Carrier Aggregation

2018/3/1

EE140 Introduction to Communication Systems Lecture 1

Instructor: Prof. Xiliang Luo

ShanghaiTech University, Spring 2018

Contents

• Course information

• Introduction to communication systems

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Course Information (I)

• Course title: – Introduction to Communication Systems • Course pre-requisites: – Probability; Linear algebra; Signal and systems •Objective – Establish basic knowledge about digital signaling, coding, digital transmission and reception • Reference textbook 1. S. Haykin, Communication Systems, 5th edition, Wiley. 2. David Tse, Fundamentals of Wireless Communication, Cambridge University Press. 3. 樊昌信，通信原理，第7版，国防工业出版社

Course Information (II)

• Instructor: – Prof. Xiliang Luo ([email protected]) •TA: – Xuanfeng Li([email protected]) • Office hours – Tuesday, Thursday 10:30~12:00pm – SIST 1C-403A • Rules in classroom – Questions, discussions and suggestions are always welcome – Turn-off your mobile phones, no food in classroom

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Course Information (III)

•Grading – Homework: (biweekly) 40% – Midterm: 30% – Final: 30% • Homework: – Biweekly, due before Tuesday classes (hard deadline) • Honor code: – Plagiarism, zero tolerance •Website http://sist.shanghaitech.edu.cn/faculty/luoxl/class/2018Spr_ EE140/IntroComm.htm

Course Information (IV)

• Syllabus (first half)

Content Hours

Introduction 2

Deterministic signals and spectra (waveform, FT, 3 Spectra)

Random process and noises 5

Analog modulation 4

Quantization (ADC, DTFT, Aliasing) 6

Source coding (information theory) 8

Review 1 2

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Course Information (V)

• Syllabus (second half)

Content Hours

Channel (response, ISI, est. and equalization) 4

Digital modulation 4

Detection 6

Coding 4

Multiple Access 2

Wireless communications 8

Review 2 2

Course Information (VI)

• Some of the slides information was taken from our colleagues and from the internet, we would like to declare and acknowledge here – Fundamentals of Communication Systems, Second Edition, John G. Proakis, Masoud Salehi, Pearson Prentice Hall, 2005 – Digital Communications, 5th Edition, John G. Proakis, Masoud Salehi, McGraw-Hill, 2007 – Course slides by R. Gallager, Massachusetts Institute of Technology (6.450 Principles of Digital Communications I, Fall 2006. MIT OpenCourseWare) – Course slides by Meixia Tao, Shanghai Jiaotong University (ES311 通信原理 http://iwct.sjtu.edu.cn/personal/mxtao/teaching1.html) – Course slides by Wei Chen, Tsinghua University (通信原理、高等数字通信)

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Before we start • Some suggestions – Keep your ambition in mind and be active in class – Remember the concepts – Know their physical meanings and the relationships – Pay attention to the assumptions and conditions – Grasp all the examples given in the lecture notes – Understand the homework problems and solutions – Read references when necessary – Methods are more important than results – Learn to evaluate others’ work

Contents

• Course information

• Introduction to communication systems

– What is communication?

– History of communication systems

– Basic architecture

– Fundamental questions

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What is Communication?

• Communication – From Wikipedia – from Latin commūnicāre, meaning "to share" – the act of conveying intended meanings from one entity or group to another through the use of mutually understood signs and semiotic rules

Examples of Modern Communication Systems

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Contents

• Course information

• Introduction to communication systems

– What is communication?

– History of communication systems

– Basic architecture

– Fundamental questions

Historical Review

• 1791: Semaphore (Claude Chappe)  Napoleon’s secret weapon

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Historical Review

• 1838: telegraph (Samuel Morse)

Historical Review

• 1870: telegraph cable

Hong Kong, 20 October 1870 Shanghai, 8 December 1870

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Historical Review

• 1910: telegraph station

Shanghai, 1910 Shanghai, 1930

Historical Review

• 1876: Telephone (Alexander Bell)

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Historical Review

• 1895: Radio (Guglielmo Marconi)

1909

Historical Review

• 1928: Sampling Theorem (Harry Nyquist) – "Certain topics in telegraph transmission theory", Trans. AIEE, vol. 47, pp.617–644, Apr. 1928

Continuous- Discrete- time time

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Historical Review

• 1948: Information Theory (Claude Shannon) – “A Mathematical Theory of Communication”, Bell Syst. Tech. Journal, V27, 1948, 379-423, 623-656 – Provide fundamental limits of source compression rate and channel transmission rate

Analog communication

Digital communication

Historical Review

• 1966: Optical Fiber (Charles Kuen Kao) – PhD Thesis: Quasi-Optical Waveguides – 90% of all voice and data traffic in the world is now carried by optical fibers

2009

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Contents

• Course information

• Introduction to communication systems

– What is communication?

– History of communication systems

– Basic architecture

– Fundamental questions

Architecture of a (Digital) Communication System

Transmitter

A/D Source Channel Source Modulator converter encoder encoder

Absent if source is Noise Channel digital

Source Channel User D/A Detector converter decoder decoder

Receiver

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Standardized Interfaces and Layering

•A standardized Input interface allows Input Input ... Input module i Module i‐1 module 1 the user or equipment on one Interface Interface side of the i to i‐1 i‐1 to i‐2 interface to ignore all details about Layer i Layer i‐1 Layer 1 channel the other side of the interface Interface Interface except for certain i‐1 to i i‐2 to i‐1 specified interface output Input Input Input characteristics. ... module i Module i‐1 module 1

• The idea of layering in communication systems is to break up communication functions into a string of separate layers. Each layer consists of an input module at the input end of a communication system and a ‘peer’ output module at the other end.

Source Information

• Message: generated by source • Information: the unpredictable part in a message • Signal: a function that conveys information about the behavior or attributes of some phenomenon

Analog signal vs. digital signal

Transducer: convert sensing signal to electric signal

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Source Coding

• Source coding (data compression): to reduce space for the data stream. – Sampling (discretize) – Quantization (discretize in amplitude) – Source coding (bits or symbols)

• Source coding example – Speech coding • human voice, 20 Hz~20 kHz, quantization  raw data rate >1 Mbps • Standard PCM coding, 3.4kbps

Encryption (Not Shown in the Diagram)

• Encryption: to encrypt information for security purpose.

• Cryptography example: Caesar cipher – ABCDEFGHIJKLMNOPQRSTUVWXYZ –Key = 3 – DEFGHIJKLMNOPQRSTUVWXYZABC

•Example – Plaintext: OLINCOLLEGE – Ciphertext: ROLQFROOHJH – Decryption: Shift backwards by KEY = 3

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Channel Coding

• Channel coding (error control): to encode a signal so that error occurred can be detected and possibly corrected. – Protection is achieved by adding redundancy!

• Source coding example: – Repetition code: (3, 1) repetition code • Message bits: 101001 •Coded bits: 111000111000000111 • Decoder: majority logic Wireless comm. (Repetition, RS, CC, LDPC, Turbo…) 29

Modulation

• Modulation is the process of conveying a message signal, for example a digital bit stream or an analog audio signal, inside another signal that can be physically transmitted. • Example: baseband message signal  passband RF signal

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Channel

• Channel: a transmission medium used to convey information • Common characteristics – Attenuation – Distortion –Noise – Wireless channels • Multipath, fading

Channel Model

• AWGN channel

• Linear channel

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Noise

•Noise – random and unpredictable electrical signals produced by natural processes both internal and external to the system. – Should be modeled probabilistically. The noise is a priori unknown, but can be expected to behave in statistically predictable ways. – Additive, uncorrelated with the input signal – Multiplicative, correlated with the input signal • Distortion – waveform perturbation caused by imperfect response of the system to the transmitted signal itself. • Interference – contamination by extraneous signals from other transmitters,

switching circuits, etc. 33

Analog vs. Digital

•Robustnessto channel noise and external Interference

•Securityof information during its transmission from source to destination

•Integrationof diverse sources information into a common format

• Low cost DSP chips by very cheap VLSI designs

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Duplex Transmission

•Simplex – one-way transmission only, e.g. broadcast systems

• Half-duplex – two-way transmission, but the common channel is alternately used for transmission in opposite direction, e.g. interphone systems installed on taxies

• Full-duplex – simultaneous two-way transmission, e.g. public telephone systems

Multiplexing

• Multiplexing – multiple analog or digital signals are combined into one signal over a shared medium. The aim is to share an expensive resource.

