьу the PDU Session to obtain an 1Р Addгess fгom а DHCP
serveг

* GTP-U Tнnnel Managemeпt refers to the management ofthe t1se1· plane GTP-U tнnnel between the Base Station and UPF. GTP-U
tunлels are t1sed to transfer t1seг plane data between the Base Station and UPF. А GTP-U tt1лnel operates Ьу adding а set of
IP/UDP/GTP-U he adeгs to tl1e t1se1· рlапе data packets. The IP lауег is ttsed to rottte tl1e packets between the Base Statioп and UPF. The
UDP lауег is ttsed to provide connectionless data transfeг and to specify the рогt nttmber for the GTP-U layer. The GTP-U l ауе г
specifies the Tt1nnel Endpoiпt Ideпtifiet· (ТЕШ) which liпk s the нsег plane packet to а specific PDU Session. Tl1e geneгal сопсерt of а
GTP-U tt1nnel is illt1stгated iп Figttгe 12. The UPF allocates а Tt1пnel E пdpoiпt Identifieг (ТЕШ) fог ttpliпk data transfec The Base
Statioп ad dгesses all нplink data b e loп gi п g to the 1·elevant PDU Sess ioп to\vaгds tl1at ТЕШ. Tl1e ТЕШ is signalled from th e UPF to tl1e
Base Stat ioп via the SМF and AMF. Similat·ly, tl1e Base Statioп allocates а ТЕШ fог do\vпliпk data tгaпsfec Th is ТЕШ is signall ed to
tl1e UPF via the AMF and SМF

ИОР Header

GTP-U Header specifies port /Р Header specifies /Р

specifies ТЕ/О питЬеr for GTP-U address for BTSIUPF

. Note that the User Р/апе packet wi/1

include its own /Р header if the РОИ
User Р/апе Packet Session data type is /Р, e.g. ТСР//Р
headers cou/d Ье included
The additional /Р Header is оп/у used
GTP-U Типпе/
to route the packet through the GTP-U
tunnel and is removed Ьу the 81 S/UPF

Fig11re 12 - Concept of а GTP-U Turшel behveen tl1e Base Statioп and User· Рlапе Fuпctioп (UPF)
* Dowпlink Notificatioп Management геfегs to the initiat ion ofthe paging ргосеdше. А UE needs to Ье paged if downliпk data aпives at
the UPF aftet· tl1e UE has Ьееп гeleas ed to RRC Idle mode (CM-IDLE state). The UPF 1·ecognises that the UE does not l1ave а GTP-U
tuпnel towards the Base Station. Tl1is t1· i ggeгs the UPF to iпfoгm tl1e SMF th at downliпk data has atтived fог tl1e UE. The SМF
st1bseqнeпtly infoгm s the AMF from wl1eгe tl1e Netwoгk T1·igge1·ed Seгvice Reqнest ргосеdше is initiated, i.e. the UE is paged. Tl1is
tгiggeгs tl1e UE to es t aЫi s l1 an RRC Co nп ec tioп and se пd а NAS: Se1·11ice Re(f11est message to the SMF

* Tl1e SMF is геsропsiЫе fог selecting an арргоргiаtе UPF dшiпg the setнp of а PDU Session . Tl1e se l ec ti oп algo1·itl1m сап accottnt fог
UPF load, geogгa phi c location, Netwoгk Sliciпg , sнppoгted feat1.1гes а пd PDU Session Туре (!Pv4, IPv6, Et heгп e t, Unst11.1ctшed). Load
iпfoгmatioп сап l1e lp tl1e SMF to Ьаlапсе netwoгk load ac1·oss mttltiple UPF. Т\1е geog1·ap\1ic \oc a tioп сап Ье impo1·tant fог \ow \atency
applicatioпs \Vhich 1·eq1.1i1·e а sl101·t tгапsрогt coпnection to the Data Netwo гk . It may Ье пе сеssа гу to ассонпt fш Netwoгk Sliciпg if
diffe1·eпt UPF аге coпfigшed to sнppot·t diffe гeпt S\ice/S eгvice Types (SST), e.g. опе UPF may Ье coпfigнгed to s нppot·t е пhапсеd
Mobile Вго аdЬапd (еМВВ ) , while anot\1 eг UPF may Ь е configшed to s нррогt Ultгa R e li a Ы e Lo\v Latency Commt1nicatioп (URLLC)
* Tl1e SMF is гesponsiЫe fог se l ectiп g ап appropriate Policy Сопtго \ Fнnctioп (PCF) dшiпg the set1.1p of а PDU Session, i. e. it se\ects the
PCF to pюvide t\1 e policy fог а specific PDU Sessioп (the AMF selects tl1e PCF dшiпg а UE 1·egistгation ргосеdше to obtaiп the
'Access апd Mobility Policy', e.g. set offoгbidden Tгacking Атеаs). The PCF associated with а PDU Session pгovides t\1 e policy fo1·
tl1e Q н a \ity of Seгvice (QoS), e.g. the aн thoгi sed 5QI, Allocation and Retentioп Policy (ARP) and Session Aggгegate Maximнm Bit
Rate (Sessioп-AМBR). The se lectioп algшit\1m сап accoнnt for the PCF alгeady se \ected Ьу the АМF , the Data Netwo гk Name (DNN)
н sed Ьу t\1e PDU Session, ог infшmation configшed within the SМF, e.g. ап SMF may Ь е configшed to нsе а specific PCF

22
 5G NR in BULLETS

'h SMF i·etrieves subscгiption infoпnatio11 from the Unified Data Management (UDM) fвnctio11 dшing the setнp of а PDU Session.
* ~I е • foгmation retrieved сап inclнde aнthorised PDU type (IPv4, IPvб, Ethernet, Unstructtн·ed), defaвlt 5QI, defaнlt Allocation and
!{ 1~ 1~ion Priority (ARP), Session-Aggгegate Maximшn Bit Rate (Session-AMBR) and aвthorised Session and Service Contiпвity
(SeS~). SSC refeгs to the ~reservation of conпectivity and IP addгes_s alloca~ioп throughout the lifetime of а PDU Sessioп, e.g. ensшing
tlнi t service connectivity 1s ma1ntaшed when changшg the UPF wh1ch prov1des the Data Network connectюn

* The SMl~ pi·ovides sнpport for interfacing wit_h the пetwoгk chargi~g system. Thi, coн_ld Ь е eitheг an Online Chaгging _System (OCS) or
OfПine Chargi ng System (OFCS). An Onlшe Chargшg System шvolves the authol'lsatюn of data transfer Ьеfоге 1t 1s transferred,
: g. for а pгepaid mobile broadband subscription. An Offiiпe Charging System allows data to Ье transferred and billed at а lateг time.
11

Data нtili sat ion measшemeпts are completed Ьу the UPF. The SMF is аЫе to configнre those measнrements and also collect tl1e
rest1ltant гeports ft·om the UPF. The SMF then provides the reports to the charging system

1,4.3.3 ПSER PLANE FUNCTION (UPF)

* The Use 1· Рlапе r н11 ctio11 (UPF) is responsiЫe fог 1·oнtin g and fo1waгdi11g useг рl а пе packets between the Base Station and the extemal
Data Netwoгk
* Upliпk packets aiтiving from the Base Station нsе а GTP-U tнnnel to 1·each the UPF. The UPF has to 1·emove the packet headers
belongiпg to tl1e GTP-U tвnnel before foгwa гding the packets iпto the external Data NetwOl'k. The UPF may pгovide connectivity
towai·ds mвltiple Data Netwo1·ks so the UPF l1as to ensшe that packets are foгwarded towaгds the со1тесt netwo1·k. Each GTP-U tнnпel
belo11gs to а specific PDU Session апd each PDU Sessioп is sett1p towa1·ds а specific Data Network Name (DNN). The DNN identifies
tl,e external 11etwOI·k to wl1ich вser рlапе packets sl101.1ld Ье fo1warded. Tlшs , the UPF has to keep а recoгd ofthe mappi11g between
GTP-U ttш11el, PDU Sessio11 a11d DNN
* Dow11link packets arгivi11g ft·om tl1e ex teп1 a l Data Netwol'k mвst Ье mapped опtо specific QoS Flows beloпging to specific PDU
Sessions befo1·e forwa1·di11g to\va1·ds the a ppгopriate Base Statioп. А QoS Flow coпespoпds to а s tгea m ofpackets whicl1 have eч ual
QoS. А PDU Session са п have mнltiple QoS Flows. Section 1. 14 descl'ibes tl1e сопсерt ofQoS Flo\vs iп gгеаtег detail. The UPF uses а
sc t of Seгv i ce Data Flow (SDF) Templates to map eacl1 downlink packet опtо а specific QoS Flow. SDF Templates provide а set of
гнl еs fог tl1i s mappi11g pгocess. FOI' example, tl1e followiпg paramete1· combinat io11 {sошсе IP add1·ess 'Х'; desti11atio11 IP addгess 'У ';
sо шсе рогt nвmЬег 'J' ; d es tiпation po1·t nвmЬег ' К ' } s lюнld Ье mapped опtо QoS Flow 'А' b e loп g in g to PDU Session 1. Tl1e co11cept
of 111appi11g packets onto QoS F lows t1si11g SDF Temp lates is illн stгated i11 F i gш·e 13

User Р/апе Function (UPF)

1
L

(j
(
GTP-U
Типпе/

l РОИ Session '1'

о
о
QoS Flow 'А'
QoS Flow 'В '
◄

Service
Оа/а Flow
Templates
◄
-----у-,..,.---....___

( ( Oat~ Network
с-
. j
),
с
- ---<---'-.___..,. )...__...
GTP-U о QoSFlow 'C' ◄

r
\
Типпе/

l
РОИ Session '2'
о QoSF/ow'O' ◄ Mapping onto
QoS Flow
Downlink Packets arriving
from Data Network

Figш·e 13 - Concept of mappiпg do,vпlink data packets опtо QoS Flo,vs at the Usн Рlапе Fuпction (UPF)

* Afteг ideпtifying the аррюргiаtе QoS Flow, the UPF fOI·wa гds t\1e packets acгoss the GTP-U Tнnnel belo11gi11g to the pa1·ent PDU
Session. There is one GTP-U Tнnnel рег PDU Session гаthег than one GTP-U Tнnnel per QoS Flow. The UPF 'maгks' the GTP-U
l1eadc1· to indicate the QoS Flow associated wit'1 each packet, i.e. the QoS Flow Ide11tity (QFI) is inclнded \Vithiп the GTP-U hea deг

* Tl1 e UPF гece i ves tl1e set of SDF Templates fгom the Session Ma11agement Ft111ction (SМF) dшing the setнp of the PDU Sessioп. Tl1e
SMF gene1·ates tl1em fгom infoгmation pгovided Ьу th e Policy Contюl Fнnction (PCF)

* Tl1e UPF also veгifies that the SDAP laye1· witl1i11 tl1e 50 BTS is applying the coгrect mapping betwee11 нplink data packets a11d QoS
Flo\v, i.e. the UPF inspects th e вplink packets to confiгm that tl1 e сопесt mapping l1as been applied accoгdin g to tl1e set ofSDF
Templates

Tl1e UPF ca n p1·ioгiti se tl1e packets being traп s feггed acгoss tl1e tt·an spoгt п et\voгk Ьу 'ma гkiп g ' tl1 em \Vitl1 i11 tl1e IP headeг belo11 gi11g to
th e GTP-U tt111nel, i.e. tl1e овtег IP l1 eadeг added Ьу tl1e UPF гаtl1ег t'1a11 the i1111ег IP l1eade1· w l1i cl1 be loп gs to the end-в seг app li cation
(assшnin g а PDU Sess i oп l1as Ьее11 sett1p to tгaпsfe1· IP packets). Tl1e Diffeгentiated Seгv i ces Code Poiпt (DSCP) fi eld \Vithiп tl1e IP
h eadeг сап Ье в sed fог tl1i s рнгроsе

* The UPF is гespons iЫ e fог пotifyiп g tl1e SMF wl1e11 dow11li11k data arrives fог а UE wl1icl1 is iп the CM-IDLE state, i.e . the UE needs
to Ье paged Ьеfоге th e data can Ье fo1warded acюss tl1e NЗ iпterface towards thc Base Station. Tl1e downliпk data is bвffeгed Ьу the
UPF wl1ile \vaiting for tl1e UE to estaЫish its connection and move i11to the CM-CONNECTED state

23
 !'1

5G NR in BULLETS

* The UPF is responsiЫe for enforcing the Session Aggregate Maximum Bit Rate (Session-AМВR) which defines the maximum
permitted bit rate summed across all non-GBR QoS Flows belonging to а specific PDU Session . The UPF гeceives the Session-AМBR
from the SMF during the setup ofthe PDU Session. The SMF obtains it from the Policy Control Function (PCF)
* The UPF is responsiЫe for tracking the volume of data transferred Ьу each PDU Session and reporting this information to the SМF.
The SMF provides these reports to the charging system for billing purposes
* The UPF acts as an anchor point for mobility procedures which do not involve а change ofUPF. In general, the majority ofXn based
handovers and N2 based handovers will not require the UPF to Ье changed. In these cases, the data patl1 is simply switched from the
source Base Station to the target Base Station
~

* Mнltiple UPF сап Ье нsed to sнpport 'mнlti-homed' PDU Sessions. А mнlti-homed PDU Session is one which has more than а single
anchor UPF providing Data Network connectivity. For example, а PDU Session сап have а single 'Ьranching point' UPF providing
connectivity towards the Base Station, combined with two 'anchor' UPF providing а pair of interfaces towaгds the extemal Data
Network. This type of architecture is shown in Figure 14. Mнlti-homed connections сап Ье нsed to provide redнndancy and increase
system reliability

i
u
Nб
N9 UPF "
Anchor 1 ~~

о Оа/а Netw: )
NЗ
UPF
{
◄ DRB ► ◄ Branching
Point
~
N9 ~ Anchor
UPF
2 Nб

'
Figш·e 14 - Multi-lшmed PDU Session щing multiple User Plane Functions (UPF)

1-4.3-4 AUTHENТICATION SERVER FUNCTION (AUSF)

* The Aнthentication Server Fнnctioп (AUSF) is а contюl plane fнnctioп withiп the 5G Соге Netwoгk. Its ргimагу fiшction is to sнррогt
botl1 sнbsc1·iber and пet\voгk aнtheпtication, i. e. the пetwoгk veгifies tl1at tl1e UE is а ge пнin e aнthoгised sнЬ sсг iЬ е г, while the UE
veгifies that the п etwo гk is ge пuin e

* The АМF can call нроп the AUSF to s нррогt a нth eпti cat i oп dшing the UE Registгation р1·осеdше. S imilaгl y , the AMF can call нроn
the AUSF to s нpport aнtheпtication dшing any otheг ргосеdше whi cl1 invol ves es taЫ i s hiп g а s i gna lliп g conпectioп with tl1e UE, e.g.
tl1e Se1·vice Reqнest ргосеdше
* The Aнthentication ргосеdше is completed betweeп tl1e UE and th e AUSF. Howeve1·, tl1e AUSF caпnot corrununicate diгectly with the
UE. The AMF is нsed to геlау infoгmation betweeп the UE апd AUSF. Tl1e AMF t1ses Non Access S tгatнm (NAS) sigпalling toward s
the UE. Authentication is categoгised as а Mobility Management NAS ргосеdше
* The 5G System sнppoгts the following aнthentication methods:
о ЕАР-АКА', which is а гevised ve1·sion ofEAP-AKA. ЕАР is an acгonym fог 'ExtensiЫe At1theпtication Pгotocol' , \Vheгeas АКА
is an acronym fог 'At1thenticatio11 and Кеу Agгeement'. ЕАР-АКА' is specified within IETF RFC 5448
о 5G АКА, which is а гevised veгsion ofEPS АКА, апd is specified witl1in 3GPP TS 33.401
* In addition to aнtheпticating tl1e UE, tl1ese pгocedt1res geneгate keys fог sнbseqнent secшity ргосеdшеs

* The AUSF нsesthe Unified Data Management (UDM) ftшction dшing the at1tl1entication ргосеdше (sнbsc1·iption infoгmation is
maпaged Ьу the UDM). The AUSF may Ь е configшed to н sе а specific UDM, ог it may н sе th e Netwoгk Fнпсtiоп Repository Fнnctioп
(NRF) to discoveг an арргоргiаtе UDM

UNIFIED DATA MANAGEMENТ (UDM)

* The Unified Data Managemeпt (UDM) is а contгol plane fнnct i oп 1vitl1i11 the 5G Сше Net\vo1'k. It is s imi\a1· to the Ноте Sнb sc1·ibe 1·
Se1·ver (HSS) within the 4G Evolved Packet Соге (ЕРС)
* The UDM manages sнbscribeг data апd may also store sнbsc1·ibe1· data. The sнbscгiber data can Ье stoгed locall y \Vithiп а UDM, ог it
са п Ье stored \Vithin а Unified Data Repository (UDR). The latter so lнtion allo\vs mt1ltiple UDM to access tl1e s t1bscгibeг data fгom а
cent1·al stoгage location

24
 5G NR in BULLETS

Tl1e Subscription Permanent Identifier (SUPI) is managed Ьу th e UDM. ЗGРР devices use their Intemational Mobile Subscriber
* !dentity (JMSI) as the SUPI. Non-ЗGPP devices сап use their Neh-vo rk Access Identifier (NA!) as tl1e SUPI
т1 1 е UDM interacts ,vith the AUSF during tl1e authenticat ion pl'Ocedш-e. The Al.JSF pгovides the UDM with e itheг the SUPI ог the
* S t1b sc гiption Concealed Identifier (SUCI). The SUCI is а privacy preservi ng identifi e г which contains the SUPI. !fthe UDM receives а
SUC! t11en it ex tгacts tl1e SUPI Ьеfоге proceeding. The UDM uses the SUPI to select an authentication method based upon the end-
t1 ser' s subscription profile. The UDM then geneгates an authentication vector an1J sends tl1is vector to the AUSF
т11 е UDM interacts with the АМF dшing the Registration procedure. The UDM stores (or uses а UDR to store) the AMF identity for
* 1 11 е UE which is compl eting the Regi stration procedure. Storing the АМF identity allows the UDM to support UE Reachability
pгocedt1гes. The UDM pгovid es the AMF with Access and Mobility subscription data and also subscription data to support the
selection of an SMF
Tlie UDM interacts with the SMF during the PDU Session EstaЫishmeпt procedure. The UDM stores (ог uses а UDR to stoгe) the
PDU Session !dentity, the SUPI, the SMF Identity, the SMF Address and the Data Network Name (DNN). The UDM provides the
SMI; ,vith subscription information which сап include authoгised PDU type (IPv4, !Рvб , Ethem et, Unst111ctured), default 5QI, default
A llocatioп а пd Reteпtion Priority (ARP), Sessioп-Aggregate M ax imum Bit Rate (Session-AМBR) and authoгised Session апd Service
Coпti11 t1i ty (SS C)

* Tlie UDM са п p гovide вpdates to the AMF а пd SMF if sub scг ib e 1· data is cl1anged. The АМF сап Ь е updated ifthe Access and
Mobility subscl'ip tion data is c h a п ge d , wheгeas the SMF can Ь е 1.1pdated ifthe Session Managemeпt subsc1·iption data is chaп ged
* The UDM is l'equ ired w h eп se пdin g SMS over Non Access St1·at1.1m (NAS) signalling messages. Tl1e SMS Function (SMSF) selects
а пd гeg i sters with а UDM dшiпg th e UE registratioп pгoce dure . The UDM stores (ог uses а UDR to stoгe) th e SMSF identity for the
UE whi ch is co mpl eting the Registration рго сеdше . Tl1e UDM pl'Ovides the SMSF with 1·elevant subscriptioп in formation . The SMS
Gate,vay Mobile Switching Centeг (SMS-GMSC) contacts th e UDM when se ndiп g а moЬil e te rmiп a tin g SMS. The UDM pl'Ovides the
SMS-GMSC with th e id eпtity of the 1·elevant SMSF to which tl1e SMS сап Ь е forwaгded

1-4.3.6 UNIFIED DATA REPOSITORY (UDR)

* Tl1 e Uп ifi e d Da ta Repos itol'y (UDR) is в se d to stol'e data b e l oп g iп g to tl1 e U пifi ed Data Man age m e пt (UDM) Ne h-vo1'k Fн n ct i oп , Policy
Со пtго l Ft111 ctio11 (P CF) а пd Ne h-voгk Ех ро s ш-е Fun c tioп (NEF), i. e. tl1 e UDR is а Ы е to s toгe:

о s ub sc гiptioп data wl1icl1 са п Ь е гe tгi e ve d Ь у а UDM

о pol icy data ,vhi ch с ап Ь е гet1·iev ed Ьу а PCF

о s t111ctшed data whicl1 сап Ь е retri eved апd exposed Ьу an NEF

* Stгt1ctuгed data 1·efers to data which has а known and organised format. Within the context of the NEF, it refers to records of events
wl1i ch liave оссштеd. For exa mple, tl1e AMF 111ау detect а loss of con nectivity towai·ds а specific UE. Tl1is event сап Ь е stored Ьу the
lJDR апd sнb seq u entl y retrieved and exposed (made availaЬle) to oth eг Network Fuпctions Ьу the NEF

* F i gшe 15 illust1·ates the general co1111ectio11 of а UDR to а п NEF, PCF а пd UDM. Otl1 e г Neh-vork Fнпctioпs use а UDSF ratl1er than а
UDR to stoгe th ei г data

Unified Data Repository Subscription Data Stru ctured Data for Exposure
(UDR) Policy Data Application Data

Nud r
1

Network Exposure Function Policy Control Function Unified Data M anagement

(NEF) (PCF) (UDM)

F i g ш·e 15 - U11ified Data Repository (UDR) con necte1\ to N EF, PCF a11 d UD M

* А UDR сап Ье implemeпted to Ь е dedi ca ted to а specifi c Neh-voгk F uп ctioп гаtl1ег tl1 an s h a гed Ьу tl1e UD M, PCF апd NEF. Fо г
exa111ple, а UDM imp l e menta tioп may iп c lud e а UDR ,vhi ch only serves that UDM. S imil a гl y, а PCF imple111entation may iп c lнde а
UDR wh icl1 оп l у serves tl1at PCF

25
5G NR iп BULLETS

1,4.3.7 UNSTRUCTURED DATA STORAGE FUNCTION (UDSF)

TI1 е U 11strt1c n II.е d Data Storage Fнnction (UDSF) is нsed

. . . to. other Network Fнnctions
to store data belonging . . For example, an АМF
.
* may н s е а UDS F to store the UE contexts that are Ьешg managed at that рошt ш t1me. Network Fнnctюпs may have the1r own UDSF
. . . k ·
о г tliey may s lia гe а common UDSF. F1gшe 16 11lн strates the geneгal connectюn of а UDSF to anotheг Networ Fнпсtюп

Any Network Nudsf Unstructured Data Storage

Function Function (UDSF)

Fig ure 16 - Un s t1·uctш·ed Data Sto1·age Function (UDSF) connected to other Nehvork Functions

* Storing data within а UDSF at а central locatioп helps to allow Network Fнnctions to operate iп а ' stateless' manner. Stateless
operation meaпs that Network Fнnction s do not rely нроп makiпg transitions betweeп states. Iп s te ad, every transaction is treated as а
п еw tra п sac tion . If а пetwork inclt1des mt1ltiple instances of а specific Network Fнnction , then stateless operation allows one instance
of the Network Ft1nction to take over from another with o нt needing to transfeг any iпform a tion regarding tl1e сште пt 'state'
* Figшe 17 illt1strates а п example of stateless operation when an АМF experi ences otttage. This example assttmes а fiгs t АМ F which is
manag ing UE 'а ' and 'Ь ', and а second АМF which is managing UE ' с' . Both AMF share а common UDSF so both have access to all
UE context data. If АМF I experiences otttage then АМF 2 са п immediately access the data fо г UE 'а' and 'Ь '. This pгevent s UE
context data b e iп g lost when АМF I exp eгi e n ce s oнtage а пd allows а relatively seamless contint1atio11 of seгvices

UE Context 'а ' UE Context 'а'

Unstructured Data Storage Unstructured Data Storage
UE Context 'Ь' UE Context 'Ь'
Function (UDSF) Function (UDSF)
UE Context 'с' UE Context 'с'

Nud sf Nudsf

AMFl AMF 2 AMF 2

UE 'а' & UE 'Ь' UE 'с' UE 'а ' , UE ' Ь' & UE 'с'

Fi gш· e 17 - Е ха шр l е of 'Stateless' bel1 a vioш· (l111·ing AMF 011tage

POLICY CONТROL FUNCTION (PCF)

* The Policy Contгo l Fнn cti on (PCF) is а co ntгol plane fun ction witl1in the 50 Со ге Netwo rk. It is 1·espon s iЫe fo r pгov id ing po lices
associated with m o Ьility m a n age m e пt and policies associated with session ma n age m e п t. M o Ьility management policies са п impact UE
moЬili ty in both RRC Idle and RRC Corm ected modes. Session Management polices impact the Qt1ality of S e гv i ce (QoS) offered Ь у а
PDU Session. S ess i o п M a n ageme пt polices also offe r а me ch a пi s m to manage s ttb scг ib e r s p e ndiп g limits

* The ge п era l p a tte rп of interacti on between tl1e АМF , UDM and PCF is illн s tгa te d in F i gшe 18. The АМF o bta iп s s t1b sc гipti o 11
iпform a ti o n fгom the UDM. The UDM may store this information locally, о г may п е еd to гetri eve it fгom а UDR. The АМF
st1bseqt1entl y provides this sttb sc ripti o п information to the PCF. The PCF stores tl1e st1bscription information, either locally о г н s in g а
UDR. The PCF may then decide to mod ify tl1e s t1b sc гib ed policy iп fOJ'm at i o n according to ope1·at01' policies. Fо г exa mple, the
st1bscribed policy fгo m the UDM may not inclt1de any access гes tri ct i o n s. The ope1·ato1· policy co п fig ш·e d w itl1iп tl1e PCF may specify
that the UE is п о t p e гmi tte d to access а specific ТАС dшiп g bttsiness h o шs. Jn tl1at case, tl1e PCF wottld nю di fy the sttbscri bed policy
d шin g btt s iп ess h oшs а пd wottld pгov id e tl1e modi fi ed policy to tl1e АМ F

Stepl S tep З

ИDR
·11· \ Query Subscrip tion /- Provide Subscription Policy
UDR uом
1
1~
.
~- - - - - -- -- - - ,

NB .1
дмF
N15 PCF 11 1

Step 2
l
1
Step S
Step 4
Provide Subscription Policy Nl / N2 Pro vide M odified Po /icy
Subscription Po licy
{if modified)
тау Ье Madified

Provide Policy to
UE/BTS

Fi g ш·e 18 - Ge11 e1·al patterr1 of iпte r acti on behvee11 АМF, UDM а п d PCF

26
 5G NR in BULLETS

Tlie enei·a l pattern illt1strated in Figuгe 18 is applicaЫe to th_e_ 'Access ~nd Mobility Policy' which the АМF retrieve_s fгom the UDM
* l . .· g the UE Registratioп procedшe. Tl1e ' Access апd Mob1l1ty Pol1cy allows the defiшtюn ofserv1ce area restпctюns. The UE 1s
tШ 111 ~siЫe foi· applying restrictioпs in th e CM-IDLE/RRC Idle, and CM-CONNECTED/RRC Iпactive states. In thi s case, tl1e netwoгk
,c_s~~des the UE with the relevant seгvice агеа restrictions, e.g. а list of fo rbidden Tгacking Areas. Service area restri ctions сап Ье
~i~ia lled tn tl1 e UE t1sing а NAS: Registmtion Accept message. The network is respoпsiЫe for applying 1·estricti ons \vhen th e UE is in
tli~ CM-CONNECTED/RRC Connected state. In this case, the netwo1·k сап apply H andover Restгiction Lists to preveпt specific
mobility paths
Tli e gепе га l pattern illt1 stгated in Figшe 18 is also applicaЫe to the '_RAT/Freqt1ency Selection Priority' (RFSP). The_RFSP is an index
1,,liich is pгovided to the Base S tatюn and 1s tl1en t1sed to select spec1fic Rad10 Resoшce Management (RRМ) strateg1 es. For example,
tlie RFSP са п Ь е t1sed to deteгmine the set of cell гese lection pгiOl'ities pгovided to а UE. Altematively, it may Ье t1sed to move RRC
Comi ected mode UE to а specific network layer. Similar to the 'Access and Mobility Policy', the АМF гe trieves the st1bscribed RFSP
fl'Om tlie UDM d uгiп g the UE registration ргосеdше. It is st1bseqt1ently provided to the PCF \Vhere it сап Ье modified accoгding to an
op e гator po li cy (RFSP is eqt1ivalent to the 'St1bscriber Pгofile ldentity' (SPID) t1sed Ьу 4G n e twoгks)

Тlн: PCF са п define ап Access Netwoгk Discovery and Selectioп policy. The UE t1ses this policy for selecting non-ЗGPP access
* ,i cl'\vorks, e.g. а W iгel es s Local Агеа Net1v01·k (WLAN) based t1pon WiFi. The non -ЗGPP access netwoгk сап Ье t1sed to oftload tгaffic
rгот tlie ЗGРР access п etwoгk. The UE сап Ье pгovided with а WLAN Selection Policy (WLANSP) which specifies the conditioпs
шi cl ei· 1vhi ch
the UE sl10uld se a гc h fo1· а WLAN and the set ofselectioп criteri a, e.g. the maximшn WLAN load and а list ofService Set
Id cnti fiers (SSID)
Tli e PCF са п d e Гtn e а UE Rot1te Selectioп Policy (URSP) which pгo vides the UE witl1 rul es for routing ot1tgoing tгaffi c . The п1l es сап
* iridicate tl1 at tгaffi c s h oнld Ье гo t1ted to an ex isting PDU Session, ог tliat а new PDU Session shot1ld Ь е es taЫi s h ed, ог that tгaffi c
s lюL1ld Ье oftloaded to а non-ЗGPP access пetwo rk . The URSP inclt1des а set of traffic d escr iptoгs which allow the UE to recogni se а
specific type oftra ffi c, e.g. destinati on ТР addгess, destination port nt1mber and hi g h eг laye1· protocol identity. The URSP also inclt1des
а set ofгoL1te selecti on descгiptoгs to indi cate wl1ere the tгaffic sl10t1ld Ье гot1ted, e.g. а specific Data Network Name (DNN)

Tl1e PCF са п receive infoгmation regarding the load ofa Network Slice from а Network Data Analytics Ft1nction (NWDAF). T he
*
NWDAF is ап opt i oпa l NetwOl'k Fнnction wl1ich са п collect Net\vo rk S lice load stati stics without having kпowledge of speci fic
st1bsc1·ibe1·s. Tl1e PCF са п t1 se the Ioad infoгm a ti o n when ge n eгa tin g its policies

Ал App li cat ioп Ft111ct i o п (AF) may contact the PCF to гeqt1est а time window fог b ackg ro вnd data tгaffic . Fог exa mpl e, if а la1·ge
*
11t1111be1· of U E гe qL1iгe а softwaгe t1pdate tl1eп the download ofthat software са п Ье t1·eated as backgгot1nd data 11·affic. T l1e гeq в est
i11 clt1des tl1 e qu a пtity of data to Ь е t1·ansfeггe d а пd the expected qt1anti ty ofUE . The PCF сап respoпd w itl1 а recomm ended time
1v iп clo w, а со ггеs р о пdiп g c ha1·g iп g га tе апd а max imt1 m bit га tе

* Tl1 c PCF iпte 1·ac ts 1vitl1 tl1 e SMF dш iп g tl1 e es ta Ыi s l1m e пt ofa PDU Sess ion . T l1 e S МF гe tгi e ves QoS paгam e te гs fгom tl1e Un ified Data
M ш1 age m e nt (UD M) Ne t\voгk Fвп с tiоп . T l1ese p a гam ete гs iпclвd e tl1 e d e fa вl t 5QI, tl1e de fat1lt A ll ocation а пd Re te пti on Pгio1· ity (ARP)
а п d tl1 e st1 bscrib ed Sessi oп A ggгegate Ma x inшm B it Rate (Se ss ioп-AMBR). T l1 e SMF st1b seqL1 e11t ly pгovid e s tl1is infoгmatioп to the
PCF. The PCF applies its policy mak ing decisioпs and geп eгates а п a llthoгi se d 5QI, ARP and Session-AМBR. These aн tl10гi sed
paгamete,·s ar·e tl1 eп гett1med to the SMF . Tl1e SMF foгwar·ds the parameters !о the гe leva nt Netwo гk Fuпctioп s fог е пfогсе m е пt , e.g.
tl1 ey are fo1wa1·ded to the Useг Рlап е Ft111ctioп (UPF)

* Tl1e PCF pгov id e s th e SMF with Seгvice D ata Flow (SDF) Templates. The SMF f01wards the SDF Templates to the Useг Рl а п е
Ft1nctio11 (UPF) w l1ich t1ses tl1 em to map downlink packets aпi v iпg from the exteгn a l Data Ne·t work опtо speci fi c QoS Flows belonging
to specific PDU Sessions

* T l1e PCF pгovides the SМF with cha1·giпg rt1les. These п1l es сап Ье based t1pon data volнme , time, or specific events. C hargiп g rules
са п also iпdi cate tl1at c harg iп g s hoнld not Ье applied. The PCF helps to enf01·ce subscгiber spendin g limits using information provided
Ь у tl1e Online Charging System (OCS). The OCS is соппесtеd to the PCF нsin g the N28 Refereпce Point wl1e11 н s iпg the Reference
Poiпt system aгc hitectuгe. The OCS tracks the снпе пt subscгib e г spending апd provides spending limit re po гts to the PCF

Tl1e PCF са п provi de tгaffic s teeгin g п1les to the SMF. The SMF foгwaгds tl1ese гul es to the User Рlапе Functioп (UPF) wheгe they are
* L1 sed to select а п a ppropгiate Nб inte гface towards tl1e extemal Data Net\voгk . Fог example, tгaffi c s teeгin g сап Ь е used to diгec t tгaffi c
be l oпgiпg to а specific PDU Sessioп th гo1.1gl1 а Рагепtаl Contгo l path to l1 elp епsше th at апу con teпt beiп g accessed is app1·opгi ate

NEТWORK SLICE SELECTION FUNCTION (NSSF)

* T l1e Netwo ,·k Slice Selection Ft111cti o11 (NSSF) is а cont1·0 I рl а п е ft111ctio11 1vitl1i11 tl1e 5G Са ге Net\voгk. T l1e NSSF is co пn ected to 1l1e
Access а пd Mob ili ty M a n age meпt F1111ction (АМ F) L1si11g th e N22 Rеfе геп се Poiпt . Tl1e AMF са п гeqt1est th e NSS F to complete
Ne tv.гo1·k Slice se l ectioп dt1гin g tl1e UE Regist1·atio11 procedшe. T l1e pr i п c ipl es o fNet\voгk S li c ing аге desc1·ibed iп sectioп 1.1 5

* А s iп gle Netwoгk Slice is i d eпtified Ьу its Single Net1vo1·k S li ce Se l ectioп Ass istan ce Iпfoгmation (S-NSSAI). А set of о п е о г nюге
Netwoгk S li ces is id eпtified Ьу its Ne t\voгk S lice Se l ectioп Ass istance InfOl'ma tioп (NSSAI)

27
5G NR in BULLETS

* The АМF can provide the NSSF with the following inforrnation:
о Requested NSSAI (geneгated Ьу the UE from the Allowed and/or Configured NSSAI)
о the mapping from Requested NSSAI for the seJ"Ving PLМN to Configured NSSAI for the Home PLМN
о Subscгibed S-NSSAI, with an indication of any default S-NSSAI
о identity ofthe UE's Home PLМN

о identity ofthe UE's cшrent Tracking Area

* The NSSF'uses the inforrnation provided Ьу the АМF to :
о verify that the UE is subscribed to each ofthe S-NSSAI belonging to the Requested NSSAI
о select one or more network slices to seJ"Ve the UE and generate the Allowed NSSAI
о identify а set of candidate АМF which can Ье used to seJ"Ve the UE
•* Ifthe NSSF determines that the сштеnt seJ"Ving АМF is unaЫc to support the selected NSSAI then an АМF гelocation is initiated, i.e.
the NAS: Regist1·atio11 Request is ге-гонtеd to а new АМF
* The NSSF may also select the Network Fнnction Repository Ft111ction (NRF) which can Ье нsed to select otheг Netwшk Fнnctions
within the selected Netwo1·k Slice

1-4.3.10 APPLICATION FUNCTION (AF)

* The Application Fнnction (AF) is а contюl рlапе function within the 5G Core Netwoгk. The Applicatioп Fнnction acts as an
application seгver pгoviding suppшt fог specific services. Fo1· example, theгe coнld Ье an Application Ftшction fог а video streaming
seгvice

* Applicatioп Ft111ctions with diгect access to the 5G Core Netwoгk а1·е соппесtеd to tl1e PCF t1sin g tl1 e N5 Refeгence Point. If an
Application Fнnctioп does поt have diгect access to the 5G Core Netwo1·k tl1en it can t1se the Network Ехроsше Ft1nction (NEF) to
pгovide co1шectivity. 3 rd party Application Ft1nctions may Ье t111t1-usted and Ье гeqнired to н sе tl1 e NEF

* Applicatioп Fнnctions ai·e аЫе to iпflн ence Useг Plane F ш, c ti on (UPF) selection апd a lso tгaffic гонtiпg towaгds specific Data
Netwo гks .Application Fш,ctioпs send гeqtt ests to the PCF. The PCF са п t1·aпslate tl,ose гeqнests iпto policies fог specific PDU
Sessions. The policies аге s нb seq н e ntl y pюvided to the Sessioп Ma n agemeпt Ft1nctioп (SMF)
* An Application Fнnction (AF) and Useг Plane Fнnctioп (UPF) may Ье co-sited with а BTS \vl, e п deployiпg Mнlti-Access Edge
Compt1ting (МЕС). МЕС pюvides tl1e benefit ofkeepiпg the seгvice coпtent physically close to the access пetwork . This геdнс еs
latency and also helps to геdнсе the reqttiremeпt fог tгansport bandwidth. Tl,e МЕС Application Fttnctioп inte гacts with the PCF to
гeqttest that the SMF selects th e МЕС UPF for the арргоргiаtе PDU sessions, and also that those PDU Sessions аге юнtеd towaгd s tl,e
!оса! content serveг

* Application Ftшctions аге alгeady нsed \Vithin the 4G пetwoгk a1·chitectшe wl,en ttsing an IP Mttltimedia Sнbsystem (IMS) to st1ppo11
Voice over L ТЕ (VoLТЕ ) . Tn that case, the Proxy - Call Session Сопtгоl Fнnction (P-CSCF) acts as an Applicatioп Ft111ction fo1· tl1e
voice se1vice

1-4.3.11 NEТWORK EXPOSURE FUNCTION (NEF)

* The Netwoгk Ехроsше Fttnction (NEF) is а сопtгоl plane fi.шctioп \vitl1iп the 5G Соге Nel\vo1·k
* The NEF is аЫе to pгovide iпfoгmatioп гegaгdiпg the capability ofNel\voгk Ft111ctions \vitl1i11 the 5G System to exteгna l Netwoгk
Fнnctioпs, i.e. it is аЫе to expose сегtаiп n etwo гk capabilities. Fo1· exa mpl e, the NEF is аЫе to expose tl1e п etwo ,·k nюnitoгiп g
capaЬility. This allows ехtегпаl Netwo1·k Ftшctions to sнbsc,·ibe to tl1 e геро гtiп g of specific events

* Netwoгk Fнnctions witl,in the 5G System аге аЬ!е to герогt specific eveп t s to the NEF. TI,e NЕГ сап tl1e11 pгovide герогts oftlюse
events to otheг Net\voгk Fttnctioпs. Example events in c lнd e:
о loss of connectiv ity fог а specific UE - repoгted Ьу the АМF

о locatioп infoгmation fог а specific UE - гeported Ьу tl1 e АМF

о а change in the relationsl1ip bet\veen Sнbscriptioп Pe,·manent Identifier (SUPI) and Pe1·manent Eq нipm ent Identifi e1· (Р Е !) ,
i.e. ап епd-щег шoves а USIM fгom one device to anotheг - герогtеd Ьу tl1e UDM
о гoaшing statнs fог а specific UE - герогtеd Ьу the UDM

28
 5G NR in BULLETS

, . , . l9 illt1stгates the signalling used Ьу а Net,voгk Fнnction when st1bscribing to а specific event. The Netwoгk Fнnction sends а
* Fttш eibe гeqt1est to the NEF. The NEF then has to st1bscribe to receive reports from the relevant Network Function. In this example, it
5t1 scг,,,ed that tl,e UDM is providing the reports. Once tl1e st1bscription ргосеdше is complete, tl1e UDM will start to send reports to
,s asstt . . .
tlie NEF ,vhich can then Ье f01warded towaгds the Network Fнnctюns whtch haYe sнbscпbed

Other Network Function NEF ИDМ

Event Exposure Subscribe Request

- Event Exposure Subscribe Request

,_ Event Exposure Subscribe Response

Event Exposure Subscribe Response

Event Exposure Notify

Event Exposure Notify

Figш·e 19 - Event ехроsш·е sigr1alling 11sing tl1e NEF

* Tlie NE F sttppo11s event exposure towards Netwoгk Functions within the 5G System and also towaгd s Netwo1·k Functioпs located
ot1tside tl,e 50 System, i.e. exteшa l Network Functions. Fо г example, an external application coнld collect statistics гega rding the
locatio,1of devi ces. The NEF is responsiЫe for masking пetwOl'k and t1seг sensitive information when герогtiпg to external Network
F ttn c ti o п s, е.1~ - UE identifiers а 1·е likely to Ь е masked to protect privacy

• тl,с NEF is also а Ы е to expose the network provisioning capability. This allows exteшal Network Functioпs to ideпtify the iпform ation
ivliicl, са п Ь е pl'Ovisioned for UE belonging to the 5G System. The NEF foгwыds any provisioning iпfo rma tion onto the UDM where it
is sto,·cd as part ofthe UE pгofil e . The type of infOl'mation which сап Ь е pl'Ovi s ioпed is the expected UE b ehavioш in tеппs of its
111 oveme11t а п сl communication characteristics. The info1шa tio11 сап Ь е accessed Ьу otl1er Network Ft1nctions \vitl1in the 5G system to
l1clp coп fi gшe moЬility maпagement or sess ioп managemeпt pai·ameters
• Tl1c NEF is also а Ы е to expose the policy/c haгgin g ca p a Ьility ofthe netwo1·k. Tl1is allows external Network Ftmctioп s to influence the
QoS а п сl cl1 ш·g i 11 g policy for specific UE. Fо г example, the prioгity а пd chargi ng га tе fOI' а specific UE са п Ье influenced
• Tl1c NEF stores its data u s iп g а Unified Data Reposito1y (UDR). The data is s toгed as stп1 ctшed data using а defi ned format

1-4.:5. 12 NETvVORK FUNCTION REPOSITORY FUNCTION (NRF)

* Tl1c Net\Vot-k Ft1 nctio11 Reposito1y Function (NRF) is а contl'OI plane function withiп the 5G Core Net\vork
* Tl1c NRl0 allo\vs Net\voгk Fuпctions to register tl1eir seгvices and then allows other Netwoгk Fш1ctions to discover those seгvices, i. e.
tl1c ge11e1·al patte ш is Ne twoгk Functioп Service Regist1·ation followed by . Netwoгk Ft1nction Seгvice Discovery. These general
p l'O c ed шes ai·e i llt1 st гa ted in Figшe 20

NF Service Consumer NRF NF Service Consumer NRF

Network Function Register Request Network Function Discovery Request

Network Function Discovery Response

Network Function Register Response

Registration Procedure Service Discovery Procedure

Fig11re 20 - Nehvor·k Function Servi ce Regist,·ation апd Discove,·y pr·ocedures

* Netii,oгk F ш1 ctio11 s аге expected to complete tl1e Service Registгation ргосеdше wheп they fiгst become active iп the пetwork. Netwo гk
F нп ctioп s pl'Ovide а list ofthe iг seгvices iп additi on to tl1e iг Netwoгk F uпction type апd contact details, i. e. an IP add1·ess or Fully
Qt1al1fi ecl Dom a iп Name (FQDN)

Nc t ivo гk Ft111ctio11s attempt i п g the Seгv i ce Di scoveгy ргосеdш·е pt·ovide the NRF witl1 the п а те of tl1e se1·vice be iпg sot1ght а пd tl1e
tai·gct Net 1voгk Ft111ctio11 type. The NRF is геsроп s iЫ е fо г at1tl101·ising гeqt1ests . Some Netwoгk Ft111ctio11s may Ь е coпfi gшed st1cl1 tl1at
tlicy сап 011\ у Ье di sco veгec! Ьу otl1 eг Netwoгk Ft111ctio11s be loп g iпg to the same Net\voгk Slice
3G PP Re f'e t·eп ces : TS 23.5 01 , TS 23 ,502

29
5G NR in BULLETS

1.5 BASE STATION ARCHITECTURES

1.5.1 STANDALONE BASE STATION

* А 5G Base Station is known as а gNode В (next ' generation' Node В). This is in contrast to а 4G Base Station which is known as an
eNode В ('evolved' Node В), and а 3G base station which is known as а Node В
·,

* Figure 21 illustrates two Standalone (SA) Base Station architectures. These are known as 'option 2' and 'option 5 '. This naming
originates from the 3GPP study of 5G radio access technologies documented within 3GPP Technical Report 38.801. Both architectures
have Base Stations which connect to the 5G Core Network

Option2 Option5
---- -- --- --- - ------- ------ ---- ------- - ---- ------------- ------- ------------, ------- ------- - --- ----------- -- ------- -- --------- --- ------------------ ----,
5G Core Network 5G Core Network
AMF ИРF AMF UPF

·- ---- --------------- ----- - ------ -------------- ·-- ----------------- -- ---- - --------------------

,- ------------------ ------ --- --- -

gNode В
'
New Radio (5~ ) E-UTRA (4G) ~
Air-interface ,,/,/"'" gNode В Air-interface ,,/,/"'" ng - eNod e В
and Protocols ' / and Protocols ' /

• 5G Radio Access Network

Figш· e 21 -
'
• 5G Radio Access Network
'-------------- ------- --------- - --- --- - -- ------- -------------- -------- -----

Standalone Base Station A1·chitectures

* The 'option 2' architecture is based нроn а gNode В connected to the 5G Соге Network. The gNode В uses the New Radio (NR) aiг­
inteгface and signalling protocols towaгds the end-useг device. The gNode В connects to an Access and Mobility Management
Function (АМF) for control plane signalling with the 5G Соге Network. The gNode В connects to а User Plane Fuпction (UPF) fог tl1e
transfeг of applicatioп data. The gNode В аге inteг-connected нsing the Xn inteгface

* The gNode В сап Ье connected to one or more АМF . The gNode В selects an initial AMF for each UE. Connectivity towai·ds the АМF
is based upon the Next Generation - Control Plane (NG-C) inteгface. This inteгface нses the Next Generation Application Pгotocol
(NGAP) to transfeг sigпalling messages between the gNode В and tl1e АМF. NGAP messages are specified withiп 3GPP TS 38.413
and аге transferred нsing SСТР over IP. The UE and АМF sigпal to one anotheг нsiпg Non-Access Stratum (NAS) sigпalliпg
messages. NGAP is used to transfeг these messages betweeп the gNode В апd АМF. Some specific types of application data сап Ье
transfeпed using NAS signalling messages, e.g. content belongiпg to the Short Message Service (SMS). The NG-C inteгface
corгesponds to the N2 Refeгence Point

* The gNode В сап Ье

connected to опе ог more UPF. The Session M aпagement Fнnctioп (SMF) selects а UPF for each PDU Sessioп.
Conпectivity towaгds tl1e UPF is based нроn the Next Geneгation - Use1· Plane (NG-U) interface. Tl1is iпteгface нses the GPRS
Tнпnelling Pгotocol - Useг Plane (GTP-U) to transfer applicatioп data belongiпg to PDU Sessions. There is а single GTP -U tuпл e l fог
each PDU Session. l.Jser рlапе packets аге transfeпed нsing GTP-U оvег UDP оvег IP. The NG-U inteгface coпespoпds to the N3
Reference Point
* The 'option 5' aгcl1itect1.1гe is based нроп а next generation eNode В (п g-eNode В) co nпected to th e 5G Соге Net\vork, i.e. an нp g гaded
4G Base Statioп is соппесtеd to the 5G Соге Network. The ng-eNode В н ses tl1e E-UTRA (4G) aiг - iпte1·face and s igпalliп g protocol s
towards the е пd -н sег dev ice. Tl1e п g-eNode В connects to tl1 e 5G Соге Netwoгk н s iп g th e NG-C а пd NG-U iпte гfaces, i. e. tl1 e ng-
eNode В is сараЫе of sнpportiп g 5G соге n etwoгk s i gпa lliп g ргос е dшеs а пd is also сараЫе of tгaпsfeпiпg ap plic a tioп data to апd
fгom а Us e г Plane Fнnction (UPF)

* 3GPP Refeгences: TS 38 .300, TR 38.801

зо
 5G NR in BULLETS

NON-STANDALONE BASE STATION

Noп-Standalone (NSA) Base Statio11s use Multi-RAT Dual Connectivity (MR-DC) to provide нser plane thl'Ot1ghpt1t across both tl1e 4G
* шid 5G a iг- interfac es. This requiгes an eNode В and gNode В to орега t е together. The eNode В and gNode В сап Ье соппесtеd н s ing
; 10 п-idea l backl1at1I, i. e. а realistic t1·aпspol1 coпnectioп. The eNode В апd gNode В have their оwп iпdepeпdeпt packet schedнlers for
all ocatin g !'esoшces to the UE
Legacy 4G UE сап continнe to нsе the eNode В in the normal way, while newer UE with а 4G/5 G capability сап take advantage ofthe
* Mlllti-RAT Dllal Connectivity. Non-Standalone Base Stations сап Ье нsed to provide an evolнtioп path from 4G to 5G. Figшe 22
illt1strates two configшations for Non-Standalone Base Stations ,vhen нsing tl1e 4G Core Network. These configшations сап Ь е
clep loyed pгior to introdнcing the 5G Core Netwoгk
Tlie co nfi gшa tion s shown in Figшe 22 are known as ' optioп 3' and ' option За ' within the coпtex t ofthe ЗGРР RAN a rchitectшe
* 1::va lL1ation process (ЗGРР TR 38.801 ). ln both cases, the 4G eNode В provides contюl plane connectivity to,vards tl1e Core Network
а п d acts as th e Master Node (МN) . The 5G gNode В has control plane connectivity across the Х2 inteгface and acts as the Secondary
Nocle (SN ). These confi gшation s гeqнire the gNode В to suppo1i the Х2 inteгface га thег than tl1e Xn interface

Option З lias th e drawback of tllnnelling all u seг рl а п е data througl1 the legacy eNode В . It is likely that tl1e eNode В hardware has been
* dim e н s ion ed to st1ppo1i tl1e aiг-interface throнghpнt s offeгed Ьу 4G. The h a гdwa1·e may not Ь е сараЫе ofsupporting the higheг
tliroн ghpнt s offered Ьу 5G. The PDCP layer witl1in the eNode В (Master Node) dynamically splits the downlink data between the
eNode В а пd gNode В. The data allocated to the gNode В is forwaгd e d across tl1e Х2 inteгface

Opti o11 За гesolves the di-awback associated with option 3 Ь у pl'Oviding user plane connecti\'ity between the S-GW and gNode В . The
* e Nocle В remains the Maste1· Node and is аЫе to control the selection ofthe downliпk data path fl'Om the S-GW, i.e. the eNode В сап
pгov id e tl1e ММЕ witl1 tl1e IP address ofthe gNode В fог some EPS Веа~·ещ wl1ile it са п pl'Ovide the ММ Е with its оwп IP address fог
otl1 e1· EPS Вег. rегs (the ММЕ fo1ward s the destination IP add1·ess to th e S-GW, so th e S-GW сап fo1ward downlink data towa1·ds the
аррюргiаtе Base S tat ioп). Fог example, an EPS Веагег tгa n sfe пing speech may Ь е di1·ected towa гd s tl1e eNode В, wh eгeas а п EPS
В с ш·е г tra п sfe 1тin g data may Ье directed towai·d s the gNode В

* Op ti on За lias th e dгawback of not supporting the tгansfer of application data across the Х2 inte гface. The coveгage pl'Ov ided Ьу the
gNod e В may Ье smalle1· tl1an the cove гage pl'Ovided Ьу the eNode В (the gNode В may Ь е н s in g а l1ighe1· ope1·ating band ,vith hi gher
ai 1·-i11te1·fac e a tte 1шatio11) . А UE may move онt of the cove1·age of the gNode В mak i11 g it песеssагу to switcl1 all data tгa 11 sfer to tl1e
cNocle В . T l1i s са 11 Ье dопе н s i11 g а Path Switcl1 ргосеdше iпitiated Ьу th e eNode В (tl1e eNode В i11st11.1cts tl1e ММЕ to гeq н est th e S-
GW to switcl1 its do wп l i 11 k data patl1 fгom tl1e gNode В IP a ddгess to th e eNode В IP ad dгess). Howe veг, tl1 e Path S,vitch ргос еdше is
,·clati ve ly slo,v а пd is поt а dy11a111ic s o lut ioп

Option3 Option 3o
, - - -- - --- - - -- - -- -- ------- -------- -------- - - - - -- - --- - - --- - --- ---------- -- ------- - -- -- -- -,
4G Core Network 4G Core Network
ММЕ 5-GW ММЕ 5-GW

; . . ---- -- ------ --- - ------ -- -- - --- -

eNode В
Master Node
ir- ~~~, gNode В
Secondary Node :
eNode в
M aster Node
gNode В
Secondary Node
M aster Cell Group
X2 -U
Secondary Cell Group ! Master Cell Group Seco ndary Cell Group

~:~:;,-. л~
Х2- С

---~
--·--,;;-л
·c-
f" ":=~ о,~,
E-UTRA (4 New Radio (SG)
Air-inte1ia
ao d e,o<o,ols • 11' i!, e,oм,ols
- ~ r-i nterface
aodern<oco ls i ~de,o<oco ls

--- ---- ------- -- -- -- - -- -- --- -- -- - ------- --- ----- ------- - - - - - --- ---- - -- - -- - - -- --- -- ' -- - ---- -- -- - --- -- - -- ·- ·- ------- ---- -- -- ------ -- -- - - - -- -- - - - --- ----- - -- - - -- - -- - - --- --- ''
•-

Fi g ш·e 22 - No 11-Stan<lalo11e Base Statio11 A гchitectures usi11g the 4G Со ,· е Nehvor·k (Optio11s 3 ащl З а )

~ t_l1i1·d No п-Staпda \ oп e Base Sta ti oп aгcl1 itec tшe has Ьееп deve loped to ove1·co111e the dгa,vb acks associated \Vitl1 Optioп s 3 апd За .
l li, s ai·c hitec tшe is illн s trated in Fi gшe 23 апd is k110\V11 as 'Optioп Зх '. 111 tl1i s case, th e u seг р l а пе paths а ге fu ll 111es l1ed betweeп the
eNocle В , gNode В апd S-GW . T l1e eNode В гema i п s th e M asteг Node апd is аЫ е to coпtrol tl1 e se l ectioп o ft\1 e do\vп li пk data patl1
fгo m th e S-GW, i.e. tl1 e eNode В сап pl'O\'ide the ММЕ \Vitl1 th e IP addгess ofthe gNode В fo1· some EP S B eaгers, ,vl1i le it сап provide
tli e М МЕ ,vitl1 its own IP addгess fог other EPS Веагегs. 1f cove1·age fl'0111 the gNode В beco111es weak tl1 e11 tl1e gNode В сап
cl yпarni call y fo1,vaгd data acгoss the Х2 iпteгface towaгds the eNode В

- 31
5G NR in BULLETS

OptionЗx
г--- -- ------------ -- - - - -- - -- -- -- 1

: 4G Core Network :
: ММЕ 5-GW :
:' :'
' '
'' '
'' ____ __ _
:___ ''
____ ___ ______ __ _____ __ ___ ___ _____ :'

'

gNode В
: Master Node Secondary Node
i Master Cell Group x2-U Secondary Cell Group

' ~~:.:J:~ '1/::.

~
aod P,o<ocols
::~:",tG) • ~:d p,o<ocols

'
1____ ____ __ __ _ ___ _ ____ _ _ ____ ___ _ _ __ ____ _ _ _ _ __ _ _ _ __ ___ _ __ __ _ __ _ _ ___ _ __ _ ___ __ ___ __ ____ __ •
'

Figш·e 23 - Non-Staщlalone Base Statio11 A1·cl1itectш·e ,vitl1 4G Core Netlvork (Option Зх)

* The deployment options illustrated in Figнre 22 and Fig1.1гe 23 аге kлown ;is E-UTRA - New Radio Dн a l Connectivity (EN-DC),
where E-UTRA геfе гs to the 40 air-ihte1·face and New Radio гefers to the 50 aiг-interface. This naming convention oгders tl1e air-
interface technologies according to Master Node followed Ьу Secondary Node, i.e. E-UTRA is the Maste1· Node so is named fiгst
* UE which s1.1pport EN-DC ai·e гequiгed to Ь е сараЫе ofгeceiving downlink data simultaneoнsly acгoss the 40 and 50 ai1·-interfaces.
The гel ease 15 version ofthe 30РР specifications defin es EN-DC band combinations which incl1.1de up to 5 diffeгent opeгating bands
(cнrrent EN-DC band combinations al\vays incl1.1de I х 50 band Ьнt сап include нр to 4 х 40 bands). The band comЬiпations са п
include а mi x ofFDD and TDD ope1·ati11g bands. Band combinations are desc1·ibed in section 1.1 9.3.
* In genera l, UE wl1icl1 s uppoгt EN-DC а ге reqнiгed to Ь е са раЫ е oftгansm ittin g upliпk data simultaneot1sly ac1·oss tl1e 40 and 50 ai1·-
i11teгfaces . 30РР allows some exceptions dt1e to poteпtial isst1es with inte1·-modt1lation prodt1cts. А UE with 2 t1·a11smitteгs сап ge11e1·ate
i11te 1·- modнlation prodнcts wl1icl1 fa ll ,vitl1in tl1e UE' s гec e i ve ba11d\vidtl1, i.e. tl1e UE сап d ese пsiti se itselfby gene,·ating inte гfeгenc e
(i 11t eг- modt1l a tio11 pгoducts) withiп its оwп do\v11li11k гес е i vег

* F i gшe24 illt1strates an example wl1en t1si11g operat iпg Ьапd I fог 40 апd op eгating band 77 fo1· 50. 2'"1о гd ег i11te1·-111odt1 latio11 pгodнc ts
агеgene1·ated acco гdin g to (f2 - f1). This leads to inte 1·- modнlation pгodнcts within the 1·a11ge 1320 to 2280 MHz, i.e. acгoss tl1e
downlink of opeгating band 1. The inter-modt1lation pl'Oducts will not always coincide \Vith the downlink of opeгating Ь а пd I but will
depeпd t1pon the specific allocations within each band. Fог example, if а UE is allocated а 20 MHz 40 channel {1920 to 1940 MHz}
and а 50 MHz 5G channel {3300 to 3350 MHz}, then the 211 d огdег iпte r-mod ul a tion pl'Odнct s will fall within tl1e 1·ange 1360 to 1430
MHz. In this case, the UE will not desensitise itself

4G Band 1 (FDD) SG Band 77 (TDD)

1920 to 1980 MHz ,--Л--..., 2110 to 2170 MHz

Uplink Downlink
3300 to 4200 MH z
Uplin k/Downlin k

3300-1980= - - -- - - ,- -- - - --4200- 1920=

1320 MHz 2280 MHz
2nd Ord er lnter-Modulation Products

Figure 24 - Ехашрlе of 2"• 01·d e1· Jnte,·-Modulation Pr·oducts d ese11sitisi11 g UE гeceive r·

* 3GPP TS 38.1 О 1-3 specifies whicl1 band comЬi nati o n s allo\v single upliп k tгansmissio11 . Tl1e UE vепdог сап decide wl1etheг or· not to
s нррогt mнltiple s imt1lta 11eoн s t1pli11k transmission fог these band co 111Ьi11ati ons . Iп some cases, tl1e deseпsitisation may Ь е toleraЫe and
tl1e UE vепdог may decide to s нррогt mнltipl e t1pli11k tra11smissio11. 3GPP TS 38.306 specifies the ' s i11gleUL -T1ш1s 111issio 11'
i11formatio11 e lem eпt wl1ich allo\vs the UE to signal its capaЬility fo1· specific opeгatiп g Ьапd comЬiпations
* Tl1e eNode В is the Ma s te г Node so tl1e m ajoгity ofRRC sig11alli11g pl'O ce dшes t eг111 i11 a te at tl1e eNode В 1·a tl1 e г tl1an tl1e gNode В.
S i gna lliп g
Rad io Веагег О (SRBO), SRB I а пd SRB2 tе гш iп аtе at tl1e eNode В. This mea11s t lш t tl1e 40 RRC sig11alli11g pгo toco l
specified in 30РР TS 36.33 1 is app li c aЫ e . SRВ I апd SRВ2 сап Ь е c oпfi g шe d as 'split' SRB . Tl1i s all o\vs RRC messages to Ь е
t гaпsmitted а пd гece i ved Ьу botl1 tl1e eNocle В а пd gNode В

* SRВ3 са п Ье setн p at tl1e 1·eq н e st ofthe 50 S e co пd aiy Node. SRB3 teгmiпat e s at tl1e Seco пd ary Node (gNode В) апd so tl1e 50 RRC
sig11alli11g pl'Otocol specified iп 30РР TS 38. 33 1 is app li caЫe . SRВ3 is н sed fог sig11alli11g ргосеdшеs whi ch ai·e time seпs iti ve \Vitl1
гespect to tl1e gNode В, e.g. moЬility pl'Ocedш-es . SRВ3 s нppoгts а limited пumЬег of sig11alli11g messages, i. e. RR C Reco11jig111·atio11 ,
RRC Reco11fig111·atio11 Complete а пd Meas111·e111e111 Repo1·1 messages. Sec tioп l . l 2 descгibes tl1e set of SRВ iп g геа tег detail

32
 5G NR in BULLETS

. е 25 jl\ustгates the 3 types oft1s eг plane bearer which сап Ье st1pported Ьу an EN-DC Base Station. These are Master Се!! Gгot1p
F1g11r .
* (MCG) Bearer, Secondaгy Cell Grot1p (S CG) Веа гег апd Sp!Jt В еа геr
Ап MCG Веаге1· uses the RLC, МАС aпd _Ph ys ical lауе г ~ withiп the Masteг Node, i.e. it t1 ses _the _4G implementatio11 ofthese layeгs
. 1 tlie 4G air-interface. The PDCP lауег 1s located ,v1thrn th e Masteг Node 1f the S I сопnесtюп 1s bet\veeп tl1e S-GW а пd th e eNode
~ 1\i,is ,·epгesents а special case becat1se the PDCP layer сап Ье configшed to operate in eitheг а 4G 01· 5G mode. Some services may
benefit fтom t1sing the 4G mode wh1le other serv1ces may beпefit from t1sing the 5G mode

0 tlie 4G ve1·sion oftl1e PDCP laye!' (3GPP TS 36.323) st1pports а minimшn Seqt1ence Nt1mber (SN) length of7 bits. The 5G version
ofthe PDCP laye1· (3GPP TS 38 .323) st1pports а miпimum Seqt1ence Number leпgth of 12 bits. The seqt1ence nt1mber is inclt1ded
within th e PDCP l1eadeг informatioп

0 the speech service сап benefit from the shorter Seqt1eпce Number length Ьесанsе it helps to minimise the overhead generated Ьу
th e РОСР layer. Tht1s, t1ser plane beareгs transferring speech content may Ье allocated an MCG Ьеагеr t1sing the 4G PDCP lауег.
TI1ese bearers wot1ld then Ье kept оп the 4G netwшk and t1 se only the 4G air-iпterface

0 tlle data service typically t1ses larger packets so the perceпtage overhead generated Ьу the PDCP layer is smalleг. This means tl1at
t aгger Sequ e пce Numbeг sizes са п Ь е used without having а significant impact. In addition, it is necessary to allocate an increased
nL1mbeг ot' Ьits to tl1e Sequence Numb e г wh e п usiп g high throughpt1t applications. This pгovides а la1·ger set ofSeqt1ence NLJmbers
ю1d l1elps to avo id issL1es associated with Sequence Nt1mb e г a mЬi g 11ity

0 t1 seг plane beaгers transfeгring data content may Ье allocated an MCG Ье агеr t1sin g the 5G PDCP lауег . This cot1ld Ье applicaЫe
to ап e n d -u seг located ot1tside of 5G coverage, i.e. the MCG Ьеа геr uses only the 4G ai1·-inteгface. Ifthe end-useг st1bseqt1ently
moves i пto 5G coverage then th e MCG bearer t1 sing the 5G РО СР layer сап the11 Ье switched to а Split bearer withot1t having to
,·eco пfigшe th e PDCP l ауе г

* А SCG Bea1·er t1ses th e RLC, МА С and Pl1ysical layers witl1in the Sесопdагу Node, i.e. it uses the 5G impleme ntatioп ofthese layeгs
а пd th e 5G a ir - iпte rface. SCG В еа ге1·s always use the 5G veгsion oftl1e PDCP lауе г iггes p ec tive ofMasteг/Secondary Node

* А Split Веаю uses the RLC, МАС and Physical laye1·s witl1in both the Master апd Sесопdагу Nodes, i.e. both 4G and 5G aiг­
i11te1-faces са п Ье t1 sed. Split Веаге 1·s always t1se the 5G veгsioп of tl1e PDCP l ауег iпes pective of the поdе p1·oviding the S I co 1шec tion
towar·ds tl1 e S-GW. This is knowп as а ' t1nified ' solt1tio11 becat1 se the location ofthe SI connection is tran s p a гent to th e UE anct botl1
Split Веаге 1·s арреаг to Ье tl1 e same fюm tl1 e perspective ofthe UE

M CG SCG Split Split MCG SCG

Bea rer Bea rer Bea rer Be~rer

l t J[ J J
,._,_
[ 4G/5G PDCP 1 [ SG PDCP SG PDCP [ SG~ CP ~ DCP ] l sG ~осР ]
~ 1.................. ~
1

i. . . . . . у.......~ .................! 1
1 ............... ... . ........ . ................ 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

j ,
,--~--~ +
'

4G RLC 4G RLC 4G RLC 4G RLC SG RLC SG RLC. SG RLC SG RLC

4G МАС 4G МАС 4GMAC 4GMAC SGMAC SGMAC SGMAC SG МАС

4G РНУ 4G РНУ 4G РНУ 4G РНУ SG РНУ SG РНУ SG РНУ SG РНУ

eNode В gNode В
Master Node Secondary Nod e

Figш·e 25 - Masteг Cell G1·011p (MCG), Se coпdary Cell Gro11p (SCG) апd Split Bearers fo1· EN-DC configш· atioпs

* Tl1e Masteг Cell Gгoup (MCG) is tl1e gгot1p of s e гving cells belonging to the Master Node, i.e. the Masteг Node са п t1se Сапiег
Agg1·egation in comЬiпation with Mt1lti-RAT Dt1al Connectivity (MR-DC). Similarly, the Sесопdагу Cell Gгot1p (SCG) is the grot1p of
seгvi п g cells b e longiп g to the Seco nd a гy Node. The t1se of mt1ltipl e se гvin g cells at tl1 e Maste г апd Secoпdary No des will d ep e пd t1pon
tl1e set of st1ppo1'ted Ь а пd comЬinatio11s

F i gшe 26 illt1st1·ates two No11-Sta11dalo11e Base Statioп coпfigшations usin g tl1e 5G Co re Netwo гk . These co пfi g шation s а ге kлown as
* 'o ptio11 4 ' anct ' option 4а' ,vithin the context of the 3GPP RAN aгchitectшe eva lt1atio11 process (3GPP TR 38.801 ). Iп both cases, the
5G gNode В pгovides co ntгol plane co nnecti v ity toward s the Соге Network а пd acts as the Masteг Node (МN). Tl1e Next Ge11eгatio11
eNode В (11g•eNode В) has contюl рl а пе con nectivity acгoss the Xn inte1·face and acts as tl1e Seco пdary Node (SN). T hese
c onfi gшations гe qL1iгe tl1 e ng-eNode В to s t1ppoгt tl1e Хп iпterfac e гatl1e1· tl1an the Х2 iпte г face . In tl1e case of ' option 4 а ' , the п g-eNod e
В also l1as to s t1ppoгt tl1 e NG-U inteгface to\va rds tl1e Use1· Р l а п е Ft1n ctio11 (UP F) . Ne itl1e1· opt i oп геqнiгеs tl1e пg-eNo d e В to coпn ect to
tl1e Access and MoЬility Maпa g em e пt Ft1nctio11 (AMF)

* T l1e depl o ymeпt opt i oп s illt1st1·ated in F i gt1гe 26 ar·e kлown as New Radio - E-UTRA О н а ! C oпn ec ti v i ty (NE-DC ), \Vl1 e гe Ne\v Radio
гe fe 1·s to tl1e 5G a iг- iпte гface а п d E-UTRA геfегs to the 4G aiг- iпte1·fac e

33
5G NR in BULLETS

Option4a
-- ---- ------------- ---- -- --- ---- --- --~~-t!~-~4 --- -- -- ----- ---- ------ ----- ----- -----
5G Core Network
5G Core Network UPF
AMF UPF AMF

-,

Next Generation
eNode В gNode В
~ Next Generation
eNode В :
!
Secondary Node Master Node Secondary Node :
Master Cell Group Secondary Cell Group Master Cell Group econdary Cell Group ;
Xn-U
Хп-С
'

New Radio (SG) \ Хп/:

С
E-UTRA (4G) New Radio (5~
~
/ E-UTRA (4G)
''
Ai,-io<eOace \
aod P,o,0<ols • f"
' ~ ;-i,<eOace
::d P,o<ocols
Air-interfa ce (j)
and Protocols "
Air-interface
and Protocols
'
---
' ---- ---- ------- ------- ---------------------- ------- ------------- --- ------ ------------1
'
Figш·e 26 - Non- Sta ndalo11e Base Station A1·ct1itect111·es using tl1e SG Со,·е Netlvo1·k (Options 4 ашl 4а)

* Figшe 27 illt1strates the З types ofuseг plane Ьеагег which can Ье supported Ьу an NE-DC Base Station. Tl1ese аге similaг to those
sнpported Ьу an EN-DC Base Station bt1t with some important diffe1·ences

о all нsег plane Ьеагегs соппесtеd to the 5G Core Netw01·k t1se the Seгvice Data Ad a ptatioп Pгotocol (SDAP) lауег. This laye1· is
located above the PDCP lауег апd is t1sed to map QoS Flows опtо Data Radio Веагегs (DRВ) . The SDAP layer is поt preseпt
wheп t1 ser рlапе beaгers are соппесtеd to the 4G Соге Network

о all нser рlапе bearer types нsе the 5G veгs ioп of the PDCP laye1·. This is iп coпtra st to the EN-DC coпfigшatioпs which а1·е а Ые to
t1se either the 4G or 5G version of the PDCP laye1· for MCG Beai·ers hosted Ьу tl1 e M aste1· Node. Usi п g the 5G PDCP layer fo1· all
нs е г plane beai·eгs simp lifies the aгchitectшe апd the UE impl e meпta tioп

M CG SCG Split Split MCG SCG

Веагег Веаге г В еа гег Веагег Веагег Веагег

l --l l -
~ -_-- i

1----SG-~D-C_P_j-г·-,---~-:-_~-~-~-P-j-,- SG !ОСР
~
SDAP
SG PDCP
SG ,D:~----------~~ ~~~ ~------- -- -- ------ - - -- -- - --- -- ------ - - - ------ -- - 1 1

- - -~··- ~
'
,---- г-- ~
~ 1
-·=====-4-- ..-::::~i~.- --~~~-~
-_ -_
1 • '
+
SG SG RLC SG RLC SG RLC 4G RLC 4G RLC 4G RLC 4G RLC
>------1
SGMAC SGMAC SGMAC SGMAC 4GMAC 4GMAC 4GMAC 4GMAC
SG РНУ SG РНУ SG РНУ SG РНУ 4G РНУ 4G РНУ 4G РНУ 4G РНУ

gNode В
=-========--== eNode В
Master Node Seconda ry Node

Figш·e 27 - Maste1· Cell G1·011p (MCG), Seco nd aгy Cell G1·0 11p (SCG) апd Split Веаге1·s fo1· NE-DC

* F i gшe 28 illt1 stгates two fшthe r coпfigшat i ons fог Noп -S tand a lon e Base Statioпs н s iп g tl1e 5G Соге Netwo1'k. Tl1ese configшatioпs ai·e
known as 'o ptioп 7' а пd 'o ption 7а'. Iп botl1 cases, th e Next Geпeгatio11 eNode В (11g-eNode В) pгovid es со пtго l pl a11e connectivi ty
towa1·ds tl1e Соге Netw01·k a11d acts as the Masteг No de (МN). The gNode В has со пtгоl рl а п е coпnectiv it y acгoss th e Х п iпte г face a11d
acts as tl1 e Seco11daгy Node (SN). These co 11fi gшa tio11 s 1·e qt1iгe th e 11g-eNode В to s ttppoгt tl1e NG-C, NG-U a11d Х 11 i11te1·face s

* The deployment optioп s illн s tгated iп F i g шe 28 ai·e a пotl1 e 1· v a 1· iaпt of E- UTRA - Ne\v Radio Dнal Co1111ectivity (EN- DC), wl1 e гe E-
UTRA ге fе гs to th e 4G ai1·- i11t eгface а пd Ne\v Radio гefe1·s to tl1 e 5G a iг- iпt e гface . Tl1 ey а ге similat· to options З а пd З а Ьнt the 4G Со1·е
Net\voгk is c l1 aпge d to th e 5G Соге Netwoгk а пd tl1 e Х2 iпt e гface s become Хп i11 teг face s

34
 5G NR in BULLETS

Option 7 Option la

·5G core Network AMF ИРF

SG Core Network
AMF UPF

Next Generation
eNode В
Ma ster Node
мa s te r Cell Group
~1-
Xn-U l
~
r ' ' gNode В
Secondary Node
Secondary Cell Group
Next Generati: = ir =
eNode В
Master Node
Master Cell Group
gNode В
Secondary Node
ondary Cell Group

д;,.;о,е,1,;\
Xn/
C :
E-UTRA (4G New Radio (SG) E-UTRA (4~ / New Radio (SG)

aod p,o1,cols • ~
. ~ '-'"'"'"'
::d Pcooocols
Air-interfa~l. ' \
and Protocols •
Air-interface
and Protocols

·--- ----- ---------------- -------------· --------- ---------------- --------------------•'' •----

'' - - - -- ---- --- - --- - ----- - -- -- ----- - ------ ------ - -- - - -- -- --- - - --- --- - --- ----- -- - - --
'
Figure 28 - Non- Standalone Base Station Architectш·es using the SG Core Nenvork (Options 7 апd 7а)

• З GРР Rc fe гenc e s: TR 38.801, TS 37.340

1.5.3 CU-DU SPLIT BASE STATION

• Tl1 e C e n t гa li sed U пit (CU) - Dist1·ibuted U nit (DU ) Split Base S tatioп a гc hitec tшe a llows tl1 e gNode В to Ь е deployed u s iп g t\vo
pl1 ysica ll y sepaгated uпit s . T hese two uпits аге с опп е сtе d н si п g а п o pen iпt e гface s t a пdardi s e d Ьу 3GPP, i.e . it s lюuld Ь е po ss iЫ e to use
а CU pгov i ded Ь у о п е net\vo1·k vе пdог and а set of DU pгo v id ed Ь у a notl1 e г netwoгk vendo,·

* Tl1e CU p1·ovides s нp p o rt fог tl1e hi gl1er layers o f tl1 e pгotocol stack. Тh е ге is а siп g l e CU fo1· each gNode В . The Cent1·alised U пits
b e lon g iп g to multiple gNode В сап Ье implemented L1sing а shared l1aгdwaгe platfoпn. Cloнd computiп g and Netwo1·k Functioп
Viгtu a li s atioп (NFV) сап pгovid e benefits \vheп deployiп g the populatioп of CU

* Tl1e DU pгovides Sllppoгt for the loweг layeгs ofthe protocol stack. There сап Ье mllltiple DU connected to each CU. Fo1· example,
tl1 eгe could Ь е more than 100 DU connected to а specific CU. The DU includes both baseband processing апd RF fiшctions

* The ge п e ra l stп1cture ofa CU/DU Split base station archite ctшe is illustrated in Fi gш·e 29. The CU st1pports the SDAP , RRC апd
PDCP pгotocol stack layers, wheгeas the DU supports tl1e RLC , МАС and Physical layeгs. The SDAP layer \Vill not Ье ргеsепt ifthe
CU is coпnected to а 4G Core Network

* Eacl1 DU is аЫе to sl!ppoгt one 01· тоге cells, while each cell is аЫе to suppoгt one ог тоге beams. Tl1is leads to а гange ofmobility
s c e 11aгio s, i.e. UE moЬility сап Ье intгa-gNode В , intra-DU, intгa-cell, inteг-beam , ог iпtra-gNode В , intгa-DU , inteг-cell, ог intгa ­
gNode В , inte1·-DU, or inter-gNode В

* Tl1e PDCP lауег is аЫе to provide data гecovery for inteг-DU handoveгs, i.e. the PDCP lауег Sllppoгts гe-tгa11smissio11s fог specific
scena,·ios. This is necessaгy to achieve lossless l1andoveгs ,vhen the sошсе DU has buffered packets ,vhich аге lost ,vh e п the sошсе DU
is гe leased as part oftl1e handoveг ргосеdше . Тhеге is по interface between DU fo,· data foгwaгding

* Tl1e Dist1·ibuted Uпit is геsропsiЫе for allocatin g the C-RNTI to а UE dшiпg the Raпdom Access ргосеdше. Tl1is гesults from the
Rando111 Access procedшe being managed Ьу the МАС lауег, and the МАС lауег being located witl1i11 the Di stгibllted Unit. Tl1e
Di stributed Unit foгwaгds the allocated C-RNТI to the Centгalised Unit afteг гecei v ing MSG3 , i.e. botl1 the allocated C-RNТI and
MSG3 аге foгwaгded togethe1·. This is done L1sin g the Iпiti a l UL RRC M essage Tгansfeг ргосеdше illu stгated iп Fi gшe 30. If а UE is
co mpl et ing tl1e RRC Сопп есtiоп Setup рго се dше to make tl1 e tгaп s itioп from RRC Idle mod e to RRC С опл ес tе d mode th e п M SGЗ
\1,ill Ье tl1e RRC Setup Re{Juesl message

* Tl1e D i st,·i bн ted Uпit also allocates tl1 e C-RNТI dшiпg an i пco miп g Напd оvег procedшe. Iп tl1i s case, tl1 e D i stгibнted Uпit a ll ocates tl1e
C- RNТI dшiп g th e На пdоvег Pгep a1·ati o 11 phase. T l1 e Ce пt1·a li sed U пi t гecei ves tl1 e iпcomiпg Напdоvег Reqllest апd sl!bseqнeпtl y
iпi ti ates tl1e UE Coпtex t Setнp ReqL1est ргосеdше w ith th e Di stгibuted Uпit. The Di stгibuted Uпit in c lнd es tl1e C-RNTJ w ithiп tl1e UE
Context Setup Response message. This р госеdше is also illн strated iп F igшe 30

35
5G NR in BULLETS

t NG-C& NG-U
: gNod~ В ,-_________________ --~----~ ~ ______________________________ j __ _______________ _______________ -~-----~~----~~-- -~ ~~~-~~~~--~~--~ ~;---

Centra/ised ~ - - - - - -- s_o_A_P_ _ _ __ _ _
1
~I l~____ ___ _ я,я_с_ ______ ~ : Хп
Unit
РОСР

Fl "
lnterface
FlAP◊
◊
о о о Tunne/s
GTP-U FlAP◊
V о о о Tunne/s
GTP-U

,-------- - -------------------- ,- --------- - -------- 1

FlAP~
.----------
ооо : ~~~ 1
5

RLC RLC i I RLC 1 :

Distributed
Units
МАС МАС 1 МАС I f

РНУ РНУ 1 РНУ 1 !

·--- -------- ----- ---- -------- - '
·--- --- --------- ----- ---------- -- ---------- -- ---- ---- ------------------- ---- -------- ---- --- ----- --- ------- --------- --- ----------- -- -- ---- -------- -----''

Cells
ООО ООО ООО
Beams
[OJ[OJ[OJ [OJ [OJ [OJ [OJ [OJ [OJ
Fig11re 29 - CentJ·alised Unit (CU) / Distrib11ted Unit (DU) Split Base Station A1·chitect11re

gNB-DU gNB-CU gNB-DU gNB-CU

lnitial UL RRC M essage Transfer U Е Co ntext Setup Requ est

►

UE Co ntext Setup Res ponse

includ es allocated C-RNTI ►

includes allocated C-RNTI

Fig11re 30- DU Allocation ofthe C-RNТI dш· ing the Initial UL RRC Message Transfer апd UE Context Setпp proced11res

* The Fl interface connects the CU to each DU. Both contгol рlапе signalling and нsег plane data аге transfeпed a cгoss the Fl iпterfac e .
Control рlапе signalling is based нроn the Fl Application Pгotocol (FIAP) specified within 3GPP TS 38.473. FIAP нses SСТР оvег 1Р
and supports Inteгface Management, UE Context Management and RRC Message Tгansfeг pгocedures
о examples oflпterface Management p1·ocedures inclнde the Fl Setllp, gNВ-DU Configuration Update and gNВ-CU Configuгation
Update procedшes . А DU initiates the Fl Setllp procedure Ьу sending an FIAP: Fl Setup Request message to the CU
о examples ofUE Context Management procedшes include the UE Coпtext Setllp, UE Context Modificatioп and UE Context
Release pгocedures. The UE Context Setllp pгocedure is always initiated Ьу the CU, wheгeas the Modification and Release
procedшes сап Ье initiated Ьу eitheг the CU or DU

о examples ofRRC Message Transfer ргосеdшеs include the Initial UL RRC Message Tгansfer, DL RRC Message Tгansfer and UL
RRC Message Tгansfer procedшes . These pгocedures are нsed to tгansfe1· RRC messages in the foгm of PDCP PDU between tl1e
CU and DU
* Useг plane data is tr·ansfeпed acгos s the Fl inte гface using GTP-U оv е г UDP over IP. А GTP-U tнnne l is seh1p acгoss the Fl interface
fш each Data Radio Веагег (DRВ). Each hшnel is identified нsin g the combination of {sошсе Tнnnel Eпdpoint Id entifieг (ТЕШ),
destiпation TEID, sошс е 1Р addгe ss , des tination 1Р add1·ess}

* The NR Use г Plane Pгoto c ol specifie d ,vithiп 3GPP TS 38.425 is н sed to с опtгоl th e t га п s fе г of do,vnliпk н sе г plane data towa гd s the
DU . Fi gнгe 31 illн s tra tes PDU Ту р е О ,vhich is sent f'Io m tl1 e CU to а DU , and PDU Тур е 1,vhic\1 is se пt fгom а DU to tl1e CU
* The CU нs es PDU Тур е О to add а sеqн е пс е пumЬ е г to еас \1 do,vnli пk data packet. Tl1e DU нs es this sеqн е п се пшnЬ е г to detec t lost
packets. The CU сап also н sе PDU Тур е О to pгovid e v aгioнs di s c a гd iп s tгн c tioп s. If tl1 e DU ге рогt s Radio L iпk oнta ge th e п tl1e CU
may attempt гe- t гa п s mi ss ion fгom tl1e PDCP layer н s iп g а second DU. If tl1e s ec oпd DU ге ро гt s s нc cess ful delivery of the PDCP PDU,
the CU iп s tгнct s the oгi g iп a l DU to di scard tl1 e sн cc e ss fнll y d e li veгe d packets to avoid нппесе ssаrу traп s mi ss i o n

36
 5G NR in BULLETS

Oownlink User Dota (РОИ Туре О} Oownlink Oota Oelivery Status (РОИ Туре 1)

DL Highest Highest
OL Report Finol Lost
РОИ Тур е: О Spore D1scard TxNR Delivered
F/ush Polling РОИ Тур е= 1 1 Frame Pocket
8/ocks РОСР SN NR РОСР
- -- --•

Assist lnd. SN lnd.

lnd. Report
User ReTx
Report lnfo. Highest
Spore Ooto Flog Highest
Delivered Report Ooto Oeliv. Cause
Exist. Srore ReTx NR
Ро/1 Rote ReTx NR Report
1 1 РОСР SN
lnd. 1 РОСР SN
lnd.
NR-U Sequence Number 1 lnd.

DL Oiscard NR РОСР РОИ SN Desired Buffer Size for the Ooto Rodio Веагег

OL Oiscard NитЬ е г of 8/acks Oesired Dota Rate

DL Discard NR РОСР РОИ SN Start (first Ь/осk) Number of Lost NR-U Sequence Number Ranges Reported

[ Oiscarded B/ock Size (first Ыосk)

-
Start of Lost NR-U Sequence NитЬе г Range

End of Lost NR-U Sequence Numb er Range

_ DL r:!scard NR РОСР РОИ SN Start (/ast Ь/осk) High est Successful Oelivered NR PDCP Sequence Number

Oiscarded 8/ock Size (last Ыасk) Highest Transmitted NR PDCP Sequence NитЬег
-- -- -
L DL R~ rt NR Po _
c P_ Po_ u_ s N
_ _ _ __ Cause Value
-
High est Successful Delivered Retx NR PDCP Sequence NитЬ ег

High est Retransmitted NR РОСР Sequence Numb er

--- - -- -

Figш·e 31 - PDU Types О and I belonging to tl1e NR Use1· Plane P1·otocol

* Tl1e DU ti ses PDU Туре I to гeport а пу lost packets апd also to со пtго l the га tе at which do\v11li11k data is se пt Ьу the CU, i.e. it
pr-ovides а meclianism fог flow contгol to avoid the bl1ffeгs withiп tl1 e DU becoming too fl1II. The DU signa ls the seq н e nc e Пlllnb eг of
tl1e hi gl1 cst sн ccess full y deliveгed PDCP PDU, the desired btrffe г level а пd the desiгed data гаtе . The desired data га tе is specilied as the
11t1mb e г ofbytes wl1i ch tl1e DU woн l d like to гeceive \Vitl1i11 а l second time inteгva l. The CU trses these info гm a ti on e lements to
d e te rm iп e the qtrantity of data to for·waгd to\va гd s tl1 e DU

* Tl1 c DU са п also н sе PDU Тур е I to iп d i c a te ' Rad io L iп k Ot1 tage' о г ' Radio Liпk Res trme ' . T his stat11s i11 foгm a tio11 is s i gп a ll ed tr sing
tl1 c 'С ан s с Va lн e ' fi eld. Tl1e CU stops foг\var·diп g data fo1· tl1 e UE if tl1e DU repoгt s Rad io Link Oнta ge . Tl1e CU с ап start foг\va гdiп g
clata Го г tl1e UE ifthe DU ге рогts Rad io L iп k Resl!ln e
• Tl1c CU/DU split illнstгa te d iп F i gшe 29 is kпоwп as а ' H i gl1 e г L а уе г ' split becaL1se tl1e pгoto c o l stack is divided b e twe e п tl1e PDCP
and RLC Iayers. This s o lнti o п has Ь ее п standai·di sed fог tl1e гelease 15 veгs i o n oftl1e 3GPP spec ifi catio п s . Keep iп g th e RLC and МАС
layer·s w i thiп th e DU pгovides гedtr ced latency fог both RLC and МАС гe-tгaпsmissions, i.e. A нtom a ti c Repeat Reqн est (ARQ) and
Hybrid Aнtomatic Req11est (HARQ) гe -tгansmis s ions
* 3GPP also disctr ssed the possibility of а ' Lower Layer' split and geneгa t ed TR 38.816. А 'Lower Lауег ' split c oн l d div ide the pгo tocol
stack betweeп the МАС and Phys ical layers, or it coнld divide the protoco l stack bel\veen the нррег and lower pai1s of the Pl1ys ical
l ауе г. 3GPP co nclнded поt to progJess the specification of а 'Lower Layer' split Ьнt noted th at oгganisations oнtside of 3GPP may do
so. Fог exa mpl e, the xRAN initiative may provide а so l11tion fог а ' Lower Lауег' split
* Netw01·k eqнipment veпdoгs a lгeady offeг solнtions whicl1 inc!L1de botl1 'Upper Lауег' and 'Lo\ver Lауег' splits. This Ieads to Base
Station aгchitectшes which are divided into 3 fнnctional L1nits. Figшe 32 illL1strates an example based нроn а Lower Layer split which
dist1·ibнtes th e Physical layer acгoss 2 function al нnits . The Lower Laye,· split divides the DU iпto а Radio Access Uпit (RAU) and а
Radio U пi t (RU). The Radio Unit is typically ап Active Аntеппа ,vith baseband pгoc ess in g capability

- - -- --;~;~;z;;;;·;~,,_;:::: : : :c; ,~;~j'~; ~i;· :: : : J

,--------------------------------------- ! Radio Access Unit Radio Unit !
1nter асе Fl 1nter асе ' :

~~ ~
Backhau/ Midhaul RLC Fro nthau/ Ll (2)
1 1

р р МАС eCPR I
iX X XX !
Ll(l) !X_XX_Xi
! Centrali sed Uni t - --

Core : Di stributed Unit

Network Base Station '------- -- ---------- ----- -------- ---- --------------------------'

Figure 32 - Base Statio11 ai-cl1itecture using botl1 Upper Layer· and Lo,ve1· Layer· splits

37
5G NR in BULLETS

. . f F. . 32 t1 e transport netw01·k which connects the Base Station to the Core Network is known as the Backhaul
* W1tl11n tl1 e coпtext о 1gш е , 1 . · h ct· · · '
. .· Ь tw the CU and DU is known as the M1dhaul and the coпnectюn between t е Ra 10 Access Uшt апd Radю
,vt11l e tl1 e соnпесtюп е ее11 . . . .
..1s k110wn as tl1е F.1011 tt1aul . The Fronthau l has more demandшg transport reqшrements ш teгms ofbandw1dth and latency when
U111t
compared to the Midl1aul and Backhaul
тt 1 е Fгonthaнl is not an inteгface standaгdised Ьу 3GPP. Instead, it is typical to use the Common PuЫic Radi~ Interface (CPRI) ог
* h d CPRI (eCPRI) specifications for the Fronthaul. CPRI and eCPRI have been developed Ьу а consoгtшm of compaшes and ~re
еп ап с е . . ct· А
iпteпded to complemeпt the work of3GPP. W1th111 the context ofCPRI апd eCPRI, the Ra 10 ccess шt 1s
U . . kn h R ct·
own as t е а 10
Eqнipmeпt Сопtго l (REC) апd the Radio Uпit is laюwn as the Radio Equipmeпt (RE).

3GPP Refцeпces : TS 38.401, TS 38.470, TS 38.471, TS 38.472, TS 38.473, TS 38.474, TS 38.425

*

1.5-4 CP-UP SEPARATION

•* Sectioп 1.4 described Coпtrol Рlапе (СР) - User Рlап е (UP) sepaгatioп for the 5G Core Netwo1-k. The same principle с а п Ье applied to
the Ceпtra li sed Unit (CU) belongiпg to the Base Station. CP-UP sepaгation allows independent scaling ofthe Base Station ha1·dwaгe.
Fог example, the UP capabi lity сап Ье incгeased to support higheг throughpнts withoнt having to iпсгеаsе the СР capability. CP-UP
sepai·ation also provides benefits in terms of geographic locatioп flexibility. The СР capability may Ье centralised нsiпg а cloud based
platform, wheгeas the UP capability may Ье distribнted to miпimise latency towards the Distribнted Uпit (DU)
* Figuгe 33 illнstrates CP-UP separatioп for the CU. The СР iпcludes the RRC and PDCP protocol stack layers and is гesponsiЫe for
RRC signalling. The UP iпcludes the SDAP апd PDCP layers апd is геsропsiЫе for handling application data. The СР апd UP sections
of the CU аге conпected нsiпg the Е I iпteгfa ce. The Е I iпterface is only tised for сопtгоl рlапе signalling апd does поt t1·a11sfer нsе1·
рlапе data. 3GPP TS 38.463 specifies the Е I Application Pгotocol (El АР) fo1· the pшposes of signalling acгos s tl1e Е I interface

* The UP sectioп ofthe CU is геsропsiЫе fог allocatiпg GTP Ttшnel E пdpoiпt Identifiers (ТЕШ) for tl1e нpliпk ofthe Fl-U interface. It
is also responsiЫe for allocatiпg GTP ТЕШ for the downliлk ofthe NG-U iпteгface. А GTP tнппеl is coпfi gнred fог each Data Radio
Веаrег (DRВ) оп the F 1-U iпterfa ce , апd fш each PDU Sessioп оп the NG-U inteгface

NG-C .~ -~ NG-U

[ г-С-U---СР--~
----'--, ГC~U---U-P-~
---~
Xn-C
~
р
El
Е1АР
signalling
Р
--- Xn-U

F1AP Fl-C Fl-U NR UserP/an e

signalling Protocal &
' GTP-U Tunnels

DU

, gNode В
·- -- --- ------ --- -----········---- -- ----- ---- -- -- -------- --------------------------'

Figш·e 33 - Base Station a1·cl1itectш·c 11 sing Co11t1·ol Рlап е - Use1· Plane Sepai·ation

* А Base Stati o п using CP-UP se paгatioп са п iп c lud e а s iп g l e CU-CP, mнltiple CU -UP а пd 11шltipl e DU. Tl1e iпt e гconn e ctioп of
mнltiple CU-UP а пd DU is illн s tгa ted iп Fi gшe 34. 3GPP specifies tl1at а Base Stati o11 са п in c lнd e mнltipl e CU- CP fo1· tl1e pшvo ses of
гesili e ncy, i.e. а singl e CU-CP is active at а пу point iп time. А specific DU с а п Ь е сопл е сtе d to nшltipl e CU-UP нпd е г tl1e co11tгol of
tl1e same CU-CP. S imilaгl y, а specific CU-UP сап Ь е c onп ec ted to nшltipl e DU und e г tl1 e сопtго l ofthe same CU-CP

* The coпne c tioп ofпшltipl e CU-UP to а s iп gl e DU me aп s that eacl1 се \1 с а п have а choice ofCU-UP. А fi1·st CU-UP coнld Ь е deployed
at а ce пtгali sed \ocati o11 to take adva ntage ofc \oнd tecl1no lo gy. Tl1is CU-UP co нld Ь е н se d fог е МВ В a ppli ca tioп s . А sec oпd CU-UP
coнld Ь е deployed at tl1 e Base S t a tioп lo ca tioп to l1elp miпimi se u se г рl а п е l a teп cy. This CU-UP coнld Ь е н sed fог URLLC
appli catioп s . Tl1e selecti on of а рргоргi а tе CU -UP са п foгm р а гt of а Ne rn,oг k Slicing implementation

* The CP-UP sepai·atio11 a rcl1itectшe са п intгodu ce d1·a\vbacks associated witl1 contгol plane l a te п cy, i.e. tl1e CU-CP will have to signal to
tl1e CU-UP acгo s s а tгa n s poгt netwoгk if tl1e t\vo functioп a l uпits аге pl1ysically sepai·ated. Tl1e CP-UP sepai·ation a 1·chite ctшe сап a lso
iп c rease п e t\voгk complexity dн е to tl1e iпtгoductioп of addition al нпit s and inte1·fa ces

38
 5G NR in BULLETS

NG-U NG-U

gNode В Xn-U
CU-UP

Fl-U, / /
Xn-C ,,,," ,' Xn-U
CU-CP CU-UP

:_,,,, ..
,,, .... -,;,
,' ,, ....
,:,, .... "
DU DU

Fi g ш·e 34 - Cont1·ol Plane - Use1· Plane Separation ,vitl1 nшltiple User Рlане Ce11t1·alised U11its

1.5.5 ANТENNA ARCHITECTURES

* Legacy technologies have predominantly ttsed Base Station a 1·c hitectшes which inclttde а Base Station cabinet connected to one 01·
111 0 1 -е
pass ive nntenna. Feede г саЫеs are ttsed to connect the Base Station caЬinet to the passive anteпna
* А Mast Head Amplifi eг (МНА), also known as а Тоwег Motшted Amplifieг (ТМА) may Ь е connected between the Base Station
ca Ьin e tand the passive antenna. МНА а ге н sed to improve the Signal to Noise Ratio (SNR) of the нplink tгa n s mi ss ion 1·eceived Ьу the
Base Station са Ьiп еt . They achieve this Ьу нsiпg а Low Noise Amplifier to boost the waпted sigпal stгeпgth before it is degгadcd Ьу the
11oise fig t1гes oftl1e feeder са Ы е а пd Base S tatioп , i.e. the п ega tive impacts of the feedeг саЫ е а пd Base Statio11 become гe lativ e ly
small Ь еса н sе the wanted s i gпa l becomes stго п gе г. The b eп e fit of а п МНА is maximised if it has high ga i11 , а lo\v noise figшe а пd is
loc::ited as close as possiЫ e to tl1e passive а пtе пп а
• МНА i111pгove tl1e t1pli11k li11 k bL1dget Ьнt typicall y i11t1·odt1ce а small loss iп tl1e do\vп liп k di1·ectio11. Tl1i s makes tl1em s t1itaЫ e fог
sce11a1·ios 1vl1e1·e coveгage is t1pli11k limited. Wit\1i11 а п ttpliп k liп k bt1dget, МНА аге ofte11 ass нm e d to com p e п sa te fог t\1e losses
geпeгate d Ьу t\1e feedeг са Ы е, e.g. а fe e deг loss of2 dB \Vo t1ld Ь е set to О dB i fa п МНА is coпfigшed. А 111оге p1·ecise ca lct1latio11 сап
Ьс co111pleted н s iп g F1·iis' пoi se fi gшe e qнatioп. The 1·eqt1iгe 111e 11t fо г an МНА са п Ь е avo ided ifthe base s tatioп cab iп et, ог tl1e RF paгts
of tl1e base statio п cab i пet а ге positioned physically close to tl1e passive аntе пп а. This 1·ed н ces the 1·еqнiге111епt fог fe edeг саЫ е and so
l1elps to гemove its п ega ti ve impact. Rе пюtе Radio Heads (RRН) аге а п example of po s itioпiп g tl1e RF parts of tl1e Base S t a tioп
physically close to the passive аntеппа
* Witl1i11 tl1e co11tex t of 5G, it is assшned that tl1is legacy Base Statioп a 1·chitectшe may Ье t1sed .fог opeгatiпg baпds be l o пg iпg to
Fгeq н e n cy Ra11ge 1 (450 MHz to 6 GHz). 3GPP TS 38. 104 specifi es Base S ta tioп Тур е 1- С, illн s tгat ed iп Figшe 35 to cate1· fог tl1is
ar·cl1itectшe. Tl1e ' 1' гefe 1·s to Fгeqtteпcy Raпge 1, wheгeas tl1e 'С' гefe 1·s to 'co пdн c te d ' гe qнi1·e 111e nt s. Co11dt1cted гeqнiгe m e пt s ai·e
tlю se which са п Ь е measшed Ьу соппесtiпg а ргоЬ е to the Base Statioп са Ьiп е t ог а пtепn а SL1bsystem. Examples iпclt1d e Base Statio11
о нtрнt powe1·, Adj ace11t Chaпnel Leakage Ratio (ACLR), ttn\va пte d emi ss ioп s, spшioнs e mi ss ioп s, 1·ece iv eг se п s itivity, Adjaceпt
Cl1a11nel Selectivity (ACS) and 1·eceiveг Ыockin g. Figнre 35 illн s tгa tes tl1at these 'co ndнcted ' 1·eq нiгem e nt s сап Ье mea s шed at e itheг
Port А о г Рогt В dependiпg нроn whetheг ог поt the aпtenna s нb sys tem inclнdes апу ex teгnal haгd\vare, e.g. an МНА

['':~;i,:;~
г-- --------- ------------- ----- ------ ------------------------------- --- - -- - - --------- ---- ------------------------ - -- ---- ---------------

Optional Ext e rnal Hardwa re, e.g. Ma st Head Amplifier {МНА) Base Station Тур е 1- С

'
' □~ r:ase St atio n~ ' Low No1 se ~ ~ ' -: Filter
~:;:::~:;~i -~: ~
'""""°'
'' : Ampl1f1er : : : '
' Antenna : : : : :
Con necto r : - --- --- --- -- - --' -- ------ - ·-· · ··' :
'' ~·----- ----···- --- -·-· ··-·······-·· ··· · ····-- ·········· · ···· · ·· ·····' Port В
'
----------------- ----- --- -------------------- -- -------------- ---- ------------- ------------ ---------- ------ -----------------------------1''
Figure 35 - Base Station a 1·cl1itectш· e Тур е 1-С

* Tl1e intгodttct ioп ofact ive anteппas lias cl1a11ged tl1e a гcl1itectшe ofboth the Base Station апсl tl1e ап tеп n а. Active aпte nn as move the
transceiveгs fгom tl1e Base Sta ti oп into the а пtепп а. Figшe 36 illt1st1·ates tl1e ge11e1·al a гcl1itectшe w h e п нsiп g а legacy passive a nteпna
(on ly tl1e tra11s111it pat h is s110\Vll \Vheгeas iп rea li ty tl1eгe wo нld also Ье а гeceive patl1). The t1·ansceive1· inclt1des the Digital to Апаlоgне
(D/A) co11verte1·, the local osc ill atoг н sed to mix tl1e sigпa l fгom basebaпd to RF, апd tl1e роwег amp li fieг. Tl1e апа l оgне RF s i gпa l is
t1·ans111itted towaгd s tl1e passive ante nп a t1sing RF feedeг са Ы е

39
5G NR in BULLETS

gNodeB
Distributed Unit Passive
Antenna х
RLC
Power
МАС Amplifier х

т~~
Physica/
Analogue х
RFSignal

: Transceiver х

Figш·e 36 - Passive antenna architecture

* Figuгe 37 il\ustrates the architecture when нsing an active antenna. The transceiver functionality is moved from tlle Base Station into
the antenna. In general, active antennas have а larger number oflower power transceivers relative to а Base Station connected to а
passive antenna. For example, а Base Station connected to а passive antenna may have 2 х 20 W transceivers per cell when configured
to нsе 2х2 МIМО. Ал example active antenna may Ьаvе {2 х 16} х 5 W transceivers per cell. This corresponds to an active anteпna
with 32 transceivers. lt is common to discttss active antenna with 4, 8, 16, 32, 64 and 128 transceivers. Incгeasing the ш1mb er of
transceiveгs incгeases the cost, weight and power consttmption ofthe antenпa bttt also increases the be amfoгming capability which сап
tгaпslate into improved coverage and increased capacity

* The architecture illtt s tгated in Figu1·e 37 assumes that Physical layer processing is completed within the Distributed Unit Ь е fоге
forwardiпg the baseband signal to the active antenna. Advanced active antenna may also support some ofthe Physical lауег processing,
i.e. some parts ofthe baseband processiпg сап Ь е moved from the Base Station to the antenпa . This coнld iпclttde the application ofthe
beamforming weights when ttsing digital beamforming. lt can also include the Inverse Fast Fouгier Transform (IFFT) and Fast Fouгier
Transform (FFT) used to generate the downlink signal апd receive the ttpliпk signal respectively

Active
Antenna ► хх
►

~
о
х х
!
i;;•
х х
х х
[ ? . er
gNode В
Distributed Unit
Local Oscillotor Amp lifier i5·
Е] [>
Power
~
i
х х
Local Oscil/ator Amplifier ~ Х Х

lои/~/1,<о, ~-~'_;i_ег
Digital
Boseband
Signal 1 I
•· D/A _____;__;
Figure 37 - Active antenna a1·cl1itectшe

* An active antenna typically has more antenna elements than it has transceivers . Tms means that each traпsceiver is connected to
mttltiple antenna elements. The example illustrated in Figure 37 has 4 t1·ansceivers and 2 co lн mns of cross polar antenna elements. Each
transceiver could Ье connected to а single colttmn of antenna elements and tms would provide basic horizontal beamforming.
Horizoпtal beamformiпg performance wottld Ье improved ifthe number oftt·aпsceivers and the nнmber ofcolumns ofcross polar
aпtenna elements were increased. Combiпed hori zo пtal апd vertical beamforming сап Ье achieved if eacl1 соlнпш of antenna elemeпts
is divided iп subsets and а tгansceiver is allocated to eacl1 sнbset. In this case, tt·ansceivers are stacked both hori zontally and vertically.
Figшe 38 illнstrate s examples ofthe allocatioп oftransceive1·s to antenпa elements to achieve hori zontal and combined
horizontal/ve11ical beamformiпg . Section 1.2 1 describes beamforming in gieater detail
* Within tl1e context of 50, it is assнmed that active antenna may Ье нsed for operatiпg bands belonging to both Freqнency Range 1 (450
MHz to 6 GHz) and Fгeqнency Raпge 2 (24 .25 GHz to 52.60 GHz). 3GPP TS 38.104 specifies Base Station Types 1-0 апd 2-0,
illн stra ted in F i gшe 39 to саtе г fог active aпtenna. The nшne гical valнes '1' апd '2' refer to tl1e Fгeqttency Raпge, whereas the 'О'
refers to Over tl1 e А iг (ОТ А) reqt1irements. Ove1· tlle A ir reqttiremeпts (also known as 1·ad iated re qнirements) are those wl1icl1 are
measшed Ьу placiп g а ргоЬе at tl1e Rad iated Iпterface Вонпdаrу (RIB)

* Condнcted measшements are поt normally possiЫe wl1en нsing active аntеппа Ьесанsе al l RF components are iпtegrated into tl1e
antenna and the co nne ctoгs pгovide а ba se baпd signal rather tll aп an RF signal. The position of the Radiated Inte1·face Boнndary (RIB)
depeпds нроn the ,vavelength апd tl1e dimensions oftl1e antenna. Tlle far field starts at а distaпce given Ьу 2 D2/л. meters, when the
aпtenna dimensions ai·e significantly grea ter tllan the wavelength, \vhere D is the largest dimeпsion of the antenna and л. is the
wavelength

40
 5G NR in BULLETS

В TRX per Со/итп

гх _ _ _ _: : х :
: х :: ' '
х х
2 TRX per Column : х :
Horizontal х х Comblned i' :' ': :' :: '' ''
''' '''
1
1
1
1
I
I 1
1 1

Х ___ :: : х :
Horizontal/ Vertica/
х___ _:1 :1______
:: ____
Beamforming ' '
Capabl/ity х х х х Beamforming 1 1 I 1

:'' ___ _____ :'' '''

· х ''.
'
·-- -- ----'
(total of В TRX) Capabllity
' ' ' '
х х х х (total of 32 TRX)
'''
· х ''.
' '
: х :
''
'' '' ''' '
'' '' : :'
х х х х '' Х
''1 _ __ _ __ _ _
''. '· х '.
' х .,--------.
', '1 _ _ __ _ _ _ _ ',

х
' '
х х х ''·
'
х ''.
'
' '
х х х х :__~___ !!___~___!
х х х х
Х ' х , х
х
· --- ----- ·------- -'
F i g ш·c 38 - Е ха шрl е association behvee11 ante rшa el e шeпts 3 11(( tra nsceive.-s fог l101·izo11tal апd 3-diшen s ioп a l beaшfor· шiп g

Co m posite Antenn a Base Station Туре 1-0

Base Stati on Тур е 2-0

Far
Field
Radio Regio n
"
Transceiver Distribution Antenna
Unit Arra y Net wo rk Array
(TR XUA) (RDN) (Ад ) Radiated lnterface
Bo undary (RIB)

fi g ш·e 39- Base S ta tioп a 1·c l1i tec tш- e Types 1-0 а пd 2-0

* Tl1e set of гa di ate d 1·eqLti1·eme11ts is simila1· to tl1e set of cond Ltcted 1·e q ttiгe m e пts, i.e. tl1ey iп c lLt d e Base S tat i oп oLttptt t р оwе г, Adj ace пt
С lш пп е l Leakage Ratio (ACLR), Ltп \va пted e m i ss i o п s, s pшi o tt s e m i ss i o п s, гесе i vе г se п s i t i v i ty , Adj ace п t C l1 a 11 п e l Selectivity (ACS)
ai1d 1·eceive1· Ы oc k i п g
* Witl1i11 tl1e co пtex t of 5G, 3GPP speci fi es that an acti ve а n tе пп а fо г Base Station Тур е 1-0 mLtst have at least 8 t1·a n sc e i ve гs. There is
110 eq н iva l e п t гeq нi1·e me11t fо г Base S t ati o п Тур е 2-0
* lп tl1e case оfF геq н е п су Ra п ge 1 (450 MHz to 6 GHz), 3GPP has also specified гe qнiгe ments fо г Base Stati o11 Туре 1-Н . Tl1e
п tt m e r i ca lva lLte ' l ' гe fe 1·s to the Fre qн e п cy Range, \v l1 e гeas the ' Н ' н: fе гs to Hybгi d гeqLtiгe m e nt s . H ybгi d mea п s that some
1·e q t1iгe me nt s ai·e specified Ltsiп g co пdtt c te d m eas шe me пts, wl1il e o th e г гe qLti гe me nts are specified Lt s iп g 1·adiated meas шe me nt s

* Base Station Туре 1 -Н is appli caЫ e to Base S ta ti oп s eqLtipped with acti ve antenna which l1ave а set of co nn ecto гs between tl1e
t 1·ai1sce i veгs
and antenna elements. These co nn ec to гs са п Ь е Ltsed for co пdн c te d meas шe me пts . F i gшe 40 il1Ltst1·ates the a гc hitec t1.1гe of
Base Station Тур е 1 -Н

Tran sceiver Arr ay Base Stati o n Тур е 1 -Н

Co m po site An te nna
Bo und ary (ТА В)

Far
Field
Ra dio Regio n·
"
Transc eiver Dist ribution Antenna
Unit Array Network Агг а у
(TR XUA) (RDN ) ( АА) Ra diated lnter face
ТА В Co nnecto r Bo unda ry (RIB)

F i g ш·e 40 - Base Stati o п a r c hitec tш·e Ту р е 1-Н

* З GРР Refeгeпces : TR 37 .843, TS 38. 104

41
5G NR in BULLETS

1.5.6 BASE STATION CLASSES

* 3GPP TS 38. J04 specifies 3 Base Station Classes: Wide Area, Mediнm Range and Local Area. These classes correspond to macro,
micro and pico deployment scenarios. Base Station Classes have been defined to ensнre that certain RF characteristics are specified
нsing limits which are sнitaЫe for the deployment scenario. For example, а 'Local Атеа Base Station' is specified to have а transmit
power capability < 24 dBm, а 'Mediнm Range Base Station' is specified to have а tl'ansmit роwег capability < 38 dBm, while а ' Wide
Area Base Station' does not have an нрреr transmit power limit
* Base Station Types 1-С and 1-Н are categorised as Wide Area, Mediнm Range or Local Area according to their Minimнm Coнpling
Loss (MCL). The MCL is the smallest practical link loss measured between the Base Station and the UE antenna connector. The
measurement refeгence point at the Base Station depends нроn the Base Station Туре. In the case ofBase Station Туре 1-С, the
measurement reference point is either port А or port В illнstrated in Figнre 35 . 1n the case of Base Station Туре 1-Н, the measнrement
reference point is the ТАВ connector illнstrated in Figнre 40
* 3GPP нses the following MCL to categorise the Base Station Class:
о Wide Area Base Station: an MCL of70 dB based upon macro cell scenarios
о Mediнm Range Base Station: an MCL of 53 dB based upon micro cell scenarios
о Local Area Base Stations: an MCL of 45 dB based нроn pico cell scenaгios

* Base Station Types 1-0 and 2-0 do not have RF connectors at the Base Station so it is not possiЫe to measure MCL. Instead, these
Base Station Types are categorised as Wide Area, Mediнm Range or Local Area according to а minimнm distance between the Base
Station and UE
* 3GPP нses the following minimнm distances to categorise the Base Station Class:
о Wide Area Base Station: а minimum distance along the gтoнnd equal to 35 m based нроn macro cell scenarios
о Mediнm Range Base Station: а minimнm distance along the groнnd eqнal to 5 m based нроn micro cell scenarios
о Local Area Base Stations: а minimнm distance along the gi·oнnd eqнal to 2 m based нроn pico cell scenarios
* The distances нsed to categoгise Base Station Types 1-0 and 2-0 сап Ье deгived fгom the MCL нsed to categoгise Base Station Types
1-С and 1 - Н. Fог example, assнming free space path loss for а Mediнm Range Base Station , Path Loss (dB) = 38.25 + 20 LOG
( distance (m)). Antenna gains of О dBi and а body loss of l dB с а п also Ь е as s нm ed. An MCL of 53 dB coгre spoпd s to а patl1 loss of 52
dB afteг accoнntin g for О dBi aпtenna gains апd l dB body loss . Then , l О( 52 - 38 ·25 ) 120 = 5 m
* 3GPP Refeгences: TS 38.104

42
 5G NR in BULLETS

i.6 INТERFACES

1 .6.l Хп INТERFACE
Tlie Хп inteгfa ce connects опе gNotie В to another gNode В. The control plane ofthe Xn (Xn-C) allows signalling between
* п e iglilJOL!Гiп g gNode В. The L1seг рlапе ofthe Хп (Xn-U) allows the tгansfer ofapplication data between neighboшing gNode В

Tlie Хп inte1Jace is typically setнp as part ofthe Alltomatic Neighboш Relation (ANR) procedшe . UE based ANR relies нроп а UE
* reporting the Pl1ysical Cell Identity (PCI) belonging to а cell of а neighboшing gNode В. The UE is reqllested to decode the Cell
Global Jdentity (CGI) from the System Informatioп ifthe PCI is not already knowп to the serving gNode В . The serving gNode В нses
tlie CGI to retrieve the IP address ofthe neighboшing gNode В Ьу sending а qнery to the АМF. The АМF forwards the qнery to the
n e i g libollriлg gNode В to obtain its IP address before respoпding to the serving gNode В. The serving gNode В 1.1ses the IP address to
cs t a Ыi s h ап SCTP connection \Vith the neighboшing gNode В . The Xn Setнp ргосеdше сап Ье initiated once the SСТР connection has
Ьсеп cstaЫished

Figшe 41 illlls tгa tes the contгol plane and user pl ane protocol stacks belongiпg to the Xn interface. The control plane uses SCTP ove1·
* IP, ,д, h e reн s tl1e нs ег р l а п е t1 ses GTP-U over UDP over IP

Co ntrol Р/апе User Р/апе

Хп -С Хп-И

XnAP User Р/апе Protoca/ Radia

3GPP TS 38.423 3GPP TS 38.425 Network
Layer

SCTP ИОР
Transport
IP IP Loyer Xn-U

Data Link Layer Data Link Layer Xn-C

Physical Layer Physical Layer

Figur·e 41 - P1·otoco l stacl,s fo1· Х п i11te1·face

* Со пtюl plane signalling ac гoss the Xn inte1·face is based uроп the Xn Application Protocol (XnAP) specified within 3GPP TS 38.423.
S i gпa llin g p 1·oceduгes
ai·e categorised as Global, Mobility ог Dllal Connectivity. ТаЫе 5 preseпts tl1e procedшes belonging to each of
tl1 ese categ01·ies

Global Pr·oc edнres Dнal Corшecti v ity Pгocedнres

Х11 Set11p S-NG-RAN Node Additio11 Preparation

NG-RAN Node Coпfigшatioп Update S-NG-RAN Node Reconfiguration Cшnpletion

Cell Activation M-NG-RAN Node iпitiated S-NG-RAN Node Modifica tioп Preparation
Reset S-NG-RAN Node iпitiated S-NG-RAN Node Modificatioп

Error Lпdicatioп S-NG-RAN Node iпitiated S-NG-RAN Node Cliaпge

Хп Rernoval M-NG-RAN Node initiated S-NG-RAN Node Release

S-NG-RAN Node initiated S-NG-RAN Node Release
Mobilit y Pr·ocedнres S-NG-RAN Node Сонпtег Check
Ha11dove1· Preparatio11 RRC Traпsfer

SN Statнs Trar1sfer Notificatioп Coпtrol lndicatioп

Haшlo ver Cancel Activity No tificatioп

Retrieve UE Coпtext E-UTRA - NR Cell Resoшce Coord inatio11

RAN Pagiпg

Data FoГ\va rding Add ress lndic a tioв

UE Co пt ex t Release

Та Ые 5- Хп A pplicatioп P1·o tocol (Хп АР) P,·ocedu.-es

43
5G NR in BULLETS

* The Xn Setup procedure is used to create а logical Xn connection between the hvo gNode В. The Xn Setup procedure has pre1·equisites
of а first gNode В knowing the IP address of а second gNode В, and the first gNode В using that IP address to estaЫish an SСТР
connection. The Хп Setup Reques/ / Хп Setup Response handshake сап Ье completed once the SСТР connection has been estaЫished.
These messages allow the gNode В to exchange information regarding their cells, their АМF connectivity and their Tracking Areas.
The Xn Setup procedure is typically completed after detecting а new neighbouring Base Station. It does not need to Ье гepeated unless
the Xn connection is deleted and requires re -es taЫishment , e.g. after а site гeset
* The NG-RAN Node Configuration Update procedure allows а gNode В to maintain its configuration informatioп оvег time, i.e. the
informatioп exchaпged during the Xn Setup procedure сап Ье updated if it chaпges. Fог example, it allows updates to Ье provided
regarding the set of supported Trackiпg Areas. The pгocedure сап also Ье used to support changes triggered Ьу 'Energy Saving'
fi.шctions. The gNode В may decide to deactivate one or more cells during periods of low traffic. This helps to conserve energy and
also гeduces the operating cost ofthe Base Station. А gNode В сап inform its neighboшs about cell deactivation using the NG-RAN
Node Configuration Update procedure. Similarly, а gNode В may decide to re-activate one or more cells iftraffic levels subsequently
iпcrease. Neighbours сап Ье informed about re-activation using the NG-RAN Node Configuration Update procedure. The procedure
uses the NG-RAN Node Configumtion Update / NG-RAN Node Configш·at ion Update Acknoи1/edge handshake
* The Cell Activation procedure is a\so applicaЫe to 'Energy Saving' functions, i.e. the NG-RAN Node Configuration Update procedure
allows а specific gNode В to signal its intentions fш cell deactivation/activation (the procedure is initiated Ьу the Base Station doing
the deactivation/activation), whereas the Cel\ Activation Procedure allows а neighboшing gNode В to request that cell activation is
initiated (the procedure is initiated Ьу а neighbouring Base Station). The Cell Activation procedure uses the Се// Activation Request /
Се// Activation Response handshake. The response message specifies the set of cells which have been re-activated so it is not necessary
to нsе the NG-RAN Node Configнration Update procedшe following а Cell Activation pгocedure
* The Reset procedure сап Ье used to initiate either а 'Fнll' or ' Partial' reset. А 'Full' reset triggers the target Base Station to delete al\
UE context information associated with the source Base Station. The taгget Base Station does not delete application level data which
was provided dшing the Xn Setup or NG-RAN Node Coпfiguration Update procedшes , e.g. cell \ists are not deleted . А ' Partial ' reset
triggeгs the target Base Station to delete info1mation associated with specific UE contexts addгessed using their XnAP identities. The
taгget Base Station гesponds to the sошсе Base Station using а Reset Response message

* The Епш Indication procedure is used to report errors which have been detected within an incoming XnAP message. This procedure is
арр\iсаЫе ifthe errors cannot Ье rep oгted using а failure message beloпging to the procedure which has created the e1тors
* The Xn Removal procedure is used to delete the signalling connection between the source апd target Base Stations. The sошсе Base
Station iпitiates the pгocedure Ьу sending the Хп R е11101ю/ Request message, which the target Base Statioп ackno,vledges usin g an Хп
Remo ,,a/ Response message. The sошсе Base Statioп 1·emoves the transpoгt netwшk layer association behveeп the pair ofBase Stations
afteг гeceiving th e геs роп sе message. Tl1e sошсе Base Station сап inclнd e an Хп Remoiюl Tl11·esl10/d infoгm at ion e l e m eпt within tl1 e
1·equest message. The taгget Base S tat ioп сап нsе tl1is i11fo1mation element to decide ,vhetl1e1· ог not to accept tl1e гeqнest fог Xn
Iemoval. If the taгget Base Station dete1mines that the importance level of the Xn coпп ec tion is gieateг tl1an tl1e va lue of tl1e Хп
Rето,ю/ Th1·esl10/d tl1en it сап гespond н si n g an Хп Re11101,a/ Fai/ш·e message to keep the existing Хп connectioп

* Mobility procedшes аге used dшing the Хп lшndoveг procedure. Напdоvег P1·eparation is нsed to initiate tl1e h an doveг Ьу 1·eq н esting
геsошсеs at the target Base Station. The Seguence Nнmber (SN) Status Transfer procedшe is пsed immed iately after sendiпg tl1e
handoveг command to tl1e UE, i.e. dшing handover execution. This procedшe piovides the taгget Base Station with information
regarding PDCP Seqнence Nнmbers and tl1e status of sнccessfully гece ived пplink PDCP SDU. This infotmation helps to e nsшe tlшt
Seqпence Numbeгing is preserved dшiпg the handoveг апd that the handoveг is lossless. The target Base Station uses the UE Context
Release ргосеdше dшing handover completion, i.e. to instntct the sошсе Base Station to release the UE context afteг а sнccessfi.11
handover. The sошсе Base Statioп сап нsе the Handover Cancel procedшe to stop an oпgoing Handoveг Pгeparatioп , e.g. dн е to tl1e
UE moving back towards the source Base Station
* The Retrieve UE Context procedure may Ье necessary wheп а UE makes the tгansition fiom RRC Inactive to RRC Connected. Ifthe
UE has moved from one Base Statioп to another after making the traпsition from RRC Connected to RRC Iп active then its new seгv ing
Base Station will not have а recoгd ofthe relevaпt UE context. In this case, the new serving Base Station has to retrieve the UE coпtext
fгom the old serving Base Station. This гeqпires an Хп interface between the раiг ofBase Stations

* The Retrieve UE Context procedшe сап also Ье нsed dшing RRC Connectioп Re-estaЫishment. If а UE ехре гiепсеs гadio link failшe
оп опе Base Station and then recoveгs оп another Base Station, the new Base Sta tioп needs to гetгi eve tl1e UE co пtext fiom the old
Base Station. Tl1e UE initiates the proc edшe at the new Base Station Ьу se пding ап RRC Connection Re-estaЫishment Reqнest wl1icl1
inclнd es the PCI ofthe old Base Station. The new Base Station queгi es all п e i ghboшin g Base S tatioп s whicl1 have а matchiпg PCI and
an Хп iпterface
* Tl1e Data Fotwarding Addгess Iпdicatioп ргосеdше сап Ье н sed afteг tl1e Retrieve UE Co пtext procedшe . Tl1e пе,v seгv in g Base
Station uses this procedшe to provide the old seгv iп g Base Station with а foгwaгding addгe ss fог do,,rnliпk data which is bнffeгed at the
old Base Stat i oп. Tl1e old Base Statioп сап tl1eп forwai·d the data across tl1 e user р\апе ofthe Xn inte1-face to l1elp avoid packet loss
* The RAN Paging procedшe is used to t1·ansfe1· pagiпg messages acгoss tl1 e Х п iпteгface. Tl1is becomes necessary ,vl1en а UE is paged
,vhile in the RRC Iп acti ve state. ТЬ е UE is СМ Сопп ес tеd wl1ile in the RRC Inactive state апd tl1e se1·ving Base Station ,vl1ich stoгes
the UE context maiпtains а UE specific signalling connection ,vith tl1e АМF. Tl1e АМF foг,vaгds paging messages fог the UE to tl1 e
seгving Base Stat ioп. Howeveг, th e UE may have moved to апу location witl1iп the RAN Not ificatioп Аге а w itl10нt infoгmin g th e
net,vo1-k. T his meaпs that the paging message mнst Ье bгo a dcast Ьу all Base Stat ioп s beloпgiпg to the 1·e l evaпt RAN Notification А1·еа.
Tl1e seгving Base Station distгibutes the paging message to other Base Stations within tl1e RAN Notificatioп Area using tl1e XnAP
RAN Paging proced шe

44
 5G NR in BULLETS

Dt1al Connectivity allows а UE to benefit from resoшce allocations pгovided Ьу hvo Base Stations. Within the context ofthe Xn
* interface, Dual Connectivity is applicaЫe to а раiг ofgNode В , or to а gNode В neighbouring а 'Next Generation eNode В (ng-eNode
В). It is not applicaЫe to а gNode В neighbouring an eNode В Ьесанsе the Х2 interface is нsed fог Dнal Connectivity in that scenario

Sесопdюу Node management procedшes allow а Secondary Node to Ье added, modified and гeleased . Tl1ese ргосеdшеs are all UE
* !s
specific, i.c. а Secondary Node added, mo_di~ed or гeleased fог а specific UE coпnection. The signalling associ~t_ed ,vith Sec?ndюy
Node addition 1s 1llнstrated in F1gшe 42. Th1s includes two XnAP s1gnalling pro ~edures - S-NG-RAN Node Add1tюn Preparatюn and
S-NG-RAN Node Reconfiguration Complete. The former нses the S-Node Addition Request / S-Node Addition Request Ack110111/edge
~ges, ,vhereas the latter нses the S-Node Reconjigumtion Comp/ete message. The Reconfigцration Complete ргосеdше is t1sed to
acknowledge that the UE has completed its RRC Connection Reconfiguration

Master Secandary
ИЕ Nade Nade

5-NODE ADDIT/ON REQUEST

Addition
5-NODE ADDIT/ON REQUEST ACKNOWLEDGE
RRC Recanfiguratian Preparation
(encapsulates SCG Canfiguratian)
(encapsulates SCG Canfiguration) procedure

RRC Recanfiguration Complete

(encapsulates SCG Configuration Comp/ete) 5-NODE RECONF/GURAT/ON COMPLETE
(encapsu/ates SCG Configuration Comp/ete) 5-NG-RAN Nade
} Recanfiguration
Completion pracedure

Figш·e 42 - Signalliпg р1·осе(lш·е fo1· Secoпdai·y Node Additioп

* Tl1e S-NG-RAN Node Modification ргосеdше сап Ье initiated Ьу eitheг the Masteг Node 01· the Seconda1y Node. The procedшe
iпitiate d Ьу the Masteг Node вses the S-Node Moc/ijication Request / S-Node Moclification Request Ack110111/edge handshake. The
pro cc dшe initiatcd Ьу tl1e Sccondaгy Node uses thc S-Nocle Modijication Requi1·ec/ / S-Nocle Modification Confinn l1andshake. In botl1
cases, tl1e S-NG-RAN Node Recoпfigшation Complete ргосеdше is t1sed to ackлowledge that tl1e UE has completed its coпesponding
RRC Соплесtiоп Reconfigшation procedшe

* Tl1e S-NG-RAN Node Release рrосеdвге сап Ь е iпiti a ted Ьу eitl1eг tl1e M aste г Nocle ог the Secoпdary Node. The р1·осе dше initiated Ьу
tl1 e Maste1· Node t1 ses tl1 e S-Nocle Release Request / S-Nocle Release Request Ack110111/edge lшлd s hak e . Tl1e ргосеdше initiated Ьу the
Seco пd a 1y Node щ еs tl1e S-Nocle Re/ease Rec111i1·ec/ / S-Nocle Re/ease Co11fin11 l1a11ds/юke . !11 botl1 cases, tl1 e Maste1· Nod e t1 ses the UE
Co пtext Release р1·осе dше to гel ease tl1 e UE coпtex t at tl1 e Seco11da1·y Node. Tl1is is dол е afteг tl1e Seco11cla1·y Node co пfigшatioп l1 as
Ь се п гe l ease d at tl1 e UE нsiп g ап RRC C onпection Re confi gшatioп р1·осесlше

Tl1e S-NG-RAN Node Co unteг Check procedшe is t1sed as а mecl1anism fог local allthenticatioп. Tl1e ргосеdнrе allows tl1e detection of
packet iпse rtion Ьу an i11t111de1·. The Secondary Node seпds а п S-Node Со 1111tег C/1eck Request message to the Masteг Node. Tl1is
message inclнdes нplink and dowлlink PDCP COUNT valt1es fог the set ofData Radio Beareгs (DRВ). The Masteг Node is гesponsiЫe
fог ve1·ifyi11g that the COUNT valнes аге the expected valнes

* Tl1e RRC T1·a11sfer procedшe is t1sed to relay downlink RRC messages fгom the Masteг Node to the Secondary Node, апd t1plink RRC
111essages fгom tl1e Seco11da1y Node to the Master Node. This ргосеdнге also allows the Secondюy Node to pгovide а delivery statнs
fог RRC messages which have origiпated from the Masteг Node. The Master Node can configшe SRВI and SRВ2 as 'Split' SRВ
(desc1·ibed iп section 1.12). Tl1is allows RRC messages to Ье tгansfeпed нsing both the Masteг апd Secoпdaty Nodes

* Tl1e Notificatioп Control Iпdication procedшe сап Ье used Ьу either the Masteг or Secoлdaty Node to iпdicate that the Guaranteed
Flow Bit Rate (GFBR) belonging to ап existing GBR QoS Flow сап по longeг Ье achieved. Alteгnatively, the pгocedure сап Ье нsed to
iпdicate tl1at tl1e GFBR сап Ье achieved afteг pi-evioнsly indicating that it coнld поt Ье achieved. The Notification Co11t1·0/ Indication
message spec ifies the relevant PDU Session апd QoS Flo,v(s) in combiпatioп ,vith а flag to indicate whetheг ог not the GFBR сап Ье
acl1ieved

* Tl1e Activity Notificatioп ргосеdше сап Ье нsed to indicate act ivity fог а specific UE, ог fог а specific QoS Flow. Alteгnatively, the
1хосеdнге сап Ь е нsed to iпdicate iпactivity. Botl1 indicatioпs сап Ье нsed to sнрро11 Radio Resoнrce Maпagement, e.g. the release of
геs ошсеs dн е to inactivity

* Tlie E-UTRA - NR Cell Resoшce Cooгdiпation ргосеdше is t1sed to exchange i11foг111atio11 bet\veeп а gNode В and а Next Gene1·atio11
eNocle В (п g-eNode В) гegaгdiпg tl1 e allocatioп of гadio геsошсеs ,vhen the two Base Statio11s аге sl1aring spectn1m with oveгlapping
cove1·age areas. The gNode В нse s the NR air-int e гface ,vhile the пg-eNode В н ses tl1e L ТЕ a i1·- iпterface. The two Base Station s
exc l1aп ge iпfoп11ation to iпdi ca te whi ch нplink and clownliпk Resoшce Blocks have been selected fог fiJtнгe schedt1li11g dшiп g specific
S llbfгames. Bitmaps аге t1sed to s i gп a l tl1 e set ofselected Resoшce Blocks, wl1 e гe each bit гергеsепts а pai1· ofResoшce B lo cks
belon g iпg to а specific st1bf1·ame, i.e. tl1e miпimнm 1·esolнtio11 is 2 Resoшce Blocks. The bitmap is extended ,vhen pгovidin g
iпfoп11ation fо г ml1ltiple sнbframes
* Tlie ti seг рlап е ofthe Хп iпterface (Xn-U) tгa11 s fe1·s app li cat i oп data bet\veeп Base Statioп s . For example, data foгwai·diпg dшiпg an
oп goiпg l1 anclove1· ргосеdше, ог data foгwaгdiпg fог а connectioп нs iпg Dнal Connectivity. GTP-U tt1n11els аге нsed to t1·a11 sfe1· tl1e
appli catioп data. These tшшels аге ideпtifi ed н s ing theiг Тш111еl Endpoiпt Identifie1· (ТЕШ). А tшшеl is sett1p fог eacl1 Data Radio
Веа~·ег (DRВ)

---- 45
5G NR in BULLETS

* The user plane protocol which runs above the GTP-U layer provides vario1.1s control mechanisms associated with the transfer of
downlink data. These control mechanisms include flow control, packet loss detection and successf1.1l deliveгy reporting. А single useг
plane protocol which is арр\iсаЫе to the Xn, F 1 and Х2 interfaces is specified within 3GPP TS 38.425
* The frame formats 1.1sed Ьу the user plane protocol are illustrated in Figшe 31 (section 1.5.3). PDU Туре О is sent Ьу the Base Station
hosting the PDCP lауег, i.e. the Base Station receiYing the downlink data from the Core Network and sending it acгoss the Xn
interface. PDU Туре l is sent Ьу the Base Station receiving the downlink data across the Xn interface, i.e. it provides feedback
infoгmation . PDU Туре О is sent across the Xn interface from the node which is hosting the 1.1ser plane PDCP layer. PDТJ Туре О is
used to add а sequence number to each downlink data packet. The гeceiving node 1.1ses this sequence number to detect \ost packets.
The node hosting the 1.1ser plane PDCP layer can also 1.1se PDU Туре О to provide various discard instructions. Ifthe receiving node
reports Radю Link outage then the node hosting the user plane PDCP layer may attempt re-transmission 1.1sing а second node. Ifthe
second node reports successful delivery ofthe PDCP PDU, the oгiginal node can Ье instructed to discard the successfully delivered
packets to avoid 1.1nnecessary transmission
* The receiving node uses PDU Туре 1 to report any lost packets and also to control the rate at which downlink data is sent Ьу the node
hosting the user plane PDCP layer, i.e. it provides а mechanism fш flow control to avoid the downlink buffers becoming too full. The
receiving node signals the sequence number ofthe highest successfully delivered PDCP PDU, the desired b1.1ffer level and the desired
data rate. The desired data гаtе is specified as the numbeг ofbytes which the гeceiving node wo1.1\d like to гeceive within а 1 second
time interval. The transmitting node нs es these infoгmation elements to deteгmine the quantity of data to forward
* The гeceiving node can also use PDU Тур е l to indicate 'Radio Link Outage' or 'Radio Link Resume' . This status infoгmation is
signalled нsing the 'Cal\Se Vа\не ' field . The tгansmitting node stops foгwarding data for the UE ifthe receiving node герогts Radio
Link Outage. The tгansmitting node can staгt forwarding data for the UE ifthe гeceiving node герогts Radio Link Res1.1me
* 3GPP Refeгences: TS 38.420, TS 38.42 l, TS 38.422, TS 38.423, TS 38.424, TS 38.425

1.6.2 F1 INТERFАСЕ

* The Fl inte1·face connects а gNode В Centгalised Unit (CU) to а gNode В Distгib1.1ted Unit (DU). This is applicaЫe to the CU-DU Split
Base Station aгc hitectшe presented in sect ioп 1.5.3. The control plane of the FI (FI-C) allows signa lling between tl1e CU and DU,
whereas th e 1.1 sе г plane of the F 1 (F 1-U) allo\vs tl1 e tгапsfег of app lication data
* Figшe 43 illu stгates t\1e сопtго l plane апd нser plane pгotocol stacks b e l oпg in g to th e F I iпte1· fac e. T l1e coпtro l рlапе нse s SCTP ove1·
IP, wheгeas the нsег plane нses GTP-U over UDP оvег IP, i. e. tl1e tгan spoгt l ayeгs аге th e same as those нs e d fог the Хп iпt e1-face

Control Р/апе User Р/апе

Fl-C Fl-U
.----------------------------------------------------------------

FlAP User Plane Protoco/ Radio

3GPP TS 38.473 ЗGРР Т5 38.425 Network
gNadeB
Layer г- - -------------------- --- --------------------- ----- -------------

------------ ---------------------------------- ---------- ----·

SCTP
GTP-U

UDP
CU-CP CU-UP lГ
Transport
/Р /Р Layer
DU
Data Link Layer Data Link Layer

Physica/ Layer Physical Layer

Figure 43 - P1·otocol stacks for Fl iпte1·face

* Contro\ plane signa\ling acгoss the F I inteгface is based нроп the F I Applicatioп Protocol (FIAP). Signalling ргосеdшеs are
categoгised as Inteгface Maпagement , UE Context Maпagement, RRC Message Tгansfeг, W;:irпiпg Message T1·ansmission, System
Iпf01matio11 and Pagi ng. ТаЫе 6 presents the ргосеdшеs beloпgiпg to each of these categoгies

* Tl1e F 1 Setup pro cedшe is нsed to сгеа t е а logica\ F 1 coпnectioп bet\veeп the CU and DU. It is 11ecessa1·y to es taЬlish an SCTP
coпnection between tl1e CU and DU before tl1e F 1 Set11p рrос е dнге can Ье iпiti ated . Tl1e DU iпitiates tl1e ргосеdше Ьу seпdi п g ап F 1
Setup Request message, whi le tl1 e CU co mpletes the ргосеdше Ьу гetнrпing an F 1 Setup Response. Tl1e F 1 Setup Request is нsed to
inform the CU of tl1e DU identity and tl1e set of cells s нpported Ьу the DU. The F 1 Setup Response is н sed to indicate wllich DU cells
shoн ld Ье act ivated. The CU сап also нsе tl1e геsропsе message to al\ocate а specific PCI to each cell

* The Reset ргосеdше can Ье initiated Ьу e ith e г the CU ог DU. It is нsed to гeset eitl1er all F l АР UE coпtexts, ог а specific subset of
FIAP UE contexts. When the ргосеdше is iпitiated Ьу the CU, tl1 e DU гeleases all гelevant resoшces оп the F I interface and a ll
1·elevaпt гadio гesouгces. When the ргосеdше is initiated Ьу tlle DU, the CU гeleases all гelevant геsошсе s on the F 1 inteгface. The
ргосеdше нses tl1e Reset / Reset Aclmoiv/edge haпdshake . It does not санsе tl1e F 1 inteгface itself to гeset
 sG NR in в ULLETS

lлt e r fзce Ma11age111en1 ProcedLJ res UE C oпtex t Mat1age111e111 Proc edнrcs

FI Setllp UE Coпtext Setup

Reset UE C oпtex t M odificat i oп (gNВ -CU initiated)
Е ггог Lлdi ca tioп UE Co пtext Modification ReqLJired (gNВ-DU iпiti at ed)

g NВ - D U Configuration Update UE Coпtex t Release (gNВ -C U iпiti ated)

gNB-CU C oпfigшatioп Update UE Coпtext Release Reqн es t (gNB-DU iп i ti a ted)

gNВ- DU Resource Coordiпa tion UE Iл activity Notifica ti oп

gNВ -D U S ta tнs Iпdication Noti fy

RRC Message Trai1sfer Proc edшes Waniiп g Message Tra11s111issio11 ProcedLJres

Iп i ti a l UL RRC Message Tra п s fer Write-Replace Waniiпg
DL RRC Message Traп s fer PWS Сапсеl
1 - - - - --

UL RH.C Message Tra пsfer PWS Restart lлdi cati o n

PWS Fa ilнre Iпd i catioп

Syste111 l11Гопп а tiо11 Procedнres

Syste111 l11forrnat io11 Delivery Pagi11g ProcedLJres

Pag iп g

Та Ы е 6 - FI A ppli ca ti o п P1·otocol (F IAP) P1·oc e dш· es

* Tl1e Е по 1· Indication р юсеdше сап Ь е initiated Ь у either the CU or DU. It is used to гер о гt tliat а п епо г has Ь ее п detected witl1iп а п
iп com iп g F I АР message. It is appli caЫ e when the е rго г cannot Ье reported н s in g а fa ilшe message belonging to the гe l e va nt signa lling
pгoce dure . Tl1e ргосеdше н ses onl y the Е1 ·1 ·01 · lndicatioп message

* The gNВ -DU C o п figш·a ti o n Update р госеd ше is н se d Ь у the DU to p юv i d e tl1e CU with нpd ated in formation 1·ega гdiп g its set of
s11pported cells. Tl1e GNB-DU Co11jig111'Cltio11 Upclate message all ows ne\Vcells to Ь е added, existing cells to Ь е modified, or existing
cells to Ь е deleted. The CU acknowledges the н pda te н s in g the GNB-DU Co11jig111'Cltio11 Update A ck11 o н1/edge message

* Tl1e gNB-CU Co n fi gu гa tion Update р 1·осеdше is н sed Ьу tl1e CU to pюv i d e tl1e DU \Vith 11pdated iп forma ti o n гega гdin g the set of cell s
to Ь е activa ted or deacti Yated. Tl1e CU is а Ы е to speci fy the PCI to Ь е н se d \\fhen acti Yating а cell . The CU i пit i ates tl1e ргос еd ше u s iп g
tl1e GNB-CU Co11fig11 /'Cllio11 Upclate message, wl1e1·eas tl1e DU a c kпo\v l e d ges tl1e н pd a te using tl1e GNB-CU Co 11fig11l'йt io 11 Upclate
Ack11 o н 1 /eclge 111essage

* Tl1e gNВ-DU Res o шc e C oo гd iп at i on ргос е d ше is a ppli c a Ы e \Vhe п а gNode В а п d а Nex t Ge n e гat i on eNode В (11g-eNode В) s liaгe
s р ес t гш11 witl1 ove1·Iapping cove1·age а ге а s . The F I АР ргосе dше is н se d as р а гt of tl1e co пes p on diп g Х п АР р1·ос е d ше, i.e. tl1e F I АР
р госеdше is н se d to ге l ау the ХпА Р messages between the CU а пd DU. The F IAP: GNB-DU Reso111·ce Cool'Cli11atio11 Request message
is н sed to eпcaps нl a te tl1e Х п АР : Е-ИТRА - NR Се// Reso111·ce Coo1·di11atio11 R eц ues t message. Similarl y, the F I А Р 1·esponse
eп capsн l ates tl1e Х п АР 1·espo11se. The DU is the ta гget fог tl1is рюсеdнrе гаthег than tl1e CU ·ьесан sе it impacts the Packet Scl1edнl eг
\vl1 icl1 is located wi thiп the DU

* Tl1e DU с а п 11se the gNВ-DU Status Indication ргосе dше to iпfoгm the CU that it is o veгl oa d e d . The gNB-DU Status /11dicatio11
111essage simply includes а fl ag to iп d i ca te whether or not the DU is o\fe1·loaded
* Tl1e Initial UL RRC Message Тга п sfег р госе dше is н sed to fo iwa гd the initi al нplin k RRC message fгo m the DU to the CU. This initial
нpliп k 111essage belongs to the Commoп Control Cha nлe l (СССН) , e.g. а п RR C Setup Reцu est message. The ргосеd ше is also t1sed to
i11 fo1·111 the CU ofthe C-RNTI which has Ьееп allocated Ьу the DU, апd to p юY ide the CU \Yith the Cel/G1·oupC011(tg pai·ameteг
s t п1 c tшe which i nc lнd es iпfoгm a ti o n гega 1·diп g tl1e RLC, М АС а пd Physica l Lауе г co пfi gщa ti o n s for the п еw co nn ec ti o п . Iп addition,
tl1e pгocedttre is н sed to iпiti ate the estaЫi shment of а UE-associated соппесti оп across the F I iпteгface. This is done Ьу proYidiп g tl1e
CU witl1 а 'gNВ -DU UE F I АР Identi ty' \vl1ich сап Ье нsed to address the UE-associated co1111ection dшiпg апу sнbseq u ent message
t1·a 11 s feг. The CU p гoY id es а coпes poпdin g 'gNВ -CU UE F I АР Id e пtity ' w ithiп tl1e fi гs t DL RRC Message Т1ш1~fе1 ·.

* Т/1 1:: DL RRC Message Тга пsfег ргосеdше is н sed to tr·aпs feг dowпl i п k RRC messages f1·0111 the CU to tl1e DU. The CU geпe1·ates the
RRC mcssages and pюcesses them witl1iп tl1e PDCP layer·. They ar·e tl1en tr·an s feпecl to tl1e DU as PDCP PDU. The DL RR C Message
T1"C111sfe1· message сап iп c lнde а fl ag wl1ich in stгн c ts tl1e DU to apply SRВ dнpl icati on . Tl1i s is app li ca Ы e wh eп tl1e со пп есti оп l1as Ьее п
coп fi gшed \vitl1 dt1plication acгoss mнltiple NR carт i eгs . D нp li ca ti o11 imp гoves гe li a Ьili ty оу tt·ans111itti11g tl1e same RRC message нs i ng
rnн ] t i p l e carт i eгs . !11 add i t i oп , the DL RRC /o,1fessage Tl'C111s(e1· message сап i п c lнd e а RAT-F1 ·eц11ency P1·io1·ity i nfoгmati o п e l emeп t to
s нрр о гt p г i ш· iti sat i oп d ec i s ioп s \Yitl1i11 the DU \\fl1e11 tra 11 s111 itt i п g tl1e RRC 111essage ac гoss tl1e a i г- iп teг face

* Tl1e UL RRC Message Тгап s fег р юсеdш·е is нsed to tгa п sfer t1pl i п k RRC messages fгom tl1e DU to the CU. The DU гecei ves RRC
111essages fю111 tl1e UE а п d pюcess e s tl1e111 witl1 i11 the Pl1ysica l, М АС а п d RLC ]ayers. They а ге th e п tгaп s feпe d to tl1e CU as PDCP
PDU
* F i guгe 44 i ll нs tгates examples ofthe I п i t i a l UL RRC Message Тгап s fег, DL RRC Message Тгап s fег а пd UL RRC Message Тгап s fег
ргосеd шеs dш i п g с опп е сt i оп setнp

- 47
5G NR in BULLETS

gNodeB gNodeB
FlAP Siqnalling
ИЕ DИ си AMF

RRC Request
lnit ial UL RRC Message

DL RRC Message Transfer

RRC Setup
-
RRC Setup Camp /ete
ИL RRC Message Transfer
- /nitia/ ИЕ Message
' lnitia/ Cantext Setup Request
ИЕ Cantext Setup Request
Security Made Cammand
ИЕ Cantext Setup Respanse
Security Mode Comp/ete
ИL RRC Messoge Transfer

DL RRC Message Transfer

RRC Reconfiguration

RRC Reconfiguration Complete

- UL RRC Message Transfer
lnitia/ Context Setup Respanse

Figure 44 - Fl АР signalling during Initial Connection Setup

* The Fl АР : UE Context Setup procedure is also visiЫe within Figure 44 (UE Context Setup Request / ИЕ Context Setup Response
handshake). This procedure is always initiated Ьу the CU. In the case of initial connection sett1p, the F !АР : ИЕ Context Setup Request
follows the NG-C: lnitial UE Context Setup Request from the АМF . The F 1АР: UE Context Setup Request message сап Ье used to
configure а set ofSignalling Radio Веагегs (SRВ) and а set ofData Radio Beaгers (DRВ) . The DU is pгovid e d with an пp l ink GTP-U
Tunnel Endpoint Identity (TEID) fог each DRВ to allow the tгansfeг of пplink 1.1sег plane data towards the CU. The F 1АР: ИЕ Context
Setup Response message specifies the corгes ponding down\ink GTP-U ТЕШ . The FIAP : UE Context Setup Request message сап also
specify а set of Secondary Cells. The DU is also provided with а ran ge of s1.1pporting information, e.g. UE capability information, DRX
c onfi gшation , Resource Cooгdination infoгmation , serving PLМN identity and gNВ -DU UE Aggгe g ate M ax imпm Uplink Bit Rate

* The F 1АР UE Context Set1.1p щoc e dure is also 1.1 sed during incoming h a nd ove г ргосеdшеs, i. e. to create а new UE context at the t a гget
DU . The signalling for an intгa-CU , i n teг-DU hando ve г is ill1.1strated in F i gшe 45. The CU re qп es ts а new UE context at the ta гget DU
immedi ately after the h a ndo veг decision, i.e. afteг гece i v in g tl1e RRC: Meas111·e111e11t R ep o гt from the UE

Source Ta rget
ИЕ DU FlA P Siqn alling DU F1AP Signallin g си

Measurement Rep art

UL RRC Message Transfer

ИЕ Context Setup Request

ИЕ Context Setup Response

ИЕ Context Modification Request

RRC Reconfiguration -
ИЕ Context Modification Response
-
Random Access Procedure
-
RRC Reconfiguration Comp/ete
UL RRC Messoge Transfer

ИЕ Context Release Command

'
ИЕ Context Re/eose Comp/ete

Fi g ш·e 45- F I AP signallin g dш· iпg Intra-CU l11te1·-D U l1 a11dove1·

* An e xi s tiпg UE c o пtex t са п Ь е modified Ьу e ith e г the CU о г DU. The CU п ses tl1e UE Co ntext Modification ргосе d ше wl1 e гeas th e DU
п s e s the UE Context Mo difi cat i o п Reg пiгed рго сеd ше

о the CU 1.1 ses tl1e U E Coп te x t Mod ific ation р го се d ше to 1.1pdate the coп fi gшa tioп p гov i d ed d шin g Initial UE Context Set1.1p. It са п
also Ь е 1.1 sed to iп s t г1.1 ct tl1 e DU to stop or гe - s t a гt tгa п s m i ss i o п to,vaгd s tl1e UE. The UE Con text Moclification Request с ап Ь е п se d
to e n cap s пl a te а п RRC message ,vhi cl1 the DU s пb se q н e пt l y tгa n s mit s to the UE. F i g шe 45 illust1·ates а п examp le of thi s - the
s ошсе DU tгa п s mi t s an RRC R eco njigш ·ation afte г гe ce i v in g it fгo m the CU ,v itl1 i п а UE Context Modification R eцu es t

о the DU п ses tl1e UE Context Modification Reg нi гe d ргос е dнге to нpd a t e the set of d owпlin k GTP-U ТЕ Ш . It са п also specify а
гe qнirement to гe l ease specific S RВ а пd D RВ . Iп additi on, it са п pгo v id e нpd a t e d iпfo гma tioп гegaгding its cells and it са п specify
а гequiгem e nt to Lipdate tl1e ге s ошс е co - oгdin a tion iпfo гmation whicl1 is appli ca Ы e wh e п а gNode В and а Nex t Gene1·ati on eNode
В (ng-eNode В) share sp ectп.1m with ove гlappiп g cove гage а геа s (Dynamic Spe c tгнm S h a riп g described iп section 17)
 sG NR in BULLETS

All existillg UE context can Ье released Ьу the CU using the UE Context Release ргосеdше . Tl1is procedшe нses the UE Context
* Release Co111111a11d / UE Context Release Comp/ete ha11dshake. The DU is аЬ\е to reqнest that the CU initiates this procedure Ьу
seI1diI1g а UE Contexl Release Request message. Sendi11g this message corresponds to the UE Co11text Release Reqнest procedнre
Тlie UE Jnactivity Notification procedure allows the DU to repoгt the i11activity stat11s of а UE. The DU i11dicates either 'Active ' or
* ' Not Active ' fог each i11dividual Data Radio Веагеr (DRВ)
Tlie Notify pгocedure allows the DlJ to i11form the CU whe11 а specific DRВ no iongeг satisfies its Guaranteed Flow Bit Rate (GFBR).
* Tliis is applicaЫe to GBR QoS Flows which have Notification Contгol enaЬ\ed. The DU is also аЫе to i11foгm the CU ifthe GFBR is
sвbseque11tly fвlfilled again
Tlie System I11foгmation
Delivery procedшe allo,vs the CU to provide the DU with а list of ' Otheг System l11formation' types to Ье
* bюadcast acюss а specific cell. ' Other System Information' iлcludes Sffi2 to Sffi9. lt is assumed that the acnial SIВ co11te11t has
ali·eady Ьее11 provided to the DU usi11g an FI Setup Response, а GNB-CU C01;figш ·atio11 Update or а GNB-DU C01iftgш·atio11 Update
Ackno 11,/edge message (i11 co11trast, the Master Information Block (МIВ) and SIВ I are owned Ьу the DU a11d can Ье provided to the CU
н s ill g the F 1 Setup Reques/ or GNВ-DU C01iftg11mtio11 Update messages. The System Information Delive1y procedнre can Ье triggered
Ьу а UE reqнest for the broadcast ofOthe1· System Infoгmation

Tlie Wгite-Rep l ac e Wami11g procedшe allows tl1e CU to initiate ог to overw1·ite the bюadcast ofwaгпing messages. These messages
* are applic a Ыe to а PuЬlic Warning System (PWS). The p1·ocedure uses the W1·ite-R ep/ace Waming Requesl / Wl"ite-Replace Waming
Response ha11dsl1ake b e tweeп the CU and DU. The W1 ·ite-Rep/ace Waming Request message inclt1des the PWS System lnfoгmation to
Ьс bгoadca s t. 1Ъе CU сап use the PWS Cancel procedшe to inst111ct а DU to stop broadcasting PWS System Iпfoгmation . The DU t1ses
tlie PWS Restai·t Indicatioп ргосеduге to provide а list ofcells to the CU which lшve PWS iпfoгmation availaЫe . The DU t1ses tl1e
PWS Failuгe lпdi c atioп procedшe to provide а list ofcells to the CU wl1eгe PWS tгaпsmissioп has failed
Tlie CU uses the Paging procedшe wheп гeqt1esti11g the DU to page а specific UE. The Paging message iпcludes the UE ldentity Index
* \Vliicl1 сап Ье нsed to calcнlate the Pagiпg F1·ame fог the ta1·get UE. The Paging message also inclнdes either а RAN UE Pagiпg Ideпtity
(I-RNTI) ог а С оге Netwoгk UE Paging Identity (S-TMSI). Ал 1-RNТI is allocated to а UE when t1si11g tl1e RRC Inactive state. The
DU is also provided with the paging DRX cycle length, the pagiпg pгioгity and the list of cells which are required to tгansmit tl1e
pagi11g message
* Tl1e t1s e г plane of the Fl inteгface (F 1-U) tra11sfe1·s applicatioп data between CU and DU . GTP-U t1111nels are t1sed to tгansfeг tl1e
application data. These tunпel s аге identified нsing theiг Tt1nnel Eпdpoint ldeпtifieг (ТЕШ). А t111111el is set11p for eacl1 Data Radio
В еа 1·е 1· (DRВ) . The вs е г plane pгotocol wl1ich 11111s above tl1e GTP-U laye1· pгovid es va гious control mecl1a11isms associated with the
t1·a11 sfcr of dow11link data . These co11t1·0I mecha11isms iпclttde flow contюl , packet loss detectio11 and successft1I deliveгy гepo1· ti11g . А
si11glc t1 se г pla11e pгotoc ol wl1ich is applic aЫ e to tl1e Х 11 , FI a11d Х2 inte1·faces is specified ,vitl1i11 3GPP TS 38.425. Tl1e fгa me foпn a t s
tised Ьу th e t1se1· plane pгoto col а ге illн s trate d i11Fi gшe3 1 (section 1.5. 3). PDU Тур е О is se11 r Ьу the CU, w l1 e гea s PDU Тур е I is se11t
Ь у tl1c DU.

* 3GPP Refe гe 11 ce s : TS 38.470, TS 38.47 1, TS 38.472, TS 38 .473 , TS 38 .474, TS 38.425

1.6.3 Е1 INТERFАСЕ

* Tl1e Е I iпteгfac e соппесts the Centгalised Unit Control Plane (CU-CP) to the Centгalised Unit User Plane (CU-UP). The Е I i11teгface is
011ly гeqt1i1·e d to transfeг control рlапе signalling. Application data is 110t transferгed acгoss the Е I interface
* Figure 46 illt1strates the coпtrol plane protocol stack belonging to the El interface. The protocol stack нses SCTP оvе г IP, i.e. the
tгa 11 s poгt layers аге the same as those t1sed for the contгol planes ofthe Xn and Fl iпterfaces

Control Р/апе
El-C
г-- i
: ElAP : Radia
: ЗGРР TS 38.463 : Netwark
!___________________________! Layer gNadeB

CU-CP CU-UP
SCTP
Transp ort
/Р Layer
DU
Dato Link Layer

Physica/ Layer

Fi g ш· e 46 - Pr·oto col stacl{ fo1· El i11te1·fa ce

- 49
* Control plane signalling across the Е I interface is based t1pon the Е I Application Protocol (EI АР) . Signalling procedures are
categorised as Interface Management or Bearer Context Management. ТаЫе 7 presents the procedures belonging to each category
* The gNВ-CU-CP Е I Setttp and gNВ-CU-UP Е I Setttp procedures are t1sed to create а logical Е I connection between the CU-CP and
CU-UP. The fonneг is initiated Ьу the CU-CP whereas the latter is initiated Ьу the CU-UP. It is not necessary to complete both
procedures. The t1nit wl1ich initiates the setttp of tl1e SCTP connection also initiates the Е I Setttp procedure. In both cases, the majority
ofinfonnation is transfeпed from the CU-UP towaгds the CU-CP. The CU-CP only has to provide its name during the handshake. The
CU-UP provides its name in addition to Core Network support and PLМN support. Core Network support indicates support for tl1e
ЕРС and/or 5G Соге Network. PLМN support provides а list of PLМN identities and for each PLМN the CU-UP сап specify а list of
Network SJices, а list of cells and а set of supported QoS parameters
* The gNВ-CU-CP El Configuration Update and gNВ-CU-UP EI Configuration Update procedures are used to modify an existing El
connection. The fonner is initiated Ьу the CU-CP whereas the latter is initiated Ьу the CU-UP. The procedure initiated Ьу the CU-CP
сап Ье used to update El transport network layer information. The procedure initiated Ьу the CU-UP сап Ье used to t1pdate the set of
suppoгted PLМN

lпterfac e Мапаgешепt Proc edнres Bearer Coпtext Ma11age111e11t Procedures

gNВ-CU-CP El Setup Bearer Context Setup
gNВ-CU-UP E l Sett1p Bearer Context Modification
gNВ-CU-CP El Configнration Update Bearer Context Modification Reqt1ired
gNВ-CU-UP чI Configнration Update Bearer Context Release
Reset Bearer Context Release Reqt1est
'
Error lndicatio,n Bearer Context lnactivity Notification
E l Release ' DL Data Notification
Data Usage Report
gNB-CU-UP Cot1nter Cl1eck

ТаЫе 7- ЕI Application Protocol (El АР) Procedures

* The CU-CP t1ses the Веагеr Context Sett1p pгocedure to sett1p the геsошсеs fог а new connection at the CU-UP. The CU-CP generates
the secшity keys for t1seг plane ciph e гing and integ1·ity pгotection. These are provided to the CU-UP witl1in the Ве0/'е1· Context Setup
Request message. This message also specifies th e se гvin g PLМN id e пti ty and tl1e UE Downliпk Aggregate Max imt1m Bit Rate. The
ВеО/'ег Context Setup Request message сап also speci fy \Vhetheг the Ь еа ге г context is to Ь е st1spended ог гes t1me d . The set ofDRВ аге
c onfi gшe d Ьу pгoviding PDCP lауег i11fo1·mation \vhen connected to the ЕР С, and Ьу pгovidin g SDAP а пd PDCP lауег information
when connected to the 5G Соге Net\voгk. Inactivity timeгs сап Ье pгovid e d for each DRВ , or each PDU Session

* The CU-CP сап use the Bearer Context Modification ргосеdше to modify the majoгity ofpaгamete1·s which wel'e coпfigшed during tl1e
Веагег Context Sett1p pгocedure, e.g. secшity keys, UE Downlink Aggгegate Maximt1m Bit Rate, inactivity timers, PDCP and SDAP
parameteгs. Iп contгast, tl1e serving PLМN cannot Ье !'econfigured using this procedure. The Веагеr Context Modification ргосеdше
сап also Ье used to add new PDU Sessions and new DRВ , 01· it сап Ье used to remove any of the existing PDU Sessions and DRВ

* The CU-UP сап use tl1e Bearer Context Modification Reqt1ired procedure to remove апу of the existiпg PDU Sessions апd DRВ. It сап
also use the procedure to modify downliпk t1·ansport netwoгk layer infonnation
* The Веагеr Context Release ргосеdше сап Ье initiated Ьу the CU-CP. It is used to release the El connection for а specific UE. The
CU-UP сап use the Bearer Context Release Reguest procedшe to request the CU-CP to initiate the Bearer Context Release р1·ос еdше
* The CU-UP t1ses the Bearer Context Inactivity Not ification procedшe to гeport inactivity based upon the inactivity timers which were
configured dшiпg the Bearer Context Setttp ш· Веагег Context Modification pl'ocedшes. The UE l'eports inactivity for specific DRВ if
inactivity timeгs wеге configшed fог iпdividual DRВ. Similarly, the UE repo11s inactivity for specific PDU Sessions if iпactivity timeгs
wеге configшed fог individt1al PDU Sessions. Alternatively, the UE reports inactivity at th e UE level if а UE level inactivity time г was
configшed

* The CU-UP uses th e DL Data Notification ргосеdше to indicate that do\vnlink data has aпived fог а specific UE. The DL Data
Notification message опlу i11clt1des the CU-CP and CU-UP UE Е 1АР identities
* The CU-UP uses tl1 e Data Usa ge Repol't ргос е dше to pгovid e tl1e CU-UP with iп foпnation l'egarding the qt1aпtity ofuplink and
downlink data tгan s fe пed Ьу а specific DRВ. Data volнm es аге гeported fог one ог mогс time wiпdows
* The CU-UP uses the gNB-CU-UP C ot1nte г Check ргосе dше to ve1·ify the PDCP COUNT va lн es ass ociated \Vith one ог mo1·e D RВ .
Т11е с ште nt PDCP COUNT valt1es аге p1·ovided to tl1 e C U-CP witl1in а GNB-CU-UP Cou11te1· C/1eck Request message. Tl1e CU-CP is
tl1 en гespon s iЫ e fo1· cl1ec king these valt1es witl1 th e UE, i.e. tl1e CU-CP sends ап RRC: Co1111te,-C/1eck message to the UE. Tl1e UE
cl1ecks the PDCP C0llllt valt1es апd 1·eports апу diffe гen ces t1sing an RRC : Co1111/e1·C/1eckR espo11se message. If differences а 1·е fot111d,
the CU-CP сап e itl1 e г гe l e a se the соппесtiоп 01· repoгt tl1 e diffe1·ences to the АМF or О&М sе гvег
* 3GPP Refeгence s : TS 38.460, TS 38.461, TS 38.462, TS 38.463

50
 5G NR in BULLETS

1.6.4 NGINTERFACE
Tlie NG inte1·face connects а gNode В to tl1e 5G Core Network. The control plane ofthe NG (NG-C) allows signalliпg betweeп а
* gNode в апd ап АМF. The user plane ofthe NG (NG-U) allows the tгaпsfer ofappl1cat10n data bet\veeп а gNode В and а UPF

ffthe CU-DU Split Base Station architecture is нsed , then these inteгfaces connect the CU to tl1e 5G Core Net\vork. lfthe CP-UP
* Separation Base Statioп architectшe is used then the NG-C connects the CU-CP to опе or more АМF, while the NG-U connects the
CU-UP to uпе or more UPF
Fi gнre 47 illн stra tes the control рlапе and нser plane protocol stacks belonging to the NG interface. The control рlапе нses SCTP over
/Р , wliereas th e useг plane uses GTP-U over UDP over IP, i.e. the tiansport layers are the same as those LJsed for the Xn interface

AMF AMF ИРF UPF

Cont;ol Plane User Plane
NG-C NG-U
---------- ------------ ---------------- -----------
NGAP User Р/апе Protoco/ ' Radia
ЗGРР TS 38.413 3GPP TS 38.415 : Network
--- -- Lауег
----- --- ---------------- -- ---------------- --------- -----·
--- -- - -- , - - -~ - - ~ :

GTP-U
''
SСТР UDP
Transport
IP IP Layer

Oata Link Lауег Data Link Layer

Physica/ Layer Physical Lауег

Figш·e 47 - P1·otocol stack fo,· NG i11terface

* Л s iп g l e Base S ta tioп сап Ье соп п есtеd to опе ог тоге АМF. Tl1e Base Statioп is гesponsiЫe fог se l ectiпg ап iпiti a l AMF нsing its
№ 11 -Access S tгa tшn (NAS) Node Selection fuпctioп . Tl1e 5G S-TMSI сап Ье ttsed as an iпрнt fог AMF se l ec tioп ifp1·ovided Ьу the UE
dшiп g RRC Со пп ес ti о п set1.1p . А UE сап inclнd e 39 Ьits of its S-TMS I \Vitl1in tl1e RRC Set11p Request message апd the гe maiпiп g 9 Ьit s
1vitl1i11 the RRC Setup Co111plete message. The S-TMSI is а со п са tе п а tiоп oftl1e АМF Set ld e пtity, tl1e АМF Ро iпtе г а пd tl1e 5G-TMSI.
Tl1is i11fo miatio11 all o\vs tl1 e Base Statioп to id eпt i fy tl1 e AMF to \Vl1icl1 tl1e UE has p1·ev ioн s l y гeg ist e г e d. lfthe 5G S-TMSI is поt
pгov i cl e d , tl1 e Base S ta ti o п са п н sе Netwoгk S li ciпg iпfoпn a tioп fгom the RRC Set11p Co111plete message, i.e. tl1 e UE сап pгo v id e а list
ot·s-NSSAI \\' itl1iп the RRC Setup Complete message

* А s iп gle Base Station сап Ье connected to one ог more UPF. The SMF is 1·espoпsiЫe for selectiпg ап арргоргiаtе UPF dшiпg the setLJp
of а PDU Sess ioп. The selection alg01·ithm сап accoLJnt fог UPF load, geogгaphic location, Net\vork Sliciпg , sнppoгted featuгes а пd
PDU Sessioп Туре (1Pv4, !Рvб, Ethemet, Unstгнctuгed). Load iпfonnation сап help the SМF \о balance пetwork load acгoss multipl e
UPF. The SMF pгovides iпfoгmation to the АМF гegaгding the selected UPF and the АМF info1·ms the Base Statioп

С опtгоl рlапе sigпalling acгoss the NG inteгface is based 1.1роп the NG Application P1·otocol (NGAP). ТаЫе 8 preseпts the set of
* NGAP s igп a lliп g procedшes groLJped into categoгies

* Tl1e NG Setup procedшe is нsed to c1·eate а logical NG-C connection bet\veen the Base Station апd an АМF. The NG Seh1p ргосеdше
is always initiated Ьу the Base Station . The Base Station mLJst know tl1e IP addгess ofthe АМF апd mLJst estaЫish an SCTP connection
i11 advaпce oftl1e NG Sehtp procedшe. The ргосеdше is based Llpon an NG Set11p Req11est / NG Set11p Response liandshake

о tl1e NG Setup Req11est is LJsed to infoгm the AMF ofthe Base Statioп identity, sнppo11ed Tгacking Агеа iпfoгrna tion and th e
defaнlt paging DRX cycle. Tгacking A.i-ea iпfoгmation inclLJdes the Trackiпg Агеа Code (Т АС), the set of sнppoгted PLМN
ideпtities апd the set of SL1ppoгted Netwoгk Slices fог eacl1 PLМN

о tl1e NG Setup Response is LJsed to pгovide the Base Statioп \Vitl1 а list ofsнppoгted PLМN , а list ofGlobally Uniqнe АМF
Identities (GUAМJ) апd а relative А.МF capacity. А set of supported Network Slices is specified fог eacl1 PLМN. Jпcludiп g а list
ofGUAMI гаthег thaп а siпgle GUAMI l1i ghlights tl1e possiЬility ofa single AMF havin g mLJltiple ideпtities. Tl1e GUAМI is а
c oncate п a tioп oftl1e МСС , МNС , AMF Regioп Jdeпtity, АМF Set Jdeпtity апd АМF Pointer. All AMF \vithiп а specific AMF Set
Sttpport the sa me Ne twoгk Slices. Coпfigш iп g а п AMF to beloп g to mнltipl e AMF Sets a llows tl1e AMF to s LJppoгt diffe 1·e пt
combiпati o п s of Ne t\voгk S li ces. The NG Setup Response са п a lso specify а back- ttp AMF fo1· еас/1 GUAM I to Ье appli ed iп case
ot'fa ilшe . Tl1e ,·elative A.MF capacity сап Ье tt sed Ьу tl1 e Base Stat i o п wl1eп load ba l anciпg соппесti опs acгoss AMF
* Tlie NG Reset р госеdше са п Ье iпiti ated Ьу e itl1 eг th e Base Stat ion ог the А.МF. T l1e Base Statioп initiates the ргосеd uге iftlie,·e lias
Ьееп а failшe at the Base Stat i oп гesн l tiпg in the loss of NGAP UE coпtext infoпnatioп. S imilaгl y, th e AMF initiates tl1e ргосеdше if
tli er·e l1;is Ьееп а failшe at tl1e AMF. The ргосеdше allows the r·emoval ofall NGAP UE coпtex ts, or а spec ific sLJbset of NGA.P UE
co пtexts

51
5G NR in BULLETS

l11terface Ma 11 ageш e 11t Procedures UE Co пt ex t Ma 11 age ш e11t Procedures

NG Setup Iпitia l Context Setup
NG Reset UE Context Modificatioп

RAN Co11figuratio11 Update RRC Iпactive Traпsition Report

АМF Co11figuratio11 Update UE Coпtext Release Request
Епоr Iпdicatio11 UE Context Release
АМF Statнs Iпdicatioп

Overload Start PDU Sess ioп Ма паgеш е пt Procedнres

Overload Stop PDU Sessioп Resource Setup

PDU Sessio11 Resource Modify
UE Mobi li ty M a n ageш e 11t Pro c edнres PDU Sessio11 Resource Modify Indicatio11
Haпdover Preparat ioп PDU Sessioп Resource Notify
Haпdover Resource Allocation PDU Sessioп Resource Release
Haпdover Notificatioп

Patl1 S\vitcl1 Request Co nfi gшa t ioп Tra п s fer Procedшes

Haпdover Caпcellatioп Uplink RAN Co11figuratio11 Traпsfer

Upliпk RAN Status Tratisfer Do\vn link RAN Coпfigнratioп Traпsfer
Do\vnliпk RAN Status Traпsfer
Wam i пg Message T raпsшi s s i o п P rocedнres
P ag i п g P rocedнre s Write-Replace Warn ing
Pagiпg PWS Сапсе l

PWS Restart !пdic atioп

Tra11sport of NAS Messages Pгoced t1res PWS Failнre Iпdic atioп

lпit i a l UE Message
Do\v11li11k NAS Transport Nl,PPa Tra11sport P ,·o ced нres

U pli п k NAS Traп s port Do\vt1li11k UE Associated NRPPA Traп sport

NAS No11 Delivery Iпdi c atioп Upliпk UE Associated NRPPA Traп s port

Rerot1te NAS Reqt1est Do\vn l iпk Non-UE Associated NRPPA Traп s port

Up l i п k Non-UE Associated NRPPA Transport

Trace Proc edшes

Trace Start Lo c a ti o п Reporti11g Pro c edшes

Trace Fai lure Iпd i cation Location Reporti п g Control

Cell Traffic Trace Location Report
Deactivate Trace Locatioп Report Fai lure Iпdicatioп

UE Radio Capabili ty Ma11 ageшe nt Pюc edt1res UE TN LA Bi11di11 g Proced ures

UE Radio CapaЬility lnfo [пdication UE TNLA Bindiпg Re lease
UE Radio CapaЬi l ity Check

ТаЫе 8 - NG Application Pt·otoco l (NGAP) P1·oc e dю· es

* The RAN Confi gшatioп Update ргосеdше is initiated Ьу the Base Station. It is нsed to pгov i d e нpdates гegaгd i ng the sнpported
Tгacking А.геа infoгmat i oп and tl1e defaнlt pa g iп g DRX cycle. The Tгacking А.геа i nfoгmatioп i nc l нdes tl1e Tracking Агеа Code (ТАС) ,
the set of sнppoгted PLМN identities and the set of sнppoгted Netwo гk Sl ices for eacl1 PLМN

* The АМF Configuгation Update procedшe is initiated Ьу the AMF . It is 11sed to pгo v ide нpdates гegaгding the sнppoгted PLМN, а li st
ofG1obally Un i qн e AMF Identities (GUAМI) and а relat ive AMF capacity. It сап also Ь е нs e d to add, гemov e ог нpdate Tгan s po rt
Ne twoгk L а у е г ( ТN L) Associati ons wl1 ich include ап IP a dd гess , 11sage infoгm a tion (UE associated signalli ng, non -UE associated
signalling, ог botl1) and а We igl1t Fac to г used fог 1oad balanc ing
* Tl1e Еггоr Indication ргос е duге сап Ье i пitiated Ьу e itl1 e г tl1 e Base Stat ion ог AMF. It is used to герогt that an е гго1· has bee n detected
witl1in ап incoming message. It is app li caЫe when tl1e е пог cannot Ь е re poгted н s in g а fa iluгe message b e l oп g in g to th e 1·elevant
signalling ргос е dше. T l1e рго се dше н s es only the Е1то1· Jndication message
* Tl1e АМF Status Iпdicatioп proceduгe allows the AMF to provide tl1e Base Station with iпfoгmat i oп regaгding lmavai laЫe GUAM I апd
to specify an appropriate Ьасk-нр АМF

52
 sG NR in BULLETS

TI ЛМF нses the Ove1·load Start procedшe to гestrict the signalling load from th e Base Station. Overload сап Ье indicated fог the
* д~F as а wlюle ог for specific Network Sli_ces. The 011e,-/oad Staгt message сап inclнde an ' АМF Overload Response ' infoгmation
1 ent which specifies the types of s1gnallш g traffic to reJect, e.g. гeJect RRC Connectюn estaЫ1shments for non-emergency mob1le
е e~nated data. The 011e1·/oad Sta,·t message сап also inclнde an 'АМF Traffic l,oad Redнction Indication ' to specify the percentage of
~-~~ic 10 гeject. Tl1e АМF пses the Overload Stop procedшe to sнbseqнently ind icate that the overload sitпation has ended and noпnal
о регаliол сап resнme

Tlie Jпitial Coлtext Setнp procedшe нses the NGAP: Initial Context Setup Req1.1est / Initial Context Setup Response handshake to
* епе;аtе а UE context at the Base Station. An example of this ргосеdше based проn UE гegistration is illнstrated i11 Figшe 48. The
~ GAP : Jnitial UE Message triggers the АМF to staп the procedшe. The АМF uses the Initial Context Setup Request to signal the UE
·е снгitу capabilities and а secнrity key. The АМF also specifies the set ofNet\vork Slices whicl1 the UE is peгmitted to пsе and the
~lobally Uпiqнe АМF Ideпtity (GUAMI). In addition, the message сап inclнde the UE Radio Capability; а Mobility Restriction List; а
reqпe st for the Base Station to inform the АМF when the UE enters 01· leaves the RRC Inactive State; and an Emergency F~llback
Jndicator. The Initial Context Setup Request сап also encapsпlate а NAS message to Ье forwarded to the UE. The example ш F1gнre 48
illн s н·a tes the Regist1·atio11 Ассер! eпcapsнlated within the Initial Context Setup Request. In addition, the lnitial Context Setup Request
са п Ь е нsed to гeqнest the setup of а PDU Session, and in tl1is case а second NAS PDU сап Ье inclнded for the UE. The Base Station
Lises 1lie Jnitia/ Context Setup Response message to acknowledge the set1.1p of any PDU sessions which were гequested Ьу the AMF

ИЕ SGBTS NGAP Siqnalfinq AMF

RRC Setup Request

RRC Setup

RRC Setup Complete

(NAS: Registration Request) NGAP: lnitial ИЕ Message
(NAS: Registratian Request)
r

Aut/1enticotion & Security Mode

1 1

NGAP: lnitial Cantext Setup Request

RRC Reconfiguration (NAS: Registration Accept)
(NA S: Registration Accept)

RRC Reconfigura tion Comp lete

NGAP: /nitia/ Context Setup Response

Figш·e 48 - Еха шрlе of NGA P Initial Context Setup р1·осе(lш·е

* Tl1e Base Station нses tl1e RRC Inactive T1·ansition Report procedшe to infoпn tl1e AMF when the UE moves between the RRC
Coпnected апd RRC Inactive states. The RRC Inactive Tmnsition Repo1·t includes а flag to indicate that the UE has moved into RRC
Со ппесtеd ог has moved into RRC Iпactive. The герогt also specifies tl1e UE location in teпns ofTracking Area Ideпtity (TAI) апd
Cell Global Id e пtity (CGI). The age ofthe locatioп is also specified нsiпg а time stamp

* Т11 е Base Station нses the UE Context Release Regпest procedшe to trigger the AMF to initiate the UE Context Release procedшe.
Tl1e UE Coпtex t Release Reqt1est ргосеdше involves the Base Station seпding an NGAP: ИЕ Context Re/ease Request message to the
AM F. The Al\ llF then initiates the UE Context Release Ьу seпdi11g an NGAP : ИЕ Context Release Command to the Base Statioп. Tl1e
Base Station completes the procedшe Ьу гet1.1rning an NGAP: UE Context Release Complete message. Alternatively, the АМF сап
iпitiate the UE Context Release ргосеdше withoнt being tгiggered Ьу the Base Station

* PDU Sessions аге managed Ьу the SMF whereas NGAP messages а1·е excl1anged bet\veen the Base Station and АМF. This meaпs that
NGAP messages are used to package the messages being sent to апd fгom the SMF. The АМF is respoпsiЫe for p ackagiпg thcse
messages in th e downliпk diгectioп , апd for extгactiпg them iп the нplink directioп, i.e. the AMF acts as а гопtеr bet\veen the Base
Station анd АМF

* The PDU Session Resoшce Setнp procedнre iпvolves the SMF providing the АМF \vitl1 а PDU Session Reso111·ce Setup Reчuest
Tm11sf e1· pa 1·ameteг stп.1ctшe . The АМF packages this parameteг stгuctшe \Vithiп ап NGAP: PDU Session Resouгce Setup Request
п1 ess a ge and forwaгds it to the Base Station. Tl1e paramete1· s tп.1ctшe fгom tl1e SMF specifies the set ofQoS Flows to Ье set1.1p fог tl1e
PDU Sessio11. It also provides the Base Statioп \Vitl1 the IP addгess апd GTP Тнnпеl Eпdpoint Ideпtity (ТЕШ) fог forwardin g t1plink
da la to\vaгds th e Useг Рlап е Fнnctioп (UPF). Iп additioп , tl1e Base Statioп is told the PDU S ess i oп type (IP v4, IP vб , IPv4v6, Etl1emet
о г U пs tructшed) апd tl1 e PDU Se ss ioп Aggrega te Ma x i111шn Bit Rate (AMBR). The Base Stati o п гespoпd s Ьу pack ag iп g а PDU
Sessioп Reso111·ce Setup Respoпse Tm11s_fe1· ра га 111еtег stп.1ctшe w ithin а11 NGAP : PDU Sess io11 Reso111·ce Setup Respo11se 111essage. Tl1 e
АМF exti-acts tl1i s para111eteг stгн сt1ле and fo1,vaгd s it to tl1e SMF

* Tlie PDU Sess ioп Resoшce No tify щосеdше a llows the Base S tatioп to iпfшm tl1e SMF (via the АМF) that а GBR QoS Flo\v is по
l о пgег acl1ieving its Gt1aгa пteed Flow B it Rate (GFBR). The SМF may theп modi fy О1' release tl1 e QoS F low. Tl1e Base S tatioп сап also
н sе tl1e р1·осеdше to infoпn tl1e SM F tliat а GBR QoS Flow is achieviп g its GFBR a fteг prev ioн s l y failin g to achi eve its GFBR.
A lteпiative l y, the Base Station сап use th e procedшe to infoг111 tl1e SMF that 1·esoнrces fог а specific PDU Sessioп have Ьееп гe l eased

53
5G NR in BULLETS

* Figure 49 ill1.1strates the combination ofthree NGAP UE Mobility Management procedшes: Handover Preparation, Handover Reso1.1rce
Allocation and Handover Notification. These procedшes are il\1.1strated as part of an NG based handover (in contrast to an Xn based
Handover)
* The NGAP Handover Preparation procedшe is applic aЫe to both intra and inter-system NG based handovers. The procedшe is
initiated Ьу the sошс е Base Station sending an NGAP: Hando11a Requiгed message to the АМF. This message incl1.1des content whict,
is read Ьу the АМF. It also incl1.1des content which is forwarded to the SMF and content which is forwarded to the target Base Station. ·
The АМF is provided with information regarding the handover type and ca1.1se, as well as the identity ofthe target Base Station. The
haпdover type сап Ь е set to {intra-NR, NR to LTE-EPC, NR to LTE-5GC, LТЕ to NR} . The SМF is informed whether or not the
sошсе Bat e Station has а direct path for forwarding data towards the target Base Station, i.e. an Хп interface for intra-NR handovers.
The target Base Station is provided with infonnation regarding the set ofincoming PDU Sessions and QoS Flows. Th is incl1.1des the
mapping between QoS Flows and Data Radio Bearers (DRВ) . The target Base Station is also provided with information rega гdin g the
UE capability, the Access Stratнm configuration and the Radio Resoшce Management configuratioп
* The NGAP Handover Resoшce A\location procedшe involves sigпalling between the АМF and the target Base Station. The example
il11.1strated in Fi g1.1гe 49 ass1.1mes that а single АМF serves both the sошсе and target Base Stations. It is also possiЫe that the hando,rer
procedшe triggers а change ofserving АМF . The Handover Resoшce Allocation procedure is initiated Ьу the АМF sending an NGAP :
Hando11e1· Requesl to the taгget base station. The NGAP: Ha11dove1· Requesl Acknowledge inc\1.1des the RRC Conneclion
R econjigш·ation message which will Ь е sent to the UE as а handover command

* The NGAP Handoveг Preparation procedure is completed when the АМF responds to the sошсе Base Station with an NGAP:
Ha11do11e1· Command message. This message is 1.1sed to start the handover exec1.1tion phase. The NGAP: Ha11dove1· Command forwards
th e RRC Co1111ectio11 Reco11jigш·atio11 message to the source Base Station . The source Base Station is then аЫ е to 1.1se SRВI to transmit
the RRC Co1111ectio11 Reconjigul'Glion towards the UE
* The Handover Notification procedpre is 1.1 sed to inform the AMF that the UE has been identified at the ta гge t Base Station and that the
handover has been completed

Source Targ et
Base Station NGAP Siqnallinq Base Station NGAP Siqnal/inq AMF
ИЕ

Measurement Report

Handaver Required

Handa ve r
Preparation
"'"'""
Resource
Allocatian
{ . Handover Request

Handover Request Acknow/edge

-
Handover Command

RRC Co nnection Reconfigurati, п

RRC Connection
Reconfiguration Comp/ete

Handover Notifv } Handover

Notification
ИЕ Contex t Re/ease Command
ИЕ
Context
Re/eose
{ ИЕ Context Re/ease Commond Complete

Figure 49 - NGA P signalling dш·ing ап NG ba sed lia11dove1·

* The Path Switch Reg1.1est procedure сап Ье 1.1sed as р а гt of an Xn based handoveг to гe l oca te the NG-U connection fгom the sошсе
Base Station to the ta гget Base Station . This proc edшe с ап also Ье 1.1 sed when res1.1mi11g а connection from RRC Inactive if th e
connection is being гes t1m e d оп а ne\v Base Station

* The Paging proc e dшe is 1.1 sed to fo1waгd an NG AP : Paging message to а Base Station. This message incl1.1des th e UE identi ty, the
taгge t Tгackin g А!'еа Identities апd iпformation гe ga гdiп g tl1e timing of th e paging DRX cycle. The message сап also specify
гe comm eпd e d cell s fо г pag ing and а pa g iп g pri o гi ty

* Nо п Access Strat1.1m (NAS) s i gпa lliп g procedures а ге co mpleted bet\ve eп the UE а пd AM F/SMF. The NGAP ргосеd шеs fOI· the
Tra п s poгt of NAS Messages are 1.1 sed to t1·a11 s fe г NAS messages bet\veen tl1e Base S tatio п а п d АМF, i.e. the NGAP messages а ге t1sed
to package N AS messages. Tl1e Base S t a t ioп t1ses the Tni ti al UE Message рго с еdше to fo rwa гd tl1e fiгs t 1.1plink N AS message to th e
АМF. Thi s р госеd ше initi ates tl1e set1.1 p of а п NG-C conп e ct i o n fо г tl1e UE. The АМF с а п 1.1 se the Re гo 1.1te NAS Req t1est p 1·oce dt1гe to
гe q1.1 es t that th e Base Stati on s e пd s tl1 e NGAP : Initial ИЕ Message to а diffe гent AMF . Tl1e NAS No п-D e liveгy Tпdi cat i o n proc e dшe
allo\vs tl1 e Base Stat ion to ге ро1· t а failшe to d e li ve г а dowпliпk NAS message to а UE
* 3GPP Re fe гe nc es: TS 38.4 13

54
 5G NR in BULLETS

X2INТERFACE
1.6.5
TI Х2 inte1·face was originally introdL1ced within tl1e release 8 veгsion ofthe ЗGРР specifications. Its primary fL1nction is to pгovide
* 1~trol plane and L1seг plane connectivity between two L ТЕ Base Stations ( eNode В). The Х2 iпterface \Vas llpdated \vithin the гelease
1
~~ versioп oftl1e specifications to allo\v connectivity bet\veeп an eNode В and а gNode В. This is а гeqL1irement fo1· tl1e Non-
St a пd a lon e Base Station a1·chitectL1гes 3, За and Зх

Figш·e 50 illнst 1·ates the control plane and llseг plane protocol stacks belonging to tl1e Х2 interface. The control plane L1ses SCTP оvег
* !Р , whereas tl1 e L1ser plane l!ses GTP-U over UDP over IP

Tlie Х2 inteгface сап Ье intemal to а Base Station cabinet rathe1· than llsing the t1·ansport network. The eNode В and gNode В
belonging to tl1 e Non-Standalone Base Station aгchitectшe can Ье co-sited. The hardware implementation may allow both Base
Stations to Ь е accommodated within а single cabinet. In this case, the cabinet is likely to provide dii-ect connectivity between the two
Base Stations. Tl1is direct connection is still an Х2 interface bl!t does not reqL1ire the пsе of а transport network

Contm l Plane Иsег Р/апе

Х2-С Х2-И
,---- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - !:

Х2АР User Р/апе Protocol Rodio

, 3GPP TS 36.423 3GPP TS 36.425 , Network

Lоуег

1
i ---~~~-------- ---- ---- ----- --------- ---------- -1 -------- --- - :
GTP-U

SСТР UDP
X2-U
/Р /Р
Transport
Layer ·~
eNode В
~ ----~--
Х 2 -С
~
gNode В
Dota Link Layer Data Link Layer cu
Physical Layer Physica/ Layer gNode В
DU

Fi g ш· e 50 - P1·otocol stacks fo1· Х2 inte,·face

* Co11t1·0I р l а п е sigп a llin g ac гo ss tl1e Х2 inte1·face is based ttp o п tl1e Х2 A ppli ca ti o п Pюto co l (Х2А Р) specified wi tl1in 3GPP TS 36.423.
S i g п a llin g ргосе dшеs а ге ca tegoгi secl as G loba l, Mobility, Dн a l C onnecti vity 01· E-UTRAN - NR Dн a l Co nn ectivity. Та Ы е 9 p1·esents
tl1 c set of E-UTRAN - NR DL1al C oпп ec tivity рго се dшеs

E - U Тl~AN - NR Dн a l Co1111ec ti vity Procedнres E-U TR AN - NR Dнa l Cш 111 ec ti,· it y P i-oced н res

EN-DC Х2 Setнp MeNB Iпitiated SgNВ Release

EN-DC Co11figнratio11 Update SgNВ Iпitiated SgNВ Release
EN-DC Cell Activatio11 SgNВ Cot111ter Cl1eck
SgNВ Additio11 Preparation RRC Transfer
SgNВ Reconfigнratio11 Complete Secoвdary RA Т Data Usage Report
MeNB Jлitiated SgNВ Modification Preparation Partial Reset of EN-DC
SgNВ Jлitiated SgNВ Modificatio11 E-UTRA - NR Cell Resoшce Coordiвatioп

SgNB Cl1aвge SgNB Activity Notificatio11

ТаЫе 9- Х2 Application Protocol (Х2АР) Ргосеdш·еs for E-UTRAN - NR Dual Con11ectivity

* Tl1e RRC Tгans feг ргосе dше is L1sed to геlау RRC messages between tl1e eNode В and gNode В. The eNode В lюsts tl1e RRC p1·otocol
stack layer fог SRВ I and SRB2 when нsing the Noп - Standaloп e Base Station aгc l1itectшes 3, За а пd З х . The eNode В can confi gшe
SRВ I and S RВ2 as 'Split ' SRВ which геqнiгеs SRВ messages to Ье fo1waгded acю ss the Х 2 inte1·face

* Tl1e Seconda1·y RA Т Data Usage Repoгt allows th e gNode В to гер01·t llplink апd d owпliпk data volпmes tгansferгed Ьу eacl1 E-RAB.
Tl1e eNode В сап fo1waгd thi s iпfoгmation to tl1 e ММЕ fог chaгging pllгposes. The S 1 Application Protocol (S l АР) lias been пpd a ted
to allo\v tl1 e t1·ansfe1· of th ese герогts
* Tl1e SgNВ Ac tivity Notificat io11 рюсеdше allo ws tl1 e gNode В to iпdi ca te acti \l ity fо г а spec ifi c UE, о г fо г а spec ific Е-RАВ.
A lteп1 ati ve l y, tl1 e gNo de В са п п sе tl1 e рго се dl!ге to iпdi cate iп a cti v i ty. Botl1 ind i ca ti o п s ca n Ь е н se d to s t1p po гt Radio Resoшc e
Man agemeп t, e.g. th e гel ease o f геsошсеs dl!e to iп acti v i ty

* The t1 se1· plane of the Х2 inteгface (X2-U) tгa п s fe 1·s appli ca ti on data bet\veen tl1e gNode В апd eNode В н s iпg GTP-U tнпп е l s . T l1 e
LТЕ ttseг р l ап е pюtocol spec ified w itl1i11 З GРР TS 36.425 is н sed fог thi s рш-роsе . О пl у minoг changes wеге made fог th e pшposes of
the No n -S taпda loпe Base S tatioп a rchitectшe
* 3GPP References: TS 36.423, TS 36.425

55
5G NR in BULLETS

1.7 PROTOCOL STACKS

1.7.1 USER PLANE

* The user plane protocol stack is responsiЫe fог transferring application data between the end user and the application serveг
* Figure 51 i\lustrates the user plane protocol stack when assuming а TCP/IP app\ication and а Standalone Base Station connected to the
5G Саге etwork. The use ofa TCP/IP application means that the UE has setup а PDU Session with the type configured as ' 1Pv4',
'IPvб' or 'IPv4v6'. Other examples cou\d Ье based upon PDU Sessioпs which have been setup with the type configured as 'Ethernet'
or 'Unstructured '
* Unstructured packets do not have headers to support routing towaгds the application server, i.e. there is no IP header specifying а target
IP addгess, nor is there an Ethernet header specifying а target МАС address. Unstructured packet transfer may Ье appropriate fOI'
applications generating \ai·ge volumes ofsmall packets. In this case, the overhead generated Ьу an IP or Ethernet header is very hig\1
and data transfer with these headers would Ье inefficient. In the case ofUnstructured packet transfer, the anchor UPF estaЫishes а
tunnel across the Nб interface between itself and the application server. This h.шne l may use UDP/IP so headers аге added fог transfeг
across the Nб interface, but heade1·s are not transferred across the air-interface nor the core network
* TI,e example illust1·ated in Figшe 51 illustгates that application data is 1·elayed between the UE and Application Serveг using а Base
Station (gNode В) and а pair ofUseг Plane Functions (UPF). The UPF providing coппectivity towa1·ds the Application Seгver is kno\vn
as the Anchor UPF. The Anchor UPF supports the Data Network Name (DNN) which гep1·esents the exit point towards the Data
Netwoгk (DN) which hosts the Application Server. The PDU Session terminates at the DNN within the Anchoг UPF

Application Application

ТСР ТСР

--
QoSF/ow

Data Radio Bearer

IP

SDAP

PDCP
Protocol Protocol Protocol
IP

UP
Protocol
Rel~

IP IP

_.
RLC Bearer PDCP GTP-U GTP-U GTP-U GTP-U

RLC RLC UDP UDP UDP UDP

Logica! C ~
МАС Air- NG-U
Transport С~ МАС IP IP IP IP L1/L2 L1/L2
lnterface NЗ N9 N6
Physica/C~ L1
<====> L1 L 1/L2
<==> L 1/L2 L 1/L2 ~ L1/L2 <==:>
ИЕ gNode В 'Anchor' User Р/апе Application
User Р/апе
Function (UPF) Func/ion (UPF) Server

Fig11re 51 - Use1· plane protocol stack fo1· Standalo11e Base Station (assumiпg TCP/IP application)

* TI,e application lауег rep1·eseпts the highest layer within the нsег plane pгotocol stack and is pгesent at both the UE and Application
Sегvег. The application lауег нses the lower layeгs to provide а data transfeг seгvice . А ТСР ог UDP laye1· may Ье immediately below
the application layer. Example applications usiпg either ТСР ог UDP are:
о Hypertext Tгansfeг Protocol (НТТР) over ТСР can Ье used fог internet browsiпg

о File Transfer Protocol (FТР) оvег ТСР can Ье used to tгansfeг files
о Simple Mail Transfeг Protocol (SMTP) over ТСР сап Ье нsed to send and гeceive email
о Telnet оvег ТСР can Ье н se d fог remote access
о Real -time Т1·апsрогt Protocol (RTP) over UDP с а п Ь е н se d to st1·eam aнdio and vid eo content
о RTP оvег UDP can also Ье l!Sed fог Voice оvег IP (VoIP) conn e ctioпs

* Transmission Сопtгоl Protocol (ТС Р) provides геliаЫ е data t1·ansfe г between the UE and applicatioп se 1·veг. Re - transmissioпs са п Ьс
t1· i gge гe d ,vl1 e11 packets а 1·е 110t гe ceive d s вc ce s s fi.1lly. Re- tтa п s mi ss ioп s at the RLC а пd М АС l н уе гs s hoнld help to miпimi se th e
1·e ql1iгe m e пt fог ТСР гe -tгa п s mi ss ioп s. ТСР iп c lнd e s а flo w со пtгоl mechanism to e n s шe tl1 at tl, e га tе at ,vl,ich data is sent matches tl1e
baпd w idtl1 ofthe со пп есt i оп . ТСР l1eade1·s i п c lнd e а seq l! e п ce пш11Ь е г to a ll ow i11 -o гd e 1· delive1y oftl1e packets. ТСР heade1·s а 1·е
typi call y 20 bytes bl! t са п Ь е l а гgег if optioп a l co пte nt is iпcll!d ed
* U se г Datag1·a111 Pгoto col (UDP) pгovid es less ге li а Ы е data tгa п s fe 1· b e twee п tl, e UE а пd a ppli ca ti o п se 1·ve г . UDP does поt tгi gge 1· гe­
t1·ai1s111issio11s, пог does tl1 e l1eade1· iп c llld e а seqll e п ce Пllmb e г so packets са п Ь е d e li veгe d o llt- of- oгd e г . UDP is 1·elative ly lightwe igl1t
Ь е сан s е it does not гeqlli1·e апу s i gпallin g to es taЫi s l1 а c oпn e ctioп , i.e. UDP is а c oпп e ctioпl ess protocol, iп coпt1·as t to ТСР whi cl1 is н
с оппесtiоп 01· ieпted pгotocol . Tl1e a ppli ca tioп lауег above UDP may l1 ave its оwп flow сопtюl а пd е 1тог cl1ecking me chaпism s. UDP
ge п e гate s а loweг ove1·head than ТС Р with а headeг size of 8 bytes

56
 5G NR in BULLETS

* The [nternet Pгotocol (IP) layer at the UE, aпchor UPF and Application Server is used to route нser plane data acгoss the packet
,jtched net\vork. Figure 51 illнstrates а direct connection bet\veeп the anchoг UPF and application server. In practice, there may Ье а
s;ries ofIP гoнters which нsе the IP lауег to foгward traffic in the appropriate diгection. The UE нses the IP address allocated Ьу the
;MF during conпection estaЫishment. The IP layer сап Ье based нроn either !Pv4 ог !Рvб. !Pv4 headeгs are typically 20 bytes wl1ereas
f Pvб headers аге typically 40 bytes. Неаdег sizes сап Ье gгеаtег if optional conteпt is included

* Tl1e Service Data Adaptation Protocol (SDAP) layer is specified in 3GPP TS 37 324. This protocol belongs to the 37 series of
specifications ratheг thaп the 38 series Ьесанsе а common SDAP protocol has been defined for both E-UTRAN апd New Radio (NR) .
т~ 1 е sDAP lауег is the highest ofthe Radio Access Network protocol stack layeгs, i.e. it is the highest layer which operates between the
UE and Base Station. The SDAP layer is applicaЫe to E-UTRAN when an eNode В is connected to the 50 core netwoгk. The SDAP
layer provides the mapping between QoS Flows belonging to а PDU Session (at the top ofthe SDAP layer) and Data Radio Bearers (at
tlie bottom ofthe SDAP lауег)
The Packet Data Convergence Pгotocol (PDCP) lауег is specified Ьу 3GPP TS 38 .323. The PDCP layer p1·ovides headeг compгession,
* cip11ering апd integrity protection for нser plane data. Header compression is completed using the Robust Header Compression (RoHC)
pi·otocol. RoHC is сараЫе of comp1·essing IP, UDP, RTP and ТСР headeгs. Неаdег compгession is important Ьесанsе the overheads
gt:nerated Ьу the higher layeгs сап become laгge апd withoнt compression they woнld consнme vаlнаЫе air-interface 1·esoшces. Header
compгession is \ess impoгtaпt across the fixed network Ьесанsе baпdwidths аге significantly gгeater . The PDCP header fог useг plane
data is eitl1 e г 2 о г 3 bytes clepeпding нроn the length of Seqнence Number. In additioп , integrity protection may add 4 bytes ofMAC-I
data to the end ofthe packet. Tl1e PDCP layer is also responsiЫe fог re-ordering packets and providiпg in-seqнence delivery to the
l1igl1er layers
The Radio Link Control (RLC) laye1· is specified Ьу 3GPP TS 38.322. Similar to the SDAP and PDCP layers, it belongs to the Radio
* Access Net\vork and opeгates between the UE and Base Station. The RLC lауег сап Ье нsed to tгansfeг user plane data in one of two
пюсlеs ~ Unacknowledged Mode ог Ackпowledged Mode (Tгanspaгent Mode RLC is not applicaЫe to the нser plane):

0 Unacknowledged Mode (UМ) supports segmentation ofhigher lауег packets. This allows large packets to Ье divided into smalleг
packets when the allocated aiг-interface resoшces are not sнfficient to accommodate the oгiginal packet size. The header size is а
single byte when the RLC PDU inclнdes а complete RLC SDU, i.e. segmentation has поt been necessary. Iп this case, the RLC
l1eadeг does not inclнde а Seqнence NнmЬег. Wheп segmentation is applied, the RLC PDU which transfers the first segmeпt
includes either а 6 Ьit or 12 Ьit Sequence Nнmber (the RLC Seqнence NнmЬег size is coпfigшed Ьу tl1e RRC layer) . These
Seqнen ce Nt1mbers lead to headeг sizes of I ог 2 bytes respectively. RLC PDU ,vhich tгa nsfe1· subseqнent segments also include а
16 Ьit Segmentation Offset leading to head e г sizes of 3 01· 4 bytes
о Ac kn o,vleclged Mode (АМ) s нppoгt s an Aнtomatic Repeat Reqнes t (ARQ) pгotocol to provide а ге liаЫе data tt·aп s fer s eгvi ce, i.e.
АМ RLC s нppo1·ts 1·e-ti-a11smiss ions. The гece i ver гe tшn s Statt1s PDU to pгo v id e a c kпow led ge ment iпfoгmatioп to tl1e sе пd е г. АМ
RLC also s нpports both segme пtatioп а пd 1·e-segmentation of l1i g l1 e г l ауег packets. S egm e ntatioп is s imilaг to tl1at provided Ьу
UM RLC. Re-s e g m e пt a tioп is n e c es saгy if a 1·e- tгaпsmi ss ion is reqt1i1·ed Ьнt the capacity ofthe allocated aiг- iпte гfac e resoш-ces lias
Ь ее п гedt1 ce d . АМ RLC PDU al,vays contain e itl1eг а 12 Ьit ог 18 Ьit S e qн e nc e N нmb e r leading to h ea d e г sizes of 2 ог 3 bytes
гesp ec ti ve l y . The inclн s ion of а 2 byte Segm e пtation Offset inc1·eases the heade1· size to 4 ог 5 bytes

* Tl1e M e diшn Access Contгol (МАС) lауег is specified Ьу 3GPP TS 38.321. It also belongs to the Radio Access Netwoгk and opeгates
bern,een tl1e UE and Base Statioп. Tl1e МАС lауег is responsiЫe for pгioritising апd mнltiplexiпg logical chaiшel data гeceived fгom
tl1e R.LC laye1·. The МАС layer geпeгates Tгanspoгt Blocks fi·om the logical channel data апd passes tl1em do,vп to the Physical lауе г.
Tl1e МАС lа уе г s нppoгts the Hybгid Aнtomatic Repeat Reqttest (HARQ) protocol for геliаЫе data tгапsfег with fast 1·e-t1·ansmissio11s .
ln additioп , tl1e МАС lауег sнpports fast lауег 2 signalliпg bet\veeп the UE апd Base Station. This is achieved Ьу iпcluding МАС
С опtгоl Elemeпts within the Transpoгt Blocks passed to the Physical lауег. 3GPP has specified а гelatively large set ofMAC Cont1·ol
Elements fог а гange ofsign a lliпg pшposes, e.g. pгoviding Timing Advance Commands, repoгting Buffe1· Status апd Роwег Headroom,
acti vatioп/deactivation of Sесопdагу Cells, triggeгiпg Semi-Peгsisteпt SRS transmissioпs and tri ggeгing Semi-Persistent CSI reportiпg.
Wl1e11 нsing tl1e Centгalised Uпit ~ Distгibнted Unit Base Statioп aгcl1itectt1гe, lауег 3 signalliпg is maпaged Ьу the Centralised Uпit,
\vhile lауег 2 signalliпg is managed Ьу the Distribttted Unit. The МАС header l1as а variaЫe size depeпdent нроп the nнmber of logical
cliaппels beiпg mнltiplexed , the iпclнsion of any Length Iпdica tors and the inclttsion of any МАС Сопtгоl Elements

* Lауег 1 (LI) between the UE апd Base Station is specified Ьу 3GPP TS 38.211, 38.212, 38.213 апd 38.214. Lауег I provides Physical
lауег pгocessiпg as well as tгaпsmissioп апd гeception acгoss the aiг-inteгface. Cyclic Redtшdaпcy Check (CRC) Ьits аге added to each
Тга п sро1i Block at the t1·aп smitteг to allow епог detectioп at tl1e 1·eceive1·. Chanпel coding is applied to genei-ate геdtшdапсу апd
iпсгеаsе 1·esilience to the гadio pгopagation channel . Inteгleavin g is applied to impгove the pe1·foп11ance of decoding at the гесеivег Ьу
гandomi s in g bшsts of contigtюtts Ьit е1то1·s geneгated Ьу fades in the pгopagation c harшel. Modнlatioп is applied ргiог to mapping опtо
tl1e a iг- iпteгface resoшces, нsing CP-OFDM in tl1e downliпk and eitl1eг CP-OFDM ог DFT-S-FDMA iп tl1e t1plink
* Tl1e NG-U iпteгface bet\Veeп tl1e Base S tatioп апd Use1· Plane Ftшction (UPF) makes н sе ofthe PDU Sess ion Useг Plane pгotoco l
specifi ed Ьу 3GPP TS 38.4 15. Tl1i s pгotocol is гes pons iЫ e fo1· addiп g l1 eacle г iпfom1 a tioп ,vhi ch ideпt i fi es tl1e QoS Flo,v. The
гema iпiпg pгo toc ol stack laye1·s pгov i cl e а GTP -U tt11111el fо г each PDU Sess ioп , i.e. tl1e l1 ead e г iпfo1-m a ti o п added Ь у tl1e PDU Sessioп
Use1· Plane protocol identifies tl1e QoS Flo,v ,vl1il e the GTP-U Тшш е l Eп dpoiпt Ideпti fieг (TEID) identifies the PDU Sess ion
* Tlie GPRS Tшшellin g Pгotocol Use г Р l ап е (GTP-U) is specifi ed Ьу 3GPP TS 29.28 1. GTP-U tt1ппel s аге нsed to tгan s feг t1se1· рl ап е
data bet\veeп а ра iг ofGTP-U 11111п е l endpoiпts . Tl1e Base S tati oп and UPF гергеsепt one р а i г of eпdpoiпts . Tl1e TEID within the GTP-
U headeг defines tl1e ttшп e l to which the data belongs. TEID va lнes fог tl1e tuпne l acгoss the NG-U iпteгfa ce ai·e commнпicatecl н s iп g
NG App lica tioп Pгo tocol (NGAP) s i gпalling. GTP-U packets а ге tгans feпed нs ing UDP over IP

57
 5G NR in BULLETS

* The N9 interface which provides the connection between а pair ofUPF is also based upon the PDU Session User Plane protocol
operating above а GTP-U tunnel. Similar to the NG-U interface, there is а GTP-U tunnel for each PDU Session . These GTP-U tunne\s
remain configшed when а UE moves to CM-IDLE/RRC IDLE. This is in contrast to the NG-U interface where GTP-U tunnels are
released when UE move to CM-IDLE/RRC IDLE . 3GPP is studying alternatives to GTP-U fог the N9 interface so this protocol stack
may change within the timescales of release 16 and release 17
* There are additional user plane protocol stacks for the Xn and F\ interfaces. The Xn interface allows user plane data to Ье tгansfeг:ed
between neighbouгing Base Stations, while the F I interface allows user plane data to Ье tгansferred between а Base Station Centгalised
Unit (CU) and а Base Station Distributed Unit (DU) . These interfaces and protocol stacks are presented in section 1.6
* Figure 52 illustrates the equiva\ent user plane protocol stack when а Non-Standalone Base Station is connected to the 40 Соге
Network. This example assumes that а 5G Base Station provides the user plane connectivity to the 4G Core Network

Application Appllcation

ТСР ТСР

IP
____.
Data Radio Веагег
IP IP
PDCP GTP-U
____.
RLC Веагег

RLC RLC UDP UDP UDP UDP

'
Logica/C~
МАС Air- МАС IP IP IP IP L 1/L2 L1/L2
Transport С~ fnterface S1-U S5/S8 SGi

Physica/C~
L1 <==с> L1 L 1/L2
<==> L 1/L2 L 1/L2
<===> L 1/L2 ~
ИЕ gNode В Setving Gateway PDN Gateway Appfication
Setver

Figure 52 - Useг plane protocol stack for Non-Standalone gNode В (assuming TCP/IP application)

* In this case, the 5G Base Station and UE do not гequire the SDAP
lауег . The SDAP layer is used to map QoS Flows onto Data Radio
Beaгers (DRВ).QoS Flows do not exist when using the 4G Соге Netwoгk so there is no гeqпirement for the SDAP layer. The 40 Core
Netwoгk uses EPS Beaгers ratheг than PDU Sessions and QoS Flows

* Tl1e раiг ofUser Plane Functions (UPF) аге гeplaced Ьу th e Seгving Gateway and PDN Oateway Ьпt tl1e protocol stacks аге vегу
similai·, i.e. OTP-U tunnels аге пsed to tгansport packets across the Соге Net\vo гk . QoS Flows do not ex ist so it is not necessa1y to Ltse
the User Plane protocol to identify QoS Flo,vs within а GTP-U tunnel. Т l1 еге is а siпg l e GTP-U tпllllel fог еас \1 EPS Веагег
* 30РР References: TS 38.300, TS 38.414, TS 38.415, TS 29.28 1, TR 29.89 1

1.7.2 CONTROLPLANE
* The control plane pгotocol stack is responsiЫe fог transfeпing signalliпg messages
* The Radio Resoшce Control (RRC) control plane pюtocol stack is пsed for signalling between the UE and Base Station, i. e. the RRC
control plane protocol stack is fully contained within the Radio Access Network, and is shown in Figшe 53

RRC RRC
Signaffing Radio ~

____.
RLC Веагег
>·
PDCP

RLC
►
PDCP

RLC
.
Logica/ C ~ >-
--
МАС Air-
-
МАС
Transport Channef►
fnterface

Physicaf Channe'►
L1
<===> L1

ИЕ gNode В

Figш·e 53 - RRC contt·o\ plane p1·otocol stack

* Tl1e RRC lауег is specified Ьу 3GPP TS 38.331. RRC messages аге tгaпsfe1тed usiпg tl1e set of Signalling Radio Веагегs (SRВ)
descгibed in sectioп 1. 12. The set of SRВ iпcludes SRB О wl1icl1 tгaп sfeгs messages п siпg the СССН logical channel, and SRВ 1, SRВ
2 апd SRВ 3 ,vhicl1 tгапsfег messages usiпg the DCCH logical cl1a1111el . Example RRC s i gпa lling ргосеdшеs include paging, RRC
conпection estaЫishmeпt, RRC connection 1·ecoпfi g шatio11, and RRC connection гelease

L
 5G NR in BULLETS

Tlie Packet Data Convergence Proto_col (P_DCP) layer is specified Ьу 3GPP Т~ 38.3 23._ Similar to the User Pl~ne pгotocol stack, the
* PDCP layer provides c1pheпng and шtegпty ргоtесtюп. The headeг compressюn f1.1nct10n ofthe PDCP layer 1s not аррl1саЫе to the
trol plane. The PDCP Seq1.1ence Nнmb e r is al\vays 12 bits \vhen tгansferring signalling messages. А larger Seqнence Nнmb e r is not
conessaгy beca1.1se the SRВ do not generate а contin1.1oнs flow of packets, i.e. the Seq1.1ence №mber range is ttпlikely to become
::~at1sted. The Sequence №mЬег generates а PDCP headeг size of2 bytes. In a(ldition, 4 bytes ofMAC-I integrity pгotection
information is added to tl1e end ofthe packet
Tlie Radio Link Control (RLC) laye1· is specified Ьу 3GPP TS 38.322 . The RLC lауег сап Ье нsed to transfer contгol plane signalling in
* oiie of two modes - T1·ansparent Mode or Acknowledged Mode (Unacknowledged Mode is not applicaЫe to the control plane):

0 Transparent Mode (ТМ) is 1.1sed Ьу SRВ О and the СССН logical chanлel. ТМ does not segment the l1igher laye1· PDU. Nor does it
add any header information. This is important from the perspective of coverage and the s1.1ccess rate of the Random Access
рюсеdt1ге. MSG3 belonging to the Random Access procedшe нses SRВ О and the СССН logical channel, i.e. MSG3 cannot Ье
segmented. This means that coveгage m1.1st Ье sнfficiently good to transfer MSG3 with а single resoшce allocation . Tl1e size of
MSGЗ is always kept to а minim1.1m to help maximise the coveгage

0 Acknowledged Mode (АМ) sнpports ап Aнtomatic Repeat Req1.1est (ARQ) protocol to provide а 1·eliaЫe data transfeг service, i.e.
лм RLC supports гe- tгa nsmissions . The гeceiver геtшпs Statнs PDU to provide acknowledgement information to the sendeг. АМ
RLC also s11ppo1ts both segmentation and гe -segmentation ofhigheг lауег packets. Re-segmentation is necessary if а re-
t гa nsmi ss i o n is 1·eqt1ired Ьнt the capacity ofthe allocated a iг-interface геsошсеs has Ьееп redнced. АМ RLC PDU always c oпtain
e itheг а 12 bit о г 18 bit Seq1.1ence NнmЬег leading to headeг sizes of 2 ог 3 bytes respectively. The incl1.1sion of а 2 byte
S egme пrat i o n Offset incгeases tl1e headeг size to 4 or 5 bytes

* Tlie Medium Access Control (МАС) layer is specified Ьу 3GPP TS 38.321 . The МАС lауе г is responsiЫ e fог prioгitising and
mt1ltiplexing logical channel data гeceived fгom tl1e RLC l а уег. The МАС lауег generates Т1·апsрогt Blocks from the logical channel
data and passes them do\vn to the Physical lауег . The МАС layer s1.1pports the Hyb1·id A1.1tomatic Repeat Reqнest (HARQ) protocol for
,·c li a Ы e data t1·a п s feг with fast re-tгan s mis s ions . Iп addition, the МАС layer s1.1ppo1ts fast layer 2 sigпalling between the UE апd Base
S t a tioп . This is achieved Ьу incl1.1ding МАС Сопtюl Eleme пts within the Т1·апsрогt Blocks passed to the Physical layer. The МАС
lieade1· lias а vari a Ы e si ze dependent 1.1роп the nнmber of logical channels beiпg mнltiplexed , tl1e iпclнsion of any Length Iпdicators а пd
tl1e iпclн s ion оf а пу МАС С опtгоl E lemeпts
* Laye1· 1 (LI) b etwee п the UE апd Base Statioп is specified Ьу 3GPP TS 38.211, 38.2 12, 38.2 13 апd 38.2 14. It provides Pl1ysical lауег
p1·ocess iп g as well as tra п s mis s ioп а пd гесерtiоп across the a iг- iпte rface. Cyclic Red1.111daпcy Check (CRC) bits аге added to each
Traп s poгt Block at the tгa п s mitter to allo\v е пог d e t ec tioп at the rece iv e г. Cl1a1111el c odiп g is applied to ge11e1·ate геduпdапсу and
i11c1·ease 1·esilie11ce to the 1·adio pюp aga ti o п с l1 а пп е l . Iпte гl eav iп g is applied to improve the р е гfо пn а п се of d ec odiп g at tl1e 1·ece i veг Ь у
1·a11dom isi11g buгs t s of co ntigt10t1s bit епогs ge11e1·ated Ь у fades in the pгo p aga ti o n cha1111el. M od ul a ti o п is applied ргiог to m a ppiп g о пt о
tl1c a i !'- iп te гfa ce геs ошс еs , 1.1 si11g CP-OFDM in tl1e downlin k а пd e i t l1 e г CP-OFDM ог DFT-S-FDMA in tl1e 1.1pli11 k
• Т l1 с ге ai·e ad di t i o п a l соп t ю l
plane protocol stac ks fo1· the Х п , F 1, Е I а пd NG iпte гfaces . The Х п inteг face all o\vs c ontгol рlап е data to
Ь с tгa 11 s fe 1тed
bel\veen n e i g hboш·in g Base Sta tioп s , wl1ile tl1e F l interface allows control рl а п е data to Ь е t1·an s fe1тe d b e l\ve e п а Base
S tatioп C e пtгa li sed Unit (CU) and а Base Station Distrib1.1ted Unit (DU). The Е I inte1·face allo\vs contюl planc data to Ье tгan s ferгed
between а CU-CP апd а CU-UP wheп 1.1sing the Contгol Plane (СР) - User Plane (UP) Sepaгatioп Base Station architectнre . These
i11te1·faces and pюtocol stacks ai·e p1·esented iп sectioп 1.6
* Т\1 е RRC pгotocol stack showп iп Figшe 53, апd the NG pгotocol stack shown iп sectioп 1.6.4 сап Ье combined to generate the coпtrol
рl а п е pюtocol stack нsed to transfeг Noп-Access St1·atнm (NAS) signallirig messages betweeп tl1e UE апd AМF/SMF . The NAS
со пtгоl plane protocol stack is shown iп Figure 54

MoЬi l ity Management Session Management

messages processed at AMF messages processed at SMF
N1
NAS • - ----- -- -- - - - - -- --- - ---- ---- - ----- -- ---- -- -- - ---- - - ►
NAS NAS NAS

RRC NGAP НТТР/2 НТТР/2

Р О СР Р ОСР SCTP SCTP ТСР ТСР

RLC RLC IP IP IP IP

МАС Air- NG -C
МАС L2 L2 L2 L2
lnterface N2 N11
L1
<===:> L1 L1 <===:> L1 L1 <===:> L1

ИЕ gNode В A MF SMF

F i gш· e 54 - No 11-Access St1·atu111 (NAS) co11t1·ol pla 11e p1·otocol stack

* NAS messages allow s i gпa lliпg bet\veeп tl1e UE апd AМF/SMF. Mob ility Maпagemeпt messages аге exc\1a11ged witl1 the АМF,
ivli eгeas Ses s i o п Maп agem eпt messages а ге exch a пged \Vith the SMF. The logical N I i11te1·face опlу co1111ects tl1e UE to the АМF b1.1t
the AMF is 1·espo11 s iЫ e fог prov idiп g co1111ectivi ty to waгd s t\1e SMF, i.e. tl1e АМF гece i ves do,vпliпk Sess i oп Maпagemeпt messages
fmm t\1e SMF а пd fo1wa гds them to\va гds tl1e UE, а пd tl1e AMF receives нpliпk Session Maп agement messages from the UE апd
forwa1·ds them to\vaгds tl1e SMF

59
5G NR in BULLETS

* The NG-C interface uses the NG Application Protocol (NGAP) to package NAS messages for transfeг between the Base Station anct
АМF. NGAP messages are transferred using the Stream Control Transmission Protocol (SСТР) as specified Ьу the IETF within RFc
4960. SСТР provides an altemative to ТСР and UDP. SCTP provides а re l iaЫe data transfer service which supports re-transmissions.
SCTP allows signalling messages to Ье transferred using parallel streams (mu lti-streaming capability). This avoids re-transmissions
from one signalling procedшe delaying the transfeг of messages from other signalling pгocedнres. SCTP also includes а flo,v coпtrol
mechanism, similar to that used Ьу ТСР. An SCTP packet forms the payload ofan IP packet. The SCTP layer adds а common heactc!·
of 12 bytes. Additional header information is included for each 'chunk' of data within the SCTP packet. Chunks form the payload о( '
the SCTP packet
* The lnt<:i_rnet Protocol (IP) layer is 11sed to route SСТР data between the Base Station and AMF. Figure 54 ill11strates а direct connection
between the Base Station and AMF. In practice, there may Ье а series ofIP routers which 11se the IP layer to forward traffic in the
appropriate direction. The IP layer сап Ье based upon either IPv4 or IPvб. IPv4 headers are typically 20 bytes, whereas IPvб heade,·s
are typically 40 bytes. Header sizes сап Ье greater if optional content is included
* Session Management NAS messages are transferred between the AMF and SМF using а 'Service based Interface' (SВI). For example,
when the АМF receives а Session Management: PDU Session EstaЬ/is/1111e11f Requesf from the UE, the АМF sends an НТТР POST
message to the SМF which requests the 'Ns,rif_PDUSession_CгeateSMContext' service. This service request includes the information
provided Ьу the UE within the original NAS message. Similarly, when responding to the UE, the SМF sends an НТТР POST message
to the AMF which req11ests the 'Nanif_ Co1111111111icatio11_Nl N2MessageT/'a11sfe1·' service. This service гeq11est provides the infoгmatioп
to Ье sent back to the UE in response to the original NAS message, i.e. within а NAS: PDU Session EstaЬ/is/1111e11t Accept ог PDU
Session EstaЬ/is/1111e11t Rej ect
* NAS signalling procedшes and ipessages аге specified within 3GPP TS 24 .501. NAS messages аге catego1·ised as eitheг 5GS Mobility
Maпagement ог 5GS Session M~пagement. These two gгoups of messages are pгeseпted in ТаЫе I О

5GS Mobility Registration Reqйest, Registration Ассер!, Registratioп Complete, Registratioп Reject
Ma11age111e11t Atttheпtication Reqнest, Aнtheпtication Response, Aнthentication Resнlt, At1tl1enticatio11 Reject, Aнtl1entication Failшe
111essages
Configнration Update Comma11d, Coпfigшation Update Complete
De-Registratioп Reqнest, De-Registration Ассер!

