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5G Training Course

5G New Air Interface Training

www.huawei.com

2019-03-04

HUAWEI TECHNOLOGIES CO., LTD.

Directory

1 Frame structure

2 Physical channels and signals

Page 2
HUAWEI TECHNOLOGIES CO., LTD.
 Overview of NR Air Interface Resources (Time-, Frequency-
, and Space-domain Resources)
Numerology (system parameter): refers to subcarrier spacing (SCS) in New Radio (NR) and related
parameters, such as the symbol length and cyclic prefix (CP) length.
Time-domain
CP Basic scheduling unit
resources
Symbol
Slot Subframe Frame
length
1 slot = 14 symbols 1 subframe = 1 ms 1 frame = 10 ms
The SCS determines
Numerology the symbol length
One or more BWPs can be
and slot length. 1 RB = 12 subcarriers 1 RBG = 2 to 16 RBs 1 BWP = Multiple RBs/RBGs configured in one carrier.

SCS RB RBG Bandwidth part Carrier

(BWP)
Frequency-domain Data channel/control channel scheduling unit
resources
Existed in LTE
REG CCE Unchanged in NR
1 REG = 1 PRB 1 CCE = 6 REGs Existed in LTE
Modified in NR
Space-domain resources Codeword Layer Antenna port
Added in NR

NR uses orthogonal frequency division multiple access (OFDMA), same as LTE does.
The main description dimensions of air interface resources are similar between LTE and NR except that BWP is added to NR in the frequency domain.

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 SCS–Background and Protocol-provided Definition
• Numerologies defined in 3GPP Release 15 (TS 38.211)
• Background with SCS identified by the parameter µ.
– Service types supported by NR: eMBB, URLLC, mMTC, etc.
Parameter
SCS CP
– Frequency bands supported by NR: C-band, mmWave, etc. µ
0 15 kHz Normal
– Moving speed supported by NR: up to 500 km/h 1 30 kHz Normal
2 60 kHz Normal, extended
• Requirements for SCS vary with service types, 3 120 kHz Normal
frequency bands, and moving speeds. 4 240 kHz Normal

– URLLC service (short latency): large SCS *(LTE supports only 15 kHz SCS.)

– Low frequency band (wide coverage): small SCS • Available SCS for data channels and synchronization
channels in 3GPP Release 15
– High frequency band (large bandwidth, phase noise): large
Parameter Supported for Data Supported for Sync
SCS SCS
µ (PDSCH, PUSCH etc) (PSS, SSS, PBCH)
– Ultra high speed mobility: large SCS 0 15 kHz Yes Yes
1 30 kHz Yes Yes
• NR SCS design principle 2 60 kHz Yes No
– NR supports a series of SCS values. 3 120 kHz Yes Yes
4 240 kHz No Yes

Based on LTE SCS of 15 kHz, a series of numerologies (mainly different SCS values) are supported to adapt to different requirements and channel characteristics.

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 CP(Cyclic Prefix): Protocol-defined
⚫ Key factors that determine the CP length ⚫ CP length for different SCS values:
– Multipath latency extension: The larger the multipath latency extension,
– If normal CP (NCP) is used, the CP of the first symbol
the longer the CP.
present every 0.5 ms is longer than that of other symbols.
– OFDM symbol length: Given the same OFDM symbol length, a longer
CP indicates a larger system overhead. 512  2 −  extended cyclic prefix
⚫ NR CP design principle  
N CP ,l = 144  2 −  + 16 normal cyclic prefix, l = 0 or l = 7  2 
– Same overhead as that in LTE 144  2 − 
– Aligned symbols between different SCS values and the reference  normal cyclic prefix, l  0 and l  7  2 
numerology (15 kHz)
Tcp = Ncp  Tc

Parameter SCS CP
µ (kHz) (µs)
1 1 0 15 NCP: 5.2 µs for l = 0 or 7; 4.69 µs for others
1 30 NCP: 2.86 µs for l = 0 or 14; 2.34 µs for others
NCP: 1.69 µs for l = 0 or 28; 1.17 µs for others
2 60
Extended CP (ECP): 4.17 µs
3 120 NCP: 1.11 µs for l = 0 or 56; 0.59 µs for others
0 12 3 1
4 240 NCP: 0.81 µs for l = 0 or 112; 0.29 µs for others

The CP length in NR is designed in line with the same principles as LTE. Overheads are the same between NR and LTE.
Aligned symbols are ensured between different SCS values and the SCS of 15 kHz.
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 Frame Structure: Architecture
⚫
⚫ Frame length: 10 ms Frame structure architecture:
⚫ Example: SCS = 30 kHz/120 kHz
– SFN range: 0 to 1023 1 frame = 10 ms = 10 subframes = 20 slots
⚫ Subframe length: 1 ms

SCS = 30 kHz
– Subframe index per system frame: 0 to 9
1 subframe = 1 ms = 2 slots
⚫ Slot length: 14 symbols
Slot Configuration (NCP)
SCS 1 slot = 0.5 ms = 14 symbols
(kHz) Number of Number of Number of Slots
Symbols/Slot Slots/Subframe /Frame
1 frame = 10 ms = 10 subframes = 80 slots
15 14 1 10
30 14 2 20
60 14 4 40

SCS = 120 kHz

120 14 8 80 1 subframe = 1 ms = 8 slots
240 14 16 160
480 14 32 320

Slot Configuration (ECP) 1 slot = 0.125 ms = 14 symbols

60 12 4 40

The lengths of a radio frame and a subframe in NR are consistent with those in LTE. The number of slots in each subframe is determined by
the subcarrier width.
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 Self-contained Slots/Subframes
⚫ The self-contained slot or subframe type is ⚫ Self-contained slot/subframe design objectives
not defined in 3GPP specifications. – Faster downlink HARQ feedback and uplink data scheduling: reduced RTT
– Shorter SRS transmission period: to cope with fast channel changes for
⚫ The self-contained slots or subframes improved MIMO performance
discussed in the industry and literature are ⚫ Problems in application
featured as follows: – The small GP limits cell coverage.
– One slot or subframe contains uplink part, downlink part, and GP. Air interface Downlink data processing time:
– Downlink self-contained slot or subframe: includes downlink data and round-trip latency
Part of the GP needs to be reserved for
corresponding HARQ feedback. demodulating downlink data and
D U
UL control or SRS generating ACK/NACK feedback.

