5G Massive MIMO and Beamforming (BF)

July, 2020

ⓒ SK Telecom. All Rights Reserved.

-1- Confidential and Proprietary
Needs for Beamforming

Vertical
RU beamforming

X X

AAU
X X X X
X X X X
X X X X
X X X X

Beamforming
Coverage gain
AAU Horizontal
X X X X
beamforming
X X X X Concentrate energy
to specific direction
X X X X
X X X X

RU: Radio Unit, AAU: Adaptive Antenna Unit

Tune individual radiating elements of

antenna array (change the phases)

-2-
Why Massive MIMO and Beamforming is Needed ?

⚫ Massive MIMO = MU-MIMO + Beam Forming

-3-
MIMO Scheduling

-4-
Zero-forcing BF (MU-MIMO)

Signal radiation patterns of simulated MU-MIMO transmissions to 4 UEs in free-space

𝜆
(50 Omni-AEs, 2 𝑠𝑝𝑎𝑐𝑖𝑛𝑔)

-5-
Active Antenna Structure

8H4V Antenna Array 2PA for Polarization Antenna (3AE + 3AE)

1TRX 1PA for 3AE
2TRX
1TRX

Number of TRX : number of AMP

32TRX Number of AE : Number of Antenna Array

Unit of Antenna Element

= 1 Antenna Array
Compose of X polarization
Angular coverage & Beamwidth
Unit of TRx
= number of AMP

1 AMP
Composes of multiple AE

-6-
Active Antenna Structure & Angular Distribution

-7-
The Impact of Active Antenna Structure (EIRP)

8H4V Antenna Array (96AE) 8H4V Antenna Array (64AE)

1TRX 1TRX
2TRX
2TRX

32TRX

32TRX
NEC Product

Vendor A/B Product

Total 100Watts (~3.1W per Tx Chain) Total 63Watts (~2W per Tx Chain)
EIRP = 50dBm + Ant Gain (e.g. 23dBi) = 73dBm EIRP = 48dBm + Ant Gain (e.g. 21.6dBi) = 69.6dBm

Total 80Watts (~2.5W per Tx Chain)

EIRP = 49dBm + Ant Gain (e.g. 21dBi) = 70dBm

-8-
The Impact of Active Antenna Structure (Horizontal/Vertical Beamwidth)

8H4V Antenna Array (96AE) 8H4V Antenna Array (96AE) 16H2V Antenna Array (192AE) 16H4V Antenna Array (192AE)
1TRX 1TRX 1TRX
2TRX 2TRX 2TRX
1TRX
2TRX

32TRX

32TRX 32TRX 64TRX

CSI-RS 32 Ports : N1xN2=4x4

16H2V Antenna Array (96AE) 16H2V Antenna Array (128AE)

1TRX 1TRX
2TRX 2TRX

32TRX
32TRX

CSI-RS 32 Ports : N1xN2=8x2

Performance depends on
1. Number of antenna element (antenna gain)
2. H/V architecture that impacts on Horizontal/Vertical Beamwidth
3. Horizontal/Vertical distance between antenna element (~λ/2)
-9-
AAU Products

A B C
32TRx 64TRx 32TRx 32TRx

Weight

Shape

- 10 -
Active Antenna Structure & Angular Distribution

AEs TRX

Determine total angular coverage (envelope) Fine Tuned Beam

AEs/TRX Beam Sharpness, Freedom ↑

AE ↑ Same AE AE ↑

Same TRX TRX ↑ Same TRX

- 11 -
 gNB Scheduling

▪ CQI → MCS mapping, PDCCH Coding Rate decision ▪ SNR → MCS mapping, Power Control
▪ Rank → Layer mapping ▪ Rank → Layer mapping
▪ T-PMI
▪ PMI → BF, SRS → BF ▪ SRS scheduling
▪ CSI-RS scheduling

DL scheduling
UL scheduling

SNR/T-PMI/RI from SRS

BF channel estimation from SRS SSB/ CSI-RS/PDCCH/PDSCH

SRS/PUCCH/PUSCH
RSRP/SNR from SSB/CSI-RS
SRI/CRI from SSB/CSI-RS

CQI/PMI/RI from CSI-RS (channel estimation)

CSI (Channel Status Information)

- 12 -
gNB Scheduling

1. SSB sweeping & UE SSB beam ID 2. Directional CSI-RS transmission

reporting
SSB beam direction

CSI-RS beams (N ports)

3. Beam management (Best Beam) 4. Beamforming

Best CSI-RS beam PDSCH beam

(PMI report)

- 13 -
NR Beamforming Mechanisms

PMI based BF SRS based BF

PMI based beam is somewhat wider than SRS based beam

on the condition that the number of CSI-RS port is not large
(e.g. 4/8 Ports)

