List of Contributors xvii Foreword xix Preface xxi Acknowledgment xxiii 1 Introduction 1 Harri Holma, Antti Toskala, Takehiro Nakamura, and Tommi Uitto 1.1 Introduction 1 1.2 5G Targets 3 1.3 5G Technology Components 3 1.4 5G Spectrum 4 1.5 5G Capabilities 5 1.6 5G Capacity Boost 7 1.7 5G Standardization and Schedule 8 1.

8 5G Use Cases 9 1.9 Evolution Path from LTE to 5G 10 1.10 Mobile Data Traffic Growth 10 1.11 Summary 11 Reference 11 2 5G Targets and Standardization 13 Hiroyuki Atarashi, Mikio Iwamura, Satoshi Nagata, Takehiro Nakamura, and Antti Toskala 2.1 Introduction 13 2.2 ITU 13 2.2.1 IMT Vision for 2020 and Beyond 14 2.

2.2 Standardization of IMT-2020 Radio Interface Technologies 15 2.3 NGMN 17 2.3.1 NGMN 5G Use Cases 18 2.3.2 NGMN 5G Requirements 19 2.3.

3 NGMN 5G Architecture Design Principles 20 2.3.4 Spectrum, Intellectual Property Rights (IPR), and Further Recommendations by NGMN 21 2.4 3GPP Schedule and Phasing 22 References 25 3 Technology Components 27 Harri Holma 3.1 Introduction 27 3.2 Spectrum Utilization 27 3.2.1 Frequency Bands 27 3.

2.2 Bandwidth Options 29 3.2.3 Spectrum Occupancy 29 3.2.4 Control Channel Flexibility 30 3.2.5 Dynamic Spectrum Sharing 31 3.

3 Beamforming 31 3.4 Flexible Physical Layer and Protocols 33 3.4.1 Flexible Numerology 33 3.4.2 Short Transmission Time and Mini-slot 34 3.4.3 Self-Contained Subframe 35 3.

4.4 Asynchronous HARQ 36 3.4.5 Lean Carrier 37 3.4.6 Adaptive Reference Signals 38 3.4.7 Adaptive UE Specific Bandwidth 38 3.

4.8 Distributed MIMO 39 3.4.9 Waveforms 39 3.4.10 Channel Coding 41 3.4.11 Pipeline Processing and Front-Loaded Reference Signals 41 3.

4.12 Connected Inactive State 41 3.4.13 Grant-Free Access 43 3.4.14 Cell Radius of 300 km 43 3.5 Network Slicing 44 3.6 Dual Connectivity with LTE 44 3.

7 Radio Cloud and Edge Computing 46 3.8 Summary 47 Reference 47 4 Spectrum 49 Harri Holma and Takehiro Nakamura 4.1 Introduction 49 4.2 Millimeter Wave Spectrum Above 20 GHz 52 4.3 Mid-Band Spectrum at 3.3-5.0 GHz and at 2.6 GHz 55 4.

4 Low-Band Spectrum Below 3 GHz 58 4.5 Unlicensed Band 59 4.6 Shared Band 62 4.7 3GPP Frequency Variants 64 4.8 Summary 64 References 64 5 5G Architecture 67 Antti Toskala and Miikka Poikselkä 5.1 Introduction 67 5.2 5G Architecture Options 67 5.3 5G Core Network Architecture 70 5.

3.1 Access and Mobility Management Function 72 5.3.2 Session Management Function 73 5.3.3 User Plane Function 73 5.3.4 Data Storage Architecture 73 5.

3.5 Policy Control Function 73 5.3.6 Network Exposure Function 74 5.3.7 Network Repository Function 74 5.3.8 Network Slice Selection 74 5.

3.9 Non-3GPP Interworking Function 74 5.3.10 Auxiliary 5G Core Functions 74 5.4 5G RAN Architecture 75 5.4.1 NG-Interface 78 5.4.

2 Xn-Interface 79 5.4.3 E1-Interface 80 5.4.4 F1-Interface 80 5.5 Network Slicing 81 5.5.1 Interworking with LTE 82 5.

6 Summary 85 References 86 6 5G Physical Layer 87 Mihai Enescu, Keeth Jayasinghe, Karri Ranta-Aho, Karol Schober, and Antti Toskala 6.1 Introduction 87 6.2 5G Multiple Access Principle 88 6.3 Physical Channels and Signals 92 6.4 Basic Structures for 5G Frame Structure 95 6.5 5G Channel Structures and Beamforming Basics 98 6.6 Random Access 100 6.7 Downlink User Data Transmission 101 6.

8 Uplink User Data Transmission 103 6.9 Uplink Signaling Transmission 105 6.10 Downlink Signaling Transmission 108 6.11 Physical Layer Procedures 111 6.11.1 HARQ Procedure 112 6.11.2 Uplink Power Control 112 6.

11.3 Timing Advance 113 6.12 5G MIMO and Beamforming Operation 113 6.12.1 Downlink MIMO Transmission Schemes 113 6.12.2 Beam Management Framework 114 6.12.

2.1 Initial Beam Acquisition 116 6.12.2.2 Beam Measurement and Reporting 116 6.12.2.3 Beam Indication: QCL and Transmission Configuration Indicator (TCI) 117 6.

12.2.4 Beam Recovery 120 6.12.3 CSI Framework 122 6.12.3.1 Reporting Settings 122 6.

12.3.2 Resource Settings 122 6.12.3.3 Reporting Configurations 123 6.12.3.

4 Report Quantity Configurations 125 6.12.4 CSI Components 126 6.12.4.1 Channel Quality Indicator (CQI) 126 6.12.4.

2 Precoding Matrix Indicator (PMI) 126 6.12.4.3 Resource Indicators: CRI, SSBRI, RI, LI 132 6.12.5 Uplink MIMO Transmission Schemes 132 6.12.5.

