Keysight Technologies

OTA Setup for 5G TF Beamforming

Functional Tests

White Paper

Abstract—This white paper proposes a novel approach to

realize over-the-air (OTA) testing of beamforming with multiple
angle of arrivals (AoA), specifically, multiple simultaneous
downlink beams using existing sub-6 GHz network emulators in
conjunction with mmWave RF heads and dual-polarized horns.
02 | Keysight | OTA Setup for 5G TF Beamforming Functional Tests - White Paper

Legacy 3GPP Radio Access Technologies (RAT) such as WCDMA and LTE operate in the sub-6
GHz band, and network emulator platforms designed to support functional testing of these RATs
primarily focus on conducted setups. Newer standards such as the Verizon 5G Technology Forum
(5G TF) and 3GPP 5G New Radio (NR), however, are designed to operate in higher millimeter-wave
(mmWave) frequency, such as 28 GHz, and incorporate beamforming as an enabling technology.
This paper proposes a new approach to perform over-the-air (OTA) test of beamforming with
multiple angle of arrivals (AoA) from multiple simultaneous downlink beams. This new approach
combines sub-6 GHz network emulators with mmWave RF heads and dual-polarized horns to
address the challenges of testing beamforming OTA.

Wireless communications systems with mmWave radio technology such those specified by 5G
TF and 3GPP 5G NR are promising candidates for next generation wireless communications
since they can address the challenge of bandwidth shortage that’s needed for increased network
capacity. Signals transmitted at high frequency electromagnetic waves, however, experience
significantly higher propagation loss, higher diffraction, as well as foliage and structure penetra-
tion losses. To overcome this high path loss and provide sufficient bandwidth to cell edge users,
beamformed signal transmissions with high directivity in the desired direction can be deployed.

Conceptually, beamforming is implemented by applying phase and gain adjustments on

waveform(s) transmitted by an array of antenna elements, thereby providing high gain in specific
spatial directions. Implementation methods of digital, analog or hybrid beamforming offer
different degrees of freedom in terms of controlling the beam shape and directivity, number of
beams, cost/complexity, and achievable MIMO configurations.

Figure 1. Multiplexing of different users by transmitting on different beams/AoA

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03 | Keysight | OTA Setup for 5G TF Beamforming Functional Tests - White Paper

5G TF and NR standards have adopted hybrid beamforming as the enabling technology

because of its advantages with flexible beamforming at a reasonable implementation
cost, as well as its ability to support both SU-MIMO (single user) and MU-MIMO
(multi-user). Hybrid beamforming combines the strengths of both analog and digital
beamforming systems to reduce overall hardware complexity. In the hybrid structure,
precoding and combining is done in both baseband and RF sections. By reducing the
total number of RF chains and analog to digital (ADC) and digital to analog converters
(DAC), hybrid beamforming performance is similar to digital beamforming, but requires
less power and reduces complexity. See Figure 2.

RF beamformer
PA Antenna array
Transmitter

Mixer . a
. Nt
P/S

IFFT DAC x
...

...

Phase .
shifter
Baseband precoder

. .
c . .
N t
. .

.
.
P/S

IFFT DAC x
...

...

Figure 2. Hybrid beamforming transmission scheme

Reference Signals for Beamforming

Beam reference signals (BRS) transmitted by the 5G node in the downlink serves as
the cornerstone of 5G TF beamforming technology during initial access by the user
equipment (UE). The UE uses the BRS to uniquely identify the beam index being received
at a given time instant. Configuration of BRS supports up to eight antenna ports with
a maximum configurable BRS transmission period of four subframes. Each subframe is
comprised of 14 OFDM symbols with different set of logical beams per symbol, thereby
supporting a maximum total of 8 x 4 x 14 = 448 logical beams. Frame structure is defined
in terms of radio frame of 10 ms, consisting of 50 subframes, wherein #0 and #25 are
synchronization subframes and constituent OFDM symbols support BRS transmissions
with up to eight simultaneous downlink beams.

In real network deployments, these eight downlink beams per OFDM symbol can be
mapped to four pairs of dual-polarized (horizontal + vertical) transmissions and imple-
mented using antenna arrays to provide high directivity in specific spatial directions.
Cell-wide coverage can be achieved by beam sweeping narrow beams along the azimuth
and elevation planes of the coverage area.

