DRAFT

5G physical layer
KDDI- Ericsson Workshop
 OUtline
› Spectrum
› Waveform and numerology
› Modulation and coding
› Control signaling
› Initial access
› Multi-antenna transmission

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 NR – Basic waveform
› Downlink: Conventional OFDM › Uplink: Conventional OFDM
– Complementary DFT precoding (“DFT-OFDM)
for higher device PA efficiency

No fundamental difference from LTE

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 NR – Basic numerology
› LTE: A single 15 kHz sub -carrier spacing
– Normal and extended cyclic prefix

› NR: Flexible sub-carrier spacing 2n∙15 kHz

– To match different frequency ranges
– Scaled from LTE numerology Sub-carrier Cyclic-prefix
– Higher sub-carrier spacing  Shorter cyclic prefix spacing length
– Extended cyclic prefix only for 60 kHz 15 kHz 4.69 s
30 kHz 2.34 s
15 kHz 30 kHz 60 kHz 60 kHz 1.17 s / 4.16 s
120 kHz 0.59 s
240 kHz 0.29 s

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 Numerology vs frequency band

15 kHz 15 kHz 60 kHz

30 kHz 30 kHz 120 kHz
60 kHz

1 GHz 6 GHz 52.6 GHz

› 240 kHz numerology for data

(PDSCH/PDCCH) supported by RAN1 but notRAN4
by

› 240 kHz numerology supported for SS block, see “Initial Access”

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 NR – Carrier bandwidth
Sub-carrier Maximum Number of
› Up to 400 MHz component-carrier bandwidth spacing bandwidth subcarriers1
– But limited to 3300 sub-carriers 15 kHz 50 MHz 3300
30 kHz 100 MHz 3300
› Up to 16 component carriers 60 kHz 200 MHz 3300
– Overall bandwidth depends on frequency band 120 kHz 400 MHs 3300
240 kHz 400 MHz 1656
› Devices may not support the full carrier bandwidth

UE not supporting full

component carrier

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1 Must be a multiple of 12
 NR – Spectral efficiency
› Spectral efficiency = Number of sub -carriers in a given spectrum size
– LTE: 1200 sub -carriers in 20 MHz (90% spectral efficiency
– NR: Maximum spectral efficiency increased to approximately 95%
– In practice just tougher RAN4 requirements on spectrum mask

20 MHz

LTE 1200 subcarriers (90% “spectral efficiency”)

20 MHz

NR 1260 subcarriers (95% “spectral efficiency”)

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 NR – time/frequency structure
› One slot = 14 symbols

› One resource block = 12 sub-carriers

Numerology Slot length RB BW

15 kHz 1 ms 180 kHz

30 kHz 0.5 ms 360 kHz

60 kHz 0.25 ms 720 kHz

120 kHz 125 s 1.44 MHz

240 kHz 62.5 s 2.88 MHz

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 “Slots” vs “mini slots”
› Slot-based scheduling
– Similar to LTE scheduling
– Higher numerology  Shorter slots  Lower latency
– Problem: Higher numerology  Shorter CP or higher CP overhead

› “Mini-slot” transmission
– Transmission can start at any symbol
– Arbitrary length from 1 to 13 symbols
– Limited to 2, 4 and 7 symbols in December release (?)

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 – Shorter scheduling units without negative impact of CP length/overhead

Why mini slots?

› Lower latency
– Shorter scheduling units in time
– Faster scheduling

› Smaller payload size

– Especially for higher frequency where analog beam-forming
may prevent FDM between users

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 › Unlicensed spectrum
– Occupy available channel with useful data as quickly as
possible

NR – Modulation schemes
/2-BPSK QPSK 16QAM 64QAM 256QAM
(uplink only)

Odd symbols
Even symbols

1 bit/symbol 2 bits/symbol 4 bits/symbol 6 bits/symbol 8

bits/symbol
› /2-BPSK only applicable to uplink DFTS-OFDM
– Same or worse link performance compared to QPSK
– Reduced spectral efficiency (1 bit/symbol compared to 2 bits/symbol for QPSK)

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 – Lower PAPR/CM  Enabling higher maximum UE output power for same PA

