5G Air Interface

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5G Starts from 3GPP Release 15
5G New Radio
Rel-15 Rel-16
Rel-12 Rel-13 Rel-14 Rel-15 Rel-16
5G includes:
• New Radio • Next-generation core network
• LTE Advanced Pro evolution • EPC evolution
Copyright©2018 Huawei Technologies Co., Ltd. All Rights Reserved. 2 / 52

Key Performance Comparison Between 4G and 5G
Number of
Throughput Delay
connections
100 Mbit/s 30-50 ms 10K

LTE
GAP
100x 30x - 50x 100x
5G 1 ms 1 million
10 Gbit/s connections/km2

New Air Interface Technologies
Massive MIMO
Full duplex
(Spatial multiplexing)
(Full-duplex mode) Increases the throughput.
Increases the
throughput.
Air
interface
Mobile
Adaptive IoT
Internet
SCMA Polar code

(Multiple access) (Channel coding)
Increases the number of connections. Improves reliability and
F-OFDM reduces power consumption.
(Flexible waveform)
Flexibly meets different service
requirements.

F-OFDM: Adaptive Waveform for Air Interface
4G
4G (OFDM): fixed
OFDM resource allocation subcarrier bandwidth of
15 kHz.
5G (F-OFDM): Subcarrier
bandwidth can flexibly
adapt to the packet sizes
5G of different QoE
applications.
F-OFDM resource allocation
OFDM F-OFDM
Fixed subcarrier spacing (SCS) Flexible SCS
Service adaptation
Fixed cyclic prefix (CP) Flexible CP
Minimum guard bandwidth
High spectral efficiency 10% of guard bandwidth
of one subcarrier

Contents
5G NR Physical Resource
5G NR Channels and Signals on

18B Application
3GPP Protocol Architecture for 5G

1 5G Numerology
2 Time-Domain Resources
3 Frequency-Domain Resources
4 Space-Domain Resources

NR Air Interface Resources Overview
5G Numerology: refers to SubCarrier Spacing (SCS) and related parameters such as the symbol length and
CP length of the NR system
Time- CP
domain Basic scheduling unit
5G Numerology
Symbol length Slot Subframe Frame

1 slot = 14 symbols 1 subframe = 1ms 1 frame = 10ms = 10 subframes
SCS determines
the symbol length. 1 RB = 12 subcarriers 1 RBG = 2 to 16 RBs 1 BWP = Multiple RB(G)s ≥ 1 BWPs
SCS RB RBG BWP Carrier
Frequency- Data/control channel scheduling unit

domain
REG CCE
1 REG = 1 PRB 1 CCE = 6 REGs
Space-domain Codeword Layer Antenna port Unchanged
NR Vs. LTE Enhanced

QCL Newly added

Basic Concepts of Frequency-Domain Resources
One subframe
 Resource Grid (RG)

– Resource group at the physical layer to define bandwidth ,
subframe
Nsymb OFDM symbols
– max, RB
Frequency domain: available RB resources within the transmission bandwidth k  NRB,
x Nsc 1
 Resource Element (RE)
– Smallest unit of physical-layer resources
– Time domain: 1 symbol, frequency domain: 1 subcarrier
 Resource Block (RB)
N sc subcarriers
N scRB subcarriers
– Basic scheduling unit for data channel
– Frequency domain: 12 contiguous subcarriers
 RB
 Resource Block Group (RBG)
Resource element
N RB
– Basic scheduling unit for data channel, to reduce control channel overheads
(k , l )
Resource block
– Frequency domain: {2, 4, 8, 16} RBs
 Resource Element Group (REG)
– Basic unit involved in control channel resource allocation
– Time domain: 1 symbol, frequency domain: 12 subcarriers (1 PRB)
 Control Channel Element (CCE)
– Basic scheduling unit involved in control channel resource allocation
– Frequency domain: 1 CCE = 6 REGs = 6 PRBs k 0
– CCE aggregation level: 1, 2, 4, 8, 16
l  0 l  14  2   1

SCS
• Numerologies supported by 3GPP Release 15 (TS 38.211) • 3GPP TS 38.104 (RAN4) defines SCS for different frequency bands.
 SCS for bands below 1GHz: 15 kHz, 30 kHz
µ SCS CP
 SCS for bands btw 1GHz and 6GHz: 15 kHz, 30 kHz, 60 kHz
0 15 kHz Normal
 SCS for band 24GHz to 52.6GHz: 60 kHz, 120 kHz
1 30 kHz Normal
 In Release 15, 240 kHz for data is not considered.
2 60 kHz Normal, extended
3 120 kHz Normal
• Recommended SCS for different frequency bands (eMBB services):
4 240 kHz Normal
SCS (kHz) 15 30 60 120 240
good bad
Coverage
• Application scenarios: bad good
3.5 GHz Mobility
bad good
Scalable Numerology Latency
Flexibility Example
good bad
Case 1 Different spectrum Sub-6 GHz, mmWave Coverage
bad good
Case 2 Multiple services eMBB, URLLC, mMTC Mobility
28 GHz bad good
Case 3 Multiple scenarios Low/high Speed Phase Noise
bad good
Latency

1 Numerology
2 Time-Domain Resources: CP, Symbol, Slot, Frame Structure

Time Units for the Physical Layer
 Time units for the NR system: Ts and Tc  Frame and subframe length: Tf and Tsf
– Tc = 0.509 ns: sampling interval for the SCS of 480 kHz – Tf = 10 ms (frame length)
– Ts = 32.552 ns: sampling interval for the SCS of 15 kHz
– Tsf = 1 ms (subframe length)
– K = 64: auxiliary parameter

