Global 5G Rise of A Transformational Technology

Table of Contents
INTRODUCTION...................................................................................................... 5
INTENSIFYING ROLE OF WIRELESS COMMUNICATIONS......................................... 7
Global Mobile Adoption ............................................................................................ 8
Transformational Elements..................................................................................... 10
Expanding Use Cases ............................................................................................ 12
THE IMPACT OF 5G ............................................................................................... 16
5G Rollout............................................................................................................ 16
1G to 5G Evolution ................................................................................................ 17
5G Technical Objectives ......................................................................................... 21
5G Applications .................................................................................................... 22
5G Frequency Use ................................................................................................. 25
5G Schedule......................................................................................................... 30
5G Device Availability ............................................................................................ 31
5G Phase One (Release 15) .................................................................................... 31
5G Phase Two (Release 16).................................................................................... 34
5G Release 17 ...................................................................................................... 35
5G Architecture .................................................................................................... 36
5G Performance .................................................................................................... 40
Dynamic Spectrum Sharing .................................................................................... 41
5G Network Slicing................................................................................................ 42
5G NR Cellular Positioning ...................................................................................... 46
5G Network Types and Operator Strategies .............................................................. 47
Integrated Access and Backhaul ............................................................................. 49
2020-2030 TECHNOLOGY EVOLUTION .................................................................. 51
Application Evolution ............................................................................................. 52
Radio Evolution .................................................................................................... 54
Network Evolution ................................................................................................. 54
Distributed Computer Intelligence ........................................................................... 56
Standards Evolution .............................................................................................. 56
Challenges toward this Future ................................................................................ 57
INTERNET OF THINGS AND INDUSTRIAL IOT ....................................................... 58
CELLULAR V2X COMMUNICATIONS....................................................................... 63
SPECTRUM DEVELOPMENTS.................................................................................. 65
3.55 to 3.70 GHz (CBRS) ....................................................................................... 68
3.7 to 4.2 GHz (C-Band) ........................................................................................ 68
3.1 to 3.55 GHz .................................................................................................... 70
2.5 GHz (EBS) ...................................................................................................... 71
6 GHz.................................................................................................................. 71
5.850 to 5.925 GHz (DSRC) ................................................................................... 71
5G mmWave Bands ............................................................................................... 72
Spectrum Sharing (CBRS, LSA) .............................................................................. 74
Harmonization ...................................................................................................... 77
Unlicensed Spectrum ............................................................................................. 79
KEY SUPPORTING TECHNOLOGIES ....................................................................... 80
Virtualization and Cloud Native ............................................................................... 80
Global 5G, Rysavy Research/5G Americas, September 2020 Page 2

O-RAN ................................................................................................................. 83
Edge Computing ................................................................................................... 85
Artificial Intelligence (AI) ....................................................................................... 87
Unlicensed Spectrum Integration ............................................................................ 91
Multiple Cell Types ................................................................................................ 95
Neutral-Host Small Cells ........................................................................................ 99
Massive MIMO ...................................................................................................... 99
Multicast and Broadcast ....................................................................................... 100
Information-Centric Networking ............................................................................ 101
4G LTE ADVANCES .............................................................................................. 102
LTE-Advanced and LTE-Advanced Pro Features ....................................................... 102
LTE 1 Gbps Capability.......................................................................................... 105
3GPP RELEASES.................................................................................................. 106
FIXED WIRELESS ACCESS ................................................................................... 108
VOLTE, 5G VOICE, RCS, WEBRTC, AND WI-FI CALLING ...................................... 111
Voice Support and VoLTE ..................................................................................... 111
5G Voice Support ................................................................................................ 112
Rich Communications Suite .................................................................................. 112
WebRTC ............................................................................................................ 113
Wi-Fi Calling....................................................................................................... 113
PUBLIC SAFETY .................................................................................................. 114
LTE Features for Public Safety .............................................................................. 115
Deployment Approaches ...................................................................................... 117
EXPANDING CAPACITY ....................................................................................... 119
CONCLUSION...................................................................................................... 123
APPENDIX: TECHNOLOGY DETAILS .................................................................... 124
Spectral Efficiency............................................................................................... 124
5G .................................................................................................................... 134
Architecture in Detail ....................................................................................... 134
Architecture Options ........................................................................................ 139
C-V2X in Detail................................................................................................ 141
NR-U in Detail ................................................................................................. 144
5G NR Cellular Positioning in Detail .................................................................... 155
Dynamic Spectrum Sharing in Detail .................................................................. 177
Integrated Access and Backhaul in Detail ............................................................ 180
Performance ................................................................................................... 182
Quality of Service ............................................................................................ 189
Spectrum Bands for 4G and 5G ............................................................................ 191
3GPP Releases to Release 14 ................................................................................ 195
Data Throughput Comparison ............................................................................... 197
Latency Comparison ............................................................................................ 203
Data Consumed by Streaming and Virtual Reality ................................................... 204
LTE, LTE-Advanced, and LTE-Advanced Pro ............................................................ 205
LTE-Advanced and LTE-Advanced Pro ................................................................. 205
OFDMA and Scheduling .................................................................................... 206
LTE Smart Antennas ........................................................................................ 208
LTE-Advanced Antenna Technologies.................................................................. 212
Carrier Aggregation ......................................................................................... 216
Coordinated Multi Point (CoMP) ......................................................................... 220

User-Plane Congestion Management (UPCON) ..................................................... 222
Network-Assisted Interference Cancellation and Suppression (NAICS) .................... 223
Multi-User Superposition Transmission (MUST) .................................................... 223
IPv4/IPv6 ....................................................................................................... 223
TDD Harmonization .......................................................................................... 223
SMS in LTE ..................................................................................................... 224
User Equipment Categories ............................................................................... 224
LTE-Advanced Relays ....................................................................................... 226
Proximity Services (Device-to-Device) ................................................................ 226
LTE Throughput ............................................................................................... 227
VoLTE and RCS ............................................................................................... 233
LTE Ultra-Reliable and Low-Latency Communications ........................................... 239
Evolved Packet Core (EPC)................................................................................ 239
Heterogeneous Networks and Small Cells............................................................... 242
Enhanced Intercell Interference Coordination ...................................................... 246
Dual Connectivity ............................................................................................ 251
Internet of Things and Machine to Machine ............................................................ 253
Cloud Radio-Access Network (RAN) and Network Virtualization for LTE ...................... 254
Other Unlicensed Spectrum Integration ................................................................. 257
Release 6 I-WLAN ............................................................................................ 258
Release 8 Dual Stack Mobile IPv6 and Proxy Mobile IPv6 ...................................... 258
Release 11 S2a-based Mobility over GTP ............................................................ 258
Multipath TCP.................................................................................................. 259
ANDSF ........................................................................................................... 259
Bidirectional Offloading Challenges .................................................................... 260
Other Integration Technologies (SIPTO, LIPA, IFOM, MAPCON) .............................. 261
Hotspot 2.0..................................................................................................... 262
Self-Organizing Networks (SON) ........................................................................... 264
IP Multimedia Subsystem (IMS) ............................................................................ 266
Broadcast/Multicast Services ................................................................................ 268
Backhaul............................................................................................................ 269
Remote SIM Provisioning ..................................................................................... 270
ABBREVIATIONS AND ACRONYMS ...................................................................... 270
ADDITIONAL INFORMATION .............................................................................. 281
Copyright ©2020 Rysavy Research, LLC. All rights reserved. http://www.rysavy.com

Introduction
With the global rollout of 5G networks, the wireless industry has taken another major step in
transforming how people interact with the world. In terms of new subscriptions, 5G is the
fastest growing generation of cellular wireless technology ever deployed.1 By mid-2020, 5G
was a commercial reality, with more than ninety 5G networks in operation.2
By supporting new application types and flexible spectrum use, including frequencies never
before used in cellular systems, 5G provides a communications foundation for a future world—
one of extended reality, autonomous cars, smart cities, wearable computers, and innovations
not yet conceived. 5G will become essential to the economy through investment of hundreds
of billions of dollars in infrastructure and creation of millions of new jobs.
4G LTE demonstrated how well wireless technology can support mobile and fixed broadband
and Internet of Things (IoT). 4G LTE provides the underpinning for 5G to massively augment
capacity, increase throughput speeds, decrease latency, and increase reliability, addressing
applications never before possible with wireless connections. 5G will not replace LTE; in many
cases, the two technologies will be tightly integrated and co-exist through at least the mid-
2020s.
Early deployments based on the first phase 5G standard, emphasizing enhanced mobile
broadband, are accelerating, and many 5G devices are already available. The more complete
5G standard, which adds support for items such as Industrial IoT, Integrated Access and
Backhaul (IAB), operation in unlicensed spectrum, and vehicle communications, was
completed in 2020. Just as LTE continually advanced throughout this decade, so will 5G be
constantly enhanced in successive versions of the standard.
Computer intelligence in devices, combined with cloud computing and now edge clouds, is
creating a distributed computing environment. This environment, combined with other
innovations, such as AI, will result in entirely new consumer and business applications.
Because long-term growth in smartphone and other mobile device use is limited by
population, innovators are concentrating on IoT, which already encompasses a wide array of
applications. Enhancements to LTE, followed by 5G IoT capabilities, are assisting wearable
computers, making cities smarter, facilitating industrial automation, driving adoption of
connected autonomous vehicles, and improving health. 5G not only addresses IoT
deployments on a huge scale, but also enables applications that depend on ultra-reliable and
low-latency communications, paving the way for vast deployments of Industrial IoT.
This paper captures the scope of the industry’s current developments, beginning with a
summary of the most important developments in Table 1.
1
5G Americas, “5G’s Year One: Fast Start and Healthy Growth,” Mar. 23, 2020.
https://www.5gamericas.org/5gs-year-one-fast-start-and-healthy-growth/.
2
5G Americas, “5G & LTE Deployments.” https://www.5gamericas.org/resources/deployments/,
accessed Jul. 16, 2020.

Table 1: Most Important Wireless Industry Developments in 2020
Development Summary
5G Deployment Operators globally continue to deploy 5G in a variety of bands, including

Accelerating low-band, mid-band, and mmWave bands. More than 100 5G devices are
now available.3
5G Now Fully 3GPP has completed specifications for both Release 15 and Release 16,
Specified in 3GPP addressing a range of use cases far beyond LTE. The 5G New Radio (NR)
Releases 15 and 16 specified in Release 15 supports low-latency, beam-based channels,
operation to 52.6 GHz, massive Multiple Input Multiple Output (MIMO)
with large numbers of controllable antenna elements, scalable-width
subchannels, carrier aggregation, cloud Radio-Access Network (RAN)
capability, and coexistence with LTE. Release 16 focuses on enterprise
applications with ultra-reliable low-latency communications, operation in
unlicensed spectrum, integrated access and backhaul, vehicle
communications, industrial IoT, and efficiency and performance
enhancements.
5G Innovation Release 17 work has begun to define support for low-complexity devices,
Continues with operation in 52.6 to 71 GHz, satellites, multiple SIMs, NR multicast and
Release 17 broadcast, and a wide range of feature enhancements.
Standalone Operators are transitioning to standalone architecture, which will improve

Architecture performance, enable slicing, support industrial IoT, and facilitate edge
computing.
Fiber Densification The eventual hundreds of thousands of new small cells to support dense
5G networks will require extensive amounts of new fiber. Planned 5G
capabilities, such as IAB, however, will mean not every base station has to
have a fiber connection, especially at mmWave frequencies.
Harnessing Radio methods including massive MIMO and beamforming are enabling
Spectrum Never use of spectrum above 6 GHz that was never previously feasible for
Before Feasible cellular networks. The huge amounts of spectrum above 6 GHz will result
in wider channels with correspondingly faster data rates, capacity gains,
or a combination thereof.
Internet of Things IoT, evolving from machine-to-machine (M2M) communications, is seeing

Poised for Wide- rapid adoption, with tens of billions of new connected devices expected
Scale Adoption over the next decade.
Drivers include improved LTE and NR support, such as low-cost and low-
power modems, enhanced coverage, and higher densities. Network slicing,
edge computing, and private networks in 5G will further accelerate
deployment.
Unlicensed The industry is now deploying versions of LTE that can operate in
Spectrum Becomes unlicensed spectrum, such as LTE-Unlicensed (LTE-U), LTE-Licensed
More Tightly Assisted Access (LTE-LAA), and MulteFire.4 NR support for unlicensed
spectrum is now available in Release 16 of the 5G standard.
3
GSA, “5G Ecosystem – July 2020 – Devices update,” Jul. 2020. https://gsacom.com/paper/5g-
ecosystem-july-2020-devices-update/?utm=devicereports5g.
4
Specified by the MulteFire Alliance.

Development Summary
Integrated with
Cellular
Spectrum Remains Spectrum in general, and licensed spectrum in particular, remains

Essential essential for the industry.
Forthcoming new spectrum in the United States includes the 3.5 GHz
Citizens Broadband Radio Service (CBRS), with up to 70 MHz of licensed
spectrum, and 280 MHz of mid-band spectrum in the C-band.
Small Cells Operators have begun installing small cells, which now occupy more than
Accelerating 100,000 outdoor sites in the United Sates. Eventually, hundreds of
thousands, if not millions, of small cells will increase capacity and provide
a viable alternative to wireline broadband.
The industry is slowly overcoming challenges that include restrictive

regulations, site acquisition, self-organization, interference management,
power, and backhaul, but deployment remains a challenge.
Network Function Network function virtualization (NFV) and software-defined networking

Virtualization (NFV) (SDN) tools and architectures are enabling operators to reduce network
Emerges and Proves costs, simplify deployment of new services, reduce deployment time, and
Central to 5G scale their networks.
The Open RAN Alliance (O-RAN) is standardizing interfaces to enable the

disaggregation of the radio access network, embracing intelligence and
openness.
Edge Computing Operators are deploying edge clouds to reduce server latencies and the
Deployment Begins traffic volume across backbone networks, benefiting applications such as
IoT data processing, video processing, augmented reality, virtual reality,
cloud gaming, and connected cars.
5G Potential Artificial intelligence will optimize network efficiency, make devices easier
Synergistic with AI to use, enable new applications, and leverage a hybrid architecture of
central cloud, edge clouds, and device computing capability.
The main part of this paper covers the intensifying role of wireless communications, the
impact of 5G, 2020 to 2030 evolution, IoT and industrial IoT, cellular communications,
spectrum developments, key supporting technologies, 4G LTE advances, 3GPP releases, fixed
wireless access, voice support, public safety, and capacity expansion.
The appendix delves into more technical aspects of the following topics: spectral efficiency,
5G in detail, spectrum bands, 3GPP releases, data throughput, latency, LTE, heterogeneous
networks and small cells, Internet of Things, cloud RAN, unlicensed spectrum integration,
self-organizing networks, the IP multimedia subsystem (IMS), broadcast/multicast, backhaul,
remote SIM provisioning, UMTS-HSPA, and EDGE/GRPS.
Intensifying Role of Wireless Communications

Wireless technology is playing an ever-increasing role in the economy. By harnessing more
spectrum and achieving ever greater efficiency, wireless technology will not only continue to
support pervasive mobile computing but also rapidly displace many fixed broadband

connections and connect vast numbers of items in the environment. This section addresses
global adoption of wireless technologies, transformational elements, expanding use cases,
fixed wireless access, and the Internet of Things.
Global Mobile Adoption

Until now, mobile broadband has been the key driver for wireless technology deployment,
and indeed, enhanced mobile broadband was the focus of the first phase of the 5G
standard.5 Today’s smartphones and tablets, dominated by the iOS and Android
ecosystems combined with sophisticated cloud-based services, provide a stable, well-
defined application environment that allows developers to target billions of users.
Figure 1 shows an Ericsson data projection for the 2015 to 2025 period.
Figure 1: Global Mobile Data Traffic (Exabytes/Month) 2015 to 20256
The faster 5G speeds are accelerating data usage. For example, in May 2019, Korea’s
Ministry of Science and ICT (MSIT) reported 18.3 GBytes/month of data usage by 5G users
compared to 9.0 GBytes/month for 4G users.7
5
3GPP Release 15.
6
Ericsson, Ericsson Mobility Report, Jun. 2020.
7
Samsung, 5G Launches in Korea, 2019.
https://images.samsung.com/is/content/samsung/p5/global/business/networks/insights/white-

Billions of devices will also employ wireless connections. Figure 2 from Cisco shows the
growth of cellular IoT through 2023, reaching 4.4 billion connections by 2023.
Figure 2: Global Mobile IoT (Billions)8
In June 2020, 9.12 billion GSM-HSPA-LTE active connections were in effect9—more than
the world’s 7.66 billion population.10 By the end of 2024, the global mobile broadband
market is expected to include 10.3 billion subscribers.11 1.3 billion subscribers will be on
5G, representing 12.6% market share.12
LTE has experienced faster deployment than any mobile technology ever developed. All
major U.S. operators now offer nationwide LTE coverage. LTE has also been chosen by
U.S. national public safety organizations as their broadband technology of choice.
As shown in Figure 3, 2G GSM has peaked and is now declining, as are CDMA and
WCDMA/HSPA. LTE subscriptions will continue to rise for one more year. By 2025, 5G will
represent almost 30% of market share.
paper/5g-launches-in-korea-get-a-taste-of-the-future/5G-Launches-in-Korea-Get-a-taste-of-the-
future.pdf.
8
Cisco, Annual Internet Report (2018-2023), Mar 2020.
9
Omdia, Jul. 2020.
10
U.S. Census Bureau, “U.S. and World Population Clock,” http://www.census.gov/popclock/,
accessed Jul. 13, 2020.
11
Omdia, Jul. 2020.
12
Ibid.

Figure 3: Mobile Subscriptions by Technology (Billions)13
Transformational Elements
Many elements are interacting to transform wireless technology, but the most important
factors are radio advances that grant access to far more spectrum, increased radio
performance through massive MIMO, specific capabilities for IoT, network densification,
new network architectures that leverage network function virtualization and software-
defined networking, and new means to employ unlicensed spectrum. Except for the 5G
objective of high-band spectrum access, these advances apply to both LTE and 5G.
13
Ericsson, Ericsson Mobility Report, Jun. 2020.

Figure 4: Fundamental Transformational Elements
Throughout radio history, technology has climbed a ladder to use higher frequencies; the
initially dubbed “ultra-high frequencies” made available for television are now considered
low-band frequencies for cellular. Frequencies above 6 GHz, particularly mmWave
frequencies that begin at around 24 GHz, are the new frontier. Networks will ultimately
increase current spectrum usage by tenfold, using even more as radio technology crosses
100 GHz and begins to exploit terahertz frequencies. Although higher frequencies pose
challenges such as propagation limitations and higher penetration loss, methods such as
massive MIMO, beam steering, beam tracking, dual connectivity, carrier aggregation, and
small-cell architectures with self-backhauling help mitigate these challenges.
In addition to accessing higher bands, cellular technologies are integrating unlicensed

spectrum more efficiently with technologies such as LAA in LTE. 5G in Release 16 allows
similar approaches with NR in a capability called “NR-U.”
Small cells, on the roadmap for many years but held back by implementation difficulties
such as backhaul, are now proceeding with large-scale deployments. These deployments
will ultimately lead to densities as high as four to ten small cells for every macro cell.
Meanwhile, networks are becoming programmable. Using a distributed, software-enabled

network based on virtualization, operators and third parties can deploy new services and
applications more rapidly and in a more scalable fashion. This distributed computing
architecture, along with cloud services and powerful device computers, will allow AI to
make networks more efficient and able to deliver entirely new services.

For millions, and ultimately billions of people, wireless connections will be the only
connections that they need. These networks will also provide the foundation for entire new
industries not yet conceived.
Beyond human-to-human communications, LTE and 5G have many features to address

the huge opportunity of communications between things. The emphasis of 5G is to expand
the use cases for wireless communications, as discussed next.
Expanding Use Cases

The International Telecommunication Union (ITU)’s 5G recommendations divides use
cases into the three main categories shown in Figure 5.
❑ Enhanced Mobile Broadband (eMBB). eMBB is the most obvious extension of

LTE capability, providing higher throughputs for applications such as streaming,
Web access, video conferencing, and virtual reality. Highest throughputs will occur
in small cells with limited movement speed of end users, such as pedestrians. This
is the emphasis of the first phase of 5G, specified in Release 15 of 3GPP
specifications.
❑ Massive Machine-Type Communications (mMTC). Massive machine-type

communications capability extends LTE Internet of Things capabilities—for
example, NB-IoT—to support huge numbers of devices with lower costs, enhanced
coverage, and long battery life. As shown in the ITU objectives below, 5G supports
ten times as many devices in an area as LTE.
❑ Ultra-Reliable and Low-Latency Communications (URLLC). Of the three

categories, URLLC enables new wireless applications requiring low latency. Driven
by high dependability and extremely short network traversal time, URLLC, also
referred to as “mission-critical” communications, enables industrial automation,
drone control, new medical applications, and autonomous vehicles. This category
is also referred to as critical machine-type communications (cMTC).

Figure 5: ITU Use Case Model14
In a project called “SMARTER,” 3GPP identified multiple specific use cases for 5G,
consistent with ITU’s model.15
With increased capabilities in successive 5G releases, 5G (and LTE) will evolve from
supporting business-critical communications to mission-critical communications, as shown
in Figure 6.
14
For background, see ITU, IMT Vision – Framework and overall objectives of the future development
of IMT for 2020 and beyond, Recommendation ITU-R M.2083-0, Sep. 2015.
15
3GPP TR22.891, Feasibility Study on New Services and Markets Technology Enablers; TR22.861
(Massive Internet of Things); TR22.862 (Critical Communications); TR 22.863 (Enhanced Mobile
Broadband); TR22.864 (Network Operation).

Figure 6: Evolution from Business-Critical to Mission-Critical Communications16
Figure 7 shows different use case requirements for throughput, latency, and reliability.
Figure 7: Requirements for Different 5G Use Cases17
Figure 8 compares the ability of LTE and 5G to address ITU use case categories. For mobile
broadband and IoT, 5G significantly augments LTE capabilities. With mission-critical
support, however, 5G will introduce capabilities to address many new applications not
previously feasible with 4G.
16
Nokia contribution. Nokia, Industrial-grade private wireless for Industry 4.0 applications, 2019.
https://pf.content.nokia.com/t004f8-why-private-wireless/white-paper-industrial-grade-private-
wireless-for-industry-4-0-applications.
17
Nokia contribution. See also Ericsson discussion, “5G Use Cases.”
https://www.ericsson.com/en/5g/use-cases.

Figure 8: Comparison of Use Case Categories between LTE and 5G18
Table 2 summarizes the requirements of the expanding number of use cases that employ
wireless technology. The exact values are not as important as how different the
requirements are across varied use cases; the value of 5G is its broad use case support.
Table 2: Requirements for Different Use Cases19
Use Cases Requirements Desired Value

Autonomous vehicle control Latency 5 msec
Availability 99.999 percent
Reliability 99.999 percent
Emergency communication Availability 99.9 percent victim discovery rate
Energy efficiency One-week battery life
Factory cell automation Latency Down to below 1ms
18
100X capacity of 5G over LTE, as explained later in the paper in the section “5G Frequency Use,”
assumes access to more spectrum, denser networks, and extensive use of massive MIMO.
19
Ericsson, 5G Systems – Enabling the Transformation of Industry and Society, Jan. 2017.
https://www.ericsson.com/assets/local/publications/white-papers/wp-5g-systems.pdf. Adapted from
Table 1.

Use Cases Requirements Desired Value
Reliability Down to packet loss of less than 10-9
High-speed train Traffic density Downlink (DL): 100Gbps/km2, uplink (UL): 50 Gbps/km2
User throughput DL: 50Mbps, UL: 25Mbps
Mobility 500 km/h
Latency 10ms
Large outdoor event User throughput 30Mbps
Traffic density 900Gbps/km2
Connection density Four devices/m2
Massive IoT Connection density 1,000,000 devices/km2
Availability 99.9 percent coverage
Energy efficiency 10-year battery life
Remote surgery and Latency Down to 1ms
examination Reliability 99.999 percent
Smart city User throughput DL: 300Mbps, UL: 60Mbps
Traffic density 700 Gbps/km2
Connection density 200,000 devices/km2
Virtual and augmented reality User throughput 4-28Gbps
Latency < 7msec
Broadband to the home Connection density 4,000 devices/km2
Traffic density 60Gbps/km2
The Impact of 5G
3GPP completed the first 5G specification in early 2018, enabling deployment of standards-
based networks in late 2018. This section on 5G explains the 5G rollout, 1G-to-5G evolution,
technical objectives, applications, frequency use, schedule, devices, details of Release 15
through 17, architecture, performance, network slicing, NR cellular positioning, network
types, operator strategies, and Integrated Access and Backhaul.
5G Rollout
Figure 9 shows key capabilities and deployment types over time. Today’s networks, based
on Release 15 specifications, emphasize enhanced mobile broadband, whereas Releases
16 and 17 emphasize capabilities of greater interest to enterprises, such as URLLC and
industrial IoT.

Figure 9: Key Capabilities and Deployment Over Time
The rollout of 5G in these stages ensures a smooth transition from 4G LTE by initially
targeting the smartphone market. With Release 16 deployments beginning in the 2022
timeframe, however, operators will have greater flexibility as to which business models
they pursue. Given the wide range of new applications that Release 16 will support (as
discussed in the section “5G Applications” below), some operators could, for example,
emphasize fixed wireless access, whereas others might pursue industrial automation or
smart cities. As a result, different operators may emphasize deployment in different
spectrum bands to find the best fit between their network capabilities and target use
cases.
1G to 5G Evolution
For historical context, “1G” refers to analog cellular technologies that became available in
the 1980s. “2G” denotes initial digital systems that became available in the 1990s that
introduced services such as short messaging and lower-speed data. 3G requirements were
specified by the International Telecommunication Union (ITU) as part of the International
Mobile Telephone 2000 (IMT-2000) project, which focused significantly on voice capacity
improvement, and digital networks had to provide 144 Kbps of throughput at mobile
speeds, 384 Kbps at pedestrian speeds, and 2 Mbps in indoor environments. UMTS-HSPA
and CDMA2000 are the primary 3G technologies. 3G technologies began to be deployed
early last decade and will begin to decline in usage as 4G and 5G become prevalent.
In 2008, the ITU issued requirements for IMT-Advanced, which many people initially used
as a definition of 4G. The focus on 4G was to improve data coverage, capacity, and quality
of experience. Requirements included operation in up to-40 MHz radio channels and
extremely high Spectral Efficiency. The ITU required peak spectral efficiency of 15 bps/Hz
and recommended operation in up-to-100 MHz radio channels, resulting in a theoretical
throughput rate of 1.5 Gbps. In 2009 and 2010, the term “4G” became associated with

mobile broadband technologies deployed at the time, such as HSPA+, WiMAX, and initial
LTE deployments. Today, 4G usually refers to HSPA+ or LTE.
The ITU defined 5G requirements in IMT-2020, and since then, 3GPP has developed
specifications that address those requirements.
Table 3 summarizes the generations of wireless technology.
Table 3: 1G to 5G
Generation Requirements Comments
1G No official requirements. Deployed in the 1980s.
Analog technology. Analog technologies such as

Advanced Mobile Phone
First mobile networks, emphasizing voice Service (AMPS) and Nordic
service. Mobile Telephone (NMT). NMT
had simple integrated data
and messaging.
2G No official requirements. First digital systems.
Digital technology for voice and circuit- Deployed in the 1990s.

switched data, followed by packet-
switched data. New services such as SMS and
low-rate data.
Primary technologies include

IS-95 CDMA (cdmaOne), IS-
136 (D-AMPS/TDMA), and
GSM/GPRS/EDGE.
3G ITU’s IMT-2000 required 144 Kbps First deployment in 2000.

mobile, 384 Kbps pedestrian, 2 Mbps
indoors. Primary technologies include
CDMA2000 1X/EV-DO and
UMTS-HSPA.
WiMAX.
4G (Initial ITU’s IMT-Advanced requirements include First deployment in 2010.

Technical the ability to operate in up-to-40-MHz
Designation) radio channels and with very high IEEE 802.16m and LTE-
spectral efficiency. Advanced meet the
requirements.
4G (Current Systems that significantly exceed the Today’s HSPA+, LTE, and
Marketing performance of initial 3G networks. No WiMAX networks meet this
Designation) quantitative requirements. requirement.
5G ITU IMT-2020 defined technical First standards-based

objectives, and 3GPP has developed and deployments began in 2018.21
is continuing to develop 5G Rapid deployment in 2020.
21
AT&T, “AT&T First to Make Mobile 5G Service Live in the U.S. on Dec. 21,” Dec. 18, 2018.
https://about.att.com/story/2018/att_brings_5g_service_to_us.html.

Generation Requirements Comments
specifications.20 Requirements include

three-times higher spectral efficiency
than 4G and peak downlink throughputs
to 20 Gbps.
The interval between each significant technology platform has been about ten years.
Within each platform, however, innovators keep improving the technology. For example,
with 2G technology, EDGE significantly improved data performance compared with initial
General Packet Radio Service (GPRS) capabilities. Similarly, HSPA hugely increased data
speeds compared with initial 3G capabilities. LTE and LTE-Advanced also acquired
continual improvements over the past decade, including faster speeds, greater efficiency,
and the ability to aggregate spectrum more flexibly. 5G capabilities will continue to
improve throughout this decade.
At a high level, 4G LTE provides a foundation of capability and knowledge on which 5G

(NR and LTE) will grow, as shown in Figure 10.22
20
Other organizations, as discussed below, are developing related specifications, such as for
virtualization.
22
Note that Release 15 LTE-Advanced Pro was submitted to the ITU for IMT-2020 approval as a Set of
Radio Interface Technologies (SRIT), along with the other SRIT component of NR, and the entire
package was named by 3GPP as “5G”.

Figure 10: Initial LTE as Foundation for 5G Enhancements
Because each generation of cellular technology is more efficient, the cost of delivering
data decreases, and so prices are lower for users, expanding the number of feasible
applications. The same will be true with 5G, as analyzed in an Ericsson report and shown
in Figure 11.23 The report states, “A site fully evolved with 4G and 5G capacity will deliver
mobile data 10 times more cost efficiently than a basic 4G site does today.”
23
Ericsson, The 5G Consumer Business Case – An Economic Study of Enhanced Mobile Broadband,
2018.

Figure 11: Reduced Cost per GB of 5G Compared to 4G
5G Technical Objectives
Table 4 shows the ITU’s objectives for IMT-2020 (5G) relative to IMT-Advanced (4G).
Table 4: ITU Objectives for IMT-2020 compared with IMT-Advanced24
IMT-Advanced IMT-2020
Peak Data Rate DL: 1 Gbps DL: 20 Gbps

UL: 0.05 Gbps UL: 10 Gbps
User Experienced Data Rate 10 Mbps 100 Mbps25
Peak Spectral Efficiency DL: 15 bps/Hz DL: 30 bps/Hz

UL: 6.75 bps/Hz UL: 15 bps/Hz
Average Spectral Efficiency DL eMBB indoor: 9 bps/Hz

DL eMBB urban: 7.8 bps/Hz
DL eMBB rural: 3.3 bps/Hz
UL eMBB indoor: 6.75 bps/Hz

UL eMBB urban: 5.4 bps/Hz
UL eMBB rural: 1.6 bps/Hz
Mobility 350 km/h 500 km/h
24
ITU Working Party 5D, Minimal Requirements Related to Technical Performance for IMT-2020 Radio
Interfaces, Feb 22, 2017. See also 3GPP TR 38.913, Study on Scenarios and Requirements for Next
Generation Access Technologies (Release 14), V14.2.0, Mar. 2017.
25
Per ITU, “User experienced data rate is the 5% point of the cumulative distribution function (CDF) of
the user throughput.”

IMT-Advanced IMT-2020
User Plane Latency 10 msec 1 msec26
Connection Density 100 thousand 1 million devices/sq.km.

devices/sq.km.
Network Energy Efficiency 1 (normalized) 100X over IMT-Advanced
Area Traffic Capacity 0.1 Mbps/sq. m. 10 Mbps/sq. m.

(hot spots)
Bandwidth Up to 20 MHz/radio Up to 1 GHz (single or multiple

channel (up to 100 MHz RF carriers)
aggregated)
Analysis performed by 5G Americas member organizations shows that 5G NR will meet

the ITU objectives.27
In supporting different usage scenarios, not all of these objectives will necessarily be
simultaneously available. For example, an IoT application may need to support a large
number of devices but at lower throughput rates, while a vehicular application may need
high mobility and low latency.
Figure 7 above shows these tradeoffs.
5G Applications
As mentioned, 5G dramatically increases the number of use cases and potential
applications for wireless connectivity. The wide 5G connection between devices and
virtually unlimited computing power at the edge and in the cloud means that users can
expect boundless innovation. Based on experience with 4G, a number of applications may
be good candidates for 5G. However, in the same way that nobody predicted an application
such as ride hailing (e.g., Lyft, Uber) when operators first deployed 4G some ten years
ago, many applications for 5G remain to be invented. Many of these will have huge
economic and societal impact. Until then, expected applications likely to use 5G include:
❑ Increased fixed-mobile substitution. With much higher network capacity,

operators will be able to offer plans with higher data allowances, making it feasible
for a greater percentage of users to have mobile broadband as their only data plan.
❑ Fixed wireless access. 5G will provide a viable alternative to wireline broadband

networks. See discussion above.
Per 3GPP TR 38.913 (V14.2.0, Mar. 2017), 0.5 msec for DL and 0.5 msec for UL for URLCC and 4
26
msec for UL and 4 msec for DL for eMBB.

27
For example, see Ericsson, An overview of the IMT-2020 Evaluations, R1-1806431, May 2018. Intel,
Initial Results for IMT-2020 Self-Evaluation, R1-1804758, May 2018. Nokia, IMT-2020 self evaluation:
Initial UP latency analysis, R1-1807288. Nokia, Spectral Efficiency Results for the IMT-2020 Self-
Evaluation, R1-1807284, May 2018. These 3GPP contributions are available at
https://portal.3gpp.org/ngppapp/TdocList.aspx?meetingId=18784.

❑ Synergistic AI. AI will find its way into countless new communications-oriented
applications, including personal assistants, health, education, transportation, and
professional occupations.
❑ Augmented reality and virtual reality. Higher throughputs, lower latency, and
edge computing will make AR and VR over 5G mainstream. See further discussion
below in this section.
❑ Ultra-high definition video. Extremely high-resolution video streaming and

downloads, including 4K, 8K, and 3D, will be possible over 5G, although such usage
may only be feasible on a wide scale in higher capacity mmWave bands.
❑ Live TV at scale. With high capacity and multicast/broadcast capabilities, TV

operators will be able to broadcast TV channels over 5G.
❑ Healthcare. 5G will support applications such as health monitoring through

wearable/implanted devices, telemedicine, and robotic or remote surgery.
❑ Cloud gaming. High throughputs, low latency, and edge computing will enable
games to be hosted in the cloud.28
❑ Automotive. Sensors in roadways, communications between infrastructure and

cars, and communications between cars, will make driving safer and more efficient,
and will also support autonomous cars.29 Other automotive applications, some
already possible with 4G, include vehicular internet, augmented navigation, and
infotainment.
❑ Other transportation. 5G will support additional transportation applications, such

as connected trucks, connected bus-stops, parking information systems, and fleet
monitoring.
❑ Drones. High bandwidth will allow video streaming from drones. High reliability
with low latency will safely control them.
❑ Video surveillance. Video cameras coupled with AI will become ubiquitous,

improving safety and supporting many IoT applications.
❑ Education. Many forms of connected education will be enhanced, including high-

resolution, telepresence-based distance learning. AR/VR will also play a role.
❑ Smart cities, smart neighborhoods, and smart homes. 5G will support high
densities of sensors, surveillance, smart infrastructure, smart lighting, and safety
enhancements.
❑ Wearable computing. Low-power operation and simplified, low-cost devices will

enable 5G connectivity with long battery life for health and fitness.
28
For example, see Fierce Wireless, “Google’s streaming game platform Stadia has implications for
5G,” Mar. 25, 2019. https://www.fiercewireless.com/wireless/google-s-new-streaming-game-stadia-
has-implications-for-5g.
29
See the section below, “Cellular V2X Communications,” for details.

❑ Monitoring of infrastructure. Low-latency and long battery life sensors will allow
rapid responses to events involving water, energy, and other critical utilities.
❑ Manufacturing and other industrial applications. High reliability, precision

timing, low latency, and private-network options in 5G will significantly expand use
in industry, including factory automation and real-time monitoring of plants and
processes. See further discussion below in this section.
❑ Agriculture. Low-cost sensors, precise positioning, and asset tracking will improve
efficiency and costs.
Some of these applications are already being addressed by 4G, but 5G’s lower costs,
higher throughputs, high reliability, and lower latency will hasten realization of their
potential.
With respect to VR and AR, the evolution of edge computing, the high-bandwidth and low-
latency in 5G, and increasingly capable wearable devices will provide the critical mass
over the next five-year period for the proliferation and growth of VR and AR. Figure 12
explains the extended reality (XR), VR, and AR concepts.
Figure 12: VR, AR, Mixed, and Extended30
30
Cisco contribution. See associated report, Cisco Visual Networking Index: Global Mobile Data Traffic
Forecast Update, 2017–2022, Feb. 2019.

Cisco projects that globally, augmented and virtual reality traffic will grow nearly
twelvefold from twenty-two petabytes per month in 2017 to 254 petabytes per month in
2022.31
As for industrial IoT, usage will increase through 5G capabilities, as well as other
technology developments:
❑ 5G mission-critical-communications capability based on URLLC.
❑ 5G ability to support up to one million devices per sq. km.
❑ 5G network slicing addressing precise quality-of-service (QoS) requirements.
❑ High accuracy 5G positioning information.
❑ 5G New Radio NR-U (New Radio Unlicensed) operation facilitating private network
deployment.
❑ 5G support for time-sensitive networking.
❑ Private edge clouds that provide scalable, secure local computing.
❑ Machine learning (AI) for monitoring, prediction, and optimization.
❑ Supporting organizations, such as the 5G Alliance for Connected Industries and

Automation.
Industry has gone through a number of stages: industrial mechanization the first stage,
electrification the second, and digitalization the third. 5G connectivity enables what some
now refer to as “Industry 4.0.”32
5G Frequency Use
Whereas previous generations of cellular technology used low bands (sub 1 GHz) for
coverage and mid-bands for capacity, Figure 13 shows how 5G will use low bands for
coverage, mid-band frequencies for a blend of coverage and capacity, and mmWave bands
for extremely high capacity but with restricted coverage.
The cornerstone of 5G frequency use is flexibility. 5G will:
❑ Operate in a broad range of frequencies (to 52.6 GHz in Release 15/16 and to 71
GHz in Release 17), far greater than previous generations of technology.
❑ Support a wide range of radio channel bandwidths, up to 100 Mhz sub 6 GHz and
up to 400 MHz in mmWave, coupled with the ability to aggregate radio channels
for even higher bandwidths.
❑ Operate in either Time Division Duplex (TDD) or Frequency Division Duplex (FDD)
modes in sub-6 GHz bands and in TDD mode in mmWave bands.
31
Ibid.
32
For example, see Qualcomm webinar, “The Role of 5G in Private Networks for Industrial IoT,” May
2019.

❑ Support both licensed and unlicensed spectrum.
Figure 13: Three-Tier Spectrum Usage for 5G
Mid-band frequencies in particular are a sweet spot for today’s 5G technology; mid-band
frequencies allow massive MIMO for significant performance and capacity gains while still
facilitating deployment through collocation on existing urban cell sites. A 64T64R antenna
configuration can triple the capacity of a cell relative to 4X4 MIMO.33 A vendor reports 1.6
Gbps peak throughputs using NR with 64T64R antennas and a 100 MHz radio channel. 34
Relative to mmWave, mid-band frequencies also have better in-building penetration.
A core 5G design objective has been to leverage existing technology investments in LTE
while exploiting new spectrum and technology capabilities. 5G design emphasizes ways to
combine existing 4G LTE networks with capabilities provided by 5G. One potential
approach is to use LTE in existing frequency bands and the 5G NR in new bands, such as
mmWave, as shown in Figure 14. An operator can pursue this aproach using an LTE core
network (nonstandalone architecture) with LTE providing base coverage and NR providing
augmented capacity and performance in select areas.
33
Commscope, 4G and 5G Capacity solutions - comparative study, July 2019.
https://www.commscope.com/globalassets/digizuite/2154-capacity-solutions-comparative-study-wp-
113400-en.pdf?r=1.
34
Light Reading webinar, “Huawei’s View: State-of-the-Art in 5G RAN Equipment,” Dec. 18, 2019.
https://www.lightreading.com/webinar.asp?webinar_id=1540.
See also Fierce Wireless, “Nokia touts 5G C-band trial in Dallas,” Jun. 19, 2020.
https://www.fiercewireless.com/tech/nokia-touts-5g-c-band-trial-dallas.

Figure 14: 5G Combining of LTE and New Radio Technologies
5G NR, however, will operate in all frequencies, and just as 2G and 3G spectrum has been
re-farmed for LTE, so will existing cellular bands will be re-farmed for 5G. In addition, with
Dynamic Spectrum Sharing (DSS), the same radio channel can support both LTE and 5G,
facilitating the rollout of 5G in existing cellular bands. See the section “Dynamic Spectrum
Sharing” for more details about this important capability.
As shown in Figure 15, higher frequency bands in 5G provide capacity with smaller cells,
and lower bands can provide coverage with larger cells. This is similar to the approach
taken in 4G.
Figure 15: Characteristics of Different Bands35
One important aspect of 5G is its ability to use mmWave spectrum from 24 to 100 GHz36
and eventually higher. This differs from previous cellular technology deployments in which
lower frequencies had significantly better propagation characteristics than higher
frequencies. 5G can address such a wide range of spectrum thanks to massive MIMO,
35
Nokia, “Vision & Priorities for Next Generation Radio Technology,” 3GPP RAN workshop on 5G, Sep.
17-18, 2015.
36
Exact frequencies supported depend on release. Release 15 and 16 operate to 52.6 GHz, with
higher frequencies anticipated for Release 17.

which exploits the fact that at higher frequencies, wavelengths are shorter, so antenna
elements can be closer to one another, allowing for more antenna elements.37 As shown
in Figure 16, the greater number of antenna elements in higher bands enables more tightly
focused beams that can compensate for the otherwise poorer propagation of the radio
signal.38
Figure 16: Higher-Order MIMO Compensation for Poorer Propagation
The consequence of this ability is that the industry will be able to rapidly deploy 5G in a
wide range of frequencies. For this reason, the FCC is now evaluating future allocations of
spectrum all the way to 275 GHz with provisions for experimental licensing up to 3000
GHz.39 With previous licensed cellular spectrum reaching only 2.5 GHz, current
developments are reaching for spectrum that spans a range two orders of magnitude
greater. The outcomes in new services and applications will be dramatic.
Use of higher frequencies, such as above 6 GHz, represents one of the greatest
opportunities for higher throughputs and higher capacity. But these higher frequencies,
37
Note that massive MIMO is also effective at mid-band frequencies.
38
For a detailed examination of the antenna systems used in 5G, refer to the 5G Americas paper,
Advanced Antenna Systems for 5G, Aug. 2019. https://www.5gamericas.org/white-papers/.
39
FCC, Notice of Proposed Rulemaking and Order, Spectrum Horizons, ET Docket No. 18-21, Feb.
2018.

especially mmWave frequencies (24 GHz and higher), are suitable only over short
distances. The combination of lower and higher frequencies is therefore crucial for 5G
operation.
Compared with lower frequencies, mmWave frequencies suffer from poorer penetration
and propagation characteristics, even in line-of-sight conditions, because the
comparatively smaller aperture area of the receiver’s antenna requires some form of
beamforming at the transmit side and potentially even at the receive side. Fortunately,
the smaller form factors of mmWave antennas allow for dense packing of antenna arrays.
More typically, mmWave cells will employ shorter ranges of 50 to 200 meters. Extreme
densification is another way that 5G networks will augment capacity. 3G networks reached
densities of four to five base stations per sq. km, 4G networks eight to ten, but 5G
networks could reach densities of more than 100 sites per sq. km. Either wireless
connections or fiber will provide backhaul. Figure 17 shows how such an approach employs
beamforming and beam tracking when using mmWave bands in the small cells.
Figure 17: 5G Architecture for Low-Band/High-Band Integration
In combination, the various methods in 5G can provide users in mmWave band hotspot
coverage at least a 100-fold increase in throughput over LTE, achieved by:
❑ Five to tenfold gains due to a high number of small cells, each with fewer users.
❑ Tenfold gains from access to much larger amounts of spectrum.
❑ Threefold gains or more from improved spectral efficiency.
This huge increase in capacity, combined with Gbps performance, that will allow 5G to
compete with wireline networks.40
40
For a further discussion of 5G capacity and ability to compete with wireline networks, refer to
Rysavy Research, 5G Network Planning—Capacity, Performance, Wireline Competitiveness, 2019.
https://rysavy.com/broadband-reports/. .

5G Schedule
Figure 18 shows the current schedule for 5G development and deployment.41 3GPP
standardized the first version of 5G in Release 15 and completed the non-standalone
(NSA) version of 5G in March 2018, which implemented architecture option 3. Architecture
option 3 supports LTE and NR access to an LTE core network, referred to as Evolved Packet
Core (EPC). See the section below, “5G Architecture” for a discussion of architecture
options. Normally, the industry takes approximately eighteen to twenty-four months after
standards completion to begin deploying networks and devices, but in the case of 5G NSA,
operators compressed the deployment timeframe, with many deployments beginning in
2019.
3GPP issued another version of the Release 15 specification in September 2018 with
support for architecture option 2 (NR only radio access to a 5G NGC), the standalone (SA)
version. 3GPP then issued a final version of the Release 15 specifications in June 2019,
with support for architecture options 4 and 7 (LTE and NR radio access to a 5G NGC) and
option 5 (LTE-only radio access to a 5G NGC). Options 4, 5, and 7 provide alternative
deployment paths for migration from NSA to SA. For example, one possible migration path
is Option 3 (NSA with LTE core) to Option 4 (NSA with 5G NGC) to Option 2 (SA).
Because the final version of Release 15 provides optional migration paths from Option 3
to Option 2, Release 15 deployments based on the different options may not be sequential,
as suggested by the figure.
Release 16, which is the second phase of 5G, was completed mid-2020, and Release 16
deployments will occur in the late 2021 to early 2022 timeframe. In 2020, 3GPP began
work on Release 17 with scheduled completion in 2021.
Figure 18: 5G Timeline
41
Note that schedules shown are based on Abstract Syntax Notation One (ASN.1) completion,
meaning the specifications are fully complete. Stage 3 completion of specifications is when features
are frozen and precedes ASN.1 completion by a typical three months.

5G Device Availability
Initial devices42 included routers that had a 5G radio and used Wi-Fi for local Hotspot
capability, and USB modems. 5G smartphones, first available in 2019, have a variety of
choices available in 2020. Vendors are also developing laptops with integrated 5G
capability.
Figure 19 shows a timeline of device availability based on bands supported and whether
networks are standalone (5G core network) or non-standalone (LTE core network).
Figure 19: 5G Device Timeline43
5G Phase One (Release 15)

The capabilities of the New Radio and Next Generation Core in 5G, based on Release 15
specifications, include:
❑ Frequency Agility. Ability to operate in any frequency band, including low, mid,
and high bands.
❑ Dual Connectivity. Network can support both LTE and 5G NR, including dual
connectivity with which devices can have simultaneous connections to LTE and NR.
❑ Virtualization. Operators are building their 5G networks using network function

virtualization and software defined networking. See the sections “Virtualization and
Cloud Native” and “O-RAN” for more detail.
❑ High Data Rates. 5 Gbps peak downlink throughput in initial releases, increasing
to 50 Gbps in subsequent versions.
42
Ibid.
43
5G Americas member contribution.

❑ OFDMA and SC-FDMA. OFDMA in downlink and uplink, with optional Single
Carrier Frequency Division Multiple Access (SC-FDMA) for uplink.44
❑ Initial URLLC Support. Physical layer frame structure and numerology support
with radio approach are defined in Release 15.
❑ Massive MIMO and Beamforming. Data, control, and broadcast channels are all
beamformed.
❑ FDD and TDD. Ability to support either FDD or TDD modes for sub 6 GHz radio
bands.
❑ Scalable Radio. Numerologies of 2N X 15 kHz for subcarrier spacing up to 120

kHz or 240 kHz.45 This scalable OFDM approach, depicted in Figure 20, supports
both narrow radio channels (for example, 1 MHz), or wide ones (up to 100 MHz
per component carrier sub 6 GHz and up to 400 MHz in higher frequencies).
❑ Carrier Aggregation. Carrier aggregation for up to 16 NR carriers.
❑ High Radio Bandwidth. Aggregation of up to 16 component carriers.
❑ Efficient Coding. Error correction through low-density parity codes (LDPC) for
data transmission, which are computationally more efficient than LTE turbo codes
at higher data rates. Control channels use polar codes.
❑ Cloud RAN. Standards-based cloud RAN support specifies a split between the
Packet Data Convergence Protocol (PDCP) and Radio Link Control (RLC) protocol
layers. See the sections “Virtualization and Cloud Native” and “O-RAN” for more
details.
❑ Efficient Slot Structure. Self-contained integrated subframes (slots) that

combine scheduling, data, and acknowledgement. Benefits include fast and flexible
TDD switching, lower latency, and efficient massive MIMO.
❑ Scalable Time Intervals. Scalable transmission time intervals with short time
intervals for low latency and longer time intervals for higher spectral efficiency.
❑ Futureproofing. Futureproofing by providing a flexible radio framework that has

forward compatibility to support future, currently unknown services, such as URLLC
to be specified in Release 16 and unlicensed/shared spectrum.
❑ Security. A comprehensive security architecture, including confidentiality and

integrity of user data and signaling, subscriber privacy, a bi-directional
authentication framework, and key management.46
44
SC-FDMA limited to Rank 1 and just for propagation-limited scenarios.
45
240 kHz spacing is for sync, not data.
46
For details, see 5G Americas, Security Considerations for the 5G Era, Jul. 2020.
https://www.5gamericas.org/security-considerations-for-the-5g-era/.
See also 3GPP, Security architecture and procedures for 5G System, TS 33.501.
https://portal.3gpp.org/desktopmodules/Specifications/SpecificationDetails.aspx?specificationId=3169
.

❑ Quality of Service. QoS support using a new model and implementation via
network slicing.
❑ Network Slicing. See the section “Network Slicing” for more details.
❑ Dynamic Spectrum Sharing. Dynamic coexistence with LTE in the same radio
channels. See the section “Dynamic Spectrum Sharing” for more details.
❑ Edge Computing. Flexible support for edge computing with 5G core, including
User Plane Function (UPF) selection. See the section “Edge Computing” for more
details.
❑ Service Based Architecture. Protocol support for the service-based architecture

(SBA), network slicing, Policy and Charging Control (PCC) function, and mobility
and session management. See the appendix section “5G – Architecture in More
Detail” for further information.
❑ IMS Support. Support for IMS services, including IMS emergency services over
5G. See the appendix section “IP Multimedia Subsystem” for more detail.
❑ Future Railway Mobile Communication System (FRMCS).47
❑ Regulatory Aspects including Lawful Intercept.
Figure 20: Example of 5G Numerology
Operators globally have expressed interest in deploying NR in a wide variety of bands,

including current cellular bands, 3.5 GHz, and mmWave bands.
47
For further details, see UIC, “Future Railway Mobile Communication System,” https://uic.org/rail-
system/frmcs/.

5G Phase Two (Release 16)
Release 16 adds support for:
❑ URLLC. Based on methods such as configured-grant transmissions and protocol

data unit (PDU) duplication, enhanced error correction, and enhanced scheduling.
See the section “Internet of Things” for more details.
❑ NR-U. New Radio-Unlicensed for unlicensed spectrum operation in 5 GHz and 6

GHz bands. See the section “Unlicensed Spectrum Integration” for more details.
❑ Integrated Access and Backhaul. Uses the 5G radio signal for a backhaul
connection. See the section “Integrated Access and Backhaul” for more
information.
❑ Industrial IoT. Features include URLLC and time-sensitive communications (with

deterministic communications and/or isochronous communications with high
reliability and availability). Also includes support for non-public networks, 5G LAN-
type services, and positioning. See the section “Internet of Things and Industrial
IoT” for more detail.
❑ C-V2X. NR-based C-V2X, including side-link communications (direct vehicle-to-

everything communication). See the section “Cellular V2X Communications” for
more detail.
❑ Positioning. Commercial and regulatory uses. Location using a variety of

approaches. See the section “5G NR Cellular Positioning” below and the appendix
section “5G NR Positioning Methods in Detail” for further detail.
❑ Non-Public Networks. Support for both standalone private networks and ones
integrated with public networks.
❑ Network Automation. Network data collection and analytics via the Network Data
Analytics Function (NWDAF) to support network slicing management and facilitate
AI integration within the network.
❑ Two-step Random Access Procedure. More efficient uplink operation.
❑ Convergence. Wireless and wireline convergence for the 5G system architecture.
❑ Mission Critical Support. Includes public warnings, railways, and maritime.
❑ Cross link interference and remote interference management.
❑ Service Enabler Architecture Layer for Verticals (SEAL). Application-level

functional architecture for verticals, including V2X and mission-critical services.
Services address group management, configuration management, location
management, identity management, key management, and network resource
management. 48
48
Rohde & Schwarz, 5G Evolution – On the Path to 6G, 2019.
https://www.mobilewirelesstesting.com/wp-content/uploads/2019/10/5G-evolution-on-the-path-to-
6G-_wp_en_3608-3326-52_v0100.pdf.

❑ FRMCS Phase 2.
❑ Enhancements. Enhancement of features introduced in Release 15, including

network slicing, MIMO, dual-connectivity, carrier aggregation, Common API
Framework (eCAPIF), security (including IOT, network slicing, mission critical, and
false base stations), efficiency, signaling, security, and reduced UE power
consumption.
❑ Study Items. Operation above 52.6 GHz, non-orthogonal multiple access, and
non-terrestrial networks (NTN).
5G Release 17
Just as LTE continued to be enhanced from its first release in Release 8 through today’s
Release 15 version of LTE, 5G will also continue to be improved during the 2020s. 3GPP
agreed-upon capabilities for Release 17 include:49
❑ NR-Light. Low complexity and low power, with reduced capability, for devices such
wearables, IoT, industrial sensors, and video surveillance. Performance falls
between LTE Narrowband IoT/LTE-M and full NR.
❑ NR operation in 52.6 - 71 GHz. Unlicensed band support in this frequency range

expected in Release 18.
❑ Multiple SIMs. Multiple SIMs in UE.
❑ NR Multicast and Broadcast. Targets V2X, public safety, IPTV, group

communication IoT, and software delivery over wireless.
❑ Non-terrestrial networks. Includes low earth orbit (LEO) and geostationary

satellites, as well as High Altitude Platform Stations (HAPS) such as balloons and
airplanes.50 Use cases include global IoT, coverage, public safety, and
transportation.
❑ ONAP. Integration of Open Network Automation Platform (ONAP) and 3GPP 5G

management framework.
❑ Network Slicing enhancements.
❑ Edge Computing in 5G Core.
❑ Network Automation Phase 2.
❑ Enhancements. Enhancements of 5G features specified in earlier releases,

including industrial IoT and URLLC (to support wider use cases), efficient
transmission of small amounts of data, sidelink (device-to-device communications
for V2X, commercial, and critical communications), MIMO, V2X, NR coverage, IAB,
49
3GPP, “Release 17,” https://www.3gpp.org/release-17, viewed Apr. 7, 2020. See also 5G Americas,
The 5G Evolution, 3GPP Releases 16-17, Jan. 2020.
50
ITU, “HAPS – High-altitude platform systems.”
https://www.itu.int/en/mediacentre/backgrounders/Pages/High-altitude-platform-systems.aspx.

unlicensed operation, high-accuracy positioning, dynamic spectrum sharing, SON,
dual-connectivity, and power saving.
❑ Study Items. Includes architecture for edge applications, application layer support
for unmanned aerial systems, application layer support for factories of the future,
and application layer support for V2X services.51
Refer to the appendix section “3GPP Releases to Release 14” for a summary of features in
prior specification releases.
5G Architecture
Release 15 also defines initial core network capabilities (5G Next Generation Core) that
support QoS and network slicing. Many operators will virtualize their 5G core networks,
just as they have for LTE, but such virtualization is outside the scope of 3GPP
specifications.
3GPP specified the first phase of 5G in Release 15. So that operators can deploy 5G sooner,
3GPP divided Release 15 into three sets of specifications. The first set of specifications
defined how a 5G RAN can integrate with an LTE network in what 3GPP calls a non-
standalone option. In this earliest version (architecture option 3), NR relies on an existing
LTE network, both in the RAN and in the core.
The complete Release 15 specifications also define a 5G-NGC. Figure 21 shows some of
the architecture options. Options 3, 4, and 7 are non-standalone options, and options 1,
2, and 5 are standalone.
51
3GPP, “3GPP SA6 accelerates work on new verticals!” Jun. 17, 2019. https://www.3gpp.org/news-
events/2045-sa6_verticals, accessed May 21, 2020.

