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An Introduction to 5G - The New Radio, 5G Network and Beyond
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Table of Contents

Preface xxi

Acknowledgements xxiii

List of Abbreviations xxv

1 Introduction 1

1.1 Architecture of a Mobile Telecommunication System 1

1.1.1 High-level Architecture 1

1.1.2 Internal Architecture of the Mobile 2

1.1.3 Architecture of the Radio Access Network 2

1.1.4 Coverage and Capacity 3

1.1.5 Architecture of the Core Network 4

1.1.6 Communication Protocols 4

1.2 History of Mobile Telecommunications 5

1.2.1 Introduction 5

1.2.2 Global System for Mobile Communications (GSM) 6

1.2.3 Universal Mobile Telecommunication System (UMTS) 6

1.2.4 Long-term Evolution (LTE) 7

1.2.5 LTE-Advanced 8

1.2.6 LTE-Advanced Pro 8

1.2.7 Other Mobile Communication Systems 9

1.3 The Mobile Telecommunication Market 9

1.3.1 Traffic Levels 9

1.3.2 Numbers of Subscriptions 10

1.3.3 Operator Revenue 10

1.4 Use Cases and Markets for 5G 11

1.4.1 5G Research Projects 11

1.4.2 Enhanced Mobile Broadband 11

1.4.3 Massive Machine-type Communications 12

1.4.4 Ultra-reliable Low-latency Communication 13

1.4.5 Vehicle-to-everything Communication 14

1.4.6 Network Operation 15

1.5 Technical Performance Requirements 15

1.6 Technologies for 5G 16

1.6.1 Network Function Virtualization 16

1.6.2 Software-defined Networking 17

1.6.3 Network Slicing 18

1.6.4 Technologies for the Air Interface 19

1.7 The 3GPP Specifications for 5G 19

1.8 Architecture of 5G 21

1.8.1 High-level Architecture 21

1.8.2 Architectural Options 22

References 25

2 Architecture of the Core Network 29

2.1 The Evolved Packet Core 29

2.1.1 Release 8 Architecture 29

2.1.2 Control and User Plane Separation 30

2.2 The 5G Core Network 31

2.2.1 Representation Using Reference Points 31

2.2.2 Representation Using Service-based Interfaces 32

2.2.3 Data Transport 33

2.2.4 Roaming Architectures 34

2.2.5 Data Storage Architectures 35

2.2.6 Non-3GPP Access to the 5G Core 37

2.3 Network Areas, Slices and Identities 37

2.3.1 Network Identities 37

2.3.2 Network Slices 38

2.3.3 AMF Areas and Identities 39

2.3.4 UE Identities 39

2.3.5 UE Registration Areas 39

2.4 State Diagrams 40

2.4.1 Registration Management 40

2.4.2 Connection Management 41

2.4.3 Non-3GPP Access 41

2.5 Signalling Protocols 41

2.5.1 Signalling Protocol Architecture 41

2.5.2 Example Signalling Procedures 42

2.6 The Hypertext Transfer Protocol 43

2.6.1 HTTP/1.1 and HTTP/2 43

2.6.2 Representational State Transfer 44

2.6.3 The HTTP/2 Data Layer 45

2.6.4 JavaScript Object Notation (JSON) 46

2.7 Example Network Function Services 47

2.7.1 Network Function Service Registration 47

2.7.2 Network Function Service Discovery 48

2.7.3 Network Function Service Subscription and Notification 49

References 50

3 Architecture of the Radio Access Network 55

3.1 The Evolved UMTS Terrestrial Radio Access Network 55

3.1.1 Release 8 Architecture 55

3.1.2 Carrier Aggregation 56

3.1.3 Dual Connectivity 57

3.2 The Next-generation Node B 58

3.2.1 High Level Architecture 58

3.2.2 Internal Architecture 58

3.2.3 Deployment Options 59

