1、 ETSI TR 138 912 V14.0.0 (2017-05) 5G; Study on New Radio (NR) access technology (3GPP TR 38.912 version 14.0.0 Release 14) TECHNICAL REPORT ETSI ETSI TR 138 912 V14.0.0 (2017-05)13GPP TR 38.912 version 14.0.0 Release 14Reference DTR/TSGR-0038912ve00 Keywords NR ETSI 650 Route des Lucioles F-06921 S
2、ophia Antipolis Cedex - FRANCE Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16 Siret N 348 623 562 00017 - NAF 742 C Association but non lucratif enregistre la Sous-Prfecture de Grasse (06) N 7803/88 Important notice The present document can be downloaded from: http:/www.etsi.org/standards-search The
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7、e foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2017. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTMand the ETSI logo are Trade Marks of ETSI registered for the benefit of its Members. 3GPPTM and LTE are Trade Marks of ETSI registered fo
8、r the benefit of its Members and of the 3GPP Organizational Partners. oneM2M logo is protected for the benefit of its Members GSM and the GSM logo are Trade Marks registered and owned by the GSM Association. ETSI ETSI TR 138 912 V14.0.0 (2017-05)23GPP TR 38.912 version 14.0.0 Release 14Intellectual
9、Property Rights IPRs essential or potentially essential to the present document may have been declared to ETSI. The information pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found in ETSI SR 000 314: “Intellectual Property Rights (IPRs
10、); Essential, or potentially Essential, IPRs notified to ETSI in respect of ETSI standards“, which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web server (https:/ipr.etsi.org/). Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been c
11、arried out by ETSI. No guarantee can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become, essential to the present document. Foreword This Technical Report (TR) has been produced by ETSI 3rd Generati
12、on Partnership Project (3GPP). The present document may refer to technical specifications or reports using their 3GPP identities, UMTS identities or GSM identities. These should be interpreted as being references to the corresponding ETSI deliverables. The cross reference between GSM, UMTS, 3GPP and
13、 ETSI identities can be found under http:/webapp.etsi.org/key/queryform.asp. Modal verbs terminology In the present document “should“, “should not“, “may“, “need not“, “will“, “will not“, “can“ and “cannot“ are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for
14、 the expression of provisions). “must“ and “must not“ are NOT allowed in ETSI deliverables except when used in direct citation. ETSI ETSI TR 138 912 V14.0.0 (2017-05)33GPP TR 38.912 version 14.0.0 Release 14Contents Intellectual Property Rights 2g3Foreword . 2g3Modal verbs terminology 2g3Foreword .
15、7g31 Scope 8g32 References 8g33 Definitions, symbols and abbreviations . 9g33.1 Definitions 9g33.2 Symbols 9g33.3 Abbreviations . 9g34 Introduction 10g35 Deployment scenario 10g36 Forward compatibility 12g37 Radio interface protocol architecture for next generation radio . 12g37.1 User plane . 12g37
16、.1.1 User plane protocol stack for NR 12g37.1.2 Bearer types for Dual Connectivity between LTE and NR . 12g37.2 Control plane 14g37.2.1 Control plane protocol stack for NR . 14g37.2.2 Control plane architecture for Dual Connectivity between LTE and NR . 14g37.2.2.1 UE capability coordination between
17、 LTE and NR 15g38 Physical layer for next generation radio . 16g38.1 Numerologies and frame structure . 16g38.2 Downlink transmission scheme 18g38.2.1 Basic transmission scheme . 18g38.2.1.1 Modulation scheme . 18g38.2.1.2 Physical layer channel . 18g38.2.1.2.1 Physical resource multiplexing 18g38.2
18、.1.2.2 Data channel 18g38.2.1.2.3 Control channel . 19g38.2.1.3 Waveform 19g38.2.1.4 Multiple access scheme . 20g38.2.1.5 Channel coding . 20g38.2.1.5.1 LDPC . 20g38.2.1.5.2 Polar coding . 21g38.2.1.6 Multi-antenna scheme . 21g38.2.1.6.1 Beam management 21g38.2.1.6.2 MIMO schemes . 24g38.2.1.6.3 CSI