Figure 21: Release 15 Non-Standalone and Standalone Options
Option 3 is a common initial architecture for deploying 5G because it allows the

introduction of NR using an existing LTE core network. However, Option 2, a standalone
configuration with NR radio and 5G core, represents the end-game architecture. Option 2
provides the most powerful network configuration with the greatest network simplicity.
The benefits of standalone architecture are as follows:
❑ Enables all 5G use cases to be addressed.
❑ Supports industrial IoT through lower end-to-end latency and higher number of
devices.
❑ Supports network slicing with which operators can fine tune network QoS to
address specific business cases.
❑ Improves edge computing with a more flexible architecture in which traffic steering
to a target User Plane Function (UPF) enables local breakout of data.
❑ Combination of edge computing with low latency helps realize V2X/URLCC

applications.

❑ Improves coverage with carrier aggregation across bands.52
❑ Reduces up-switching delays that currently occur in handing off from LTE in a lower
band to NR in a higher band.53
❑ Provides faster connection times via a function called Radio Resource Control (RRC)
Inactive.
❑ Simplifies deployment for private networks where LTE support is not required.
By leveraging virtualization, the standalone architecture employs what is called a Service

Based Architecture (SBA). With SBA, every network function can discover services offered
by other network functions. SBA incorporates principles of modularity, reusability, and
self-containment of network functions. See the appendix section “5G – Architecture in
More Detail” for further information.
5G Americas states that it, “believes the benefit of focusing on the currently planned
Options (3 and 2) will allow the industry to scale the 5G eco-system . . . The target
architecture for the 5G migration is to use SA NR and 5GC as far as possible, even though
LTE/EPC will need to remain for a long time to handle legacy devices.”54 GSMA states in
its SA Option 2 guidelines, “Compared with Non-Standalone (NSA) Option 3, 5G
Standalone (SA) Option 2 network demonstrates advantages in uplink (UL), End-to-End
(E2E) latency, edge computing. . .”55 In the United States, AT&T, Dish Networks, T-Mobile,
and Verizon have indicated they will begin deploying standalone 5G, as have Chinese
operators.56
52
Ericsson, “Carrier aggregation in 5G.” https://www.ericsson.com/en/networks/offerings/5g/carrier-
aggregation.
53
LightReading, “'Upswitching' From LTE Trips Up 5G Latency In South Korea,” Sep. 10, 2019.
https://www.lightreading.com/mobile/5g/upswitching-from-lte-trips-up-5g-latency-in-south-
korea/d/d-id/753956.
54
5G Americas, The 5G Evolution, 3GPP Releases 16-17, Jan. 2020.
https://www.5gamericas.org/white-papers/.
55
GSMA, 5G Implementation Guidelines: SA Option 2, Feb. 2020.
https://www.gsma.com/futurenetworks/wp-content/uploads/2020/02/5G-SA-Option-2-
ImplementationGuideline-v1.2.pdf.
56
Light Reading, “AT&T to Begin Standalone 5G Rollout Next Year,” Oct. 9 2019.
https://www.lightreading.com/mobile/5g/atandt-to-begin-standalone-5g-rollout-next-year-/d/d-
id/754717.
Fierce Wireless, “Dish selects Fujitsu, Altiostar for 5G radios, Open vRAN,” Jun. 30, 2020.
https://www.fiercewireless.com/operators/dish-selects-fujitsu-altiostar-for-5g-radios-open-vran.
T-Mobile, “T‑Mobile Achieves Significant 5G Firsts with Cisco, Ericsson, MediaTek, Nokia, OnePlus and
Qualcomm,” May 4, 2020. https://www.t-mobile.com/news/network/tmobile-achieves-significant-5g-
firsts.
Fierce Wireless, “Verizon readies shift to 5G standalone core after successful trial,” Jul. 9, 2020.
https://www.fiercewireless.com/tech/verizon-readies-initial-shift-to-5g-standalone-core-after-
successful-trial.

Dynamic spectrum sharing, which enables the same radio channel to carry both LTE and
NR signals, will facilitate widespread coverage for NR and hasten the transition to an
Option 2 architecture. See the section “Dynamic Spectrum Sharing” for more details.
The Option 2 standalone architecture will be particularly attractive to enterprises for

private deployments using CBRS spectrum because it dispenses with the overhead of
supporting LTE.
The standalone architecture, however, presents logistical challenges in the medium term.
For instance, the architecture requires handset support, a feature lacking in first-
generation 5G devices that were developed for Option 3 networks. Also, so long as
operators operate LTE networks to support legacy devices and provide coverage, they will
need to operate both 5G core and LTE core networks in configurations such as the one
shown in Figure 22.
Figure 22: Combination 5G Core and LTE Core Network57
The appendix section “5G Architecture Options” discusses deployment options in greater
detail.
Light Reading, “China Targets Standalone 5G in Year of the Rat,” Jan. 23, 2020.
https://www.lightreading.com/asia-pacific/china-targets-standalone-5g-in-year-of-the-rat/d/d-
id/757033.
57
Cisco contribution. See also Cisco, “Cisco Ultra 5G Packet Core Solution.”
https://www.cisco.com/c/m/en_us/network-intelligence/service-provider/digital-transformation/ultra-
5g-packet-core-solution.html.

5G Performance
Quantifying the 5G user experience is challenging because 5G will be deployed in many
configurations, including different bands and with varying width radio channels. In
addition, the throughput rates a user experiences depend on signal quality, device
capability, and network loading.
Integrating information from a variety of sources, including ITU objectives, simulations,

and test results, indicates that 5G NR can:
❑ Have more consistent performance over the coverage area.
❑ Support peak theoretical rates of 20 Gbps in an 800 MHz radio channel.58
❑ Support 95% of users experiencing at least 100 Mbps (cell-edge throughput) using
a 400 MHz radio channel.59
❑ Provide peak user-experienced throughputs of greater than 1 Gbps assuming 400

MHz radio channels.60 See the appendix section on 5G performance for details.
❑ Support peak theoretical speeds of more than 4 Gbps.61
❑ Have 25-30% greater spectral efficiency than LTE assuming same-order MIMO and
full implementation of 5G optimizations.62
❑ Support ten times as many devices.
In testing early 5G networks relative to LTE, Signal Research Group reports that it
observed average gains of at least two times with peak performance gains of ten times or
higher, depending on the LTE network load and the available LTE and 5G bandwidth,
among other factors.63 The same report indicates measurement of mmWave throughputs
in an NFL stadium that frequently exceeded 1 Gbps and peaked at just over 2 Gbps.
Many operators will offer a combination of 4G and 5G using dual connectivity, with which
5G can augment 4G performance. For example, Samsung and SK Telecom in South Korea
58
Ericsson, An overview of the IMT-2020 Evaluations, R1-1806431, May 2018.
https://portal.3gpp.org/ngppapp/TdocList.aspx?meetingId=18784.
59
Ibid.
60
5G Americas member contributions. Higher throughput for 90/10 TDD than 50/50 TDD. Higher
throughput for line of sight than non-line of sight.
61
Samsung, “Samsung Demonstrates the Full Potential of 5G mmWave with Speeds of 8.5Gbps Across
Multiple Devices,” Apr. 16, 2020. https://news.samsung.com/us/samsung-5g-mmwave-speeds-8-
5gbps-multiple-devices-demonstrates-full-potential/.
Fierce Wireless, “Nokia tests clock 4.7 Gbps 5G speed in Dallas,” May 20, 2020.
https://www.fiercewireless.com/5g/nokia-tests-clock-4-7-gbps-5g-speed-dallas.
62
Nokia presentation, “5G New Radio (NR) Interface for Sub 6 GHz & mmWave Bands,” IEEE ICC –
2018, May 22, 2018.
63
Signal Research Group, A Global Perspective of 5N Network Performance, Oct. 2019.
https://signalsresearch.com/issue/a-global-perspective-of-5g-network-performance/.

demonstrated a peak rate of 2.65 Gbps by combining 1.5 Gbps of 5G (100 MHz at 3.5
GHz) with 1.15 Gbps of 4G (65 MHz at 1.8 GHz, 2.1 GHz, and 2.6 GHz).64
Just as LTE throughputs have increased significantly over this decade, 5G performance
will continue improving over the next ten years, as shown in Figure 23.
Figure 23: Global Mobile Average Speeds by Network Type65
Dynamic Spectrum Sharing

Traditionally, spectrum has been allocated to various technology generations in a static
manner, typically in blocks of 5 MHz or multiples thereof. As new technology generations
are introduced, spectrum has been re-farmed block by block to serve the next generation
as device mix changes. Manual spectrum re-farming, however, creates an operational
burden because it requires careful planning, coordination, and execution to avoid
degradation in end-user performance.
DSS technology creates the ability to introduce 5G faster and more efficiently compared
to static spectrum re-farming, while also leveraging pooling gains by operating two
technologies in the same spectrum band.
Additionally, DSS improves spectrum use by reducing the effect of having a spectrum
block tied up to a technology that is lightly loaded. DSS achieves this result by enabling
dynamic allocation of radio resources as required by a technology (LTE and 5G). In terms
of system performance, DSS does not improve spectral efficiency; rather, it increases
spectrum utilization when possible.
Figure 24 illustrates 5G spectrum sharing.
64
Samsung, “SK Telecom and Samsung Completed 4G-5G Network Dual Connectivity Test Achieving
2.7Gbps,” Mar. 13, 2019. https://news.samsung.com/global/sk-telecom-and-samsung-completed-4g-
5g-network-dual-connectivity-test-achieving-2-7gbps.
65
Cisco, Annual Internet Report, Complete Forecast Update, 2018-2023, Feb. 2020.
https://www.cisco.com/c/en/us/solutions/executive-perspectives/annual-internet-report/index.html.

Figure 24: Dynamic Spectrum Sharing66
Despite its advantages, DSS does result in some loss of capacity, including voice, due to
the additional overhead of having two radio access technologies operating in the same
spectrum block. DSS can only be implemented for channel bandwidths of at least
10+10MHz.
In order for resource allocation to be coordinated, DSS requires LTE and NR schedulers to
communicate with each other, and so LTE and NR baseband hardware needs to be
collocated with low latency. Radio hardware should also support RF sharing between LTE
and NR.
For further information, refer to the appendix section, “Dynamic Spectrum Sharing in More
Detail.”
5G Network Slicing
Not only do 5G networks include a new radio and core, but thanks to virtualization, these
networks can present multiple faces for different use cases using an architectural approach
called network slicing. Network slicing is defined in the 3GPP Release 15 specifications.
Further enhancements to network slicing occur in successive releases. This architecture
allows an operator to provide multiple services with different performance characteristics.
Each network slice operates as an independent, virtualized version of the network
designed to serve a defined business purpose or customer. Thus, each slice consists of all
the network resources required to address the specific need. For a given application, the
network slice is the only network it sees. The other slices, to which the customer is not
subscribed, are invisible and inaccessible. The advantage of this architecture is that the
operator can create isolated, fine-tuned slices for specific use cases.
Slicing can accommodate:
❑ Requirements on functionality, such as priority, charging, policy control, security,

and mobility.
❑ Performance, including latency, availability, data rates, and reliability.
66
T-Mobile contribution.

❑ Specific users, such as public safety, specific enterprise, roaming, and MVNOs.
GSMA has identified the following industry segments as ones that will benefit from network
slicing:67
❑ Augmented Reality and Virtual Reality

❑ Automotive
❑ Energy
❑ Healthcare
❑ Manufacturing
❑ Internet of Things
❑ Public Safety
❑ Smart Cities
Network Slice identification is done via the Single Network Slice Selection Assistance
Information (S-NSSAI), which contains the Slice/Service type (SST). The SST refers to
the expected Network Slice behavior in terms of features and services. The NSSAI
(Network Slice Selection Assistance Information) is a collection of S-NSSAIs.
Currently, 3GPP allows up to eight S-NSSAIs in the NSSAI to be sent in signaling messages
between the mobile device and the network. This means a single UE may be served by at
most eight network slices at a time.
3GPP has identified four standardized Slice/Service Types (SSTs) shown in Figure 25.
Figure 25: Standardized Slice/Service Types68
3GPP also defines Network Slice as a Service (NSaaS). NSaaS can be offered by a
Communication Service Provider (CSP) to its Communication Service Customer (CSC) in
the form of a communication service. NSaaS also allows the CSC to use and optionally
manage the network slice instance. CSC can play the role of CSP and offer its own services
(e.g. communication services) on top of the network slice instance.
67
GSMA, Network Slicing, Use Case Requirements, April 2018.
https://www.gsma.com/futurenetworks/wp-content/uploads/2018/04/NS-Final.pdf.
68
3GPP, System architecture for the 5G System, Table 5.15.2.2-1, 3GPP TS 23.501 V16.4.0 (2020-
03).

Figure 26: Network Slice as a Service
Figure 27 shows the network slicing architecture, with devices having access to only the
slice or slices for which they have subscriptions. Each slice has radio resources allocated,
with specific QoS characteristics. Within the core network, virtualized core network
functions support each slice and provide connections to external networks.
Figure 27: Network Slicing Architecture
End-to-end data analytics will facilitate advanced network slicing capabilities in 5G

networks. In support of such analytics, 3GPP and other organizations have defined a

number of capabilities, including 3GPP’s Management Data Analytics Services (MDAS). 69
Within this architecture, The Network Data Analytics Function (NWDAF), RAN Data
Analytics Function (RAN-DAF), and Management Data Analytics Function (MDAF) collect
and provide data analytics for use by other functions, including the Policy Control Function
for policy decisions and the Network Slice Selection Function (NSSF) for slice
management.
Telemetry data analytics-based statistics from NWDAF and RAN-DAF, combined with
artificial intelligence and machine learning, will allow operators to dynamically optimize
their networks and automate 5G network slicing management. Network slicing will likely
progress from a smaller number of manually configured static slices that evolve to larger
numbers of slices dynamically configured for shorter periods of time.
5GPPP MoNArch has developed the “5G Mobile Network Architecture”70 that specifies a
detailed management framework for 5G network slicing. Its Integrated Data Analytics
Framework employs NWDAF, RAN-DAF, and MDAS.
Figure 28 shows the data analytics framework in 5G-MoNArch, including the interaction
between the network layer and orchestration-and-management (O&M) layer for data
collection and analytics sharing.
Figure 28: 5G-MoNArch Data Analytics Framework
The interfaces in this framework, as explained in the MoNArch architecture document, are
as follows:
69
3GPP, Management and orchestration; Architecture framework, 3GPP TS 28.533.
.
IEEE, “End-to-End Data Analytics Framework for 5G Architecture,” Mar. 5, 2019.

https://ieeexplore.ieee.org/stamp/stamp.jsp?arnumber=8660442.
70
5GPPP MoNArch, 5G Mobile Network Architecture, Deliverable D2.3, Apr. 30, 2019. https://5g-
monarch.eu/wp-content/uploads/2019/05/5G-
MoNArch_761445_D2.3_Final_overall_architecture_v1.0.pdf.

❑ Interface 1: NWDAF interacts with the Analytics Function (AF) via the Network
Exposure Function (NEF) using the network (NW) layer Service Based Interface
(SBI).
❑ Interface 2: N1/N2 interface.
❑ Interface 3: The O&M layer configures the Network Function (NF) Profile in the
Network Repository Function (NRF), and NWDAF collects the NF capacity
information from the NRF.
❑ Interface 4: MDAF interacts with application/tenant using the Northbound Interface

(NBI).
❑ Interface 5: MDAF interacts with the RAN DAF using O&M layer SBI.
❑ Interface 6: NWDAF consumes the services provided by MDAF using the cross-
layer SBI.
❑ Interface 7: MDAF consumes the services provided by MWDAF using the cross-
layer SBI.
❑ Interface 8: MDAF collects data from NW layer via trace file/monitoring services.
Although managing QoS across multiple slices is complex, a number of factors drive such
capability:
❑ New use cases enabled by 5G, representing significant new business opportunities,
will depend on network management and traffic prioritization.
❑ The virtualization of 5G networks augmented by eventual AI-capabilities will

facilitate the necessary network management.
❑ Small or smaller cells with a smaller number of devices in the coverage area along
with greater capacity will simplify RAN QoS management.
5G NR Cellular Positioning
Cellular Positioning Technologies make use of signal measurements from cellular base
stations and devices, and therefore, typically rely on existing cellular infrastructure.
Historically, the main driver for cellular-based location services were requirements from
regulatory authorities. However, multiple applications and use cases can benefit from
commercial location-based services, which often require higher location accuracy and
lower latency. The use cases for such cellular-based or cellular-aided location accuracy
are broad and include augmented reality, wearables, industry, automotive, traffic
management, hospitals (for example, person and medical equipment location), bikes, and
aerial vehicles (drones).
5G nR Release 16 Positioning is designed to offer a variety of positioning technologies

delivering UE position information depending on the needs of specific use cases. To
address the diverse location requirements resulting from new applications and industry
verticals, NR Release 16 cellular positioning supports multiple positioning technologies
enabled by the following key features:
Key physical-layer technologies:
❑ New NR positioning reference signals (PRS) for DL & UL

❑ Round-trip time (RTT) measurements with multiple base stations (Multi-RTT)
❑ DL & UL time difference of arrival (TDOA) measurements
❑ gNB Angle of Arrival (AoA) or Angle of Departure (AoD) measurements
Key upper-layer technologies:
❑ LTE Positioning Protocol (LPP) for NR Positioning
❑ Support for UE-based NR Downlink-only positioning methods
❑ Support for broadcast of location assistance data
Refer to the appendix section “5G NR Cellular Positioning in Detail” for additional
information.
5G Network Types and Operator Strategies

Because the scalability and flexibility of 5G allows operators to leverage their specific
spectrum and fiber assets, and because 5G supports many use cases, operators can
pursue a variety of business models.
On a global basis, some countries are licensing mmWave spectrum (see the section “5G
mmWave Bands”), but most are emphasizing mid-band deployments in the 3 GHz to 5
GHz range. Mid-band, assuming 100 MHz licensed to each operator, provides a good
capacity and performance boost compared to lower bands, but does not require the dense
small-cell deployment needed for mmWave. Specifically, mid-band 5G can be deployed in
cells with 500-meter or even 1000-meter inter-site distance (ISDs), whereas mmWave
typically will employ ISDs of 250 meters.71 The denser mmWave network, however, will
offer significantly greater capacity and performance. Consequently, mid-band could be
used as a wireline replacement in rural areas, but such capability will mandate mmWave
in urban areas.
For mid-band and low-band deployments, 5G signals from outdoor cell sites will have
reasonable indoor penetration. Figure 29 shows significant indoor coverage when co-siting
NR with existing outdoor LTE cell sites.
71
Rysavy Research, 5G Network Planning—Capacity, Performance, Wireline Competitiveness, 2019.
https://rysavy.com/broadband-reports/.

Figure 29: Indoor 5G NR Coverage Co-Siting with Existing Outdoor LTE Sites72
Figure 30 shows effective outdoor coverage at mmWave frequencies by co-siting at LTE

cell sites, meaning that in urban areas with already dense LTE coverage, fewer 5G cells
will be needed to provide effective outdoor coverage.
Figure 30: mmWave Coverage Achieved by Co-Siting with LTE73
72
Qualcomm contribution. Qualcomm webinar, “How do we plan for 5G NR network deployments
coming in 2019?” Nov. 2018.
73
Qualcomm contribution. Qualcomm webinar, What new indoor opportunity will 5G NR mmWave
bring? Feb. 2019.

However, mmWave signals are easily blocked by walls, requiring the following approaches
to provide effective indoor coverage:
❑ Repeaters that forward the 5G NR signal indoors
❑ Routers that receive the 5G signal outside, then provide a Wi-Fi signal indoors (the
approached used for fixed wireless access)
❑ Indoor access points
Although mmWave operates at higher frequencies than Wi-Fi, co-siting with Wi-Fi can
provide effective coverage because the signal reflects off indoor surfaces, as shown in
Figure 31.
Figure 31: Co-Siting mmWave 5G NR with Wi-Fi Indoors for Effective Coverage74
Engineers generally expect that with mmWave, indoor access points will supply indoor
coverage and outdoor cell sites will provide outdoor coverage. This approach, although
requiring more infrastructure, allows effective frequency re-use and will ultimately create
networks with extraordinary capacity and performance.
Integrated Access and Backhaul

With increasing network densification, providing traditional fiber backhaul access to every
cell site has become extremely difficult; this is especially true for small cell base stations.
One of the technologies specified in Release 16 is wireless self-backhaul, called integrated
74
Ibid.

access and backhaul, which can enable flexible and very dense network deployment
without the need for densifying the transport network accordingly, especially when using
mmWave bands. Compared with LTE, 5G NR can achieve much wider bandwidth and offer
much higher throughput and network capacity through massive MIMO and multi-beam
systems deployment. IAB links in 5G will be able to share the same radio resources with
the macro donor access links to provide backhaul for other IAB nodes, as shown in Figure
32.
Figure 32: 5G Integrated Access and Backhaul
IAB will provide multiple benefits, including reducing the need for fiber to each cell site,
remediating isolated coverage gaps, enhancing capacity, and bridging from outdoor to
indoor.
Specific capabilities include:
❑ Support for legacy terminals, requiring no specific UE features.
❑ Spectrum allocation between access and backhaul for efficient spectrum usage.
❑ In-band (same band for both access and backhaul) and out-of-band (separate
bands for access and backhaul) capability for maximum spectrum flexibility.
❑ Support for both standalone and non-standalone 5G architectures.
❑ Multi-hop capability for extended range or to support complex topologies such as

convoluted urban canyons.

❑ Flexible QoS support including end-to-end QoS and individual traffic flows across
both access and backhaul links.
❑ Robustness with path redundancy in the wireless backhaul topology.
❑ Dynamic load balancing across backhaul links to optimize backhaul capacity for
time-dependent traffic loads.
❑ Centrally controlled management functions with local decision-making processes

for flexible and fast response to dynamic resource demand.
IAB use cases include cell densification, filling coverage holes, extending coverage along
streets or highways, and providing infrastructure on demand, such as at a stadium or
hazard zone.
See the 5G appendix sections “Architecture in More Detail” and “Integrated Access and
Backhaul in More Detail” for additional information. See also the 5G Americas white paper,
Innovations in 5G Backhaul Technologies.75
2020-2030 Technology Evolution

To appreciate wireless technology in the broader, evolving technology landscape, this new
section presents a speculative ten-year view of technology evolution in the 2020-2030 period.
Development of current standards through 3GPP Release 17 provides a detailed view of
network capability only about four years into the future. Seeing what comes beyond then
requires forward thinking and examination of the technology currently being researched.76
75
5G Americas, Innovations in 5G Backhaul Technologies, Jun. 2020.
https://www.5gamericas.org/innovations-in-5g-backhaul-technologies/.
76
Material for this section contributed by Cisco and T-Mobile and inspired by the following:
Dean Bubley, “Predictions for the next decade: looking out to 2030 for telecoms, wireless & adjacent
technologies,” Jan 3, 2020.
IEEE Communications, “Towards 6G Networks: Use Cases and Technologies,” Mar. 2020.
IEEE, 6G: The Next Frontier, May 2019.
IEEE, What Will 6G Be? May 2019.
IEEE Spectrum, It’s Never Too Early to Think About 6G, May 2018.
Institute for Communications and Navigation, German Aerospace Center, DLR, Department of
Electronic Systems, Aalborg University, From 5G to 6G: Has the Time for Modern Random Access
Come? Mar. 2019.
ITU, Network 2030, A Blueprint of Technology, Applications and Market Drivers Towards the Year 2030
and Beyond, 2019.
NTT DOCOMO, 5G Evolution and 6G, Jan. 2020.
Samung, 6G – The Next Hyper-Connected Experiences for All, Jul. 2020.

https://cdn.codeground.org/nsr/downloads/researchareas/6G%20Vision.pdf.

Organizations are already examining the future. For instance, Alliance for Telecommunications
Industry Solutions (ATIS) launched the “3GPP Release 17 & Beyond” initiative in January
201977 to develop ATIS’s vision of standards roadmap for 3GPP post-Release 16. ATIS’s
initiative identified key technologies and considered how the transformational
societal/business impacts of these technologies will drive requirements. 5G innovation and
other trends are emerging with a surprising number of futuristic technologies on the horizon
over the next decade, the estimated date for widespread 5G deployment.
In addition, the ITU Focus Group on Technologies for Network 2030 states that it, “intends to
study the capabilities of networks for the year 2030 and beyond, when it is expected to
support novel forward-looking scenarios, such as holographic type communications,
extremely fast response in critical situations and high-precision communication demands of
emerging market verticals.”78
Application Evolution
Improving wireless capability will bring new use cases and applications. 4G enabled
applications such as video streaming, but these had restrictions, such as resolution and
hours viewed per day. 5G, especially if deployed at the wide bandwidths enabled by 5G,
will have far greater capacity and can function as an effective wireline broadband
replacement. It will also enable high-bandwidth applications such as AR and VR. But even
greater-bandwidth applications that will demand even more from the network, such as 3D
holographic communication and digital replication of the physical world, are on the way.
Table 5 summarizes what is possible today with 4G, what 5G brings, and what may be
possible in future (beyond 5G) networks.
University of Bologna, Marco Chiani, Enrico Paolini, Franco Callegati, Open issues and beyond 5G.
Walid Saad, Mehdi Bennisy, Mingzhe Chen, Virginia Tech, A Vision of 6G Wireless Systems:
Applications, Trends, Technologies, and Open Research Problems, Feb. 2019.
77
ATIS, “3GPP Release 17 & Beyond.” https://www.atis.org/01_topsc/r17b/
78
ITU, “Focus Group on Technologies for Network 2030,” https://www.itu.int/en/ITU-
T/focusgroups/net2030/Pages/default.aspx, last viewed Apr. 13, 2020. See also IEEE Future
Networks, https://futurenetworks.ieee.org/; 6G Flagship, https://www.oulu.fi/6gflagship/.

Table 5: Evolution from 4G to Beyond 5G
4G 5G Future Technology
Beyond 5G
(Speculative)
Peak Theoretical 1 Gbps 20 Gbps 1 Tbps (1000 Gbps)

Throughput
Typical Throughputs 10s of megabits per 100s of Mbps to more 10s or 100s of Gbps
second (Mbps) than 1 Gbps
Wireline Broadband Only viable for small Viable for many users Viable for nearly all
Replacement percentage of users users
Video Streaming video but Fewer restrictions, Super-high resolution

with restrictions, HD UHD possible
possible
Types of Voice, interactive HD interactive, VR Immersive

Communications video telepresence and 3D
holographic
Reliability Networks mostly Designed for mission- Nine nines of

operates on best- critical applications reliability
effort basis (capable of six nines
of reliability
99.9999%)
Latency (radio As low as 10 msec As low as 1 msec Even greater timing

network delay) precision, for
example, 100
microseconds
Device Density 100 thousand 1 million devices/sq. 10 million devices/sq.

devices/sq. km km km
Spectral Efficiency High Three times higher Two times higher than
than 4G 5G
The evolved-5G capabilities expected during the 2020s, combined with developments in
computer miniaturization and artificial intelligence, will create an augmented-reality
overlay on human experience.
Research underway could make device interaction touchless, based only on natural human
voice communication or gestures. Wearable devices will become ubiquitous, for example
in watches, and others speculate devices that can be implanted in our bodies, on contact
lenses, via direct-brain interfaces, or in our ears. An in-ear device, for example, could
measure brain electrical activity, temperature, skin resistance, stress hormone levels,
blood oxygen, vagus nerve stimulation, eye movements, movement, and heart rate. With
this data, a health application could detect mental effort, stress, engagement, excitement,
physical health, what is calming, what a person is paying attention to, and where their
eyes are directed.79 These devices must account for privacy and security issues.
79
For further details, refer to IEEE Spectrum, “Here Come the Hearables,” May 2019.

Radio Evolution
Radio technology continues to increase in sophistication. 5G represents today’s state of
the art for what can be practically deployed, but researchers are already studying what
comes next by examining dimensions such as:
❑ Expansion from the approximate 100 GHz limit of 5G to 400-700 GHz,80 the upper
limits for wireless communications and referred to as terahertz frequencies.81
❑ Going beyond radio and harnessing free-space optical communications (now only
used in limited ways).
❑ Evolving antenna technology, both at sub-6 GHz and mmWave/THz, including

using new materials to create even higher-order MIMO and a greater number of
elements for narrower radio beams. Researchers anticipate 1000 simultaneous
beams that reach 10 Tbps of aggregate throughput. Virtual massive MIMO
approaches have also been proposed, by which a single antenna simulates multiple
antennas through oversampling and variation of antenna characteristics.
❑ Advanced repeaters and multi-hop relays that help propagate mmWave signals.
❑ Transmission and reception of radio signals by large, intelligent surfaces based on

electromagnetically active surfaces (e.g., using metamaterials).
❑ AI-based spectrum sharing approaches with which multiple entities can efficiently
share the same spectrum.
❑ Wireless energy transfer enabling extended or infinite battery life for mobile
devices.
❑ Full-duplex communications for simultaneous transmission and reception on the

same radio channel.
❑ Cell-less architecture by which user equipment connects to the radio access

network and not a specific cell.
❑ Higher consideration for lower energy use than in 5G.
❑ Modern random-access methods, including advanced receivers and non-orthogonal

multiple access, that could be more efficient for IoT communications.
Network Evolution
Beyond radio advances, networks themselves will continue to evolve during the 2020s
with innovations such as:
❑ Application of intelligence and machine learning in every aspect of the network to

increase efficiency, security, and reliability.
80
5G Americas member analysis.
81
One terahertz is 1,000 GHz; however, the terahertz frequency range can denote 100 GHz (0.1 THz)
to 10 Hz. For example, see ITU, Technology trends of active services in the frequency range 275-3000
GHz, Report ITU-R SM.2352-0, Jun. 2015. https://www.itu.int/dms_pub/itu-r/opb/rep/R-REP-
SM.2352-2015-PDF-E.pdf.

❑ Ultra-densification with access points at every street corner and mmWave
distributed throughout indoor environments, making extensive use of wireless self-
backhaul.
❑ Terrestrial networks augmented with non-terrestrial networks, including UAVs,

high altitude platform stations (e.g., 20 km altitude), and low-earth orbiting (LEO)
satellites.
❑ Virtualization of every aspect of the network, except the radio head, using open
interfaces. (Building on work in 4G and 5G, including efforts such as Open Radio
Access Network [O-RAN].)
❑ High resilience against attacks and disasters, especially as these networks become
critical infrastructure.
❑ Elasticity for on-demand service configurations to address specific use cases

supported by dynamic radio and computing resources.
❑ Intent-based network management by which the network translates business

policies into network planning and device configuration.
❑ Greater adoption by enterprises of private cellular-technology networks, many

integrated with public networks. These will be standalone or operated in
partnerships with cellular operators.
❑ New business models, such as “spectrum-as-a-service” with flexible resale and

temporary usage permissions, new forms of network aggregators, and new types
of virtual operators.
With these new networks, spectral-efficiency design considerations will move from
efficiency over area to efficiency over volume.
Figure 33 shows the transformation of networks, moving from 4G to beyond 5G.

Figure 33: Network Transformation
Distributed Computer Intelligence

The power of the advancing capability of networks in the 2020s will be augmented in
computer innovations, including:
❑ Widespread adoption of edge computing.
❑ Artificial intelligence distributed from cloud to edge to device with deep-learning

capabilities.
❑ Quantum computing for cryptographic and other as-of-yet unimagined

applications.
Standards Evolution
Wireless networking standards will need to evolve to keep pace with advancing
technology. Figure 34 presents the timeline of technology generations, including past and
future, showing initial deployment, the year of the peak number of subscribers, and
decline. Each cellular generation spans multiple decades, with peak adoption occurring
some twenty years after initial deployment. An ITU IMT-2030, or “6G” standards
development in the 2030 timeframe, though highly speculative, is consistent with previous
generations. Acceleration in technology development, combined with virtualization,
software-defined networks, and open source, could tighten the development timeframe.
Within any decade-long generational development cycle, researching technologies that

might be feasible for the next generation occupies about the first one-third of time.
Envisioning the future system and developing the associated requirements occupies about

the second third of time, and developing specifications for the new generation occupies
about the final third of time.
Figure 34: Timeline of Cellular Generations
Challenges toward this Future

The future of wireless technology is promising, with significant progress occurring over
the next decade, but challenges will be multifold, including the following:
❑ Edge computing shows great promise, but it could be fragmented by different

operator architectures, different types of entities (existing cloud vendors,
operators, enterprises, new entrants), and a multitude of software development
environments. Edge computing will also have to integrate with existing cloud
services.
❑ Higher-frequency components will require greater real-time processing.
❑ Terahertz signals will be even more difficult to propagate than mmWave signals.
❑ Close component spacing and increased processing will generate heat, limiting how
compact devices can be.
❑ Communities may resist or reject the placement of millions of access devices

needed for super-dense networks.
❑ QoS capabilities, essential for architectures such as network slicing, are still in early
stages of adoption on a widespread basis. Much remains to be learned about
dynamically managing the varying needs of thousands of different types of
applications, as well as maintaining QoS across different types of network
connections.
❑ Security concerns will increase as more devices are placed on the network, with
specific vertical applications requiring high levels of security.
❑ Privacy concerns may also slow down the installation of massive numbers of
sensors and devices capable of surveillance.

❑ Regulatory frameworks, especially contentious ones such as network neutrality and
siting regulations, may not be able to keep up with technology, inhibiting wide-
scale adoption. Countries that adapt the fastest with effective policy will achieve a
strategic advantage.
❑ Federal efforts to ease the way for ultra-dense deployments are already facing
legal challenges from local municipalities, which want to retain control over
deployments and maximize local revenue opportunities from siting licenses.
❑ Global technology fragmentation could occur as a result of tensions, such as the

current conflict between the United States and China.
Internet of Things and Industrial IoT

Current M2M and Internet of Things applications include vehicle infotainment, connected
healthcare, transportation and logistics, connected cars, home security and automation,
manufacturing, construction and heavy equipment, energy management, video surveillance,
environmental monitoring, smart buildings, wearable computing, object tracking, and digital
signage. Municipalities, evaluating the concept of “smart cities,” are exploring how to optimize
pedestrian and vehicular traffic, connect utility meters, and deploy trash containers that can
report when they need emptying.
Although promising, the IoT market is also challenging, with varying communications
requirements, long installation lifetimes, power demands that challenge current battery
technology, cost sensitivity, security and data privacy concerns, and unsuitability of
conventional networking protocols for some applications. Consequently, the IoT opportunity
is not uniform; it will eventually comprise thousands of markets. Success will occur one sector
at a time, with advances in one area providing building blocks for the next.
To address the IoT opportunity, 3GPP is defining progressive LTE and 5G refinements that will
occur over multiple 3GPP releases. These refinements include low-cost modules that approach
2G module pricing and enable multi-year battery life. 5G augments IoT capabilities by
enabling higher device densities, longer battery life, lower latency, and ultra-reliable
connections.
The lowest-cost cellular devices enabling IoT communications today are GPRS modems, which
risk becoming obsolete as operators sunset their GSM systems. HSPA is also used for M2M
communications, as is LTE, which has been optimized to efficiently communicate small bursts
of information, making it particularly well suited for M2M.
Low-cost GSM (through Enhanced Coverage GSM IoT [EC-GSM-IoT]) and LTE modem options
in 3GPP Releases 10 through 13 reduce cost, improve communications range, and extend
battery life. See the appendix section “Internet of Things and Machine to Machine” for details.
In Release 14, 3GPP specified how LTE technologies can operate for vehicle communications,
including vehicle-to-vehicle and vehicle-to-infrastructure, leveraging device-to-device
communications capabilities already specified for LTE in Releases 12 and 13.82
82
3GPP, 3GPP TR 36.885, Technical Specification Group Radio Access Network; Study on LTE-based
V2X Services; (Release 14).

Release 15 includes further IoT enhancements in LTE, such as TDD support, higher spectral
efficiency, and wake-up radio.83
Release 16 adds industrial IoT capabilities to 5G NR, vastly expanding the use cases for 5G
to include items such as motion control, drone control, industrial sensors, process automation
monitoring, and asset tracking. Specific capabilities include:84
❑ Ultra-reliable, low latency communications (URLLC). Latency is as low as 0.5

msec in the downlink and 0.5 msec in the uplink. Packet reliability can be as high as
99.9999% for a 32-byte packet with a user plane latency of 1.0 msec.
❑ Time sensitive networking, including wireless transport of Ethernet. Uses

accurate reference timing, support for deterministic and/or isochronous
communication with high reliability and availability, and Ethernet header compression.
The base station can signal time reference information to the UE using unicast or
broadcast signaling with a granularity of ten nanoseconds.
❑ Indoor positioning. Provides positioning accuracy within three meters.
❑ Non-public networks. Enterprises can operate their own networks, either standalone
or integrated with public networks. Spectrum can be CBRS, unlicensed 5 GHz or 6 GHz,
or licensed if coordinated with an operator.
Release 17 further reinforces IoT capabilities with slicing enhancements, industrial IoT
(including URLLC) enhancements, improved positioning, and NR-Light for wider use cases.
NR-Light in Release 17 will address use cases with throughputs higher than those provided
by LTE NB-IoT and LTE-M but lower than standard NR while providing lower cost and better
battery life than standard NR devices.
Figure 35 shows the timeline of IoT capability in Releases 16 and 17.
83
Qualcomm webinar, “What is the role of LTE Advanced Pro as 5G rolls out in 2019?” Apr. 26, 2018.
84
For further details, see Amitava Ghosh, Rapeepat Ratasuk and Anil M. Rao, Nokia Bell Labs,
“Industrial IoT Networks Powered by 5G New Radio,” Dec. 12, 2019.
https://www.microwavejournal.com/articles/33240-industrial-iot-networks-powered-by-5g-new-
radio?v=preview.

Figure 35: 5G Releases and Industrial IoT Support85
Table 6 lists global deployments of LTE IoT technologies.
85
Nokia contribution.

Table 6: Global NB-IoT and LTE-M Deployments86
86
5G Americas, TeleGeography, Jun. 2020.

Developers will use 3GPP wireless technologies for many IoT applications. In other instances,
developers will use local area technologies, such as Wi-Fi, Bluetooth Low Energy, and ZigBee.
New Low-Power Wide-Area (LPWA) wireless technologies emerging specifically to support IoT
include Ingenu, LoRa, and Sigfox. The low-power operation of some of these technologies,
including LTE and NR, will permit battery operation over multiple years. Table 7 summarizes
the various technologies.
Table 7: Wireless Networks for IoT
Technology Coverage Characteristics Standardization/

Specifications
GSM/GPRS/EC-GSM-IoT Wide area. Lowest-cost cellular modems, 3GPP

Huge global risk of network sunsets. Low
coverage. throughput.
HSPA Wide area. Low-cost cellular modems. 3GPP

Huge global Higher power, high
coverage. throughput.
LTE Global Higher module cost but best 3GPP

coverage and highest
performance. Voice option and
mobility.
LTE-M Many Low module cost with long 3GPP

operators in battery life and medium-level
many throughput. Voice option and
countries. mobility.
LTE NB-IoT Many Low module cost with long 3GPP

operators in battery life and lower-level
many throughput. No voice and no
countries. mobility. Ideal for indoor
applications.
Wi-Fi Local area. High throughput, higher IEEE

power.
ZigBee Local area. Low throughput, low power. IEEE
Bluetooth Low Energy Personal area. Low throughput, low power. Bluetooth Special
Interest Group
LoRa Wide area. Low throughput, low power. LoRa Alliance87

Emerging Unlicensed bands (sub 1 GHz,
deployments. such as 900 MHz in the United
States).
87
For details, see LoRa Alliance. https://www.lora-alliance.org/.

Technology Coverage Characteristics Standardization/
Specifications
Sigfox Wide area. Low throughput, low power. Sigfox88

Emerging Unlicensed bands (sub 1 GHz
deployments. such as 900 MHz in the United
States).
Ingenu (previously Wide area. Low throughput, low power. Ingenu89

OnRamp Wireless) Emerging Using 2.4 GHz ISM band. Uses
deployments. IEEE 802.15.4.
Refer to the appendix section “Internet of Things and Machine to Machine” for additional
details of LTE-based IoT solutions.
Security is of particular concern to both developers and users of IoT technology. An increasing
amount of network-connected infrastructure will result in new security vulnerabilities that are
being addressed by concerted effort from the industry.90
Cloud-based support platforms and standardized interfaces are essential for development and
deployment of IoT applications. For example, the organization oneM2M has developed a
service-layer architecture that can be embedded in hardware and software to simplify
communications with application servers.91
To address device management, the Open Mobile Alliance has developed the LightweightM2M
protocol.92
Cellular V2X Communications

Using cellular technologies for vehicle communications will increase safety and eventually
assist with autonomous driving. C-V2X is gaining momentum, including global trials that
began in 2017, support from organizations such as the 5GAA Automotive Association
(5GAA),93 and initial deployment.94 C-V2X is being designed to enable application-layer
automotive standards, such as those from ETSI and the Society of Automotive Engineers.
88
For details, see Sigfox. https://www.sigfox.com/en.
89
For details, see Ingenu. https://www.ingenu.com/.
90
For further insight, refer to the Ericsson white paper, IoT Security, Feb. 2017.
https://www.ericsson.com/assets/local/publications/white-papers/wp-iot-security-february-2017.pdf.
91
OneM2M home page: http://onem2m.org/.
92
Open Mobile Alliance, “Lightweight M2M (LWM2M).” https://www.omaspecworks.org/what-is-oma-
specworks/iot/lightweight-m2m-lwm2m/.
93
Details at http://5gaa.org/.
94
5GAA, “Update on V2X Communications Deployment in North America,” May 2019.
https://5gaa.org/wp-content/uploads/2019/05/02.Update_on_C-
V2X_communications_Deployment_in_North_America.pdf.

Cellular technology vehicle communication is an alternative to approaches such as Dedicated
Short Range Communications (DSRC) based on standards that include IEEE 802.11p and
802.11bd (in development and intended to operate in 5.9 GHz and 60 GHz).
In Release 14, 3GPP specified cellular vehicle-to-X (C-V2X) communications for LTE with two
complementary transmission modes: direct communications between vehicles and network
communications. Release 15 added radio improvements through transmit diversity (cyclic
delay diversity) and improved performance.
Direct communications use bands such as the Intelligent Transportation Systems (ITS) 5.9
GHz band, using the PC5 interface specified for LTE device-to-device communications, and
will not require a Universal Integrated Circuit Card (UICC) SIM (USIM). By operating on
different channels in the ITS band, direct cellular V2X will be able to co-exist with IEEE
802.11p, another automotive communications protocol. Communications modes include
Vehicle-to-Vehicle (V2V), Vehicle-to-Infrastructure (V2I), and Vehicle-to-Person (V2P). In
network communications mode, the system will use traditional cellular licensed spectrum.
C-V2X use cases include do-not-pass warnings, blind curve hazard warnings, road works
warnings, blind intersection assistance, coordinated driving with intention sharing,
coordinated trains of vehicles (platooning), bicyclist and pedestrian alerts, sensor sharing,
left-turn assistance, and real-time infrastructure updates.
As C-V2X technology continues to evolve, 3GPP has introduced a 5G-based V2X system in
Release 16: NR C-V2X.95 This new 5G-based V2X system expands the supported use cases to
advanced V2X applications, beyond the basic safety that was the focus of LTE-based V2X in
Release 14 and 15. The advanced applications identified by 3GPP include vehicle platooning,
extended sensors, advanced driving, and remote driving. NR C-V2X is designed to facilitate
complex vehicle maneuvers, including negotiated intersection crossings and coordinated lane
changes, by leveraging lower-latency communication, better positioning accuracy, and on-
the-fly distance-based group formations. Situational awareness is enhanced through high-
throughput sensor sharing from onboard cameras, radars, and LiDAR imagery; real-time
updates of 3D High Definition Maps; and the ability to see “through” vehicles and around blind
corners.
Like LTE-based V2X, the NR C-V2X allows direct communication mode (i.e. sidelink) between
vehicles without relying on cellular network connectivity. This enables reliable V2X services,
for example, coordinated driving, when inside or outside of 5G network coverage. The direct
communication of NR C-V2X offers major enhancements in terms of new short-range features
enabling advanced applications to complement the basic safety use cases.
NR V2X sidelink is designed to complement and seamlessly coexist with LTE V2X. The Release
16 design allows NR C-V2X to operate in LTE network deployments (under 4G coverage) and
vice versa. Based on the service type of the V2X application, the NR C-V2X UE is able to
determine the Radio Access Technology (RAT) Type to use (i.e. NR C-V2X sidelink or LTE V2X
sidelink) and the corresponding Transmission Format (TxProfile) using configured polices. The
combination of LTE V2X of Release 14/15 and NR C-V2X of Release 16 will provide a
comprehensive 5G C-V2X solution covering both basic safety and advanced applications.
NR C-V2X sidelink, as depicted in Figure 36, brings several enhancements in the form of
higher throughput, lower latency, enhanced reliability, and improved positioning, all of which
are expected to enhance cooperative and autonomous driving. These enhancements would
95
This section contributed by Qualcomm.

be achieved by leveraging functionalities of 5G NR such as OFDM-based air interface with
wideband carrier support and scalable sub-carrier spacing, a flexible slot-based framework,
and making demodulation reference signals (DMRS) a function of speed and advanced channel
coding. Furthermore, NR C-V2X sidelink has support for sidelink time synchronization,
allowing robust C-V2X operation even without GPS coverage.
Figure 36: Release 16 V2X Capability96
Recent field measurements have shown that V2X communications look promising in mmWave
frequency bands despite vehicle blockage. Measurement results have shown that mmWave
sidelink can support reasonably large coverage even without advanced beam-management
procedures.97
Refer to the appendix section “C-V2X in Detail” for further information.
Spectrum Developments
Scarcity of licensed spectrum continues to challenge the industry. Tactics to make the best
use of this limited resource include:
❑ Deploying technologies that have higher spectral efficiency
❑ Adapting specifications to enable operation in all available bands
❑ Designing both FDD and TDD versions of technology to take advantage of both paired
and unpaired bands
❑ Designing carrier aggregation techniques
96
Qualcomm contribution. Further details at Qualcomm, “How NR-based sidelink expands 5G C-V2X to
support new advanced use cases,” Mar. 31, 2020.
https://www.qualcomm.com/news/onq/2020/03/31/how-nr-based-sidelink-expands-5g-c-v2x-
support-new-advanced-use-cases. See also Qualcomm, “C-V2X momentum and the future of smart
mobility,” Jan. 7, 2020. https://www.qualcomm.com/news/onq/2020/01/07/c-v2x-momentum-and-
future-smart-mobility.
97
3GPP, Study on NR Vehicle-to-Everything (V2X), 3GPP TR 38.885, V16.0.0, Mar. 2019.

❑ Deploying as many new cells, large and small, as is economically and technically
feasible
Although all of these industry initiatives greatly expand capacity, they do not obviate the need
for additional spectrum. Fortunately, 5G technology will be able to employ frequencies not
previously used in cellular systems, including 6 GHz to 100 GHz.
An important aspect of deployment is for infrastructure and mobile devices to accommodate
the expanding number of available radio bands. The fundamental system design and
networking protocols remain the same for each band; only the frequency-dependent portions
of the radios must change. As other frequency bands become available for deployment,
standards bodies adapt technologies for these bands as well. Although 5G is being designed
to operate in all available bands, current GSM/HSPA/LTE technologies will most likely not be
used beyond 3.5 GHz with licensed spectrum.
3GPP specified LTE for operation in many different bands, and initial use is more fragmented
than the four bands (850 MHz, 900 MHz, 1.8 GHz, and 1.9 GHz) that enable global roaming
on 2G and the additional two bands (1.7 GHz and 2.1 GHz) that enable 3G roaming. Operators
are already re-farming 2G and 3G spectrum for LTE.
Mid-band frequencies from 3.3 GHz to 4.2 GHz are likely to become the global roaming bands
for 5G.
The process of identifying new spectrum and making it available for the industry is a lengthy
one, as shown in Figure 37.
Figure 37: Spectrum Acquisition Time98
New spectrum in the United States includes Priority Access Licenses (PALs) in the CBRS band
at 3.55 GHz, L-Band at 1.5 GHz, C-band at 3.7 GHz, and recently auctioned mmWave bands.
Table 8 summarizes current and future spectrum allocations in the United States.
98
Source for historical data, FCC, National Broadband Plan, Chapter 5.
http://www.broadband.gov/plan/5-spectrum/, accessed May 18, 2017. Future based on Rysavy
Research analysis.

Table 8: United States Current and Future Licensed Spectrum Allocations
Frequency Band Amount of Comments

Spectrum
600 MHz 70 MHz Ultra-High-Frequency (UHF).
700 MHz 70 MHz Ultra-High Frequency (UHF).
850 MHz 64 MHz Cellular and Specialized Mobile Radio.
1.5/1.6 GHz 40 MHz Available for 5G.

(L-Band)
1.7/2.1 GHz 90 MHz Advanced Wireless Services (AWS)-1.
1695-1710 MHz, 65 MHz AWS-3. Uses spectrum sharing.

1755 to 1780 MHz,
2155 to 2180 MHz
1.9 GHz 140 MHz Personal Communications Service (PCS).
2000 to 2020, 2180 40 MHz AWS-4 (Previously Mobile Satellite Service).99

to 2200 MHz
2.3 GHz 20 MHz Wireless Communications Service (WCS).
2.5 GHz 194 MHz Broadband Radio Service. Closer to 160 MHz deployable.
See also “2.5 GHz (EBS)” section below.
3.55-3.70 GHz 70 MHz 150 MHz underlay of generally authorized spectrum, with
CBRS up to 70 MHz available for licensed use (40 MHz limit for
a single operator in license area).
24 GHz 700 MHz Second licensed mmWave spectrum in the United States.
28 GHz 850 MHz First licensed mmWave spectrum in the United Sates.
37, 39, 47 GHz 4 GHz Third licensed mmWave spectrum in the United States.
FUTURE
3.7 to 4.2 GHz (C- 280 MHz Auction planned for end of 2020 to license 3.7 to 3.98 GHz
band) with C-band satellite services repacked in 4 to 4.2 GHz.
3.1 to 3.55 GHz To be Under investigation by FCC and National

determined Telecommunications and Information Administration
(NTIA), with upper 100 MHz recommended for
commercial sharing.
The subsections below provide additional information about the recently completed incentive
auction, the 3.5 GHz band, 5G, spectrum harmonization, unlicensed spectrum, and spectrum
sharing.
99
Supported in 3GPP Band 70, which adds 1995-2000 MHz, pairing it with 1695-1710 MHz in AWS-3
band.

3.55 to 3.70 GHz (CBRS)
In the United States, the FCC is in the process of opening the 3550 to 3700 MHz CBRS
band. Among the entities contemplating this band are cellular operators for small cells,
wireless ISPs for service in cities and rural areas, and private entities for addressing their
own applications. A private network could entail an enterprise with all of its own
infrastructure, including spectrum, or alternatively an enterprise using spectrum it has
licensed but with infrastructure managed by an operator.
The FCC is implementing a three-tier model with incumbent access, priority access with
priority access licenses (PALs), and General Authorized Access (GAA) for lightly licensed
users.100 Incumbent access will include government radar systems.
Two industry organizations, the Wireless Innovation Forum101 and the CBRS Alliance,102
are working for the realization of 3.5 GHz systems. Originally intended for LTE technology,
CBRS will also be available for 5G systems, with 5G specifications completed in February
2020.103
In 2019, the FCC finalized PAL rules using county-wide licensing areas. In January 2020,
the FCC approved four commercial Spectrum Access Systems (SASs) to act as database
managers, and entities were able to begin using the GAA tier.104 The FCC scheduled the
auction for CBRS PAL licenses to begin in July 2020.
See the section “Spectrum Sharing (CBRS, LSA)” for further details of how this band will
be used.
3.7 to 4.2 GHz (C-Band)

With momentum growing globally to use mid-band spectrum for 5G, the 3.7 to 4.2 GHz
band will play a crucial role in rapid 5G deployment, especially given that mid-band
spectrum requires significantly fewer cell sites to cover an area than using mmWave
frequencies. Although mid-band deployments will not offer the capacity and potential peak
throughputs possible with mmWave, they will, through extensive use of massive MIMO,
offer a significant performance advantage over current cellular bands.
100
For further details, see Official FCC Blog, “Innovation in the 3.5 GHz Band: Creating a New Citizens
Broadband Radio Service,” Mar. 2015. http://www.fcc.gov/blog/innovation-35-ghz-band-creating-
new-citizens-broadband-radio-service. See also FCC, Further Notice of Proposed Rulemaking--
Amendment of the Commission’s Rules with Regard to Commercial Operations in the 3550- 3650 MHz
Band, Apr. 23, 2014.
101
See http://www.wirelessinnovation.org/.
102
See https://www.cbrsalliance.org/.
103
CBRS Alliance press release, “CBRS Alliance Opens Gates for First U.S. Mid-band 5G Deployments,”
Feb. 26, 2020. https://www.cbrsalliance.org/news/cbrs-alliance-opens-gates-for-first-u-s-mid-band-
5g-deployments/.
104
WinnForum, “CBRS Status Summary,” https://cbrs.wirelessinnovation.org/cbrs-status-summary,
viewed Apr. 7, 2020.

A Rysavy Research analysis in 2019 concluded that 5G needs a minimum of 300 MHz to
make C-band viable and competitive with the rest of the world.105
In early 2020, the FCC stated it would proceed with a public auction of 280 MHz of the C-
band beginning in December 2020.106 Auction proceeds will help fund relocation of current
satellite operators and other incumbents.
The FCC anticipates that under an accelerated timeframe, operators could deploy networks
in the lower 100 MHz of the C-band in forty-six of the nation’s top fifty Partial Economic
Areas by September 2021 and in the remaining spectrum by September 2023.
Although an excellent start, based on rising global competition, 280 MHz of spectrum for
5G in C-Band will be insufficient. The United States led the world in LTE deployments
during the 2010s, powering a mobile computing revolution that propelled many mobile
computing-targeting U.S. companies to a leadership position. Similarly, countries leading
in 5G network performance will benefit from a communications platform that, in
combination with advances in technologies such as AI, will accelerate innovation.
Of particular concern is that many countries are moving faster than the United States in
opening mid-band spectrum for 5G. A global spectrum report performed by Analysys
Mason for CTIA concludes that relative to thirteen other markets, the United States is far
behind in making licensed mid-band spectrum available.107 The report expects that by the
end of 2022, the following countries will have the following amounts of mid-band spectrum
in this global range assigned:
❑ Canada 480 MHz
❑ China 460 MHz
❑ Hong Kong 460 MHz
❑ Japan 1000 MHz
❑ South Korea 600 MHz
❑ UK approximately 790 MHz
❑ United States 350 MHz (combination of 280 MHz in C-Band and 70 MHz in CBRS)
❑ Average across 14 listed countries 470 MHz
105
Rysavy Research, “Untangling C-Band for a New Broadband Future,” Fierce Wireless, Jan. 2019.
https://rysavyresearch.files.wordpress.com/2019/01/2019-01-untangling-c-band-new-broadband-
future.pdf.
106
FCC, The C-Band. Repurposing Mid-Band Spectrum for 5G, Feb. 6, 2020.
https://docs.fcc.gov/public/attachments/DOC-362335A1.pdf.
107
Analysys Mason, Final Report for CTIA, Mid-Band Spectrum Global Update, Mar. 2020.
https://www.ctia.org/news/report-5g-mid-band-spectrum-global-update.

