5G NR

Eng. Adel Mounir Mohamed

WhatsApp:+201068537809
FB page: Telecom-Adel Mounir
5G Timeline
Source: KEYSIGHT
Source: 3GPP
Source: 3GPP
Source: 3GPP
Source: 3GPP
Source: 3GPP
Source: 3GPP
Source: 3GPP
5G Use Cases
Source: Cafetele
Source: 3GPP
 Which is more important?
• Evolved Mobile Broadband is important
• The main priority for some early operators
• Business models and revenue streams are well understood
• 5G Phase1 addresses very well this use case family

• ...but so are Ultra-Reliable Low-Latency Communications and

Massive Machine Type Communications
• URLLC features are contained in 5G Phase 1
• URLLC and mMTC to be fully covered in 5G Phase 2

Source: 3GPP
Source: Qualcomm
Source: ITU
Source: Coursera
Source: Coursera
5G Use Cases & Related Examples
Source: NGMN
1. Broadband Access in Dense Areas
- Pervasive Video
- Smart Office
- Operator Cloud Services
- HD Video/Photo Sharing in Stadium/Open-Air Gathering

2. Broadband Access Everywhere

- 50+ Mbps Everywhere
- Ultra-low Cost Networks

3. Higher User Mobility

- High Speed Train
- Moving Hot Spots
- 3D Connectivity

4. Massive Internet of Things (mIoT)

- Smart Wearables
- Sensor Networks
- Mobile Video Surveillance
5. Extreme Real-Time Communications
- Tactile Internet

6. Lifeline Communication
- Natural Disaster

7. Ultra-Reliable Communications
- Automated Traffic Control & Driving
- Collaborative Robots
- eHealth
- Drones
- Public Safety

8. Broadcast-Like Services
- News and Information
- Local Broadcast-like Services
- Regional Broadcast-like Services
- National Broadcast-like Services
5G Deployment Options
Source: Rohde & Shwarz
EN-DC Concept & Radio Bearers
Source: Ericsson
Source: MPIRICAL
EN-DC Bearers

Source: Rohde & Shwarz

Source: MPRICAL
Source: Ericsson
Source: Ericsson
Source: KEYSIGHT
Source: MediaTek
Source: KEYSIGHT
Source: KEYSIGHT
Source: KEYSIGHT
Source: KEYSIGHT
Option 2 and Option 5 for SA deployment

Source: Rohde & Shwarz

Source: ETSI
5G Network Architecture
Source: Apis
Source: Apis
Source: KEYSIGHT
Source: KEYSIGHT
Source: KEYSIGHT
Source: KEYSIGHT
Source: KEYSIGHT
NSSF Functions:
Source: Apis
Source: Huawei
Source: Apis
NEF Functions:
NRF Functions:
5G Spectrum
FR1 in 5G
FR2 in 5G
Main 5G spectrum options in different markets globally
Source: Huawei
 SUL and SDL
Supplementary downlink or Uplink allow the bonding of unpaired spectrum with FDD or TDD bands, to
significantly enhance NR network capacity and users experience. This provides an efficient way of using
spectrum because consumption rich content and other data heavy applications is asymmetric.

Additionally, to improve UL coverage for high frequency scenarios, Supplementary Uplink (SUL) can be
configured as shown the slide. With SUL, the UE is configured with 2 uplinks for one Downlink of the same
cell.

In conjunction with a UL/DL carrier pair (FDD band) or a bidirectional carrier (TDD band), a UE may be
configured with additional, supplemental uplink. Supplemental uplink differs from the aggregated uplink in
that the UE may be scheduled to transmit either on the supplemental uplink or on the uplink of the carrier
being supplemented, but not on both at the same time.
LTE + NR
NOMA
Numerologies
(adjustable SCS) supported by 3GPP Release 15 (TS 38.211) with SCS identified by the parameter µ.

• Requirements for SCS vary with

service types, frequency bands, and
moving speeds.
– URLLC service (short latency): large SCS
– Low frequency band (wide coverage): small SCS
– High frequency band (large bandwidth, phase
noise): large SCS
– Ultra high speed mobility: large SCS
SCS: Application Scenarios and Suggestions

• Impact of SCS on coverage, latency, mobility, and phase noise SCS application suggestions for different frequency bands (eMBB
– Coverage: The smaller the SCS, the longer the symbol length/CP, and the service data channel):
better the coverage.

– Mobility: The larger the SCS, the smaller the impact of Doppler shift, and SCS (kHz) 15 30 60 120 240
the better the performance. good bad
Coverage
bad good
– Latency: The larger the SCS, the shorter the symbol length/latency. 3.5 GHz Mobility
bad good
Latency
– Phase noise: The larger the SCS, the smaller the impact of phase noise, good bad
and the better the performance. Coverage
bad good
Mobility
28 GHz bad good
Phase Noise
bad good
Latency

Source: Huawei
Mapping Between SCS and Symbol Length

 SCS vs symbol length/ CP length/slot length

SCS = 15 kHz
T_slot = 1 ms (14 symbols)
– Length of OFDM symbols in data: T_data = 1/SCS
– CP length: T_cp = 144/2048* T_data CP data …
– Symbol length (data+CP): T_symbol = T_data +T_cp
T_symbol
– Slot length: T_slot = 1 / 2^(µ)
T_slot = 0.5 ms (14 symbols)

