Massive MIMO - Beamforming

Prepared by: Aghil Manafi

 𝝀 ( Wavelength ) & Antenna Size

[Add disclaimer text in slide master mode]

Why we have different Antenna size for different BWs ?

At first we should know about 𝜆 ( Wavelength )

𝜆= C/f
𝑐 = 3 ∗ 108 ( 300,000,000 𝑚/𝑠 )
𝑓 = 900Mhz ( 900,000,000 Hz )

𝜆= 0.33 m or 33cm
𝐴𝑛𝑡 𝑠𝑖𝑧𝑒 = 𝜆/2 or 𝜆/4

[Add disclaimer text in slide master mode]

 𝐴𝑛𝑡 𝑠𝑖𝑧𝑒 = 𝜆/2 or 𝜆/4

𝑖𝑓 𝜆/2 → Ant size = 4.3 cm

𝑖𝑓 𝜆/4 → Ant size = 2.15 cm

[Add disclaimer text in slide master mode]

 5

[Add disclaimer text in slide master mode]

(a) Multiband antenna with physically separated arrays Low band to high band 1:4 antenna array configuration.

(b) multiband antenna with interspersed arrays.

6

[Add disclaimer text in slide master mode]

 𝑷𝒐𝒍𝒂𝒓𝒊𝒛𝒂𝒕𝒊𝒐𝒏 & 𝑨𝒏𝒕𝒆𝒏𝒏𝒂 𝑷𝒂𝒕𝒕𝒆𝒓𝒏

[Add disclaimer text in slide master mode]

 8

[Add disclaimer text in slide master mode]

 More Antenna elements can give us a narrow beam

[Add disclaimer text in slide master mode]

 10

[Add disclaimer text in slide master mode]

 Doubling of antenna elements, give us 3 dB more gain

11

[Add disclaimer text in slide master mode]

 The antenna element spacing also plays an important role in determining the pattern’s shape and gain.

12

[Add disclaimer text in slide master mode]

 Antenna elements arrangement vs shaped pattern

13

[Add disclaimer text in slide master mode]

 14

[Add disclaimer text in slide master mode]

There are also 3 types of beamforming:

Digital beamforming (meaning that beam weights are processed in baseband).

Analog beamforming (meaning that weights are processed in the analog/RF domain and cannot be changed with different weights per RB or
RE for the same antenna port like in the digital domain).

Hybrid beamforming (a mix of both analog and digital).

Most AAUs (Active Antenna Units) are a mix of digital and analog beamforming more exactly a hybrid beamforming solution.

15

[Add disclaimer text in slide master mode]

 𝑷𝒉𝒂𝒔𝒆 & 𝑺𝒕𝒆𝒆𝒓𝒊𝒏𝒈

16

[Add disclaimer text in slide master mode]

Phase shift effect
By controlling the RF signal phases and amplitudes feeding AEs, it is possible to dynamically shape the array factor and the
overall radiated pattern. This is the first step in building a beam former.

17

[Add disclaimer text in slide master mode]

 18

[Add disclaimer text in slide master mode]

 𝑨𝒏𝒕𝒆𝒏𝒏𝒂 𝑨𝒓𝒓𝒂𝒚
or
𝑨𝑵𝑻 𝑨𝒓𝒓𝒂𝒏𝒈𝒆𝒎𝒆𝒏𝒕 𝑻𝒐 𝑪𝒓𝒆𝒂𝒕𝒆 𝑳𝒂𝒚𝒆𝒓

19

[Add disclaimer text in slide master mode]

 Massive MIMO

Massive MIMO is the extension of traditional MIMO technology to antenna arrays having large number of
controllable transmitters. 3GPP defines massive MIMO as more than eight transmitters. Beams can be
formed in the number of different ways to deliver either a fixed grid of beams or user equipment (UE)-
specific beamforming.

If the antenna has two transceivers (TRX) branches, it can send two parallel streams
to one UE.

If the antenna has four TRXs, it can send four streams to one UE having four antennas, or dual-stream to
two UEs simultaneously with Multi-user Multiple Input Multiple Output (MU-MIMO).

