MIMO Rel-17

RAN1#102-e

8.1 Further enhancements on MIMO for NR

Please refer to RP-193133 for detailed scope of the WI

R1-2007383 Session notes for 8.1 (Further enhancements on MIMO for NR) Ad-hoc Chair (Samsung)

R1-2006125 High-level work plan for Rel.17 FeMIMO WI Moderator (Samsung)

R1-2006126 Moderator summary for Rel.17 FeMIMO EVM offline Moderator (Samsung)

8.1.1 Enhancements on Multi-beam Operation

Mainly targeting FR2 while also applicable to FR1

R1-2005560 Considerations on the enhancement of multi-beam operation Sony

· Proposal 1: Study and specify (if necessary) the L1/L2-centric approach of both DL and UL beam management considering the use cases of inter-cell mobility

o Incorporate PCI into TCI state for DL beam management

o Incorporate PCI into Spatial Relation for UL beam management

· Proposal 2: Specify the QCL assumption among SSB/CSI-RS resource sets on different BWPs/CCs (intra band).

· Proposal 3: For inter-band CCs, a common beam management procedure, including TCI states across bands, should be considered for data/control, DL/UL, multiple BWPs, multiple TRPs and multiple UE panels.

· Proposal 4: The reporting of UE capabilities related to the ability of the UE to simultaneously steer in the same direction beams belonging to CCs in different bands should be considered.

· Proposal 5: For the optimization of TCI states across bands, the polarization property of beams should be considered.

· Proposal 6: Study and specify (if necessary) a unified TCI state framework which can be applied to UL beam management in addition to DL beam management.

· Proposal 7: An ID explicitly configured in spatialRelationInfo can be used for UL panel-specific beam selection.

· Proposal 8: Confirm the working assumption on explicit panel-specific indication on PUSCH/PUCCH/SRS and include PRACH with conditions FFS.

· Proposal 9: For UE supporting beam correspondence without UL beam sweeping, RAN1 should study and, if necessary, specify MPE-aware beam reporting.

· Proposal 10: For UE supporting beam correspondence with the aid of UL beam sweeping, RAN1 specifies UE behavior on MPE-aware UL beam sweeping.

· Proposal 12: Associate the P-MPR values with the spatial relation for UL transmission to mitigate the coverage loss due to the MPE.

· Proposal 13: Introducing a panel-specific P-MPR associated to a panel ID.

· : To avoid UL MPE issue, it would be beneficial for RAN1 to study and, if necessary, specify the mechanism of UE triggered UL beam/panel switch.

· Proposal 14: We suggest that definition of a UE panel and the related properties are addressed prior to further advancing discussions related to UE panel enhancements.

· Proposal 15: A beam can be defined as a spatial filtering associated with one or two antenna ports carrying one or two layers separated in the polarization domain.

· Proposal 16: RAN1 needs to study and specify (if necessary) whether additional signaling is necessary when a beam can support up to two independent layers separated by polarization.

Decision: The document is noted.

R1-2005842 Enhancements to multi-beam operation Ericsson

· Proposal 1: Focus on reducing the activation delay and speeding up the signaling.

· Proposal 2: After performing a measurement on an aperiodic CSI-RS, the UE would update the TCI state used as QCL source for the PDCCH/PDSCH DMRS to the QCL source corresponding to the best CSI-RS.

· Proposal 3: Include a PCI in the TCI state to facilitate the use of reference signals from non-serving cells as QCL sources.

· Proposal 4: Define the CSI-SSB-ResourceSet so that one report can contain measurements from different cells.

· Proposal 5: Introduce a PCI in the configurations related to UL transmissions: spatial relations and pathloss reference RS.

· Proposal 6: Implement complete support for common beam operation that considers restrictions in the UE hardware relevant for intra-band and inter-band carrier aggregation.

· Proposal 7: Introduce an UL TCI which could serve as a direct source for the spatial properties of all UL signals: SRS, PUCCH and PUSCH.

· Proposal 8: UL TCI is optionally configured.

· Proposal 9: The UE orientation is vertical, with a random orientation in azimuth.

· Proposal 10: Confirm the orientation for each UE antenna panel once the UE orientation is clarified.

· Proposal 11: One UE per cell is baseline for the intra-cell mobility evaluations.

· Proposal 12: One UE is dropped randomly per cell for the MPE evaluations.

· Proposal 13: Do not evaluate inter-cell mobility using SLS in the feMIMO WI.

Decision: The document is noted.

R1-2006991 Multi-Beam Enhancements Samsung (rev of R1-2006128)

· Proposal 1: A common beam indication (TCI state update) is used by the UE when:

o receiving DL data and UE-dedicated DL control.

o transmitting UL data and UL control.

· Proposal 2: When beam correspondence is assumed between DL and UL transmissions, a unified beam indication framework indicates a joint TCI state for DL and UL. When beam correspondence is not assumed between DL and UL transmissions, a unified beam indication framework indicates a DL TCI state separate from an UL TCI state.

· Proposal 3: For multiple CCs, investigate how to extend the common beam indication framework to include common beam indication for a subset of CCs, cross-carrier beam indication (e.g., DCI on CC1 indicating the common beam for CC2), and cross-carrier scheduling (e.g., beams for receiving PDCCH on CC1 and PDSCH on CC2).

· Proposal 4: To support common TCI state update for DL data and the associated DL assignment (UE-dedicated control), L1-control-based beam indication is introduced in Rel-17.

· Proposal 5: Investigate the use of UE-group beam indication to further reduce DL signalling overhead, baseband power consumption, as well as improve reliability.

o Also investigate the use of two-part beam indication to further enhance the efficiency of UE-group beam indication

· Proposal 6: For L1/L2-centric inter-cell mobility, support

o beam measurement based on RSs associated with serving as well as neighbouring cells

o beam report which includes indicator for (RS-ID, cell-ID)

o TCI state definition which includes or is associated with cell-ID

· Proposal 7: Investigate combining TX and RX beam refinement in beam management procedure.

· Proposal 8: Investigate CSI-RS design by allowing partial repetition of the CSI-RS resources across DL spatial domain transmission filters, wherein a UE may assume that a subset of CSI-RS resources have a same spatial domain transmission filter.

· Proposal 9: For multi-panel UEs, fast panel selection is facilitated by including an index of RS resource or resource set associated with a panel into the UL TCI state definition.

· Proposal 10: For MPE mitigation, investigate a mechanism for providing an alternate UL TX beam as well as a UE-initiated UL TX beam update.

· Proposal 11: Consider additional simulation scenarios with multiple users in a cell to evaluate beam-design enhancement proposals in more realistic scenarios.

· Proposal 12: For the evaluation of mobility scenarios, inter-cell mobility is evaluated in addition to intra-cell mobility.

· Proposal 13: Table 2 can be the baseline assumptions for SLS for additional simulation assumptions for dense urban mobility scenario in FR2.

Decision: The document is noted.

R1-2005246 Enhancements on multi-beam operation in Rel-17 Huawei, HiSilicon

R1-2005290 Enhancement on multi-beam operation FUTUREWEI

R1-2005363 Discussion on multi beam enhancement vivo

R1-2005454 Enhancements on Multi-beam Operation ZTE

R1-2005482 Enhancements on Multi-beam Operation InterDigital, Inc.

R1-2005619 Enhancement on multi-beam operation MediaTek Inc.

R1-2005683 Discussion on enhancement on multi-beam operation CATT

R1-2005750 Discussion on multi-beam operation NEC

R1-2005782 Enhancements on multi-beam operation Fraunhofer IIS, Fraunhofer HHI

R1-2005820 Enhancements on Multi-beam Operation Lenovo, Motorola Mobility

R1-2006950 Enhancements on Multi-Beam Operation Intel Corporation (Revision of R1-2005858)

R1-2005954 Enhancements on Multi-Beam Operation AT&T

R1-2005983 Enhancements on Multi-beam Operation OPPO

R1-2006200 Enhancements on multi-beam operation CMCC

R1-2006248 Enhancements on Multi-beam Operation Spreadtrum Communications

R1-2006499 On Beam Management enhancement Apple

R1-2006540 Enhancements on multi-beam operation Beijing Xiaomi Electronics

R1-2006565 Enhancement on multi-beam operation for UE with multi-panel Sharp

R1-2006596 Enhancements on Multi-beam Operation LG Electronics

R1-2006636 Discussion on Enhancements for Multi-beam Operation Asia Pacific Telecom co. Ltd

R1-2006951 Discussion on multi-beam operation NTT DOCOMO, INC. (Revision of R1-2006717)

R1-2006790 Enhancements on Multi-beam Operation Qualcomm Incorporated

R1-2006843 Enhancements on Multi-beam Operation Nokia, Nokia Shanghai Bell

R1-2006127 Moderator summary for multi-beam enhancement Moderator (Samsung)

R1-2006985 Moderator summary for multi-beam enhancement: proposal categorization Moderator (Samsung)

[102-e-NR-feMIMO-01] – Eko (Samsung)

Email discussion on enhancements on multi-beam operation by 8/28

Prioritize topics to be resolved in RAN1#102-e by 8/19 (EVM should be highest priority)

R1-2007151 Moderator summary#2 for multi-beam enhancement: EVM Moderator (Samsung)

Agreement

The three proposals on R1-2007151 on the evaluation methodology for multi-beam enhancement are agreed.

R1-2007189 Moderator summary#2 for multi-beam enhancement: category Moderator (Samsung)

Agreement

Note: the enumeration for issues (such as “issue 1a), 1b), 6) in the proposal below refers to the enumeration within the proposals, not Table 1 in the FL summary.

