5G NR: Architecture, Technology, Implementation, and Operation of 3GPP New Radio Standards

Cover
5G NR:

Architecture, Technology, Implementation,
and Operation of 3GPP New Radio
Standards
Copyright
Acknowledgments
List of Abbreviations
Introduction and Background
	1 Introduction to 5G
	2 Use Cases and Deployment Scenarios
		2.1 Use Cases
		2.2 Deployment Scenarios
	3 Key Performance Indicators, Architectural, System, and Service Requirements
		3.1 Definition of the Performance Metrics
		3.2 Test Environments
		3.3 High-Level Architectural Requirements
		3.4 System Performance Requirements
		3.5 Service Requirements
	4 ITU-R IMT-2020 Standardization Activities
	5 3GPP 5G Standardization Activities
	6 Spectrum and Regulations
	7 Future Outlook
	References
		ITU-R Specifications32
		3GPP Specifications33
		Articles, Books, White Papers, and Application Notes
1 5G Network Architecture
	1.1 Design Principles and Prominent Network Topologies
		1.1.1 Network and Service Requirements
		1.1.2 Virtualization of Network Functions
			1.1.2.1 Architectural Aspects
			1.1.2.2 Functional Aspects
			1.1.2.3 Operational Aspects
			1.1.2.4 Legacy Support and Interworking Aspects
		1.1.3 Separation of Control and User Planes (Software-Defined Networks)
			1.1.3.1 Architectural Aspects
		1.1.4 Network Slicing
		1.1.5 Heterogeneous and Ultra-dense Networks
		1.1.6 Cloud-RAN and Virtual-RAN
			1.1.6.1 Architectural Aspects
			1.1.6.2 Fronthaul Transport and Functional Split Options
				WARNING!!! DUMMY ENTRY
					CPRI Transport
					eCPRI Transport
					IEEE 1914.3 Radio-Over-Ethernet Transport
					IEEE 1914.1 Next-Generation Fronthaul Interface
			1.1.6.3 Backhaul Transport Options
		1.1.7 Mobile Edge Computing
			1.1.7.1 Service and Deployment Scenarios
			1.1.7.2 Architectural Aspects
		1.1.8 Network Sharing
	1.2 Reference Architectures
		1.2.1 Access Network
			1.2.1.1 Reference Architecture: Network Entities and Interfaces
				1.2.1.1.1 Xn Control-Plane/User-Plane Functions and Procedures
				1.2.1.1.2 F1 Control-Plane/User-Plane Functions and Procedures
				1.2.1.1.3 E1 Control-Plane Functions and Procedures
				1.2.1.1.4 NG Control-Plane/User-Plane Functions and Procedures
			1.2.1.2 Bearers and Identifiers
				1.2.1.2.1 Radio Bearers and Packet Data Unit Sessions
				1.2.1.2.2 Radio Network Identifiers
			1.2.1.3 User-Plane and Control-Plane Protocol Stacks
		1.2.2 Core Network
			1.2.2.1 Reference Architecture: Network Entities and Interfaces
			1.2.2.2 PDN Sessions and 5GC Identifiers
			1.2.2.3 User-Plane and Control-Plane Protocol Stacks
				1.2.2.3.1 Control-Plane Protocol Stacks
				1.2.2.3.2 User-Plane Protocol Stacks
	1.3 Dual Connectivity and Multi-connectivity Schemes
	1.4 LTE-NR Interworking and Deployment Scenarios
		1.4.1 RAN-Level and CN-Level Interworking
		1.4.2 5G Deployments Scenarios and Architecture Options
	1.5 Network Aspects of Mobility and Power Management
		1.5.1 Mobility Management
		1.5.2 Network-Controlled Power Management
	1.6 Quality-of-Service Framework
	1.7 Security Framework
	References
		3GPP Specifications81
		ETSI Specifications82
		Articles, Books, White Papers, and Application Notes
2 New Radio Access Layer 2/3 Aspects and System Operation
	2.1 Overview of Layer 2 and Layer 3 Functions
	2.2 Layer 2 Functions and Services