SCS = 30 kHz
Parameter/Numerology (µ) 0 1 2 3 4
SCS (kHz):
15 30 60 120 240 …
SCS = 15 x 2^(µ)

OFDM Symbol Duration (us): T_symbol

66.67 33.33 16.67 8.33 4.17
T_data = 1/SCS
T_slot = 0.125 ms (14 symbols)
CP Duration (µs):
4.69 2.34 1.17 0.59 0.29
T_cp = 144/2048*T_data

SCS = 60 kHz
OFDM Symbol Including CP (µs):
T_symbol = T_data + T_cp
71.35 35.68 17.84 8.92 4.46 …
Slot Length (ms):
1 0.5 0.25 0.125 0.0625
T_slot = 1/2^(µ)
T_symbol
NR Cyclic Prefix (CP)
 CP function:
– To eliminate inter-channel interference (ICI) caused by multipath
propagation.

Symbol Period T(s)

Attitude
Symbol N Symbol N+1
Cyclic Prefix
Bit Period T(b)

One OFDM symbol

T(g)
Symbol Period T(s)
time

 NR CP design principle:
– Same overhead as that in LTE, ensuring aligned symbols btw different
SCS values and the reference numerology (15 kHz).
NR Concepts of Frequency-Domain Resources

 Resource Grid (RG) Resource Grid

– Resource group at the physical layer, defined for the uplink and downlink (for a given One subframe
numerology)
– Time domain: 1 subframe, frequency domain: available RB resources within the
transmission bandwidth
,
subfram
 Resource Element (RE) Nsymb OFDM symbols
max, RB
– Smallest unit of physical-layer resources
k  NRB,
x Nsc 1
– Time domain: 1 OFDM symbol, frequency domain: 1 subcarrier
 Resource Block (RB)
– Basic frequency-domain scheduling unit involved in data channel resource allocation (type 1
resource allocation)

N scRB subcarriers

N scRB subcarriers
– Frequency domain: 12 contiguous subcarriers
 Resource Block Group (RBG)
– Basic scheduling unit for data channel resource allocation (type 0 resource allocation) and
reduced control channel overheads Resource element

N RB

– Frequency domain: {2, 4, 8, 16} RBs (k , l )

Resource block
 Resource Element Group (REG)
– Basic unit involved in control channel resource allocation
– Time domain: 1 OFDM symbol, frequency domain: 12 subcarriers (1 PRB)
 Control Channel Element (CCE)
– Basic scheduling unit involved in control channel resource allocation
– Frequency domain: 1 CCE = 6 REGs = 6 PRBs
– CCE aggregation level: 1, 2, 4, 8, 16 k 0
l 0 l  14  2   1
Transmission Bandwidth and Spectrum Utilization
 Transmission bandwidth: depends on the channel bandwidth and data channel SCS.
Spectrum utilization = Maximum transmission bandwidth/Channel bandwidth
– Maximum transmission bandwidth on the gNodeB side: See Table 5.3.2-1 and 5.3.2-2 in 3GPP TS 38.104.
5 10 15 30 70 90
20 MHz 25 MHz 40 MHz 50 MHz 60 MHz 80 MHz 100 MHz
SCS (kHz) MHz MHz MHz MHz MHz MHz
NRB and Spectrum Utilization (FR1: 400 MHz to 6000 MHz)
25 52 79 [160] 106 133 216 270 N/A N/A N/A N/A N/A
15
90% 93.6% 94.8% 95.4% 95.8% 97.2% 97.2% \ \ \ \ \
11 24 38 [78] 51 65 106 133 162 [189] 217 [245] 273
30
79.2% 86.4% 91.2% 91.8% 93.6% 95.4% 95.8% 97.2% 97.7% 98.3%
N/A 11 18 [38] 24 31 51 65 79 [93] 107 [121] 135
60
79.2% 86.4% 86.4% 893% 91.8% 93.6% 94.8% 93.6% 97.2%

Channel Bandwidth [MHz]

Transmission Bandwidth Configuration NRB [RB]

Channel Edge
Channel Edge
50 MHz 100 MHz 200 MHz 400 MHz Transmission
SCS (kHz) Bandwidth [RB]
NRB and Spectrum Utilization (FR2: 24 GHz to 52 GHz)

Resource Block
66 132 264 N/A
60
95% 95% 95% \
32 66 132 264
120 f
92.2% 95% 95% 95% Active Resource
Blocks

Guardband, can be asymmetric

– Maximum transmission bandwidth on the UE side: See 3GPP TS 38.101-1 and TS 38.101-2.
– The number of RBs in the 30 MHz bandwidth is to be determined. The 70 MHz and 90 MHz bandwidths are not supported. Other
values are the same as those on the gNodeB side.
Slot and Mini-Slot

Each subframe consists of an OFDM sub-carrier spacing dependent number of slots. Each slot consists of 14
OFDM symbols. The Slot is transmitted within a transmission time interval (TTI). Different numerologies lead to
different slot lengths, ranging from 1 ms at 15 kHz sub-carrier spacing to 0.125 ms at 120 kHz sub-carrier spacing,
enabling shorter TTIs. The slot is the basic transmission unit at which most physical channels and signals repeat;
however, slots can be complemented by mini-slot-based transmissions (referred to as Type B scheduling in NR) to
provide shorter and more agile transmission units than slots.
Slot and Mini-Slot

