5G Beamforming: Network Engineering Information

NETWORK ENGINEERING
5G Beamforming
5GC000535 Analog Beamforming
5GC001943 Spillover analog Beamforming
5GC000533 Digital Beamforming for CPRI based Rus

5GC001942 Spillover digital Beamforming for CPRI based RUs
Network Engineering Information

• Version number 1.0
• Document ID:5af99b5217a5180012dbaa87
• Krzysztof Wisniowski
• 30-08-2019
Please, always check the latest version of NEI slides.

1 © Nokia 2016
Disclaimer
• Please note that the NEI materials are for internal use only. If they shall be used as a source for
the customer presentation, it is mandatory to align the contents with the Product Management
and/or local sales teams at first
• The results of simulations shown in this presentation are examples only. They demonstrate trends
(not absolute values) expected after feature activation. The presented simulations should be
analyzed with respect to the assumptions taken. They may differ from results achievable in real
networks.
• This NEI slide deck reflects the state of the feature/solution as it is at the moment of the NEI slide
deck release and is being updated up to C5 (release available) milestone .
2 © Nokia 2018
Feature scope matrix
List of features and subfeatures considered for this presentation
Feature ID Considered subfeatures CFAM version Comment

5GC000535 5GC000535-A V0.26 released on
Analog Beamforming SS block burst set beamforming control 2018-07-20
5GC001943 Spillover analog 5GC000535-B
Beamforming (5G19A) Analog BF with basic configuration: initial access and data transfer
5GC000535-C
Analog BF with multiple carriers
5GC000535-D
Beam tracking with multi CC – covered by 5GC001943
5GC000535-E
Beam recovery through PRACH - covered by 5GC001943
5GC000535-F
Analog BF with multiple GoB patterns
5GC000533 5GC000533-A V0.9.0 released on

Digital Beamforming for CPRI based Beamforming on up to 8 SSB beams 2018-09-05
RUs 5GC000533-B
5GC001942 Spillover digital Beam tracking on single SSB beam
Beamforming for CPRI based Rus 5GC000533-C
(5G19A) Beam refinement and reporting of second best beam - covered by
5GC001942
5GC000533-E
Beam recovery and PM Counters
3 © Nokia 2018 Nokia Internal Use

Revision history and metadata
Please, note that NEI is a controlled document and it is obligatory to fill in and maintain
its Revision History
Document ID: 5af99b5217a5180012dbaa87
Document location: https://webnei.emea.nsn-net.net/#/webnei/5af99b5217a5180012dbaa87/1
Organization: Network Engineeringv1.2
Version Description of Changes Date Doc Owner Doc Status Reviewed Approver Approval Date
by
V0.1 First version of the material 10-05-2018 Krzysztof Wisniowski Draft
V1.0 Approved version 19-05-2018 Krzysztof Wisniowski
V1.1 Beam tracking info updated. Feature scope matrix 19-12-2018 Krzysztof Wisniowski
added
V1.1 Added feature tags 28-02-2019 Krzysztof Wisniowski
V1.1 Fix 535-E subfeature content 25-03-2019 Krzysztof Wisniowski
V1.2 Updated Performance section 01-06-2019 Krzysztof Wisniowski
V1.2 Updated with 5GC001942, 1943 17-07-2019 Krzysztof Wisniowski

Agenda
1
Introduction
2
Technical
Details
3
Configuration
Management

Introduction
5G Physical Layer: Beamforming

5GC000535 Analog Beamforming Table of contents
5GC000533 Digital Beamforming for CPRI based RUs
<chapter:introduction>

Introduction
Frequency vs. pathloss
Pathloss proportional to the square of carrier
Free Space Propagation frequency
• Where does the power go?
2
Pr  Gr Gt Pt
4r 2 Effective area of radiating element is
FREQUENCY
proportional to square wavelength
Solution : Increase number

of radiators per polarization,
when going to higher frequencies
1GHz: N=1 2GHz: N=4 4GHz: N=16 32GHz: N=1024

0.5=15cm 1=15cm 2=15cm 16=15cm
0.5 1 2 16
G5dBi G11dBi G17dBi G35dBi

Introduction
Beamforming and beamwidth
Drawback: beamwidth
becomes smaller with
higher antenna gain (higher 1GHz: N=1 2GHz: N=4 4GHz: N=16 32GHz: N=1024
0.5=15cm 1=15cm 2=15cm 16=15cm
number of radiators)
0.5 1 2 16
Antenna does not cover whole
sector at once any more. “pencil
~120 ~60 ~30 beams:“ ~4
Special methods are needed

for Broadcast (BCH) and azimuth and elevation beam-width
Random Access (RACH)
Adaptive user tracking needed Example from 5G Antenna Concepts and Algorithms Domain Training, available here

Introduction
Electromagnetic Wave Polarization
• An electromagnetic plane wave travels in a single direction and
the Electric and Magnetic fields are perpendicular to each other
and to the direction of travel.
• Speed = wavelength x frequency ( c=f )
• The Polarization of a plane wave is the orientation of the Electric
field as the wave propagates
• Linear Polarization:
• E field occupies a single plane as the wave propagates
• Circular Polarization:
• E field has two equal-magnitude orthogonal components 90 degrees
out of phase
• E field traces a circle as the wave propagates
• If the direction of propagation is out of the page:
• Right Hand Circular Polarized: E field rotates counterclockwise
• Left Hand Circular Polarized: E field rotates clockwise
• Elliptical Polarization
• E field has two unequal-magnitude orthogonal components 90
degrees out of phase
• E field traces an ellipse as the wave propagates
9 © Nokia 2018
Introduction
Electromagnetic Wave Polarization
Polarization of the transmitted EM wave is determined by the

orientation of the radiating element in the antenna.
Vertical beamforming
If EM waves are polarized orthogonally (e.g. electric field vector
is 90deg apart) they will not interfere and can be used to
(elevation)
transmit different data symbols.
Changing the beam direction and shape (beamforming) is done

using the same polarity elements.
Through scattering during propagation initially orthogonal

waves will lose their orthogonality and some crosstalk would Horizontal beamforming
occur on the receiving antennas. (azimuth)

Introduction
Beamforming principle
Waves transmitted from multiple antennas will add

constructively/destructively in space. By changing the phases and
amplitudes (→ complex weights, beamforming vector) of the
individual antennas we can change the azimuths of these specific
areas → beam pattern
To transmit to a specific user, ideally signals from all of the

transmit antennas should arrive at its receive antenna in the same
phase to add constructively. To achieve this, knowledge about
channel coefficients is needed to direct a beam. With limited
channel knowledge the results will be sub-optimal.