– High requirements on UE hardware processing:

D U • Release 15 defines two types of UE processing capabilities. The
baseline capability is 10 to 13 symbols if the SCS is 30 kHz and self-
ACK/NACK contained transmission is not supported.
– Uplink self-contained slot or subframe: includes uplink scheduling – Frequent uplink/downlink switching increases the GP overhead.
information and uplink data. – In the downlink, only the retransmission latency can be reduced.
DL control • E2E latency depends on many factors, including the core network and
air interface.
D U • The latency on the air interface side is also limited by the
uplink/downlink frame configuration, and the processing latency on the
gNodeB and UE.
UL grant

Self-contained subframes reduce the RTT latency on the RAN side but limits cell coverage. Therefore, high requirements
are posed on hardware processing capabilities of UEs.
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 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

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 Basic Concepts of Frequency-Domain Resources
One subframe

⚫ Resource Grid (RG)

– Physical-layer resource group, which is defined separately for ,
subframe
Nsymb OFDM symbols
the uplink and downlink (RGs are defined for each max, RB
k = NRB,
x Nsc −1
numerology).
– Frequency domain: available RB resources within the
transmission bandwidth 𝑁RB
– Time domain: 1 subframe

N scRB subcarriers

block N scRB subcarriers

⚫ Resource Block (RB)
– Basic scheduling unit for data channel resource allocation in
the frequency domain Resource Element
Resource element

Resource Grid N RB

– (k , l )

Resource Block
Frequency domain: 12 consecutive subcarriers
⚫ Resource Element (RE)

Resource
– Minimum granularity of physical-layer resources
– Frequency domain: 1 subcarrier
– Time domain: 1 OFDM symbol
k =0
l =0 l = 14  2  − 1

In NR, an RB corresponds to 12 subcarriers (same as LTE) in the frequency domain. The frequency-domain width is related
to SCS and is calculated using 2µ x 180 kHz.
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 PRB/RBG and CCE: Frequency-domain Basic
Scheduling Units
⚫ Basic scheduling unit for data channels: ⚫ Basic scheduling unit for control
PRB/RBG channels: CCE
– Physical RB (PRB): Indicates the physical resource block in the – RE Group (REG): basic unit for control channel
BWP. resource allocation
– Frequency domain: 1 REG = 1 PRB (12 subcarriers)
– Frequency domain: 12 subcarriers
– Time domain: 1 OFDM symbol
– Resource Block Group (RBG): a set of physical resource blocks
– Control Channel Element (CCE): basic scheduling unit
– Frequency domain: The size depends on the number of RBs for control channel resource allocation
in the BWP. – Frequency domain: 1 CCE = 6 REGs = 6 PRBs
BWP Size (RBs)
RBG Size – CCE aggregation level: 1, 2, 4, 8, 16
Config 1 Config 2
1–36 2 4
37–72 4 8
73–144 8 16 REG DMRS
145–275 16 16
4 RBs CCE
DMRS PRB
RB RB0 RB1 RB2 RB3 RB4 RB5 RB6 RB7 RB8 RB9 RB10 RB11 RB12 …

DMRS
RBG RBG0 RBG1 RBG2 …

In the frequency domain, the PRB or an RBG is a basic scheduling unit for data channels, and the CCE is a basic scheduling
unit for control channels.
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 Channel Bandwidth and Transmission Bandwidth
⚫ Channel bandwidth
– Channel bandwidth supported by the FR1 frequency
band (450 MHz to 6000 MHz): 5 MHz (minimum),
100 MHz (maximum)
– Channel bandwidth supported by the FR2 frequency
band (24 GHz to 52 GHz): 50 MHz (minimum), 400
MHz (maximum).
⚫ Maximum transmission bandwidth
(maximum number of available RBs)
– Determined by the channel bandwidth and data
channel SCS.
– Defined on the gNodeB side and UE side separately.
Active RBs
For details about the protocol-configuration of the
UE side, see the figure on the right. Guard band
⚫ Guard bandwidth
– With F-OFDM, the guard bandwidth decreases to
about 2% in NR (corresponding to 30 kHz SCS, 100
MHz channel bandwidth).
Compared with the guard bandwidth (10%) in LTE, NR uses F-OFDM to reduce the guard bandwidth to about 2%.
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 Maximum Number of Available RBs and Spectrum Utilization
⚫ 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 20 25 40 50 60 70 80 90 100
SCS
MHz MHz MHz MHz MHz MHz MHz MHz MHz MHz MHz MHz MHz
[kHz]
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% [96%] 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%

50 MHz 100 MHz 200 MHz 400 MHz

SCS
NRB and Spectrum Utilization (FR2: 24
[kHz]
GHz to 52 GHz)
66 132 264 N/A
60
95% 95% 95% \
32 66 132 264
120
92.2% 95% 95% 95%

– Maximum transmission bandwidth on the UE side: See 3GPP TS 38.101-1 and TS 38.101-2.