•Type – Frequency-division –Time-division – Code-division – Space-division – Polarization-division (e.g., in optical fiber) – Orbital angular momentum (OAM, 轨道角动量多址，光子纠缠，2013) 36

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Contents

• Course information

• Introduction to communication systems

– What is communication?

– History of communication systems

– Basic architecture

– Fundamental questions

Course Objective

• We focus on the fundamental system aspects of modern digital communication systems – provide analytical tools for determining the performance of particular systems – put fundamental limits on the performance of any system

• After this course, the students are expected to – Understand the principles and technique of modulation, coding and transmission. – Analyze the merits and demerits of current communication systems and eventually design improved new systems

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Performance Metrics of Communication Systems

• Reliability – SNR for analog systems – Bit error rate for digital systems

• Assumption: additive noise Performance –R:information Analog: loss of fidelity transmission rate (bps) Digital: probability of error –B: channel bandwidth (bps) –S/N:signal-to- noise ratio (SNR) Bandwidth: R & B Power: S & N –C:channel capacity, the maximum value of R (bps)

– Hartley-Shannon law: C = B log2 (1+S/N) bps

Performance Metrics of Communication Systems

• Efficiency – Bandwidth efficiency rate BE  bit/s/Hz BW

– Energy efficiency bit energy EE  noise power spectral density E  b No

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The Latest LTE  5G

41 1

21 June 2014 The Evolution of Mobile Technologies: 1G  2G  3G  4G LTE

1 The mobile experience is expanding everywhere Billions of Mobile Connections Billions of Mobile Experiences

“ ”

~25 Billion Interconnected devices forecast in 20202 ~7 Billion Mobile connections, almost as many as people on Earth1 >100 Billion ~270 Billion App downloads App downloads completed in 20133 expected in 20173

2 1 Source: GSMA Intelligence, Apr. ‘14; 2 Source: Machina Research, ‘13; 3 Source: Gartner, Sep. ‘13 Mobile is an amazing technical achievement

Mind-blowing Performance Reliable Connectivity with processing power greater overcoming signal loss resulting in than the most advanced super computers All in a device receiving signal 100 trillion times weaker of the early 1990s1 than when it originated3 that fits in Jaw-dropping Graphics your pocket Broadband Speeds with capability to process several with blazing fast data rates capable thousand megapixels per second2 of 300+ Mbps4

High Quality Multimedia2 Long Battery Life 4K UltraHD video player/recorder with ability to power all these amazing HD gaming console experiences with less energy than it takes 5.1/7.1 surround sound system to power a light bulb for 15 minutes5 High resolution digital camera

1 2 TM 3 Source: Charlie White, Sep. '13 & giffgaff.com, Sep’13; Based on latest Qualcomm® Snapdragon 800 series processors; Based on >140 dB path loss typical in mobile; 3 4 Based on peak data rates for LTE Advanced; 5 Based on >2,000 mAh smartphone battery and >60W light-bulb Connectivity is the foundation of a great mobile experience Connect Reliably Talk and browse without interruption Connect On-the-Go Connect Real-Time with more bars in more places Talk and browse with seamless Get instant access to content with mobility anywhere you get a signal less delay for “always-on” experience

Connect Fast Connect Longer Stream, surf, upload, and download Go longer without plugging in with fast, predictable data rates with improved battery efficiency Delivering rich mobile broadband experiences

4 Powered by evolving mobile technologies for better experiences

Mobile 1G Mobile 2G Mobile 3G Mobile 4G LTE AMPS, NMT, TACS D-AMPS, GSM/GPRS, CDMA2000/EV-DO, LTE, LTE Advanced cdmaOne WCDMA/HSPA+, TD-SCDMA

N/A <0.5 Mbps1 63+ Mbps2 300+ Mbps3 Analog Voice Digital Voice + Simple Data Mobile Broadband Faster and Better

Richer Content More (Video) Connections

1 2 Peak data rate for GSM/GPRS, latest Evolved EDGE has peak DL data rates capable of up to 1.2 Mbps; Peak data rate for HSPA+ DL 3-carrier CA; HSPA+ specification includes additional potential CA + use of multiple antennas, but no announcements to 5 date; 3 Peak data rate for LTE Advanced Cat 6 with 20 + 20 MHz DL CA; LTE specification includes additional potential CA + additional use of multiple antennas, but no announcements to date Evolving mobile technologies deliver great mobile experiences Appreciating the magic of mobile requires understanding the evolution from 1G to 4G LTE

3G optimized mobile for data 1G established seamless mobile enabling mobile broadband connectivity introducing mobile 1 3 services, and is evolving for faster voice services and better connectivity

4G LTE delivers more capacity for 2G digital wireless technologies faster and better mobile increased voice capacity delivering 2 4 broadband experiences, and is also mobile to the masses expanding in to new frontiers

Qualcomm has been at the forefront of this 5 evolution, pushing wireless boundaries to enable the best mobile experiences

6 Mobile 1G established the foundation of mobile

1 2 3 Licensed Spectrum Frequency Reuse Mobile Network Cleared spectrum for exclusive use Reusing frequencies without interference Coordinated network for seamless by mobile technologies through geographical separation access and seamless mobility

PSTN (landline)

Operator-deployed base stations Neighboring cells operate on different Integrated, transparent backhaul provide access for subscribers frequencies to avoid interference network provides seamless access

7 Mobile 1G was amazing, but limited

Requires large gap of spectrum Support for only 1 user per channel between users to avoid interference

Spectrum is a finite resource like land; mobile spectrum is extremely valuable land (e.g., beach-front property) Frequency

Radio channels are like roads Analog voice consumed built on this land to deliver voice channel – 1 call per channel services to users

8 1G analog voice was amazing, but limited Limited Capacity Limited Scalability Analog transmissions are inefficient at Analog devices are large/heavy, power using limited spectrum inefficient, and high cost

A B

Frequency Division Multiple Access (FDMA)* Large frequency gap required between users to avoid interference

A B 30 30 30 30 30 30 30 30 kHz kHz kHz kHz kHz kHz kHz kHz Support for only 1 user (analog phone call) per channel 9 * Example shown based on AMPS 1G technology Mobile 2G digital technologies increased voice capacity Delivering mobile voice services to the masses – more people, in more places

Mobile 2G D-AMPS, GSM/GPRS, cdmaOne Mobile 1G AMPS, NMT, TACS Mobile for the Masses More Voice Capacity Foundation of Mobile Seamless Mobility

1010110100111000

1980s 1990s 10 Early Mobile 2G technologies enabled more users per channel

STILL required large gap of spectrum between users to avoid interference Supported >1 user per channel

Frequency

Rigid delivery schedule whether or Digital voice compressed not the user is actively talking into smaller “packages”

11 Mobile 2G digital wireless technologies enabled more users Initial 2G technologies (D-AMPS, GSM) based on TDMA More Voice Capacity Scalable Technology Digital transmissions enable compressed voice and Digital components cost/weight far less plus deliver multiplexing multiple users per channel more secure signal

Voice Encoder (Vocoder) Compressed Voice Signal Uncompressed Voice Signal 8 kb per second 64 kb per second

>1 user per radio channel (pocket-sized)

A B C

30 kHz Time Time Division Multiple Access (TDMA) Allows multiple users per radio channel with each user talking one at a time

12 Different Mobile 2G TDMA techniques were standardized

Only one user per radio channel

Mobile 1G (Analog) User A AMPS, NMT, TACS Time 30 kHz Mobile 2G (Digital) D-AMPS Three users per radio channel A B C A B C Standardized as IS-54 by TIA in 1992 Time Mainly in North America 30 No longer utilized kHz

Mobile 2G (Digital) GSM Eight users per radio channel A B C D E F G H A B C D E F G H Standardized by ETSI in 1990 (phase 1) Initiated in Europe 200 Time kHz Still widely used today (>4B connections WW1) Simple data services with GPRS

13 1 Source: GSMA Intelligence, May ‘14 TDMA still required large frequency gaps to reduce interference

E A B Also required potentially unreliable “hard” handoffs F C D Switch channels between adjacent cells – potential for dropped calls

Channel 1 Channel 2 Channel 3 Channel 4 Channel 5 Channel 6 Channel 7 Channel 8

Frequency Gap (not used in green cell) 14 CDMA utilizes all the available spectrum to support more users

