4 General

38.521-43GPPNRPart 4: PerformanceRadio transmission and receptionRelease 17TSUser Equipment (UE) conformance specification

Tools: ARFCN - Frequency Conversion for 5G NR/LTE/UMTS/GSM

4.1 Relationship between minimum requirements and test requirements

TS 38.101-4 [5] is a Single-RAT and interwork specification for NR UE, covering minimum performance requirements of both conducted and radiated requirements. Conformance to the TS 38.101-4 [5] is demonstrated by fulfilling the test requirements specified in the present document.

The Minimum Requirements given in TS 38.101-4 [5]makes no allowance for measurement uncertainty (MU). The present document defines test tolerances (TT). These test tolerances are individually calculated for each test. The test tolerances are used to relax the minimum requirements in TS 38.101-4 [5] to create test requirements. For some requirements, including regulatory requirements, the test tolerance is set to zero.

The measurement results returned by the test system are compared – without any modification – against the test requirements as defined by various levels of "Shared Risk" principle as described below

a) Core specification value is not relaxed by any relaxation value (TT=0). For each single measurement, the probability of a borderline good UE being judged as FAIL equals the probability of a borderline bad UE being judged as PASS.

– Test tolerances equal to 0 (TT=0) are considered in this specification.

b) Core specification value is relaxed by a relaxation value (TT>0). For each single measurement, the probability of a borderline bad UE being judged as PASS is greater than the probability of a borderline good UE being judged as FAIL.

– Test tolerances lower than measurement uncertainty and greater than 0 (0 < TT < MU) are considered in this specification.

– Test tolerances high up to measurement uncertainty (TT = MU) are considered in this specification which is also known as “Never fail a good DUT” principle.

c) Core specification value is tightened by a stringent value (TT<0). For each single measurement, the probability of a borderline good UE being judged as FAIL is greater than the probability of a borderline bad UE being judged as PASS.

Test tolerances lower than 0 (TT<0) are not considered in this specification..

The “Never fail a good DUT” and the “Shared Risk” principles are defined in Recommendation ITU‑R M.1545 [18].

4.2 Applicability of minimum requirements

The applicability of each requirement is described under each clause in 5.1, 6.1, 7.1, 8.1, 9.1 and 10.1 of TS 38.101-4.

The conducted minimum requirements specified in the present document shall be met in all applicable scenarios for FR1. The radiated minimum requirements specified in the present document shall be met in all applicable scenarios for FR2. The interwork minimum requirement specified in the present document shall be met in all applicable scenarios for NR interworking operation.

All minimum performance requirements defined in Sections 5-8 are applicable to NR/5GC, EN-DC and NE-DC unless otherwise explicitly stated in Section 9 and 10.

All minimum performance requirements defined in Sections 5-10 are applicable to all UE power classes unless otherwise stated.

For radiated minimum requirements specified in the specification, if maximum achievable SNR in the TE chamber for certain test conditions is less than the defined SNR requirement for those tests, those tests will not be tested.

4.3 Specification suffix information

Unless stated otherwise the following suffixes are used for indicating at 2^nd level clause, shown in table 4.3-1.

Table 4.3-1: Definition of suffixes

Clause suffix	Variant
None	Single Carrier
A	Carrier Aggregation (CA)
B	Dual-Connectivity (DC)
C	Supplement Uplink (SUL)

A terminal which supports the above features needs to meet the requirement defined in the additional clause (suffix A, B, C) in clauses 5, 6, 7, 8, 9, 10.

4.4 Conducted requirements

4.4.0 Introduction

The requirements are defined for the following modes:

– Mode 1: Conditions with external noise source

– Wanted signal with power level Es is transmitted.

– External white noise source with power spectral density Noc is used.

– Es and Noc levels are selected to achieve target SNR as described in Clause 4.4.2.

– Mode 2: Noise free conditions

– Wanted signal with power level Es is transmitted.

– No external noise transmitted.

4.4.1 Reference point

The reference point for SNR, Es and Noc of DL signal is the UE antenna connector or connectors.