Cyclic Prefix (CP)
 CP function:
– To eliminate inter-channel interference (ICI) caused by multipath  CP length for different SCS values:
propagation.
Symbol Period T(s) 512  2   extended cyclic prefix
Attitude  
Symbol N Symbol N+1 N CP ,l  144  2    16 normal cyclic prefix, l  0 or l  7  2 
Cyclic Prefix
Bit Period T(b) 144  2   normal cyclic prefix, l  0 and l  7  2 

One OFDM symbol

T(g)
Tcp  Ncp  Tc
Symbol Period T(s)
time
 NR CP design principle: Parameter SCS CP

µ (kHz) (µs)
– Same overhead as that in LTE, ensuring aligned symbols btw different
SCS values and the reference numerology (15 kHz). 0 15 TCP: 5.2 µs for l = 0 or 7; 4.69 µs for others
1 30 TCP: 2.86 µs for l = 0 or 14; 2.34 µs for others
TCP: 1.69 µs for l = 0 or 28; 1.17 µs for others

2 60
Extended TCP: 4.17 µs

Relationship btw SCS and Symbol Length
 SCS and Symbol length/ CP length /Slot length
SCS = 15 kHz
T_slot = 1ms (14 symbols)
CP data …
Parameter/Numerology (µ) 0 1 2 3 4
T_symbol
SCS (kHz):
15 30 60 120 240
SCS = 15 x 2^(µ)
T_slot = 0.5ms (14 symbols)
SCS = 30 kHz
OFDM symbol for data duration (us):
66.67 33.33 16.67 8.33 4.17
T_data = 1/SCS
…
CP Duration (µs):
4.69 2.34 1.17 0.59 0.29
T_cp = 144/2048*T_data T_symbol
OFDM symbol duration(µs):

71.35 35.68 17.84 8.92 4.46 T_slot = 0.125 ms (14 symbols)
T_symbol = T_data + T_cp
SCS = 60 kHz
Slot Length (ms):
1 0.5 0.25 0.125 0.0625
T_slot = 1/2^(µ)
…
T_symbol

Frame Structure Architecture
 Frame length: 10ms  Frame structure architecture:
– SFN range: 0 to 1023 – Example: SCS = 30 kHz/120 kHz
 Subframe length: 1ms
– Subframe index per system frame: 0 to 9
 Slot length: 14 symbols
Slot Configuration (Normal CP)

SCS
(kHz) Number of Number of Number of Slots
Symbols/Slot Slots/Subframe /Frame
15 14 1 10
30 14 2 20
60 14 4 40
120 14 8 80
240 14 16 160
480 14 32 320
Slot Configuration (Extended CP)

60 12 4 40

Slot Format and Type
 Slot structure (section 4.3.2 in 3GPP TS 38.211)
– Downlink, denoted as D, for downlink transmission
– Flexible, denoted as X, for flexibly usage.
– Uplink, denoted as U, for uplink transmission
 Main slot types

– Type 1: DL-only slot – Type 2: UL-only slot – Type 3: flexible-only slot
D U X
– Type 4: mixed slot
D X X U D X U D X U D X U D X U
Type4-1 Type4-2 Type4-3 Type4-4 Type4-5
 Compared with LTE slot format, NR features:

– Flexibility: symbol-level uplink/downlink adaptation in NR while subframe-level in LTE
– Diversity: More kinds of uplink/downlink configurations are supported in NR to cope with more scenarios and service types.

Self-contained Slots
 The self-contained type is not defined in 3GPP  Self-contained design objectives
specifications. – Faster downlink HARQ feedback and uplink data scheduling:
 The “self-contained” discussed in the industry and reduced RTT
literature are featured as: – Shorter SRS transmission period: to cope with fast channel
– One slot contains uplink part, downlink part, and GP. changes for improved MIMO performance
– Downlink self-contained slot includes downlink data and
 Problems in application
corresponding HARQ feedback.
– The small GP limits cell coverage.
UL control or SRS
Air interface round-trip delay Downlink data processing time:
Part of the GP needs to be reserved for
D U
D U demodulating downlink data and
generating ACK/NACK feedback.
ACK/NACK
– Uplink self-contained slot includes uplink scheduling – High requirements on UE hardware processing
information and uplink data.
– Frequent uplink/downlink switching increases the GP overhead.
DL control – In the downlink, only the retransmission delay is reduced.
• E2E delay depends on many factors, including the core network and air
D U interface.
• The delay on the air interface side is also limited by the uplink/downlink
UL grant frame configuration, and the processing delay on the gNodeB and UE.

UL/DL Slot Configuration
 Hierarchical configuration
 Configuration (section 11.1 in 3GPP TS 38.213)
1. Cell-specific RRC configuration
– Layer 1: semi-static configuration through cell-specific RRC signaling
– Layer 2: semi-static configuration through UE-specific RRC signaling D D D

X D
X D
X X D
X D
X D
X U
D
2. UE-specific RRC configuration

– Layer 3: dynamic configuration through UE-group SFI
– Layer 4: dynamic configuration through UE-specific DCI D D D D X

D X X
D X
D U
D U
D
3. SFI
D D D D D D D D DX U
D U
D
4. DCI
 Main characteristics: hierarchical configuration or D D D D D D D D U

D U
D
separate configuration of each layer

– Different from LTE, the NR system supports UE-specific  Separate layer configuration
configuration, which delivers high flexibility and high resource Cell-specific RRC configuration/SFI
utilization
D D D D D D D D U
D U
D
– Support for symbol-level dynamic TDD

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

D D D D U
D D D D U
D U
D
downlink-only slots
– {0,1,…,13} y1 y3
x1 x3
– y2/y4: number of uplink symbols in X type in front of y2 y4
uplink-only slots x2 x4
– {0,1,…,13}