19、 measurement and reporting 24g38.2.1.6.4 Reference signal related to multi-antenna scheme. 28g38.2.1.6.4.1 CSI-RS . 28g38.2.1.6.4.2 DM-RS. 29g38.2.1.6.4.3 Phase-tracking RS (PT-RS) . 29g38.2.1.6.5 Quasi-colocation (QCL) 29g38.2.1.6.6 Network coordination and advanced receiver . 30g38.2.2 Physical la
20、yer procedure . 30g38.2.2.1 Scheduling . 30g38.2.2.2 HARQ . 30g38.2.2.3 Initial access and mobility . 31g38.2.2.3.1 Synchronization signal and DL broadcast signal/channel structure 31g38.2.2.3.2 Mobility . 32g3ETSI ETSI TR 138 912 V14.0.0 (2017-05)43GPP TR 38.912 version 14.0.0 Release 148.2.2.3.3 P
21、aging 32g38.3 Uplink transmission scheme . 32g38.3.1 Basic transmission scheme . 32g38.3.1.1 Modulation scheme . 32g38.3.1.2 Physical layer channel . 32g38.3.1.2.1 Data channel 32g38.3.1.2.2 Control channel . 33g38.3.1.3 Waveform 34g38.3.1.4 Multiple access scheme . 34g38.3.1.5 Channel coding . 34g3
22、8.3.1.5.1 LDPC . 34g38.3.1.5.2 Polar coding . 34g38.3.1.6 Multi-antenna scheme . 35g38.3.1.6.1 Beam management and CSI acquisition 35g38.3.1.6.2 MIMO schemes . 35g38.3.1.6.3 Reference signal related to multi-antenna scheme. 36g38.3.1.6.3.1 SRS 36g38.3.1.6.3.2 PT-RS 37g38.3.2 Physical channel procedu
23、re. 37g38.3.2.1 Random access procedure . 37g38.3.2.1.1 Preamble 37g38.3.2.1.2 Procedure . 38g38.3.2.2 Scheduling . 38g38.3.2.3 Power control 39g38.3.2.4 HARQ . 39g38.4 Duplexing . 39g38.5 LTE-NR Co-existence 39g38.6 Carrier Aggregation / Dual Connectivity . 40g39 Layer 2 and RRC for next generation
24、 radio . 40g39.1 Overview of Layer 2 functions . 40g39.2 MAC Sublayer 42g39.3 RLC Sublayer . 42g39.4 PDCP Sublayer . 42g39.5 New AS sublayer 43g39.6 Overview of Layer 2 data flow . 43g39.7 Numerologies and TTI durations 43g39.8 RRC 44g39.8.1 Functions 44g39.8.2 UE states and state transitions. 44g39
25、.8.2.1 RAN-based notification are management . 46g39.8.3 System information handling 46g39.8.3.1 Dual Connectivity between LTE and NR 47g39.8.4 Measurements . 47g39.8.4.1 Dual Connectivity between LTE and NR 47g39.8.5 Access control . 48g39.8.6 UE capability retrieval framework 48g310 Architecture f
26、or next generation RAN . 48g310.1 RAN-CN functional split 48g310.2 Overall architecture 49g310.3 Interfaces 50g310.3.1 RAN-CN interface 50g310.3.1.1 General principles . 50g310.3.1.2 NG Interface Functions . 50g310.3.1.3 NG Interface Architecture. 51g310.3.1.4 NG Control Plane 51g310.3.1.5 NG User P
27、lane 51g310.3.2 RAN internal interface 52g310.3.2.1 Xn Interface. 52g310.3.2.1.1 General principles 52g310.3.2.1.2 Xn Interface Functions 52g3ETSI ETSI TR 138 912 V14.0.0 (2017-05)53GPP TR 38.912 version 14.0.0 Release 1410.3.2.1.3 Xn Control Plane . 53g310.3.2.1.4 Xn User Plane 53g311 QoS . 54g311.
28、1 QoS architecture in NR and NextGen Core 54g311.2 Dual Connectivity between LTE and NR via EPC . 56g312 Support for Network Slicing 56g313 Key higher layer and network procedures 56g313.1 Initial access . 56g313.1.1 Cell selection 56g313.1.2 Random access procedure . 57g313.2 Mobility 57g313.2.1 In
29、tra-RAT . 57g313.2.1.1 UE based mobility . 57g313.2.1.1.1 Cell reselection 57g313.2.1.1.2 Paging 58g313.2.1.2 Network controlled mobility . 58g313.2.2 Inter-RAT . 59g313.2.3 Mobility related to Dual Connectivity between LTE and NR 61g313.3 Dual Connectivity between NR and LTE . 62g313.3.1 General 62
30、g313.3.2 Option 3/3a/3x 62g313.3.2.1 General principles for Xx interface . 62g313.3.2.2 Architectural aspects . 62g313.3.2.3 Procedural aspects . 63g313.3.3 Option 4/4a . 63g313.3.3.1 Architectural aspects . 63g313.3.3.2 Procedural aspects. 64g313.3.4 Option 7/7a/7x 64g313.3.4.1 Architectural aspect
31、s . 64g313.3.4.2 Procedural aspects. 65g313.4 PDU Session Management . 65g313.4.1 Session Setup 65g313.4.2 Session Modification 66g313.4.3 Session Release . 66g314 Radio transmission/reception . 67g314.1 Potential spectrum 67g314.2 Co-existence consideration . 68g314.3 UE/BS RF feasibility 68g314.3.