· [Issue 1] For Rel.17 NR FeMIMO, on the unified TCI framework

a) Support joint TCI for DL and UL based on and analogous to Rel.15/16 DL TCI framework

§ The term “TCI” at least comprises a TCI state that includes at least one source RS to provide a reference (UE assumption) for determining QCL and/or spatial filter

§ The source reference signal(s) in M TCIs provide common QCL information at least for UE-dedicated reception on PDSCH and all or subset of CORESETs in a CC

· FFS: Optionally this common QCL information can also apply to CSI-RS resource for CSI, CSI-RS resource for BM, and CSI-RS for tracking

· FFS: Applicability on PDSCH includes PDSCH default beam

· Working Assumption: Select between M=1 and M>=1

§ The source reference signal(s) in N TCIs provide a reference for determining common UL TX spatial filter(s) at least for dynamic-grant/configured-grant based PUSCH, all or subset of dedicated PUCCH resources in a CC,

· Optionally, this UL TX spatial filter can also apply to all SRS resources in resource set(s) configured for antenna switching/codebook-based/non-codebook-based UL transmissions

· FFS: applicability of this UL TX spatial filter to SRS configured for beam management (BM)

· FFS: PUSCH port determination based on the TCI, e.g., to be mapped with SRS ports analogous to Rel.15/16

· Working Assumption: Select between N=1 and N>=1

§ FFS: extension to common QCL information applied to only some of the CORESETs or PUCCH resources in a CC, e.g. for mTRP

§ FFS: When used for the purpose of joint beam indication for UL and DL, whether a joint TCI pool for DL and UL dedicated for the purpose is used, or the same TCI pool as that used for the purpose of separate DL/UL beam indication is used

§ Note: The resulting beam indication directly refers to the associated source RS(s)

§ FFS (RAN1#103-e): Details on extension to intra- and inter-band CA

§ FFS (RAN1#103-e): The supported number of active TCI states considering factors such as multi-TRP and issue 6

§ FFS (RAN1#103-e): Applicable QCL types, and co-existence with DL TCI and spatial relation indication in Rel.15/16

b) In RAN1#103-e, investigate, for the purpose of down selection, the following alternatives for accommodating the case of separate beam indication for UL and DL

§ Alt1. Utilize the joint TCI to include references for both DL and UL beams

§ Alt2. Utilize two separate TCI states, one for DL and one for UL. The TCI state for the DL is the same as agreed in 1a. The TCI state for the UL can be newly introduced.

· Alt 2-1: The UL TCI state is taken from the same pool of TCI states as the DL TCI state

· Alt 2-2: The UL TCI state is taken from another pool of TCI states than the DL TCI state

§ Note: The resulting beam indication directly refers to the associated source RS(s)

§ FFS (RAN1#103-e): Details on extension to intra- and inter-band CA

§ Note: This may be related to issue 5 as well as other reasons for different TCIs such as network flexibility/scheduling

c) Support the use of SSB/CSI-RS for BM and/or SRS for BM as source RS to determine a UL TX spatial filter in the unified TCI framework

§ Whether the UL TX spatial filter corresponds to UL TCI (separate from DL TCI) depends on the outcome of 1b) above

§ FFS: Support the use of non-BM CSI-RS and/or non-BM SRS in addition

d) In RAN1#103-e, decide if SRS for BM can be configured as a source RS to represent a DL RX spatial filter in the unified TCI framework

e) In RAN1#103-e, decide/finalize all other parameters included in or concurrent with (but not included in) the TCI, e.g. UL-PC-related parameters (involving P0/alpha, PL RS, and/or closed loop index), UL-timing-related parameters

f) In RAN1#103-e, identify issues pertaining to alignment between DL and UL default beam assumptions using the unified TCI framework

· [Issue 2] For Rel.17 NR FeMIMO, on L1/L2-centric inter-cell mobility:

a) In RAN1#103-e, finalize scope and use cases for L1/L2-centric inter-cell mobility, including:

§ Applicability in various non-CA and CA setups such as intra-band and inter-band CA

§ Use cases in comparison to Rel.15 L3-based handover (HO) taking into account potential extension of DAPS-based Rel.16 mobility enhancement to FR2-FR2 HO

§ The extent of RAN2 impact (MAC CE, RRC, user plane protocols)

§ Network architecture, e.g. NSA vs. SA, inter-RAT scenarios

b) In RAN1#103-e, depending on the outcome of 2a), further identify additional components –along with the associated alternatives –required for supporting inter-cell mobility based on the same unified TCI framework as that for intra-cell mobility (including dynamic TCI state update signaling), including

§ Method(s) for incorporating non-serving cell information associated with TCI

§ Method(s) for DL measurements and UE reporting (e.g. L1-RSRP) associated with non-serving cell(s)

§ UE behavior for reception of signals and non-UE-specific control and data channels associated with non-serving cell(s)

§ UL-related enhancements, e.g. related to RA procedure including TA

§ Beam-level event-driven mechanism for L1/L2-centric inter-cell mobility

· [Issue 3] For Rel.17 NR FeMIMO, on dynamic TCI state update signaling medium:

a) In RAN1#103-e, investigate, for the purpose of down selection, the following alternatives:

§ Alt1. DCI

§ Alt2. MAC CE

§ Note: Combination between DCI and MAC CE for, e.g. different use cases or control information partitioning can also be considered

§ Note: The study should consider factors such as feasibility for pertinent use cases, performance (based on at least the agreed EVM), overhead (including PDCCH capacity), latency, flexibility, reliability including the support of retransmission

§ Note: This may be related to outcome of issue 1a), 1b), and 6a)

b) In RAN1#103-e, depending on the outcome of 3a), identify candidates for more detailed design issues for the dynamic TCI state update such as

§ Exact content

§ Signaling format

§ Reliability aspects including the support of retransmission

§ Extensions, including the support of UE-group (in contrast to UE-dedicated) signaling

· [Issue 4] For Rel.17 NR FeMIMO, on MP-UE assumption to facilitate fast UL panel selection:

a) The following assumptions are used:

§ In terms of RF functionality, a UE panel comprises a collection of TXRUs that is able to generate one analog beam (one beam may correspond to two antenna ports if dual-polarized array is used)

§ UE panels can constitute the same as well as different number of antenna ports, number of beams, and EIRP

§ No beam correspondence across different UE panels

§ FFS: For each UE panel, it can comprise an independent unit of PC, FFT timing window, and/or TA.

§ FFS: Same or different sets of UE panels can be used for DL reception and UL transmission, respectively

b) In RAN1#103-e, identify candidate use cases including MPE, and consider remaining aspects if use cases are identified

c) In RAN1#103-e, identify candidate signaling schemes for the following:

§ NW to MP-UE (taking into account potential extension of the unified TCI framework in issue 1)

§ MP-UE to NW

· [Issue 5] For Rel.17 NR FeMIMO, on MPE mitigation (that is, minimizing the UL coverage loss due to the UE having to meet the MPE regulation), in RAN1#103-e:

a) If needed, identify candidate solutions to be down-selected in future meeting(s). The following sub-categories can be used:

§ CAT0. The need for specification support for MPE event detection and, if needed, candidate solutions

§ CAT1. The need for UE reporting associated with an MPE and/or a potential/anticipated MPE event if the UE selects a certain UL spatial resource, e.g., corresponding to DL or UL RS

§ CAT2. The need for NW signaling in response to the reported MPE event (taking into account issue 1) and UE behavior after receiving the NW signaling

§ Note: RAN4 has agreed to specify P-MPR reporting (cf. CRs for TS 38.101/102/133) which can be used as a baseline scheme for further enhancement

§ Note: This may be related to outcome of issue 4b)

b) Companies are encouraged to submit evaluation results based on the agreed EVM to justify the benefits of the candidate solutions

· [Issue 6] For Rel.17 NR FeMIMO,

a) add another category on performing study and, if needed, specifying feature(s) for beam acquisition (including beam tracking and refinement) latency reduction, especially for scenarios with high-speed UEs and large number of configured TCI states

b) Partial BFR will be handled in ITEM 2c (BM enhancement for mTRP)

Note: The target “RAN1#103-e” is understood as best-effort, i.e. to finalize as many components as possible based on the status of companies’ contributions.

R1-2007370 Moderator summary for multi-beam enhancement: advanced beam acquisition Moderator (Samsung)

8.1.2 Enhancements for Multi-TRP Deployment

R1-2006718 Discussion on UL dense deployment NTT DOCOMO, INC.

8.1.2.1 Enhancements on Multi-TRP for PDCCH, PUCCH and PUSCH

R1-2006791 Enhancements on Multi-TRP for PDCCH, PUCCH and PUSCH Qualcomm Incorporated

· Proposal 1: For PDCCH reliability enhancements in Rel. 17, FDM and TDM schemes have higher priority compared to SDM scheme.

· Proposal 2: Study pros and cons of the following approaches to enable transmission of one DCI with two TCI states:

o One CORESET associated with two TCI states

o One SS set associated with two CORESETs

o One combined PDCCH candidate defined in two SS sets

· Proposal 3: Multi-TCI state PDCCH schemes should not introduce TCI state dependent rate matching for PDCCH (Rel. 15 rate matching should be assumed for PDCCH).

· Proposal 4: Support extending Rel. 15 inter-slot PUCCH repetition mechanisms to

o Two PUCCH-SpatialRelationInfoId’s

o PUCCH formats 0 and 2 in addition to PUCCH formats 1, 3, and 4.

· Proposal 5: RAN1 should study pros and cons of the following two alternatives before deciding how to enable intra-slot multi-beam PUCCH transmission:

o Alternative 1: Reusing intra-slot frequency hopping mechanisms to enable beam-hopping within one PUCCH resource.

o Alternative 2: Allowing PUCCH repetition in two different non-overlapping PUCCH resources in a given slot, where the two PUCCH resources are configured / activated with different beams.

· Proposal 6: Support extending PUSCH repetition Type A and Type B to repetitions with different sets of UL beams / different sets of transmission parameters for codebook based UL transmission and non-codebook based UL transmission including

o Indication of two sets of power control parameters (by enhancing SRI signalling in the DCI)

o Indication of two spatial relation Info’s (by enhancing SRI signalling in the DCI)

o Indication of two TPMIs for codebook based UL transmission (by enhancing “Precoding information and number of layers” signaling in the DCI)

· Proposal 7: Enhancements for reliability and robustness of PUSCH should be extended to the case of configured grant for both cases of Type 1 and Type 2 configured grant.

· Proposal 8: RAN1 should study if and how multi-DCI based multi-PUSCH transmission can be optimized to enhance the flexibility and performance of PUSCH.

o Compared to single-DCI based approach, multi-DCI based approach has lower priority.

Decision: The document is noted.

R1-2005285 Multi-TRP/panel for non-PDSCH FUTUREWEI

R1-2005364 Discussion on enhancement on PDCCH, PUCCH, PUSCH in MTRP scenario vivo

R1-2005455 Multi-TRP enhancements for PDCCH, PUCCH and PUSCH ZTE

R1-2005483 Discussion on Multi-TRP Physical Channel Enhancements InterDigital, Inc.

R1-2005542 Enhancements on Multi-TRP for PUCCH and PUSCH Fujitsu

R1-2005561 Considerations on Multi-TRP for PDCCH, PUCCH, PUSCH Sony

R1-2005621 Enhancements on Multi-TRP for PDCCH, PUSCH and PUCCH MediaTek Inc.