4.4.2 SNR definition

For Mode 1 conditions conducted UE demodulation and CSI requirements, the SNR is defined as:

Where:

– N_RX denotes the number of receiver antenna connectors and the superscript receiver antenna connector j.

– The above SNR definition assumes that the REs are not precoded, and does not account for any gain which can be associated to the precoding operation.

– Unless otherwise stated, the SNR refers to the SSS wanted signal.

– The downlink SSS transmit power is defined as the linear average over the power contributions in [W] of all resource elements that carry the SSS within the operating system bandwidth.

– The power ratio of other wanted signals to the SSS is defined in clause C.3.1..

4.4.3 Noc

4.4.3.1 Introduction

This clause describes the Noc power level for Mode 1 conditions conducted testing of demodulation and CSI requirements.

Unless otherwise stated for CA and EN-DC testing, the same Noc level shall be provided on different component carriers.

4.4.3.2 Noc for NR operating bands in FR1

The Noc power spectrum density shall be larger or equal to the minimum Noc power level for each operating band supported by the UE as defined in clause 4.4.3.2.1.

Unless otherwise stated, a fixed Noc power level of -134 dBm/Hz shall be used for all operating bands.

4.4.3.2.1 Derivation of Noc values for NR operating bands in FR1

The minimum Noc power level for an operating band, subcarrier spacing and channel bandwidth is derived based on the following equation:

Noc_{Band_X, SCS_Y, CBW_Z} = REFSENS_{Band_X, SCS_Y, CBW_Z} – 10*log10(12*SCS_Y*nPRB) + D – SNR_REFSENS + ∆_thermal

where

– REFSENS_{Band_X, SCS_Y, CBW_Z} is the REFSENS value in dBm for Band X, SCS Y and CBW Z specified in Table 7.3.2-1 of TS 38.101-1 [2]

– 12 is the number of subcarriers in a PRB

– SCS Y is the subcarrier spacing associated with the REFSENS value

– nPRB is the maximum number of PRB for SCS Y and CBW Z associated with the REFSENS value, and is specified in Table 5.3.2-1 of TS 38.101-1 [2]

– D is diversity gain equal to 3 dB

– SNR_REFSENS = -1 dB is the SNR used for simulation of REFSENS

– ∆_thermal is the amount of dB that the wanted noise is set above UE thermal noise, giving a defined rise in total noise. ∆_thermal = 16dB, giving a rise in total noise of 0.1dB, regarded as insignificant.

The calculated Noc value for the baseline of Band n12, 15 kHz SCS, 15 MHz CBW is -135.5 dBm/Hz.

An allowance of 1.5dB is made for CA and for future bands, giving an Noc power level of -134 dBm/Hz.

4.4.4 Es

4.4.4.1 Introduction

This clause describes the Es power level for Mode 2 conditions conducted testing of demodulation and CSI requirements.

Unless otherwise stated for CA and EN-DC testing, the same Es level shall be provided on different component carriers.

4.4.4.2 Es for NR operating bands in FR1

The Es power spectrum density shall be larger or equal to the minimum Es power level for each operating band supported by the UE as defined in Clause 4.4.4.2.1.

Unless otherwise stated, a fixed Es power level of -112 dBm/Hz shall be used for all operating bands.

4.4.4.2.1 Derivation of Es values for NR operating bands in FR1

The minimum Es power level for an operating band, subcarrier spacing and channel bandwidth is derived based on the following equation:

Es_{Band_X, SCS_Y, CBW_Z} = REFSENS_{Band_X, SCS_Y, CBW_Z} – 10*log10(12*SCS_Y*nPRB) + D – SNR_REFSENS + dB_EVM+∆_thermal

where:

– REFSENS_{Band_X, SCS_Y, CBW_Z} is the REFSENS value in dBm for Band X, SCS Y and CBW Z specified in Table 7.3.2-1 of TS 38.101-1 [2]

– 12 is the number of subcarriers in a PRB

– SCS Y is the subcarrier spacing associated with the REFSENS value

– nPRB is the maximum number of PRB for SCS Y and CBW Z associated with the REFSENS value, and is specified in Table 5.3.2-1 of TS 38.101-1 [2]

– D is diversity gain equal to 3 dB

– SNR_REFSENS = -1 dB is the SNR used for simulation of REFSENS

– dB_EVM is the SNR of the applied signal due to EVM impairment on the wanted Es. An allowed EVM of 3% gives a dB_EVM of 30.5dB, derived as 20*log10(1/0.03).