Channel 0/1/2/3 can be differentiated

⚫ Normally, NR device has 4Rx antenna

⚫ But, NR device can have the limited TX antenna

UE Ant port 0 1 2 3
➢ 1Tx for LTE, 1Tx for NR
SRS Tx time t0 t1 t2 t3
➢ 1Tx for LTE , 2Tx for NR

⚫ Antenna Switching capability (named as TAS : Transmit Antenna Switching) is very important for DL beamforming

➢ SRS Switching capable → (1Tx/2TX) + SRS Switching → finally 4 layer transmission is possible in DL

➢ SRS Switching not capable → only 1Tx/2Tx → finally 1/2 layer transmission is possible in DL

- 14 -
NR Beamforming Mechanisms

PMI based BF SRS based BF

PMI based beam is somewhat wider than SRS based beam

on the condition that the number of CSI-RS port is not large
(e.g. 4/8 Ports)

gNB estimates channel from Ue sending SRS

The exactness of the estimation is different from vendors (algorithm)

⚫ PMI based BF : always Max 4 layer transmission is possible based on Rank4 reporting from Ue (CSI-RS → Rank4)

➢ CSI-RS configuration is very important → if Ue hears a strong and spatially distributed CSI-RS beams, Rank4 will be

reported

⚫ SRS based BF : better channel estimation in gNB, narrower beam (more MU-MIMO Ues), more coverage

➢ Antenna Switching capable → (1Tx/2Tx) + SRS Switching → finally 4 layer transmission is possible in DL

➢ Antenna Switching not capable → only 1Tx/2Tx for SRS → finally 1/2 layer transmission is possible in DL

➢ With less than 3 layer transmission, peak throughput cannot be achieved (vs. PMI based BF)

- 15 -
NR Beamforming Mechanisms

SSB Resource Index : SRI gNB transmits SSB (SSB beam sweeping : 1~7 beams)
CSI-RS Resource Index : CRI

UE reports SRI (or CRI)

gNB makes PDSCH beam like the same SSB beam

PMI matrix not applied ( just do the layer mapping)

- 16 -
Reference Signals

- 17 -
Reference Signals : Resource Mapping

DL Beamforming Channels
SS+PBCH (SSB)
CSI-RS
PDCCH
PDSCH

- 18 -
PMI BF Performance Depends On CSI-RS Channel Estimation in Device

- 19 -
SRS BF Performance Depends On SRS Channel Estimation in gNB

At every SRS period (e.g. 80 slot = 40ms), Port 0/1/2/3 transmissions

1 Radio frame (20 slot) = 10ms

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
D D D S U D D D S U D D D S U D D D S U

DL symbols DL symbols UL UL symbols

1 slot (14 symbol) = 0.5ms S slot format 32

4
2

1
3

- 20 -
Beamforming Basic

- 21 -
Beamforming

Relationship between wavelength

and beamwidth

Active antenna : each antenna is equipped with active module that the amplitude and phase can be
adjusted (different from passive antenna) so that the beam is dynamically formed
Basic principle of Beamforming : each antenna is applied with different phase signal so that the
combined (summed) signal can be directed to the special direction, and the unwanted signal is
suppressed

- 22 -
Beamforming (Spatial Filtering Function)

- 23 -
Beamforming (Beam Pattern)

- 24 -
Beamforming (Beam Properties)

When we says for the beam coverage,

use 3dB beamwidth

- 25 -
Beamforming (Beam-steering)

- 26 -
Beamforming (Single/Multiple Ues)

- 27 -
PMI (CSI-RS Measurement) Based BF

- 28 -
 CSI-RS Channel Configuration
Subframe0 Subframe1 Subframe2 Subframe3 Subframe4

Slot 0: DL Slot 1: DL Slot 2: DL Slot 3: S Slot 4: UL Slot 5: DL Slot 6: DL Slot 7: DL Slot 8: S Slot 9: UL
0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13

PDSCH PUSCH
SRS

DMRS CSI-RS
for DMRS
Short
PDSCH for
PUCCH
PUSCH

PRACH

SS/PBCH

PDCCH
Long
PUCCH

[CSI-RS Resource Mapping]

4 ports 8 ports

- 29 -
From Initial Access To DL Data Transmission (Beamforming)

SSB CSI-RS
DL Synchronization Channel Status
Signal Block Information-RS
Initial BF
Access (PDSCH)
RACH PMI feedback
UL Random Access Precoding
Channel Matrix Indicator

⚫ SSB Beam is relative wide for fast sweeping

⚫ CSI-RS is configured as narrow beam like PDSCH beam

➔ Field measurement : similar level is measured in the near field, but narrow beam has 5dB gain over
wide beam in the far field