The European Commission has announced it will harmonize spectrum in the 3.6 GHz band
so that members states can use the spectrum by the end of 2020. It will also harmonize
5G in 700 MHz and 26 GHz bands.108
3.1 to 3.55 GHz

Initiated by the U.S. Congress in the MOBILE NOW Act,109 a review of the 3.1-3.55 GHz
band is underway. The wireless industry is working with the FCC, NTIA, and the
Department of Defense to explore freeing up additional amounts of federally used mid-
band spectrum for commercial, licensed use. In support of this effort, the FCC issued a
Notice of Proposed Rulemaking (NPRM) in 2019 to relocate non-federal users from the
band.110 5G Americas filed comments and reply comments in response to the FCC’s NPRM,
encouraging the Commission to repurpose the 3.3–3.55 GHz band for commercial licensed
services and to continue to review the rest of the lower 3 GHz band.111
In January 2020, NTIA issued an initial report on the technical feasibility of sharing federal
spectrum in the 3.45 to 3.55 GHz band with commercial operations.112 In April 2020, 5G
Americas sent NTIA a letter advocating rapid evaluation of 3.1 to 3.45 GHz. In July 2020,
NTIA issued a report assessing feasibility of commercial wireless services sharing with
federal operations in the entire 3.1 to 3.55 GHz band.113 NTIA recommended commercial
sharing for the upper 100 MHz and stated in its executive summary, “Next steps will focus
on the further work needed to enable potential sharing of the 3450-3550 MHz portion of
the band, where near-term success is most likely, and to consider possible ways to
increase commercial access to more of the 3100-3550 MHz range.” In July 2020, 5G
Americas responded to the NTIA report, saying, “Now that NTIA has issued its report on
108
RCR Wireless, “Europe to harmonize spectrum in the 3.6 GHz band for future 5G services,” Jan. 25,
2019. https://www.rcrwireless.com/20190125/5g/europe-harmonise-spectrum-band-future-5g-
services.
109
Congress.gov, S.19 MOBILE NOW Act, 115th Congress (2017-2018), Aug. 3, 2017.
https://www.congress.gov/bill/115th-congress/senate-bill/19.
110
FCC, Notice of Proposed Rulemaking, Facilitating Shared Use in the 3.1-3.55 GHz Band, WT Docket
No. 19-348, Dec. 16, 2019. https://docs.fcc.gov/public/attachments/FCC-19-130A1.pdf.
111
5G Americas, “5G Americas files reply comments in response to FCC’s Notice of Proposed
Rulemaking for 3.1-3.55 GHz band,” Mar. 24, 2020. https://www.5gamericas.org/5g-americas-
comments-in-response-to-fccs-notice-of-proposed-rulemaking-for-3-1-3-55-ghz-band/.
5G Americas, “5G Americas comments in response to FCC’s Notice of Proposed Rulemaking (3.1-3.55
GHz),” Feb. 2020. https://www.5gamericas.org/5g-americas-comments-in-response-to-fccs-notice-of-
proposed-rulemaking-3-3-3-55-ghz/
112
NTIA, Technical Feasibility of Sharing Federal Spectrum with Future Commercial Operations in the
3450-3550 MHz Band, NTIA Technical Report 20-546.
https://www.its.bldrdoc.gov/publications/details.aspx?pub=3236.
113
NTIA, Feasibility of Commercial Wireless Services Sharing with Federal Operations in the 3100-
3550 MHz Band, Jul. 2020. https://www.ntia.doc.gov/files/ntia/publications/ntia_3100-
3550_mhz_mobile_now_report_to_congress.pdf.

the full 3.1 - 3.55 GHz band, it is critical that the federal agencies work closely with
industry at successful solutions to free up more spectrum in the band.”114
Additional spectrum in the lower 3 GHz band of at least 100 MHz, and preferably 250 MHz,
will be critical for the success of 5G in the United States and for U.S. global
competitiveness.
2.5 GHz (EBS)

In 2019, the FCC issued a report and order with respect to the 2.5 GHz band (2496 MHz
to 2690), with the goal of licensing block sizes of 16.5 MHz, 49.5 MHz, and 50.5 MHz. 115
The FCC stated that the report and order, “allows for more efficient and effective use of
2.5 GHz spectrum by increasing flexibility for existing EBS [Educational Based Services]
licensees and providing new opportunities for rural Tribal Nations and other entities to
access unused portions of the band.” 116
6 GHz
In April 2020, the FCC allocated an additional 1.2 GHz of spectrum for shared unlicensed
spectrum, following through on a 2018 Notice of Proposed Rulemaking.117 Historically in
the United States, the FCC has allocated comparable amounts of spectrum for licensed
and unlicensed spectrum, but as Rysavy Research argued, this allocation provided a
disproportionate amount of spectrum for unlicensed both in lower bands and mmWave. 118
5.850 to 5.925 GHz (DSRC)

The 5.9 GHz band (5.850 to 5.925 GHz) in the United States has been allocated to
Dedicated Short Range Communications, a service in the Intelligent Transportation
System (ITS) service that has seen slow progress. In November 2019, the FCC issued an
NPRM to examine the band and to propose changes, including dedicating the upper 30
MHz for ITS, permitting C-V2X operations in the upper 20 MHz (5.905 to 5.925 MHz), and
repurposing the lower 45 MHz for unlicensed operations such as Wi-Fi.119
In March 2020, 5G Americas filed comments, emphasizing the importance of C-V2X

communications, stating that the Notice, “does not allocate sufficient spectrum to enable
114
5G Americas, “5G Americas Urges NTIA to Move Quickly on Mid-Band Spectrum for Commercial
Wireless Use,” Jul. 2020. https://www.5gamericas.org/5g-americas-urges-ntia-to-move-quickly-on-
mid-band-spectrum-for-commercial-wireless-use/.
115
FCC, Report and Order, Transforming the 2.5 GHz Band, WT Docket No. 18-120, Jul. 2019.
https://docs.fcc.gov/public/attachments/FCC-19-62A1.pdf.
116
FCC, “FCC Transforms 2.5 GHz Band for 5G Services,” https://www.fcc.gov/document/fcc-
transforms-25-ghz-band-5g-services-0, viewed Apr. 7, 2020.
117
FCC, Notice of Proposed Rulemaking, Unlicensed Use of the 6 GHz Band,” Oct. 2018.
118
Rysavy Research, “6 GHz should be allocated for both licensed and unlicensed applications,” Mar.
19, 2020. https://rysavyresearch.files.wordpress.com/2020/03/2020-03-6ghz-licensed-
unlicensed.pdf/.
FCC, Notice of Proposed Rulemaking, Use of the 5.850-5.925 GHz Band, ET Docket No. 19-138,
119
Nov. 21, 2019. https://docs.fcc.gov/public/attachments/DOC-360940A1.pdf.

deployment of 5G-based C-V2X PC5120, and proposing the rest of the band be allocated
for that technology instead of unlicensed operations.”121
5G mmWave Bands
As radio technology progresses, it can handle higher frequencies, and it occupies greater
bandwidth. 1G systems used 30 kHz radio carriers, 2G in GSM uses 200 kHz carriers, 3G
in UMTS uses 5 MHz carriers, and 4G in LTE uses carriers of up to 20 MHz each and up to
640 MHz through carrier aggregation. 3GPP is specifying 5G NR to have individual radio
carriers of up to 100 MHz wide in sub-6 GHz bands and up to 400 MHz in mmWave bands.
Carrier aggregation will allow even wider usage of spectrum. In mmWave bands, ten times
as much spectrum, or more, will eventually become available than in all currently licensed
cellular spectrum—600 MHz to 2.5 GHz.
3GPP is specifying 5G NR to be band agnostic. 5G will use low-, mid-, and high-band
spectrum. 3GPP Technical Services Group - Radio Access Networks (TSG-RAN) agreed to
a process of efficiently adding LTE/NR band combinations and carrier-aggregated NR/NR
band combinations. See the appendix section “Spectrum Bands (3G to 5G)” for a listing
of 5G bands. Just as 3GPP has done with LTE, over time, 3GPP will specify additional 5G
bands spanning multiple frequencies.
During the 2019 World Radiocommunication Conference (WRC-19), the ITU identified
these mmWave band frequencies for International Mobile Telecommunication (IMT), which
can include 5G: 24.25-27.5 GHz, 37-43.5 GHz, 45.5-47 GHz, 47.2-48.2 GHz, and 66-71
GHz.122
In January 2019, the FCC completed the auction of the 28 GHz band, licensing 850 MHz,
and in May 2019, the FCC completed the auction of the 24 GHz band, licensing 700 MHz.
In March 2020, the FCC completed its third auction of mmWave bands for licenses in the
37, 39, and 47 GHz bands.123 The 37 GHz and 39 GHz bands will offer the largest amount
of contiguous mmWave spectrum for flexible-use, 2400 MHz. The 47 GHz will provide
1,000 MHz.
In March 2019, the FCC’s Spectrum Horizons First Report and Order created a new
category of experimental licenses from 95 GHz to 3 THz, freeing up to 21.2 GHz for
unlicensed use in the 116-123 GHz band, the 174.8-182 GHz band, the 185-190 GHz
120
C-V2X direct communications. See the section “Cellular V2X Communications” for further details.
121
5G Americas, “5G Americas comments in response to FCC’s Notice of Proposed Rulemaking for
5.850-5.925 MHz (“5.9 GHz”) Band,” Mar. 9, 2020. https://www.5gamericas.org/5g-americas-
comments-in-response-to-fccs-notice-of-proposed-rulemaking-for-5-850-5-925-mhz-5-9-ghz-band/.
122
ITU, World Radiocommunication Conference 2019 (WRC-19), Provisional Final Acts, 2019.
https://www.itu.int/dms_pub/itu-r/opb/act/R-ACT-WRC.13-2019-PDF-E.pdf. See also, IEEE, “WRC 19
Wrap-up: Additional spectrum allocations agreed for IMT-2020 (5G mobile),”
https://techblog.comsoc.org/2019/11/22/wrc-19-wrap-up-additional-spectrum-allocations-agreed-for-
imt-2020-5g-mobile/.
123
FCC, Fourth Report and Order, Use of Spectrum Bands Above 24 GHz for Mobile Radio Services,
Dec. 12, 2018. https://www.microwavejournal.com/ext/resources/blogs/Gary/2018/FCC-18-
180A1.pdf.

band, and the 244-246 GHz band.124 5G America filed comments in May 2019, stating that
with “continued investment in research and development by the wireless industry, 5G
Americas believes 95 GHz and above will prove to be appropriate for exclusively-licensed
use.”125
Although behind other countries in making mid-band spectrum available for 5G, the United
States leads in licensing mmWave bands. Other countries that licensed mmWave
frequencies for 5G deployments in 2019 include South Korea (28 GHz), Japan (28 GHz),
Italy (26 GHz), Russia (26 GHz), and Germany (26 GHz).126
The European Union is requiring Member States to harmonize their regulations for 5G
operation in 26 GHz by December 31, 2020.127
Table 9 summarizes the United States 5G bands for the near future.
Table 9: United States 5G mmWave Bands128
Bands Details
24 GHz Band (24.25-24.45 GHz Licensed in seven 100 MHz blocks.

and 24.75-25.25 GHz)
28 GHz Band (27.5-28.35 GHz) Licensed in two 425 MHz blocks by county.
39 GHz Band (38.6-40 GHz) Licensed in 100 MHz blocks.
37 GHz Band (37-38.6 GHz) Lower 37-37.6 GHz segment shared between federal and
non-federal users. Upper 37.6-38.6 GHz segment licensed in
100 MHz blocks.
47 GHz Band (47.2-48.2 GHz) Licensed in 100 MHz blocks.
64-71 GHz Band Available for unlicensed use with same Part 15 rules as
existing 57-64 GHz band.
124
FCC, First Report and Order, Spectrum Horizons, Mar. 21, 2019.
125
5G Americas, “5G Americas FCC filing for consideration of more exclusive use licensed spectrum 95
GHz and above,” https://www.5gamericas.org/fcc-filing-for-consideration-of-more-exclusive-use-
licensed-spectrum-95-ghz-and-above/.
126
For additional details, refer to GSA (Global Mobile Supplier Association), Spectrum for Terrestrial
5G Networks: Licensing Developments Worldwide, Jul. 2019. http://comitatomcs.eu/wp-
content/uploads/2019/08/190730-GSA-5G-spectrum-report-July.pdf.
127
Venture Beat, “EU picks 26GHz for 5G millimeter wave, requires support by end of 2020,” May 15,
2020. https://venturebeat.com/2019/05/15/eu-picks-26ghz-for-5g-millimeter-wave-requires-support-
by-end-of-2020/.
128
For more details, refer to FCC, Report and Order and Further Notice of Proposed Rulemaking, Use
of Spectrum Bands Above 24 GHz for Mobile Radio Services, Jul. 14, 2016. See also 5G Americas,
Spectrum Landscape for Mobile Services, Nov. 2017.
http://www.5gamericas.org/files/8415/1018/3549/5G_Americas_Whitepaper_Spectrum_Landscape_F
or_Mobile_Services.pdf.

Spectrum Sharing (CBRS, LSA)
In 2012, President Obama’s Council of Advisors on Science and Technology (PCAST) issued
a report titled, “Realizing the Full Potential of Government-Held Spectrum to Spur
Economic Growth.” The PCAST report recommended spectrum sharing between
government and commercial entities.
The U.S. government can designate spectrum for exclusive, shared, or unlicensed use, as
shown in Figure 38. Shared use can be opportunistic, as with TV white spaces; two-tier
with incumbents and licensed users; or three-tier, which adds opportunistic access. The
bands initially targeted for spectrum sharing include AWS-3 (two tiers on a temporary
basis) and the 3.5 GHz CBRS band (three tiers).
The three-tier plan envisioned by the U.S. government for the 3.5 GHz band gives more
entities access to the spectrum but at the cost of increased complexity.
Figure 38: Spectrum Use and Sharing Approaches129
Figure 39 shows the architecture of the 3.5 GHz CBRS system. The system consists of
incumbents (government systems), Priority Access Licenses, and General Authorized
Access. Government systems include military ship-borne radar, military ground-based
radar, fixed satellite service earth stations (receive-only), and government broadband
services (3650 to 3700 MHz). GAA users are licensed “by rule” (complying with general
regulations as opposed to operating under individually obtained licenses) and must protect
both incumbents and PALs. Government radar incumbents are protected by an
Environmental Sensing Capability (ESC) that detects incumbents and informs the SAS.
Some examples of GAA use cases are small-business hotspots, campus hotspots, and
backhaul.
Citizens Broadband Radio Service Devices (CBSDs) are the base stations operating under
this service; they can operate only under the authority and management of the SAS, either
by direct communications or a proxy node.
129
TV White Space are under FCC Unlicensed Part 15 rules, Subpart H.

WinnForum has developed baseline specifications for operation within the CBRS band. To
ensure interoperability, the CBRS Alliance has developed a certification program for
equipment operating in the 3.5 GHz band and an associated brand named “OnGo.”130
With completion of specifications in early 2020, CBRS can now support both LTE and 5G
radio access.131
Use cases for CBRS include:
❑ Capacity extension for cellular operators.
❑ Fixed wireless access from commercial network providers, including cellular

operators, regional/local ISPs, and cable companies. Rural operators may be able
to take advantage of GAA.
❑ Private LTE and 5G networks.132
Operators will use CBRS with either GAA or PAL. For GAA, an operator can use LAA with a
licensed band carrier aggregated with the GAA unlicensed band. A private enterprise could
also use GAA or PAL, deploying either its own core network or working in partnership with
an operator. An enterprise deployment could support roaming with cellular networks.
Recently-completed NR-U specifications will provide even greater flexibility. For example,
a CBRS band could serve as an anchor and be combined with NR in an unlicensed band.133
Potential private network use cases include retail sales, video surveillance,
communications for security and operations teams, mobile point-of-sale and mobile
kiosks, manufacturing and industrial automation, transportation and logistics, energy and
utilities, healthcare, automated vehicles, and equipment control.
130
For details, see CBRS Alliance, “OnGo Certification” at https://www.cbrsalliance.org/certification/.
131
Fierce Wireless, “CBRS Alliance completes 5G specs,” Feb. 26, 2020.
https://www.fiercewireless.com/tech/cbrs-alliance-completes-5g-specs.
132
For further discussion of use cases, see Ericsson, “How CBRS spectrum changes the game for
wireless industry innovation in the US,” Feb. 26, 2020.
https://www.ericsson.com/en/blog/6/2020/the-fuss-about-cbrs.
133
Qualcomm, “How does support for unlicensed spectrum with NR-U transform what 5G can do for
you?” Jun. 11, 2020. https://www.qualcomm.com/news/onq/2020/06/11/how-does-support-
unlicensed-spectrum-nr-u-transform-what-5g-can-do-you.

Figure 39: CBRS Architecture
The European Telecommunications Standards Institute (ETSI) is the leading organization

standardizing cognitive radios. The most relevant effort is Licensed Shared Access (LSA),
a two-tier spectrum sharing system that includes incumbents and licensed secondary
users that access shared spectrum via a database, as depicted in Figure 40.

Figure 40: Licensed Shared Access (LSA)
Harmonization
Spectrum harmonization delivers many benefits, including higher economies of scale,
better battery life, improved roaming, and reduced interference along borders.
As regulators make more spectrum available, it is important that they follow guidelines
such as those espoused by 5G Americas:134
❑ Configure licenses with wider bandwidths.

❑ Group like services together.
❑ Be mindful of global technology standards.
❑ Pursue harmonized/contiguous spectrum allocations.
❑ Exhaust exclusive use options before pursuing shared use.
❑ Because not all spectrum is fungible, align allocation with demand.
LTE and 5G NR benefit from wider radio channels. These wider channels are not only
spectrally more efficient, they also offer greater capacity. Figure 41 shows increasing LTE
spectral efficiency obtained with wider radio channels, with 20 MHz on the downlink and
20 MHz (20+20 MHz) on the uplink comprising the most efficient configuration.
134
4G Americas, Sustaining the Mobile Miracle – A 4G Americas Blueprint for Securing Mobile
Broadband Spectrum in this Decade, Mar. 2011.

Figure 41: LTE Spectral Efficiency as Function of Radio Channel Size135
The organization tasked with global spectrum harmonization, the International

Telecommunication Union, periodically holds World Radiocommunication Conferences.136
Harmonization occurs at multiple levels:
❑ Allocation of radio frequencies to a mobile service in the ITU frequency allocation

table.
❑ Establishment of global or regional frequency arrangements, including channel
blocks and specific duplexing modes.
❑ Development of detailed technical specifications and standards, including system
performance, RF performance, and coexistence with other systems in neighboring
bands.
❑ Assignment for frequency blocks with associated technical conditions and
specifications to appropriate operators and service providers.137
135
5G Americas member company analysis.
136
International Telecommunication Union, “World Radiocommunication Conferences (WRC),”
http://www.itu.int/ITU-R/index.asp?category=conferences&rlink=wrc&lang=en, viewed May 18, 2017.
137
International Telecommunication Union Radiocommunication Study Groups, Technical Perspective
on Benefits of Spectrum Harmonization for Mobile Services and IMT, Document 5D/246-E, Jan. 2013.

Unlicensed Spectrum
Wi-Fi uses spectrum efficiently because its small coverage areas result in high-frequency
reuse and high data density (bps per square meter). Less efficient are white-space
unlicensed networks, sometimes called “super Wi-Fi,” that, because of large coverage
areas, have much lower throughput per square meter. While white-space networks may
be a practical broadband solution in rural or undeveloped areas, they face significant
challenges in urban areas that already have mobile and fixed broadband available.138
Advocates argue that unlicensed spectrum unleashes innovation and that government
should allocate greater amounts of unlicensed spectrum. Although Wi-Fi has been
successful, the core elements that make unlicensed spectrum extremely successful are
also the source of inherent disadvantages: local coverage and its unlicensed status. Local
coverage enables high data density and high frequency reuse but makes widespread
continuous coverage almost impossible. Similarly, unlicensed operation facilitates
deployment by millions of entities but results in overlapping coverage and interference.
Of concern is the relative amount of licensed spectrum compared to unlicensed spectrum.

5G Americas states, “When compared with the total allocation of licensed spectrum for
mobile networks, the amount of unlicensed spectrum is significantly greater.” 139
Networks built using unlicensed spectrum cannot replace networks built using licensed
spectrum, and vice versa. The two are complementary to each other, as summarized in
Table 10.140
Table 10: Pros and Cons of Unlicensed and Licensed Spectrum
Unlicensed Spectrum Licensed Spectrum
Pros Cons Pros Cons
Easy and quick to Potential of other Huge coverage Expensive

deploy entities using same areas infrastructure
frequencies
Low-cost hardware Difficult to impossible Able to manage Each operator has

to provide wide-scale quality of service access to only a small
coverage amount of spectrum
Some operators offer a “Wi-Fi first” capability with which devices always attempt to use a
Wi-Fi connection and fall back to a cellular connection only if no Wi-Fi is available. Such
cellular backup is essential because Wi-Fi, due to low-power operation in many bands, is
inherently unsuited for providing continuous coverage. The sharp drop-off in signal
138
For further analysis, see Rysavy Research, “White spaces networks are not ‘super’ nor even Wi-Fi,”
Gigaom, Mar. 2013. http://gigaom.com/2013/03/17/white-spaces-networks-are-not-super-nor-even-
wi-fi/.
139
5G Americas, 5G Spectrum Vision, Feb. 2019.
http://www.5gamericas.org/files/4015/4958/3330/5G_Americas_5G_Spectrum_Vision_Whitepaper.pd
f.
140
For further analysis, see Rysavy Research, “It’s Time for a Rational Perspective on Wi-Fi,” Gigaom,
Apr. 2014. http://gigaom.com/2014/04/27/its-time-for-a-rational-perspective-on-wi-fi/.

strength due to low transmit power makes coverage gaps over large areas inevitable,
especially outdoors.
Key Supporting Technologies

Network architects design networks using a broad toolkit, including AI, multiple cell types and
sizes, integration with unlicensed spectrum, smart antennas, converged services, and
virtualization.
Virtualization and Cloud Native

Virtualization refers to implementing the functions of infrastructure nodes in software on
commercial “off-the-shelf” computing equipment. The approach promises lower capital
expenditures, lower operating costs, faster deployment of new services, energy savings,
and improved network efficiency. With NFV, multiple tenants will be able to share the
same infrastructure, facilitating, for example, mobile virtual network operator (MVNO) and
multi-operator virtualized RAN arrangements. NFV, however, also constitutes an entirely
new way of building and managing networks, so widespread adoption will occur over a
long period.
Both the core network and portions of the radio-access network can be virtualized. The
core network, consisting of fewer nodes, is an easier starting point. Virtualizing RAN
elements, although more complex, will eventually provide the greatest network efficiency
gains, particularly for small-cell deployments where it can facilitate coordination among
cells and use of methods such as CoMP and interference coordination. Unlike the core,
virtualizing the entire RAN is not possible because a Physical Network Function must
terminate the radio interface.
A number of industry efforts are facilitating the deployment of virtualized architectures.

These efforts include work by 3GPP, the O-RAN Alliance, Common NFVi Telecom Taskforce
(CNTT), Linux Foundation, and the Open Network Automation Platform (ONAP) project.
These open interfaces enable many radio and network functions to be implemented in
software and create an interoperable vendor ecosystem.
The European Telecommunications Standards Institute (ETSI) is standardizing an NFV

framework, including interfaces and reference architectures.141 Other standards and
industry groups involved include 3GPP, Cloud Native Computing Foundation, the Open
Networking Foundation, OpenStack, OpenDaylight, OPNFV, and Open vSwitch.
Figure 42 shows the ETSI framework, in which virtualized network functions are the nodes
or applications by which operators build services.
141
For details, refer to ETSI, “Industry Specification Group (ISG) Network Functions Virtualisation,”
https://www.etsi.org/committee/nfv.

Figure 42: ETSI NFV High-Level Framework142
Some specific use cases for NFV include:
❑ 5G. 5G networks are designed with interfaces that facilitate virtualized

implementations.
❑ IMS and VoLTE. IMS is necessary for VoLTE, but an NFV approach could reduce
the complexity associated with the multiple nodes and interfaces in the IMS
architecture.
❑ Virtualized EPC (VEPC). The Evolved Packet Core, consisting of the Serving
Gateway (SGW), the Packet Gateway (PGW), and Mobile Management Entity
(MME), can be virtualized, but doing so will require meeting operator bandwidth,
latency, and control plane service requirements.
❑ New VEPC Services. With a virtualized EPC, an operator can more easily create
MVNO services, each with its own virtualized MME, SGW, and PGW. An M2M
virtualized service is another example of offering a more finely tuned service for
the target application. Because the PGW connects to external networks, further
opportunities exist for virtualized services to augment networking functions,
142
ETSI, ETSI NFV High-Level Framework, ETSI GS NFV 002 V1.1.1 (2013-10).

including video caching, video optimization, parental controls, ad insertion, and
firewalls.
❑ Cloud RAN. Pooling of baseband processing in a cloud RAN can, but does not
necessarily, use virtualization techniques. Separating the radio function from
baseband processing typically requires transporting digitized radio signals across
high-bandwidth (multi-Gbps) fiber connections, sometimes referred to as
fronthauling. Refer to the appendix section “Cloud Radio-Access Network (RAN)
and Network Virtualization” for a more detailed technical discussion.143
Cloud Native
Related to virtualization are cloud native networks based on containerized network

functions (CNFs). CNFs are similar to virtual network functions (VNFs), but they operate
on lighter-weight containers, resulting in easier deployment than virtual machines (VMs).
A motivation for cloud native comes from the Service Based Architecture used in 5G,
defined in Release 15, and enhanced in Release 16 to extend the service concept from the
control plane to the user plane function. Although cloud native functions provide flexibility
by breaking up existing network functions into microservices, a cloud native approach
struggles to address the packet processing and latency requirements of 5G. 144
Additional challenges for cloud native are developments occurring outside of 3GPP. For
instance, 3GPP defines a VNF manager but not a CNF manager. No end-to-end
standardization currently exists for cloud native architectures, and the resulting vendor
implementation differences complicate interoperability between them. Nevertheless, cloud
native is a likely industry direction as an evolution of SDN and NFV approaches.
Operators proceeding with cloud native architectures, including those based on

frameworks from the Common NFVi Telco Taskforce,145 are likely to use Kubernetes,146 an
open-source system for automating deployment, scaling, and management of
containerized applications.147
Many different industry and standards organizations are involved in defining cloud-based
network architectures, many of them open source, as shown in Figure 43.
143
For further details, see “Network Functions Virtualisation,” http://www.etsi.org/technologies-
clusters/technologies/nfv.
For a detailed discussion of cloud native, refer to the 5G Americas white paper, 5G and the Cloud,
144
Dec. 2019. https://www.5gamericas.org/5g-and-the-cloud/.

145
Fierce Telecom, “Common NFVi Telco Task Force publishes reference model and reference
architecture for unified framework,” Sep. 23, 2020. https://www.fiercetelecom.com/telecom/common-
nfvi-telco-task-force-publishes-first-reference-model-and-reference-architecture-for.
146
Fierce Wireless, “Rakuten’s 5G network will be built with containers,” Apr. 10, 2020,
https://www.fiercewireless.com/5g/rakuten-s-5g-network-will-be-built-containers.
147
Light Reading, “AT&T Inks '8-Figure' Kubernetes & OpenStack 5G Deal With Mirantis,” Feb. 7,
2019, https://www.lightreading.com/mobile/5g/atandt-inks-8-figure-kubernetes-and-openstack-5g-
deal-with-mirantis/d/d-id/749318.

Figure 43: Linux Foundation Open Networking and Orchestration148
O-RAN
O-RAN transforms the radio access network by breaking up radio processing into a
combination of distributed and centralized functions with well-defined interfaces between
them and extending to other parts of the network. This approach makes it possible for
vendors to concentrate on portions of the network in which they have greatest expertise,
while the smaller pieces involved allow lower barriers to entry, thus broadening vendor
diversity.
A related effort is the Telecom Infra Project (TIP) OpenRAN.149 The TIP OpenRAN project
and O-RAN Alliance agreed in 2020 to align their work in developing interoperable,
disaggregated RAN solutions.150 While TIP does not develop specifications, it develops use
cases, performs laboratory validation, helps develop the ecosystem for vendors and
operators, and facilitates trials. Yet another organization, the OpenRAN Policy Coalition,
151
promotes policies to advance the adoption of open and interoperable RAN solutions.
Another concept is vRAN, which does not involve standardization or interoperability, but
focuses on how to implement the RAN in a virtualized environment on open hardware.
One can think of vRAN as vertical openness and O-RAN interfaces as horizontal openness.
An open RAN (one built using open interfaces) does not necessarily have to be virtualized,
148
Linux Foundation, Harmonizing Open Source and Standards in the Telecom World, May 2017.
https://www.linuxfoundation.org/publications/2017/05/new-networking-harmonization/
149
Heavy Reading, TIP OpenRAN: Toward Disaggregated Mobile Networking, May 2020.
https://img.lightreading.com/downloads/TIP-OpenRAN-Toward-Disaggregated-Mobile-Networking.pdf.
150
IEEE ComSoc Technology Blog, “TIP OpenRAN and O-RAN Alliance liaison and collaboration for
Open Radio Access Networks,” Feb. 26, 2020. https://techblog.comsoc.org/2020/02/26/tip-openran-
and-o-ran-alliance-liaison-and-collaboration-for-open-radio-access-networks/.
151
https://www.openranpolicy.org/.

although many will be. Similarly, a closed RAN with proprietary or vendor-specific
interfaces can still be virtualized.
Figure 44 depicts the combined NFVi and O-RAN architecture, premised on:
❑ A generic RF architecture for lower power radio access points.
❑ Commodity small cells hardware.
❑ Standardized fronthaul allowing a split between the Remote Radio Unit and
Centralized Processing.
❑ Standardized mid-haul interface between real-time (Distributed Units) and near-

real-time (Centralized Units) for radio processing.
❑ RAN Intelligent Controller, specified by O-RAN, which provides network intelligence

for policy enforcement, QoS management, handover optimization, self-
organization, load balancing, and slicing control.
Figure 44: O-RAN Architecture
The O-RAN Alliance has specified the details of the connection between the Distributed
Unit (DU) and the Remote Radio Unit based on what is called Option 7-2x. The scope of
specifications includes Control-plane, User-plane, Synchronization-plane, and
Management-plane protocol structure, as well as procedures for interoperability between
the radio unit and DU. O-RAN uses the Enhanced Common Public Radio Interface (eCPRI)

or optional Radio over Ethernet (RoE) as the transport protocol over Ethernet, or optional
IP/UDP encapsulation for control and user plane protocol. The S-plane protocol is defined
as Precision Time Protocol (PTP) over Ethernet with optional Synchronous Ethernet
support.
Lower layer functional split Option 7-2x allows two types of radios based on the placement
of physical layer functions: Cat-A and Cat-B. A Cat-A radio unit implements physical layer
functions such as OFDM phase compensation, cyclic prefix addition, and digital
beamforming in the radio unit, while a Cat-B radio implements precoding function in
addition to the physical layer functions implemented in a CAT-A radio. This approach
allows optimized implementations of lower-layer splits for various type of radios.
The approach, using E-CPRI to connect the DU and the radio unit, places radio functions
such as OFDM phase compensation, cyclic prefix addition, and digital beamforming in the
radio unit. The rest of physical layer functions, including resource element mapping,
precoding, modulation, scrambling, and coding, are in the DU for the O-RAN CAT-A radio.
High-layer protocol functions, such as PDCP, occur in the Centralized Unit (CU), with the
connection between Distributed Unit and Centralized Unit referred to as the midhaul
interface. Centralized coordination and intelligence at the near-real-time RAN Intelligent
Controller can perform functions such as optimization of mobility management, traffic
management, network slice management, scheduling policies, and interference
management.152
Edge Computing
ETSI is standardizing Multi-access Edge Computing, previously known as Mobile-Edge
Computing, a technology that empowers a programmable application environment at the
edge of the network, within the RAN.153 Goals include reduced latency, more efficient
network operation for certain applications, and an improved user experience. Although
MEC emphasizes 5G, especially for applications that need low latency, it can also be
applied to 4G LTE networks.
Figure 45 shows how a combination of cloud services, augmented by eventually a far

greater number of edge servers, will support billions of devices. Possible participants
include existing cloud vendors, cellular operators, computer infrastructure vendors,
private enterprises for their own applications, cellular-infrastructure vendors, data center
vendors, and new entrants. By collaborating with cellular operators, cloud specialists in
particular are now becoming involved in edge computing deployments, including Amazon,
Google, and Microsoft.154
For further details, refer to the O-RAN Alliance white paper, O-RAN: Towards and Open and Smart
152
RAN, Oct. 2018.

153
For further details, see ETSI, “Multi-access Edge Computing,”
https://www.etsi.org/technologies/multi-access-edge-computing. See also, ETSI, Multi-access Edge
Computing (MEC); Framework and Reference Architecture, ETSI GS MEC 003 V2.1.1 (2019-01).
https://www.etsi.org/deliver/etsi_gs/MEC/001_099/003/02.01.01_60/gs_MEC003v020101p.pdf.
154
For example, see Fierce Telecom, “Microsoft, AT&T create edge compute zones,” Apr. 1. 2020,
https://www.fiercetelecom.com/telecom/microsoft-at-t-create-edge-compute-zones; Fierce Wireless,
“AT&T and Google Cloud forge 5G edge compute partnership for enterprises,” Mar. 5, 2020,
https://www.fiercetelecom.com/telecom/at-t-and-google-cloud-forge-5g-edge-compute-partnership-
for-enterprises; Fierce Wireless, “Verizon partners with AWS to bring more power to its 5G edge,” Dec.

Figure 45: Intelligence in the Cloud, the Edge, and in Devices
Possible locations for edge servers include:
❑ Collocated with virtualized RAN computing locations, such as Centralized Units (as
defined in the O-RAN architecture).
❑ Macro tower cell sites.
❑ Existing and new distributed data centers (for example, operator or cloud vendor).
For many applications, latency will determine how close the edge servers need to be to
user devices. 5G networks are striving for 1 msec latency (round-trip time) within the
network. Light travels 186 miles (300 km) in 1 msec, so designers will need to plan their
applications accordingly. For instance, a cloud-gaming application may tolerate 10 msec
of delay and not need to be as close to the device as a robotics controller that can only
tolerate a few msec.
The other consideration is the amount of data that needs transportation. An enterprise
performing AI-based video analysis of an operation may wish to do such calculations on
location rather than backhauling a huge amount of data to a more central location.
Applications that will benefit are ones that require server-side processing but are location
specific. Examples include:
3, 2019, https://www.fiercewireless.com/5g/verizon-partners-aws-to-bring-more-power-to-its-5g-
edge.

❑ Augmented reality, such as immersive in-store experiences.
❑ Virtual reality. Rendition processing can be combined between user device and
edge computer.
❑ Predictive maintenance that helps detect machines in danger of breaking.
❑ Intelligent video processing, such as transcoding, caching, acceleration, and AI-

based analysis.
❑ Cloud/edge-based game hosting.155
❑ Connected and autonomous vehicles.
❑ IoT applications including industrial automation, such as robotic control.156
5G standalone network architecture provides access to user data in a local environment

via a distributed User Plane Function (UPF), thus enabling local data breakout and
facilitating edge computing.157 For a detailed discussion of how MEC can operate in a 5G
environment, refer to ETSI’s white paper, MEC in 5G Networks.158
3GPP is continuing work to enhance edge computing, including a study item planned for
Release 17.159
Artificial Intelligence (AI)

Researchers are studying how AI could be used in network infrastructure. 3GPP is
incorporating automation and machine learning into its architecture by introducing the
Network Data Analytics Function160 into the 5G-NGC. NWDAF and RAN-DAF will play an
important role in network slicing, discussed above in the section “Network Slicing.”
Although not standardized yet in any specifications, AI could:
155
See, for example, AT&T, “AT&T Unlocks the Power of Edge Computing: Delivering Interactive VR
over 5G,” Feb. 21, 2019. https://about.att.com/innovationblog/2019/02/edge_computing_vr.html.
156
See, for example, ZDNet, “MWC 2019: AT&T tests 5G and edge computing with Microsoft Azure,”
Feb. 26, 2019. https://www.zdnet.com/article/mwc-2019-at-t-tests-5g-and-edge-computing-with-
microsoft-azure/.
157
Operators can implement local breakout in LTE networks using a mechanism called Local IP Access
(LIPA), but this approach is not as flexible as the UPF function in 5G standalone networks.
158
ETSI, MEC in 5G Networks, ETSI White Paper No. 28, Jun. 2018.
https://www.etsi.org/images/files/ETSIWhitePapers/etsi_wp28_mec_in_5G_FINAL.pdf.
159
3GPP, “Study on enhancement of support for Edge Computing in 5G Core network (5GC),” 3GPP
Technical Report 23.748.
.
160
3GPP “Architecture enhancements for 5G System (5GS) to support network data analytics
services”, TS 23.288.

❑ Optimize the network in real time by controlling connections, such as which base
stations users connect with, whether to hand off from cellular to Wi-Fi, mesh
configurations for wireless multi-hop backhaul, or load balancing.
❑ Improve network self-organizing capabilities.
❑ Handle increasing network complexity with an increased number of cell sites

(especially small cells), number of devices, and speed of operation.
❑ Heal the network to work around failures, such as a base station that becomes
inoperable.
❑ Employ more efficient scheduling, massive MIMO beam management, congestion

control, and radio resource allocation.161
❑ Organize the radio resources used by different 5G network slices.
❑ Reduce tower climbs by using drones with AI interpretation of video images to

detect issues.
❑ Provide customer-support functions.
❑ Augment security functions, such as threat detection.
❑ Automate management and orchestration of the network, manage the lifecycle,

and monitor the status of a network slice or third-party application performance.
Acumos AI162 is a platform and open source framework that makes it easy to build, share,
and deploy AI apps. Acumos is part of the Linux Foundation’s AI Foundation, an umbrella
organization within The Linux Foundation that supports and sustains open source
innovation in artificial intelligence, machine learning, and deep learning. Acumos
standardizes the infrastructure stack and components required to run an out-of-the-box
general AI environment. These types of functions are already being standardized, in part,
in self-optimizing and self-configuring capabilities, but the addition of AI will increase the
sophistication of these capabilities.
ETSI has defined the term “Experiential Networked Intelligence” to refer to an architecture
that enables closed-loop network operations and management using AI.163
On-device AI will provide numerous benefits:
❑ Improved radio signal processing by incorporating location, velocity, massive MIMO

channel estimation, and other information about the environment, resulting in
improved throughput, better beam management, increased spectral efficiency, and
higher reliability.
161
IEEE Spectrum, “Machine Learning Remakes Radio,” May 2020; IEEE Wireless Communications,
Intelligent Radio: When Artificial Intelligence Meets the Radio Network, Feb 2020.
162
Acumos AI. https://www.acumos.org/
163
See section 3.3 of ETSI, Network Transformation; (Orchestration, Network and Service
Management Framework), Oct. 2019.
https://www.etsi.org/images/files/ETSIWhitePapers/ETSI_White_Paper_Network_Transformation_201
9_N32.pdf.

❑ Enhanced positioning accuracy through RF sensing, complementing existing
positioning methods.
❑ Motion and gesture detection by sensing environmental changes to infer type of

motion, enabling use cases such as fall detection and vital sign tracking.
❑ Improved power management by more efficient application of computing and radio

resources based on context.
Users are already using AI on their smartphones with Siri and Google Assistant. AI
functions in the future, as shown in Figure 46, will be distributed among centralized clouds,
edge clouds, and devices. Centralized clouds will be best for AI training and content not
sensitive to delay, whereas edge clouds, with much lower latency, will support real-time
interaction and provide information about the environment. Finally, the device can offer
the greatest responsiveness, as well as enhanced privacy, by acting on local and personal
data.
For vehicle applications, a similar AI architecture will apply, with on-board AI being able
to perform:
❑ Natural language and gesture understanding.
❑ Voice/noise cancellation.
❑ Fingerprint recognition and face detection for security.
❑ Object classification.
❑ Scene understanding.
❑ Sensor processing.
❑ Context aware safety.
The same three-tier AI architecture for computing and artificial intelligence will also apply
to industrial applications and consumer applications such as extended reality.
Figure 46: Intelligence across Centralized Clouds, Edge Clouds, and Devices
Figure 47 shows how an extended reality headset may perform AI functions locally, such
as perception and prediction, but rely on AI in an edge cloud for scene understanding.

Figure 47: AI Application of Extended Reality164
Similarly, Figure 48 shows how some voice processing can execute on the device to act
intuitively and with immediacy while relying on an edge cloud for natural language
understanding.
Figure 48: AI Application of Responsive Voice User Interface165
164
Qualcomm contribution.
165
Qualcomm contribution.

Unlicensed Spectrum Integration
Unlicensed spectrum is becoming ever more important to mobile broadband networks.
Initial use was rudimentary offload onto Wi-Fi networks, but now, Wi-Fi networks are
becoming more tightly integrated into cellular networks.
Unlicensed spectrum adds to capacity in two ways. First, a huge amount of spectrum is
available. Amounts vary by country, but the United Sates has about 100 MHz in 900 MHz
and 2.4 GHz bands, 580 MHz at 5G, 80 to 150 MHz in 3.5 GHz CBRS depending on number
of licensed channels, and now 1.2 GHz at 6 GHz. Nevertheless, because the spectrum is
unlicensed, it must be shared with other potential users, and so the amount of capacity it
offers depends on usage by other entities in the environment.
A significant amount of unlicensed spectrum already exists in mmWave bands, with 7 GHz
already in use in the United States (57 to 64 GHz) and an additional 7 GHz in 5G spectrum
allocations. Second, unlicensed spectrum is mostly used in small coverage areas, resulting
in high-frequency re-use.
The IEEE 802.11 family of technologies has experienced rapid growth, mainly in private
deployments. The latest 802.11 standard, 802.11ax, emphasizes capacity improvements
as well as higher throughputs. In the mmWave frequencies, IEEE has developed 802.11ad,
which operates at 60 GHz, and the standards body is currently working on a successor
technology, 802.11ay.
Integration between mobile broadband and Wi-Fi networks can be either loose or tight.
Loose integration means data traffic routes directly to the internet and minimizes traversal
of the operator network. This is called “local breakout.” Tight integration means data
traffic, or select portions thereof, may traverse the operator core network. An example is
Wi-Fi calling, which uses the IP Multimedia Subsystem.
Although offloading onto Wi-Fi can reduce traffic on the core network, the Wi-Fi network
does not necessarily always have greater spare capacity than the cellular network. The
goal of future integrated cellular/Wi-Fi networks is to intelligently load balance between
the two. Simultaneous cellular/Wi-Fi connections will also become possible. For example,
in Release 13, 3GPP introduced link aggregation of Wi-Fi and LTE through LWA and LWIP.
Another approach for using unlicensed spectrum employs LTE as the radio technology,
initially in a version referred to as LTE-Unlicensed, specified by the LTE-U Forum, which
works with Releases 10-12 of LTE. In Release 13, 3GPP specified LAA, which implements
listen-before-talk capability, a requirement for unlicensed operation in Europe and Japan.
Initially, carrier aggregation combines a licensed carrier with one or more unlicensed
channels. Operating LTE in unlicensed bands could decrease the need for handoffs to Wi-
Fi. Up to 32 unlicensed carriers (of 20 MHz each) can be aggregated to theoretically access
640 MHz of unlicensed spectrum. LAA has also been specified to operate in the 3.5 GHz
CBRS band. Enhanced LAA (eLAA), specified in Release 14, added uplink use of unlicensed
spectrum. Carriers are now deploying LAA on a widespread basis.
A concern with using LTE in unlicensed bands was whether it would be a fair neighbor to
Wi-Fi users. LTE-U based on Releases 10-12 addressed this concern by selecting clear
channels to use and measuring the channel activity of Wi-Fi users, then using an
appropriate duty cycle for fair sharing. License-Assisted Access in Release 13 added listen-
before-talk (LBT) and implemented other regulatory requirements that exist in some
countries. 3GPP conducted a study and concluded that, “A majority of sources providing

evaluation results showed at least one LBT scheme for LAA that does not impact Wi-Fi
more than another Wi-Fi network.”166
MulteFire, specified by the MulteFire Alliance, is an application of LTE in unlicensed bands

that does not require an anchor in licensed spectrum, opening up the possibility of
deployments by non-operator entities, including internet service providers, venue
operators, and enterprises. Under a roaming arrangement with cellular operators, LTE
customers could roam into MulteFire networks. Figure 49 shows the evolution of the
different versions of LTE for unlicensed bands.
Figure 49: Timeline Relationship of LTE-U, LAA, eLAA, and MulteFire
Release 16 specifies support for unlicensed bands in 5G NR for multiple scenarios,

providing operators significant flexibility in how they take advantage of unlicensed
spectrum:
❑ Scenario A: Carrier aggregation between licensed band NR and NR-U. NR-U may
have both downlink and uplink, or downlink only.
❑ Scenario B: Dual connectivity between licensed band LTE and NR-U.
❑ Scenario C: Standalone NR-U.
❑ Scenario D: An NR cell with DL in unlicensed band and UL in licensed band.
❑ Scenario E: Dual connectivity between licensed band NR and NR-U.
The 3GPP study concluded that NR-U and Wi-Fi will be able to coexist in adjacent channels
and that if, “NR-U has similar leakage and selectivity requirements as LAA, the LAA study
166
3GPP, Technical Specification Group Radio Access Network; Study on Licensed-Assisted Access to
Unlicensed Spectrum; (Release 13). 36.889. See section 9, “Conclusions.”

can be used to conclude that NR-U will cause less adjacent channel interference to a Wi-
Fi system compared to another Wi-Fi system.”167
While LTE LAA works with the 5 GHz unlicensed band, NR-U is being designed to work
with both the 5 GHz and 6 GHz unlicensed bands, and in unlicensed mmWave bands in
the future (possibly Release 18).
With LTE, the MulteFire Alliance specified operation of LTE in unlicensed bands without an
anchor in licensed bands, but with 5G, 3GPP is standardizing such operation. The
standalone operation will open new use cases, such as private networks for industrial IoT,
mobile broadband for enterprises, and mobile broadband services offered by entities other
than cellular operators.
An alternative approach for integrating Wi-Fi with LTE is LWA. LTE handles the control
plane, but connections occur over separate LTE base stations and Wi-Fi access points.
LWA benefits operators that wish to emphasize Wi-Fi technology for harnessing capacity
in unlicensed spectrum. LWIP is a variation of LWA that also integrates LTE and Wi-Fi, but
by integrating at a higher level of the protocol stack (IP instead of PDCP), it facilitates use
of existing Wi-Fi equipment and devices, with integration typically occurring at the
eNodeB.
Figure 50 shows how the different technologies exploit licensed and unlicensed spectrum.
167
Ibid.

Figure 50: How Different Technologies Harness Spectrum
Table 11 summarizes the different uses of unlicensed spectrum for public mobile
broadband networks.
Table 11: Approaches for Using Unlicensed Spectrum.
Technology Attributes
Wi-Fi Ever-more-sophisticated means Combining Wi-Fi with cellular

to integrate Wi-Fi in successive increases capacity.
3GPP Releases.
Release 13 RAN Base station can instruct the UE Available in late 2017 or 2018
Controlled LTE WLAN to connect to a WLAN for timeframe.
Interworking offload.
Release 10-12 LTE-U LTE-U Forum-specified Available in 2017. More seamless

Based on LTE-U Forum approach for operating LTE in than Wi-Fi. Cannot be used in
Specifications unlicensed spectrum. some regions (e.g., Europe,
Japan).

Technology Attributes
Release 13 Licensed- 3GPP-specified approach for Available in 2018. Designed to

Assisted Access operating LTE in unlicensed address global regulatory
spectrum. Downlink only. requirements.
Release 14 Enhanced Addition of uplink operation. Available in 2019.

Licensed-Assisted
Access
NR-U Specified in Release 16. Available in 2021-2022 timeframe.
MulteFire Does not require a licensed Potentially creates a neutral-host

anchor. small cell solution.
LWA Aggregation of LTE and Wi-Fi Part of Release 13.

connections at PDCP layer.
LWIP Aggregation of LTE and Wi-Fi Part of Release 13.

connections at IP layer.
Cellular operators are currently emphasizing simple offload to Wi-Fi or LTE-U/LAA.

Aggregation techniques, such as LWA and LWIP, do not currently have market traction.
Refer to the appendix sections “NR-U in Detail” and “Other Unlicensed Spectrum
Integration” for further technical details.
Multiple Cell Types

Operators have many choices for providing coverage. Lower frequencies propagate further
and thus require fewer cells for coverage. The resulting network, however, has lower
capacity than one with more cells, so operators must continually evaluate cell placement
with respect to both coverage and capacity.
Table 12 lists the many types of cells. Note that the distinctions, such as radius, are not
absolute—perhaps one reason the term “small cell” has become popular, as it
encompasses picocells, metrocells, femtocells, and sometimes Wi-Fi.
With “plug-and-play” capability derived from self-configuring and self-organizing features,

small cells will increasingly be deployed in an ad hoc manner, anywhere power and
backhaul are available, yet will operate in tight coordination with the rest of the network.
A proliferation of small cells inside buildings will also provide coverage from inside to
outside, such as in city streets, the reverse of traditional coverage that extends from
outdoor cells to inside.
Table 12: Types of Cells and Typical Characteristics (Not Formally Defined)
Type of Cell Characteristics
Macro cell Wide-area coverage. LTE supports cells up to 100 km in range, but
typical distances are 0.5-5 km radius. Always installed outdoors.
Microcell Covers a smaller area, such as a hotel or mall. Range to 2 km, 5-

10W, and 256-512 users. Usually installed outdoors.

Type of Cell Characteristics
Picocell Indoor or outdoor. Outdoor cells, also called “metrocells.” Typical

range of up to 200 meters outdoors and 10-25 meters indoors, 1-
2W, 64-128 users. Deployed by operators primarily to expand
capacity.
Consumer Femtocell Indoors. Range to 10 meters, less than 50 mW, and 4-6 users.
Capacity and coverage benefit. Usually deployed by end users using
their own backhaul.
Enterprise Femtocell Indoors. Range to 25 meters, 100-250 mW, 16-32 users. Capacity
and coverage benefit. Deployed by operators.
Distributed antenna system Expands indoor or outdoor coverage. Same hardware can support
multiple operators (neutral host) since antenna can support broad
frequency range and multiple technologies. Indoor deployments are
typically in larger spaces such as airports. Has also been deployed
outdoors for coverage and capacity expansion.
Remote radio head (RRH) Uses baseband at existing macro site or centralized baseband
equipment. If centralized, the system is called “cloud RAN.” Requires
fiber connection.
Wi-Fi Primarily provides capacity expansion. Neutral-host capability allows

multiple operators to share infrastructure.
Historically, increasing the number of cell sites has been the primary method for increasing
capacity, providing gains far greater than what can be achieved by improvements in
spectral efficiency alone.
Central to small-cell support is the heterogeneous network architecture, with multiple

types of cells serving a coverage area, varying in frequencies used, radius, and even radio
technology used.
HetNets offer significant increases in capacity and improvements, including:
1. Smaller cells, such as open femtocells (home-area coverage) and picocells (city-
block-area coverage), inherently increase capacity because each cell serves a
smaller number of users.
2. Strategic placement of picocells within the macro cell provides the means to absorb
traffic in areas where there are higher concentrations of users. Locations can
include businesses, airports, stadiums, convention centers, hotels, hospitals,
shopping malls, high-rise residential complexes, and college campuses.
3. Smaller cells can also improve signal quality in areas where the signal from the
macro cell is weak.
Essential elements for practical HetNet deployment are self-optimization and self-
configuration, especially as the industry transitions from tens of thousands of cells to
hundreds of thousands, and eventually to millions. The appendix covers technical aspects
of HetNets in the sections “Heterogeneous Networks and Small Cells” and “Self-Organizing
Networks.”
While promising in the long term, one immediate challenge in deploying a large number
of small cells is backhaul, since access to fiber is not necessarily available and line-of-sight

microwave links are not always feasible. The planned integrated access and backhaul
capability of 5G, however, will help address this problem. Site acquisition and the need
for multiple operators to deploy their own cells in a coverage area are additional
challenges.168 Figure 51 depicts the challenges.
Figure 51: Small-Cell Challenges
Despite these challenges and the relatively modest number of small cells deployed today,
small-cell deployments are accelerating. Rysavy Research projects one million small cells
will be deployed in the United States by 2027.169
In March of 2018, the FCC issued rules that streamline the environmental and historical
review process for siting. The FCC then issued a report and order in September 2018,
titled “Accelerating Wireline Broadband Deployment by Removing Barriers to
168
For further discussion of this topic, refer to 5G Americas and Small Cell Forum, Small cell siting
challenges,” Feb. 2017.
Rysavy Research and Datacomm Research, Broadband Disruption: How 5G Will Reshape the
169
Competitive Landscape, 2018. https://datacommresearch.com/reports-broadband/.

Infrastructure Investment,” that addressed shot clocks (processing time) for site
applications and fee structures.
5G small-cell considerations include:
❑ Due to limited propagation at mmWave frequencies, 5G small-cell deployments will

be dense and involve large numbers of sites. Inter-site distances (ISDs) will range
from 100 to 300 meters in many deployments, with 200 meters a typical value. 170
❑ The high capacity of mmWave small cells will require multi-Gbps backhaul
connections using an expected combination of fiber, mmWave radio in point-to-
point connections, and 5G self-backhaul.
❑ The expected use of cloud RAN and centralized base station facilities will simplify
equipment at the site, facilitating dense deployments.
❑ Dense deployments will motivate neutral-host (multi-tenant) approaches, but

these are outside the scope of specification efforts.
❑ The integrated access and backhaul capability being specified for Release 16 will
reduce the number of sites needing fiber. (See “5G Architecture” above and
“Integrated Access and Backhaul” in the appendix.)
❑ Operators could partner with cable operators to leverage existing hybrid fiber-
coaxial networks for backhaul and power.
The effective range of a mmWave small cell depends on multiple factors, including whether
line-of-sight is available, extent of foliage, pole height, whether user equipment is indoors
or outdoors, and the types of building materials the signal must pass through to reach
indoor equipment.
Despite the challenges, small cells will ultimately contribute greatly to increased network
capacity. Table 13 lists possible configurations; note that many of these approaches can
be combined, such as using picocells and Wi-Fi offload.
Table 13: Small-Cell Approaches
Small-Cell Approach Characteristics
Macro plus small cells in Significant standards support. Femtocells or picocells can use the
select areas. same radio carriers as macro (less total spectrum needed) or
different radio carriers (greater total capacity).
Macro in licensed band plus Promising approach for augmenting LTE capacity in scenarios where
LTE/5G operation in an operator is deploying LTE or 5G small cells.171 See discussion
unlicensed bands. below in the section on unlicensed spectrum integration.
Macro (or small cell) cellular Extensively used today with increased use anticipated. Particularly
in licensed band plus Wi-Fi. attractive for expanding capacity in coverage areas where Wi-Fi
infrastructure exists but small cells with LTE do not.
170
5G Americas member contributions.
171
See Rysavy Research, Accelerating Innovation in Unlicensed Spectrum, Fierce Wireless, Nov. 2016.
https://rysavyresearch.files.wordpress.com/2017/08/2016-11-innovation-unlicensed-spectrum.pdf.