R1-2005684 Discussion on enhancements on multi-TRP/panel for PDCCH, PUCCH and PUSCH CATT

R1-2005728 Discussion on multi-TRP enhancement China Telecom

R1-2005751 Discussion on multi-TRP for PDCCH, PUCCH and PUSCH NEC

R1-2005783 On multi-TRP enhancements for PDCCH and PUSCH Fraunhofer IIS, Fraunhofer HHI

R1-2005821 Enhancements on Multi-TRP for PDCCH, PUCCH and PUSCH Lenovo, Motorola Mobility

R1-2005859 Multi-TRP enhancements for PDCCH, PUCCH and PUSCH Intel Corporation

R1-2005984 Enhancements on Multi-TRP based enhancement for PDCCH, PUCCH and PUSCH OPPO

R1-2006129 Enhancements on Multi-TRP for PDCCH, PUCCH and PUSCH Samsung

R1-2006201 Enhancements on Multi-TRP for PDCCH, PUCCH and PUSCH CMCC

R1-2006258 Discussion on enhancements on multi-TRP for PDCCH, PUCCH and PUSCH Spreadtrum Communications

R1-2006367 On PDCCH, PUCCH and PUSCH robustness Ericsson

R1-2006391 Enhancements on Multi-TRP for reliability and robustness in Rel-17 Huawei, HiSilicon

R1-2006500 On multi-TRP reliability enhancement Apple

R1-2006543 Enhancements on Multi-TRP for PDCCH, PUCCH and PUSCH Beijing Xiaomi Electronics

R1-2006566 Enhancement on multi-TRP operation for PDCCH and PUSCH Sharp

R1-2006597 Enhancements on Multi-TRP for PDCCH, PUCCH and PUSCH LG Electronics

R1-2006627 Multi-TRP Enhancements for PDCCH, PUCCH and PUSCH Convida Wireless

R1-2006637 Discussion on enhancements on multi-TRP for uplink channels Asia Pacific Telecom co. Ltd

R1-2006719 Discussion on MTRP for reliability NTT DOCOMO, INC.

R1-2006844 Enhancements for Multi-TRP URLLC schemes Nokia, Nokia Shanghai Bell

R1-2006868 Discussion on enhancement on M-TRP ASUSTeK

R1-2006901 Discussion on multi-TRP/multi-panel transmission TCL Communication Ltd.

[102-e-NR-feMIMO-02] – Mostafa (Qualcomm)

Email discussion on enhancements on multi-TRP for PDCCH by 8/28

Prioritize topics to be resolved in RAN1#102-e by 8/19 (EVM should be highest priority)

R1-2007179 Summary of EVM discussion for mTRP PDCCH reliability enhancements Moderator (Qualcomm)

R1-2007180 Summary #1 of email discussion [102-e-NR-feMIMO-02] Moderator (Qualcomm)

R1-2007181 Summary #2 of email discussion [102-e-NR-feMIMO-02] Moderator (Qualcomm)

Agreement

The following is agreed for evaluation of PDCCH

· According to the evaluation scenario (e.g., at FR1 in urban macro / at FR1 in indoor hotspot / at FR2 in indoor hotspot), one of three Tables (Table A.3-1 ~ A.3-3) of 38.824 can be a baseline of EVM for Rel-17 FeMIMO item 2a.

o System bandwidth other than those mentioned in the Tables can be considered and reported by the companies.

· In addition, the following table is used for EVM for Rel-17 FeMIMO item 2a (Common assumptions for PDCCH/PUCCH/PUSCH)

Parameters	Values
The number of TRPs	2
Channel model	TDL for FR1 (CDL for FR1 can be optionally used) CDL for FR2 (TDL for FR2 can be optionally used)
Path-loss modeling	{0,3,6} dB gap between TRPs
Blockage	Blockage model from Rel-16 (x dB power offset with probability p): Companies to report x and p, and other assumptions, if any.
Target BLER	[10^-3, 10^-4, 10^-5]: BLER values shown in plots should be based on enough number of samples, e.g., ~100/BLER samples

· The following table is used for detailed assumptions for PDCCH

Parameters	Values
Baseline schemes	Option 1: Rel-15 PDCCH Option 2: Spec transparent SFN For FR1: Both options 1 and 2 can be considered For FR2: Option 1.
AL	8 as baseline. Companies are encouraged to simulate other AL’s additionally for different code rate regimes.
# of RBs/symbols	1 or 2 symbols. Companies to report # of RBs.
DCI payload	40+24(CRC)=64 as baseline. Other payload values are not precluded.
CCE-to-REG mapping	Both Interleaved and non-interleaved can be considered. Companies to report the assumptions including interleaverSize in the case of interleaved.
REG bundling size	6 and 2 as baseline.
Precoding assumptions	Precoding cycling, precoder granularity=REG bundle as baseline. Closed-loop precoding can be used optionally
Schemes	Details of the schemes used (including TDM,FDM, etc.) to be reported by companies.
Receiver assumption	Up to companies to report

Agreement

To enable a PDCCH transmission with two TCI states, study pros and cons of the following alternatives:

· Alt 1: One CORESET with two active TCI states

· Alt 2: One SS set associated with two different CORESETs

· Alt 3: Two SS sets associated with corresponding CORESETs

· At least the following aspects can be considered: multiplexing schemes (TDM / FDM/ SFN / combined schemes), BD/CCE limits, overbooking, CCE-REG mapping, PDCCH candidate CCEs (i.e. hashing function), CORESET / SS set configurations, and other procedural impacts.

Agreement

For non-SFN based mTRP PDCCH reliability enhancements, study the following options:

Option 1 (no repetition): One encoding / rate matching for a PDCCH with two TCI states
Option 2 (repetition): Encoding / rate matching is based on one repetition, and the same coded bits are repeated for the other repetition. Each repetition has the same number of CCEs and coded bits, and corresponds to the same DCI payload.

o Study both intra-slot repetition and inter-slot repetition

Option 3 (multi-chance): Separate DCIs that schedule the same PDSCH /PUSCH /RS/TB/etc. or result in the same outcome.

o Study both cases of DCIs in the same slot and DCIs in different slots

Note 1: Companies are encouraged to evaluate the different options based on agreed LLS assumptions for possible down-selection in RAN1#103-e.

Note 2: The actual encoding / rate matching chain for PDCCH polar coding (i.e. 38.212 Sections 5.3.1 / 5.4.1 / 7.3.3 / 7.3.4) is not changed in the options above.

Agreement

For mTRP PDCCH reliability enhancements, study the following multiplexing schemes

· TDM : Two sets of symbols of the transmitted PDCCH / two non-overlapping (in time) transmitted PDCCH repetitions / non-overlapping (in time) multi-chance transmitted PDCCH are associated with different TCI states

o Aspects and specification impacts related to intra-slot vs inter-slot to be discussed

· FDM : Two sets of REG bundles / CCEs of the transmitted PDCCH / two non-overlapping (in frequency) transmitted PDCCH repetitions / non-overlapping (in frequency) multi-chance transmitted PDCCH are associated with different TCI states

· SFN : PDCCH DMRS is associated with two TCI states in all REGs/CCEs of the PDCCH

o Note: There is dependency between this scheme and AI 2d (HST-SFN )

· Note: Combinations of the schemes are not precluded, and they can be discussed at a later stage.

Agreement

For Alt 1 (one CORESET with two active TCI states), study the following

· Alt 1-1: One PDCCH candidate (in a given SS set) is associated with both TCI states of the CORESET.

· Alt 1-2: Two sets of PDCCH candidates (in a given SS set) are associated with the two TCI states of the CORESET, respectively

· Alt 1-3: Two sets of PDCCH candidates are associated with two corresponding SS sets, where both SS sets are associated with the CORESET and each SS set is associated with only one TCI state of the CORESET

· Note 1: A set of PDCCH candidates contain a single or multiple PDCCH candidates, and a PDCCH candidate in a set corresponds to a repetition or chance

· Note 2: How one or more PDCCH candidates are counted for monitoring (for BD limit) is FFS

o The note is applicable also to other alternatives

Agreement

For Alt 1-2/1-3/2/3, study the following

· Case 1: Two (or more) PDCCH candidates are explicitly linked together (UE knows the linking before decoding)

o FFS: How the explicit linkage is derived/determined by the UE

· Case 2: Two (or more) PDCCH candidates are not explicitly linked together (UE does not know the linking before decoding)

o FFS: How the UE knows the linkage after decoding

[102-e-NR-feMIMO-03] – Keeth (Nokia)

Email discussion on enhancements on multi-TRP for PUSCH, PUCCH by 8/28

Prioritize topics to be resolved in RAN1#102-e by 8/19 (EVM should be highest priority)

R1-2007182 Summary of AI:8.1.2.1 Enhancements for Multi-TRP URLLC for PUCCH and PUSCH Moderator (Nokia, Nokia Shanghai Bell)

Agreement

· Detailed assumptions for PUCCH evaluation:

Parameters	Potential values
Baseline scheme	Rel-15 PUCCH repetition
PUCCH format	Format 1 and 3. Other PUCCH Formats can be optionally considered.
# of RBs/symbols	PUCCH Format 1: 4 symbols, 1 RB PUCCH Format 3: 4 and 8 symbols, 1 RB Other combinations are not precluded.
UCI payload	2 bits for PUCCH Format 1 (and Format 0, if considered). Companies to report assumptions on other PUCCH Formats
Frequency hopping	Reported by companies
Number of repetitions (when applicable)	2, 4, 8
Schemes	TDM Details to be reported by companies
Receiver assumption	Reported by companies

· Detailed assumptions for PUSCH evaluation:

Parameters	Potential values
Baseline scheme	Rel-15/-16 PUSCH repetition
# of RBs/symbols	Companies to Report.
DMRS pattern	DM-RS configuration type 1 DM-RS Configuration type 2 (optional)
# of layers	1, 2 (optional)
Code rates	Low (<0.2) and moderate (<0.4)
Frequency hopping	Reported by companies
UL transmission scheme	Codebook based UL transmission is baseline. Non-codebook based can be optional.
Redundancy Version	Reported by companies
Number of repetitions (when applicable)	2, 4, 8 Other numbers are not precluded
Schemes	TDM Details to be reported by companies
Receiver assumption	Reported by companies

Agreement

To improve reliability and robustness for PUCCH using multi-TRP and/or multi-panel, consider all PUCCH formats.

Agreement

To enable TDMed PUCCH transmission with different beams, support configuring/activating of multiple PUCCH Spatial Relation Info. RAN1 shall further study the exact schemes considering the following aspects,

· Method of configuration/activation of multiple spatial relation info

· Use of the same PUCCH resource or different PUCCH resource for PUCCH transmission

· Mapping between PUCCH repetition/symbol and spatial relation info among multiple PUCCH repetitions / multiple PUCCH symbols.

