An Introduction to 5G: The New Radio, 5G Network and Beyond by Christopher Cox, ISBN-13: 978-1119602668

Preface xv

Acknowledgements xvii

List of Abbreviations xix

Chapter 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 1

1.1.3 Architecture of the Radio Access Network 2

1.1.4 Coverage and Capacity 2

1.1.5 Architecture of the Core Network 3

1.1.6 Communication Protocols 4

1.2 History of Mobile Telecommunications 4

1.2.1 Introduction 4

1.2.2 GSM 5

1.2.3 UMTS 5

1.2.4 LTE 6

1.2.5 LTE-Advanced 6

1.2.6 LTE-Advanced Pro 7

1.2.7 Other Mobile Communication Systems 8

1.3 The Mobile Telecommunication Market 8

1.3.1 Traffic Levels 8

1.3.2 Numbers of Subscriptions 8

1.3.3 Operator Revenue 9

1.4 Use Cases and Markets for 5G 9

1.4.1 5G Research Projects 9

1.4.2 Enhanced Mobile Broadband 9

1.4.3 Massive Machine Type Communication 10

1.4.4 Ultra Reliable Low Latency Communication 11

1.4.5 Vehicle to Everything Communication 12

1.4.6 Network Operation 12

1.5 Technical Performance Requirements 12

1.6 Technologies for 5G 13

1.6.1 Network Function Virtualization 13

1.6.2 Software Defined Networking 14

1.6.3 Network Slicing 15

1.6.4 Technologies for the Air Interface 16

1.7 The 3GPP Specifications for 5G 16

1.8 Architecture of 5G 17

1.8.1 High Level Architecture 17

1.8.2 Architectural Options 18

References 18

Chapter 2 Architecture of the Core Network 23

2.1 The Evolved Packet Core 23

2.1.1 Release 8 Architecture 23

2.1.2 Control and User Plane Separation 24

2.2 The 5G Core Network 24

2.2.1 Representation using Reference Points 24

2.2.2 Representation using Service Based Interfaces 25

2.2.3 Data Transport 26

2.2.4 Roaming Architectures 27

2.2.5 Data Storage Architectures 27

2.2.6 Non-3GPP Access to the 5G Core 28

2.3 Network Areas, Slices and Identities 28

2.3.1 Network Identities 28

2.3.2 Network Slices 29

2.3.3 AMF Areas and Identities 29

2.3.4 UE Identities 30

2.3.5 UE Registration Areas 30

2.4 State Diagrams 31

2.4.1 Registration Management 31

2.4.2 Connection Management 31

2.4.3 Non-3GPP Access 32

2.5 Signalling Protocols 32

2.5.1 Signalling Protocol Architecture 32

2.5.2 Example Signalling Procedures 33

2.6 The Hypertext Transfer Protocol 33

2.6.1 HTTP/1.1 and HTTP/2 33

2.6.2 Representational State Transfer 34

2.6.3 The HTTP/2 Data Layer 35

2.6.4 JSON 35

2.7 Example Network Function Services 36

2.7.1 Network Function Service Registration 36

2.7.2 Network Function Service Discovery 37

2.7.3 Network Function Service Subscription and Notification 38

References 38

Chapter 3 Architecture of the Radio Access Network 43

3.1 The Evolved UMTS Terrestrial Radio Access Network 43

3.1.1 Release 8 architecture 43

3.1.2 Carrier aggregation 43

3.1.3 Dual connectivity 44

3.2 The Next Generation Node B 45

3.2.1 High level architecture 45

3.2.2 Internal architecture 45

3.2.3 Deployment options 46

3.3 Architectural Options 47

3.3.1 Multi Radio Dual Connectivity 47

3.3.2 Options 1 and 3 – EPC, E-UTRAN and MeNB 47

3.3.3 Options 5 and 7 – 5GC, NG-RAN and MeNB 47

3.3.4 Options 2 and 4 – 5GC, NG-RAN and MgNB 48

3.3.5 Data transport 48

3.4 Network areas and identities 49

3.4.1 Tracking areas 49

3.4.2 RAN areas 49

3.4.3 Cell identities 50

3.5 RRC State Diagram 50

3.5.1 5G State Diagram 50

3.5.2 Interworking with 4G 51

3.6 Signalling protocols 51

3.6.1 Signalling protocol architecture 51

3.6.2 Signalling radio bearers 52

References 53

Chapter 4 Spectrum, Antennas and Propagation 57

4.1 Radio Spectrum 57

4.1.1 Radio Waves 57

4.1.2 Use of Radio Spectrum 57

4.1.3 Spectrum Allocations for 5G 58

4.2 Antennas and Propagation 59

4.2.1 Antenna Gain 59