Small-Cell Approach Characteristics
LTE Wi-Fi Aggregation (being specified in Release 13) is another

approach, as are MP-TCP and MP-QUIC.
Wi-Fi only. Low-cost approach for high-capacity mobile broadband coverage, but
impossible to provide large-area continuous coverage without
cellular component.
Neutral-Host Small Cells

Multi-operator and neutral-host solutions could accelerate deployment of small cells.172
Currently, nearly all small-cell deployments are operator-specific, but in the future,
deployments supporting multiple operators could reduce the cost per operator to provide
coverage.
A candidate band for neutral-host small cells is 3.5 GHz, using LTE TDD and MulteFire as
potential technologies. Wi-Fi technology also addresses neutral-host configurations at the
access level, but it has roaming and authentication challenges. HotSpot 2.0 (covered in
the appendix) addresses roaming and authentication.
Massive MIMO
Smart antennas, defined with progressively greater capabilities in successive 3GPP
releases, provide significant gains in throughput and capacity. By employing multiple
antennas at the base station and the subscriber unit, the technology either exploits signals
traveling through multiple paths in the environment or does beam steering, in which
multiple antennas coordinate their transmissions to focus radio energy in a particular
direction.
LTE
Initial low-band LTE deployments used 2X2 MIMO on the downlink (two base station
transmit antennas, two mobiles receive antennas) and 1X2 on the uplink (one mobile
transmit antenna, two base station receive antennas). In the higher bands, 2X2 downlink
MIMO has been deployed, but it is more common to employ four antennas for uplink
reception in a 1X4 configuration. LTE deployments are now using 4X2 MIMO and 4X4
MIMO on the downlink (four base station transmit antennas). LTE specifications
encompass higher-order configurations, such as 4X4 MIMO, 8X2 MIMO, and Multi-User
MIMO (MU-MIMO) on the downlink and 1X4 on the uplink. Practical considerations, such
as antenna sizes that are proportional to wavelength, dictate MIMO options for different
bands.
Operators are now also deploying massive MIMO systems, which employ a far larger
number of antenna elements at the base station—64, 128, and eventually even more.
3GPP has developed specifications for massive MIMO for 4G systems in what it calls full-
dimension MIMO (FD-MIMO). Release 14 specifies configurations with up to thirty-two
antennas at the base station.
172
5G Americas and Small Cell Forum, Multi-operator and neutral host small cells; Drivers,
architectures, planning and regulation, Dec. 2016. https://www.5gamericas.org/multi-operator-and-
neutral-host-small-cells-drivers-architectures-planning-and-regulation/.

Massive MIMO is practical even in cellular frequencies. For example, at 2.5 GHz, an 8X8
array using half wavelength spacing would produce a form factor of 50 cm X 50 cm. Sprint,
for example, is deploying sixty-four Transmit and sixty-four Receive radios at 2.5 GHz.173
Applications of such arrays include beamforming along a horizontal direction as well as

beamforming in a vertical direction, such as to serve different levels of high-rise buildings.
See the appendix sections “LTE Smart Antennas” and “LTE-Advanced Antenna
Technologies” for further details about use of Massive MIMO in LTE.
5G
Advanced antenna systems are essential for realizing the potential of 5G NR. For bands
below 6 GHz, massive MIMO focuses on capacity enhancement, whereas for higher bands
such as mmWave, massive MIMO focuses on coverage enhancement. Massive MIMO
enables beamforming, improving propagation, and in combination with MU-MIMO, also
improves capacity.174
For 5G initial deployments, base stations typically use 128 to 256 antenna elements below
6 GHz and 256 to 512, or more, antenna elements at mmWave frequencies. Mobile devices
have between four and thirty-two elements. This configuration supports three-dimensional
beamforming.175
Typical configurations for active antennas in mid-band frequencies are 16T16R, 32T32R,
and 64T64R. A 64T64R configuration allows up to sixteen layers of communications.
For a detailed discussion, refer to the 2019 5G Americas white paper, Advanced Antennas
Systems for 5G.176
Multicast and Broadcast

Another important new service is video streaming via multicast or broadcast functions.
3GPP has defined multicast/broadcast capabilities for both HSPA and LTE. Mobile TV
services have experienced little business success so far, but broadcasting uses the radio
resource much more efficiently than having separate point-to-point streams for each user.
For example, users at a sporting event might enjoy watching replays on their
smartphones. The technology supports these applications; it is a matter of operators and
content providers finding appealing applications.
3GPP Release 14 provides mixed-mode broadcast that employs dynamic switching

between unicast and broadcast, allowing efficient network delivery of identical content to
multiple subscribers.
173
See, for example, Sprint, “Sprint Unveils Six 5G-Ready Cities; Significant Milestone Toward
Launching First 5G Mobile Network in the U.S.,” Feb. 27, 2018, available
http://newsroom.sprint.com/sprint-unveils-5g-ready-massive-mimo-markets.htm.
174
Ericsson, “Advanced antenna systems for 5G networks.” https://www.ericsson.com/en/reports-
and-papers/white-papers/advanced-antenna-systems-for-5g-networks.
175
Qualcomm webinar, “Breaking the wireless barriers to mobilize 5G NR mmWave,” Jan. 2019.
176
https://www.5gamericas.org/wp-content/uploads/2019/08/5G-Americas_Advanced-Antenna-
Systems-for-5G-White-Paper.pdf.

The appendix covers technical aspects in more detail.
Information-Centric Networking
For many usage scenarios, wireless networks provide broadband access to the internet, a
network that itself is evolving. The internet is based on a node-centric design developed
forty years ago. The internet’s point-to-point method of communication has functioned
well for a vast array of applications but is not optimal for the way content is developed
and distributed today. Industry and academic organizations are researching a concept
called “Information-Centric Networking.” ICN seeks a new approach of in-network caching
that distributes content on a large scale, cost-efficiently and securely.
Most internet content uses Uniform Resource Identifiers (URIs) to locate objects and
define specific location-dependent IP addresses. This approach, however, causes problems
when content moves, sites change domains, or content is replicated, and each copy
appears as a different object. Developments such as peer-to-peer overlays and content
distribution networks (such as Akamai) that distribute cached copies of content are a first
step toward an information-centric communication model.
ICN is built from the ground up on the assumption of mobility, so it eliminates the mobility
overlays on which current mobile broadband networks depend. The approach will be able
to place information anywhere in the network with immediate and easy retrieval.
Key principles of ICN include:
❑ The architecture inherently supports user mobility.
❑ Network operations are name-based instead of address- or node-based.
❑ The network itself stores, processes, and forwards information.
❑ Intrinsic security guarantees the integrity of every data object.
The goal of ICN is to simplify the storage and distribution of gigantic amounts of content
while reducing the amount of traffic and latency users face when accessing the content.
The internet cannot just be replaced, however, so in initial stages, ICN would operate as
an overlay, and over time, assume an increasing percentage of the functions within the
internet. ICN would not discard IP; rather, it seeks to generalize the routing concept to
enrich networking with new capabilities.
Some technology aspects of ICN include:
❑ Information retrieval from multiple sources without needing to know the location
of the information.
❑ Multipath communications that improves user performance and traffic load

balancing.
❑ Subsequent requests for the same data will be served locally without needing to
fetch it from original repository.
❑ Elimination of the name-to-location indirection associated with Domain Name

Service (DNS).
Because mobility is such a central aspect of ICN, mobile network operators are in a unique
position to participate in ICN-related research and development, and to do so as part of

5G development. ICN has not progressed to a level at which 3GPP specification work could
include it, so instead promoters are ensuring that 5G specification work does not preclude
it. With this approach, operators in the 2020s will have the option of overlaying ICN
capability on their 5G networks. ICN could even be implemented as a 5G network slice for
mobile and end-systems capable of ICN.
4G LTE Advances
As competitive pressures in the mobile broadband market intensified and demand for capacity
persistently grew, LTE became the favored 4G solution because of its high data throughputs,
low-latency, and high spectral efficiency. Specifically:
❑ Wider Radio Channels. LTE can be deployed in wide radio channels (for example, 10
MHz or 20 MHz) with carrier aggregation now up to 640 MHz.
❑ Easiest MIMO Deployment. By using new radios and antennas, LTE facilitates MIMO
Deployment, in contrast to the logistical challenges of adding antennas for MIMO to
existing legacy technologies. Furthermore, MIMO gains are maximized because all user
equipment supports it from the beginning.
❑ Best Latency Performance. For some applications, low latency (packet traversal
delay) is as important as high throughput. With a low transmission time interval (TTI)
of one millisecond (msec) and a flat architecture (fewer nodes in the core network),
LTE has the lowest latency of any cellular technology.
LTE is available in both Frequency Division Duplex (FDD) and Time Division Duplex (TDD)
modes. Many deployments are based on FDD in paired spectrum. The TDD mode, however,
is important for deployments in which paired spectrum is unavailable. Instances of TDD
deployment include China, Europe at 2.6 GHz, the United States at 2.5 GHz, and the 3.5 GHz
band.
LTE was first specified in 3GPP Release 8. Enhancements in the 2013 to 2016 period were
defined in 3GPP Releases 10, 11, and 12, and are commonly referred to as LTE-Advanced.177
Subsequent releases, including Releases 13-15, specify LTE-Advanced Pro.
LTE-Advanced and LTE-Advanced Pro Features

Keeping in mind that different operators have varying priorities, the following list roughly
ranks the most important features of LTE-Advanced and LTE-Advanced Pro for the 2020
to 2022 timeframe:
❑ Carrier Aggregation. With this capability already in use, operators can aggregate
radio carriers in the same band or across disparate bands to improve throughputs
(under light network load), capacity, and efficiency. Carrier aggregation can also
combine FDD and TDD and is the basis of LTE-U and LTE-LAA. As examples, in
2015, AT&T aggregated 700 MHz with AWS and with PCS. T-Mobile aggregated
177
From a strict standards-development point of view, the term “LTE-Advanced” refers to the
following features: carrier aggregation, 8X8 downlink MIMO, and 4XN uplink MIMO with N the number
of receive antennas in the base station.

700 MHz with AWS and AWS with PCS.178 Operators are now deploying three-
carrier aggregation and eventually will aggregate four carriers.179 Release 13
introduced support for carrier aggregation of up to thirty-two carriers, addressing
primarily the opportunity to aggregate multiple unlicensed channels. Release 14
specifies interband carrier aggregation for up to five downlink carriers and two
uplink carriers.
❑ VoLTE. Initially launched in 2015 and with widespread availability by 2017, VoLTE
enables operators to roll out packetized voice for LTE networks, resulting in greater
voice capacity and higher voice quality.
❑ Tighter Integration of LTE with Unlicensed Bands. LTE-U became available

for testing in 2016, and 3GPP completed specifications for LAA in Release 13, with
deployment beginning in 2018. MulteFire, a non-3GPP technology based on LTE,
operates without requiring a licensed carrier anchor. LTE/Wi-Fi Aggregation (LWA)
and LTE WLAN Radio Level Integration with IPsec Tunnel (LWIP) are other options
for operators with large Wi-Fi deployments.
❑ Enhanced Support for IoT. Release 13 brought Category M1, a low-cost device
option, along with Narrowband-IoT (NB-IoT), a version of the LTE radio interface
specifically for IoT devices, called Category NB1.
❑ Higher-Order and Full-Dimension MIMO. Deployments in 2017 began to use

up to 4X4 MIMO, which was deployed throughout many networks by 2019. Release
14 specifies a capability called Full-Dimension MIMO, which supports configurations
with as many as thirty-two antennas at the base station. See the section “Smart
Antennas and MIMO” and appendix section “LTE Smart Antennas” for further detail.
❑ Massive MIMO. Operators are selectively deploying MIMO antenna configurations

with up to 128 antenna elements.180
❑ Virtualization. Although not part of 3GPP specifications, some operators have

deployed network-function virtualization and software-defined networking
approaches to reduce costs and facilitate deployment of new services.
❑ High-Accuracy Positioning Enhancement. Release 15 provided means for high-

accuracy location data with sub-meter accuracy, even approaching one-centimeter
accuracy. The method uses Global Navigation Satellite System (GNSS) stations
placed in known locations, forming a network of reference stations that provide
correction data to assist in accurate estimation of location. The resulting accuracy
supports use cases within industry and agriculture.
178
AT&T band combinations are 3GPP Band 13 + Band 4, Band 17 + Band 4, and Band 17 + Band 2.
T-Mobile band combinations are Band 12 + Band 4, Band 12 + Band 2, and Band 4 + Band 2.
179
For carrier aggregation to operate, both the network and the device have to support the particular
band combination. Legacy devices typically do not support new network aggregation capabilities.
180
See for example, Sprint, “Sprint Unveils Six 5G-Ready Cities; Significant Milestone Toward
Launching First 5G Mobile Network in the U.S.,” Feb. 27, 2018, available
http://newsroom.sprint.com/sprint-unveils-5g-ready-massive-mimo-markets.htm. Viewed May 14,
2018.

❑ Dual Connectivity. Release 12 introduced the capability to combine carriers from
different sectors and/or base stations (i.e. evolved Node Bs [eNBs]) through a
feature called Dual Connectivity. Two architectures were defined: one that supports
Packet Data Convergence Protocol (PDCP) aggregation between the different eNBs
and one that supports separate S1 connections on the user-plane from the different
eNBs to the Evolved Packet Core (EPC).
❑ 256 QAM Downlink and 64 QAM Uplink. Defined in Release 12 and already
deployed in some networks, higher-order modulation increases user throughput
rates in favorable radio conditions.
❑ 1 Gbps Capability. Using a combination of 256 QAM modulation, 4X4 MIMO, and
aggregation of three carriers (including two unlicensed carriers via LAA), operator
networks can now reach 1 Gbps peak speeds. See below for more information.
❑ V2X Communications. Release 14 specifies vehicle-to-vehicle and vehicle-to-

infrastructure communications. See the section “Cellular V2X Communications” for
more information.
❑ Coordinated Multi Point. CoMP (and enhanced CoMP [eCoMP]) is a process by

which multiple base stations or cell sectors process a User Equipment (UE) signal
simultaneously, or coordinate the transmissions to a UE, improving cell-edge
performance and network efficiency. Initial usage will be on the uplink because no
user device changes are required. Some networks had implemented this feature in
2017.
❑ HetNet Support. HetNets integrate macro cells and small cells. A key feature is
enhanced inter-cell interference coordination (eICIC), which improves the ability
of a macro and a small cell to use the same spectrum. This approach is valuable
when the operator cannot dedicate spectrum to small cells.
❑ Ultra-Reliable and Low-Latency Communications. Being specified in Release

15, URLLC in LTE shortened radio latency to a one msec range using a combination
of shorter transmission time intervals and faster hybrid automatic repeat request
(HARQ) error processing. See the appendix section “LTE Ultra-Reliable and Low-
Latency Communications” for further details.
❑ Self-Organizing Networks. With SON, networks can automatically configure and

optimize themselves, a capability that will be particularly important as small cells
begin to proliferate. Vendor-specific methods are common for 3G networks, and
trials are now occurring for 4G LTE standards-based approaches.
❑ Control User Plane Separation (CUPS). Separating control and user planes
allows operators to scale both plane types independently and more cost-
effectively.181
Other key features include enhanced Multimedia Broadcast/Multicast Services (eMBMS),

User-Plane Congestion Management (UPCON), and device-to-device communication
(targeted initially at public-safety applications).
181
Cisco, “Control Plane and User Plane Separation (CUPS) Data Sheet,” Oct. 25, 2018.
https://www.cisco.com/c/en/us/solutions/collateral/service-provider/ultra-services-platform/data-
sheet-c78-741416.html.

The appendix explains these features and quantifies performance gains, and Figure 52
illustrates the transition from LTE to LTE-Advanced and LTE-Advanced Pro, which includes
these features.
Figure 52: LTE to LTE-Advanced Pro Migration182
LTE 1 Gbps Capability

A significant enhancement to LTE has been its recent ability to achieve greater than 1
Gbps peak speeds, providing multiple benefits:
❑ A better user experience.
❑ Expansion of capacity because Gbps capability often employs unlicensed spectrum.
❑ A more consistent user experience between 4G and 5G.
Table 14 shows the methods for operators to achieve 1 Gbps capability, including MIMO,
256 QAM, and carrier aggregation.
182
5G Americas/Rysavy Research

Table 14: Elements of 1 Gbps Downlink Capability
Capability Gain Resulting Peak

Throughput (Mbps)
LTE in 20 MHz with 64 QAM Baseline 75
2X2 MIMO 100% 150
256 QAM 25% 200
4X4 MIMO 100% 400
3 Component Carrier Aggregation 250% 1000
(For example, 10 MHz licensed carrier

+ 2 of 20 MHz unlicensed carriers)
Additional Carrier Aggregation Additional gains > 1000
LAA facilitates accessing additional bands in unlicensed spectrum, such as combining two
unlicensed 20 MHz channels with one licensed 10 MHz downlink channel, an amount of
licensed spectrum available to most operators.
3GPP Releases
3GPP standards development falls into three principal areas: radio interfaces, core networks,
and services. Progress in the 3GPP family of technologies has occurred in multiple phases,
first with GSM, then GPRS, EDGE, UMTS, HSPA, HSPA+, LTE, LTE-Advanced, LTE-Advanced
Pro, and now 5G. Underlying radio approaches have evolved from Time Division Multiple
Access (TDMA) to CDMA to Orthogonal Frequency Division Multiple Access (OFDMA), which is
the basis of LTE and 5G. 3GPP is also evaluating approaches such as non-orthogonal multiple
access (NOMA) for 5G.
Table 15 summarizes the key 3GPP technologies and their characteristics.
Table 15: Characteristics of 3GPP Technologies
Technology Type Characteristics Typical Typical

Name Downlink Uplink Speed
Speed
Data service for UMTS networks.

1 Mbps to 500 Kbps
HSPA183 WCDMA An enhancement to original
4 Mbps to 2 Mbps
UMTS data service.
183
HSPA and HSPA+ throughput rates are for a 5+5 MHz deployment.

Technology Type Characteristics Typical Typical
Name Downlink Uplink Speed
Speed
1.9 Mbps to
8.8 Mbps
Evolution of HSPA in various in 5+5 MHz184 1 Mbps to
stages to increase throughput 4 Mbps
HSPA+ WCDMA 3.8 Mbps to
and capacity and to lower in 5+5 MHz or
latency. 17.6 Mbps with in 10+5 MHz
dual carrier in
10+5 MHz
New radio interface that can use

wide radio channels and deliver 6.5 to 26.3 6.0 to 13.0
LTE OFDMA extremely high throughput rates. Mbps in Mbps in
All communications handled in IP 10+10 MHz185 10+10 MHz
domain.
Significant gains
through carrier
Advanced version of LTE aggregation,
LTE-
OFDMA designed to meet IMT-Advanced 4X2 and 4X4
Advanced
requirements. MIMO, and 256
QAM
modulation.
Scalable radio interface designed 1 Gbps with 400 500 Mbps with
for 5G able to support existing MHz radio 400 MHz radio
5G OFDMA
cellular bands as well as channel in channel in
mmWave bands. mmWave band. mmWave band.
User-achievable rates and additional details on typical rates are covered in the appendix
section “Data Throughput.”
3GPP develops specifications in releases, with each release addressing multiple technologies.
For example, Release 8 not only defined dual-carrier operation for HSPA, but also introduced
LTE. Similarly, Release 15 both augmented LTE capability and introduced 5G. Each release
adds new features and improves performance of existing functionality in different ways. Table
16 summarizes some key features of different 3GPP releases.
184
“5+5 MHz” means 5 MHz used for the downlink and 5 MHz used for the uplink.
185
5G Americas member company analysis for downlink and uplink. Assumes single user with 50%
load in other sectors. AT&T and Verizon are quoting typical user rates of 5-12 Mbps on the downlink
and 2-5 Mbps on the uplink for their networks. See additional LTE throughput information in the
section below, “LTE Throughput.”

Table 16: Key Features in 3GPP Releases186
Release Year Key Features
99 1999 First deployable version of UMTS.
5 2002 High Speed Downlink Packet Access (HSDPA) for UMTS.
6 2005 High Speed Uplink Packet Access (HSUPA) for UMTS.
7 2008 HSPA+ with higher-order modulation and MIMO.
8 2009 Long Term Evolution. Dual-carrier HSDPA.
10 2011 LTE-Advanced, including carrier aggregation and eICIC.
11 2013 Coordinated Multi Point (CoMP).
12 2015 Public safety support. Device-to-device communications. Dual

Connectivity. 256 QAM on the downlink.
13 2016 LTE-Advanced Pro features. LTE operation in unlicensed bands using

LAA. Full-dimension MIMO. LTE-WLAN Aggregation. Narrowband
Internet of Things.
14 2017 LTE-Advanced Pro additional features, such as eLAA (adding uplink to

LAA) and cellular V2X communications. Study item for 5G “New Radio.”
15 2018 Additional LTE-Advanced Pro features, such as ultra-reliable low-latency

communications and high-accuracy positioning. Phase 1 of 5G.
Emphasizes enhanced mobile broadband use case and operation to 52.6
GHz. Includes Massive MIMO, beamforming, and 4G-5G interworking,
including ability for LTE connectivity to a 5G CN.
16 2020 Phase 2 of 5G. Full compliance with ITU IMT-2020 requirements. Adds
URLLC, IAB, unlicensed operation, NR-based C-V2X, positioning, dual-
connectivity, carrier aggregation, and multiple other enhancements.
17 2021 NR-Light, NR operation 52.6-71 GHz, multiple SIMs, NR multicast and

broadcast, non-terrestrial networks, and multiple enhancements.
For a more detailed listing of features in each 3GPP release, refer to the sections “5G Phase
One (Release 15)” and “5G Phase Two (Release 16)” above, as well as the appendix section
“3GPP Releases.”
Fixed Wireless Access

As wireless capability has improved, many applications that previously used wired connections
have shifted to wireless connections. Examples include wireline telephony moving to mobile
telephony, Ethernet to Wi-Fi, and now Digital Subscriber Line (DSL) and coax cable to fixed
wireless and satellite systems. Particularly in rural areas, wireless technologies can be built
at a fraction of the cost of wired networks, extending broadband to more people. A board
186
After Release 99, release versions went to a numerical designation beginning with Release 4,
instead of designation by year.

member of the Wireless Internet Service Provider Association stated that wireless costs are
one-fifth to one-tenth that of cable or fiber.187
Figure 53 shows the characteristics of three forms of wireless connections: mobile wireless,
fixed wireless, and satellite. Fixed wireless connections have more stable connections and
predictable load than mobile wireless connections, so broadband speeds vary less.
Figure 53: Types of Connections
Broadband networks rely on a fiber core with various access technologies, such as fiber to the
premises, coaxial cable, digital subscriber line (DSL), or wireless connections. LTE provides a
broadband experience, but capacity limitations prevent it from being the only broadband
connection for most users. As a result, a majority of consumers in developed countries have
both mobile broadband and fixed broadband accounts.
Multiple developments are transforming the current situation:
187
BroadbandBreakfast.com, “Wireless Internet Service Providers Pitch Fixed Wireless Technology in
Forthcoming Infrastructure Bill,” Oct. 2017. http://broadbandbreakfast.com/2017/10/wireless-
internet-service-providers-pitch-fixed-wireless-technology-in-forthcoming-infrastructure-bill/.

❑ Fiber Densification. Multiple companies are investing to extend the reach of fiber,
decreasing the distance from the fiber network to the end node.
❑ 5G Standardization and Deployment. As 5G mmWave technology, including

massive MIMO and beamforming, becomes commoditized, it will increasingly be a
viable alternative to fixed-access technologies such as coaxial, DSL, and even fiber
connections.
Consequently, the companies that provide broadband service may change, and eventually,
fixed and mobile broadband services may converge. For a more detailed discussion of trends
in broadband, including the disruptive role of mmWave, refer to the 2018 Datacomm Research
and Rysavy Research report, Broadband Disruption: How 5G Will Reshape the Competitive
Landscape.188
As shown in Figure 54, the emerging wireless network is one with denser fiber and competing
access technologies in which wireless connectivity plays a larger role.
Figure 54: Fiber Densification with Multiple Access Technologies, Including

mmWave
Rysavy Research analysis shows that wireless networks with access to 100 MHz or more
spectrum can compete with or even exceed the capacity of Hybrid Fiber Coaxial (HFC)
networks, although HFC networks can also densify to increase capacity. Densifying either a
mmWave network or HFC network means moving fiber closer to homes. With access to
comparable amounts of spectrum and similar spectral efficiencies, mmWave networks
188
Details at https://datacommresearch.com/reports-broadband/.

(supplemented with IAB) and HFC networks will achieve similar capacity relative to the
distance of fiber from the endpoint.
LTE, and especially 5G, will also play an important role in rural broadband, with a variety of
spectrum bands coming into service. For many rural scenarios, lower bands with higher
coverage will play a key role, particularly 5G using bands below 6 GHz. Cellular operators,
whose licenses for spectrum are driven by urban capacity demands, may have lightly used
spectrum assets in less dense areas that they could use for fixed wireless service. Unlicensed
5 GHz bands will also continue to play a role. CBRS, which spans from 3.55 to 3.70 GHz, could
be an important solution for rural broadband; so will the forthcoming 280 MHz of C-Band
spectrum, as discussed below in the section “Spectrum Developments.”
For fixed wireless access, customer premise equipment will vary depending on radio band and
signal quality, but it will consist of one of the following: an indoor device, an indoor window-
mounted device, an outdoor wall-mounted device installed either by the user or a technician,
or an outdoor roof-mounted device installed by a technician.189
VoLTE, 5G Voice, RCS, WebRTC, and Wi-Fi Calling

Voice has evolved from a separate circuit-switched service in 2G and 3G networks to a packet-
switched service in 4G LTE networks that can integrate with other services and applications,
such as messaging and video calling. Elements that make these capabilities possible include
the quality-of-service mechanisms in LTE, the IMS platform discussed above, implementation
of Rich Communications Suite, compliance with GSMA IR.92 guidelines, and optional support
for WebRTC.
Voice Support and VoLTE

While 2G and 3G technologies were deployed from the beginning with both voice and data
capabilities, LTE networks can be deployed with or without voice support. Moreover, there
are two methods available: circuit-switched fallback (CSFB) to 2G/3G and VoIP. Most
operators deployed LTE using CSFB initially but have since migrated to VoIP methods with
VoLTE, which uses IMS. Initial VoLTE deployments occurred in 2012.
For the time being, 3GPP operators with UMTS/HSPA networks will continue to use circuit-
switched voice for their 3G connections.
Using VoLTE, operators can offer high-definition (HD) voice using the new Adaptive Multi-
Rate Wideband (AMR-WB) voice codec. HD voice not only improves voice clarity and
intelligibility, it suppresses background noise. AMR-WB extends audio bandwidth to 50-
7000 Hz compared with the narrowband codec that provides audio bandwidth of 80-3700
Hz. HD voice will initially function only between callers on the same network. 3GPP has
also developed a new voice codec, called “Enhanced Voice Services” (EVS), which will be
the successor to AMR and AMR-WB codecs.
Other advantages of LTE’s packetized voice include being able to combine it with other
services, such as video calling and presence, half the call set-up time of a 3G connection,
and high voice spectral efficiency. With VoLTE’s HD voice quality, lower delay, and higher
189
For example, see Venture Beat, “Verizon’s new 5G home router has Wi-Fi 6, Alexa, and self-setup
option,” Oct. 21, 2019. https://venturebeat.com/2019/10/21/verizons-new-5g-home-router-has-wi-fi-
6-alexa-and-self-setup-option/.

capacity, operators can compete against OTT VoIP providers. Due to traffic prioritization,
VoLTE voice quality remains high even under heavy loads that cause OTT-voice service to
deteriorate.
Applications based on WebRTC will also increasingly carry voice sessions. See the
appendix section “VoLTE and RCS” for more details on LTE voice support.
5G Voice Support
5G NR can provide voice service via IMS, the infrastructure that today supports VoLTE, as
explained in the appendix section “IP Multimedia Subsystem.”190 In early deployments,
5G phones will have simultaneous 4G and 5G connections (using dual connectivity), and
voice calls will be handled by the LTE connection.
Rich Communications Suite

An initiative called “Rich Communications Suite” (RCS), supported by many operators and
vendors, builds on IMS technology to provide a consistent feature set as well as
implementation guidelines, use cases, and reference implementations. RCS uses existing
standards and specifications from 3GPP, Open Mobile Alliance (OMA), and GSMA, and
enables interoperability of supported features across operators that support the suite. RCS
supports both circuit-switched and packet-switched voice and can interoperate with LTE
packet voice.
Core features include:

❑ A user capability exchange or service discovery with which users can know the
capabilities of other users.
❑ Enhanced (IP-based) messaging (supporting text, IM, and multimedia) with chat
and messaging history.
❑ Enriched calls that include multimedia content (such as photo or video sharing)
during voice calls. This could become the primary way operators offer video calling.
The primary drivers for RCS adoption are the ability to deploy VoLTE in a well-defined
manner and to support messaging in the IP domain. RCS addresses the market trend of
users moving away from traditional text-based messaging and provides a platform for
operator-based services that compete with OTT messaging applications. Figure 55 shows
the evolution of RCS capability, including the addition of such features as messaging
across multiple devices, video calling, video sharing, and synchronized contact information
across multiple devices.
190
For further information, see Ericsson, “Mobile network ready for 5G voice.”
https://www.ericsson.com/en/digital-services/voice-services/5g-voice.

Figure 55: Evolution of RCS Capability.191
WebRTC
WebRTC is an open project supported by Google, Mozilla, and Opera within the Internet
Engineering Taskforce (IETF) that enables real-time communications in Web browsers via
JavaScript APIs. 3GPP Release 12 specifications define how WebRTC clients can access
IMS services, including packet voice and video communication. WebRTC operating over
IMS gains the additional benefit of seamless transition across transport networks, for
example, LTE to Wi-Fi.
Operators can integrate WebRTC with RTC, facilitating development of vertical applications
such as telemedicine and customer service. WebRTC and RCS are more complementary
than competitive; both, through application interfaces, can provide access to underlying
network functions.
Wi-Fi Calling
Another advantage of the VoLTE/IMS/RCS architecture is that it is agnostic to the user
connection, meaning voice and video service can extend to Wi-Fi connections as easily as
LTE connections. Wi-Fi calling can be advantageous in coverage areas where the Wi-Fi
signal has better quality than an LTE signal. For video calling, use of Wi-Fi will also reduce
data consumption over the cellular connection. By implementing a standards-based
approach, as opposed to OTT-voice approaches, called parties see the same phone number
regardless of network and can reach the subscriber using that phone number.
191
4G Americas, VoLTE and RCS Technology - Evolution and Ecosystem, Nov. 2014.

Previous technical approaches, such as Generic Access Network (GAN, initially called
Unlicensed Mobile Access [UMA]), did not include as robust a handover mechanism as
VoLTE/IMS provides.
For the best quality voice in a Wi-Fi network, the device and Wi-Fi network should
implement Wi-Fi Multimedia (WMM), which gives voice packets higher priority than other
data traffic. WMM is especially necessary in congested networks. In addition, the Access
Network Discovery and Selection Function (ANDSF) and cellular-WLAN enhancement
features in 3GPP Release 12 have policies for enabling voice handover between LTE and
Wi-Fi.
Roaming with Wi-Fi calling must address whether the visited network’s IMS or the home
network’s IMS infrastructure handles the Wi-Fi call.
Public Safety
Historically, public safety has used land mobile radio (LMR) technologies, such as Terrestrial
Trunked Radio (TETRA) in Europe and Project 25 (P25) in the U.S., for mission-critical voice
service.192 In the last few years, public safety in the U.S. made a significant shift to LTE for
data and voice services. Public safety has relied on cellular voice services from commercial
cellular networks for many years, including push-to-talk, which is now available in mission-
critical form using LTE.
Public safety also leverages apps for daily first responder use on existing commercial networks
and can now use them on reliable, prioritized, and preemptable LTE-based public-safety
wireless broadband networks.
In the U.S., the government made 20 MHz of spectrum available at 700 MHz in Band 14 and
created the First Responder Network Authority (FirstNet Authority,
https://www.firstnet.gov/). This independent authority has a singular mission: to enter into
a public-private partnership and ensure the development, build, operation, and upgrade of
the nationwide public-safety broadband network, now known as FirstNet. FirstNet equipped
first responders with reliable and secure broadband capabilities to save lives and protect U.S.
communities.
In 2017, the FirstNet Authority announced its partnership with AT&T, which was competitively
awarded the contract to build, upgrade, and manage this network that currently provides
real-time, always-on, priority and preemption, with end-to-end encryption to first responders
across the U.S. and its territories. Since the award, AT&T has been deploying Band 14, as
well as using all of its more-than-100 MHZ of currently deployed, commercially available LTE
spectrum, controlled by a dedicated public safety core network.
More than 650 markets are deployed with Band 14, and AT&T reported in January 2020 that
80% of the buildout was about to be completed.193 Some 12,000 public safety agencies
192
Updates in 2019 to this section courtesy of The Public Safety Network,
http://www.publicsafety.network.
193
IWCE’s Urgent Communications, “AT&T to finish 80% of FirstNet buildout in coming months, exec
says,” Jan. 31, 2020. https://urgentcomm.com/2020/01/31/att-to-finish-80-of-firstnet-buildout-in-
coming-months-exec-says/.

currently use AT&T/FirstNet, encompassing 1.3 million connections.194 AT&T has also
indicated it is in the process of updating FirstNet to 5G.195
There are more than seventy-five FirstNet devices, more than fifty unique apps in the FirstNet
app catalog, and seventy-five dedicated deployable network assets, including three Flying
COWs™. AT&T and Assured Wireless Corporation are working together to develop high-power
user equipment (HPUE). Following 3GPP standards, HPUE solutions can transmit at stronger
signals. This signal increase can only be done using the FirstNet Band 14 spectrum. For rural
and remote responders, HPUE could significantly increase their coverage area. For urban and
suburban responders, HPUE will help solve the challenge of indoor coverage. The stronger
signal will better assist those connecting from hard-to-reach places such as basements,
elevators, stairwells, and parking garages, helping first responders communicate inside and
out.
Other countries across the world are at various stages of planning and implementing similar
public safety LTE networks, including New Zealand, South Korea, Japan, the United Kingdom,
Finland, Norway, and several European countries.
Using LTE for public safety is a complex undertaking because the needs of public safety
reliability differ from those of consumers. Addressing these needs requires both different
features, which 3GPP is incorporating in multiple releases of LTE specifications, and different
network deployment approaches. Public safety also has device and application needs beyond
those of traditional consumers.
LTE Features for Public Safety

Some broadband applications for public safety can use standard LTE capability. For
example, sending email, accessing a database, or streaming a video may not require any
special features. Other applications, however, require new capabilities from 3GPP
standards, including:
Group Communication
Available in Release 12, the Group Communication Service (GCS) application server, using
one-to-one (unicast) and one-to-many communications (broadcast), will be able to send
voice, video, or data traffic to multiple public-safety devices. The broadcast mode will
employ eMBMS to use radio resources efficiently, but if coverage is weak, a unicast
approach may deliver data more reliably. The system will be able to dynamically switch
between broadcast and unicast modes. Release 14 adds single-cell point-to-multipoint
transmission.
Proximity-Based Services (Device-to-Device)
With proximity-based services, defined in Release 12, user devices can communicate
directly, a capability that benefits both consumers and public safety. This type of
communication is called sidelink communication. Consumer devices can find other devices
only with assistance from the network, but for public safety, devices will be able to
communicate directly with other devices independently of the network.
194
Fierce Wireless, “AT&T's Elbaz says the carrier plans to transition FirstNet to 5G,” Jul. 24, 2020.
https://www.fiercewireless.com/5g/at-t-s-elbaz-says-carrier-plans-to-transition-firstnet-to-5g.
195
Ibid.

With Release 13, devices can act as relays for out-of-coverage devices, such as those
inside a building. The appendix section “Proximity Services (Device-to-Device)” discusses
this feature in greater detail.
Mission-Critical Push-to-Talk
MCPTT, defined in Release 13, provides one-to-one and one-to-many push-to-talk

communications services. With this now-available feature, public-safety organizations are
able to consider using LTE as a primary voice system.
Mission-Critical Video over LTE and Mission-Critical Data over LTE
Release 14 added Mission-Critical Video over LTE and Mission-Critical Data over LTE,
designed to work with Mission-Critical Push-to-Talk, giving first responders more
communications options. 196 These should be available to end users by the end of 2020.
Prioritization
To prevent interference with public-safety operations in emergency situations

experiencing high load, the network can prioritize at multiple levels. First, the network can
bar consumer devices from attempting to access the network, thus reducing signaling
load. Second, the network can prioritize radio resources, giving public-safety users higher
priority. Third, using a new capability called “Multimedia Priority Service” (MPS), the
network can prioritize a connection between an emergency worker and a regular
subscriber. Finally, the network can assign specific QoS parameters to specific traffic flows,
including guaranteed bit rate. 3GPP has defined specific QoS quality-class identifiers for
public safety.
High Power User Equipment
Release 11 defined higher-power devices for the public safety band that can operate at
1.25 watts. At approximately six times the power of commercially available devices, this
release improves network coverage and penetration, and provides the ability to rely on
cloud services for public safety operations.
Isolated Operation
With Release 13, a base station can continue offering service even with the loss of
backhaul, a capability that will benefit public-safety personnel in disaster situations.
Relays
Figure 56 summarizes the more than eighteen features in 3GPP relays that apply to public
safety.
196
For details, see 3GPP, “Mission Critical Services in 3GPP,” Jun. 20, 2017.
http://www.3gpp.org/NEWS-EVENTS/3GPP-NEWS/1875-MC_SERVICES, viewed May 31, 2018.

Figure 56: Summary of 3GPP LTE Features to Support Public Safety197
Deployment Approaches
Because huge infrastructure investments would be required for a network built solely for
public safety, industry and governments are evaluating different approaches. These
include public-private partnerships such as FirstNet, in which public safety users can
leverage existing commercial network deployments but with the added features of priority,
preemption, and encryption, enabled by a public safety core.
FirstNet is an example of an approach that provides nationwide coverage with a public

safety application ecosystem. Use of existing commercial infrastructure will likely be
critical to the success of many other public safety networks, but given that public safety
users have more stringent reliability, resilience, security, and coverage objectives than
commercial users, existing networks will need to be adapted and augmented accordingly.
Shared Network
As depicted in Figure 57, multiple sharing approaches are possible:
❑ In this scenario, a public-safety entity owns and operates the entire network, an
approach that gives public-safety organizations the greatest control over the
network but at the highest cost.
❑ A commercial operator shares its radio-access network for a price, including cell
sites and backhaul, but the public-safety entity manages core network functions
including gateways, the Mobile Management Entity, the Home Subscriber Server
(HSS), and public-safety application servers. Spectrum can be a combination of
commercial spectrum and/or spectrum dedicated to public safety. Because the
radio-access network is the costliest part of the network, this approach significantly
reduces the amount of capital expense that public safety must invest in the
network. Even though the RAN is shared, public-safety users can use the network
with higher priority.
197
Nokia, LTE networks for public safety services, 2014.
http://networks.nokia.com/sites/default/files/document/nokia_lte_for_public_safety_white_paper.pdf.

❑ In an MVNO approach, the operator shares its cell sites and backhaul as well as
some core network functions, such as the MME and Serving Gateway. Public safety
manages a small number of network functions, such as the Packet Gateway, HSS,
and its application servers.
❑ Another approach, not shown in the figure, is one in which the mobile operator
hosts all of the elements shown in the figure, and public safety manages only its
application servers.
❑ A fifth approach, not shown in the figure, is the U.S. FirstNet model of a true public-
private partnership. In this model, carriers compete against each other, addressing
service level agreements, capabilities, capacities, and schedules, thus driving the
greatest capability for the lowest cost. This approach enables operators to create
added benefits to their commercial activities while providing specified services for
public safety. Because this approach leverages existing cellular infrastructure,
public safety services can be deployed quickly. System integration, network
deployment, management, and operational risks shift away from the government
to the operator, which is better qualified to perform such functions.
Figure 57: Sharing Approaches for Public Safety Networks
Reliability
Public safety requires always-on connectivity with priority and preemption, now possible
with the advent of public safety LTE networks such as FirstNet. The unguaranteed
connectivity of a commercial LTE network can mean the difference between life and death
for first responders and those in the communities they serve.
Resilience
Public safety needs greater resilience than found in commercial networks, including
hardware redundancy, geographic redundancy, load balancing, fast rerouting in IP
networks, interface protection, outage detection, self-healing, automatic reconfiguration,
and rapid service re-constitution.

Security
Public-safety networks have high security requirements, including physical security of data
centers, core sites, and cell sites. Whereas commercial LTE networks do not have to
encrypt traffic in backhaul and core networks, public safety networks may choose to
encrypt IP traffic using virtual private networking approaches.
Coverage
A number of approaches can ensure the broadest possible coverage for public-safety
networks. First, public-safety frequencies sub 1 GHz already propagate and penetrate well.
Next, high power user equipment for public safety provide better rural coverage at the
network’s edge and greater penetration in urban environments, such as parking garages.
In addition, base stations can employ four-way receiver diversity and higher-order
sectorization. For high-volume planned-event and disaster scenarios, public safety can
use deployables, such as cell on wheels and cell on wings (both known as COWs) and cell
on light trucks (COLTs). These provide greater resilience in addition to improved coverage.
Finally, proximity-based services operating in a relay mode, as discussed above, can
extend coverage.
Expanding Capacity
Wireless technology plays a profound role in networking and communications, even though
wireline technologies such as fiber have inherent capacity advantages.
Over time, wireless networks will gain substantial additional capacity through the methods
discussed in the next section. While they will compete with copper twisted pair and coax, they
will never catch up to fiber. The infrared frequencies used in fiber-optic communications have
far greater bandwidth than radio. As a result, one fiber-optic strand has greater bandwidth
than the entire usable radio spectrum to 100 GHz, as illustrated in Figure 58.198
198
One fiber-optic cable can transmit over 10,000 Gbps compared with all wireless spectrum to 100
GHz, which, even at an extremely high spectral efficiency 10 bps/Hz, would have only 1,000 Gbps of
capacity.

Figure 58: RF Capacity vs. Fiber-Optic Cable Capacity
A dilemma of 4G mobile broadband is that it can provide a broadband experience similar to

wireline, but it cannot do so for all subscribers in a coverage area at the same time. Hence,
operators must carefully manage capacity, demand, policies, pricing plans, and user
expectations. Similarly, application developers must become more conscious of the inherent
constraints of wireless networks. 5G, with its far greater capacity, will be the first generation
of cellular technology that can be an effective wireline replacement for a large percentage of
subscribers. Such capability, however, will typically require small cells using mmWave,
especially in urban areas.
As shown in Figure 59, three factors determine wireless network capacity: the amount of
spectrum, the spectral efficiency of the technology, and the size of the cell. Because smaller
cells serve fewer people in each cell and because of their greater number, small cells are a
major contributor to increased capacity.

Figure 59: Dimensions of Capacity
Given the relentless growth in usage, mobile operators are combining multiple approaches to
increase capacity and managing congestion:
❑ More spectrum. Spectrum correlates almost directly to capacity, and more spectrum
is becoming available globally for mobile broadband. mmWave band spectrum for 5G
will provide far more spectrum, but propagation characteristics will restrict its use to
small cells. Multiple papers by Rysavy Research and others199 argue the critical need
for additional spectrum.
❑ Unpaired spectrum. LTE TDD operates in unpaired spectrum. In addition,
technologies such as HSPA+ and LTE permit the use of different amounts of spectrum
between downlink and uplink. Additional unpaired downlink spectrum can be combined
with paired spectrum to increase capacity and user throughputs.
❑ Supplemental downlink. With downlink traffic five to ten times greater than uplink
traffic, operators often need to expand downlink capacity rather than uplink capacity.
Using carrier aggregation, operators can augment downlink capacity by combining
separate radio channels.
❑ Spectrum sharing. Policy makers are evaluating how spectrum might be shared
between government and commercial entities. Although a potentially promising
approach for the long term, sharing raises complex issues, as discussed further in the
section “Spectrum Developments.”
❑ Increased spectral efficiency. Newer technologies are spectrally more efficient,
meaning greater aggregate throughput using the same amount of spectrum. LTE is
199
See multiple papers on spectrum and capacity at http://www.rysavy.com/writing.

more efficient than WCDMA/HSPA, and 5G is more efficient than LTE. See the section
“Spectral Efficiency” for further discussion.
❑ Smart antennas. Through higher-order MIMO and beamforming, smart antennas
gain added sophistication in each 3GPP release and are the primary contributor to
increased spectral efficiency (bps/Hz). Massive MIMO, beginning in Release 13, will
support 16-antenna-element systems and in 5G, will expand to hundreds of antenna
elements.
❑ Uplink gains combined with downlink carrier aggregation. Operators can
increase network capacity by applying new receive technologies at the base station
(for example, large-scale antenna systems such as massive MIMO) that do not
necessarily require standards support. Combined with carrier aggregation on the
downlink, these receive technologies produce a high-capacity balanced network,
suggesting that regulators should, in some cases, consider licensing only downlink
spectrum.
❑ Small cells and heterogeneous networks. Selective addition of picocells to macro
cells to address localized demand can significantly boost overall capacity, with a linear
increase in capacity relative to the number of small cells. HetNets, which can include
femtocells, hold the promise of increasing capacity gains by a factor of four and even
higher with the introduction of interference cancellation in devices. Distributed antenna
systems (DAS), used principally for improved indoor coverage, can also function like
small cells and increase capacity. Actual gain will depend on a number of factors,
including number and placement of small cells,200 user distribution, and any small-cell
selection bias that might be applied.
❑ Offload to unlicensed spectrum. Using unlicensed spectrum with Wi-Fi or LTE
operation in unlicensed spectrum offers another means of offloading heavy traffic.
Unlicensed spectrum favors smaller coverage areas because interference can be better
managed, so spectral re-use is high, resulting in significant capacity gains.
❑ Higher level sectorization. For some base stations, despite the more complex
configuration involved, six sectors can prove advantageous versus the more traditional
three sectors, deployed either in a 6X1 horizontal plane or 3X2 vertical plane.201
Strategies to manage demand include:
❑ Quality of service (QoS) management. Through prioritization, certain traffic, such

as non-time-critical downloads, could occur with lower priority, thus not affecting other
active users.
❑ Off-peak hours. Operators could offer user incentives or perhaps fewer restrictions
on large data transfers during off-peak hours.
Based on historical increases in the availability of new spectrum, technologies delivering
better spectral efficiency, and increases in the number of cell sites, Rysavy Research has
calculated that, over the last thirty-year period, aggregate network capacity has doubled
every three years. Rysavy Research expects this trend to continue into the future.
200
With small-cell range expansion using a large selection bias, small cells can be distributed
uniformly.
201
An example of vertical layering would be a 3X1 layer at ground level and a separate 3X1 layer for
higher levels of surrounding buildings.

Conclusion
Wireless technology, especially mobile broadband, remains at the forefront of innovation in
computing, networking, and application development. As users, applications, services, and
now machines consume ever more wireless data, the industry is responding with faster, more
efficient, and higher-capacity networks. LTE has become the global standard, but with Release
15 5G networks rolling out globally using multiple spectrum bands, 5G is rapidly rising to
become the dominant wireless technologies of the 2020s.
3GPP completed Release 16 in 2020, expanding the scope of 5G capabilities to include IAB,
operation in unlicensed spectrum with NR-U, C-V2X, and URLLC. The flexible capabilities of
5G enable a wide range of business models, including fixed-wireless access, enhanced mobile
broadband, and IoT support.
Further developing 5G as a platform for innovation, Release 17 will add NR-Light, NR operation
in 52.6 to 71 GHz, multiple SIMs, NR multicast and broadcast, and non-terrestrial networks.
By harnessing new spectrum, such as mmWave bands above 24 GHz, 5G will eventually be
able to access more than ten times as much spectrum as is currently available for cellular
operation. Using radio bands of hundreds of MHz will result in multi-Gbps throughput
capabilities. 5G provides operators multiple options to migrate from LTE to 5G. Most operators
now are transitioning their networks to standalone architecture to improve performance,
enable industrial IoT, and facilitate edge computing.
LTE-Advanced and LTE-Advanced Pro innovations include VoLTE, 1 Gbps peak rate capability,
higher-order MIMO, carrier aggregation, LAA/LWA/LWIP, IoT capabilities in Narrowband-IoT
and Category M-1, V2X communications, small-cell support, URLLC, SON, dual connectivity,
and CoMP—all capabilities that will improve performance, efficiency, and capacity and enable
support for new vertical segments.
Carriers are employing virtualization to reduce network costs, improve service velocity, and
simplify deployment of new services. Meanwhile, 5G was designed from inception to be
implemented in virtualized form. RAN virtualization is now occurring through O-RAN.
Small cells will play an increasingly important role in boosting capacity and will benefit from
a number of technologies and developments, including NR-U, SON, eICIC, Dual Connectivity,
LTE-LAA, MulteFire, improved backhaul options, and spectrum ideally suited for small cells.
Obtaining more spectrum remains a priority globally. In U.S. markets, the FCC has already
conducted multiple mmWave auctions, a CBRS auction in 2020, and is planning a C-band
auction at the end of 2020.
The future of wireless technology, including both LTE and 5G, is bright, with no end in sight
for continued growth in capability, nor for the limitless application and service innovation that
these technologies enable.

Appendix: Technology Details
The 3GPP family of data technologies provides ever increasing capabilities that support ever
more demanding applications. Services obviously need to provide broad coverage and high
data throughput. Less obvious for users, but as critical for effective application performance,
are the need for low latency, QoS control, and spectral efficiency. Higher spectral efficiency
translates to higher average throughputs (and thus more responsive applications) for more
active users in a coverage area. The discussion below details the progression of capability for
each technology, including throughput, security, latency, QoS, and spectral efficiency.
This appendix provides details on 3GPP releases, 5G, UMTS/HSPA, and EDGE.
Spectral Efficiency
The evolution of data services is characterized by an increasing number of users with ever-
higher bandwidth demands. As the wireless data market grows, deploying wireless
technologies with high spectral efficiency is of paramount importance. Keeping all other
things equal, including frequency band, amount of spectrum, and cell site spacing, an
increase in spectral efficiency translates to a proportional increase in the number of users
supported at the same load per user—or, for the same number of users, an increase in
throughput available to each user.
Increased spectral efficiency, however, comes at a price because it generally involves

greater complexity for both user and base station equipment. Complexity can arise from
the increased number of calculations performed to process signals or from additional radio
components. Hence, operators and vendors must balance market needs against network
and equipment costs. OFDMA technologies, such as LTE and planned 5G approaches,
achieve higher spectral efficiency with lower overall complexity, especially in larger
bandwidths.
As shown in Figure 60, the link-layer performance of modern wireless technologies is

approaching the theoretical limits as defined by the Shannon bound. (The Shannon bound
is a theoretical limit to the information transfer rate [per unit bandwidth] that can be
supported by any communications link. The bound is a function of the SNRs of the
communications link.) Figure 60 also shows that HSDPA, 1xEV-DO, and IEEE 802.16e-
2005 are all within 2 to 3 decibels (dB) of the Shannon bound, indicating that there is not
much room for improvement from a link-layer perspective.

Figure 60: Performance Relative to Theoretical Limits for HSDPA, EV-DO, and
WiMAX (IEEE 802.16e-2005)202
The curves in Figure 60 are for an Additive White Gaussian Noise Channel (AWGN). If the
channel is slowly varying and the frame interval is significantly shorter than the coherence
time, the effects of fading can be compensated for by practical channel estimation
algorithms—thus justifying the AWGN assumption. For instance, at 3 km per hour and
fading at 2 GHz, the Doppler spread is about 5.5 Hz. The coherence time of the channel
is thus 1 second (sec)/5.5 or 180 msec. Frames are well within the coherence time of the
channel, because they are typically 20 msec or less. As such, the channel appears
“constant” over a frame, and the Shannon bound applies. Furthermore, significantly more
of the traffic in a cellular system is at slow speeds (for example, 3 km/hr. or less) rather
than at higher speeds. The Shannon bound is consequently also relevant for a realistic
deployment environment.
As the speed of the mobile station increases and the channel estimation becomes less
accurate, additional margin is needed. This additional margin, however, would impact the
different standards fairly equally.
The focus of future technology enhancements is on improving system performance aspects

that reduce interference to maximize the experienced SNRs in the system and antenna
202

techniques (such as MIMO) that exploit multiple links or steer the beam rather than on
investigating new air interfaces that attempt to improve link-layer performance.
MIMO techniques using spatial multiplexing to increase the overall information transfer
rate by a factor proportional to the number of transmit or receive antennas do not violate
the Shannon bound because the per-antenna transfer rate (that is, the per-
communications link transfer rate) is still limited by the Shannon bound.
Figure 61 compares the spectral efficiency of different wireless technologies based on a

consensus view of 5G Americas contributors to this paper. It shows the continuing
evolution of the capabilities of all the technologies discussed. The values shown are
reasonably representative of real-world conditions. Most simulation results produce values
under idealized conditions; as such, some of the values shown are lower (for all
technologies) than the values indicated in other papers and publications. For instance,
3GPP studies indicate higher HSPA and LTE spectral efficiencies. Nevertheless, there are
practical considerations in implementing technologies that can prevent actual deployments
from reaching calculated values. Consequently, initial versions of technology may operate
at lower levels but then improve over time as designs are optimized. Therefore, readers
should interpret the values shown as achievable, but not as the actual values that might
be measured in any specific deployed network.

Figure 61: Comparison of 3G and 4G Downlink Spectral Efficiency203
The values shown in Figure 61 are not all possible combinations of available features.
Rather, they are representative milestones in ongoing improvements in spectral efficiency.
For instance, terminals may employ Mobile Receive Diversity but not equalization.
Relative to WCDMA Release 99, HSDPA increases capacity by almost a factor of three.
Type 3 receivers that include MMSE equalization and Mobile Receive Diversity (MRxD)
effectively double HSDPA spectral efficiency. The addition of dual-carrier operation and 64
QAM increases spectral efficiency by about 15%, and MIMO can increase spectral efficiency
203
Joint analysis by 5G Americas members. 5+5 MHz FDD for UMTS-HSPA/LTE. Mix of mobile and
stationary users.

by another 15%, reaching 1.2 bps/Hz. Dual-carrier HSPA+ offers a gain in spectral
efficiency from cross-carrier scheduling with possible gains of about 10%.204
Some enhancements, such as 64 QAM for HSPA, are simpler to deploy than other
enhancements, such as 2X2 MIMO. The former can be done as a software upgrade,
whereas the latter requires additional hardware at the base station. Thus, the figure does
not necessarily show the actual progression of technologies that operators will deploy to
increase spectral efficiency.
Beyond HSPA, 3GPP LTE results in further spectral efficiency gains, initially with 2X2
MIMO, then 4X2 MIMO, and then 4X4 MIMO. The gain for 4X2 MIMO will be 20% more
than LTE with 2X2 MIMO; the gain for 4X4 MIMO in combination with interference rejection
combining (IRC) will be 70% greater than 2X2 MIMO, reaching 2.4 bps/Hz. This value
represents a practical deployment of 4X4 MIMO, with random phase and some timing-
alignment error included in each of the four transmit paths. CoMP, discussed below in the
appendix, provides a minimal contribution to spectral efficiency.
Higher-order MIMO will increase LTE spectral efficiency further. The section, “LTE-
Advanced Antenna Technologies” explains that 64X2 MIMO can deliver three times the
efficiency of 2X2 MIMO. LTE is even more spectrally efficient when deployed using wider
radio channels of 10+10 MHz and 20+20 MHz, although most of the gain is realized at
10+10 MHz. LTE TDD has spectral efficiency that is within 1% or 2% of LTE FDD.205
5G will be spectrally more efficient than LTE. The ITU objective was for 5G to be 3 times
more spectrally efficient than LTE. Simulations show this is the case when comparing 5G
in a massive MIMO configuration, for example 256 base station elements, against LTE in
2X2 or 4X4 MIMO configurations. However, massive MIMO techniques planned for 5G can
also be applied to LTE. For the same order of MIMO, simulations show a 25-30%
improvement of 5G over LTE, assuming implementation of all possible 5G optimizations.206
Simulation studies show 5G can achieve 7.8 bps/Hz of spectral efficiency in dense urban
deployments at 4 GHz.207
204
5G Americas member analysis. Vendor estimates for spectral-efficiency gains from dual-carrier
operation range from 5% to 20%. Lower spectral efficiency gains are due to full-buffer traffic
assumptions. In more realistic operating scenarios, gains will be significantly higher.
205
Assumes best-effort traffic. Performance between LTE-TDD and FDD differs for real-time traffic for
the following reasons: a.) The maximum number of HARQ process should be made as small as
possible to reduce the packet re-transmission latency. b.) In FDD, the maximum number of HARQ
process is fixed and, as such, the re-transmission latency is 7ms. c.) For TDD, the maximum number
of HARQ process depends on the DL: UL configurations. As an example, the re-transmission latency
for TDD config-1 is 9ms. d.) Because of higher re-transmission latency, the capacity of real-time
services cannot be scaled for TDD from FDD based on the DL:UL ratio.
206
Nokia presentation, “5G New Radio (NR) Interface for Sub 6 GHz & mmWave Bands,” IEEE ICC –
2018, May 22, 2018.
207
Nokia contribution.

