3GPP TR 38.802 V1.0.0 (2016-11)
`
`Technical Specification
`
`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`Study on New Radio (NR) Access Technology
`Physical Layer Aspects
`
`(Release 14)
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`A GLOBAL INITIATIVE
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`The present document has been developed within the 3rd Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP..
`The present document has not been subject to any approval process by the 3GPP Organizational Partners and shall not be implemented.
`This Specification is provided for future development work within 3GPP only. The Organizational Partners accept no liability for any use of this Specification.
`Specifications and Reports for implementation of the 3GPP TM system should be obtained via the 3GPP Organizational Partners' Publications Offices.
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`Contents
`Foreword ................................................................................................................................................................ 5
`1
`Scope ........................................................................................................................................................... 6
`2
`References ................................................................................................................................................... 6
`3
`Definitions, symbols and abbreviations ..................................................................................................... 6
`3.1
`Definitions ............................................................................................................................................................. 6
`3.2
`Symbols ................................................................................................................................................................. 6
`3.3
`Abbreviations ........................................................................................................................................................ 7
`4
`Introduction ................................................................................................................................................. 7
`5
`General description of layer 1 .................................................................................................................... 7
`5.1
`Duplexing .............................................................................................................................................................. 7
`5.2
`Forward compatibility ........................................................................................................................................... 7
`5.3
`Numerologies and frame structure ........................................................................................................................ 7
`5.4 LTE-NR Co-existence ...................................................................................................................................................... 8
`6
`DL concepts ................................................................................................................................................ 8
`6.1
`Basic transmission scheme ................................................................................................................................... 8
`6.1.1
`Modulation scheme ......................................................................................................................................... 9
`6.1.2
`Physical layer channel ..................................................................................................................................... 9
`6.1.2.1
`Physical resource multiplexing ................................................................................................................. 9
`6.1.2.1
`Data channel .............................................................................................................................................. 9
`6.1.2.2
` Control channel ......................................................................................................................................... 9
`6.1.3
`Waveform ........................................................................................................................................................ 9
`6.1.4
`Multiple access scheme ................................................................................................................................... 9
`6.1.5
`Channel coding .............................................................................................................................................. 10
`6.1.6
`Multi-antenna scheme ................................................................................................................................... 10
`6.1.6.1
`Beam management .................................................................................................................................. 10
`6.1.6.2
`MIMO schemes ....................................................................................................................................... 10
`6.1.6.3
`CSI acquisition ........................................................................................................................................ 11
`6.1.6.4
`Reference signal related to multi-antenna scheme ................................................................................. 12
`6.1.6.4.1
`CSI-RS ............................................................................................................................................... 12
`6.1.6.5
`Quasi-colocation ...................................................................................................................................... 12
`6.2
`Physical layer procedure ..................................................................................................................................... 13
`6.2.1
`Scheduling ..................................................................................................................................................... 13
`6.2.2
`HARQ ............................................................................................................................................................ 13
`6.2.3
`Initial access and mobility ............................................................................................................................. 13
`6.2.3.1
`Synchronization signal and DL broadcast signal/channel structure ....................................................... 13
`6.2.3.2
`Initial access procedure ........................................................................................................................... 13
`6.2.3.3
`Mobility ................................................................................................................................................... 13
`6.3
`Physical layer measurements .............................................................................................................................. 13
`7
`Evaluation of DL techniques .................................................................................................................... 14
`7.1
`Performance evaluation ...................................................................................................................................... 14
`7.1.1
`Performance evaluation of waveform ........................................................................................................... 14
`7.1.2
`Performance evaluation of multiple access .................................................................................................. 15
`7.1.3
`Performance evaluation of channel coding ................................................................................................... 15
`7.2
`Analysis of UE complexity ................................................................................................................................. 18
`7.3
`Analysis of Node B impacts ............................................................................................................................... 18
`8
`UL concepts .............................................................................................................................................. 18
`8.1
`Basic transmission scheme ................................................................................................................................. 18