4.2.2 Radio Propagation in Free Space 59

4.2.3 Antenna Arrays for 5G 61

4.3 Radio Propagation Issues for Millimetre Waves 61

4.3.1 Diffraction and Reflection 61

4.3.2 Penetration Losses 62

4.3.3 Foliage Losses 63

4.3.4 Atmospheric Losses 63

4.4 Multipath, Fading and Coherence 64

4.4.1 Introduction 64

4.4.2 Angular Spread and Coherence Distance 64

4.4.3 Doppler Spread and Coherence Time 65

4.4.4 Delay Spread and Coherence Bandwidth 66

4.4.5 Channel Reciprocity 67

References 67

Chapter 5 Digital Signal Processing 71

5.1 Modulation and Demodulation 71

5.1.1 Carrier Signal 71

5.1.2 Modulation 72

5.1.3 The Modulation Process 73

5.1.4 The Demodulation Process 73

5.1.5 Channel Estimation 74

5.1.6 Adaptive Modulation 75

5.2 Radio Transmission in a Mobile Cellular Network 75

5.2.1 Multiplexing and Multiple Access 75

5.2.2 FDD and TDD Modes 75

5.3 Orthogonal Frequency Division Multiple Access 76

5.3.1 Sub-carriers 76

5.3.2 The OFDM Transmitter 77

5.3.3 The OFDM Receiver 77

5.3.4 The Fast Fourier Transform 78

5.3.5 Block Diagram of the OFDMA Downlink 78

5.3.6 Block Diagram of the OFDMA Uplink 79

5.4 Other Features of OFDMA 80

5.4.1 Frequency Specific Scheduling 80

5.4.2 Sub-Carrier Orthogonality 80

5.4.3 Inter-Symbol Interference and the Cyclic Prefix 81

5.5 Signal Processing Issues for 5G 82

5.5.1 Power Consumption 82

5.5.2 Timing Jitter and Phase Noise 83

5.5.3 Choice of Symbol Duration and Sub-Carrier Spacing 84

5.6 Error Management 84

5.6.1 Forward Error Correction 84

5.6.2 Automatic Repeat Request 85

5.6.3 Hybrid ARQ 85

5.6.4 Hybrid ARQ Processes 86

5.6.5 Higher Layer Retransmissions 86

References 87

Chapter 6 Multiple Antenna Techniques 89

6.1 Analogue Beam Selection 89

6.1.1 Spatial Filtering 89

6.1.2 Beam Steering 90

6.1.3 Beamwidth of the Antenna Array 91

6.1.4 Grating Lobes 91

6.1.5 Analogue Signal Processing Issues 92

6.1.6 Beam Management 92

6.2 Digital Beamforming 93

6.2.1 Precoding and Postcoding 93

6.2.2 Digital Signal Processing Issues 93

6.2.3 Diversity Processing 94

6.3 Spatial Multiplexing 94

6.3.1 Principles of Spatial Multiplexing 94

6.3.2 Matrix Representation 95

6.3.3 MIMO and Coherence 96

6.3.4 Uplink Multiple User MIMO 97

6.3.5 Downlink Multiple User MIMO 98

6.3.6 Management of Multiple User MIMO 99

6.3.7 Single User MIMO 99

6.3.8 Signal Processing for Single User MIMO 100

6.3.9 Management of Single User MIMO 102

6.4 Massive MIMO 102

6.4.1 Architecture 102

6.4.2 Received Signal Power 103

6.4.3 Energy Efficiency 104

6.4.4 Spectral Efficiency 104

6.5 Hybrid Beamforming 105

6.5.1 Partly Connected Architecture 105

6.5.2 Fully Connected Architecture 106

6.5.3 Millimetre Wave MIMO 107

6.6 Multiple Antennas at the Mobile 107

6.6.1 Architecture 107

6.6.2 Beam Management 108

References 108

Chapter 7 Architecture of the 5G New Radio 111

7.1 Air Interface Protocol Stack 111

7.1.1 5G Protocol Stack 111

7.1.2 Dual Connectivity 112

7.1.3 Channels and Signals 113

7.1.4 Information Flows 113

7.2 Frequency Bands and Combinations 115

7.2.1 Frequency Bands 115

7.2.2 Band Combinations 115

7.2.3 Bandwidth Classes 116

7.3 Frequency Domain Structure 116

7.3.1 OFDM Numerologies 116

7.3.2 Transmission Bandwidth Configuration 117

7.3.3 Global and Channel Frequency Rasters 118

7.3.4 Common Resource Blocks 118

7.3.5 Bandwidth Parts 119

7.3.6 Virtual and Physical Resource Blocks 119

7.4 Time Domain Structure 120

7.4.1 Frame Structure 120

7.4.2 Timing Advance 121

7.4.3 TDD Configurations 121

7.4.4 Slot Format Combinations 122

7.4.5 Resource Grid 123

7.5 Multiple Antennas 123

7.5.1 Antenna Ports 123