Introduction
Example: obtaining channel information (applicable to LTE)
• Beamforming needs channel knowledge at the transmitter
- Channel coefficient == how does a channel change the amplitude and phase of the symbol
• In TDD there is channel reciprocity (UL and DL have same channel coefficients)
• Channel information is obtained from UL Sounding Reference Symbols
• Based on the channel information, a vector of beamforming weights is calculated
• In 5G19 a different approach is taken (see next slide)
Received Transmitted
symbol symbol
Q
Channel
coefficient h -
how the channel Amplitude
changes the
transmitted
I
symbol in terms of
amplitude and Phase Reciprocity granted in TDD
phase

Introduction
5G: Grid of Beams principle AirScale System Module (RAU) AirScale MAA (RU)
(gNB-DU excl. RF part) (RF part of gNB-DU)
In 5G19 gNB operates on a set of predefined beams in
UL and DL.
Sets of beam weights are stored in the RU and beam CPRI One beam
synthesis is taken over by RU.

Beam selection is done by RAU and is indicated to RU
by beam index.
AirScale System Module
The main effect is significant reduction of fronthaul ASIK+ABIL
capacity requirement – instead of connecting to every
TRX, only the per user streams need to be transmitted.
Another benefit is reduction of baseband capacity
MAC scheduler, adapt rank, GoB
requirement as calculation of beamforming weights on MCS, beam, PMI Beam_1: {w1,w2… wn}
the fly is very demanding on the computation power. Beam_2: {w1,w2… wn}
Antenna elements
The drawback of this solution is non-optimal …
Beam_n: {w1,w2… wn}
Rank,
beamforming towards users. PMI,
MCS
In 5G19 beam weights are shared by +45 and -45
degree antenna polarizations, i.e. each beam is cross-
UE data
polarized and can send two multiplexed streams.

Introduction Number of control blocks
Beamforming Control Interface flexible
• Used in both analog / digital Beamforming Control Message

beamforming Body
Heading delimiter
Tailing delimiter
• Sent from beamforming control
Control Block #10
Control Block #11
Control Block #12
Control Block #13
Control Block #14

Control Block #1
Control Block #2
Control Block #3
Control Block #4
Control Block #5
Control Block #6
Control Block #7
Control Block #8
Control Block #9
entity (L2,L1)
Header
• Needs to be timed correctly to
ensure the Execution Entity (radio
module) has enough time to switch
to the desired beam
Control Block
Control Vector #0 Control Vector #1 Control Vector #2 Control Vector #3
BCN_N2
Pattern ID Pattern ID Pattern ID Pattern ID
ANGLE_POINTER
ANGLE_POINTER
ANGLE_POINTER
ANGLE_POINTER
CTRL_BLOCK_CRC
STUFF
BW_H
BW_V
BW_H
BW_V
BW_H
BW_V
BW_H
BW_V
CAL TX_RX CAL TX_RX CAL TX_RX CAL TX_RX
y1 CRC-8-WCDMA
Sizes and presence need Needs to be

Control message's header 24 Sizes and presence need to be 1 Sizes and presence need to be 1 Sizes and presence need to be 1 to be configured to BCE 1 configured to 8
fixed size, 112 bits configured to BCE and ExE configured to BCE and ExE configured to BCE and ExE and ExE BCE / ExE
CTRL_MSG_BODY_LEN
BCN_N1
SUBFRAME_NUMBER
CTRL_MSG_VERSION
SEQUENCE_NUMBER
FLOW_DES_EXEC
FLOW_DES_CTRL
SUBFRAME_TYPE
CTRL_BLOCK_NO
STUFFING "11"
STRUCT_CRC HEAD_CRC
x CRC-4-ITU CRC-4-ITU
4 14 4 © Nokia
8 2018 8
16 6 2 8 8 40 4 4
Introduction
Beamforming
time
The transmission of
data (& control
information) to any
individual UE is
done with the help
of the narrow
beams.
Each individual beam is a signal limited in space (narrow beam), that is intended to reach the user
(or users) placed in the coverage zone of that specific beam but that is not visible to other users
(it’s still detected by others, but with low level)

Introduction
Beamforming – Downlink and uplink
time
Downlink
transmisson,
followed by uplink
transmission. The
switching can be
done on slot basis,
or on symbol basis
The TDD transmission mode means that there could be DL or UL frames at the same carrier
frequency. The DL and, respectively, UL scheduler will choose the beam direction that will be used
during the incoming TTI, according to the frame type (direction)

Introduction
Beamforming - common channels coverage
The continuous coverage of the cell area is not

there any more. The problem is: how to
provide common control channels. These
channels need to be heard by all UEs in the
coverage area of the given cell.
The answer is: sweeping. At predefined

amounts of time, the broadcast information is
being sent sequentially across all beams – think
about a lighthouse for a real-world reference.

Introduction
SS Block Burst Set: multi-beam sweeping
• Within an SS/PBCH burst set, beams are mapped in consecutive SS/PBCH blocks in increasing order of beam index
• The beam indexes are numbered from 0 to L-1 where L represents the maximum number of beams where SS/PBCH blocks are
broadcasted within a SS/PBCH burst set
• The beam indexing initialization is such that the beam 0 is transmitted in the first SS/PBCH block of the first radio frame carrying
SS/PBCH block
SS Burst Set 1 The number of SS Blocks in SS Burst Set

SS Burst Set 0
equals the number of beams. Parameter
SS SS SS SS SS SS SS SS SS SS NRCELLGRP:numberOfTransmittedSsBlocks
… block block block block … block … block block block block … block … defines the number of transmitted SS Blocks
0 1 2 3 L 0 1 2 3 L Value Name
1 1 beam
Multi-beam
sweeping
… …
2
4
2 beams
4 beams
6 6 beams
beam #0 beam #1 beam #2 beam #3 beam #L-1 beam #0 beam #1 beam #2 beam #3 beam #L-1 8 8 beams
9 9 beams
12 12 beams
The main purpose of SS Burst sets is to support DL beam 15 15 beams
sweeping, in which DL Tx beams are sequentially transmitted 18
21
18 beams
21 beams
in order to cover the whole service area in one SS Burst Set 24
32
24 beams
32 beams
18 © Nokia 2018
Technical Details
5G19 broadcast transmission - summary
PSS SSS PBCH
PSS, SSS and PBCH