A mini-slot can start at any OFDM symbol and can have a variable length; mini-slot lengths of 2, 4, or 7 symbols
have been defined in the standard so far. This provides fast transmission opportunities, for example, URLLC
traffic that is not restricted by slot boundaries. Thus, mini-slots provide a viable solution to low-latency
transmissions irrespective of sub-carrier spacing. In the example of resource allocation shown on the slide, you
can see a Mini-slot of 4 OFDM symbols allocated to URLLC User Equipment : one symbol in red to carry the
PDCCH and 3 symbols (orange) for data traffic transmission.
1. URLLC for low latency

Mini-Slot application scenarios

2. eMBB in unlicensed band
– Short-latency scenario: reduces the
scheduling waiting latency and
transmission latency.
– Unlicensed frequency band: Data can
be transmitted immediately after listen
3. mmWave
before talk (LBT).
– mmWave scenario: TDM is applied for
different UEs in a slot.

Source: Huawei
Source: Qualcomm
Source: Qualcomm
Source: Qualcomm
Source: Qualcomm
Source: Keysight
LTE TDD frame
5G Static TDD

Source: Rodhe & Shwarz

5G Static TDD

Source: Rodhe & Shwarz

5G Static TDD

Source: Rodhe & Shwarz

5G Semi-Static TDD

Source: Rodhe & Shwarz

 UL/DL Slot/Frame Configuration: Cell-specific Semi-static Configuration
 Cell-specific RRC signaling parameters  Single-period configuration: DDDSU
– Parameter: SIB1
X: DL/UL assignment periodicity
– UL-DL-configuration-common: {X, x1, x2, y1, y2}
– UL-DL-configuration-common-Set2: {Y, x3, x4, y3, y4}
D D D D U
D D D D D U
D
– X/Y: assignment period
– {0.5, 0.625, 1, 1.25, 2, 2.5, 5, 10} ms y1: full UL slots
x1: full DL slots
– 0.625 ms is used only when the SCS is 120 kHz. 1.25 ms is used when
the SCS is 60 kHz or larger. 2.5 ms is used when the SCS is 30 kHz or y2: UL symbols
larger. x2: DL symbols
– A single period or two periods can be configured.
– x1/x3: number of downlink-only slots  Dual-period configuration: DDDSU DDSUU
– {0,1,…, number of slots in the assignment period}
– y1/y3: number of uplink-only slots X: DL/UL assignment periodicity Y: DL/UL assignment periodicity
– {0,1,…, number of slots in the assignment period}
– x2/x4: number of downlink symbols following downlink-only slots D D D D U
D D D D U
D U
D
– {0,1,…,13}
– y2/y4: number of uplink symbols followed by uplink-only slots x1 y1 x3 y3
– {0,1,…,13} y2 y4
x2 x4

Source: Huawei
5G Dynamic TDD

Source: Rodhe & Shwarz

UL/DL Slot Configuration: Dynamic Configuration Through SFI
 Slot Format Indicator (SFI) is transmitted over the group-common PDCCH.
– SFI is identified by indexes in the following tables (reference: Table 4.3.2-3 in 3GPP TS 38.211).

The slot type can be notified to the UE through SFI over the PDCCH to dynamically set the slot/frame
configuration.
Source: Nokia
Example

Source: Rodhe & Shwarz

Source: Rodhe & Shwarz
Source: Rodhe & Shwarz
Bandwidth Part
(BWP)
 Definition and characteristics
– The Bandwidth Part (BWP) is introduced in NR. It is a set of contiguous bandwidth resources configured by the gNodeB for UEs to
achieve flexible transmission bandwidth configuration on the gNodeB side and UE side. Each BWP corresponds to a specific numerology.
– BWP is specific to UEs (BWP configurations vary with UEs). UEs do not need to know the transmission bandwidth on the gNodeB side
but only needs to support the configured BWP bandwidth.

 Application scenarios
– Scenario#1: UEs with a small bandwidth access a large-bandwidth network.
– Scenario#2: UEs switch between small and large BWPs to save battery power.
– Scenario#3: The numerology is unique for each BWP and service-specific.
BWP 1

#1 #2
BWP

BWP 2
BWP Bandwidth

Carrier Bandwidth Carrier Bandwidth

#3
Numerology 1 Numerology 2
BWP1 BWP 2

Carrier Bandwidth

BWP is a set of contiguous bandwidth resources configured by the gNodeB for UEs. The application scenario examples are as follows: UEs supporting small
bandwidths, power saving, and support for FDM on services of different numerologies.
BWP Use Cases
Source: Rodhe & Shwarz
 BWP Types
– Initial BWP: configured in the initial access phase. Signals and channels are transmitted in the initial BWP during initial access.
– Dedicated BWP: configured for UEs in RRC_CONNECTED mode. A maximum of four dedicated BWPs can be configured for a UE.
– Active BWP: one of the dedicated BWPs activated by a UE in RRC_CONNECTED mode. According to Release 15, a UE in
RRC_CONNECTED mode can have only one active BWP at a given time.
– Default BWP: It is one of the dedicated BWPs and is indicated by RRC signaling. A fter the BWP inactivity timer expires, the UE
in RRC_CONNECTED mode switches to the default BWP.