3.3 Architectural Options 61

3.3.1 Multi-radio Dual Connectivity 61

3.3.2 Options 1 and 3 - EPC, E-UTRAN and MeNB 61

3.3.3 Options 5 and 7 - 5GC, NG-RAN and MeNB 62

3.3.4 Options 2 and 4 - 5GC, NG-RAN and MgNB 62

3.3.5 Data Transport 63

3.4 Network Areas and Identities 64

3.4.1 Tracking Areas 64

3.4.2 RAN Areas 65

3.4.3 Cell Identities 65

3.5 RRC State Diagram 65

3.5.1 5G State Diagram 65

3.5.2 Interworking with 4G 66

3.6 Signalling Protocols 67

3.6.1 Signalling Protocol Architecture 67

3.6.2 Signalling Radio Bearers 68

References 69

4 Spectrum, Antennas and Propagation 73

4.1 Radio Spectrum 73

4.1.1 Radio Waves 73

4.1.2 Use of Radio Spectrum 74

4.1.3 Spectrum Allocations for 5G 75

4.2 Antennas and Propagation 75

4.2.1 Antenna Gain 75

4.2.2 Radio Propagation in Free Space 77

4.2.3 Antenna Arrays for 5G 78

4.3 Radio Propagation Issues for Millimetre Waves 79

4.3.1 Diffraction and Reflection 79

4.3.2 Penetration Losses 80

4.3.3 Foliage Losses 80

4.3.4 Atmospheric Losses 82

4.4 Multipath, Fading and Coherence 83

4.4.1 Introduction 83

4.4.2 Angular Spread and Coherence Distance 83

4.4.3 Doppler Spread and Coherence Time 85

4.4.4 Delay Spread and Coherence Bandwidth 86

4.4.5 Channel Reciprocity 87

References 87

5 Digital Signal Processing 91

5.1 Modulation and Demodulation 91

5.1.1 Carrier Signal 91

5.1.2 Modulation 92

5.1.3 The Modulation Process 94

5.1.4 The Demodulation Process 95

5.1.5 Channel Estimation 96

5.1.6 Adaptive Modulation 96

5.2 Radio Transmission in a Mobile Cellular Network 97

5.2.1 Multiplexing and Multiple Access 97

5.2.2 FDD and TDD Modes 97

5.3 Orthogonal Frequency Division Multiple Access 98

5.3.1 Subcarriers 98

5.3.2 The OFDM Transmitter 99

5.3.3 The OFDM Receiver 101

5.3.4 The Fast Fourier Transform 102

5.3.5 Block Diagram of the OFDMA Downlink 103

5.3.6 Block Diagram of the OFDMA Uplink 104

5.4 Other Features of OFDMA 105

5.4.1 Frequency-specific Scheduling 105

5.4.2 Subcarrier Orthogonality 107

5.4.3 Inter-symbol Interference and the Cyclic Prefix 107

5.5 Signal-processing Issues for 5G 110

5.5.1 Power Consumption 110

5.5.2 Timing Jitter and Phase Noise 111

5.5.3 Choice of Symbol Duration and Subcarrier Spacing 111

5.6 Error Management 112

5.6.1 Forward Error Correction 112

5.6.2 Automatic Repeat Request 113

5.6.3 Hybrid ARQ 113

5.6.4 Hybrid ARQ Processes 114

5.6.5 Higher-layer Retransmissions 115

References 116

6 Multiple-antenna Techniques 117

6.1 Analogue Beam Selection 117

6.1.1 Spatial Filtering 117

6.1.2 Beam Steering 119

6.1.3 Beamwidth of the Antenna Array 120

6.1.4 Grating Lobes 121

6.1.5 Analogue Signal-processing Issues 121

6.1.6 Beam Management 122

6.2 Digital Beamforming 122

6.2.1 Precoding and Postcoding 122

6.2.2 Digital Signal-processing Issues 124

6.2.3 Diversity Processing 124

6.3 Spatial Multiplexing 125

6.3.1 Principles of Spatial Multiplexing 125

6.3.2 Matrix Representation 126

6.3.3 MIMO and Coherence 127

6.3.4 Uplink Multiple-user MIMO 127

6.3.5 Downlink Multiple-user MIMO 129

6.3.6 Management of Multiple-user MIMO 131

6.3.7 Single-user MIMO 131

6.3.8 Signal Processing for Single-user MIMO 132

6.3.9 Management of Single-user MIMO 134