Do\vnlink NAS Transport, Upli11k NAS Transport

Notification, Notificatioп Response
ldeпtity Reqнest, ldentity Response
Secшity Mode Commaпd , Secшity Mode Complete, S ecшity Mode Reject
S ecшity Protected 5GS NAS Message
Service Reqнes t , Service Reject, Service Асс е р!
5GММ Statнs

5GS Sessio11 PDU Session EstaЫisl1ment Reqнest, PDU S ess ioп Es taЫi sl1ment Accept, PDU Session E s taЫi sl1me11t Reject
Manage111ent PDU Session Aнthentication Coшmand, PDU Sessio11 Aнthe11ticatio11 Coшplete, PDU Sessioп Aнthenticatioп Resнlt
111essages
PDU Session Modification Reqttest, PDU Sessioп Modificatioп Reject, PDU Sessioп Modificatioп Commaпd, PDU Sessioп
ModificatioпComplete, PDU Sessioп Modificatioп Command Reject
PDU Session Release Reqнest, PDU Sessioп Release Reject, PDU Sessioп Release Command, PDU Sessioп Release Complete
5GSM Statнs

ТаЫе 10- Non Access St1·atшn (NAS) messages fo1· SG System (SGS) Mobllity Managemeпt and Session Managemeнt

* Example 5GS Mobility Management NAS messages incl11de those used to register with the пetwork (Regisf1·afio11 Request/Accept) апd
those used to Autheпticate with the network (Aut/1e11icatio11 Request/Response). In the case of 4G, there are sepaгate NAS messages to
provide location updates (Т! ·acking А1·еа Update Request/Accept). lп contгast , 5G does not use dedicated NAS messages to pгovide
location updates. Instead, the Regisf/'afion Request/Accept messages are re-used witl1 the ' SGS Registration Туре' set to 'MoЬility
Registгation Updating'

* The Uplink and Downlink NAS Tгanspoгt messages are 11sed to t1·ansfer vaгious payloads between th e UE and АМF. These messages
а1·е 11sed to transfeг NAS Session Management messages which ai·e being sent to and fi·om the SMF, i.e. а Session Man a gem e пt NAS
message is packaged inside а MoЬility Management NAS message. The Upliпk and Downlink NAS Tгansport messages сап also Ье
11sed to tгansfer SMS coпtent ог LТЕ Positioning Pгoto c ol (LPP) content
* The RRC messages, UL /11foп11atio11 Т!ш1sfе1· and DL !11foпnatio11 Т,·a11sfe1 · сап Ье used to encap s нlate NAS messages fог tгапsfе г
between the UE and Base Station. Otheг RRC messages also allow the encapsulatioп ofNAS messages. Fог example, the RRC Setup
Complete message can incl11de а NAS message. Tl1e UL /11fo п11a tio11 T1 ·a11sf e1· an cl DL /11/oпnation T/'a11sfe1· messages а 1· е ti·a n sfe пed
11sin g acknowledged mode RLC on SRВ 2, a ltl10н g h these 111essages с а п also Ь е t1·a 11 s fe пe d 11sing SRB I if SRB 2 is поt a v a il aЫe
* Tl1e NGAP lnitial ИЕ Message, Do11111/i11k NAS Tгa11spo 1 ·t а пd Up /ink NAS Т! ш1sр о 1 ·t messages ai·e в sed to e п cap s вl a t e NAS 111essages
fог t1·aп s fe г between tl1 e Base Station апd AMF в s iп g th e NG-C с опtгоl рl а п е p1·otocol stack

* 3GPP Refer·ences : TS 38.300 , TS 29. 500 , TS 38.33 1, TS 24.5 01 , TS 38.41 3

бо
 5G NR in BULLETS

i.B RRC STATES

Tlie Radio Resoшce Contгol (RRC) state mac hine for New Radio (NR) is illust1·ated in Figшe 55
*
А UE starts fi·om RRC Idle mode when it first camps оп а 5G cell. Fo1· example, this could Ь е immediately afteг tl1e device has Ье е п
•iched-on, or it could Ь е afteг ап inter-sys tem cell reselectioп fюm L ТЕ . А 1.ffi makes the transition fi·om RRC Idle to RRC
~~~нected Ьу completiпg the RRC Setup proceduгe (see sectioп 15.3). An RRC Conпection is а logica\ conпection between the UE
mid ваsе Station
Л UE in RRC Connected mode is allocated опе or two C-RNТI (Cell Radio Net\vork Теmрога1у Identifier). The C-RNТI is used to
* address the UE \vhen mak ing resouгce allocations. А single C-RNTI is allocated when the UE is connected to а single Base Statioп .
~\VO c-RNTI are al\ocated when the UE is connected using Mttlti-RA Т Dua\ Conпectivity (MR-DC)
Л UE in RRC Connected mode is configшed with at least опе Signal\ing Radio Bearer (SRВ) and typically опе or more Data Radio
* Bearers (DIUЗ). The SRВ сап Ье ttsed to transfeг signalling messages between the UE and Base Station. The signal\ing messages may
be loпg to th e RRC signalliпg protocol or the Noп-Access Stгa tпm (NAS) signalliпg protocol. The Base Statioп ttses the NG
Лpp licatio11 Pюtoco l (NGAP) to traпsfer NAS messages to апd fi·om the АМF. The DRВ сап Ье used to t1·aп s fe1· applicatioп data
bet\veeti the UП and Base Station. The Base Station ttses а GTP-U tuпnel to tгапsfег applicatioп data to and from the UPF
А UE mttst make tl1e traпsition to RRC Connected mode to register with the netwoгk , i.e. to make the tгansition fюm RМ­
* DEREGISTERED to RМ-REGISTERED (see section 1.9). Опсе а UE has гegi s teгed with the netwoгk then the UE will normally
remaiп RМ-REGISTERED irrespective ofthe RRC state. The registratioп pгoc edure allocates the UE with а tempoш·y identity knowп
as а 50-S-TMSI. The пsе of а temporary identity rather thaп а permanent identity, e.g. IMSI, helps to improve secшity
А UE mttst make the transition to RRC Coпnected Mode to make the transition fi·om CM-IDLE to CM-CONNECTED (see sectioп
* 1.1О). А UE 1·etu ms to CM-IDLE wheneveг the RRC Conп ection is released. The UE remains CM-CONNECTED \Vhen making the
1ra11sition fюm RRC Connected to RRC Iн ac tive
А UE makes tl1e t1·a11sitio11 from RRC Conп ec t ed to RRC Inactive 1.1si11g th e RRC Re lease p1·ocedure. А suspe11c/Co,?fig рагаmеtег
* s trнctшe is iп c lttd ed within the RRC Release message to indicate that the UE is b e iпg moved to RRC Inactive ratl1e1· thaп RRC Idle.
Tl1e NG s i gп a llin g connection between the Base Station and AMF is maintained while the UE is RRC Inactive. In addition, GTP-U
t111111el s b et\vee п the Base Station апd UPF а ге maintained (опе GTP-U tttnnel р е г PDU Session). Tl1e UE contex t is also maintaiпed Ьу
botl1 the пet\vork and UE

* Tl1 e RRC lп ac tive state all o,vs th e UE to геtшп to RRC Со пп есtеd and s taгt t1·a11sfe tт i11 g applicatioп data ог s i gп a lliп g messages \V it\1
111iпim a l latency. Sign a lliп g loacl is redвc ed гe l a tive to the RRC Id le to RRC Сопп е сtеd traп s i t ioп Ьесав s е tl1e UE coпtext is alгead y
cs t a Ыi s l1 ed. The RRC Iп ac t i ve state allo\vs tl1 e UE to геdнс е battery ро\vе г c oп s ttmption re lative to RRC Co1111ec ted. T his сап Ь е
acl1ieved \Vith l o n geг DRX cyc les and Ьу поt l1 avi11g а req ttiгem e nt for c h a пn e l qtia li ty гeporting

* Tl1e AMF са п гe qtte s t

tl1e Base Station to pгovid e notificat ions w l1 e11 the UE moves b et\vee п RRC Co nпected and RRC Inactive. Thi s
,·e qнe s t сап Ье iпclвded \Vitl1i11 tl1e NGAP ' lnitial Context Set11p Request' ог ' ИЕ Context Modiflcation Request' messages . The Base
Statio11 sttb seqttently provides ttpdates ttsing the NGAP 'RRC Jnactive Tm11sitio11 Repo1·t'. The AMF сап 1.1se this iпformatioп rega гdin g
tl1e UE 's RRC state to adjttst its supervi s ioп time1·s. For example, if tl1e АМF kпows that the UE is in RRC Conп ected then it сап
ex pect а гapid response to апу downlink tгansac tions and so it сап apply relatively shoгt sнpeг.vision timeгs . Iftl1e АМF kпows that the
!JE is iп RRC Inactive theп it са п expect а less гapid respoпs e to апу downlink tгaп s actions Ь еса н sе the UE mнst Ь е paged befot·e tlю se
lгaпsactioп s са п Ье foгwaгded to the UE. The АМF сап thtts apply loпger sttpervision timers fог UE wl1ich are RRC Iпactive

UE is in CM-CONNECTED state

R_N_Ec_т_E_o
UE stor es Access Stratum context
AMF maintains NG signall ing connection with Ba se Station
[~_ _ _R_Rc
_ co
_N_N _ _~ ] ..__
UPF maintains GTP-U tunnels with Base Station
UE is in CM-CONNECТED UE is addressed using C-RNТI allocated Ьу Base Stati on
UE store s Access Stratum contex t RRC Release UE monitors Control Channels for Resource Allocation s
AM F rnaintain s NG signalling connection with with Suspend Uplink and downlink data can Ь е tran sferred
Base Station апd UE reports Channel State lnformation (CSI)
UPF maintains GTP-U tunnels with Base Sta tion Resume Connected M ode DRX can Ье configured
UE reads System lnformation RRC Setup MoЬility is based upon handovers
MoЬi lity is based upon Cell Reselection ~ NR апd Radio Access Network is respo n si Ьl e for UE reac h aЬi li ty
Rad,o Access Network is respon s iЫ e for UE RRC INACTIVE RRC Re lease
UE rea ds System lnformation
r e acl,aЬility UE monitors the PDCCH DCI using the P-RNТI
Base Station knows the UE location with а
resoltJtion of а RAN Notification Area (RNA) UE is iri CM-IDLE sta t e
RRC Release
UE Per forms RNA updates UE reads Syst em ln formati on
lJE applies DRX fo r paging M oЬili ty is based upon Cell Reselection
UE moni tors t l1e PDCCH DCI using th e P- RNТI Core Net w or·k knows UE loca ti on w it h r esolution of
UE mon itors t he РССН for CN paging using t he NR Registra t ion Ar ea (one or more Tr acking Areas)
SG-5-TMSI and RAN paging using t he 1-RNT I RRC IDLE UE performs Registration Агеа updates w ith Са г е Networ k
UE app li es DRX for paging
UE moni tors the PDCCH DCI using t l1e P - RNТI
UE monitors the РССН for CN paging using the SG-5 -TMSI

Figш·e 55 - Radio Resoш·ce Control (RRC) states for NR

61
5G NR in BULLETS

* А UE makes the transition to RRC Idle Ьу completing the RRC Connection Release procedure. This involves гeleasing the allocated с.
RNTI, all radio bearers and all radio resoнrces . А UE may Ье provided with Redirected Carrier Information within the RRC Release
message. This information сап Ье used to redirect the UE to,vaгds either another NR carrier or towards an LТЕ carrier. Assuming
coverage exists, the UE moves onto the target caiтier in RRC Idle. The RRC Release message сап also inclнde Cell Reselection
Priorities which аге нsed instead ofthose broadcast within the System Information. In addition, tl1e RRC Release message сап inclttde
Deprioritisation information which leads to either the сштеnt carrier, or all NR carriers having the lowest priority for cell reselection
* Figure 56 illнstrates the RRC state traпsitions between L ТЕ and NR. State transitions between NR and 2G / ЗG are not defined Ьу
ЗGРР . UE are аЫе to complete handovers between the LTE and NR RRC Connected states. UE are аЫе to complete cell reselections
between the LTE and NR RRC Idle states. SШ24 belonging to the LTE system provides parameters fог cell reselection towards NR
whereas Sm5 belonging to the NR system provides parameters fш cell reselection towards LTE. UE are also аЫе to complete cell '
reselection from RRC Inactive belonging to one technology towards RRC Idle belonging to the other technology. Legacy L ТЕ
solutions do not inclнde the RRC Inactive state, i.e. RRC Inactive was not specified withiп the release 8 version ofthe specifications
bt1t was introduced within re lease 15

LTE
RRC CONNECTED
. Handover
~( RRC
NR
CONNECТED
J
RRC Relea se RRC Release
with Suspend with Su spend
and and
Resum e Resum e
RRC Setup RRC Setup
and LТЕ
and
NR
RRC Rel ease RRC Release
RRC INACТIVE RRC INACTIVE

RRC Relea se RRC Release

LTE Reselec ti on NR
RRC IDLE RRC IDLE

Figш· e 56 - Radio Resource Cont1·ol (RRC) state t1·an sitions behveen 4G (L ТЕ) ашl SG (NR)

1.8.1 RRCIDLE
* RRC Idle is characte1·ised Ьу :

о the UE reading System Infoгmation from the Broadcast Control Cl1annel (ВССН). This is necessary to provide the UE with tl1e
infoгmation it 1·eqt1ires to complete cell selection and cell гes e l e ction . System Informatioп also pгovid es the UE with all th e
information it reqt1iгes to access the network, i.e. to complete the Random Access апd RRC Coпп e ction Setнp procedures
о UE contгolled mobility based t1pon cell reselection. Paгamete rs for cell reselection аге coпfi gшed Ьу the network and а ге
broadcast within the System Iпformation. The UE completes se1·vi11g cell and neighbouг cell measнrements Ьеfоге taking decisio11s
regardiпg cell reselection. Ifbeamforming is used Ьу the Base Station then the UE will also select а beam to camp оп

о the UE performiпg mobility triggered Registration Area updates to ensнre that the UE is always геасhаЫе Ьу the АМF, i. e. the
АМF knows wheгe to forward paging messages. А Reg istгation Area includes one ш тоге Tracking Агеаs , while а Tracking AJ·ea
inclнdes one or more cells. The UE completes а Tгacking Атеа Update pгocedure wh e п it moves into а Trackiпg Area to ,vl1i cl1 it
is not registered. Tгackiпg Areas cannot overlap and so each cell belongs to only а single Tгac king Area for а specific PLМN
о the UE perfoгmin g periodic Registration Area нpdates with the АМF to confirm th at it гe m a in s camped оп the 5G n etwoгk. These
нpdates serve as а keep-ali ve mechanism. Ifa UE moves ot1t o f netwoгk coveгage , or if a UE b a tt e гy l1 as ntn flat, th e п а UE will
not Ье аЫе to complete its next pe1·iodic Reg istгation А1·еа нpd a te and the netwoгk will гec o gпi se tl1at the UE is по lоп gег p1·esent

о tl1e Radio Access Netwoгk does not tt·ack the location oftl1e UE. The АМF is respon ~ iЫ e fог tгackiп g th e locatioп ofthe UE \Vitl1
а resolution ofthe Regist1·ation Area. Tl1e Base S tatioп са п pгovid e th e АМF ,vith а гe comm e nd ed RAN Node fог pag ing w itl1i11
th e NGAP: UE Coпtext Refease Compfete. Howeveг, th e1·e is no gнa1·antee that tl1 e UE гemain s \Vithin tl1 e cove1·age oftl1at RAN
No de a ft e г m o viп g to RRC Idl e
о tl1 e Base Sta ti o п гece ives p ag iп g messages fгo m tl1e АМF , scl1ed ul es a iг-in te гfac e геsошсеs а пd broadcasts them ac гo ss tl1e ta1·get
cove1·age агеа . Pag iп g acгoss а co mplete Reg i s t гat i o п А1·еа inc1·eases p ag iп g load. D e p e п cliп g нр о п impl eme пtat i o п а п d п e l\vo 1-k
d es i gп , the AMF may diгect tl1 e fi гs t t1·a п s mi ss i o п of а pag ing message to,va1·ds tl1e Base S ta ti o п to whi cl1 tl1e UE was p гev i o u s l y
с опп ес tе d Ь е fоге m ov iп g to RRC Idle (based нр о п tl1e гeco mme пd e d RAN Node fо г pag ing witl1iп tl1 e NGAP: UE Context
Release Complete). IfUE have low mobili ty, this fiгst paging attempt s hoнld Ь е su ccess fнl а пd p agiпg load is геdн сеd . !ft l1is fi rst
pag iпg attempt fa ils tl1 en tl1e AMF may diгect the seco nd attempt ac1·oss the e ntiгe Reg i s tгa ti o п Area. Tl1i s l1i e1шc l1i ca l а рр гоасl1 to
p ag iп g с ап гe dt1 ce pag ing loacl Ьнt с а п also iп с ге а sе delay so diffe гe пt a ppгo ac h es may Ь е applied to di ffe гe пt se гv i ce typ es

62
 5G NR in BULLETS

the UE monitors the PDCCH Downlink Control Infoп11ation (DCI) FoП11at 1_0 t1sing the P-RNТI dнring specific Paging F1·ames
о
(PF) and Paging Occasions (РО) defined Ьу the Discontintюt1s Reception (DRX) patterп. DCI FoП11at 1_0 may inclнde а 'Shoгt
Message' to indicate that System Information has changed or that there is an Earthqt1ake and Tsнnami Warning System (ETWS)
primary notification on SШб,_ or an ETWS secondary notification on SIВ7 , ог а Comrneгcial _M obile Aleгt System (CMAS)
notification оп SIВ8. Othe1w1se DCI Foгmat 1_0 may 1nclt1de а resoнrce allocatюn for а pag111g message on the PDSCH
tlie SG-S-TMSI allocated Ьу the АМF is used to address the UE within paging messages. SG does not st1pport IMSI based paging
о
to lielp improve secнrity, i.e. а tempoi·aгy UE identity is t1sed rather than а µermanent UE identity

о
tlie UE uses Discontinнot1s Reception (DRX) to help conserve UE battery роwег. Long DRX cycles conseгve increased qнantities
ofpoweг bt1t also incгease mobile terminated connection setнp delays. UE sleep dшing the DRX cycle so аге ttпreachaЫe dшing
that time. UE wake at the end of eacli DRX cycle to monitor fог paging messages. The UE and network must гemain synchronised
to ensнre that the netwoi·k only broadcasts paging messages when tlie UE is monitoring for them. The population ofUE usiпg
oRX have time offsets applied to their DRX cycles so поt all UE wake at the same time
о
tlie UE is uпаЫе
to tтaпsfer applicatioп data while iп RRC Idle апd there are по GTP-U tunnels fог the UE betweeп the Base
Statioп апd
UPF, поr is there ап NGAP sigпalliпg соппесtiоп for the UE between tlie Base Statioп апd АМF. The UE гemaiпs iп
the CM-fDLE state while in RRC Idle

1.8.2 RRC CONNECTED

* RRC Conпected is cliaracterised Ьу :

0 the ability to traпsfeг botli applicatioп data апd sigпalliпg bet\veeп the UE апd пetwork. Applicatioп data сап Ье traпsfeпed
bet\veeп the UE апd Base Station using опе or more Data Radio Bearers (DRВ) . Sigпalliпg can Ье traпsferгed betweeп the UE апd
Base Statioп usiпg опе ог more Sigпalliпg Radio Bearers (SRВ). Iп some cases, application data сап Ье traпsfeггed t1si11g ап SRВ,
e.g. SMS data сап Ье traпsferred нsiпg Noп-Access Stгatнm (NAS) sigпalliпg оп ап SRВ
0 the Base Statioп allocates the UE with а Cell Radio Netwoгk Temporary Ideпtifier (C-RNTI). Wlieп t1si11g а CU-DU Split Base
Statioп aгchitectнre, the DU is respoпsiЫe for allocatiпg the C-RNТI dшiпg the Raпdom Access procedнre . The C-RNТI сап Ье
н sed to addгess the UE wheп makiпg t1pli11k апd downliпk геsонrсе allocatioпs оп the PDCCH. The Base Statioп may also
allocate otl1eг types ofRNTI, e.g. MCS-C-RNTI which сап Ье t1sed to allocate the low spect1·al efficieпcy MCS tаЫе , ог the CS-
RNТI whicl1 can Ье t1sed to allocate coпfigшed grants оп the PUSCH

о tl1 e AMF ап d Base Station maintaiп а UE-specific sigпalliпg со пле сt iоп acгoss tl1e NG-C inte1·face. This со ппесtiоп allo,vs tl1e
tгап sfе г ofNG Applicatioп Pгotocol (NGAP) s igпalliп g messages. These messages са п Ь е 11sed fог point-to -poiпt sigпa lliп g
Ьеt\\'ееп the АМF а пd Base S tatioп. Alternatively, tl1ey са п Ь е used to eпcaps нlate Noп-Access St 1·a tнm (NAS) s igпallin g
messages which аге tгaпsfeгred bet\veeп th e UE апd AMF/SMF
о tl1e UPF and Base Station maintain а GTP-U tнппеl acгo ss tl1e NG-U i11 te1·face fo1· eacl1 PDU Sessioп. Eacl1 GTP-U tt1nлel сап
t.-ai1sfe г packets belongiпg to опе or тоге QoS Flows. Tl1e User Рlапе pгotocol adds а l1eadeг to specify the QoS Flow associated
witl1 each iпdividнal packet
о th e UE 1·epoгts Сhаппеl State lnfoП11atio11 (CSI) гeqнested Ьу the пetwork. CSI сап iпcfude Chanпel Qt1ality lndicator (CQI), Raпk
Indicato1· (RI), Pгecodiпg Matгix J11dicato1· (PMI), Lауег Iпdicatoг (LI), CSI-RS Resoшce Indicator (CRI), SS/PBCH Block
Resoшce Iпdicator (SSBRI) апd Layer 1 RSRP. CSI герогts сап Ье нsed fог liпk adaptatioп, МIМО .-апk апd pгecodiпg selectioп,
апd beam maпagemeпt

о the UE can Ье coпfigшed to apply а Соппесtеd Mode DRX pattem to l1elp coпserve UE batte1y power. Соппесtеd Mode DRX
сап Ье coпfigшed to нsе а seгies of sho1·t sleep cycles immediately after апу data traпsfer. These short sleep cycles are followed Ьу
lo11ge1· sleep cycles. The sho1·t cycles help to гeduce lateпcy iп case апу fшtl1eг data traпsfeг is пecessary, wl1ile the lопgег cycles
help to сопsегvе UE battery power. lп ge11e1·al, the probability of additioпal data traпsfer is 1·elatively high immediately after а
peгiod of activity, Ьнt the probability teпds to decrease ,vith time

о п etwo гk coпtrolled mobility based t1po11 l1a11doveгs. Mobility сап Ье categoгised as cell level ог beam level . Cell level haпdovers
involve RRC sigпalliпg апd are maпaged Ьу layer 3. These handoveгs сап Ь е iпtra-system ог iпteг-system towa1·ds LTE. Tl1e
гe l ease 15 ve1·sio11 of tl1e specificatioпs does 110t suppo1·t h a пdover towaгds 2G поr ЗG. The Base Statioп coпfigшes the UE with
tl1resl10lds for vaгioнs гeportiпg eveпts. The UE uses the ге рогtiпg eveпts to tгi gger the traпsmi ss ioп ofMeas шe meпt Repoгts. The
Base Statioп p1·ocesses tl1ese 1·epoгts апd decides whethe1· ог поt to iпitiat e а handoveг ргосеdше . Beam level moЬility does поt
гeqt1iгe RRC sigпalliпg (except fог tl1e iпitial coпfigшation) and is maпaged Ьу tl1e loweг l aye гs . This allows beam level moЬility
to Ь е completed mo1·e гapidly tl1a11 cell level haпdo ve гs
о the UE moпitoгs tl1 e PDCCH Do,vпlink Со пtгоl Iпfoгmat i oп (DCI) Foгmat 1_0 щiп g tl1e P-RNTI dшiп g spec ific Pag iп g F1·ames
(PF) а пd P ag iп g O cca s i oп s (РО) defiп ed Ьу tl1 e Di sco 11ti11tюt1 s Rec eptioп (DRX) patte rп. DCI Format 1_0 may iпc lud e а ' Slюгt
Message' to iпdic ate tl1 at System Iпfoпn at ion has c l1aп ged 01· tl1at theгe is ап Ea гtl1qнake and Tsнпami Wam iп g System (ETWS)
р1·i111агу пotificatioп оп S IВб , ог ап ETWS se coпdaiy пotificatioп оп Sl87 , о г а Comrne гc i a l MoЬile Aleгt System (CMAS)
п otificat ioп оп SIВ8. Tl1e UE does поt expect to receive апу геsошсе a llo cat ioп s for tl1 e Pagiпg С опtгоl Сhа пп е l (РССН) wl1i le
RRC Co nпected

63
5G NR in BULLETS

1.8.3 RRC INACTIVE

* RRC Inactive is characterised Ьу:
о the UE starting ftom RRC Connected and receiving an RRC Re/ease message which includes the suspendConfig parameter
structнre presented in ТаЫе 11. Reception of this parameter structure indicates that the UE should move to RRC Inactive ratЬei·
tЬan RRC Idle

о the suspendConfig parameter structure provides the UE with а full 'Inactive Radio Network Temporary Identifier' (I-RNTI) wh ich
has a,/ength of 40 bits and а short I-RNTI which has а length of24 bits. The network uses the full I-RNТI to address the UE
within RRC Paging messages. The UE can use either the full I-RNТI or the short I-RNТI within the RRC Resume Request
message when attempting to re-enter RRC Connected mode
• if SIВ I does not broadcast the 'useFu//ResumeID' flag, then the UE uses the short I-RNTI within the RRC Resume Request
message on the Common Control Channel (СССН). The RRC Resшne Request is transmitted during the Random Access
procedure as MSGЗ. This means that it cannot Ье segmented and must Ье transmitted using а single Transport Block. The
message size m1.1st Ье kept relat ively small to ensure that reception is reliaЫe when the UE is at cell edge. Using the short
I-RNTI generates а message size of 48 bits
• if SIВ I broadcasts tЬ е 'useFu//ResumelD' flag, then the UE 1.1ses the full I-RNTI within the RRC Resume Request 1 message
on the Common Control Cl1annel 1 (CCCHI). The RRC Resume Request / message has а size of64 bits so it req1.1ires
relatively good coverage for reliaЫe reception. The 64 Ьit message co1.1 ld Ье used for indoor s0l1.1tions 01· small cells wheгe the
coveгage conditions аге always re latively good

о the suspendConfig parameteг strucn1re also pгovid es the UE with а 1-a,1-PagingCyc/e for Disco11tin1.101.1s Reception (DRX). This
defiпes the dшation of the slet;p peгiod while the UE is RRC Inactive. For example, а paging cycle of 128 radio frames means that
the UE wakes once every 1.28 seconds to check fог pagiпg messages. It is likely that the UE also completes its measшemen ts for
cell reselection at the same time as waking to check for pag ing messages

s11spe11dC011fig fro111 RJICNelease 111essage

fi.1II 1 - RNТI BIT STRrNG {40 bits}
sl10rt 1-RNТI BIT STR[NG {24 bits}
ran-PagingCycle 32, 64, 128, 256 rad io fra111es
CHOICE
cel/List 1·an-A1·eaConjigList
pl111в-lde11tity pl111в- ldentity
ran-NotificationArealвfo
1 to 8 instaпces 1 to 8 instances 1 to 16
1 to 32 ТАС
of PLМN-RAN- вгг ofPLМN-RAN- instances of
AreaCell instaпces of STRrNG AreaConfig
Cellldentity (SIZE 36)
RAN- 1 to 32 iпstaпces of 1 О to
AreaConfig RAN-AreaCode 255
1380 5, 10, 20, 30, 60, 120,360, 720 111ins
nextHopChainingCoппt О to 7

ТаЫе 11 - Paramete1· st1·ucture used to indicate that а UE should move to RRC Inactive

о the m11-Notificatio11A/'eal11fo specifies the set of cel ls which аге incl1.1ded within the RAN Notification Area (RNA). There аге two
options for defining this set of cells
• the first option allows the Base Station to pгovide an explicit list ofCell Identities in combination with а PLМN identity. Ifthe
UE completes cell rese lection wh ile RRC Inactive, then the UE reads SIВ I fгom the target cell to determine whether ог not tl1e
new cell identity is incl1.1ded within the RNA. This арргоасl1 allows гe l ative l y small RNA to Ье configшed, i.e. 1.1р to 32 cells
fог а specific PLМN ideпtity

• the second option allows the Base Station to pгovide а list ofRAN Area Codes iп comЬi11atio11 wit/1 а Tracking Area Code
(ТАС) and PLМN identity. Ifthe UE completes cell гeselection while RRC Inactive, then tl1e UE reads SIВl fюm the taгget
cell to determine whetheг ог not the new comЬinatioп ofRAN Area Code апd ТАС is i11 cl1.1ded \Vithin the RNA. This арргоасl1
allows relatively laгge RNA to Ье configured, i.e. а l aгge n1.1mb er of cells can Ье configшed witl1 the same comЬination of
RAN Агеа Code and Т АС
in both cases, tl1e UE сап 1·emain RRC I пacti ve iftl1e taгget cell is iпcl1.1d ed w ithiп tl1e RNA. Othe1,vise, the UE nшst ге-е ntе г RRC
Connected mode to infoгm tl1e netwoгk t lшt tl1 e UE Ьа s moved 01.1tside tl1e RNA
о а l aгgeRNA allo\vs iп cгeased UE moЬility w itl101.1t гequiгiпg tl1 e UE to re-enteг RRC Connected п10dе. Ho\veveг, tЬе release 15
veгsioп oftЬe ЗGРР spec ificatioп s гeq1.1iгe s tЬat all Base Stations within ап RNA m1.1st Ье iпte 1·-connected with Xn inteгfaces. Iп
priпciple, this гeq1.1 iгemen t is поt complex b1.1t in practice, iss1.1es with the tгansport пetwork ог еп01·s iп the пetwork config1.1гati o 11
may lead to Хл inteгfaces being 1.111availaЫe. E n s1.1гin g that all Base Stations аге inteгconnected with Xn inteгfaces becomes mо ге
cЬalleпging as tl1e RNA becomes large1·. Tl1e 1.1se of l a гge RNA may become mоге pгactica l when 1.1 sing clo1.1d s0l1.1tions based
 5G NR in BULLETS

нроn tlie CU-DU Split Base Station a 1·c hitec tшe . In this case, а large nнmЬег of geographically distribнted cells сап belong to th e
sa me Base Station and thus remove tl1 e reqнire ment for а large nнmЬег ofX2 interfaces
Figшe 57 illнstrates th_e two option_s for co nПgшin g а RAN Notification Area. The second option demonstrates tliat а siпgle RAN
о
Notification Area сап шсlнdе mult1ple Trackшg Агеаs and that each Tracking Агеа сап нsе one or more RAN Агеа Codes. It also
illн s t ra tes tliat RAN Area Code nшnbering сап Ье re-t1sed acгoss diffe гent Tгackiпg Агеаs

Figure 57 also illнstrates tl1at the seгving Base Station maiпta ins the NG signalling connection with the AMF and the GTP-U
о
ttшпels \Vith the UPF while the UE is RRC Inactive. The UE is нnаЫе to transfer application data while RRC Iпactive , Ьнt these
conпectioпs are m a iпtained to avoid the requiгement to re-esta Ыish them ifthe UE re-enters RRC Connected. It may Ье necessary
to move tl1em from the original seгving Base Station to а new serving Base Station ifthe UE is mobile while RRC Inactive

AMF RAN Notification Агеа based upon AMF

RAN Notification Area comblnation of Tracking Area Code
based upon Cell ldentities UPF
(ТАС) & RAN Area Codes (RAC)

connection
5IВ1 { J
н TACl

- -
Cell ld 2 Tunnels

-
RAC 1

51В1 11
51В1
Cell ld 4
5 1В1 \1
ТАС 1 ·

-
Cell id 1

-
RAC 1 ТАС 1

51В1 \ l
Cell ld 3 '
51В1 \1 '1 S1B1 \)
ТАС 2 '

- -
S1B1 2
ТАС •

- -·
Cell ld 5 RAC 1
RAC 2

ТАС 2

Figш·e 57 - RAN Notificatioп Ar·eas based 11ро11 Cell Ideпtitie s ш· the combl11atio11 ofT1·acki11g Area Code апd RAN Ar·ea Code

о Re tнming to the content оfТаЫе 11 , 't380' defines th e tim e г fог p e гiodic RAN Notification Area Updates. Tl1ese t1pdates se1·ve as
а keep-alive mechani sm to veгify th at tl1e UE remain s camped \Vithin the RAN Notification Area. Expiry of 't380' will have some
clependence нроп tl1e device type. Fш examp le, if а smart phone tгa n sfe 1·s b ackgl'O нnd data еvегу 60 seco nd s \Vhile ' t380' is set to
5 minutes, tl1 e11 ' t380' \v ill n eveг expi1·e Ь еса н sе it w ill Ь е stopped еvегу tim e tl1e UE moves to RRC Соп п ес tеd mode and гeset
eve1·y time tl1e UE 1·et11гn s to RRC Tnact ive
о Tl1e ' 11 extHo pCl1 a i 11 in gCo н11t ' is н se d to н pdate tl1e Base Statio п sec шity key (NCC vai·i a Ы e specifi ed witl1in 3GPP TS 33.5 01)
о F i g шe
58 illt1st1·ates tl1e s i gпa lliп g 11sed to геs нmе ап RRC Со ппесtiоп at а new seгviп g Base Statio n. T l1 e UE iпitiates tl1e
pl'Ocedшe Ьу se пdiп g eitl1e1· а11 RRC Resume Requesl о г an RRC Res11111e Reques/ 1. Tl1e c onteпt of tl1ese messages is pгese nted iп
ТаЫе 12. Se l ectioп is based нр оn tl1e '11seF11I/Res11111e/D ' fl ag w ithin SIB 1. Botl1 messages iп c lнd e а п T-RNTI, а MAC -I and а
санsе Уа lн е. The М АС- 1 infoгm a tion e lemeп t is 11sed to a11tl1e11ticate tl1e UE befo1·e allowing the UE to ге-епtег RRC Connec ted

NewServing Original Serving

ИЕ Base Station Base Station AMF
1

1 ИЕ is RRC /nactive 1

RRC Resum e Requ est, or

RRC Resum e Request 1
• ХпАР: Retrieve ИЕ Cantext Reques t

ХпАР: Retrieve ИЕ Context Response

RRC Resum e ~

1 ИЕ is RRC Conn ected 1

RRC Resume Complete

- ХпАР: Dato Forwarding Address lndication
NGAP: Path Switch Request

NGAP: Path Switc/1 Respanse

ХпАР: ИЕ Context Release

Figнre 58 - Sigпall in g 11sed to res11111e an RRC Co1111ection at а ne,v ser·viпg Base Statioп

о tl1e п е\11 seгvi п g Base S tatioп ex tгacts the I -RNТ I fгom tl1e RRC Resш11 e Request or RRC Resume Request 1 and нses it to id e пti fy
tl1e origina l se1·vin g Base Station. ЗGРР does not specify а fixed mapping fог inclнdin g tl1e Base Station ident ity w itl1i11 tl1 e I-
RNТI . Instead, tl1 e пetwoгk vеп d ог is геsропsiЫе fог implemeпtiпg а specific mapping. The п ehvork vе пdог may iп c lнd e
contl'Olling paramete1·s w itl1in the Base Station databнild to pl'Ovide flexibility, i. e. allow ing tl1e оре 1·аtог to co nfi gшe а specific

--
65
5G NR in BULLETS

mapping. ln general, the 1-RNТI needs to inclнde а Base Station identity and а UE identity. The mapping rules сап Ье ttsed to
partition the total nнmЬег ofbits between each field. For example, the 24 bit 1-RNТI could Ье partitioned into а 16 bit Base Station
identity and an 8 Ьit UE identity. This partitioning would suppoгt 65506 Base Stations and 256 RRC Inactive UE at each Base
Station. Supporting а large nt1mber ofBase Stations and а large number ofUE reqt1ires the 40 Ьit 1-RNTI

RR CRes11111eRe{{11es1 !ШCRes 11111eR e{{11est 1

rest1meldentity short I-RNTI 1 ВIТ STRING (SIZE 24) resume!dentity I-RNTI 1 ВП STRING (SIZE 40)
resumeMAC-1 ВIТ STRING (SIZE 16) resнmeMAC-I BIT STRING (SIZE 16)
. emergency, highPriorityAccess, mt-Access, emergency, highPriorityAccess, mt-Access,
mo-Signalling, mo-Data, mo-VoiceCall, mo-Signalling, mo-Data, mo-VoiceCall,
resumeCause resumeCause
mo-VideoCall, mo-SMS, ma-Update, mo-VideoCall, mo-SMS , ma-Update,
mps-PriorityAccess, mcs-PriorityAccess mps-PriorityAccess, mcs-PriorityAccess

ТаЫе 12 - RRC Resume Request and RRC Resume Request 1 messages

о once the oгiginal seI"Ving Base Station has Ьееп identified, an ХпАР: Refl"ie11e ИЕ Context Request is sent acгoss the Xn interface.
This message includes the three fields from the RRC Resume Request and also specifies the cell which received the RRC Resume
Request. The cat1se value 'rna-Update' (visiЫe in ТаЫе 12) сап refeг to а periodic t1pdate or it сап гefer to а moЬility based update
after moving outside the RAN Notification Агеа. It is not mandatory to relocate the UE Context when completing а periodic
update, whereas the UE Context must Ье relocated ifthe UE moves ot1tside the curгent RAN Notification Агеа
о the oгigiпal seI"Ving Base Station may respond with an XnAP: Ret1·ieve UE Context Response which pгovides the new seI"Ving
Base Station with the content ofthe UE Context. lt also specifies the АМF identity which allows the new serving Base Station to
initiate the Path Switch procedure. Ifthe 'санsе ' within the RRC Resume Request is 'rna-Update' and the original seI"Ving Base
Station deduces that it is а periodic update then the original seгving Base Station may decide to keep the UE context and respoпd
with а XnAp: Ret1·ie11e ИЕ Context Fai/ш·e. In that case, the new seI"Ving Base Station сап move the UE back to RRC lnactive Ьу
sending an RRC Re/ease message which includes the suspe11dC01ifig parameter structure
о assнming а 'санsе' value otheг than 'rna-Update', the new seгving Base Station moves the UE into RRC Connected Ьу sending an
RRC Resume. This message сап inclttde гadio bearer, masteг cell group and measurement configurations. The UE гesponds with
an RRC Resume Comp/ete which may include а Non-Access Stratнm (NAS) signalling message to Ье foгwarded to the АМF
о the new seJ"Ving Base Station t1ses tl1e XnAP: Data Foпva, ·ding Add1·ess Indication to provide tl1e oгiginal seI"Ving Base Station
with tгansport network lауег address information ,vhich сап Ье used to foгwar·d down link data towнгd s the new serving Base
Station. The new seJ"Ving Base Station also t1ses NGAP signalliпg to complete the Path Switcl1 ргосеdше with the АМF . The
NGAP: Path S111itc/1 Request pгovides the АМF ,vith tгanspoгt netwoгk lауег addгess infoгmatioп fог do,vпliпk data. The АМF
foгwar·ds this infoгmation to the SMF, and the SМF fшwards it to th e UPF. Finally, the ne,v seгviпg Base Station instrt1cts the
oгiginal seI"Ving Base Statioп to гelease the UE Coпtext Ьу sendiпg an XnAP: ИЕ Context Re/ease

о Figшe 59 illнstгa tes tl1e distгibнtioп of а pagiп g message after the seгving Base S tatioп гeceives some do,vпliпk data fгom tl1e
UPF. The Radio Access Network is геsропsiЫ е fог pгoviding гeachability while the UE is RRC lпactive bt1t the se1-viпg Base
Station does поt have precise knowledge ofthe UE locatioп , i.e. the seгving Base Station only knows that the UE is somewhe1·e
within the RAN Notification Агеа . The XnAP : RAN -P aging message сап Ье нsed to гequest other Base Stations to bгoadcast ап
RRC: Paging message. The XnAP: RAN Paging message provides each Base Station witl1 both the full and sho1·t 1-RNTI. Tl1e
RRC: Paging message addresses the UE using the fн ll 1-RNTI whereas the UE may геsропd using an RRC Resume Request ,vhicl1
contains on ly the shoгt 1-RNTI

RRC : Paging UPF

(1-RNT;__..,-- 11 RRC: Paging
ХпАР: (1-RNTI)
RAN Pag1ng ~ .

-~
1-RNТI)
RRC: Paging
( 1 - R N ~ \1
\______\J

-
XnAP· RAN Pag1ng

/2
(1-RNТI)

-~ 11 RRC:Paging
~NTI)

RRC: Paging ~ 11 ХпАР:

RAN Paging -
(1-RNTI) _ , /
aging (1-RNTI)

F i gш·e
- (1 -RN ТI)

59 - Dist1·ibution of Pag ing message for UE \\'l1icl1 is RRC Iп active

о the UE reads System Into1·matio11 fгom tl1e Bгoadcast Сопtгоl Сhаппеl (ВССН) wl1ile RRC Iпactive. This is п есеssагу to pгovid~
the UE ,vith tl1e iпfoгmation it гeqнi1·e s to complete cell гeselectioп. System Iпfoгm at ioп also provides tl1 e UE witl1 all oftl1e
iпfoгmatioп it гeq uiгes to access the пetwoгk , i.e. to complete the Raпdom Access ргосеdше

о 3GPP Refeгeпces: TS 38.331

66
г 5G NR in BULLETS

1.9 REGISTRATION MANAGEMENT

' Registration Maпagemeпt' (RМ~ states а ге 111a iпtaiп_e d Ьу the Noп-Access Stгatu111 (NAS) l aye гs withiп botl1 the UE апd the Access
* alld Mobility Мапаgе111епt Fuпсtюп (АМF). The 111atn l\vo RМ states are 1llust1·ated tn F1gшe 60

Registration Registration Update

Reject пдссе рt
Regi stration

RM-DEREGISТERED
_ __ _A
_c_c-e p_t _ _ __(
RM-REGISТERED ]

~ - - - -- --__; Deregistration ог
Registration Update Reject

Figure 60 - Regist1·ation Manageшeпt states froш the pe1·spective of the НЕ and АМF

* А UE is RМ-DEREGISTERED when it is first switched оп. Tl1e АМF does поt have knowledge ofthe UE locatioп so the UE саппоt
Ье paged. Tl1e UE саппо t access the vast 111ajority of5G seгvi ces \vhile RМ-DEREGISTERED, i.e . the UE can only н sе the ' limited
service' state to make e meгge11cy calls
* UE move i11to tl1 e RМ-REG ISTERED state Ьу comp letiп g the Registгatioп ргосеduге . This is p oss iЫ e after the UE has completed cell
selection and is camping 011 the 5G network. TI,e Registration procedure is а NAS signalling pгocedure between tl,e UE and а 11 АМF.
The Base Station selects an appropriate АМF afteг receiving the NAS: Regist1·atio11 Request from the UE

* Tlie AMF н ses the NAS : R egistгation Accept 111essage to pгovide the UE wi th а 5G Globally U11ique Tempoгary Ide11tifier (5G-GUТI).
Tlie 5O-GUП is а co п ca teпat ion ofthe МСС, МNС, АМF Region, АМF Set, AMF Роiпtег а пd 5O-TMSI. This allows the пel\voгk to
st1bseq t1 ently addгess th e UE н s in g its 5O-S-TMSI which is а s lюrtened veгsion ofthe 5O-GUTI (5G-S-TMSI is а co пc a tenation ofthe
AMF Set, AMF Роiпtег а пd 5O-TMSI)
* Tl1e гegistratioп pгocedure сап Ье н sed to п ego ti ate th e set ofNetwo1·k Slices ava il a Ы e to а UE. Tl1e NAS : Regist1·atio11 Request са п
i11clt1de а li st of гeqнested 'Si ngle Nel\vo1·k Slice Selecti on Assistaпce Info1·mat ion' (S-NSSAI), i. e. а list of reqнested Nel\vo гk Slices.
Т11е AMF can 11se the NAS: Regist1·atio11 А ссер! message to specify co пespo п di п g lists of all o\ved and rejected S-NSSAI

,1 А UE whi cl1 is RМ-REGISTERED t1pdates its registгatioп \Vitl1 th e АМF:

о p eг iodi ca ll y based нроп tim e г Т35 1 2 . The UE гe c e iv es tl, e va lн e of Т35 1 2 fго111 tl1e AMF \v i tl1iп th e NAS: Registmtion А ссер!
111essage. The АМF н ses а s нp eгvi s ioп tim e г based нроп tl, e val11e Т35 1 2 . Tl,e AMF w ill implicitly d e гeg i s t e 1· tl1 e UE if thi s
sн pe 1·v i s io11 tim e г expires, i.e. the UE mн s t comp lete а pe1·iodi c 1·egist1·a tio11 be fo 1·e the timeг e xp i гes . А pc1·iodic 1·eg i s tгatio11 is
com plctecl н s iп g tl1 e NAS: Registmtion R eцues t w itl, tl1 e '5 GS Regist1·atio11 Ту р е' set to ·pe1·iod ic гeg i s tгatioп t1p dati11g'

о based нроп mobility if tl1e UE moves oнtside tl1 e сште11t гeg istгa tioп агеа. The UE гcceives а li st of опе or mo1·e T1·ack i11g Aieas
fгom tl1e АМF withi11 the NAS: Registmtion Ассер ! message. These T1·a c kiпg Агеаs d efi п e tl1 e гegistration агеа. А UE iпiti ates а
reg i s tгa tioп нpdate dне to mobility ifit completes а cell гese l e c tioп опtо а cell wl1ich does поt beloп g to оп е of the Tгackiп g А.геаs
specified Ьу the АМF. The гegistratioп update is completed н si п g the NAS: Registгation Reцuest \Vith the ' 5GS Registt·atioп
Тур е' set to 'mobili ty гegistratioп updatiп g'

о ifthe UE wishes to t1pdate its capabilities ог re - пegoti a te pгotocol parameteгs . Iп this case, the UE сап н sе the NAS : Regist1·atio11
Reцues tmessage to pгovid e а пеw set of UE capabilities or а пеw set of pl'Otocol p aгamete 1·s

* The AМF ' s kno\vledge oftl1e UE locatioп d epeпd s нроп both the Reg istratioп Maпagemeпt апd Соппес tiоп Maпagemeпt states:

о RМ-DEREGISTERED - the АМF l1as по know ledge oftl1e UE locatioп

о RМ-REGISTERED & CM-IDLE - the АМF knows the UE loc a tioп iп teгm s of tl1e Regist!'atioп А.геа

о RМ - REG ISTERED & CM-CONNECTED - the АМF kпows th e UE loc at ioп iп terms oftl1e seгv iп g Base Statioп (althoнgh RRC
Iп act i ve allo\vs the UE to l'Oam \V ithiп а RAN Notificatioп А.геа witlюнt iпfoгma tioп the se 1-v iп g Base Statioп , поr the АМF)
* А UE make tl1 e tгaпsitioп fгom RМ-REGISTERED to RМ-DEREGISTERED Ьу completiпg the De-гegistгat i o п ргосеdше , or Ьу
lшviпg а гegi s tгat ioп update t·ejected. Tl1e De-гegistratioп procedшe is iпitiated н s iпg th e NAS: De-1·egist1·ation Rec111est message. Тl1еге
аге two ve1·sio11s ofthis шessage so the pгocedure сап Ь е iпiti ated Ьу ei ther tl1e UE ог the АМF

* ЗGРР Refeгeп ces: TS 23 .50 1, TS 24.5 01

5G NR in BULLETS

1.10 CONNECTION MANAGEMENT

* Connection Management (СМ) refl ects the UE statt1s in terrns ofits signalling connection with the АМF . А UE which is CM-IDLE
does not have а signalling connection with the АМF, whereas а UE whi ch is CM-CONNECTED has а signalling connection with the
АМF . This signalling connection is used to transte r Non-Access Stгatt1m (NAS) signalling messages

* The signalling connection between the UE and АМF is based upon the N I logical interface. This logical interface сап Ье viewed as а
comblnation ofthe signalling connection between the UE and the Base Station (RRC signalling connection), and the signalling
connection between the Base Station and the АМF (N2 logica\ interface which corresponds to an NGAP signalling connection)
'1.

* The CM-IDLE and CM-CONNECTED states are maintained Ьу the NAS layers within both the UE and the АМF . These states are
illustrated in Figure 6 1

RRC Signalling
Connection Esta Ьlished
UE
CM-IDLE CM-CONNECTED ]
Perspective
RRC Signalling
Connection Released

N2 Context E staЫi s h ed
AMF [ ]
CM-IDLE CM-CONNECTED
Perspective - -- - -- ------<
~------~ N2 Connection Released ---------~

Fi g ш· e 61 - Connection Mana geшeпt states f1·ош tl1e perspective of tl1 e UE and AMF

* А UE moves itself into CM-CONNECTED once an RRC signalling connecti on has been es ta Ыi s h ed . The АМ F moves the UE into
CM-CONNECTED once an N2 signalling conn ecti on (NGAP signalling c oпn ection) has been es ta Ыi s l1e d . The tгa n s mi ss i o п of an
initia l NAS message, e.g. Registm tion Request о г Seп1ice Request, tri ggeгs the transition fro m CM-IDLE to CM-CONNECTED
Ь есан sе it iпitiates the setup of s i gп a llin g connecti ons between the UE and Base Stati on, and b etwee п the Base Station and АМ F

* А UE whi cl1 is RRC Idle is a lso CM-IDLE. А UE wl1ich is RRC Co пn ec ted ог RRC Inac tive is CM-CONNECTED
* А UE wl1ich is CM-IDLE н ses UE coп t ю ll ed moblli ty based нроn cell 1·eselection, i.e. RRC Idle mo de mo bili ty
* Tl1e n etwoгk bюadcas t s а п RRC: Paging message ift l1e1·e is downli nk clata to t1·ansfeг towa гds а CM-IDLE UE. T l1e Paging message
t1· i gge гs
the UE to esta Ыi s h an RRC Conп ect i on а п сl to seпd а NAS : Seп1ice Request to tl1e AMF . T he NAS: Seп,ice Request iпi tiates
th e se tнp of the N2 signa lling с опп ес ti о п ,vhi ch tl1 eп moves the UE to CM-CONNECTED. Similarly, tl1 e UE es ta Ыi s l1 es an RRC
C oпn ection and se пd s а N AS: Se1·\lice Request to th e AMF iftl1e UE has t1plink data to tгa n sfe г

* А UE makes the tгa n s iti o n from CM-CONNECTED to С М- ШLЕ when its s i gп a llin g co пп ect ion is released, ог wh en its signalling
connection fail s
* З GРР Refeгences : TS 23.501 , TS 24.5 01

68
 5G NR in BULLETS

1.11 ACCESS CONТROL

There are nvo high level solutions for controlling network access attempts:
*
0 Cell Rese1·vations and Access Res tгictions wl1ich impact the peгmi ss ions fo1· cell selection and cell гese l ection

0 Unified Access Control (UAC) which impacts the pe1mission to send initia'. messages from the RRC Idle, RRC Connected and
RRC Inactive modes
Cell Reseгva tions and Access Restгictions аге based upon а set of 3 fl ags included within the МIВ and SIВ 1:
*
0 се//Вт-геd сап Ье broadcast with а value of 'Ьапеd' or 'notBarred'. This flag is included within the МIВ to allow early detection
ofthe status without гequiring the UE to receive and decode SIВ 1. If а cell is barгed then the UE is not permitted to select nог
reselect the cell. This applies to all UE and pгevents emergency calls from being initiated
0 ce//Resen 1 edFoгOpemt01·Use сап Ье broadcast with а value of ' reseгved' ог ' notReseгved '. This flag is included within SIВ I and
а separate instance сап Ье broadcast for each PLМN (ifthe cell is configшed with multiple PLМN). Ifa cell is reserved tl1en а UE
\Vith а11 Access Identity of 11 (PLМN Use) ог an Access Identity of 15 (PLМN Staff) is peгmitted to use the cell fог selection and
1·ese l ec tioп , ifthat UE is within its Ноте PLМN ог an Equivalent Ноше PLМN . If а cell is гeserv e d then а UE with Access
Identi ty О , 1, 2, 12, 13 о г 14 treats tl1e cell as 'Ьа1теd' , i.e. the UE is not peгmitted to select поr reselect the cell
0 cel!Rese1·vedF01·0t/1e1·Use сап Ье bгo a dcast within SIВ I with а value of 'tn1e' or сап Ье excluded from SIВ 1. When this flag is
b1·oadcast Ьу SIВ I th e11 all UE treat the cell as 'Ьа1теd ', i.e. it has tl1e sa me impact as tl1e cel!Bmтed flag withiп tl1e МIВ. There is
а single instance ofthe flag which is applicaЫe to all PLМN . cel!Resen,edFoгOt/1e1·Use does not l1ave а specific purpose within
the release 15 veгsion ofthe 30РР specifications but has been introduced to provide fo1wai·d compatibility with services which
may Ье i11tгoduced iп the futi.1гe . The example of Closed Subscriber Oroup (CSO) cells сап Ье used to illustгate lюw this tlag
pгovides foгwaгd compatibility. Т11е release 15 veгsio11 ofthe 30РР specificatio11s does not suppoгt CSO cells fог New Radio. If
th e гe l ease 16 version of the specifications introduces suppoгt fог CSO cells the11 а release 16 UE will understand the гul es fo1·
access ing а CSO cell ( only subscribeгs belonging to the closed s t1b scribeг gгot1p аге peгmitted to access the cell). R elease 15 UE
will поt l1ave any knowl edge oftl1ese rules but the cel!Rese1·vec!F01·0the1·Use flag сап Ь е t1sed to ensure tliat а гe lea se 15 UE does
поt attempt to access th e CSO cell

* [ftl1e МIВ iпdi cates that а cell is Ь а 1те d the11 tl1 e UE will also cl1eck tl1e i11tгaF1 ·eqR eselectio 11 fla g \Vhich is also included \V ithiп tl1e
МIВ. Ifthis fl ag is set to ' notAllowed' then th e UE is not pe1·mitted to гese lect a 11otl1 eг cell оп the same fгequency . Otl1e1·wise, iftl1is
tlag is set to 'All o\ved ' tl1e11 the UE is pe1mitted to гese l ect апоthег cell о п tl1 e same fгeqt1eпcy
* А UE also t1·eats а cell as Ьапеd ifthe UE fa il s to decode tl1 e MIB. I11 tl1i s case, the UE is pe.-n1itted to гese l ec t anotl1 e1· cell 011 the same
f1·equ e11cy. In additio11, а UE t1·eats а cell as Ьапеd if the UE fa il s to decode S IВ 1. 111 this case, tl1 e UE ttses the i11t1 ·aFгec1Reselectio11
fl ag fr·om \V ithi11 tl1e МIВ to deteгmi11 e \Vl1etl1e1· 01· 11ot гese l ec ti o n to a 11otl1 eг cell 011 th e sa me ft·eq t1ency is p e пni tte d . А UE t1·eats tl1 e
cell as Ьапеd fог t1p to 300 seco11ds w l1 eп it fails to decode tl1 e МIВ ог SJВ 1
* 20, 30 and 40 n etwoгks have t1sed Access Class Barring (АСВ) to co ntгol access . Tl1is reli es нро11 all SIM having an Access Class
\Vithin the гa nge О to 9. In addition, а limited grot1p oft1seгs may Ье allocated SIM wl1ich l1ave been pгovisioned with а special Access
Class withi11 the гапgе 11 to 15 , wl1eгe АС 11 is int e пded fог PLМN Use; АС 12 is intended fог Security Seгvices; АС 13 is iпtended for
РнЬ!i с Utilities; АС 14 is intended fo1· Emergency Services; АС 15 is i11tended fог PLМN Staff. А UE adopts Access Class I О when
i11iti a tiл g an eme1·gency ca ll. Variotts Access Class Baпin g solu'tions have evolved over time, e.g. barring specific Access Classes
withiп the гange О to 9; specifying а probability that access is peгmitted fог а UE with Access Class О to 9; baгriпg access fог specific
se1·vices a11d co11лection estaЫishment caнses; baпing access i11 gепегаl but then allowing specific seгvices to ' skip ' the baпing
* Tl1e гel ease 15 versioп ofthe 30РР specifications introdнc es the сопсерt ofUnified Access Control (UAC) \vhich is based upon the
ttse of'Access Identities' and ' Access Categories'. А UE assoc iates itselfwith an Access Identity based ttpon the 111les pгesented in
ТаЬ! е 13. Access Identities 11 to 15 ai·e mapped diгectly from Access Classes 11 to 15. Access Identities I апd 2 аге linked to
s нb scribeгs permitted to н sе the МРS and MCS services. Access Identity О is linked to all otheг cases. Iп general, Access Ideпtity О will
сарtше Access Classes О to 9

Лccess ld e11tity UE Co 11fi gшati o 11

о UE is поt coпfi gшed ,vitl1 апу parameters from tl1is tаЫ е

1 UE is coпfigшed for Multimedia Priority Service (MPS)

2 UE is coпfigшed for Mi ss ioп Critical Service (MCS)
3 to 10 Reserved
11 UE lш s Access C lass 11
12 UE lшs Access C lass 12
13 UE l1as Access C lass 13
14 UE lias Access C lass 14
15 UE l1as Access C lass 15

ТаЫе 13 - Mapping to set of Access ldentities

5G NR in BULLETS

* The '5GS Network Feature Support' field within а NAS: R egistгation Ассер! message includes an 'МРS Indicator' which can Ье set 10
'1' when providing permission to use the МРS service, i.e. this flag can Ье used to allocate Access Identity 1. Similarly, the same field
includes an 'MCS Jndicator' which can Ье set to ' 1' when providing permission to use the MCS service, i.e. this flag can Ье used to
allocate Access ldentity 2. Alternatively, the 'EFuAc_A1c' USIM file can Ье used to provision Access Identity I or 2
* А UE links а specific connection attempt to а specific Access Category t1sing the шles presented in ТаЫе 14. If а connection attempt
matches more than а single n1le, the Access Category belonging to the lowest шlе number is selected. UE with Access Category () arc
not st1bject to Access Barring becat1se the network is responsiЫe for managing the transmission of Paging messages, i.e. the network
shot1ld not page the UE ifthe connection is not permitted

Rнle Туре of Access Access Category

Response to Paging
1 Response to Notification over non-3GPP Access О (МТ Access)
5GMM Connection Management procedure for transfer of an LPP message
2 Emergency 2 (Emergency)
3 Operator defined Access Categories 32 to 63 (Operator Defined)
4 Delay Tolerant Service 1 (Delay Tolerant)
5 МО MMTel Voice Call 4 (МО MMTel Voice)
6 МО MMTel Video 9 11 5 (МО MMTel Video)
7 МО SMS over NAS 9r SMSo!P 6 (МО SMS & SMSo!P)
8 UE NAS iпitiated 5GMM procedнre 3 (МО Signalling)
UE NAS initiated 5GMM Coпnec tion Maпagement procedнre
9 7 (МО Data)
UE NAS initi ated 5GMM NAS Transport procedure
10 Uplink User Plane Packet tra11sfer for PDU Session \Vit\1 suspeпded User Рlапе Resoшces 7 (МО Data)

Таьtе 14 - Mappi11g to set of Access Categories

* Access Categories 32 to 63 can Ье co nfi gшed Ьу the operatoг. The NAS: Regist1·atio11 Ассер! message provided Ьу the АМF сап
inclt1de the 'Opeгator Defined Access Categoгy Defiпitions ' field wl1icl1 specifies а set ofmapping rнles. Tl1e content ofthis fi eld is
pгesented in ТаЫе 15. The precedence valt1e is applied as а priority wl1en а connection attempt matches more than а sing le set ofthc
орегаtог defined Access Categoг i es. Iп this case, th e UE selects th e Access Categoгy ,vitl1 tl1e lowest precedence va lн e

Оретю, · /Je/ine<I Access Catego п · /Je/initions

Precedence Value
Operator Defined Access Category N нmb er (32 to 63)
Criteria DNN
OS 1D + OS Арр 1D
S-NSSAI
Staпdardised Access Category

Таьtе 15 - Ope1·ator defined Access Catego1·y crite1·ia

* The c1·iteria fог selecting а specific operator defined Access Category is based t1pon а combinatioп ofthe Data Network Name (DNN),
the ideпtity of the UE operating system, the identity of the application which is t1·iggeгing tl1e connection attempt and the Net\voгk Slice
* А Standardised Access Categoгy can Ье linked to the opeгator defined Access Category for the pш·poses ofselecting а 'cat1se' va lн e for
the RRC Setup Request message. ТаЫе 338 in section 15.3 presents the mapping fi·om Access Jdentity and Access Category to RRC
Setup санsе valt1e. This mapping tаЫе does поt inclt1de any opeгator defiпed Access Catego гi es so the inclнsion ofa standardised
Access Categoгy withiп ТаЫе 15 allows an appropriate cat1se valt1e to Ье identified
* Access Contгol Cl1ecks based t1роп Access Identity and Access Category ai·e reqt1ired wh eп а UE iпitiates the transition fгom RRC Idle
mode to RRC Connected mode. Access Contгol Checks а ге also reqt1iгed for UE in RRC Coпnected апd RRC Inactive modes wl1 e11
specific eveпts оссш·, e.g. а mobile oгigiпated voice ог video ca ll is iпiti ated, а пюЬilе origiпated SMS is initiated, an t1pliпk NAS
message is t1sed to sett1p ог modify а PDU Session, нpliпk data t1·ansfer ,vl1ich геqнiгеs the t1 se of а s н spe пded PDU Sessioп
* The 11ac-Ban'i11gl11fo \Vitl1i11 SIВ I pгovides tl1 e pai·a111ete1·s to deteп11iпe \Vhen а п Access Baпi n g check is re qt1iгe d. Tl1ese parameteгs
are d escгib e d in sec tio п 6.2 (ТаЫс 152). An access baпing cl1 eck iпvol ves tl1 e UE ge п er a tiп g а нпifoгmly di stribt1ted п111dom 11ш11 Ь е 1·
bet\veeп О апd I . Iftl1e гап dоm 1ш111Ь е1· is !ess th aп the vа !н е of 11ac-Bштi11gFac to1 ·, tl1 e11 th e access attempt is permi tted. Otl1 eпN i se,
tl1e access attempt is Ь а пеd. Co пfi g ш· i пg а va lt1e of 'О' for uac- Bштi11gFacto1· meaпs tl1at а !! cl1ecks \v ill lead to Ьа1теd access attempts
* If an access attempt is Ьапеd, tl1e UE geпeгates а seco пd Lшifoп11!y distribt1ted гапdоm 11t1111ber betweeп О а пd !. The va lt1e ofT390 is
tl1 eп set eq н a l to (0 .7 + 0. 6 х 1·a11d) х uac-8C11 тi11gTi111e seco пd s, wl1e1·e '1·а пd ' is th e raпdom пш11Ь е1·. Т390 defines tl1 e dш·ati oп tl1at t!i e
UE treats the с е !! as baiтe d for the co1тespoпdiпg Access Category
* 3GPP Refe гe пce s : TS 24.5 01, TS 38.3 04, TS 38.33 1

70
 5G NR in BULLETS

1.12
SIGNALLING RADIO BEARERS
* Tlie RRC signalling protocol operates bet\veen the UE and Base Station
* Tlic Nоп Access Stratum (NAS) signalling pгotocol opeгates bet\veen the UE arнl AМF/S МF

s· пalling Radio Bearers (SRВ) аге пsed to transfeг RRC messages between the UE and Base Station. RRC messages сап encapsпlate
* N1 fs messages so SRВ аге also responsiЫe fог tгansferring NAS messages bctween the UE and Base Station. The NG Application
Protocol (NGAP) is пsed to transfer NAS messages between tl1e Base Station and АМF. NAS messages associated with Sessioп
Maпagement terminate at the SМF rather than the АМF. The АМF acts а relay between the Base Station and SMF fог Session
Management NAS messages
Figнre 62 illпstrates the protocol stacks нsed for both RRC and NAS signalling. The set ofSRВ provide а logical connection between
* 1 11 е RRC layers within the UE and Base Station

ИЕ AMF
1 - - - -- - - ' -----------------------

: NAS [•}----------------- --- ---- -- --- Logical Nl connection ------------------------------~- ►! NAS

,;'г'
~.7 !: ~~:=-~!?!!~~------------------------ ----------------,
1 ,
!
1
◊
V
: SRB :
RRC •r--------------1-- RRC
NAS
NGAP NGAP
' '
PDCP '' ' PDCP РОИ SСТР
' ''' -
SСТР
''' '
RLC '' ''' RLC /Р /Р
'' ''' - '
''
МАС
'' ''' МАС Data Link Layer Transport Data Link Layer
f-------- -
: Air-Jnterface [ ' Connection
РНУ
- РНУ РНУ
-
- РНУ

- - - - - - - - - - - - - - - - - - - _1 .' ---- -- --------- - - -- - - -- -- ---- ---- -- ---- - ------------,'

Figш·e 62 - P1·otocol stacks for RRC and NAS sig11alling

• ЗG РР l1as spec ified 4 types of SRВ for New Radio (NR):

о SRВ О t1·at1 s feгs RRC messages whicl1 tise tl1e Common Contгol Channel (СССН) logical chaпnel

о SRB 1, 2 and 3 transfe1· RRC messages ,vl1icl1 пsе the Dedicated Contro l Cl1 an11el (DCCH) logical c haпn e l

о SRВ I s нpp orts RRC signalling bet\vee11 tl1 e UE a11d Base Station Ьпt са п also e ncapsпlare NAS messages ргiог to th e setпp of
SRВ 2
о SRВ 2 is always setнp afte1· sec шity activatio11 a11d is t1sed to enca psнlate NAS messages. SRВ 2 messages аге haпdled ,vith lowe1·
pгio1· i ty гe lative
to SRВ I messages
о SRВ 3 is applicaЫe when tt s iпg the 'E-UTRAN New Radio Dtial Connectivity' (EN-DC) co11figпratioп. Iп tl1is case, SRВ О , 1 апd
2 are maпaged Ьу the E-UTRAN Master· Node while SRВ 3 is managed Ьу the NR Secoпdary Node. SRВ 3 allows RRC messages
to Ь е tt·aпsferred directly b etweeп the Secondary Node апd the UE. SRВ 3 is limited to tгansferтing RRC Reco11figш·atio11 and
Measш·ement Repo1·1 messages. These messages аге а s пb se t oftlюse traпsfeгred Ьу SRВ 1
lt Figшe 63 illнstrates the concept ofa 'Split SRВ' whicl1 is applicaЫe to SRВ I апd SRВ 2 wl1en пsiпg а Dпal Coпnectivity
co пfigшation . А split SRВ m ea пs that RRC messages сап Ье tr·ans ferтed пsing the Master Node a iг-inteгface, tl1e Secoпdary Node air·-
iпterface ог both air-iпterfaces . The пsе ofboth air-interfaces he lps to improve reliability. The concept is applicaЫe to both the uplink
апd dowпlink so the UE сап Ье instn1cted to tгansmit нpliпk RRC messages оп both air-interfaces

eNode В gNode В
Master Node 5есопdагу Node

~
~ГJ Х2А Р : RRC Transfer
5RB 15
SRB 25

5RB О SRB 1S
5RB 1 SRBЗ
SRB 2S
5RB 2

[_ UE

Figure 63 - Split SR B for Noп-Staпdaloпe EN-DC Base Statioп ar·cllitectш·e

71
5G NR in BULLETS

F igure 63 is based нро n the Non-Standalone EN-DC configuration so SRВ 3 is a\so shown w ithin the Secondary Node. SRВ о is O 1
* арр\iсаЬ\е to the Master Node. Splitting SRВ 1 and SRВ 2 creates SRВ 1S and SRВ 2S which нsе the Х2 App lication Protoco \ (X;Jp
to transfer RRC messages to and from the Secondary Node )
The RRC messages associated with each SRВ are presented in ТаЬ\ е 16
*
SRВ Directioп Message RLC Mode
SRВ0 Do,vnli пk RRCSetup Traпspareпt Mode RLC
ссен RRCReject
Uplink RRCSetupRequest
RRCResumeRequest
RRCResumeRequestl (uses CCCHl)
RRCReestab l ishmeпtRequest

RRCSysteminfoRequest
SRВl Do,vnliпk RRCRecoпfiguratioп Acknowledged Mode RLC
DCCH RRCResurne
RRCReestablishment
1 RRCRelease
1
SecurityModeCommaпd
,
DLinformationTransfer (ifSRВ2 has 110! Ьееп setup)
1
UECapaЬilityEпquiry

CoнпterCheck

MoЬilityFromNRCommand

Upliпk RRCSetupComplete
RRCResumeComplete
RRCReestab l i shmeпtComplete

RRCReco11figuratio11Complete
SecurityModeComplete
SecurityModeFai lure
ULinformationTransfer (ifSRВ2 lias not Ьееп setup)
MeasнrementReport

UECapabilityI11foпnatio11

LocatioпМeasureшeпtindicatioп

UEAssistaпce!пformatioп

CounterCheckRespoпse

SRВ2 Do,vпlink DLinformationTransfer

DCCH Uplink ULiпformatioпTransfer

SRВЗ Do,vn l iпk RRCRecoпfigшatioп (a lso 011 SRВ 1)

DCCH Upliпk RRCRecoпfigшationComplete (also оп SRВ 1)

MeasшementReport (a lso 011 SRВ 1)

ТаЫе 16 - Mapping betlveen RRC шessages апd SRB

* SRВ О нses Transpaгeпt Mode (ТМ) RLC w\1 ile SRВ I апd 2 нsе Ackпo,v l edged Mode (АМ) RLC
* SRВ О traпsfeгs messages associated with estaЬ\ishiпg, re-estaЬ\ishing апd гesнming а coпnectioп . The нр\iпk messages аге traпsшittct
as MSGЗ withiп the Raпdom Access ргосеdше, while the down li nk messages сап Ье tгaпsmitted as MSG4 . Т\1е UE is al\ocated а
DCCH logical сl1аппеl опсе ап RRC соппесtiоп has Ьееп es taЬ\ i shed so SRВ 1 апd 2 аге аЬ\е to traпsfeг sнbsequeпt messages
* ТЬ е RRCResшneRequestl message is ап exceptioп which \шs been specified to нsе til e CCCH I logical cilanпel гаthег tl1aп tl1e СССН
logical cl1a11nel. ТЬе С С СН\ \og ical с\Jаппе \ is inteп d ed to tгап sfе г l argeг messages tl1an t\J e СССН logica\ cilanпel
* After secшity act ivatioп,al l messages t1·a пsfeпed Ьу SRВ 1, 2 а пd 3 а ге iпtegr ity pгotected апd cipheгed Ьу tl1e Packet Data
Conveгgence Pгotoco l (PDCP). Iп add ition, NAS messages нsе iпtegг ity pгotection and cipl1eгiпg betweeп the UE апd АМF
* The Upliпk I11formatio11 Тгапsfег апd Do,vnlink [пfoпnation Tгansfeг messages аге dedicated to sending NAS messages апd do поt
i11clL1de апу RRC sigпa ll ing conteпt. These messages аге tгansfeпed нsiп g SRВ 2 L1nless SRВ2 has поt yet been configured
* ЗGРР Refeгences: TS 38.331, TS 37.340

72
 5G NR in BULLETS

PDU SESSIONS
1.13
0 _ 5 ап 'EPS Вею·еr' to provide end-to-eпd t1ser plane connectivity between the UE and ап Access Point Name (APN) within the
• 4, -~~; Gate\vay (P-OW). The APN defines the interface to the external data netwoгk. Тhеге is а one-to-one mapping between EPS
Рас ег and QoS pгofile, i.e. all packets belongiпg to а specific EPS Вею·ег have the same 'Qt1ality of Se,·vice Class Identifier' (QCI)
веаrе

50 ti ses а 'PDU Session' to provide end-to-end t1seг plane connectivity bet\veeп the UE апd а Data Netwoгk Name (DNN) within the
* User р Jапе Ft111ctio11 (UPF). The DNN defines the interface to the external data network. А PDU ~ession st1pp_o11s one ог more QoS
Floivs. Тhеге is а one-to-one mappшg betweeп QoS Flow and QoS pгofile, 1.е. all packets belongшg to а spec1fic QoS Flow have the
'50 Qt1ality of Seгv1ce Ident1fier' (5QI)
sa11le
'P DU Sessions ' are applicaЫe when t1sing а 50 Соге Netwo1-k. А Non-Standalone Base Statioп architectшe connected to а 40 Core
* Ne t\irork t1ses 'EPS Beaгers'
Tlic concept ofa 'PDU Session' is illt1strated iп Figшe 64. The Anchor UPF is responsiЫe for mapping each downlink packet onto а
• specific QoS Flow belonging to а specific PDU Session. Th_e SDAP lауег within th_e UE is гesp~nsiЫe fог mapping each t1p!ink packet
о нlо а specific QoS Flow belong111g to а spec1fic PDU Sess10n . The SDAP lауег w1thш the UE 1s also respons1Ыe fог mappшg each
oplink QoS Flo\V onto а specific Dat_a Radio Вею·е1· (DRВ). The SDAP layer within the Base Station Centгalised Uпit (CU) is
rcspon s iЬle for 111app1ng each downlшk QoS Flow onto а spec1fic DRВ

* GTP-U tt1nnels а1·е t1 sed to tгапsfег packets acгoss t1·aпsport connectioпs. The t1·a nspoгt conпectioп between two UPF нses а single
GTP-U tttnп e l р е г PDU Sess ioп. Similarly, the tгansport connectioп between tl1e Base Station and UPF t1ses а single OTP-U tнпnel рег
PDU Session . In contгast , the tгanspoгt connection between the Base Statioп CU and DU нses а single OTP-U tнnпel per DRВ

5G Radio Access Network 5G Саге Network

ИЕ Doto
I gNB DU l __~ _g_N_C_U_ ~ - - - -~ - U-P_F_ ~ - -
Network

PDU Session 1

Fl -U GTP Типп е/ NG-U GTP Tunnel N9 GTP Типпе/

Rodio Beorer
QoS Flow 'А ' {SQI 'х') (_ L ] J ]

j,
____________
....,
I
QoS Flow 'В' (SQI 'у ')
п -гг] ),
11 1 11 ll
/Р, Ethernetor
Unstructured
Fl-U GTP Tunnel Pockets
Rodio Beorer
г-'-~----------Q-
oS_F_
lo_
w.,_'C_,'_
{5_
Q_I ,-z')_ __ __,_~----~_.,__, , ~O[J[_ l~

Rodio Fl NЗ/NG-U N9

Fig11гe 64 - Нiе1·агсl1у fo1· а PDU Sessio11

* Tl1e SDAP l1eade1· i11clнdes а field to identify the QoS Flow. This headeг is present between tl1e UE and Base Station CU. Similarly, the
User Рlапе protocol inclt1des а field to identify the QoS Flow. This header is present between the Base Station CU апd the Апсhог
UPF. The OTP-U headeг specifies а Tt1nnel Endpoint Identifieг (ТЕШ) which links each packet to а DRВ within а PDU Session wl1en
ll1 e GTP-U tt1n11el co1111ects the Base Station CU and DU. The ТЕШ links eacl1 packet to а PDU Session wl1e11 the OTP-U t11nnel
co1111ects tl1e Base Station to а UPF ог conпects а pair ofUPF

* А specific PDU Sessioп сап Ье coпfigшed to tгaпsfer а specific type ofpacket. Tl1e гelease 15 veгs ion oftl1e ЗОРР specificatioп s
s нppoгt sPDU Sessions which tгапsfег !Pv4, IPvб , 1Pv4v6, U11stгt1ctt1гed or Etheгпet packets. The UE сап гe qt1est а paгtict1laг packet
lypc witl1i11 tl1e NAS: PDU Session EstaЬ/is/1111 e11I Request message. Tl1e SМF specifies tl1e allocated packet type w ithin the NAS :
PDU Session EstaЬ!is/1111e111 Ассер! message
* А 'PDU Sess ioп' tгansfe1тi11 g IP packets meaп s that ап IP add1·ess is tt sed to юt1te tl1 e packets once tl1 ey leave tl1e 5G 11et1vo1-k.
S imil aгl y, а 'PDU Sessioп' tгaпsfeпin g Etheп1 et packets meaпs tl1at а МАС addгess is п sed to 1щ1 tе tl1 e packets опсе they leave tl1 e 50
net\voi·k. T l1e !Pv4v6 categoгy means that tl1 e PDU Session са п Ье п se d to tгa n sfe1· botl1 !Pv4 а пd !Р v б packets. In tl1 is case, the UE is
allocated both ап !Pv4 address and а п IP vб addгess

* The 'Unstгt1ctшed ' categoгy 1·efer s to packets wl1ich do not have headeг iпfoпnatioп. Tl1is сап Ье attгactive fог applications wl1i ch
ti·ansfeг laгge vo lнmes of small packets, i.e. cases 1vl1ere the ove1·l1ead geп erated Ьу the l1eader info1matio11 is the most s igпifi caпt. T hi s
coнld Ье applicaЫ e to Inteгn et ofThiпgs (IoT) applications. Use of ' Uпstructнred ' data means tl1at it is not песеssагу to tгan sfer the

73
5G NR in BULLETS

usual higher layer headers across the air-interface, nor across the transport and core network. Applications using 'Unstn1ctured ' packets
require а solution for delivering those packets to the application server once they leave the 5G Core Network, i.e. they leave the User
Plane Function (UPF) across the N6 interface. Point-to-Point nшnelling based upon UDP/W can Ье used for this purpose, i.e. а UDP/[p
tunnel is estaЫished between the UPF and application server so UDP and W headers are added at this stage to transfer packets acюss
the N6 interface
* А PDU Session can Ье sen1p specifically as an 'always-on' PDU Session. The UE can request that а PDU Session is 'always-on' Ьу
including а tlag within the NAS: PDU Session EstaЬ!ishmenl Request. The SМF specifies whethe1· or not а PDU Session is 'always- 011 ,
Ьу inclпding а tlag within the NAS: PDU Session EstaЬ!islnnent Ассер!. An 'always-on' PDU Session means that the пser plane
resource~ are setup every time the UE makes the transition from CM-IDLE to CM-CONNECTED
* А PDU Session is configured to пsе а specific 'Session and Service Continпity' (SSC) mode.
* The UE can request а specific mode using the 'SSC Mode' field within the NAS: PDU Session EstaЬ!is/1111ent Request. The SМF
specifies the allocated mode пsing the 'Selected SSC Mode' field within the NAS: РDИ Session EstaЬ!ishment Ассер! . The SSC mode
does not change during the lifetime of а PDU Session. ЗGРР has specified the following modes:
о Mode 1: the network pl'eserves the connectivity provided to the UE. When using а PDU Session to transfer IP packets, the 1Р
address allocated to the UE is pгeserved. The UPF actiпg as the PDU Session Anchor is maintained thl'Oughout the lifetime oft\1e
PDU Session
о Mode 2: the netwo1·k may гelease the connectivity pгovided to the UE, i.e. the PDU Session can Ье гeleased. Ifthe PDU Session is
being used to tшnsfer IP packets, then the allocated W address is also released. As an example scenaгio, the network may гelease
connectivity ifthere is а req4irement fог load balancing at the anchor UPF. In this case, the PDU Session may Ье moved опtо а
different aпchor UPF Ьу releasing the existing PDU Session and subsequently estaЫishing а пеw PDU Session
о Mode 3: the network p1·eserves the connectivity pl'Ovided to the UE b1.1t there may Ье some impact dшiпg certaiп procedшes . For
example, the IP add1·ess allocated to the UE will Ье нpdated if the Anchor UPF changes but the change ргосеdше will ensшe that
coпnectivity is pгeserved, i.e. connectivity towaгds the new Anchor UPF is estaЫished befo1·e 1·eleasing the connection to the old
Anchor UPF. The гelease 15 veгsioп of the ЗGРР specifications only supports Mode 3 fог W based PDU Sessions
* А PDU Session сап Ье configшed to have m1.1ltiple ' Anchor UPF' pгovidiпg connectivity to the same data пetwork . An example of tl1is
configшation is illнstгated in Figшe 65. In this example, the fiгst 'Anchoг UPF' is assнmed to Ье local, wl1ile the second UPF is
assнmed to Ье тоге remote. This type of coпfigшation сап Ье нsed fo1· M1.1lti-Access Edge Comp1.1ti11g (МЕС) (sectioп 1.16). Tl1e SMF
сап instг1.1ct the thi1·d UPF illнstrated in Figшe 65 to act as an ' Uplink Classifieг' (UL CL). The SMF pгovides the UL CL with а set of
tгaffic filte1·s wl1ich сап Ье ttsed to deteгmine wl1ich packets slюнld Ь е mпted to eacl, Аnс11ог UPF. Tl,e пsе of an UL CL is tгa nspa1·e11t
to tl1e UE

1
NG-C
AMF
s~~
Nб DN
UE
Uu NG-U (Remote)

UPF Nб DN
(Local)

Figure 65 - Ехашр\е of single PDU Session using шultiple UPF Anchors

* Figure 66 illustrates а second configшation using mнltiple ' Anc\101· UPF'. This example is based upon а 'Multi-Homing' scenaгio
whic11 is applicaЫe to Wv6. 'Mнlti-Homing' сап Ье нsed as а solнtion to impl'Ove reliaЬility Ьу adding геdнпdаnсу to а conпection. А
PDU Session transferгing 1Pv6 packets can Ье configured with m1.1ltiple Wv6 prefixes (а pгefix is the part ofthe Wv6 address нsed to
identify the netwoгk/sпbnet). The pгefix can tl1en Ье нsed to гонtе the packets to а specific UPF

UE !- - Uu
7
Base
Station
~
. NG-U 1
UPF UPF
chor 1
Nб

_1~ DN

UPF Nб
Anchor2

F iguгe 66 - Е хашр\е of Mt1\ti-Ho111e(\ PDU S e s sioп fo1· se1·vice co11ti1111ity

74
 5G NR in BULLETS

' Mtilti-Homing' is not transparent_to the UE and reqt1ires UE st1pporc А UE нses th e '5 GSM Capability' Лeld wi~hin_tl1e NAS: PDU
Sessioll EstaЬlisl1111e11I Request to шd1cate ,vhethe1· or not Mt1lt1 - Homшg for IP v6 1s st1pported. When Mt1lt1-Homшg 1s нsed , th e SМF
ro,,ides tl1e UE with an additional IP v6 prefix t1sing а п ' IP v6 Rot1ter Advertisemeпt' message (specified Ьу IETF RFC 4861). This
~essage is seпt to the UE t1sing the NG-U coппection betweeп the UPF and Base Station, i.e. it is поt seпt t1siпg а NAS signalling
1,essage. The SMF can also t1se the ' IP v6 Rot1ter Advertisement' message to pюvide the UE ,vith rot1tiпg гt1les to iпflt1ence th e
~election ot'tl1e IPv6 p1·efi x. This procedшe is based t1роп rETF RFC 4191
А PDU Session belongs to а siпgle Network Slice within а PLМN (Network Sliciпg is described iп section 1.15). The UE сап гeqt1est а
* speci fi c Netwoгk Slice wl1 e п forwarding the NAS: PDU Session EstaЬ/islm1e11I Request. The reqt1ested Network Slice is identified
нsiпg its Single Network Slice Selectioп Assist a пce Iпfoгmation (S-NSSAI). The S-NSSAI is not iпclt1ded within tl1e NAS: PDU
Session EstaЬlisl1111e11I Rec111est itse lfbecaнse thi s message is forwarded tra nspareпtly to an SMF, i.e. the АМF does not read the
contents ofthis message. The AMF needs to have visibility ofthe гeqt1ested Netwoгk Slice to ensнre th at an appropriate SMF is
selected. The UE specifies the гeqнested S-NSSAI within the NAS: UL NAS Tmnspo1 ·/ message which is нsed to encapsнlate tl1e NAS:
РDИ Session EstaЬlisl1111e11/ Request. This allows the АМF to геаd the гeqнested S-NSSAI Ьеfоге extracting the PDU Session
EstaЬ/isl1111e11I Request and forwaгding to an appropriate SMF. Figшe 67 illнstrates the concepts ofSMF selection based нроn the S-
NSSAI and the packagin g ofthe PDU Session EstaЫisl1111e11t Request within an UL NAS Tmnsp01·t message

NAS: UL NAS TRANSPORT

S/ice 1
NAS: PDU SESSION NAS: РОИ SESS/ON ESTABL/SHMENTREQUEST
UPF 1
ESTABLISHM ENT
PDU Session Туре
' ] NAS: UL NAS
R~QUEST • SSC Mode
' TRANSPORT Packaged within RRC:
SGSM Capabllity
OR Slice 2 Ullnform ationTransfer
Always-On PDU Session Requested
AMF lг-----.
SMF2 UPF 2
for the air-interface

SMF selection for NAS: PDU SESSION S-NSSAI Packaged within NGAP:
ESTAB LISHMENT REQUEST based Data Network Name UPLINK NAS TRANSPORT
t1pon S-NSSAI and DNN Request type for th e NG-C

Fig ш·e 67 - SMF selection based 11ро11 Nehvo1·k Slice а пd p ac ka g iп g of а NAS : PDU Session EstaЫisl1me11t R e qн est

* E n ca p s нl at iп g Session Managemeпt NAS messages within UL NAS T1·a11spo1·1 messages means that th eгe аге mt1ltiple layeгs of
message encapst1l ati on. Fог exa mpl e, tl1 ese messages а ге pac kaged within an NGAP: Uplink NAS Т1·а11s1ю1·1 message when foгwaгd in g
ac гos s tl1e NG-C iпteгfac e so the NAS: PDU Session EstaЬ/islunent Request is packaged w itlтi n а NAS: UL NAS Тi'Gl1spo 1·1 , а п d tl1e
NAS: UL NAS Tm11spo1 ·1 is packaged witl1in an NGAP: Uplink NAS T1·a11Spo1·1

* The SMF specifies tl1 e allocated Net·,voгk Sli ce fo1· а PDU Session ,vitl1i11 the NAS: PDU Session EstaЬ/is/1111 e11t Ассер!. Thi s message
iп c lнd es ап S-NSSAI field fo1· tl1i s рнгроsе. Ift l1 e UE is 1·oa miп g otJtside its Home PLМN th en tl1e S-NSSAI identifies tl1e Netwш·k
Slice all ocated within t\1e Visited PLМN а пd а ' mapped ' S-NSSAI са п also Ье specified to ind icate tl1e co ггes poпdin g Netwoгk Sl ice
,vitl1i11 tl1e Home PLМN

* 3GPP Refeгeпces: TS 38.300, TS 23. 501 , TS 23.502, TS 24.501,

75
5G NR in BULLETS

1.14 QUALIТY OF SERVICE

* Quality of Seгvice (QoS) is based проn uplink and downlink QoS Flows. А PDU Session сап transfer one or more QoS Flows. Each
QoS Flow is associated with а QoS Flow Identifier (QFI). All packets belonging to the same PDU Session and with tl1e same QFI
receive the same packet handling treatment, i.e. they are prioritised eqнally
* There are three categories of QoS Flow:
о Guaranteed Bit Rate (GBR) QoS Flow: provides а Gнaranteed Flow Bit Rate (GFBR) to the end-user. This type ofQoS Flow is
typically used for time sensitive applications, e.g. voice and video calls, real time gaming, V2X
о non-Guaranteed Bit Rate (non-GBR) QoS Flow: does not provide а GFBR to the end-user. This type ofQoS Flow is typically
used for non-time sensitive applications, e.g. web browsing, bпffered streaming and instant messenger applications. Non-GBR
QoS Flows ю·е also пsed to transfer IMS signalling. In this case, it is recognised that the non-GBR QoS Flow is being used for
signalling purposes and the QoS Flow is treated with higher priority
о Delay Cгitical GBR QoS Flow: provides significantly lower latencies than а GBR QoS Flow. Fог example, а GBR QoS Flow тау
permit а 100 ms delay bпdget wl1ile а Delay Critical GBR QoS Flow may permit а 1О ms delay budget. Delay Critical GBR QoS
Flows also have low Packet Епог Rates to provide improved reliability. Typical applications include automation and intelligent
transport systems
* The Base Station commits to proyiding the GFBR when admitting а GBR QoS Flow, i.e. the Base Station mнst have sпfficient aiг­
interface, transport and processing resources availaЫe to sпpport the GFBR
* Packets belonging to а GBR QoS Flow are prioritised over packets belonging to а non-GBR QoS Flow, at least пntil the GFBR has
been achieved. The Base Station does not commit to providing more than the GFBR, so GBR packets сап Ье given lower priority once
the GFBR has been achieved. Packets belonging to one GBR QoS Flow can Ье prioritised over packets belonging to another GBR QoS
Flow based проn the priorities апd packet delay budgets specified fог each QoS Flow
* Packets belonging to а non-GBR QoS Flow are geneгally treated as 'best effort' гelative to packets belonging to GBR QoS Flows, i.e.
any гemaining гesources after GBR QoS Flows have been schedпled аге allocated to non-GBR QoS Flows. Packets belonging to one
non-GBR QoS Flow сап Ье pгioгitised оvег packets belonging to anotl1eг non-GBR QoS Flow based нроn pгioгities and packet delay
bt1dgets
* Eacl1 QoS Flow is associated with а set ofQoS pai·ameters and а set ofQoS characteгistics ТаЫе 17 p1·esents the set ofQoS paгameters
and c haгacteг i stics associated witl1 eacl1 categoгy of QoS Flow

GBR Delay Critical 11011 -GBR

GBH.
QoS SG QoS !dentifier (SQI) ✓ ✓ ✓

Parameters ✓ ✓ ✓
Allocation and Retentioп Priority (ARP)
Guaranteed Flo,v Bit Rate (GFBR) ✓ ✓ -
Maximшn Flo,v Bit Rate (МFBR) ✓ ✓ -
Notification Coпtrol ✓ ✓ -
Maximum Packet Loss Rate* ✓ ✓ -
Session Aggregate Maximum Bit Rate (Session-AМВR) - - ✓

UE Aggregate Maximum Bit Rate (UE-AМBR) - - ✓

Reflective QoS Attribute (RQA) - - ✓

QoS Resoшce Туре ✓ ✓ ✓

Characteristics ✓ ✓ ✓
Priority Level
Packet Delay Budget ✓ ✓ ✓

Packet Error Rate ✓ ✓ ✓

Averagiпg Wiпdo,v ✓ ✓ -
Ma,cimшn Data Burst Volume - ✓ -
* Maximнm Packet Loss Rate 1s опlу арр!,саЬ!е to QoS Flo,vs traп s ferriпg voice media ,vitl1i11 tl1 e release 15 versio11 of tl1e specificatio11 s

ТаЫе 17 - QoS Pa1·ameters а пd C/ia1·acteristic s associated ,vith eacl1 QoS Flo,v catego,·y

* The 5G QoS Id e пtifiet· (5QI) is а роiпtег to а set ofQoS c l1 aгacte1· i st i cs . QoS chaгacte гi s tics can e ith eг Ье staпdat·dised ог 11011 -
standardised. 5QI valпes \, 2, 3, 4, 65, 66, 67 апd 75 co tтespoпd to standaгdised GBR QoS Flo\vs; 5QI valнes 5, 6, 7, 8, 9, 69, 70, 79
and 80 coпespond to s taпdaгdised non-GBR QoS Flo\vs; 5QI valнes 82 , 83 , 84 а пd 85 coггespo nd to stand ard ised Delay Ci·iti cal GBR
QoS Flows; 5QI valнes 128 to 254 аге пon -s taпdat·dised апd сап Ье пsed for орегаtог specific configшations. ТаЫе 18 pгesent s tl1e
QoS cl1aгacteristics fог еас \1 ofthe s taпdaгdised valнes. Tl1e colпmпs belonging to ТаЫе 18 гeflect the ' QoS chaгacteгistics ' ro,vs
witl1in ТаЫе 17
 5G NR in BULLETS

TI Priority Level allo\,VS prioгitisation betvveen QoS F]o\,VS belonging to an individua l UE, and prioritisation betvveeп QoS Flows
* be1l:ngiпg to differe_пt UE. The Priority Level сап Ье used to distribute resoшces betvveeп GBR апd 11011-GBR QoS F low~ once _the
G o a raпtee d Flow Blt Rate (GFBR) has Ье еп ach1eved for a ll GBR Qo_S Flows. А low пumeпcal value correspoпds to а h1gh pпority.
Tlie va loes iп ТаЬ!е 18 а ге staпdard1sed defaults wh1ch сап Ье ove 1wп tte11 Ьу tl1e п etvvork
Tlie Packet Delay Budget associated with each 5QI defiпe s ап нрреr bouпd fш tl1e packet delay betvveen the UE and the Anchoг Useг
* Plane Fн n c ti on (UPF) which pгovides the Nб interface towaгds the Data Network. The delay budget figшe is applicaЫe to both the
t1plink and down link directions. In the case of GBR and 11011-GBR QoS Flo\vs, 98 % percent of packets should have а delay which is
less than tl1 e Packet Delay Bнdget. P ackets which arrive late аге not discarded and do not contribute towards the Packet Епо г Rate. In
the case ofDelay Critical GBR QoS Flows, packets which aпive late contгibute towards the Packet Error Rate. These late packets may
Ьс discarded or may Ье delivered depending upon the application

Tlie Packet Delay Budget сап Ь е used for time sensi tive packet sch ed нlin g. Time sensitive packet scheduling is typically applied to
* GBR QoS Flows. lt means that the scheduling weight for а specific packet incгeases over time as the packet waits to Ье tгan s mitted
fi-om tl1e bu ffeг, i.e. the packet гece ives an increasing pгiority as the time spent within the transmit bнffer approaches the target Packet
Delay Budget
Tlie Packet Е 1то r Rate defi nes the percentage of hi ghe1· la yeг packets which аге поt success fнlly tra11sfe1тed to the receiver. The епог
* rate does поt iп c l нde packets whi ch аге lost dt1e to co11gestio11. Iп the case ofDelay Critical GBR QoS Flows, packets wl1ich а ге
delayed Ьу то ге th aп tl1e Packet Delay Budget ai·e cotшted as los t t111 less th e data bшst exceeds tl1 e Maximum Data Bшst Volume
1v ithiп tl1 e pe1·iod of the Packe t Delay Bнdget ог the QoS Flow is exceedi п g the Gt1a1·a11teed F low Bit Rate. The target Block Е1тоr
Rates (BLER) used Ьу tl1e RLC апd HARQ гe-tra11smissio11 pгotocols s hoн ld Ье a li gлed with the Packet Епог Rate. Ifthe RLC апd
HARQ гe-tra11 s mi ss io11 protocols оре гаt е with а high taгget BLER theп it may поt Ь е possiЫe to achi eve tl1e Packet Епо r Rate

Tlie Maximнm Data Burst Volнme is о пl у app li caЫe to Delay Critical GBR QoS F lows. Jts va ltte defiпes the maximt1m quaпtity of
* data that tl1e Base Statioп is reqt1i1·ed to seгv e withiп а time wiпdow equ al to the Base S tat i o п ' s co11tribt1tio11 to\,vards the total Packet
Delay Bнdget . The Base Stat i oп ' s co 11tгibt1ti o 11 to1vai·ds the total Packet Delay Budget is assttmed to Ье 9 ms, 9 ms, 25 ms апd 3 ms fог
5QI 1, а [н е s 82 , 83, 84 апd 85 гespec tive l y. The Махiпшm Data Bшst Volнme sizes of 135 8 апd 1354 bytes have Ьееп ca lcнl a ted to
lielp avoid segme11tatio11 ofpackets acгoss the tгa пsport пetvvoгk a ft eг GTP-U/UDP/IP vб/IPSec headeгs have Ьееп added, i.e. avo idiп g
а tota l packet size whi ch exceeds 1500 bytes. The Maximнm Data B шst Volнme va lн es iп ТаЫе 18 are s ta пd aгdis e d de faults wl1ich
с ап Ье ove1wгitte п Ьу tl1e п etvvo гk

D e tiшlt
D c fiн1l1 Packct D c f',шlt
t ~cso шcc Packct Мяхi111шn
5QI Pri o гi t y Delay Averagi11 g l: xa111ple Se гv i ccs
Туре
Lc,,cl 1:гго г Rat c Data B ш-s t
1311dgct Wi 11clo,v
Vol 11111c
1 GBR 20 100 П1 S 10·2 Not 2 secoпd s Co 11 vers aliшш l Voi ce
- 2 40 150 П1S
App li c a Ы e
Co11versati o11al Video (live s treamiпg)
- 10·3
3 30 50 111S Real Time Gami11g, V2X messages
-
4 50 300 111S 10-6 No11-Co1111 ers ati oпal Yideo (bttffered streami11g)
-
65 7 75 111S Miss1on Critica l P11sh То Talk User Рlапе Voice
- 10·2
66 20 100 111S Noп-M i ssio 11 Critical P11sl1 То Talk User Plane Voice
-
67 15 100 111S 10·3 Missioп Critical User Plane Video
1---

75 25 50111S 10·2 V2X messages

5 №11 -GBR 10 100 П1S Not Not rмs S i gna lliп g
1--- 10-6 App li caЬ\e Appli caЬ\e
6 60 300111S Video (Ь 11ffered st1·eami11g), ТСР based app licatio11s
г---

7
,_ 70 100 111S io-3 Voice, Yideo (li ve streaming), lnteraclive Gaming

-
г---
8
9
69
80
90
5
300 П1 S

60 111S
io-6
Video (bttffe1·ed st1·ea111i11g), ТСР based
Sl1 ai-i11g, Progressive Video
Missio11 Critical Delay Sensiti ve Sigпalli11g
app l icatioп s

г---

70
,_ 55 200 111S Missio11 Critica l Dala (e.g. voice ai1d vid eo strea111i11g)
79
,_ 65 50 111S 10·2 V2X messages
80 68 10 111S 10·" Lo,v Late11cy е МВВ , A11gmented Rea li ty
82 Delay 19 10 111S 10°" 255 bytes 2 seco11ds Discrete Attlomatio11
г--

83 C1·iti ca l
22 10 111S 1358 byles
г-- GBR
84 24 30 111S 10·5 1354 bytes l11telli ge111 т,·a n sp ort Syste111s
г--

85 21 5 111S 255 bytes A11to111atio11 fo1· E l ec tтi c ity Di s tr ib11t iш1

Та Ь\ е 18 - Staшl a пli se d QoS C l tat· ac tн i s ti cs associ atecl 1vith eacl1 SQI

77
5G NR in BULLETS

* The Averaging Window is applicaЫe to GBR and Delay Critical GBR QoS Flows. It represents the duration over which the
Guaranteed Flow Bit Rate (GFBR) and Max.imum Flow Bit Rate (MFBR) are measured. The objective ofspecifying an Averaging
Window is to prevent the Base Station achieving the GFBR Ьу making а large, short term resource allocation followed Ьу а long period
ofno resource allocation. А short Averaging Window forces the Base Station to make smallet·, more frequent resource allocations,
rather than largeг, less frequent resource allocations. The Aveгaging Window values in Та Ы е 18 are standardised defaults which catJ Ье
ovetwritten Ьу the netwoгk
* Retuming to ТаЫе 17, the Allocation and Retention Priority (ARP) defines :
о Pгe-emption C apaЬility ('shall not trigger pгe-emption' or ' may trigger pre-emption') . This parameter determines whether or not
the- QoS Flow is allowed to pre-empt an existing QoS Flow
о Pгe-emption VulneraЬility (' not pre-emptaЫe' or ' рге-еmрtа Ые') . This parameter determines whether or not the QoS Flow сап Ье
pre-empted Ьу another QoS Flow
о Priority (1 to 15), wheгe 15 coпesponds to по priority, 14 coпesponds to the lowest priority and I coпes ponds to the highest
priority. This parameter сап Ье used to identify which ofthe existing pre-emptaЫe QoS Flows should Ье targeted fог pre-emptiori.
Ifthe new QoS Flow has 1·elatively low prioгity (high numerical value) then it may not Ье аЫе to pre-empt any ofthe existing QoS
Flows. This priority is independent ofthe Priority Level shown in ТаЫе 18 which is linked to packet handling
* The Gвaгanteed Flow Bit Rate (GFBR) is only applicaЫe to GBR and Delay Critical GBR QoS Flows. lt defines the minimt1m Ьit rate
which сап Ье expected fгom tl1e QoS Flow, when measшed acгoss the Averaging Window. The GFBR с ап Ье specified indep e ndeпtly
for the up l iпk and downlink
* The Maxim1.1m Flow Bit Rate (MFBR) is only applicaЫe to GBR апd Delay Critical GBR QoS Flows. lt defines the maximвm Ьit rate
which сап Ье expected from tl1e QoS Flow, when measured across the Averaging Wiпdow . Packets may Ье dгopped Ьу а thгo1.1 gl1pнt
shaping f1.1nction within the Base Station once the МFBR has been achieved . The MFBR сап Ь е specified independently fог the вpli11k
and downlink
* The Notification Co ntгol is only a pplicaЫe to GBR and Delay C гitica l GBR QoS Flows. lt indicates whether or not the Base Stati oп
sho1.1ld inform the SMF if the QoS Flow fail s to achieve its GFBR. lfa QoS Flow fails to achieve its GFBR then the Base Station
slювld continue a ttemptiп g to achieve it, while the SMF wl1ich l1as Ьееп пotified (ass нmin g Notificatioп Сопtгоl is епаЫеd) may
decide to гec oпfiguгe or release the QoS Flow. If conditions st1bseqt1e11tly impгove and the Base Station is then а Ые to achieve tl1e
GFBR theп the SMF is i11f01med ( ass нming Notificatioп Сопtгоl is e naЫ ed)
* The Maximum Packet Loss Rate is опlу a pplic a Ы e to GBR а пd Delay Cгi ti ca l GBR QoS Flows. Iп addition, w ithiп tl1e гe l ease 15
ve гs ioп ofthe 3GPP spec ifi cat i oпs it is опlу ap pli caЫe to QoS Flows b e iп g н sed to tгansfer· vo ice media. Tl1e Max imнm Packet Loss
Rate d efi п es the max imum r·ate of lost packets tl1at са п Ье toler·ated iп tl1e t1pli11 k а пd dowпlink diгections
* The Sess ioп Aggr·egate Maximt1m Bit Rate (Session-AMBR) defines tl1e maximш11 peгm itted Ьit гаtе s нmm e d acгoss all 11011-GBR QoS
Flows beloпgin g to а specific PDU Session. It са п Ь е specified ind epeпde пtl y fо г the lrplink апd downlink, апd is епfогсеd Ьу tl1e User
Plane Fнnctioпs (UPF) tr·ansfe пiпg data fог the rel eva пt PDU Sessioп. The Session - AМBR is а s нb scr iption parameter which is
retгieved Ьу the SMF from the Unified Data Management (UDM). The SMF may modify the valнe acco гding to local policies, ог
according to iпstructioпs received from the Policy Contгol Ft1nction (PCF). The final valt1e is pгovid ed to any Useг Plane Fнn ct ion s
(UPF) involved with the relevant PDU Session
* The UE Aggтegate Maximнm Bit Rate (UE - AМBR) defines the m ax imнm permitted Ьit гаtе sнmmed acгoss all non-GBR QoS Flo\vs
belonging to а specific UE. lt сап Ье specified independently fог the нplink and dowпliпk, а пd is eпfo1·ced Ьу the seгving Base Station.
The UE-AМBR is а sнbscription parameteг ,vhich is retгieved fгom the Unified Data Management (UDM) and is provided to tl1e Base
Station Ьу the АМF . Tl1e Base Station applies а UE-AМBR which is set eqнal to the minimum ofthe valt1e received from the АМF,
and the st1m ofthe active Session - AМBR for that UE
* The Reflective QoS Attribнte indicates whetheг ог not packets belonging to the QoS Flow may геqнiге the UE to appl y Reflecti ve QoS.
Reflective QoS opeгates at 2 levels:
о higher layer packet to QoS Flo,v mapping
о QoS Flow to Data Radio Bearer (DRВ) mappiп g

Reflective QoS геfегs to tl1e UE l ea гniп g the 11.rles to Ь е applied fог the вpliпk mappiп gs fгom tl1e patteгпs obseгved in tl1e d0\1/t1 li11k.
Fог example, iftl1e UE гece ives QoS Flow 1 оп DRВ 3 in tl1e downliпk, tl1e11 the UE will tгaпsmit QoS Flow 1 оп DRВ 3 iп tl1e вplink

* Reflective QoS is appli caЫ e to PDU Sessions н sed to tгaпsfer IP ог E tl1 eгnet Packets (it is поt appli caЫ e to tl1e tгап s fег ofUп str·вctшetl
packets). UE s врр о гt fог Re fl ective QoS is opt i oпa l апd is s i gп a ll e d to tl1e SMF dшiп g tl1e PDU Sess ioп setup ргосеdше
* 3GPP Refer·eпces: TS 38.300, TS 23 .50 1, TS 24.5 01
 5G NR in BULLETS

NEТWORK SLICING
1.15
* Net\vork Slicing refers to the selection and allocation ofnetwork resoшces to Sllit the reqllirements ofa specific service. For example,
an еМВВ L1ser is likely to reql!ire high thJoL1ghpL1ts so that L1se1· shollld Ье allocated network resoшces \vhich sL1ppo1·t high throL1ghpL1ts.
!n contrast, а URLLC l!ser is likely to reqllire low latency so that Llser shollld Ье allocated net\vork resoшces which Sllpport lo\v latency
А Netwurk Slice incll!des resoшces from both the Core Network and Access Network
* А ваsе Station ttsing the Control Plane (СР) - User Plane (UP) Separation architectшe may Sllpport mllltiple CU-UP. Each CU-UP сап
sllpport а different set ofNetwork Slices. For example, one CU-UP may Ье dedicated to еМВВ services, \Vhile another CU-UP may Ье
dedicated to URLCC services. А CU-UP provides the CU-CP with its list ofsttpported Network Slices within the EI Application
Protocol (EIAP) signalling l!sed to estaЫish the EI interface, e.g. ttsing the EIAP: GNB-CU-UP El Setup Requesl message
* А Base Station provides the АМF with а list of sttpported Network Slices рег Tracking Area within the NGAP: NG Setup Requesl
message. Similarly, the АМF provides the Base Station with а list of sttpported Network Slices per PLМN within the NGAP : NG Setup
Response message, i.e. the Base Statioп and АМF exchange their Sllpported Network Slices when estaЫishing their NG interface
coiшectioп. Tl1e information excl1anged сап Ье st1bseqt1ently t1pdated t1sing the NGAP: RAN Conjig111·atio11 Updale and NGAP: АМF
Co11Jig11mlio11 Upclate messages
* Network FL111ctions within the 5G Со1·е Netwoгk pгovide the Network Ftшction Repository Fttnction (NRF) with а list ofsupported
Netwoгk Slices when registering witl1 the NRF . The set ofsupported Net\vork Slices is stored Ьу the NRF as рагt ofthe Netwo1·k
Fнпction profile. Otl1eг Net.vork Ft1nctions st1bseqt1ently t1se the NRF's Network Fttnction Discovery service to identify the set of
Net\vo1-k Slices sllpported Ьу each registered Network Ft1nction
* Л PDU Sessioп belongs to only one Network Slice ре1· PLМN. When а UE is roaming, а PDU Session may t1se one Netwш·k Slice iп
tl1e Visited PLМN and а second Network Slice in the Ноте PLМN. А UE сап use mt1ltiple Netwo1·k Slices Ьу estaЫishiпg mllltiple
PDU Sessions with different service reqt1irements
* А Net\voгk Slice is identified Ьу its Single Netwo1·k Slice Selection Assistance Information (S-NSSAI) which is а coпc a tenation of:
о а Slice/Service Туре (SST) - 8 bits
о а Slice Differe пti a tor (SD) - 24 Ьits

* Т11 е SST refers to tl1e expected Net.vot'k Slice behavioш iп terms of the featшes апd se1·vices tl1at it sttpports. ЗGРР l1as standa1·dised
tl1e SST valt1es prese пte d iп Та Ы е 19. These s t a nd a гdised valttes address tl1e tl1Гee main t1se cases for 5G. Standardised valttes are
p a гti cttl ar l y t1seft1l fo1· гo a min g, i.e. they allo,v eacl1 п e t\vo rk to iпt e rpгe t SST valttes in the same \vay. З GРР has rese гve d valttes О to
127 fо г sta11da1·dised SST. Noп -s ta пd a 1·di s ed valttes с а п also Ь е t1sed fo1· tl1e SS Т. Non- s taпdardi se d valttes allow ор е га tогs to intгo dнc e
Net\vo1·k Slices which s ttppoгt th e iг own specific se гvic e гe qttii·e ments. З GРР has гese гved valttes 128 to 255 fог noп -s taпd a rdi se d SST

SST SeГ\, ice Тур е

1 enlianced Mobile Broadband (еМВВ)

2 Ultra ReliaЫe Lo,v Latency Comшunications (URLLC)
3 Massive Machine Туре Comшнnications (шМТС)

ТаЫе 19- Slice/Service Туре (SST) values standardised Ьу ЗGРР

* The SD is optional bt1t сап Ье ttsed to differentiate between Network Slices which liave the same SST valt1e. This may Ье t1sed if an
орегаtог offeгs the same seгvice type to mt1ltiple st1bscгiber groups. Fot· example, sttbscriber grot1p 'А' may Ье offered the еМВВ
s eгvice t1sing {SST = 1, SD = 1}, \Vl1ereas Sllbscribeг grottp 'В' may Ье offered the еМВВ seгvice нsing {SST = 1, SD = 2}

* А set of one ог тоге S-NSSAI is kпown as ап NSSAI. ЗGРР lias defined 3 categories ofNSSAI:
о Configшed NSSAI: а general set ofS-NSSAI which аге availaЫe \Vithin а specific PLМN. Ifa UE is provided witl1 а Configшed
NSSAI оп аVisited PLМN tl1e11 tl1e UE сап also Ье pгovided with а mapping between the S-NSSAI оп the visited network and the
coгrespoпding S-NSSAI оп the lюme netwo1·k. Up to 16 S-NSSAI сап Ье inclt1ded within а Configшed NSSAI. The АМF ttses the
NAS: R egis lгatioп А ссер! ог NAS: Co11fig111·atio11 Update Со111111а11с/ messages !о signal the Confi g шed NSSAI to the UE
о Allowed NSSAI: tl1e set of S-NSSAI whicl1 the 5G Со1·е Nehvoгk has allthoгised fог а speci fic UE. Tl1ere сап Ье а maximttm of 8
Ne t\voгk Slices \Vitl1iп an Allowed NSSAI, i.e. а single UE сап Ь е s eгved Ь у а maximt1m of8 Network Slices . Using all 8 Ne t.voгk
Slices \Vottld гeqttiгe tl1e UE to es taЫisl1 8 PDU Se ssioп s. S imilaг to the Confi gшed NSSAI, the АМF ttses the NAS: Regist1·atio11
Ассер! ог NAS : Co11/ig111·atio11 Update Со 111111 а11 с/ n1essages to si gп a l tl1e Allowed NSSAI to the UE. Tl1e Allo\ved NSSAI is also
signalled to tl1e Base Station tt s iп g the NG AP: Initial Co пtext Setup Request message. Tl1e Base Station с ап н sе tl1i s infor111ati o11
when allocating геs ошсеs for the UE
о R e qн es te d NS SAI : the set of S-NSSAI \Vl1ich the UE wo ttl d like to access . Tl1e1·e са п Ь е а maximttm of 8 Ne t\voгk Slices w ithiп а
Reqllested NSSAI. Tl1e Reqttested NSSAI is pгovidecl to tl1e Base Station within tl1e RRC Setup Complete message. Tl1e Base
Station с ап t1se thi s iпfo rma tion dшin g the AMF sele c tioп ргосеdше if а 5G-S-TMSI has 110! been pгovid e d , i.e. tl1e Base S t a tioп
extracts а п АМF identity from tl1e 5G-S-TMSI ifit is a va ilaЫ e, otl1erwise the Base Station attempts to select ai1 AMF which

79
5G NR in BULLETS

supports the set of 1·eqt1ested Network Slices. The Requested NSSAI is pгovided to the АМF within the NAS : Regis/,-alion
Requesl message. The АМF сап forward the Reqнested NSSAI to the Network Slice Selection Fнnction (NSSF) which сап verify
that the UE is sнbscribed to the reqнested Net\vork Slices and сап determine the set of allowed Network Slices
* The UE generates the Requested NSSAI from the Allowed NSSAI ifthe UE has already been provided with an Allowed NSSAI for tli
cшrent serving PLМN . Otherwise, the UE generates the Requested NSSAI from the Coпfigшed NSSAI. The UE сап also geпerate ihe
Reqнested NSSAI нsiпg the Allowed NSSAI iп combiпation with опе or mоге S-NSSAI from the Coпfigшed NSSAI

* The UE сап reqнest а specific Network Slice (S-NSSAI) wheп estaЫishiпg а пеw PDU Sessioп . Figшe 67 in Section 1.13 illнstrates
the UE.specifyiпg а siпgle S-NSSAI within the NAS: UL NAS Т1·апsро1·1 message wheп forwarding а NAS : PDU Session
EstaЬ!isl1111e111 Requesl to the АМF (for subsequeпt forwardiпg to ап SМF) . The S-NSSAI corresponds to the Network Slice which the
UE would like to have allocated to the requested PDU Sessioп . The АМF is аЫе to нsе the reqt1ested S-NSSAI to help select а п
appropriate SМF. The Network Slice allocated to а PDU Sessioп is specified withiп the NAS : PDU Session EstaЬ!isl1111e11t Ассер/
message
* Figшe 68 sнmmarises the signalliпg ргосеdшеs which iпvolve Netwoгk Slices dшiпg interface апd Netwo1·k Ft111ctio11 setнp, UE
registгatioп апd PDU Sessioп estaЫishmeпt (message пames are поt showп for the iпterface апd Network Fuпction setнp phase to help
simplify the figшe)

Other
Base Statian Base Statian Netwark
СИ-СР СИ- ИР AMF NRF Functions

lnter/асе & Netwark • Е1АР: GNB-CU-UP Е1 SE UPREQUEST НТТРРИТ: НТТРРИТ:

Func tionSetup NF Profile NF Profile
(exch ange о/ supparted , NGAP: NG Setup Request
Netw ork 5/ices)
NGAP: NG Setup Response

иЕ

RRC Setup Camplete ИЕ

NAS: Registration Reques
{Requested NSSAI)" Registratian
V
. (Requested NSSAI)

NAS: Registration Accept

(А lowed NSSAI, Configured NSSAI)
sMF
UL NAS Transport (NA' : РОИ Session EstaЬ/ishme1 t Request) РОИ Session

(5-NSSAI requestedfor POUSessio~ Setup

~

NAS: РОИ Session EstaЫishment Response

(S-NSSAI allocoted to РОИ Session)

Figш·e 68 - Signalling p1·ocedш·es iпvolviпg Nehvo1·k Slices

* Figшe 69 illust1·ates the нs е ofnetwork slice 'А' within а visited PLМN , combined with the нsе ofпetwoгk slice '2' withiп tl1e Ноте
PLМN . This figшe coпesponds to а 'Home Roнted ' гoaming aгchitectшe ,·a theг thaп а ' Local Вгеаkонt' гoaming aгcl1itectшe. Tl1e
' Local B1·eakout' гoaming aгchitectшe provides connectivity to th e Data Netwoгk diгectly fгom tl1e visited PLMN

'

Visfted PLMN
Network Slice
[ NSSF 1
14 [ NSSF 1
[~ ''

'
Ноте PLMN
Network Slice

~
BR -- --
r~JF J 1 __ _ __ _ __ _ _ _ _ _____ _ __ _ _ _ _ ,
!-----
'2'

ИЕ ~ ' j RAN н ИРF ~ '-' ·

' Оа/а Network
)
-, , ..,

, ___ _____ __ ________ _________ ,

' '

Figш·e 69 - 'Ноше Routed' 1·oa111i11g sce nar io usiпg пehvo r k slices ,vithiп both Visited апd Ноше PLMN

* 3GPP Refeгences: TS 23.5 01 , TS 24.501, TS 38.300, TS 38.4 13, TS 23.003

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 5G NR in BULLETS

EDGE COMPUTING
Edge Compt1ting allows а UE to access seгvices which а ге hosted close to the seI"Ving Base Station. This approacl1 helps to improve
* both end-user experience and net\vork effici ency. E nd-н se1· expeгi ence сап Ь е improved Ь у lower l a te пcies ,vhile net\vo rk efficiency
can Ье impгoved Ьу redt1ced backhat1I transport гeqнirem e nt s
Hostiпg services close to the seI"Ving Base Station means that there is а User Plane Function (UPF) and а Data Network (DN) ог Local
* Area Oata Network (LADN) at а location which is geographically close to the seгving Base Station. The UPF and DN/LADN cot1ld Ье
co-Iocated with the Base Station, or they cot1ld Ье co-located with а гot1ter within the t1·a nspoгt network. Alternatively, they cot1ld Ье
Iocated at а гegional data center
А Local Area Data Network (LADN) is а data network which provides seI"Vices ac гoss а specific local агеа. This is in contrast to the
* рнЫiс internet or а private network which сап Ь е accessed from anywhere. Ал LADN is specified to provide services across one or
тоге specific Tracking Areas. А UE сап re qнest LADN information from the AMF when sending the NAS: Regist1·atio11 Requesl. The
лМF сап 1·espoпd Ьу providing LADN in fo гm atio n within tl1e NAS: Regislmlion Response. LADN information inclнdes а Data
Network Name (DNN) and а list of one or тоге Tracking Aieas. А UE сап re qн es t а PDU Session which нses an LADN DNN while it
remaiпs witl1in the specified Tracking Area(s). The SMF will гe l ea se the PDU Session ifthe UE moves oнtside those Tгacking Ai-ea(s)

Examplc applications for Edge Co mpнtin g include:

*
0 1·eal time delive1y ofvid eo streams at а s po гtiп g event. Fог example, spectato1·s at а Formнla I Gгand Prix may Ь е а Ые to view
опlу part of the track. А video s tгeamin g seгvice сап Ь е н sed to provide views агонnd the remainder of the track. А spec ta toг coнld
select а specific driveг апd then follow the coпes ponding video stгea m . In this case, the video content is ge п erated , di s tribнted а пd
accessed locally. The UPF and LADN co нld Ь е co-located with the Ce ntгa li sed Unit ofthe Base Station se1·ving the venнe
0 a н gme nted reality at places of interest. Fог example, а mнseнm coн ld нsе aнgmen ted reality to pгovide visitoгs with additional
infoгmat i on as tl1ey tош the vепне. Tl1e Edge Co mpнtin g application coнld ГLtn о п а loca l sегvег which recognises апd tracks tl1e
v i s ito г l oca ti o п апd pгovides infoгm a ti o n гe l eva пt to tl1at location

о local b1·eak-ot1t fог а со гр о 1·а tе n etwoгk . Fог example, а n etwo гk pгoviding se1·vices to а l a гge office cot1ld Ь е defiпed as an LADN
and cot1 ld Ье connected to а UPF whicl1 is co-sited with а Base Station seгv iп g that office. This woн ld allow local access to tl1e
п etwoгk withot1t havi ng to tгaпsfe1· data to and fгom tl1e Соге Netwo1·k

о Vehicle to Iпfгastп1ct1.1гe (V2I). Road Side Units (RSU) сап Ье positioned along higl1ways at1d н sed to pгovid e seI"Vices to passing
vel1icles . The tгап s fег oft1·affic s i gпal timiп g infor111atio11 is an examp le ofV2I. I п th is case, tl1e RSU is а \vаге oftl1e ti111i11g н sed
Ьу п еагЬ у t1·a ffi c s i gп a l s. Tl1 is t i miп g is pгo v id e d to vel1icles a ppгoa chiп g the signals so tl1ey а ге а Ы е to геа сt a ppгopгiate l y . TI,e
tгa п sfet· of са ,· p a гkiп g i11fo1·matio11 is a noth eг exampl e ofV21

* Ап exa111p le a гc hitec t1.1гe fог Edge C ompнti п g is illн s tгat e d iп F i gшe 70. Tl1is examp le assш11e s tl1at а UPF and an LADN аге co-s ited
1vith tl1e Base Station. Thi s exa111p le нses sepat·ate NG-U inteгfaces fог the local UPF а пd the гemote UPF. In this case, а PDU Se s sioп
1voнld Ь е es taЫished specifically fo r coпnectioп to the LADN. Figure 65 in section 1.13 illнstгates а different architect1.1re which сап
also Ье н sed for Edge Compнting. In that case, а single PDU Session сап access both the local and remote Data Networks. An
i11teГ111ediate UPF provides rotttiпg betweeп the local and remote networks. This roнtiпg сап. Ье based нроn eitheг IP vб Mнlti -Ho111 i11 g
1vhich геqнiгеs UE st1pport о г 'Uplink Classifier' (UL CL) traffic filtering fiшctioпality whicl1 is tгanspaгent to the UE

Ba se Statio n Regio nal / Local

Location Data Center

Г::-l uu Base NG-U N9 Nб DN

~ Station (Remote)

NG-U N4 N4

UPF
An cho r N4 :~ ~}
Nб

LADN
(Loca l)

Figui-e 70 - Еха шрl е 11eh vo1·1< a 1· c l1itec tш·e fo1· E<lge Con1p11ti11 g

Tl1e ETS f !11dt1st1y Spec i fi cati o п G1·ot1p (ISG) fо г Mt1lti-Access Edge Compнtiпg (МЕС) l1as pt1Ьli s l1ed а seгi es of G1·ot1p Repo гts апd
Ctгot1p S p ec ifica t i oп s fог МЕС, e.g. ETSI GS М ЕС 003 F1·a111ewo1·k а псl Refe1·e11ce A1·chitect1.11·e. 5G so lн tioп s са п Ье basecl t1po11 tl1ese
s p e c i fica t i oп s ,vl1icl1 iп c ltt d e tl1e cl e fiпitioп of A pp li catioп P1·og1·a111111i11g Iпte гfaces (API) fo1· tl1i1·d par·ty appl icatio11 develope,·s

* З GРР Re feгe п ces: TS 23 .501 , TS 24.501

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5G NR in BULLETS

1.17 MICOMODE
* Mobile Initiated Connection Only (MICO) refers to а mode of operation which allows on ly mobile originated data tгa nsfe r while the
UE is CM-IDLE. The UE is categorised as being unreachaЫe and is not paged Ьу the n etwo гk (the UE does not listen for paging
messages). Requests for downlink data transfer are rejected Ьу the АМF. Likewise, the АМF does not proceed with downlink transpnrt
оvег NAS, e.g. mobile terminated SMS

* Both mobile originated and mobile terminated data tгansfer is possiЫe for а MICO mode device while it is CM-CONNECTED
* А UE can indicate а preference for MICO mode during either the initial гegistration proc e dшe, or during а registration t1pdate, i.e.
within the NAS: Registгation Request message. The АМF is responsiЫe for deciding whether or not the UE is permitted to operate in
MICO mode. The ' MICO Indication ' within the NAS : Regist1·atio11 Ассер! message is t1sed to inform the UE ofwhether or not MICQ
mode is permitted
* А UE which is CM-IDLE and using MICO mode can Ье provided with а registration агеа eqt1al to the whole PLМN (ifthe АМF serves
th e whole PLМN). This means the UE does not trigger registration updates due to mobility. The UE will not Ье paged so it will not Ье
necessary to broadcast paging messages across the who le PLМN
* lf а MICO mode UE is a\located а reg i st гa tion агеа which is smaller than the whole PLМN, then the UE evaluates whether 01· not it has
remained within the гegistration ai·ea when it has mobile originated data ог mobile oгiginated signalling to tгansfer, i.e. it does not
pгovid e an t1pdate immedi ately after completing а ce\l 1·eselection outside its 1·egistгation агеа

* А UE which is CM-IDLE and us,ing MICO mode uses the peгiodi c registration timeг, T35 l 2. This seгves as а keep-alive to confirm
that the UE гe ma in s connected to the network

1.18 UE САРABILITIES
* The Base Station uses tl1e RRC: ИЕ Capahility E11q11i1 y message to гequest capaЬility information from the UE. Tl1is message allo\vs
the Base Station to specify the Radio Access Technologies (RAТ) of interest. In the case of 50, the set ofRA Т fог which UE capability
information can Ь е гe qu es te d has Ь ее п kept relatively small, i.e. infoгmation сап Ье гequeste d fог NR, EUTRA-NR апd EUTRA. This
is a li gп e d with tl1 e s tгategy to оп l у allow iп teг-sy s te m h a n dove г from 50 to 40 . The EUTRA-NR infoгmatioп is app li ca Ы e to tl1e No11-
S ta пd a l o п e Base Sta tioп a гcl1itectшe s t1 s iп g Dual Co пп ec ti v i ty. Та Ы е 20 provides а co mp a гi s on \Vith th e e qнi val eпt 40 message \vh icl1
a llows tl1e 40 Base Station to гeq u es t UE capaЬi li ty i nfoгm at i on fo,· 20 , 30 , 40 а пd 50 techno logies

5G. UE Ca pabiliiy E nqнi ry NR, EUTRA-NR , EUTRA

4G, UE Capability E 11qнi ry EUTRA, UTRA, GERAN-CS , GERAN -PS, C DM A20 00 - IXRТТ, NR, EUTRA-NR

ТаЫе 20 - RA Т for ,vllicl1 ·uE capabllity inforшation сап Ье ,·equested

* The Base Station can also specify the NR and EUTRA o p e гat in g bands of iпte re s t withiп the RRC : ИЕ Capahility E11q11i1 J1message.
This prevents the UE sending large quantities of info гm atioп fог opeгating bands wl1icl1 а ге not relevant
* The UE responds to the Base Station t1 sing the RRC: UE CapaЬility Info mюtion message. This message inclt1des one ог mоге instanc<~S
ofthe UE-CapaЬilityRAT-Co11tai11e1·. Each instance is ap pli ca Ы e to eitl1er 'NR' , 'EUTRA-NR' ог 'EUTRA ' . The ' NR' and 'EUTRA-
NR' instances ai·e specified within 30РР TS 38.331 with descriptions of each infoгm ati o п element within 30РР TS 38.306. The
' EUTRA' instance is specified w ithiп 30РР TS 36.33 1 with d escг iption s of each information element within 30РР TS 36.306
* 30РР TS 38 .3 06 specifies which info гma tion elements coпespond to m an datoгy UE cap aЬilities. The геаsо п fог th e UE hav ing to
indicate sнpport fог а mandatoгy c apa Ьility is not immediately obvious, i. e. if а specifi c UE capability is mandatory then the UE woнld
поt notmall y have to signal its suppoгt fo r that capability - the Base Station shot1ld Ье а Ы е to asst1111e tl1at it is st1pp01·ted. Tl1e
гequi t·ement fог а UE to signal its support fог specific mandato1y capaЬi liti es is based upon the potential lack ofinteгopeгaЬility
Testing (ЮТ). А UE v e пdor may implement а mandato1y capaЬi li ty Ьеfоге net\v01·ks аге ava il aЫe to tes t tl1e implementation. In th is
case, tl1 e UE s lюнld герогt that the mandato1y capaЬi li ty is поt s t1p poгted , i.e. UE on ly iп d i cate that mandatory UE capaЬi liti es are
sнpported ifthey have Ьееп both impl e m e пted а пd tested with пetwoгk eq uipm e пt

* Iп tl1e case of 40, а set of 'UE Categoг i e s' l1as Ье е п specified Ьу 30РР апd each UE dec l aгes that it su ppoгts опе ог т оге of tl1 ese
catego1·ies. Tl1e 'UE C ategoгy ' d e fiп es а sн b set of the UE cap a Ьi liti es iп c lн diп g tl1e s нp po 1· t c d mo dt1 l at io п s c l1 e шes, tl1 e mа х i пшш
пumbe 1· of l a ye гs н se d fo1· spati al пш lti pl ex iп g , tl1e 111 ах i111ш11 пu mЬе г ofЬits \vl1icl1 с а п Ь е ,·eceived dшiп g а Tгa n s шi s s ioп T i111e
Iпt e гva l (TTI), the max imнm 11 t1111Ь е г o f bits wl1icl1 с а п Ь е tJ·a п s m i tte d dшiп g а ТТ I , а пd tl1e l ауе г 2 buffe1· size. F ог exa mp le, UE
C a tegoгy 5 са п s uppoгt 64QAM iп botl1 tl1 e нplink а п сl dowпliпk di1·ecti o11s, а m ax imшn o f 4 spatial mнltipl ex iп g l aye гs i п tl1 e
dowп liп k , 1·eceptio11 of 149 776 Ьit s р е г l ms ТТ! i11 tl1 e dowп liп k ап сl t1·a11smi ss i oп of75 376 Ьit s р е г I ш s ТТ! i п tl1 e t1pliп k

* Iп tl1 e case of 50, tl1e concept of 'UE Categori es ' l1 as поt Ьееп specifi ecl Ьу З ОРР . Iп s tead , eacl1 iпdividu a l UE c apa Ьi lity is explicitly
signalled. Fог exa111ple, the UE s igпal s its sнррогt fог а specific щ1111Ьег of spat ial mu ltiplexing l ayeгs u s iпg the МIMO-Laye1·sDL a11cl

82
 sG NR in BULLETS

М]MO-LayeгsUL i_nformat(on elements. Similarly, the UE signals its sнpport fог нplink and downlink modнlation schemes н s ing the
Moduiation01·deг шfoгmatюn element

tJE do not explicitly signal their maximшn sttpported data га tе. Instead, this inforrnation is calcttlated н s in g an eq н ation specified
11,ithin 30РР TS 38.306 . This eqпation is app li ca Ы e to both the нplink and dowп link :

J [ . . 12 х N BWU) .11 ]
Data rate (Mbps) = 10- 6 х "\'
L VU)
layeгs
х QU)
т
х r сл х Rта х х тµ
PRB х (1 - онU))
]=1 s

J is the nнmber of aggregated caгriers

(j)
v 1 ayeгs is the maximнm nшnb er of layers оп carrie1· 'j'
И)
Qm is the maximнm modttlation order оп carrier 'j'
f (i) is а scaling factoг fог сапi ег 'j ' which is signalled Ьу the UE нs ing the scali11gFacto1· infoгmat i on element.
V a lн es
of 1.0, 0.8, 0.75 and 0.4 сап Ье signall ed
Rmax = 948 /1024 is the maximнm coding 1·ate within the 64QAM and 256QАМ MCS t a Ы es

N::В(j),µ is tl1e maximttm Resoшce Block allocation wi thin the bandwidth BWO) when нsing nнmerology ' µ ' . BWO) is
the maximнm bandwidth st1ppo1·ted Ьу the UE оп сап i ег 'j '
is theOFDM symbol dшation foгnttmerology ' µ', i.e. т;' = 0.001 / ( 14 х zµ)
онU) is an aiг- inteгface oveгh ead given Ьу: 0. 14 fог the downlink of Fгeqнency Range 1; 0.18 fог the downlink of
Fгeq н ency Range 2; 0.08 for the ttplink ofFгeq н ency Range 1; 0.1О fог the нplink of F гeqнency Range 2
* Some example 1·e s нlts fог Fгeq н ency Ranges I and 2 are pгesented in ТаЫе 2 1. Tl1ese examples as s нme the maximнm channel
band1vidtl1s fo1· each nнmeгology . They also as s нme the ma x imнm UE capabi li ty fюm the peгsp e ctive of the Scaling Factoг, i.e. а
Scaling Fa ctoг of I is as sшn ed. Less poweгfн l devices сап signal а lower Sca ling Facto1· to indicate that tl1ey ai·e гes tгicted to
s нppoгtin g lower thю н gl1 pнts

Frcqt1e11cy l{a11gc 1 ~· гсq 11 с 1 1су 1ia11gc 2

50 MHz Clia1mcl 100 Ml-l z C l1 ш m el 200 MHz Cl1a1mcl 400 М !-1 1 Cl1 a1111el
N ш11Ь е 1· of Layers 2 4 2 2
Modнl a ti oп order 8 8 6 6
Scali11g Factor 1 1 1 1
Resource Blocks 270 273 264- 264
N нmerology 15 kHz 30kНz 60 kНz 120 kHz
Overliead 0.14 0.14 0. 18 0.18
Tl1ro11gl1pнt 578 Mbps 2.3 Gbps 1.6 Gbps 3.2 Gbps

ТаЫе 21 - Еха шрl е ш ахi nшш UE tl11·ougl1put capabllity calc11Jations (do,vnlink)

* The UE also pюvides capability inforrnation to the Core Netwoгk:

о tl1e NAS: Registmtion Request is sent to the АМF and сап inclнde the '50 MoЬility Maпagement (50ММ) CapaЬi lity ' , 'UE
Secшi ty Capa Ьility ' and 'S I UE Netwo гk CapaЬi li ty' . The 50ММ CapaЬility indicates whetl1 eг ог not the UE s нpp oгts ' S 1
mode' , i.e. conлect i v i ty to the 40 Сш-е Net\vork. It also iпdi cates wl1e th eг ог not the UE sttpports handovers fгom ' N I mode ' to
'S I mode'. The 'UE Secшity Capability' indicates the e11c1yption and iпtegгity protection algorithms s нpp oгted Ьу the UE. The
'S I UE Net\voгk CapaЬi li ty ' coпespoпd s to the 'UE Net\voгk CapaЬility' fюm tl1e 40 NAS signalling pгotocol (specified witl1in
30РР TS 24.30 1)

о the NAS: PDU Session EstaЬ/is/1111 e11 I Request is seпt to tl1e SMF and сап inclнde the '50 Se ss i o п Managemeпt (50SM)
CapaЬi li ty ', The 5GSM Capability indi cates 1vhet h e г о г not the UE s нppoгt s Reflective QoS. It also iпdi ca t es 1vl1etheг ог not tl1e
UE s ttpp o гts fPv6 Mн l ti- l10111i11 g, i.e. tl1e н sе of mнltip l e fP v6 pгe fi xes to l"Ottte packets to1va1·ds the same Data Ne t~• oг k н s iп g
di ffe 1·e пt patl1s

* The Base S tati oп fo1wa гcl s tl1e UE Rad io Capab il ity iпfoпna ti o n obta iп ecl f1·0111 tl1e UE to tl1e AMF. Tl1is is do ne н s in g tl1e NGAP: UE
Nadio Capabl/ity fnfo !11clicatio11 message. Tl1e AM F sto гes tl1is iпfo пnati o n as ра гt of tl1e UE co п text апd sнbseqtteпt l y pгo v id es it to
ot l1 eг Base S ta t i oп s se1·vi11g the UE, i.e. а fi гs t Base S tatioп obta iп s tl1e capa Ьility iпfoгma tion fгom tl1e UE апd tl1i s is tl1e11 stoгecl Ьу tl1e
AMF. Tl1e UE са п move to RRC Idle апd tl1e11 estaЫi sl1 а сопп есtiоп witl1 а 11e1v Base S tat i o п . Tl1e п еw Base Statio11 does п оt п ееd to
гe qн e s t tl1e UE c ap a Ьil i ty i11fo п11 a tio11 fi·om the UE becattse it is pюvid ed Ьу tl1e АМF withiп tl1e NGAP: lпitial Contexl Setup Re(f11est

* 3GPP Refeгeп ces : TS 38.33 1, TS 38.306 , TS 24.501

83
5G NR in BULLETS

1.19 SPECTRUM
* Congestion within the lower operating bands, comЬined with а reqнirement for wideг channel bandwidths has led to the inclнsion of
both low and high operating bands for 50, i.e. 50 taгgets spectrum allocations нр to 100 OHz. The range of spectrum targeted Ьу SG is
sнmmarised in Figшe 71

* The good RF propagation associated with the lower operating baпds allows those bands to Ье нsed for coverage solнtions. The
relatively small chanпel bandwidths within those bands means that the1·e is а reqнirement fог 50 to focнs нроп improving spectrum
efficieпcy. The lower operating bands сап Ье нsed for all 50 нsе cases, i.e. еМВВ, URLLC and mМТС, althoнgh the relatively small
channel'tandwidths limit the peak connection throнghpнts achieved Ьу еМВВ applications
* The wide channel bandwidths availaЫe in the higheг operating bands allows tlюse baпds to Ье нsed for high throнghpнt, capacity
solнtions. The гelatively poor RF propagation within those bands means there is а reqнirement to focнs нроп improving the link bнdget

* 50 has been standardised to provide sнfficient flexiЬility to address the challenges associated with both the low and high operating
bands, e.g. high order MIMO and mнlti-нser MIMO solнtions сап Ье нsed within the lower operating bands to help impгove spectrum
efficiency while beamforming сап Ье нsed withiп the higher operatiпg bands to help improve the link bнdget

SG Spectrum

еМВВ& еМВВ& еМВВ

URLLC& URLLC
mMTC

Frequency 300 MHz 3 GHz 30GHz 100 GHz 300 GHz

~---~- - - - - - - ~ - - - - - - - - -- -- - - - -- - - - - - - - - - - ~
mm wave spectrum

W avelength lm 10cm 1cm 1mm

. Good Propagation Limited Propagation

Small delay spread allows
Large cells Small cells } short cyclic prefix
lnterference Limited Noi se Limited
Bandwidth Limited Large Bandwidths
Fo cus upon improving
spectrum effi ciency } Higher ord er MIMO
& Multi-User MIM O
Focus upon im proving the
link budget
} Bea mformin g

Large Antenna Elements Small Antenna Elements

. Digital Bea mforming

FDD& TDD
Sma ller
Analogue/Hybrid Bea mformin g
TDD
Larg er
Smaller Doppler Offsets }
Low Phase Noise
subcarri er
spacings
Larger Doppler Offse ts
lncreased Pha se Noise } subcarrier
spacings

Figure 71 - Range of SG spect1·um

* Chaгacteristics associated with the high operating baпds iпclнde :

о limited RF pгopagation leading to small cells and пoise limited coverage coпditioпs . Iпterference limited coveгage coпditioпs аге
less likely at tl1e high ope1·ati11g bands Ьесанsе iпtercell inteгfeгe пce is attenнated Ьу the RF pгopagation cha1111el. B e amformiпg
also helps to res tгict iпteгcell i11te1·fere11ce Ьу allowiпg both di1·ectio11al tгaпsmis s ioп а пd diгectioпal 1·eceptio11
о small cell sizes mеап that delay spreads fгош tl1e гadio propaga tioп сhаппеl are short. This allows the aiг-iпteгfac e ,v a vefoгm to
нsе а shoгt cyclic pгefix (this coпesponds to а high sнbcarrier spaciп g)
о iпcгeased poteпtial fог wideг сl1аппеl bandwidths. The higher ope1·ati11g baпds аге geпeгally less coп gested апd have g1·eate1·
qнaпtities of spectrum thaп the lo,ver opeгating b a пds
о iпcгeased pote пti a l for fieqн e пcy offsets wl1ich с а п ,·еdнсе the s i gпal to пoi se 1·atio at tl1e ге сеivе г а пd thн s degгad e the Ьit е 1тог
гаtе регfогша п се . Freqн eп cy offsets lead to гotatioп s oftl1e 111odL1latioп con s te ll a ti o п . This makes the н sе of\1i g h eг огd е г
modнlatioп scl1e111es sнch as 256QAM шоге cl1alle11gi11g. Iп additioп , ,vheп L1si11g а п OFDM based ,vave foгm а пd wh eп fгe qL1e11c y
offsets are fгe qL1 e 11cy selective (diffe гe пt offsets ех р е гi епсеd Ьу diffe гeпt sL1bcaпie1·s) theп s L1bca1тi e r oгthogoпality is lost а пd
theгe сап Ь е iпt e rfereпce b e t,veeп s L1bcaггieгs . Fгe qll e пcy offse ts гe qlliгe сошреп s аtiоп withiп the гece ive r impleme пta tioп to help
ге dнс е tl1 e iг iшp ac t. Tl1e l a rge г fгe qt1 e 11cy offse ts iп the highe1· operating bands p юv id e а п а1·gн111 е пt fог н s iп g large г s t1b ca пi e г
s p ac iп gs. Lа гgе г s t1b ca 1тi e г s p ac iп gs а ге less se п s iti ve to f1·eqL1 e п cy offse ts. F гe qL1 e 11cy offse ts са п o гi g iп ate fгош:

Dopple1· f1·eq L1e11cy offsets, ,vl1icl1 i п сгеаsе pгopo гti oпa ll y ,vit\1 the RF са 1т i ег f1·eqL1e11cy, e.g. iп c гeas iп g t\1e RF са ггi еr
fгe qt1 e 11 cy Ь у а fac t o г of 10 also iп c гeases t\1e Dо р р \ е г fгe qL1 e 11 c y offset Ь у а fac to г of 10. Dopple,· offse ts а ге d ере п с\ е п t t1po11
t\1e 1·elati ve velociti es of t\1e t1·ш1 s 111itt e г а пd 1·ece i ve г, i.e. they i11c1·ease fo1· l1i gl1 speed sce пaгio s
phase п o i se
whi cl1 is ge п e ,·a te d Ь у н s iп g 11011-idea l oscillato,·s at bot\1 tl1e tгa п s mitteг а пd ,·ece i ve г . T\1ese oscillato1·s do п о t
ge п e 1·ate co шpl e te l y
pe1·fect s iп e ,vaves. Iп s teac\ t\1ey gе п ега tе s iп e waves wl1i ch \1ave small га пdош phase va гi a tio11 s , i.e.
phase п o i se is sL1pe1·i111posed t1р о п the sine wave. It is 1110 1·е difficlllt to 111 а 1шfас 11.1ге high ft·eqL1ency osc ill a to гs ,vit\1 good
phase noise pгop eгtic s . Т\1 е ttse of \ а гgе 1· S L1b ca 1тi e г s p ac iп gs helps to iп c ,·e a se гes ili e пc e aga iп st pl1ase пoi se
 5G NR in BULLETS

0 the higher sнbcarrier spacings associated with the higher opeгa tin g bands lead to а shoгter sнЬframe dшation and provide the
potential for loweг latenc1es

0 the wider channel bandwidths associated ,vith the hi g l1 e г operating bands \ead to '1igheг power consнmption Ьу the D/A а пd A/D
coпverte1·s. Iп additioп , power amplifier efficiency is likely to Ье lower withiп the higheг operating bands

0 sma\ler aпtenna elements which provide incгeas ed potential fог pгac tica\ апt.епла апауs at both t\1e Base Statioп апd UE. These
aпtenna апауs сап Ье нsed to generate directional beams at both the transrr.it and receive sides ofthe radio l iпk , i.e. both the Base
Station and UE арр\у beamfoгшing rather than jнst the Base Station

0 stro11ge1· argнment fог апа\оgне or hybrid b ea mfoгming rather th a п digital beamforming

■ digital beamformiпg at the tгaпsmitter applies phase shifts Ьеfоге D/A coпversion and геqнiгеs an RF path (iпclнdiпg D/A
converter апd power amplifier) ' per anteпna element ' or ' р ег aпtenna element group' . This becomes both expeпsive and
power hнngry when the number of antenna elemeпts is high, i.e. it is поt practical for the 11igh operatiпg bands wheгe а laгge
nнmЬег of aпtenna elemeпts are required to geneгate highly diгectioпa l beams

• analog11e beamforming at the tгansmitter applies phase shifts after D/А coпversioп and гeqнire s ап RF path ' per beam'. This
type of solнtioп is less flexiЫe than digital beamfoгming Ьесанsе а\1 Resoшce Blocks аге tгansmitted нsin g the same beam
(digital beamfoгmiпg allows diffeгeпt phase shifts to Ье applied to differeпt R eso шc e Blocks and so suppo1·ts diffeгeпt
beams for diffeгeпt Reso шc e Blocks. Iп additioп , digital bea mfoгming allows а single set ofResoшce Blocks to Ь е
tгa nsm i tted Li sing mнltiple beams, i.e. towards diffeгent нs ers fог Mнlti-Use г MIMO) . Алаlоgне beamfoгming is generally
limited to а small nнmber ofbeams, e.g. 2 po larisation beams coн l d Ь е н se d to sнррогt 2х2 МIМО
• hybrid beamformiпg is а compromise between digital апd analogue beamfo1-ming to allo,v some flexibility with геаsоnаЫе
RF haгdwaгe гeqt1i1·e ments. Hybrid beamforming applies some phase shifts befo1·e О/ А conveгsion and some phase shifts
afteг D/ А conveгsion

о TDD allows simpleг b ea mfoгmin g so lнtions relative to FDD dн е to tl1e chanлel гecipю c ity between tl1e t1plink апd downlink, i.e.
the нpliпk and downlink experience the same propagation channel. Channel 1·ec ipгo c ity allows нp l ink m eas шe m e nt s to Ь е applied
to downlink t1·ansmiss ions, and vice veгsa. TDD allows beamforming to Ь е implemented witlюнt relying нроn а feedback cl1annel

1.19.1 DUPLEX MODES

* Tl1e dнplex mode deteг111i11es tl1at way in wl1ich а s pectп11n a ll ocat i oп is н sed fог нpl ink а пd d ow пliпk tгa11s111issio11s

* SG l1as bt:en specified to s нрр огt tl1e follow i п g d нpl ex 111odes:

о F 1·eq н ency Division Dнplexing (FDD)
о Time Division Dнplexiпg (TDD)
о Sнpp l e mental Dowпlink (SDL)
о S нpp l emental Uplink (SUL)
* Each operating band is associated with а single dнplex mode. Howeve г, theгe ai·e examples of mu ltiple opeгating bands with diffeгe пt
dнplex modes ta rgetiпg the same Ыосk of spectrum. Two examples аге presented in ТаЫе 22. Operating bands n50 апd n75 taгget the
same Ыосk of spect11.1m Ьнt operatiпg band n50 specifies TDD орегаtiоп whi le band n75 specifies SDL opeгation. А simi lar pattern
exists fог operating bands n5 l and n76. This allo,vs different operators to нs е tl1e spect11.1m in different ,vays

Operati11g Upli11 k Bar1d Do\\'11ii11k Вш1d Bш1d 1v idtl1

Dнpl ex М ос\с
Ba11d (M Hz) 1 (MH z) (M Hz)
n50 1432 - 1517 85
TDD
1151 1427 - 1432 5
1175 1
1432- 1517 85
SDL Not ApplicaЬ\e
1176 1
1427 - 1432 5

Та Ь\ е 22 - Diffe1·ent <luplex шodes associated ,vith соnш1011 Ыoc ks of spectr uш

* Figшe 72 illн s tгates the gеп егаl concept of eacl1 dнp l ex mode. FDD геq нiгеs pai1·ed spect11..1m, ,vl1i le TDD , SDL ап d SUL н sе Lit1pai1·ed
spcct11.11n. FDD н ses tvvo sepa1·ate RF caiт i e1· s - опе for нpliпk апd опе for tl1e dowп li nk. Tl1e UE t1·ш1 s111 it s н s iп g опе R.F са ггi ег
(нpliпk) , wl1il e tl1e Base Station tгansm it s нsiп g tl1e otheг RF сап i ег (do,vпlink)

* Sнpp l e meпtal Do,vnlin k 1·efeгs to ап RF carri eг wl1icl1 is on ly нsed fo1· do\vn lin k tгa11sm i ssio 11s. 111 coпtгast, St1ppleme11tal Upl i пk 1·efeгs
to ап RF са1т i е г
wl1ich is о пl у нsed fог нpliпk tгaпsm i ss ion s
* TDD uses tl1e same RF ca 1т i er fог botl1 t!1e нpliп k and dow11!i11k tгaпsmiss ions. Т!1е UE апd BTS canпot t1·a11smit s i11111!ta11eoнsl y iп the
case ofTDD Ьесанsе they sha гe the same RF carrier

85
5G NR in BULLETS

Frequency Division Duplexing (FDD) Тiте Division Duplexing (TDD)

Poired Spectrum Unpoired Spectrum
г- --- --- --- -- --- --- - -- - -- ---- ---- ---------------- г-- -------- --- --- --------- --- ------ ----- - ---- ---- - ,

' ''
Downlink :' :
□
' ' BTS tronsmit
Frequency : Соттоп :
~ -- ~- ~ -- ~
i' Uplink&
'
:
& ИЕ receive
Uplink i Downlink с__ _ с__~--~ i
Frequency i Frequency time i ИЕ tronsmit
time ''
''
! _________ __ _ _________ __ ___ _______ _____ ______ ___ _ _
''
1
'' □ & BTS receive

Supp/emento/ Downlink (SDL) Supp/emental Uplink (SUL)

Unpoired Spectrum Unpaired Spectrum
----- -- -------- ---- ---------- --------- ------------ ,
,---- - -- - - - ~ :i ' :'
i: Downlink
'
: ~~k
,---- -- -- - - ~
:
: Frequency ~ -- - ----~ i ! Frequency ~ - -- - -- - ~ i
:
:
time
'-- ---- --- - ----- --- --- -------- --- -----------------'
:
:
'
'' - --~е
-- -• :'
'----- - ---------- ------- -------- ----------- ---- ---'
'

Fi g ш·e 72 - Dнplex mode concepts

* TDD is attractive for systems wl1eгe

the data transfer is highly asymmetric because the ratio between the uplink and downlink
tгa nsmissions сап Ье a djн s ted ap pгopгiately
and the RF сап· iег гemains fully utilised. In the case ofFDD, one ofthe RF сапiегs woнld
Ье нпdег utilised when the data tгa nsfeг is highly as ymmetгic

* 4G t1ses fixed нplin k/downlink timing fo r TDD, i.e. the network is co nfigшed to нsе а specific нplink/downlin k suЬframe coпfigшatioп
and once that configшation has Ьее п chosen then the timing ofthe нplink and downlink s uЫiames is fixed. 5G s uppoгt s dynamic
нplin k/downlink timing fог TDD., This allows the Base Station to dynamically change symbols or slots between the uplink and
downlink according to instantaneous requi1·ements. For example, the numbeг ofuplink symbols са п Ь е incгeased whi le the nнmb er of
downlink symbols is dec1·eased ifthe vo lнme oft1plink tгaffic in cгeases relative to the volume ofdown link traffic
* TDD devices benefit fro m not 1·eq t1iгin g а dнрl ехег. This helps to геdнсе the cost ofthe device. А duplexe1· is 1·eqнiгed Ь у FDD devices
to extract the нplink signal fiom the antenna for reception , while at the same time inserting the downlink signal into the a nte rш a fог
tгa n sm i ss ion . Dt1plexers tend to in c гease the receiver noise fi gшe in the гeceive directioп and gene гa te an additional loss in the trans111ir
diгection

* FDD is a ttгac tive fo1· systems wl1e1·e the 1·e quiгem e nt fo1· вplin k and downlink capacity is гe l at i ve l y symmet1·ic. FDD сап offeг l1igh e г
tl1гoв ghpвts Ь еса в sе data t1·ansfe1· са п Ь е co ntiпвoн s i11 botl1 diгect i oпs. The capacity associated with а pai1· ofFDD са 1тi е гs is g 1·ea te г
tl1a11 the capacity associated with а single TDD са~т i ег, Ьвt а g геа tег qн a 11tity ofsp ec tгвm is геqв i ге d ( ass вmi11g eqвal cl1annel
b a пdwidth s )

* FDD сап Ье s impl eг to deploy iп te пn s of syпclu-oni sa tioп 1·eq нiгe me nts. Iп geneгal , it is not 11ecessai·y for nei g hb oш iп g FDD Base
Stations to Ь е time syn c hгoпi sed. Neig l1boш i ng TDD Base Statio11s гeq t1i1·e time syncl11·011isatio11 to limit levels of interfe1·e11ce bel\veeп
нplink and downliп k tгansmissions

1.19.2 OPERATING BANDS

* ЗGРР has specified the followiпg Freqнency Ranges:
о Freqн ency Range 1 (450 МНz to 6 GHz)
о Freqнency Range 2 (24.25 GHz to 52.60 GHz)
* This categorisation allows а separate set ofreqt1iгements to Ь е specified fo1· each Fгeqнency Raпge . For example, sepai·ate sensitivity
and oнt-of-band emission reqвi1·ements are specified fог eacl1 Fгequ e ncy Raпge . These гeqt1i1·e ments account fог the diffeгent UE and
n el\voгk implementations associated with each Freqвency Range. For example, UE u s iпg Fгeq t1 en cy Range 2 а ге likely to Ье eqнipped
witl1 l1ighl y integгated a11tenna panels pгoviding а beamfoгmin g capability. In contгa s t , UE вsi11 g Fгеqне11су Raпge 1 а ге like ly to Ь е
eq нipp ed with а гelativ e ly sma ll пшnЬег of anten na e l emeпts di s t г ibвted а гонпd tl1e device

* Opeгating baпd s beloп g in g to Fгеq в е п су Ra11ge I аге s lюwn in Та Ы е 23. These bands sврро гt F1·eqt1e11cy Divisioп Dt1plex (FDD),
Time Divisioп Dt1plex (TDD), St1pplemental Downliп k (SDL) a11d St1pp\en1ental Up liп k (SUL)
* All ba11ds аге nt1 111b e гe d t1 s iп g tl1e pгefix '11'. Baпds 11 1 to 1176 а ге гe - faпn iп g ba11ds \vl1ich l1ave a lгea dy Ь ее п specifi ed fог в sе Ьу 4G,
i.e. tl1ese ex isti11g 4G ba11ds тау Ь е гe-fa пn ed fог 5G. SG opeгat i 11 g Ь а пd · п 1' coпe s pond s to 4G ope1·a tiп g ba11d '1 ' , etc
* Ope1·ating ba11ds n66 а пd 1170 ai·e FDD ba11ds bt1t !1ave t111 e qв a l t1pli11k a11d dow11 link s p ec t1т1m all ocations. Tl1ese b a пd s l1ave 111oi·e
down li11 k spec tп.11n tha11 вpli11k s p ect п1111
* Tl1e l a гges t bands witl1in FR I аге tl1e new 5G TDD ope1·ati11g bands 1177, 1178 а пd 1179 . These bands have tl1e potential to offer higl1
thгot1 gh pв ts at 1·elativelylow ope1·at i11g fr·eqt1encies. Ope1·ati11g Ь а пd n78 is а s вb se t of ope гating ba11d n77. Some co нnt г i es may allocate
opeгating band 1178 iftl1e ft1ll гап gе of ope гa tiп g band n77 is п оt ava il a Ы e

86
 5G NR in BULLETS

Operatin g Up li1,k В а н d D o ,vвl i н k Bai1d Ba11d,vidtl1

Duplex Mode Catego1y
Bar1d (M Hz) (M Hz) (\'V\ Hz)

111 1920 - 1980 2 110-2170 2 х 60

112 1850 - 1910 1930 - 1990 2 х 60
113 17 10- 1785 1805 - 1880 2 х 75
n5 824 - 849 869 - 894 2 х 25
117 2500 - 2570 2620 - 2690 2 х 70
FDD
118 880 - 915 925 - 960 2 х 35
111 2 699 - 716 729 - 746 2 х 17
1120 832 - 862 791 - 82 1 2 х 30
1125 1850- 1915 1930 - 1995 2 х 65
1128 703 - 748 758 - 803 2 х 45
1134 20 10 - 2025 15
n38 2570 - 2620 50 Re-fanned
n39 1880 - 1920 40 40 bands
1140 TDD 2300 - 2400 100
1141 2496 - 2690 194
n50 1432 - 1517 85
1151 1427 - 1432 5
1165 1920 - 20 10 2 110 - 2200 2 х 90
1166 1710 - 1780 2 110 - 2200 70 + 90
1170 FDD 1695 - 17 10 1995 - 2020 15 + 25
117 1 663 - 698 6 17 - 652 2 х 35
1174 1427 - 1470 1475-15 18 2 х 43
1175 143 2 - 15 17 85
SDL Not App li ca Ь\ e
1176 1427 - 1432 5
n77 3300 - 4200 900
1178 TDD 3300 - 3800 500
1179 4400 - 5000 600
1180 1710 - 1785 75
Ne,v
1181 880 - 915 35
50 bands
n82 832 - 862 30 -
SUL Not App l_icaЬ\e
n83 703 - 748 45
1184 1920 - 1980 60
n86 1710- 1780 70

ТаЫе 23 - SG opera ting bands for· Frequeпcy Raпge 1 (450 MHz to 6 GHz)

* Each operatiпg ba11d is specified to s нppo.-t а specific set of cha1111el ba11dwidths . These cha1111el ba11dwidths depe11d нроn the s нb carr i er
spacing. Fгeqн en cy Range I sнpports sнbcarrier spacings of 15, 30 and 60 kHz. ТаЫе 24 presents the set of cl1an11el bandwidths fог
eacl1 operating ba11d and each sнЬса1тiег spacing
* Iп t\1e case of 4G, theгe is а one-to-011e mapping betwee11 Base Statio11 cha1111el ba11dwidth а п d UE cha1111el baпd,vidth . For example, а
4G Base Stati o п channel ba11d,vidth of20 MHz геqнiгеs а \\ UE to also sнpport а 20 MHz chan11e \ bandwidth
* Iп the case of 5G, the Base Statio11 cha11nel ba11d,vidth сап Ье g1·eateг thaп ог еqна \ to the UE cha1111el ba11dwidtl1. Fог examp le, а 5G
Base Statio11 coн ld sнррогt а chaiшe l ba11d,vidtl1 of 100 MHz, ,vl1ile а UE coн ld sнрро гt а cl1a1111el band,vidtl1 of20 MHz. !11 that case,
t\1e Base Station woнld гecogn i se tl1e UE capability апd allocate Resoшce Blocks which at'e witl1i11 а 20 MHz ba11dwidth . Diffe1·e11t UE
coнld н sе diffe1·ent 20 MHz sections of tl1e total Base Stati o11 с\~а11ле\ . UE ,,,hic\1 sнpport t\1e 100 MHz cl1a1111e\ b aпcl,v idt\1 cot1 \d Ь е
allocated Rе sонгсе Blocks fгom а 11 у locatio11 witl1i11 t\1e Base Statio11 c\1a1111el
* Iп some cases, нplink а пd dow11li11 k chaiш e l ba11d,vidtl1s ai·e п оt eqн a l . FDD opeгa tiп g ba11ds 1166 а пd 1170 st1pport asy mmetгi c нр\iпk
а пddo,vnli11k с\1апл е l ba11d,vidt\1s. Fо г example, op eгa ti11 g Ьа пd 1166 Sttppo гts а 20 MHz нpli11 k ch a nл e l combi11ed ,vit\1 а 40 MHz
downli11 k cl1a1111e\. Simi l a гl y, TDD opeгatiлg Ьапd 11 50 sнppo гts asy mmet1·ic нpli11k а пd do,v11\i11k cha1111e\ band,vidt\1s. !11 this case, а
60 MHz нр \i пk chanп e l са п Ь е н sed i п comb in at i oп with а11 80 MHz do,vnlink cliaппe l
5G NR in BULLETS

Operati11g Ba11d\\'idtl1
15 k Hz Subcarrier Spaci11g 30 kН z Sнbcarrier Spaci11g 60 kHz Subcarrier Spaci11g
Ba11d (MH z)
111 2 х 60 5,10,15,20 10, 15 ,20 10,15,20
112 2 х 60 5,10,15,20 10, 15 ,20 10,15,20
113 2 х 75 5, 1о, 15,20,25,30 1о, 15 ,20,25,30 10, 15,20,25,30
п5 2 х 25 5,10,15,20 10, 15,20 -
п7 2 х 70 5,10,15,20 10, 15,20 10,15 ,20
8 2 х 35 5,10,15,20 10,15,20 -
n\2 2 х 17 5,10,15 10,15 -
п20 2 х 30 5,10,15,20 10, 15,20 -
п25 2 х 65 5,10, 15,20 10,15,20 10, 15 ,20
п2 8 2 х 45 5,10, 15 ,20 10,15,20 -
п34 15 5, 10,15 10,15 10,15
n38 50 5, 10,15,20 10,15,20 10, 15,20
n3 9 40 5, 1о, 15,20,25,30,40 1О , 15,20,25,30,40 1О, 15,20,25,30,40
n40 100 5,10, 15 ,20,25,30, 40,50 1О , 15,20,25,30, 40,50,60,80 1о , 15,20,25,30, 40,50,60,80
п41 194 1О , 15,20,40,50 1о, 15,20,40,50,60,80, 100 1О, 15 ,20 ,40,50,60,80, 100

1150 85 5, 1о, 15,20,40,50 1О , 15 ,20,40,50,60,80 1О, 15,20,40,50,60,80

1151 5 5 - -
n65 2 х 90 5, 10, 15,20 10, 15,20 10, 15,20
1166 70 + 90 5, 1о , 15 ,20,40 1о, 15,20,40 1О , 15,20,40
1170 15 +25 5, 1о , 15,20,25 1о, 15,20,25 1О, 15,20,25
n71 2 х 35 5,10, 15,20 10,15,20 -
1174 2 х 43 5, 10, 15,20 10,15,20 10,15,20
1175 85 5, 1О , 15,20 10, 15,20 10, 15,20
1176 5 5 - -
1177 900 1о, 15,20,40,50 1О, 15,20,40,50,60,80,90, 100 1О, 15,20,40,50,60,80,90, 100
1178 500 1О , 15,20,40,50 1О, 15,20,40,50,60,80,90, 100 1о, 15,20,40,50,60,80,90, 100
1179 600 40,50 40,50,60,80, 100 40,50,60,80, 100
1180 75 5, 1О , 15,20,25,30 10,15 ,20,25,30 10, 15,20,25,30
п81 35 5,10,15,20 10,1 5,20 -
п82 30 5, 10,15,20 10,15,20 -
1183 45 5,10,15,20 10, 15,20 -
1184 60 5,10,15,20 10, 15,20 10, 15 ,20
п 86 70 5, 1О, 15 ,20,40 1О , 15,20,40 1о , 15 ,20,40

Та Ые 24 - Channel band,vidths in MHz supported Ьу eacl1 operating band (F1·equency Range 1)

* Сhа пп е l bandwidths belonging to Frequeпcy Range I extend нр to 50 МНz when н sing the 15 kНz su bcaпieг spacing, and up to 100
MHz when нsing the 30 or 60 kНz sнbca1тier spacings. The channel bandwidths associated with some operat iп g bands а 1·е limited Ьу
the quantity of avail aЫ e spectn1m. For example, opeгatin g band n5 l has on ly 5 MHz of spectп1m so on ly sнpports the 5 MHz c l1 anпel
bandwidth
* Operating baпds belonging to Fгequency Range 2 аге shown in ТаЫе 25. Tl1ese baпds s нpport T ime Divis i oп Dнpl ex (TDD). Tl1e
bandwidths ava il a Ы e from these operating bands are sign ificantl y greateг tha п those avai l a Ы e fi-om Fгеqнепсу Range 1

Operati11 g Dнpl ex Upli11k Ba11d D011·11li11 k Вапd Ba11d11•id1 l1

Calegory
Вш1 сl Mode (MH z) (MH z) (MH z)
1

п 257 26 500 - 29 500 3 ООО

11258 24 250 - 27 500 3 250 Ne1v
TDD
п 26 0 37 ООО - 40 ООО 3 ООО 5G baпds

п 26 1 27 500 - 28 350 850

ТаЫе 25 - 5G ope1·ati11g bands fo1· F1·eq11ency Ra nge 2 (24.25 to 52 .60 GHz)

88
 sG NR in BULLETS

The channel band\vidths supported Ьу each ofthese opeгat i n g bands а ге pгesen ted in Та Ы е 26 . In th is case, channel bandwidths вр to
400 MHz are sн pported when н s i ng the 120 k.Нz subcarrier spacing

Operati11g Ba11d\vid1l1
60 k Hz St1bcaпier Spaci11g 120 kHz St1bcarrier Spaci11g
Ba11d (MH z)
11257 3 ООО 50, 100,200 50,100,200,400
11258 3 250 50,100,200 50, 100,200,400
11260 3 ООО 50,100,200 50, l 00,200,400
n26 l 850 50, 100,200 50, l 00,200,400

Та Ы е 26 - С h а пп е l ba 11d,vi d t hs i11 МНz s11p ported Ьу each op er a ting Ь а пd (F1·eq11e11 cy Ra 11ge 2)

* ЗGРР specifies the UE гadio transmission and reception гeqt1iгemen ts for the Standalone Base Station arch i tec tшe н s i n g Frequency
Range 1 \\•ithi n TS 38. 101- 1. The eqt1ivalent reqt1irements fог Freqt1ency Range 2 are specified within TS 38.101 -2. Reqн i rements fог
the Non-Standalone Base Statio n arc h i tectшe are specified within TS 38.1 О 1-3. Base Station radio transmission and recep ti oп
гeq t1irement s fo1· both fгe qн en cy гanges are specified within TS 38. 104

* ЗGРР Re fere п ces: TS 38. 10 1- 1, TS 38. 10 1-2, TS 38.10 1-3, TS 38.104

1.19.3 BAND COMBINATIONS

* В а пd C o111Ьiп a t i o11s
are 1·eq нi 1·e d fог any dep l oym e пt sc e n a г i o wl1icl1 allows the UE to Ь е co п fi gнred with mu ltiple с а п i егs . For
example, Сап i е 1·Aggregation reqt1ires а set of allowed Band Co mЬiпat i o n s to Ь е specified . А UE signals its s нppoгte d band
combiп at i on s as part of its UE capaЬility i nfoгma tion
* З GРР has specifi ed tl1e Band ComЬiп a tion s fог the Non-Standalone Base Station a гc l1i te ct1.1гe нs iп g EUTRA - Ne,v Radio Dt1al
Connectivity (EN-DC) within TS 38. 1О 1-3. These Band Co mbin at i o п s а ге categot"ised as:
о fnt1·a-band Co пti gt101.1 s EN-DC
о I п t1·a- b a nd Non-Co пti gtю н s EN-DC
о fпtе г-Ьа п d EN-DC wi tl1 iп F гeq н e n cy Raпge 1 (2, 3, 4, 5 01· 6 ba п ds witl1i11 eacl1 com Ьiп a ti o п )

о !п tег- Ь а пd EN-DC \v i tl1iп F гe qt1 e 11 cy Ra п ge 2 (2, 3, 4 о г 5 b a пd s \V it l1iп eacl1 c ombiп a ti o п)

о f п teг- b a nd EN-DC within F гe qu eп cy Ra п ges I а пd 2 (3, 4, 5, 6 b a пd s witl1 i п each co mЬiп a ti o п)

* Та Ы е 27 p1·ese11ts а small sample oftl1e Вапd Co111Ьinatio11 s \vhich l1ave been specified fог iпte г-b a nd EN-DC witl1i11 F геqн е псу Ra пge
1. These examples ill нs t1·a te that Вапd ComЬiп a t ions have Ьееп specifi ed to i nc lн d e t1p to 6 bands. The nt1mbeг ofbaпds b e l oп g ing to а
В а пd C omЬiп a ti oп does not n ece ssaг il y reflect the пumЬег of carrie1·s. Fог example, DC_ 1-3-7-7_n78 iпc l t1des 4 baпd s Ьнt 5 c arг i ers,
,vitl1 2 caiтi e гs be l o ng i пg to E-UTRA Band 7

EN-DC Вш1d E-UTRA E-UHA [ - U TRЛ E-u тiiл Nli NR

Co 111biпa1i o 11 Ba11d 1 1Зш1d 2 Bai1d 3 Ba11d 4 Ba11d 1 Вш1d 2
DC 1 1128 1 - - - 1128 -
2 Ba11ds
DC 1 1140 l - - - 1140 -
DC- 1-3_1128 l 3 - - 1128 -
3 Baпds DC- l -3 - 1177 l 3 - - 1177 -
DC_7_1128_1178 7 - - - 1128 1178
DC- l-3-5_1178 l 3 5 - 1178 -

4 Ba11ds DC- l-3-7 1128 l 3 7 - 1128 -

DC- l-3-7-7 1178 l 3 7 - n78 -
DC- 1-3-5-7 1178 1 3 5 7 1178 -
5 Ba11ds
DC 1 - 3 -5 - 7 -7_п 78 1 3 5 7 п 78 -

6 Ba11ds DC- 1-3-7-20 1128-1178 l 3 7 20 1128 n78

ТаЫе 27 - Examp le Ьа п d combl11atio11s fo1· EN-DC (I11te1·-Ba11d F1·eque11cy Raпge 1)

* З GРР has specifi ed tl1e Вапd ComЬiпa ti o пs fo 1· Caiтi er Aggгegat i oп withiп TS 38. 1О 1- 1 fо г Sta пda l oпe F геq непсу Ra п ge 1, TS
38.1О 1-2 fог S ta пd a loп e F геqнепсу Range 2 and TS 38. 1О 1-3 fог Noп-S taпda l oп e Fгeqнen cy Raп ges I ап d 2. Both iп tгa-band а пd
inteг- band comЬin atio n s аге specified. The гe lease 15 veгs ion of the spec ifications all ows i11te1·-band Са 1тi ег Aggгegation acгoss 2
o p e1·atiп g b a п ds. Iпtra- b a пd Ca rri e г Agg 1·egati o п asst1mes tl1at the ca пi e 1·s are coпti gtюt1 s
5G NR in BULLETS

* 3GPP has also specified the Band Combinations for Dнal Connectivity (DC) between mнltiple NR operating bands. Inter-band NR-D,
between Freqнency Range I and Freqнency Range 2 is specified within TS 38. 1О 1-3
* Band Combinations are also specified for the Sнpplemental Uplink (SUL) bands Ьесанsе these bands need to Ь е нs ed in combination
with other bands. The Sнpplemental Uplink Band Combinations for Freqнency Range I are presented in ТаЫе 28. The re lease 15
veгs ion ofthe specifications pairs the Sнpplem e ntal Uplink bands with either band n78 or n79

Sнpplemental Uplink TDD Band Sllppleшental Uplink

Band Combinatio11 Band
SUL_1178-n80 n78 n80
SUL_1178-n8 l 1178 n8l
SUL_n78-1182 n78 n82
SUL_n78-n83 n78 1183
SUL_n78-n84 n78 1184
SUL_n78-n86 n78 n86
SUL_n79-n80 n79 1180
SUL_n79-п8 l 1179 118 1

ТаЫе 28 - Band Comblnations for Supplemental Uplink (]nter-Band Frequency Raпge 1)

'
1.19.4 MILLIMETER WAVE PROPAGATION
* mm wave spectrum coпes pond s to fгeqн enci es which have wave length s between I mm а пd I cm
о co rrespoпd s to wavelengths between 30 GHz and 300 GHz
о fгo m the pe1·specti ve of 5G, tl1e 1·ange of inteгes t is 30 GHz to 100 GHz

* 111m wave s p ectrнm is ofp ai·ti cttlar inte гes t Ь еса н sе it offe гs th e potenti al fог wide с l1 а пп е l band\vidtl1s, i.e. the po te пti a l fо г hi gl1
th гo н g h pнt s. F i gшe 73 s нmm a гi ses tl1e c l1 a 1·acteг i s ti cs assoc iated w ith p гo p aga ti oп w ithiп tl1 e mm wave Ьа п d

lncreased free space propagation loss

Oxyge n absorp tion at 60 GHz

Small cells
W ater absorption at 24 GHz
Noise limited
Rain drop attenuatio n
mm wave spectrum
Challenging outdoor to indoor covera ge
(30 to 300 GHz) Foliage attenuation
Beamfo r ming at both Ba se Station and
lncreased building penetration losses
Short Wavelengths UE necessa ry t o improve link budget
(1 to 10 mm) Lack of diffraction
Rapid handovers re quired when
lncreased scatterin g propagation path is suddenly Ыo c ked,
e.g. Ьу а truck
lncrea sed refl ection s from smaller objects
lncrea sed Ыocking of propagation path

Figure 73 - Clшracteri s tics associ ated ,vitl1 шm ,v ave propa gatio11

* The fнnd a mental e qнation fог fгее space path loss between 2 isotropic a пtenn as is given Ьу:

4 тr di st) 2 4 тr di st) тr dis t х fтeq)

Fт ее Space Loss (dB) = 10 LO G ( --л- = 2 0 LO G ( --л- = 2 0 LO G
(4
3 00 ООО ООО

* C on veгtin g tl1 e di stance fгom ' 111 ' to 'k111' and tl1e fгеq н е п су fгo m 'Hz ' to 'MHz' leads to:

Fтее Space Loss (dB ) = 32.4 + 2 0 LO G (dist (km )) + 2 0 LOG (fтeq (M H z))
* Tl1is eqн a ti o п ге ргеsе пt s tl1e s t a гt iп g po iпt fо г т о ге sophi sticated patl1 loss 111odels. Fог exa111ple, this e qн at i o п is н se d as tl1e sl101·t
di s ta п ce path loss nю d e l fо г tl1 e шЬ а п 111 асго line-of-sigl1t s сеп аг i о w i tl1iп 3GPP TR 38.900 'Srнdy 011 С l1 а п пе l Mode l fог Fгеч н еп су
S p ec tгнm above 6 GHz'

* F i gшe 74 ill нs t1·a tes tl1e fгее space pa tl1 loss ca l c нl ated fго 111 tl1i s eq н a ti o n fOI· а га п gе of di stances ancl fгe(! Lt e п c i es. lп cгeas i п g tl1e
са 1тi е 1· freчн e n c y Ь у а fac to1· of I О, in c гeases the fгее space path Ioss Ьу 20 dB

90
 sG NR in BULLETS

140
130 - - - --- - - - - - - - - - - --- - -- - - - - - - - - - -- - - - -- - - --- -- - - - - - ---- - - ---- - - - - -
120

~
-------- ---- - ------- --- -- -------- -
aj'llO - ---------------------~---=--~--~:--,;.;--.;;--.
~
~ 100
о
...J

-5ro
а.
Q)
90
80
---
- -- -- --- - --- ----- --- -

__ ,, ' --------..... -~~····· ...... ····· ........... ······· ..

__
....
-- - -- -
- з0GHz

- - ЗGHz

... .. .... --- -- - -- -- -

u
ro
а. 70 -- --- ,, - - - ------ --- ------- - --- ---- ------------ - -- - •••• •• 300 MH z
V,
Q)
60
~
u.
50
40
о 0.5 1.5
Distance (km)

Fig11re 74 - Free space patl1 loss as а f1111ction of dista11ce апd f1·eq11e11cy

* Oxygen molect1les гeso 11 a te at а fre qнency of 60 GHz. This leads to an a b so гption of 1·adio wave роwе г at 60 GHz апd at freqн encie s
close to 60 GHz. 3GPP TR 38.900 qнaпtifies tl1e impact of охуgеп absш-ption when the саrгi е г freqнeпcy is betweeп 53 and 67 GHz.
Absoгp tioп гa tes а ге typically qнoted iп teпn s of dB/km and the impact is relatively small when coпsideгiп g the distances associated
1vith small cells
* Wateг mol ec нle s гe s on a te at а freqн e ncy of24 GHz. This leads to an a b so гption of 1·adio 1vave роwег at 24 GHz and at freqнencies
close to 24 GHz. Ab so гptioп гa tes а 1·е typically qнote d iп teпns of dB/k m and the impact is гelatively small when coпsidering tl1e
di s taп ces associated witl1 small cells

* Raiп dгops са п lead to scatte1·ing ofthe гadio wave Ьес а н sе theiг size is соmрагаЫе to the waveleпgth. This leads to an attenttation
1vhicl1 is depeпdent нроn di s taпce , the volшne of1·ai11fall and tl1e са пiег f1·e qнency . As an example, а гa iпfa ll of 5 mm per hош- сап lead
to ап atte11нatio11 of I dB р ег km at 30 GHz, а пd 2 dB р е г km at 50 GHz
* Foliage са п lead to s i gпifi ca nt
attent1atio11 withiп the mm wave fгe qн e n cy гange . The attent1atio11 is ge п e ra lly dependent нроn tl1e
са 1т i е 1· f1· eqн e n cy а пd
the depth of foliage. Tl1e CCIR (1101v kпown as ТТU-R) developed the fo llowing empirica l 1·elationship fог foliage
deptl1s of less tl1ai1 400 111ete1·s:
Fo liage Lo ss (dB) = 0.2 х freq 0 ·3 х depth 0 ·6

1vl1 e гe,
tl1e fге qнепсу is iп MHz and tl1e deptl1 is iп mete1·s. As а п еха шрl е, а f1·eqн e 11cy of 30 GHz а п сl а deptl1 of IО m ete гs leads to а
loss of 17.5 dB. The IТU-R has also pнЬlished Reco шm e nd a tion ITU-R Р .833-9 'A ttenнati on in Vegetation' wl1icl1 defiпes more
sopl1isticated шod e l s d epe пde nt нроп tгее type and angle of iпcideп ce
* Diffгac tioп is the bendiп gofradio waves агонпd obstacles. Diffi·actioп сап Ье нsefнl iп teгms ofproviding coveгage Ьесанsе it pгovides
а m ec lшnism fог obtaiпiп g coveгage at locations which do not have line-o f-sight . Diffraction effects within the mm 1vave fi·eqн e ncy
1·a11ge аге limited Ь еса н sе tl1e 1vavele11gtl1 is s111all гelative to the majш-ity of obstacles. This leads to incгeased shado1vi11g bel1ind
obstacles.
* Тhеге са п Ь е incгeased sca tteriпg within the m111 wave freqн e ncy raпge Ьесанsе in gе пегаl sш-faces арр еа 1· less s111ooth to the smalleг
11,avelengths. Tl1is means tl1at iпcid ent waves t e пd to Ье scatteгed iп шнltiple directioп s rather tlшп reflected in а single direction
* The s malleг 1vavelengths within the mm wave fгеqн епсу range mean that s111aller objects сап lead to reflect io пs. Ап object which does
поt act as а significant гefl e ctor fo1· tl1e loweг opei-ating ba11ds 111ау act as а гeflectoг for the higher operating bands

* Bнildiпg pene tгatioп losses generally incгease with fгeqн ency Ьнt there is а sigпificant depe11de11ce нро11 the bнildin g material . Bгick
and s toпe walls са п attenнate mm 1vave signals Ьу тоге than 20 dB. DонЫе рапе 1vindows typically atte11нate Ьу less than IО dB when
const111cted н s in g standaгd glass. Eneгgy efficient wiпdows 1vhich have reflective coatiпgs сап atteпнate Ьу тоге than 30 dB. Bнilding
pe11et1·ation loss is likely to Ь е very sce naгio specific so а vагiапсе shoнld Ь е in c lнd ed when completiпg link bнd ge t ca l cнlation s
* Bea mfoгmiпg is 11ecessa1·y 1vitl1i11 the mm 1Yave Ьа пd to impюve the liпk bнdget. The s111all апtепnа element size mea п s that it becomes
pгa c ti ca l to impl emeпt а пtе пnа aгrays at both tl1e Base Statioп and the UE. Analogнe or hyb1·id beamfo1ming сап Ь е н se d to ge 11 eгa te
diгectional tгa11 s 111it and гece ive beams. Тl1еге is less scope fo1· l1igh гапk spatial mнltiplexing withi11 tl1e mm 1vave ba11d so МIМО is
likely to Ье li111ited to dtial st1·eam (гапk 2). Т11i s all ows tl1e а пtеппа апау to Ь е нsed pгi111a1' ily fог b ea mfoгmiпg pшposes
* mm 1vaves аге vнlnегаЫе to haviп g t l1 e iг pгopa gat ion patl1s Ы ocked Ь у mo ving objects, e.g. tп1cks . Beamfoгmiпg of mm 1vave
tгa 11 s111 i ss io11 s
1vill geпe 1·ate а diг ectioп a l гadio liп k betwe e п tl1e t r a11s111 itteг а пd гесе i vег. Тf а п object iпte 1·cepts tl1 at li пk tl1e11 coveгage
са п Ье lost and it 111а у Ье п ecessary to switch to а d i ffeгeпt Ьеа111. Tl1is leads to the геq нiге111епt fог 1·apid l1aпdoveгs b etwee п bea111s ог
rap ict 1·ecove1y a fteг а beam fai tнre
* TI1e iпcгeased p1·opagatio11 losses witl1i11 the m111 wave band сап Ье beneficial f01· netlvork dep loyments at l10tspot lo catioпs wheгe theгe
is а геq нiгеmепt fог а ve1·y l1igh site dens ity. Tl1e incгeased pгopagati oп losses t1elp to pгovide isolatioп betweeп tightl y packed sites.
This 1·edнces levels of inte1·cell inte1·feгe11ce and leads to пoise limi ted link bнdgets 1·atl1eг th aп iпterfeгeпce li111ited liп k bнdgets

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5G NR in BULLETS

1.20 MIMO
* Multiple Inpнt Mнltiple Oнtput (МIМО) configurations benefit from mu ltiple antenna elements at the transmitter and mнltiple antenna
elements at the receiver. MIMO contrasts with receive diversity which only reqнires mнltiple antenna at the receiveг, and transmit
diversity which only requires mнltiple antenna at the transmitter
* The general concept ofMIMO is illнstrated in Figнre 75. The Mнltiple Inpнt component refers to multiple transmissions into the
propagation channel, whereas the Multiple Output component refers to multiple signals being received онt ofthe propagation channe]
* Similar terminology is used for Single Input Mнltiple Oнtput (SIMO), Multiple Input Single Output (MISO) and Single Inpнt Single
онtрнt (SISO)

М/МО 5/МО

11 ~i
--
Multip/e

-- •
Multip/e Multiple Sing/e
., lnput

Propagation
Channel
-- •
Output lnput

- Propagation
Channel
Output

~~ ~i
- ..
М/50 5/50

--
Multip/e 5ingle Single Single
lnput Output lnput Output

Propbgatian
Channel
- Prapagatian
Channel
-•
Figш·e 75 - General concept of MIMO

* The example ofMIMO illнstrated in Figшe 75 assumes 4 antenna poгts нsed for transmission and 4 antenna ports нsed fог reception.
This represents 4х4 МIМО. It is also possiЫe to have an unequal numbeг of antenna po11s at the tгansmitter and receiver. Two
examples ofthis аге shown in Figшe 76

~~ ~~
4 х2 М/МО 2х4М/МО

--
Multip/e Mu/tiple Multip/e Multiple
lnput

Prapagation
Chonnel -•
Output

-
lnput

Propagation
Chonnel
-- •
Output

Figure 76 - МIМО ,vitl1 11nequal numbers of t..-ansmit and 1·eceive antenna ports

* The benefits ofMIMO аге summarised in Figшe 77:

о diversity gain геdнсеs the impact offading wheп the fades on each pгopagatioп patl1 аге uпcoгrelated, i.e. опе path may experience
а fade while another path may not experieпce а fade. The гeceiver takes advantage ofthe paths which аге not expeгiencing fades

о array gain is achieved fюm the beamfo1mi11g effect which is generated when t1·a11smitti11g from mнltiple antenna elements.
Beamfoгming diгects the tгaпsmitted signal towaгds the UE and improves the received signal to noise гatio
о spatial multiplexing gain increases throнghpнt Ьу transferring multiple streams of data iп parallel нsing tl1e same set of time апd
frequency domain геsошсеs. Uncoпelated tгaпsmissioп paths allow the receiveг to diffeгentiate betweeп the data st1·eams

Diversity Gain Аггау Gain 5patia/ Multip/exing Gain

Uncorre/atedfading оп Tran smission fгот multip/e Multiple streams of dota

each transmission path antenna generates transferred using the same time
minimises impact of fode s beomforming efject and frequency resources

Fig11гe 77 - Benefits of МlМО

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 5G NR in BULLETS

UE experieпcing good coverage (with high signal to noise гatios) can take advantage ofthe spatial mнltiplexing gain and can receive
* тнiltiple pai·allel stгeams of data. The m a ximнm nнmber of parallel streams is given Ьу the minimнm of the nнmber of transmit and
1eceive antenna. For example, 2х2 MIMO, 4 х2 MIMO and 2 х4 MIMO are all сараЫе of transferring а maximнm of 2 parallel streams
~f data. Maximising thгoнghpнt also гelies нроn having нncorrelated propagation paths between the transmit and receive anteпna
UE iп роог coverage (\vith а low signal to noise гatios) can take advantage oftl1e dive,·sity gain to help impгove their signal to пoise
* ratio. The magnitнde of the diveгsity gain is dependent нроn tl1e nнmber of гесеi ve antenпa апd the level of coгrelation between each of
tlie propagation paths, i.e. the gaiп is maximised for а large 1шmber of receive аntеппа and нпcorrelated propagation paths
TlliS dependeпcy нроп channel conditions means that MIMO is нsed to transfer mнltiple parallel streams of data in good coverage
* coпditions to maximise thгoнghpнt, and is нsed to transfeг а single stгeam of data iп poor coveгage conditions to maximise the diversity
gain. These scenarios аге illнstгated in Figшe 78 . Both scenai·ios peгform best when the propagation paths between transmit and
,·eceive antenna are нncoпelated

UEinPoor
~ ~ ~ и:а~е~о9о:
,, '°"'"''

' ~усе/
' 1 ~

· /Се// edge
ИЕ benefitsfrom "
edge

ИЕ benefits from multiple

increosed diversity with
рага//е/ streams of dato
single streom of dota

Fig11re 78 - MIMO sce1ia1·ios for UE in good and роо1· cove1·age

* Tl1e drawbac ks ofMIMO аге its inпeased impl e meпtation complexity and iпc1·eased haгdwaгe гeqнirement . MIMO геqнiгеs additional
p1·ocessing at both the tгaпsmitteг and гесеivег. It also reqнi,·e s additional signalling in terms of feedback from the receiveг and re soшce
allocatioп infoгmatioп fi·om tl1e tгaпsmitte1·. MIMO гeqt1ires additional роwег amplifieгs at tl1e tгaпsmitter and additional гeceive paths
at tl1e 1·eceive1·. It also reqнiгes additio11al апtеnпа elements at both the traпsmitteг and 1·eceiver. These anteпna elem e пt s may alгeady Ье
availaЫ e if receive dive1·sity is al1·eady iп н sе

* Л 111atl1ematical 1·epгe se пtation of 2x2 МJМО is illL1st1·ated in F i gшe 79. ' S 1' and 'S2' гepгe se nt the two st1·eams of data t,·ansmitted
a c гoss tl1e a i1·- iпte г face. Т l1 е ге аге fош pгopa gatioп patl1s bet\veen tl1e раiг of tгan s mit aпtenn a апd the pai,· of гec e ive апtеппа. Tl1ese
pюpa ga ti o п patl1s аге гep,·eseпte d Ьу tl1e set of ' h,x' c o effi c i e пt s . Tl1e 1·eceived s i gп a l s а ге g i ve п Ьу ' У 1' а пd 'У2' wl1icl1 с ап Ь е
qtiaпti fied н s iп g tl1e р а iг of e qll a ti o п s s lю\vп in tl1e fi g шe. The prim a гy task of tl1e гece i ve ,· is ю declL1ce the va lн es of 'S 1' а пd ' S2 '
f1·0111 tl1ese e qн a tion s . So lviп g tl1ese eqt1atio11s 1·eqt1i1·es kпowl e d ge oftl1e p1·opaga tio11 c h a nп e l c o effi c i e пt s. Iftl1ese c o e ffici e пt s are п о t
k110\v11 tl1 e п the e qL1 a tioп s iп c lнd e too m а п у нпkпо\vп s апd ca пnot Ь е solved. The ге се iv е г t1ses the D e п10dt1latioп Refe,·ence Signal
(DMRS) to estimate the pгopagation сl1аппеl co e fficieпts. Tl1is !1ighlights tl1e fact tl1at it is importaпt for tl1e DMRS to expe1·ience the
same pгopagatioп сhаппеl as the data which is beiпg decoded. Опсе tl1e pгopagation chanпel coefficients а ге kпоwп , the two eqнatioпs
iпclнde only two нnkno\vns so they сап Ье solved

Receiver measures these coefficients from the reference signals

i
s1__J ~ ~ L
~<
__J L ~ ~
Matrix Representation

52 L [~~] = [::: ::: ] [i~]

Figш·e 79 - Matheшatical 1·ep1·ese11tation of MIMO

* Tl1ese eqн atioпs сап Ье llsed to higl1ligl1t the impo1·tance ofl1aviпg fонг iпdependent pгopagation patl1s between the tгan smit and
гeceive ante nпa . lt is possiЫ e to solve these eqнations becattse theгe а 1·е two eqllations апd t\vo llnknowп s . Coпsid eг the case tl1at tl1e
pгop aga tion paths are поt iпdependent and asst1me а woгs t case scenaгio with 1111 = 1121 апd h1 2 = 1122. In tl1i s case, У! = У 2 and the pair
of eqнatioп s collapse iпto а single eqнation. Tl1e1·e is then one eqнation wit\1 two t1пknowns апd t\1is is impossiЫ e to so\ve. Tht1s,
MIMO relies нроn liaviп g ind epeпdeпt paths bet\veen eacl1 tгa п s mit апtепп а апd еас\1 гece i ve а пtеnп а
* F i gшe 79 also s lю\vs а 111at1·ix гepгeseпtation of t\1e eqн ati o п s. T\1is гepгeseп ta tion illн stгates t\1at tl1e eqt1 ati o п s сап Ье so lved Ьу
ideпt ify iпg t\1e inveгse cl1a1111el coe ffi c i eпt ma tг i x. Mнlti p li cat ioп Ьу tl1is iп veгse 111atгi x \V ill са псе l the сl1 а ппе l coeffic ient 111atгi x to
leave о пlу tl1e \Vaпted s i gпa l s . Fi gшe 79 does п оt iп c lнd e tl1e concept of ' pгecodiп g ' wl1ereas MIMO and precoding are нsнa ll y
disct1ssed in combination. F i gшe 79 illн s trates that precodiп g is поt an essential ра гt of MIMO \vhen the pгo pagation patl1s аге
iпcl epeпdeпt (the pгopagatioп paths are said to Ье oгtlюgoп a l). 111 гeali ty, the set of fош pгopagation patl1s may not Ь е completely
01·thogonal . Pгec od iпg са п Ь е н s ed to generate а set of composite pгop agatioп paths \Vl1icl1 have inc1·eased oгtlюgoпali ty, i.e. pt·ecoding
helps to impгove the peгfo,mance ofMIMO whe11 нsing а геаl pгopagatioп channel

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5G NR in BULLETS

* Figure 80 illustrates а mathematical representation of2x2 МIМО with the inclusion ofprecoding. In this case, the matrix
representation ofthe received signals illustгates that the precoding matrix can Ье multiplied Ьу the channel coefficient matrix to
generate а composite channel matrix. This means that the precoding weights can Ье adjusted to help maximise the orthogonality ofthe
coefficients within the composite matrix, i.e. precoding can Ье used to improve the performance of MIMO

Receiver measures these coefficients from the reference signals

Precoding

t : :~
52 :
:_ ~
~i "\'
L, j
:
OFDM
Xl

Х2
~ ciJ ~
~
< -----+
L У2

' ----- - - - - - --- - - ---. ------- - - - -- - - -~

Figш·e 80 - Mathematical representation of MIMO ,vith Precoding

* MIMO can Ье used in either an 'open loop ' ог 'closed loop ' mode. Open loop MIMO гequiгes feedback from the receiver in teгms of
Rank Indication (RI) and Channel Quality Indicator (CQI). lt is categorised as 'open loop' becat1se the receiver is not гeqt1ired to
provide feedback in te1ms of а Pгeqoding Matrix lndicatoг (PMI). Closed loop MIMO involves feedback from the гeceiver in teгms of
RI, CQI and PMI. The receiveг selc;cts а PMI to help improve the properties ofthe composite channel coefficient matгix. Closed loop
MIMO pгovides the transmitteг with inc1·eased information bt1t generates an increased signalling overhead. Open loop MIMO can Ье
beneficial fог high moЬility scenari'os which wot1ld cause а reported PMI to become invalid after only а sho1·t peгiod of time
* MIMO improves spect1·al efficiency Ьу allowing mt1ltiple para llel stгeams of data transfeг. Spectral efficiency can Ье fiлtheг impгoved
Ьу using Mt1lti-Useг МIМО. Mt1lti-User MIMO takes advantage ofbeamfoгming to allocate tl1e same set oftime and fi·eqt1ency
domain гesouгces to mt1ltiple UE. These UE аге sepaгated in the spatial domain so tl1ey аге аЬ\е to гe-t1se Physical Resoшce Blocks
(РRВ) without generating significant levels of inteгfeгence towaгds each otheг

* Figшe 81 co mp a гes Single Useг and Mt1lti-Useг MIMO. Single Useг MIMO allocates а diffeгent st1b set ofPRВ to each UE, i.e. the UE
аге sepaгated in the fi·eqt1ency domain. The UE which аге schedt1l ed dшing а specific time slot do not need to Ье spatially sepa1·ated
and а гe l at iv ely hi gh MCS can Ье allocated becat1se the tt·ansmissions to each UE do not interfeгe with eacl1 otheг. Mt1lti -Useг MIMO
allows tl1e same set of РRВ to Ье allocated to eacl, UE. Tl1e UE mt1st Ье s epaгated in tl1e spatial domain (geogr·aphically sepaгat e d) so
beamfoгming can Ье t1 sed to sepaгate the tr·aпsmissions tovvaгds eacl, UE. In tl1is case, tl1e allocated MCS may Ье 1·edt1ced becat1 se tlшc
rnay Ье some level of int eг- t1 seг inte гference between the tгaпsmission s

Sing/e User М/МО Multi-User М/МО

10 PRB PRB
ИЕ1 ИЕ2

PRB
ИЕ1

.а.._
PRB
ИЕ2
. ~ CS'Y'
MCS'X' . . . . ИЕ 2 " ИЕ1 ИЕ2 .
ИЕ 1
------- --------------------------------- --- --------------- ----- ------------------ --------- ---- ----- -------------- ----------1
Figure 81 - Comparison behveen Single User and Multi-Usп MIMO

* The release 15 veгsion ofthe 3GPP specifications fог New Radio (NR) st1pports МIМО in both th e t1pli11k and downlink directions.
The t1plink st1pports 2х2 MIMO and 4х4 MIMO, whereas the downlink st1ppoгts 2х2 MIMO, 4х4 MIMO and 8х8 MIMO. The release
15 veгsion of the specificatioпs also st1ppoгts Mt1lti-Useг MIMO in botl1 the t1pli11k and downlink diгections
* Тh еге may Ье а tгade-offbetween higheг oгder МIМО and beamforming. 2х2 MIMO геqнiгеs 2 logical antenпa poгts vvhich аге
typically implemented t1sing the +45° and -45° polaгisations. Beamfoгming then ge neгate s 2 bea ms - еас\1 beam is geneгated нsiп g а \1
antenna elements with the same polarisatioп. 4х4 MIMO геqнiгеs 4 logical antenna poгts which may Ье implemented нsiпg 2 st1bsets of
tl1e +45°polarisation апd 2 subsets ofthe -45° polaгisation. Beamfoгming tl1en geneгates 4 beams wl1eгe each beam is generated t1sing
11alf of the antenna elements wit\1 the same polarisation. Tms means tl1at tl1 e 1шmЬе1· of antenna eleme nts рег beam has 11alved so tl1e
beams becomes less diгectioпal. A lteгnat i ve l y, 4х4 M IMO сап Ье impl emeп ted Ьу generating а fiгst раiг ofbeams t1siпg al\ аntеппа
e lemeпts (+45 ° апd -45 ° polaгisatioпs pгo v idiпg tl1e two beams), апd Ьу geпeгa ti пg а second раiг ofbeams t1 sing tl1e same апtеnпа
elements. lп this case, tl1e directi vity ofthe beams is maximised becat1se eacl1 beam is geneгa ted нsiпg all antenпa e l eme пts belongiпg
to а specific polaгisatioп. Bt1t the fiгst and second pairs ofbeams mt1st poiпt iп diffeгeпt diгections to ensшe that tl1ey аге not
completely coпelated. Tms mea ns tl1at the UE гe lie s t1роп гetlectioпs апd scattering to гeceive botl1 pairs ofbeams (see Figшe 399 iп
sectio п 13.6.3. 1)

* 3GPP Refeгences: TS 38.211, TS 38.212, TS 38.214

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1.21 BEAМFORМING

вeamforming pгovides benefits in terms of:

*
0 beamformiпg impгoves the t1plink and downlink \ink bt1dgets Ьу iпcгeasing 1:he aпtenna gain. This is particulaгly importaпt fог the
higl1er operating bands which experience greater air-inteгface attent1ation

0 beamformiпg helps to геdнсе iпter-cell interference Ьу focнsing tгansmissions in а specific direction, i.e. the beamwidth is
relatively narrow so the potential for inter-cell interference across а wide range of angles is 1·edнced

0 beamfoгming provides st1pport for Mнlti-User MIMO (МU-МfМО). Mнltiple t1sers сап Ье simнltaneoнsly allocated the same
Resoшce Blocks ifthose нsers аге spatially separated . ln this case, multiple simнltaneous beams transmit the same Resoшce
Blocks with different payloads in diffeгent diгections

Bcamfoгming геqнiгеs an antenna апау with multiple antenna elements. Тhеге аге many possiЫe ways fог the antenna elements to Ье
* arтanged and inter-connected. Some examples аге illнstrated in Figшe 82. These examples а1·е based upon 4 colнmns of cross-polar
antenna elements:

0 t11e first exa mple pгovid es 8 ante1111a connectoгs with each connectoг sнpporting а column of antenпa elements which have eqt1al
polar· is at i oп.
Tl1e actнal physical antenna has mt1ltiple rows of antenna elements Ьнt theгe is only а single row fгom the pe1·spective
of antenna coппectivity. This leads to а virtt1al апtеnпа layot1t which has 4 colнmns and I гоw. This is known as а {4, 1,2} anteпna
аrтау, wl1eгe the 2 гefe1·s to 2 polai·isations. The prodнct of these 3 indices eqнals the total 11t1mbeг of antenna connectors, i.e.
1х 4 х2 = 8. T hi s type of аrтау is known as а I dimensioпal апау and is аЫе to sнррогt beamforming from left to гight (the azimutl1
ofthe anteпna beam сап Ье contгolled)

0 tl1e secoпd example pгovides а secoпd гоw of anteпna connectors Ьу dividing eacl1 coltrmn into 2 sectioпs. Iп this case, the vi1·tt1al
aпtenna l ayo нt has 4 colt1mns and 2 rows. Tl1is is knowп as а {4,2,2} antenna апау, which pгovides а total of 16 апtеnпа
conпector·s . Tl1is type of array is known as а 2 dimensional апау and is аЫе to suppoгt beamforming t1p and down, as well as fi·om
left to гight (botl1 the elevation and azimнth ofthe anteпna bea m сап Ье controlled)

о tl1 e thiгd example pгovides а thiгd гоw of aпtenna coпnectoгs Ьу dividing each colt1mл iпto 3 sec tioпs. In this case, the viгtt1al
a ntenп a layo нthas 4 colнmns and 3 rows. This is knowп as а {4,3 ,2 } antenna апау, which pгovides а total of24 anterшa
conn ectors. Simila1· to the second example, thi s type of а ,тау is knowп as а 2 dimensional а п·ау апd is аЫе to st1pport
beamfoгmiпg iп botl1 the a z imнth апd e l evatioп directioпs. This third exa mpl e allows incгe ase d contгol ofthe beam e levatioп
,vl1 e11 compared to tl1 e seco nd example

хххх хххх хххх

хххх хххх хх {M,N,P}
Physical хххх ххх хххх
хххх
Antenna
хххх ххх М: Antenna elements with
хххх хххх хххх the same polarisation

хххх хххх хххх in each row

Virtual
Antenna хххх хххх
.....
хххх
• N: · Antenna elements with

Р:
the same polarisation
in each column
Numberof
{4,1,2 } хххх хххх polarisations
8 antenna connectors
хххх

-l
(4,2,2}
16 antenna connectors {4,3,2}
24 antenna connectors

control of
azimuth
1

• ► control of azimuth
and elevation

Figш·e 82 - Ехашрlе ante1111a апау layouts

* The physical size of an antenna апау depends нроn tl1e сапiег freqнeпcy. Апtеnпа arrays аге typically designed н s ing l1alf-wave
clipoles. This means tl1at tl1e l eпgth of each аntеппа element is ha lf а ,vavele11gtl1. At 3 GHz this cOiтespoпds to 5 cm, ,vl1ereas at 30
GH z it corтespo пd s to 5 11ш1. T l1 e redt1ced si ze mea пs tl1at апtеrша paпel s ,vitl1 а large rшmb er of a11te1111a elements are mo,·e pr·actica l at
th e l1igher operat iпg bands. А typical aпtenna р а п е ! at 3 GH z ,vl1i cl1 iп c lнdes 128 а пtе пп а e l e111e пts (64 cross polar pai,·s, arтaпgecl as 8
х 8) l1 as dimeп s i ons of 50 cm х 65 cm. Tl1e sa me а пtепn а р а п е ! op e гa tiп g at 30 GHz сап Ье ex pected to l1 ave dimeп s ioп s of 5 cm х 6.5
с111. T l1e гedt1ced size at tl1e l1i gh ope,·ating baпd s means tl1 at it becomes practical to iпclнde апtепnа arrays w ithiп а UE. The a nte nп a
panels ,vitl1in а UE may l1 ave fe,ver a ntenпa e l emeпts tl1an tl1 e Base Station апd thi s ,vill ftлth e r 1·еdнсе tl1 e size. Fo1· exa mple, а UE
апtеппа рапе ! ope,·atiпg at 30 GHz ,vitl1 32 апtеппа e lemeпts (16 c1·oss роlаг pairs, а папgеd as 4 х 4) cot1ld l1ave dimensioпs of 2.5 cm
х 3.3 cm. UE may inclнde mнltiple апtе nпа paпels to allow s,v itchiпg d epeпdeпt trpon the 01·ie11tatio11 ofthe device апd the position of
the eпd-user's l1 a11d w l1icl1 coнld Ье shieldiпg at least one ofthe апtеппа panels

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* At the transmitter, beamforming relies upon constn1ctive interference between the signals transmitted Ьу each antenna element.
Adjusting the phase (delay) between the transmitted signals allows the angle at which the constructive interference occurs to Ье
controlled. Similarly, at the receiver, adjusting the phase (delay) between the received signals allows the constгuctive interference to Ье
achieved fiom the signals received at а specific angle
* Figшe 83 illustгates ап example of 8 antenna elernents transmitting duplicated versions of а signal. Each antenna transmits the signal
without апу phase shift. This means that the signals sum constructively at locations directly in front ofthe antenna апау

Duplicates of transmitted signa l arrive

'in-phase' and sum constructive ly

Phase Shifts

Duplicates of transmitted signal

Figш·e 83 - Antenna eleшents t1·a11sшitting duplicate signa ls ,vithout pliase sllifts

* Figuгe 84 illustrates the same example but with phase shifts applied to the set of апtе1ша elements. Tl1is figшe illustгates that the
propagation distance to tl1e receiver is different for each antenna element wl1en the receive1· is not directly in front of the antenna array.
The set ofphase shifts adjust the \irnings ofthe tгaпsmitted signals to епsше that they all sнrn constn1ctively at the гeceiver. Tl1e
апtеппа element with the loпgest path does поt гequiгe апу delay. The adjaceпt antenлa elemeпt is giveп а delay defiпed Ьу phase shift
8, while the пехt antenna element is giveп а delay defined Ьу phase shift 28, апd so оп. The set ofpl1ase shifts аге multiples ofthe first
phase shift because the апtепnа elerneпts аге eveпly spaced

Duplicates of transmitted
signal arrive 'in-phase'
This antenna el ement has and sum constructively
the longest path so
requires the shortest delay
(small est pha se shift)
This antenn a elem ent has
the shortes t path so
requires the largest delay
.------ (l argest ph ase shift)

Phase Shifts

Duplicates of transmitted signal

Figш· e 84 - Antenпa elements transшittiпg duplicate signals ,vitl1 pliase sl1ifts

* Increasing the пtimber of antenna elements decгeases the beamwidth and incгeases the gain, i.e. the beam becomes тоге diгectional .
Figшe 85 piesents the antenпa gain pattern when нsing 4 antenпa elements, wheгeas Figшe 86 p1·esents the antenna gain pattern wl1e11
using 8 antenna elements. DouЫing the пttrnbeг of antenna elements dottЬles antenпa gain because twice as many signals are being
summed. This correspoпds to а 3 dB increase in antenna gain. DouЫing the nttmbeI of апtеппа elernents halves the beamwidtl1 , i.e. tl1e
3 dB beamwidth wheп using 4 anteпna elemeпts is 20°, wl1eгeas the 3 dB beamwidtl1 wheп ttsing 8 aпtenna elements is 10°

,.-,-,-,-- ,-,.- ,-~ - - ~ , -г--.---,--,--.

1 1 1 1 1 1 1 1
- 4 antenna elements

V
1'\
1 1
i/ \
1

/ \ 1

v ..... 1"- _..,v r---. r---.

1\
-1
v 1 1'--.
-- /
-- 1
1
1

-2
-90 -85 -80-75 -70-65-60-55-5 0 -45-4 0 •35 -30 -25-20 -1 5-10 -5 О 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 ВО 85

Angle
Figure 85 - Horizontal a nteпna gaiп patte.-n ,vl1en usiпg 4 a11te1111a elemeпts

96
 1 1 1 1 1 1 1 1
1\
t-- 8 antenna elements
/ \
/

"\ \ /,
\ / / \ / \
/ ["\ ,...___
" V
_,../ /
о

-1
- \ / I
~

-2
-90-85- 80 -75 -7 0-65-60 -55-50-45-40-35-3 0-25-20 -1 5-10 -5 О 5 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85
Angle
Figure 86 - Ho1·izontal antenn a gain pattern ,vl1en u s iп g 8 antenna el eш e nts
* R edнci пg tl1e beamwidth Ь у i п c гeas iп g tl1e пнmЬ ег of a nte пn a e l e m e пts means that а l a rgeг пumЬ ег of beams (or а l a гge1· nнmЬ е г of
beam p os i t i oпs) а 1·е гe qн i red to cover the cell а геа. The 3 dB beamwidth reduces Ьу а fac tor of2 when the numb eг ofantenna elements
is d он Ы е d . This implies tlш t 2 columns of cross polar antenna elements re quiгe 2 beams to prov ide coverage across а s imil a г га п gе of
az iпшtl1 s. S imi l a гl y, 4 co lumns of cгoss pola1· an tenna elements ге qнi1·е 4 beams to provide cove1·age ac гo ss а simila1· гa n ge of azimutl1s,
and so оп
ЗG РР TS 38.2 14 assumes а specific set of antenna element layouts for tl1e puгp oses of P1·ecoding Ma tгi x Indi ca to г (Р М! ) repo гt in g .
*
Tliese l ayo н ts (presented in Та Ы е 29) suppo11 up to 32 antenna p o гts fог the CSI Re feгe n ce Signal. Witl1in this context, PMI re p o гtin g
corгesponds to beam selection, i.e. the set of PMI codebook en tгi es соггеs р о пd s to а set of beams. The UE uses the CSI Rеfе геп се
S i gп a l tra nsmissions to evaluate each codebook ent1y а пd to identify the entry wl1ich pгov id es tl1e best beam. Та Ы е 29 specifies а set of
' Oveг-Sam plin g' fact oгs which а ге used to in c гease the numb e г of beams ava il aЫ e fог selection. Fо г example, tl1e second ent гy w ithiп
tl1c tа Ы е is based t1р о п 2 гo ws а пd 2 co lumns of c гoss р о l а г а пtеп п а elements. This impl ies that 2 beams in tl1e h oг i zon ta l diгecti o п and
2 beams in tl1e veгti ca l di1·ection would ' n oгm a ll y' Ье su ffi c i e п t to pгo vi de cove1·age across the cell а 1·еа , i.e. а total of 4 beams. 'Ove1·-
Sa m p li пg' iп creases the пшnЬ ег of beams to i m pгove the resolution of beam selection fо г PMI гe p oгt in g. In this examp le, an 'Ove г­
Sa m p li пg' factoг of 4 is specified fог botl1 the ho1·izo ntal and ve1·tical di rec ti o п s so PMI гep o rtin g involves beam se l ec ti o п fro m а g гid
of 8 х 8 beams 1·at l1 e г t l1 aп а grid of 2 х 2 beams

Nt1111bcr о Г CS I R с Гс ге 11 сс {M.N. P} o ,,er-Sa111pli11g N шпЬ с г 01· CS I l ~ е Гс 1·с 11 се {M.N Y j O ve г-S :1111pli11 g

Sig11al A11te1111a Po,·ts Sig11al A11te1111a Ports
4 {2, 1,2) {4, 1} {4,3,2) {4,4)
{2,2,2) {4,4) 24 {6,2,2) {4,4)
8
{4,1 ,2) {4, 1) {12, 1,2) {4, 1}
{3,2,2) {4,4 } {4,4,2) {4,4}
12
{6, 1,2) {4, 1} 32 {8,2,2) {4,4)
{4,2,2) {4,4 } {16, 1,2) {4, 1}
16
{8, 1,2) {4, 1}

Та Ые 29 - Antenna а п а у diш e n s ion s for Тур е I single panel PMI repo1·ting

* CS! Rеfегепсе Signals а1·е н sed fo r а range of different purposes, e.g. PMI repoгti ng and beam selection refinemeпt. The pгecodiп g
ap pl ied to CSI Re feгen ce Signals depeпd s нр о n the use-case апd tl1e netwoгk implementation. When CSI Rеfеге п се Signals аге
lгa 11 s rпitted fог PMI reporting, it is not necessaiy to apply any pгeco ding and the CSI Refeгe n ce Signals с ап Ь е tгa п s mitte d diгec tl y
fгo m tl1e set of physical aпtenna el emeпts . Iп thi s case, theгe is а one-to-one mapping bet\veen CSI Reference Signal а пd aпtenn a
el e meп t. Tl1e lack of pгecoding meaпs that the CSI Rеfегеп се Signals are not beam foгmed and so they radiate across the cell агеа ,vitl1
а 1vide bea tшv i d th . Tl1i s scenai·io is illt1st1·ated in Figшe 87

--------- Non-Precoded (No n-Bea mformed ) 3

~ Transmi ss ions of CSI RS 1 to 8 J
t~-=-========~--=---~----=------=-----=-------_
--
-_-- - ~ - : : : =-- : : )
---- -
+45° -45° +45° -45° +45° -45° +45° -45°

CS I RS 1 CS I RS 5 CSI RS 2 CS I RS 6 CSI RS 3 CS I RS 7 CSI RS 4 CSI RS 8

Figш·e 87 - Tra11s111issio11 of 8 CSI RS f1·0111 8 ante1111a eleшents ,vithoнt p1·ecoding

97
* The UE is responsiЫe fог evalttating each entry within the PMI Codebook and determining which entry, if applied to the CSI
Reference Signal transmissions, would generate the best beam towards the UE
* When CSI Reference Signals are transmitted for beam selection refinement, the CSI Reference Signals аге precoded to generate
directional beams. The UE is responsiЫe for identifying the best directional beam and providing feedback to the Base Station using а
CSI Reference Signal Resoшce Indicator (CRI). Figшe 88 illttstrates the transmission of 8 CSI Reference Signals using 8 antenna
elements with precoding applied to generate directional beams. The first 4 CSI Reference Signals are transmitted using the antenn,
elements with +45° polarisation while the second 4 CSI Reference Signals are transmitted using the antenna elements with -45°
polarisation, i.e. each beam is generated Ьу transmitting the CSI Reference Signal using 4 antenna elements
/----

с
CSI CSI CSI CSI
RS 2 RS 6 RS 7 RS З / R

+45°
beam
beam
-45° -45°
beam
+45°
beam
(, os•
beam

'----/
'----- ~/

+45° -45° +45° -45° +45° -45° +45° -45°

• • • • •
Precoding QQQQ QQQQ QQQQ QQQQ QQQQ QQQQ QQQQ QQQQ
CSI RS 1
CSI RS 5 1 t 1
1 [ CSI RS 2
CSI RS 6
CSI RS З
CSI RS 7
CSI RS 4
CSI RS 8

Figш·e 88- Transmission of 8 CSI RS froш 8 antenna eleшents ,vitl1 pr·ecoding

* In general, antenna elements can Ье ttsed for be a mfш-min g, MIMO 01· а combination ofboth beamforrnin g and MlMO. Using МfМО iп
comЬinatioп witl1 beamfoгmiпg can гedttc e the nнmЬег ofaпtenna elemeпts availaЫe fог beamfoгmin g (depending ttpoп th e
implementation). Some examples ofbeamfoпniпg an d MIMO based нроп а 64 element аn tе пп а а пау а ге s lюwп in Figшe 89
о a ll 64 antenna elemeпts ca n Ье н sed to gene1·ate а single beam to maximise the a nteп n a ga iп апd cove гage. In this case, MIMO is
поt po ss iЫ e because it is necessai·y to co-oгdiпate all p1·ecodi11g weights to gеп е гаtе th e single hi gl1 ga iп beam

о tl1e set of 64 anteпna

e lements са п Ь е divided iпto 2 gгo ttp s of 32 elements (+45 degгee а пd -45 d egгee elements) апd tl1e11 t1secl to
pгovide 2х2 МlМО нsing 32 elements fог eacl1 s tгea m of data. 111 thi s case, each gгонр of 32 апtеnпа elements is ttsed to ge11e1·ate
а beam so there are 2 beams Ьнt each beam lias lo1,ve1· ga in 1·elative to the single beam geneгated fi·om all 64 antenпa elemeпts
о the set of 64 antenna elements сап Ье divided into 4 gгottps of 16 elements and then нsed to pгovide 4х4 MIMO нsing 16 elemeпts
fог eacl1 stгeam of data. In this case, each grottp of 16 aпtenna elements is нsed to geneгate а beam so tl1eгe аге 4 beams Ьнt eacl1
beam has loweг gain 1·elative to the single beam generated fгom all 64 aпtenna elements

хххх хххх Data

хххх хххх
хххх Data stream 1 хххх 2х2 MIMO
хххх хххх
NoMIMO
хххх хххх
хххх Веа m geпerated from 64 хххх
хххх antenna elements хххх Beams generated from 32
хххх хххх
antenna elements each

хххх
хххх
хххх
хххх 4х4 MIMO
ХХХУ
ХХХХ' Beams generated from 16
'/ /.. /
х ant enn a elements each
х / / х ' Data .,---
stream 4

Figш·e 89 - Use of antenna eleшeпts for· beamfoп11iпg апd M IMO

* Note tlшt tl1 e above is опе exampl e i111pleme11tatio11 of 4х4 MIMO bttt as meпtioпed еаг liег iп tl1is sect ioп , it is also possiЫe to
implement 4х4 MIMO ttsing 2 paiгs ofbeams, whe1·e eacl1 раiг ofbeams t1·ansmits in а diffeгe пt diгect ioп and thtts expe 1· ieп ce s а
differeпt propagat ion path. ln tl1is case, eacl1 bea m can Ье geпerated ttsiпg all oftl1e aпtenna elements with а specific polaгi satio11 . Tlie
UE 1·elies нроn гeflections and scattering to receive tt·ansmissions ftom all fош beams
 sG NR in BULLETS

В mforming can Ье implemented in the digita l domain, in the апаlоgне domain, or in а combination ofboth the digital and ana l ogнe
* d еа ai ns. There are benefits and drawbacks associated with eacl1 approach. In general, digital beamformiпg is app licaЫe to Freqнency
R:~ge 1 (450 MHz to 6 GHz), while analogнe beamforming is applicaЫe to Fгeqнency Range 2 (24.25 GHz to 52.60 GHz)
Fi нrе 90 j]]ustrates digital beamforming towards а si~gle UE. In the case _of digital_ beamfo_rming, the precoding i_s applied in the _
* d· \al Liomain and there 1s а reqшrement to l1ave mнlttple parallel RF chaшs. Thts 1s а s1g111ficant drawback fo1· d1g1tal beamformшg
:,~en the 1шmber of coпtrollaЫe antenna elements is high becattse each RF chaiн is expensive апd consнmes high qнantities of роwег.
;: becomes Iess practical to have an RF chain for each contгollaЫe antenna element wheп the nнmber of antenna elements is high, e.g.
,vlien impl emeпting beamforming for the mm wave band

D/A Mix to RF
~ 1
_,. MixtoRF Power Amplifier
Baseband
Signal
D/A Mix to RF Power Amplifier
Complex
Weight
D/A _,. Mix to RF Power Amplifier
j Complex Antenna
Weight
Elements

Figш·e 90 - Digital beamfo1·ming to,vai·cls а s iп g le UE

* Tlte ргinщу benefit of digital beamfoпning is its flexiЬility. F i guгe 91 illu stгates how digital beamfoгming can Ье нsed to
s iriш l laпeou s l y se1·ve 2 UE which are located in diffeгent parts ofthe cell . Digital beamforming allows mнltiple beams to Ье ge 11 eгated
s i111t1ltaneoнsly and so sepaгate beams can Ье dir·ected towar·ds each UE. This is possiЫe Ьесан sе tl1e signals fог each UE can Ь е
scparated in tl1e digital domaiп and diffe1·ent beamformiпg weights can Ье applied to each signal. Figшe 9 1 is based t1pon 2 UE Ьнt
1l1ere is 110 theoretical t1ppe1· limit on the nнmЬ е г ofUE wl1ich can Ь е served апd tl1e nнmЬег ofbeams which сап Ье generated
* 1Г1l1с UE liave s нffici ent spatial s epaгatioп tl1e11 they сап Ь е allocated the same set ofResoшc e Blocks to impгov e both spectгal
c Пi c i e 11 cy
and e n d -н seг ех р е гi е п се (eacl1 UE is allocated ' Х ' Reso шce Blocks га tl1 е г tl1an ' Х/2' Res oшce Blocks). Thi s coпes pond s to
Mt1lli -lJse1· М ГМО (MU-MIMO) wl1icl1 гe li es t1po11 spatial se p a гa tioп га 1l1 е г tlian time ог f1·eqt1ency dom a iп sepa гa tion . If tl1e UE do nol
lш vc s н ffi cie n t spatial se p a гa tion th e п tl1ey can Ь е allocated dedicated sets ofRes oшce Blocks. Tl1is corтe spoпd s to S iп g l e U seг М!М О
(SU- MIMO) \Vhicl1 гe li es нроп fге qнеп су dom a iп (ог time dom a iп) se paгatioп

Power Amp lifier

Power Amplifier
!lI1. Complex
Resource Weight
Blocks
Mix to RF Power Amplifier
Complex
Weight
Mix to RF Power Amplifier
j Complex Antenna
Weight Elements

j Complex
Weight Digital Beamforming all ows the generation of
multiple simu ltan eous beams directed
y_u Compl ex towards different parts of the ce ll
Resource
Weight
Bloc ks Reso urce Blocks alloca ted t o each UE са п Ь е
different for Sin gle User M IM O, о г t he same
Comp lex
fo r Multi -Use r M IMO
Weight

l Co mplex
Weight

Fi g ш·e 91 - Digital b e aшfo1·min g to,vards multiple UE usi11 g nшltipl e siшultaneo11 s Ь еашs

99
5G NR in BULLETS

* Figшe 92 illпstrates the general architecn1re пsed fог analogпe beamforming. In this case, the beamforming weights (phase shifts) are
applied in the analogпe domain after the signal has been mixed to RF . This approach does not allow diffeгent beamfo гming weights 10
Ье applied to different Resoшce Blocks nor does it allow different beamforming weights to Ье applied for different пsers . All Resource
Blocks and нser transmissions are combined into а single signal once the Inverse Fast Foшier Transform (IFFT) has been нsed to
ge neгate the CP-OFDM waveform pгior to D/A coпveгs ion . Applying the set ofbeamforming weights to the RF signal generates а
single beam which са п Ье directed towards the UE being served at that point in time. Multiple UE сап Ь е served simнltaneoнsly but
those UE must Ье located in the same direction
* The p1·imary benefit of aпalogue beamforming is the redпced requirement tor RF chains, i.e. it is only necessary to have one RF chaiн
'per beam' . Practical deploymeпts are likely to support at least 2 RF chains and 2 beams to provide support for 2х2 МIМО . А first RF
chain an а first beam сап use the +45° antenпa elements, while а second RF chain and а second beam сап use the -45° anteпna
elemeпts

Baseband
О/А 1Mix to RF ~ Power Amplifier
Signal

Antenna
Ph ase
Elements
Shifter

Figш·e 92 - Analog11e b ea щformin g 11sed to gene1·ate а single Ьеащ

* Figшe 93 illн stгates the п sе oftime mнltiple x in g wi tl1 ana logн e b ea mfoгmin g when use1·s ю·е located in diffeгent directions. The Packe1.
Sc l1 e dпl eг is resp o n s iЫ e fог selectiпg tl1e UE to Ье served dнring each time slot. The ар ргоргiаtе set ofbeamforming weights is applie,J
to e n sшe th at the beam is directed towaгds the UE being served dшiп g tliat time slot

,
Slot 1
Phase Phase
Shifter Shifter

Phase Ph ase
Beam to Shifter Shifter
UEl Beam to
UЕ З
Phase Pha se
Shifter Shifter

Antenna
Elements
Pha se
Shifter
Antenna
Elements
f Phase
Shifter
Antenn a
Elements

Figш·e 93 - Time m111tiplexin g of beam position s for analog11e bea mforming

100
 5G NR in BULLETS

1.22 3GPP SPECIFICATIONS

The ' 38 ' series of 3GPP Technical Specifications focuses upon New Radio (NR) radio technology
Many of the s p ecificatioп s have s iшil ar titles to th e equivalent '25' series fог UMTS and '36' se гi es for LТЕ
Other seгies ofspecifications also include гe\evant inforшation , e.g. TS 24.501 'jpecifies t\1e Non-Access Stratuш (NAS) protoco\
тt 1 е '29' se1·ies includes а specification ofthe se гvices offeгed Ьу each Netwo1·k Ftшction withiп the 5G Соге Network
А saшp l e ofthe 3GPP specifications арр\iсаЫе to NR and the 5G Systeш is pгese nted iп ТаЫе 30
These specifications are ava il a Ыe to download froш the 3GPP internet site: www.3gpp.org

Nt1111ber Title

тs 38.101 -1 NR, UE Radio Traпsmi ss ioп апd Receptioп, Part 1: Raпge I Staпdaloпe

тs 38. 101 -2 NR, UE Radio Tra11s111issio11 апd Reception, Part 2: Raпge 2 Staпdaloпe

тs 38. 101-3 NR, UE Radio Transmissio11 апd Receptio11, Part 3: Raпge I a11d Range 2 l.пtenvorkiпg \vitl1 otl1er Radios

тs 38. 104 NR, Base Stalioп Radio Tra11s111issio11 апd Receptio11

TS 38. 13 3 NR, Req11ire111e11ts for sнpport of Radio Resource Management

тs 38 .2 11 NR, Pl1ysical C lianп els and Modulatioп

тs 38.212 NR, Multiplexiпg and Cl1a1111el Coding

TS 38.2 13 NR, Phys ical Layer Procedшes for Coпtrol

тs 38.2 14 NR, Pl1ysical Layer Procedнres for Data

TS38.215 NR, Pl1ysica l Layer Measuremeпts
тs 38.300 NR, Overall D escriptioп ; Stage-2
TS 38.304 NR, UE Procedures iп ldl e Mode апd iп RRC lпa c tive State
тs 38.306 NR, UE Radio Access Capab ilities
тs 38.32 1 NR, М еdiшп Access Co11trol (МАС) Protoco l Specificatioп
TS 38. 322 NR, Rad io Liпk Coп trol (RLC) P1·otoco l Spec ifi ca ti oп
TS 38.323 N R, Packet Data C oп vergeпce Protocol (PDCP) Spec ifi ca tioп

TS 38 .33 1 NR, Radio Reso шce Со пtтоl (RRC) Protocol Specificatioп

TS 38.40 1 NG-RAN , Arcl1itecture Desc riptioп

TS 38.4 13 NG-RAN, NG Applicatioп Protocol (NGAP)

TS 38.4 15 NG-RAN , PDU Session User Plane Protocol
TS 38.423 NG-RAN , Хп Applicatioп Protocol (ХпАР)

TS 38.425 NG-RAN, NR User Рlапе Protocol

TS 38.463 NG-RAN , E l Applicatioп Protocol (ElAP)
TS 38.473 NG-RAN, Fl Applicatioп Protocol (FIAP)
TS 37.340 NR, Mнlti-Coпnectivity, Overall description
тs 37.324 E-UTRA апd NR, Service Data Adaptatioп Protocol (SDAP) specifi ca tioп

TS 24 .50 1 No11-Access-Stratu111 (NAS) protocol for 5G Syste111 (SGS)

TS 23.003 Nшпbering, Addressiпg and ldentificatioп

TS 23.501 System Arcl1itecture for tl1e 5G System

тs 23.502 Procedшes for tbe 50 System
тs 29.500 5G System, Teclшica\ Reali za tioп ofService Based Arc\1itecture
TS 29.502 5G System , Session Maiiagem eпt Services
тs 29.503 5G System, Uпified Data Ma11age111e11t Services
TS 29.5 10 5G Syste111, Net,vork fuпctioп ,·epository services
TS 29.5 18 5G Syste111, Access а пd Mobility Ma11age111e11t Se1·vices

ТаЬ\ е 30 - З G РР specificatioпs арр\iсаЬ\е to tl1e SG Systeш

101
5G NR in BULLETS

2 AIR INTERFАСЕ
2.1 NUMEROLOGY
* The numerology defines the frequency domain subcarrier spacing. 3GPP TS 38.211 specifies subcarrier spacings of 15, 30, 60, 120 anct
240 kНz , i.e. а set of 5 different numerologies. The subcaпier spacing determines the frequency domain bandwidth and the time
domain. duration of а single Resource Element. А Resource Element has dimensions of 1 subcarrier in the frequency domain and J
symbol ·in the time domain
* Figuгe 94 illustrates the dimensions of а Resource Element for subcaпier spacings of 15 kНz and 30 kНz. The frequency domain
bandwidth of а Resource Element is equal to the sнbcarrier spacing, i.e. increasing the subcaп·ier spacing Ьу а factor of2, increases the
Resoшce Element bandwidth Ьу а factor of 2. The time domain duration of а Resource Element (exclнding the cyclic pгefix) is equal to
1 cycle of а sine wave with а frequency equal to the subcaпier spacing, e.g. the duration of а Resource Element (exclнding the cyelic
prefix) is eqнal to 1 / 15 = 0.067 ms when using the 15 kНz subcarrier spacing. Increasing the subcaпier spacing Ьу а factor of2,
decгeases the Resource Element dшation Ьу а factor of 2

30 kHz Subcarrier Spacing

1 Symbal Duration

15 kHz Subcarrier Spacing 1 RESOURCE

1 Symbal Duratian З0kHz ELEMENT
1- Subcarrier (accommodates

15 kHz
Subcarrier
1 1 RESOURCE ELEMENT
(accammadates
1 Madulatian Symbal}
Bandwidth 1 Madulatian
Symbo/}
Bandwidth
1

1 (1 / 15) = 0.067 ms (1 / 30} = 0.033 ms 1

1 сус/е af 15 1 сус/еaf 30 kHz

kHz sine wave sine wave

--1 1- cyc/ic Prefix -+1r- Cyc/ic Prefix

Figure 94 - Resoш·ce Eleш ent diшeпsioп s fo1· 15 kНz апd 30 kНz s ubcaпier spacings

* А single Resoшce Element can accommodate а single modнlation symbol, e.g. а single Resoшce Element coнld Ье used to t1·ansmit ~
single QPSK, 16QАМ, 64QАМ ог 256QАМ modнlation symbol. А QPSK symbol гepгesents 2 bits of infoгmation so tl1e capacity of ~
Resoшce Element co1тesponds to 2 Ьits when tгansfeпing а QPSK symbol. А 256QАМ symbol repгesents 8 bits of infoпn atio n so tl1c
capacity of а Resoшce Element coпesponds to 8 Ьit s when transfe1тing а 256QАМ symbol
* The use of multiple sнbcaпiers in the frequency domain and mнltiple symbols in the time domain generates а grid ofResoшce
Elements. Figшe 95 illнstгates the Resource Element gг id for the 15 kНz sнbcarrier spacing

subcarrier
frequ encies
150 kHz
135 kHz Resource Element Grid
120 kHz
Physica/ Channe/s and
105 kHz
Physica/ Signals аге
Subcarriers 90kHz mapped onto the
75 kHz Resource Element Grid
б0kHz

45 kHz _1
30 kHz 15 kHz subcarrier spacing
15kHz т

Symbo/s
F i g ш·e 95 - Resoш·ce Еlешепt grid gene1·ated Ьу f1·eque11cy domaiп s11bcaп i e1·s апd time dошаiп syшb ol s

102
 TI lo\vest 1·ow of Resource Elements within F igure 95 н ses а sнb carr ier freqнency of 15 kНz, while the row above ttses а sнbcaпier
* fi ie uency of 30 kНz, and the гоw above tliat нses а sнbcarri er fi·eqнency of 45 kНz, i. e. the sнbcarrier spacing is 15 kНz. These
ге: aп·iers аге modulated and sнmmed at tl1e t1·ansmitte1· when generating the air-interface waveform. The modнlation and sнmmiпg of
:::ь~arriers correspoпds to an Inverse Fast Foнrier Transform (IFFT). Figure 96 illнstrates the set of sнbcarriers befo1·e th ey are
modtil ated and sнmmed

Symbol Symbol
Duration Duration
.-----
Real part : : : :: : lmag. part
f11'!1'1l!!i!ll!J!l!IIIJIJ!\!11[1' 111i :11!1111111111111111111 1111111 11111111!
1 : Frequency = n х subcarrier spacing
i11!;,1,11i;;il1ililil,,,1!1lll1iliiill !1•11l1,1ll111,11l1,11i1l,11ll il1:
,,
'' '
11~ r'. (· ,j
symbol D1Jration (excluding :: \ 1 1 \ ii Frequency = 3 х subcarrier spacing
cyclic Prefi x) is given Ьу 1 cycle ::
: : .1
/ 1 '

of а sine wave with frequ ency

'·
Symbol Dura tio n
""''"<h•'"''""'" · ~ \ 1
Freq uency = 2 х subca rrier spacing
(excluding cyclic prefi x)
= 1 / Subcarrier Spacing
Freq uency = 1 х subca rrier spacing
Subcarrier Symbol
Spacing Duration
DC subcarrier
15 kHz 66.67 µs

30 kHz 33 .33 µs
Frequency = -1 х subca rrier spacing
60 kHz 16 .67 µs

120 kHz 8.33 µs

Frequency = -2 х subca rrier spaci ng
240 kHz 4.17 µs
_ _J

Frequency = -3 х subcarrier spac ing

j\

'illl'll" 1 "11J!l!IJJl"l'IIIIIIJ'!
Cyclic
Prefi x

Figure 96 -
-:- i,1,,,1"11,,1l11i:;111,1.111,,l11 j

S ubc aп i ers
:
,vhich а1·е modulated а пd
Frequency = -n х subca rrier spa ci11g

summed to ge11e1·ate tl1e CP-OFDM ,vavefoпп

* Figшe 96 illн strates that а sнb caгr ier can have а freq нen cy ofO Hz, i.e. tl1e DC sнbcarrier, апd that s нbcarri e 1·s сап have пega tive
f1·eq н enc i es.
Tl1is resнlt s fгom th e base baпd signal hav ing а 'center' freqнeпcy ofO Hz. Digital signal processing within the Base
Station is completed нsin g th e baseband sigпal . The ba sebaпd sigпal is mixed to а п RF s ignal _at the transmitter befo1·e it is radi ated
a cгoss the a i1·- iпterface, i.e. the ce пter fre qн eпc y ofO Hz is increased to the сепtег freqнency ofthe a ppгopri ate RF c lianп e l. Waveform
geneгation апd tl1e D C sнbcaгrier are described iп greater detail within section 2.9

* А co111bin ati oп of numerologies сап Ье нsed within the durat ioп of а siпgle symbol, e.g. the sнbcaпi er spacings of 15 а пd 30 kНz сап
Ье co111bined ,vhen generating the air-interface waveform. Tl1e concept of combining mнltiple numero logies is illustrated iп Figure 97.
ЗGРР has specified ,vhich nнmerologies са п Ь е н sed ,v ithiп each operatiпg band. This meaп s that опlу specific nнm ero logy
co 111bin atioпs ai·e permitted, e.g. the 15 and 30 kНz sнbcarrier spacings can Ье co mbiпed, Ьнt the 15 and 120 kНz sнbc a 1тi er spac ings
ca11not Ь е combi ned

-+----+--+--+---+--+--+---+---+--+--+--t--+---t- l_
-+--+----<~+--+--+-+---+--+--+-+---+--+--+- т 15 kHz subcarrier spacing

Subcarriers

--+---1-1---------1--+---l---l---i---+--+-+--+---+-+- l_
30 kHz subcarrier spacing
+-+-+-+-+--+---t-t--t---+--t--t--t----t- т

Symba ls

Fig111·e 97 - Comblnatioп of diffe1·e11t 1111111e1·otogies

103
* The range ofnumerologies allows 50 to sнpport diverse deployment scenarios and diverse end-user applications, i.e. the subcarrier
spacing can Ье selected to suit the deployment scena1·io and the end-user application requirements:
о deployment scenarios with larger propagation channel delay spread нsе lower subcarrier spacings to benefit from longeг syrnbo\
and longeг cyclic prefix durations. Longeг cyclic prefix dшations are аЫе to accommodate larger delay spreads. Delay spreads
typically larger fог macro cell deployments with relatively large cell ranges. This means that the lower operating bands with th,~rc
lower air-interface propagation losses and largeг cell ranges benefit from using the loweг subcaпier spacings. The higher opcra/
bands with their higher air-interface propagation losses and smaller cell ranges can use the higher sнbcaпier spacings · ng
о deployments using the higher opeгating bands suffer from increased oscillator phase noise which causes а randomjitter in the
phase of the received signal. Higher subcaпier spacings are more robust against this jitter because the magnitude of the jitter is
гelatively small when compared to the magnitude ofthe subcarrieг spacing

о deployment scenarios with high mobility, e.g. high speed train scenarios, experience high Doppler frequency offsets. Higher
sнbcarrier spacings are more robнst against these offsets because the magnitнde ofthe offset is гelatively small when compare.d to
the magnitude ofthe subcarrier spacing
о end-useг applications with low latency Iequirements benefit from short symbol durations, i.e. high subcarrieг spacings. The short
symbol durations allow data to Ь е transmitted and acknowledged with minimal delay
* The complete set ofnнmeгo l ogies are availaЫe when нsing the noгmal cyclic pгefix (the noгmal and extended cyclic pгefix are
described in section 2.8). The1·e are always 14 symbols ре1· slot when using the noпna l cyclic prefix, and 12 symbols per slot when
using the extended cyclic p1·efix. The 1·ed нction in the number of symbols is caused Ьу the longeг ( extended) cyclic pгefix duration
* ТаЫе 3 1 pгesents the key chaгacteristics belonging to each numerology when нsing the noпnal cyclic prefix. The 50 radio ti"ame has а
fixed dшation of I О ms, and the 50 sнЬframe l1as а fixed duration of 1 ms. The symbol dшation and slot dшation vary accш·d in g to tlic
subcarгier spacing so the nttmber of slots рег radio fгame and slots per sнЬframe also vary according to the sнbcaпi er spacing. Tl1e
vагiаЫе 'µ' is нsed to index the sнbcarгier spacing sнch that the st1bcarrie1· spaciпg = 15 kНz х 2 1'

* In the case of 40, when нsing the 15 kНz subcaпi er spacing there аге 20 slots ре1· radio frame and 2 slots рег suЬframe, i.e. tl1e slot
duratioп is 0.5 ms ratheг than I ms. The 40 гadio frame and s нЬfгаmе dшations аге the same as those нsed Ьу 50, i.e. 1О ms and I ms
гespectively

S н b ca rr i eг Slo!s per I О ms Slots р е г 1 111s Sy111bols Sytn bo l D шa 1i o 11 (ps) Slot D ш·a 1 io 11 (ps) Op e гa ti11 g Ex pectcu
--
р
S p ac iп g R.adio Fra111e S н bfraiп e р е г Slot Ba11ds Usc Са•,с
Symbols О & 7 = 71.875 Freqнeucy
о 15 kHz 10 1 14 AII slots = 1000 еМВВ
Otl1er symbol s = 7 1.354 Raпge 1
Symbols О & 14 = 36.198 F1·eqнency еМВВ,
1 30 kHz 20 2 14 А \\ slots = 500
Otl1er symbol s = 35 .677 Ra11ge 1 URLLC
Symbols О & 28 = 18.359 Slots О, 2 = 250.260 Freqнe11cy еМВВ ,
2 60 kНz 40 4 14
Other symbols = 17 .839 Otl1er slots = 249.740 Ra11ges 1 & 2 URLLC
Sytnbols О & 56 = 9.440 Slots О, 4 = 125.391 Freqнency еМВВ,
3 120 kНz 80 8 14
Otl1er symbols = 8.919 Other slots = 124.870 Range 2 URLLC
Symbols О & 11 2 = 4.980 Slots О, 8 = 62.956 Freqнency
4* 240 kHz 160 16 14 -
Other symbols = 4.460 Otl1er slots = 62.435 Range 2
* sнbcarrier spac iлg of240 kHz is опlу applicaЫe to tl1e Syncl1ronisatio11 Sig11al / РВСН Blocks (it is not нsed to transfer app lication data)
ТаЫе 31 - Range of nнme1· ologies fo1· tl1e No1·mal Cyclic Prefix

* The symbol durations pгesented in ТаЫе 31 differ from those presented in Figшe 96 because they in c lнde the impact ofthe cyclic
prefix. The p1·ecise cyclic pгefix dшation depends нроn the symbol number. The1·e аге two symbols within each SLIЬfI"ame whict1 l1ave а
longe г cyclic pгefix . This approac\1 has been adopted to ensшe that а slot and symbol boнndaiy always coincides with а sнЬfга 111 е
boнndary, i.e. tl1eгe is an integeг nнmЬег of slots and symbols \Vitl1in а sнЬframe . The variation in symbol dшation caнses а vaгiatioп io
slot dшation (wheп the пнmЬеr of slots рег sнЬfгаm е is gгeater than 2)
* 30РР l1as specified that sнЬса1тiег spacings of 15, 30 and 60 kНz can Ье applied to Fгeqнency Range 1 (450 MHz to 6 OHz), wl1ile
sнЬсап iе1· spacings of 60, 120 and 240 kНz сап Ье app lied to Fгеqнепсу Range 2 (24.25 OHz to 52.60 OHz). Tl1e sнЬ сапiег spaci пg of
240 kНz is only applicaЫe to tl1e tгaпsmission of Synchгoni sat ion Signal / РВСН Blocks. It can not Ье нsed to t1·ansfeг app licatio11 data
* 30РР has оп lу spec ified tl1e 60 kHz sнЬсапiег spac iп g fог the extended cyclic pгefix . ТаЫе 32 p1·ese11ts the key cl1aracte гi s tics
beloпgiпg to tl1e 60 kНz sнЬса1тi е1· spacing \vl1e11 нsing th e extended cyclic pгefix. In tl1e case of the extended cyclic pгefix, all symb~ls
and slots liave eqнa l duratioп

S н Ь са п i е г Slots р е 1· 1О 111s Slots р е г 1 111s S y 1пbo l s Syni bo l Durati o11 Slot Dш·a ti oп O p e ra tiп g Expected
р
S p ac iп g Radi o F1·a 111e S нbfraiпe per Slot (ps) (ps) B a пd s Use Case
Freqнeпcy еМВВ,
2 60 kНz 40 4 12 20.833 250
Ranges 1 & 2 URLLC

ТаЫе 32 - Nunierology fo1· Extended Cyclic P1·efix

104
 5G NR in BULLETS

eiver samples the analogue waveform to generate the set of digital samples wl1icl1 are subsequently processed to determine the
* А ~e~ved bit stream. The sampling frequency is dependent t1pon both the numerology and the size oftl1e Fast Fourieг Transfoгm (FFT).
lce~xample, а channel bandwidth ,vl1ich iпcludes 100 Resoнrce Blocks has 1200 subcaпiers so requires an FFT size > 1200, e.g. an
F~~ size of 2048 сап Ье used. This means tliat tl1ere woнld Ье 2048 samples within the payload of each CP-OFDM symbol. If the
s tibcaгrieг spaciпg is 15 kНz then the time interval betweeп samples woнld Ье 1 / (15 ООО х 2048) seconds, i.e. the sampling fгeqнency
,votild Ье 2048 х 15 ООО samples рег second
* ЗGРР TS 38.211 specifies а unit of time гeferred to as Те which гepreseпts the r;me inteгval bet\veen samples for ап FFT size of 4096
,vitli а sнbcarгier spacшg of 480 kНz , 1.е . Те= 1 / (Лfтах х Nr), whe1·e лt;,ш, = 480 kНz and Nr = 4096
0 ап FFT size of 4096 with а subcarгieг spacing of 480 kНz corresponds to а channel bandwidth of 1.97 GHz
0 the maxiпшm channel bandwidth within the release 15 version ofthe 3GPP specification is 800 MHz. The value ofTe has been
selected to futнre-pгoofthe specifications against potential increases in the maximum channel bandwidth
* Тli e valнe ofTc does not define the sampling inteгval нsed Ьу а specific implementation but the sampling inteгval is expected to Ье а
mtiltiple of Tc. For example, а subcaп· ier spacing of 15 kНz with an FFT size of2048 geneгates а sampling inteгval of 1 / (15 ООО х
2048) seconds, which is 64 х Те
* З G РР TS 38.2 11 tises tl1e 15 kНz sнbcaгrier spacing with the FFT size of 2048 as а refeгence. The sampling inteгval generated Ьу this
rcference is kп o ,vn as Т, = 1 / (Лf,c r х Nr.,cr), wheгe Лf,cr = 15 kHz and Nr.,cr = 2048, i.e. Т, = 32.55 ns
* З GРР Re feгenccs: TS 38.211

105
5G NR in BULLETS

2.2 RADIO FRAМES AND SLOTS

The 5G гadio frame has а fixed duration of 10 ms. Radio frames are indexed t1sing the System Frame №mber (SFN) which ranges
* from О to 1023, i.e. the SFN cycles every 10.24 seconds
The SFN is acqt1ired from the Physical Broadcast Channel (РВСН) when accessing а cell. А set of 1О bits is t1sed to гepresent the SFN
* The 6 Most Significant Bits (MSB) ofthe SFN are inclt1ded within the layer 3 payload ofthe РВСН, i.e. they are provided Ьу the RRc·
signalling protocol. The 4 Least Significa пt Bits (LSB) ofthe SFN are added Ьу the Physical layer, i.e. they are inclt1ded within the
payload of lауег 1. The Least Significant Bits are the Ьits which are changing most freqt1ently, e.g. the I st LSB changes every I О ms
while tlte 2 nd LSB changes every 20 ms. Allowing the Physical layer to add these Ьits redt1ces the rate at which the RRC layer needs,to
generate new content for the РВСН
st1Ьframe а аге st1Ьframes
* The 5G has fixed duration of 1 ms so there always 10 within each radio frame
The 5G slot duration and the 5G symbol duration depend t1pon the numerology, as pгesented in ТаЫе 31 and ТаЫе 32 (section 2.1).
* This means that the number of slots per st1bframe and the nt1mber of symbols per St1Ьframe also depends t1pon the Пt1meгology . The
nt1mber of symbols per slot is always 14 when t1sing the normal cyclic prefix and is always 12 when using the extended cyclic prefix
Figure 98 illt1strates the symbols belonging to а 1 ms st1Ьframe for each nt1merology. The 2 symbols with longeг cyclic pгefix duration
* аге visiЫe at the start and middle of the s нbfra me. In the case of the 15 kНz st1bcaгrier spacing, all slots have eqt1al duration Ь есанsе all
slots inclt1de 2 symbols with а longeг cyclic pt·efix . Similarly, in the case ofthe 30 kHz st1bcarrier spacing, all slots have eq нal dt1ration
becat1se all slots inclttde I symbol with а longer cyclic prefix. The highe1· st1bcarrieг spacings have some slots which iпclнd e I symbol
with а longer cyclic prefix and otheг slots which do not inclнde any symbols with the l ongeг cyclic prefix, i.e. the set of slots do not all
have eqt1al duration

1 ms subframe (соттоп to а// numerologies)

◄ ►

-
15 kHz Subcarrier Spacing 1 slot {14 symbols)
◄ ►

l
30 kHz Subcarrier Spacing 2 slots {28 symbo/s)
◄ ►

1Г ll
60 kHz Subcarrier Spacing 4 slots {56 symbols)
◄ ►

1 1
120 kHz Subcarrier Spacing 8 sl ots {112 symbols)
◄ ►

1 1 11

240 kHz Subcarrier Spacing 16 slots {224 symbols)

◄ ►

1 1
• Symbols with longer
•
cyclic prefix duration

Figure 98 - Syшbols ре1· 1 шs Subf1·aшe fог eacl1 nшn e 1·o logy

* When нsin g Fгеqнепсу Division Dнplex (FDD), tl1e symbols beloп giпg to the dow11li11k сапiег аге н sed fог Base Station tгansm ission s,
wl1ile the symbols belonging to tl1e нpl i nk саггiег щ·е нsed fог UE transmissions

* Wl1en using а Sнpplemeпtal Dowпliпk (SDL) са пi е1·, all symbols а ге н sed for Base Stati011 tt·ansmissioпs. Similarly, \vhen н s ing а
St1pplemental Upliпk (SUL) саrтiег, all symbols аге t1 sed fог UE t1·ansmissions

* When нsing Time Division Duplex (TDD), one s11bset of symbols is used fог Base Stat i()п tгaпsmissioп s , while a11othe1· subset is н sed
fo1· U E t1·ai1smiss io11s. А t hiгd s нbse t is н sed fo1· tгa п sce ive г S\Vitcl1i11 g а пd gн a гdin g aga iп s t the impact of a iг-i11te 1· face pгopa ga tio11
delay. The 'slot foпna t ' d eteп11i11 es 1-vl1icl1 symbols а ге t1 sed fог eacl1 ршро sе
* In tl1 e case of 4G, 3GPP TS 36.211 specifies а set of 7 t1plink-dow11li11k co пfi gшatioп s . Eacl1 coпfigшatioп de fiп es а pattem of t1pli11k,
dowпliпk апd special st1bf1·ames. The set of coпfigшati oпs s нppo1·t botl1 5 111s апd I О ms t1·ш1 sceive1· switch iп g peгiods. Tl1e 1·elease 15
ve1·s io11 ofthe ЗGРР specifications iп c lнdes 11 di ffeгeпt foгmats fог the special st1bf1·ames wl1i cl1 аге нsed fог tгa п sceiveг s1-vitcl1i11 g апd
gt1at·diпg aga iп st pгopagatioп delay. Eacl1 of tl1 ese special sнbfгa m e foп11ats d e fiп es а pattem oft1p liп k, do1-vпliпk апd gt1a гd symbol s.
S IВ 1 is нsed to bюadcast both the upliпk - dowпliпk co пfi gшatioп апd th e specia l s uЬfгa m e coпfigшatioп

106
 5G NR in BULLETS

111 tlie case of 5G, S IВ I is also used to broadcast an uplink-downlin k c ~n fi?шa tion , but in tl1is case the c onfigшa ti o n is not const~ained
attel11 specified Ьу ЗG РР . Instead, tl1e Base S t a tюn 1s аЫ е to spec1fy 1ts own pattern \VIth а п uplшk-downlшk sw1tchш g р ег юd
10 а ~ сап Ье as short as 0.5 ms. 5G also provides scope fог dyпamically adjusting the uplink-dowпl i nk configшation broadcast in
1
~'1 ~~ нsing either RRC signalling or layer I signalling оп the PDC~H. The PDCCH signalling is ba_sed upon а set of 56 standaгdised
slot formats withiп З GРР Т ~ 3~.2_13 . These concepts are desc пb e d ш greater deta1I l a te г 1n tl11s se ctюn . А general example of an
llpliпk-do\VПlink configшatюn 1s 1ll нstrated ш _F1gнre _99 --------------- -------- ---___ ______ _____ ____-------------------------- ----------- ----
Radio Frame = 10 ms

~1 ·1
1 DL 1 DL I DL ] ..-~-.-~----.1-oL~i -DL--.1-oL~ i- o-L 1
, -o~L 1J 11ИL i~ 1 DL 1 DL I DL 1DL 1

7 5/ot

r ~,
30 kHz subcarrier spacing
il/ustrated as ап ехатр/е
{2 slots р ег subfram e)

[! L DL DL DL DL Guard Period

Fi g ш·e 99 - Example upli11k-do,vnli11k co11fig11ra tion for TDD

• Tlie pi·ecise time 1·eso lution fо г 5G depends upon the numeJ'Ology Ь е с а н sе the symbol dнra ti o n depends t1pon the subcarrier spacing. Iп
tlie case ot"tl1e 120 kНz st1b ca 1тi e г sp ac iп g, symbols have dшa ti o n s of e ith e г 8.9 or 9.4 µs. \Vhen t1sing s нch а high time reso lнti o n , it is
likely tl1at пшltipl e symbols mt1st Ь е all ocated to the g t1 a гd p e гi o d to accommodate t ra n sce ive г sw itc hiп g and the impact ofthe
p1·opagatio11 delay
* TDD slot fo1·mats а ге n oг m a ll y illt1strated withа gt1 a гd pe1·iod when sw itchiп g fгo m downlin k to t1plin k, bt1t withot1t а gt1ai·d p e г io d
1vl1e11 switcl1ing f1·om нpliпk to d owпliпk. Tl1is pгiп c i p l e is illн s tra ted in Fi gщe 100

DL DL DL 1 Guard UL UL UL DL DL DL
~ - -~~---~--~
F i g ш·e 100 - G н ai· d pe1·io(l ,vt1e11 s1vitcl1ing f1·ош d o 1v11 li пk to 11 p liп k

* 111 1·eality , 11eithe1· the UE n ог tl1e Base S tatioп ех р е гi е п се the t i m i п g pattem i ll t1 s tгa ted i п F i gшe 100. The c o m b i natioп of prop aga t i oп
clclay а п сl Timiп g Adv a п ce lead to d i ffe 1·e п t tim i п g p a tte п1 s at the UE and Base Station. Tl1e t i m iп g е х р е г i е п сеd Ь у tl1e UE and Base
Stati o11 is illн s t 1·ate d in F i g шe I О 1. This fi gшe illн s tгa tes that the gн а гd period mн s t Ье long е п о н gh to acco mmodate tl1e гош1 d t1·ip
p гo p aga t ioп delay, plt1s the UE tгa п s c e i ve г sw itc hiп g delay, plн s tl1e Base S t a ti o п tгan sce ive г s,vitching delay

* Tl1e dowп l in k t гa п s mi ss i o п s а ге 1·eceived Ь у the UE after tl1e pl'Opagation ch a nп e l delay. The maximt1m propagation channel delay
d e pe вd s нро п the cell гa n ge . The UE the п takes some time to switcl1 its tran sce i ve г fi·om гe ce i ve to tгa п s mit. Tl1is switching delay is
!ypicall y assн med to Ь е 20 µs. The UE st1 bseqt1ently starts its tф link traпsmi ss i ons acco гding to the Timing Advaпce in stп.1cti ons
1·cceived from the Base S tati o п. The Base S tati o п pl'Ovides Timiп g Adva nce c omma пds to each UE to en s нre that all нplink
t1·ansmissio11s а ге 1·eceived \Vith e qнal timing. UE wl1ich are close to the Base S ta tioп will have а small Timing Adv a пc e , while UE
1vl1icl1 ai·e fаг fгom the Base Station will have а l a гge Timing A d va пc e ( sec ti o п 13.2 describes T imiп g Adva пce i п gгea te1· detail).
Uplink t1·ansmissio11s а ге received Ьу the Base Station after the pюpagation сh а пп е l delay. The Base Station also reqнires some
!гa n sce i veг switching time bel\veen 1·eception о п the t1plin k and t!'ansmission оп the downlink. Similar to the UE, this sw itcl1iп g time is
typicall y assн me d to Ь е 20 µs

___J L__ Transceiver

- l г- Switching
Base Station ,--U-L --,---U-L---.--U-L--,1 1 DL DL
DL DL DL DL
perspective

::гspectivej
Uplink controlled Ьу Тimin g Advan ce

I DL I DL
DL 1I.__и_L__,__и_L----'-- u_L ~1 DL

r--
1 Propagation
Chann el de/ay ---+j
1 1
r-- Transceiver
Switchin g ~
Fi gшe 10 1 - T DD tiшiп g ex p e 1· i e пc e d Ь у Base Station а шl UE
* 5G s t1ppoгts clyп a m i c TDD \vl1icl1 all ows а гapid гeco пfi gшati o n of symbols Ье !wее п tl1e нp l iпk апd clowп l i п k. Tl1 is all o\vs tl, e l:3ase
Stat i oп to adjн st tl1e нp l in k а пd do,vп li п k геsошсеs accoгdiпg to sl,oгt term гeqн iremeпts. Ne i gl1boшi пg cell s сап гесопfi gше t l1 e i г
sy,nbo ls bel\veen t1 p l iпk а пd do,vп l iпk w i tl10в t co-01·di11atio11 . This meaп s tliat о пе cell may Ье t1·aп smi tting in tl1e do,vп l ink ,vl1ile а
l1eighboшiпg cell 111ау Ь е 1·ece iv i пg iп tl1e t1p liп k. Tl, is sceпai·i o may lead to c1·oss l i пk inte rfeгeпce :

10 7
5G NR in BULLETS

о the uplink of one се!! cat1sing interference to the downlink of а neighbouring cell (UE to UE interference)
о the downlink of one cell cat1sing interference to the t1plink of а neighbouring cell (BTS to BTS interference)
* Figшe 102 illt1strates the general concept of cross link interference for а relatively worst case scenario, i.e. one cell is configi.1гed to use
а down link centгic slot while а neighbouring cell is configured to t1se an нplink centric slot
* In the case of 4G TDD networks, all cells shai·ing the same caпier are typically synchronised and configi.1гed with the same
uplink/downlink subframe configuration. This means that all cells transmit in the downlink direction at the same time, and receive in
the uplink direction at the same time. This type of solution is less flexiЫe but avoids the potential fог cross link interfeгence
"
Се/1 1
Downlink ~] DL DL DL
1
DL DL DL DL DL DL DL
1
DL UL
Centric Slot
t t t t

III••••III ]
Q
t;
i:: Cross Link lnterference i::
8 8
Се/12
Uplink
Centric 5/ot
[ DL IGиaгd l UL UL ИL ИL UL UL UL UL UL ИL ИL UL

Се/11
Dowo/;~:»-Uok /Me,fe,eoce 7 p/;ok 1r Се/12

Cross-/ink
lnterference

. <Е= •
Figш·e 102 - C1·oss Lir1k Inte1·fe1·ence behveen neigl1bo111·ing TDD cells

* The ЗGРР specifications fo1· 5G allow tl1e timing ofthe нplink and downlink c ontгol 1·egions to Ье confi gшed to avoid any impact fго111
cгo ss link inteгfe гenc e , i.e. all cells transmit downlink contюl infoгm a tion at the s ta гt of а slot, "vhile all cells гe c e i ve нplink c ontюl
infoгmatioп at the end of а slot (as s lюwn iп Fi gt1гe 102). Tn tl1i s context, cont,·ol infoгma ti o n ге fе гs to Downlink С опtгоl Iпfo,·ma ti o п
(DCI) оп the Pl1ysical Downliпk С опtюl C l1anп e l (PDCCH), and Uplink C ontгol Tпfo пn a ti o n (UCI) о п tl1e Pl1ysical Uplink Сопt го l
Cl1annel (PUCCH). Tl1e PDCCH and PUCCH do not benefit fю m гe - tгa п s mi ss i o n s so avoiding tl1e impact of c гo ss liп k iпtе гfе ге п се is
impoгtant to l1elp eпsure геliаЫе 1·eceptio11

* Sigпalliп g Radio Веагег (SRВ) tгaпsmissions аге tra пsmitted оп the Physical Dowпlink Sha1·ed Cl1a1111el (PDSCH) а пd Physi ca l Upliпk
Shaгed Cha1111el (PUSCН) . These tгansmissioпs also have high impoгtaпce bt1t they may experi eпce cгoss liпk i11te1·feгence, i.e. SRВ
messages are tгansmitted withiп the ceпtral геgiоп of the slot. The impact of cross liпk iпteгference сап Ье mitigated нsiпg incгeased
cha1111el coding redt1ndancy апd гe-tra11smi s sio11s. Application data is also tra пsmitted 011 the PDSCH and PUSCH withiп the c e пtral
regioп of the slot. Similar to the set of SRВ , applicatioп data сап beпefit from channel coding гedt111da11cy апd гe-tra11smissio11s

* Cross link inteгfe1·e nce is likely to Ье less of ап isst1e when usiпg small cells in tl1e higheг operating bands, i.e. mm wave bands,
because the high air-interface attent1ation will limit the inteгfereпce power between пeighboшin g cells. Cells operating in the mm \,Vave
band are likely to Ье noise limited rather than interfeгence limited. Cгoss link iлteгfeгence may also Ье mапаgеаЫе fог iпdоог solнtion s
which are isolated from the ot1tdoor macгocell пetwork . Macrocells are тоге likely to Ье configшed \,Vith а common t1plink-downliпk
traпsmissioп tirning pattern to avoid cюss link i11te1·feгence

* Figшe 103 illнstгates the two main options for coпfigшing the timing of uplink and downlink tгaпsmissions. Tl1e fiгst option dues not
provide the UE with а specific t1plink/down link traпsmission pattern. Iпstead, the UE monitors the PDCCH fo1· нplink and dowпlink
1·еsошсе allocations and simply transmits ог гece ives acco1·ding to those allocatioпs , i.e. the Packet Schedt1ler is iп contгol oftl1e
t1plink/downliпk t1·ansmissio11 timing

ИЕ Tronsmits & Receives occording to Resource A_ll_oco~ оп th e PDCCH

l
Option 1 ns ]

Option 2 RRC Semi-Static г~ RRC Semi-Static с~ L1 Dynamic

r Се// specific configuration 1 ИЕ specific configuration -

Uplink/Downlink/FlexiЫe Pattern - оп/у FlexiЫe Symbols сап Ье reconfigured at each stage

,/ UE-Group Соттоп

Fi g ш· e 103 - Higl1 level optioп s fо г co11fig111·i11 g tl1 e tiшin g of upli11k/do,v11li11k t1·a 11s111iss io11s

* Tl1e second option ,·elies t1po11 tl1e Base St a tioп pгo v idin g the UE witl1 а specific t1pli11k-downlink tгan s mi ss ioп patte гn. Tl1is p atte пi са о
Ье signalled t1sing а combination ofRRC and Lауег 1 signalling, ог it са п Ье configшed t1sing only RRC s i gпa llin g, ог only Lауег 1

108
 5G NR in BULLETS

signalling. RRC signalling provides а semi-static _configшation w_hich remains valid Llnless reco_nfigшed Ьу sL1b_seqL1ent RRC signalling.
Layer I signalling provtdes а dynam1c configшatюn \Vh1ch 1s val1d for а relat1vely short t1me wmdo\v апd reqшres contml\0LIS Llpdatmg
The tdd-UL-DL-Configumtio11Co111111011 parameter stп.1chлe presented in ТаЫе 33 can Ье broadcast as part of SIВ 1. It can a\so Ье
l'()\'ided to the UE L1sing dedicated signalling, e.g. when L1sing the EN-DC Non-Standalone Base Station architech.lre. Tl1e paшmeter
ptпich.iгe defines а defaL1lt Llplink-do\vnlink configшation for а ce\l. The гefe1·e11ceS11bc01тie1Spaci11g is specified to define the dшation
~f 1 11 е symbols and slots belonging to the Llplink/downlink configшation. For example, each slot has а dшation of I ms if the 15 kНz
sllbcarrieг spacing is specified, ш 0 .5 ms ifthe 30 kНz sL1bcaпier spacing is spi;cified

т1 1 еparameter structшe can inclL1de either I or 2 patterns. If only I pattern is inc!L1ded then that pattern repeats periodically based Llpon
tlie configшed dl-UL-TmnsmissionPe,-iodicity. If2 patterns are incll!ded then the second pattern fo\lo\vs the first patteгn and the pair of
patterns repeat with а period eqllal to dl-UL-Tm11smissio11Pe1·iodicity (patternl) + dl-UL-Тiш1s111issio11Pe1·iodicity (pattern2). ЗGРР
specifies that the s_Llm ofth_e ~-p~ttern periods mнst divide into 20 ms, e.g. periods of2 + 2 ms аге permitted bllt periods of 1 + 2 ms аге
1101 permitted. Peпods are ш1tial1sed at the start of every even nнmbered radю frame
Each traвsmission period inclL1des а specific nнmber of slots for the specified reference sнbcaпier spacing. The period of 0.625 ms is
* 011 Jy peпnitted when LISing а reference sнbcarrier spacing of 120 kНz. In this case, the period inclL1des 5 slots of0.125 ms. The period
of 1.25 ms is опlу permitted when Llsing гeference sнbcarrier spacings of 60 or 120 kНz. Similarly, the period of 2.5 ms is only
permitted wl1eп llsiпg 1·еfегепсе sнbcaпier spacings of 30, 60 or 129 kНz . The dl-UL-Tm11smissio11Pe,-iodicity-1 1l 530 information
eleme11 t was added Ьу tl1e release 15.3 versioп ofthe specifications to exteпd the гапgе of the origiпal dl-UL-TmnsmissionPe,-iodicity
irifoпnation elemeвt. The UE igпores the origiпal inforn1atio11 element ifthis пеw version is iпclllded

tcld-UL-DL -Co11/ig11mti011Co111111011
referenceSнbcarrierSpacing 15, 30, 60, 120 kHz
patteml dl-UL-Tra11sшissio11Periodici ty 0.5, 0.625, 1, 1.25, 2, 2.5, 5, 10 ШS
шofD01vi1li11kSlots О to 320 (cнrre11t шах is 80)
nrofD01v11li11kSyшbols О to 13
nrofUpli11kSlots О to 320 (cнrrent шах is 80)
11rofUpli11kSyшbols О to 13
dl-UL-Tra11sшissio11Periodicity-v 1530 3, 4 ms
patten12 dl-UL- Tra11sшissio11Periodicity 0.5, 0.625, 1, 1.25, 2, 2.5, 5, 10 ШS

шofD01VI1liпkSlots О to 320 (сtшепt rnax is 80)

пrofDo,vпliпkSyrnbol s О to 13
11rofUpli11kS lots О to 320 (cнrrent шах is 80)
пrofUplinkSyшbols О to 13
dl-UL-TransшissioL1Periodicity-v 1530 3,4 ms

ТаЫе 33 - ttfd-UL-DL-Co11jig11mtio11Co111111011 paraшeter strнct11re

* Witl1i11 each patteгn peгiod, 11гojD011111linkS!ots defines the 11L1mber of downliпk slots at the start of tl1e period, while m·ojUplinkS!ots
defi11es the ш1mЬег ofllplink slots at the end oftl1e period. А гапgе fiom О to 320 has Ьееп specified for these infoпnation elements
altl10L1gh the гelease 15 version of the specifications limits the Llpper vallle to 80 slots. This corresponds to the maximнm шtmber of
slots withiп а 1О ms period wl1e11 нsing the 120 kНz sнbcarrier spaciпg

* The 111·0JD011111/i11kSymbols defines the пнmЬег of downlink symbols within the slot which follo,vs the downlink slots. Similarly, the
111·ofUpli11kSy111bols defines the пнmЬег ofнplink symbols ,vithin the slot which precedes the Llplink slots. Figшe 104 illнstrates the
general ttpliпk/downliпk pattem geneгated Ьу the parameter struch.lre. Symbols апd slots which гemain нnallocated at the center ofthe
patterп are treated as 'FlexiЫe' апd сап Ье sttbseqL1ently allocated to either the Llplink ш downlink

d/-UL- TransmissianPeriodicity

! nrofDownlinkS/ots nrofUplinkS/ots !

1 О[ 1 DL I D[ 1 D[ 1 D[ D[ □. :. ' F F F F [ ] UL I UL I UL I UL I UL 1

r;:ЬJ DL IDL1 DL IDL I F I F I F I F I F I F I F 1 ~-1

' nrofDownlinkSymbo/s 'F' = F/exiЬ!e s/ots and symbo/s nrofUplinkSymbo/s

F igш·e 104 - Uplink/Do,vnlink S\ot and SушЬо\ patte1·n coпfigш·ed 11si11g tdd-UL-DL-Co11jig11ratio11Co111111011

109
5G NR in В ULLETS

* The tdd-UL-DL-ConfiguгationDedicated parameter structure presented in ТаЬ\е 34 сап Ье provided to the UE нsing dedicated
signalling. This parameter structure сап Ье нsed to refine the нplink/down l ink transmission pattern provided Ьу tdd-UL-DL-
ConfigumtionCommon . Refining t\1e transmission pattern means that 'FlexiЬ\e' slots and symbols сап Ье reconfigшed as нplink or
downlink slots and symbols. lt is not possiЬ\e to change slots and symbols which have already been configшed as нplink or dщvnlink

1dd-UL - DL-CV1!fig11гat io11Declica1ed

slotSpecificConfigurations SEQUENCE ( 1 to 320 i11sta11ces)

ToAddModList slotlndex О to 319

" symbols C HO ICE

al1D0,vnli11k aIIUplink explicit
nrofDo,vпlinkSymbols 1 1 to 13

пrofUp!iпkSyшbo!s 1 1 to 13
slotSpecificConfigurations SEQUENCE (1 to 320 instances)
ToreleaseList slotlndex О to 319

ТаЫе 34 - tdfl-UL-DL-Co11jig11ratio11Detlicatetl pat·ameter st1· uctш·e

* Tl1e dedicated рагаmеtег structiлe pюvides а list of configшations fог individнal slots. Each slot сап Ье coпfigшed as downlink,
нplink, partially downlink, pa11ially нplink ог а combination ofboth нplink and downlink. Figшe 105 illнstгates an example ofthe
dedicated parameteг set beiпg нsed to t'econfigшe the FlexiЬ\e symbols defined Ьу the common paгameter set

DL DL DL DL DL DL

• DL
F

DL
F lr lr
F F j
F F

UL ИL
j UL I UL I UL I UL I ИL 1 } Pattern defined Ьу
tdd-UL-DL-
ConfigurationCommon

...... -1 1, 1
........ ,' Pattern defined Ьу
........ .. .... .. .. ...... tdd-UL-DL-
ConfigurationDedicated

~
I
DL DL DL DL DL I F F F F
I
I I I I F I F I F IF 1 F I F IF F • F F I I I F I F I UL : ИL UL ULI UL ~~]
Fi g ш· e 105 - Uplinl<I Do,vnlinl<Slot а пd Symbol p a tt er п coпfi g ш·e d usin g llbl-UL-DL-Co11jig11ratio11Derlicated

* А.п у гe maiпin g Fl e xiЬ\ e symbols сап Ь е dyп a mi c ally гec oпfi gшed н s in g
Do,vnlink С опtюl Info гm a ti o n (DCI) Foп11 a t 2_ 0. Tl1is allo,vs
гapid reconfigшation нsin g Lауег I signalling. А UE mн s t Ь е a\located а Slot Fопл а t Iпdi c atoг RNТI (SFI-RNTI) Ьеfоге it с а п гece i vc
infoплation 011 DCI Foгmat 2_0 . An SFI-RNТI is a\located to the UE нsing the S/otFoп11atl11clicato1 · parameter stгнсtше shown in
ТаЬ\е 35. DCI Fоплаt 2_ 0 provides 'UE Groнp' common signalling so mнltiple UE will Ье a\located the same SFI-RNTI and ,vill
decode the same PDCCH transmissions. Т\1е PositionlnDCJ information element specifies tl1e location ofthe t'elevant Slot Foгmat
Indicator (SFI) within the payload. Diffeгent UE сап Ье configшed with different PositionlnDCI va lнes апd so extгact diffeгeпt
information fюm the payload. The S/01Foп11atl11dicato1· р а гаmеtег stп.1ctuгe a\so specifies t\1e si ze of the PDCCH payload beloп g ing to
DCI Fоплаt 2_ 0. This information he lps the UE to complete the decoding process

SlotFотшt /11 clica toг

sfi-RNТI О to 65535
dci-PayloadSize 1 to 128 Ьits

slotFonnatCombToAddModList SCQUE NC E (1 to 16 i 11 s taпc es)

servingCellJd О to 31
sнbcarrierSpaciпg 15, 30, 60, 120 kНz

sнbcarrierSpaciпg2 15 , 30, 60, 120 kНz

slotFonnatComЬiпatioпs SCQU ENCE ( 1 to 5 12 iп s t a п ces )

s lotF011natCombinatiш1Id О to 511
s lotFoп11 a ts S EQUE NCE ( 1 to 25 6 i п s tш 1 ces )

INTEGER (О to 255)
Pos itionlпD C I О to 127
s lotFonnatCombToReleaseList S EQUE NC E ( 1 to 16 iп s t aп ces )

se rviпgCe ll!d О to 3 1

ТаЫе 35 - SlotFormatlшlicato1· pa1·amete1· st1·uct111·e

110
 5G NR in BULLETS

Т1 Slot Format Indicatoг (SFI) pгovided Ьу the payload ofDCI Foгmat 2_0 defines а poiпter to\vards а specific Slot Format
С 1~bination. Each Slot Format Combination is generated t1sing а seгies of Slot Formats standardised Ьу 3GPP. These standardised
Sl~ t Formats are pгeseпted in ТаЫе 36. The re lease 15 versioп ofthe 3GPP specifications defines 56 standard ised Slot Formats
Tlie majority of sta nd aгdised Slot Formats are based нроn а cycle of 14 symbol s ( 1 slot). Slot Formats 46 to 53 ai·e based нроn а cycle
* f ? symbols (11alf а slot). These Slot Foгmats сап Ье н sed for low latency applications wl1ich гeqнire mоге freqнent S\vitching between
~ie opliвk and down link, i. e. to retшn acknowledgements with less delay. Slot Format О provides only downlink symbol_s, whil_e Slot
Format I pгovides only t1pl111 k symbols. These Slot Formats may Ье нsed for FDD scenaпos. In general, f1.1II d нpl ex dev1ces t1s111g FDD
do not req1.1i1·e specific Slot Format Comb inatioп s beca1.1se those devices сап tгansmit cont inнoнsl y and sim1.1 ltaneo1.1 sly receive
co nt i iitюн s l y. Halfd1.1plex FDD devices сап Ье configшed with specific Slot F01mat Combinations to indicate when to transmit and
,vlien to гece i ve (IoT devices coнld Ье half dнplex to help геd нсе h ardwaгe cost)
Slot Format 255 сап Ье н sed as а 'wi ldcard' Slot Format which means that the нplink/downlink transmission patteгn fог that slot is not
* cleteппined Ьу the Slot Format Comb ination. Instead, the UE нses the transmission pattem which has been configшed Ьу RRC
signa!ling or the transmission patte111 dete гmin ed Ьу нplin k/down link resoшce allocations on tl1e PDCCH

1 2 3 4 5 6 7 8 9 10 11 12 13 о 1 2 3 4 5 6 7 8 9 10 11 12 13
о

о D D D D D D D D D D D D D D 28 D D D D D D D D D D D D F u
1 u u u u u LI u u u u u u LI u 29 D D D D D D D D D D D F F u
2 1' 1' F 1· 1: F F F F F F F F F 30 D D D D D D D D D D F F F u
J D D D D D D D D D D D D D F 31 D D D D D D D D D D D 1' u u
4 D D D D D D D D D D D D 1' F 32 D D D D D D D D D D F F u u
5 D D D D D D D D D D D F F f' 33 D D D D D D D D D F F F u u
6 1) D D D D D D D D D 1' 10· F F 34 D F u u u u u u u u u u u u
7 1) D D 1) D D D D D F F F F 1' 35 D D F u u u u u u u u u u u
R 1' 1' F 1' 1' F 1' F 1' F F F F u 36 D D D F u u u u u u u u u u
9 10· 1' 1' 1· 1' 1' 1' F F F F 1' u u 37 D F 1' u u u u u u u u u u u
10 F u u L' u u u u u u u u L' lJ 38 D D F F u u u u u u u u u u
11 F 1' u u u u u u u u u u u u 39 D D D F 1' u u u u u u u u u
12
, , ,. u u u u u u u u u u u 40 D 1' F F u u u u u u u u u u
IJ 1' г 1· 1· u u u u u u u u u u 41 D D F F F u u u u u u u u LI

14 1' 1' 1· 1· F u u u u u u u u u 42 D D D F F 1' u u u u u u u u

15 1' 1 1: 1 1: 1' u u u u u u u u 43 D D D D D D D D D 1' 1' 1' 1· u
16 1) 1' 1' 1· ~ 1' 1: 1' 1' F F 1· F 1· 44 D D D D D D ~ 1' ~ F 1: 1' u u
17 D D
, F F F F F F F F F F F 45 D D D D D D F F u u u u u u
IR D. D D 1' F F F F F F F F F F 46 D D D D D F u D D D D D F u
19 D F F 1' F 1' F F F F F F F u 47 D D F u !) u u D D F u u u u
20 D D F F F F F F F F F F F u 48 D F u u u u u D F u u u u u
21 D 1) D F F F F F F F F F F u 49 D D D D F F u D D D D F F u
22 D F г F F F F F F F F F u u 50 D D F F u u u D D F F u u u
23 D D 1' F F F F F F F F F u u 51 D F F u u u u D F F u u u u
24 D D D F F F F F F F F F u u 52 D F F F F F u D F F F F F u
25 D F F F F F F F F F F u u u 53 D D F F F f" u D D F F F F u
26 D D F 1' F F F F F 1' F u u u 54 F F F F F F F D D D D D D D
27 D D D 1' F F F F F F F u u u 55 D D F F F u u u D D D D D D
56 to 254 Reserved 255 Slot format deter111i11ed ti-0111 RRC co11figuratio11 01· DCI 011 tl,e PDCCH

ТаЫе 36 - S lot Formats standa1·dised Ь у ЗGРР for inclusioп 1vitl1 i11 S lot Fo1·mat C omblпatioп s

* Eacl1 Slot Foгmat Combination is liп ked to а specific Seгviпg Cell and has а specific position \.\'ithin the payload ofDCI Foгmat 2_0.
Tl1e size oftl1e Slot Foгmat Indicatoг (SFI) \Vith in DCI Fоппаt 2 О depends 1.1роп tl1e set of s/o/FoпnatC0111Ьi11alionld va lн es wh ich
liave been coпfigшed. Tl1e nt1mbeг of bits is giveп Ьу Max [ LOG~Max(s/01Foп11a1 Co111blnalio11Id + 1)), 1] . For example, if the
111ax imt1m coпfigшed valt1e ofs/01Fomia1Combl11alio11ld is 7 tl1en 3 bits ai·e гeq1.1iгecl within tl1e payload ofDCI Fo1·mat 2 О. Tl1is
means that diffeгeпt UE сап ex tгact diffeгeпt nt1mbeгs ofbits fгom the payload -
* F i gнгe 106 illt1 s tгates ап example of 3 Slot Foгm at Combiп ati o п s, \vheгe each Slot Foгmat Co 111biпatio11 is based нроп 3 Slot Foгmats.
Tliis example ass1.1111es tl1at tl1e payload ofDCI Fo гmat 2_0 iпc lt1des 7 SFI апd tl1at tl1e Positio11!11DC!valt1e points to а bit pos itioп
1vl1icl1 coггespond s to the 6' 11 SFI
* Tl1e Slot Foгmat ComЬiпatioп staгts dшing the slot wl1icl1 iп c lнdes tl1e DCI Foгmat 2_0 tгaп smiss ion. The dшation of tl1e Slot Foгmat
Comb ination is defined Ьу tl1e nнmЬег of Slot Fo1·mats inclнded witl1i11 tl1e ComЬinat ion. Tl1e dшation sho1.1ld Ье at least as loпg as the
mon i toгing period fог DCI Format 2_0 to avoid any gaps in the dynamic 1.1plink/dow11liпk coпfi gшation pattem

111
5G NR in BULLETS

Pre-configured using RRC signolling

{SlotFormatlndicator parameter structure)
5/ot Format Comblnations

5/ot Format О 5/ot Format 42 5/ot Format 1

5/ot Format 32 5/ot Format 1 5/ot Format 1

slotFormatComblnationld = 1 DL DL DL т. DL DL DL DL :щ DL ~ IUL UL UL ut~UL UL UL UL Ul UL UL UL UL ш \ :иL UL UL UL UL UL IUL :UL UL UL UL UL UL щj

\, 5/ot Format О 5/ot Format О 5/ot Format 42

slotFormatComblnationld = 2 01 01 DL DL DL 01 0 1 01 01 01 DL ot 01 ot ' Lot 01 01 Ио1 01 01 01 DL DL- DL 01 01 01 'ot ot ol. 1'UL.u1 щ ш
F f ! F [U UL · UL и~

r - - - - - -- - - - - - - - --- - - --- - - - - - - -- - - -- - - - --- - - - - - - - -- - - - - - - --- - - - - - -- - - -- - -- - - -- - - - - - - - - - - - - - -- - - - - - -- - - -- - - - - - - - - -- - -- -·· - - --- - ---

: Dynamic selection using ОС/ Format 2_0 :

dci-PayloadSize

ОС/ Format 2_0 1SFI 1 1 SFI 2 1SFI 3 1SFI 41 SFI 5 SF/6 SFI 7
ИЕ extracts SFI 6
e.g. it could point towards
PositionlnDCI slotFormatComblnationld = 1
' -- ---------------------- ------ --- ---- -- ------- -- - ----------- -- ---- ---------------- ----- --- --- --- --- -- ---- ----------- - ------ --- -------- --- -''
•---
Figur·e 106- Example Slot Fot·mat Comblnations апd Slot Format lпdicator (SFI) ,vitl1in DCI Format 2_0

* Retнming to the content оfТаЫе 35, each Slot Format ComЬination сап Ье associated with one or two subcaпieг spacings.
Configшing the нplink-downlink tгansmission pattern for а TDD seгving cell requiгes the definition of only а single sнЬсапiег spaciпg.
In contrast, configuгing the нplink-downlink transmiss ion pattern for an FDD serving cell requires the definition oftwo sнbcaпier
spacings - а first sнbcaпier spacing (subca1тiel'Spaci11g) which is app lic aЫ e to the downlink, and а second sub caпier spacing
(subcmтie1·Spaci11g2) which is app lic a Ы e to the uplink. In this case, the Slot Format ComЬination interleaves botl1 downlink апd upliпk
Slot Formats
* Figшe l 07 illн s tгates the interleaving ofнplink and downliпk Slot Fom1ats within а Slot Fo1mat ComЬinatioп when coпfigшing an
FDD cell . Ifthe uplink and downlink нs е the same s ub caпier spac iп g then tl1e Slot Formats altemate. Othe1wise, th e t1·ansmi s s i oп
direction with the hi gher sub caпier spacing has а propoгtionally higher number of Slot Formats wi thin the comЬination

Subcarrier Spacin gs
: Pattern repeats
DL = 15 kHz 0ownlink Uplink :----+
DL DL DL DL DL DL DL DL DL DL DL DL DL DL I !!_L UL UL UL UL UL UL UL UL UL UL UL---;;;-;;;,: DL DL DL DL DL DL DL Ш DL DL DL DL DL DL UL Ul UL Ul UL UL UL UL UL UL UL UL UL UL
UL = 15 kHz

. : Pattern repeats
DL = 30 kHz Downlink 0ownlink Uplmk .. ~
UL = 15 kHz DL DL DL DL DL Dl DL DL DL DLDL DL DL 01) DL DL DL DL DL DL DL DL DL DLDL DL DL DL UL UL UL UL UL UL UL UL UL UL UL UL UL u1]11ot DL DL DL DL DL DL DL DL DtDL DL VL DL

: Pattern repeats
DL = 15 kHz Downlink Uplink Uplink :----+
UL = 30 kHz DL DL DL DL DL DL DL DL DL DL DL DL DL DL ' rUL UL UL UL UL UL UL ~ L UL UL UL ;;;_---;;;_- UL UL UL ~UL UL UL UL UL UL UL ut UL --;; • DL DL DL DL DL DL DL DL DL DL DL DL DL DL

Figure 107 - lnterleaving of Slot Formats applicaьte to the Do,vпliпk and Upliпk ,vhen config11ri11g ап FDD cell

* The second sнbcarrier spacing сап also Ь е нsed ,vhen а Supplemental Uplink caпier is configшed. In that case, the value of
subcmтie,-Spacing is applicaЫ e to the Nom1al Uplink (NUL) caпier, and the valнe of subcmтie,-Spac ing2 is applicaЫe to the
Sнpplemental Uplink (SUL) caпier. The patterns illнstrated in Figшe 107 са п theп Ье applied to the NUL and SUL carгiers
* The UE monito1·s the PDCCH for нplink апd do,vnliпk 1·еsошсе allocations dшing any Flex iЫ e symbols/slots that l1ave been
configшed using tl1e semi-static parameter structшes. However, the UE does not monitor the PDCCH fог resoшce allocations dшi11 g
any FlexiЫe symbols/slots that have Ьееп configшed using DCI Format 2_ О . In this case, the FlexiЫe symbols/slots сап Ье used to
geneгate ' гeseгved' pe1·iods during wh ich th e UE does поt transmit no1· гece i ve . For examp le, гeseгved peгiods could Ье н sed ,vheп the
same RF саrг i ег is beiпg shared between LTE and NR. The NR сап i ег сон \d Ье coпfigшed witl1 DCI Foгm a t 2_0 FlexiЬ\e
symbols/slots dшing pet·iods wl1 en tl1e L ТЕ Packet Sc h edu l e г is alloca ting ге s ошсеs and is tlшs н s in g th e aiг-inteгface
* Dynamic uplink/downlink configнгation u s iп g DCI Foгmat 2 О сап a\so Ье нsed to Ыосk specific perioclic tгansmission s . Fог examp le,
if а UE is peгiodically tгansmittin g the Soнnding Refeгence Signal (SRS) Ьнt the Base Station woн ld li ke to tешрогагilу change tl1e
tгan sm i ss ion diгectioп to downlink then DCI Fогшаt 2 О сап Ь е нsed to гeconfigшe the transmission direction to downlink and ргеvепl
tl1e UE from tгansmitting its peгiodic SRS. This assнm~s that the гelevant symbo ls l1ave not been configшed as нplink н s in g semi-stati c
s i gпa llin g in wl1 ich case tl1e transm ission d iгect ion caпnot Ье changed Ьу DCI Format 2_ О

* 3GPP Refeгences: TS 38.213, TS 38.212 , TS 38.33 1

112
 5G NR in BULLETS

RESOURCE BLOCKS AND BANDWIDTH PARTS

2.з
40 Resot1rce Blocks are_ defined in both tl1e fr~qttency and time domai~s. When using the normal cyclic prefi x, а 4_0 Res oшce Block
•с< 12 st1bcan·iers IП the fгe qtt e ncy domam and 7 symbols IП the t1me dom a IП . When ttsmg the extended cycl1c pгe fi x, а 40
occtipi " · 12 stt Ь camers
Rcso нrce Block occ11p1 es
· 1n . and 6 symЬ о 1s IП
. thе ",гeqtten cy domam . thе t1me
. domam.

50 R eso шce Blocks are only defined in the freqttency domain. This means th::1t а 50 res oшce allocation mн s t specify both the nttmber
fReso шce Blocks and the number of symbols. А 50 Resource Bl ock always o ccнpi es 12 consecutive sttbcarriers iп the fгe qн ency
do nain. The band width occнpied Ьу а Resource Block depends нроn the sнbcaпier spacing. ТаЫе 37 presents the bandwidth occнpied
о1 " h Ь . .
Ьу а s iп g l e Resource Block ,ог еа с stt ca rп e r spac mg

Subcarrier Resoшce Block

fl Spaci11g Ba11d1vidtl1
о 15 k.Н z 180 k.Нz
1 30 k.Нz 360 k.Нz
2 60kHz 720 kHz
3 120 kHz 1.44 MHz
4 240 kHz 2.88 MHz

ТаЫ е 37 - Band1vidth occupied Ьу а sin gle Res oш·ce Вlo c k

2.3.1 COMMON RESOURCE BLOCKS

* Co111111on Reso шce Blocks are the set ofReso t1гce Blocks wl1ich occt1py the channel bandwidth. Тh е ге is а set of C0111mo11 Resource
Blocks fo1· eacl1 s t1b caп i e 1· spacing
• Со 111 1110 11 Resoшce Blocks а ге 1111m beгe d fгo m О t1 p\va гd s, where Com m o п Reso шce Block О is the Reso шce Block located at the
l o1veг sicle of tl1e cl1anпel band\vidth. Tl1e Со m nюп Resoшce Blocks associated with eacl1 s t1 bcarт i e1· spacing ar·e a li gп ed at ' Po i п t А'

• ' roi п t Л ' c oпespoпds to tl1e сепtег оfs н Ьсап i е г О be l ongiпg to Com111011 Reso шce Block О (CRB О) . The l ocatioп of'Po i пt А' is
il l11st1·ated iп Figшe l 08. Tl1e ttse of ' Po i пt А' as а 1·еfе1·е п се means tl1at tl1e Commo п Resoшce Block edges ar·e п оt a li gпed

Po int 'А'

15 kHz

З0kHz

60 kHz

120 kHz

240 kHz CRBO

Fi g ш·e 108 - R e fe 1·e п ce ' Point А' fo1· eacl1 s ub ca пi e1· spacing

Л UE does п оt immedi ately kл ow the position of 'Po iп t А' afteг compl e tiп g а Ьа пd scan. А UE \\1hicl1 completes а band sсап will
i deпtify tl1e fгeq 11ency domain l ocatioп of а Syncl1 гoпi sati o п Signal / Pl1ysica l Bгoad cas t Cl1annel (SS/PBCH) Block. Howeveг, the UE
ivi\l not kiю\v the pos ition of the cl1anne l ba11dw idtl1 гel at ive to tl1at SS/PBCH Block, i.e. tl1e SS/PBCH Block is not at а s iпg l e
staпc\щ\i sed locati oп wit\1in the channel band\v idt\1 . Tl1e UE са п ргосееd to decode SIВ I witlюttt kпow in g the l ocati oп of 'Po int А'
beca11se tl1e a i г- inte1·face 1·esoшces all ocated to SIВ I аге signalled 1·e\ati ve to the pos ition of tl1e SS/PBCH
• А UE deteгm i nes the p os i t i o п of 'Point А' tts ing either а fгeq t1ency offset гe \ at i ve to the SS/PBCH, ог an Abso \н te Rad io Fгеqнепсу
Cliar111e\ Ntm1 beг (ARFCN). Tl1e ft·eqttency offset арргоас \1 ttses а comb i пat i on of i пformat i o п ft·om tl1e М!В апd SIВ 1. Iп the case of
TDD, tl1is iпfoгmatioп is app l icaЫe to botl1 the Ltp l iпk апd do\vn li nk . In tl1e case ofFDD, t\1i s iпfoгmatioп is арр\iсаЫе to the do\vn li пk
and SJB I incltrdes ап ARFCN to specify tl1e pos i t i oп of ' Poiпt А ' fo1· tl1e ttp l i п k. S!В I сап also i11c lt1de ап ARFCN to specify t\1e
positio11 of'Po int А' fог а Sн pp l ementa l Upli nk
* Botl, t\1e нр\iпk апd downliпk ARFCN fог 'Point А' сап Ье pгovided to t\1e UE ttsing ded icated s igпa lli пg. Fог examp le, tl1is app1·oacl1
Cot1\d Ье ttsed dш i ng an i пcom iпg handover ргосеdше ог \Vheп Ltsing the EN-DC Noп -S taпda l o ne Base S tat i oп arch itec tшe. Tl1e t1se of
ded icated s igпa lli ng avo ids the гeq tti гemeп t to ext1·act in foгmatio11 fгom S!В 1

113
5G NR in BULLETS

* The Freguency Offset approach requires both а Resource Block offset and а subcarrier offset:
о sm 1 provides offsetToPointA to specify the Resoшce Block offset between Common Resoшce Block О and the Common
Resource Block which overlaps with the start ofthe SS/PBCH. The numerology used for the Common Resoшce Block numbering
is set equal to the value of subCaггiaSpac ingC0111111011 provided Ьу the МIВ
о the МIВ provides ssb-Subca1тie1 ·0ffset which defines the 4 Least Significant Bits oftl1e subcarrier offset (kssв) . In the case of
Freqнency Range 2 (24.25 GHz to 52.60 GHz), the subcarrier offset requires а range trom О to 11 and these 4 bits are sufficieнt . In
the case ofFrequency Range 1 (450 MHz to 6 GHz), the subcarrier offset requires а range trom О to 23 so а 5' 1' bit is requiгed.
This 5th bit (the Most Significant Bit) is inclнded within the Physical layer payload ofthe РВСН and is transmitted in combinatio,1
with fue МIВ
о the subcarrier offset (kss в) Iepresents an offset from subcarrier О ofthe Common Resource Block identified Ьу offsetToPointA to
subcarrier О of the SS/PBCH. In the case ofFrequency Range 1, kssв is based upon а 15 kНz subcarrieг spacing while the
SS/PBCH can use subcarrier spacings of 15 or 30 kНz , and subCa1тieгSpacingC0111111011 can Ье set to either 15 or 30 kНz
о Figure 109 illustгates two examples of the Resource Block and subcarrieI offsets fог Frequency Range 1. The fiгst example is
based upon subCaп-ie1-SpacingC0111111011 = 15 kНz, and in this case the subcarrieг offset can range from О to 11 . The second
example is based нроn subCa1·1·ie1·SpacingC0111111011 = 30 kНz, and in this case the subcarrier offset can 1·ange fгom О to 23

Common Resource Blocks based upon а subcarrier spacing = subCorrierSpacingCammon

k558 ba sed upon 15 kH z subcarrier spacing in Frequency Range 1

subCarrierSpacingComman extracted from MIB

k558 extracted from МIВ + additional РВСН payload
k558 based ироп 15 kHz
гг
~~~-~S-ub~c-arJ~Ш 15 kHz
SS/PBCH ;r
offsetToPointA extracted from SIВl kssв = 2
subcarrier spacing