Ability to support many Utilize all available more users (>10xCDMA 1G) spectrum with same spectrum

Frequency

No rigid delivery schedule – delivery truck can take Each users advantage of when user is not information talking to support more callers coded with unique code

15 Qualcomm solved the seemingly impossible wireless challenge CDMA enables users to share the same frequency and communicate at the same time

At the Transmitter At the Receiver Other signals Spread using Code A Reconstruct using User A Code A look like noise User A Spread using Code B + Reconstruct using User B Code B User B

Spread using Code C + Reconstruct using User C Code C User C

Voice Voice Voice Voice Voice Voice Voice Code Division Multiple Access (CDMA) Voice Voice Voice Multiple users can talk at same time using Voice different languages (“codes”) Voice Voice Voice

1.25 MHz 16 Qualcomm solved complex challenges to commercialize CDMA 1 2 3 Near-Far Power Challenge Cell-Edge Challenge Multipath Fading Challenge Users close to the tower overpower Interference caused by users in close Interference caused by the reception of the uplink signal minimizing capacity proximity, on the same frequency, and the same signal over multiple paths on the shared channel communicating with different towers resulting in poor signal-to-noise ratio

Solution: Solution: Solution: Continuous control of transmit Users simultaneously communicate Advanced (“rake”) receivers combine power based on signal strength with multiple towers at cell edge energy of multiple signal paths

B A Path A

Path B + User A Up to 1,000,000 X Path C User A + Soft (vs. Hard) Handoffs User B User B Signal Strength Noise Without Power Control With Power Control Additional benefit of simultaneous at Receiver Signal Power at Tower Signal Power at Tower connections – more reliable handoffs 17 CDMA delivered unprecedented voice capacity and much more Qualcomm efforts lead to new CDMA standard (IS-95) referred to as cdmaOne CDMA Benefits CDMA Timeline2 Increased voice capacity by several times ~14x February 1990 First CDMA field trial completed by Provided more efficient use of spectrum resources Qualcomm and NYNEX Increased battery life in mobile devices March 1992 Better security with CDMA encoding Standards committee formed in Telecommunications Industry Association May 1995 IS-95 revision A (cdmaOne) released ~3x December 1995 Reference First commercial deployment (1x) December 1999 cdmaOne subscribers pass 50 million Analog GSM cdmaOne worldwide (>80 operators in >30 countries) 1980s 1990s 1990s Potential Voice Capacity Improvements1 CDMA is the foundation for Mobile 3G technologies

18 1 Approximate total number of subscribers serviced within same spectrum based on AMPS (1G), GSM and cdmaOne technology commercial deployed in 1990s; 2 Source: CDG, www.cdg.org CDMA established the foundation for 3G technologies Mobile 3G evolved into two competing standards both based on CDMA

IS-95 (cdmaOne) CDMA2000 EV-DO (Evolution-Data Optimized) Initial CDMA standard Uses 1.25 MHz carrier; Optimized data channel for CDMA2000 from Qualcomm easy migration from cdmaONE providing mobile broadband services May 1995 July 2000 (Revision A) October 2000 (Release 0)

WCDMA (UMTS) HSPA (High Speed Packet Access) Uses 5 MHz carrier; Optimized data channel for WCDMA Evolution leverages GSM core network providing mobile broadband services Influenced June 2001 (Release 99) June 2004 (Release 5)

19 Note: ITU IMT-2000 compliant 3G standards included EDGE, TD-SCDMA, and WiMAX; CDMA2000 and WCDMA were the most commercially successful Mobile 3G evolved mobile for data Introducing high-speed internet access for the first time

Mobile 3G CDMA2000/EV-DO, Mobile 2G WCDMA/HSPA+, TD-SCDMA D-AMPS, GSM/GPRS, cdmaOne Mobile Broadband Mobile 1G Data Optimized AMPS, NMT, TACS Mobile for the Masses More Voice Capacity Foundation of Mobile Seamless Mobility

1010110100111000

1980s 1990s 2000s 20 Mobile voice was amazing, but consumers wanted more A new, insatiable demand for internet access and data services emerges

Broadband Internet The Smartphone Mobile Everywhere

2  39  92 1990 2000 2010 Average mobile subscriptions per 100 people1

Consumers introduced to broadband internet Amazing innovations in device technology Thanks to 2G technologies, more and more access in the home/office resulted in the era of the smartphone people had a mobile subscription

1 Source: Worldbank.org for United States 21 EV-DO optimized 3G for data enabling mobile broadband

Data Enabled Data Optimized Simple Data Services Mobile Broadband Mobile 2G CDMA2000/EV-DO <0.5 Mbps1 14.7 Mbps2

Text Email +

Capable of efficiently EV-DO supporting small CDMA2000 data files Data optimized channel with Voice Services support for larger package sizes

1 Based on peak data rate – GSM/GPRS 2 Based on peak data rate for downlink EV-DO Rev. B 22 Qualcomm pioneered EV-DO introducing mobile broadband Mobile 2G CDMA2000/EV-MobileDO 3G Data Enabled Data Optimized WCDMA/HSPA Data Optimized 1.25 MHz 1.25 MHz 1.255 MHz

Voice Voice Voice Voice Voice Voice Voice Voice VoiceEV-DO blazed Voice Voice Voice Voice Introduction of a Voice Data shared with Voice Data Voice Voice Voicethe trail for Voice Voice Voicedata -only, data- Voice voice-optimized Voice Voice Give all resources to Voice Data VoiceHSPA Voice optimized channel Data radio channel Voice one user at a time Voice Data Data Voice Voice Data(data optimized ) Voice Data Voice After voice users served, Voice remaining resources used CDMA2000 for data basedEV on-DO same Voice principles as EV-DO Voice Voice Text Multimedia Headlines WWW Navigation Email Browser Apps

Simple Data Services Mobile Broadband Services 23 EV-DO inventions are the foundation to mobile broadband

1 2 3 Data Optimized Channel Adaptive Modulation Opportunistic Scheduling Splits channel into time intervals Uses higher order modulation to Optimizes channel by scheduling enabling a single user to get all the get more bps per Hz for users with users at the time instances when resources at once good signal quality users have good radio signal Enables richer content Increases peak data rates conditions (with fairness) Increases overall capacity

Lower Data Rates

Higher Data Rates

Data Power Power

Optimized Resources

Cell Edge Time User A User B

24 CDMA2000/EV-DO blazed the trail for WCDMA/HSPA CDMA2000/EV-DO WCDMA/HSPA

1.25 MHz 1.25 MHz 5 MHz

Voice Voice Voice Voice Voice Voice Voice Data Voice Voice Voice Voice Voice Voice Voice Give all resources to Voice Voice Voice Voice Voice one user at a time Voice Voice Voice (data optimized) Data Voice Voice After voice users served, Voice remaining resources used CDMA2000 EV-DO for data based on same Voice principles as EV-DO Voice Voice

25 Mobile 3G evolved to HSPA+ and EV-DO Rev. B Delivering higher data rates, more capacity, and enhanced mobile broadband experiences Higher Order Modulation (HOM) Carrier Aggregation Introduces 64-QAM enabling 50% more Aggregating spectrum enabling increased bits per second per Hz (bps/Hz) user and peak data rates 111 011 101 110 Carrier #1 010 000 Carrier #2 Aggregated Data Pipe Carrier #3

Enabling packing 50% more data into packages Aggregate channels for higher data rates 26 3G technologies optimized mobile for data Mobile Broadband Timeline1 EV-DO and HSPA Benefits 1999 14.4 Mbps  Qualcomm introduces EV-DO Delivered achievable throughput >2 Mbps Series 1 63+ Mbps January 2002 Reduced operator cost for data services First EV-DO commercial launch Continuous evolution for enhanced services Q4 2004 3GPP release 6 with HSPA is published based HSPA+ on WCDMA technology Q1 2007 3.1 Mbps  EV-DO passes 50 million connections 14.7 Mbps Q108 0.5 Mbps Rev. B HSPA passes 50 million connections HSPA June 2008 <0.5 Mbps Rev. A First HSPA+ (21 Mbps) commercial launch Mobile 2G Mobile 3G Mobile 3G September 2010 GSM / GPRS CDMA2000 / EV-DO WCDMA / HSPA First DC-HSPA+ (42 Mbps) commercial launch Peak Data Rate 3G technologies continue to evolve (Mbps) Surpassed 2B connections in 20132 27 1 Source: CDG (www.cdg.org) and 3GPP (www.3gpp.org); 2 Source: GSMA Intelligence, May ‘14 Mobile 4G LTE is evolving to provide more data capacity Delivering faster and better mobile broadband experiences Mobile 4G LTE Mobile 3G LTE, LTE Advanced CDMA2000/EV-DO, WCDMA/HSPA+, TD-SCDMA Faster and Better Mobile Broadband Mobile 2G More Data Capacity D-AMPS, GSM/GPRS, cdmaOne Mobile Broadband Mobile 1G Data Optimized AMPS, NMT, TACS Mobile for the Masses More Voice Capacity Foundation of Mobile Seamless Mobility