Spectrum utilization is related to the channel bandwidth. The higher the bandwidth, the higher the spectral efficiency.
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 BWP Definition and Application Scenarios
⚫ 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.
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 Initial BWP Configuration
⚫ Initial DL BWP definition and configuration ⚫ Initial UL BWP definition and configuration
– Function: The PDSCH used to transmit RMSI, Msg2, and Msg4 must be – Function: The PUSCH used to transmit Msg3, PUCCH used to
transmitted in the initial active DL BWP. transmit Msg4 HARQ feedback, and PRACH resources during
– Definition of the initial DL BWP: frequency-domain location and bandwidth of initial access must be transmitted in the initial active UL BWP.
RMSI CORESET (control channel resource set) and a numerology – The initial DL BWP and initial UL BWP are separately configured.
corresponding to the RMSI – Numerology: same as that of Msg3 (configured in RMSI).
– The frequency-domain location and bandwidth of the RMSI CORESET are – Frequency-domain location:
indicated in the PBCH (MIB). The default bandwidth is {24,48,96} RBs. – FDD (paired spectrum), SUL: configured in RMSI
Frequency
– TDD (unpaired spectrum): same as the center frequency
band of the initial DL BWP
– Bandwidth
CORESET
PDSCH – Configured in RMSI and no default bandwidth option is
SSB

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,
domain location of the information of the RMSI CORESET and bandwidth, and numerology
SSB. determine the initial DL BWP. information of the initial UL BWP.

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 5G vs.4G frame structure
Project LTE NR Description
Frequ The NR supports multiple SCS.
ency SCS(subcarrier spacing, kHz) 15 15,30,60,120,240
LTE 15KHz & NR 2^*15KHz
domai
n RB (resource block) 12 SC 12 SC frequency domain width is related to SCS.
RBG (resource block group) 2-4RB 2-16RB Indicates the frequency domain scheduling unit of the data channel
BWP (partial bandwidth) None New The BWP concept is new for NR.
CC (carrier) Supported Supported
REG Supported Supported
CCE Supported Supported Indicates the scheduling unit of the control channel
Time Frame Length 10 ms 10 ms No change
domai
n Frame No. 0-1023 0-1023 No change
Length 1 ms 1 ms No change
Subframe
Subframe number
0-9 0-9 No change
/Frame

Number of slots
2 1/2/4/8/16 The number of slots in each subframe is determined by the SCS.
/Subframe
Slot
The slot definition is more flexible, and the DL/UL allocation can be
Slot
detailed to symbols.

Symbol Number of symbols /Slot 7 14

CP Supported Supported The length of NR CP is the same as that of LTE

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Directory

1 Frame structure

2 Physical channels and signals

Page 23
HUAWEI TECHNOLOGIES CO., LTD.
 Overview Downlink Physical Channel/Signal Function
Used for time-frequency synchronization and cell
SS Synchronization Signal
search.
PBCH Physical Broadcast Channel Carries system information to be broadcast.
Transmits control signaling, such as signaling for
PDCCH Physical Downlink Control Channel
Downlink Uplink uplink and downlink scheduling and power control.
PDSCH Physical Downlink Shared Channel Carries downlink user data.
Used for downlink data demodulation and time-
DMRS Demodulation Reference Signal
Physical Physical Physical Physical frequency synchronization.
Channel Signal Channel Signal PT-RS Phase Tracking Reference Signal Tracks and compensates downlink phase noise.
Used for downlink channel measurement, beam
Channel State Information
CSI-RS management, RRM/RLM measurement, and refined
Reference Signal
PBCH PSS/SSS PRACH DMRS time-frequency tracking.

Uplink Physical Channel/Signal Function

PRACH Physical Random Access Channel Carries random access request information.
PDCCH DMRS PUCCH PT-RS
Transmits L1/L2 control signaling, such as signaling
PUCCH Physical Uplink Control Channel for HARQ feedback, CQI feedback, and scheduling
request indicator.
PDSCH PT-RS PUSCH SRS PUSCH Physical Uplink Shared Channel Carries uplink user data.
Used for uplink data demodulation and time-frequency
DMRS Demodulation Reference Signal
synchronization.
PT-RS Phase Tracking Reference Signal Tracks and compensates uplink phase noise.
CSI-RS
Used for uplink channel measurement, time-frequency
SRS Sounding Reference Signal
synchronization, and beam management.

Compared with LTE, NR removes the PHICH, PCFICH, and CRS, adds the PT-RS, and enhances the DMRS and CSI-RS.
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 Relationships Between Physical Channels and Signals
⚫ Relationship between downlink channels and signals ⚫ Relationship between uplink channels and
signals
Downlink synchronization PSS/SSS
Uplink synchronization
Demodulation PRACH
DMRS for
PBCH PBCH
Demodulation
Demodulation DMRS for
DMRS for PUCCH PUCCH
PDCCH PDCCH
DMRS for
DMRS for PUSCH
PDSCH
Phase tracking
PDSCH PUSCH PT-RS
PT-RS

SRS
CSI-RS

Physical channels fall into common channels (SS, PBCH, and PRACH), control channels (PDCCH and PUCCH), and data channels (PDSCH
and PUSCH). These channels and reference signals are used for transmitting and receiving data on the data channels.
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 Time-Frequency Domain Distribution
⚫ Schedulable and configurable resources through flexible physical channel and signal design
– PDCCH: Occupies the first 1 to 3 symbols in a slot in the time domain. Frequency resources can be configured. PDCCH and PDSCH can share resources in the
same symbol through FDM.
– DMRS for PDSCH: Time-domain positions as well as frequency densities and resources can be configured. DMRS and PDSCH can share resources in the same
symbol through FDM.
– SS/PBCH: Occupies 20 RBs in the frequency domain with a fixed time-domain position and a configurable frequency-domain position. SSB and PDSCH can share
resources in the same symbol through FDM.
– CSI-RS: Time-domain positions, frequency-domain positions and bandwidths, as well as periods can be configured. CSI-RS and PDSCH can share resources in the
same symbol through FDM.
– PT-RS: Located in the scheduled PDSCH resource. Its frequency-domain density can be configured (with a sparse time-domain density).
Subrame 0 Subrame 1
Slot 0: DL Slot 1: DL Slot 2: DL Slot 3: Mixed Slot

DMRS PDSCH UL
for w/wo (SRS)
PDSCH PT-RS
GP
BWP

SS/PBCH

PDCCH CSI-RS
with
DMRS

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 SSB PDCCH PDSCH CSI-RS

SSB: 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
Note: v = Cell ID%4.
This aims to stagger
DMRS pilot positions
to avoid interference.

