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    Channel State Reporting

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    Channel State Reporting

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    a. arcs teem 5G NR in BULLETS 13.6 CHANNEL STATE REPORTING + aU aroe i owetek ease CoD Hue Bete Sion wing er he PUSCK rhe PUCCHE The Bas Staton uss the 4¢- Channel Stats Information (CSI) includes: © Channel Quality Indicator (CQN) © Rank Indieator (RI) 0 Precoding Matrix Indicator (PMI) © CSERS Resource In 0 Layer Indicator (LI) © LL-RSRP © SSIPBCH Block Resource Indicator (SSBRI) 4 The Base ation can se is nfomation svthi ts Packet Scheduler and Link Adaptation algorithms ic, when the Base Station is selecting UE to receive resource al 5, and when the Base Station is identifying the Modulation and Coding Schemes (MCS) for cach PDSCH transmission In the case of the PDCCH, the Channel State Information can be used when selecting an appropriate Control Channe! Element (CCE) aggregation level, ic. UE in poor coverage are allocated higher aggregation levels 4 Channel State Information is used for open Joop and closed loop i : closed loop MIMO transmission schemes. Open loop schemes rely upon the UE seporing CQ! and RI, whereas closed loop schemes rely upon the UE reporting CQI, RI and PMI, i. closed oop schemes allow the Us to recommend a precoding matrix for downlink transmission The value of this recommendation depends upon the rate at which the ‘aio environment is changing. Open loop schemes can be more appropriate for rapidly changing radio environments because ‘recommended precoding matrices become invalid before being used, Iti also possible to use semi-open loop MIMO which is based ‘upon having partial precoding matrix feedback from the UE, i. the UE provides coarse precoding TFOTmatTON Wich i less likely to be changing rapidly overtime 7 pean x Camel tate Information emansncesary when chime! mcpociy exis. The Base Staion cn ake advantage of chanel inst to deduce the downlink precoding from uplink measurements. However, sik measurement Tol provide the Base Stion with information regarding We dovinlink signal in anise aie condions Thus Wtstemains a equiement forthe UE to provide feedback in terms of CQ = 4% Channel State Information is also used for Beam Management, ic. the SS/PBCH Block Resource Indicator (SSBRI) and CSI Reference Signal Resource Indicator (CRI) can be used to indicate the preferred SS/PBCH Block and CSI Reference Signal beams. The use of Cannel tate Information allows rapid and responsive suitching between beans. Measurement reports transfered by the RRC layer ‘would be too slow and infrequent for Beam Management purposes + Inthe case of the Phase Tracking Reference Signal (PTRS), Channel State Information canbe used to select the best layer for transmission. The PTRS is transmitted using a single logiealanteAia-por and performance is maximised if that antenna por is mapped onto the est tanenision Rayer. A UE can be regiieet"G report a Layer Indicator (LI) which identifies the layer with the best channel conditions. The Base Station can then use tis infomation fomap the PTRS onto the pproprate layer = ‘The majority of parameters associated with CSI reporting are provided within the CS/-reportConfig parameter structure. The frst part ofthis parameter structure is presented in Table 291. Each report configuration isallocae an Tenity and is linked toa specie: serving ell é — ink mapcnect an eobeoquty providing tbc oth Base Sion, Them taucr Sigal The CStporagTe pase ere «he naouesForChemelieaurement infomation elemento seit aNon-Zro Pow (NZ CSL Refirece Sigal for ‘meastiing the propagation etrannel based upon a ‘wanted’ signal © the csi-IM-ResaurcesForlaterference information element to specify CSI Reference Signal resources which the serving cell does ‘not GBs for tranomsivn These resources allow the UE to measure the interference levels generated by nejghbouring cells and background noise informa rence Signal resources which the serving cell © the nzp-CSL-RS-ResourcesForInterference information element to specify CSI Reference Signal serving cel ss ‘ransmission Towards other VE (typically using different downlink beams). These resousees.llow the UE to measure the iiterfeence experienced when using Multi-User MIMO (MU-MIMO), ic. multipl'spatially separated UE sharing the same ‘ovnlink Resource B a Greased persistent or aperiodic triggering mechanism. The semi- ‘The reportConfigType allows the C’ 1D to use a periodic, semi-persistent or aperiod lowes Pen SER dha co CSET psc oop Si orien hePUSCH, Posie Feporting uses tg PUCCH, unless a PUSCH resource allocation ediedes with the reporting period. eporting always uses the PUSCH — ase i ning zeriod and a sot offpet. The 'nthe case of periodic reporting the UE is configured with reportSlotContig which speiis We Cer pessiod anda ot Th Feporting period cairTangE Tm 4 slots upto 320 slots. The Minimum period of 4 slots cores fmevhen wing Be TEs subearer pacing but only 0. ms when sing the 120 Kz subcarrier spacing. The UE is also configured with ne ‘Which are to be used when sending the CSI reports to the Base Station an L a, . 