5G NR: The Next Generation Wireless Access Technology

Description

5G NR: The Next Generation Wireless Access Technology follows the authors' highly celebrated books on 3G and 4G by providing a new level of insight into 5G NR. After an initial discussion of the background to 5G, including requirements, spectrum aspects and the standardization timeline, all technology features of the first phase of NR are described in detail. Included is a detailed description of the NR physical-layer structure and higher-layer protocols, RF and spectrum aspects and co-existence and interworking with LTE. The book provides a good understanding of NR and the different NR technology components, giving insight into why a certain solution was selected. Content includes: Key radio-related requirements of NR, design principles, technical featuresDetails of basic NR transmission structure, showing where it has been inherited from LTE and where it deviates from it, and the reasons whyNR Multi-antenna transmission functionalityDetailed description of the signals and functionality of the initial NR access, including signals for synchronization and system information, random access and pagingLTE/NR co-existence in the same spectrum, the benefits of their interworking as one systemThe different aspects of mobility in NR RF requirements for NR will be described both for BS and UE, both for the legacy bands and for the new mm-wave bands Front Cover 5G NR: The Next Generation Wireless Access Technology Copyright Page Contents Preface Acknowledgments Abbreviations and Acronyms 1 What Is 5G? 1.1 3GPP and the Standardization of Mobile Communication 1.2 The Next Generation—5G/NR 1.2.1 The 5G Use Cases 1.2.2 Evolving LTE to 5G Capability 1.2.3 NR—The New 5G Radio-Access Technology 1.2.4 5GCN—The New 5G Core Network 2 5G Standardization 2.1 Overview of Standardization and Regulation 2.2 ITU-R Activities From 3G to 5G 2.2.1 The Role of ITU-R 2.2.2 IMT-2000 and IMT-Advanced 2.2.3 IMT-2020 Process in ITU-R WP5D 2.3 5G and IMT-2020 2.3.1 Usage Scenarios for IMT-2020 2.3.2 Capabilities of IMT-2020 2.3.3 IMT-2020 Performance Requirements and Evaluation 2.4 3GPP Standardization 2.4.1 The 3GPP Process 2.4.2 Specification of 5G in 3GPP as an IMT-2020 Candidate 3 Spectrum for 5G 3.1 Spectrum for Mobile Systems 3.1.1 Spectrum Defined for IMT Systems by the ITU-R 3.1.2 Global Spectrum Situation for 5G 3.2 Frequency Bands for NR 3.3 RF Exposure Above 6GHz 4 LTE—An Overview 4.1 LTE Release 8—Basic Radio Access 4.2 LTE Evolution 4.3 Spectrum Flexibility 4.3.1 Carrier Aggregation 4.3.2 License-Assisted Access 4.4 Multi-Antenna Enhancements 4.4.1 Extended Multi-antenna Transmission 4.4.2 Multipoint Coordination and Transmission 4.4.3 Enhanced Control Channel Structure 4.5 Densification, Small Cells, and Heterogeneous Deployments 4.5.1 Relaying 4.5.2 Heterogeneous Deployments 4.5.3 Small-Cell On/Off 4.5.4 Dual Connectivity 4.5.5 Dynamic TDD 4.5.6 WLAN Interworking 4.6 Device Enhancements 4.7 New Scenarios 4.7.1 Device-To-Device Communication 4.7.2 Machine-Type Communication 4.7.3 Latency Reduction—sTTI 4.7.4 