November, 2015

Qualcomm Technologies Inc.

The 5G Unified Air Interface

Scalable to an extreme variation of requirements

TM
 5G to meet significantly expanding connectivity needs
Building on the transformation started in 4G LTE

new services
new industries and devices

Empowering
new user experiences

Scalable Edgeless Unified

To an extreme variation of For uniform experiences with Across all spectrum types/bands,
requirements new ways of connecting services and deployments
2
 5G will enhance existing and expand to new use cases
Smart homes/
buildings/cities

New form factors, Autonomous vehicles,

e.g. wearables and sensors object tracking

Extreme mobile broadband, Critical infrastructure protection

e.g. UHD virtual reality & control, e.g. Smart Grid

Demanding indoor/outdoor Remote control & process

conditions, e.g. venues automation, e.g. aviation, robotics

Enhanced Mobile Broadband Massive Internet of Things Mission-Critical Control

Faster, more uniform user experiences Efficient, low cost communications with deep coverage Ultra-low latency and high reliability

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 Scalable across an extreme variation of requirements
Deep coverage
To reach challenging locations
Ultra-low energy Strong security
10+ years of battery life e.g. Health / government / financial trusted

Ultra-high reliability
<1 out of 100 million packets lost
Ultra-low complexity Massive Internet
10s of bits per second of Things
Mission-critical
control Ultra-low latency
Ultra-high density As low as 1 millisecond
1 million nodes per Km2
Enhanced
Extreme capacity
10 Tbps per Km2
mobile broadband
Extreme user mobility
Or no mobility at all

Extreme data rates Deep awareness

Multi-Gigabits per second Discovery and optimization
Based on target requirements for the envisioned 5G use cases 4
 A new 5G unified air interface is the foundation
Diverse spectrum Diverse services and devices
Licensed, shared licensed, From wideband multi-Gbps to
and unlicensed spectrum narrowband 10s of bits per second

Spectrum bands below 1 GHz, Efficient multiplexing of mission-critical

1 GHz to 6 GHz, & above 6 GHz and nominal traffic
(incl. mmWave)

From high user mobility

FDD, TDD, half duplex Unified air interface to no mobility at all

Device-to-device, mesh, From wide area macro to

relay network topologies indoor / outdoor hotspots

Diverse deployments

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 Designing the 5G Unified Air Interface
A new PHY & MAC design that is scalable to an extreme variation of requirements

Optimized OFDM-based A common, flexible Advanced wireless

waveforms
With scalable numerology and TTI,
plus optimized multiple access
for different use cases
framework
To efficiently multiplex services
and features—designed for
forward compatibility
technologies
Such as massive MIMO, robust
mmWave and a flexible
self-contained TDD design
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Designing optimized
waveforms & multiple
access with heavy
reliance on OFDM

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 IFFT/FFT is the foundation to OFDM
Quick refresh on Orthogonal Frequency Division Multiplexing
Simplified OFDM
waveform synthesis 0s
for a transmitter
Coding & Serial to Cyclic
Data IFFT Prefix (CP) Windowing To RF
Modulation Parallel /Filtering
Insertion

0s

Data transmitted via closely-spaced, narrowband subcarriers – Helps maintain orthogonality Helps achieve better
IFFT operation ensures subcarriers do not interfere despite multipath fading frequency localization

CP IFFT output

CP
Transmitted Waveform
after windowing
Bandwidth Time Time

OFDM-based waveforms highly utilized in e.g. LTE and Wi-Fi systems today
8
 OFDM family well suited to meet 5G requirements
Wide bandwidth, high capacity, low latency, low complexity per bit

Scalable sub-carrier spacing

MIMO

Scalable bandwidth
Higher spectral efficiency

Scalable Low Complexity Efficient for MIMO

To wide bandwidths with Does not require complex Elegant framework for MIMO
scalable symbol duration and receivers even when scaling spatial multiplexing that scales
subcarrier spacing to wide bandwidths to wider bandwidths

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 The OFDM family allows for enhancements
To address different use cases—a key focus for 5G

Frequency localization Uplink energy efficiency Asynchronous uplink

To reduce in-band and Due to power variations on To support sporadic uplink
out-of-band emissions a per OFDM subcarrier basis transmissions of small data bursts

zzz

zzz
zzz

Especially in macro deployments Such as for massive IoT

Additional OFDM windowing/filtering Add DFT spreading to achieve a Support for asynchronous, grant-
reduces both inter-symbol1 and single-carrier OFDM signal with free multiple access such as
inter-channel2 interference smaller power variations Resource Spread Multiple Access