7.5.2 Relationships between Antenna Ports 124

7.6 Data Transmission 124

7.6.1 Transport Channel Processing 124

7.6.2 Physical Channel Processing 125

7.6.3 Analogue Processing 126

References 126

Chapter 8 Cell Acquisition 131

8.1 Acquisition Procedure 131

8.1.1 Introduction 131

8.1.2 Non-Standalone Operation 131

8.1.3 Standalone Operation 132

8.2 Resource Mapping 132

8.2.1 SS/PBCH Blocks 132

8.2.2 Transmission Frequency 133

8.2.3 Transmission Timing 133

8.3 Acquisition of the SS/PBCH Block 134

8.3.1 Primary Synchronization Signal 134

8.3.2 Secondary Synchronization Signal 134

8.3.3 Demodulation Reference Signal for the PBCH 135

8.3.4 Physical Broadcast Channel 135

8.4 System Information 135

8.4.1 Master Information Block 135

8.4.2 System Information Block 1 136

8.4.3 Other System Information Blocks 136

8.4.4 Transmission and Reception of the System Information 136

References 137

Chapter 9 Random Access 139

9.1 Physical Random Access Channel 139

9.1.1 PRACH Formats 139

9.1.2 Generation of the PRACH Preamble 140

9.1.3 Resource Mapping 141

9.2 Random Access Procedure 141

9.2.1 Random Access Preamble 141

9.2.2 Random Access Response 142

9.2.3 Message 3 143

9.2.4 Contention Resolution 143

9.2.5 Contention Free Procedure 143

References 144

Chapter 10 Link Adaptation 145

10.1 CSI Reference Signals 145

10.1.1 Transmission and Reception 145

10.1.2 Resource Mapping 145

10.1.3 CSI-RS Resources 146

10.1.4 CSI-RS Resource Sets 147

10.2 Channel State Information 147

10.2.1 Introduction 147

10.2.2 CSI-RS and SS/PBCH Block Resource Indicators 147

10.2.3 Layer 1 RSRP 148

10.2.4 Rank Indication 148

10.2.5 Precoding Matrix Indicator 148

10.2.6 Channel Quality Indicator 149

10.2.7 Layer Indicator 149

10.2.8 CSI Reporting 150

10.3 Physical Uplink Control Channel 150

10.3.1 Introduction 150

10.3.2 PUCCH Formats 150

10.3.3 PUCCH Resources 151

10.4 Sounding 152

10.4.1 Transmission and Reception 152

10.4.2 Resource Mapping 152

10.4.3 SRS Resources 153

References 15

Chapter 11 Data Transmission and Reception 155

11.1 Introduction 155

11.1.1 Data transmission procedure 155

11.1.2 Downlink control information 155

11.1.3 Radio Network Temporary Identifiers 156

11.2 Transmission and Reception of the PDCCH 156

11.2.1 Transmission of the PDCCH 156

11.2.2 Control Resource Sets 157

11.2.3 Search spaces 158

11.2.4 Reception of the PDCCH 158

11.3 Scheduling Messages 158

11.3.1 DCI Formats 0_0 and 1_0 158

11.3.2 Time Domain Resource Assignment 159

11.3.3 Frequency Domain Resource Assignment 160

11.3.4 Modulation and Coding Scheme 160

11.3.5 Other Fields 161

11.3.6 DCI Formats 0_1 and 1_1 161

11.4 Transmission and Reception of the PUSCH and PDSCH 161

11.4.1 Transport Channel Processing 161

11.4.2 Physical Channel Processing 162

11.4.3 Downlink MIMO 162

11.4.4 Uplink Codebook Based MIMO 163

11.4.5 Uplink Non-Codebook Based MIMO 163

11.5 Reference Signals 164

11.5.1 Demodulation Reference Signals 164

11.5.2 Phase Tracking Reference Signals 165

11.6 Hybrid ARQ Acknowledgements 165

11.6.1 Downlink Acknowledgements of Uplink Data 165

11.6.2 Uplink Acknowledgements of Downlink Data 165

11.6.3 Timing of Uplink Acknowledgements 166

11.7 Other DCI Formats 167

11.7.1 Introduction 167

11.7.2 Slot Format Indications 167

11.7.3 Pre-Emption Indications 167

11.7.4 Transmit Power Control Commands 168

11.8 Related Procedures 168

11.8.1 Scheduling Requests 168

11.8.2 Semi-Persistent and Configured Scheduling 168

11.8.3 Discontinuous Reception 169

11.9 Performance of 5G 170

11.9.1 Peak Data Rate 170

11.9.2 Typical Cell Capacity 172

References 172