6.4 Massive MIMO 135

6.4.1 Architecture 135

6.4.2 Received Signal Power 136

6.4.3 Energy Efficiency 136

6.4.4 Spectral Efficiency 137

6.5 Hybrid Beamforming 138

6.5.1 Partly Connected Architecture 138

6.5.2 Fully Connected Architecture 139

6.5.3 Millimetre Wave MIMO 140

6.6 Multiple Antennas at the Mobile 141

6.6.1 Architecture 141

6.6.2 Beam Management 142

References 143

7 Architecture of the 5G New Radio 145

7.1 Air Interface Protocol Stack 145

7.1.1 5G Protocol Stack 145

7.1.2 Dual Connectivity 147

7.1.3 Channels and Signals 147

7.1.4 Information Flows 148

7.2 Frequency Bands and Combinations 152

7.2.1 Frequency Bands 152

7.2.2 Band Combinations 154

7.2.3 Bandwidth Classes 155

7.3 Frequency Domain Structure 155

7.3.1 Numerologies 155

7.3.2 Transmission Bandwidth Configuration 156

7.3.3 Global and Channel Frequency Rasters 157

7.3.4 Common Resource Blocks 158

7.3.5 Bandwidth Parts 159

7.3.6 Virtual and Physical Resource Blocks 159

7.4 Time Domain Structure 160

7.4.1 Frame Structure 160

7.4.2 Timing Advance 161

7.4.3 TDD Configurations 162

7.4.4 Slot Format Combinations 163

7.4.5 Resource Grid 164

7.5 Multiple Antennas 164

7.5.1 Antenna Ports 164

7.5.2 Relationships Between Antenna Ports 165

7.6 Data Transmission 166

7.6.1 Transport Channel Processing 166

7.6.2 Physical Channel Processing 167

7.6.3 Analogue Processing 168

References 169

8 Cell Acquisition 173

8.1 Acquisition Procedure 173

8.1.1 Introduction 173

8.1.2 Non-standalone Operation 174

8.1.3 Standalone Operation 175

8.2 Resource Mapping 175

8.2.1 SS/PBCH Blocks 175

8.2.2 Transmission Frequency 175

8.2.3 Transmission Timing 177

8.3 Acquisition of the SS/PBCH Block 178

8.3.1 Primary Synchronization Signal 178

8.3.2 Secondary Synchronization Signal 179

8.3.3 Demodulation Reference Signal for the PBCH 179

8.3.4 Physical Broadcast Channel 179

8.4 System Information 179

8.4.1 Master Information Block 179

8.4.2 System Information Block 1 180

8.4.3 Other System Information Blocks 180

8.4.4 Transmission and Reception of the System Information 181

References 182

9 Random Access 183

9.1 Physical Random Access Channel 183

9.1.1 PRACH Formats 183

9.1.2 Generation of the PRACH Preamble 185

9.1.3 Resource Mapping 186

9.2 Random Access Procedure 187

9.2.1 Random Access Preamble 187

9.2.2 Random Access Response 188

9.2.3 Message 3 189

9.2.4 Contention Resolution 189

9.2.5 Contention-free Procedure 189

References 190

10 Link Adaptation 191

10.1 CSI Reference Signals 191

10.1.1 Transmission and Reception 191

10.1.2 Resource Mapping 192

10.1.3 CSI-RS Resources 193

10.1.4 CSI-RS Resource Sets 194

10.2 Channel State Information 195

10.2.1 Introduction 195

10.2.2 CSI-RS and SS/PBCH Block Resource Indicators 195

10.2.3 Layer 1 RSRP 195

10.2.4 Rank Indication 195

10.2.5 Precoding Matrix Indicator 195

10.2.6 Channel Quality Indicator 197

10.2.7 Layer Indicator 197

10.2.8 CSI Reporting 197

10.3 Physical Uplink Control Channel 199

10.3.1 Introduction 199

10.3.2 PUCCH Formats 199

10.3.3 PUCCH Resources 201

10.4 Sounding 201

10.4.1 Transmission and Reception 201

10.4.2 Resource Mapping 202

10.4.3 SRS Resources 202

