This document describes Huawei's 5G RAN 3.0 mmWave beam management solution. It introduces basic beam management which manages analog beams for cell-level synchronization signal/physical random access channel (SSB/PRACH) beams and user equipment (UE)-level channel state information reference signal (CSI-RS) beams. It also describes a 3D coverage pattern solution which can configure different SSB beam patterns to meet capacity-oriented or coverage-oriented deployment scenarios. The solution provides flexible beam configuration to optimize network performance for various usage scenarios.

1. HUAWEI TECHNOLOGIES CO., LTD.
5G RAN3.0 mmWave Beam
Management

2. HISILICON SEMICONDUCTOR
HUAWEI TECHNOLOGIES CO., LTD. Page 2
Change History
Version Description Date Owner
0.1 Draft July 15, 2019 Wang Dingwei

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Contents
• 1. Feature Information
• 2. Solution Introduction
• 3. Impact Analysis
• 4. Usage Instructions
• 5. Verification

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1. Feature Information
Feature Name Version Supported Function
Basic Beam Management 5G RAN3.0 mmWave basic beam management
mmWave 3D Coverage Pattern 5G RAN3.0 mmWave 3D coverage pattern

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2. Solution Introduction
mmWave beam management mainly manages
analog beams.
The 4TRx module (AAU5213) provides a maximum of two
analog beams at a time.
AAU5213: 768 arrays
mmWave uses the hybrid beamforming (HBF)
architecture and weights both the analog domain
and digital domain. Digital domain weighting
applies only to the PDSCH/PUSCH. Only analog
domain weighting can be used for other channels.
12 H x 8 V
12 H x 8 V
12 H x 8 V
12 H x 8 V
AAU5222: 384 arrays

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2. Solution Introduction
mmWave beam
management
2.1 Basic Beam
Management
2.1.1 Cell-level
Beam
SSB/PRACH
beams
2.1.2 UE-level
Beams
CSI-RS beams
2.2 3D Coverage
Pattern
Cell-level beams
(SSB/PRACH)

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SSB beam (from the UE
perspective): Wide beam
CSI beam (from the UE
perspective): Narrow beam
Beam Envelope H-HPBW Beam Envelope V-HPBW Beam Number
SSB xx° xx° 16*1
CSI-RS xx° xx° 16 x 4 = 64
–20
–15
–10
–5
5
10
15
20
0
–20
–15
–10
–5
5
10
15
20
0
0 15
12 31
2.1 Basic Beam Management (HAAU5213)
Left Right
SSB Symbol
Top
Bottom
47
63
79

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SSB beam (from the UE
perspective): Wide beam
CSI Beam (from the UE
perspective): Narrow beam
Beam Envelope H-HPBW Beam Envelope V-HPBW Beam Number
SSB xx° xx° 12 x 1
CSI-RS xx° xx° 12 x 4 = 48
2.1 Basic Beam Management (HAAU5222)
SSB Symbol
0 11
0
23
1 11
35
47
12
24
36

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2.1.1 Cell-level Beam Selection – SSB
#0
#1
#2
#N-3
#N-2
#N-1
Time
.
.
.
 The SSB period is 20 ms, and the message is sent within 5 ms (40 slots).
 Each downlink slot has two SSBs, that is, two SSB beams.
 By default, 16 SSB beams are configured in a high frequency band. The 4TRx module uses the
4TRx joint transmission mode, and the 2TRx module uses the 2TRx transmission mode.
 Different SSB beams are sent at different moments and jointly cover a cell in a high frequency band.
 The UE scans and measures the SSB beams to obtain the best beams and then completes
synchronization and system information reception.

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2.1.1 Cell-level Beam Selection – PRACH
0 1 2 3 4 5 6 7 8 9
1
0
1
1
1
2
1
3
1
4
1
5
1
6
1
7
1
8
1
9
2
0
2
1 ...
4
6
4
7
4
8
4
9
5
0
5
1
5
2
5
3
5
4
5
5
5
6
5
7
5
8
5
9
6
0
6
1
6
2
6
3
6
4
6
5
6
6
6
7
6
8
6
9
7
0
7
1
7
2
7
3
7
4
7
5
7
6
7
7
7
8
7
9
2,
3
4,
5
1
0
1
1
1
2
1
3
1
8
1
9
2
0
2
1
2
6
2
7
2
8
2
9
... (Depending on the UE
implementation) R R R R
Slot
S: SSB; R: PRACH
SSB index #m
PRACH RO #n
Example of the association between SSB index and PRACH (PRACH 60 KHz):
There is a mapping between PRACH beam and SSB index.
Once determining the best SSB index, the UE determines the PRACH transmission position and the
receive beam on the gNodeB side accordingly.
SSB index

