MPIRICAL-Introduction To 5G

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Introduction to 5G
Reference Document
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Introduction to 5G
Introduction to 5G
Reference Document
© Mpirical Limited, 2017 i

Introduction to 5G
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First published by Mpirical Limited in 2017

© Mpirical Limited, 2017
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ii © Mpirical Limited, 2017 MPI0122-030-011

Introduction to 5G
Contents

5G Concepts and Drivers ...................................................................................... 1
1.1 Key Drivers .................................................................................................... 1
1.2 5G Standardization ....................................................................................... 4
5G New Radio and NG-RAN ................................................................................. 4
2.1 NG-RAN Architecture .................................................................................... 5
2.2 NR and NG-RAN Features............................................................................ 6
2.3 Dual Connectivity .......................................................................................... 6
2.4 Small Cells .................................................................................................... 8
2.5 Increased Spectrum ...................................................................................... 9
2.6 Radio Enhancements .................................................................................... 9
2.7 Beam Forming and Steering ....................................................................... 10
2.8 Cloud RAN .................................................................................................. 11
2.9 5G RAN Deployment Options ..................................................................... 12
5G Core Network Architecture ............................................................................ 12
3.1 PDU Sessions ............................................................................................. 13
3.2 Core Network Elements .............................................................................. 13
3.3 Network Virtualization ................................................................................. 15
3.4 Network Slicing ........................................................................................... 16
5G Initial Procedures ........................................................................................... 17
4.1 Finding the Network .................................................................................... 17
4.2 Network Registration ................................................................................... 17
Utilizing the Network............................................................................................ 19
5.1 Idle and Connected Mode ........................................................................... 19
5.2 Establishing a PDU Session ....................................................................... 20
5.3 Moving to Idle .............................................................................................. 21
5.4 Getting Connected – Service Request........................................................ 22
5.5 Paging ......................................................................................................... 23
Mobility and Interworking .................................................................................... 24
6.1 Tracking Area Updates ................................................................................ 24
6.2 Handovers ................................................................................................... 24
6.3 Roaming ...................................................................................................... 26
Glossary ............................................................................................ 29
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Introduction to 5G
iv © Mpirical Limited, 2017 MPI0122-030-011

Introduction to 5G
Figures
Figure 1 ITU-R and the IMT Technologies .................................................................... 1

Figure 2 ITU-R Usage Scenarios .................................................................................. 1
Figure 3 Evolution to Ultra Broadband .......................................................................... 2
Figure 4 Ultra Reliable and Low Latency Communications .......................................... 2
Figure 5 Massive Machine Type Communications ........................................................ 3
Figure 6 Enhancements of Key Capabilities (IMT Advanced to IMT-2020) ................. 3
Figure 7 3GPP 5G Roadmap ........................................................................................ 4

Figure 8 5G System High Level Architecture ................................................................ 4
Figure 9 NG-RAN Architecture ...................................................................................... 5
Figure 10 Tracking Areas .............................................................................................. 6

Figure 11 Techniques and Technologies for 5G NR and NG-RAN ................................ 6
Figure 12 Dual Connectivity .......................................................................................... 7
Figure 13 Data Flow with Dual Connectivity ................................................................. 8

Figure 14 Small Cells Providing In-Building Coverage ................................................. 8
Figure 15 Augmenting Macro Coverage with Small Cells ............................................. 9
Figure 16 RF Spectrum Usage...................................................................................... 9

Figure 17 ITU WRC ....................................................................................................... 9
Figure 18 Radio Enhancements .................................................................................. 10
Figure 19 Beam Forming with Massive MIMO ............................................................ 10

Figure 20 Beam Steering ............................................................................................ 11
Figure 21 Cloud RAN Deployment .............................................................................. 11
Figure 22 5G RAN Deployment Options ..................................................................... 12
Figure 23 5G Core Network Architecture .................................................................... 13
Figure 24 PDU Sessions and QoS Flows ................................................................... 13
Figure 25 AMF Functionality ........................................................................................ 14
Figure 26 SMF Functionality ....................................................................................... 14
Figure 27 UPF Functionality ........................................................................................ 14
Figure 28 UDM Functionality ....................................................................................... 15

Figure 29 PCF Functionality ........................................................................................ 15
Figure 30 Network Functions Virtualization ................................................................. 16
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Introduction to 5G
Figure 31 Network Slicing ........................................................................................... 16

Figure 32 Finding the Network .................................................................................... 17
Figure 33 Key Activity within the Network Attach Procedure ...................................... 17
Figure 34 Subscriber Identification .............................................................................. 18
Figure 35 Establish Security ........................................................................................ 18
Figure 36 Acquire Subscriber Profile ........................................................................... 19
Figure 37 Policy Check ............................................................................................... 19
Figure 38 Idle and Connected Mode ........................................................................... 20
Figure 39 Transitioning Between Idle and Connected Mode ...................................... 20
Figure 40 Establishing a PDU Session ....................................................................... 21
Figure 41 User Data Connections ............................................................................... 21
Figure 42 Removing the NG-RAN Connectivity .......................................................... 22
Figure 43 Moving to Idle .............................................................................................. 22
Figure 44 Service Request .......................................................................................... 22
Figure 45 Paging Process ........................................................................................... 23
Figure 46 Tracking Area Update.................................................................................. 24
Figure 47 Xn Handover ............................................................................................... 25

Figure 48 N2 Handover ............................................................................................... 26
Figure 49 Roaming in 5G ............................................................................................ 26
Figure 50 5G Roaming – Home Routed ...................................................................... 26