Саттоп Resaurce 8/ack О Соттоп Resaurce 8/ack N

Common Resource Blocks

subCarrierSpacingCommon = 15 kH z in this еха mple Common Re source Block = offsetTaPaintA

[l[lггтгп гг1I[J SS/PB CH

k558 based ироп 15 kHz kssв = 6

1:rL1:i:~1
subcarrier spacing

~~~l~~l~ o§l12 lв81:E]~l1вl 191201211~23

Соттап Resource 8/ock О Соттоп Resource 8/ock N

о 1 3 4 5 6 7 8 9 10 11
Common Resource Blocks
subCarrierSpacingCammon = 30 kHz in thi s example Common Resource Block = offsetToPointA

Figш· e 109 - Examples of Неsош·се Block and S11bcaпie1· Offsets fo1· Frequency Raпge l

о In the case ofFгeqнency Range 2, kss в is based upon а sttbca пieг spacing wl1ich is set equal to subCa1тie1-Spac i11gC0111111011 .
Within Fгequency Range 2, subCmтie1·Spac i11gC0111111011 can Ье set to either 60 ог 120 kНz, while the SS/PBCH can use subcarricr
spacings of 120 01· 240 kНz
о Fi gшe 11 О illн s tгates tvvo examples of the Re soшce Block and s ubcaп·i e г offsets fог F геqн е псу Raп ge 2. The fiгs t example is
based нроn s11b Ca1тiaSpaci11gC0111111011 = 60 kНz, wl1ile th e seco11d example is based upon sub CmтiaSpac i11gC0111111 0 11 = 120
kН z . In both cases, the s ubcarгi e г offset has а гan ge from О to 11

* The ARFCN app1·oac l1 to s p ec ifyiп g the position of 'Point А ' геqнiгеs tl1e Base Sta tioп to signal an intege1· \Vitl1in the гan ge О to
3279165. Thi s геqнiгеs 22 bits so is too laгge to Ь е accommodated Ьу th e МIВ Ьнt с ап Ь е pгovid ed Ьу SIВ I ог Ьу dedicated sig11alii1ig.
In tl1is case, tl1 e ARFCN is being нsed to i deпti fy а fi·equeпcy at tl1 e lo weг side of tl1e ch a 1ш el ba11d\vidtl1 гath e 1· than а fгеqнеп су at tlie
ce nteг of the channel band width

114
 5G NR in BULLETS

c ommon Resource Blocks ba sed upon а subcarrier spac ing = subCarrierSpacingComm on

kssв ьa sed upon subcarrier spa cing defined Ьу subCa rrierSpacin gCommon in Freque ncy Ran ge 2 55/РВСН
Subcarrier Spacing = 120 kHz
subCarrierSpacingCommon extra ct ed fro m MIB
kssв ext ra ct ed fro m MIB
k558 bosed upon 60 kHz k 558 = 2
offsetToPointA extra cted from SIBl
subcar ·ier spacing

[~liJ~lil41516171 81~§ 11
соттоп Resaur~ Block О Соттап Resource Block N

SS/PBCH
Subcarrier Spacing = 240 kHz

k558 based ироп 120 kHz k,sв = 2

subcarrier sp acing

о 1 з 4 5 6 7 8 9 10 11

Сот то п Resaurce 8/ack О Сатт оп Resource 8/ock N

= l=i=o11 1 2 1 з 1 4 15 1 б 1 7 1в 1 9 , 10 111 [ ]

Co mm on Reso urce Blo ck s

subCarrierSp acingCommon = 120 kHz in thi s exa mpl e Co mm o n Resourc e Block = offsetToPointA

Fi g ш·e 110 - Examples of R es oш·ce Blocl< а шl S ubc a пi e 1· Offsets fo1· F1·equ e11cy Ra11ge 2

* Т \1 е comp\ete set ofCommon Re s o шce Blocks may not Ье L1sed fо г t гa n s mi ss i o n . Co n s id e г an example ofthe 20 MHz channel
ba11dwidtl1 ,vl1ich accommodates 106 Commo п Res o шce Blocks wl1e11 t1sing tl1e 15 kHz S llb caiт i eг s p ac iп g (il1L1 s t гa te d iп F i gшe 111 ).
T\1esc 106 Commo11 Res o L1гce Blocks аге eqt1i val e11t to 53 Common Res o шc e Blocks wh e п t1si11g tl1e 30 kНz st1b ca 1тi e г spaci11g.
Ho,veve1·, 3GPP TS 38. 104 specifi es that t\1e 20 MHz clia1111el ba11dwidtl1 са п accommodate up to 51 Res ouгce Blocks \v\1e11 L1Si11g tl1e
30 kHz s t1 bcaiт i e г spac i п g . Tl1is m ea п s tl1at C ommoп Res oшce Blocks О апd 52 гe m a i n L111 н sed . Simi lai·ly, 3GPP TS 38. 104 specifies
t\iat tl1e 20 MHz cl1annel b a п d,v i dt h са п acc onшюd a te Li p to 24 Res oшc e Blocks \vl1en L1si ng tl1e 60 kН z s t1 bc a п· i e г spacing. Tl1is
111 с ш1 s tliat Co mmoп Re so шce Blocks О а пd 25 гe ma in н n 11 s ed

15 k Hz 4 1 5 6 1 7 8 1 9 10j 11 12 j в 1;r 98 99 100 101 102103104105

З0kHz 2 з 4 5 6 7
-- - - - ~--+---~--~1-----'------т'---~-- -
49 50 51 52
~-----+- - -~ - -~"---- --- ---·
б0kHz о
• - --- ------ --- ----- - -'--
1
- -- - - - - - ' - --
2 з
- - - ~ - -- - - -
24- - -~ ------- --25-------- --· '
: Referenc e Point 'А'
Subcarrier О of Сот топ Resource 8/o ck О

Figш·e 111 - Example of u11нs e d Common Resoul'Ce Blocl<s

* S!В I p юv i des the F1 ·eq11ency/11foDL-SIВ рагаmеtег stп1ctшe pгeseпted in ТаЫ е 38 . This para meteг s tгllctшe in c lнd es ап ins ta п ce of
scs-Sp ec !ftc Ca, тie1'List fог each of the sнpp o rted 11L1merologies. Tl1e offsetT0Cштie1 · valt1e specifies the nнmЬ е г ofRe soшc e Blocks
bel\vee11 Poi11 t А and sL1bcaпi eг О withiп the lowest нsаЫе Reso шce Block. The cштie1-Вaш/}vidtl1 va lнe specifies tl1e nнmЬег of
Resoшce Blocks whicl1 а ге ava ilaЫ e fог tliat nнmerology

1~, ·eц11e11c1 ·/11/0 DL-SI В

offsetT0Poi11tA О to 2 199
scs -S p ec ifi cCaпi erL i st SEQUENCE ( 1 10 5 i11sta11ces)
offsetToCarri er О to 2 199
s нb ca п i e1·Spac i 11 g 15, 30, 60, 120 kHz
carri erBa11d\vidtl1 1 to 275

Та Ы е 38 - Pa 1·amete1· st1·uct111·e 11se1I to specify tlte set of u sa Ьl e Re s oш·c e Вloc l<s fo1· eaclt 1111111e1·ology
* Si111i lai· i11foгma ti o11 is prov icled \v i th iп SТВ \ fо г tl1e up li пk . A l teп1 at i ve ly, botl1 tl1e L1p li11 k апd do\v11 li 11 k i пfoпnati oп са п Ье pгov ided
t1si11 g ded icatecl s i gп a lli п g
* З GРР Re feгeпces : TS 38.2 11 , TS 38.2 12, TS 38.33 1

115
5G NR in BULLETS

2.3.2 BANDWIDTH PARTS

* А Bandwidth Part is а set of contiguotts Common Resoшce Blocks. А Bandwidth Part may inclttde all Common Resoшce Blocks
within the channel bandwidth, or а sttbset of Common Resoшce Blocks
* Bandwidth Parts are an important aspect of 5G becattse they сап Ье нsed to provide seгvices to UE which do not sttpport the full
channel bandwidth, i.e. the Base Station and UE channel bandwidth capabilities do not need to match. For example, а Base Station
cottld Ье configшed with а 400 МНz channel bandwidth, while а UE may only sttpport а 200 MHz channel bandwidth. In this case, lh
UE сап \;>е configured with а 200 МНz Bandwidth Part and сап then receive seгvices ttsing а sttbset ofthe total channel bandwidth е

* А UE сап Ье configured with ttp to 4 downlink Bandwidth Parts per carrie1· and ttp to 4 ttplink Bandwidth Parts per carrier. Only а
single Bandwidth Part per carrier сап Ье active iп each direction. А UE receives the PDCCH and PDSCH only within an active
downlink Bandwidth Part. А UE transmits the PUCCH and PUSCH only within an active ttplink Bandwidth Part. А UE сап complete
measшements oнtside the active bandwidth part bttt this сап reqttire the ttse ofMeasшement Gaps

* Figшe 112 illttstrates some example Bandwidth Part allocations for an operator ttsing 2 х 400 MHz RF carriers. These examples
illttstrate the flexibility wl1ich Bandwidth Paгts al\ow when configшing fгeqttency domaiп геsошсеs

о the first UE is assttmed to sttpport the complete 400 MHz channel bandwidth and inter-band Carrieг Aggгegation

о the second UE is assttmed to sttpport inter-band Carгier Aggregation bttt а maximttm channel bandwidth of200 MHz

о the third UE is assttmed to sttpport both inter and intra-band Caпier Aggregation with а max imttm channel bandwidth of200
MHz. This combination al\ows the UE to ttse all 800 MHz ofspect11.1m simнltaneoнsly, i.e. а single active Bandwidth Part per
Component Carrier
'
о the foнrth UE is also assнmed to sнррогt both inter and intгa-band Сапiег Aggregation. Howeveг, this UE is assttmed to sнрро11 а
maximнm channel bandwidth of 100 MHz and is configшed with mнltiple Bandwidth Pai·ts per Component Carrieг

о the fifth UE is assнmed to suppoгt only one of the two ope1·ating bands and а maximum chanпel bandwidth of200 MHz. Fo1· tl1e
pнrposes of tl1is example, the UE is allocated only а single Bandwidth Part to illн st rate that the set of allocated Baпdwidtl1 Parts clo
not have to cover the complete channel bandwidth

Operating Band 1 Operating Band 2

ИЕ 1 canfigured with:
400 MHz Carrier 400 MHz Carrier
2 Component Carriers
(inter-band Corrier Aggregation)
BWP0 BWP0
Sin gfe Bandwidth Part per Carrier

ИЕ 2 configured with:
400 MHz Carrier 400 MHz Carrier
2 Component Carriers
(inter-band Carrier Aggregation)
BWP0 BWPl BWP0 BWPl
2 Bandwidth Parts per Corrier
1 1

ИЕ 3 configured with:
200 MHz Carrier 200 MHz Carrier 200 MHz Carrier 200 MHz Carrier
4 Component Carriers
(intro & inter-bond Carrier Aggregation)
BWPO BWP0 BWP0 BWP0
Singfe Bandwidth Parts per Carrier

ИЕ 4 configured with:
200 MHz Carrier 200 MHz Carrier 200 MHz Carrier 200 MHz Carrier
4 Component Carriers
BWP BWP BWP BWP (intra & inter-band Carrier Aggregation)
BWP0 BWPl BWP0 BWPl BWP0 1 BWPl
О 1 2 3 Ир to 4 Bandwidth Parts per Carrier
1

400 MHz Carrier

l ИЕ 5 configured with:
1 Component Carrier
BWP0 1 Bandwidt/1 Part

F igш·e 11 2 - Ехашр l е allo cation 01· Сошро11епt Caпier·s and Baпd,vidtl1 Parts

* Withiп Figшe 11 2, the secoпd and thiгd UE арреаг to l1ave vегу s imil aг configшatioпs, i.e. botl1 UE аге coпfigшed with 2 х 200 MHz
Baпdwidtl1 Paгts \Vitl1i11 eac l1 operat iп g Ьапd. Tl1e second UE is coпfigшed \Yith 2 Component Саггiе,·s and 2 Baпdw idtl1 Parts per·
са~тiег, wheгeas tl1e tl1ird UE is confi gшed witl1 4 Со mроп е пt Саггi егs and I Bandwidtl1 Рагt ре,· Сапiег. This diffeгe пce i п
coпfigшation has implication s ttpoп some lo\veг leYel ргосеdшеs апd also tl1e RF peгfoгmance 1·e qнiгemeпts
о at the МАС lауег tl1 eгe is а HARQ eп tity fог each seгvi пg cell. The second UE which is coпfigшed with 2 Componeпt Carrier·s
woнld have 2 HARQ eпtities an d HARQ re-t1·ansmissions сап Ье switched between Bandwidth Paгts Ьу dynamically changiпg tlie

116
 5G NR in BULLETS

ctive Band,vidth Part (field within the PDCCH DCI сап Ье used to change the active Band,vidth Part). The tl1ird UE wl1ich is
~onfiguгed with 4 Соmропепt Carriers ,voнld have 4 HARQ eпtities апd HARQ гe-transmissioпs caпnot Ье s,vitched bet\veeп
Component Carriers

0 RF peгformaпce reqнirements sнch as out-of-band emissions are specified per сапiег гather than рег Bandwidth Part. This means
tliat ,11 е second UE has to achieve its RF гequiгements at the edge of each 400 MHz carгie1·, ,vhile the thiгd UE l1as to acl1ieve its
RF гequirements at the edge of each 200 MHz carrier
А UE t1ses а п 'Initial' Baпdwidth Рагt wheп fiгst accessing а cell. The Iпitial Downlink Bandwidth Part сап Ье sigпalled within SIВ 1
* sing the initia/Do1v11/inkBWP parameter structнгe presented in ТаЫе 39. This paгameter stп1ch.1гe uses the locatio11AndBa11d111idtl1
:~formation elemeпt to specify the set of contiguoнs Commoп Resoшce Blocks belonging to the Initial Downliпk Bandwidth Part. The
valt1e is coded нsing Resoшce Iлdication Valнe (RIV) rules with NJlfri = 275 (these п1les are described iп section 3.6.4.2.2 within the
coпtext of allocating Resoшce Blocks for the PDSCH). The RBstar·t valнe which is derived from the locatio11A11dBanclн 1 idtl1 valнe is
added to tl1e offsetToCштieг value presented in ТаЫе 38, i.e. the starting position ofthe Bandwidth Part is relative to the first t1saЫe
R esoнrce Block. The i11itia/Do1v11/i11kBWP paгameter st11.1cti.1гe also specifies the sнbcarrier spacing to Ье нsed for the Bandwidth Part
and provides the UE with cell level iпformation fш receiving the PDCCH and PDSCH

i11itia/Oo11•11/i11kBIVP
b1vp-Co111111011 geпericParameters locatio11A.11d8andwidtl1 О to 37949
subcarrierSpaciпg 15, 30, 60, 120 kНz
cyclicPrefix extended
pdccl1-ConfigC0111111011 SetupRelease {PDCCH-ConfigCommoп}

pdscl1-Co11 figCommoп SetнpRelease {PDSCH-Co11figCommo11}

ТаЫе 39 - Pai·aшeter stп1cture used to configш·e an lnitial Do,vnliпk Ba11d,vi1ltl1 Pa1·t

* Tl1c i11itia/Do нl/1linkBWP parameteг strt1ch.1re сап also Ье pюvided to the UE нsiпg dedicated signalling. Ifthe paгam e te1· strt1ctшe is
1101 pгovided to а UE theп the Initial Dowпlink Baпdwidth Рагt is defined Ьу the set ofResoшce Blocks belonging to the Сопtгоl
ll es oнrce Set (CORESET) fог the Тур е О PDCCH Common Seaгcl1 Space. Tl1ese Resoшce Blocks сап Ье dedt1ced fr·om information
1vitl1i11 tl1e МIВ
* l11fo гmatio11 гega гdiп g tl1e Iпitial Upliпk Ba11dwidtl1 Рагt с а п also Ь е si gпalled ,vitl1in SIB I ог Ьу 11sing dedicated s i gпalliпg

* Tl1e Base Station са п н sе dedicated s i gn a lliп g to co пfi gш·e t1p to 4 D owпliпk B aпd w idth P a гts р е г cell апd trp to 4 U pliпk Ba пd,v idtl1
Pai·ts р е ,· cell . The pa1·a mete1· s t11.1 c llлe н se d to co nfi gшe а D owпliп k Ba пd w idtl1 Par·t is pr·ese пted iп ТаЫ е 40. Tl1e Iпitial B a пd,v i d tl1
Рш·t is ге fеге п се d t1 s iп g ап identity of0, wl1 e гe a s otheг Baпdwidtl1 Par·ts а ге allocated an ideпtity ,vithiп tl1e 1·ar1ge I to 4

В ll'P-Do1mli11k

b1vp-!d О to4
Ь1vр-Сш11111011 geпericParameters locatio11And8andi1vidф О to 37949
sнbcarrierSpacing 15, 30, 60, 120 kН z
cyclicPrefix exteпded

pdccl1-ConfigCommon SetttpRelease {PDCCH-CoпfigCommon }

pdscl1-Co11figC01111non SetupRelease {PDSCH-Co11figCommo11}

b1vp-Dedicated pdcch-Coпfig SetupRelease {PDCCH-Coпfig}

pd scl1-Coпfig Sen1pRelease {PDSCH-Config}

sps-Coпfig SetнpRelease {SPS-Coпfig}

radioLi11kМoпitori11gConfig SetнpRelease {RadioLi11kМ011itori11gC011fig}

ТаЫе 40 - Para111ete1· structш·e нsed to configure do,v11li11k Band1vidtl1 Pa1·t

* lп tl1e case of TDD, an Uplink and Downliпk Baпdwidth Рагt witl1 the same Ьнр-/d shaгe the same сепtе1· fгeq11ency
* Tlie Base Sta tioп сап dyпamically switch the Active Baпdwidth Рагt нsiпg the Ba11d111idt/1 Рш·t /11dica/01 · fi eld ,vitl1i11 DCI Foпna ts О 1
а щl 1_ 1. Tl1e s,vitchiп g ргосеdше is поt iпstaпtaп eotts so the Base Statioп саппоt allocate resoшces immediately afte,· chaп giпg the -
Acti ve B,111d1viclth Part. Tl1e s,v itc l1iп g delay is specified witl1i11 ЗG РР TS 38.1 33
* А UE сап also Ье coпfigшed \Vitl1 а Defat1lt Dowпliпk Baп clwidtl1 Pai·t (ideпtified lls iпg cle/a11/1D0 11 11/i11k8 fVP-!cl ,vl1icl1 po iпts to оое
1

or tl1e coп figшed Ьн,р- iс/ valt1es). If а UE is по t explicitly pгov ided ,vitl1 а De faнl t Do,v11 liп k Baп dwid tl1 Рагt th eп it is assнmecl to Ье
tlie Initial Do,vпliп k B aпd widtl1 Ра гt
* lf а UE is coпfi gшed ,vitl1 а b1vp-!11acti\lily Ti111eг tl1e11 tl1e UE switcl1es back to tl1e D efaнlt Do,vпliпk B aпd width par·t a fteг the
111activi ty ti111eг has expiгed while нs iпg а 11011-De faнlt Downlink Ba11d\vidtl1 Ра гt
* З GРР Refeгeпces : TS 38.2 11, TS 38.2 13 , TS 38.331 , TS 38 .1 33

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5G NR in BULLETS

2.3.3 PHYSICAL RESOURCE BLOCKS

Physical Resoшce Blocks (РRВ) are the Resource Blocks belonging to а Bandwidth Part. They are numbered from О t1pwards, starting
* from the lower side ofthe Bandwidth Pait. Each Bandwidth Part has its own set of Physical Resource Blocks. The Physical Resoщ·ce
Block number is related to the Common Resource Block number using the expression:

where, ncRв
\,
is the Common Resource Block number, nPRB is the Physical Resource Block numbeг and NJt:JИ, is the Common
Resource Block where the Bandwidth Part starts
* Figшe 113 illнstrates the Physical Resource Blocks belonging to some example Bandwidth Parts. This example assumes that each
Common Resoшce Block О belongs to а Bandwidth Part, i.e. each Common Resoшce Block О coiлcides with а Physical Resource
Block О . As stated in section 2.3.1, Common Resource Block О is лоt always used and may not Ье associated with а Bandwidth РаГi
nor а Physical Resource Block

Сот топ Resource 8/ock О Сот топ Resource Block О

PointA / Point А ,,,
) RF с,,,;е, 1 1 / RF Саггiег 2

i1111111111111111111111111111111111111111111111 1

Bandwidth Part О /\ Bandwidth Рагt 1 \

111111111111111111111111 1 ~~~
► ► ► ►

Physica/ Resource Block О Physica/ Resource Block О Physical Resource 8/ock О Physica/ Resaurce 8/ock О

Figш·e 113 - Pl1ysical Resoш·ce Blocks belonging to Band,vidth Parts

* 3GPP References: TS 38.211

2.3-4 VIRTUAL RESOURCE BLOCKS

* UE аге allocated Virtual Resoшce Blocks (VRВ) when гeceiving PDSCH ог PUSCH resoшce allocations on the PDCCH. These
Viгttial Resoшce Blocks аге sнbsequently mapped onto Physical Resoшce Blocks
* In the нplink direction, а ' non - inteгleaved ' mapping is always нsed between the allocated Viгttial Resoшce Blocks and the actt1al
Physical Resoшce Blocks on the PUSCH. This means that Viгttial Resoшce Block ' n' maps onto Physical Resoшce Block 'n ' , i.e.
Virtual Resoшce Blocks аге the same as Physical Resource Blocks
* In the downlink direction, а ' non-inteгleaved ' mapping is always applied ifResoнгce Allocation Туре О is used to signal the allocatio11
ofViгtual Resoшce Blocks on the PDCCH (Resoшce Allocation Туре О is descгibed in section 3.6.4.2.1). IfResoшce Allocation Туре
1 is нsed then the mapping from Virtual Resoшce Blocks to Physical Resoшce Blocks can Ье either ' non-inteгleaved ' ог ' interlcaved'
* The ' interleaved' mapping mнst Ье configшed Ьу the RRC lауег before it can Ье н sed. Once it has been configured, tl1e 'VRВ to PRB
Mapping' field within DCI Formats 1_ О and 1_ 1 can Ье нsed to indicate whether or not the ' inteгleaved' mapping shoнld Ье applied.
Section 3.6.4.2.2 describes the inteгleaving fiшction нsed to map Viгttial Resoшce Blocks onto Pl1ysical Resoшce Blocks
* 3GPP Refeгeпces: TS 38.211 , TS 38.212, TS 38.331

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 5G NR in BULLETS

CHANNEL BANDWIDTHS
2.4
TI Base Station channel bandwidth s uppoгt s а single RF са ггiег at the Base Station. The UE channel bandwidth сап Ье equal to, ш
* le;; than tl1 e Base Statioп channel bandwidth
TI channel bandwidt/1s for Frequency Range 1 (450 MHz to 6 GHz) ai·e presented in ТаЫе 41. Chann el baпdwidths range from 5
* M~z to 100 MHz. The 5 MHz cha1111el bandwidth is only applicaЫe to the 15 arid 30 kНz subcarrier spaciпgs, whereas chann el
baridviidths greater tlian 50 MHz аге only applicaЫe to the 30 and 60 kНz suЬсаггiег spacings
Т Ые 4 1 pгese nts the пumb er of Physical Resource Blocks associated with each channe l bandwidth and the corresponding spectrum
* ;.l isation. l11 gепегаl, the spectrum utilisatioп is higher than 4G wheп makiпg а li ke-for-like comparisoп. For example, iп the case of
~~ the 20 MHz chanлel baпdwidth suppoгts 100 Resource Blocks w ith а 15 kНz sнbcarrieг spaciпg. These 100 Resoнrce Blocks
с;нру 18 MHz of spectrum which гesнlts iл а 90% utilisation. The equival eпt figшe for 5G is visiЫe in ТаЫе 41 as 95.4 %. 111 the
~asc of tlie 5 МНz chanпel bandwidth and th e 15 kНz st1bcaпier spaciпg, 4G and 5G have eqнal spectn1m utilisatioп, i.e. both
teclino logies sнpport 25 Resoшce Blocks. 50 s нpports p arti cнlarly hi gl1 spectrum t1tili sation for the higher channel bandwidths, i.e.
cxceecliпg 98 %
* Tli c high spect ruin нtilis at i on means that Physical Resoшce Blocks are positioned гelatively close to the edge of the cliannel
ba rнliv idth . Filters аге reqt1i1·ed to e n sшe that the vast majority of t1·a11smit роwег гemaiпs witl1in the с h ап п е l ba пdwidt/1 , i.e. the high
spectrtim н t ili satioп does not mеап that increased levels of нnwa nted em i ssioпs аге permitted ot1 tside the channel bandwidth

Base Sta ti o11 Cliar111e l Ba11d\vidt l1 (MH z)

S нbc arric r М е tп с
Spaci11g 5 10 15 20 25 30 40 50 60 70 80 90 100
PRB 25 52 79 106 133 160 2 16 270
MHz 4.50 9.36 14.22 19.08 23 .94 28.80 38.88 48.60
15 kHz - - - - -
% Ulil. 90.0 93.6 94.8 95.4 95.8 96.0 97.2 97.2
Guard (kHz) 242.5 3 12.5 382.5 452.5 522.5 592 .5 552.5 692.5
РRВ 11 24 38 51 65 78 106 133 162 189 2 17 245 273
MH z 3.96 8.64 13.68 18.36 23.40 28.08 38.16 47.88 58.32 68.04 78. 12 88.2 98.28
10 kH z
%Util. 79.2 86.4 9 1.2 91.8 93.6 93.6 95.4 95.8 97.2 97.2 97.7 98.0 98.3
Gtra rd (k Hz) 505 665 645 805 785 945 905 1045 825 965 925 885 845
РRВ - 11 18 24 31 38 51 65 79 93 107 121 135
MH z 7.92 12.96 17.28 22.32 27.36 36.72 46.80 56.88 66.96 77.04 87. 12 97.20
60 kl-l z
% Uti l. 79.2 86.4 86.4 89.3 91.2 9 1.8 93 .6 94.8 95 .7 96.3 96.8 97 .2
Gtrard (kHz) 1010 990 1330 13 10 1290 16 10 1570 1530 1490 1450 14 10 1370

Та Ые 41 - C hannel Band,vidtl1s fo1· Freque11cy Range 1 (450 MHz to 6 GHz)

* Tl1e chanпe l bandwidths fог Freqt1e11cy Range 2 (24.25 GHz to 52.60 GHz)are pгesented iп ТаЫе 42. Cl1annel baпd\vidths га п gе fю m
50 MHz to 400 MHz. The 400 МНz cl1a11nel bandwidtl1 is only app li caЫe to the 120 kНz s нb carr ieг spaciпg. It is expected that 3GPP
1vill add laгge 1· c liaппe l bandwidths afteг the гe l ease 15 veгsion ofthe s pecificatioп s. Iп the case ofFгeqнency Raпge 2, the spectп1m
ttt ili sa tioп is 95 % fог all cl1an11el bandwidths апd st1bc aп· i er spac iпgs

S11bcarri er Base S t atioн Cliar ш el Ba11d1vid1l1 (MH z)

Me1ric
Spaci11 g 50 100 200 400
РRВ 66 132 264
MHz 47.52 95.04 190.08
60kHz -
% 95.0 95.0 95.0
Gtrard (kHz) 12 10 2450 4930
Pl~B 32 66 132 264
MHz 46.08 95.04 190.08 380. 16
120 kН z
% 95.0 95.0 95.0 95.0
Gllard (kHz) 1900 2420 4900 9860

ТаЫе 42 - C hanпel Baщl,vidths for· Fгe q11enc y Range 2 (24.25 GHz to 52.60 GHz)

* ТаЫе 41 and ТаЫе 42 pгesent tl1e gнагd band reqt1i1·eme11ts associated w ith each сhаппеl baпdwidt/1 . Tl1ese gнагd band гeqнiгemeпts
liai,e Ьееп ca l cнlated t1 si11 g the follow iп g equatioп:

[Channel Bandwidth (kH z) - (12 х PRB х SCS) ] scs

Guard Band (kHz) = 2 2

119
5G NR in BULLETS

where, ' РRВ' is the numbeг of Physical Resource Blocks within the Channel Band,vidth and 'SCS ' is the subcarrier spacing. The
value of SCS/2 is subtracted Ь есанsе all channel bandwidths have an even number of sнbcarriers. An even nнmber of subcarriers
means that the central point is between two subcaпiers, whereas in reality the center freqнency ofthe channel corresponds to the
center frequency of а specific subcarrier. This means that there are 'N- 1' subcarriers to one side of the central subcarrier and 'N'
subcarriers to the other side of the central sнbcaпier. The resultant patte гn is illustrated in Figure 114 (section 2.5. 1)
* Та Ь! е
41 and ТаЫе 42 indicate which channel bandwidths сап Ье н sed within each Freqн e ncy Range. 3GPP also specifies а specifi,; srt
of channel bandwidths for each opeгating band. These channel bandwidths are presented in ТаЫе 24 and Та Ь!е 26 within section 1.19_2
* An initial and optimistic view ofthroughput can Ье quantified based нроn the Resource Block allocations presented in ТаЬ! е 41 and
ТаЬ!е 42 ~These figшes are not rea listic but indicate the absolute нрр еr limit for max imшn throughput. ТаЬ!е 43 presents а set of
results for Frequency Range I assuming а single MIMO layer, the normal cyclic prefix, а coding rate of 1 and zero oveгh ea d from the
control channels and reference signals. These figures can Ье scaled upwards Ьу factors of2, 4 and 8 for 2 х 2, 4х4 and 8х8 MIMO
respectively

Subcarrier Base Statio11 Cl1a1111el Ba11d,vidth (MHz)

Mod11latio11
Spaci 11g 5 10 15 20 25 30 40 50 60 70 80 90 100
QPSK 8.4 17.5 26.5 35.6 44.7 53 .8 72.6 90.7
1 6QАМ 16.8 34.9 53.1 71 .2 89.4 107 .5 145 .2 18 1.4
15 kНz - - - - -
64QАМ 25.2 52.4 79.6 106.8 134. 1 161 .3 217.7 272.2
256QАМ 33 .6 6,9.9 106.2 142.5 178.8 2 15 .0 290.3 362.9
QPSK 7.4 16. 1 25.5 34.3 43.7 52.4 71.2 89.4 108.9 127.0 145.8 164.6 183.5
1 6QАМ 14.8 32.3 5 1. l 68.5 87.4 104.8 142 .5 178.8 2 17.7 254 .0 29 1.6 329.3 366.9
30 kН z
64QАМ 22.2 48.4 76.6 102.8 13 l .0 157.2 2 13.7 268. 1 326.6 38 1.0 437.5 493 .9 550.4
256QАМ 29.6 64.5 102. l 137. l 174.7 209.7 284.9 357 .5 435.5 508.0 583 .3 658.6 733.8
QPSK 14.8 24.2 32.3 41.7 5 1. l 68.5 87.4 106.2 125.0 143.8 162.6 181.4
1 6QАМ 29.6 48.4 64.5 83.3 102. 1 137. 1 174.7 2 12.4 250.0 287.6 325.2 362.9
60 kН z -
64QАМ 44.4 72.6 96.8 125.0 153.2 205.6 262 .1 3 18 .5 375.0 431.4 487.9 544.З

256QАМ 59. 1 96.8 129.0 166.7 204.3 274.2 349.4 424.7 500.0 575.2 650.5 725.8

ТаЫе 43 - Uppe1· limits for Pl1ysical Layer Tl11·011gl1p11t ре1· MJMO layer (Mbps)
(no1·ma l cyclic p1·efix, a ll Resou.-ce Elements t1·ansfe1· data, codiпg rate 1, F1·eq11e11cy Raпge 1)

* Similat·ly, ТаЬ! е 44 pt·esents а set of гes нlt s fог Fгeqнe n cy Range 2 ass н m in g а s iп g l e M IMO l ауе г , tl1e normal cyclic prefix, а codi ng
га tе of I а пd zего ove1·l1ead fгom tl1e со пtюl chaппel s а пd геfе геnсе signals. These fi gшes сап Ь е sca led t1p wards fог mt1lti - l ayeг
MIMO tгaп s missioп

Sнbcarri er Base S1at io11 Сlшшеl Bш1d\\' icltl1 (MH z)

Merric
Spaci11g 50 100 200 400
QPSK 88.7 177.4 354.8
16QАМ 177.4 354.8 709.6
60 kНz -
64QАМ 266.1 532.2 1064.4
256QАМ 354.8 709.6 14 19.3
QPSK 86.0 177.4 354.8 709 .6
16QAM 172. 0 354.8 709.6 14 19 .3
120 kН z
64QAM 258.0 532.2 1064.4 2 128.9
256QAM 344. 1 709.6 14 19.3 2838.5

Та Ые 44 - Uppe1· limits for· Physica l Laye1· Tl11·ou ghput ре1· MIMO layer (М Ьр s)
(normal cyclic p1·efix, all Reso111·ce E l eme пts tra11sfe1· data, codiпg 1·ate 1, Frequency Range 2)

* Nо п е of th e taЬ! es iп tl1i s sectioп inclt1de tl1e 240 kНz s11bcaгri er spacing. T l1e 240 kHz s t1bcн1тier spacing is опlу app l icaЬ! e to tl1e
Sy п c l1 гo пi s at i o п S i gп a l s
/ Pl1ysical Bгoa d cas t С l1 аппе l (SS/PBCH) B lock so is по t diгectl y assoc iated ,vitl1 а specific с l1 а пп е l
bat1d\vidtl1. Tl1e 240 kl-Jz sнЬ сапiег spaci11 g is specifi ed tог tl1 e SS/P BCH b e l oпg iп g to Fгeqt1eпcy Ran ge 2 so is iпdiгectly liп ked to tlic
l a гge t· с l1апп е l band\vidtl1s

* 3GPP Refe1·e п ces: TS 38.2 1 l, TS 38.2 12, TS 38.33 1

120
 5G NR in BULLETS

FREQUENCY RASTER
2.s
fi·e qн e n cy centeг fre qн e ncie s а а fгeqнen cy гas t e r
* J011i k~z woнldraster defines the spacing between the allowed of transmission . For exa mple,
allow signals to Ье transmitted нs ing centeг fгeqнencies of 1940.1 MHz, 1940 .2 MHz, 1940.3 MHz, etc
of

40 н s es а single freqн en cy гas ter for tl1e ch a nл e l band\vidth, the S ynchгoni s ati o r, Signals and the РВСН . This is p oss iЫe Ьеса н sе the
* S ,iclironisation Signals and РВСН are always pos1t10ned at_the center oft~e ch_ann_el bandw1dth, 1 . е . there 1s а one-to-one relat10nsh1p
b~t,veen tlie position oftl1e channel bandw1dth and the pos1t10n ofthe Syncшoш satюn S1gnals and РВСН. The freqнency raster нsed
Ьу 4G is 100 kHz and is known as the ch anл el гas ter

1 tlie case of 5G, sep a гa te frequency rasters have been specified fог the c h anл e l bandwidth and the Synchronisation Signals / Physical
* ~1roadcast Charшel (SS/PBCН) Block. The channel гаstег has relatively l1igh resolнtion to allo\v flexiЬility when configшing the
osit ion of tl,e channel \Vithin the a\located sp ec tгum. The SS/PBCH Block raste г (kпown as tl1e synchюni sa tion га s tе г) has relati vely
f0 , 1, resolution to гeduce the number ofpositions which а UE must check when completing а band scan, i.e. the Ьапd scan procedшe
becomes taster and more efficient
Havirig separ·ate channel апd sy11chronisation гas te rs means that the position ofthe SS/PBCH Block within the chanпe l bandwidth is
11xed . \1/itl1 t\1e exception of the smalle1· channel bandwidths th e гe is а choice of SS/PBCH Block positions within the с h а пп е l
11 0 1
barid,vidtl,. Cells н s i n g l а гgе г c\1annel bandwidths can tгa n s mit mнltipl e SS/PBCH Blocks di s tгibuted across the c h a пn e l bandwidth

2.5.1 CHANNEL RASTER

* Tlic c liar1 п e l гаs tег de fiп es tl1e spacing between tl1e allowed c e пte r ft·e qu e п c ies of а channel. The ce пter f1·eque11cy defin es the fге qн е п с у
or а specific sub caп i e г , i.e. one sнЬ саггi е г is selected to Ь е tl1e ' ce11t1·al' s ub ca rтi eг . А \1 channel bandwidths have an е vе п nнmb e r of
щ Ь с а г г i е гs ( 12 х пumЬ ег o fRes oшce Blocks) so it is not p oss iЫ e to have an eqt1al nнmЬ е г of s t1b ca гri e 1·s e ithe г side of the ' се пtга l '
St1b c arтi er . Iп s te a d , the 'cent1·al' sнЬ са ггi е r has 'N' s нb ca гri e гs to one side, and 'N - 1' sнb ca rтi ers to tl1e otl1 eг side. This concept is
ill11 st1·ated iп F i gшe 11 4

Eve n numbe r of Reso urce 8/ocks in Cho nnel Bandwid th Odd numbe r of Resaurce 8/acks in Channel Bandwidt/1

1
1 .1 1 111

N
t
Subcarrie r О
(N - 1)
- - - - - -t- - - - -
N (N - 1)
Subcarrie rs Subcarrie rs Subcarrie rs S ubcarrier 6 Subcarrie rs
Ce nte r Fre que n cy Cente r Frequen cy

Figш· e 11 4 - Cent1·al s 11b caп i e1· fo1· еvе п and odd 1111шЬ е 1· of Resource Blocks 1vitl1in Cl1annel Ba11d,vidtl1

* З GР Р lias specified а global fi·equeпcy гаstег which is used as а fot1ndation fог the actual с hаш1 е \ raste гs. А channel гаs tег can i11clt1de
all fr·equencies belonging to the global fгe qu e n cy гаstег, 01· а st1bset of the fгe qt1 e n c i es b e lon g iп g to the global fгeqt1 e 11 cy гаstег. The
global rгеq н епсу raster а п d the set of c h a пn e l гas te1·s аге illt1 s tгa te d iп Fi gшe 11 5

: Global Оtо З GHz З to 24.25 GHz 24. 25 to 100 GHz

Frequency 5 kHz Globa/ Ras ter 15 kHz Global Raste r 60 kHz Global Raster
Raster NR-A RFCN О to 5 99 999 NR-ARFCN 600 ООО ta 2 016 66 6 NR-ARFCN 2 016 667 to З 279165

111111111 1111111111111 11 1 1 1 1 1 1 1 1 1 1 1

1 in 3 frequencies used /го т the G/obo/ Raster

15 kHz Ch annel Ras ter
_ 1____ --- ------- 1__________________ , Operating bond п 4 1
-- ---- ------------- -
1 in 6 frequencies used /гот th e G/oba/ Roster
1 1 3 0 k Hz Ch annel Raster Opero ting bond п 4 1
· - - - -- -· · - - - -- - - -- - - · 1 in 20 fre quencies used /гот the G/obo/ Raster
100 kHz Channel Ras ter Operoting bonds nl, п2, п З, п5, п7 пВ, п12, п20, п25, п28, п34, пЗВ, п39, п40, п50,
п5 1 , п бб, п70, п 71 , п 74, п 75, п 76, п В О, nBl, п82, п ВЗ, п 84, п 86

а// frequencies
used /го т the G/obo/ Roster
15 kHz Ch an nel Raster Operoting bonds п 77, п 78, п 79

1 iп 2 frequencies used /го т t/1e G/obol Roster

30 kHz Chan ne l Raste r Operotin g bands п 77, п78, п 79

а // frequencies
used /гот the G/oba/ Roster
Operoting bonds п 25 7, п 258, п 2 60, п 261
1 in 2 frequencies used /гот t/1e Globa/ Raster
Operoting bands п257, п 258, п 260, п 261
F i gш· e
60 kHz Channe l Ras te r
1_'
12 0 kHz Сlюпп е/ Ras ter
_________________ !_'
115 - Clian nel 1·aste1·s based uр о п tl1 e Globa l F1·eq11 e11cy Raster

121
5G NR in BULLETS

* The global frequency raster is defined in 3 sections to allow the spacing between raster entries to increase for the high e г opeгating
bands. This helps to prevent the range ofNew Radio Absolt1te Radio Frequency Channe l Numbe1·s (NR-ARFCN) becoming too large.
Every entry within the global freqt1ency raster has an associated NR-ARFCN
* Figшe 115 illustrates that the global freqt1ency raster t1ses spacings of 5, 15 and 60 kНz, while the channel гasteгs use spacings of 15
30, 60, 100 and 120 kНz. With the exception of operating band n41, the 100 kНz rasteг has been allocated to all operating bands bel~iv
3 GHz. The benefit ofthis raster is improved coexistence with 4G. 4G uses а 100 kНz raster and specifying the same raster for both
technologies allows them to share the same set of center freqt1encies
* The 15, 30, 60 and 120 kНz channel rasters are kлown as subcarгier based rasters. These rasteгs provide the benefit of improved
compatibiJity with the subcarrier spacing. In paгticular, when using intra-band Carrier Aggregation, they allow а О Hz guard band
between Component Carriers
* The global frequency raster is used to c a lcнlate the NR-ARFCN according to the following eqt1ation and the set ofpara met e гs
presented in ТаЫе 45 (all freqt1ency based parameters are in MHz within the eqt1ation) :

NR-ARFCN = N RE F- O fТs + (Center Freqt1ency - F REF-O Пs ) / ЛFа1оьа 1

Frequency H.a11ge ЛFu 1оъ, 1 FREr-or,, (MH z) NREF-OIТ, R a н ge ofNR-ARFCN

О to 3 GHz 5 kHz о о О to 599 ООО

3 to 24.25 GHz 15 kН z 3 ООО 600 ООО 600 ООО to 2 016 666

24.25 to 100 GHz 60 kHz 24 250.08 2 01 6 667 2 О 16 667 to 3 279 165

Т а Ые 45 - Pa1·ameters 11sed to calc11late the NR-ARFCN

* The channel rasteг v.,iJI not use all 'N R-ARFCN valt1es if it опlу inclt1des а subset of the fгe qt1enci es b e lon g iп g to the global fгe qн e n cy
raster, e.g. ifthe global fi·eqt1ency га s tег is 5 kНz while the chann el raster is 100 kНz, th e NR-ARFCN will have а step size of 20
* The channel гa ste r and the associated set ofNR-ARFCN а ге pгe se пted in Та Ы е 46 for а st1bset of op e гa tin g bands

Operali11g Ba11d Лfciloь.1 1 ЛfRзsta Up link Bai1d (MH z) Do\\,11lir1k Ba11d (M Hz)
nl 100 kН z 384 ООО to 396 ООО , step 20 422 ООО to 43 4 ООО , step 20
n2 100 kН z 370 ООО to 382 ООО , step 20 386 ООО to 398 ООО , step 20
n3 100 kН z 342 ООО to 357 ООО , step 20 36 1 ООО to 376 ООО , step 20
115 100 kН z 164 800 to 169 800, step 20 173 800 to 178 800, slep 20
118 100 kHz 176 ООО 10 183 О О О , step 20 185 ООО to 192 ООО , step 20
1120 100 kHz 166 400 to 172 400, step 20 158 200 to 164 200, step 20
n38 5 kHz 100 kНz 5 14 ООО to 524 ООО , step 20
15 kНz 499 200 to 537 999, step 3
n4I
30 kНz 499 200 to 537 996, step 6
066 100 kHz 342 ООО to 356 ООО, step 20 422 ООО to 440 ООО , step 20
n70 100 kНz 339 ООО to 342 ООО , step 20 399 ООО to 404 ООО , step 20
n75 100 kНz 286 400 to 303 400, step 20
Not Applic aЫe
1176 100 kНz 285 400 to 286 400, step 20
15 kНz 620 ООО , to 680 ООО , step 1
n77
30 kНz 620 ООО , to 680 ООО, step 2
15 kН z
15 kНz 620 ООО to 653 333, step 1
1178
30 kНz 620 ООО to 653 332, step 2
n80 100 kНz 342 ООО to 357 ООО , step 20
5 kНz Not Appli c aЫe
118 I 100 kН z 176 ООО to 183 ООО , step 20
60 kНz 2 054 167 to 2 104 166, step 1
n257
120 kHz 2 054 167 10 2 104 l65,step 2
60 kНz
60 kHz 2 01 6 667 to 2 070 833, step 1
11258
120 kН z 2 О 16 667 to 2 070 83 1, step 2

Та Ы е 46- Cha11nel raster- a11d 1·a11ge of NR-ARFCN fo1· а s11b~et of o p c п1ti 11 g bands
* 3GPP allo \vs а special case f01· tl1 e St1pp l emeпta l Up li пk (SUL) а пd tl1e tt p liп k of FDD opera tiп g bands - ce11te1· fгeqt1 e 11 c i e s с а п Ь е
in c гeased Ьу 7.5 kHz. Tl1i s is ап optional offset wl1icl1 сап Ь е applied d epeпding t1po11 tl1 e deployment sсеп а гi о . The obj ecti ve oftl1is
7.5 kНz offset is to allo\v coex i steпce \Vit\1 legacy 4 0 t1plin k t гaп smissioп s . The t1pli11 k of 40 appli es а 7.5 kHz offs et \Vl1en geпeгat i пg
the SC-FDMA \vaveform to avoid hav i п g а О Hz sttbca tтi eг (also kл o\Vll as tl1 e DC st1b ca1тi er, 01· 11t1ll stt bcaпi e r) . Tl1e нpliп k of 5G
does п оt appl y tl1is offset wl1e11 geneгati п g its ,vavefoгm so а 7.5 kHz fгeqн ency sl1i ft is гeqнi1·ed to acl1ieve sttbcaпi eг a li gn meпt 1vitl 1
4G ( ass нmin g th at SG ttses tl1e 15 kНz s нЬ с а пi е 1· spac ing). Dy п a mi c S p ec t п.1 m S h aг in g \Vit\1 40 is d esc гib e d iп secti o п 17
* 3 OРР Rе fе ге п се: TS 38.104

122
 5G NR in BULLETS

SYNCHRONISATION RASTER
The synct1 гoпisatioп raster defiпes the set of allowed сепtег fгequeпcies for the Syпchroпisatioп Sigпal / Physical Bгoadcast Chaпnel
* SSIPBCH) Block. The SS/PBCH Block has а band\vidth of20 Resoшce Blocks and must Ье contained within the bandwidth ofthe
d( \vnlink cl1 aпnel. The SS/PBCH does not need to Ье Resoшce Block aligned w ith the do\vnlink channel but must Ье subcarrier
о 1·
aligпed to maiпtaiп orthogoпa 1ty

The с епtе 1 · fi'equeпcy of the SS/PBCH Block is defiпed as the freqнeпcy of sнbcarrier О beloпging to Resoшce Block I О . This
* defiпitioп is illнstrated iп Figшe 116. The SS/PBCH Block occнpies а total of 240 subcarriers iп the freqнeпcy domaiп so there аге 120
subcarriers below the ceпtral subcaпier апd 119 sнbcaпiers above the ceпtral sнbcarrier

Synchronisotion Signol / РВСН 8/ock Center

occupies 20 Resource 8/ocks
,,
о 2 8 9 1 10 11 12 13 14 15 16 17 18 19

Subcorrier0 belonging to 120 subcorriers below the centrol subcarrier

Resource 8/ock 10 is used to 119 subcarriers above the central subcarrier
►
define the center frequency Total of 240 subcarriers {20 х 12)

Figш·e 116- Central subcaпier belonging to Sy11cl11·011isatio11 Signal (SS) / РВСН Block

* Тli eSS/PBCH Block is used Ьу the UE dшing the initial cell seai·ch ргосеdше. А key reqt1i1·emeпt fo1· the iпitial cell search ргосеdше
is to miпimi se delay. This с а п Ье achieved Ьу defiпiпg а spa1·se syпcl1гoпisatio11 raster to limit the пнmЬег of fгеqнепсу domaiп
positioп s tliat а UE mнst seaгch fог the SS/PBCH Block

* Co11side1· tl1 e example of а 5 MHz сhаппеl b a пdwidth осснруiпg 25 Resoшce Blocks with а 15 kНz sнЬсаrгiег spaciпg апd нsiпg the
100 kНz с lшппеl гаstег. Figшe 117 illнstгa tes two coпsecнtive сhаппеl positio11s оп the 100 kHz сhаппеl гaster. It must Ь е possiЫe to
coпfi gшe а п SS/PBCH t1·aп s mi s sioп witl1i11 both cl1 a пл e ls . Tl1e ma ximнm possiЫe spaciпg is achieved wheп the SS/PBCH Ыосk is
located at tl1e lowe1· end of th e first chaпnel position, апd the нрреr end of the se coпd сhаппеl po s itioп. This leads to а m ax imнm
p o s s iЫ e sp ac iп g of I MHz

Channel Bandwidth =25 PRB =4.5 MHz

55/РВСН Bandwidth =20 PRB =3.6 MHz 900 kHz Raster position 'п '

1 MHz

100 kHz
55/РВСН Bandwidth =20 PRB =3.6 MHz Raster position 'п + 1'

Figure 117 - Cent1·al subcaпier belonging to Sy11ch1·onisation Signal (SS) / РВСН Block

* Tl1e solнtioп adopted Ьу ЗGРР is preseпted iп ТаЫе 47. А ceпter fгеqнепсу beloпgiпg to tl1e syпchronisatioп гаstег is identified Ьу its
Global Synclll'oпisation Chaпnel Nt1mbeг (GSCN), i.e. the GSCN is eqt1ivalent to the NR-ARFCN нsed Ьу the chaпnel raster. The
s yп cl11·onisation гаstег is defined in 3 sections to allow the spaciпg betweeп raste1· entries to incгe ase for tl1e higl1eг operating bands

* Fi gшe 11 7 illнstгates tl1at tl1e syпchronisation гaster shot1ld not l1ave а spacing g1·eater than I MHz when conside1·ing the 5 MHz
clianпel band,vidth. The 5 MHz channel bandwidtl1 is only sнppoгted withiп ope1·ating bands below 3 GHz so it is опlу necessary to
coп s ideг th e fiгst fгeqt1ency гange. This fгeqнency 1·апgе sнppoгts гaster eпtгies \Vhich аге spaced Ьу 50 kНz , 150 kHz and 250 kHz so
tl1e reqнi1·ement fог а maximttm spaciпg of I MHz is satisfied

* Tl1e fiгst freqнeпcy range t1ses both 'N' and ' М ' vaгiaЫes to calct1late the set of rasteг ent1·ies and tl1e corгespoпding GSCN. Tl1e
calcнlatioп s fог thi s fгеqнепсу 1·апgе are гe lative ly complex becat1se theгe is а 1·equiгement to sнppo1·t the 100 kНz channel rasteг. This
сl1аппеl гаstег poses ап additional challenge in terms of maintaining subcarгieг a li gпmeпt betweeп tl1e main chanпel and the SS/PBCH
because 100 kН z is not а mttltiple of 15 kНz. Opeгatiпg bands above 3 GHz do поt нsе the 100 kHz channel 1·asteг а пd so tl1is
additioп a l challenge does поt exist

1:rcq11c11cy IZai1gc SS/ PB CI-I Bloc k ~· ге q11 с 1 ку l'osi 1io11 l( ai1gc оГN IZa11gc оГ М GSCN l {ш 1 gc o Г GSCN

О to 3 GHz N х 1.2 MH z + М х 50 kH z 1 to 2944 \ , 3, 5 3N + (М -3 )/2 2 to 7498

3 to 24.25 GHz 2400 MHz + N х 1.44 MH z О to 14756 - 7499 + N 7499 to 22255
24.25 to 100 GH z 24250.08 MH z + N х 17.28 МНz О to 4383 - 22256 + N 22256 to 2663 9

Та Ы е 47 - Pa1·a111eteJ'S 11sed to ca \c11late tl1 e G lobal Sy11cl11·011isa tion Cl1 a1111el N шпЬ е 1· (GSCN)

123
5G NR in В ULLETS

* Figшe 118 illustrates the use of the 'N' and ' М ' va riaЫes to maintain st1bcaпier alignment between the main channel and the ss.
РВСН when using the 100 kНz channel raster. This example is based upon the 5 МНz channel bandwidth which accommodates 25
Resoшce Blocks occt1pying 4.5 МНz. The first channel raster entry has the SS/PBCH positioned to tl1e far right ofthe 4.5 МНz . In this
case the frequency offset between the center ofthe channel and the center ofthe SS/PBCH is (4.5 - 3.6 MHz) / 2 = 450 kНz . This is
mt1ltiple of 15 kНz so st1bcaпier alignment is achieved а
* The second channel raster entry shifts the channel Ьу 100 kНz. Ifthe first SS/PBCH position is re-t1sed then the freqt1ency offset
between the center of the channel and the center of the SS/PBCH wot1ld Ье 350 kНz. This is not а multiple of 15 kНz and so st1bcarri
alignment would Ье lost. Instead, the value of 'М' is increased from ' 1' to '3' to shift the SS/PBCH Ьу 100 kНz and thus maintain th:г
450 kНz [requency offset. Similarly, for the third channel raster entry the value of 'М' is increased fгom '3' to '5' to maintain the 450
kНz freqt1ency offset

* The fourth channel raster entry shifts the channel Ьу 300 kНz . ' М' cannot Ье increased fюm '5' to '7' but the original valt1e of ' 1, can
Ье re-used. In this case the freqt1ency offset between the center ofthe channel and the center ofthe SS/PBCH is 150 kНz . This is а
mt1ltiple of 15 kНz so subcarrier alignment is achieved
* This pattem contint1es t1ntil the channel raster has introdt1ced frequency shifts of 900, 1ООО and 1 100 kНz . In these cases, the SSIPBCH
is aligned with the lower edge ofthe channel bandwidth. This means that the next channel raster position (1200 kНz freqt1ency shift)
1·eqt1ires the value of 'N' to Ье incremented. Once 'N' has been incremented, the pattern repeats for the next 12 channel 1·aste1· entries

55/РВСН Center
Center
Frequencv Factors
Frequencv
5 MHz Channel Bandwidth => 25 PRB = 4.5 MHz t1 М x 50kHz Difference

55/РВСН
,i- ----~,~-·--~---------=l Bandwidth = 20 PRB = 3.6 MHz

100 kHz ' 1

►: [ 55/РВСН Bandwidth = 20 PRB = 3.6 MHz 'Х' 3 x 50kHz 450 kHz
200 kHz i -~~;;=::::;:
,~.::.,,.::,.:..:.;:_.,.:::.,,::_,--~====;;;.~..::,_;:.:;._::_:;..,
►: SS/PBCH Bandwidth = 20 PRB = 3.6 MHz 'Х' 5 х 50 kHz 450 kHz
·--------------------------------------·

300 kHz ~ ►1 r-"·:_-;_,--:_:~:_-s_s::;,,_P_B:_C:,H:_8:_a-n,d:_w:,.1~·d__1_h:,=:_2:0,:,P:,R-B___=:_3_._6:,M:_-H__z_____:_::"_.'

400 kHz i<I •I<-,-._-_---________--------________
55/РВСН
Bandwidth = 20 PRB = 3.6 MHz
----------------_--:._-_-:._--------~----_-_'-_...._
'Х' 3 х5 0 kHz 150 kHz

500 kHz 'Х' 5 x 50kHz 150 kHz

► SS/PBCH Bandwidth = 20 PRB = 3.6 MHz

600 kHz 'Х' 1 х 50 kHz -150 kHz

700 kHz ◄ SS/PBCH Bandwidth = 20 PRB = 3.6 MHz 'Х' 3 х 50 kHz -150 kHz

B00kHz ◄ SS/PBCH Bandwidth = 20 PRB = 3.6 MHz i

---1

-------------------------,
900 kHz ◄ -450 kHz '

1000 kHz 3 x 50kHz -450 kHz

1100 kHz ►1: SS/PBCH Bandwidth = 20 PRB = 3.6 MHz 5 x 50kHz -450 kHz

1200 kHz 'X+l ' 1 х 50 kHz 450 kHz

Figш·e 118 - Synchronisation J"aste1· e11t1·ies ,vhich шaintain sпbcaпiel" aligпшent ,vith 100 kHz clia1шel raste1·

* This example helps to highlight the planning гeqt1ireme nt s f0t· the GSCN . The GSCN s lюuld Ь е selected to en sшe tl1at:
о the bandwidth ofthe SS/PBCH is within tl1e tгa n s mis s ion bandwidth belonging to tl1e channel bandwidth
о Sttbcaггier a li gnment is achieved between th e SS/PBCH and th e Res oшc e Blocks belong ing to the cl1annel

* Retш11i11 g to ТаЫ е 47 , th e secoпd fi·eqL1 eп cy гan ge t1 ses а syпchгonisati oп 1·asteг sp ac iп g o f 1.44 MHz. Tl1e ope1·ati11 g baп cl s \v itl1i11 tl1is
fгe qL1 e п cy га п gе t1 se а 30 kНz s t1b ca 1тi e г s p ac iп g fо г tl1e SS/PBCH. Tl1is m ea п s tl1 at the SS/PBCH occt1pi es 7.2 M Hz, wl1ile tl1 e гe are
24 Reso шce Blocks s р аппiпg 8.64 MHz \V itl1iп а I О MHz с h а пп е l (tl1e ope1·ating b a п ds \vitl1in tl1e second f1·eqн e11cy гa n ge have а
miniпшm cl1 a пn e l ba п dwidtl1 of I О MHz гathe 1· tl1 aп 5 MHz). The 1.44 MHz 1·aste1· spac iп g is tl1 eп calcul ated as 8.64 - 7.2 = 1.44 MHz
* А s imil a г ca l clllati o п са п Ье compl eted for tl1 e tl1i1·d fгeqll eпcy шп gе based ttpon ап SS/PBCH Sllbcaпi eг spac ing of 120 kНz ge11eratiiig
ап SS/PBCH b aпdw idth of28.8 MHz. The 111ini111t1111 c h a пn e l bandw id tl1 witl1in tl1i s ft·eqL1 ency га п gе is 50 MHz whi cl1 in c l шles 32
Reso шce Blocks s р а ппiп g 46. 08 MHz w h e п assL1111in g the 120 kН z s ttb ca пi e г spac ing. The sy п c l1roпi sa ti o п гаs tе г spac iп g is then
cal cL1lated as 4 6.08 - 28.8 = 17.28 MHz

124
 5G NR in BULLETS

Ы 48 presents the SS/PBCH st1bcarri e1· spac ings ,vhicl1 are t1 sed for eacl1 operating band with in Freqt1 ency Range 1 (450 MHz to 6
* ~~z;. Operating bands n77, n78 and n79 belong to the second freq t1ency гange w ithin ТаЫе 47. The remaining oper·ating bands belong
to tl1e tirst fre qн e n cy range
, Ы . 49 pr·esents the SS/PBCH sнb c aпier spacings whi ch are t1sed for each op ei-at i п g band witl1in Fгeqt1 eп cy Range 2 (24.25 GHz to
* J;.б~ GHz). Iп this case, all operating bands сап нsе SS/PBCH sнbcaпier spacings of eitheг 120 or 240 kНz

Up e ratiп g Dнplex 1 Up li11k Вапd Do,v11li11k Ba11d SS/PBC H

Rai1ge ot' GSCN
Ва п d Mode (MHz) (MHz) SнbcarrierSpaci11g

111 1920 - 1980 2 11 0 -2 170 5279 to 54 19, step 1

n2 1850 - 1910 1930 - 1990 15 kН z 4829 to 4969, step 1

11 3 1710-1785 1805 - 1880 45 17 to 4693 , step 1

15 kНz 2 177 to 2230, step 1
n5 824 - 849 869 - 894
30 kНz 2 183 to 2224 , step 1

117 FDD 2500 - 2570 2620 - 2690 6554 to 67 18, step 1

n8 880 - 9 15 925 - 960 231 8 to 2395, step 1

11 12 699 - 7 16 729 - 746 1828 to 1858, step 1
1120 832 - 862 791 - 82 1 1982 to 2047 , step 1
1125 1850 - 19 15 1930 - 1995 4829 to 498 1, step 1
15 kHz
1128 703 - 748 758 - 803 190 1 to 2002, step 1
1134 2010 - 2025 5030 to 5056, step 1
1138 2570 - 2620 643 1 to 6544 , step 1
11 39 1880 - 1920 4706 to 4795, step 1
1140 23 00 - 2400 5756 to 5995 , step 1
TDD
15 kНz 6246 to 67 17, s tep 3
114 1 2496 - 2690
30 kНz 6252 to 671 4, step 3
n50 1432- 15 17 3584 to 3787, step 1
15 kНz
11 5 1 1427 - 1432 3572 to 3574, step 1
15 kHz 5279 to 5494, step 1
11 66 17 10 - 1780 2 110 - 2200
30 kН z 5285 to 5488, step 1
11 70 FDD 1695" 17 10 1995 - 2020 4993 to 5044, step 1
117 1 663 - 698 6 17 - 652 1547 to 1624 , step 1
1174 1427 - 1470 1475 - 15 18 l 5 · kНz 3692 to 3790, step 1
1175 1432 - 15 17 3584 to 3787, s tep 1
SDL Not Appli caЫ e
1176 1427 - 1432 . 3572 to 3574, step 1
1177 3300 - 4200 77 11 to 8329 , step 1
1178 TDD 3300 - 3800 30 kНz 77 11 to 805 1, step 1
1179 4400 - 5000 8480 to 8880, step 16

Та Ы е 48- SS/PBCH s ubcaпie1· spacings and GS CN ra п ges for F,·equeпcy Raп ge 1 (4 50 MHz to 6 GHz)

Opcm tiп g Dнplex Upli пkBaiid Do\\·11li11k Вш1d SS/PB C H

Rai1 ge оГ GSCN
l3aпd Mode (M Hz) (M Hz) SнbcarrierSpaci11g
1

120 kНz 22388 to 22558, step 1

11 257 26 500 - 29 500
240 kН z 22 390 to 22556, step 2
120 kН z 22257 to 22443, step 1
11258 24 250 - 27 500
240 kHz 22258 to 22442, step 2
TD D
120 kНz 22995 to 23 166, step 1
11260 37 ООО - 40 ООО
24 0 kНz 22996 to 23 164, step 2
120 kHz 22446 to 22492, step 1
1126 1 27 500 - 28 350
240 kНz 22446 to 22490, step 2

Та Ые 49 - SS/PBCH subcaп i eг spaciпgs and GSCN 1·anges fo,· Freq u eпcy Ra п ge 2 (24.25 GHz to 52.60 GHz)

125
5G NR in BULLETS

* It should Ье noted that operating band n4 l uses а GSCN step size of 3 rather than l. This results from operating band n4 l hav ing а
minimнm channel bandwidth of l О MHz rather than 5 МНz. Similarly, operating band n79 нses а GSCN step size of 16 rather than 1
This results from operating band n79 having а minimнm chanлel bandwidth of 40 MHz rather than 1О MHz ·
* The Supplemental Uplink (SUL) bands are not inclнded within ТаЫе 48 because tl1ese bands are only нsed for uplink transmissions
and do not include any SS/PBCH
* А single channel сап include multiple SS/PBCH transmissions distгibнted across the channel bandwidth. This could Ье applied when
the channel bandwidth is divided into multiple Bandwidth Parts. In that case, it is useful to have an SS/PBCH within each Band\vidth
Part Ьесанsе the UE uses the SS/PBCH for downlink measшements such as RSRP and RSRQ . The inclнsion ofmultiple SS/PBCH
transmissiQns coнld also help to reduce the cell search time
* The SS/PBCH transmissions used for the cell search procedшe are always positioned нsing the synchronisation raster, i.e. the
synchronisation raster defines the set ofpositions that а UE will check when completing а band scan. However, the SS/PBCH can alsl)
Ье tгansmitted at positions away from the synchronisation raster. These additional transmissions сап Ье used for other pшposes. For
example, а UE сап Ье provided with information regaгding the location of additional SS/PBCH when configшing а Measшement
Object for RRC Connected Mode measшements. These additional SS/PBCH сап then Ье нsed to trigger mobility procedшes. The
location ofthe additional SS/PBCH is signalled used an NR-ARFCN so the position follows the pattern ofthe global channel raster and
is not restricted to the GSCN frequency raster
* 3GPP Reference: TS 38.104, TR 38.817

126
 5G NR in BULLETS

ANТENNA PORTS AND QUASI CO-LOCATION

2.6
Tгansmissions shaгing the same antenna port expeгience the same propagation cl1anпe l . In some cases, it is important that t1·ansmissions
* sliai·e the same antenna рогt. In otheг cases, it is important that transmissioпs use different antenna ports. Examples include:
0 the PDSCH physical channel and its Demodulation Reference Signal (DMF.S) shaгe the same antenna р011. This allo,vs the UE to
dedнce the propagation channei from the DМRS and use that information to help decode the information conteпt fгom the PDSCH
0 МIМО is аЫе to transmit mнltiple parallel streams of data нsing the same time and freqнeпcy resoшces. This is made possiЫe Ьу
tгansmitting each stгeam оп а different antenna port to ensшe that each stream experiences а different propagation сhаппеl. The
receiveг is then аЫе to differeпtiate each stгeam and complete decoding
lt is important to diffeгeпtiate betweeп logical 'апtеппа ports' and physical 'аntеппа elemeпts'. Specific tгansmissioпs use specific
* апtепnа ports а пd theп those апtеnпа ports are mapped опtо опе ог mоге physical antenпa elemeпts. For example, the Synchroпisation
Sigпals, the РВСН апd the РВСН Demodнlatioп Reference Signal use апtеппа рог! 4000, i.e. all three transmissioпs share the same
апtеnпа рог! and so are tгansmitted sнch that they experience the same propagation channel. Antenna port 4000 is mapped onto а
specific set ofphysical a nteпna elements which гadiate across the aiг-inteгface
rn some cases, tt1e1·e is а oпe-to-one mapping bet\veen antenna port and physical antenna element. This may Ье done when using the
* lowe1· opeгating bands ,vhich do not гequire beamfoгming (beamforming гequires mнltiple physical antenna elements). As an example,
consider the case of а single cгoss-polar antenna нsed fог downlink 2х2 MIMO. In this case, the PDSCH and its Demodнlatioп
Reference Sigпals (DMRS) сап use anteпna ports I ООО and 1001. Anteпna port I ООО is mapped опtо one physical aпtenna element,
1vliile aпtenna port 1001 is mapped onto the other pl1ysical antenna element. This example is illt1st1·ated in Figнre 119

Fюm the UE p e гspective, tl1eгe are two downlink tгansmissions - one PDSCH and its DMRS associated with antenna рогt I ООО, and
* апоthег PDSCH and its DMRS associated 1vith anteпna ро11 1001 . Tl1e UE does поt гequiгe knowledge of wl1ich physical antenna
e l e m eпt s we1·e н se d for the two transmissions

х
ИЕ perspeclive

х Anlenna
port 1000

х Antenna
port 1001

Physical Physical
PDSCH& PDSCH&
DMRS for PDSCH antenna anlenna DMRS for PDSCH
Antenna рог/ 1ООО element О elemenl 1 Anlenna рог/ 1001

Figш·e 119 - Ехашрlе of one-to-one шappin g betlveeц antenna port and pl1ysical antenna eleшent

* !11 otheгcases, there is а one-to-many mapping between aпtenna port and physical antenna element. This may Ье dопе when using the
l1i gheг opeгating bands wl1icl1 requiгe beamforming. Beamfoгming нses mнltiple physical antenпa elements to diгect the downlink
tra n s missioп s towards а speci fic UE. This is typically achieved нsiпg an апtепnа апау consisting of mнltiple colшnns of cross-polaг
anteпna elements. This scenaгio is illнstrated in Figшe 120. Beamfoгming priпciples а1·е desc гibed in section 1.21.

/ х
х
/

х х ИЕ perspeclive

•
х ,, / Anlenna
рог/ 1000
/ х
х ,, /

: п
14
~ /

1
1
,~ ,
'j
о 5 2 6 P/1ysical antenna
PDSCH &
elemenls
DMRS for PDSCH

i r
Апtеппа рог/ 1ООО

Figure 120 - Example of one-to-many mapping betlveeп апtеппа po1·t а пd physical апtеппа eleшeпts

127
5G NR in BULLETS

* The example shown in Figure 120 illнstrates an antenna апау with 8 physical antenna elements (4 colшnns of cross-polar pairs). The
PDSCH and its DMRS are нsing antenna port l ООО which is mapped onto all 8 ofthe physical antenna elements. Using а relatively
large nнmber ofphysical antenna elements per antenna port increases the beamforrning gain and directivity. From the UE perspective
there is а single downlink transmission originating from antenna port 1ООО '

* Antenna ports сап Ье viewed as being virtнal Ьесанsе they represent the downlink transmission from the UE perspective rathe1· than the
actнal downlink transmission from physical antenna elements at the Base Station

* Another example of the mapping between antenna ports and physical antenna elements is illнstrated in Figшe 121 . This example is
based нроn an antenna апау being нsed for downlink 2х2 МIМО . In this case, antenпa ports I ООО апd 1001 are each mapped onto
mнltiple phys ical апtеппа elements. This provides beamforrniпg Ьнt with less gaiп and directivity thaп the example in Figure 120
Ьесанsе there are fewer physical апtеппа elements per aпtenna port

* From the UE perspective, the examples in Figure 1 19 апd Figure 121 are the same, i.e. in both cases, the UE receives апtепnа po11s
1ООО апd 1001. The beamformiпg helps to improve the liпk bнdget Ьнt is traпsparent to the UE, i.e. tbe UE does not reqнire апу
explicit knowledge ofthe beamf01mi11g at the Base Statioп

х
х ИЕ perspective
х Antenna
х port 1000

х Antenna
х port 1001
(

Physical antenna 0 4 1 6 3 7
elements

PDSCH &
DMRS for PDSCH
Antenna port 1001

Figш·e 121 - Exarnple of rnappi11g hvo a11ten11a po1·ts опtо rn11ltiple pl1ysical a11te11na elerne11ts

* So fa 1· this section has explained that tгa11 s111 i ss i ons s l1aгing tl1e same antenna рогt expe1·ience tl, e sa me гadio c haпn e l , whe1·eas
t1·a11s111 issions вsiпg diffeгeпt апtе пп а poгts ех р е 1· i епсе d i ffeгent гadio cl1 a11ne ls. Т l1еге аге a lso scenai·ios \V l1 eгe tгa 11 s111iss ion s t1si11 g
d iffe1·e11t апtе1111а pOl'ts exper i eп ce гad i o channels \Vhich share so me со111111011 c h aгacteг i st i cs. Iп this case, the ante1111a poгts ai·e said to
Ье Qнasi Co-Located (QCL)

* The radio chaпnel characteristics which may Ье comrnoп across different a11ten11a ports iп c lнd e {Doppler Sl1ift; Doppler Spread;
Average Delay; Delay Spгead; Spati al Receiver Parameteгs}. These аге knowп as ' large scale' 1·ad io с h ап п е l characteristics. 111
coпtrast, а пtепn а ports а ге always ass нm ed to have different 's mall scale' гa dio cl1a1111el c h a гac te гi s ti cs, i.e. diffeгe пt fast fading

* The term 'Spatial Receiver Parameters' гe fers to properti es assoc iated with the dowпliпk гeceived s i gп a l Aпgle of Arri va l (АоА) at tl1e
UE, e.g. domiпaпt АоА а пd average АоА

* ЗGРР iпtгodнced the сопсерt ofQCL to help the UE with its сhаппеl estima tioп, freqвeпcy offset es tiшatioп апd synchroпisatioп
procedшes . For example, iftwo а пtепп а ports are categorised as being QCL iп terrns ofDelay Spгea d th eп the UE сап d e teпniп e tl1e
delay spread for опе апtеппа port а пd th eп apply the resнlt to both апtе пла po1is. This avoids tl1e UE h av iп g to deterrniпe the delay
spread separately for each ап tепп а port

* QCL апtеппа ports may Ье geogгap hi ca ll y sepa rated . Fог exampl e, the physical а ntе ппа e l eme пt s may beloпg to differeпt Transmit /
Receive Points (TRP). This coвld Ье the case \Vheп н s in g Co-oгd in ated MвltiPoiпt (СоМР) Tгa n sm i ssio n
* ЗGРР has specified fош types ofQCL to indicate whi ch lai·ge scale c liaппe l c h a гacter i st i cs аге со111111011 across the set ofQCL а п tеп п а
ports. These fонг types of QCL аге labe lled А, В, С апd D:

о QCL Туре А: {Doppleг Sl1ift; Doppler Sp гead; Aveгage Delay, Delay Spread}

о QCL Туре В : {Dopp le1· Shift; Dopp l e г Spгead}

о QCL Тур е С : {Doppl e1· Sl1i ft; A v eгage Delay }

о QCL Туре D: {Spati al Receive1· Рага111еtе гs}

* QCL сап Ь е t1 sed to st1 ppo1·t tl1e 1·eception ofboth tl, e PDSCH а пd tl1e PDCCH. 111 both cases, tl, e Base Sta tioп са п iпdicate tliat the
а пtеппа po1·t н se d Ьу а spec ific Sy11ch1·onisat io11 S i gпal / Pl1ysical Bгoadca s t C ha1111el (SS/PBCH) Block is QCL \Vitl1 tl1e a11te11 11a po1·t
t1 sed Ьу the PDSCH ог tl1e PDCCH. A lte гп a tively , tl1 e Base Statioп сап iпdi cat e that tl1e a11te1111a ро гt н sed Ьу а specific С h а пп е l State
Iпfoгma ti o п (CSI) Refe1·e11ce Sig п a l is QCL w ith tl1e aпtenn a рогt нs ed Ьу the PDSCH or tl1 e PDCCH

128
 sG NR in BULLETS

Tlie Base Station uses а combinatio11 ofRRC signa lling, МАС Coпtrol E lement si gпalling and PDCCH Dowпlink Coпtrol Infoгmation
* 10 infonn tl1e UE o~wh!ch SS/PBCH Block or CSI Refereпc e Signal сап Ь е assL1med to Ье QCL with the PDSCH and PDCCH. This
liieraгchy of s ignallшg 1s 1llL1strated 1n F1 gшe 122

PDSCH QCL
г-- - ----- - ----------- -- -------- - --- -- --------- - --------------- - - -- ------------- - -------------- - ------- -

Step 2: МАе eontrol Element St JQ 3: Downlink eontrol Step 4: ИЕ Decodes

lnformation PDSeH

Using QeL information

provided Ьу те, State
теt State /о Ье
applied to PDSeH
Step1: RRe Signalling
resource a/location
ApplicaЬ/e to both
PDSeH and РDеен QeL

.. ------ -- ----------- -- ------------1

: TCI State ldentity 1 :·:-. Used to activate ир Active Те/
: Cell N : : :-: to 8 те, States States
J Band,vidth Part Х i JJi
1
1
Syn cl1ronisation Signal Block Р, J :
11
11
,,

: or CSI Rererence Signal, Н : :::

i Туре А, В, С or D J : ii PDCCH QCL
.------------------------------------- -,------------- -------- ------ --- -------
i
! , -, ' ---: :---------------: :_:_:_: _______::-::_:_:_______: ____: _: _: ___ ' _i _:_ Step 2: МАе e ontrol Element Step 3: ИЕ Decodes
Роеен
,- ------------ ------ -- ----------1
Ир to 128 теt States for PDSeH i _eell_ldenlffy_______ __________ f
Using QeL information
Ир to 64 Те/ States for РDеен l_Bandwidth Part ldenlffy _____ j provided Ьу теt State
' : _eORESET ldentity _________ j

;.;;,;;;;~;~; ; i
А// Те/ States deactivated Ьу
defau/1

:, '' ! eORESEТ .. ,
'
·----------------- ---------------------------- '' : _____ _____ _ ___ ______ _ __ _ _ ______ ___ __ _ J __ _ ___________________________ _ _ _ ____ 1

fig ш·e 122 - T 1· ai1 s шi ss io11 C o11fi g ш· atio11 l11dica to1· (TC I) States н se d to specify ante шia port QC L fo 1· PDSC H

* RRC sig11a ll i11g is used to co n fig шe t1 p to 128 Tгa 11 s mi ss i o 11 Co nfi g шa ti on Indi cato г (TCI) States for tl1e PDSCH a11d t1p to 64 TCI
States fог tl1e PDCCH. All ТС Т States а ге deac ti vated Ь у cl efa нlt afte1· co 11fi g шa ti o 11 а пd aft e1· а h a nd ove г . Eac l1 TCI State i11 clL1des tl1e
id c п t i ty oftl1 e гe l eva 11 t cell and Ba пd \v i cl t h Раг t . Tl1e TCI State also specifies tl1e гe l eva 11t SS/PBCH B lock о г CSI Rеfе ге п се S i gп a l ,
ап d th e re l eva пt QCL Тур е

* ln the case ofthe PDSCH, МАС Contгol Elements are н sed to activate нр to 8 of the coпfi gшe d TCI States. This is done Ьу
t1·a11smitting а Ьitmap , wheгe а '1' indicates that the TCI State shoнld Ье activated and а 'О ' indicates that the TCI state shoнld Ье
deactivated. А specific TCI State сап then Ье dynamically selected and sigпalled н s ing PDCCH Downlink Сопtгоl Infoгmation (DCI)
to iпdicate \Vhi ch ofthe active TCI States is appli ca Ыe to а specific PDSCH геsошсе allocation . This is done ttsing DCI Foгm a t 1 1,
i.e. the DCI whi ch provides tl1e геsошсе allocation also iпdicates whi ch TCI State to apply. The UE сап then н sе the QCL infoгm;tion
fюm the rel evaпt TCI State to help decode the PDSCH

* 111 th e case ofthe PDCCH, а МАС Control Element is used to activate а siпgle TCI State fог а specific Coпtrol Resouгce Set
(CORESET). The CORESET defines the set ofResource Blocks associated with а PDCCH Search Space. The UE сап then нsе the
QCL informatioп from the гelevant TCI State to help decode the PDCCH

* ТаЫ е 50 p1·eseпts the set of SG antenna ports standaгd i sed Ьу 3GPP

D01vr1l i11 k Tra11smi ssior1 А rн е 1111 а Por·ts Up liп k Tra11s111 issio11 А 111 с rн ш Ports
Sy11 c l1 ro11i satiш1 Signals PUSCH
О to 11
РВСН 4000 De rnodвlation Re fereпce Signal for PUSCH
Demodtrlation Re fereпce Sig11al for РВ С Н Pliase Trackiпg Reference Si gп a l for PUSCH О to 5
PDCCH PUCC H
2000 2000
Dernodвlation Reference S i gп a l for PDCCH De 111odвlatio11 Reference Si gп a l for PUCCH
PDSCH S oвndin g R e fe re п ce Signal 1ООО to 1003
1ООО to 1011
Dern odвl a tioп Re fe reп ce Sigrial for PDSCH PRAC H 4 000
Pl1ase Tracking Referer1ce S i gп a l for PDSCH 1000 to 1005
С l1 а пп е l State lпfomia tior1 R e fere п ce S i gп a l 3000 to 303 1

Та Ы е 50 - Antenna Po1·ts standar·dised fo1· Ne,v Radio (NR)

* 3GPP Refeгeпces: TS 38.2 11 , TS 38 .2 12, TS 38 .2 14, TS 38.33 1, TS 38 .32 1

12 9
5G NR in В ULLETS

MODULATION

* Modulatioп symbols are mapped опtо Resource Elemeпts before geпeratiпg the waveform for traпsmissioп across the aiг-iпterface. Ti
modulatioп scheme deteгmiпes the capacity of each Resource Elemeпt. For example, а Resoшce Elemeпt which accommodates а ie
QPSK modнlatioп symbol traпsfers 2 bits of infoпnatioп, whe1·eas а Resource Elemeпt which accommodates а 256QАМ modнlatioп
symbol traпsfers 8 Ьits of iпformatioп
* Differeпt modulatioп schemes сап Ье applied to adjaceпt Resource Elemeпts, e.g. а PDSCH Resource Elemeпt allocated to UE J can
нsе QPSK, while ап adjaceпtPDSCH Resoнrce Elemeпt allocated to UE 2 сап use 64QАМ
* ТаЫе 51 preseпts the modulatioп schemes нsed Ьу each physical сhаппеl. The ' Bits рег Symbol' columп qнaпtifies the capacity of а
siпgle modнlatioп symbol. This is also known as the modнlation огdег

Modu\atio11 Bits per SушЬо\ PUSCH PUCCH PUCCH PUCCH PDSCH РВСН PDCC H
Sс\1еше (Modulatio11 Fonnat 1 Fonnat2 Fonnats 3
Order) &4
тт/2 BPSK 1 ✓ (Note 1) - - ✓ - - -
BPSK 1 - ✓ - - - - -
QPSK 2 ✓ ✓ ✓ ✓ ✓ ✓ ✓

16QАМ 4 1 ✓ - - - ✓ - -
64QАМ 6 ' ✓ - - - ✓ - -
1
256QАМ 8 ✓ - - - ✓ - -
Note 1: 011\у perшitted 1v\1en the DFТ-S-OFDM 1vavefonn is selected for t\1e PUSCH, i.e. Transfonn Precoding is applied

ТаЬ\е 51 - Modulatio11 Scheшes used Ьу eacl1 Physical Clia1111el

* The Physical Upliпk Shar·ed Сhаппеl (PUSCH) апd Physical Downlink Shared Сhаплеl (PDSCН) аге the physical chaппels wl1icl1 are
гesponsiЫe to t1·a пsfeпiпg applicatioп data. These chaппels гeqttiгe tl1e gгeatest гange of modttl at ion schemes. High modнlation oгders
ai·e гeqttiгed to traпsfeг high tl1Гot1ghpttts iп good coveгage, while low modнlation 01·de1·s ai·e гe qttiгed to maximise coverage. Link
Adaptation is respoпsiЫe fог se lectiп g tl1e appгopriate modttlatio11 scl1eme at апу point iп time. In ge п e гnl , Liпk Adaptatioп bases its
decisioпs ttpoп cover·age coпditioпs , tl1e qнaпtity of data to Ье tгa11sfe1тed а пd the qнaпtity of Resoшce E l eme пt s all ocated

* Both tl1e PDSCH and PUSCH s нррогt QPSK, l бQАМ, 64QAM and 256QAM. Iп additioп , tl1 e PUSCH sнppoг t s тт/2 BPSK. Tl1 is
add itiona l modt1latioп scheme is нsed to l1elp boost нplink cove1·age p e гfoгmanc e . тт/2 BPSK is оп l у p e гmitted \Vl1 eп tl1e PUSCH is
н s iп g the DFT-S-OFDM wavefotm. Tl1is wavefoгm is also designed to boost нpliпk cove1·age

* тт/2BPSK has Ьееп adopted rather thaп BPSK Ьесанsе it offer·s а lowe1· Peak to Average Роwег Ratio (PAPR). BPSK sнffeгs fюm
'zero cюssiпgs' еvегу time the Ьit stream changes from ' О ' to ' 1' 01· fюm ' l' to ' О '. These 'zе ю cгossiпgs' are caнsed Ьу the 180°
phase change wheп moving fi·om опе modнlation coпstellatioп poiпt to the other. 'Zего crossiпgs' санsе the sigлal eпvelope
(amplit11de) to pass throнgh zero апd coпseqнeпtly this resнlts iп а hi gh Р APR
* А high Р APR meaпs that the tгaпsmitter has to орегаtе with а lowe г average opeгating poiпt оп tl1e liпеаг sectioп of the amplifie1·
chaгacteгistic otherwise the peaks will геасh the 11011-liпеаг sectioп апd experieпce distoгtioп. Operatiпg at а lower average ope1·atiпg
poiпt is less efficieпt fог the amplifieг and also redнces the ave1·age онtрнt power, i.e. tl1eгe аге impacts нроп both the UE batteгy life
and the link bнdget

* The modнlatioп coпstellatioпs fог BPSK апd тт/2 BPSK are compa1·ed iп Figure 123. BPSK нses а static pair of coпstellatioп poiпts. 11/2
BPSK нses а constellatioп which юtates Ьу 90° between coпsecutive modнlatioп symbols. This юtatioп геdнсеs the maximнm phase
chaпge from 180° to 90° and avoids the 'zего crossiпgs'. This meaпs that тт/2 BPSK has а loweг Р APR which allows the amplifie1· to
ttse а higher average opeгating poiпt withoнt experieпciпg di stor·tioп. Smallet· phase chaпges betweeп symbols also has the beп efi t of
redнciпg the magлitнde of tl1e side lobes iп the fгеqнепсу domaiп

А// symbols Symboln Symbol n+l Symboln+2

BPSK

+
180° moximum phose chonge

Fig111·e 123 - Cornpar·i soп

!Jll.
BPSK

+++ 90° moximum phose clюnge

ot· Mod11 \atio11 Co11stellatio11s fo1· BPSK а шl rr/2 BPSK

130
 5G NR in BULLETS

* Тli e
modulation scheme н se d Ьу the Physical Uplink Cont1·ol Channel (PUCCH) depends ttpon the PUCCH foгm a t. In general, lo\ver
order modLilation schemes are used Ьу the PUCCH to help e n s шe re li a Ы e reception across the whole coverage area

0 pUCCH format О is not sho\vn in ТаЫе 51 Ьесан s е it does not н sе а modu lation scheme. Information is transferred Ьу the UE
selecting and tгansmitting а specific sequence fi-om а set of allocated seqнences. For example, selecting 1 seqн e nc e fгom а set of 4
sequences са п Ь е used to tra n s feг 2 bits of information Ьес анsе each se qн e nce сап Ь е associated with а tшiqн e combination of 2
bits
0 pUCCH fo1mat I сап t1se eitheг BPSK or QPSK depending upon the qнantity of infoгmation to Ь е transferred. BPSK is нsed when
pUCCH format I tt·ansfers а single bit of information, whereas QPSK is нsed wl1en PUCCH foгmat I transfers two Ьits of
info1mation
0 PUCCH fo1mat 2 always нses QPSК. In this case, the qнantity of infoгmation being transfe rгed is larger so modнlation resнlts iп а
series ofmodн l ation symbols
0 PUCCH f01mats 3 and 4 сап н sе either л/2 BPSK or QPSK depending нроп the configшation . The Base Station сап confi gшe the
UE to нsе л/2 BPSK iftheгe is а reqttirement to maximise coveгage performance
* The Pl1ysical Random Access Channel (PRACH) is not shown in ТаЫе 51 Ьесанsе it does not нsе а шodнl a tion scheme. Instead, the
PRACH is а specific sе qн епсе ofcomplex nнmbers . The PRACH corresponds to Message 1 (MSGI) oftl1e Raпdom Access р1·осеdше,
i.e. the Random Access ргеаmЫе .. Tl1e primary pнrpos e ofthe PRACH is to initiate the Random Access рго сеdше and to initialise
tiplink Timing Advance (tl1e Base Station provides tl1e UE with а Timiпg Advance command within MSG2 based нроп the timiпg of
MSG 1). The1·e а ге 64 seq н ences associated with each Random Access occasion. Tl1ese se qн e nc es сап Ь е divided into groнp s such that
seqн ence selection provides some additioпal information to the Base Statioп, e.g. ifthe UE selects а sеqнепсе from Groнp В then it
iвdic a tes that tl1e UE has а гe l a tively laгge data vo lнm e to t1·ansfer and that the path loss between the UE and the Base Station is
re latively small
* The Pl1ysical Bi-oadcast Cl1annel (РВСН) and Physical Dowпliпk Co пt1·0I Cl1annel (PDCCH) both t1se QPSК. Similar to tl1e PUCCH, а
lower order nюdнlatioп scheme is н sed to l1elp е п sше ге l i а Ы е reception across the wlюle cove1·age area. The РВСН also нs es а low
cod iп g rate so t1·ansmissio11s in c lнd e а l a гge qн a пtity of гedtшdancy to fнгther help 1·e li a Ыe гece ption. Link Adaptation са п Ь е н sed to
111a11age the nнmber ofResoшce E l e m e пts allocated to the PDCCH. UE whicl1 аге iп good coveгage са п Ье allocated а smaller 11t1mbe1·
o fReso нrce Elements leading to а hi gh eг coding 1·ate (less 1·ed нnd a11cy) Ьнt а s m a l l eг ге sо шсе co п s umption. UE wl1icl1 ш·е in роог
coveп1 ge сап Ье allocated an in cгeased 1шmЬег of Resoшce Elements lead ing to а lowe1· cod ing гаtе (mo1·e red нnd a п cy) Ьнt а highe1·
1·еsо шсе consнm ptioп

* Bits аге mapped опtо nюd нl at i onsymbo ls н siп g G1·ay cocl ing. Tl1i s арргоас h l1elps to miпimi se Ьit е погs Ь у mappiп g tl1e Ьits sн c h that
11 e i g l1 b o t1гin g modн l a tion
symbols diffe г Ь у оп l у а s iп g l e Ьit. Ifthe гесе i vе г m i s iпt e rpгe ts а modt1latio11 symbol for its п е i g hЬонг tl1en
011 ly а s iп g l e Ьit е 1тог is i11t1·odt1ced. The concept o fGгa y coding fог 16QAM is illн s tгat e d in F i g ш·e 124. Th e fi1·st hvo Ьit s i d e пti fy tl1e
qt1 a dгa nt wl1ile tl1e se co п d hvo Ьits id e пtify tl1e l o c at i o п witl1i11 tl1e qн a d 1·a11t

Quadrature
Branch

(10,11) (10,01) (00,01) (00,1 1)

о о о о

(10,10) (10,00) (00,00) (00,10)

о о о о
ln-Phase
Branch
о о о о
(11, 10) (11,00) (01,00) 01,10)

о о о о
(11 , 11) (11 ,01) (01 ,01) (10,11)

Figш· e 124 - Modulatioп coпstellation fo1· 16QAM

* Physical signals do not н sе nюdнl ation schemes. Physical signals are seqнence s of comp lex 1шmЬегs а пd those seqt1e11ces а1·е mapped
diгectly опtо tl1eiг allocated Resoшce E l emeпts Ьеfоге gene1·ati11g tl1e \Vavefoгm fo1· tгansmi s s i on across tl1e a ir- iпteгface

* ЗGРР Refeгeпces : TS 38. 211

131
5G NR in BULLETS

2.8 CYCLIC PREFIX

* The cyclic prefix provides pгotection against both Inter Symbol Interference (ISI) and Inter Caпier Inteгference (ICI), i.e. interferenc
between subcarriers. It is transmitted at the start of every symbol and is generated Ьу copying the end of the payload belonging to tha~
symbol. Figure 125 illнstгates the general concept
1 symbol

End of signa I copied

...
:. -
! Cyclic Prefix

Figure 125 - Gene,·al concept of the Cyclic Pt·efix

* The 1·adio propagation channel between tl1e base station and the UE intгodнces delay spread in the time domain. Delay spгead is
generated Ьу the transmitted signal reaching the receive1· via mнltiple paths which have differeпt distaпces and thus diffeгent delays
* The delay spread associated with the propagation chaпnel can Ье quantified fгom its impнlse гesponse . The impнlse response represents
the received signal when the tгaпsmitter sends а single impulse ofpoweг. The impulse response fш а typical delay spгead channel is
shown in Figшe 126. In general, delay spгead components with increasing delay have lower average power Ьесанsе they have loнger
pгopagation paths. Delay spгead components fade нp-and-down indepeпdently so their insta ntaneoвs poweгs vary оvег time

power power

Transmitted Signal Propagation Received Signal =

= lmpul se Channel 1m pu lse
Respo nse
1 1 1 1

tim e time

Delay
spread

Figu1·e 126- Delay Sp.-ead vis iЫ e f1·ош lшpulse Response of Propagatioп Cliarшel

* If the cyclic pгefix was not pгesent then delay spгead woнld савsе ISI Ьесан sе tl1e delay spгead components fгom one symbol \Voнld Ьс
гeceived during the гесерtiоп oftl1e sнbseqнent symbol. The cyclic pгefix helps to avoid ISI Ьу pгoviding а g11ard period betwee11
symbols. This guard period provides а time window fог the delay spгead compoнents beloпging to the pгevioнs symbol to aпive Ь е fш·с
the start ofthe next symbol's payload
* Fгom the perspective of avoiding ISI, the gнard period coнld Ье а period of discontiнuoнs tгa nsmission , ог cottld Ье а tгansmis s io11 of
anything else. Howeveг, fгom the peгspective of avoiding ICI, it is necessary fог the g11aгd peгiod to inclttde а сору of the енd of tl1e
symbol payload, i.e. the cyclic pгefix .
* Unde1·standing how the cyclic pгefix helps to avoid ICI гequiгes some mathematical backgrottnd гega гding the prope11ies of
coпvolution in the time domain and mнltiplication in the fгeqttency domain.

о when а time domain signal is traнsmitted acгoss tl1e ai1·-interface then tl1e гeceived signal is given Ьу the convolнtion oftl1e
transmitted signal and the channel impulse response (convoltttioп 1·efeгs to the sнmmation of mнltiple veгsions of the tгan smitted
signal, \vhere eacl1 ve1·sion l1as а diffe1·ent delay and роwег profile)
о гeceiveгs which ope1·ate in the time domain have to identify, sync lнonise and combine eacl1 delay s pгead component. Tl1ese
operations гequiгe significant pгocessing powe1·. Any delay spгead components which а1·е not syпcl,гonised апd combined gе негаtе
interfeгeпce. А sigпificant beпe fit ofOFDM is that the гece ive1· сап avoid these complex time domai11 ope1·atio11s Ьу pгocessi ng thc
гeceived sigпal iп the fгeqttency domai11

о fог а 'time coнtiшюtts' sigнal, coпvolнtio11 i11 tl1e time domaiп is e qнivaleнt to mнltiplic a tioп iп the fгеqнепсу domaiп. This
matl,ematical ргорегtу 111ea11s tl,at the 1·ece iveг сап гетоvе tl1e i111pact oftl,e pгopagatio11 cl1a1111 el й nd сарtше tl1e ene1·gy fmm all
del ay s pгea d co111po11e11ts Ьу а simple шttltiplicatioп iп tl1e fге qн епсу tiot11ai11
о l10\veve1·, digital гeceiveгs do поt орегаtе 011 'time со нtiпнон s ' signals so тl1 е coпvolнtioп / пшltiplicatioп ргоре1·tу does п оt apply.
Iп s tead, fог а•ctisc1·ete tiш e' (s aшp l e d) s i gп a l, ' с iгснl аг ' co11vo lн t i o11 iп tl1e tiш e dошаiп is e qнiv a l e пt to t11ttltiplicatio11 iп the
fгeqtt e пcy dош аiп

о c opyiнg the епd of tl1e payload анd tш11s111itti11 g as the cyclic p1·efix е н s шеs tl,at tl,eгe is а ' c i1·c t1laг ' co11vo ltttio11 bet\vee11 tl1e
t1·a11s111itted s i g нal анd tl1e p1·opagatio11 cl1a1111el impнl se геsро н sе. Tl,is allo\vs tl1e гесе i vег to app ly а s iшpl e t11t1ltiplicatio11 to
сарtше the енегgу fго111 all delay sp гead cot11po11e11ts. If а ' ci1·cнlat·' co 11 vo lнtio11 was 110! coшp l eted the11 the гесеivе г would
ехрегiепсе IC! whe11 coшpletiпg the fгеqнепсу dot11ai11 t11ttltiplicatio11

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 5G NR in BULLETS

А iding both ISI and ICI гequires that the dшation ofthe cyclic pгefix should Ье grea teг than the delay spгead associated with the
* v;agatioп chanпel. Ho\vever, the cyclic prefix repгesents ап oveгhead which 1·educes spect11.1m effi ciency. Thus, the duration of the
~~~ Iic prefix should поt Ье longer thaп necessary. Ifthe de lay spгead exceeds the dшation ofthe cyclic prefix then both ISI and ICI wi ll
Ье generated
ЗGРР has specified two categories of cyclic pгefix - Noп11al Cyclic Pгefix (NCP) апd Exteпded Cyclic Prefix (ЕСР). The NCP is
* specified for all subcarrier spacings whereas the ЕСР is снrгепtlу only specified fог the 60 kНz subcarrier spaciпg . ТаЫе 52 presents
tlie 011 гation ofthe cycl1c pгefix for each numerology when usшg the NCP

