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5G StandardizationResource Guide: 3GPP Status Update & Overview

Nikhil Kundargi, Ph.D.

Senior Wireless Platform Architect

Email: Nikhil.Kundargi@ni.com

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3GPP

Is

3rd Generation Partnership Project

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Member companies collaborate in 3GPP

to create

5G Standards

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Overview of 3GPP Standards Structure

Figure from 3gpp.org

RAN1 defines PHY L1

RAN2 defines MAC and other

L2

RAN4 defines PHY Test

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NI and 3GPP

Strong team of experienced standards engineers

Attending 3GPP since 2010

2016 highlights

Active contribution to RAN1

14 Unique Contributions

Presented industry’s first paper on 5G New Radio

Presented two papers on MIMO and Phase Noise (<10% are treated)

10 Way Forwards co-signed

1 contribution to RAN2

Tracking RAN4

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Introducing 5G

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ITU Vision for IMT-2020 and Beyond

> 10 Gbps

Peak rates

> 1M / km2

Connections

< 1 ms

Latency

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New ITU Report on IMT-2020 Minimum Requirements

Metric Requirement Comments

Peak Data Rate DL: 20 Gbps

UL: 10 Gbps

Single eMBB mobile in ideal scenarios assuming all

resources utilized

Peak Spectral Efficiency DL: 30 bps/Hz (assuming 8 streams)

UL: 15 bps/Hz (assuming 4 streams)

Single eMBB mobile in ideal scenarios assuming all

resources utilized

User Experienced Data Rate DL: 100 Mbps

UL: 50 Mbps

5% CDF of the eMBB user throughput

Area Traffic Capacity Indoor hotspot DL: 10 Mbps/m2 eMBB

User plane latency eMBB: 4ms

URLLC: 1ms

Single user for small IP packets, for both DL and UL

(eMBB and URLLC)

Control plane latency 20ms (encouraged to consider 10ms) Transition from Idle to Active (eMBB and URLLC)

Connection Density 1M devices per km2 For mMTC

Reliability 99.9999% success prob. 32 L2 bytes within 1ms at cell edge

Bandwidth >100 MHz; up to 1 GHz in > 6 GHz Carrier aggregation allowed

DRAFT NEW REPORT ITU-R M.[IMT-2020.TECH PERF REQ], “Minimum requirements related to

technical performance for IMT-2020 radio interface(s),” Document 5/40-E, 22 February 2017ni.com/5g

How will 5G be standardized?

Phase based approach

Each Phase will comprise of

• (One or more) Study Item

• (One or more) Work Item

Phase 1 will be standardized in Release 15

• Initial 5G Deployments will be Phase 1 compliant

Pipelined standardization

• Phase 2 Study Item(s) will begin at same time as Phase 1 moves to Work Item(s)

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Mar-15 Jun-15 Sep-15 Dec-15 Mar-16 Jun-16 Sep-16 Dec-16 Mar-17 Jun-17 Sep-17 Dec-17 Mar-18 Jun-18 Sep-18 Dec-18 Mar-19 Jun-19 Sep-19 Dec-19

Apr-16 - Apr-17

Rel-13

Apr-16 - Jul-16

Rel-15

Apr-16 - Jul-16

Rel-16

Jan-17 - Jul-18

Rel-14

Aug-16 - Aug-17

Rel-15

Jun-16 - Sep-17

Rel-16

3GPP release timeline: Path from 4G to 5G

LTE-A Pro

New RadioPhase I Phase II

New radio track:

Phased approach

Phase I forward compatible to Phase II, but noneed for backward compatibility to LTE

• LTE-A Pro track:

• Based on existing LTE-A Rel-13

Study

Items 2

0

2

0

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March 2017 RAN plenary concludes 5G-NR Study Item and agrees on way forward for

5G-NR work item

1. By December 2017: complete Stage 3 for Non-Standalone 5G-NR eMBB (incl. low latency support) with Option 3 where

4G LTE core network (EPC) will be reused

Control Plane from EPC to LTE eNB and from LTE eNB to UE will also be reused. Additional Next Gen Userplane from NR gNB to UE.