NR – channel coding
› Intense discussion in 3GPP with different companies promoting different schemes
– LDPC, Polar codes, Turbo codes
– In the end, technical aspects playing minor role

› Final compromise
– LDPC codes for data transmissions (PDSCH/PUSCH)
– Polar codes for L1/L2 control signaling (PDCCH/PUCCH)

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NR – Low latency
› Short scheduling units
– Shorter slots with higher numerology
– Mini-slot transmission

› Fast access to channel by means of preemption

› Fast/flexible retransmissions
– Not fixed HARQ timing
Short slots vs. mini slots

› Higher numerology  Shorter slots 15 kHz

– 1 ms @ 15 kHz  0.25 ms @ 60 kHz

60 kHz
– Shorter CP (1.17 s vs 4.69 s)
– Alternatively higher CP overhead (25 % vs 7%) Normal CP Extended CP

› Mini slots
– 4-symbol mini slot @ 15 kHz 0.29 ms 15 kHz
– 4.69 s with 7% CP overhead
 › Higher numerology can provide low latency in small-cell deployments
› Mini slots needed for low latency in wide-area coverage

Preemption
› Transmission in (part of) a resource already assigned for transmission for other device

› Typically latency critical mini-slot transmission to one device preempting less critical
transmission to another device

 Immediate access to channel for latency-critical transmissions

 Scheduling assignment for
slot-based transmission

Preemption
Recovery of preempted transmission
› Baseline: Conventional HARQ retransmission
– Decoding error  UE will request retransmission
– Network retransmits entire transport block with NDI triggering reset of soft buffer
› Enhancement: CBG-based retransmission
– UE may request retransmission of a subset of code blocks contained within preempted transmission

› Enhancement: Preemption indication

– Network can indicate preempted resources

– UE may reset soft buffer for preempted resource elements

NDI = New Data Indicator
CBG = Code Block Group
CBG – based retransmission

Request retransmission only

of these code blocks
Note! Not only for preemption
› Configured by RRC
– Number of code-block groups (CBGs)  Number of code blocks per CBG

› Enabled by
– Multi-bit HARQ Ack (one bit per CBG)
– DCI indicating what CBGs are (re)transmitted
 Downlink Control Signaling
› Physical Downlink Control Channel– PDCCH
– Self contained– enabling beamforming
– 1, 2, 4 or 8 CCEs, each CCE = 6 REG CORESET
– 1 DMRS port per REG bundle
› Control Resource Set– CORESET PDCCH
candidates
– Configurable to enable varying use cases (MBB, URLLC)
– 1, 2 or 3 OFDM symbols slot
– Localized or distributed (non -contiguous RB)
– Time first or frequency first mapping
– Does not span full carrier bandwidth
– A UE can be configured with multiple CORESETs

› Blind detection of PDCCHs in the CORESETs

– Similar mechanism as in LTE

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 Slot format indicator

› Slot format indicator (SFI)

– Indicates the resources used for uplink and downlink , respectively
– Is carried by the group-common PDCCH (structure of this channel is FFS)
› PDCCH and PDSCH can be received without SFI knowledge
– SFI mainly useful information for non scheduled UEs

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 Uplink control
› PUCCH carries HARQ-ACK, CSI and Scheduling requests › Short
PUCCH ( 1 – a few tens of bits)
– 1 symbol, 1-2 bits
– 1 symbol, >2 bits PDCCH
PUCCH
PDCCH PUCCH
PDSCH
– 2 symbol 1- a few tens of bits
PUCCH
› Long PUCCH Slot interval Slot interval

– 4-14 symbols Long PUCCH (4-14 symbols) Short PUCCH

PUCCH
– 1- many bits UCI PDCCH PDCCH

PUSCH PUSCH and UCI

PUCCH
Slot interval Slot interval

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 › UCI on PUSCH
Simultaneous PUSCH and PUCCH UCI on PUSCH

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 scheduling
› Resource allocation in frequency similar to LTE
– RBG based bitmap
– Start-stop RB
› Within one slot:
– Start and stop OFDM symbol for PDSCH region PDCCH
PDCCH

› To support mixed DL/UL slots

› Multi-slot scheduling
› UL transmission without grant
› UL repetitions of transport block
› Asynchronous retransmission
Start Stop
PDSCH PDSCH
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 HARQ timing

