5G New Air Interface

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5G Service Introduction
5G New Air Interface
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Copyright©2018 Huawei Technologies Co., Ltd. All Rights Reserved.

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

18B Application
3GPP Protocol Architecture for 5G
Copyright©2018 Huawei Technologies Co., Ltd. All Rights Reserved. 2 / 52

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

NR Air Interface Resources Overview
Numerology: system parameters. refers to subcarrier spacing (SCS) in an NR system and related
parameters, such as the symbol length and CP length.
Time- CP
domain Basic scheduling unit
Symbol length Slot Subframe Frame

Numerology
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 Unchanged
Codeword Layer Antenna port
NR Vs. LTE Enhanced
QCL Newly added

SCS
• Numerologies supported by 3GPP Release 15 (TS 38.211) • 3GPP TS 38.104 (RAN4) defines SCS for different frequency
bands.
µ SCS CP
 SCS for bands below 1GHz: 15 kHz, 30 kHz
0 15 kHz Normal
 SCS for bands btw 1GHz and 6GHz: 15 kHz, 30 kHz, 60 kHz
1 30 kHz Normal
 SCS for band 24GHz to 52.6GHz: 60 kHz, 120 kHz
2 60 kHz Normal, extended
 240 kHz for data is not considered in Release 15.
3 120 kHz Normal
4 240 kHz Normal
• RecommendedSCSSCS for different
(kHz) 15 frequency
30 60 bands
120 (eMBB
240
services): good
Coverage bad
• 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
Case 3 Multiple scenarios Low/high Speed
28 GHz bad good
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:
– Example: SCS = 30 kHz/120 kHz
– SFN range: 0 to 1023
 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
corresponding HARQ feedback.
 Problems in application
– 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
interface.
D U
• 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 D D D
X D
X D
X X D
X D
X D
X U
D
2. UE-specific RRC configuration

– Layer 2: semi-static configuration through UE-specific RRC
signaling D D D D X
D X X
D X
D U
D U
D
– Layer 3: dynamic configuration through UE-group SFI 3. SFI
– Layer 4: dynamic configuration through UE-specific DCI D D D D D D D D DX U

D U
D
4. DCI
D D D D D D D D U
D U
D
 Main characteristics: hierarchical configuration or  Separate layer configuration

separate configuration of each layer Cell-specific RRC configuration/SFI
– Different from LTE, the NR system supports UE-specific
D D D D D D D D U
D U
D
configuration, which delivers high flexibility and high resource
utilization
– Support for symbol-level
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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
downlink-only slots D D D D U
D D D D U
D U
D
– {0,1,…,13}
x1 y1 x3 y3
– y2/y4: number of uplink symbols in X type in front of
y2 y4
uplink-only slots
– {0,1,…,13} x2 x4

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)
subcarriers
sNubcarriers
RB
N RB N sc
– Basic scheduling unit for data channel
RB
–
sc
Frequency domain: 12 contiguous subcarriers

