5G NETWORK ACCESS AND ITS REQUIREMENTS ON MOBILE OPTICAL NETWORK

IN NIGERIA

By

IBRAHIM ABUBAKAR AUDU

DEPARTMENT OF ENVIRONMENTAL AND RESOURCE MANAGEMENT,
USMANU DANFODIYO UNIVERSITY, SOKOTO,
SOKOTO STATE
PHONE NUMBER: 08069081041
E-MAIL: atikuabubakar2@gmail.com,

SULEIMAN ABUBAKAR AUDU

DEPARTMENT OF COMPUTER AND COMMUNICATION ENGINEERING,
ABUBAKAR TAFAWABALEWA UNIVERSITY BAUCHI, BAUCHI STATE
PHONE NUMBER: 09039670293
E-MAIL:suleimanabubakar1998@gmail.com,

AND

ALI ABUBAKAR AUDU

DEPARTMENET OF QUANTITY SURVEYING,
ABUBAKAR TAFAWABALEWA UNIVERSITY BAUCHI, BAUCHI STATE
PHONE NUMBER: 08161593613
E-MAIL:

1
Abstract
Toward the realization of the 5th generation (5G) mobile communication network that offers super
high bit rates and capacity, a further enhancement of the mobile optical network to support 5G access
technologies is indispensable. At first, this paper briefly summarizes the concept of 5G access
network based on the Phantom Cell concept in which small cells that offer super high bit rate
transmission using higher frequency bands and wider bandwidth are overlapped onto macro cells
that support coverage and mobility, and the links corresponding to User (U)-plane and (C)-plane are
separately supported by small cells and macro cells, respectively. Next, technical issues and
requirements on the mobile optical network for supporting 5G access technologies are discussed,
focusing on massive MIMO and carrier aggregation.

Key words: 5G access network, mobile optical network, Phantom Cell concept

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Introduction
Commercial services for mobile communication systems based on Long-Term Evolution
(LTE), which was developed by the 3rd Generation Partnership Project (3GPP) and is specified in its
Release 8 document series [1], have been launched in many countries. In Nigeria, NTT DOCOMO
initiated LTE commercial service in December 2010. As the evolution of LTE, 3GPP finished
standardization of Release 10 and 11, which are the first two document series of LTE-Advanced
(LTE-A). In addition, the standardization of Release 12 is almost completed [2] while that of Release
13 has just begun. Currently, LTE- A commercial systems based on the Rel. 10 specification are
being developed. While of these advances, the rapid growth in mobile data traffic caused by the
widespread use of smart phones and various mobile applications is making even higher-capacity
transmission a more urgent goal. In order to prepare for the anticipated 1000- fold increase in the
volume of data traffic in the next 10 years, dramatic performance enhancements in access
technologies and networks are required for mobile communication networks by the 2020s [3]. In this
context, first of all, this paper briefly summarizes the technical concept that can realize 5th generation
(5G) mobile communication networks with super high bit rates and capacity. The Phantom Cell
concept is characterized by overlaying small cells that use higher frequency bands on the macro cells
of an existing cellular system [4].
The technical issues and requirements placed on the mobile optical network, i.e. backhaul
link, in order to support 5G access technologies for realizing the high bit rates needed are described.
With regard to the backhaul link between a small cell and a network, there are two main categories
from the viewpoint of latency, non- ideal backhaul and ideal backhaul [5]. Non-ideal backhaul has
latency from several msec to several tens of msec and can be implemented by several backhaul
technologies such as fiber access, DSL access, and wireless backhaul. This latency is larger than the
transmission time interval (TTI) of 1 msec that is the minimum duration of wireless transmission in
LTE/LTE-A interface. On the other hand, ideal backhaul has latency of less than several sec, i.e. the
so- called “front haul”, and has been implemented by fiber access based on the CPRI (Common
Public Interface) specification (6). CPRI connects remote equipment (RRE), also referred to as
remote antenna unit (RAU), to a centralized baseband unit (BBU) at a base station with low latency.
This centralized access network (C-RAN) architecture is currently being developed for commercial
launch as LTE-A in 2015 [7]; it considered to be one of the promising approaches for the 5G access
network.