(carrying MIB) are time SS Burst SS Burst Set
and frequency
multiplexed SSS
Below
6GHz 2x PSS PBCH
PBCH
PBCH 3 to
6GHz 8x PSS PBCH
SSS
PBCH
PBCH
SSS
Above
4x PSS PBCH PBCH Above
64 x*
SSS
SS Block 6GHz PBCH 6GHz
PSS PBCH
PBCH
PBCH
SSS SS Blocks form SS Burst that is a SS Bursts compose SS Burst set

PSS PBCH PBCH
PBCH set of consecutive SS blocks used for multi beam sweeping
That set compose SS *Up to 32 according to
Block in four consecutive NRCELLGRP:numberOfTransmittedSsBlocks
OFDM symbols parameter range

Resource Element (RE)
Technical Details frequency Resource Block (RB)
Physical layer (multiple numerologies)
12 subcarriers
• One of new 5G functionalities compared to LTE is support of
multiple numerologies – multiple subcarrier spacings
• Subcarrier spacing (SCS) is based on common 15kHz base.
• Subcarrier spacing: Δf = 2µ * 15kHz where µ defines the
numerology.
time
• Nokia in 5G19 supports following numerologies: 14 OFDM symbols
1 slot (basic scheduling unit)
- Frequencies below 6GHz:
• µ = 1  Δf = 30kHz  1PRB = 360kHz 1 subframe (1ms) = 2 slots = 28 OFDM symbols
- Frequencies above 6GHz: Δf = 30kHz
• µ = 3  Δf = 120kHz  1PRB = 1.44MHz (for PDSCH, PUSCH and PRACH)
1 subframe (1ms) = 8 slots = 112 OFDM symbols
• µ = 4  Δf = 240kHz  1PRB = 2.88MHz (for PSS, SSS and PBCH – SS Blocks)
Δf = 120kHz
1 frame (10ms) = 10 subframes
1 subframe (1ms) = 16 slots = 224 OFDM symbols
Δf = 240kHz
Introduction
PRACH
DL SS burst
Physical Random Access Channel design needs
to take into account the beamforming Specified
principle. There is no continuous DL coverage amount of
with control channels, and equivalently, there time
is no always-on listening space for the
common channels in the uplink Uplink RA
message
The gNB periodically activates a receive beam
covering a specific zone of the cell coverage,
to receive Random Access messages from the
UEs that are present in that specific zone
The uplink RX beam activation is periodic and The UE infers from the reception time of the
is linked to the downlink SS burst periodicity downlink SS beam the exact time slot where
the RA message shall be sent (if needed)
More details: PRACH Control WebNEI

Agenda
1
Introduction
2
Technical
Details
3
Configuration
Management

Technical Details
ANALOG
DIGITAL
Beamforming
Beamforming
5G19 Radio Units

5GC000515 5GC000514
AEUA 28GHz Radio Unit AEWA 39GHz Radio Unit
5GC000562 5GC000664
AEQA 3.5GHz Radio Unit AEQD 3.7GHz Radio Unit • UL/DL 2x2 SU-MIMO
• UL/DL 2x2 SU-MIMO

• DL: 4x4 SU-MIMO / UL: 2x2 SU-MIMO
• 16UL/16DL MU-MIMO
3.5 GHz 3.7 GHz 28 GHz 39 GHz
400 MHz 3 GHz 6 GHz 10 GHz 30 GHz 90 GHz

cmWave mmWave
 continuous coverage, high mobility and reliability, interference limitation higher capacity and massive throughput, noise limitation 
Carrier BW n* n * 100 MHz 1-2GHz

Duplexing * TDD
Cell size Macro Small Ultra small
* - not supported in 5G19

Technical Details
Difference between Analog and Digital Beamforming
• In Digital Beamforming, beam pattern is synthesized by manipulating weights of the individual TRXs
• In LTE, this is default beamforming technique.
• Beamforming weights are applied between the fronthaul and TRXs.
• In 5G19 beamforming weights are applied in RU, while beam selection is done by RAU.
TRX1
TRX2
UE data TRX3
stream …
TRXn
w1 w2 w3 wn

Technical Details
Difference between Analog and Digital Beamforming
• In Analog Beamforming, there is a single TRX per polarization.
Beam pattern is obtained by modification of the RF signal
between the TRX and the antenna elements.
• There are number of ways how this modification can be done.
As an example, in one of 5G17 features an RF lens was used to
focus RF energy from the radiating element
• In 5G19, a planar array of 16x16 radiating elements is used. RF
signal is modified by an RF Integrated Circuit (RFIC) in the RU.
UE data
…
TRX1
stream
w1 w2 w3 wn

2 x (16x16) RFIC phased array antenna panel (1xH-pol and 1xV-pol)
AEUA 28GHz
Introduction Individual
5G19 Antenna System Solution Front View chip
8x12 phased array panel (AEQD 3.7GHz 8x8 array panel) Tx/Rx 4 antenna
AEQA 3.5GHz elements,
PAs, phase
and gain
Front View controller Back View
V-pol 16x16 RFIC panel
4 x (16x16) RFIC phased array antenna panel (2xH-pol & 2xV-pol)

8 or 12 rows AEWA 39GHz
Front View
Back View
V-pol panel
Rx1 Tx1
8 columns
Rx2 Tx2 H-pol panel
Radiator ±45°
cmWave ● antenna size  ● TRX separated mmWave ● antenna size  ● TRX integrated in chip
Classic X-Pol Phased Array Antenna Panel RFIC (Radio Frequency Integrated Circut) H&V-Pol Antenna Panels
Digital Beamforming Analog Beamforming
26 © Nokia 2018
MU-MIMO, SU-MIMO
Nokia Internal Use 2x2 MIMO
Agenda Digital
Beamforming
1
Introduction
2
Technical
Details
3
Configuration
Management