1010110100111000

1980s 1990s 2000s 2010s 28 Mobile 4G LTE complements 3G to boost data capacity Multimode 3G/LTE is the foundation for successful 4G LTE

4G LTE Providing more data capacity for richer content and more connections Multimode LTE FDD/TDD WCDMA/HSPA+ CDMA2000/EV-DO TD-SCDMA 3G GSM/GPRS Enabling a consistent broadband experience outside 4G LTE coverage Delivering ubiquitous voice services and global roaming

29 Mobile 4G LTE delivers more data capacity

Flexible support for wider channels supporting more users

Create spatially separated paths with more antennas

Aggregate channels for higher data rates

30 Mobile 4G LTE delivers more data capacity Download, browse, stream, and game faster than ever with faster and better connectivity

Carrier #3 Carrier #1 Aggregated Carrier #4 Data Pipe Carrier #2 Up to 100 MHz Connect Carrier #5 Wider Channels More Antennas Carrier Aggregation Faster Flexible support for Advanced MIMO techniques to Aggregate up to 100 MHz for channels up to 20 MHz create spatially separated paths; higher data rates – 2 carrier (2C) enabled with OFDMA 2x2 MIMO mainstream commercial; 3C announced1

Connect Real-time Simplified Core Network Low Latencies All IP network with flattened Optimized response times for architecture resulting in less both user and control plane equipment per transmission improves user experience

31 1 As of May 2014 Mobile 4G LTE is the first global standard for mobile broadband

LTE FDD & LTE TDD Global LTE network launches Two modes, common standard, same ecosystem 279 101 Spectrum 1 Uplink (UL) Launches Countries Spectrum 2 Downlink (DL)

Time Frequency Division Duplex (FDD) Paired spectrum enables Large device ecosystem better coverage

1,563 >100 Spectrum UL DL UL DL Devices Vendors Time Time Division Duplex (TDD) Unpaired spectrum enables asymmetrical DL/UL for more DL capacity

32 Source: GSA, Mar. ‘14 Mobile 3G and 4G technologies continue to evolve to deliver faster and better mobile broadband experiences

33 Mobile 3G and 4G LTE continue to evolve Delivering a faster and better mobile broadband experiences 4G LTE has evolved to LTE Advanced Providing more data capacity and expanding into new frontiers

Rel-8/9 Rel-10 Rel-11 Rel-12 & Beyond LTE LTE Advanced

3G networks have continued to evolve and improve—so much so some call it 4G Providing a consistent broadband experience outside LTE coverage

Rel-7/8 Rel-9 Rel-10 Rel-11 Rel-12 & Beyond HSPA HSPA+ HSPA+ HSPA+ Advanced

Rel-12 WCDMA WCDMA+

Rev A Multicarrier Phase I Phase II EV-DO EV-DO Rev. B DO Advanced

Voice Efficiency M2M Efficiency CDMA2000 1X 1X Advanced

Commercial 34 Shared MobileResources 3G/4G technologies are evolving for more data capacity

HSPA+ Evolution Shannon’s Law HSPA+ 퐶 ≈ 푊 ∙ 푛 ∙ log (1 + 푆푁푅) HSPA 2 Capacity Spectrum Antennas Signal Quality

More More Interference Spectrum Antennas Mitigation

~3.5 GHz & ASA

Making the best use of all spectrum Advanced multiple antenna types with more licensed spectrum techniques to create spatially Advanced receivers and antenna as the top priority, e.g., ASA, ~3.5 separated data paths, e.g., 4 way techniques, e.g., LTE FeICIC/IC, GHz, unlicensed spectrum receive diversity, 4x4 MIMO HSPA+ advanced device receiver 35 LTE Advanced is evolving and expanding into new frontiers

~3.5 GHz & ASA

Extending LTE Advanced Dynamic LTE broadcast. Going LTE Direct for continuous Higher spectrum bands to unlicensed spectrum beyond mobile for terrestrial TV device to device proximity new licensing models— awareness Authorized Shared Access

36 Qualcomm is the leader in Mobile 3G/4G technologies First World Mode LTE Each modem generation enhances user experience and provides more capacity Advanced Modem with 60 MHz CA and CAT6 DL: 300 Mbps First LTE Advanced 60 MHz Carrier Aggregation DL: 150 Mbps First LTE 20 MHz Carrier Aggregation First Integrated LTE Multimode First Integrated World DL: 100 Mbps LTE Mode Higher efficiency (LTE) Smartphone 2 x 2 MIMO Support for 3G and 4G technologies

First 3C-HSPA+ DL: 63 Mbps First DC-HSPA+ UL: 11 Mbps DL: 42 Mbps 3 Carrier Aggregation UL: 11 Mbps First HSPA+ 2 Carrier Aggregation DL: 28 Mbps UL: 5.76 Mbps Higher Order Modulation First HSUPA 2 x 2 MIMO DL: 7.2 Mbps UL: 5.76 Mbps Enhanced Uplink Channel

First HSDPA Increasing User Experience User Increasing DL: 1.8 Mbps UL: 384 kbps Higher Order Modulation

Time

37 Qualcomm® GobiTM is a product of Qualcomm Technologies, Inc. Qualcomm is the leader in Mobile 3G/4G technologies Hiding the complexity underneath the most seamless mobile connectivity

The Unique Qualcomm Advantage

LTE LTE GSM/ CDMA TD- EV-DO HSPA+/ 700/ 1500/ 2300/ Wi-Fi Position BT FDD TDD GPRS WCDMA 1X SCDMA 850/900 1700/1900 2600 All major Cellular Standards ~40 RF Bands Wi-Fi, Positioning, +Standards Evolution 17 LTE Voice Modes BT(Bluetooth) Supports all technologies, bands, modes, …

38 Qualcomm® GobiTM is a product of Qualcomm Technologies, Inc. Evolving mobile technologies deliver great mobile experiences

3G optimized mobile for data 1G established seamless mobile enabling mobile broadband connectivity introducing mobile 1 3 services, and is evolving for faster voice services and better connectivity

Qualcomm has been at the forefront of this 5 evolution, pushing wireless boundaries to enable the best mobile experiences

to learn more, go to: www.qualcomm.com/wireless 39 Questions? - Connect with Us

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References in this presentation to “Qualcomm” may mean Qualcomm Incorporated, Qualcomm Technologies, Inc., and/or other subsidiaries or business units within the Qualcomm corporate structure, as applicable. Qualcomm Gobi is a product of Qualcomm Technologies, Inc.