 Resource Block Group (RBG)
– Basic scheduling unit for data channel, to reduce control channel overheads Resource element
– 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
5 MHz 10 MHz 15 MHz 20 MHz 25 MHz 40 MHz 50 MHz 60 MHz 80 MHz 100 MHz
SCS 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]
50 MHz 100 MHz 200 MHz 400 MHz
SCS Transmission Bandwidth Configuration N RB [RB]
(kHz) NRB and Spectrum Utilization (FR2: 24 GHz to 52 GHz)
Channel Edge
Channel Edge
Transmission
Bandwidth [RB]
66 132 264 N/A
Resource Block
60
95% 95% 95% \
32 66 132 264
120 Active Resource
f
92.2% 95% 95% 95% 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 Point A Reference Location Offset
– Defined for the uplink, downlink, PCell, SCell, and SUL PCell DL UEs perform blind detection to obtain this
separately (TDD/FDD) information from SSB.
– Point A = Reference Location + Offset
PCell UL UEs are informed of this
– For details about the reference location and offset for different Same as Point A for the PCell downlink
(TDD) information through the
reference points, see the figure on the right. RMSI.
– Common RB (CRB): index in the RG Frequency-domain location of the ARFCN
PCell UL
UEs are informed of this information
– The start point is aligned with Point A. (FDD)
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
– The relationship between PRB and CRB is as follows: SUL through the SCell configuration message. signaling.
start
nCRB  nPRB  N BWP, 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 ΔF Global.
-- 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.
– The number of codewords depends on the rank of the channel – For DL/User: 8@SU; 4@MU
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
Scrambling mapper OFDM signal PDCCH 1
mapper RE mapper
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}
– QCL-TypeD: {Spatial Rx parameter} Type C, Type C+Type D
Type A PDSCH DMRS
 Application scenarios SSB TRS
PDCCH DMRS
– RRM management: such as type C Type A/Type B
– Obtaining channel evaluation information: such as type A, and
type B Type D
Type A+Type D
CSI-RS for CSI
– Assisting UEs in beamforming (forming a spatial filter and beam Type C+Type D Type D
indication): such as type D CSI-RS for BM

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 Uplink
Downlink Physical Channel/Signal Functions
Physical Physical Physical Physical
SS Used for time-frequency synchronization and cell search.
Channel Signal Channel Signal
PBCH Carries system information to be broadcast.
PBCH DMRS PRACH DMRS
Transmits control signaling, such as signaling for uplink and downlink scheduling
PDCCH and power control.
PDSCH Carries downlink user data.
PDCCH PTRS PUCCH SRS 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.
PDSCH CSI-RS PUSCH PTRS
Uplink Physical Channel/Signal Function
PRACH Carries random access request information.
PSS/ Transmits L1/L2 control signaling, such as signaling for HARQ feedback, CQI
SSS PUCCH feedback, and scheduling request indicator.
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
SR
SRS 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 DCCH Content is

BCCH PCCH DTCH
Channel CCCH classified
 Transport Transmission
BCH PCH DL/UL
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
RBG 1 RBG = 2/4/8/16 RBs
SubFrame SubFrame …… SubFrame
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
frequency difference from the lowest
SSB
Initial DL BWP PRB of RMSI to the lowest PRB of
PDSCH
SS/PBCH block.
Frequency offset
Time
 Procedure for UEs to determine the downlink initial BWP

UEs obtain information about
UEs obtain the SSB UEs read SI to obtain the The frequency-domain location
the frequency-domain location
frequency-domain location frequency offset and and bandwidth of RMSI
and bandwidth of the initial
through SI (MIB). CORESET bandwidth. CORESET are determined.
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
PSS
Carrier
center
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
1 slot
 RNTIs used by DCIs
– 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)
aggregate 1, 2, 4, 8, or 16 CCEs to constitute a PDCCH –
1 RB
SFI-RNTI (slot format)
PDCCH
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
power control command)
2 CCEs
– 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
FL DMRS
SCn9
– Front Loaded (FL) DMRS: Occupies 1 to 2 symbols SCn8
SCn7
Add DMRS
– Additional (Add) DMRS: Occupies 1 to 3 symbols, used in high- SCn6
SCn5
speed scenarios for anti- Doppler spread. SCn4
SCn3
 DMRS type: Different DMRS types allow different maximum SCn2
SCn1 1000/1001/1006/1007
numbers of ports. SCn0
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 SCn11

SCn10
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 1 st 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)
Used for radio link monitoring (RLM) and radio resource management (handover). The UE
RLM/RRM 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
256QAM PAPR)