<feature:5GC000533>
Technical Details Digital

Beamforming
Digital beamforming in time domain for RUs connected via CPRI to

BBU for frequencies below 6GHz. A Grid of Beams (GoB) is used Applicable to frequencies below
and selection of beams is based on UE feedback. 6GHz
Digital beamforming means that the antenna characteristic is changed
by application of beamforming weights before power amplifier in
DL and after power amplifier in UL. Operates on set of predefined
As beamforming is executed on RF side on time domain I/Q data,
beams in DL and UL
each I/Q stream points to the same direction which implies that no
frequency-selective beamforming of a single spatial stream is
possible.
Beam weights are constant in
frequency for each user

Beamforming
When beamforming gets enabled, the number L of Synchronization

Signal blocks (SS/PBCH blocks) is increased from L=1 in case of no No. of supported
beamforming to at most L=4 (carrier frequency below 3 GHz) or L=8
(carrier frequency between 3 and 6 GHz). Synchronization Signal
Beams {1, 2, 4, 6, 8}
Each SS/PBCH block has assigned its own beam according to the
selected beamforming parameters. These parameters define the
shape of the L SSB beams such as to both reach cell edge as well as
to cover the whole cell area in order to avoid coverage holes.

Technical Details
Transmission of PBCH/PSS/SSS
In 5G19 beam weights are shared by vertical (V) and horizontal (H)
(or +45 and -45 degree in <6GHz) antenna polarizations, i.e. each
beam is cross-polarized and can send two multiplexed streams.
Each beam is comprised of two orthogonal polarizations,

transmitting simultaneously and in the same direction. Polarization
diversity is used to transmit parallel data streams (DL/UL 2x2 MIMO).
Precoding vector switching (PVS) is introduced in order to improve

the detection/demodulation performance of Primary Synchronization
Signal (PSS), Secondary Synchronization Signal (SSS), and Physical
Broadcast Channel (PBCH).
32 © Nokia 2018 Customer Confidential

Beamforming
Subfeature split
Key subfeatures in Digital Beamforming
5GC000533-A: Beamforming on up to 8 SSB beams 5GC000533-A: Beamforming on up to 8 SSB beams

5GC000533-B: Beam tracking on single SSB beam • definition of basic sets of SSB and refined beams
• transmission of up to 8 SS/PBCH blocks in up to 4 SS bursts
5GC000533-C: Beam refinement and reporting of second best beam • PRACH procedure with beam correspondence
• extension of beam correspondence to up to 8 SS/PBCH blocks
• (descoped from original feature and introduced in 5G19A with 5GC001942 feature) • preamble detection
• retrieving beam ID from PRACH opportunity
5GC000533-E: Beam recovery and PM Counters

Beamforming
Subfeature split
5GC000533-A: Beamforming on up to 8 SSB beams 5GC000533-B: Beam tracking on single SSB beam
5GC000533-B: Beam tracking on single SSB beam • CSI configuration of UE
• RSRP measurement based on SS/PBCH block transmission
5GC000533-C: Beam refinement and reporting of second best beam • periodic reporting of a single best beam (beam ID and RSRP)
• definition of CSI-Config to map SS/PBCH blocks and respective
• (descoped from original feature and introduced in 5G19A with 5GC001942 feature) report
• Beam switch for control and data channels, beam switch for
5GC000533-E: Beam recovery and PM Counters data channels might be delayed until new CSF or UL
measurement is available
• Updating of UE context according to beam switch decision for
best and second best beam, either SSB beams or refined beams
(if beam refinement is switched on)

<feature:5GC001942>

Beamforming
Subfeature split
5GC000533-A: Beamforming on up to 8 SSB beams 5GC000533-C: Beam refinement and reporting of second best
beam
5GC000533-B: Beam tracking on single SSB beam
• transmission of CSI-RS for beam refinement on SS/PBCH
5GC000533-C: Beam refinement and reporting of second best beam blocks
• CSI configuration for reporting of best and second best beam
5GC000533-E: Beam recovery and PM Counters • configuration for periodic CRI/RSRP reporting of 2 beams (fixed)
• CSI configuration of UE for L1 RSRP measurements to support
beam refinement
• configuration for periodic CSI resources for beam refinement (4
refined beams per SSB beam) (L1 RSRP measurement)
if beam refinement is switched on: definition of CSI-Config to
This subfeature was removed from the original 5GC000533 •
map CSI Resources and respective report
contents and introduced in 5G19A with 5GC001942 Spillover • Updating of UE context according to beam switch decision
digital Beamforming for CPRI based Rus.

Beamforming
Subfeature split
5GC000533-A: Beamforming on up to 8 SSB beams 5GC000533-E: Beam recovery and PM Counters

5GC000533-B: Beam tracking on single SSB beam • gNB support of beam failure report on PUCCH
• gNB support of beam recovery procedures
5GC000533-C: Beam refinement and reporting of second best beam • in case a UE detects a beam failure it will use RACH procedure to
establish a new beam assignment
• (descoped from original feature and introduced in 5G19A with 5GC001942 feature) • non-contention based PRACH
• PM counters
5GC000533-E: Beam recovery and PM Counters • Potentially introduction of Tracking Reference Signal

Technical Details Analog Digital
Beamforming Beamforming
Definition of basic sets of SSB
Common procedure
Beam sets and basic beam sets

All parameters related to the configuration of beams used in a
cell are collected in a beam set. The core of such a beam set is
the distribution of the SSB beams in the angular space
which covers the cell, but without giving the actual values of the
beam directions and beam widths. This distribution is called
basic beam set and is described as follows:
• basic beam sets consist of rows and columns
• the number of columns may be different in different rows
• the total number of transmitted beams has to be less than or
equal to the maximum number of SS/PBCH blocks

Beamforming
Beam sets and basic beam sets

basic beam set #4#4
The basic beam sets shall be defined using the nomenclature #k#l#m ...
elevation
the number of columns in a row is given by the respective integer,
preceded by the character '#'
rows are counted from top to bottom, i.e., the first row is the one with
highest pointing beams, the last row is the one with lowest pointing
beams
azimuth
Examples:
• basic beam set #4#4 denotes a beam set with 2 rows and 4 columns basic beam set #3#3#2
in each row
• basic beam set #3#3#2 denotes a beam set with 3 rows, most upper
row and middle row with 3 beams each, lowest row with 2 beams only
Number of beams in basic beam set must match with number of transmitted
SS blocks set by NRCELLGRP-numberOfTransmittedSsBlocks parameter