If the antenna has 64 TRXs, it can send data to multiple UEs in parallel. The number of TRXs is an important
design factor in massive MIMO antennas

20

[Add disclaimer text in slide master mode]

 21

[Add disclaimer text in slide master mode]

Logical antenna elements refer to the grouping of physical antenna elements.
One transceiver is needed for each logical antenna.

ANT Elements

TRX 1 (+45° ) TRX 1 (+45° ) TRX 1 (+45° )

TRX 2 (-45° ) TRX 2 (-45° ) TRX 2 (-45° )

No.Antenna elemets >= No.TRXs

22

[Add disclaimer text in slide master mode]

ANT arrangement to create layer

The number of beams is limited by the number of physical and logical antenna elements.

This slide illustrates the mapping between physical antenna elements and logical antenna elements.

The notation ( A * B * C ) refers to the antenna with A vertical element, B horizontal elements, and C polarizations.

For example, the physical array on the left has 128 physical antenna elements: 8 columns, 8 rows, and two polarization.
In the case of 16 TXRU, all physical antenna elements in the same column in the same polarization are combined together
which makes a total of 8 logical antenna elements in the horizontal domain in both polarization.
This antenna can create 8 horizontal beams in both polarizations but no vertical beam.

The example on the right shows **32 physical antenna elements: **2 columns, 8 rows and two polarization. In case of 16 TXRU
, all physical antenna elements in the same column in the same polarization are combined together which makes totally 2
logical antenna elements in the horizontal domain in both polarization and 4 logical antenna elements in the vertical domain in
both polarization. This antenna can create 2 horizontal beams in both polarizations and 8 vertical beamforming in both
polarizations.

23

[Add disclaimer text in slide master mode]

 24

[Add disclaimer text in slide master mode]

 Single Panel Antenna
vs
Multi Panel Antenna

25

[Add disclaimer text in slide master mode]

 you would notice that there are multiple options of array structure for the same number of antenna elements

Why they propose multiple options ?

what is the difference between different options.?

For example, what would be the difference between 4x1 array and 2x2 array
26 with 8 CSI port ?

[Add disclaimer text in slide master mode]

 Doubling of antenna elements, give us 3 dB more gain

27

[Add disclaimer text in slide master mode]

 gNodeB Maximum Number of Layers

64T64R 16

32T32R 16

8T8R 4

Notice: We can have a maximum of 16 layers in massive MIMO

28

[Add disclaimer text in slide master mode]

 29

[Add disclaimer text in slide master mode]

HUAWEI AAU5639
 HUAWEI AAU5639

30

[Add disclaimer text in slide master mode]

 Huawei AAU5639

1*RF Modul = (1,3,2) Elements = 3*AU

4Row * 8group= 32 group
32*2TRX=64TRX

31

[Add disclaimer text in slide master mode]

 𝑨𝒏𝒕𝒆𝒏𝒏𝒂 𝑷𝒐𝒓𝒕𝒔

32

[Add disclaimer text in slide master mode]

 5G NR Antenna Ports – Logical and Physical Antenna Ports

same reason, the concept of antenna port is used in the 5G NR and it follows the same principles as in 4G LTE.
The term “antenna port” is a logical concept related to the physical layer (L1) and not the physical one like the RF
antenna which is visible on the tower.

In 5G NR or 4G LTE, Multiple Input-Multiple Output (MIMO) transmission is a key technology specifically in the
downlink. Signals transmitted from gNB/eNB via different antennas or signals subjected to different and for the
receiver unknown, multiple antenna precoding will experience different radio channels even if the MIMO antennas
are located at the same site.

