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

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