Loвg Sy111bols (Note 1) l{e111ai11i11g Sy111bols

St1bcarrier
Spaciв g
Eqнiva l eпt Payload Eqнivaleвt Payload
СР Dt1ratio11 Overl1ead СР Dшatiш1 Overl1ead
Dis1a11ce Dшatioв Distaвce Dt1ratio11
15 kНz 5.2 1 µs 1563 111 66.67 µs 7.8 % 4.6911s 1406111 66.67 11s
--- ЗОkНz 2.86 11s 859111 33.33 µs 8.6% 2.34 µs 703 111 33.33 µs
60kНz 1.69 11s 508111 16.67 11s 10.2 % 1.17 µs 352 111 16.67 µs 7.0%
120 kHz 1.11 11s 332 111 8.33 µs 13.3 % 0.59 11s 176 111 8.33 µs
240 kHz 0.81 11s 244 111 4.17 µs 19.5 % 0.29 11s 88111 4.17 11s
Note \: eacl1 1ш111e rology lias 2 long sy111bols per 1 111s s11bfra111e. Т11еsе long sy111bols are illнstrated iв Figшe 98 (sec ti oв 2.2)
ТаЫе 52 - Nor ш a l Cyclic P1·efix Dш·ation s

* As iпdicate d Ьу Та Ы е 52, each пum ero lo gy has 2 l ongeг symbo ls withi n each 1 ms subframe. These longer symbo ls аге gene1·ated Ьу
iпc1·easi11g the dнration of tl1e 1101111al cyclic pгefix . They e n sшe that each numerology has ап iпteger пumЬ ег of symbo ls withiп each
О . 5 111s time \Yiпdo\v, whi le also епsшi п g that as тапу symbol bouпdaries as possiЫe coincide, e.g. every symbol boundary beloпging
to tl1e 15 kHz s t1bcaпier spacing coincides with every secoпd symbo l bouпdary beloпgiпg to the 30 kН z sub caп i e г spaciпg

* Cyclic pгefi x dнrat i oпs decгease

as the subcaпieг spaci п g incгeases. This means tl1at sma ll eг su bcarгie 1· spaciпgs сап toleгate l aгger
pгopagatioп сlшше l de lay sp1·eads. This treпd is aligned wi tl1 the allocati on ofthe higheг subcaп·ier spacings to the h i g l1 eг opeгa ting
baпds. Higl1e1· opeгat iп g ba пd s have l1i gheг pюpagation losses, smalle1· cell гапgеs and smalle1· de lay spгeads
* Macгoce ll s \V ithiп шЬап enviгonm e nt s typically l1ave delay s pгe a d s i п the огdе1· of I ш· 2 µs . Both m i cюc e ll s апd indoor solutions
typically have delay spгe ad s iп tl1e огdег of IО to 100 ns. Rшa l аге а s l1ave а low delay s pгead wl1en the enviгonm e nt is ореп and the1·e
is liп e-of-s i g ht p юp aga tioп . Ho\veve1·, tl1e delay s pгea d са п also become l1igl1 as а гes t1lt of tl1e l агgе г cell 1·a11ge and any potential
di s t a пt 1·eflecto1·s

* ТаЫ е 53 p гese пt s tl1e dшat i oп ofthe Ex t e пd e d Cyclic P1·efi x ( ЕС Р). As p1·eviously stated, 3GPP has c штe nt l y spec ifi ed оп l у tl1e 60
kHz s ub ca 1т i e 1· spacing fог tl1e ЕС Р. Tl1e Е СР incгea se s tl1e dшation of each symbol because tl1e dшatioп oftl1e cyclic pгe fi x inc1·eases
11,l1ile dшatioп oftl1e payload remains constaпt . Tl1e ЕСР fо г tl1e 60 kl-Iz s t1b caпie 1· spacing dec1·eases the 1шmЬ ег of symbols witl1i11
cacl1 250 µs time window fгom 14 symbo ls to 12 symbo ls, i.e. physical layer a iг- inteгface capacity is гedt1ced

All symbols
S11bc a 1тier
Spaciвg Eq11i va le11l Payload Overl1ead
СР D11ratio11
Di s 1ш1cc Dнra1io11

60kНz 4. 17 11s 1250 111 16.67 11s 25 %

Та Ые 53 - Extended Cyclic P1·efix Dнration

* ЗGРР has not specified the ЕСР fог all s t1bcarri eг spacings Ь есанsе the benefit is t111clear апd it шау lead to 1·edt1ced ре 1-fогm апсе.
Simulations illt1strate that the iпcreased overl1ead geneгated Ьу the ЕСР сап lead to reduced регfоm1апсе over а wide гапgе of Signal to
I nteгfe1·e11ce plt1s Nosie Rat ios (SINR). The benefit of the ЕСР is only visi Ыe at high SINR, i.e. the impact of ISI and ICI oгigiпating
fгom delay spгead is п eg li giЫe compaгed to otheг soшces of interference when the SINR is low. Tl1e impact ofISI апd ICI oгigiпating
fгom delay spгead becomes more sign ificant at l1igh SINR wl1en otheг soшces of iпtе 1·fегепсе а 1·е mt1ch l o\veг. Tl1is means that the ЕСР
сап increase the t1pper bot111d of spectп.1111 efficiency but may гedt1ce aveгa ge регfогmапсе

* ЗGРР has ta1·geted the 60 kHz st1bca1тier spaciп g fог the ЕСР to help pюvide а solt1tio11 fог Ult1·a Reli aЫ e Lo\v Lateпcy
Co111111нnicat i o11 (URLLC) withiп the l oweг ope1·ati11g bands. Tl1e 60 kHz suЬсагг i ег spaciпg is tl1e higl1est s ubcaггie1· spaciпg st1ppoгted
1vitl1in Fгeqt1e11cy Range 1 (450 MHz to 6 GHz) so pгovides the shoгtest symbols апd the lo\vest latency. Noгma ll y, the 60 kНz
sнЬсаггi ег spaciпg has i11c1·eased V11 l11erability to delay spгead due to tl1e shorter symbol s а пd s lюгt cycli c pгefi x. Tl1is tends to make
t1·aп s mi ss io11 s
less ге li аЫ е . Ho\veve г, the Е С Р iп c гe as es tl1e clшatioп of tl1e cyc li c p1·efi x to 4.1 7 µs 1vl1icl1 is со 111 ра 1·а Ы е to tl1e 15 kН z
погm а l cyclic pгe fi x dшation of 4.69 µs. This t e пd s to imp юve tl1e гe li a bili ty of t1·ansmiss io11s
* The гe ma in cler oftl1is secti oп descгibes sоше gепе1·а ! CP-OFDM recei veг pгi п c ipl es \Vithiп the coпtext of the cyclic p1·e fi x ап d de lay
s pгea d. F i gшe 127 illн s t1·ates ап exampl e of 2 delay spread c ompon e п ts. Tl1e second delay s pгea d c ompon e пt is гe ce i ved l a te г thaп the
fi гst clelay sp1·ead compoп ent. А Fast F ошiег Tгan s foгm (FFT) processing windo\v is defiп ed at tl1e гесе i vег:

о tl1e pгo cess in g wiпdow caphлes tl1e m a iп body ofthe CP-OFDM sy шbol b e l oп g iп g to the fiгs t de lay s pгe ad с оmропепt. The
cyclic pгe fi x beloп g iп g to the fiгs t delay spгe ad соmроп е пt is di s caгded

133
5G NR in BULLETS

о the processing window captures part of the cyclic prefix and tl1e majority of tl1e main body of the CP-OFDM symbol b e longiнg 1
the second del ay spread co mponent. Sections which fall outside the processi ng window are discarded 0

* In the extгeme case, where the delay spread is equal to the duration ofthe cyclic prefix tl1en the FFT processing window fully captнre
the cyclic prefi x belonging to the delay spread component s

FFT processing window at the receiver

First delay
spread
component
Section which
arrives late is
captured at the
start of the FFТ
/ window

Second delay
spread
component

Fi g ш·e 127 - ' Delay spr·ead compone11ts captur·ed Ьу the FFТ processing ,vindo,v at tl1 e receiver

* Tl1e time domain гepгesentation ofeach delay spread component within the processing window is different (as shown in F igure 127).
Howeveг, th e fгeqнency domain гepresen tation of each delay spгea d component witmn the processing window is identi cal. Moving а
section ofthe time domain signal from the end, and adding it to the start does not cl1ange th e frequency content ofthe s i gп a l , i.e. tl1e
signa l inclнd es the same set of freqнency domain components and an FFT (whicl1 qнantifies the set of freqнency domain co mp o п eпt s
inclнded w it'1in tl1e time domain signa l) ge п e rates the same гesнlt

* As l oпg
as the delay spread is less than the dшation ofthe cyclic pгe fix, each delay spread compo п ent provides а co mplete
гepгesent a tion ofthe signal w ithiп the FFT processing window, i.e. the same set offr·eq н en cy compo11e11ts аге ge11e1·ated Ьу tl1e FFT.
Thi s avo ids the гeqнirement to time syncl1ronise witl1 indi vidнa l de lay sp гea d co mpon e пts рг i ог to decoding

* F i gшe 128 illt1st1·ates th e aggr·egate signal captl!Гe d Ьу th e 1·eceiver. The agg гegate s i gпa l is tl1e s нm of all tl1e de lay spгead comp oп cпt s
(onl y 2 а ге shown fог simp licity). The гесе i vег са п oper·ate diгect l y on tl1e agg гegate s i gп a l w i thoнt l1aving to ext гact i пdividtia l delay
sp гead co mp one п ts Ь еса н sе tl1e fгеq н е псу co пte nt of th e st1 m of de lay sp1·ead compo11e11ts, is tl1e same as tl1e fi·eqнency conte11 t of eacl1
iпdividн a l de lay s pгead compo п e nt . The agg гegate signal capt11Гes tl1e е п егgу from a ll delay spгead compo11e11ts so ge п eгates а hi gl1cr
qн a lity resнlt from the FFT

spread com ponents

elay FFT also ge nerates

j th e sa me resu lt
!Пt S 'Х'

Figш·e 128 - S11111 of delay spr·ead components capt11red Ьу FFТ pr· ocessiпg ,vi1нlo,v at tl1e 1·eceive1·

* ЗGРР Refe гe n ces : TS 38.2 11

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 5G NR in BULLETS

WAVEFORМ
2-9
TI е \vaveform is the baseband signal which is mixed to RF before being radiated acгoss the air-iпterface. 3GPP has specified t\vo
* 1 ve"oгms for New Radio (NR) based upon Orthogonal FгeqLJency Division Mt1ltiplexing (OFDM):
,,, а 11

0 Cyclic Prefix OFDM (CP-OFDM), applicaЫe to both the t1plink and clownlink

о
Oisc1·ete Fошiег Tгansform Spгead OFDM (DFT-S-OFDM), applicaЫe to the нplink only

lt is mandatoгy for UE to sнpport both wavetorms in the нplink direction. The Base Station selects the waveform to Ье нsed f01· the
* pUSCH апd provides instructions to the UE. In the case ofMSG3 belonging to the гandom access рrосеdнге, instructions аге pюvided
,v ithiп SIВ I or alternatively can Ье provided нsing dedicated signalling. Dedicated signalling is used to provide instn1ctions for
s t1bseqнent PUSCH transmissions

DFТ-S-OFDM has а loweг Peak-to-Aveгage Power Ratio (Р APR) than CP-OFDM. This allows the UE to transmit with а higher
* aveпi ge po\ver and so improves the нplink coverage регfогmапсе. 3GPP has specified that DFT-S-OFDM only sнpports single st1·eam
l п1t1 s missio11 , i. P-. МIМО is not sнpported . This means that CP-OFDM offe1·s impюved throнghpнts and capacity, while DFT-S-OFDM
oПe i·s improved co veг age . Iп the case of MSG3, DFT-S-OFDM may Ье selected to cater for all coverage conditions across the cell . Iп
tli e case of s LJb se qв e nt PUSCH transmissions, the Base Station may dynamically гeconfigшe the UE accoгding to coveгage conditions

OFDM с а п tгan s fe 1· large nLJmb e гs ofmodulation symbols simвltaпeously Ьу multiplexing large пumbeгs ofsнbc a пieгs. These
* s t1bcaпi eгs ai·e ti ghtly packed to achieve high spectrнm efficiency. 111 addition, they are careft1lly positioned in tl1e freqнeпcy domain to
с н s ше tliat tl1 ey а ге 011l10gonal to one another, i.e. they do not generate interference towards each othe1·. Figшe 129 illнstrates а set of
o rtlюgonal sL1b ca 1тiers. Eacl1 sttbcarrier appears as а sinc ftшctioп in tl1e fi·eqнency domain , which corresponds to а 1·ectangнlaг pнl se in
tlie time domain . The sнbcaпiers аге arran ged to ensшe that the peak of one siпc ft111ction coincides witl1 zero crossiпgs of all othe1·
s t1b c aiтieгs. It' the s нbcarrie1· is sampled at its peak in the freqLJency domain theп there will Ь е по iпterference from the otheг sнЬс а пiегs

'\...____
/ '\ AI I other subcarriers
Frequency domain view have zero ampl1tude
when sampl1ng at ар ,

~s,;,> ,c:,,~~i---'i!---+.--t--+-'-.f----r--'f\--,f--'J<.--,~~----:Н:::7'-:--:~~

Figш· e 129- 01·tl10go11al s11bcaпie1· s fo1· OFDM

Eacl1 sнЬ са rгiег accommodates I modнlation symbol within tl1 e dнration of I time domain OFDM symbol. The lnverse Fast Fонгi е 1·
Tr,ш s foгm (IFFT) is нsed to generate the time domaiп OFDM symbol from _a combination oftl1e nюdнlated sнЬсапiегs

OFDM is tol e гant to delay s pгead Ьесанsе its time domain symbols have relatively long dшatioпs (dependiпg нроn the nнmeгolo gy).
Тl1i s is po ss iЫ e Ьесанsе data is transferгed iп pa.-allel (acгoss sнbcaпiers) гаthег tl1an in seгial

о а typical OFDM symbol fог NR has а dнгation of71.35 µs (defined as 1 / sнbcarrier spacing of 15 kНz + an oveгhead for the
Cyclic P1·efix). А 50 MHz OFDM channel coнld have 3240 sнbcarrieгs spaced at 15 kНz gene1·ating а modнlation symbol rate of
3240 / 7 1.35 µs = 45.4 Msps . Iftraпsmitting data in seгial , 45.4 Msps \Vot1ld 1·eqt1ire а symbol period of 1 / 45.4 х 106 = 0.02 µs

The 1·edнced impact of delay spread meaпs tliat fadiпg is flat in the fi·eqнency domain and гесеivег equalizatioп becomes simpleг. А
dпl\vback ofOFDM is its relatively high Peak to Average Роwег Ratio (PAPR) geneгated Ьу sшnming large пвmЬегs оfsнЬсаггiегs.
Hi gl1 Р APR means that роwег a mplifieгs liave to ope.-ate \Vith iпcгeased back-off \Vl1ich leads to redнced efficiency. Redнced powe1·
c rtic i eпcy lias an impact Llpon batte1·y po\veгed handheld devices. Tl1is has гesнlted in an optioп a l diffeгent mнltiple access scheme
be iв g selected fог the нplink. А second dra\vback of OFDM is its sensitivity to f1·eqt1ency offsets whi ch could Ье iпtгoduced Ьу
Doppleг, or Ьу fгеqнепсу iп accшacies withiп local oscillatoгs at the tгaпsmitte1· апd гeceive1·
Tiie teгm OFDM can Ье extended to Oгthogonal Fгeqнency Divi s ioп Mнltiple Access (OFDMA). Mнltiple access teclшiqнes allo\v
resotiгce s to Ье shared bet\veen а grollp of н sегs . In tl1e case of OFDMA, the set of sнЬсапiегs is s haгed between н sегs, e.g. sнЬса1тi егs
1 10 36 ап:' all ocated to нsег 1, whil e sнЬса1тi егs 37 to 96 аге allocated to t1seг 2. А Resoшce Block ac commoclates 12 sнЬсапi егs so tl1 e
pi·cviot1s exa mple wo нlcl Ье eq нi va l eпt to a ll oca tiп g 3 Reso шce Blocks to t1 se1· 1, апd 5 Resot1гce Blocks to L1 seг 2. Со 111111011 mнlti p l e
acccss tecl111i qL1es а1·е p гese 11 ted in ТаЫе 54

~-DMA ТDМЛ СОМА OrDMA

1 ltesoнrce Alloca tion R.F Carri ers Time Slots Codes Subcarri ers
1 Example System AMPS GS M UMTS LТ Е / Ne1v Radio

Та Ые 54 - Multiple access tecl1niq11es

135
5G NR in BULLETS

2.9.1 CP-OFDM
* 3GPP TS 38.211 specifies two equations fог geneгating the CP-Ol'DM waveform. The first is applicaЫe to all physical channels and
signals except the PRACH, whereas the second is applicaЫe to the PRACH. The first equation is shown below. This equation
represents ап Inverse Fast Fourier Transform (IFFT), i.e. the equation generates а time domain signal from а frequency domain sigr,aJ
Ьу summing а set of modulated subcaпiers

S11mmatio11 across Co11te11t of Resoшce

а \\
subcarriers Eleme11t (subcarrier k, Subcarrier Index
Timedomai11

\ /
symbol [) Time lлdex
resu\t for symbol /, S11bcarrier
a11te1111a port р a11d
11umerology µ ~

s?·µ\t) =
12 X N s iz_e,µ _1
9пd

L
/
(р,µ) Х
ak,t е
.( µ size,µ) (
Spaci11g

I 11 µ
J2тс k+k 0 -6 x Nyrid х дf х t-NCP 1x Tc-tsta,·t l
,
)
/ ,
k=O

..----
Time ,vi11do,v associated
,vith symbol / and
nшnerology µ

l Е {о , 1 , ,,, , N slot
subframe,µ Х N slot
symb
_ l} ...,..--- Set ofsymbo ls belo11gi11g
to а slot for 1шmerology µ

р is the antenna p01t S11bcarrier offset 11sed to е1ш1rс

that t\1e first st1bcarrier of
µ is the subcaпie1· spacing index Common Reso11rce Block is

а}:/) is the content of Resouгce Element (subcaпieI k and symbol {)

/ µ
'о
= 12 х (N starц,
grid,x
+ N si~e,µ /
grid,x
2) _ 12 х (N start,µ 0
grid,x
+ Nsi ze,µ 0
grid,x
/ 2)
/ х 2 µ 0 -µ
a li gпed ,vit\1 ot\1er nшnerologics

Лf is the s ubcaпi eI spacing

N;:f;·µ is the nш11Ьег ofResoшce Blocks

Те= 1/(Лfref х N1 ) = 1/(480 ООО х 4096) = 0.5086 ns
. Tim e ш1it (based t1po11 s 11b caп i er spaci11g
of 480 kHz а пd FFТ size of 4096)

Cyc li c Prefix dt1ratio11

512 х 64 х z-µ extended cyclic prefix JJ(

NfP,l = { 144 Х 64 Х z-µ + 1024 . normal cyclic prefix, l = О or l = 7 х 21'

144х64х2-µ normal cyclic prefix, l О or l 7 х 2µ * *
l =О Start oftime ,viпdo,v
otherwise associated ,vit\1 symbol /
and 11t11nerology р

* The s нmmation uses the va,·iaЫe ' k' which ranges fюm О to the total numbeг of sнЬсапiегs. The baseband signa l is ce11teгed a1·01111d О
Hz so half of tl1e total numbe1· of subcaпieгs is subtгacted fi-om tl1e value of 'k' wl1en geпerating the 'S ttbcaгrier Iпdex '. Th is leads to
the subcaпieг iпdex being пegative fог the fiгst half of the гап gе of 'k' , and eitheг О ог positive fог the second half of the гапgе of 'k'
* Tl1is iпdica tes tl1at tl1e 'S ttbcaпi eг Iпdex' сап have а valtte ofO wh ich coггesponds to the DC sttbcaп i e 1·, i.e. tl1e sttbcaпieг with а
fгeqttency ofO Hz. Tl1e ОС s ttb ca ггieг is typically exclнded (LTE does not use the ОС sнbcaiтi er) because it сап suffe1· inte1·fe1·e11cc
from local oscillatoг leakage. Tl1is issue is illнst1·a ted iп Figuгe 130. The local oscillato1· s igп al at the гесеivег 'leaks' back\vaгd s tl~гощф
tl1e filte1· апd low пoi se amplifie1· befo1·e followiпg the waпted s i gпal foг\vaгds tlнoнgl1 tl1e amplifieг а пd filteг. Tl1e amplified ' leakc,I'_
sigпal is then mixed \vitl1 tl1e local oscil l atoг sigп a l itself to geпerate iпtегfеге псе at О Hz, i. e. mixiп g two signals witl1 eq11al f1·eci11c11 c1~
ge11e1·ates а s i gпal at О Hz. Th is 1111wanted signal at О Hz inteгfe res with any waпted s i gпa l at О Hz, i.e. tl1e ОС s нЬ са tтi ег

О Hz in terference generated Ьу
Low No ise Filte r LO signal mixing with amplifi ed

:5 ~
versian а/ LO leakage

Wanted signal mixed

Leokage ta baseband
Loca/
Oscil/ator

Figш· e 130 - DC lnte1·fe1·ence gene1·ated Ьу Loca\ Oscil\ato1· Leakage

 5G NR in BULLETS

N Radio (NR) allows the DC subcarrieг to Ье нsed based нроn the assнmption that mode111 tгansceive1·s аге аЫе to manage tl1e
. eivct oflocal oscillatoг leakage. Neveгtheless, the DC sнbcarrier may Ье at а disadvantage relative to otl1er sнЬсапiегs
* 11npa
* Tlte 511 ьсап·iег index also inclнdes а k~' variaЫe which is нsed to ensure that Common Resoшce Blocks belongiпg to different
11шn
el·ologies аге aligned at 'Point А' as ill1.1stгated in Fig1.1гe 108 (section 2.3.1)
Tlic /P/J vагiаЫе гepresents the сопtепt ofthe Resource Element associated \Vith s1.1Ьсапiег ' k' and symbol '/'. FOI· example, this
* ld kb,e а modнlation symbol beloпging to the PDSCH ог PUSCH, ог it co1.1ld Ье ап entry from а seqнence belonging to а
С011 . • .
Syпclironisation S1gnal ог Demodulatюn Refeгence S1gnal

* Tlic aip/) vагiаЫе is multiplied Ьу а complex pl1asor ofthe foпn ejыt, whe1·e со = 2nf. This complex phasoг represeпts the sнЬсаггiег
vliicli is mod11 lated Ьу the content ofthe Resource Element. The freqнency 'f is generated fгom the Sнbcarrier Index m1.1Itiplied Ьу the
~tibcarrieг spacing. The time 't' is geneгated fгom the Time Index
* Tlie Tim•~ Index woнld noгmally Ье expected to have tl1e format (t - N~P,l х Те)- This leads to а negative Time Iпdex 1.1ntil t =
NI' х т . Tl1is iпitial peгiod with а negative Time Index gene1·ates the cyclic prefix. Howeveг, the Time Index shown above has the
CP I е
Гоп~~аt (t - N~P,I Х Те - t_~~a,-t,1)- The additioпal tttart,l vai·iaЫe is reqt1i1·ed to compeпsate fог phase offsets generated Ьу the UE and
в аsс Station as~11ming diffe гent center freqнencies, e.g. when the active Band\vidth Part is not centeгed acгoss the cl,annel bandwidth

Figt1re 131 provides а g гaphical 1·epresentatio11 of geпerating the CP-OFDM wavefoгm . !he Resoшce Element gгid is pop1.1lated Ьу the
* sct oГPhysical CI1annels and Phys1cal S1gnals. Each colнmn ofthe Resoшce Elemeпt gпd 1s 1.1sed to geпerate а CP-OFDM symbol. Tl1e
s шпmation of гes нlt s geпeгated Ьу mнltiplyiпg tl,e colшnn of Resoшce Elements with the appropriate set of complex phasoгs
c oпesponds to t·I1e Iпv e гs e Fast Foшie1· Transfoгm (IFFT)

, , Real part , , , lmag. part , IFFT

/1( 11 1111111111111111111!!1!111!1'11! !' !ljl'lllljjl111l11111111111 1llll'll j
n х SL1bcarrier spacing
Data :'11,,1,1lii1il1lli11lii1Н!lll1,1,,11: :1i l11ll,11l,111l1l1,ll11l111II :
multiplied '' '
Ьу compl ex
''
:,:\ :'
phasor :: ,: З х subcarrier spacing
''
''
'' '''
'',,,,'' '
''

] ,. --1- - ''
'' ''
''
'''
' 2 х subcarrier spacing
QJ --
u
о
а. AII results
~ •н-+-+--~ ,,
,, 1 х sub ca rri er spacing summed
в __ ...,__,__.._1-< ,,
,,
,,
,, to
-о
,,
~ --м-+-+--~ ОС subcarrier gen erate
composite
с
QJ • • ...,__._.._1-<
Е
time
QJ
-1 х subcarrier spacing domain
ш
signal
~ --Н-+-+--~ ::.
::,
~ ,,
.,
о::
- ·rr-t---i--t-1 ,·,
,, -2 х subcarrier spacing

- ,.._. ---г-
:! -3 х subcarrier spacing

i1i•l1111il'llllll'lli 111jlll1!111111!
' ' '
'' ' -n х subcarr ier spacing
\ '·"'' 1111,1 :
--- ------- ------ --- ----- ----- ---- ------- ------ -- --- --- ---------- ----- - ---- -- --- -- -- ---- ----- -- ----- ------ -- --·

Figш·e 131 - Geпe1·atio11 of CP-OFDM 1vavefo1·111

• Tlic co11te11t of' each Resoшce Elemeпt is mнltiplied Ьу а complex phaso1· with the appropriate sнЬса~тi ег fгeqнency
0 tl1e loweг l1alfset ofResoш-ce Elemeпts аге mнltiplied Ьу complex phasors \Vitl111egative f1·eqнe11ci es (complex phasoгs гotatiп g iп
а clockwise directio11). Ifthe sнЬсапi ег spac iп g is 15 kН z, tl1en tl1e higl1est Resoшce Eleme11t \Vill Ье mнltipli ed Ьу а compl ex
pl1asoг гotati11 g at а fгeq1.1en cy of - 15 kНz , \vhile tl1e seco11d l1igl1est Resoшce Ele111e11t will Ь е mllltiplied Ьу а co111plex ph aso г
гo ta ti11 g at а f1·eqt1e11cy of -30 kHz, and so 011
0 tl,e lo,ves t Resoшce E l em eпt belo11ging to tl1e llppe1· l1alf ofResoшce Eleme11ts is mlll tiplied Ьу а complex pl1 aso г \Vitl1 ze1·0
f1·eqt1ency (DC sl!Ьсаггi ег)
0 tl1e гema i11i11g Resoшce Eleme11ts belongi11g to the ttppeг h a l f of Resoшce E l emeпts а1·е mllltiplied Ьу complex pliasoгs \Vith а
positive fi·eqllency (complex pha soгs гotating in а11 aпti-c lockwi se diгectio11). If tl1e subcaiтie1· spac iп g is 15 kНz, tl1e11 tl1e second
lo,vest Resoшce Element will Ье mнltipli ed Ьу а complex phasoг гotatiпg at а f1·eqt1e11cy of + 15 kНz, wl,ile tl1e tl1i1·d lo\vest
Resoнrce Element will Ье multiplied Ьу а complex pl1asoг rotating at а freqlleпcy of +30 kНz, апd so 011

137
5G NR in BULLETS

* The duration ofthe multiplication coпesponds to the duration ofa CP-OFDM symbol, and can Ье divided into 2 paгts:
о а relatively short first part which corresponds to the cyclic prefix:
о а longer second part which coпesponds to the main body ofthe CP-OFDM symbol
The results fro~ еас~ complex phasor multiplicati~n_are summed t~ gene_rate the time domain digital baseband signal . The spectnнn or
* the baseband s1gnal 1s centered arollnd О Hz. The d1g1tal baseband S1gnal 1s sL1bseqL1ently conve1ied to an analoglle baseband sign~i
before being mixed to the appropriate RF carrier freqL1ency. These steps are illllstrated in Figure 132

OHz RF Carrier

Gridof
±
Baseband Signal
►1 О/А
±RF Signal
Power
Amplifier

{>
~
Resource ►
1
Elements to antenna
Local
1 Oscillator

Figure 132 - Baseband Signal шixed to RF Sigrial

* The eqL1ation used to generate the CP-OFDM waveform for th e PRACH is shown below. Similar to the first eqllation, this eqllation
represents an Inverse Fast Fourier Transfoпn (IFFT). The general format of the two eqllations is the same, i.e. а sL1mmation of complcx
phasors (sllbcaпieгs) that have been modlllated Ьу а set ofResource Elements

S11mmation across Со пtеп t of Resoшce S11bcarrier lпde x

Тiше doшain
res11lt for symbol l,
a11te1111a port р авd
1111111eгology р ~
\
all s11bcarriers

1
Ele111e11t (sнbcarrier k,
,ymbol 1
/

} ::::,~" /
Time Iлdex

LnA - 1 ►
д/ - )
s l(p,µ\t) = '\'
L . ( ( RA RA )
aip,RA) Х e J2rr k+k1xдfRA +k xдfnAx t-Ncp,1XTc-tsta1·t

k=O
/(1 = kµО + 12 х (мBWP,t
sta rt_ - N start,µ )
gпd
+ 12 х nstart
RA
+ 12 х п
RA
х NRA - N siz_e,µ х
RB gricl
6

l =О
otherwise

* In this case, the sL1mmation is applied across LnA sL1bcaпiers, wheгe LnA is eqнal to the lengtl1 ofthe PRACH seqнence (139 tor а slюrt
PRACH or 839 for а long PRACH). Each Resource Element witl1i11 the Sllmmation corresponds to an ent1y fiom the PRACH sеqнепсс
* The Sнbcarrier lndex incllldes а factor to accol\nt for the difference between the PRACH sнbcaпier spacing (дfпА) and tl1e sL1bcariier
spacing of the relevant llplink Bandwidth Part (дf). The PRACH sL1bcaпier spacing can Ье 1.25, 5, 15 , 30, 60 or 120 kНz, i.e. а lагgсг
range ofvalL1es relative to those L1sed Ьу the PUSCH
* The SL1Ьсаггiег Index inclL1des а facto1· k 1 wl1ich accoнnts for the fгeqL1ency domain position ofthe PRACH within the Bandwidth Part,
i.e. пt~art identifies the fiгst Resoшce Block allocated to the PRACH (defined Ьу th e 111Sgl-F1·equencySta,-t information element
witl1in SIВ 1, ог dedicated RRC sigпalling). If пшltiple PRACH аге stacked in th e fi·eqнeпcy domaiп tl1 eп nпА pгovides tl1e offs et to t\ic
appropгiate iпstaпce ofthe PRACH. N{$ defiпes the пшпЬег ofResoшce Blocks occllpied Ьу eac h PRACH iпstaпce

* The Sllbcaпieг Iпd ex also iпclнdes а factor· k which is always set eqнal to 2 wl1eп нsiпg а slюrt PRACH, bllt has а value wl1i cl1 depeвds
нроп tl1e combiпatioп of PRACH апd PUSCH sнЬсапi ег spaciпgs \vheп нsiпg а loп g PRAC.:H. Тl1i s variaЫe is нsed to provide the
арргорг iаt е s L1b caгr i e1· a li gпmeпt bet\veeп the PRACH а пd th e m a iп Res oшc e Block gгid

* Т11е Sllbcaп· i e г iпd ex µ is set eqllal to О fог Sltb caп i e 1· spac iп gs of 1. 25 апd 5 kHz. It adopts the нsнаl valнes of О, 1, 2 апd 3 fo1·
sL1bcaп ieг spac iп gs of 15, 30, 60 апd 120 kHz гes pectively

* 3GPP Refeгeпces: TS 38.211

 sG NR in BULLETS

DFT-S-OFDM
o·sci-ete foшier Transform Spread Orthogonal Frequency Division Multiplexing (DFT-S-OFDM) is generated ttsing а combi11atio11 of
* .;,·aпsfoгm Precoding' and CP-OFDM. This сопсерt is illttstгated in Figшe 133. DFT-S-OFDM is 011\у applicaЫe to the ttpliпk апd is
intended tог coverage limited scenaгios. 3GPP speci fies tl1at it сап only Ье нsed 'Nhen а siпgle transmissioп layer is allocated to the UE
* Tlie ' Traпsfoгm Precodiпg '
operation reqнires additional compнtational complcxity bttt decгeases the relatively high Peak to Average
ро,vег (PAPR) associated with CP-OFDM

DFT-5-0FDM

Transform
► Precoding ►

Fig11.-e 133- DFT-S-OFDM geпerated as а co111bl11atio11 ofT1·a11sfoп11 P1·ecodi11g апd CP-OFDMA

* ЗGРР TS 38.2 11 specifies 'Tгansfoгm Pгecoding ' н s in g the eq н at ion shown below. This eqнation repгeseпts а Fast Foшier T1·a11sform
(FFТ), i.e. the eq н at ion ti·a пslates а time domain sigпal iпto а fгеqнепсу domaiп signal

k = О to М_;,иsсн - 1 / = О to Mlt!)'e,· ;мPUSCH - \

symb sc

* Fig11гe 134 pюvides а g1·apl1ical rep1·esentatio11 of ' Tгaп s form Pгecodiпg'. Tl1e modttlatioп symbols to Ье tгaп sm itted Ьу the UE аге
divided iпto sets. The nttmbeг of modttlation symbo\s belonging to each set is eq н a l to tl1e 1шmЬ е г of PUSCH s нЬ сагг i егs allocated to
tl1e UE (Mffscн). Tl1is meaпs t\1e 11l1111Ьег of sets is g iveп Ьу м~;;:~'/ Mffscн where м~;;,:~· is еqна \ to t\1e total пнmЬег of
пюclol atio п sym bol s to Ь е pгocessed

1 1 1 1 11 11 1 1111111111111 FFT
Se ri al strea m of
modulation symbo ls
i tttttttttttt
';:: ХХХХХХХХХХХХ .L.,l
"!
~!t t t t t t t t t t t t
~:
1\
1 1

Stream of modulation
symbols is divided into
8 :- --------- ! \\
sets of 'Х' symbols,
where 'Х' is the number
of allocated subcarri ers
r-~-;-~--~--~- ~-~-~ -~-~--~-~--r- -; . . \,,_ _ _ _
~ ! ххх хх х хх х хх х k_ Resource

This exa mple is based

upon an allocation of 12
~: - -
Е:t t t t t t t t t t t t
/ / - --
! ------ ......
:
---++
1
Element
Grid

!--;-~----,\~:~-,":~_:/ -------____ 1
~: -~ /' 1 ......

subcarriers 8 --,,, ---++ f-+-+-+-1

Each set of modulation

--++ f-+--+-+-1
-+
symbols is fed into а r .. .. .. .. .. .. .. .. .. .. .. .. ! ____ ____ -+-► f-+-+-+-1
series of correlators ~: хххххххххххх rl" ~
--+-. f-+-+-+-1
~! tttttttttttt : -+►
The number of
--++
~: ' / '\
!:
/ f-+-t-+-1
correlators equa ls the
8 !---\ --------: _______
•г -- - -- -1 --- --++ f-+-t-+-1
number of allocated
subcarriers
: \,_ ~ '-- /. : -+
'---------- --- --- --- --- ----- -------------' -+►
------------------------------
'
---- -- ------' ~~~

Output from each ' '

correlator is used to ' ,
populate а single -----
' ---------- --- ------- --------- --------'
Resource Element ! t t t t t t t t t t t t ! ,,/
: : : ! х х х х х х х х х х х х L l/
в : tttttttttttt !
~8 t1f i-;',\ /\ j'\ !\ [11\ i1}J/,\ ,).\ i',
111(\ :v:1-~-vvv-,~1 '\. , 1
1 \ 1 - - Rea l
1
: __ _________ ___ ___ ________ ______ _________ 1 - - lmag.

Figш·e 134 - Tra11sfo1·111 P1·ecoding u s iпg а set of Coпelator·s to generate t l1e f1·eque11cy dошаiп signal

139
5G NR in BULLETS

Each set ofmodнlation symbols is processed Ьу an FFT function which generates а freqнency domain representation ofthe syrnbol
* The FFT function is а Ыосk of correlators which extracts а set of freqнency components from the set of modt1lation symbols s.
The first correlatoi- (shown at the top ofFigшe 134) extracts the DC component Ьу taking an average oftl1e modнlation symbols. Th
* second correlatoг extracts the freqнency compoпent defined Ьу а single cycle of а sine/cosiпe. The final correlatoг extracts the е
freqt1ency component defiпed Ьу 'Х-1' cycles of а sine/cosine. The nнmЬег of correlators is eqнal to the nнmber of allocated
sнbcarriers so there is а single correlator resнlt for each sнbcarrier

The ot1tpt1t from each correlator is нsed to popнlate а single Resoнrce Element. The гesнlting modнlation symbol rate is the sarne as j Г
* the modulatioп symbols were mapped directly onto the set ofResoнrce Elements

* 3GPP R'eferences: TS 38.211

2.10 TRANSMIТГERAND RECEIVER CHAIN

* А general traпsmitteг and receiver chain is illt1strated in Figшe 135. This is а high level representation Ьнt the main fнnctions are
shown. Iп this example, the tгansmitteг does not inclнde an FFT stage for Transform Pгecoding so the figшe is applicaЫe to CP-OFDM
гаthег than DFT-S-OFDM. The figшe can Ье applied to both the нplink and downlink traпsmission directions

* The functions pгovided Ьу the receive1· are the iпve1·se ofthose provided Ьу the transmitter. The гeceiver will also inclнde additional
ft1nctions to help st1pport the demodнlation process. Fог example, theгe will Ье а channel estimatioп function which tracks and helps to
compensate fог the impact ofth~ radio propagation channel

Transmitter

Physical
Channels ~Maponto Add
lnverse Cyclic
D/A Mix to RF
Resource
Reference FFT Conversion
Elements Prefix
Signals

Physical ,-- - -- - .
Extract
Channels .--joemodulation 1 Remove
from A/D Mix to
FFT Cyclic Conversion baseband
Reference Resource
.,__ _ _ _ _ _--i Elements Prefix
Signals

Figure 135 - Transшitte1· and receive1· chaiп fo1· OFDMA

* The t1·ansmitter inclt1des an lnverse Fast Foшier Transf01m (IFFT) to tгanslate each colt1mп ofmodнlated Resoшce Elements into ап
OFDM symbol. Iп contгast, the гeceiver inclнdes а Fast Foшier Tгansform (FFT) to translate eacl1 OFDM symbol back into а colt1n111
ofResoшce Elements. The set ofmodt1lation symbols can then Ье extracted from the columп ofResoшce Elements

* А cyclic prefix is added at the tгansmitteг and гemoved at the гесеivег . The cyclic prefix provides а guard peгiod to help prevent Iпter­
Symbol Inteгfeгence (ISI) caнsed Ьу tl1e pгopagation chanпel delay spгead . Generating the cyclic pгefix Ьу copying the епd oftl1e
symbol means that the гeceived signal is а ciгctilai· convolution betweeп the transmitted symbol and the pгopagatioп chaпnel impнls e
respoпse. This chaгacteгistic allo,vs the impact ofthe propagation chanпel to Ье removed at tl1e гесеivег нsing а simple mнltipli c atioп
withoнt geneгating Inteг Саггiег Iпtе1·fегепсе (ICI)

* The tгansmitte1· inclнdes а Power Amplifier (РА) to increase tl1e signal stгeпgth to а level w\1ich can Ье tгansmitted acгos s the a iг­
inteгface . The гесеivег inclнdes а Low Noise Aшplifie1· (LNA) to boost the wanted signal st1·engtl1 Ьеfоге it is degi·aded Ьу the пoi se
figшes ofthe гemaining RF componeпts within the receive patl1. Iп the t1plink diгection , а conventional Base Station aгcl1ite ctшe сап
use а Mast Head Amplifieг (МНА) / То,vег Монпtег Amplifi eг (ТМА) to pгovide th e LNA. А Base Statioп aгchitectшe нsin g ап activc
antenпa inclнd es tl1e LNA witl1in the active antenпa itself

140
 5G NR in BULLETS

З DOWNLINK SIGNALS AND CHANNELS

DOWNLINK CHANNEL MAPPINGS

* Logical channels tгansfeг data (RLC PDU) bet\veen the RLC and МАС layers. Тгапsрогt cha1111els transfer data (МАС PDU) betwee11
tlic МАС and Physical layers. МАС PDU are also k11ow11 as Tra11spoгt Blocks. Physical cha1111els traпsfeг data across the air-inteгface
* Pliysical signals are used Ьу the Physical lауег fог synchronisation, chan11el qнality measurements and cha11nel estimation
* Tlie mappings between the various channel types are illt1strated in Figшe 136. This figшe also illt1stгates the set of downli11k sigпals

Application
М/В & S/B RRC Signalling Paging
Оа/а
RLC
Lауег
весн ссен DCCH DTCH РССН

Logical Channels

МАС
Layer

Transport Channels --- - -- -

DCI Physical
Layer
Н I PDCCH Р
Physical C/1annels ·- - - -- --- -----------------с:)- ---- - --- --- -----

Physica/ Signals ------- - --- - о ------- - ------ --- - - --0 - - - ---- -- - -- - - - 0----- --- -- о -- - -------о - - -- - - ----- о- - - - -- --о--- - -
DM-RS DM-RS DM -RS PT-RS CSI-RS PSS sss
for РВ С Н for PDCCH for PDSCH for PDSCH

Fi g ш·e 136 - Ma pping о/' do1v111i111< lo gical cl1 a1111els о нtо t1·a nspo1·t clia1111els а пd pl1ys ical c liaпn el s

* Tl1e Bгo aclc as t С опtгоl С h а пп е l (В СС Н) is н se d to t1·ansfe1· both tl1e Ma s t e г Infoп1iatio11 Block (Mffi) апd System Iпfoгm a tioп Blocks
(SIB). Tl1e М !В is mapped опtо tl1e В С Н апd РВС Н , \Vl1e1·eas tl1e sm аге mapped onto tl1e DL-SCH апd PDSCH
* Tl1e Commoп C oпtrol Сhаплеl (СССН) апd Dedicated Сопtгоl Chaпn e l (DCCH) аге t1sed to tгапsfег RRC sigпalliп g messages, i. e.
clata beloпgiпg to the set ofSigпalliпg Radio Beaгers (SRВ) . All SRВ data is mapped onto the DL-SCH and PDSCH
* Tl1e Dedicated Tгaffic Cl1an11el (DTCH) is нsed to t1·a11sfer applicatioп data. All application _data is mapped onto the DL-SCH апd
PDSCH
* The Paging Contгol Chanпel (РССН) is нsed to t1·ansfeг pagiпg messages. All paging messages ai·e mapped onto the РСН and PDSCH
* Tl1e PDCCH pl1ysical cha1111el is поt нsed to traпsfer higheг layer iпformation , so does поt have associated logical пог transpoгt
channels. Tl1e PDCCH transfers Dowпlink Сопtгоl Iпformation (DCI). Oo\vnlink Control Informatioп is t1sed Ьу the Base Station
packet schedt1leг to allocate both t1pli11k апd downlink геsошсеs (PUSCH апd PDSCH resources respectively). DCI сап also Ье used to
pгovide нpliпk ро\vег contгol commands, configшe the slot foгmat апd indicate that pre-emption lias оссштеd

* Т11е1·е аге Demodt1latio11 Refeгence Sigпals (DMRS) for tl1e РВСН, PDCCH апd PDSCH. These Refe1·e11ce Sigпals аге seqt1e11ces
\Vl1icl1 а1·е known to the UE . The UE compares the гeceived versioп ofthe seqt1e11ce \Vith tl1e kпоwп refeгence to estimate the impact of
tl1e pгopagatioп cl1aiшel . Tl1e UE сап theп apply ап i11ve1·se oftl1e pгopagatioп channel duriпg tl1e demodнlation pгocess
* Т11е Pliase Tгackiпg Rеfегепсе Signal (PTRS) is нsed to compensate fог phase пoise geпeгated Ьу the local oscillatoгs at botl1 the
tгar1 s 111itt eг апd receive1·. Pl1ase пoise is поt а sigпificaпt issнe fo1· tl1e lo\ve г opeгatiпg baпds bt1t becomes шш·е s igпificaпt fог the hi g heг
ope1·ati11g baпds. The PTRS сап also Ье нsed to complim e пt tl1e De111odt1latio11 Refe1·ence Sigпal (DMRS) fo1· the PDSCH. It is
applicaЫe to botl1 the loweг апd hi g heг ope1·ati11g baпds wl1e11 co111plime11ti11g the DMRS

* Tl1e Chaпn el State I11fo1·111atio11 Rеfегепсе Signal (CSI RS) is нsed Ьу the UE to шеаsнге анd герогt сhапп е l qtiality, e.g. Сhапп еl
Qнality Iпdi ca toг (CQI) 1·epoгts . Thi s info1matio11 сап Ье t1sed Ьу the liпk adaptati oп algo1·itl1111 \V itl1in tl1e Base Sta ti oп to l1elp scl1edt1le
арргор г i а t е tlнoн g l1pнt s . It с а п also Ь е н se d fo1· Веа ш M a п age m e nt а п d С опп ес tеd Mode 111 0 Ьili ty рго сеd шеs

* Tl1e Ргimа гу Syп c l1гo11i satio11 S igп a l (PSS) апd Sесопdа гу Sy11 c l1гo11i sati o n Signal (SSS) а 1·е t1sed dшiпg tl1e cell sea1·ch ргосеdше апd
also dнгiпg В еаш Мап аgете п t ргосеdшеs. Tl1e SSS is t1sed fог Rеfегеп се S i gпa l Received Ро\vег (RSRP) апd Rеfегеп се S i gпa l
Received Q нality (RSRQ) 111easшeme11ts . RSRP 111e asшe 111e11ts сап Ь е t1sed fo1· ореп loop р оwег contтo l ca lct1latio11s, \Vhile both RSRP
ащ! RSRQ сап Ье t1sed to t1·igger moЬili ty рго сеdшеs

* З GРР Refe1·e11ces: TS 38.2 11 , TS 38.2 12, TS 38.32 1, TS 38.322

141
5G NR in BULLETS

3.2 SYNCHRONISATION SIGNALS

* New Radio (NR) supports both Primary and Secondaiy Synchronisation Signals (PSS and SSS). А UE uses the Synchronisation
Signals for:

о initial time and frequency synchгonisation when first accessing а cell

о identifying the Physical layer Cell Identity (PCI) belonging to а cell
-.• NR supports 1008 PCI which are organised into 336 groups of3

о completing RSRP, RSRQ and SINR measurements from the Secondary Synchronisation Signal (SSS)
о the SSS can also Ье used as an additional Demodulation Reference Signal (DMRS) for the РВСН

seqнences Resoшce
* Both the PSS and SSS are of 127 BPSK symbols which are mapped onto 127 Elements

The PSS is generated Ьу applying 1 of 3 cyclic shifts to а seqнence of 127 BPSK symbols ( cyclic shifts of О, 43 and 86). These cyclic
* shifts lead to 3 ve1·sions ofthe PSS which are re-used across the entiгe network. The cyclic shift acts as а pointeг to 1 of3 РС! ,vitliiп а
PCI group

The SSS is gene1·ated as а prodL1ct of 2 seqнences which depend Llpon both the pointeг towaгds the РС! grot1p ( 1 out of 336) and tlie
* pointer towaгds the PCI within the gгoup (l ol!t of3), i.e. there are 1008 SSS sequences. The UE has to identify 1 онt of336 SSS
seqнences after the PSS cyclic ,shift has been identified

The sequences Llsed fог the PSS and SSS have been selected to have:
*
о good aL1to-coпelation prop eгties , i.e. each seqL1ence geneгates а hi gh result when coпelated with а synchronised vel's ioп ofitsclr
and generates а low !'esult when correlated with ап L1nsynchronised vel'sion ofitself '

о good c1·oss coпelatioп p!'ope11ies, i.e. the seqL1ence gen e гates а low гeslllt wl1en coпelated with othel' seqL1ences

* Tl1ese properties help to improve detection in pool' signal to пois e гatio conditions
* А set of 4 sL1bcarrie!' spacings have been specified fог tl1e Synch!'onisation Signals ( 15 , 30, 120 and 240 kН z)

о th e 15 а пd 30 kН z s L1bc a пi el' s pa c iп gs аге applic aЫ e to FгeqL1 e ncy Range 1 (4 50 MHz to 6 GHz)

о the 120 and 240 kНz s L1b ca пi e г sp ac iп gs al'e a ppli ca Ы e to F гe qL1 e 11 cy Ra п ge 2 (24.25 GI-Iz to 52.6 GHz)

* 3GPP has specified ' de falllt' S L1bca 1тi e l' s pa c iп gs fо г eacl1 o p e 1·at iп g band. Specify ing а s iп g l e de falllt s L1b ca пi e 1· s p ac iп g fo1· а specific
op e шtiп g Ьапd helps th e UE to complete the cell se aгc h pl'O ce dшe witl1 less de lay and less po\ve!' co п s ш11ption. Tl1e defalllt s нb ca rri c r
spacings specified for each ope1·ating band al'e pl'esented iп ТаЫ е 55

Ba11d,vidtl1 Occt1pied
St1bcarrier Spaci11 g for Sy11clнo11i s atio11
Ьу SS/PBCH Block Operali11 g Ba11ds ,vi tl1 St1b caiтier Spaci11g as Defat1 \t
Sy11c lнo11isa ti o11 Sig11als Sig11al Leпg1 l1
(20 R eso шc e B\ocks)
111 , 112, n3, 115 , n7, n8, n 12, 1120, n25 , 1128, 1134, n3 8, n39 , 1140, 114 1, 1150, 1151 ,
15 kН z 3.6 MHz
n65 , 1166, 1170, 1171, n74, 1175, 1176
30 kНz 127 7.2 MHz п5 , n4l,n66,п77 , n78,n79

120 kHz 28.8 MHz n257 , n258 , n260,1126I

240 kНz 57.6 MHz п257,11258 , n260, 1126l

ТаЫе 55 - Mapping behveeп S11bcaпie1· Spacing a11d Ope1·ating Bands fo1· the Syпclн·oni s atioп Signals

* The Syncl1I'Onisation Signals al'e tl'ansmitted as pal't ofthe SS/PBCH Block (section 3.4) wl1ich occupies 20 Resoшce Blocks. Tl1is
means that the 15 kНz sl!bcaпi eг spacing generates ап SS/PBCH Block which occl!pies 15 х 20 х 12 = 3.6 MHz, \Vhil e th e 30 kH z
sl!bcarriel' spacing genel'ates а п SS/PBCH Block \vhich occupies 30 х 20 х 12 = 7. 2 MHz. This leads to th e conclL1 s ioп tl1 at а пу
Fгeqlleпcy Range I ope!'atiпg Ьапd wl1ich Sllpports the 5 MHz сl1аппеl ba пdwidtl1 sl10L1ld t1se the 15 kНz sl!bcarriel' spac iпg as а dcfat1i l
(because 20 Resoшce Blocks cannot Ь е accommodated witl1iп 5 MHz \Vl1 en Ll s iп g the 30 kНz st1bc a 1тieг s pa c iп g)
* Some ope1·atiпg bands l1ave Ьее п specified witl1 mllltiple default S L1bcaiтi e1· spacings, e.g. opet·atiп g band 115 lias defat1lt s ubcaпi e,·
spaciпgs ofbotl1 15 апd 30 kНz. Tl1is inc гeases th e pгocess iпg гequired dшing tl1e cell scaгcl1 pl'Ocedшe bl!t pгov id es opemtors "'i111
in cгeased fl exibili ty, i. e. ope1·ato!'s depl oying а 5 MHz cl1 a пn el ca n 11se tl1 e 15 kHz sнbcarl'i eг spacing, \Vl1il e орегаtогs d eploy iп g largcr
channel ba11d\vidtl1s са п t1 se tl1e 30 kH z s L1b caп i e 1· spacing

* Noп - d efalllt sL1bca 1тi e1· spac iпgs сап Ье нsed fol' cell s \Vhi cl1 the UE is not expected to d i scoveг at1toп omoн s ly. Fог examp le, а UE
connected to an E-UTRAN - Ne\Y Radio DL1al Connectivity (EN- DC) Base Station \Vill access the E-UTRAN (4G) cell апd use tliat .
cell as tl1 e pl'imaгy se1·viпg cell . Tl1e E-UTRAN Base Stati oп сап tl1eп pl'Ovide the UE with iпformation l'egardiп g th e st1b cal'l'ie1· spacinJ
Ltsed Ьу the S yncl1гoпi sa tioп Si gп a ls o f the New Radio cell. This sнbcaпi et· spac ing may Ье а 11011 -d e faнlt va lнe . F i gшe 137 illt1 5lrates
the l!Se of defalllt and 11011-defalllt sнbca1тiel' spaciп gs fог tl1e Synchl'oпi s atioп Si gпal s

142
 5G NR in BULLETS

Standalone SG Base Station Non-Stonda/one EN-DC Base Station

SGNewRadio Non-default subca rrier spacing

sGNewRadio Default subcarrier spacing Са pacity Layer сап Ье used for synchronisa tion
дccess Layer added as а
for synchronisation signals signals
secondary cell
UE must autonomously 4GE-UTl1AN

~
discover the Synchronisation Access Layer Е is told the subcarrier
Signa ls used as th e pacing used оп the SG cell
primary cell efore attempting access
Subcarrier Са rrier Spacing for

•
Synchronisation Signa ls must
◄
Ье а defau lt va lue

Figure 137 - Ехашрlе use of default and non-default subcarrier spacings for the Syncl1ronisation Signals

А bcпefit ofusing the 30 kНz subcarrier spacing is the ability to share spectrum with 4G (Dynamic Spectrum Sharing is described in
scc tioп 17). Ал SS-PBCH Block occupies 4 symbols iп the time domain . When нsing the 30 kHz sнЬсаггiег spacing, these 4 symbols
сан Ь с accomпюdated within 2 symbols belonging to the 4G system (which нs es а 15 kНz s t1bc a пier spacing). This pmvides tl1e
potcпtial to t гaп s mit а 5G SS/PBC.H .Block withiп а 4G channel bandwidth withoнt coincidiпg ,vith the 4G Cell Specific Reference
Sig,ial. This deploy m e пt sсепапо 1s 1llt1stгated 111 F1gшe 13 8.
4G Resource Block 4G Resource Block accommodating SG SS/PBCH
15 kHz subcarrier spacing 30 kHz subcarrier spacing for SS/PBCH

- -
4G Ce ll specific ~·
--
-
Reference Signal SG SS/PBCH
... '1"""' - Block

- -

--
Fig111·e 138 - 4G
...
R e soш·ce Вlock accoшшodating а
- =
SG SS/PBCH Block ,vl1e11 using tl1 e 30 kHz subcaпie1· spaci11g

• Л d1·a1vback of't1si11g the 30 kНz s нb c aгri e ,· s p ac iп g is the гe dt1c e d cycli c pгe fi x

pюp agatioн c liaпп e l delay sp,·ead
dшa tion \vl1i ch leads to i11c1·eased vt1l11 e 1·a Ьility to

• Tl1c s L1bca 1тi e1· s p a ciпg н sed fог tl1e Sync l1гo11i sa tio11 Signa ls does not liave to
a pp li c atioп data оп the PDSCH
eq н a l the sнЬ са~тi е г spac iп g t1sed fог tl1e t1·a 11 sfe г of

* Sc c tioп 2.5 .2 d escгib es the freqн e ncy гaster нs ed Ьу the Syпclll'onisation Signals. This fi·eqнeпcy ras teг defines the set offreqнencies
tlшt UE scarcl1 when completing initial cell access. Syncl1ronisation Signals сап also Ье tгansmitted away fгom the standaгdised
fi'cqL1e11cy ,·asteг Ьнt these instances аге not нsed fог the iпitia l cell searcl1 ptocedшe. They ~ау Ье нsed for RSRP measшemeпts afteг а
U\2 lшs accessed а cell
Scct ioп 3.4 descгibes tl1e time апd f1·eqнency domaiп геsошсе allocatioпs fo1· the Synchгonisation Signals
З GРР Refe1·e11ces: TS 38.2 11 , TS 38. 104

143
5G NR in BULLETS

3.3 PHYSICAL BROADCAST CHANNEL

The Physical Broadcast Channel (РВСН) is used to broadcast the Master lnformation Block (МIВ) t1sing the ВСН traпsport chaпncJ
* and ВССН logical channel. А UE decodes the РВСН immediately after detecting the Synchronisation Signals. The МIВ pгovid es k
information required to access the cell ty
The Base Station transmits the РВСН with the Primary and Secondary Synchronisation Signals within an SS/PBCH Block (section З .4)
*
The МАС \ауег provides the Physical layer with а ВСН transport Ыосk . This transport Ыосk is the МIВ which has а size of24 bits.
* The MfB includes timing information in terms ofthe 6 Most Significant Bits (MSB) ofthe System Frame Nt1mber (SFN). The 4 Least
Significant Bits (LSB) are not inclt1ded within the МIВ . This means that the content ofthe МIВ changes every 160 ms becat1se the
SFN increments every I О ms
The Physica\ layer ofthe Base Station attaches additional information to the МIВ Ьеfше it is processed for transmission a cгoss the air-
* iпterface . This additional information includes the 4 LSB ofthe SFN. Adding these bits at the Physical layer reduces the 1·ate at \Vliich
the RRC layer has to update tl1e МIВ . In the case ofFreqt1ency Range 1 (450 МНz to 6 GHz) the Physical layer also inclt1des
iпformation regaгding the st1bcaпier offset between thc SS/PBCH Block апd the main Resource Block grid . The complete сопtепt or
the МIВ and the additional infoгmation attached Ьу the Physical layer is p1·esented in section 6.1
Figшe 139 illt1strates tl1e Physical l ауег attaching an additional 8 Ьits of information to the МIВ Ьеfоге the st1bseqt1ent pгocessing
*
Transport Block (M IB Payload)
provided оп се per 80 ms
(excludes content which changes during ап 80 m s period)

24 Ьit s Repeat ed for each

transmission within 80 m s
. ----------
lnclusion of Additional Tim ing Payload lnclusion of Additional Timing Payload , _____ ___ ___ ,
i 32 Ьits " 32 Ьit s .---- --- -- ---
1" lnterleaving 1" lnterl ea ving ''
•--- ------- -·

1"
!
S c ramЬling 1" '
Sc ramЫing
,-- -- --- ---- -
''
·--------- --·
0/)
с
·;;; .------------
ю '
u
е
Add 24 Ьit CRC Add 24 Ьi t CRC ,'' ___ ______ __,
а..

:;; , 56 Ьits 56 Ьit s

> г------ - - - -­

.з 2"' lnterleaving 2"' lnterleaving

-'">~
и
,, ,,
--- ------- --
.с
а..
,- ------- ----
Channet Coding (Polar Coding) Chann et Coding (Polar Coding)
1 ·------ -----·
" 512 Ьits ,, 512 Ьit s
,---- ------ --
Rate Matching Rate Matching
1--- -- --- ---·
864 Ьits 864 Ьits
! ,--------- ---
2°• ScramЫing '
2°• S cramЫing
•- --- --- ----·
! г--- - - - - --- -

QPSK Modulation QPSK Modu lation '

·-----------
'!' 432 symbols 432 symbols
SS/PBCH Block Transmission SS/ PBCH Block Tran smission
'п ' 'n+l'

F igш·e 139 - Pl1ysical laye1· p1·ocessi11g fo1· tl1 e Р ВСН

* Опсе the 8 Ьits of additional infoгmation l1ave Ьееп added to the tгa nspoi·t Ыос k, а fiгst stage of inteгl eavin g is applied. Iпteгl eaviпg
simply cl1anges the огdег oftl1e Ьits within tl1e packet. This is done н s in g а fi xed гe- oгdeгin g раttегп wl1ich гemain s con sta пt fог all .
РВСН tгan smi ss ioпs. Inteгl eaviп g is н sed to coпtrol tl1e огdег ofthe Ьit s beiп g ted into tl1e L:l1a11nel coding Ыосk. Polai· cod iпg proviclcs
а 11011-шi i fo гm гe li a Ьility fог tl1e set of iпрвt Ьits . Inteг l eaviп g is нsed to control \Vl1icl1 Ьits а ге tгaп s fe rтed with tl1e l1igl1est Ieliabili ty
and wl1icl1 Ьits ar·e tгa п sfeпed \Vitl1 а lo weг гe l i aЬil ity. Iп tl1is case, the timing iпfoпn a tioп bits (10 Ьits fо г tl1e SFN; 1 bit fo1· tl1e Half
Fr·aine Iпdex; 3 Ьits fо г tl1e SS/PBCH Block Index) а ге mapped iпto the p os itioп s with tl1e lo\vest 1·eli ability. Tl1i s str·ategy l1as Ьееп
adopted based t1po11 tl1e assttmpti o п tl1at т а п у n etwo гks \vill Ье time synclнo ni sed so wl1 eп the РВСН is b e iп g геасl as ра гt of а
mobility pro cedшe tl1e11 the timiп g iпfo rm ati oп \Vill a lгeady Ье k110w11 а пd so it is mо ге importaпt to pr·ioi·itise the ге111а iпd е1· oftlie
payload . Tl1i s a r·gшnent also applies to UE \vhicl1 ar·e гe- гeadin g the РВСН ti·om tl1e сштеnt serving cell , i.e. tl1e sy11 cl1гo 11i sat i oп
information is a lгea d y kпоwп а пd it is nюге imp o r1a пt to pгi o гiti s e the remainder· of tl1e payload

144
 5G NR in BULLETS

1 11 d Ь е noted that tl1ere is а second interleaving stage jнst prioг to chan nel coding. It is the combination of tl1ese two inte гl eav ing
* 11 5101\Vhich moves the timing infoгmation bits into the least reliaЫe positions
51ages
А fi rst stage of sc ramЫing is applied afteг tl1e fi гs t stage of interleaving. The following timing infoгm at ion bits are exclнded from the
* scra mbling procedшe:
0 211ct and 3rd Least Significant Bits (LSB) ofthe System Frame №mber (SFN)

о
1 bit HalfFrame Index

о
1", 2nd , 3rd Least Significant Bits (LSB) ofthe SS/PBCH Block Index
S cra mЫiп g н ses а p seнdo random se qнence to ' randomly' change some bits from ' 1' to ' О ' and other bits from ' О ' to ' 1' . The order of
tlie bits is not clianged. The scгamЫiпg seqнence is initialised нsing the Physical layer Cell Identity (PCI) so neighboшing cells will
se different scra mЫin g se qнences. The objective ofthe scгamЫing is to гandomise the bit stгeam and thнs 1·andomise tl1e inte гcell
;~terference experienced Ьу neighboшing cells . The impact of intercell inteгfeгence is redнced if the inteгference appears random
(similar to theгmal noise)
* f{a1нlomisatio11 of tl1e Ьit stгeam is fнгther improved Ьу giving the scгamЫing seqнence а time dependency. The 2 nd and 3rd LSB ofthe
SFN are нsed to dete1mine wl1ich part ofthe scгamЫin g seq нence is нsed for each РВСН tгansmission. The 2nd and 3rd LSB аге н sed
ratlier· tlian tl1e Ist a11d 2nd LSB becat1se the defaнlt РВСН tгansmission pe1·iod is 20 ms. The 1st LSB of the SFN toggles between 'О '
arid •1' eve1·y IО ms and so does not change when sampled еvегу 20 ms. The 2nd and 3rd LSB of the SFN ai·e exc lнded fгom the
sc ra mЫin g pгo ces s to allow the UE 1·eceiver to d e-scгa mЫ e the payload withoнt any Ыind detection attempts. The UE will a lгead y
k нoiv the PCI fгom the Sy11chгoni sat i on Signals and will Ье аЫе to геаd the 2nd and 3rd LSB of the SFN diгectly fгom tl1e РВ СН
payload. This allows the UE to identi fy the scramЫing seqt1e11ce н sed at the tгans mitter and thн s complete tl1e de- sc1·a mЫin g
* 24 Cyclic Redнndancy Check (CRC) Ьits аге ca lct1lated from the set of32 Ьits апd are sнb seqн ently concatenated to generate а
rcst1ltant packet size of 56 Ьits . These CRC Ьits ai·e t1sed at the UE гесе ivе г to detect whetheг ог not tl1ere аге any Ьit епо гs within the
dccocled packet
* Tlie zпct stage of inte rl eav iп g is applied ргiог to channel coding. Similar to tl1e Ist stage of inte1·leaving, tl1e Ьit positions аге changed to
cl c t eп11in e whicl1 paгts of the payload ai·e tгa n smitted with tl1e l1igl1est гe li aЬi li ty and \vhicl1 p a гt s of the payload ai·e tгansmitted with а
lo1ve1· 1·eliaЬili ty. The 211 d stage of inteгl eav in g moves the CRC Ьits i11to the positions \vith tl1e highest 1·e li aЬi lity, i.e. tl1e CRC Ьits ai·e
treated as tl1e пю s t impo1·ta11t Ьits
* l11 p1·i11ciple it wo нld Ь е possiЫe to comЬi 11 e the two inteгleavin g stages into а single stage of inte гl eavin g. They have been specified
scparately becat1se tl1e 211 d stage of inte1·leaving а пd the channel codiп g has been 1·e-t1sed fго111 tl1e PDCCH. Tlш s, tl1ese pгoce sses а ге
common \vitl1 tl1e pгocess iп g of tl1e PDCCH payload, whe1·eas tl1e Ist stage of i nte гl eaviп g is speci fi c to tl1e РВ С Н
* Роlаг Coding is tr sed fo1· the РВСН cl1an11el cod iп g . This is i п cont1·as t to 40 \vl1i cl1 t1ses co11vo lt1tio11al c odiп g fог tl1e РВСН. Th e Ро l аг
Co d iп gi11Cl'eases the 11t1mb e г of Ьits fl'Olll 56 to 512, i. e. а c odiп g 1·ate of 56 / 5 12 = 0.11
* Rate Matcl1ing is applied to е11sше that tl1e nt1mber ofbits c01тespon d s to tl1e capacity oftl1e Pl1ysica l Cl1annel. Each tгansmi ss i on of
tl1e РВСН is allocated 432 ResoL1Гce Ele111eпts. Tl1e РВ СН is always traпsmitted t1 s iп g QPSK 1110dt1lation so the 432 ResoL1Гce
Шements аге аЫе to accommodate 432 QPSK sy111bols which transfeг 864 bits of infoгmatioп. The Rate Matching pl'Oc e dllГe app lies
repetitio11 to generate 864 bits from tl1e set of 5 12 Роlаг coded bits
• А secoпd phase of scгa 111Ыin g is applied Ьеfоге modt1lation. The scгai11Ыing seqн ence is initialised t1si11g the Physica l l ауег Cell
ld eнt ity (PCI). The section ofthe scгamЫing seqt1ence wl1ich is t1sed tог s cгamЫin g is depende11t t1pon :

о 2 least significant Ьits oftl1e SS/PBCH Block Index, fог opeгating bands below 3 GHz
о 3 least significant Ьits ofthe SS/PBCH Block Iпdex , fог operating bands above 3 GHz
Tl1e UE will Ье аЫ е to de-scramЫ e the гeceived data \Vithoнt any Ыind decodi11g attempts becat1se the PCI \Vill a lгeady Ье kпown fгom
tl1e Synchгonisat ion Signals and the SS/PBCH Block Index Ьits \Vill al ready Ье kno\vn fi·o111 tl1e РВСН Demodнlati on Reference Signal
* UE гeceiving tl1e РВ СН in good coveгage conditio11s can гeceive and decode tl1e payload нsing а single instance ofthe РВСН. UE in
iveake г cove1·age co11ditio11s тау 11eed to гeceive пшltiple instaпces of tl1e РВ СН ргiог to sнccessft1I d ecod iп g . UE са п нs е soft
c o111b iпi11 g to impl'Ove tl1e signal to п o i se ratio wl1e11 гeceiviп g mнltipl e iп s ta 11 ces of the PBCI-1. Tl1e dгa\vback of soft со111 Ьiпiп g is
iп cгeased delay caнsed Ьу tl1e UE l1av i11g to wait fог mнltiple РВСН tгaпsmissioп s
* З GРР Refe1·e11ces: TS 38.2 11 , TS 38.212

145
5G NR in BULLETS

3.4 SS/ PBCH BLOCKS AND BURSTS

* Synchronisation Signal / Physical Broadcast Channel (SS/PBCН) Blocks are used during the cell search procedшe, i.e. UE search for
Synchronisation Signals when scanning for а cell to camp оп. UE then decode the РВСН before proceeding to decode other system
information which is tгansmitted оп the PDSCH. SS/PBCH Blocks аге also used fог RSRP, RSRQ and SINR measшements
* An SS/PBCH Block is а downlink transmission occupying 20 Resource Blocks in the frequency domain and 4 symbols in the time
domain. lt includes the Primary Synchronisation Signal (PSS), the Secondary Synchronisation Signal (SSS) and the РВСН . 3GPP has
specified the bandwidth ofthe SS/PBCH Block to ensшe that it does not exceed the minimнm UE bandwidth capability reqt1irement
for а specific operating band, i.e. all UE must Ье сараЫе ofreceiving an SS/PBCH Block
* The structшe of an SS/PBCH Block is illustrated in Figuгe 140. The PSS occupies 127 st1bcarriers withiп the first symbol, whereas thr.
SSS occupies 127 subcarriers within the third symbol . The РВСН occupies 20 Resource Blocks within the second and forth symbols. lt
also occt1pies 8 Resoшce Blocks within the third symbol. The whole SS/PBCH Block is transmitted using antenna port 4000
* The Resource Blocks allocated to the РВСН accommodate both the РВСН payload and the РВСН Demodulation Reference Signal
(DMRS) . The DMRS occupies 25% ofthe Resoшce Elements allocated to the РВСН so the РВСН payload has 48 х 12 х 0.75 = 432
Resoшc e Elements. The РВСН uses QPSK modt1lation so this eqt1ates to 864 bits

* The Resoшce Elements occt1pied Ьу the РВСН DМRS are dependent upon the Physical layer Cell Identity (PCI). The DMRS occt1pies
1 in 4 Resource Elements so а 'PCI nюd 4 ' rule has been specified to determine its location. The UE is аЫе to dedt1ce the PCI fi·om thc
Pгimary and Secondary Syпchгoni ~ ation Signals so the UE knows wheгe to expect the DMRS wl1en decoding the РВСН payload

* The UE сап t1se the SSS as an additional Demodt1lation Refeгence Sigпal dt1e to its location withiп the РВСН , i.e. the pгopaga tion
channel ехрегiепсеd Ьу the SSS will Ье similar to the propagation channel expeгienced Ьу the РВСН so the UE сап t1se both the SSS
and the РВСН DМRS to d e termiпe the impact of the pгopagation chanпel and then apply the inverse to the РВСН payload Ь е fоге
attempting to decode

РВСН РС/ mod 4

555
!
PSS
о 1 2 3
/ /
Antenna Port 4000 : Oemodulation
/ РВСН Ref eren ce 5ignals
1
Resource forPBCH

• ~ ,-.....-
t
8 /ock

Subcarriers
56 to 182 РВСН

127 20 PRB
20 х 12 =
subcarriers
240
subcarriers
Empty • ~ ~

Resource
Elements
• j 5иЬсаггiег 5pacing

15 kHz
30 kHz
Р55 & 555 Bandwidths
1.905 MHz
3.81 MHz
РВСН Bandwidth

3.6 MHz
7.2 MH z
Operating Bands

$ 6 GHz

◄
4 symbo/s 120 kHz 15.24 MH z 28.8 MHz
> 6GH z
240 kHz 30.4 8 MHz 57.6 MH z

Figur·e 140 - St1·uct11re of а11 SS/PBCH Block

* 3GPP has specified 4 sнЬсапi е г spacings fог the SS/PBCH Block. St1bcaп· i e г spacings of 15 kН z and 30 kНz а ге applicaЫ e to
opeгatin g bands below 6 GHz. SнЬсаггi еr spacings of 120 kHz and 240 kНz are applicaЫ e to opeгating bands above 6 GHz. 3GPP TS
38. 104 specifies d e fa нlt SS/PBCH Block s t1bcaiтi e г spacings fог eacl1 ope1·atin g Ь а пd (ТаЫ е 52 апd Та Ы е 53 in section 2. 5.2). This
helps to simplify the cell seaгch proc e dшe а пd гeduce the del ay associated with camping о п а cell
* Tl1e subcaп·ie r spaciп g t1sed fo1· the SS/PB CH Block does not пееd to matcl1 tl1 e suЬсаггi ег spaciп g нsed fог the гemaiпin g pl1ys ical
cl1annels апd signals. For exa mple, th e SS/PBCH Block cot1lcl t1se а s ubca1тi eг spac ing of 15 kНz ,vhile the PDSCH t1ses а s t1b ca 1т i eг
s p a ciп g of 30 kHz

* Tl1e SS S, РВ С Н а пd DMRS fo1· РВС Н а 1·е t1·a11s111itted with eqtial E n e гgy р е г Res oшc e E l e m e пt (EPRE). Tl1is m ea п s tl,at each
Resoшce E l e m e пt is tгa n s mitte d ,vitl1 eqt1 al ро ,vе г . 3GPP specifi es th at tl1e PSS са п Ь е t1·a11s111itted witl1 tl1 e same EPRE as tl,e
SS S/PB C Н/DMRS, ог it с а п Ь е tгa п s шitted ,vith 3 dB тоге EPRE. Тl1 е ге is scope to iп с геаsе th e tгa 11 s 111it power of tl1 e PSS because
tl, eгe аге t111нsed Resoшce E l emeпts botl1 abo ve а пd below tl1 e PSS. Jn cгeas iпg tl,e EPRE Ьу 3 dB mea п s that tl, e total po,ve1· ,vithiп
each symbol of the SS/PBCH Block гem a in s appгo x iш a te l y c on s taпt
 5G NR in BULLETS

Tl1e network vendor selects the PSS EPRE relative to the SSS/PBCH/DMRS EPRE. The UE is not pl'Ovided \vith iпformation
* regarding the selection between О dB and 3 dB so the UE is гeq1.1ired to ded1.1ce tl1e _offset. Having knowledge ofthe offset is 1.1 sef1.1I for
UE which are сараЫе ofinterference Ca n ce ll a tюn (IC). Кnowledge ofthe offset s1mpl1fies tl1e genel'atюn ofthe Signal to Ь е subtгac ted
from the \Vanted signal. In addition, haviпg luю \vledge ofthe offset is 1.1sef1.1l fOJ" the UE receiver A1.1tomatic Gain Contl'ol (AGC) \vhich
сап Ье nшed according to the po\Ve!' of each symbol belonging to the SS/PBCH Block

The freq1.1ency domain position of an SS/PBCH Block within the channel bandwidth can Ье specified u s iп g а Resoшce Block offset
* апd а s ubcaгrier offset:

0 N#Z defines а Resoшce Block offset between Common Resouгc e Block О and the Common Resoшce Block \vhich ove1·laps with
the start ofthe SS/PBCH. The numerology 1.1 sed for the Common Resource Block numbering is set equal to the value of
subCm'l'iel'SpacingC0111111011 provided Ьу tl1e МJВ . The value of NfJZ is broadcast within SIВ 1 1.1 sing the offsetToPointA
infoпnatioп element

0 kssв defines а subcaпier offset from s ubcaпi e 1· О ofthe Common Resource Block identified Ьу offsetToPointA to st1bcaпier О of
the SS/PBCH. Iп the case of Freq1.1ency Range 1, kssв is based 1.1pon а 15 kНz s1.1bcarrier spacing while the SS/PBCH can use
subcarrier spaciпgs of 15 or 30 kНz , and subCmтie,-SpacingCommon сап Ье set to eithel' 15 or 30 kНz. The MIB provides ssb-
S11b caп·ie1·Offset which defines the 4 Least Significant Bits oftl1e sнbcarrieг offset (kssв). In the case ofFreq1.1e11cy Range 2 (24.25
GHz to 52.60 GHz), th e Subcaпieг Offset reqt1ires а J"ange fJ"om О to 11 and these 4 bits а ге sufficient. In the case ofFrequency
Raпge 1 (450 МНz to 6 GHz), the S1.1bca пi e1· Offset гeq1.1ires а raпge fl'Om О to 23 so а 5111 bit is l'eqt1ired . This 5111 Ьit (the Most
Significant Bit) is iп c lвded withiп the Physical layer payload of the РВСН and is tгaпsmitted in combination with the МIВ
* Figure l 09 within section 2.3. l illt1st1·ates two examples ofthe Resouгce Block and s нb ca пier offsets fог Fгequency Range 1. Figшe
11 О illustrates two examples of the Reso шce Block and st1bcaпi e 1· offsets fог F1·eque11cy Ran ge 2. Figi.1гe 141 is а simplified diagram to
illt1 stгate tl1e ge п era l concept

Сот топ Resource 8/ock NfJg = offsetToPointA = 10

oj 1 j. I] з j 4[I_j Б j 1j:ш]~~ '

j Соттоп Resource j j◄ 55/РВСН Block
Block Grid sub corrieroffset k 558

Figш·e 141 - F1·eq11e11cy dошаiп positioп of ап SS/PBCH Вlock

* A lt eгnative l y, the fгeq t1 ency domain pos i tioп of an SS/PBCH Block witl1 in tl1e cl1an11el banclw·idtl1 са п Ь е specified н s iп g а pai1· of
abso lt1te f1·e qн e n cies. Ded icated s i g пalliп g сап Ье t1sed to pгov id e botl1 absolL1te fI·eq t1 eпc i es wit l1iп tl1e F1·eq11e11cyl11/0DL рагаm еtе г
s tп1ctшe. Tl1e abso /11teF1·eq11e11cyPoi11tA infoгmat i on e l e m e пt specifi es the position ofthe с l1 аппе l baпdwidth using а Ne\v Rad io
ARFCN (NR-ARFCN) va lн e. Similarly, the abso luteFгeq ueпcySSB infoгm at ion element specifies tl1e po s itioп oftl1e SS/PBCH Block
11sing an NR-ARFCN vallle
* Ал 'SS/PBCH Bшst':
о includes one or mоге SS/PBCH Blocks
о tl1e 111axim1.1m numbeг of SS/PBCH Blocks within а bшs t depends t1pon the ope1·ating band
о is coпtai n ed within а 5 ms time \vindow, i.e. l1alf а radio fгame

* SS/PBCH Bшsts are used to addгess the requiгements ofbeamfol'ming and beam sweeping. Each SS/PBCH Block belonging to an
SS/PBCH Bшst is allocated to а beam. This geпeral сопс е рt is il1L1st1·ated iп Figшe 142

55/РВСН
55/РВСН Burst

8/ock 7 transmitted at time 7

: .
55/РВСН 8/ock б transmitted at time б
х А//beams wi/1 not Ье simultaneausly
55/РВСН 8/ack 5 transmitted at tim e 5 active when using analogue
beamforming
55/РВСН 8/ack 4 transmitted at time 4

55/РВСН 8/ock З transm itted at time З Веат sweeping will Ь е used and ап
55/РВСН Block wi/1 Ье transmitted
55/Р ВСН 8 /ock 2 transmitted at time 2
when its Ьеат becomes active
55/РВСН Block 1 transmitted at time 1

55/РВСН 8/ock О transmitted at time О

Figш·e 142 - Со псерt of SS/PBCH Blocks ,vith i п а SS/PBCH Bш·st

147
5G NR in BULLETS

* In the case of digi tal beamforming, all beams are simн l taneously act ive but each beam is allocated а separate SS/PBCH Block withi
the SS/PBCH Burst so each beam transmits its SS/PBCH Вlock with different timing. This allows the UE to clearly sepaгate the n
transmissions from each beam and beam indices can Ье identified based upon the timing ofthe SS/PBCH B lock
* In the case of analogнe beamforming, beams are not all simultaneously active and beam sweeping is нsed . Similar to digital
beamforming, each beam is al located а separate SS/PBCH Block within the SS/PBCH Burst so each beam transmits its SSIPBCH
Block with different timing, i.e. when the beam becomes active. Beam sweeping is applied throughoнt the duration of each SSIPBCH
Bнrst but the Packet Scheduler is free to select the active beam(s) dнring the time between SS/PBCH Bursts, e.g. if al\ of the traffic is
in а single direction then the Packet Scheduler may activate only а single beam between SS/PBCH beam sweeps
* ТаЬ\е 5§ presents the set of symbols which have been specified as candidates for the start of an SS/PBCH transmission. Tl1ere сап Ьс
maximum of 4 SS/PBCH B locks within а Burst Set when using an operating band below 3 GHz. This increases to 8 when using an а
operating band between 3 and 6 GHz. The maximum increases to 64 when using operating bands above 6 GHz. This trend reflects thc
maximum number ofbeams which are expected fог the various operating bands, i.e. higher operating bands with smal\er wavelengths
and smaller antenna e\ements сап benefit from an increased number ofbeams

S н bcarrier
Slots per Symbols per
Symbols \Vl1icl1 аге caпdidates for s tartiпg SS/ PBCH Block transmissio11s -
5 111S Half Frarп e ~ 3 GHz > 3 GHz. ~ 6 GHz > 6GHz
Spaci п g
Ha lf Frame (5 sнbfra mes) 4 Ca11didates 8 Car1didatcs 64 Ca11didates

2, 8, 16, 22 2, 8, 16, 22, 30, 36, 44 , 50 - -

15 kНz 5 70
(2 subframes) (4 subframes)

1
4,8, 16,20 4,8, 16, 20,32,36,44,48 -
(1 subframe) (2 subframes)
'
30 kН z 10 140 2, 8, 16, 22 2,8, 16,22,30,36,44,50 -
1

(1 subframe) (2 subframes)
See Note / See Note /
- - {4,8, 16 ,2 0}+28 Х 11

\Vl1ere n = О, 1, 2, 3, 5, 6, 7, 8, 10, 11, 12, 13, 15, 16, 17, 18

{4, 8, 16, 20, 32, 36, 44, 48 , 60, 64, 72, 76, 88, 92, 100, 104,
120 kН z 40 144, 148, 156, 160, 172, 176, 184,188,200,204,2 12,2 16,
560
228, 232, 240, 244, 284, 288, 296, 300, 312, 3 16, 324, 328,
340,344,352,356,368,372,380, 384,424,428 , 436,440,
452,456, 464,468 , 480,484,492,496,508,51 2,520,524}
(5 s нbfra m es)

- - {8, 12, 16, 20, 32, 36, 40, 44} + 56 х n

\Vl1ere 11 = О, 1, 2, 3, 5, 6, 7, 8
{8, 12, 16, 20, 32, 36, 40, 44, 64, 68, 72, 76, 88, 92, 96, 100,
240 kНz
120,1 24, 128, 132,144,148,152,156,176, 180, 184,188,
80 1120
200, 204, 208, 212, 288, 292, 296, 300, 312, 3 16, 320, 324,
344,348,352,356,368,372,376,380,400,404, 408,412,
424,428,432,436,456,460,464,468,480, 484,488, 492}
(3 sнbframes)

Note 1: 111 tl1is specific case, tl1e 3 GHz tl1resl10ld is applicaЫe to FDD operating bands. The tl1resl10ld is red н ced to 2.4 GHz for TDD operati11g bands. Tl11 s
iпcreases tl1e nшnber ofTDD operatiпg baпds \vl1icl1 сап use 8 SS/PBCH Blocks

ТаЫе 56 - Candidates fo1· the sta1·ting symbol of SS/PBCH Вlocks

* А single s\ot сап accommodate t1p to 2 SS/PBCH B locks so the number of slots requi1·ed to t1·ansmit а specific numbeг of SS/PBCH
Blocks is given Ьу ROUNDUP(Numbeг of SS/PBCH Blocks / 2)
* It is not mandatoгy to use all ofthe candidate starting positioпs. Fог exa mple, а cell ope1·ating below 3 GHz may not t1se b eamfoгmi11g
апd may нsе only а siпgle SS/PBCH staгting position, i.e. theгe is а single SS/PBCH Block within tl1 e SS/PBCH Bшst

* SIB I can broadcast the i пformation elements sho\vn \Vithiп ТаЬ\е 57. When t1sing an opeгating band belo\v 3 GHz, the 4 leftnюst Ьits
of inOneGmup а1·е t1sed to indicate wl1ich SS/PBCH Blocks are acti ve. When t1 sing ап opeгatiпg Ьапd bet\veen 3 and 6 GH z, all 8 Ьits
of inOneGmup а1·е t1sed to iпdicate \Vhich SS/PBCH Blocks аге active. Wl1en t1si11g ап opeгating band above 6 GHz, tl1 e 64 SS/PBCH
B locks аге dividcd iпto 8 gгot1ps. The i11011eGm11p bit stгiп g iпdicates which SS/PBCH Blocks within а g гонр а1·е active, while the
g1·011pP1·ese11ce bit stгing iпdicates \vhich gгонрs аге active. The pa1·aineteг stгнсtнге also specifies tl1e peгiodicity of tl1e SS/PBCH
Bшst and tl1e dow11lit1k t1·at1s111it power of а single Resoшce Ele111e11t н sed Ьу tl1 e SSS/PBCH/DMRS

Seп ·i11gCel!Cm1/igCm1111ю11S!B

ss b-Po s iti o 11 s l11Bш-s t i11011 eG 1·o нp 1 BIT STRING {8 bits}

gгонр Ргеsе пс е 1 BIT STRLNG {8 bits}
ssb-PeriodicityServi11gCell 5, 10, 20, 40,80, 160,ns
ss-PBC H-BlockPo\ver -60 to 50 dBm

Та Ы е 57 - Extract f1·om Sel'Vi 11g Ce llC011fi gC0 111mon SIВ b1·oadcast Ьу S181
 sG NR in BULLETS

Alternatively, dedicated_signalling_can Ь_е н sed to pr_ovide the infoпnation elements sho,vn _,v ithin Та Ые 58. I_n thi s case, each fгe qнency
* rige has its o,vn b1t stпng to expl1c1tly 1nd1cate wh1ch SS/PBCH Вlocks аге act1ve. The b1t stпn g for operatшg bands above 6 GHz
~:s а length of 64 bits, in contrast to the 16 bits whicl1 can Ье included within SIВ 1. The bit string of 64 bits provides increased
~cxibility when using dedicated signalling, wl1ile the set of 16 Ьits within SIВ I helps to restrict the message size

Seп ·i1 1gCel/Co1,jigC011111ю11

ssb-Po~itionslnBurst CHO ICE

slшrtBitmap ВП STRING {4 bits}
mediumВitmap BIT STRING {8 bits}
l oпgBitmap В!Т STRING (64 bits}
ssb-PeriodicityServir1gCell 5, l О , 20, 40, 80, l 60 ms
ss-PBCH-BlockPo,ver -60 to 50dBm

Та Ые 58 - Extract from Se 1·vingCe ll CoпfigCommon provided using dedicated signalling

* The SS/PBCH Block stai·ting symbols have been selected to avoid symbols which may Ь е allocated to tl1e uplink апd downlink control
сlшпп е l s, i.e. the do,vn link control channels may Ье allocated symbol s at the s taгt of а slot, while the uplink control c h a nп e l s may Ье
allocated syn1bo ls at the end of а slot. Figure 143 illust гa tes the timing of the SS/PBCH Blocks wheп н s in g the 15 kНz апd 30 kHz
s нЬ сагriег spacings. Note tl1at опlу 2 of the 4 SS/PBCH Blocks are shown fог the 15 kHz su b caп ier spaci11g

0 the 15 kHz option and the fiгst 30 kНz option have s imil aг time domain patterпs . Both allow 2 downlink co пtrol channel symbols
at the start ofthe slot wheп the PDCCH uses а 15 kНz s нb caгri e r sp ac iп g, or 3 downlink со пtгоl channel symbols wheп the
PDCCH н ses а 30 kНz subcaпieг s p ac iп g. They can also acco mmodate uplink contгol chanпels iп the same way. If the PUCCH is
н s in g а 15 kНz s нЬ сап i е г spacing then symbol 6 fi·om tl1e 15 kНz option or symbols 12 а пd 13 from tl1e fiгst 30 kНz option сап Ье
н sed to accommodate timing advance and traпsceiver switching, wl1ile symbol 7 fi·om the 15 kНz option ог symbols 14 and 15
from tl1e fiгst 30 kНz opt i o п can Ье н sed to accommodate the PUCCH
о the second 30 kНz option l1as Ь ееп specified to help s нpp ort Ult1·a ReliaЫe Low Lateпcy Communicati ons (URLLC). Tl1is case
allows mоге fгequeп t switcl1i11g betweeп upliпk а пd dowпliпk, i.e. less delay betweeп 11·a11sferri11g data апd гece i v i п g the
ackлow l edge ment. Downlink contro l and data can Ье traпsfeпed dшing symbols О апd 1, ,vhile symbol 6 сап Ь е t1sed to
accommodate timing advaпce а пd tra11sceive1· switc h iпg, whi le symbo l 7 са п Ье н sed to tгa nsfeг tl1e нpliпk acknow l edgemeп t

1 ms slot

15 kHz о 2 5 6 8 9 10 11 12 13

0.5 ms slot 0.5 ms slot

ЗOkHz
о 2 З 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 ' 19 20 21 22 23 24 25 26 27
Option .1

ЗOkHz
о 2 З 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27
Option 2

Figure 143 - Tiшing of SS/PBCH Blocks fo1· 15 kHz and 30 l<Hz s ubc a пi e 1· spac iп g

* Wheп а UE fi,·st acquiгes an SS/PBCH Block, the UE does not immediately k п o,v whicl1 SS/PBCH Block within tl1e bшst has Ьееп
received. Fог example, if the Base Sta tioп is opeгatiпg above 6 GHz and is transmitting 64 SS/PBCH Blocks w ithiп each bшst then the
lJE does not immediately kпow wl1icl1 of the 64 SS/PBCH Blocks has been received
* An SS/PBCH Block can Ье identified using а comЬi nation ofthe System Frame Numbeг (SFN), tl1e HalfRadio Fгame, and tl1e
SSIPBCH Block lndex. Tl1e com Ьinatioп oftl1is i11fo1111ation нпiqнеlу ideпtifi es tl1e SS/PBCH Block witl1in а 10.24 seco пd time
1vindo1v. F i gшe 144 illust1·ates this ti111i11g infoпnation fог each fi·eqнe ncy гange. Tl1e UE сап acl1ieve radio fi·ame, slot апd symbo l
syпchюnisation once tl1is iпformation l1as Ьееп acq нired

* The 6 Most Significant Bits (MSB) ofthe SFN а ге extгacted from tl1e coпtent oftl1e Masteг Infoгmation Block (МIВ). The 4 Least
Sig11 ifica11t Bits (LSB) ofthe SFN аге extracted from the Pl1ys ical laye1· payload ofthe РВСН, i.e. they аге t1·a11smitted in combiпatioп
1vitl1 tl1e MIB оп tl1e РВСН
* Tl1e Hal fR ad io Fгame fl ag is extгacted fгom tl1e Pl1ysical l ауег payload of tl1e РВ СН. ln tl1e case of opeгatiпg baпcl s belo1v 3 GHz, tl1e
Half Radio Fгame fla g can also Ь е cl edнced fго111 tl1e РВ СН DMRS scra 1nЫi11g seqt1e11ce
* ln tl1e case of ope1·ating baпds above 3 GHz, the 3 LSB oftl1e SS/PBCH Block Iпd ex а1·е dedнced fi·o111 tl1e РВСН DMRS scгa111Ы in g
se qн ence . Op eгat iп g baпd s
below 3 GHz on ly геqнiге 2 Ьits so tl1e tl1iгd Ьit is used to inclicate tl1e HalfRadio F1·ame flag . Opeгat i п g
baпds above 6 GHz геqнiге 6 Ьits for tl1e SS/PBCH Block Index. The addit ioпal 3 bits аге extгacted fi·o111 the Physical lауег payload of
tl1ePBCH

149
5G NR in BULLETS

5y5tem Frame Number (5FN) Half Radia 55/РВСН 8/ack

ldentifie5 Radia Fram e Frame lndex

> 6GHz
ир ta 64
Beam5
О ta 1023 О ta 63

Bit5 5ignalled U5ing

Ь0 ta Ь 2 РВСН DMRS
<6GHz&
> 3 GHz Ь 3 ta Ь 5 РВСН Payload
ир taB
О ta 1023 О ta 7 Со РВСН Payload
Beam5
50 ta 53 РВСН Payload
54 ta 59 MIB Content
2 blt5 ta index
4 55 8/ack5 < 3 GHz Nate: the 3 GHz thre5hald i5 chan ged ta
ир ta4 2.4 GHz far TDD when U5ing th e 30 kHz
55 55 54 1 53 52 5о Со Ь1 Ьо
Beam5 5Ubcarrier 5pacing with the 5ecand 5et
О ta 1023 О ta 3 af 5ymbol timing5 (ТаЬ/е 53)

Fi g ш·~ 144- Tiшin g info1·mation used to index each SS/PBCH Block tr a n s шi ss ion

* А UE can Ь е reqн es te d to repo1·t the SS/PBCH Block iпd ex when pюv iding measшe m e nt гesнlts. This a llows the Base Stati on to
identify the beam fю m whi cl1 the meas шe m e nts wе ге recoгd ed . The гe l evant section fi·om an RRC: Meas111·eme11t Repo1·1 message is
shown in Та Ы е 59

Лfeas Nes11l1NH

ResultsPerSSB-[ndexList SEQUE::NCE { 1 to 64 i11 stai1ccs}

ss b - lлdex О to 63
ssb- Resul ts rsrp О to 127
rsrq О to 127
s iш О to 127

Та Ы е 59 - Exti-act f1·om MeasRes11/tNR a ppli ca Ы e to m eas ш· eшe nt repo1·ting fo1· specific SS/PBCH Blocks

* Inclн s ionofthe SS/PBCH Block Index within ап RRC: Meas ш ·em ent R epoгt increases the complexity ofthe mea sшe ment гep o гtin g
pгo c ess.Ifthe UE is only re qнiгed to report the measшe me nt s themselves tl1en the UE only needs to detect and me as шe the Seco11dary
Synchronisation Signal (SSS). Ifthe UE is re qнi red to re p o гt both the me a s шe m e nts and th e SS/PBCH Block Iпd ex th e п the UE also
has to detect and decode th e РВ СН . The SS/PBCH Block Index may not Ь е reqнired fо г some m eas шeme nts, e.g. n e i g l1b o ш cell
m e a sшement s, so tl1e measшe ment pюcess can Ь е simplified Ь у allowing th e UE to гeport only the mea s шe ments themselves

* 3GPP References: TS 38.2 11 , TS 38.2 12, TS 38.2 13

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3.5 PHYSICAL DOWNLINK CONТROL CHANNEL

* The Physical Downlink Control Channel (PDCCH) is н sed to transfer Downlink Control Information (DCI). This co1тesponds to
Pliysical layer signalling from layer 1, in contrast to RRC signalling f1·om layer 3 or the нs е ofMAC Control Elements from lауе г 2.
30РР has specified а set ofDCI Formats to accommodate а range of PDCCH payloads:

0 DCI Format О_О 'fallback' DCI format for uplink resoшce allucations оп the PUSCH
о DCI Foгmat 0_ 1 'standaгd' DCI format for uplink resoшce allocations оп the PUSCH
о DCI Format 1_0 ' fallback' DCI format fог downliпk resoшce allocations оп the PDSCH
о DCI Format 1 1 ' standard' DCI foгmat fог downlink resource allocations оп the PDSCH
о DCI Fo1mat 2_ 0 provision ofSlot Format Indicatoгs (SFI)
о DCI Foгmat 2_1 pгovision of Pre-emption Indications
о DCI Format 2_ 2 provision of closed loop роwег control commands applic a Ыe to the PUCCH and PUSCH
о DCI Foгmat 2_3 provision of closed loop роwег contгol commaпds applic a Ь!e to the SRS

The content of each DCI Format is descгibed in sections 3.5.4 to 3.5.11

* DCI Formats 2_ 0, 2_ 1, 2_ 2 and 2_ 3 а1·е нs e d to pгovide 'UE Groнp Common Signalling'. These DCI Foгmats are designed to addгess а
group ofUE and сап acco mmodate payloads fог each UE within the gгot1p . The payload belonging to а specific UE has а specific
position within the DCI so eacl1 UE is а Ые to extract its own information while ignoring the info1mation intended fш· otheг UE

* Figшe 145 illнstгates the geneгal mappin g ofDCI onto the PDCCH physical cl1annel. The PDCCH occt1pies а specific nt1mbeг of
Resoшce Elements according to its aggregation leve l. An aggregation level is qнantifi ed iп te гms ofthe nt1mber ofContJ·ol Channel
E leme пt s (СС Е) that it occнpies. 1 ССЕ is eqнivalent to 6 Resoшce E lement Gгонрs (REG) which is also eqнivalent to 72 Re soшce
Elements. The link adaption algo1·ithm within th e Base Station assigns а specific aggгegation level accoгding to tl1e size o fthe DCI
payload and the UE cove гage co nditions. Small pay loads сап Ье accommodated н s ing lower aggregation levels. UE ,vhich experieпce
роог coveгage are пoгm a lly allocated higheг aggгegatioп levels to allow iпcгeased cl1annel coding gain, i.e. l1i g l1 e г qtiantities of
redнnd a п cy

Downlin k Contro l lnformation (DCI) PDCCH Sea rch Space Set s CORESET

Form at D_D Uplink Aggregation Level Сотт о п Reso urce Blocks &
Format 0_1 Allocation s 1 ССЕ = 72 RE Тур е О 5 IВ1 Sy mbol s
2 ССЕ = 144 RE Тур е Од Other 51В
Format 1_0 Downlink СС Е to REG Mapping
4 ССЕ = 288 RE Туре 1 M SG2/M SG4
Format 1_1 Allocation s 8 ССЕ = 576 RE Тур е 2 paging Precod er Granularity
~ !
Format 2_0 ' 16 ССЕ = 1152 RE Туре 3 UE Group Common signalling
UE Group Quasi Co-location
Format 2_1 & UE Specific signalling
Common
Format 2_2 СС Е : Control Channel Elem ents DMRS Sc ramЬling ld
Signalling ИЕ Specific UE Specific signallin_g
Format 2_3 : RE: Reso urce El ements
: REG: Resource Element Group

Figш·e 145 - Mappi11g of DCI Foппats 011to t/1e PDCCH, Sear·c/1 Space Sets arнl Co11t1·0/ Resoш·ce Sets

* Tl1e PDCCH is mapped onto а specific Seai·cl1 Space Set accoгdin g to the сопtепt ofthe DCI. Fог exa rnpl e, iftl1e DCI is being н se d to
pюvid e а геsошсе allocation fог MSG2 dшing th e r·andom access р1·осе dше, then the PDCCH is rnapped onto а Туре I Common
Sеагс!1 Space Set. Alteшatively, ifthe DCI is beiп g нsed to pгovide а геsошсе allocation fo1· the tга п sfе г of application data tl1e11 the
PDCCH сап Ье mapped опtо th e UE Specific Sear·cl1 Space Set. Each Seaгch Space Set l1as got а specific pe1·iodi c ity. This per·iodicity
impacts l ateпcy Ь есанsе it deteгmines the aver·age waiting time fог а resoшce a llocatioп oppoгtunity

* Each S eaгcl1 Space Set is mapped опtо а specific Contгol Resoшce Set (CORESET). The CORESET defiпes tl1e set ofResoшce
Blocks а пd tl1 e 1ш111Ь е1· of symb ols availaЫ e to tl1 e Sear·ch Space Set. Vaгiotts otheг physica l layer· ch a rac teгi stics ai·e also defiп ed Ьу
tl1e CORESET. Tl1ese а ге d escгibed iп tl1 e next sectioп

* А UE is 1·eq ttiгed to dedt1ce wl1i cl1 DCI Foпnat is be iпg 1·eceived at any poiпt in time. Tl1is са п Ье achi eved tts iп g а co mbiп ati oп of the
follo\viп g :

о PDCCH Seai·ch Space Set

о type of RNТI tt sed to s с 1·а 111Ы е tl1 e CRC bits ,vl1i ch аге attacl1ed to tl1e DCI payload
о size of DCI payload
о informat ion ,v itl1iп tl1e DCI payload
* Fщ· examp le, if а UE is scaпn i пg а Туре 2 Commoп Seaгcl1 Space Set then it kлows that it sl10t1 ld Ье cl1 eckiпg fог DCI Fo1mat I О
Ьесан sе DCI Fш·mat 1_0 is ttsed to pгovide геsошсе allocat ions for pagi п g messages. A lteп1 at i ve ly, ifa UE is sсап пi пg а UE Sp~cific
Sea!'cl1 Space Set tl1en it knows th at it shottld Ье cl1 ecki11g fог DCI Foгmats О_О , О_ 1, l _ 0 and l _ 1

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5G NR in BULLETS

* ТаЫе 60 presents the set ofRadio Network Temporary Identifiers (RNTI) specified Ьу ЗGРР . These RNТI are used to scramЫe the
CRC bits which are attached to the DCI payload during Physica\ \ayer processing. This is used as а way to address eitheг an individt 1
UE, а group ofUE or al\ UE. The Base Station al\ocates а нnique C-RNТI to each UE within а cell when the UE estaЫishes an RR~a
connection (either from RRC Idle mode or an incoming handover). Ifa UE receives а DCI Format 0_1 (for examp\e) and obtains а
sнccessful CRC result after de-scramЫing the CRC bits нsing its C-RNТI then the UE knows that the resoшce allocation is being se, 1
to that UE rather than another UE. The Base Statioп can allocate а single INT-RNTI to а group ofUE. All UE within that group \Vil! 1
obtain а successful CRC result after de-scramЫing the CRC Ьits attached to а DCI Format 2_ 1 payload. ЗGРР has specified single
fixed values for the S1-RNТI and P-RNTI. These fixed values are applicaЫe to a\l UE

RNТI DCI Fonna t Appl ication Va lнe --

SI-RNTI 1 О PDSCH resources for System Information FFFF
P-RNТI 1 О PDSCH resources for Paging messages FFFE ·-
RA-RNТI 1 О PDSCH resources for Random Access Response (RAR) ·-
TC-RNТI о_о , 1_0 PUSCH resoнrces for MSGЗ re-transmissions, PDSCH resources for MSG4
C-RNТI о_о , 0_ 1, 1_0, 1_ 1 PUSCH and PDSCH resoшces for applicatioп data and control plane signalling
MCS-C-RNТI О О, О 1, 1 О, 1 1 Dynamic selection oflo,v Spectral Efficiency MCS ТаЫе for PDSCH and PUSCH
CS-RNТI 0_0,0_1 , l_O, l_ 1 Configнred Grant Scl1ed11ling for PUSCH, Semi-Persistent Schedнliпg for PDSCH
TPC-PUSCH-RNTI 2_2 Closed loop 11pli11k po,ver coпtrol commands for tl1e PUSCH 0001 - FFEF
TPC-PUCCH-RNТI 2 2 1 Closed loop 11pli11k po,ver control commaпds for the PUCCH
TPC-SRS-RNТI 2_3 ' Closed loop 11pli11k po,ver control commaпds for tl1e SRS
rNT-RNТI 2 1 1 I11tem1ptio11 signalled нsing Pre-emptioп Indicatioпs

SFI-RNTI 2 О Dynamic clшпges to the slot format signalled 11si11g Slot Format Iпdicators (SF!)
SP-CSI-RNТI 0_ 1 Trigger to activate/deactivate Semi-Persisteпt CSI reportiпg from tl1e UE

ТаЫе 60 - Types of Radio Nehvo1·k Tempo1·ar·y Ide11tifie1·s (RNTI)

* The size ofthe DCI payload can also Ь е used to identify а specific DCI Format. The UE c a lcн\ate s the size ofs ome DCI F01·mats base<I
нро11 its configшatio11. Fог example, the UE can c a lcнl a te the size ofDCI F oгmats О_О , 0_ 1, l_O and l_ l. DCI Fo1111ats О_О а пd 1_0
can l1ave e qн a l size, i.e. tl1e р а iг of ' Fallback ' DCI F oгm a t s . In s0111e cases, tl1e Base Station explicitly sign als tl1e size of а р агti с нlш·
DCI F oг111 at , e.g. the UE is explicitly told tl1e size ofDCI F oгm a ts 2_0 and 2_ 1
* Specify ing tш1ltipl e DCI Foгm a ts with an e qн a l size payload гe dt1 ces the 11umb e г ofЫind decoding atte111pts геqнiге d Ьу the UE. Fо г
example, ifDCI Foгmat ' А ' l1as а payload size оfЗ О Ьit s and DCI Format 'В' lias а payload size of 40 Ьits. l11itially, tl1e UE does 1101
know wl1ich DCI Foгmat is being 1·eceived. Tl1e UE has to attempt d ec odiп g а payload size о fЗ О Ьits Ь е fоге cl1eckin g the CRC bits to
deteг111ine wl1etheг ог not decodi11g was s н c c ess ful. Ifнn s н cce ss fнl , tl1e UE has to attempt decoding а payload size of 40 Ьits before
checking the CRC Ьits . Ifboth DCI Formats l1ave an eqнal payload size, tl1e UE 011ly has to attempt decoding once. Ifthe CRC bits
indicate that decoding is sнccessfнl then the UE has to rely upon i11foгmation within the payload to diffeгe11ti a te between Formats 'А '
апd 'В ', e.g. а single Ьit ofinfor111atio11 cottld Ь е н s ed as а fl ag to indicate which DCI Format is bei11g гeceived

* DCI Foгmats О_О and \ _О i11clнde а l Ьit flag to diffeгenti a te the111, i.e. the flag is set to ' О ' to indicate an нplink 1·еsошс е a lloca tioп шнl
is set to ' 1' to indicate а dow11link resoшce allocatio11 . Similarly, DCI Foгmat s О_ 1 and l_ l also in c lнde а I Ьit нplink/downli11k
resoшc e a\location fl ag

* Figнгe 146 illнst1·ates the Physical layer processi11g applied to the DCI Foгmat payload Ь е fоге mappi11g onto the PDCCH.
* Cyc\ic Redнndancy Check (CRC) Ьits аге added to allow епоr detection at the UE. The PDCCH does not l1ave any mecl1anism \\'l1icl1
allows the UE to directly indicate sнcc es sft11/ttn st1cces s fнl reception. Instead, the Base Station has to rely t1pon indi1·ect 111ecl1anisms,
e.g. iftl1e Base Station нses t\1e PDCCH to allocate upli11k resoшces 011 the PUSCH Ьнt tl1e Base Statio11 does 110! receive а PUSCH
transmission then it can dedнc e tl1at the UE fail ed to гec e ive the PDCCH. А set of 24 CRC Ьits are c alcнl a te d from the PDCCH
payload. These CRC Ьits ai·e scгa mЫ ed нs ing the 1·e levaпt RNTI . Scгa mЫi11 g cl1anges some Ьits fго111 ' 1' to ' О ' and oth eг Ьits fюm ' О '
to '1 '. Tl1e order of tl1e Ьit s is 1101 cl1a11gecl .
* Cl1a11nel coding is appli ed after tl1e CRC Ьits have Ьее п added. Ро l аг coding is н sed as а cl1a1111el codi11g solнtion fo1· the PDCCH. Tlic
codi11g гаtе depencls нро11 the aggregatioп level allocated to the PDCCH, i. e. tl1e 1шmЬ ег ofC011tюl Chan11el Ele111ents (ССЕ) . ТаЫе 6I
pгese 11ts the set of agg1·egatio11 levels specified Ьу ЗG РР. The пн111Ье r ofRes oшce Elements show11 i11 thi s tа Ы е is гe qнired to
accom111odate botl1 tl1e PDCCH апd tl1e PDCCH Demodнl atio11 Refeгence S i gпa l (DMRS), i. e. not all Resoшce El emeпts аге аУаilнЫе
to tгa 11 s fe г the payload
* UE in ,veak coveгage аге likely to Ь е allocated а higl1e1· aggregatioп leve\. This inc1·eases tl1e nнmber of Resoшce E l emeп ts \\1l1icl1 а ,·е
avail a Ы e to t1·a n s feг tl1e PDCCH payload and allo,vs the н sе of а lo ,ve г coding га tе (l1i g h e г гedнnd a nc y) . UE iп good c o veгage а ге
likely to Ье allocated а lower agg1·egation level. Tl1i s decreases the 11umb eг ofRes oшce Elements wl1ich а ге availaЫ e to t1·a11sfer tlie
PDCCH payload and leads to а l1igheг co diпg гаtе (loweг redнnda11cy). ССЕ and Resoшce Element G1·oнp s (REG) are desaibed iп
section 3. 5.1

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 5G NR in BULLETS

DCI Format defines

the PDCCH payload

т Examp le of 1 ССЕ
1 ССЕ = 6 Resource
CRC Ьits added
Element Groups (REG) =
(24 Ьits)
72 Resource Elements

т г
r
According to Polar Coding 18 Resource Elements
number of
used Ьу PDCCH DM RS
allocated Control
Channe l Elements
{ССЕ)
'
Rate Matching
'
54 Resource Elements
used Ьу PDCCH

Rules used to initialise

т
pseudo random sequence PDCCH
dependent upon type of ScramЬling Demodulation
Search Space and UE ◄ Reference
configuration Signal (DMRS)
т Maponto
QPSK
Modulation
Resource Elem ents
.
Figш·e 146 - Physical laye1· pr·ocessing for· tl1e PDCCH

Agg1·egati o11 Level ССЕ l{ eso шce Elc111e11t Gro нp s (REG) Re so шce Ele111e11ts
1 1 6 72
2 2 12 144
4 4 24 288
8 8 48 576
16 16 96 1152

Та Ые 61 - PDCC H Agg.-egation Levels

* Rate Matcl1i11 g is applied afte1· с h а пп е l c odiп g to е п s ше tliat th e пнmЬ е г o f bits matcl1es tl1 e capac ity of th e Res oшce E lements
ava il a Ы eto th e PDCCH a fteг ас с о нпtiп g fог tl1 e D e modнl a tion R e fe 1·e п ce S i gп a l (DMl<.S). А s iп g l e ССЕ са п accommodate 108 bits
a fte г acco шlliп g fог tl1e DMRS. Rate M a tc l1iп g also iпclL1d es ап iпte гl eav iп g op e гa tio11 to cl1a11ge tl1e о гd е г ofthe t1· aп s mitted bits

* Tl1e гesulta пt bits аге scгamЫed нsiпg а pseнdo га пdоm sе qнепсе. Iпitiali sation ofthe pseнdo гапdоm s еqнепсе de p eпds нроп tl1e type
of Seaгch Space апd whetl1eг ог поt the UE has Ьееп configшed ,vith а pdcch-DJvfRS- Scm111ЬlingID. If а Commoп Seaгch Space is used
tl1e11 the pseнdo гапdоm sеqнепсе is always iпitialised нsiпg the PCI which has Ьееп allocated to the cell . If а UE Specific Search Space
is 11sed апd tl1e UE has Ьееп coпfigшed ,vith а pdccl1-DМRS-Scгa111Ьli11g!D theп tl1e pseнdo , гaпdom sеqнепсе is iпitialised нsing а
comЬiпatioп of tl1e C-RNTI апd the pdcc/1-DМRS-SCl'amЬ!ingID. If а UE Specific Seaгch Space is нsed Ьнt tl1e UE has поt Ь ееп
c onfigшed ,vith а pdcc/1-DМRS-SC1'a111ЫinglD theп the pseнdo гапdоm sеqнепсе is iпitialised нsiпg the PCI which l1as Ьееп allocated
to tl1e cell

* QPSK modнlatioп is applied to geпe1·ate the set of modнlatioп symbols ,vhich аге mapped опtо the allocated 1<.еsошсе Elemeпts. There
are 54 Resoшce Elemeпts availaЫe per ССЕ afteг accouпting for the DМRS

* Т11е PDCCH апd DMRS аге tгaпsmitted нsiпg а siпgle апtеппа port, i.e. апtеппа рогt 2000 . Beamfoгmiпg сап Ье applied to impгove
dowпliпk cove1·age. Ifusiпg а Commoп Seaгch Space to allocate геsошсеs fог а pagiпg message ог the broadcast of system iпfoгmatioп
tl1e11 it ,vill Ье пecessary to 1·epeat tl1e PDCCH tгaпsmissioп нsiпg mнltip l e beams to епsше that tl1e PDCCH is tгaпsmitted acгoss the
1vl10le cell. !п otl1eг cases, the PDCCH сап Ье tгaпsmitted нsiпg а siпgle beam, e.g. wheп нsiпg а UE Specific Seaгch Space

* The PDCCH сап Ье tгaпsmitted ,vitl1 ог withoнt tгansmit diveгsity. 3GPP has поt specified the p1·ecodiпg fог PDCCH tгaпsmit diveгsity
Ьнt пel\vork veпdo1·s сап implemeпt solнtioп s which а 1·е tгaп spai·eпt to tl1 e UE. The same pгecodiпg is appli ed to both the PDCCH апd
tl1e DMRS so the UE сап нsе the DMRS to estimate the composite pгopagatioп сhаплеl (iпclнdiпg pгecodiпg). The Base Statioп may
apply the same pгecodiпg to а\1 Resoшce Blocks нsed Ьу the PDCCH, 01· may apply diffeгeпt pгecodiп g to differeпt Resoшce Blocks.
At least some i11foг111atio11 гegaгdiпg tl1e precodeг gгапнlагitу i11 the fгеqнепсу domaiп сап Ь е pгovided as рагt ofthe С опtгоl Resoшce
Set (CORESET) coпfi gшatioп (p1 ·ecocleгG1ш111/a, ·ity infoгmatioп e l em eпt 1vit\1i11 Та Ые 62, sectioп 3.5. 1).

* ЗGРР Re feгe п ces: TS 38.2 11, TS 38 .2 12, TS 38.2 13, TS 38.32 1

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3.5.1 CONTROL RESOURCE SET (CORESET)

The Base Station tгansmits the PDCCH t1sing Resoшce Elements which belong to а Control Resoшce Set (CORESET) . А maxirnнm f
* 3 CORESETs сап Ье config1.1гed for an active do,vnlink Bandwidth Part belonging to а specific serving cell . ТаЫе 62 pгesents the 0
parameter structшe t1sed to config1.1re а CORESET

The con/1·0/Resoш·ceSetld identifies the CORESET within а specific seгving cell. It has а range from О to 11 which сап Ье t1sed acros
* all Bandwidth Parts belonging to а specific serving cell . Identity О is t1sed for the CORESET config1.1red Ьу the coпt,-o!Resoш·ceSetZe:­
information element within the Master lnformation Block (МIВ) and within the Se111i11gCel!Co11figCom111011 parameter stn1ct1.1Гe 0
.
The Resoшce Blocks allocated to the CORESET are specified t1sing thefi ·equencyDomainResoш ·ces information element. This
* information element provides а string of 45 bits where each bit coпesponds to а set of 6 contigнot1s Resoшce Blocks within the
downlink Bandwidth Part, i.e. the bit string caters for а maximt1m of 6 х 45 = 270 Resoшce Blocks. А set of 6 contigнot1s Resot1rce
Blocks is inclt1ded within the CORESET ifthe coпesponding bit within the bit string is set to ' 1'

The nt1mber of symbols allocated to the CORESET is specified t1sing the du,-ation information element. А CORESET сап Ье
* configшed with а dшation of 1, 2 or 3 symbols. The dшation is fixed once it has been config1.1red, i.e. it is semi-static. This is in
contrast to 4G which allows the nt1mber ofsymbols allocated to the PDCCH to dynamically chaпge ove1· time as the cell load increascs
and decгeases . In the case of 4G, the PCFICH physical channel is t1sed to signal the 11t1mbe1· of symbols allocated to the PDCCH at апу
point in time. NR does not have а PCFICH physical channel . This approach helps to simplify the decodiпg process becat1se the UE
does not need to decode the PCFICH before decodiпg the PDCCH
The CORESET dшation оfЗ symbols is only permitted ifthe d1111·s-typeA-Positio11 information element has been set to 3 (1·ather tl1a11
* 2). The valt1e оfЗ corresponds to the 4 11 ' symbol which meaпs that the CORESET сап occt1py the first 3 symbols witho1.1t coinciding
with the DMRS t1sed Ьу the PDS(:;H. Note that the CORESET configнration does not specify th e act1.1al symbols occt1pied Ьу the
CORESET, i.e. the configшation does not specify а staгting symbol . The precise timing ofthe CORESET is defined witl1in the Seai·cli
Space Set coпfigнration . This allows mt1ltiple Seaгch Space Sets to re-t1se the same CORESET bt1t with different timings

Co1111"0!Neso11n ·eSe1

coпtrolResottrceSetld О to 11
freqttencyDoma i11Resot1rces В!Т STRrNG (45 bits)
dttration 1 to 3
cce-REG-MappingType C HO ICE
iпterl eaved noпlпterl ea ved

reg- Btшdl e Si ze 2,3, 6

interleaverSize 2, 3,6 -
shiftlпdex О to 274
precoderGraпttl a rity sameA s R.EG -bttпdle, allContigttottsR.8s
tci-StatesPDCCH-ToAddList SEQUENCE { TCI-State!d }
tci-StatesPDCCH-ToReleaseList SEQUENCE { TCI-State!d }
tci-Preseпt!пDCI епаЫеd

pdccl1-DMRS-Scrambli11g!D О to 65 535

ТаЫе 62 - Pai·ameter strпctш·e used to coпfigure а Control Resource Set (CORESET)

* Tl1e Resoшce Elements belonging to а CORESET а1·е organised into Resoшce Element Gгot1ps (REG). А siпg l e REG is I Res oшce
B lock in the freqt1ency domain and I symbol iп the time domain , i.e. 12 Resoнrce Elements

* Mt1ltiple REG аге t1sed to ge пe1·ate Control Cl1annel Elements ( С С Е ). А s iпgle ССЕ is ge п e гate d t1sing 6 REG , i.e. 72 Resoшce
Elements. ЗGРР has specified both пon - interleaved and inte гle a ve d mappiп gs bet\veen REG а пd ССЕ. The cce-REG-MappingType
info1·matioп elemeпt within ТаЫе 62 is t1 sed to select between th e 11011-interleaved and inte гlea v e d optioпs

* Examples ofthe noп-inteгle ave d mappiпg are illt1st1·ated iп F i gшe 147 . The ССЕ аге geп e гa ted fюm bt111dles of6 consect1tively
nt1mbered REG. REG 11t1mb eгi11 g incгease s with time Ь е fоге inc гeas iпg with fгеq1.1епсу . The noп - inte гleaved sollltioп сап Ь е t1sed fог
iпtегfегепсе co-01·din ati o11 witl1 11 e i gl1boшi11g cells beca t1 se tl1 e do,v11li11k ро\vег is гes tгi ctcJ to а s ma ll e г sectioп oftl1e Bandwidt\1 Par1 ,
i.e. о п е cell н ses 0 11 е secti o11 o f tl1e Ba11d\vidtl1 Ра гt \vl1il e а 11 e i g hb o шiп g cell н ses а diffeгeпt section oftl1e Ba11dw idtl1 Р а гt
* The i11te1·Ieaved solt1tio11 са п pюv i de f1·eqt1e11cy dive1·s ity beca t1 se tl1e al loca ted REG са п Ье di s tгibllte d ac ю ss tl1 e Ba11dwid tl1 Part.
Wl1 e11 t1 si11 g the iп terl eaved so lнti o 11 , REG B ш1 d l es а ге ge11e1·ated fюm 2, 3 о г 6 REG (as specifi ed Ьу 1·eg-81111dleSize). REG Bt111dl e
s izes of2 a11d 6 аге peгmitted wl1 e11 eitl1e1· 1 01· 2 symbo ls а ге all ocatecl to tl1 e CORESEТ. REG Bt111dl e sizes оfЗ апd 6 аге peгm itted
\Vl1 e11 3 symbols а 1·е allocated to tl1 e CO RESET. ССЕ а ге ge п e гa ted Ьу g гo t1pi11 g tl1e REG Bt111dles. Fo1· exa mpl e, 2 REG B ш1dl es а 1·е
gгo t1p ed to gеп егаtе а ССЕ wl1 e11 tl1 e REG Внпdl е size is 3 REG. Ап i11te1·Ieave1· depth (as specifi ed Ьу i11te1·lea11e1-Size) is coпfi gшed IO
d e te пniп e th e пнmЬ е г o f sec ti o п s tl1 at tl1e CORESET ba11dwidtl1 is di vided iпto when appl yi11 g tl1e i11te1·Ieavin g

154
 5G NR in BULLETS

яesource Blocks
in Frequency
1 39 40 41
ССЕ 6
26 27 ССЕ 4 13 D REG
(1 Resource Block х 1 Symbol)
Domain 36 37 38 24 25 12
33 34 35 22 23 11 1 ССЕ when
ССЕ 5 using 3 symbols
30 31 32 20 21 ССЕ 3 10 1 1 1 1
27 28 29 18 19 9
ССЕ 4

§§
ССЕ 1
24 25 26 16 17 8
1 ССЕ when
21 22 23 ССЕ 2
14 15 7 using 2 symbols
Resource
в1осk -
! 18 19 20
ССЕ 3
12 13 6
15 16 17 10 11 5
ССЕ 2
12 13 14 8 9 ССЕ 1 4
9 10 11 6 7 3
ССЕ 1 ССЕ О
6 7 8 4 5 2 1 ССЕ when
using 1 symbol
3 4 5 2 3 ССЕ О 1
ССЕ О
о 1 2 о 1 о

3 Symbol s 2 Symbo ls 1 Symbol

Figure 147 - Non-i11te1·leaved 111appi11g of ССЕ 011to REG

* Some examples of inteгleaved REG to ССЕ mappings are illt1stгated in Figшe 148. All examples asst1me that 3 symbols have Ьееп
allocated to the CORESEТ. The first two examples asst1me а REG Bt1ndle size of 6 REG. This leads to 1 REG Bt1ndle per ССЕ
(s imil aг to the non-inteгleaved mappiпg). The fi1·st example is based t1pon а п iпteгleaveг depth оfЗ so tl1e CORESET bandwidth is
divided iпto 3 sections а пd ССЕ пumb ering 1·otates aгot1nd those sections (only рагt ofthe CORESET bandwidtl1 is shown in Figшe
I48). The second example is based t1pon an inteгleaveг deptl1 of 6 so the CORESET bandwidth is divided into 6 sectioп s and ССЕ
1шmb e1·ing гotates а гонnd tlюse sections. The third example assнmes а REG Bнndle size оfЗ REG . This leads to 2 REG Bнndles рег
ССЕ. Ап iпteгleaveг depth of 6 is applied so the CORESET bandwidth is divided into 6 sect ioп s and ССЕ пнmЬегiпg гotates aгound
tlюse se ctioп s . Ho\veveг, in tl1is case the ССЕ nt1mbe1·ing iпc1·ement s acгoss every second section becat1se eacl1 ССЕ гeqt1iгes 2 REG
Bt1ndles

REG Bundle Size = 6 REG Bund le Size = 6 REG Bundle Size = 3

1 Bundle per СС Е 1 Bundl e р е г СС Е 2 Bundl es р е г ССЕ
lnterl eaver Oepth = 3 ln terl eaver Depth = 6 lnterleav er Depth = 6

51 52 53 51 52 53 51 52 53 ССЕ 4
48 49 50
CCEl
48 49 50
ССЕ 2
48 49 50 ССЕ 1 D REG
(1 Re source Block х 1 Symbol)
45 46 47 45 46 47 45 46 47 ССЕ 21
ССЕ 21 ССЕ 19 1 REG Bundle when
42 43 44 42 43 44 42 43 44 ССЕ 18
Bund le Size = 6
39 40 41 39 40 41 39 40 41 ССЕ 15 1 1 1 1
ССЕ 18 ССЕ 13
36 37 38 36 37 38 36 37 38 ССЕ 12
1 REG Bund le when
33 34 35 33 34 35 33 34 35 ССЕ 9 Bundle Size = 3
ССЕ 15 ССЕ 7
30 31 32 30 31 32 30 31 32 ССЕ 6
27 28 29 27 28 29 27 28 29 ССЕ 3
ССЕ 12 ССЕ 1
24 25 26 24 25 26 24 25 26 ССЕО

21 22 23 21 22 23 21 22 23 ССЕ 21
ССЕ 9 ССЕ 18
18 19 20 18 19 20 18 19 20 ССЕ 18
15 16 17 15 16 17 15 16 17 ССЕ 15 ССЕ generated
ССЕ 6 ССЕ 12
12 13 14 12 13 14 12 13 14 ССЕ 12 using pairs of
REG Bundles
9 10 11 9 10 11 9 10 11 ССЕ 9
ССЕ 3 ССЕ 6
6 7 8 6 7 8 6 7 8 ССЕ 6
3 4
- - о 1
5
2
ССЕ О
3
о
4
1
5
2
СС Е О
3
о
4
1
5
2
ССЕ

ССЕ О
3

3 Symbols 3 Sy mbols 3 Sym bol s

Figure 148 - Inte1·leave d 111appi11g ot' ССЕ froш REG

* Tl1e s/1 iftl11dex infoгmati o п e l e meпt сап Ье t1sed to apply а cyclic shift to the iпteгl eav iп g patteгn. Ifthe CORESET is coпfi gшed Ьу the
Masteг Iпfoгmation Block (МfВ) 01· Ьу S IВ 1, tl1e cyclic sl1ift is de fiпed Ьу tl1e PCI гatl1e1· than Ьу tl1e s/1iftl11clex information element.
The cyclic shift moves tl1e ССЕ patterп t1pwaгd s, with wгарагонпd fгom tl1e top to the bottom

155
5G NR in BULLETS

* The PDCCH and its Demodulation Reference Signal (DMRS) are transmitted using а single antenna port (antenna port 2000). The
Base Station can apply precoding to this antenna port to generate а beam in the direction ofthe UE. This precoding is transparent to th
UE but downlink performance can Ье improved if the UE has at least some knowledge of the precoding. The p1"ecode,-G1"a11u/щ·ify е
information element provides the UE with information regarding the frequency selectivity ofthe precoding applied Ьу the Base Statio
If p1·ecode1·G1"anulшity is set to 'sameAsREG-bund/e' then the UE assumes that the Base Station applies the same precoding weiglнs 1";
all Resource Blocks within а REG Bundle. Otherwise, ifp1·ecode1·G,-anu/a,·ity is set to 'al/ContiguousRВs' then the UE assumes that L
the Base Station applies tl1e same precoding weights to all Resoшce Blocks belonging to contiguous REG Bundles
* The UE can also Ье provided with Quasi Co-Location (QCL) information to support successful reception ofthe PDCCH. QCL means
that transmissions from different antenna ports share some common characteristics. For example, they may experience the same
Doppler s'hift, Doppler spread, average delay and delay spread. The CORESET can Ье Quasi Co-Located with а Synchronisation Signat
Block (SSB), or with а CSI Reference Signal . Providing the UE with knowledge ofthis Quasi Co-Location can help the UE to
complete channel estimation, frequency offset estimation and synchronisation (QCL is iпtroduced in section 2.6)
* Quasi Co-Location is configured within the Co11t1"0/Reso111·ceSet parameter structure Ьу listing the identity of one or more Transmission
Configuration Indicator (TCI) States. Each identity points towards а TCI-State parameter structure, as shown in ТаЫе 63. This
parameter structure specifies either I or 2 instances ofQuasi Co-Location (qcl-Type2 is optional). ln each case, either an SSB or а CSJ
Reference Signal is linked to а specific qcl-Type. 3GPP has specified 4 types ofQCL to indicate which large scale chanпel
characteristics are common between the PDCCH and the SSB/CSI Reference Signal . These 4 types ofQCL are labelled А , В , С and D:
о QCL Туре А: {Doppleг Shift; Doppleг Spread; Average Delay, Delay Spread}
о QCL Туре В: {Doppler Shift; Doppler Spread}
о QCL Туре С : { Dорр\ ег Shift; Average Delay}
о QCL Туре О: {Spatial Receiver Parameters}

TCI-S1a1e
tci-Stateld 010 11
qcl-Type l ServCelll11dex О to 31
b\vp-ld О to 4
referenceSigrial C HOI CE
csi-rs 1 ssb
NZP-CS !-RS-Resoнrceld 1 О to 191 1 SS B - !лdex 1 О to 63
qcl-Type ty peA, typeB, ty peC, typeD
qcl-Type2 ServCell lndex О to 3 1
b\vp-ld
re ferenceSigп a l CHOI C E
csi-rs 1 ssb
NZP-CSI-RS-Resoнrce!d 1 О to 191 1 SSB-Iлdex 1 О to 63
qcl -Type typeA,typeB,typ eC, typeD

ТаЬ\е 63 - Tra11s111issio11 Co11figш· atio11 I11dicatoг (TCI) State para111ete1· st1·11ctш·e

* If only а single TCI State is listed within the Co11tm/Reso111·ceSet parameter structure theп the UE assumes Quasi Co-Location b e t\veeп
the PDCCH and the SSB/CSI Reference Signal specified Ьу that TCI State. Ifmultiple TCI States are listed within the
Contгo/R esoш ·ceSet parameter structшe then the UE requiгe s an activation command to identify which TCI State to арр\у. The 'TCI
State Indication fог UE-specific PDCCH ' МАС Contгol Eleme11t is used to pгovide the activation command . This МАС Contгol
Element is illustшted in Figure 149. lfmultiple TCI States are listed within th e Co11t1·0/Reso111·ceSet paгameter stгuctшe but tl1e l JE l1as
not received an activation command then the UE сап asst1me Qt1asi Co-Location between the PDCCH and the SSB selected dt1Гi ng the
initial access ргос еdше

CORESET/0 Serving Се/1 /denlity 1 CORESEТ/0 Serving Се/1 ldenl#y: 5 Ьfts

CORESET /0 : 4 Ьfts
ТС/ Sta/e /О TCI S/ale /0 : 7 Ьfts
1

F i g ш· e 149 - T C I S ta te l11(li catio11 fo1· UE-specific PDCCH МАС Co11 t1·ol Ele111e11t

* T l1e tci-P,-esentlnDCI i11fo пn a t i o11 element specifi es wl1etl1e1· 01· 110t DCI F oпn a t 1 1 i nc lнd es tl1 e ' Tгa 11 s mi ss i o 11 C o 11fi g t1Гa ti o11
Iпdi cation ' fi eld . Tl1i s fi eld is app licaЬ! e to the recep t i o п of tl1e PDSCH, i. e. it сап Ье t1sed to acti vate TCI States fог tl1e PDSCI-[
* T l1e pclcc/1 -DNFRS-Scmm Ь!ingID iп foгmati on e lement ca n Ье t1sed to iп i ti a li se tl1e pset1do гa nd o m seqL1e11ce ,v!1icl1 poplllates tl1e DM RS
Resot1Гce Elements. If tl1is i11fo1·mati o11 e!ement is not p гov i d ed , th e Pl1ysica l ! ауе 1· Ce ll Identi ty (PCI) is used i11stead. Tl1i s i11 fo 1·mati o11
e!ement can also Ь е tised in combi11 ati on witl1 th e C-RNTI to iпi t i a li s e tl1 e s c гa mЬ!in g sequ ence fо г tl1 e PDCCH payload w h e п L1si11g а
UE Specific Search Space (see s e c tioп 3.5)
 5G NR in BULLETS

SEARCH SPАСЕ SETS

А Search Space uses а Control Resource Set (CORESET) to define the specific Resource Blocks and symbols where the UE attempts
* to decode the PDCCH. А UE attempts 'Ыind' decoding withiп the Search Space because the UE does not kno\v the aggregation leve l
being нs ed , ног does it k11ow the position ofthe PDCCH amongst the set ofCCE. In addition, the UE may not know the DCI Format
being transmitted which means the UE does not know the size ofthe payload

Blind decoding generates а significant processing load at the UE so 3GPP has specified а set of restrictions to help limit the processing
* requirement. The first restriction (presented in ТаЫе 64) is tl1e maximum number of PDCCH candidates per slot and per serving cell.
This restriction is а function ofthe subcaпier spacing because high subcaпier spaciпgs allow less time for а UE to complete its search,
i.e. the slots are shorter. А UE is expected to Ье сараЫе of completing 44 Ыind decoding attempts when the subcarrie1· spacing is 15
kHz. The Base Station сап configшe the UE to distribute these 44 attempts across а range of aggregation levels. The requirement
decreases to 20 Ыind decoding attempts when the subcarrier spacing is 120 kНz

The second restrictio11 (also presented in ТаЫе 64) is the maximum number ofCCE which require channel estimation per slot and per
* serving cell. In the case of 4G, the PDCCH does not have а Demodulation Reference Sigпal (DМRS) and the Cell specific Reference
Sigпal is used Гог cl1a пn e l estimation. In the case of 5G, the PDCCH has а DМRS for chanпel estimation. Cha пn e l estimation requires
baseband processing so tl1 ere is а limit to the number of channel estimates which сап Ье generated per slot. This 1·est1·iction also
depeпds нроn the s L1bcaпier spacing because high subcarrier spacings allow Iess time for а UE to complete the channel estimates

S нb ca rri e r Spaci11 g
15 kH z 30 kH z 60 kHz 120 kH z
/ Maxi1ш1m PDCCH caпdidates per slot апd per serviпg cell 44 36 22 20
/ Maximшn ССЕ reqнiriпg cliaппel estimatioп per slot апd per servi11g cell 56 56 48 32

Та Ые 64 - Resn· ictioпs per s11bcarтie1· spaciпg to limit tl1e UE p1·ocessi11g 1·eq11iremeпt fo1· Ыiщl decodiпg of tl1e PDCCH

* Iп add itioп to tl1e 1·estrictions p1·eseпted in ТаЫе 64, 3GPP has specified that а UE needs to Ье сара Ы е of moпitшiпg нр to 3 DCI
Format si zes per serving cell for DCI Formats which use tl1e C-RNTI to scramЫe tl1e CRC bits. The UE also пeeds to Ь е сара Ы е of
monito1·ing а foшth DCI Format size per serving cell fo1· DCI Formats \Vhich do поt нsе the C-RNТ I to scramЫe tl1e CRC bits

* ТаЫ е 65 preseпts tl1e categories ofSearch Space Sets wl1icl1 have been standard ised Ьу 3GPP. T here are 'Con1111011' and 'UE Specific'
Searcl1 Space Sets. Соmшоп Searcl1 Space Sets ar·e fi.1rtl1 er catego1·i sed as Туре О , ОА , 1, 2 and 3

Ту р е l~ N ТI DC I Fоппаt Лpplica1iui1

Туре О S!-RNTI 1 О Sffi l

Туре ОА SI-RNT! 1 О SШ2, SШ3, SLВ4, etc
Туре 1 RA-RNT!, TC-RNТI о_о, 1_0 MSG2 / MSGЗ / MSG4
Со 111111011
Туре2 P-RNТI 1 О Paging
Туре 3 rNT-RNТI,SFI-RNTI, TPC-PUSCI-i-RNП, о_о ,
1_0, UE Gгонр Commo11 sigпalling
TPC-PUCCH-RNТI, TPC-SRS-RNТI, C-RNT( 2_0, 2_ 1, 2_2, 2_3 & UE data traпsfer нsi11g
MCS-C-RNТI, CS-RNТI Fallback DCI Formats
UE Specific C -RNТI, MCS-C-RNТI, CS-RNП 0_0,0_ 1, 1_0, 1_ 1 UE data tra11sfer

ТаЫе 65 - Catego1·ies of Sea1·ch Space Sets

* А Туре О Commoп Sea1·ch Space Set is нsed for PDCCH tгansmissioпs which provide resoшce allocations for System Information
Block 1 (SIВ l). This Search Space Set is configшed within tl1e Master Information Block (МIВ) оп the РВСН . It сап also Ье
configшed нsing the seaгc/1SpaceSIВI and sem·c/1SpaceZem iпformatioп elements within the PDCCH-Co11figC0111111011 parameteг
stп.1 cture s howп in ТаЫе 66. The PDCCH-Co11figC0111111011 par·ameter stп.1ct1.1re includes both seш-c/1SpaceZem and
co11/1·0/Reso111·ceSetZe1·0 iпform atio п elements. Tl1ese are the same iпformation elements as tlюse н sed Ь у the МIВ. Tl1eir use is
described in g1·eate1· detail in Sectioп 3.5.3. Tl1e Searcl1 Space set coпfigurecl Ьу tl1e seш·c/1SpaceSIВ I iпformati oп e l e meпt is mapped
опtо the Cont1·0 I Resoшce Set (CORESET) with ideпtity О

* А Туре ОА Соmшоп Seaгcl1 Space Set is н sed fог PDCCH tгaпsmissioпs which provide геsошсе allocatioпs fш Otheг System
Iпfor111at io11 (OSI), i.e. SIB 2, SIВЗ, SIB4, etc. This Searcl1 Space Set сап Ье coпfigшed withiп SIВ I нsiпg the
seш-c/1SpaceOt/1 e,-Sys te111!11/o mшtio11 iпfo1· m a tioп e l e m eпt wl1i ch b e l oп gs to tl1e PDCCH-Co11figC0111n1011 paгai11 e te 1· s trн c tщe sl10\v11 iп
Та Ы е 66. Th e sea1 ·c/1Space Ot/1 e1 Sys te111!11fo m ш lio 11 i11fo п11 a ti o 11 e l e m e п t co пfi g шes tl1e icle11 tity o f tl1 e Seai·c l1 Space Set whi c l1 is to Ье
н se d as tl1 e Тур е О А Co111mo11 Sea1·cl1 Space Set. The Searc l1 Space Set itself is co пfi g шe d t1 si11 g tl, e Seш·c/1 Space paгa m ete r s t1·L1 c tшe
p1·ese11ted l a teг iп tl1i s sectio11. T l1 e PDCCH-Co11/igC0111mo11 para m e te г s ta1 ctшe са п also Ь е p гo v id e d to tl, e UE L1 s i11 g dedicated
s i gпalliп g (iп additioп to b e iп g bгoadcast \vit l1i11 SIВ 1)

* А Тур е I Со п,111011 Se aгc l1 S pace Set is н se d fш PDCCH t1·a11s111iss io11s wl1icl1 pгo v ide res oшce a ll o ca tioп s fог нpliпk а пd do\v11 li 11k
messages associated \Vitl1 tl1e 1·aпdom access ргос е dше, i. e . MSG2, MSG3 а пd M SG4. DCI F oп11a t l _O is н sed iп co111Ьiп a tio11 witl, а п
RA- RNТI to allocate геsонгс еs fог MSG2 (Raпdom Access Respoп se ). The нpliпk ге s ошсе a ll ocatioп for· the fiгs t t1·a11smi s sioп of

157
5G NR in BULLETS

MSGЗ is included within the Random Access Response so PDCCH reception is not necessary. However, MSGЗ re-transmissions
schedнled пsing DCI Forrnat 0_1 in combination with а TC-RNТI. DCI Forrnat 1_0 is пsed in combination with а TC-RNТI to all~~e
resoнrces for MSG4 ate

А Туре 1 Common Search Space Set сап Ье configuгed within sm 1 or Ьу пsing dedicated signalling. The 1·a-Seaгcl1Space inforrn 1.
* element shown in ТаЫе 66 configнres the identity ofthe Search Space Set which is to Ье пsed as the Туре 1 Common Seaгch Spa~ юп
Set. The Search Space Set itselfis configнred пsing the SeGl"chSpace parameter st11.1ct1.1гe pгesented later in this section е
* А Туре 2 Common Search Space Set is пsed fог PDCCH transmissions which provide i-esource allocations for paging messages. Th·
Search Space Set сап Ье configured within SIВ 1 or Ьу пsing dedicated signalling. The pagingSeG1"cl1Space info1mation element slio 1~
in ТаЫе•66 configures the identity ofthe Search Space Set which is to Ье used as the Туре 2 Common Search Space Set. The Seai·ci'111
Space Set itself is configured using the SearchSpace parameter st111ctuгe presented later in this section 1

РDCCH-Co11jigC0111111011

controlResourceSetZero О to 15
cornmonControlResourceSet Co11tгo!Reso111"ceSe1 (ТаЫе 62)
searchSpaceZero О to 15
commonSearchSpaceList 1 to 4 instaпces of Seшcl1Space (ТаЫе 68)
searchSpaceS[В l О to 39
searcl1SpaceOtl1erSystemlnformation О to 39
pagingSearchSpace О to 39
ra-SearchSpace О to 39

ТаЫе 66 - PDCCH-Co11figC0111111011 pai·ametet· stt· uctш·e

* А Туре 3 Common Seaгch Space Set is пsed fог PDCCH tгansmissions which provide геsонrсе allocations fог UE Group Со mтоп
signalling, i.e. based ttpon DCI Fo1mat 2_0 with an SFI-RNТI; DCI Format 2_ 1 with an INT-RNTI; DCI Format 2_2 with а TPC-
PUSCH-RNTI ог TPC-PUCCH-RNTI; DCI Format 2_3 with а TPC-SRS-RNTI. А Туре 3 Common Search Space Set сап also Ье 11sc,t
fог PDCCH t1·ansmissions which provide геsошсе allocations fш the 'fa llback' DCI Fo1mats О_О and 1_0 in comЬination with а C-
RNTI, MCS-C-RNTI ог CS-RNTI
* In coпtгast to the otheг Соmлюn Sea1·ch Space Sets, а Туре 3 Com moп Seaгch Space Set саппоt Ь е coпfigшed u s iп g tl1 e МIВ 1101· SIB.
А Туре 3 Co mmoп Sea1·ch Space Set is coпfigшed llsiп g the PDCCH-C01?fig pat·ameteг st п1ct1.1гe \vitl1iп ded icated s i gna lliп g. Tl1is
paгamete1· s t11.1 ctL1гe is pгes e nted iп ТаЫе 67. А Туре 3 Co mmon Searc\1 Space Set is config шe d Ьу addiпg а п iп s tance oftl1e
Sea1·cl1Space рагаmеtег stп1ctu1·e with tl1e sem·cl1SpaceType set to ' со тmоп '. The Sea1·cl1Space parametet· s tгuctuгe is p1·ese11ted in
ТаЫе 68

PDCCH-Co11jig
controlResoшceSetToAddModList 1 to 3 instances of Co1111·0/Reso11гceSet (ТаЫе 62)
coпtrolResoшceSetToReleaseList 1 to 3 iпstaпces ofC011tm/Reso11гceSetld

searcl1SpacesT0AddModList 1 to I О iпstaпces of Seшc/1Space (ТаЫе 68)

searcl1SpacesT0ReleaseList 1 to I О iпstaпces of Se01·c/1Space!d
do1vпliпkPreemptio11 SetupRelease { Do11,11/i11kP1·ee111plio11 }
tpc-PUSCH Seh.1pRelease { PUSCH-TPC-Co111111a11dC011jig}
tpc-PUCCH Seh.1pRelease { PUCCH-TPC-Co111111a11dC011jig}
tpc-SRS Set1.1pRelease { SRS-TPC-Co111111a11dConjig}

ТаЫе 67 - PDCCH-Co11fig pa1·aшeter st,· uctш·e

* А UE Specific Seaгch Space Set is llsed fог PDCCH traпsmissioпs wl1 ich pгovide 1·esource a ll ocatioпs for Lipliпk and do\vпliпk data
t1·aп s fer. DCI Foгmats О_О and 0_1 pгovide up liп k геsош-се allocations, while DCI Foгmats 1_0 а пd 1_ 1 pгovide downliпk 1·еsо шс с
a llocatioпs. Both the C-RNTI and MCS-C-RNTI сап Ь е used fог the al location of dyпamic g1·ants. This раiг ofRNТI al lo\VS гapid
switchiпg bel\veen tl1 e staпdaгd MCS tаЫе апd the low spect1·al efficiency MCS tаЫе , i.e. tl1e C-RNТI indicates that tl1e UE sl1011ld н s:
th e staпdard MCS tаЫ е, whi le the MCS-C-RNТI indicates tlшt the UE shollld нsе tl1 e Iow srectгal efficieпcy MCS tаЫе. Tl1e CS-RNl 1
са п Ье н sed to act ivate апd deactivate Scl1 edL1led G1·aпt t1·a11 s 111i ss ioп s iп tl1 e нplink апd Sem i-P e гs i st eпt Sc h ed пlin g (SPS) iп tl1e
dowп lin k

* S imilaг to а Туре 3 Common Sea1·c\1 Space Set, UE Specific Seaгch Space Sets а ге co nfi gш-ed t1 sing tl1e PDCCH-Coпfig рш·атеtе г
st гL1 ctшe (ТаЫ е 67) w itl1i11 dedicated s i gna lliп g . А UE Specifi c Sea гc l, Space Set is co11fi g L1гed Ьу addiп g an in s taп ce oftl1e
Sea1·cl1Space р а га m е tе г s tп1ctш·e (ТаЫ е 68) \Vith tl, e seG1"cl1SpaceType set to 'lle-Spec ific '
 5G NR in BULLETS

Seшcl,Space

О to 39
~ c eld
~ ~ ourceSetld О to 11
,~ntro
~ S lotPeriod i c i tyAпdOffset CHOICE
n10J11l0 Гi11g"
1 slot - 10 slots О to 9 160 О to 159
2 slots О to 1 16 slots О to 15 320 О to 319
4 slots О to 3 20 slots О to 19 640 О to 639
5 slots О to4 40 slots О to 39 1280 О to 1279
8 slots О to 7 80 slots О to 79 2560 slots О to 2559
- duratiш:i___
2 to 2559
--;;,oпitoringSymbolsWitl1iпSlot ВП STRING (14 bits)

~iro!Candidates aggregationLevel 1 О, 1, 2, 3, 4, 5, 6, 8
aggregationLevel2 о, 1, 2, 3, 4, 5, 6, 8
aggregationLevel4 О, 1, 2, 3, 4, 5, 6, 8
aggregationLevel8 О, 1, 2, 3, 4, 5, 6, 8
aggregationLevel 16 О, 1, 2, 3, 4, 5, 6, 8
cnrcl1SpaceType CHOICE
common н e-S pecific

dci-Format0-0-And Format 1-0 dci-Fonnats fonna t s0-0-Aпd-1-0 ,

foпnats0- I -Aпd - 1 - 1
dci-Fonnat2-0 nrofCandidates-SF I aggregationLevel1 1, 2
aggregat i o пLevel2 1, 2
aggregationLevel4 1, 2
aggregationLevel8 1, 2
aggrega ti o пL eve l 16 1, 2
d c i -Fo пn at 2- I

dci-Format2-2
dci-Forп1at2-3

Та Ы е 68 - Para шete1· str11ct111·e шеd to co nfi gш·e а Seai·cl1 Space Set

* Tl1 e sea1·c/1Spaceld seгves as an identity f01· the Seaгc h Space Set being configшed. The co11 t1·0 /R eso11гceSetld identifies tl1e Contю l
Rcsoшce Set (COREST) that the Sea гch Space Set is mapped onto. The CORESET dete1mines the specific Resoшc e Blocks ava il a Ыe
to tl1 e Seю·c l1 Space Set а пd also tl1 e m1mber of symbols

* Tl1c 111011ito1·i11gS/otPe1·iodicityA11c/Offset configшes the timing of the Seai:ch Space Set. А Seaгcl1 Space Set оссшs dшing slo t;:,
1vitl1i11 Framer when tl1 e followin g eqнa lity is tгн е:

( Framer х N{i:~me,i, + s lot:r - Offsetp,s ) m od PeriodicitYp,s = О

Fo1· example, if the peгiodicity is set to I О slots and tl1e offset is set to 5 slots while the nнmeгology deteпniпes th at theгe ai·e 20 slots
р ег fгame (30 kHz s нЬ сап· i ег spac iп g) theп tl1 e Sea гch Space Set оссшs dшiпg slots 5 апd 15 of every frame

* Tl1e c/111 ·atio11 iп formatioп e l emeпt is optioпal апd slюнld поt Ье coпfused w ith the dш·ation iп formati on element be loпging to the
CORESET (ТаЫе 62). Tl1e Seaгch Space Set dш ·ation specifies th at the Seaгch Space Set exteпds acюss mнltiple coп secнtive slots.
Fог examp le, if the dш ·ation was set to 3 fог tl1e pгevioнs example th eп the Seaгch Space Set woн ld iпclнde slots 5, 6, 7, 15, 16 and 17
ot· сvегу radio fгame

* Т11е 111011ito1·i11gSy111bo/s Т,Vit/Ji11S/01 iпfoгmatioп e l emeпt specifies th e s taгtiп g symb ol(s) fог tl1e Seaгc h Space Set wi tl1iп tl1e slot. This
i нfoпnation e l e meпt is а bit stгiпg wl1 eгe each Ьit coпespoпds to а symbol within tl1 e slot. А s i пgl e Ьit wi ll Ь е set to ' 1' i ftheгe is а
siп g l e iп staпce of tl1e Seai·cl1 Space Set within the slot. Figшe 150 illн st1·ates examp les fог а moЬi le bгoadband device and а low lateпcy
dcvice. Т11с mobi le broadbaпd dev ice is co nfi gшed to moпitoг tl1e PDCC H at tl1e staгt of eve1y slot. T l1i s is aпa logoнs to 4G wl1i cl1
allo1vs РО ССН tгa п sm i ss ion dшiп g tl1e fi1·st symbo ls belongin g to eacl1 sнb f1·a me. [п tl1 is example, th e CORESET c/11mtio11 is assшned
to Ье 2 symbo ls fог th e mobi le ЬгоасlЬапd dev ice. T l1e lo1v l ateп cy dev ice is coпfi gшed to moпitor· tl1 e PDCCH dш i пg eve1y secoпd
symbo l. Tl1is l1e lps to m iп im i se delay 1vl1 e11 all o ca t i п g геsошсеs to the low l ateпcy device. !п thi s example, tl1e CORESET c/11m tio11 is
ass нmed to Ь е I symbo l

159
sG NR in BULLETS

Moblle Broadband device

Periodicity = 1 slot
monitoringSymbolsWithinS/ot = (1 О О О О О О О О О О О О О}
1 1111111111111111111111111111 duration = 2 symbols (from CORESET configuration)

Low Latencv device

Figure 150 - Example Search Space Set timing for moblle broadband and Io,v latency devices

* The шo/Candidates information element specifies the nнmber of candidate PDCCH transmissions fог each aggregation level. This
provides the Base Station with the flexibility to focнs the UE Ыind decoding attempts нроn the most appropriate aggregation Jevels.
For example, normal coverage scenarios may not нsе aggregation level 16 which was intюdнced fог extreme coverage conditions
(aggregation level 16 was not specified for 4G). In this case, the nнmber of aggregation level 16 candidates could Ье set to О to avoid
the UE attempting нnnecessary Ыind decoding. Small cell scenarios are more likely to нsе the lower aggregation levels so the nt11nber
of candidates for these aggregation levels could Ье set higher
* The seaгchSpaceType can Ье set to either 'Common' or 'UE Specific ' according to the category of Search Space Set being configнre<I :
о in the case of а Common Search Space Set, inclнsion of the dci-Fonnat0-0-AndFoпnat 1-0 information element indicates that thc
UE shoнld monitoг fог the ' fallback' DCI formats О_О and 1_0 within the Common Seaгch Space Set. The DCI foгmats can
address the UE нsing а C-RNTI, CS-RNТI , SP-CS-RNTI, RA-RNТI, TC-RNТI, P-RNТI or SI-RNТI
о inclнsion of the dci-Fo,-т;f 2-0 - 111·0/Candidates-SFJ information element indicates that the UE shoнld monitoг for DCI Foгmat 2-
0 нsing its SFI-RNТI . The information element specifies the aggregation level to Ье нsed fог DCI Format 2-0 (only а single
aggregation level from the' set of 5 aggregation levels is inclнded within the parameteг structшe sent to the UE). The number or
candidates for this aggregation level is specified as eitheг I or 2. This approach redнces the nнmber ofЫind decoding attempts, i.c.
the UE has to search for only а single aggregation level with only I or 2 candidates
о sirnilarly, inclнsion ofthe dci-Fonnat2-l, dci-Fonnat2-2 and dci-Fomюt2-3 information elements indicates that the UE slюнld
monitor the Search Space Set for the гelevant DCI Format
о in the case of а UE Specific Seaгch Space Set, the dci-Fonna/s information element indicates whetheг the UE shoнld monitor Гог
the ' fallback' DCI Foгmats О_О and 1_0, 01· the ' standai·d' DCI Foгmats 0_1 and 1 1
* 3GPP References: TS 38.213, TS 38.331

160
 5G NR in BULLETS

SEARCH SPACE SET (SIB1)

3 .s.з
Quriпg initial п etwork_ access, а U~ completes а band scan for the Synchronisation Signals an_d sнb se quentl y decodes the РВ СН. The
* рВСН pгovides st1ffi c1ent шformatюn to allo\v the UE to proceed to decode System Infoпnatюn Block 1 (SIВ 1). S IВ 1 1s broadcast on
1е PDSCH usi ng а ге sошсе allocation pгo vided Ьу the PDCCH. The PDCCH t1·ansmits DCI Foпnat 1_ 0 w ithin Common Seaгch
~
1
асе Туре О. The Control Resoшce Set (CORESET) апd Comrnon Search Sp;,ce Туре О configuratioпs reqttired Ьу the UE to receive
tl~ ri:levaпt PDCCH are provided Ьу the РВСН iпformation elements:

о
s11b Ca1тieгSpacing C0111111on scs 15or60, scsЗ 0or 1 20kНz

о
PDCCH-C011figSIВI - coпt1·0 /R eso 111·ceSetZe,-o О to 15 (4 Ьits)

о PD CCH-C01?figSJВI - sem·c/1SpaceZeгo О to 15 (4 Ьits)

* [fthe UE detects an SS/PBCH Block within Freqttency Range 1 (450 MHz to 6 GHz), the s11bCmтie1-Spac i11gC0 111mo 11 infon11ation
element specifies that th e PDCCH sнb carr ier spacing is e itheг 15 ог 30 kНz . Alternatively, ifthe UE detects an SS/PBCH Block within
Fr·eqL1ency Range 2 (24 .25 GHz to 52.6 GHz), the s 11bCmтie,-Spaci11gC0 111111011 infoгmation element specifies that the PDCCH
str b caiт i eг spac iпg is e ither 60 ог 120 kНz

* Tlie co nt1 ·0 /Reso 111 ·ceSetZeгo infoпnation element is tt sed as а po iпte ,· to а row within а CORESET co nfi guгa tion tа Ы е. ЗGРР has
specified multiple taЫe s for thi s pttгpose. Each t аЫе is ap plic aЫ e to а specific comЬination of SS/PBCH sнЬсаггiег spac ing and
PDCCH s нb ca rгi e r· spacing. ТаЫ е 69 pгese nts an example fог th e { 15 kНz, 15 kНz} comЬi n a tioп

Mt1ltiplex i11 g N ш п Ь еr о Г N шnb e r·o Г Block

lteso trгce
l11d ex
Pattem ltesoшce Blocks Syrnbols Offse t
о о

1 2 2
2 24 4
3 (4.32 MHz) о

4 3 2
5 4
6 12
1
7 1 16
8 48 12
2
9 (8.64 MH z) 16
10 12
3
11 16
12 1
96
13 2 38
(17 .28 MHz)
14 3
15 Reserved

Та Ы е 69 - CORESET Co пfi g ш· atio п Та Ы е fo1· SS/PBCH s ubcaпie1· spacing of 15 kНz and PDCCH s ubcaпie1· s paciпg of 15 kHz
* Tl1i s examp le specifies CORESET bandwidths of24, 48 апd 96 Resoшce Blocks, and CORESET dшatioпs of 1, 2 апd 3 symbo ls. The
baпdw i d th of24 Resoшce Blocks is only peгmitted \vheп н si ng eitheг 2 ог 3 symbols. Tl1is ensшes that theгe is always at leas t 48
Resouгce E l emeпt Gгонрs (REG) withiп tl1e CORESET, i. e. at least 8 ССЕ. Maximising the пнmЬе,· ofCCE allows tl1e нsе ofh i gheг
a gg гegat i on levels fo1· the PDCCH which l1 elps to impгove coveгage

* Tl1e 11ш11Ьег ofResoн гce Blocks allocated to tl1 e CORESET can Ье configшed accoгd in g to tl1e chatшe l baпdwidtl1 , e.g. 24 Resoшce
Blocks са п Ь е coпfigшed fог the 5 MHz channe l bandwidtl1, 48 Resoшce Blocks са п Ье coпfigшed fог the 10 МНz and 15 MHz
cl1ani1el band\vidths апd 96 Resoшce B locks са п Ье configшcd fог l агgег channel band\vidtl1s

* Т~1Ые 69 also specifies а Resoшce B lock Offset betweeп tl1e SS/PBCH Block апd tl1e CORESET, i.e. it defiпes the f1·eqнe11 cy domaiп
pos itioп of the CORESET 1·elative to tl1e fгеqнепсу domaiп pos i ti oп of the SS/PBCH Block. Figшe 15 1 illttstr·ates tl1 e set of allo,ved
oftsets fог the CORESET size of 24 Resoш·ce B locks. Tl1i s fi gшe sho\vs tl1 at th e CORESET exteпd s а ma x imш11 of 4 Resoшce Blocks
beyond tl1 e ba11d,vidtl1 oftl1 e SS/PBCH, i.e. th e total ba пd w idth neveг exceeds 24 Resoшce Bloc ks

* Tl1ese fгеqнепсу offsets аге геqн iгеd Ьесанsе tl1 e SS/PB CH may поt Ье positioпed at the centeг ofthe cl1 a11nel baпdwidth. Iftl1e
SSIPBCH is pos itioпed at tl1e bottom of а 5 MHz cliaпne l bandwidth tl1en tl1 e О Resoшce B lock Offset \Vott ld Ье necessaгy. Like\vise,
rf tl1e SS/PBCH is pos i tioп ed at tl1 e top of а 5 MHz channe l bandwidth then the 4 Resoшce Block Offset \VOt1ld Ь е necessaгy
* As i llн strated Ьу Figшe 151 , tl1e SS/PBCH and CORESET аге Time Division Mн lti plexed (ТОМ). This coпespoпds to ' Mн l t ip l ex iпg
Pattem 1', as specified in ТаЫ е 69 . ' Mtt ltiplexing Patteгn 1' is always н sed fог opeгating bands ,vitl1in Fгеqнепсу Range 1. Ope,·ating

161
5G NR in BULLETS

bands within Frequency Range 1 сап use SS/PBCH subcaпier spacings of 15 kНz or 30 kНz. 3GPP has specified taЫ es similar to
ТаЫе 69, for SS/PBCH subcarrier spacing and PDCCH st1bcarrier spacing combinations of { 15, 30} , {30, 15} and {30, 30} kНz

24 Resource Block CORESET

55/РВСН is always 20 Resource Blocks
Multiplexing Pattern Туре 1

О Resource 2 Resource 4 Resource

Block Offset Block Offset Block Offset

Figure 151 - Resouпe Block Offsets for CORESET size of 24 Resource Вlocks (Мultiplexing Patte1·n 1)

Retttrning to the infoпnation provided Ьу the РВСН, the seaгchSpaceZe,-o infoпnation element is t1sed as а pointer to а ro\v within а
* Search Space Set configuration tаЫе . 3GPP has specified multiple taЫes for this pt1rpose. Each tаЫе is applicaЫe to а specific
Mt1ltiplexing Pattem and Fгeqt1ency Range. ТаЫе 70 presents an example for Multiplexing Pattem 1 in Freqt1ency Range l. All ofthc
infoпnation within this tаЫе is related to the timing of the Search Space Set

The 'О' variaЫe specifies а slot offset relative to the start ofthe frame. 3GPP has specified that each SS/PBCH Block has its own Туре
* О Common Search Space Set. Thus, there is а sequence ofType О Commoп Search Space Sets for а burst of SS/PBCH Вlocks . The slot
offset defines the starting slot fог that seqнence of Search Space Sets
' М' variaЫeis related to the Nttmber of Seaich Space Sets рег Slot. When theгe are 2 Searc\1 Space Sets per Slot theп 'М' al\vays
* The
eqнals 1/2. The value of 'М' is used in an eqнation to calcнlate the slot nt1mbeг for а specific SS/PBCH Block. The valt1e of 1/2 meaп s
that 2 consecнtive SS/PBCH Blocks have theiг Seaгch Space Sets within the same slot. А value of 1 means ti1at consecнtive SS/PBCH
Blocks have their Searci1 Space Sets within consecutive slots, \vhile а valнe of2 means ti1at consecнtive SS/PBCH Blocks have thei1·
Seaгci1 Space Sets sepaгated Ьу 2 slots

The ' First Symbol Index' specifies the starting symbol fог the Seaгch Space Set witl1in the slot. ln geneгa l , the Se aгci1 Space Sets are
* located towards the staгt ofthe slot, i.e. many oftl1e rows within ТаЫ е 70 have а First Symbol Index of0. Wl1en theгe аге 2 Seaгcl1
Space Sets \vitmn ti1e same slot, the Seat·ch Space Sets осснру а contigL10t1s Ыосk of symbols at the sta1·t of the s lot. Tl1e fi1·st Searcl1
Space Set sta гts at symbol О , while the second Search Space Set starts at а symbol index \Vhich is defined Ьу tl1e dшation oftl1e
CORESET (the CORESET duration determines the nнmЬег of sym bols occt1pied Ь у each Searcl1 Space Set)

N шпЬег of Searcl1
l11dex о м First Sytпbol l11dex
Space Sets ре1· Slot
о 1 1 о
о
1 2 1/2 {О if ' i' is eve11} {N5C:,,~gseт if'i' is odd}

2 1 1 о
2
3 2 1/2 {О if ' i' is еvеп} {N;yr:;:gseт if ' i' is odd}

4 1 1 о
5
5 2 1/2 {О if'i' is even} {N5C:,~gseт if ' i' is odd}

6 1 1 о
7
7 2 l/2 {О if'i' is еvеп} {N5~~1~gseт if ' i' is odd}

8 о о
2
9 5 о

10 1
о
11 2
1
12 1
2 1
13 2
14 1
5
15 2

ТаЫе 70 - Searcl1 Space Set configш·a tion tаЫе fo1· Mu ltiplexing Patter11 1 апd F1·eq11ency Range 1

* Figшe 15 2 illнstгates an examp le ofthe timing fог Туре О Co mmon Sea гcl1 Space Sets fог Fгeqнency Range 1 нsin g Mt1ltipl exing
Pattern l. This example assнmes 4 SS/PBCH Blocks which staгt dшing symbols 2, 8, 16 and 22 (as pгesented in section 3 .4 ). 3GPP

162
 5G NR in BULLETS

cifies that there are 2 Search Space Sets in co11sect1tive slots \vith а period of 20 ms wl1e11 t1 s iп g Multiplexing Patteгn 1. The offset
sр~не within ТаЫе 70 defines the slot fог the first of these 2 Search Space Sets. The example in Figшe 152 assumes an offset of 2 slots
v~iich meaпs that the first Search Space Set is located \Vithin slot 2. The example also assumes I Search Space Set per slot (М = 1) and
,vfirst symbol index of О. Note that the specification of I Seaгch Space Set per slot refers to tl,e first Seaгch Space Set beloпging to
:ach SSIPBCH Block. Figшe 152 illustrates that the second Seaгcl1 Space Set be\onging to SS/PBCH О oveгlaps witl, the fiгst Seaгch
Space Set belonging to SS/PBCH 1. Tlшs , theгe is only 1 'fi 1·st' Search Space Set per slot bt1t there аге up to 2 Seaгch Space Sets р ег
·lot \vhen considering both the first and second Sea гch Space Sets. This exampk is based upon Frequency Range I and it is assumed
:hat digital beamforming is used to pгovide spatial sepaгatioп between each SS/PBCH transmission. Thi s means tl1at all beams сап Ье
transmitted s i multaпeously and that t1·ansmissions сап overlap in the time and fi·eqt1ency domaiпs because they are isolated in the
spatial domain

Slot0 Slot 1 Slot 2 Slot 3 Slot 4 Slot 5

SS/P6CH 61ock О 5earch 5161 5ea rch 5161 Example based upon:
(6ea m О) 5расе 5et 5расе 5et 55/Р6СН 6locks star ting during j
1 1.1...--- - ~ ~t-----'---"-~~ -~ - -f---'-'~~----'----'--------~-'-'-~'---'----'-----'----'---~- '-t-~-____c.- ~- symbols 2, 8, 16, 22

SS/P6~H Block 1
(6eam 1)
5ea rch
5расе Set
Sea rch
Space Set SIBl
~•;;:~c~Ps•::c:~e~sff;: ; ; l~t IM = 1)
CORESET duration = 2 symbols 1
l
,_ ___L_ - ---+-~ ~ __J
1

1 гтщтг J~-г,:';:"-~-:~_:_~с~) Block _2 . _._l_~_l-'j- Sea rch

Space Set
5 1В1
, Search
Space Set
5 1В1

l
·.
1
1-1
~---- -
-----,------ 1-
55/РВС Н
(Beam 3)
Block 3
1 J~ Sea rch
Space Set
5 1В1
-----с-1

i
'

/l'ote: tilis Jigшe illustmtes 2 'cancliclate' S!B ! 11 -ш1s111iss io11s jo1 · еас/1 SSIPBCH Block. /11 pmctice, 0 11/у ! о/ 1/1е 2 ca11didates is ехрес /ес/ to Ье щ·еd, i.e. 1/1е
/Jase Statio11 sс/1ес/11/ег сш1 se/ect be11vee11 tl1e 2 cc111diclates. Т11 е UE 1\li/1 cl1eck bot/1 Sеш-с/1 Space Sets/01· SIB! PDSCH геsо 111·се al/ocations
F i g ш· e 152- Ехашр l е Туре О Со шшоn Sea1·c l1 Space Sets fot· SS/PBCH Blocl<S О , 1, 2 and 3 (1 Sea1·c l1 Space Set р е 1· Slot, Multiplexing Patte1·n 1)

* Wl1e11 гec e i ving SIВ 1, а UE гe l ies upon а ЗGРР standaгdised l ook-нp tаЫе fог inteгpгetation of the time domaiп геsошсе allocation
1vitl1i11 DCI Fo пnat \ _О (in coпtгast to н s iпg а Base Stat i oп co nfi gшed l ook-нp tаЫе). А s нb set oftl,e ЗGРР sta пd aгdisecl look-нp tаЫе
fог Mн l tiplexiпg Patteгn I is p1·eseпted iп ТаЫ е 7 1. Tl,e ap pгopriate гоw fi·om \vitl1i11 tl1is tа Ы е is selected н s iп g а co111Ьi11atio11 of tl,e
Ti111e D0111ai11 Reso111·ce Assig11111e11I witl,in DCI Foпnat \ _О (wl1icl1 co1тespo11d s to tl1e 'I пd ex') апd the c/1111·s-TypeA-Positio11
i11foп11atio11 e l eme пt fгom witl1i11 the МIВ . Tl,e UE is tl1e11 а Ы е to dedнce the PDSCH Mapp i п g Туре, tl1e Slot Offset, tl1e Staгt i пg
Sy1nbol апd tl1e Leпgt h oftl,e геsошсе a ll ocatioп
* Tl1c example illнstгated i п Figшe 152 assumes а Start iп g Symbol of 2 апd а Leпgth of 5. Figшe 152 does поt exp li citl y iпdicate
1vhetl1er PDSCH Mapp iп g Туре А or В is н sed a ltlюн g h it сап Ье dedнced from ТаЫе 71 that Mappiпg Туре А is a p p li ca Ы e. The
valнes \Vith iп Та Ые 71 have Ь ееп specified to eпs ure that the PDSCH used to traпsfeг SIВ I lias а ' fl"oпt loaded' Demodulatioп
Refe1·e11ce Sigпa l (DMRS), i.e. the DМRS occupies the fiгst symbol belongiпg to the PDSC~ гesource a ll ocatioп. Th is allows the UE
to ge n eгate а cha пn e l estimate with miпimal delay. PDSCH Mappiпg Туре В always has а ' froпt loaded' DМRS \vheпever it is used . Iп
gе пегаl , Mappiпg Туре А does поt always have а ' fгопt loaded' DMRS but the Sta1·tiп g Symbols specified iп ТаЫе 71 have Ь ее п set
eq ual to the c/1111·s-TypeA-Positio11 so iп this case tl1e resoшce allocation starts with а DMRS t1·aпsmissio11

l11 dcx d1nrs-TypeA-Posit io11 PDSC I-I Mappi11g Туре Slot Offset (К 0 ) S1arti11g Sy111bol (S) Le11gtl1 (L)
2 2 12
1
3 3 11
2 2 10
2
3 3 9
2 2 9
3 Туре А
3 3 8
2 2 7
4 о
3 3 6
2 2 5
5
3 3 4
2 9 4
6
3 10 4
Туре В
2 4 4
7
3 6 4

Та ьtе 71 - ЗGРР sta11dardised Default PDSCH Тiше Domain Resoш·ce A llocatioп 'А.' (only s11bset of f11II tаЫе is s110,vn)
5G NR in BULLETS

* А second example ofthe timing associated with Тур е О Common Search Space Sets is illн strated in Fi gшe 153. This example is Ь
нроn 2 Search Space Sets per Slot (М = 1/2). Th is means that SS/PBCH Blocks О and 1 have their first Search Space Sets within 1~scd
same slot. Similarly, SS/PBCH Blocks 2 and 3 have theit· first Search Space Sets within the same slot. This example illнstгates the е
' First Symbol Index' n1le fог 2 Search Space Sets per Slot (shown in ТаЫе 70), i.e. { О if'i' is even} {N;;:~gsп if ' i' is odd}.
SS/PBCH Blocks О and 2 have а first symbol index eqнal to О , whi le SS/PBCH Blocks 1 and 3 have а first symbol index e qнal 10 2
coRESET = 2
which гesнlts from N sy '
mb

Slot О Slot 1 Slot 2 Slot 3 Slot4 Slot 5

55/PBf H Block О Search Search Exa mple based upon :

5 IВ1 51 В1
(B ea m О) Space Set Space Set 55/РВСН Blocks starting during
- -----J.-'---'-~ - ' -~ ~ - ~ - l---.!-'-~..J-L---'--"_LJ..__....j_Ll..__.!__J'---.L-'-'- symbols 2, 8, 16, 22
---:--,--,----.--г----+---т-т------,-----гт-----+-,----~- Sea rch Space Set Offse t =2
55/РВСН Block 1 Search Sea rch 2 Search Space Se ts per Slot (М = 1121 -1
51В1 5 1 В1
(Beam 1) Space Set Space Set CORESET duration = 2 symbols

55/РВСН Block 2 1 Search Search

1
(B ea m 2) 1 i Space Set Space Set
5 1В1
1 1

55/ РВС Н Block 3 Sea rch Search

51 В1

1111 ! 1111 1
i! (Beam З) Space Set
!~
Space Set

Note : tl1isfig111 ·e illustmtes 2 'candiclate' SIBI 11·a11s111issionsfo1· еас/1 SSIPBCH 8/ock. /11 pгactice, 0 11/у / oft/1e 2 ccmdidates is expected /о Ье used, i.e. llie
Base S1ario11 sc/1ed11/e1· сап select Ьемееп 1l1e 2 candidares. Т/1е ИЕ н,ifl c/1eck bot/1 Sеагс/1 Space Sers/01· SIВ 1 PDSCH 1 ·еsо 11гсе al/o calioнs
'
Figш·e 153 - Example Ту ре О Co шmon Searcl1 Space Sets for SS/PBCH Blocks О , 1, 2 and 3 (2 Sea rcl1 Space Sets per Slot, Mu ltiplexing Pattern 1)

* Now co nsidering the reception of SIВ 1 within F t·e qн e n cy Range 2, the co 1111 ·0 /R eso 11гceSe1Zeгo information element points to а ю,v
within а different set of l oo k- нp ta Ы es, i.e. those which а 1·е app l icaЫ e to the SS/PBCH and PDCCH s нbc aп i er spacings b e l o n g iпg to
Fгeqнency Range 2. 3GPP has specifi ed separate l ook-нp taЫes fог tl1e followin g combinations of SS/PBCH and PDCCH s ttb carгi er
spaci ngs: {120, 60}, {120, 120}, {240, 60} and {240, 120} kНz. ТаЫе 72 pгesent s the look-нp tа Ы е fo r the {120, 120} kНz
combination
* Operating bands witl1i11 Fгеqнепсу Range 2 have been specified to t1 se Mt1ltiplexing Patteгn s 1, 2 and 3. Та Ы е 72 spec ifies that
Mt1ltiplexi ng Patteгn s I апd 3 аге app li ca Ы e to tl1 e { 120, 120} kНz combination of sнЬсап· i ег spac ings . F i gшe 154 illн st 1·ates
Mtt ltipl exing Patteгn 3 wl1 e п 24 Reso шce B locks аге all ocated to the CORESET. Tl1 e Resoшce B lock offset of -20 pos i tioп s the
CORESET above tl1 e SS/PBCH Block (whi ch has 20 Reso ttгce B locks). The Resoшce B lock offset of24 pos itions the CORESET
belo,v the SS/PBCH. ТаЫе 72 also specifies а Reso шce Block offset of -2 1. Th is offset is app li caЫe wl1en tl1 e SS/PBCH апd
CORESET Resoшce Blocks аге поt aligned in th e fi·eqt1ency domain. In this case, tl1e offset is гottnded to -2 1 to avo id ovei·lap bel\vce11
th e SS/PBCH and CORESET
* А CORESET always has а duration of2 symbols when н s in g Mttltiplexing Patteгn 3. This leads to e itheг 48 ш 96 Resoшce E l e me пt
Grottps (REG) within the CORESET, i.e. eitl1eг 8 ог 16 ССЕ
* Figшe 154 illttstгates that the CORESET is time aligned with the s taгt ofthe SS/PBCH Block wl1en ttsing Multiplexing Pattern 3. Tl1is
time alignment does not ot·igiпate fгom the informatioп pгese nte d within ТаЫе 72. Timing infoгm a tion is based нроn tl1e
seт-cl1SpaceZeгo inform a tioп element pгesented at the staгt ofthis section. This iпformation element points to а гоw withiп а Sea гcl1
Space Set coпfi gшa tion tа Ые . Howeveг, the tаЫе which is a pp l i ca Ы e to Multiplexing Patteгn 3 has only а single гоw and that ГО\V
simply specifies that the start of the Search Space Set is time aligned with the start of the associated SS/PBCH. There is а one-to-oпe
mapping between SS/PBCH Block and Туре О Common Seaгch Space Set so еvегу SS/PBCH Block has its own Search Space Set

Mнllip l cxiпg N шпЬ ег or шпЬег or Resot11·cc Block OfГse l

l11dex
Paller11 Reso нrce Blocks Sy111bols
о 24 о
2
1 (34 .56 MHz) 4
1
2 48 1 14
3 (69 .12 MHz) 14
4 24 -20 if kssв = О 01· -2 1 i f kssв > О
5 (34.56 MHz) 2 24
3
6 48 -20 i fkssв = О or -2 1 ifkssв > О
7 (69 .1 2 MHz) 48

Та Ы е 72 - CORESET C o11fig111·a tio11 Та Ы е fo1· SS/PBCH s 11b ca пiei- spac iпg of 120 kHz a11d PDCCH subcaпie1· spaciпg of 120 kHz
 5G NR in BULLETS

24 Re so urce Block CORESET

55/РВСН is always 20 Resource Blocks
Multiplexing Pattern Туре З

24 Resource
Block Offset

Fi g ш· e 154- Resoш·ce Вlock Offsets fo1· CORESET size of24 Resoш·ce Blocks (Multiplexi11g Patte1·11 З)

* Fig 11 гe
155 illн st.-ates the timing fог Туре О Common Sea.-ch Space Sets when t1sing Multiplexing Patteгn 3. This example is based
нроn 8 SS/PBCH Blocks ,,.,hich staгt dшing symbols 2, 8, 16, 20, 30, 36, 44 and 48 (as pгese nted in section 3.4). ln contrast to
Mtiltiplex iп g Patte111 1, theгe is only а single Search Space Set associated with each SS/PBCH Block. The SS/PBCH Block апd the
Search Space Set а.-е confined to а limited nнmb er of symbols in the time domain to ,·emain compatiЫe witl1 a nalogн e beamfoгming .
Wl1en н s in g analog11e b ea mfoгmiпg , а п iпdividt1 a l beam is only active fo,· а гelativ e ly s hoгt p e гiod oftime апd all transmi ss ioп s have to
Ье completed withiп that p e гiod