Beamforming
Basic beam set #3#3#2 from different perspectives basic beam set #3#3#2

Beamforming
Following basic beam sets are supported by 5GC000533:
• beamSet_1 • beamSet_4_4
• beamSet_6 • beamSet_3_3_2
• beamSet_8 • beamSet_2_2_2_2
Basic beam set is selected by the operator with

NRCELL-beamSet.basicBeamSet parameter

Beamforming
Opening Angles
Basic beam sets may be used with different opening angles, both in
azimuth and elevation direction. The edge directions can be set by
operator in order to adjust the range covered by the cell to his needs. Four
parameters are provided:
• left edge angle φl
• right edge angle φr
• upper edge angle θu
• lower edge angle θl
Reference direction shall be boresight of the antenna array. Cell edge
angles are defined by the outer side of the uttermost beams where the
beam boundary is given by the 3dB loss of the beam compared to its main
direction.
NOTE: In 5G19 the selection of azimuth edge angles is strongly restricted
and the selection of elevation edge angles not possible at all.

Beamforming
Antenna Opening Angles
numberOfTransmittedSsBlocks
The following default basic beam sets and respective valid opening angles
in azimuth direction shall be available for selection by operator:
NOTE: For default basic beam sets, there is no choice in elevation
opening angles.
NOTE: # SSB beams corresponds to the parameter
numberOfTransmittedSsBlocks.
NOTE: Elevation opening angles have to be optimized by simulations.
If actBeamforming = false then basic beam set #1 with

single beam will be used, with the azimuth opening
angle either 120° or 90° such that it fits best to the
sum of leftEdgeAngle and rightEdgeAngle

Beamforming
Beam Refinement
In case of operating with a grid of beam (GoB) and especially with carrier frequencies below 6GHz with limited
number of SSB beams, beam refinement on 5G-NB side is used to achieve higher SINR for a single UE in both
DL and UL direction, as well as better separation of UEs in case multiple UEs are served on the same time and
frequency resources, i.e., MU-MIMO operation.
To enable execution of respective measurements by UEs, CSI-RS have to be transmitted for beam refinement.
The antenna ports used for these CSI-RS have to be mapped to the beams used for refining a respective SSB
beam
SSB beam
In 5G19 4 refined beams per SSB beam are implemented.
Refined beams
Beam refinement is activated by setting parameter

NRCELL-beamSet.nrBtsBeamRefinementP2 = true

Technical Details
CSI-RS for beam management
• In case of beam refinement (available only on freq. < 6GHz), CSI-RS for beam management are needed for each
refined synchronization beam
• Those CSI-RS are placed in SS slots with corresponding synchronization beam
• CSI-RS for beam management are scheduled for all UEs served by the corresponding synchronization beam
… …
0 1 2 3 4 5 6 7 8 9 10 11 12 13
CSI-RS CSI-RS for beam

management are placed
P P above PSS/SSS/PBCH
Refined beam 1 P S P S
B B symbols related to
Synchronization beam 1 S S S S corresponding
Refined beam 2 C C
S S S S synchronization beam
H H
Synchronization beam 2 Refined beam 3
Refined beam 4
Beamforming
CSI-RS for beam management
CSI-RS for beam management are placed in the SS slot of the corresponding
synchronization beam. The CSI-RS are overlaid to the synchronization / PBCH
symbols.
They can be either in the frequency range above (as shown in following figure) or 0 1 2 3 4 5 6 7 8 9 10 11 12 13
below them. For both options, the CSI-RS shall be scheduled for all UEs served by
the corresponding synchronization beam (SSB beam). CSI-RS
P P
Position of CSI-RS is set with NRCELL/csirsBeamMgmt.csirsBmMgmtSubband P S P S
B B
parameter (currently only one setting above SS/PBCH block is supported S S S S
C C
If Tracking Reference Signal (TRS) is enabled, CSI-RS for beam management are S S S S
H H
only allowed to occupy upper part of the carrier.
Additional parameters
csirsBmMgmtDensity
csirsBmMgmtReIndex
allow to configure CSI-RS density and starting position in the frequency domain.

Beamforming
Beam Management
Basic beam refinement patterns in digital beamforming
For beam refinement, three different patterns are foreseen:
Square refinement
Square refinement is useful especially for SSB beams which have a mostly
circular slope
Azimuth refinement
Azimuth refinement is appropriate mainly for elliptic beams with larger axis
in azimuth direction.
Elevation refinement
Elevation refinement is appropriate mainly for elliptic beams with larger
axis in elevation direction.
In 5G19 only the predefined beam refinement patterns are supported.

Beamforming
Example of refined beams
Basic beam set #3#3#2 with refined beams from different basic beam set #3#3#2
perspectives (not all refined beams shown)

Beamforming
Beam Management
Beam refinement patterns for basic beam sets
The beam refinement pattern may be set differently for each row of a basic beam set but
is the same for all beams within a row. The beam refinement pattern is fixed for each
basic beam set.
The beam refinement patterns applying for basic beam sets defined for RUs with 64TRX,
4 rows and 8 columns are given in table on the right side.

Beam Tracking
Common procedure
For purposes of beam tracking, UE will measure RSRP of CSI-RS or SSB and
report it to the gNB as a part of Uplink Control Information (UCI). Beam
tracking is performed in the Distributed Unit (DU).
In 5G19
• if beam refinement is disabled, UE will report SBRI-RSRP measurement of 2
best beams;
• if beam refinement is enabled, UE will report CRI-RSRP measurement of 2
best beams.
Beam switch will take place when filtered RSRP of a new beam is larger than
RSRP of the source beam by a certain threshold.
The notification about a beam change is the MAC CE with the new TCI state.

