O-RAN：开放式无线接入网络技术"
O-RAN 技术是无线通信领域的重要技术。本书作为该领域的入门书，在内容上尽可能涵盖O-RAN 技术的各方面知识。全书共 9 章，其中第 1、2 章讲述全球 O-RAN 产业的发展与现状，包括 O-RAN 技术和组织的发展历史，全球运营商、传统设备厂商等的相关介绍；第 3 ~ 8 章分别详细讲述 O-RAN 架构及其各个模块，包括 O-RAN 的系统整体架构，O-RAN 无线智能控制器的架构和接口功能，CU 集中单元、DU 分布单元和 RU 射频单元的协议架构，O-RAN 云平台的架构和接口功能，以及 O-RAN 的管理和编排功能；第 9 章讲述 O-RAN 的未来演进和展望。
推荐序一
O-RAN 即开放式无线接入网络技术，是一种解耦、开放、白盒的无线通信技术体系，相对于传统的 3GPP 无线网络技术，可以将 O-RAN 类比于无线通信领域的 Android 技术。O-RAN 基于开放、标准、解耦且经济的设计理念，通过移动无线网络接口协议开放、设备硬件虚拟化、软件开源与网络运维运营智能化、自动化，帮助全球运营商构建新兴的无线网络基础设施，实现无线网络的灵活组网、标准开放、高效管理，并降低建设成本，助力通信行业数字化转型与业务创新。
O-RAN 是无线通信领域的颠覆性新兴技术，但业界目前尚无一本 O-RAN领域的图书系统阐述 O-RAN 的技术原理。欣闻欧阳晔博士所著《O-RAN：开放式无线接入网络技术》即将出版，各位读者可将此书作为 O-RAN 技术的指南，对 O-RAN 的技术体系形成系统性了解。该书作为通信行业第一部详细介绍 O-RAN 的技术图书，由亚信科技的专家团队组织编写，作者均在移动无线网络领域拥有丰富的技术知识与实践经验。
本书结合国内外 O-RAN 技术研究与产品设计开发实践经验，从 O-RAN 的起源、标准组织定义、生态联盟发展、行业应用到技术原理与应用等多方面，深入浅出地为读者介绍并展现 O-RAN 技术的全貌。该书语言通俗易懂，体系结构完整，内容丰富翔实，图文并茂，突出实用性，可用于培训移动通信行业从业人员与相关专业人员。相信这本书可以帮助所有想要更深入、更全面了解O-RAN 的读者，同时一些在实际工作中应用 O-RAN 的读者也可以从中了解当前 O-RAN 的行业应用现状，从而更好地开展实际工作。
本书是全球第一本 O-RAN 技术图书，会随着 O-RAN 技术的发展与演进不断完善修订，从而帮助广大读者持续了解并掌握 O-RAN 技术及其应用发展趋势。同时也欢迎并希望您对本书提出宝贵建议，共同推进 O-RAN 技术的发展与演进，让无线连接世界，改变未来。
张亚勤
中国工程院院士（外籍）
清华大学讲席教授
清华大学智能产业研究院（AIR）院长
推荐序二
欣闻欧阳晔博士所著《O-RAN：开放式无线接入网络技术》一书即将面世，对通信行业意义深远。这是一本业界首次详细介绍 O-RAN（开放式无线接入网络技术）的技术图书。该书不仅可以帮助移动通信行业的从业者与研究者掌握 O-RAN 技术原理与功能架构，更重要的是将 O-RAN 技术、行业现状与实际应用全面结合起来，帮助广大读者更准确、更深刻地理解 O-RAN。
5G 时代，企业数字化转型对通信运营商网络提出了开放、标准、解耦且低成本等要求，其中移动通信无线网络又有接入客户多、建设规模大、技术门槛和运维成本高的特点，亟需引入新技术、新方案实现无线网络的持续演进。
5G 网络速度快、带宽大、频段高的特点，决定了 5G 基站数量相较与前几代蜂窝无线网络会大幅增加。大规模建网势必带来极大的投资，这时就需要引入新技术、新方案，降低建设难度，减少投资成本。同时，面向垂直行业，拓展运营商的敏捷服务能力将是 5G 网络的首要任务。垂直行业的新业务意味着更多样的业务类型、更复杂的网络管理，需要更高效的资源管理方案以及更灵活的网络架构以便于开展业务创新。而百年难遇的技术变革 ,“ICDT 深度融合”的契机正在萌芽并且快速深化。O-RAN 技术就是在这个大背景下应运而生的。
无线接入网的发展趋势是网络能力更加开放、接口定义更加标准化、业务场景更加丰富，同时增加对于人工智能技术的支持应用。顺应趋势 O-RAN 的产业目标为实现 RAN 网元接口开放化、硬件白盒化以及软件开源化，同时通过 AI/ML 技术的引入实现从网元到网管的闭环自动化智能化。通过上述技术创新与演进得以引入更多的第三方软硬件开发商，实现整个 RAN 系统 TCO 的大幅下降，以及快速灵活的网络部署与重构。由此 O-RAN 能够构建开源、开放的 5G 网络，赋能运营商 ICT 技术融合与 APP 业务应用的快速开发和落地，
助力百行千业数字化转型。
有鉴于此，亚信科技的专家们组织启动了《O-RAN：开放式无线接入网络技术》一书的编写工作。这本书以满足移动通信网络从业与相关专业人员了解并掌握 O-RAN 技术为目标，以培养技术能力为主线组织编写，在编写内容上以“通俗易懂”为尺，以“实践实用”为准，理论紧密联系实际，深入浅出，按照认知规律兼顾项目实用的原则安排知识结构体系。本书特点如下：
（1）技术原理详尽且实用性强。本书作者编写力求贯彻理论联系实际的原则，在详细介绍 O-RAN 技术原理的基础上，并结合主流全球运营商的 O-RAN部署现状及主要供应商的产品方案，反映出全球 O-RAN 最新成果和发展趋势。
（2）编写体系创新且易懂。本书详细讲述了 O-RAN 架构以及架构中各个模块的技术功能，介绍 O-RAN 技术原理与应用现状，还对一些 O-RAN 常见的互联网问题与观点进行解释与说明，辅以 O-RAN 全球生态联盟的介绍，使读者全面了解 O-RAN。
（3）编写作者经验丰富。本书作者均在通信领域拥有丰富的技术理论与实践经验，作者基于实际 O-RAN 产品设计开发与方案交付的经验，从产品与市场维度向读者进行了全面的 O-RAN 介绍。
本书图文并茂、深入浅出、简繁得当，可作为 O-RAN 专业教材使用，也可为通信领域项目工程人员参考使用。希望本书能够帮助通信领域的从业者、研究者等快速全面地了解并掌握 O-RAN，共同推进移动通信技术的发展演进，赋能行业数字化转型。
易芝玲 博士
O-RAN 联盟 技术指导委员会联席主席
中国移动通信研究院首席科学家
前? 言
随着 5G 技术的发展，各行各业掀起了通过 5G 技术创新进行数字化转型的浪潮。面对垂直行业的各种应用场景，在 5G 时代不仅需要更高的传输速率，也需要更短的时延和更好的用户体验。同时 5G 采用的高频段射频信号的衰减严重、穿透性差等物理特性，决定了 5G 时代的无线网络节点数量相对于前几代无线网络来说会有很大的增幅。此外，5G 基站构建成本高、传统硬件设备昂贵。对运营商来说就带来了 5G 在建网成本上的负担，以及网络维护的成本上升。
从 ICT 产业的发展历史来看，IT 业在 20 世纪 80 年代就开启了软件、硬件、外设间的开放，从而形成了一个蓬勃发展的健康开放的大生态。相比之下，尽管电信业（CT 业）也经历了快速发展的阶段，但是网络封闭性始终没有突破，生态环境也较为封闭。电信业也开始认识到开放性的生态才是一个行业强大的推动力，也是电信业重振和发展的必由之路。为此，全球电信业从 10 年前就开始了开放性探索，引入了 SDN、NFV 和云计算等，出现了不少开放联盟组织，诸如 TIP、IETF、MSA、ONF、3GPP、OIF、OCP、OPEN ROADM 等，它们均在不同领域和不同程度上参与开放网络的工作，从实践中也出现了云化的开放 5G 核心网和开放的光传输网等案例，开启了从封闭逐步走向半开放乃至全开放的旅程。
O-RAN 联盟就是在这个大背景下成立的，通过软硬件解耦的架构、开放的接口以及智能化等方式，在 5G 生态中引入了更多的通信厂商供应以及更多的智能化技术，来打破设备厂商的垄断，以降低设备成本并提升网络部署和管理的灵活性，以提高开放性、虚拟化和智能程度，从而提升多供应商网络设备之间的互操作性。依托通用的计算平台，而非定制的硬件平台实现 RAN 功能，并用云原生机理来管理 RAN 的虚拟化应用。因此，O-RAN 更符合通信行业生态长期良性发展的方向，为 5G 网络系统建设提供成本较低选项，有助于加速电信行业巅峰时代的来临。
O-RAN 技术是无线通信领域的重要技术。本书作为该领域的入门书，在内容上尽可能涵盖 O-RAN 技术的各方面知识。全书共 9 章，大致分为 3 部分：第 1 部分（第 1、2 章）从 O-RAN 技术和组织的发展历史，阐述 O-RAN 联盟的发展历史和进展，并通过全球运营商、传统设备厂商、新兴设备供应商以及测试仪表厂商的介绍全面讲述全球 O-RAN 产业的现状。第 2 部分（第 3 章 ~8章）详细讲述 O-RAN 架构以及架构中各个模块的技术能力，其中，第 3 章主要讲述 O-RAN 的系统架构，以及它与 3GPP 4G、5G RAN 架构和模块功能的差异；第 4 章和第 5 章重点描述 O-RAN 技术中的无线智能控制器，包括非实时无线智能控制器和近实时无线智能控制器，详细阐述 O-RAN 是如何引入智能化控制的，以及智能化的引入带来的功能和好处；第 6 章介绍 CU 集中单元、DU 分布单元和 RU 射频单元的协议架构；第 7 章介绍 O-RAN 云平台的架构和接口功能；第 8 章介绍 O-RAN 的管理和编排能力，包括管理维护、资源编排、接口功能等几个方面。第 3 部分（第 9 章）给出 O-RAN 的未来演进和展望。