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 For the deployment of small cells, the requirements placed on the mobile optical network to
support the 5G access network depend on whether the optical network is used as ideal backhaul or
non-ideal backhaul, even if sufficient optical fiber links are available in a deployment area. Note that
if there are few optical fiber links in the deployment area, non-ideal backhaul via wireless links is the
only solution. In this paper, under the assumption of a sufficient number of optical fiber links,
requirements on the optical network to realize 5G access technologies such as massive MIMO and
carrier aggregation (CA), especially for accommodating small cells having wider signal bandwidths in
higher frequency bands, are discussed. The rest of this paper is organized as follows. Section II
summarizes the Phantom Cell concept for the 5G access network. Section III describes super high bit
rate access technologies, with particular focus on massive MIMO. In Section IV, requirements on the
mobile optical network to support massive MIMO and CA for achieving high bit rates are presented.
Phantom Cell Concept
Fig. 1 shows the Phantom Cell concept in which small cells are overlaid on a macro cell [4]. As
shown in Fig. 1, the existing macro cell uses the UHF band such as 800 MHz and 2 GHz, to guarantee
coverage and mobility, while the small cell uses higher frequency bands such as the super high
frequency (SHF) and extremely high frequency (EHF) bands with wider bandwidths to provide super
high bit rate transmission. In addition, the macro cell establishes connection links in the control plane
(C-plane) to support call and mobility control, while the small cells establish connection links in the
user plane (U-plane) to support best-effort user data communications. Fig. 2 shows the requirements
and five basic targets of 5G mobile communication networks. The first target is 1000 times’ greater
system capacity to support the anticipated 1000-fold increase in the volume of data traffic. Other
requirements and targets of 5G are with 10 or 100 times higher data rates, reduced latency of less than
1msec (one-way transmit delay in the access network), massive device connectivity (100 fold
increase in device number), and energy savings and cost reductions to minimize both CAPEX and
OPEX.
To satisfy these requirements and to achieve the targets, various types of small cells with new
frequency bands, an additional system, and enhanced resource control to assign the various small cells
and the system in a consistent manner are desired. As shown in Fig. 3, low-SHF small cells are
positioned over the macro cell, and high-SHF small cells are overlaid as the third cell layer. In
addition, EHF spots can be added as the fourth cell layer. The various types of small cells (spots) can

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be classified into two categories i.e. coverage cells and capacity cells. The coverage cells include the
macro cell and well-arranged Low-SHF small cells. The capacity cells consist of the other small cells
and spots with higher frequency bands. In the future, Wi-Fi spots might be included in the system as
capacity cells. Moving cells, i.e. group mobility, are also introduced as capacity cells. Group mobility
such as trains causes local concentration of data traffic and control signaling, and thus deploying a
moving cell to a train can suppress the concentration of traffic in the macro cell and reduce the
signaling of mobility control. It is desirable that backhaul for moving cells is realized by wireless
wideband backhaul links.
Super High Bit Rate Access Technologies
Although it was formerly-considered that MIMO spatial-division-multiplexing in the SHF
band higher than 6 GHz would be difficult in mobile environments due to the high path loss,
successful 10 Gbps transmission experiments employing 8 transmission antenna and 16 receiving
antenna MIMO (8x16 MIMO) with 400 MHz bandwidth in the 11 GHz band were demonstrated in an
outdoor mobile environment in December 2012, the world’s first 10 Gbps field experiment [8]. The
feasibility of MIMO transmission using high SHF bands over 10 GHz was verified based on these
experiments. In the experiments, the transmission power per antenna, which corresponds to a spatial
stream, was 25 dBm and 10 Gbps transmission was achieved by spatially multiplexing 8 streams.
Moreover, the feasibility of employing 24x24 MIMO in 11 GHz band to realize 30 Gbps transmission
was verified by off- line evaluations using measured channel propagation data [9].
Based on these results, although the spatial multiplexing of 16 streams by 16 transmission (Tx)
antennas can achieve 20 Gbps transmission, the total Tx power exceeds the 30 dBm that is typically
considered to be the maximum Tx power of small cells [10], when the Tx power per stream is 25 dBm
as shown in Table I. Under these circumstances, massive MIMO is promising approach to effectively
reducing the Tx power; its larger number of antennas offers useful beam forming (BF) gain [11]-[13]
as schematically shown in Fig. 4(a). As also shown in Fig. 4(b), massive MIMO is well-known to be
also effective in increasing the bit rate by spatial multiplexing gain.
Table I shows the total required Tx power for massive MIMO in the 20 GHz band, in order to match
the reception

5
 Macro cell

Small cell

Lower freq. bands Higher freq. bands

(Existing cellular freq. = UHF band) Low SHF band High SHF / EHF band
Ex. 800 MHz Ex. 2 GHz 3~6 GHz 6~30 GHz / over 30 GHz

Frequency

Fig. 1: Phantom Cell concept.