Figure 51 5G Roaming – Local Breakout .................................................................... 27
vi © Mpirical Limited, 2017 MPI0122-030-011

Introduction to 5G
5G Concepts and Drivers

1.1 Key Drivers
The ITU-R (International Telecommunication Union – Radiocommunication)
have traditionally defined the requirements and performance characteristics of
the mobile technologies in use today.
2000 2008 2015
IMT 2000 IMT Advanced IMT 2020
3G 4G 5G
Figure 1 ITU-R and the IMT Technologies
5G is no exception and in particular, the 5D Working Party defined the

minimum requirements for a 5G or IMT (International Mobile
Telecommunications) 2020 network. The ITU-R has also set out several
usage scenarios which were mapped to a number of capabilities and technical
requirements. These have become the foundation by
which:
 the 3GPP could develop the technical specifications.
 equipment vendors could produce the network
components.
 service providers could bring the 5G networks to
market.
The usage scenarios proposed by the ITU-R are outlined in Figure 2 and
explained in the following narrative.
Ultra-Reliable Massive Machine

Enhanced Mobile
and Low Latency Type
Broadband
Communications Communications
Figure 2 ITU-R Usage Scenarios
Enhanced Mobile Broadband

The term Mobile Broadband was first introduced with the advent of the 3G
technologies of HSPA (High Speed Packet Access) and later HSPA+ to
describe the human centric use case of accessing multimedia content,
services and data over a mobile network. Current forecasts indicate that
demand will continue to increase, leading to Enhanced Mobile Broadband
which incorporates new application areas and requirements such as super-
fast access in dense areas, broadband access everywhere and support for
higher user mobility.
A key trend with each iteration of mobile technology is an increase in data
rate. 5G is no exception, with speeds in the order of tens of Gbps headlined in
the telecoms press. Figure 3 offers a more realistic rate that 5G subscribers
may receive.
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Introduction to 5G
Figure 3 Evolution to Ultra Broadband
Figure 3 outlines the gradual increase in data rates

across the various mobile technology types. Clearly,
the headline data rates are not those that are
experienced by the subscriber, with factors such as
licensed spectrum, cell congestion, radio quality and
device type all influencing the final rate. However, 5G
delivers the kind of data rates that satisfy even the
most demanding of next generation applications, such as 3D applications,
Ultra HD video and Augmented Reality.
Ultra-reliable and low latency communications
This use case has several stringent capability requirements in terms of
latency and mobility and therefore covers applications such as wireless
control of industrial manufacturing, remote medical surgery and transportation
safety systems.
Figure 4 Ultra Reliable and Low Latency Communications
Massive Machine Type Communications

The third usage scenario defined by the ITU-R characterizes M2M (Machine
to Machine) communications or more commonly termed, IoT (Internet of
Things). In this use case, billions of low powered devices and sensors will
wirelessly transmit relatively small volumes of delay tolerant data.
Although for many people, the increased data rates associated with 5G will be
the biggest attraction, the reality is that 5G was designed to serve a huge
population of end devices. The reason for this is attributed to the predicted
2 © Mpirical Limited, 2017 MPI0122-030-011

Introduction to 5G
growth of CIoT (Cellular Internet of Things) based applications and devices

which will proliferate the 5G network.
Figure 5 Massive Machine Type Communications
5G (IMT-2020) Performance Synopsis

Figure 6 illustrates a comparison between the eight key capabilities (defined
by the ITU-R in terms of their minimum technical requirements) between IMT
Advanced and IMT-2020. With respect to the Enhanced Mobile Broadband
usage scenario, six of these are of high importance, including Peak Data
Rate, User Experienced Data Rate, Spectrum Efficiency, Mobility, Network
Energy Efficiency and Area Traffic Capacity. Clearly, some of these
capabilities will be more service provider orientated (Spectrum and Network
Energy Efficiency) whereas others (User Experienced Data Rate and Mobility)
will have a greater impact on the end user’s experience. Finally, in terms of
Latency and Connection Density, these are more focused towards ultra-
reliable and low latency communications (Critical Communications /
Enhanced V2X) and massive machine type communications (Massive IoT)
respectively.
Figure 6 Enhancements of Key Capabilities (IMT Advanced to IMT-2020)

Introduction to 5G
1.2 5G Standardization
The 3GPP is at the heart of 5G standardization. As such, it has already
mapped out:
 5G Phase 1 - this is based on the Release 15 specifications, frozen in
September 2018. Unfortunately, this does not meet all the IMT2020
requirements.
 5G Phase 2 - this is based on Release 16 specifications, frozen in
December 2019 - ready for the IMT2020 submission.
During the development phase of 5G, several 5G 3GPP work items were
brought forward to assist in “early deployments”.
Even though the standards are frozen long before 2020, it is typically one or
two years before actual deployments are seen, although there will
undoubtedly be early adopters of the technology. Typically, these deployments
are related to niche areas, for example showcasing 5G at specific global
events such as the FIFI World Cup. However, some service providers may
push forward with 5G solutions that are not 100% compliant with the 3GPP
specifications, simply to be first to market (particularly large service providers
who have support from equipment and handset vendors).
3GPP Releases
5G Phase 2
Deployment
Rel. 16
Release Release Release
14 15 16
2017 2018 2019 2020 2021 2030
5G Phase 1
Proprietary
Deployment
5G Systems
Rel. 15
Figure 7 3GPP 5G Roadmap
5G New Radio and NG-RAN