References 204

11 Data Transmission and Reception 205

11.1 Introduction 205

11.1.1 Data Transmission Procedure 205

11.1.2 Downlink Control Information 206

11.1.3 Radio Network Temporary Identifiers 206

11.2 Transmission and Reception of the PDCCH 207

11.2.1 Transmission of the PDCCH 207

11.2.2 Control Resource Sets 209

11.2.3 Search Spaces 209

11.2.4 Reception of the PDCCH 210

11.3 Scheduling Messages 211

11.3.1 DCI Formats 0_0 and 1_0 211

11.3.2 Time Domain Resource Assignment 211

11.3.3 Frequency Domain Resource Assignment 213

11.3.4 Modulation and Coding Scheme 214

11.3.5 Other Fields 214

11.3.6 DCI Formats 0_1 and 1_1 215

11.4 Transmission and Reception of the PUSCH and PDSCH 215

11.4.1 Transport Channel Processing 215

11.4.2 Physical Channel Processing 216

11.4.3 Downlink MIMO 217

11.4.4 Uplink Codebook-based MIMO 218

11.4.5 Uplink Non-codebook-based MIMO 218

11.5 Reference Signals 219

11.5.1 Demodulation Reference Signals 219

11.5.2 Phase-tracking Reference Signals 219

11.6 Hybrid ARQ Acknowledgements 220

11.6.1 Downlink Acknowledgements of Uplink Data 220

11.6.2 Uplink Acknowledgements of Downlink Data 221

11.6.3 Timing of Uplink Acknowledgements 221

11.7 Other DCI Formats 222

11.7.1 Introduction 222

11.7.2 Slot Format Indications 223

11.7.3 Pre-emption Indications 223

11.7.4 Transmit Power Control Commands 223

11.8 Related Procedures 224

11.8.1 Scheduling Requests 224

11.8.2 Semi-persistent and Configured Scheduling 224

11.8.3 Discontinuous Reception 225

11.9 Performance of 5G 226

11.9.1 Peak Data Rate 226

11.9.2 Typical Cell Capacity 229

References 230

12 Air Interface Layer 2 233

12.1 Medium Access Control 233

12.1.1 Protocol Architecture 233

12.1.2 Scheduling 233

12.1.3 Logical Channel Prioritization 234

12.1.4 Multiplexing and De-multiplexing 235

12.1.5 MAC Control Elements 236

12.2 Radio Link Control 237

12.2.1 Protocol Architecture 237

12.2.2 Transparent Mode 238

12.2.3 Unacknowledged Mode 238

12.2.4 Acknowledged Mode 240

12.3 Packet Data Convergence Protocol 241

12.3.1 Protocol Architecture 241

12.3.2 Transmission and Reception 241

12.3.3 PDCP Duplication 242

12.3.4 Prevention of Packet Loss during a Change of Node 243

12.3.5 Header Compression 244

12.4 Service Data Adaptation Protocol 244

References 245

13 Registration Procedures 247

13.1 Power-on Sequence 247

13.2 Network and Cell Selection 248

13.2.1 Network Selection 248

13.2.2 Cell Selection 249

13.3 RRC Connection Establishment 250

13.3.1 RRC Connection Establishment with a gNB 250

13.3.2 Initial UE Message 251

13.3.3 RRC Connection Establishment with an eNB 252

13.4 Registration Procedure 252

13.4.1 Registration Without AMF Change 252

13.4.2 Registration with a New AMF 255

13.4.3 Registration with AMF Re-allocation 257

13.5 Deregistration Procedure 259

References 259

14 Security 261

14.1 Security Principles 261

14.2 Network Access Security 262

14.2.1 Network Access Security Architecture 262

14.2.2 Key Hierarchy 263

14.3 Network Access Security Procedures 264

14.3.1 Subscription Concealed Identifier 264

14.3.2 Authentication and Key Agreement 265

14.3.3 Activation of Non-access Stratum Security 267