`8.1.1
`Modulation scheme ....................................................................................................................................... 18
`8.1.2
`Physical layer channel ................................................................................................................................... 18
`8.1.2.1
`Data channel ............................................................................................................................................ 18
`8.1.2.2
` Control channel ....................................................................................................................................... 18
`8.1.3
`Waveform ...................................................................................................................................................... 18
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`Multiple access scheme ................................................................................................................................. 19
`8.1.4
`Channel coding .............................................................................................................................................. 19
`8.1.5
`Multi-antenna scheme ................................................................................................................................... 19
`8.1.6
`Beam management .................................................................................................................................. 19
`8.1.6.1
`MIMO schemes ....................................................................................................................................... 19
`8.1.6.2
`Reference signal related to multi-antenna scheme ................................................................................. 19
`8.1.6.3
`SRS ..................................................................................................................................................... 20
`8.1.6.3.1
`Physical layer procedure ..................................................................................................................................... 20
`8.2
`Random access procedure ............................................................................................................................. 20
`8.2.1
`Preamble .................................................................................................................................................. 20
`8.2.1.1
`Procedure ................................................................................................................................................. 20
`8.2.1.2
`Scheduling ..................................................................................................................................................... 20
`8.2.2
`HARQ ............................................................................................................................................................ 20
`8.2.3
`Physical layer measurements .............................................................................................................................. 21
`8.3
`Evaluation of UL techniques .................................................................................................................... 21
`9
`Performance evaluation ...................................................................................................................................... 21
`9.1
`Performance evaluation of waveform ........................................................................................................... 21
`9.1.1
`Performance evaluation of multiple access .................................................................................................. 21
`9.1.2
`Performance evaluation of channel coding ................................................................................................... 33
`9.1.3
`Analysis of UE complexity ................................................................................................................................. 33
`9.2
`Analysis of Node B impacts ............................................................................................................................... 33
`9.3
`SL concepts ............................................................................................................................................... 33
`10
`Basic transmission scheme ................................................................................................................................. 33
`10.1
`Physical layer procedure ..................................................................................................................................... 33
`10.2
`Physical layer measurements .............................................................................................................................. 33
`10.3
`Evaluation of SL techniques ..................................................................................................................... 33
`11
`Performance evaluation ...................................................................................................................................... 33
`11.1
`Analysis of UE complexity ................................................................................................................................. 33
`11.2
`Analysis of Node B impacts ............................................................................................................................... 33
`11.3
`Evaluation common for UL/DL ............................................................................................................... 33
`12
`Performance evaluation related to eMBB .......................................................................................................... 33
`12.1
`Performance evaluation related to URLLC ........................................................................................................ 33
`12.2
`Performance evaluation related to high speed train ........................................................................................... 34
`12.3
`Performance evaluation related to mMTC ......................................................................................................... 34
`12.4
`Performance evaluation related to eV2X............................................................................................................ 34
`12.5
`13 UE capability............................................................................................................................................. 34
`Annex A: simulation scenarios and assumptions .......................................................................................... 35
`A.1 Link level simulation assumptions ........................................................................................................... 35
`A.1.1
`Simulation assumption for evaluation of waveform ............................................................................... 35
`A.1.2
`Simulation assumption for evaluation of multiple access ...................................................................... 37
`A.1.3
`Simulation assumption for evaluation of channel coding ...................................................................... 39
`A.1.4
`Simulation assumption related to URLLC evaluation ............................................................................ 40
`A.1.5
`Simulation assumption for evaluation related to initial access .............................................................. 40
`A.2 System level simulation assumptions ....................................................................................................... 42
`A.2.1
`General assumption ................................................................................................................................. 42
`A.2.2
`Simulation assumption for evaluation of multiple access scheme ......................................................... 61
`A.2.3
`Simulation assumption related to initial access ...................................................................................... 61
`A.2.4
`Simulation assumption for URLLC ........................................................................................................ 63
`64
`Annex B: Change history
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`Foreword
`This Technical Specification has been produced by the 3rd Generation Partnership Project (3GPP).