Figure 8 depicts the high-level architecture for the 5G System. The three main
components are:
 5GC (5G Core Network).
 NG-RAN (Next Generation – Radio Access Network).
 5G NR (New Radio).
5G System
5G NR Data
NG-RAN 5G Core Network
Network
UE
Figure 8 5G System High Level Architecture

Introduction to 5G
2.1 NG-RAN Architecture

Figure 9 shows the key components of the NG-RAN.
Figure 9 NG-RAN Architecture
The NG-RAN components are outlined as follows:

 UE (User Equipment) - the 5G client device, which notably is not
necessarily in the traditional mobile phone form factor. This is due to
the marked rise in IoT (Internet of Things) devices which will be utilizing
the 5G network. The device itself will be responsible for bidirectional
data transfer across the 5G NR, which includes support for 5G security
and Dual Connectivity.
 gNB (New Radio Node B) - this provides 5G radio coverage to 5G
devices, supporting scheduling of user plane data, as well as
handovers. The gNB may also support Dual Connectivity, if deployed in
the network.
Tracking Areas
The 5G access network is broken down into a collection of Tracking Areas in
order to make paging of the device more efficient. To elaborate, consider that
the device, if not sending or receiving data, will switch to an idle state in which
the device will camp on the best 5G cell and based on mobility, reselect to a
different cell if that cell provides more favourable radio coverage. The problem
with this is that although this approach may save battery life, there is no
communication between the device and the network whilst the phone is idle.
This is problematic, since the network effectively loses track of the device
from the perspective of the cell that it’s currently located in. If data then comes
into the network that needs to be sent to the device, the network has to
conduct the Paging procedure that wakes the device from its idle state. It
would not be acceptable for the network to have to page every single cell to
establish communication to the device.

Introduction to 5G
Figure 10 Tracking Areas
Consequently, as shown in Figure 10, groups of neighbouring 5G cells are

collected together into Tracking Areas and identified with a TAI (Tracking Area
Identity). As long as the network knows the Tracking Area in which the device
resides, it only needs to page the cells in that specific Tracking Area. The
mobile service provider will therefore decide how big Tracking Areas should
be during the 5G network planning and roll-out phase.
2.2 NR and NG-RAN Features

Figure 11 features a number of techniques and technologies which will be
employed across the 5G NR and NG-RAN in order to meet the coverage,
capacity and data rates prescribed by IMT-2020. Each area will be discussed
in turn.
Figure 11 Techniques and Technologies for 5G NR and NG-RAN
2.3 Dual Connectivity

DC (Dual Connectivity) is a technology which was introduced to support
higher data rates in LTE but is also seen as a key enabler in providing the
data rate requirements of IMT-2020. As Figure 12 shows, a DC deployment
will see two RAN nodes providing data connectivity services to the device.
This essentially means that on top of the coverage the first RAN Node can
provide, the device will be able to benefit from whatever additional data
capacity the second RAN Node can offer.

Introduction to 5G
Figure 12 Dual Connectivity
As can be seen in Figure 12, the RAN Nodes are classed as either a Master
RAN Node or a Secondary RAN Node. The difference between the two is that
the Master RAN Node is the base station which retains control of the data
bearers and also maintains a control connection with the core network. The
Master RAN Node will control the Secondary RAN Node through a control
connection between the two. In addition, the Master and Secondary will also
share a data plane connection for media splitting.
Note that there are several DC options available for deployment, based on the
technology type and combination used for the Master RAN Node and
Secondary RAN Node. RAN nodes could be:
 A traditional 4G eNB which supports the LTE radio and connects to the
EPC (Evolved Packet Core).
 An enhanced 4G eNB, termed a ng-eNB (New Radio eNB), which
supports the LTE radio but connects to the 5G core network.
 A 5G gNB, which supports the 5G radio and connects to the 5G core.
Data Flow with Dual Connectivity
Figure 13 illustrates how both the Master and the Secondary RAN Node may
be sent user plane data from the core network. User plane connectivity that is
established between the core and the Secondary RAN Node is controlled by
the Master RAN Node. That is, the Master RAN Node will define exactly which
data should be sent to the Secondary (to the granularity of a QoS Flow).
At the RAN node, bearer splitting can then take place. This involves the RAN
node splitting a data stream so that both RAN nodes can be involved in the
downlink transmission to the device, hence raising the overall data rate
experience by the subscriber.

Introduction to 5G
Figure 13 Data Flow with Dual Connectivity
2.4 Small Cells

Small cells can be directly related to the deployment of Dual Connectivity,
although they may serve as standalone coverage solutions. In essence, a
small cell provides the same 5G radio interface to the device, but provides a
smaller area of radio coverage.
Traditionally, small cells would be deployed in the home or office environment
to address indoor coverage issues (illustrated in Figure 14). However, by
utilizing Dual Connectivity, the NG-RAN may utilize small cells both indoors
and outdoors to augment macro cell coverage.
Figure 14 Small Cells Providing In-Building Coverage
Figure 15 illustrates the concept, whereby the subscriber is provided with a

base level of coverage by the macro cell. However, as the subscriber passes
through small cell coverage areas, Dual Connectivity can be used to provide
data rate boosts for the subscriber.