32、1 Common requirements for UE and BS . 68g314.3.1.1 Subcarrier spacing. 69g314.3.1.2 Maximum channel bandwidth . 69g314.3.1.3 Flexible channel bandwidth 69g314.3.1.4 UE transmission bandwidth configuration adaptation 69g314.3.1.5 Spectrum Utilization . 70g314.3.2 UE RF requirements . 70g314.3.2.1 Wid
33、e frequency range of up to 52.6 GHz handling . 70g314.3.2.2 Stand-Alone and Non-Stand-Alone perspective . 70g314.3.2.3 Multiple numerologies within one carrier . 71g314.3.3 BS RF requirements 71g314.3.3.1 Wide frequency range of up to 52.6 GHz handling . 71g314.3.3.2 Multiple numerologies within one
34、 carrier . 72g314.3.3.3 Beam related NR BS specific requirement 72g315 Conclusions 72g3Annex A: SI description for Study on New Radio (NR) Access Technology 73g3Justification . 73g3Objective of SI 73g3Impacts 75g3ETSI ETSI TR 138 912 V14.0.0 (2017-05)63GPP TR 38.912 version 14.0.0 Release 14Annex B:
35、 Change history 75g3History 76g3ETSI ETSI TR 138 912 V14.0.0 (2017-05)73GPP TR 38.912 version 14.0.0 Release 14Foreword 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
36、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: Version x.y.z where: x the first digit: 1 presented to TSG for informat
37、ion; 2 presented to TSG for approval; 3 or greater indicates TSG approved document under change control. y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections, updates, etc. z the third digit is incremented when editorial only changes have been inco
38、rporated in the document. ETSI ETSI TR 138 912 V14.0.0 (2017-05)83GPP TR 38.912 version 14.0.0 Release 141 Scope This document is intended to gather all technical outcome of the study item “Next Generation New Radio (NR) Access Technology“ (see Annex A). This activity involves the Radio Access work
39、area of the 3GPP studies and has impacts both on the Mobile Equipment and Access Network of the 3GPP systems. 2 References The following documents contain provisions which, through reference in this text, constitute provisions of the present document. - References are either specific (identified by
40、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 im
41、plicitly refers to the latest version of that document in the same Release as the present document. 1 3GPP TR 21.905: “Vocabulary for 3GPP Specifications“. 2 Void. 3 Void. 4 Void. 5 Void. 6 Void. 7 3GPP TS 36.304: “Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE) procedures i
42、n idle mode“. 8 3GPP TS 36.331: “Evolved Universal Terrestrial Radio Access (E-UTRA); Radio Resource Control (RRC); Protocol specification“. 9 3GPP TR 38.913: “Study on Scenarios and Requirements for Next Generation Access Technologies“. 10 3GPP TS 36.401: “Evolved Universal Terrestrial Radio Access
43、 Network (E-UTRAN); Architecture description“. 11 Void. 12 3GPP TS 36.300: “Evolved Universal Terrestrial Radio Access (E-UTRA) and Evolved Universal Terrestrial Radio Access Network (E-UTRAN); Overall description; Stage 2“. 13 3GPP TS 36.423: “Evolved Universal Terrestrial Radio Access Network (E-U
44、TRAN); X2 application protocol (X2AP)“. ETSI ETSI TR 138 912 V14.0.0 (2017-05)93GPP TR 38.912 version 14.0.0 Release 143 Definitions, symbols and abbreviations 3.1 Definitions For the purposes of the present document, the terms and definitions given in 3GPP TR 21.905 1 and the following apply. A ter
45、m defined in the present document takes precedence over the definition of the same term, if any, in 3GPP TR 21.905 1. example: text used to clarify abstract rules by applying them literally. Multi-Connectivity: Mode of operation whereby a multiple Rx/Tx UE in the connected mode is configured to util
46、ise radio resources amongst E-UTRA and/or NR provided by multiple distinct schedulers connected via non-ideal backhaul. NextGen Core: (=NGC) Core Network for Next Generation System. NG: The interface between a gNB and a NextGen Core. NR-PSS/SSS: Primary and Secondary synchronisation signal for NR. T
47、ransmission Reception Point: Antenna array with one or more antenna elements available to the network located at a specific geographical location for a specific area. 3.2 Symbols For the purposes of the present document, the following symbols apply: KeNBeNB key LTB,CRC Number of bits for TB-level CR
48、C(Cyclic Redundancy Check) before code block segmentation S-KeNBSeNB key Ts Basic time unit 3.3 Abbreviations 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 defin
49、ition of the same abbreviation, if any, in 3GPP TR 21.905 1. AAS Active Antenna array System CB Code Block CBG Code Block Group CBW Channel BandWidth CC Chase Combining, Component Carrier CCE Control Channel Element CP Cyclic Prefix, Control Plane CSI-RS Channel State Information DC Dual Connectivity DCI Downlink Control Information DM-RS DeModulation-Reference SignaleIMTA Enhanced Interference Management and Traffic Adaptation EIRP Equivalent Isotropically Radiated Power eMBB Enhanced Mobile BroadBand eV2X Enhanced Vehicule to Everything g