Many of the gains from 5G in mid-band frequencies will be due to the use of Massive
MIMO. For instance, A 64T64R antenna configuration can triple the capacity of a cell
relative to 4X4 MIMO for both LTE and 5G NR.208
Figure 62 shows LTE and NR spectral efficiency at 2 GHz and ISD of 200 meters relative
to the number of antenna ports and basic versus advanced configurations.
Figure 62: LTE and NR Spectral Efficiency at 2 GHz and 200 Meters ISD209
Figure 63 shows the same information but at a larger ISD of 750 meters.
208
Commscope, 4G and 5G Capacity solutions - comparative study, July 2019.
https://www.commscope.com/globalassets/digizuite/2154-capacity-solutions-comparative-study-wp-
113400-en.pdf?r=1.
209
Nokia contribution.

Figure 63: LTE and NR Spectral Efficiency at 2 GHz and 750 Meters ISD210
Figure 64 explains the parameters for the spectral efficiency analysis shown in Figure 62
and Figure 63.
Figure 64: LTE and NR Spectral Efficiency Parameters
At mmWave frequencies, 5G systems may initially operate at lower spectral efficiencies

than in mid-bad frequencies. One simulation analysis by a 5G Americas member indicates
a sector spectral efficiency for the downlink, based on four sectors and 200-meter intersite
distance, of 4.2 bps/Hz.
210
Nokia contribution.

Figure 65 presents mmWave spectral efficiency relative to ISD and SU versus MU MIMO,
assuming 100% of the channel is dedicated to downlink. For different ratios of downlink
to uplink, the spectral efficiency scales linearly.
Figure 65: mmWave Spectral Efficiency211
Figure 66 explains the parameters used for the spectral efficiency analysis shown in Figure
65.
Figure 66: mmWave Spectral Efficiency Parameters
Over time, with improvements in the technology, spectral efficiency will increase.
5G performance in a live network will have large variation depending on deployment,

traffic, environment, and other variables. Consequently, the spectral efficiency simulations
211
Nokia contribution.

should be seen as examples of what can be achieved by the technology under specific
assumptions rather than an indication of an actual spectral efficiency in any specific
network deployment.
Figure 67 compares the uplink spectral efficiency of the different systems.
Figure 67: Comparison of Uplink Spectral Efficiency212
The implementation of HSUPA in HSPA significantly increases uplink capacity.
With LTE, spectral efficiency increases by use of receive diversity. Initial systems will
employ 1X2 receive diversity (two antennas at the base station). 1X4 diversity will
increase spectral efficiency by 50%, to 1.0 bps/Hz, and 1X8 diversity will provide a further
20% increase, from 1.0 bps/Hz to 1.2 bps/Hz.
212
Joint analysis by 5G Americas members. 5+5 MHz for UMTS-HSPA/LTE. Mix of mobile and
stationary users.

It is also possible to employ Multi-User MIMO (MU-MIMO), which allows simultaneous
transmission by multiple users on the same physical uplink resource to increase spectral
efficiency. MU-MIMO will provide a 15% to 20% spectral efficiency gain, with actual
increases depending on how well link adaptation is implemented. The figure uses a
conservative 15% gain, showing MU-MIMO with a 1X4 antenna configuration increasing
spectral efficiency by 15%, to 1.15 bps/Hz, and 2X4 MU-MIMO a further 15%, to 1.3
bps/Hz.
In Release 11, uplink CoMP using 1X2 increases efficiency from .65 bps/Hz to 1.0 bps/Hz.
Many of the techniques used to improve LTE spectral efficiency can also be applied to
HSPA since they are independent of the radio interface.
Figure 68 compares voice spectral efficiency.
Figure 68: Comparison of Voice Spectral Efficiency213
Figure 68 shows UMTS Release 99 with AMR 12.2 Kbps, 7.95 Kbps, and 5.9 Kbps vocoders.
The AMR 12.2 Kbps vocoder provides superior voice quality in good (for example, static
and indoor) channel conditions.
213
Joint analysis by 5G Americas members. 5 + 5 MHz for UMTS-HSPA/LTE. Mix of mobile and
stationary users.

UMTS has dynamic adaptation between vocoder rates, enabling enhanced voice quality
compared with EVRC at the expense of capacity in situations that are not capacity limited.
With the addition of mobile receive diversity, UMTS circuit-switched voice capacity could
reach 120 Erlangs in 5+5 MHz.
VoIP Erlangs in this paper are defined as the average number of concurrent VoIP users
that can be supported over a defined period of time (often one hour) assuming a Poisson
arrival process and meeting a specified outage criterion (often less than 2% of the users
exhibiting greater than 1% frame-error rate). Depending on the specific enhancements
implemented, voice capacity could double over existing circuit-switched systems. These
gains do not derive through use of VoIP, but rather from advances in radio techniques
applied to the data channels. Many of these same advances may also be applied to current
circuit-switched modes.
LTE achieves very high voice spectral efficiency because of better uplink performance since
there is no in-cell interference. The figure shows LTE VoIP spectral efficiency using AMR
at 12.2 Kbps, 7.95 Kbps, and 5.9 Kbps.
VoIP for LTE can use a variety of codecs. The figures show performance assuming specific
codecs at representative bit rates. For Enhanced Variable Rate Codecs (EVRCs), the figure
shows the average bit rate.
The voice efficiency of the wideband AMR voice codec, operating at 12.65 Kbps, is similar
to the AMR codec at 12.2 Kbps, with a value of 180 Erlangs for both since both codecs
operate at approximately the same bit rate. 1xRTT has voice capacity of 85 Erlangs in 5+5
MHz with EVRC-A and reaches voice capacity of 120 Erlangs with the use of Quasi-Linear
Interference Cancellation (QLIC) and EVRC-B at 6 Kbps.
5G
This section provides early details on aspects of 5G, including architecture, Dynamic
Spectrum Sharing, integrated access and backhaul, and performance.
Architecture in Detail
The overall 5G architecture consists of what 3GPP calls the New Generation Radio-Access
Network (NG-RAN) and the 5G Core (5GC), as shown in Figure 69. The figure shows the
Access and Mobility Management Function (AMF); the User Plane Function (UPF); the NR
NodeB (gNB), which is the 5G base station; and the NG and Xn interfaces.

Figure 69: 5G Architecture214
Figure 70 shows the functional split between the NG-RAN and 5GC.
Figure 70: Functional Split between NG-RAN and 5GC215
214
3GPP, 3GPP TS 38.300, NR; NR and NG-RAN Overall Description; Stage 2 (Release 15), V15.1.0
(2018-03).
215
Ibid.

The main body of this paper summarizes the features being specified in Releases 15 and
16 for NR and the core network. Additional capabilities that will be part of Release 15
include:
❑ A PDCP packet duplication function to allow redundant transmission of signaling or

user data on two bearer paths.
❑ A new protocol layer called Service Data Adaptation Protocol (SDAP) that offers
5GC QoS flows.
❑ A new Radio Resource Control (RRC) inactive state designed for low-latency
communications.
❑ A new system information broadcast model that allows on-demand system

information instead of always having to broadcast system information (to reduce
overhead in 5G beam sweeping).
Figure 71 shows the 5G Service-Based Architecture (SBA), using HTTP-based APIs, which
will provide the following benefits:216
❑ Every network function able to discover services offered by other network

functions.
❑ Incorporation of principles such as modularity, reusability, and self-containment of

network functions, enabling deployments to take advantage of virtualization and
software technologies.
❑ Standalone operation without dependency on legacy networks.
❑ Flexible and extensible architecture.
❑ Support for network slicing.
❑ Easier integration with third-party software.
❑ Simultaneous access using the same data connection to local and centralized
networks.
216
For a more detailed discussion of the 5G system architecture, see 3GPP, “System architecture
milestone of 5G Phase 1 is achieved,” Dec. 21, 2017, http://www.3gpp.org/NEWS-EVENTS/3GPP-
NEWS/1930-SYS_ARCHITECTURE.

Figure 71: 5G Core Service Based Architecture217
The functions performed by the nodes of the 5G network are as follows:
Application Function (AF)
❑ Fulfils the role of an application server to provide services.
❑ The AF can be either a trusted or untrusted function. It can also be within or outside
the operator domain.
Authentication Server Function (AUSF)
❑ Contains the EAP authentication server functionality.
❑ Stores computer temporary keys and performs key distribution.
Core Access and Mobility Management Function (AMF)
❑ Termination point for RAN control plane (CP) interfaces.
❑ UE authentication and access security.
217
5G Americas, 5G Network Transformation, Dec. 2017.
http://www.5gamericas.org/files/3815/1310/3919/5G_Network_Transformation_Final.pdf.

❑ Mobility management.
❑ Session management.
❑ Network slice selection (expected).
Charging Function (CHF)
Network Exposure Function (NEF)
❑ Security for access to 5G core nodes.
Network Slice Selection Function (NSFF)
❑ Selects the set of Network Slice instances for the UE.
NF Repository Function (NRF)
❑ Provides Network Function (NF) profiles and supported services.
❑ Supports dynamic discovery of network functions.
Policy Control Function (PCF)
❑ Supports unified policy framework for network behavior.
❑ Corresponds for some functions to 4G Policy and Charging Rules Function (PCRF).
❑ Supplies some functions from 4G ANDSF.
Security Edge Protection Proxy (SEPP)
Session Management Function (SMF)
❑ Session management (non-access-related functions).
❑ Coordination of QoS policy.
❑ IP address allocation and management.
❑ Policy and charging functions.
❑ Policy enforcement.
❑ Lawful intercept.
Unified Data Management (UDM)
❑ Subscriber management database and related functions, similar to 4G Home

Subscriber Server (HSS).
User Plane Function (UPF)
❑ Support for multiple configurations, including ones for low latency.
❑ Anchor point for intra/inter radio-access technology mobility.
❑ External IP interconnect point.
❑ Packet routing and forwarding.

❑ QoS handling for user plane.
❑ Lawful intercept.
❑ Roaming interface.
❑ Traffic counting and reporting.
Application Functions (AF)
❑ Operator trusted services.
Architecture Options
This topic was introduced in the main part of the paper and is covered here in more detail.
In Release 15, 3GPP defines a number of different architecture options, shown in the
following three figures. In many of these options, although not all, the 5G network
integrates with LTE.
Figure 72: 5G Network Architecture Options in 3GPP Release 15218
218
Nokia contribution, including subsequent three figures. For further details, refer to section 7.2, "5G
Architecture Options," 3GPP TR 38.801, “Radio access architecture and interfaces.”

Figure 73: De-Prioritized 5G Network Architecture Options in 3GPP Release
15219
Figure 74 shows how these different architecture options provide operators flexibility as
they migrate their networks from LTE to 5G.
Figure 74: Different Migration Paths for LTE to 5G
219
Architecture options 4, 5, and 7 will be available in the final set of Release 15 specifications (ASN.1
freeze date) scheduled for Mar. 2019.

Figure 75 shows how 5G implements dual connectivity (simultaneous LTE and 5G
connections) within the protocol stacks for some of the different architecture options.
Figure 75: Dual-Connectivity Options with LTE as Master
C-V2X in Detail220
Refer to the section “Cellular V2X Communications” in the main part of this paper for an
overview discussion.
Like LTE based V2X, the NR C-V2X allows direct communication mode (i.e. sidelink)
between vehicles without relying on the cellular network connectivity.
NR C-V2X sidelink moves the default mode of operation from broadcast to reliable
groupcast communication which is enabled by several fundamental new innovations. NR
C-V2X sidelink is probably the first wireless system to introduce distance as a dimension
at the physical layer. This enables achieving a uniform communication range across widely
varying radio environments — for both line-of-sight and non-line-of-sight scenarios.
Introducing distance as a dimension also enables formation of “on-the-fly” multicast
groups based on distance and applications. Such multicast groups require little or no
overhead for group formation and dismantling.
Besides the new Groupcast mode, NR C-V2X also introduced the "true" unicast mode on
sidelink. The NR C-V2X sidelink unicast supports ACK/NACK based HARQ feedback, link
quality monitoring (e.g. CSI reporting and Reference Signal Received Power [RSRP]
reporting), higher modulation rate (e.g. 256 QAM), and rate controls. This feature enables
220
This section on C-V2X is a 2020 Qualcomm contribution.

reliable interactive V2X sessions, and is crucial for some of the advanced use cases, e.g.
maneuver coordination, or session-based communication with Road Side Units (RSUs).
A NR C-V2X UE can establish multiple simultaneous unicast sidelink connections with other
UEs, based on application needs. These links are allowed to have different configurations,
including the QoS levels, data rates, security protections, etc. Each of the link is
independently managed and maintained. Multiple services can share the same link, and
therefore, different QoS flows can be supported over the same link. NR C-V2X unicast
sidelink supports both IP based or non-IP based traffic. This flexibility allows native
support of various V2X services and deployment configurations. For example, when IP
based transport is used, an RSU can further forward the messages from the C-V2X UE to
a remote server.
The unicast sidelink can be established between NR C-V2X UEs on-demand, by

transmitting either broadcast or unicast a connection request to a known UE or UEs
supporting a desired V2X service. This unicast link establishment procedure had already
incorporated security verifications. The 3GPP design provides a generic authentication
mechanism and supports various application layer security associations, e.g. certificate-
based security association that is widely used in V2X ecosystem. The unicast sidelink can
provide confidentiality and integrity protection for the signaling and user data, based on
security requirements of the application and policies. Additionally, the NR C-V2X design
also provides privacy protection for the unicast sidelink, by allowing a change of the link
identifiers during the communication session, without interrupting the service. This helps
the UE to meet the regulatory requirements on anti-trackability in some regions. The
unicast sidelink management details are available in 3GPP TS 23.287.
One of the major characteristics of NR, aka. 5G radio, is the enhanced Quality of Service
(QoS), e.g. higher reliability and lower latency. Naturally, NR C-V2X sidelink design also
provides significant QoS enhancements comparing to LTE V2X. From system aspect, NR
C-V2X sidelink introduced a unified QoS model based on QoS Flow managements for all
cast types, i.e. broadcast, groupcast, and unicast. V2X application traffic can be filtered
using a QoS rule filter and placed into different QoS Flows. Each of the QoS Flows is
configured with a PC5 5QI (PQI, or PC5 5G QoS Identifier) that represents the QoS
characteristics, e.g. delay budget, priority, reliability, etc., and additional QoS flow
parameters. For example, for groupcast, the QoS flow parameters further include the
maximum Range value, which can be passed to a lower layer to perform the distance
based groupcast control. For unicast, the QoS flow parameters include the link data rate,
which helps the lower layer choose the coding and modulation mechanism.
This design provides much higher level of QoS control comparing to the simple priority
based QoS in Release 14 LTE V2X. The QoS Flow based management also makes NR C-
V2X sidelink QoS management more aligned with NR Uu model, and facilitates a consistent
application management regardless of the link used. The new QoS level (PQIs) that can
be achieved by NR C-V2X are documented in TS 23.287.
NR C-V2X employed a new PHY layer design to achieve the better QoS, e.g. higher
reliability, higher throughput, and lower latencies, as well as the flexibility for forward
compatible.
NR-V2X sidelink physical channels are transmitted using only CP-OFMA waveform, with
subcarrier spacing of 15, 30, 60 and 120 kHz associated with CPs and frequency ranges
similar to NR UL/DL, and with modulation schemes as QPSK, 16-QAM, 64-QAM, and 256-
QAM.

The NR V2X sidelink uses the following physical channels and signals:
❑ Physical sidelink broadcast channel (PSBCH) and its DMRS

❑ Physical sidelink control channel (PSCCH) and its DMRS
❑ Physical sidelink shared channel (PSSCH) and its DMRS
❑ Physical sidelink feedback channel (PSFCH)
❑ Sidelink primary synchronization signal (S-PSS) and sidelink secondary
synchronization signal (S-SSS) referred as the sidelink synchronization signal
(SLSS), structured together with PSBCH into the sidelink synchronization signal
block (S-SSB).
❑ Phase-tracking reference signal (PT-RS) in FR2.
❑ Channel state information reference signal (CSI-RS).
The resources for transmitting PSSCH can be determined through a sensing procedure
conducted autonomously by the transmitting UE, i.e. resource allocation mode 2. This is
the default operation mode and allows the UE to operate in or outside of 5G coverage.
Especially for operation in ITS spectrum, which is not managed by any operator, this mode
of operation will be utilized. In case the UE is in coverage of a 5G cell that is enhanced for
V2X, a gNB can also help to schedule or configure the sidelink transmitting resources in
the licensed spectrum.
A given Transport Block (TB) can be transmitted multiple times, with HARQ feedback (i.e.
HARQ retransmission) or without HARQ feedback (i.e. blind retransmission). DMRS
associated with rank-1 or rank-2 PSSCH can be transmitted in 2, 3, or 4 sidelink symbols
distributed through a sidelink slot.
For better operation reliability, NR V2X enables UEs to obtain timing synchronization from
a variety of sources, including GNSS, eNB/gNB and other UEs, enabling synchronization
in-coverage and out-of-coverage. A UE may serve as a synchronization source by
transmitting sidelink synchronization signal block (S-SSB) and may provide
synchronization information to other UEs even if it does not participate in the subsequent
inter-UE communication. The V2X synchronization procedure defines priorities among
such synchronization sources and requires all UEs to continuously search to get to the
highest-quality synchronization source they can find.
At network side, the 5G system design is also enhanced, in order to assist the NR C-V2X
operation, in case the NR C-V2X UE is in coverage. For example, 5G system has enhanced
its UE Policy provisioning feature, so that the Policy Control Function (PCF) is able to
update the UE authorized for NR C-V2X operation of the V2X related policies and
configurations (V2XP) via the control plane signaling, when the UE comes into coverage.
It also allows the NR C-V2X UE to autonomously request a policy update from the PCF
when necessary. This feature also allows an V2X Application Server to provision the V2X
Service operation parameters, e.g. QoS mapping, or security requirements, via the PCF
to the UE reliably.
The 5G system is also enhanced to provide some of the NR C-V2X operation configurations
to the radio network (NG-RAN), to assist the UE operation. The NG-RAN may then provide
the information, e.g. in the System Information Block (SIB), or using dedicated RRC
signaling if UE goes into CONNECTED mode. This helps the UE to obtain the most up-to-
date operation configuration, e.g. on how to map QoS Flow to sidelink radio bearers, in

case the spectrum is managed by the operators. For ITS spectrum, the UE can operate
based on purely configuration.
The 5G Core Network (5GC) has also introduced some enhancements, to facilitate better
V2N services when Uu connection is used. These includes the notification on QoS
Sustainability Analytics, and the Alternative QoS Profiles. The notification on QoS
Sustainability Analytics allows the 5GC to provide an estimation of the QoS level support
along the path indicated by a V2X Application Server. The V2X Application Sever could
adjust its QoS requirements if 5GC informs it ahead of time that some QoS level cannot
be met. On the other hand, the Alternative QoS Profile allows the V2X Application Server
to request multiple QoS levels to the 5GC. In case there is a congestion in the network,
the NG-RAN will automatically adjust the QoS level to one of the provided Alternative QoS
Profiles. This ensures that the mission critical V2X application can continue at the minimum
operational level, instead of being cut off.
With the completion of Release 16, 5G NR C-V2X establishes a technology platform

enabling inter-vehicle communication independent of the cellular network to support a
rich set of features for human-driver and automated vehicles. Moving forward, 3GPP has
initiated work on Release 17. Intended C-V2X enhancements are expected to include
improved UE power saving to enable PC5 operation for battery-powered road users such
as pedestrians and cyclists and extending PC5 to non-vehicular devices. In addition,
sidelink relay to network and sidelink relay among UEs are further enhancements in
Release 17.
NR-U in Detail221
See the main part of this paper, “Unlicensed Spectrum Integration,” for an overview of
this topic. This appendix section explains NR-U in technical detail suitable for readers who
already have a good understanding of 5G NR.
3GPP has been working on adapting LTE and NR to operate in unlicensed spectrum since
around 2013. In unlicensed operation under LTE, the scope was for introducing a licensed
assisted access (LAA) mode of operation using unlicensed band where the primary cell is
in a licensed band. In Release 13, the first version of LAA was introduced with unlicensed
carrier as supplemental downlink (DL) for the main use case of improving the DL
throughput of a carrier aggregation (CA) operation. In Rel.14, uplink (UL) operation was
added with Physical Uplink Shared Channel (PUSCH) and Sounding Reference signal (SRS)
added, so that UL throughput under CA was improved as well. Rel ease 15 introduced
further enhancements on the flexibility and efficiency of operation including Autonomous
UL (AUL) to support UE contending for the channel and more flexible starting/ending
positions for both DL and UL.
On channel access, because the LTE-LAA was targeting 5GHz band where Wi-Fi was
already deployed, the channel access mechanism was designed not only to comply with
regulatory requirements, but also not to degrade the performance of already deployed Wi-
Fi systems. A coexistence evaluation campaign was conducted to determine the energy
detection (ED) threshold to be used and how zealous the LTE-LAA transmission attempts
could be in order to guarantee that LTE-LAA deployment were friendly neighbors to
221
This section on NR-U is an edited version of a 2020 Qualcomm contribution. See also, Qualcomm,
“3GPP commits to 5G NR in unlicensed spectrum in its next release,” Dec. 13, 2018.
https://www.qualcomm.com/news/onq/2018/12/13/3gpp-commits-5g-nr-unlicensed-spectrum-its-
next-release.

existing Wi-Fi deployment, while providing fair channel access sharing between the two
systems.
In Release 15 when NR was being standardized, a study on porting NR design to unlicensed

band was conducted in parallel, and this effort eventually led to the first release of NR-
unlicensed design in Release 16. In the Release 16 NR-U design, Release 15 NR design is
the baseline, while channel access mechanism and various enhancements are introduced
to support efficient operation in unlicensed bands. Many features introduced for LTE-LAA
are also ported to Release 16 NR-U, but the scope of Release 16 NR-U is greatly expanded
to cover more deployment scenarios including CA, dual-connectivity (DC) and standalone
(SA), as captured in the work item description, repeated below.
❑ Scenario A: Carrier aggregation between licensed band NR (Primary Cell [PCell])

and NR-U (Secondary Cell [SCell]).
o NR-U SCell may have both DL and UL, or DL-only.
o In this scenario, NR PCell is connected to 5G-CN.
❑ Scenario B: Dual connectivity between licensed band LTE (PCell) and NR-U
(Primary Secondary Cell [PSCell])
o In this scenario, LTE PCell connected to EPC as higher priority than PCell
connected to 5G-CN.
❑ Scenario C: Standalone NR-U
o In this scenario, NR-U is connected to 5G-CN.
❑ Scenario D: A standalone NR cell in unlicensed band and UL in licensed band (single

cell architecture).
o In this scenario, NR-U is connected to 5G-CN.
❑ Scenario E: Dual connectivity between licensed band NR and NR-U.
o In this scenario, PCell is connected to 5G-CN.
As a result, Release NR-U can be deployed with CA to licensed carriers to improve data
rates with the assistance of licensed band as in LTE-LAA, and can also be deployed by
operators without licensed spectrum or operators not tightly integrating the licensed and
unlicensed carriers, to support more flexible business models.
Release 16 NR-U targets both 5 GHz and 6 GHz bands. For the 5GHz band, a similar
coexistence evaluation campaign as in LTE-LAA has been conducted with observations
that in most cases, the NR-U deployment will not degrade the performance of co-deployed
Wi-Fi systems. For the 6GHz band, because both NR-U and Wi-Fi are new systems to be
deployed in the band, there is no commonly agreed fairness criterion.
Overview of NR-Unlicensed Design
In the development of Release 16 NR-U, the Release 15 NR was used as the baseline, with
channel access mechanism defined and various enhancements introduced to support more
efficient operation under unlicensed band requirements. This section discusses the
following aspects:
❑ Channel access mechanism

❑ Waveform changes for operating in unlicensed band
❑ DRS transmission
❑ HARQ enhancements
❑ MAC enhancements
❑ Upper Layer enhancements
Channel access
Release 16 NR-U supports two channel access operation modes: dynamic channel access
mode (corresponds to Load Based Equipment in ETSI EN 301 893222) and semi-static
channel access mode (corresponds to Frame Based Equipment in ETSI EN 301 893).
For dynamic channel access mode, the following Listen Before Talk (LBT) mechanisms
are defined:
❑ Cat 4 LBT with a contention window (Type 1)
❑ Cat 2 LBT with 25 µs gap (Type 2A)
❑ Cat 2 LBT with 16 µs gap (Type 2B)
❑ Cat 1 LBT with no more than 16 µs gap without channel sensing (Type 2C)
A Cat 4 LBT is composed of a 16 µs initial deferral followed by a countdown stage with a

step of 9 µs and the number of countdown depends on the channel access priority class
of the traffic. The Cat 2 LBT with 25 µs gap and 16 µs gap are defined in Figure 76. The
rules to use these LBT mechanisms are summarized in the following four tables. To
summarize, both gNB and UE can acquire a Channel Occupancy Time (COT) with Cat 4
LBT, while a gNB or UE can share the COT acquired by the other node with Cat 2 or Cat 1
LBT under different conditions. The only exception is the transmission of discovery
Reference Signal (RS), which includes the transmission of Synchronization Signal Blocks
(SSBs) and other non-unicast control and data, where under some restriction, 25 µs cat
2 LBT can be used to acquire the COT.
Figure 76: Type 2A and Type 2B LBT for Dynamic Channel Access Mode
222
ETSI, ETSI EN 301 893 “5 GHz RLAN; Harmonised Standard covering the essential requirements of
article 3.2 of Directive 2014/53/EU.”

Table 17: Channel Access Mechanisms for gNB to Acquire a COT
Cat 2 LBT Cat 4 LBT
DRS alone or when the DRS duty cycle <= 1/20, When DRS duty cycle is > 1/20, or
multiplexed and the total duration is up to 1 total duration > 1 ms
with non- ms: 25 us Cat 2 LBT is used (as in
unicast data LAA) Any channel access priority class
(e.g. OSI, value can be used
paging, RAR)
DRS N/A Channel access priority class is

multiplexed selected according to the
with unicast multiplexed data
data
Physical N/A Channel access priority class is

Downlink selected according to the
Control multiplexed data
Channel
(PDCCH) and
Physical
Downlink
Shared
Channel
(PDSCH)
Table 18. Channel Access Mechanisms for gNB for Additional DL Transmission in a
gNB Acquired COT
Cat 1 Immediate Transmission Cat 2 LBT
When the gap from the end of the scheduled When the gap from the end of the scheduled
UL transmission to the beginning of the DL UL transmission to the beginning of the DL
burst is up to 16 msec burst is larger than 16 msec but not more
than 25 us
Table 19. Channel Access Mechanisms for UE to Acquire a COT
Cat 4 LBT
PUSCH (including at least UL-SCH with Channel access priority class is selected
user plane data) according to the data
UCI-only transmission on PUSCH Cat4 with lowest channel access priority class
value
SRS-only Cat4 with lowest channel access priority class

value

Cat 4 LBT
RACH-only Cat4 with lowest channel access priority class

value
PUCCH-only Cat4 with lowest channel access priority class

value
Table 20. Channel Access Mechanisms for UE to Transmit in a gNB Acquired COT
Cat 1 Immediate Cat 2 LBT

transmission
When the gap from For any of the following cases:

the end of the DL
transmission to the • When the gap between any two successive scheduled/granted
beginning of the UL transmissions in the COT is not greater than 25 msec
burst is not more • For the case where a UL transmission in the gNB initiated COT
than 16 msec is not followed by a DL transmission in the same COT
o Note: the duration from the start of the first
transmission within the channel occupancy until the end
of the last transmission in the same channel occupancy
shall not exceed 20 ms.
For semi-static channel access, in Release 16 NR-U, only gNB can contend for the channel
as a fixed frame period boundary with period of 1ms, 2ms, 2.5ms, 4ms, 5ms, or 10ms. A
fixed frame period contains an idle period at the end with length being at least 5% of the
fixed frame period length or 100 µs, whichever is longer.
Figure 77. Fixed Frame Period Structure of Semi-Static Channel Access
The channel access rules are summarized in Table 21. To summarize, only gNB can
contend for the channel at the beginning of the fixed frame period, and a UE can share
the gNB COT for transmission if gNB DL transmission is detected in the earlier part of the
same COT.
Table 21. Channel Access Mechanisms for gNB and UE in Semi-Static Channel
Access Mode
Cat 1 LBT Cat 2 LBT
gNB to initiate COT N/A At fixed location right before

fixed frame period

gNB transmit another DL If gap from previous DL/UL If gap from previous DL/UL
burst in gNB COT burst is within 16us burst is more than 16us
UE to initiate COT N/A (UE cannot initiate COT in Rel.16 FBE)
UE to transmit UL burst in If gap from previous DL/UL If gap from previous DL/UL
gNB COT burst is within 16us burst is more than 16us
Waveform changes
The waveform design for NR-U is subject to two set of requirements: The per MHz Power
Spectral Density (PSD) limitation (10dBm/MHz) and the OCB requirement (the UE needs
to occupy more than 80% of the bandwidth). To address these requirements, 3GPP
introduced wider-band transmissions for the Physical Random Access Channel (PRACH),
Physical Uplink Control Channel (PUCCH), and Physical Uplink Shared Channel (PUSCH).223
For PRACH, on top of the Release 15 NR of length 139 sequence for PRACH for 15KHz and
30KHz SCS, Release 16 NR-U also introduced length 571 sequence and length 1151
sequence for 30KHz and 15KHz Subcarrier Spacing (SCS) respectively. In this way, the
transmission of PRACH occupied about 20MHz bandwidth and the transmission power can
take full advantage of the 10dBm/MHz PSD limitation and 23dBm maximum transmit
power to support relatively larger cell radius. On the other hand, the legacy length 139
sequence PRACH is still supported, and for smaller cells without uplink link budget issue,
multiple frequency domain PRACH occasions can be supported within one 20MHz channel
to support higher PRACH capacity.
Figure 78. NR-U PRACH for 30KHz SCS
For PUCCH and PUSCH, Physical Resource Block (PRB) interlace structure is introduced to
meet OCB requirement and boost transmit power under PSD limitation. For 30KHz SCS,
M=5 interlaces are defined. For 15KHz SCS, M=10 interlaces are defined. Figure 78 below
illustrates how interlaces are defined for 30KHz SCS. The interlaces are defined with
respect to point A, and one interlace is formed by set of resource blocks (RB) M RBs apart.
223
3GPP, “NR; Physical channels and modulation”, TS 38.211.
.

Figure 79. PRB Interlace Definition with 30KHz SCS
The concept of “RB set” is also introduced which approximately corresponds to one 20MHz
channel. For PUSCH, the resource allocation is defined by continuous RB sets and the set
of interlaces. Figure 80 shows an example with PUSCH allocated over one interlace across
two RB sets in which the RBs in the assigned interlace over the two RB sets and the guard
band between the assigned RB sets are allocated for PUSCH.
Figure 80. Illustration of PUSCH Resource Allocation of One Interlace over Two
Adjacent RB Sets
For PUCCH, Release 15 NR PUCCH format 0/1/2/3 are extended to PRB interlace waveform
similar to PUSCH but constrained within one RB set. PUCCH format 0/1 in Release 15 is
single RB only, and in Release 16, they are extended to one interlace with 10 or 11 RBs.
PUCCH format 2/3 in Release 15 are already multiple RBs but in continuous RBs up to 16
RBs. In Release 16, they are extended to occupy one or two interlaces. If one interlace is
used, frequency domain OCC and pre-Discrete Fourier Transform (DFT) Orthogonal Cover
Code (OCC) are introduced for PUCCH format 2 and 3 respectively to improve the
multiplexing capacity.
DRS transmission
Discovery RS (DRS) is a concept introduced for NR-U to deliver critical information

including PSS/SSS/PBCH blocks (SSB) and critical system information including System
Information Block 1 (SIB1). In NR, for sub-7GHz bands, up to 8 SSBs can be transmitted
every 20ms to support beam sweeping with different SSB positions. There is no quasi-
colocation (QCL) relationship across up to 8 SSBs within one cycle, but SSBs at the same
position in different cycles are assumed to be QCL’ed.
For unlicensed band operation, the gNB transmission are subject to LBT, so there is a
chance that the SSBs cannot be transmitted due to LBT failure. There are two
enhancements introduced to support a more reliable delivery of these critical system
information:
❑ Cat 2 LBT can be used to start the DRS transmission if the duty cycle of the DRS
is no larger than 1/20 and the length of the DRS is no longer than 1ms
❑ Expand up to 8 SSB positions in 20ms cycle (in Rel-15) to up to 20 candidate SSB

positions every 20ms to allow more transmission opportunities

The first enhancement is introduced simply to allow higher chance for gNB to pass LBT by
using Cat 2 LBT instead of a more stringent Cat 4 LBT, so DRS transmission has higher
priority than other control/data transmission.
The second enhancement attempts to increase the chance for one SSB beam to be
transmitted under possible LBT failures. In Figure 81, the concept is illustrated. Out of 20
candidate SSB positions for 30KHz SCS (up to 10 candidate positions for 15KHz SCS), the
gNB will indicate a QCL relationship between the candidate positions such that every 1, 2,
4, or 8 candidate SSBs positions are QCL’ed. In the example in Figure 81, every 8’th
candidate SSB positions are QCL’ed. The gNB can attempt channel access before each
candidate SSB position, and if LBT passes, it can transmit SSB in the next up to 8 candidate
SSB positions. For example, if LBT passes before candidate SSB position 0, gNB can
transmit SSB in candidate SSB position 0 through 7. If LBT fails before candidate SSB
position 0, but passes before candidate SSB position 10, the gNB can transmit SSB in
candidate SSB position 10 through 17. No matter how the gNB starts transmission, the
same candidate SSB positions across different cycle will be assumed to have the same
QCL relationship.
Figure 81. Illustration of SSB Transmission in NR-U
Planned
10
11
12
13
14
15
16
17
18
19
0
Transmitted
0
Transmitted
2
Transmitted
10
11
12
13
14
15
16
17
HARQ enhancements
For operation in unlicensed band, a major issue with Hybrid Automatic Repeat Request
(HARQ) operation is scheduled Acknowledgment/Negative Acknowledgment (ACK/NAK)
transmission may not happen due to LBT failure. In Release 15 NR, there is no ACK/NAK
transmission failure issue. If ACK/NAK is not received by the gNB, there is no mechanism
to retransmit the ACK/NAK. This was acceptable for Release 15 because the probability
for gNB failing to decode ACK/NAK is small and the gNB can schedule a retransmission of
PDSCH to collect ACK/NAK. For unlicensed band operation, because the channel is shared
with other nodes, the transmission of PUCCH or PUSCH carrying ACK/NAK is not
guaranteed, and the probability that the UE failed ACK/NAK transmission cannot be
ignored anymore. To solve this problem, three features have been designed:
❑ Non-numerical K1 indication for ACK/NAK transmission timing
❑ Enhanced dynamic codebook for HARQ ACK
❑ One-shot codebook for HARQ ACK

In Release 15 NR, in a DL grant, the UL ACK/NAK transmission timing is explicitly indicated
as K1, relative to the PDSCH transmission time. In Release 16 NR-U, a non-numerical K1
feature is introduced, such that the gNB does not provide a time to report ACK/NAK when
scheduling the Physical Downlink Shared Channel (PDSCH). Instead a special non-
numerical K1 is indicated in the DL grant scheduling the PDSCH. The UE will hold on to
the ACK/NAK corresponds to the PDSCH, and report ACK/NAK when a later PDSCH is
scheduled with another DL grant with proper K1 timing indicated. This feature is especially
useful for the case that the gNB DL transmission is close to the end of the gNB acquired
COT and if the UE ACK/NAK transmission is using a UE acquired COT with Cat 4 LBT, the
probability of transmission may not be guaranteed. So there can be benefit if the gNB
asks the UE to hold on to the ACK/NAK transmission and trigger the transmission later
when gNB acquires the COT again. The idea is illustrated in Figure 82.
Figure 82. Illustration of the Usage of Non-Numerical K1 for A/N Scheduling
The other two HARQ enhancement features are introduced to support UE ACK/NAK re-
transmissions. For enhanced dynamic codebook design, HARQ ACK group concept is
introduced. Within an HARQ ACK group, the already scheduled ACK/NAK (transmitted or
failed to transmit) can be triggered to be retransmitted. Figure 83 shows an example on
how the enhanced dynamic codebook works within one group. For the first PUCCH
transmission, gNB schedules the UE to report HARQ ACK for 3 PDSCH, but the LBT failed
for PUCCH transmission. In the next PUCCH occasion, gNB keeps sending PDSCH with DL
grant with the same NFI (new feedback indicator). Thus the UE will retransmit the HARQ
ACK already transmitted for the group, together with new HARQ ACK, corresponding to
the new PDSCH and the PUCCH, containing 7 HARQ ACK bits. This time the LBT passes
and the transmission is successful. In the next DL grant, the gNB will flip the NFI bit to
indicate to the UE the HARQ ACK for the group is already received and no need to be
included in the next PUCCH. Two groups of HARQ ACK can be defined and gNB can also
trigger the transmission of HARQ ACK for both groups.
Figure 83. Illustration of the Usage of Enhanced Dynamic Codebook
Additionally, Release 16 NR-U also defines a type-3 HARQ ACK codebook (one-shot HARQ
ACK feedback). In this codebook design, gNB can trigger the report of ACK/NAK for all
configured HARQ processes over all cells by setting a bit in a DL grant. This operation is
illustrated in Figure 84.

Figure 84. Illustration of the usage of one-shot HARQ ACK reporting
MAC enhancements
❑ At the Medium Access Control (MAC) layer, several features were introduced to
alleviate the impact of LBT mechanism on MAC procedures. The main ones are:
❑ Consistent LBT failure detection and recovery
❑ Changes to RACH procedures
❑ Configured Grant (CG) changes
If LBT failures occur consistently on the uplink, it is beneficial to stop further transmission
attempts on this cell and take further action e.g. by changing the cell. To this end, a new
mechanism to detect and recover from consistent UL LBT failures was introduced. The
mechanism is similar to the beam failure detection (BFD) and recovery where the detection
is per Bandwidth Part (BWP) and based on all uplink transmissions within this BWP.
Similar to BFD, a timer is re-started with every LBT failure indication from physical layer
to MAC; a counter is incremented with every LBT failure and is reset when the timer
expires. When the counter exceeds a configured threshold, consistent UL LBT failure is
declared on this BWP.
For failures on Secondary Cells (SCells), the UE reports this to the corresponding gNB
(Maser Node [MN] for Master Cell Group [MCG], Secondary Node [SN] for Secondary Cell
group [SCG]) via a MAC Control Element [CE]. For SpCell (Primary [PCell]] or Primary
Secondary Cell [PSCell)], when consistent uplink LBT failures are detected, the UE
switches to another UL BWP with configured RACH resources on that cell, initiates RACH,
and reports the failure via MAC CE. If failures happen on all such BWPs, SCG failure for
PSCell and RLF for PCell is declared.
During RACH procedure, LBT may fail for any of the RACH messages. The changes were
aimed at guaranteeing that the procedure still works for both 4-step RACH and 2-step
RACH.
If msg1 in 4-step RACH or msgA in 2-step RACH is not transmitted due to LBT failure, the
UE does not increment the power of the next attempt. If the UE is configured with the
above LBT detection/recovery, it also does not increment the transmission counter; in this
case, the failure of RACH is handled by the LBT detection/recovery.
The LBT failure for transmission of msg2 in 4-step RACH or msgB in 2-step RACH
necessitated longer monitoring windows at the UE to receive these messages. The
maximum window duration was increased from 10ms in Release 15 to 40ms. However,
this change caused possible ambiguity of determining the correct initial transmission for
which the response was intended. To solve this, the gNB signals a 2-bit timing information
for msg1 or msgA in the corresponding response message.

The changes to configured grant transmission are mainly due to autonomous
retransmission on Configured Grant (CG) resources, autonomous HARQ process ID and
Redundancy Version (RV) selection, and LBT failures. A new CG retransmission timer was
introduced where the UE is allowed to retransmit a packet on a CG after this timer expires
without any ACK from the gNB for the earlier transmission. The UE always prioritizes
ongoing retransmissions over new transmissions. Since the UE signals HARQ ID and RV
on CG transmissions, their selection is left to the UE implementation. NR-U also allows
multiple CGs on a BWP where all of them use the above retransmission feature and can
also share the same HARQ ID pool.
There were also relatively minor changes to other MAC procedures. For uplink multi-TTI
transmission, the UE is allowed to select a HARQ process and RV to transmit a generated
packet to handle the scenario when the LBT fails for the initial TTI occasions. To support
transmission of DL HARQ feedback during Discontinuous Reception (DRX) operation, if the
UE receives a non-numerical K1 (described in Section 3.4) where the actual Downlink
Control Information (DCI) for HARQ feedback will be coming later, monitoring of downlink
control channel was extended in time.
Upper layer enhancements
For Connected Mode mobility, the only change for NR-U is the support of RSSI and Channel
Occupancy (CO) measurements similar to LTE-LAA. These can be reported periodically or
along with other measurement reports.
For Idle/Inactive mode mobility, the rules for checking other cells for reselection were
relaxed to handle the cases when best cell on a frequency belongs to a different PLMN.
This is a possible scenario in NR-U since multiple operators can share the same spectrum
without any coordination as long as they meet the channel access rules. To further help
the UE consider only the cells of the home or equivalent PLMN in reselection, a “white-list”
of such neighbor cells is broadcasted.
In Release 15 NR, the UE has a single Paging Occasion (PO) for every DRX cycle in
Idle/Inactive mode. Since LBT may fail during a paging transmission attempt, multiple
PDCCH monitoring occasions were introduced for NR-U. This allows the gNB to transmit
the paging message when LBT is not successful at the first instance. As monitoring of
multiple occasions increases UE power, gNB can let the UE stop further monitoring when
there is no page for that UE by transmitting a Short Message on paging channel with a
newly introduced bit for this purpose. The UE can also stop monitoring when it detects a
paging for other UEs with the assumption that the gNB had access to the channel and thus
there is no page for itself.
Similar to LTE-LAA, Channel Access Priority Class (CAPC) can be configured for each data
radio bearer (DRB). The signaling bearers (except for SRB2) always use the highest
priority CAPC. The gNB assigns the CAPC by taking into account the specified mapping
between 5QI (QoS indicator) of QoS flows in a DRB. The UE uses this configuration to
determine the CAPC when not signaled by the gNB directly. This applies to all CG
transmissions and some dynamic grants, where the UE selects the lowest priority CAPC
among the multiplexed data flows. The exception is when signaling data is transmitted in
which case the CAPC of the packet is same as the CAPC of the highest priority signaling
bearer.
Release 16 NR-U also supports access restrictions, policing, and charging for all supported
deployment scenarios. For example, a network can enforce access restrictions for shared
spectrum during registration procedure or as part of mobility restrictions based on the

UE’s subscription or other policies. In addition, charging for data usage on shared
spectrum for both as primary or secondary RAT (MN or SN) is supported.
5G NR Cellular Positioning in Detail 224

For an overview, refer to the section in the main part of this paper, “5G NR Cellular
Positioning.” This appendix section explains NR positioning in technical detail suitable for
readers who already have a good understanding of 5G NR.
Location technologies continue to ask for increasingly stringent requirements on accuracy,

latency, efficiency and availability. In many scenarios, achieving such targets, especially
with regards to accuracy, would require a combination of multiple technologies, including:
GNSS based solutions, radio-technologies (e.g. LTE networks, Wi-Fi networks, terrestrial
beacon systems, etc.), Inertial Measurement Units (IMU) or sensors. All these
technologies are expected to play a significant role in achieving the location requirements
in the future.
Inside the location technology ecosystem, the 3GPP NR radio-technology is uniquely

positioned to provide significant value in terms of reaching the location requirements due
to its operation in both low and high frequency bands (i.e. FR1 and FR2), the utilization of
massive antenna arrays which provide additional degrees of freedom and the large
bandwidths (e.g., 100 MHz in FR1 and 400 MHz in FR2). The possibility to use wide signal
bandwidth in low and especially in high frequency bands brings new performance bounds
for user location for well-known positioning techniques based on OTDOA, UTDOA, E-Cell-
ID etc., utilizing timing measurements to locate a UE, but also new technologies
introduced in the NR framework (e.g., Multi-RTT, AoD, AoA). The advances in massive
MIMO open up additional degrees of freedom for accurate user location by exploiting
spatial and angular domains of propagation channels in combination with time
measurements that were used in previous cellular technologies.
The NR positioning technologies supported in 5G NR Rel-16 can be categorized in 3 main

items: DL-only, UL-only and DL+UL positioning methods:
Downlink (DL) based positioning:
❑ DL Time Difference of Arrival (DL-TDOA)
❑ DL Angle of Departure (DL-AoD)
Uplink (UL) based positioning:
❑ UL Time Difference of Arrival (UL-TDOA)
❑ UL Angle of Arrival (UL-AoA)
❑ Combined DL and UL based positioning:
❑ Round-trip time (RTT) with one or more neighbouring base station (multi-RTT)
In addition, Enhanced Cell-ID (E-CID) is supported based on radio resource management

(RRM) measurements. The various NR positioning methods may be supported in one or
more of the following positioning modes:
224
This section on positioning is a 2020 Qualcomm contribution.

❑ UE assisted mode: the UE reports position measurements, and the location
server performs the computation of a location estimate. The network may provide
assistance data to the UE to enable position measurements.
❑ UE based mode: the UE performs both position measurements and computation

of a location estimate and assistance data for one or both of these functions is
provided to the UE.
❑ Network based mode: A location server derives location measurements using

signals transmitted by a UE and computes a location estimate. The transmission of
the UE’s signals may or may not be transparent to the UE.
Downlink Time Difference of Arrival (DL-TDOA) Positioning
This method is based on Time of Arrival (TOA) measurements of DL signals, DL Positioning

Reference Signals (DL PRS) described in detail in Section 5.1, which are transmitted from
multiple Time Relative Positionings (TRPs). Using the TOA measurements at the UE, Time
Difference of Arrival (TDOA) measurements are calculated using a common TOA reference
(which can be the estimated TOA associated with a specific TRP, or even with a specific
beam of a TRP). The calculated TDOAs are referred to as DL Reference Signal Time
Difference (DL-RSTD) measurements. The principle of NR DL-TDOA is similar to
corresponding methods from previous generations of cellular systems, e.g., Observed
Time Difference of Arrival (OTDOA) in LTE and UMTS, Advanced Forward Link Trilateration
(AFLT) in CDMA, or Enhanced Observed Time Difference (E-OTD) in GSM.
To assist the UE in performing the DL-RSTD measurements, the UE receives assistance

data from a Location Server (LMF). The assistance data may be delivered in a dedicated
(UE-specific) manner or a broadcast manner (See Section 6.2). The DL-TDOA assistance
data contains a list of candidate TRPs together with their DL-PRS signal configurations.
Multiple DL-PRS resources can be configured to be transmitted from each candidate TRP.
For example, each PRS resource may correspond to a different transmit beam of the TRP,
a feature that is especially useful for mid/high-band scenarios in FR1 and mmW
deployments. The UE then tries to detect the DL-PRS from each candidate TRP and
measures the TOAs from which the TDOAs are calculated.

❑ In case of UE-assisted mode, the UE provides the measurements to the location
server
❑ In case of UE-based mode, the location assistance data include the geographical
locations of the candidate TRPs and the Real Time Differences (RTDs). With this
information, the UE is able to calculate the location (possibly using other location
measurements available at the UE in case of "hybrid location") and may provide
the location estimate to the server.
Downlink Angle-of-Departure (DL-AoD) Positioning
Downlink Angle-of-Departure (AoD) positioning is based on per-beam RSRP

measurements of DL-PRS performed at the UE (DL-PRS Reference Signal Received Power
(DL-PRS RSRP) measurement). In this method, the TRPs transmit beamformed DL-PRS in
a beam sweeping manner that may be measured by the UE. A UE may report up to 8
RSRP measurements, derived on different DL-PRS resources, or in other words, derived
on different Tx beams of the same TRP. The UE RSRP measurement vector can be
considered as a "RF fingerprint" and AoD calculation may be performed using a pattern
matching approach. By comparing the measured DL-PRS RSRP vector to the fingerprints
of all pre-stored angles, a e.g. maximum likelihood algorithm can be used to estimate the
Azimuth Angle of Departure (AOD) and Zenith Angle of Departure (ZOD). As with any
pattern matching approach, a data base of reference "fingerprints" must be available,
which in this case, requires the beam spatial information.
Similar to DL-TDOA, the UE requires assistance data for performing the measurements,
including a list of candidate TRPs together with the DL-PRS signal configuration. In FR2,
an additional feedback from the UE is supported, which can be used to inform whether 2
or more RSRP measurements were derived using a fixed RX beam. Such an additional
reporting is needed for DL-AoD method because the UE may have to perform other
operations for normal communication in parallel to positioning measurements, and
therefore it may not always be possible to use a fixed/same RX beam for the DL-PRS RSRP
measurements. If the UE is not using the same Rx beam when receiving multiple PRS
resources of the same TRP, then the RSRPs measurements are not only representative of

the DL Beam sweeping and the RF pattern of the gNB, but they are affected by the UE-
chosen Rx beam.
For UE-based mode, the UE requires additional assistance data including the TRP
geographic locations (similar to DL-TDOA) and the DL-PRS beam information (e.g., beam
azimuth, elevation). However, TRP synchronization information (e.g., RTDs) are not
required for DL-AoD positioning, because DL-AoD also be deployed in loosely synchronized
networks.
Uplink Time Difference of Arrival (UL-TDOA) Positioning
The UL Time Difference of Arrival (UL-TDOA) is in principle the uplink/downlink dual of the
DL-TDOA method: The UE transmits an UL signal (in NR Rel-16, this corresponds to the
SRS for Positioning described in Section 4.2), which is received by multiple TRPs (serving
and neighboring TRPs), each one determining their corresponding TOA. The estimated
TOAs, which are measured and reported with respect to a relative common time scale,
are referred to as UL Relative Time of Arrival (RTOAs). Similar to DL-TDOA, where the DL
transmission of different TRPs must be synchronized, the UL reception points for UL-TDOA
must also be synchronized.
In order to obtain the uplink measurements, the TRPs need to know the transmission
properties (bandwidth, symbols, scrambling sequence) of the SRS signals transmitted by
the UE for the time period required to calculate uplink RTOA measurements. The TRPs
receive this information from the location server, such that the TRPs are able to measure
the SRS and derive the RTOA measurements.
The RTOA measurements of all participating TRPs are sent to the LMF, which calculates
TDOAs; a procedure that cancels the unknown transmit time of the UE. Then, similar to
DL-TDOA, position calculation can be based on hyperbolic trilateration.
UL-TDOA is a network-based positioning method, where the positioning operation can be

transparent to the UE, especially for the case of UEs transmitting Rel-15 uplink signals
(NR Rel-15 SRS and not the NR Rel-16 SRS for Positioning); The UE is only required to
transmit the UL signal, but does not perform any positioning measurements.
Uplink Angle-of-Arrival (UL-AoA) Positioning
Uplink Angle-of-Arrival (AoA) positioning is another network-based positioning method

(similar to UL-TDOA), in which a TRP (either serving or neighbouring TRP) uses the
received signal transmitted by the UE to derive the angle of arrival (AOA) in azimuth and
zenith. Similar to UL-TDOA, if the UL signal is defined for communication purposes (NR
Rel-15 Sounding Reference Signals), the UL-AoA positioning can be transparent to the UE.
In NR Rel-16 however, the SRS for positioning was designed for all UL measurements
related to positioning and can be reused for UL-AoA, UL-TDOA and M-RTT positioning
(Section 3.5).

Estimating the angle of arrival requires directional antennas at the TRPs, which are already
readily available at the NR gNBs in both FR1 and FR2 (e.g., in Massive MIMO
deployments). A straightforward way to estimate the AoA is to perform receive beam
steering; electronically steer beams in a set of fixed directions and look for peaks in the
output power. Such approaches typically may have limited angular resolution. Another
way is to perform digital beam steering, or use subspace-based methods, e.g., multiple
signal classification (MUSIC) algorithm, or estimation of signal parameters through
rotational invariance technique (ESPRIT). These AoA estimation techniques require digital
samples of each antenna element output.
The procedures for UL-AoA positioning are similar to UL-TDOA: The UE is triggered by the
network to transmit an UL signal and selected TRPs in the neighborhood of the UE are
configured by an LMF via NRPPa to listen to the UE transmission and measure the UL AoA.
However, compared to UL-TDOA no common time reference is needed at the TRPs, and
therefore, UL-AoA positioning is also suitable for loosely synchronized networks.
Multi-Round-Trip-Time (Multi-RTT) Positioning
With regards to timing methods supported in cellular technologies, both DL-TDOA and UL-
TDOA positioning require installing and maintaining hardware for very precise base station
time synchronization. Loosening these time synchronization requirements was one of the
reasons that NR Rel-16 introduced the Multi-cell RTT positioning method.

Specifically, Round-Trip-Time (RTT) positioning uses two-way time-of-arrival
measurements and requires in principle no time synchronization between TRPs, even
though in the reality some loose synchronization might be desired in order to reduce
interference and increase hearability from multiple transmission points. This time
synchronization requirement is similar to the TDD synchronization requirements (e.g.,
micro-seconds level synchronization instead of nano-seconds as in case of DL-TDOA and
UL-TDOA positioning).
Figure 85 illustrates the principle of obtaining distance information from two-way time-of-
arrival measurements (UL and DL measurements).
Figure 85: Principle of Multi-RTT using UL and DL measurements
The measurements to support multi-RTT are the UE Rx-Tx Time Difference and gNB Rx-
Tx Time Difference Measurement. In the example of Figure 85, the UE Rx-Tx Time
Difference corresponds to (t3-t0) and the e corresponds to (t1-t2), and therefore, the RTT
would be UE Rx-Tx Time Difference + gNB Rx-Tx Time Difference (note, the (t1-t2)
difference would be negative in this example, since t 2 occurs after t1).