Introduction to 5G
Figure 15 Augmenting Macro Coverage with Small Cells
2.5 Increased Spectrum

One of the key factors in delivering the data rates and capacity requirements
of IMT-2020 is the release of more licensed spectrum for mobile service
providers to use. Certain parts of the RF (Radio Frequency) spectrum are
already severely congested however, higher up the frequency range, there is
much more spectrum available. Consequently, 5G will utilize parts of the RF
spectrum that are new to mobile networks. Unfortunately, these new bands
pose their own challenges, as outlined in Figure 16.
Figure 16 RF Spectrum Usage
When you consider factors such as geography, topography, regulation and

population density, it is clear that no single frequency range will be able to
satisfy all of the criteria of IMT-2020. As such, 5G mobile service providers will
operate their 5G services across a range of frequency bands.
The ITU oversee the world radio spectrum allocation and as part of this
process, they regularly hold the WRC (World Radio Conference). The last
conference held in 2015, namely WRC-15, identified various 5G spectrum
options. The next conference is due in 2019 and will be critical for additional
5G spectrum harmonization.
Figure 17 ITU WRC
2.6 Radio Enhancements

The 5G NR is similar to the LTE radio in terms of basic operation, although
there are differences which would mean the two are not compatible. For
instance, 5G uses a different multiple access technique termed CP-OFDM
(Cyclic Prefix – Orthogonal Frequency Division Multiplexing), which allows the
mobile service provider to vary the spacing between subcarriers in order to

Introduction to 5G
meet the requirements of specific deployment scenarios. In terms of

modulation, 5G can use up to 256QAM (Quadrature Amplitude Modulation),
assuming the radio conditions are favourable. This means more data can be
conveyed on the radio carrier per radio symbol.
Figure 18 Radio Enhancements
2.7 Beam Forming and Steering

Massive MIMO (Multiple Input Multiple Output) is considered to be a key
technology used within the NG-RAN. In principle, Massive MIMO is a radio
antenna technology, with individual 5G gNBs featuring large arrays of
antennas working together to improve both coverage and also increase data
rate.
Figure 19 illustrates how, by using massive antenna arrays, narrower beams
of radio energy can be directed towards a subscriber or group of subscribers
(contrary to regular antennae which radiate over greater coverage areas).
This has the effect of providing much improved coverage for those
subscribers within the beam, hence increasing data rates.
Figure 19 Beam Forming with Massive MIMO
In Figure 20, the beam forming concept is taken one step further, in which the
beam of coverage is steered in order to first of all focus on a “target”, then
move in step with the movement of the “target”. This requires the device to
continuously provide feedback to the antenna array with information on the
received signal, since factors such as the subscriber turning their head, road
traffic passing by or street furniture may require the antenna to adjust its
beam steering so that optimal coverage is provided. Figure 20 shows that
beam steering can potentially accommodate a variety of subscriber mobility
scenarios, although fast moving devices will pose significant challenges.

Introduction to 5G
Figure 20 Beam Steering
2.8 Cloud RAN

C-RAN (Cloud RAN) is a technology which was introduced before 5G, but will
undoubtedly be a significant element of any mobile service provider’s NG-
RAN deployment. There are two elements to a C-RAN deployment, as shown
in Figure 21.
 Centralized Node – this will house much of the processing capability
that would normally be found at the gNB. A single Centralized Node
would provide the processing functionality for a large number of
Distributed Nodes.
 Distributed Node – this would house the radio transmit/receive
capability only.
Figure 21 Cloud RAN Deployment
Essentially, Cloud RAN adopts virtualization techniques to simplify exactly

what components need to be at the physical cell site. By conducting the
computationally demanding tasks such as scheduling, security and power
management at the Centralized Node, deployment of the Distributed Nodes is
a cheaper and more straightforward process.

Introduction to 5G
2.9 5G RAN Deployment Options

As part of the migration towards 5G, several RAN connection “options” have
been put forward by the 3GPP (included in Figure 22).
4G Evolved Packet Core 5G Core Network
Standalone
Non
Standalone Non
eNB ng-eNB
Standalone
gNB
gNB gNB
Figure 22 5G RAN Deployment Options
Figure 22 summarizes the gNB deployment options relating to Standalone or

Non-Standalone connectivity to the network.
Standalone connectivity is a straightforward deployment whereby the gNB
connects directly to the network utilizing the 5G Core. In contrast, the Non-
Standalone term is applied when the gNB connects to the network via an
eNB, which in turn is utilizing the EPC (Evolved Packet Core). Non-
Standalone can be further extended to include the gNB accessing the 5G
Core Network via an ng-eNB.
5G Core Network Architecture

The 5G Core Network is designed to provide access to a Data Network, such
as the Internet. Key responsibilities include authentication and security,
subscriber management and data bearer management. Within the core, NFV
(Network Functions Virtualization) is utilized to provide a highly scalable,
adaptive network architecture.
Figure 23 shows the key components of the 5G Core Network.

Introduction to 5G
Figure 23 5G Core Network Architecture
3.1 PDU Sessions

The 5G System is designed to provide a PDU (Protocol Data Unit)
connectivity service between the device and one or more Data Networks,
such as the Internet. PDU Sessions based on this connectivity are created to
facilitate PDU transfer; one PDU Session is established per Data Network for
a given device.
Within a PDU Session, several QoS Flows, each with different QoS
characteristics, can be established to accommodate the varying transport
requirements of the user plane data (no two QoS Flow will have the same
QoS characteristics). For Internet connectivity, this may be a simplistic
approach where only one QoS Flow is required which provides Best Effort
service. However, for voice services, separate QoS Flows may be established
to handle the differing transport requirements of signalling and voice.
Figure 24 PDU Sessions and QoS Flows
The PDU Session itself may carry IPv4, IPv6, Ethernet or unstructured traffic
(contrary to LTE, which only carries IP traffic on the user plane).
3.2 Core Network Elements

With reference to Figure 23, each of the core nodes will now be described.
The main components are:
 AMF (Core Access and Mobility Management Function).
 SMF (Session Management Function).
 UPF (User Plane Function).
 UDM (Unified Data Management).
 PCF (Policy Control Function).