UE Group Dynamic Configuration Through SFI
• Slot Format Indicator (SFI) is transmitted in the group-common PDCCH.
-- SFI is identified by indexes in the following table (reference: Table 4.3.2-3 in 3GPP TS 38.211).
1 2 3 4 5 6 7 8 9 10 11 12 13 14 1 2 3 4 5 6 7 8 9 10 11 12 13 14 1 2 3 4 5 6 7 8 9 10 11 12 13 14
0 D D D D D D D D D D D D D D 20 D D X X X X X X X X X X X U 40 D X X X U U U U U U U U U U
1 U U U U U U U U U U U U U U 21 D D D X X X X X X X X X X U 41 D D X X X U U U U U U U U U
2 X X X X X X X X X X X X X X 22 D X X X X X X X X X X X U U 42 D D D X X X U U U U U U U U
3 D D D D D D D D D D D D D X 23 D D X X X X X X X X X X U U 43 D D D D D D D D D X X X X U
4 D D D D D D D D D D D D X X 24 D D D X X X X X X X X X U U 44 D D D D D D X X X X X X U U
5 D D D D D D D D D D D X X X 25 D X X X X X X X X X X U U U 45 D D D D D D X X U U U U U U
6 D D D D D D D D D D X X X X 26 D D X X X X X X X X X U U U 46 D D D D D X U D D D D D X U
7 D D D D D D D D D X X X X X 27 D D D X X X X X X X X U U U 47 D D X U U U U D D X U U U U
8 X X X X X X X X X X X X X U 28 D D D D D D D D D D D D X U 48 D X U U U U U D X U U U U U
9 X X X X X X X X X X X X U U 29 D D D D D D D D D D D X X U 49 D D D D X X U D D D D X X U
10 X U U U U U U U U U U U U U 30 D D D D D D D D D D X X X U 50 D D X X U U U D D X X U U U
11 X X U U U U U U U U U U U U 31 D D D D D D D D D D D X U U 51 D X X U U U U D X X U U U U
12 X X X U U U U U U U U U U U 32 D D D D D D D D D D X X U U 52 D X X X X X U D X X X X X U
13 X X X X U U U U U U U U U U 33 D D D D D D D D D X X X U U 53 D D X X X X U D D X X X X U
14 X X X X X U U U U U U U U U 34 D X U U U U U U U U U U U U 54 X X X X X X X D D D D D D D
15 X X X X X X U U U U U U U U 35 D D X U U U U U U U U U U U 55 D D X X X U U D D D D D D D
16 D X X X X X X X X X X X X X 36 D D D X U U U U U U U U U U
17 D D X X X X X X X X X X X X 37 D X X U U U U U U U U U U U 56
Reserved
18 D D D X X X X X X X X X X X 38 D D X X U U U U U U U U U U -255
19 D X X X X X X X X X X X X U 39 D D D X X U U U U U U U U U

1 Numerology
3 Frequency-Domain Resources: RB, RBG, REG, CCE, BWP

3GPP-defined 5G Frequency Ranges and Bands
450 MHz 6000 MHz 24.25 GHz 52.6 GHz
Frequency
range Frequency Range 1 (FR1) Frequency Range 2 (FR2)
 Frequency range (MHz)

 3GPP TS 38.101-2 defines 2 NR frequency ranges: FR1 and
FR2. FR1 is often called sub-6 GHz while FR2 is often
referred to as millimeter wave.
 5G frequency band
 3GPP TS 38.101 mainly defines NR frequency bands.
 NR and LTE have some frequency bands in same but the
frequencies are represented in different ways.
Source: 3GPP TS 38.101

Basic Concepts of Frequency-Domain Resources
One subframe
 Resource Grid (RG)

– Resource group at the physical layer to define bandwidth
,
subframe
Nsymb OFDM symbols
– Frequency domain: available RB resources within the transmission bandwidth max, RB
k  NRB,
x Nsc 1
 Resource Element (RE)
– Smallest unit of physical-layer resources
– Time domain: 1 symbol, frequency domain: 1 subcarrier
 Resource Block (RB)
N sc subcarriers
N scRB subcarriers
– Basic scheduling unit for data channel
– Frequency domain: 12 contiguous subcarriers
 Resource Block Group (RBG)
 RB
Resource element
N RB
– Basic scheduling unit for data channel, to reduce control channel overheads
– Frequency domain: {2, 4, 8, 16} RBs (k , l )
Resource block
 Resource Element Group (REG)
– Basic unit involved in control channel resource allocation
– Time domain: 1 symbol, frequency domain: 12 subcarriers (1 PRB)
 Control Channel Element (CCE)
– Basic scheduling unit involved in control channel resource allocation
– Frequency domain: 1 CCE = 6 REGs = 6 PRBs k 0
– CCE aggregation level: 1, 2, 4, 8, 16 l  0 l  14  2   1

Transmission Bandwidth and Spectrum Utilization
 Transmission bandwidth varies with RG and SCS.
– Maximum transmission bandwidth on the gNodeB side (Table 5.3.2-1 and 5.3.2-2 in 3GPP TS 38.104)
30 70 90
SCS 5 MHz 10 MHz 15 MHz 20 MHz 25 MHz 40 MHz 50 MHz 60 MHz 80 MHz 100 MHz
MHz MHz MHz
(kHz)
NRB and Spectrum Utilization (FR1: 400 MHz to 6000 MHz)
25 52 79 [160] 106 133 216 270 - - - - -
15
90% 93.6% 94.8% 95.4% 95.8% 97.2% 97.2% \ \ \ \ \
11 24 38 [78] 51 65 106 133 162 [189] 217 [245] 273
30
79.2% 86.4% 91.2% 91.8% 93.6% 95.4% 95.8% 97.2% 97.7% 98.3%
- 11 18 [38] 24 31 51 65 79 [93] 107 [121] 135
60
79.2% 86.4% 86.4% 893% 91.8% 93.6% 94.8% 93.6% 97.2%
Channel Bandwidth [MHz]
SCS 50 MHz 100 MHz 200 MHz 400 MHz
Transmission Bandwidth Configuration NRB [RB]
(kHz) NRB and Spectrum Utilization (FR2: 24 GHz to 52 GHz)
Channel Edge
Channel Edge
Transmission
Bandwidth [RB]
66 132 264 N/A
60
Resource Block
95% 95% 95% \
32 66 132 264
120 f
92.2% 95% 95% 95% Active Resource
Blocks
Guardband, can be asymmetric
– Maximum transmission bandwidth on the UE side (3GPP TS 38.101-1 and TS 38.101-2).

