5G Standardization

Resource 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 RAN1 defines PHY L1

RAN2 defines MAC and other

L2

RAN4 defines PHY Test

Figure from 3gpp.org ni.com/5g

NI and 3GPP
Strong team of experienced standards engineers
Attending 3GPP since 2010

2016 highlights
Active contribution to RAN1
14 Unique Contributions
Presented industrys 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 < 1 ms

Connections Latency

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 New ITU Report on IMT-2020 Minimum Requirements
Metric Requirement Comments
Peak Data Rate DL: 20 Gbps Single eMBB mobile in ideal scenarios assuming all
UL: 10 Gbps resources utilized

Peak Spectral Efficiency DL: 30 bps/Hz (assuming 8 streams) Single eMBB mobile in ideal scenarios assuming all
UL: 15 bps/Hz (assuming 4 streams) resources utilized

User Experienced Data Rate DL: 100 Mbps 5% CDF of the eMBB user throughput
UL: 50 Mbps
Area Traffic Capacity Indoor hotspot DL: 10 Mbps/m2 eMBB
User plane latency eMBB: 4ms Single user for small IP packets, for both DL and UL
URLLC: 1ms (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 2017
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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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 3GPP release timeline: Path from 4G to 5G
Study Phase I Phase II
New Radio Apr-16 - Jul-16
Apr-16 - Jul-16
Rel-16
2
Items Rel-15
0
Jun-16 - Sep-17

LTE-A Pro Aug-16 - Aug-17 Rel-16 2

Jan-17 - Jul-18 Rel-15
Apr-16 - Apr-17 Rel-14 0
Rel-13

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

New radio track: LTE-A Pro track:

Phased approach Based on existing LTE-A Rel-13
Phase I forward compatible to Phase II, but no
need for backward compatibility to LTE

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3GPP On Fast Track to 5G Completion
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.

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

3GPP On Fast Track to 5G Completion (contd)
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

*From RP-170741, Way Forward on the overall 5G-NR eMBB workplan ni.com/5g
 Zooming in on New Radio Phase 1 Timeline
RAN RAN RAN RAN #80
#74 #75 #78 (Rel-15 completion)

2016 2017 2018

Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

5G study
5G NR Work Item 5G NR NSA 5G NR SA
Further evolution
Completion Completion

Stage 3 completion Stage 3 completion

for Non-Standalone 5G- for Standalone 5G-NR
NR

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

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

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 Verizon 5GTF KT PyeongChang 5G
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

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 Data: LDPC Coding

Control: Convolutional 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
EPC NextGen Core
NextGen Core

CP +
UP
CP + UP

UP

UP
CP + UP
CP + UP
NR gNB
NR gNB eLTE eNB eLTE eNB
LTE eNB
2) Data flow aggregation across
1) eLTE eNB connected to eLTE eNB and NR gNB via
1) Data flow aggregation across NextGen Core NextGen Core
LTE eNB and NR gNB via EPC

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 gNBs in non-standalone mode

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

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Deployment Scenarios:- Potential Phasing
NextGen Core NextGen Core NextGen Core

CP +

CP +
UP

UP
UP

UP
CP + UP CP + UP

NR gNB eLTE eNB NR gNB

NR gNB NR gNB

1) NR gNB connected to 2) Data flow aggregation across

3) Data flow aggregation across
NextGen Core NR gNB and eLTE eNB via
NR gNBs via NextGen Core
NextGen Core

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
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)

NTT DOCOMO, KDDI, SBM, CMCC, China Unicom, China Telecom, KT, SK
3.3 - 4.2 GHz 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 GHz
AT&T, Verizon, T-mobile

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 EPC approved
Release 15 LTE-NR Band Combinations

CP + UP

UP
For dual connectivity
CP + UP
Non-stand-alone (NSA) operation. LTE eNB
NR gNB

Combination of NR band and 1 LTE band 1) Data flow aggregation across

LTE eNB and NR gNB via EPC

LTE band
1 2 3 5 7 8 19 20 21 25 26 28 39 41 66
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
NR 31.8-33.4GHz YES YES YES YES
Freq.
Range 37-40GHz Yes
Band 7 YES YES YES
Band 28 YES YES YES
Band 41 YES YES YES YES YES YES YES

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

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Numerology for NR
Subcarrier
spacing (SCS) Multiple numerologies are
formed by scaling a basic
What is numerology Symbol duration subcarrier spacing (SCS) by
integer N
Cyclic Prefix 15 kHz is baseline SCS
duration N is power of 2.

Slot Numerology selected

duration/size independently of frequency band
Subframe allow at least from 15kHz to
duration/size 480kHz subcarrier spacing.

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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 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
7 symbols (example)

Freq 12x15 KHz

LTE and NR 12x30 KHz

New in NR

12x60 kHz

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Time
Source: Nokia, R1-167260
 approved
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)

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 approved
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
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

PBCH PSS SSS PBCH

Source: Ericsson, R1-1700294

Source: Qualcomm, R1-1700784

SS Burst Set

SS Burst SS Burst SS Burst SS Burst

Example 1) #
1
#
1
#
1
#
1

Burst Periodicity Burst Periodicity Burst Periodicity

SS Burst Set

SS Burst SS Burst SS Burst SS Burst

Example 2) # # #
1 2 3
# # #
4 5 6
# # #
7 8 9
# # #
1 2 3

Burst Periodicity Burst Periodicity Burst Periodicity

SS Burst Set

SS Burst SS Burst SS Burst SS Burst

Source: Intel, R1-1700329
Example 3)
# # # # # #
1 2 3 4 5 6
# # # # # #
7 8 9 1 2 3
# # # # # #
4 5 6 7 8 9
# # # # # #
1 2 3 4 5 6

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Burst Periodicity Burst Periodicity Burst Periodicity
 Channel Coding

Data channel for eMBB flexible LDPC Coding

DCI for eMBB Polar 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

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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

Fig from RP-170831

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

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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 website

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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&Ts Channel Sounder demo and the DARPA Colosseum Spectrum
Challenge demo:
https://www.youtube.com/playlist?list=PLlys7J2EbeEkloxPqzGNIndMxr_1ke-Nb
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