14.3.4 Activation of Access Stratum Security 268

14.3.5 Key Handling During Mobility 269

14.3.6 Key Handling During State Transitions 269

14.3.7 Ciphering 269

14.3.8 Integrity Protection 270

14.4 Network Domain Security 271

14.4.1 Network Domain Security Architecture 271

14.4.2 Network Domain Security Protocols 271

14.5 Service-based Architecture Domain Security 272

14.5.1 Security Architecture 272

14.5.2 Initial Handshake Procedures over N32-c 273

14.5.3 Forwarding of JOSE Protected Messages over N32-f 274

References 275

15 Session Management, Policy and Charging 279

15.1 Types of PDU Session 279

15.1.1 IP PDU Sessions 279

15.1.2 Ethernet PDU Sessions 280

15.1.3 Unstructured PDU Sessions 281

15.2 Quality of Service 281

15.2.1 Packet Flows, Service Data Flows, and QoS Flows 281

15.2.2 QoS Parameters 282

15.2.3 Charging Parameters 285

15.3 Implementation of PDU Sessions 286

15.3.1 Bearers and Tunnels 286

15.3.2 User Plane Protocols 287

15.3.3 End-to-end Protocol Stack 288

15.3.4 Multiple PDU Session Anchors 289

15.3.5 PDU Session Anchor Relocation 290

15.4 Policy and Charging Control Architecture 290

15.4.1 High-level Architecture 290

15.4.2 Support for 3GPP Services 292

15.4.3 Northbound API 293

15.4.4 Charging and Billing System 294

15.5 PDU Session Establishment Procedures 295

15.5.1 PDU Session Establishment 295

15.5.2 Interactions with the Policy and Charging Control System 298

15.5.3 PDU Session Release 298

15.6 Traffic Steering 299

15.6.1 Traffic Steering Request 299

15.6.2 Addition of a PDU Session Anchor 301

15.6.3 Change of PDU Session Anchor 302

References 302

16 Mobility Management in RRC_CONNECTED 307

16.1 Introduction to RRC_CONNECTED 307

16.1.1 Principles 307

16.1.2 Dual Connectivity 308

16.1.3 PDU Sessions 308

16.2 Measurement Configuration and Reporting 308

16.2.1 Measurement Configuration and Reporting Procedure 308

16.2.2 Measurement Objects 309

16.2.3 Reporting Configurations 311

16.2.4 Measurement Gaps 312

16.2.5 Measurement Reporting 313

16.3 Handover Procedures 313

16.3.1 Xn-based Handover Procedure 313

16.3.2 Path Switch Procedure 316

16.3.3 NG-based Handover Procedure 317

16.3.4 Handovers Between a gNB and an ng-eNB 317

16.4 Dual Connectivity Procedures 317

16.4.1 Secondary Node Addition 317

16.4.2 QoS Flow Mobility Procedure 319

16.4.3 Other Dual Connectivity Procedures 320

16.5 State Transitions out of RRC_CONNECTED 321

16.5.1 Core Network Assistance Information 321

16.5.2 Transition to RRC_IDLE 321

16.5.3 Transition to RRC_INACTIVE 322

References 323

17 Mobility Management in RRC_IDLE 325

17.1 Introduction to RRC_IDLE 325

17.1.1 Principles 325

17.1.2 Inactive PDU Sessions 326

17.2 Cell Reselection Procedures 326

17.2.1 Introduction 326

17.2.2 Intra-frequency Measurement Triggering 327

17.2.3 Intra-frequency Cell Reselection 327

17.2.4 Inter-frequency Measurement Triggering 328

17.2.5 Inter-frequency Cell Reselection 329

17.2.6 Fast-moving Mobiles 329

17.3 Registration Updating 330

17.3.1 Registration Update Procedure 330

17.3.2 Network Reselection 331

17.4 State Transitions out of RRC_IDLE 331

17.4.1 Mobile-triggered Service Request 331