V2V and V2X 4.7.5 Aerials 5 NR Overview 5.1 Higher-Frequency Operation and Spectrum Flexibility 5.2 Ultra-Lean Design 5.3 Forward Compatibility 5.4 Transmission Scheme, Bandwidth Parts, and Frame Structure 5.5 Duplex Schemes 5.6 Low-Latency Support 5.7 Scheduling and Data Transmission 5.8 Control Channels 5.9 Beam-Centric Design and Multi-Antenna Transmission 5.10 Initial Access 5.11 Interworking and LTE Coexistence 6 Radio-Interface Architecture 6.1 Overall System Architecture 6.1.1 5G Core Network 6.1.2 Radio-Access Network 6.2 Quality-Of-Service Handling 6.3 Radio Protocol Architecture 6.4 User-Plane Protocols 6.4.1 Service Data Adaptation Protocol (SDAP) 6.4.2 Packet-Data Convergence Protocol (PDCP) 6.4.3 Radio-Link Control 6.4.4 Medium-Access Control 6.4.4.1 Logical Channels and Transport Channels 6.4.4.2 Scheduling 6.4.4.3 Hybrid ARQ With Soft Combining 6.4.5 Physical Layer 6.5 Control-Plane Protocols 6.5.1 RRC State Machine 6.5.2 Idle-State and Inactive-State Mobility 6.5.2.1 Tracking the Device 6.5.2.2 Paging Message Transmission 6.5.3 Connected-State Mobility 7 Overall Transmission Structure 7.1 Transmission Scheme 7.2 Time-Domain Structure 7.3 Frequency-Domain Structure 7.4 Bandwidth Parts 7.5 Frequency-Domain Location of NR Carriers 7.6 Carrier Aggregation 7.6.1 Control Signaling 7.7 Supplementary Uplink 7.7.1 Relation to Carrier Aggregation 7.7.2 Control Signaling 7.8 Duplex Schemes 7.8.1 Time-Division Duplex (TDD) 7.8.2 Frequency-Division Duplex (FDD) 7.8.3 Slot Format and Slot-Format Indication 7.9 Antenna Ports 7.10 Quasi-Colocation 8 Channel Sounding 8.1 Downlink Channel Sounding—CSI-RS 8.1.1 Basic CSI-RS Structure 8.1.2 Frequency-Domain Structure of CSI-RS Configurations 8.1.3 Time-Domain Property of CSI-RS Configurations 8.1.4 CSI-IM—Resources for Interference Measurements 8.1.5 Zero-Power CSI-RS 8.1.6 CSI-RS Resource Sets 8.1.7 Tracking Reference Signal (TRS) 8.1.8 Mapping to Physical Antennas 8.2 Downlink Measurements and Reporting 8.2.1 Report Quantity 8.2.2 Measurement Resource 8.2.3 Report Types 8.3 Uplink Channel Sounding—SRS 8.3.1 SRS Sequences and Zadoff–Chu Sequences 8.3.2 Multiport SRS 8.3.3 Time-Domain Structure of SRS 8.3.4 SRS Resource Sets 8.3.5 Mapping to Physical Antennas 9 Transport-Channel Processing 9.1 Overview 9.2 Channel Coding 9.2.1 CRC Attachment Per Transport Block 9.2.2 Code-Block Segmentation 9.2.3 Channel Coding 9.3 Rate Matching and Physical-Layer Hybrid-ARQ Functionality 9.4 Scrambling 9.5 Modulation 9.6 Layer Mapping 9.7 Uplink DFT Precoding 9.8 Multi-Antenna Precoding 9.8.1 Downlink Precoding 9.8.2 Uplink Precoding 9.9 Resource Mapping 9.10 Downlink Reserved Resources 9.11 Reference Signals 9.11.1 Demodulation Reference Signals for OFDM-Based Downlink and Uplink 9.11.2 Demodulation Reference Signals for DFT-Precoded OFDM Uplink 9.11.3 Phase-Tracking Reference Signals (PT-RS) 10 Physical-Layer Control Signaling 10.1 Downlink 10.1.1 Physical Downlink Control Channel 10.1.2 Control Resource Set 10.1.3 Blind Decoding and Search Spaces 10.1.4 Downlink Scheduling Assignments—DCI Formats 1–0 and 1–1 10.1.5 Uplink