1 Codebook-Based Uplink Transmission 132 6.12.5.2 Non-Codebook-Based Uplink Transmission 133 6.13 Channel Coding with 5G 133 6.13.1 Channel Coding for Data Channel 134 6.13.

1.1 5G LDPC Code Design 135 6.13.1.2 5G LDPC Coding Chain 137 6.13.2 Channel Coding for Control Channels 140 6.13.

2.1 5G Polar Coding Design 140 6.14 Dual Connectivity 142 6.15 5G Data Rates 144 6.16 Physical Layer Measurements 145 6.17 UE Capability 146 6.18 Summary 147 References 148 7 5G Radio Protocols 149 Tero Henttonen, Jarkko Koskela, Benoist Sébire, and Antti Toskala 7.1 Introduction 149 7.

2 5G Radio Protocol Layers 150 7.3 SDAP 151 7.3.1 Overview 151 7.3.2 QoS Flow Remapping 153 7.3.3 MDBV 155 7.

3.4 Header 155 7.4 PDCP 156 7.4.1 Overview 156 7.4.2 Reordering 156 7.4.

3 Security 157 7.4.4 Header Compression 157 7.4.5 Duplicates and Status Reports 158 7.4.6 Duplication 159 7.5 RLC 160 7.

5.1 Overview 160 7.5.2 Segmentation 160 7.5.3 Error Correction 161 7.5.4 Transmissions Modes 161 7.

5.5 Duplication 161 7.6 MAC Layer 162 7.6.1 Overview 162 7.6.2 Logical Channels 162 7.6.

3 Random Access Procedure 163 7.6.4 HARQ and Transmissions 163 7.6.5 Scheduling Request 164 7.6.6 Logical Channel Prioritization and Multiplexing 164 7.6.

7 BSR 165 7.6.8 PHR 166 7.6.9 DRX 166 7.6.10 Bandwidth Parts 166 7.6.

11 BFD and Recovery 167 7.6.12 Other Functions 167 7.6.13 MAC PDU Structure 168 7.7 The RRC Protocol 168 7.7.1 Overview 168 7.

7.2 Broadcast of System Information 171 7.7.3 Paging 174 7.7.4 Overview of Idle and Inactive Mode Mobility 175 7.7.5 RRC Connection Control and Mobility 179 7.

7.6 RRC Support of Upper Layers 183 7.7.7 Different Versions of Release 15 RRC Specifications 184 7.8 Radio Protocols in RAN Architecture 185 7.9 Summary 185 References 186 8 Deployment Aspects 187 Harri Holma, Riku Luostari, Jussi Reunanen, and Puripong Thepchatri 8.1 Introduction 187 8.2 Spectrum Resources 188 8.

2.1 Spectrum Refarming and Dynamic Spectrum Sharing 188 8.3 Network Density 190 8.4 Mobile Data Traffic Growth 190 8.4.1 Mobile Data Volume 190 8.4.2 Traffic Asymmetry 191 8.

5 Base Station Site Solutions 192 8.6 Electromagnetic Field (EMF) Considerations 194 8.7 Network Synchronization and Coordination Requirements 195 8.7.1 Main Interference Scenarios in TDD System 196 8.7.2 TDD Frame Configuration Options 197 8.7.

3 Cell Size and Random Access Channel 197 8.7.4 Guard Period and Safety Zone 198 8.7.5 Intra-Frequency Operation 199 8.7.6 Inter-Operator Synchronization 201 8.7.

7 Synchronization Requirements in 3GPP 202 8.7.8 Synchronization from Global Navigation Satellite System (GNSS) 204 8.7.9 Synchronization with ToP 205 8.7.10 Timing Alignment Between Vendors 208 8.8 5G Overlay with Another Vendor LTE 209 8.

9 Summary 210 References 211 9 Transport 213 Esa Markus Metsälä and Juha Salmelin 9.1 5G Transport Network 213 9.1.1 5G Transport 213 9.1.2 Types of 5G Transport 214 9.1.3 Own versus Leased Transport 215 9.

1.4 Common Transport 216 9.1.5 Mobile Backhaul Tiers 216 9.1.6 Logical and Physical Transport Topology 218 9.1.7 Standards Viewpoint 218 9.

2 Capacity and Latency 219 9.2.1 Transport Capacity Upgrades 219 9.2.2 Access Link 220 9.2.3 Distribution Tier 221 9.2.

4 Backhaul and High Layer Fronthaul Capacity 221 9.2.5 Low Layer Fronthaul Capacity 222 9.2.6 Latency 223 9.2.7 QoS Marking 224 9.3 Technologies 225 9.

3.1 Client Ports 225 9.3.2 Networking Technologies Overview 226 9.4 Fronthaul and Backhaul Interfaces 228 9.4.1 Low Layer Fronthaul 228 9.4.

2 NG Interface 230 9.4.3 Xn/X2 Interfaces 231 9.4.4 F1 Interface 231 9.5 Specific Topics 232 9.5.1 Network Slicing in Transport 232 9.

5.2 URLLC Transport 233 9.5.3 IAB (Integrated Access and Backhaul) 234 9.5.4 NTNs (Non-Terrestrial Networks) 234 9.5.5 Time-Sensitive Networks 235 References 236 10 5G Performance 239 Harri Holma, Suresh Kalyanasundaram, and Venkat Venkatesan 10.

1 Introduction 239 10.2 Peak Data Rates 241 10.3 Practical Data Rates 243 10.3.1 User Data R.