SlotO Slot 1 Slot 2 Slot 3

Search Search
5 1В1 5 1В1 Example based upon :
Space Set Space Set
55/Р ВС Н Blocks sta rting during

l
l 1 1
55/РВС Н Block О
(Beam О)

~~~-,- --! ---

55/РВС Н Block 4
(Beam 4)
symbols 4, 8, 16, 20, 32, 36, 44, 48
CORESET duration = 2 symbols

Search Search
5 1 В1 5 1 В1
Space Set Space Set

55/РВС Н Block 1 55/РВСН Block 5

(B eam 1) (Be am 5)

Sea rch Search

5 1В1 5 1В1

11111: ~'Г '"

Space Se t

55/РВСН Bloc~ 2 55/РВСН Block 6

(Beam 2) 1 (B eam 6) 1

1 Search
Space Set 51В1 I 1
Sea rch
Space Se t
51В1

l
1

1 1
55/РВСН Bl ock 3 I 55/РВСН Block 7
(Beam З) (Beam 7)
! - - L - ~ - ~ ~ ~ ~ -,, ~ ~ -- - - - ' -- -

Figш·e 155 - Туре О Comn10n Sea1·cl1 Space Sets fo1· SS/PBCH Blocl<s О to 7 (M111tiplexing Patte,·n 3)

* А UE ext1·acts tl1e time domain геsо шсе allocatioп fог the SIB from tl1e PDCCH ,vithiп the Туре О Comnюn Seaгcl1 Space. Tl1e time
do ma iп resoшce allocation defines tl1e set of symbols t1sed Ьу the PDSCH, Similaг to Mt1ltiplexing Patteгn 1, the UE гelies t1po11 а
ЗG РР standaгdi sed look-t1p tаЫ е fог iпteгpгetatioп ofthe time domain геsошсе a llocatioп witl1iп DCI Fo1·mat 1_0 (iп coпtгa s t to 11 s iпg
а Base Statioп confi gшed look-t1p tаЫе). In the case ofMt1ltiplexing Pattern 1, tl1e UE applies 3GPP defaнlt tаЫе 'А' pгesen ted as
ТаЫ е 71. lп the case ofM11ltiplexiпg Pattern 3, the UE applies 3GPP defaнl t tаЫ е 'С'. ТаЫ е 73 p гeseпts tl1e ю,vs fюm 3GPP defat1 lt
tаЫе ' С' wl1 icl1 а ге applicaЫe to the гeception of SIВ 1

* lп tl1is case, tl1e dm1·s-TypeA-Positio11 infoплatioп element fгom the МJВ l1as по impact нроп tl1e геsошсе a ll ocat i oп. All геsошсе
allocations t1se PDSCH Mapping Туре В meaning that the fiгst symbol ofthe resoшce a llocatioп is always occt1pied Ьу the
Demodнlation Rеfегеп се Signa l (DMRS) . А raпge ofStaгt iп g Symbol s are specified to accommodate the гапgе ofSS/PBCH timings.
The examp le s11 0,vn iп F i gшe 155 н ses Staгt iпg Symbols eqt1al to 4, 6, 8 and 10. PDSCH dшatioпs of 2 and 4 symbols сап Ье allocated
a ltlюнgh tl1e example illнst,·ated iп F i gнгe 155 опl у нses allocations of2 symbols
5G NR in BULLETS

l11dex dnirs-TypeA-Positio11 PDSC H Mappiвg Туре Slot Offset (К0 ) Startiвg Sy111bol (S) Length (L)
2 4
3 6
2
4 8
5 10
8 2 or 3 Туре В о 2
9 4
. 10 6 4
11 8
12 10

ТаЫе 73-ЗGРР standat·dised Default PDSCH Time Domain Resoш·ce AJlocation 'С' (only 1·0,vs applicaЫe to Туре О Common Sea1·cl1 Space)

* The previous examples have focused нроn Multiplexing Patterns I and 3. 3GPP has also specified Multiplexing Pattern 2 wl1ich is
applicaЫe to Frequency Range 2 when the SS/PBCH and PDCCH subcarrier spacing comЬination is either { 120, 60} or {240, 120}
kНz. Similar to Multiplexing Patterns I and 3, the cont1·0/Resoш·ceSetZe1·0 information element is used as а pointer to а row within а
CORESET configuration tаЫе. Figure 156 illнstrates the position of the CORESET relative to the SS/PBCH Block when using
Multiplexing Pattem 2 with а CORESET which has 24 Resoшce Blocks. From а frequency domain perspective, it is similaг to
Multiplexing Pattern 3. Howeveг, fi·om а time domain pe1·spective Multiplexing Pattern 2 schedules the Search Space Set associated
with the CORESET in advance ofthe SS/PBCH Block

t;:;
V,
ш
а:
о
u -41 Re so urce 24 Resource Block CORESEТ
Block Offset 55/РВСН is always 20 Reso urce Blocks
Multiplexing Pattern Тур е 2

,-. 25 Reso urce

ш
V,
ш Block Offset
а:
о
u

Fi g ш·e 156 - Reso urce Blo ck Offsets for CORESET size of 24 Resoш·ce Blocks (Multiplexing Pattern 2)

* The reasoning fOI' tl1is appl'Oach oгiginates from th e 1·atio ofthe SS/PBCH and PDCCH sub carг i er spac ings. The SS/PBCH s нb caiт i e 1·
spacing is douЫ e th e PDCCH sнbc a пier spacing fо г both scenarios which нs е Multiplexing Pattern 2. Tl1is means that the PDCCH
symbol dшation is douЫ e the SS/PBCH symbol dшation. T he SS/PBCH occнpies 4 symbols so the PDCCH can occupy 2 symbols
\.Vithin the same time domain window. In the case ofMнltiplexing Pattern 3, both the PDCCH апd PDSCH аге transmitted within tl1c
SS/PBCH time dom a iп window. In the case of the { 120, 60} and {240, 120} kНz subcaпie1· spacing comЬiпatioпs, it is mo1·e
challenging to accommodate both the PDCCH and PDSCH Ь есанs е tl1e1·e аге опlу 2 symbols avai laЫe. So in this case, the PDCCH is
tгa nsmitted in advaпce of the SS/PBCH while the PDSCH is tгansmitted within the time w indow of the SS/PBCH

* Figure 157 illн strates an exampl e of the timing associated witl1 Mнltiplexing Pattern 2. This example illнstrates SS/PBCH B locks () to 7
which have staгting symbols of8, 12, 16, 20, 32 , 36, 40 and 44 (as presented in section 3.4 fo1· the 240 kНz sнbcaпi er spacing). Similar
to Mнltiplexing P attern 3, theгe is only а single Seaгch Space Set associated \.vith each SS/PBCH Block. The CORESET always has 3
dшation of I symbo l \.Vhen нsin g Mнltiplexing Pattern 2

* The timing ofthe Seaгch Space Set wl1ich is mapped onto the CORESET is based нр оn the seGl'cl1SpaceZel'o information eleme11t
pгesented at the start of tl1is secti on. Tl1is informati on element points to а го\.v wi thiп а Seaгcl1 Space Set co nfi gшation tаЫе. 3GPP Iias
specified 2 taЫ es - опе fог tl1e { 120, 60} kНz s нЬ са 1тi е г spacing co mЬin a tioп апd опе fог th e {240, 120} kНz co mЬiп at i oп. Botl1
taЫes have only а si ngle row so the seGl'cl1SpaceZe1·0 роiпtег is not гeally гeqнired. The s iпgl e го\.v specifi es Starting Symbo ls fo1· eacli
instance of the Seaгcl1 Space Set sнch that tl1 ey do not oveг l a p with eacl1 otheг, nог do tl1 ey oveг l ap with tl1 e SS/PBCH
* The tim e dom a iп геsо шсе all ocati on for th e PDSCH t1·a п sfe пing the SIВ is ex tгacted fгom the PDCCH. S imil aг to Mнltipl ex iп g
Patte111s 1 and 3, th e UE гe li es нроп а 3GPP staпdaгdised l ook-нp tаЫ е fo1· iпteгpretati on of tl1c time domai п геsошсе a llocatioп \Vitl1ill
DCI Fo1·mat 1_0. I п tl1e case ofM нltipl ex iпg Patte111 2, tl1e UE app lies 3GPP defaн lt tаЫе 'В' pгesented as ТаЫе 74 . Al l геsошсе
a ll ocatioпs н sе PDSCH Mappiпg Туре В mean i пg tl1 at tl1e fiгs t symbo l oftl1 e геsошсе allocation is always occнpied Ьу tl1 e
Deпюdн l atioп Refeгence S i gпal (DMRS). А гange of Staгt iп g Symbols а ге specified to accommodate th e 1·ange of SS/PBCH t i miпgs.
T l1 e example s ho\.VП iп F i gшe 157 Ltses S taгting Symbo ls eqL1al to 2, 4, 6, 8 and 10. In coпtгast to defalllt ta Ы es 'А' and ' С', defa н lt
tаЫ е В inc lнdes some entгi es witl1 non-zel'O Slot Offset va lнes. These а ге 1·eqнiгed Ьесан sе tl1eгe а ге sceпaгios wl1ere tl1e PDCCH is
t1·ans111itted dшing slot ' n' wl1ile tl1 e PDSCH is t1·ansmitted dш in g slot ' п + 1'. There аге 2 exa mpl es of tl1is shown in Figшe 157
( iпdi ca ted н s iп g the 'Next slot' labe l)

166
 5G NR in BULLETS

Slot О @ 120 kHz SCS Slot 1 @ 120 kHz SCS

:·-I~;·:.; .,
►◄
Slot 1 @ 240 kHz SCS Slot 2 @ 240 kHz SCS Slot 3@ 240 kHz SCS

Example based uроп:

~
Search 120 kHz Subcarrier
S1B 1 5 1 В1 SS/PBCH Blocks starting
Space Set Spacing
during sy mbols 8, 12, 16,
SS/PBCH Block О SS/PBCH Block 4 240 kHz Subca rri e r 20, 32, 36, 40, 44
rcl1
(Beam О) (Beam 4) Spacing CORESET dur ation = 1
се Set
symbols
_____..с "

1~
~
' 1 Sea rch
Symbol SIBl Next slot Symbol S1B1 120 kHz Subca rr ier
L 1/ 6, 7 Space Set 1/ 4,5 Spacing

SS/PBCH Block 1 SS/PBCH Block 5 240 kHz Subcarrier

(Beam 1) (Beam 5) Spacing

SIBl Sea rch 120 kHz Subcarrie r

Space Set Spacing

SS/PBCH Block 2 SS/PBCH Block 6 240 kHz Subcarrier

(Beam 2) (Beam 6) Spa cing

с ~-~-~v 1" ' Symbol

10, 11
S1B1 S1B1
120 kHz Subcarrier
Spacing

Search SS/PBCH Block 3 SS/PBCH Block 7 240 kHz Subcarrier

Space Set (Beam 3) Space Set (Beam 7) Spacing

1- ~-

Fi g ш·e 157 - Туре О Сошmоп Sea1·cl1 Space Sets fo1· SS/PBCH Вlocks О to 7
240 kHz SS/PBCH Subcarrie1· Spacing and 120 kHz PDCCH S11bcaпiei- Spacing ,vith M11ltiplexi11g Patte.-п 2

lrнlc x rlrпrs-TypcЛ-Posit iоп PDSCH Mappi11g Туре Slot OITset (1< 0 ) S t a rtiп g Sy111bol (S) Lc11gtl1 (L)
1 2
2 4
3 о 6
4 8 2
5 10
6 2
2 or 3 Туре В 1
7 3
8 2
9 4
.о
10 6 4
11 8
15 1 2

ТаЫе 74- ЗGРР sta ndard ised Defa нl t PDSCH Тiше Do ш a in Reso ш·ce Allocation 'В' (on ly ro,vs ap pl ica Ы e to Тур е О Со 111 111о п Seai·c h Space)

* Mll ltip lex ing Patteгn 2 has imp lications llpon the beam sweeping l!Sed Ьу analogнe beamformi ng. In tl1e case ofM н ltip l ex in g Pattern 3,
tl1e SS/PBCH, PDCCH апd PDSCH fо г SIВ 1 аге all tгansmitted llsing а single sweep of the beams. T his is not poss i Ыe \vl1en нsing
Mll l tip l exiпg Pattern 2 becal!se tгa n smissioпs belonging to each beam аге interleaved in the time domain. F i gшe 157 illllstrates that
tгansmi ssions fo llow tl1e seqllence: Search Space Set (Beam О), Sea1·ch Space Set (Beam 1), Sea1·cl1 Space Set (Beam 2), Search Space
Set (Beam 3), SS/PBCН/PDSCH (Beam О), SS/PBCH/PDSCH (Beam 1), SS/PBCН/PDSCH (Beam 2), SS/PBCH/PDSCH (Beam 3),
etc. This patteгn reqlliгes 2 beam sweeps to tгansm i t the PDCCH, SS/PBCH and PDSCH b e l ongiпg to а specific beam

* lп contгast to Mt1l t i p l exiпg Pattern 1, whicl1 llses а peг iod of20 ms, Mt1 ltip lexing Patterns 2 and 3 l!Se а period whic\1 eqllals tl1e pe1·iod
ofthe SS/PBCH Block tгaпsmissions

* Ву defat1lt , tl1e iпiti a l acti ve do\v пlink B a пd\v idth Р а гt is set eq11a l to tl1 e ba11d\vidtl1 а пd f1·eq11e11cy d o mn iп positio n of th e CORESET
associated \vitl1 tl1e Тур е О Commo n Sеа гс \1 Space Set. T l1 e Base Stati o11 са п ove tтid e tl1i s clefat1lt co пfi gшa ti o п Ьу s i g п a lliп g tl1e
i11itia/Do11111/i11kB FVP pa1·amete1· s tгl! C tllгe \V itl1iп s r в 1
* З GРР Re feгen ces : TS 38. 2 13, TS 38.33 1
5G NR in BULLETS

3.5.4 DCI FORМAT о о

Downlink Control Infonnation (DCI) Format О_О is t1sed to provide resoнrce allocations for the PUSCH. It is known as а 'Fallback'
* DCI Fonnat which can Ье t1sed to maintain а connection when coverage deteriorates. It has а smaller payload than DCI Format о 1
can benefit from increased channel coding redt1ndancy. lt may also Ье t1sed to st1pport commt1nication dнring reconfigнrations - so
DCI Fonnat О_О st1pports single layer transmission on the PUSCH
*
А UE can Ье addressed Ьу its C-RNТI, CS-RNTI, MCS-C-RNTI or TC-RNТI when receiving DCI Fonnat О_О. The UE is addressed
* Ьу t1sing the RNТI to scramЫe the CRC bits which are added to the DCI payload

The fields belonging to DCI Fonnat О_О are presented in ТаЫе 75

*
Nuшber of Bits ,vitl1in DCI
DCI Foпnat Identifier l
Frequency Doшain Resource Assignшent [Loв2(N%;·вwP х (N%;·вwP + 1) / 2)]
Time Domain Resource Assigпment 4
Frequency Hoppiпg Flag l
Modulatio11 and Codiпg Scheme (MCS) 5
Ne,v Daia !пdicator (NDI) l
Reduпdancy Version (RV) 2
HARQ Process Number 4
ТРС Co1шn a11d for Scl1eduled PUSCH 2
Padding depeпds нроn size of DCI Foпnat l_O
Upliпk / Sнpplemeпtal Upliпk !пdicator l or О

ТаЫе 75- Coпtent of DCI Fo1·mat О_О

* DCI Foгmat Identifier: is а flag t1sed to differentiate between DCI Fшmats О_О апd 1_0. These two DCI Formats have been specifi ecl tu
inclt1de an eqt1al nшnbe1· ofЬits. This helps to simplify the UE decoding procedшe Ьу гedt1cin g tl1e 11t1mbeг ofЫock sizes whicl1 tl1e
UE attempts to decode. Once tl1e UE l1as obtained а positive CRC гest1lt, the DCI Foгm a t ldentifie1· is нsed to deteгmiп e wl1i cl1 of tl1 e
two DCI Foгm a ts has been гeceived (а valt1e of0 iпdicates DCI Foпnat О_О)
* Fгeqt1ency Domain Resoшce Assigпmeпt: allocates а set of Resoшce Blocks fог tl1e PUSCH. DCI Format О_ О always t1ses Re s oшce
Allocation Туре 1. This means that it always allocates а set of contigt1ot1s Viгtнal Resoшce Blocks. The PUSCH t1ses а direct 11011-
inteгleaved mapping between Virtнal and Physical Resoшce Blocks, i.e. Virtt1al Resoшce Block 'n' is mapped onto Physical Resoшcc
Block 'n' so the allocated Physical Resoшce Blocks are also contigt1ot1s. The nt1mber of Ьits гeqt1ired Ьу the Freqt1ency Domain
Resoшce Assignment field depends t1pon the nt1mber ofResoнrce Blocks within the t1plink Bandwidth Paii

* lfFreqt1e11cy Hopping is enaЫed, then I or 2 ofthe Most Significant Bits (МSВ) from the Freqt1ency Domain Resoшce Assignmeпt
are t1sed to select the Freqt1ency Hoppiпg Offset. 1 MSB is t1sed ifthe RRC layer l1as coпfigшed 2 fгeqt1ency offsets. 2 MSB а1·е нsed ii'
the RRC layer has coвfigшed 4 freqt1ency offsets. Using the MSB for the pшposes ofFreqt1ency Hopping means that theгe аге fe,vet
Ьits availaЫe to signal the fгеqнепсу domain resoнrce assignment. This is ассерtаЫе becat1se Freqt1ency Hopping is applicaЫe to
smaller Resoшce Вlock allocations, i.e. the benefit ofFreqt1ency Hopping diminis\1es as the щ1mber of allocated Resoшce Blocks
approacl1es the total nt1mber ofResoшce Blocks within the Bandwidth Part
* Time Domain Resoшce Assignment: defines а pointer towards а row within а look-t1p tаЫе (either а ЗGРР standardised l ook-нp tаЫе,
or an RRC configнred look-t1p tаЫе). The look-t1p tаЫе defiпes the slot offset, the PUSCH Mappiпg Туре, the starting symbol апd tl1e
nt1mbeг of allocated symbols. The look-нp taЫes have t1p to 16 rows so tl1is fie ld reqнires 4 Ьits

* Freqt1ency Hopping Flag: indicates \Vhetheг ог поt Fгeqt1eпcy Hopping is to Ье applied to the resoшce allocation
* Modt1lation and Codiпg Scheme (MCS): defines а pointeг towaгds а ro\v within tl1e гelevant MCS loo k-t1p tаЫе. ЗGРР has specificd 5
MCS taЬles for the PUSCH - а 64QАМ tаЫе; а 256QAM tаЫе, а low Spectt·a\ Efficieпcy tаЫе (for iп c1·eased гeliaЬility), а 64QAM
tаЫе fш Transfoгm Pгecoding \Vith the optioп to t1se rr/2 BPSK and а low Spectгal Efficiency tаЫе fог Tгansfoгm P1·ecoding ,vith tl1e
optioп to t1se rr/2 ВРSК. Еас\1 tаЫе has 32 гows so tl1is field reqt1ires 5 Ьits

* New Data lпdicatoг (NDI): indicates if tl1e геs ошсе a llo cati oп is to Ье t1sed fог а гe-t1·a11smissio11, ог а пеw tгaпsmission. Tl1is field
occt1pies а siпgle Ьit. Iп tl1e case of dyп amic 1·еsошсе allocatioпs, а гe- t1·a11smissioп is tгigge1·ed ifthe NDI has the same valнe as that
нsed for tl1e pгevioнs t1·ansmission of the гelevaпt HARQ pгocess . А пеw tгaпsmission is tгiggered if tl1e NDI is toggled. 111 the case of
Coпfigшed G1·ants, а гe-tгa11smissio11 is tгiggeгed ifthe NDI l1as а valt1e of 1

* Redнndaпcy Veгsioп (RV): iпdicates the pнnctшiпg patterп to Ье t1sed afte1· сhаппе l coding. lncгemeпtal Redнndaпcy гelie s нроп
different pнпctшing patterпs bet\veeп tгaпsmissioпs and re - t1·aпsmissions. Cliase ComЬi11i11g relies нроп the same pнnctшin g pattem
fог both tгaпsmissioпs and re-tгansmissions

168
 5G NR in BULLETS

* HARO Process Nнmber : indicates the HARQ process which is to нsе the resoнrce allocation. А UE sнpports 16 HARQ processes per
~ t h e t1plink so this field occнpies 4 Ьits
* ТРС Command fог Schedнled PUSCH is нsed for closed loop power control, i.e. the Base Station provides the UE with Transmit
~ Coпtf'OI (ТРС) commands whic\1 instгнct the UE to increase, decrease 01· maintain its transmit power. Interpretation oftl1e 2 Ьit s
depends нроn ,vhether or not ТРС command асснmн\аtiоп has Ьееп configшed. Transmit Po,ve1· Contro\ is described within section
1з.з.1
* ~ : is added ifthe size ofDCI Format О_О is \ess than the size ofDCI Foгmat 1_0. Paddiпg is added нпtil the two DCI Formats
liave eqнal size
* !mlink / Sнpplemeпtal Upliпk lndicatш·: is а single Ьit flag нsed to indicate whether the resoнrce allocation is for the пormal нpliпk
carrier or the Sнpplemeпtal Upliпk caпier. This flag is only iпclнded ifthe UE is coпfigнred with а Sнpplemental Upliпk caпier апd
the size ofDCI Format \ _О is greater than the size ofDCI Foгmat О_О
ЗGРР Rеfегепсе: TS 38.2 12
*

3.5.5 DCI FORМAT о 1

* Dowпliпk Control J11foп11atio11 (DCI) Foгmat О_ \ is нsed to provide геsошсе allocations for the PUSCH. А UE сап Ье addressed Ьу its
C-RNTI, CS-RNT!, MCS-C-RNTI or SP-CSI-RNTI wheп receiviпg DCI Foгmat О_ 1. Tl1e UE is addгessed Ьу нsing the RNТI to
scramЫe tl1e CRC Ьits which аге added to tl1e DCI payload

* Tl1e field s belo11gi11g to DCI Foгmat 0_ 1 а1·е pгeseпted iп ТаЫе 76

N шnb e 1· оГ Bi1s ,1·it l1 i11 DCI

DCI Format ldentifier 1
Carrier Iпdicator О or 3
Upliпk / St1pplemental Uplink Iпdicator О or 1
Band1vidtl1 Part lлdic ator О, 1 or 2
F1·eqt1e11cy Domain Resot1rce Ass i gnmeпt 'х' bits = Nпвс or
'у' bits= fLog 2(N%;·01vP Х (N%J·DIVP + 1) / 2)1 or
'z' bils = max (х , у)+ 1
Time Domai11 Reso ш·ce Assigшneпt О, 1, 2, 3 or 4
Fгeqt1e11cy Hoppiпg Flag О or 1
Modt1lation and Codiпg Scheme (MCS) 5
Ne,v Data lndicator (NDI) 1
Red1111dancy Version (RV) 2
HARQ Process Nшnber 4
1" Do,vпliпk Assig11111ent lndex 1 or 2
2nd Do,vnliпk Assignment Lпdex О or 2
ТРС Commaпd for Scl1edt1led PUSCH 2
SRS Reso нrce lndicator [LogzCNsпs) l bits for codebook based traпsmis s ioп

rLов2 (:E;~•:(Lтax,Nsns) (N~(RS))l bits for 11011-codebook based lransmission

Precodiпg lnformatio11 & Number of Layers О, 1, 2, 3, 4, 5 or 6
Апtеппа Ports 2, 3, 4 or 5
SRS Reqнest 2 or 3
CS I Reqнesl О, 1, 2, 3, 4, 5 or 6
CBG Traп smissio11 lпforiп a tioп (CBGTI) О, 2, 4, 6 ог 8
PTRS-DMRS О О!" 2
Beta Offset l11di ca101· О ог 2
DMRS Sеqнепсе l11i1ialisalio11 О or 1
UL-SC H lпdicator 1
Paddiпg depends нроп н sе of S11pple111e11tal Upliпk

ТаЫе 76- Co11te11t of DCI Fo1·mat 0_1

5G NR in BULLETS

DCI Format Identifier: is а tl ag used to differenti ate between DCI Formats 0_ 1 and 1_1. These two DCI Foгmat s may include а
* number ofЬits. In this case, the DCI Format Identifier is t1sed to determine which ofthe two DCI Formats has been 1·eceived (а n ~qtщJ
О indicates DCI Format О 1) va uc оГ

Carrier lndicator: is applic aьte when cross carrier schedt1ling is configнred , i.e. the PDCCH is recei ved оп carrier 'х', while the
* resoнrce allocation is for caпier ' у' . The set of 3 Ьits allows the cell upon which the PDCCH was received, and нр to 7 otlier cell
s ' Ьс
0
addressed. The Carrier Indicator field is absent if cross carrier scheduling has not been configured
Uplink / Supplemental Uplink lndicator: is а single Ьit flag нsed to indicate whether the ге sошсе allocation is for the normal нplink
* carr!er or the Suppl~mental Uplink carrier. _Thi s tlag is exclнded if the_UE is not configured with а St1p?lemental Uplink carrier or tlic
UE 1s ~onfigured w1th а Supplemental Uplшk camer bt1t the PUSCH 1s configшed to only нsе the camer configшed with the РUСсн
Bandwidth Part Indicator: identifies the Bandwidth Pa1t within which the frequency domain resource allocation is located. The пtin Ь
* ofЬits occнpied Ьу this field depends upon the number ofBandwidth Parts which have been configured. А UE is peгmitted to igno; cr
this fi eld if it does not support active Bandwidth Part changes based upon DCI с
Fregнency Domain Resource Assignment: allocates а set ofResource Blocks for the PUSCH. DCI Format 0_1 са п allocate Resotircc
* Blocks нsin g either Resource Allocation Тур е О or Туре 1. А UE сап Ье configured to use а specific res oшce allocation type, or 10
allow dynamic switching between гes ource allocation types. The Base Station нses the 1·esom·ceAllocatio11 infoгmation element \Vitliin
the PUSCH-Config parameter structure to configure the UE. The size ofthe Freqнency Domain Resource Assignment fi eld \Vithin tlic
DCI depends нроn the config1.1гation of this information element. The field has а size of ' х' Ьits if 1 ·esoш ·ceA llocatio11 is set eqLJal to
' гesourceAllocationType0' , wheгeas the field has а size of 'у' Ьits if 1 ·eso11гceAllocatio11 is set eqнal to 'resourceAllocationTypel '. I Г
l'esoш·ceA!location is set equal to ' dynamicSwitch' then the field has а size of max(x, у) + 1. The additional Ьit is н sed to indicate
which resource allocation type is being нsed within а specific DCI transmission. Resoшce Allocation Types О and I аге described j 11
section 7.4.4.2
IfFгequency Hopping is enaьt~d, theп 1 or 2 ofthe Most Significant Bits (МSВ) from the Freqнency Domain Resoшce Ass ignmc 1н
* are LJsed to select the Fгequency Hopping Offset. 1 MSB is used ifthe RRC layer has configuгed 2 freqн ency offsets. 2 M SB а ге tisccl i Г
the RRC layer has configured 4 freqнency offsets. Using the MSB for th e purposes ofFrequency Hopping means tl1at tl1 eгe а1·е fe1vcr
Ьits ava ilaьt e to signal the freqн ency domain resource assignment. This is accepta ьte because Fre qн ency Hopping is applicaЫe to
sm a lleг Resource Block allocations, i. e. the benefit of Frequency Hopping diminishes as th e numbeг of allocated Resource Blocks
appгoach es the total nнmb er o fResoшc e Blocks within the Bandwidth Part

Time Domain Resoшce Assignment: defin es а pointeг towards а row w ithin а l oo k-нp taьt e (ei t h eг а 3GPP stand ardi sed look-llp t а Ы с,
* or an RRC co пfig1.1red look- нp taьt e) . The loo k-нp taьt e defin es the slot offset, the PUSCH Mapp iп g Тур е, th e start ing symbol a11d 1l1c
nt1mb eг of allocated symbols. The l oo k-н p ta Ы e s have t1p to 16 гows so tl1is fi eld гeq u i гes up to 4 Ьi ts

F reg н e n cy Hopp iп g F lag: iпdi cat es w h et l1 e г ог no t F гe qu en cy Hopp ing is to Ье app lied to the resoшce a ll oca tioп
*
M o dLJlatioп а пd Codiп g Scheme (MCS): de fin es а p o inteг to wa гds а 1·ow with in the Ie leva nt MCS l o o k- нp tа Ы е . 3GPP has specificcl 5
* M CS taЫe s for the PUSCH - а 64 QАМ tаЫ е; а 256QАМ tа Ы е, а low S p ectгal Effici e п cy tа Ы е (fо г in c гe a se d гe li a Ьili ty) , а 64QAM
tаЫ е for Tгa п s form P1·ecodiпg with tl1e option to н sе rr/2 BPSK and а low Spectra l E ffi c i e п cy tа Ы е for Tгa n s foгm P гec o d iп g \Vitl1 tl1c
option to н sе rr/2 BPSK. E ach t аЫ е has 32 rows so this fi eld гeqнire s 5 Ьits
New Data Iпdic a toг (NDI): iпdicates iftl1e reso шc e allocation is to Ь е н sed foI а 1·e- tгa п s mi s sion , ог а new IIansmiss ion. Tl1is fi eld
* occнpies а single Ьit. ln the case of dynamic resoшce a llo c atioп s , а гe-t 1·an s mi ss i o n is tri ggeгed ifthe ND I has the same va lLJe as ti1at
used for th e pгevioнs transmission of the гelevant HARQ pгocess . А new t1·ansmi ssion is tri ggeгe d if th e NDI is toggled. In tl1e case ur
Configuгed Gгa nts , а re-t1·ansmission is tгi ggeгed ifthe NDI has а valн e of 1

Redнndancy Version (RV): indicates the pнn c tшing pattern to Ь е used a fte г channel coding. Incremental Redund ancy гel ies t1po11
* diffeгent pнnctнring patterns b etwee п transmissions and re- tra п s mission s . Chase C omЬinin g гeli es uроп the same pнnctшiп g patt e п1
for both transmissions and re- tгan s mi ss ions

* HARO P rocess №mb e r : indicates th e HARQ process which is to н sе the геsошсе allocation. А UE sнppoгts 16 HARQ p1·ocesses pcr
cell in the нplink so this fi e ld occupies 4 Ьits
1st Downliпk Assi gnment Iпd ex: occt1pi es I Ьit if а semi-static HARQ-ACK codebook has been co nfi gшe d for acknow l edg i пg
* dowпlink data, and 2 Ьits if a dyпami c HARQ-ACK codebook has been confi gшed . In tl1 e case oftl1 e se mi-stati c codebook, tl1 e 1 bi t is
н sed to ind icate whether or поt а HARQ-ACK codebook should Ь е mLJlti plexed and tгansmitted w itl1 tl1 e PUSCH. Tn the case of 1l1c
dynamic codebook, the 2 Ьits аге нsed to signal tl1e 'Total' Downlink Ass ign ment Index (DAI) fог the fi гs t sнb -codebook. Tl1 e ti гst .
sLJb-codebook is appli caЫ e to сапi егs wl1ich аге not н s i ng CocleЫock Gгонрs (CBG). Tl1e ' Total' DAI pгov ides iп foгmati oп гega rdmg
the total nt1mb eг ofHARQ Ackno \v l edgemeпts whi ch shot1ld Ье 1·еtнгп еd to the Base Station. The НARQ acknowledgement pгocedti rc
is d es cг ib ed iп sect i o п 13.5
2"d Do,v11li11k Assignment Iп dex : occt1pies О Ьits if а se mi-s tatic HARQ-ACK codebook has Ьееп co11fig1.11·ed fог acknowl edgi п g
* dowпlin k data, and e ith eг О ог 2 Ьi ts ifa dynam ic HARQ-ACK codebook has been coп figшed. 2 Ьits are inc luded if 2 sнb-codebook s
have Ьееп confi gшed fог the dynami c HARQ-ACK code book. T hese 2 Ьi ts а ге t1sed to s igпa l tl1 e ' Total ' Dowпlin k Ass i gпmeп t lпclcx
(DAI) for the seco nd st1 b-codebook. Tl1e secoп d st1b-codebook is appli caЫ e to caпi ers wl1ich are t1 siпg CodeЫ ock Gюt1ps (CBG)
ТР С Command fог Scl1edul ed PUSCH : is t1 sed fог closed loop р оwег control , i.e. the Base Station pгov ides the UE witl1 Tгansmit . _
* Роwег Control (ТР С) comшa nds ,vl1ich instrt1ct tl1e UE to incгease, decгease ог ma iпta iп its tгan smi t po\ver. Iпteгpгetat i on of tlie 2 bit,
 5G NR in BULLETS

dcpends upon whether ш- not ТРС command accнnшlation has been confi gшed . Transmit Power Control is described ,v ithiп section
1JJ.1
sRS Resource Indicator (SRI) : occнpies а пшnЬег of bits which is dependent нроn the нplink t1·ansmission scheme. In the case of
* deЬook based transmission, the SRI is t1sed to select between SRS Resoшces Ьeloпging to different antenna panels. There can Ье нр
сп 2 SRS Resoшces (2 antenna panels) and so the SRI occt1pies опlу а single bit. The valt1e of NsRs corresponds to the 1шmber of SRS
~esot1rc~s. In the case ofnon-codebook based t1·ansmission, the SRI is t1sed to s ~lect one ог more SRS Resoшces fюm а set of NsRs
5011 rces. The nt1mber of SRS Resoнrces selected corresponds to the nt1mber ot" layers (гank) to Ье transmitted. Codebook and non-
~~debook based tгansmission schemes ai·e descгibed in section 8

* Precoding Information & №mber ofLayers: is only applicaЫe to codebook based transmission. This field occt1pies О bits for non-
~book based transmission . It also occt1pies О bits for codebook based transmission нsing а single antenna port. This represents а
special case o_f codeb_ook based transmission becat1se а pгecoding matrix is_ not r~qt1ired and the nt1mber of layers is always 1. .
Otherwi se, th1 s field 1s t1sed to s1gnal botl1 the Tra nsпutted Precodmg Маtпх Indic a toг (ТРМI) and the nt1mber of layers. The s1ze of
the fi eld depends нроn the nt1mber of layeгs and the configшed maximt1m rank. An example look-t1p tаЫе specified Ьу ЗGРР TS
38.2 12 is presented as ТаЫе 77. This example is app li caЫe to а UE whicl1 has 2 antenna po1is and has been configшed to нs е а
inaximttm rank of2. Iftl1e UE has fully coherent antenлa ports then valнes from О to 8 can Ье signalled reqt1iring 4 bits. Ifthe UE has
1 юп -со11 е ге11t a11tenna po1·ts theп valt1es О to 2 can Ь е si gп a lled and опlу 2 Ьits аге гeqt1iгed

Va lt1e i11 Va lt1c i11

Ft1 1\y Co l1 ere111 No11-Col1ere11t
DC I DC I
о 1 \ауег : TPMI = О о 1 layer: TPMI = О

1 1 layer: TPMI = 1 1 1 !ayer: TPMI = 1

2 2 layers: ТРМ\ = О 2 2 layers: ТРМ! = О

3 1 layer: ТРМ! = 2
4 1 layer: TPMI = 3
5 1 layer: TPMI = 4
6 1 laye,·: TPMI = 5
7 2 layers: ТРМ ! = 1
8 2 layers: ТРМ 1= 2

Та Ь\ е 77 - P1·eco11in g l11fo1·111ation & N11111be.- of Laye,·s fo1· 2 ante11na po1·ts a11d а 111 ax i111111111· а 11 1< of 2

* А пtе пп а Pш-ts: is н sed to iпdi ca te ' ,vl1icl1 ' logica l а пtеnп а p o гts tl1e UE s h o нld ti se to t1·ai1smit tl1 e PUSCH а пd tl1e co 1тes poпdiп g
Demodt1l ati o11 Rе fе ге п се S i gпal (DMRS) . Fо г exampl e, ,vhen н s in g PUSCH DMRS Co 11fi gшa tio11 Туре 1, w itl1 а dонЫ е symbo l
DМR S, tl1 e гe ai·e 8 lo gical а пtе 1ша p o гt s a vail a Ы e fог tгa п s mi ss ioп. Iп the case ofMt1lti-U se г MIMO, оп е UE co t1ld Ь е iп s t111 c te d to t1 se
a11t e1111a ports О а пd 1, wl1ile a11otl1 e г UE cot1ld Ь е i11 s tп1cted to н sе апtе пп а poгts 2 апd 3. This exampl e is illн s tгate d Ьу D CI ' Алt е пп а
Port' va lн es I а пd 2 withiп ТаЫ е 78. ЗGРР TS 38.2 12 specifies 18 diffeгe пt look-нp taЫe s to cate1· fог all comЬiпation s ofT1·a пsform
Pгec odiп g, DMRS Coпfi gшa tion , Rank а пd DMRS l e п gth

Va lt1c i11 N ш11Ь с 1·

or DM llS СОМ Nшп Ьсг or Fю ,н
DM \lS l'oгl s
DCI G1·ot1ps 1vitl10t11 Da ta Loadccl Symbols
о о, 1 1 1
1 О, 1 2 1
2 2, 3 2 1
3 0, 2 2 1
4 О, 1 2 2
5 2,3 2 2
(, 4, 5 2 2
7 6, 7 2 2
8 0, 4 2 2
9 2,6 2 2

ТаЫе 78-A 11te1111a Po,·t i11fo 1·111a tio11 fo r T1·a 11sfo1·111 P1·ecodi11g di s aЬ\ ed , DMRS Co11fi g ш·ati o 11 Туре 1, Ra 11l<2 a11d Мах DMRS Le11gt\1 2

* Tl1e 'Апtеп п а Po1·ts' fi eld a lso indica tes ,vl1 etl1 e1· о г п оt the UE is per111itted to f1·eqt1e11cy mнlti p l ex tl1e PUSCH ,vitl1 th e DMRS (3 rd
со lшnп ,vitl1i11 ТаЫ е 78 ). А s iп g l e DМRS а пtепп а ро гt occttp ies I о нt of еvегу 2 st1bcaггieгs wheп t1 s iп g Co 11 figшati o11 Туре 1, а п d 2
ot1t of еvегу 6 s ttb ca пi eгs ,vl1 e11 t1 s iп g Coп fi gшa ti o 11 Тур е 2. St1b ca гri e гs whi cl1 а ге п о t t1sed Ьу tl1 e DMRS са н pot e пti a ll y Ь е t1sed Ь у
the PUSCH. T l1 e UE 111t1st Ье iпfoпned ex plic itly ,vl1etheг ог not fгеq неп су mнltipl ex iп g is petmitted becat1 se oth eг UE may Ье
allocated tl1e DM RS antenn a poгts ,vhi cl1 occt1py tl1e ttПLt sed sнЬ сапi егs , i.e. tl1e UE ca nпot dedнce the н sе of all sttbcaпieгs based нроп
only its o,vn геsошсе a ll ocation . ТаЫ е 78 expгesses tl1is peгmiss i oп to freqнency mt1lt iplex Ьу specify ing th e nн111Ьег ofCode Di v i s i o п

17 1
5G NR in BULLETS

Mнltiplexing(CDM) Groнps which are not availaЬ\e for data transfer, i.e. not availaЬ\e for the PUSCH. When нsin g DMRS
Configшation Туре 1, there are 2 CDM groнps (Figшe 285 in section 7 .5 .1). Indicating that 1 СОМ Groнp is withoнt data mean h
freq11ency mнltiplexing is permitted, whereas 2 CDM Groнps withoнt data means that freqнency mнltiplexing is not peгmitted. ~~ at
нsing DMRS Configшation Туре 2, there are 3 CDM groнps (Figure 286 in section 7.5.1) so the nнmber ofgroнps withoнt data с ~n
1, 2 ог 3. ТаЬ\еs which are арр\iсаЬ\е to Transform Precoding enaЬ\ed al\vays indicate that al\ CDM groнps are withoнt data ье/n с
. operatюn
t h е DFT sргеа d шg · th е сотр Iete set о f sн Ь camers
· generates an онtрнt w h.1с h осснр1еs · анsс

In addition, the 'Antenna Ports' field indicates whether the UE shoнld transmit single symbol DMRS or dонЬ\е symbol DMRS (as
* i\lнstrated in Figшe 285 and Figure 286 in section 7.5.1)

SRS Regнest: is нsed to trigger SRS Resoшce Sets which have been configшed for aperiodic triggering (section 7.5.3). The tield ha
* size of2 bits for UE which are not configшed with а Sнpplementa\ Uplink carrier. In this case, the 2 bits are 11sed to signa\ 4 valties s
8

The '00' vа\не indicates that no SRS Resoшce Sets are triggered. The remaining 3 valнes are 11sed to trigger SRS Resoшce Sets
1
,vl,i
have been configшed with apaiodicSRS-Resoш·cet1·igge1· valнes of \, 2 and 3. Mнltiple SRS Resoшce Sets can Ье config11red ,vitlt ci
each va\11e so а single PDCCH transmission can trigger mнltiple SRS Resoшce Sets. The 'SRS Reqнest' field has а size of3 bits tor
UE which are configшed with а Sнpplemental Uplink carrier. In this case, the first bit indicates whether the reqнest is applicaЫ e to th
Normal Uplink or the Sнpplemental Uplink с
CSI Regнest: has а size between О and 6 bits, which is configured Ьу the 1 ·epoгtT1 ·iggaSize information element within the CS!-
* Meas Config parameter structllre. А UE can Ье configured with нр to 128 aperiodic CSI 'Trigger States'. The 'CSI Reqнest ' fi eld is
11sed to select one ofthese Trigger States. The nнmber ofbits occнpied Ьу the CSI Reqнest field depends 11pon the nнmЬег ofTriggcr
States which have been configured. The maxim11m of 6 Ьits is аЬ\е to select between 64 Trigger States. If more than 64 Trigger Statcs
have been configшed, an ' Ape\·iodic CSI Trigger State S11bselection' МАС Control Element can Ье нsed to identify а sнb s et ofTr·iggcr
States which are candidates for selection
CBG Tшnsmission Information (CBGTI) : is арр\iсаЬ\е when а UE is configured to tгansmit нplink data 11sing Code Block Grottps
* (CBG). The \ength ofthis fie\d is determined Ьу the maximнm n11mber ofCode Block Groнps that the UE is configu1·ed to transmit, i.c.
based 11pon the valнe ofthe 111axCodeВ!o ckG1m1psPe1·TmnspoгtB/ock information element which can Ье signaled нsin g va lнes of 2, 4,
6 or 8. There is а single Ьit inclнded within the CBGТI fi eld for each Code Block Groнp so the field can have lengths of 2, 4, 6 ог 8 Ьi ts
(or О Ьits ifthe UE is not configured to нsе CBG). А UE expects that al\ Ьits are set to ' 1' for а first transmission so the UE tгan s 111it s
al\ Code Block Groнps. In the case ofre-transmissions, the Base Station determines which Code Block Groнps mнst Ь е re - tra н s mitt cri
and sets the corresponding Ьits to ' 1 '. The 11se of Code Block Groнps in th e нplink direction is described in section 13 .5.2
PТRS-DMRS Associatioп: is н s ed to \ink а Phase Trackiп g Re fere п ce Signal (PTRS) to а D emodн\ation Refereпc e Signa l (DMRS).
* This al\ows the pair ofRefereпc e Signals to Ь е 11sed in c omЬin a tion , i.e. channel estimates derived fгom both а пd interpolated bet\vcc11
them. If Transform Precodiп g is еп а Ь\еd or if the coпfi gшed max imнm нр\iпk га пk is 1 (based нроп the maxRaпk iп formatio n
element), then the PTRS-DMRS Ass o c i a tioп fie ld is поt re qнiгed а пd is exc lнd e d from the DCI. In these cases, tl1 e1·e is оп l у а singlc
DMRS а пd the PTRS is linked to that DMRS Ьу d efaнlt. O th eгw i se, tl1 e PTRS-DMRS Assoc iation fi eld o cc нpi es 2 Ьits and tl1 ese bits
аге н s ed to ide пtify e ith eг I or 2 DМR S. If the UE tra п s mits а s iп g l e PTRS then th e 2 Ьit s are а Ь\ е to select b etweeп 4 DMRS. lf tl1c
UE tгansmit s 2 PTRS theп the fir st Ьit is нsed to select between 2 DMRS fог the fiгs t PTRS , while tl1 e se coпd Ьit is н se d to select
between 2 DMRS for the secoпd PTRS
Beta Offset Iпdicator: сап Ье нsed to configшe the set ofweights to Ь е applied dшing the rate matching ofнpliпk contгo l infoг111ati o 11
* оп the PUSCH. These weights impact tl1e qнantity of a ir- iпte r fa ce геsошсеs allocated to HARQ Acknowled ge meпts а пd CSI Reports.
Ifthe UE has Ьееп configшed with betaOffsets = ' semiStatic ' then this field is поt inclнded апd tl1e UE applies а fi xed set of
configшed weights. Ifthe UE has been configшed witl1 betaOJJsets = ' dynamic ' theп this field нses 2 Ьits to identify I онt of 4 sets or
configured weigilts. Each set ofweights inclнdes 3 weights whicl1 are арр\iсаЬ\е to HARQ Acknowledgemeпts, 2 weigl1ts whicl1 а гс
applicaЬ\ e to CSI Part I reports and 2 weights which are applicaЬ\e to CSI Part 2 reports . Specific individнal weigilts аге sнbseqt1e11tly
se\ected based нроn the payload size. For example, HARQ Acknowledgement wei ght I is se\ected iftilere are нр to 2 HARQ
Acknowledgemeпts to traпsfer; weight 2 is selected iftilere are 3 to 11 HARQ Acknowledgements to transfer; апd weigl1t 3 is selectcd
ifthere а ге more th a п 11 HARQ Acknowl e dg e meпts to transfer
DMRS Sеgнепсе Iпitialisation : is а I Ьit field which is applicaЬ\e wheп Traпsform Precodiпg is disaЬ\ed. It is нsed as ап inpнt ,vl1e11
* iпitialising the pseнdo random sеqнепсе whicl1 popнlates tile Resoшce E lemeпts al\ocated to tile DMRS. The field is not app licaЫ e
when Tгaпsform Precodiпg is епаЬ\еd Ьесанsе the pseнdo raпdom sеqн епсе is replaced Ьу а Zadoff- Chн sеqн епсе \Vhi cl1 ilas а loiver
Peak to Average Power Ratio (PAPR) апd is better sн i ted to tile poor coveгage coпditioп s associated with the нsе of DFT-S-OFDM
UL-SCH Indicator: is а I Ьit field which instrнcts the UE wl1eti1er or поt tile UL-SCH siloнld Ье tгaп smitted 011 til e PUSCH. The
* PUSCH сап Ь е н sed to ti·aп s feг Upliпk Сопtго\ lпfo1matio11 (UCI) witiloнt any applicatioп data пог l1igher \ ауег s i gпalliп g wl1e11 tlie
UL-SCH is exc lнd e d . А va lн e of ' О ' iпdi cates tilat the UL-SCH s hoнld not Ье t1·a11smitted.
Paddiп g : is added if а UE is coпfi gшed for PUSCH t ra п smi ssioп оп both а Sнppl emeпta l Upliпk апd а Normal Upliп k and the size rf
* DC I Fo1111at 0_ 1 for traп sm i ssioп on tl1e SL1ppleme11tal Up liпk is поt еqна \ to th e size of D CI F oгmat 0_ 1 fог tгa п sm i ss i oп оп tl1e
по гmа l н р \i пk . In tl1i s case, pa d d i пg is added to tile sma l\ eг DCI F oгm a t 0_ 1 нпti\ tl1ey both have е qн а \ size

3GPP Re fe re п ce : TS 38.2 12
*

172
 5G NR in BULLETS

DCI FORМAT 1_0

Qoivnlink Contю l Infoпnat i on (DCI) Format 1_0 is used to provide гesource allocations fог the PDSCH. It is known as а ' Fallback'
-/t DCI Foпnat which сап Ье t1sed to maintain а con11ection whe11 coveгage deteriorates. It has а smaller payload tha11 DCI Format 1_ 1 so
сап beпefit fюm iпcreased channel coding redt111da11cy. It тау also Ье нsed to st1pport communicatioп dшi11g гeconfiguratio n s

t DCl foпnat 1_0 sнpports si11gle layer tгansmissio11 011 the PDSCH
* З GРР has specified а range ofpayloads for DCI Foпnat 1_0. Each payload has been specified to match the гeqнiгeme11 ts associated
,vitli а particн l ar type of PDSCH tra11s111ission :

0 MSG2 tгa11smissio11 dшing the Ra11dom Access р 1·осеdше нsing а11 RA-RNTI to address the UE
0 MSG4 traпsm i ssion dшing the Random Access procedure нsing а11 TC-RNTI to address the UE
0 System I11foгmation (SI) tra11s111ission using the SI-RNTI to addгess the popнlation ofUE
0 Paging message tгansm i ssion нsi11g the P-RNTI to addгess the popнlat i on ofUE
0 PDCCH Огd ег to i11itiate the Random Access ргосеdше t1si11g the C-RNTI to addгess the UE
0 Oynamic G1·a11t a11d S e m i -Peгsistent Schedt1li11g (SPS) t1·a11smissions t1si11g the C-RNТI. MCS-C-RNТI a11d CS-RNТI to
address the UE
* Tlie fields belo11gi11g to DCI Foгmat 1_0 аге pгese11ted i11 ТаЫе 79. А sнbset ofthe fie lds is app l icaЫe to each нsе case

NшпЬег of Bi1s 11•i1l1i11 DCI 1vl1e11 UЕ is addressed н s i11g а speciflc l{NТI

C-l{NTI. CS- l~NTI. C -l~NТI TC-R.NTI P-l{NTI S1-l{NТI RA-RNТI

l'vl CS-C- R N ТI PDCC H Order
DCI Foпnat ldeпtifler 1 1 1 -
Slюrt l'vlessages !ndicator 2 - -
- - -
Slюrt Messages 8
l' reqt1e11cy Doma iп Res otJГc e Assigпm e пt fLoв2(N%i' 81VP Х (NfJ.ВWP + 1) / 2)]
Тiш е D0111air1 Resource A ss i gnmeпt 4 4 4 4 4
VR.8 - to - PRВ Mappiп g 1 1 1 1 1
Modнlatioп and Codiпg Scl1eme (MCS) 5 5 5 5 5
ТВ Scaling - - 2 2
-
Ne,v Data lпdicator (ND[) 1 1
R~d н пdancy Version (RV) 2 - 2 2
HARQ Process Nt1111ber 4 4
Do,vпlink A s signшeпt Jndex 2 2
ТРС Command for Scl1eduled PUCCH 2 2
PUCCH Res otJГce !пdicator з з
- -
PDSCH to HARQ Feedback Timiпg Jndicator з 3 -
l{ar1dom Access PreamЫe lndex 6 -
UUSUL lпdicator 1
SS/PBCH !пdех 6
-
PRACH Mask lпdex 4
Syste111 !лformation !пdicator - 1
Reserved Bits 10 6 15 16
Paddiп g depeпds нроп si ze ofDC! Fonnat 1 о

ТаЫе 79 - Сопtепt of DCI Fo1·111at 1_0

* DCI Fo гma t Ide11tifie1·: is а fl ag в sed to diffe1·e11tiate betwee п DCI Fo гma ts О_О a11d 1_0. Tl1ese two DCI Fo гmats have Ьееп specified to
i11clt1de а11 eqt1al 1шmЬег ofbits. Tl1is l1elps to si111plify tl1e UE decodi11g ргосеdше Ьу redt1ci11g tl1e 11t1111Ьег o f Ыoc k sizes 1vl1icl1 tl1e
UE attempts to decode. Оп се the UE l1as obtai11ed а positi ve CRC гesнl t, tl1e DCI Foг111at Ide11ti ti eг is н sed to d eteпniп e wl1icl1 of tl1e
tlvo DCI Foпn a ts lias been гece i ve d (а va lt1e of 1 iпdic a tes DCI Fo пn at \ _О )
* Sl101·t Messages I11dicato1·: is опlу applicaЫe to PDCCH t1·a11s111iss io11s t1si11g the P-RNТI. Tl1is fi eld has а le11gtl1 of 2 bits апd is н sed to
iпdi cate 1vl1etl1 eг the DCI i11clt1des 011ly sch edнli11g iпfoг111ation fог а Pagi11g traп s 111i ss io11 011 tl1e PDSCH (valнe О 1). 011ly а sho1·t
message (va lн e IО) . ог both s chedнlin g i11foпnatio11 fог а Pagi11g tгaп s mi ss io11 оп the PDSCH a11d а short message (v alн e I l)

173
sG NR in BULLETS

* Short Messages: is only applicaЫe to PDCCH transmissions using the P-RNTI. This field has а length of 8 bits and is l.lsed to provict
the population of UE with а message regarding the content of the ВССН. If the I st bit is set to ' 1' then it indicates that the весн е
content (excluding SIВ6 , SIВ7 and SIВ8) has been modified. This triggers the population ofUE to re-acql.lire the System Inforrnatio
at the start ofthe next modification period. Ifthe 2 nd bit is set to ' 1' then it indicates that there is an Earthqllake and Tsunami Warninn
System (ETWS) primary notification оп SIВ6, or an ETWS secondary notification оп SIВ7, ог а Commercial Mobile Alert Systern g
(CMAS) notification оп SIВ8. In this case, UE which support these notifications re-acquire SIВ 1 to check for scheduling inforrnatio"
applicaЫe to these SIВ. UE then proceed with the acquisition ofthe гelevant SIВ ifscheduling iпformation is follnd . Bits 3 to 8 0 r 111 '
Short Messages field remain tшused within the release 15 ve1·sion of the 3GPP specifications е
* Freguency Domain Resoшce Assignment: allocates а set ofResource Blocks for the PDSCH. DCI Format 1_0 always l.lses Resource
Allocation Туре 1. This means that it always allocates а set of contiguot1s interleaved or non-interleaved Virtual Resource Blocks
(VRВ). The mapping from VRВ to Physical Resource Blocks (РRВ) is completed Ьу the Physical layer before generating the CP-
OFDM signa\. А non-interleaved mapping means that VRВ ' n' is mapped onto РRВ 'n', w\1ereas an interleaved mapping uses а
fl.lnction to map VRВ ' n' onto РRВ ' m' . The nl.lmber ofЬits reql.lired Ьу the Frequency Domain Resource Assignment field depends
l.lpon the number ofResoшce Blocks within the downlink Bandwidth Part
* The Freql.lency Domain Resource Assignment field is also used to identify а PDCCH Order. If all Ьits are set to ' 1' and the CRC bits
have been scramЫed using а C-RNТI then the UE deduces that the remaining fields within the DCI Format are applicaЫe to а PDCCH
Order. The PDCCH Order triggers the UE to initiate а Random Access procedшe
* Time Domain Resource Assignment: defines а pointer towards а row within а \ook-up tаЫе (either а 3GPP standardised look-1.lp tаЬ\ с
or an RRC configшed look-up tаЫе). The look-up tаЫе defines the slot offset, the PDSCH Mapping Туре, the staгting symbol and tli~
Пl.lmber of allocated symbols. Tl1e look-1.lp taЫes have up to 16 rows so this field reqllires 4 Ьits

* VRВ to РRВ Mapping: is а single ,Ьit field which indicates whether the PDSCH uses а non-interleaved VRВ to РRВ mapping (valнe
О), or an interleaved VRВ to РRВ ,napping (value 1)
* Modl.llation and Coding Scheme (MCS): defines а pointer towards а 1·ow within the relevant MCS look-1.lp tаЫе . 3GPP has specified 3
MCS taЫes for the PDSCH - а 64QАМ tаЫе; а 256QАМ tаЫе and а low Spectral Efficiency tа Ые (for increased reliaЬility) . Each
tаЫе has 32 rows so this field reql.lires 5 Ьits

* Transport Block (ТВ) Scaling: configures а scaling factor which is applied when determining the Transport Block Size (TBS) for eitl1cr
а paging message or а MSG2 transmission . 3GPP has specified scaling factors of 1, 0.5 and 0. 25 so this field requires 2 Ьits \vithiп tl1c
payload ofthe DCI Format. The scaling factors of0.5 and 0.2 5 redl.lce tl1e resнltant Transport Block Size which leads to а lo\ver co diп g
rate, i.e. increased гedнndancy impгoves tl1e reliaЬility ofthese traпsmissioпs. Sectioп 3.6.2 de scгi be s the pгocess нsed to dete1mi11e tl1c
Traпsport Block Size

* New Data Indicator (NDI): iпdi cates iftl1e re soшce a llo catioп is beiпg нsed fог а re- tгaп smissioп, 01· а пеw traпsmi ss ioп. Tl1is fielcl
occl.lpies а single Ьit. Iп the case ofdynamic resource all ocations, а 1·e-t1·ansmissio11 is triggered ifthe NDI has tl1e same va lн e as tl1at
used for the previoнs transmissioп ofthe relevaпt HARQ pгocess. А new traпsmissioп is triggeгed if the NDI is toggled . Iп tl1e case of
Semi-Peгsisteпt Schedl.lling, а re-tтaп s missioп is tгiggeгed if the NDI has а value of 1. The NDI is опlу applicaЫe to t1·a11smissio11s
which l.lse the HARQ re-traпsmissioп protocol, i.e. PDCCH Orders, Paging messages, System Iпformatioп апd raпdom access MSG2
traпsmissions do поt нsе the HARQ protocol

* Reduпdaпcy Version (RV) : iпdicates the рнпсtнriпg patterп to Ье н se d after сhаппеl codiпg. Iпcreme пtal Reduпdaпcy reli es t1po11
diffe1·e11t рнпсtнriпg patterнs betweeп transmissioпs and re-transmissions. Chase ComЬiпing 1·elies нроn the same punctшin g patteп1
for both traпsmissioпs апd re-traпsmissioпs. А Redнndaпcy Ve1·sioп is not signalled for Pagiп g апd MSG2 resoшce allocatioпs becat1sc
these traпsmissioпs do not beпefit from HARQ re-transmissioпs , i.e. there is по scope to chaпge Reduпdaпcy Ve1·sioп betweeп а fiгst
transmission апd а re-traпsmissioп. Instead, а fixed Rеdнпdапсу Versioп is нsed for all tгaпsmissioпs
* HARO Pгocess NнmЬег: iпdicates the HARQ pгocess which is to нsе the resource a llocatioп. А UE suppo11s 16 HARQ pгocesses per
се\\ iп the downliпk so this field occupies 4 Ьits . This field is опlу iпcluded for resource allocatioпs wl1icl1 l.lse mнltiple HARQ
processes
* Downliпk Assignmeпt Iпdex (DAI): pгovides the Сонпtе1· DAI which is applicaЫe wl1eп нsiпg tl1e dyпamic HARQ-ACK codebook.
The Сонntег DAI iпforms the UE of the accнml.llated пtш1Ь е 1· of tгaп s mi ssio п s which reql.lire ackпowledgemeнt l.lp to th e сште 11t
{se1·viпg cell, PDCCH пюnitoriпg occasioп}. Ifthe UE is coпfigшed witl1 mllltiple seгviпg cells theп tl1e UE сап receive mнltiple
Сонпtеr DAI valнes withiп the same PDCCH moпitoriпg occasioп , i.e. tl1e Col.lпter DAI va ll.le is iп cremeпted with each 1·еsошсе
a llocatioп . А UE сап detect missed resoшce allocatioпs if it receives 11011-coпsecнtive valнes for tl1 e Coш1ter DAI. The Сонпtеr DAI
сап нsе valнes О , 1, 2 апd 3 so reqнires 2 Ьits. The valнes w1·ap f1·om 3 to О , so fош coпsecнtive missed resoшce allocatioпs woнld Ьс
l!Пd etec ted , The HARQ ackпow l edge meп t ргосеdше is described iп sect ioп 13.5

* ТРС Command for Scl1 edн l ed PUCCH: is l.lsed for closed loop power coпtro l , i. e. the Base S tatioп pгovides tl1e UE \V itl1 Tгaпsmit .
Powe1· Сопtгоl (ТРС) commaпds \Vhicl1 iпstrнct the UE to iп сгеаsе, decгease or maiпtain its tгaпsmit po\ve1·. Tпteгpгetat i uп ot' tl1 e 2 bits
is based нроп а staпda1·dised l ook-нp tаЫе wh ich maps th e 2 Ьits опtо vallles of -1, О, 1 апd 3 dB. T1·aпsmi t Ро\vег Сопtгоl is described
\Vitl1iп sec tioп 13.3 .2

* PUCCH Resoшce Iпdicato г: is t1sed to iпst111ct the UE to нsе а spec ific PUCCH Resoшce \Vl1eп гetllгning HARQ ack110\vledgemeпts.
Iftl1e UE has поt Ьееп coпfigшed with dedicated PUCCH геsошсеs theп the PUCCH Resoш·ce Iпdicatoг is нsed iп comЬiпation \Vitli
tl1e iпdex oftl1e fiгst ССЕ tised Ьу the PDCCH to calcнlate а poiпter to а гоw withiп а 3GPP staпdaгd i sed look-1.lp tаЫ е. Ifthe UE lias
been coпfigшed witl1 dedicated PUCCH геsошсеs theп the PUCCH Resoшce Indicatoг poiпts to опе ofthose resoшces. The PUCCH

174
 sG NR in BULLETS

Resource Indicator has а length of3 bits so is аЫе to point towaгds I ot1t of8 PUCCH resol!Гces. Ifthe UE has Ь ееп configшed with
rnore than 8 PUCCH resoшces then the PUCCH Resource Indicatoг is t1 sed iп coшbiпation witl1 the index ofthe fi1·st ССЕ used Ь у the
pQCCH to deterrnine the appropriate PUCCH гesourc e
* pQSCH to HARO Feedback Tiшing Indicatoг : d e teгmin es the nt1mb eг of slots between receptioп of th e PDSCH and tгaпsmi ss ion of
~HARQ Ackno\vledgement. In tl1e case ofDCI Fo1mat 1_ 0, this field has а le11gth of3 Ьits and the set of8 valt1es map onto delays
of { l ,2,3,4,5,6,7,8} slots. For example, tl1e Tiшing Indicatoг va lt1e of ' ООО ' map~ onto а delay of I slot so the HARQ acknowledgement
is seпt dшin g slot ' п + 1', asst1ming the PDSCH was received dшing slot ' п '. Tl1e set of del ays does not include the valt1e of О slots.
Tliis meaпs that DCI Forшat 1_0 does not sнррогt the tгansmission ofa HARQ ackno wledge шent dшin g the sаше slot as the PDSCH
reception, i. e. а 'self contained' slot is not sнpported
* Random Access РrеашЫ е Index : is applicaЫe when 11sing DC I Forrnat 1_ 0 to provide а PDCCH Order. А PDCCH O1·der triggers the
UE to initiate the Random Access ргосеdше . The Randoш Access РгеаmЫе Index field has а length of 6 Ьits which pюvides а range
from О to 63. The valнe of ' О ' is treated as а special case and this trigge гs the UE to complete а 'Contention Based' random access
procedшe with its own selection of PRACH Ргеа mЫе and SS/PBCH. V a lнes > О are t1sed to allocate а specific dedicated PRACH
preamЫe allowing the UE to complete а 'Contention Free' Random Access proced шe

* UL/SUL In d i cato г: is app licaЫe ifthe UE is configшed with а St1pplemeпtal Uplink (SUL) caпier and iftl1e ' Random Access
PreamЫe Iпd ex ' was not set to 'О ' . Tl1e 'UL/SUL Indic atш' fi eld is а I Ьit flag which indicates whethe1· the UE shot1ld complete the
randoш access procedшe н s in g the Normal Upliпk carrieг or the St1pplemental Upliпk са1тiег

* SSIPBCH Index: is a pplicaЫ e ifthe 'Ra пdom Access Рге а mЫ е Index' was not set to 'О ' . This fi eld has а length of6 Ьits which
pi·ovides а raпge from О to 63. The valнe points towaгd s а specific SS/PBCH Block (а speci fic Base Station beam) which сап tl1 e п Ь е
11 sed to deteгmine t\1e PRACH occasion for the Raпdom Access рrосеdнге
* PRACH Mask Index : is applicaЫe if th e 'Random Access РrеашЫе Index' was not set to ' О '. This fi eld has а leп gth of 4 Ьit s wl1ich
pюv id es а гапgе fi·om О to 15. The valнe poiпts towaгd s а гоw within а look-t1p t а Ы е standa1·di sed Ьу 3GPP TS 38.321 . The look-t1p
tаЫе deterrnines which PRACH occasions associated witl1 th e specified SS/PBCH Block сап Ь е нs ed fог transmission . А valнe of ' О '
indicates that all occasions are ava il aЫ e. Valt1es I to 8 indicate that PRACH occasioпs I to 8 are availaЫe. А valt1e of ' 9 ' indicates th at
even 1шmb ered PRACH occas ioпs аге availaЫe, while а valt1e of ' 1О ' indicates th at odd nнmbe1·e d PRACH occasioпs а ге availaЫe

* System Infoгm at ioп Indi catoг: is a ppli ca Ы e wheп н s iп g DCI Format 1_ 0 to allocate PDSCH геsошс еs for tl1e tran sm i ss ioп ofSysteш
!nformation. T hi s I Ьi t fl ag is н sed to indicate whetheг th e геsо шс е allocation is fог SIВ 1, or fог a n o th eг SIВ

* Reseгved Bits: аге added to enslll'e tl1at all vaгiaпt s ofDCI Foгmat 1_ 0 l1ave eq t1a l s ize. ТаЫ е 79 illt1st1·ates that a ll vaгiants l1ave а s ize
of28 Ьits afte г inclt1 ding the Rese1·ved B its (and i gп oгiпg th e F 1·eq t1 e пcy Doma in Resoшce Assign111eпt \vl1icl1 is со 111шоп acюss all
va гi aпts)

* P acl diпg: is added ifthe size ofDCI Foгmat 1_ 0 is less t l1 a п tl1 e s ize ofDCI Fo гm a t О_О. Paddi11g is adcled нпtil tl1 e two DCI Foгmats
liave eq11a l size
* ЗG РР Refercпces: TS 38.2 12, TS 38.2 11 , TS 38.2 13, TS 38 .32 1

3.5.7 DCI FORМAT 1 1

* Do,vnlink Control lnformation (DCI) Format 1_ 1 is t1sed to pюvid e 1·eso L1Гce allocation s for tl1e PDSCH. А UE сап Ь е addгessed Ьу its
C-RNТI, CS-RNТI or MCS-C-RNTI when receiving DCI Foгmat 1_ 1. The UE is addгesse d Ьу t1siпg th e RNТI to sсга mЫе the CRC
bi ts whi ch ai·e added to the DCI payload

* The fi elds belonging to DCI Forrnat 1_ 1 are pгesented iп ТаЫе 80

* DCI Format ld en tifieг: is а fla g н se d to diffeгeпti a te betwee п DCI Fшmats 0_ 1 and 1_ 1. These tvю D CI Foгmats may inclt1de а п eqt1al
1шmb e r ofЬit s.
In this case, the D CI Format Id e пtifi eг is н sed to dete 1·m iп e \Vhicl1 of th e two DCI Formats l1as Ье е п гeceived (а valнe of
1 iпdi cates DCI Forrnat 1_ 1)

* Са 1тiе1· I11dicat o г : is applicaЫe \Vhen c гo ss саtтiег sc l1 e dt1liп g is co пfi gшed , i.e. tl1e PDCCH is гece i ved оп са~т iег 'х ' , while tl1e
геsошсе allocation is fог сапiег 'у' . Т'1е set of3 Ьits allows t'1e cell нp o n wmch t'1e PDCCH was гece iv ed, а пd нр to 7 ot l1eг cells to Ь е
adclressed. The Са 1тi ег Iпdi ca tor fi eld is a b seпt if cгoss сапiег sc'1edt1 ling '1as поt Ьееп configlll'ed

* Baпdwidtl1 Рагt Iпdicatoг: i deпtifi es tl1e Band\vidtl1 Рагt \V itl1i11 which t\1e fгeqt1e11cy doma iп геsошсе allocation is located. T l1e 1111mЬег
ofb its occнp i ed Ьу tl1i s fie ld depeпds t1po11 tl1 e 1шmЬег ofBa11dwidtl1 Parts w l1i cl1 l1ave Ьееп configt1гed . А UE is pe1-mitted to ig1101·e
tl1i s field if it does 110! st1ppo1·t act ive Ba11dwidtl1 Рагt cl1a11ges based t1роп DCI
* F1·egнency Do111ain Resoшce Ass i gпmeпt : allocates а set ofResoшce B locks fог tl1e PDSCH. DCI Foг111at 1_ 1 са п all ocate Reso L1Гce
Blocks t1s iпg e i theг ResoL1Гce A llocation Туре О ог Туре 1. А UE са п Ье configlll'ed to нsе а specific геsоL1Гсе all ocation type, or to
all o,v dynamic s,vitcl1ing b et\veeп геsошсе a ll ocatioп types. Tl1 e Base Station t1 ses tl1e 1·eso111·ceA/localio11 infoгmation ele111ent \V i t l1iп
th e PDSCH-Config рага111еtег stп1ctшe to coпfiglll'e tl1e UE. T he size oftl1e Fгeqt1 en cy Domaiп Resouгce Ass ignment fi eld w ithin tl1 e
DCJ depends t1pon t'1e coпfigшati on oftms inforrn at ioп e lement. T l1e fie ld l1as а size of 'х ' Ьits if 1·eso111·ceA //oca1io11 is set eqнal to

175
 .....
5G NR in BULLETS

'resoшceAllocation:ype0', where,as the field has ~ size of 'у' bits if 1·esolll'ceA/focatio11 is set equal to :гesour~e_A llo cationTyPel '. l
1·esoш·ceA l/ocatio11 1s set eqt1al to dynam1cSw1tch then the field has а s1ze of max(x, у) + 1. The add1t10nal b1t 1s used to indicat r
which resource allocation type is being used within а specific DCI transmission. Resource A llocation Types О and 1 аге describe~ .
section 3.6.4.2 11\

Time Domain Resource Assignment: defines а pointer towaгds а row within а look-up tаЫе (either а 3GPP standardised look-tip I Ь•
* or an RRC configured look-up tаЫе). The look-t1p tаЫе defines the slot offset, the PDSCH Mapping Туре, the starting symbol ап~ ; ,
nt1mber of allocated symbols. The look-up taЫes have up to 16 rows so this field reqt1ires up to 4 bits Iс

N11mber of Bils ,vitl1i11 DCI

DCI Format Ideп t ifier 1
Carrier Iпdicator О or 3
Band,vidth Part Iпd icator О, 1 or2
Frequency Domain Resource Assignmeпt ' х' Ьits = Nявс or
f
'у' bits = Lов2 (Nfj;·BWP Х ( Nfj;·в•vP + 1) / 2) l or
'z' bits = max (х, у)+ 1
Time Domaiп Resoшce Assignmeпt О, 1, 2, 3 or 4
VRB to РRВ Mapping О or 1
РRВ Bund liпg Size lпфcator О or 1
Rate Matchiпg Iпdicat~r О, 1 or 2
Zero Po,ver CSI Refer~пce Signal Trigger О, 1 or2
Transport Block 1 Modulatioп апd Codiпg Scl1eme (MCS) 5
Ne,v Data Iпdic ator (ND[) 1
Rеdнпdапсу Versio11 (RV) 2
Traпsport Block 2 Modulation and Coding Scl1eme (MCS) 5
Ne,v Data Indicator (ND[) 1
Redш1dancy Vers ioп (RV) 2
HARQ Process Nшnber 4
Do,vпlink Ass i gпmen t !лd ех 4, 2 or О
ТР С Соmпшпd for Scl1edu led PU CCH 2
PUCCH Resource lпdicator 3
PDSCH to HARQ Feedback Timiпg О, 1, 2 or 3
Алtепnа Ports 4, 5 or 6
Traпsmissioп Coпfiguration lпdicatioп (TCI) О or 3
SRS Request 2 or 3
CBG Traпsm i ssion Informatioп (CBGT[) О, 2, 4, 6 or 8
CBG Flushing Out Iпformatioп (CBGF[) О or 1
DМRS Sequeпce Initialisati oп 1
Paddiпg depeпds 11ро11 size variatioпs for DCI Format 1_ 1

ТаЫе 80 - Со пtепt of DCI Format \ _ \

* VRВ to РRВ Mappin g: is а single bit field which indicates wl1ether the PDSCH нses а non - inteгleaved VRВ to РRВ mappin g (valt1e
О) , or an inteгleaved VRВ to РRВ mapping (valнe 1). lnteгl eaved РRВ mapping is only applicaЫe to Resource Allocation Туре I so
this field can Ье exc lнded ifthe UE is configшed to нsе only Resoшce Allocation Туре О. Similaгl y, th e field can Ье exc lнded iftlic
UE is not configured Ьу the RRC lауег to нsе tl1e interleaved mapping with Resoшc e Alloca tion Туре 1
* The mapping from VRВ to Physical Resoшce B locks (РRВ) is completed Ьу the Physical layer Ьеfоге generating tl1e CP-OFDM
signal. А non- inteгleaved mapping means that VRВ 'n ' is mapped onto PRB ' 11', whereas an i11terleaved mappi11g нses а fi.111ctio1 1 to
map VRВ '11' 011to РRВ 'm'
* РRВ Bнnd li n g Size Indicatoг: is appl icaЫ e wl1 enp1·b-B1111c//i11g Type ,vithi11 the PDSCH-Config has been set to 'cly11a111ic81111clli 11g'. А
UE assнmes that the Base Statio11 has applied the sa me precodi11g to all contigt10t1s Phys ical Res oшce Blocks within а P гecoding
Resoшce Block Gгонр (PRG). А l aгge PRG helps to impгove tl1 e ассшасу oftl1e UE chan11el estimates and геdнсеs the nt1mbeг of
sepaгate cha11nel estimates whicl1 are геqнiгеd. Howeveг, а laгge PRG also геdнсеs tl1e Base Station fl ex iЬility i11 teгms of applyi ng
fгeqнency selective precodi11g. РRВ Bt111dling is descг i bed in section 3.6. 5. The РRВ Bt111dli11g Size Ind icator dynami call y selects
bet\veen the co11figt1red Bнndle Size Sets I and 2
 sG NR in BULLETS

n . 10 M a t c h ~ : is applicaЬ\e when ' Reserved Resources ' have been configнred for the PDSCH. Reseгved Resoнrces аге

* ~ ~ e n t s which are not availaЬ\e fог the reception ofthe PDSCH. The 'Rate Matching' term is used because Reserved
~es~t1гces punctнre the normal PDSCH resources. Physical lауег Rate Matching has to adjust the number ofbits after channel coding
e\coнnt for the redнced nнmber ofResource Elements availaЬ\e to the PDSCH. Reserved Resoшces сап Ье configшed with а
~ а ot1rce Block/Symbol resolнtion, ог with а Resoшce Element гesolнtion. The Rate Matching Indicatoг within DCI Format 1_ 1 is
е\саЫе to Reseгved Resources which have been configured with а Resource Вlock/Symbol resolнtion. Up to 4 patteгns of Reserved
~:Sot1rces сап Ье configшed per serving_cell, and per Bandwidth Part. Ifthe Ra•.e Matching Indicator is i~clud~d within DCI Foгmat
1_ 1, then its value poшts towards а spec1fic patteгn ofReserved Resoшces. R.cserved Resources are descпbed IП sectюn 3.6.7
* Zero Роwег CSI Reference Signal Trigger: is applicaЬ\e to triggeгing aperiodic Zero Power (ZP) CSI Refeгence Signal гesources. This
~ponds to generating Reserved Resoшces with а Resource Element resolнtion. Up to 3 aperiodic ZP CSI Reference Signal
~esot1rce Sets сап Ье configшed per Bandwidth Part. Tl1e nнmЬег ofbits occнpied Ьу this field within DCI Format 1_1 depends upon
tlie nt1mber ofResource Sets which have been configured. The 'О' and '00' valнes indicate that по apeгiodic ZP CSI Reference Signal
Resoнrce Set is triggered. The values '1' or 'О 1' triggers the Resoшce Set \Vith identity 1. Similarly, the valнe '1 О' tгiggers the
Resoщce Set with identity 2, and the value '11' triggers the Resoшce Set with identity 3. Reserved Resoшces are described in section
З . 6.7, \Vhile ZP CSI Reference Signals are described in section 3.7.4.2

* Modulation and Coding Scheme (MCS): defines а pointe1· towaгds а гоw witl1in the relevant MCS look-нp tаЬ\е. 3GPP has specified 3
MCS taЬ\ es for tl1e PDSCH - а 64QАМ tаЫе; а 256QAM tаЫе апd а low Spectral Efficiency tаЫе (for iпc1·eased 1·eliability). Each
tаЫе has 32 rows so this fi eld requires 5 Ьits

* Ne\V Data Jпdicator (NDI): indicates ifthe resoшce allocation is being used for а 1·e-transmissio11, ог а пеw transmission. This field
occt1pies а single bit. In the case of dynamic геsошсе allocatioпs , а 1·e-transmission is trigge1·ed ifthe NDI has the same value as that
osed for the previoнs t1·a11smission ofthe relevant HARQ process. А new transmissioп is triggered ifthe NDI is toggled. Iп the case of
Semi-Persisteпt Schedt1ling, а re-transmission is tt·iggeгed ifthe NDI has а valt1e of 1

Redttпdaпcy Veгsion (RV): indicates the punctiлing patteгn to Ье used aftet· channel coding. Jncгemental Redtшdancy 1·elies ttpon
* tiiffe1·ent pнncn1гing patteгns between t1·aпsmissions and re-tгansmissioпs. Chase ComЬining relies нроn the same pt111cnн·ing pattern
ro1· both tгaпsmissions and re-t1·aпsmissio11s
1 11 foпnation1·ega1·ding Т1·апsрогt Block 2 сап only Ье inclнded if 111ax№·ofCode W01·dsScl1ec/11/edByDCJ witl1in PDSCH-Co11fig l1as been
* coпfigш·ed witl1 а valнe of2. In the case ofNew Radio (NR), а secoпd Tгansp01· t Block is only 1·equiгecl \vhe11 the nшnb e 1· of
traп s missioп laye гs is g1·eateг thaп 4, i.e. both 2 х2 and 4 х4 МIМО орегаtе нsing only а siпgle Тгап sрогt Block

* I-IARO Pгoc ess Nнmb e r : indicates tl1 e HARQ pгo ce ss wl1i cl1 is to нs е the геs ошсе a llocation. А U E s нpports 16 HARQ pгoces s es per
ccll iп tl1e d o\vпliпk so tl1i s fi eld occt1pi es 4 Ьit s

* D01v11link Ass i gпm e nt Jпd ex (DAI): pгo v id es botl1 th e С о1111t е г DAf а пd Tota l DA1 \vl1ich а ге a pplic a Ы e \v l1 e п t1 s iп g th e dyпami c
HЛRQ -ACK codebook \Vitl1 mоге tlш11 а s iп g l e se гviп g ce ll . Tl1e С оtшtе г DAI (2 Most Si gпifi c aпt Bits fюm tl1 e DCI fi eld) iпfoпn s tl1 e
Ul2 oftl1e а сс нпшl а tе d tшmЬег oft1·a11s111i ssio11s \Vl1ich 1·e qt1iгe ackлowl e dgemeпt нр to tl1e сштепt { se гviп g cell , PDCCH moпitoгiп g
o c cas ioп} . Tl1e Total DAI (2 Least Significaпt Bits fгom tl1e DCI field) informs the UE of tl1e accнmнlated nнmЬег of tгa11s111i ss io11 s
1vl1ich геqнiге ackлowledgemeпt нр to tl1e cнrreпt PDCCH moпitoriпg occasioп, after accot111tiпg for all seгviпg cells. Ifthe UE has
Ьееп coпfigшed \vith опlу а siпgle seгving cell tl1e11 олlу the Сонntег DAI is 1·eqнired апd the field has а leпgtl1 of2 Ьits. Ifthe UE lшs
Ьееп coпfigнred with tl1e semi-static НARQ-ACK codebook then this fieldis not reqнit·ed withiп the DCI. The HARQ
ackлowledgemeпt procedшe is described in sectioп 13.5

* ТРС Commaпd fог Schedнled PUCCH: is нsed fог closed loop роwег coпtrol, i.e. the Base Statioп pгovides the UE witl1 Tгaпsmit
Po1ve1· Сопtгоl (ТРС) commaпds wl1icl1 instгнct tl1e UE to increase, decгease or maintain its transmit ро\vег. lпterp1·etatio11 ofthe 2 Ьits
is based нроп а staпdardised look-up tаЬ\е which maps the 2 Ьits onto valнes of -1, О, 1 and 3 dB. Traпsmit Ро\vег Сопtюl is desc1·ibed
1vitl1i11 sectioп 13.3.2

* PUCCH Resoшce Indicatoг: is used to inst11.1ct the UE to нsе а specific PUCCH Resoшce \vheп геn1гпiпg НARQ ackлowledgemeпts.
Ifthe UE has not been configшed \vith dedicated PUCCH геsошсеs theп the PUCCH Resoшce Jпdicatoг is нsed iп comЬiпatioп with
tl1e index ofthe first ССЕ нsed Ьу the PDCCH to calculate а pointeг to а ГО\V \Vithin а 3GPP staпdardised look-нp tаЫе. Ifthe UE has
been coпfigшed with dedicated PUCCH геsошсеs then the PUCCH Resoшce Jпdicator poiпts to опе ofthose 1·esoшces . The PUCCH
Resoшce Iпdicatoг has а leпgth of3 Ьits so is аЫе to point towaгds I онt of 8 PUCCH resoшces. Ifthe UE has Ьееп coпfigшed with
1110re tlшп 8 PUCCH геsошсеs tl1e11 the PUCCH Resoшce Indicato1· is н s ed iп comЬiпatioп \Vitl1 tl1e iпdex o ftl1e fit·st ССЕ used Ьу the
PDCCH to deteгmiпe the appгopriate PUCCH геsошсе

* PDSCH to HARO Feedback Timing lпdicatoг : deteгmiпes the пнmЬег of slots behveeп гeception of tl1e PDSCH апd tгaпsmissioп of
tl1e HARQ Ackпo\vledgement . In the case ofDCI Fom1at 1 1, thi s fi eld pгovides а poiпtet· towaгds ап ent1y 1vitl1i11 the sеqнеп се
de fiнed Ь у dl-DalaToUL-ACK \Vitl1i11 PUCCH- Co11fig. Up to 8 valнes сап Ье coпfi gшed w ithiп tl1is sеqнепсе so the po inte1· reqнiгes ttp
to 3 bits. Each e пtry witl1i11 th e sеqн е п се сап Ь е allocated а va lн e b etweeп О а пd 15. The valtte of ' О' mea п s tlшt D C I F01·mat 1_ 1 са п
Ье Lt sed to 1·eqнes t а UE to tгaп smit its HARQ ac kпowl edgemeпt dшiпg tl1 e sa me slot as tl1 e PDSCH гесерtiоп , i.e . а ' se lfcoпta ined '
slot is s ttpp oгted . Tl1e fi eld са п Ье exc lнded if dl-DataToUL-ACK is co пfi gн red \V ith а s iпgl e va lн e
* Апtеппа Poгts: de fiпes а poiпtet· to а 1·ow \Vitl1i11 а look-up tа Ь! е. 3GPP TS 38. 3 12 specifies 4 look-нp ta Ьl es to catet· fог all
combiпa tioп s o fDMRS C oпfi gшatioп Types 1 анd 2 witl1 DMRS leп g tl1 s of 1 апd 2 symbol s. А sнbs et oftl1e rows belon ging to tl1e
look-нp tаЫ е fог DMRS Coпfigшatioп Тур е 1 w itl1 а DMRS le11gtl1 of 2 symbol s is preseпted as ТаЫ е 8 1. Tl1e left side of the tаЫе is
applicaЫe when the UE is a llocated а siп gle code\vord. А s iп gle codewoгd сап Ье нse d to tгa n s feг нр to 4 l ayeгs of data , i.e. whe п

177
5G NR in BULLETS

using 4х4 MIMO, so this part ofthe tаЫе specifies up to 4 antenna ports. The right side ofthe tаЫе is applicaЫe when the UE is
allocated two codewords. Two codewords can Ье used to transfer up to 8 layers so this part ofthe tаЫе specifies up to 8 antenna р
ОГ\s
In the case ofMнlti-User MIMO, one UE could Ье instructed to нsе antenna ports 1000 and 1001 , while another UE could Ье instn
* to нsе antenna ports 1002 and 1003. This example is illustrated Ьу OCI 'Antenna Port ' values 7 and 8 within ТаЫе 81 ictcd

1 Code,vord 2 Code,vords -l
Nшnber of OMRS OMRS №mber of OMRS OMRS
Уаlне N нmber of Front ValLie Nшn be 1· of Froпt
СОМ GroLipS Ports СОМ Groнp s Ports
iп ОС! Load Symbols i11 О С ! Load Symbols
,vitl10нt Oata (1 ООО + n) ,vitl1011t Data (1000 + 11)
о 1 о 1 о 2 0,1,2,3,4 2
1 1 1 1 1 2 О, 1,2,3,4,6 2
-
2 1 0,1 1 2 2 0, 1,2,3,4,5,6 2
3 2 о 1 3 2 0, 1,2,3,4,5,6,7 2
4 2 1 1
5 2 2 1
6 2 3 1
7 2 0,1 1
8 2 2,3 1
'
9 2 0, 1,2 1
'
' " "' 1 "' ...
28 2 0,1,4,5 2
29 2 2,3,6,7 2
30 2 0,2,4,6 2

ТаЫе 81 - Antenпa Po1·t i11fo1·111atio11 foi· DMRS Co11fig111·atio11 Туре 1 апd Мах DMRS Le11gtl1 2 (subset of coшp l ete tаЫ е slюш1)

* The look-t1p taЫes also indicate whetl1eг or not tl1e PDSCH is fi·eqLJency mt1ltiplexed witl1 tl1e OМRS (colt1mns titled 'N нmЬ е г of
OMRS CDM Gгoups witlюt1t Oata'). А singl e OMRS antenna рогt occt1pies I ot1t ofeveгy 2 s ttb caп i e 1·s when llsing Co nfi gшa ti on
Тур е 1, а пd 2 ot1t of eve1·y 6 st1b caпie 1·s wl1en LJ s iп g Co nfi gшatioп Тур е 2. S t1b ca пi e гs wl1icl1 а ге поt LJsed Ьу tl1e DMRS сап
potentially Ье t1sed Ьу tl1e POSCH. The UE mLJst Ь е iпfoгm e d explicitly whet l1 e г ог поt fгeq н e n cy mttltipl ex iп g is b e iп g LJsed beca11sc
otl1 e г UE may Ь е allocated the OMRS antenna po1·ts whicl1 occLJpy the tt11t1sed s t1b ca пi e1·s, i. e. tl1e UE са ппоt dedt1ce tl1e t1se of all
s t1bcaгrieгs based t1pon only its own геsошсе a ll ocat ioп

* The look-нp taЬles indicate whetheг 01· not the POSCH is fi·eqttency mнltiplexed ,vith the OMRS Ьу specifying tl1e nt1mbe1· ofCode
Division Mнltiplexing (СОМ) Groups which аге not ava ilaЫ e fог data t1·ansfer, i.e. not availaЫe for the POSCH. When LJsing DMRS
Configнration Туре 1, theгe are 2 СОМ groнps (Figшe 180 in section 3.7.3). Indicating that I СОМ Groнp is without data means tlial
freqt1ency mнltiplexing is permitted, whereas 2 СОМ G1·ot1ps withot1t data means that fi·eqt1ency mt1ltiplexing is not pe1mitted. Wl1e11
t1sing DMRS Coпfigшatioп Туре 2, there аге 3 CDM g гot1p s (Figнгe 18 l in sectioп 3.7.3) so the nt1mbeг of gгot1ps withot1t data сап Ьс
1, 2 ог 3
* In addition, the 'Antenna Ports' field indicates whetheг the UE s lюt1ld tгansmit single symbol DMRS ог dot1Ьle symbol DMRS
* Transmission Configыratioп Indication (TCI) : can Ье н sed to dynamically change the Qt1asi Co-Location (QCL) asst1mptions fог tl1e
PDSCH. QCL refeгs to the PDSCH sharing some laгge scale pгopagatioп channel cha1·acte1·istics with either an SS/PBCH Block ог CS I
Refeгence Signal. Кnowledge ofthese common chaгactet·istics helps the UE to decode the PDSCH. QCL is descгibed iп section 7..6.
The Transmission Configнгation Indication field is only inclt1ded within DCI Format l _ l if tci-PгesentlnDCI has been coпfigшed ,,•itli
а value of ' enaЫed'. This info1·mation element can Ь е iп c lt1d ed as pat1 ofthe Contгo/Resom ·ceSet parameter structнre so diffeгeпt
configнrations can exist fог diffeгent CORESEТ. The field has а size of 3 bits within DCI Foгmat 1_ 1 so is аЫе to select between 11р to
8 TCI states (нр to 8 QCL гe lation s hip s)
* SRS Reqt1est: is нsed to tгigge1· SRS Resoшce Sets whicl1 l1ave been configшed fог apeгiodi c tгi ggeгiп g (section 7.5.3) The tield lias а
size of2 bits fог UE ,vl1ich ai·e not configшed witl1 а Sнpp l ementa l Uplink caпier. In thi s case, tl1e 2 bits ai·e t1sed to signal 4 va lн es.
The ' 00' value indicates that по SRS Resoшce Sets аге tгiggeгed. Tl1e гemainiпg 3 valt1es а 1·е н sed to tгiggeг SRS Resoшce Sets ,vhit:li
have been confi gшed witl1 ape,-ioclicSRS-Resom·cet1·igge1· valt1es of 1, 2 and 3. Mнltiple SRS Resoшce Sets can Ье confi gшcd wi tli
еас\1 valt1e so а s iп gl e PDCCH t1·a пsmi ss i oп са п tгi ggeг mt1ltipl e SRS llesoшce Sets. Tl1e ·SRS Reqt1est' fi eld has а size of 3 bits Го ~·
UE which а 1·е coпfigt1гed ,vitl1 а S нppl e meпta l Upliпk сапi е 1·. Iп tl1is case, tl1e fiгs t Ьit iпdi ca t es ,vl1 etl1 eг tl1e гeqн es t is app li caЫ e to tlic
No гm a l Upli nk 01· tl1e S нppl eme пt a l Uplink

* CBG Tгa n s шi ss ion Infoгmatioп (CBGTI) : is a ppli ca Ы e ,v l1 eп а UE is co пfi gшe d to гece i ve do,vn liпk data н s iпg Code Block G гotip s
(CBG). The lengtl1 of tl1is fi eld is dete 1·miпed Ьу the max i111L1m пншЬег of Code Block Gгонрs tliat tl1e UE is c oпfi gшed to 1·eceive, , .с .
based t1pon tl1e va lLJe of the 111axCocleB/ockG1·0 11psPe1-Т,·a11sµo1 ·1Block infoпnat i oп e l eшent ,vh ich сап Ье signaled t1si11g va lнes of 2, 4:
6 01· 8. Тhеге is а single Ьit i11clt1ded withiп tl1e CBGTI fie ld fог each Code Block Gгонр so tl1e fi eld сап l1ave lengtl1s of 2, 4, 6 or 8 bits
(01· О Ьits iftl1e UE is not configшed to LJSe CBG). А UE expects that all Ьits аге set to ' 1' fo1· а fi1·st tгansшi ssioп so tl1e UE 1·eceives DII
 5G NR in BULLETS

Code Block Groнps. In the case ofre-tгan s mi s sions , the Base Station determines wl1ich Code Block Groнps mнst Ь е re-transmitted and
sets the corгespondiпg bits to '1 '. The нs е of Code Block Groнps in the downlink direction is descгibed in sectioп 13.5.1.1
* cBG Flнshiпg Онt Information (CBGFI): is н s ed as а flag to indicate whether ог not the set ofCode Block Groнps (CBG) being re-
;;;;mitted can Ье combined with pгevioнs t1·ansmissions. Iп general, а UE applies comЬining between an original dowпl ink
transmission and all re-tгaпsmissions. This comЬining helps to improve the decoding sнccess гаtе . However, theгe are scenarios where
re-transmissions shoнld not Ье comЬined . Iп these cases, the UE shoнld discard p!'evioнsly received dowпlink data and shoнld attempt
decoding нsing only the гe-transmission. This scenario can Ье caнsed Ьу the pre-emption of dowпlink air-interface resources. F01·
example, а Base Station may receive some high priority dowпlink data whicl1 1·eqt1il'es immediate tгansmission. The Base Station may
liave already allocated all air-interface resources so pre-emption of one or тоге existing allocatioпs is reqнired. This pre-emption
means that one or тоге UE will receive some Resource Blocks which inclнde downlink data belonging to anothel' UE. Those UE will
not have immediate kпowledge ofthe pre-emption so decodiпg ,vill Ье attempted with the data which l1as been sent to the high priority
UE. Assнming that decoding fails , the UE will bнffer the received data so it can Ье comЬined with апу sнbseqнent 1·e-transmissions.
Ho,veveг, the dowпlink bt1ffe1·s are now corn1pt and they shoнld Ье emptied 1·ather than нsed fог comЬining. Jnclнsion ofthe CBGFI
tlag ,vithin DCI Foпnat 1_ 1 is епаЫеd нsing the codeB/ockG1·oupF/usbl11dicalo1· iпformation element whicl1 can Ье provided to the UE
,vlien configшing the нsе ofCBG, i.e. within the PDSCH-CodeB/ockGl'OupTгansmission parameteг structшe. Ifthe flag is set to ' О'
tlien tl1e UE shnнld discaгd any existing bнffered data associated with the CBG being re-transmitted . Pre-emption is descгibed in
section 3. 6.6
* DMRS Segнe11 c e Iпitialisatioп : сап Ье нsed to dynamically switch between the scramЫing identities which initialize the pseшlo
random sеqнепсе ,vhich popt1lates the Resource Elements beloпging to tl1e PDSCH DMRS. А UE сап Ье coпfigшed with valнes fог
sCl'amЬ!ingJDO and scm111Ьli11g!Dl withiп the DМRS-Do1v11/i11kC011fig pai·amete1· stгнсtше . The I Ьit DMRS Sеqнепсе Initialisation
field ,vithin DCI Fo1mat 1_ 1 allows selection between tl1ese two valнes

* Padding: can Ье inclнded ifa UE is configшed to гeceive DCI Fo1·mat 1_1 iп mнltipl e search spaces associated with mнltiple
CORESET ,vithin а specific Bandwidtl1 Part. Padding is inclнded ifthose instances ofDCI Format 1_ 1 l1ave diffeгent sizes, i.e.
padding is added to епsше tl1at all instances ofDCI Format 1_ 1 withiп а Bandwidth Рагt l1ave eqнal size

* ЗGРР Refe1·e11ces: TS 38.21 2, TS 38.2 13, TS 38.214, TS 38.33 1, TS 38.211

3.5.8 DCI FORМAT 2 о

* Do ,vпliп k Co ntгol In to гm a ti o n (DCI) Fo гm a t 2_0 is н se d to p юv id e S lot Fo rmat Indi cato1·s (S FI ). Tl1e fi elds b e l o п g in g to DCI Fo гm a t
2_0 а ге pгese n te d iп Та Ы е 82
* А UE is a ddгesse d Ьу its S FГ -RNTI w h e п ,·eceivin g DCI F oпn a t 2_ О . Tl1e UE is addгessed Ьу н s in g tl1e RNTГ to sс га mЫ е tl1e CRC Ьits
1vl1ich а ге added to the DCI payload. А UE is coпfigшed ,vitl1 а п SFI -RNТI нsin g the S/01Fomшtl11dicato1· pai·ameter stгнсtше tl1at
belongs to tl1e PDCCH-Se1·\Ji11gCel/Conjig
* DCI Foпna t 2_0 is нsed fог 'UE Groнp' common signalling so mнltiple UE can Ье allocated the same SFI-RNTI . Tl1is means that
nшltipl e UE will decode the same PDCCH payload bt1t ,vill ext,·act only the info1mation ,vhich is 1·elevant to that specific UE. А UE is
pгo v id ed ,vith а positionlnDCJ informatioп element as рагt oftl1e SlotFoп11atCombl11atio11sPe1·Cell configшation . This informatio11
element indicates the staгtiпg position of the information wl1ich is гelevarit to that UE
* Tl1e nt1mbe1· ofЬits extгacted fi·om the DCI payload depends нроn the гange ofvalнes which have been configшed for the
s/01Foп11a1Combl11atio11Jd. Tl1is identity has а maximнm valнe of 511 so а maximнm of9 Ьits а,·е extгacted from tl1e payload . The
acrual пt1mbe r of Ьits extracted is giveп Ьу МАХ {ROUNDUP[LOG2(maximt1m valt1e allocated to s/01Fon11atCombl11atio11Jd + 1)], 1}

N шпЬ е г of Bits
l\ 0 i tl1iп DCI
Slot Fоппаt Iпdicator 1 1 to 9 bits
Slot Fоппаt lпdicator 2 1 to 9 bits
Slot Fоппаt lndicator 3 1 to 9 Ьits

... ...
Slot Fo1111at lпdicator 11 1 to 9 Ьits

Та Ые 82 - Co11te11t of DCI Foпn a t 2_0

* The SFJ acts as а po inte1· to,va гds а specific s/01Fomшt C0111Ьi11atio11!cl ,vl1i cl1 id eпtifi es а slot fo гmat co mЬin at i oп ,vh icl1 has Ьееп
c oпfi gшed fo 1· tl1 e UE. T l1is Slot Fo гm a t Co 111Ьi11 a ti o 11 is а Ы е to cl y п a mi ca ll y 1 ·eco 11fi g шe F l ex i Ыe Symbo ls and F l ex iЫ e Slo ts wl1icl1
may l1 ave al,·ead y Ь ее п a llocated Ь у S IВ 1 о г Ьу dedi cated RRC s i gп a lliп g. S lot Fo гm a t s а ге desc гib e d in sec ti o п 2.2

* Т11 е max inшm size of DCI Fo пna t 2_ О is 128 Ьi ts. T he UE is iп fo гm ed of tl1 e a c tн a l size o f DС Г Foгm at 2_ О t1 sin g tl1 e clci-Pay/oac/Size
infoгmat i o n e l e meпt ,v ithiп tl1 e SlotFomюtlnclicato1 · рагаmеtе г stгu ctшe

* З GРР Refeгences: TS 38.2 12, TS 38.2 13, TS 38 .33 1

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3.5.9 DCI FORМAT 2 1

* Downlink Control Information (DCI) Format 2_1 is used to provide Pre-emption Indications. The fi elds belonging to DCI Format 2
are presented in ТаЫе 83
* А UE is addressed Ьу its Interruption RNТI (INT-RNTI) when receiving DCI Format 2_1 . The UE is addressed Ьу using tl1e RNт; 1
scramЫe the CRC bits which are added to the DCI payload. А UE is configшed with an INT-RNTI нsing the Dmvnli11kP1·eempfion J
parameter structure that belongs to the PDCCH-Config
* DCI Fo~mat 2_1 is used for ' UE Group' common signalling so mнltiple UE сап Ье allocated the same INT- RNТI . This means that
mu ltiple UE will decode the same PDCCH payload Ьнt will extract only the information wl1ich is relevant to that specific UE. А UE i
provided with а p osilio11!11DCI information element as part ofthe Doи111/i11kPl'eemplio11 configuration. This information element s
indicates the starting position ofthe information which is relevant to that UE

Number of Bits
\Vithi11 DCI
Pre-emption Indication 1 14
Pre-emption lndication 2 14
... .. .
Pre-emption I11dicatio11 11 14

ТаЫе 83 - Сопtепt of DCI For·mat 2_1

* А Pгe-emption Indicat ion occtrpies 14 Ьits within tl1e DCI payload so each UE extracts а set of 14 Ьits. The ma x imнm size of DCI
Fo rmat 2_1 is 126 Ьits so а maxi mнm of9 Pгe-emption Indicati ons сап Ье accommodated. The UE is informed ofthe actн a l size of
DCI Format 2_ 1 н s in g the clci-PayloadSize information element within the Do11111/i11kP1·ee111plio11 p aгa m e ter stп1cture
* Each Ьit within the Pгe - emp tion Indication coпes p o nd s to а specific time/ frequency гesource. The period between instances ofthe
Sea гc h Space fог DCI Fo1mat 2_ 1 сап Ь е di vided into 14 time inteгva l s. If а Ьit is set to ' 1' tl1 eп it indicates that pгe-empt i on has
occшred duriпg the coпesponding time interval and tl1e UE s h o нld i gnoгe the associated downlink data. A lternative ly, the pe1·iod
between iпstanc es of the Sea гcl1 Space fог DCI Foгmat 2_ 1 сап Ь е divided into 7 time interva ls, а пd th e downlink Bandwidth Рагt сщ1
Ье divid ed into 2 ha lves. In tl1 at case, each Pгe-emption lndi cat i o п co пes poпds to а specific time iпte гva l and half of tl1e Ba11d\vidtl1
Р а гt . Tl1e н sе of Pгe-emptioп lпdi cat i o п s is descгibed iп section 3.6.6

* 3GPP Refeгe п ces: TS 38.2 12, TS 38.2 13, TS 38.33 1

3.5.10 DCI FORМAT 2_2

* Do,vnlink Contml Infoгmation (DCI) Format 2_2 is н sed to p гov ide Tгansmit Роwег Со пtго l (ТРС) commands fог the PUSCH апd
PUCCH. The fi elds belonging to DCI Foгmat 2_2 а ге p1·esen ted in ТаЫе 84
* А UE is addгessed Ьу its TP C- PUS C H-RNТI or TPC-PUCCH-RNТI when гeceivin g DCI Fo1mat 2_2. The UE is add1·essed Ьу н s iп g
the RNТI to sсгаmЫе tl1e CRC Ьits which are added to th e DCI payload. А UE is coпfigшed witl1 а TPC-PUSCH-RNTI апd/о г TPC-
PUCCH-RNТI within tl1e Pl1ysica/Cel/GгoupC011jig p a ramet eг stпtctшe th at belongs to the Ce/lG1·oupC011jig

N шnb e ,· of Bits ,vi1l1i11 DCI

Block Number 1 2 or 3
Block Number 2 2 or 3
.. . .. .
Block Number 11 2 or 3
Padding depends нроп size ofDC! Format 1_0

Та Ы е 84 - С опtепt of DCI For·mat 2_ 2

* DCI Foгma t 2_2 is н sed fог 'UE G гонр' commo п s i gнa lliп g so nшltipl e UE сап Ь е alloca tcd tl1e same RNТI. Tl1is m ea п s th at пш ltipl e
UE will decode tl1e sa me PDCCH payload Ьнt \vill ex tгact оп lу the iпfoгm a tioп \vl1icl1 is 1·e l e v a пt to tl1at specific UE. Each UE is
p1·ovided wi th а ТРС Iпdex \vl1ich p oi пts to\va гds а spec ifi c ' Block' \V itl1i п DCI Foгma t 2_2. Tl1e ТРС Iпdex сап l1 ave а va lн e fю m I to
15 iпdicati пg tl1at DCI Foгma t 2_2 сап accommodate нр to 15 B locks
* Iп the case of PDCCH гесерt i оп нs iп g tl1e TPC-PUSCH-RNTI, the UE сап Ье pюvided \Vitl1 ТР С Iпdi ces fог botl1 а Noп11al Upli11k
(NUL) са 1тi е г апd а S tr pp l e m e пta l Up l iпk (SUL) са~тi ег (lpc-lnclex а п d lpc-lnclexSUL witl1i11 PUSCH-TPC-Commanc/Config)
* 111 tl1e case of PDCCH гесерt i оп н siпg th e TPC-PUCCH-RNTI, the UE са п Ье pгovid ed wit h ТРС Гпdices fo 1· tl1 e Pгimai·y Cell (PCell)
апd tl1e Ргimагу SCG Cell (PSCell) (1рс-!11с/ехРСе// and 1pc-!11clexPUCCH-SCe/l witl1in PUCCH-TPC-Co111111cmc/Co11jig) . The PCell
iпd ex is also а рр!i са Ы е to tl1e Special Ce ll (SpCell ) w l1 e п t1 si11g the EN-DC Non-Sta пd a l o п e Base Statioп aгc hitectшe

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* тt1 е ТРС Index is translated iпto а Ьit position w ithin tl1e DCI payload based upo n an assLimption rega гding the size of each Block. А
Block has а size of3 bits when Lising two power control adjListment states, and а size of 2 Ьit s ,vhen нsin g one power control
adjнstment state. In both cases, the actLi al ТР С command occt1pies 2 Ьits . The thiгd Ьit is нse d to identi fy the ро wег co ntrol adjн s tment
state when t1sing two states. А U E assLimes tl1 at all Blocks have eqt1al size based t1pon its o,vn configшati o n , i.e. а UE assLimes that a ll
UE а ге Lising а single adju stment state, ог all UE а ге нsin g two a djн s tm e пt states
* The confi gшa tion and maintenance oftwo power control adjListment states сап he benefi cial when switching between t1plink bea m
pa iгs . The Base Station сап dynamically reqнest the UE to change нplink beam pairs нsin g the SRS Resot1rce Indicator (SRI) ,vithin
DCI Foгm a t 0_ 1. This сап impact the t1plink liпk loss and cons eqнently impact the арргоргiаtе UE transmit роwег. Maintainiп g two
power contгol adjн s tment states allows the UE to switch between power control calcLilations at th e same time as switching bet\veen
beams. This helps to ensure that the UE al ways transmits w ith an appropriate power. Uplink power control is described in section 13 .3
; А UE sig nal s its s нpport for two р о wег contro l adjt1 stment states wh en pгovidin g its UE c ap a Ьility iпfoгma tion , i. e. н s in g the
мoDi./fe1·e111 TPC-Loop -PUSCH and 11\JoDiffe,-entTPC-Loop-PUCCH iпfoгm a tion e l emeпts . The Base Station сап sнbseqн entl y
confi gшe th e Lise oftwo adjListment states н s in g 11\10PUSCH-PC-Aclj11s/111e11/S/ales and 11voPUCCH-PC-Aclj11s/111e11/Sla/es

* н is not necessary to si gпal the size ofDCI Format 2_2 Ье сан sе the Base Station adds padding to ensшe that DCI Format 2_ 2 11as the
same size as D CI Format 1_ 0 in the Common Sea гch Space ofthe same s e гvin g cell, i.e. the UE c alcнl a tes the si ze ofDCI Format 1_ 0
ап d as sн mes tl1 e same size fо г DC I F o пn at 2_ 2

* З GРР Re fe гe n c es: TS 38.2 12, TS 38.2 13, TS 38.33 1

3.5.11 DCI FORМAT 2_3

* Downlink Со пt го l Info гm a ti o n (DCI) F o гma t 2_ 3 is t1sed to pгovid e T гa n s mit Р оwег Co ntгo l (ТР С ) commands fо г tl1e SRS . Iп
additi on, it са п Ь е н sed to reqн es t the t1·ansmi ssio n of an ape1·iodic SRS
* It is not always п е с еssа гу to н sе D C I F o гma t 2_ 3 to provide ТР С co mmand s fo1· th e SR S. А UE са п Ь е co nfi gшe d to apply th e P USC H
ТР С co mmands to bo tl1 the PUSCH and SRS. T he sтs-Po 111e1 ·Co 111гo /A clj11s /111e11tSla les info1·mati on e l e m e пt within tl1 e SR S-Reso ш ·ceSet
р а га m е tе г s t11.1 c tшe is н sed to indicate whethe1· 01· поt tl1e UE shot1ld apply the sa me ТР С co mmands to both th e PUS CH and SRS.
Altem at ively, а UE may Ь е co nfi g шe d to t1·ansmi t the SRS within а cell wh e гe tl1 e UE is not co пfi gшe d to tгa n s mit tl1 e PUSCH п о r
PUCCH. In tl1i s case, the UE 1·e qнiгes dedi cated ТР С comm a пd s fо г th e SRS
* А UE is a ddгesse d Ьу its TP C -SR S- RNТI ,vl1 en 1·ece i v iп g DCI F o пn a t 2_ 3. T l1e UE is ad d гe sse d Ьу н s iп g the RNTI to s c 1·a mЫ e tl1 e
CRC bits w l1icl1 а ге add ed to the D CI pay load . А UE is c oпfi gшe d ,vitl1 а TPC-SRS -RNT I ,vi tl1iп the P/1ysica/Ce/lG1·011pC011fig
pa1·amete1· s t1·t1 c tшe tliat b e l o п gs to tl1e CellG1·011pC011/ig
* DCI Fo1·mat 2_ 3 is н s e d fo 1· 'UE Gго н р ' co m mo п s i g п a lli п g so mнl t i p l e UE са п Ь е all oca ted tl1 e same RNT T. T l1is m e a п s tl1at 1ш1l tip l e
UE ,vill deco de tl1 e sa me P D CCH pay load bt1t wi ll ext ract only the info гm at io n w hi cl1 is гe l ev a пt to that specific UE. А UE is pгov i ded
,vitl1 а slшli11gB i!OJF0 1 ·111a 12 -3 in fo гm a ti o n element as ра гt of tl1 e SRS-TPC-CommandConfig . T hi s infoгm a tioп element iпd icates tl1e
sta гtiп g po s iti oп ofthe info rmatioп whi ch is re levant to that UE

* The fi elds belonging to D CI Fo1mat 2_ 2 а1·е pгese пte d in Та Ы е 85

N шпЬ е г or Bils ,vi1l1i11 DCI

Block Nutnber 1 2, 4, 6, ..
Block NшпЬ е r 2 2, 4, 6, ..
.. . .. .

Block Nttmber п 2, 4, 6, ..
Padding depends uр оп size of DCI Format 1_0

Та Ь\е 85- Сопtе пt of DC I Fогшаt 2_3

* Each Blo ck са п inclt1de а п SRS Reqt1est and one о г тоге ТР С commands. Ап SRS Re qн es t occt1pies 2 Ьit s and eacl1 ТР С Co mm a пd
occн pi es 2 Ьit s . А UE is co пfi gнred in advance fо г the iп c lн s i o n of an SRS Req н es t . T h efie/c/TypeFomю /2 -3 w itl1i 11 SRS- TPC-
CommandConfig is Lised to iпdi ca te whether 01· п о t а п SRS ReqLi es t w ill Ь е iп c lLid ed . InclLisio n of а п SRS R eqLies t does not mеа п tliat
а п SRS transmi ssion w ill always Ь е гe qLie s ted (SRS ReqLies t va lLi e ' 00 ' mea п s th at п о SRS t гa п s mi s sioп is 1·eqL1 es ted, whil e o tl1 eг
va lн e s tгi gge г specific SRS Reso шce Sets)

* Tl1e Base S tat i oп н s e s the s1·s- TPC- PDCCH-G1·011p i n fo1·m a ti oп ele111ent to coпfi g шe а UE to 1·eceive eitl1 e1· 'Тур е А ' 01· ' Тур е В ' ТР С
c ommaп d s. Тур е В m ea п s tliat tl1 e UE is confi g шe d to decode 011 е ог тоге B locks fl'Om ,vithin tl1e D CI payload а пd each Block
p гov i de s а s i п g l e ТР С comm a п d fог а specifi c нp l iпk са п i е г. Тур е А т еа п s tl1at tl1 e UE is co n fig шe d to decode о п е B lock fl'Om ,v ithiп
tl1e О С ! payload bLit tliat Block сап pгo v ide mн l t i pl e ТР С co 111111a пd s fог mнltip l e Lip link са ггi е гs
* It is not n e cess aгy to s i gп a l tl1e size ofDCI Foпnat 2 3 Ь еса н sе the Base S tat i oп adds p addiп g to e n s шe tliat DCI Foпnat 2 3 has tl1e
same size as DC I Format \ _О in t\1 e Common Seai·cl1- Space ofthe same se гv i пg ce ll , i. e. tl1 e UE calcLil ates tl1e size ofDCI Foгm at \ _О
and assL1111es the same size for D C I F oгm a t 2 3
3GPP References: TS 38.2 12, TS 38.2 13, TS 38 .3 3 1

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3.6 PHYSICAL DOWNLINK SHARED CHANNEL

* The Physical Downlink Shared Channel (PDSCН) is used to transfer end-нser application data, Signalling Radio Веаrег (SRВ)
messages, System Information and Paging messages. Application data belongs to the us e г plane, while SRВ messages, System
Information and Paging messages belong to the control plane

* In addition, the PDSCH can Ье used to tгanster control information generated Ьу the set ofгadio network protocol stack layers. For
example,.,t he МАС layer can add а range оfМАС Control Elements (МАССЕ) inclнding Timing Advance Commands and Secondary
Cell Activation/Deactivation Commands. The МАС Control Elements which can Ье transferred using the PDSCH are listed in ТаЫ е 86

UE Coпtention Resolution ldentity TCI State Indication for UE-specific PDCCH

Timiпg Advance Commaпd TCI States Act./Deact. for UE-specific PDSCH
SP SRS Act./Deact. DRXCommand
SP ZP CSI-RS Resource Set Act./Deact. PUCCH Spatial Relation Act./Deact.
SP CSI-RS / CS!-[M Resoнrce Set Act./Deact. Dнplicatioп Act./Deact.
SP CSI reportiпg оп PUCCH Act./Deact. SCell Act./Deact.
Aperiodic CSI Trigger ~tate Subselectioп Recommended Bit Rate

ТаЫе 86 - МАС Control Elements ,vl1icl1 сап Ье tl"ansfeпed using the PDSCH

* In the case ofthe нplink, th e Phys ical lауег can add Upliпk Contгol Information (UCI) to the PUSCH. This UCI iпclнdes HARQ
Acknowledgements and C hannel1State Information (CSI). Jп contгast, the Physical l ауег does поt add Downlink Contгol Iпfo гmati oп
(D CI) to the PDSCH

* Figнгe 158 sнmm a гi ses the content tran s fe пe d Ьу the PDSCH

RR C SDAP
Layer Layer

SRB О
SRB 1
SRB 2
SRB 3
DRB r PDCP Co ntro l PDU PDCP
Layer

вес н РСС Н ссен DCC H DTC H

r RLC Status PDU RLC
Layer

Logical . ---
Channels .______...--.._
МАС
/ МАС Co ntro l
J/ El ements Layer

Transport Channel

Physica l
Layer
P/1ysica/ Channel

Fi g ш·e 158 - Co11te11t тта п s fе пе d Ьу tl1e PDSC H

* T l1 e PDSCH can L1se the QPSK, 1бQАМ, 64Q АМ а пd 256QAM mo dнl a ti oп sc hemes. M odнl a ti o п sc hemes а,·е desc гibed i11 secti oп
2.7. Tl1e Base Stat ion ti·ansmits the PD SCH н s iп g а CP-OFDM wave foгm . Tl1i s is iп co11t1·ast to tl1 e PUSCH wl1i cl1 sнppo 1·ts bot\1 CP-
OFDM а пd DFT-S-OFDM . Wave forms а ге d esc гib ecl iп sectio n 2.9.

* Tl1e PDSCH L1ses а пtепп а po гts I ООО to I О 11. T l1 ese ar·e the sa me as tl10se t1 sed Ьу tl1 e Dem od нl ati oп Rеfегепсе Signa l (DMRS). А 11
iпdi v idнa l U E ca n н sе нр to 8 po1·ts to t1·ш1 s feг 8 layer·s of downl ink data, i.e. 8х8 МТМО . The fнll set o fp o гts са п Ь е нtil ised \Vl1 e11
н s iп g Mнlti - U se r· M IMO

* Т\1е PDSCH is al\vays tгaпsm i t ted in co111Ьi 11a ti o 11 with а DMRS . It may also Ье con fi gшed to Ь е traп smitted in co111bi11atio11 \V itli а
Pl1ase Tгacki пg Refereпce Signal (PTRS ) ог а Tгackiпg Rеfегепсе Signal (T RS) . T l1 e сопсерt of Qнasi Co-Locati oп (QCL) сап he uscd
to l1 elp sнppoi·t PDSCH гесерti оп. Т11е Base S tatioп сап i пfor·m tl1e UE tliat tl1 e PDSCH is Qнas i Co-Located \Vitl1 ei theг an SS/PBCH
B\ock ог а CS I Rеfегепсе Signa l. Tl1is allows th e UE to нsе the SS/PBCH B lock ог CSI Re fe1·e11ce Signal to dedнce spec ific la1·ge sc:ilc
pгoperti es assoc iated witl1 tl1 e 1·adio pгopagati on cl1a1111el, e.g. Doppl eг S hi ft; Dopple1· Spгead ; Aveгage Delay, Delay Spгead . Tl1 is
info1mation can then Ь е н sed to \1 е \р decode th e co пte nt o f the PDSCH . Qн as i Co-Locati on is desc1·ibed in sec tioп 2.6

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* Cell specific configuration in fo rmation fо г th e PDSCH is bгoadca s t with i п System Infoгmation Block 1 (SIВ 1) н sing the PDSCH-
ConfigC0111111011 parameter stn1cture presented in ТаЫ е 87.

PDSCH-Cu11jigC0111111011
pdsch- TimeDomaiпAllocatioпList SEQUl::NCE ( 1 to 16 i11sta11ccs)
k0 О to 32
mappiпgType typeA,typeB
startSymbolA11dLe11gtl1 О to 127

Та Ь\ е 87 - PDSCH-Co11jigC0111111011 pa1·a meter str uctш·e

* Tlie pdsc/1-TimeD0111ai11A /localio11Lisl defines а loo k-нp tаЫе wi th гows whi ch can Ье selected when making а time domain resource
al l ocatioп. Each row specifies а slot offset (Ко), а PDSCH Mapping Туре, а starting symbol and а nнmb er of allocated symbols (the
l eпgth). T l1is l ook-нp tаЫе is н sed iп combination with otheг similar taЫes - Defaнlt taЫes 'А', 'В' and 'С' standardised Ьу 3GPP
1vitl1i11 TS 38 .2 14, and anotl1er tаЫе within the pdsc/1-Conjig parameter stn1cture w hi ch can Ье provided н sing dedicated signalling.
Se l ect ioп bet\veen these look-нp ta Ыes and their s L1b seqнent н sе is descгib e d in sectioп 3.6.4.1

* UE specific configшation iпformatioп fo1· the PDSCH can Ье pгovided L1sing the PDSCH-Conjig рага mе tег strllctшe pгeseпted iп ТаЫе
88. The Base Stat i oв нs es dedicated signalling to forwaгd this рагаmеtег stгL1ctшe to the UE

PDSCH-Co11fig
d ataScram bliпg!deпtityPDSCH О to 1023
d 1пrs-D01vп link.ForPDSCH - Mappi11gTypeA SetupRelease { DMRS - D01vпli11kC011fig }
dmrs-Do1vi1li11kForPDSCH-Mappi11gTypeB SetнpRe l ease { DMRS-D01vпli11kConfig}
tci-StatesToAddModList SEQUENCE {1 to 128 iп staпcesofTC I-Sta t e}

tci-StatesToReleaseList SEQUENCE {\ to 128 iпsta пces ofTCI-Stateld }

vrb- ToPRB-lп t er l eaver n2,п4

resot1rceAllocation 1·esoнrceAllocatio 11Type0, reso нrceA ll ocatioпType 1, dy1шmicS1vitc l1

pdscl1-TimeD0111ai11 Allocat ioi1Lis t SEQUENC[ ( 1 to 16 i 1 1 s tш1 c cs )

k0 0 (О 32
111appi11gType typeA, typeB
s tartSy111bolAлdLeпgtl1 О to 127
pdscl1-AggregationFactor 112,п4,u8

rateMatcl1PattemT0AddModList SEQUENCE {I to 4 iпstaпces of RateMatchPattem}

rateMatcl1PattemT0ReleaseList SEQUENCE {1 to 4 instances of RateM~tcI1Patten1Id}
rateMatcl1PattemGroup 1 SEQUENCE { 1 to 8 iп s taпces of cel!Le,1e/'or b,vpLevel RateMatcl1Pattern!d }
rateMatcl1PattemGroup2 SEQUENCE {1 to 8. i11sta11ces of cel!Le,,el or Ьн1рLе ,,е! RateMatcl1Pattemld }
rbg-S ize coпfigl , coпfi g2

111сs-ТаЬ\е qam256, qa11164Lo1vSE

111aJtNrofCodeWordsScl1edнl edByDC I n! , u2
prb-Bш1d lin gType CHO ICE
staticB t1ndling dy11a111icBu11dli1Jg
bнпdleSi ze n4, 1videba11d bнпdleSi zeSet 1 n4, 1videband,
112-1videba11d,
n4-1videband
bнпdleSi zeSet2 114, 1videband
zp-CS I-RS-ResoнrceToAddModList SEQUENCE {1 to 32 iпstaпce s of ZP-CSI-RS-Resot1rce}
zp-CSI-RS-ResoltrceToReleaseList SEQUENCE ( 1 to 32 iп staпces of ZP-CS I-RS-Resourceld}
apeгiodi c-ZP-CS I-RS-R esoнrceSetsToAddModL i s t SEQUENCE {1 to 3 i11 stai1ces ofZP-CSI-RS-Resolll'ceSet}
a p eri od i c-ZP -CS I -RS-Reso t1гceSe t sT0Re l ease Li s t SEQUENCE { 1 to 3 i11sta11ces of Z P-CSI-RS-Reso ш·ceSe tld}
sp-ZP-CS 1 -RS-Res oнrceSetsToAddModList SEQUENCE {\ to 16 in staпc es ofZP-CSI-RS-Resoll!'ceSet}
sp-ZP-CS I-RS-Resot1rceSetsT0ReleaseList SEQUENCE { 1 to 16 iп st aпces of ZP-CS I -RS-Resoн rceSet !d }
p-ZP-CS I - RS-ResoнrceSet SetнpRe l ease { ZP-CS I- RS-lies oнrceSet }

ТаЬ\е 88 - PDSCH-Co11/ig pai·amete1· st1·11ct111·e

183
5G NR in BULLETS

* dataScmmЬ!ingldentityPDSCH сап Ье used to iпitialise the pseudo raпdom sequeпce which scramЫes the PDSCH payload prior to
modulatioп. dataSaamЬ!ingldentityPDSCH is app l icaЫe if the RNTI used to address the UE оп the PDCCH is а C-RNTI, MCS-C-
RNTI or CS-RNТI, апd ifthe PDSCH is поt schedt1led t1siпg DCI Format 1_0 in а Commoп Search Space. Otherwise, the PCJ is tised
to initialise the pseudo random sequeпce. ScramЫ i пg uses the pseudo raпdom sequeпce to 'raпdomly' chaпge some Ьits from ' 1' to ,0,
апd otheг Ьits from ' О ' to ' 1'. The order of the Ьits is поt chaпged. The objective of scramЫiпg is to randomise the Ьit stream апd thн s
raпdomise the iпtercell interfereпce experieпced Ьу neigl1bouring cells. The impact of intercell interference is reduced ifthe
interference appears random
* d111,-s-Dиv11/i11kF01-PDSCH-MappingTypeA and dm1 ·s-Doи 111/inkF01-PDSCH-MappingTyp eB provide configuration information for
DMRS Typ,es А and В. The DМRS Туре is indicated for each PDSCH transmission using the 'Time Domain Resoшce Assignment'
fie ld within the PDCCH Downlink Control Information. The 'Time Domain Resource Assignment' field points to а row within а look-
up tаЫе which includes а column for the DMRS Туре . The parameter sets belonging to d1111·s-Dow11/inkFo,-PDSCH-Mappi11gTypeA
and d1111·s-DownlinkF01-PDSCH-MappingTypeB are described in section 3.7.3
* lci-StatesToAddModLisl configures the UE with а set ofTransmission Configuration lndicator (TCI) States . These TCI States are нsed
for the purposes ofQuasi Co-Location (QCL) described in section 2.6. The parameter set configшed Ьу tci-StatesToAddModList is
presented in ТаЫе 89. Up to two QCL relationships сап Ье configшed for each TCI State. In each case, either а CSI Reference Sigrial
ог an SS/PBCH Block within а specific Bandwidth Part and belonging to а specific cell is identified for the QCL relationship. The typc
ofQCL relationship is then specified as eitl1er 'А', 'В', 'С' or 'D'. The type ofQCL гelationships defines the set oflarge scale radio
channel properties which are shared with the PDSCH when the TCI State is activated and selected. Activation is completed using tlie
'TCI States Act/Deact./01· UE-specific PDSCН' МАС Control Element presented in ТаЫе 86. Subsequent selection is completed нsiп g
the TCI field within DCI Format l _ l

TCI-State
1
tci-Stateld О fo 127
qcl-Type l cell О to 31
b\vp-ld 0 lo 4
referenceSignal C HOICE
csi-rs ssb
NZP-CSI-RS-Resoнrce!d 1 О to 191 SSB-Iпdex 1 О to 63
qc l-Type typeA, typeB , typeC, typeD
qcl -Type2 ce ll О to 3 1
b\vp -Id О to4
reFere11ceSigrial C HO IC[
csi-rs ssb
NZP-CSI-RS-Resourceld 1 О to 191 SSB-Index 1 О to 63
qc\-Type typeA,typeB,typeC,typeD

ТаЫе 89 - TCI-State pa1·a mete1· st1· uctш·e

* lci-StalesToReleaseList сап Ье t1sed to release any TCI States wl1ich have been previously coпfigшed

* 111·b-ToPRB-Inte1·/em1e1· is used to configшe the Resoшce Block Bundle (RВВ) size which is applicaЫe to the ' iпterleaved ' mapping
between Virtнal Resource Blocks (VRВ) and Physical Resource Blocks (РRВ). The ' inteгleaved ' mapping сап Ье used wheп either
DCI Format 1_ 0 or l_l provides а Resoшce Allocation Туре l (the VRВ to РRВ Mapping field within the DCI payload indicates
whether or not an inteгleaved mapping is to Ье applied). The ' interleaved' mapping function itself is desc1·ibed in section 3.6.4.2.2
* 1·eso ш ·ceAl!ocatio11 configшes the UE to expect either а specific Resoшce Allocation Туре or а dynamic switching betwe eп Rеsонгсе
Allocation Types within DCI F01mat l_ l . DCI Format 1_ 0 always uses Resource Allocation Туре l so does not require any
configшation. When t1sing DCI Format 1_ l with dynamic switcl1ing, ап additional Ьit is inc lt1ded ,vithin tl1e F1·eqt1ency Domain
Resoшce Assigпment field to iпdic ate the Resoшce A l locatioп Туре

* pdscl1-ТimeD0111ai11Allocatio11List pгovides а look-llp tаЫе whicl1 has the same format as th e look-llp tаЫе pгo v id ed Ьу PDSCH-
C01?figC0111111011 (preseпted iп ТаЫ е87). Each гоw specifies а slot offset (Ко) , а PDSCH Mapping Туре, а starting symbol апd а
numbeг ofallocated symbols (tl1e lengtl1). Tl1ese two taЫ es ar·e t1sed in combiпatioп with Defat1lt taЫes 'А', 'В' and 'С' standaгd i secl
Ьу 3GPP within TS 38.2 14. Se l ect i o п between tl1ese look-t1p taЫes and theiг SL1bseqt1 ent t1se is described in sectioп 3.6.4.1

* pcl.~cl1-Agg1·egatio11Facto1· defiпes the 11L1mbeг of гepetitions app lied to the tгansmiss ion of а do,vnlink Tгanspoгt Block оп tl1e PDSCJ-1.
Wl1en tl1 e aggгegatioп factor is configшed witl1 а vallle of ' п' which is > 1, tl1 e Тгапsрогt Block tгaпsmissioп is гepeated in ' п '
coпsec llt ive slots. The same symbol a llocatioп is assllmed fог all repetitioпs апd the PDSCH is limited to а s iп g le lауег. Tl1e
гedt111dancy veгsion app lied dшiпg tl1e Physical lауег pгocessiпg of tl1 e PDSCH is changed fог eacl1 repetitioп to he lp maximise tl1e
i11c1·eme11tal red ш1daп cy combiпiпg ga iп at tl1e UE гeceiver

* 1·ateMatcl1PattemT0AddModList is used to coпfigшe up to fош Rate Matchiпg Patteгпs. Each Rate Matcl1i11g Раttегп defiпes а set of
Resoшce Blocks beloпging to specific symbols ,vhich аге поt availaЫe for PDSCH transmissioп, i. e. Rese1·ved Resoшces. Tl1e ' Rate
 5G NR in BULLETS

Matching' teпn is t1sed becat1se Reserved Resoшces pt1nctшe th e normal PDSCH resoшces. Physical layer Rate Matching has to adjt1st
tlie nt1mber ofbits after channel coding to accotшt for the redt1ced nнmber ofResoшce Elements availaЫe to tl1e PDSCH. The set of
Rate Matching Pattems are t1sed to gen eгat e either one or t\vo Rate Matching Pattem Grot1ps (l'ateMatcl1Pa1temG1·oupl and
"ateMatcl1PallemG1·oup2). А specific Rate Matching Pattem Gюt1p is st1bseqt1ently activated t1sing the 'Rate Matching lndicator' field
within DCI Format 1_ 1. This field has а maximt1m length of 2 Ьits ,vheгe each Ьit coпesponds to а specific Rate Matching Patterп
Grut1p. Reseгved resoшces and Rate Matching Patterns аге descгibed in sectioп 3.6.7
* ,.ьg-Size defines the size ofthe Resuшce Block Groнps (RВG) t1sed f01· dowпliпk Resoшce Allocation Туре О. Resoшce Allocation
Туре О t1ses а Ьitmap to allocate specific RВG . The size ofthe Ьitmap is eqt1al to tl1e Пllmber ofRВG within the downlink Bandwidth
Рагt . 1·bg-Size represents а pointeг to а colt1mn belonging to а look-t1p tаЫе standaгdised Ьу 3GPP TS 38.214. This look-нp tаЫе is
preseпted as ТаЫе 90. Configшation I coпesponds to smaller RВG sizes which provide the Base Statioп ,vith incгeased schedнling
flexiЬility bt1t these smalleг RВG increase the size ofthe Ьitmap witl1in DCI Foгmat 1_1 when t1sing Resoшce Allocation Туре О.
PDSCH resoшce allocations are desc1·ibed iп section 3.6.4

Bш1d \\, idtl1 Part Size Со11 Г~ g нга 1i о11 1 Coпfigнratioп 2

1 to 36 2 4
37 to 72 4 8
73 to 144 8 16
145 to 275 16 16

ТаЫе 90 - Reso11rce Block G1·011p (RВG) sizes

тсs-ТаЬ/е specifies the Modнlation and Coding Scheme (MCS) tаЫе to Ье нsed for the PDSCH. 3GPP has specified 3 MCS taЫes fог
* the PDSCH - 64QАМ tаЫе, 256QАМ tаЫ е and а low spectral efficiency tаЫе . The low spectгal efficiency tаЫе has been specified fог
applications wl1ich reqt1ire loweг coding 1·ates fo1· reliaЫ e data t1·ansfe1·, e.g. applicatioпs belonging to tl1e Ultгa ReliaЫ e Low Latency
Commш1ications (URLLC) category. Tl1e m cs-TaЬle iпfoгmation elemeпt сап Ье configшed \Vith valt1es of 'qam256 ' and
'qam64LowSE'. These valнes coпespond to the 256QAM and low spect1·al efficiency MCS taЫe s. The 64QAM tа Ые is configшed Ьу
exclнding the m cs-TaЫe infoгm a tioп element from the paramete1· stгнсtше. The set ofMCS taЫe s а1·е pt·esented iп section 3.6.1 . The
' Modttlatioп and Coding Scl1eme' field witl1in DCI Format 1_0 а псl 1_ 1 pюvide s а pointer to а 1·ow within these taЫ es

maxM·o.fCodeW01·dsScl1ed11/edByDCI defi nes tl1e maximt1m nшnЬ е г of code ,voгds which сап Ье scl1edt1led t1si11g а si ngle resoшce
*
allocation оп tl1e PDCCH. The UE t1 ses tl1is infoгmation to deteгmiп e tl1e expected content and payload size ofDCI Foгmat 1_ 1

* pl'b-B1111clli11gType confi gшe s tl1 e н sе of eit l1 e г 'static '

ог ' dynamic ' Bt111dli11 g. РRВ Bt111dles со 1теsропd to Pгecoding Resoшce Block
Gюнр s (PRG). Tl1 e Resoшce Blocks b e l oпgiпg to а PRG а ге assш11ed to ех р е гi е пс е s imil aг cl1a1111el conditio11s а пd have tl1e same
IJl'ecocling appl ied Ьу tl1 e Base Stat ioп , i. e. а UE са п ge neгate а s iп g l e cl1 a1111el esti111ate fi·om а PRG. Jп tl1 e case ofthe stati c
configшat ioп , the UE сап Ье in stгн ctecl to ass нm e а PRG size of 4 Resoшce Blocks, 01· а widebaпd set of Resoшce Blocks. It is поt
11ecessa1·y to have the option to configшe а PRG size of2 Resoшce Blocks Ьесанsе that is the defat1lt asst1111ption, i. e. the UE asst1111es
а PRG size of2 Resoшce Blocks ifthe Base Station does not provide the 'p1·b-B1111dli11gType' in foг111atio11 . The ' wideband ' valнe
iпdicates that the UE shot1ld assшne that all ofthe allocated Resoшce Blocks belong to а single PRG. Wl1en нsing а dynamic
coпfigшation, 2 Btшdle Size Sets сап Ье configшed . The ' РRВ Bt1ndling Size Indicatoг' field withiп DCI Foгmat 1_ 1 is used to switch
between the Bнndle Size Sets. Resoшce Block Bt1ndling is descгibecl iп section 3.6.5

* zp-CSJ-RS-Resoul'ceToAddMoc/List coпfigшes the UE with а set of Zего Роwег (ZP) CSI Refeгence Signal Resoшces. А ZP CSI
Refeгence Signal defines а set ofResoшce Elements which do not coпtain any t1·ansmission fог the UE. These Resoшce Elements may
ho,veveг contain tгansmissions for otl1eг UE so tl1e name ' Zero Po,ve1·' сап Ье misleading. The important point is that these Resoшce
Elements рнnсtше the PDSCH so tl1e UE does not expect to гeceive any downlink data witl1in them, i.e. ZP CSI Refeгence Signals are
ttsed to c9nfigшe а Resoшce Element pнnctшing pattern fог the PDSCH when some Resoшce Elements are allocated for other
рнгроsеs. Reserved геsошсеs are desc1·ibed in section 3.6.7, while ZP CSI Reference Signal Resoшces are desc,·ibed in section 3.7.4

* ape1·iodic-ZP-CSJ-RS-Resoш ·ceSetsT0AddModList нses the ZP CSI Refe1·ence Signal Resoшces to generate t1p to 3 Resoшce Sets
which сап Ье t1· iggeгed aperiodically. DCI Foгmat 1 1 inclнdes а 'ZP CSI-RS Tгigger ' field to t1·i gge1· an apeгiodic Resoшce Set. This
field occt1pies t1p to 2 Ьits to allo,v the 3 Resoшce S-;;ts to Ье addгessed

* sp-ZP-CS!-RS-Reso ш·ceSetsToAddMoc/Lis t нses the ZP CSI Refeгence Signal Resoшces to ge neгate нр to 16 Re s oшce Sets whicl1 са п
Ье t1· i ggeгed for the semi-peгsistent гeseгvation ofгesoшces. Semi-peгsistent Resoшce Sets аге tгi ggeгed t1sing the ' SP ZP CSI-RS
Resoшce Set Act./Deact' МАС Сопtгоl Elemeпt pгesented in ТаЫе 86. Tl1is МАС Coпtrol Elemeпt is t1sed fог botl1 activatioп and
deactivatioп pшposes so it iпclнd es а I Ьit fla g to diffeгentiate betweeп co mmaпds. The МАС Contгol E lement inclнdes а 4 Ьit field to
add1·ess а specific Resoшce Set

* p -ZP-CSI- RS- R eso ш ·ceSet t1 ses tl1 e ZP CSI Refe1·e11ce S i gп a l R eso шces to gе п е гаt е а R es oшce Set fо г tl1 e p e гi ocl i c 1·eseгva tion of
1·eso шces. Tl1e Base S tatioп са п co пfi g шe а s iп g l e
pe1·iodi c Reso шce Set ,vl1i cl1 is al,vays all ocat<::d id e п t ity О

* 3GPP Refeгeпces: TS 38.33 1, TS 38.2 14, TS 38.2 12, TS 38.32 1

185
5G NR in BULLETS

3.6.1 MODULATION AND CODING SCHEME

The Modulation and Coding Scheme (MCS) is allocated Ьу the Link Adaptation algorithm belonging to the Base Station. The alloc 1 1
* MCS is signalled to the UE оп the PDCCH using DCI Format 1_0 ог 1_ 1 а С(
ЗGРР taЫes ТаЫе
* has specified three MCS for the PDSCH (presented below as 91 ):

о 64QАМ tаЫе which may Ье used when 256QAM is not supported Ьу the Base Station ог UE. It may also Ье used for UE \Vhicli
are in moderate to роог coverage, i.e. unaЫe to beпefit from 256QАМ. This tаЫе is preferred for poor coverage coпditions
because it provides greater resolution for QPSK. It also provides slightly higher resolution for I бQАМ and 64QАМ
о 256QАМ tаЫе which is required whenever 256QАМ is to Ье allocated
о low spectral efficiency tаЫе which is suitaЫe for applications which require lower coding rates for reliaЫe data transfer, e.g.
applications belonging to the Ultra ReliaЫe Low Latency Communications (URLLC) category. This tаЫе includes entries ,vhicli
have low Spectral Efficiency (SE), i.e. а reduced coding rate which corresponds to increased channel coding redundancy

MCS Index ТаЫе 1 MCS Index ТаЫе 2 MCS lndex ТаЫе 3

(64QАМ ТаЫе) (256QАМ ТаЫе) (Low Spectral Efficiency ТаЫе)
Target Target Target
м сs Modt1 latio11 Spectra l м сs M oclul a t i oп Spectra l м сs Modt1latio11 Spectral
Cocle Code Cocle
l11dex O rcler E Пi c i e 11 cy Iпd ex Or<1er Efficie11cy l11dex Order E Пi c ie ncy
lt ate Rate Rate

о 2(QPSK) 0.117 0.2344 о 2 (QPSK) 0.117 0.2344 о 2 (QPSK) 0.029 0.0586

1 2 (QPSK) 0.153 0.3066 1 2 (QPSK) 0. 188 0.3770 1 2 (QPSK) 0.039 0.0781
2 2 (QPSK) 0.188 0.3770 2 2 (QPSK) 0.301 0.6016 2 2 (QPSK) 0.049 0.0977
3 2 (QPSK) 0.245 0.4902 3 2 (QPSK) 0.438 0.8770 3 2 (QPSK) 0.063 0.1250
4 2 (QPSK) 0.301 0.6016 4 2 (QPSK) 0.588 1. 1758 4 2 (QPSK) 0.076 0.1523
5 2 (QPSK) 0.370 0.7402 5 4 (16QAM) 0.369 1.4766 5 2 (QPSK) 0.097 0.1934
6 2 (QPSK) 0.438 0.8770 6 4 (16QAM) 0.424 1. 6953 6 2 (QPSK) 0.117 0.2344
7 2 (QPSK) 0.514 1.0273 7 4 (16QAM) 0.479 1.9 141 7 2 (QPSK) 0.153 0.3066
8 2 (QPSK) 0.588 1.1758 8 4 (16QAM) 0.540 2.1 602 8 2 (QPSK) 0. 188 0.3770
9 2 (QPSK) 0.663 1.3262 9 4 ( 16QAM) 0.602 2.4063 9 2 (QPSK) 0.245 0.4902
10 4 ( 16QAM) 0.332 1.328 1 10 4 (16QAM) 0.643 2.5703 10 2 (QPSK) 0.301 0.6016
11 4 ( 16QAM) 0.369 1.4766 11 6 (64QАМ) 0.455 2.7305 11 2 (QPSK) 0.370 0.7402
12 4 (16QAM) 0.424 1.6953 12 6 (64QAM) 0.505 3.0293 12 2 (QPSK) 0.438 0.8770
13 4 (16QАМ) 0.479 1.9 141 13 6(64QAM) 0.554 3.3223 13 2 (QPSK) 0.514 1.0273
14 4(16QАМ) 0.540 2. 1602 14 6(64QAM) 0.602 3.6094 14 2 (QPSK) 0.588 1. 1758
15 4(16QАМ) 0.602 2.4063 15 6 (64QAM) 0.650 3.9023 15 4(16QAM) 0.332 1.328 1
16 4 (16QAM) 0.643 2.5703 16 6(64QAM) 0.702 4.2129 16 4(16QAM) 0.369 1.4766
17 6 (64QAM) 0.428 2.5664 17 6 (64QAM) 0.754 4.5234 17 4(16QAM) 0.424 1.6953
18 6 (64QAM) 0.455 2.7305 18 6(64QAM) 0.803 4.8164 18 4 (16QAM) 0.479 1.9 141
19 6(64QAM) 0.505 3.0293 19 6(64QAM) 0.853 5.1152 19 4(16QAM) 0.540 2. 1602
20 6(64QАМ) 0.554 3.3223 20 8 (256QАМ) 0.667 5.3320 20 4 ( 16QAM) 0.602 2.4063
--
21 6(64QAM) 0.602 3.6094 21 8 (256QAM) 0.694 5.5547 21 6(64QAM) 0.428 2.5664

22 6(64QАМ) 0.650 3.9023 22 8 (256QAM) 0.736 5.8906 22 6(64QАМ) 0.455 2.7305

23 6(64QAM) 0.702 4.2129 23 8(256QAM) 0.778 6.2266 23 6 (64QAM) 0.505 3.0293
24 6 (64QAM) 0.754 4.5234 24 8(256QAM) 0.821 6.5703 24 6(64QАМ) 0.554 3.3223
25 6 (64QAM) 0.803 4.8164 25 8 (256QAM) 0.864 6.9141 25 6 (64QAM) 0.602 3.6094

26 6 (64QАМ) 0.853 5. 11 52 26 8 (256QAM) 0.895 7. 1602 26 6 (64QAM) 0.650 3.9023

27 6 (64QAM) 0.889 5.3320 27 8 (256QAM) 0.926 7.4063 27 6 (64QAM) 0.702 4.2 129
28 6 (64QAM) 0.926 5.5547 28 2 (QPSK) Reserved 28 6 (64QAM) 0.754 4.5234

29 2 (QPSK) Resel'\'ed 29 4 (16QAM) R eseгve d 29 2 (QPSK) Rese1·, ed

1

30 4 ( 16QAM) Reserved 30 6 (64QAM) Reserved 30 4 (16QAM) Reserved

31 6 (64QAM) Reserved 31 8 (256QAM) Resel'\,ed 31 6 (64QAM) Reserved

ТаЫе 91 - MCS ТаЫеs fo1· tl1e PDSCH

* Tl1e ' Taгget Code Rate' 1·epгesents tl1e 1·atio between tl1e 11нmЬ е1· of infoгmatioп bits at tl1 e top of th e Physica l laye1· апd the numbei· or
bits wl1ich аге mapped опtо tl1e PDSCH at th e bottom oftl1e Phys ical lауег, i.e. it pгovides а measшe oftl1e гedнndancy ,vl1icl1 is addcd
Ьу th e Pl1ysical l ауег. А low cod ing 1·ate соггеs ропds to iп c гeased 1·edu11dancy

186
 5G NR in BULLETS

* The ' Spectral Efficien cy ' is ca l c нlat e d as th e рюdн с t of the ' M o dнl at i o n Ord eг ' and the ' Ta гge t Code Rate' . The Spectral Efficiency
• нcre ases \Vitl1 MCS . Tl1is coпes pond s to larger tra n s poгt Ыо с k sizes and t1·ansferring more information bits across the air-interface.
~his Spect1·al Efficiency does not accoнnt for th e nнmЬег ofMIMO layers, i.e. it repгesents th e Spectral Efficiency per lауег.

* The S p ec tгa l Effi ciency fi gщes within the 64QAM tаЬ\е remain a ppгoxi m ate ly constant w hen the modнla tion o rd eг changes, e.g. MCS
9 (QPSK) and MCS 1О (1 б Q АМ) have a ppгo x ima te ly eqн a l Spectra\ Efficiencies. This allows the modнlatioп scheme to Ь е changed
\Vithollt having to change the S p ectгal Effici e пcy
* Tlie highest MCS valнes within eact1 tаЬ\ е ai·e associated with specific modнlation sc\1emes Ьнt а ге shown as 'Reserved '. These MCS
va lн es are t1 sed for re-transmi ssio ns. Fог exa mpl e, а UE bein g гe qн e sted to complete а re- tra п s mi ss ion нsiпg l б Q AM within the
64 QАМ tаЫ е will Ь е allocated MCS 30

* The Base S ta tioп iпstructs the UE to se\ect а specific M CS t а Ь\ е н s in g а combiп a tioп ofRRC signa lling and Phys ical layer signalling.
RRC signalling is нsed to coпfigнre the т сs-Та Ые inform a tioп e l e m eпts \Vithin the PDSCH-C011fig and SPS-Co1iftg parameteг
s trнctшes . This coпesponds to а semi-static coпfi gнration which re qнires fuгt\1eг RRC signalling fo r modification . Physical layer
signalling н ses а dynami c selectio n ofthe RNТI which scra mЬ\ es tl1e CRC Ьits belonging to the PDCCH payload, e.g. switc\1ing
bet\veen th e C-RNТI and M CS-C-RNTI са п inflн e nce the selectio n ofthe M CS tа Ь\ е. The decision process fо г se\ecting the
appropri ate MCS tа Ь\ е is p гese пte d in Fi gшe 159

POSCH-Config: MCS ТаЬ/е = qam256

256QAM ТаЬ/е
ИЕ scheduled using ОС/ Format 1_1 and C-RNТI

ИЕ is not configured with MCS-C-RNТI

Oynamic
ELSEIF POSCH-Config: MCS ТаЬ/е = qam64LowSE LowSE ТаЬ/е
Scheduling
ИЕ scheduled using ИЕ Specific Search Space and C-RNТI

_J
ИЕ is configuredwith MCS- C-RNТI
ELSE IF Lo w SE ТаЬ/е
• ИЕ scheduled using MCS-C- RNТI

SPS-config: по MCS ТаЬ/е configuration

• POSCH-Config: MCS ТаЬ/е = qam256
ELSE /F 256QAM Та Ь/е
ИЕ scheduled using ОС/ Format 1_ 1 and CS-RNТI, ог

Sem i Persistent • ИЕ scheduled with out ОС/ usin g SPS-config

Scheduling (SPS)
• SPS-co nfig: M CS ТаЬ/е = qam 64Lo w5E
ELSE /F • ИЕ scheduled usin g CS-RNТI, or LowSE ТаЬ/е
ИЕ schedu/ed without ОС/ using SPS-config

ELSE 64QAM ТаЬ/е

Figur·e 159 - Selectioп of MCS_tаЫе for the PDSC H

* F ог example, c on s ideг а UE whi ch is confi gшe d with m cs -TaЫe = ' qam25 6' \V ithiп PDSCH-Config апd asst1me that the UE has Ь ее п
allocated an M CS-C-RNTI in a dditioп to а C-RNТI . Ifthe UE гece ives а PDSCH геs ошсе al\ocati on нsin g DCI Fo гmat 1_\ witl1 the
C-RNTI, tl1 e11 the UE w ill select the 2 5 6 QАМ M CS tаЬ\ е . Ifthe same UE гe ce i ves а PDSCH геsо нгсе allocation н s in g DCI Format
l_0 w ith the C-RNTI, then th e UE will select tl1e 64QАМ MCS tаЬ\ е . Ifthe same UE recei ves а PDSCH resoнrce all ocation н s in g
e ith eг DCI Fш-ma t l_ l ог 1_0 w ith the M CS-C -RNТI , then the UE \vill select th e Lo\v Sp e ctгa l Effi c iency MCS tаЬ\ е . This exampl e
illн s tra tes that M CS tаЬ\ е selecti on сап Ь е controll ed н s in g only Phys ical layer signallin g once the initial RRC signalling has been
completed

* 3GPP Refeгen ces: TS 38.2 14 , TS 38 .33 1

3.6. 2 TRANSPORT BLOCK SIZE

* А Тга п sрогt B lock is а packet of data wl1i cl1 is passed betweeп th e МАС and Pl1ys ica l laye1·s. It is passcd do\vп wa гci s at tl1e t1·a11 s mitteг
а пd Щ) \Va гcl s
at tl1 e 1·ece i ve г. А Тга п s р о 1· t Block t111d e гgoes Pl1ys ical ! ауе г pгocess i пg at tl1e t1·ansm it te1· Ь е fо ге b e iп g 111apped оп t о tl1e
PDSCH fo 1· t га п s fе г a c ю ss the a i г- i пte гface

* А UE гece i v i п g data 011 tl1 e PDSCH l1as to d e t e п11 i 11 e tl1 e Tгai1 sp o 1·t Block S ize (TB S) Ь с fоге atte111pt i11 g to decode the data. T l1e UE
н ses а co111bi11ation of se111i -stati c i11 foг111 a ti o 11 pю v i d e d Ь у RRC s i gn a lli п g and dyna111ic infoгm a t i o n pгo v id e d Ь у Dow nlink С опtю l
I пfo 1m a t i oп (D C I) оп tl1e PDCCH
5G NR in BULLETS

The UE starts Ьу quantifying the number ofResource Elements which are availaЫe for data transfer within the bandwidth of а si 1
* Resource Block. This is done using the following equation wl1ich is standardised Ьу 3GPP TS 38.214: пg с

Nke is the number ofResource Elements р ег Resource Block availaЫe for data transfer
Nftть is the number of symbols per slot which have been allocated to the UE. This information is extracted from the
0ownlink Control Information (DCI) оп the PDCCH, i.e. it is paJ"t ofthe PDSCH resource allocation
Nf;~~s is the num?er ofResource Element_s per Resource Block allocated to the _Demodt!lation Referen_ce Signal (DМRS).
Th1s mcludes the 1mpact ofthe DМRS wh1ch are allocated to other UE when usmg mult1-user МIМО, 1 .е . as mdicated Ьу th
'Number ofDMRS CDM Groups without Data ' colurnn within the relevant DCI Format 'Antenпa P011s ' look-up tаЫе с
(example presented as ТаЫе 8 1 in section 3.5.7)
NJf: 8 represents any additional overhead which reduces the number ofResource Elements availaЫe for data transfer, e.g. tlic
CSI Reference Signal. The Base Station provides the value of this additional overhead using the Xo/1-PDSCH RRC
information element. This information element can have values of О, 6, 12 or 18 Resource Elements. The UE assumes а va lн c
of О if it is not provided with а value
* If the value of Nke is gгeater than ·156 then Nke is гounded down to 156, i.e. the UE never assumes а гesource allocation of mще tlian
156 Resource Elements within the bandwidth of а si ngle Resource Block. The total number ofResource Elements witl1in the
bandwidth of a single Resource Block is 12 х 14 = 168 when ass umiп g the normal cyclic prefi x
* The гesultant value of Nke is multiplied Ьу the nнmЬ ег ofallocated Resource Blocks to ge neгate а value fог NR E· The nшnbe ,· of
allocated Resoшce Blocks is extгacted from the DCI ~n the PDCCH, i.e. it is р а 11 of the PDSCH геsо шсе allocation. The valt1e of Nue
гepresents the total 1шmb er ofResource Elements avai l a Ы e for data t1·ansfer

* The total number of Reso шce Elements avai l a Ы e for data transfe1· is then conve11ed into а con·esponding nнmЬ ег of informatioп Ьit s.
Tl1e nttmbe1· of information bits depends upon the modнl ation scheme, the coding rate and the nнmb er of l ayeгs, i.e. the t1se of MIMO.
The UE н ses the following eq н a ti on staпda rdi sed Ьу 3GPP:

N;nfo = NRE х Modulation Or der х Targ et Cod e Rate х Number of Layers

* The Modulation 01·de1· and TQl'get Cocle Rate аге both extt·acted from а п MCS tа Ы е. Tl1e set of MCS taЫ es аге p1·ese11ted iп sec ti o п
3.6.1. ТаЫ е se l ec tioп is based t1po11 both RRC and Pl1ysical laye1· s i gпa lli n g . Tl1e ' MCS' fi eld witl1 i11 tl1e DCI оп tl1e PDCCH
deteгmines tl1e appюp 1·iate юw within the MCS tаЫ е. А l1igl1 Moclulation 01·de1· me aп s that eacl1 Res oшce Element can tтa п s fe r а ,1
increased пumЬ ег ofbits. А high Tm·get Cocle Rate m eaп s tl1at the Physica l l ауег adds less геd uпd а псу so there is iп cгeased capacity
fOl' actual informatioп bits
* The NшпЬе1· of Laye1·s is fixed to ' 1' if tl1e PDSCH resoшce allocation has Ь ееп received нsiпg DCI Format 1_ О. Otherwise, the
Numbe1· of Laye1·s is obtained fгom the 'DMRS Po11s' colurnn witl1i11 the ' Апtепп а Ports' look-ttp tаЫе used Ьу DCI Foгmat 1_ 1. Tl1c
пнmЬег oflayers is e qн a l to the nнmb e r ofallocated DMRS Ports. An example ofthe 'Аntеппа POl'ts' look-ttp tаЫ е is presented as
ТаЫе 81 iп section 3.5.7

* If PDSCH resoшces аге allocated for а Paging message or а Raпdom Access Response (DCI Format 1_0 н s ing the P-RNTI 01· а п RA-
RNТI) , theп а scaliпg factoгis applied to the valнe of N;nfo. The sca liп g factor is based t1р о п the valtte of the 'TraпspoJ"t Block
Scaling' field withiп DCI Format 1_0. This fi eld defines а pointer to а row w ithiп ТаЫе 92. The scaling fac tors of0.5 апd 0.25 redtrcc
the resнltaпt Transport Block Size which leads to а lower coding гаtе , i.e. iпcreased red нnd a ncy improves the reliability oftl1ese
t1·aпsmissions

Tra11sport Bloc k Sca li11g Fi eld Scali11 g Facto,·

00 1
01 0.5
10 0.25
11 reserved

Та Ы е 92 - Sca li11 g f'acto 1· appli eil to N;,. 10 ,vt1 e11 DC I Foпnat 1_0 add1·esses th e UE usi11 g P-RN П 01· RA- RNT I
* Tl1e гema iпiп g steps d epeпd нр о п the va lt1e о f N;пго. If N;п ro S 3824 bits, tl1 eп оп е юн t i п е is applied. Otl1e1·\vise, a11otl1er 1·011ti11e is
applied. The tl11·esl10lcl of 3824 is based нро п the m ax i mнm сос\ е Ы осk size of 3840 Ьits \vl1ic\1 сап Ье processed Ьу the Low Deпs it y
Par·ity Cl1eck (LDPC) cha1111el cod i пg \v\1e11 t1si11g ' Base G1·apl1 2' . CRC Ьits а ге added prior to cl1a1111el codiп g. Transport Ы oc ks \Vliicli
l1ave а size S 3824 Ьits \1ave а 16 Ьit CRC added, i.e. the total size after CRC add i tioп са п Ье t1p to 3840 Ьits . LDPC ' Base Gгapl1 1'
сап process а ma xi111t1m code Ы о сk size of 8448 Ьits , so tr·ansport Ыocks S 3824 Ьits ,vi ll поt ,·еqнiге segmeпtatioп prior to ch aпri el
c odiпg fo1· botl1 'Base Gгap l1 1' а пd ' Base Graph 2'

188
 5G NR in BULLETS

* [fN .,n,o, -< 3824 then the valt1e of N'; ,,f o is cal ct1l ated as :
N' mfo
· = тах ( 24' 2" х lNi1l[O j) 2 11
wheгe, п = l
тах (3, LOG 2 (N; 11 r 0 )j - 6)

Tliis eqtнi ti on geneгat es а rest1lt w l1i ch is а mt1ltiple of 8, i. e. the rest1lt conta ins an integer nt1mber ofbytes. It al so generates а step size
hicli is dependent upo n the valtte of №пro (' n' determines the step size). А step size of 8 Ьits is generated for small va lt1es o fN iпro (' n '
: 3); а step size of 16 Ьits is geneгated fог intermedi ate valt1es of №пrо ( ' n ' = 4); and а step size of 32 Ьits is geneгated fo r high valttes of
l
Niпro ('n ' = 5). The valtte of' n ' do es not exceed 5 becattse the max imttm valtte o f№nro is 3824 and LOG 2 (N; 11 r 0 )j = 11. The UE
completes the рюсеdше Ьу selecting the closest Transport Block Size from ТаЫе 93 which is not smaller than N'inf o

Lп d ex твs lнd ex TBS lndex твs lн dex TBS lп dex TBS

1 24 21 184 41 552 61 1288 81 2600
2 32 22 192 42 576 62 1320 82 2664
3 40 23 208 43 608 63 1352 83 2728
4 48 24 224 44 640 64 1416 84 2792
5 56 25 240 45 672 65 1480 85 2856
6 64 26 256 46 704 66 1544 86 2976
7 72 27 272 47 736 67 1608 87 3104
8 80 28 288 48 768 68 1672 88 3240
9 88 29 304 49 808 69 1736 89 3368
10 96 30 320 50 848 70 1800 90 3496
11 104 31 336 51 888 71 1864 91 3624
12 11 2 32 352 52 928 72 1928 92 3752
13 120 33 368 53 984 73 2024 93 3824
14 128 34 384 54 1032 74 2088
15 136 35 408 55 1064 75 2152
16 144 36 432 56 11 28 76 22 16
17 152 37 456 57 11 60 77 2280
18 160 38 480 58 11 92 78 2408
19 168 39 504 59 1224 79 2472
20 176 40 528 60 1256 80 2536
Та Ые 93 - Transpo1·t Block Size ТаЫе fo1· N ;,. 10 :5 382 4

* l f № п ro
> 3824 th e п а 24 Ьit CRC will Ь е added гa ther than а 16 Ьit CRC. In additio n, segmeп ta tion may Ье гeqt1iгed pгior to cl1 anne l
co diп g.W l1en s eg me пt ati o n is appli ed, an additional 24 Ьi t CRC is added to eacli segment. T he follo\v iв g calcttlations account fo r tliese
24 Ьit CRC. N'info is calcttl ated as:

N , info = тах (
3 84 0, 2 11 х r oun d - (N;,.ro-24))
- 11-
2 wheгe, п = l LOG2 (N; r
11 0 - 24)j - 5

Thi s e qн a ti o n generates а гesнlt wl1ich contains an int egeг nttmbeг ofbytes . lt also generates а step size ,vhi ch is d e p e ndeпt ttpon tlie
va l нe o f № п ro . А step size of 64 Ьits is geпerated for s ma ll e г va lнes o f №пrо , tm s iп c reases to 128 , 25 6, 5 12, .. . Ьit s as the va ltte o f№п ro
i 11c гeases. Tl1e tгa n spoгt Ы осk size is then calct1l ated нsin g one of tl1ree eqнati o n s:

о if Tш ·gel Сос/е Rale ~ 0.25 tl1e11 LDPC ' Base G гa pl1 2' w ill Ь е н se d ( m ax i m нm code Ы осk size of 38 16 + 24 = 3840 Ьit s ) and tl1e
fo ll o,v iп g eqt1 ati on is appli ed :

TBS = 8 х С х [(N ';nfo + 24) / (8 х С )1 - 24 \Vheгe, С = [(N ' info + 24)/ 38161
о Else if N';,,r0 > 8424 Ьits th eп LDPC 'Base Gгaph 1' ,vill Ь е t1 sed (maximt1 m code Ы осk size of 8424 + 24 = 8448 Ьi ts ) а пd tl1e
fo ll ow i п g eq н a ti on is applied:

T BS= 8 х С х [(N';11 r0 +24) / (8 х С ) 1 -24 ,vheгe, С = [(N'; 11r0 +24)/ 84241

о Else tl1e fo ll o\v i п g e q н at i on is app lied :

T BS = 8 х [(N ' ;nfo + 24) / 8 1 - 24

* ЗGРР References: TS 38 .2 14, TS 38 .2 12

5G NR in BULLETS

3.6.3 PHYSICAL LAYER PROCESSING

The Physical layer processes either I or 2 Transport Blocks for each resource allocation. In the downlink direction, а maximum ofg
* laye1·s can Ье generated for MIMO . Resource allocations нsing DCI Format 1_ 0 always allocate а single lауег, whereas resoнrce
allocations using DCI Format 1 1 can allocate I to 8 layers. А single Transport Block is processed if I to 4 layers are allocated
whereas two Transport Blocks ;е processed if 5 to 8 layeгs are allocated '

This section describes the Physical layer processing for the PDSCH in two parts . The first part (illнstrated in Figure 160) is based нр
* the mнltiplexing and channel coding specified within 3GPP TS 38.212. The second part (illнstrated in Figure 167) is based нроn the on
sнbsequent physical channel processing and modulation specified within 3GPP TS 38.211

Transport Block [24bit CRC if тв

size > 3824 ь1
·1s
1 Otherwise 16 Ыt CRC

'-- -----
--- -- ---
'Base Graph 2' if Target Coding Rate ,с; 0.25
~--C_R_C_A_tt_a_ch_m_e_n_t-~1•· 1'Base Graph
'Base Graph
2'
2'
if ТВ size s 292
if ТВ size s 3824 AND Coding Rate s 0.67
1'Base Graph 1' for all other cases

LDPC Base Graph Selection 1•.- 'Base Graph 1'

Code Block Segmentation & •
Code Block CRC Attachment ..,
Channel Coding
Segmentation required if ТВ size + CRC > 8448
lf segmentation is гequired then number of segments
= ROUNDUP (ТВ size + CRC) / (8448 - 24)
'Base Gгaph 2'
Segmentation required if ТВ size + CRC > 3840
lf segmentation is required then number of segments
= ROUNDUP (ТВ size + CRC) / (3840 - 24)

24 Ыt CRC added to each segment

Rate Matching LDPC Channel Coding

Puncturing based upon а specific Redundancy Version (RV)

Code Block Concatenation 1• Al so includes lnterl eavi ng fun ction

Concatenation of
resultant code Ыocks
towards remaining
Physical layer pгocess ing

Figш·e 160 - Physical laye1· p rocess iпg fo1· the PDSCH (part 1)

* Cyclic Redtшdancy Check (CRC) Ьits are attached to pl'Ovide an епог detection capa Ьility at the UE. They do not pl'Ovide an е ггог
co1тec tion capaЬility.
The UE нses tl1 e CRC Ьits to deteгmine whetl1er or not the received Transpoгt Block inclнde s any Ьit e пors . Л
negative HARQ acknowledgement is retLJrned ifany erгors аге detected. Fог а specific nttmb eг ofCRC bits, tl1e pl'Ob aЬi li ty оfш1
нndetected е1тоr incгeases as the Transport Block size incгeases . This provides the jнstification for нsing а larger set of CRC bits for
lагgег Transport Block sizes. The PDSCH нses а 24 Ьit CRC for Tгansport Block sizes > 3824 Ьits , and а 16 Ьit CRC fог Transport
Block sizes:,; 3824 Ьits . In contrast, the 40 PDSCH always нses а 24 Ьit CRC

* Tl1e Physical lауег then completes 'Base Graph ' selection for the Low Deпsity Paгity Check (LDPC) channel codiпg. Tl1is selcctio11 is
necessary prioг to the channel coding itselfbecaнse it determines the maximнm code Ыосk size апd thнs impacts th e геqнiгеmепt for
segmentation. The maximнm code Ыосk size is the maximнm nнmЬег ofЬits which the cl1annel coding algorithm сап accept. Blocksc
data laгge r tl1an this нрр е г limit mн s t Ье segmeпted before channel coding. Cl1anпel coding is then applied individнall y to each
segment. Rest1·icting the code Ыосk si ze handled Ьу tl1e channel coding algoгithm helps to limit tl1 e decodiпg comp lex ity al the UE

* 'Base Gгapl1' selection н ses а comЬinatioп of coding rate апd T1·anspo1·t Block size tl1гeshold s. These thгesholds аге illн stгated i п . _
Fi gшe 161. Base Graph 2 is selected if tl1e taгget coding гаtе is less than 0. 25, ог if th e tгan spoгt Ыосk size is less tl1aп 292 bits, 0 1· 11
th e tгansport Ыосk size is less tliaп 3824 Ьits AND tl1e taгget cod ing гаtе is less tliaп 0.67. Otheгwise, Base Gгapl1 1 is selected

* Tl1e comЬiпatioп of Тгапsрогt Block апd CRC bits is th en segmeпted if пecessar-y. Wl1 en segmeпtatioп is гeqнit·ed , additi onal sets о(
CRC Ьits аге attac l1 ed to eacl1 segme пt. T l1is allows tl1 e UE to comp lete епог detecti on fог eacl1 iпdividн a l segmeпt. Eacl1 aclditi o iщ l
CRC l1 as а le11gtl1 of 24 Ьit s. Base Gгapl1 1 sнpp o гt s а m ax i 111 ш11 code Ыо с k size of 8448 Ьit s , wl1 e1·eas Base Gгa pl1 2 s ttppo гt s ~ .
111ax imш11 code Ы осk size of 3840 Ьits . lfthe T1·aп sp o1·t Block and CRC is less tliaп tl1 e max imttlll cocle Ы осk size theп segme11tatюii
поt гeqttiгed . If segmeпtati oп is гeqнi1·ed then tl1 e пumЬ ег of seg meпts is given Ьу ROUNDUP [ (Тгап sрогt B lock size + CRC) /
(m ax imш11 code Ыосk size - 24) ]. T l1 e va lн e of24 is subtгacted fJ'Om tl1 e max imнm code Ы осk size to pгov id e capac ity fог tl,e
additioпal CRC to Ь е added а~е ,· seg m e пt atioп

190
 5G NR in BULLETS

Coding Rate
...

Base Graph 1
Maximum CodP. Block size
= 8448 Ьits
0.67

Base Graph 2
Maximum Code Block size
= 3840 Ьits
0.25

►
292 Ьits 3824 Ьits Transport Block size

Figш·e 161 - Base Grap/1 se/ection for LDPC сlшш1еl coding

* Tlie code Ыос k segmentation pliase is also гesponsiЫe for en s шing that each code Ыосk has an a ppюpt· iate nнmЬ ег ofbits fог channel
coding, i.e. in add itioп to 1·eqнiгing that the maximнm code Ыосk size is not exceeded, channel coding also reqнiгes that code Ыocks
liave specific sizes. This may гeqнire the addition of filleг bits, which are flagged as beiпg 'NULL' ent1·ies. These 'NULL' entгies а ге
sнbseqнeпtly гemoved afteг cl1a1111el coding. At the staгt ofthis ope1·atio11, а variaЫe К' is set eqнal to the segmeпt size

0 if segmen tat ion l1as поt been reqнiгed theп there is а single segment whic\1 l1as а size eqнal to (Тгапsрогt Block size + CRC size)
0 if segmentation has been reqt1iгed then еас\1 segmeпt l1as а size eq нal to [ (Transpoгt Block size + CRC size) / Nt1mber of
Segшents] + Additional CRC size of24
* А tаЫ е of 'L iftiпg Sizes' аге нsed to identify an allowed code Ыосk size. These 'L iftiпg Sizes' ai·e нsed dшing tl1e chanпel coding
process to iпсгеаsе the dimeпsioпs of tl1e paгity cl1eck matгix. The tаЫе of 'Lift iп g Sizes ' is pгesented as ТаЫе 94. At this stage, the
ro\VS ю·е поt differeпtiated апd all 'L iftiп g Sizes' within the tаЫ е аге conside1·ed to belong to а single gro нp
* ffBase Gга р\1 1 has Ьееп selected then the шiпimшn Lifting Size (Z) which satisfies: 22 х Z~ !(' , is selected. The fiпal code Ыосk size
is then set eqн a l to 22 х Z
* IfBase G1·apl1 2 l1as been selected tl1en tl1e miпimнm Liftiпg Size (Z) wl1ich sat isfies: Кь х Z ~ !(' is selected. Tl1e final code Ыосk size
is tl1en set eqнa l to IО х Z. The valнe of Кь depeпds нроп (Тгапsрогt Block size + CRC size). Jf g1·eate1· tliaп 640 Ьits tl1e11 Кь = 1О , else
if gгеаtе г tl1a11 560 Ьits tl1e11 Кь = 9, else if gгеаtе г tl1a11 192 Ьits theп then 1(1, = 8, else Кь = 6

LD l'C Lilii11g Sct l11dc.x Sct оГ LiГti 1 1 g Sizcs (Z) LD PC
о 2,4,8, 16,32,64, 128, 256
l 3, 6, 12, 24, 48, 96, 192,384
2 5, 10, 20, 40, 80,160,320
3 7, 14, 28, 56, 112, 224
LiГti11 g Set 111,lex Sct о Г Lif1i11g Si,es (Z)
4 9, 18, 36, 72, 144, 288
5 11 , 22, 44, 88, 176, 352
6 13, 26,52, 104,208
7 . 15, 30,60, 120,240

ТаЫе 94 - Sets of Liftiпg Sizes for LDPC clшrшel codi11g

* The code Ыосk segmeпtatioп stage is comp!ete опсе the 'NULL' eпtгies have Ьееп added to gепегаtе а code Ыосk size whic\1 сап Ье
processed Ьу tl1e сhаппеl coding stage. Figшe 162 sншmarises the code Ыосk segmentation stage

Size is calculated rrom allocated

PRB, symbols, MCS and layers Transport Block CRC 16 or 24 Ьits
,r

24 Ьits

NL1mber or Ьits
based upon
LDPC Lirting Size

Filler Additional Filler Additional Filler

Bits CRC Bits CRC Bits

LDPC Channel Coding LDPC Channel Coding LDPC Cliannel Coding

Figш·e 162 - Co<le Block segшe11tation and Code lllocl< CRC attacl1me11t

191
5G NR in BULLETS

* 30РР selected Low Density Parity Check (LDPC) coding for the PDSCH. This was selected as an altemative to Turbo coding \Vhich
has been used for the PDSCH in 40 апd HSDPA in 30. LDPC channel coding is characterised Ьу its spaгse parity check matгix. This
means that the matrix used to generate the set of parity bits has а relative ly small number of ' 1's, i.e. it has а Low Density of l 's. This
Low Density characteristic helps to гeduce the complexity ofboth encoding and decoding. Redнc ed complexity translates to lo\ver
power consumption and а smaller area of silicon. The LDPC solution selected Ьу 30РР is sca l aЫe to support а wide range of code
Ыосk sizes and а wide гange of codiпg rates. LDPC and Turbo coding offer similar performaпce in terms of theiг епог сопесtiоп
capabilities

* The principle ofthe LDPC channel coding нsed for the PDSCH is illнstrated in Figшe 163. The ' Base Oraph' defines а matгix whicli
has dimensiQns of 46 rows х 68 colнmns when нsing Base Oraph 1, and 42 rows х 52 colurnns when using Base Oraph 2. This matrix
is expanded Ьу а factoг eqнa l to the selected 'Lifting Size' (Z). Each 'О ' within the Base Oraph is гeplaced Ьу а Z х Z matrix of ' O' s.
Each '1' within the Base Oraph is replaced Ьу а circularly shifted Z х Z identity matrix. This leads to а Parity Check matrix whicli has
dimensions of 462 rows х 682 colurnns when нsing Base Oraph 1, and 42Z гows х 52Z colunms when using B ase Огарh 2

22 х Z
Parity Check 68 х Z columns codeword Ьits
matrix /J,. ◄ ►
1111011110 .. 0000000000 cl /J,.
о all 'О'
1011110111 .. 0000000000 с2 о
46 х Z column
LDPC Base Graph 1 1110110101 .. 0000000000 сЗ о
rows vector
1010010000 .. 0000000000 с4 о

68 columns 1110100101 .. 0000000000 о

/J,.
◄ ► 1010110000 .. 0000000000 о
. .. . . .... . . .. pl
11110 .. 00000 ............. . . ..... . ..... о

:у
р2
о
10111 .. 00000 1111011110 ·· 0000100000 рЗ
11101 .. 00000 1011110101 · · 0000010000 р4
rows
46 1 01000 .. 00100
'Lifting Size' (Z) 1110100011 · ·
1110100100· ·
0000001000
0000000100
pS
рб
о
о
10000 .. 00010
01000 .. 00001
used to increase
matrix dimensions
Ьу factor of Z
l 1110010000 ··
1110110110 ··
0000000010
0000000001 ...
о
о

46 х Z
Parity Ьits

Fi g ш·e 163 - Lo,v Density Pa1·ity Cl1 ec k ш a t1·ix used to ge ne1·ate Pa1·ity blts (sho,v11 fo1· Base G1·apl1 \)

* The parity bits а ге ca lcL1 iated sLJ ch tl1 at th e ргоdн с t of th e Pa гi ty C heck m a tгi x \Vitl1 th e c od e,vo гd/p a гi ty Ьit ve cto г ge п e гates а п all ' О '
vectoi·. Ап у co d e woгd Ьits wl1i cl1 wе ге pгev i o н s l y fl agged as 'NULL' ai·e tгa n s l ate d iпto ' O's fо г tl1 e pшp oses o f ca l c нl a tiп g tl1 e p a гity
Ьit s. Ho\veve1·, these cod ewoгd Ьits 1·emai11 fl agged as 'NULL ' w itl1iп tl1 e oL1tpL1t co d ewo гd /p a гi ty Ьit vec to г

* In tl1e case ofBase Orapl1 1, theгe аге 222 codeword Ьits so 462 p aгity Ьits а ге gene1·ated (tl1e sl!m 1ш1 s t eqLJal tl1 e nш11Ь е г of co lш1111 s
witl1in the Paг i ty Check matrix). In the case ofBase Oraph 2, tl1e1·e are IOZ c odewoгd Ьits so 42Z paгity Ьits аге geneгated

* When using Base Oraph 1, the oнtpllt from the channel codirtg has 662 Ьits afteг providing an inpllt of 222 Ьits , i.e. а codiп g 1·ate of
0 .33. It shoнld Ь е noted that the codeword/p a гity Ьit vectoг lias а length of682 Ьits. The first 2Z Ьits fгom tl1e codewoгd are рнп сtше d
to геdнсе the si ze to 662 Ьits

* When using Base Огарh 2, the output fгom tl1e channel coding has SOZ Ьits after pгoviding an inpнt of 102 Ьits, i.e. а coding rate of
0.20. Similar to Base Oraph 1, the first 2Z Ьits from the code,vord are pllnctiлed to redLJce the length of th e codeword/parity Ьit vector
from 52Z to SOZ

* The outpнt fi·om Channel Coding is fo1warded to th e Rate Matching functioп. The Rate Matching fL1nction processes each с l1аппеi
coded segment separately. Rate Matching is completed in 2 stages: Bit Selection and Bit Interleaving. Bit Selection гedl!ces tl1e nt1111ber
of chanлel coded Ьits to match the capacity ofthe allocated air-iпteгface resoшces. Bit Interleaving re-orders the Ьit seqLJeп cc
* Bit Selection starts Ьу wгiting the set of 'N' Ьits belonging to а specific chaпne l coded segmeпt iпto а ciгcн l ar bt1ffeг. The size ofthe
circнlar Ьнffег is based нроn а Limited Bllffer Rate Matcl1ing (LBRМ) c alcнl a tion . LBRМ is al,vays applied for PDSCH Rate
M atching (LBRМ can Ье enaЫ e d/disaЬled fo1· tl1e PUSCH). ЗОРР has specified the concept ofLBRМ to help гe dl!c e tl1 e гe qt1i1·e 111e 1 1 t
for buffe1·iпg laгge code Ыocks . This helps to геdнсе the cost of tl1 e device Ьу гeducin g the гeqнiгement for memoгy. Tl1e dra,vback is •1
poteпtially гedl!ced performance whe п tгans feпin g laгge code Ыocks. LBRМ does not impact perfoгmaпce when tran s ferriп g s111aller
code Ыo c k s, i.e. tl1 ese code Ыo c ks сап Ье fi.1ll y accommodated Ьу the ciгculaг buffer

* LBRМ н ses а сiгснlаг Ьнffег size given Ьу Nc1, = min(N, N,·ef ), \vheгe N,·ef = ROUND DO WN [TI3_Si zeLВR M / (NL1mber_of_
SegmentSLBRM х 0. 67) ). TB_S i ze LВRM and №1 m b eг_of_S eg me nt s L вRм а ге calculated ass ншiп g а ш ах imш11 пнmЬ ег of l a ycгs, а
m ax iшum шodнl a tioп 01·d е г, а ma x imнm codi ng rate and а m ax inшш Re s oшce Block all o cat ioп

* If tl1e ci1·cнl ar bu ffer size is limited Ьу ' N,-er' theп о пl у а sнbset o ftl1 e cl1a nпe l coded Ьits а ге \Vritteп iпto tl1e с i1·снl аг bLJ ffeг . Tlie bits
whi ch аге exclLJded аге п еvег tгansmitted acгos s tl1 e a iг- iпte1·face . Tl1i s геdнсеs tl1e scope fo1· gaiп s fmm HARQ iпcгemeпta l геdш~d а пс)'

* Fi gшe 164 illu s tгa tes th e соп серt of tl1e c iгclll aг bllffeг. Tl1e Systemati c Bits аге writteп iпto the bllffer fi1·st, follo wed Ьу the P a гi ty Bits.
Systemati c Bits сопеsропd to the origiпal codewoгd ргiог to сh аппеl coding, wheгeas Paгity Bits соггеsропd to tl1 e additioпal bits .
geп eгated Ьу сh апп еl coding. T1·an sfe1тing l a гge codewords whil e нsiп g LBRМ leads to the exclнs ioп ofthe last sectioп of P aгi ty Bits
 5G NR in BULLETS

The Bit Selection process extracts а sнbset of bits from the circнlar buffer нsing а specific starting position. Tl1e stai·ting position
depends нроn the Redнndancy Version (RV). The Redнndancy Version is indicated \Vithin the Do\vnlink Control Information (DCI) оп
thePDCCH
ЗGРР TS 38 .2 12 specifies the starting position for each Red11ndancy Veгsion , as p1·esented in Fig11re 164. RVO, RV I and RV2 have
* starting positions which аге О, 25 and 50 % aro11nd the circ11l a г b11ffer. RVЗ has а starting position which is - 85 % агонnd tl1e circ11lar
bнffei· . The starting position for RVЗ has been moved towards the staгting position for RVO to in cгease the nнmЬег of Systematic Bits
\l'hicli arc captured Ьу an RVЗ tгansmission. This approach has been adopted to allo\v 'self-decoding' when eitheг RVO or RVЗ is
transmitted, i.e. the receiveг сап decode the original transport Ыосk after receiving only а siпgle standalone transmission ofRVO 01·
RVЗ . RV I and RV2 do not allow 'self-decoding'. These RV гeq11ire another transmission 11sing а different RV to allow decoding of the
transport Ыосk

Star1ing Positions for

reading Ьits out of buffer
Redundancy
Version (RV) Base Graph 1 Base Graph 2

о о о

l17Ncьjx llЗNcь
RV1 1 66Z Z soz J Х z

2 lЗЗNсь J Х l25Ncь J Х
66Z Z soz z

з l-56Ncь
- J xz l43Ncь J х
RV2 66Z soz z

Fig111·e 164 - Reading Ьits f1· ощ tl1e cii'c11la1· b11ffe1· 11sing the Redш1dancy Ve1·sions (RV)

* Tl1e bits tгai1 s mitted Ьу each Red11ndancy Veгsion will oveгlap to some extent, e.g. the Ьits ext1·acted 11sing RVO will pass the stai·ting
positioп fог RV 1. The 1111mbe1· of Ьits which аге extгac te d depends 11pon the qн a ntity of allocated Re so шce E l eme пts , tl1e m o dнl a tion
scl1eme а пd tl1e nнmЬег of l aye гs. Tl1e 'NULL' ent1·ies \Vl1ich wеге added dшiпg code Ыо сk s egm e пta tion гe m a in p1·ese11t within tl1e
с i1·сн\ш· Ьнffе г b11t tl1ese e ntгi es аге поw sk ippecl when ext1·acti11g the set ofЬits fог tгa п s mi ss ioп

* Bit Iпte г l eav in g is app li ed опсе tl1e set ofЬit s liave been ext1·acted from tl1e с i1·сн l аг Ьнffе г . Bit !11 te1·Ieaving invo lves tl1e s t гeam ofЬit s
be iп g 1·ead i11to а t а Ы е ГO\v- by- row, and tl1en b e iп g геаd о н t oftl1e tаЫ е colt111111 - by- co lt1mл . Tl1e nt1mbe1· o f гows b e l oп g iп g to tl1e tа Ы е
is set eqн a l to tl1e nюdн l a t i oп огd е г. Tl1is means tl1at eacl1 co lt111111 с огге sропd s to а si п g l e 111oclнlatio11 symbo l. Tl1e с опс е рt of
i11te1·leavi11g is ill11st1·ated iп F i gшe 165

► 1 2 3 4 5 6 7 8 9 10 Number of rows is equal

Data read in 1
row-by- row • 11 12 13 14 15 16 17 18 19 20 to the modulation order,
i.e. each column maps
1, 2, 3, 4, 5, • 21 22 1
23 24 25 26 27 28 29 30 onto а single modulation
6, 7, 8,.. 31 39 40 sym bol
► 32 1
33 34 35 36 37 38

т 1 т
1

Data read out column-by-column

l t

1, 11, 21, 31, 2, 12, 22, 32, 3, 13, 23,

Figш· e 165- Ro,v-In Col11шn-011t tаЫе used fo1· Вit l11te1·leaviпg

* l11teгl eavi 11g l1elps to avoid bшsts of contig11oнs Ьit е1тогs at tl1e inpнt of tl1e channel decoder at tl1e receive1·. The pe1·foг111ance of the
clecodeг is impгoved ,vhen Ьit егrогs are dist1·ib11ted at random гаtl1ег than in contigнoнs gгонрs . Fi gшe 166 illнstгates an example of а
s iнgl e modнlation symbol be iпg гece ived in е1то г dне to the fad ing channel coпditions . Thi s example is based нроп 16QAM so theгe
ar·e 4 bits associated \Vith the modнl ation symbol . It is poss iЫ e tl1at tl1eгe is only а single Ьit епог wheп this modнlation symbol is
1·eceived iп е1тог. Gгау coding is нsed to en sшe that tl1eгe is only а single Ьit е1тоr when а modнlation symbol is mis-detected as а
11 e i gl1boшi11g modнlation symbol. The concept ofGгay coding fог 16QAM is illt1 stгated in F igшe 124 (sectioп 2.7). Ho\veveг, fог tl1e
ptrгp o ses of this example, it is a ss шn ed that tl1e 111odt1latio11 symbol is comp letely mi s-detected апd all 4 Ьit s а ге гe ce i ved iп е 1то1· .
F igнгe 166 i llнstгates tl1at afte1· de- inteгl eav i п g at tl1e 1·eceive1·, tl1e set of 4 bit е1то гs аге d i s tгib11ted acгo ss the cocle Ы осk . Tl1i s l1elps to
11 npгo ve tl1e е 1тог c oггe ction ca p a Ьility of the LDPC decode1·

* Code Block Co11cate11atio11 is app li ed afteг Rate Matcl1 ing. Tl, is simp ly i11volves c oпcateпating tl1e set ofcocle Ыocks into а s iп g l e
l argeг cocle Ыосk

193
5G NR in В ULLETS

~ Fading channel ~
~ cond1t1ons ~

~
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 32 33 34 35 36 37 38 39 40

Modulation Symbol
received in error

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 32 33 34 35 36 37 38 39 40

Data de-interleaved at the receiver

Figure 166 - Distribution of Ьit епо1·s after de-inter\eaving

* The second part of the Physica\ layer pгocessing for the PDSCH is illttstrated in Figшe 167. This pa1·t is based ttpon procedш-e s
specified Ьу 3GPP TS 38.211
* The scгamЬ\ing opeгation does not change the order ofthe bits. Instead, it switches some ofthe 'l 's into '0's and some ofthe '0's into
' 1's. The switching is done ttsiпg а modttlaг 2 sttmmation between the origina\ bit stream and а psettdo гa ndom seqttence. А '1' in tlie
psettdo random seqttence cattses the coпesponding bit to switch, whereas а 'О' \eaves the bit with its oгiginal valtte. The objective of
scгamЬ\ing is to randomise the bit seqttence and thtts randomise the inteгfe гence gene1·ated Ьу the PDSCH. Interference has less impact
when it is гandomised and appears closer to white пoise
* The psettdo random seqttence ttsed to complete the sc1·amЬ\ing pl'Ocedнre is initialised ttsing the dataScmmЬ!ingldentityPDSCH ifit
has been configшed, and the UE \1as been addгessed ttsing а C-RNТI, MCS-C-RNTI or CS-RNTI, and the resoшce allocatioп was not
pl'Ovided ttsing DCI Format \ _О iп а Соmшоп SeaJ"ch Space. Ot\1e1wise, the psettdo гandom seqttence is initialised ttsing the PCI. Т\1е
c/ataSCl'amЬ!ingldentityPDSCH belongs to the PDSCH-Conjig рагаmеtег st111ctшe pгesented iп ТаЬ\е 88

Concatenated Code Blocks

Bit sequence randomised to help randomlse

interference generated Ьу PDSCH
ScramЫing

Bits mapped onto modulation symbols

QPSK, 16QAM, 64QAM, 256QAM
Modulation

Modulation symbots mapped

onto 1 to 8 layers according to
Layer Mapping MIMO rank

Precoding for MIMO and

Digital Beamforming
Precoding

Precoded symbols are mapped

Mapping to Resource Blocks 1• onto the set of Resource Blocks

1 •
OFDM Waveform Generation 1 ◄ IFFТ applied to generate
CP-OFDM waveform

Digital to Analogue conversion

and RF transmit path

Figш·e 167 - Physical laye1· p1·ocessing fo1· tl1e PDSCH (pa1·t 2)

* Modt1\ation ch aп ges the bit seqL1e11ce (' J 's and '0's) iпto а 1110dL1lation symbol seqt1e11ce (со111р\ ех nшnbe1·s гepieseпting the set of
modttlation symbols). QPSK maps 2 bits опtо еас\1 modt1\atio11 symbol; 1 6QАМ maps 4 Ьit s onto еас\1 modL1lation symbol; 64QAJvf
maps 6 Ьit s опtо eacl1 111odL1latio11 sy111bol; а пd 256Q АМ 111aps 8 Ьits on to each 111odt1\atio11 symbol. The арр горгi аtе n10dt1l ati o11
sc\1e111e is ideпtified Ьу se l ectiпg а 1·ow \Vi th iп а specifi c MCS tаЬ\ е. TJ1e 1·0\v is selected t1 si11g tl1e MCS fi eld witl1i11 DCI Foгmat 1_0 0 1·
!_ !. Т\1е MCS tаЬ\е is selectecl t1si11g а comЬiпat i oп ofRRC coпfigшatioп iпfoпnatioп апd tl1e type o fRNТI н sed to add1·ess the UE
\Vl1e11 pl'Ovidiпg the 1·еsо шсе a ll ocatioп. Modнlatioп is desc1·ibed iп sec tioп 2.7 \vhi le t\1e MCS taЫe s аге p1·ese11tecl iп sectioп 3.6. 1
* Lауег mappiпg is нsed to dist1·ibнte tl1e set of nюdнlatioп symbo ls ac гoss tl1e \ ауегs whic\1 аге ttsecl fo1· MIMO. If tl1e геsошсе
allocatioп has been pl'Ovided t1si11g DCI Foгmat 1_0 t\1e11 t\1еге is оп lу а siпgl e t1·ansmissio11 \ ауе1· апd l ауег mappiпg is not геqнiгеd. !n
coпtгast, DCI Foгmat 1_ 1 н ses the 'Апtеnпа Poгts ' field to allocate betweeп I and 8 МIМО laye1·s (tl1e nL1111ber of l ayeгs is eqнa l to tlie

194
 sG NR in BULLETS

number of allocated DMRS Poгts. An example look-llp tаЫе is presented iп ТаЫе 81 , sectioп 3.5 .7). The layer mapping procedшe is
illustrated in Figшe 168. The procedшe distribl!tes the stream of' modl!latioп symbols acгoss the layers iп а rot111d robiп fashion
The use of 1 to 4 layers reqнires а single codeword as ап inpt1t, i.e. the Physical layer has processed а single T1·ansport Block. The нsе
* of 5 to 8 layers 1·eqt1ires two codewords as an inpнt, i.e. the Physical layer has processed t\vo Tгansport Blocks. In the case of 40, 3OРР
release 8 гeqt1ires 2 codewoгds when gene1·ating тоге than 2 layers. 3GPP гelea s e I О a\lows 40 to geneгate 1 to 4 layers l!sing а single
codew01·d. The nl!mber of codewords determines tl1e t1·ade-off between the HARQ acknowledgement signalling load and the volнme of
data \Vhich mttst Ье re-transmitted when а codeword is гeceived iп епоr. Fог e:-;,ample, if2 codewoгds are l!sed to generate 4 layers then
the гeceiver mнst retшn 2 HARQ acknowledgements (ignoгing the l!Se of Code Block Gгонрs). If there is а siпgle bit error theп it is
necessary to re-transmit only 1 of the codewoгds . Altematively, а single large codewoгd coнld Ье нsed to geпerate the same 4 layers
and in thi s case, the receiveг only has to retllm I HARQ ackпowledgement. Внt а single bit епог means that the whole ofthe larger
codewo1·d mнst Ье re-transmitted. The нsе of Code Block Groнps (described in section 13 .5.1.1) пюvеs this t1·ade-off in the direction of
нsing only а single codeword becal!Se groнps of codewoгd segments сап Ье гe- traпsmitted ratheг than whole codewo1·ds. Внt HARQ
ackпowl e dgements mllst Ье sent fог each groнp of segments so there is an impact llpon the HARQ signalling overhead

1 layer 2 layers 3 layers 4 layers

~
~
1 codewor·d

~
~

~
requir ed as -0------0-----:
aninput
1
~
5 layers 6 layers 7 layers 8 layers

~
~
~
~

~ ~
2 codewords
required as
а п input
~ ~ ~
~
~

~
~
~
~

~ ~ ~
Fig111·e 168- Laye1· Mappin g fo1· tl1 e PDSCH

* The nнmЬ е г of layeгs shoнld matcl1 the сштеnt cl1anпel coпditioпs betweeп the set of t1·a11smit апtе пnа and tl1e set of 1·eceive апtе пn а .
Lo\v согге lаtiоп pгopagation paths between the tгan s mit and гeceive anteпna allow an incгeased пнmЬеr of layeгs. T\1is coпesponds to а
pгopagatioп channel \Vitl1 incгeased гank. Pгecodiпg сап Ье нsed to redнce the coпelatioп between the propagation pat\1s so the
pгecodin g procedшe shollld Ье taken into ac coнnt when selecting ап appropгiate nнmЬег of,layers. The UE l!ses the Raпk Indicator
(RI) ,vithin its Channel State Infoгmatioп (CSI) гepo11ing to indicate the nнmber of layers \Vhicl1 it believes сап Ье sнpported across the
aiг-interfa ce . The Base Station may also accol!nt fог bl!ffeг осснрапсу when selecting the nшnbe1· of layeгs. It is not necessaгy to
allocate а l1igl1 nl!mber of layeгs if the UE lias only а small volume of data to Ье tгaпsferred
The pгecoding illllstгated in Figшe 167 is not standardised Ьу 3GPP. Netwoгk vendors аге free to select and implement thei1· own
propгietary solнtions for pгecoding . The UE does not reql!ire explicit kпowledge ofthe precoding \Veights ,vhich have been applied Ьу
the Base Station. This is made possiЫe Ьу the t1·ansmission ofthe Demodulation Reference Signal (DMRS) . Tl1e DMRS is precoded in
the same way as the PDSCH so the UE сап dedttce the composite pгopagation chanпel (precoding weights plн s aiг-interface radio
chai1nel) fгom the DMRS. This composite channel estimate сап then Ье нsed to sнpport decoding

* This арргоасl1 diffeгs fгom 40 Tгansmission Modes 3 and 4 \Vhich sнррогt open loop and closed loop spatial multiplexing. Tl1ese
traпsmi s sion modes do not нsе а DMRS so the UE геqнiгеs explicit knowledge of the pгecodin g whicl1 has Ьееп applied to tl1e
do,v nliпk data. In the case of ореп loop spatial mнltiplexing, tl1e pгecoding weigl1ts are stand a гdi s ed and follo\v а pгe- defined pattem .
ln th e case of closed loop spatial mнltiplex ing , the pгecodiп g weigl1ts аге standai·dised and the PDCCH is нsed to pгovide the UE \Vitl1
infoгm a tioп 1·eg aгdi11g the we ights which l1ave been applied. 111 contrast, 40 Tгansmission Modes 8 апd 9 нsе а DMRS so the UE is not
pгo v id ed witl1 explicit infoпnation гegaгdiп g tl1e pгecodiпg wei gl1ts

* F i gшe 169 illн st1·ates an exa mpl e of tl1e pгecodiп g \Vl1i ch may Ь е aprlied to tl1e 50 PDSCH \vl1eп 11s iп g di gital bea mfo гmiп g. Jп tl1i s
case, tl1 e p1·ecodi11g is di vided iпto t\V0 phases. T l1e fiгs t pl1ase appli es tl1 e pгeco diп g fо г M IMO, whil e tl1 e seco п d pl1 ase appli es tl1e
r1·ecod i пg fог d igi tal b ea m fo г m iп g

* F i gшe 169 assнmes tl1e t1 se of 2х2 MIMO \V itl1 tl1 e tгa п smi ss i o п of 2 l ayeгs (га п k 2). Tl1ese 2 laye1·s wo нld Ье ge11e1·ated fгo m а s iп g l e
Tгanspoгt B lock. 2х2 МГМ О геqнiгеs tl1e 11se of 2 а пtеnп а po гt s so tl1 ere аге 2 DMRS . Tl1ese DMRS а ге pгeco d e d iп tl1 e sa me \Vay as
tl1e PDSC H data. The pгeco diп g \Ve igl1ts н se d fо г MIMO а ге t1pd ated at а гe l a ti ve l y l1i gl1 га t е Ь еса н sе they аге se п s iti ve to th e cl1 a11gi11g
гad i o co11ditio11s. These \ve igl1ts а ге also f1·eqt1e11cy se lecti ve so di ffe1·ent \ve ights са п Ь е applied to di ffe1·ent Resoшce B locks. 3O РР
l1 as specified tl1e н sе ofRes oшce B lock Bш1dl es to pгov id e tl1e UE \vitl1 iпfoгm a ti o n гega 1·din g the f1·e qн e 11 cy dom a iп гes olt1ti o 11 o ftl1 e

195
5G NR in BULLETS

precoding applied Ьу the Base Station, i.e. the same pгecoding weights are applied to all Resource Blocks within а Bundle. This
information helps the UE to improve its channel estimates. Resoшce Block Bundling is described in section 3.6.5 . The precoding
weights applied for МIМО are often referred to as 'Short Term' weights because their values change rapidly over time. For exarnpJ
they could change 100 times per second. Updating these weights at а high rate requires incгeased quantities of computation and the е,
гesultant weights may Ье more susceptiЫe to errors due to less averaging

* The MIMO precoding mixes tl1e data streams and DMRS such that both data streams and both DMRS contribute to each output. Thi
means that each ofthe beams generated Ьу the physical antenna elements include contributions from both logical antenna p01·ts, i.e. s
there is not а one-to-one mapping between logical antenna port and beam

Precoding for Beamforming

(Long Term Weights)
г - - - -- - - - - - - - - • г -- --- - - - --- - - • .. - - - - - - - - - -- -

: OFDM : J Mix to RF : J ,--------

: Signal :---. : and Н-. :
:!,_ _____________
Generation •J Amplify
:._ _____________ •: :: ~
+

Гo-FD_M ______ j Гм~;-i~-RF--] !~

: Signal :---. : and :-i-.: ,,, с:

ё .О
: Generation _ ! !-~~~!i:~_____ j ! фЕ ,,,
ф
°'
·с:.
Ф.!О
о
Precoding for М/МО ro
(Short Term Weights)
: OFDM : ГMi~-t-~-RF--1 ; j с:
с:
а.
,,,
] Signal :~ : and :~ : з
с:
$
~

: Generation : : Amplify : : : - ro °'

ф
1 _ ------- ----- 1 !,_ _____ - - - - - ---~ : : ro -о

Гo-FD_M ______ : Гм~;-i~-RF--] : :f -~

: Signal :---. : and :----4: ~

:, Generation _:, :• Amplify :I : : f-
--------------· : :___ ____ _
1 1

: OFDM : ГMi;-t~-RF--1 :' ,

~ Signal ~ 1and н.,. : 'q
: Generation _: : Amplify : : -:Е
'- : '§:

: оFом : гм;;-i~-RF--1 t

: Sign al 4 : and ~
f _'?_ЕЭ_~~~~!i_с>_~ _ ! j Amplify ____ : ro
с:

Го-Fо_м______ ] [ -м1~-i~-RF--] ~
с:

i
,,,

: Signal ~ : and ~ , ~ -о
: Generation : : Amplify : : -~
--------------· --------------· t .с

Гo-FD_M ______ : : Mix to RF : '

а.
(=.
: Signal ~ ! and l-;..:
'
1____________ , : Geneгation _: : -~~~!i:~----- ! !__ :-_-_-_-_-_-_-_-__ _
Figure 169- Precoding fo,· the PDSCH (digital beamformiпg)

* The oнtputs from the MIMO precoding are нsed as inpнts to the beamforming pгecoding. Тhеге is а one-to-one mapping betweeп the
МIМО p1·ecoding outpнt and the beam traпsmitted across the air-interface. The first beam is used to transfeг the first outpнt from tl1e
MIMO precoding and this beam is generated using the +45° antenna elements. The second beam is нsed to traпsfeг the secoпd outpнt
from the МIМО precoding and this beam is geneгated usiпg the -45° апtеппа elements
* Figure 169 is based нроn an example which illustrates 8 tгaпsceivers conпected to 8 physical antenпa elements. The пumЬ ег of a11te111ia
elemeпts has been kept small to simplify the diagram. In pгactice, an active а пtеппа is likely to use тоге than 8 anteпna eleme11ts. А11
active аntеппа fог Fгеqнепсу Raпge 1 (450 MHz to 6 GHz) may sнpport 64 tгaпsceivers coпnected to 128 апtеnпа e lemeпts, i. e. 32
tгaп sce ivers fог each polaгisation and 2 апtепnа elements conпected to eacl1 t1·a11sceiveг. Eacl1 tгaпsceiveг coнld provide ап oнtput
роwег of0.625 W рег сютiег leadiп g to а total of 40 W р е г саггiег

* The solнtioп fог пpdating the beamforming weights will depeпd upon the type ofbeamfoгmiпg that has been implem eпted:

о 'Eigen based Beamfoгmiпg' (ЕВВ) гelies upon the weigl1ts being updated dynamically to allo\v the beams to follow tl1e UE as tlie
UE 1110ves агонпd tl1e ce ll. Tl1is type of so luti oп is su i taЫe fo1· TDD \Vl1ich сап take advaпtage of cl1a1111el гecipгocity to geпerate
the do\vпlink beamformiп g \Ve igl1ts fгom upl iпk measшemeпts of tl1 e Soнпd i ng Refeгence S i gпal (SRS). Geпeгatiпg bea ms \l'hicli
follow the popнlatioп ofUE агонпd tl1e cell гequi1·es sigп ificant quaпtities ofbasebaпd pгocessing
о 'Gгid ofBeams' (GoB) н ses а set offixed beam positions which meaпs that eacl1 beam is geпerated пsiпg а fixed set of
beamformiпg weights. The best beam chaпges as а UE пюvеs аrонпd the се!! so the Base Stat ioп S\vitches betwee11 the fi xed sets
of beamfoпning weigl1ts. This type of solution is sнitaЬle fог both FDD апd TDD. It avoids the геqнiгеmепt to gепегаtе UE
specific beamforming weigl1ts so 1·equi1·es significaпtly less baseband processing. The UE is 1·equiгed to provide feedback
гegaгding the best fixed beam at апу point iп time. Тhеге аге 2 general solнtions fог providing this feedba ck:
 5G NR in BULLETS

■ а ' GгidofBeams' solution сап нsе а set ufbeamfoгmed SS/PBCH Blocks . The UE is аЫе to m eas шe and select the best
SSIPBCH Block which is then repoгted н s in g an SS/PBCH B lock Resoшce Indicatoг (SSBRI). This so lнtion may also use а
set ofbeamformed CSI Reference Signals fо г beam refinement, i.e. the beams belonging to the CS I Reference Signals ,vottld
Ье narrower and more diгectional tlшn the beams belonging to th e SS!PBCH Blocks . The UE measшes апd selects the bes t
CSI Refe1·e пce Signal which is then reported нsing а CSI Re fe re пce Signal Resoшce Indicator (CRI)

а 'Grid ofBeams ' solнtion сап нsе а set ofnon-beamfoгme d CSI Refe ,·ence Signals tгansmitted fгom а set ofphysical antenna
elements. The UE is а Ые to me as нre these CSI Reference Signals and determine the Precoding Matгi x which woнld create the
best beam towards the UE. The UE нses Precoding Matrix lndic a toг (PMI) reports to iпfoпn the Base Station ofthe selected
Precoding Matrix (which corгesponds to the selected beam)
* F igшe 170 illнstrates the 'Eigen based Beamforming' and 'Grid ofBeams' solнtions. The pгecoding weights fш- beamformiпg аге
often гeferred to as ' Long Term ' weights Ьесанs е their valнes change less frequently, e.g. they may Ье нpd a te d once per second. Th e iг
va lн es depend нроn the UE location which does not noпnally change vегу rapidly

'Eigen based Beamforming' - Beam follows UE

Tim e 1 Time 2 • 'Eigen base d Beamforming' s uitaЫ e for TDD

• uses channel reciprocity in co mblnation with uplink
SRS mea surements
11
• 'Grid of Beam s' s uitaЫe for FDD & TDD
• сап use bea mformed 55/РВСН or CSI Reference
Signals to allow best beam se lection Ьу the UЕ
• са п use non-precoded CSI Reference Signals to allow
best Precoding Matrix (bea m) selection Ьу th e UE

- J
'G rid of Beams' - UE switches between Beams 'Grid of Beams' - UE switches between Beams
Ba sed upon se lecti on of beamformed SSB or CSI-RS Based upo n se lection of Precoding Matrix

~,
Time 1

' {r.
J:
:.r<9
~о
o;,о, -·- "'n'1/
-~ ?'J'
Time 2

~j
{r.
<9 .
SSBRI
or CRI
Time 1

~~ c,9q?q?
с,9 q,.'-,
с,9
Tim e 2

~~,
c,9q?q?
с,9 q,."
с,9
PM I
1

~
· ..
· .. _,?J' ', . о,,... ~
' .. ~ -- -~
?'J'

•
~-
SSBRI PMI
orCRI

Figш·e 170-Coшpa1·iso11 behvee11 'Eige11 based Beaшforшi11g' апd 'G1·id of В еа ш s'

* As a lгeady stated, 3GPP has поt standardi sed the precoding weights for the PDSCH, 110r l1as 3GPP stand a гdi se d а mech anism for the
Base Station to provide the UE with tl1e valнes ofthe precoding weights. However, 3GPP has standa1·dised а set ofpгecoding ,veig hts
fo1· tl1e pшposes ofCSI reporting from tl1e UE. This allows the UE to pгov id e feedback to the Base Station 1·egarding а pl'eferred set of
pгecodiпg weights selected fiom taЫes s tand a гdised Ьу 3GPP. The Base Statioп сап н sе thi s infoгm at ion wl1eп d eterminiпg the weights
to Ье ap plied fог both the МIМО and beamforming pгecodin g phases

* Retшпing to F i gшe 167, the pr·ecoded modнl atioп symbols а ге mapped о пtо the Resoшce Elements ,vl1icl1 belon g to tl1e allocated
Vi1·tt1al Resoшce Blocks w ithin eacl1 of th e allocated symbol s. Eac l1 онtрнt f1·om the precoding has its о,vп set ofV iгtu a l Resoшce
Blocks . T he example iп Figшe 169 illн s tr·a tes 2 ot1tpнts fгom tl1 e pгecoding so t l1 eгe ,vill Ье 2 sets ofViгtн a l Resoшce Blocks

* If' f1·eqнency domain Reso шc e Allocatioп Туре О has Ьееп нs ed , tl1e Vi1·tt1al Resoшce Blocks (VRВ) аге mapped diгec tl y опtо Pl1ysical
Re s oшce Blocks (РRВ) н s in g а ' 11 0 11-iпte гl eave d ' fi.шctioп , i.e. VRВ ' п ' is mapped опtо РRВ ' п ' . IfResoшc e Allocation Туре I l1 as
been t1sed tl1 e п the Base Stat i oп сап c o п fi gшe ,,,·b - ToPRВ- /111a/ea\le1 · ,vitl1i11 tl,e PDSCH-Config s110,vn iп Та Ы е 88 to епаЫ е tl1 e t1 se
о fа п iпte гl ea v ed VRВ to PRB 111appi11g. Tl1 e ' V RВ to РRВ Mappiп g ' fi e ld ,v itl1iп DCI F oпn a t 1_ 0 а пd 1_ 1 са п tl1 e11 Ь е н se d to
activate tl1 e '11011- iпt e гl eave d' 111 a ppiп g fог each iпdi v i dн al t гa n s 111i ss i o п . Ап i пt e гl eaved mappiп g t1 ses а fнn c tion to 111 а р VRB ' 11 ' 01110
Р RВ ' 111 ' . F 1·eqt1 e пcy do111a i11 геs ошсе all ocation s а пd tl1e ' i11te г l eaved ' 111apping fu11 cti o11 а ,·е pгese п te d iп secti on 3.6.4

* The set of Phys ical Res oшce Blocks ai·e th e п н se d to gе п е га tе the CP-OFDM wave foпn . Eac l1 c olшnn of Res oшce E le111e11ts ge11e1·ates
а CP-OF DM sy111bol . Tl1e pгo cess н se d to ge11e1·ate tl1 e wave fo гm is desc1·ibed iп section 2.9. 1

* 3GPP Re fe гeп ces : TS 38.2 11 , TS 38.2 12, TS 38.2 14

197
5G NR in BULLETS

RESOURCE ALLOCATIONS
* There are 2 categories ofresource allocation in the downlink:

о Dynamic Gгant allocations : which rely нроn а PDCCH transmission pгior to eve1y PDSCH transmission . The PDCCH transfer
Downlink Control Inf01mation (DCI) Format 1_ О or 1_ 1 to specify the allocated resources. The resoшces сап Ье changed \Vitli s
every transmission so dynamic allocations are very adaptive to the cнrrent radio conditions, нser reqнirements and network load
Dynamic allocations have the drawback of increased PDCCH signalling load \vhich creates an overhead towards the PDSCH ·

о Semi P'ersistent Scheduling (SPS) allocations: which do not require а PDCCH transmission prior to every PDSCH t1·ansmissioп
(PDCCH transmissions are still нsed to request гe-transmissions). The resoшce allocation is partially configured нsing RRC
signalling Ьнt is subsequently activated and deactivated нsing PDCCH transmissions. The PDCCH pгovides the time and
fтequency resource allocation so this сап change with each activation. Once activated, the UE has а set ofpeгiodic oppoгt1.1пitie s
for PDSCH tгa11smissio11. Semi Persistent Scheduliпg сап Ье 1.1sed for applications such as the voice service, i.e. the PDCCH сап
Ье used to activate а periodic resoшce allocation while а нser is speaking and then deactivate those resouгces when the 1.1ser is
listening

* Both Dynamic Grant and Semi Persistent Scheduling categories use the time and fтequency domain resoшce allocations described iii
sections 3.6.4. 1 and 3.6.4.2. These resouгce allocations are inclнded within the DCI оп the PDCCH. DCI content is presented within
sections 3.5.6 and 3.5 .7. Semi Pe1·sistent Sched1.1ling is fшther described in section 3.6.4.3

TIME DOMAIN RESOURCE ALLOCATION

* PDSCH time domain гesources сап Ье allocated using Downlink Control Infoгmation (DCI) Formats l _ О and 1_ 1. DCI is tгaпsferгed to
the UE using the PDCCH physical channel. The 'Тiт е Domain Reso111·ce Assignment' field within these DCI Formats is t1sed to sp ec i Гy
the slot offset, the starting symbol, the nнmber of allocated symbols and the PDSCH Mapping Туре

* The ' Time Domain Reso111·ce Assignment' field defines а pointer towards а row witl1in а look-нp tаЫе. This look-up tаЫ е с ап Ь е eitl1cr
а 3GPP standardised tаЫе ог ап RRC coпfigшed tаЫ е . 3GPP has s tandaгdi se d d e faнlt taЫes ' А ', 'В' and ' С ' \Vhich сап Ь е н sed
witl10t1t having to provide tl1e UE with infoгmatioп гega гdin g tl1 e iг conten t, i.e. these ta Ы es а ге sta nd a гdised so the UE a lгea d y kn o1vs
tl1e content of eacl1 tа Ы е . RRC c onfigшed ta Ы es с а п Ь е pгo v id ed to tl1e UE w itl1iп S IВ l ог Ь у н s in g dedicated s i gna lliп g

* А standaгdi s ed tаЫе is al\vays 1.1sed wheп гe ceivin g а dowпlin k геs ошсе all ocation fог the tгan s mi ss ioп of S IВ l . This app1·oacl1 m e aп s
that the UE сап always inteгpгe t tl1e ' Тiт е Domain Reso111·ce Assignment' fi eld \Vitl10t1t having гece iv ed any prioг coпfi gшa ti o п
info1·mation fтom the Base Station. Tl1e standaгdised defat1lt ta Ы es ' А ' , ' В ' and ' С' liave been des ig ned fог в sе witl1 SS/PBCH -
COREST mнltiplexing patterns '1 ', ' 2 ' and '3' respectively. These mнltiplexing patteгn s аге descгib ed in section 3 .5.3. D e faнlt taЫ es
'А', ' В ' and 'С' аге p1·eseпted within that section as ТаЫе 71, ТаЫе 73 and ТаЫе 74

о ope1·ating baпd s within Fгeqt1ency Range 1 always use mt1ltiplexing pattern ' 1'. Tl1is means tliat PDSCH 1·esource allocation s
applicaЫe to SIB l witl1in Fгeqнency Range I always 1.1 se defaнlt tаЫе ' А '

о opeгatiпg bands within F1·eqнency Raпge 2 сап в s е mнltipl exing patteгns 'l ', '2' ог ' 3 ' . Tl1is means that PDSCH геs ошсе
allocations applicaЫe to SIВI within Freqнency Range 2 сап use defat1lt taЫes 'А ' , ' В ' ог ' С '

* SIВ 1 сап Ье нsed to provide an RRC configшed look-t1p tаЫе within the pdsc/1-Co11figC0111mo11 рагаmеtег strt1ct1лe. In that case, tl1 e
UE нses t\1e RRC configшed look-нp tаЫе when гeceiving PDSCH 1·esouгce allocations fог Otheг System Info1·mation (OSI), i.e. S IВ2 ,
SIВ3 , S!B4, etc. The pdsc/1-Co11jigC0111111011 parameteг stll.1cttll'e сап also Ье pюvided to the UE нsiпg dedicated signalliп g it' tl1e UE lias
alгeady entered RRC Connected mode. Ifthe UE has not been pюvided witl1 an RRC coпfigшed look-up tаЫ е within tl1 e pdsc/1-
Co11jigCom111011 рагаmеtег Slll.1ctшe then the UE нses а standaгdised tаЫе fог the гeception ofOSI. The standaгdised tаЫ е is selected
based t1pon tl1e SS/PBCH - COREST mнltiplexing patteгn (patteгn ' l ' => tаЫ е ' А' ; patteгn ' 2 ' => tаЫе ' В'; patteш ' 3 ' => tаЫе 'С ' )

* The same п1les ai·e applied wl1en гeceiviп g PDSCH геsошсе allocations fог pagin g messages, i. e. the UE will t1 se an RRC coпfi guгed
look-нp tаЫе if one has been pюvided \Vitl1in pdsc/1-Co11figCom111011 , otheг,v i se the UE will нsе а staпdaгdi sed tаЫ е 'А ' , ' В' о г ' С'
depeпdent 1.1pon the SS/PBCH - COREST nшltiplexin g patte rп '1 ' , ' 2 ' ог ' 3 '

* In the case of гece i v iпg PDSCH геsошсе allocations fо г MSG2 ог M SG4 belon ging to the гапdоm access рго сеdше, th e UE will н sе ai i
RRC coпfi gшed look-1.1p tаЫ е if опе has been pro vided \Vitl1i11 pclsc/1-Co11jigC0111111011 , oth eгwise tl1 e lJE ,vill t1 se standard isecl tаЫ е
'А'. Iп tl1i s case tl1e1·e is по dependency tt po п th e SS/PBCH - COREST mt1ltipl ex iп g p a tte гn

* Tl1e Base Station са п also tt se dedi cated signall in g to pгovid e tl1 e UE w ith an RRC coпfi gtll'ed look-t1p tаЫ е \Vitl1in tl1e pclsc/1-Con/ig
paгamete1· stгttctшe . When а U E гeceives PDSCH геsошсе all ocati o ns оп tl1e PDCCH ,vitl1in tl1 e 'UE specifi c Searcl1 Space' then tlie
UE will t1 se the look-ttp tаЫ е fгom within pd~c/1- Config if it has Ьее п pюvided. Othe гwi se, tl1e U E will ttse th e look-t1p tаЫ е fгот
withiп pcl.~c/1-Co11/igC0111111011 if it l1as been pгo v id e d. Otl1 e гwi se , th e UE will в sе the s ta пd a гdi se d defattlt tаЫ е 'А'
 5G NR in BULLETS

А an example, Та Ые 95 presents fош гo ws fгom the standa1·dised look-t1p tа Ы е ' А '. The ro\vs are indexed н s in g а combination of the
* '[~dex' анd 'dmJs-TypeA-Position ' colнmns . The ' [ndex' coпesponds to the ' Time Domain Reso111·ce Assigmnent' field \Vithin the DCI
iv~ei·eas the ' dmrs-TypeA-Position' corresponds to tl1e 'c/1111's-TypeA-Position ' field within the Masteг Infoгmation Block (МIВ)

Lndex dmrs-TypeA-Position PDSCH Mapp i11g Туре Slot Orfsel (К,,) S1ar1i11g Symbol (S) Le11gtl1 (L)
2 2 12
1 Туре А
3 3 11
о
2 9 4
6 Туре В
3 10 4

Та Ые 95 - ЗGРР standardised Defa11lt PDSCH Time Domain Resource Allocation 'А' (only four ro,vs а1·е sho,vn)

* Tlie PDSCH Mapping Туре сап Ье set to eitheг 'Туре А ' or 'Туре В ' . Selection between Туре А and Туре В has an impact нроn the
allowed combinations ofthe Starting Symbol (S) and Length (L). These allowed combinations а1·е presented iп ТаЫ е 96. Mapping
Туре в limits tl1e maximшn resource allocation to 7 symbols when нsing tl1e noгmal cyclic prefix and 6 symbols when нsing the
cx te пd e d cyclic p гefi x, i.e. half of а slot. Iп conti·ast, Mappiпg Тур е А allows а complete slot of symbols to Ь е allocated. In the case of
Map p iп g Тур е А, the reso шce allocation always starts relatively s0011 afteг the s taгt ofthe slot (symbols О to 3). Mapping Тур е В
alloivs а miпi nш m 1·еs ошсе allocation of only 2 symbols, whereas Mapping Тур е А allows а mi11imt1m геsошс е allocation of 3
symbols

Nоппа l Cyc li c Prcfi x Ex te11ded Cyc lic Prcfix

PDSCH Mappi11 g ( 14 sy111bo ls рс г slot) ( 12 symbols р ег slot)
Туре
s L S+ L s L S+L
Тур е А О to 3 3 to 14 3 to 14 О to 3 3 to 12 3 to 12
Тур е В О to 12 2, 4, 7 2 to 14 О to 10 2, 4, 6 2 to 12

ТаЫ е 96 - Allo,ved comblna tions of Sta rting Symbol (S) and Le11gtl1 (L)

* Tl1e PDSCH Ma ppiп g Тур е also has ап impact ttpon the Res oшce E l e m e пts allocated to the D e modнl a tion Rе fе ге п се S i gпa l (DMRS).
The D МRS is always ргеsепt 1vithi11 tl1e fiгs t allocated symbol wl1en 1.1si11g Mapping Тур е В. This co rтes pond s to а ' Fго пt Loaded'
co пfi gшa ti o п whi cl1 allows tl1e UE 1·ece ive г to estimate the d o wпliпk cl1a1111el геs р о п sе iп a dv a п ce of 1·eceiving the do1vnlink data.
Wl1e11 нs i п g Mapp iпg Туре А, tl1e DMRS са п Ье co пfi gшed to Ье located witl1i11 eitl1e1· symbo l 2 01· sy111bol 3. Sectio п 3.7.3 p гov id es
gгea t e 1· detai l 1·ega гd i ng tl1e impact of tl1e PDSCH Ma p p iп g Туре н роп tl1e DMRS

* Tl1e Slot Offset (К0 ) 1vitl1in Та Ы е 95 is н sed to dete m1i11e tl1e PDSCH slot 11t1mbe1· 1vl1e1·e tl1e 1·еs ошс е a ll oca ti o п appl ies. Tl1e 'S lot
Offset' all ows tl1e 1·esot1 rce a ll oca ti o п to Ь е scl1edt1l ed а specific пнmЬ е г ofslots iп tl1e f1.1tшe (Ко > О ), о г fо г the геsо шсе a ll oca ti o п to
Ь е scl1eelt1l ed ,л, i t l1i11 tl1e сште п t slot (Ко = О). The PDSCH slot 11t1mbe1· is c al c нl a te d н s iп g tl1e to l101vi11g ex pгess ioп:

zµ _PDSCHJ
PDSCH Slot Number = t
п х zµ_Ро ссн + Ко

* '11'is tl1e PDCCH slot 111.1mЬ ег dшing which the 1·еsошсе allocation 1vas received. The valнe of ' 11 ' is scaled accoгdiпg to the гelative
PDCCH а нd PDSCH шtme гolo g ies. This sc a liп g 111aps the PDCCH slot 11i1111ber onto the corre s poпdiп g PDSCH slot пнmЬег . Fог
exa111ple, if tl1e PDCCH апd PDSCH аге tгaпsmitte d нsiп g the sa111e 111.1meгolo gy tl1e11 tl1e s caliп g factoг eqнals I Ь е санsе the PDCCH
a11d PDSCH s haгe the same slot n1.1mbeгi11 g. If the PDCCH n1.1me гolo gy is О (15 kНz st1bcarri eг s p ac iп g) 1vhile the PDSCH nt1me гolo gy
is 1 (30 kНz s1.1b carгieг spacing) then the scaling factor is 2 beca1.1 se the PDSCH slots have halftl1e dшatioп ofthe PDCCH slots. Ifthe
PDCCH пнm е гоlоgу is 1 (30 kHz sнЬсаггi еr spacing) while the PDSCH n1.1meгolo gy is О (1 5 kН z s нbcarrier spa c iп g) then the scaling
factoг is 0. 5 beca1.1se the PDSCH slots have twice the dшation ofthe PDCCH slots. Iп this case, the ROUNDDOWN fuпction is
impoгtaпt to епsше that the scaled slot n1.1mb eг is an integeг. The va lнe of К0 is added to the scaled slot nt1mbeг to deteгmiпe the
PDSCH slot пнmЬег
* Tl1e Staгt ing Symbol (S) withiп ТаЫе 95 specifies the fi1·st symbol ofthe геsошсе allocation. This fiгst symbol is нsed Ьу the DMRS
fог ' F1·011t Loaded' coпfi gшatioп s . The Length (L) determiпes tl1e nнmЬег of allocated symbols. The combinatioп of the Starting
Symbol and Leпgth is al ways con fi gнгed sн cl1 that tl1e resoшce allocation гema iп s •Nithin the boнn daries of а specific slot and does not
ove гl ap i11to the пех t slot

* ТаЫ е 97 pгcse 11ts the set of col1.1mns belong iп g to the look-нp taЫes which сап Ье coпfi gшed Ьу tl1e Base Stati on, i. e. within pdsc/1-
Co11/igC0111111011 апd pdscl1-C01?fig. Tl1ese ta Ы es аге iп dexed н s iп g onl y tl1e fiгst со lнmп which coпesp o nd s to the ' Time Do111ai11
Reso111·ce Assig11111e11t' fi eld 1vitl1i11 tl1e DCI

Time Dшпа i п PDSC H Mapp i11 g Ту р е Slot OITsc t S t a гl a11d Lc11gt l1 l11 (li ca tш Va lttc
Н.еsо ш·се Assig11111e11t (Ко) (S LI V)
1 to 16 Туре А ог В о, 1, 2 ог 3 14 to 104

Та Ы е 97 - Look-11p tаЫе co 11 figш·ecl Ьу t l1 e Base Station fo1· time doma i11 resoш·ce allocatioп (PDSCH-Ti111eD0111ai11Reso111·ceAl/ocatio11List)

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* The PDSCH Mapping Туре and Slot Otfset columns are interpreted in the same way as the standardised taЬ\es
* The Starting Symbol (S) and Length (L) are not explicitly shown within the configured look-up tаЬ\е . Instead they а jointly coded .
the ' Start and Length Indicator Valнe' (SLIV). The SLIV is coded according to the fo llowing ru les: as

if (L- 1)~ 7 then SLIV = 14 х (L - 1) + S

else SLIV= 14 х (14- L+ 1) + (14 - 1 - S) w here О < L ~ 14 - S

* The coding of the SLIV has been des igned to mi nimise the range ofnumerical va lues, i.e. to minimise the number ofbits required to
signal its va1ue. The set ofvalues associated with t\1e SLIV is presented in ТаЬ\е 98

Length (L)
1 2 3 4 5 6 7 8 9 10 11 12 13 14
о о 14 28 42 56 70 84 98 97 83 69 55 41 27
1 1 15 29 43 57 71 85 99 96 82 68 54 40
2 2 16 30 44 58 72 86 100 95 81 67 53
3 3 17 31 45 59 73 87 101 94 80 66
4 4 18 32 46 60 74 88 102 93 79
~
о
5 5 19 33 47 61 75 89 103 92
..о
Е
>,
6 6 20 34 48 62 76 90 104
rл
ою 7 7 21 35 49 63 77 91
с
1
Е 8 8 22 36 50 64 78
"'
ел
9 9 23 37 51 65
10 10 24 38 52
11 11 25 39
12 12 26
13 13

Та Ь\ е 98 - Co ding of Star·t a11d Leпgth Ind icator· Value (SLIV)

* 3GPP Refe гe п ces: TS 38.2 14, TS 38.2 12, TS 38.33 1

FREQUENCY DOMAIN RESOURCE ALLOCATION

* PDSCH fгequencydomain re soшces can Ье allocated using Downlink Control Information (DCI) Formats 1_ 0 and 1_1. DCI is
tгansferredto the UE using the PDCCH physical channel. The 'F1·equency Domain R esoш ·ce Assigmnent' field within tl1ese DCI
Formats is used to specify the set of allocated Virtual Re soшce B locks (VRВ)
* ЗGРР has specified two down link resoшce al location schemes - Туре О and Туре 1
о DCI Format 1_0: always н ses Туре 1
о DCI Format l_ l : uses either Тур е О or Туре 1. The Base Station can use the PDSCH- Config parameteг stгucture to c onfi gшe
' 1 ·esoш·ceA llo catio11 ' with а valн e of ' res oшc eA ll ocationTyp e 0 ', ' гes oшc eAllo c ationTyp e 1' ог ' dyn ami cSwitch' . The
' dynam icS witch' optioп allo\vs the Base Station to н sе tl1e coпtent ofthe DCI to dynamicall y change between геsошсе allocati o11
schemes. ln tl1is case, th e Most Significant Bit (MSB) oftl1e ' F1·eque11cy Domain Reso ш ·ce Assig11111e11t' fi eld withi п tl1 e DCI
indicates tl1 e геsошс е allocat ion typ e
* The fгe qнen cy domain геsошсе allocation is appli ca Ь\ e to а specific Bandwidtl1 Р а гt . The Base Station са п use RRC signalling to
con figшe LIP to 4 Bandwidtl1 Parts рег serving cell. If the геs ошсе allocation is гece i ve d LJ s iп g ОС ! Format 1_0 within th e Соm nю п
Search Space fо г CORESET О, th eп th e геsошсе a\location is app licaЬ\ e to tl1 e iпi ti al Band\vidtl1 Pa1·t. Oth eгwi se, геs ошсе a ll ocat i oп s
гece iv e d н s iп g DCI F o гma t l _0 а ге ap p l i caЫe to th e cшren t active Band\vidth Р а гt

* D CI Foгmat 1_ 1 can t1se tl1e ' Baпdw idth Р агt Indi cato г' fie ld to identify а spec ifi c Band\vidth Ра гt fог the геsошсе a\l ocation. Tl1is cal!
Ье нs e d as а mec h a пi s m to change the acti ve Baпdw idth Р а гt , ift l1e UE has s i gп a ll e d its Sllpport fо г dynami c sw itc hi пg between
Bandwidth Paгts. The UE assLJmes that tl1e геsошсе allocation is app l icaЫ e to th e сшгепt active Bandwidth Рагt if tl1 e 'Baпdw idth Part
I ndic a toг ' fie ld is п оt inclLJded witl1in DCI F oпnat 1_ 1

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DOfVNLINK RESOURCE ALLOCA TION ТУРЕ О

3,6. 4·2· 1
Qownlin k гes ource allocati on typ e О can Ь е signalled on tl1 e PDCCH нsiп g DCI F oгmat 1_ 1. This type ofresource allocation н ses а
* bitmap to iпdi ca te а set of allocated Resource Block Gгонр s (RВ G ), i.e. reso шces аге allocated in teгm s of RВG rather th a п indi v idн a l
Resoнrce Blocks
А Res uнrce Block Groнp (RВ G) is а set of conti gнoнs Virt11 al Re soшce Blocks (VRВ) withiп а Bandwidth Р а гt . The nнmber of
* Resource Blocks within an RВG is dependeпt нроn tl1e Bandwidth Рагt si ze а пd the ' гbg-Size ' iпformation element pгovided within the
pDSCH- Conjig shown in Та Ы е 88. The '1·bg-Size' can Ье c onfi gшed with v a lн es ofeither ' config l ' or ' config2'. The rel ationship
between the Bandwidth Part size, the va lн e of ' 1·bg-Size' and the resнlta nt RВ G size is presented in ТаЫ е 99

Bai1d,vidtl1 Part Size Co11figшa1io11 1 RBG Sizes Co 11figшation2 RBG Sizes

(Resource Blocks) (Res oшce Blocks) (Resot1rce 131ocks)
1 to 36 2 4
37 to 72 4 8
73 to 144 8 16
145 to 275 16 16

Та Ые 99 - Reso11 rce Block Gro11p (RВ G) Sizes

* Reso u гce a ll ocati o п type О always н ses а ' non-iпte гl eaved ' Virnial Resoшce Block (VRВ ) to Pl1ys ical Resource Block (РRВ) mapping.
Tl1is means tl1 at V RВ ' n ' is mapped onto РRВ ' n ', i.e. the UE is effectively a llocated РRВ directly

* Т 11 еlength of the bitmap н sed to provide tl1e геsо шсе all oca tion depends L1pon the nнmb e r of RB G within the Bandwidtl1 Р а гt . The1·e is
1 bit for each RВG. The RВ Gs at th e lowe1· а пd нрр е1· ends of tl1 e Bandwidth Р а гt may contai11 fe we г Res oшce Blocks. This d e p e пd s
нр оп the posit i o п of the Bandwidth Р а гt within tl1e set o f Common Resoшce Blocks. Fi gшe 17 1 pгeseпts some exa mpl e Bandwidtl1
Pai·t positions to illt1 s tгa te the possibility of h av iп g smalle1· RВ G at each end of the Ba11dwidtl1 Р а гt . Smaller RВG аге generated when
tl1e end ofthe Ba пdw idtl1 Р а гt does not coincide with ап integer mнltipl e of the RВ G size fгo m tl1e perspecti ve ofCo mmo п Res oшce
Block numb e гin g

Со тт о п Resource 8/ocks within Base Sta tion Chann el Bandwidth

Reso urce 8/ock Group (R BG} size = 4

о 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

Exa mp le 1: А // RBG wi thin Ban dwid th part

4 RB 4 RB 4 RB 4 RB 4 RB
h ave equa/ number of Reso urce 8 /ocks

Ехатр/е positions Ехотр/е 2: RBG ot lower side of Bandwidth

3 RB 4 RB 4 RB 4 RB 4 RB
of а Bandwidth Part part has f ewer Resource 8/ocks

Ехатр/е 3: RBG at lower and upp er sides of

2 RB 4 RB 4 RB 4 RB · 3 RB
Bandwidth part have fewer Reso urce 8/ocks

Fi g ш·e 171 - Example sets of RВG ,vitl1in а Band,vidth Pa1·t

* F i gшe 172 illн s trate s а п exa mpl e bitmap allocating а set o fRВ G wh en the RВ G size is 4. This exampl e has а sma lle1· RВG at the uрре г
et1d ofthe B a пdw idth Р а гt . The allocated RВ G do not need to Ь е c oпtigiюн s

Exa mple assum es

Downlin k Bandwidth Part
Reso urce 8/o ck Gro up Size = 4

~ '------у---1 '------у---1 '------у---1 '------у---1 '------у---1'------у-----1~

r r r r Resource Bl; k Gro ups r r r r

,- ------ --- ----- ------ ----- ---- --- ----------------- - -------- --- -----------------------,
, 1 1 О О 1 О 1 О о :
·---- -- ---- ------ -- -- -- ------ ------- ---- ------ --- --- -- --- ------- ---------- -- ----- --------------- ------- -- ---------- ------------ ------ --------- '
Bitmap sign alled to th e ИЕ with in the ОС/ о п th e PDCCH

F i gш·e 172 - Use of а bltmap to allocate Res oш·ce Blo ck G1·011ps ( RВG) ,vitl1 i11 tl1e active Band,vi(ltl1 Pai·t

3GPP Re fet·eпces : TS 38 .2 14, TS 38.3 3 1, TS 38.2 11 , TS 38.2 12

2 01
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3.6.4.2.2 DOWNLINK RESOURCE ALLOCATION ТУРЕ 1

* Downlink resource allocation type 1 сап Ье signalled оп the PDCCH using either DCI Foгmat 1_0 or Format 1_ 1. This type ofres
allocation uses а Resource Indication Valнe (RIV) to indicate the set of allocated Virtual Resource Blocks (VRB) within the activ;tircc
Bandwidth Part. These Virtнal Resource Blocks are subsequently mapped onto а set of Physical Resource Blocks (PRB) нsiвg eitli ,
'non-interleaved' ог an 'interleaved' mapping er '•

* The allocated VRВ are a\ways contiguous. When using the 'non-interleaved' mapping then the VRВ аге the same as tl1e РRВ авd s
the allocated РRВ are also contiguous. This is known as а 'localised' resource allocation. When using the 'interleaved ' mappiвg tlieo
the allocat~d РRВ are deduced from the allocated VRВ нsing an interleaving function. In this case, the allocated РRВ are less likely ~
Ье contiguous and the resource allocation is known as а 'distributed' resource allocation (the РRВ would Ье contiguoнs whe11 нsiвg а 0
interleaving fнnction if а UE is a\located all VRВ ,vithin а Bandwidth Part) n

* The Resource Indication Value (RIV) provides the starting Virtнal Resource Block (RВstar1) and the number of consecutive allocated
Vi1tнal Resource Blocks (LRвs). The RIV is coded according to the following rules:

then RIV = NJWi х (LRВs - 1) + RВ,1ar1

else RIV = щwi х (NJWi - LRВs + 1) + (NJWi - 1 - RВ start)

where 1 ::о LRВs ::о NJWi - RВs1ar1
* The RIV coding is similar to the coding used for the 'Start and Length Indicator Value' (SLIV) described in section 3.6.4.1 for the timc
domain resource allocation. An example ofthe RIV coding is presented in ТаЫе 100. This example assнmes that the Bandwidth Part
inclнdes 14 Resource Blocks

N шпЬ ег of Alloca ted R es o нrce Blocks ( LRв s)

1 2 3 4 5 6 7 8 9 10 11 12 13 14
о о 14 28 42 56 70 84 98 97 83 69 55 41 27
1 1 15 29 43 57 71 85 99 96 82 68 54 40
~

~ 2 2 16 30 44 58 72 86 100 95 81 67 53
со
с,::
~
3 3 17 31 45 59 73 87 101 94 80 66
-"'
u
..о
4 4 18 32 46 60 74 88 102 93 79
а:)
О) 5 5 19 33 47 61 75 89 103 92
~
5 6 6 20 34 48 62 76 90 104
и
'J
CG 7 7 21 35 49 63 77 91
";;"u 8 8 22 36 50 64 78
..о 23 37 51
9 9 65
<01, 10 10 24 38 52
,::
Е
"' 11 11 25 39
й
12 12 26
13 13

ТаЫе 100- Example coding of Resource Indication Value (RIV)

* The UE has to deteпnine the VRВ to РRВ mapping type afteг identifying the set of allocated VRВ. Both DCI Formats 1_ О апd 1__1
include а l bit flag to iпdicate whetheг tlie mapping type is ' non-inteгleaved ' ог ' inteгl e av e d '

* An interleaved VRВ to РRВ mapping uses the сопс ерt ofResource Block Bundles (RВВ) . А Resource Block Bundle is а set of
contiguous Resoшc e Blocks witl1iп the Bandwidtli Рагt . Tlie Resoшce Block Bundles н se d for tlie inteгleaved mappin g fi·om VRB to
РRВ shoн l d Ье diffe гe ntiated from those whicli аге used to pгovide tlie UE witl1 infoгmatioп 1·egarding tlie fгequency dom a iп
gianulaгity ofpгecodin g . Re s oшce Block Bнndles н se d withiп the coпtext ofpгe coding а ге d esc гib e d iп sectioп 3.6.5

* The Base Station сап ti se tl1 e 'и-Ь- ТоРRВ-!11tе1·!еаvег' iпfoгmation element from w itl1in tl1 e PDSCH-Coпfig (ТаЫе 88) to coпfigнre tlie
Resoшce Block B ш1 cll e size as eitl1er 2 ог 4 Resoшce Blocks. If а UE is instn1cted to н sе tl1 e inte1·leaved mappiп g ,v itho н t l1avi11 g
гece iv e d the ' V1·b-ToPR B-l11te1"!em,e/'' in foгma ti o n element tl1 en tlie UE ass нmes а B ш1dl e size of 2 Res oшce Blocks

* S imilaг to Resoшce B lock Groнps (RВG) , the Resoшce Block Bш1dl es at tl1e loweг and нррег end s ofthe Bandw idth Ра гt may conta iп
feweг Resoшce Blocks. Tl1is depeпd s upon tl1e pos itioп o f tl1 e Bandwidtl1 Рагt witl1in the set ofCommoп Resoшce Blocks. А s ma ll eг
Btшdle is geпe1·ate d wl1e11 tlie end of tl1e B a пd,v idtli Р а гt does по t coincide ,vit/1 an iпt ege г mнltiple of tl1e Bнndle si ze fгo m tl1e
perspective of Common Resoшce Block nшnb e гin g

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 5G NR in BULLETS

Tlie Virtual Resource Block Bundles at the lowe г нпd 1.1рр е г edges of tl1e Bandwidth Рагt are al\vays mapped опtо tl1e Physical
* Resoнrce Block Bнпdles at the \оwег and 1.1ррег edges ofthe Bandwidth Рагt. For example, iftl1e Bandwidth Рагt inclнdes 60 Resource
Blocks and the Bundle size is 4 Resoшce Blocks th eп there may Ье 15 Buпdle s (depending нр оn the boundaries of the Bandwidth Рагt
relative to the set of Common Resoшce Blocks). In this case, Viгt1.1al Bнndle О is mapped onto Physical Bнndle О , and Viгtнal Bнndle
l4 is mapped onto Phys1ca l Bнndle 14
* Tlie remaining Viгtual Bнndles аге mapped onto Physical Bнndles tISing а п inteileaving fнпсtiоп \Vhich is defined as :

Virt1.1al Внпdlе 'j ' is mapped to Pl1ysical Внпdlе 'rxC + с'

where, j = 2хс + r
г = О, 1
с= О to С - 1

С = lNьllnd le / 2 J
* As an examp le, coпs id e г the case of а Bandwidth Рагt wh ich has 15 Bнпdles (С = 7)

0 Virtнal В нп d l е I coпespo nd s to j = 1, i.e. с = О and г = 1 ⇒ Viгt11al Bнndle l maps onto Physica l Bнndle ' 1х 7 +О = 7'

0 Virtual Bund le 2 coпesponds to j = 2, i.e. с= 1 and r = О ⇒ Viгt1.1al B11ndle 2 maps onto Physical Bнndle 'О х 7 + 1 = 1'

0 Vi1·tual Bundle 3 co пespo nd s to j = 3, i.e. с = 1 and r = 1 ⇒ Viгt11al Bнndle 3 maps onto Physical Bнndle ' 1х 7 + 1 = 8'
о and so fo 1·th
* F i gщe 173 illн s t1·ates the mapping ofViгtнa l Bнпdles onto Pl1ysical Bнndles fог the examp le of 15 Bнndles w ithiп the Bandwidtl1 Part

Bundles of Virtuol Resource 8/ocks

о 13 14

Virtuo/ Resource 8/ock

Bundles mapped onto
Physico / Reso urce 8 /ock
Bundles

13 14
Bundles of Physico/ Res ource 8 /ocks

F igш· e 173 - Mapp i11 g of Vi r·tua l Resouгce Вlock Bu11dles onto Pl1ysical Reso11rce Block Bu пdl es (iпter· leaved шapping)

* 3GPP Refeгences: TS 38.214, TS 38.33 1, TS 38.211 , TS 38.212

3.6-4.3 SEMI PERSISTENТ SCHEDULING

* Semi-Peisi stent Schedнlin g (SPS) гefers to а combination of persisteпt and dynamic schedнling:
о per·sistent sc l1 edнlin g is н sed to allocate peгiodic resoшces ,vhich ar·e inte11ded for the first tгansmission ofTгansport Blocks
о dy11amic s c l1 edнliп g is t1sed to allocate геsо шсеs fo1· гe- tгa nsmi ss i ons, as and when геqнiгеd

* SPS is sнitaЫ e fог app li cat ioп s li ke Vo ice оvег NR (VoNR) wheгe data aпives in pet·iodic bшs ts , i.e. VoNR packets aпi ve опсе every
20 ms. The 11se of pe1·sistent scl1edt1l ing redнces the ove1·l1ead gene1·ated Ьу Dowпlink Cont гo l I пformation (DCI) о п tl1e PDCCH. Tl1e
PDCCH is 11oгmally геqнiгеd to allocate нpliпk апd do\vпlink resoшces every time а connection пeeds to tганsfе г data. The pe гs i stent
sc l1edu liп g compone11t of SPS does 11ot reqн iгe а11у PDCCH sig11alli11g once SPS l1as Ьее11 activated

А UE нses tl1e doll'l1li11kSPS flag \Vitl1i11 the Р/1у- Рага111 еtегsС0111111011 pa1·t of its UE Capability iпformatioп to indi cate sнррогt for SPS
* SPS t1ses а co mЬiпatio11 ofRRC sig11alli11g ап d Pl1 ysica l laye1· s i gпa lliпg оп tl1e PDCCH. RRC s i gпa lli11 g pгov ide s а s нbset of tl1e
геs он гс е all ocatio11 i пfoгm a tioп. The re m a i niп g iпform a ti o п is p1·ov id ed Ьу tl1e PDCCH wl1i cl1 also acts as а 11 ac ti vat i o п t1·igge1·. А
sнb seq н eпt PDCCH tгa п s mi ss ioп са п Ье Lised as а deactiva ti oп tгi gge1·

* SPS сап Ье гapi cll y ac tivated а пd deacti vated Ьу tl1e PDCCH. Iп tl1e case of а speecl1 call , SPS сап potentiall y Ь е acti va ted wl1e11 tl1e
to talk апd deacti vated \Vl1e11 the н sе г s taгt s to liste11
\t se г s ta гt s

* Tl1e RRC p aгa meter stгL1 c tшe Lised to c oпfi gшe SPS is illн s tгated iп ТаЫ е I О 1. This parame teг stп1ctшe does поt acti vate SPS Ьнt
pгo v id es tl1e UE \'iith s нfficient infoпnatioп to allo,v sнb seqL1 e 11t a ctiv a tioп Ьу tl1e PDCCH

2 03
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SPS-Con_/ig
periodicity 1О, 20, 32, 40, 64, 80, 128, 160, 320, 640 ms
nrofНARQ-Processes 1 to 8
nlPUCCH-AN PUCCH-Resourceld 1 010127
mcs -TaЫe qam64Lo,vSE

ТаЫе 101 -SPS-Conjig parameter structure

The pel'iq_dicity defines the time interval between consecL1tive persistent resource allocations. Resource allocations are provided ivith '
* slots which satisfy the following condition: in

(Numbeг of Slots Per Frame х SFN + Current Slot NL1mber in the Frame) =

[ (Nllmber of Slots Per Frame х SFNsтARт + SlotsтлRт) + (N х pel'iodicity х Number of Slots Per Frame / 1О)] modнlo

( 1024 х Number of Slots Per Fгam e)

wheгe, SFNsтлRт and SlotsтлRТ corгespond to the System Frame Number (О to 1023) and slot number where the fiгst PDSCH resot1rccs
are allocated based upon the 'Time Domain Resouгce Assignment' field within the DCI . The гange of the slot nllmbeгing depends tipoii
the nllmerology. For example, the 15 kНz subcarrieг spacing has 1О slots per frame so the slot numbe1· ranges from О to 9, \Vhereas tlic
30 kНz subcarrier spacing has 20 slots per frame so the slot numbeг ranges from О to 19
* In the case of dynamic resource allocations, the НARQ process identity is specified within the DCI associated with each individual
resource allocation. А UE does not receive DCI for each individllal transmission when using persistent scheduling so 3GPP has
specified а calcнlation to determine the HAR Process Identity:

HARQ Process Identity =

[flooг (Current Slot NнmЬег in the Fгame х 1О/ (Number of Slots Рег Frame х pel'iodicity)] modlllo nгofНARQ-P/'O cesses

where, 'peгiodicity' and '111'ojНARQ-P1·ocesses' are provided within tl1 e SPS-Config paгameter structure presented in ТаЫе IО 1
* п 1PUCCH-AN is нsed to specify tl1e identity of the PUCCH Resource which is to Ье used fог rerumin g HARQ Ackлowledg em e пt s to
tl1 e Base Station. Eitheг PUCCH Foпnat О or PUCCH Fo1mat I can Ь е used fог this purpose
* mcs- TaЬ/e is used to confi gнre the MCS Та Ы е fог SPS tran smissions. Ift his information element is inclL1ded tl1en it can 011ly lш ve а
si11g le va lue of ' qam64LowSE ' and iл thi s case, the low spect1·al e ffi c i e п cy tаЫ е is н s ed. Oth eгwi se iftl1e informatioп e l e m e пt is
exc lllded, апd if тсs- ТаЬ/е within PDSCH-Config is set to ' qam2 56', апd DCI Foгmat 1_ 1 is н s ed to acti vate tl1e SPS, th e п tl1e
256QАМ tаЫе is Llsed. Otheгwise, tl1e 64QAM tаЫ е is LISed. The selection 11.1les are sllmmaгi s ed in Figшe 159 iп secti on 3.6.1

* The Base Station mllst also allocate а CS-RNТI to the UE Ьеfоге activating SPS. The CS-RNТI is used to address the U E on tl1 e
PDCCH when activatiлg ог deactivating SPS (ог when allocatiпg dynamic гesoнrces fог гe-traпsmissions). The CS-RNП is allocate(l
LISing the Pl1ysica/Cel/G1·oupC011fig рагаmеtег stп.1ct\1гe
* А UE also validates the content ofthe DCI after гeceiviпg а PDCCH traпsmission for SPS activation or release. Validation is base(l
uроп checking th e valL1es assigned to specific fields withiп the DCI. The fields нsed fог validation аге presented iп ТаЫ е 102

SPS Acti,,atio11 1
SPS Deactivatio11
DCI Fon11at I О 1 DC I Foп11at 1 1 1
DCI Fonпat 1_0
HARQ Process Number ' 0000'
Redнnda11cy Version '00 '
Modнlation a11d Coding Scl1eme 1101 нsed for validation ' 11111'
1
Freqн e11cy Domai11 Resource Assig11111e11t 11ot нsed for validatioп 1
all ' l 's

ТаЫе 102 - DCI payload patter·ns used to validate SPS activation and deactivatioп

* The New Data Indica toг (NDI) field within the PDCCH is нsed to indicate that а гe-tran s missioп l1as been schedнled . No пna ll y, tli e
NDI is toggled b etweeп О апd 1 to iпdicate that а п еw t1·aп s miss io11 has Ь ееп sch edнl ed , or kept at the same vа\не to iпdi cate tliat а 1·e-
tгan smi ss io11 l1 as Ьееп scl1 edнled. This approach геqнiгеs а pгeviolls valн e ofNDI so th e UE сап dete1·miп e ifit has toggled 01· 1·emai пcd
the same. Iп th e case o f SPS, theгe is no previolls va lн e Ьесанsе tl1 e PDCCH was not L1sed to scl1 edнle tl1 e original t1·ansmissio11 . l п tli c
case of SPS, an NDI va lнe of 1 i11dicates th at а re-t1·a11smissio11 l1 as been schedL1l ed
* 3GPP Refe1·ences : TS 38.2 13, TS 38.2 14, TS 38 .33 1, TS 38.2 12, TS 38. 32 1

2 04
 5G NR in В ULLETS

3.6.S RESOURCE BLOCK BUNDLING

UE t1se the Demodнlation Reference Signal (DMRS) to estimate tl1e downlink propagation channel. The гesнltant channel estimate
* lielps the UE to decode tl1e downlink data. The ассшасу oftl1e channel estimate depends нроn tl1e density ofResoшce Elemeпts which
are allocated to the DMRS. High deпsities help to increase а ссшасу Ьесанsе the UE сап increase aveгaging and redt1ce the impact of
noise. The ассншсу ofthe channel estimate also depends нроn the nнmber of P.esoшce Blocks across which the channel estimate is
mea sнred. Measшing acгoss а largeг nнmber ofResource Blocks also allows increased averaging and leads to а better resнlt

* Air-interface scenarios withoнt any delay spread experieпce tlat fading. This means that all Resource Blocks expe1·ience the same
fading and there is по freqнeпcy dependence. In this case, there is scope to нsе а large nнmber ofResoшce Blocks to estimate the
propagation channel Ьесанsе all Resoшce Blocks experience the same channel
Delay spread introduces fгeqнency selective fading and the concept of coherence bandwidth. А laгge delay spread соггеsропds to а
small coherence bandwidth. А small coherence bandwidth means that the separation oftwo frequencies whicl1 have нncoпelated fading
is small. In coпtrast, а small delay sp1·ead co1тesponds to а large coherence bandwidth. А large coherence bandwidth means that the
separation oftwo frequencies wl1ich have uncoпelated fading is large

Iftl1e delay spгea d is s uffi c i e пtly small theп fadiпg will арреаг tlat because the coheгence bandwidth will Ье greateг tl1an the bandwidtl1
* oftlie tran smitted s i gпal. lfdelay spread is st1fficiently l a гge then fading will Ье fгeqнency selective and the UE will not Ье аЫе to
asst1me а s iпgl e chanпel estimate is applicaЫe acгoss the whole bandwidth ofthe received signal

From the UE p e гs p ec tive, pгecoding applied Ьу the Base Station is pa1t ofthe pгopagation clшпnel. This means that the Base Station
* precoding са п also impact the channel estimatioп ргосеdше at the UE. Figure 174 illt1strates an example wheгe the Base Statioп
divides the set ofResoшce Blocks into groнps of 4 and applies а different set ofprecoding weights to each gгонр. This leads to the UE
expeгienciп g а diffeгent pгopagation cl1anпel fo1· eacl1 gгонр of 4 Resoшce Blocks, and the UE has to estimate the cl1a1111el sepaгately
fo1· eacl1 gгot1p

Resource Blocks Ch annel Estimates

Precoded at th e generat ed from the
Precoding Base Station DMRS at the UE Chonnel
Weights 1 Estimate 1

Precodin g Channel
Weights 2 Es timate2

Propagation
Precoding Channel Channel
Weights 3 Es timateЗ

Fi gш·e 174 - Use of P.-ecodi11g Resoш· ce Block G.roups (PRG) for· UE Chanпel Estiшatioп

* Physical Re soшce Block (РRВ) Bundliпg allows the UE to assнme that all Resoшce Blocks within а bt111dle ехрегiепсе а simila1·
pгopagation clшnпel. Fог example, ifa UE is told that а РRВ Bt111dle iпcludes 8 РRВ theп the UE сап нsе the DMRS across all 8 РRВ
to gcnerate а siпgle cha1111el estimate. This allows the UE to gепегаtе ап accurate cha1111el estimate Ьесан sе the result is based нроп а
relatively la1·ge numbeг ofDMRS Resoшce Elemeпts . Ifa UE is told that а РRВ Bt111dle iпclнdes 2 РRВ theп the UE is limited to нsiпg
tl1e DMRS across опlу 2 РRВ. Iп gепегаl, this leads to а less ассшаtе гesнlt. It also meaпs that the UE has to geneгate а lai·ger пнmЬеr
of cl1a1111el estimates to pгovide гesнlts fог all received РRВ, i.e. the UE processiпg гequiremeпt iпcreases

* Tl1e beпefit of а small РRВ Btшdl e is that the Base Station сап perfшm fi·equeпcy selective precodiпg with increased resolнtion. This
pгovides the potential fог impгoviпg tl1e peгfoгmance ofMIMO апd beamforming. The dгa\vback of а small PRG si ze is tl1at сhаппеl
es timatioп becomes тоге cl1alle11ging fог the UE. The loss iп chaпnel estimation ассшасу may oнtweigh tl1e gaiп in MIMO апd
beamfo1-miп g perforn1a11ce. Iп tl1is case, tl1e пнmЬег ofDMRS Resoшce Elemeпts рег Resoшce Block са п Ье iп cгeased to help
c ompeп sa te fш а small PRG size

* The tгaпsmi ss ioп scl1eme сап impact tl1e гeqнi1·ement fог а specific РRВ Btшdliпg size. А t1·a11 smission scl1eme \Vhicl1 uses
bcamfoгmiп g сап beпefit fгom а small e1· РRВ Bш1dlin g size because it allo\VS th e Base Statioп to adjнs t the pгecodin g wei gl1ts \Vitl1
l1igl1eг гeso lt1ti on. Tl1is l1 elps to impгove the а ntеппа beam di1·ecti vity а пd ga in. Mt1lti-User MIMO (M U-MIMO) traп s mi ss ion scl,emes
са п also b e п e fi t fгom а s mall e г РRВ Bш1dli11 g size Ь е с а н sе it p1·ovides tl1 e Base Station \Vitl1 in c гease d tl ex ibili ty ,vl1e11 gгoнpin g UE to
гece i ve th e i г d o,v пlin k data о п tl1 e sa me tim e/fгe qн e п cy геsо шсеs, i.e. it beco mes easie1· to sepa1·ate tl1 e tгa п s mi ss i o п s towaгd s eacl1 UE.
Tгa n s111i ss i on scl1emes н s iп g РRВ level Р гесоd ег Cyc liпg also 1·еqнiге small РRВ B нndl e sizes. Р гесоd ег Cyc liп g is applicaЫ e to ореп
loop tгaпs mi ss ion scl1 emes \Vhi ch do not геqнiге fee dback fгo m the UE. Tl1e Base S tati oп cycles thгoнgh а se1·ies ofpгecodiпg weigl1ts
\Vl1i cl1 l1elp to гaпdomi se tl1 e pгopaga tioп cl1aпn e l апd improve the p1·obabili ty of s нccess fнl 1·eceptio11
* Reciprocity based tгans mi ss ion scl1emes (typicall y applica Ы e to TDD) сап н sе lа гgег РRВ Bt111dling sizes. Tl1e B ase Station н ses
upliпk measшe ments fгom th e S oнnding Rеfегепсе S ignal (SRS) to ideпti fy tl1e downlink propagation chaпne l. Tl1e SRS all ows tl1 e

205
5G NR in BULLETS

downlink propagation channel to Ье measured with high resolution. The Base Station сап then generate precoding weights for
individua\ subcarriers or groups of subcarriers rather than groups ofResource Blocks. This helps to ensure that the pгopagation ch
viewed Ьу the UE appears continuous in the frequency domain, rather than having step changes between Resource Block Groнps а~псJ
significantly differeпt sets ofprecoding weights have been applied. This high resolution precoding сап reduce delay spread and 11 \V crc
increase the coherence bandwidth, i.e. the propagation channel moves closer to having flat fading. In some cases, theгe 111ау still ~tis
changes in the precoding weights ifthe SRS transmissions are not wideband. For example, а UE may Ье configured to transmit th е S!cp
SRS across а relatively small number ofResource Blocks and then to use mнltiple transmissions at different times to cover the \Vhe 1
bandwidth. This leads to channel measurements which have а time dependence and so the channel may not appear совtiщюнs acroo с
the whole bandwidth ss

The РRВ 'вundling size should also Ье aligned with the type of resource allocation. If а UE is allocated non-contigнous Resoшce
* Blocks, or non-contiguous Resource Block Groups then а small РRВ Bundling size is likely to Ье nюre appropriate. If а UE is
allocated contiguous Resource Blocks then а larger РRВ Bundling size may Ье appropriate
UE experiencing high SINR сап benefit from а small РRВ Bundling size because the additional precoding resolution сап provide gai
* while channel estimation is made easier Ьу the good channel conditioпs. UE experiencing low SINR сап benefit from а laгge PRB ns
Bundling size Ьесанsе the focus needs to Ье placed upon improving the channel estimate which becomes гelatively challenging \Vlien
the SINR is poor
3GPP TS 38.214 introduces the concept ofPrecoding Resource Block Groнps (PRG) which coпespond to РRВ Bнndl es, i.e. а PRG is а
* set of contiguoнs Resoшce Blocks from which the UE сап generate а single channel estimate. The Resoшce Blocks beloпgiпg to а
PRG are assнmed to experieпce similal' channel conditions and l1ave the same precoding applied Ьу the Base Station
3GPP has specified that when receiving а PDSCH tt·ansmission which has been scheduled using ап SI-RNTI, RA-RNТI, P-RNТl or
* TC-RNТI, the UE assumes а PRG size of2 Resource Blocks
For othel' PDSCH t1·ansmissions, the UE assнmes а defaL1lt PRG size of2 Resource Blocks нnless the Base Station has pl'ovided 'pгb­
* BundlingType' infol'mation нsing RRC signalling. 'p1·b-B1111dli11gType' infol'matioп сап instn1ct the UE to l\Se eitl1e\' а stati c ог dyna 111 ic
PRG size. The options fol' both cases а\'е p1·esented in ТаЫе 103 . Wheп L1sing а dynamic configuгatioп , 2 Bllndle Size Sets са п Ье
configu!'ed. Dowпlink Control Information (DCI) оп the PDCCH is н sed to switch between the dynamic configul'ation valt1es

p1·/1-B1111dli11g 1)•pe
CHOICE
Dy1ia111ic
S1a1ic
Вшкll с Si ze Sel 1 Bш1dlc Size Sel 2
4, or 4, or 4, or
,v idebaпd ,videba пd , 01· ,videbaпd
2 - ,videband, or
4 - ,videba11d

ТаЫе 103 - PRG sizes ,vl1ich сап Ье configured 11singprb-B1111d/i11gType

* In the case of the static configuration, the UE сап Ье instructed to assllme а PRG size of 4 Resource Blocks, 01· а widebaпd set of
Resoшce Blocks. It is not necessal'y to have the option to configшe а PRG size of2 Resoшce Blocks becaL1se that is the defa11lt
assнmption, i.e. tl1e UE assнmes а PRG size of2 Resoшce Blocks ifthe Base Station does not pгovide tl1e 'p1·b-Bu11dli11gType'
info!'mation. The 'wideband' vallle indicates that the UE shoL1ld assL1me that all ofthe al located Resoшce Blocks beloп g to а s iп g l e
PRG
* 3GPP specifies that the UE shollld always Ье allocated contiguolls Resoшce Blocks when configшed with the ' wideband ' PRB B11ndlc
size (applicaЫe to botl1 static and dynamic configul'ations)
* In the case ofthe dynamic configшation, and \'eceiving а PDSCH resoшc e a llocatioп 11sing а C-RNТI ог CS-RNTI with:
о DCI Format 1_0, the UE assllmes а PRG size of2 Resoшce Blocks
о DCI Foгmat 1_ 1, the UE l\ses the 'РRВ bundling size indica toг ' fгom within tl1e DCI to dedL1ce tl1e PRG size
* Tl1e 'РRВ bunclling size i11dicato1·' occupies 1 bit within DCI Fo1mat 1_ 1 (this 1 bi t is only inclL1ded wl1eп нsiпg the dynamic
coпfigшation)

о if set to 'О' tl1e11 tl1 e UE as s ш11 es th e PRG size fгom ' Bнndle Size Set 2 '. This сап Ь е e itl1 e г '4' ог 'wideband'
о ifset to ' 1' апd а s iп g l e va lпe l1 as Ьееп coпfi gшed fог 'Bнnd l e Size Set 1' theп нsе tl1 at va lнe. Tl1is сап Ье eitl1 eг '4' ог ' \,,idcbati<J '
о if set to · 1' а пd two va lн es l1aYe Ь ее п coпfigшed fo1· · вш1d l е Size Set 1' th e п llSe tl1e 'wide baпd ' valнe if tl1 e allocated Reso t1rcc
B locks аге co пti gнoн s а пd tl1 ey occt1py mоге tl1 a11 l1 a l Г ofthe Ba11dwidtl1 Р агt. Otl1 eгw i se t1se th e fi 1·st val11 e, \Vl1icl1 сап Ье citlicr
' 2' 01· '4'
* 3GPP Refeгeпces: TS 38.2 14, TS 38.2 12, TS 38 .33 1

2 06
 5G NR in BULLETS

3.6.6 PRE-EMPTION
Iftlic utilisation ofRcsoшce Blocks withiп а Bandwidth Part is higl1, then it may Ье necessary for high prioгity services with low
* late пcy 1 ·equiгemeпts to pre-empt Resoшce Blocks which have already been allocated to anotheг connectioп. This type ofpre-emption
is illust1·ated iп Figшe 175
* In this example, the Packet Schedнleг has allocated а Ыосk ofResoшce Blocks to а moЬile broadband connection. The Base Station
receives some high priority do,vnliпk data fш а low latency application dшing the transfer ofthe moЬile bгoadband data. The Packet
Scheduler recognises the reqнiremeпt fог low latency and immediately schedнles resoшces withoнt waiting for existing resouгce
нllocatioпs to complete. Figшe 175 illt1strates two example геsошсе allocations for the low latency data. Tl1e fiгst геsошсе allocation
does not impact the existing moЬile broadbaпd a\location, wheгeas the second resoшce allocation pгe-empts some ofthe moЬile
broadbaпd гesources

Symbols
◄ ►

Moblle
Broadband
Resource
Reso urce
Allocatian
8/ocks

Low Latency Low Latency

Resource Allacation 1 Resaurce Allocation 2

Figш·e 175 - Existi11g Moblle B1·oa(lba11d r·e soш·ce allocatioп pre-e111pted Ьу а п е,v Lo,v Lateпcy 1·еsо11пе allocatioп

* P1·e-emptio11 is likely to geneгate Ьit епогs апd сап also соггuрt the contents ofthe HARQ soft comЬiп iп g Ьнffег. Noгmally, whe11 а UE
cletects а Ьit е пог, it ,vill bttffeг tl1e гeceived data and send а пegativ e acknowledgement to tгi gge 1· а гe- t1·a11s mi ss i o11. Tl1e гe­
t1·a11sm i ss ioп is tl1e11 comЬiпed witl1 tl1e oгigiпa l t1·ansmissio11 witl1i11 tl1e so ft comЬiпiпg bttffeг befo1·e attemptiп g to decode а seco пd
time. Wl1 e п pre-e mptioп l1as оссштеd , tl1e soft co 111Ьiпin g Ьнffег iп c lнd es some samples wl1icl1 do поt belong to tl1e expected
tгaп s 111i ss i o11 . Tl1is 111eans tlшt soft co mЬiniп g is по longe1· co111Ьiпi11 g t\vo veгs ioп s oftl1e same s i gпal

* ЗG РР lш s inti-odttced two so lt1tions to l1elp manage tl1e impact ofpгe-e111ptio11. Tl1e fiгs t so lнtion is based нр о11 а 'Flt1sl1 Tпdi cato г '
11,itl1i11 DCI Foгmat 1_ 1. Tl1e sec oпd s o lнti on is based нроn а set of 'P гe- e mption Indications ' witl1i11 DCI Foгmat 2_ 1
* DCI Foгmat 1_ 1 сап iпclнde а Code Block Gгottp (CBG) Flнshing онt TnfomJation (CBGFI) field. It is optional for а UE to st1ppo1·t
tl1is field so the UE capaЬility infoгmation
l1as to Ье checked. А UE ttses the cbg-F/uslilndication-DL infoгmation element within tl1e
Р/1у-Ршш11 еtаsС0111111011 рагаmеtег stгнсtше to indicate whetheг ог not it sцppo1·ts the CBOFI field. In addition, the Base Station l1as to
епаЫе the нsе of the CBGFI field нsiпg RRC signalling. Tl1is is dопе ttsing the coc/eВ/ockG1·oupF/ushl11c/icato1· infoгmation element
1vitl1in the PDSCH-CodeВ/ockG1·oupT1·a11s111issio11 рагаmеtег stп,ctшe. This рага111еtег stгнсtше and infoг111ation element are presented
i11 ТаЫе 104

PDSCH-CocleB/ock C1·0 11pTгm1s111iss io11

maxCodeBlockGroupsPerTransportBlock j 2, 4, 6, 8
codeBlockGroupFlusblndicator j BOOLEAN
ТаЫе 104 - lnfor·mation еlешепt used to еnаЫе tlre Code Block G1·011p Fluslt Indicator ,vithiп DCI Fo1·mat ]_\

* Ifthe CBGFI field is iпclllded ,vitl1i11 DCI Foгmat 1 1 wheп allocating геsошсеs for а гe-tгans111i ssioп, then а va lнe of ' О ' indicates tl1at
tl1c µгev ioн s ly гeceived veгsioп(s) ofthe CBG wl1ich аге being гe-tгansmitted may Ье coп1.1pted and so the soft comЬining bнffeгs
slюнld Ье flнsl1ed before popн!atiпg ,vitl1 tl1e newly гeceived data. !11 contгast, а va lн e of' 1' iпd icates tl1at the p1·evioнsly гeceived
vc гsioп( s ) ofthe CBG са п Ье co111Ьined with tl1e newly гeceived data

* DCI Foгm at 2_ 1 is ttsed to sigпal пр to 9 sets ofpгe-emption indications. А single set н ses 14 Ьits to 1·ep1·ese11t 14 pгe-e111ption
i11dicatio11s, i. e. DCI Foпnat 2_ 1 l1as а maxi111llm payload size of 9 х 14 = 126 bits. DCI Foпnat 2_ 1 is addгessed to опе ог 111оге UE
нs iп g ап ' iпteпllptioп' RNTI (int- RNТI) . Tl1e int-RNTl is llsed to sсга 111Ы е tl1e CRC bits be l oпg in g to DCI Foпn at 2 1. All UE wl1icl1
cx tгact а set ofp1·e-e111ptio11 iпdi catioп s f1·0 111 а specifi c DCI Fo пna t 2_ 1 t1·a11smi ssion sl1a гe tl1e sюne i11t-RN ТI . S i111ii;;г to DCI Fo пnats
2_0, 2_2 а пd 2_3, DCI Fom1at 2_ 1 is ca tego гi sed as pi-ov id iп g 'UE Gюllp ' co mmoп s i gna lliп g becattse а gгollp ofUE сап ex tгact
co11tc11t fю111 а s iп g l e tгa11 s 111i ss i o 11
* Tl1e Base Station tlses RRC sig11alling to co 11fi gшe а UE to llSC DCT Foпna t 2_ 1. Та Ы е 105 µ1·eseпts tl1e Do 11111/i11kP1·ee111ptio11
pai·a m e teг s t,·нctшe н sed fог tl1is рш·ро sе. Tl1is рага111 е tе 1· st пr c tшe is tlsed to allocate an iпt-RNТI. It also specifies tl1e total DCT
payload size апd the position ,vithiп tl1e payload wh eгe the UE са11 fiпd its set of 14 pгe-e 111ptio11 iпdica tioп s

2 07
5G NR in BULLETS

D01,,11/i11kP,-ee111ptio11
int-RNТI О to 65535
timeFrequencySet setO, setl
dci-PayloadSize О to 126 Ьits
iпt-CoпfigurationPerServingCell 1 to 32 iпstaпces

serviпgCellid 1 0 !О 31
positionlпDCI 1 О to 125
ТаЫе 105- Parameter structure used to configure Do,vnlink Pre-emptioп notifications

The timeF1·equencySet information element indicates the method used to interpret the set of 14 pre-emption indications
*
If t~meF1·equencySet = 'setO' then the PDCCH monitori_ng_ perio_d is divided into 14 t!me dom~in iпter~al_s . The PDCCH monitoring
* perюd coпesponds to the perюd ofthe Search Space w1thm wh1ch DCI Format 2_ 1 1s tl'ansm1tted. Th1s 1s configured using the
mo11itoгi11gS/otPe1·iodicityAndOjfset information element within the Seш·chSpace parameter structure. This period сап Ье set to 1, 2 ог
4 slots when configuring DCI Fo1mat 2_1. This means that each ofthe 14 time domain iпtervals сап have а duration of 1, 2 ог4
symbols wheп using the normal cyclic prefix
Thel'e is а one-to-one mapping betweeп each pre-emption indicatioп and each time interval preceding the Sea1·ch Space witl1in ,vliicli
* DCI Format 2_1 has been received. The pl'e-emption indication is set to '1' if апу of the Resoшce Blocks within the time inte,·val ащ\
within the active dowпlink Bandwidth Part were pre-empted. The нрреr half of Figure 176 illнstrates example sets of pre-emptioп
indications for ti111eF1·eque11cySet = 'setO' when the Search Space period is 1 and 2 slots. These examples are based upon the pre-
emption illнstl'ated in Figшe 175 . In the case ofthe 2 slot period, it is assumed that the pl'e-emptions occurl'ed during the seco пd slot

1 slot period for РОССН Search Space 2 slat period far РОССН Search Space
(14 symbols) {28 symbo/s)
◄ ► ◄ ►

Symbols
11 • r ■ 1r111 1Jifll1J [llllll 1■
timeFrequencvSet О
[ 1 1 1 1 1 1
14 Ьit pre-emption
Ьitmap from ОС/

О О 1 1 1 О О 1 1 О О О О О 00000000111100

timeFrequencvSet 1
1- t L______l_, -

-- ■
14 Ьit pre-emption
Ьitmap from ОС/

о, о О, О о, о о, о 1, О 1, 1 о, о

Figш·e 176 - Ехашрlе pre-eшption indications for SetO and Setl assuming 1 01· 2 slot sea1·cl1 space periods

* If timeF1·equenytSet = 'setl' tl1en the PDCCH monitoring period is divided iпto 7 time domain inte1-vals апd 2 fteqнen cy domai11
inte1-vals. Each freqнency domain inte1-val coпespoпds to half of the active downlink Bandwidt\1 Part
* There is а oпe-to-on e mappiпg betweeп each pre-emptioп iпdicatioп апd each time/fгeqнeпcy iпterva l precediпg the Searc\1 Space
witl1iп which DCI Format 2_ 1 l1as Ь ееп received. The pre-emptioп indicatioп is set to '1' if а пу of tl1e Resoшce Blocks withiп the
time/fieqнeпcy iпte1·va l and witl1in tl1e active dowпliпk Baпdwidt\1 Part were pl'e-empted. Tl1e lowe г l1alf of Figшe 176 illustrates
example sets ofpre-e111ptioп iпdi catioп s fo1· ti111eF1 ·eq11e11cySet = 'setl' wl1en tl1e Seaгcl1 Space pel'iod is I а пd 2 slots. Tl1ese examplcs
ai·e also based нроп the pre-e111ptio11 illн s t1·ate d iп Fi gшe 175
* Tl1e рге-е111рtiоп indi catioпs l1ave limited гeso lнtioп so iп gen eгa l, tl1ey indicate а l1igl1er level ofp1·e-e111ptioп thaп tl1e levcl tl1at Iias
actually оссштеd. Tl1e fi1·st pre-e 111ptioп iп Fi gшe 175 does поt impact tl1e moЬil e broadbaпd 1·еsошсе a llo ca ti oп а пd so tl1e Base
Stat ioп may decide to exclt1de tl1is pre-e 111ptioп from the set of рге- е 111рtiоп iпdicatioп s. Tl1is avoids tl1e UE discaгdiп g data
шш ecessai·il y . Ifthe set ofpre-empt i oп iпdicatioпs are нsed Ьу mнltipl e UE theп it шау Ь е п ecess ai·y to inc lнd e the рге-е шрtiоп
Ьесанsе it шау have l1ad ап impact t1pon at least опе oftl1e UE. The pгe-e mptioп iпdi cat ioп s ,vill not impact а UE ifthe re l eva п t
dowпliпk data has Ьееп decoded sнccessfнlly

208
 5G NR in BULLETS

RESERVED RESOURCES
rieserved Resources are t1sed to indicate tl1at specific Resoшce Elements are not av ailaЫe for reception ofthe PDSCH

Reserved Resourc_es_ help to ' fut:1.1~·e ~roor the 3GPP spec_ifications, i.e. pгo v id e to rwaгd s compatibility. For example, if а ne\v
* Refei·ence Signal 1s шtrodt1ced \Vtthш the 1·elease 17 versюn of the spec1ficattol'S then а гelease 15 UE \Vtll not have any knowledge of
tl at Kefei·ence Signal. The new Reterence Signal will generate bit errors if it is tгansmitted across the Resoшce E lements where а
\ease 15 UE expects to гeceive the PDSCH. Reserved Resources can Ье t1sed to iпform the гelease 15 UE that it sl10t1ld not attempt
~:ception of th e PDSCH within the Resource Elements used Ьу the new Refeгence Signal
Reserved Resources can also Ье t1sed in the context ofL ТЕ / New Radio (NR) spectn1m shaгing. Iп this case, the LТЕ and NR carгiers
* осснру tl1e same spectrum. The packet schedt1lers belonging to the L ТЕ and NR teclшologies can co-ordinate to avoid collisions
between the LТЕ and NR PDSCH transmissions. However, L ТЕ cells will transmit the Cell specific Reference Signal (CRS) across the
cli a ппel bandwidth. The NR cells will have to avoid transmission on the Resoшce Elements allocated to the L ТЕ CRS otherwise the1·e
,vill Ь е interfeгe nce towaгds the L ТЕ cell. Tl1e Resoшce Elements allocated to the L ТЕ CRS can Ье configured as Reserved Resoшces
toi· UE receiving data on the NR cell. This avo ids those UE fгom attempting to decode the PDSCH from Resoшce Elements that
in c lнd e the LTE CRS . Similarly, the LTE cells will bгoadcas t tl1e LTE Syпchronis a tion Signals and РВСН so additional Reserved
Reso шce s сап Ье co nfigшed to avo id NR UE from attempting to decode the PDSCH from those Rеsонгсе Elements

Т1 1 е fo llo \v iп g sections describe the solutions fог configшing Rese гved Resoшces
*

3.6.7.1 LTE SPECIFIC PAТГERNS

* Tl1e RateMatcl1PattemLTE-CRS р а гаmеtег st11.1ch.1re shown in ТаЫе 106 can Ь е used to coпfigшe Reserved Reso шces based нроn tl1e
patterп geп eгate d Ьу the LТЕ Cell specific Refeгence Signal (CRS). This p a гa mete r s tп.1ch.1re са п Ь е iпclt1ded withiп e ithe1·
Se,-vi11gCel/ConjigC0111111011 ог Se1·\li11gCe/lC011jig
* The ' Rate Matching' teгm is н se d becat1 se Reseгved Reso шces pttn c h.1гe th e noгm a l PDSCH геsошсе s . Physical l а уег Rate Matching
lias to adj н st tl1e nttmb eг ofbits afte1· cl1ann el cod ing to ассо нпt fог the гedt1ced пumЬег ofResoшce E l e m e пts ava il a Ы e to tl1 e PDSCH

Rшe Mшcl1Pattem L 7E-CNS

carrierFreqDL О to 16383
ca rri erBa11d,vidtl1DL 11 6 , 111 5 , 1125, 11 5 0 , 117 5 , 11\ ОО

шb s ft1 -SнbfтaшeC0 11fi g Li st 1 to 8 i11sta11ces of EUTRA-MBSFN-S11bjiш11eC011fig

шo tcRS -Ports nl , 112, 114
v-Shift 110, 11\,112, 113, n4, n5

ТаЬ\е 106 - RateMatc/1PattemLTE~CRS pa1·amete1· strнctш·e

* cштie1-Fi ·e{JDL defines а sнЬсаггiег offset between NR Refe гenc e Point ' А ' (Figшe 108 in section 2. 3 .1) апd the сепtег of the L ТЕ
c lianп e l baпclwidth.
The гange from О to 16 383 is obtained Ьу allocating 14 bits. The miпimнm 1·ange fог this infoгmation element is
гeqt1ired to Ье 4 х 12 х 27 5 = 13 200, wheгe 4 corгesponds to the maximt1m гatio between L ТЕ and NR st1bca1тieг spacings, 12
corresponds to the nt1mbeг of sнЬсаггiегs per Resoшce Block and 275 corresponds to the maximt1m nнmЬег ofNR Resoшce Blocks

* cш ·гie1-Fi ·eqDL provides flex iЬility

in teгms of the L ТЕ and NR centeг fгeqнenci es, i.e. the two technologies do not need to have the
same centeг fгe qt1 e11cy (пог the sa me chanпel bandwidth) when shaiing spect rнm

* cш ·1 ·ie1-Вa11c/11 1 ic/1/1DL defines the LTE channel bandwidtl1 iв te гm s ofResoшce Blocks, i.e. 6 РRВ ⇒ 1.4 MHz, 15 РRВ ⇒ 3 MHz, 25
РRВ ⇒ 5 MHz, 50 РRВ ⇒ 1О МНz, 75 РRВ ⇒ 15 МНz, 100 PRB ⇒ 20 MHz

* 111 bsf11-S11bfiш11eC011figList allows tl1e specification ofLTE s нbfra mes co nfi gшed fo1· Mнltimedia Broadcast Mu lticast Seгv i ces
(MBMS) S iп gl e Freqнeпcy Netwo1·k (MBSFN). These st1Ьfгames t1·ansmit tl1e L ТЕ CRS t1siпg а different patteщ i.e. the LTE CRS is
res tгicte d to th e fiгst one ог t\vo symbols wit'1iп these sttbft·ames (the non-MBSFN гeg ion)

* 11гofCRS-Po1·ts specifies the 1шmber of logical antenn a po11s н sed Ьу tl1e CRS witl1in the LTE се !! (antenпa poгts О to 3 belon g iп g
LТЕ). Т\1 е 1ш mЬе1· of Resoшce E l emeпts occнpi ed Ьу t\1 e CRS i11c1·eases as the 11t1mbeг of a11te1111a poгts i11 c1·eases
* 11-S/Jift d e fiп es th e fгеqнеп су clo ma iп pos i ti o п oftl1e CRS \V it l1i 11 а п L ТЕ Reso шce Block. This is а се !! spec ific ра га mеtег beca t1 se tl1e
fгеqнепсу doma iп pos iti oп o ft he CRS depeпd s нроп tl1 e L ТЕ PCf

* Tl1e RateMa1cl1Pa11emL TE-CRS рагаm еtег st1·ucti.11·e does поt de fi11 e Rese 1тed Reso шces fог tl1 e LTE Syпch1·011 i satioп S i gпal s пог tl1e
LТЕ РВС Н . Additioпa l Reseгved Resoшces са п Ье coпfi gшed fог th ese t1·ai1 s 111i ss ioп s н s iпg th e Resoшce B lock B itmap арргоас/1
descгibed in tl1 e п ех t sectioп

* ЗGРР Re fe1·eпces: TS 38.2 14, TS 38.33 l

2 09
5G NR in BULLETS

3.6.7.2 RESOURCE BLOCK PAТГERNS

The RateMatcl1Pattem parameter structure shown in ТаЫе 107 can Ье used to configure Reseгved Resoшces which осснру spe 'fi
* combinations ofResource Blocks and symbols. This parameter structure can Ье inclнded within the Se1·pi11gCel/Co11figCo1111110 / 1 ic
Se1·pi11gCel/Co11fig when defining Reserved Resoшces within а cell. Altematively, the parameter structшe can Ье inclнded \Vit1i· or
PDSCH-Config when defining Reserved Resources within а Bandwidth Part 111

...
Ratei'vfatcl1Pa11eп1 -
rateMatchPattem!d О to 3 -
pattemType С НО!СЕ

bitmaps coпtro\ResourceSet

resourceB locks BIT STRING {SIZE 275} coпtro!ResourceSet ld О to 11

symbolslпResourceBlock CHOICE
oпeS\ot t\voS\ots
11

ВП STRING {SIZE 14} ВП STRING {S IZE 28}

11

periodicityAпdPattem CHOICE
112 n4 115 118 1110 1120 1140
1
2 4 5 8 10 20 40
Ьit s Ьit s Ьits Ьit s Ьit s Ьits Ьit s
'
sub carrierSp ac iп g 15, 30, 60, !120 kHz

ТаЫе 107 - RateMatc/1Pattem pa1·ameter st 1· uctш·e

* 1·ateMatcl1Patten1ld specifies the ideпtity ofthe Rate Matching Pattem. Up to 4 Rate Matching Pattems сап Ье coпfigured witl1i 11 а се!!
i.e. using Se1·pi11gCel/Co11figC0111111011 01· Seп,ingCel/Conjig. Ал additioпa l 4 Rate Matching Pattems can Ье coпfigшed \V itl1i11 а '
Baпdwidth Рагt, i.e. using PDSCH-Conjig

* If pattemType is set to 'Ьitmap s' th e п it is nec essa гy to coпfiguгe а se гi es ofbitmaps which identify the combinations of Resoltl'cc
Blocks and symbols whicl, а 1·е not ava ilaЫ e to th e PDSCH. Figшe 177 illн s tгates exa mples of tl1ese bitmaps wl1e11 гeso ttгces а ге
гeserved fог the L ТЕ Sync lнonisation S i gп a l s (SS) а пd РВСН. Tl,i s examp le ass нmes th at а З MHz L ТЕ cl,ann el is pos iti o п ecl 111i1l1i11а
l a 1·geг NR c l, a nп e l . А fiгst Rate Matcl,ing Patterп is co пfi gшed fог tl,e Sync lнon i sat i o п S i gп a l s 1·ese гvatio11 а пd а second Rate Ma1cl1i11g
Pattem is co пfi gнгed fог the РВСН 1·ese гv a tio11 . T l,is example ass нm es that botl1 L ТЕ а пd NR н sе tl1e 15 kHz s нЬ са1т i е 1· spac i11g

о
о LТЕ subframe NR s/at

}' .. >,:

:jl., ~ .. : .. J
LTE
: ·::· '
Channel . -,

resourceB /ocks
Ьitmap for both 55 periodicityAndPattern
and РВСН patterns Ьitmap for 55 patte rn
(l ength 5)

1 о о о о

1 о о о о о о о о о

periodicityAndPattern
symbolslnResourceB/o ck
00000110000000 Ьitmap for РВСН pattern
Ьitmap s fo r 55 and РВСН
00000001111000 (l ength 10)
patterns (length 14)

Fi gш·e 177 - Bitш a p patteп1s used to Rese1·ve Resources fo1· LТЕ SS апd РВСН (1 5 kHz subcaпie1· spac iп g fo1· botl1 LТЕ апd NR)

* Tl1e1·esoш·ceB/ocks bitmap ideпtifies tl1e set ofResoшce Blocks whicl1 аге поt availaЫe to the PDSCH. Iftl1e Rate Matc l1ing Patte~1. 1s
coпfigшed 1.1 sing Se1·11i11gCel/Co11figC0111111011 ог Se1·pi11gCe/lC011fig theп eacl1 bit belon ging to tl1e гesoш·ceB/ocks Ьitmap coгrespoi1 s

21 0
 5G NR in BULLETS

а cornmon Resoшce Block within the chanлel band,vidth. If the Rate Matching Pattern is configшed нsing PDSCH-Conjig then
::; 11 bit belonging to the l'esoul'ceBlocks bitmap coпesponds to а Physical Resoшce Block within the Band\vidth Part
.., TI е symbolslnResouгceВlock Ьitшар identi fies the symbols dш i ng which the 1 ·eso ш ·ceВlocks Ьitmap shoнld Ье applied. This Ьitmap
" . ~ liave а length of 14 Ьits to span the dшation of I slot, ог а lengtl1 of28 Ьits to span the dшation of2 slots. The example illнstгated
~\igнre 177 t1ses а bitmap wl1ich spans а single slot Ьесанsе the LTE Synchгonisation Signals and РВСН have dшations ofless than
1i\iot. IfNR was t~sing а 30 kНz st1bcaпier spaci_ng then it woнld still Ье possiЫe_ to нsе а Ьitm~p length of 1_4 bits becat1se the LТЕ
Syllcliroпisatюn S1gnals аге fнlly contaшed w1th1n the first half of а st1bframe wh1le the РВСН 1s ft1lly contaшed w1thш the second half
of а st1Ьfraшe
* Tlie paiodicityA11dPattem Ьitmap expaпds нроn the time domain pattern pгovided Ьу the symbolslnResoш·ceBlock Ьitmap. Each Ьit
belonging to the pe1·iodicityA11dPattem Ьitmap c01тesponds to I cycle of the symbolslnResoш·ceBlock Ьitmap . The examples illнst1·a ted
iri Figt1re 177 t1se а Ьitmap length of 5 for the LТЕ Synchronisation Signals becat1se they repeat every 5 slots, and а Ьitmap length of I О
ror tlie LТЕ РВСН Ьесанsе it repeats еvегу I О slots . If the pe1·iodicityA11dPattem Ьitmap is exclt1ded from the parameter structшe then
it is asst1med that the pattern repeats with а period eqнal to the dшation ofthe symbolslnResouгceBlock Ьitmap , i.e. with а pe1·iod of
citlier 1 01· 2 slots
* ЗG РР specifies tl1at the total dшation defined Ьу the comЬination of the symbolslnResoш·ceBlock and peгiodic ityA ndPattem Ьitmaps
s lюuld not exceed 40 ms
* subca1'l'ie1·Spaci11g is i11clt1ded when the Rate Matching Patteгn is configшed нsing eitheг Seп1 i11gCellC011jigC0111111011 01·
Sen1ingCellC011fig. It is not inclt1ded when the Rate Matchiпg Pattern is configшed t1sing PDSCH-Conjig. In tl1at case, the st1bcaпieг
spaci 11g is assLJmed to eqн a l the st1bcaпieг spacing configнгed fог the Bandwidth Рагt
* lf pattemType is set to 'co ntrolResoшceSet' tl1en the Rate Matching Patte гn is based нроn the Resoшce Blocks and symbols which
liave been coпfigшed fог а specific PDCCH Control Resoшc e Set (CORESET). The CORESET itself only specifies the Resoшce
Blocks and а nнmber ofsymbols . It does not specify the timing ofthose symbols. The Search Space Sets associated witl1 the
CORESET mн s t Ье нsed to identify tl1e timing ofthe symbols. AII Search Space Sets linked to the CORESET аге нsed for this ршроsе
* Tl1e reso шces allocated to а CORSET can Ье гes erve d when the CORSET is used Ьу the PDCCH. The 1·ese 1·vatioп са п Ь е cleaгed wl1en
tlie CORESET is not beiпg н sed Ьу the PDCCH. This allows tl1e CORESET геsошс еs to Ье нsed Ьу the PDSCH
* Tl1e Rate Matcl1ing Patterns coпfigшed н s in g eithe1· the bitmap а рргоасh ог the CORESET арргоасh can Ь е dynamically
activated/deactivated нsiп g tl1e 'Rate Matcl1iпg Indicatoг ' fi eld witl1iп DCI Foгmat 1_ 1. Rate Matching P a tteп1 s аге categoгised as
'dy11amic' iftl1ey аге linked to а Rate Matching Patteгn Gгонр witl1in PDSCH-Config
• ТаЫе 108 illt1st1·ates tl1e co 11figшatioп of Rate Matcl1ing Patteгn Gгo t1p s \vithin PDSCH-Config. Tl1e fir·st ГО\V \vithi11 tl1is tа Ы е
co rтcs pond s to tl1c c o11fi g шatio11 of Rate Matcl1ing Pattcгn s t1sing tl1e pa1·ametc1· st11.1ctt1гe pгes e nted in ТаЫ е 107
• 12 itlю 1 01· 2 Rate Matchi11g Pattem Gго нр s са п Ь е configшed. If а s iп g l e gю t1p is co п fig шed tl1en the 'Rate Matcl1i11g I11di ca to г ' field
11,itl1in DCI Fo гmat 1_ 1 гeqt1i1·cs onl y а single Ьit to activate/deactivate that gгot1p. Iftwo g юt1p s аге co пfi guгed then tl1e 'Rate
Matcl1i11g Indicatoг ' field гe qt1iгes two Ьits to activate/deactivate tlюse gгo t1p s
* Бас l1 Rate Matcl1i11g Patteгn Gгot1p can co11tain t1p to 8 Rate Matchiпg Pattems (t1p to 4 cell level pattcгn s and t1p to 4 Bandwidtl1 Рагt
pattems). Tl1e t1nion of all patte гn s witl1i11 а gгонр is нs e d to dcfi ne the set of dynamically Reserved Re so шces

rateMatcl1PattemT0AddModList SEQUENCE {1 to 4 i11sta11ces ofRateMatcl1Patteп1}

rateMatcl1PattemT0ReleaseList SEQUENCE {1 to 4 iпstaпces ofRateMatcl1Patteп1ld}

rateMa tc l1PattemGroнp 1 1 10 8 i11stai1ces ofC HOICE

cellLevel 1 b1vpLevel
RateMatchPattemld (О to 3) 1 RateMatcl1Patter11ld (О to 3)
rat eMatcl1Patter11Groнp2 1 to 8 i11sta11ces of CHOICE

cellLevel 1 b1vpLevel
RateMatcl1Patternld (О to 3) 1 RateMatcl1Pattemld (О to 3)

ТаЫе 108 - Sec tioп f1·0111 PDSCH-Config ,vt1icl1 allo,vs tl1e co11fig111·atio11 of Rate Matcl1i11g Patte1·11 G1·oups

* Ratc Matcl1i11g Pattems \Vhicl1 а ге поt liпkecl to а Rate Matcl1iпg Patterп G1·oup аге catego1·ised as 'semi-static' а пd do 1101 геq нi1·е
activatioп Ьу DCI Foп11at 1_ 1
* JGpp Refeгeпces: TS 38 .2 14, TS 38 .33 1, TS 38.2 12

211
5G NR in BULLETS

3.6.7.3 RESOURCE ELEMENТ PAТГERNS

The LТЕ Specific Patterns described in section 3.6.7.1 гepresent а solution for configuring Reserved Resoшces witl1 а resoltttio r
* individual Resoшce Elements . Alternatively, Zero Power (ZP) CSI Reference Signals can Ье configured to define Reservec\ Resn °
with а resolution ofindividual Resource Elements. ZP CSI Reference Signals are described in section 3.7.4.2 oнrccs
А ZP CSI Reference Signal defines а set ofResource Elements which do not contain any transmission for the UE, i.e. they can Ь
* to define Reseгved Resources. The set ofResource Elements may contain other transmissions so they are not necessarily 'zel"o р е llScd
01ver'
Т~е confi~r_ation o_fZP ~SI Referen~e ~ign_als is_ shown ~ithi_n tli_e PDSCH-Config presented iл ТаЫе 88 . They can Ье confi gнred
* w1th арепоd1с , sem1-pers1stent or perюd1c tпggeпng . Арепоd1с tпggerшg rel1es upon the 'Zero Power CSI Reference Signa\ Tri ,
field within DCI Format 1_ 1. Semi-Persistent triggering relies upon the 'SP ZP CSI-RS Resource Set Activation/Deactivation ' J1~
Control Element. Peгiodic triggering does not require а lower layer activation command
3GPP References: TS 38.214, TS 38.331 , TS 38.212, TS 38.211
*

3.6.8 REPETITION
* А UE can Ь е configured to гeceive the PDSCH with !"epetition. In this case, the UE receives гepetitions ofthe dowпlink Tшn s port
Block a cгos s c ons e cнtive slots. There is one гep e tition within each slot and each гep e tition uses the same a llocatioп of symbols
* Repetitions help to impгove 1·eliability and redн ce latency, i.e. they аге sнitaЫe fог the Ultra Re liaЫ e Low Latency C ommнni ca ti o 11 s
(URLLC) н sе case. Reli ability is improved Ь е с ан sе each 1·epetition iпcl"ease s the pгob ability of sнcce s s fнl !"eception . Latc11cy is гcdti cc<I
1·elative to d yп a mic HARQ re-transmissions which reqнire tl1e Base Station to wait fш а HARQ a c kпowl edge me nt fгom tl1e UE bcforc
s ch e dнlin g а 1·e- tгa п s mi s sion . Repetitions can also help to reduce the PDCCH load Ьес ан sе the PDCCH is not гeqнi1·e d to pгovid c а
ге s ошсе allocation fог each iпdividнal tt·an smi ss i o п . Repetitions d ec гease system capacity Ьу c onsнmin g гesources across mt1ltiplc
slots. Repetitions а!"е a нtonomoн s so 1·esoшc es are con sнm ed aпo ss mнltipl e slots еvе п ifthe UE acl1ieves successft1I !"eception fго 111
tl1e fiгs t tгan s mi ss ion
* The PDSCH is limited to а
single t1·a п s mi ss i o 11 laye1· wl1en l"epetition is н se d , i.e. гe p etiti o n is iпteп ded to impгove гe li a bil ity 1·a tlю 1111111
in c гease e nd -н seг th гoн gh p нts. А Base Station may co п fig ure 1·epetiti on wl1en а UE moves i пto an а!"еа ofweak cove1·age, ащl
s нb se qн e ntl y !"elease the гe p e titi o n wl1en the UE 1·e tшn s to good cove1·age. Tl1is а рр гоас h all o,vs the UE to b e п efi t fгom m нltipl c l а уш
,vl1en ex p e гi e n c iп g good cove1·age
* The 'pclsc/1 -Agg1·egatio11Fac/01·' ,v ithiп PDSCH-Config (Та Ы е 88) indicates the level of 1·epetitio11. Tl1is info гrn at i oп e l e m e п t са 11 Ь с
c oпfi gшed with а va lн e of 2, 4 01· 8. S н р р о гt fог гe p e titi o п is likely to incгease wl1e11 3GPP addresses tlie l"e qнireme п ts of the !11t е п1 с 1 of"
Things (IoT) and the Massive Mac hiп e Тур е Commнni cation s (rnMTC) н sе case
* Eacl1 гep etition нs es а diffe гeпt Re dнnd a ncy V e гs ion
(RV) to p гo vid e an In c гe m e пta l Redtmdancy (IR) gain dшin g tl1e sott combi11i11i;
proce dшe at the UE 1·eceive1·. Tlie use of diffe гeпt Redнnd a п cy V ers ioп s rneans that di ffeгent sets of bits are selected for tгa n s mi ss i o 11
a fteг cl1annel coding. Bit se l ecti o п is part of the Rate Matching рго се dше d esc гib e d in sec tioп 3.6.3. 3GPP has standa1·dised tl1c
Redнnd a ncy V eгs ion patterns s lюwп in ТаЫе 109. Fог example, if a UE is c oпfi gшed with 8 гep e titions and the DCI pгovidi11 g 1!1 с
геs ошсе allocation specifies Redнnd aпcy Version О, th e п the se1·ies of 8 гep etition s will н ses Redнndan cy Ve1·sio11s {0,2,3, 1,0,2,3, 1}

Redнnd an cy Versio11 R edш1d a11 cy Versio11 a ppli ca Ы e to tl1e n''' tra11smissio11

i11dicated Ь у DCI 11 mod 4 = О 11 mod 4 = 1 11 mod 4 = 2 111110d 4 = 3
о о 2 3 1
2 2 3 1 о

3 3 1 о 2
1 1 о 2 3

Та Ы е 109 - Re1l1111da11cy Ve1·sio11 s to Ье a pplied ,vl1 e11 PDSC H 1·epetitio11 is co11fig111·e1I

* А repetition is ornitted if it c oiп c id es witl1 syrnbols ,vhicl1 liave Ь ее п coпfi gшe d fог нр\iп k tгa n s mi ss ioп

* 3GPP Re fe re п ces : TS 38.2 14

2 12
 5G NR in В ULLETS

REFERENCE SIGNALS
3.7
DEMODULATION REFERENCE SIGNAL FOR РВСН
* Tlie UE нses this Demodвlation Reference Signal (DMRS) to estimate the propagation channel expet·ienced Ьу the РВСН. The
res1Jltant infoпnatюn 1s t1sed to help demodнlate the РВСН and sнbseqвently decode the Masteг Infoгmatюn Block (МIВ)
* Tlie DMRS for the РВСН is transmitted Ьу the Base Station t1si11g antenna port 4000, i.e. tl1e same antenna port as t1sed Ьу tl1e
Synchronisation Signals and the РВСН
* Tlie DMRS uccнpies 144 Resoшce Elements. These Resoшce Elements are inteгleaved witl1 those allocated to the РВСН. The
co mbination ofthe Synchronisation Signals, РВСН and DMRS for the РВСН forms an SS/PBCH Block. An SS/PBCH Block occнpies
4 symbols iп the time domain and 240 sнbcaпi e rs in the fi·eqt1ency domain (see section 3.4)
* Tli e Resoнrce Elements allocated to the DMRS within an SS/PBCH B1ock аге presented in ТаЫе 11 О . There are no Resoшce Elements
fог the OMRS within the fi гst symbol (this symbol is not used Ьу the РВСН). The гemaining symbols inclt1de Resoшce Elemeпts fог
tlie oMRS \vitl1in the sectioпs t1sed Ьу the РВСН. The DMRS is allocated eve1y 4 111 Resoшce Element within those sections

Nшnber of H.eso нrce St1bcatтicr

a\localed Io 1l1e
Eleme11ts DMRS Гог РВ С Н
Symbol О о Nопе

Symbol 1 60 0+v, 4+v, 8+v, 12+v, . . . , 236+v

Symbol 2 24 0+v, 4+v, 8+v, .. . , 44+v
v = PCI mod 4
192+v, 196+v, 200+v, . . . , 236+v
Syшbol 3 60 0+v, 4+v, 8+v, 12+v, ... , 236+v

ТаЫ е 11 О- Re soш·ce Eleme11ts ,vit11in а11 SS/PBCH Вlock allocated to tl1e DMRS fo1· РВСН

* Tl1e specific Reso шc e Elements t1sed Ьу th e DMRS а ге d e p e пde nt t1pon the Physical lауег Cell Identity (PC I). А ' PCI mod 4 ' 11.1le is
н sed to id e пti fy th e set o fRes oшc e E l e m e пts. This m e aп s th at cell s \Vitl1 PC I {0,4,8, 12, .. . } w ill t1 se tl1e sa me Res oшc e Element
a l\o ca tioп . S imil aг l y, ce ll s with P CI { 1,5,9, 13, ... } will t1 se th e same Res oшce Ele m e пt alloca tion , as \vill cells в s iп g PC I
(2,6, 1О , 14 , ... } а пd cel1s t1 si11 g PCI {3,7 , 11 , 15, . . . }. The dерепd е п се t1 pon PCI is illt1st1·ated iп F i gшe 178

РС/ mod 4
о 1 2 з

~~ ~
Demodulation
... Reference Signal
forPBCH
Frequency •

~ ~ ~~ ·
Domain

РВСН
,,

Figш· e 178- Resource Ele111ents allocated to tl1e DMRS fo1· РВСН

* The DМRS itselfis а pseвdo гandom sеqнепсе oflength 144. The vaгiaЫes нsed to iпitialise thi s pset1do гandom sequence depend
нроп the ope1·ating band. Fш- opeгatiпg bands below 3 GHz, the pseвdo гandom seqв e nce is initialised t1 sing а combination of th e:

о PCI (О to 1007)
о Half Fгame (О ог 1) - iпdi cates if tl1 e SS/PBCH Block is witl1in the 1'1 ог 2 11 d half of the .-adio fгa me
о 2 Least Signifi ca пt Bits (LSB) oftl1e SS/PBCH Iпd ex (О to 3)
* Fог operatin g bands above 3 GHz, tl1 e pseнdo га пdоm seqн ence is initialised нsiпg а comЬin atioп of tl1e:
о РС ! (О to 1007)
о 3 Least S i gn ifi c a пt Bits (LSB) oft he SS/PBCH J пde x (О to 8)
* Tlie UE kлo\VS tl1 e PCI at the time of decoding tl1e РВСН bt1t does поt al\vays IOJO\V tl1 e otl1 eг vai·iaЫ es , e.g . wl1 en completing iп it i a l
cell selection . T he UE l1 as to co mp lete Ыind decodin g attempts to ded н ce these vaгi aЫes . AII opeгat i п g bands гeq t1 iгe th e UE to
compl ete нр to 8 Ыind decod iп g attempts. Blind decoding iп c 1·ea s e s th e UE pгoc ess i п g гeq t1 iгe ment so the пнmЬег of attempts is kept to
а mini mн m. T l1e b eп efit of Ыind deco ding attempts is th at tl1ey all o\v tl1 e UE to dedt1ce the гe l eva nt va гi aЫ es апd so avoid the
reqt1iгeme11 t to s i gп a l tl1em to th e UE e l se\vl1eгe . Howeveг, tl1 e Ha lf Fгame Index is also pгov ided w itl1i11 th e Pl1 ys ical l ауег payload of
tl1 e Mas teг I11foгmati on Block (МIВ)
* 3GPP Refe1·ences : TS 38 .2 11

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5G NR in BULLETS

3.7.2 DEMODULATION REFERENCE SIGNAL FOR PDCCH

* The UE uses this Demodulation Reference Signal (DMRS) to estimate the propagation channel experienced Ьу the PDCCH. Tl
resultant information is used to help demodulate the PDCCH and subsequently decode the Downlink Control Information (Dc:;
* The DMRS for the PDCCH is transmitted Ьу the Base Station using antenna port 2000, i.e. the same antenna port as used Ьу tlie
PDCCH
* The DМRS occupies 25 % ofthe Resource Elements within the Resource Blocks uscd Ьу the PDCCH. These Resoшce Elenients .
fixed posHions which do not depend upon the PCI nor any other planning parameter (sнbcaпiers 1, 5, 9, 13, 17, ... ). The Resotirc arc 111
Elements нsed Ьу the DMRS are illнstrated in Figure 179 с

1 symbol 2 symbol З symbol

CORESEТ CORESEТ CORESET

,_____
.•
Demodulation

i
Reference Signal
forPDCCH
Frequency ...
Domain
.
PDCCH

-~ ,__

Figure 179 - Reso11rce Elements allocated to the DMRS fo1· tl1e PDCCH

* Ву defau\t, а UE assнmes that the DMRS for the PDCCH is qн as i co-located with the SS/PBCH Block in terms ofDopple1· sl1ift,
Doppleг spгead, aveгage delay, delay spгead and spatial гec e ive paгam e teгs. Tl1is indicates tliat the PDCCH and its DMRS ar·e
beamfoпned in the same way as tl1e selected SS/PBCH Block. Tl1e Base Station сап provide CSI Refeгence Signal iпfoпnatioп 1vl1icl1
sнp e гs edes tl1is default ass нmptioп. Tl1is allows tl1e DMRS to Ь е qнasi co-located witl1 а CSI Rеfегепсе S i gп a l which t1 ses а 11101·с
diгectional beam towaгds tl1e UE

* Tl1e DMRS itself is а pseudo 1·a пdom se qt1 e пc e whicl1 са п Ье iпiti a li se cl t1 sing e ith eг tl1 e PCI 01· pdcc/1 -DМRS-SCl'a111Ьli11gkl ,vl1icl1 са 11
Ье pt·ovided within the Co11t1·0/Reso111·ceSet рагаmеtег st пrctшe s lю,v n in ТаЫе 62 (section 3.5 . 1). !п the case of decodin g tl1e PDCC II
within the Туре О Common Seaгch Space, tl1e pset1do random seqt1ence is always initialised Ьу the PCI. The Тур е О Соm nюп Sea1·cl1
Space is t1sed to receive the resoшce a\locatioп fог S!В 1. А UE mt1st Ье сараЫе of receiving SIВ 1 t1sing only the iпforma t io11 pгo v i dc<I
Ьу the М!В (which does поt specify а се\1 specific scramЫing ideпtity for the DMRS)

* 3GPP References: TS 38.211, TS 38.213, TS 38.331

3.7.3 DEMODULATION REFERENCE SIGNAL FOR PDSCH

* The PDSCH is always transmitted iп combiпatioп \Vith а Demodt1latioп Refereпce Signal (DMRS). The DMRS апd PDSCH аге
transmitted нsing the same pгecodiпg and the same aпtenna ports, i.e. tl1ey both experience the same composite pгopagatioп chan11cl.
The UE has kпowledge ofthe seqнence traпsmitted Ьу the DMRS so сап dedt1ce the composite pюpagatioп chanпel Ьу compar·iпg tlic
received DMRS with the traпsmitted DMRS
* The DMRS is tгaпsmitted within the set ofResoшce Blocks allocated to the PDSCH. For example, if а UE is allocated I О Resoшcc
Вlocks fог
tl1e PDSCH then both tl1e DMRS and the PDSCH will Ье tгansmitted across those 10 Resoшce Blocks
* The DMRS is transmitted оп the same аntеппа poгts as the PDSCH, i.e. antenna ports witl1in tl1e гапgе I ООО to l 011
* The DMRS fог th e PDSCH lias Ьееп specified to Ье flexiЫe апd to support а wide гange of coпfigшations. These coпfigшatioпs
accoнnt fог the гeqt1iгements associated \Vith botl1 Single Useг апd Mнlti-User MIMO . DMRS coпfi gшations depeпd t1pon tl1 e
follo,v iп g v a riaЫ es:

о PDSCH DMRS Confi gшatioп Тур е 1 ог Туре 2 о Single ог DопЫе Symbol DMRS
о PDSCH Mappiпg Туре А ог Тур е В о PDSCH DMRS Additional Positions

о DMRS Staгting Symbol fог Mapping Туре А о PDSCH Dшation

214
 5G NR in BULLETS

DS CH oMRS Configшation Types I and 2

~
TI Coпfigнration Туре impacts the frequency domain геsошсеs t1sed Ьу the DMRS . Configшation Туре I t1ses 50 % of the R esoшce
* El:ments within the symbols allocated to the DMRS, whereas Configшation Туре 2 t1ses 33 %

TI е liighe1· density ofResoшce Elements t1sed Ьу Configшation Туре I helps the UE to gепегаtе а тоге ассшаtе channel estimate.
* т~\ makes Configt1Гation Туре I sнitaЫe for t1·ansmissions which reqt1ire hig\1 -reliability, ог for UE which аге experiencing роог
~егаgе. Tl1e l1igher density geneгates an increased oveгhead and in the case о! Mнlti-User MIMO, it redнces the scope for fгeqt1ency
~;ilt iplexing with the DMRS belonging to otheг UE
l;igtire 180 illнstrates Configшation Туре I which allocates every second Resot1Гce Element to the DMRS . This creates а transmission
* omb and allows antenna ports to Ье fi·eqt1ency пшltiplexed. For example antenna poгts I ООО and 1001 сап Ье freqнency multiplexed
\itli antenna ports 1002 and 1003. Antenna poгts sha1·ing the same Resource Elements are differentiated нsing an Orthogonal Cover
~ode (ОСС) which allows Code Division Multiplexing (CDM)

Single Symbol ОоиЬ/е Symbol

+ + + + +
+ + + + - - +
+ + + + + + + + + +
+ + + + + + + - + -
+ + + + +
+ + + + - - +
+ + + + + + + + + +
+ + + + + + + - + -
+ + + + +
+ + + + - - +
+ + + + + + + + + +
+ + + + + + + - + -
Port Port Port Port Port Port Port Port Port Port Port Port
1000 1001 1002 1003 1000 1001 1004 1005 1002 1003 1006 1007

"---у----1 "---у----1
СОМ Group О СОМ Group 1 СОМ Group О СОМ Group 1

Fi g ш·e 180 - PDSCH DMRS C onfiguration Ту р е 1

* F i gшe 180 illн s t1·a t es tl1a t S in g le Sy mb o l tгa n s mi ss i o n w it\1 Co nfi g шa ti o n Тур е I s 11pp o гts 4 а пtе пп а p o гt s so is а Ы е to s 11pp o гt t1p to
4 х4 MIMO, w l1 e1·eas D 0 11Ы е Symbol tгa n s mi ss ioп S llppoгt s 8 а пtе пп а po г t s so is а Ы е to S llpp o гt 11р to 8х8 MIMO

* Fi1·st co п s id eг tl1e single symbol confi gшation s . А UE rece iviп g 4 l a yeгs of data (1·апk 4) wit\1 S iп g l e U seг MIMO сап Ье allocated
а пt еnпа po гts I ООО to 1003. These 4 antenna po1·ts flllly occllpy tl1e DMRS symbol and theгe а 1·е по Resoшce Elem e пts availaЫ e for
tl1e PDSCH. А UE receiving а single lауег of data (rank 1) with Single Useг MIMO сап Ье allocated antenпa port I ООО. This antenna
рогt occ11pies only half ofthe Resoшce Elements within the DMRS symbol . А UE гeceiving 2 layeгs of data (rank 2) with Single Useг
М!МО сап Ь е allocated aпtenna poгts I ООО and 1001 , i.e. Code Division Mt1ltiplexi11g is pt'ioritised оvе г Frequency Divisioп
Mнltipl exin g . This раiг of antenna ports occllpies only lialf of the Resoшce Elements within the DMRS symbol. In both of these cases,
tl1e remaining Resoшce Elements сап Ье L1sed Ьу the PDSCH

* ln tl1e case ofML1lti-User MIMO, а first UE collld Ье allocated single layer transmission with рогt 1000, \Vhile а second UE is allocated
si11gle lауег t1·ansmission wit\1 port 1001 апd а tl1ird UE is allocated single layer transmission \.\'ith рогt 1002. Fгom the perspective of
eacl1 UE, опl у а single po1t is lltilised and each UE may think that it is possiЫe to frequeпcy mнltiplex the PDSCH withiп the DMRS
syrnbol . Howeveг, this woнld сгеаtе PDSCH to DMRS inteгference. Fог example, ifthe UE llsing antenna port I ООО fгeqllency
пшltiplexed the PDSCH with the DMRS then the PDSCH wollld сгеаtе iпterfeгence towaгds the DMRS beloпgiпg to the UE нsiпg
ш1te 11na рогt 1002

* ЗGРР TS 38.2 12 specifies the ' Апtеппа Ports' field belonging to Dowпlink Contгol Infoгmation (DCI) Foгmat 1_ 1 sL1cl1 that the Base
Statioп сап iлdicate whetheг or поt tl1e PDSCH is fгeqнency mllltiplexed with the DMRS. ТаЫе 111 pгeseпts an example look-llp tаЫе
11,I1i cl1 is appli caЫe to Coпfigшatioп Туре I witl1 Siпgle Symbol DМRS t1·ansmis sio11

Sig11 all ccl Allocated NшпЬе г or OMRS СОМ Sig11 al\ed Al located N шпЬ егor OMR S С ОМ
Vа\нс OM l~S Port Groнp s ,vil l10111 Oata \t a lнe OMl~S Ро г! Grot1ps ,vi1l10111 Oata
о о 6 3
1 1 1 7 о, 1

2 О, 1 8 2,3
2
3 о 9 О, 1, 2
4 1 2 10 о, 1, 2, З

5 2 11 0,2

Та Ь\ е 111- Ех ашрlе look-up tаЬ\е fot· А ntе пп а Ро г t allocatio11 ,vitlrin DCI Forшat 1_ 1 (DМRS C onfigш·a tion Ту ре 1, Single Symbol)

2 15
5G NR in BULLETS

* In the case of Single User MIMO, the Base Station can signal а valtte of О or 1 to al\ocate I port for MIMO with single layer
transmission (rank 1). Altematively, the Base Station can signal а value of2 to a\locate 2 ports for МТМО with dual layei· tran . .
(rank 2). In both cases, the look-up tаЫе indicates that only I СОМ Group is transmitted without data. This indicates that tlie ~mission
Elements belonging to the second СОМ Group can Ье used Ьу the POSCH csourcc
* Tn the case of Single User MIMO, the Base Station can signal а value of9 to al\ocate 3 poгts for МТМО with 3 layer transmissi
3). Altematively, the Base Station can signal а value of I О to al\ocate 4 ports for МТМО wi th 4 layer transmission (rank 4). lп : 1;,(г~nk
cases, the \ook-up tаЫе indicates that 2 СОМ Groups are transmitted without data. This results fi·om the al\ocated OМRS ports о.,,
occupying both СОМ Gгoups. In this case, the POSCH canпot Ье frequency multiplexed with the OMRS
* In the case ofMulti-User МТМО, the Base Station can signal а value of3, 4, 5 or 6 to al\ocate I port for MIMO with single layer
transmission (rank 1) and indicate that the second СОМ Group is being used for transmissions towards other UE, i.e. the PDSCH
cannot Ье frequency multiplexed with the OМRS
* Similarly, in the case ofMulti-User MIMO, the Base Station can signal а value of7 or 8 to al\ocate 2 ports fог МТМО with dtial la .
transmission (rank 2) and indicate that the second СОМ Group is being used for transmissions towards other UE Y~r
* Figure 181 illustrates Configuration Туре 2 which al\ocates every third pair of Resoшc e Elements to the OMRS. This гeduces thc
number ofs ubcarriers used Ьу the OMRS re\ative to Configuration Тур е I and increases the scope for frequency multipl ex iп g. ln tlii
case, up to 6 antenпa ports can Ье multiplexed usiпg Single Symbol transmission, and up to 12 antenna ports can Ье multiplexed Lisi115,
Оо11Ые Symbol transmission g

Single Symbol ОоиЫе Symbol

+
+

+
+
+
+ +
+
+ +
+
+
Port Port Port Port Port Port Port Port Port Port Port Port Port Port Port Port Port Po,t
1000 1001 1002 1003 1004 1005 1000 1001 1006 1007 1002 1003 1008 1009 1004 1005 1010 tOlt

------r ; --1 '--,----1

СО М Group О СОМ Group 1 СОМ Group 2 COMGroup О СОМ Group 1 СОМ Group 2

Figш·e 181 - PDSCH DMRS Co11fig11ratio11 Ту р е 2

* Configuration Туре 1 with а Single Symbol is always ap.pli caЫ e when the POSCH геsошсе a llocati o п has been received usi11g DCI
Foгma t 1 О. This means that Co nfi guгa tion Туре 1 is al\vays a ppli ca Ы e to random access MSG2 and MSG4, Paging messages ,ннl
System J~foгmation . Configuration Туре 1 with а Single Symbol is also applicaЫe to o tl1eг POSCH tJ·ansmissions wh icl1 оссш Ьсrогс
the Base Station has pгovided the UE with the PDSCH-Config р а га mеtег stг1.1cture pгeseпted iп ТаЫе 88 ( sectioп 3.6). Eacl1 of'tl1 csc
cases suppoгt freq1.1ency multiplex ing ofthe OМRS with the POSCH
* The PDSCH-Conjig parameteг structнre can Ье used to provide the set ofparameters s howп in ТаЫе 11 2. Tn c lнs ion ot'tl1e 'd111гs- 'l)1JJe'
infoгmation element indicates that Configuration Туре 2 will Ье нsed fог the OMRS. Exclusion of this information element indicatcs
that Configuration Туре 1 will Ье used

DMRS-Dv,1•11/i11kCv1,jig
dmrs-Type type2
dmrs-Additio11alPositio11 pos0, pos 1, роsЗ
maxLengtl1 lеп 2

sc ra mЫiпgГD0 О to 65535
sc ra mЫin g Ш 1 О to 65535
plia seTrackiпgRS Se1t1pRelease { PТl( S- Do,v 11li11k C ot1fi g}

freq t1e11cyDe11sity SEQ\JENCE {2 i11sta11ces ,vitl1i11 ra11ge I to 276}

timeDe11sity SEQUENCE {3 i11star1ces ,vitl1i11 raп ge О to 29}
epre-Ratio О to 3
resoнrceE l emeпtOffset offset0 1, offset IО , offset 11
Та Ы е 112 - DMRS-Dmv11/i11kC011jig pa1·amete1· st 1·u ctш·e

216
 5G NR in BULLETS

~ apping Types А and В

TI pQSCH Mapping Тур е has an impact нроn the time domain symbols allocated to the PDSCH. This impacts the symbols allocated
1 ~ е oMRS Ьесанsе the DMRS сап onl y нsе а sttbset of the resoшces allocated to the PDSCH. Mapping Туре А is sometimes
, 1
'_° ferred to as providing ' Slot ' based schedнling', wheгeas Mapping Туре В is sometimes refeпed to as pгoviding ' Non-Slot ' based
~eclieduling ог 'Mini Slot' based schedнling' (Mapping Туре В is гestricted to all ocating ttp to 7 symbols)
k Та Ы е 11 3 presents the PDSCH sta гting symbols and le~gths which are allowed f~н each :"1apping Тур е. The length is de~ned as а
d ration in terms ofsymbols. А sшg le re soшc e a llo c atюn 1s always co ntaшrd w1thш а s шgle slot so the s нm ofthe Startшg Symbol
a~d Lengtl1 does not exceed 14 when нsing the normal cyclic prefix, and 12 when нsing the extended cyclic prefix

Noпnal Cyc lic Prcfix Exte11ded Cyclic Prefix

PDSCH Mappi11g ( 14 sy111bols per slot) ( 12 sy111bols per s101)
Туре
s L S+ L s L S+L
Тур е А О to 3 3 to 14 3 to 14 О to 3 3 to 12 3 to 12
Тур е В О to 12 2, 4, 7 2 to 14 О to 10 2, 4,6 2 to 12

Т а Ые 113 - Allo,ved combl11atio11s of Sta1·ti11g Symbol (S) апd Le11 gtl1 (L)

* Selection between Mapping Types А and В is р а гt ofthe PDSCH time domain геsо шсе allocation. Time domain resoшce allocation is
based нро n providing а p o in teг to а гоw within а look-ttp tаЫ е . The look-up tа Ы е с а п Ь е а 3GPP s ta nd aгdi sed tаЫ е о г а co nfi gшe d
t а Ы е . Jn both cases, the taЫ es in c lн de а colнmn fot· the PDSCH Mapping Тур е. Examples а ге shown in Та Ы е 95 for а 3GPP
standardised l ook-нp tа Ы е and in Та Ы е 97 for а co nfi gшe d look-ttp tа Ы е (both in section 3.6.4. 1)
* \Vlie11 н s in g Mapping Туре А , the DMRS са п Ь е co nfi gшe d to Ь е located within e ith e г symbol 2 or symbol 3. The Master Info гm a tion
Block ( М IВ) prov ides this inform ati o п fо г the гece ption of tl1e PDSCH fо г S IВ 1. The Seгvi11gCel/Co11jigC0 111111 0 11 parameter s tп1 c tuгe
,vitliin SIB 1, о г within dedi cated signalling provides the co пfi gнгation fог o th e г PDSCH transmissions. Both the МIВ а пd the
Sen1i11gCel/Co11jigC0111111011 p ara meteг s tп1 с tнге t1se the d1111·s-TypeA-Posilio11 info rm a ti oп element to indicate the fiгs t symbol occ нp ie d
Ьу 1l1e DMRS. № mb e гin g is relative to the s taгt of the slot 1·athe1· than the s ta гt of tl1e PDSCH 1·еsошсе allocation . This means that
firlll's- TypeA-Posilion ca nп o t Ь е set to 2 if the PDSCH геsо шсе allocation starts in symbol 3
* Fig11re 182 i llн s t1·a tes examples of the Re s oшce Elements allocated to the DMRS fо г PDSCH Mapping Тур е А. These examples
ass11111e PDSCH DMRS Co пfi gшatio n Тур е 1 ( е vе гу second Reso шce Element is allocated to the DMRS). Tl1e second example is
k1101vn as а 'fгo nt loaded' co n fi gшa ti o п Ь ес а н sе the DMRS o c c нpi es the fi гst symbol allocated to the DMRS

dmrs- TypeA-Posilion = 2 dmrs- Typ eA -P osftion = 3 dmrs- TypeA-Posilion = З

Length = 14 symbols Length = 7 symbols Leng lh = 9 symbols

PO SCH starts
from sy mbol
О, 1, 2or3

DMRS always
occupies sy mbol
2 оrЗ

Fi g ш· e 182 - Е х ашрlе resoш·c e allocation s usi11g PDSCH Mapping Ту ре А

* F igшe 183 illнstrates examples of the Res oшce Elements allocated to the DMRS fог PDSCH Mapping Тур е В . Resoшce allocations
based нроn Mapping Туре В сап start from symbols О to 12. In this case, the fi 1·st symbol нsed Ьу the DMRS is al\vays tl1e first symbol
of the resoшce allocation. This is known as а ' Fгont Loaded' scheme Ьесан sе tl1e DMRS is at the fгont of the PDSCH tгans mi ss i on. А
'Front Loaded' scl1eme сап redнce latency Ьесанsе the UE сап staгt estimating the propagation channel fгom tl1e DMRS as s0011 as the
fiгst sy111bol has Ьееп гece i ved . PDSCH Mappiпg Туре В allows геsошсе allocations as sh o гt as 2 symbols

Starling Symbol = 5 Slarting Symbol = 5 Slarting Symbol = 5

Length = 7 symbols Length = 4 symbols Lenglh = 2 symbols

PDSCH starts
from symbol
О /о 12

DMRS always
occupies firsl
symbol of
al/oca /ion

Figш· e 183 - Exa mple resoш·c e a\locations using PDSCH Mapping Туре В

2 17
5G NR in BULLETS

Additional DMRS Positions

Mapping Types А and В both allow the DМRS to use additional symbols. Additional DMRS symbols сап help to impюve the Ur;
* channel estimation perforrnance. If а PDSCH transmission inclнdes 2 DMRS symbols then the propagation channel can Ье mea
2 time instants and then interpolated between those time instants. Increasing the numbeг ofDMRS symbols, reduces tl1e gap be~llred at
channel estimates and redнces the reqнirement for long inteгpolations. This is particнlarly important for high speed scenaгios \Vli veen
propagation channel сап change rapidly and there аге large fгequency offsets to track. The drawback of additional DMRS symbo~rc •111 r
increased overhead s 10 an

The requirement for additi~nal DMRS symbols_ сап depend upon the subcarrier spacing Ьесанsе _higher s~bcarrier spacings have shortc
* symbols wlнch allow less t1me for the propagatюn channel to change, 1.е. h1gher subcarпeг spacшgs reqшre fewer additional DMRS г
symbols. For example, 4 D~S symbols may Ье required to a~hieve good perforrnanc_e for very high speed scenarios \Vhen н s ing а 30
kНz sнbcarпer spacшg , wh1le 3 DMRS symbols may Ье st1ffic1ent for the same scenarю when usшg the 60 kНz subcarri eг spacing

The nнmber of additional symbols and their positions are deterrnined using а combination of the dm1 ·s-Additio11a/Positio11 p a гametcr
* presented in ТаЫе 112, and the duration ofthe PDSCH resource allocation. 3GPP TS 38.211 specifies the look-up tаЫе p1·esented as
ТаЫе 114. The DMRS сап use up to 3 additional symbols when the PDSCH resoшce allocation is relatively long, i.e. а total of 4
symbols. In the case ofMapping Туре А, the first symbol allocated to the DMRS is гeferenced as lo which corresponds to the valнc of
dm1·s-TypeA-Positio11, and symbol positions are defined relative to the start ofthe slot. In the case ofMapping Туре В, the fiгst symboi
allocated to the DMRS is always symbol ' О', and symbol positions аге defined гelative to the start ofthe PDSCH гesource allocatiori

PDSCH Mappiнg Туре А PDSCH Mappiнg Туре В

Dшatio11 c/111п-Additio11a/Positio11 dmгs-Addit ional Posit io11

(symbols) о 1 2 3 о 1 2 3
1 1

2 Not ApplicaЫe о 1
о

3 Not ApplicaЫe
4 о
1
о
Not ApplicaЫe
5 lo Not ApplicaЫe
6 о
1
0,4
7 о 1
0, 4
8
lo lo, 7
9
10
lo, 6, 9
11 lo, 9 lo, 6, 9 Not Appli c aЫ e

12
13 lo, 11 or 10 , 5, 8, 11
lo, 7, 11
14 12

ТаЫе 114- Additio11al DМRS Symbols fo1· PDSCH Mapping Туре А/В (Single Symbol DМRS)

* А special case exists fог PDSCH Mapping Туре А with а dшation of 13 or 14 symbols and d1111·s-Additio11a/Positio11 = l. Iп this casc,
symbol 11 is used Ьу default, Ьнt symbol 12 is нsed ifspectгum sharing with LTE is confi gшed and the allocation ofDMRS syrnbols
coincide with the resoшces reserved fOJ" the LTE Cell specific Reference signal
* Figure 184 illustrates some example PDSCH resoшc e allocations which are configшed with additional DMRS symbol s. Tl1e fiгs t t\vo
examples аге based нроn PDSCH Mapping Туре А , wheгeas the thiгd example is based нроn PDSCH Mapping Тур е В

PDSCH Mapping Туре А PDSCH Mapping Туре А PDSCH Mapping Туре В

Length = 14 symbols Length = 10 symbols Starting Symbol = 5
dmrs- TypeA-Posilion = 3 dmrs-TypeA-Posffion = З Length = 7 symbols
dmrs-Additiona/Position = 3 dmrs-AddilionafPosition = 2 dmrs-Additiona/Position = 1

Figure 184- Example пs ош·се allocations ,vitl1 additional DMRS symbols

2 18
 5G NR in BULLETS

~
Tlie concept of ' DouЫ e Symbol_' DMRS has already been intt·oduced ,vith in the s~ction describin g Co nfi gшa tion Types I and 2. Jt was
.11istrated iл that sectюn that нsшg а pair of symbols шсгеаsеs the code mu l t1pl ex шg capab1l1ty ofthe DMRS, 1. е. tl1ere are 4 antenna
~otrts рег CDM groнp ratheг than 2 antenna po1·ts per CDM gгонр. This incгeases tl1e total nнmber of antenпa poгts an d so incгeases the
scope for M11lti-User MIMO
When allocating DouЫ e Symbol DМRS , а different look-нp tаЫе is applied wl.1en coпfiguri ng additional DMRS positions, i.e. ТаЫе
114 is replaced Ьу ТаЫ е 115. In thi s case, only valнes of О and I are used Ьу th e c/1111·s-Additio11a/Positio11 parameter. The m aximнm
ntimber ofsymbols allocated to the DMRS remains eqнal to 4
The use of DонЫе Symbol DMRS са п Ье res tгicted using the maxLengt/1 parameter presented in ТаЫ е 11 2. If thi s parameter is
exc lнd ed fiom DМR.S-Doн111 /i11kC011jig then only single symbol transmission is permitted. lf maxLengt/1 is included within DМR.S­
Doн'n/inkC01?fig then both single and dонЫе symbol transmission is permitted. In tl1is case, selection between single an d dонЫ е
symbo l DМRS is contгo ll ed Ьу the ' Antenna Poгts' fie ld ,vithin DCI Format 1_ 1

PDSCH Mappi11g Туре А PDSCH Mappi11g Туре В

Dшatioп с/1111 ·, -А clcli I iu11al Pus it io11 d111гs-A cklitiu11a/Pos i1io11

( sy mlюl s ) о 1 2 3 о 1 2 3
1 1 1
<4 Not App l icaЫe

4 Not ApplicaЫe

5 Not App li caЫ e

6
lo, lo + 1 О, 1
7
8
Not App li caЫe
9 lo, 10 + 1
10
lo, lo + 1,
11 Not App li caЫe
8, 9
12
13 lo, lo + 1,
14 10, 11

Т аЫ е 11 5- Ad(litio11al DMRS S yшbols fo1· PDSCH Mappi11 g Ту р е А/В (D011Ые Syшbo l DM/lS)

* Fi gшe 185 illн s t1·ates some exa mpl e PDSCH геsошсе allocations wl1icl1 а1·е coпfi gшed witl1 add itioпal DMRS symbo ls. T he fiгs t hvo
examples а ге based uроп PDSCH Mapping Туре А, w h e гeas the thiгd example is based uроп PDSCH Mapp iпg Туре В. In the case of
Mapping Туре В ,vith DонЫе Symbo l transmi ssion, confi gш iп g ап additiona l DMRS symbol does not actнally iп c 1·ease the nt1mber of
DMRS symbols

PDSCH Mapping Туре А PDSCH Mapping Туре А PDSCH Mapping Туре В

Length = 14 symbols Length = 1О symbols Starting Symbol = 5
dmrs- TypeA-Position = 3 dmrs- TypeA-Position = 3 Length = 7 symbols
dmrs-AddffionafPosition = 1 dmrs -AdditionafPosition = 1 dmrs-AddffionafPosition = 1

F i g ш·e 185 - Ехаш рl е res oшce allo catio 11 s ,vith D011Ые Syшbo l DMRS

* Tl1e Resoшce E lements a ll ocated to the PDSCH DMRS ai·e popн l ated 11sing а pseнdo-гandom sе qнепсе . Tl1 is seq11ence is iпiti a li sed
н s in g а c ombiпat i on of tl1 e slot n11111be1·, the symbo l nнmЬ е г апd а sс гап1Ы iп g identi ty. Use of tl1e slot а п сl symb o l пнmЬ е гs l1 elps to
raпd o mi se tl1e do,v пliпk inte 1· fe гeпc e as а fнп с tiоп of time. Та Ые 11 2 sl10\VS tliat tl1e DMRS-D011'11/i11kC0 11Jig para m ete г s tn1 ctшe са п Ь е
нs e d to coпfi gшe нр to 2 sc гamЫiп g identiti es . D CI Foгm a t 1_ 1 11ses the ' DMR S Sеqн еп се Iпiti a li s ation ' fi eld to indi cate w l1 icl1
sc t·a mЫiп g i d e пtity ,vill Ь е applied to the DMRS (as sшniп g 2 l1ave Ь ее п c oпfi gu 1·e d). In tl1e case ofDCI Fo1·mat 1_0, tl1e fiгs t
s c1·a mЫiп g identity is always нsed ( ass нm i п g it lias Ьееп c oпfi gнred) . The PCI is 11sed as the sc гa mЫin g ideпti ty wh en specifi c va lн es
have not Ьееп coпfi gшed

* ЗGРР Refeгeпces: TS 38.2 11 , TS 38.2 12, TS 38 .2 13, TS 38 .2 14, TS 38.3 31

2 19
5G NR in BULLETS

3.7.4 CHANNEL STATE INFORМATION REFERENCE SIGNAL

The Сhаппеl State Information (CSI) Reference Signal is а multi-purpose downlink transmiss ion. The Base Station сап configl
* UE to пsе the CSI Reference Signal for опе ог тоге ofthe following: ire thc

о Channel State Information (CSI) Reporting: the UE provides CSI гeports to the Base Station based upon measurements fro ,·
CSI Reference Signal. For example, the UE derives Channel Quality lndicators (CQI), Rank Indicators (RI) and Precodiпg ~•hc_
Indicators (PMI) from CSI Reference Signal measurements (Channel State Information is described in section 13.6) atri x

о Beafn Management: initial beam selection based uроп the set of SS/PBCH Blocks can Ье refined using the CSI Reference Si
А specific network implementation may use а set ofrelatively broad beams to transmit the SS/PBCH Blocks. А set ofmorc gna1·
directional beams could Ье пscd to transmit the CSI Reference Signal. А UE coпld then measure each ofthe CSI Refcrence s·
transmissions to identify the best of the more directional beams. А UE can Ье configured to measure and report Layer 1 (L 1) igщi
1

RSRP fог each ofthe CSI Reference Signals (Beam Management is described iп section 9)

о Connected Mode Mobility: Connected Mode mobility uses Measurement Reporting Events, e.g. Event АЗ сап Ье used to iпdi c
1
that а neighbouring cell has become better than а serving cell. These Measurement Reporting Events can Ье tгiggeгed пsing а с
measurements from the CSI Reference Signal, i.e. handovers сап Ье triggered пsing RSRP , RSRQ or SINR measured fi·om tlic
CSI Reference Signal (Measurement Reporting Events are described in section 11)

о Radio Link Failure Detection: the Physical layer ofthe UE сап use the CSI Reference Signal to generate 'iп-sупс' апd ' oнt-of­
sync' indications. These indications are provided to the RRC layer which пses them to monitor the radio link а пd detect Radio
Link Failure when conditions become роог. А UE сап пsе RRC Re-estaЫishment to recover f1·om Radio Link Failure (Radio Li ii k
Failшe Detection is descгibed iп section 13 .9.2)

о Beam Failure Detection апd 'Recoveгy: the Physical layer ofthe UE сап use the CSI Reference Signal to gепегаtе 'Beam Failtirc
Instance' indications. These indications are pгovided to the МАС layer which пses them to monitor the beam апd detect Ь еа~л
failure when conditions become poor. А UE сап also пsе the CSI Rеfегепсе Signal to recovei- from Beam Failшe. Tl1 e UE
attempts the гапdоm access procedure ifthe RSRP measured from а candidate CSI Reference Signal is greater than а configшecl
threshold (Beam Fai lure Detection а пd Recovery is described iп section 13.9. 1)

о Fine Tuning ofTime апd Fгequeпcy Synchroпisatioп: ЗGРР has adopted the CSI Refereпce Sigпal as а so lution for the Tгackiп g
Refe1·eпce Sigпal (TRS), i.e. the Tгackiпg Refereпce Signal is а CSI Refereпce Signal Resouгce Set with а specific coпfig11ratioп .
T l1e TRS сап Ь е viewed as а 1·eplacemeпt fог the L ТЕ Cell spec ific Refe1·e11ce Signal (tl1e TRS is d escгibed iп section 3.7.5)

* Some ofthe pгoceduгes listed above сап a lso Ье completed пsiпg measuгemeпts fгom SS/PBCH Blocks. Fo1· examp le, C onпect ed
Mode mobility сап Ье based проп RSRP, RSRQ ог SINR measшemeпts fi-om ап SS/PBCH Block. Sim ilaгl y , Radio Link Fai lшc
detectioп апd Beam Failшe detect ioп апd гесоvе1·у сап Ь е based проп mea s uгem eпts from ап SS/PBCH Block

* The pгoceduгes listed above use 'Non-Zero Po,ve1·' (NZP) CSI Reference Signals config шed fог 'Cl1m111el Meas111·eme11t' (СМ) .
Dedicated signalling is used to configшe the UE to receive these Reference Signals

* NZP CSI Reference Signals сап also Ье coпfigшed fог 'lnterfere11ce Measureme11t' (IМ). А UE is required to complcte iпtе гГе геп сс
measuгements when ge neгating Сhаппеl State Infoгmatioп (CSI). For example, CQI гeports аге geneгated based t1po11 а S i gп a l to
Interference plt1s Noise Ratio (SINR). The appгopriate interference measнrement to apply when geneгating CQ I reports depends t1po11
tl1e transmission mode. lf а UE is schedt1 led downlink гesouгces t1s ing Mt1lti-Useг MIMO then inteгference levels w ill iпclt1de tl1c
iпterference geпeгated Ьу transmissions towards co-schedнled UE, i.e. tl1e spatial separation between tгaпsmi ss ions towaгds eacl1 Ul2
withiп the Mпlti -User МIМО groпp is поt ideal апd theгe will Ье some level of interfereпce . Iп this case, it is mоге meaпiпgfi1I to
gепегаtе CQI герогts afteг accotmtiпg fог the iпtегfегепсе geпeгated Ьу the 11011-idea l separation of'Mt1lti-Useг MIMO tшnsmi ss ioп s

* Figure 186 illt1stшtes ап example Multi-User МIМО scenat·io which involves 3 UE beiпg allocated а commoп set of Resouгce Blocks
апd symbols. Each UE is configured with 2 NZP CSI Rеfегепсе Signal 1·eso шces fог 'l11te1·fe1·eпce Measurement' апd I NZP CSI
Rеfегепсе Sigпal resouгce for ' Сhаппеl Measшemeпt'. The resouгces аге coпfiguгed sucil tl1at 2 UE complete iпtегfегепсе
measшemeп ts wmle the 3 rd UE гeceives its NZP CS I Refe 1·e пce Signal f01· сhаплеl measurement, i.e. 2 UE meastIГe tl1 e iпtегfегепсс
levels ge ncгated when traпsmissioпs ai·e schedt1l ed towat·ds the 3 rd UE. This allows each UE to gene1·ate CQI гер011s \vl1ich 1·etlect tlic
mt1lti-пser MIMO гadio conditions

* This type ofsolt1tio111·eqнiгes coпsideгation ofthe ove1·\1ead genet·ated Ьу the NZP CS I Refeгence Signal. The oveгl1ead iпcгeases as tlic
nt1mb eг of co-scheduled UE within th e mt1lti-t1seг MIMO gгопр i11c1·eases. Figuгe 186 illt1 stгates an exampl e \Vith 3 UE wl1i cl1 гeqtiircs
tl1e allocation оfЗ NZP CS I Refe1·ence S igna l гesouгces. T he addition of а 4 111 UE wot1ld геqнiге tl1e allocatioп of а 4 11 ' NZP CS I
Rеfегепсе S i gпal геsошс е, and so forth

* If а UE is scl1 edпled do\vпliпk геsошсеs t1s ing sing le н sег M IMO tl1e11 iпte1·fe1·eпce levels а ге like ly to Ье dominated Ьу iпteгce ll
iпte1·feгence (ог tile1·ma l пoise) а пd so UE mea sшe ments s l10нld taгget tl10se soшces оfiпtегfегепсе . З GРР l1as specifi ed а tl1iгd
categoгy ofCSI Rеfегепсе S igna l геsошс еs \Vhi c h сап Ь е нsed fог tl1is puгpose. Tilese resoшces аге ktIO\V П as CSI Interfere nce
Measш·eшent (IM) Reso urces. T l1 e Resouгce E lements configuгed fог tl1is рпгроsе may Ье t1sed to measure backgгoш1d iпtегfегснсс
levels, i.e. tl1e se1·vin g ce ll does поt tran smit aпything w itl1in these ResotIГce Elements so the UE са п meastIГe backgroппd iпte1·fereii cc
oгig i пating fгom 11eig l1bourin g cells

220
 5G NR in BULLETS

гггг
~~

I
ИЕ З Configuration 1 1 1
1 1 1 1 1 1
NZPCSIRFCM ~-
1 1 1 1 1 1
NZPCS/ RF IM ~-
1 1 1 1 1 1
1 1 1
NZPCSI RFIM
1

1 1 1 1 1 j ___
1 1

--
Beam 2

UE20 UЕЗ •

•
• UEl

Figure 186 - NZP CSI Refe1·e11ce Signals fo1· 'Cliannel Measш·eшent' апd 'lnterfe1·ence Меаsш·е шепt' ,vitl1 Multi-Use1· MIMO

* Tliere is а foшth ca tegoгy ofCSI Reference Sigпal knowп as а 'Ze1·0 Po,ver' (ZP) CSI Refe1·ence Signal. ZP CSI Refereпce Signals
are tised wit/1i11 the context of 'Reseгved Resoшces' described in section 3.6.7. А ZP CSI Refeгence Signal defines а set ofResoшce
Elements which do not contaiп апу transmission fог the UE, i.e. those Resource Elements а1·е 1·eseгved so they сап Ье used for
something else. They punctшe the PDSCH tгansmission so the Physical layer Rate Matchiпg ргосеdше afteг chanпe/ coding has to
ассонпt for а 1·e dнced nнmber ofResource Elements. The name 'Zего Power' сап Ье somewhat misleading Ьесанsе tl1e Resoшce
Elements allocated to the ZP CSI Rеfегепсе Signal may coпtain otheг tгansmissions
* F igшe 187 sнmmarises the fош categoгies of CSI Rеfегепсе Signal 1·еsо шсе . These categoгies are described in greate1· detail withiп t/1e
fo/lo,viпg sectioпs. Note that thгee ofthe categoгies аге configшed within the CSI-Rep01·tC011fig parameter structшe Ьесанsе these
categories аге associated with UE measшements апd гe porting. The foшtl1 categoгy is coпfigшed witl1iп PDSCH-Config Ьесанsе tl1is
category is н sed to defiп e Reserved Resoшces which аге not ava ilaЬ/e to tl1e PDSCH

Configured wilhin CSI-ReportConfig Configured wilhin PDSCH-Config

Non-Zero Power Non-Zero Power Zero Power

CSI Reference Signals
(NZPCS/ RS)
For Channel Measurement
CSI Reporting
Веат Managemenl
Connecled Mode Mobllily
Radio Link Failure Deleclion
Веат Failure De/eclion & Recovery
Periodic RSRP Reporting
Тiте & Frequency Tracking
CS/ Reference Signals CSI Reference Signals
(NZP CS/ RS) (ZP CS/ RS)
For lnterference Measuremenl
Used wilhin lhe context of
CSI Reporting 'Reserved Resources' to define а
ИЕ measures interference generated Rate Matching Pattern wfth
Ьу transmissions lowards olher ИЕ Resource Element resolulion
Puncturing of PDSCH Resource
Elements
CS/ lnlerference Measuremenl Resources
Serving Се// тау transmft оп
(CS/ /М Resources)
configured Resource Elements
CS/ Reporting
Serving Се// does по/ /ransmft оп
configured Resource Elemenls
ИЕ measures background inlerference
generated Ьу neighbouring ce/1s

Figш·e 187 - Catego1·ies of CSI Reference Signal

* The CSI-Repo1·tC011jig рагаmеtег st11.1ctшe is нsed to coпfigшe NZP CSI Refereпce Signal Resoшces fог both Chaпnel Measшement
апd Iпterfeгeпce Measшemeпt. It is also нsed to configшe CSI lnteгfeгeпce Measшemeпt (IM) Resoшce s . The hie1-ai-cl1y of pa1·ameteгs
associated wit/1 the coпfigшation of t/1ese resoшces is illustгated iп Figшe 188. А set of t/нее info1matio11 e/emeпts coп·espoпding to
tl1e three types of геsошсе point to,vaгds арргоргiаtе iпstaпces of CSJ-Resoш·ceC011fig. Iпstaп ces of CSI-R esouгceConfig аге
coпfigшed ,vithin the CSJ-MeasConjig paramete1· st11.1ctшe

* Figшe 188 iпdicates that CSI-Resoш·ceConfig сап /ist нр to 16 NZP CSI Rеfегепсе Sigпal Resoшce Sets wheп configшing tl1e UE fог
Channel Measшement. This is applicaЬ/e when the Resoшce Set t1·iggeгing mecl1aпi sm is ape1·iodic. Only а singl e Resoшce Set is
listed \Vhen the tгiggeгiпg mechaпism is eit/1e1· peгiodic 01· semi-peгsisteпt. ТаЬ/е 11 6 pгeseпts the stгt1ctшe of CSI-Reso111·ceC011fig апd
s/10,vs that tl1e tгigge1·iпg 111ecl1aпism is defiпed Ьу the 1·еsош·се Туре. ТаЬ/е 11 6 also il/u stгates t/1at ап SSB Resoшce Set can Ье
co пfi gшe d in add itioп to, 01· as ап alternative to t/1e NZP CSI Rеfегепсе Signal Resot1гce Set. Т/1е optioп to specify ап SSB Resoшce
Set highlig/11s the possibility of tt s iпg t/1e Syпclнoпi satioп Signa/s as an a lteгnative to the NZP CSI Refeгence Signa/
* Each NZP CSI Reference S i gпa l Resoшce Set iпclttdes нр to 64 NZP CSI Refeгen ce Signa / Resouгces. Т/1е Resoшce defines t/1e set of
Resoшce E l emeпts al/ocated to t/1e NZP CSI Rеfегепсе S i gпal. lt al so defiпes powe1· offsets betweeп tl1e Refe1·ence Signal , the PDSCH
а пd the Sync hгoni satioп S i gпa l s. Jn add ition, iпfoгmati011 гegarding Qt1asi Co-l . ocatioп (QCL) сап Ье inclнded. Tl1e defiпitioп of ап
NZP CSJ Reference Signal Resouгce is pгeseпted in section 3.7.4.1

221
5G NR in BULLETS

Non-Zero Power CS/ Reference Non-Zero Power CS/ Reference CSI lnterference
Signals (NZP CSI RS) Signals (NZP CSI RS) Measurement Resources
For Channel Measurement For lnterference Measurement (CS / /М Resources)
CSI-ReportConfig
► ► ►
resourcesForChanne/Measurement nzp-CSI-RS-ResourcesFor/nterference csi-/M-ResourcesForlnterference

:,:
CS/-MeasConfig ◊
--------- ---------- -- -- ------ --- ----------------- ---------------------------------- --- ----------------------- ----- ---------------------
CS/-ResourceConfig CSI-ResourceConfig CSI-ResourceConfig
!' nzp-CS/-RS-ResourceSetList nzp-CS/-RS-ResourceSetList csi-lM-ResourceSetList
г----------- - - --- - -- ------- - - - - - --,

i{! : NZP-CSI-RS-ResourceSetld : gj i NZP-CSI-RS-ResourceSetld 1 gj : CSI-IM-Resource;~;,~-

u:
~ : NZP-CSI-RS-ResourceSetld : ~ : NZP-CS/-RS-ResourceSetld : § : CSI-IM-ResourceSetld
*! NZP-CS/-RS-ResourceSetld ! in : NZP-CS/-RS-ResourceSetld : -~ : CSI-IM-ResourceSet/d
.!: :
<О :
~' '
:
: ~!
т- :
:
:
~ ! ...
.О : NZP-CSI-RS-ResourceSetld : .0 : NZP-CSI-RS-ResourceSetld : .О 1 CSI-IM-ResourceSetld
' ~'·---------------------------
~'
'---------- ---------------------- '' ~'
1 ---- -- -------------------------- '

NZP-CSI-RS-ResourceSet NZP-CSI-RS-ResourceSet CSI-/M-ResourceSet

,----- -------------------·----. ,-------- - ------ ------- --- ~

gJ : NZP-CSI-RS-Resourceld : gj j NZP-CS/-RS-Resourceld ! '-- Ш i CSI-IM-Resource/d i

~ ~ ! CSJ-IM-Resourceld !
~
.!:
: NZP-CS/-RS-Resour~e/d :
J NZP-CS/-RS-ResourCe/d ! *:
~ : NZP-CS/-RS-Resourceld :
NZP-CSI-RS-Resource/d : -!;! : CS/-/M-Resourceld :
i ...
1 1

~ ! 1
·-: ...
i:::'
:' ·-:
i:::'
.. . :'
а:,' а:,'
о: .. . :' о: . . . :'
.О !NZP-CSI-RS-Resourceld ! ;: : NZP-CS/-RS-Resource/d : ;: : CSI-IM-Resourceld :
· ----------------------------' 1 -- ----- -------- --- --- - - - - - - - 1 1 ------------ - - - ---- --- - - '

1 1 1
1 1 1

NZP-CS I-RS-Resource NZP-CS I-RS-Resource CS I-IM-Resource

F i g ш·e 188- llierarcliy of pa1·aщete1·s 11 se(I to configш·e NZP CSI Refe1·e11ce Signal Resoш· ces апd CSI IM Re s oш·ces

CSJ-Nesu111·ceCu11fig
cs i-ResourceCoпfi g ld О to 111
csi-RS-ResourceSetList C HOI CE
п zp- CS I-RS-SSB cs i-[М -Reso urc e

nzp-CS I-RS- SEQUENCE { 1 to 16 instaп ces cs i-lM-Reso шceSetL i s t SEQUENCE {l lo 16 i11sta11ccs

ResourceSetList of NZP-CSJ-RS-Reso111·ceSe1Jd} of CSI-IM-Reso11,-ceSe1Jd}
cs i-SSB-ResourceSetList SEQUENCE { 1 i11sta11ce of
CSI-SSB-Reso111·ceSelfd}
b,vp-ld О to4
resoшceType aperiodic, semiPersistent, periodic

ТаЫе \ 16 - Ра1·ашеtе1· st1· ucture used to coпfigui-e NZP CS I Reference Signal Resoш·ces and CSI IM Resources

* If CSI-ResouгceConfig is нsed to coпfigшe NZP CSI Rеfегепсе S i gп a l Resoшce Sets fог I11 teгfe1·eп ce Меаsнгеmепt th eп tl1 e pattc rп is
the same as tl1at н s ed fог С h а пп е l M ea sшe meпt
* If CSI-Resoш·ceConfig is н sed to coпfigшe CS J IM Resoнгces tl1eп it сап list нр to 16 CS I IM Resoшce Sets. Each CSI IM Reso 111·cc
Set iпc lнdes нр to 8 CSI IM Resoшces. The Resoшce defiпes the set ofResoшce E l emeпts allocated to tl1e CSI IМ Resoшce. l11 t lнs
case, tl1eгe is по ро,vег offset iпfoпnatioп , поr апу Qн asi Co- Locatio п (QCL) i11f01·matioп Ьесан sе the Base Stati oп does поt tгa11 s 1 1 111
a пytl1i11 g ,vithi11 the alloca tecl Resoшce E l eme пt s . Tl1e d e fiпit i oп of a CS J IM Resoшce is pгese пte d iп sec ti oп 3 .7.4.3

* CST Тп tеrfегеп се Meas шe meп t Res oшces shoнld Ье рlаппсd to осснру d i ffet·eпt Resoшce E l eme пts iп п e i gh boшi пg cclls. Tlie
obj ecti ve oftl1 ese 1·esoш·ces is to allo,v UE to measшe levels of i пteгcell i nterfeгeпce . This m eas шemeпt wi ll Ье comp1·orni sed i Г
11e i gl1boшin g ce lls have tl1e same coпfi gшation апd tlш s do по t t гa ns mit \Vl1 en th e UE is a ttemptiпg to measшe iп tегfегепсе levcls
* The CSJ Rеfегепсе S igпal нses the sнbcaпi er spaciпg beloпging to tl1 e paгent Baпdwidtl1 Part. Tl1e identity of the рагепt Baпdivilllll
Рагt is specified witl1i11 the CSI-Reso111·ceC011.fig р а га m е tе г s tп.1ctшe (b1 vp-Jd)

222

_J
 5G NR in BULLETS

* А в аsе Station са п transmit the CSI Reference Signal fro m 1, 2, 4, 8, 12, 16, 24 01· 32 а пtе пп а ports. Р о гt nнmb e r i n g ranges from 3000
iO 3031
TI е Re soнrce Elements allocated to tl1e CSI Reference Signal а ге popнl a te d using а pseudo random se qн en ce. Initialisation oftl1is
* 1oence depends нроn the slot number, tl1e symbol nнmber апd either the saamЫing!D ш· seque11ceGe11e1·atio11 Co11jig. The forme r is
~~~figoгcd as part ofthe NZP- CSJ-RS-Reso111·ce parameteг stп.1ctшe, whereas the latteг is configшed as рагt oft\1e CSI-RS-Resoш·ce­
MoЬility paramete1· s trн c ture