Random Access Procedure RRC Connected Procedure

PDCCH indicating downlink assignment
Default
Default UE2 BWP inactivity
timer
UE1 UE2
UE1 UE2 Dedicated Dedicated UE2 switches to the default
BWPs BWPs BWP.
Active
Active
Switch
Initial BWP
default
Carrier Bandwidth
UE1 Active BWP UE2 Active BWP UE1 Active BWP UE2 Active BWP
Carrier Bandwidth Carrier Bandwidth
 BWP Adaptation
 BWP Adaptation  BWP Adaptation application scenarios
 UEs in RRC_CONNECTED mode switch between
dedicated BWPs (only one dedicated BWP can be – The BWP bandwidth changes: e.g. switching to the
activated at a given time). power saving state.
 BWP Adaptation is completed through switchovers and – BWP location movement in the frequency domain:
involves the following: e.g. to increase scheduling flexibility.
– DCI – The BWP numerology changes: e.g. to allow
 FDD: downlink: downlink DCI, uplink: uplink DCI different services.
 TDD: If the uplink or downlink DCI includes a
switchover indication, BWP switchovers are
performed in the uplink and downlink.  RF conversion time (defined in RAN4,
– Timer mechanism sub-6 GHz)
 If the BWP inactivity timer expires, UEs switch to
the default BWP (one of the dedicated BWPs).
 Timer granularity: 1 ms for sub-6 GHz, 0.5 ms for Relationship Intra-Band
mmWave Between Same Different Inter-Band
PDCCH indicating downlink assignment BWP1 and Center Center
UE BWP inactivity timer
BWP2 Frequency Frequency
The UE switches to the default Time ≤ 20µs 50–200 µs ≤ 900 µs
BWP.

In RRC connected mode, switching between BWPs is realized through DCI or timer mechanisms.
 Initial BWP Configuration
 Initial DL BWP definition and configuration
– Function: The PDSCH used to transmit RMSI, Msg2, and Msg4 must be
transmitted in the initial active DL BWP.
– Definition of the initial DL BWP: frequency-domain location and bandwidth of
RMSI CORESET (control channel resource set) and a numerology
corresponding to the RMSI
– The frequency-domain location and bandwidth of the RMSI CORESET are
indicated in the PBCH (MIB). The default bandwidth is {24,48,96} RBs.
Frequency
CORESET
PDSCH
SSB
 Initial UL BWP definition and configuration
– Function: The PUSCH used to transmit Msg3, PUCCH used to
transmit Msg4 HARQ feedback, and PRACH resources during
initial access must be transmitted in the initial active UL BWP.
– The initial DL BWP and initial UL BWP are separately configured.
– Numerology: same as that of Msg3 (configured in RMSI).
– Frequency-domain location:
– FDD (paired spectrum), SUL: configured in RMSI
– TDD (unpaired spectrum): same as the center frequency
band of the initial DL BWP
– Bandwidth
– Configured in RMSI and no default bandwidth option is

Initial DL BWP available.

Frequency offset
Time
The frequency offset in PRB level which is between RMSI CORESET
and SS/PBCH block is defined as the frequency difference from the
lowest PRB of RMSI to the lowest PRB of SS/PBCH block.
 Procedure for UEs to determine the initial BWP
UEs search for the SSB UEs demodulate the PBCH to obtain UEs receive the RMSI to obtain the
to obtain the frequency- the frequency offset and bandwidth frequency-domain location, bandwidth,
domain location of the information of the RMSI CORESET and and numerology information of the
SSB. determine the initial DL BWP. initial UL BWP.
 Dedicated BWP Configuration
 Dedicated BWP configuration
– Sent to UEs through RRC signaling
– FDD (paired spectrum): Up to four downlink
dedicated BWPs and four uplink dedicated
BWPs can be configured.
– TDD (unpaired spectrum): A total of four
uplink/downlink BWP pairs can be configured.
– SUL: 4 uplink dedicated BWPs
– The smallest unit is one PRB. The dedicated
BWP is equal to or smaller than the maximum
bandwidth supported by a UE.
– Each dedicated BWP can be configured with
the following attributes through RRC signaling:
– Numerology (SCS, CP type)
– Bandwidth (a group of contiguous PRBs)
– Frequency location (start location)
 UE Dedicated PRB Location
– Dedicated BWP locations of all UEs in a cell are based on the same
common reference point (Point A).
– UEs determine the start location of the dedicated BWP based on the
offset relative to Point A.
– Based on the dedicated BWP bandwidth, UEs obtain the end location of
the dedicated BWP.
– UEs obtain the frequency-domain location and size of the dedicated
BWP.
UE2 Offset
UE1 Offset
UE1 Active BWP UE2 Active BWP

– UEs can activate only one dedicated BWP at Point A Cell Carrier Bandwidth
a given time as the active BWP. • Offset: UEs can obtain the offset for each dedicated BWP from
RRC signaling.
After a UE accesses the network, the dedicated BWP is configured through RRC signaling. A maximum of four
dedicated BWPs can be configured.
 SSS
PSS
PSS = 0,1,2
SSS = 0 – 335 (Total 336)