Introduction to 5G
Note that in the 5G core network, these logical functions will be virtualized
(see Figure 28 for further information).
Core Access and Mobility Management Function
The primary task of the AMF is to manage the mobility of the subscriber. In
particular, the AMF will play a key role in the device registration process
(including security), as well as track the device’s mobility for reachability and
paging purposes.
Figure 25 AMF Functionality
Session Management Function

The SMF manages the PDU sessions associated with an individual
subscriber. As such, the SMF will routinely interact with the PCF to determine
exactly which Data Networks the device is allowed to connect to, as well as
the QoS profile it can expect to be allocated. The SMF will also liaise with the
UPF to establish PDU Session connectivity. Finally, the SMF will be
responsible for allocating a suitable IP address to the device (IPv4 or IPv6),
assuming an IP PDU Session is active.
Figure 26 SMF Functionality
User Plane Function

The UPF is the only network element within the core that is involved with user
plane traffic. As can be seen in Figure 23, the UPF will have data plane
connectivity to both the NG-RAN and also the Data Network. As such, the
UPF is responsible for ensuring data is placed on the correct downlink QoS
flow, as well as ensuring that any dynamic policy rules are suitably enforced
(policy rules are provided by the PCF via the SMF). Moreover, as handovers
take place in the NG-RAN, the UPF will remain the core network anchor point
for the user plane traffic.
Figure 27 UPF Functionality

Introduction to 5G
Unified Data Management

The UDM is essentially a central repository of subscriber information which
can be used by several different network elements. Information stored in the
UDM includes access restrictions, mobility restrictions, Data Network QoS
profiles and roaming permissions.
Figure 28 UDM Functionality
Policy Control Function

The PCF can provide policy decisions to the AMF and SMF on a dynamic
basis. These policy decisions or often based on conditions being active within
the network, such as congestion, subscriber geolocation or billing. In addition,
the Data Network can also potentially provide session level information, such
as the subscriber wishing to make a call or view a video. In all of these
scenarios, the PCF can dynamically change the way in which the subscriber
receives their service, from establishing the correct QoS Flows in the network
to completely terminating a PDU Session.
Figure 29 PCF Functionality
3.3 Network Virtualization

NFV (Network Functions Virtualization) was introduced before 5G as a means
by which to create a flexible and highly scalable network architecture which is
based on COTS (Commercial Off-the-Shelf) hardware as opposed to custom
built network elements. With NFV, logical network functions such as the AMF
run as software processes which draw upon the NFV Infrastructure to obtain
storage, compute and networking resources. NFV has many advantages,
such as significant cost savings and the ability to deploy new network
functions within hours as opposed to weeks (or even months).

Introduction to 5G
Figure 30 Network Functions Virtualization
Figure 30 outlines the NFV concept, showing 5G network functions as

examples of virtualized nodes. A key element of the NFV concept is MANO
(Management and Orchestration), which is required as part of the on-boarding
and instantiation of new virtualized network functions, as well as the
maintenance of existing ones.
3.4 Network Slicing

The 5G System has been designed from the outset to be an enabler platform
for a range of services and applications, with CIoT (Cellular Internet of Things)
being a prime example of this. In order to accommodate this new wave of
network stakeholders, new techniques must be introduced into the network to
ensure that SLAs (Service Level Agreements) can be upheld. More
specifically, the network must have the capability and flexibility to address the
requirements of a completely new set of network “users”.
Network Slicing is one such technique that the 5G System adopts. In
essence, Network Slicing sees the physical network infrastructure divided into
completely separate, end to end instances of the network (termed network
slices). Although these network slices are logical in nature, devices on
separate network slices will essentially be considered to be on completely
separate networks. Note that an individual device may actually be served by
multiple network slice instances if appropriate (in this scenario, all network
slice instances would use the same AMF that has been assigned to the
subscriber).
Figure 31 offers some potential use cases for network slicing.
Figure 31 Network Slicing

Introduction to 5G
5G Initial Procedures
4.1 Finding the Network
Prior to attaching to the 5G network, the device must first of all find its home
network and then find a suitable cell on which to “camp”. The high level
process that supports this is outlined in Figure 32 and is much the same as
earlier 2G, 3G and 4G technologies.
PLMN Selection Cell Selection Radio Connectivity
Figure 32 Finding the Network

 PLMN (Public Land Mobile Network) Selection – before choosing a
suitable cell, the device must first find a suitable 5G network. This may
involve a frequency scan to find available gNBs, after which point
broadcast system information can be read by the device to facilitate
network selection.
 Cell Selection – once a suitable network has been found, the device
will choose a suitable cell within that network (taking into account cells
which have access limitations). This will include taking measurements
for all neighbouring cells and ultimately choosing the cell that will
provide the best coverage.
 Radio Connection – once a cell is chosen, the device will initiate a radio
connection, which grants signalling resources to the device to allow it
and the gNB to exchange signalling messages related to the 5G NR.
Crucially, the connection also allows the device and the AMF to
communicate with one another via the gNB.
Following these initial procedures, the device can conduct the Registration
procedure.
4.2 Network Registration