* Tlie в аsе Station нse s dedicated signalling to c_o nfigшe the CSI Reference Signal fог each UE. In some cases, mнltipl e UE _са п Ье
rovided \Vitl1 the same confi gura tюn шfo гma tюn so the CSI Reference S1gnal becomes shared between а gгонр of UE. Th1s helps to
;edoce tlie ove1·l1ead generated Ьу the CSI Reference Signal. Alternatively, if different UE have different апtеппа port capaЬilities then
one UE с а п Ь е c onfigшed w,th а sнb se t ofthe antenna p o гt s used Ьу a noth e г UE
As iпd icated Ьу ТаЫ е 11 6, NZP CSI Reference Signal Resources and CSI Interference Measurement Resources са п Ь е confi gнred as
'aperiod ic' , 'se mi -peгs iste nt ' or ' periodic'. The t1·iggering mechanisms applicaЫ e to these resoшc e types аге s нmm a ri s ed iп Та Ые 11 7.
Tliis t аЫ е also shows the t,· i ggeгiп g mechanisms for ZP CSJ Rеfе гепсе Signal Resources

NZP CS I RS (Cl1a1111el Meast1re111e11t)

NZ P CS I RS (l11terfere11ce Meast1re111e111) ZP CS I RS
CS I l11terfere11ce Меаsшетенt R eso шces
Aperiodic 'CSI Reqнes t ' \Vitl1i11 ОС! Format 0_ 1 ' ZP CSI RS Trigger' \vitl1in DCI Format 1_ 1
Sem i-Persisteпt ' SP CS I-RS / C SI- IМ Resoшce Set Act./Deact.' М АССЕ 'SP ZP CSJ-RS Resource Set Act./Deact.' М АССЕ

Periodic sem i-static coпfi gшa t i on (RRC signalli ng)

Та Ые 117 - T1·igge1·i11 g mechani sms fo,· CS I Refe,·e пce Signals

* Лp eгi o di c CSI Rе fегеп се Si gп a l Reso шces are tt· i ggeгe d н s iп g Downlink Со пtюl Iпfo гm a ti o n (DCI) о п the PDCCH. Eacl1 t1·igger leads
to а single t,·a п s mi ss i o п of the арр ю ргi аtе CSI Re fereп ce S i gп a l Reso шce Set
0 Aperiodic NZP CSI Rеfе ге п се S i gп a l s and CSJ Iпt е гfе ге пс е Meas шe m e пt Reso uгces ai·e tгi ggeгe d н s iп g а DCI Fo п11at which
allocates нp link геsо шсеs fо г the PUSCH, i.e. DCI Fo п11 at О_ 1. Tl1is а ррю ас l1 allows the UE to i n c \нd e meas uгeme пt гesнlt s
\Vi tl1i11 tl1e allocated 1·eso шces fo,· tl1e н p liп k t гan s 111 iss i o n . DCI Fo1·mat 0_ 1 is p гesented in sec ti o п 3.5.5
о Apeг i od i c ZP CSI Rеfегепсе S i gпa l s аге tг i gge ,· iп g нs iп g а DCI Fo п11a t wl1icl1 allocates do\v11li11 k геsо шсеs fо г tl1e PDSCH, i.e.
DCI Foп11at 1_ 1. Tl1is app1·oacl1 l1as Ьее п adopted Ьеса н sе ZP CSI Refereпce Signa ls defi п e Reseгved Reso шces wl1icl1 pt111 ct1.1 гe
tl1e PDSCH. DCI Foгmat 1_ 1 is pгeseп ted i п sect i o п 3.5.7
* Sc111i-Pe1·siste11t CSTRefe1·e11ce S i gпa l Resoшces аге t1· i ggeгed н s i пg МАС Соп t /'0 1 E l e m e п ts (МАССЕ). Tl1ese МАС Со пtго l
Шc m eпts аге нs e d to provide act i va ti oп а п d deact i vat i o п co111111a11ds. Se111 i -Peгs i s te 11t CSI Rеfе ге п се Signa ls а ге iпiti a ll y deactivated
afte г cont'igшat i oп а п d afte г а ha11dove1· pl'Oce dшe . А М АС Со пt /'0 1 E l emeпt is 1·eq11i гe d to i11 foг111 the UE tl1at the CSI Rе fе ге п се
S i gп a l lias become acti ve. The CSI Rе fе геп се S i gп a l 1·e111ai11s acti ve tшtil а deacti vation co mm a пd is seпt . Tl1e МАС Со пtюl E l e m e пt
osecl to acti vate/deacti vate NZP CSI Rе fеге п се Signals and CSI I п tе гfе ге п се M easшe 111 e 11t Reso шces is pгese nte d in F i gшe 189

А/О 1 Serving Се// /О .BWP/D Bandwidth Part

1 ldentity
Activate /
Deactivate Flag R 1~/М 1
SP CSI-RS Resource Set 10
Semi Persistent
Resource Set ldentities
R R SP CS/-IM Resource Set /О
Flag to indicate inclusion of 1
SP CSI-IM Resource Set /О ..,
R ТС/ State /0 0 Transmission Configuration lndicator (TCI)
1
State used for Quasi Co-location for the
nth resource within the Resource Set
R 1 ТС/ State /DN
~ - - - - -- - - - - -- - - -- ~1 •

F i g ш·e 189 - 'Semi Pe1·siste11t CSI RS / CS I IM Res oш·c e Set Activation / D eactiva tioп ' МАС Co11t1·ol Е lе ш е пt
* Th is М АС Co11 t1·0I E l emeпt iпclнdes а fl ag to diffeгenti a te bet\veeп acti vat i o п апd deacti vati o п . lt also specifies the ideп t iti es of the
serv iпg cell а п d Baпdw idth Рагt. А Reso шce Set Ideпti ty са п Ь е iпc lн ded fог ап NZP CSI Rеfеге п се S i gп a l Resoшce Set and fo1· а CS I
l11te1·ference Measшemeпt Rеsонгсе Set. А list ofTгa11s 111i ss i o 11 Coп fi gшa ti o n Iп cli cato гs (TCI) сап Ье iп c lнded fо г tl1e NZP CS I
Refe1·e11ce S i gп a l Resoшce Set. Тl1еге is а oп e- to-one mapp iпg bet\veeп eacl1 геsошсе be loп gin g to the Resoш·ce Set а п d eacl1 TCI
State. Eacl1 TCJ State identi fies а Qн asi Co- l ocat i o п (QCL) гe l at i on s l1 i p fог the co1тespo11di n g NZP CSTRеfегепсе S i gпa l Reso шce
(TCJ States апd QCL аге descгi bed i п section 2.6)
* Tlie М АС Сопtгоl E l emeпt t1sed to activate/deactiva te ZP CS I Rеfегепсе Signa l Resoшces is pгeseпted in section 3.7.4.2
* Peгiodic CSI Rеfегеп се S i gпa l Resoшces аге active as s0011 as tl1ey lшve Ьееп coпfigш-ed. Tl1ey 1·e111a i11 active L111 less tl1e UE is
recoпfigнred to гe l ease tl1e геsошсеs
* ЗGРР Refeгences: TS 38.33 1, TS 38 .2 14, TS 38.32 1, TS 38 .2 12, TS 38.2 11

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5G NR in BULLETS

3.7-4.1 NZP CSI REFERENCE SIGNAL RESOURCE

* The Base Station can configшe а UE ,vith one or more Non Zero Power (NZP) CSI Reference Signal ' Resource Sets ' . Each Resoн
Set incl1.1des one ог more CSI Reference Signal Resoшces. А single Resoшce Set is configured when periodic or semi persistent rce
triggering is 1.1sed. M1.1ltiple Resoшce Sets can Ье configured when aperiodic triggeгing is 1.1sed. The triggering mechanism is config r
within the pa1·ent parameter structure (CS/-Reso111"ceC011.fig presented in ТаЫе 116, section 3.7.4) 11Г.d
* The parameter stn1cture 1.1sed to configшe an NZP CSI Reference Signal Resource Set is presented in ТаЫе 11 8. This parameter
structшe if'lcl1.1des а Resource Set identity and а seq1.1ence of1.1p to 64 CSI Reference Signal Resoшce identities. These identities point
towards instances ofthe NZP-CSJ-RS-Resou,-ce parameteг strucrure presented in ТаЫе 119

NZP-CSI-RS-Reso111·ceSe1
nzp-CSI-ResourceSet!d О to 63
nzp-CSI-RS-Resources SEQUENCE { 1 to 64 instances of NZP-CSI-RS-Resom·ce!d }
repetition on, ort·
aperiodicTriggeringOffset О to 4
trs-lnfo true

ТаЫе 118 - Ра ,1 ·ашеtе1· st1·ucture 11sed to coпfigш· e an NZP CSI Refe1·e11ce Signal Reso11rce Set
* The Resoшce Set parameteг stn1 ct1.1гe inclнdes а flag to indicate whether ог not ' гepetition' is enaЫed. Ifthe Base Station sets the
гepetition flag to ' ON' then all CS~ Refeгence Signals belonging to the Resource Set аге tгaпsmitted 1.1sing th e same beam, i.e. they arc
traпsmitted 1.1sing the same spatial domaiп filteг. The repetition tlag can only Ье set 'ON' wl1en all ofthe CSI Repшts linked to tl1e
Resoшce Set have 1·epo,-1Q11a11lity set to eitheг 'cri -RSRP ' ог ' none'. Tl1e 'cri-RSRP ' val1.1e iпdicates that the UE reports tl1 e CSI
Rеfегепсе Signal Resoшce Iпdicatoг (CRI) and the RSRP measнred from tl1e CSI Refeгence Signal

* Figшe 190 illнstrates the 1.1se of the гepetitioп flag dшiпg Beam Management ргосеdшеs Р -2 and Р-3 (these ргосеdшеs а 1·е descгibecl iп
sectioп 9). Ргосеdше Р-2 is нsed to гefine the шiginal downliпk beam se l ectioп comp leted dшing Р-1. The beam selected dшiпg Р-1
may not Ь е ve1y diгectioпal, wl1i le the beam selected dшiпg Р -2 is likely to Ье mоге diгectioпal . Figi1гe 190 indicates tl1at the UE l1as
Ьееп co11figt1red with 4 CSI Refereпce Sigпa l Res oшces belonging to Resoшce Set 1. Tl1e гepetition fl ag has been set to 'OFF' so tl1c
Base Station can app ly diffeгent b ea mfoгmiп g to eacl1 CSI Rеfегепсе Sigпa l. Tl1e UE is а Ы е to m eas шe each CST Rеfегепсе Signal ai1cl
id e пtify tl1e best beam fог downliпk data tгansfe1·. Tl1e Resoшce Set is liпke d to а 1·epo1·1Q11anlity set to 'c1·i -RSRP ' so tl1e UE p1·ovitlcs
tl1e Base S tatioп witl1 tl1e id e пtity of the CSI Rеfегепсе Signal tгa п smitted Ьу tl1e best beam а пd the assoc iated RSRP measшement

* Ргосеdнге Р- 3is н se d to select tl1e best bea m at the UE. Tl1 e Base Stat ioп t1·a11s111its repetitioпs of tl1e CSI Refe1·e11ce S i gпa l нsiпg tl1c
Ьеа111 selected dшiпg Р -2 .
This pгovides the UE ,vith s1.1fficie11t time to switcl, bet\vee п its оwп Ь еа 111 positions а пd ideпti fy th e best
beam fог paiгiпg with the already selected Base Statioп beam. Figшe 190 iпdicates that the UE has Ьееп coпfigшed with 4 CS I
Reference Sigпal Resoшces beloпging to Resoшce Set 2. The repetitioп flag has been set to 'ON' so the Base Station appl ies the sai11c
beamforming to each CSI Refereпce Signal. In this case, tl1e Resoшce Set is liпked to а 1·epo,-1Q11a11tity set to ' попе ' so tl1e UE does 1101
provide the Base Statioп ,vith any iпformatioп гegaгdiпg the selected beam

Beam Management Procedure Р - 2 Beam Management Procedure Р-3

Repetition = OFF Repetition = ON

CSI Reference Signal CSI Reference Signal
Resource Set Resource Set
1 1 1 1 2 2 2 2
: Symbol 1Symbol l Symbol Г Symbol : 1

н
: Symbol symbol : Symbol : Symbol :
: ___ 1___J___
2 ___ L__
з ___ t___
4 __ : :_ _ ___1 _ __ J:_ _ __2___ J:________
3 :L _______
4 _:

CS I Reference Signa l ,--- ----- -------- ---- -,

,--,\(-\\ () ?___________________ _
Resou r ce lndi cator ! reportQuantity ! 1 1 : repo rtQu antity
(CRI)
:,_______
= 'cri-RSRP'
___ ___ ___ ___ __ :, No CR I r eported • !_ =_'попе' ________ _

Fig111·e 190- Use ot" tlte 'Repetitioп' flag (llll·iнg Веат Ма п аgе 111 е пt procedш·es

* Tl,e ра1·а111еtег stп1cll.1гe pгeseпtecl iп Та Ы е 118 also iпc lнd es ап 'ape1·ioclicT1·igge1·i11gO.flset'. This iпfoгmatioп e l emeпt is app li caЫe
whe п apeгiodic tгi ggeгi11 g 1,as Ьееп coпfigшed. It defi 11es а time offset bet\veen tl1 e slot dшing ,vhicl, tl1e UE гeceives the trigge i· ancl
the slot dшiп g ,vhicl, tl1e Re so шc e Set is t1·a11s111itted

224
 5G NR in BULLETS

* т11 еfinal infoгmation element within ТаЫе 118 is th e ' tп-Info' tl ag. This is used to indicate that the CSI Reference Signal Resource
Set is to Ье t1sed as а Tгacking Rеfеге п се Signa l (TRS), i.e. it is to Ье used for fin e nшing oftime and freqt1ency syncl1ronisation. The
нsе of а CSI Reference Signal Resoшce Set as а TRS is described in section 3.7.5

* The paгameter stn1ctшe used to coпfigt1re an NZP CSI Refeгence Signal Resoшce is showп in ТаЫе 119. Each resoшce is allocated an
identity withiп the range О to 63. The 1·esoш·ceMappi11g sectioп is the key to t1nderstandin g tl1e set ofResoшce Elements allocated to
the CSI Reference Signal. The information within this section сап Ье used to ident ify а row within ТаЫе 120. The row nt1mber itself is
only explicitly signalled when t1sing row 1, 2 ог 4. In other cases, the UE has to dedttce the row nнmber нsing а combination of
inforrnation elements. For example, юw 3 сап Ье deduced if J1l'OjP01·ts = 2, wheгeas ГО\V 5 сап Ье dedнced if the 11/'0jPOl·fs = 4 and
fl·eq11e11cyD0111ai11A/locatio11 = 'otheг'

* т1 1 eji·eq11e11cyDomai11A!!ocatio11 Ьit strings provided Ьу the 1иvl , miv2, 1·01114 and otl1e1· infoгmation elements specify the starting
sнbcarrier allocation fог the CSI Reference Signal:

0 1 · 0 н, 1: а single Ьit shot1ld Ье set to '1' and k 0 within ТаЫе 120 is set eqнal to the position of that Ьit . FOI' example, if 1иv 1 = 00 l О
then k 0 = 2, and row 1 \Vithin ТаЫе 120 indicates that st1bcaпiers 2, 6 and 1О аге allocated to the CSI Refeгence Signal

0 гон,2: а single Ьit shoн l d Ье set to ' 1' and k 0 within ТаЫе 120 is set eqнa l to the position of that Ьit. For example, if l'Ои 12 = 0000
О 100 0000 th eп k 0 = 5, and гоw 2 within ТаЫе 120 iпdicates tl1at st1bcarrieг 5 is allocated to the CSI Refeгence Signal

0 should Ье set to ' 1' and k 0 within ТаЫе 120 is based ttpon the position of that Ьit . Fог example, if l'oiv4 = О I О
1·0 1114: а siпg l e Ьit
then k 0 = 4 (k 0 is set eqt1al to the Ьit position х 4). Fог this example, гоw 4 within ТаЫе 120 indicates tliat sнbcarriers 4, 5, 6 and
7 are allocated to the CSI Refeгence Signal. Tl1ese valнes are calcнlated fгom k 0 + k' and k 0 + 2 + k' , where k' = О and 1

0 ot/1e1·: more than а si пgle Ьit сап Ье set to ' 1' depeпdiпg ttpon the existence of k 0 , k 1, k 2 , k 3, k 4 and k 5 within the J'elevant гоw of
ТаЫе 120. In this case, k,._ 1 is set eqнal to 2 х the Ьit position of th e 11 111 Ьit set to ' 1'. Fог example, row 15 нses k 0 , k 1 and /с 2 so 3
Ьits sl10t1 ld Ье set to '1 ', e.g. 010110
• k0 = is set eqt1al to 2 х tl1 e I st Ьit positioп set to ' 1' (k 0 = 2 in this example)
• k 1 = is set eqнal to 2 х the 2 nd Ьit positioп set to ' 1' (/с 1 = 6 in thi s example)
• k 2 = is set eqнal to 2 х the 3 rd Ьit position set to ' 1' (k 2 = 8 in this example)

Fог tl1i s example, юw 15 within ТаЫе 120 iпdicates tl1at s нЬсаггi егs 2, 3, 6, 7, 8 and 9 а ге allocated to the CSI Refeгence Signal.
Tl1ese va lt1es аге calct1lated fгom k 0 + k', k 1 + k' апd k 2 + k' , wheгe k' = О and 1

.Yl/ 1-CSI-RS-Resu111·cc
11 zp-CS !-R S-Reso нrce !d О to 63
reso шceMapp in g fi'e qtt e11 cy D0111ai11Лllu ca 1 i u 11 C HO IC[

ro1vl 11
ro1v2 ro1v4 11
otl1er
В!Т STRГNG {4 bits} 11 В!Т STRING { 12 bits} В!Т STRING {3 bits} 11 BIT STRING {6 bits}
пro!Ports 1, 2, 4, 8, 12, 16, 24, 32
firstOFDMSymbol!пTimeDomain о 10 13
firstOFDMSymboll11TimeD0111ain2 2 to 12
cdm-Type поСDМ, fd-CDМ2, cdm4-FD2-TD2, cdm8-FD2-TD4
deп s ity CHO ICE

0.5 1 3 spare
evenPRВs, oddPRВs 11

freqBa11d s tartiпgRВ О to 274, step 4

пrofRВ s 24 to 276, step 4
po1verC011trolOffset -8 to 15
po1verC011trolOffsetSS -3, О, 3, 6 dB
scra mЫing!D О to 1023
periodicity A.пdOffset C HO ICE

4 s lots О to 3 20 s lots О to 19 160 s lots О to 159

5 slots О to 4 32 s lots О to 3 1 320 s lots О to 3 19
8 s lots О to 7 40 s lots О to 39 640 s lots О to 639
10 s lots О to 9 64 s lots О to 63
16 s lots О to 15 80 slots О to 79

qc l-!пfoPeriodicCS!-RS TCI-State!d О to 127

ТаЫе 119 - Ра1·ашеtе1· st1·uctu1·e 11sed to coпfigш·e ап NZP CSJ Refereпce Sigпal Resoш·ce

225
5G NR in BULLETS

* Ji1·stOFDMSymbollnТimeDomain provides the value of 10 , wheгeasji1·stOFDMSymbollnTimeDomai112 provides the value of 11 . The 1

and 11 variaЬ\es are symbol indices appearing in ТаЬ\е 120 °
* cdm-Type is applicaЬ\e when multiple ports share the same Resource Element allocation. In this case, code division mнltiplexing is
used to diffeгentiate the transmissions from each рогt, i.e. orthogonal codes аге superimposed upon the transmissions from each port
The value 'fd-CDM2 ' means that code division multiplexing is used to differentiate 2 Resource Elements which осснру diffeгeпt ·
subcaгriers. The valнe 'cdm4-FD2-TD2' means that code division multiplexing is used to differentiate 4 Resource Elemeпts which
occupy а grid of2 subcarriers х 2 symbols. The value 'cdm8-FD2-ТD4' means that code division multiplexing is нsed to differeпtiat
8 Resource Elements which осснру а grid of 2 subcaгriers х 4 symbols е
* density quantifies the number ofResource Elements allocated to the CSI Reference Signal рег Resource Block per Рогt. А deпsity of
0.5 means that every second Resource Block inclнdes 1 Resource Element allocated to the CSI Reference Signal per Рогt
* fi·eqBand specifies the set ofResource Blocks allocated to the CSI Reference Signal. Both stm·tingRB and 111·0.fRВs are configнгed as
integer multiples of 4 Resource Blocks. №mbering is based нроn the Common Resource Block grid. If the values of stal'/ingRВ апd
m·ojRBs \ead to а resource allocation which extends oнtside the relevant Bandwidth Part then the resource allocation is truncated Sttcli
that it remains inside the Bandwidth Path. The bandwidth allocated to the CSI Reference Signal is always ~ 24 Resource Blocks, нпless
the Bandwidth Part occupies \ess than 24 Resource Blocks in which case the bandwidth is set eqнal to the number ofResource Blocks
within the Bandwidth Part

CDM G го нр
Ro,v Ports De п s i ty CDM Тур е (k , 1) lпd ex
k' /'

1 1 3 NoCDM (k 0 , 10 ), (k 0 + 4, 10 ), (k 0 + 8, 10 ) 0,0,0 о о

2 1 1, 0.5 NoCDM (ko, lo) о о о

3 2 1, 0.5 FD-CDM2 (ko, lo) о О, 1 о

4 4 1 FD-CDM2 (k 0 , 10 ), (k 0 + 2, 10 ) О, 1 О, 1 о

5 4 1 FD-CDM2 (k 0 , 10 ), (k 0 , l0 + 1) о, 1 о, 1 о

6 8 1 FD-CDM2 (k 0 , 10 ), (k 1, 10 ), (k 2, 10 ), (k 3, 10 ) О, 1, 2, 3 О, 1 о

7 8 1 FD-CDM2 (k 0 , 10 ) , (k 1, 10 ), (k 0 , l0 + 1), (k 1, 10 + 1) О, 1, 2, 3 О, 1 о

8 8 1 CDM4 (FD2, TD2) (k 0 , 10 ), (k 1, 10 ) о, 1 О, 1 О, 1

9 12 1 FD-CDM2 (/<о, lo) , (k1, lo), (k2, lo), (k3, lo) , (k1, lo), (ks, lo) о, 1, 2, 3, 4, 5 О, 1 о

10 12 1 CDM4 (FD2, TD2) (ko, lo), (k1, lo), (k 2, lo) О, 1, 2 О, 1 о, 1

11 16 1, 0.5 FD-CDM2
(k 0 , 10 ) , (/, 1, 10 ), (k 2, 10 ), (k 3, 10 ), (k 0 , 10 + 1), О, 1,2,3,4, 5,6,
О, 1 о
(k 1,1 0 + 1),(k2,1 0 + 1),(k 3, 10 + 1) 7
12 16 1, 0.5 CDM4 (FD2, ТD2) (k 0 , 10 ) , (k 1, 10 ), (k 2, 10 ), (/< 3, 10 ) о, 1, 2, 3 О, 1 О, 1
(ko, lo) , (/<1, lo), (/<2, lo), (/<о, lo + 1), (k1, lo + О,1, 2, 3, 4, 5, 6,
13 24 1, 0.5 FD-CDM2 1), (k 2, 10 + 1), (k 0 , 11), (k 1, 11), (/, 2, 11) , (k 0 , 11 + 1), О, 1 о
7, 8, 9, 10, 11
(k 1, 11 + 1), (k 2, 11 + 1)
14 24 1, 0.5 CDM4 (FD2, TD2) (ko, lo) , (k1, lo), (k2, lo) , (ko, 11), (k1, 11), (/<2, 11) о, 1, 2, 3, 4, 5 о, 1 О, 1
(/<о, lo), (/<1, lo), (/<2, lo) о,1,
15 24 1, 0.5 CDM8 (FD2, TD4) О, 1, 2 О, 1
2,3
(ko, lo), (k1, lo), (k2, lo) , (/<3, lo), (/<о, lo + 1),
О, 1, 2, 3, 4, 5, 6,
(k 1 , 10 + 1), (/< 2, 10 + 1), (k 3, 10 + 1), (k 0 , 11) , о, 1 о
16 32 1, 0.5 FD-CDM2 7, 8, 9, 10, 11,
(k 1, 11), (/, 2, 11) , (k 3, 11), (k 0 , 11 + 1), (/, 1, 11 +
12, 13, 14, 15
1), (/, 2, 11 + 1), (k 3, 11 + 1)
(ko, lo), (/<1, lo), (k2, lo), (k3, lo) , (/<о, 11), о, 1, 2, 3, 4, 5, 6,
о, 1 о, 1
17 32 1, 0.5 CDM4 (FD2, ТD2)
(k 1, 11), (k 2, 11), (k 3, 11) 7
(/<о, lo) , (/<1, lo), (k 2, 10 ), (k 3, 10 ) о,1,
18 32 1, 0.5 CDM8 (FD2, TD4) О, 1, 2, 3 О, 1
2,3

Таьtе 120- CS\ Refereпce Sigпal mappings to Resoнrce Elements

* Figшe 191 illнstгates examp les of the CSI Reference Signal for гows l and 2. Row 1 is а special case Ьесанsе it has а hi gh density
wl1en compaгed to all otheг гows. This configшation is нsed Ьу the Tгackiпg Refe1·e11ce Signal (TRS) descгibed iп section 3.7.5. It is
also inteпded fог Beam Managemeпt ргос е dшеs. The hi gl1 deп s ity ofRe soшc e Elements helps to impгove measшemeпt ассшасу.
Row 1 н ses single рогt tгa пsmissioп so code divisioп m1.1 ltiplexi11g is поt 11ecessa1-y. The example iп Figure 191 assнmes
fiгstOFDMSymboll11Ti111eD0111ai11 = 10 = l = 5. Tl1e figure illнstгates а siпgl e NZP CSI Rеfегепсе Signa1 Resoшce . Mнltiple 1·esoшces
сап Ье configшed ,vitl1i11 а Resoшce Set to iпсгеаs е the 111.1mber of Resoшce Elements allocated to tl1e CSI Rеfегепсе Signal

* Row 2 allows а siпgl e Resoшce Elemeпt to Ь е allocated to the CSI Rеfегепсе Signal anywhere within tl1e Resoшce Elemeпt gгid. lп
pгactice, there will Ь е some restг i ctioп нроп tl1e location ofthe CSI Reference Signal Ьесанsе it mнst avoid апу Resoшc e Elemeпts
,vhicl1 have alгeady Ьееп allocated fог otl1er purposes, e.g. the Demodнlatioп Rеfегепсе Signal (DMRS). Row 2 is the secoпd

226
 5G NR in BULLETS

c onfi gшa tion ~hich s11pports sing le рогt tгa n s mi ss ion so does not_гe qui re code di vision multipl ex ing. The exampl e in F igure 19 l
assumes k 0 = k = 2 and fiгs tOFDMSym bo /111Тi111 eD0111ai11 = 10 = l = 5

Row 1 Row2
frequencyOomainAlloca lion - row1 = 0010 frequencyOcm ainAl/ocalion - row2 = 0010 0000 0000
Пrs tOFOMSymbollnТimeO omain =5 ПrstOFOM Symb ollnTim eOoma in = 5
Oeпsdy = 3 RE per PRB per Por1 Oensdy = 1 :JГ 0.5 RE per PRB per Por1

о 1
о
о
о
о
о

ц
о
о

о
1
f(
о '---- '--'--'--- --'--- ----'
О 1 2 3 4 5 6 7 8 9 10 11 12 13 О 1 2 3 4 5 6 7 8 9 10 11 12 13

Fi g ш·e 191 - CS I Refe1·e11ce Sigпa ls base<I upon 'Ro,v 1' апd 'Ro,v 2'

* Fi gшe 192 illust1·ates an exampl e of th e CSI Re fe1·ence S ignal fOl' гоw 3. This is the only row w'1ich provides support fo1· transmi ssion
acl'Oss 2 ports. Row 3 allocates 2 Resoшc e E lements a cгoss 2 po1·ts so th e density is equal to l Res oшce E lement per Resource Block
р ег Po1·t. А clensity of 0. 5 са п Ь е achi eved if tl1e allocated Resoшce Elements а ге гes tri c te d to еvе гу second Res oшce Block. Row 3
н ses code di vision multipl ex ing to di ffe1·entiate between the tгa n smi ss i o п s о п each р о гt. The CSI Re feгe nce Signa l оп р о гt 3000 is
multiplied Ьу {+ 1,+ l }, while the CSI Re fe1·ence S i gп a l о п port 300 l is multiplied Ь у {+ l ,- l }. T he exa mple iп Fi gшe 192 assttmes k 0 =
k = 4 and ji1·stOFDMSy111bo/111Ti111eDomai11 = 10 = [ = 5. Iп thi s case, k' = {О , 1} so tl1e all ocated sttbcarгi eгs are k = k + О and k = k. + 1

Row 3
frequeпcyOomainA l/oca tioп- other = 001000
firstOFOMSymbollnТime Oomain =5
Oensily = 1 or 0.5 RE per PRB per Port
FO-COM2

Port 3000 Port 300 1

о СОМ Group О СОМ Group О

о
+1
1
+1 1 ,-l- 1 1

о г r, 1 r--1
О 1 2 3 4 5 6 7 8 9 10 11 12 13 О 1 2 3 4 5 6 7 8 9 10 11 12 13

Figш· e 192 - CSI Refere пce Si g пal s based 11роп 'Ro,v 3 '

* F i gшe 193 illustrates exa mples of tl1 e CSI Re feгe n c e Signal fо г l'OWS 4 and 5. Tl1ese l'OWS sttpport transmissioп ac1·oss 4 ports. In these
cases, the all ocated Reso шce El em e пts аге assigned to Code Division Mult i pl ex iп g (CDM) gгoups. Ports 3000 and 300 l share tl1 e
same Res ol!Гce Element allocation and belon g to the same CDM gгottp . S imilarl y, ports 3002 and 3003 share th e same Resoшce
Element alloc ation and belo ng to tl1 e same CDM g гoup . Tl1e po11s belo ngin g to Row 4 use а co mbinati on o f fгеqн е п су di vision
пшltipl ex in g and code di v ision mttltiplexing, wl1 e гe a s the po rts b e l o п g iп g to Row 5 н s е а combinati on o f time divi sion mнltipl ex iп g
and code di v i s i o п mнltipl ex iп g

* Tl1 e nнmb eг in g of poгts has been specified to e n s шe that t1·ansmissions belonging to the same CDM gl'Ot1p have co п secнti ve р о г t
пшn Ь е гs . This аррго ас h helps to all ow CSI Rеfе ге п се S i gп a l s to Ь е г e -ti se d Ьу UE with diffeгe nt a nte nп a po1·t co nfi gшa tion s. Fог
examp le, а UE \,V[1ich sttppo11s 4 a пte nn a р о гt tш n sш i s s i o п cottld Ь е co n fi guгed w ith the 'row 4 ' example ill ttstrated iп F i gшe 193 ,
\Vl1ile а UE w hic l1 on ly s t1pp ш1s 2 а пtе 1111 а ро гt tгa n s m i ss io п cottld Ь с c oпfigu red tt s iп g tl1e ' ю\v 3' examp le illt1 s tгa t ed in Fi gшe 192.
Botl1 fi gl!Гes tt se the same R еs о нгсе Elements а пd CDM se q н e nc es fо г p o гts 3000 а пd 300 1. T l1is makes it p o ss iЫ e fог botl1 UE to
s lia гe the same tгa п s m i ss ion fюm tl1e Base S t at i o п

* RO\V 4 н s es k 0 а п d k 0 + 2 comb ined w itl1 k ' = { О , 1} to ge11e1·ate th e со lнmп of 4 Res oшce E lements, i.e. k 0 +0, k 0 +1, k 0 +2+0, k 0 +2+ 1.
In c oпtгa st , гоw 5 н se s k 0 \,Vit h k' = {О , 1} in c omЬi п a t i o n \Vith 10 а п d 10 + 1 to generate tl1e 2х2 g г id ofR e soшce E lements. Botl1 l'O\VS
ге tа i п а density of I R es o шce E l e m e п t р е г Res o шc e B lock р е 1· ро гt Ь е с а н s е 4 Res o шc e E l e m e п ts ai·e all ocated acгo ss 4 po11s

2 27
5G NR in BULLETS

Row4
frequencyDoma inAl/ocation- row4 = 010
firstOFDMSymbollnТimeDomain= 5
Density = 1 RE per PRB per Port
FD-CDM2

~- г- - -- Port 3000 ,- г-- -г- ~

Port 3001 - г--- J Port 3002
1
1
1
-
' '
Рог

--
CDMGroupO -
CDMGroup0 - - - CDMGroupl -
-- -
-
-- -- 1- 1--- - - 1--1-- 1--
о
г-- Г-·-· --f-- 1--г-

11~-
~

,_ г- г--
- +1

1 -1 ,_ - -- - -
+1
±j lli +1
-г-~
--
--
-г--

--1-- г- f-- - -- 1- - -- 1-- -

о г 1

Row5
frequencyOomainAl/ocation - other = 001000
firstOFOMSymbolln Тim eOomoin = 5
Density = 1 RE per PRB per Port
FD -CDM2
'
о

о
· Port3000
-jr- Port3001
CDMGroup0

1
о т

Figш·e 193 - CSI Refe1·ence Signals based upon 'Ro,v 4' and 'Ro,v 5'

* F i gшe 194 illt1strates an examp le ofthe CSI Refe гe11c e Sig11al fог гоw 6 wl1icl1 st1ppoгts tt·ansmission acюss 8 poгt s. In this case,
freqt1ency mнltipl ex in g is н sed to iso late а set of 4 CDM gю t1p s . Similar to tl1e pгev iot1 s example, p o гts belonging to tl,e sa111e CDM
g1·ot1p liave consect1tive nttmber·ing. Row 6 t1ses k 0 , k 1 , k 2 a11d k 3 so 4 bits аге set to ' 1' withi11 the./i·equencyD0111ai11Allocatio11. Tlic
example in Figшe 194 assнmes that bits О , 2, 4 a11d 5 have been set to ' 1', wl1i cl1 leads to k 0 =0, k 1 =4, k 2 =8 a11d k 3 =1О. Tl1e total sct оГ
allocated s нbc a пier·s is {О , 1, 4, 5, 8, 9, 1О , 11} becat1se k' = {О , 1}, i.e. eacl1 valнe of k' is added to each va lн e of k". Tl1e d e п s ity of 1
Resoшc e Eleme11t рег Resoшce Block р ег рогt is гetained Ь еса н sе tl1e1·e а ге 8 Resoшce E l e m e пt s allocated acюss 8 por·ts

Rowб
frequencyDomainAllocotion - other = 101011
firstOFDMSymbolln TimeDomoin = 5
Density= 1
FD-CDM2

1 t jj
j
1
t Port 3003
1 1 Port 3000 Port 3001 Port 3002
f CDMGroup 1

·1пт
CDMGroup0 1 CDMGroupl

t tf [ [ 1J r r r 1 [ 1
It
~
1
j 11
1
1 1 1 1

tj ~
f ,r i +1 -1 1

т
1

1)
+1Т
1] 1
+1 1
1
1
1 t ' 1

Port3004 Port 3005 Port 3006 Port 3007

+1 сом Group З
CDM Group 2 СОМ Grou p 2 CDMGroup 3
+1 -1
+1 +1

□ □ □ □
Figш·e 194 - CSI Refe1·ence Signals based upon 'Ro,v 6'

228
 5G NR in BULLETS

F·gu re 195 illt1strates exa mp les of th e CSI Re ference Signal for гows 7 to 12. T hese examples а ге presented using а single Reso шc e
E;ernent grid fог all ports (to keep th e figшe relati vely co mpact). In reali ty, each port will have its own Resoшce E lement gri d as
liown for prev ioнs exampl es. Rows 7 and 8 transmit th e CSI Reference Signa l acro ss 8 ports, whil e гo ws 9 and I О transmit across 12
~orts, and rows 11 and 12 t1·ansmit across 16 poгts. The max imнm density remains as I Resoшce E lement рег Resoшce Block рег Рогt

~ Ro w B Row9
8 Ports 8 Ports 12 Ports
4 COMGroups 2 COMGroups 6 COMGroups
.,

-- - >--

- >-- il - >--

1о

Row 10 Row11 Row12

12 Po rts 16 Ports 16 Ports
3 COMGroups BCOM Groups 4 CDMGroups
11'.r.
~
'
!!i
"4 ,,
;:- "1
";j ,,
11
,,,_
1':
• 1
;-г. 11

F i g ш· e 195- CS I Reference Signa ls based upon 'Ro,vs 7 to 12' (a11te1111a po1·ts supe1·imposed upon е ас /1 ot l1e1')

* F i gшe 196 illt1st1·ates exa mpl es of the CS I Refe1·e11ce Si gп a l fо г гo ws 13 to 18. Ro\vs 13, 14 а пd 15 t гa n s mit the CSI Re fereп ce Signa l
across 24 po гts, whil e rows 16, 17 а пd 18 tгa 11 s mit across th e ma x i mнm of 32 po1·ts. Tl1e overhead ge11e1·ated Ьу tl1e CS J Re fe reп ce
Signa l iп c гeases as the nнmЬ е г of ports in c гeases. ln the case of 32 pшts, tl1e CS ! Reference Signal occt1p ies 32 / 168 = 19 % of
Re s o шc e Elements

Row13 Row 14 Row 15

24 Ports 24 Ports 24 Po rts
12 СО М Groups 6 COM Groups 3 COIV/Groups

. "'
,, ' - '~
1'·

..,
-
,'1! i.- 1·~, ~
\ if •
!'1" с

1'
,~ ·-
Row 16 Row17 Row18
32 Por ts 32 Ports 32 Ports
16 СОМ Groups BCOM Groups 4 CO MGгo up s

,. ,-
'
-

1 ..