⚫ Within an SS/PBCH block, the PSS/SSS and the PBCH use the same beam transmission mode.
PBCH

To support beam scanning, the PBCH is combined with the PSS/SSS in NR to occupy 4 consecutive symbols in the time
domain and 20 RBs in the frequency domain.
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 SSB PDCCH PDSCH CSI-RS

PSS/SSS: Introduction
PSS: Primary Synchronization Signal
SSS: Secondary Synchronization Signal

⚫ Main functions
– Used by a UE for downlink synchronization, including clock synchronization, frame synchronization, and symbol synchronization.
– Used for obtaining cell IDs.
– Used for signal quality (RSRP/RSRQ/RS-SINR) measurement, initial beam selection, and RRM. In most cases, signal quality is
measured based on SSS.

⚫ Features
– The PSS/SSS sequence length is 127. A PSS/SSS occupies 127 REs in the frequency domain and one symbol in the time domain.
– The UE can obtain the cell ID through the PSS/SSS sequence. NR cell IDs are divided into three groups, with each group containing
(2) (1)
336 cell IDs. 𝑁𝐼𝐷 is obtained from the PSS and 𝑁𝐼𝐷 is obtained from the SSS.

cell (1) (2) (1) (2)

𝑁ID = 3𝑁𝐼𝐷 + 𝑁𝐼𝐷 ; 𝑁𝐼𝐷 ∈ 0,1, … , 355 𝑎𝑛𝑑 𝑁𝐼𝐷 ∈ 0,1,2

The PSS/SSS is used by a UE to perform downlink synchronization, including clock synchronization, frame
synchronization, and symbol synchronization.
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 SSB PDCCH PDSCH CSI-RS

PSS/SSS: Differences Between NR and LTE

⚫ Differences
– There are 1008 cell IDs in NR (numbered from 0 to 1007) while only 504 cell IDs in LTE.
– A PSS/SSS in NR can be flexibly positioned in the frequency domain while must be at the center frequency in LTE. In addition, multiple
PSSs/SSSs can be configured in the frequency domain in NR.
– Subcarrier spacings for the PSS/SSS vary with the operating frequency bands. RAN4 has defined a default subcarrier spacing for each
frequency band.

Flexible SS/PBCH Initial

position BWP

Carrier
center

LTE NR

In NR, the PSS/SSS can be flexibly positioned in the frequency domain to facilitate forward compatibility.
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 SSB PDCCH PDSCH CSI-RS

PBCH: Introduction
⚫ Contents transmitted on the PBCH: Master Information Block (MIB). See 3GPP
TS38.331 6.2.2 for detailed information. PBCH

⚫ Main functions: Obtains necessary information for a UE to access the network.

– System frame number (SFN)
– Subcarrier spacing for the remaining minimum system information (RMSI, also known as
SIB1 that is mandatory during the UE access procedure)
– Deviation between the SS/PBCH RB boundary and the CRB boundary
– PDSCH DMRS symbol position
– Information about the initial BWP where the RMSI is located, such as time-frequency domain
position and bandwidth
– Indication information specifying whether the UE can camp on the cell
– …
Note: MIB has not been determined yet and is subject to changes.
MIBs are transmitted on the PBCH, which are used to obtain the necessary information for UE access, such as the SFN and
RMSI configurations.
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 SSB PDCCH PDSCH CSI-RS

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 <2.4GHz, 2.6G 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

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.
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 SSB PDCCH PDSCH CSI-RS

SS/PBCH: Transmission Mechanism

n = 0, 1, 2, 3, 5, 6, 7, 8, 10, 11, 12, 13, 15, 16, 17, 18

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 SSB PDCCH PDSCH CSI-RS

PDCCH: Introduction
⚫ 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.
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 SSB PDCCH PDSCH CSI-RS

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.

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 SSB PDCCH PDSCH CSI-RS

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
CORESET consists of {1, 2, 3} symbols in the time domain and 𝑁RB RBs in the
frequency domain. The specific number of symbols and RBs are configured by higher layer
parameters. RE

– The REG in the CORESET is numbered from 0 according to the time domain priority. The
REG in the first OFDM symbol with the smallest RB number is numbered 0. CORESET 2

⚫ Search space Search space 2 REG

DMRS

– The UE listens to the PDCCH candidates set in the non-DRX timeslot, and the set is referred
to as the search space of the UE. The PDCCH search space on which the UE performs blind
CCE
detection is associated with a specific CORESET to indicate the period and resource CORESET 1
information of the CORESET.
Search space 1

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 SSB PDCCH PDSCH CSI-RS

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.

Type Common PDCCH Group Common PDCCH UE-specific PDCCH

Function Schedules common messages Indicates the SFI and the PI. Schedules the UE-level data and power control information.
(RMSI/OSI, paging, Msg2/4).
Time domain 1 to 3 symbols
Frequency domain Initial DL BWP (24/48/96 RBs) Active BWP (full bandwidth at most)

CCE aggregation level 4/8/16 1/2/4/8/16

Mapping Time domain preferred interleaving mapping Time domain preferred interleaving mapping/Non-
interleaving mapping
CORESET configuration MIB or RRC configuration RRC signaling configuration RRC signaling configuration and DCI signaling configuration
Blind detection space Common Search Space (CSS) UE-Specific Search Space (USS)
Number of blind detections Total: 44/36/22/20 for 15/30/60/120 kHz (RRC)

PDCCHs fall into: Common PDCCH, Group Common PDCCH, and UE-specific PDCCH.
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 SSB PDCCH PDSCH CSI-RS