 The number of RBs in the 30 MHz bandwidth is to be determined.
 The 70 MHz and 90 MHz bandwidths are not supported.
 Other values are the same as those on the gNodeB side.

RB Location Index and Indication
Reference
Location 0 CRB Index in RG
 The BWP is introduced in the NR system, which Offset 0 PRB Index in BWP
causes differences in the RB location index and RG
indication from LTE.
 Related concepts (section 4.4 of 3GPP TS 38.211) 0 1 2 3 … 0 1 2 3 … Freq.
– RG.
Point A BWP
– BWP: new concept introduced. It refers to some RBs in the
transmission bandwidth and is configured by the gNodeB.
– Point A: basic reference point of the RG
– Defined for the uplink, downlink, PCell, SCell, and SUL Point A Reference Location Offset
separately PCell DL UEs perform blind detection to obtain this
– Point A = Reference Location + Offset (TDD/FDD) information from SSB.
– For details about the reference location and offset for different UEs are informed of this
PCell UL (TDD) Same as Point A for the PCell downlink
reference points, see the figure on the right. information through the
Frequency-domain location of the ARFCN RMSI.
– Common RB (CRB): index in the RG PCell UL (FDD) UEs are informed of this information
– The start point is aligned with Point A. through the RMSI (SIB1).
– Physical RB (PRB): index in the BWP SCell DL/UL Frequency-domain location of the ARFCN UEs are informed of this
– The start point is aligned with the BWP start point. UEs are informed of this information information through RRC
SUL through the SCell configuration message. signaling.
– The relationship between PRB and CRB is as follows:
nCRB  nPRB  N BWP,

start
i

BWP Definition and Application Scenarios
 Definition and characteristics
– The BWP is a new concept introduced in the NR system. It is a set of contiguous bandwidth resources allocated by the gNodeB to UEs.
Its configuration is mandatory for 5G service access.
– It is a UE-level concept (BWP configurations vary with UEs). All channel resources allocated to UEs or to be scheduled are within the
BWP range.
 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 #3
BWP Numerology Numerology 2
1
BWP 2 BWP1 BWP 2
BWP Bandwidth
Carrier Bandwidth Carrier Bandwidth Carrier Bandwidth

BWP Types
• Initial BWP: used in the initial access phase
• Dedicated BWP: configured for UEs in RRC_CONNECTED mode.
-- According to 3GPP specifications, a maximum of 4 dedicated BWPs can be configured for a UE.
• Active BWP: one of the dedicated BWPs activated by a UE in RRC_CONNECTED mode.
-- According to 3GPP specifications, a UE in RRC_CONNECTED mode can activate only 1 dedicated BWP at a given time.
• Default BWP: one of the dedicated BWPs used by the UE in RRC_CONNECTED mode after the BWP inactivity timer expires.
Random Access Procedure RRC Connected Procedure

PDCCH indicating downlink assignment
Default
Default UE2 BWP inactivity
timer
UE1 UE2
UE1 UE2 Dedicated Dedicated UE2 switches to the default
BWPs BWPs BWP.
Active
Active
Switch
Initial BWP
default
Carrier Bandwidth
UE1 Active BWP UE2 Active BWP UE1 Active BWP UE2 Active BWP
Carrier Bandwidth Carrier Bandwidth

NR-ARFCN Calculation
• The relation between the NR-ARFCN NREF and the RF reference frequency FREF in MHz for the downlink and uplink
is given by the following equation:
FREF = FREF-Offs + ΔFraster (NREF – NREF-Offs)

where FREF-Offs and NRef-Offs are given in below (Table 5.4.2.1-1 in 3GPP TS 38.104), and ΔFGlobal could be used as ΔFraster
Frequency range ΔFGlobal FREF-Offs [MHz] NREF-Offs Range of NREF
0 – 3000 MHz 5 kHz 0 MHz 0 0 – 599999
3000 – 24250 MHz 15 kHz 3000 MHz 600000 600000 – 2016666
24250 – 100000 MHz 60 kHz 24250 MHz 2016667 2016667 – 3279167
• ΔFRaster is the channel raster granularity, which may be equal to or larger than ΔFGlobal.
-- The channel raster for each operating band is recommended as below (Section 4.3.1.3 in TR38.817-01)
FR1 FR2
Bands
Sub2.4G 2.6G~6G 24.25G~52.6G
Channel raster 100kHz 15kHz 60kHz