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04 | Keysight | OTA Setup for 5G TF Beamforming Functional Tests - White Paper

Cell Search and Beam Acquisition

In LTE, beamforming is only applied for UE-specific signals and channels as supported by
3GPP transmission modes 5/8/9/10. However, 5G TF implementation at 28 GHz requires
beamforming to be used for all physical layer signals and channels. This includes signals
such as primary synchronization signal (PSS), secondary synchronization signal (SSS)
and extended synchronization signal (ESS), which embed the physical layer cell ID and
timing information. Broadcast channels such as xPBCH, which carries essential system
Information like MIB (Master Information Block), are also beamformed. BRS, PSS, SSS,
ESS, xPBCH are all frequency domain multiplexed (FDM) in the same OFDM symbols
of the synchronization subframes and transmitted over the coverage area with beam
sweeping.

As part of the cell acquisition procedure, the UE uses PSS, SSS, ESS signals to deter-
mine the coarse receive beam direction of the target cell using either wide or omnidirec-
tional receive beams. It then performs time and frequency synchronization and physical
layer cell ID detection of the cell. Demodulation of essential system information bits in
the form of MIB from xPBCH provides information regarding number of BRS ports (by
blind decoding of the CRC mask), BRS transmission period, and system frame number
(SFN) timing information. For standalone (SA) mode of operation, the UE additionally
derives initial access parameters from the system information block (xSIB), which is
transmitted over extended physical broadcast channel (ePBCH). After acquiring the
system information, the UE identifies the strongest downlink beam by performing a beam
power measurements on the OFDM symbols from the synchronization subframes. Angu-
lar power spectrum of the beams associated with synchronization signals are assumed
to correlate highly with that of the corresponding xPBCH beams. In other words, the
beam acquisition procedure provides both OFDM symbol timing information and spatial
direction information. By exploiting TDD beam/channel reciprocity, coefficients of the
UE transmitter phased array and associated directionality can be derived from the UE
receiver phased array configuration as used for receiving the strongest downlink beam.

Figure 3. Beamforming access process

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05 | Keysight | OTA Setup for 5G TF Beamforming Functional Tests - White Paper

Initial Access
Initial access by the UE in current LTE systems is performed using omnidirectional
transmissions on the Physical Random Access Channel (PRACH). However, directional
beamformed transmission of 5G TF requires that initial access procedure provides a
mechanism by which both the UE and 5G node can determine suitable beamforming
directions on which subsequent directional communication can be carried out. This is
accomplished by specifying a defined timing relationship between the timing used for
xPRACH transmissions in the uplink and the OFDM Symbol with the strongest downlink
beam detected by the UE during the beam acquisition phase. Additionally, the UE must
also use the same directivity for xPRACH transmissions as the selected downlink beam.
Using the timing relationship and angular information derived by the receiver phased
array when receiving the UE xPRACH, the 5G node can determine the logical beam
index for further dedicated beamformed transmissions to and from the UE. Once RACH
procedure is completed, the UE enters ‘connected’ state and further beam tracking/
refinement is performed using closed loop beam adjustment procedures.

Network Deployment Considerations

Beam width and the selected scheme for beam sweeping involves a trade-off between
cell coverage performance and initial access latency. When many narrow beams are
used to enhance cell coverage, the initial access delay increases due to increase in the
UE processing time for cell search and initial access procedures. Configuration of BRS
Transmission Period, deployed number of BRS Antenna ports and number/geometry of
antenna elements all play a key role in determining cell coverage, directional scanning
and initial access latency. If beam reciprocity cannot be achieved due to hardware
implementation constraints, considerations need to be made for the increase in initial
access latency, power consumption and other performance compromises.

Beam Tracking and Switching

Beam index and directivity of serving beam for xPDCCH, xPDSCH channels in the
downlink and xPUSCH, xPUCCH channels in the uplink are determined as part of
xPRACH initial access procedure and used for subsequent directional communication
between the 5G node and the UE. Once in ‘connected’ state, the UE maintains a candi-
date beam set of 4 BRS beams for the serving cell, where for each beam the UE records
beam state information (BSI). BSI comprises of Beam Index (BI) and Beam Reference
Signal Received power (BRSRP). The UE can be triggered to report BSI on xPUCCH or
xPUSCH as instructed by the 5G node via DL DCI, UL DCI or RAR grant. Event triggered
BSI reports can also be configured to be transmitted using Scheduling Request (SR) or
by contention-based RACH procedures.

Using this BSI reporting mechanism, the 5G node can track the state of downlink beams
of the UE through periodic BRS measurements. If the serving beam is sub-optimal,
the 5G node can instruct the UE to switch to a different beam via BRS beam change
indication MAC-CE or via DCI signalling. MAC-CE based beam switching is supported for
target beam index chosen by the 5G node as per UE BSI reports. Whereas in DCI-based
beam switching, the UE switches the serving beam to match the beam index indicated
by the first BI reported in the BSI report. In addition to these BRS-based beam manage-
ment procedures, beam refinement reference signal (BRRS) based procedures are also
defined. Transmission of BRRS is dynamically scheduled via xPDCCH (DCI) signalling
and can be used to further refine the UE beam selection using BRI reporting and the
associated beam switch procedures.