• 1000x capacity/km2

Higher system
capacity

Higher data rate Reduced Latency

• 10-100x typical data rate

5G • RAN latency : < 1ms
(Even for high mobility)

Massive device Energy saving & cost

Connectivity Reduction
• 100x connected devices • Energy saving for NW & terminals
(Even in crowded areas) • Reduced NW cost incl. backhaul

Fig. 2: Requirements and targets of 5G.

Coverage cells

Macro cell

Low-SHF small cells

High-SHF small cells

Moving cells

EHF spots

Wi-Fi spots
Capacity cells

Fig. 3: Support of various small cells based on Phantom Cell concept

quality offered by the Tx power per stream of 25 dBm in the 11 GHz band [14]. This table assumes that the propagation
loss at 20 GHz is 5 dB higher than that at 11 GHz and the number of streams for spatial multiplexing is assumed to be 16.
Compared to 16x16 MIMO, the BF gain of massive MIMO with 64 Tx antennas is increased to 6 dB (=10log 10(64/16)).
Since the propagation loss at 20 GHz is assumed to be 5 dB higher, the Tx power per stream becomes 24 dBm. In this
setting, the Tx power per antenna and the total Tx power are 18 dBm and 36 dBm, respectively. When the number of Tx
antennas in massive MIMO is increased to 256, the BF gain becomes 12 dB, and thus the Tx power per stream and the Tx

6
power per antenna can be reduced to 18 dBm and 6 dBm, respectively. Consequently, the total Tx power can be reduced to
30 dBm. In this case, Si based semiconductor devices become suitable as high power amplifiers, since the Tx power per
antenna is less than 10 dBm. In addition, on the assumption that the Tx antenna array is a uniform planar array with
antenna spacing of a half wavelength, the antenna size with N = 256 becomes 12.0 cm x 12.0 cm, which is considered to
be feasible for the base station of a small cell.

(a) Beam forming gain (b) Spatial multiplexing gain

Fig. 4. Performance gain obtained by Massive MIMO
Table 1
TRANSMISSION POWER LEVELS IN MASSIVE MIMO
Transmis Freq. No. of No. of BF Tx power Tx power Total Tx
-sion (GHz) Tx ant. streams gain / stream / antenna Power
scheme (dB) (dBm) (dBm) (dBm)
16x16
11 16 16 0 25 25 37
MIMO

Massive 64 16 6 24 18 36
20
MIMO 256 16 12 18 6 30

Simulations and experiments show that the massive MIMO technologies achieve super high bit
rates in the higher frequency bands. The combination of the Phantom Cell concept and massive
MIMO is one of the most promising approaches for 5G access because control channels can be
exchanged through the macro cell. In addition, massive MIMO can be applied not only for high-SHF
small cells but also for low-SHF cells.
Requirements on Mobile Optical Network
For deploying smaller cells based on Phantom Cell concept in a cost-effective manner, the C-RAN
architecture is considered to be a promising approach. Front hauls based on the CPRI specification,
which utilizes baseband digital IQ signals, have already been deployed. A front haul that can be
categorized as ideal backhaul allows tight coordination among RAUs, and therefore, the enhancement
of system throughput can be expected by employing techniques such as coordinated multipoint
(CoMP) transmission/reception.
Table II shows the line bit rate of the CPRI specification [6]. Option #3 with the line bit rate of 2457.6
Mbps has been used in LTE for supporting 150 Mbps transmission by 2x2 MIMO with the signal
bandwidth of 20 MHz [15]. Therefore, in order to support wider signal bandwidths such as more than
100 MHz and/or a large number of antennas, some way to realize higher bit rates in optical fiber such
as wavelength-division multiplexing is needed, since the current CPRI specifications supports up to
12 Gbps (approximately) as the line rate. For instance, if 8x8 MIMO with the signal bandwidth of 400