1 Numerology
4 Space-Domain Resources: Layer, Antenna Port, QCL

Codeword and Antenna Ports
 Basic concepts  Protocol-defined number of codewords
– Codeword – 1 to 4 layers: 1 codeword
– Upper-layer service data on which channel coding applies. – 5 to 8 layers: 2 codewords
– Codewords uniquely identify data flow. By transmitting different  Protocol-defined maximum number of layers
data, MIMO implements spatial multiplexing.
– For DL/User: 8@SU; 4@MU
– The number of codewords depends on the rank of the channel
matrix. – For UL/User: 4@SU or MU
– Layer  Protocol-defined number of antenna ports
– Used to define mapping relationship btw codewords and transmit
antenna. Channel/Signal Maximum Number of Ports
– Antenna port PUSCH with DMRS 8 or 12
– Antennas ports are defined based on reference signals. PUCCH 1
UL
PRACH 1
Codewords Layers Antenna ports
Modulation OFDM signal
SRS 4
Scrambling Antenna RE mapper
mapper generation
Layer
Port PDSCH with DMRS 8 or 12
Modulation mapper
mapper OFDM signal
Scrambling
mapper RE mapper PDCCH 1
generation DL
CSI-RS 32
Number of codewords ≤ Number of layers ≤ Number of antenna ports SSB 1

Quasi-Colocation (QCL)
 Definition:  QCL configuration
– Two antenna ports are quasi co-located if the properties of the – The QCL linkage between RSs is configured through
channel over which a symbol on one antenna port is conveyed high-layer signaling.
can be inferred from the channel over which a symbol on the
QCL type
other antenna port is conveyed. Source RS Target RS
– The channel properties include delay spread, Doppler spread,
Doppler shift, average gain, average delay (existing in the LTE), – QCL linkage before RRC:
and spatial Rx parameter (added in NR).
PDSCH DMRS
SSB
 Type PDCCH DMRS
– QCL-TypeA: {Doppler shift, Doppler spread, average delay,

– QCL linkage after RRC:
delay spread}
– QCL-TypeB: {Doppler shift, Doppler spread} Type A+Type D
– QCL-TypeC: {average delay, Doppler shift}

Type C, Type C+Type D
– QCL-TypeD: {Spatial Rx parameter} Type A PDSCH DMRS
SSB TRS
 Application scenarios PDCCH DMRS
– RRM management: such as type C Type A/Type B
– Obtaining channel evaluation information: such as type A, and Type D
type B Type A+Type D
CSI-RS for CSI
– Assisting UEs in beamforming (forming a spatial filter and beam Type C+Type D Type D
CSI-RS for BM
indication): such as type D

Contents
5G NR Channels and Signals

on 18B Application

5G NR Channels and
Signals on 18B Application
1 Overview
2 Application on 18B

NR Physical Channels and Signals Overview
Downlink Physical Channel/Signal Functions
Downlink Uplink SS Used for time-frequency synchronization and cell search.
PBCH Carries system information to be broadcast.
Physical Physical Physical Physical Transmits control signaling, such as signaling for uplink and downlink scheduling
Channel Signal Channel Signal PDCCH and power control.
PDSCH Carries downlink user data.

PBCH PSS/SSS PRACH DMRS DMRS Used for downlink data demodulation and time-frequency synchronization.
PTRS Tracks and compensates downlink phase noise.
Used for downlink channel measurement, beam management, RRM/RLM
CSI-RS measurement, and refined time-frequency tracking.
PDCCH DMRS PUCCH PTRS
Uplink Physical Channel/Signal Function

PDSCH PTRS PUSCH SRS PRACH Carries random access request information.
Transmits L1/L2 control signaling, such as signaling for HARQ feedback, CQI
PUCCH feedback, and scheduling request indicator.
CSI-RS PUSCH Carries uplink user data.

DMRS Used for uplink data demodulation and time-frequency synchronization.
PTRS Tracks and compensates uplink phase noise.
Used for uplink channel measurement, time-frequency synchronization, and beam
SRS management.

Application of NR Physical Channels
 Physical channels involved in cell search gNodeB
Preamble Msg3
(PRACH) (PUSCH)
– PSS/SSS -> PBCH -> PDCCH -> PDSCH RMSI ... RAR Msg4
PSS/SSS MIB (PDCCH, (PDCCH, (PDCCH,
(PBCH) PDSCH) PDSCH) PDSCH)
UE
HARQ excluded from HARQ included
 Physical channels involved in random access RAR in Msg4
– PRACH -> PDCCH -> PDSCH -> PUSCH
Cell search Random access
 Physical channels involved in downlink data gNodeB

CSI ACK/NACK
(PUCCH/ (PUCCH/
transmission ... PUSCH) Data PUSCH) Data ...(PDCCH,
Paging
CSI-RS (PDCCH, (PDCCH,
– PDCCH -> PDSCH -> PUCCH/PUSCH PDSCH) PDSCH) PDSCH)
UE
Downlink data transmission
 Physical channels involved in uplink data
transmission gNodeB
SRS SR BSR/Data BSR/Data
(PUCCH) (PUSCH) (PUSCH)
– PUCCH -> PDCCH -> PUSCH -> PDCCH ... UL Grant ACK/NACK
(PDCCH) (PDCCH)
UE
Uplink data transmission

Time-Frequency Domain Distribution
 Schedulable and configurable resources through flexible physical channel and signal design.
PDCCH DMRS for PDSCH PDSCH SSB CSI-RS GP UL (SRS) PUSCH PUCCH DMRS for PUSCH PRACH
BWP

5G NR Channels and
Signals on 18B Application
1 Overview
2 Application on 18B Application

The Basic Functions of NR Air Interface
• Channel Mapping and Comparison with 4G
 Information Broadcast Paging User control plane User data plane

Function information Information information information
 Logical BCCH PCCH DCCH DTCH Content is

Channel CCCH classified
 Transport DL/UL Transmission

BCH PCH
Channel SCH rule is defined
 Physical PBCH SSB Physical

PDCCH&PDSCH/
Channel SS resource is
PUCCH&PUSCH/PRACH
specified

Physical Resource Definition
Frequency domain
Time Domain
Frame Concept Explanation

SCS 15/30/60/120k
RB 1RB = 12 SCs
SubFrame SubFrame …… SubFrame RBG 1 RBG = 2/4/8/16 RBs