Agreement

For configuration/indication of the number of PUCCH repetitions, RAN1 shall further study the following,

· Alt.1: Use Rel-15 like framework

· Alt.2: Dynamic indication of the number of PUCCH repetitions

Agreement

For multi-TRP PUCCH transmission, further investigate required power control enhancement.

Agreement

Further study M-TRP CG PUSCH reliability enhancements in Rel-17.

Agreement

Support TDMed PUCCH scheme(s) to improve reliability and robustness for PUCCH using multi-TRP and/or multi-panel. Study the following alternatives,

· Alt.1: supporting both inter-slot repetition and intra-slot repetition / intra-slot beam hopping.

· Alt.2: supporting only inter-slot repetition

· Note1: It is not precluded to study the use of multiple PUCCH resources to repeat the same UCI in both inter-slot repetition and intra-slot repetition.

· Note2: The alternatives are clarified as below,

o inter-slot repetition: One PUCCH resource carries UCI , another one or more PUCCH resources or the same PUCCH resource in another one or more slots carries a repetition of the UCI .

o intra-slot repetition: One PUCCH resource carries UCI , another one or more PUCCH resources or the same PUCCH resource in another one or more sub-slots carries a repetition of the UCI

o intra-slot beam hopping: UCI is transmitted in one PUCCH resource in which different sets of symbols have different beams

Agreement

For M-TRP PUSCH reliability enhancement, support single DCI based PUSCH transmission/repetition scheme(s).

· Further study multi-DCI based PUSCH transmission/repetition scheme(s) to identify potential gains and required enhancements.

· Note: This agreement does not reflect any prioritization of single DCI based PUSCH transmission/repetition over multi-DCI based PUSCH transmission/repetition. Ran1 can further discuss that in the next meeting.

Agreement

For single DCI based M-TRP PUSCH reliability enhancement, support TDMed PUSCH repetition scheme(s) based on Rel-16 PUSCH repetition Type A and Type B.

· Further study PUSCH transmission without repetition as a potential candidate M-TRP PUSCH scheme

Agreement

To support single DCI based M-TRP PUSCH repetition scheme(s), up to two beams are supported. RAN1 shall further study the details considering,

1. Codebook based and non-codebook based PUSCH

2. Enhancements on SRI/TPMI/power control parameters/any other

Note1: Companies are encouraged to provide additional details on how above enhancements are applied to different PUSCH repetitions (e.g. mapping between PUSCH repetitions and beams)

Note2: Studying enhancements/aspects related to TA is not precluded.

Agreement

On the mapping between PUSCH repetitions and beams in single DCI based multi-TRP PUSCH repetition Type A and Type B, further study the following,

For both PUSCH repetition Type A and B, how the beams are mapped to different PUSCH repetitions (or slots/frequency hops),

Alt.1: cyclical mapping pattern (the first and second beam are applied to the first and second PUSCH repetition, respectively, and the same beam mapping pattern continues to the remaining PUSCH repetitions).
Alt.2: sequential mapping pattern (the first beam is applied to the first and second PUSCH repetitions, and the second beam is applied to the third and fourth PUSCH repetitions, and the same beam mapping pattern continues to the remaining PUSCH repetitions).
Alt.3: Half-Half pattern (the first beam is applied to the first half of PUSCH repetitions, and the second beam is applied to the second half of PUSCH repetitions)
Alt.34: Other variants (e.g. configurable mapping patterns)
Note1: For PUSCH repetition type B, the variants considering slot level beam mapping with the same mapping principals (replacing repetition with slot) in Alt.1/2/3 are also included.
Note2: For PUSCH repetition type A and B with frequency hopping, the variants considering frequency hop level beam mapping with the same mapping principals (replacing repetition with frequency hop) in Alt.1/2/3 can also be studied further. Final selection of such schemes also depends on the number of beams allowed per PUSCH repetition.

For PUSCH repetition Type B, which repetition type that the beams shall consider for the mapping,

Alt.1: beams are mapped to the nominal repetitions
Alt.2: beams are mapped to the actual repetitions
Alt.3: beams are mapped to different slots (not in the granularity of actual/nominal repetition)
Alt.4: Other variants

Consider additional requirements on switching gap(s) between two PUSCH repetitions towards different TRPs considering beam switching latency aspects.
Note: use of the above solutions to multi-DCI based PUSCH repetition and TDMed PUSCH transmission without repetition (when there are agreed to support) is not precluded.

8.1.2.2 Enhancements on Multi-TRP inter-cell operation

R1-2005286 Inter-cell multi-TRP operation FUTUREWEI

· Proposal 1: For inter-cell multi-TRP enhancement:

o Clarify the scenario and key assumptions on time/frequency synchronization, backhaul, inter-cell signal delay spread, and UL support

o Discuss necessary UE assumptions/behaviour/capability to support multiple QCL assumptions linking to multiple SSBs on the same carrier/OFDM symbol

· Proposal 2: For inter-cell multi-TRP enhancement, QCL/TCI state can include a non-serving cell SSB, and CORESET pool indexes may not need to be explicitly configured.

· Proposal 3: For inter-cell multi-TRP UL enhancement, support to acquire and maintain multiple TA values for multiple TRPs on the same carrier.

Decision: The document is noted.

R1-2005365 Discussion on inter-cell MTRP operation vivo

· Proposal 1: Inter-cell multi-TRP operation in Rel-17 should be enhanced towards seamless mobility between cells for targeted mobility scenarios in Rel-17 FeMIMO.

· Proposal 2: Inter-cell multi-TRP operation in Rel-17 should consider both ideal backhaul and non-ideal backhaul scenarios.

· Proposal 3: Inter-cell multi-TRP operation in Rel-17 should consider both QCL enhancement for DL and spatial relation enhancement for UL.

· Proposal 4: Inter-cell m-TRP enhancement should consider both of the following two aspects:

o TCI state configuration/activation enhancement with additional information of the target cells (at least including PCI information)

o Enhanced configuration/activation of L1 measured SSBs with additional information of the target cells (at least including PCI information)

· Proposal 5: It should be clarified that whether UE is expected to receive channels/RS that are not within CP of each other in Rel-17 discussion.

· Proposal 6: Spatial relation and power control related configurations should be enhanced for SRS, PUCCH, PUSCH transmission towards target cell.

Decision: The document is noted.

R1-2005456 Discussion on Multi-TRP inter-cell operation ZTE

R1-2005484 TCI/QCL Enhancements for M-TRP Inter-cell Operation InterDigital, Inc.

R1-2005562 Considerations on inter-cell operation Sony

R1-2005685 Discussion on multi-TRP/panel inter-cell operation CATT

R1-2005822 Enhancements on Multi-TRP inter-cell operation Lenovo, Motorola Mobility

R1-2005860 Multi-TRP enhancements for inter-cell operation Intel Corporation

R1-2005985 Enhancement on inter-cell multi-TRP operation OPPO

R1-2006130 Enhancements on Multi-TRP inter-cell operation Samsung

R1-2006202 Enhancements on Multi-TRP inter-cell operation CMCC

R1-2006259 Discussion on enhancement multi-TRP inter-cell operation Spreadtrum Communications

R1-2006368 On inter-cell operation for mTRP Ericsson

R1-2006392 Enhancements on inter-cell Multi-TRP operations in Rel-17 Huawei, HiSilicon

R1-2006501 On Inter-cell multi-TRP operation Apple

R1-2006545 Enhancement on Inter-cell Multi-TRP operations Beijing Xiaomi Electronics

R1-2006567 Enhancement on inter-cell multi-TRP operation Sharp

R1-2006598 Enhancements on Multi-TRP inter-cell operation LG Electronics

R1-2006720 Discussion on inter-cell multi-TRP operations NTT DOCOMO, INC.

R1-2006792 Enhancements on Multi-TRP inter-cell operation Qualcomm Incorporated

R1-2006845 Enhancements to enable inter-cell multi-TRP operations Nokia, Nokia Shanghai Bell

[102-e-NR-feMIMO-04] – Rakesh (vivo)

Email discussion on enhancements on multi-TRP intercell operation

- Prioritize topics to be resolved in RAN1#102-e by 8/19 (EVM should be highest priority if there is any new EVM assumptions needed)

R1-2007313 Feature lead summary on Enhancements on Multi-TRP inter-cell operation Moderator (vivo)

Agreement

Study the following aspects of QCL /TCI-related enhancement to enable inter-cell multi-DCI based multi-TRP operation.

· Details on configuration of non-serving cell RS;

· Allowed source and target RS types for RS transmitted from the non-serving cell TRP ;

· Allowed QCL types for RS transmitted from the non-serving cell TRP ;

· Measurement and reporting related to QCL /TCI enhancement except for that in 8.1.1, if any;

· Clarification on potential UE behavior for associating/multiplexing non-serving cell RS with other RS/channels;

· Other details not precluded.

8.1.2.3 Enhancements on beam management for multi-TRP

R1-2005686 Discussion on enhancements on beam management for multi-TRP CATT

· Proposal 1: Reuse the same CSI measurement framework in Rel.16 for M-TRP, with additional measurement restriction tailored for M-TRP.

· Proposal 2: Amend group-based reporting with restrictions on beam pairing for M-TRP.

· Proposal 3: For L1-SINR group-based reporting, only CMR is configured, while for each beam index (e.g. CRI1, CRI2), the other reported beam index points to the interference resource.

· Proposal 4: Introduce Rx-panel-specific group-based reporting, where multiple CSI reporting configs, when enabled, shall be measured on different Rx panels.

· Proposal 5: The rule in Rel-15 can be reused to handle the multiplexing of PDCCH and PDSCH.

· Proposal 6: Define association relation between a CSI-RS resource and PDCCH (or CORESET, or CORESET group) in the same symbol.

· Proposal 7: M-TRP based partial failure recovery can be considered in Rel-17.

Decision: The document is noted.

R1-2006260 Discussion on enhancements on beam management for multi-TRP Spreadtrum Communications

· Proposal 1: Support to enhance on PDCCH reception for multi-DCI based multi-TRP case.

· Proposal 2: In overlapping PDCCH monitoring occasions in multiple CORESETs that have same or different QCL-TypeD properties on active DL BWP(s) from different TRPs, for each TRP priority rule of monitoring PDCCHs should reuse R15.

· Proposal 3: Support to enhance on DL SPS PDSCH reception for multi-DCI based multi-TRP case.

· Proposal 4: In overlapping PDSCH without corresponding PDCCH transmissions receiving occasions from multiple TRP, one PDSCH with lowest configured sps-ConfigIndex for each TRP could be received.

