5G NR Typical Beamforming Cases

Andrew Kolomatski

4G/5G RAN Solution Architect

12 articles

There are two radio technologies for beamforming - analog and digital ones.

3gpp allows for multitude of various digital beamforming configurations that can be

employed in 5G new radio. This variety is defined in 3gpp 38.214, specifically in 5.2.2.2
Precoding matrix indicator (PMI) which is based on a codebook concept. Nowadays the
most popular codebook type in commercial networks is 5.2.2.2.1 Type I Single-Panel
Codebook. This type of codebook produces the variety of PMI-based beamforming
configurations which originates from the variety of supported configurations of parameters (N1,
N2) and (O1,O2). The parameters (N1, N2) and (O1,O2) define the number of beams in
horizontal and vertical planes in case of digital beamforming. The number of CSI-RS ports used
for digital beamforming is equal 2xN1xN2 and can be 4, 8, 12, 16, 24, or 32 (see Table
5.2.2.2.1-2 in 38.214 for details). Below two use cases will be considered as examples - with
number of CSI-RS ports equal to 4 and 8.

Analog beamforming is predominantly used for high-band, so called mmWave radio.

With analog beamforming the grid of beams is predefined and static, and at any instance
of time only one predefined beam can be used for transmission or reception throughout
frequency domain, i.e. there is no frequency multiplexing of beams of different spatial properties
(different directions). The number of CSI-RS ports used in case of analog beamforming is
equal 2 and the very concept of parameters (N1, N2) and (O1,O2) is not applicable for analog
beamforming. This is because the analog beamforming is not a PMI-based type of beamforming,
and PMI reporting powered by the 2-port CSI-RS is not for beamforming purposes but rather for
MIMO facilitation purposes.

Below are presented the four most commonly used typical cases - two for high-band analog
beamforming and two for mid-band digital beamforming. All the information presented below
can be derived from the corresponding RRC signalling message solely and doesn't require a
vendor's specification or internal settings knowledge.

Case 1. High-band analog beamforming with 6 narrow traffic beams per SSB.

 Analog beamforming only.

 Beam-formed CSI-RS - 6 narrow traffic beams per each wide beam.
  12 wide beams (SSB beams).
 Total number of traffic narrow beams is up to 12x6=72. It can be less than 72 because
some narrow beams can be used by two adjacent wide beams.
 2 antenna ports for PMI reporting, thus PMI is not for beamforming purposes (no PMI-
based digital beamforming), but for MIMO and Link Adaptation facilitation only.
 Impossible to derive spatial (V vs H) distribution of beams from codebookConfig RRC
information. Vendor’s specification is required to know exact distribution of the wide
SSB beams over Horizontal and Vertical planes.

Case 2. High-band analog beamforming with 12 narrow traffic beams per SSB.

 Analog beamforming only.

 12 wide beams (SSB beams).
 Beam-formed CSI-RS - 12 narrow traffic beams per each wide beam.
 Total number of traffic narrow beams is up to 12x12=144. It can be less than 144 because
some narrow beams can be used by two adjacent wide beams.
 2 antenna ports for PMI reporting, thus PMI is not for beamforming purposes (no PMI-
based digital beamforming), but for MIMO and Link Adaptation facilitation only.
  Impossible to derive spatial (V vs H) distribution of beams from codebookConfig RRC
information. Vendor’s specification is required to know exact distribution of the wide
SSB beams over Horizontal and Vertical planes..

Case 3. Mid-band digital beamforming without SSB sweeping.

 Digital beamforming
 A single wide beam (SSB beam)
 Non-beam-formed CSI-RS: 8 antenna ports for PMI reporting, thus PMI is used for pre-
coding as beamforming technology.
 Total 16 PMI-based beams are available, all being in horizontal plane only
 Possible to derive spatial (V vs H) distribution of beams from codebookConfig RRC
information:

codebookType : type1
    subType : typeI-SinglePanel
    nrOfAntennaPorts : moreThanTwo
    n1-n2 : four-one-TypeI-SinglePanel-Restriction

    four-one-TypeI-SinglePanel-Restriction : 111111111111111

Case 4. Mid-band digital beamforming with SSB sweeping.

 Digital beamforming
 6 wide beams (SSB beams)
 Non-beam-formed CSI-RS: 4 antenna ports for PMI reporting, thus PMI is used for pre-
coding as beamforming technology.
 Total 48 PMI-based beams are available, all being in horizontal plane: 8 PMI-based
beams per each of 6 wide SSB beam
 Possible to derive spatial (V vs H) distribution of beams from codebookConfig RRC
information:

codebookConfig
               codebookType : type1
               subType : typeI-SinglePanel
               nrOfAntennaPorts : moreThanTwo
               n1-n2 : two-one-TypeI-SinglePanel-Restriction

               two-one-TypeI-SinglePanel-Restriction : 11111111