RG (Grid) Cell bandwidth, 273 RB@100M with
30kHz SCS
1,2,4,8 Point A Basic reference point for positioning RB in
Slot Slot …… Slot RG
UL/DL/Self-Contain:
1:3:1 CRB Index in RG (based on Point A）
14x BWP The part of UE working bandwidth in RG
Sym Sym Sym Sym
bol bol bol
…… bol D/X/U in self-contain: offset Relation btw CRB and PRB
10:2:2
PRB Index in BWP
CORESET the physical resource for PDCCH

Initial BWP and CORESET
 Initial DL BWP configuration
– The initial BWP equals the frequency-domain location and bandwidth of RMSI CORESET.
– The frequency-domain location of the initial BWP is determined by the SSB location and the bandwidth of RMSI
CORESET, and is sent to UEs through the MIB and SIB1.
Frequency
The frequency offset is defined as the
CORESET
PDSCH
frequency difference from the lowest
SSB
Initial DL BWP PRB of RMSI to the lowest PRB of
SS/PBCH block.
Frequency offset
Time
 Procedure for UEs to determine the downlink initial BWP

UEs obtain the SSB UEs read SI to obtain the The frequency-domain location UEs obtain information about
frequency-domain location frequency offset and and bandwidth of RMSI the frequency-domain location
through SI (MIB). CORESET bandwidth. CORESET are determined. and bandwidth of the initial BWP.

PSS/SSS: Introduction
 Main functions  Differences with LTE
– Used by a UE for downlink synchronization, – SS in NR can be flexibly configured in any position on the
– Used for obtaining cell IDs. carrier and do not need to be positioned at the center
frequency.
 Resource allocation
– Subcarrier spacings for the PSS/SSS vary with operating
– A SS occupies 1 symbol in the time domain and 127 REs in the
frequency bands and are specified by 3GPP.
frequency domain.
Initial BWP
Flexible SS/PBCH
position
Carrier
center
PSS SSS
 Different from LTE with 504 PCIs,

NR physical cell IDs are numbered
from 0 to 1007 and divided into 3
groups, with each group containing
336 cell IDs.

Transmission of SSB
• The PSS/SSS and the PBCH are combined as an SSB block in 5G to allow for massive MIMO.
 SSB configuration varies with SCS  SSB transmission in 18B

-- Broadcast information is scheduled every 80ms
-- SSB block position within the slot
-- PBCH is transmitted every 20ms with 8 beams each time
Beam 0 Beam 1 … Beam 7

-- Slot numbers for SSB blocks with different
subcarrier spacings and different beams
…
 To fasten UL sync. in larger bandwith in NR, sync. rasters

with 900 kHz, 1.44 MHz, and 17.28 MHz are defined.

PDCCH&PDSCH Working Mechanism
 RNTIs used by DCIs
1 slot
– P-RNTI (paging message)
CCE: User scheduling granularity – SI-RNTI (system message)
1 CCE = 6 REG = 1 RB – RA-RNTI (RAR)
– Temporary C-RNTI (Msg3/Msg4)
– C-RNTI (UE uplink and downlink
 CCE allocation (aggregation level)
According to different encoding rates, a gNodeB can data)
1 RB
aggregate 1, 2, 4, 8, or 16 CCEs to constitute a PDCCH –
PDCCH
SFI-RNTI (slot format)
for UE blind detection PDSCH – INT-RNTI (resource pre-emption)
8 CCEs – TPC-PUSCH-RNTI (PUSCH
power control command)
4 CCEs
– TPC-PUCCH-RNTI (PUCCH
2 CCEs
power control command)
– TPC-SRS-RNTI (SRS power
1 CCE control command)
CCE 0 1 2 3 4 5 6 7
 18B supports maximum 2 layers spatial multiplexing of PDCCH

DMRS for PDSCH Introduction
Slot
 DMRS category: Different in low-speed and high-speed k l 0 1 2 3 4 5 6 7 8 9 10 11 12 13
SCn11
scenarios SCn10
SCn9 FL DMRS
SCn8
– Front Loaded (FL) DMRS: Occupies 1 to 2 symbols SCn7
SCn6
Add DMRS
– Additional (Add) DMRS: Occupies 1 to 3 symbols, used in high-speed SCn5
SCn4
SCn3
scenarios for anti- Doppler spread. SCn2
SCn1
 DMRS type: Different DMRS types allow different maximum SCn0

1000/1001/1006/1007
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
Slot
– Type2: Single-symbol: 6, dual-symbol: 12 Slot
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
 DMRS time-frequency mapping position SCn11

SCn10
SCn11
SCn10
SCn9 SCn9
– Mapping type A: Staring from the 3rd or 4th symbol in the slot. SCn8 SCn8
SCn7 SCn7
– Mapping type B: Staring from the 1st symbol on the scheduled SCn6 SCn6
SCn5 SCn5
PDSCH. SCn4 SCn4
SCn3 SCn3
SCn2 SCn2
SCn1 SCn1
SCn0 SCn0
Type1, dual-symbol Type2, dual-symbol

CSI-RS: Main Functions
 The main functions and types of the CSI-RS are as follows:
Function Description
Used for channel state information (CSI) measurement. The UE reports the following content:
CSI obtaining
CQI, PMI, rank indicator (RI), layer Indicator (LI)
Channel quality Used for beam measurement. The UE reports the following content:
Beam management
measurement L1-RSRP and CSI-RS resource indicator (CRI)
RLM/RRM Used for radio link monitoring (RLM) and radio resource management (handover). The UE
measurement reports the following content: L1-RSRP
Time-frequency offset tracing (TRS) Used for precise time-frequency offset tracing.
 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: 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 can only use patterns of 1 port and 2 ports (row 2–3).
18B DL User Peak Throughput@3.5GHz 100MHz TDD
• DL Peak throughput =
• Effective REs per DL slot × Bits for modulation order × Coding rate × Layers/ Slot length (s) × DL ratio × (1-BLER)
DL effective RE ratio calculation Overhead Estimation (average to per DL slot)