In general, it is very critical for a UE to consider the certain assumption in terms of the relationship between the
radio channels experienced by different downlink transmissions e.g. UE needs to understand what reference
signal(s) should be used for channel estimation for certain downlink transmission and determine relevant channel-
state information required for scheduling and link-adaptation purposes.
33

[Add disclaimer text in slide master mode]

In practical, each antenna port, at least for the downlink transmission can be stated as corresponding to a specific
reference signal. The UE receiver can assume that this reference signal can be used to estimate the channel
corresponding to specific antenna port. The reference signals can also be used by the UE to derive channel-state
information related to the antenna port. The set of antenna ports defined in 3gpp specification 38.211 for 5G NR is
listed below:

•Downlink
• PDSCH (Downlink Shared Channel): Antenna Port Starting from 1000 (1000 Series)
• PDCCH (Control Channel): Antenna Port Starting from 2000 (2000 Series)
• CSI-RS (Channel State Information): Antenna Port starting from 3000 (3000 Series)
• SS-Block/PBCH (Broadcast Channel): Antenna Port Starting from 4000 (4000 Series)
•Uplink
• PUSCH/DMRS (Uplink Shared Channel): Antenna Port Starting from 1000 (0 Series)
• SRS, preceded PUSCH: Antenna Port Starting from 1000 (1000 Series)
• PUCCH (Uplink Control Channel): Antenna Port Starting from 2000 (2000 Series)
• PRACH (Random Access): Antenna Port Starting from 4000 (4000 Series)
34

[Add disclaimer text in slide master mode]

 35

[Add disclaimer text in slide master mode]

 36

[Add disclaimer text in slide master mode]

Mapping between antenna port and physical antenna can be:
•One to One
•One to Many

One-to-one mapping is useful when operating in lower frequency bands that do not require beam-forming (
beam-forming requires multiple physical antenna elements). While one-to-many mapping is useful for beam-
forming in higher frequency bands.

37

[Add disclaimer text in slide master mode]

 𝑪𝒐𝒅𝒆𝒘𝒐𝒓𝒅

38

[Add disclaimer text in slide master mode]

The output of a coding chain is a codeword. 5G supports transmission of up to 8 layers to a single user on the downlink.
This means that there can be up to eight streams transmitted in parallel.

39

[Add disclaimer text in slide master mode]

 40

[Add disclaimer text in slide master mode]

https://www.sharetechnote.com/html/5G/5G_PDSCH.html
 41

[Add disclaimer text in slide master mode]

 𝑹𝒂𝒏𝒌

42

[Add disclaimer text in slide master mode]

 What is Rank Indicator in 5G?

Rank Indicator (RI) is a special type of UE measurement that is reported by the UE to request a specific number
of MIMO layers. RI is included in the CSI feedback sent from UE side towards the 5G BTS with other information
such as CQI and PMI.

For example, if UE reported RI=1 (RANK1), so that means only one stream of data will be assigned to the UE,
while if UE reported RI=2 (RANK2), so two streams of data will be sent to the UE (2x2 MIMO), RI=4 means 4x4
MIMO .

In the other word :

The RI defines the number of possible transmission layers for the downlink transmission under specific channel
conditions. It is also termed as the maximum number of uncorrelated paths that can be used for the downlink
transmission. Other CSI parameters like the PMI and CQI are computed based on the rank provided by the RI.
with the maximum total SINR as rank.

43

[Add disclaimer text in slide master mode]

 ⚫ This function uses multi-antenna technologies to enable downlink multi-layer
data transmission for a single UE. The maximum number of downlink layers for
a single UE is determined by the smaller number of gNodeB transmit antennas
and UE receive antennas.
 As shown in the following figure, a 2T4R UE supports data transmission over a
maximum of four layers in the downlink in the case of a 64T64R gNodeB.

44

[Add disclaimer text in slide master mode]

 45

[Add disclaimer text in slide master mode]

 46

[Add disclaimer text in slide master mode]

 𝑷𝒓𝒆𝒄𝒐𝒅𝒊𝒏𝒈 𝑴𝒂𝒕𝒓𝒊𝒙

47

[Add disclaimer text in slide master mode]

 Precoding vs Beamforming

Precoding involves preprocessing of the transmit signal in an RF system.