Scheduling Grants—DCI Formats 0–0 and 0–1 10.1.6 Slot Format Indication—DCI Format 2–0 10.1.7 Preemption Indication—DCI Format 2–1 10.1.8 Uplink Power Control Commands—DCI Format 2–2 10.1.9 SRS Control Commands—DCI Format 2–3 10.1.10 Signaling of Frequency-Domain Resources 10.1.11 Signaling of Time-Domain Resources 10.1.12 Signaling of Transport-Block Sizes 10.2 Uplink 10.2.1 Basic PUCCH Structure 10.2.2 PUCCH Format 0 10.2.3 PUCCH Format 1 10.2.4 PUCCH Format 2 10.2.5 PUCCH Format 3 10.2.6 PUCCH Format 4 10.2.7 Resources and Parameters for PUCCH Transmission 10.2.8 Uplink Control Signaling on PUSCH 11 Multi-Antenna Transmission 11.1 Introduction 11.2 Downlink Multi-Antenna Precoding 11.2.1 Type I CSI 11.2.1.1 Single-Panel CSI 11.2.1.2 Multipanel CSI 11.2.2 Type II CSI 11.3 NR Uplink Multiantenna Precoding 11.3.1 Codebook-Based Transmission 11.3.2 Non-codebook-Based Precoding 12 Beam Management 12.1 Initial Beam Establishment 12.2 Beam Adjustment 12.2.1 Downlink Transmitter-Side Beam Adjustment 12.2.2 Downlink Receiver-Side Beam Adjustment 12.2.3 Uplink Beam Adjustment 12.2.4 Beam Indication and TCI 12.3 Beam Recovery 12.3.1 Beam-Failure Detection 12.3.2 New-Candidate-Beam Identification 12.3.3 Device Recovery Request and Network Response 13 Retransmission Protocols 13.1 Hybrid-ARQ With Soft Combining 13.1.1 Soft Combining 13.1.2 Downlink Hybrid-ARQ 13.1.3 Uplink Hybrid-ARQ 13.1.4 Timing of Uplink Acknowledgments 13.1.5 Multiplexing of Hybrid-ARQ Acknowledgments 13.2 RLC 13.2.1 Sequence Numbering and Segmentation 13.2.2 Acknowledged Mode and RLC Retransmissions 13.3 PDCP 14 Scheduling 14.1 Dynamic Downlink Scheduling 14.1.1 Bandwidth Adaptation 14.1.2 Downlink Preemption Handling 14.2 Dynamic Uplink Scheduling 14.2.1 Uplink Priority Handling 14.2.2 Scheduling Request 14.2.3 Buffer Status Reports 14.2.4 Power Headroom Reports 14.3 Scheduling and Dynamic TDD 14.4 Transmission Without a Dynamic Grant 14.5 Discontinuous Reception 15 Uplink Power and Timing Control 15.1 Uplink Power Control 15.1.1 Baseline Power Control 15.1.2 Beam-Based Power Control 15.1.2.1 Multiple Path-Loss-Estimation Processes 15.1.2.2 Multiple Open-Loop-Parameter Sets 15.1.2.3 Multiple Closed-Loop Processes 15.1.3 Power Control for PUCCH 15.1.4 Power Control in the Case of Multiple Uplink Carriers 15.2 Uplink Timing Control 16 Initial Access 16.1 Cell Search 16.1.1 The SS Block 16.1.2 Frequency-Domain Position of SS Block 16.1.3 SS Block Periodicity 16.1.4 SS Burst Set: Multiple SS Blocks in the Time Domain 16.1.5 Details of PSS, SSS, and PBCH 16.1.5.1 The Primary Synchronization Sequence (PSS) 16.1.5.2 The Secondary Synchronization Sequence (SSS) 16.1.5.3 PBCH 16.1.6 Providing Remaining System Information 16.2 Random Access 16.2.1 Preamble Transmission 16.2.1.1 Characteristics of Preamble Transmission 16.2.1.2 RACH Resources 16.2.1.3 Basic Preamble Structure 16.2.1.4 Long vs Short Preambles 16.2.1.5 Beam Establishment During Initial Access 16.2.1.6 Preamble Power Control and Power Ramping 16.2.2 Random-Access Response 16.2.3 Message 3: Contention Resolution 16.2.4 Message 4: Contention