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2.1.2 UE-level Beam Management
SSB beam sweeping; The gNodeB and
the UE determine their wide beams
separately.
CSI-RS beam sweeping periodically;
The gNodeB determines the beams for
downlink services.
The gNodeB sends CSI-RS repeatedly,
and the UE determines its own narrow
beam.
P1 procedure:
gNodeB/UE rough sweeping
P2 procedure:
gNodeB precise sweeping
(Optional) P3 procedure:
UE precise sweeping
Not supported by base stations for the moment

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2.1.2 UE-level Beam – CSI-RS
TX0/2 Beam A TX0/2 Beam C
TX1/3 Beam D
TX1/3 Beam B
TX0/1 +45°
TX2/3 –45°
64 CSI-RS beams in total; sending period: 20 ms. The UE
reports one to four best CSI-RS beams.
 160 slots available in 20 ms; CSI-RS beams are configured
in the following 16 slots:
0/10/20/30/40/50/60/70/80/90/100/110/120/130/140/150
 The UE reports the best CSI-RS beam selection result
through CSI-Report.
 The best CSI-RS beams are used for PDCCH/PDSCH/CSI-
RS for 3I transmission and PUSCH/PUCCH/SRS reception
on the base station side.
• CSI-RS beams are configured in the
last two symbols of downlink slots.
• Four Beams are sent in each slot.
TTI 0 1 2 3 4 5 6 7 8 9
Slot D D D S U D D D S U
CSI-RS
150 151 152 153 154 155 156 157 158 159
D D D S U D D D S U
...

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BS
UE
CSI Beam Scanning
Reported 4 best CSI
beams @PUCCH
SSB Beam
Service beam
indicator
@MAC CE
...
Reported 4 best
CSI beams
@PUCCH
Service beam
indicator
@MAC CE
CSI Serving Beam
CSI Serving Beam
Data transfer
Effective
cycle
2.1.2 Periodic UE-level Beam Management to Ensure that Each UE
Always Uses the Best Beams for Data Transmission
• Before the best CSI-RS beams are determined, PRACH beams are used for data transmission.
• The best CSI-RS beam selection for each UE is periodically performed in the background to ensure that
the UE always uses the best beams.

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Summary: mmWave Beam Management
Scope
Beam
Classification
Number of
Beams
Scanning/Measurement
Mode
Beam Reporting and Maintenance Application Scope
Cell-
level
SSB beam 16 SSB beam sweeping
Initial access phase: SSB beams
are sent jointly in 4TRx mode.
• SSB
• Common PDCCH and PDSCH
(RMSI/OSI)
PRACH beam 16 PRACH receive beam
The beams have one-to-one
mapping with SSB beams and are
received by the gNodeB at fixed
time-frequency locations.
• Msg2 to Msg 5
Before the best beams are reported
in CSI-RS beam sweeping:
• PDCCH/PDSCH/CSI-RS for 3I
• PUCCH/PUSCH
UE-
level
CSI-RS beam 64 CSI-RS beam sweeping
Periodic beam sweeping: The
period is controlled by a reserved
parameter. The default value is 20
ms.
After receiving 64 beams, the UE
selects and reports one to four best
beams.
PDSCH, PDCCH, CSI-RS, SRS,
PUSCH, PUCCH

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Coverage Case Characteristic Deployment Scenario
Case 1: default
scenario
Both capacity and coverage are
important and a trade-off is
required.
Common hotspot coverage
scenario, such as in pedestrian
streets and commercial areas
Case 2: capacity
scenario
In target areas, UEs are
concentrated, requiring high
capacity; however, the coverage
distance is relatively short, having
low requirements on coverage.
Stadiums, squares in front of
business centers, etc.
Case 3: coverage
Scenario
Large capacity-oriented hotspot
areas that require wide coverage
Parking apron or parking lot
2.2 mmWave 3D Coverage Pattern
Multiple SSB beam modes can be configured for high frequency bands. The configuration can be modified to meet differentiated
capacity or coverage requirements in different scenarios, maximizing the value of sites in high frequency bands.
Constraints: The values of SSB pattern and tilt for all DU cells in a high-frequency sector must be the same.

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0 1 2 3 4 5 6 7
2.2 mmWave 3D Coverage Pattern – SSB Beam (HAAU5213)
Capacity scenario Coverage scenario
SSB Beam Envelope H-HPBW Beam Envelope V-HPBW Beam Number
Capacity
scenario
Xx Xx 8 x 1
Coverage
scenario
xx xx 16 x 2 + 4 + 6 = 42

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2.2 mmWave 3D Coverage Pattern – SSB Beam (HAAU5222)
Capacity scenario Coverage scenario
SSB Beam Envelope (H-HPBW) Beam Envelope (V-HPBW) Beam Number
Capacity
scenario
Xx Xx 6 x 1
Coverage
scenario
xx xx 12 x 3 + 6 = 42
0 5
0 5
6
41

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3. Impact Analysis
• Basic beam management is a basic
function.
• mmWave 3D coverage pattern can
flexibly adapt to operators' deployment
scenarios and meet differentiated
capacity or coverage requirements of
operators through configuration,
simplifying network optimization.
Positive Impact Negative Impact
• Changing the beam pattern will cause
cell reestablishment and service
interruption.

