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