7
MHz is used to achieve more than 10 Gbps transmission in 5G RAN, a simple extrapolation from the
case of 2x2 MIMO with the signal bandwidth of 20 MHz shows that the optical fiber line rate of
approximately 200 Gbps is required. Otherwise, several techniques that can reduce the line rate of
fronthaul are needed; many studies have considered techniques such as data compression/reduction
and modification of the functional split between BBU and RAU [16][17].
Meanwhile, if tight coordination between small cells is not necessary in a deployment area, the line
rate requirement on the optical network is relaxed. For instance, in the case mentioned above,
although the line rate of almost 2.4 Gbps is required for supporting 150 Mbps transmission in LTE,
non-ideal backhaul with the line rate of 150 Mbps is enough. This means that even if 5G RAN needs
to achieve 10 Gbps transmission, the optical fiber line rate of just 10 Gbps is sufficient. In what
follows, requirements on the optical network to support 5G access technologies are discussed, taking
into account two deployment options of ideal and non-ideal backhaul.
TABLE II
LINE BIT RATE OF CPRI [6]

Option Line coding Line bit rate (Mbit/s)

1 614.4
2 1228.8
3 2457.6
4 8B/10B 3.72.0
5 4915.2
6 6144.0
7 9830.4
7A 8110.08
8 64A/66B 10137.6
9 12165.12

A. Requirement for supporting massive MIMO

Fig. 5(a) overviews downlink channel processing based on LTE, assuming MIMO with 2 streams
by 2 Tx antennas. Incoming packets at BBU are forwarded to the functions of Packet Data
Convergence Protocol (PDCP), Link Control (RLC), and Medium Access Control (MAC), followed
by channel coding and modulation. After mapping the modulated data to each stream by layer mapper,
digital beam forming, also referred to as pre-coding, is applied. Then, signal processing for OFDM
signal generation at each stream is performed. After that, the baseband IQ digital signal for the 2 Tx
antennas is forwarded via the front haul link. In this process, LTE with the signal bandwidth of 20
MHz needs the approximate line rate of 2.4 Gbps, that is, 1.2 Gbps is required for each antenna.

8
 Fig. 5(b) overviews downlink processing for N Tx antennas assuming massive MIMO, in which the
number of streams is M
and each stream is pre-coded by digital beam forming. In Fig. 5(b), since each antenna requires its
own front haul link for digital beam forming, if N is assumed to be 256 as discussed in Table II, a line
rate of about 300 Gbps is required even with the 20 MHz signal bandwidth, which renders low cost
implementation impossible.
For reducing the front haul line rate, massive MIMO employing digital beam forming together with
analog beam forming is one of the promising approaches [18], as shown in Fig. 5(c). In this figure, M
streams are pre-coded by digital beam forming, and the L branches of the pre-coder output are
forwarded via the front haul. In RAU, the transmit signals for N Tx antennas are generated by
applying analog beam forming to the frequency (RF) signal that is converted from the forwarded L
branches’ data. In this case, L can be reduced to M at minimum, although beam tracking performance
is degraded as L decreases. Therefore, the required front haul line rate can be reduced to
approximately 20 Gbps at minimum, even if 20 Gbps transmission is required in 5G RAN, probably
with a moderate degradation in beam tracking performance.
Although the CPRI-based front haul link assumed in Fig. 5 can realize tight coordination between
small cells, several variations of the BBU-RAU functional split have been studied in order to reduce
the line rate in the optical fiber, as shown in Fig. 6. In this figure, Case #1 corresponds to the
functional split of the current CPRI specification, in which the functions from higher layer protocol
such as PDCP to OFDM signal generation are performed at BBU. In Case #2, on the other hand, the
processing for OFDM signal generation is shifted to RAU. In this case, since the contents of unused
subcarriers in a guard band and those in an unscheduled resource block (RB) can be omitted, the
amount of information delivered in the front haul can be dynamically reduced depending on the traffic
load [19][20]. As is also true in Case #1, tight coordination can be realized in Case #2, at the cost of a
slight modification of the air interface specification, as RAU must be notified about whether the RBs
are scheduled or not.