本书可作为高等院校通信、自动化及相关专业的本科生或研究生教材，也可供对无线通信感兴趣的研究人员和工程技术人员阅读参考。
本书由欧阳晔及其带领的团队编写，成员包括孙杰、李占武、石英伟、边森、吕鹏、王志刚
编者
2022年12月
第1 章 O-RAN 发展历程 ··································································1
1.1 O-RAN 技术发展历程 ··································································· 1
1.1.1 移动通信 RAN 技术发展 ·································································· 1
1.1.2 C-RAN、Virtual RAN（vRAN）与 O-RAN ··········································· 5
1.2 O-RAN 组织发展历史 ··································································11
1.2.1 电信基础设施项目······································································12
1.2.2 O-RAN 联盟 ················································································13
1.2.3 其他组织 ····················································································15
第 2 章 O-RAN 产业现状 ································································ 18
2.1 O-RAN 产业发展历程与生态概览 ···················································18
2.2 全球主流电信运营商 O-RAN 研发 & 部署情况 ···································20
2.2.1 Telefonica 的 O-RAN 研发 & 部署情况 ···············································22
2.2.2 德国电信的 O-RAN 研发 & 部署情况 ·················································23
2.2.3 沃达丰的 O-RAN 研发 & 部署情况 ····················································23
2.2.4 乐天移动的 O-RAN 研发 & 部署情况 ·················································24
2.2.5 Dish 的 O-RAN 研发 & 部署情况 ······················································25
2.2.6 中国移动的 O-RAN 研发 & 部署情况 ·················································25
2.3 传统电信设备供应商对 O-RAN 的支持情况 ······································26
2.3.1 爱立信对 O-RAN 的支持情况 ··························································26
2.3.2 诺基亚对 O-RAN 的支持情况 ··························································27
2.3.3 三星对 O-RAN 的支持情况 ·····························································27
2.3.4 华为 / 中兴对 O-RAN 的支持情况 ·····················································28
2.4 新兴电信设备供应商对 O-RAN 的支持情况 ······································28
2.4.1 Altiostar 对 O-RAN 的支持情况 ························································28
2.4.2 Parallel Wireless 对 O-RAN 的支持情况 ··············································30
2.4.3 Mavenir 对 O-RAN 的支持情况 ························································32
2.4.4 思科对 O-RAN 的支持情况 ·····························································33
2.4.5 英特尔对 O-RAN 的支持情况 ·······················································33
2.4.6 亚信科技对 O-RAN 的支持情况 ·······················································34
2.4.7 世炬网络对 O-RAN 的支持情况 ·······················································37
2.5 测试仪表厂商对 O-RAN 的支持情况 ···············································37
2.5.1 是德科技对 O-RAN 的支持情况 ·······················································37
2.5.2 VIAVI 对 O-RAN 的支持情况 ···························································39
第 3 章 O-RAN 架构 ······································································ 41
3.1 O-RAN 架构总体介绍 ··································································41
3.1.1 O-RAN 总体架构 ··········································································42
3.1.2 O-RAN 云平台 ·············································································45
3.1.3 O-RAN 网络功能层 ·······································································45
3.1.4 O-RAN 服务管理和编排 ·································································47
3.1.5 O-RAN 智能化控制 ·······································································48
3.2 O-RAN 与其他网元互连 ·······························································53
3.2.1 O-RAN 与 3GPP LTE 网元互连 ·························································53
3.2.2 O-RAN 与 3GPP 5G 网元互连 ··························································53
