5G NR: The Next
Generation Wireless
Access Technology
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5G NR: The Next
Generation Wireless
Access Technology
Erik Dahlman
Stefan Parkvall
Johan Sko¨ld
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Contents
Preface .....................................................................................................................xv
Acknowledgments ................................................................................................ xvii
Abbreviations and Acronyms .................................................................................xix
CHAPTER 1 What Is 5G?...................................................................1
1.1 3GPP and the Standardization of Mobile Communication ...........2
1.2 The Next Generation—5G/NR ......................................................3
1.2.1 The 5G Use Cases............................................................... 3
1.2.2 Evolving LTE to 5G Capability ......................................... 5
1.2.3 NR—The New 5G Radio-Access Technology .................. 5
1.2.4 5GCN—The New 5G Core Network ................................. 6
CHAPTER 2 5G Standardization .......................................................7
2.1 Overview of Standardization and Regulation................................7
2.2 ITU-R Activities From 3G to 5G ..................................................9
2.2.1 The Role of ITU-R ............................................................. 9
2.2.2 IMT-2000 and IMT-Advanced ......................................... 10
2.2.3 IMT-2020 Process in ITU-R WP5D................................. 11
2.3 5G and IMT-2020 ........................................................................14
2.3.1 Usage Scenarios for IMT-2020 ........................................ 14
2.3.2 Capabilities of IMT-2020 ................................................. 16
2.3.3 IMT-2020 Performance Requirements
and Evaluation .................................................................. 19
2.4 3GPP Standardization ..................................................................21
2.4.1 The 3GPP Process............................................................. 21
2.4.2 Specification of 5G in 3GPP as an IMT-2020
Candidate........................................................................... 24
CHAPTER 3 Spectrum for 5G .......................................................... 27
3.1 Spectrum for Mobile Systems......................................................27
3.1.1 Spectrum Defined for IMT Systems by the ITU-R ......... 28
3.1.2 Global Spectrum Situation for 5G.................................... 31
3.2 Frequency Bands for NR .............................................................32
3.3 RF Exposure Above 6 GHz .........................................................36
CHAPTER 4 LTE—An Overview....................................................... 39
4.1 LTE Release 8—Basic Radio Access..........................................39
4.2 LTE Evolution..............................................................................42
v
vi
Contents
4.3 Spectrum Flexibility.....................................................................43
4.3.1 Carrier Aggregation .......................................................... 43
4.3.2 License-Assisted Access ................................................... 45
4.4 Multi-Antenna Enhancements......................................................46
4.4.1 Extended Multi-Antenna Transmission ............................ 46
4.4.2 Multipoint Coordination and Transmission...................... 47
4.4.3 Enhanced Control Channel Structure ............................... 48
4.5 Densification, Small Cells, and Heterogeneous
Deployments.................................................................................48
4.5.1 Relaying ............................................................................ 48
4.5.2 Heterogeneous Deployments ............................................ 49
4.5.3 Small-Cell On/Off............................................................. 49
4.5.4 Dual Connectivity ............................................................. 50
4.5.5 Dynamic TDD................................................................... 50
4.5.6 WLAN Interworking......................................................... 51
4.6 Device Enhancements ..................................................................51
4.7 New Scenarios..............................................................................52
4.7.1 Device-To-Device Communication .................................. 52
4.7.2 Machine-Type Communication ........................................ 53
4.7.3 Latency Reduction—sTTI ................................................ 54
4.7.4 V2V and V2X ................................................................... 54
4.7.5 Aerials ............................................................................... 55
CHAPTER 5 NR Overview ................................................................ 57
5.1 Higher-Frequency Operation and Spectrum Flexibility ..............58
5.2 Ultra-Lean Design ........................................................................59
5.3 Forward Compatibility .................................................................60
5.4 Transmission Scheme, Bandwidth Parts, and Frame
Structure .......................................................................................61
5.5 Duplex Schemes ...........................................................................63
5.6 Low-Latency Support...................................................................65
5.7 Scheduling and Data Transmission..............................................66
5.8 Control Channels..........................................................................67
5.9 Beam-Centric Design and Multi-Antenna Transmission ............67
5.10 Initial Access ................................................................................69
5.11 Interworking and LTE Coexistence.............................................70
CHAPTER 6 Radio-Interface Architecture ...................................... 73
6.1 Overall System Architecture........................................................73
6.1.1 5G Core Network.............................................................. 74
6.1.2 Radio-Access Network ..................................................... 76
Contents
vii
6.2 Quality-of-Service Handling ........................................................78
6.3 Radio Protocol Architecture.........................................................79
6.4 User-Plane Protocols ....................................................................80
6.4.1 Service Data Adaptation Protocol (SDAP) ...................... 83
6.4.2 Packet-Data Convergence Protocol (PDCP) .................... 83
6.4.3 Radio-Link Control ........................................................... 84
6.4.4 Medium-Access Control ................................................... 86
6.4.5 Physical Layer................................................................... 95
6.5 Control-Plane Protocols ...............................................................96
6.5.1 RRC State Machine .......................................................... 97
6.5.2 Idle-State and Inactive-State Mobility.............................. 99
6.5.3 Connected-State Mobility ............................................... 101
CHAPTER 7 Overall Transmission Structure ................................ 103
7.1 Transmission Scheme.................................................................103
7.2 Time-Domain Structure..............................................................106
7.3 Frequency-Domain Structure .....................................................109
7.4 Bandwidth Parts .........................................................................112
7.5 Frequency-Domain Location of NR Carriers ............................114
7.6 Carrier Aggregation....................................................................115
7.6.1 Control Signaling ............................................................ 116
7.7 Supplementary Uplink................................................................117
7.7.1 Relation to Carrier Aggregation ..................................... 119
7.7.2 Control Signaling ............................................................ 120
7.8 Duplex Schemes .........................................................................120
7.8.1 Time-Division Duplex (TDD) ........................................ 121
7.8.2 Frequency-Division Duplex (FDD) ................................ 123
7.8.3 Slot Format and Slot-Format Indication......................... 124
7.9 Antenna Ports .............................................................................128
7.10 Quasi-Colocation........................................................................130
CHAPTER 8 Channel Sounding ..................................................... 133
8.1 Downlink Channel Sounding—CSI-RS.....................................134
8.1.1 Basic CSI-RS Structure .................................................. 134
8.1.2 Frequency-Domain Structure of CSI-RS
Configurations................................................................. 137
8.1.3 Time-Domain Property of CSI-RS Configurations........ 139
8.1.4 CSI-IM—Resources for Interference Measurements ..... 140
8.1.5 Zero-Power CSI-RS ........................................................ 141
8.1.6 CSI-RS Resource Sets..................................................... 142
8.1.7 Tracking Reference Signal (TRS) .................................. 142
8.1.8 Mapping to Physical Antennas ....................................... 143