Figure 196 - CS I Reference Sig1ials based upon 'Ro,vs 13 to 18' (a 11 te1111a po1·ts supe1·imposed upon еас/1 otl1 e1·)

229
5G NR in BULLETS

Retuming to the NZP-CSI-RS-Resouгce parameteг structшe shown in ТаЫе 119, the po111e"Co11t1·0/0jfset inf01mation elemeпt
* the transmit power difference between the CSI Refereпce Signal and the PDSCH. Кnowledge ofthis power difference is impo:.Pecific
.

when generating Channel State Infor~ation (~SI). For exampl_e, а UE will report lower CQI values ifthe PDSCH transmit PO\V:;:s
reduced. The potve!'Cont!"O!OffsetSS шformatюn element spec1fies the power d1fference between the CSI Reference Signal апd 11 ·
Secondary Synchronisation Signal ie

The sCl'amЬ!ing!D is нsed as an input wl1en generating the pseнdo random sequence whicl1 populates the Resoшce Elemeпts alloc-- ie
* to the CSI Reference Signal " ll

The pel'iodicityAndO.ffset is applicaЫe to periodic and semi-persistent CSI Reference Signal Resources. It is used to defiпe tlie slot
* timing ~fthe C~I Reference Signal transmiss_ions. The period сап ran_ge fio~ 4 to 640 s\ots, e.g. 4 to ~40 ms when нsing the 15 kHz
subcarпer spacшg, and 0.5 to 80 ms when usшg the 120 kНz sнbcarпer spacшg. All CSI Refereвce S1gnal Resouгces within а set
configured with the same periodicity Ьнt may Ье configшed with different offsets. This principle is used Ьу the Tracking Refeгeiic:гc
Signal (ТRS) when it is configшed to occupy 2 consecutive slots

qcl-I1ifoPe1·iodicCSI-RS is used to link the CSI Reference Signal to а Transmission Configuration Indicator (TCI) State. This is donr 1
* provide the UE with information regarding Quasi Co-Location (QCL). QCL means that transmissions from different antenna ports 0
have some common 'large scale ' radio channel characte1·istics, e.g. Doppler Shift; Dopple1· Spread; Average Delay; Delay Spi·eacl ·
Spatial Receiver Paгameters . 3GPP has defined QCL Types А, В, С авd D to specify diffeгent comЬinations ofthese 1·adio cliarm~I
characteristics. For example, QCL Туре В means that Doppler Shift and Doppler Sp1·ead are expected to Ье the same f01· the ariteima
ports which are Quasi Co-Located. Providing the UE with knowledge ofQCL helps the UE with its channel estimation, freqti ency
offset estimation and syвchгonisation pгocedures. А TCI State indicates that the CSI Refereвce Signal is Qнasi Co-Located \Vitli eitlicr
а specific SS/PBCH Block or another CSI Refe1·ence Signal. The TCI State also indicates the appгopriate QCL Туре (А, В , С 01- D).
Section 2.6 describes the coвcepts ofQCL and TCI States in greater detail

3.7-4.2 ZP csr INTERFERENCE MEASUREMENT RESOURCE

* Z е го Роwег (ZP) CSI Refeгenc e Signals ai·e confi gшed within th e PDSCH-Config р а гаmеtе г strнctuгe . The гel eva вt sections of tl1is
рагаmеtе г stгнсtше are sl10wn iп ТаЫе 121. The first entгy is н se d to confi gшe t1p to 32 ZP CSI Refe1·ence Signal Res oшces. Eacl1
Reso шce is configuгe d t1 s iп g а п iп s ta пce of tl1e ZP-CSI- R S-R eso ш·ce р а га mе tег s tп1 c tшe (ТаЫ е 122). Tl1e second епt1у са п Ь с 11sctl 1 о
гe l ease нр to 32 ZP CSI Re fe гe n ce Si gпal Res oшces

POSC/-/-Cu11/ig
zp- C SI-RS-ResoшceToAddModLi s t SEQUENCE { 1 to 32 i11stances of ZP-CSI-RS-Reso111·ce }
zp-CSl-RS-Resot1rceT0ReleaseList SEQU ENCE { 1 to 32 i11stances of ZP-CSI-RS-Resoul'celd}
aperiodic-ZP-CS!-RS-Resot1rceSetsT0AddModList SEQUENCE ( 1 to 3 i11stш1ces of ZP-CSI-RS-Reso111·ceSe1 }
aperiodic-ZP-CS!-RS-Res oшceSetsToReleaseLi s t SEQUENCE ( 1 to 3 i11sta11ces of ZP-CSI-RS-Reso111·ceSetld )
sp-ZP-CSl-RS-Resot1rceSetsT0AddModList SEQUE NCE { 1 to 16 i11sta11ces of ZP-CSI-RS-Reso11J"ceSe1 }
sp-ZP-CSl-RS-Resot1rceSetsT0ReleaseList SEQUENCE { 1 to 16 insta11ces of ZP-CSI-RS-Reso111·ceSetfll }
p-ZP-CS!-RS-Resot1rceSet Sett1pRelease{ ZP- CSI-RS-Reso111·ceSe1)

Таьtе 121 -Sectio11s of PDSCH-Config 11sed to co11fig11re ZP CSI Refe1·ence Sig11als

* The Base Statioп сап theп coпfigшe нр to 3 aperiodic ZP CSI Refeгence Signal Resoшce Sets. Eacl1 Resoшce Set is confi gшed t1s iнg
the ZP- CSI-RS-Resoш·ceSet pai·ameter stгнctuгe (ТаЫе 123). This рагаm еtег stгt1ctшe simply assi gns an ideпtity and gl'Ot1ps t1p to 16
ZP CSI Rеfегепсе Signal Resoшces into а set. Resoшce Set identities I to 3 are нsed fог aperiodic t1·iggeгing. DCI Fom1at 1_ 1 i nclщlc~
а 'ZP CSI-RS Tгiggeг ' fi eld wl1ich са п Ье t1 sed to trigge1· ап aperiodic Resoшce Set. Tl1is fi e ld occ t1pi es t1p to 2 Ьits to a\lO\\' thc J
Resoшc e Sets to Ь е add1·essed

* The Base Station сап configшe t1p to 16 semi pe1·s istent ZP CSJ Re fe1·ence Signal Resoшce Sets. Eacl1 Resoшce Set is coпfi gtll'ccl
t1si11 g tl1 e ZP-CSI-RS-Resoш·ceSet рагаmеtег stгt1ctшe. Semi peгsi steпt Resoшce Sets аге t1·i gge1·ed t1sing the dowпliп k МАС Coнtro l
E le111e11t sl10wn iп Fi gшe 197. Tl1is МАС Contl'OI E le111e11t is t1sed fог botl1 activatioп and deactivation pt1гposes so it i11 clt1dcs 8 1 bi t
fla g to diffe1·enti ate bet\veen commands. The МА С Cont1·ol Element inclt1des а 4 Ьit field to <1ddress а specific Res oшce Set

ND Serving Се// /О
Bandwidlh Part
BWP/0
ldentity
Aclivate /
Deactivate Flag R R SPZPCS/-RS Semi Persistent
R R
Resource Set /О Resource Set ldentity

Figш· e 197 - М А С ContJ·ol Eleш e nt нsed to t1·igge1· Seшi Pe1·sistent Ze1·0 Po,ve1· CSI Refereпce Signal Resou rce Sets

2 30
 sG NR in в ULLETS

; мeriodic and semi-persistent ZP CSI Refeгence Signal Resoшces сап Ье released Ьу specifying tl1eir Resoшce Set identities

Tlie ваsс Station сап configшe а single ZP CSI Refeгence Signal Resoшce Set for periodic reception. This Resoшce Set is always
; allocated ideпtity О

11 Tlie zp-CSJ-RS-Resoul'ce parameteг structшe нsed to configure an individвal Resoшce is pгesented in ТаЫе 122. This parameteг
trвctвre ге-вsеs fields from the NZP-CSI-RS-Reso//l'ce parametet· structure, i.e. the /'esoш·ceMapping and pe1·iodicityA11dOJfset fields.
~liese fields аге нsed in the same v,•ay as fог NZP CSI Reference Signal Resources. This means that ZP Resoшces сап нsе the same
Resottrce E lement patterns as NZP Resoшces (illнstrated in Fig1.1Гe 191 to Figure 196)

ZP-CSI-IIS-/leso111·ce
zp-CSI-RS-Resoнrceid О to 31
resourceMapping rгeqнc11c y Domai11 A llo ca tio11 CHOICE
ro1vl 1 ro1v2 ro1v4 11
otl1er
BIT STRING {4 bits} 1ВlTSTRING {12Ьits} BIT STRING {3 Ьits} 11 ВIТ STRING {6 Ьits}
nrofPorts 1, 2, 4, 8, 12, 16, 24, 32
firstOFDMSymbollnTimeDomain О to 13
firstOFDMSymboll.J1TimeDomain2 2 to 12
cdm-Type noCDM, fd-CDM2, cdm4-FD2-TD2, cdm8-FD2-TD4
density CHOI CE
0.5 1 3 spare
evenPRBs, oddPRВs 1 11

rтeqBand s tartingRВ О to 274, step 4

nrolRВs 24 to 276, step 4
periodicityAпdOffset CHO ICE
4 slots О to 3 20 slots О to 19 160 slots О to 159
5 slots О to 4 32 slots О to 31 320 slots О to 319
8 slots О to 7 40 slots О to 39 640 slots О to 639
10 slots О to 9 64 slots О to 63
16 slots О to 15 80 slots О to 79

ТаЫе 122 - Pa1·amete1· st1· 11ctш·e 11sell to co11figure а ZP CSI Reference Sig11al Resoш·ce

* The ZP-CSI-RS-Reso 111·ceSet parameter stгвсt1.1Ге used to coпfigшe а Resoшce Set is preseпted iп ТаЫе 123. This рагаmеtег st111ctшe
simpl y assigпs ап identity апd lists the set ofResoшces 1vhich beloпg to the Resoшce Set

ZP-CS!-/IS-lle.1·m11·ceSet
zp-CSI-RS-ResoшceSetld О to 15
1

zp-CSI-RS-ResoшceidList 1
SEQUENCE { 1 to 16 iustaпces of ZP-CSI-RS-Resouгcekl}

ТаЫе 123 - Ра1·ашеtе1· st1·11cture used to configure а ZP CSI Refe1·ence Signal Resource Set

3.7-4.3 CSI INТERFERENCE MEASUREMENТ RESOURCES

* CS I l11teгfe1·ence Measшement (IM) Resoшces allow а UE to measшe downliпk inte1·ference levels in the аЬsепсе oftransmissioпs
fro111 tl1e se1·ving cell. Tl1e servin g cell does поt tгansm it anythiпg within the Resoшce Elements allocated to the CSI ТМ Resoшces.
Tl1is all ows tl1 e UE to measшe Ьасkgгонпd inteгfeгeпce levels witlюнt tl1 e complication ofhaving to s11btract а signal fгom the seгv iп g
cell

* CSI 1М Resoшces ai·e coпfi gшed witl1i11 tl1e CSI- Reso111·ceConfig pai·a mete1· stп1ct·шe. T l1is рага111еtег stп1ctшe сап i11clt1de 11р to 16
CS J IM Resoшce Set ideпtiti es . Eac l1 identi ty poiпts to1vaгds а CS! IM Resoшce Set 1vl1i cl1 iп c lщl es ttp to 8 CS ! IМ Resoшce
ideнtiti es. Eac l1 oftl1 ese ideпtiti es points to1va1·ds а specific CST !М Resoшce. Tl1is hi eгaгcl1y оf ра га111еtег stп1ctшes is preseпted iп
F1gнге 198

231
sG NR in BULLETS

CS/-ResourceConfig
CS/-IM-ResourceSet f-
csi-lM-ResourceSetList
. ---------------------- -----, 1 -

~: CSI-IM-Resource/d - :.- - -
----- -, f-

► CSI-IM-Resource
~ , : CS/-IM-ResourceSetld -:- -►
~ : CSI-IM-Resourceld - !-
u ' ►
с : CSI-IM-ResourceSetld +- - ►
~ : CS/-IM-Resourceld ---j-
"''
.; : CSI-JM-ResourceSetld -:-
.s:
'
:
► c'
·- 1 1'
а:, '
"' ' '' Q:' ''
~''
1
'
о: : ;: : CS/-IM-Resourceld - i- - -
~ • CS/-/M-ResourceSetld , - -►
,__ - - - --- ------ - --- -- -- -- . :
~ ' - -------------------------- 1

1
bwp-ld
1
resourceType {aperiodic,
semiPersistent,
periodic}

Figure 198 - Parameter str11ctures нsed to configure CSI Interference Measш·ement (IM} Resoш·ces

* The parameter stn1ctшe used to configuгe а CSI IM Resoшce Set is pгesented in ТаЫе 124. This paгameter stn1ctшe inclнdes а
Resource Set identity and а seq н ence оfнр to 8 CSI 1М Resource identities

CSI-1M-Reso111·ceSe1
csi-IМ-ResourceSetld
1 1 О to 63
csi-IМ-Resources 1 SEQUENCE { 1 to 8 i11stances of csi-1M-Reso11J"ce/d }

ТаЫ 'е 124- Par·ameter str· ucture used to configure а CSI IM Resoш·ce Set

* Tl1e parameteг stгв сtше вsed to configuгe а CSI IM Resource is presented in ТаЫе 125. This pa1·ameteг structшe inclвdes а CS! IM
Resoшce identity and а specification ofthe resoшces which аге allocated to the CSI IM Resoшce . There is а choice ofco11fi gшi 11 g
either pattern О ог pattem 1:
о Pattem О corгesponds to а 2 х 2 grid ofResoшce Elements. s11b ca1тie1 ·Location-p0 and sy111bo/Locatio11-p0 specify tl1e fiгst
sнЬсапiе1· and first symbo l belonging to the 2 х 2 gг id
о Раttегп I coпesponds to а 4 х I g1·id ofResouгc e Elements (4 sнbcarгieгs х I symbol). s11bcmтieгLocat io11-pl апd symbo/Locatio11 •
р! specify tl1e fi1·st sвЬсапi е г a11d tl1e опlу symbol belonging to tl1e 4 х I grid
Exa mples ofpatterns О and I are illt1st1·ated in Figш·e 199

CSI-IM-Reso111 ·ce
csi-IМ-Resourceld О to 31
csi-IМ-ResourceE\ementPatteru C HOIC E

pattem0 patteml
subcaттierLocatio11-p0 о, 2, 4, 6, 8 1О subcaттierLocat ion -p 1 1 0,4 , 8
symbo\Location-p0 О to 12 syrnbollocation-p 1 1 О to 13
FreqBand start iпgRВ О to 274, step 4
11rofRBs 24 to 276, step 4
periodicity AпdOffset C HOIC E
4 slots О to 3 20 s lots О to 19 160 slots О to 159
5 s lots О to4 32 s lots О to 3 1 320 slots О to 3 19
8 s lots О to 7 40 slots О to 39 640 slots О to 639
10 slots О to 9 64 slots О to 63
16 slots О to 15 80 slots О to 79

ТаЫе 125 - Pa1·amete1· str·ucture used to coпfi g ш·e а CSI IM Resoш·ce

* Tl1 e j,·eq8a11cl section oftl1e ра 1·а111еtег stп.1ctшe specifi es tl1e set of coпti gнoнs Resoшce Blot:ks c1cгoss which tl1e CSI IM Resoiн·ce is
coпfi gшed. The slGl'lingRB is relative to Common Res o шce Block О , i. e. tl1e Io,veг edge ofthe cl1 annel bandwidtl1, ratl1e1· t lн111 tlic
lower edge oftl1 e B aпd,v idth Part. Tl1e 111·0/RВs iпforma ti o п element lias а miпimt1m valt1e ot-24 Ьнt iftl1e Ba11dwidtl1 Pai·t occЩ) l i.:S
less tl1a11 24 Res oшce Blocks the11 tl1e CSTIM R e s oшce occt1pies оп lу tl1e Res oшce Blocks \vitl1in the B aпd,v idth Pai·t
* Tl1e pe1·ioc/icilyA11c/Offse t sectio11 oftl1e pai·ameteг stп1ct1.1re is appli caЫe ,vhe11 tl1e 1·еsошсеТуре witl1in tl1e CS/-Reso111·ceC0 11fig is 5~1
to eitl1er peгiodi c or semi-pe1·s iste11t (s lюwп iп Fi g шe 198). In these cases, the period de fiп es tl1e time iпteгv a l b e twe eп st1ccess1\' C
1·еs ошсе allocations, ,vl1ile the offset defiпes а time sl1ift whicl1 is applied to the periodi c transmi ss ion pattern

23 2
 5G NR in BULLETS

tf[-Ц ~ г 1 1
+' lftHTtH
_l - -
it'~~ CS/ /М Resource
-~

f-----

f-----
~-
-
-
-
-

--~ -
-
---

Н1 1
CSI /М Resource
- Pattem О
1
1
f-----

t j- Pattem 1
1 1 t
Figure 199 - Examples of CSI JM Resoш·ce Patte1·ns О and 1

3.7.5 TRACКING REFERENCE SIGNAL

* The Tгa ck in g Refeгe nce Signal (TRS) is а downlink transmissioп wl1ich allows tl1e UE to tгack time and frequency vaгiations \vitl1 а
high resolution. The Syncl1ronisation Signals allow а гelatively соагsе synchronisation while the TRS allows fine tuning. Impгoved
synchгonisation сап benefit the performance of data transfe1· in both the uplink and downlink directions . The TRS сап Ье viewed as
being similai· to the Cell speci fic Refe1·ence Signal (CRS) used Ьу L ТЕ. Howeveг, tl1e TRS geneгates а loweг overhead Ьу occupying а
redнced perceпtage ofResoшce E l emeпts апd ttsing опlу а siпg l e апtеnпа рогt

* ЗGРР has adopted the CSI Refeгence Signal as а solution for the TRS. This meaпs that the TRS is а CSI Rеfегепсе Sigпal Resoшce Set
1vitl1 а specific coпfigшatioп. The configшatioп l1as Ь ееп selected to maximise tt·ackiпg perf01· maпce while maiпtaiпing а геаsопаЫе
overl1ead . The t1·s-J11fo flag withiп the NZP-CSJ-RS-Resoш·ceSet p ara meteг stгнсtше (ТаЫе 118 iп sectioп 3.7.4. 1) iпdi ca tes th at the
CSI Refe1·e пce Sigпal Resoшc e Set is to Ье used as а TRS
* Both F1·eqt1ency Ranges I а пd 2, s ttppoгt tl1e TRS coпfigшed as а Non-Zeгo Роwег (NZP) CSI Rеfегепсе Sigпal Resoшce Set wl1ich
i11clt1des 4 CSI Refereпc e Signal Resottгces acгos s 2 coпse c tttive slots, with 2 Re soшces witl1i11 each slot
* 111 a dditi o п , F гeqt1e11cy Ra п ge 2 s ttppoгts the TRS co пfi gшe d as ап NZP CST Refe1·e11ce Signal Re s oшce Set wl1 icl1 inclt1des 2 CS I
Reference S i gп a l Res oшces \vitl1i11 а s iп g l e slot
* Т11 е CSI Rеfегепсе
Signal Res oшce s witl1in а specific slot аге al\vays sepaгated Ьу 4 symbols. Botl1 F re qt1eпcy Ra п ges са п t1se tl1e
follo1v iп g
symbol pairs: {4, 8}, {5, 9} ог {G, 1О} , while Fгeqt1e11cy Range 2 сап also Ltse the symbol paiгs {О, 4}, { 1, 5} , {2 , 6}, {3 , 7},
(7, 11} , {8, 12} ОГ {9, 13}

* Eacl1 CSI Refe1·eпce Signal Resoшce within the Resoшce Set always uses а single port with а deпsity of3 Resoшce Elemeпts per
Resource Block, i.e. based Ltpoп гоw I within ТаЫе 120 (sectioп 3.7.4.1). The гelatively high density helps to imp1·ove the UE 's abi lity
to t1·ack time and freqнeпcy offsets
* Figшe 200 illнst1·ates а11 example ofthe TRS ac гoss 2 slots. The spaciпg ofthe Resoшce Elements allocated to tl1e TRS pгovides tl1e
UE 1vitl1 visibility ofvaгiatioпs in both the time and frequency domains

CS I RS Resource Set

CS I RS CSIRS CSI RS CS I RS
Resource 1 Resource 2 Resource 3 Resource 4

" "

• • • • Port 3000

Each CSI RS Resource

has а densfty of 3 RE

• • • •
рег PRB рег port

CSI RS Resources
wfthin 1/1е same slot аге
separated Ьу 4 symbols

S/ot 'n' • • S/ot 'п +1'

• •
о 1 2 3 4 5 6 7 8 9 10 111 2 13 о 1 2 3 4 5 6 7 8 9 10 111 2 13

F igш·e 200 - CSI Refe1·e11ce Signal Resoш·ce Set ac1·oss 2 slots fo1· T1·acl<i11g Refe1·e11ce Sig11a l (TRS)

233
5G NR in BULLETS

The TRS is intended to Ье а relatively wideband transmission so the UE can track variations across the downlink Bandwidtli р
* TRS occupies the whole Bandwidth Part ifthe Bandwidth Part spans less than 52 Resource Blocks. Otherwise, the TRS is con~rt. Thc
with а bandwidth of either 52 Resource Blocks or the bandwidth of the Bandwidth Part igtircd
А UE is always configured with а periodic TRS. The period between transmissions сап Ье configшed to Ье either 1О , 20, 40 01. 80
* The 1О ms period is not used if the TRS is al\ocated more than 52 Resoшce Blocks nis.
In addition, а UE can Ье configшed with an aperiodic TRS . An aperiodic transmission сап Ье used to provide а time and freqнen
* reference at the start of а data transfer. This is particularly useful when the periodic ТRS has а relatively long period and the data су
transfer occurs towards the end ofthe period, i.e. the UE has not updated its time and frequency offset information foi- а relatively 1
time. Thi& combination of periodic and aperiodic TRS transmissions is shown in Figure 201 ong

Data
Aperiodic
Transfer
TRS

о о 01 []__ ►

t Periodic TRS
1 t
Figure 201 - Coшblnation of periodic and aperiodic TRS

Aper!odic TRS can also Ье 11sef11l immediatel~ after specific events. For exa~ple, transmission of an ape1·iodic TRS o_n а Secoiidaгy
* Cell 1mmed1ately afteг Secondary Cell act1vat10n _al_lows the UE _to _fine t11ne 1ts t1~e and freqнe~cy synchтoшsat10n w1tl1 miпimal clclay.
Conseqнently, data tt·ansfer can then start w1th m1шmal delay. Stm1larly, aper10d1c TRS transm1ss10ns can Ье 11sefнl 1mmediately af1cr а
change ofthe active Bandwidtl1 Part, or immediately after а change ofbeam
Refeгences:
* 3GPP TS 38.2 14

3.7.6 PHASE TRACКING REFERENCE SIGNAL

* Tl1e downlink Phase T1·acking Refeгence Signal (PTRS) allo\vs tl1e UE to estimate and s11bseq11e11tly compeпsate for botl1 pl1ase noisc
and fгequeпcy offsets:
о phase noise is geneгated Ьу 11 siпg noп-ideal osci l\ atoгs at botl1 tl1e tгaп s mitteг and гесе i vег. Tl1ese osci ll atoгs do not ge11e1·atc
completely peгfec t siпe waves. Iпstead they ge n e гate sine waves wl1icl1 have relatively smal\ 1·at1dom pl1ase vaг i a ti o 11 s, i.c. pl1as~
noise is s11pe1·imposed нроn the sine wave. lt is пюrе difficнlt to mапнfасtше oscillato1·s witl1 good pliase пoi se prope1·tics at l1igl1
freq11encies. Phase noise does not have а significaпt impact when 11s ing fi·eqнeпcies below 6 GHz (Fгeq11 ency Range 1) Ьнt l1as ш1
incгeased impact when using fгeqн encies above 6 GHz (Fгeqнency Range 2) . The н sе of laгge 1· sнbcaпiet· spacings in Fгeqt1 e 11 cy
Raпge 2 helps to iпcrease resili eпce against phase noise. Nevet·theless, the PTRS is геqнiгеd for pliase noise estimatio11 a11Cl
compensation when using Fгeq11ency Range 2
о freq11ency offsets а ге geneгated Ьу 11sing non-ideal oscil\atoгs at both the transmitter and гeceive r . They are also genet·atecl Ь у
mobility, i.e. Dopple1· fгeqнency offsets. Freq11ency offsets аге 1·elatively small shifts a\vay fгom the ideal centeг ft·eqнeпcy. Tl1cy
cause а conti11uo11s phase increase (ог decгease) ratheг than а гапdоm phase noise. А 11011-ideal oscillatoi· may gепешtе а ccr1tc1·
frequency of 'Х + д' instead of 'Х'. 3GPP TS 38.104 specifies that wide area Base Stations пшst Ье ассшаtе to ,л,itl1i11 0.05 paгt s
per million (ppm), while local агеа Base Stations mн s t Ье ассшаtе to within 0.1 ppm. 3GPP TS 38.1О 1-1 specifies tl1at UE rnt1sl
Ье ассшаtе to within 0.1 ppm. Doppler fi·eq11ency offsets iпcrease with mobility and opeгating freqнency. Freqнency offsets са1 1
Ье significant within both Freqнency Range I and Freq11ency Range 2. Thus, the PTRS can Ье 11sed for frequency offs<:: t esti111ati o11
and compensation within both fi·equency гanges
* Phase noise tends to change as а ftшction of time Ьнt remains гelatively constant as а ftшction of freq11ency. This characteгistic lias lccl
to the PTRS being designed to have а r·elatively high density in the time domaiп b11t а lo\v density iп the frequeпcy domaiп , i.e. tl1c
PTRS can осснру а high percentage of symbols Ьнt а lo\v pe1·ce11tage of sнbcarгieгs
* Freqнeпcy offsets ca11se tl1e modнlatioп coпstellatioп to гotate. The rate of гotat ion increases as the freq11ency offset i11c1·eases . А
fгeqнency offset can Ье measшed Ьу ideпtifying the pl1ase of tl1e modнlatioп constellatioп at t\V0 poiпts iп time and theп ca l cн lati11g tlic
rate ofгotatioп between those two poiпts. This process can Ье completed нsiпg 2 DMRS symbo ls, as illнstгated iп tl1e left halfofFigtii·c
202. Alteгпatively, tl1e pгocess са п Ье cornpleted н siпg а siпg l e DMRS syrnbol iп co111bi11atio11 with а PTRS tra11srnissio11. Thi s is . .
illнstгated iп tl1e гight l1alfofFigшe 202. The latteг geпeгates а lo\ve1· ovcгl1 ead so theгe is iпcгeased potential to acl1ieve higl1e1· PDSLI I
tl1гoн ghpнt s

* А Base Statio11 \\1 itl1 mнltipl e ante1111a paп el s may Ье designed to н sе а single local osci ll ato г 11/l1 icl1 is sha1·ed acгoss а пtе пп а paiicls. li t
tl1is case, the1·e is а s iп gl e sошсе ofphase пoi se and fi·eqн eпcy offset so it is suffici eпt to tгaпsmit tl1e PTRS н s iп g а s iп gl e а 11tе11па port.
А diffe1·e11t Base Statioп witl1 nшltipl e a11ten11a paпe l s may Ье des igned to нsе а sepa1·ate local osc ill atoг fог eacl1 a11te11na рапе ! . lii tlн s
case, tl1eгe аге mнltipl e s oшces ofpl1ase noise and f1·eq н e 11c y offset so it is necessat·y to tгaп s mit the PTRS н s iп g mu ltiple a пt e nii a
poгts. Tl1e гelease 15 veгsion ofthe specifications focн ses uроп s iпg l e ante1111a рап е ! t1·ansmissio11 апd tl1e PTRS is limi tecl to siiigle
port tгansmission in tl1e dow11li11k diгection

234
 5G NR in BULLETS

DMRS Оп/у DMRS & PTRS

Rotation ca/culated
between Phase
Measurements

,-,-,-
Rate of Rotation
identifies the
Frequency Offset
,о:_

'"-
P TRS

DMRS

,__ ,_

t
Phase Measurements
t t t t
Phase Measurements
t
Fig ш·e 202 - Fr·equency Offset es tiш atio n 11sing on ly DMRS artd щin g DMRS ,vitl1 PTRS

* Tlie PTRS-Do н111fi11kC011fig ра га ш еtег str11ct1.1 гe is vis iЫ e withi n tl1e DMRS-Do н 111 fi11kC011fig р а гашеtег stгнс t11ге pгese пt ed i п Та Ы е
11 2 (sec tioп 3.7.3), i.e. the PTRS is co n figшed witl1 i11 the PDSCH DMRS paгam e te r s tгнсnн·е. The PTRS-Do н111 fi11kCo,1fig ра 1·а ш е tег
s t п1c tшe is p,·esented in Та Ы е 126

PTRS- D o 11•11/i11kC011fig

freque11cyDensity SEQU ENC E {2 i11stances ,vitl1 i11 range I to 276 }

ti meDe11sity SEQUENCE (3 i11sta11ces ,vith in range О to 29}
epre-Ratio 0 lO 3
reso11rceElementOffset offsetO 1, offset I О , offset 11

Та Ы е 126 - Pa 1·a111ete1· s tп1 ct ш·e used to c oпfi g u re tlre Do,v11li11k Plra se T 1·acld11g Refe1·e11ce Sigпa l

* Tl1e fi гs t two pai·amete1's defin e tl1e density of PTRS Res oшc e Elements. The density i п the fre q н en cy do111ain d e p eпd s нроп tl1e
11t1mber of allocated Res oшce Blocks, while tl1e density iп the ti me doшain depends нроn the allocated MCS
* Тl1 e j, ·eq 11e11 cyDens ity in forma ti oп
element pюv i des а set oftwo Reso шce Block th1·esholds (NRвo and NR81 ). These two t hгes lю l ds а ге
p1·ese11ted in Та Ы е 127. They аге н sed to create 3 operating гegioп s. Jft he nнm Ье г ofallocated Resoшce Blocks is less t ha п the fiгs t
th ,·eslю l d then the PTRS is поt transmitted. Ifthe nншЬег ofallocated Resoшces Blocks is between the two tliresholds then tl1e
fгe qн e ncy density is 2. Otherwise, the freqнeпcy dens ity is 4

Scl1 ed11led Ba11d,vidtl1 Freq11e11cy De11sity (KP,Rs)

Nп в < NR вo PTRS is поt used
Nпво :,; Nпо < Nпв1 2

Nпв1 :,; Nпв 4

Т аЫе 127 - F1·eq 11ency de11sity of tl1e Plrase T1·acld11g Refere п ce Signal as а fш1ctio11 of allocated Reso urce Blocks

• Tl1e PTRS overl1ead beco111es l агgег fог small Resoшce Block allocations so tl1eгe is а point at whicl1 tl1e b eп efit of inclt1ding tl1e PTRS
is 0t1t\veigl1ed Ьу the cost of tl1e ove1·l1ead . Th is pюv i des the 1·easoni11g fог d isa Ыiп g the PTRS f01· small Resoш·ce Block allocations
• 'Гhe .fi ·eq11e11cyDens ity 1·ep1·ese11ts the fгeq1.1ency doma in sp ac i п g bet\veen Resoшce Blocks allocated to the PTRS. The va l1.1e of 2 шеап s
tl1at еvегу 2"d Resoшce Block in c lнdes а s iп g l e PTRS sttbcaпi eг, wh eгeas tl1e va lн e of 4 means that еvегу 4' 11 Resoшce Block i11cl1.1des
а s iпgl e PTRS sнЬсапi е,·, i.e. the va l н e of 2 coпesponds to а l1igheг deп s ity than tl1e val1.1e of 4 so the density fi gшes сап Ье viewed as
be iпg 1/2 а п d 1/4. The gene1·a\ stгa tegy is to 11se а hi gl1eг de11sity fог mediшn sized Reso шce Block all ocatio11s to ach ieve а mOl'e
асс н гаtе с h а пп е l esti111ate, and to н sе а \ оwег deпs i ty fо г l агgе г Resoll!'ce Block allocations to 111i11i111i se the oveг l1ead (fог l a гge1·
Rеsоште Block a llo cati oп s , th eгe а ге 1110l'e Resot1гce Blocks to accommodate tl1e PTRS so the abso lt1te 1шmЬе1· ofResoшce Blocks
,vl1icl1 incl11de the PTRS сап sti ll Ье гel at i ve l y \1ig\1 )
* lft l1e.fi·eq11e11cyDe11sity i11formatio11 element is exc lнded fгom the рага 111еtег stн1ctшe, the val t1e of KrrRs is set to 2
* Tl1e eqнa ti oп нsed to ca l cн l ate the set of sнb caiтi eгs allocated to the PTRS is sl10\v11 below. The vа \ не of 'i' is i ncгemented ш1til tl1e
sнЬса~тi ег nнmЬег 'k' fa lls oнts i de tl1e PDSCH гesoll!'ce allocation. Tl1e step size betweeп PTRS sн Ьса ,тi егs is given Ьу Krrns х 12

235
5G NR in BULLETS

Subcarrier Offset
Otoll \ i ' '..
O 1 2

k = k:;1+ (i х кРТRs + k::r) х 12

2 ог 4 based upon number

/ '\
Resource Block Offset,

kпв = {nRNTI
О

mod Kpтns
to 3

if Nпв mod КРТпs =О

of allocated Resource Blocks
ref nRNTI mod (Nпв mod Кртпs) otherwise

* The equation includes а subcarrieг offset (k~it) and а Resource Block offset (k~:r ). The Resource Block offset is calcнlated from tlic
RNTI which has been allocated to the UE. This effectively randomises the Resource Blocks used fог the PTRS Ьу diffeгent UE Ti
are two altemative calcнlations for k~:r- These calcнlations ensшe that the number ofResoшce Blocks used Ьу the PTRS is ma.x 1~rr:
, ·11111scd
* The subcarrier offset (k~it) depends upon the DMRS antenna рогt, the DМRS Configuration Туре, and the гesouгceE!emenIOJJse/
presented in ТаЫе 126. The dep_endency upon these variaЫes is pгesented in ТаЫе 128. The values have been selected to ensшe tliat
the PTRS uses the same subcaп1eгs as the DMRS. For example, antenna poгts 1ООО and 1001, w1th DМRS Configшation Тур е I tlS
even numbered subcarriers for the DMRS, wheгeas antenna ports 1002 and 1003 use odd numbeгed subcaпiers. Tl1e PTRS has 1101 с
Ьееп specified to Ье used with the DMRS ' DouЫe Symbol' configшatioп . This means that antenna ports 1004 to 1007 аге not
applicaЫe when using Configшation Туре 1, апd antenna ports 1006 to 1О 11 аге поt applicaЫe when usiпg Confi gшa tion Тур е 2

* The perfo1-mance ofthe PTRS is 111aximised ifneighboшing cells tгaпsmit the PTRS using different sнbcaпi e rs , i.e. PDSCH to PTl~S
interfereпce is pгeferred гelative to PTRS to PTRS interference. Tl1is tгanslates into а requi1·ement to configшe пeighboшiпg cell s 11,itli
different values of 1·eso111·ceE!e111e11tQ_(fset
1

k{';j
DMH.S DM liS Co 11 fi gшa t i o11 Тур е t DMRS Co 11 fi gн rati o 11 Тур е 2
A11te1111a Port гeso 11гce E/e111 e1 1tO.!fi·e1 1·eso11n ·eE/e111e1110 /j.i·e1
00 01 10 11 00 01 10 11
1000 о 2 6 8 о 1 6 7
1001 2 4 8 10 1 6 7 о

1002 1 3 7 9 2 3 8 9
1003 3 5 9 11 3 8 9 2
1004 - - - - 4 5 10 11
1005 - - - - 5 10 11 4

ТаЫе 128- PTRS Subcarrie1· Offset as а functioп of tl1e DMRS anteшia po1·t, DMRS Co11figu1·atio11 Туре and 1·eso11rceE!e111e11tOjfsel

* The timeDensity infoгmatioп element pmvides а set of tlнee MCS Index thгe shold s (p11·s-MCS ! , pt1·s-MCS2 а пd p11 ·s- MCSЗ ) . Tl1csc
thгes holds а1·е presented iп ТаЫ е 129 wl1ich also includes а foшtl1 tl1гes hold , ptгs-MCS4. This foшth tl1гe s hold lias а valLte \vl1icl1
depends нроп the MCS tаЫе being Ltsed. The value of pt1·s-MCS4 is set to 29 ifMCS Index 28 is the highest iпd ex wl1icl1 has а Ta,·gct
Code Rate specified. The value of pt1·s-MCS4 is set to 28 ifMCS Tndex 27 is the l1igl1est index which has а Taгget Code Rate specifi~ll

S c l1 c tlн l ed MCS l11dex Ti111c De11sit y ( L рт 115 )

1мсs< pt1·s-MCSJ PTRS is not н sed

p11·s-MCSJ :5 lмcs < pt1·s-MCS2 4

pt1·s-MCS2 :5 / мсs < pt1 ·s-MCSЗ 2
pt1 ·s-MCSЗ :5 / мсs < pt1·s-MCS4 1

ТаЫ е 129 - Тiш е (l e п s ity of tl1e Pliase T1·acking Refe1·e11ce Si gп a l as а f1111ctio11 of M CS

* The 4 MCS tl11·esl10lds а 1·е Ltsed to create 4 opet·ating regions. Iftl1e allocated MCS Jndex is less tl1a11 tl1e fiгst tlнes h o ld tl1e11 tl1e PTR
is поt t1·ai1smitted. Othe1w ise, tl1e time deп s ity (Lpтns ) са п liave va lLtes of 4, 2 ог I based uр оп tl1e allocated MCS. Tl1e impac t ofpli iiSC
пoi se becomes пeg li g iЬ\ e fог lo\v MCS becaLtse tl1e lo\v coding 1·ate is sнffi c i eпt to pгotcct the data (lo\v codiп g 1·ate iпcli cates l1ig,li
сl1апп е l codiп g 1·еdш1 сl а п су). Tl1i s p1·ovides the гeasoпin g fо г allowiп g tl1e PTRS to Ье di saЫ ed \Vl1e11 lo\v MCS valLtes ai·e allocatcd
* The ti111eDe11s ity гeprese 11ts the time domai п spaciпg between sym bols allocated to tl1e PTRS. The valtie of 4 meaпs tl1at еvегу 4111
symbol сап i11 c lвde tl1e PTRS, 1vl1ile tl1e valнe of 2 mea п s that еvегу 2nd symbol са п i11clL1de tl1e PTRS, and tl1e va lt1e ot· 1 теапs 111_" 1
еvегу symbol са11 iпclLtd e tl1e PTRS. Tl1e symbols allocated to tl1e PTRS accou11t fог tl1e symbols allocated to the DMRS. ЗG РР TS.
38.2 11 specifies an algo1·itl1m \Vl1icl1 avoids the PTRS bei11g allocated the same symbols as tl1e DMRS and also avoids the PTRS_bet11g
allocated symbols immediately a fteг the DMRS (Ltnless tl1e time density is 1). F i gшe 203 illLtstrates some example PTRS allocattoiis
 5G N R in BULLETS

Тiте Density (L PТRs) =4 Тiте Density (L PТnsJ = 2 Тiте Density (L ртпs) = 1

/
PTRS
Jf
/
DMRS Ехатр/е assumes PDSCH allocation of 14 symbols
'PDSCH DMRS Mapping Туре А' and 'dmrs- TypeA -Position = З'

Fi g ш·e 203 - Еха шрl е PTRS sy шbol s fo1· еас /1 ti111eDe11sity

* If tlie timeDensity inform ation element is exclt1ded from the р а гаmе tег s trt1 c tнre , the valt1e of LPTRS is set to 1
* 1fn e ith e г ji·eq11e11 cyDe11s ity nor timeDensity а ге inclt1ded then the UE asst1mes that the PTRS is not t1·ansmitted when the nt1mber of
allocated Reso шce Blocks is less than 3, or the allocated MCS is less t h aп 10 when н s i n g the 64QAM MCS tаЫ е , о г the allocated
MCS is less tl,an 5 \Vhen t1sing the 256QАМ MCS tаЫ е , ог the allocated MCS is less than 15 when нs in g the Low Spectt"al Efficiency
MCS tаЫ е
* Tl,e PTRS is not tt·ansmitted when the PDSCH resoшces аге allocated нs i ng an SI-RNTI, RA-RNTI поr P - RNТI
* Tl,e epгe- Ratio i nfoгmation e l em e пt sl10wn in ТаЫе 126 с а п Ь е н sed to indicate that the tt·ansmit роwег of the PTRS is boosted гe l a ti ve
to tl1e PDSCH. Та Ые 130 pгe s ents the Е пегgу Р е г Resoшc e Element (EPRE) ratio as а fн n ctio n of the epгe-Ratio апd the nt1 mbeг of
PDSCH l ayeгs . А valt1e of' 1' m e aп s tliat boosti п g is not applied, wl1eгe a s а va lн e of 'О' m ea пs tl1at boosting is applied \Vhen the
1 ш mЬ е 1· of PDSCH laye,·s is g,·eater t h aп 1

N шпЬ ег of PDSC H Layers

ep1·e-Ratio 1 2 3 4 5 6
о о 3 4.77 6 7 7.78
1 о о о о о о

Та Ы е 130 - Ро,v ег B oos tiн g of t l1e PTRS 1·elative to tl1 e PDSCH

* The PTRS is t гa п s mitte d н s iп g а single logica l а пtе пп а р о гt . The Base Sta ti o п app lies DTX to tl1e PTRS R еsо нгсе E l e m e пt s о п all
othe,· а пtе пn а p o гts. Figlll'e 204 i llн s tгa tes а п example fOI' а PDSCH tгa11 s 111i ss ion t1 si11g 2 p o гts ( 2х2 MIMO). Tl1e DTX Res oL1Гce
Ele111e11ts allow tl1e powe1· of the PTRS to Ь е boosted w i t h oн t impacting the роwег all ocated to ot h eг Pl1ysical Cha1111els and Signa ls.
The PTRS роwег can Ь е dон Ы е d when 2 poгts аге t1sed fог the PDSCH (3 dB i ncгeas e). Similarly, tl1e PTRS powe1· can Ь е t1·ipled
,vh e п 3 po г t s а ге н s ed fо г the PDSCH (4.77 dB iпсге а sе)

Рог/ 1000 Рог/ 1001

Power allocated to PTRS Base Sta tion app/ies ОТХ to

Resource Elements сап Ье Resource Elements allocated
boosted using unused power f-i-+-t--+-+-+-t-t-+~-+-+-+-1• /о PTRS оп another /ауег
from other /ayers

Fi gш·e 204 - U1111sed Res o11п e E l e ш e 11 ts allo,v PTRS Po,ve1· Boostin g

S l1a гi n g do\vп liп k t1·a11s111it роwег acгo ss а пtеп па p oгts is оп l у po ss i Ы e wl1e11 tl1e set оf а пtепп а poгts s h a гe tl,e same р о\vег a111p li fi e1·. It
is поt poss i Ы e to sha1·e do\vn li пk t1·ai1s111it р оwег wl1en а пtепnа po гts t1se diffeгe11 t power amp l ifi eгs. Tl1is meaп s tl1at tl1e гo,vs ,v i thiп
ТаЬ! е 130 co 1тespo11d to diffe1·e11t Base S tatioп a гcl1itectнгes . Tl1e ep1·e-Ratio va l н e of ' 1' coпesponds to а Base Station aгcl1itectшe
1vl1ich trses di ffeгeпt powe,· a111plifie1·s fог each а п tеnп а ро гt. Thi s coн ld co пespond to ап а l оgн е b ea 111 fo гmi11 g ,vhi cl1 н ses а separ·atc
р о1vег a111p lifie1· for eacl1 beam. The ep1·e-Ratio va lн e of 'О' coпespon d s to а Base Statio11 aгc hi tectшe wh icl1 all o,vs a11te11 na ports to
sh aгe ро1vег a111p l ifi eгs. Tl1is COLlid сопеsр о пd to digital bea111foг111i ng ,vl1icl1 н ses а set ofs l1 aгed po1ve1· a111pli fieгs to gепега tе 111н l ti p l e
beams
ТаЬ! е 130 i пc lнdes co lн nш s fог нр to 6 l ayeгs гаthег thaп tl1e max iпшm of 8 ! ауегs suppoгted Ьу tl1e PDSCH. Tl1is гeslllts f,·om the
res tгi c tioп tl1at limits the PTRS to tгan s mi ss i on s whicl1 аге c onfi gшed to н sе the S iп g l e Symbol DМRS . Tl1e Single Symbol DMRS
s нp ports а m ax i111н m of 6 layer·s а пd so tl1e PDSCH also supports а m ax imшn ot' 6 l aye гs w h eп н s in g tl1e PTRS . Tl1is is c oп s i s tent ,vitl1

237
5G NR in BULLETS

ТаЫе128 which shows the set of 6 antenna ports which are sвpported when вsing the Single Symbol DMRS. The traп s missio r
PDSCH layers reqвires the DовЫе Symbol DMRS 11 0 8

3GPP TS 38.214 specifies the ntles fог identifying which antenna port is вsed Ьу the PTRS. When а single Transpoгt Block is
* schedвled, the lowest indexed port is selected. \Vhe11 two Tr·ansport Blocks are schedвled, the lowest i11dexed port belongiпg I tl
Transport Block with the highest MCS is selected. Ifboth Transport Blocks have eqвal MCS the11 the lowest indexed port beli 1.r
Transport Block О is selected ngin g !о

The Base Station can take advantage ofthe 'Layer Indicator' (LI) reported Ьу the UE within its Channel State Information (CSI) Th .
* LI idenrifies the layer with the best channel conditions. The performance of the PTRS is maximised if it is transmitted вsiпg the j t
with the best chaпnel co11ditions. Ifthe PTRS is transmitted вsing port 1000, while the UE reports that layer 3 has the best chann ~Усг
conditions, then the Base Station can вsе the precoding associated with layer 3 when transmitting the PTRS from рогt 1000 е
The DMRS and PТRS are assвmed to Ье Qвa~i-Co-located (QCL) in terms ofQCL-TypeA {Doppler Shift, Doppler Spгead , Avcra ~
* Delay, Delay Spread} and QCL-TypeD {Spatral Rx Parameter} g
As part ofthe UE capability signalling, а UE is аЫе to provide recommendations regarding the Resoшce Block and MCS thresliold
* pгesented in ТаЫе 127 and ТаЫе 129. These recommendatio11s allow the Base Station to configвre UE specific thresholds ratlicr 11 /
applying а commoп set of general thгesholds across all UE. The recommendations provided Ьу the UE are pr·esented in ТаЫе 13 I. aii
These гecommendations are pгovided for each subcaпier spacing, i.e. the UE provides 4 insta11ces of these recommendatioпs 10 catcr
for the 15, 30, 60 апd 120 kНz sвbcaпier spacings

PTRS-De11sity Reco111111e11c/atio11DL
frequeпcyDeпsity 1 1 to 276
frequeпcyDeпsity2 1 to276
timeDeпsityl О to 29
timeDeпsity2 О to 29
timeDeпsityЗ О to 29

ТаЫе 131 - Сопtепt of PTRS-De11sityReco111111e11datio11DL parametн sh·ucture

* Tl1e se qвe11ce вsedto popвlate the set of PTRS Resoшc e Elements is the same as that used fог the DMRS, i. e. а p seвdo гащlо111
sеqв епс е based uроп а length-31 Gold s eqв e n ce
* 3GPP Re feгe n ces : TS 38.2 11 , TS 38 .2 14, TS 38.33 1

238
 sG NR in BULLETS

4 DOWNLINK TRANSMISSION SCHEMES

РВСН
* The РВСН uses а single antenna port for transmission (antenna port 4000). In r;ontrast, the 4G РВСН сап use eitheг I or 2 antenna
ports for traпsmission. The drawback associated with allowing either I ог 2 anteпna ports is tl1e requiгement for the UE to нsе Ыind
detectioп to determine the nнmЬег of antenna poгts. Specifying а siпgle antenna рогt for the 5G РВСН helps to геdнсе botl1 the UE
processing гequirement and the РВСН acqt1isition time
* Specifying single antenna port transmission for the РВСН allows network vendors to implement thei1· own precoding solt1tions which
are traпsparent to the UE, i.e. the Base Station applies pгecoding to impгove the performance ofthe РВСН Ьнt the UE has по explicit
kiJO\\'ledge ofthis precoding. The РВСН uses а Demodнl ation Reference Signal (DMRS) which is traпsmitted t1si11g the same апtепnа
poit as the РВСН itself. This meaпs that the same precodiпg is applied to both the РВСН апd the РВСН DМRS . The UE сап use the
DMRS to estimate the composite impact ofthe precodiпg апd the p1·opagatio11 сhаппеl. Iп additioп, the Sy11chro11isatio11 Signals (SS)
are also tгaпsmitted нsing tl1e same апtепnа port (based t1po11 the сопсерt ofthe SS/PBCH Block). This means that the Sy11ch1·011isatio11
Sig11 als ar·e also pгecoded iп the same way as tl1e РВСН. Tl1e UE сап t1se the Secoпdary Synchгo11isatio11 Sigпal as а11 additioпal
Dcmodulation Refere11ce Signal for the РВСН
* Usil1g а common ante1111a port fог both the РВСН апd the Synchгoпisation Signals meaпs that additioпal саге is requi1·ed wl1en
implemeпtin g t1·a 11spaгe11t pгecoding for tl1e РВСН. This is Ьесанsе the same pгecoding will Ье applied to tl1e Sy11chюnisatio11 Signals
апd it is necessa гy to епsше that the Synchronisatioп Sigпal detectioп peгformaпce is not degгaded
* Tlie pгecoding applied Ьу the Base Station сап iпclнde а set ofbeamfoгming coefficieпts to gепегаtе ап SS/PBCH Block beam. А bшst
ofSS/PBCH Blocks сап Ь е нsed to provide coveгage acюss tl1e ta1·get coveгage агеа . Each SS/PBCH Block withiп the bшst has а
different set ofbeamfoгming coefficieпts applied to generate а set ofbeams witl1 diffeгeпt comЬiпatioпs ofazimнtl1 and elevatioп. The
b e~ mformiп g coefficieпts аге applied to both the РВСН and its DМRS (апd the Synchгoпisation Signals)

4.2 PDCCH
• Tl1e PDCCH а пd its DMRS llse а s iп g l e ante1111a рогt fог t1·a11smissio11 (a11te11na pOl·t 2000). 3GPP has not specified tl1e pгecodiп g fог
PDCCH t1·a11smit div e гs ity bt1t n et\vo гk veпdoгs сап imple111e11t solt1tio11s \vl1icl1 аге t1·an s paгe 11t to tl1e UE . The same p1·ecodi11 g is
appliecl to both the PDCCH and its DMRS so tl1e UE са п l1se the DMRS to esti mate tl1e composite impact ofbotl1 the pгecodiп g апd
tl1e p1·opagatio11 cha1111el
• З GРР has specified an RRC i11fo1matio11 elemeпt \vl1icl1 pюvides tl1e UE witl1 i11fo.-matio11 гegaгdiпg the ' ргесо d е г g 1·a11 нlai· ity ' (slюwп
iп ТаЫе 132). This infoгmatioп elemeпt is provided \Vheп co11figшi11g the Cont1·ol Resoшce Set (CORESET) fог PDCCH traпsmissioп.
Tl1e complete Contm/Resom·ceSet рагаmеtег st11.1ctшe is pгeseпted iп Та Ые 62, section 3.5.1

ex trac l fю111 Co111гo /Neso 111"ceSe1

precoderGratш larity sa111eAsREG-bundle, allCoпtiguol!sRВs

ТаЫе 132 - Extr·act fro111 Co11tro/Reso11rceSet pa1·a111ete1· structш·e

* Tl1e precoder gгапнlагitу describes tl1e freqнency domain resolнtion ofthe pгecoding applied Ьу the Base Station. For example, ifthe
p1·ecoder granнlaгity was I О Resoшce Blocks, then the Base Station woнld apply а fiгst set of pгecoding coefficieпts to the fiгst I О
Resoшce Blocks, а second set of precoding coefficients to the second I О Resoшce Blocks, etc. Having kпowledge of tl1e precodeг
gra1шlarity l1elps the UE to generate estimates ofthe composite pгopagation channel. For the pгev ioн s example, the UE wot1ld know
tl1at it needs to generate ап estimate fo1· each set of IО Resoшce Blocks. А large granнlaгity helps to impюve tl1e qt1ality of the channel
estimate becat1se the UE l1as ап incгeased пнmЬег ofResoшce Blocks fгom \\1 hicl1 to calcнlate the rest1lt. Howeveг, а laгge g1·aпt1laгity
са 11 also l1ave а пegative impact t1pon peгfo.-mance Ь есанsе it геdнсеs the flexiЬility ofthe Base Station to apply fi·eqt1ency selective
precoding
* Figш-e 205 illt1stгates example transmission patteгпs fог botl1 valнes of p1·ecode1·Gгa11u/ш·ity. These examples asst1me tliat tl1e Resoшce
Blocks allocated to the CORESET аге distribt1ted acгoss thгee non-coп secнtive sectioпs of tl1e cl1anпel bandwidtl1 (1·ecall tlшt Resoшce
Biocks are allocated to а CORESET н sing а Ьitmap wheгe each Ьit 1·epгeseпts а set of 6 Resoшce Blocks). These examples also assнme
tliat tl1cre аге 2 Resoшce Elements G1·ot1ps (REG) wi tl1i11 each REG Bt1ndle, and that tl1e REG Bt1nd les all ocated to eacl1 Coпtrol
Cii aпne l Ele111e11t (ССЕ) аге i11te1·l eaved acюss tl1e CORESET (also гeca ll that I ССЕ = 6 REG, so iп tl1i s exampl e tl1 eгe ai·e 3 REG
Bt111dles рег ССЕ . Figшe 205 illt1stгates tl1e tгa11sm i ssio11 of 12 REG Bш1d l es so the PDCCH is tгaпsmitting 4 ССЕ, i. e. а PDCCH
aggregation level of 4)
* \Viien p1·ecoc/e1·Gгa1111/ш·ity is set to 'sa111eAsREG-b1111dle', tl1e UE assl1111es that tl1e Base Statioп app lies tl1e same pгecodiпg
coeffic ieпts to all Resoшce Blocks withiп а Resoшce E l emeпt G1·oup (REG) Вн пdl е . In this case, the DMRS is опlу t1·a11smitted \Vitl1in
tlie Resoшce Blocks beiпg нsed to tгапsfег tl1e PDCCH. The UE process iпg геqнiгеmепt is гe l at ivel y higl1 Ьесанsе the UE l1as to
gene1·ate а sepa1·ate ch a nпe l estimate fог each REG Внпdlе

239
sG NR in BULLETS

precoderGranularity = sameAsREG-bundle CORESET distributed across 3 sets of contiguous Resource Blocks

DMRS only transmitted DMRS only transmitted DMRS only transmitted

within PRB used Ьу PDCCH within PRB used Ьу PDCCH within PRB used Ьу PDCCH

~ ~ ~
~~I I I I Ш]]Jll]] г-------------;....,
1 1 1·т1ПIШШШ ~-----пгт-.п
l l lJЛШТI]] ll
уууу уууу УУУУ
Different Precoding Different Precoding Different Precoding
сап Ье applied to each сап Ье applied to each са п Ье applied to each
REG Bundle REG Bundle REG Bundl e

precoderGranularity = allContiguousRBs CORESET distributed across 3 sets of co ntiguou s Resource Blocks

DMRS tran smitted within all DMRS transmitted within all DMRS tran smitted within all
PRB belonging to CORESET PRB belonging to CORESET PRB belonging to CORESET

111111111 I I ШJ[I]] [1]] 111111111 111IIШШ[I]] 111111111 I II Ш[[[[]]

Same Precoding applied •to all Same Precoding applied to all Same Precoding appli ed to all
contiguous PR B within CORESET co ntiguous PRB within CORESET contiguous PRB within CORESET

Fi g ш·e 205 - P1·ecoder G1·a nul arity fo1· tl1e PDCCH

* Whe11 p1 ·ecocle1 ·Gn111 11/шity is set to 'al/Contiguo usRВs ' the11 tl1e UE assнmes that the Base Statio11 applies the same p1·ecodi11g
coefficie11ts to all REG witl1i11 а specific set of co11t i g1юt1s Resoшce Вlocks belo11gi11g to the CORESEТ. I11 this case, tl1e DMRS is
tгa 11 sm itted withi11 all Resoшce Blocks belonging to the CORESET, i. e. some Resoшce Blocks inclttde tl1e DMRS bttt do 11ot i11clt1dc
the PDCCH. This so lнti on inct·eases the nнmЬег ofDMRS tгa n s m i ss io11 s which са 11 Ь е нsed to geneгa te eacl1 cl1a1111el estimate. Tl1c
examp le illttst,·ated i11 F i gшe 205 гeqtti1·es the UE to ge 11eгate 3 cl1a1111e l estimates
* The p1·ecodi11g adopted Ьуtl1e Base Statio11 also has а depe11de11ce ttpo11 tl1e UE capability. Tl1e UE ttses tl1e
p1·eco de1 ·G1ш111/a,·ityCORESET i nfoп11atio11 element s lю wn in Та Ы е 133 to i11dicate \v h e tl1 eг ог not it s ttppoгt s а ргесоdег gгa 11нl a г it y
eqttal to the size oftl1e CORESET, i.e. а sce n a гi o which гeq tti гes tl1e UE to gene1·ate а si11gle cl1a11 11el estimate fгom all Resoшce Blocks
within the CORESET (гeqttires all Resol\l'ce Blocks with in the CORESET to Ь е co nt igнotts, and p1 ·ecode1 · Gm11 ulшity to Ь е set to
' a//Contiguo usRВs'). This configшation с а п Ь е ttsed as а soltttion to impгove PDCCH coveгage, althot1gl1 PDCCH coveгage са п also
Ь е improved Ь у usi ng the hi gh e г aggregation levels of 8 and 16

ex tract rгшп P/1_1·-Pam111e1asC0111111011

precoderGranнlarityCORESET s нpp orted

Та Ы е 133 - Extract f1·ош P/1y-Para111etersC0111111011 par·a ш e te1· stt·u ctш·e

* The Base Station li11k adaptation algorithm is гesponsiЫe for selecting а PDCCH aggгegat ion level wl1ich matches the c urгeпt гadio
conditions. In the case ofUE specific tгansm i ss i ons, the aggregat ioп level са п Ь е optimised fог each UE. In the case of commo11
transmissions, e.g. resol\l'ce allocations for Paging messages оп the PDSCH, then it is necessary to t1se а relatively high aggгega ti oн
level to саtег for UE which may Ье at cell edge
* The type of PDCCH payload also impacts the beamfoгmiпg ap plied Ь у the Base Station. Ifthe PDCCH is bei11g ttsed to allocate
PDSCH геsошсеs fог the tгan s mi ss i oп of а P ag iпg message 01· System In foгmation, tl1e11 tl1e PDCCH is likely to ttse the same
beamfoгming as the set of SS/PBCH Blocks, i.e. relati vely wide beams. PDCCH tгansm i ssi oпs \vill Ье reqtti1·ed acгoss al l SS/PBCH
beam positions to ensшe that messages are b гoadcas t across tl1e entiгe cell ai·ea
* Iftl1e PDCCH is being ttsed to allocate PDSCH геsошсеs fог the tгa n sm i ss ioп ofapplicatio11 data, the11 the PDCCH сап t1se mоге
directional beamfoгm in g . The Beam Refi п emen t рюсеdвге (descгibed in secti oп 9. 2) allows the UE to ideпtify апd 1-ерогt а specific
d iгect i ona l beam based в роп tl1e CS ! Refe1·e11ce S i gп a l . Tl1e Base Stati oп са п tl1e11 ttse tl1i s cli,·cctional beam wl1en t1·ansmitting tl1P, .
PDCCH towa гd s tl1e UE. Figшe 206 illttst1·ates examples of tl1e PDCCH н s iп g SS/PBCH beams \vl1e11 allocati11g PDSCH геsо шсеs foi·
paging, а пd н s iп g а mo1·e cli1·ecti o11al CS! Refe1·e11ce S i gпal beam wl1e11 a ll ocat i пg PDSCH 1·esoшces for a pp l i ca tioп data
* Di ,·ectioпa l beams аге mоге li ke ly to 1·eqttiгe f1·eqtte11t Ь еа111 switcl1i11g апd may Ь е тоге s t1 sceptiЫ e to beam fa ilшe . Tl1t1s, it may Ьс .
decided tl1at tl1e Base Statioп shott ld t1se а w i deг SS/PBC H beam fог the PDCCH, \vl1ile t1si11g а mоге diгectiona l beam fo1· the PDSCH

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 5G NR in BULLETS

pDCCH transmission to allocate re source s for paging PD CCH tran smission to allocate re sources for data transfer

figure 206 -
..
7

Ехашрlе beaшfo1· шing applied to the PDCCH

4.3 PDSCH
* ЗGРР TS 38.2 14 specifies а single transmission scheme fо г the PDSCH - Tгa n smission Scl1eme 1. Tl1is traпsmis s i o n scheme allows
tl1e Base Station to tra n s feг PDSCH data with t1p to 8 l ayeгs, and t1sing aп te nna poгts witl1i11 the range I ООО to I О 11 . The PDSCH is
tra п sm itt ed iп com biп a ti on with its Demodt1latio11 Refe гence Signal (DMRS) to allow co l1 eгe 11t гeception at the UE

* Оре 11 Loop, Semi-Open Loop апd Closed Loop tгansmis s ion schemes аге not explicitly defined. Howeve1·, 3GPP l1as standa1·dised the
UE feedback mecl1a11isms to st1ppшt these tгa n s mi ss ioп scl1emes. Fш example, а UE са п Ь е in s tг1.1 cted to геро11 CQI and Rank
Jndi catoг (RI) for an Ор е п Loop scheme, or CQI, RI and Preco diп g Matгix Iпdi cato г (PMI) for а Closed Loop scheme. This all ows
11ehvork ve nd oгs to impl ement tl1 e iг own va гi a пt s of the s iп g l e traпsmi ss i on scl1eme
* Semi-Ope11 Loop MIMO 1·elies t1pon tl1e UE гe porting CQI, RI and а pa1·tial РМ!. The partial PMI p гovides on ly coa1·se pгeco diпg
inform at ioп . The Base Station refi п es the coarse РМ! 1.1 si11g ореп loop tec hпiqн es, e.g. гa n dom l y cyc liп g tl11"01.1gh а set of refined
ргесоdег va l1.1es li11 ked to tl1e соагsе p1·ecode1· va l1.1e

* Р М! repoгti11 g is based 1.1ро11 а set of 4 codebook ca tego гi es specified Ьу ЗGРР - Туре I S iп g l e Р а п е ! апd M 1.1lti -Paпe l codebooks fo1· а
maxi111t1m 1·а пk of 8; Туре 2 S iп g l e Ра п е l апd Рогt Select i o п codebooks ,vl1 ich аге optimisecl fог m1.1 l t i -t1 se г MIMO b1.1t а ге 1·est1·icted to
а 111ax imt1111 гank of 2. Туре I codebooks pгovide гe l a tiv e l y соа гsе iп fo гm at i oп, wl1e1·eas Тур е 2 codebooks pгov id e 111оге detai led
i11 formatio11 at the cost of an in cгeased s ign a lliп g oveгhead. Sec tioп 13.6.3 desc1·ibes tl1e set of 4 codebook catego гi es
* The UE does not req нiгe expl icit kпo,v led ge ofthe precoding app lied Ьу the Base Station becat1se the same pre co diп g is appl ied to both
tl1c PDSCH and the DMRS. The UE сап t1se tl1e DMRS to estimate the composite pгopagatioп ch a nп e l which inclt1des the impact of
the Base Station precodiп g апd the гadio pгop aga tion сhаппеl . The DMRS is typically accommodated witl1i11 а siпg l e symbol bt1t
additioпa l DMRS symbols сап Ье co nfi gшed fог rapidly cl1angi11g radio e 11viгonme 11ts

* Base S ta tioп pгecodiпg is likely to inclt1de both pгecodiпg fог МIМО а пd pгecodiп g fог b eamfor miп g. Precoding fо г М!МО is
typically s hoгt term апd freq1.1e11cy selective, ,vheгeas pгe cod in g fог b eamform iп g is typically l о п gе г term апd less fгeq1.1 e 11cy selective.
The two stages ofprecod ing are illt1strated iп Figшe 169 within section 3.6.3.
* The concept ofResoшce Block Bt1ndli11g helps the UE to gепегаt е cha1111el estimates from the DMRS . Reso1.1rce Block B1.111dles
co 1тespo nd to Pгecoding Resoшce Block Gгo1.1p s (PRG). The Resoшce Blocks belo11gi11g to а PRG а ге ass1.1med to exper ieпc e s imilaг
cha1111el conditioп s апd have tl1e same precoding applied Ьу the Base Stat ioп , i.e. а UE сап ge11e1·ate а single cha1111el estimate fгom а
PRG. Laгge PRG allow tl1e UE to calc1.1late each channel estimate acгoss а large1· set ofReso шce Blocks. This helps to improve the
ассшасу ofthe cl1annel estimate, especially when coverage conditioпs аге poor. Small PRG pгovide the Base Station with iп creased
flexibility to apply fгeq1.1 e 11 cy selective pгecodiп g. Resoшc e Block Bt1ndling is descг ib e d in gгеаtег detail witl1i11 section 3.6.5
* M1.1lti-User МПvЮ (MU-MIMO) is а п effective sol1.1tion fог increasing spectral effic i eп cy а пd tlш s increasing system capacity. МU­
MIMO allo,vs m1.1ltiple UE to s h aгe tl1e same Reso шce Blocks ,v h eп those UE have а l1igl1 spatial sep arat i oп. This means that UE ai·e
sepaгa ted in the spatial domain гatl1e1· tha п tl1e ti me а пd fгeq 1.1 e ncy domai11s. The Base Stat i oп Packet Sc l1 e d1.1leг is 1·es ponsiЫe fог
identifying cand idate UE ,vl1icl1 сап Ь е g1'0l1ped fог co-scl1ed1.1ling. [ пtе гfе гепсе bet,veeп tl1e tгansm i ssioпs towaгd s each UE is
minimised Ьу se1·ving eacl1 UE witl1 а se paгate diгectioп a l beam. МU-М !МО is app li caЬl e to digital beamfoгmiп g гa tl1 er tl1an analog1.1 e
b eamfoгm iп g. !п tl1e case of а паl оgне b ea 111foп11i11 g it is поt possiЬle to app ly sepa гa te beamfoп11ing coefficients to tl1e Resoшce
Blocks all ocated to i11divi d1.1al UE. Tl1is is beca1.1 se tl1e beamfo 1·m i п g coefficieпts а ге app lied to tl1e RF s i gлa l so iпcli v i clнal UE resoшce
a ll ocatioпs а 1·е 1101 visiЫe

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5G NR in BULLETS

4.3.1 OPEN LOOP MIMO

* Open Loop MIMO гelies upon the UE providing feedback in terms of:
о Rank Indicator (RI) - suggested number oftransmission layers

о Channel Quality Indicator (CQI) - st1ggested modulation scheme and coding rate

This app;_oach is categorised as ' Open Loop ' becat1se the UE is not reqt1ired to provide feedback in terms of а P recoding Matrix
* Indicator (PMI). The Base Station can t1se the CSI-1·ep01·1Conjig parameter structure presented in ТаЫе 293 (section \3 .6) to set
1·ep01·tQ11antity to 'cгi-RJ-CQI' . Тhis means that the UE reports RI and CQI for MIMO, in combination with the CSI Reference s· 1
Resoшce Indicator (CRI) for Beam Management ig,щ
The precise Open Loop MIMO transmission scheme is dependent upon the Base Station implementation and is tгanspaгeпt to tlie Ul2
* i.e. the UE does not reqt1ire explicit knowledge ofthe pгecoding applied Ьу the Base Station '

Candidate Орел Loop МIМО transmission schemes include Precoder Cycling, ' Small Delay ' Cyclic Delay Diversity (CDD) а п d
* 'Large Delay ' Cyclic Delay Diversity

In the case ofL ТЕ, Transmission Mode 3 pгovides an Орел Loop MfMO solt1tion based upon 'Large Delay' CDD. In the case or LТ!2
* th e pгecoding is s ta пdardis ed so the UE is aware ofthe precoding applied Ьу the Base Station at any poiпt in time. This allows tlic ·
PDSCH to Ье tt·ansmitted withot1t а DMRS

fо г Laгge
* Pt·ecoding Delay CDD is defin ed using the equation :

whet·e, Р is the numbet· of output antenn a po гts, i is the sample nнmb e r and v is the nнmЬ е г of inpt1t layers
* The Cyclic Delay Di versity itself is gen e гated using the D(i) componen t of this e qнation . In the case of 4 layet·s, D(i) сап Ь е d c fiп ccl as:

1 о о о

о е -1 (")'
2 1 о о
D(i) = - j( 21Т );
о о е 2 о
- j(З тт);
о о о е 2
This m a tгi x is in the same format as the identity mat гi x (identity matr ix l1 as а \eading diagonal of all ' 1's and does ,юt chaпge tl1 c i11p111
afteг mнltiplication). Howeveг, tl1e 2 nd , 3rd and 4 11' leading diagonal elemeпts are phasors with нnity amplitude and а phase \Vl1i cl1
incгeases for еvегу input sample. Thнs, the 2 nd , 3 rd and 4 11' гows ofthe input аге multiplied Ьу гotating phasшs

* lf а time domain signal is multiplied Ьу а rotating pha soг tl1 en that signal is shifted in the f1·equency domain. In the case of precoding
fог Ор е л Loop MIMO, the rotatiпg phasors а1·е applied in the freqнeпcy domain (pгior to the IFFT нsed to ge n eгate the time do111~i 11
CP-OFDM signal). Applying the rotating phas01·s in the freqнency domain causes the signal to Ье shifted in the time domain , i.c. clcl3y
is intгoduced. The 4 phasoгs associated with D(i) have diffeгent rates of гo tation so eacl1 inpt1t signal experiences а diffe,·ent de lay. Т11 с
delay incгeases as the phasor's rate ofгotation incгe ases . Introducing these delays ge пera tes diversity across the tran smitted sig11als
* Precoding fог орел loop spatial mt1ltiplexing is refeпed to as 'Large Delay' CDD when the maximt1m poss iЫe delays ш·е app lied, c.g.
when th e гe are 2 inpнt l aye гs, the phaso1·s rotate 0° and 180° between input samples; when there аге 4 input layers, th e p l1 aso гs rota tc
0°, 90°, 180° and 270° between inpt1t samp\es
* The inpt1t sampl es belonging to each layer а ге mt1ltiplied Ьу the 'И' matгi x prio1· to hav ing the CDD applied. The 'И' mat1·ix спsшсs
that each input pгov ided to the CDD inclt1des а combination of the oгiginal inpt1 t l ayeгs. Thi s means tl1 at eacl1 antenna po,·t trn11 s111its а
combination of all l ayeгs but witl1 diffeгe nt time delays. А typ ical 'И' matrix is defined as:

1 1 1 1
е -jш (21Т) (Зтт)
1 1 е -1 Т е -1 Т
И =- · (21Т) ·( 41Т) (61Т)
2 1 е -1 Т е -1 Т е- 1 Т

е -1 Т
(31[) е -1 Т
(бтт)
е- 1 Т
(9/f)
1

* Tl1 e elemeпts w ithin tl1e 'И' mat,·ix are not а fiшction of tl1 e samp le nнmbe1· 'i'. Tl1ey app ly а fi xed гotatioп to eac l1 inpнt laye i· апd du
not gene1·ate а time de lay in tl1e same way as tl1 e D(i) mat1·ix

* Т11 е W(i) matгix сап Ье t1 sed to pгovide addition al pгecodin g. ln th e case ofLarge Delay CDD for LТЕ , W(i) is tl1 e ident ity 111ati-i.x
scaled Ьу 1/{2 wh en нsing 2 antenna ports. In th e case of 4 апtеnпа poгts, W(i) has entries whicl1 гepeatedly cycle tl11·oнgl1 а fi xed
p a tteгn ofvalues

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 5G NR in BULLETS

SEMI-OPEN LOOP MIMO

* semi-Open Loop MIMO relies upon the UE providing feedback in terms of:
Raнk Jпdicatoг (RI) - suggested numbeг of tгansmission layers
о

Channel Qнality Indicator (CQJ) - suggested modulation scheme and codiag rate
о

'Paгtial' Precoding Matгix Indicator (РМ!) - sнggested partial pгecoding

о

* This approach is categorised as ' Semi-Open Loop' Ьесанsе the UE is reqнired to provide par·tial PMI feedback. It сап Ье configured
,vheп нsing more than 2 antenna poгts with the Туре 1 Single Рапе\ Codebook described in section 13.6.3.1. When using Closed Loop
мrМО with more than 2 antenna ports, PMI repoгting is divided iпto 2 stages. The first stage provides wideband info,mation which
does 110 t chaпge rapidly over time. This сап involve beam se\ection, ог beam group selection. The second stage pгovides sub-band
iнformation which changes more rapidly over time. This сап involve beam selection from within а groнp and phase shift se\ection for
co-pliasing. The first stage of РМI feedback is гepresented Ьу 'i 1', wheгeas the second stage is represeпted Ьу 'i2 ' . In the case of Semi-
Open Loop МГМО, the UE 011\у герогts 'il'
* Tlie Base Stat"ion сап trse the CS!-1·epo1·tC01?fig par·ameteг stпrctшe pгesented in ТаЫе 293 (section 13 .6) to set the 1·epo1·tQ11a11tity to
'ai-Rl-i l-CQJ' . T\1is meaп s t\1at the UE reports RI, CQI and 'i 1' fo1· М!МО, in combination with the CSJ Refeгence Signal Resoшce
Iridicator (CRI) for· Beam Management
* Tlie pr·ecise Se111i-Open Loop МГМО t1·ansmissio11 sche111e is dependeпt upon the Base Station implementatioп and is transpareпt to the
UE, i.e. the UE cloes not 1·еqнiге explicit knowledge oft\1e pгecoding applied Ьу the Base Station. Figшe 207 illнstrates an example of
Semi-Open Loop М!МО based нроn the tгansmission of 8 CSI Refeгence Signals from а grid of2 x2 cross ро\аг antenna e\ements.
Tliis confi gшation al\ows the UE to se\ect fгom а set of64 beams wheп нsing the Туре I Single Рапе\ Codebook. Ifthe UE is
confi gшed to use 'Codebook Mode 2' then t\1e first stage of PMI герогtiп g correspoпds to selecting а groнp of 4 beams. This gгонр is
selected апd геро11еd to the Base Station as ' i 1'
* Tl1e Base Station сап theп apply pr·ecodiпg based t1pon 'i 1'. The example il\t1st1·ated iп Figшe 207 assнmes t\1at the Base Station
applies pгe codiпg whicl1 cycles thгoug\1 each of t\1e ' i2 ' valt1es associated with t\1e герогtеd 'i 1'. Tl1is corтespoпds to cycli11g thгoнgh
t\1e set of 4 beams апd also cycliпg tlirot1gh а set of 4 co - phasiпg phase s\1ifts. Figшe 207 illн s t,·ates 4 examples of t\1e pгecodiпg Ьнt iп
reality the,·e woнld Ь е 16 combinations ofbeam and phase s\1ift. The Base Statioп сан cycle thгot1gh the set ofpгe codiпg optioпs iп the
f1·eqн e 11cy domai11 Ьу a pplyiпg diffeгe nt pгe codi11g to each Pгecodiп g Rеsонгсе Block Gгонр (PRG) (PRG а1·е descгib e d i11 s e ctioп
3.6.5). Tl1is type of Semi-Ope11 Loop ргесоd е ,· cycling сап pгo v id e p e гform a пc e b e п e fits w\1en t\1e гa dio envi1·011me11t is гe lative l y
dynamic, i.e. ift\1e UE 1vе ге to pгov id e specific ' i2' feedback the11 it wot1\d become o нt- of- d a te гe \ative l y qнi c kl y. Cyc li11g thгo u g \1 the
sct of ' i2' va lн e s l1elps to е 11 s ш·е tl1at t\1e pгecocli11 g 1·emai11s valid 011 ave гa ge

Lea ds to 64 Beam s Partial Precoding lnformation

(N 1 , N2 ) = (2,2)
(0 1 , 0 2 ) = (4,4) шшшш
[x /l x l шшшш
ШШDШ
jx j[x J шшшш
Cycling of remaining Cycling of remaining Cycling of remaining Cycling of remaining
Precoding lnformation - 1 Precoding lnformation - 2 Precoding lnformation - 3 Precoding lnformation - 4

Figure 207 - Еха шрl е so lu ti on fo1· Semi-Open Lo op MIMO

о !11 ge11e1·a\, ге рогt е d CQI va\н es а ге ' co пditi o п ed ' нр о n tl1e reported PMI va lн es, i.e. tl1e CQI va lt1e is va lid ,v h eп the Base S t at ioп
tгan s mits t1sing t\1e s н gges te d p1·ecodi11g m a tгi x . In t\1e case of Semi-Ope11 Loop МГМО, the UE is 1·epo1·ti11g only partial PMI so
3GPP lшs specified tl1at tl1e UE s \1oн\d ass шne а га пdоm se \ ec tioп ofpre c odiп g 111at1·ix fо г the гe maiпin g PMI. 3GPP also spccifies
t\1at t\1e UE сап ass нm e tl1at pr·ec odiп g is applied to Pгecodiп g Res oшce Block Groнp s (PRG) which l1ave а size е qна\ to pdsc/1-
B1111dleSizeF01·CSl (s lюwn in Та Ы е 293)

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5G NR in BULLETS

4.3.3 CLOSED LOOP MIMO

* Closed Loop MIMO relies upon the UE pгoviding feedback in terms of:
о Rank Indicator (RI) - suggested number oftransmission layers
о Channe\ Qua\ity Indicator (CQI) - suggested modulation scheme and coding rate
о Precodщg Matrix Indicator (PMI) - suggested precoding
This approach is categorised as 'Closed Loop' because the UE is required to provide feedback in terms of а Precoding Matrix Indicat
* (PMI). The Base Station сап use the CSI-1·ep01·1Config parameter stгucture presented in ТаЬ\е 293 (section 13 .6) to set гepol'/Quaщ;, ~r
to either 'ai-RI-PМI-CQI' or 'ai-RI-LI-PМI-CQГ. This means that the UE reports RI, CQI and PMI for МТМО, in comЬination ,vi(i
the CSI Reference Signal Resource Indicator (CRI) for Beam Management. The \atter a\so instructs the UE to report the Layer 1
Indicator (LI). The LI information can Ье used for mapping specific \ogica\ antenna ports onto the best transmission layer, e.g. the
antenna port used Ьу the Phase Tracking Reference Signal (PTRS)
3GPP has specified а set of 4 codebook categories for PMI reporting - Туре I Single Panel and Mнlti-Panel codebooks for а maxim шn
* rank of 8; Туре 2 Single Panel and Port Selection codebooks optimised for multi-нser MIMO but which are restricted to а maximшп of
rank 2. Туре I codebooks provide relatively coarse information, whereas Туре 2 codebooks provide more detailed information at tlic
cost of an increased signalling overhead. Section 13.6.3 describes the set of 4 codebook categories in greater detail
2х2 MIMO based upon the Туре I Single Рапе\ codebook is the simplest form ofC\osed Loop МIМО . In this case, PMI гepoi·tiпg
* involves the selection of I precoding matгix from а set of 4 precoding matrices when repoгting rank 1, and the selection of \ precodiпц
matrix fгom а set of2 precoding matrices when гeporting rank 2. In this case, PMI repш1ing does not involve beam selection. Tlie 2
sets of pгeco ding matrices are pгesented in ТаЬ\ е 299 (sectioп 13 .6.3 .1), while Figшe 392 and Figшe 393 illнstrate the p1·ecodiiig
which is applied p1·ior to any beamfoгmiпg. Figшe 169 (section 3.6.3) illн s trates tl1e applicatioп of the pгecoding for MJMO ргiог to tlic
applicatioп ofpгecoding fог beamformiп g

* 2х2 МIМО is гe latively stш ightfo1ward Ьесан sе the 2 oнtpнts from t\1e pгeco diп g can Ье mapped onto the 2 а пtе пп а po\ai·isations. Tliis
al\ows а
po\arisation beam to Ь е geneгated for each outpнt. When нsing higheг order MIMO, it is поt possiЬ\e to map eacl1 p1·ecocliп g
онtрнt опtо а sepai·ate polaгisation, e.g. theгe may Ье 4 oнtpнts fгom the precoding but only 2 polaгisations. F i gшe 208 illt1st1·ates tivo
a\temative so lнtion s for t1·ansmitti11g the set of pгecodiпg outpнts when t\1e пнmЬ ег of outpнts is gгеаtег than 2
The fiгst so lнti oп
is based нроn the use ofmнltipl e beams with diffe гeпt comb in at ioп s ofazimt1tl1 апd e l evat ioп . 111 thi s case, tl1e U[ i,
* 1·e qt1iгe d
to select multiple beam diгectioпs dшin g PMI 1·epoгtin g 1·аt\1 е г thaп а single beam diгectioп. F i gн гe 208 assнmes tl1e ttsc оГ
4х4 МIМО so it is necessaгy fог tl1c UE to герогt 2 beam diгec tions (2 polaгis a tioп beams аге associated with еас \1 beam di1·ectio11 so
t\1еге is а total of 4 polaгisatioп beams to tгansmit the set of 4 pгecoding oнtpнts) . Tl1e 4 t1·a11smissio11s are ш1сопе \ аtеd Ь еса н sе tl1cy .11·с
t1·ansmitted 11sing diffeгent comЬinatioпs ofpolarisation, az inшth and elevation. Т\1е 2 beam diгections selected Ьу tl1e UE 1vi ll poi111 i11
diffeгeпt directions so t\1e conлection relies uрол scatteгing and гeflections to allow tl1e UE to гeceive t1·ansmissio11s fгom all Ьеа111 ,

The second solнtioп is based upon the divisioл of the antenna рапе\ iлto mнltipl e sections. Each section of the antenna рапе\ is tl1c11
* аЬ\е to geneгate its own pair of polarisatioл beams. Figшe 208 assumes the нs е of 4х4 МIМО so it is necess aгy for t\1e ai1tenna рап с ! to
Ье divided into 2 sections (2 polarisatioл beams ai·e geлeшted Ьу each sectioп so theгe is а total of 4 polaгi sa tioп beams to tгa11s111it tl1c
set of 4 precoded 011tpt1ts). Tl1e 4 tгaпsmissioпs аге 1111coгrelated beca11se they are transmitted нsiп g diffeгeпt physica\ апtеппа elc1ncnts.
In the case of this secoпd so\ution, each po\ai·isatioп beam is geпerated 11s iпg half the пнmЬег of апtеппа e \eme пts . This mear1s tl1at tl1c
beams 1vill Ье \ess diгec tional апd wi\l have \оwег gain

2 pairs of polarisation beams 2 pairs of polarisation beams

Each pair of beams generated using whole Antenna Panel Each pair of beams generated using half of Antenna Panel

lx Jj x ]j x Jj x ] Jx ll x ]jx ][ x l
lx ]l x ll x j\ x j lx ll xll x Jl x l
Each pair of polarisation beams is Each pair of polarisation beams
uncorrelated due to beamforming is uncorrelated du e to being
co effici ents ge nerating beam pairs generated Ьу а different se t of
with diffe rent az imu th/e leva tion antenna elements

Option 1 Option 2

Figш·e 208 - Sol11tions fo1· t1·a11s111itting 4х4 MIMO pгecoder outputs

* Т\1е Туре I Siпgl e Рапе\ codebook st1ppoгts the secoпd solutioп fог tгaпsmissioп гапks 3 апd 4 wh eп the пнmЬег of CSI Rеfегспсс
S i gпals fог MIMO measшeme11ts is ~ 16. Wlleп using less thaп 16 CSI Refe1·e11ce Signals, it is assнmed th at tl1e апtепла рапе ! is

244
 5G NR in BULLETS

relatively small so it is less practical to divide tl1e panel into two sections. When t1sing tгan s mission ranks greater than 4 then the
secor1d solt1tio11 wot1ld require the апtеппа panel to Ь е di vided into 3 or more sections. This becomes less practical because each
individttal section wottld Ье relatively small and the associated beams wottld become less directional а пd have loweг ga iп
Closed loop MIMO сап also Ье implemeпted tt s iпg а hybгid PMI reportiп g solt1tio11. The Base Statioп сап use the CSI-1·ep01·tConfig
parameter stп.1ctшe preseпted iп_ТаЫе 293 (sectioп 13.6) to set 1·epol'tQ11antity to 'Cl'i~Rl-il '. This meaпs that the UE repO!'ts RI апd а
partial PMI for MIMO, 111 comb111at1011 w1th the CRI for Beam M a пagem eпt. The UE rs поt гeqшred to repoгt CQI at thrs stage. The
general expectation is that this first stage гelies ttpoп CSI Refereпce Signal trans mis sio п s which are поt beamformed. The UE measшes
the pгopagatioп chaпnel for each CSI Rеfегепсе Signal tгaпsmissioп апd then ideпtifies the PMI codebook eпtry which wottld geпerate
а Ьеа111 (or group ofbeams) directed towards the UE. However, it is also possiЫe for the CSI Rеfегепсе Signal tгansmissions to Ье
beamformed. Beamformiпg is tгaпsp a reпt to the UE, so the UE wottld follow the same pr·ocess irrespective of апу beamformiпg
* The paгtial PMI allows the Base Statioп to gепегаtе а coar·se beam towaгd s the UE (ог а grottp ofbeams iftl1e partial PMI has Ьееп
нsed to ideпtify а grot1p ofbeams). The UE сап then Ье instп.rct ed to provide а second PMI report, fог example t1sing ' Cl'i-RI-PМJ-CQI'
ivith the Туре 2 Port Selectioп codebook. This codebook assumes that b ea mformiпg lшs already Ь ееп applied to the CSI Reference
Signal tгansmissions . Tl1e UE th eп reporis а refined PMI, RI and CQI based ttpon the beamformed CSI Rеfегепсе Signal tгaпsmissioпs

4.3-4 MULTI-USERMIMO
* Siпgle Useг MIMO (SU-MJMO) provides dedicated Resource Block allocatioпs to each UE, i.e. r·eso11гce a lloca tioпs are sepaгated in
the time апd fre qн eпcy domaiпs. !п contгast, Mt1lti-User MIMO (МU-МТМО) allows Re so шce Blocks to Ь е s haгed Ьу а gгot1p ofUE.
The gr·o пp ofUE аге caгefi.rlly selected to e пsure that tr·aпsmissioп s towaгds those UE аге sepaгated in the spatial do maiп . This me a пs
that the co - sc h edпled UE mttst Ье dist1·ib11ted aci-oss the cell а геа. Tl1e р е гfогmа п се ofМU-MIMO is likely to Ье compromised if all of
the UE are c lt1 s t e гe d to ge theг at опе locatioп
* МU - МfМО is а п effective solt1tioп for iп creas iп g spec tгa l effi c i e п cy . Spectгal efficieпcy сап Ь е dопЫ еd ifthe compl ete set of
Resource Blocks is allocated to 2 UE. S imil aг l y, spect1·al effici ency са п Ь е qt1adгt1pl ed ifthe complete set ofResoшce Blocks is
allocated to 4 UE. Hi g h e г orde1· MU-MIMO becomes mo1·e challeпging Ь есан sе it is песе ssа гу for· the Base Statioп to ideпtify an
iп cгeased пшnЬ е г ofUE \vith adequate spatial separ·a tioп. S har· iп g Resoшce Blocks between UE \Vhicl1 have inadeq11ate spatial
se pa r·at i o п \vill lead to iпterfeгe n ce b e twee п tl1e t1·a п s mi ss i o 11 s belonging to each UE

* Massive М!МО s o lпti on s ar·e а Ые to ge11e1·ate s i gn ifi ca п t ре гfог mапс е gaiп s fгom МU- MIMO becatrse tl1e l1igh ly diгe ctio п a l beams а 1· е
аЫе to iп crease tl1e spatia l s ep a гa t i oп b e t\ve e п UE. Howev e г , МU -М!МО is поt гes tгict e d to 111assive MIMO апd са п also Ь е s н ppoгte d
11si11g smalle1· апtеппа syste111s, e.g. а п 8Tx8Rx sol11tio11 based t1pon а co111b i11atio11 ofRemote Radio Heads (RRН) а пd а passive
ш1t е 11 11 а. Smalle1· а пtе пп а syste111s \vill ge11e1·ate \vid e г beams \Vl1i ch will Ь е less сара Ы е ofpгov idiп g spatial se paгatioп b etweeп UE

* MU-M!MO is typica lly associated \vith l owe г огdег MIMO, e.g. 2х2 MIMO. It is cl1alle11gi11g to s нррогt both МU-МfМО а пd higl1e1·
o гd erMIMO s i11111lt a 11 eoнs l y beca11se it becomes difficнlt to id eп ti fy s11 ffic ie11t tm co пe l a t ed p1·opagatio11 patl1s towai·ds each UE \vitl1i11
tl1e gго н р of co-sc l1 e dнl ed UE
* МU-MIMO is ap plic a Ы e to both tl1e t1pliпk а пd dowпliпk so the spec tгa l efficieпcy сап Ь е improved iп both diгections. The Base
S tatioп is а Ы е to ge11e1·ate directio11al 1·eceive beams, simil a1· to ge11e1·ating directi onal t1·a11smit beams. Tl1ese directional 1·eceive beams
l1elp to acl1ieve spati al se par·at i o п iп the ltplink diгectioп
* Digital bea 111foгmi11g is аЫ е to s11ppoгt МU -МfМО , wh eгeas апаlоgне b eamfoг miп g is not аЫе to st1ppoгt MU - MfМO. Figшe 209
i llн stгates tl1e t1se ofdigital beamfor·ming fог МU-MIMO. Tl1e Resoшce Blocks allocated to each UE а 1·е pгecoded separately fог both
МГМО а пd b ea mfoгmiп g. This allo\vs separ·ate beams to Ье ge пeгa te d fог each UE. The ot1tpнts аге tl1e11 st1m111ed Ь еfоге digital to
a11alogt1e co11ve1·sio11

! Digital Domain

Digital to Power
MIMO ""
_ с:::
Analogue 1 Mix to RF 1 Amplifier
UE 1 Precoding §
.о
в Е
' "' Digital to Power
1 to 10
''' "'"' Analogue 1 MixtoR F 1 Amplifier
'''
''
"" Digital to Power
MIMO 1 MixtoRF 1
·'= Analogue Amplifier
UE 2 Precoding §
► -45°
.о
PRB Е
:1j Digital to Power
1 to 10 1 M ixto RF 1
"' Analogue Amp lifi er
'' '
' ---- -- -- - ---------- ---- ---- - ------------ ---- -------- ---- --- •''
---
Figure 209 - M ulti-User МJ М О ,vit11 <ligital beaшfol"Пliпg

245
5G NR in BULLETS

Figure 21 О illllstrates an eqllivalent diagram for Single User МfМО with analogue beamforming. In this case, the beamfoгmiпg .
* completed after the RF signal has been generated. It is not possiЫe to apply UE specific beamforming becaL1se the tгansmissioп~s
towards each individllal UE cannot Ье separated once the RF signal has been generated
r-- ---- --- --- ---- -- -------- -- ------- --,
! Digital Domain !
.§""
с: -
1
i: MIMO _. ~~g~i=~~: - 1 1
- MixtoRF
Power
Amplifier
-► Е
Е
.,ro
а:,
--1
+45°

Precoding
" : UE 1
PRB
1 to 10
~► Digital to
~►1 Mix to RF 1- Power
-►
.§""
с:

Е
--1 -45°
Analogue Amplifier
Е
'' '
'----- ---- -- --------------- - --- --------''
.,
ro
а:,
--1
Figure 21О - Si11gle Use1· МJМО ,vith analogue beamforming

* The Base Station is responsiЫe fог al\ocating diffe1·ent PDSCH DemodL1lation Refeгence Signals (DMRS) to co-sc h edн l ed UE. Thc
DMRS is descгibed in section 3.7.3:
о Configuгation Туре 1 SL1ppo11s llp to 4 antenna ports when using single symbol transmission, апd up to 8 аntепла poгts \vheп н s iii g
dонЫе symbol t1·ansmission. 2 Code Division Multiplexing (CDM) gгoups are avai l aЫe to allow the гe - use ofDMRS Reso шcc
Elements acгoss antenna poгts '
о Configшation Туре 2 supports вр to 6 antenлa poгts when нsing single symbol tгansmission , and нр to 12 anteпna poгts wl1e11
1

L1sing dовЫе symbol traпsmission. 3 CDM gгoL1ps аге avai l aЫe to al\ow the гe-L1se ofDMRS Resollt'ce Elements ac гos s апtе 111 щ
ports
* Each UE which is al\ocated 1·ank 2 tгansmission 1·eqвiгes 2 DМRS aпtenna pшts . This means that Configвгatioп Туре 1 сап s нррогt нр
to 4 co-schedL1led UE with raпk 2 withoнt having to re-вse DMRS antenna ports. Similaгly, Configшation Туре 2 can sнpport нр to 6
co-schedttled UE with 1·ank 2 withoвt haviп g to гe-L1se DMRS antenna ports. It is possiЫe fог the DMRS ports to Ье ге -нsеd iftl1e co-
schedнled UE have high spatial isolation

* Downliпk Сопtго l Iпfoгmatioп (DCI) Fшmat 1_ 1 сап Ь е н se d to al locate specific DMRS antenпa po11s to the UE. Tl1e 'A ntenna Pol'ls'
fi eld showп in ТаЫе
80 (sectioп 3.5.7) specifies the allocated апtеп n а ports and also indicates \vhetl1eг ог поt the PDSCH сап Ь с
fгеqнепсу пшltip l exe d witl1 tl1e DМRS. In tl1e case ofSiпgle Useг MIMO, tl1e DMRS сап Ь е fгeq tt eпcy mt1ltiplexed witl1 tl1e DMRS
Ь есанs е the Resollt'ce E lemeпts b etweeп tl1e DMRS аге поt нsed Ьу otl1eг UE. Iп the case of MU-MIMO, tl1e UE сап Ь е iпfoгmcd iliat
the Resollt'ce E l e meпts between tl1e DMRS аге not t1sed Ьу the PDSCH Ьесанsе tl1ey аге potentially L1sed Ьу tl1e DMRS belo11gi11g 10
otl1eг co-schedнled UE

* Other tlian the iпformation гegardi11g the freqllency mllltiplexiпg oftl1e PDSCH and DMRS, а UE does not have any kпo\vledge
гegarding the pгesence of co-schedнled UE. In the case of МU-MIMO , beamforming can Ье L1sed fш both beam stee1·i11g and 11ltll
steeгing, i.e. the beam is diгected towards the UE, while 11ltlls а1·е directed towards otheг co-schedнl ed UE. The nllll steeгing helps to
minimise inteгfeгence (cгoss-ta lk) between co-schedн l ed UE
* The peгformance ofМU-MIMO is sensitive to the quality ofthe Chanпe l State Information (CSI) гeported Ьу the UE. The Туре 2 PMI
codebooks descгibed in section 13.6.3 have been designed to provide the incгeased ассшасу геqнiгеd fог МU-MIMO. These codebook,
sL1ppo11 а maximllm t1·ansmission rank of2 which is aligned with the notmal reqL1iгement fог МU-MIMO

4.3.5 RECIPROCI1Y BASED

* Reciprocity based tгaпsmission schemes rely llpoп llplink pгopagatioп channel measшements to determine the do\vnliпk pгecodi1ig.
Tl1e Base Statioп can measшe tl1e p1·opagation сhаппе l fгom llplink Soнndiпg Refe1·ence Sigпal (SRS) tгansmissioпs. Tl1is appгoacli is
сараЫе of geneгating 1·esL1lts witl1 а higl1 freqt1eпcy domain гeso lнtion. Wheп нsiпg Closed Loop МfМО, tl1e UE pгovides st1b-ba11cl
PMI repoгts bllt the fieqL1ency domain гeso lнtioп is гestгicted Ьу tl1e signa lling oveгhead geneгatiпg Ьу tl10se 1·epoгts. 3GPP lias
specified sнЬ-Ьапd sizes which iпсгеаsе as а fiшctioп ofthe Bandwidtl1 Рагt size. When ttsing а Recipгocity based t1·aпsmi ss io11
scl1eme, the Base Station l1as the freedom to deteгmin e an a ppгop1·iat e fгеqнепсу domain гcs olнtioп
* Tl1e Base Station сап Ltse tl1e CSJ-гepo1 ·1Co11fig ра1·а111еtег stгнсt·ше to set 1·epo1·tQ11a11tity to 'ai-Rl-CQI'. This means tl1at tl1e UE
герогts RI and CQI fог МfМО , in co111bination \Vi th the CSI Rеfегепсе Signal Resoшce Iпdicator (CRI) fог Beam Maпage111e11t . lt
гema iпs n ecessaгy fог tl1e UE to герогt CQ[ Ьесанsе the Base Station does not have visibility oftl1e do\vnlink inteгfeгence co пdiJi oп s .
i. e. SRS 111easшemeпts do not qнantify tl1e downlink sigпal to noise гa tio.
 5G NR in BULLETS

MULTIPLE TRP
* UE 1-eceiving downlink data at cell edge are vнlпеrа Ые to inter-cell inteгfereпce originating from nei g hboшing cells. So lнtioп s based
ttpon Cooгdinated S c h ed нling can help to reduce co-channel interference Ьу ens1.1ring that п e i gh boшin g cells allocate different sets of
Resoщce Blocks wheпeveг possiЫ e. This type ofsolнtioп can improve performance when the cell load is low to moderate, bttt is less
likely to improve peгformaпce ,vhen the cell load is high а пd all cells need to ш,е all Resoшce Blocks. Solutioпs based t1pon
Coordinated Beamfoгmiп g can help to гedt1ce co-chanпel inteгfeгence Ьу ensнг in g that neighboшing cells do поt simt1ltaneoнsly t1se
beams ,Nhicl1 аге diгecte d towards each other. This can help to ma ximise the system level benefit ofthe direc tioп a l beams. Ho,veve г, it
тау compromise the tlexibility oftl1e Packet Schedt1ler and is likely to Ь е more chall engiп g wheп t1siп g Mнlti -User МIМО which
reqнires each cell to s inшlta пeot1sly tгa nsmit multiple beams in diffeгe nt directioпs

* Transmission schemes based t1роп mttltiple T1·ansmit and Receive Points (TRP) гepresent anotheг solt1tion for improving cell edge
perform11nce. These tran s missioп schemes а1·е intгodt1ced within this section Ьнt they have not been standaгdised within the release 15
vei·sion ofthe ЗGРР specifications. The гelease 15 version of the specifications provides suppoгt for solt1tions which are transparent to
the UE (апd the specifications) Ьнt otheг solt1tions аге pla1111ed for st1bseqt1ent releases. Fi gшe 2 11 illt1strates 3 categories ofmultiple
TRP solt1tion

Coherent Join t Trans missioп Non-Coh er entloint Transmission Non-Coh erent Joint Transmission
Separate layers per TRP Separate PDSCH per TRP

,~осс_н_1_ _ _ _РОССН 2

PDSCH 1
• PDSCH 1 PDSCH 1
Layer 1
• PDSCH 1
Layer 2
PDSCH 1
• PDSCH 2

F i g ш·e 21 1 - T 1·ansш i ss ion scl1e111es using multiple TRP

* Co l1 ereпt Jo iпt Tгa n smi s s i oп нses а si п g l e

PDCCH to allocate а s iп g l e set of PDSCH 1·e s oшces . This is followed Ьу 1ш1ltiple TRP
s imнl ta п e oн s l y tra11 s 111ittiп g
tl1e same PDSCH. Fго111 tl1e UE perspective, the additional dowп liп k tгa11s111i ss ioпs арреа1· si111ilar to
additio11al do,v nliпk del11y sp1·ead с о111роп е пt s ori g iп a tin g f1·0111 а s iп g l e TRP. Ho\veve1·, tl1ere т ау Ь е diffe1·ences iп f1·eqt1e11cy offset
сlн е to eacl1 TRP н s in g iп d epeпd e пt loca l oscillators, and d i ffe re п c es in the UE 111obility 1·e lative to eacl1 TRP , e.g. the UE coн l d Ь е
moviп g a\va y from оп е TRP апd towards the otl1e1· TRP , tht1s e xp e rieп c iп g а п ega tive Dopp le1· offset fгom оп е TRP а пd а positive
Doppl e г offset to\vat·ds the othe1· TRP. Both TRP tra11s111it the same DMRS so tl1e UE is а Ы е to estin1ate the composite p1·opagatio11
clia nп e l. The primary c h a ll e пges associated \Vith Co hereп t Joiпt Tгaпsmission аге the reqt1iгeme11t fог ап almost ideal t1·aпspoгt
соппесtiоп а пd the reqt1iгeme11t for st1·inge11t sy11cl1гo11isatioп. Col1ere11t Joiпt Traпsmissioп also гeqt1ires ассшаtе Cl1a1111el State
l11for111atio11 (CSI) to епsше that the dowлliпk tra п s mis s ioп s sнm coпstп1ctively at the UE. Cohereпt Joiпt Transmissioп is tra п spare пt
to tl1e UE а пd tl1e ЗGРР spec ifi ca ti o п s Ьнt is ge п era ll y vie,ved as b ei п g less practical dt1e 10' the s triпge пt traпsport апd syп chгo пi sat ioп
1·eqt1ire111e11ts

* Nоп-Соhегепt Joiпt Tгansmissioп сап Ье based t1роп а solt1tio11 which iпvolves each TRP tгaп s mittiпg diffeгeпt layers beloпgiп g to the
same PDSCH геsошсе a llocatioп. А si п g l e PDCCH сап Ь е t1sed to allocate а siпgle set of PDSCH res oшces. lt is assн med that tl1e UE
is allocated тоге thaп а s iп g le laye1· а пd that the layers are divided across tl1e TRP. Fог example, а first TRP сап tгan s mit laye1· 1 while
а secoпd TRP сап traп s mit layer 2. lt is поt п ecessary for the UE to cohe1·eпtly combiпe the 2 layers because separate layers аге
iпte пd ed to l1ave tшcoпe lated pгopa gat ioп patl1s а пd ai·e decoded sepa1·ately. This type of solt1tio11 сап iпcrease tl1e traпsmission га пk
ava il a Ы e to the UE. Fог example, а UE may have liпe-of- s i gl1t to the fiгs t TRP and tht1s Ь е restricted to rank 1 t1·a11smissio11. Use ofthe
s eco пd TRP pюvides а п a dditioп a l а пd tшcoпe l a te d prop aga tioп path which са п Ь е t1sed to increase the allocated гank апd thн s,
iнciease the co ппection thюt1ghpнt. The гel ease 15 version of the ЗGРР specifications uses DCI Fo п11at 1_1 to allocate PDSCH
reso шces witl1 mнltipl e layers. А single Modнlatioп and Cod iп g Scheme (MCS) valнe is assigned for all layers wl1e11 a llocatiп g t1p to 4
l aye гs . This s iп g l e MCS may поt Ье optimal for both TRP because tl1e path loss апd propagatioп cl1a1111els from each TRP аге likely to
Ье d iffei-e п t

* No п -Co h e гen t Joint Tгa п s mission са п Ье based t1р о п а solt1tio11 wl1icl1 iп vo l ves each TRP t1·ansmitting its оwл PDCCH. This allows
each TRP to geп e rate its оwп resoшce a llo cati oпs and to operate гe l at i ve l y ind e p endeпt ly. Tl1e t1se of sepaгate PDCCH trans111issions
allo\vs sepai·ate MCS to Ье allocated Ьу eacl1 TRP. Simila1· to the p1·eviot1s so lнti oп , tl1e н s е ofпшlt ip l e TRP allows the total
tr·a п s m i s s ion rank апd tl1e c orгespoпd iп g сопп ес t i оп tl1rot1ghpt1t to Ь е i11c1·eased. lt т ау Ь е п ecess ary to l1ave some level of co-
01·di11atio11 to avoid tl1e sepa1·ate ге s ошсе a ll o ca tioп s excee diп g tl1e UE capabi lity. Fo1· examp le, ifa UE s нpports а max imum
t1·ansmissio11 га пk of 4 tl1 e п the set of TRP s lюt1 l d е п s ше tl1at tl1e total 1ш111Ь ег of allocated laye rs sнmm e d ac1-oss all TRP does п о t
exceed 4

247
sG NR in BULLETS

5 FLOW OF DOWNLINK DATA

* Figшe 212 illнstrates the нser plane p.-otocol stack for а standalone Base Station. The figшe assнmes that the base station l!ses tlie
Centralised Unit (CU) - Distribнted Unit (DU) higher layer split architectшe, i.e. the DU hosts the RLC , МАС and Physical layei-s
while the CU hosts the SDAP and PDCP layers '

'1.
NG-U interface

GTP-U Tu nnel
Application
Applica t ion UE рег PDU Session App lication
Server
Fl interface
GTP-U / UDP / /Р
ТСР ТСР
GTP-U Tunne l рег
IP Data Radio Веа гег 1 IP

~
GTP-U / UDP / IP

~
SDAP User Plane

PDCP ! р
----+ Function -i
IP
RLC

М АС МАС
RLC
i gNode В
Centralised Un it
Network

Air
gNode В (CU)
lnterface
Physical ~
- Physical Distributed Unit
(DU)

Figш·e 212 - Use1· Р l апе p1·otocol stack fo1· Sta11dalo11e Base Statioп

* Consideг the example of an end-нser bгowsing the intemet and downloading а web page. Internet b.-owsers нsе the Нур е гТех t T1·an sfcr
Protocol (НТТР) at the Application layer. A s sнme that the end-L1seг has jнst sent an НТТР GET command to the sегvег ho s tiп g tl1 e 11,cli
page to Ье downloaded. The applicatioп sегvег ,vill proceed to start down loading the web page towai·ds the e пd-н s er н s in g
Transmi s sioп Coпt.-ol Protocol (ТСР) / Inteгnet Protocol (IP) packets

* Fi gшe 21 З illн s tra tes the header added Ьу the ТС Р laye1·. The sta ndaгd l1 ea d e г si ze is 20 bytes altl10L1gl1 it сап Ье la1·ge1· wh e11 optioп a l
l1ead eг fi e lds а ге iпclнd ed . Tl1e ТСР header specifi es botl1 the Sошсе апd Destination Poгt s to identify the hi gl1e1· laye1· a ppli ca ti oп . В у
d e faнlt, НТТР н ses port пнmЬ е г 80. Tl1e h ead e г a lso iп c lнd es а Sе qн е пс е NнmЬ ег to allo w 1·e- oгd e гi11 g апd packet loss detectio11 at tl1c
гесе i vе г . Tl1e Ackпowl ed ge m e пt Nш11Ь е 1· pгo v id es а mecl1 a11ism to a ckп ow l e d ge packets, wl1il e tl1e Data Offset d e fiп es tl1e size 0 Гtl1 c
l1 eade1·. Tl1e Wiпdow Size specifies tl1e пнmЬ е г ofbytes whi cl1 th e s е пd е г is w illiп g to гece i ve. Tl1e C l1 ec k s ш11 allows Ьi t е 1то 1· cletectio11
ac.-oss botl1 tl1 e l1 ead eг а пd payload. Tl1e Uгgeпt Роiпtе г са п Ь е tt sed to iпdi ca te tl1 at some data п eed s to Ь е l1a11dl ed with а l1i gl1 prio,·ity
-
Source Port Destination Port

Sequence Number

20 Bytes
Acknowledgement Number
Header Size
Data Offset 1 Reserved I N I СIЕ I U I АIР I R 1 5 1 F Window Size

Checksum Urgent Pointer

Figш· e 213- ТСР Header (20 bytes)

* Figшe 214 illнstrates the headeг added Ьу the IP lауег (assнmiпg IPv4). Tl1e staпdaгd header si ze is 20 bytes althoнgh it са п Ь е l a гge r
wheп optioпal header fields are inclнded . The IP header specifies both the Sошсе апd Destinatioп IP Add1·esses. RoL1te гs L1se tl1e
Desti11atio11 IP addгess to foгward packets iп ап appгopriate diгectioп . Tl1e Versioп header field has а va lнe of 4 wl1en Ltsing 1Pv4. Tlic
Неаdег (НDR) Length field specifies tl1e si ze ofthe headeг, whil e the Total Length fi e ld specifies tl1e size ofthe packet. The
Diffeгentiated Seгvices Code Poiпt (DSCP) сап Ье нsed to pгioгitise th e packet, whe1·eas th e Explicit Congestioп Notifi catioп (ECN)
сап Ье ttsed to iпdicate пetwork coпgestioп. The Pгotocol field specifies the type of сопtепt withiп the payload of tl1e packet. ТС Р is
identified н s ing а p.-otocol 11нmbeг of 6

Version HDR Length 1 DSCP ECN Total Length

1 1

20 Bytes
Time to Live
ldentification

Protocol
Flags
1
Fragment Offset

Header Checksum
-
Hea der Si ze 1

Source IP Address

Destination IP Address
J
Fi g ш· e 214 - IP Header- (20 bytes)
 Qnce the IP header has been added, the packet is routed across the IP net\vork towards the User Plane Function (UPF) ,vl1ich provides
* the point of entry into the 50 Core Network. The fP netwoгk relies t1pon its lower layers to transpoгt packets between rot1te1·s. For
example, Ethemet cot1ld Ье used as а layer 2 protocol to tгaпsfer IP packets between rot1ters
The UPF is геsропsiЫе for mapping the TCP/IP packet опtо а specific QoS Flow belonging to а specific PDU Session. The UPF uses
* packet inspectioп to extract vaгiot1s header fields. These header fields аге compaгed agaiпst the set of Service Data Flow (SDF)
Templates to identify the appгopriate PDU Sessioп апd QoS Flow. For example, packets сап Ье mapped onto а specific PDU Session
and QoS Flow t1sing а t1niqt1e combination of {source IP address 'Х'; destinatioп IP addгess 'У'; sошсе ршt number 'J'; destination
port пнmЬеr 'К'}. The UPF гeceives the set of SDF Templates fгom the Sessioп Management Ft1nction (SMF) dнring the setнp of the
PDU Sess ioп
After identifying the appropгiate PDU Session and QoS Flow, the UPF нses а GTP-U tunnel to forwai·d the data to,vards the gNode В
* (tl1e 5G Core Network architecture may chain multiple UPFs so the first UPF may have to t1se а GTP-U tunnel to forward the data
towaгds another UPF before it is forwarded towaгds the gNode В). А GTP-U tнnnel is setup for each PDU Session . This means that the
Tt1nnel Endpoint fdentifieг (ТЕШ) within the GTP-U headeг identifies the PDU Session Ьнt does not identify the QoS Flow. А 'PDU
Session Coпtaiпer' is added to the GTP-U headeг to provide infoгmation which identifies the QoS Flow. Figшe 215 illt1strates the
stn1ctшe of а GTP-U header which inclнdes the 'PDU Session Coпtainer'. Tl1e strнctllre of the GTP-U headeг is specified within ЗGРР
TS 29 .28 1, whe1·eas the content of the 'PDU Session Containeг' is specified within ЗGРР TS 38.415

Version IРТ IО I Е I S I PN 1 Message Туре

1
Length

Tunnel Endpoint ldentifier (ТEID)

20 Bytes
Sequence Number N-PDU Number Next Extension Header Туре
Header Size 1 1

Extension Header Length PDU Session Container

1

PDU Session Container Next Extension Header Туре

1

Fig11re 215 - GTP-U Heade1· ,vitl1 PDU Sessioп Co11tai11e1·

* The content oftl1e 'PDU Session Containeг' is preseпted in Figшe 216. The 'PDU Туре' v a lнe of 'О' indicates tl1at tl1 e PDU is а
do,vпliпk packet 1·atheг tl1a11 an нplink packet. The Paging Policy Ргеsепсе (РРР) field iпdicates wl1ethe1· ог поt а Pagiпg Policy
lпdicatoг (PPf) is included withiп the h ea d e г. The UPF сап pюvide а PPf to the gNode В to inflнeпc e the pгioгity ofthe pagiпg
рю сеdше wl1ich n1ay Ье tгiggeгed Ьу tl1e a 1тival oftl1e dowпliпk packet, i.e. when the UE is RRC Iпactive. Tl1e Reflective QoS
lпdi ca toг (RQf) specifies whetl1e1· ог поt Reflective QoS sl10t1ld Ье app lied fог this QoS Flow

PDU Туре= О ---г Spare

ррр I RQI 1 QoS Flow ldentifi er

PPI 1 Spare

Figш·e 216 - PDU Sessioп Сопtаiпе.- iпclщled ,vithiп GTP-U l1eader

* А GTP-U tнnnel н ses а UDP/IP p1·otocol stack so UDP апd IP headeгs а1·е ·a dded Ьеfоге fo1waгding tl1e packet ac1·oss the tгan s poгt
11et\vo1-k. UDP pюvides simple conпectionless data t1·an sfeг. Figшe 2"l 7 illнstrates the strt1ctшe of а UDP l1eader. Tl1e Sошсе and
Destiпation Poгts identify the higheг laye1· application. fп this case, the l1i g heг laye1· applicatioп is GTP-U wl1ich has а 1·egiste1·ed рогt
1шmЬ ег of 2152

Source Рогt Destination Port

8 Bytes
Header Size
Length Checksum

Figш·e 217 - UDP Heade1· (8 bytes)

* Tl1e additioп of an IP l1eadeг fo1· гoнting acюss tl1 e GTP-U tнnnel means that the data packet ПО\\' has two IP l1eadeгs. These аге
commoпly геfепеd to as iппег апd онtег IP l1ead e г s. Botl1 h eade гs аге illнstгa ted iп Figшe 2 18 . Т11е UPF сап p1·io1·itise packets t1 sing
the DSCP field witl1in tl1e ot1te1· IP head eг. The l1eadeгs associated ,vith tl1e GTP-U tнnnel аге гemoved at tl1e fаг end of tl1e tнnпel , i. e.
at tl1 e gNode В, ог at anotl1eг UPF if th e Соге Net\voгk ai·chitectнгe н ses cha ined UPFs

Header lnform ation for GTP-U Tunnel

l I IGТP_-u_,_ l_1P_j__т_c_P_L
lP UDP ________ л_pp-li-ca_t_io_n_o_at_a
_ _ _ _ _ _ _ ___,

J J
Outer IP header lnn er IP header

Figш·e 218- Heade1·s fo1· data t1·ansfer ac1·oss GTP-U t11nnel

249
* The gNode В Centralised Unit (CU) uses t'1e GTP-U '1eader information to identify the PDU Session and QoS Flow associated \Vith th
data packet. The packet is then processed Ьу the Service Data Adaptation Protocol (SDAP) layer which is гesponsiЫe for mapping tl с
packet onto а specific Data Radio Bearer (DRВ). This mapping is illustrated in Figure 219. The SDAP laye1· can Ье configured 10 ie
tгansfeг data wit'1out the addition ofan SDAP header. Alternatively, the SDAP layer can add а '1eader to allow the нsе ofReflective
QoS . In this case, the SDAP header specifies the QoS Flow associated with the packet. The UE сап use tms information to dedнce th
mapping between QoS Flow and DRВ for its нplink transmissions. The SDAP layer is specified in 3GPP TS 37.324 and is describect ~
gгeater detail in section 5.1. The SDAP layer passes the packet to the PDCP layer using its allocated DRВ 111

* The PDCP layer provides security in terms integrity protection and ciphering. Integrity protection is provided Ьу calculating an
authenticatib n code which is appended to the packet as header info1mation (МАС-1 field). Tl1is authentication code is нsed Ьу the
receiver to verify that the packet is genuine, and has not been inserted Ьу an intruder. Cipheгing is applied to the payload of each PDcp
packet after the aнthentication code has been calculated. Ciphering sc1·amЫes the sequence ofbits to make the packet unreadaЫe нnles
the receiver knows the ciphering key to reverse the scramЫing. The PDCP layer also adds header information which inclнdes the s
PDCP sequence nнmber . Tms sequence number is нsed fог re-ordering at the receiver. In some cases, t'1e PDCP layer can pгovide
header compгession . This depends upon the end-user application and is typically applied to speech packets rather than data packets

□
Ц.