From the above it should be noted that Multi-RTT positioning requires both DL and UL
procedures as illustrated in Figure 86, which shows a typical procedure on how such
operation could take place. Specifically, the following steps are envisioned:
❑ Step 1: the location server (LMF) may request the positioning capabilities of the
UE using the LPP Capability Transfer procedure.
❑ Step 2: In order to obtain UE UL signal information, the LMF may send a NRPPa
message to the serving gNB of the UE to request SRS for Positioning configuration
information for the UE.
❑ Step 3: The serving gNB determines the resources available for SRS for Positioning,
and configures the UE with the UL-PRS Resources at step 3a.
❑ Step 4: The serving gNB provides the SRS for Positioning configuration information
to the LMF in a NRPPa message.
❑ Step 5: The LMF then provides the SRS for Positioning configuration to the selected
gNBs in a NRPPa message. The message includes all information required to enable
the gNBs/TRPs to perform the UL measurements.
❑ Step 6: The LMF sends the DL PRS Assistance Data message to the UE
❑ Step 7: A Request Location Information message is sent to request the UE

measurements. The UE transmits the UL-PRS according to the time domain
behaviour of UL-PRS resource configuration form step 3a.
❑ Step 8: The UE performs the UE Rx-Tx Time Difference measurements from all
gNBs provided in the assistance data at step 6, and each gNB configured at step 5
measures the gNB Rx-Tx Time Difference based on UL transmissions from the UE.
❑ Step 9: The UE reports the UE Rx-Tx Time Difference measurements to the LMF
and
❑ Step 10: each gNB reports the gNB Rx-Tx Time Difference measurements to the
LMF.
❑ Positioning Estimation step: The LMF determines the RTTs from the UE and gNB
Rx-Tx Time Difference Measurements for each gNB for which corresponding UL and
DL measurements were provided at steps 9 and 10 and calculates the position of
the UE.
It should be noted that the procedure described above includes actually also the steps
that would be needed for DL-only positioning (DL-TDOA, DL-AoD) or UL-only positioning
(UL-TDOA, UL-AoA) as special cases; for DL-only positioning the steps 2, 3, 4, 5, 8b, and
10 are not needed, whereas for UL-only positioning, the steps 6, 7, 8a and 9 are not
needed.

Figure 86: Exemplary Multi-RTT Positioning Procedure.
Enhanced Cell-ID (E-CID) Positioning
Cell-ID (CID) positioning is another network-based technique that can be used to estimate
the position of the UE quickly, but typically with relative low accuracy. In the simplest
case, the position of the UE is estimated to be the position of the base station it is camped
on, however in 5G NR, the Enhanced Cell-ID (E-CID) refers to the positioning method in
which the Radio Resource Management (RRM) Measurements are being re-used for
position location of a UE (the measurements done for operations such as handover to a
neighbor cell, such as Reference Signal Received Power (RSRP) or Reference Signal
Received Quality (RSRQ)).

In the E-CID positioning, the UE would report the RRM measurements already available
(i.e., and not derived on NR Rle-16 Positioning reference signals) to the LMF.
Main PHY-layer Enhancements

DL Positioning Reference Signals (DL PRS)
Table 22: Usage of DL PRS and associated NR Positioning measurements and

methods
To facilitate support of
DL/UL Reference Signals UE Measurements the following positioning
techniques
Rel.16 DL PRS DL RSTD DL-TDOA
DL-TDOA, DL-AoD, Multi-

Rel.16 DL PRS DL PRS RSRP
RTT
Rel.16 DL PRS / Rel.16 SRS Multi-RTT

UE Rx-Tx time difference
for positioning
A variety of configurations are supported in the specification to enable NR Positioning to

be applicable in a variety of deployments (e.g., indoor, outdoor, sub-6, mmW). In short,
a DL PRS resource corresponds to a collection of resource elements arranged in a
particular time/frequency pattern inside which pseudo-random QPSK sequences are
transmitted from one antenna port of a TRP.
A UE can be configured with one or more DL PRS resource set(s) from each TRP. Each DL
PRS resource set consists of K≥1 DL PRS resource(s), each one corresponding to a Tx
beam. A DL PRS Positioning Frequency Layer is defined as a collection of DL PRS Resource
Sets which have the following common parameters:
❑ the same SCS and CP type

❑ the same value of DL PRS Bandwidth and the same center frequency
❑ the same value of comb-Size
A UE can be configured with up to 4 DL PRS Positioning Frequency Layers.
Figure 87: Structure of DL PRS configuration in NR
Within a slot, a DL-PRS resource can be configured to span 2, 4, 6, or 12 consecutive

OFDM symbols in any higher-layer configured downlink or flexible symbol anywhere in the
slot. With regards to the frequency domain pattern, a DL PRS resource has a comb-like
pattern, as illustrated in Figure 88, which means that a QPSK symbol is transmitted on
every Nth subcarrier, where N can take the values 2, 4, 6, or 12 (All potential combinations
of comb-type and number of symbols within a slot are shown in Table 23.
Table 23: Time/Frequency pattern of a DL PRS resource within a slot in NR
2 symbols 4 symbols 6 symbols 12 symbols
Comb-2 {0,1} {0,1,0,1} {0,1,0,1,0,1} {0,1,0,1,0,1,0,1,0,1,0,1}
Comb-4 NA {0,2,1,3} NA {0,2,1,3,0,2,1,3,0,2,1,3}}
Comb-6 NA NA {0,3,1,4,2,5} {0,3,1,4,2,5,0,3,1,4,2,5}
Comb-12 NA NA NA {0,6,3,9,1,7,4,10,2,8,5,11}
Example of a subset of the supported patterns are shown in Figure 88. It should be noted
that in all cases supported in NR, a DL PRS resource is transmitted in at least as many
OFDM symbols as the comb-type; for example, if the comb-type is 4, the PRS resource
spans at least 4 symbols. Such a design ensures that a UE can sample all the subcarriers
in the configured bandwidth to avoid time-domain aliasing and spurious peaks in the time-
domain channel response.

Figure 88: Examples of DL PRS patterns supported in NR Rel-16 Positioning
The minimum transmission bandwidth of PRS is 24 contiguous Physical Resource Blocks

(PRBs), and a maximum transmission bandwidth of 272 PRBs, which, for different SCS
corresponds to different Bandwidth in MHz: For 15 kHz subcarrier spacing, the minimum
DL-PRS bandwidth is about 5 MHz, and the maximum about 50 MHz. With a 120 kHz
subcarrier spacing, the DL-PRS bandwidth can be up to about 400 MHz.
A DL-PRS resource can be configured to be repeated across slots as follows:
❑ Using the configuration PRS-ResourceRepetitionFactor, one can control the number

of times each PRS Resource is repeated for a single instance of the PRS Resource
Set.
❑ Using the PRS-ResourceTimeGap, the offset in units of slots between two repeated
instances of a DL PRS Resource corresponding to the same PRS Resource ID within
a single instance of the DL PRS Resource Set is chosen.

Figure 89: Examples of DL PRS Patterns Supported in NR Rel-16 Positioning
Using the above two configurations, a variety of different types of DL-PRS resource
repetitions can be enabled, as shown in Figure X.4.1-4. Repetition of DL-PRS resources
has several purposes: First, it enables combining at the Receiver for the purpose of
coverage extension. Second, it enables Rx beam sweeping across the repetitions in FR2,
and third, enables the Muting feature of “Intra-instance Muting” as described later in this
section.
Similar to LTE, muting of DL-PRS Resources is also supported in NR Positioning: Muting

can turn-off DL-PRS Resources to reduce the interference in case of colliding DL-PRS
Resources across TRPs. Muting is signaled using a bit-map to indicate which configured
DL-PRS Resources are transmitted with zero-power. Two muting options are supported
for NR as illustrated in Figure 90.

Figure 90: Two Muting Options in NR Positioning

❑ Option 1: Inter-instance Muting (similar to LTE). Muting is applied on each
transmission instance of a PRS Resource Set. Each bit in the bit map corresponds
to a configurable number of consecutive instances of a PRS Resource Set controlled
by PRS Muting-Bit Repetition Factor, with values {1, 2, 4, 8}.
❑ Option 2: Intra-instance Muting. Each bit in the bit map corresponds to a single
repetition of the PRS Resource within an instance of a PRS Resource Set
It should be noted that Option 1 and Option 2 muting can also be used together, by
applying the logical AND operation (i.e., a DL-PRS Resource is transmitted when both bits
in Option 1 and Option 2 strings have the value 1).
UL Positioning Reference Signals (SRS for Positioning)
In NR Rel-16 Positioning, the UL Positioning Reference Signal is based on the NR Rel-15

Sounding Reference Signals (SRS) with enhancements and adjustments for positioning
purposes which are summarized later in this section. The SRS for positioning of NR Rel-
16 can be used for the all the NR positioning-related measurements and methods as shown
in Table 24.
Table 24: NR Positioning measurements and methods derived based on SRS for
Positioning
DL/UL To facilitate support of the

Reference gNB Measurements following positioning
Signals techniques
Rel.16 SRS for UL-TDOA

UL RTOA
positioning
Rel.16 SRS for UL-TDOA, UL-AoA, Multi-RTT

UL SRS-RSRP
positioning
Rel.16 SRS for Multi-RTT

positioning, gNB Rx-Tx time difference
Rel.16 DL PRS
Rel.16 SRS for UL-AoA, Multi-RTT

AoA and ZoA
positioning,
Similar to DL PRS resource, an SRS resource for positioning may span a consecutive
number of OFDM symbols (1, 2, 4, 8 or 12 consecutive OFDM symbols which can be
located anywhere in a slot), and the frequency-domain pattern has a similar frequency
domain staggering as that of the DL PRS resources. In contrast to DL PRS through, an
SRS for positioning is configured by the serving gNB and transmitted within the active UL
bandwidth part (BWP) of the UE. To identify which Radio resources should be used for the
transmission of the SRS for positioning, the serving gNB exchanges messages with
location server so that coordination across multiple reception points participating in a
positioning session (e.g. neighbouring TRPs) is possible. The specified combinations are
summarized in Table 25.

Table 25: Time/Frequency Pattern of an SRS Resource for Positioning within a Slot
in NR
Number of 1 2 4 8 12
symbols
Comb size
2 {0} {0, 1} {0,1, 0,1} N/A N/A
4 N/A {0, 2} {0,2,1,3} {0,2,1,3, 0,2,1,3} {0,2,1,3, 0,2,1,3,

0,2,1,3}
8 N/A N/A {0,4,2,6} {0,4,2,6,1,5,3,7} {0,4,2,6,1,5,3,7,0,4,2,6}
Figure 91: Examples of SRS for Positioning Patterns Supported in NR Rel-16

Positioning
Similar to Rel-15 SRS, an SRS for positioning can be configured for periodic, semi-
persistent (MAC-CE activated/deactivated), or aperiodic (DCI-based triggered)
transmission (whereas DL PRS resources are only periodic). A few main adjustments and
enhancements of NR SRS for Positioning compared to regular SRS are the following:
❑ Multi-symbol SRS resources for positioning are staggered in frequency as shown in

Table 25 and Figure 91.
❑ An SRS resource for positioning is a single port, whereas the regular SRS can be
multiple ports.
❑ Frequency hopping for SRS for positioning is not supported in Rel-16.
❑ Spatial relation indication for SRS for positioning is supported, but compared to
regular SRS, the SRS for positioning can have a spatial relation to a neighbour TRP.
Specifically, as it is well understood, for positioning, the transmitted signal needs
to be received also by neighbouring TRPs. To determine an appropriate Tx beam
towards neighboring TRPs, the UE, using reciprocity, may train the Rx beam when
receiving DL reference signals from the neighboring TRPs (either SSB or DL-PRS),
and then use the reciprocal Tx beam to transmit the SRS for positioning.

❑ Only open-loop power control is supported, including support for (fractional) path-
loss compensation to serving and neighboring TRPs, where the UE estimates the
uplink path loss for serving and neighboring TRPs based on downlink
measurements and sets the SRS transmit power accordingly.
Main Upper-layer Enhancements

LPP for NR Positioning
For the positioning procedures and signaling between a 5G Core Network (5GCN) location
server, referred to as Location Management Function (LMF), and a target UE, the Long-
Term Evolution (LTE) Positioning Protocol (LPP) is being used [4]. Interestingly, even
though LPP was initially specified for 3GPP LTE Release 9, it has been relatively easy to be
extended with the new technologies as they are being specified (e.g. NR Positioning,
sensors, Bluetooth, WiFi, AGNSS, and more as shown in Table 26.
Table 26: LPP Supported Positioning Methods
In LPP, a target UE and the LMF communicate in transaction basis, with each transaction
being considered as an independent procedure. It is possible that multiple procedures are
in progress at a given instance. Each procedure has a single objective, e.g., transfer of
assistance data, exchange of capabilities, or positioning of a UE. LPP supports all NR
Positioning methods presented in Section 3 and supports capability exchange for UL
positioning (UL-TDOA, UL-AoA), even if the SRS for positioning are actually configured by
the serving gNB of the target UE through the RRC protocol.

Figure 92: Example of a UE Positioning Procedure in LPP
For example, a typical positioning procedure is expected to start with the LMF requesting
the positioning capabilities (Step 1 & 2 in Figure 92). Using these capabilities, the LMF
may decide the positioning method(s) to configure to the UE. In Step 3, the LMF provides
the assistance data to the UE which is different for different methods (e.g., a list of TRPs
and corresponding PRS configurations). At Step 4, the LMF then sends a request of
positioning measurements, and at Step 5, the UE then performs the requested positioning
measurements (in case of UE-based positioning, the UE calculates the position at Step 6).
Finally, at Step 7, the UE provides the position estimate to the LMF (in case of UE-based
positioning), otherwise the UE reports the position measurements and the LMF estimates
the UE positioning at Step 8.
UE-based NR DL-only positioning methods
In LTE, OTDOA relies on the network server to solve for the target device position (i.e.,
UE-assisted Positioning). This is typically due to the confidential treatment of the network
information by the operators, such as TP locations and network synchronization. However,
this limits the implementation of UE-based positioning and their hybridisation with e.g.
RAT-independent methods (e.g., GNSS, sensors, etc.). For instance, for applications that
require an immediate response at the mobile device, the latency of the position calculation
in UE-assisted positioning is inherently longer than UE-based methods.
NR Rel-16 positioning introduced, in addition to UE-assisted TDOA (similar to LTE), the

support of UE-based positioning for DL-only (DL-TDOA and DL-AoD) methods for the
following reasons:
❑ Enables Low latency positioning: Position fixes can be produced significantly faster
after making the measurements. A UE-assisted alternative would experience delay
through RAN and Core Network.

❑ Improves scalability: Data reduction can be done on the UE, and there’s no
inherent computational capacity limit involved with adding more UEs. The UE-
assisted alternative requires the location management function serving a multitude
of users, and the LMF would have an upper capacity limit.
❑ Enables new use cases: NR is driven by commercial requirements with support for
location-hungry applications on the UE. Mobility use cases include UE tracking, XR,
automotive, factory automation, UE navigation, gaming, etc.
❑ Enables improved performance of existing use cases: Fusion with other

measurement types available on the UE can improve accuracy, availability,
responsiveness, integrity and overall reliability of positioning
❑ Decreases UL overhead: If the UE is also the consumer of the location information,

no UL data is required. Even if the UE is not the end-user of the location
information, the UE location data content is small. Conversely, the UE-assisted
alternative would require reporting of a multitude of measurement information with
significantly larger data volume.
UE-based DL-only NR Positioning methods are enabled in NR Rel-16 Positioning by

introducing support of sending the necessary assistance data (either in dedicated mode
or broadcast mode) which include:
❑ Physical 3D location of the TRPs: the location server can provide the coordinates
of the antenna reference points (ARP) for a set of TRPs. For each TRP, the ARP
location can be provided for each associated PRS Resource ID per PRS Resource
Set.
❑ Beam Information of the PRS resources: the location server can provide spatial
direction information of the DL-PRS Resources (e.g. azimuth and elevation angle
of the boresight direction in which a DL-PRS Resource is transmitted on)
❑ Real Time Difference (RTD): the relative synchronization difference between two
TRPs.
Broadcast of Assistance Data
Broadcast of assistance data corresponds to the transmission of assistance data in

positioning System Information Blocks (posSIBs). Such signaling can can reduce network
signaling and load on network elements, reduce latency in obtaining assistance data at a
UE, and reduce UE signaling and power usage. Ciphering of the broadcast assistance data
is also supported in NR, which enables controlled access to location assistance data by an
network operator.
There are actually 3 posSIBs that are defined for the purpose of DL-only positioning (DL-
TDOA and DL-AOD) which include the following 3 assistance data elements:
❑ PRS configuraiton of the TRPs
❑ Location Information of the TRPs
❑ Real Time Difference (RTD)
For each assistance data element, a separate posSIB-type is defined. PosSIBs are actually
carried in RRC System Information (SI) messages and can either be periodically

broadcasted; or broadcasted on-demand (i.e. upon request from UEs); or sent in a
dedicated manner to UEs in RRC_CONNECTED (upon request from UEs).
To understand how this feature works, we provide below a typical example of the steps
involved:
1. The LMF prepares the posSIBs and scheduling information. The LMF may cipher
the assistance data and segments large assistance data elements.
2. The LMF sends the assistance data groups (per SI message) to the NG-RAN
together with scheduling information.
3. The NG-RAN includes the posSIBs in RRC System Information Messages and
corresponding scheduling information in SIB1.
4. If the posSIB types were ciphered, the LMF provides the used ciphering keys,
together with a validity time and validity area for each key.
5. The ciphering key data are provided to the UE in a Registration Accept message.
Figure 93: Example Procedure of Broadcast of Assistance Data for NR Positioning
NR Positioning Outlook
In the previous sections, we summarized the key technologies of NR rel-16. With regards
to the accuracy that can be met using these technologies, several evaluations took place
across companies in various simulations scenarios (both indoor and outdoor) [6], where
it was concluded that accuracy targets suitable for regulatory and some commercial use
cases can be met. For example, the following horizontal positioning errors were used as
commercial accuracy targets for indoor and outdoor respectively:
❑ Horizontal positioning error < 3m for 80% of UEs in indoor deployment scenarios.
❑ Horizontal positioning error < 10m for 80% of UEs in outdoor deployments
scenarios.

It should be noted however, that in many scenarios, even more strict targets can be met.
The simulation campaign and results appearing in [6] took place before NR Rel-16
Positioning hadn’t started yet. Recent evaluation results that are performed for the
purpose of identifying future enhancements of NR cellular positioning demonstrate that
NR Rel-16 Positioning technologies can meet even much stringest accuracy targets. We
now provide a few examples for different scenarios:
❑ 3GPP UMI channel models at 4 GHz carrier frequency (FR1), 100 MHz PRS
bandwidth and 30 KHz SCS for ISD of 200 m and outdoor UEs. The 3GPP NR Rel-
16 Evaluation Assumptions shown in [6] were used. In addition to the assumptions
shown in that document, both realistic network sync error, and RTT group delay
calibration error (due to gNB/UE Rx-Tx measurements) are included according to
truncated Gaussian distributions [-2*T1,2*T1] nsec where T1 denotes the RMS
error. Both DL-TDOA and Multi-RTT results are shown. We make the following
observations:
• Multi-RTT with realistic group delay calibration error achieves a better

horizontal accuracy performance compared to DL-TDOA with realistic network
sync error.
• A hybrid positioning method of Multi-RTT with AoA may achieve a horizontal

accuracy of < 3 meters for 80% of the outdoor UEs.
❑ 3GPP UMI channel models at 30 GHz carrier frequency (FR2), 400 MHz PRS
bandwidth and 120 KHz SCS for ISD of 200 m and outdoor UEs. Both DL-TDOA
and Multi-RTT results are shown. As it was the case for the UMI FR1 scenario shown
above, we observe that Multi-RTT achieves a better horizontal accuracy
performance compared to DL-TDOA.

❑ 3GPP Indoor Factory channel model at 3.5 GHz (FR1) and 38 GHz carrier frequency
(FR2), 400 MHz PRS bandwidth and 120 KHz SCS for ISD of 200 m and outdoor
UEs.

What is next?
3GPP NR Rel-16 specified several positioning technologies to support both regulatory and
commercial use cases. This was however just the first release of NR cellular positioning;
the 5G service requirements specified in [1] include High Accuracy Positioning
requirements, which are characterized by very ambitious system requirements for
positioning accuracy in several important verticals of NR. To address the higher accuracy
positioning requirements resulting from new industry verticals, NR Positioning in Rel-17 is
currently evaluating enhancements in NR Rel-16 cellular positioning to meet the following
exemplary performance targets with regards to accuracy:
General commercial Use Cases of NR Rel-17 For IIoT Use Cases of NR Rel-17 Positioning
Positioning
sub-meter level position accuracy (< 1 m) position accuracy < 0.2 m
With regards to latency, the target latency requirement is < 100 ms; for some IIoT use
cases, latency in the order of 10 ms is desired for NR Rel-17 positioning.
Conclusions
5G NR Rel-16 Positioning technologies represent a significant new opportunity beyond

Emergency Services and regulatory services. Improved accuracies that can meet several

commercial target requirements are possible mainly due to the 5G NR wider bandwidth
(e.g. 100 MHz in FR1 and 400 Mhz in FR2) and the large number of antennas at the NR
gNBs (e.g., Massive MIMO in both FR1 and FR2). Several NR Positioning methods can be
seamlessly combined with RAT-independent methods (e.g., sensors, WiFi, A-GNSS), but
also within the NR Native positioning methods (e.g., Angle of Arrival/Departure
measurement methods can work complementary to time-based methods). Lastly, NR
Positioning has introduced several methods that do not require tight network
synchronization (single-cell RTT / multi-cell RTT / AoA / AOD) and therefore decrease the
network cost of deploying such features, and making meter-level, and sub-meter-level
accuracies possible with cellular positioning.
References
[1] 3GPP TS 22.261: Service requirements for the 5G system; Stage 1.
[2] 3GPP TS 23.273: 5G System (5GS) Location Services (LCS); Stage 2.
[3] 3GPP TS 38.305: Stage 2 functional specification of User Equipment (UE) positioning
in NG-RAN.
[4] 3GPP TS 37.355: LTE Positioning Protocol (LPP).
[5] 3GPP TS 38.455: NG-RAN; NR Positioning Protocol A (NRPPa).
[6] 3GPP TR 38.855: Study on NR positioning support.
[7] 3GPP TS 38.211: Physical channels and modulation.
[8] 3GPP TS 38.213: Physical layer procedures for control.
[9] 3GPP TS 38.214: Physical layer procedures for data.
[10] 3GPP TS 38.215: Physical layer measurements.
Dynamic Spectrum Sharing in Detail225

Driver for DSS
Dynamic Spectrum Sharing (DSS) enables smooth and efficient migration from 4G/LTE to
5G NR by giving both technologies instant access to the same spectrum. DSS design was
driven by the following requirements:
❑ It should be able to release as much of NR’s full potential as possible when LTE
traffic intensity is low.
❑ NR should have a minimum impact on LTE latency, coverage, and peak rate, at
least when NR traffic load is low.
❑ All legacy LTE devices should be able to access the network for the deployment to
be commercially sound. This implies it is not possible to change the LTE
specifications for NR/LTE spectrum sharing.
3GPP framework for DSS
225
This section based on contributions from AT&T and Ericsson.

3GPP did not define one monolithic solution for spectrum sharing, but rather a set of tools
that can be used for building a spectrum sharing solution for simultaneous operation of
LTE and NR. Some of the 3GPP defined tools serve the exclusive purpose of operating NR
and LTE on a common carrier. Other NR configurations, such as various PDCCH mappings
or demodulation reference signal (DMRS) positions, are vital for spectrum sharing.
The network node (eNB or gNB) operating in DSS mode rapidly allocates the
time/frequency resources for the actual user data transmission between LTE and NR,
depending on the number of users and priority of their data packets.
An NR device configured with “LTE CRS rate matching” is aware of the resource elements
in the time-frequency grid that carry LTE cell-specific reference signals (CRS) and it does
not decode NR data on these resource elements. CRS rate matching is available for the
NR data channel when using 15kHz subcarrier spacing. For higher subcarrier spacing, LTE
CRS rate matching on resource element level is not feasible, as signals transmitted with
different numerologies are not orthogonal and cross subcarrier interference would occur
between NR data and interleaved LTE reference signals.
In the UL, LTE applies a 7.5kHz (half a subcarrier) shift to all its UL transmissions. An NR
device operating with FDD and its UL with 15kHz numerology can be configured to apply
the same shift. Without a 7.5kHz shift, a frequency guard between LTE and NR UL is
needed.
The 3GPP standard does not give any more additional specific guidance regarding
implementation of efficient spectrum sharing for SA or NSA deployments.
Reference 3GPP specifications include: 38.331; 38.214; 38.101; 38.211
Device support
Device support is required for DSS. A network implementation must ensure that broadcast
transmissions of LTE and NR (PSS, SSS, MIB, SIBs, TRS and CSI-RS) must be positioned
so they are supported by a device operating according to that Radio Access Technology
(RAT), but invisible to a device operating on other technology.
Methodologies for efficient DSS implementation built on 3gpp framework
Coordinated scheduling at TTI level
NR DL and UL data transmissions are kept separate from LTE data transmissions via
coordinated scheduling, which implies that scheduling decisions are taken every
millisecond.
Using MBSFN subframe to transmit NR common channels
NR cell in dynamic spectrum sharing configuration may choose to transmit SSB in an LTE
multicast-broadcast single-frequency network (MBSFN) subframe which has fewer LTE
reference symbols, thereby avoid collision between NR and LTE reference symbols. Other
reference symbols of NR can also be transmitted in the MBSFN subframe of LTE.
Transmitting the NR physical control channels
While the 3GPP specification is very flexible where the PDCCH can be transmitted, the
mandatory device capability only requires control channel support within the first three
OFDM symbols of a slot. To avoid collisions with LTE CRS, the NR PDCCH is mapped to the

third, or second and third, OFDM symbol in a slot, depending on the LTE reference signal
configuration.
Semi-static rate-matching resource set configuration for Downlink
This functionality enables rate matching around LTE sync and PBCH so that they do not
interfere with NR PDSCH. A mandatory feature for capability signaling is to enable the NR
UE to perform rate matching for NR PDSCH around semi-statically defined patterns in LTE.
Summary of some key features supporting DSS
1) LTE CRS rate matching. Ability for NR to map around LTE Cell Specific Reference
Signals (CRS):
❑ Without CRS rate matching, LTE PDSCH capacity is severely reduced.
2) General rate matching. Similar to CRS rate matching, but maps NR signal around LTE
synchronization signal blocks (SSB) and PBCH.
3) Mini Slots. Provide solutions for three areas of concern:
❑ Allow NR transmission in normal subframes without CRS rate matching.
❑ Mini slot (Type B) PDSCH provides alternative to puncturing solution for NR PDSCH
broadcasts in Idle and Inactive modes.
❑ In conjunction with other DSS enhancements, mini slots can provide one additional
NR PDCCH symbol (total of two), which could be needed for increased PDCCH
capacity and/or better NR coverage.
4) MBSFN subframes. Provide almost clear subframes for NR, without risk of collisions
with LTE:
❑ Extensive use of MBSFN subframes reduces LTE capacity and throughput.
❑ Will be used primarily for SSB, PBCH and SIB1 messaging.
5) Extended PRBs. Additional PRBs available to NR, in guard band of LTE carriers. For
reference, extended PRBs provide a 4% to 6% boost to NR capacity:
❑ 10MHz NR carrier - 2 additional PRBs.
❑ 15MHz NR carrier - 4 additional PRBs.
❑ 20 MHz NR carrier - 6 additional PRBs.
6) Other features supporting DSS:
❑ Flexible Type A PDSCH – DSS solution without mini slots.
❑ 7.5kHz UL shift – avoids the requirement for a guard band between LTE and NR
uplink.
❑ PDCCH in symbol 2 – NR PDCCH immediately follows symbols reserved for LTE

PDCCH.
❑ TRS in symbol 6 and 10 - Tracking Reference Signal maintains LTE/NR phase

alignment.

❑ Flexible CSI-RS placement.
Integrated Access and Backhaul in Detail

See the introductory discussion of IAB in the main body of this paper. As a study item for
Release 15, 3GPP has specified the use cases and deployment scenarios as well as the
architecture options for IAB. IAB is expected to support both outdoor and indoor NR cell
deployments; stationary relay nodes with fixed locations will be the main focus of initial
work. In future releases, IAB might also be deployed in mobile relay scenarios, for
example, on buses or trains.
Access and backhaul may be on the same (in-band) or different (out-of-band) frequencies.
In-band operation requires tighter interworking to accommodate duplex constraints and
to mitigate interference. IAB will work with 5G in both SA and NSA modes. It will also
support multi-hop backhauling and all 5G-specified radio bands. Although specified in
Release 16, IAB will be backward compatible with Release 15 UEs.
3GPP studied multiple architectural approaches for IAB in a study item226 and
recommended architecture 1a, currently being standardized in Release 16. In this
architecture, backhauling of F1-U uses an adaptation layer, or GPRS Tunneling Protocol
User (GTP-U), combined with an adaptation layer; while hop-by-hop forwarding across
intermediate nodes uses the adaptation layer for operation with Next Generation Core
(NGC) or Packet Data Network (PDN)-connection-layer routing for operation with EPC.
Figure 94 shows examples for operation in SA and NSA modes: a) UE and IAB-node
operate in SA with NGC, b) UE operates in NSA with EPC while IAB-node operates in SA
with NGC, c) UE and IAB-node operate in NSA with EPC.
Figure 94: Examples for Operation in SA and NSA Modes227
Figure 95 shows the reference diagram for the 1a architecture, which employs a
Centralized Unit (CU)/Distributed Unit (DU) split.
226
3GPP, Study on Integrated Access and Backhaul, Release 16, 3GPP TR 38.874 V16.0.0, Dec. 2018.
227
Ibid.

Figure 95: Reference Diagram for Architecture 1a (SA-Mode with NGC)228
The multi-hop capability is flexible, with some nodes communicating over one hop and
some over as many as three hops, as shown in Figure 96. The architecture does not
restrict the number of hops, and the maximum practical number depends on factors such
as frequency, cell density, propagation environment, and traffic load. A performance
consideration is that each hop increases latency.
228
Ibid.

Figure 96: IAB Network with Three hops and 12 UEs229
Performance
See the introductory discussion about 5G performance in the main body of this paper. 5G,
with its ability to use wider radio channels than LTE, can deliver much higher peak and
average speeds, with initial estimates listed above in the section, “Data Throughput
Comparison.”
Figure 97 shows real world test results, achieving 2 Gbps of throughput in a line-of-sight
connection with a 400 MHz radio channel in a 3:1 TDD configuration.
229
Ibid.

Figure 97: 5G NR Downlink Measured Performance230
A 5G Americas member contribution shows outdoor testing results in Figure 98, based on
field testing of a pre-standards but representative system under the following conditions:
line of sight, 28 GHz, 90:10 TDD, 2X2 MIMO, 64 QAM, outdoor macro 10-45 meter in
height, and street-level measurement.
Figure 98: Pre-Standards Outdoor Test, 28 GHz, DL Throughput, 100 MHz231
230
T-Mobile contribution. Horizontal axis is time. Additional test configuration information: direct line
of sight with 85° angle of arrival, beam reference signal received power of -82dbm, 2x2 MIMO, 64
QAM, 8 wide beams, 64 narrow beams.
231

Throughputs will be proportionally higher for bandwidth greater than 100 MHz. In addition,
throughputs in non-line-of-sight conditions will be lower, with the decrease depending on
the extent of obstructions or nature of signal propagation, such as reflections. Finally,
different TDD ratios will proportionally change throughput.
Figure 99 shows simulated downlink performance for a 28 GHz mmWave network using
different base station ISDs based on the following simulation parameters.
Access Point Parameters:
❑ AP512: cross-pol array with 512 physical antenna elements (16,16,2), 256
elements per polarization.
❑ Physical antenna elements: 5dBi max gain per physical element, half wavelength
spacing between rows and columns, elements have 3dB beamwidth of 90 degrees.
❑ Max EIRP = 54dBm and 60dBm (assuming both polarizations are not coherently
combined), TX power per PA= -2dBm and 4dBm respectively. Noise figure of 5dB.
❑ Single TXRU per polarization. 2TXRUs: SU-MIMO with open-loop rank 2 per UE on
DL and UL.
User Equipment:
❑ UE32: Dual panel cross-pol array, 2 panels oriented back-to-back with best-panel
selection at UE. Each panel is (4,4,2) with 32 physical elements per panel, 16
physical elements per polarization per panel, half wavelength spacing between
rows and columns.
❑ Total TX power fed to active panel = 23dBm. TX power per PA is 8dBm.
❑ Physical elements in antenna array panel: 5dBi max gain per physical element,
elements have 3dB beamwidth of 90 degrees.
❑ Max EIRP = 40dBm in all cases (assuming both polarizations are not coherently
combined), noise figure of 9dB.
❑ Single TXRU per polarization. 2 TXRUs: SU-MIMO with open-loop rank 2 per UE on
DL and UL.
Scenarios:
❑ 3GPP NR UMi and 3GPP NR UMa channel model (38.901) modified for all UEs
located outdoors.
❑ 3-sector and 4-sector hexagonal layout with various ISDs: 100m, 200m, 500m,
1000m.
❑ Base heights of 10m (UMi) and 25m (UMa).
System:
❑ System bandwidth = 200MHz and 800MHz bandwidth, TDD split of 50-50 (results
can be scaled to other TDD splits).
❑ Full Buffer Traffic with PF scheduling, SU-MIMO, average of 15 active UEs per site.

❑ Simulation bandwidth=100MHz: TX powers appropriately scaled to properly model
200MHz or 800MHz operation.
❑ DL scheduling:
o UE is scheduled on full system bandwidth (200MHz or 800MHz).
❑ UL scheduling: two cases:
o (A): UE is scheduled across full system bandwidth: UE power is 23dBm into

200MHz or 800MHz.
o (B): UE is scheduled in 100MHz channels: UE power is 23dBm into 100MHz,

UL load is appropriately scaled to model the UL traffic on that 100MHz
carrier.
Key Parameters:
❑ Inter-Site Distances of 100, 200, 500, 1000m.
❑ Access Point Heights:
o UMa with 25m Height.
o UMi with 10m Height.
❑ Deployments with 3 versus 4 sectors:
o same hardware in a 3-sector deployment as in a 4-sector deployment.
❑ Access Point EIRP=54, 60 dBm.
❑ Beam Selection/Beam Refinement with open-loop rank2 baseband precoding.
Results:
❑ 800MHz results.
❑ Showing Mean UE throughput, Cell Edge Throughput (5th-percentile throughput),

and Mean Site Throughput.

Figure 99: Downlink Performance, Different ISDs232
Other simulations conclude that a minimum performance of 100 Mbps at the cell-edge, a
5G objective, is possible at ISDs up to 200 meters, with and without foliage.233
The following three figures are from another simulation study by Ericsson, this one for
fixed-wireless access, with the following key assumptions: 350-meter ISD, 96-antenna
base stations, 200 MHz radio channels, 57% allocated to downlink, 1000 homes per sq.
km, 25% of homes using 4K UHD video service at 15 Mbps, building heights of 4 to 10
meters, and trees from 5 to 15 meters.
Figure 100 shows the throughputs available across the coverage area, with many locations
able to receive close to 1 Gbps.
232
Nokia contribution.
233
Frederick W. Vook, Eugene Visotsky, Timothy A. Thomas, and Amitava Ghosh, Nokia Bell Labs,
Performance Characteristics of 5G mmWave Wireless-to-the-Home.
http://ieeexplore.ieee.org/document/7869558/.

Figure 100: Throughput Map of Suburban Area at Low Load234
Figure 101 shows the proportion of users that can obtain 15 Mbps and 100 Mbps service
relative to monthly traffic volume. Note that the system supports thousands of GBs of
service per subscriber per month.
234
Ericsson contribution, Ericsson Technical Review, 5G and Fixed Wireless Access, 2016.
https://www.ericsson.com/assets/local/publications/ericsson-technology-review/docs/2016/etr-5g-
and-fixed-wireless-access.pdf.

Figure 101: Proportion of Satisfied Users Relative to Monthly Usage235
Figure 102 shows that an ISD of 350 can be used with a combination of indoor, wall-
mounted, and rooftop antennas. A large percentage of users (78%) can use indoor
antennas, facilitating deployment.
Figure 102: Breakdown of Indoor, Wall-Mounted, and Rooftop Antennas236
235
Ibid.
236
Ibid.

The simulation study shows that 5G fixed wireless access deployments using a larger ISD
of 350 meters, translating to 11 base stations per square kilometer, can provide
competitive broadband service.
In this environment, handsets with 5G mmWave capability will also be able to access the
networks. However the antennas they use may not be as effective as the fixed-wireless
equipment, so handsets may need to fall back to 4G, depending on their precise locations.
For this reason, the dual connectivity being planned for 5G will play an important role.
Figure 103 shows another simulation study, this one from Intel, using the following
assumptions: 28 GHz operation, 2:1 DL:UL ratio, 25% control overhead, 10 bps/Hz
maximum downlink spectral efficiency, CPEs placed either north or south side of house
and one with best SNR chosen, and indoor CPE equipment with 30dB outdoor-to-indoor
penetration loss. Scenario 1 is 60 access points per sq. km. Scenario 2 is 120 access points
per sq. km. (Base grid of 40 houses in a 250x200m area with four rows of 10 houses per
row, APs placed along streets and alleys, single-family homes, 4 sectors per AP, and 4.5-
meter pole height).
Figure 103: 5G Fixed Wireless Simulation with Different Loading and

Densities237
Using 400 MHz and six access points per 40 homes, and 50% loading, the average
throughput was more than 1 Gbps.
Quality of Service
5G employs a quality-of-service architecture. Similar to LTE, 5G uses QoS Class
Identifiers, called 5G QoS Identifiers (5QIs), to manage parameters such as whether bit
rates are guaranteed, guaranteed bit rate, priority level, packet delay budget, and packet
error rate. 5G, however, adds a parameter called default maximum data burst volume,
which is the maximum amount of data the network is required to deliver within a period
of the packet delay budget. The section “Network Slicing” in the main body of this paper
discusses how 5G networks will take advantage of QoS.
Release 15 of 3GPP specifications define the 5QIs as follows:
237
Intel contribution.

Table 27: 5QI to QoS Characteristics Mapping238

Spectrum Bands for 4G and 5G
3GPP technologies operate in a wide range of radio bands. As new spectrum becomes
available, 3GPP updates its specifications for these bands. Although the support of a new
frequency band may be introduced in a particular release, 3GPP specifies ways to
implement devices and infrastructure operating on any frequency band, according to
releases previous to the introduction of that particular frequency band. For example,
although band 5 (US Cellular Band) was introduced in Release 6, the first devices operating
on this band were compliant with the release 5 of the standard.
The following tables show the 3GPP-defined bands for different technologies, listed in the
order of 5G, 4G, and 3G.
Table 28 shows 5G NR bands in frequency range 1, which spans 450 – 6000 MHz.
238
3GPP, System Architecture for the 5G System; Stage 2, (Release 15), 3GPP TS 23.501 V15.1.0,
(2018-03), Table 5.7.4-1.

Table 28: 5G NR Bands in Frequency Range 1239
Table 29 shows initial 5G NR bands in frequency range 2, which spans 24250 – 52600
MHz.
239
3GPP, User Equipment (UE) radio transmission and reception; Part 1: Range 1 Standalone (Release
16), 3GPP TS 38.101-1, V16.3.0, Mar. 2020.

Table 29: 5G NR Bands in Frequency Range 2240
Table 30 details the LTE Frequency Division Duplex (FDD) and TDD bands.
240
3GPP, User Equipment (UE) radio transmission and reception; Part 2: Range 2 Standalone (Release
16), 3GPP TS 38.101-2, V16.3.1, Mar. 2020.

Table 30: LTE FDD and TDD bands241

3GPP Releases to Release 14
❑ Release 99: Completed. First deployable version of UMTS. Enhancements to GSM
data (EDGE). Provides support for GSM/EDGE/GPRS/WCDMA radio-access networks.
❑ Release 4: Completed. Multimedia messaging support. First steps toward using IP

transport in the core network.
❑ Release 5: Completed. HSDPA. First phase of Internet Protocol Multimedia Subsystem

(IMS). Full ability to use IP-based transport instead of just Asynchronous Transfer
Mode (ATM) in the core network.
❑ Release 6: Completed. HSUPA. Enhanced multimedia support through Multimedia

Broadcast/Multicast Services (MBMS). Performance specifications for advanced
receivers. Wireless Local Area Network (WLAN) integration option. IMS enhancements.
Initial VoIP capability.
❑ Release 7: Completed. Provides enhanced GSM data functionality with Evolved EDGE.
Specifies HSPA+, which includes higher-order modulation and MIMO. Performance
enhancements, improved spectral efficiency, increased capacity, and better resistance
to interference. Continuous Packet Connectivity (CPC) enables efficient “always-on”
241
3GPP, Evolved Universal Terrestrial Radio Access (E-UTRA); Base Station (BS) radio transmission
and reception (Release 16), TS 36.104, V16.5.0, Mar. 2020.

service and enhanced uplink UL VoIP capacity, as well as reductions in call set-up delay
for Push-to-Talk Over Cellular (PoC). Radio enhancements to HSPA include 64
Quadrature Amplitude Modulation (QAM) in the downlink and 16 QAM in the uplink.
Also includes optimization of MBMS capabilities through the multicast/broadcast, single
frequency network (MBSFN) function.
❑ Release 8: Completed. Comprises further HSPA Evolution features such as

simultaneous use of MIMO and 64 QAM. Includes dual-carrier HSDPA (DC-HSDPA)
wherein two downlink carriers can be combined for a doubling of throughput
performance. Specifies OFDMA-based 3GPP LTE. Defines EPC and EPS.
❑ Release 9: Completed. HSPA and LTE enhancements including HSPA dual-carrier

downlink operation in combination with MIMO, Multimedia Broadcast Multicast Services
(MBMS), HSDPA dual-band operation, HSPA dual-carrier uplink operation, EPC
enhancements, femtocell support, support for regulatory features such as emergency
user equipment positioning and Commercial Mobile Alert System (CMAS), and
evolution of IMS architecture.
❑ Release 10: Completed. Specifies LTE-Advanced that meets the requirements set by
ITU’s IMT-Advanced project. Key features include carrier aggregation, multi-antenna
enhancements such as enhanced downlink eight-branch MIMO and uplink MIMO,
relays, enhanced LTE Self-Organizing Network capability, Evolved Multimedia
Broadcast Multicast Services (eMBMS), HetNet enhancements that include eICIC, Local
IP Packet Access, and new frequency bands. For HSPA, includes quad-carrier operation
and additional MIMO options. Also includes femtocell enhancements, optimizations for
M2M communications, and local IP traffic offload.
❑ Release 11: Completed. For LTE, emphasizes Coordinated Multi Point (CoMP), carrier-
aggregation enhancements, devices with interference cancellation, development of the
Enhanced Physical Downlink Control Channel (EPDCCH), and further enhanced eICIC
including devices with CRS (Cell-specific Reference Signal) interference cancellation.
The release includes further DL and UL MIMO enhancements for LTE. For HSPA,
provides eight-carrier on the downlink, uplink enhancements to improve latency, dual-
antenna beamforming and MIMO, CELL Forward Access Channel (FACH) state
enhancement for smartphone-type traffic, four-branch MIMO enhancements and
transmissions for HSDPA, 64 QAM in the uplink, downlink multipoint transmission, and
noncontiguous HSDPA carrier aggregation. Wi-Fi integration is promoted through S2a
Mobility over GPRS Tunneling Protocol (SaMOG). An additional architectural element
called “Machine-Type Communications Interworking Function” (MTC-IWF) will more
flexibly support machine-to-machine communications.
❑ Release 12: Completed. Enhancements include improved small cells/HetNets for LTE,
LTE multi-antenna/site technologies (including Active Antenna Systems), Dual
Connectivity, 256 QAM modulation option, further CoMP/MIMO enhancements,
enhancements for interworking with Wi-Fi, enhancements for MTC, SON, support for
emergency and public safety, Minimization of Drive Tests (MDT), advanced receivers,
device-to-device communication (also referred to as Proximity Services), group
communication enablers in LTE, addition of Web Real Time Communication (WebRTC)
to IMS, energy efficiency, more flexible carrier aggregation, dynamic adaptation of
uplink-downlink ratios in TDD mode, further enhancements for HSPA+, small
cells/HetNets, Scalable-UMTS, and FDD-TDD carrier aggregation.
❑ Release 13: Completed. LTE features include Active Antenna Systems (AAS) with
support for as many as 16 antenna elements (full-dimension MIMO) and beamforming,

Network-Assisted Interference Cancellation and Suppression (NAICS), radio-access
network sharing, carrier aggregation supporting 32 component carriers,242 carrier
aggregation of up to four carriers on the downlink and two carriers on the uplink, LAA
for operation in unlicensed bands, LTE Wi-Fi Aggregation including LWIP, RCLWI,
isolated operation and mission-critical voice communications for public safety,
application-specific congestion management, User-Plane Congestion Management,
enhancement to WebRTC interoperability, architecture enhancement for dedicated
core networks, enhancement to proximity-based services, Mission-Critical Push-to-
Talk, group communications, CoMP enhancements, small cell enhancements, machine-
type communications enhancements including NB-IoT and Extended Coverage GSM
(EC-GSM), VoLTE enhancements, SON enhancements, shared network enhancements,
indoor positioning based on WLAN access points, Bluetooth beacons and barometric
pressure, and enhanced circuit-switched fallback. HSPA+ features include support for
dual-band uplink carrier aggregation.
❑ Release 14: Completed June 2017. Features include uplink operation for LAA
(enhanced LAA), full-dimension MIMO enhanced with up to 32 antenna elements, dual-
connectivity of licensed and unlicensed carriers across non-collocated nodes, vehicle-
to-vehicle and vehicle-to-infrastructure (V2X) communications built on Release 12
Proximity Services, shared LTE broadcast in which different operators broadcast the
same content on the same frequency, non-IP operation for IoT, Downlink Multi-user
Superposition Transmission (MUST), enhanced LWA, VoLTE enhancements, LWIP/LWA
enhancements, eMBMS enhancements, NB-IoT enhancements, and LTE latency
reduction.
For a detailed explanation of features in subsequent 3GPP releases, refer to the main part
of the paper, sections: “5G Phase One (Release 15),” “5G Phase Two (Release 16),” and
“5G Release 17.”
Data Throughput Comparison

Data throughput is an important metric for quantifying network throughput performance.
Unfortunately, the ways in which various organizations quote throughputs vary
tremendously, often resulting in misleading claims. The intent of this paper is to
realistically represent the capabilities of these technologies.
One method of representing a technology’s throughput is what people call “peak

throughput” or “peak network speed,” which refers to the fastest possible transmission
speed over the radio link and is generally based on the highest-order modulation available
and the least amount of coding (error correction) overhead. Peak network speed is also
usually quoted at layer 2 of the radio link. Because of protocol overhead, actual application
throughput may be up to 10% lower than this layer-2 value.
Another method is to disclose throughputs actually measured in deployed networks with

applications such as File Transfer Protocol (FTP) under favorable conditions, which assume
light network load (as low as one active data user in the cell sector) and favorable signal
propagation. This number is useful because it demonstrates the high-end, actual capability
of the technology in current deployments, referred to in this paper as the “peak user rate.”
Average rates are lower than this peak rate and are difficult to predict because they
242
This level of aggregation refers to signaling capabilities. The number of carriers that can be
combined in an actual deployment is smaller and depends on RAN co-existence studies. Refer to the
appendix section on “Carrier Aggregation” for additional details.

depend on a multitude of operational and network factors. Except when the network is
congested, however, the majority of users should experience throughput rates higher than
one-half of the peak achievable rate.
Some operators, primarily in the United States, also quote typical throughput rates, which
are based on throughput tests the operators have done across their operating networks
and incorporate a higher level of network load. Although the operators do not disclose the
precise methodologies they use to establish these figures, the values provide a good
indication of what users can realistically expect.
Table 31 presents the technologies in terms of peak network throughput rates, peak user
rates (under favorable conditions), and typical rates. It omits values that are not yet
known, such as for future technologies.
The projected typical rates for HSPA+ and LTE show a wide range because these
technologies exploit favorable radio conditions to achieve high throughput rates, but under
poor radio conditions, throughput rates are lower.

Table 31: Throughput Performance of Different Wireless Technologies
(Blue Indicates Theoretical Peak Rates, Green Typical)
Downlink Uplink
Peak Peak
Peak Peak
and/or and/or
Network Network
Typical Typical
Speed Speed
User Rate User Rate
5G in mmWave, early
5 Gbps 500 Mbps 2 Gbps 250 Mbps
versions243
5G in mmWave, later
50 Gbps 5 Gbps 25 Gbps 2 Gbps
versions244
LTE (2X2 MIMO,

6.5 to 26.3 6.0 to 13.0
10+10 MHz, DL 64 70 Mbps 35 Mbps246
Mbps245 Mbps
QAM, UL 16 QAM)
LTE-Advanced (2X2 or
4X4 MIMO, 20+20
MHz or 40+20 MHz
300 Mbps N/A 71 Mbps247 N/A
with Carrier
Aggregation [CA], DL
64 QAM, UL 16 QAM)
LTE Advanced (4X4

MIMO, 60+20MHz, CA,
600 Mbps 150 Mbps
256 QAM DL, 64 QAM
UL)
LTE Advanced (4X4

MIMO, 80+20 MHz,
> 1 Gbps 150 Mbps
CA, 256 QAM DL, 64
QAM UL)
243
Assumes 200 MHz radio channel, 2:1 TDD. Throughput rates would double using 400 MHz.
244
Assumes greater radio bandwidth.
245
5G Americas member company analysis for downlink and uplink. Assumes single user with 50%
load in other sectors. AT&T and Verizon are quoting typical user rates of 5-12 Mbps on the downlink
and 2-5 Mbps on the uplink for their networks. See additional LTE throughput information in the
section below, “LTE Throughput.”
246
Assumes 64 QAM. Otherwise 22 Mbps with 16 QAM.
247
Assumes 64 QAM. Otherwise 45 Mbps with 16 QAM.

Downlink Uplink
Peak Peak
Peak Peak
and/or and/or
Network Network
Typical Typical
Speed Speed
User Rate User Rate
LTE Advanced (8X8

MIMO, 20+20 MHz, DL 1.2 Gbps N/A 568 Mbps N/A
64 QAM, UL 64 QAM)
LTE Advanced, 100

3 Gbps 1.5 Gbps
MHz + 100 MHz
LTE Advanced 32
>> 3 Gbps
Carriers
Not
EDGE (type 2 MS) 473.6 Kbps Applicable 473.6 Kbps N/A
(N/A)
200 Kbps 200 Kbps

peak peak
EDGE (type 1 MS)
236.8 Kbps 160 to 200 236.8 Kbps 80 to 160
(Practical Terminal)
Kbps Kbps
typical248 typical249
HSDPA Initial Devices > 1 Mbps 350 Kbps

1.8 Mbps 384 Kbps
(2006) peak peak
HSDPA 14.4 Mbps N/A 384 Kbps N/A
> 5 Mbps
peak
> 1.5 Mbps
700 Kbps to peak
HSPA250 Initial 1.7 Mbps
7.2 Mbps 2 Mbps 500 Kbps to
Implementation typical251
1.2 Mbps
typical
248
Assumes four-to-five downlink timeslot devices (each timeslot capable of 40 Kbps).
249
Assumes two-to-four uplink timeslot devices (each timeslot capable of 40 Kbps).
250
High Speed Packet Access (HSPA) consists of systems supporting both High Speed Downlink Packet
Access (HSDPA) and High Speed Uplink Packet Access (HSUPA).
251
Typical downlink and uplink throughput rates based on AT&T press release, Jun. 4, 2008

Downlink Uplink
Peak Peak
Peak Peak
and/or and/or
Network Network
Typical Typical
Speed Speed
User Rate User Rate
HSPA 14.4 Mbps N/A 5.76 Mbps N/A
1.9 Mbps to 1 Mbps to

HSPA+ (DL 64 QAM,
21.6 Mbps 8.8 Mbps 11.5 Mbps 4 Mbps
UL 16 QAM, 5+5 MHz)
typical252 typical
HSPA+ (2X2 MIMO,

DL 16 QAM, UL 16 28 Mbps N/A 11.5 Mbps N/A
QAM, 5+5 MHz)
HSPA+ (2X2 MIMO,

DL 64 QAM, UL 16 42 Mbps N/A 11.5 Mbps N/A
QAM, 5+5 MHz)
HSPA+ Approximate
(DL 64 QAM, UL 16 doubling of
1 Mbps to
QAM, Dual Carrier, 5+5 MHz
42 Mbps 11.5 Mbps 4 Mbps
10+5 MHz) rates - 3.8
typical
to 17.6
Mbps.
HSPA+ (2X2 MIMO DL,

DL 64 QAM, UL 16
84 Mbps N/A 23 Mbps N/A
QAM, Dual Carrier,
10+10 MHz)
HSPA+ (2X2 MIMO DL,

DL 64 QAM, UL 16
QAM, Quad-Carrier,253
20+10 MHz)
HSPA+ (2X2 MIMO DL

and UL, DL 64 QAM, UL
16 QAM, Eight-Carrier,
40+10 MHz)
HSPA+ (4X2 MIMO DL,

2X2 MIMO UL, DL 64
QAM, UL 16 QAM, 8
carrier, 40+10 MHz)
252
5G Americas member company analysis. Assumes Release 7 with 64 QAM and F-DPCH. Single
user. 50% loading in neighboring cells. Higher rates expected with subsequent 3GPP releases.
253
No operators have announced plans to deploy HSPA in a quad (or greater) carrier configuration.
Three carrier configurations, however, have been deployed.

Downlink Uplink
Peak Peak
Peak Peak
and/or and/or
Network Network
Typical Typical
Speed Speed
User Rate User Rate
Not
EDGE (type 2 MS) 473.6 Kbps Applicable 473.6 Kbps N/A
(N/A)
200 Kbps 200 Kbps

peak peak
EDGE (type 1 MS)
236.8 Kbps 160 to 200 236.8 Kbps 80 to 160
(Practical Terminal)
Kbps Kbps
typical254 typical255
CDMA2000 EV-DO > 1 Mbps 150 Kbps

2.4 Mbps 153 Kbps
Rel. 0 peak peak
> 1.5 Mbps

> 1 Mbps
peak
CDMA2000 EV-DO peak
3.1 Mbps 600 Kbps to 1.8 Mbps
Rev. A 300 to 500
1.4 Mbps
Kbps typical
typical256
Proportional
increase of
CDMA2000 EV-DO Rev.
Rev A typical
B (3 radio channels 14.7257 Mbps 5.4 Mbps N/A
rates based
5+5 MHz)
on number
of carriers.
CDMA2000 EV-DO Rev

B Theoretical (15 radio 73.5 Mbps N/A 27 Mbps N/A
channels 20+20 MHz)
254
Assumes four-to-five downlink timeslot devices (each timeslot capable of 40 Kbps).
255
Assumes two-to-four uplink timeslot devices (each timeslot capable of 40 Kbps).
256
Typical downlink and uplink throughput rates based on Sprint press release Jan. 30, 2007.
257
Assuming use of 64 QAM.

Additional information about LTE throughput appears below in the section “LTE
Throughput.”
Latency Comparison
As important as throughput is network latency, defined as the round-trip time it takes
data to traverse the network. Each successive data technology from GPRS forward reduces
latency, with LTE networks having latency as low as 15 msec. Ongoing improvements in
each technology mean that all of these values will go down as vendors and operators fine-
tune their systems. Figure 104 shows the latency of different 3GPP technologies.
Figure 104: Latency of Different Technologies258
The values shown in Figure 104 reflect measurements of commercially deployed

technologies, with EDGE Release 7 achieving 70 to 95 msec, HSPA+ 25 to 30 msec, and
LTE 15 to 20 msec. A latency goal for 5G is less than 4 msec for broadband and 0.5 msec
for mission-critical applications.
258
5G Americas member companies. Measured between subscriber unit and a node immediately
external to wireless network. Does not include internet latency. Note that there is some variation in
latency based on network configuration and operating conditions.

Data Consumed by Streaming and Virtual Reality
Table 32 quantifies usage based on advanced video compression schemes such as H.264
and H.265, the type of application, and usage per day.
Table 32: Data Consumed by Streaming and Virtual Reality259
259
Rysavy Research analysis. For virtual reality-data requirements, refer to ABI Research/Qualcomm,
Augmented and Virtual Reality: the First Wave of 5G Killer Apps, 2017. See also Netflix discussion of
usage, “How can I control how much data Netflix uses?” https://help.netflix.com/en/node/87. Viewed
May 3, 2016.