3GPP On Fast Track to 5G Completion

Figure from RP-161266, Deutsche Telekom, T-Mobile ni.com/5g

3GPP On Fast Track to 5G Completion (cont’d)

By March 2018: intermediate implementable version with frozen ASN.1 for Non-Standalone 5G NR eMBB accordingly

Maintain current schedule for Standalone 5G-NR in Rel-15

o Stage 3 completion June 2018; ASN.1 freeze September 2018

o Overall 5G Core Network already agreed to be completed by June 2018

ni.com/5gFrom RP-170741, “Way Forward on the overall 5G-NR eMBB workplan”

Zooming in on New Radio Phase 1 Timeline

2016 2017 2018

Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

NSA = Non StandAlone = EPC core (“Option 3”) & LTE anchor

SA = StandAlone

5G study5G NR Work Item

5G NR NSA

Completion

Stage 3 completion

for Non-Standalone 5G-

NR

RAN

#74

RAN

#75

RAN

#78RAN #80

(Rel-15 completion)

Further evolution 5G NR SA

Completion

Stage 3 completion

for Standalone 5G-NR

NSA Option 3 family ASN.1 Rel-15 ASN.1 for SA &

NSA

Figure from RP-170741, “Way Forward on the overall 5G-NR eMBB workplan” ni.com/5g

Early non standard 5G Releases

Some operators and vendors have kicked off pre

specification 5G efforts

These will be deployed significantly before New Radio

Phase 1, as soon as end of 2017

Target application is a narrow subset of NR target

applications

Fixed Wireless Access

No support for mobility

UEs are Consumer Premise Equipment (set-top box)

“Last mile” connectivity to replace fiber

Verizon 5GTF KT PyeongChang 5G

Figure from Samsung Whitepaper on Fixed Wireless Access ni.com/5g

5G trial deployments have started

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5G New Radio : Phase 1

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From LTE to 5G NR Phase 1

LTE NR

Frequency of Operation Up to 6 GHz Up to 6 GHz, ~28 GHz, ~39 GHz,

other mmwave bands (Upto 52 GHz)

Carrier Bandwidth Max: 20 MHz Max: 100 MHz (@ <6 GHz)

Max: 1 GHz (@ >6 GHz)

Carrier Aggregation Up to 32 Up to 16

Analog Beamforming (dynamic) Not supported Supported

Digital Beamforming Up to 8 Layers Up to 12 Layers

Channel Coding Data: Turbo Coding

Control: Convolutional Coding

Data: LDPC Coding

Control: Polar Coding

Subcarrier Spacing 15 kHz 15, 30, 60, 120, 240 kHz

Self Contained Subframe Not Supported Can be implemented

Spectrum Occupancy 90% of Channel BW Up to 98% of Channel BW

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Some Terminology

LTE eNB Capable of connecting to EPC (current LTE core network)

eLTE eNB Evolution of LTE eNB capable of connectivity to EPC and NextGen Core

gNB Equivalent of eNB in 5G NR

NG The interface between NextGen Core and gNB

NG2: control plane interface between core network and RAN (S1-C in LTE)

NG3: user plane interface between core network and RAN (S1-U in LTE)

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Deployment Scenarios:- Potential Phasing

Phase 1 non-stand-alone deployments with LTE eNB as master

Secondary cell non-standalone operation of NR gNBs connected to EPC

Phase 1 evolution to adding NextGen Core

eLTE eNB is the master

NR gNB’s in non-standalone mode

EPC

LTE eNBNR gNB

CP + UP

1) Data flow aggregation across

LTE eNB and NR gNB via EPC

CP

+ UP

UP

eLTE eNB

1) eLTE eNB connected to

NextGen Core

NextGen Core

eLTE eNBNR gNB

CP + UP

2) Data flow aggregation across

eLTE eNB and NR gNB via

NextGen Core

NextGen Core

UP

CP + U

P

Figures from 3GPP TR 38.804 (Draft v0.4)

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Deployment Scenarios:- Potential Phasing

Phased evolution to adding standalone operation

All of the deployment types could be operating simultaneously as we move to this phase

Note:- Exact timing and phasing of the deployments depend on network providers, but NR

will take into account

NR gNBeLTE eNB

CP + UP

2) Data flow aggregation across

NR gNB and eLTE eNB via

NextGen Core

NextGen Core

UP

CP + U

P

NR gNB

1) NR gNB connected to

NextGen Core

NextGen Core

NR gNBNR gNB

CP + UP

3) Data flow aggregation across

NR gNBs via NextGen Core

NextGen Core

UP

CP + U

P

Figures from 3GPP TR 38.804 (Draft v0.4)

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New Frequency Ranges for NR Release 15

Frequency range Supporting companies (min. 3)