· Proposal 5: PDSCH without corresponding PDCCH transmission associates with the same value of CORESETPoolIndex as CORESET where PDCCH activating the PDSCH lies in.

· Proposal 6: Not support to enhance on beam management for multi-TRP transmission.

Decision: The document is noted.

R1-2005287 Beam management for simultaneous multi-TRP transmission with multi-panel reception FUTUREWEI

R1-2005366 Discussion on MTRP multibeam enhancement vivo

R1-2005457 Enhancements on beam management for Multi-TRP ZTE

R1-2005485 Discussion on Beam Management Enhancements for Multi-TRP InterDigital, Inc.

R1-2005563 Considerations on beam management for multi-TRP Sony

R1-2005620 Enhancements on beam management for multi-TRP MediaTek Inc.

R1-2005752 Discussion on beam management for multi-TRP NEC

R1-2005784 On beam management enhancements for multi-TRP Fraunhofer IIS, Fraunhofer HHI

R1-2005823 Enhancements on beam management for multi-TRP Lenovo, Motorola Mobility

R1-2005861 Multi-TRP enhancements for beam management Intel Corporation

R1-2005955 Views on beam management enhancement for multi-TRP AT&T

R1-2005986 Enhancements on beam management for multi-TRP OPPO

R1-2006131 Enhancements on beam management for multi-TRP Samsung

R1-2006203 Enhancements on beam management for multi-TRP CMCC

R1-2006393 Enhancements on multi-TRP for multi-panel reception in Rel-17 Huawei, HiSilicon

R1-2006502 On multi-TRP BM enhancement Apple

R1-2006546 Enhancement on beam management for Multi-TRP Beijing Xiaomi Electronics

R1-2006599 Enhancements on beam management for multi-TRP LG Electronics

R1-2006638 Discussion of enhancements on beam management for multi-TRP Asia Pacific Telecom co. Ltd

R1-2006654 Discussion on beam management for Multi-TRP ITRI

R1-2006681 On beam management enhancements for simultaneous multi-TRP transmission with multi-panel reception Ericsson

R1-2006721 Discussion on beam management for MTRP NTT DOCOMO, INC.

R1-2006793 Enhancements on beam management for multi-TRP Qualcomm Incorporated

R1-2006846 Enhancements on Beam Management for Multi-TRP/Panel Transmission Nokia, Nokia Shanghai Bell

[102-e-NR-feMIMO-05] – Runhua (CATT)

Email discussion on enhancements on beam management for multi-TRP

- Prioritize topics to be resolved in RAN1#102-e by 8/19 (EVM should be highest priority if there is any new EVM assumptions needed)

R1-2007294 Summary on email discussion on beam management for simultaneous multi-TRP transmission with multiple Rx panels Moderator (CATT)

Agreement

For L1-RSRP, consider measurement / reporting enhancement to facilitate inter-TRP beam pairing

· Option-1: Group-based reporting,

o e.g., beam restriction to facilitate inter-TRP pairing.

· Option-2: Non-group-based reporting

Agreement

Evaluate and study at least but not limited to the following issues for multi-beam enhancement

· Issue 1: Consideration of inter-beam interference

· Issue 2: For group-based reporting, increased number of groups and/or beams per group

· Issue 3: UE Rx panel related beam measurement/report

o NOTE: “UE panel” is used for discussion purpose only

Agreement

· Evaluate enhancement to enable per-TRP based beam failure recovery starting with Rel-15/16 BFR as the baseline.

· Consider following potential enhancement aspects to enable per-TRP based beam failure recovery

o Issue 1: TRP-specific BFD

o Issue 2: TRP-specific new candidate beam identification

o Issue 3: TRP-specific BFRQ

o Issue 4: gNB response enhancement

o Issue 5: UE behavior on QCL/spatial relation assumption/UL power control for DL and UL channels/RSs after receiving gNB response

Agreement

Study Rel.17 enhancements on beam management for multi-TRPs with following priority

· High priority:

o Beam measurement/reporting enhancement

o Beam failure recovery for multi-TRP

· Low priority

o Simultaneous reception of same type of channel/RS with different QCL-TypeD

o Simultaneous reception of different type of channel/RS with different QCL-TypeD

In RAN1#102-e, the following combinations of physical channels were discussed but there was no consensus among the companies whether or not to study further in future meetings

Study simultaneous reception of the same type of channels/RS with different QCL-TypeD assumption, including at least the following combinations:

o PDCCH+PDCCH, CSI-RS + CSI-RS

Study simultaneous reception of different types of channels with different QCL-TypeD assumptions, including at least the following combinations:

o SSB+PDCCH/PDSCH, PDCCH+PDSCH, PDCCH+CSI-RS, PDSCH+CSI-RS

o Other combinations of channels/RS are not precluded.

8.1.2.4 Enhancements on HST-SFN deployment

R1-2005486 Enhanced M-TRP for HST-SFN InterDigital, Inc.

· Proposal 1: Develop new solutions and enhancements based on clustering of QCL, TCI and CSI framework to support HST-SFN operation using M-TRP transmission.

· Proposal 2: Study zone-based resource pooling to mitigate potential high signalling overhead.

· Proposal 3: Enhanced QCL configuration to indicate relative polarity of Doppler shift between configured TCI states.

· Proposal 4: Use non-SFN TRS to enable the UE to perform independent Doppler measurements per TRP.

· Proposal 5: Study solutions for TRS transmission that could help balance resource utilization and the accuracy of measurements.

Decision: The document is noted.

R1-2005367 Evaluation and discussion on HST-SFN schemes vivo

R1-2005458 Discussion on Multi-TRP HST enhancements ZTE

R1-2005564 Considerations on HST-SFN operation for multi-TRP Sony

R1-2005592 Enhancement to support HST-SFN deployment scenario FUTUREWEI

R1-2005687 Discussion on enhancements on HST-SFN deployment CATT

R1-2005753 Discussion on HST-SFN deployment NEC

R1-2005862 On HST SFN enhancements Intel Corporation

R1-2005925 Enhancements for HST-SFN deployment Lenovo, Motorola Mobility

R1-2005987 Enhancements on HST-SFN deployment OPPO

R1-2006132 Enhancements on HST-SFN Samsung

R1-2006204 Enhancements on HST-SFN deployment CMCC

R1-2006261 Discussion on enhancements on HST-SFN deployment Spreadtrum Communications

R1-2006394 Enhancements on Multi-TRP for high speed train in Rel-17 Huawei, HiSilicon

R1-2006475 Enhancement on HST-SFN deployment Ericsson

R1-2006503 Views on Rel-17 HST enhancement Apple

R1-2006600 Enhancements on HST-SFN deployment LG Electronics

R1-2006722 Discussion on HST-SFN deployment NTT DOCOMO, INC.

R1-2006794 Enhancements on HST-SFN deployment Qualcomm Incorporated

R1-2006847 Enhancements for HST-SFN deployment Nokia, Nokia Shanghai Bell

[102-e-NR-feMIMO-06] – Alexei (Intel)

Email discussion on enhancements on HST-SFN deployment by 8/28

- Prioritize topics to be resolved in RAN1#102-e by 8/19 (EVM should be highest priority)

R1-2007201 Summary of AI: 8.1.2.4 Enhancements on HST-SFN deployment Moderator (Intel Corporation)

Agreement

Proposal on evaluation methodology in section 2.1 of R1-2007201 with following modifications (yellow part of proposal is not agreed)

· FFS: Propagation condition for FR1, FR2 whether CDL extension is optional or baseline

· FFS: UE height for both FR1, FR2

Agreement

For HST evaluation in FR2, Alt 2-3 is mandatory, other alternatives, i.e. Alt 2-4 and Alt. 2-1, are optional.

· Alt 2-1: Ds=700m, Dmin=150m

· Alt 2-3: Ds=200-300m, Dmin=30-50m

· Alt 2-4: Ds=580m, Dmin=5m

R1-2007244 Summary#2 of AI: 8.1.2.4 Enhancements on HST-SFN deployment Moderator (Intel Corporation)

Agreement

· For Alt 2-1 in Table 1 - TRP height is 35m

· For Alt 2-3 in Table 1 - TRP height is 20m

· For Alt 2-4 in Table 1 - TRP height is 5m

Agreement

Adopt directional antenna model in Table 6 based on TR 38.802

Table 6 Antenna radiation pattern for UE

Parameter	Values
Antenna element radiation pattern in dim (dB)
Antenna element radiation pattern in dim (dB)
Combining method for 3D antenna element pattern (dB)
Maximum directional gain of an antenna element G_E,max	5dBi

Agreement

Antenna downtilt and azimuth directions point to the midpoint between the two TRPs

Agreement

UE height of 1.5m is baseline. Results for other UE heights can be reported by each company.

Agreement

The results should be reported

· Per track location (at specific SNR) or

· Throughput vs SNR at specific location

o Ds/2 (mid track point)

o Results for other locations can be reported by each company.

Agreement

CDL extension is baseline channel model for HST-SFN evaluations in addition to 4-tap channel model

Agreement

Number of TRP antenna ports for FR1 evaluations

· Support 8 antenna ports as optional configuration

Agreement

· Perfect synchronization as baseline

· Non-perfect time and frequency synchronization between the TRPs and UE, i.e., modeling of TRP CFO error (where CFO have temporal variation), UE receiver CFO, TRP timing errors may be optionally considered

o Companies to provide details on how this was modelled in their evaluations

§ For example, uniform distribution between [-ppm ppm]*fc (Hz) for each simulation point where fc is the carrier center frequency and the values of maximum frequency error in ppm are captured TR 38.101-1/2 and TR 38.104

Agreement

· It is recommended to provide results for SNR = 8, 12, 16, 20 dB

· Other SNR values are not precluded

· SNR defined relative ONLY to the reference point closest to TRP

R1-2007315 Summary#3 of AI: 8.1.2.4 Enhancements on HST-SFN deployment Moderator (Intel Corporation)

Agreement

· Replace row “TRP antenna configuration including number of antennas, pattern, ports, orientation, etc” in Table 1 with following table:

TRP antenna configuration including number of antennas, pattern, ports, orientation, etc

CDL based extension:

2 ports: [Mg, Ng, M, N, P]=[1, 1, 8, 2, 2], antenna model in Table 5, 16-to-1 mapping is used to virtualize the 16 antenna elements in the adjacent columns with fixed weight to form an antenna

4 ports: [Mg, Ng, M, N, P]=[1,1,8,4,2], antenna model in Table 5, virtualization, 16-to-1 mapping is used to virtualize the 16 antenna elements in the two adjacent columns with fixed weight to form an antenna