PDSCH: Physical Layer Processing

⚫ PDSCH physical layer processing
– Scrambling: Scrambling code IDs are configured on a UE basis by using the higher layer parameter dataScramblingIdentityPDSCH. When this
parameter is not configured, they are the same as cell IDs.
– Modulation: The modulation and coding scheme table is configured on a UE basis by using the higher layer parameter mcs-Table to indicate the highest
order QAM (64QAM or 256QAM).
– Layer mapping: Codewords are mapped onto multiple layers for transmission. Single-codeword is mapped 1 to 4 layers and dual-codeword is mapped
to 5 to 8 layers.
– Precoding/Weighting: Multi-layer data is mapped to each transmit antenna. Weighting can be implemented through SRS reciprocity-based dynamic
rights, feedback-based PMI rights, and open-loop static rights. Only one transmission mode is available, in which weights are transparent to UEs. To be
specific, DMRS and data are processed using the same weighting method.
– Resource mapping: In the DCI, the "Time domain resource assignment" field indicates the starting symbol and the number of consecutive symbols. Two
methods, Type0 and Type1, are available for frequency domain resource assignment. In the DCI, the "Frequency domain resource assignment" field
indicates the method. During resource mapping, positions configured by using the higher layer parameter rate-match-PDSCH-resource-set indicated
by the "Rate matching indicator" field in the DCI are not mapped to any resources.
– Waveform: CP-OFDM waveforms are supported.

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

Different from LTE, NR only uses TS1 for PDSCH transmission. DMRS and data are processed with the same weighting
method. Precoding or BF weighting is transparent to UEs.
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 SSB PDCCH PDSCH CSI-RS

DMRS for PDSCH: Introduction

Slot
k l 0 1 2 3 4 5 6 7 8 9 10 11 12 13
SCn11
⚫ Function: Channel estimation during PDSCH demodulation SCn10
SCn9 FL DMRS
⚫ DMRS category: Different in low-speed and high-speed scenarios SCn8
SCn7
– Front Loaded (FL) DMRS: Occupies 1 to 2 symbols and needs to be configured by SCn6
SCn5 Add DMRS
default. SCn4
SCn3
– Additional (Add) DMRS: Occupies 1 to 3 symbols. Additional DMRS and its symbol SCn2
SCn1
position are configured by using the higher layer parameter UL-DMRS-add-pos in high- SCn0
speed scenarios. 1000/1001/1006/1007
⚫ DMRS type: Different DMRS types allow different maximum numbers of ports. 1000/1001/1004/1005 1002/1003/1008/1009
– Type1: Single-symbol: 4, dual-symbol: 8 1002/1003/1006/1007 1004/1005/1010/1011
– Type2: Single-symbol: 6, dual-symbol: 12 Slot Slot

– The DMRS type is configured using the higher layer parameter DL-DMRS-Config-Type. k l 0 1 2 3 4 5 6 7 8 9 10 11 12 13 k l 0 1 2 3 4 5 6 7 8 9 10 11 12 13

SCn11 SCn11
⚫ DMRS time-frequency mapping position SCn10 SCn10
SCn9 SCn9
– Mapping type A: Staring from the third or fourth symbol in the slot. Specific mapping SCn8 SCn8
positions are indicated by the higher layer parameter UL-DMRS-typeA-pos. SCn7 SCn7
SCn6 SCn6
– Mapping type B: Staring from the first symbol on the scheduled PDSCH. SCn5 SCn5
SCn4 SCn4
SCn3 SCn3
SCn2 SCn2
SCn1 SCn1
SCn0 SCn0

Type1, dual-symbol Type2, dual-symbol

There are two DMRS types. Type1 and Type2 respectively allow 8 ports and 12 ports at most. Additional DMRSs are required
in high-speed scenarios.
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 SSB PDCCH PDSCH CSI-RS

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 20 dB
deterioration
the increase of frequency multiplication times of the reference clock and the

PSD: dBC/Hz
technical 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.
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 SSB PDCCH PDSCH CSI-RS

CSI-RS: Main Functions

⚫ The main functions and types of the CSI-RS are as follows:
Function CSI-RS Type Description
NZP-CSI-RS
(Non-Zero Power CSI-RS) Used for channel state information (CSI) measurement. The UE reports
CSI obtaining the following contents: CQI, PMI, rank indicator (RI), and layer indicator
CSI-IM (LI).
(CSI-RS Interference Measurement)
Used for beam measurement. The UE reports the following contents: L1-
Beam management NZP-CSI-RS
RSRP and CSI-RS resource indicator (CRI).
Time-frequency offset
TRS (Tracking RS) Used for precise time-frequency offset tracing.
tracing
Used for RRM/RLM. The UE reports the following contents: CSI-RSRP,
RRM/RLM NZP-CSI-RS
CSI-RSRQ, and CSI-SINR.

⚫ Design principles and features of the CSI-RS:

– Sparsity: The density of the time and frequency domains is low and the domain resource consumption is low. The maximum
number of ports is 32.
– Sequence generation and cell ID decoupling: The scrambling code ID is configured by higher layer parameters. UCNC is
supported.
– Flexible resource configuration: UE-specific configurations for time-frequency resources are supported.