3.3 - 4.2 GHzNTT DOCOMO, KDDI, SBM, CMCC, China Unicom, China Telecom, KT, SK

Telecom, LG Uplus, Etisalat, Orange, …

4.4 - 4.99 GHz NTT DOCOMO, KDDI, SBM, CMCC, China Unicom, China Telecom,

24.25 - 29.5 GHz NTT DOCOMO, CMCC, KT, Verizon, T-mobile, Telecom Italia, BT…

31.8 - 33.4 GHz Orange, Telecom Italia, British Telecom

37 - 40 GHzAT&T, Verizon, T-mobile

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Release 15 LTE-NR Band Combinations

For dual connectivity

Non-stand-alone (NSA) operation.

Combination of NR band and 1 LTE band

Sources: RP-170847, RP-170826, R4-1702504 (DCM)

approved

LTE band

1 2 3 5 7 8 19 20 21 25 26 28 39 41 66

NR

Freq.

Range

3.3-4.2 GHz YES YES YES YES YES YES YES YES YES YES YES YES

4.4-4.99 GHz YES YES YES YES YES YES YES YES YES YES

24.25-29.5GHz YES YES YES YES YES YES YES YES YES YES YES YES Yes

31.8-33.4GHz YES YES YES YES

37-40GHz Yes

Band 7 YES YES YES

Band 28 YES YES YES

Band 41 YES YES YES YES YES YES YES

EPC

LTE eNBNR gNB

CP + UP

1) Data flow aggregation across

LTE eNB and NR gNB via EPCC

P + U

P

UP

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Numerology for NR

Multiple numerologies are

formed by scaling a basic

subcarrier spacing (SCS) by

integer N

15 kHz is baseline SCS

N is power of 2.

Numerology selected

independently of frequency band

allow at least from 15kHz to 480kHz subcarrier spacing.

Wh

at is

nu

me

rolo

gy

Subcarrier spacing (SCS)

Symbol duration

Cyclic Prefix duration

Slot duration/size

Subframe duration/size

Frame duration/size ni.com/5g

Numerology

Subframe duration : fixed to 1ms

Frame length : 10 msec.

For subcarrier spacing of 15 kHz * 2n

Each symbol length (including CP) of 15 kHz equals the sum of the corresponding 2n

symbols of the SCS.

The first OFDM symbol in 0.5m is longer by 16Ts (assuming 15 kHz and FFT size of 2048) compared to other OFDM symbols.

16 Ts is used for CP for the first symbol.

NR supports an extended CP

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Slot in New Radio

A slot is

7 or 14 OFDM symbols (for subcarrier spacing up to 60kHz)

14 OFDM symbols (for subcarrier spacing higher than 60kHz)

A slot can contain

all downlink,

all uplink, or

{at least one downlink part and at least one uplink part}.

Slot aggregation

data transmission to span multiple slots.

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Example of Numerology in a Slot

Mixed numerology in both frequency domain and time domain

Source: Fujitsu, R1-166676

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Modulation & Waveform

QPSK, 16QAM, 64QAM and 256QAM (with the same constellation mapping as in LTE) are supported

OFDM-based waveform is supported.

At least up to 40 GHz, CP-OFDM waveform supports spectral utilization of Y greater than that of LTE (assuming Y=90% for LTE)

where Y (%) is defined as transmission bandwidth configuration / channel bandwidth * 100%.

Note: Y proposals example is 98%

(For UL only) DFT-S-OFDM based waveform is also supported

limited to a single stream transmissions

targeting for link budget limited cases.

Both CP-OFDM and DFT-S-OFDM based waveforms are mandatory for UEs

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12x15 KHz

12x30 KHz

12x60 kHz

7 symbols (example)

Time

Freq

Resource Block in New Radio

NR defines physical resource block (PRB) where the number of subcarriers

per PRB is the same for all numerologies.

The number of subcarriers per PRB is N= 12

LTE and NR

New in NR

Source: Nokia, R1-167260ni.com/5g

Feasible Maximum Channel BW

To be studied further Sub-6 GHz: 100 – 200 MHz range

Above 6 GHz: 100 MHz – 1 GHz range

Possibility to support maximum CBW with CA

Use CA to utilize spectrum

larger than maximum CBW

Note: RAN1 agreed on maximum CBW of 400 MHz in Rel-15

Source: R4-1702374 (Docomo, Samsung)

approved

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Feasible Sub-carrier Spacing

Sub-6 GHz: 15, 30, 60 kHz

Above 6 GHz: no decision yet Candidates: 60, 120, 240 kHz

480 kHz FFS

Study feasibility based on

Phase noise model

CBW, FFT size

Service to support (eMBB, URLLC, mMTC)

...