Precoding and Beamforming are used together in WiFi, 4G, and 5G systems, and the words are sometimes used
interchangeably, but they are not identical. The word precoding refers more to a software implementation of
communication theory, and beamforming refers more to the hardware implementation and the antennas in the system.
And precoding generally refers to the transmitter side, while beamforming can be applied to both transmitters and
receivers.

Precoding involves the individual control of the amplitudes and phases of the signals sent from the various transmit
antennas. When precoding is implemented together with beamforming, it can better focus energy towards the intended
receiver. Various aspects of beamforming and second-generation beamforming will be addressed in subsequent articles.

Precoding assumes that channel state information (CSI) is known at the transmitter. Precoding starts with channel
sounding that involves sending a coded message (called a sounding packet or a pilot signal) to the receiver. Each of the
users sends back their individual CSIs to the transmitter. The users’ CSIs are used to set the precoding (spatial mapping)
matrix for subsequent data transmission.

48

[Add disclaimer text in slide master mode]

 PMI Selection

The PMI is a set of indices corresponding to a precoding matrix and gNB can apply this precoding matrix for the downlink
data transmission. The hDLPMISelect selects a codebook from a set of possible codebooks, Type 1 Single Panel or Type 2
Multi Panel, based on the codebook type, the possible number of transmission layers for the downlink transmission, and
CSI reporting configuration parameters such as antenna panel dimensions, and the codebook mode.

Each codebook consists of a set of precoding matrices. For given channel conditions, the function computes SINR at the
receiver side by considering all precoding matrices from the selected codebook. The function reports PMI as the set of
indices (constituting the two indices set i1,i2) corresponding to a precoding matrix, which gives the maximum SINR.

49

[Add disclaimer text in slide master mode]

 Precoding Matrix Indicator (PMI)
PMI provides information about the preferred Precoding Matrix Just like RI, also PMI is relevant to
MIMO operation only MIMO operation with PMI feedback is called Closed Loop MIMO

50

[Add disclaimer text in slide master mode]

https://www.sharetechnote.com/html/Handbook_LTE_CSI.bak#Important_Tables_TM_CodeBook
 51

[Add disclaimer text in slide master mode]

 Data Flow Processing

Codewords Layers Antenna ports

Modulation Resource Element OFDM signal

Scrambling
mapper Precoding & mapper generation
Layer
Antenna Port
mapper
Modulation mapper
Scrambling Resource Element OFDM signal
mapper mapper generation

Codeword: Corresponds to transport Layer mapping: A mapping relationship that is established

The function of precoding is to convert an antenna domain
block, that is, the original data block to between the encoded data stream and the spatial
into a beam domain for processing (by using known spatial
be transmitted at the physical layer. 5G multiplexing data stream layer through a layer mapping channel information, that is, weighting).
can transmit two independent process. Maximum number of spatial multiplexing layers ≤
codewords at the same time. Min (Number of TX antennas, 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
52

[Add disclaimer text in slide master mode]

 53

[Add disclaimer text in slide master mode]

 CQI Report vs UE Throughput

1*Sub Frame = 1ms

Slot = 0.5ms ( 7*RE ) Slot = 0.5ms ( 7*RE )
1 RE RE RE RE RE RE RE
∀ 1Mhz --> 5*PRB in 1 ms , So 20 Mhz --> 100 PRB in
2 RE RE RE RE RE RE RE

3 RE RE RE RE RE RE RE 12*7*2=168 RE in PRB
168*100=33800 RE --> every 1ms
4 RE RE RE RE RE RE RE
33800*10=338000 RE in one frame (10ms ) and 33800000 RE in 1s
5 RE RE RE RE RE RE RE

12*Sub Carrier 15Khz 6 RE RE RE RE RE RE RE

180Khz Basd on CQI , MCS will be selected QPSK , 16QAM , 64QAM
7 RE RE RE RE RE RE RE

8 RE RE RE RE RE RE RE
2 ∶ 33800000 ∗ 2 = 67600000 𝑏𝑖𝑡 𝑜𝑟 67.6 𝑀𝐵
9 RE RE RE RE RE RE RE ቐ4 ∶ 33800000 ∗ 4 = 135200000 𝑏𝑖𝑡 𝑜𝑟 135.2𝑀𝐵
10 RE RE RE RE RE RE RE 6 ∶ 33800000 ∗ 6 = 202800000 𝑏𝑖𝑡 𝑜𝑟 202.8𝑀𝐵
11 RE RE RE RE RE RE RE