CSI-RS functions in NR: channel quality measurement, beam management, time-frequency offset tracing, and RRM/RLM
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 SSB PDCCH PDSCH CSI-RS

CSI-RS: Pattern
Row Ports Density CDM Type CDM type indicates the number of ports that can be multiplexed by each colored resource.
1 1 3 No CDM
2 1 1, 0.5 No CDM CSI-IM
3 2 1, 0.5 FD-CDM 2
1 port 12 ports Pattern 0
4 4 1 FD-CDM 2
5 4 1 FD-CDM 2
6 8 1 FD-CDM 2
7 8 1 FD-CDM 2
CDM 4
8 8 1 (FD 2, TD 2)
2 ports 16 ports
9 12 1 FD-CDM 2
CDM 4
10 12 1 (FD 2, TD 2)
11 16 1, 0.5 FD-CDM 2 CSI-IM
12 16 1, 0.5
CDM 4 Pattern 1
(FD 2, TD 2)
13 24 1, 0.5 FD-CDM 2 4 ports 24 ports
CDM 4
14 24 1, 0.5 (FD 2, TD 2)
CDM 8
15 24 1, 0.5 (FD 2, TD 4)
16 32 1, 0.5 FD-CDM 2
CDM 4 32 ports
17 32 1, 0.5
(FD 2, TD 2)
8 ports
CDM 8
18 32 1, 0.5
(FD 2, TD 4)

– The row 1 pattern is used only for TRS.

– The row 2–18 patterns can be used for CSI measurement.
– The CSI-RS used for beam management and RRM measurement can only use patterns of 1 port and 2 ports (row 2–3).

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 Summary: Downlink Channels and Signal
Resource Sharing
⚫ Resource sharing between the PDSCH and other downlink channels and signals
 Other downlink channels and signals include: PDCCH, DMRS for PDSCH, SSB, and CSI-RS. Available RE resources on symbols where they are located can be
used by the PDSCH.
 Purpose: Effectively maximize PDSCH resources, reduce overheads, and improve the efficiency of the NR protocol.

⚫ Method
⚫ By default, all RE/RB resources are mapped to the PDSCH. The RRC+DCI signaling is used to notify the UE of which RE resources are occupied by other
channels and signals. The PDSCH requires rate matching. Because the number of DCI bits is limited, the precision of such resource sharing is constrained.

The PDSCH and other downlink channels and signals can share resources to increase the resources available for the
PDSCH and reduce overheads.
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 Distribution of Time and Frequency Domains of the NR
Uplink Physical Channel
⚫ The following figure shows the time-frequency domain distribution of uplink physical channels and signals. Physical channels and signal design are flexible,
and all resources are schedulable and configurable.
• Long PUCCH: Occupies 4 to 14 symbols in the time domain. The positions of the time and frequency domains and resources are configurable.
• Short PUCCH: Occupies 1 to 2 symbols in the time domain. The positions of the time and frequency domains and resources are configurable.
• DMRS for PUSCH: The time domain position, frequency domain density, and resources are configurable. The DMRS and the PUSCH can share resources in the same
symbol through FDM.
• PRACH: The positions of the time and frequency domains and the resources are configurable.
• SRS: The positions of the time and frequency domains and the bandwidth are configurable.
• PT-RS: Located in the scheduled PUSCH resource. Its frequency-domain density can be configured (with a sparse time-domain density).
Subrame 1 Subrame 2
Slot 2: DL Slot 3: Mixed Slot Slot 4: UL Slot 5: DL

SRS PUSCH
GP
DMRS
for
BWP

PUSCH

Short PUCCH
PRACH

Long PUCCH
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 PRACH PUCCH PUSCH SRS

PRACH: Overview
⚫ After a cell search, the UE establishes a connection with the cell through a random access
procedure and obtains uplink synchronization.
⚫ PRACH: Used to transmit preamble sequences.
The gNodeB measures the preamble to obtain the transmission delay between the gNodeB and the UE, and informs the
UE of the uplink timing information through the timing advance command.

⚫ PRACH resources
– Time domain: Time domain position (system frame, subframe, slot, and symbol), duration, and period.
– Frequency domain: Start RB and the number of occupied RBs.
– Code domain: Preamble sequence (root sequence u and cyclic shift parameter v). Each cell has 64 preamble
sequences, which are generated based on the values of u and v.

⚫ The UE is informed of the PRACH resources in the RMSI (SIB1).

PRACH functions in NR (same as those in LTE): connection to cells and uplink synchronization
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 PRACH PUCCH PUSCH SRS

PRACH Preamble: Basic Format

⚫ The preamble sequence is classified into the long sequence and short sequence according to the preamble sequence lengths.
• The long sequence uses the sequence design in LTE. There are four formats for the long sequence. The maximum cell radius and typical scenarios in
different formats are as follows:

Time Domain
Format Sequence Length Subcarrier Spacing Occupied Bandwidth Maximum Cell Radius Typical Scenarios
Duration
Low speed and high speed,
0 839 1.25 kHz 1.0 ms 1.08 MHz 14.5 km
normal radius
1 839 1.25 kHz 3.0 ms 1.08 MHz 100.1 km Ultra-wide coverage
2 839 1.25 kHz 3.5 ms 1.08 MHz 21.9 km Weak coverage
3 839 5 kHz 1.0 ms 4.32 MHz 14.5 km Ultra-high-speed

• The short sequence is a new format in NR. In 3GPP Release 15, the subcarrier spacing can be {15,30} kHz on the sub-6 GHz band, and can be {16,120}
kHz on the above 6 GHz band.
Time Domain
Format Sequence Length Subcarrier Spacing Occupied Bandwidth Maximum Cell Radius Typical Scenarios
Duration
A1 139 15·2μ (μ = 0/1/2/3) 0.14/2μ ms 2.16·2μ MHz 0.937/2μ km small cell
A2 139 15·2μ 0.29/2μ ms 2.16·2μ MHz 2.109/2μ km Normal cell
A3 139 15·2μ 0.43/2μ ms 2.16·2μ MHz 3.515/2μ km Normal cell
B1 139 15·2μ 0.14/2μ ms 2.16·2μ MHz 0.585/2μ km small cell
B2 139 15·2μ 0.29/2μ ms 2.16·2μ MHz 1.054/2μ km Normal cell
B3 139 15·2μ 0.43/2μ ms 2.16·2μ MHz 1.757/2μ km Normal cell
B4 139 15·2μ 0.86/2μ ms 2.16·2μ MHz 3.867/2μ km Normal cell
C0 139 15·2μ 0.14/2μ ms 2.16·2μ MHz 5.351/2μ km Normal Cell
C2 139 15·2μ 0.43/2μ ms 2.16·2μ MHz 9.297/2μ km Normal Cell