Above SCSs not applicable to all bands

Applicable to common/dedicated data channels

approved

Source: R4-1702374 (Docomo, Samsung)

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Working of Analog beam based MIMO Operation

gNB has two TXRUs per polarization, connected to cross polarized Tx antenna panels.

The gNB selects one analog beams on each antenna panel polarization for the downlink data transmission, e.g., MIMO transmission.

The UE should be able to measure multiple Tx beams swept on different time units on each panel polarization and then select one ‘best’ Tx beam on each.

Figure from R1-1705351

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Hybrid Beamforming

Fig: Korea Univ. IEEE presentation

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Hybrid Beamforming

Example of hybrid beamforming with different beam-width.

The analog beams are coloured in blue, and the digital beams are coloured in

red

Figure from China Mobile, R1-1703405

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Synchronization in NR

NR-PSS, NR-SSS and/or NR-PBCH transmitted within a SS block.

One or multiple SS block(s) compose an SS burst.

One or multiple SS burst(s) further compose an SS burst set

From UE perspective, SS burst set transmission is periodic.

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Illustration of SS Burst Set Structure

SS Burst Set

Burst Periodicity Burst Periodicity Burst Periodicity

…#1

#2

#3

SS Burst

#4

#5

#6

SS Burst

#7

#8

#9

SS Burst

#1

#2

#3

SS Burst

SS Burst Set

Burst Periodicity Burst Periodicity Burst Periodicity

…#1

#2

#3

SS Burst

#4

#5

#6

SS Burst

#7

#8

#9

SS Burst

#1

#2

#3

SS Burst

#4

#5

#6

#1

#2

#3

#7

#8

#9

#4

#5

#6

SS Burst Set

Burst Periodicity Burst Periodicity Burst Periodicity

…#1

SS Burst

#1

SS Burst

#1

SS Burst

#1

SS Burst

Example 1)

Example 2)

Example 3)

PBCH PSS SSS PBCH

Source: Ericsson, R1-1700294

Source: Intel, R1-1700329

Source: Qualcomm, R1-1700784

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Channel Coding

Channel coding techniques for NR should support info block size K flexibility

and codeword size flexibility

rate matching (i.e., puncturing and/or repetition) supports 1-bit granularity in codeword size.

Channel coding technique for data channels of NR support both Incremental

Redundancy (IR) and Chase Combining (CC) HARQ.

For very small block lengths where repetition/block coding may be preferred

Data channel for eMBB flexible LDPC Coding

DCI for eMBB Polar Coding

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5G New Radio : Phase 2

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Access to Unlicensed Spectrum

Create a single global solution for NR-based access to unlicensed spectrum

For unlicensed bands both below and above 6GHz

Coexistence methods within NR-based

between NR-based unlicensed and LTE-based LAA

with other incumbent RATs

in accordance with regulatory requirements in e.g., 5GHz , 37GHz, 60GHz bands

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Integrated Access and Backhaul

Study support for wireless backhaul and relay links

Enable flexible and very dense deployment of NR cells

Avoid densifying the transport network proportionately

Both inband and outband relaying in indoor and outdoor scenarios

Fig from RP-170831

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V2X use cases for LTE and NR

New evaluation methodology to be defined for the new V2X use cases

Vehicles Platooning

Extended Sensors

Advanced Driving (enables semi-automated or full-automated driving)

Remote Driving

Identify regulatory requirements of direct communications between vehicles in

spectrum beyond 6GHz in different regions

63-64GHz (allocated for ITS in Europe)

76-81GHz

Figure from Qualcomm websiteni.com/5g

Other features for study in NR Phase 2

Following items will also start from Q3 2017

Non-orthogonal Multiple Access

NR support for Non-Terrestrial Networks

Self Evaluation towards IMT-2020 submission

Note that New Rel-15 WI (Phase 1) will also be completed in

parallel to NR Phase 2 Study Items.

New Radio Access Technology (RP-170847)

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Additional Videos and Resources

Join the SDR Community @ ni.com/sdrcommunity

Watch the video of AT&T’s Channel Sounder demo and the DARPA Colosseum Spectrum

Challenge demo

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