› A timing indicator (configured via RRC which values) indicates in the DCI the
time when to report HARQ feedback relative to DL data

DL DCI
ACK/NACK ACK/NACK
same slot next slot
UL

ACK/NACK timing indicated in DCI

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 Initial access
› Finding cells when entering the system (“Initial cell search”)
› Acquiring necessary system information
› Accessing the system (“Random access”)

› Same functionality partly used also for mobility

– Finding for new cells for possible handover
– Accessing found cell if handover decided

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 SS Block
› The basic downlink signal for initial cell search consisting of
– Primary synchronization signal PSS (one OFDM symbol)
– Secondary Synchronization Signal SSS (one OFDM symbol)
– Physical Broadcast Channel PBCH (two OFDM symbols)

Time

› Similar structure and function as LTE PSS/SSS/PBCH with some differences

-on” signals
– The aim to reduce the amount of “always
– The possibility to apply beam
-forming to the SS Block

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 SS Block
1. UE searches for PSS in time
 Find timing of yet unknown cell
– Three different PSS (similar to LTE)

2. UE detects SSS based on found cell timing

 The physical identity of the found cell
– 3∙336 = 1008 physical cell identities

3. UE decodes the PBCH information (Master Information Block, MIB)

 UE ready to find and decode the Remaining Minimum System Information

RMSI)(
before accessing the system

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Initial cell search
Search for PSS in time at
a possible carrier frequency
Next possible
carrier frequency
No
Found?

Cell timing acquired

Detect SSS at found timing

to determine cell identity

Cell identity determined

Decode PBCH information

at found timing

CORESET for RMSI known

Find and decode Remaining

Minimum System Information
Random-access procedure
 SS Block numerology
SSB numerology SSB bandwidth SSB duration Frequency range
15 kHz 4.4 MHz 285 s
30 kHz 8.8 MHz 143 s
120 kHz 35.2 MHz 71.4 s
240 kHz 70.4 MHz 35.7 s

› Only one SSB numerology for a given frequency band (may be exceptions)

› SSB bandwidth gives minimum carrier bandwidth

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 SS Block Periodicity
› Default periodicity: 20 ms
– Four times larger compared to LTE PSS/SSS/PBCH (5 ms)
 Enabling higher network energy efficiency (longer maximum transmitter-off time)

› Possibility to configure lower periodicity (< 20 ms)

– To enhance mobility measurements
– UEs doing initial cell search will still assume 20 ms periodicity

› Possibility to configure higher periodicity (> 20 ms)

– To further enhance network energy efficiency
– For supplementary
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 Beam sweeping SS Block
› Beam-sweep a sequence of SS Blocks (an “SS Burst Set”) within
-block SS
periodicity

› Maximum number of SS blocks within an SS burst set depends on frequency band

– Below 3 GHz
 L 4
– From 3 GHz to 6 GHz
 L 8
– Above 10 GHz
 L  64
 Maximum number of beams over which SS block can be swept
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 System information
› Master Information Block within PBCH (part of SS block)
– Very limited amount of system information (what is needed to acquire RMSI)

› Remaining minimum system information ( RMSI)

– Broadcast system information
– The information needed to access the system

› Other system information (OSI)

– Not needed to access the system
– May be broadcast on demand

 Reduced amount of always-on transmissions

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 Random access
› To initially access the system and enter connected state

Network UE
› Four-step procedure similar to LTE
1. UE preamble transmission Preamble

2. Network response
Random-access
3. UE “message 3” transmission for collision resolution response
4. NW response for collision resolution and connection set-up

› Enabling beam-forming for random access

“message 3”

– Network-side receiver beam-forming Response

(connection set up)
– UE-side transmitted beam-forming

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 Random access
Receiver-side beam sweeping
› How to align UE preamble transmission with network receiver -side beam-sweeping?

› Synchronize downlink and uplink beam-sweeping

› Derive random-access timing from received SS block timing

When to transmit
random-access?