8G NR in BULLETS Strapon PHA) ‘operon doa carer Sealing tom _[reemuneCrrocBensenet | CSt-ReureeConighi | O10 lM ResoresForntereenee CSiReousConfgl) [O18 RS ResouesFerbrome | CSLReowesCoigll [Ow CHOICE epencanlcTre Boe trom TperSieiContig aston 7] ows | tosis vou roam Tomi OS S slots Ora] | 20slots 0to19 | 320slos | 010319 Taos [007 | a0sias | 01039 Tosios | 0109 | 80sios [ 01079 ‘SEQUENCE ( I tod instances of PUCCH-CSI-Resource KA puch CSL ResoureeList __doplkianiwiadrantd | 014 Drs Resc ew Tana [opeSonig [Asis | 03 [rsais [ owis [ieosoa | ows ON, — Slots 004 | 20slots Oto 19 | 320slots_ | 0t0319 i, 8 slots 0107 _| 40slots 01039 Tose [009 [a0stes | 01079 Fisica [SEQUENCE [114 names of PUCCH-CSTREOUE) ~~ __ [loplinitandwianrartie Oto4 post Reus doa? Traverse | peincont | 5,10, 20,40, 80 160,300 ae 7 OnPUSCH [porsoOfiaList CY SEQUENCE (11 16insanesof01032) von 01029 ‘aperiodic | repontonOniedisn | SEQUENCE {1 to 16 instances of 01032) “Table 291 —CS-reportConfg parameter structure (Part 1) 4 Inthe cae of smi-peritent reporting onthe PUCCH, the UE is configured using the sage format as. used for per ting. In thes ef Sen pe pring om SEL te UE cafe wih epoting ad whe ranges Tetween and 320 slots, but the UE is not configured with a specific slot offset. Instead the UE is conligur ith a ctcandidate sot offsets ffSets. The ‘numberof candidat slt offs is equal to the numberof entries within the pusch-TimeDomaind locationList belonging tothe PUSC This means that the "Time Domai Resource Assignment’ field within the Downlink Control Information (DCN) points toga atatne dona sous caion and for ssmispersistent CSI reporting on the PUSCH, The LUBiisalso configured witha pUalpha information clement which points towards a specific power control parameter set for tie PUSCHL * Inte cas osem-nnigen eptings te FUSCH, SRP sper adonal ods of 4, 8 and 16 slots within version 153 ofthe seein TRS ada reporting pods are visible at HSM ot Table a= * Inge cote ering he UE ont wih itt of rig pot gid aos sends ont singe repo) The nbs ofeandlste stots equi WiRE number oe toe ae ace TimeDamuindlcatonis longing tte PUSCI Conf Sal se a SCH the “Time Domain Resource Assignment’ field within the Downlink Control Tnfomation (DCI points towards both a ime dowsin essure allocation 2 conesponding lt oft for te apaiodle CSL epring on ie BUSCH recom sous lean 4 Table 291 iustates hat CSLepoing can be pesos, somi-peristet or aperode tm altion the CSt Reference Si tension wich arsed o derive th CSI nen caer be pri oan ees ee ean aperiodic CSI report can be generated using aperiodic CSI Reference Signal transmission, Table 292 summaries cach cor isivationo CS report riggering and CSI Reference Signal transmission wiggering © ile 22 cues eo crab + Periodic CS! reporting requires periods CSL Reference Signal transmission, In this ease, both the reportn Reference Si transmisgiemees configured and initiated using RRC signalling ain = Semi pepistent CSI reponiag onthe PLICCH and sem-pesstent CSI Refssnes Signal tansmssson are bth wiggecsLasing MAC a iv. the S tivaion” and ‘Semi-Persistent CSERS /CSI- Control Elements, IM Resource Set Activation / Deactivation’ MAC Control Elements. In contrast, semi-persistent CSI reportmeae Re PUSCITS wees one glaae ‘Win PDCCH Downlink Cantal Information (OCI) Format 0-1 wien tis CRCThave been scrambled using an $P-CSI-RNTI % Aperindic CSLeeposing and aperiodic CSI Reference Signal transmission are both iiggered using the “CSI Request” Geld within DCL Format 0_1 rmat 01 472 5G NR in BULLETS | Periodie CSi~ [Sem Perisent CST homicsie Ce Reporting, | Reporting onthe PUCCH Rerene Nodyamie | ‘SP CS! Reporting on Soa triggering | _PUCCH Act/Deact’ MAC CE Det Forget Reese Steal re Osi i Ree er ‘Supported 2 aisent CST Reference Signal Secon /ctiMenwe S| Net Spot Suppored Suppor Supported is : Sigal, eS nn el Fo 1_| Not Supported [Not Supported [Not Supported ‘Supported “Table 292 ~‘Triggering of CSI Reporting and CSI Reference Signal Transmission he soond par ofthe CST-reportConfig parameter structure is presented in Table 293. The reporQuanty specifies the content ofthe repro be provided bythe UF. The malty of eporsinlu» CS Referee Signal Rese Tix (CRD whi id for Seance ee UE se best SL em ip ba ent downlink data aester The reportQuaniy can be configured with te Tolowing values: nonin his cas the UE. doesnot provide the Bae Station with a CSI report. This is applicable to scenarios where the UE uses The CSI Reference Signal for its ow intemal psa ater than for providing feedback to the Base Station. For example, the “py phase of Beam Management Tustrated in Figure 190 (Section 3.74.1) involves the Base Station repeating a CSI Reference Sigal taniaisson to allow the UE to attempt reception with each UE beam. The UE is then able to identify the best UE beam and use that beam far subsequent dats transfes, The Base Station does not require knowledge of the beam selected by the UE fo ‘gr#RI-CON’: the Rank Indicator (Ri) and Channel Quality Indicator (CQI) can be used for «(Qa Loon MIMO cennissa, explicit mowledge ofthese precoding matrices because it can rely upon The Demodulation Reference Signal (DMRS) to deduce the composite impact ofthe precoding and propagation channel. Alternatively, the ‘eri-RI-COT value can be used when there is cchannel-reeiprosity and the Base Station is able to determine an appropriate precoding matrix from uplink SRS measurements Base Station is able to determine an pe, 0. “@iREPMECQF the, Cl nd Presoding Matic Ino MI cn lr «Cl Lang MIMO rangisinn hare SGbPbsgpctcd set at 