Optional 8 ports: [Mg, Ng, M, N, P]=[1, 1, 8, 4, 2], antenna model in Table 5, 8-to-1 mapping is used to virtualize the 8 antenna elements in a column with fixed weight to form an antenna port

4-tap channel model:

2 ports: omni-directional, MIMO matrix according to TS 38.101-4 (Annex B.1)

4 ports and 8 ports: antenna model and mapping are the same as for CDL based extension

Note: The results for other antenna configurations can be also provided

2 ports: [Mg, Ng, M, N, P]=[1, 1, 4, 8, 2],

Antenna model in Table 5

Note: The results for other antenna configurations can be also provided

Table 5 Antenna radiation pattern for TRP

Radiation power pattern of a single antenna element for TRP	Vertical cut of the radiation power pattern (dB)
	Horizontal cut of the radiation power pattern (dB)
	3D radiation power pattern (dB)
	Maximum directional gain of an antenna element G_E,max	8 dBi

Agreement

For the discussion purpose consider the following categorization of the enhanced DL transmission schemes

· Scheme 1:

o TRS is transmitted in TRP-specific / non-SFN manner

o DM-RS and PDCCH/PDSCH from TRPs are transmitted in SFN manner

· Scheme 2:

o TRS and DM-RS are transmitted in TRP-specific / non-SFN manner

o PDSCH from TRPs is transmitted in SFN manner

Agreement

Study the following aspects of the enhanced transmission schemes:

· For scheme 1:

o Target DL physical channels, i.e., PDSCH only or PDSCH + PDCCH

o Whether more than 2 QCL/TCI states are required and corresponding signaling details

o Whether and how to indicate scheme 1 for differentiation with Rel-16 non-SFNed transmission schemes with multiple QCL/TCI states

o QCL relationship between TRS and DMRS ports

o Note: Other schemes/aspects are not precluded

· For scheme 2:

o Association of each MIMO layer of PDSCH to DM-RS antenna ports

o Whether more than 2 QCL/TCI states are required and corresponding signaling details

o Whether and how to indicate scheme 2 for differentiation with Rel-16 non-SFNed transmission schemes with multiple QCL/TCI states

o Note: Other schemes/aspects are not precluded

Agreement

For discussion purpose consider the following three steps for TRP-based frequency offset pre-compensation scheme:

· 1^st step: Transmission of the TRS resource(s) from TRP(s) without pre-compensation

· 2^nd step: Transmission of the uplink signal(s)/channel(s) with carrier frequency determined based on the received TRS signals in the 1^st step

· 3^rd step: Transmission of the PDCCH/PDSCH from TRP(s) with frequency offset pre-compensation determined based on the received signal/channel in the 2^nd step

· Note: A second set of TRS resource(s) may be transmitted at 3^rd step.

Agreement

Study TRP-based frequency offset pre-compensation including the following aspects:

· Aspects related to indication of the carrier frequency determined based on the received TRS resource(s) in the 1^st step

o Option 1: Implicit indication of the Doppler shift(s) using uplink signal(s) transmitted on the carrier frequency acquired in the 1^st step

§ Indication for QCL-like association of the resource(s) received in the 1^st step with UL signal transmitted in the 2^nd step

§ Type of the uplink reference signals / physical channel used in the 2^nd step, necessity of new configuration and corresponding signaling details

o Option 2: Explicit reporting of the Doppler shift(s) acquired in the 1^st step using CSI framework

§ FFS: Indication for QCL-like association of the resource(s) received in the 1^st step with UL signal transmitted in the 2^nd step

§ CSI reporting aspects, configuration, quantization, signalling details, etc.

· New QCL types/assumption for TRS with other RS (e.g., SS/PBCH), when TRS resource(s) is used as target RS in TCI state

· New QCL types/assumptions for TRS with other RS (e.g., DM-RS), when TRS resource(s) is used as source RS in the TCI state

· Target physical channels (e.g., PDSCH only or PDSCH/PDCCH) and reference signals that should be supported for pre-compensation

· Signaling/procedural details on whether/how the pre-compensation is applied to target channels

· Whether multiple sets of TRS and pre-compensation on TRS is needed in 3^rd step.

· Note: Other aspects/schemes are not precluded

R1-2007393 Summary of HST-SFN evaluation assumptions after RAN1#102-e Moderator (Intel Corporation)

8.1.3 Enhancements on SRS flexibility, coverage and capacity

R1-2006963 Enhancements on SRS flexibility, coverage and capacity ZTE (Revision of R1-2005459)

· Proposal 1: For an aperiodic SRS resource set triggered by DCI in slot n, the aperiodic SRS resource set is transmitted on the (k+1)-th valid slot counting from slot n, where k is the configured SRS triggering offset.

o The slot is considered as valid if there are available UL symbol(s) for the configured time-domain location(s) in a slot for all the SRS resources in the resource set and if it satisfies the minimum timing requirement between triggering PDCCH and all the SRS resources in the resource set.

· Proposal 2: Support aperiodic SRS to be triggered by DCI format 0_1/0_2 with UL-SCH=0 and without CSI request.

· Proposal 3: Support more flexible triggering for SRS antenna switching by allowing the aperiodic resource set to use a different number of Tx/Rx antennas from the periodic resource set.

· Proposal 4: For usage/overhead reduction of SRS, study resource reuse/multiplexing among multiple usages, incl. the case UE has different number of Tx antennas for antenna switching and PUSCH.

· Proposal 5: For SRS antenna switching up to 8 antennas, support xTyR where (x, y) = (2, 8) and (4, 8).

o FFS (x, y) = {(1, 6), (1, 8), (2, 6), (4, 6)}.

· Proposal 6: For SRS coverage and capacity enhancements, evaluate and select scheme(s) from the above three categories

o Cat. 1 (Time bundling): Enable joint processing of two different resources;

o Cat. 2 (Increase repetitions): Increase maximum number of repetitions in one resource;

o Cat. 3 (Partial-frequency sounding): Support more flexible configuration on SRS frequency pattern to allow SRS transmission on only partial frequency resources within the SRS band.

· Proposal 7: On the remaining issues of FeMIMO SRS evaluation methodology

o If one baseline scheme is pursued, use m_SRS,3 = 4 and R=1

o Companies to state whether angle scaling is performed, and if so, the desired angle spread and mean angle

o No need to further extend CDL for MU MIMO

o No need to consider directional antenna in FR1

o The candidate values for DL and UL SNR difference are {6dB, 9dB}

Decision: The document is noted.

R1-2005622 Enhancements on SRS flexibility, coverage and capacity MediaTek Inc.

· Proposal 1: Consider one or both approaches below for flexible A-SRS triggering

o Introduce dynamic signalling in DCI of slot/symbol offset to trigger A-SRS

o Flexible SRS triggering by configuring multiple SRS Resources (Sets)

§ use MAC CE to update associated trigger list for each SRS Resource Set.

· Proposal 2: Increase SRS nrofSymbols to X

o Candidate value X=14

· Proposal 3: For SRS slot bundling

o For coherent sounding, consider contiguous symbols allocation first

o Study impact of performance due to phase discontinuity

· Proposal 4: Adopt Rel-16 type 2 Low-PAPR sequence in Rel-17 SRS

· Proposal 5: {1t6r,2t6r,4t6r,1t8r,2t8r,4t8r} are included in candidate values for UE capability report.

· Proposal 6: For sharing SRS resource across usage

o The implication on UE implementation need to be carefully discussed.

o UE should know the SRS use purpose (codebook, antennaSwitching, or both) explicitly.

Decision: The document is noted.

R1-2005247 Enhancements on SRS for Rel-17 Huawei, HiSilicon

R1-2005288 Enhancements on SRS flexibility, coverage and capacity FUTUREWEI

R1-2005368 Discussion on SRS enhancement vivo

R1-2005487 Discussion on SRS Enhancements InterDigital, Inc.

R1-2005565 Considerations on SRS flexibility, coverage and capacity Sony

R1-2005688 Discussion on enhancements on SRS flexibility, coverage and capacity CATT

R1-2005754 Discussion on SRS enhancement NEC

R1-2005824 Enhancements on SRS Lenovo, Motorola Mobility

R1-2005863 Discussion on SRS enhancements Intel Corporation

R1-2005988 Enhancements on SRS flexibility, coverage and capacity OPPO

R1-2006133 Enhancements on SRS Samsung

R1-2006205 Enhancements on SRS flexibility, coverage and capacity CMCC

R1-2006255 Considerations on SRS enhancement Spreadtrum Communications

R1-2006364 Discussion on enhancement of SRS in Rel. 17 further enhanced MIMO CEWiT

R1-2006504 Views on Rel-17 SRS enhancement Apple

R1-2006568 Enhancement on SRS Sharp

R1-2006601 Enhancements on SRS flexibility, coverage and capacity LG Electronics

R1-2006610 SRS Performance and Potential Enhancements Ericsson

R1-2006723 Discussion on SRS enhancement NTT DOCOMO, INC.

R1-2006795 Enhancements on SRS flexibility, coverage and capacity Qualcomm Incorporated

R1-2006848 Enhancements on SRS in Rel-17 Nokia, Nokia Shanghai Bell

[102-e-NR-feMIMO-07] – Hao (ZTE)

Email discussion on SRS flexibility, coverage, and capacity by 8/28

- Prioritize topics to be resolved in RAN1#102-e by 8/20 (EVM should be highest priority)

R1-2007076 FL summary on SRS enhancements Moderator (ZTE)

R1-2007173 FL summary#2 on SRS enhancements Moderator (ZTE)

Agreement

LLS is used to evaluate SRS enhancements in Rel-17 FeMIMO, while SLS can be used additionally for evaluating data throughput for a given SRS design.

Agreement

Adopt the following LLS assumptions at least for SRS enhancements on coverage/capacity in Rel-17.