17.4.2 Network-triggered Service Request 333

References 334

18 Mobility Management in RRC_INACTIVE 337

18.1 Introduction to RRC_INACTIVE 337

18.1.1 Principles 337

18.1.2 Suspended PDU Sessions 338

18.2 Mobility Management 339

18.2.1 RAN-based Notification Area Update 339

18.2.2 Registration Update 341

18.2.3 Mobility between a gNB and an ng-eNB 341

18.3 State Transitions 341

18.3.1 Transition to RRC_IDLE 341

18.3.2 Mobile-triggered Resumption of the RRC Connection 342

18.3.3 Network-triggered Resumption of the RRC Connection 344

References 345

19 Inter-operation with the Evolved Packet Core 347

19.1 Inter-operation Architectures 347

19.1.1 Migration Architecture 347

19.1.2 Interworking Architecture 348

19.1.3 Signalling Protocols 349

19.1.4 State Diagrams 350

19.2 Registration Modes 350

19.2.1 Single Registration Mode 350

19.2.2 Dual Registration Mode 350

19.2.3 Temporary Identities 351

19.3 Use of the Migration Architecture 351

19.3.1 Configuration Procedures 351

19.3.2 Mobility in RRC_IDLE 352

19.3.3 RRC Release with Redirection from RRC_CONNECTED 353

19.4 Interworking Without N26 353

19.4.1 Configuration Procedures 353

19.4.2 Mobility in Single Registration Mode 353

19.4.3 Mobility in Dual Registration Mode 354

19.5 Interworking with N26 354

19.5.1 Configuration Procedures 354

19.5.2 Mobility in RRC_IDLE 355

19.5.3 Handovers in RRC_CONNECTED 357

References 359

20 Release 16 and Beyond 361

20.1 Vehicle-to-everything (V2X) Communications 361

20.1.1 Introduction 361

20.1.2 Architectural Enhancements 362

20.1.3 Device-to-device Communications 363

20.2 Location Services 364

20.2.1 Introduction 364

20.2.2 System Architecture 365

20.2.3 Enhancements to the Air Interface 366

20.3 Integrated Access and Backhaul 367

20.3.1 Introduction 367

20.3.2 High-level Architecture 367

20.3.3 Architectural Details 368

20.4 Non-terrestrial Networks 369

20.4.1 Introduction 369

20.4.2 Design Challenges 370

20.5 Massive Machine-type Communications 371

20.5.1 Introduction 371

20.5.2 Enhancements to the 5G Core Network 371

20.5.3 NR Light 372

20.6 Other New Features and Studies 372

20.6.1 Enhancements to the Service-based Architecture 372

20.6.2 Support for Vertical and LAN Services 373

20.6.3 Self-optimizing Networks 373

20.6.4 Use of Unlicensed Spectrum 373

20.6.5 Reduction of Cross-link Interference 374

20.6.6 Further Enhancements to the 5G New Radio 374

References 375

Further Reading 379

Long-term Evolution (LTE) 379

Voice over LTE (VoLTE) and the IP Multimedia Subsystem 379

Spectrum, Antennas and Propagation 380

Wireless Communications 380

Multiple Antennas 380

Digital Signal Processing 380

Mathematics 381

5G System 381

5G Air Interface 381

Index 383

About the Author

Christopher Cox, PhD, is Director of Chris Cox Communications Ltd, UK. He is a professional technical trainer and consultant in mobile telecommunications, and an expert in 5G, 4G and 3G communication technologies. He draws on this expertise in delivering technical training and intellectual property consultancy for clients drawn from network operators and equipment manufacturers worldwide.

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