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 Multi antenna- PDSCH
› NR has only a single transmission scheme for PDSCH
– One DMRS port per layer (as LTE TM10)
– Proprietary spec-transparent transmit diversity schemes can be used
– (Note: URLLC type of services may introduce a new transmission scheme, to be discussed in )RAN1

› A UE can receive 1
-8 MIMO layers
– For 1-4 layers PDSCH: Single codeword
– For 5-8 layers PDSCH: Two codewords

› A UE can receive two {PDCCH,PDSCH} pairs simultaneously per CC

(multi-TRP case, single BPW case)
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 multi antenna - PUSCH

› A UE can transmit 1-4 MIMO layer PUSCH using CP-OFDM

– For DFT-S-OFDM, only 1 MIMO layer is supported

› Transmit diversity is spec transparent for PUSCH with CP-OFDM

– FFS for DFT-S-OFDM

› Codebook-based (~LTE) and non -codebook based (~reciprocity) PUSCH is

supported

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 PDSCH/PUSCH DMRs and
– Type 1 DMRS
mapping has higher
density and
supports up to
› PDSCH and PUSCH with CP-OFDM 8 ports and
mapping to RE: also support
– Codeword is mapped across MIMO ECP
layers first, then across subcarriers (motivation:
(frequency) and then across OFDM SU-MIMO)
symbols (time)
– FFS for DFT-S-OFDM – Type 2 DMRS
has lower
density and
› DMRS is RRC configured as either support up to
Type 1 or 2 for 12 ports
UL/DL (motivation:
MU-MIMO)

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 Front loaded Type 1 Front
1 symbol 2 symbols loaded
Type 2

Demodulation RS (DMRS)
PDCCH
PDCCH
GP UL

› UE can be RRC configured with either

– 1 or 2 front loaded DMRS symbols (to support fast
(same slot) A/N feedback)

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 – 1 + 1 DRMS symbols (mobility, A/N in later slot, max 4 or 6 ports)
0 1 2 3 4 5 6 7 8 9 10 11 12 13

PDCCH
PDCCH

– 2 + 2 (mobility, A/N in later slot, max 8 or 12 ports)

– 1 + 1 + 1(high mobility (>150 km/h), max 4 or 6 ports)
– 1 + 1 + 1 + 1 (very high mobility (500 km/h), max 4 or 6 ports)

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 PDSCH/PUSCH for mmwave
› Phase noise degrades performance for mm-wave using
higher order modulation
– Phase tracking RSs (PT-RS) are introduced in DL and UL

› PT-RS can be configured to be present (ON/OFF) in

scheduled resource
› Both for PDSCH and PUSCH
› For CP-OFDM in DL and UL
– If ON, time and frequency density determined by MCS and
Scheduling BW
– PT-RS occupies one subcarrier every 2nd or 4th RB depending on
scheduling BW

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 Contiguous Scheduled BW Frequency density (1/n)
– PT-RS occupies every n:th data symbol, where n depends on MCS ›
NRB < [3 or 1] No PT-RS
[3 or 1]≤ NRB < [5] [1]

[5]≤ NRB < [10] [1/2]

[10]≤ NRB < [15] [1/3]
[15]≤ NRB 1/4
n=1,2,4

Support for mmwave DFT-S-OFDM

› For DFT-S-OFDM
– Presence of phase tracking RS (PT-RS) is
configured to UE
› Note: dependence on MCS, Scheduling BW
etc is FFS
– PT-RS occupies at least every data OFDM
symbol

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 – PT-RS is inserted pre-DFT

PUSCH MIMO
› A single codeword PUSCH for 1-4 layers for CP-OFDM
› An SRS resource has 1,2 or 4 ports
› Two PUSCH transmission schemes are supported
– Scheme A: Codebook based PUSCH transmission
› gNB indicates precoding matrix to UE for transmission

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 › SRS resource indicator (SRI) can be used to steer
uplink beam
- SRI selects one out of multiple SRS resources that
previously has been transmitted by the UE
- (one use case: UE transmit multiple [analog] UL beams with
N>1 ports each, gNB selects beam by SRI and indicates
TPMI,TRI,MCS)

– Scheme B: Non-codebook based PUSCH transmission

› A DL measurement RS (e.g. CSI-RS) can be indicated to
UE for assisting calculating UL precoder (using DL-UL
reciprocity)
› SRS resource indications (SRI) is signalled in DCI
- Each SRS resource comprises a single port,
corresponding to a transmitted layer