3.2.3 O-RAN 与 Non-3GPP 网元互连 ························································54
3.3 O-RAN 安全 ··············································································55
3.3.1 O-RAN 安全措施 ··········································································55
3.3.2 O-RAN 威胁分析 ··········································································56
3.3.3 O-RAN 安全协议 ··········································································57
3.3.4 零信任体系结构 ···········································································57
3.3.5 安全增强计划 ··············································································57
3.4 O-RAN 架构与 3GPP 5G RAN 架构比较 ···········································58
3.4.1 核心目标比较 ··············································································58
3.4.2 架构比较 ····················································································59
第 4 章 非实时无线智能控制器 ························································ 65
4.1 非实时无线智能控制器架构···························································65
4.1.1 Non-RT RIC 架构需求 ····································································65
4.1.2 Non-RT RIC 框架的服务化功能和接口 ···············································70
4.1.3 rApp 能力 ···················································································72
4.2 Non-RT RIC 基础功能 ··································································72
4.2.1 数据管理与开放 ···········································································73
4.2.2 策略管理 ····················································································74
4.2.3 rApp 管理 ···················································································74
4.2.4 AI/ML 支持 ·················································································75
4.2.5 终端服务 ····················································································75
4.3 rApp 基础功能 ············································································76
4.3.1 rApp 集成服务 ·············································································76
4.3.2 AI/ML 支持 ·················································································76
4.4 A1 接口 ····················································································77
4.4.1 A1-P 服务信息 ·············································································79
4.4.2 A1-EI 服务信息 ············································································81
4.4.3 A1-ML 服务信息 ··········································································82
4.5 R1 接口 ····················································································82
第 5 章 近实时无线智能控制器 ························································ 86
5.1 近实时无线智能控制器架构···························································86
5.1.1 Near-RT RIC 架构需求····································································86
5.1.2 Near-RT RIC 功能 ··········································································87
5.1.3 xApp 能力 ···················································································89
5.2 Near-RT RIC 基础功能 ··································································90
5.2.1 数据库与 SDL 服务 ·······································································90
5.2.2 xApp 订阅管理 ·············································································91
5.2.3 冲突调解 ····················································································91
5.2.4 消息总线 ····················································································93
5.2.5 安全性 ·······················································································93
5.2.6 管理服务 ····················································································94