Total RB number 273 For sync and MIB and beam
SS Block
sweeping
OFDM symbol number per slot 14 CSI-RS (Channel State
For DL channel measurement
SCS number per RB 12 Information RS)
Total REs Per slot Control channel for DL grant and
PDCCH 20.4%
45864 UL grant
(Includes overhead)
RMSI (remaining minimum System information transmitted in
Effective REs per DL slot 33200 system information) PDSCH
DL Effective RE ratio 72.4% DMRS (Demodulation RS) For data coherent demodulation
TRS (Tracking RS) For doppler shift tracking
DL Effective RE ratio (excludes UL at Self-contained slot) 76%
For TDD system DL/UL 3.6% (2
GP at Self-contained slot
conversion symbols)
3.6% (2
UL at Self-contained slot For UL transmission
symbols)
 DL Peak throughput = 33200 * 8 (256QAM) * 0.92 * 8 / 0.0005 * 0.8 (DL/(UL+DL))* 90% ≈ 2.8G

2 Waveforms Supported in PUSCH
 Waveform: Unlike PDSCH, PUSCH supports 2 waveforms.
– CP-OFDM: a multi-carrier waveform that supports MU-MIMO.
– DFT-S-OFDM: a single-carrier waveform that supports only SU-MIMO and improves the coverage performance.
 Physical layer procedures
Codewords Layers Antenna ports
Modulation Resource Element OFDM signal
Scrambling
mapper mapper generation
Layer
CP-OFDM 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, Contiguous/
CP-OFDM 1 1–4 High At/near the cell center
64QAM, 256QAM non-contiguous
π /2-BPSK, QPSK,
At the cell edge
DFT-S-OFDM 16QAM, 64QAM, 1 1 Contiguous Low
(achieving gain by using a low PAPR)
256QAM

Contents
5G NR Channels and Signals

on 18B Application

3 Main TSGs (Technical Specification Group)
Project Co-ordination Group (PCG)
TSG RAN TSG SA TSG CT

Radio Access Network Service & Systems Aspects Core Network & Terminals
RAN WG1 SA WG1 CT WG1

Radio Layer 1 spec Services MM/CC/SM (lu)
RAN WG2
SA WG2 CT WG3
Radio Layer 2 spec
Architecture Interworking with external networks
Radio Layer 3 RR spec
RAN WG3
SA WG3 CT WG4
lub spec, lur spec, lu spec UTRAN O&M
Security MAP/GTP/BCH/SS
requirements (transmission interfaces)
RAN WG4 SA WG4 CT WG6
Radio Performance Protocol aspects Codec Smart Card Application Aspects
RAN WG5 SA WG5
Mobile Terminal Conformance Testing Telecom Management
RAN WG6 SA WG6 TSGs are responsible for
Legacy RAN radio and protocol Mission-critical applications 3GPP standard finalization.

TSG RAN Protocol Architecture
• TR：Technical Report
RP（RAN Plenary） RAN WG1 RAN WG2 RAN WG3 RAN WG4
TR 38.912：Study on new TR 38.802： TR 38.804： TR 38.801： TR 38.803：
radio access technology Study on new Study on new Study on new radio Study on new
TR 38.913：Study on radio access radio access access technology: radio access
scenarios and requirements technology technology Radio Radio access technology: Radio
for next generation access Physical layer interface protocol architecture and Frequency (RF)
technologies aspects aspects interfaces and co-existence
aspects
TS 38.3XX
TS 38.2XX TS 37.324（SDAP） TS 38.4XX TS 38.1XX
TS 37.340 （DC）
• TS：Technical Specification
3GPP standard finalization goes through 2 phases, which are SI (Study Item, for the technical feasibility study) and WI (Work Item, for
technical specification composition). The output for SI is TR, while for WI is TS.

NR Air Interface Protocol - RAN1 TS Study Guide
Radio interface protocol
architecture around the physical
layer NR; Physical layer; General
L1 overview TS 38.201
description
Layer 3 Radio Resource Control (RRC)
Control / Measurements
Logical channels
Layer 2
Medium Access Control NR; Physical layer services provided by
TS 38.202
(MAC) the physical layer
Transport channels
TS 38.211 NR; Physical channels and modulation
Layer 1 Physical layer
Physical TS 38.212 NR; Multiplexing and channel coding
Layer NR; Physical layer procedures for
TS 38.213
Quoted from 3GPP TS38.201 control
TS 38.214 NR; Physical layer procedures for data
TS 38.215 NR; Physical layer measurements

NR Air Interface Protocol – RAN2 TS Study Guide
Layer 2 Structure
QoS Flows
QoS flow QoS flow L2/L3

SDAP handling handling TS 38.300 NR; Overall description; Stage-2
overview
Radio Bearers
NR; Medium Access Control (MAC) protocol
ROHC ROHC ROHC ROHC L2-MAC layer TS 38.321
PDCP
specification
Security Security Security Security
NR; Radio Link Control (RLC) protocol
L2-RLC layer TS 38.322
RLC Channels specification
NR; Packet Data Convergence Protocol
RLC
Segm.
...
Segm. Segm.
...
Segm. L2-PDCP layer TS 38.323
ARQ ARQ ARQ ARQ (PDCP) specification
Logical Channels L2-SDAP
E-UTRA and NR; Service Data Adaptation
layer (NR TS 37.324
Scheduling / Priority Handling Protocol (SDAP) specification
newly added)
NR; Radio Resource Control (RRC);
MAC Multiplexing UE1 Multiplexing UEn L3-RRC Layer TS 38.331
Protocol specification
HARQ HARQ
NR; Multi-connectivity; Overall description;
About NSA DC TS 37.340
Transport Channels Stage-2
Quoted from 3GPP TS38.300