LTE, LTE-Advanced, and LTE-Advanced Pro
Although HSPA and HSPA+ offer a highly efficient broadband-wireless service that will
enjoy success for the remainder of this decade and well into the next, 3GPP completed
the specification for Long Term Evolution as part of Release 8. LTE offers even higher peak
throughputs in wider spectrum bandwidth. Work on LTE began in 2004 with an official
work item started in 2006 and a completed specification early 2009. Initial deployments
began in 2010.
LTE uses OFDMA on the downlink, which is well suited to achieve high peak data rates in
high-spectrum bandwidth. WCDMA radio technology is basically as efficient as OFDM for
delivering peak data rates of about 10 Mbps in 5 MHz of bandwidth. Achieving peak rates
in the 100 Mbps range with wider radio channels, however, would result in highly complex
terminals, and it is not practical with current technology, whereas OFDM provides a
practical implementation advantage. Scheduling approaches in the frequency domain can
also minimize interference, thereby boosting spectral efficiency. The OFDMA approach is
also flexible in channelization: LTE operates in various radio channel sizes ranging from
1.4 to 20 MHz.
On the uplink, however, a pure OFDMA approach results in high peak-to-average power
ratio of the signal, which compromises power efficiency and, ultimately, battery life.
Hence, LTE uses SC-FDMA.
LTE capabilities include:
❑ Downlink peak data rates up to 300 Mbps with 20+20 MHz bandwidth in initial
versions, increasing to over 1 Gbps in subsequent versions through carrier
aggregation, higher-order modulation, and 4X4 MIMO.
❑ Uplink peak data rates up to 71 Mbps with 20+20 MHz bandwidth in initial versions,
increasing to over 1 Gbps in subsequent versions.
❑ Operation in both TDD and FDD modes.
❑ Scalable bandwidth up to 20+20 MHz covering 1.4, 3, 5, 10, 15, and 20 MHz radio
carriers.
❑ Increased spectral efficiency over HSPA by a factor of two to four.
❑ Reduced latency, to 15 msec round-trip times between user equipment and the
base station, and to less than 100 msec transition times from inactive to active.
❑ Self-organizing capabilities under operator control and preferences that will
automate network planning and will result in lower operator costs.
LTE-Advanced and LTE-Advanced Pro

LTE-Advanced, as specified in Release 10, is a term used for the version of LTE that
addresses IMT-Advanced requirements. The ITU ratified LTE-Advanced as IMT-Advanced
in November 2010. LTE-Advanced is both backward- and forward-compatible with LTE,
meaning LTE devices operate in newer LTE-Advanced networks, and LTE-Advanced
devices operate in older, pre-Release 10 LTE networks.
The following lists at a high level the most important features of LTE-Advanced, as well as
other features planned for subsequent releases, including Release 11:
❑ Carrier aggregation.

❑ Higher-order downlink MIMO (up to 8X8 in Release 10).
❑ Uplink MIMO (two transmit antennas in the device).
❑ Coordinated multipoint transmission (CoMP) in Release 11.
❑ Heterogeneous network (HetNet) support including Enhanced Inter-cell
Interference Coordination (eICIC).
❑ Relays.
3GPP, from Release 13, has referred to LTE as LTE-Advanced Pro, which includes features
such as LAA, LWA, low latency, and massive MIMO.
OFDMA and Scheduling

LTE implements OFDM in the downlink. The basic principle of OFDM is to split a high-rate
data stream into a number of parallel, low-rate data streams, each a narrowband signal
carried by a subcarrier. The different narrowband streams are generated in the frequency
domain, and then combined to form the broadband stream using a mathematical algorithm
called an “Inverse Fast Fourier Transform” (IFFT) that is implemented in digital signal
processors. In LTE, the subcarriers have 15 kHz spacing from each other. LTE maintains
this spacing regardless of the overall channel bandwidth, which simplifies radio design,
especially in supporting radio channels of different widths. The number of subcarriers
ranges from 72 in a 1.4 MHz radio channel to 1,200 in a 20 MHz radio channel.
The composite signal obtained after the IFFT is extended by repeating the initial part of
the signal (called the Cyclic Prefix [CP]). This extended signal represents an OFDM symbol.
The CP is basically a guard time during which reflected signals will reach the receiver. It
results in an almost complete elimination of multipath-induced Intersymbol Interference
(ISI), which otherwise makes extremely high data rate transmissions problematic. The
system is called orthogonal because the subcarriers are generated in the frequency
domain (making them inherently orthogonal), and the IFFT conserves that characteristic.
OFDM systems may lose their orthogonal nature as a result of the Doppler shift induced
by the speed of the transmitter or the receiver. 3GPP specifically selected the subcarrier
spacing of 15 kHz to avoid any performance degradation in high-speed conditions. WiMAX
systems that use a lower subcarrier spacing (~11 kHz) are more impacted in high-speed
conditions than LTE.
Figure 105: OFDM Symbol with Cyclic Prefix
The multiple access aspect of OFDMA comes from being able to assign different users
different subcarriers over time. A minimum resource block that the system can assign to
a user transmission consists of 12 subcarriers over 14 symbols in 1.0 msec. Figure 106
shows how the system can assign these resource blocks to different users over both time
and frequency.

Figure 106: LTE OFDMA Downlink Resource Assignment in Time and Frequency
By controlling which subcarriers are assigned in which sectors, LTE can easily control
frequency reuse. Using all the subcarriers in each sector, the system would operate at a
frequency reuse of 1; but by using a different one third of the subcarriers in each sector,
the system can achieve a looser frequency reuse of 1/3. The looser frequency reduces
overall spectral efficiency but delivers high peak rates to users.
Beyond controlling frequency reuse, frequency domain scheduling, as shown in Figure 107
can use those resource blocks that are not faded, not possible in CDMA-based systems.
Since different frequencies may fade differently for different users, the system can allocate
those frequencies for each user that result in the greatest throughput. This results in up
to a 40% gain in average cell throughput for low user speed (3 km/hour), assuming a
large number of users and no MIMO. The benefit decreases at higher user speeds.

Figure 107: Frequency Domain Scheduling in LTE260
Carrier bandwidth
Resource block
Frequency
Transmit on those resource
blocks that are not faded
LTE Smart Antennas

Wireless networks can achieve significant gains by employing multiple antennas, either at
the base station, the mobile device, or both. LTE uses multiple antennas in three
fundamentally different ways:
❑ Diversity. So long as the antennas are spaced or polarized appropriately, the

antennas provide protection against fading.
❑ Beamforming. Multiple antennas can shape a beam to increase the gain for a
specific receiver. Beamforming can also suppress specific interfering signals.
Beamforming is particularly helpful for improving cell-edge performance.
❑ Spatial Multiplexing. Often referred to as MIMO antenna processing, spatial

multiplexing creates multiple transmission paths through the environment,
effectively sending data in parallel through these paths, thus increasing both
throughput and spectral efficiency.
Table 33 shows the varous antenna transmission modes.
260

Table 33: LTE Transmission Modes261
Transmission Mode Description
1 Single antenna transmission.
2 Transmit Diversity.
3 Transmit diversity for one layer, open-loop codebook-based

precoding if more than one layer.
4 Closed-loop codebook-based precoding.
5 Multi-user MIMO version of transmission mode 4.
6 Special case of closed-loop codebook-based precoding limited

to single layer transmission.
7 Beamforming. (Non-codebook-based precoding supporting one

layer.)
8 Dual-layer beamforming. (Release 9. Non-codebook-based

precoding supporting up to two layers.)
9 8-layer transmission. (Release 10. Non-codebook-based

precoding supporting up to eight layers.)
10 8-layer transmission with support for CoMP. (Release 11.)
Being able to exploit different antenna modes based on local conditions produces huge
efficiency and performance gains and is the reason that 3GPP is developing even more
advanced antenna modes in subsequent LTE releases.
Precoding refers to a mathematical matrix operation performed on radio symbols to

determine how they are combined and mapped onto antenna ports. The precoder matrix
can operate in either open-loop or closed-loop modes. For each transmission rank for a
given number of transmission ports (antennas), there is a limited set of precoder matrices
defined, called the codebook. This helps limit the amount of signaling needed on uplink
and downlink.
Fundamental variables distinguish the different antenna modes:
❑ Single base station antenna versus multiple antennas. Single antennas

provide for Single Input Single Output (SISO), SIMO, and planar-array
beamforming. (Multiple Output means the UE has multiple antennas.) Multiple
antennas at the base station provide for different MIMO modes such as 2X2, 4X2,
and 4X4.
261
Erik Dahlman, Stefan Parkvall, Johan Skold, 4G - LTE/LTE Advanced for Mobile Broadband,
Academic Press, 2011.

❑ Single-user MIMO versus multi-user MIMO. Release 8 only provides for single-
user MIMO on the downlink. Release 10 includes multi-user MIMO.
❑ Open-Loop versus Closed-Loop. High vehicular speeds require open-loop

operation whereas slow speeds enabled closed-loop operation in which feedback
from the UE modifies the transmission. In closed-loop operation, the precoder
matrix is based on this feedback.
❑ Rank. In a MIMO system, the channel rank is formally defined as the rank of the
channel matrix and is a measure of the degree of scattering that the channel
exhibits. For example, in a 2x2 MIMO system, a rank of one indicates a low-
scattering environment, while a rank of two indicates a high-scattering
environment. The rank two channel is highly uncorrelated and is thus able to
support the spatial multiplexing of two data streams, while a rank one channel is
highly correlated, and thus can only support single stream transmission (the
resulting multi-stream interference in a rank one channel as seen at the receiver
would lead to degraded performance). Higher Signal to Interference plus Noise
Ratios (SINR) are typically required to support spatial multiplexing, while lower
SINRs are typically sufficient for single stream transmission. In a 4x4 MIMO system
channel rank values of three and four are possible in addition to values of one and
two. The number of data streams, however, or more specifically codewords in LTE
is limited to a value of two. Thus, LTE has defined the concept of layers, in which
the DL transmitter includes a codeword-to-layer mapping, and in which the number
of layers is equal to the channel rank. An antenna mapping or precoding operation
follows, which maps the layers to the antenna ports. A 4x2 MIMO system is also
possible with LTE Release 8, but here the channel rank is limited to the number of
UE antennas, which is equal to two.
The network can dynamically choose between different modes based on instantaneous
radio conditions between the base station and the UE. Figure 108 shows the decision tree.
The antenna configuration (AC) values refer to the transmission modes. Not every network
will support every mode. Operators will choose which modes are the most effective and
economical. AC2, 3, 4, and 6 are typical modes that will be implemented.

Figure 108: Decision Tree for Different Antenna Schemes262
The simplest mode is AC2, referred to as Transmit Diversity (TD) or sometimes Space
Frequency Block Code (SFBC) or even Open Loop Transmit Diversity. TD can operate under
all conditions, meaning it works under low SINR, high mobility, and low channel rank (rank
= 1). This rank means that the channel is not sufficiently scattered or de-correlated to
support two spatial streams. Thus, in TD, only one spatial stream or what is sometimes
referred as a single codeword (SCW) is transmitted. If the channel rank increases to a
value of two, indicating a more scattered channel, and the SINR is a bit higher, then the
system can adapt to AC3 or Open-Loop Spatial Multiplexing (OL-SM), also referred to as
large-delay Cyclic Delay Diversity (CDD). This mode supports two spatial streams or two
codewords. This mode, also called multiple codeword (MCW) operation, increases
throughput over SCW transmission.
If the rank of the channel is one, but the device is not moving very fast or is stationary,
then the system can adapt to AC6, called closed-loop (CL) precoding (or CL-rank 1 or CL-
R1). In this mode, the network receives from the device with Precoding Matrix Indication
(PMI) bits that inform the base station what precoding matrix to use in the transmitter to
optimize link performance. This feedback is only relevant for low-mobility or stationary
conditions since in high mobility conditions the feedback will most likely be outdated by
the time the base station can use it.
Another mode is AC4 or Closed Loop Spatial Multiplexing (CL-SM), which is enabled for
low-mobility, high SINR, and channel rank of two. This mode theoretically provides the
best user throughput. The figure above shows how these modes can adapt downwards to
either OL TD, or if in CL-SM mode, down to either OL TD or CL R1.
4G Americas, MIMO and Smart Antennas for 3G and 4G Wireless Systems – Practical Aspects and
262
Deployment Considerations, May 2010.

For a 4x4 MIMO configuration, the channel rank can take on values of three and four in
addition to one or two. Initial deployment at the base station, however, will likely be two
TX antennas and most devices will only have 2 RX antennas, and thus the rank is limited
to 2.
AC5 is MU-MIMO, which is not defined for the downlink in Release 8.
AC1 and AC7 are single antenna port modes in which AC1 uses a common Reference
Signal (RS), while AC7 uses a dedicated RS or what is also called a user specific RS. AC1
implies a single TX antenna at the base station. AC7 implies an antenna array with
antennal elements closely spaced so that a physical or spatial beam can be formed toward
an intended user.
LTE operates in a variety of MIMO configurations. On the downlink, these include 2X2,
4X2 (four antennas at the base station), and 4X4. Initial deployment will likely be 2x2
whereas 4X4 will be most likely used initially in femtocells. On the uplink, there are two
possible approaches: single-user MIMO (SU-MIMO) and multi-user MIMO (MU-MIMO). SU-
MIMO is more complex to implement as it requires two parallel radio transmit chains in
the mobile device, whereas MU-MIMO does not require any additional implementation at
the device but relies on simultaneous transmission on the same tones from multiple mobile
devices.
The first LTE Release thus incorporates MU-MIMO with SU-MIMO deferred for subsequent
LTE releases. An alternate form of MIMO, originally called network MIMO, and now called
CoMP, relies on MIMO implemented (on either the downlink or uplink or both) using
antennas across multiple base stations, as opposed to multiple antennas at the same base
station. This paper explains CoMP in the section on LTE Advanced below.
Peak data rates are approximately proportional to the number of send and receive
antennas. 4X4 MIMO is thus theoretically capable of twice the data rate of a 2X2 MIMO
system. The spatial multiplexing MIMO modes that support the highest throughput rates
will be available in early deployments.
For a more detailed discussion of 3GPP antenna technologies, refer to the 5G Americas
white paper “MIMO and Smart Antennas for 3G and 4G Wireless Systems – Practical
Aspects and Deployment Considerations,” May 2010.
For advancements in LTE Smart Antennas, see the next section.
LTE-Advanced Antenna Technologies

Release 10 added significant enhancements to antenna capabilities, including four-layer
transmission resulting in peak spectral efficiency exceeding 15 bps/Hz. Uplink techniques
fall into two categories: those relying on channel reciprocity and those that do not. With
channel reciprocity, the eNB determines the channel state by processing a Sounding
Reference Signal from the UE. It then forms transmission beams accordingly. The
assumption is that the channel received by the eNB is the same as the UE. Techniques
that use channel reciprocity are beamforming, SU-MIMO, and MU-MIMO. Channel
reciprocity works especially well with TDD since both forward and reverse links use the
same frequency.
Non-reciprocity approaches apply when the transmitter has no knowledge of the channel
state. Techniques in this instance include open-loop MIMO, closed-loop MIMO, and MU-
MIMO. These techniques are more applicable for higher speed mobile communications.

For the downlink, the technology can transmit in as many as eight layers using an 8X8
configuration for a peak spectral efficiency of 30 bps/Hz. This exceeds the IMT-Advanced
requirements, conceivably supporting a peak rate of 1 Gbps in just 40+40 MHz, and even
higher rates in wider bandwidths. This would require additional reference signals for
channel estimation and for measurements, including channel quality, to enable adaptive,
multi-antenna transmission.
Release 10 supports a maximum of two codewords, the same as previous LTE releases.
The release specifies a new transmission mode (TM-9) that supports SU-MIMO up to Rank
8 (up to eight layers), as well as the ability to dynamically switch between SU-MIMO and
MU-MIMO.
Figure 109 shows the different forms of single-user MIMO in Releases 8, 9, and 10. Release
8 supports only a single layer, whereas two-layer beamforming is possible in Release 9,
and eight layers are possible in Release 10 with eight antennas at the base station.
Figure 109: Single-User MIMO263
Figure 110 shows multi-user MIMO options across different releases. Release 8 supports
two simultaneous users, each with one layer using four antennas, while Releases 9 and
10 support four simultaneous users, each with one layer.
Figure 110: Multi-User MIMO264
For four-antenna configurations at the base station, Release 12 improves throughput by

adding a feedback mode, called mode 3-2, in which sub-band precoders and sub-band
263
264

channel quality indicators (CQIs) are included in the UE’s feedback to the eNodeB. Release
12 also adds a new codebook that further improves throughput.
As depicted in Figure 111 and Figure 112, compared with the Release 8 codebook, the
new Release 12 codebook provides a 10% gain for both median and cell-edge throughputs.
Compared with feedback mode 3-1, feedback mode 3-2 provides an 18% to 20% gain in
median and cell-edge throughput. Jointly, the two methods provide a 28% to 30% gain.
Figure 111: Median Throughput of Feedback Mode 3-2 and New Codebook.265
Figure 112: Cell-Edge Throughput of Feedback Mode 3-2 and New Codebook266
Release 12 also defines how Active Antenna Systems can use multiple transceivers on an
antenna array to dynamically adjust a radiation pattern.
265
5G Americas member contribution. Assumptions include: cellular layout of 19 sites hexagonal grid
with three sectors per site and 500-meter inter-site distance; simulation case ITU uMa for macro;
carrier frequency 2 GHz, deployment scenario A homogenous macro; SU-MIMO with maximum two
layers per UE; proportional fair scheduler; and bursty traffic model.
266
5G Americas member contribution. Same assumptions as previous figure.

Release 13 defined full-dimension MIMO, which supported up to 16 antenna ports, and
Release 14 added support for up to 32 antenna ports.
A practical consideration with antennas is that many towers today already support multiple
operators, with tower companies having to manage interference placement, spectrum
allocations, and wind and snow load. At higher frequencies, a single radome (antenna
enclosure) can support 4X2 MIMO, but higher-order MIMO may prove impractical for many
deployments.
5G systems operating at much higher frequencies will have an advantage since the
antenna arrays will be much smaller due to the much smaller wavelengths.
Initial massive MIMO techniques applied to LTE, such as full-dimension MIMO using 8, 16,
and 64 transmit antennas, can provide dramatic performance gains, particularly in dense
deployments, as shown in Figure 113.
Figure 113: Performance Gains with FD-MIMO Using 200 Meter ISD267
This figure compares 8X2, 16X2, and 64X2 MIMO performance relative to 2X2 MIMO
(normalized to value 100). The blue bars (case 1) show the supported number of users
per sector (referred to as “cell” in the figure) at a fixed resource utilization (RU) of 70%;
267

the green bars (case 2) show mean user throughput (UPT) at a fixed RU of 70%; and the
red bars (case 3) show system capacity in terms of supported number of users for a given
user throughput. Resulting gains are:
❑ Case 2 (green bars): 1.5X with 8X2, 1.75X with 16X2, and 2X with 64X2 MIMO.
❑ Case 3 (red bars): 2X with 8X2, 2.5X with 16X2, and 3X with 64X2 MIMO.
The primary gains are from azimuth (horizontal dimension) in going from 2X2 to 8X2, and
from elevation in going to 16X2 and 64X2. FD-MIMO gains are lower with larger ISD
values, such as 500 meters.
3GPP has also studied FD-MIMO and conducted a field trial showing impressive throughput
gains, particularly in a high-rise scenario.268
Carrier Aggregation
Carrier aggregation, first available in Release 10, plays an important role in providing
operators maximum flexibility for using all of their available spectrum. By combining
spectrum blocks, LTE can deliver much higher throughputs than otherwise possible.
Asymmetric aggregation (for example, different amounts of spectrum used on the
downlink versus the uplink) provides further flexibility and addresses the greater demand
on downlink traffic.
Specific types of aggregation include:
❑ Intra-band on adjacent channels.

❑ Intra-band on non-adjacent channels.
❑ Inter-band (700 MHz, 1.9 GHz).
❑ Inter-technology (for example, LTE on one channel, HSPA+ on another). This
approach is not currently specified nor being developed. While theoretically
promising, a considerable number of technical issues would have to be
addressed.269 See Figure 114.
268
3GPP, 3D-MIMO Prototyping and Initial Field Trial Results, TSG RAN WG1 Meeting #80, Agenda
Item: 7.2.4.4, Document R1-150451.
269
For further details, see 4G Americas, HSPA+ LTE Carrier Aggregation, Jun. 2012.

Figure 114: Inter-Technology Carrier Aggregation270
Figure 115 depicts the carrier-aggregation capabilities of different 3GPP releases.
Figure 115: Carrier Aggregation Capabilities across 3GPP Releases271
270
271
4G Americas, Mobile Broadband Evolution: Rel-12 & Rel-13 and Beyond, 2015.

One anticipated benefit of inter-band aggregation stems from using the lower-frequency
band for users who are at the cell edge, to boost their throughput rates. Though this
approach improves average aggregate throughput of the cell by only a small amount (say,
10%), it results in a more uniform user experience across the cell coverage area.
Figure 116 shows an example of intra-band carrier aggregation using adjacent channels
with up to 100+100 MHz of bandwidth supported. Radio-access network specifications,
however, limit the number of carriers to two in Release 10 and Release 11.
Figure 116: Release 10 LTE-Advanced Carrier Aggregation272
Release 10 LTE-Advanced UE resource pool
Rel’8 Rel’8 Rel’8 Rel’8 Rel’8
100 MHz bandwidth

20 MHz Release 8 UE uses a
single 20 MHz block
Figure 117 shows the carrier aggregation operating at different protocol layers.
272
Harri Holma and Antti Toskala, LTE for UMTS, OFDMA and SC-FDMA Based Radio Access, Wiley,
2009.

Figure 117: Carrier Aggregation at Different Protocol Layers273
For a list of band combinations, refer to the 5G Americas white paper, Wireless Technology
Evolution Towards 5G: 3GPP Release 13 to Release 15 and Beyond, February 2017, at
section 3.4.3.Figure 118 shows the result of one simulation study that compares download
throughput rates between the blue line, which shows five user devices in 700 MHz and
five user devices in AWS not using CA, and the pink line, which shows ten user devices
that have access to both bands. Assuming a lightly loaded network with CA, 50% or more
users (the median) experience 91% greater throughput, and 95% or more users
experience 50% greater throughput. These trunking gains are less pronounced in heavily
loaded networks.
273
Stefan Parkvall and David Astely, Ericsson Research, “The Evolution of LTE towards IMT-
Advanced,” Journal of Communications, Vol. 4, No. 3, Apr. 2009.
http://www.academypublisher.com/jcm/vol04/no03/jcm0403146154.pdf.

Figure 118: Gains from Carrier Aggregation274
Work in Release 12 is investigating aggregation of joint TDD and FDD carriers.
Coordinated Multi Point (CoMP)

Coordinated Multi Point (CoMP) is a communications technique that can improve coverage,
cell-edge throughput, and/or system spectrum efficiency by reducing interference. This
technique was thoroughly studied during the development of LTE-Advanced Release 10
and was standardized in Release 11.
CoMP coordinates transmissions at different cell sites, thereby achieving higher system
capacity and improving cell-edge data rates.
The main principle of CoMP is that a UE at a cell edge location can receive signals from
multiple transmission points, and/or its transmitted signal can be received by multiple
reception points. Consequently, if these multiple transmission points coordinate their
transmissions, the DL throughput performance and coverage can improve.
For the UL, signals from the UE received at multiple reception points can significantly
improve the link performance. Techniques can range from simple interference avoidance
methods, such as Coordinated Beam Switching (CBS) and Coordinated Beam Forming
274
5G Americas member contribution. Assumptions: lightly-loaded network, 2.0 site-to-site distance,
file size is 750 Kbytes, traffic model bursty with mean inter-arrival time of five seconds.

(CBF), to complex joint processing techniques that include Joint Transmission (JT), Joint
Reception (JR), and Dynamic Point Selection (DPS).
CoMP architectures include inter-site CoMP, intra-site CoMP, as well as CoMP with
distributed eNBs (i.e., an eNB with distributed remote radio heads). Figure 119 shows two
possible levels of coordination.
Figure 119: Different Coordination Levels for CoMP275
In one CoMP approach, called coordinated scheduling and shown in Figure 120, a single
site transmits to the user, but with scheduling, including any associated beamforming,
coordinated between the cells to reduce interference between the different cells and to
increase the served user’s signal strength. In Joint Transmission, another CoMP approach
also shown in Figure 120, multiple sites transmit simultaneously to a single user. This
approach can achieve higher performance than coordinated scheduling, but it has more
stringent backhaul communications requirements. One simpler form of CoMP that will be
available in Release 10, and then further developed in Release 11, is ICIC. Release 11 of
LTE defines a common feedback and signaling framework for enhanced CoMP operation.
Figure 120: Coordinated Scheduling/BF and Joint Processing CoMP

Approaches276
Coordinated Scheduling/BF
&
Joint Processing
275
276

Release 11 also implements CoMP on the uplink, by which multiple base stations receive
uplink transmissions and jointly process the signal, resulting in significant interference
cancellation and improvements to spectral efficiency.
The performance gains expected from CoMP are under discussion in the industry.
According to 3GPP document TR 36.819, for the case of resource utilization below 35%,
CoMP may provide a 5.8% performance gain on the downlink for the mean user and a
17% gain for cell-edge users relative to HetNets without eICIC. For resource utilization of
more than 35%, CoMP may provide a 17% mean gain and a 40% cell-edge gain.277 CoMP
can also be used in combination with eICIC for additional gains.
In the same 3GPP TR 36.819 document, 3GPP estimates the downlink CoMP gain in
spectral efficiency, defined as average sector throughput for full buffer traffic using JT and
4x2 MU-MIMO as defined in R11, compared with 4x2 MU-MIMO based on R10, to be about
3% for intra-eNodeB CoMP. That gain drops to about 9% for inter-eNodeB CoMP in the
case of no delay in the backhaul used to exchange information between eNodeBs. The
corresponding gains in cell-edge user throughput are 20% and 31%, respectively.
When increasing the backhaul latency to a more realistic value of 10 msec for inter-
eNodeB, spectral efficiency decreases to zero, and the cell edge gain decreases to 10%.
The gains for DL CoMP based on Coordinated Scheduling/Coordinated Beamforming

(CS/CB) and intra-eNodeB are less than that provided by JT, with spectral efficiency at
1% and cell edge gains at 4%.
All of the above gains are for FDD networks with cross-polarized antennas at the eNodeBs.
For TDD networks, the gains are higher by virtue of being able to invoke channel
reciprocity and thus infer the DL channel directly from the UL channel. For example, for
intra-eNodeB CoMP with JT 4x2 MU-MIMO, the respective gains in spectral efficiency and
cell-edge throughput are 14% and 29%, respectively.
The gains for UL CoMP based on Joint Reception (JR) are greater than the DL gains. For
intra-eNodeB CoMP, the average and cell-edge throughputs are increased to 22% and
40%, assuming two receive antenna paths with SU-MIMO. These respective gains increase
to 31% and 66% for inter-eNodeB CoMP. In addition, UL CoMP does not require
standardization and thus facilitates vendor implementation.
Uplink CoMP assists VoLTE because it improves cell-edge performance, making voice
handover more reliable when traversing between cells. The benefit is analogous to CDMA
soft handover; in both cases, the mobile device communicates with two sites
simultaneously.
User-Plane Congestion Management (UPCON)

With User-Plane Congestion Management, specified in Release 13, operators have
additional tools to mitigate network congestion in specific coverage areas. Mechanisms
include traffic prioritization by adjusting QoS for specific services; reducing traffic by, for
example, compression; and limiting traffic, such as by prohibiting or deferring certain
traffic.
277
3GPP, Coordinated Multi-Point Operation for LTE Physical Layer Aspects, TR 36.819 v11.1.0, Tables
7.3.1.2-3 and 7.3.1.2-4, Sep. 2011.

3GPP specifications add a new architectural entity, called the “RAN Congestion Awareness
Function” (RCAF), that determines whether a cell is congested, determines the UEs
supported by that cell, and informs the Policy Control and Charging Rules Function (PCRF),
which can subsequently apply different policies to mitigate the congestion.278
Network-Assisted Interference Cancellation and Suppression (NAICS)

NAICS, a Release 13 capability, enhances the interference cancellation and suppression
capability of UEs by using more information from the network. The fundamental goal of
NAICS is to identify and cancel the dominant interferer, not an easy task when the
dominant interferer can be on or off and can change in time and frequency. One analysis
estimates an average performance gain of 7.4% relative to Release 11 Interference
Rejection Combining and 11.7% at the cell edge.279 5G Americas members expect even
higher performance gains, for example 20%, with implementation-specific scheduling and
as NAICS methods are refined.
Multi-User Superposition Transmission (MUST)

MUST, specified in Release 14, uses simultaneous transmissions of data for more than one
UE within a cell without time, frequency, or spatial layer separation. The concept relies on
a UE close to the base station having low propagation loss and a UE far from the base
station having high propagation loss. The far UE is not aware of, nor interfered by the
near UE transmission. The near UE cancels the far UE interference. The capacity gain
grows with the SNR/SINR difference between the close and far UEs.
IPv4/IPv6
Release 8 defines support for IPv6 for both LTE and UMTS networks. An Evolved Packet
System bearer can carry both IPv4 and IPv6 traffic, enabling a UE to communicate both
IPv4 and IPv6 packets (assuming it has a dual stack) while connected through a single
EPS bearer. It is up to the operator, however, whether to assign IPv4, IPv6, or both types
of addresses to UE.
Communicating between IPv6-only devices and IPv4 endpoints will require protocol-
conversion or proxies. For further details, refer to the 5G Americas white paper, “IPv6 –
Transition Considerations for LTE and Evolved Packet Core,” February 2009.
TDD Harmonization
3GPP developed LTE TDD to be fully harmonized with LTE FDD including alignment of
frame structures, identical symbol-level numerology, the possibility of using similar
Reference Signal patterns, and similar synchronization and control channels. Also, there
is only one TDD variant. Furthermore, LTE TDD has been designed to co-exist with TD-
SCDMA and TD-CDMA/UTRA (both low-chip rate and high-chip rate versions). LTE TDD
achieves compatibility and co-existence with TD-SCDMA by defining frame structures in
which the DL and UL time periods can be time aligned to prevent BTS to BTS and UE to
UE interference to support operation in adjacent carriers without the need for large
guardbands between the technologies. This will simplify deployment of LTE TDD in
For further details, see 3GPP TR 23.705, Study on system enhancements for user plane congestion
278
management (Release 13).

279
Harri Holma, Antti Toskala, Jussi Reunanen, LTE Small Cell Optimization: 3GPP Evolution to Release
13, Jan 2016, Wiley, ISBN: 978-1-118-91257-7.

countries such as China that are deploying TD-SCDMA. Figure 121 demonstrates the
synchronization between TC-SCDMA and LTE-TDD in adjacent channels.
Figure 121: TDD Frame Co-Existence between TD-SCDMA and LTE TDD280
For LTE FDD and TDD to co-exist, large guardbands will be needed to prevent interference.
SMS in LTE
Even if an LTE network uses CSFB for voice, LTE devices will be able to send and receive
SMS messages while on the LTE network. In this case, the 2G/3G core network will handle
SMS messaging, but will tunnel the message to the MME in the EPC via the SGs interface.
Once an LTE network uses IMS and VoLTE for packet voice service, SMS will be handled
as SMS over IP and will use IMS infrastructure.281
User Equipment Categories

LTE specifications define categories of UE, which mainly determine the maximum
throughputs of devices but also govern the number of downlink MIMO layers, as shown in
Table 34.
280
5G Americas member company contribution.
281
For further details, see 4G Americas, Coexistence of GSM, HSPA and LTE, May 2011, 35.

Higher throughput capabilities are possible with 64 QAM and 256 QAM modulation. 3GPP
is also defining Category 0 and Category M devices for M2M, as discussed in the section
“Internet of Things and Machine to Machine.”
Table 34: UE Categories282
UE Max DL Maximum DL Maximum UL Throughput

Category Throughput MIMO Layers
1 10.3 Mbps 1 5.2 Mbps
2 51.0 Mbps 2 25.5 Mbps
3 102.0 Mbps 2 51.0 Mbps
4 150.8 Mbps 2 51.0 Mbps
5 299.6 Mbps 4 75.4 Mbps
6 301.5 Mbps 2 or 4 51.0 Mbps
7 301.5 Mbps 2 or 4 102.0 Mbps
8 2998.6 Mbps 8 1497.8 Mbps
9 452.3 Mbps 2 or 4 51.0 Mbps
10 452.3 Mbps 2 or 4 102.0 Mbps
11 603.0 Mbps 2 or 4 51.0 Mbps
12 603.0 Mbps 2 or 4 102.0 Mbps
13 391.6 Mbps 2 or 4 150.8 Mbps
14 3916.6 Mbps 8 9587.7 Mbps
15 798.8 Mbps 2 or 4 226.1 Mbps
16 1051.4 Mbps 2 or 4 105.5 Mbps
17 2506.6 Mbps 8 2119.4 Mbps
18 1206.0 Mbps 2 or 4 (or 8) 211.0 Mbps
19 1658.3 Mbps 2 or 4 (or 8) 13563.9 Mbps
20 2019.4 Mbps 2 or 4 (or 8) 316.6 Mbps
21 1413.1 Mbps 2 or 4 301.5 Mbps
282
3GPP, Evolved Universal Terrestrial Radio Access (E-UTRA); User Equipment (UE) radio access
capabilities, 3GPP 36.306 V15.0.0 (2018-03).

LTE-Advanced Relays
Another capability being planned for LTE-Advanced is relays, as shown in Figure 122.
The idea is to relay frames at an intermediate node, resulting in much better in-building
penetration, and with better signal quality, user rates will improve. Relay nodes can also
improve cell-edge performance by making it easier to add picocells at strategic locations.
Relays provide a means for lowering deployment costs in initial deployments in which
usage is relatively low. As usage increases and spectrum needs to be allocated to access
only, operators can then employ alternate backhaul schemes.
Figure 122: LTE-Advanced Relay283
Direct Link
Relay Link Access

Link
Proximity Services (Device-to-Device)

Release 12 defined a capability for devices to communicate directly with one another using
LTE spectrum, a feature also called “operator-enabled proximity services.” With this
capability, devices can autonomously discover nearby relevant devices and services in a
battery-efficient manner. Devices broadcast their needs and services and can also
passively identify services without user intervention. The communication between devices
is called “sidelink communications” and uses an interface called “PC5.” Release 12,
emphasizing public-safety applications, supports only one-to-many sidelink
communications, whereas Release 13 supports one-to-one sidelink communications
between two group member UEs and between a remote UE and a relay UE.
Initial emphasis of this capability, in both Release 12 and Release 13, is on public safety.
Examples of potential consumer or commercial applications include discovering friends
and family (social matching), push advertising for relevant notifications, tourist bulletins,
venue services, crime alerts, home automation, vehicle-to-vehicle communication, and
detecting children leaving the vicinity of their homes. The service is designed to work
during infrastructure failures, even in emergencies and natural disasters. As a new means
of communicating, proximity services could result in innovative types of applications.
The LTE network performs configuration and authentication; however, communication can
be either via the network or directly between devices. To minimize battery consumption,
devices synchronously wake up for brief intervals to discover services. The impact on LTE
network capacity is minimal.
283

As with other location-based services, operators and application developers will need to
address privacy concerns.
LTE Throughput
The section “4G LTE Advances” above in the main section of the paper and “Data
Throughput Comparison” in the appendix provide an overview of LTE throughputs. This
section provides additional details.
Table 35 shows initial (Release 8) LTE peak data rates based on different downlink and
uplink designs.
Table 35: LTE Peak Throughput Rates
Downlink (Mbps) Uplink (Mbps)

LTE Configuration
Peak Data Rate Peak Data Rate
Using 2X2 MIMO in the Downlink and 70.0 22.0
16 QAM in the Uplink, 10+10 MHz
Using 4X4 MIMO in the Downlink and 300.0 71.0

64 QAM in the Uplink, 20+20 MHz
LTE is not only efficient for data but, because of a highly efficient uplink, is extremely
efficient for VoIP traffic. As discussed in the “Spectral Efficiency” section above, in 10+10
MHz of spectrum, LTE VoIP capacity will reach 500 users.284
Table 36 analyzes LTE median and average throughput values in greater detail for different
LTE configurations.
284
3GPP Multi-member analysis.

Table 36: LTE FDD User Throughputs Based on Simulation Analysis285
The simulation results represent a consensus view of 5G Americas members working on

this white paper project. The goal of the analysis was to quantify LTE throughputs in
realistic deployments. Simulation assumptions include:
❑ Traffic is FTP-like at a 50% load with a 75/25 mix of indoor/outdoor users.
❑ Throughput is at the medium-access control (MAC) protocol layer. (Application-layer

throughputs may be 5 to 8 percent lower due to protocol overhead.)
❑ The 3GPP specification release numbers shown correspond to the infrastructure

capability.
❑ The configuration in the first row corresponds to low-frequency band operation,

representative of 700 MHz or cellular, while the remaining configurations assume high-
frequency band operation, representative of PCS, AWS, or WCS. (Higher frequencies
facilitate higher-order MIMO configurations and have wider radio channels available.)
❑ The downlink value for the first row corresponds to Release 8 device-receive capability
(Minimum Mean Square Error [MMSE]), while the values in the other rows correspond
to Release 11 device-receive capability (MMSE – Interference Rejection Combining
[IRC]).
❑ The uplink value for the first row corresponds to a Maximal Ratio Combining (MRC)
receiver at the eNodeB, while the remaining values correspond to an IRC receiver.
❑ Low-band operation assumes 1,732-meter inter-site distance, while high-band

operation assumes 500-meter ISD. The remaining simulation assumptions are listed
in Table 37.
285
5G Americas member contribution. SIMO refers to Single Input Multiple Output antenna
configuration, which in the uplink means one transmit antenna at the UE and multiple receive
antennas at the eNodeB.

Table 37: LTE FDD User Throughput Simulation Assumptions286
The assumptions, emphasizing realistic deployments, do not necessarily match

assumptions used by other organizations, such as 3GPP, so results may differ.
Additional insight into LTE performance under different configuration comes from a test
performed on a cluster of cells in an LTE operator’s network, comparing downlink
performance of 4X2 MIMO against 2X2 MIMO, and uplink performance of 1X4 SIMO against
1X2 SIMO. The test employed LTE category 4 devices.287
286
287

These tests, which were performed in a 20+20 MHz cluster, show significant
improvements in cell edge uplink and downlink throughput, in addition to an overall
increase in uplink and downlink throughputs. Specific results include:
❑ A 100% increase in uplink throughput at the cell edge with 1X4 SIMO compared to
1x2 SIMO.
❑ A 40% increase in downlink throughput at the cell edge with 4x2 closed-loop MIMO
compared to 2x2 open-loop MIMO.
❑ A 50 to 75% increase in downlink throughput with closed loop MIMO compared to

transmit diversity modes.
❑ Up to 6dB gains in uplink transmit power with 1X4 SIMO, which directly translates
into UE battery savings.
❑ Peak speeds of 144 Mbps with 4X2 MIMO in the downlink and 47 Mbps with 1X4
SIMO in the uplink.
Another LTE operator’s testing results for LTE in a TDD configuration, using 20 MHz
channels, 3:2 DL to UL ratio, and category 3 devices, showed:
❑ Peak speeds of 55 Mbps.
❑ Typical speeds of 6 to 15 Mbps.288
Figure 123 shows the result of a drive test in a commercial LTE network with a 10 MHz
downlink carrier demonstrating 20 Mbps to 50 Mbps throughput rates across much of the
coverage area. Throughput rates would double with a 20+20 MHz configuration.
288

Figure 123: Drive Test of Commercial European LTE Network (10+10 MHz)289
Figure 124 provides additional insight into LTE downlink throughput, showing Layer 1
throughput simulated at 10 MHz bandwidth using the Extended Vehicular A 3 km/hour
channel model. The figure shows the increased performance obtained with the addition of
different orders of MIMO. Note how throughput improves based on higher signal to noise
ratio (SNR).
289
Ericsson contribution.

Figure 124: LTE Throughput in Various Modes290
Actual throughput rates that users experience are lower than the peak rates and depend
on a variety of factors:
❑ RF Conditions and User Speed. Peak rates depend on optimal conditions.

Suboptimal conditions include being at the edge of the cell or moving at high speed,
resulting in lower throughput.
❑ Network Loading. Like all wireless systems, throughput rates go down as more
devices simultaneously use the network. Throughput degradation is linear.
Figure 125 shows how dramatically throughput rates can vary by number of active users
and radio conditions. The higher curves are for better radio conditions.
290
Jonas Karlsson, Mathias Refback, “Initial Field Performance Measurements of LTE,” Ericsson
Review, No. 3, 2008.

Figure 125: LTE Actual Throughput Rates Based on Conditions291
VoLTE and RCS

This paper introduced VoLTE and voice support in the earlier section, “VoLTE, RCS,
WebRTC, and Wi-Fi Calling.” This section in the appendix provides additional technical
detail about the operation of VoLTE and RCS.
Voice in LTE can encompass: no voice support, voice implemented in a circuit-switched

fallback (CSFB) mode using 2G or 3G, and VoIP implemented with IMS.
Initial LTE network deployments used CSFB, with which the LTE network carries circuit-
switched signaling over LTE interfaces, allowing the subscriber to be registered with the
2G/3G MSC even while on the LTE network. When there is a CS event, such as an incoming
voice call, the MSC sends the page to the LTE core network, which delivers it to the
subscriber device. The device then switches to 2G/3G operation to answer the call.
Voice over LTE using VoIP requires IMS infrastructure. To facilitate IMS-based voice,
vendors and operators created the One Voice initiative to define required baseline
functionality for user equipment, the LTE access network, the Evolved Packet Core, and
the IMS. GSMA adopted the One Voice initiative in what it calls VoLTE, specified in GSMA
291
LTE/SAE Trial Initiative, “Latest Results from the LSTI, Feb 2009,” http://www.lstiforum.org.

reference document IR.92.292 GSMA specifies interconnection and international roaming
among LTE networks through the IR.88293 specification. Another specification, IR.94,
provides the IMS Profile for Conversational Video Service, a service referred to as “Video
over LTE” (ViLTE).294
For a phone to support VoLTE, it needs software implementing the IMS protocol stack. For
example, the iPhone 6 was the first iPhone to implement such software. Additional
software implementing RCS application programming interfaces can provide applications
with access to IMS-based services, such as voice, messaging, and video. The Open Mobile
Alliance has defined RESTful network APIs for RCS that support the following functions:
notification channel, chat, file transfer, third-party calls, call notification, video sharing,
image sharing, and capability discovery. As shown in Figure 126, over time, new profile
releases will broaden the scope of these APIs.
Figure 126: Evolution of RCS API Profiles295
LTE VoIP leverages the QoS capabilities defined for EPC, which specify different quality
classes. Features available in LTE to make voice operation more efficient include Semi-
Persistent Scheduling (SPS) and TTI bundling. SPS reduces control channel overhead for
applications (like VoIP) that require a persistent radio resource. Meanwhile, TTI bundling
292
GSMA, “IMS Profile for Voice and SMS,” Document IR.92. http://www.gsma.com/newsroom/wp-
content/uploads/2013/04/IR.92-v7.0.pdf.
293
GSMA, “LTE Roaming Guidelines,” GSMA Document IR.88. http://www.gsma.com/newsroom/wp-
content/uploads/2013/04/IR.88-v9.0.pdf.
294
GSMA, “IMS Profile for Conversational Video Service,” Document IR.94.
http://www.gsma.com/newsroom/all-documents/ir-94-ims-profile-for-conversational-video-service/.
295
4G Americas, VoLTE and RCS Technology – Evolution and Ecosystem, Nov. 2014.

improves subframe utilization by reducing IP overhead, while in the process optimizing
uplink coverage.
Another way to increase voice capacity in LTE and to support operation in congestion
situations is vocoder rate adaptation, a mechanism with which operators can control the
codec rate based on network load, thus dynamically trading off voice quality against
capacity.
VoLTE roaming across operators will require network-to-network interfaces between their
respective IMS networks. Such roaming and interconnect will follow initial VoLTE
deployments. Different IMS stack implementations between vendors will also complicate
roaming.
One roaming consideration is how operators handle data roaming. LTE roaming can send
all visited network traffic back to the home network, which for a voice call, increases voice
latency. For voice calls, the local breakout option would mitigate this latency.
Using Single-Radio Voice Call Continuity (SR-VCC) and Enhanced SR-VCC (eSRVCC), user
equipment can switch mid-call to a circuit-switched network, in the event that the user
moves out of LTE coverage. Similarly, data sessions can be handed over in what is called
“Packet-Switched Handover” (PSHO).
Figure 127 shows how an LTE network might evolve in three stages. Initially, LTE performs
only data service, and the underlying 2G/3G network provides voice service via CSFB. In
the second stage, voice over LTE is available, but LTE covers only a portion of the total
2G/3G coverage area. Hence, voice in 2G/3G can occur via CSFB or SR-VCC. Eventually,
LTE coverage will match 2G/3G coverage, and LTE devices will use only the LTE network.

Figure 127: Evolution of Voice in an LTE Network296
Another voice approach, called “Voice over LTE via Generic Access” (VoLGA), defined
circuit-switched operation through an LTE IP tunnel. 3GPP, however, has stopped official
standards work that would support VoLGA.
3GPP has developed a new codec, called “Enhanced Voice Services” (EVS), which will
include super-wideband voice capability. For the same bit rate, EVS provides higher voice
quality than the other codecs.297 Table 38 summarizes the features and parameters of the
three 3GPP codecs used in LTE.
296
See Figure 9.2. 3GPP, TR 26.952 V12.1.0, Codec for Enhanced Voice Services (EVS); Performance
297
Characterization, Mar. 2015.

Table 38: Comparison of AMR, AMR-WB and EVS Codecs298
Features AMR AMR-WB EVS
Input and output sampling 8KHz 16KHz 8KHz, 16KHz, 32KHz, 48

frequencies supported KHz
Audio bandwidth Narrowband Wideband Narrowband, Wideband,

Super-wideband, Fullband
Coding capabilities Optimized for Optimized for Optimized for coding

coding human coding human human voice and general-
voice signals voice signals purpose audio (music,
ringtones, mixed content)
signals
Bit rates supported (in 4.75, 5.15, 5.90, 6.6, 8.85, 12.65, 5.9, 7.2, 8, 9.6 (NB and
kb/s) 6.70, 7.4, 7.95, 14.25, 15.85, WB only), 13.2 (NB, WB
10.20, 12.20 18.25, 19.85, and SWB), 16.4, 24.4, 32,
23.05, 23.85 48, 64, 96, 128 (WB and
SWB only)
Number of audio channels Mono Mono Mono and Stereo
Frame size 20 ms 20 ms 20 ms
Algorithmic Delay 20-25 ms 25 ms Up to 32 ms
Figure 128 shows mean opinion scores (MOS) for different codecs at different bit rates,
illustrating the advantage of EVS, particularly for bit rates below 32 kbps that cellular
networks use.
298
4G Americas, Mobile Broadband Evolution: Rel-12 & Rel-13 and Beyond, 2015. See also T-Mobile
2016 EVS announcement: https://newsroom.t-mobile.com/news-and-blogs/volte-enhanced-voice-
services.htm.

Figure 128: Combined Mean Opinion Score Values299
Table 39 shows EVS (narrowband, wideband, super-wideband) audio bandwidths and

bitrates that create subjective quality equal to or better than AMR or AMR-WB for typical
conversational voice scenarios.
Table 39: EVS Compared to AMR and AMR-WB300
Figure 129 compares EVS capacity gains over AMR and AMR-WB for the reference cases
shown in Table 39. EVS-SWB at 9.6 kbps almost doubles voice capacity compared to AMW-
WB at 23.85 kbps.
299
Nokia, The 3GPP Enhanced Voice Services (EVS) codec, 2015.
300
Ibid.

Figure 129: EVS Voice Capacity Compared to AMR and AMR-WB301
LTE Ultra-Reliable and Low-Latency Communications

The 3GPP work item for this feature states, “3GPP LTE technology enhancements are
needed to serve such new use cases and to remain technologically competitive up to and
beyond 2020. As a candidate technology for ITU IMT-2020 submission, it is motivated to
further enhance the LTE system such that it can meet the key IMT-2020 requirements
including those for URLLC in terms of reliability (1-10-5 reliability for small data packets
within a latency of 1ms) as well as latency (≤1ms one way user plane latency).”302
Evolved Packet Core (EPC)

3GPP defined the Evolved Packet Core (EPC) in Release 8 as a framework for an evolution
or migration of the network to a higher-data-rate, lower latency, packet-optimized system
that supports multiple radio-access technologies including LTE, as well as and legacy
GSM/EDGE and UMTS/HSPA networks. EPC also integrates CDMA2000 networks and Wi-
Fi.
EPC is optimized for all services to be delivered via IP in a manner that is as efficient as
possible—through minimization of latency within the system, for example. It also provides
service continuity across heterogeneous networks, which is important for LTE operators
who must simultaneously support GSM-HSPA customers.
One important performance-enhancing aspect of EPC is a flatter architecture. For packet

flow, EPC includes two network elements, called “Evolved Node B” (eNodeB) and the
Access Gateway (AGW). The eNodeB (base station) integrates the functions traditionally
301
Ibid.
RP-170796, 3GPP Work Item Description, "Ultra Reliable Low Latency Communication for LTE,"
302
Mar. 2017.

performed by the radio network controller, which previously was a separate node
controlling multiple Node Bs. Meanwhile, the AGW integrates the functions traditionally
performed by the SGSN and GGSN. The AGW includes both control functions, handled
through the Mobile Management Entity (MME), and user plane (data communications)
functions. The user plane functions consist of two elements: A serving gateway that
addresses 3GPP mobility and terminates eNodeB connections, and a Packet Data Network
(PDN) gateway that addresses service requirements and also terminates access by non-
3GPP networks. The MME serving gateway and PDN gateways can be collocated in the
same physical node or distributed, based on vendor implementations and deployment
scenarios.
EPC uses IMS as a component. It also manages QoS across the whole system, an
important enabler for voice and other multimedia-based services.
Figure 130 shows the EPC architecture.
Figure 130: EPC Architecture
Elements of the EPC architecture include:
❑ Support for legacy GERAN and UTRAN networks connected via SGSN.
❑ Support for new radio-access networks such as LTE.
❑ Support for non-3GPP networks such as EV-DO and Wi-Fi. (See section below on
Wi-Fi integration).
❑ The Serving Gateway that terminates the interface toward the 3GPP radio-access
networks.

❑ The PDN gateway that controls IP data services, does routing, allocates IP
addresses, enforces policy, and provides access for non-3GPP access networks.
❑ The MME that supports user equipment context and identity, as well as
authenticating and authorizing users.
❑ The Policy Control and Charging Rules Function that manages QoS aspects.
QoS in EPS employs the QoS Class Identifier (QCI), a number denoting a set of transport
characteristics (bearer with/without guaranteed bit rate, priority, packet delay budget,
packet error loss rate) and used to infer nodes specific parameters that control packet
forwarding treatment (such as scheduling weights, admission thresholds, queue
management thresholds, or link-layer protocol configuration). The network maps each
packet flow to a single QCI value (nine are defined in the Release 8 version of the
specification) according to the level of service required by the application. Use of the QCI
avoids the transmission of a full set of QoS-related parameters over the network interfaces
and reduces the complexity of QoS negotiation. The QCI, together with Allocation
Retention Priority (ARP) and, if applicable, Guaranteed Bit Rate (GBR) and Maximum Bit
Rate (MBR), determines the QoS associated to an EPS bearer. A mapping between EPS
and pre-Release 8 QoS parameters permits interworking with legacy networks.
The QoS architecture in EPC enables a number of important capabilities for both operators
and users:
❑ VoIP support with IMS. QoS is a crucial element for providing LTE/IMS voice
service. (See section below on IMS).
❑ Enhanced application performance. Applications such as gaming or video can

operate more reliably.
❑ More flexible business models. With flexible, policy-based charging control,

operators and third parties will be able to offer content in creative new ways. For
example, an enhanced video stream to a user could be paid for by an advertiser.
❑ Congestion control. In congestion situations, certain traffic flows (bulk transfers,

abusive users) can be throttled down to provide a better user experience for others.
Table 40 shows the initial QCIs defined for LTE.303
Table 40: LTE Quality of Service
QCI Resource Type Priority Delay Packet Examples

Budget Loss
-2
1 GBR (Guaranteed 2 100 msec. 10 Conversational
Bit Rate) voice
-3
2 GBR 4 150 msec. 10 Conversational
video (live
streaming)
-3
3 GBR 3 50 msec. 10 Real-time gaming
303
For a comprehensive, up-to-date list of QCI, refer to 3GPP, Policy and charging control
architecture, 3GPP TS 23.203.
https://portal.3gpp.org/desktopmodules/Specifications/SpecificationDetails.aspx?specificationId=810.

QCI Resource Type Priority Delay Packet Examples
Budget Loss
-6
4 GBR 5 300 msec. 10 Non-
conversational
video (buffered
streaming)
-6
5 Non-GBR 1 100 msec. 10 IMS signaling
-6
6 Non-GBR 6 300 msec. 10 Video (buffered
streaming), TCP
Web, email, and
FTP
-3
7 Non-GBR 7 100 msec. 10 Voice, video (live
streaming),
interactive
gaming
-6
8 Non-GBR 8 300 msec. 10 Premium bearer
for video
(buffered
streaming), TCP
Web, e-mail, and
FTP
-6
9 Non-GBR 9 300 msec. 10 Default bearer for
video, TCP for
non-privileged
users
Heterogeneous Networks and Small Cells

A fundamental concept in the evolution of next-generation networks is the blending of
multiple types of networks to create a “network of networks” characterized by:
❑ Variations in coverage areas, including femtocells (either enterprise femtos or

home femtos, called HeNBs), picocells (also referred to as metro cells), and macro
cells. Cell range can vary from 10 meters to 50 kilometers.
❑ Different frequency bands.
❑ Different technologies spanning Wi-Fi, 2G, 3G, 4G, and 5G.
❑ Relaying capability in which wireless links can serve as backhaul.
Figure 131 shows how user equipment might access different network layers.

Figure 131: Load Balancing with Heterogeneous Networks304
HetNets will allow significant capacity expansion in configurations in which operators can
add picocells to coverage areas served by macrocells, particularly if there are hot spots
with higher user densities.
Small cells differentiate themselves from macrocells according to the parameters shown
in Table 41.
Table 41: Small Cell Vs. Macro Cell Parameters: Typical Values
Parameter Small Cell Macro Cell
Transmission Power 24 dBm (0.25 W) 43 dBm (20 W)
Antenna Gain 2 dBi 15 dBi
Users Tens Hundreds
Mobility 30 km/hr 350 km/hr
Whether or not the small cell uses the same radio carriers as the macro cell involves
multiple tradeoffs. In Figure 132 Scenario 1, the small cells and macro cell use different
304

radio carriers, the two not interfering with each other. Although this configuration requires
more spectrum, the small cells are able to cover larger areas than if they were deployed
using the same radio carrier as the macro. This configuration supports medium-to-high
penetration levels of small cells, allowing the network to reach huge capacity.
In Scenario 2, the small cells and macro cells use the same radio carrier, accommodating
operators with more limited spectrum, but the network must manage interference using
the techniques discussed below. Operators must carefully manage small-cell transmission
power in this configuration.
Figure 132: Scenarios for Radio Carriers in Small Cells
In Scenario 3, the small cells use a straddled radio carrier, accommodating operators with
more spectrum, but the network still needs to manage interference using techniques
discussed below. Compared with a shared carrier configuration, this configuration has
benefits similar to dedicated carriers in terms of radio-parameter planning and reduced
interference.
Figure 133 shows two different traffic distribution scenarios, with a uniform distribution of
devices in the first and higher densities serviced by picocells in the second. The second
scenario can result in significant capacity gains as well as improved user throughput.