- 30 -
CSI Usage in NR (vs. LTE)

UE considers both Rank (Layer) and the number of CSI-RS ports, to report PMI

Phase rotated in Digital

Digital Signal : IFFT → DAC

Ant port per layer

BF weight matrix comprises of “layers x CSI-RS ports” dimension
mapping
Refer to Appendix

- 31 -
CSI-RS Configuration (Extended from LTE – Class A/B Structure)

Single CSI-RS Multiple CSI-RS

• CSI-RS may or may not be beamformed • Combines beam selection with codebook
• Leverage codebook feedback feedback (multiple beamformed CSI-RS
• Analogous to LTE Class A with CRI feedback)
• Process • Analogous to LTE Class B
1. gNB transmits CSI-RS • Process
2. UE computes CQI/PMI/RI 1. gNB transmits one or more CSI-RS
• Max 32 CSI-RS ports (each in different direction)
• Typically intended for arrays having 32Tx 2. UE computes CQI/PMI/RI
chain or less with no beam selection (no • Supports arrays having arbitrary number
CRI) of Tx chain
• Max 32 ports per CSI-RS

- 32 -
 CSI-RS Configuration

Scenario : gNB does not have current awareness of Ue channel condition

Derive Ue to report highest possible Rank (near cell Ue)

Up to 32 ports

Scenario : gNB does have current awareness of Ue channel condition

Ue reporting based on CSI (e.g. cell edge), user movement, interference
Configure beamformed CSI-RS ports up to 8 layers (best beam report)
- 33 -
CSI-RS Signal : Non-beamformed vs. Beamformed (Port to Antenna Mapping)

- 34 -
CSI-RS Signal

- 35 -
CSI-RS Configuration : CDM Property

- 36 -
CSI-RS Configuration : Port & Resource Mapping

- 37 -
CSI-RS Configuration : 8 Port vs. 32 Port

- 38 -
CSI-RS Configuration

For beamformed CSI-RS, UE measures CSI on CSI-RS resources that are beamformed toward different
directions
• Select the most appropriate beam direction for potential PDSCH transmission
• CRI (CSI-RS Resource Index)

Per port beamforming

- 39 -
CSI-RS Report Configuration (Special Purpose)

- 40 -
PMI Reporting Structure

- 41 -
CSI-RS : Definition of Panel

- 42 -
CSI-RS : Type I Single Panel

- 43 -
CSI-RS : Type I Multiple Panel

- 44 -
NR Codebook Type & Reporting

- 45 -
Concept of Rotated Orthogonal Beams

𝑂1 = 4
𝑁1 𝑂1 Beams

𝑙
𝑂2 = 4 𝑛2 = 1

𝑁2 𝑂2 Beams
𝑛2 = 0

(𝑘, 𝑙) =(0,0) 𝑘
𝑛1 = 0 𝑛1 = 1 𝑛1 = 2 𝑛1 = 3
Orthogonal DFT beams Oversampled DFT beams

2 1
Rotated DFT beams with rotation factors : 𝑞1 = 4 , 𝑞2 = 4

Rotating the beam space basis has an effect similarly to oversampling a codebook
If the channel is a pure LOS channel and the angle of the LOS ray if perfectly aligned with a constituent beam in the
beam space, the channel matrix can be described by only one beam coefficient.
However, if the angle of the LOS ray lies in between two beams in the beam space, two beam coefficients are
required to express the channel, doubling the amount of overhead needed

- 46 -
PMI Beam Selection (Single Layer Transmission)

2D DFT candidate beams Stage 1 : Beam group selection Stage 2 : Beam/Phase selection
N1=2, N2=2 (O1=2, O2=2)

2D DFT candidate beams Stage 1 : Beam selection Stage 2 : Phase selection

N1=2, N2=2 (O1=2, O2=2)
- 47 -
PMI Beam Selection (More Than 2 Layers)
Selection of 2 cross-polar beams
Cross-polar beam has a same direction

(N1, N2) = (4, 1) (N1, N2) = (2, 2)

(O1, O2) = (4, 1) (O1, O2) = (4, 4)

O1 O1 O1

Primary Secondary Secondary Secondary

candidate candidate candidate candidate

O2

O1

- 48 -
PMI Beam Selection (More Than 4 Layers Requiring 3 or 4 Beams)
Selection of 3 cross-polar beams

(N1, N2) = (4, 1) (N1, N2) = (2, 2)

(O1, O2) = (4, 1) (O1, O2) = (4, 4)