The Registration procedure is conducted by the device in order to attach to
the 5G core network. During this process, the device will be allocated an AMF
and the network will undertake a series of security procedures which are
designed to authenticate the device and establish secure communication.
1 2 3 5 1 2 3
AMF
UDM
Data
Networks
EPC
4
PCF
Internet
2
gNB
UE
1 2 5 E-UTRAN IMS
1 Subscriber Identification 4 Policy Check
2 Establish Security 5 Temporary ID Allocation
3 UE Context Installation
Figure 33 Key Activity within the Network Attach Procedure

Introduction to 5G
Subscriber Identification
The device will typically provide to the network its last known temporary ID,
assuming it has one. As such, in order to support security and subscriber
profile acquisition, the network will need to ascertain the subscriber’s real
identity. If the AMF cannot resolve the temporary ID to the permanent ID of
the subscriber, the AMF will query the subscriber device directly.
Figure 34 Subscriber Identification
Note that in 5G, a “Concealed Identity” can be used, which is designed to

protect the subscriber’s permanent identity (typically their IMSI) from being
snooped. Essentially, any time the device wishes to send its permanent ID to
the network, it will first encrypt it using the public key of the mobile service
provider.
Establish Security
Several layers of security are used in 5G to protect the user’s data and
signalling in transit. This security is established as part of the overall
Registration procedure and is based on a process termed 5G AKA
(Authentication and Key Agreement). In essence, the technique relies on the
notion of a shared secret key; the USIM stores one copy and the UDM stores
the other. During the Registration procedure, the secret key is used as the
basis for mutual authentication (both the device and the network prove to one
another that they are legitimate) and also encryption. All signalling traffic
between the device and the network can be encrypted to prevent snooping, in
addition to all user traffic.
Figure 35 Establish Security
UE Context Installation
Every valid subscriber has a subscriber profile stored in the UDM. This profile
will define the Data Networks that a subscriber is permitted to connect to,
including the QoS profile they are allowed to have for that network. Additional

Introduction to 5G
examples of information in the subscriber profile includes an overall

bandwidth cap, roaming permissions and billing information.
During registration, the AMF must acquire the subscriber profile from the
UDM. The AMF then uses this information to check if barring or roaming
restrictions are in place for the subscriber. The information provided by the
UDM is stored in the AMF as a UE Context.
Subscriber Profile
Allowed DN Connections -
QoS -
Bandwidth -
Roaming -
Subscriber Status -
AMF UDM
Figure 36 Acquire Subscriber Profile
Policy Check
During the Registration procedure, the AMF may typically conduct a policy
check with the PCF. Policy control is often influenced by conditions, such as
the time of day, location of the user, network congestion, handset type etc.
Therefore, before the AMF allows the subscriber to register with the network,
a check can be made with the PCF, essentially requesting that based on the
current network conditions, is the subscriber permitted access to the network?
AMF Policy Check PCF
Policy Decision
Policy decision based

on conditions
Figure 37 Policy Check
Temporary ID Allocation
The final part of the Registration procedure is the allocation of a Temporary
Identity to the subscriber. This Temporary Identity is created by the AMF and
is used for the remainder of the registration period or until the device is
allocated a new Temporary Identity, potentially due to an AMF change.
Utilizing the Network

5.1 Idle and Connected Mode
Once registered with the network, the device will constantly pass between
being “Idle” or being “Connected”. The key differences between the two
modes are shown in Figure 38, but the high-level distinction is that Idle mode
is used to save battery life; if the device does not have any data to exchange
with the network, it is a waste of battery power to keep the device’s 5G radio
100% active.

Introduction to 5G
Figure 38 Idle and Connected Mode
The transition between Idle and Connected states is a constant occurrence,

which is largely attributed to the way in which apps on a typical smartphone
are “chatty” with the network (assuming a smartphone is the device in
question). Even if the subscriber is not actively checking their Facebook,
sending texts, checking emails etc, the apps on the device may still be
actively exchanging data with the network. The smartphone can potentially
drop to an Idle state and literally within milliseconds be transitioning back into
a Connected state. Moments later, the phone may transition down to Idle
again, with the process repeating as and when data needs to be sent.
Figure 39 Transitioning Between Idle and Connected Mode
Note that some IoT devices will behave differently in the network, since they
may have much stricter requirements on optimizing the life of the battery. As
such, devices will access the network on a much more infrequent basis, and
may even operate in MICO (Mobile Initiated Connection Only) mode, which
prevents the network from paging the device.
5.2 Establishing a PDU Session

When the device is required to exchange user plane data with the network, a
PDU Session will need to be established. The main elements of the PDU
Session Establishment procedure are outlined in Figure 40.

Introduction to 5G
Figure 40 Establishing a PDU Session
The data connections established include a radio bearer between the device
and the gNB and a connection between the gNB and the UPF. These
connections are logical in nature, with the network supporting thousands of
logically separate PDU Sessions.
Figure 41 User Data Connections
A subscriber’s PDU Session is unique to them; throughout its existence, a

PDU Session will only carry user data specific to one subscriber.
If a subscriber has multiple PDU Sessions, each PDU Session needs its own
set of connections across the network. For example, if a subscriber has three
PDU Sessions in place, this means there will be three radio bearers between
the device and the gNB, and three connections between the gNB and the
UPF.
Note that within a PDU Session, several separate QoS Flows may be in
operation. Each individual QoS Flow will have a QoS profile different to any
other QoS Flows within the same PDU Session. To allocate a particular piece
of user data to a specific QoS Flow, the device or UPF must add an additional
header to the data packet which contains a QoS Flow ID.
5.3 Moving to Idle

At some point, a device in a Connected state will not have any data to send or
receive in the network. It is the gNB which monitors this situation, essentially
looking out for a fixed period of user inactivity. If the gNB deems that the
device has been inactive for, say 15 seconds, it will send a request to the AMF
to be permitted to send the device to Idle. At this point, PDU Session
connectivity will be torn down in the NG-RAN.