`
`The contents of the present document are subject to continuing work within the TSG and may change following formal
`TSG approval. Should the TSG modify the contents of the present document, it will be re-released by the TSG with an
`identifying change of release date and an increase in version number as follows:
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`Version x.y.z
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`where:
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`x
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`the first digit:
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`1 presented to TSG for information;
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`2 presented to TSG for approval;
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`3 or greater indicates TSG approved document under change control.
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`y
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`the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
`updates, etc.
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`z
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`the third digit is incremented when editorial only changes have been incorporated in the document.
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`Scope
`1
`This document is related to the technical report for physical layer aspect of the study item “Study on New Radio Access
`Technology” [1]. The purpose of this TR is to help TSG RAN WG1 to define and describe the potential physical layer
`evolution under consideration and compare the benefits of each evolution techniques, along with the complexity
`evaluation of each technique.
`
`This activity involves the Radio Access work area of the 3GPP studies and has impacts both on the Mobile Equipment
`and Access Network of the 3GPP systems.
`
`This document is intended to gather all information in order to compare the solutions and gains vs. complexity, and
`draw a conclusion on way forward.
`
`This document is a ‘living’ document, i.e. it is permanently updated and presented to TSG-RAN meetings.
`
`References
`2
`The following documents contain provisions which, through reference in this text, constitute provisions of the present
`document.
`
`- References are either specific (identified by date of publication, edition number, version number, etc.) or
`non-specific.
`
`- For a specific reference, subsequent revisions do not apply.
`
`- For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document (including
`a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same
`Release as the present document.
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`[1]
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`3GPP RP-161596, “New SID Proposal: Study on New Radio Access Technology”
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`Definitions, symbols and abbreviations
`3
`Delete from the above heading those words which are not applicable.
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`Clause numbering depends on applicability and should be renumbered accordingly.
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`Definitions
`3.1
`For the purposes of the present document, the terms and definitions given in 3GPP TR 21.905 [1] and the following
`apply. A term defined in the present document takes precedence over the definition of the same term, if any, in 3GPP
`TR 21.905 [1].
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`Definition format (Normal)
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`<defined term>: <definition>.
`example: text used to clarify abstract rules by applying them literally.
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`Symbols
`3.2
`For the purposes of the present document, the following symbols apply:
`
`Symbol format (EW)
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`<Explanation>
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`<symbol>
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`Abbreviations
`3.3
`For the purposes of the present document, the abbreviations given in 3GPP TR 21.905 [1] and the following apply. An
`abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any, in
`3GPP TR 21.905 [1].
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`Abbreviation format (EW)
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`<ACRONYM> <Explanation>
`
`Introduction
`4
`At the 3GPP TSG RAN #71 meeting, the Study Item description on " New SID Proposal: Study on New Radio Access
`Technology " was approved [1]. The study item covers technology components to be considered for new radio access
`technologies, e.g. to fulfil the requirements on IMT-2020. This technical report covers the physical-layer aspects of
`these technology components.
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`5
`
`General description of layer 1
`
`Duplexing
`5.1
`NR supports paired and unpaired spectrum and strives to maximize commonality between the technical solutions,
`allowing FDD operation on a paired spectrum, different transmission directions in either part of a paired spectrum, TDD
`operation on an unpaired spectrum where the transmission direction of time resources is not dynamically changed, and
`TDD operation on an unpaired spectrum where the transmission direction of most time resources can be dynamically
`changing. It is noted that transmission directions include all of downlink, uplink, sidelink, and backhaul link. NR
`supports at least semi-statically assigned DL/UL transmission direction as gNB operation, i.e., the assigned DL/UL
`transmission direction can be signaled to UE by higher layer signaling.
`
`Forward compatibility
`5.2
`Forward compatibility of NR shall ensure smooth introduction of future services and features while efficient access of
`the earlier services and UEs in the same spectrum is still ensured.
`
`In order to ensure forward compatibility of NR, explicit signaling to NR UEs can indicate reserved resources.