NR Air Interface Protocol – RAN3 TS Study Guide
TS 38.410 NG-RAN; NG general aspects and principles
Overview TS 38.401 NG-RAN; Architecture description
NG: interface TS 38.411 NG-RAN; NG layer 1
btw gNB and TS 38.412 NG-RAN; NG signalling transport
NG-RAN Overall architecture core TS 38.413 NG-RAN; NG Application Protocol (NGAP)
TS 38.414 NG-RAN; NG data transport
5GC
TS 38.420 NG-RAN; Xn general aspects and principles
NG NG
TS 38.421 NG-RAN; Xn layer 1
NG-RAN Xn: interface TS 38.422 NG-RAN; Xn signalling transport
Xn btw gNB and
gNB TS 38.423 NG-RAN; Xn Application Protocol (XnAP)
gNB gNB-CU gNB gNB-CU
TS 38.424 NG-RAN; Xn data transport
TS 38.425 NG-RAN; Xn interface user plane protocol
F1 F1 F1 F1 TS 38.470 NG-RAN; F1 general aspects and principles
TS 38.471 NG-RAN; F1 layer 1
gNB-DU gNB-DU gNB-DU gNB-DU F1: interface TS 38.472 NG-RAN; F1 signalling transport
btw gNB CU
and DU TS 38.473 NG-RAN; F1 Application Protocol (F1AP)
TS 38.474 NG-RAN; F1 data transport
Quoted from 3GPP TS38.401 TS 38.475 NG-RAN; F1 interface user plane protocol

TSG SA Protocol Architecture
• TR：Technical Report
SA WG1 SA WG2 SA WG3
TR 22.891：Study on New Services and Markets Technology TR 23.799：Study on TR 33.899：
Enablers （New service study） Architecture for Next Study on the
TR 22.861：FS_SMARTER - massive Internet of Things Generation System security aspects of
（Massive IoT） the next generation
TR 22.862：Feasibility study on new services and markets system
technology enablers for critical communications; Stage 1
（Critical
Communication）
TR 22.863：Feasibility study on new services and markets
technology enablers for enhanced mobile broadband; Stage 1（eMBB）
TR 22.864：Feasibility study on new services and markets
technology enablers for network operation; Stage 1（Network
operation）
TS 22.261：Service requirements for next generation new services TS 23.501：System

architecture for the 5G system
and markets
TS 23.502：Procedure for
the 5G system
• TS：Technical Specification
Protocol Study Suggestion
RP TR38.912
5G NR
 RAN1 TR38.802 Air  RAN2 TR38.804
interface Air  TS38.3XX (7TSs)
 TS38.2XX (7TSs) technology interface
(L1) technology  TS37.324
(L2/L3)  TS37.340
RAN3 TR38.801 5G
SA2 TR23.799
 TS38.401  TS38.41X (5TSs) RAN
Network
Network  TS23.501
interface
 TS38.42X (6TSs) architecture  TS23.502
 TS38.47X (6TSs)
RP TR38.913 5G SA1 TR22.891

New  TR22.861  TR22.863
Scenario and Requirement service and
requirement market  TR22.862  TR22.864
technology

Thank you
www.huawei.com
Copyright ©2017 Huawei Technologies Co.,Ltd. All Rights Reserved.

The information contained in this document is for reference purpose only, and is subject to change or withdrawal according to
specific customer requirements and conditions.
©2017 华为技术有限公司版权所有
本资料仅供参考，不构成任何承诺及保证

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Rel-12 Rel-13 Rel-14 Rel-15 Rel-16

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100 Mbit/s 30-50 ms 10K

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SCMA Polar code

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5G NR Channels and Signals on

3GPP Protocol Architecture for 5G

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Symbol length Slot Subframe Frame

SCS RB RBG BWP Carrier

Frequency- Data/control channel scheduling unit

Space-domain Codeword Layer Antenna port Unchanged

NR Vs. LTE Enhanced

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 Resource Grid (RG)

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2 Time-Domain Resources: CP, Symbol, Slot, Frame Structure

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– Ts = 32.552 ns: sampling interval for the SCS of 15 kHz

– Tsf = 1 ms (subframe length)

– K = 64: auxiliary parameter

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One OFDM symbol

 NR CP design principle: Parameter SCS CP

1 30 TCP: 2.86 µs for l = 0 or 14; 2.34 µs for others

TCP: 1.69 µs for l = 0 or 28; 1.17 µs for others

3 120 TCP: 1.11 µs for l = 0 or 56; 0.59 µs for others

4 240 TCP: 0.81 µs for l = 0 or 112; 0.29 µs for others

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OFDM symbol duration(µs):

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Slot Configuration (Normal CP)

Slot Configuration (Extended CP)

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 Main slot types

– Type 4: mixed slot

Type4-1 Type4-2 Type4-3 Type4-4 Type4-5

 Compared with LTE slot format, NR features:

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– Layer 2: semi-static configuration through UE-specific RRC signaling D D D

2. UE-specific RRC configuration

– Layer 4: dynamic configuration through UE-specific DCI D D D D X

 Main characteristics: hierarchical configuration or D D D D D D D D U

separate configuration of each layer

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– x2/x4: number of downlink symbols in X type following

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3 Frequency-Domain Resources: RB, RBG, REG, CCE, BWP

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 Frequency range (MHz)

Source: 3GPP TS 38.101

 Resource Grid (RG)

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Guardband, can be asymmetric

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

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