4 codebook xe or PMLieponin Type) Sige Eel nd MePac codebooks fr single ‘ser MIMO with a maximum rank of 8; Typ? Single Pan! and Port Selection ecdebooks for muli-user MIMO but restricted to max 2. ebooks provide Tlaively coarse informs, whereas Type URTEBONS provide mre deta © “eri:BLLL-PMI-COP’: is also applicable to Closed Loop MIMO seansmission schemes but also provides the Base Station with 1a taetor (information. The Ll inertation et be-sed for maping specifi logical antenna ports ont the best transmision jet, the antenna pod used Oy Th Pas Signal PRS) ©. “ere RLAI-CQP: is applicable sg-anen lop transmission schemes. In ths case, the UE dos not report complete precoding isatstion he conbination of AT and 12 tal oporsparal preceding infomation (oii). This Opow fuse in Coan withthe Typo Single andl codebook. The UE reports Single wideband PMTesult which is assumed to change caaivaes slowly a Renin of ne The Bae Sion can eine aditonT ope oon psig wth the reported wideband precoding. In general, reported CQI values are ‘conditioned” upon the reported PMI values, ie. the COI value is valid when the Base Station_ -using the Suggested precoding mafrix. In this case, the UE is reporting only partial PMT so 3GPP has spouted Ta ty iat the UE should assume a random elena af precoding mubix TREE Sona PHO SGP? also specifies that the UE can assume that precoding is applied to Precoding Resource Block Groups (PRG) which ave a size equal to pdsch- BundléSEEFDECSI shown in Table 293) © ‘cri-RE:il’: instructs the UE to report RLand partial PMI but does not instruct the LIE to report CQL This configuration can be ‘sed in combination witha second configuration fo support a hybrid solution. When configured with ‘eri-RLil' the UE reports a single wideband partial PMI using the Type T ‘Tipe Single Panel codshook This result allows the Base Staffon to gengrataa coarse PeaiGlowards s the UE, The UE can be instructed to provide a second report, for example usi ger REPMECOP ‘with the Type 2 Port Selection cadebook. This codebook relies upon the use of beamforming when transmi a paral Pil rote fist report ane sed o Beara ig ST Reference Signal wich i then wd to gence he comple PMI forthe ‘er RPMI-COT report © ‘cri-RSRP": can be used for Beam Management procedures. The UE can be instructed to report up to four CSI Reference Signal ResOeeTodentra (CRD 0 combination with upto ur Layer | RSRP mcasurements Tis Opton a ting’ which allows the UE 10 report up to sw CRT belonging to bears which have beet simultaneous Repoding is appliable to deployments usiog-saliple Transmit Receive Points (TRE) (see sectifa 13.6.3) “ssb-Index-RSRP": can also be used for Beam Management procedures. In this case the UE can be instructed to report up to four SSIPBCH Block Resource Indicators (SSBRI) in combination with up to four Layer L RSRP measurements. Similar to ‘eri- SRE this option can sso BE-we Tor Group based Beam Reporte” when deployments ake advantage of multiple TRP 473 < SGNRin BULLETS ‘CSi-reportConfig (Part 2) ‘FeportQuantity. CHOICE [rene ca REPMECOI ea RI lech DundleSiaForCst 4] 2.4 ea-RLCOT eeRSRP sSbindocRSRP coRELLIMECOT | Fe ct oom? eso Contin | Ss ronatediney feeb ‘esi-ReportingBand CHOICE eo leet Teens oy Totes [omag | atic | mc) | “subbands | bisiring (2) | 10 subbands | bitsting (10) | 16 subbands | bitstring (16) Sutiands | ising @) [11 sbtands [basing (1) [17 sbbands | biseing 7) uta | iting (| 12 iba | Wising (12) | TEsebhands | bissng (1) Taaands [basting C) [13 atbands | Bstng (3) | 19 abands | bistro (9) B subbands | bitstring (8) _| 14 subbands | bilstring (14) TineRestcdonFCamniNcsuenen | eonfigued stoned LineResticsonFornereeneMesurenets | configured, tConined caebook Config ss Tb 28 in ston 156 BoupDassdBcanfcporing GHOSE canis dinbled | womaponeins [12.3.4 cate te, bebe atta vals vale? incon SEQUENCE [1 [0 fates of PovindesFoRanis] Poninex quoice Z Foshay, portindex® | rank!, rank2, rank3, rank4, rankS, rank6, rank7, rank8 pontnest | kl nk it eres [an nk pons! NULL Serie OAPUSCHAISSO FronsiaCmairis90_[ 4 816s ‘Table 293 - CSL-reportConfg parameter structure (Part 2) 4 ‘The ogi-Formatindicator and pmi-Formatindicator are used to instruct the UE to provide either wideband or sub-band information. ‘Wigeband information is applicable tothe complete Bandwidth Part specified within the CSI-ResoureeConfig associated withthe resourcesFor t t (see Table 291). Subshgnd reporting divides the Banda PaRCTfto a set of sub-bands according {othe ubs@ndBice information element The es ReporingBand infomation clement indicates the spec et af E-Band To which the UE shout genrate repors. Sub-band rep TET in greater detail in section 137.1 4 The simeRestrictionForChannelMeasuremens and timeResritionForlntrference Measurements are used to indicate whether ot m0 the UE should use a specific time window when competing its channel (wanted signal) and interference mensoremonte 4 The codebookConfig defines a relatively large parameter stucture which is applicable to PMI reporting, This parameter structure presented in Table 298 section 13.63. The use of groupBasedBeamReporting is described in section 13.6°5 4 The op-Table specifies which ofthe 3 tables resented in section 13.6.1 are used for CQl reporting (64QAM table, 256QAM table or Low Spectral Efficiency table The non-PMI-PortIndication is applicable when the UE is configured with reportQuantty set to ‘cri-RI-CQY’. In general, CQL values are generated based upon the reported PMT value but in this ease the UE does not report a PMI value. 