Contents
5G NR Channels and Signals

on 18B Application

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

TSG SA Service & Systems Aspects
Radio Access Network 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
SA WG6 TSGs are responsible for
RAN WG6Legacy 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 TR 38.802： TR 38.804： TR 38.801： TR 38.803：
new radio access Study on new Study on new Study on new Study on new
technology radio access radio access radio access radio access
TR 38.913： Study on technology technology Radio technology: Radio technology: Radio
scenarios and requirements Physical layer interface protocol access Frequency (RF)
for next generation access aspects aspects architecture and and co-existence
technologies interfaces aspects
TS 38.3XX
TS 38.2XX TS 37.324 TS 38.4XX TS 38.1XX
（ SDAP ）
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 L1 NR; Physical layer; General
TS 38.201
overview 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 TS 38.212 NR; Multiplexing and channel coding
Physical
Layer NR; Physical layer procedures for
TS 38.213
control
Quoted from 3GPP TS38.201
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
L2/L3
SDAP
QoS flow QoS flow
TS 38.300 NR; Overall description; Stage-2
handling handling
overview
Radio Bearers
NR; Medium Access Control (MAC) protocol
L2-MAC layer TS 38.321
ROHC ROHC ROHC ROHC
specification
PDCP
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
Protocol (SDAP) specification
Scheduling / Priority Handling
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

NR Air Interface Protocol – RAN3 TS Study Guide
Overvie TS 38.410 NG-RAN; NG general aspects and principles
TS 38.401 NG-RAN; Architecture description TS 38.411 NG-RAN; NG layer 1
w
NG: interface TS 38.412 NG-RAN; NG signalling transport
NG-RAN Overall architecture btw gNB and TS 38.413 NG-RAN; NG Application Protocol (NGAP)
core
5GC
TS 38.414 NG-RAN; NG data transport
TS 38.420 NG-RAN; Xn general aspects and principles
NG NG TS 38.421 NG-RAN; Xn layer 1
NG-RAN TS 38.422 NG-RAN; Xn signalling transport
Xn Xn: interface
btw gNB and TS 38.423 NG-RAN; Xn Application Protocol (XnAP)
gNB gNB-CU gNB gNB-CU
gNB TS 38.424 NG-RAN; Xn data transport
F1 F1 TS
F1 F1 TS 38.425
38.470 NG-RAN;
NG-RAN; Xn interfaceaspects
F1 general user plane
and protocol
principles
TS 38.471 NG-RAN; F1 layer 1
gNB-DU gNB-DU gNB-DU gNB-DU
TS 38.472 NG-RAN; F1 signalling transport
F1: interface
btw gNB CU TS 38.473 NG-RAN; F1 Application Protocol (F1AP)
and DU TS 38.474 NG-RAN; F1 data transport
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
 RAN1 TR38.802 Air
interface
3 5G NR Air
 RAN2 TR38.804
 TS38.3XX (7TSs)
 TS38.2XX (7TSs) technology interface
(L1) technology  TS37.324
(L2/L3)  TS37.340
RAN3 TR38.801
 TS38.401  TS38.41X (5TSs) RAN
2 5G
Network
Network
SA2 TR23.799
 TS23.501
interface
 TS38.42X (6TSs) architecture  TS23.502
 TS38.47X (6TSs)
RP TR38.913
Scenario and
requirement
1 5G
Requirement New
service and
market
SA1 TR22.891
 TR22.861
 TR22.862
 TR22.863
 TR22.864
technology

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

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specific customer requirements and conditions.
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5G New Air Interface

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5G NR Channels and Signals on

3GPP Protocol Architecture for 5G

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Symbol length Slot Subframe Frame

1 slot = 14 symbols 1 subframe = 1ms 1 frame = 10ms = 10 subframes

SCS RB RBG BWP Carrier

Frequency- Data/control channel scheduling unit

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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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2. UE-specific RRC configuration

– Layer 3: dynamic configuration through UE-group SFI 3. SFI

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

 Main characteristics: hierarchical configuration or  Separate layer configuration

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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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66 132 264 N/A

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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Carrier Bandwidth Carrier Bandwidth Carrier Bandwidth

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Random Access Procedure RRC Connected Procedure