Qualcomm Incorporated includes Qualcomm’s licensing business, QTL, and the vast majority of its patent portfolio. Qualcomm Te chnologies, Inc., a wholly-owned subsidiary of Qualcomm Incorporated, operates, along with its subsidiaries, substantially all of Qualcomm’s engineering, research and development functions, and substantially all of its product and services businesses, including its semiconductor business, QCT. 41 Making 5G NR a reality Leading the technology innovations for a unified, more capable 5G air interface

Qualcomm Technologies, Inc. September, 2016 Transforming our world

through intelligent connected platforms

Last 30 years Next 30 years Interconnecting people Interconnecting their worlds

Utilizing unparalleled systems leadership in connectivity and compute

2 Mobile fueled the last 30 years—interconnecting people

1980s 1990s 2000s 2010s Analog voice Digital voice Mobile broadband Mobile Internet AMPS, NMT, TACS D-AMPS, GSM, IS-95 (CDMA) WCDMA/HSPA+, CDMA2000/EV-DO LTE, LTE Advanced

3 A unifying connectivity fabric Always-available, secure cloud access

Enhanced mobile Mission-critical Massive Internet broadband services of Things

Unifying connectivity platform for future innovation Convergence of spectrum types/bands, diverse services, and deployments, with new technologies to enable a robust, future-proof 5G platform

4 5G will redefine a wide range of industries A platform for new connected services – existing, emerging and unforeseen

Immersive entertainment and experiences Safer, more autonomous transportation Reliable access to remote healthcare

Improved public safety and security Smarter agriculture More efficient use of energy/utilities

More autonomous manufacturing Sustainable cities and infrastructure Digitized logistics and retail 5 Diverse Diverse deployments spectrum Designing 5G New Radio (NR) NR An OFDM-based unified, more capable air interface Diverse services and devices

6 Scalability to address diverse service and devices Deep coverage To reach challenging locations Strong security Ultra-low energy e.g. Health/government / financial trusted 10+ years of battery life Ultra-high reliability Massive <1 out of 100 million packets lost Internet of Ultra-low complexity 10s of bits per second Things Mission- critical control Ultra-low latency Ultra-high density As low as 1 millisecond 1 million nodes per Km2

Extreme capacity Enhanced 10 Tbps per Km2 mobile broadband Extreme user mobility Or no mobility at all Extreme data rates Deep awareness Multi-Gbps peak rates; Discovery and optimization 100+ Mbps user experienced rates

Based on target requirements for the envisioned 5G use cases 7 Getting the most out of every bit of diverse spectrum

Low bands below 1 GHz: longer range for e.g. mobile broadband and massive IoT e.g. 600 MHz, 700 MHz, 850/900 MHz

Mid bands 1 GHz to 6 GHz: wider bandwidths for e.g. eMBB and mission-critical e.g. 3.4-3.8 GHz, 3.8-4.2 GHz, 4.4-4.9 GHz

High bands above 24 GHz (mmWave): extreme bandwidths e.g. 24.25-27.5 GHz, 27.5-29.5, 37-40, 64-71 GHz

Licensed Spectrum Shared Spectrum Unlicensed Spectrum Exclusive use New shared spectrum paradigms Shared use

8 Adaptable to diverse deployments and topologies

Macro 5G will be deployed and managed by a Device-to-device variety of entities

Mobile operator Multi-hop networks provide topologies ubiquitous Small cell coverage—the backbone of 5G

Integrated access and backhaul

9 Pioneering new technologies to meet 5G NR requirements

Hyper dense deployments Mobilizing mmWave Ultra-reliable Massive links MIMO Advanced Beam channel coding, Integrated access forming e.g. LDPC and backhaul Multi-connectivity Redundant Wide links Dynamic, bandwidths Narrowband low-latency Internet of Things TDD/FDD Coordinated Multicast spatial techniques V2N

Multi-hop Device-centric New shared spectrum Advanced Grant-free uplink mobility paradigms receivers transmissions, e.g. RSMA V2V New levels of capability and efficiency 10x 10x 10x 3x 100x 100x experienced decrease in end- connection spectrum traffic network throughput to-end latency density efficiency capacity efficiency

Based on ITU vision for IMT-2020 compared to IMT-advanced 10 Simplifying 5G deployments with multi-connectivity Fully leveraging 4G LTE and Wi-Fi investments for a seamless user experience

5G / 4G / 3G / Wi-Fi Small cell multimode device Macro 5G Carrier aggregation 5G above 6GHz 5G below 6GHz 5G below 6GHz

4G LTE, LTE Unlicensed and Wi-Fi 4G LTE

5G above 6GHz 4G below 6GHz Wi-Fi 4G/5G below 6GHz 4G/5G Macro 4G Macro

5G NR radio access designed to utilize LTE anchor for mobility management (non-standalone) or operate stand-alone with new multi-access 5G NextGen Core Network (NGCN) 11 The path to 5G includes a strong LTE foundation

Significantly improve performance, cost and energy efficiency Shared spectrum Advanced Massive MIMO MIMO Rel-15 and beyond Gigabit-class LTE 5G NR 5G NR 256QAM Low Latency NB-IoT Carrier aggregation Enhanced broadcast Device-to-device Further backwards- C-V2X compatible enhancement

Rel-10/11/12 Rel-13 and beyond LTE Advanced LTE Advanced Pro

2010 2015 2020

Note: Estimated commercial dates. Not all features commercialized at the same time 12 TM Anyone can talk about 5G. We are creating it.

13 We are driving technology innovations to mobilize mmWave Working with operators on trials & early deployments starting late 2017/early 20181

802.11ad 60 GHz chipset 5G mmWave prototype 28 GHz mmWave commercial for mobile devices system and trial platform RFIC development 1.79 cm

0.71 cm

Qualcomm® VIVE™ 802.11ad End-to-end system operating at With integrated PA, LNA, 60 GHz technology with 28 GHz demonstrating NLOS phase shifter, power splitters a 32-antenna array operation and robust mobility for beamforming

Qualcomm VIVE is a product of Qualcomm Atheros, Inc. 1 For limited regional fixed wireless deployments (e.g. Korea and US) operating at 28 and 39 GHz; also will be utilized for mobile wireless access trials to drive 5G NR standardization 14 Bringing new level of performance for sub-6 GHz 5G NR sub-6 GHz prototype system and trial platform

Operating in sub-6 GHz spectrum bands Allows for flexible deployments with ubiquitous network coverage and a wide range of use cases

Achieving multi-Gbps at low latency Showcases innovative Qualcomm 5G designs to efficiently achieve multi-gigabit per second data rates and low latency

Driving standardization on 5G NR OFDM-based designs implemented on the prototype system are being utilized to drive 3GPP standardization

Will enable impactful 5G NR trials Designed to flexibly track 3GPP standardization and be utilized as a trial platform for impactful and timely 5G NR trials

Watch the demo video at: https://www.qualcomm.com/videos/5g-nr-sub-6ghz-prototype-system 15 We are accelerating the path to 5G NR

Best-in-class 5G 5G standards, Impactful trials and Modem and RFFE prototype systems technology and early deployments with leadership to solve and testbeds research leadership network operators 5G complexity

Test, demonstrate and verify Such as advanced channel Over-the-air interoperability Roadmap to 5G significantly our innovative 5G designs to coding, self-contained testing leveraging prototype more complex and faster contribute to and drive subframe, mobilizing systems and our leading moving—builds upon our rich standardization mmWave, … global network experience history of industry firsts

16 Qualcomm Snapdragon is a product of Qualcomm Technologies, Inc. 5G NR standardization progressing for 2019 launches

5G study items

3GPP 5G NR R14 Study Item R15 5G Work Items R16 5G Work Items R17 + 5G evolution

1 Accelerating 5G NR with 2 trials & early deployments 5G NR R15 launches 5G NR R16 launches

Gigabit LTE & LTE IoT deployments

Continue to evolve LTE in parallel to become a critical part of the 5G Platform

2016 2017 2018 2019 2020 2021 2022

Note: Estimated commercial dates. 1 The latest plenary meeting of the 3GPP Technical Specifications Groups (TSG#72) has agreed on a detailed workplan for Release-15; 2 Forward compatibility with R16 and beyond 17 5G NR R151 will establish the 5G foundation For enhanced mobile broadband and beyond

Optimized OFDM-based A common, flexible Advanced wireless waveforms framework technologies

With scalable numerology and To efficiently multiplex services and Such as massive MIMO, robust TTI, plus optimized multiple features with a dynamic, low-latency mmWave, advanced channel access for different use cases TDD/FDD design coding, and device-centric mobility

Unified design across spectrum types and bands For licensed and shared/unlicensed spectrum bands both below 6 GHz and above 6 GHz2

1 2 3GPP R16+ will bring continued eMBB evolution, plus new features for massive IoT and mission-critical; 3GPP R15 focused on spectrum bands up to ~40 GHz; R16+ will bring support for bands up to ~100 GHz 18 Designing 5G NR

Leading the technology innovations for a unified, more capable 5G air interface OFDM family is the right choice for

5G mobile broadband and beyond Frequency Adapted for scaling to an extreme variations of 5G requirements

Time

MIMO

Spectral Low Frequency Lower power Asynchronous efficiency complexity localization consumption multiplexing Efficient framework Low complexity receivers Windowing can effectively Single-carrier OFDM well Co-exist with optimized for MIMO spatial even when scaling to minimizes in-band and suited for efficient uplink waveforms and multiple multiplexing wide bandwidths out-of-band emissions transmissions access for wide area IoT