3GPP specifies that fr this c% ah DE should assume an identity matrix for precoding, with the set of layers (according to the reported rank) mapped onto the set of| egy teference Signa ports according tothe information provided by the nan-PMI-PortIndication 478 5GNR in BULLETS + Channel Quality Indicator (CQN) values allow tions within a specific Bandwidth Part. CQI values ean be repos UE © suanify and reports downlink radio channel condi speci ; othe Base Statin using either the PUCCH ofthe PUSCHL * Ce i ae beg QLSER ihn tak cng ik aan artis fps a ht jake ting hi Values relative to their average CQI values are more likely to be select Tes alain. Linkadantation fs more ikl to agate high tvougputs to UE eponnghighOU values + CQL values represent a signal to interference plus noise sig is means a UE must complete both ‘vanieseml power measurements and tree nS poe pone UE must compet © ‘wanted! signal measurements are complet Sa NzP CSI ce ; sing Non Zr Powe N7P) CSI Refaene Sigal The eleva Reference Signal ‘is identified by the resourcesForChannelMansurement Siomatin ‘element within the CS/-reporiConfig o- interf R : surements are completed using a CSI Interference Measurement resource and/or an NZP CSI Reference Signal for Int : lerference ap Signal f Interference Measurement resource, These resources are identified by the esi-IM-ResourcesForlnterf i information elements Within the CSI-reportConfig Fern aM achle sails these COL tables which corespon tothe st of three PDSCH MCS tables, i there is « QAM table, 254Q4M ble ands Low Special Eltron ate or at presented Table 294, wl the coneponding MCS rae a prscaad a epeeseeEiiny ths The ree CO as are reseed a Tble 294, whl the comesponng CQ values ase signaled using a set of 4 bits which provide range from! thatthe Ui able to which provide a range fom 0 o 1 High CQU values indicate thatthe UE | receive Tigh order modulation with a high coding rae, ie. relatively little channel coding retumefaney. The “Efficiency” figures provide amescare of pec eficency and ae given by the modulation order mulplied by the coding rae (medultion orders are QPSK: 2, 16QAM: 4, 64QAM: 6, 256QAM: 8) AIL ie apaaatioecae cormabie cortabien ~ Qrtabie3 (64QAM Table) (QS6QAM Table) (Low Spectral Efciency Table) ‘Transport Block “Transport Block “Transport IGE Error Probabiliy =0.1 nor Frobabily= 0. Enrr Probability = 0.00001 __| index | | Motatdon | SRO | eiency | | Modwiaion | CO [mccney | | Modstaion | SSA | ticieny o OutoPRange z Ovo Range Outof Range i arsk [0076 [0153 ersk | 007s [01s a 2 grsk | on7_|o2me ‘rsx | _oase | 0370 rsx | 0049 a ‘orsk | ~otes | 0370 ‘orsK | 0436 | 08770 ‘rsk [0076 4 ‘arsk | 0301 | osoi6 16Qam_| 0369 | 1.4766 rsx [0.17 3 ‘rsk | oss | 08770 weoam_|_ 0479] 19141 epsk [ones 6 ersk | oses | 1758 T6gam | 0602 | 2.4063 ‘orsk | 0301 7 teqam | 0369 | 14766 eqam | _o4ss_ | 27005 ersk | 0438 8 16qam_| 0479 _|_L9tat soam|_osss | 33003 ‘rsx | ose 3 T6qam | 0602 | 24063 iam | 0650 | 3.9023 ooam | 0369 10 eaqam | 0455 | 2.7305 @qam | 07s | asme 1eQam | 0479 it eaqam | oss | 33223 qa | 0833 | sttse team | 0.602 2 eoam | 06s | 3090 | | 2560am | 06s | 3se7 eqam | _ 0455 B eaqam | _o7ss_| 45m | [2s6qam | 0778 | 62266 gam | 0354 m1 eaqam | 08s | _sns2_| [/scqam | oxos [vote 1Qam_| 0.650, 5 eiqam [0926 | _sssa7_| [2s60am | 0926 | 74065 eqam | 0754 “Table 204—CQI Tables for 64QAM, 256QAM and Low Spectral Efficieney + The BaseSution can request the UE to report cither wideband or sub-band COL values. This instruction is provided tothe UE using the gt Formaifudicetor within the CST reportConfig Table 293) A wideband CQI provides a result whichis Jrived from the sense BendwdPt Ie contact sashands CO proves aresul which i derived fom a spite ssn ofthe Beedwa oe Idea OTS eet Bandidte Pail immediatly visible wii the CS/-eportC oni Is spsled by tesserae the Gsr.seoureeConfgubih iene by the resorcesPorChamelNeaturenen information element The CSI Resor cca parameter scare presented in Tale 116 (sction 3.74) 4 When using sub-band reporting, the Base Station uses the subbandSire information element within the CSL-reportConfig to select Detcanapatof and ses Tes sand zs peso Tae 95 alo dagen pon ts ti Bandito 475, 8G NR in BULLETS Tava ae SaaS Saba saa (ontalRewme nied) | (ysl Reouse Blacks) | hyil Rene Blass) x|[X (Ma) = 22) Represented br > [x] kx (wym)= (22) XxXXXX IX XXX XX okxx|[XXXE akxx|[KxXXE Connectors towards transcevers connectors towards tanscevers Figure 395 — Examples of physical antenna elements connected to transceivers ‘Inthe case of 1 or2 transmission layers, 3 ‘fied 2 modes of operation when selecting the precoding matrix. The Base Station ises the eadebooRMfade information element to instruct the UE & 0 ‘TheearlebookMode information element tes in Table 298. Both modes of operation are based upon a 2-stage PMI reporting procedure, but the information reported during each stage GTS (Codebook Mode = (1 or 2 transmission layers) + Figure 396 illustrates an example assuming single layer transmission from an antenna with 2 rows and 2 columns of eross polar sntena elements. Sage involves elec speci Beas fom he st of ars, We Wolves Selecting a specific Phas its (0, 90, T8-and 270 degrees). When codebook