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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
Academic Press is an imprint of Elsevier 125 London Wall, London EC2Y 5AS, United Kingdom 525 B Street, Suite 1650, San Diego, CA 92101, United States 50 Hampshire Street, 5th Floor, Cambridge, MA 02139, United States The Boulevard, Langford Lane, Kidlington, Oxford OX5 1GB, United Kingdom Copyright © 2018 Elsevier Ltd. All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage and retrieval system, without permission in writing from the publisher. Details on how to seek permission, further information about the Publisher’s permissions policies and our arrangements with organizations such as the Copyright Clearance Center and the Copyright Licensing Agency, can be found at our website: www.elsevier.com/permissions. This book and the individual contributions contained in it are protected under copyright by the Publisher (other than as may be noted herein). Notices Knowledge and best practice in this field are constantly changing. As new research and experience broaden our understanding, changes in research methods, professional practices, or medical treatment may become necessary. Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using any information, methods, compounds, or experiments described herein. In using such information or methods they should be mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility. To the fullest extent of the law, neither the Publisher nor the authors, contributors, or editors, assume any liability for any injury and/or damage to persons or property as a matter of products liability, negligence or otherwise, or from any use or operation of any methods, products, instructions, or ideas contained in the material herein. British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library Library of Congress Cataloging-in-Publication Data A catalog record for this book is available from the Library of Congress ISBN: 978-0-12-814323-0 For Information on all Academic Press publications visit our website at https://www.elsevier.com/books-and-journals Publisher: Mara Conner Acquisition Editor: Tim Pitts Editorial Project Manager: Joshua Mearns Production Project Manager: Kamesh Ramajogi Cover Designer: Greg Harris Typeset by MPS Limited, Chennai, India
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
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