`
`Numerologies and frame structure
`5.3
`Multiple numerologies are supported, derived by scaling a basic subcarrier spacing by an integer N. The numerology
`used can be selected independently of the frequency band although it is assumed not to use a very low subcarrier
`spacing at very high carrier frequencies. Flexible network and UE channel bandwidth is supported. The largest
`component carrier bandwidth not smaller than 80 MHz for at least one numerology is supported.
`
`A subframe duration is fixed to 1ms. Scalable numerology should allow at least from 15kHz to 480kHz subcarrier
`spacing. The numerology with 15 kHz and scaled numerology with different subcarrier spacing with the same CP
`overhead align at a symbol boundary every 1ms in a NR carrier. More specifically, for the normal CP family, the
`following is adopted.
`- For subcarrier spacing of 15 kHz * 2n (n is non-negative integer),
` Each symbol length (including CP) of 15 kHz equals the sum of the corresponding 2n symbols of the
`subcarrier spacing.
` Other than the first OFDM symbol in every 0.5ms, all OFDM symbols within 0.5ms have the same size
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`Commented [T1]: [Editor's note]The details on signaling
`information and transmission are FFS
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`Commented [T2]: [Editor's note] Details regarding BW is
`still FFS.
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`Commented [T3]: [Editor's note]
`Agreement says that from Phase 1, physical layer design
`should support an extended CP.
`FFS: Exact for the services/scenarios for extended CP
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`Commented [T4]: [Editor's note]FFS: whether/which to
`down select for certain SCS(s)
`Commented [T5]: [Editor's note]FFS: whether/which to
`down select for certain SCS(s)
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`Commented [T6]: [Editor's note]FFS: value of X
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` 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.
`- For subcarrier spacing of 15 kHz * 2n (n is a negative integer)
`
` Each symbol length (including CP) of the subcarrier spacing equals the sum of the corresponding 2n symbols
`of 15 kHz.
`
`The physical layer design supports an extended CP. Extended CP will be only one in given subcarrier spacing.
`
`No explicit DC subcarrier is reserved both for downlink and uplink. Regarding DC present within the transmitter, DC
`handling of DC subcarrier in transmitter side is specified as follows:
`- Receiver knows where DC subcarrier is or is informed (e.g., by specification or signaling) of where DC subcarrier is
`or if DC subcarrier is not present within receiver bandwidth.
`- When receiver is informed DC subcarrier is present, FFS: transmitter DC subcarrier is punctured, rate matched,
`modulated, or EVM is not specified.
`- When DC subcarrier is not present, all subcarriers within the receiver bandwidth are transmitted.
`
`On the other hand, at the receiver side, no special handling of the DC subcarrier(s) on the receiver side is specified in
`RAN1. Behavior is left to implementation, i.e., the receiver may for example puncture data received on the DC
`subcarrier.
`
`A slot is defined as 7 or 14 OFDM symbols for the same subcarrier spacing of up to 60kHz with normal CP and as 14
`OFDM symbols for the same subcarrier spacing higher than 60kHz with normal CP. A slot can contain all downlink, all
`uplink, or {at least one downlink part and at least one uplink part}. Slot aggregation is supported, i.e., data transmission
`can be scheduled to span one or multiple slots. At least for single carrier operation, NR should allow a UE to operate in
`a way where it receives at least downlink control information in a first RF bandwidth and where the UE is not expected
`to receive in a second RF bandwidth that is larger than the first RF bandwidth within less than X µs.The number of
`subcarriers per PRB is 12.
`
`5.4 LTE-NR Co-existence
`To support the efficient coexistence between NR and LTE operating in the same licensed frequency band, at least
`legacy LTE features should be considered in the NR study, e.g.:
`- MBSFN configuration (for LTE Rel-8 and beyond)
`- TDD UL subframe (for LTE Rel-8 and beyond)
`- SCell activation/deactivation (for LTE Rel-10 and beyond)
`- TDD UL subframe configured by eIMTA feature (for LTE Rel-12 and beyond)
`
`DL concepts
`6
`Editor’s notes: FDD and TDD, and licensed and unlicensed bands will be considered. If there are specific transmission
`schemes or technical features for the specific usage case, new section(s) and/or subsection(s) will be created.