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 PRACH PUCCH PUSCH SRS

PRACH: Frequency Domain Position

⚫ Frequency position (left) and number of occupied PRBs in frequency domain (right)
Sequence Length PRACH SCS PUSCH SCS PRACH PRBs (From the Perspective of PUSCH)
839 1.25 15 6
839 1.25 30 3
839 1.25 60 2
839 5 15 24
839 5 30 12
839 5 60 6
80M 139 15 15 12
Example 139 15 30 6
139 15 60 3
139 30 15 24
139 30 30 12
139 30 60 6
139 60 60 12
139 60 120 6
139 120 60 24
139 120 120 12

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 PRACH PUCCH PUSCH SRS

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

Compared with LTE, NR adds the short PUCCH for fast feedback in short delay scenario.
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 Differences: Long/Short PUCCH
LTE PUCCH NR: Long PUCCH, Short PUCCH
frame

Subframe Subframe Subframe Subframe Subframe Subframe Subframe Subframe Subframe Subframe Short PUCCH duration, 1/2 symbols Long duration PUCCH, 4-14 symbols
#0 #1 #2 #3 #4 #5 #6 #7 #8 #9
1 slot
1 symbol 2 symbol
1 ms RS PUCCH RS
M=1 M=0

PUCCH
M=3 M=2 PUSCH
PDSCH PDSCH
M=5 M=4
D D RS RS RS D D D D RS RS RS D D
Format
1/1a/1b

Format
D D RS RS RS D D D D RS RS RS D SRS
1a/1b截短
PUSCH PUCCH OFDM Number
Description
format symbols of bits
0 1–2 ≤2 Short PUCCH for small UCI payloads
NUL
1 4 – 14 ≤2 Long PUCCH for small UCI payloads
2 1–2 >2 Short PUCCH for large UCI payloads
Format
PRACH D RS D RS D D RS D D D
RS/
ACK
D
2/2a/2b 3 4 – 14 >2 Long PUCCH for large UCI payloads
M=4 M=5
4 4 – 14 >2 Long PUCCH for moderate UCI payloads
M=2 M=3
M=0 M=1
Slot 0 Slot 1

Key points:
Key points: • Support short delay, Short PUCCH is introduced.
• LTE PUCCH is at both ends of the frequency band. • Compared with Short PUCCH, Long PUCCH has better
• The number of PUCCH RBs occupied is related to the coverage performance.
number of UEs and dynamically changes. • Adaptive between F2 and F3 (F3 used for UEs at cell edge).
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 PRACH PUCCH PUSCH SRS

PUSCH: Physical Layer

⚫ Waveform: Unlike PDSCH, PUSCH supports two waveforms.
– CP-OFDM: a multi-carrier waveform (with transform precoding disabled) that supports MU-MIMO.
– DFT-S-OFDM: a single-carrier waveform (with transform precoding enabled) that supports only SU-MIMO and
improves the coverage performance.
– Configured by the higher layer parameter PUSCH-tp (value range: enabled, disabled)
⚫ Physical layer procedures
Codewords Layers Antenna ports
Modulation Resource Element OFDM signal
Scrambling
mapper mapper generation
CP-OFDM Layer
Precoding
mapper
Modulation Resource Element OFDM signal
Scrambling
mapper mapper generation

DFT-S-OFDM
Modulation Transform Resource SC-FDMA
Scrambling
mapper precoder element mapper signal gen.

Waveform Modulation Mode Codeword Number of Layers RB Resource Allocation PAPR Application Scenario
QPSK, 16QAM,
CP-OFDM 1 1–4 Contiguous/non-contiguous High At/near the cell center
64QAM, 256QAM
π /2-BPSK, QPSK, At the cell edge
DFT-S-OFDM 16QAM, 64QAM, 1 1 Contiguous Low (achieving gain by using a
256QAM low PAPR)

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 PRACH PUCCH PUSCH SRS

SRS Design Principles

SRS transmission SRS measurement Specific function
factors quantity requirements
– Definition: Sounding reference signal, also known as
Sequence SINR UL SU-MIMO
uplink sounding signal RANK
PMI
– Main functions: Used for uplink channel quality DL SU/MU-MIMO
Bandwidth
estimation, uplink scheduling, and uplink TA and beam
Channel matrix H
management Period UCNC

– In TDD mode, when the uplink and downlink channels UL Beam

Precoder UL RSRP Management
are reciprocal, the channel symmetry is used to
estimate the downlink channel quality, such as
Hopping
calculating the weight in the downlink SU/MU MIMO. TA UL TA
Antenna

SRS resource allocation design principles

Minimized Maximized
SRS resource overhead SRS capacity
*User-specific exclusive time-frequency *Number of supported UEs transmitting SRSs
resources for SRS transmission when specified measurement performance is met

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 PRACH PUCCH PUSCH SRS

SRS: Overview Physical resource mapping SRS sending

 Sequence  Precoding
Freq. Intra BWP - LTE ZC - Precoded SRS and non-precoded SRS
Hopping  Frequency domain  Port
Max. 4
- Full-band SRS coverage available, 272 - 1, 2, (maximum) 4 ports
SRS Symbol RBs at most  Triggering mode
- Bandwidth is an integer multiple of 4, and - Aperiodic, periodic, and semi-persistent
the minimum is 4 RBs.  SRS sending
- Comb 2/4 - Frequency hopping (FH) within the BWP
 Time domain - Intra-slot inter-symbol repeated sending
BWP
… - 1/2/4 symbols in a slot - 1T2R/1T4R/2T4R
- Last six symbols available
- SRS behind the PUSCH/DMRS in a slot