mode Pi mission oF? layers 2 shift from a set of 4 phase then Ives electing a spetifie phase shift from a set of 2 phase shifts (0 and 90 degrees) — 1D) stage: goer seam Besnae K]PK] etree Setcton eiecion (03,03) (44) X|[X] eieeims Figure 396 Example of Codebook Mode {for single layer transmission Codebook Mode =2 (I oF2 transmission leer) ‘+ Figure 397 illustrates an example assuming single layer transmission from an antenna with 2 rows and 2 columns of cross polat fnfenna elements In this ease, the 6 brams are divided i 3g and stage 1 involves selecting ane of these groups. Stage 2 involves s {¢ beam from wit and also gelesting a phase shit from a set of 4 phase whifis (U,90, 180 and 210 depres), When codebook mde 2 sed for the transmision of yas then only The O and 90 dre phase sits are alae for selection Leads to 64 Beams ‘tage 1: Beom Group Selection eee mee Sass |S ‘Figure 397 - Example of Codebook Mode 2 for single layer transmi (ty) =(22) (0.03) (4) X|[X XI[X (ouliple rows of ross polar antenna elements) dk Figuse- 38 illustrates the grouping of4-beams in 22 grid. Beam groups always include 4 beams but ut of the aot anys e222 ts anna anal afc emis hen banning inte csatndton 0 pose Ae rma single row and groupings applied ass har Figure 398 lusts sn eer ea grouping, 482 5G NR in BULLETS ‘Stage 2: Beam Selection & Phase Shift Selection row of cross polar antenna elements) XIX] PX] LX sto 160e0m5 QQQQODOOOOOOOOSO Figure 398 Example of Codebook Mode 2 for single layer transmission (singe + Inthis case the groups overlap so there ae 8 groups distributed across the 16 beams When selecting a PMI for 2 layers, it is possible to: ‘select different be each layer. The first stage of reporting invols diding beams inthe vertical direction, and i,. which specifies an offset between the beams selected foreach layer. This offset may be “0° inesing tt Dot pe the sae beam (yes perpoease SE a a ee tea ‘multiple of beams) in either the horizontal and/or vertical directions. The second sage of reporting involves providing a value ft fg hich identifies a phase shift when using Codebook Mode 1, and which identifies a beam within a hase shift when using Codebook Mods? 4 Forboth Codebook Mode I and Codebos 2, the first stage of reporting i : 62, the of repotngs treated as wideband and relatively lng term, whereas th second stage of Fportng is treated a fequeny sclectve and shor term. The means that stage | reporting peovides single reault which is applicable to the complete bandwidth and this result does not ‘Tequire very frequent updates. In contrast, stage 2 reporting provides a result for each sub-band and these results are updated relatively fequently 4 Codebook Mode 1 provides an ¢rantage in terms fsausing the payload size associated withthe Fequet stage 2 reports (because it only requires the phase shif to be reported Tor cach sub-band). However, this may have a negative impact upon performance because there is less scope for fine tuning the selected beam, ic. the same beam is assumed to be appropriate forthe whole bandwidth, and that ‘beam is updated less frequently When transferring 1 or 2 layers, there isa one-to-one mapping between the number of layers and the number of polarsations. In this ‘ase, a beam can be generated by each polarisation to support the transmission ofthe 2 layers. When transferring more than 2 layers, it ‘becomes necessary to use more than a single beam per polarisation. In these cases, the Codebook Mode does not have any impact and ‘oth modes apply the same selection procedure + Figu399ilsrates the general concept of sing mp beams to support higher oder MIMO. This mens tht multiple layers are fed By E88 Pofarisaton bur os layers ae separated spatially by using diftrent Beams, Thess baie ae points eceet Girton so the UE has to rely upon refections and seating to ensure hat al layers canbe reselved. The mines otbecme werinea i istiven by: ROUNDUP (Reported Rank /2) 2amimo axa mimo samo Figure 399 —_Multiple cross polar beams used to support 4x4 and 8x8 MIMO ‘When selecting multiple beams to transfer more than 2 layers, the UE is not fee to select any combination of beams. The selected ' ‘rams must be separated by multiples ofthe Oversampling Factors, O; and 0. Ths helps to ensure thatthe Beams have sufficient ‘pail separation and are effectively orthogonal When transferring more than 2 layers, beam groups are no longer used and the first stage of reporting always identifies specific beam rathe? pol are eeep of bc Figure 400 illustrates the selection of2 begs when using 44 MIMO with a range of example antenna configurations, The first example is based upon a single reams. THe Smit espa y pons ye i oleae an fore second beam once te first beam Ras bacn selected. The sceond example is based upon & beams, In i cae, is tin ie third exal agrid of 88 theres an increased muTnber OF Gandidate secsdary Dems afc sclecting.the fis ‘hed upon a ri beams The dcr en apart om the He bea y 4 ostons nh horizontal andor vet destons 483 5GNR in BULLETS (i e22 x] x (ono =taa) secondary oo condi Canaate a, Secondary Gana Secondary sectndoy_ Seconda ston Candit® pining OOP RS Selection Primary Secondary Priary Selection Candidate Sclecion Candidate Candidate Figure 490 — Example selection of eos polar beams fer 44 MIMO 4 When tansfirng more than 4 layers (reusing 3 or bears) the postions ofthe 2% 37 and 4 