5.2.7 接口服务 ····················································································95
5.2.8 API 管理服务 ···············································································96
5.2.9 AI/ML 支持 ·················································································97
5.2.10 xApp 仓储功能 ···········································································97
5.3 xApp 简介 ·················································································98
5.3.1 xApp 组成 ···················································································98
5.3.2 经典用例 ····················································································98
5.4 E2 接口 ····················································································99
5.4.1 E2 订阅功能 ·············································································· 100
5.4.2 E2 订阅删除功能 ········································································ 102
5.4.3 E2 指示功能 ·············································································· 105
5.4.4 E2 控制功能 ·············································································· 106
5.4.5 E2 指南请求 / 响应功能 ································································ 107
5.4.6 E2 指南修改功能 ········································································ 109
5.5 基于 QoS 的资源优化 ································································· 111
5.5.1 参与的功能实体 ········································································· 112
5.5.2 主要功能流程 ············································································ 113
第 6 章 集中单元、分布单元和射频单元 ···········································115
6.1 集中单元················································································· 116
6.1.1 集中单元用户面 ········································································· 116
6.1.2 集中单元控制面 ········································································· 118
6.2 分布单元················································································· 124
6.2.1 无线链路控制 ············································································ 125
6.2.2 媒体接入控制 ············································································ 126
6.2.3 物理层 ····················································································· 134
6.3 射频单元················································································· 135
6.3.1 室内型皮站 O-RU7-2 硬件架构 ························································ 136
6.3.2 室内型皮站 O-RU6 硬件架构 ·························································· 137
6.3.3 室内型皮站 O-RU8 硬件架构 ·························································· 139
6.3.4 室内型皮站 DU 与 RU 一体化硬件架构 ············································ 140
6.3.5 室内型皮站 O-RUx 通用要求 ························································· 141
6.3.6 室内型皮站 O-RUx 切分选项具体要求 ·············································· 143
6.3.7 室外型微站 O-RU7-2 硬件架构 ························································ 144
6.3.8 室外型微站 O-RUx 通用要求 ·························································· 145
6.3.9 室内型皮站前传接口网关 FHGW7-2（Option7-2 之间互联） ···················· 147
6.3.10 室内型皮站前传接口网关 FHGW（Option7-2 与 Option8 之间互联） ······· 149
6.3.11 室内型皮站前传接口网关 FHGW（Option8 之间互联） ······················ 150
6.3.12 室内型皮站 FHGWX 通用技术要求 ················································ 152
第 7 章 O-RAN 云化 ···································································· 154
7.1 云平台 ···················································································· 154
7.1.1 云计算架构 ··············································································· 154
7.1.2 O-Cloud 架构 ············································································· 156
7.1.3 O-Cloud 关键概念 ······································································· 160