12 RE RE RE RE RE RE RE

RB RB
PRB

54

[Add disclaimer text in slide master mode]

 𝑺𝑺𝑩
Synchronization Signal Block

55

[Add disclaimer text in slide master mode]

 56

[Add disclaimer text in slide master mode]

 List of 4x4 MIMO Supported Phones :
- Apple's iPhone XS and XS Max
- Apple's iPhone 12 & 13 series
- Samsung's Galaxy S9 and S9+
- Google Pixel 3 and 3 XL

57

[Add disclaimer text in slide master mode]

 Synchronization Signal Block

SS Block(SSB) stands for Synchronization Signal Block and in reality, it refers to Synchronization/PBCH block
because the Synchronization signal and PBCH channel are packed as a single block that always moves together
every 5ms. The components of this block are as follows :

•Synchronization Signal: PSS (Primary Synchronization Signal), SSS (Secondary Synchronization Signal)
•PBCH : PBCH DMRS and PBCH (Data)

The parameter defining the maximum number of SSBs within an SSB set is called Lmax.

In sub 6 GHz, Lmax is 4 or 8 and in mmWave Lmax is 64.

In other words, in sub6 GHz, max 4 or 8 different beams can be used and they sweep in one dimension
(horizontal only or vertical only). in mmWave, a maximum of 64 different beams can be used and they can
sweep in two dimensions (horizontal and vertical directions).

58

[Add disclaimer text in slide master mode]

 59

[Add disclaimer text in slide master mode]

 LTE SS Block vs NR SS Block

60

[Add disclaimer text in slide master mode]

 LTE SS Block vs NR SS Block

(In LTE, we didn't use the term 'SS Block', but LTE also use PSS/SSS and PBCH which can be called as SS Block)
61

[Add disclaimer text in slide master mode]

 62

[Add disclaimer text in slide master mode]

 63

[Add disclaimer text in slide master mode]

 64

[Add disclaimer text in slide master mode] https://www.sharetechnote.com/html/5G/5G_SS_Block.html

 65

[Add disclaimer text in slide master mode]

 𝑪𝑺𝑰 , DMRS , 𝑺𝑹𝑺 , 𝑷𝑴𝑰

66

[Add disclaimer text in slide master mode]

 CSI-RS

Channel State Information Reference Signal (CSI-RS)

As a DL-only signal, the CSI-RS the UE receives is used to estimate the channel and report channel quality information back to
the gNB. During MIMO operations, NR uses different antenna approaches based on the carrier frequency. At lower frequencies,
the system uses a modest number of active antennas for MU-MIMO and adds FDD operations. In this case, the UE needs the
CSI-RS to calculate the CSI and report it back in the UL direction.

•CSI-RS refers to channel state information reference signal and these signals are downlink only signals.
•It is used for DL CSI acquisition.
•Used for RSRP measurements during mobility and beam management
•Also used for frequency/time tracking, demodulation, and UL reciprocity-based pre-coding
•CSI-RS is configured specific to UE, but multiple users can also share the same resource
•5G NR standard allows high level of flexibility in CSI-RS configurations, a resource can be configured with up to 32 ports.
•CSI-RS resource may start at any OFDM symbol of the slot and it usually occupies 1/2/4 OFDM symbols depending upon configured number of
ports.
•CSI-RS can be periodic, semi-persistent or aperiodic (due to DCI triggering)
•For time/frequency tracking, CSI-RS can either be periodic or aperiodic. It is transmitted in bursts of two or four symbols which are spread across
one or two slots
CSI-RS plays many different roles in addition to beam management and is a very complex topic

67

[Add disclaimer text in slide master mode]

CSI parameters are the quantities related to the state of a channel. The user equipment (UE) reports CSI parameters to the access
network node (gNB) as feedback. The CSI feedback includes several parameters, such as the CQI, the PMI with different codebook
sets, and the rank indicator (RI). The UE uses a channel state information reference signal (CSI-RS) to measure the CSI feedback.
Upon receiving the CSI parameters, the gNB schedules downlink data transmissions (such as modulation scheme, code rate, number
of transmission layers, and MIMO precoding) accordingly.