O1 O1

1st beam 2nd beam 3rd beam

O2

O1

- 49 -
3/4 Layers with More Than 16 CSI-RS Configuration

4 groups of antenna element : +45 Gr1, +45 Gr2, -45 Gr1, -45 Gr2

1,2,5,6,7,8 layers

Single Group of
Antenna Element

+45/-45
polarization

3,4 layers

Antenna Element Antenna Element

Group 1 Group 2

+45/-45 +45/-45
polarization polarization

- 50 -
CSI-RS Based PMI (BF Weight) Structure

- 51 -
CSI-RS Measurement (PMI) Reporting

- 52 -
Codebook Generation

Beamformed signal is the sum of different phase applied signals

- 53 -
Codebook Generation

- 54 -
Codebook Generation

- 55 -
Codebook Generation

- 56 -
Appendix. 4 Port CSI-RS, N1=2, N2=1

- 57 -
Appendix. Different Types of Beam

- 58 -
Appendix. Different Types of Beam

- 59 -
Appendix. Different Types of Beam

- 60 -
SRS Based BF

- 61 -
 SRS Channel Configuration
Subframe0 Subframe1 Subframe2 Subframe3 Subframe4

Slot 0: DL Slot 1: DL Slot 2: DL Slot 3: S Slot 4: UL Slot 5: DL Slot 6: DL Slot 7: DL Slot 8: S Slot 9: UL
0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13 0 1 2 3 4 5 6 7 8 9 10 11 12 13

PDSCH PUSCH
SRS

DMRS CSI-RS
for DMRS
Short
PDSCH for
PUCCH
PUSCH

PRACH

SS/PBCH

PDCCH
Long
PUCCH

gNB considerations
1. SRS periodicity (vs. SRS capacity)
2. Sub-band or Full-band allocation (vs. Ue Tx power)
3. Channel estimation mechanism (+ Rx beamforming)
4. The freedom for employing adaptive switching mechanism
4 between PMI and SRS BF (e.g. CSI-RS/PMI BF in the cell
2 2
edge region)
1 1
3

For example,
4x68RB=272RB - 62 -
Considerations for SRS Based BF
gNB considerations
1. SRS periodicity (vs. SRS capacity)

2. Sub-band or Full-band allocation (vs. Ue Tx power) SRS BF area

3. Channel estimation mechanism (+ Rx beamforming)

4. The freedom for employing adaptive switching mechanism between PMI

and SRS BF (e.g. CSI-RS/PMI BF in the cell edge region)
PMI BF area


 PCMAX , f , c (i ), 2 : 30KHz 

PSRS, b , f,c (i , q s , l ) = min   

 PO_SRS, b , f , c ( q s ) + 10 log 10 ( 2  M SRS, b , f , c ( i )) +  SRS , b , f , c ( q s )  PL b , f , c ( q d ) + hb , f , c ( i , l ) 


M : 273RB with 100MHz

➔ 10*log10 (2*273RB) ~ 27.3dB

Example : PL = 120dB (Tx Power=15dBm, RSRP=-105dBm), P0=-80dBm/-100dBm, alpha=0.8

• P_SRS = -80dBm + 27.3dB + 0.8*120dB = -80dBm + 123.3dB = 43.3dBm
• P_SRS = -100dBm + 27.3dB + 0.9*120dB = -100dBm + 123.3dB = 23.3dBm
Coverage limited by higher power requirement

- 63 -
Considerations for SRS Based BF
gNB considerations
1. SRS periodicity (vs. SRS capacity)
2. Sub-band or Full-band allocation (vs. Ue Tx power)

3. Channel estimation mechanism (+ Rx beamforming) : different from each vendor Drive different fronthaul
4. The freedom for employing adaptive switching mechanism between PMI and SRS BF (e.g. CSI-RS/PMI BF in the cell edge region) capacity

Capacity limited : 1x10G, 2x10G, 1x25G

According to UL split option

• Number of UL layers
• I/Q bit width
• Bandwidth (PRB)

8H4V Antenna Array (64AE)

1TRX

2TRX

32TRX
- 64 -
SRS Based BF : Multiple SRS Ports Configuration (w/ TAS)

symbol13 symbol13 symbol13

symbol14

At every SRS period (e.g. 80 slot = 40ms), Port 0/1/2/3 transmissions

1 Radio frame (20 slot) = 10ms

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
D D D S U D D D S U D D D S U D D D S U

DL symbols DL symbols UL UL symbols

S slot format 32
6
1 slot (14 symbol) = 0.5ms
- 65 -
SRS Based BF : Single SRS Ports Configuration (w/o TAS)

Only 1 resource allocated for Port 0 transmission

- 66 -
NR Beam Management (Beam Refinement Process in 3GPP)

- 67 -
 Thank You

- 68 -