SRS resource configuration Others

 SRS function  Numerology

- DL/UL CSI acquisition - SRS cannot use other numerology
- Beam management within the BWP.
 Resource allocation  Conflict processing
- SRS resource set, with each set containing - SRS and short PUCCH TDM
Max. 4x Comb
SRS & Short
several Resources. Different groups  Power control
correspond to different functions. - Independent power control and
PUCCH TDM …
- SRS bandwidth is UE-level configuration. independent power headroom report for
Time the SRS
SRS Short PUCCH TDM

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 PRACH PUCCH PUSCH SRS

SRS Transmission
Separate Posrs, αsrs, tpcsrs
can be configured for each
SRS Resource Set. SRS
0 1 2 3 0 1 2 3 power control can be
Data performed independently and
Ants decoupled from the PUSCH.
RFs
SRS SRS
Time 0 Time 1
time
Periodic/semi-persistent SRS Aperiodic dynamic SRS The UE supports SRS antenna
transmission transmission switching to perform transmit
antenna polling and obtain full-
Three triggering types ensure
channel measurement.
higher SRS transmission flexibility
and increase the SRS capacity

SRS Transmission
Three triggering types SRS transmission mode SRS transmit power
◆ Aperiodic SRS ◆ 4 ports at most with each SRS ◆ SRS power configurations vary with
◆ Periodic SRS Resource SRS resource sets.
◆ Semi-persistent SRS ◆ SRS antenna selection: ◆ Independent SRS power control,
1T2R/1T4R/2T4R decoupled from the PUSCH
◆ Precoded SRS and non-precoded SRS
◆ Inter-carrier SRS switching

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 5G vs.4G Physical Channel Difference
LTE is defined all downlink physical channel. The PHICH and PCFICH are removed from the NR.
– The PCFICH is used to indicate the Num of symbols occupied by the
PDCCH and is carried in the MIB.
– The uplink ACK/NACK of the PHICH is carried in the uplink DCI.
– The PUCCH supports Long PUCCH and Short PUCCH.
– Long PUCCH: The time domain occupies 4-14 symbols, and the time-frequency domain location
and used resources are configurable.
– Short PUCCH: The time domain occupies 1-2 symbols, and the time-frequency domain location
and used resources are configurable.
– Other channels are similar.

LTE Physical Channel Function NR Physical Channel

PBCH Broadcast channel PBCH
PCFICH Physical Control Format Indicator Channel Delete

PHICH Physical HARQ Indicator Channel Delete

PDCCH Physical Downlink Control Channel PDCCH (CORESET introduced)
PDSCH Physical Downlink Shared Channel PDSCH
PRACH Physical Random Access Channel PRACH
PUCCH Physical Uplink Control Channel PUCCH (Long/Short PUCCH introduced)
PUSCH Physical Uplink Shared Channel PUSCH

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 5G vs.4G Reference Signal Difference
CRS is the core in LTE The CRS is removed and RS is recombined&enhanced.
– All downlink RSs are bound to Cell-ID. – All RSs except the – The DMRS type, Num of ports, and
– CSI-RS is introduced in R10, but the UE support PSS/SSS/PBCH can be configuration are enhanced.
is weak. decoupled from the Cell-ID. – The CSI-RS Pattern and configuration are
– PSS/SSS can be transmitted with enhanced and used for RRM, CSI acquisition,
narrow beams after beamforming. beam management, and time-frequency
– Control/data channels use DMRS tracking.
for demodulation. – The PT-RS is added to trace the phase noise
at the high frequency band.
LTE RS Function NR RS
SS SS (PSS/SSS)) Coarse Timing/Freq. Tracking SS (PSS/SSS)) SS
Fine Timing/Freq. Tracking CSI-RS(TRS)
CRS Demodulation for PBCH DMRS for PBCH
CRS DMRS
Demodulation for PDCCH DMRS for PDCCH
CRS and DMRS Demodulation for PDSCH DMRS for PDSCH
DMRS
DMRS for PUCCH/PUSCH Demodulation for PUCCH/PUSCH DMRS for PUCCH/PUSCH
CRS RRM CSI-RS, SSB
CSI-RS
CSI-RS CRS, CSI-RS, SRS Channel State Information
SRS CSI-RS, SRS SRS
\ Beam Management (New NR Function)

\ Phase Noise Tracking (new NR function) PT-RS PT-RS

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 5G vs.4G spatial domain difference
Project LTE NR Description
1 or 2:
1 or 2
CodeWords - 1-4 layer: One codeword; Same
(2 if > 2 layer)
- 5-8 layer: Two code words

DL: SU supports maximum 8 layers, and MU

supports maximum of 4 layers for a signal user The number of layers
Layer 2/4
UL: SU/MU supports maximum 4 layers for a increases.
single user

PUSCH with The maximum Num

Max 4 PUSCH with DMRS 8 or 12
DMRS ports is increased to 12.
PUCCH 1 PUCCH 1
Space
domain PRACH 1 PRACH 1
SRS 4 SRS 4

Antenna Max 4
PDSCH with ⚫ TM7 single-stream beamforming uses {5} The maximum Num
Ports PDSCH with DMRS 8 or 12
DMRS ⚫ TM8 dual-stream beamforming uses {7,8} ports is increased to 12.
⚫ TM9 uses {7-14}

PDCCH 1 PDCCH 1
CRS 1/2/4, {0,1,2,3} Cancel

MBSFN 1, {4} Cancel

CSI-RS 8 CSI-RS 32 Enhanced to 32 ports

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The information in this document may contain predictive statements including, without limitation, statements regarding the future financial
and operating results, future product portfolio, new technology, etc. There are a number of factors that could cause actual results and
developments to differ materially from those expressed or implied in the predictive statements. Therefore, such information is provided for
reference purpose only and constitutes neither an offer nor an acceptance. Huawei may change the information at any time without notice.