		2.2.1 Medium Access Control Sublayer
		2.2.2 Radio Link Control Sublayer
		2.2.3 Packet Data Convergence Protocol Sublayer
			2.2.3.1 PDCP Services and Functions
			2.2.3.2 Header Compression Function
			2.2.3.3 Ciphering and Integrity Protection Functions
		2.2.4 Service Data Adaptation Protocol Sublayer
	2.3 Layer 3 Functions and Services
		2.3.1 Radio Resource Control Sublayer
		2.3.2 System Information
		2.3.3 User Equipment States and State Transitions
			2.3.3.1 Idle Mode Procedures
			2.3.3.2 Inactive Mode Procedures
			2.3.3.3 Connected Mode Procedures
		2.3.4 User Equipment Capability
	2.4 Discontinuous Reception and Power-Saving Schemes
	2.5 Mobility Management, Handover, and UE Measurements
		2.5.1 Network-Controlled Mobility
			2.5.1.1 Control-Plane Handover Procedures
			2.5.1.2 User-Plane Handover Procedures
		2.5.2 UE-Based Mobility
		2.5.3 Paging
		2.5.4 Measurements
	2.6 UE and Network Identifiers
	2.7 Random-Access Procedure (L2/L3 Aspects)
	2.8 Multi-radio Dual Connectivity (L2/L3 Aspects)
	2.9 Carrier Aggregation (L2/L3 Aspects)
	References
		3GPP Specifications12
		IETF Specifications13
		Articles, Books, White Papers, and Application Notes
3 New Radio Access Physical Layer Aspects (Part 1)
	3.1 Channel Models and Propagation Characteristics
		3.1.1 Characteristics of Wireless Channels
			3.1.1.1 Path Loss Models
			3.1.1.2 Delay Spread
			3.1.1.3 Doppler Spread
			3.1.1.4 Angular Spread
			3.1.1.5 Blockage
			3.1.1.6 Oxygen Absorption
			3.1.1.7 LoS Path Loss Probability
		3.1.2 Two- and Three-Dimensional Channel Models
	3.2 Waveforms
		3.2.1 OFDM Basics and Transmission Characteristics
			3.2.1.1 Cyclic Prefix
			3.2.1.2 Pre- and Post-processing Signal-to-Noise Ratio
			3.2.1.3 Peak-to-Average Power Ratio
			3.2.1.4 Error Vector Magnitude
			3.2.1.5 Carrier Frequency Offset
			3.2.1.6 Phase Noise
		3.2.2 DFT-S-OFDM Basics and Transmission Characteristics
		3.2.3 Other Waveform Candidates
			3.2.3.1 Filtered-OFDM
			3.2.3.2 Filter Bank Multicarrier
			3.2.3.3 Universal Filtered Multicarrier
			3.2.3.4 Generalized Frequency Division Multiplexing
			3.2.3.5 Faster Than Nyquist Signal Processing
			3.2.3.6 Comparison of the Candidate Waveforms
	3.3 Multiple-Access Schemes
		3.3.1 Orthogonal Frequency Division Multiple Access
		3.3.2 Single-Carrier Frequency Division Multiple Access
		3.3.3 Non-orthogonal Multiple-Access Schemes
			3.3.3.1 Sparse Code Multiple Access
			3.3.3.2 Power-Domain Non-orthogonal Multiple Access
			3.3.3.3 Scrambling-Based and Spreading-Based NOMA Schemes
	3.4 Duplex Schemes
		3.4.1 Frequency and Time Division Duplex Schemes
		3.4.2 Half-Duplex and Flexible-Duplex Schemes
		3.4.3 Full-Duplex Schemes
	3.5 Operating Frequency Bands
	3.6 Frame Structure and Numerology
	3.7 Time-Frequency Resources
		3.7.1 Physical Resource Blocks
		3.7.2 Bandwidth Part
		3.7.3 Resource Allocation
			3.7.3.1 Resource Allocation in Time Domain
			3.7.3.2 Resource Allocation in Frequency Domain
			3.7.3.3 Physical Resource Block Bundling
		3.7.4 Resource Allocation for Grant-Free/Semi-persistent Scheduling
	References
		ITU-R Specifications23
		3GPP Specifications24
		Articles, Books, White Papers, and Application Notes
4 New Radio Access Physical Layer Aspects (Part 2)
	4.1 Downlink Physical Layer Functions and Procedures
		4.1.1 Overall Description of Downlink Physical Layer