1 Weighted Overlap Add; 2 Such as Resource Spread Multiple Access (RSMA) – more details later in presentation 20 Efficient service multiplexing with windowed OFDM

OFDM with WOLA1 windowing Key for 5G service multiplexing Substantially increases frequency localization Mitigate interference between flexible sub-carriers

PSD of CP-OFDM with WOLA at the transmitter Wideband Narrowband Large CP (e.g. eMBB) (e.g. IoT) (e.g. broadcast)

-10

-20

-30 Frequency -40

-50 dB OFDM with WOLA windowing -60

-70 Effectively reduces in-band and out-of-band emissions Windowed OFDM proven in LTE system today -80 CP-OFDM: No Clipping Alternative OFDM-approaches, such as FBMC and -90 +WOLA: Ideal PA UFMC, add complexity with marginal benefits

-40 -30 -20 -10 0 10 20 30 40 Normalized frequency [1/T] 1 Weighted Overlap Add Source: Qualcomm Research, assuming 12 contiguous data tones, 60 symbols per run, 1000 runs. CP length is set to be roughly 10% of the OFDM symbol length. For Tx-WOLA, raised-cosine edge with rolloff α≈0.078 is used. 21 Optimizing for diverse services and deployments 5G NR Downlink 5G NR Uplink Unified downlink design Optimized for different deployments

Macro cell Small cell SC-OFDM1 + SC-FDMA CP-OFDM1 + OFDMA To maximize device energy efficiency To maximize spectral efficiency

Optimized for different services Mobile Massive Mission- Broadband IoT critical Massive IoT Frequency Low energy single-carrier2

1 CP-OFDM + OFDMA Time + Resource Spread Also recommended for D2D and 3 inter-cell communications to Mission-critical Multiple Access (RSMA) maximize Tx/Rx design reuse 1 Grant-free transmissions efficient for sporadic CP-OFDM / SC-OFDM transfer of small data bursts with asynchronous, non-orthogonal, contention-based access

Download Qualcomm Research whitepaper for detailed analysis: https://www.qualcomm.com/documents/5g-research-waveform-and-multiple-access-techniques 1 With time domain windowing as common in LTE systems today; 2 Such as SC-FDE and GMSK; 3 Mission-critical service may also use OFDMA/SC-FDMA for applications that may be scheduled 22 A flexible framework with forward compatibility Efficiently multiplex envisioned and future 5G services on the same frequency

Forward compatibility Integrated framework Mission-critical transmissions With support for That can support diverse deployment May occur at any time; design such that ‘blank’ resources1 scenarios and network topologies other traffic can sustain puncturing2

Blank subcarriers

D2D

Scalable TTI MBB Multicast DL DL UL UL UL

Scalable transmission time interval (TTI) Self-contained integrated subframe Dynamic uplink/downlink For diverse latency requirements—capable of UL/DL scheduling info, data and Faster switching for more flexible latencies an order of magnitude lower than LTE acknowledgement in the same sub-frame capacity based on traffic conditions 1 Blank resources may still be utilized, but are designed in a way to not limit future feature introductions; 2 Nominal 5G access to be designed such that it is capable to sustain puncturing from mission-critical transmission or bursty interference 23 Scalable numerology with scaling of subcarrier spacing Efficiently address diverse spectrum, deployments and services

Outdoor and Subcarrier spacing macro coverage e.g. 15 kHz FDD/TDD <3 GHz e.g. 1, 5, 10 and 20 MHz

Outdoor and Subcarrier spacing small cell e.g. 30 kHz TDD > 3 GHz e.g. 80/100 MHz

Indoor Subcarrier spacing wideband e.g. 60 kHz TDD e.g. 5 GHz (Unlicensed) e.g. 160MHz

Subcarrier spacing, e.g. 120 kHz mmWave TDD e.g. 28 GHz e.g. 500MHz

Example usage models and channel bandwidths 24 Scalable Transmission Time Interval (TTI)

Scalable TTI for diverse latency and Efficient multiplexing of long & short TTIs to allow QoS requirements transmissions to start on symbol boundaries2,3

Scalable number of TTIs per subframe1 1 ms subframe with 14 symbols of SCS4 = 15 kHz

0 1 2 … 11 12 13 Shorter TTI for low latency and high reliability 0 1 2 … 11 12 13 500 us TTI with 14 symbols of SCS = 30 kHz

Longer TTI for higher Short TTI with 2 symbols of SCS = 15 kHz spectral efficiency 0 1

0 1 2 3 4 5 6 7 Short TTI with 8 symbols of SCS = 60 kHz

1 Further bundling of TTIs possible; 2 Symbols across numerologies align at symbol boundaries; 3 TTI spans integer number of symbols; 4 Subcarrier spacing 25 Self-contained integrated subframe design UL/DL scheduling info, data and acknowledgement in the same sub-frame

Unlicensed spectrum Adaptive UL/DL Listen-before-talk headers e.g. Flexible configuration for Clear Channel Assessment (CCA) capacity allocation; also and hidden node discovery dynamic on a per-cell basis

Add’l Ctrl Data ACK Guard headers (Tx) (Tx) Period (Rx)

Example: TDD downlink D2D, mesh and relay Massive MIMO Headers for e.g. direction Leveraging channel of the link for dynamic reciprocity in UL transmission distributed scheduling for DL beamforming training

Faster, more flexible TDD switching and turn around, plus support for new deployment scenarios and forward compatibility 26 New self-contained TDD design enables new use cases Eliminates control channel interference to allow for robust, dynamic DL/UL switching

TDD DL UL 1

DL DATA CTRL

DL CTRL DL UL

No DL UL Common interference between UL burst control channels

• Allows for robust, dynamic DL/UL switching driven 1 TDD UL DATA (User 1) by different loading and traffic types

UL UL DATA (User 2) • Enables integrated access and backhaul co-channel

DL CTRL DL UL CTRL UL UL DATA (User 3) deployments for mmWave

1 Can also be control information 27 5G NR design innovations across diverse services

Massive IoT Mission-Critical Control

• Low complexity narrowband • Low-latency with bounded delay • Low power modes for deep sleep • Efficient multiplexing with nominal traffic • Efficient signaling • Grant-free uplink transmissions • Grant-free uplink transmissions • Simultaneous redundant links • Optimized link budget • Reliable device-to-device links • Managed multi-hop mesh • Optimized PHY/pilot/HARQ

Enhanced Mobile • Wider bandwidths • Dynamic, low-latency TDD/FDD Broadband • Mobilizing mmWave • Massive MIMO • Shared spectrum • Advanced channel coding

• Device-centric mobility • Native HetNet and multicast support

28 Enhancing mobile broadband

Extreme throughput Ultra-low latency Uniform experience

29 Breaking the Gigabit barrier in LTE today The first real glimpse of our 5G future 1 Gbps Qualcomm® > Snapdragon™ X16 LTE 500x ~10x Modem

Peak download Peak download 600 Mbps Snapdragon X12 LTE Modem speeds of early 3G speeds of first-gen devices LTE devices 450 Mbps Snapdragon X10 LTE Modem

300 Mbps Snapdragon X7 LTE Modem

150 Mbps 100 Mbps 100 Mbps Snapdragon X5 LTE Modem 21.1 Mbps Peak download speed supported in modem (Mbps) modem in supportedspeed downloadPeak 7.2 Mbps 7.2 Mbps10.2 Mbps 1.8 Mbps

2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 Approximate Date of Commercialization by Qualcomm Technologies

Qualcomm Snapdragon is a product of Qualcomm Technologies, Inc. Subject to network availability 30 Continuing to evolve LTE for enhanced mobile broadband Pioneering 5G technologies and ensuring a consistent user experience as 5G rolls out

Carrier Aggregation evolution—wider bandwidths Aggregating more carriers, diverse spectrum types and across different cells

LTE in unlicensed spectrum Make the best use of the vast amounts of unlicensed spectrum available

Gbps+ peak rates TDD/FDD evolution—faster, more flexible More uniform experience Enable significantly lower latency, adaptive UL/DL configuration, and more Better coverage Significantly lower latencies Many more antennas—path to massive MIMO Exploit 3D beamforming (FD-MIMO) to increase capacity and coverage

31 Designing 5G NR for significantly lower latency 10x lower latency than today’s LTE networks

FDD TDD Fewer (variable) interlaces for HARQ1 Self-contained design reduces RTT TTI Scalable TTI Data 0 1 0 1