*TPMI=Transmit precoding matrix indicator, TRI=Transmit Rank Indicator

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 PUSCH for DFT
-S-OFDM

› Only a single layer PUSCH is supported when DFT

-S-OFDM is used
– Whether DFT-S-OFDM for rank 1 is RRC configured or dynamically switched (DCI)
depending on e.g. TRI, is not decided.
– Whether UE shall use CP -OFDM or DFT-S-OFDM waveform during initial access is
broadcasted in RMSI (Remaining System Info)

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 Support for analog
beamforming- downlink
› Analog BF implies that gNB and/or UE can only transmit/receive in
one wideband direction (beam) per
OFDM symbol
– gNB can assist the UE to select analog RX beam to receive
DL transmission

› Dynamic Beam indication to assist PDSCH reception:

– Scheduling DCI can carry an indication of DL beam
(spatial QCL assumption between a DL RS and PDSCH
DMRS)

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 › Semi-static Beam indication to assist PDCCH
reception:
– RRC/MAC-CE can carry an indication of DL beam (spatial
QCL assumption between a DL RS and PDCCH DMRS)

› DL RS in the above can be CSI-RS or SS block

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 Robust Beamformed PDCCH
transmission
› Robust PDCCH when using narrow beam
transmission using multiple beams
– A UE can be configured to monitor NR-PDCCH
on M ≥1 beams
– Different [analog] TX beams in different NR-
PDCCH OFDM symbols or CORESETs

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 Beam Management
› Measurements to identify beam can be based on › UL beam management
two signal types – Needed only if UE does not have beam correspondence
– SSB – Based on SRS beam sweeps
– CSI-RS – U1,U2,U3 procedures analogous to P1,P3,P2 procedures
› Resource is 1 or 2 ports in single OFDM symbol › Beam recovery
- 1 beam per symbol – Similar but faster than RLF (L1/L2 only)
› Basic DL beam management procedures – Beam failure detection– RSRP threshold
– P1: InitialTx beam sweep (can be coarse) – Candidate beam discovery – based on SSB or-CSI
p -RS
– P2: Tx beam sweep forTx beam refinement – Beam recovery request – PRACH or PUCCH
– P3: UE Rx beam sweep for Rx beam refinement – Beam recovery resolution – monitor PDCCH

“P1 procedure”

“P2 procedure”

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“P3 procedure”
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 Csi framework
› NR features a flexible CSI framework
– Predefine a number of:
› M = # of Report Settings
- What Type of CSI, Reporting quantity, Frequency -granularity, Time -domain
behaviour,…
› N = # of Resource Settings
- Resource setting for channel or interference
› L = # of Measurement Settings, “Links”
› S = # of Sets per Resource Setting
- Sets of CSI-RS for beam sweeps
› K = # of CSI-RS Resources per Set

– Trigger an aperiodic measurement with DCI,

indicating which Report Setting and CSI-RS resource
to report CSI for
– Decoupled from “transmission scheme”
– Design to support multiple use cases by configuration

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 PMI codebook summary
› Type I single-panel (SP): (Regular resolution, low overhead CSI targeting
SU-MIMO)
– Similar to LTE FD-MIMO codebooks, up to
rank 8, based on single DFT GoB +
polarization cophasing

› Type I multi-panel (MP):

– Rank 1-4: Extension of Type I single-panel
by adding inter-panel co-phasing, either
wideband or subband – Supports 2 and 4
panels

› Type II single-panel (SP): (High res. CSI for MU-MIMO)

– “Explicit”-like channel eigenvector
feedback based on linear
combination of DFT beams. High
overhead. Only for rank 1-2.

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 Type II codebook - performance
› Up to ~60% cell edge UPT gain and 30% mean UPT gain over LTE Rel -14
› Performance depends on UL feedback overhead

DL Average user throughput [bps/Hz]

Average DL user throughput vs. UL feedback overhead

3
2.9
2.8 4G LTE: Rel-14 adv. CSI
2.7
2.6 5G: Type II, L=2,3,4, WB only
2.5 amplitude

2.4 5G: Type II, L=2,3,4, WB+SB

2.3 amplitude

2.2
0 0.002 0.004 0.006 0.008
UL Feedback overhead [bps/Hz]

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ありがとうございます