		4.1.2 Reference Signals
			4.1.2.1 Demodulation Reference Signals
			4.1.2.2 Phase Tracking Reference Signals
			4.1.2.3 Channel State Information Reference Signals
			4.1.2.4 Tracking Reference Signals
		4.1.3 Control Channels
			4.1.3.1 Physical Broadcast Channel
			4.1.3.2 Physical Downlink Control Channel
				4.1.3.2.1 Structure and Physical Layer Processing of PDCCH
				4.1.3.2.2 UE Group-Common Signaling
				4.1.3.2.3 Downlink Control Information Formats
					DCI Format 0_0
					DCI Format 0_1
					DCI Format 1_0
					DCI Format 1_1
					DCI Format 2_0
					DCI Format 2_1
					DCI Format 2_2
					DCI Format 2_3
				4.1.3.2.4 Common and UE-Specific Search Spaces
				4.1.3.2.5 Dynamic and Semi-persistent Scheduling
		4.1.4 Synchronization Signals
			4.1.4.1 Primary Synchronization Sequence
			4.1.4.2 Secondary Synchronization Sequence
			4.1.4.3 Synchronization Signal Blocks
		4.1.5 Physical Downlink Shared Channel
		4.1.6 CSI Measurement and Reporting and Beam Management
			4.1.6.1 CSI Measurement and Reporting
			4.1.6.2 Beam Management
		4.1.7 Channel Coding and Modulation Schemes
			4.1.7.1 Principles of Polar Coding
			4.1.7.2 NR Polar Coding
			4.1.7.3 Principles of Low Density Parity Check Coding
			4.1.7.4 NR Low Density Parity Check Coding
			4.1.7.5 Modulation Schemes and MCS Determination
		4.1.8 HARQ Operation and Protocols
			4.1.8.1 HARQ Principles
			4.1.8.2 UE Processing Times, HARQ Protocol and Timing
			4.1.8.3 Semi-static/Dynamic Codebook HARQ-ACK Multiplexing
		4.1.9 Downlink MIMO Schemes
			4.1.9.1 Capacity of MIMO Channels
			4.1.9.2 Single-User and Multi-user MIMO
			4.1.9.3 Analog, Digital, and Hybrid Beamforming
				4.1.9.3.1 Analog Beamforming
				4.1.9.3.2 Digital Beamforming
				4.1.9.3.3 Hybrid Beamforming
			4.1.9.4 Full-Dimension MIMO
			4.1.9.5 Large-Scale (Massive) MIMO Systems
			4.1.9.6 NR Multi-antenna Transmission Schemes
	4.2 Uplink Physical Layer Functions and Procedures
		4.2.1 Overall Description of Uplink Physical Layer
		4.2.2 Reference Signals
			4.2.2.1 Demodulation Reference Signals
				4.2.2.1.1 PUSCH DM-RS
				4.2.2.1.2 PUCCH DM-RS
			4.2.2.2 Phase-Tracking Reference Signals
			4.2.2.3 Sounding Reference Signal
		4.2.3 Control Channels
			4.2.3.1 Physical Uplink Control Channel
				4.2.3.1.1 PUCCH Format 0 Structure and Physical Processing
				4.2.3.1.2 PUCCH Format 1 Structure and Physical Processing
				4.2.3.1.3 PUCCH Format 2 Structure and Physical Processing
				4.2.3.1.4 PUCCH Formats 3 and 4 Structure and Physical Processing
			4.2.3.2 Physical Random-Access Channel
				4.2.3.2.1 Four-Step Random-Access Procedure
				4.2.3.2.2 Two-Step Random-Access Procedure
		4.2.4 Physical Uplink Shared Channel
		4.2.5 Uplink MIMO Schemes
		4.2.6 Link Adaptation and Power Control
	References
		3GPP Specifications21
		Articles, Books, White Papers, and Application Notes
5 New Radio Access RF and Transceiver Design Considerations
	5.1 NR Radio Parameters and Spectrum
	5.2 Base Station Transceiver RF Characteristics and Requirements
		5.2.1 General Base Station RF Requirements
		5.2.2 Conducted and Radiated Base Station Transceiver Characteristics
	5.3 UE Transceiver RF Characteristics and Requirements
		5.3.1 General UE RF Requirements
		5.3.2 Conducted and Radiated UE Transceiver Characteristics