In Case #3, the processing of physical layer from modulation to OFDM signal generation is
performed in RAU. Similarly, in Case #3’, all of the physical layer processing including channel
coding is performed in RAU [21][22]. In both cases, though further impact on interface occurs,
compared to Case#2, the required line rate can be further reduced. This is because digital bit

9
sequences are forwarded from BBU to RAU, not baseband IQ signals. Finally, in Case #4, RAU has
the all functions from higher layer to physical layer, which corresponds to the typical base station. The
required line rate of Cases #3 and #3’ is almost the same level as that of Case #4, though several
control signals should be transferred to RAU. Furthermore, in Cases #3 and #3’, since the function of
MAC layer including packet scheduling is performed in a centralized manner at BBU, tight
coordination between small cells is feasible. However, in Case #4, since the MAC layer is
implemented in each small cell, tight coordination is difficult. By applying Cases #2, #3 and #3’, the
required line rate of optical fiber can be eased. However, latency requirement cannot be relaxed if
tight coordination is demanded.

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11
B. Requirements for supporting carrier aggregation and dual connectivity

CA was introduced in LTE-Advanced for throughput enhancement; it simultaneously utilizes

several component carriers (CCs) having different RF carrier frequencies. Also in 5G RAN, it is
desirable to flexibly aggregate small cells in different frequency bands. Especially for small cells
in higher frequency bands, although wider signal bandwidth is available, the required line rate in
optical fiber becomes larger at the same time, even if massive MIMO is not used. For instance, if
2x2 MIMO with the signal bandwidth of 1 GHz is assumed, line rates in optical fiber of
approximately 100 Gbps are required according to the same extrapolation in Section IV.
Therefore, CA has the same technical issue as massive MIMO in terms of requirements on the
optical network.
In CA, the functions from PDCP to MAC are performed in a centralized manner, as shown in
Fig. 7(a). Consequently, together with the ideal backhaul for RAU of CC2, packet scheduling
according to the link condition of CCs in every TTI becomes possible. On the contrary, in dual
connectivity (DC) [23], also referred to as intra-eNodeB CA, a non-ideal backhaul, e.g. X2
interface, is assumed. Therefore, as shown in Fig. 7(b), the functions of RLC and MAC are
independently performed for each CC. As a result, the throughput performance in DC might be
inferior to that in CA, though the backhaul requirements can be relaxed.
Meanwhile, by applying the functional split described in the previous subsection, requirement
on the line rate of backhaul in order to realize CA can be eased. With regard to the applicability
of the functional split in Fig. 6, not only Cases #1 and #2 but probably also #3 and #3' can be
used for realizing CA, due to the fact that the MAC function is performed in a centralized
manner at BBU. Similar to CA, the latency requirement on optical fiber cannot be relaxed.

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 Base Base Base
station PDCP station #1 PDCP X2 interface station #2

RLC RLC RLC

MAC MAC MAC

CC#1 CC#2 CC#1 CC#2

CC: Component Carrier

Ideal backhaul Non-ideal backhaul

CC1 CC1
CC2 CC2

f1 f2Frequency f1 f2Frequency
(a) Carrier aggregation (b) Dual connectivity
Fig. 7: Carrier aggregation and dual connectivity
Conclusion
This paper discussed requirements imposed on the mobile optical network in order to
realize the 5G mobile communication network with super high bit rates and capacity based on
Phantom Cell concept; the concept employs multiple small cell layers comprising Wi-Fi spot and
moving cells in addition to small cells with higher frequency bands. If the currently-used ideal
backhaul, so-called front haul, is straightforwardly extended to support higher bit rates such as
several tens of Gbps by massive MIMO, further enhancement can be expected by tight
coordination such as coordinated multipoint transmission/reception. Unfortunately, in this case,
optical fiber line rates would need to be several hundreds of Gbps. Therefore, several
countermeasures to reduce the line rate in optical fiber have been studied, such as massive
MIMO with analog/digital beam forming and the functional split variants. In contrast, if
throughput enhancement by tight coordination is not taken into consideration, non-ideal backhaul
is sufficient, which relaxes the requirement placed on the optical network in terms of line rate
and latency. In an analogous way, carrier aggregation assumes ideal backhaul and is expected to
yield throughput enhancement by centralized packet scheduling, but dual connectivity with non-
ideal backhaul cannot expect such throughput enhancement.
For supporting super high bit rates and capacity in 5G RAN, several studies have tackled
reducing the required line rate, although some of them impact the specification if applied to the
current air interface. Otherwise, the line rate and latency requirements can be relaxed by utilizing
the optical network as a non-ideal backhaul, at the cost of preventing tight coordination.
Therefore, the establishment of optical transmission technologies that can support several

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hundreds of Gbps in a low cost manner with low latency is highly desired for the realization of
5G access networks with super high bit rate and capacity.

14
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