rams at fied lv tte Mention the ec beams Examples ot concept are Mustrated in Figure 401. The antenna con gNiie™ Ort a Beams i unable to support the st oF beams so this configuration i excluded from Figure 401 (i must bo ora mith =) (8) = (22) XIX) ose-tea (0) = (63) XILX XXX XK beam a, beam a88eam Beam 280Im Figure 401 - Example selection of3 cross polar beams for 8x8 MIMO with Rank 6 ‘Finally, thee is a special case when transferring either 3 or 4 layers using antenna configurations which support > 16 CSI Reference Signals, In this eas, the antenna elements belonging to each polarisation are divided into 2 groups so there are effectively 4 groups of antenna clements (445° group 1, +45° group 2, 45° group 1, ~45° group 2). The UE then selects a single beam and that single beam is transmitted by each ofthe 4 groups of antenna elements. Each group transmits the beam with a different phase shift to provide differentiation, This scenario is compared with the ‘normal’ scenario in Figure 402, The horizontal beamwidth increases by a factor of S because the number of antenna elements used to generate each beam inthe horizontal direction decreases by a factor of 2 Single Group 25,6, or Blyers Antenna 3or4 layers ome ‘of Antenna Elements Elements toners’ [X][XIXI[X — ener x whee PX]P Figure 403 assumes tat the same beamforming vector is applied to both polarsations so both sts of antenna clements generate a beam Fig ie ditgtion/ Tbe beamforming vetos fr the tye polarisation form the leading dagonal ents within the marx ia teton/Layeg syabols ae mltplied by th ist beamforming vector, whl layer symbols are mujplid by the second sl nng vectogpThis generates the set of 8 outputs which are mapped ont the set of 8 antenna clements/ Based vpon his description, the frst layer is transmitted by a first beam generated by the first polarisation, and the second lafer is transmitted by a ‘second beam generated by the second polarisationfin seality, both layers are transmitted by the first beam and both layers are transmitted by the second ead per Tow Figure 408 extends the description to explain how this is achieved 44 ‘The matrix which includes the beamforming vectors can be simplified ifeach beamforming vector is represented by ‘v” and the entries ‘within the output vector ae represented by “Tx¥/ The example illustrated in Figurg 403 is based upon a single row of cross polar Jateana elements In this ease, a1 dimensional ving vectra ec had been based upon an antenna with tmitple rows and mujtple columns of antenna elements then the 1 dimensionaf beamforming vector would become a 2 dimensional teamforming matriyfenerated using a multiplication of2 beamforming vectors, with 1 vector transposed) seantormiavecor | forte pltaton ° S Nedultonsynbols ext © | Stmemete ayers and2 esl le alee Sipe eresion txt|_ left 0 ss yO} [Layer 1] ea ees} Joo 1, |lLayer 2 ma= [> Up2S2 ‘Vetor applied x6] | 9 ei toeach tx7 | 2 aa 4 polarisation 0 el) Beamforming PY lo oi vector Boutputsfors \_ Beamforming Vector Sema loners (Grose paaiton Figure 03. Fundamental matrices for 3 beamforming precoder | + Tpebeamforming matrix in Figure 43 nclues ‘0's, whereas the PMI mates within 3GPP TS 38.214 donot include any zerosff/ Figur-d03 hasepplied precoding for beamforming but has not applied any precoding for MIMO Typical MIMO precoding is peseted in Fines 393, The inclusion of a MIMO precoding matrix is shown in Figure 404f THe MIMO matrix provides the short, fem, frequency selective precoding while the beamforming matrix provides the longer tenth wideband precoding In this case, the MIMO precoding generates a first output which is the sum of the two layers, and a second output which is the sum of phase shifted compte matrix This e > Opt, 1 player ty pe player 1 a= [ee allisjera] | | == Lee vllizper Beano ‘nino compete rece Prete frecore Mae (ere 04 Composite recoding Mtr generated hy combining th Bexmforming and MIMO mais} 485 sGNRin BULLETS 13-6.3.2 TYPE 1 MULTI PANEL CODEBOOK * * , i ord antenna panes. In ‘The Type 1 Multi-Panel codebook provides support for Base Station configurations using either 2 ‘4 antenna par ‘contrast to the Type 1 Single Panel codebook which suppers ‘ranks | to 8, the Multi-Panel ‘codebook supports ranks 1 to 4 Y ions. These antenna configurations are pres GPP TS 38.214 specifies precoding matrices fora specific set of antenna configurations, These ST S carga ape remy pe ar Ee me eye antenna element columns and rows respectively. The number of CSI Reference Signal antenna Ports if ‘equal 102 x Ny x Ny x Ny because each row and column is assumed to include 2 polarisations which determine the number of beat Similar tothe Single Panel scenario, the 0, and 0, variables define oversampling factors which determi beams sania for slocion: The noms ot bean avaiable for selection snot given by Nl = (Ms x Ox) « (Ma x 03), Batis given by (WM, 04) (Ma x 03) ‘Nainbe of SIRS | Antenas pons | (aN ea sD aD ath (CE) aD G20) ty PD cs “Table 301 ~ Supported Multi Antenna Panel and Oversampling configurations with their corresponding set of beams. The first example is based upon the first entry within Table 301, ie. 2 antenna panels with 2 columas of cross polar antenna elements per panel and a single row of ross polar anienna elements per panel. There is toll of 8 antenna elements which correspond tothe & CSI Reference Signals. The