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4. Usage Instructions (1)
Restriction and Dependency
Hardware/NEs/Transmission None
Other Features None
License
Feature ID Feature Name Model NE Sales Unit
FOFD-030201 mmWave 3D Coverage Pattern gNodeB Per Cell

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4. Usage Instructions (1)
 Basic beam management is a basic function and needs to be configured during network
deployment. It is enabled by default.
 mmWave 3D coverage pattern is selected as required for sites deployed in high frequency bands.
Recommended Scenario
Feature Activation
 Enabling the capacity scenario for mmWave 3D coverage pattern (using a single sector
with four DU cells as an example)
DEA NRCELL: NrCellId=0;
DEA NRCELL: NrCellId=1;
DEA NRCELL: NrCellId=2;
DEA NRCELL: NrCellId=3;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=0, CoverageScenario=SCENARIO_101;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=1, CoverageScenario=SCENARIO_101;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=2, CoverageScenario=SCENARIO_101;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=3, CoverageScenario=SCENARIO_101;
ACT NRCELL: NrCellId=0;
ACT NRCELL: NrCellId=1;
ACT NRCELL: NrCellId=2;
ACT NRCELL: NrCellId=3;

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4. Usage Instructions (2)
Feature Activation
 Enabling the coverage scenario for mmWave 3D coverage pattern (using a
single sector with four DU cells as an example)
DEA NRCELL: NrCellId=0;
DEA NRCELL: NrCellId=1;
DEA NRCELL: NrCellId=2;
DEA NRCELL: NrCellId=3;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=0, CoverageScenario=SCENARIO_102;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=1, CoverageScenario=SCENARIO_102;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=2, CoverageScenario=SCENARIO_102;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=3, CoverageScenario=SCENARIO_102;
ACT NRCELL: NrCellId=0;
ACT NRCELL: NrCellId=1;
ACT NRCELL: NrCellId=2;
ACT NRCELL: NrCellId=3;

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4. Usage Instructions (3)
Feature Deactivation
 Disabling mmWave 3D coverage pattern (using a single sector with four DU cells
as an example)
DEA NRCELL: NrCellId=0;
DEA NRCELL: NrCellId=1;
DEA NRCELL: NrCellId=2;
DEA NRCELL: NrCellId=3;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=0, CoverageScenario=DEFAULT;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=1, CoverageScenario=DEFAULT;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=2, CoverageScenario=DEFAULT;
MOD NRDUCELLTRPMMWAVBEAM: NrDuCellTrpId=3, CoverageScenario=DEFAULT;
ACT NRCELL: NrCellId=0;
ACT NRCELL: NrCellId=1;
ACT NRCELL: NrCellId=2;
ACT NRCELL: NrCellId=3;

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5. Activation Verification (1)
 When the capacity scenario is selected, the value of N.DL.PDSCH.Tti.Num increases.
 When the coverage scenario is selected, the value of N.DL.PDSCH.Tti.Num decreases.
Activation Verification
Counter
Counter Name Counter ID Description
N.DL.PDSCH.Tti.Num 1911820492 Total number of downlink PDSCH TTIs
N.PRB.DL.Avail.Avg 1911816679 Average number of available downlink PRBs

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External CHR Event Name Event & Parameter Description
PERIOD_PRIVATE_BEAM_TRAFFIC CELL
Downlink traffic volume at the MAC layer, including the traffic volume of
initial transmissions and retransmissions, is measured by cell-level
beam. The value for unused beams is invalid.
PERIOD_PRIVATE_BEAM_SYN_UE_NUM
The number of synchronized UEs using static beams are measured.
Each UE is counted only in its best beams.
5. Activation Verification (2)
Performance monitoring: ID and RSRP of the best CSI-RS beams for each TRX in high frequency bands
Cell-level external CHR: The number of UEs using CSI-RS beams and traffic in the uplink and downlink are measured.
Performance Monitoring Item (U2020) Feature Name Description
TRX0DlOptBeamID TRX0_DlOptBeamID ID of the best downlink beam at the detection reporting time
TRX0DlOptBeamRsrp TRX0_DlOptBeamRsrp RSRP of the best downlink beam at the detection reporting time
TRX0UlOptBeamID TRX0_UlOptBeamID ID of the best downlink beam at the detection reporting time
TRX0UlOptBeamRsrp TRX0_UlOptBeamRsrp RSRP of the best downlink beam at the detection reporting time

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