Beam tracking measurements and beam switching Common procedure
gNB UE
TX
SSB • UE continues to
measure the SSB
Ongoing SSB
Detect and
measure beams
measurement and beams.
periodic best beam
reporting • Periodic reporting of
RX
best beams
Best beams report
index and RSRP • gNB makes decision
that a different beam
Beam change
decision by gNB should be used.
TX
PDCCH MAC_CE TCI state • Switch to using new
RX
(update serving beam)
beam after PDCCH
HARQ ACK for MAC-CE
Serving beam
MAC-CE with TCI state
New gNB beam in use
before switch update is ACKed
TX/RX Best
UL/DL control / data reported
50 © Nokia 2018 Customer Confidential beam
Beam recovery Beamforming Beamforming
Common procedure
In case of beam failure, i.e., the UE may no more be reached via the best beam last known at gNB side, a procedure
to reconnect the UE has to be executed.
1. 5G-UE detects a misaligned serving beam to gNB e.g. by NACKed

UL data sent or by interrupted DL data allocation. Potential
reasons:
• 5G-UE measures the source beam with L1-RSRP below
minimum link budget,
2. 5G-UE measures a new target beam with strongest L1-RSRP
3. 5G-UE starts Beam Recovery by sending Random Access
Preamble on a best target beam
4. UL and DL transmissions are resumed on a new beam
PRACH

Beam Management
Beam failure and recovery process
• Beam failure detection
gNB UE
uses default RRC
TX configuration with active
Measure SSB associated
PDCCH TCI state.
with TCI state Periodic • Failure triggered if SSB
checking
Initiate PRACH procedure if
RSRP for TCI state beam
meet failure criterion meets failure criterion.
• Beam recovery reference
SSB
signal measurement based
on RRC configuration for
Scan SSB beams
And select best Initial CBRA.
access • Beam recovery follows
RX procedure
PRACH
initial access PRACH
PRACH procedure
TX as in initial access procedure.
PM Counters
Common procedure
PM counters are defined in the specification document here.

Eventually the beamforming counters will be placed in NIDD under this link.
Counter overview:
• DL Serving Beam ID Histogram • UE reported differential L1-RSRP of second best beam

• UL Serving Beam ID Histogram • Beam Recoveries
• Serving Beam ID before HO Histogram • Succesfull Beam Recoveries
• Beam Change Histogram • Time of "UE on single beam" histogram
• Failed Beam Change Histogram • Number of UEs per beam
• Beam Change Target Histogram • Number of beam toggles
• Best and Second Best Beam Histogram

Performance Aspects
New counters
Counter name Description

DL_SERV_BEAM_ID_BEAM_00 This histogram indicates the distribution of the serving Beam ID (BI) for PDSCH.
For single beam case only the count is reported.
..
The value for a given bin shall be incremented when the corresponding Beam ID
DL_SERV_BEAM_ID_BEAM_63 is used for PDSCH.
M55305C00001..
M55305C00063
DL Serving Beam ID
54 © Nokia 2018 Nokia Internal

Performance Aspects
New counters

UL_SERV_BEAM_ID_BEAM_00 This histogram indicates the distribution of the serving Beam ID (BI) for PUSCH.
For single beam case only the count is reported
..
The value for a given bin shall be incremented when the corresponding Beam ID
UL_SERV_BEAM_ID_BEAM_63 is used for PUSCH.
M55305C01001..
M55305C01063
UL Serving Beam ID

Performance Aspects
New counters

SERV_BEAM_ID_HO_00.. This histogram indicates the distribution of the serving Beam ID (BI) which UE
SERV_BEAM_ID_HO_63 was using before leaving the cell by HO.
When beam refinement is used, the refined beam Id shall be used (i.e. refined
beam is not mapped to SSB beam).
M55305C02001…
The value for a given bin shall be incremented when HO is triggered for this UE.
M55305C02064
Serving Beam ID before HO

Histogram

Performance Aspects
New counters

BEAM_CHANGE_BIN1.. When number of SSB beam is more than 8: This histogram indicates the total
BEAM_CHANGE_BIN64 number (successful and unsuccessful) of beam changes done from this beam
as "source beam“.
Trigger condition: When serving beam is changed.
M55305C03001..
M55305C03064
Bin1: SSB Beam#0 - > any
Beam Change Histogram
....
Note: valid in case number
of SSB beams > 8

Performance Aspects
New counters

FAIL_BEAM_CHANGE_BIN1.. When number of SSB beam is more than 8: This histogram indicates the
number unsuccessful beam changes done from this beam as "source beam".
FAIL_BEAM_CHANGE_BIN64
Trigger condition: When serving beam is changed, but all HARQ retransmission
attampts failed for the HARQ process which includes MAC-CE “PDCCH TCI
M55305C04001.. indication”.
M55305C04064 Bin1: SSB Beam#0 - > any
Failed Beam Change Histogram ....
Note: valid in case number
of SSB beams > 8

Performance Aspects
New counters

BEAM_CHANGE_TARGET_BIN1.. This counter is only updated when number of SSB beam is more than 8.
BEAM_CHANGE_TARGET_BIN64 This histogram indicates the total number (successful and unsuccessful) beam
changes done from to this beam as "target beam".
Trigger condition: When serving beam is changed.
M55305C05001..
M55305C05064
Beam Change Target Histogram
....

Performance Aspects
New counters

FAIL_BEAM_CHANGE_TARGET_BIN1.. This counter is only updated when number of SSB beam is more than 8.
FAIL_BEAM_CHANGE_TARGET_BIN64 This histogram indicates the number unsuccessful beam changes done to
this beam as "target beam".
Trigger condition:
M55305C06001..
When serving beam is changed, but all HARQ retransmission attampts
M55305C06064 failed for the HARQ process which includes MAC-CE “PDCCH TCI
indication”.
Failed Beam Change Target
Histogram Bin1: SSB Beam#0 - > any
....

Performance Aspects
New counters

RSRP_DIFF_SECOND_BEST_BIN1.. This histogram indicates the distribution of the UE reported differential
L1-RSRP of second best beam
RSRP_DIFF_SECOND_BEST_BIN16
Trigger condition: The value for a given bin is incremented when the
M55305C08001.. corresponding differential L1-RSRP value is received.
M55305C08016
Bin1: [difference <= 2dB]
UE reported differential L1-RSRP of Bin2: [2dB < difference <= 4dB]
second best beam
...
Bin16: [difference > 30dB]

Performance Aspects
New counters

BEAM_RECOVERY_BEAM_ID_0… This histogram indicates the distribution of the serving Beam ID (BI) which
UE was using before beam recovery was started.
BEAM_RECOVERY_BEAM_ID_63
Trigger condition:
M55305C09001…
Random access process is started (msg3 is detected) by existing UE and
M55305C09064 the new SSB beam is different from the previous SSB beam.
Beam Recoveries - Beam ID xx