Sversampling factor of 4 lead to a sc of 8 candidate beams distributed across the single row of antenna elements, PMI selection involves selection amongst those & beams. In the case of multi pane! configurations, PMI selection also involves the selection of co- phasing phase shifts between both polarisations and antenna panels Figure 405 illustrates some example antenna configurations (ge NN)" (2.2.1) Op Met) 222) Leads to 64 Beams 10,03) = (4.1) mosh) XIX] LXILX XIX] [Xx ‘Antenna Panel. Antenna Panel2 Xx) [xl Leads to 8 Beams ‘Antenna Panel Antenna Panel? Figure 405 Beams available for selection for example multi panel antenna configurations “The second example in Figure 405 is based upon the fourth entry within Table 30, i. 2 antenna panels with 2 columns of cross polar antenna elements pr panel and 2 rows of cross polar antenna elements per panel. There is a total of 16 antenna elements which correspond to the 16 CSI Reference Signals. The oversampling factor of 4 in both dimensions leads toa set of 8 x8 = 64 candidate beams, PMI selection involves selection amongst those 64 beams Figure 406 illustrates the beams associated withthe transmission of 1 to 4 layers. The UE selects as rank , © ingle beam when reporting Tt Snes sean by each polarisation ofeach anisna pach ie the pai of ania panes rane 2 ros pol ans Similarly, the UE can select a single beam when reporting rank 2 In this eae, each individual polarisation beam transmits a precoded ‘combination ofthe 2 layers sdsal polite: beara tere or ‘Lor 2 ayers use 2 crosspoar beams 3 ord layers use2 cross polar beams per antenna panel Per antenna pane Antenna Panel Antenna Panel 2 Antena Panel Antenna Panel? LE a EN Ss = e0ecco0eo Figure 406 Beams transmited by each antenna panel forthe transmission of 1 to 4 layers 486 ~ ee ———_—_— 5GNR in BULLETS ‘The UE selests 2 beams Which ae separated by the oversampling factor when eporting rank 3 or rank 4. Each polarisation of each antenna pane transmits these 2 beams so there isa total of 4 cross polar beams, Each individval polarisation beam transmits a precoded rmbination of the 3 or 4 layers * 4PP has specified 2 modes of operation when selecting the precoding matrix. The Base Station uses the codebookMode information ‘clement to instruct the UE to apply a specific mode of operation (this information clement is applicable to both single panel and multi panel Type I codebooks) Inthe case ofthe multi pane codebook, the operating mode impacts the reporting ofthe iter-pane! and er poarsation co-phasing phase shifts: ‘9. Codebook Mode I: supports both 2 and 4 antenna panels ; Stage 1 Reporting: if2 antenna panels are configured, the UE reports 1 wideband phase shift for inter-panel co-phasing. If4 antenna panels are configured, the UE reports 3 widebiind phase shits for inter-panel co-phasing. The beam selection is also reported during stage 1 + Stage 2 Reporting: the UE reports 1 phase shift per sub-band for inter-polarisation co-phasing 0 Codebook Mode =2: supports only 2 antenna panels ‘+ Stage | Reporting: the UE reports 2 wideband phase shifts for a combination of inter-panel and inter-polarisation co-phasing. ‘The beam selection is also reported during stage I ‘+ Stage 2 Reporting: the UE reports a set of 3 phase shifts per sub-band for a combination of inter-panel and inter-polarisation co-phasing + Codebook Mode 2 benefits from an increased quantity of sub-band reporting but this generates an increased signalling overhead. In addition, Codebook Mode 2 is restricted to 2 antenna panels 13.6.3.3. TYPE 2 SINGLE PANEL CODEBOOK + “Type 2” codebooks are intended for Multi User MIMO (MU-MIMO) with support fora maximum of 2 layers, i.e. 22 MIMG/They provide more accurate Channel State Information than Type I codcbooks bu also generate a larger signalling overt and Rank 2 PMI indices belonging toa Type I codebook identity a prefered beam and an inter polarisation co-phasing pase shigf PMI indices belonging oa Type 2 codebook identity a sg of beams and ast of amplitude coeficients. These amplitude cooficiens ar, ‘wed to generat a weighted combination of beamgffne Type 2 codebook also identifies a phase shit for co-phasing between be + ‘The type2 Single Panel codebooks congue sng the CodelookCof within th CS?reparConf ne codlooType muse stoped, whi th subype must be et “pel f + The Base Sation is expected to transmit non-precoded CSI Reference Signals from a specific number of antenna poryfThe number of tstena port is configured using the nrofPorts information element within the CSI-RS-ResourceMappingf The UE wes the CSI Reference Signals to identify ts prefered precoding i, the UEsclecs the precoding weights which it would like the Base Station to ‘oplyin order to maximise the downlink signal quali + Similar tothe Type 1 codebooks, 3GPP TS 38.214 specifies Type 2 precoding matrices fora specific set of antenna configurajons/ eee pe fied towse the sme antenna configurations as Type | Single Panel codebook Thkac configurations are repeated in Table 302/The Ny; variable defines the number of cross polar antenna element columns, wheres the Np Variable defines the umber of oss pofar antenna element rows The numberof CSI Reference Signal antenna ports s always equal to 2, Ny because each row and column is assumed to ince 2 polaris + The0, and 0, variables define oversampling factors which determine the number of beams availabe for sletioghThe product of N, ‘nd 0; defines the number of beams available for selection across each row of cross polar antenna clem reas, the product of ‘Nzand 0; defines the number of beams available for selection across each column of cross polar antenna Aemeny Mes | Sina uon) any || : @) 1) 3) 4) 2) ) (6.2) 4) on on) “ 0) a0) a, 62) a) es Ga) 4) e GD » Be G2) 4) ping 62). 