PCI = 3*SSS + PSS

Start PCI = 3*0+0 = 0
Last PCI = 3*335+2 = 1007
PCI range = 0 – 1007 (Total 1008 PCI)
PSS/SSS: Time-domain and Frequency-domain Resources
 One or more beams are used to repeatedly receive synchronization signals and signals on the
broadcast channel. This contributes a lot in making NR different from LTE.
 To support beam scanning, the PSS/SSS and the PBCH in NR together form an SS/PBCH block
which occupies 4 consecutive symbols in the time domain and 20 RBs in the frequency domain.
Within an SS/PBCH block, the PBCH is mapped to symbols 1 and 3 and occupies some REs in
symbol 2, and the PSS and SSS are mapped to symbols 0 and 2, respectively.

PSS SSS

 Within an SS/PBCH block, the PSS/SSS and the PBCH use the same beam transmission mode.
PBC Note: v = Cell ID%4.
H This aims to stagger
DMRS pilot positions
to avoid interference.
SSB Starting symbol detection
Example
SS/PBCH: Transmission Mechanism

n = 0, 1, 2, 3, 5, 6, 7, 8, 10, 11,
12, 13, 15, 16, 17, 18
SS/PBCH Block: Maximum (Beam) Quantity L and Time Domain Pattern
 Maximum (beam) quantity L
– At most, 4 SS/PBCH blocks, 8 SS/PBCH blocks, and 64 SS/PBCH blocks can be defined for sub-3 GHz, sub-3 GHz to sub-6
GHz, and above-6 GHz, respectively.
– Each SS/PBCH block has a unique number (SSB index). For low frequencies, this number is directly obtained from the PBCH
pilot. For high frequencies, the 3 least significant bits and the 3 most significant bits of this number are obtained from the PBCH
pilot and the MIB, respectively.
– When the actual number of beams transmitted in a cell is less than the maximum number of SS/PBCH blocks specified by 3GPP,
SIB1 or RRC signaling can be used to indicate which positions in the radio frame are not occupied by SS/PBCH blocks and can
be used for PDSCH data transmission.
– SS/PBCH block broadcast period is sent to UEs through SIB1 and can be 5 ms, 10 ms, 20 ms, 40 ms, 80 ms, or 160 ms.
 SS/PBCH pattern and position within the slot
Subcarrier First Slot Second Slot Third Slot Fourth Slot
Spacing
15 kHz
30 kHz

120 kHz
240 kHz

When a 30 kHz subcarrier spacing is used, CASE C is primary.

3GPP has defined the SS/PBCH block position in the time domain. The maximum number of SS/PBCH blocks and
the time-domain pattern varies with the subcarrier spacing.
SS/PBCH Subcarrier Spacing
 The PBCH and the PSS/SSS use the same subcarrier spacing. Each frequency band has a defined subcarrier spacing by default.
NR Operating Band SS Block SCS SS Block Pattern
n1 15 kHz Case A NR Operating SS Block SCS SS Block Pattern1
n2 15 kHz Case A Band
n3 15 kHz Case A 120 kHz Case D
15 kHz Case A n257
800 MHz n5 240 kHz Case E
30 kHz Case B 120 kHz Case D
n7 15 kHz Case A n258
240 kHz Case E
n8 15 kHz Case A 120 kHz Case D
n20 15 kHz Case A n260
240 kHz Case E
n28 15 kHz Case A
n38 15 kHz Case A Note: If a frequency band supports two subcarrier
2.6 GHz n41 15 kHz Case A
spacings, the UE needs to alternate blind detection
30 kHz Case C
n50 15 kHz Case A between the two subcarrier spacings.
n51 15 kHz Case A
15 kHz Case A
n66
30 kHz Case B
n70 15 kHz Case A
n71 15 kHz Case A
n74 15 kHz Case A
n75 15 kHz Case A
n76 15 kHz Case A
n77 30 kHz Case C  The 30 KHz subcarrier spacing
3.5 GHz n78 30 kHz Case C is used for the C-band.
n79 30 kHz Case C

The PBCH and the PSS/SSS use the same subcarrier spacing, with a default one specified by RAN4 for each
frequency band. 30 kHz is used by default for the C-band.
DMRS for PBCH
Each RB contains 3 REs for DMRS pilot transmission on the PBCH. To avoid inter-cell PBCH DMRS interference,
PBCH DMRSs are staggered in the frequency domain on a Physical cell ID basis.

PCImod4 = 0 PCImod4 = 1 PCImod4= 2 PCImod4= 3

PBCH DMRS
 PDCCH
 Main functions
Transmits the downlink control information from Layer 1/Layer 2, including:
– Downlink scheduling information (DL assignments) for the UE to receive PDSCH data
– Uplink scheduling information (UL grants) for the UE to send PUSCH data
– Slot Format Indicator (SFI), Pre-emption Indicator (PI), and power control commands to assist the UE in receiving and sending data

 Features
– Downlink Control Information (DCI) is transmitted on the PDCCH. Different RNTIs are used by DCIs with different contents for CRC
scrambling.
– UEs perform PDCCH demodulation through blind detection.
– A cell can simultaneously schedule multiple UEs in the uplink and downlink. To be specific, it can send multiple scheduling
information pieces in each timeslot. Each scheduling information piece is transmitted on an independent PDCCH. This means that a
cell can simultaneously set up multiple PDCCHs in one timeslot.