Introduction to 5G
Figure 42 Removing the NG-RAN Connectivity
When in Idle mode, the elements of the device’s PDU Session(s) which span
the RAN are not in place. This is due to the fact that the device, when Idle, will
be determining the best cell to use and will switch to a new cell without
informing the network (as long as the new cell is not in a new Tracking Area).
Therefore, there is no point in maintaining data connectivity at a particular
gNB if the device has already potentially decided to camp on a different cell.
Figure 43 Moving to Idle
5.4 Getting Connected – Service Request
Figure 44 Service Request

Introduction to 5G
When a device in an Idle state has user data to send, it will use a Service
Request to move back into a Connected State. Bearing in mind that until this
point the device was simply listening for paging, the first task it must complete
is to establish a radio connection to the gNB looking after the cell in which the
device is camping. Once this is achieved, a Service Request is sent from the
device to the AMF via the gNB.
The aim of the Service Request is to establish NG-RAN connectivity for each
of the PDU Sessions that the device currently has active (see Figure 42 – the
connectivity was torn down when the device transitioned to Idle). Note that in
5G, the device can be selective as to exactly which PDU Sessions have their
data plane connectivity re-established.
5.5 Paging
Figure 45 Paging Process
When the device is in an Idle state, it is possible that downlink data traffic
arrives at the UPF destined for the user. For example, the subscriber may
have been sent a WhatsApp message or perhaps a call establishment
request. The problem is, when the device is Idle, the network only knows the
location of the user to the accuracy of a Tracking Area. As such, when
downlink data arrives for the device, the AMF will conduct the Paging process
in which a Paging message is sent to every gNB within the subscriber’s
known Tracking Area. In turn, each gNB will broadcast the Paging message
within every cell that the gNB is responsible for (note that contrary to this, the
mobile service provider will undoubtedly use an optimized Paging strategy.
From the device’s perspective, in an Idle state it has camped on a particular
cell (typically the cell that provides the best signal) and is periodically
switching on the 5G radio and listening out for a Paging message. The Paging
message carries the temporary identity of the subscriber and as soon as the
device recognizes this, the phone is triggered into conducting a Service
Request procedure (outlined in Figure 44).

Introduction to 5G
Mobility and Interworking

6.1 Tracking Area Updates
Once a device is attached to the network, it is imperative to the success of the
Paging procedure that the network is kept informed as to the current Tracking
Area in which the device is residing. This is only relative to when the device is
in the Idle state; as soon as the device is Connected, location information is
much more accurate (down to the granularity of an individual cell rather than a
Tracking Area).
The Tracking Area Update process allows the device to keep the network
aware of the current Tracking Area in which the device can be found. As an
example, if a device moves from one cell to another and finds out that the new
cell belongs to a different Tracking Area, this will trigger the device into
conducting the Tracking Area Update procedure. This is just one example;
there are many other reasons to conduct a Tracking Area Update.
The procedure itself is very straightforward, with a simple message exchange
between the device and the AMF (this occurs after the device has established
a radio link with the gNB of the current cell).
AMF
2 Establish Radio Link

4 AMF deletes
3 Tracking Area Update old TA and
records new TA
5 TAU Accepted
UE gNB
1 Trigger for conducting the Tracking Area Update eg .

- Device enters new Tracking Area
- Periodic Update
- Device has come from 4G into 5G
Figure 46 Tracking Area Update
6.2 Handovers
Handovers take place when the device is in a Connected state, under the
control of the network. That is, the network decides when the device should
be handed over from one cell to the next.
Two mechanisms for conducting handovers are available, termed the Xn
Handover and N2 Handover.
Xn Handover
Xn based handovers are coordinated largely by the two gNBs involved in the
handover process – the Source and Target gNB. Using the Xn interface that
links them, the Source gNB will supply the Target gNB with all the information
it needs to receive the subscriber. Such information includes security
information, as well as the key characteristics of the PDU Session(s) that the
device is currently utilizing.

Introduction to 5G
Figure 47 Xn Handover
Ultimately, the Target gNB will determine as to whether or not it can

accommodate the handover. Assuming the answer is yes, all that remains is
to redirect the device to the new cell and redirect the PDU Sessions(s) to the
new gNB. Due to the fact that there is little involvement by the core network in
the handover process, the Xn Handover is a very popular technique for
facilitating handovers.
N2 Handover
N2 Handovers typically occur much less frequently in the network, largely
because Xn Handovers are more prevalent. Typically, N2 Handovers are used
because an Xn Handover is not possible (possibly due to network architecture
or lack of provisioning).
Both handover techniques achieve the same goal; moving the device from
one cell to another. However, with an N2 Handover the core network
coordinates the overall process instead of the gNBs. In essence, the AMF
acts as a go between for the Source and Target gNB, relaying all the required
messages. Fundamentally, the Target gNB still needs to know all the
necessary information relative to the device, and it still needs to make a
decision as to whether or not the device can be accepted. If the handover
takes place, the device will be directed to the new cell and the AMF / SMF will
ensure that the PDU Session(s) are redirected to the new gNB.