	5.4 Radio Resource Management Specifications
	5.5 Direct RF Sampling Transceivers
		5.5.1 Nyquist Zones and Sampling of Wideband Signals
		5.5.2 Direct RF Sampling Transmitter Design
		5.5.3 Direct RF Sampling Receiver Design
	5.6 Considerations for Implementation and Operation in mmWave Bands
		5.6.1 Semiconductor Technologies for mmWave Operation
		5.6.2 Analog Front-End Design Considerations
		5.6.3 Power Consumption Considerations
		5.6.4 Antenna Design Considerations
	5.7 Sub-6GHz Transceiver and Antenna Design Considerations
	5.8 mmWave Transceiver and Antenna Design Considerations
	5.9 Large Antenna Array Design and Implementation in Sub-6GHz and mmWave Bands
	References
		3GPP Specifications35
		ITU-R Recommendations36
		Articles, Books, White Papers, and Application Notes
6 Internet of Things (NB-IoT and Massive MTC)
	6.1 General Aspects and Use Cases
	6.2 Network Architecture and Protocol Aspects
		6.2.1 Network Architecture
		6.2.2 Modes of Operation
		6.2.3 Protocol Structure
	6.3 Physical Layer Aspects
		6.3.1 Frame Structure
		6.3.2 Narrowband Primary Synchronization Signal
		6.3.3 Narrowband Secondary Synchronization Signal
		6.3.4 Narrowband Reference Signals
		6.3.5 Narrowband Physical Broadcast Channel
		6.3.6 Narrowband Physical Downlink Control Channel
		6.3.7 Narrowband Physical Downlink Shared Channel
		6.3.8 Narrowband Physical Random-Access Channel
		6.3.9 Narrowband Physical Uplink Shared Channel
	6.4 Layer 2/3 Aspects
		6.4.1 HARQ Protocol and Scheduling
		6.4.2 Physical, Logical, and Transport Channels
		6.4.3 Cell Search and Random-Access Procedure
		6.4.4 Power-Saving Modes
		6.4.5 Paging and Mobility
	6.5 Implementation and Deployment Considerations
	References
		3GPP Specifications6
		Articles, Books, White Papers, and Application Notes
7 Vehicle-to-Everything (V2X) Communications
	7.1 General Aspects and Use Cases
	7.2 Spectrum Allocation
	7.3 Network Architecture and Protocol Aspects
		7.3.1 Reference Architecture
		7.3.2 Sidelink and Radio Access Protocols
	7.4 Physical Layer Aspects
		7.4.1 Sidelink Physical Resources and Resource Pool
		7.4.2 Sidelink Physical Channels
			7.4.2.1 Physical Sidelink Shared Channel
			7.4.2.2 Physical Sidelink Control Channel
			7.4.2.3 Physical Sidelink Discovery Channel
			7.4.2.4 Physical Sidelink Broadcast Channel
		7.4.3 Sidelink Physical Signals
			7.4.3.1 Demodulation Reference Signals
			7.4.3.2 Synchronization Signals
	7.5 Layer 2/3 Aspects
		7.6 LTE/NR V2X Security
	7.7 Implementation and Deployment Considerations
	References
		3GPP Specifications11
		Articles, Books, White Papers, and Application Notes
8 Operation in Unlicensed and Shared Spectrum
	8.1 General Aspects and Use Cases
		8.1.1 Unlicensed and Shared Spectrum
		8.1.2 Use Cases and Deployment Models
		8.1.3 Principles of IEEE 802.11 Operation
		8.1.4 LTE and NR Solutions for Operation in Unlicensed Spectrum
			8.1.4.1 License-Assisted Access
			8.1.4.2 LTE-Wi-Fi Aggregation
			8.1.4.3 LTE Unlicensed and MulteFire
			8.1.4.4 NR-Unlicensed
	8.2 Network Architecture and Protocol Aspects
	8.3 Physical Layer Aspects
	8.4 Layer 2/3 Aspects
	8.5 Implementation and Deployment Considerations
	References
		3GPP Specifications11
		Articles, Books, White Papers, and Application Notes
Index
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