The PDCCH is used to transmit the downlink control information from Layer 1/Layer 2. DCIs with different
contents are scrambled by using different RNTIs.
PDCCH: Differences Between NR and LTE
 Major differences
– NR has only one downlink control channel (PDCCH) while LTE has the PCFICH and the PHICH.
– The PCFICH (indicates the number of PDCCH symbols in LTE) is no longer used. In NR, the number of PDCCH symbols
in the time domain is notified to the UE through higher layer signaling and DCI.
– The PHICH (transmits the ACK/NACK messages on the PUSCH in LTE) is no longer used. In NR, the ACK/NACK
messages on the PUSCH are directly carried on the PDCCH and notified to the UE.
– NR supports resource sharing between the PDCCH and the PDSCH through FDM.
– Available PDCCH symbol resources can be used by the PDSCH, improving resource usage.
– On the PDCCH, BF transmission is supported to enhance control channel coverage.

Compared with LTE, NR simplifies the control channel and allows the PDCCH and the PDSCH to share resources through FDM.
PDCCH: Time-Frequency Resource Configuration
 Control Channel Element (CCE)
Aggregation Level Number of CCEs
– The CCE is the minimum resource unit for PDCCH transmission. One CCE contains six 1 1
REGs, with each REG corresponding an RB. 2 2
– The aggregation level indicates the number of consecutive CCEs occupied by a PDCCH. 4 4
3GPP Release 15 supports CCE aggregation level {1, 2, 4, 8, 16}. The gNodeB determines 8 8
the aggregation level used by a PDCCH based on factors such as the channel quality. 16 16
 Control-resource set (CORESET)
– The CORESET indicates the number of symbols and RBs occupied by a PDCCH. A
CORESET RBs in the
CORESET consists of {1, 2, 3} symbols in the time domain and 𝑁RB
RE
frequency domain. The specific number of symbols and RBs are configured by higher layer
parameters.
– The REG in the CORESET is numbered from 0 according to the time domain priority. The CORESET 2

REG in the first OFDM symbol with the smallest RB number is numbered 0. Search space 2 DMRS
REG
 Search space
– The UE listens to the PDCCH candidates set in the non-DRX timeslot, and the set is CCE
referred to as the search space of the UE. The PDCCH search space on which the UE CORESET 1
performs blind detection is associated with a specific CORESET to indicate the period and Search space 1
resource information of the CORESET.
 PDCCH Type
 PDCCHs fall into 3 types according to the application scenarios and functions.
– Common PDCCH: Used for transmitting common messages (such as system and paging messages) and
scheduling data (Msg2/Msg4) before RRC connection to the UE is established.
– Group Common PDCCH: Used for scheduling the SFI (slot format) and the PI (resource pre-emption) for a UE
group.
– UE-specific PDCCH: Used for scheduling the UE-level data and power control information.

PDCCHs fall into: Common PDCCH, Group Common PDCCH, and UE-specific PDCCH.
PDCCH: DCI Format
 Contents transmitted on the PDCCH: DCI
 DCI format: 8 formats of 3 types according to the carried contents and functions (See section 7.3.1 in 3GPP TS 38.212 for detailed DCI format
descriptions. The number of bits has not been determined yet and is subject to protocol updates .)

Category DCI Format Description Content

Fallback DCI. Indicates PUSCH scheduling and is used upon waveform Resource assignment, frequency hopping flag, MCS, HARQ process
Format 0_0
change or status change. number, TPC command
DCI formats for Carrier/BWP indicator, resource assignment, frequency hopping flag,
scheduling of PUSCH MCS, HARQ process number, SRS resource indicator, precoding
Format 0_1 Indicates PUSCH scheduling.
information, antenna port, SRI/CSI request, CBG transmission
information, TPC command, waveform indicator
Fallback DCI. Indicates PDSCH scheduling and is used upon public
Resource assignment, MCS, HARQ process number, TPC command,
Format 1_0 message scheduling (such as paging and RMSI scheduling) and status
PUCCH resource indicator
change (such as BWP switch).
DCI formats for
scheduling of PDSCH Carrier/BWP indicator, resource assignment, MCS, HARQ process
Format 1_1 Indicates PDSCH scheduling. number, TPC command, CSI-RS trigger, PUCCH resource indicator,
precoding information, antenna port, CBG transmission information

Format 2_0 Indicates the SFI (slot format). SFI

Notifies the PRBs and the OFDM symbols where a UE may assume no
transmission is intended for the UE.
DCI formats for other Format 2_1 PI
Indicates which PRBs and OFDM symbols to which UE data is not
purposes mapped.
Format 2_2 Indicates power control commands for PUSCH and PUCCH. PUCCH and PUSCH TPC command
Format 2_3 Indicates power control commands for SRS transmission. SRS TPC command

DCI: 3 types and 8 formats based on the contents carried

PDCCH: DCI Format Identification
 RNTIs used by DCIs and corresponding DCI contents