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06 | Keysight | OTA Setup for 5G TF Beamforming Functional Tests - White Paper

Test Setup for 5G TF Beamforming

Since 5G TF and NR will operate in new mmWave frequencies, there are new challenges
in test. Incorporating antenna connectors in chipset and handset form factors will be
difficult due to mmWave antenna size. OTA testing is expected to replace traditional
conducted test methods that were used in sub-6 GHz radio access. To support
mmWave OTA beamforming measurements, a Keysight UXM 5G wireless test platform
can be used with mmWave RF heads and dual polarized horn antennas. The UXM net-
work emulator supports sub-6 GHz transmitter (i.e., downlink) and receiver (i.e. uplink)
RF ports and implements the baseband and protocol processing elements to emulate
the 5G network entities. This platform enables test solutions in protocol and RF domains.
When combined with mmWave RF heads and dual polarized horn antennas fixtured in
an anechoic chamber, emulation of simultaneous downlink beams (e.g., along an arc
and spatially separated) can be performed. By adding positioners for controlling the UE
orientation, this setup can be enhanced to support verification of 5G beamforming with
Angle of Arrival (AoA) test capability in different spatial orientations.

From a system connectivity perspective, the downlink signals transmitted by pairs of

downlink RF ports from the UXM 5G wireless test platform can be upconverted using
mmWave RF heads and mapped to orthogonal polarizations (horizontal + vertical) of
the dual polarized horn antennas emulating beams arriving at the DUT with specific
AoA. Using grouping of the RF ports and multiple horn antennas with specific angular
placement, DUT reception with multiple AoA can be verified.

Figure 4. Test setup with 8 beams over 4 different AoA.

Receivers in the UXM 5G wireless test platform can be set up to receive the xPRACH
from the UE corresponding to the downlink beams and complete the initial access
procedure based on user-defined test configuration. This topology allows reception of
xPRACH transmissions in either polarization from the horn antennas and supports uplink
SISO and MIMO reception for data and control channels (i.e., xPUSCH/xPUCCH and
SRS).

The Keysight 5G Protocol R&D Toolset offers scripted control of 5G TF protocol

configuration parameters and procedures such that this OTA test setup can be used to
test UE beam power measurements, beam acquisition and tracking, beam switching, and
other mobility and protocol test scenarios.

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07 | Keysight | OTA Setup for 5G TF Beamforming Functional Tests - White Paper

Scope and Applicability

Performance testing use-cases are expected to migrate almost fully to OTA test
environment. Due to the high volume of beamforming-related features incorporated as
part of PHY and MAC protocol specifications, a significant portion of functional testing
use-cases are also likely to be performed in OTA environments.

It is worth noting that although beamforming and OTA test concepts presented in this
paper are described in the context of 5G TF standards, the 3GPP 5G NR standard also
extensively uses the beamforming and beam sweeping as key technologies in initial
access. The same challenges and considerations made in this paper apply for 3GPP 5G
NR as well.

For 5G NR, the initial access signals are composed of SS-blocks. Each SS-block consists
of primary synchronization signal (PSS), secondary synchronization signal (SSS) and
physical broadcast channel (PBCH), which are time-domain multiplexed using four
OFDM symbols. Each of these SS-blocks are transmitted using the same beam/AoA and
are periodically transmitted every 20 ms confined within a 5 ms window. This periodic
transmission of the different SS-blocks using different beams creates the beam-sweep-
ing pattern covering the desired area by the 5G gNB.

The UE identifies the best SS-block and accesses the network using a random-access
preamble. The same reciprocity assumptions detailed for the 5G TF case are considered
for the 3GPP 5G NR case. The best SS-block received by the UE in downlink determines
the resources onto which the UE transmits the PRACH. Since this relationship between
SS-blocks and PRACH resources is known to the gNB, it can be used to derive the beam/
AoA to be used for further transmissions (i.e., Msg 2 and 4) to the UE when accessing the
NR network. The gNB will not usually have prior knowledge of the beam/AoA used by the
UE, and hence will need to receive uplink transmissions from as many different Angles of
Arrival as were used in the downlink transmission.

In summary, 3GPP 5G NR has equivalent requirements for beamforming and PRACH

reception as for 5G TF. The system topology described in this paper can be used for
implementing OTA beamforming functional test procedures for both 5G TF and 3GPP 5G
NR deployments.

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08 | Keysight | OTA Setup for 5G TF Beamforming Functional Tests - White Paper

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© Keysight Technologies, 2018
Published in USA, January 7, 2018
5992-2467EN
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