Ctrl Data Ex: TDD

(Rx)

ACK Guard Guard (Tx) (Tx) Period downlink

ACK ACK0 ACK1 ACK0

Data and acknowledgement HARQ RTT in the same subframe

Improved performance by Better user experience for Address new latency-critical addressing TCP/UDP real-time applications such as apps such as command-and- throughput limitations Video-over-IP applications control of drones

1 Compared to LTE’s 8 HARQ interlaces 32 Delivering advanced 5G NR channel coding ME-LDPC1 codes more efficient than today’s LTE Turbo codes at higher data rates

Example ME-LDPC Basegraph

High Efficiency Low Complexity Low Latency Significant gains over LTE Turbo Easily parallelizable decoder Efficient encoding/decoding – particularly for large block sizes scales to achieve high enables shorter TTI suitable for MBB throughput at low complexity

Also exploring alternative channel coding for mission-critical and massive IoT traffic2

1 Multi-Edge Low-Density Parity-Check; 2 such as Polar or TBCC 33 Many more antennas to increase coverage and capacity Evolving towards Massive MIMO

Elevation beamforming

Exploit 3D beamforming Azimuth beamforming utilizing a 2D antenna array

LTE Today LTE Rel. 13 (FD-MIMO) 5G NR Rel. 15 (Massive MIMO) Fixed codebook for up to 2D codebook support for 8-, 12- and Support even larger # of antenna elements 8-antenna elements with 16-antenna elements with Reference (up to 256) with new features, e.g. hybrid azimuth beamforming only Signal enhancements for beamforming beamforming, distributed MIMO

34 Massive MIMO is a key enabler for higher spectrum bands Allows reuse of existing sites and same transmit power at e.g. 4 GHz

Macro site 1 0.9 10 users per cell 2x4 MIMO, 20 MHz @ 2 GHz 0.8 2x4 MIMO, 80 MHz @ 4 GHz 0.7 24x4 MIMO, 80 MHz @ 4 GHz

0.6 Significant capacity gain: 0.5 3.4x 4.1x Average cell throughput = CDF 0.4 808 Mbps in 80 MHz

• 1.7 km inter-site distance 0.3 • 46 dBm transmit power 0.2 2.7x 3.9x Significant gain in cell 0.1 edge user throughput

10-1 100 101 102 103

Source: Qualcomm Technologies, Inc. simulations; Macro-cell with 1.7km inter-site distance, 10 users per cell, 46 dBm Tx power at base station, 20MHz@2GHz and 80MHz@4GHz BW TDD, 2.4x Massive MIMO 35 Shared/unlicensed spectrum is important for 5G

Unlocking High spectrum A lot of spectrum may more spectrum utilization be shared/unlicensed

Shared spectrum can unlock Spectrum sharing has FCC recent decision on high-band spectrum that is lightly used the potential to increase spectrum included a significant by incumbents spectrum utilization portion of shared/unlicensed1

Licensed Spectrum Shared/ Unlicensed Time

1) FCC ruling FCC 16-89 on 7/14/2016 allocated 3.25 MHz of licensed spectrum and 7.6 MHz of shared/unlicensed spectrum. 36 We are pioneering 5G shared spectrum today Building on LTE-U/LAA, LWA, CBRS/LSA and MulteFire1

5G New Radio (NR) Sub 6Ghz + mmWave

Spectrum aggregation LTE-U / LAA NR based LAA

Technology aggregation LWA (LTE + Wi-Fi) Multi-connectivity: NR,LTE,Wi-Fi Shared spectrum technologies Tiered sharing (incumbents) CBRS, LSA NR based tiered sharing

Standalone unlicensed MulteFire NR based MulteFire

LTE Advanced Pro Spectrum below 6 GHz

1) Licensed-Assisted Access (LAA), LTE Wi-Fi Link Aggregation (LWA), Citizen Broadband Radio Service (CBRS), Licensed Shared Access (LSA) 37 Pioneered shared/unlicensed spectrum in 4G LTE

Incumbents PAL GAA

LSA1 LTE-U LAA2 CBRS3

Technically We designed the Performed world’s A founder of the A founder of the extensive pilot in original proposal, first over-the-air LAA MulteFire Alliance CBRS Alliance and a France with Ericsson commercialized by trial with Deutsche and a key contributor key contributor to and Red in Jan 2016 the LTE-U forum Telekom Nov 2015 to its specification coexistence

1) Licensed Shared Access (LSA); 2) Licensed-Assisted Access (LAA); 3) Citizen Broadband Radio Service (CBRS), Priority Access Licenses (PAL), General Authorized Access (GAA) 38 Realizing the mmWave opportunity for mobile broadband

Extreme bandwidth opportunity Mobilizing mmWave challenge • Extreme bandwidths capable of Multi-Gbps data rates • Robustness due to high path loss and susceptibility to blockage • Flexible deployments (integrated access/backhaul) • Device cost/power and RF challenges at mmWave frequencies • High capacity with dense spatial reuse

mmWave

sub6Ghz Smart beamforming Tight interworking Optimized mmWave NR and beam tracking with sub 6 GHz design for mobile Increase coverage Increase robustness, To meet cost, power and and minimize interference faster system acquisition thermal constraints

Learn more at: www.qualcomm.com/documents/promise-5g-mmwave-how-do-we-make-it-mobile 39 Mobilizing mmWave—live demonstration of our prototype

Millimeter Wave UE Millimeter wave base station Beamforming and scanning

Non-line-of-sight through reflection Handover Outdoor

Learn more at: www.qualcomm.com/videos/mobilizing-mmwave-5g 40 Device-centric mobility management in 5G NR Control plane improvements to improve energy and overhead efficiency

UE sends periodic Lightweight mobility reference Serving Edgeless signals cluster for device energy savings Network triggers cell 1 mobility zone reselection/handover • Apply COMP-like • Intra-zone mobility based on measurement (area of tightly of UE signals concepts to the transparent to the coordinated cells) control plane device

Less broadcast for Periodic Transmit No SIB network energy savings sync SIB transmission • Low periodic beacon • On-demand system info for initial discovery (SIB) when devices of device(s) present2 SIB request No SIB request 1 Coordinated MultiPoint is an LTE Advanced feature to send and receive data to and from a UE from several access nodes to ensure the optimum performance is achieved even at cell edges; 2 Minimum system information is broadcast periodically, other system information available on demand; may dynamically revert to broadcast system info when needed, e.g. system info changes 41 Connecting massive Internet of Things

Power efficient Low complexity Long range

42 Cellular technologies enable a wide range of IoT services

Smart cities Connected building Lighting, traffic sensors, Security, video surveillance, smart parking,… smoke detectors,…

Mobile health Connected industrial Wearables, gateways, Process/equipment monitoring, remote patient,… >5B HVAC, … Smart utilities IoT connections Connected retail Smart grid, gas/water/ by 20251 Vending machines, ATM, electric meters digital ads,…

Environmental monitoring Asset tracking Agriculture, forecast fire/ Fleet management, pet/kid air pollution sensors,… trackers, shipping,…

Ubiquitous Always-on Reliable Global coverage connectivity and secure ecosystem

1 Including Cellular & LPWA M2M connections, Machina Research, June, 2016 43 We are evolving LTE for the Internet of Things Paving the path to Narrowband 5G for massive IoT

Scaling up in performance and mobility Scaling down in complexity and power

Today New narrowband IoT technologies (3GPP Release 13+)

LTE Cat-4 and above LTE Cat-1 LTE Cat-M1 (eMTC) Cat-NB1 (NB-IoT) >10 Mbps Up to 10 Mbps Variable rate up to 1 Mbps 10s of kbps n x 20 MHz 20 MHz 1.4 MHz narrowband 200 kHz narrowband

Mobile Video security Wearables Object tracking Utility metering Environment monitoring

Connected car Energy management Connected healthcare City infrastructure Smart buildings

44 5G NR will bring new capabilities for the massive IoT NB-IoT continuing to evolve beyond Release 13—foundation of Narrowband 5G

Scales down LTE to address the broadest range of IoT use cases

Optimizes to lowest cost/power for delay-tolerant, low-throughput IoT use cases; evolving with new features such as VoLTE and positioning support

3GPP 5G NR further enhances massive IoT with new capabilities such as RSMA1 & multi-hop mesh

1 Resource Spread Multiple Access 45 Non-orthogonal RSMA for efficient IoT communications Characterized by small data bursts in uplink where signaling overhead is a key issue

Grant-free transmission of small data exchanges • Eliminates signaling overhead for assigning dedicated resources • Allows devices to transmit data asynchronously Downlink remains OFDM-based for • Capable of supporting full coexistence with other mobility services

Increased Scalability to Better link battery life massive # of things budget

46 Support for multi-hop mesh with WAN management

Direct access on licensed spectrum

Mesh on unlicensed or partitioned with uplink licensed spectrum1

Problem: Uplink coverage Solution: Managed uplink mesh Due to low power devices and challenging Uplink data relayed via nearby devices—uplink placements, in e.g. basement mesh but direct downlink.