– ∆_thermal is the amount of dB that the impairment due to EVM on the wanted Es is set above UE thermal noise, giving a defined rise in total impairment. ∆_thermal = 7.6dB, giving a rise in total impairment of 0.7dB, regarded as acceptable.

The calculated Es value for the baseline of Band n12, 15kHz SCS, 15MHz CBW is -113.5 dBm/Hz.

An allowance of 1.5dB is made for CA and for future bands, giving an Es power level of -112 dBm/Hz.

4.5 Radiated requirements

4.5.0 Introduction

The requirements are defined for the following modes:

– Mode 1: conditions with external noise source

– Wanted signal with power level Es is transmitted.

– External white noise source with power spectral density Noc is used.

– Es and Noc levels are selected to achieve target SNR as described in Clause 4.5.2.

– Mode 2: Noise free conditions

– Wanted signal with power level Es is transmitted.

– No external noise transmitted.

4.5.1 Reference point

The reference point for SNR, Es and Noc of DL signal from the UE perspective is the input of UE antenna array.

Figure 4.5.1-1: Reference point for radiated Demodulation and CSI requirements

4.5.2 SNR definition

For Mode 1 conditions UE demodulation and CSI requirements, the Minimum performance requirement in clause 7, 8, 9 and 10 are defined relative to the baseband SNR level SNR_BB.The SNR at the reference point is defined as

SNR = SNR_BB + ∆_BB

where ∆_BBis specified in clause 4.5.3.

The reference point SNR is defined as:

– N_RX denotes the number of receiver reference points, and the super script receiver reference point j.

– The above SNR definition assumes that the REs are not precoded, and does not account for any gain which can be associated to the precoding operation.

– Unless otherwise stated, the SNR refers to the SSS wanted signal.

– The downlink SSS transmit power is defined as the linear average over the power contributions in [W] of all resource elements that carry the SSS within the operating system bandwidth.

– The power ratio of other wanted signals to the SSS is defined in clause C.3.1.

4.5.3 Noc

4.5.3.1 Introduction

For Mode 1 conditions radiated testing of demodulation and CSI requirements it is not feasible in practice to use signal levels high enough to make the noise contribution of the UE negligible. Demodulation requirements are therefore specified with the applied noise higher than the UE peak EIS level in TS 38.101-2 [3] by a defined amount, so that the impact of UE noise floor is limited to no greater than a value ∆_BB at the specified Noc level. As UEs have EIS levels that are dependent on operating band and power class, Noc level is dependent on operating band and power class.

The Noc power level for test case execution shall be further increased by 5.19dB for UE power class 3 on top of the Noc power level defined in 4.5.3.2.

4.5.3.2 Noc for NR operating bands in FR2

Values for Noc according to operating band and power class for single carrier requirements are specified in Table 4.5.3.2-1 for ∆_BB =1dB.

Table 4.5.3.2-1: Noc power level for different UE power classes and frequency bands

Operating band	UE Power class
Operating band	1	2	3	4
n257	-166.8	-163.8	-157.6	-166.3
n258	-166.8	-163.8	-157.6	-166.3
n260	-163.8		-155.0	-164.3
n261	-166.8	-163.8	-157.6	-166.3
Note 1: Noc levels are specified in dBm/Hz

For PC3 multi-band devices, the Noc power level (Noc_MB) shall increase by multi-band relaxation defined in TS 38.101-2 [3] Table 6.2.1.3-4.