Category DCI Format RNTI and DCI Content

C-RNTI: PUSCH scheduling
Format 0_0
DCI formats for TC-RNTI: Msg3 scheduling during random access
scheduling of PUSCH
Format 0_1 C-RNTI: PUSCH scheduling

C-RNTI: PDSCH scheduling

P-RNTI: Page message scheduling
DCI formats for Format 1_0 SI-RNTI: SI scheduling
RA-RNTI: RAR scheduling during random access
scheduling of PDSCH TC-RNTI: Msg4 scheduling during random access

Format 1_1 C-RNTI: PDSCH scheduling

Format 2_0 SFI-RNTI: Slot format

Format 2_1 INT-RNTI: Pre-emption resource
DCI formats for other
purposes TPC-PUSCH-RNTI: PUSCH TPC command
Format 2_2
TPC-PUCCH-RNTI: PUCCH TPC command
Format 2_3 TPC-SRS-RNTI: SRS TPC command

PDCCHs containing different contents are scrambled by using different RNTIs.

 DMRS for PDCCH
 Main functions
– The PDCCH and its DMRSs support only single-port
transmission.
– The DMRS scrambling code ID can be configured at the UE level
(by using higher layer signaling) or configured at the cell level
(default).
– Each REG has three DMRS REs whose frequency-domain
positions are fixed.

REG DMRS

 RE resource mapping CCE PRB

DMRS
– Each REG has three DMRS REs, which are located on subcarriers #1,
#5, and #9.

DMRS

The DMRS for PDCCH supports single-port transmission. The scrambling code ID can be configured at the
UE or cell level.
PT-RS for PDSCH: Background
Phase rotation of demodulation constellation diagram
 PT-RS: Phase-tracking reference signal
This is a reference signal newly introduced in NR, which is used to trace the
changes of phase noise and is mainly used in high frequency bands.
 Phase noise
– Generation: A random change of the phase of the system output signal caused by
the noise (random white noise, flicker noise) of the radio-frequency components.
– Impact: The SNR or EVM in the receive segment deteriorates, causing a large
number of bit errors. As a result, the use of high-order constellation modulation is
restricted and the system capacity is severely affected.
– Frequency band difference: There is little impact on the sub-6 GHz band. In the
above-6 GHz frequency band, the phase noise response greatly increases due to the
20 dB
increase of frequency multiplication times of the reference clock and the technical deterioration

PSD: dBC/Hz
manufacturing and power consumption of the component.
 Solutions
– The PT-RS and the phase estimation compensation algorithm are introduced.
– Increase the subcarrier spacing to reduce the ICI and ISI caused by phase noise.
– Improve the quality of the local oscillator to reduce the phase noise. Frequency (Unit: MHz)
The phase noise causes the demodulation constellation diagram to rotate, limits the use of high-order
constellation modulation, and has even greater impacts in high-frequency band scenarios.
CSI-RS: Main Functions
 The main functions and types of the CSI-RS are as follows:

Function Description

Used for channel state information (CSI) measurement. The UE reports the
CSI obtaining
following contents: CQI, PMI, rank indicator (RI), and layer indicator (LI).

Used for beam measurement. The UE reports the following contents: L1-RSRP
Beam management
and CSI-RS resource indicator (CRI).
Time-frequency offset
Used for precise time-frequency offset tracing.
tracing
Used for RRM/RLM. The UE reports the following contents: CSI-RSRP, CSI-
RRM/RLM
RSRQ, and CSI-SINR.

CSI-RS functions in NR: channel quality measurement, beam management, time-frequency offset
tracing, and RRM/RLM
PUCCH: Overview
 Main functions
– Transmits L1/L2 uplink control information (UCI)
for downlink and uplink data.
– The L1/L2 UCI includes:
– Scheduling request (SR): Used for UL-SCH resource
requests.
– HARQ ACK/NACK: Used for HARQ feedback of data
transmitted on the PDSCH.
– CSI: Including CQI, PMI, RI, LI, and CRI.
– Compared with downlink control information
(DCI), UCI has the following features:
– UCI carries a small amount of information (only
these unknown to the gNodeB).
– The DCI can be transmitted only in the PDCCH, and
the UCI can be transmitted in the PUCCH or the
PUSCH.
Compared with LTE, NR adds the short PUCCH for fast feedback in short delay scenario.
 Features
– Compared with LTE, the short PUCCH (1 to 2 symbols) is
added in NR, which can be used for quick feedback in the
short delay scenario (self-contained transmission).
– The number of long PUCCH symbols is enhanced (4 to 14
symbols) to support PUCCH transmission in different slot
formats.
– In 3GPP Release 15, the concurrency of the PUCCH and
PUSCH of the same user is not supported. For example, if the
UCI and the UL data coexist, UCI is transmitted on the PUSCH
(the UCI is associated with the channel).
– The uplink HARQ supports asynchronous adaptation, and the
ACK/NACK transmission time can be flexibly determined by
the scheduler.
PUCCH: Basic Format

Short PUCCH duration, 1/2 symbols Long duration PUCCH, 4–14 symbols
1 slot
1 symbol 2 symbols
RS PUCCH RS