Parameter	Value
Metric	UL/DL BLER or throughput Note: Other metrics like MSE can be considered optionally.
Baseline	Rel-15 SRS. Companies to state the detailed configuration used as baseline scheme. Note: It has been agreed that FG 10-11 can be applied on licensed band. If no further restriction on the usage of FG 10-11 is agreed in Rel-16, it can be included in baseline.
Carrier frequency, SCS, System BW	FR1: 3.5GHz, 30kHz, 20, 40 or 100 MHz as baseline, 4GHz can be optionally used FR2: 30 GHz, 120kHz
Channel model	CDL-B or CDL-C in TR 38.901 with 30ns or 300ns delay spread as baseline for MU-MIMO and SU-MIMO Note: Other delay spread is not precluded. Note: Simulation using TDL-A with 30ns or 300ns for MU-MIMO is not precluded. Companies to state whether angle scaling is performed, and if so, the desired angle spread and mean angle.
UE speed	3km/h , 30km/h or 120km/h
Number of UE antennas	1T4R, 2T4R or 4T4R
Number of gNB antennas	32T32R or 64T64R
UE antenna configuration	FR1: omni as baseline - Companies are not precluded to simulate directional antennas for 4Tx FR2: directional
Rank, precoder and MCS	Precoder is adaptive. Rank/MCS can be adaptive or fixed.
Precoding granularity	Fixed: 2, 4 or wideband for DL, wideband for UL.
SRS periodicity	Companies to state the used SRS periodicity.
SRS Comb	Comb 2 or 4
SRS frequency hopping	Companies to state whether SRS frequency hopping is enabled and the hopping pattern if so.
DL SNR	Companies to state the used difference between DL SNR and UL SNR
Phase coherency	Companies to state whether the phase coherency in time domain is modelled and if so, use the following - Random phase rotation of each SRS transmission is modeled as a uniform distribution between [-f_max, f_max within a time window of T_window, where companies should state the value of f_max and T_window. - Companies can choose from the following two options for f_max ◦ Opt-1: 40 degrees ◦ Opt-2: piΔfx/Ts, where Δf denotes the gap between central frequency and UE's SRS frequency position and Ts for sampling frequency. x can be 0.1, 0.2, 0.4 - T_window = 20ms - Other values of f_max and T_window are not precluded

Agreement

Adopt the following SLS assumptions at least for SRS capacity enhancements in Rel-17.

Parameter	Value
Metric	DL throughput
Baseline	Rel-15 SRS. Companies to state the detailed configuration used as baseline scheme. Note: It has been agreed that FG 10-11 can be applied on licensed band. If no further restriction on the usage of FG 10-11 is agreed in Rel-16, it can be included in baseline.
SRS error modelling	Table A.1-2 of TR 36.897 Δ=9 dB is assumed for baseline. Companies to state the detailed SRS configuration if it is different from baseline. Note: The phase coherency model in LLS assumptions can be considered additionally.
SRS periodicity	Companies to state the simulated SRS periodicity. Note: SRS triggering may be aperiodic
Carrier frequency, SCS and system bandwidth	3.5GHz, 30KHz and 20MHz/40MHz/100MHz as baseline
Number of gNB antennas	(M, N, P, M_g,N_g; M_p, N_p) = (8,8,2,1,1,4,8). (dH,dV) = (0.5, 0.8)λ
Number of UE antennas	1T4R, 2T4R or 4T4R Omni antennas are used as baseline. Companies are not precluded to simulate directional antennas for 4Tx.
Traffic model	FTP 1 or FTP 3 with 20%, 50% or 70% traffic load Note: Full buffer can also be considered optionally.
Handover margin	3dB
Scenario	UMi/UMa with 200m ISD. Note: UMa with 500m ISD can also be considered. Note: Simulation of rural scenario with necessary adjustment of relevant parameters is not precluded.
Duplex, Waveform	TDD, OFDM
Multiple access	OFDMA
Channel model	According to the TR 38.901
BS Tx power	44, 47, and 51 dBm for 20, 40, and 100 MHz, respectively
BS antenna height	25 m
UE antenna height & gain	Follow TR 36.873
UE receiver noise figure	9 dB
Modulation	Up to 256QAM
Coding on PDSCH	LDPC Max code-block size=8448bit
Slot	14 OFDM symbols
Frame structure	Companies to state the used frame structure
MIMO scheme	SU/MU-MIMO
Overhead	Companies to state the downlink overhead assumption
UE distribution	80% indoor (3km/h), 20% outdoor (30km/h)
UE receiver	MMSE-IRC as the baseline receiver

Agreement

Enhance the determination of aperiodic SRS triggering offset, with at least one of the following alternatives

- Alt 1: Delay the SRS transmission to an available slot later than the triggering offset defined in current specification, including possible re-definition of the triggering offset

- Alt 2: Indicate triggering offset in DCI explicitly or implicitly

- Alt 3: Update triggering offset in MAC CE

- Further consideration aspects may include the cost v.s. the total combinations PDCCH and SRS locations for gNB to choose, DCI overhead, multi-UE SRS multiplexing, CA aspect, whether to have multiple opportunities to transmit SRS, etc.

R1-2007234 FL summary#3 on SRS enhancements Moderator (ZTE)

Agreement

For SRS coverage/capacity enhancements, evaluate and, if needed, specify one or more from three categories based on the following definition.

· Class 1 (Time bundling): Utilize relationship among two or more occasions of one or more SRS resources in one or more slots to enable joint processing within time domain.

o Study aspects include the issue of phase discontinuity, interruption of SRS transmission by other UL signals, etc..

· Class 2 (Increase repetition): Change the legacy SRS pattern in one resource and one occasion from time domain by increasing SRS symbols for repetition.

o Study aspects include to use TD-OCC to compensate the negative impact on SRS capacity, inter-cell interference randomization, whether these SRS symbols are in one slot or consecutive slots, etc..

· Class 3 (Partial frequency sounding): Support more flexibility on SRS frequency resources to allow SRS transmission on partial frequency resources within the legacy SRS frequency resources.

o Study aspects include the partial frequency resources are with RB level or subcarrier level (e.g., larger comb, partial bandwidth), PAPR issue, etc..

Agreement

Study the following two alternatives in the scope to enhance at least one DCI format for aperiodic SRS triggering

· Alt 1: Use UE-specific DCI, e.g., extending DCI 0_1 without uplink data and without CSI

· Alt 2: Use group-common DCI, e.g., extending DCI 2_3 for cases other than carrier switching

· Further consideration aspects may include simultaneous or CC-specific SRS triggering for multiple CCs, dynamic indication of SRS frequency resources, etc..

Agreement

For SRS overhead reduction, study reusing same resources among multiple usages, at least for “codebook” and “antenna switching”. Study aspects include

· Whether implementation approach based on legacy SRS configuration is sufficient

o If not, and if there are benefits other than RRC overhead reduction, study further on the case that antenna switching and PUSCH have different number of Tx antennas, whether UL BWP for different SRS usages is the same or different, whether and how to ensure UE to use same virtualization, the set of applicable usages, UE implementation complexity and overhead, etc..

Agreement

For SRS antenna switching up to 8Rx, study the configuration of {1T6R, 1T8R, 2T6R, 2T8R, 4T6R, 4T8R}.

· Study points may include CSI latency, performance considering aspects like insertion loss, use cases, antenna structure, UE power saving, SRS resource configuration, etc…

8.1.4 CSI enhancements: MTRP and FR1 FDD reciprocity

R1-2005248 Enhancements on CSI for Rel-17 Huawei, HiSilicon

· Proposal 1: Opt.1 based on Section 5.3 of TR 36.897 is designed specifically for FDD reciprocity and preferred for evaluating CSI enhancements in Rel-17.

· Proposal 2: Consider SLS parameters for CSI feedback enhancement as following:

o Frequency range: FR1, 2.1GHz with duplexing distance 200MHz.

o SRS modelling for UL channel estimation:

§ SRS periodicity with 5ms/10ms

§ SRS error model in Table A.1-2 in 36.897 with

o The antenna calibration error shown in R1-144943 can be considered. The standard deviation of and could be 0.35dB and 2.5 degrees, respectively.

· Proposal 3: Rel-17 Type II port selection codebook can be enhanced by utilizing reciprocity of propagation angle and delay using

which can be further enhanced or relaxed on top of Rel-16 codebooks as following and PMI quantization/reporting can be further discussed

o is enhanced by relaxing restrictions of to improve performance, e.g. more than 4 ports can be selected freely;

o can be limited with very few vector(s), e.g. one or two;

o can be enabled with a larger value of R (numberOfPMISubbandsPerCQISubband) , e.g. R=4.

· Proposal 4: Joint CSI measurement and reporting for multi-TRP transmission can be supported in Rel-17.

Decision: The document is noted.

R1-2005289 CSI enhancement for multi-TRP and FDD FUTUREWEI

R1-2005369 Evaluation on MTRP CSI and Partial reciprocity vivo

R1-2005460 CSI enhancements for Multi-TRP and FR1 FDD reciprocity ZTE

R1-2005488 On Type II Port Selection Codebook Enhancement InterDigital, Inc.

R1-2005566 Considerations on CSI enhancements Sony

R1-2005623 CSI enhancement for NCJT MediaTek Inc.

R1-2005689 CSI enhancements on for MTRP and FR1 FDD with partial reciprocity CATT

R1-2005755 Discussion on CSI enhancement for multi-TRP NEC

R1-2006998 On FDD channel reciprocity in real-world scenarios Fraunhofer IIS, Fraunhofer HHI (rev of R1-2005785)

R1-2005864 On CSI enhancements for MTRP and FDD reciprocity Intel Corporation

R1-2005926 CSI enhancements for mTRP and FDD reciprocity Lenovo, Motorola Mobility

R1-2005956 CSI enhancements: FDD reciprocity and multi-TRP AT&T

R1-2005989 CSI enhancement for M-TRP and FDD reciprocity OPPO

R1-2006134 Views on Rel. 17 CSI enhancements Samsung

R1-2006206 Enhancements on CSI reporting for Multi-TRP CMCC

R1-2006262 Discussion on CSI enhancement for multiple TRP/Panel transmission Spreadtrum Communications

R1-2006505 Views on Rel-17 CSI enhancement Apple

R1-2006569 Enhancement on CSI measurement and reporting Sharp

R1-2006602 CSI enhancements for Rel-17 LG Electronics

R1-2006685 On CSI enhancements in Rel-17 feMIMO Ericsson

R1-2006724 Discussion on CSI enhancements NTT DOCOMO, INC.

R1-2006796 CSI enhancements for MTRP and FR1 FDD reciprocity Qualcomm Incorporated

R1-2006849 Enhancement on CSI measurement and reporting Nokia, Nokia Shanghai Bell

[102-e-NR-feMIMO-08] – Min (Huawei)

Email discussion on CSI enhancements: MTRP and FR1 FDD reciprocity by 8/28

- Prioritize topics to be resolved in RAN1#102-e by 8/20 (EVM should be highest priority)

R1-2006973 Discussion Summary for CSI enhancements MTRP and FR1 FDD reciprocity Moderator (Huawei)

Agreement

The EVM assumptions in Section 4 (except for Proposal 2 and 4) of R1-2006973 for Rel-17 CSI enhancements are agreed.