Resolution and Connection Set Up 16.2.5 Random Access for Supplementary Uplink 17 LTE/NR Interworking and Coexistence 17.1 LTE/NR Dual-Connectivity 17.1.1 Deployment Scenarios 17.1.2 Architecture Options 17.1.3 Single-TX Operation 17.2 LTE/NR Coexistence 18 RF Characteristics 18.1 Spectrum Flexibility Implications 18.2 RF Requirements in Different Frequency Ranges 18.3 Channel Bandwidth and Spectrum Utilization 18.4 Overall Structure of Device RF Requirements 18.5 Overall Structure of Base-Station RF Requirements 18.5.1 Conducted and Radiated RF Requirements for NR BS 18.5.2 BS Types in Different Frequency Ranges for NR 18.6 Overview of Conducted RF Requirements for NR 18.6.1 Conducted Transmitter Characteristics 18.6.2 Conducted Receiver Characteristics 18.6.3 Regional Requirements 18.6.4 Band-Specific Device Requirements Through Network Signaling 18.6.5 Base-Station Classes 18.7 Conducted Output Power Level Requirements 18.7.1 Base-Station Output Power and Dynamic Range 18.7.2 Device Output Power and Dynamic Range 18.8 Transmitted Signal Quality 18.8.1 EVM and Frequency Error 18.8.2 Device In-Band Emissions 18.8.3 Base-Station Time Alignment 18.9 Conducted Unwanted Emissions Requirements 18.9.1 Implementation Aspects 18.9.2 Emission Mask in the OOB Domain 18.9.2.1 Base-Station Operating Band Unwanted Emission Limits 18.9.2.2 Device Spectrum Emission Mask 18.9.3 Adjacent Channel Leakage Ratio 18.9.4 Spurious Emissions 18.9.5 Occupied Bandwidth 18.9.6 Transmitter Intermodulation 18.10 Conducted Sensitivity and Dynamic Range 18.11 Receiver Susceptibility to Interfering Signals 18.12 Radiated RF Requirements for NR 18.12.1 Radiated Device Requirements in FR2 18.12.2 Radiated Base-Station Requirements in FR1 18.12.3 Radiated Base-Station Requirements in FR2 18.13 Ongoing Developments of RF Requirements for NR 18.13.1 Multistandard Radio Base Stations 18.13.2 Multiband-Capable Base Stations 18.13.3 Operation in Non-contiguous Spectrum 19 RF Technologies at mm-Wave Frequencies 19.1 ADC and DAC Considerations 19.2 LO Generation and Phase Noise Aspects 19.2.1 Phase Noise Characteristics of Free-Running Oscillators and PLLs 19.2.2 Challenges With mm-Wave Signal Generation 19.3 Power Amplifier Efficiency in Relation to Unwanted Emission 19.4 Filtering Aspects 19.4.1 Possibilities of Filtering at the Analog Front-End 19.4.2 Insertion Loss (IL) and Bandwidth 19.4.3 Filter Implementation Examples 19.4.3.1 PCB Integrated Implementation Example 19.4.3.2 LTCC Filter Implementation Example 19.5 Receiver Noise Figure, Dynamic Range, and Bandwidth Dependencies 19.5.1 Receiver and Noise Figure Model 19.5.2 Noise Factor and Noise Floor 19.5.3 Compression Point and Gain 19.5.4 Power Spectral Density and Dynamic Range 19.5.5 Carrier Frequency and mm-Wave Technology Aspects 19.6 Summary 20 Beyond the First Release of 5G 20.1 Integrated Access-Backhaul 20.2 Operation in Unlicensed Spectra 20.3 Non-orthogonal Multiple Access 20.4 Machine-Type Communication 20.5 Device-To-Device Communication 20.6 Spectrum and Duplex Flexibility 20.7 Concluding Remarks References Index Back Cover