`
`
`
`Basic transmission scheme
`6.1
`The downlink transmission scheme is based on OFDM.
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`Commented [T7]: [Editor's note] Nnot precluding other
`constellation mappings. Note that there might be possibility
`to exclude some of above constellation mapping based on the
`further study
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`Commented [T8]: TBD [12 or 16 ]
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`Commented [T9]: [Editor's note] Mulitplexing different
`numerologies are catpured in this sub-section.
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`Commented [T10]: [Editor's note]RB is modified to PRB
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`6.1.1 Modulation scheme
`QPSK, 16QAM, 64QAM and 256QAM (with the same constellation mapping as in LTE) are supported.
`
`Physical layer channel
`6.1.2
`NR defines physical resource block (PRB) where the number of subcarriers per PRB is the same for all numerologies.
`
`Physical resource multiplexing
`6.1.2.1
`Multiplexing different numerologies within a same NR carrier bandwidth (from the network perspective) is supported in
`TDM and/or FDM manner for both downlink and uplink. From UE perspective, multiplexing different numerologies is
`2 m
`performed in TDM and/or FDM manner within/across (a) subframe duration(s). For subcarrier spacing of
`kHz,
`15
`subcarriers are mapped on the subset/superset of those for subcarrier spacing of 15kHz in a nested manner in the
`frequency domain and the PRB grids are defined as the subset/superset of the PRB grid for subcarrier spacing of 15kHz
`in a nested manner in the frequency domain.
`
`From network perspective, multiplexing of transmissions with different latency and/or reliability requirements for
`eMBB/URLLC in DL is supported by using the same subcarrier spacing with the same CP overhead or using different
`subcarrier spacing. In the specification, both approaches are to be supported. NR supports dynamic resource sharing
`between different latency and/or reliability requirements for eMBB/URLLC in DL.
`
`
`
`6.1.2.1
`
`Data channel
`
` Control channel
`6.1.2.2
`In frequency-domain, a PRB (or a multiple of PRBs) is the resource unit size (may or may not including DM-RS) for
`control channel. A DL control channel can be mapped on one or more NR-CCEs where an NR-CCE includes an
`positive integer number of PRBs. This is at least for the case where the DL control region consists of one or a few
`OFDM symbol(s) of a slot or a mini-slot.
`
`In the frequency-domain aspects, a UE monitors for downlink control information in one or more “control subband”
`where a “control subband” is smaller than or equal to the carrier bandwidth (up to a certain limit) and consists of an
`integer number of RBs/PRBs in the frequency domain. This does not preclude that UE may receive additional control
`information elsewhere within or outside the control subband in the same or different OFDM symbol(s). UE-specific DL
`control information monitoring occasions at least in time domain can be configured.
`
`From gNB perspective, DL control channel can be located at the first OFDM symbol(s) in a slot and/or mini-slot
`
`UE/NR-PDCCH-specific DM-RS and shared/common RS are supported for NR-PDCCH reception. At least for
`beamforming, UE may assume the same precoding operation for NR-PDCCH and associated DM-RS for NR-PDCCH.
`
`Transmit diversity supported.
`
`6.1.3 Waveform
`OFDM-based waveform is supported. At least up to 40 GHz for eMBB and URLLC services, CP-OFDM based
`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%.
`
`6.1.4 Multiple access scheme
`Synchronous/scheduling-based orthogonal multiple access is at least supported for DL transmissions, at least targeting
`for eMBB.
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`Commented [T11]: [Editor's note]
`-FFS until RAN1#87 one of Polar, LDPC, Turbo is
`supported for information block size of eMBB data <= X
`oThe selection will focus on all categories of observation,
`including overall implementation complexity, regardless of
`the number of coding schemes in the resulting solution
`(except if other factors are generally roughly equal)
`-The value of X is FFS until RAN1#87, 128 <= X <= 1024
`bits, taking complexity into account
`-