Agreement

For EVM for FDD CSI enhancement in Rel-17, use following Alt 1 as the baseline and Alt 2 as the optional

Alt 1: Based on Section 5.3 of TR 36.897, to generate FDD DL and UL channels.
Alt 2: Based on Section 7.6.5 of TR 38.901, to generate FDD DL and UL channels with following modifications:

o Different per-cluster shadowing is generated for DL and UL, and DL (or UL) angles are generated based on DL (or UL) cluster powers. Then UL (or DL) uses the same angles and its own cluster powers to generate the channel matrix.

o XPR is generated independently for DL and UL.

Agreement

For EVM for FDD CSI enhancement in Rel-17, using the following calibration error model

· is the spatial UL channel at gNB side with calibration error

· is the ideal spatial UL channel without calibration error

· E represents the mismatch of transmission and reception circuits of gNB

· a_i is the amplitude error

· q_i is the phase error

· N is the number of antennas at gNB side

With amplitude error (expressed in decibel of ) and phase error are normal distribution with 0.7dB and 5 degrees standard deviation, respectively. Both amplitude/phase errors are assumed to be constant during a simulation drop at time, and constant either across whole simulation bandwidth or per 4 PRB at frequency. Companies shall report the assumption of error modelling at frequency.

R1-2007268 Technical Categorization for CSI enhancements for MTRP and FR1 FDD reciprocity Huawei

Agreement

Taking Type II port selection codebook enhancement (based on Rel.15/16 Type II port selection) as a starting point, study following aspects, taking into account trade-off among UE complexity, performance and reporting/RS overhead:

Enhancement on codebook structure, e.g.,:

(Alt 1)Enhancement based on R16 Type II PS CB type structure

Enhancements on W₁ quantization, e.g.,

With enhanced port selection in W₁
With modified value range of L taking into account beamforming mechanism for CSI-RS;
With layer-specific port selection

Enhancements on W_f quantization, e.g.,

With a smaller value of M_v
With a modified value range of R
With multiple values of M_v for different SD basis
With enhanced FD basis selection in W_f

Restrictions/Relaxation, e.g.

for the size of the PMI indicators for SD basis, FD basis and bitmap.
How UE distinguishes SD basis and FD basis or in a pre-defined set

Enhancement on W₂quantization: coefficients for selected ports

(Alt 2)Enhancement based on R15 Type II PS CB type structure

Enhancement on W₁ quantization, e.g.,: enhanced port selection, X out of P SD-FD pairs are selected

X£P (if polarization independent) or P/2 (if polarization common) whereas P £ P_CSI-RS only or P can be larger than P_CSI-RS
How to map P SD-FD pairs into P_CSI-RS CSI-RS ports and inform to UE

Enhancement on W₂ quantization: coefficients for the selected X pairs

etc.

Enhancements on indication/reporting mechanism, e.g.:

Separate triggering for reporting of W₁ and W_f (for Alt 1) or reporting of W₁ and the rest of the PMI components (for Alt 2)
Report only a subset of PMI components
Enhancement on SD/FD basis indication, selection and reporting mechanism
UE reporting to support gNB calibration including UL/DL time difference;
CQI enhancements, e.g., CQI reporting mechanism considering FDD reciprocity
etc.

Enhancements on RS triggering/signaling/transmission mechanism, e.g. for SRS and/or CSI-RS, CSI-RS utilization conveying one or more SD-FD pairs per port, timing restrictions between SRS and CSI-RS transmission, etc
Other enhancement are not excluded

Agreement

For CSI enhancement for multi-TRP, study following aspects taking into account trade-off among UE complexity, performance and reporting/RS overhead

Category 1 - For a reporting setting CSI-ReportConfig, more than one CSI-RS port groups in a resource or resources or resource sets are associated to different TRPs/TCI states,

the UE will determine CSI reporting quantities based on pre-defined/indicated/configured/UE-selected channel and interference hypotheses across TRPs /TCI states
and then report one or more CSIs within a single CSI report.

Category 2 – Within an implicit/explicit set of reporting settings CSI-ReportConfigs, which are associated to different TRPs/TCI states,

the UE will determine CSI reporting quantities based on pre-defined/indicated/configured/ UE-selected channel and interference hypotheses
and then report multiple CSIs with multiple CSI reports (including one or more CSIs per report or selected CSI with single CSI report)

Other enhancement are not excluded, e.g. CQI enhancements for multi-TRP transmission including CQI format, CQI reporting mechanism

Note that companies are encouraged to clarify applicable transmission schemes/scenarios and strive to unify Rel-17 MTRP CSI framework enhancements.

8.1.55 Other

R1-2005291 Sounding enhancement for interference probing in TDD cooperative MIMO FUTUREWEI

R1-2005370 Discussion on higher layer aspects for multi-TRP enhancement vivo

R1-2005461 Further details on Multi-beam and Multi-TRP operation ZTE

R1-2005489 Evaluation of Multi-TRP MIMO Deployment with Multi-panel UEs InterDigital, Inc.

R1-2005825 HARQ feedback of SPS PDSCH reception in multi-DCI based multiple TRPs Lenovo, Motorola Mobility

R1-2007011 Simulation results for multi-beam enhancements Samsung (rev of R1-2006135)

R1-2006369 Critical MIMO issue from observations in field Ericsson

Withdrawn

R1-2006965 Discussion on field measurement and evaluation assumptions for FDD CSI enhancements in Rel-17 Huawei, HiSilicon (rev of R1-2006414)

R1-2006570 Considerations on TRS for HST-SFN scenario Sharp

R1-2006949 Critical MIMO issue from observations in field Ericsson LM

RAN1#103-e

8.1 Further enhancements on MIMO for NR

Please refer to RP-202024 for detailed scope of the WI

R1-2009832 Session notes for 8.1 (Further enhancements on MIMO for NR) Ad-hoc Chair (Samsung)

8.1.1 Enhancements on Multi-beam Operation

Mainly targeting FR2 while also applicable to FR1

R1-2007546 Enhancement on multi-beam operation FUTUREWEI

R1-2007586 Enhancements on multi-beam operation in Rel-17 Huawei, HiSilicon

R1-2007626 Discussions on Multi-beam Enhancement InterDigital, Inc.

R1-2007644 Further discussion on multi beam enhancement vivo

R1-2007763 Enhancements on Multi-beam Operation ZTE

R1-2007824 Discussion on enhancement on multi-beam operation CATT

R1-2008000 Enhancements on multi-beam operation CMCC

R1-2008148 Multi-Beam Enhancements Samsung

R1-2008217 Enhancements on Multi-beam Operation OPPO

R1-2008308 Enhancements on NR multi-beam operation AT&T

R1-2008346 Considerations on the enhancement of multi-beam operation Sony

R1-2008438 Views on Rel-17 Beam Management enhancement Apple

R1-2008573 Enhancements on Multi-beam Operation LG Electronics

R1-2008899 Enhancements on multi-beam operation Fraunhofer IIS, Fraunhofer HHI

R1-2008903 Enhancements on Multi-beam Operation Nokia, Nokia Shanghai Bell

R1-2008910 Enhancements on Multi-beam Operation Lenovo, Motorola Mobility

R1-2008943 Discussion on multi-beam operation NEC

R1-2008956 Enhancement on multi-beam operation MediaTek Inc.

R1-2008977 Enhancements to Multi-Beam Operations Intel Corporation

R1-2009027 Enhancements on multi-beam operation Xiaomi

R1-2009060 Discussion on Enhancements for Multi-beam Operation Asia Pacific Telecom co. Ltd

R1-2009129 Enhancements on multi-beam pperation Sharp

R1-2009141 Enhancements on Multi-beam Operation Spreadtrum Communications

R1-2009155 Discussion on multi-beam operation ASUSTeK

R1-2009158 Multi-beam Enhancements Convida Wireless

R1-2009174 Discussion on multi-beam operation NTT DOCOMO, INC.

R1-2009250 Enhancements on Multi-beam Operation Qualcomm Incorporated

R1-2009288 Enhancements on Multi-beam Operation Ericsson

R1-2008147 Moderator summary for multi-beam enhancement Moderator (Samsung)

Decision: From GTW session on Nov 2^nd,

Agreement

On beam indication signaling medium to support joint or separate DL/UL beam indication in Rel.17 unified TCI framework:

· Support L1-based beam indication using at least UE-specific (unicast) DCI to indicate joint or separate DL/UL beam indication from the active TCI states

o The existing DCI formats 1_1 and 1_2 are reused for joint beam indication

§ FFS: If additional DCI format(s) are supported, e.g. existing DCI formats 0_0, 0_1, 0_2, 1_0 as well as new DCI format(s) dedicated for beam indication

o Support a mechanism for UE to acknowledge successful decoding of beam indication

§ The ACK/NAK of the PDSCH scheduled by the DCI carrying the beam indication can be used as an ACK also for the DCI

§ FFS: Whether any additional specification support is needed

o FFS beam indication for the TCI state assumption/update for the following cases:

§ The beam indication UE-specific DCI (i.e. the CORESETs with the DCI received by UE), the scheduled PDSCH by the DCI and the associated PUCCH for the acknowledgment of the beam indication DCI

§ Non-UE-specific CORESETs and PUSCH/PDSCH scheduled/activated and PUCCH transmission triggered by non-UE-specific CORESETs

· Support activation of one or more TCI states via MAC CE analogous to Rel.15/16:

o At least for the single activated TCI state, the activated TCI state is applied

o The content for the MAC CE is determined based on the outcome of issue 1

o FFS: If supported, default TCI state when more than one TCI states are activated by MAC CE

o Note: There is no implications on the support of single TRP or multi-TRP

· Support a UE capability for the minimum beam indication delay

o FFS: Whether to measure beam indication delay from DCI reception or from acknowledgment of DCI

o FFS: The exact supported values e.g. {0.5ms, 2ms, 3ms}

· FFS: Additional enhancement such as L1-based beam indication with group-common DCI

· FFS: Whether the Rel.17 beam indication can also apply to beam indication for single channel (e.g. PDSCH only, single CORESET) or a subset of channels

· FFS: Additional details on extending the support of L1-based beam indication when separate UL (from DL) common beam indication is configured

Continue email discussion on the yellow part.

[103-e-NR-feMIMO-01] – Eko (Samsung)

Email discussion on enhancements on multi-beam operation

1^st check point: 11/5
2^nd check point: 11/10
3^rd check point: 11/12

R1-2009499 Moderator summary#2 for multi-beam enhancement Moderator (Samsung)

Above agreement is modified as follows:

Agreement

On beam indication signaling medium to support joint or separate DL/UL beam indication in Rel.17 unified TCI framework:

· Support L1-based beam indication using at least UE-specific (unicast) DCI to indicate joint or separate DL/UL beam indication from the active TCI states

o The existing DCI formats 1_1 and 1_2 are reused for beam indication