7.1.4 O-Cloud 基础用例 ······································································· 161
7.1.5 O-Cloud 部署场景 ······································································· 163
7.2 O2 接口 ·················································································· 171
7.2.1 O2 接口功能 ·············································································· 171
7.2.2 O2 接口服务 ·············································································· 173
7.3 O-Cloud Notifification 接口及功能 ··················································· 174
第 8 章 O-RAN 的管理与编排 ························································ 179
8.1 SMO 的功能定位 ······································································ 179
8.2 SMO OAM 架构········································································ 180
8.2.1 OAM 架构总体设计原则 ······························································· 180
8.2.2 架构需求 ·················································································· 181
8.2.3 参考体系架构 ············································································ 182
8.3 SMO 网络实例化示例 ································································ 192
8.3.1 O-RAN 网络服务的构成 ······························································· 192
8.3.2 网络实例化目标 ········································································· 193
8.3.3 SMO 功能需求 ··········································································· 193
8.3.4 用例流程 ·················································································· 194
8.4 SMO 与传统 OSS 的接口 ···························································· 197
8.5 O1 接口 ·················································································· 199
8.5.1 配置管理 ·················································································· 200
8.5.2 性能管理 ·················································································· 201
8.5.3 故障管理 ·················································································· 201
8.5.4 跟踪管理 ·················································································· 201
8.5.5 文件管理 ·················································································· 202
8.5.6 心跳管理 ·················································································· 203
8.5.7 PNF 启动和注册管理 ··································································· 203
8.5.8 PNF 软件管理 ············································································ 203
8.6 SMO 与自智网络 ······································································ 204
8.6.1 网络管理系统自智等级分级总体方法 ·············································· 204
8.6.2 O-RAN SMO（服务管理编排）与自智网络相关管理编排 ····················· 205
第 9 章 O-RAN 演进与展望 ··························································· 206
9.1 O-RAN 面临的挑战和不足 ·························································· 206
9.2 O-RAN 展望 ············································································ 208
词汇表·························································································211
全面讲述开放式无线接入网络技术架构、功能与协议。
探讨O-RAN技术的发展趋势、产业现状与未来展望。
欧阳晔 博士，IEEE Fellow，Verizon Fellow
亚信科技首席技术官、高级副总裁
欧阳晔博士目前在我国领先的电信软件公司亚信科技（1675.HK）担任首席技术官、高级副总裁，全面负责公司的研发与创新工作。加入亚信科技之前，曾任美国第一大移动通信运营商威瑞森（Verizon）电信集团通信人工智能系统部经理及Verizon Fellow。欧阳晔博士在ICT领域拥有丰富的研发与大型团队管理经验，研究领域专注于移动通信、数据科学与人工智能跨学科领域的研发创新与商业化。
欧阳晔博士在工业界与学术界获得多项荣誉与奖励，近期奖项包括2022中国计算机学会CCF科技进步一等奖、2017美国杰出亚裔工程师奖、2019 TM Forum电信业未来数字领袖大奖、2021吴文俊科技进步奖、2020中国人工智能商业领袖奖、2017 IEEE国际大数据会议**论文奖、2021美国国家多元化科技领袖奖、2017美国电信业创新大奖和**OSS/BSS产品奖、2017北美**运营商大数据系统奖、2016美国电信业创新大奖、2015 IEEE无线通信年会“无线通信跨领域贡献奖”、美国总统科学技术与政策办公室电信大数据研究基金等。欧阳晔博士在多个国际标准组织与学术组织任职，包括IEEE、ETSI等多个工作组与会议主席、北京软协人工智能专委会会长、美国斯蒂文斯理工学院职业发展导师、清华大学—亚信科技5G智能联合实验室主任等，并在多个学术会议、期刊担任编委和审稿人。
欧阳晔博士著有40余篇学术论文、13本学术书籍，拥有60余项专利，参与50余项国际标准的制定。欧阳晔博士拥有中国东南大学学士学位、美国哥伦比亚大学硕士学位、塔夫斯大学硕士学位和斯蒂文斯理工学院博士学位。