1 Greater range and efficiency when using licensed spectrum, e.g. protected reference signals . Network time synchronization improves peer-to-peer efficiency 47 Enabling mission-critical services

High reliability Ultra-low latency High availability

48 We are pioneering mission-critical services with LTE today

Cellular Vehicle-to-Everything (C-V2X) Cellular drone communications Actively driving C-V2X 3GPP Release 14 Work Testing drone operation on commercial 4G LTE networks Item and beyond, building upon our leadership in at FAA-authorized UAS Flight Center, representing “real LTE Direct and LTE Broadcast world” conditions

49 Pioneering C-V2X with rich roadmap to 5G C-V2X increases reaction time over 802.11p/DSRC for improved safety use cases

Braking distance

Reaction time ~9.2sec ~2.5sec

140km/h C-V2X range >450m

140km/h 0km/h LTE ~8dB higher link budget due to single carrier waveform, coding gain, longer 802.11p range ~225m transmission time and higher Tx power

Reaction time ~3.3sec

Safer driving Support for Increased situational experience high speeds awareness Increased driver reaction time Relative speeds up to 500km/h Gather data from further ahead

Based on link level curves and the 3GPP LOS path loss model @ 10% Packet Error – Actual performance varies significantly with vehicle density and environment 50 Testing drone operation over commercial LTE networks

To optimize LTE networks and advance 5G for mission critical services Controlled Airspace Class B • FAA-authorized test environment • Repressing real world” conditions with mix of commercial, residential and rural Early findings • Drones at altitude are served by multiple base stations • Drones demonstrated seamless handovers with zero link failures Opportunities for optimization • Interference management • Handover optimization • LTE Drone Specific Requirements 51 5G NR will enable new mission-critical control services A platform for tomorrow’s more autonomous world

1ms e2e latency Faster, more flexible frame structure; also new non-orthogonal uplink access

Ultra-high reliability Autonomous Robotics Energy/ Ultra-reliable transmissions that can be time vehicles Smart grid multiplexed with nominal traffic through puncturing

Ultra-high availability Simultaneous links to both 5G and LTE for failure tolerance and extreme mobility

Strong e2e security Aviation Industrial Medical Security enhancements to air interface, core automation network, & service layer across verticals1

1 Also exploring alternative roots of trust beyond the SIM card 52 Efficient mission-critical multiplexing with other services A more flexible design as compared to dedicated mission-critical resources (e.g. FDM)

One TTI

1st 2st transmission transmission Nominal traffic Design such that other traffic (with new FEC and can sustain puncturing from

HARQ design) mission-critical transmission Frequency Time Mission-critical transmission may occur at any time and cannot Opportunity for uplink RSMA non-orthogonal wait for scheduling access using OFDM waveforms 53 New 5G design allows for optimal trade-offs E.g. leveraging wider bandwidths to offset mission-critical capacity reductions

But wider bandwidth Latency vs. capacity… Reliability vs. capacity… can offset reductions

Mission-critical Mission-critical Mission-critical capacity capacity capacity

Example:2X bandwidth for 3x capacity gain2 e.g. 1e-2 BLER

e.g. 1e-4 BLER1

Latency Latency Latency

1 Low BLER Block Error Rate, required to achieve high-reliability with a hard delay bound 2 All data based on Qualcomm simulations with approximate graphs and linear scales. 3x gain when increasing from 54 10Mhz to 20Mhz for 1e-4 BLER. 3G 4G As we did in 3G and 4G, Qualcomm is leading the world to 5G

Making 5G NR a reality We are designing a unified, more capable 5G air interface

Diverse Diverse services spectrum and devices Licensed, shared licensed, From wideband multi-Gbps and unlicensed spectrum to narrowband 10s of bits per second Spectrum bands below Efficient multiplexing of higher- 1 GHz,1 GHz to 6 GHz, and reliability and nominal traffic above 6 GHz (incl. mmWave)

FDD, TDD, From high user mobility half duplex to no mobility at all

Device-to-device, mesh, From wide area macro to relay network topologies indoor / outdoor hotspots

Diverse deployments

56 Also designing a flexible 5G network architecture Leveraging virtualized network functions to create optimized network slices

• Configurable end-to-end connectivity per vertical Mobile broadband • Modular, specialized network functions Internet of Things per services

Mission-critical • Flexible subscription models control • Dynamic control and user planes with more functionality at the edge

Better cost/energy Optimized Flexible biz models Dynamic creation efficiency performance and deployments of services

57 Pioneering new 5G technologies today With our leadership and expertise in LTE and Wi-Fi

Breaking the gigabit barrier

Solving the 1000x data challenge Enabling new spectrum paradigms 5G Mobilizing mmWave spectrum bands NR

Bringing new ways to connect

Optimizing for the Internet of Things

58 Pioneering new 5G technologies today With our leadership and expertise in LTE and Wi-Fi

Breaking the Qualcomm® Snapdragon™ X16 LTE modem industry’s first gigabit barrier Gigabit Class LTE modem (4x CA, LAA, 4x4 MIMO, 256-QAM)

Solving the 1000x Technologies for hyper-densification, e.g. Qualcomm UltraSON™ data challenge self-organization and converged LTE / Wi-Fi solutions

Enabling new New technologies such as LSA for sharing with incumbents, spectrum paradigms LTE-U, LWA, LAA, MulteFire™ for over-the-air sharing 5G Mobilizing mmWave Qualcomm® VIVE 802.11ad 60 GHz chipset commercial for spectrum bands mobile devices with a 32-antenna array element NR

Bringing new LTE Direct and LTE Broadcast (including digital TV), and new ways to connect standard for Cellular V2X (C-V2X) communications

Optimizing for the New LTE IoT technologies (eMTC, NB-IoT), and optimizing Internet of Things technologies for cellular drone communications

59 Our modem and RF leadership is critical to 5G Roadmap to 5G is significantly more complex and faster moving

Wi-Fi, 3G, 2G 4G LTE OFDM-based technologies waveforms, transmission modes, and UE categories

New LTE services, e.g. 50+ spectrum bands LTE Broadcast, VoLTE 450 MHz–5.8 GHz (licensed and unlicensed)

~200 Carrier Aggregation combinations 2,000+ modem features to-date and counting LTE multi-mode today Source: Qualcomm Technologies Inc. 60 Our modem and RF leadership is critical to 5G Roadmap to 5G is significantly more complex and faster moving

Device-to-device, Wideband to More diverse mesh, relay narrowband A much deployment wider variation scenarios Mission-critical of use cases Wide area to and nominal traffic hotspots High to no mobility

From below OFDM adapted 1 GHz to mmWave to extremes Many more Licensed, shared Massive MIMO Advanced wireless spectrum and unlicensed technologies bands/types FDD, TDD, Robust mmWave half duplex

Roadmap to 5G 61 Qualcomm Research 5G NR prototype systems Testbed for 5G designs to drive standardization and timely commercialization

Sub-6 GHz for flexible deployments Robust mmWave for extreme across a wide range of use cases mobile broadband

End-to-end system operating sub-6 GHz and showcasing End-to-end system operating at 28 GHz, demonstrating beam innovations to efficiently achieve large bandwidths forming and scanning to address non-line-of-sight scenarios, capable of multi-Gbps rates at low latency improve indoor/outdoor range, and provide robust mobility

Qualcomm Research is a division of Qualcomm Technologies, Inc. 62 Anyone can talk about 5G. We are creating it. Investing in 5G for many years—building upon our leadership foundation

Wireless/OFDM End-to-end system Leading global technology and chipset approach with advanced network experience leadership prototypes and scale

Pioneering new 5G technologies to Driving 5G from standardization to Providing the experience and meet extreme requirements commercialization scale that 5G demands

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