Performance Aspects
New counters

SUCC_BEAM_RECOVERY_BEAM_ID_0.. This histogram indicates the distribution of the serving Beam ID (BI) which
SUCC_BEAM_RECOVERY_BEAM_ID_63 UE was using before beam recovery was started for successful beam
recoveries.
M55305C10001… Trigger condition:

M55305C10064 Random access process is started (msg3 is detected) by existing UE and
the new SSB beam is different from the previous SSB beam, AND PUSCH
which was allocated by “Contention Resolution UL grant” is detected as
Succesful Beam Recoveries - Beam "nonDTX".
ID xx

Performance Aspects
New counters

TIME_BEAM_BIN_1… This counter provides the time when UE used a single beam.
TIME_BEAM_BIN_13 This counter indicates the time of the best beam (either SSB or refined
beam).
Counter is triggered when serving beam is changed.
M55305C11001…
Bin1: [time <= 50ms] Bin8: [10s < time <= 30s]
M55305C11013
Bin2: [50ms < time <= 100ms] Bin9: [30s < time <= 1min]
Bin3: [100ms < time <= 200ms] Bin10: [1min < time <= 5min]
Time of "UE on single beam" Bin4: [200ms < time <= 500ms] Bin11: [5min < time <= 10min]
histogram Bin5: [500ms < time <= 1s] Bin12: [10min < time <= 1h]
Bin6: [1s < time <= 5s] Bin13: [1h < time]
Bin7: [5s < time <= 10s]

Performance Aspects
New counters

UES_PER_BEAM_ID_0… This counter provides the number of UEs on each beam.
UES_PER_BEAM_ID_63 Counter is updated when sample timer (100ms) expires.
M55305C12001…
M55305C12064
Number of UEs per beam

Performance Aspects
New counters

BEAM_TOGGLES This counter provides the number of beam toggles (i.e. when beam is
changed back to a beam which was used just before this current serving
beam).
M55305C13001
Counter triggers when serving beam is changed to back to the beam
Number of beam toggles which was used just before this beam.

Agenda Analog
Beamforming
1
Introduction
2
Technical
Details
3
Configuration
Management
5GC000535 Analog Beamforming

<feature:5GC000535>
Technical Details Analog

5GC000535 Analog Beamforming Beamforming
Feature 5GC000535 introduces Analog Beamforming for frequencies

above 6 GHz (28GHz/39GHz), making use of the 3rd Generation Applicable to frequencies above
Radio Unit embedding a Phased Array Antenna. 6GHz
Analog Beamforming means that the antenna characteristic is
Operates on set of predefined
changed by application of beamforming weights after power
amplifier in DL and before power amplifier in UL by means of beams in DL and UL
Radio Frequency Integrated Circuit (RFIC).
…
UE data TRX1
stream
w1 w2 w3 wn
Number of supported SS beams in Analog Beamforming Beamforming
Although the standard supports up to 64 Synchronization Signal

Beams, however in 5G19 only 32 beam GoB is implemented. Number of supported Synchronization
Operation with 1 wide beam is supported by disabling the Signal Beams {1, 32}
beamforming flag.
In 5G19 Analog Beamforming refined beams are not supported, In 5G19: no refined beams
therefore CSI-RS for beam management are not sent.
For testing purposes, operation with a locked single beam pattern What happens if I disable beamforming?
from any GoB is made possible with help of R&D parameter. If actBeamforming = false then a single
wide beam will be used. Pattern ID for the
wide beam is supplied with an R&D
parameter rdAbfWideBeamPatternId.

Subfeature split Beamforming
Analog beamforming consists of following subfeatures
5GC000535-A: SS block burst set beamforming control 5GC000535-A: SS block burst set beamforming control
5GC000535-B: Analog BF with basic configuration: initial access • BF Support for SSB sweep in single cell, with a single common
and data transfer channel configuration
5GC000535-C: Analog BF with multiple carriers

5GC000535-D: Beam tracking
5GC000535-E: Beam recovery through PRACH
5GC000535-F: Analog BF with multiple GoB patterns

5GC000535-A: SS block burst set beamforming control 5GC000533-B: Beamforming on up to 8 SSB beams
5GC000535-B: Analog BF with basic configuration: initial • BF Support for single cell, common channel configuration for
access and data transfer L=1 and L=32. Single PRACH format or configuration


5GC000535-A: SS block burst set beamforming control 5GC000535-C: Analog BF with multiple carriers
5GC000535-B: Analog BF with basic configuration: initial access • BF Support for cell-group. Up to 8 carriers supported in Carrier
and data transfer Aggregation with analog beamforming.
• Beam directions are common for all carriers and are calculated
5GC000535-C: Analog BF with multiple carriers based on the Pcell measurements


<feature:5GC001943>

5GC000535-A: SS block burst set beamforming control 5GC000535-D: Beam tracking

5GC000535-B: Analog BF with basic configuration: initial access • Beam tracking within sector, related counters and parameters,
and data transfer UE mobility
• Beam tracking and beam reporting is only conducted for PCell.
5GC000535-C: Analog BF with multiple carriers SCell use the same beam as PSCell at a time.
5GC000535-D: Beam tracking *

*) 535-D and 535-E introduced in 5G19A with 5GC001943

Spillover Analog Beamforming feature

<feature:5GC001943>

5GC000535-A: SS block burst set beamforming control 5GC000535-E: Beam recovery through PRACH
5GC000535-B: Analog BF with basic configuration: initial access • gNB support of beam recovery procedure RRC configuration.
and data transfer • In case a UE detects a beam failure it will use RACH procedure to
establish a new beam assignment contention based PRACH
5GC000535-C: Analog BF with multiple carriers • PM counters

5GC000535-E: Beam recovery through PRACH *
*) 535-D and 535-E introduced in 5G19A with 5GC001943

Spillover Analog Beamforming feature

5GC000535-A: SS block burst set beamforming control 5GC000535-F: Analog BF with multiple GoB patterns
5GC000535-B: Analog BF with basic configuration: initial access • GoB selection parameters, multiple GoB support in antenna.
and data transfer

Definition of basic sets of SSB Beamforming
Following basic beam sets are supported by 5GC000535:

• beamSetAbf_1A
• beamSetAbf_32A
• beamSetAbf_32B
• beamSetAbf_32C
Basic beam set is selected by the operator with