Chapter 12 Air Interface Layer 2 177

12.1 Medium Access Control 177

12.1.1 Protocol Architecture 177

12.1.2 Scheduling 177

12.1.3 Logical Channel Prioritization 178

12.1.4 Multiplexing and Demultiplexing 178

12.1.5 MAC Control Elements 179

12.2 Radio Link Control 180

12.2.1 Protocol Architecture 180

12.2.2 Transparent Mode 180

12.2.3 Unacknowledged Mode 180

12.2.4 Acknowledged Mode 181

12.3 Packet Data Convergence Protocol 182

12.3.1 Protocol Architecture 182

12.3.2 Transmission and Reception 182

12.3.3 PDCP Duplication 183

12.3.4 Prevention of Packet Loss during a Change of Node 183

12.3.5 Header Compression 184

12.4 Service Data Adaptation Protocol 184

References 184

Chapter 13 Registration Procedures 187

13.1 Power-On Sequence 187

13.2 Network and Cell Selection 188

13.2.1 Network Selection 188

13.2.2 Cell Selection 189

13.3 RRC Connection Establishment 190

13.3.1 RRC Connection Establishment with a gNB 190

13.3.2 Initial UE Message 191

13.3.3 RRC Connection Establishment with an eNB 191

13.4 Registration Procedure 191

13.4.1 Registration without AMF Change 191

13.4.2 Registration with a New AMF 193

13.4.3 Registration with AMF Re-allocation 194

13.5 Deregistration Procedure 195

References 195

Chapter 14 Security 199

14.1 Security Principles 199

14.2 Network Access Security 200

14.2.1 Network Access Security Architecture 200

14.2.2 Key Hierarchy 201

14.3 Network Access Security Procedures 201

14.3.1 Subscription Concealed Identifier 201

14.3.2 Authentication and Key Agreement 202

14.3.3 Activation of Non-Access Stratum Security 203

14.3.4 Activation of Access Stratum Security 204

14.3.5 Key Handling during Mobility 204

14.3.6 Key Handling during State Transitions 204

14.3.7 Ciphering 205

14.3.8 Integrity Protection 205

14.4 Network Domain Security 206

14.4.1 Network Domain Security Architecture 206

14.4.2 Network Domain Security Protocols 206

14.5 Service Based Architecture Domain Security 207

14.5.1 Security Architecture 207

14.5.2 Initial handshake procedures over N32-c 208

14.5.3 Forwarding of JOSE protected messages over N32-f 208

References 209

Chapter 15 Session Management, Policy and Charging 211

15.1 Types of PDU Session 211

15.1.1 IP PDU Sessions 211

15.1.2 Ethernet PDU Sessions 212

15.1.3 Unstructured PDU Sessions 212

15.2 Quality of Service 213

15.2.1 Packet Flows, Service Data Flows and QoS Flows 213

15.2.2 Quality of Service Parameters 214

15.2.3 Charging Parameters 216

15.3 Implementation of PDU sessions 216

15.3.1 Bearers and Tunnels 216

15.3.2 User plane protocols 217

15.3.3 End-to-end protocol stack 217

15.3.4 Multiple PDU Session Anchors 218

15.3.5 PDU Session Anchor Relocation 219

15.4 Policy and Charging Control Architecture 219

15.4.1 High Level Architecture 219

15.4.2 Support for 3GPP services 221

15.4.3 Northbound API 221

15.4.4 Charging and Billing System 222

15.5 PDU Session Establishment Procedures 223

15.5.1 PDU Session Establishment 223

15.5.2 Interactions with the Policy and Charging Control System 224

15.5.3 PDU Session Release 225

15.6 Traffic Steering 225

15.6.1 Traffic Steering Request 225

15.6.2 Addition of a PDU Session Anchor 226

15.6.3 Change of PDU Session Anchor 226

References 227

Chapter 16 Mobility Management in RRC_CONNECTED 233

16.1 Introduction to RRC_CONNECTED 233

16.1.1 Principles 233

16.1.2 Dual Connectivity 233

16.1.3 PDU Sessions 234

16.2 Measurement Configuration and Reporting 234

16.2.1 Measurement Configuration and Reporting Procedure 234

16.2.2 Measurement Objects 235

16.2.3 Reporting Configurations 236

16.2.4 Measurement Gaps 237

16.2.5 Measurement Reporting 238