Noc_MB = Noc_SB + ΣMB_P

– Noc_SB is the Noc defined in Table 4.5.3.2-1

– ΣMB_P values are specified in TS 38.101-2 [3].

For CA case, the Noc power level (Noc_CA) shall increase by a relaxation factor defined in TS 38.101-2 [3] Table 7.3A.2.1-1:

Noc_CA = Noc_SC + ΔR_IB

– Noc_SC is derived by assuming UE supports single carrier.

– ΔR_IB values are specified in TS 38.101-2 [3].

4.5.3.3 Derivation of Noc values for NR operating bands in FR2

The Noc values in Table 4.5.3.2-1 are based on REFSENS for the operating band and on the UE Power class, and taking a baseline of UE Power class 3 in Band n260.

Noc = REFSENS_{PC3, n260, 50MHz} -10Log₁₀(SCS_REFSENS x PRB_REFSENS x 12) – SNR_REFSENS + ∆_thermal

where:

– REFSENS_{PC3, n260, 50MHz} is the REFSENS value in dBm specified for Power Class 3 UE in Band n260 for 50MHz Channel bandwidth in TS 38.101-2 [3] Table 7.3.2.3-1.

– SCS_REFSENS is a subcarrier spacing associated with N_RB for 50MHz in TS 38.101-2 [3] Table 5.3.2-1, chosen as 120 kHz.

– PRB_REFSENS is N_RB associated with subcarrier spacing 120 kHz for 50MHz in TS 38.101-2 [3] Table 5.3.2-1 and is 32.

– 12 is the number of subcarriers in a PRB

– SNR_REFSSENS = -1 dB is the SNR used for simulation of R EFSENS.

– ∆_thermal is the amount of dB that the wanted noise is set above UE thermal noise, giving a rise in total noise of ∆_BB. ∆_thermal = 6 dB, giving a rise in total noise of 1 dB.

The calculated Noc value for the baseline of UE Power class 3 in Band n260 is rounded to -155 dBm/Hz.

The following methodology to define the Noc level for UE power class X (PC_X) and operating band Y (Band_Y) is used for the single carrier case and single band devices:

Noc(PC_X, Band_Y) = -155 dBm/Hz + REFSENS_{PC_X, Band_Y, 50MHz} – REFSENS_{PC3, n260, 50MHz}

where REFSENSvalues are specified in TS 38.101-2 [3].

4.5.4 Angle of arrival

Unless otherwise stated, the downlink signal and noise are aligned to arrive in the UE Rx beam peak direction as defined in TS 38.101-2 [3].

4.5.5 Es

For Mode 2 the test system shall transmit the wanted signal with power level Es which is the best achievable power level by the test system.

The test system shall be able to determine achievable Es level and the maximum achievable SNR level

4.6 Test coverage across 5G NR connectivity options

The test cases in the present document cover both NR/5GC (including FR1+FR2 CA or FR1+FR2 NR-DC) as well as EN-DC, NE-DC and NGEN-DC testing. Below shall be the understanding with respect to coverage across 5G NR connectivity options:

1) Unless otherwise stated within the test case, it shall be understood that test requirements are agnostic of the NR/5GC, EN-DC, NE-DC and NGEN-DC connectivity options configured within the test. The test coverage across the NR/5GC, EN-DC, NE-DC and NGEN-DC connectivity options shall be considered fulfilled by executing the test case in one of these connectivity options.

2) Except for sustained data rate test cases, NR/5GC, EN-DC, NE-DC and NGEN-DC connectivity option types are utilized in the definition of each test case within this test specification. NR/5GC is the default connectivity option if supported.

Editor’s Note: Generic procedure parameter to be used in Initial Conditions for NE-DC and NGEN-DC is FFS

3) If UE supports NR/5GC in addition to other connectivity options, it suffices to test the requirements using NR/5GC connectivity option for all test cases. Additionally for sustained data rate test case, if UE supports EN-DC and NE-DC, test coverage is fulfilled by testing the UE using EN-DC connectivity option.

Table 4.6-1: Void

Table 4.6-2: Void