NRCELL-beamSet.basicBeamSet parameter

Definition of basic sets of SSB Beamforming
Basic beam set beamSetAbf_32A from different

perspectives

Agenda
1
Introduction
2
Technical
Details
3
Configuration
Management

Configuration Management
New parameters
Abbreviated name Full name Description Range and step Default

NRCELL/nrBtsBeamRefin BTS Beam Refinement P2 This parameter indicates whether or not beam 0 (false), 1 (true) 1
ementP2 refinement on gNB side (P2) is enabled.
(beamSet) Beam refinement on gNB side (P2) requires
transmission of CSI-RS and respective reporting. It
is applicable only for digital beamforming below
6GHz and if beamforming is enabled. If these
conditions are not met, the setting will be ignored.
NRCELL/basicBeamSet Basic Beam Set This parameter defines the basic set of beams beamSet_1 (1), beamSet_2 beamSet_1
consisting of SS/PBCH beams and refined beams (2), beamSet_4 (3),
(beamSet)
on gNB side beamSet_8 (4),
beamSet_4_4 (5),
beamSet_5_3 (6),
beamSet_6_2 (7),
beamSet_3_3_2 (8),
beamSet_2_2_2_2 (9),
beamSet_6 (16),
beamSetAbf_1A (100),
beamSetAbf_32A (101),
beamSetAbf_32B (102),
beamSetAbf_32C (103)

New parameters

NRCELL/leftEdgeAngle Left Cell Edge Angle This parameter defines the angle limiting cell on 10...65, step 1 60
left side with respect to bore sight. The parameter
(beamSet)
is applicable and used only in digital
beamforming.
NRCELL/rightEdgeAngle Right Cell Edge Angle This parameter defines the angle limiting cell on 10...65, step 1 60
left side with respect to bore sight. The parameter
(beamSet)
is applicable and used only in digital
beamforming.
If NRCELL.beamSet.basicBeamSet is equal to 9 (corresponding to beamSet_2_2_2_2),

then these parameters can be equal to 20 or 45 (respectively for 40° and 90° cells)
else these parameters can be equal to 45 or 60 (respectively for 90° and 120° cells).
In addition, before more sophisticated beamforming settings are available,
NRCELL.beamSet.leftEdgeAngle and NRCELL.beamSet.rightEdgeAngle must have the same value.

New parameters

NRCELL/csirsBeamMgmt CSI-RS for Beam Management This parameter collects settings for CSI-RS - -
configuration for Beam Management. It comprises
currently CSI-RS for L1 RSRP measurement, other
aspects could be added later on.
NRCELL/csirsBmMgmtDe CSI-RS BmMgmt Density This parameter defines the density of CSI-RS density1 (1), density3 (3) density3
nsity allocation for L1 RSRP Measurement
(csirsBeamMgmt)
NRCELL/csirsBmMgmtRe CSI-RS BmMgmt RE Index This parameter defines the first RE to be allocated 0...11, step 1 0 or lowest
Index for CSI-RS for L1-RSRP. Different RE allocation can RE in PRB
mitigate intercell interference of these signals.
(csirsBeamMgmt)
NRCELL/csirsBmMgmtSu CSI-RS BmMgmt subband This parameter defines whether the subband aboveSSPBCHBlock (2) aboveSSPB
bband below or above the SS/PBCH block allocation shall CHBlock
be used for transmission of CSI-RS for L1 RSRP
(csirsBeamMgmt)
measurement.

References and acknowledgments
References
5GC000533, 5GC000535 CFAMS, User Plane Specification, 5GMax-5G New Radio Algorithm Specification

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NETWORK ENGINEERING

5GC000533 Digital Beamforming for CPRI based Rus

Network Engineering Information

Please, always check the latest version of NEI slides.

Feature ID Considered subfeatures CFAM version Comment

5GC000533 5GC000533-A V0.9.0 released on

3 © Nokia 2018 Nokia Internal Use

V1.0 Approved version 19-05-2018 Krzysztof Wisniowski

V1.1 Added feature tags 28-02-2019 Krzysztof Wisniowski

V1.1 Fix 535-E subfeature content 25-03-2019 Krzysztof Wisniowski

V1.2 Updated Performance section 01-06-2019 Krzysztof Wisniowski

V1.2 Updated with 5GC001942, 1943 17-07-2019 Krzysztof Wisniowski

4 © Nokia 2018 Nokia Internal Use

5 © Nokia 2018 Nokia Internal Use

5G Physical Layer: Beamforming

6 © Nokia 2018 Nokia Internal Use

Solution : Increase number

1GHz: N=1 2GHz: N=4 4GHz: N=16 32GHz: N=1024

G5dBi G11dBi G17dBi G35dBi

Special methods are needed

Random Access (RACH)

8 © Nokia 2018 Nokia Internal Use

Polarization of the transmitted EM wave is determined by the

Changing the beam direction and shape (beamforming) is done

Through scattering during propagation initially orthogonal

10 © Nokia 2018 Nokia Internal Use

Waves transmitted from multiple antennas will add

To transmit to a specific user, ideally signals from all of the

11 © Nokia 2018 Nokia Internal Use

• In 5G19 a different approach is taken (see next slide)

12 © Nokia 2018 Nokia Internal Use

synthesis is taken over by RU.

13 © Nokia 2018 Nokia Internal Use

• Used in both analog / digital Beamforming Control Message

Control Block #10

Control Block #11

Control Block #12

Control Block #13

Control Block #14

Sizes and presence need Needs to be

15 © Nokia 2018 Nokia Internal Use

16 © Nokia 2018 Nokia Internal Use

The continuous coverage of the cell area is not

The answer is: sweeping. At predefined

17 © Nokia 2018 Nokia Internal Use

SS Burst Set 1 The number of SS Blocks in SS Burst Set

PSS SSS PBCH

PSS, SSS and PBCH

SSS SS Blocks form SS Burst that is a SS Bursts compose SS Burst set

19 © Nokia 2018 Nokia Internal Use

21 © Nokia 2018 Nokia Internal Use

22 © Nokia 2018 Nokia Internal Use

5G19 Radio Units

• UL/DL 2x2 SU-MIMO

3.5 GHz 3.7 GHz 28 GHz 39 GHz

400 MHz 3 GHz 6 GHz 10 GHz 30 GHz 90 GHz

Carrier BW n* n * 100 MHz 1-2GHz

* - not supported in 5G19