68

[Add disclaimer text in slide master mode]

 DMRS

•DMRS refers to the demodulation reference signal

•It is used by a receiver for radio channel estimation for demodulation of the associated physical channel
•DMRS design and mapping is specific to each Downlink and Uplink NR channels vise NR-PBCH, NR-PDCCH, NR-PDSCH, NR-
PUSCH, NR- PUSCH
•DMRS is specific for specific UE and transmitted on demand and used to estimate the radio channel.
•DMRS can be beamform the DMRS, kept within a scheduled resource, and transmitted it only when necessary in either DL or
UL
•Multiple orthogonal DMRSs can be allocated to support MIMO transmission.

69

[Add disclaimer text in slide master mode]

 Sounding Reference Signal (SRS)

Sounding Reference Signal (SRS)

As a UL-only signal, the SRS is transmitted by the UE to help the gNB obtain the channel state information (CSI) for each user.
Channel State Information describes how the NR signal propagates from the UE to the gNB and represents the combined effect
of scattering, fading, and power decay with distance. The system uses the SRS for resource scheduling, link adaptation,
Massive MIMO, and beam management.

•SRS refers to the Sounding Reference signal and uplink only signal.
•It is configured specifically to UE
•In the time domain, it spans 1/2/4 consecutive symbols which are mapped within the last six symbols of the slot
•Multiple SRS symbols allow coverage extension and increased sounding capacity
•The design of SRS and its frequency hopping mechanism is the same as that used in LTE.

70

[Add disclaimer text in slide master mode]

 71

[Add disclaimer text in slide master mode]

 Downlink Adaptive Selection Between PMI and SRS

Downlink Adaptive Selection Between PMI and SRS allows downlink beamforming weight selection based on SRS or PMI :
The PMI-based selection applies to those with a small SNR.
The SRS-based selection applies to UEs with a large SNR.
The weight selected based on the PMI is more accurate at the cell edge, which improves the SNR to positively affect the data rate of CEUs.

When the uplink SRS SNR of a UE is greater than ThSRS ( SrsPreSinrJudgeThld, with the default value of –20 dB ), SRS-based selection is
applicable . Otherwise, PMI-based selection is applicable. There is a fixed 3 dB hysteresis protection on both sides.

SRS to PMI PMI to SRS

hysteresis THSRS hysteresis

Weight Weight
PMI unchanged unchanged SRS

3 dB 3 dB

72

[Add disclaimer text in slide master mode]

 𝑩𝒆𝒂𝒎 𝑺𝒆𝒍𝒆𝒄𝒕𝒊𝒐𝒏

73

[Add disclaimer text in slide master mode]

 74

[Add disclaimer text in slide master mode]

 75

[Add disclaimer text in slide master mode]

 76

[Add disclaimer text in slide master mode]

 77

[Add disclaimer text in slide master mode]

 78

[Add disclaimer text in slide master mode]

 79

[Add disclaimer text in slide master mode]

 𝑺𝒊𝒕𝒆 𝑻𝒚𝒑𝒆𝒔 𝑩𝒂𝒔𝒆𝒅 𝒐𝒏 𝑩𝒆𝒂𝒎𝒇𝒐𝒓𝒎𝒊𝒏𝒈

80

[Add disclaimer text in slide master mode]

1st one is Eigen based beamforming. Basically, UE (user equipment) sends SRSs (Sounding Reference
Signals) in uplink, gNodeB measures them and computes the DL beam weighting factors. These are
called dynamic beams because beams are following the UE in a very accurate way. This requires
significant baseband processing on gNodeB side and it works only for TDD ( because it needs reciprocity
between UL and DL). Here’s a picture of how those dynamic beams track the UE meaning that a beam
can be positioned with precision anywhere inside the sector:

81

[Add disclaimer text in slide master mode]

2nd one is Grid of Beams based on SSBs and CSI-RS beams. gNodeB sends those beams periodically in
downlink and UE measures and report them. Those beams are called static beams as their weights are
predefined and stored by gNodeB. UE measures all beams and reports the strongest beams and so
gNodeB will send PDSCH data on one or several strongest beams. In most cases one SSB is covered by 4
CSI-RS beams (called refined beams) like in the picture below:

82

[Add disclaimer text in slide master mode]

3rd one is Grid of Beams based on PMI (Precoding Matrix Indicator). gNodeB
sends in downlink CSI-RS reference signals (one per each antenna port) and
UE measures them with RX antennas and computes the PMI matrix (from the
air interface matrix and with the help of SVD matrix decomposition UE is able
to compute PMI matrix, diagonal matrix and equalizer matrix from the air
interface matrix). This PMI is sent to gNodeB that uses as weights for
beamforming. Keep in mind that this is from a codebook meaning that PMI
options are limited (not like 1st type of beamforming) ie weights are available
only in a limited combination (limited options as per codebook). PMI sent by
UE is not exactly a matrix but some coefficients (i11; i12; i13 and i2). From
those coefficients, gNodeB will constitute the PMI matrix. An example of PMI
based grid of beams is in the next picture (each circle represents a beam so all
circles together cover the whole sector). For more details on what N1, N2, O1
and O2 represent please check sharetechnote's page. Please note that,
contrary to the 1st option (EBB), in this 3rd case beams can be positioned only
in the circles and not elsewhere (number of circles/beams locations depend on
csi-rs ports and logical antenna ports and their position in H and V plane
depends on AAU type and configuration, tilt and azimuth of sector).

83

[Add disclaimer text in slide master mode]

 However, even in this case, it could be a dynamic switch between 1st option (Eigen-based
Beamforming using SRS) and 3rd option used (Grid of Beams based on PMI) depending on UL SINR
of SRS measured by gNodeB for TDD cases. That means in good RF conditions SRS based weights
are used and in weak RF conditions, PMI-based weights are used. For example: for SRS UL SINR> -
15 dB then SRS-based weights are used; for SRS UL SINR < -15 dB then PMI-based weights are used.
This is one real scenario used by gNodeB to choose between SRS-based weights or PMI-based
weights, in the future other scenarios may occur. This switching between SRS-based and PMI-based
works only for TDD because it needs reciprocity between UL and DL. For FDD the SRS-based method
cannot be used.

84

[Add disclaimer text in slide master mode]

 𝑺𝒐𝒖𝒓𝒄𝒆𝒔

85

[Add disclaimer text in slide master mode]

𝑺𝒐𝒖𝒓𝒄𝒆𝒔

https://info-nrlte.com/2021/05/09/an-introduction-to-csi-rs/

https://www.techplayon.com/5g-nr-cell-search-and-synchronization-acquiring-system-information/

https://www.ericsson.com/en/reports-and-papers/white-papers/advanced-antenna-systems-for-5g-networks

https://www.linkedin.com/pulse/mm-s01-e03-3d-beam-forming-hassan-qadi-1e

http://www.sharetechnote.com/html/5G/5G_CSI_RS_Codebook.html#Type_II_Port_Selection_Codebook

https://www.techplayon.com/5g-nr-cell-search-and-synchronization-acquiring-system-information/

https://forum.huawei.com/enterprise/en/introduction-to-5g-5g-massive-mimo-overview/thread/802407-100305

https://www.researchgate.net/figure/a-Azimuth-and-elevation-beamforming-b-Non-precoded-CSI-RS-top-vs-beamformed-CSI-RS_fig5_351427279

https://www.sharetechnote.com/html/5G/5G_MassiveMIMO_FD_MIMO.html

https://www.analogictips.com/what-is-precoding-and-what-are-benefits-faq/

86

[Add disclaimer text in slide master mode]

Thanks