Figure 133: Different Traffic Distributions Scenarios
One vendor calculated expected HetNet gains assuming no eICIC, no picocell range
extension, and no eICIC. For the case of four picocells without picocell range extension
and uniform user distribution, the median-user-throughput gain compared with a macro-
only configuration was 85%. For a similar case of four picocells but using a hotspot user
distribution, the gain was much higher, 467%.305 Additional gains will occur with picocell
range extension.
Expected picocell gains rise proportionally to the number of picocells, so long as a sufficient
number of UEs connect to the picocells.
Release 10 and Release 11 added enhanced support to manage the interference in the
HetNet scenario in the time domain with Enhanced Inter-cell Interference Coordination
(eICIC) and Further Enhanced Intercell Interference Coordination (feICIC), as well as in
the frequency domain with carrier-aggregation-based ICIC.
HetNet capability keeps becoming more sophisticated through successive 3GPP releases
as summarized in Table 42.
305
5G Americas member contribution. Further assumes 2X1 W picocell transmit power, cell-edge
placement (planned picocell deployment), 67% of all the users within 40m of the pico locations, and
3GPP Technical Report 36.814 adapted to 700 MHz.

Table 42: 3GPP HetNet Evolution
3GPP Release HetNet Feature
Initial SON capabilities, most for auto configuration. Initial intercell

8
interference coordination (ICIC) available.
More mobility options (for example, handover between HeNBs),

9 operator customer subscriber group (SCG) lists, load-balancing,
coverage and capacity improvements.
An interface for HeNBs, called “Iurh,” that improves coordination

10 and synchronization, LTE time domain eICIC. Carrier-aggregation-
based ICIC also defined.
11 Improved eICIC, further mobility enhancements.
Enhanced Intercell Interference Coordination

Significant challenges must be addressed in these heterogeneous networks. One is near-
far effects, in which local small-cell signals can easily interfere with macro cells if they are
using the same radio carriers.
Interference management is of particular concern in HetNets since, by design, coverage

areas of small coverage cells overlap with the macro cell. Beginning with Release 10, eICIC
introduces an approach of almost-blank subframes by which subframe transmission can
be muted to prevent interference. Figure 134 illustrates eICIC for the macro layer and
pico layer coordination. If a UE is on a picocell but in a location where it is sensitive to
interference from the macro layer, the macro layer can mute its transmission during
specific frames when the pico layer is transmitting.

Figure 134: Example of Enhanced Intercell Interference Coordination306
LTE can also combine eICIC with interference-cancellation-based devices to minimize the
harmful effects of interference between picocells and macro cells.
Figure 135 shows one 4G America member’s analysis of anticipated median throughput
gains using picocells and Release 11 Further Enhanced ICIC.
306

Figure 135: Median Throughput Gains in Hotspot Scenarios307
FeICIC is also beneficial in non-hotspot scenarios. In the case of a uniform distribution of

picocells, this same 5G Americas member estimates a 130% gain from FeICIC for an eight
picocell per macro-cell scenario, increasing capacity from a factor of 3.3 for the picocells
alone to a factor of 7.6 with the addition of FeICIC.308
Further insight is available from Figure 136, which shows 5 percentile and 50 percentile
throughput with and without eICIC under different conditions of range extension and
almost blanked subframes.
307
5G Americas member contribution. Assumes 3GPP evaluation methodology TR 36.814, carrier-
aggregation UEs, macro ISD = 1732m, 700 MHz and 2GHz carrier frequency, full-buffer traffic, FDD
10+10 MHz per carrier, 6-degree antenna downtilt, 4 or 8 Picos and 30 UEs per Macro cell, hotspot
distribution with 20 of 30 UEs near picos, PF scheduler, 2x2 MIMO, TU3 channel, NLOS, local
partitioning algorithm.
308
Assumes 3GPP evaluation methodology TR 36.814, macro ISD = 1732m, 700 MHz and 2GHz
carrier frequency, full-buffer traffic, 6-degree antenna downtilt, 30 carrier-aggregation UEs per Macro
cell, uniform random layout, PF scheduler, FDD, 10+10 MHz per carrier, 2x2 MIMO, TU3 channel,
NLOS, local partitioning algorithm. Additional information at
ftp://ftp.3gpp.org/tsg_ran/WG1_RL1/TSGR1_66b/Docs/R1-113383.zip.

Figure 136: User Throughput Performance With/Without eICIC for Dynamic
Traffic vs. Average Offered Load per Macro Cell Area309
The muting of certain subframes in eICIC is dynamic and depends on identifying, on a per
user basis, whether an interfering cell’s signal exceeds a threshold relative to the serving
cell signal. Coordinating muting among small cells can be complicated because a small cell
can simultaneously be an interferer while serving a UE that is a victim of another cell. The
network must therefore coordinate muting among multiple small cells.
Figure 137 below at left shows user throughput gains of time domain interference relative
to network load. Throughput gains are higher at higher network loads because of more
active users and the higher likelihood of interference between the small cells.
Figure 137 below at right shows the maximum muting ratio, which increases with higher
network load.
309
5G Americas member contribution. Assumes 3GPP evaluation methodology TR 36.814, 500-meter
ISD, 4 picos per macro-cell area, Poisson call arrival, finite payload for each call, and termination of
call upon successful delivery.

Figure 137: Throughput Gain of Time-Domain Interference Coordination310
Another approach for addressing inter-layer interference cancellation in HetNets can come
from carrier aggregation with no further additions or requirements and realizable with
Release 10 LTE networks. Consider the scenario in Figure 138, in which both the macro
eNB and the pico eNB are allocated two component carriers (namely CC1 and CC2). The
idea is to create a “protected” component carrier for downlink control signals and critical
information (Physical Downlink Control Channel, system information, and other control
channels) while data can be conveniently scheduled on both component carriers through
cross-carrier scheduling.
Figure 138: Carrier-Aggregation Based ICIC311
UE on carrier 1 with
control on carrier 1
UE on carrier 2 with
control on carrier 1
Macro eNB UE on carrier 2 with UE on carrier 1 with

control on carrier 2 control on carrier 2
CC1 is the primary component carrier for the macro cell, while CC2 is the primary for the
picocell; hence the protected carriers are CC1 for the macro cell and CC2 for the picocell.
The macro cell allocates a lower transmission power for its secondary CC in order to reduce
interference to the picocell’s primary component carrier. The network can schedule data
on both the primary and secondary component carriers. In the figure, users in the cell
range expansion (CRE) zone can receive data via cross-carrier scheduling from the
5G Americas member contribution. Simulations based on 12 densely deployed small cells at 3.5
310
GHz and 3GPP Release 12 simulation assumptions in TR 36.842.

311

secondary CC at subcarrier frequencies on which interference from the other cell can be
reduced if the cells exchange appropriate signaling over what is called an “X2 interface.”
Users operating close to the eNodeBs can receive data from both component carriers as
their interference levels will hopefully be lower. Therefore, a CA-capable receiver will enjoy
the enhanced throughput capabilities of carrier aggregation, while simultaneously
receiving extra protection for control and data channels at locations with potentially high
inter-layer interference.
Thus, carrier aggregation can be a useful tool for deployment of heterogeneous networks
without causing a loss of bandwidth. These solutions, however, do not scale well (in
Release 10 systems) to small system bandwidths (say, 3+3 MHz or 1.4+1.4 MHz radio
carriers) because control channels occupy a high percentage of total traffic. Additionally,
interference between the cell reference signals (CRS) would also be significant.
Dual Connectivity
A major enhancement in Release 12 is a UE being served at the same time by both a
macro cell and a small cell operating at different carrier frequencies, a capability called
dual connectivity and illustrated in Figure 139. Data first reaches the macro eNodeB and
is split, with part of it transmitted from the macro and the balance sent via an X2 interface
to the small cell for transmission to the UE.
Figure 139: Dual Connectivity312
Figure 140 shows throughput gains of dual connectivity at 5 percentile and 50 percentile
(median) levels relative to the load on the network and different degrees of latency in the
X2 interface. Benefits are higher with lower network load and with lower X2 latency.
312
Source: 5G Americas member contribution.

Figure 140: Dual Connectivity User Throughput313
313

Internet of Things and Machine to Machine
Anticipating huge growth in machine-to-machine communications, Release 11 added a
Machine Type Communications (MTC) Interworking Function and Service Capability
Server. Release 12 defined a category 0 device designed to deliver low cost through a
single antenna design and other simplifications.314 Release 13 went even further, with a
category M-1 architecture that further reduces cost, improves range, and extends battery
life. Category 13 also added Narrowband-IoT capability with Category NB-1 and an IoT
solution for GSM, called “EC-GSM-IoT,” that extends coverage by 20 dB. Category M-1
and NB-IoT devices could achieve battery life as high as 10 years.
Figure 141 depicts the methods used to reduce cost in a Category M device compared with
a Category 4 device.
Figure 141: Means of Achieving Lower Cost in IoT Devices315
Table 43 summarizes the features of different LTE IoT devices based on 3GPP Release.
Table 43: Summary of IoT Features in LTE Devices
Device Category Category Category Category Category EC-GSM-

Category 3 1 0 M-1 NB-1 IoT
3GPP Release 10 11 12 13 13 13
Max. Data Rate 100 Mbps 10 Mbps 1 Mbps 1 Mbps 200 Kbps 74 Kbps
Downlink
Max. Data Rate 50 Mbps 5 Mbps 1 Mbps 1 Mbps 200 Kbps 74 Kbps
Uplink
314
3GPP, Access System for Ultra Low Complexity and Low Throughput Internet of Things based on
Cellular, GP-140301, May 2014.
315

Device Category Category Category Category Category EC-GSM-
Category 3 1 0 M-1 NB-1 IoT
Max. 20 MHz 20 MHz 20 MHz 1.08 MHz 0.18 MHz 0.2 MHz
Bandwidth
Duplex Full Full Optional Optional Half Half

half- half-
duplex duplex
Max. Receive Two Two One One One One

Antennas
Power Power Power Power

Save Save Save
Mode316 Mode Mode
Sleep Longer
sleep
cycles
using Idle
Discontinu
ous
Reception
(DRX)
Coverage Extended
through
redundant
transmissi
ons and
Single
Frequency
Multicast
Cloud Radio-Access Network (RAN) and Network

Virtualization for LTE
Still in the early stages of development, cloud RAN (C-RAN) is a distributed architecture
in which multiple remote radio heads connect to a “cloud” that consists of a farm of
baseband processing nodes. This approach can improve centralized processing, as is
needed for CoMP, centralized scheduling, and Multiflow, without the need to exchange
information among many access nodes. The performance of both LTE and HSPA
technologies could be enhanced by the application of cloud RAN architectures. The term
“fronthauling” has been used to describe the transport of “raw” radio signals to central
processing locations, such as between the Physical Network Function (PNF) and a Virtual
Network Function (VNF). The fronthaul is the connection layer between a baseband unit
316
Power Save Mode specified in Release 12, but applicable to Category 1 device configured as
Release 12.

(BBU) pool and a set of remote radio units (RRU), providing high-bandwidth links to handle
the requirements of multiple RRUs.
This architecture, shown in Figure 142, comes at the cost of requiring high-speed, low-
latency backhaul links between these radio heads and the central controller. One vendor
states that carrying 10+10 MHz of LTE with 2X2 MIMO requires 2.5 Gbps of bandwidth
and imposes less than 0.1 msec of delay.317 A standard called “Common Public Radio
Interface” (CPRI) addresses generic formats and protocols for such a high-speed link. ETSI
has also developed the Open Radio Equipment Interface (ORI). The feasibility of cloud
RAN depends to a large extent on the cost and availability of fiber links between the
remote radio heads and the centralized baseband processing location.
Unlike virtualizing the EPC, in which the entirety of the function can be virtualized, cloud
RAN needs a PNF that terminates the RF interface. Cloud RAN therefore requires a split to
be defined within the RAN. As a consequence, initial deployments of cloud RAN have
looked to ruse the CPRI interface between the RRH and the baseband unit.
Figure 142: Potential Cloud RAN Approach
The next evolutionary step after centralizing baseband processing is to virtualize the
processing by implementing the functions in software on commodity computing platforms,
thus abstracting the functions from any specific hardware implementation.
C-RANs can vary by the extent of coverage, ranging from being highly localized and
operating across a small number of sites to metropolitan-wide solutions. Other variables
include existing deployments versus greenfield situations, new LTE and 5G technologies
versus integrating legacy 2G and 3G technologies, and integrating Wi-Fi. Greater scope
317
Dudu Bercovich, Ran Avital, “Holistic HetNet Hauling (3H),” Ceragon, Feb. 2013.
http://www.ceragon.com/images/Reasource_Center/White_Papers/Ceragon_Holistic_Hetnet_Hauling_
White_Paper.pdf.

increases complexity but yields benefits including better load-balancing and greater
flexibility in spectrum re-farming.
Another design choice, as detailed in Table 44, is whether to centralize Layer 1 and Layer
2 functions (an RF-PHY split), or whether to keep Layer 1 at the base stations and
centralize only Layer 2 (a PHY-MAC split).
Table 44: Partially Centralized Versus Fully Centralized C-RAN
Fully Centralized Partially Centralized
Transport Requirements Multi-Gbps, usually using 20 to 50 times less

fiber
Fronthaul Latency Less than 100 Greater than 5 milliseconds

Requirement microseconds
Applications Supports eICIC and CoMP Supports centralized

scheduling
Complexity High Lower
Benefit Capacity gain Lower capacity gain
In the past, RAN and core networks have been distinct entities, but over the next decade,
the two may merge with more centralized, virtualized, and cloud-driven approaches.
Another form of virtualization is software-defined networking, an emerging trend in both

wired and wireless networks. For cellular, SDN promises to reduce OPEX costs, simplify
the introduction of new services, and improve scalability; all major infrastructure vendors
are involved. The Open Networking Foundation explains that an SDN decouples the control
and data planes, centralizing network state and intelligence, while abstracting the
underlying network infrastructure from applications.318 Virtualization of network functions
will be a complex, multi-year undertaking and will occur in stages, as shown in Figure 143.
318
Open Networking Foundation, “Software-Defined Networking: The New Norm for Networks,”
http://www.opennetworking.org/sdn-resources/sdn-library/whitepapers, accessed Jun. 20, 2014.

Figure 143: Software-Defined Networking and Cloud Architectures319
Although some operators implemented virtualization for their LTE networks, 5G networks
facilitate virtualization and will drive widespread adoption of virtualization and cloud
architectures. Refer to the section, “Virtualization and Cloud Native” in the main body of
this paper for further details.
Other Unlicensed Spectrum Integration

See the earlier section in this report on unlicensed spectrum integration, which includes a
discussion of LTE-U, LTE-LAA, MulteFire, LWA, LWIP, and RCLWI. This section covers
integration approaches other than these.
3GPP has evolved its thinking on how best to integrate Wi-Fi with 3GPP networks. At the
same time, the Wi-Fi Alliance and other groups have also addressed hotspot roaming,
namely the ability to enable an account with one public Wi-Fi network provider to use the
services of another provider that has a roaming arrangement with the first provider.
The multiple attempts to make Wi-Fi networks universally available have made for a
confusing landscape of integration methods, which this section attempts to clarify. Most
integration today is fairly loose, meaning that either a device communicates data via the
cellular connection or via Wi-Fi. If via Wi-Fi, the connection is directly to the internet and
bypasses the operator core network. In addition, any automatic handover to hotspots
occurs only between the operator cellular network and operator-controlled hotspots. The
goals moving forward are to:
319

❑ Support roaming relationships so that users can automatically access Wi-Fi
hotspots operated by other entities.
❑ Enable automatic connections so that users do not have to enter usernames and
passwords. In most cases, this will mean authentication based on SIM credentials.
❑ Provide secure communications on the radio link as provided by the IEEE 802.11i
standard.
❑ Allow policy-based mechanisms that define the rules by which devices connect to
various Wi-Fi networks.
❑ Enable simultaneous connections to both cellular and Wi-Fi, with control over which
applications use which connections.
❑ Support different types of Wi-Fi deployments, including third-party access points

and carrier access points.
Release 6 I-WLAN
3GPP Release 6 was the first release to offer the option of integrating Wi-Fi in a feature
called “Interworking WLAN” (I-WLAN), using a separate IP address for each network type.
Release 8 Dual Stack Mobile IPv6 and Proxy Mobile IPv6

3GPP Release 8 specified Wi-Fi integration with the EPC using two different approaches:
host-based mobility with Dual Stack Mobile IPv6 (DSMIPv6) in the client, and network-
based mobility with Proxy Mobile IPv6 (PMIPv6) using an intermediary node called an
“Enhanced Packet Data Gateway” (ePDG).320 This method is intended for untrusted (non-
carrier-controlled) Wi-Fi networks.
Release 11 S2a-based Mobility over GTP

Release 11, however, implements a new and advantageous approach as shown in Figure
144, one that eliminates the ePDG. Called “S2a-based Mobility over GTP” (SaMOG), a
trusted WLAN Access Gateway connects to multiple 3GPP-compliant access points. Traffic
can route directly to the internet or traverse the packet core. This method is intended for
trusted (carrier-controlled) Wi-Fi networks.
320
3GPP, System Architecture Evolution (SAE); Security aspects of non-3GPP accesses. TS 33.402.

Figure 144: Release 11 SaMOG-based Wi-Fi Integration
Release 12 improves SaMOG capabilities in Enhanced SaMOG (eSaMOG), in which UEs

can:
❑ Request the connectivity type.
❑ Indicate the Access Point Name (APN) to establish PDN connectivity.
❑ Request to hand over an existing PDN connection.
❑ Establish multiple PDN connections in parallel over the WLAN.
❑ Establish a non-seamless WLAN offload connection in parallel to a Packet Data

Network connection over WLAN.
Multipath TCP
A new method for potentially integrating Wi-Fi and 3GPP networks is based on work by
the Internet Engineering Taskforce (IETF). Called “Multipath TCP,” the approach allows a
TCP connection to occur simultaneously over two different paths. The advantages of this
approach include higher speeds by aggregating links and not requiring any special
provisions for link-layer handovers.
The IETF has published an experimental specification, Request for Comments 6824: CP
Extensions for Multipath Operation with Multiple Addresses, which explains this approach.
The IETF is also specifying Multipath QUIC.
ANDSF
Another relevant specification is 3GPP Access Network Discovery and Selection Function
(ANDSF), which provides mechanisms by which mobile devices can know where, when,

and how to connect to non-3GPP access networks, such as Wi-Fi.321 ANDSF operates
independently of SaMOG or other ways that Wi-Fi networks might be connected.
ANDSF functionality increases with successive 3GPP versions, as summarized in Table 45.
Table 45: ANDSF Policy Management Objects and 3GPP Releases322
Bidirectional Offloading Challenges

Eventually, operators will be able to closely manage user mobile broadband and Wi-Fi
connections, dynamically selecting a particular network for a user based on real-time
changes in loads and application requirements. Work is occurring in Release 12 to define
parameters that would control switching from LTE to Wi-Fi or from Wi-Fi to LTE.323
Bidirectional offloading, however, creates various challenges, as shown in Figure 145 and
discussed below.
321
3GPP, Architecture enhancements for non-3GPP accesses, Technical Specification 23.402.
322
Courtesy Smith Micro Software, 2014. http://www.smithmicro.com.
323
3GPP, Study on Wireless Local Area Network (WLAN) - 3GPP radio interworking (Release 12), TR
37.834.

Figure 145: Bidirectional Offloading Challenges
❑ Premature Wi-Fi Selection. As Wi-Fi-capable devices move into Wi-Fi coverage,

they can prematurely reselect to Wi-Fi without comparative evaluation of existing
cellular and incoming Wi-Fi capabilities, possibly resulting in the degradation of the
end user experience. Real-time throughput-based traffic steering can mitigate this
effect.
❑ Unhealthy choices. In a mixed network of LTE, HSPA, and Wi-Fi, reselection can
occur due to a strong Wi-Fi network signal even though the network is under heavy
load. The resulting “unhealthy” choice degrades the end user experience because
the performance on the cell edge of a lightly loaded cellular network may be
superior to that of the heavily loaded Wi-Fi network. Real-time load-based traffic
steering can be beneficial in this scenario.
❑ Lower capabilities. In some cases, selection to a Wi-Fi network may result in

reduced performance even if it offers a strong signal because of other factors, such
as lower-bandwidth backhaul. Evaluation of criteria beyond wireless capabilities
prior to access selection can improve this circumstance.
❑ Ping-Pong. Ping-ponging between Wi-Fi and cellular, especially if both offer

similar signal strengths, can also degrade the user experience. Hysteresis
approaches, similar to those used in cellular inter-radio transfer, can better
manage transfer between Wi-Fi and cellular accesses.
3GPP RAN2 is discussing real-time or near-real-time methods to address the challenges

discussed above.
Other Integration Technologies (SIPTO, LIPA, IFOM, MAPCON)

Release 10 defines additional options for Wi-Fi integration, including Selected IP Traffic
Offload (SIPTO), Local IP Access (LIPA), Multi-Access PDN Connectivity (MAPCON), and IP
Flow and Seamless Offload (IFOM).

SIPTO is mostly a mechanism to offload traffic that does not need to flow through the
core, such as internet-destined traffic. SIPTO can operate on a home femtocell, or it can
operate in the macro network.
Local IP Access (LIPA) provides access to local networks, useful with femtocells that
normally route all traffic back to the operator network. With LIPA, the UE in a home
environment can access local printers, scanners, file servers, media servers, and other
resources.
IFOM, as shown in Figure 146, enables simultaneous cellular and Wi-Fi connections, with
different traffic flowing over the different connections. A Netflix movie could stream over
Wi-Fi, while a VoIP call might flow over the cellular-data connection. IFOM requires the UE
to implement Dual Stack Mobile IPv6 (DSMIPv6).
Figure 146: 3GPP IP Flow and Seamless Mobility
Similar to IFOM, Release 10 feature MAPCON allows multiple simultaneous PDN

connections (each with a separate APN), such as Wi-Fi and 3GPP radio access. The UE
uses separate IP addresses for each connection but does not need Dual Stack Mobile IPv6
(DSMIPv6).
Hotspot 2.0
Developed by the Wi-Fi Alliance, Hotspot 2.0 specifications, also called “Next Generation
Hotspot,” facilitate Wi-Fi roaming. Using the IEEE 802.11u standard that allows devices to
determine what services are available from an access point, Hotspot 2.0 simplifies the
process by which users connect to hotspots, automatically identifying roaming
partnerships and simplifying authentication and connections, as shown in Figure 147.324
It also provides for encrypted communications over the radio link.325
324
For example, user devices can be authenticated based on their SIM credentials. Or, users can
register or click through an agreement and then not need to redo that with future associations.
The IEEE 802.11i standard has provided encryption for 802.11 communications for many years;
325
however, most hotspots have not implemented this encryption, whereas Hotspot 2.0 does.

Figure 147: Roaming Using Hotspot 2.0
Using IEEE 802.11u, devices can determine what roaming relationships an access point
supports and can then securely connect to the Wi-Fi network using one of these roaming
arrangements, as shown in Figure 148. Hotspot 2.0 authentication is based on the
Extended Authentication Protocol (EAP) using SIM credentials. There are plans to enhance
the Hotspot 2.0 protocols in Phase 2, which will define online signup to enable non-SIM-
based devices to easily and securely register for services. The Wi-Fi Alliance began a
Hotspot 2.0 certification process for devices and access points in June 2012 and uses the
designation “Wi-Fi Certified Passpoint” for compliant devices.

Figure 148: Hotspot 2.0 Connection Procedure
Release 2 of Passpoint, available in 2014, added immediate account provisioning, which

facilitates a user establishing an account at the point of access. The new version also
provides for policies to be downloaded from the network operator; these policies control
network selection priorities when multiple networks are available.
Self-Organizing Networks (SON)

As the number of base stations increase through denser deployments and through
deployment of femtocells and picocells, manual configuration and maintenance of this
infrastructure becomes impractical. With SON, base stations organize and configure
themselves by communicating with one another and with the core network. SONs can also
self-heal in failure situations.
3GPP began standardization of self-optimization and self-organization in Releases 8 and

9, a key goal being support of multi-vendor environments. Successive releases have
augmented SON capabilities.
Features being defined in SON include:
❑ Automatic inventory
❑ Automatic software download
❑ Automatic neighbor relation
❑ Automatic physical Cell ID assignment
❑ Mobility robustness/handover optimization
❑ Random access channel optimization
❑ Load-balancing optimization

❑ Inter-cell interference coordination (ICIC) management
❑ Enhanced inter-cell interference coordination (eICIC) management
❑ Coverage and capacity optimization
❑ Cell outage detection and compensation
❑ Self-healing functions
❑ Minimization of drive testing
❑ Energy savings
❑ Coordination among various SON functions
3GPP categorizes SON as centralized, distributed, or hybrid, which is a combination of

centralized and distributed approaches.
In a centralized architecture, SON algorithms operate on a central network management

system or central SON server. In contrast, in a distributed approach, the SON algorithms
operate at the eNBs, which make autonomous decisions based on local measurements as
well as from other nearby eNBs received via an X2 interface that interconnects eNBs.
The distributed architecture permits faster and easier deployment but is not necessarily
as efficient or as consistent in operation, especially in multi-vendor infrastructure
deployments.
In a hybrid approach, shown in Figure 149, SON algorithms operate both at the eNB and
at a central SON server, with the server supplying values of initial parameters, for
example. The eNBs may then update and refine those parameters in response to local
measurements.
The hybrid approach resolves deployment scenarios that cannot be resolved by dSON, for
example, cases such as:
❑ No X2 interface between the eNBs.
❑ Multi-vendor deployment with different dSON algorithms.
❑ Multi-technology load balancing and user steering.

Figure 149: Hybrid SON Architecture326
With increasing numbers of macro cells and small cells, interference opportunities increase
as well. Optimizing power settings through intelligent power management algorithms is
crucial for maximum efficiency with the least amount of interference, including pilot
pollution. Pilot pollution can result in low data rates and ping-pong handovers due to
channel fading. A hybrid SON approach is well suited for optimized power management.
IP Multimedia Subsystem (IMS)

IP Multimedia Subsystem (IMS) is a service platform for IP multimedia applications: video
sharing, PoC, VoIP, streaming video, interactive gaming, and others. IMS by itself does
not provide all these applications. Rather, it provides a framework of application servers,
subscriber databases, and gateways to make them possible. The exact services will
depend on cellular operators and the application developers that make these applications
available to operators. The primary application today, however, is VoLTE. 5G networks
will also use IMS, making 5G simply another access network for IMS.327
The core networking protocol used within IMS is Session Initiation Protocol (SIP), which
includes the companion Session Description Protocol (SDP) used to convey configuration
information such as supported voice codecs. Other protocols include Real Time Transport
Protocol (RTP) and Real Time Streaming Protocol (RTSP) for transporting actual sessions.
The QoS mechanisms in UMTS will be an important component of some IMS applications.
Although originally specified by 3GPP, numerous other organizations around the world are
supporting IMS. These include the IETF, which specifies key protocols such as SIP, and
the Open Mobile Alliance, which specifies end-to-end, service-layer applications. Other
organizations supporting IMS include the GSMA, ETSI, CableLabs, 3GPP2, The Parlay
Group, the ITU, ANSI, the Telecoms and Internet Converged Services and Protocols for
Advanced Networks (TISPAN), and the Java Community Process (JCP).
326
327
For further details, see 3GPP, System Architecture for the 5G System; Stage 2, (Release 15), TS
23.501 V15.1.0 (2018-03), section 4.4.3. See also 3GPP, IP Multimedia Subsystem (IMS); Stage 2,
(Release 15), TS 23.228 V15.2.0 (2018-03).

IMS is relatively independent of the radio-access network and can, and likely will, be used
by other radio-access networks or wireline networks. Other applications include picture
and video sharing that occur in parallel with voice communications. Operators looking to
roll out VoIP over networks will use IMS. For example, VoLTE depends on IMS
infrastructure. 3GPP initially introduced IMS in Release 5 and has enhanced it in each
subsequent specification release.
As shown in Figure 150, IMS operates just outside the packet core.
Figure 150: IP Multimedia Subsystem
The benefits of using IMS include handling all communication in the packet domain, tighter
integration with the internet, and a lower cost infrastructure based on IP building blocks
for both voice and data services.
IMS applications can reside either in the operator’s network or in third-party networks
including those of enterprises. By managing services and applications centrally—and
independently of the access network—IMS can enable network convergence. This allows
operators to offer common services across 3G, Wi-Fi, and wireline networks.
Service Continuity, defined in Release 8, provided for a user’s entire session to continue
seamlessly as the user moves from one access network to another. Release 9 expanded
this concept to allow sessions to move across different device types. For example, the
user could transfer a video call in midsession from a mobile phone to a large-screen TV,
assuming both have an IMS appearance in the network.
Release 8 introduced the IMS Centralized Services (ICS) feature, which allows for IMS-
controlled voice features to use either packet-switched or circuit-switched access.
Given that LTE operators will integrate their 5G networks with their current LTE networks,
operators are likely to keep using IMS in conjunction with LTE for their voice and other
services that use IMS, even as they begin deploying 5G.

Broadcast/Multicast Services
An important capability for 3G and evolved 3G systems is broadcasting and multicasting,
wherein multiple users receive the same information using the same radio resource. This
creates a more efficient approach to deliver video when multiple users desire the same
content simultaneously. In a broadcast, every subscriber unit in a service area receives
the information, whereas in a multicast, only users with subscriptions receive the
information. Service areas for both broadcast and multicast can span either the entire
network or a specific geographical area. Potential applications include sporting events,
select news, venue-specific (shopping mall, museum) information, and even delivery of
software upgrades. Giving users the ability to store and replay select content could further
expand the scope of applications.
3GPP defined highly efficient broadcast/multicast capabilities for UMTS in Release 6 with
MBMS. Release 7 defined optimizations through a feature called multicast/broadcast,
single-frequency network operation that involves simultaneous transmission of the exact
waveform across multiple cells. This enables the receiver to constructively superpose
multiple MBMS Single Frequency Network (SFN), or MBSFN, cell transmissions. The result
is highly efficient, WCDMA-based broadcast transmission technology that matches the
benefits of OFDMA-based broadcast approaches.
LTE also has a broadcast/multicast capability called eMBMS. OFDM is particularly well
suited for efficient broadcasting, as shown in Figure 151, because the mobile system can
combine the signal from multiple base stations, also an MBSFN approach, and because of
the narrowband nature of OFDM. Normally, these signals would interfere with one another.
The single frequency network is a cluster of cells that transmit the same content
synchronously with a common carrier frequency.
Figure 151: OFDM Enables Efficient Broadcasting328
Despite various broadcast technologies being available, market adoption to date has been
relatively slow. Internet trends have favored unicast approaches, with users viewing
328

videos of their selection on demand, but there is increasing interest in using eMBMS with
LTE to alleviate capacity demands.
Backhaul
Connecting sites to core networks remains a challenge, whether for small cells or macro
cells, especially as networks need to deliver higher bandwidth. Fiber is the gold standard,
but it is not available everywhere and can be expensive, so operators use a combination
of wired and wireless links.
Today’s backhaul requirements for LTE can range from 1 to 10 Gbps. By 2020, backhaul
requirements could exceed 10 Gbps.329 5G fronthauling using the eCPRI interface requires
25 Gbps capability, so sites may need connectivity to scale to 100 GE. 330
Table 46 and Table 47 summarize the methods and capabilities of the various available
approaches.
Table 46: Wired Backhaul Methods and Capabilities331
Technology Distance Throughput Speed
Direct Fiber 80 km Hundreds of Mbps to Gbps
Bonded VDSL2 To 5,000 feet 75 Mbps down, 12 Mbps up
FTTX Most urban areas Up to 2.5 Gbps down, 1.5

Gbps up
DOCSIS Most urban areas Up to 285 Mbps down, 105

Mbps up
Table 47: Wireless Backhaul Methods and Capabilities332
Technology Distance Line-of-Sight Throughput Speed
5G Integrated Access 1 km Yes 1 to 10 Gbps

and Backhaul
Millimeter Wave (60 1 km Yes 1 Gbps

GHz)
Millimeter Wave (70- 3 km (with speed Yes 10 Gbps

80 GHz) tradeoff)
329
Arthur D. Little, Creating a Gigabit Society – The Rule of 5G; A report by Arthur D. Little for
Vodafone Group, 2017. See Figure 6.
330
Ericsson, Fierce Markets Custom Publishing, Meeting the 5G Backhaul Challenge, Feb. 2019.
331
Small Cell Forum, “Backhaul Technologies for Small Cells,” Feb. 2013.
332
Ibid.

Technology Distance Line-of-Sight Throughput Speed
Microwave (6-60 Varies by Yes 1 Gbps+

GHz) frequency: 2-4 km
typical at 30-42
GHz
Licensed sub 6 GHz 1.5 to 10 km No 170 Mbps (20 MHz

TDD), 400 Mbps+ with
new technology
Unlicensed sub-6 GHz Up to 250 meters No 450 Mbps (IEEE

802.11n 3X3 MIMO)
TV White Space 1 to 5 km max Depends on 80 Mbps in 6 MHz TDD

(802.11af-based) throughput, 10 deployment with 4X4 MIMO
km+ possible model
Satellite Available Yes Up to 50 Mbps

everywhere downlink, 15 Mbps
uplink
Remote SIM Provisioning

The GSM Association (GSMA) is developing specifications that make it possible for
consumers to purchase unprovisioned devices, select the operator of their choice and then
download the subscriber identity module (SIM) application into the device.333 This
capability benefits devices such as watches, health bands, health monitors, and other
small connected items.
Abbreviations and Acronyms

The following abbreviations are used in this paper. Abbreviations are defined on first use.
1G – First Generation
1xEV-DO – One Carrier Evolution, Data Optimized
1xEV-DV – One Carrier Evolution, Data Voice
1XRTT – One Carrier Radio Transmission Technology
2G – Second Generation
3G – Third Generation (meeting requirements set forth by the ITU IMT project)
3GPP – Third Generation Partnership Project
3GPP2 – Third Generation Partnership Project 2
4G – Fourth Generation (meeting requirements set forth by the ITU IMT-Advanced project)
5GAA – 5GAA Automotive Association
5GC – 5G Core
333
For details, see GSMA, “A New SIM.” https://www.gsma.com/rsp/, viewed Jun. 8, 2017.

5G-NGC – 5G Next Generation Core
5QI – 5G QoS Identifier
8-PSK – Octagonal Phase Shift Keying
AAS – Adaptive Antenna Systems
ABR – Allocation Retention Priority
ACK – Acknowledgment
AGW – Access Gateway
AF – Application Functions
AMF – Access and Mobility Management Function
AMPS – Advanced Mobile Phone Service
AMR – Adaptive Multi Rate
AMR-WB – Adaptive Multi-Rate Wideband
ANDSF – Access Network Discovery and Selection Function.
ANSI – American National Standards Institute
APCO – Association of Public Safety Officials
API – Application Programming Interface
APN – Access Point Name
ARP – Allocation Retention Priority
ARPU – Average Revenue per User
ARQ – Automatic Repeat Request
ASN.1 – Abstract Syntax Notation One
ATM – Asynchronous Transfer Mode
AUL – Autonomous Uplink
AUSF – Authentication Server Function
AWGN – Additive White Gaussian Noise Channel
AWS – Advanced Wireless Services
BBU – Baseband Unit
BCCH – Broadcast Control Channel
BFD – Beam Failure Detection
bps – Bits per Second
BRS – Broadband Radio Service
BSC – Base Station Controller
BTS – Base Transceiver Station
BWP – Bandwidth Part
C/I – Carrier to Intermodulation Ratio
CAPEX – Capital Expenditure
CAPIF – Common API Framework
CBF – Coordinated Beam Forming
CBRS – Citizens Broadband Radio Service
CBS – Coordinated Beam Switching

CSS3 – Cascading Style Sheets 3 (CSS3)
CDD – Cyclic Delay Diversity
CDF – Cumulative Distribution Function
CDMA – Code Division Multiple Access
CL – Closed Loop
CL-SM – Closed Loop Spatial Multiplexing
CMAS – Commercial Mobile Alert System
CMOS – Complementary Metal Oxide Semiconductor
CNF – Containerized Network Function
COLTs – Cell on Light Trucks
CoMP – Coordinated Multi Point
COT – Channel Occupancy Time
COW – Cell on Wheels (also Cell on Wings)
cMTC – Critical Machine Type Communications
CP – Control Plane
CP – Cyclic Prefix
CPC – Continuous Packet Connectivity
CPRI – Common Public Radio Interface
CQI - Channel Quality Indicators
C-RAN – Cloud Radio Access Network
CRM – Customer Relationship Management
CRS – Cell-specific Reference Signal
CS – Convergence Sublayer
CSFB – Circuit-Switched Fallback
CTIA – Cellular Telephone Industries Association
CU – Centralized Unit
CUPS – Control User Plane Separation
C-V2X – Cellular Vehicle-to-Everything
D-AMPS – Digital Advanced Mobile Phone Service
DAS – Distributed Antenna System
DAS – Downlink EGPRS2-A Level Scheme
dB – Decibel
DBS – Downlink EGPRS2-B Level Scheme
DC-HSPA – Dual Carrier HSPA
DFT – Discrete Fourier Transform
DU – Distributed Unit
DL – Downlink
DNS – Domain Name Service
DPCCH – Dedicated Physical Control Channel
DPS – Dynamic Point Selection

DSL – Digital Subscriber Line
DSMIPv6 – Dual Stack Mobile IPv6
DSRC – Dedicated Short Range Communications
DSS – Dynamic Spectrum Sharing
DTM – Dual Transfer Mode
DRX – Discontinuous Reception
D-TxAA – Double Transmit Adaptive Array
DVB-H – Digital Video Broadcasting Handheld
E-DCH – Enhanced Dedicated Channel
EBCMCS – Enhanced Broadcast Multicast Services
EC-GSM – Extended Coverage GSM
eCoMP – Enhanced CoMP
eCPRI – Enhanced Common Public Radio Interface
EDGE – Enhanced Data Rates for GSM Evolution
EFTA – Enhanced Flexible Timeslot Assignment
EGPRS – Enhanced General Packet Radio Service
eCAPIF – Enhanced Common API Framework
eICIC – Enhanced Inter-Cell Interference Coordination
eMBMS – Enhanced Multimedia Broadcast Multicast Services
eNodeB – Evolved Node B
EAP – Extensible Authentication Protocol
eLAA – Enhanced Licensed-Assisted Access
eNB – Evolved Node B
EPC – Evolved Packet Core
EPDCCH – Enhanced Physical Downlink Control Channel
eMBB – Enhanced Mobile Broadband
EN-DC – E-UTRAN New Radio Dual Connectivity
ePDG – Enhanced Packet Data Gateway
EPS – Evolved Packet System
ERP – Enterprise Resource Planning
eSaMOG – Enhanced S2a-based Mobility over GTP
ESC – Environmental Sensing Capability
eSRVCC – Enhanced Single-Radio Voice Call Continuity
ETRI – Electronic and Telecommunications Research Institute
ETSI – European Telecommunications Standards Institute
E-UTRAN – Enhanced UMTS Terrestrial Radio Access Network
EVS – Enhanced Voice Services (codec)
FE-FACH – Further Enhanced Forward Access Channel
EV-DO –Evolution, Data Optimized
EV-DV –Evolution, Data Voice

EVRC – Enhanced Variable Rate Codec
FBMC – Filter-Bank Multi-Carrier
FCC – Federal Communications Commission
FDD – Frequency Division Duplex
FeCoMP – Further Enhanced Coordinated Multi Point
feICIC – Further enhanced ICIC
FirstNet – First Responder Network Authority
Flash OFDM – Fast Low-Latency Access with Seamless Handoff OFDM
FLO – Forward-Link Only
FMC – Fixed Mobile Convergence
FP7 – Seventh Framework Programme
FR-1 – Frequency Range 1
FR-2 – Frequency Range 2
FRMCS - Future Railway Mobile Communication System
FTP – File Transfer Protocol
GAA – General Authorized Access
GAN – Generic Access Network
GB – Gigabyte
Gbps – Gigabits Per Second
GBR – Guaranteed Bit Rate
GByte – Gigabyte
GCS – Group Communication Service
GERAN – GSM EDGE Radio Access Network
GFDM – Generalized Frequency Division Multiplexing
GGSN – Gateway GPRS Support Node
GHz — Gigahertz
GMSK – Gaussian Minimum Shift Keying
gNB – NR NodeB
GNSS – Global Navigation Satellite System
GPRS – General Packet Radio Service
G-Rake – Generalized Rake Receiver
GSM – Global System for Mobile Communications
GSMA – GSM Association
GTP – GPRS Tunneling Protocol
GTP-U – GTP User
HAPS – High Altitude Platform Station
HARQ – Hybrid Automatic Repeat Request
HD – High Definition
HetNet – heterogeneous network
HFC – Hybrid Fiber Coaxial

HLR – Home Location Register
Hr – Hour
HSDPA – High Speed Downlink Packet Access
HS-FACH – High Speed Forward Access Channel
HS-PDSCH - High Speed Physical Downlink Shared Channel
HS-RACH – High Speed Reverse Access Channel
HSPA – High Speed Packet Access (HSDPA with HSUPA)
HSPA+ – HSPA Evolution
HSS – Home Subscriber Server
HSUPA – High Speed Uplink Packet Access
Hz – Hertz
IAB – Integrated Access and Backhaul
ICIC – Inter-Cell Interference Coordination
ICN – Information-Centric Networking
ICS – IMS Centralized Services
ICT – Information and Communication Technologies
IEEE – Institute of Electrical and Electronic Engineers
IETF – Internet Engineering Taskforce
IFFT – Inverse Fast Fourier Transform
IFOM – IP Flow and Seamless Offload
IM – Instant Messaging
IMS – IP Multimedia Subsystem
IMT – International Mobile Telecommunications
IMT-Advanced - International Mobile Telecommunications-Advanced
IRC – Interference Rejection Combining
IoT – Internet of Things
IPR - Intellectual Property Rights
IP – Internet Protocol
IPTV – Internet Protocol Television
IR – Incremental Redundancy
ISD – Inter-site Distance
ISI – Intersymbol Interference
ISP – Internet Service Provider
ITU – International Telecommunication Union
JCP – Java Community Process
JR – Joint Reception
JT – Joint Transmission
Kbps – Kilobits Per Second
kHz — Kilohertz
km – Kilometer

LAA – License-Assisted Access
LBT – Listen-Before-Talk
LDPC - Low-Density Parity Code
LEO – Low Earth Orbit
LIPA – Local IP Access
LMDS – Local Multipoint Distribution Service
LMR – Land Mobile Radio
LEO – Low Earth Orbiting
LPP – LTE Positioning Protocol
LPWA – Low-Power Wide-Area
LTE – Long Term Evolution
LTE-A – LTE-Advanced
LTE-TDD – LTE Time Division Duplex
LTE-U – LTE-Unlicensed
LSTI – LTE/SAE Trial Initiative
LWA – LTE Wi-Fi Aggregation
LWIP – LTE WLAN Radio Level Integration with IPsec Tunnel
M2M – Machine to machine
MAC – Medium-Access Control
MAPCON – Multi-Access PDN Connectivity
MB - Megabyte
MBMS - Multimedia Broadcast/Multicast Service
Mbps – Megabits Per Second
MBR – Maximum Bit Rate
MBSFN – Multicast/broadcast, Single Frequency
MCPA – Mobile Consumer Application Platform
Mcps – Megachips Per Second
MCPTT – Mission-Critical Push-to-Talk
MCS – Modulation and Coding Scheme
MCW – Multiple Codeword
MDAF – Management Data Analytics Function
MDAS – Management Data Analytics Services
MDT – Minimization of Drive Tests
MEAP – Mobile Enterprise Application Platforms
MEC – Multi-access Edge Computing
MediaFLO – Media Forward Link Only
METIS – Mobile and wireless communications Enablers for the Twenty-twenty Information
Society
MHz – Megahertz
MID – Mobile Internet Devices

MIMO – Multiple Input Multiple Output
MMSE – Minimum Mean Square Error
mITF – Japan Mobile IT Forum
MMDS – Multichannel Multipoint Distribution Service
MME – Mobile Management Entity
mMTC – Massive Machine Type Communications
MOS – Mean Opinion Score
MP-QUIC – Multipath Quick UDP Internet Connections
MP-TCP – Multipath TCP
MRxD – Mobile Receive Diversity
ms – Millisecond
MS – Mobile Station
MSA – Mobile Service Architecture
MSC – Mobile Switching Center
MTC – Machine Type Communications
MTC-IWF – Machine-Type Communications Interworking Function (MTC-IWF)
msec – Millisecond
MU-MIMO – Multi-User MIMO
MUST – Downlink Multiuser Superposition Transmission
NAICS – Network-Assisted Interference Cancellation and Suppression
NAK – Negative Acknowledgment
NB-IoT – Narrowband Internet of Things
NEF – Network Exposure Function
NF – Network Function
NENA – National Emergency Number Association
NFVi – Network Function Virtualization Infrastructure
NGC – Next Generation Core
NGMC – Next Generation Mobile Committee
NGMN – Next Generation Mobile Networks Alliance
NG-RAN – New Generation Radio Access Network
NMT – Nordic Mobile Telephone
NOMA – Non-Orthogonal Multiple Access
NPRM – Notice of Proposed Rulemaking
NR – New Radio
NRF – NF Repository Function
NR-U – New Radio Unlicensed
NSA – Non-Standalone
NSSF – Network Slice Selection Function
NTIA – National Telecommunications and Information Administration
NTN – Non Terrestrial Networks

NWDAF – Network Data Analytics Function
OFDM – Orthogonal Frequency Division Multiplexing
OFDMA – Orthogonal Frequency Division Multiple Access
OL-SM – Open Loop Spatial Multiplexing
OMA – Open Mobile Alliance
ONAP – Open Network and Automation Platform
O-RAN – Open Radio Access Network
ORI – Open Radio Equipment Interface
PA – Priority Access
PAL – Priority Access License
PAR – Peak to Average Ratio
PBCCH – Packet Broadcast Control Channel
PCF – Policy Control Function
PCH – Paging Channel
PCRF – Policy Control and Charging Rules Function
PCS – Personal Communications Service
PDCCH – Physical Downlink Control Channel
PDCP – Packet Data Convergence Protocol
PDN – Packet Data Network
PDSCH – Physical Downlink Shared Channel
PDU – Protocol Data Unit
PGW – Packet Gateway
PHY – Physical Layer
PMI – Precoding Matrix Indication
PMIPv6 – Proxy Mobile IPv6
PNF – Physical Network Function
PoC – Push-to-Talk Over Cellular
PSH – Packet Switched Handover
PSK – Phase-Shift Keying
PUSCH – Physical Uplink Shared Channel
QAM – Quadrature Amplitude Modulation
QCI – Quality of Service Class Identifier
QLIC – Quasi-Linear Interference Cancellation
QoS – Quality of Service
QPSK – Quadrature Phase Shift Keying
QUIC – Quick UDP Internet Connections.
RAB – Radio Access Bearer
RAN – Radio Access Network
RAN-DAF – RAN Data Analytics Function
RCAF – RAN Congestion Awareness Function

RCLWI - RAN Controlled LTE WLAN Interworking
RCS – Rich Communications Suite
REST – Representational State Transfer
RF – Radio Frequency
RLC – Radio Link Control
RNC – Radio Network Controller
ROHC – Robust Header Compression
RRC – Radio Resource Control
RRH – Remote Radio Head
RRU – Remote Radio Unit
RS – Reference Signal
RSRP – Reference Signal Received Power
RTP – Real Time Transport Protocol
RTSP – Real Time Streaming Protocol
SA - Standalone
SAE – System Architecture Evolution
SaMOG – S2a-based Mobility over GTP
SAS – Spectrum Access System
SBA – Service-Based Architecture
SC-FDMA – Single Carrier Frequency Division Multiple Access
SCMA – Sparse Coded Multiple Access
SCRI – Signaling Connection Release Indication
SCS - Subcarrier Spacing
SCW – Single Codeword
SDAP – Service Data Adaptation Protocol
SDMA – Space Division Multiple Access
SDN – Software-Defined Networking
SDP – Session Description Protocol
sec – Second
SEAL – Service Enabler Architecture Layer for Verticals
SFBA – Space Frequency Block Code
SFN – Single Frequency Network
SGSN – Serving GPRS Support Node
SGW – Serving Gateway
SIC – Successive Interference Cancellation
SIM – Subscriber Identity Module
SIMO – Single Input Multiple Output
SINR – Signal to Interference Plus Noise Ratio
SIP – Session Initiation Protocol
SIPTO – Selected IP Traffic Offload

SISO – Single Input Single Output
SMF – Session Management Function
SMS – Short Message Service
SNR – Signal to Noise Ratio
SON – Self-Organizing Network
SPS – Semi-Persistent Scheduling
SRIT – Set of Radio Interface Technologies
SRS – Sounding Reference signal
SRVCC – Single-Radio Voice Call Continuity
SSB – Synchronization Signal Blocks
SU-MIMO – Single User MIMO
SVDO – Simultaneous 1XRTT Voice and EV-DO Data
SVLTE – Simultaneous Voice and LTE
TCH – Traffic Channel
TCP/IP – Transmission Control Protocol/IP
TD – Transmit Diversity
TDD – Time Division Duplex
TDMA – Time Division Multiple Access
TD-SCDMA – Time Division Synchronous Code Division Multiple Access
TD-CDMA – Time Division Code Division Multiple Access
TETRA – Terrestrial Trunked Radio
THz – Terahertz
TIA/EIA – Telecommunications Industry Association/Electronics Industry Association
TISPAN – Telecoms and Internet Converged Services and Protocols for Advanced Networks
TRP – Time Relative Positioning
TSG-RAN – Technical Services Group Radio Access Network
TTI – Transmission Time Interval
UAS – Uplink EGPRS2-A Level Scheme
UAS – Unmanned Aerial System
UAV – Unmanned Aerial Vehicle
UBS – Uplink EGPRS2-B Level Scheme
UE – User Equipment
UFMC – Universal Filtered Multi-Carrier
UICC – Universal Integrated Circuit Card
UL – Uplink
UMA – Unlicensed Mobile Access
UMB – Ultra Mobile Broadband
UMTS – Universal Mobile Telecommunications System
UDM – United Data Management
UPCON – User-Plane Congestion Management

UPF – User Plane Function
URA-PCH – UTRAN Registration Area Paging Channel
URI – Uniform Resource Identifier
URLLC – Ultra-Reliable and Low Latency Communications
us – Microsecond
USIM – UICC SIM
UTRAN – UMTS Terrestrial Radio Access Network
V2I – Vehicle-to-Infrastructure
V2P – Vehicle-to-Person
V2V – Vehicle-to-Vehicle
V2X – Vehicle-to-Anything
VAMOS – Voice Services over Adaptive Multi-User Channels on One Slot
VDSL – Very-High-Bit-Rate DSL
VEPC – Virtualized EPC
ViLTE – Video Over LTE
VoIP – Voice over Internet Protocol
VoHSPA – Voice over HSPA
VoLGA – Voice over LTE Generic Access
VoLTE – Voice over LTE
VNF- Virtual Network Function
VPN – Virtual Private Network
WAP – Wireless Application Protocol
WBA – Wireless Broadband Alliance
WCDMA – Wideband Code Division Multiple Access
WCS – Wireless Communication Service
WebRTC – Web Real-Time Communication
Wi-Fi – Wireless Fidelity
WiMAX – Worldwide Interoperability for Microwave Access
WLAN – Wireless Local Area Network
WMAN – Wireless Metropolitan Area Network
WMM – Wi-Fi Multimedia
WRC – World Radiocommunication Conference
XR- Extended Reality
Additional Information
5G Americas maintains market information, LTE deployment lists, and numerous white
papers, available for free download on its web site: http://www.5gamericas.org.

If there are any questions regarding the download of this information, please call +1 425 372
8922 or e-mail Anushka Bishen, Manager, Social Media and Communications at
anushka.bishen@5gamericas.org.
This white paper was written for 5G Americas by Rysavy Research (https://www.rysavy.com)
and utilized a composite of statistical information from multiple resources.
The contents of this paper reflect the independent research, analysis, and conclusions of Rysavy
Research and may not necessarily represent the comprehensive opinions and individual viewpoints
of each particular 5G Americas Board member company.
Rysavy Research provides this document and the information contained herein to you for
informational purposes only. Rysavy Research provides this information solely on the basis that you
will take responsibility for making your own assessments of the information.
Although Rysavy Research has exercised reasonable care in providing this information to you,
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in no event shall be liable for any losses or damages of any kind, whether direct, indirect, incidental,
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Global 5G Rise of A Transformational Technology

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Table of Contents

Global 5G, Rysavy Research/5G Americas, September 2020 Page 2

Global 5G, Rysavy Research/5G Americas, September 2020 Page 3

Copyright ©2020 Rysavy Research, LLC. All rights reserved. http://www.rysavy.com

Global 5G, Rysavy Research/5G Americas, September 2020 Page 4

Global 5G, Rysavy Research/5G Americas, September 2020 Page 5

5G Deployment Operators globally continue to deploy 5G in a variety of bands, including

Standalone Operators are transitioning to standalone architecture, which will improve

Internet of Things IoT, evolving from machine-to-machine (M2M) communications, is seeing

Global 5G, Rysavy Research/5G Americas, September 2020 Page 6

Spectrum Remains Spectrum in general, and licensed spectrum in particular, remains

The industry is slowly overcoming challenges that include restrictive

Network Function Network function virtualization (NFV) and software-defined networking

The Open RAN Alliance (O-RAN) is standardizing interfaces to enable the

Intensifying Role of Wireless Communications

Global 5G, Rysavy Research/5G Americas, September 2020 Page 7

Global Mobile Adoption

Figure 1: Global Mobile Data Traffic (Exabytes/Month) 2015 to 20256

Global 5G, Rysavy Research/5G Americas, September 2020 Page 8

Figure 2: Global Mobile IoT (Billions)8

Global 5G, Rysavy Research/5G Americas, September 2020 Page 9

Global 5G, Rysavy Research/5G Americas, September 2020 Page 10

In addition to accessing higher bands, cellular technologies are integrating unlicensed

Meanwhile, networks are becoming programmable. Using a distributed, software-enabled

Global 5G, Rysavy Research/5G Americas, September 2020 Page 11

Beyond human-to-human communications, LTE and 5G have many features to address

Expanding Use Cases

❑ Enhanced Mobile Broadband (eMBB). eMBB is the most obvious extension of

❑ Massive Machine-Type Communications (mMTC). Massive machine-type

❑ Ultra-Reliable and Low-Latency Communications (URLLC). Of the three

Global 5G, Rysavy Research/5G Americas, September 2020 Page 12

Global 5G, Rysavy Research/5G Americas, September 2020 Page 13

Figure 7: Requirements for Different 5G Use Cases17

Global 5G, Rysavy Research/5G Americas, September 2020 Page 14

Table 2: Requirements for Different Use Cases19

Use Cases Requirements Desired Value

Global 5G, Rysavy Research/5G Americas, September 2020 Page 15

Global 5G, Rysavy Research/5G Americas, September 2020 Page 16

Global 5G, Rysavy Research/5G Americas, September 2020 Page 17

Table 3 summarizes the generations of wireless technology.

Generation Requirements Comments

1G No official requirements. Deployed in the 1980s.

Analog technology. Analog technologies such as

2G No official requirements. First digital systems.

Digital technology for voice and circuit- Deployed in the 1990s.

Primary technologies include

3G ITU’s IMT-2000 required 144 Kbps First deployment in 2000.

4G (Initial ITU’s IMT-Advanced requirements include First deployment in 2010.

5G ITU IMT-2020 defined technical First standards-based

Global 5G, Rysavy Research/5G Americas, September 2020 Page 18

specifications.20 Requirements include

At a high level, 4G LTE provides a foundation of capability and knowledge on which 5G

Global 5G, Rysavy Research/5G Americas, September 2020 Page 19

Global 5G, Rysavy Research/5G Americas, September 2020 Page 20

Table 4: ITU Objectives for IMT-2020 compared with IMT-Advanced24

Peak Data Rate DL: 1 Gbps DL: 20 Gbps

User Experienced Data Rate 10 Mbps 100 Mbps25

Peak Spectral Efficiency DL: 15 bps/Hz DL: 30 bps/Hz

Average Spectral Efficiency DL eMBB indoor: 9 bps/Hz