16.3 Handover Procedures 238

16.3.1 Xn-based Handover Procedure 238

16.3.2 Path Switch Procedure 240

16.3.3 NG-based Handover Procedure 240

16.3.4 Handovers between a gNB and an ng-eNB 240

16.4 Dual Connectivity Procedures 241

16.4.1 Secondary Node Addition 241

16.4.2 QoS Flow Mobility Procedure 242

16.4.3 Other Dual Connectivity Procedures 243

16.5 State Transitions out of RRC_CONNECTED 243

16.5.1 Core Network Assistance Information 243

16.5.2 Transition to RRC_IDLE 243

16.5.3 Transition to RRC_INACTIVE 244

References 245

Chapter 17 Mobility Management in RRC_IDLE 247

17.1 Introduction to RRC_IDLE 247

17.1.1 Principles 247

17.1.2 Inactive PDU Sessions 247

17.2 Cell Reselection Procedures 248

17.2.1 Introduction 248

17.2.2 Intra-Frequency Measurement Triggering 248

17.2.3 Intra-Frequency Cell Reselection 249

17.2.4 Inter-Frequency Measurement Triggering 250

17.2.5 Inter-Frequency Cell Reselection 250

17.2.6 Fast Moving Mobiles 251

17.3 Registration Updating 251

17.3.1 Registration Update Procedure 251

17.3.2 Network Reselection 252

17.4 State Transitions out of RRC_IDLE 252

17.4.1 Mobile Triggered Service Request 252

17.4.2 Network Triggered Service Request 253

References 254

Chapter 18 Mobility Management in RRC_INACTIVE 257

18.1 Introduction to RRC_INACTIVE 257

18.1.1 Principles 257

18.1.2 Suspended PDU Sessions 258

18.2 Mobility Management 258

18.2.1 RAN-Based Notification Area Update 258

18.2.2 Registration Update 259

18.2.3 Mobility between a gNB and an ng-eNB 260

18.3 State Transitions 260

18.3.1 Transition to RRC_IDLE 260

18.3.2 Mobile Triggered Resumption of the RRC Connection 261

18.3.3 Network Triggered Resumption of the RRC Connection 261

References 262

Chapter 19 Inter-Operation with the Evolved Packet Core 265

19.1 Inter-Operation Architectures 265

19.1.1 Migration Architecture 265

19.1.2 Interworking Architecture 266

19.1.3 Signalling Protocols 266

19.1.4 State Diagrams 266

19.2 Registration Modes 267

19.2.1 Single Registration Mode 267

19.2.2 Dual Registration Mode 267

19.2.3 Temporary Identities 268

19.3 Use of the Migration Architecture 268

19.3.1 Configuration Procedures 268

19.3.2 Mobility in RRC_IDLE 268

19.3.3 RRC Release with Redirection from RRC_CONNECTED 269

19.4 Interworking without N26 269

19.4.1 Configuation Procedures 269

19.4.2 Mobility in Single Registration Mode 270

19.4.3 Mobility in Dual Registration Mode 270

19.5 Interworking with N26 270

19.5.1 Configuration Procedures 270

19.5.2 Mobility in RRC_IDLE 271

19.5.3 Handovers in RRC_CONNECTED 272

References 273

Chapter 20 Release 16 and Beyond 275

20.1 Vehicle to Everything (V2X) Communications 275

20.1.1 Introduction 275

20.1.2 Architectural Enhancements 276

20.1.3 Device to Device Communications 276

20.2 Location Services 277

20.2.1 Introduction 277

20.2.2 System Architecture 278

20.2.3 Enhancements to the Air Interface 278

20.3 Integrated Access and Backhaul 279

20.3.1 Introduction 279

20.3.2 High Level Architecture 279

20.3.3 Architectural Details 280

20.4 Non Terrestrial Networks 281

20.4.1 Introduction 281

20.4.2 Design Challenges 281

20.5 Massive Machine Type Communications 282

20.5.1 Introduction 282

20.5.2 Enhancements to the 5G Core Network 282

20.5.3 NR Light 283

20.6 Other New Features and Studies 283

20.6.1 Enhancements to the Service Based Architecture 283

20.6.2 Support for Vertical and LAN Services 284

20.6.3 Self-Optimizing Networks 284

20.6.4 Use of Unlicensed Spectrum 285

20.6.5 Reduction of Cross Link Interference 285

20.6.6 Further Enhancements to the 5G New Radio 285

References 286

Bibliography 291