4,4) asa) G1), oo) GD. “Table 302 Supported Antenna Panel and Oversampling configurations 487 SGNR in BULLETS * Similar to Type 1 codebooks, PMI reporting is completed in 2 sapere first stage provides wideband information and is assumed to change relatively slowly asa funetion of time, whereas the second sttge provides sub-band information and is assumed to change more “The frst stage of PMI reporting (wideband information) is summgyised in Figure 407. This figure assumes a single antenna panel ‘which has 4 eolurms and 2 rows of cross polar antenna element The Oversampling factors of 4 in both dimensions lead toa pool of 16 8 = 128 beams + The CadeookConfe parameter strstr uses the mumberOfBeans infomation ment to specif the number of beams which he UE ea ene eae lcment canbe configured wi vals of2, 3.0 tis mandatory to configure a vag of 2 when there eT ieee ipa eth ancoma pel is reltivel smal and fer are only 8 beams within he poi 407 assumes that mumberOBeame = « Jrcraipotetoror alan geen trai of grin ps iio cane nmi of Hee re ample Fue 407 hes 42 8 rovpa Dect her are 42 cos pola antena element ai Ce re sateen iin yeh ends i ae Ts elie mae toe pny en et a opamp ee see il ia aan oc tt gion bias beep eee Srey ele oe rummberOfBeams (t) = 4 that ; (04,02) = (44) | IQ TOTS tse : : XXII SOL X|PIXIX FE ee tage te woe plete Lemnos tort toed polorisation eta | Let || 2. Select strongest beom per layer {eeress both polorisatons) 43. deny wideband amplitudes per beam per layer per polarisation Figure 407 Stage of PMI reporting for Type 2 Single Panel Codebook "The UE then proceeds to identify the strongest beam for each layeg/ Figure 407 assumes rank 2 soa strongest beam is identified for layer I and a strongest beam is identified for layer 2. The beams éSsociated with each polarisation are considered to be independent so the strongest beam is selected from a set of 8 beams (rather than from a set of 4 beams) 4 After identifying the strongest beam for each layer, the UE selects a wideband amplitude coefficient for each of the remaining beams ‘This wideband amplitude coefficient quantifies the power of a beam relative to the strongest beam, 3GPP TS 38.214 specifies power ratios of 1, 1/2, 1/4, 1/8, 1/16, 1/32, 1/64 and 0, ic a set of 8 power levels which require 3 bits within the signalling payloed ‘The second stage of PMI reporting involves providing information per sub-band: phase shifts are reported foreach beam relative tothe phase of the strongest beam. The example illustrated in Figure 407 i based ‘upon 8 beams per layer, so the UE reports 7 phase shifts per layer. The Buse Station uses the phasedlphabetSize information clement within the CodebookConfig to specify the use of either QPSK or SPSK when selecting phase shifts. The use of SPSK provides increased angular resolution but requires 3 bts of signalling payload rather than 2 bts, ‘© the Base Station can instruct the UE to either include or exclude sub-band amplitude information using the subbandAmplitude information clement within the CodebookConfig parameter structure. Sub-band amplitude information uses a lower resolution tht ‘wideband amplitude information to help reduce the signalling payload size. Wideband amplitude values are selected from a sct of 8 values (requiring 3 bits), whereas sub-band amplitude values are selected from a set of 2 values (requiring only 1 bit). The sub- band amplitude values are used to scale the wideband amplitude "The information from the sub-band, layer and polaris and yecond stages of PMI reporting is combined to generate a weighted combination of beams foreach jon 488 d 5G NR in BULLETS 3.6.3.4 TYPE2 PORT SELECTION CODEBOOK The “Type 2 Port Selection” codebook isa special type of codebook which assumes thatthe Base Station already has at least some knowledge of the propagation channel between itself and the UE. The Base Station uses this information to generate CSI Reference Signal beams towards the UE, ic. the “Type 2 Port Selection’ codebook relies upon the transmission of CSI Reference Signals which have already been precoded for beamforming. The UE is able to use these CSI Reference Signal beams to provide refined Channel ‘State Information. There are three general scenarios: the Base Staton uses channel reciprocity to obtain the iil propagation channel information, Tis allows the Base Station to generate the CSI Reference Signal beamforming vectors for transmission towards the UE the Base Staton uses reports from the Beam Management procedure to obtain information regarding the preferred beamforming direction. The Base Staton can then use this information to generate the CSI Reference Signal beams towards the UE fo. the Base Station uses a 2-step hybrid CSI reporting solution. Ths involves the Base Station configuring the UE to se a combination of two PMI codebooks. The UE is instructed to use the first codebook to generate and report the long term, wideband

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