Introduction to 5G
Figure 48 N2 Handover
6.3 Roaming
The 5G System supports two different roaming scenarios, namely Home
Routed or Local Breakout.
Figure 49 Roaming in 5G
Figure 50 depicts the architecture for the Home Routed scenario, whereby all
User Plane traffic will be sent from the Visited Network to the Data Network
via the Home Network (utilizing the N9 reference point between the Visited
and Home Network). Control Plane traffic is also sent back to the Home
Network where necessary, utilizing the N8, N12 and N16 reference points. For
example, during registration the Visited AMF would acquire subscriber
information from the Home UDM via N8. Moreover, the V-SMF would liaise
with the H-SMF via N16 in order to establish the PDU Session.
Figure 50 5G Roaming – Home Routed
Figure 51 shows the architecture associated with Local Breakout, in which the
User Plane traffic is sent to the Data Network directly from the Visited
Network. The Home Network’s involvement is only required for Control Plane
purposes.

Introduction to 5G
Figure 51 5G Roaming – Local Breakout

Introduction to 5G

Introduction to 5G
Glossary
5G NR (New Radio) MICO (Mobile Initiated Connection Only)

5GC (5G Core Network) NFV (Network Functions Virtualization)
AMF (Core Access and Mobility ng-eNB (New Radio eNB)
Management Function) NG-RAN (Next Generation – Radio
CIoT (Cellular Internet of Things) Access Network)
COTS (Commercial Off-the-Shelf) PCF (Policy Control Function)
C-RAN (Cloud RAN) PDU (Protocol Data Unit)
DC (Dual Connectivity) PLMN (Public Land Mobile Network)
EPC (Evolved Packet Core) SMF (Session Management Function)
gNB (New Radio Node B) TAI (Tracking Area Identity)
HSPA (High Speed Packet Access) UDM (Unified Data Management)
IMT (International Mobile UE (User Equipment)
Telecommunications) UPF (User Plane Function)
ITU-R (International Telecommunication WRC (World Radio Conference)
Union – Radiocommunication)
M2M (Machine to Machine)

Introduction to 5G

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© Mpirical Limited, 2017 i

First published by Mpirical Limited in 2017

ii © Mpirical Limited, 2017 MPI0122-030-011

Glossary ............................................................................................ 29

© Mpirical Limited, 2017 iii

iv © Mpirical Limited, 2017 MPI0122-030-011

Figure 1 ITU-R and the IMT Technologies .................................................................... 1

Figure 7 3GPP 5G Roadmap ........................................................................................ 4

Figure 10 Tracking Areas .............................................................................................. 6

Figure 13 Data Flow with Dual Connectivity ................................................................. 8

Figure 16 RF Spectrum Usage...................................................................................... 9

Figure 19 Beam Forming with Massive MIMO ............................................................ 10

Figure 28 UDM Functionality ....................................................................................... 15

© Mpirical Limited, 2017 v

Figure 31 Network Slicing ........................................................................................... 16

Figure 47 Xn Handover ............................................................................................... 25

Figure 50 5G Roaming – Home Routed ...................................................................... 26

vi © Mpirical Limited, 2017 MPI0122-030-011

5G Concepts and Drivers

2000 2008 2015

IMT 2000 IMT Advanced IMT 2020

Figure 1 ITU-R and the IMT Technologies

5G is no exception and in particular, the 5D Working Party defined the

Ultra-Reliable Massive Machine

Figure 2 ITU-R Usage Scenarios

Enhanced Mobile Broadband

© Mpirical Limited, 2017 1

Figure 3 Evolution to Ultra Broadband

Figure 3 outlines the gradual increase in data rates

Figure 4 Ultra Reliable and Low Latency Communications

Massive Machine Type Communications

2 © Mpirical Limited, 2017 MPI0122-030-011

growth of CIoT (Cellular Internet of Things) based applications and devices

Figure 5 Massive Machine Type Communications

5G (IMT-2020) Performance Synopsis

Figure 6 Enhancements of Key Capabilities (IMT Advanced to IMT-2020)

© Mpirical Limited, 2017 3

2017 2018 2019 2020 2021 2030

Figure 7 3GPP 5G Roadmap

5G New Radio and NG-RAN

Figure 8 5G System High Level Architecture

4 © Mpirical Limited, 2017 MPI0122-030-011

2.1 NG-RAN Architecture

Figure 9 NG-RAN Architecture

The NG-RAN components are outlined as follows:

© Mpirical Limited, 2017 5

Figure 10 Tracking Areas

Consequently, as shown in Figure 10, groups of neighbouring 5G cells are

2.2 NR and NG-RAN Features

Figure 11 Techniques and Technologies for 5G NR and NG-RAN

2.3 Dual Connectivity

6 © Mpirical Limited, 2017 MPI0122-030-011

Figure 12 Dual Connectivity

© Mpirical Limited, 2017 7

Figure 13 Data Flow with Dual Connectivity

2.4 Small Cells

Figure 14 Small Cells Providing In-Building Coverage

Figure 15 illustrates the concept, whereby the subscriber is provided with a

8 © Mpirical Limited, 2017 MPI0122-030-011

Figure 15 Augmenting Macro Coverage with Small Cells

2.5 Increased Spectrum

Figure 16 RF Spectrum Usage