□
N w•
м ~ со: N а 0" GTP-U
ёu .~ ~ ёii ·v; V'I
с: aJ З: с: ю :: Tunnels

□ □
с: V, о с: V, о
..= ::i ti: ~ :::> ti: onNG-U
с, V, с, V,

о.. 8 о.. 8 interface

gNode В

~~~ ~~
SDAP Centralised
Mapped Layer Unit {CU)
onto DRB

.... N .... N
"'
"'
с,:
с,
"'
с,:
с,
"'
с,:
с,
"'
с,:
с,
"'
с,:
с,

PDCP

11~ 11:
Authentication
Code Layer

Ciphered
Sequence
Number

.... N
"'"' .... N

"'
с,:
с,
"'
с,:
с,
с,:
с,
"'
с,:
с,
"'
с,:

с, GTP-U
.... N <t .,, Tunnels
ai ai "'
ai ai ai оп Fl
с: с: с: с: с:
с: с: с: с: с:
:,
f--
:,
f--
:, :, :, interface
f-- f-- f--

Figш·e 219 - SDAP a11d PDCP p1·ocessi11g ,vitl1i11 tl1e gNode В Ce11t1·alised U11it (CU)

* The gNode В Centr·alised Unit foгwa1·ds th e PDCP PDU to th e appropгi ate gNode В Dist1·ibt1ted Unit. Tms iпvolves tгa 11 s fe1тiп g tl1 c
packets acгoss the F I interface нsing GTP-U tшшels. At this stage, packets а ге mapped onto tl1eiг Data Radio В еагег (DRВ) so GTP-U
tнnn e ls а ге setнp ' рег DRВ ' 1·atl1e1· tl1a11 ' рег PDU Session ' The GTP-U '1еаdег is modified to accomлюdate tl1e 'NR RAN Co111ai11 c1.. ,
ratl1 eг tl1an tl1 e 'PDU Session Contaiпeг ' t1sed f01· tl1e NG-U iпte гface. Т'1е GTP-U l1 e ade г trsed f01· t'1e F I iпte гface is illt1st1·ated i11
Figure 220 . The 'NR RAN Conta in eг' acco111modates th e l1 eade г iпfoпnation geneгated Ьу tl1 e New Radio Useг Plane Pгotocol
specified iп 3GPP TS 38.425

Version I РТ I О I Е 1 5 1 PN 1 Message Туре

1
Length

Tunnel Endpoint ldentifier (TEID)

20 Bytes
Sequence Number N-POU Number Next Extension Header Туре
Header Si ze 1 1

Extension Header Length NR RAN Container

1

NR RAN Container Next Extension Header Туре

1

Figure 220 - GTP-U Header· ,vitl1 NR RAN Container·

250
* packets received Ьу the gNode В Distribllted Uпit are processed Ьу the RLC layer after reпюviпg the GTP-U/UDP/IP headeг
information, i.e. after гemoviпg the headeгs beloп g iпg to the GTP-U ttmnel. The RLC layer сал Ье coпfigured to орегаtе L1sing eitheг
Transpaгeпt Mode (ТМ) , Unacknowledged Mode (UМ) ог Ackno,vledged Mode (АМ). Tгaпsparent Mode is 011\у applicaЫe to control
chanпels so it caпnot Ье L1sed for downlo ading а ,veb page. Unacknowledged Mode is typically L1sed for time sensitive applications, e.g.
voice and video. Ackno,vledged Mode is typically L1sed fог 11011-time seпsitive applications, e.g. ,veb browsing, file transfer, instant
rnessenger applications. Acknowledged mode is assL1med for this example web page download

The RLC layer is responsiЫe for segmentation and potentially гe-segmentation. RLC SDU belonging to data applications may Ье too
* large to transfer across the air-interface нsing а siпgle resoшce allocation. The RLC layer segments packets when necessary to allow
them to Ье accommodated Ьу the allocated air-interface гesources. The packet schedttler within the gNode В DistribL1ted Unit informs
tlie RLC layer of the appropriate packet size, i.e. the allocated transport Ыосk size which mllst also accommodate the RLC and МАС
headers. Re-segmentation is applicaЫe to Ackno,vledged Mode RLC when the resoшce allocation fог а re-tгansmissioп is гedllced
i·elative to the original tгansmission , i.e. the packet has to Ье segmented again to Ье accommodated Ьу the ne,v геsошсе allocation . The
receiviпg RLC entity is responsiЫe fог re- assemЫing the higher lауег packets

* Tlie RLC lауег provides а геliаЫе data transfer seгvice when нsing Acknowledged Mode. This is achieved Ьу sнppoгting Alltomatic
Repeat reQL1est (ARQ) 1·e-transmissions. RLC re-t1·ansmissio11s are гelatively slow compared to МАС re-transmissions. They are only
tгigge red ifMAC гe-tгa пsmissions are ttnaЫe to sL1ccessfi.1lly deliver а packet. ARQ гefers to а re-tгansmissioп protocol in which the
rece iveг checks fог еrгогs ,vitl1i11 tl1e гeceived data апd if ап епог is detected than the receive1· discards the data апd гeqнests а re-
transmission ft·om the se ndeг

* The si ze of tl1e RLC l1 ea deг is dependent 11ро11 the configшed SeqL1e11ce Nнmber (SN) size. 12 bit ог 18 Ьit SeqL1ence Nttmbeг sizes сап
Ье configured . The l а гgег size ge пerates а largeг oveгhead bllt may Ье req11i1·ed to sнррогt l1ighe1· thгoL1ghpL1t seгvices , i.e. to avoid the
SeqL1ence NL1mbe1· гange becoming exhaнsted. The SeqL1ence NнmЬег is нsed for packet loss detection at the гесеivег and also fог
packet гe - assemЬly if segmentation has been applied. The RLC header сап also inclL1de а Segme11tatio11 Offset (SO) field to sllppoгt
segmentatioп апd 1·e-assemЫy

* Tl1e RLC PDU beloпgiпg to the allocated DRВ is mapped опtо а logical сhаппеl апd is then tгaпsfeпed to the МАС lауег. Iп tl1e case
ofappli c atioп data, tl1 e Dedicated T1·affic Сhаппеl (DTCH) is selected as tl1e logical сhаппеl . Tl1e RLC PDU theп becomes the МАС
SDU

п п П "·
....
-., .... N
GTP-U Tunne/s а,
-
.,
N
а, ., а,
с а:: с а::
о п Fl interfoce § f5 §о §о
>- >- >-

gNode В
АМ RLC 1
Di stributed

u
111 11 Segmentation
1:1 11 11 Layer Unit (DU)

'-=о
~
il 11
1
=о
Sequence
Number Addition
[l fi:,:o,m"'""'
NACK

..J Logical Channels

.J
МАС

9 Multiplexing
Layer

1 r

..J
..
Transport Channel

~
с

:~
о:;
с
..
с ., ·-
~
. .
с
.с
с

:,;
с
о
-;;
"'
.,
~
:, ~.s
u
..
а.
..
Physical
Layer
о .о а.
u 'О
'О
~] "' u
а:: :о
Е '3
'О
~ ~
<( uU :;ё ь
<Л
о
:;ё
"' Physical То RF
Channel ·compon ents

251
5G NR in BULLETS

The МАС layer is responsiЫe for prioritising the set of logical channels. Fог example, if the gNode В Distribнted Unit has downli k
* data to transmit for both the Dedicated Control Channel (DCCH) and the DTCH, then it will prioritise the DCCH. The qнantity of n
resources allocated Ьу the Packet Schedнlet· may Ье greater than the resources reqнired Ьу the DCCH logical channel . The МАС la
сап then mнltiplex МАС SDU belongiпg to different logical channels, e.g. МАС SDU belonging to both the DCCH and DTCH Cat;~r
mнltiplexed within а single МАС PDU . Ifthe end-нser application gene!'ates гelatively small МАС SDU then the МАС layer сап с
mнltiplex МАС SDU belongiпg to а single logical chanпel

The МАС layer provides а reliaЫe data transfer service Ьу sнpporting Hybrid Aнtomatic Repeat reQнest (HARQ) re-transmissioпs.
* HARQ re-transmissions at the МАС layer are relatively fast compared to ARQ re-transmissions at the RLC layec HARQ гe­
transmissioпs сап Ье нsed for both real time and non-real time applications. HARQ refers to а !'e-transmission protocol in which the
receiver checks for errors in the received data and if an епоr is detected then the receiver bнffers the data and reqнests а re-
transmission from the sender. А HARQ receiveг is then аЫе to combine the bнffered data with the гe-transmitted data prioг to chaniiel
decoding and error detection. This improves the performance ofthe re-transmissions
The МАС layer сап inclнde one or more Control Elements (СЕ) within the МАС PDU. Control Elements сап Ье нsed as а solнtiori for
* rapid signalling, i.e. sending control inforrnation from the МАС layer is faster than sending control information from the RRC layer.
Examples of downliпk СЕ inclнde: Timing Advance Command СЕ, DRX Command СЕ and Secondaty Cell Activation СЕ
The МАС lауег inclнdes а sнbheadeг fог each МАС SDU which is mнltiplexed ,vithin the МАС PDU. The sнbheadeг ideпtifies tlie
* logical сl1аппеl (Logical Channel Identity (LCID) field) and qнantifies the nнmber ofbytes withiп the МАС SDU (Length (L) field)
The МАС PDU is mapped onto а transport channel which is then transfeпed to the Physical lауег . In the case of downlink a pplicatioп
* data, the Downlink Shared Сhаппеl (DL-SCH) is selected as the transport channel. The МАС PDU then becomes а tгansport Ыосk
which will Ье pt'Ocessed Ьу the Physical layet· Ьеfоге tгansmission acгoss the air-iпterface

Refeгences :
* 3GPP TS 38.300, TS ~9.281, TS 38.415, TS 38.425, TS 37.324, TS 38.323 , TS 38.322, TS 38.321
 5G NR in BULLETS

SDAP LAYER
* The 'Service Data Adaptation Protocol' (SDAP) lауег is reqttired when а Base Station is connected to the 5G core netwoгk. It is only
applicaЫe to the ttser plane, and is the highest lауег within the Radio Access Network protocol stack. The SDAP lауег receives
downlink data fгom the User Plane Ftmction (UPF) across the NG-U interface
* Downlink user plane data is linked to а specific QoS Flow belonging to а specific PDU Session. The QoS Flow is identified using an
identity within the 'PDU Session Container' which is inclttded within the GTP-U header. The PDU Session is identified using the
GTP-U Tunnel Endpoint Identifier (TEID)
* тt1 е
primary task ofthe SDAP layer is to map each QoS Flow onto а specific Data Radio Веагеr (DRВ) . This mapping is illustгated in
Figнre 221 . Mttltiple QoS Flows сап Ье mapped onto а single DRВ, or а single QoS Flow сап Ье mapped onto а single DRВ. QoS
Flows beloпging to diffeгent PDU Sessions are mapped onto different DRВ

PDU
Session

SDAP Lауег

Figш·e 221 - SDAP laye1· 111appi11g QoS Flo,vs onto DRВ

* Tl1e SDAP layer adds hea deг information to the downlink data packets when гetlective QoS is enaЫed at eitl1eг tl1e Access St1·atшn ог
Non-Access St1·atum layers. Retlective QoS at the Access Stгatum refe1·s to the mapping betweeп QoS Flo,vs апd DRВ , wl1e1·eas
Reflective QoS at the Noп - Access St1·atttm layers 1·efers to tl1e mapping between QoS Flows а пd tl1e hi gl1 eг lауег IP t1·affic 01· Ethernet
tгaffic. Reflect ive QoS allows tl1e UE to dedнce the ttplink mapping п1le s fгom tl1 e downliпk mappings, i.e. the ttpliпk гнlеs а1·е copied
fгom th e downliпk. Downliпk data packets can Ь е sent witl10t1t а l1 ea d eг ,vl1e11 refl ective QoS is поt 11sed. Figшe 222 illн s t1·ates
do,vп liп k data PDU witl1 and ,v ithoнt headeг iпfoгmatioп

RDI I RQI 1 QoS Flow ldentity (QFI)

DATA DATA

Downlink Data SDAP PDU with header Downlink Data SDAP PDU without header

Figш·e 222 - Format of SDAP SDU (,vitlюut and ,vitl1 lteader infoiшation)

* Tl1e headeг iпfoгmatioп has а size of I byte. The 'Retlective QoS Flo,v to DRВ Mapping Iпdicatioп' (RDI) instгнcts the UE to apply
Reflective QoS at the Access Stratttm, whereas the 'Retlective QoS Indication' (RQI) instгucts the UE to apply Retlective QoS at the
Non-Access Stratum lауег. Iп both cases, the QoS Flow Identity (QFI) is reqнiгed to dedнce the mapping
* The SDAP lауег is configшed individнally for each DRВ within the DRB-ToAddMoc/ рагаmеtег stгuctшe . The SDAP-Config
beloпging to tl1is parameteг structuгe is pгesented in ТаЫе 134. The DRВ is linked to а specific PDU Sessioп and the UE is inf01med
1vl1etl1er ог поt SDAP headers are to Ье inclttded iп the ttplink and do,vnlink diгections. There is also а flag to iпdicate whetheг 01· поt
the DRВ is to Ье нsed as а 'Defaнlt DRВ' fог the PDU Sessioп. Only а single DRВ сап Ье coпfigшed as the ' Defaнlt DRВ ' for each
PDU Sessioп. А PDU is mapped onto the ' Defaнlt DRВ ' iftl1ere is по п.1lе to map tl1e packet onto а specific DRВ. Ап t1plink SDAP
l1eader is al1vays inclнded 1vhen mapping а PDU опtо the 'Defaнlt DRВ '

SD'1P-Co11/ig
pdu-Sessio11 О to 255
sdap-HeaderDL prese11t, abse11t
sdap-HeaderU L prese11t, abse11t
defaнltDRB BOOLEAN
111appedQ0S-Flo1vsT0Add { 1 to 64 i11sta11ces} ofQFI 1 QF! 1 О to 63
mappedQoS-Flo,vsToRelease { 1 to 64 i11sla11_ces} ofQFI 1 QFI 1 О to 63
ТаЫе 134 - Co11te11t of SDAP-Co11jig for а specific DRB

* 3GPP References : TS 37.324, TS 23.50 1, TS 38 .300

253
5G NR in BULLETS

5.2 PDCP LAYER

The 'Packet Data Convergence Protocol ' (PDCP) layer receives user plane packets belonging to Data Radio Bearers (DRВ) fi
* SDAP \ayer, and contгol plane packets belonging to specific Signalling Radio Bearers (SRВ) from the RRC layer. Examples r~~ th c
SRВ and DRВ are illustrated in Figure 223. The PDCP layer serves DRВ which are mapped onto the Dedicated Traffic Cha/ : icsc
(DТСН) and SRВ which are mapped onto the Dedicated Control Channel (DCCH), i.e. SRВ I and SRВ 2. The PDCP layer d~c . .
s~rve SRВ which are mapped onto the Common Control Channel (СССН), i.e. SRВ О. Messages be\onging to SRВ О m·e passe~ '10 t
d1rectly to the RLC layer

The PDCP. \ayer supports а maximum SDU size of9000 bytes. This al\ows the transfer ofEthemet Jumbo frames which have а
* maximum size of 9000 bytes and are typically used on networks supporting at \east I Gbps (standai·d Ethernet frames have а ma .
· о f 1522 Ь ytes )
s1ze X IIПuii1

* Each Radio Bearer is al\ocated а single PDCP Entity which is responsiЬ\e for processing both the uplink and downlink data. PDCP
entities are linked to RLC entities. А single PDCP entity is linked to а single RLC entity when using Acknowledged Mode (АМ) RLC
А single PDCP entity is linked to а pair ofRLC entities when using Unacknowledged Mode (UМ) RLC ,.

RRC Layer SDAP Layer

SRB О SRB О SRB 1 SRB 2 DRB х DRB у

(Тх) (R x)

PDCP PDCP PDCP PDCP

Entity Entity Entity Layer

RLC
Transmilting Receiving Transmitting Layer
АМ RLC
ТМ RLC ТМ RLC UM RLC
Entity Entity
Entity Entity

ссен ссен DCCH DCCH DTCH DTCH DTCH

F i g ш·e 22 3 - PDCP laye1· se1· vi11g DRB, SRВ I а пd SRB 2

* Т\1 е m a iп tas ks ass ociated with the PDCP laye1· are illllstrated iп Fi gщe 224. Hi g\1 e г \aye r packets are bllffered \Vitl1i11 а t 1·ш1 s 1ni ss i o 1 1
bL1ffer t111til eitl1er а stall.1s re poгt is 1·eceived iпdi ca tiп g sL1 ccess fL1I гесерtiоп , 01· tl1 e cliscшdTi111 e1 · expiгes. Tl1e cliscan/Тi111 e1· (pгcsc11 t c t l
iп Та Ь\е 135) rep1·ese11ts t\1e maximum time peпnitte d Ьу t\1 e Radio Access Net\voгk to st1ccessfllll y deliver а packet

Robust Header Com12ression (ROHC)

Timer based discard from
Transmi ssion Buffer transmission buffer Profile ld Usage Reference
Sequence Number Allocation ОхОООО No compression RFC 5795
0x000l RTP/UDP/IP RFC 3095, RFC 4815
Ох0002 UDP/IP RFC 3095, RFC 4815
Ох0003 ESP/IP RFC 3095, RFC 4815
Ох0004 IP RFC 3843, RFC 4815
Header Compression "
Ох0006 TCP/IP RFC 6846
Calculation of МАС-1 Ьits Ох0101 RTP/UDP/IP RFC 5225
32 Ьits added to end of Ох0102 UDP/IP RFC 5225
• PDCP PDU Ох0103 ESP/IP RFC 5225
lntegrity Protection RFC 5225
Ох0104 IP

PDCP data Ьits and

Ciphering
МАС-1 Ьits аге ciphered
16 Ьit header includes 12 Ьit Sequence Number
О to 4095 (window size = 2048)

PDCP Header Addition 24 Ьit header includes 12 Ьit Sequence Number

О to 262 143 (window size = 131 072)

PDCP PDU сап Ье routed or duplicated and routed towards

Routing and Duplication
Secondary Node (SN) when Dual Connectivity is used

Data volum e measurements for Buffer Statu s Reporting

RLC Bearer Data Recovery mechanism is also supported Ьу PD CP layer

F i g ш·e 224 - P1·ocessi11g appli e(I Ьу PDCP l аун

254
 5G NR in BULLETS

f{eader Compression сап ~е enaЫed for DRВ in both tl1e uplink an? do\vnlink dire_c tions, or_o nl y_ in the uplin k directio~. This choice of
* . nfigurations 1s v1s1Ыe \Vtthtn ТаЫе 135 . IfHeadeг Compressюn 1s enaЬl ed onl y tn the upltnk d1rectюn , the compгessюn a l goпthm 1s
costricted to the TCP/fP protocol stack. Other\vise, the Header Co mpres sion algoгithm сап target а relatively broad гange ofprotocol
r;acks including TCP/fP , UDP/fP and RTP/UDP/fP . Header Compression is completed usin g the Robнst Header Compгess ion (RoHC)
5 rotoco l. Heade1· Compression is important Ьесанsе th e overheads geпerated Ьу the higher layers сап become large an d \Vithoнt
pompression they would consшne vаlнаЫе aiг-interface геsошсеs. Header Compression is less impoгtant across th e fixed network
~есанsе band\vidths are significaпtly greater
* Tlte 1-eceiver н ses Integrity Protection to ensшe that packets are authenti c and have not been inseгted Ьу а rogнe sо шсе. In general,
packets belonging to SRВ 1 and SRВ 2 always have Integrity Protectio11 applied (an exception is permitted for emergency calls in
Li mited Service Mode). Integrity Protection сап Ь е enaЫed or disaЫed fог а DRВ usi ng the flag shown in ТаЫе 135. The PDCP lауе г
adds а set of32 MAC-I bits to tl1 e end ofthe packet when нsing Integrity Protectioп
* Cipliering is used to scramЫe the bits b e longiп g to the payload ofthe PDCP packet and the MAC-I bits added Ьу Integrity Protection.
f{o\vever, cip h eг ing is not applied to the SDAP h ea deг (when inclнd e d), nor is it app lied to SDAP Co ntгol PDU nor PDCP Control
pQU. Ci phe1·ing is нs e d to improve security Ь у helping to ensure th at only the intended recipient is аЫе to interpret the data. The
cip/,aingDisaЬ/ed flag allows ciphering to Ье di saЫed fш а specific DRВ

* Tlie PDCP l ауе г is гesponsiЫe fo1· гонtiпg packets towaгds the appгop ri ate RLC entities. In tl1e case ofDнal Con nectivity, these RLC
entities may b e loп g to а diffe reпt Base Station. Fог example, w hen usi ng the EN-DC Non-Standalone Base Sta tioп a rchitectшe, the
PDCP l ауег wi tl1i11 the 50 Base Station may юнtе packets ac гo ss the Х2 interface towa1·ds RLC eп titi es \Vithin the 40 Base Station
* Tlie PDCP layer сап also Ье coпfigшed to geneгat e duplicate packets. These dнplicate packets сап Ь е гонtеd to diffeгent RLC en tities
for separate pa1·allel tra п sm i ssio n , e.g. acгoss both the 40 and 5G air-in ter·faces wl1e11 using the EN-DC No11-Standalone Base S ta tiш1
ar-chitectнгe. Packet dttplic a ti oп generates an oveгhead Ьнt iпcreases reliaЬility. The гece i ver discar·ds duplicate packets ifbotl1
1ra11smissio11s are received successfull y
* ТаЫ е 135 pгe sents the PDCP-Config par·ameter set whicl1 is pr·ovided to the UE wheп coпfigшi n g ei th er а п SRВ 01· DRВ, i.e. it is
pю,, ided \V ithiп either tl1e SRВ-To-AddMod or DRB-ToA clc/Mod parameter s t11.1 ctшes
* If tl1e UE is co пfi gшed \Vith more than а sing!e нplink RLC enti ty, the UE са п Ье provided with an 11/-Da taSplitТ/11 ·es/10/d. А default
valнe of ' iпfini ty' is assнmed if tl1e 11/-DataSplitTl11·es/10/d is exc lt1ded . The va lue of ' infini ty ' means tliat on ly the pгimary RLC entity
is н s ed for t1·a11smissio11 and so нpliпk tra11smissio11 is п оt split. T he pгim ary RLC entity is id eпtified Ьу the p1·ima1 y Pat/1 iпfoгmation
e l e meпt. Ot h eгwi se , the UE is permitted to split the stream ofup liп k packets between the pгimary and seco ndary RLC entiti es when tl1 e
total PDCP and RLC data volнme pendi11g iпiti a l t1·a11smissio11 exceeds th e va lue of 11/-DataSp/it T/11 ·es/10/d

PDCP-Co11/ig
drb discardTi111er 10, 20, 30, 40,5 0, 60, 75, 100, 150,200, 250, 300, 500, 750, 1500 111S, i11fi11ity
pdcp-SN-SizeUL 12, 18 Ьit s
pdcp-SN-SizeDL 12; 18 Ьits
l1eaderC0111pression CHO ICE
11otUsed rol1c t1plinkOnlyROHC
111axC!D 1 to 16383 111axC!D 1 to 16383
profiles 1, 2,3, 4, 6, 101 , profiles 6
102, 103, 104
drb-Co11ti1111eROHC tтt1 e drb-Conti1щeROHC true
iпtegrityProtection enaЫed

stat1.1 sReportReqt1ired true

ot1tOIOrderDelivery trнe

пюreTl1 a11OneRLC pri111aryPatl1 cel1Grot1p 1 О to 3

logicalCl1annel 1 1 to 32

t1I-DataSplitTl1resl10ld О, 100, 200, 400, 800, 1600, 3200, 6400, 12800, 25600, 5 1200, 102400, 204800, 409600, Ь819200 ,
Ь 1228800, 1638400, 2457600, 3276800, 4096000, 49 15200, 5734400, 6553600 bytes, iп finity

pdcp-Dt1plication BOOLEAN
1-Reordering о , 1, 2, 4, 5, 8, 10, 15, 20, 30, 40, 50, 60, 80, 100, 120, 140, 160, 180,200, 220_
, 240, 260, 280,300, 500, 750, 1000, 1250,
1500, 1750, 2000 2250, 2500, 2750 111S
c ipl1 eri11 g D i saЫ ed trlle

Та Ы с 135 - Co нte nt of PDCP-Config fo1· а specifi c DRB 01· SRB

* The 011tOJOl"(/e1-Deli\le1y flag сап Ье н sed to specify th at that гece i v in g PDC P entity is по t 1·eqнiгed to pгov ide in -seqt1e пce delivery o f
tl1e l1i gl1eг layer· packets. 111 thi s case, packets са п Ье de liveгed to the l1igh eг layeгs w itl10нt l1 av ing to ,vait fог missing packets, i. e.
l ateп cy с ап Ь е impгoved ifthe l1igl1eг laye1·s а1·е аЫ е to ор егаtе w ithout in-seqt1e11ce de live1y . Wl1e11 t1 sing i11-seqt1ence deli ve1y, tl1e 1-
Reu1"C!e1·i11g time,· defines an t1pper limi t оп tl1 e dt1ratio11 that 1·eceived packets ю·е bt1ffeгed at the PDCP l ауег \V l1ile ,va i tiпg fo1· miss i пg
packets. T l1e buffered packets аге passed to the hi gl1eг layers if tl1i s timeг ex piгes

255
5G NR in BULLETS

* The PDCP layer is аЫе to provide data recovery when req1.1ested. This involves the re-transmission of all PDCP data PDU \Vliich 1
been previo1.1sly transmitted witho1.1t confiгmation of s1.1ccessf1.1I delivery, i.e. it does not involve the re-transmission of specific iavc
individ1.1al packets, as done Ьу the ARQ and НARQ re-transmission protocols provided Ьу the RLC and МАС layers . Data гесоvе
can Ье 1.1sed for handovers between Base Station Distrib1.1ted Units (DU). This is necessary to achieve lossless handovers \Vhen thery
sошсе DU has b1.1ffered packets which are lost when the sошсе DU is l'eleased as part of the liandover procedшe . There is no inte ,
. r,acc
between DU fог data forwardшg

* The PDCP layer can also provide data vol1.1me measurements for B1.1ffer Statl\s Reporting (BSR). 81.1ffer Statl\s Reporting is describ .d
in section 13 .7.2 с
.
* Figшe 225 i111.1strates the format ofthe PDCP Data and Control PDU (there is also an 'Interspersed ROHC Feedback' Conti·ol PDU
which is not shown in Figшe 225). The PDCP header always incl1.1des а 12 bit Seq1.1ence №mber when transferring data belonging 1
SRВ 1 or SRВ 2, i.e. when 1.1sing the DCCH logical channel 0

* The PDCP heade\' can have а length of 12 or 18 bits when transferring data belonging to а DRВ, i.e. wheп 1.1sing the DTCH logical
chaпnel. The Base Station configшes the header length 1.1sing the pdcp-SN-SizeUL and pdcp-SN-SizeDL information elements slio\vn iп
ТаЫе 135

* The PDCP Stat1.1s Repoгt includes а 'PDU Туре' field whicl1 is 1.1sed to diffeгentiate between а ' PDCP Statl\s Repol't' and an
' Interspeгsed ROHC Feedback' packet. Tl1e PDCP Stat1.1s Report specifies the First Missing COUNT (FMC) val1.1e at tl1e receivei·. Tlic
COUNT val1.1e is а concatenation ofthe Hyper Frame №mЬег (НFN) and PDCP Sequence Nttmber. The Bitmap is 1.1 sed to indicatc
which COUNT values following the FMC аге missing. This information allows the transmitteг to delete all packets which have Ь сс 11
successfully received from its transmit b1.1ffer

R 1 R 1 R 1 f 1
PDCPSN О/С 1 R
1
R
1 R 1 PDCP SN

PDCP SN PDCP SN

DATA DATA

МАС-1 МАС - 1 (optional)

МАС-1 МАС - 1 (optional)

МАС-1 МАС - 1 (optional)

МАС-1 МАС- 1 (optional)

PDCP Dala PDU for ОССН РОСР Data PDU for DTCH with 12 Ьits Seq uence Number

О/С 1 R 1 R
1 R 1 R
1 R 1 PDCP SN О/С 1 PDU Туре
1
R
1
R
1
R
1
R

PDCP SN First Missing COUNT (FMC)

PDCP SN First Missing COUNT (FMC) continued

First Missing COUNT (FMC) continued

DATA
First Miss ing COUNT (FMC) continued

МАС-1 (optional) Bitmap 1 (optional)

МАС-1 (oplional) Bitmap 2 (optional)
МАС-1 (optional)

МАС-1 (optional) Bitmap N (optional)

PDCP Data PDU for ОТСН with 18 Ьits Sequence Number PDCP Control PDU for PDCP Status Report

Figш·e 225 - Fo.-шat of PDCP Data and Contt·o l PDU

* Tl1e DTCH is нsed to tгansfeг botl1 Data and Contгol PDU so tl1e ' D/C' l1 eadeг fie ld is 1·eqнired to diffeгent iate bet\veen tl1em. Т11 е
DCCH is only t1sed to t1·a11sfeг Data PDU so tl1e 'D/C' l1eadeг field is not гeq1.1i1·ed

* 3GPP R e fe гe пces: TS 38 .323, TS 38.33 1

 5G NR in BULLETS

5.З
RLCLAYER
* The 'Radio Link Control' (RLC) layer receives both us eг plane and contгol plane packets from the PDCP l ауег. Each packet is
processed Ь у а specific RLC Entity. An RLC Entity сап sнpport one of thгee modes:
0 Tгan spaгent Mode (ТМ) RLC
0 Unacknowledged Mode (UМ) RLC
0 Acknowledged Mode (АМ) RLC
* Packets аге associated with а specific logical channel afteг being processing Ьу the RLC layer, i.e. logical channels are нsed to pass
packets fi·om the RLC l ауег to the МАС layer. Packets ai·e only passed to the МАС lауег afteг а геsошсе allocation has been received.
таЫе 136 pгesents the logical channels supported Ьу each RLC mode

RLC Mode в ес н Р СС Н ссе н DCC H DTC H

тм ✓ ✓ ✓ - -
uм - - - - ✓

АМ - - - ✓ ✓

ТаЫе 136 - Logical ch a rшels suppo1·ted Ьу eaclr RLC шоd е

* Transpai·ent Mode RLC is only applicaЫ e to the control plane. А specific set ofRRC messages make н sе ofTranspa,·ent Mode (see
section 5.3 .1). User plane transmissions оп the DTCH сап н sе e itheг Unacknowledged Mode ог Acknowledged Mode RLC
* Unacknowledged Mode RLC is аррюргiаtе for геаl time applications which l1ave а s tгi ct delay bнdget and ai·e аЫе to со р е with at least
some packet loss . The st гi c t delay bL1dget means tl1at these appl ications do not allow time fог the гe l a tive ly slow Automatic Repeat
Req н es t (ARQ) 1·e -tгan s mi ss ion s fгom the RLC layer (they no1mally rely нр о п faster Hybгid Alltomatic Repeat Reqнest (HARQ) гe­
transmissions fi·om tl1e МАС l ауег). Voice оvег NR (VoNR) is а typical application which н ses Unackno\vledged Mode RLC. Some
packet loss is ассерtа Ы е a lth oн g h voice qtrality will deg1·ade as the quantity of packet loss in cгeases
* Ackпo\vledged Mode RLC is appгop 1· i a t e fог п о n - геа l time a pplic a ti o п s which гeqнire reliaЫe clata transfe1·. Tl1ese applicati o п s have а
delay blldget which all o,,.,s time fо г the гelatively slow АГ<.Q гe-tгaпsm i ss i oпs fгom tl1e RLC l ауег . These 1·e- t1·a п sm i ss i ons pгovid e а
Ьасk- нр m ec liaпi s m afte г tl1e fa ste г HARQ гe -tгa п s mi ss i o п s fгom tl1e МАС l ауег, i. e. ап RLC гe- transm i ss ioп is tг i ggeгe d aft e г the
МА С l ауе г l1as al1·ead y attempted its set ofHARQ 1·e- tгa 11 s 111i ss i oп s

* ARQ гe- tгa п s mi ss ioп s from the RLC laye1· са п Ь е 11101·е adaptive tl1a п HARQ гe- t1·aп s mis s i oп s fгom tl1e МАС l ауе г. HARQ гe ­
tгa11 s mi ss ioп s с ап Ье adaptive f1·om tl1e pe1·spective of a iг- iп te гface геs ошс е a ll ocat i oп , i.e. Res oшc e Blocks I to 5 may Ь е allocated fог
tl1e 01· i g iп a l traпsmission \vhile Resoшce Blocks 25 to 35 may Ье allocated for а гe-tгaпsmissioп . Tl1is allo\vs the геsошсе allo ca ti oп to
move in case one рагt ofthe chaпnel bandwidth is ех регi епсi п g inteгfeгeпce or fading с hапп е l conditions. It also allows the пнmЬ е г of
allocated Resoшce Blocks to chaпge iп case th e гe is а геqнiгеmепt to adjL1st the coding гаtе, e.g. incгeas e the пнmЬ ег of allocated
Resoшce Blocks to iп сгеаsе сhаппеl coding redL1ndaп cy (а lower coding гаtе)

* ARQ гe- tra п smissio п s also allow the packet size to chaпge b etweeп re-t1·a11s111issioпs. If сhаппеl c oпditi o п s are becomiпg \Voгse over
time then the RLC lауе г сап re-segment packets Ьеfоге completing гe- tгaпs mission s . This means that the payload associated with the
1·e-t1·ansmissions сап Ь е s m a lleг, i.e. а loweг RLC l ауег th1·o н ghput is taгgeted to provide а mо ге гelaxed liпk bL1dget. These diffe гe пces
between RLC and МАС layer 1·e- tгa п s 111ission s ai·e sнmma г i sed in ТаЫ е 137

Adapti ve Air-l11terf11ce Reso 11гce Adapti,·e Packe1 Size be t,vee п

Re-trai1s111issio11 Mecl1 a11is111
All oca tio11 bet\vee11 tra11s111issio11s tra11 smi ssio11s
RLC Layer Re-tтa11sшissio11 (ARQ) ✓ ✓

МАС Layer Re-tra11smissio11 (HARQ) ✓ -

ТаЫе 137 - A d a ptatioп b ehvee п RLC а пd МАС 1·e-t1·a 11sшi ssio11 s

* Both UМ and АМ RLC modes sнррогt segmentation. АМ RLC Sll pp o гts both segmentation а пd гe-segmentati on . Re - seg m e ntat i oп is
not app li ca Ы e to UМ RLC Ь есан sе гe- tгa п sm i ss ioп s аге not SL1ppo1ted, i. e. гe-segmen tatioп сап Ь е applied to гe- t1·a n s mi ss ioп s
* The segmentation so lнtions fог 4G а пd 5G аге diffeгent. 4G нses а ' Fгa miп g Information ' (FI) so lнtion fог segmen tation апd а
' S eg m e пt Offset' (SO) so lнti on fог гe-s e g m ent a t i o п. 5G LJses an SO s olнtion fог botl1 segmentation а пd гe-seg mentatioп. Tl1e b e п e fit of
the SO solLJtion is tliat it allo,vs ап iп cгe as e d qн a ntity ofp1·e- pгocess iп g to Ь е comp leted, i. e. packets с а п Ь е l aгge l y р1·е раге d iп a dv a пc e
of tl1 e iг tгan s mi s sion. Tl1i s is an i111po1·tant b e п e fit ,vhen s нppoгtiп g l1igl1 tlнou gl1 pнt s becaLJse it helps to 1·еdнсе tl1e qн a пti ty of 1·ea l time
pгo cess i n g . Tl1e dгa\vback oftl1e SO s olнt i on is that it in c гeases tl1e size ofth e RLC l1eade1· гe l a ti ve to tl1e FI s o lн tioп

* Some examp les oftl1e SO s o lнtion t1sed fог 5G at·e illllstrated in Figшe 226. In tl1e fiгst example, th e гe is по segmentation so tl1e RLC
l1eade1· iпc!L1des а S еqн е псе N ш11Ье 1· (SN) and S egmentat i oп lnfoгmatioп (SI) to iпdi cate tl1at tl1e RLC PDU iп c llld es а complete RLC
SDU

257
5G NR in BULLETS

* In the second example, segmentation is used to geneгate 3 segments. Each segment is al\ocated the same Sequence Numbeг (tlie
Seqt1ence Number is linked to the RLC SDU rather than the RLC PDU when t1sing the SO solution). The RLC header for the first
segment inclt1des Segmentation Information to indicate that it is the first segment. The RLC headeг for the second segment inc l нd
Segmentation Information t_o indicate that it is а middle segment. The header also includes а Segment _O ffset to indicate thc positi~~ of
the segment w1thш the опgшаl RLC SDU. The RLC header fш the th1rd segment шclt1des Segmentatюn Informa tюn to indicate tl .
is the final segment, and also а Segment Offset to indicate the position ofthe segment within the oгiginal SDU щ it
* In the third example, segmentation is t1sed to generate 3 segments, and then re-segmentation is used to generate 4 segments. This
example illt1strates that re-segmentation allows data from multiple original segments to Ье combined when generating the ne\v set of
segments. A.U segments have the same Sequence Number because the Sequence Number is al\ocated to the RLC SDU and al l segme t
originate fl'Om that RLC SDU 11 5

Example 1: No Segmentation Example 2: Segmentation

RLC SDU is allocated RLC SDU is allocated

Sequence Number (SN) 1000 Sequence Number (SN) 1000

"' '
'' ''
Segment 1 Segment 2 Segment З
Bytes Bytes 1
100 to 199 200 to 249
1 1
SN = 1000 SN = 1000 SN = 1000 SN = 1000
SI = 00 SI = 01 SI= 11 SI = 10
so = 100 so = 200

Exampl e 3: Segmentation and Re-Segmentation

RLC SDU is allocated

SI = Segmentation lnformation
Sequence Number (SN) 1000

00 : Data is complete RLC SDU

01 : Data is first seg ment of RLC SOU
,', 1О : Data is last segmenl of RLC SDU

\i
11 : Data is поt first пог last segment
Segment 1 ' '\ Seg ment 2 Segment 3 or RLC SDU

Original
Т ransmission 1 r
Bytes
О to99 ( 1
Bytes
10010 199
', ,
Bytes
200 10 249 SN = Sequence Number

"
'' '' 1 \\ so = Seg menl orrset

\
'' ''
''\1'' \ \~
Re- Bytes Bytes Bytes Bytes
·1
Transmission 1 1
О to 49
r 1 1
50 to 129
1 1
130 to 209 1
210 to 249
SN = 1000 SN = 1000 SN = 1000 SN = 1000
SI = 01 SI = 11 SI = 11 SI = 10
SO= 50 so = 130 so = 210

Figш·e 226 - Exaшples of RLC layer S egшentatioп

* The 4G RLC lауег st1pports concatenation to al\ow mt1ltiple RLC SDU to Ье combined within а single RLC PDU. The 5G RLC l<1ye1·
does not st1ppoгt concatenation so an RLC PDU contains а sing\e RLC SDU (ог segment ofa single RLC SDU)
* The RLC layer can also provide data volt1me measшements fог Bt1ffer Statt1s Reporting (BSR). Внffег Starus Reporting is descгibecl iп
section 13 .7 .2

* 3GPP Refeгe nc es : TS 38. 322

5.3.1 TRANSPARENТ MODE

* Тrап sр а геп t Mode RLC is only app l icaЬ\e to the Co n tю l Plane, i.e. а sнb set ofRRC messages сап Ье sent t1sing Tгa n spa1·eпt Mode
RLC. Тгап s раге пt Mode RLC is t1sed to se пd tl1e fo llowiп g messages :
о Bl'Oadcast Сопt1·0\ Cl1a11nel (В СС Н): lУПВ, S/ВJ , Syste111I11fomшtio11

о Pag iп g C ontгol C liaпп e l (Р СС Н): Paging

о C omm oп Contюl Cl1 a пnel (СССН): RRCSetupRequest, RRCSetup , RRCRej ect, RR CRees taЬ/is/11ne11tR equ est,
RRCR es шn eR eчues t , RRCRes11111eRequest 1, RRCSystemlnfoRequesl
 5G NR in BULLETS

* Transpaгent Mode means that the RLC l ауе г does not modify the higher layer packet in any way, i.e. it is not segmented and по header
infoгmation is added so the RLC PDU is the same as tl1e RLC SDU
3GPP References: TS 38.322, TS 38.33 1
*

UNACКNOWLEDGED MODE
5-3· 2
* Unacknow ledged Mode (UМ) RLC is only app l icaЫe to the Useг P lane, i.e. it cannot Ье used to t1·ansfer RRC signalling messages. UM
RLC is аЫе to segment packets at the sender and гeassemЫe those packets at the гeceiver . RLC SDU can Ье discarded at the receiver if
it has not been possiЫe to гeassemЫe t\1e SDU within а specific time window
* The Base Station uses the RLC-Config рагаmеtег structure pгesented in ТаЫе 138 to pгov i de the UE \Vith infoгmation гegarding UМ
RLC. Тhеге is an instance ofthis parameteг stгuctшe fог each mapping between SRВ/DRВ and logical channel (SRВ is not applicaЬ\e
1vhen RLC-Conjig specifies UМ RLC)

* UМ RLC са п Ье config1.1гed as bi - diгectiona l , 1.1pli11k оп l у or down \ink on ly. Th1.1s, а DRВ may вs е only а down link UМ RLC entity ог
only ап нplink UM RLC entity. RLC-Config specifies the Seqвence N1.1mber (SN) length fог tl1e 1.1plink RLC entity, and both the SN
length and 1·eas se mЫy tim eг fог the downlink RLC entity. Tl1e Base Station is likely to have its оwп reassemЫy timer but this
infoгmation is поt provided to the UE

RLC-Cunjig
RLC-Config CHOICE
am (see nexl seclion)
шn-Bi-Directional нl-UM-RLC s11-F i eldleпgtl1 6, 12 bits
dl-UМ-RLC s11-Fieldleпgtl1 6, 12 bits
t-Rea ssemЬly О , 5, 1О , 15, 20, 25, 30, 35, 40, 45, 50, 55, 60, 65, 70, 75, 80, 85, 90,
95, 100 110, 120 130 140, 150 160, 170, 180 190,200 ms
нm-Uпi-Direc tional -UL нl-UМ-RLC s11-Fieldleпgtl1 6, 12 bits
нm-Uпi-Direc tion a l - DL dl-UM -RLC s11-Fieldleпgtl1 6, 12 Ьits

t-Rea ssemЬl y О,5, 1О , 15 , 20, 25, 30, 35, 40, 45, 50, 55, 60, 65, 70, 75, 80, 85, 90,
95, 100, 110, 120, 130, 140, 150, 160, 170, 180, 190,200 ms

Та Ые 138 - C orrteпt of RLC-Co11fig fo1· U11aclшo,vledged Мщlе RLC

* Figшe 227 illнstrates tl1e set ofUM RLC PDU foпnats ('R' he adeг fields are 'Reseгved' апd are not нsed to convey infoпnation) . Tl1e
RLC header includes only tl1e 'Segmentation Iпfoгmation ' (SI) field when the RLC PDU coпtains а complete RLC SDU. The SI fie ld
нses а va l нe of '00' to iпdicate that а complete SDU is iпcluded. In this case, the headeг does поt iпclude а Seq1.1ence N1.1mber (SN).
This hi ghlights the fact tlшt tl1e RLC lауег is поt гesponsiЫe fог iп -se qнence delivery (the PDCP layer is responsiЫe fo1· pюviding iп -
seq1.1ence delivery when геqнiгеd) ·

SI R R I R SI
1
Sequence Number (SN)

Segment Offset (SO)

DATA
Segment Offset (SO)

UM PDU containing complete RLC SDU

DATA

SI Sequence Number (SN)

1
UM PDU containing 6 Ьit SN and SO

DATA

SI 1 R 1 R 1 Sequence Number (SN)

UM PDU containing 6 Ьit SN
Sequence Number (SN)

Sequence Number (SN) Segment Offset (SO)

SI R 1 R 1
1
Segment orrset (SO)
Sequence Number (SN)

DATA DATA

UM PDU containing 12 Ьit SN UM PDU containing 12 Ьit SN and SO

Figш·e 227 - RLC l1eade1· fields for· Uпackno,vlNlged Mode Data PDU

259
5G NR in BULLETS

* The UМ RLC header field inclнdes а combination of ' Segmentation Information ' (SI) and ' Seqнence №mber ' (SN) wl1en tl1e RLC
PDU inclнdes the first segment belonging to an RLC SDU. In this case, the SI is set to ' О 1' and the SN is нsed to identify the RLC
SDU, i.e. the SN allows all segments belonging to the same RLC SDU to Ье linked together

* In other cases, the UМ RLC header field also inc l нdes the ' Segment Offset' (SO) to allow cotтec t rea ss emЫy ofthe SDU at the
receiver. The SO specifies the position of the data withiп the RLC SDU нsing а byte numbeг . The set of 16 Ьits provides а relativel
large 1·ange from О to 65 535 bytes (considering that the PDCP layer supports а maximum SDU size of9 ООО bytes) у
* 3GPP References: TS 38.322, TS 38.331

5.3.3 ACКNOWLEDGED MODE

* Acknowledged Mode (АМ) RLC is app l icaЫe to both the Control Plane and User Plane. ТаЫе 16 in section 1.12 p1·esents the set of
RRC messages which are transfeпed using АМ RLC

* АМ RLC reli es upon Automatic Repeat Request (ARQ) to allow re-transmissions and thн s provide re l iaЫ e data tran sfec Stati.1s
Reports are used to trigger re-transmissions ofRLC SDU or segments ofRLC SDU. Statнs Reports are а cate goгy ofContml PDU, iп
contrast to Data PDU which transfer the actнal payload from the higher layers

* Reaching the ma x imнm permitted nнmb e r ofRLC re-transmissions at the Master Cell Group (MCG) can trigger а Radio Link Fa ilш-c
(RLF). This causes the UE to release itselfto RRC Idle ifthe Security Mode procedнre has not been completed and the UE has по t
been configured with SRВ 2 and ai least one DRВ . Otherwise, the UE initiates the RRC Connection Re-estaЫishment pt·oceclure.
Reac11ing the max imнm permitted 1number ofRLC re-transmissions at а Secondaiy Cell Groнp (SCG) сап tri gger the 'SCG Fa ilш-c
Infoгm a tion ' procedure which allows the UE to repoгt the e veпt to the M CG

* The Base Station н ses the RLC-Conjig pa1·ameter s tru ctшe prese пted in ТаЫе 139 to provide the UE with infoгma ti o п 1·egш·ding АМ
RLC. There is an instance ofthis pa1·ameter s tructнre for each mappiп g between SRВ/DRВ and logical сhаппеl

RLC-Co11fig
RLC-Config CHO ICE
ат 111 -AМ - RLC s11-FieldLengtl1 12, 18 bits
t - Po l\ Retraп s mit 5, 10, 15, 20, 25, ... , 400,450,500,800, 1000, 2000, 40001115

pol\PDU 4, 8, 16, 32, 64, 128, ... , 49 152, 57344, 65536 PDU, i11fi11ity

pol\Byte 1, 2, 5, 8, 10, 15, 25, 50, 75 , ... , 6500, 7000, 7500 kВytes ,
8,9, 10, 11 , 12 13 , 14, ... , 18, 20, 25, 30, 40 MBvtes i11fi11itv
maxRetxThreslюld 1, 2, 3, 4, 6, 8, 16, 32 re-traп s mis s ioпs
dl - AМ-RLC s11-F1eldLe11gth 12, 18 bits
t-ReassemЬ\y о,5, 1о , 15 , 20, 25, 30, 35, 40, 45, 50, 55, 60, 65, 70, 75, 80, 85,
90, 95, 100, 110, 120, 130, 140, 150, 160, 170, 180, 190,200 1115
t-StatusProhibit О, 5, 10, 15 , 20, 25, 30, 35, ... , 1200, 1600, 2000, 2400 П1S

нm-Bi-Directioпa l (see previoнs sectioп)

шn-Uпi-Directioп a l-UL {see p1·evio11s section)

11n1-U11i-Directional-DL (see pгevio us section)

ТаЬ\е 139 - Conteпt of RLC-Co11Jig fo1· Ac kl10,vledged Mode RLC

* Tl1e traпsmittiпg side ofan АМ RLC eпtity н ses а traпsmit wiпdow to limit th e nнmber ofRLC SDU whicl1 are transmitted \\•l1ile
waitiпg for ап ackпowledgement. The genera l concept ofthe t1·ansmit wiпdow is illustrated in Figшe 228 . The tra п sm it ,vi 11do1v star1s
at the oldest traп smitted RLC SDU ,vl1ich has поt been fi.1lly acknowledged . Tl1is o ldest traпsmitted RLC SDU may l1a ve Ьееп paгtl y
ackлowl edge d if it was segmeпted priOI· to transmi ss i o п. Tl1e traпsmit window a dvaпces as acknowledgements are received

* Tl1e first exa mpl e illustrates а sce nario wl1 ere SDU О to 5 have been fi.11l y acknowledged, whereas SDU 6 to 11 have Ьееп traпsm ittc_<I
bttl have not been fi.1lly ackno,vledged. Iп this case, tl1e traпsm itte1· is аЫе to coпtiпue seпding packets Ь есанsе th e t1·a11smit ,viпdoiv 15
not fн ll, i. e. SDU 12 to 17 са п Ье tгa п s mitte d ,vhil e wa itiп g fог olde1· packets to Ь е ackпow l cdged
* Tl1 e seco пd examp le illt1st1·ates а sсеп а гi о \Vhe1·e SDU О , 1, 2, 4 а пd 5 l1ave Ьее п fн lly acknowledged Ьнt SDU 3 l1 as not Ьее11 l'нl l y .
ack110,v1edged. Re-t1·a11smissions fог SDU 3 аге oпgo in g. T he t 1·a n smitteг is аЫ е to contiпнe seп d iп g п еw packets Ьесан sе tl1 e tп111 5 11111
wiпdow is п оt fi.111 , i. e. SDU 12 to 14 сап Ье tгa п s mitted wh il e \Va i t iп g fо г SDU 3 to Ье ack п ow l e d ged

* Tl1e tl1iгd example, illl1 stгates а sсеп а гiо \vhe1·e tl1e t1·a11sm it ,v iпdow has beco me fi.111 , ca нsiпg tl1 e RLC eпti ty to stall , i.e. по fi.н·t l i e i· 1
SDU сап Ье tгaпsmitted tmtil SDU 3 l1 as been ft1 ll y ack110,vledged. Stalliпg l1as ап im pact нроп app licatioп layer tlll'ollgl1pllt so 5lioolc
Ье avo ided wheпeve r possiЫe . High a iг- inte1·face throнgl1pt1ts poteпtially iп crease the 1·isk of sta lliпg becat1 se tl1e t1·ai1smit w iпdoiv 15
fill ed more rapidl y. Iп gе п ега l , l1i gh tl1rot1gl1pt1ts reqнi,·e large traпsmit wi пdo w sizes to avo id s ta lliп g

260
 5G NR in BULLETS

Example 1: AII RLC SDU up to and including SDU 5 have been fully acknoY1ledged

АМ _ W indow_ Size
□ Tran smitted RLC SDU

□ Acknowledged RLC SDU

Example 2: RLC SDU 3 has not Ьееп fully acknowledged

Note: the figure shows small window
sizes for ease of illustration . Actual
AM_Window_S ize window sizes are:

2048 when using а 12 Ьit SN

131072 when using ап 18 Ьit SN

Example 3: RLC Entity stalls while waiting for acknowledgement for RLC SD~

AM_Window_Size

Figш· e 228 - Examples of tl1e traпsшit ,viшlo,v fo1· АМ RLC

* The maximш11 tгansmit window size is limited Ьу tl1e Se qн ence Nt1mber 1·ange. The tгansmit window is t1sed to p1·eve11t Seqt1ence
Nt1 mbeг amЬigнi t y at tl1e 1·eceiveг (same concept as the transmit \vindow ttsed Ьу ТСР). 3GPP has specified that tl1e tra nsmit window
size is lialf of the Seqt1ence N t1mb eг 1·ange becat1se tl1is is tl1e t1pper limit of the window size which avoids a mЬi gt1ity . Fо г example, tl1e
12 Ьit Seqttence N t1mb e г st1ppo1is а 1·ange fi'om О to 4095 so the t1·a11smit w iпd ow size is 2048
* Fi gшe 229 illt1 stгates l10w amЬigt1 i ty сап occttг when tl1e wiпdow si ze is g 1·e ateг tl1a11 halfoftl1e Seqt1e11ce №mЬе г ш п gе. It гe qt1iгes
co11side1·atio11 of botl1 tl1 e t1·ansmit and гe c e ive w i пdows. The s t a гt of the гece i v e wiпdow adv a п c es to the oldest RLC SDU which l1as
поt Ь ее п fнl l y гece ived . ldeall y, tl1e tгa 11 s 111it апd 1·eceive \v i п cl ows ге m а iп sy пchгoпi se d , i.e. an RLC SDU is s t1 c c ess fнlly гece i ve d so
tl1e 1·eceive window advances, and а п ackлo\vl e d ge m eпt is 1·e tt1г11 e d to tl1e tгaп s mitte 1· so tl1e t!'aп s mit \viпdo\v also advances. Iп pгacti ce,
StatL1s Repo1·ts ш·е поt se пt to tl1e tгa11 s mitte 1· afteг tl1e 1·eceptio11 of е vе гу SDU so tl1e two \vindows become t111 syпcl11'011i s ed
* The examp le iп F i g шe 229 illt1stгates а s с е пагiо \vl1ere tl1e t гa11s111 it wiпdo\v is stL1ck on а п 'old' RLC SDU 3 \vl1ile гe - t1·an s m i s sio11s аге
ongoing and the tгa n s111 itte1· is wait iп g fог а positive acknow l edgemeпt. The гесеivег l1as iп fact s н ccessft1ll y гeceived ' old ' RLC SDU 3
а пd has advaпced its 1·eceive wiпdow sнc h that а ' пеw ' RLC SDU 3 is expected. Iп this sce11a1·io, if the t1·a11smitter makes а fшthe1· re-
tгa п smi ss i oп of 'o ld ' RLC SDU 3 tl1en tl1e гесе ivег will tl1i11k it is tl1e ' п еw' RLC SDU 3

Transmit Window
,- -- --------- -------------- -------- ------------- ---- ------------- ·

~□□ь□□□□□□□□□□d□□□□□□□□□□
i_ i
2 о 3 ----~- -- -~--- --~ --- -:- ---~--- -~----~~---}-~--~~--- 13___ 14 15 16 17 18 19
2 3 4
□ Transmitted
RLC SD U

□ Acknowledged
RLC SD U
Receiver thinks that re-tran smission of 'old' SDU 3 is actually 'new' SDU 3
Successfu lly
Received

□□□□□□□□□□□□EID□□- □ □□□-□□□li □
RLC SDU

Amblguou s
RLC SD U

i 12
L
1

-
О 1 2 3 4 5 6 7 8 9 10 11 13 14 15 16 17 18 19 О 1 2 3 j 4
!...-- ---- ---- ----- -------- -- --------- -------- -- ----------- ----- ---- ~

Fi g ш·e 229 - Sе qн е пс е №mbei- aшbl g ui ty 1vl1 e11 11 si11g 1vi11 do,v sizes > sе qн е п се 1111111Ь е1· 1· а п gе /2

* Figшe 230 illttstгates tl1 e set of А М RLC Data PDU foгmats (' R' l1eader fi elds а ге 'Reseгved ' and а ге поt н sed to convey info гmatioп ).
The pair of foгmats оп tl1e left ш·е based t1po11 а 12 Ьit Seqt1ence Nt1111beг (SN), wh eгe as tl1e pair on tl1e 1·igl1t аге based t1po11 а п 18 Ьit
SN. The SN l eп gth is coпfi gшed t1 s iпg the RLC-Config рагаmеtег st11.1ctt11·e pгeseпted in ТаЫе 139. The pai1· of foгmats at tl1e top
exc lн d e the Seg meпt Offset (SO) so tl1ese PDU e ith eг inclt1de а complete RLC SDU, ог they inclttde the fiгst segment be l on g iп g to а п
RLC SDU. In the case ofUnacknowledged Mode (UM) RLC, а SN is поt гeqt1iгed \Vl1en an RLC PDU inclt1des а complete RLC SDU.
Iп contгast, Ackлo\vl edged Mode PDU al\vays гeqн ire а SN to allow each PDU to Ье ideпt i fied wh e п retL1111i ng ackno\vledgements

2 61
5G NR in BULLETS

* The RLC header inclнdes а 'Data/Contюl' (D/C) field to identify the PDU as а Data PDU rather than а Control PDU. The
:se~ment~tion Informatio~ ' (SI) indicates whether or not the RLC SDU has been segmented. In the ca_se ofsegmentation, the sr field
шd1cates 1fthe RLC PDU шclнdes the first segment, а central segment or the last segment. Segmentatюn and гe-segmentation аге
described in section 5.3

О/С 1 р
1
SI
1
Sequence Number (SN) О/С 1 р
1
SI
1 R 1 R 1 SN О/С = Data/Control Field
О : Control PDU
Sequence Number (SN) Sequence Number (SN) 1 : Data PDU

' Sequence Number (SN) Р = Polling Bit

ОАТА
О : Status Report not requested
1 : Status Report requested
ОАТА
12 Ьit Sequence Number (SN)
SI = Segmentation lnformation
18 Ьit Sequence Number (SN) 00 : Complete RLC SDU
01 : First segment of RLC SDU
10 : Last segment of RLC sou
11 : Not first nor last segment
О/С 1 р
1
SI
1
SN О/С 1 р 1 SI
1 R 1 R 1 SN of RLC SDU

Sequence Number (SN) Sequence Number (SN)

Segment Offset (SO) Sequence Number (SN)

Segment Offset (SO) Segment Offset (SO)

'
Segment Offset (SO)
ОАТА

DATA
12 Ьit Sequence Number (SN)

18 Ьit Sequence Number (SN)

Figш·e 230 - RLC l1eadei- fields for Ackno,vledged Mocle Data PDU

* The 'Polling' (Р) Ьit сап Ь е used to request а Statt1s Repoгt from the receiving RLC entity. The tгansmitting RLC entity сап t1·iggcг
Polling based нроп e itl1er the nt1mb e г of PDU wl1icl1 have Ьее п sent since а pгeviot1s Poll, 01· the data volнme whicl1 l1 as Ьееп seпt si11cc
а pгeviot1s Poll. The RLC-C011/ig рагаmеtег s tп1 ctшe pюvides polfPDU to quantify tl1e nt1mb eг of PDU wl1icl1 tгigge1·s а Poll, а нd
po//By te to qt1a11tify tl1e data vo lнm e \Vhich tгiggeгs а Poll
* Tl1e tгa n sm ittin g RLC entity also tгigge1·s а Poll iftl1e tгansmit bt1ffeг becomes empty (with tl1e exception oftl1e packets a waitiн g
ackпowl edgeme пt) . !п add itioп, the tгaп s mittiп g RLC e пti ty t1·igge1·s аPoll if по п е\v RLC SDU сап Ье se пt dt1 e to гeac l1 iп g tl1 e li111it ol"
the t1·aпsmit \viпdow

* Ifthe UE t1·iggeгs а poll Ьнt does not receive а Status Repoгt afteпva iting а peгiod oftime defiпed Ьу t-Pol/Retm11s111it, tl1e UE гe­
transmits the poll. The Base Station will also have а Poll re-transmission timeг Ьнt its valt1e is not pюvided to the UE.

* Опсе the UE has seпt а Statt1s report, then it does not seпd anotheг Status гершt t1ntil reqнested, and опlу afteг th e 1-Stat11sPгoblЬit
time1· has expired

* А Statнs Repoгt specifies the Seqt1ence №mber t1p to which all RLC SDU have Ьееп successfully received, witl1 the exceptioн of" R.LC
SDU specified within the remainder ofthe Status Repoгt. The Statt1s Repoгt сап specify the reqt1ireme11t to re-t1·aпsmit complete RLC
SDU, ог the reqнiremeпt to re-transmit specific segments ofspecific RLC SDU
* The transmittiпg side ofan RLC eпtity pгioritises Сопtюl PDU оvег Data PDU. Similat·ly, гe-transmissioпs ofData PDU ш·е pгioriti scd
over new transmissions ofData PDU
* The transmitting side of an RLC entity disca1·ds ап RLC SDU if iпstгucted to do so Ьу the PDCP layer, e.g. the PDCP lауег discarcl
timeг expiгes before the SDU has been st1ccessfully tгansmitted

* 3GPP Refeгences: TS 38.322, TS 38 .331

262
 5G NR in BULLETS

5. 4 MACLAYER
The 'Medit1m Access Control ' (МАС) laye1· гeceives both t1ser plane and control plane data from the set of logical channels pгo vided
* Ьу the RLC l ауег. The МАС lауе г is гesponsiЫe for processiпg this data and mapping onto tl1e Tгa n spoгt Channels wl1ich allo\v data
transfer юwai·d s the Physical layer
The higl1 level aгc hitectшe ofthe МАС layer is illt1strated in Figшe 23 1. The МАС layer is transparent to some logical channels, i.e.
* the РССН and ВССН. The ВССН t1ses HARQ wheп mapped onto the DL-SCH Ьнt по headeг information is added Ьу the МАС l ауег

RLC Logical МАС Control

РССН весн ссен ОССН отсн
Layer Channels from Upper
Layers

Logical Channel Prioritisation

МАС Multiplexing
Layer Control

HARQ

Random Access Control

Physical Transport
РС Н вен DL-SCH UL-SCH RACH Channels
Layer

Figш·e 23 1 - Higl1 level ai·cl1itect111·e of tl1e МАС \ ауе1·

* Tl1e МАС l ауег prio1·itises data beloпging to the СССН , DCCH and DTCH logical cliannels. Prior·itisation of t1pli11k data at the UE is
acl1ieved using а р а гаmеtег set pгov id ed Ьу tl1e Base Station . Та Ы е 140 pгeseп t s the Logica/Cl101111e/C01?fig which inc lнdes the pгio, ·ity,
p1·i01'itisec/BitRate апd b u cketSizeDш ·ation paгame teгs (а low nнm e гical p1 ·ioгily coпe sponds to а higl1 pгiority)
* А va r i a Ы e known as Bj is iпitiali se d to zе го wl1en logical c hanп e l 'j' is es ta Ыi s l1 e d . Tl1e vallle of Bj is iп c гe m e пte d Ьу the ргоdн с t of
1n ·io 1 ·itisec/В i1Rate х Т, i п a dva п ce of eacl1 logica l c lianп e l prio,·itisation . Tl1e va llle of ' Т ' is e qн a l to the time pe1·iod since tl1e va lLJe of
В) was p гev i o н s l y нpd a t e d. Tl1e гes ll l t fюm tl1i s nшltipli ca t i on 1·ep1·ese11ts the vo lшn e of data whicl1 tl1e logical сh а пп е l is гeqL1 i 1·e d to
t1·ш1 s fe г to acl1ieve its p1·io1·itisedB itRate. Iftl1e ca lcL1 iatecl vallle of Bj exceeds tl1e B н cke t Size = p1·io1·it isec/ВitRat e х
b11cketSizeD11/'C/lio11 theп tl1e valL1e of Bj is гош1dеd down to tl1e va llle oftl1e Bttcket Size
* Logica l ch a пnel prioгitisation is tl1e11 completed Ьу selecting the logical c h a пn e l whicl1 has the lo\vest nllmeгical p1·io1·ity and а positive
valt1e fог Bj. Ifthe selected logical channel l1as p1·io1·itisedBitRate = ' infinity' then the bt1ffeг belonging to that logical channel is
emptied befor·e seгv in g апу other logical cl1annel. Otheгwise , tl1e selected logical c h a пn e l i s . pюvided \vith sнffi c i eпt геsошсеs to
acl1 ie1'c tl1e P1·ioгitised Bit Rate, i.e. the transmit bt1ffeг fог tl1e logical channel is emptied Ьу at Jeast the vallle of Bj. Tl1e valt1e ofBj is
tl1e11 t1pdated Ьу sнbtrac tin g the qнantity of data emptied fгom the Ьнffег ·
* lft l1e геsошсе allocation has capacity гemaining after servi пg the fiгst logical channel, additi oпa l logica l chan nels аге served based
нроп theiг p1·io1·ity valнe w itlюнt
accotmting fог tl1e va lн e of Bj. Logical channels \vith eqнal pгioгity ai·e seгved eqttall y

L ogica/Clш1111e/Cm1/ig

нl-Sp ecific priority 1 to 16

Parameters о , 8, 16, 32, 64, 128, 256, ... , 8192, 16384, 32768, 65536 kВytes per seco пd , iпfinity
prioritisedBitRate
bLtcketSizeDltratioп 5, 1О , 20, 50, 100, 150, 300, 500, 1ООО tns
allo1vedServiпgCel 1s {1 to 31 instances ofServCe Шn dex} 1 О to3I
allo1vedSCS-List {1 to 5 iп s taпces of Sltbcarri erSpaci пg} 1 15, 30, 60, 120 kНz
maxPUSCH-Duratioп 0.02, 0.04, 0.0625, 0.125, 0.25, 0.5 tnS
coпfiguredGraпtType I Allo1ved true
LogicalCl1a1111elG1·0Ltp О to 7
sc l1 edll li11 gReqllestШ О to 7
logicalCl1a1111elSR-Mask BOOLEAN
logicalCl1a11nelSR-DelayTitnerAppl ied BOOLEAN
bitRateQlleryProl1ibitTimer О, 0.4, 0. 8, l .6, 3, 6, 12, 30 sec oпds

Т аЫ е 140 - Conten t of Logica!Clu11111e/Co11fig

263
5G NR in BULLETS

* In all cases, when allocating resources for а logical channel, checks are completed to ensure that the logical channel is peгmitte d to u
the serving cell and sнbcaгrier spacing associated with the resource allocation. These checks are based нроn the alloи 1edSe1·vingCel//e
and alloи1edSCS-List parameters shown in ТаЫе 140. lt is also necessary to check that the dнration ofthe PUSCH resource allocation
does not exceed the value of maxPUSCH-Dш·ation
* А МАС PDU is generated Ьу multiplexing the data from one or mше logical channels. А МАС PDU can also inclнd e one or more
МАС Control Elements (МАССЕ) . МАССЕ which can Ье sent in the downlink direction аге presented in ТаЫе 86 (section 3.6),
whereas МАССЕ which can Ье sent in the uplink direction are presented in ТаЫе 194 (section 7.4)
* Figure 232 and Figure 233 present the stn1ctures ofuplink and downlink МАС PDU. ln the uplink direction, the МАССЕ аге
multiplexed att he end ofthe PDU, whereas in the downlink direction they are mнltiplexed at the start ofthe PDU. Each МАС SDU
and variaЫe size МАС Control Element uses an 'R/F/LCID/L' subheader. The Res erved (R) field does not convey any infoгma tioп .
The Format (F) field specifies the size ofthe Length (L) field . А value of 'О ' indicates that the Length field occнpi es 8 bits, \vhei·eas as
а value of' 1' indicates that the Length field occнpies 16 bits. The Logical Channel Identity (LCID) has а size of 6 bits and is used to
identify the Logical channel, or а МАС Control Element or the inclusion ofpadding. The Length (L) fi eld quantifies the size ofthe
МАС SDU in bytes. А fixed size МАС Control Element н ses а simplified ' R/LCID ' subheader because length iпfoгm ation is not
, required

R/F/LCID/L R/LCID Fixed Size R/F/LCID/L Va ri aЫe Size

МАС SDU
Subheader Subheader МАССЕ Subheader МАССЕ

МАС subPDU МАС subPDU МАС subPDU МАС subPDU

Optional Padding
including МАС SDU including МАС SDU including МАС СЕ including МАС СЕ
' - - - - - - - - - - ' - - - - - - - - ~-------------'---- - - - ---'-- - - - -- - ~ ' - - - - - - - ---'
Figш·e 232 - St1·uctu1·e of 11plink МАС PDU

R/LCID Fixed Size R/F/LCID/L VariaЫ e Size R/F/LCID/L

МАС SDU
Subheader МАССЕ Subheader МАССЕ Subheader

МАС subPDU МАС subPDU МАС subPDU МАС subPDU

Optional Padd ing
including МАС С Е including МАС СЕ including МАС SDU including МАС SDU
' - - - - - - - - - - ' - - - - - - - - - - --------- -- --' - - - - - - - - - - ' - - - - - - - - ~ ' - - -- - - - - ~
F i g uгe 233 - St 1 · uctш·e of cto,vnlink МАС PDU

* The МАС lауег at th e Base Station is responsiЫe fог allocatin g aiг-iпteгface геsошсеs, i.e. the Packet Sc h ed нl e г а п d L iпk Adaptatio11
algorithms b e l o п g to the МАС layer. The details of these algorithms dep end нр оп tl1e network impl eme пtation
* The Base S ta ti o п са п use the МAC-Ce l/ G1 ·0 11p C0 11jig рагаmеtег s tгн ctt1гe to pгovide tl1e UE witl1 а dataf11acti 11ity Тi111 e1 ·. This i11 act i\lity
timeг is pгese пte d iп ТаЫ е 14 1. In general, the Base Station is гes pon s iЫ e fог nюпitoгing pe1·iods of inactivity and 1·e leasi11 g the UE to
RRC Idle or RRC Inactive. The dataf11activityТi111e1· pl'Ovides а so lнti on fot· а mis-matcl1 b etweeп tl1e RRC State at the UE and tl1e RRC
State at the Base Station . Ifthe inactivity timeг at the Base Statio11 exp iгes а пd the Base Station seп ds а п RRCRelease 111essage \Vl1ilc
th e UE is in роог coveгage, the UE may fail to гeceive the message апd гema in iп RRC Co nnected whil e the Base Station гel eases all
гeso urces . In this case, it can Ь е usefu l to have а п inactivity timeг within the UE whi ch a llows the UE to 1·e lease itself to RRC lclle.
dataf11activityТime1· shoнld Ье configнred with а valнe which is l aгge1· than the Base S tatioп inacti vity timeг to еп sше th at tl1e 110п11аl
гe l ease mecl1aпi sm is always attempted fi1·st. If clatalnactivityТime1 · expiгes, tl1 e UE гe l eases itself to RRC ldle and iпfoгms th c NAS
l ауе г th at an RRC Release has осс штеd with а сан sе valtte of 'RRC Co nп ect i o n F a ilшe ' . This t1· i ggeгs the NAS l ауег to i11itiate а
Registгation ргосеd ше towa гd s the Саге Netwoгk

Ex tract Ггоrп ЛIA C-Cel/G1'V11p C0 11/i.r;

datal.11activityTi111er 1,2,3,5, 7, 10, 15,20,40,50,60,80, 100, 120, 150, 180seconds

Та Ы е 141 - tfata/11activityti111e1· ,vitl1i11 МА C-CelfG1·011pC011jig

* Т11 е МАС l ауег is also 1·espons iЫ e fог the fo ll o\v i пg pl'Ocedшes :

о Вн ffег Statt1s Repoгtiпg (BSR) d escгibed i п section 13.7.2 , a11d Powe1· Head 1·oom Repoгtiп g (РНR) described in sect io11 13.8
о the Random Access pгocedttгe d esc гibed iп sect ioп 13. 1, а пd the Paging ргосеduге descг ib e d iп sectioп 12.4
о Timing Adva п ce d escг ib ed in sectio11 13.2, a11d Co nп ec ted Mode DRX desc1·ibed i11 section 13 .1 О
о НARQ гe-t1·aпsmissions desc1·ibed iп section 13.5, апd the Sc l1 ed нliп g Re q нest ргосе dше d esc гibed iп sec tioп 13 .7. 1

* 3GPP Refeгeпces: TS 38.32 1, TS 38.33 1

 5G NR in BULLETS

6 SYSTEM INFORМATION
UE геа d system information in RRC Idle mode to acquire the parameters necessaгy to complete cell selection and cell гese l ec tion.
* System information also provides the paгameters necessa гy to access the network and detect paging messages
System information is broadcast using а Master Info1mation Block (МIВ) а вd а se гies of System Information Blocks (SIВ). Figшe 234
* illustrates the logical , transpoгt апd physical channels 11sed to transfer the Mffi and S!8. The МIВ is the only system information
transferred 11sing the ВСН and РВСН. SIВ аге transferred 11sing the DL-SCH апd PDSCH. SIВI has its own RRC message whereas
SI82 to SI89 are encapsttlated within the more general System Information RRC message

RRC Message RRC Sub-Message Logical Channel Transport Physical

Channel Channel
Minimum System Master
lnformation lnfarmatian
(MSI) Block - весн -► вен -- ► РВСН

Remaining
System
Minimum System
lnformation ► весн ► DL-SCH ► PDSCH
lnformation
B/ock 1
(RMSI) System lnformation Block 2

i
System lnfarmation Block 3
System lnformation Block 4
Other System System lnformation Block 5
lnformatian Sy«em System lnformation Block 6 - весн ► DL-SCH -► PDSCH
{051) lnformation _ System lnformation Block 7
System lnformation Block В
System lnformation Block 9

Figш·e 234 - Sys te ш Info1·mation ш essages шарр е d опtо Logical , T1·a11sport and Pl1ysical Channels

* Minimш11 System Infoгmatioп (МSI) iп c lнd es the МIВ а пd S18 1. Remaiпing Minim11m System Iпform a ti o n (RMSI) iп c lнdes SIВ 1,
whe1·eas Othe1· System Infoгm a tioп (OSI) inclнdes sm 2 to 9
* Dшin g the iпitial cell sea гc l1 ргосеd ше, а UE acq нi res the MIB afteг scan пiп g tl1e set of Globa l Sy n c h1·oпisatio11 Cl1a 11п e l N нmb eгs
(GSCN) ancl di s coveг iп g an SS/PBCH Block. Tl1e МIВ is foнnd diгect l y оп tl1e РВСН \v itl10н t tl1e 1·eq нiгement fог any геsонгсе
a ll o ca t i o п s о п tl1e PDCCH. Dшiп g cell гese l ec ti o п , S184 pгov i d es the UE \vith iп foгmat i on гegaгd iп g tl1e GSCN belonging to iпte 1·­
f1·eq11e11cy n e i g hboнгiп g cells. Iп tl1e case ofRRC Conп ec te d Mode, the Base Station с ап н sе dedicated signalling to pгovide tl1e UE
,vith i11fo п11 a tio11 1·egai·ding tl1e pos itioп of tl1e SS/PBCH b e l on g iп g to nei g hboшin g cells, e.g. fог l1andove1·s ог S ecoпdaiy Cell G1·011p
(SCG) addit i oп
* 1Ъе М!В pгovides the UE with iпfo г m ation гegaгd in g the Control Rеsонгсе Set (CORESET) and Seaгc h Space н se d Ьу the PDCCH
,vheп making а гesource allocation for SIВ 1. SIВ I provides tl1e UE with schedнling information for all Other System lnformatioп
* 5G s 11pp oгt s both the reg11lar peгiodic b1·oadcast of SIВ and 'on-demand' S18, i. e. some srв· may not Ь е broadcast 11sing the 11s11al
pe1·iodic traпsm i ssion pattei-n bttt may Ье broadcast нроn req11est Ьу individнa l UE. S IВI incltides а flag to indicate which S18 аге
bюadcast н sing а гegttlaг peгiodic patteгn апd which SIВ сап Ье reqнested 'on-demand '

* 'O n - d emaпd ' SIВ сап Ь е configшed to Ь е гe qtt es te d нsin g eitheг MSG I ог MS GЗ. The s i gn a lliп g associated with both ofthese options
is ill11st1·ated in Figure 235

51 Request using M5G1 51 Request using М5GЗ

UE BTS UE втs

Random Access PreamЫe (M SG l) Random Access PreamЫe (MSG l)

Random Access Response (M SG2 ) Random Access Response (M SG2 )

, RRCSystemlnfoRequest (M SGЗ )

Contention Reso lution (MSG4)

HARQAck

Fi g ш·e 235 - Re qu estiп g 'O11 -de111a11(1' Syste ш l11 foп1iatio11 11si11 g eitl1e1· MSG 1 01· MSG3
* lп tl1e case of MSG I System Jпfo гmatioп гeqн ests, tl1e Base S ta ti o п allocates а speci!i c set of PRACH ргеаmЫ еs fог гeqt1 estin g System
l11fo1111a ti o п. Tl1e Base Station сап allocate а single PRACH ргеаmЫ е to 1·eq11est all '011-demand ' S ГВ . Altei-nati vely, the Base Station
5G NR in BULLETS

сап allocate а separate PRACH preamЫe for each ' on-demand' SIВ. This a\lows the UE to reqнest specific individt1al SIB ,vitl
preamЫe transmission. When using MSGl to reqнest 'on-demand' SIВ, the Base Station acknowledges the reqнest at the МА~ ~acli
нsing а MSG2 transmission ауег
* In the case ofMSG3 System lnformation гeqнests , the UE completes а no1mal contention based random access proceduгe bttt
popнlates MSG3 with an RRCSystemlnfoRequest message (ТаЫ е 142). This message inclнdes а bit string, where each bit is l iпk . d
specific SIВ. This allows the UE to reqнest а specific SIВ transmission Ьу setting а specific bit to ' 1' е to а

RRCSys1e111/11/0Req11es1
requested-Sl-List 1 ВIТ STRING {32 bits}
spare 1 ВIТ SТRING {12 Ьits}
ТаЫе 142 - RRCSyste111/11/0Req11esl message

* The RRCSystemlnfoRequest message is not acknowledged at the RRC layer Ьнt is acknowledged at the МАС layer when the Basc
Station transmits а 'UE Contention Resolt1tion Identity' МАС Control Element (MSG4). The UE completes the procedllгe Ьу гe tL1nii,i ,
а HARQ acknowledgement for MSG4 g

* The SI-RNТI is нsed to sc1·amЫe the CRC bits belonging to DCI Fo1·mat 1_ 0 when allocating PDSCH resoшces for the t1·ansmi ssio11 or
System Information . The content ofDCI Format 1_ 0 is pгesented in section 3.5.6

* А sнmmary ofthe information included within the МIВ and each ofthe SIВ is provided in ТаЫе 143. More detailed infomiatioп is
pюvided within the following sections

Syste111 l11 foп11a ti o11 ЗGР Р Release Co11te11t

Master lпfon11atio11 Block 15 SFN, cell barred flag, i11fon11atio11 required to receive srn 1
Syste111 !11fon11atio11 Block 1 15 Cell se lec t ioп i11fon11atio11, Tracki11g Area Code (ТАС) , RAN Notificatio11 Area Coclc
(RANAC), Cell ldeпtity, cell reserved flag, schedt1li11g i11for111atio11 for Otl1er Syste111
!11foп11atio11 (OS[), serviпg cell i11for111atio11 (Вa11d,vidtl1 Part, RACH апd Pagiпg
i11fon11atio11), UE timers a11d co11staпts, Uпified Access Coпtrol (UAC) i11for111atio11
System l11fon11atio11 Block 2 15 Geпeral cell rese lectioп i11fon11atio11 a11d i11tra-freqнe11cy cell reselectio11 i11foп11 a tio11

System !11foп11a tio11 Block 3 15 Cell specific i11for111atio11 for i11tra-freqн e11cy cell reselectio11
System l11foп11atio11 Block 4 15 lлforma ti o11 rega1·di11g i11t e r- freqнe11cy cell rese l ec tioп

System l11foп11 a tio 11 Block 5 15 !11fon11atio11 regardi п g iпt e r-system cell reselectioп to,va1·ds LТЕ
System lnformatio11 Block 6 15 Eartl1quake апd Ts шia111i Waп1i11g System (ETWS) primary 110tificat io11s
System lлfon11atio11 Block 7 15 ETWS secoпdary пotifications

System lnfon11ation Block 8 15 Commercial MoЬile Alert Service (CMAS) notificatio11

System lпfoп11atio11 Block 9 15 Timing i11fonnatio11 for UTC, GPS and local time

ТаЫе 143 - Sum111a1·y of Systeщ Info1·111ation content

* 3GPP Refeгences : TS 38.331, TS 38.321

6.1 MASTER INFORМATION BLOCK

* The Master Iпfoгmation Block (МIВ) is tгansmitted t1sin g the ВССН logical channel , the ВСН tгanspoгt chaпnel апd tl1e PBCI-1
physical chanпel. The РВСН is t1·ansmitted as рагt of an SS/PBCH Block described in section 3 .4
* Dшing the initial cell selection procedшe, а UE asst1mes that а bшst of SS/PBCH Blocks is traпsmitted еvегу 20 ms, i. e. eacl1 beatit
tгaпsmits the РВСН once еvегу 20 ms. Otl1eг tгansmissioп peгiods сап Ье configшed afteг initial cell selectioп. E itl1e1· SIВ I ог UI
specific signa lling сап Ье нsed to coпfigшe РВСН peгiods of 5, l О , 20, 40, 80 or 160 ms. Cells supportin g initia [ access sl10н l d liavc
РВСН pe1·iods of 5, l О or 20 ms, whe1·eas cells beloпging to tl1 e EN-D C Noп-Standalone Base Sta tioп aгcl1itectt1гe сап l1ave РВСН
peгiods of5, 10, 20, 40, 80 ог 160 ms (EN-DC cells ai·e п оt t1sed fог iпiti a l с е \1 selectio11)

* Iп th e case of th e Ce11t1·ali sed Uп it (CU) - Dist1·ibнted Uп it (DU) Base S tatioп a гchitec t1.1гe , tl1 e DU is гespon s iЫ e fo,· ge 11eгa ti11g tliё
coпtent ofboth tl1 e МIВ апd SIВ l. Tl1e DU fo1wa1·ds tl1 e MIB а пd S !В l to tl1 e CU L1 si11g tl1 e gNB-DU System I11fomюtio11 рапнлс ~ сr
s tп1 ctt1гe \Vl1ich сап Ь е iп c lнd ed w itl1iп e itl1 eг tl1e F l АР: 'F l Setllp Reqн es t ' ог f"1АР: 'gNB-DU Coпfigшation Update' messagc

* Tl1e МIВ апd SIВ l аге known as 'Miпimнm System Infoпnatioп' Ьесанsе tl1ey pюvide the basic parameteг set гeqL1iгed fo1· iпitial
access апd acqн iгing апу otl1eг System Iпfшmatioп. T l1 e М!В coпtains iпfoгmatioп whicl1 allo\vs а UE to Sllbseqнently гeceive SIB 1

* Tl1e coпtent of the М!В is pгesented iп ТаЫе 144 . T l1e ac ttia[ payload of tl1e М!В occ Ltpies 23 bits Ьнt an add itional I Ьit is гeqнi,·cd 10
iпdi ca te tl1e ВССН message type. Thнs, tl1 e МIВ геgнiгеs а total of24 bits

266
 5G NR in BULLETS

МIВ Nurnber orbits

systemFrameNumber В!Т STH.ING {6 Ьits} 6
subCarrierSpacingCommon scs !5or60, scs30or !20 1
ssb-SubcarrierOffs et О to 15 4
dmrs -TypeA- Pos itioп pos2 , роsЗ 1
pdccl1- Confi gSШ 1 coпtro!ResourceS et Zero 1 О to 15 4
searchSpaceZero 1 О to 15 4
cellBarred barred, п o tB arred 1
iпtra FreqRes e l ec tioп a l[o\ved, п otAllo\ved [

spare В!Т STR ING {1 Ьit } 1

Total о/23 Ьits

ТаЫ е 144 - Conteпt of th e Master lnfor· шation Вlock (МШ)

* sys/e111F1·ameNu111be1· prov ides tl1e 6 Most Significant Bits (М S В ) of the сште пt System Frame NнmЬ е г (SFN). The SFN н ses а total of
10 Ьit s to pгovide а range fro m О to 1023 (corresponding to а time ,vindow of 10.24 seconds). In c lн s i o n of the 6 MSB means that the
va lн e cl1anges о п се every 160 ms. The 4 Least Significant Bits (LSB) are also t гa n sfe rred н s in g the РВ СН Ьнt а ге added oнts id e the
МIВ (pгeseпte d l a teг i11 thi s sectioп)

* sub Cш1 ·ie1 ·Spaci11g C0 1111110 11

defines the subcarrie1· spacing to Ь е н sed fо г the reception of S IВ 1, other broadcast System Iпfo rm a tion ,
paging messages and tl1e M S G2/М S G4 t гa n sm itted dшin g j пiti a l access. The 'scs l 5or60' va lн e indicates а sub ca rгi e г s p ac iп g of 15
kHz ,vh e п the МIВ is гece ive d within F ге qн е псу Range 1 (450 МНz to 6 GHz), and а s ub ca пi e г spacing of 60 kHz when the МIВ is
received ,vithin F reqн e n cy Range 2 (24.25 GHz to 52.6 GHz). Simila1·ly, the 'scs3 0 o гl 2 0 ' va lн e indicates а stibca rri e г spacing of3 0
kHz fo1· F re qн e n cy R a п ge I and а sнb ca rri er s p ac iп g of 120 kHz fо г F гe qu e n cy Ra п ge 2
* ssb-s11 bca,тie1 0jfse1 defines the 4 Least Significant Bits oftl1e su b ca пi e г offse t ( k ss в) . In the case o f F гequ en cy Range 2, the subca п ie 1·
offset 1·eqt1i1·es а га п gе f1·om О to 11 а п d these 4 Ьits аге s н ffic i en t . In tl1e case of F ге qн еп су Range 1, the s ub ca пi e г offset гeqt1ires а
1·ange fгo m О to 23 so а 51h Ьit is геqнiгеd . This 5111Ьi t (the Most S ign ifi ca пt Bit) is also tгan sfeпed using the РВ С Н bt1t is added oн ts i de
tl1e МIВ (pгeseпted late1· in tl1is section). kss в d efi п es the s ub ca пi e 1· offset bet\veen the Common Reso шce Вl ock gг i d а пd tl1e
SS/PBCH. Examples of tl1is s t1b carт i eг offset а ге illн s t1·ate d in F i gшe 109 а пd F i gш·e 110 (section 2.3. 1). This highlights tl1e fact that
tl1e Re s oшce Blocks belonging to the РВСН а ге 110! always a li gп e d with the Physical Reso шce Blocks н se d !о tгansfeг i n fo пnation о п
the PDCCH а пd PDSCH. Howeve1· s нb c arтi e 1· a li gпm eпt is 111ai11tai11ed to ach ieve oгt lю go п a l ity betwee11 tl1e tгa 11 s m i ss i o 11 s
* Tl1e va ltre of kssв ,vl1icl1 is de1·ived f1·0111 ss b -s11b cc11тie1 -0,[fsel са п also Ь е н se d to iп d i ca t e w h e t l1 e г 01· п оt tl1e МIВ l1as а п associated
CORESET ,vhicl1 са п Ь е н sed Ьу tl1e PDCC H wl1e11 a ll oca t i п g PDSCH геs онгсеs fo1· S IВ 1:
о i п tl1e case ofFre q н e пcy Ra nge 1, kss в has а га п gе fгom О to 3 1, ,vl1ile va lн es О to 23 аге ге qнiге сl to s i gп a l the s нЬ са гг i е г offset
\vl1en а CORESET fо г SIВ I is p гes ent . This 111eans tl1at va lн es 24 to 3 1 are avai l a Ы e fо г o tl1e г pшp oses . 3GPP TS 38.2 13 pгov i des
а l ook- нp tа Ы е ,vhich is indexed Ьу va lн es 24 to 29. Each гоw ,v ithiп the look-t1p tа Ы е specifies а ra п ge of Global
Sy11c l1гo ni sa ti o11 Cl1an11el Nнmb e 1· (GSCN) offsets. Fо г example, va lн e 24 maps onto QSCN offsets of I to 256. Tl1is indicates tl1at
the1·e is a 110 tl1 eг SS/PBCH Block, and that SS/PBCH Block has а GSCN within the га п gе (сu пе пt GSCN + 1, с штепt GSCN +
256} . The UE са п tl1e11 complete а scan fo1· this addit io п a l SS/PBCH Block to acqнire SIВ 1. The kss в va lн e of 3 1 is н s ed to
i пd i cate that theгe is п о SS/PBCH Block witl1 ап associated CORESET fо г SIВ I withiп the ш пgе (сшгепt GSCN - Nfl~~t, сште пt
GSCN + NlJ/A} . co11t1·0/Reso111·ceSetZe1·0 de fiпes the va lн e of Nfl~ ~t, wheгeas seйl'cl1SpaceZe1·0 defin es the va lнe of N[l'tN
о iп the case о f F геqн е п су Ra п ge 2, kss в has а га п gе fгo m О to 15, while va lн es О ! о 11 а ге 1·e qнiгed to signal the s нЬ са пi е 1· offset
whe п а CORESET fо г S IВ I is pгese 11t . Tl1is 111eans that va lн es 12 to 15 а ге ava il a Ы e fог other pt1rposes. 3GPP TS 38.2 13 p юv id es
а l oo k -нp t а Ы е whicl1 is indexed Ь у values 12 and 13. У а lн е 12 maps о пtо GSCN offse ts of I to 256, wl1ile valt1e 13 maps о пtо
GSCN offsets of - 1 to -256. The UE са п th eп complete а scan fо г а п ad diti o п a l SS/PBCH Block witl1i11 the specified ra п ge of
GSCN offsets. The kss в va lн e of 15 is н sed to iпdi ca te that tl1 eгe is п о SS/PBCH Block with а п associated CORESET fо г S IВ 1
,vitl1 i11 tl1e 1·ange (сштепt GSCN - NJJ~~t , сштеп t GSCN + N[l'tN}. The va lнe cont1·0/Reso111·ceSetZe1·0 is нsed to de fiп e tl1e va lt1e
of Ngд~~t, wl1eгeas the valt1e of sea,·c/1SpaceZao is н sed to defi пe tl1e va lн e of N[l~dN
* d1111·s-TypeA-Posilio11 specifi es tl1e fi rst symbol н sed Ьу the Demodнl ati on Refe1·ence Sigп a l (DMRS) \Vl1e11 нs in g ' M app iпg Туре А ' .
This i11fo1mati on e leme п t is appli caЫ e to tl1e DMRS fo ,· both the PDSCH ап d PUSCH. Mappi пg Туре А is descг ib ed fо г the PDSCH
1vithi11 sect i oп 3.7.3 ап d fог the PUSCH ,vitl1i11 secti oп 7.5.1. The va lн e of ' d111гs-Typ eA-Pos i ti on ' is also t1 sed in co111Ьi nati o 11 witl1 the
'Time Domain Resoшce Assignment' fi eld !'eceived ,vitl1in Dowп lin k Соп tю t Infoг111ati oi1 (DCI). The co111Ьi nat io11 ofthese two
р а гат е t е гs is н se d to d i ffe гent i at e the set of ro\vs belonging to 3GPP s taпdaгd i s ed l ook- н p t a Ы es fо г time domain ,·еsо шс е a ll o catio п s .
Ап examp le based t1 po11 stand a гd i sed loop-t1p tаЫ е 'А' is pгeseпted i11 ТаЫ е 95 (sectio11 3.6.4 .1)

* cm1t1·0/Reso111·ceSe1Ze1·0 d e fiп es а poi11te1· to а го\v belo11gi11g to а look-t1p tаЫ е sta пd aгdi sed Ьу 3GPP TS 38.2 13. The l oo k-нp tаЫ е
inclt1des co ltinшs \Vhicl1 defin e tl1e SS/PBCH and CORES ET mt1 ltiplex ing patteгn , the пнmЬег ofResoшce Blocks be l oпgi n g to the
CORESET, tl1e п н mЬе1· of symbols be l o ngiп g to the CORESET апd tl1e fгeqt1ency domain offset bet\veen the SS/PBCH Block апd tl1e
CORESEТ. This l ook-нp tаЫ е is descгib ed in sect i oп 3.5 .3. As descгi bed above, co11t!'o/Reso111-ceSetZe1·0 has а diffe1·ent i n terpгetat i o11
1vl1en kssв l1as а valt1e of 3 1 i11 F1·eqt1e11cy Raпge 1, ап d а va lнe of 15 in Fгеq непсу Range 2
5G NR in BULLETS

* seal'cl1SpaceZe1·0 defines а pointer to а row belonging to а look-нp tаЫе standardised Ьу 3GPP TS 38.213. The look-нp tаЫ е inclt d
colшnns which define the time domain offset between the SS/PBCH Block and the Search Space for SIВ 1, the nнmber of Search ; es
Sets per Slot and the first symbol belonging to the Search Space Sets. This look-нp tаЫе is descгibed in section 3.5.3. As describe/acc
above, sea,·c/1SpaceZel'o has а di fferent interpretation when kssв has а valнe of 31 in Freqнency Range 1, and а valнe of 15 in
Freqнency Range 2

* cel/Bmтed indicates whether or not the cell is barred. А UE is not permitted to complete cell selection nor cell reselection onto а cell
which is barred, i.e. а UE cannot camp on the cell for normal services no1· emergency services. This restriction applies fOI' а period of
300 seconds after which the UE can re-check the МIВ to determine whether or not the cell remains barred

* i11tmF1·eqR"eselectio11 is applicaЫe when the ctшent cell is to Ье treated as barred. А valнe of 'notAllowed' indicates that the UE is 11 1
permitted to reselect another cell on the same freqнency. In contrast, а value of 'allowed' indicates that the UE is permitted to reselec~
another cell on the same freqнency

* Figшe 236 illнstrates the additional information added Ьу the Physical layer prior to processing the МIВ for transmission on the РВСН
An additional 8 bits are added so the РВСН has а combined payload size of32 bits ·

Master lnformation Block (MIB) RRCLayer

Additional lnformation
1.

Physical
Additionol lnformation
,-- -- ----- -- -- -- - ------ -{' ------- ------- --- ------ ---------- -------- -,
: FrequencyRanae 1 FrequencvRanqe 2 i
: [' - ~:i~~;:~~~~~~:~-:~-~:: )·---~~~~-i~~c-i,~~~~~x~- ;~-~~~-)-·-.1:
Half Frame lndex (1 Ьit)
: SFN (4 LSB) SFN (4 LSB) :
Lауег : Half Frame lndex Half Frame lndex : > 3 GHz
1 Subcarrier Offset (]- MSB) SS/PBCH Block lndex (3 MSB) 1 SS/PBCH Block lndex (3 Ьits)
'----------------------- -- --- ----·- 1··----------- -- --- -- -----------' ·-------------------------- -- --- ---------------- ---------------- -----
24 Ьits 1 8 Ьits 1 3 Ьits
'f 'f' +
~ - - - - - - - - P _ h _ vs_ic_a_l_La_v_e_rP_r_o_ce_s_si_ng_ __ _ _ _ _ _ ~I L
/ _ _ _ __ _ P_h_y s_ic_a_l L_a_v_
er_P_r_oc_e_s_
si_
ng_ __ __ __,

i t
РВСН DMRS for РВСН

Figш·e 236 - lnforшation t1·ansfe1тed Ьу tl1e РВСН апd DMRS for РВСН

* The add itional infoпnation added Ьу th e Pl1ysica l laye1· is a lso pгe se nte d in ТаЫе 145
* Tl1e 4 Least Sign i ficaпt Bits (LSB) oftl1 e System F1ш11е N11111be1· (SFN) аге н secl iп combination with tl, e 6 MSB oftl1e SFN iпc ltкic<i
within the М!В. The Least Signific a пt Bit changes еvе гу I О ms Ь еса н sе гa dio f1·ames have а d шa tioп of I О ms

* The Half F1ш11 е Iпdex is t1sed as а flag to iпdi cate wl1 e th eг tl1e SS/PBCH Block is transmitted dшing tl,e fiгs t 5 ms of а i-aclio Fга111с 01·
the second 5 ms of а гadio frame. Tl,is infoгmatioп allows tl1 e UE to achi eve гadio fгame syпchгonis a tioп afteг гec e i v iп g tl1e РВ С Н

* In the case ofFгeqнency Range 1, the Most Significant Bit ofthe sнbcarrieг offset (kssв) is added Ьу the Physical laye1·. Tl1is s iп g l e bit
is combined with the 4 Least Significant Bits pгovided Ьу tl1e М!В (generatiпg а total of 5 bits with а гапgе from О to 31)

РВ С Н Con1e11t generated Ьу Pl1ys ical layer N шпЬ е r· ofbits

Systeш Frame Nttmber BIT STRING {4 Ьits} 4
Half Frame lndex О, 1 1
CHOICE
F1·eq11e11cy Range 1 F1·eq11ency Range 2
3
1 MSB ofsнbcarrieг offset (kss в) 3 MSB ofSS/PBCH Block Lпd ex

2 reserved Ьit s
Total of 8 Ьits

Та Ые 145 - A dditioпal i11fo1·111atio11 added to tl1e РВСН Ь у tl1 e Physical Iaye1·

* Iп the case ofFгeqt1ency Raпge 2, th e 3 Most S i gn ifi caпt Bits of tl, e SS/PBCH Block Iпdex аге added Ьу the Physical l ауег. F r·eqнcнcy
Raпge 2 s нppOl'ts t1p to 64 SS/PBCH Blocks ,vitl1in а single bшst, i. e. t1p to 64 SS/PBCH beams. Indexiпg all 64 SS/PBCH Blocks
геqнiгеs 6 bits. Tl,e 1·ema iпiп g 3 bits а 1·е tгa п sfe 1тed Ьу tl, e DMRS fог tl,e РВСН. Fгечнс 11 су R ::ш ge I st1ppoгts а max imu111 of 8 .
SS/PBCH B locks witl1i11 а s iп g l e bшs t so tl,e 3 bits t1·aпsfeпed Ьу tl1 e DMRS а ге sнffi ci ent. SS/PBCH Block Indices а ге pгese11t cd 111
sec tioп 3.4 (F i g шe 144 )

* ТаЫ е 146 p1·eseпts addition al iпfoгma tioп whi cl, са п Ье dedн ced fгom tl,e РВСН Den10clt1l at io11 Refe1·eп ce Signal (OMRS). Tfii s
in foгmat i on is н sed to iпiti a li se the pseнdo гапdоm sеqнепсе ,vl1i cl1 popнl ates tl, e DMRS Resoшce E l emeпts. Tl1e set of 3 Ьits caii
gепегаtе 8 diffe1·ent seqнeпces. А UE сап н sе Ыiпd detect i oп to ideпti fy wl1i cl1 seqн en ce !1as Ьееп geпeгa ted fог tl1 e DMRS а пd tlttlS
dedнce the set of3 Ьits. Blind d etectioп is гe lative l y demandin g in teпn s ofUE pгocess iпg beca t1 se it can геqнiге tl,e UE to co rтc l atc
eacl, of the 8 sequences witl1 the DMRS

268
 5G NR in BULLETS

C HO ICE

Fгequency Range J .5' 3 GHz F1·eq11e11cy Range J > 3 GHz Fгequency Range 2
SS/PBCH Block lпdex (2 bits) SS/PBCH Block Iпdex (3 Ьits) SS/PBCH Block lпdex (3 LSB)
HalfFrame Iпd ex (1 Ьit)
Total of 3 Ьits
Note: the tl1resl10ld of3 GHz is replaced Ьу а threshold of2.4 GHz for ;ome cases. See ТаЫе 56 (sectioп 3.4)

ТаЫе 146 - l11foгm a tion ,vhiclr сап Ье deduced f1·om the pseudo-гa11dom sеqнепсе belo11gi11g to the РВСН DMRS

* Operating bands below 3 GHz sнpp ort нр to 4 SS/PBCH Blocks within а single bшst . lndexi ng these 4 SS/PBCH r·eqнires 2 bits of
information. The third Ьi t is н se d to indicate th e HalfFrame Index \vhich is also transferred w ithin the РВСН payload
* Operating bands within Fr·eqнency Range I above 3 GHz s trpp o гt нр to 8 SS/PBCH Вlocks \Vithin а single bшst. Indexing these 8
SSIPBCH reqнiгes 3 Ьits of information
* Operating bands within Fгeqнency Range 2 sнpport нр to 64 SS/PBCH Blocks within а single bшs t . Indexing these 64 SS/PBCH
reqнires 6 Ьits ofinformation. 3 Ьits сап Ье d e dн ced from tl1e DMRS, while the гemaining 3 Ьit s are tгansfeпed within the РВ С Н
payload
* ЗGРР Refer·ences: TS 38. 2 11 , TS 38.212, TS 38.331

6.2 SYSTEM INFORМATION BLOCK 1

* System Infoг mation Block 1 (SIВI) is tгa nsmitted нsing the ВССН logical chann el, the DL-SCH tгansport channel and the PDSCH
physical channel . It contains infoгmation which allows а UE to determine wl1 etheг or· not it is peгmitted to access th e cell. SIВ 1 also
provides sc h edнling infoгm a tion for all remaining SIВ and some radio resoшce co nfigшation information, e.g. timer·s and constants
* The МIВ and SIВ I are known as ' Minimнm System Infoгmation ' Ьесанs е they pгovide the basic par·a meteг set re qt1iгed fог initial
access and acq нirin g any other System Infoг mation . SIВ 1 is also known as ' Remaining Minimнm System Infoгmation ' (RМSI) which
сап Ье гeceived afteг decoding the content oftl1e МIВ оп th e РВСН

* In the case of cells b e loп g iп g to tl1e EN-DC Non -Stand alone Base Station a гcl1itect11Гe, it is поt necessary to bгoadcast SIВ 1. Tl1is is
Ьеса н sе tl1e in iti al access ргосе dше нs es а 4G cell rather tlшn а 5G cell . Dedicated signalling сап Ь е нsed to pl'Ovide tl1e UE ,vitl1 a ll of
the гe l ev ant confi g нrati o n infoгm a tion овс е tl1 e UE has c onпected to the 4G cell
* PDSCH гesol\Гc es fог S IВ I а ге allocated н s iп g а PDCCH DCI Format 1_0 tr·ansmission \Vithin а ' Тур е О' Commoп Search Space Set.
Tl1is Seaгc l1 Space Set and its associated CORESET а ге confi gL1Гed Ь у the МГВ . Sect ioп 3.5 .3 de s cгibes the Sea гc h Space Set for· SIВ 1
* Wh eп н s iп g
tl1e SS/PBCH Block апd CORESET multipl ex iп g patterп 1, tl1 e гepetition period fог SГВ I is 20 ms. Mнltiplex in g pattem 1
is always used Ьу oper·atin g band s within Fгeqнency Ran ge 1. Ope1·ating bands withiп Fгеqнепсу Range 2 сап use mнltiplex in g
pattems 1, 2 01· 3. In the case of Multiplexing pattems 2 and 3, S IВ I l1as а repetition period. whi cl1 eqнal s the гep etition period oftl1e
SS/PBCH Block (SS/PBCH Block and CORESET mнltipl ex in g pattems аге d esc гibed in sectio п 3.5.3)
* In tl1e case of the Centгalised Unit (CU) - Di s tгibнt e d Unit (DU) Base Station a гchitectllre, the DU is r·es pon s iЫ e fог ge neratiп g tl1 e
content of botl1 the МIВ and SIВ 1. The DU forwar·ds tl1e MIB and SIВ I to tl1e CU н s ing the gNB-DU System !11/on11atio11 p a r·a m e teг
s t11.1c tшe ,vhich сап Ь е in c lнd ed \vithin eitheг the F !АР : 'F I Se tнp Reqн est ' ог F 1АР: 'gNB-DU Co nfi gшati o n Update' message

* The content ofSIВ 1 is p1·esented in ТаЫе 147 . q-Rx LevMin defines the minimнm RSRP fог cell selection and reselection. The actнa l
valнe of Q1~ \'le11J11i11 is 2 х the signa lled va lн e. This means th at th e ac tнal va lн e has а step size of2 dBm. The RSRP for cell selection
and гese l ectio n is me as11Гed fl'Om the Secondary Synchгonisation Signal
* q-RxLe11MinO./fset is appli caЫ e to UE whicl1 ar·e completing peгiodic seaгches fог а higher pгi o гi ty PLМN \Vl1ile camped оп а Visited
PLМN. The offset is added to the valнe of Qn!e,,min to in cгease the minimнm RSRP reqнiгe men t

* q-RxLe11Mi11SUL is t1sed instead of q-RxLevMin ifthe UE st1ppo1·ts а St1ppleme11tal Uplink (SUL) fог this cell. The link bнdget fог tl1e
Sнpplemeпtal Upliпk is li ke ly to Ь е diffeгe nt \Vheп co mp a гed to the Normal Up liпk (NUL). This meaпs tlшt it migl1t Ье a ppl'Opгi ate to
coпfigшe а differ·eпt Qгxlevmiп. Fог exampl e, а Sнpplemeпtal Up liпk iп а lo\ver· oper·ating Ьапd may pгovide an impгoved uplin k link
bнd ge t so tl1e va lн e of Qгxl e vmiп cot1ld Ь е геdнсе d if coveгage is нplink limited

* r1-Q11a!Mi11 defi nes the mininшm RSRQ fог ce ll se l ecti o п апd гese lection . T l1is i11fo1mation element is optiona l and ex c lнd ing it fют
SГВ I mean s tl1 at th e UE applies а defat1lt va lt1e of minн s iпfiпi ty, i.e. tl1e RSRQ cl1 eck is always passed. The RSRQ is 111eas L1Гed fюm
the Seco nd aгy Syn chгoпi sa ti on Signa l
* q-Q11a/Mi110.lfset is app li caЫ e to UE wl1icl1 а ге comp l etiпg peгiod ic searcl1es fог а l1i gher pгio1· ity PLМN \Vl1ile cainped 011 а V is ited
PLМN . T l1e offset is added to tl1e va lн e of Qц11a/111i11 to iпсгеа sе tl1e miпimшn RSRQ гeqнi1·em e11t

* cel/AccessRe/atecll11fo allows mt1 lti pl e PLМN ldeпtiti es to Ье li sted (eacl1 PLМN Id eпtity is de fiп ed Ьу its MoЬi l e Cot111t1y Code
(М СС) апd MoЬi l e Net\voгk Code (МNС)) . Eacl1 PLМN ld eпtity l1as ап associated T1·acki11g Агеа Code (ТАС) , RAN Агеа Code
(RANAC), Cell Ideпtity апd flag to iпdicate w l1 etl1 eг or· not the cell is reseгv ed fог op eratoг н sе

269
5G NR in BULLETS

S/8 / -
cellSeleclionlnfo q-RxLevMin -70 lo - 22 dBm (actual value = signalled value х 2) -
q-RxLevMinOffsel 1 lo 8 dВ (actual value = signalled valнe х 2) -
q-RxLevMinSUL -70 to - 22 dBm (aclн a l valнe = signalled value х 2) -
q-QнalMin -43 to -12 dВ

q-QнalМinOffset 1 lo 8
cellAccessRelatedlnfo 1 lo 12 instances of 110 12 inslances of PLМN-Ideпlity тсс 1 SEQUENCE {3 digils}
" PLМN-Ideпlitylnfo
Пll\C 1 SEQUENCE {2 or 3 digits}
-
trackingAreaCode В!Т STRING {24 bils}
rапас О to 255
ceШdeпtity В!Т STRING {36 Ьils }

cellReservedForOperalorUse Reserved, nolReserved

cellReservedForOll1erUse trtte
connEslFailнreC011trol co1111EstFailCou111 1, 2, 3, 4
c01шEslFailOffselValidity 30,60, 120,240, 300, 420,600,900seconds
coппEslFa i\Offsel О 10 15
s i-Schedнliпglпfo see ТаЬ\е 148
servi11gCellC011figCommo11 see ТаЬ\е 151
ims-Emerge11cySupport tп1е

eC a l\Over\МS-Support tr11e
t1e-TimerAndConsla111s !300 100,200,300,400,600, 1000, 1500, 2000 ms
1301 100, 200, 300, 400, 600, 1000, 1500, 2000ms
1310 О, 50, 100, 200, 500, 1ООО , 2000 ms
11310 1,2, 3, 4, 6,8, 10, 20
13 11 1ООО , 3000, 5000, 1О ООО , 15 ООО, 20 ООО, 30 ООО 111s
11311 1, 2, 3, 4, 5, 6, 8, 1О
1319 100, 200, 300, 400, 600, 1ООО , 1500, 2000 111s
нa c-Barrin g lпfo see Та Ь\ е 152
нse FнllRes нme[D trнe

ТаЬ\е 147 - Coпtent of Sy s teш Iпfo1· шation Blocl< 1 (S IВI)

* tmckingA"eaCoc/e has а length of 24 bits pl'Oviding а гап gе fl'Otn О to 16 777 2 15. In c ontгas t, 4G tises Tгa c kin g AJ·ea Codes \vl1icl1
have а lengtl1 of 16 bits pl'Oviding а 1·ange froin О to 65 53 5. This higl1lights that 5G allows g1·e ate г fl exibility апd scope fo1· pla1111i11i;
la1·ge nuinbeгs ofTгa ckin g AJ·eas
* l'a11ac defiп es the RAN Area Code whicl1 сап Ье used when confi g шing а RAN Notificatioп Аге а fог the RRC Iпactiv e state, i.c. а
RAN Notification AJ·ea сап Ье definecl as а set of 'PLМN Identity/T1·acking Агеа Code/RAN AJ·ea Code' coinbinatioп s. А UE i,, tl,c
RRC Inactive State сап геаd the content of SШ I when гeselecting а new cell to deteпniп e wl1eth eг ог поt the UE has 1·e111a iп ed \Vitlii 11
tl1e saine RAN Notification AJ·ea, ог the UE has cl1anged RAN Notification Аге а and п ee ds to t,·igge г an update рго се dше
* ce/lldenlily is used to uniquely identify а cell withiп the PLМN . Tl1e coinbination of PLМN Identity апd celllcle11tily ge11 cп1tes tlic Nciv
Radio Cell Global Identity (NCGI). Tl1e cel/Jclentity l1as а lengtl1 of 36 bits whicl1 аге н sed to ideпtify both tl1e Base Statio11 ai1cl tlic
cell . The Base Station Identity са п occt1py betweeп 22 and 32 bits, l eaviпg between 14 а пd 4 bits to id e пtify the cell witl1i11 tl1e Basc
Statioп . Allo catiп g а п in cгeased ш11nЬ ег ofbits fo1· the Base Statio11 Ideпtity allows тоге Base S tatioп s to Ь е deployed witl1i1 1 tli c
PLМN but 1·educes the 1111111Ь е г of cells \vhich са п Ь е c onfi g шed at each Base Station

* 4G uses cell id eпtiti es wl1icl1 l1ave а length of 28 Ьits 1·ath eг th aп 36 Ьits . The coinplete set of28 Ьits са п Ье ttsed to i cl e п t i fy tlic Basc
Station wl1e11 deploying а Ноте eNode В witl1 а s iпgle cell . Otl1eг\vise, tl1e Base Station Identity сап occupy 18, 20 ог 2 1 bits li·o 111 tl ic
set of28 Ьits . These figшes illllst1·ate that 5G п en-voгks are аЫ е to suppo гt in cгeascd 11ш11Ьегs ofBase S tatioп s а пd cell s
* Tl1e celllcleпtity also pгovides ап alteгпative so lt1tioп fo1· defiпi11g RAN Notificatioп AJ·eas, i.e. а RAN Notificati oп Arc:1 са п Ьс_ dcli l1ctl
as а set of ' PLМN Id eпtity/Ce ll I deпtity' coinЬiп ati oп s . Iп this case, the RAN No tificati o п AJ·ea са п iпclнd e нр to 32 cells \\'itli lll а
specific P LМN
* The stп.1ctшe of SIВ I illнst1·ates that пшltiple ce/llcleпtity valнes апd 111нltiple /J'acki11gA 1·eaCoc/e va lнes сап Ье li sted. Tl1i s appmaclt
provides additional fl ex iЬili ty fог п en-vo гk sl1aгing deployinent sceп a 1·ios . It 1nea11 s tliat eacl1 ор е1·аtог sh a riпg а cell са п рl ап its О\1' 11
Tгa ckiп g Area Codes (Т АС ) апd its оwп cell identities. Tl1is helps to iniпiini se tl1e c o - oгdin a tioп ге qнiге d b etwee п opc1·atoi·s

270
 5G NR in BULLETS

* ce//Resen1ec/F01·Ope1·a101·Use indicates whetl1eг ог not th e cell is гese1-v ed s нch that only UE wl1ich have Access Identities 11 or 15, and
are camped оп their Home PLМN ог ап Eqнivaleпt Home PLМN аге pe1mitted access to the cell. Access Id eп ti ty 11 is mapp ed directly
from Access Class 11 а пd is iпtend ed for ' PLМN Use ' . Simila,·ly, Access ldeпtity 15 is mapped diгectly from Access C lass 15 ап d is
inteпded fог 'PLМN Staff. UE with other Access ld eпt iti es tгeat the cell as Ьапеd . Uпified Access Contгol is described iп sec ti o п 1. 11

* ce//Resen1edF01·O1l1e1·Use does поt have а speci fi c purpose \Vithiп the release IS versioп ofthe ЗGРР s p ec ificatioп s Ьнt has been
iritrodн ced to provide foгward compatibility with services which may Ь е iпtrodнced iп th e futшe. Ifthis flag is set to ' tгне ' th e п all UE
treat 1l1e cell as barred, i.e. il has the same impact as the се//Ва, теd fl ag withiп the МIВ . The exampl e of Closed Sнbscriber Groнp
(CSG) cells сап Ье нsed to illнstra te how this fl ag provides fonvard compatibility. The release 15 vers ioп ofthe ЗGРР specificalioпs
does поt support CSG cells for N ew Radio. I f the гelease 16 veгsioп of lhe speci ficalioпs iпlгodнces sнpport for CSG cells lhen а
release 16 UE w ill нnders taпd the rul es for accessing а CSG cell (only sнbsc rib ers belonging to lhe closed s нЬsсгiЬ ег group а ге
permitted to access lhe cell). Release 15 UE w ill nol have any knowledge of lhese n1les but lhe cel/Rese1·11edF01·O1J1e1·Use fl ag сап Ье
н sed to ensure that а release 15 UE does 1101 attempt to access lhe CSG cell

* The co1111Es1Fai/u,-eCon11·0/ parameter set is used to manage UE which experience гepeated failшes when attemptiпg to eslaЬlish an
RRC conпectioп. А UE sla11s timer ТЗОО after sending an RRCSelupRequesl message. The conneclion es t aЫishme nl attempl fails if
ТЗОО expiгes before lhe UE receives а гesponse from lhe Base Station. The UE cotmls lhe number oflimes lhal ТЗОО expires after
coпsecн tive co1111ection estaЫishm e nl atlempls оп а specific cell. Ifthis counter гeaches lhe valнe of co1111Es1Fai/Co11111 lhen а limeг is
starled wilh а cluralion defined Ьу co1111Es1Fai/Ojfse1Validi1y. While this limer is гunning, the UE sublтacls the value of
connEs1Fai/Ojfset fiom its RS RP and RSRQ measurements fo1· lhe cell it is attempting to access. This makes lhe cell appear less
attraclive and mоге likely to fail the cell selection criteria. The offset is also appli ed to nei gh boнring intra-frequency cells and inter-
freqнency cells with equal priority. А UE is permilted to ignoгe lhe offset ifthe UE cannot find an alternative cell afteг beiп g foгced to
leave the current cell dне lo ll1e offset causing the cell seleclion criteria to fail

* ims-Eтe,-ge11cySupp01·1 iпdicates whether or nol lhe cell supports IМS e mergeпcy se гvices fог UE which аге in limited seгvice mode.
Limited seгvice mode meaпs that th e UE is camped оп ап 'ассер lа Ы е' cell ratheг than а 'sнilaЬle' cell. Both 'ассе рlаЫе ' and 'sнilaЬle'
cells reqнire the cell selection criteria to Ь е fulfill ed

* eCal/O\le1·IMS-Supp01·1 indicales whether or not lhe cell supports emergency calls оvег IMS . А UE which is iп limited seгv ice mode
l1 as 10 check both the ims-Eme,-ge11cySupp01·1 and eCa/lO\leгIMS-Supp o 1 ·1 flags
* 1300 is slarled after sending an RRCSelupRequesl message. 1300 is slopped if the UE гeceives а п RRCSelup ог RR CRej ecl message, ог
if tl1e UE comp letes а cell rese leclion, ог iftl1e hi gh eг l ayeгs decide to abort the conпection esta Ыi s hme пl attempt. The corшection
cs t aЫ i shment attempt fai ls if 1300 expires

* 130/ is staгte d afteг s e ndiп g а п RR CR ees1aЬ/isl1111e111Reques l message. 1301 is slopped iftl1e UE гeceives ап RRCR ees1aЬ/is/1111 e111 ог
RRCSelup message, ог if tl1 e selected ce ll becomes ' tm s нi t a Ы e' . Tl1e UE moves to RRC IDLE mode if 1301 ex piгes
* 13/0 is staited a fte г гec e i v iп g 11310 coп s eculive ' oнt- of-sync ' indi cations fгom tl1e Physical laye1· oftl1e pгima1-y se1·vi11g ce ll beloп g iп g
to either th e Master Cell Gго11р (МСG) ог Secondary Cell Gгонр (SCG). 131О is stopped if tl1 e UE гeceiv es 11311 coпsecн l i ve ' iп - sу пс '
iпdicat i oп s from the Pl1ysical laye 1·. Radio Li п k Fa ilнre (RLF) is detected if 1310 exp iгes fог the p1·ima1-y se1-ving cell belongiп g to tl1e
MCG. If s ecшity has 1101 yet Ье еп activaled, tl1e UE moves to RRC IDLE mode. Olherwise, tl1e UE iniliates the RRC Со пп есtiоп Re-
estaЫishment р1·осеdше. If 1310 expires for the primary seгv iпg cell belonging to the SCG, the UE infoпn s the MCG н s in g the RRC :
SCGFai/u,-el11fon11alio11NR message (assнming th e SCG is New Radio)
* 13 11 is staгted afte,· initiating lhe RRC Conп ect i o n Re-estaЫi s hmeп t pюcedure . 13 11 is stopped ifthe UE m aпages lo select а sнita Ы e
Ne\\' Radio cel l. The UE is then аЫе to initiate th e tгa п sm i ssioп ofthe RRCRees1aЬ/ish111enlRec1ues1 message. 1311 is also stopped ifthe
UE manages to select а sнitaЫe cell beloпgiпg to anolheг Radio Access Techпology. Howeve,·, iп this case the UE does not attempt to
traпsmil tl1e RRCR ees laЬ/is/1111 e11 IR eцuesl message. А UE moves to RRC ШLЕ if 1311 expires

* 1319 is started afteг sending ап RRCResumeRequesl or RRCResumeRequesll message. 1319 is stopped ifthe UE гeceives а п
RRCResшne, RRCSelup, RRCRelease ог RRCRejecl message, or iftl1e UE completes а cell гeselectioп, ог ifthe hi gh eг l ayeгs decide to
аЬогt the геsнmе conneclion attempt. А UE moves to RRC IDLE if 1319 ex piгes

* 11seFu/fRes11111elD represeпts а fl ag whi ch is appli caЫ e to UE iп the RRC Inacti ve slate . А UE нses tl1is flag to deteгmine wl1etheг it

sl1011 ld н sе lhe RRCResшneRequesl ог the RRCResшneRequesl 1 message \Vhen гeqнesting а tгan si tioп back to RRC Co пnected mode.
RR CResumeReцuesl iпc lнdes th e shoгt I-RNТI so it is а гelatively small message which offers good coveгage регfогmапсе.
RRCResшneRequesl 1 i11clt1des the fнll I-RNТI so it is а l опgег message \Vitl1 mоге гestricted coveшge (tl1ese messages саппоl Ье
segmeпled Ь е санsе lhey аге lraпsmitted as MSGЗ dшiпg tl1 e гапdоm access ргосеdше)

* ТаЫе 148 pгeseпts the si-Scheclulingln(o рагаmеtег set beloпging to SIВ 1. sc/1ecluli11gl11f0Lis1 specifies the set of SIB wh icl1 аге
avai l aЫe fог tгansmiss i oп Ьу th e seгv in g cell . Eacl1 SIВ is assoc iated w ilh ап in staп ce of si-B,·oadcaslSlatus whi ch iп d i cates wl1el l1eг
tlie SIB is bгoadcast н s iп g а 1·еgн lаг peгiodic раttегп , ог гeqt1iгes tl1e UE to гeqнest tгaп smi ss i oп t1 si11 g the ' 011-demaпd ' ргосеdше
* si-Pe1·ioc/icity cle fiпes the peгiod betweeп SТВ t1·ш1smission s, апd is нsed as ап i11pt1t \vl1 en cal cнl atiпg tl1 e specific гad i o f1·ames clшi пg
1vl1i cl1 tl1 e Base S tat i oп wil l tr·ansmit а S IВ

* ,,afueTa,g is ап iпtegeг valнe \Vhich is t1 sed to iпdicate tl1at tl1e сопtепt of а specific SIВ has cl1 a11ged, апd th at th e UE shot1ld 1·е-асqнi ге
tli e SIВ. The 11alueTag is iпcгemeпted iftl1e conleпt oftl1e S IВ is c haпged . Tl1is so lнtioп allows the UE to identify cl1 a11ges to tl1e sel of
SIB 1vitl1011t l1 av i11 g to decode апd cl1eck eacl1 i11d ividt1a l t1·a11smissio11. Тl1еге ш·е some exceptioпs \Vl1ich all o1v S IВ content to Ье
rnodified 1vithot1t incгementiпg the 11a!ueTag . Fог exampl e, tl1e timing infoпnatioп wi1l1in SIВ9 сап Ье 11pdated will10L1t impa ctiп g tl1 e
11alueTag

271
5G NR in BULLETS

* aJ'eaScope is app l icaЫ e when а UE has already acqu i_гed one ofmore SIВ and has stored those SIВ for futшe reference. If m·eaS .
excluded then the SIВ has а scope ofthe serving cell. This means the UE must re-acquire that SIВ when moving to а neighboщ-jiope ts
In this case, the UE uses the combination of PLМN identity, cell identity and valueTag to determine when the SIВ needs to Ье re-g ccll .
acqttired, i.e. the SIВ needs to Ье re-acquired if any of those three variaЫes change. If m·eaScope is included then the SIВ has а sc
of а 'System Infoгmation Area' . This means that the UE only needs to re-acqui1·e the SIВ when moving outside the cuпent 'Syste орс
Information Area', i.e. the same SIВ content сап Ье applied across а groнp of cells. The 'System Information Area ' is ideпtified н;
the systeml11foпnatio11A1·ea/D (shown at the base оfТаЫе 148). In this case, the UE uses the combination of PLМN identity, Systet пg
Information Area identity and 11a/11eTag to deteгmine when the SIВ needs to Ье re-acquired 111

~
si-Sc/1ed11/i11gl11fo
scheduliпg!nfoLi st 1 to 32 instances of si-BroadcastStatus broadcasting, notBroadcasting
Schedu ling!nfo
si-Periodicity 8, 16, 32, 64, 128, 256, 5 12 radio frames
sib-Mapping!nfo 1 to 32 type SIВ 2, 3, 4, 5, 6, 7,
instances of 8,9
SIВ-Type!nfo
valueTag О to 3 1
areaScope tnie
si -W iпdo\vLeпgth 5, 10, 20, 40, 80, 160,320,640, 1280 slots
si-ReqнestCoпfig racl1 - OccasioпsSI racl1-CoпfigS! pracl1-Coпfigнration!ndex О to 255
msgl-FDM 1, 2, 4, 8
1

msg 1-FreqнeпcyStart О to 274

'
1 zeroCorrel atioпZoпeCoпfig О о 15
preambleReceivedTargetPo\ver -202 to -60
preamЫeTraпsMax 3, 4, 5, 6, 7, 8, 1О ,
20, 50, 100, 200
po\verRampiogStep О, 2, 4, 6 dB
ra- Respoп seWi п do\v 1, 2, 4, 8, 1о , 20,
40, 80 slots
ssb-perRACH- oneEigl1tl1, oнeFoнrth , oneHa lf, 011е, t,vo, fош, eigllt ,
Occasioп sixteen
si-Reqt1estPeriod 1, 2, 4, 6, 8, 10, 12, 16
si- 1 to 32 i п st a пces of ra-Preamb l eS ta rtlпdex О to 63
ReqнestResoшces S1-
ra-Associatio11Period!11dex О to 15
Reqнes tRes oшc es
ra-ssb-OccasioпMa sklпdex О to 15
si-ReqнestCoпfigSUL same parameter stnicture as нsed for si-Reques!Conjig
system!пforrпatioпArea!D В!Т STRfNG (24 bits)

Та Ы е 148 -si-Sc/1er/11li11g/11fo pa1·amete1· set

* si-Wi11doи1L e11gth defines the dura tio п ofthe time w indow dшing whicl1 а SIВ wi ll Ье scheduled for t1·ansm ission. А s iп g l e va lн e is
applied to all SIВ . T he tt·ansmission time window for each SIВ occuгs once рег SI peгiod (defined Ьу si-Pe,·iodicity ). F i gшe 237
i llu stгates an example ofthe SIВ tгansmission w indO\VS for а set of3 SIВ . W ithin each window, а UE checks for PDCCH
tгa n smissions usiпg th e S I-RNТI . The se1·11i11gCel!Co11jigC0111mo11 section of SIВ I pгovides the UE with infoгmation гegaгdi11 g tl1e
CORESET and Seaгch Space Sets to Ье checked fог PDCCH tгa n smissions (the CORESET and Searcl1 Space Sets define tl1 e Resoшc e
Blocks and symbols where the PDCCH may Ье t гansmitted)

* si-RequestConjig is included within SIВ l if the B ase Station sttpports ' On-demaпd ' S IВ гeq нes ts нs i ng MSG l , i.e. the гесерtiоп of· а
specific PRACH preamЫe serves as а гeqнest fог а specifi c SIВ, ог а specific set of SIB . T l1is гeq uiгes at leas t one SIВ to l1 ave si-
B,·oaclcastStatus set to 'notBгoadcasting'. If si-Req11estC011fig is exc l нded апd at least one S IВ has si-B1·oadcastStatus set to
' пotBгoadcas t i n g', then ' On-demand ' SIВ reqttests а ге based ttpoп MSG3 tгaп s mis s ion s, i.e. tl1 e RRCSyste111!11[0Rec111est message.
Figuгe 235 illн s tгa tes th e use ofMSG l а пd MSGЗ fог ' Oп-demaпd' S IВ гequests

* mc/1-ConfigSI defines the PRACH coпfigшatioп to Ье used fог MSG l 'O n -demaпd ' System Iпfoгmatioп гeqнes ts . The comb iп a ti oп of·
p1·acl1 -Co1?fig 11mtio11l11clex, msgl -FDM а пd 111sg2-Fгe(fи encyStm·t d efiп e tl1 e time domain ancl fгеqне11 су dom ain p os iti oпs of tl1e
P RACH occas i oп s . T l1 e coпfigшa t i oп iп dex also cleteгmiп es tl1 e PRACH Fo гmat to Ье н sed fог MSG 1. msgl- FDM cle f111 es the 11ttt11l)ci·
of PRACH occas ions wh ic \1 аге mttltiplexed iп tl1e f,·equeп cy domai11 , w l1il e 111sg l -F1 ·eц11e11cyStaJ'l specifies the fiгst Resoшce Block
b el o п g iпg to the fiгs t of tl1 e f1·еqне п су mttltip lexed PRACH occas i oпs. ze1·0Con elatio11Zo11eC011fig deteп11iпes tl1 e пнmЬе1· of PRACH
p1·eamЫ es wl1icl1 сап Ь е ge п eгated fгom еас\1 гооt seqtt eпce . Tl1e гооt sеqн епсе itself is по t coпfigшed \vitl1iп tl1i s рагt of SIВ I bttt is
iп c lнd e d w itl1in Se1·vi11gCel!Co1?figC0111111011

272
 5G NR in BULLETS

Schedu/ing lnfo List Radio Frame Slot Ехатр/е based ироп 15 kHz subcarrier
spacing so 1О slots рег radio frame
Entry 1
Periodicity =8 х= О SFN mod 8 =О slot =О Window = 10 slots
S/B 2
Entry 2 N = slots рег radio frame = 1О
о Periodicity =8 х =10 SFN mod 8 =1 slot =О
SIB З х = (Entry питЬег - 1) х Window

Entry З Radio Frame when,

о Periodicity =16 х =20 SFN mod 16= 2 slot =О SFN mod Period = Floor(x/N)
S/8 4
Slot =xmod N

::_ 1.....--'-----'--------'----'----L.-L__--'---'-1_:_
FЧ...1.I_ __,___c_._ L__.._L____,__ _.__~ ~ .,____..___,_ _.______._____,
SFN О 2 З 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

Figure 237 - Ехашрlе tiшing of transшission ,vindo,vs for а set of Sm

* pi 'ea111ЫeR ecei11edTm 'getPoи1e1· is used ,vithin the open loop power contюl calculation fог each PRACH preamЫe t1·ansmission , This
parameter w ill impact the UE traпsmit роwег, uplink iпteгfe1·ence levels and the пнmЬеr ofp1·eamЫes reqнired f01· sнccessful гесерtiоп.
pi'eamЬ!e Тl'йl1sMax defiпes the maximнm пнmЬеr ofpreamЫes which сап Ье used dшing а specific PRACH procedшe, while
po111e1·Rampi11gStep defiпes the iпсгеаsе iп tгaпsmit роwег betweeп sнccessive PRACH preamЫe tгaпsmissioпs . The m-
Respo11se Wi11doи1 d e fiпes tl1e пнmЬеr of slots that tl1e UE waits for 1·eceptio11 ofMSG2 Ьеfоге sending апоthег PRACH ргеаmЫе

* 11нmЬе1· ofSS/PBCH Blocks associated with each PRACH occasion. This eqнates to the nнmЬег of
ssb-pe,,RACH-Occasion defines the
beams associated with each PRACH occasion , Ifmoгe tlшn one SS/PBCH Block is associated with eacl1 PRACH occasion, the set of
64 PRACH ргеаmЫеs beloпging to each occasioп are shaгed between beams. 1f less than one SS/PBCH Block is associated with each
PRACH occasion, each beam uses mнltiple sets of 64 PRACH preamЫes

* si-Req11estPe1·iocl determines the peгiod between PRACH resoшces нsed for 'Oп-demand' System Infoгmatioп 1·eqt1ests. Tl1e Reqнest
Peгiod is specified in teгms of 'Association Periods' . А single 'Associatioп Peгiod ' is а time window wl1ich allows each SS/PBCH
Block to l1ave access to at least one PRACH occasioп

* s i-R equestR esouгces defiп es the specific MSG I ге s ошсе s associated with eacl1 ' On - d e maпd ' SIВ. Iftheгe is опlу а sing le entr·y withiп
tl1e list, theп that entгy is нsed to гeqнest all ' On-demand ' SIВ. Othenvise, theгe is а sepaгate entry fo1· each SIВ

* 1·a-P1·ea111ЫeStm ·t/11clex specifies tl1 e fiгs t PRAC H ргеа mЫ е allocated to гeqн es t tl1e ' On - d em a пd ' S IВ. Jfnшltipl e SS/PBCH Blocks
sl1a1·e tl1e same PRACH occasion , tl1e11 mtrltiple co nsectrti ve PRAC H р1·еа 111Ы еs \Vill Ь е allocated. 1·a-Associatio11Pe1·ioc/I11clex specifies
tl1 e 'Assoc i a tioп P e гiod ' \Vitl1in the si-Req11estPe1·iocl that the PRACH рге а111Ы е са п Ь е tгa 11 s 111itte d. m -ssb-Occasio11Maskl11clex
d e te 1·111iп es tl1 e set of PRACH occasions wl1icl1 аге ava ilaЫ e fог н sе

* ТаЫ е 149 pгesents the fi1·st part oftl1e Seп1i11gCel/C011figC0111111011SZВ pai·ameteг set. Тl1is fiгs r part iпclнdes do11111/i11kConfigC0111111011
* .fi'eq11e11cyBa11dList is t1sed withiп the context of ' Mнltiple Fгeqнency Baпds', which refers to operating
baпds \Vhich oveгlap , i.e. а
specific сапiег freqнency сап beloпg to mнltiple operating bands. Tl1e configшation of ' M1,1ltiple Fгеqнепсу Bands ' allows а UE to нsе
an operating band which is not пormally sнppoгted Ьу the UE. Fш example, а UE t1sed withiп its home coнntry may sнррогt opeгating
band ' Ноте ' . That UE may roam into а diffeгent соtшtгу wl1ich offers seгvices нsing operatiп g band ' Roam'. The UE may not
noгmally suppoгt opeгating band ' Roam' , Howeveг, if opeгating band 'Roam ' oveгlaps witl1 opeгatiпg band 'Ноте ' , tl1e UE is
physically сараЫе ofusiпg at least some oftl1e caпiers beloпging to opeгating band 'Roam'

* fi·equencyBandList allows нр to 8 compatiЫe opeгating bands to Ье listed. In each case, it is possiЫe to specify нр to 8 pairs of
{ac/ditiona/Pmax, additio11a/Spectm111E111issio11}, i.e. for а specific maximнm tгansmit роwег, the UE mнst achieve а specific additional
spectг1.1m emission гeq1.1iгement

* olfsetToPointA specifies the Resoшce Block offset betwee11 Commo11 Resoшce Block О and the Common Resoшc e Block whicl1
oveгlaps with tl1e start ofthe SS/PBCH. The пнmегоlоgу t1sed fог the Comшon Resoшce Block 11t1mbeгiпg is set eqнal to the valнe of
subCmтie1Spaci11gC0111111011 pгovided ,vitl1in the МIВ. o[fsetToPointA is нsed in comЬinatioп with the sнЬсаrтiег offset (kssв) wl1ich is
d e гived fюm tl1e МIВ (and РВСН Pl1ysical lауег payload in th e case ofFгeq1.1eпcy Range 1). Tl1e subcaпier offset (kss в) repгesents an
offset from sнbcarгier О ofthe Common Resoшce Block identified Ьу o_[fsetT0Poi11tA to st1bca1тieг О oftl1e SS/PBCH. Tl1e combination
ofthese paгameteгs allows the UE to identify th e freqнeпcy domaiп position oftl1e lo\veг edge ofthe cl1aпnel ba11dwidtl1

* SIB I inclнde s an iпstaпc e of scs-Sp eciflcCmтieгList for eacl1 oftl1e sнppoгted nllmeгologies. Tl1e ojfsetT0 Cc11тie1· valнe specifi es tl1 e
пнmЬеr ofRes oшce Blocks bet\veeп Point А апd s нЬсаггi е г О ,vithiп tl1e lo,vest t1 s aЫ e Res oшce Block, i.e. it is po ss iЫ e tl1at поt all
Common R es oшce Blocks а ге ava il a Ы e fo1· t1·a11smi ssio11, e.g. dt1 e to gtr ar·d Ьапd гe qt1iгe m e 11ts . F i gнгe l l l iп se ctioп 2.3 . l illllst r·ates а п
exa mpl e ofшш sed Со111111011 Re s oшce Blocks at tl1 e edge of tl1 e cl1an11 el bancl,vidt\1 . Tl1e cm·1·ie1Banclil'idt/1 valt1 e specifies the nl1111b e г
o fRes oшc e Blocks ,vl1icl1 аге a va il a Ы e fог tlia t 111.1111eгol ogy

* txDi1·ectC11n·e111Localio11 pгov id es tl1 e UE ,vith iпfoгm a tion гegaгdin g tl1 e po s itioп of the D C s t1b carгi e г . Tl1 e val1.1 e specifi es tl1 e
s t1b ca rгie1· iпd ex
wl1i cl1 са п raп ge fгom О to 3299, i.e, 275 х 12 = 3300 valt1es. А special va lн e of 33 00 iпdic a tes that tl1e DC s t1bc a rгi e г
is oнts ide tl1e cl1a1111 el baпdwidtl1 . As desc1·ibed in sectioп 2.9 . l (F i gшe 130), local oscillato1· leakage с а п impact tl1 e peгformaпc e oftl1e
DC s1.1Ьсаггi ег. Tl1e UE ге се ivе г с ап benefit fгom kno,ving the position o f tl1 e D C s t1b ca гri e г, i. e. kno,vin g ,vl1icl1 s нЬс а пiе1· may l1ave
degraded pe1·f01m a11ce

273
5G NR in В ULLETS

----
Sen•i11gCel/Co11jigC0111111011S/В

do,vnlinkConfig frequencyinfoDL frequencyBandList SEQUENCE {1 to 8 insta11ces}

Common
freqBandindicatorNR 1 to 1024
ш-NS - PmaxLi st SEQUENCE {1 10 8 i11s1a11 cesf
additiona\Pmax -30 to 33 dBin-
additionalSpectrumEmission О to 7 -
"
offsetToPointA О to 2199 -
scs-SpecificCarrierList SEQUENCE {1 to 5 i11sta11ces) -
offsetToCarrier О to 2199 -
subcarrierSpacing 15, 30, 60, 120 kНz -
carrierBandwidth 1 to 275 -
txDirectCurrentLocation О to 4095
initiaIDo,vnlinkВWP genericParameters locationAndBandwidtl1 О to 37949
subcarrierspacing 15, 30, 60, 120 kНz
cyclicPrefix exteпded

pdccl1-Co11figCorrunon SetupRelease { PDCCH-CoпfigCommon }

' pdscl1-ConfigCommon Set1.1pRelease { PDSCH-CoпfigCommon }
bccl1-Config 1 modificationPeriodCoeff 2, 4, 8, 16
defaultPagingCycle 32, 64, 128, 256 radio frames
nAndPagingFrameOffset CHOICE
oneT halff 11
oneEigthT 011eSixtee111l1T
pcch-Config
О, 1 О to 3 11
О to 7 О to 15
ns four, l\vo, one
firs tPDC C H-Moпitoriп gOcca s ioпOfPO

Та Ы е 149 - sen •i11gCel/Co11jigC0111111011 pa1·amete1· set - Pa1·t 1

* А UE uses an ' Initia l' Bandwidtl1 Рагt wl1 en fiгs t accessing а cell . T he i11itia/Do11111/i11kB WP p a 1·a me t e г s tп1 c tt11·e н ses tl1e
loca tio 11A11dBc111 c/н1idt/1 i nfoгmation
element to specify the se t of co nti gtюн s Common R es oшc e Blocks belongin g to tl1 e lnitial
Downlink Bandwidtl1 Part. The va lнe is coded t1 sing Resouгce Indication Va lнe (RIV) 11.1les witl1 NJifri = 275 (tl1ese 11.1\es аге clcscr· i lщl
in section 3.6.4. 2. 2 within the context ofallocating Resoшce Blocks fог th e PDSCH). Tl1e RBsta,·t valнe whi ch is d e гi ved fi-o1111l1 c
lo cationA11dBa11dи 1 idth valнe is added to the value of oflsetToCmтieг, i.e. the staгting position ofthe Bandwidth Рагt is 1·elativc 10 1l1c
first us aЫe Resoшce Block. Tl1e i11itia/Doн111/i11kBWP pat·am e teг stгнctt1гe also specifies tl1e subcaпieг spacing and cyclic pгe fi x 10 Ь с
нsed fot· tl1e Baпdwidth Рагt

* pdcc/1-Co11jigC0111111011 апd pdsc/1-ConfigCommon provide the UE with cell level infOJ"matioп fог receiviп g th e PDCCH and r DSCI 1
withiп the iпit i al Baпdwidth Part. The coпtent of PDCCH-Co11jigC0111111011 is pгeseпted iп ТаЫе 66 within sectioп 3.5.2. This par·arп c t c r
structt1re provides the UE with i nformatioп гegaгdiпg Coпtrol Resoшce Sets (CORESETs) апd Search Space Sets. Tl1ese с ап bt:: L1Scd
wheп completiпg the гапdоm access ргосеdше апd wheп 1·eceivi11g pagiпg messages. The coпtent of PDSCH-Co11jigC0111111rm is
preseпted iп ТаЫе 87 withiп sectioп 3 .6. This paгameter structшe pгovides the UE with а \ооk-нр tаЫе fог th e allocatioп of PDSCH
time domaiп геsошсеs, i.e. the time domain геsошсе allocatioп field witl1in Downlink Control Information (DCI) pгov id es а p o iпt cr to
а row within this tаЫе

* bcch-Config provides th e modificatioп peгiod coefficieпt whi c\1 is used to calcнlate tl1 e acttial modification period in teгms of гadi o
fi·ames: ВССН Modification Peгiod = 111odificatio11Pe1·ioc/Co eff x clefa11/1Pagi11gCycle. Modification peгiod boнndaгi es оссш ,vl1c11
SFN mod т = О , ,vheгe ' т ' is the ВС СН Modification Pe1·iod. UE are notified of System Infoгmation cl1anges н s in g tl1 e ' Slюrt
Messages ' field withiп DCI Foгmat 1_0. This fi eld сап Ье in c lнded \.vh en th e CRC bits belongi ng to D CI Foгmat \ _О аге sc 1·ar11Ы cd
usin g tl1e P-RNTI. Use oftl1e P - RN ТI means tliat UE in RRC Idle or RRC Inactive с а п гec eive System Jnfoпnation cl1 a11ge
notifi catioп s \Vhen ' wakiпg-нp ' to гece iving pagiпg messages (base d нроn the pag iп g DRX cycl e pattem). !f a UE rece ives а c liaп gc
пotific a tion dшiп g пюdifi cation pet·iod 'х ', tl1e change itself is appli ed dшin g moclification peгiod 'х+ 1'

* pcc/1-Co11fig pгovides tl1e рагаmеtег set wl1i c\1 allo \VS а UE to identi fy its Pagin g Fгames (P F) and P agin g Occas ions (РО). Тlic tisc of"
tl1i s ра га т е tе 1· set is described iп se c t i oп 12.4.2

* Та Ы е 150 pгesen ts tl1 e seco nd ра гt of Seп1 i11gCe/lC011figC0111111011SIB . T l1i s seco nd par·t iп c lнd es tl1 e 11pli11kC011jigC0111111011 ап d
s11pple111e11tmy Up li11k р а га т е tе ,· sets
* f, ·eq11e11cyl11/0UL provides s imil a г infoгmation to_/i·eq11e11cyl11/0DL Ьнt w itl, the additi o n of р- Мах a11d _f,·ec;11e11cySl1i/i 7p5k/1z
* р-Мах de fin es tl1e max imшn UE t1·ansmit po\ve1· peпnitted within the сштеnt cell . р-Мах impac ts th e cell sel ectioп cгiteгia if th e Ul.:
t1·aпsm i t po\ver· capability is below th e va lue of р- Мах. It is ass нmed that tl1 e coveгage of the cell l1as Ь ееп p lar111ed based t1po11 tlie

274
 sG NR in BULLETS

va lн e
of р-Мах. This means that the Base Station wou ld not Ье аЫе to receive а cell edge UE ,vith а lower transmit power capability.
In this case, Q1·x/ev111i11 is increased to ensшe that tl1e UE сап only camp оп the cell ,vhen the UE is closer to the Base Station. This
corresponds to the valt1e of 'Pcompensatioп' w ithiп the cell selection eqt1ation for S 1;y/e11
k j,'eq ueпcyShift 7p 5kl1z
indicates whether ог not the t1plink centeг freqt1ency shot1ld Ье incгeased Ь у 7.5 kНz. This is an optional offset
,vhich сап Ь е app lied depending t1pon the deployment sсепагiо. The objective of'tl1is 7.5 kНz offset is to allo,v coexisteпce with legacy
4G transmissio п s. Tl1e t1pliпk of 40 applies а 7.5 kНz offset w h eп geпeгatiпg th•~ SC-FDMA waveform to avoid haviпg а О Hz
st1bcarrie1· (also kпown as the ОС st1bcarrier). The t1plink of 50 does поt app ly т hi s offset ,vhen geпerati n g its waveform so а 7.5 kHz
freqщ:пcy shift is reqt1iгed to achieve st1bcarrier a li gnme пt with 40 (asst1miпg that 50 uses the 15 kНz st1bcaгrier spaciпg). This
freqt1ency shift са п Ье applied to either St1pplemental Uplink opeгating bands and to the t1plin k ofFDD operating bands

Se1·1•i11gCel/Co11figC0111111011SJB (co11ti11н ed)

нplinkCoпfig freqнeпcylnfoUL freqнeпcyBaпdList SEQUENCE {1 to 8 iп s taпces}

Commoп
freqBaпd!пdicatorNR 1 to 1024
пr-NS-PmaxList SEQUENCE {1 to 8 iпstaпces}
addi tionalPmax 1 -30 to 33 dBm
additio11a\Spectn1mEmissio11 1 О to 7
abso lнteFreqнe11 cyPo i11tA О to 3279165
scs-SpecificCarrierList SEQU ENCE {1 10 5 iп s ta пc es}
offsetToCarrier О to 2199
sнbcarrierSpaci п g 15, 30, 60, 120, 240
carrierBa11d1vidtl1 1 to 275
р-Мах -30 to 33 dBm
freqнe 11 cyS l1i fl7p5kl1 z tn1e
iпi ti alU pliпkВWP ge11ericParamete1·s BWP locat i o п A11dB and1vidtl1 О to 37949
sнbcarrierSpacing 15, 30, 60, 120, 240
cyc licPrefix exteпded

SetнpRe l ease { RACH-Co11figCommo11}

Sett1pRelease { PUSCH-ConfigCom111on }
Sett1pRelease { PUCC H-Co11 figC0111111011 }
ti111eAli gn111entTi111erC0111n1011 1 500, 750, 1280, 1920, 2560, 5 120, 10240 111s, in fiпity
st1pp le111entaryU plink sa111e parameleг s trt1ctнre as t1sed for t1pli11k C011/igC0111111011

ТаЬ\е 150 -servi11gCel/Co11jigC0111111011 parametei- set- Pa,·t 2

* Simi l aг to tl1e downlin k, the initia/UplinkBrVP parameter strt1cture t1ses tl1e locatio11A11dBa11dи1 idt/1 informat i oп e l emeпt to specify the
set of coп ti gtюt1 s Commoп Resoшce Blocks beloпgin g to tl1e Iпiti a l Uplink Bandwidth Part. Tl1e valt1e is coded t1siп g Resoшce
Iнdicatioп Valt1e (RIV) rt1les witl1 NJi;,i = 275 (these 111les аге desc1·ibed in section 3.6.4.2.2 within tl1e coпtext ofallocating Resoшce
Blocks fo1· tl1e PDSCH). The RBsta,·t valt1e ,vl1icl1 is de1·ived from the locatio11AпdBa11d1vic/t/1 valt1e is added to the va lt1e of
ojfsetT0Ca1тie1 ·, i.e. the s ta 1·tiпg positioп ofthe Bandwidtl1 Part is гe l ative to the first t1 saЫe Resoшce Block. The initia/UplinkBWP
pai·ameter st111ctшe also specifies the st1bcaпier spacing апd cyclic pгefix to Ье t1sed for the Bandwidth Part
* Tl1e co11tent of RACH-Co11jigC0111111011 is presented in ТаЫе 255 ,vithin section 13.1. 1. This paramete1· st111 ctiлe pгovid es tl1e UE witl1
the info1·mation 1·eqt1 ired to comp lete the random access procedшe. For example, it specifies the PRACH Coпfigшation Iпdex, tl1e Zero
Correlation Zопе configшation , tl1e PRACH Root Seqt1ence, the g1·ot1piпg of PRACH ргеаmЫ еs, PRACH power coпt 1·0 I parameters
апd RSRP tl1гes h olds fo1· i11iti ati п g tl1e random access ргосеdше ,vitl1 а specific beam

* The coпtent of PUSCH-C01?figC0111111011 is pгeseпted i п ТаЫе 195 1v itl1i11 sectioп 7.4. Tl1is рагаmеtег stп1 ct1.1 гe pгovides tl1e UE with а
look-t1p tаЬ!е fог tl1e a ll ocatioп of PUSCH time domaiп геsошсеs, i.e. the time domain геsошсе all ocation field witl1i 11 Do,vn lin k
Соп tюl Iпfoпnation (DCI) pгovides а po i пter to а го,v within tl1is tаЬ!е. Tl1e рагаmеtег st11.1ct1.11·e also pгovides some роwег сопtгоl
iпformatioп апd а tlag to iпdi cate 1vl1 et l1 eг ог поt gгot1p hoppiп g is to Ье app lied ,vl1e11 selectiп g а Zadoff-C lш seqt1 eп ce fог tl1e PUSCH
DMRS (gгot1p lюpping is app li caЫ e ,vl1e11 Tгansform Pгecodiпg is enaЫ ed (DFT-S-OFDM wavefиm is t1sed))
* Tl1e сопtепt of PUCCH-C01?figC0111111on is pгeseпted iп ТаЬ!е 18 1 witl1i11 sect ioп 7.3. Tl1i s s tп1ct1.1re pгovides tl,e p11ccl1-
Reso111·ceC0111111011 infoгп1atio11 element \Vl1icl1 defiпes а poi11teг towaгds а cell specific PUCCH геsошсе. It also pгov ides ро,vег совtгоl
i11fo1matio11 апd gгot1p/seqt1ence l10pping iп foпnatioп
* timeA/ig11111e11tТi111e1·Co111111011 specifies tl1e maximшn time tlшt а UE гemains synclнoпised iп the t1pli11k diгect i oп afteг receiviпg а
Timi11g Advaпce Commaпd. А UE 1·e-s taгts the Time A li gпment Тi111ег whe11eveг а Ti111ing Advance Commaпd is гece ived , i. e. tl,e
Base Station mt1st send Timiпg Advaпce Comшands нsiп g а period wh ich is less thaп tl1e Time Alig11111ent Timer. If the Time
Alignment Timeг expiгes, the UE asst1mes tlшt it has lost llplink syn chJon i satioп. The UE nшst tl1en l!Se the 1·aпdom access ргосеdше
to гe-syncl,ronise Ьеfоге contint1i11g to tгansm i t оп the PUSCH, PUCCH ог SRS. Timing Advance is descг ibed in sectioп 13.2

275
sG NR in в ULLETS

* ТаЫе 151 presents the third part of Se1·\JingCe//ConjigC0111111011SIВ

* n-ТimingAd\JanceO.ffset specifies the valнe of NтA_offset within the нplink frame timing ca\cнlation . Uplink frame timing starts in
advance ofthe downlink frame timing нsing а margin defined Ьу (NтА + NтA_offset ) Х Те . The Timing Advance Command, N j
dynamically нpdated Ьу the Base Station нsing МАС Control Elements (МАССЕ). The semi-static valнe of NтА offset dependsTtA s
. - 1ро11
the deployment scenario. Ву defaнlt, Freqнency Range 1 нses 11-Тimi11gAd11a11ceO.ffse t = 25600, wh1le Freqнency Range 2 нses 11 _
Тimi11gAd1,~11ceOjfset = 13792. However, if 40/50 spectrum sharing is configшed, it is necessary to ensшe that the 40 and 50 нpli nk
frames are t1me al1gned. 40 нses an offset of0 for FDD and an offset of 624 Ts for TDD. 624 Ts eqнates to 39936 Т~. Thнs, srв I с
broadcast а valнe of О or 39936 when spectrum sharing is applied to FDD or TDD respectively. It is not necessary to bюadcast а va~ 11
for Freqнency Range 2 Ьесанsе only а single valнe is possiЫe (spectn1m sharing is not applicaЫe to Freqнency Range 2) нс

Sen 1i11gCe/lC011jigC0111111011Sl В ( coпl in нed)

11- TimingAdvanceOffset 0,25600,39936
ssb-Positions[nBнrst inOneGroup 1 ВП STRING {8 Ьits }
groнpPresence 1 ВП STRING {8 Ьits}
ssb-PeriodicityServiпgCell 5, 10, 20, 40, 80, 160 ms
tdd-UL-DL-ConfigurationCommon see ТаЫе 33 in section 2.2
ss-PBCH-BlockPower -60 to 50 dBm

ТаЫе 151 - servi11gCel/Co11jigC0111111011 paramete1· set- Part 3

* ssb-Positio11sl11B111·st specifies the set ofSS/PBCH Blocks which а ге bюadca st Ьу the cell . When нsing an operating band belo\v 3
OHz, tl1e 4 leftmost bits of i11011eG1·oup аге нsed to indicate which SS/PBCH Blocks аге active. Wl1en нsing an opeгating Ьапd bet\vccii
3 and 6 OHz, all 8 Ьits of i11011eG1·oup are н se d to indicate which SS/PBCH Blocks are active. When н s ing an ope1·ating Ьапd abovc 6
OHz, the 64 SS/PBCH Blocks are divided iпto 8 groнps. The inOneG,-oup Ьit striпg indicates which SS/PBCH Blocks \v ithiп а gтн р
аге active, whi\e the g,-oupP1·ese11ce Ьit stгiп g iпdic ates which groнps are active

* ssb-Pe1·ioclicitySen 1ingCell specifies the peгiodicity ofthe SS/PBCH Bшst, i.e. each beam tгaпsmits an SS/PBCH Block witl1 tl1is
peгiodicity. Dшing the iпitial cell se lectioп рюсеdше, а UE ass нmes that а bшst of SS/PBCH Blocks is tгaпsm itted еvегу 20 n1s, i.c.
each beam tгaпsm it s the РВСН опсе еvегу 20 ms. Tl1is meaпs that cells sнpport iп g iпitial access shoнld have SS/PBCH Block pe1·iods
of5, 10 ог 20 ms
* ss-PBCH-BlockP0111e1· specifies tl1e dowпlink t,·a пsmit powe1· of а siпg l e Resoшce Elemeпt н se d Ьу tl1e Secoпdary Syпc lll'oпi sa ti o 11
Sigпa l (SSS), the РВСН апd the РВСН D e modнlation Rеfегепсе S ignal (DМRS). 3OР Р specifies that tl1 e Ргimагу Sy11 c hюni sa tio11
S i gпa l (PSS) сап Ье tгaпsmittecl witl1 tl1 e sa me роwег as tl1e SSS/PBCН/DMRS, ог it сап Ь е t1·ansmitted with 3 dB mo,·e powe1·. Т lюс
is scope to incгease the tra п sm it ро\vег of the PSS because tl1eгe аге нпнsеd Resoшce E l emeпts botl1 above апd belo w tl1 e PSS.
Iпcгeas iп g tl1e роwег Ь у 3 dB meaпs that the total po\ver within eac h symbol ofthe SS/PBCH Block гemaiпs appгox im ate l y co11sta11t.
The п etwork vendoг selects the PSS power relative to the SSS/PBCН/DMRS роwег. The UE is поt provided with iпformatioп
гegardiпg the se l ectioп b etweeп О dB апd 3 dB so the UE is гeqнired to deduce tl1e offset

* ТаЫе 152 pгesents the uac-Baп·inglnfo рагаmеtег set beloп gi пg to SIВ 1. This рагаmеtег set pгovides iпformatioп which is aµplicabl c
to cell barriпg based нроп Uпified Access Contгol (UAC). Unified Access Сопtгоl is iпtгodнced withiп sectioп 1.11

* uac-Ba,тingF01·Co111111011 is нsed to liпk Access Categories to UAC Вапiпg рагаmеtег sets. accessCateg01y ideпtifi es the sµecific
Access Category н s ing the nнmbeгing scheme presented in section 1. 11 . uac-ba, тingl1if0Setlndex acts as а pointe1· towaгd s а п iп s tam:c
of uac-Bштi11gl1ifoSetList specified lateг within the parameteг set
* uac-Ba,тingpe1-PLМN-List and uac-Bштi11gF01 ·Com111011 pгovide simila1· iпformation Ьнt th e former provides info.-matio n whi cl1 is
applicaЫe to specific PLМN . p/11111-ldentitylndex points towards а specific PLМN Identity based нроn the oгder iп whicl1 the PLMN
аге listed within SIВ 1. Explicit listing of the barring list нs es the same format as the common barгing information, i.e. eacl1 Access
Category is liпked with а pointer towards an instance of uac-BштinglnfoSetList. Implicit listin g ofthe baпing list specifies а роiпtсг
towai·ds а п in s taп ce of 11ac-Bштi11gl1ifoSetL ist for each of the 63 Access Categoг i es
* Unified Access Сопtгоl specifies 64 Access Catego гies (О to 63) wl1eгeas the 11ac-Bштi11gl11fo paгameter set гefereпces оп l у 63 Acccss
Catego.-ies . Access Categoгy О coпespond s to ' Mobile Teгminated ' connection 1·eqнests . These гeqнests аге not Ьапеd fгom tlie U[
peгspective. The netwoгk is гesponsiЫe fог managing this Access Categoгy Ьу decidiпg \Vh etheг 01· not to bгoadca st specific pag iп g
messages
* uac-Ba,тinglnfoSetList pгovides tl1e paгamete1· set whi ch is н sed wheп completin g ап access Ьапiпg check. А UE starts Ьу deteппi 11 iJ1 µ
whethe1· ог поt its Access Jdeпti ty is sнbj ect to tl1e access baiтiпg check. uac-Ba1тi11gF01 Accesslde11tity defin es а bitmap \vl1erc eacli bil
maps опtо а spec ific Access Ideпtity (А! ). Tl1 e mappiпg is speci fied as: { Ьit О , AI 1} , { Ьit 1, AI2}, {Ьit 2, AI 11 }, {Ьit 3. А! 12}, {bil 4·
AI 13}, {Ьit 5, AI 14 }, {Ьit 6, AI 15}. А va lн e of 'О' witl1iп th e Ьitmap iпdicates that ап access attempt is all o\ved fог the co ггespo 11 dнi g
Access Identity. UE w itl1 Access Identity О mн s t al\vays complete th e access baiтiпg cl1eck
* The access Ьапiпg check iпvolves the UE geпeгatiпg а нnifoгmly distribнted гапdоm ш1mЬег between О and 1. Ifthe гапdоm i1tнпb~r is
less than the valнe of 11ac-Baп·i11gFacto1·, theп the access attempt is permitted. Otheгwise, the access attempt is Ьапеd. Coпfi gtiппg ''
va lн e of 'О' for 11ac-Bштi11gFacto1 · meaпs tliat a ll checks will lead to barred access attempts
 5G NR in BULLETS

/r ff an access attempt is Ьапеd, the UE generates а second tш i foгm l y dist,· i b н ted random number between О and 1. The value of Т390 is
then set equal to (0.7 + 0.6 х !'and) х 11ac-Bштi11gTi111e seconds, ,vhere 'rand' is the random nнmber . Т390 defines the duration that the
UE treats the cell as barred fог the coпesponding Access Category. The UE сап maintain а separate instance ofT390 for each Access
Category
/с 11 ac-AccessCatego1yl -Selectio11Assis/a11cel11fo is intended to dete1mine whether or not Access Catego1y I is applicaЫe to а specific
UE. However, this parameter set is not app lied when н sing the гe l ease 15 version of the ЗGРР spec i ficatioпs

11ac-Bш1 ·i11g/1 ,jo

uac-Barring!nfo нac-Barri ngForCommon SEQUENC E {1 to 63 i11sta11ces}

accessCategory 1
1 to 63
н ac-barringinfoSetlпdex 1 1 to 8
uac-BarringperPLMN-List SEQUENC E {1 to 12 i11sta11ces}
plmn-ldeпt i tyindex 1 to 12
н ac-ACBarriпgL i stType CHO ICE
нac-Imp l icitACBarringList нac -Exp l icitACBarri пgL i st

SEQUENCE {63} SEQUE NCE { 1 to63}

1 to 8 accessCategory 1 1 to 63
нac-barriпgiпfoSet!ndex 1 1 to 8
нac-Barring!nfoSetList SEQUENCE { 1 to 8 i11sta11ces}
О , 0.05, 0. 1, 0. 15, 0.2, 0.25, 0.3 , 0.4, 0.5 , 0.6, 0.7, 0.75, 0.8,
нac-BarringFactor
0.85, 0.9, 0.95
н ac -Barri пgTime 4, 8, 16, 32, 64, 128, 256, 512 secoпds

нac-Barrin gForAccess lde п tity BIT STRING {7 bits}

н ac-AccessCategory 1- CHOICE
Select i o11Assista 11 ce!лfo
p l1n11Co 1л111011 individнa l PLMNList

а , Ь,с SEQUENCE {2 to 12 i11star1ccs}

а,Ь,с

ТаЫ е 1 52- 11ac- Bш-ri11g/11Jo pa1·amete1· set

6.3 SYSTEM INFORМATION BLOCK 2

* SIВ2 provides inforrпation ,vl1ich is commoп to iпtra-freqнeпcy, intei'-freq н e n cy апd inter-system ce ll гeselec t ion . It also pгov i des
i n foпnation wl1 ich is specifica lly applica Ы e to intra-fгeqн ency cell гese l ec ti on. Tl1e fiгst paii of the co п tent beloпging to SIВ2 is
pгe s ented in ТаЫе 153

* Cell гese l ection сап Ье based нроп а combiпation of cell level апd beam level measшemeп ts . Wheп the Base Station tгansm i ts mu ltip le
beams, а UE is геqн i геd to geneгate а cell level measшemen t from one ог more beam level measшements
* А UE deгives а cell level meas шemeпt Ьу ca l cнl at i ng the l i neaг aveгage ofthe measшemeпts belonging to а maximн m of шojSS­
Blocks T0Ave1·age beams, where each beam has а meas шemeпt whicl1 exceeds absTl11·esl1SS-BlocksC011solidalio11. IfSIВ2 exc l нdes
eitheг of these parameters, tl1e UE geneгates the cell level meas шemeпt нsing only tl1e stгongest beam level measшement. Tl1e UE also
geпe,·ates the cell level measшemeп t н sing опlу the stгonges t beam level measшemeпt ifthe stгongest beam has а measшement below
the valнe of absТl11·esl1SS-B locks C011so lic/a1io11
* The va l нes of t/11·esl10 /dRSRP, tl11·esholdRSRQ апd 1l1l'esl10/c/SJNR аге tгaпs l ated into actнal valнes Ltsing tl1e mappings preseпted in
scction О
* Wl1en completing се ! ! Ieselection tO\Vaгds ап i nt ,·a-fгeqнency се ! ! , ог ап eqнa l p1·io1·ity inter-f1·eqнeпcy cell , tl1e UE starts Ьу identifying
the l1igl1est гanked cell based t1роп Rs = Qmeas,s + Ql1yst - Qoffse t, c ,пp fог tl1e se г v in g cell, а пd Rп = Qm e a s, п - Qoffset - Qoffset1c111r fог
tl1e п e i g l1b o нгiп g cell . Tl1e UE tl1 eп id e пtifi es tl1e cell s wl1i cl1 l1ave а га пk > ' l1igl1 est га пk - 1·a 11geT0BestCell'. Fо г eacl1 of tlюse cells,
tl1e UE co ш1t s tl1e nшnb e 1· of beain s \Vl1i cl1 lшve а m eas шe 111 e 11 t гes t1l t gгеа tег tl1a п absTl11·esl1SS-B locksC011solidatio11 . Cell гese l ec ti o п
is tl1e11 completed to\vai·ds tl1e cell \Vith tl1e l1igl1est beain cotmt. !f S IВ 2 exc lнd es гa11geT0Bes t Cell, tl1e UE completes cell гese l ec ti o п
towai·ds tl1e l1igl1est га пkеd cell
* r1-Hyst is н sed wh eп ca l cнl a tiпg tl1e 1·а пk oftl1 e seгviп g cell fo1· cell 1·ese l ecti o п towa гds e itl1eг an int1·a- fгeqн en cy cell , 0 1· an eqн a l
p1·io1·ity i11te 1·- f1·e qн e n cy cell

277
5G NR in BULLETS

S182
-
cellReselection nrofSS-BlocksToAverage 2 to 16
InfoCommon
absТl1reshSS - thresholdRSRP О to 127
BlocksCon so lid atioп
thresholdRSRQ О to 127
threslюldSINR О to 127
rangeToBestCell -24, -22, -20, -1 8, -16, - 14, -1 2, -10, -8, -6, -5, -4, -3, -2, - 1, о , 1, 2, 3, 4, 5, 6, 8, 10, 12,
. 14, 16, 18, 20, 22, 24 dB
q-Hyst О, 1, 2, 3, 4, 5, 6, 8, 10, 12, 14, 16, 18, 20, 22, 24 dB
speedStateReselectionPars moЬilityStateParameters t-Evaluation 30, 60, 120, 180, 240 s
t-HystNormal 30, 60, 120, 180, 240 s
n-CellChangeMedium 1 to 16
n-CellCliangeHigh 1 to 16
q-HystSF sf-Medium -6, -4, -2, О dB
sf-Higl1 -6, -4, -2, О dB
cellReselection s-NonintraSearchP О to 31 dB (actual value = signalled value х 2)
Servingfreqlnfo
s-NonintraSea'rcl1Q О to 3 1 dB
t\1reshServing:Lo,vP О to 31 dB (actual va lп e = signalled value х 2)
thresl1ServingLo,vQ О to 3 1 dB
cellRese l ect i oпPriority О to 7
cellReselectionSubPriority 0.2, 0.4 , 0.6, 0.8

Та Ы е 153 - Со пtе пt of Syste ш l11fo1·matio11 Вlock 2 (S182) - Part 1

* The UE нs es the 1110ЬilityStatePmш11 ete1·s to deteгmine the сште nt mobi li ty state. The l1igh moЬility state is detected iftl1e nшnЬ е г or
cell гeselections within the t-Evaluation time window exceeds 11- Cel/Cl1011geНigl1 . Oth eгw i se , the mediнm moЬility state is detectecl if
the nнmb e 1· of cell гe sel ections within the t-E1 1a/11atio11 time \Viпdow exceeds 11-Cel/Cl1a11geMedi11111. Othen vise, the UE adopts tl1 c
погm а l moЬility state. А UE makes tl1e t1·a11sitio11 fгom th e hi gl1 01· m e diнm moЬi li ty states to tl1e n01ma l moЬi li ty state ifth e co11dit io11s
fог those states are not acl1i eved dшin g а time w i пdo\v d e fiп e d Ь у t - Hys tNo m ю l

* а п offset whicl1 is add ed to q-Hyst fог tl1 e 111 e diш11 а п сl l1i gl1 moЬi l i ty states . T l1 e п ega ti v e offset va lt1 es 1·еd н се tl1 c
q-HystSF defin es
va l н e
ofQhyst whicl1 makes th e сшге nt se гviп g cell less a ttгac ti ve , i.e. cell гese l ec ti o п towa гd s а n e i g l1b o шi11 g cell с ап ос с ш e ai· li c г
when the UE has medit1111 or high moЬi li ty
* mea s шement tri g ge г in g thгe sho ld s fог RSRP and RSRQ resp ecti ve ly. А UE
s-No11!1111·aSea/'cl1P and s-No11!11tmSea,·cl1Q define
measшes hi gheг prioгity inteг-freqнency and inter-system laye1·s irrespective of these thгesholds . If Sгxlev > s-No11!11t!'aSea/'cl1P ai1tl
Sq н a l > s-NonlntmSeш·chQ theп а UE does поt have to measнre iпter-fгeqнency layers \vith an eqнa l ог lowe1· pгioгity. S i111ilaг l y , а Ul2
does not have to 111еаsше iпter-system l ayeгs with а loweг pгiority (it is not permitted to configшe inteг- syste 111 layeis w ith ап e qнa l
priority). O th eгwise, the UE has to measшe iпter-freqнency layers with an eqнal о г lower p1·i0Iity, and inter-system l a yeгs \vitl1 а l01vc,·
priority
* If s-No11!11tmSem·cl1P is not broadcast within SI82, th e UE assнmes а va lн e of infini ty wh ich 111eans tlшt measшem ents а ге always
tгiggered from the peгspective ofRSRP. If s-No11!11tmSea!'cl1Q is not bгoadcast within SI82, the UE assнmes а valнe of0 dB \vl1icl1
means that measшements are always triggeгed fгom the peгspective ofRSRQ
* tl1eshSe/'\1i11gLoн1P and 1l1/'esl1Se/'\ 1i11gLmvQ define tl1e RSRP and RSRQ servi ng cell thгesholds wh ich are app lied wh eп comp leti11 g
cell reselection towaгds а lower pгiority layer. А UE is only pe1mitted to гeselect а lowe1· pгiority l ауег when the сштепt seгvin g cc ll is
providing weak coverage, i.e. Sгxlev < tl1esl1Se1·vi11gLmvP ifRSRP based cell гese l ection is configшed , and Sqнa l <
tl11·esl1Se/'\1i11gL01vQ ifRSRQ based cell гese l ection is configшed. RSRQ based cell гese lection is configшed Ьу bгoadcastiп g а valtic
fог tl11·esl1Se/'\1i11gLoн 1 Q . RSRP based cell гese l ec tioп is configшed Ьу e xc lнdin g tl11 ·es/1Seг11i11gLoн 1 Q fro111 SI82

* cel/ReselectionP1·i01·ity а пd cel/Rese/ectio11S11bP1·io1·ity а ге s нmm e d to gе пегаt е th e A b s olнte Pгioгity fог the s e гviп g cell

* The secoпd рагt ofthe coпtent beloпgiпg to SI8 2 is preseпted in ТаЫ е 154. Tl1is рагt of S I8 2 is арр1iсаЫе to iпtга- fгеqнеп су cell
гe s e l ectioп

* q-RxLe11Mi11 de fiп es tl1 e miпimнm R SRP 1·eqt1 i гement fо г th e ta гget i11t1·a- fгeqн e11 cy cell. q-RxLe11Mi11SUL is н sed iп stead of (J ··
R.xLevMin \Vl1 e11 it is bгoadcas t а п d wl1 en tl1 e UE s нpp o гts а S нppl em eпta l Uplink (SUL) fо г th e ctшent са~тi ег. Tl1e li11 k bll dge t
beloп g in g to а S нpp1 ementa1 Upliпk тау di ffe1· fio m tl1 e li пk bl!dget fог tl1 e No rmal Uplin k. l f coverage is нpliп k li mited tl1e 11 (J ·
RxLe11Mi11SUL са п Ье adjll sted гe l a ti ve to q-R.xLe1,Mi11 to гe fl ec t tl1 e di ffe гeп ce iп liпk bl!dgets
* q-Qua/Miп define s tl1e minimшn RSRQ 1·eqнiгeme11t fo1· th e taгget iпtra-fгeqнency cell. The UE assнmes а valнe of111 i11нs i п fi r. i ty if'
tl1is i nfoпnatioп el emeпt is not bгo a dc as t , i.e. th e UE al\vays passes th e R SRQ check
 5G NR in BULLETS

51В2 co11 ti1ш ed

intraFreq q-RxLevMiп -70 to -22 dBm (actual valtte = signalled valtte х 2)

CellReselectioпlnfo
q-RxLevM inSUL -70 to -22 dBm (actual va ltte = signalled value х 2)
q-QualМiп -43 to -12 dB
s -1.пtraSearchP О to 31 dB (actual va ltte = signallec-. valtte х 2)
s-l11traSearcl1Q О to 31 dB
t-ReselectioпNR О to 7 s
lтeqttencyBandList SEQUENCE { 1 to 8 i11sta11ces}
lтeqB aпdlndicatorNR 1 to 1024
11r-NS-PmaxList SEQUENCE {1 to 8 iп s ta пces}

additioпa lPma x 1 -30 to 33 dBm

additioп a lSpectru шEmi ssioп
1 О to 7
fi·eq нeп cyBaпdListSUL SEQUENCE {1 to 8 i11sta11ces}
lтeqBaпdlпdicatorNR 1 to 1024
nr-NS-PmaxList SEQUENCE {1 to 8 i11sta11cesf
add iti oпa lPmax 1 -30 to 33 dBm
additio11alSpectru1nEmission 1 О to 7
р - Мах -30 to 33 dBm
smtc peri odicityA.пdOffset CHOICE
5 sttblтames О to 4 40 sublтames О to 39
1О s uЬframes О to 9 80 sнb lтames О to 79
20 s ttblтames О to 19 160 sttbframes О to 15 9
dttration 1, 2, 3, 4, 5 sttbframes
ss- RSSI-Mea s ttremeп t mea s ttrem e пtSlots B!T STRI.NG {1 to80bits}
endSymbol О to 3
ss l)-ToMeasнгe CHOICI:
S lюrt
Bitmap
1 BIT STRI.NG
(4 bits}
I Medittm
Bi hnap
1 BIT STRI.NG
(8 bits}
11 Loпg
Bitmap
1 BIT STRI.NG
{64 bits}
deriveSSB- lлdexF ro111Cell BOOLEAN
sf-Medium 1 0.25, 0.5, 0.75, 1.0
t-R ese l ec ti o п N R-SF
sf-Higl1 1 0.25, 0.5, Q.75 , 1.0

Та Ь/ е 154- Со пtе пt of System Iпfoпna tioп Вlo c k 2 (S182) - Pa1·t 2

* s-lnt/'0Seщc/1P апd s-IntгaSea,·c/1Q defi п e iпtгa -f1·eqtteпcy measшemeпt tгiggeriпg thresholds fог RSRP апd RSRQ 1·espectively. If
Srx lev > s-!11tгaSeaгc/1P апd Sqttal > s-l11tгaSeщc/1 Q theп а UE does п оt have to measшe int1·a- freqнency пeighboшs. А UE п eeds to
Ье meas LtГin g its пeighboшs to complete cell гe se l ec ti oп. These tlнes hold s shottld Ье co n figLtГed with valttes ,vhicl1 ensшe that the UE
al\vays sta гt s measLtГements Ьеfоге п eedi n g to complete а cell гeselection, i.e. tl1e UE s lюtt l d start measшing Ь еfо ге approach iп g cell
edge. Initiating measшements too ea,·ly may have а negative impact ttpon UE batte1y life
* lf s- l11tn1Seщc/1P is not bгoadcast within SIВ2, the UE assнmes а valtte of iпfinity wl1ich meaпs tl1at measшements аге always
t1·iggered from the peгs pective ofRSRP. If s-l11tmSeCll'cl1Q is not bгo a dcast within SIВ2, the UE assшnes а valtte ofO dB whic\1 means
tl1at measшements а 1·е al,vays t1·iggered fгom the perspective ofRSRQ
* t-Rese/ectionNR defines tl1e ti111e-to-t1·igger fог i пtгa-fгeqнency cell гese l ec tioп . sj:!vfecli11111 а пd s_j:Нig/1 (bгoadcast at tl1e end of SIВ2)
d e fiп e sca liп g factoгs fог
medit1111 апd l1igl1 moЬility coпditions. t-ReselectionNR is mttltiplied Ьу the appгop 1· i ate scaling factoг w l1eп
m ecliшn ог higl1 moЬilityis detected
* fl·e(J11e11cyBa11dList andji·e(J11e11cyBa11c/ListSUL аге н sed within tl1e co пtex t of ' Mнlt i p l e Fгeq нency Baпds' , \vl1ich геfегs to ope1·ati11g
bands which oveгl ap, i.e. а spec ific саrтiег fгеqнепсу сап be l oпg to mн l tip l e opeгating bands. The configшatioп of ' Mнlt ip l e Fгeqнen cy
Baпd s' allows а UE to ttse an opeгatiпg Ьапd wl1icl1 is поt noгma ll y sпppOt"ted Ьу tl1e UE. Fог example, а UE ttsed witl1i11 its home
сонntгу may s t1ppoгt opeгa tin g band 'Ноте'. Tlшt UE та у 1·oam into а d i ffeгent cot111tгy ,vl1ich ot'fe1·s services нsiп g opeгat iп g Ьапd
'Roam ' . The UE may 1101 пo гma ll y sttppoгt opeгatiпg Ьапd 'Roam'. Ho\veveг , if opeгatiп g Ьапd ' Roam ' oveгlaps ,virl1 operatiпg Ьапd
' Ноте', the UE is pl1ysica ll y сараЫе of нsiпg at least some of tl1e сапiегs beloпgiпg to opeгat iпg band 'Roam '

* fi·e(JueпcyBanc/List a11d _f,-eц11encyBa11dListSUL allow ttp to 8 compatiЫe opeгating baпds to Ье listed. Iп еас\1 case, it is possiЫ e to
speci fy пр to 8 paiгs of {шklitiona/Pmax, additiona/Spectm111E111issio11}, i.e. fог а specific maximшn traпsm i t ро,vег , the UE 11111st
acl1ieve а specific add itional spectгttm em i ss ioп гeqttirement

279
5G NR in BULLETS

* р-Мах defines the maximum UE transmit power permitted within intra-frequency ne ighboшing cells. р - Мах impacts the cell se l ec tioп
criteria ifthe UE transmit power capaЬility is below the value ofp-Max. It is assumed that the coverage ofthe neighboшing cell has
Ьееп plaпned based uроп the value of р-Мах . This means that the Base Statioп would not Ье аЫе to receive а cell edge UE with а
lower traпsmit power capaЬility. In this case, Qrxlevmin is increased to ensure that the UE сап only camp оп the cell when the UE is
closer to the Base Station. Tl1is correspoпds to the value of 'Pcompensation' \Vithin the cell selection e quatioп for Srxlev
* smlc defines the SS/PBCH Block Measurement Timing Configuration (SMTC). The SMTC specifies the time window dшing which
the UE measшes the SS/PBCH Blocks for intra-frequency cell reselection. The pe,-iodicityAndOjfset is used to calculate the SFN апd
subframe associated with the start of each measurement window. The System Frame Numbers (SFN) which include the start of а
measшement window satisfy the following condition: SFN mod Т = FLOOR( O./fset / 1О), where Т = CEIL(Pe1·iodicity / 1О). The
starting suЫrame is defined Ьу Ojfsel mod 10, if Pe,-iodicity is greater than 5 subframes. Otherwise, the starting subframes are defiпed
Ьу O./fset and O./fset + 5 (there are 2 windows per radio frame when the period is 5 ms). dumlion defines the length ofthe measuremeпt
window
* ss-RSSI-Measш ·emenl is used to configure the RSSI measшements which are required to calculate RSRQ, i.e. RSRQ = SS-RSRP /
(RSSI / N), where 'N' is the number ofResource Blocks used for the RSSI measurement
*' meas111·eme111S/ots provides а Ьit striпg where each Ьit corresponds to а slot within the SMTC dumtion. For example, ifthe SMTC
dumtion is set to 5 suЬframes а пd the subcarrier spacing is 15 kНz then the Ьit string will have а length of 5 Ьits Ьесанs е there аге 5
slots in 5 st1Ьframes . In contrast, ifthe SMTC dumtion is set to 5 sнЬframes and the subcarrier spacing is 240 kНz then the Ьit s triп g
will have а leпgth of 80 Ьits Ьесанsе there are 80 slots iп 5 subframes. The UE measures the RSSI dшing slots which сопеsро пd to а
'1' within the Ьit string. endSymbol defines the symbols within the measurement slots which can Ье нsed to measure the RSSI . The
va lпe of endSy mbol is а pointer to а \"OW within а ЗGРР staпdardised look-up tаЫе (presented in ТаЫе 155)

e11c/Sy111bol Symbol /11dices

о {О, 1}
1 {О,/ , 2, 3, 4, 5, 6, 7, 8, 9, 10, 11 }
2 {О, 1,2,3 , 4,5)
3 {О, 1, 2, 3, 4, 5, 6, 7)

ТаЬ/е 155 - Sy шbo/ s to Ье used fo.- RSSI шеаsш·еше11ts ,vit/1i11 Meas ш·e111e11t Slots

* ssb - ToMeas ш ·e specifies the set ofSS/PBCH Blocks to Ье measшed witl1in tl1e SMTC mea s шemeпt dшatioп . А s lюrt , rnediш11 ог lor1g
Ьitmap is bI"Oadcast accordiпg to tl1e fr·e qtteпcy raпge. А s lюrt Ьitrnap is bI"Oaclcast for caпiers below 3 GHz (нр to 4 SS/PBCH), а
meditrm Ьitmap is broadcast for· caпie1·s betweeп 3 GHz апd 6 GHz (ttp to 8 SS/PBCH), апd а l oпg Ьitmap is bюadc as t fOt" cшт i c r·s
g1·eater tl1a11 6 GHz (ttp to 64 SS/PBCH). Thc UE mea s шe s SS/PBCH Blocks \Vhich со пеsропd to а ' 1' witl1 i11 tl1e bit s triп g. Tl1c UI::
measures all SS/PBCH Blocks if ssb-ToMeasш·e is exclt1ded fI"Om tl1e SIВ
* de,-iveSSB-IndexF1·0111Ce// indicates whether or not tl1e UE сап ttse the timiпg of tl1e serviпg cell to der·ive the iп d i ces of th e SS!PBCH
Blocks transmitted Ьу neighbouring cells. The UE assumes radio frame alig11me11t across cells оп the seгv ing fгeqttency iftl1is fie!(I is
set to 'True'

SYSTEM INFORМATION BLOCK З

* SIВЗ provides cell specific information for intra-freqttency cell reselection . Cell specific information сап Ье provided for ttp to 16 irilпi­
frequency cells. In addition, up to 16 PCI ranges can Ье specified for Ыacklisting . The content of SIВЗ is presented in ТаЫе 15li

S/83
i11traFreqNeigl1CellList SEQUENCE {1 to 16 i11sta11ces}
pbysCellld О to 1007
-24, -22, -20, -18, -16, -14, -12, -10, -8, -6, -5, -4, -3, -2, -
q-OffsetCell
1, О , 1, 2, 3, 4, 5, 6, 8, 1О , 12, 14, 16, 18, 20, 22, 24 dB
q-RxLevMinOffsetCell 1 to 8 (act11a\ valt1e = si gпa ll ed valt1e х 2)
q-RxLevM i110ffsetCellSUL 1 to 8 (act"tral val н e = sig11alled value х 2)

q-QualMi110ffsetCell 1 to 8
i11traF1·eqBlackCellList S[QUE NC E {1 to 16 i11sta11ces}
PC/-Ra11ge 1 start О to 1007
1 range 4, 8, 12, 16, 24, 32, 48, 64, 84, 96, 128, 168, 252, 504, 1008

ТаЬ/е 156 - Content of Syste111 Infoп11atio11 Вlock 3 (SIВЗ)

280
 5G NR in BULLETS

* p l1ysCellld specifies the Physical layer Cell Identity (PCI) for the intгa-fгeq t1ency се !!
* q-0.ffse!Cell coпes pond s to the valt1e of ' Qoffset,.n' ,vl1ich is t1 sed dшing the rankiпg of intгa-freqt1ency ce lls. А positive va lн e makes
the n eighboшing cell appear less attractive, so cell reselection is less likely to оссш
* q-RxLe11Mi110ffsetCell defines а cell speci fic offset which is added to the valt1e ,J f q-RxLe11Min when evalt1ating the cг it e гia for cell
sclection. The va lt1e of q-RxLe11Mi11 is broadcast wi thin SIВ2. Only positive va lues аге defined so the offset al,vays makes the cell
se l ect i o п criteria more stringent

* q-RxLe11Mi110jfsetCel/SUL defines а cell specific offset which is added to the va!L1e of q-RxLevMinSUL when evalнating the cгiteria fог
cell selection. These parameters are ap plicaЫe when the UE st1pports а St1pplemental Uplink (SUL) fш the target neighbouring cell
* q-Qua/MinOffsetCe/1 defines а cell specific offset which is added to th e valt1e of q-Qua/Min when evalt1ati11g the criteria for cell
selecti on . The va lt1e of q-Qua/Min is broadcast within SIВ2. Only positive valt1es are defined so the offset always makes the cell
selection criteгia more stringent
* intmFгeqB/ackCel/Lisl allows the specification oft1p to 16 PCI ranges to Ье Ы ack li sted . Each PCI range сап inclt1de I ог mоге
coпsecu ti ve PCI. А single PCI is specified Ьу inclt1ding the ' staгt' valt1e bt1t exclt1ding the '1ш1gе' value

6.5 SYSTEM INFORМATION BLOCK 4

* Sffi4 pгovides info1mation regarding inte1·-fгeqt1ency cell 1·eselection. Frequency specific in fo 1mat ion сап Ье pгovided fог пр to 8
caп· ie1·s. Cell specific information сап Ье pгovided for пр to 16 cells оп each сап· i ег. In addition, t1p to 16 РС! 1·anges сап Ь е specified
fог Ы ack li s ting о п each сапiег. Tl1e fiгst рагt of the content belonging to SIB4 is pгesented in ТаЫе 157

S/84
i пterFreqCa rrierFreqList SEQUENCE {1 !О 8 i11 sta11ccs}
dl-CarrierFreq О to 3279 165
freqнeпcyBandList SEQUENC E {1 to 8 i11 sta11ccs}
freqB a 11dlлdicatorNR 1 to 1024
11r-NS-P111axList SEQUENCE {1 to 8 i11 sta11ccs}
add iti onalP111ax 1 -30 to 33 dBm
add iti onalSpectru mEmissio11 1 О to 7
freqнe11 cyBa11dLi st SUL SEQUE NCE \ 1 to 8 i11star1ccs}
freqBandlлdicatorNR 1 to 1024
11r-NS-PmaxList SEQUENCE {.1 to 8 i11sta11ces}
additiona lPmax 1 -30 to 33 dBm
add itio11a!Spectn1111 Emission 1 О to 7
nrofSS-8 locksToA verage 2 to 16
absThresl1SS- tl1resl10ldRSRP О to 127
BlocksConsolidatio11
thres lюldRSRQ О to 127
thresholdSINR О to 127
smtc periodicityAпdOffse t CHOICE
5 sнbframes О to 4 40 subframes О to 39
1О s нbframes О to 9 80 sнbfra111es О to 79
20 sнbfra111es О to 19 160 subframes О to 159
dшatio11 1, 2, 3, 4, 5 sнbfra111es
ssbS ubcarrie1·Spaci11g 15, 30, 120, 240 kHz
ss b-ToM ea s ш·e CHOICE
Sl101·t I BIT STRING 1 M ediшn I BIT STRГNG 1 Lo11g BITSTR IN G
Bit111ap {4 bits} Bitпiap {8 bits} Bihnap 1 {64 Ьit s }

d eri veSSB - l пd ex FromCe ll BOOLEAN

ss-RSS 1- M easшem eпt m ea s шem e nt S l ot s 1 В!Т STRГNG { 1 to 80 Ьits }

- endSymbol 1 О to 3
Т аЫ е 157 - Conte11t of Syste111 Inf01·111atio11 Block 4 (S IВ 4 ) - Par·t 1
5G NR in BULLETS

dl-Can·ie1-F1·eq specifies the Absolute Radio Frequency Channel Number (ARFCN) for the SS/PBCH belonging to the inter-freqt1ency
* carrier, i.e. it specifies the freqt1ency domain location ofthe SS/PBCH

* fi·equencyBandList andfi·equencyBandListSUL are used within the context of 'Mt1ltiple Freqпency Bands', which refers to opeгating
bands which overlap, i.e. а specific carrier frequency can belong to mt1ltiple opeгating bands. The configшation of ' Mt1ltiple Freqt1ency
Bands' allows а UE to t1se an operating band which is not normally sпpported Ьу the UE. For example, а UE used within its home
coпntry may suppoгt operating band 'Ноте'. That UE may roam into а different country which offeгs services пsing operating band
'Roam'. The UE may not normally st1pport operating band 'Roam'. However, if operating band 'Roam' overlaps with operating band
'Ноте', the UE is physically сараЫе ofusing at least some ofthe carriers belonging to operating band 'Roam'

fi·equencyBandList" andfi·equencyBandListSUL allow Llp to 8 compatiЫe operating bands to Ье listed. In each case, it is possiЫe to
* specify up to 8 pairs of {additiona/Pmax, additio11a/Spectm111Emissio11}, i.e. for а specific maximum transmit power, the UE mt1st
achieve а specific additional spectrum emission reqL1irement
Cell reselection is based upon cell level measurements rather than beam level measшements. When the Base Station transmits multiple
* beams, а UE is гeqt1ired to generate а cell level measurement from one or more beam level measurements
/1. UE derives а cell level measurement Ьу ca\culating the linear average of the
measшements belonging to а maximum of шofSS­
* BlocksT0Ave1·age beams, where each beam has а
measurement ,vhich exceeds absTl1гeshSS-BlocksC011s0/idatio11 . If SIВ2 excllldes
eitheг ofthese parameters, the UE generates the cell level measurement using only the strongest beam level measшement. The UE also
generates the cell level measurement usiлg only the strongest beam level measurement ifthe strongest beam has а measurement below
the valпe of absТl1гeshSS-ВlocksC011s0/idatio11
smtc defines the SS/PBCH Block Measшement Timing Configшation (SMTC). The SMTC specifies the time window dшing which
* the UE measшes the SS/PBCH Blocks belonging to neighbouring cells. The pe,-iodicityAndOffset is L1sed to ca\cпlate the SFN and
subframe associated with the start of each measurement window. The System Frame Numbel'S (SFN) which include the start of а
measurement window satisfy the following condition: SFNmod Т = FLOOR(Offset / \О), where Т = CEIL(Paiodicity / 10). The
starting suЬfгame is defined Ьу Q_ffset mod 1О, if Pe1·iodicity is greater than 5 sпbframes. Otherwise, the star·ting sпbframes ai·e de fined
Ьу Offset and Offset + 5 (there are 2 windows per гadio frame when the period is 5 ms). dumtion defines the length ofthe measшe ment
window

* ssbSubcштie,·Spacing defines the sпbcarrier spacing ofthe SS/PBCH Blocks to Ье measшed

* ssb-ToMeasuгe specifies tl1e set of SS/PBCH Blocks to Ье measшed within the SMTC measшement duration. А short, medit1m or long
bitmap is broadcast according to the freqпency range. А short bitmap is bгoadcast for carriers below 3 GHz (пр to 4 SS/PBCH), а
mediшn Ьitmap is broadcast for carriers between 3 GHz and 6 GHz (пр to 8 SS/PBCH), and а long Ьitmap is bгoadca s t for caттiers
gieate1· than 6 GHz (t1p to 64 SS/PBCH). The UE measшes SS/PBCH B locks wl1icl1 сопеsропd to а' 1' witl1in the Ьit st1·ing. Tl1e UE
me asшe s all SS/PBCH Blocks if ssb-T0Meas111·e is exclt1ded fi·om tl1e SIВ

seгv in g cell to derive the iпdi ces of the SS/PBCH

de1·i11eSSB-I11dexF,·0111Cell indicates whether 01· not the UE can L1se the timing of the
* Blocks transmitted Ьу пeighboшing cells. The UE assпmes гadio fгame alignment ac гo ss cells iftl1is field is set to 'Тгне'. De1·iviпg tl1e
indices ofneighboшing SS/PBCH Blocks fгom the timing ofthe seгving cell helps to reduce measшemeпt delays Ьесан sе it avo ids tl1 e
reqпirement to decode the РВСН belonging to neighbouring cells

ss-RSSI-Meas111·eme11t is used to configure the RSSI measшeme nts wl1ich are reqt1iгe d to calct1late RSRQ , i.e. RSRQ = SS-RSRP /
* (RSSI / N), where 'N' is the nнmЬег ofResoшce Blocks пsed for th e RSSI mea sшe meпt
m eas ш·ementS/ots provides а Ьit stгing
where each Ьit correspoпds to а slot within the SMTC dltl'ation. Fог example, ifthe SMTC
* dumtion is set to 5 sнbframesand the subcarrier spacing is 15 kНz then the Ьit stгing ,vill have а lengtl1 of 5 Ьits Ьесапsе tl1ere ai·e 5
slots in 5 subframes. In contrast, ifthe SMTC duгation is set to 5 st1Ьfl'ames and the s ubcaпier spaciпg is 240 kНz then tl1 e Ьit st1·ing
will have а leпgth of 80 Ьits Ьесапsе there are 80 slots in 5 sнbfi·ames. The UE measшes the RSSI dшiпg slots which coпespond to а
'1' within the Ьit stгing. endSymbol defines the symbols within the measшement slots which can Ье п se d to measшe the RSSI. Tl1e
value of endSymbol is а pointer to а гоw within а ЗGРР standardised look-up tаЫе (presented in ТаЫе 155, sectioп 6.3)
The second part ofthe content belonging to SIВ4 is preseпted in ТаЫе 158
*
q-RxL e vMiп defines the minimum RSRP reqllirement fог the taгg et inte1·- freqпency cell. q-RxLe11Mi11SUL is used wheп tl1e Base
* Station and UE SL1pport а Sпpplemeпtal Upliпk (SUL) fог the taгget сапiе1·. The link budget beloп g iп g to а Supplemental Upliпk may
diffe1· from the link bпd ge t fог tl1e No1mal Uplink. If coveгage is пplink limited theп q-RxLe11Mi11SUL can Ь е adjt1sted гelative to c1-
R.xLe11Mi11 to reflect the differe пc e in link bнd gets
q-Qua/Min defines tl1e minimum RSRQ requirem eпt for tl1e target i11teг- fгeqt1e n cy cell . The UE asst1mes а valt1e ofminlls infiпity if
* this iпformation e l e meпt is not bгoadca st, i. e. the UE always passes the RSRQ check

* р-Мах defiпes tl1 e maxinшm UE tгaпsmit ро\vег peпnitted ,vitl1in int er-freq t1 eп cy neigl1boшing cell s. р-Мах impacts the cell se l ect i oп
cгiteri a if tl1e UE tгaпsmit powe1· capaЬi lity is belo\v the va lt1e of р-Мах . It is assumed that tl1e co ve гage of the iпte 1·-fгeq L1 eп cy cell l1as
Ь ее п рlаппеd based t1p on tl1e va lt1e of р-Мах. This means th at the Base Station ,voL1id поt Ье аЫе to гeceive а ce ll edge UE witl1 а
loweг tr·aпsmit power capaЬili ty. Iп this case, Qrx l evm iп is iп cгeased to ensшe that tl1e UE can only camp оп the cell ,vh eп tl1c UE is
closer to tl1e Base Station. This coпespoпds to the va lt1e of ' Pcompensatioп' witl1in the cell selection eqн at i oп for Srx lev
t-ReselectionNR defines tl1 e time-to-tгigger fo1·
iпt er-fi·e qll e ncy cell reselection. s.f-Medium and s.f-Hig/1 defiпe scaling factors fог
* .
medit1m and high moЬility coпditions. t-Rese/ectioпNR is mнltiplied Ьу th e appropri ate scaling factor wl1en medit1m 01· higl1 moЬility is
detected

282
 sG NR in BULLETS

S/8 4 co11li11t1ed
interFreqCarrierFreqList q-RxLevMin -70 to -22 dBm (actнal valнe = signalled va lн e х 2)
(coпti1шed)
q-RxLevM inS UL -70 to -22 dBm (actнal valнe = signalled valнe х 2)
q-QнalMin -43 to - 12 dB
р-Мах -30 to 33 dBm
t-Rese l ec tioпNR О to 7 s
t- Resel ec ti o пNR-SF sf-Mediшn 1 0.25, 0.5, 0.75, 1.0
sf-High 1 0.25, 0.5, 0.75 , 1.0
tl1resl1J<:-Higl1P О to 31 (ac!tlal valнe = s igп a lled valнe х 2)
tl1resl1X-Lo\vP О to 31 (ac!tial va lнe = signalled valнe х 2)
threshX-Q threshX-Higl1Q 1 О to 31
tl1reshX-Lo\vQ 1 О to 31
ce llResel ec ti oпPri ority О to 7
cellReselectio11St1bPriority 0.2, 0.4 , 0.6, 0.8
-24, -22, -20, - 18, -16, -14, - 12, -10, -8, -6, -5, -4, -3 , -2 , -1, О, 1, 2, 3, 4, 5, 6, 8, 10,
q-O ffset:Freq
12, 14 , 16, 18, 20, 22, 24 dB
iпt erFreqNe igl1Ce llLi st SEQUENCE \ 1 to 16 iп s t a n ces}

pl1ysCellld О to 1007
-24, -22, -20, -1 8, -16, -14, -12, -10, -8, -
q-OffsetCell 6, -5, -4, -3, -2, -1 , О, 1, 2, 3, 4, 5, 6, 8,
1О , 12, 14, 16, 18, 20, 22, 24 dB
q-RxLevMiпOffsetCell 1 to 8
q-RxLevMiпOffsetCellSUL 1 to 8
q -Q н a lMiпO ffsetCe ll 1 to 8
i11terFreqB lackCe llList SEQUENCE {1 to 16 i 11 s 1aiн: cs )

PCI-Range 1 start 1 О to 503

1 raпge 1 4, 8, 12, 16, 24, 32, 48 , 64, 84, 96, 128, 168, 252, 504, 1008

Та Ы с 158 - Сопtе пt of System \ 11 fo1·шatio11 Вlock 4 (SШ4)- Part 2

* tl11·esl1X- Higl1P is app li caЫe \vl1en tl1e ta гget са 1тi е г l1as а l1i g h eг Abso lt1te P1·iori ty tl1an tl1e seгv in g сап i е1·. Cell 1·eselection to\vai·ds а
l1igl1er pгioгity сап i е1· is permitted if Sгx l ev fог tl1e candidate cell is g1·eate1· tl1an the valt1e of tl11·esl1X-Нigl1P
* tl11·esl1X-Lo11 1P is appli ca Ы e when the ta1·get са пi е 1· has а lower Absolt1te Priority tlian the seгv iп g са 1тi е 1· . Cell 1·eselection towa гd s а
l o \ve г p гi or i ty саrгi ег is peпnitted if Sгx l ev fог the caп did ate cell is gieateг th a п the valtte of-tl11·esl1X-L01vP, \vhile Sгx l ev fог the seгv iп g
cell is less thaп the valtte of tl11·esl1Se1·\Ji11gL01vP broadcast withiп SIВ2
* tl11·esl1X-Higl1Q is applicaЫe wl1e11 the t a гge t сапiег has а hi g h e г Absolt1te Pгio гity than tl1e se гvi n g са1тi ег. Cell гese l ec t i oп towaгds а
l1igl1e1· pгiority са ггi е1· is p e гmitte d if Sqt1al fог the ca пdid a te cell is gгеаtег tl1a11 tl1e valtte of tl11 ·es l1X-Нigl1 Q. Sqt1al is ttsed fог cell
гese l ec tioп iпstead of Sгxlev if SIВ2 bюadcasts а valt1e fог tl11·esl1Sen 1i11gLo,vQ

* tl11·esl1X-Lo 111Q is applic a Ы e \vheп the tai·get сагr i е г has а lo\ve г Absolttte Prioгity thaп the se гvi п g ca гri e 1·. Ce ll 1·eselection to\vaгd s а
l o\ve г pгioгity carri eг is p eгmi tted if Sqt1al fог the ca пdid ate cell is gгea te 1· th a п the valt1e of tl1гesf1X-Lo1vQ, while Sqttal fo1· the se гvin g
cell is less tlia п the valtte of tl1гesl1Se1 · 11i11gLoн1 Q bю a dc ast \Vithin SIВ2
* cel/Reselectio11P1·io1·ity а пd cel/Rese/ectio11S11bPгioгity аге sшnm ed to ge n e гate the Absolttte PгiOl·ity fог tl1e inteг- fгeqtt e пcy carгi e 1·

* CJ-0.ffsetFгeq coпesp o nd s to the valtte of 'Qoffsetrrcqнc11c/ (fгe qtt ency specific offset) wl1ich is ttsed dttгiп g tl1e гa nkiп g of eqttal p1· i oг i ty
iпte г-fi·e qtt eп cy cell s. А positive va ltte makes the inte г-freq tt eпcy cell арреаг less attгac ti ve, so cell гeselec ti o п is less li ke ly to осс t1г
* i11te1Л ·eqNe igl1 Ce l/Lis t p1·ovides а set of cell specifi c paгameteгs fо г cells belon g iпg to tl1e са 1тi ег defi п e d Ьу cll- CaпieгF1 ·eq

* pl1ysCellld specifies tl1e Pl1ysical l ауег Cell Identity (PCI) fог tl1e iпtег-fге qн е п су cell
* ц-Offs·et Ce/1 coп·espo n ds to tl1e valtte of 'Qoffset,.,i' (cell specific offset) \vl1ich is ttsed dttг iп g tl1e 1·anki11g of i11te 1·-fгeqtt e 11cy cell s. А
positive va ltte makes tl1e 11 e i g l1b o шin g cell ар р еаг less att1·active, so cell гese lection is less likely to оссш
* ц-RxLe\JЛ 1/i110ffsetCell defines а cell specific offset \Vl1ich is added to the valt1e ot'ц-RxLe11 Mi11 ,vl1en evalt1ati11g tl1e cгiteгia fo1· cell
se l ectio п. Опlу
positive va lttes аге defiпed so tl1e offset al\vays makes tl1e cг ite ria тоге st1·ingent. c1-RxLe\JMi110!JsetCel/SUL defiп es а
cell specific offset \Vl1icl1 is added to tl1e va ltte of q-RxLel'Mi11SUL \Vl1en eva ltt at iп g tl1e cг i te1· i a for cell selection
* q-Q11a/Mi110IJ5etCell defiпes а cell specific offset \vl1ich is added to tl1e va ltte of c1-Q11a/Mi11 \vhen eva lн at in g tl1e cг ite1·ia tог cell
se l ect i o п . On ly posi ti ve valt1es аге defiпed so tl1e offset always makes tl1e cell selection cгiteria тоге stri п gent

* i11tmF1 ·eцB /ackCel/List allo\vs tl1e specification oft1p to 16 PCI шпgеs to Ье Ыackli s ted. Each PCI гап gе сап inclttde I ог тоге
consect1tive PCI. А single PCI is specified Ьу inclttding tl1e ' staгt ' valtte bttt exclt1di11g the 'т11gе ' va ltte

283
sG NR in BULLETS

6.6 SYSTEM INFORМATION BLOCK 5

* SIВS provides info пn ation regarding inter-system cell reselection towards 4G (LТЕ) . lnformation с а п Ь е included fo r пр to 8 LTE
carriers. The content of SIВ S is presented in Та Ы е 159

S!В5

carrierFreqListEUTRA SEQUENCE {1 to 8 instances}

\. carrierFreq О to 262 143
eutra-multiBandinfo List SEQUENCE {1 to 8 i п s taпces}
eutra-FreqBand!ndicator 1 to 256
eutra-NS-PmaxList SEQUENCE {1 to 8 instances}
additiona\Pmax 1 -30 to 33
additioпa \SpectrumEmission 1 1 to 288
'
eutra-FreqNeighCe\lList SEQUENCE {1 to 8 iп s ta n ces}
physCellld О to 503
q-OffsetCell -24, -22, -20, -1 8, -16, - 14, -1 2, -10, -8, -6, -5, -4, -3, -2,
- 1, о , 1, 2, 3, 4, 5, 6, 8, 10, 12, 14, 16, 18, 20, 22, 24
1
q-RxLevMinOffsetCell 1 to 8 (act1.1 al va lue = signalled value х 2)
'
1
q-Q ua lM i п OffsetCe\l 1 to 8
e1.1tra-BlackCellList SEQUENCE {1 to l6i 11sta11ces}
EUTRA- Pl1ysCellldRange start О to 503
ra nge 4, 8, 12, 16, 24, 32, 48, 64, 84, 96, 128, 168,
252,504
allo\vedM easBand,vidtl1 6, 15, 25, 50, 75, 100 Reso шce Blocks
presen ceAn teп n a Port 1 BOOLEAN
cellReselectionPriori ty О to 7
cell Reselectio11S1.1 bPriority 0.2, 0.4, 0.6, 0.8
tl1resllX-Higl1 О to 31 (act1.1a l va lнe = sig11a lled va l1.1 e х 2)
tl1resl1X-Lo,v О to 31 (acrual va l1.1 e = s igп a ll ed va l1.1 e х 2)
q -RxLev Miп -70 to -22 (act1.1 al value = s i gп a ll ed va lнe х 2)
q -Qu a lMiп -34 to -3
p-MaxEUTRA -30 to 33
tl1resl1X-Q tbreshX-Higl1Q 1 О to 31
tl1 reshX-Lo,vQ 1 О to 31
t-Reselecti onE UTRA О to 7 seconds
t-Reselecti onEUTRA-SF sf-Medi1.1m 0.25, 0.5, 0.75, 1.0
sf-High 0.25, 0.5, 0.75, 1.0

Та Ы е 159 - C ontent of Sys teш In fo1·111ation Block 5 (SIВS)

* ca, тieгF1 ·eq specifies the Absolt1te Radio F1·eqt1ency Chan nel Nt1 m b eг (ARFCN) belonging to th e LТЕ caп i er
* eu/m -multiBancllnfo Lisl сап Ье нsed w itl1i11 th e context of mt1l ti-band sceпari os, i.e. a ll o,ving а UE to нsе а п opeгati п g Ьапd wl1i cl1 is
not normall y st1pported Ьу the UE. T hi s type of scenai·io оссшs when opeгat iпg bands ove,·Iap. Fог example, а UE used witl1i11 its lютс
countгy may sн ppo1i opeгating band 18. T hat UE may roam i п to а differeп t cot1n tгy whi ch offeгs seгvices щ iпg opeгat i пg Ьапd 26. Tlic
UE may not no гmally sнpport opeгati ng band 26. Howeve1·, opeгat iп g band 18 is а sнbset of ope1·ating band 26 so the UE is pl1ysica ll y
сара Ы е of н s in g at least some ofthe ca пi e1·s belonging to opeгat i пg Ьапd 26

* T he ARFCN specified Ьу сштiе,Л ·еq identifies tl1e opeгating Ьапd w itl1in the local сон ntгу (LTE ARFCN va lн es аге нпiqн е acr·oss
opeгa ti n g bands, even wl1e11 tl10se ope1·ati11g baпd s oveгl ap). e1111·a-Fl·eqBa11cll11clicato1· specifie s ап opeгatin g Ьапсl ,vh icl1 is cn inpat iЫ c
with the opeгatiпg band specified Ь у cmтie1-Fl·eCf . Tl1i s m e aп s tl1at а U E wl1i ch s нppoгt s ап opeгa ti п g band specified Ьу e11tm-
F1·eqBanc/!11dica/01· сап make нsе o f th e ARFCN specified Ьу cm·1·ie1·Ft·eq, even w l1e11 it does поt sнppori tl1e ope1·ati11g Ьапd ~юплаll у
associated w itl1 tl1e ARFCN
* e11/гa-111ultiBa11dl11(0Lisl a ll o,vs нр to 8 compatiЫe opeгati пg bands to Ье listed. Iп eacl1 case, it is poss i Ыe to specify нр to 8 pairs_of , 1
{additio11a/P111ax, additio11a/Speclm111E111issio11 }, i.e. for а specific max i mшn tгan sm i t ро,vег, tl1e UE mнst acl1ieve а specific add 111011•1
spectгнm em i ss ioп ге qн i геmе п t
 5G NR in BULLETS

* e11/!'a-F,-eqNeigl1Cel/List allo,vs the specification oft1p to 8 PCI. Eacl1 PCI сап Ье made more or less attractive for cell гeselection Ьу
configшing positive ог negative valt1es fог q-0.ffsetCe/l. In addition, the Qrxlevmin and Qqt1almin reqt1irements for the target L ТЕ cell
сап Ье made more stringent Ьу specifying valt1es fо г q-RxLe11Mi110ffsetCe/l and q-Qua/MinO.ffsetCell

* e11t1·a-B/ackCel/List allows the specificatioп oft1p to 16 PCI ranges to Ье Ыacklisted. Each PCI range сап inclt1de I or тоге
consect1tive PCI. А single PCI is specified Ьу iпclt1ding the 'sta,·t' valt1e bt1t exclt1ding the ' гапgе ' value
* a!l0111edMeasBa11d111idtl1 specifies the maximt1m allowedmeasшemeпt baпdwid ,h fог the target cell. The bandwidth is specified in
terms ofResoшce Вlocks. 6, 15, 25 . 25, 50, 75 , and 100 Resoшce Blocks сопеsропd to the 1.4, З, 5, 1О, 15, 20 MHz channel
bandwidths
* neigl1boшing L ТЕ cells use апtеппа port 1. lf the valt1e 'Тп.1е' is broadcast, the UE сап
p!'ese11ceA 11te1111aP01·/ 1 indicates whether or not
asst1me that at least 2 cell specific апtепnа ports аге t1sed in all neighboшing cells, i.e. at least poгts О апd 1. RSRP and RSRQ
measшements сап Ье based t1роп Cell specific Refeгence Sigпal tгansmissioпs from both аntеппа ports wheп availaЫe

* cel!Rese/ectio11P,-io,·ity and cel/ReselectionSubP1·io,-ity аге st1mmed to generate the Absolt1te Priority for the target L ТЕ caгrier

* tf11·esl1X-High is applicaЫe
when the target L ТЕ сапiег has а higheг Absolt1te Pгioгity than the serving NR саггiеr. Cell гeselection
towards а higher prioгity carrier is permitted if Srxlev for the candidate cell is greater than tl1e value of th1·esl1X-Higl1
* applicaЬ!e w hen the taгget L ТЕ сапiег has а loweг Absolt1te Pгioгity than the seгving NR сапiег. Cell reselection
1!11·es/1X-Lo11 1 is
towa1·ds а lower prio1·ity сапiег is p e гmitte d if Srxlev fог tl1e candidate cell is g reateг than the value of th1 ·esl1X-Lo н 1 , while Srxlev fог
the serviпg cell is less thaп the valt1e of tl11 ·esl1Se,-vi11gLoн1P bгo adc as t within SI82
* q-RxLel'Min defines tl1e minimum RSRP reqt1iгe ment fог the taгget L ТЕ cell. This value сап Ье modified Ьу q-RxLe11Mi110ffsetCe/l if а
valt1e has been bгoadcast for the гel e vant PCI. Similaгly, q-Qua/Min defin es the minimt1m RSRQ гeqt1iгement fог the target L ТЕ cell,
and са п Ь е modifi ed Ьу q-Qua/MinO.ffsetCell if а valt1e has been bгo a dc as t fог the гe lev a nt PCI
* p-MaxEUTRA defi nes the maximшn UE t1·ansmit роwег peгmitted in the LTE cell. p-MaxEUTRA impacts the cell selection cгiteria if
tl1e UE t1·ansmit powe1· capability is less than the valt1e of p-MaxEUTRA. lt is asst1med that the coverage of the L ТЕ cell has been
planned based upon th e valt1e ofp-MaxEUTRA. This means th at the Base Station woнld not Ь е аЫе to receive а cell edge UE with а
loweг tгa пsmit р о wег capability. In this case, Qrxlevmin is increased to ensшe that the UE сап only camp on th e cell when the UE is
c lo seг to the Base Statioп . This corresponds to the valt1e of 'Pco mp e n sa tioп ' witl1i11 the cell selection eqнation fог Sгxlev

* tl11 ·esl1X-Нigl1Q is a pplicaЫ e wheп th e t aгget L ТЕ сапiе1· has а l1igh e г Absolt1te Prioгity than the seгving NR саrгi е г. Cell reselection
to,va гd s а hi gh eг pгiority сап i е г is pe1-mitted if Squal fог the candidate cell is grea teг th aп the value of tl11 ·esl1X-Нigl1 Q . Squal is н sed fог
cell 1·ese l ec ti oп instead of Sгx l ev if SI82 bгoadcasts а va lн e fог tl11 ·esl1 Seп, i11gL0111 Q
* tl11·esl1X-Lo111Q is app l icaЫe wh e п the taгget L ТЕ са~т i е г l1 as а l oweг Abso lнte Prioгity tl1 ai1 th e se гviп g NR саггi е г. Cell гese l ect i oп
to\vai·ds а l o\veг pг i oгity сап i е ,· is peпnitted if Sqlla l fог the ca пdid ate cell is gгеа tег tliaп the \ia llle of 1/11·esl1X-Lo 11,Q, w l1il e Sq11 al fог
tl1 e se гv in g cell is less tl1a11 tl1e va llle of t/11·es-/1Se1·vi11gLoн,Q bгoadca s t w i th iп SI82
* t-Rese/ectionEUTRA d e fiпes tl1e time-to-tгiggeг fог cell 1·eselection towards L ТЕ. sf-Medi11111 an d sf-Hig/1 defiпe sca liп g fac t o гs fог
medit1m ап d high moЬility coпditioпs. t-ReselectionEUTRA is mt1ltiplied Ьу tl1e арргоргiаtе scaliпg factor \Vheп medium or l1 igh
moЬility is detected. Tl1e parameteгs нsed to detect medit1m апd high пюЬility are broadcast in SI82

6.7 SYSTEM INFORМATION BLOCK 6

* Sl86 pгovides sttpport fог the Earthqt1ake and Tst1nami Warning System (ETWS). ETWS is an example of a PuЫic Waгning System
(PWS). ETWS warniп g пotifications сап Ье either pгimary (shoгt notifications delivered within 4 seconds) ог secoпdary (mоге detailed
infoгmation). SIВ6 broadcasts p r imaгy notifications whereas SI87 bгoadcasts secondaty notificatioпs

* The 5G гadio access net\voгk peгfoгms scheduling and broadcasting ofthe waгning message conteпt гec e ived from tl1e Cell Broadcast
Centeг (СВС). This content is гeceive d from tl1e СВС via the АМF

* Tl1e co пte nt of SI86 is pгes e nted in ТаЫе 160

S/86
messageldeuti fier ВIТ STRrNG (16 bits)
serialNшnb er В!Т SТR!NG (16 bits)
\VarпiпgType О СТЕ Т STRrNG

Та Ые 160 - Соп tепt of System lпfоппаtiо п Block 6 (SIВ6)

* Тl1 е Message ldeпtifieг is а stгiп g of 16 Ьits wl1 icl1 defiпes tl1 e type ofETWS пotificati oп. These аге specified \Vitl1i11 ЗGРР TS 23 .041.
Examp les iпc lude eaгthquake \Va rniпg, tstшami \Vaгп ing, earthquake апd tsнпami waгniпg, otl1e1· еmегgепсу, ог test message
* The Serial Numbeг is а st1· iп g of 16 Ьits t1sed to t1·ack апу cl1anges iп tl1e ETWS notification. lt i11clt1des:
5G NR in BULLETS

о 1 bit emergency user alert flag to instruct the UE to alert the end-user, e.g. Ьу playing а tone or vibratiпg
о 1 bit pop-up flag to instгuct the UE to display а message оп its screen
о 8 bit message code used to further specify the type ofETWS notification
о 2 bit geographical scope to indicate the area over which the message is applicaЫe, i.e. cell, location area, or PLМN. It also
indicates the display mode, i.e. whether or not the warning is to Ье displayed at all times
о 4 bit update number used to indicate а change in the message content. The update number differentiates between oldeг and ne\ve
versions of the same message r

* The Warning Туре specifies whether the warning is for а tsunami, earthquake or tsunami and earthquake. It also includes user alert and
pop-up infoгmation

6.8
, SYSTEM INFORМATION BLOCK 7
* SIВ7 also provides support fог the Eaгthquake and Tsuпami Waming System (ETWS). ETWS waгning пotifications can Ье eitlщ
primary (short notifications delivered within 4 seconds) or secondary (more detailed infoгmatioп). SIВ6 broadcasts pгima1y
notifications whereas SIВ7 broadcasts seconda1y notifications
* The content of SIВ7 is presented in ТаЫе 161

S18 7
messageldentifier В!Т STR[NG (16 bits)
serialNumber В!Т STR[NG (16 bits)
1vami11gMessageSegmen tType пotLastSegmeпt, lastSegmeпt

1vami11gMessageSegmentNt1mber О to 63
1vamingMessageSegme11t ОСТЕТ STRrNG
dataCodingScl1eme ОСТЕТ STR[NG

ТаЫе 161 - Сопtепt of Systeш Iпfoп1iatio11 Block 7 (SIВ7)

* The Message Identifie1· is а st гin g of 16 bits wl1icl1 defiпes th e type ofETWS notification as specified w ithiп 3GPP TS 23 .04 1.
Exampl es inc lude eaгt liquak e waming, t s нпami waming, eaгt l1qнa ke а пd ts нn am i waгning , o tl1 e г eme1·gency, ог test messc:ge
* Tl1e Serial Numbeг stгing includes tl1e same fields as the Seгial Number stгing witl1in SIВ6

* The Wamiпg Message Segment Туре iпdicates whetheг or поt the message segmeпt is the last segment oftl1e complete 111essage

* The Warпing Message Segment NнmЬег гepгesents the nнmbe1· ofthe subseqнent Message Segmeпt. This 1шmber is used 1vl1e11
гecoп s tructiпg the complete message

* The Warning Message Segment pгovides а segmeпt ofthe message

* The Data Codiпg Scheme identifies the alpl1abet/coding апd language used for the ETWS message. Tl1e allowed valнes are speciticd
withiл 3GPP TS 23.038

* 3GPP Refereпces: TS 38.331, TS 23.041

SYSTEM INFORМATION BLOCK 8

* SIВ8 is нsed to provide а Commeгcial Mobile Ale1·t Service (CMAS) пotification . CMAS is an exa mpl e ofa РнЫiс Waг11 i11 g Systerп
(PWS) which is аЫе to deliver mнltipl e, concштent 1vaг11i11g text messages. The Fedeгal Commuпications Commissioп (FCC) .
estaЫi sl1ed CMAS to allow seгv i ce provideгs to send еmегgепсу alerts as text messages to their нsers 1vl10 liave CMAS сараЫ е lJ[;
* Tl1e co11tent of S IВ 8 is pгese пte d iп ТаЫ е 162
* 111essagelde11tij1e1· is а stгiп g of 16 bits 1vl1i cl1 d e fiпes tl1 e type of CMAS message bгoad cast Ьу SIВ8. These а 1·е spec i fi ed 1vitli i11 З (jl'I' .
TS 23.04 1. Exa mpl es iпclнde 'P1·eside11tial Ale1·ts ' , ' Ex t,·eme A leгts with Seve1·ity of Ex t1·eme, Uгgепсу of Immecli ate, a11cl Ce 1·ta 1111 Y,,r
Observed' апd 'Seveгe A l e гts witl1 Seveг ity of Seve1·e, Uгg e 11cy of Expected, апd Ce1·tai 11 ty ofLikely'
* se1·ia/Nш11be1· is а stгiпg of 16 bits L1sed to t1·ack а11у cl1 anges iп tl1 e CMAS notificatioп. The se,·ial пшnЬ ег is L1pd ated еvегу time а
CMAS message with а specifi c Message Identifie,· is нpdate d
* 111ami11g MessageSegme111Type is l1sed to iпdi cate wl1ethe1· ог 1101 tl1e Message Segmeпt is tl1e last segment belon g in g to tl1e messagc

286
 5G NR in BULLETS

S!B8
messageldentifier ВJТ STRING (16 bits)
serialNumber ВIТ STRING (16 Ьits)

\VamiпgMessageSegmeпtType notLastSegment, l astSegmeпt

\vamingMessageSegmeпtNumber О to 63
\VamingMessageSegment ОСТЕТ STRING
dataCodi11gScl1eme ОСТЕТ STRING
\vamingAreaCoordinatesSegment ОСТЕТ STRING

ТаЬ\е 162 - Content of System Inf01·mation В\осk 8 (S188)

* 1vami11gMessageSeg111e11tNumbe1· represents the пнmЬеr of the Message Segmeпt . This n11mber is 11sed wheп reco11stn1cting the
complete message. It сап Ье allocated val11es betweeп О апd 63
* 111ami11gMessageSeg111e11t is а sectioп ofthe CMAS message
* data Codi11gSc/1e111e ideпtifi es the alphab et/coding апd lang11age нsed fo1· the CMAS message. The allowed va lн es аге specified ,vithin
3GPP TS 23 .03 8
* н1ami11gA1 ·eaCoonli11atesSegme11t pгovides infoгmation rega гding tl1e area across which the CMAS waгпing message is valid. T he UE
нses this infoгmatioп to dete пniпe whetheг ог поt the ,varning message is displayed
* 3GPP Refer·ences : TS 38.33 1, TS 23.041

6.10 SYSTEM INFORМATION BLOCK 9

* Sffi9 pгovides timiпg iпfшmatioп fo1· Coor·diпated Uпive rsal Time (UTC), GPS time апd loca l time. Tl1is timing infoпn a tioп сап Ье
нse d Ьу the hi gl1eг layer·s ofthe UE, e.g. to synchronise tl1e UE clock ог to assist with GPS iпitiali s atioп. The timing infor·mation may
also Ь е нsed Ьу specific se гvices , e.g. m11ltimedia bгo a dca s t m11lticast se гvice s

* Alte гп a ti ve l y , а
UE са п ac qнir·e timiп g iпfoпn a tion fгom а Ne twoгk Time Protocol (NTP) s егvе г, 01· fгот t\1 e С оге Ne twoгk . Т\1 е AM F
са п pгov id e ti111i11g i11fo1·111atio1111 si11 g th e N AS: 'C onfi gнгa ti o n U pdate C ommaпd ' message. Ho,ve v e г, S IВ 9 is са р аЬ\ е o fpгov idin g
g1·eate1· асс шасу tlian tl1 ese a \t e гпati ve s olнtion s . T l1 e content of S IВ 9 is pгese nte d iп Та Ь\ е 163

S /89
timelnfo timelлfoUTC О to 549755813887
dayLigl1tSavi11gTime ВIТ STRING { SIZE 2 }
leapSeconds -127 to 128
localTimeOffset -63 to 64

ТаЬ\е 163 - Content of System Info1·mation Block 9 (S189)

* timelnfoUTC specifies the Coordinated Uпiveгsa\ Time (UTC) at the гadio frame bo1111dary which оссшs at, or immediately afteг the
епd of the System Iпfoгmation (SI) window within which S!В9 is t1·ans111itted. The vа\не specifies the n11mbeг of I О 111s tшits since
00:00:00 оп Gгegorian calendaг date I s1 Jапна~у 1900

* clayLig/1tSm1i11gТi111e specifies whetl1 e1· ог not Dayligl1t Saving Time (DST) shoнld Ье applied ,vhen de1·ivi11g the local time. А vа\не of
' 00 ' indicates that DST sho нld not Ье applied; а va lнe of ' О 1' iпdicates that + 1 \юнr ofDST shoнld Ье applied; а va lн e of ' 1О ' indicates
t\1at +2 \юшs of DST shoнld Ье applied. Tl1e vа \н е of ' 11 ' is сштепt\у гeserved

* DST advances t\1 e local time dшing t\1e sнmme1· per·iod. In tl1e no11hem l1emisphe1·e, this coпes poпds to 111ont\1s beh,1een Ma1·ch/April
апd Septembe r/Novemb e г, ,vher·eas iп the southerп hemispheгe , this co1тes pond s to 111011ths behveen September/November апd
Магсl1 / Apr·i 1

* leapSeconds al\o,vs the GPS time to Ь е derived fгom tl1e UTC time, i. e. GPS time = UTC Time + leapSeconds. UTC time iпclнd es t\1e
impact ofleap secoпd s to а с сонпt fог c l1 a п ges iп t\1 e гаtе ofJ"otation oft\1e eaгth. Within t\1 e context of UTC time, а тiпнtе с ап
s0111eti111es l1ave а dшatioп о г 6 1 sec oпd s ог 59 seconds. GPS time is s impl y based нроп atomi c clo cks а пd does 1101 iп c lud e tl1 e impact
of leap sec oпd s

* loca/Tim eOjfset specifi es tl1 e diffe 1·e п ce behveen UTC time а п d the \ оса ! ti me in 1111its of 15 m iпllt es , i. e. loca l time = UTC time +
lo ca/Тi111eO[fset х 15 miпнtes . Tl1is time offset асс онпt s fo1· th e w ide га п gе of time zones н sed а го нпd tl1 e ,vo гld

* 3GPP Re fe1·e п ces: TS 3 8.33 1, TS 24.50 l , TS 24.008

5G NR in BULLETS

7 UPLINK SIGNALS AND CHANNELS

7.1 UPLINK CHANNEL MAPPINGS

* Logical channeJs transfer data (RLC PDU) between the RLC and МАС layers. Transport channels transfer data (МАС PDU) behvee
the МАС and Physical layers. Physical channels transfer data across the air-interface. МАС PDU are also known as Transport Block~
* Physical signals are used for various physical layer measurements. These measurements can Ье used for 11plink channel estimatioп
dнring demodulation, downlink channel estimation when channel recipгocity exists, 11plink beam management, selection oft1pliпk
precoding weights, phase error estimation, channel aware sched11ling and link adaptation

* The mappings between the vario11s channel types ai·e illustrated in Figure 238. This figнre also illнstrates the set ofнplink signals

Applicafion
Random Layer 1 RRC Signalling
Data
Access Control RLC
Layer
ссен DCCH DTCH

Logical Channels

МАС
Layer
RACH
Transport Channels •··-··

UCI Physical
Layer
PRACH I PUCCH
Physical Channels --- - - -- ---- -0 ------------ -- --------------------- - ---- - -- ---

Physical Signals · ··········· ··· ······ · - ·· · ····О ··· · ··········· -О · · ·· · · ·· ·· · ···- О· ·--· ···-···- ··· О-·-----·---····· ···- · ·--··
DM· RS SRS DM·RS PT· RS
for PU CC H for PUSCH for PUSCH

Figш· e 238 - Mapping of uplink logical clш1111els опtо tra11spo1·t cha1111els and pl1ysical clшпnels

* The Common Contгol Channel (СССН) and Dedicated Control Channel (DCCH) аге used to transfer RRC signallin g messages, i.c.
data belonging to the set of Signalling Radio Веаге1·s (SRВ). The Dedicated Tгaffic Channel (DTCH) is н sed to transfe1· applicatio11
data. AII SRВ data and all application data is mapped onto the UL-SCH and PUSCH
* The PUCCH pl1ysical channel is not used to transfeг higher layer info1mation, so does not have associated logical nог tгanspoгt
channels. Tl1e PUCCH tгansfeгs Uplink Contгol Information (UCI). Uplink Contгol Information i11cl11des Sched11ling Re qнest s , HЛl{Q
Acknowledgements and Chaimel State Infoгmation (CSI). А CSI герогt can incl11de various combinations oftl1e follo\viп g: Raпk
Indicatoг (RI), Lауег Indicatoг (LI), Precoding Matrix Indicatoг (PMI), Channel Q11ality Indicato1· (CQI), CSI Refe1·e11ce S i gп a l
Iпdicator (CRI), SS/PBCH Block Resoшce Indicator (SSBRI) а пd Layer I RSRP

* The Random Access Cl1annel (RACH) is нsed to transfeг the index ofthe ргеаmЫе seq11 eпce which has Ьееп selected fo1· tl11:: РRЛ С Н ,
i.e. the МАС lауе г completes the рге а mЫе se lectioп ргосеdше апd subseqнeпtly passes tl1 e result to the Physical layer
* There аге Demodнlatioп Refereпce Signals (DMRS) f01· the PUCCH and PUSCH. These Refeгence Sigпals аге seqнeпces \v\1i cl1 ai·c
kпоwп to the Base S tatioп. The Base Statioп compaгes tl1e received veгsioп ofthe sеq непсе witl1 the known геfегеn се to es tiп1a t r ilic
impact oftl1e pгopaga tioп с l1апп е l . Tl1e UE сап tl1eп apply а п iпve гse ofthe propagat ioп с h а пп е l Ь еfо ге d e modнl a ti oп
* Tl1e Soнпdiпg Refereп ce Signal (SRS) са п Ье 11sed Ьу tl1e Base Station fог сhапп е l а\vаге pac ket schedнliпg апd liпk adap tatioп . ',\llicii
сhаплеl гecipгocity ex ists, the SRS сап Ье н sed fог dowпliпk сh аппе l estimatioп. Wh eп сhаппеl t"ecipгocity does поt ex ist, tl1e SRS c~i,
Ье нsed fог нpliп k bea m maпage meпt . Tl1e SRS са п also Ье н sed to st1ppo1·t tl1e sel ectioп of t1pliпk pгecod iп g weights fог botli ,юп ­
соdе Ьооk based t,·aпsm i ss i o п а пd codebook basecl t,·a п s mi ss i oп

* Tl1e Phase T1·ackiпg Rе fегепсе Sigпal (PTRS) сап Ье нsed to l1 elp compeпsate fог pl1 ase пoi se geпe,·ated Ьу tl1e loca l oscillato1·s at bPl li
tl1 e tгaп s mitteг а п сl гесе i vег. Phase пoi se is п оt а s i gпifi ca пt i ssн e fог the l oweг opeгatiп g baпds Ьнt beco mes mо ге s i gпifi ca пt fог llic
l1i gl1 eг ope1·atiп g baпds. Tl1 e PTRS may also Ь е н sed to sнppo1·t сl1апп е l est im atioп dшiп g de modнl atioп , i.e. to co mpl e111e11t tli c .
Demodнlatioп Rеfегепсе S i gпa l (DMRS) . T l1 e PTRS occнp ies less Resoшce Elemeпts tl1a11 tl1 e DМRS so cha1111e l estimatioп is l, kcly
to Ь е less а ссшаtе Ьнt it c гe ates а s111all e1· ove1·head to\vaгd s tl1 e PUSCH

288
 5G NR in BULLETS

PHYSICAL RANDOM ACCESS CHANNEL

7. 2.1 BACKGROUND
The Physical Random Access Channel (РRАСН) is used to tшnsmit Random Ar;cess preamЫes, i.e. MSG I belongiпg to the Random
* Access procedшe. MSG2 uses the PDSCH wheгeas MSG3 uses the PUSCH. The Random Access procedure is desc1·ibed in section
13.1
The PRACH is always transmitted using antenлa рогt 4000
*
The geneгal st111ctшe of а PRACH transmission is illustrated in Figшe 239. The PRACH transmission includes а cyclic prefix and one
* or more repetitions ofa sequence. 3GPP has specified а гange of PRACH formats with up to 12 repetitions ofthe PRACH sequence.
Tlie guaгd peгiod allows for diffe1·eпces in the pгopagation delay, i.e. the PRACH is tгansmitted Ьеfоге up\ink synchronisatioп is
achieved so UE transmitting fl'om cell edge are received \аtег t\1an UE tгaпsmitting close to the Base Station
The example illt1st1·ated iп Figцre 239 has а gнard Ьапd between the edges ofthe PRACH and the adjaceпt PUSCH Resoшce Blocks.
* The ex i s te пce and size ofthis gt1a1·d band depends upon the comhiпation of PRACH and PUSCH sнЬсапiе1· spacings
Figure 239 illt1strates а siпgle PRACH resoL1Гce st1п·oнпded Ьу PUSCH Resoшce Blocks. PRACH 1·esoшces сап Ье time mнltiplexed
* and fгeqttency mttltiplexed. Tl1e time mнltiplexing coпfigшation distгibнtes the set of PRACH resoшces over time. А l1igh deпsity
configшatio11 can lead to а bшst of contintюtts PRACH 1·esoшces in the time domain. The f1·eqt1eпcy multiplexiпg configшation allows
нр to 8 PRACH гesoL1Гces to Ье stacked in а contigtюtts section ofbandwidth

PRACH Duration

-5
'U
§:
PRACH PRACH 'U
с

Cyclic PRACH Seq uence Guard "'

со

Prefix Time I
~
cr:
о..

PUSCH Resource Blocks

Figш·e 239 - General stп1cture of а PRACH t1·ansmission

(example based 11pon Long Seq11ence PRACH ,vitl1 1 ms duration апd 15 kHz subca1·!·ie1· spaciпg fo1· tl1e PUSCН)

* The PRACH (the Random Access ргеаmЫе) is generated fгom а Zadoff-Cht1 (ZC) sequence: ·
о а ZC seqнence is а seqнence of complex nнmbeгs \Vl1ich has some impot·tant mathematical pгopeгties. Tl1ese p1·opeгties make ZC
seqнeпces particttlarly t1sefнl for mohi\e te l ecomлшпicatioпs. Ал example ZC sequence is illt1strated in Figшe 240

111 '1, 1, ,, 11 11 ,,1 1 1 11 .11 1

11

111 1 '1 ,1', 11

Real Part
,11 ,'1 1' 11, 1 1'

lmaginary Part
II, ,1 1 111 1,
Amplitude
l Auto-Correlation

Figш·e 240 - Example Zadoff-Clш sequeпce ,vith its Aшplitude апd Auto-Coпelatioп

о Propeгty 1: of а ZC seqt1ence is its coпstant amplitнde \Vhic\1 helps to minimi se tl1e Peak-to-Ave1·age Po\ve1· Ratio (Р APR) of tl1e
tгan s mitted sigпal . This al\ows the ро\vег amplifie1· to орегаtе at а l1igl1eг aveгage ро\vег апd also тоге effi ciently
о Propeгty 2: of а ZC seqнence is the гest1lt of its aнto-coпelation which ge n e гa tes а vегу laгge ot1tpL1t spike 1vhen the time sl1ift is
zero, i.e. co 1тelati11 g а ZC sеqпепсе \Vitl1 а dпplicate ZC sе qн епсе ge11e1·ates а laгge 1·es нlt wl1e11 tl1e t\vo seqнeпces аге time
sy n c l1Гoni se d. The о нtрнt fl'Om tl1e a t1to - co 1тe l a tio11 is ve1y lo\v fo1· all 11011 -zе го time sl1i fts. Tl1is ргор е гt у l1elps tl1e Base Stat i o п
1·ece iveг to syпcl1Гo11i se \vitl1 the tгan s mitt ecl seqt1 e п ce
о tl1e с о111Ьiпаtiоп of tl1ese fiгs t two pl'Op e гti es leacls to а ZC se qL1 e пc e be ing categoгised as а Co п s ta пt Amp li tнcle Zе го At1to-
Co 1тe latio11 (CAZAC) seqL1ence

о Ргорегtу 3: ofa ZC seqн e n ce

is the гes ult ofthe cгoss-coггe l a tion Ьеt\\'ее п опе ZC se qн e n ce а пd апоtl1ег ZC sе qн е псе . Tl1is
co 1тe l at i o11 geпeгates а ve1·y low гesult fог all time shi fts. Th is ргор егtу helps tl1e гесе i vег to avoid co11fi.1si11g о п е ZC sеqн еп се fo1·
апо tl1 ег, i.e. tl1e гесеiv е г will опlу obtaiп а spike fгom tl1e ot1tpнt of its co 1тe l at01· wheп t1 s iп g tl1e со1тесt геfе ге пс е ZC seqt1ence
5G NR in BULLETS
-
о Property 4: of а ZC sequence is the ability to generate 'х-1 ' ZC sequences of length 'х' . These sequences are known as Root
Seqнences. In the case of 50, 3GPP has specified sequence lengths of 839 and 139 for the PRACH, so there are 838 and 138 R
Seqнences respectively 001

о Propeгty 5: of а ZC seqнence is the ability to generate additional seqнences Ьу applying cyclic shifts to each Root Seqнence.
These additional se qнences also have the same constant amplitude, aнto-coттelation and cross con·elation properties. Figнre 24 1
illнst1·ates the concept of generating additional seqнences Ьу applying а cyclic shift

RootSequence
,.
Number of Sequences рег
Root Sequence =
Cyclic Shift of 4
Sequence Length / Size of Cyclic Shift

Cyclic Shift of 8
ln this exam ple, Number of Sequences
рег Root Sequence = 16 / 4
= 4 seq uences
Cyclic Shift of 12 4

Figш·e 241 - Generatiпg sequeпces from а Root Sequ e пc e usi11g Cyclic Sliifts

о The total nнmЬ е г ofseqнences availaЫe fог the PRACH depends нроn the sequence length and the size ofthe cyclic shi ft. fo l'
example, when н sing а seqн e nc e length of 839 and а cyclic shi ft size of 119, then it is possi Ы e to generate ROUND DOWN
(839/119) = 7 sequences from each гооt seqнe n ce . There are 838 root se qн en ces so in this example theгe is а total capacity of7 х
838 = 5866 seq н en ces
о The dшation of а ZC seq н ence tгansmitted on the PRACH is eqt1al to l /sнb carr i e1· spacing. For example, the seqнe n ce o cc нpi c s
1/1 250 = 800 µs when н sing а subcarrier spacing of 1.25 kНz, or 1/5000 = 200 µs when нsing а sub carr i eг spacing of 5 kl-l z. So 111 c
PRACH foгmats inclнde гepetitions of tl1e ZC seqн e n ce so the body ofthe PRACH can Ье а mнltiple ofthese dшatioп s
* The PRACH may experience fгeq н ency offsets:
о the local oscillato1·s at the UE tгansmitteг and Base Station гесеivе г can geneгate fгeq н e n cy offsets iftheiг онtр н t f1·eq н e 11cies <lo
not pгec i se l y match, i.e. the step-нp fгom basebaпd to RF at the t1·ansmitter does not eqн a l the step-down from RF to baseba11d at
tl1e 1·ece i ve г. А UE loca l osci ll atoг may have an ассшасу of 0.1 p a гts р е 1· mi lli oп (ppm). Th is leads to а fгe qн e ncy offset of LIJ) to
600 Hz ,vl1en as sн111i 11 g а 6 GHz сап i е г f1·e qнen c y . А Base S tatioп local o sc ill a toг may l1ave an ассша су of0 .05 pal'ts р е г 111i ll io11
(ppm) whi cl1 leads to а fre qнen cy offset оfнр to 300 Hz wl1e11 ass н111in g а 6 GHz са 1тi е г fге qн е п су
о UE 1110bility can a\so gеп егаtе freq н ency offsets. А UE 111ovi11g at 500 km/l1r ,vhi le н s in g а са rтi ег fгеqн е п су of 6 GHz, ge п c l'a t c s а
гонnd trip Doppleг freqнeпcy offset of 5.6 kHz. Т\1 е Doppl er fгеqнепсу offset is calcн \ ated as ( С апi е г Fre qн e п cy х UE speccl /
speed of light). The гонпd trip Dopple,· f1·eqнency is dонЫе this геs н\t Ьесанsе offsets can ассн mн\ а t е fюm both t\1e dowп li пk a11<I
нpliпk tгaпsmissions. The UE н ses the dowпliп k signal as а refeгence so Doppler offsets iп the нpliпk are added to t\10se in tl1e
downlink
о these \ocal oscillatOI' and Doppler fгеqнепсу offsets s нm to 6.5 kНz when ass ш11in g а speed of 500 km/hr and а caп i e l' fl'eqLrency
of 6 GHz. This гepreseпts а woгs t case sceп a rio for Fгеq н е п су Raпge 1 (450 MHz to 6 GHz). Chanп e l s b e lo n g iп g to F гeqt1 e 11 cy
Range 2 (24.25 GHz to 52.60 GHz) аге less likely to Ь е н sed for high speed scenaг io s dне to their li111ited cell 1·ange, i.e. t\1ere
woнld Ье а гeqнirement fог ve1y ft·e qн ent lшndovers

* Fгeqнency offsets have а negative impact upon PRACH peгfo1·mance Ьу gene.-ating additi oп a \ peaks in the анtо-сопе\ аti оп fнп сliоп :

о the Base Station may synchгoni se wit\1 one oft\1ese additiona\ peaks. In this case, the Base Statioп woнld geneгate an i 11ac cшal c
estimate oft\1e propagatioп delay between the UE апd Base Station. This woнl d lead to an iп ассшаtе Timing Advance со111111а 1нl
within the Random Access Respoпse (MSG2), which coнld then сан sе а fa i\шe when the Base Station attempts to 1·eceive MS GЗ
о \агgе 1· f1·eqнency offsets gene1·ate addi tional aнto-coпe\ation peaks which аге fнгtl1 ег fi-0111 the ideal original peak. As tl1e fi-eqLr cп cy
offset iп cгeases , there is а poiпt at ,vhich the Base Statioп wi ll incoп·ectl y ideпtify the PRACH cyclic shi ft tra11s111itted Ьу tl·1e Ul2.
This will gе п егаtе а fa lse detectioп at the Base Station, i.e. the UE t1·a11s111its рге аmЬ\ е ' А ', w\1 ile t\1e Base Stat i oп detects
preamЬ\e ' В'. When нsiпg the 1. 25 kНz sнЬ сапiег spacing fог t\1e PRACH, false detectioпs ai·e like\y to оссш if t\1e fге qне п су
offset exceeds 625 Hz. The pюbab ili ty of iп сопесt \ у i d e пtifyiпg t\1e PRACH cyc lic sl1ift becomes ve1y higl1 if the fге qн е псу
offset геа с \1 еs 1.25 kН z
* F i gшe 242 illн st .-ates а п examp le of the add itioп a l cyc \ic s\1i fts gene1·ated Ьу positive апd п egative fгeqн en ci es offsets. T\1is exa iп p l c 1'
based L1po11 а ZC sеqн еп се l eпgth of 839 апсl а Cyc\ic Sl1ift size of 55, i.e. i п t\1e аЬ sеп се of fгeqt1 e11 cy offsets th eгe are ROUN D
DOWN (83 9 / 55) = 15 Cyclic S\1if1s. T\1ese 15 cyclic sl1i fts а ,·е погm а \l у ava i\aЬ\ e fог sel ectioп Ьу tl1e UE wh eп lгa п sm i tt iп g tlic
PRACH. Fi gшe 242 illнstr·ates the I О add iti oпa\ cycli c sl1ifts ,vl1ic\1 а ге ge пeгated wl1e11 tl1e fiгst 5 11ог111а l cyclic sl1i fts exper·iericc
positi ve апсl п egative f1·eqнe11 cy offse ts. !11 this exa mple it is asst1med tliat tl1e magпirude of еас\1 f1·eqнe11 cy offset is eqн a l to tlie .
st1bca пi e 1· spac iп g oftl1e PRACH. Eacl1 additioп a l cycli c sl1ift is pos itioп ed close to о п е ofthe гema iпiп g 11оп11а l cyc lic sl1ifts. TlllS
mea п s that ifa UE t1·ans111its опе ofth e fiгst 5 по гmа l cyclic s\1ifts, апd the tгan s mi ss ion expe1·ie11ces а fгеqн епсу offsct еqна \ to tlic
sнЬса~тi ег spacing, theп tl1e Base Stat i oп will i11 co1тect l y ideпti fy tl1e t1·a11s111iss io11 as оп е of tl1e I О гe111ai11ing no,·mal cyclic shifts

2 90
 5G NR in BULLETS

15 caпdidate Cyclic Shifts wheп usiпg а Cyclic /

/ 1

\\
Shift size of 55 а пd Sequeпce Leпgth of 839
Cyclic Shifts

f С 1
\
geпerated Ьу
positive
' Permitted Cyclic Shift f 1 1 f
~ \ Frequ eпcy

() J )~)
(Res tricted Set) ( 1 1 1 Offset

т Blo cked Cyclic Shift rI

О 55
I
110
У
165
I
220
_}

1 1 1 r 1 1 1 1 1 1
275 330 385 440 495 550 605 660 715 770 838

f Additioпal Cyclic Shift

Cyclic Shifts
geпerated Ьу
negative
Frequ e пcy Offset

Fi g ш·e 242 - PRACH Cyclic S hifts ge11 e1·a ted Ьу positive and negative f1·equ ency offsets

* 3GPP l1as iвtюdнc ed the concept of 'Restr·icted Sets' to mitigate the impact of гelative l y laгge f1·eqt1e11cy offsets. This solt1tiot1 1·e dнc es
the m1mber of cyclic shifts wl1icl1 cat1 Ь е applied to each Root Seqнe n ce to е в s ше tl1at there is 110 amЬig11ity as loв g as the freqнen cy
offset t·emains below а specific нрр ег limit. The ' Rest гicte d Set' it1 Fig111·e 242 co1тespo t1ds to the fit·st 5 cyclic shifts (labelled as
peгmitted cyclic shifts). Tl1e гemaiвing 1О cyclic shifts are Ыocked fгo m н sе to avoid any amЬigнity

* Fig11гe 242 illt1st1·ates оп е example of а Rest1·icted Set of pe1-mitted cyclic shifts. Diffeгent Root Seqнences exhiЬit diffe1·ent patterns of
additioвal cyclic shifts afte1· experiencing fi·eqн en cy offsets. Thtts, the пнmЬ е г of p eгmitted cyclic shifts and thei1· position depeвds
нр о n the Root Sеq н е вс е
* 3GPP TS 38.2 11 specifi es U m·es tгicted Sets of cyc lic shifts fог low to medittm пюЬility. ' Тур е А' Rest1·icted Sets are specified fог l1igh
mobili ty, wh e гeas 'Туре В' Restгicted Sets а ге specified fог ver·y 11igh moЬility . These ca te go г i es of cyclic shifts а ге sшnmaгi sed i11
Figшe 243. The U шest гi cted Sets ai·e inte вd ed fог н sе ,vi tl1 fI"eqt1et1cy offsets which do в оt exceed l1alf ofthe s нЬ сапiег spac iв g. 'Туре
А ' Restricted Sets аге it1te11ded fог use with fгеqне11су offsets wl1ich do not exceed the s нЬса 1т i е 1· spaci ng, wl1eгea s ' Туре В' Restricted
Sets ai·e intended fог нs е with f1·e qн e 11cy offsets which do в оt exceed twice the s t1b caпie 1· spacing

Unrest ri cted Set Туре В

Restricted Set

1 PRACH Prea mЫes 1

1
PRACH PreamЫes

Low to M edium mobl li ty High mobl lity Very High mobllity

1.25 kHz PRACH Fr eq u e п cy Offset Freque rкy Offset FreqLrency Offset

subca rri er spacing up to 625 Hz up to 1.25 kH z up to 2.5 kHz

5 kHz PRACH Freq uency Offset Frequ e п cy Offset Freq uency Offset
subca rrier spacing up to 2.5 kHz up to 5 kH z up to 10 kHz

F i g ш·e 243 - Sets of PRACH Cyclic Shifts for lo,v, mediuш, l1i gl1 and very·t1igl1 шоЬШtу

* Inc1·easi11g the PRACH sнЬсапiег spaci11g i11creases robщm ess against freqtt et1cy offsets (the dшatio11 ofthe PRACH tгansmissio11
becomes s h o гteг whe11 нsi11 g а hi gheг sнbcaпier spacing so the fгеqне11су offset has less time to rotate the tra11smitted sequence)
* Ide11tify i11g the UE speed associated ,vith each freqt1e11cy offset reqнiгes assнmptioв s regardi11g the operating band and the ассшасу of
the UE a11d Base Statio11 local oscillators. Ifwot·st case asst1mptiot1s are made regaгdi11g the асс шасу ofthe local oscillators the11 the
maxi mt1m UE speed associated with each set of PRACH ргеаmЫеs is relatively low. Fi gшe 244 illн s tгates the UE speeds which
coпespo11d to а range ofDoppleг freqнe11cy offsets \Vhe11 ass нmi11 g 100 % асс ша tе local oscillato t·s, i. e. the best case sce11ario

1400 - -- --- - - - - - - - - --1286 - - - -- --- - - - - --- - - - - -- -

[!] Doppl er = 625 Hz
1200 ----- ---------- [2] Doppler = 1.25 kHz

~
1000 ------- ------- - Ш Doppler = 2.5 kHz
..с

----"'
Е 800 --------------- 750 Ш Doppler = 5 kH z
643
"О
<1J
<1J
600 ----------- 450
а.
и 375
400 32 1
________ 188 _ 225
200
3 4
о
2.1 GHz 3.6 GHz 6 GHz

Fig11re 244 - Spee<ls associated ,vitl1 Dopple.- r·ound tr·ip Fr·eq uency Offsets

291
5G NR in BULLETS

* 3GPP has specified two main categories of PRACH to соре with the reqttirements of each Freqttency Range (and theiг corres pollct·
symbol and slot dшations). These two categories are illustrated in Figure 245: 111 &

о long sequence PRACH preamЫes can only Ье used Ьу cells belonging to Freqttency Range 1 (450 МНz to 6 GHz). These
ргеаmЫеs use Root Sequences which have а length of 839 (meaning that there are 838 Root Sequences). Long ргеаmЫе s are
designed to support relatively large cell ranges (up to 100 km). Theiг cyclic prefix and guaгd period dшations аге long to sнр
the round-trip propagation delays associated witl1 large cell ranges. Long preamЫes use relatively small st1bcarrier spaciJ1gs (~ 02~
kНz and 5 kНz) . This makes them more vulneraЫe to fгeqt1ency offsets. In addition, they may Ье used to pгovide coverage fo ·
high mobility scenarios with high Doppler fl'equency offsets. For this reason, the Туре А and Туре В Restricted Sets are spec;fi . 1
for use with long PRACH preamЫes. Long preamЫes are intended for cells which аге аЫе to accommodate гelatively long icc
periods o'fttplink tгansmission, e.g. FDD cells, TDD cells with а 15 kНz subcarrier spacing, or TDD cells with multiple
consectttive uplink slots. Long PRACH preamЫes are described in gгeater detail in section 7 .2.3
о short sequence PRACH preamЫes can Ье used Ьу cells belonging to either Fгeqt1ency Ra11ge 1 (450 MHz to 6 GHz) or Fгеqн е псу
Range 2 (24.25 GHz to 52.6 GHz). These preamЫes use Root Sequences which have а length of 139 (meaning there аге 138 Root
Seqttences). Short preamЫes are designed to support relatively small cell ranges (ttp to about 9 km, bttt with many configнratioп s
having а significantly smalleг се!! range) . Short preamЫes use relatively large subcarrier spacings (15, 30, 60 and 120 kНz) . Tlii s
makes them less vtilneraЫe to freqt1ency offsets generated Ьу either non-ideal oscillators or high moЬility (Doppleг fгеqн е 11 су
offsets). This means that it has not been necessary to specify Restricted Sets to protect short preamЫes from fгe qu e ncy offsets.
Short ргеаmЫеs are intended fог cells which аге tшаЫе to accommodate relatively long periods ofuplink tгan s mis s ion . J11 tlie casc
ofFrequency Range 2 with analogt1e beamforming, only а single beam can Ье active at any point in time so it is not po ss iЫe to
share PRACH occasions across beams nог frequency multiplex the PRACH occasions associated with each bea m. Sho1·t pi·eamЫ cs
allow the set of PRACH occasions to Ье time multiplexed with minimal latency, i.e. the time takeп to cycle thюt1 g l1 tl1e set of
PRACH occasions beloпging to the set ofbeams is гelatively short. Shoгt PRACH preamЫes аге descгibed in section 7.2.4

Long Sequence PRACH \IJ Beam Sweeping

Frequency Frequency
Frequency Range 1 for PRACH
(450 MHz to 6 GHz) Short Sequence PRACH
Frequency Range 1
Digital beamforming (450 MHz to 6 GH z)
allows multiple bea ms Frequency Range 2
to share the sam e (24 .25 GH z to 52.60 GHz)
PRACH occa sion

Sho rt PRACH duratio n

limits bea m swee ping delay

[L _ _~ Tim e Tim e

Figure 245 - Long апd Short PRACH tt'ansmissions for Lo,v and lligh ope1·ating bands

* Short preamЫes have а гedt1ced sequence capacity wheп comp a гed to long preamЫ es. Earlier iп tl1is section it was stated tl1at tl1e total
nt1mbeг of seqt1ences ava ilaЫe depeпd s t1pon tl1e seqt1ence length and size ofthe cyclic shift
о long ргеа mЫеs have а length of 839 and asst1ming а cyclic shift size of 119 (as an example), then it is possiЫe to geпe1·at e
ROUND DOWN (839/ 119) = 7 seqt1ences fгom each Root Sequence. There are 838 Root Seqt1ences so theгe is а total capacity о Г
7 х 838 = 5866 seqttences. А Random Access occasion noгmally t1ses 64 ргеаmЫеs which 1·eqt1iгe ROUND UP (64 / 7) = 1О Root
Sequences. This leads to а Root Seqt1ence re-t1se pattern size ofROUND DOWN (838/10) = 83
о short seqt1ences have а length of 139 апd assttmiпg а cyclic shift si ze of 23 (as an example), then it is possiЫ e to ge11 eп1t e
ROUND DOWN ( 139/2 3) = 6 seqttences fгom each Root Seqttence. Тhеге аге 138 Root Seqt1ences so there is а total capacity оГG
х 138 = 828 seqttences. А Random Access occa sioп пornшlly ttses 64 preamЫes whi ch reqttiгe ROUND UP (64 / 6) = 11 Root
Seqttences. This leads to а Root S e qtteпc e ге-нs е patte111 size ofROUND DOWN (138/11) = 12
* The small Root Seqнen c e re-tt se pattern size associated with shoгt ргеа mЫ е s is exp ected to Ь е m a n agea Ыe. S hoгt ргеа mЫ еs а ге
inteпded to Ье used Ьу cells witl1 а small cell 1·ange. This tends to mean that cells have feweг пei ghboшs and so Root Seqttences са п lie
гe-used with а smalleг pattern size. The Root Sе qве псе 1·e-t1se pattern si ze can Ь е increased if less than 64 PRACH preamЫ cs ai·e
allocated to eacl1 Rand om Access occasion. Tl1is геdн сеs PRACH capacity bt1t helps to simplify th e Root Sеqвеп се pl a1111i11g pгoce<ltiгc
* Та Ы е 164 s шшn a гi s e s tl1 e s t1b ca пi e 1· spac ings t1 sed Ьу tl1 e loп g а пd s lюгt PRACH рге аmЫ еs

Fгeqt1 e 1к y Ra11gc S t1bcaiтi e r Spac i11 gs

Loн g PRAC H ргеа mЫ еs 1 1.25 , 5 kН z
1 15, 30 kН z
Sl1ш·t PRAC H p1·ea mЫ es
2 60, 120 kHz

Та Ы е 164 - PRAC H S ubcatтi e 1· Spacin gs associated ,vitl1 each F.-equeпcy Raп ge fo1· Loп g ашl Sl101·t P1·e a mЫ e s

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 5G NR in BULLETS

PRACH GENERATION
Once the UE has identified the PRACH ргеаm Ы е to Ь е t гan s mitte d (the Root Sequence and cyclic shift), the UE generates the
* corresponding Zadoff-Chu (ZC) sequence acco rding to tl1e fo ll ow iп g equations:

ли i ( i+ l)
X u(i) = е- J LRA i = О, 1, .. . . LnA - 1

* The first eqнation generates the Zadoff-Chн seqнence which co пesponds to the u th Root Seqнence of length LnA, where LnA is 839 for
а long prea mЫe and 139 for а short p rea mЫ e

* The second e qнation applies the appropl'iate cyclic shift to the Root Seqнenc e . Cv is the size of the cyclic shift. Хи is indexed нsin g
modul a г aritl1metic to provide the \vrap-around ch a гacteristi c ofthe cyclic shift

* The 1·esL1ltant seчu en ce x ,,,v(n) is н sed as а time domain sequ eп ce . Tl1is means that it mнst Ье converted into the fгeqL1 e n cy domain
prio1· to mapping оп tо the set of PRACH s нb ca !'гi e rs. 3GPP TS 38.2 11 specifies the following Discrete F o шi e r Transform (DFT) to
gеп е га tе the fгеq н епсу do main гe pгesenta ti o n of the Z a doff- C lш se qн e n ce:

* The DFT гes нlt has а l e п g th e qн a l to the length of the o ri g iп a l Zadoff-Cht1 se qн en ce. This гes lllt is mapped diгec tl y о пtо the set of 839
PRACH s нb caiтi eгs when u s iп g а long рге аmЫ е, о г onto the set of 139 PRACH s нЬс а пi егs wl1e11 н s in g а s h o гt р1·еа mЫ е
* О п се tl1e DFT 1·es н l t is mapped onto the set of PRACH s нb ca п· i e r s, an Inverse DFT is L1sed to generate the time d o m a iп wavefo гm to
Ье t1·ansmitted ac1·oss the a iг-inte 1-face. The i11ve1·se DFT does п о t simpl y гeve 1·se the p1·ecedi11g DFT Ь есан sе diffe гe пt sets of
fi·e qн en c i es а ге н sed iп each ca l cнl a tion . Tl1e DFT e qн a ti o n p1·esented above illL1 s tгa tes that fгeq н e n c i es s ta гt fro m О, i.e. ' 111' = О . In the
case oftl1e Inve1·se DFT, f1·e qн e 11 c i es s t aгt fгo m tl1e pos ition of tl1e PRACH \v ithiп the channel bandw idtl1 . This general p1·inciple is
illн s t rated iп F i guгe 246

Мар onto
Subcarriers

1, 1 1' 1
Тi m e Do main PRACH Seq uence
Ti me Do main Zadoff- Chu
Roo t Sequence o r 1 11
Cyc lic Shift of Root Seq uence .S -.Е lnverse
"' 'О
DFT
Length 839 o r 139 ~ ~
о с
1' '1 1
111 ! t 1
11
>- "'
u -
c "'
(U (lJ
:::,
ст
с
с
PRACH Se quence may Ье repeated
(lJ"'
~ ..с. depending upo n PRACH Format
LL U
Cyclic Prefi x is also added

Figure 246 - Ge neratioп of PRAC H froш Zadoff-C/111 Seq11e11ce

* ЗGРР TS 38.2 11 specifies tl1e follo\ving eqtiati o п fог the lп veгse DFT to gene1·ate tl1e time domain waveform :

L
LnA-1
s?·µ ) ( t) = a ;}1·RA) Х e j2тr (k +K k1+ k) дf RA (t- N~l1 Tct_ft~r· t )
k =O

* Tl1e sнmmatioп is acгoss the set of LnA sнЬ са пi егs . a[p,RA) coпes poпds to the 1ct1• онtр н t f1·om tl1e DFT wl1 icl1 is mapped опtо tl1e 1c t1•
sн b caiт i e1· а пd is tгa11 s 111ilted нs i пg а пtе ппа ро гt ' р' . Tl1e expo пe пti a l is iп tl1e fоп11 of eJwt, 1vhe1·e w = 2ттf = 27f ( k + !(/с 1 + k) ЛfпА ,
i.c. tl1e f1·eqнe11 cy is exp гessecl as а 11111/ tiple of the PRACH s нЬ саrт i ег spac i пg (ЛfяА)- The sectioп 1vitl1i11 tl1e paгe11tl1 es i s cle fiп es tl1e
fгeqL1e11cy do111ai 11 pos iti oп 1vithi11 tl1e cl1a1111el b aп d\v i dth

* ' k' coпes poпds to tl1e PRACH sL1bca1тi eг 11н111Ьег i n cгemeпtecl accoгd i пg to tl1e st1m111atio11. 'К ' is tl1e ,·atio oftl1e sнЬсаrт i ег spac iп g of
the нp l ink Ba пd\vidth Pa1·t, to tl1e s L1bcaп· i e1· spac i п g ofthe PRACH, i.e. К = Лf / ЛfnA • Tl1is 1·atio is 1·eq нiгed Ь есанsе k 1 has 11 11 its of

293
5G NR in BULLETS

the sttbcarrier spacing ofthe ttplink Bandwidth Part rather than ttnits ofthe sttbcarrier spacing ofthe PRACH, i.e. ' К ' is ttsed to con
the tшits of k 1 to ttnits of the sttbcarrier spacing of the PRACH. 'k 1 ' is defined ttsing the fol\owing expression: vert

k
1
= 12Nstart_
BWP,t
+ 12nstart
RA
+ 12nRA NRA
RB
- 12Nsize,µ/2
grtd
+ kµ
о

* This expression for k 1 determines the fi·eqttency domain position ofthe PRACH in five steps. The fiгst thтee ofthese steps are
illttstrated in Figшe 247

о the first step ttses NJW;~

to determine the position ofthe relevant Bandwidth Part within the channel bandwidth . This variaЫe
ttses Comriюn Resoшce Block nttmbering to specify the first Resoшce Block belonging to the Bandwidth Part. The factor of 12
converts the Resoшce Block Index to а sttbcarrier index

о the second step ttses n%~art to determine the position ofthe PRACH resoшce allocations within the Bandwidth Part. This variaЫe
ttses Resoшce Block nttmbering from within the Bandwidth Part. The factoг of 12 conveгts the Resoшce Block Index to а
sttbcarrier index

, о the third step ttses а combination ofnRA and Nff to determine the position ofthe specific PRACH resoшce allocation withiп tlie
set of PRACH resoшce allocations. This step is гelevant when mttltiple PRACH геsошсе allocations have been configшed in tli c
fJeqttency domain, i.e. PRACH геsошсеs а1·е freqttency mttltiplexed. Ifthere is only а single PRACH resoшc e al\ocation tlien nпл
= О and tl1is step has no impact. nпл гepгesents the index ofthe PRACH resoшce allocation, wheгeas Nff represents the nttnibcr
ofResoшce Blocks ttsed Ьу each PRACH геsошсе allocation

о the foшth step adjttsts the sttbcaпier nttmbering to position sttbcaпieг О at the center ofthe channel bandwidth . This meaп s tliat /( 1
can Ье either positive 01· negative. N;;.;:,µ
defines the ove1·all nttmber ofResoшce Blocks belonging to the channel bandwidth
'
о the fiftl1 step adjttsts the гesttlt Ьу kь . This step aligns the fгeqttency domain position with the Resoшce Block gгid fot· the laгgest
configшed sttbcarrier spacing. This step is necessary becattse the centeгs of the Resoшce Block gгids fог eacl1 s нЬса1тi е 1· s p ac iп g
аге поt always aligned

NJW?i
[1ПTПimIIJШJШIIJI IIПITI ГШ IГllJ О II□ШDIIШШIIШIШ_Dl11IOJIП1ГITП IJГШ IJITГП 11 Г1 1111 1~
Uplink Channel
Bandwidth

Uplink
Bandwidth Part

Set of PRACH
Resources

N/iG Res oнrce Blocks

PRACH
Resource

15 kHz 1.25 kHz

►: 11 ◄

i 111111 [LlJ:D]JllJIШ:ШШJ]J]T□]ЛШ 11111111111

: 1◄ 1
7 5 kH z = k = 7 839 subcarriers 15 kHz =
6 х 1.25 (8 .75 kHz) = 1048.75 Hz 12 х 1.25
kHz kHz

Fi g ш·e 247 - F1·eque11cy (lomaiп positioп of tl1e PRAC H

(example assumes 1.25 kНz s ubcaпi e r· spaciп g for· tl1e PRACH а пd 15 kH z subc a пier· s paciпg for tlre PUSCH )

* Figшe 24 7 also illt1st1·ates tl1 e ti se of tl1 e k vat· iaЫ e ft· om withiп th e fгеqн епсу domaiп te пn of the Iпveгse DFT expo11e11ti al, i.e.
2тr (k + К k 1 + k) Лfпл - T l1is vагi аЫ е l1as нпits of tl1 e sнЬса 1тi ег spacin g of tl1 e P RACH. It is t1 sed to position tl1e PRACH
tгa11 s 111i ssion w ithin tl1 e centeг of tl1e Resoшce Blocks a!located to t!1 e PRACH. ЗGРР TS 38 .2 11 spec ifies а fi xed look- t1 p tа Ы е toi· tli c
valнe of k based t1роп tl1 e preamЫ e l eпgtl1 , st1Ьса ггi ег spac iп g fог the PRACH апd sнЬсаггi ег spacing for tl1 e PUSCH . T l1is l ook - нp
tаЫ е is pгese nted as ТаЫ е 165. Т!1 е tаЫ е a!so specifi es the nнmЬ ег ofResoшce Blocks allocated to the PRACH (Nff)

* The va!ttes of k аге not immediately obviotts becattse the starting pos itioп is based нроn tl1 e st1bca1тi e1· spac iпg oftl1e PUSCH, i.e. k1 is
based ttpon the sнЬсапiег spacing ofthe PUSCH. The exampl e showп iп Figшe 247 is based нроп а PUSCH st1bca 1тi e1· spat; iпg of 15
kНz so the s taгting position is 15 kНz fгom the adjaceпt PUSCH sнЬсапiег. This places tl1e s taгting pos itioп 7 .5 kНz iпto t!1e PRACH

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 sG NR in BULLETS

Resoшce Allocation . The example is based u роп а long PRACH with а subcarrier spacing of 1.25 kН z so the PRACH transmission
occupies 1048.75 kHz. 6 PUSCH Resource Blocks are allocated for tl1e PRACH which corresponds to 6 х 12 х 15 = 1080 kНz, i.e.
there is 1080 - 1048.75 = 3 1.25 kНz of gн ard band to allocate. This corresponds to 25 sнbca rr i ers of 1.25 kНz. 13 subcarriers а ге
allocated below the PRACH tran s mi ss i o п а пd 12 subca rri e гs are allocated above the PRACH tгaп s mi ss i o n . Tl1e 7 .5 kНz of guard band
provided Ьу the starting position coгresponds to 6 subcaiтiers and so k. = 7 to provide the total of 13 st1bcaпiers

L RA Лf RA fo r PRAC H Лf fo r PUSC H N RA
RB k
15 6 7
1.25 30 3 1
60 2 133
839
15 24 12
5 30 12 10
60 6 7
15 12
15 30 6
60 3
15 24
30 30 12
139 2
60 6
60 12
60
120 6
60 24
120
120 12

Та Ые 165- Valu es ofk as а fun ctioп of PRAC H lengtl1, PRAC H s 11bca пie1· spacing and PUSC H s 11bcaпi e1· spacin g

* Retшning to the eqt1ation fог the Inve1·se DFT, the time component of s?·'\t) is given Ьу (t -
1 N{#, 1Те - tffa ,-t), wl1eгe the гange of
ti me is given Ьу tft';н-t :5 t < t:/:,,.t + (N" + Nf#,1)Te
* Tl1is iп d i cates tl1at (N" + Nf#, 1)Te d e fi пes tl1e dшat i on oftl1e PRACH t1·ar1smission. N" Те coпespoп cl s to tl1e d шa ti oп ofthe PRACH
seqt1e11ce. Tl1is dшa tion may i пc ltide а s iпgl e PRACH seqt1e11ce 01· гepetit i on s of tl1e PRACH seqt1ence. N{#, 1Те coiтespo п d s to tl1e
dшat i o n of tl1e PRACH cyclic pгe fi x

* Tl1e s taгt i ng time of tl1e tгa n sm i ss i oп is specified t1si11g tft~ i·t

о in tl1e case ofthe long PRACH foпn a t s , the s ta rt iп g time is defi ned Ьу the ' Star·ting Symbol' specifi ed Ьу tl1e PRACH
Co nfi gшa tioп Index. The vast maj o гity ofCo nfi gшa t io n Iпdi ces have а ' Starting Symbol ' of O mea пin g tl1at the PRACH occasion
starts at the b eg iпnin g ofth e relevant s t1Ьfra m e . А гel ative l y small nнmb e r o f C onfi gшati on indices have а ' Start ing Symbol ' of7
me a пin g that tl1e PRACH occas i oп starts dшiп g symbol 7 of the гe l eva пt sнbfra me (symbol nt1mb eгin g is based t1pon the 15 kНz
11t1me1·o logy, i.e. 14 symbols р е г s t1 Ьfгa m e )
о iп the case ofthe s hoгt PRACH fo гma ts and F гequ ency Range 1, the s ta гtin g time is а symbol witl1i11 а I ms s t1Ьframe . There а г е
14 symbol s within the s t1ЬfI"ame when using the 15 kНz s t1b ca ггi e r spacing, whereas theJ"e are 28 symbols within the st1bfra me
when t1sing the 30 kНz s ub ca пi e г spacing. The PRACH Confi gшa ti o п Iпd ex pгov ides the p a гa me teгs whicl1 allow the UE to
calct1late the appropriate symbol within the relevant sнЬfra m e

о in tl1e case ofth e s hoгt PRAC H fo гm a ts а пd F гe qt1en cy R a п ge 2, the s ta гtin g time is а symbol within а slot belonging to the 60
kHz numeгology . Тh е ге а 1·е 14 symbols w ithiп the slot when t1si11g the 60 kНz s t1b carri eг spacing, \.vh e гeas tl1ere аге 28 symbols
\.Vithin the slot when t1si11g the 120 kНz sнb ca пi e r spacing. Tl1e PRACH C o nfi gшatioп Index pгovides the par·ameters whi ch allow
the UE to calct1late the appгo pI"i a te symbol within the J"elevant slot
* Та Ы е 166 st1 mma гi s es tl1e way iп wl1icl1 the s ta гtiп g time is spec ified fог botl1 the long а пd s hoгt PRACH fo rn1ats. Examples of
calct1lating the sta1·ti11g position fo r the s h oгt PRACH foгm a ts are p гov id e d in Section 7.2.4

F1·eqt1e11cy Ra11gc Star1i11g Posi1 io11 S t1 bcaпi e r Spacing Nшл Ь е г of Po1e11t ia l Star1 i11g Sy1п bo l s
Lo п g PRACH ргеа111Ы еs 1 1vi t\1in а S11bfra111e 1.25, 5 kHz 14 symbols
15 kНz 14 symbols
1 1vi1\1i11 а S uЫ'i-a 111 e
S \юrl PRACH 30 kHz 28 symbols
prea 111Ы es 60 kН z 14 syшbo l s
1vitl1i11 а Slol belo11gi11g to
2
1 \1 е 60 kHz 11ш11е го \ оgу 120 kН z 28 symbols

Та ьt е 166 - Potential sta1·ti11g symbols fo1· Lo п g а нd Sl101·t PRACH foп11 ats

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5G NR in BULLETS

LONG SEQUENCE PRACH FORМATS

* 3GPP TS 38.211 specifies 4 PRACH foгmats which use long Zadoff-Chu (ZC) sequences. The key characteristics of these РRАсн
foгmats аге:

о seqнence length of839, leading to 838 Root Sequences

о sнbcarrier spacings of 1.25 kНz and 5 kНz, leading to sequence dшations of 800 µs and 200 µs respectively
о applicaЬleJo operating bands belonging to Frequency Range 1 (450 МНz to 6 GHz)
о applicaЫe to FDD and TDD configurations which allow relatively long periods of continuous uplink transmission
* ТаЫе 167 presents the 4 PRACH formats using the long Zadoff-Chu sequence:
о Format О is copied from 4G format О. lt pгovides а maximum cell range of 14.5 km and is intended for scenarios wheгe 40
spectrum has been re-farmed for 50, i.e. the existing 4G site density is re-used for 5G. It creates а relatively low oveгhead in the
time domain (total duration of I ms)
о Format 1 is copied fi·om 40 foгmat 3. lt pl'Ovides а maximum cell range of 100 km so is intended for long гange deployment
scena1·ios. The l aгge cell гange is visiЫe fl'Om the longer cyclic prefix which mt1st accommodate the cell edge гound tгip
propagation delay. The ZC seqнence is tt·aпsmitted twice to increase the signal to noise гatio at the Base Station receive1·. Fоплаt 1
creates а relatively large overhead in the time domain (total dнration of3 ms)
о Format 2 is intended fог scenaгios which require coverage enhancement. The ZC seqнence is tгansmitted 4 times to increase tlic
signal to noise гatio at the Base Station receiver, i.e. 6 dB gain relative to format О. Within this context, coverage епl1апсеmепt
refers to impгoving coveгage withi,n the no1mal cell 1·ange, i.e. pгovidiпg dеерег indoor coverage. lt does not гe fer to an extenclccl
cell гange because the cyclic prefix is relatively shoгt and sнppoгts а maximнm cell гange of22. I km. This format creates tl1e
largest overhead in the time domain (total dшation of 4 ms)
о Foгmat 3 is intended fог higl1 speed scenarios. The higheг sнbcarrie1· spacing means that it is less vt1lne1·aЫe to Dopple1· sl1ilts. Tliis
PRACH format is intended to соре with Doppler shifts gene1·ated Ьу speeds of 500 km/hг wl1ile using а 6 OHz RF с а пi е 1· . Tl1c
l агgег subcaпier spacing leads to ап incгeased bandwidth so foгmat 4 gene1·ates а l агgег oveгhead than foгmat О . The la1·ge1·
sнЬсапiег spaciпg also leads to а shorteг seqнence dшation so the s eqнence is tгansmitted 4 times while keeping the total dнra ti o п
eqнa l to I ms

Cyc lic Gtia1·d Л ss шп etl Typical

S t1bcaпi c г Seqt1 e11cc Sec1t1 c11ce To1al
~·оп11аt Ba11d,viclt l1 1'1·e fi x l'c1·iod Dela y Махi1ш1111
Sraci 11g Le11gt l1 Dt1ratio11 Dt11·atio11
Dшatio11 Dt11·atio11 Sp reacl Ccl l l{ai1gc
о 103. l З µs 1 х 800 µs 96.88 µs 1 ms 5.2 fl S 14.5 k111
1048.75
1 1.25 kH z 684.38 µs 2 х 800 µs 7 15 .63 µs 3 111S 16.7 fl S 100.2 k111
839 kНz
2 152.60 µs 4 Х 800 flS 647.40 µs 4 1115 5.2 fl S 22. 1 km
3 5 kН z 4195 kН z 103.13 µs 4 Х 200 flS 96.88 µs 1 ms 5.2 µs 14.5 k111

ТаЫе 167 - PRACH Fo1·шats usiпg а Loпg S equeпce (applicaЫe to ope1·ati11g baпds < 6 GHz)

* The cell гange fi gшes pl'Ovided in ТаЫе 167 are calcttlated fгom tl1e dшation s ofthe cyclic pгefi x and gнагd pe1·iod. Tl1e гes t1 l taпt ccll
гange is the minimum oftl1e two calcнlations :

о the cyclic p1·efix mнst accommodate the pl'Opagation channel delay sp1·ead and the гound t1·ip pl'Opagation delay. Iп gene1·al, dclay
spгead is assнmed to increase with cell гange so а lагgег delay spгead is a s sнmed fог foгmat 1

Cell Range fl'Om Cyclic Pгefix = [(Cyclic Pгefix Dшatioп - Delay Spгead) х speed of light] / 2
о the guard pe1·iod mн s t a ccomnюdate the l'Ollnd tгip pгopaga t i on delay
Cell Raпge from Gн а гd P e гiod = [Oнard P e гiod Dшatioп х speed of ligl1t] / 2
* These cal cнlatioп s en sшe tl1at the PRACH does not gene1·ate inteг-symbol inte1·feгen ce. Tl1ey also ensшe tl1at tl1e Base S tati oн 1·eccivcs
а complete veгs ion of the PRACH р1·еаmЫ е . Fi guгe 248 illн st1·a tes the con seqнence of exceediпg the calcнl atecl max i111н 111 cell 1·a,ige.
The Base Station тау sнccess fi.1ll y detect tl1e PRACH р1·еа111Ы е when а UE exceeds tl1e calcнlated max imнm cell гa n ge а пd so tlic
Raпdom Access ргосеdше сап still st1cceed. However, the additional delay means tl1at the Base S tatioп \Vill поt гece i ve tl1e co111pictc
tгansmission and tl1e tail end ofthe tгan s mi ss ioп may ge n e гate inte г-s y111bol inte1· fe гe 11 ce

* Cell гa n ge may Ь е fi.1 rth eг lim ited Ьу the cycli c sl1i ft н sed to ge п erate mнlti pl e seqнe п ces fгom each Root Seqнence . S e l ect i oп of tlic
appropriate cyclic sl1ift size is typi cally а Radio Net\vo гk Pl a nпin g task
* The bandwidtl1s pгesented iп ТаЫе 167 аге ca lcнlated as the seqttence length х sнЬса п·i ег spacing, i.e. the ba11d\vidtl1 occнp i ed Ьу tlic
PRACH t1·a11smission. These bandwidths do not осснру ап integeг nнmber of PUSCH Resoшce Blocks so the1·e is maгg in to allo,v а
gнагd band between the PRACH апd the adjacent Resoшce Blocks. ТаЫе 168 pгeseпts the gнагсl Ьапd size for eacl1 co 111binatioп of
PRACH sнbcaпi er spacing and PUSCH sнbcaiтiel' spacing. With the exceptioп of опе case, the gнагd band size is 31.25 kHz. The
PRACH sнЬсапiег spacing of 1.25 kHz with tl1e PUSCH sнЬсапiег spaciпg of 60 kНz geneгates а gнard Ьа пd size of 39 1.25 kН z

296
 5G NR in BULLETS

Base Station Receive Window Guard

UE at О meters Cyclic PRACH PRACH PRACH PRACH

from BTS Prefi x Seq uence Seq uence Sequence Sequence

UE at the ca lculated Cyc lic PRACH PRACH PRACH PRACH

Maximum Cell Range Prefi x Seq uence Seq uence Seque ncf. Sequence

UE beyond the ca lculat ed Cyc lic PRACH PRACH PRACH lnter-Symbol

Noise
Ma xi mum Cell Range Prefi x Seq uence Seq uence Sequence lnterfere nce

Figure 248 - PRACH transmissions delayed Ьу inпea sing propagation distance

PUSC H S нb ca rrier Spacing

PRAC H
Sequence PRAC H 15 kНz 30 kH z 60 kHz
Str bcarrier
Le11gtl1 Ba nd1vidtl1
Spac i11g RB Occ нp ied Guard RB Occ нpi ed Gtr ard RB Occ upied G н a rd
Ьу PRACH Вапd Ьу PRAC H В а пd Ь у РН.АС Н В апd

25 25 3 13
1048.75 6 РRВ 3 РRВ 2 РRВ
1.25 kHz sнbcarriers sнbcarriers sнbcarriers
kНz 1080 kНz 1080 kНz 1440 kНz
3 1.25kHz 3 1.25 kНz 391 .25 kНz
839
4 195 kHz 25 25 25
24РRВ 1 2РRВ 6 РRВ
5 kl-lz subcarriers subcarriers subcarriers
4320 kНz 4320 kHz 4320 kНz
3 1.25 kHz 3 1.25 kНz 3 1.25 kНz

Та Ы е 168-Resource Blocks (RB) occupied Ьу the PRACH а пd the 1·esultant Gua1·d Bands

* ТаЫе 169 p1·esents the set of нnгestricted cyclic shi fts for the 1.25 kНz sнb carr i er spac iп g. Unгestr i cted cyclic shifts аге app l icaЫe to
deploym e пt scenarios witl1 low to mediнm moЬility. These cyclic shifts аге the same as those н sed fш 4G PRACH ргеа mЫе formats О
to 3. The 'Seqн eпces рег Root Seq н ence' co lнmn is ca l cнl ated as ROUND DOWN (839 / Cyclic Shift). Tl1e 'Root Seqнences гeqнired
per Cell ' со lн mл is calcL1 lated as ROUND UP (64 / SeqL1e11ces р е г Root SeqL1e11ce). Tl1e 'Root Seqн enc e Re-нse P atteгn' colL1m11 is
calcLJ lated as ROUND DOWN (83 8 / Root SeqL1ences reqнi1·ed рег Cell)
* The Cell Raп ge fi gшes iп ТаЫ е 169 а ге c a l cн l ate d as 300 х [(Cycli c Sl1ift - 1) х (800 /839) - Delay Spгe ad) / (2 х IООО) , wh e гe 300
согге s р о пd s to the speed of light in meter·s р е г µs, 800 coпes poпd s to the loп g seqt1e11ce dшa t i on in µs, 2 a cc oLJпts fог the гoLJnd tгip
di s t a п c e а пd IООО pгovides the сопvе гs iоп from meteгs to km. Та Ы е 169 pгese nts cell гa n ge fi gшes fог two ass нm e d delay s pгea d s. 5 .2
ft S is co11siste11t with the assLJmed delay s pгea d in ТаЫ е 167, wl1ile 6.4 µs is апоthег commo п a ssн mpt i on . ТаЫ е 167 also н ses а delay
spread ass шnption of 16.7 µs fог the 100 km cell raпge ca l cн l at i on. If this delay sp гead is appl ied to the cyclic sl1ift of О theп the
res нlt ant cell range is 11 7.35 km, i.e. achieving а 100 km cell raпge геq нiгеs PRACH format I iп comЬi n a ti o п with а cyclic sh ift of О

Root Root Ra п gc
Zero Correlati o11 Seqtr eп c es Ce ll Cell Ra п ge
Seq t1e11 cc Cyc lic Seq ue11ces Seqtr e п ce
Zone ре г Roo t (5.2 p s Delay ( 6.4 p s Delay
Le11 gtl1 Sl1ift reqtr irecl Re-trse
Co 11fi g шa ti o 11 Se qtr eп c e Sp гea d ) Sprcad)
ре г Ce ll Patten1
1 13 64 1 838 0.94 km 0.76 km
2 15 55 1.22km 1.04km
3 18 46 1.65 km 1.47km
2 419
4 22 38 2.22 km 2.04 km
5 26 32 2 .80 km 2.62 k.Jп

6 32 26 3.65 km 3.47 km
3 279
7 38 22 4.5 1 km 4.33 km
8 46 18 4 209 5.66 km 5.48 km
839
9 59 14 5 167 7 .52 km 7.34 km
10 76 11 6 139 9 .95 km 9.77 km
11 93 9 8 104 12 .38 kш 12.20 krп

12 11 9 7 10 83 16. 10 km 15.92 krп

13 167 5 13 64 22. 96 krп 22.78 km

14 279 3 22 38 38.98 km 38.80 km
15 4 19 2 32 26 59.01 58.83 km
о о 1 64 13 11 9 .08 km 11 8.90 km

Та Ы е 169 - Root Sequence Re-Use Patte1·n and Cell Ra nge fo1· S 11b c aпie1· Spacing of J.25 kH z (U11l'est1·ictecl Cyclic S hift)

297
5G NR in BULLETS

* ТаЫ е 169 ill нstrat es that larger cyclic shi fts are аЫе to sнp port larger cell гanges Ь н t lead to smaller Root Seqнence re-н se paltem
sizes. It is important to select а cyclic shift which provides а cell гange which is greater than or e qнa l to the actн a l cell range. The
Random Access procedшe will fa il if coverage extends beyond the cell range associated with the cyclic shi ft. This is caн sed Ьу the
Base Station incorrectly detecting the cyclic shift tгansm i tted Ьу the UE. In the case ofthe contention based Random Access pl"Ocedн
the Base Stati on will proceed to transmit the Random Access Response message (MSG2) Ьнt it will address an incorrect cyclic shift . гс,
This means that the UE will not receive MSG2. From а UE perspective, the MSG I to MSG2 sнccess га tе will Ье poor, while from а
Base Station perspective, the MSG I to MSG3 sн ccess rate will Ь е poor
* ТаЫе 170 presents the set ofнnrestricted cyclic shifts for the 5 kНz s нb carrier spacing. The key point regarding this tаЫ е is the trade-
off ber:veen res'tlience to !)oppler freqнency _ offsets and cell range. The 5 kНz sн bcarrier spacing has b~en specified f~r high mobi lity
scenarюs Ь есан sе 1t prov1des шcreased res1l1ence aga ш st Doppler freqнency offsets. However, шcreas шg the sн b camer spacing Ьу а
fac tor of 4 caнses the se qнence dшati on to decrease Ьу а fac tor of 4. This leads to significant ly smalleг cell ranges (if the dclay spread
is ass н med to Ье О µ s in both cases, and an eqн a l cyclic shift is consideгed then the cell range also decгeases Ьу а factoг of 4)
* ТаЫе 170 presents cell range figшes fo r delay spreads of 5.2 µs and 6.4 µ s to allow а comparison w ith Та Ы е 169. These de lay spi·eads
аге too large fш the smaller cyclic shifts so а set of cell range figшes are also presen ted for О µ s de lay spread

R.001 Rool Се \\ Raпge

Zero Corre la t ioп Seqнe11ces Се \\ Range Ce l\ l{ai1ge
Sеqнепсе Cyc lic Seqнeпces Sеqнепсе (0 ps De lay
Zопе рег l<oot (5.2 r1s Delay (6.4 11s Delay
Lengt\1 Shift reqнired Re-н se Spread)
Co11figшa ti o11 Seqнence Spread) Sprcad)
per Се \\ Pa tleГll

1 13 64 1 838 0.43 km - -
2 26 32 2 4 19 0.89 kш 0. 11 km -
'
3 33 ! 25 1. 14km 0.36km 0.18 km
3 279
4 38 22 1.32 km 0.54 km 0.36 km
5 41 20 1.43 km 0.65 km 0.47km
4 209
6 49 17 1.72 k.111 0.94 k.111 0.76 k111
7 55 15 1.93 km 1. 15 km 0.97 k111
5 167
8 64 13 2.25 kш 1.47 km 1.29 km
839
9 76 11 6 139 2.68 km 1.90 km 1.72 km
10 93 9 8 104 3.29 km 2.5 1 km 2.33 km
11 119 7 10 83 4.22 km 3.44 km 3.26 km
12 139 6 11 76 4.93 km 4. 15 k.111 3.97 km
13 209 4 16 52 7.4 kn1 6.66 km 6.48 k111
14 279 3 22 38 9.94 km 9. 16 ki11 8.98 k.Jп

15 4 19 2 32 · 26 14.95 km 14. 17 km 13.99 kш

о о 1 64 13 29.96 km 29.1 8km 29.00 kш

Та Ь\ е 170 - Root Sequence Re-Use Pattern a nd Се \1 Range for S u bcaпiн Spaci ng of 5 kНz (U п restricted Cyclic Sl1ift)
* Thc 'PRACH Configшation Index ' defines the time domain position ofthe PRACH. 3GPP TS 38.211 specifies 2 sets ofConfigшatim1
Ind ices fог the long PRACH preamЫes. T he fiгst set is app l icaЫe to Pa ired and St1pplemental Upli nk spectn1m withiп Fгeq11 e1 1 cy
Range 1. This set is pгeseп ted in Та Ые 17 1. The second set is app licaЫe to Unpaired spectn1m ,vith in Fгeqt1e11cy Range 1. Tl1is set is
presented in ТаЫ е 172
* The гad io fгames wl1ich incl t1de PRACH opportt111ities аге specified t1 sing the ' nsFN mod х = у' n1le. Foi· example, wl1en 'х = 16' a11d
'у= 1' t heп t heгe аге PRACH oppoгtнnities with in radio frames 1, 17, 33, 49, 65 , ... Wheп 'х = 1' and 'у= О' theгe ai·e PRAC[-1
opportt111ities witl1 i11 every rad io frame . The Configшatio n Index taЫes a lso define the s н bframe(s) within which the PRACH
oppoгtt111ities staгt (гecall that there are always I О х I ms sнЬfr·ames w ithin а I О ms гadio fr·ame irтespective of the nt1meюlogy). Sо , пс
Configшat i oп Ind ices specify оп l у а single st1Ьf1·ame рег гadio fr·ame. Othe1· Configшation Indices specify all I О st1Ьf1·a m es

* Tl1e Configшat i on Iпdex taЬles i11clt1de а PRACH Dшatioп co l t1mл. This co lt1m11 is not t1sed fог long PRACH p1·eamЫ es so it is sel to
О to епsше tliat it does not impact tl1e time domaiп ca l cнlation s wl1icl1 аге based t1pon а commoп set of eqt1atio11s fог botl1 lon g а пd
s1101·1 PRACH ргеаmЫеs
* Tl1e Total Dшatioп of tl1e PRACH, as pгeseпted iп ТаЫе 167 sets tl1e t1рр ег limit fог the 11ш11Ь е г uf PRACH staгt i 11 g s11Ьf1·ames. .
PRACH foп11ats О апd 3 liave dшatioп s of I ms so all I О st1Ьfгames сап Ь е specified as stai·tiп g s t1Ьfгames, e.g. PRACH Coпfi gнгat r o ri
Iпcl ex 27 witl1i11 ТаЫе 171. PRACH foп11at I l1as а dшatioп of3 111s so tl1e1·e са п Ье а max imt1m of 3 time domaiп allocatio11s р.:,· ,·аdю
f1·ame, e.g. PRACH Co nfi gшatioп !ndex 52 ,vitl1i11 ТаЫе 171. PRACH foпnat 2 l1as а dшation of 4 ms so iп priпcip l e tl1 eгe са п Ье а
maxi111L1m of2 time domaiп allocations р ег 1·adio fга111е althot1 gl1 3GPP l1as specified опlу а s iп g l e time dom a iп a llo cat i oп
* Tl1e co mЬiпatioп of гadio fi·ames апd st1bf1·ames defiпes tl1e time domaiп ca pac ity of tl1e PRACH. Up to 8 PRACH 1·еsо 11гсе allocat io115
са п Ье fгeqt1 e 11cy mt1 ltip lexed ,vitl1i11 eacl1 of the allocated s t1Ьf1·am es. This leads to а mi11imt1m PRACH capacity of 1 1·еsо 11гсе
a ll ocatioп рег 16 гad i o fгames, and а maxin1llm PRACH capacity of 1280 геsо шсе a llocations рег 16 1·adio fгames (asst1mi11g 8
PRACH геsошсе allocation s i п eve1·y s нЬfга m е)
 5G NR in BULLETS

Selecting а PRACH Configuration Iпdex with а higl1 time dom a iп capacity provides а beпefit in terms of lateпcy, i.e. the average
waitiпg time for а PRACH occasioп decreases. The dгawback of ап iпcre ased PRACH capacity is ап iп c reased overhead from the
perspective ofthe PUSCH
5G allows the coпfigшation of loweг PRACH deпsities relative to 4G. Both ТаЫе 171 апd ТаЫе 172 have miпimнm deпsities of 1
pRACH occasioп every 160 ms. Iп the case of 4G, the miпimнm PRACH deпsity is I PRACH occasioп every 20 ms. The 5G
miпimнm PRACH deпsity is withiп the raпge of deпsities нsed Ьу the 4G NPRA.CH (applicaЫe to NВ-IoT)

PRACH PREAMBLE FORMA ТО PRACH PREAMBLE FOIUvlAT 1

PRACI-I nsFN mod х =у Subframe Stat1ing PRACH

PRACH nsFN mod х =у St1Ьframe Stat1 i11g PRACH
Co11figt1ration Configuration
N шnbe r Sy111bo l Dшatioп х у
Nшn b er Symbo l Duration
х у lпd ex
lпdex

о 16 1 1 о о 28 16 1 1 о о
1 16 1 4 о о 29 16 1 4 о о
2 16 1 7 о о 30 16 1 7 о о

3 16 1 9 о о 31 16 1 9 о о
4 8 1 1 о о 32 8 1 1 о о
5 8 1 4 о о 33 8 1 4 о о
6 8 1 7 о о 34 8 1 7 о о
7 8 1 9 о о 35 8 1 9 о о
8 4 1 1 о о 36 4 1 1 о о
9 4 1 4 о о 37 4 1 4 о о
10 4 1 7 о о 38 4 1 7 о о
11 4 1 9 о о 39 4 1 9 о о
12 2 1 1 о о 40 2 1 1 о о
13 2 1 4 о о 41 2 1 4 о о
14 2 1 7 о о 42 2 1 7 о о
15 2 1 9 о о 43 2 1 9 о о
16 1 о 1 о о 44 1 о 1 о о
17 1 о 4 о о 45 1 о 4 о о
18 1 о 7 о о 46 1 о 7 о о
19 1 о 1 6 о о 47 1 о 1, 6 о о
20 1 о 2, 7 о о 48 1 о 2, 7 о о
21 1 о 3,8 о о 49 1 о 3, 8 о о
22 1 о 1, 4, 7 о о 50 1 о 1, 4, 7 о о
23 1 о 2,5 8 о о 51 1 о 2, 5, 8 о о
24 1 о 3, 6, 9 о о 52 1 о 3, 6, 9 о о
25 1 о О , 2, 4, 6, 8 о о
26 1 о 1, 3, 5, 7, 9 о о
27 1 о О , 1, 2, 3, 4, о о
5, 6, 7, 8, 9

Pl~CH Pl~EAMBLE FOl~MAT 2 PRACH PREAMBLE FOl~MAT 3

PRAC H nsFN 1110d х =у St1Ьframe Startiпg PR ACH
PRAC H пsFN пюd х = у
St1bfra111e S1ani11g РКАС Н
Coпfigшatioп Co111igt1ration
NшпЬеr Sy111bol Duratio11 N шпЬ ег Sy,пbol Dнгаtiоп
l пdex х у lпd ex х у

53 16 1 1 о о 60 16 1 1 о о
54 8 1 1 о о 61 16 1 4 о о
55 4 о 1 о о 62 16 1 7 о о
56 2 о 1 о о 63 16 1 9 о о
57 2 о 5 о о 64 8 1 1 о о
58 1 о 1 о о 65 8 1 4 о о
59 1 о 5 о о 66 8 1 7 о о
67 4 1 1 о о
68 4 1 4 о о
69 4 1 7 о о
70 4 1 9 о о
71 2 1 1 о о
72 2 1 4 о о
73 2 1 7 о о
74 2 1 9 о о
75 1 о 1 о о
76 1 о 4 Q о
77 1 о 7 о о
78 1 о 1, 6 о о
79 1 о 2, 7 о о
80 1 о 3, 8 о о
81 1 о 1, 4, 7 о о
82 1 о 2, 5, 8 о о
83 1 о 3, 6, 9 о о
84 1 о О , 2, 4, 6, 8 о о
85 1 о 1, 3, 5, 7, 9 о о
86 1 о о , 1, 2, 3, 4,
о о
5, 6, 7, 8, 9

ТаЫе 171 - PRACH Co11 figшatio n Jndices for PRACH Forшats О to 3

(Fr·equency Range 1 Paired and S u pp l e шen ta l Upli nk S p e ctr uш)

299
5G NR in BULLETS

PRACH Pl{EAM BL E FOR MA ТО PRAC H PR EAM BLE FORMAT 1 -

PRACH 1lsFN mod х =у S ub fra п1e S t a rt i пg PRAC H
PRAC H n sFN mod х =у Subframe Star1i11g
-
Coпfi gura ti o п Coпfi gura tio п rм с н
Nu mber Symbol DL1ra1io11 Number Sy ,пbo l Duration
lпdex х у
lпd ex х у

о 16 1 9 о о 28 16 1 7 о о
-
1 8 1 9 о о 29 8 1 7 о о
2 4 1 9 о о 30 4 1 7 о о
3 2 о 9 о о 31 2 о 7 о о
4 2 1 9 о о 32 2 1 7 о о
-
5 2 о 4 о о 33 1 о 7 о о
6 ~ 1 4 о о
7 1 о 9 о о
8 1 о 8 о о
9 1 о 7 о о
10 1 о 6 о о
11 1 о 5 о о
12 1 о 4 о о
13 1 о 3 о о
• 14 1 о 2 о о
15 1 о 1, 6 о о
16 1 о 1, 6 7 о
17 1 о 4, 9 о о
18 1 о 3, 8 о о
19 1 о 2, 7 о о
20 1 о 8, 9 о о
1
21 1 о 4 8 9 о о
22 1 о 3 4, 9 о о
23 1 о 7 8 9 о о
24 1 о 3 4, 8 9 1 о о
25 1 о 6, 7, 8, 9 о о
26 1 о 1, 4, 6 9 о о
27 1 о 1, 3, 5, 7, 9 о о

PRAC l-1 PR EA MBLE l' Ol{MAT 2 Pl{ACII l'l{ [ AMBL E FORMAT 3

Pl{AC l-1 1lsFN 1110(1 .Х =у St1 bfrai11e Start i11g l' l{AC II
Pl{AC II n sFN 1110 d х =у Sobfra111e St:нt 111 g
Co 11fi g 1iп1 ti o 11
Pl{ACI I
Co пli g t 1 r:11i o п
Nl1111be1· Sy111bol IJ11ratio11 N tlllli)t.:I° Sy , п bo l l)ша tю11
1щlе х х у l щl ex х у

34 16 1 6 о о 40 16 1 9 о о
35 8 1 6 о о 41 8 1 9 о о
36 4 1 6 о о 42 4 1 9 о о
37 2 о 6 7 о 43 2 о 9 о о
38 2 1 6 7 о 44 2 1 9 о о
39 1 о 6 7 о 45 2 о 4 о о
46 2 1 4 о о
47 1 о 9 о о
48 1 о 8 о о
49 1 о 7 о о
50 1 о 6 о о
51 1 о 5 о о
52 1 о 4 о о
53 1 о 3 о о
54 1 о 2 о о
55 1 о 1, 6 о о
56 1 о 1, 6 7 о
57 1 о 4, 9 о о

58 1 о 3, 8 о о
59 1 о 2, 7 о о

60 1 о 8, 9 о о
61 1 о 4,8,9 о о
62 1 о 3,4,9 о о
63 1 о 7, 8, 9 о о
64 1 о 3 4 8 9 о о

65 1 о 1 4, 6, 9 о о

66 1 о 1, 3 5, 7, 9 о о

Та Ы е 172 - PRACH Co11 fig 111·ati o11 I11di ces fo 1· PRACH Fo1·111ats О to З
(F1·eq11ency Ra nge I U11 pa ired Spect1·u111)
* In the case ofTDD (ш1 ра i1·ес\ s pectп1m) , PRACH o ccas i oп s аге 011 \у p e гm i tted dш iп g нр\iп k symbols. I п ge11eгa l , гad i o f1·ames stait
\V ith dowп liп k symbols а п d fi пi sl1 witl1 11 pli11 k symbol s. Tl1e н sе o f fl ex iЫ e symbols 111ea11s tha t tl1e Ьоuпdагу bet\veeп tl1e d owп liп k
а пd t1pli11 k сап Ье cl1a11ged dyпam i ca ll y. The PRACH ti me do111ai11 a ll oca ti oп s witl1i11 ТаЫ е 172 ш·е geп eгa ll y placed at tl1e е1нi ofa
1·adi o frшne to l1elp еп sше that tl1ey occt1py 11pli11 k symbo ls. PRACH fo 1·111ats О а пd З have dшatio п s of 1 111s so p l ac i пg the PRACH_
occas ioп withiп st1bfi·a111e 9 co1тesp o11ds to tl1e еп d of the гadio fгame. PRACH foгmat I l1as а d шatioп о f З 111s so sta11i11g the PRACH
o ccas i oп dшiп g subf1·a111e 7 c01тespo11ds to tl1e епd of tl1e 1·adio fгame (PRACH occt1pies st1 bf1·a111es 7, 8 апd 9). PRA CH forп1 at 2 li as а
dшati oп of 4 111s so staгtiпg tl1e PRACH occas i oп dшiпg sнЬfга mе 6 coгrespo пds to tl1e епd of the гadio fгame (PRACH occt1pies
st1Ьfra mes 6, 7, 8 а пd 9).

300