PUCCH
PDSCH PDSCH PUSCH
 SRS
SRS refers to uplink sounding signal. In this version, a UE
sends an SRS within the activated bandwidth part (BWP).
The gNodeB receives and processes the SRS, and
measures the signal to interference plus noise ratio
(SINR), reference signal received power (RSRP), and
PMI of the SRS.
5G Air Interface Protocol Stack
5G Air Interface Protocol Stack
Physical Layer
Massive MIMO and Beamforming
Evolution from MIMO to Massive MIMO
4 Layers

2 Layers 16+ Layers

Massive MIMO
Downlink Beamforming - Beamforming Implementation
 Beamforming relies on the interference principles. The arcs indicate carrier signal peaks. When two wave peaks intersect, the
signal strength increases. When a wave peak intersects with a wave bottom, the signal strength decreases.
 When beamforming is not used, the beam shape and lobe positions are fixed. When a UE resides between two beams at
the cell edge, the signals are weak.
 When beamforming is enabled, gNodeBs impose weighting on and adjust the transmit power and phase of signals to be
transmitted through each antenna element. This way, the beam shape changes and the main lobe is directed at target
UEs, improving the signal strength.
 A beam generated using SRS- or PMI-based weighting is referred to as a dynamic beam. Control channels and broadcast
channels use predefined weighting values to generate discrete static beams.
 Downlink Beamforming - Weight Calculation
 Weight calculation: The gNodeBs calculate a weight vector based
on downlink channel characteristics to adjust the shape and
directionality of beams.
 Classification: Weight calculation is classified into control channel
(SSB/PDCCH/CSIRS) DFT static weight calculation and PDSCH
dynamic weight calculation.
 Calculation of the static weight of the control channel DFT:
Predefined and static invariant weights are obtained from the
weight file.
 There are two methods for calculating the PDSCH dynamic
weight:
 SRS: Based on channel reciprocity, gNodeBs estimate
the downlink channel characteristics using SRSs received
from the UEs to obtain weighting values. This method is
suitable for UEs in or near the cell center.
 PMI: gNodeBs select an optimal weighting value based
on PMIs received from the UEs. This method is suitable
for UEs at the cell edge.
Data Flow Processing
Codewords Layers Antenna ports
Modulation Resource Element OFDM signal
Scrambling
mapper Precoding & mapper generation
Layer
Antenna Port
mapper
Modulation mapper Resource Element OFDM signal
Scrambling
mapper mapper generation

Layer mapping: A mapping relationship that is

Codeword: Corresponds to transport The function of precoding is to convert an antenna
established between the encoded data stream and the
block, that is, the original data block to domain into a beam domain for processing (by using
spatial multiplexing data stream layer through a layer
be transmitted at the physical layer. known spatial channel information, that is, weighting).
mapping process. Maximum number of spatial
5G can transmit two independent
multiplexing layers ≤ Min (Number of TX antennas,
codewords at the same time.
Number of RX antennas)

Number of Codewords Number of Layers Mapping

1 1~4 Codeword 1: layer 1-4
2 5 Codeword 1: layer 1-2
Codeword 2: layer 3-5
2 6 Codeword 1: layer 1-3
Codeword 2: layer 4-6
2 7 Codeword 1: layer 1-3
Codeword 2: layer 4-7
2 8 Codeword 1: layer 1-4
Codeword 2: layer 5-8
 Uplink Receive Diversity
 Concept: Uplink receive diversity enables gNodeBs to enhance reception by taking advantage of space diversity (diversity
gains) and coherent reception (array gains) to receive UE signals over multiple antennas.

 Procedure:
 A gNodeB receives SRSs from a UE over multiple antennas, estimates the uplink channel characteristics, and then sends
downlink control information (DCI) to the UE, notifying the UE of the optimal PMI/rank value.

 The UE uses that PMI value to precode physical uplink shared channel (PUSCH) data and transmits it to the gNodeB.

 The gNodeB uses multiple antennas to receive the PUSCH data, improving the signal-to-noise ratio (SNR) and stability of
received signals, and increasing uplink user throughput.

Diversity gains: SNR becomes more Array gains: Coherent reception

stable after combination. improves the SNR.
Network Impact of Massive MIMO
• Benefits:
– Improved cell coverage.
• Downlink Adaptive Selection Between PMI and SRS increases coverage performance by 1 dB and the downlink
throughput of cell edge UEs by 5%.
– Improved customer experience.
• Downlink: When the signal-to-noise ratio (SNR) is satisfactory (MCS index of 27 with 256QAM), the spatial
channels are independent of each other, and the number of receive antennas is greater than or equal to 8, the UE
supports simultaneous data transmission of 8 layers in the downlink. In this case, the single UE downlink peak rate
is theoretically 8 times that of the single-layer downlink peak rate.
• Uplink: When the SNR is satisfactory (MCS index of 28 with 64QAM), the spatial channels are independent of each
other, and the number of receive antennas is greater than or equal to 4, the UE supports simultaneous data
transmission of 4 layers in the uplink. In this case, the single UE uplink peak rate is theoretically 4 times that of the
single-layer uplink peak rate.
– The system capacity is increased.
• Improved system capacity: The more number of layers, the higher the gains. Assume that N layers are used for
spatial multiplexing of full-buffer services. In this case, the cell throughput increases to N x 100% theoretically.
Source: Comba
5G Massive MIMO
3D Beamforming / FD-MIMO