1 Among users within allocated band; 2 among neighboring operators, e.g. low Adjacent-Channel Leakage Ratio (ACLR) 10
 Numerous OFDM-based waveforms considered for 5G
Multi-carrier OFDM waveforms Single-carrier OFDM waveforms
OFDM variants with windowing/filtering Single-carrier OFDM variants that use DFT
enhancements for better frequency localization spreading to reduce power variations in uplink

CP-OFDM with windowing1 IFFT/FFT SC-OFDM with windowing1

Time domain windowing to soften edges of DFT spreading with cyclic prefix (CP)
symbols—used in 4G LTE downlink today All waveforms based insertion—used in 4G LTE uplink today
on OFDM Synthesis
UFMC2 Zero-tail SC-OFDM
Customized filtering over a block DFT spreading with dynamic zero-pad instead
of contiguous OFDM subcarriers2 of fixed CP for higher spectral efficiency

FBMC / GFDM3
Customized subcarrier pulse shaping
achieved through oversampling4

1 Time domain windowing heavily used in commercial LTE systems, but not specified in 3GPP standard; 2 Universal Filtered Multi-Carrier; 3 Filter Bank Multi-Carrier and Generalized Frequency Division Multiplexing 11
 CP-OFDM & SC-OFDM with windowing most optimal
Alternative proposals add complexity—radio design, multiplexing—with marginal benefits
Pros Cons

• Best frequency localization • Requires complex modulation

FBMC (marginalized in practical systems1) • Integration with MIMO non-trivial

Multi-carrier • Better frequency localization than CP-OFDM • High Tx and Rx (2x FFT size) complexity
UFMC (equivalent to CP-OFDM with windowing)
alternatives • No CP – interference from multipath fading

• Better frequency localization than CP-OFDM • Complicated receiver to handle interference

GFDM (equivalent to CP-OFDM with windowing) • Requires large guardband to multiplex services

Single-carrier Zero-tail • Marginal spectral efficiency gains • Requires extra signaling that adds complexity
alternatives SC-OFDM • Better OOB suppression with synchronization • Non-trivial to multiplex with OFDM

Download Qualcomm Research whitepaper for detailed analysis:

www.qualcomm.com/documents/5g-waveform-multiple-access-techniques
1 Due to non-linearity in practical receiver implementations; Qualcomm Research is a division of Qualcomm Technologies, Inc. 12
 Different multiple access schemes for different use cases
Orthogonal, Centralized Scheduling OFDMA & SC-FDMA for mobile broadband and beyond
Utilizes CP-OFDM and SC-OFDM waveforms respectively
Frequency
OFDMA well suited for spectrally efficient large data transmissions
SC-FDMA well suited for efficient UL transmissions in macro deployments

Time

Resource Spread Multiple Access (RSMA) for target use cases Non-orthogonal, Distributed Scheduling

Enables asynchronous, non-orthogonal, contention-based access well suited for e.g. IoT UL Frequency

Spreads bits through low rate coding1 across resource elements in time or frequency
Signals may occupy same resources—separate with different e.g. scrambling codes

Time
1 As opposed to legacy Code Division Multiple Access (CDMA) schemes which attempted to orthogonalize users with e.g. Walsh codes 13
 Optimized 5G waveforms and multiple access
With heavy reliance on the OFDM family

5G Downlink 5G Uplink
A single waveform for flexible service multiplexing Optimized waveforms for different use cases

Macro SC-OFDM1 + SC-FDMA

coverage To maximize device energy efficiency

Small CP-OFDM1 + OFDMA

cells To maximize spectral efficiency

Massive Low energy single-carrier2 + RSMA

IoT For energy efficient small data bursts
CP-OFDM1 + OFDMA
Also recommended for D2D & basestation-to-basestation
communications to maximize transmit/receiver design reuse Mission- CP-OFDM/SC-OFDM1 + RSMA3
critical For low latency, grant-less small data bursts

Download Qualcomm Research whitepaper for detailed analysis:

www.qualcomm.com/documents/5g-waveform-multiple-access-techniques
1 With time domain windowing as common in LTE systems today; 2 Such as SC-FDE and GMSK; 3 May also use OFDMA/SC-FDMA for applications that may be scheduled 14
Designing a flexible
framework to multiplex
envisioned & unknown
5G services

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Unified 5G design across spectrum types and bands

Licensed Spectrum Shared Licensed Spectrum Unlicensed Spectrum

Cleared spectrum Complementary licensing Multiple technologies
EXCLUSIVE USE SHARED EXCLUSIVE USE SHARED USE

Below 1 GHz: longer range for massive Internet of Things

1 GHz to 6 GHz: wider bandwidths for enhanced mobile broadband and mission critical

Above 6 GHz, e.g. mmWave: extreme bandwidths, shorter range for extreme mobile broadband

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 Scalable numerologies to meet diverse deployments
From narrowband to wideband, licensed & unlicensed, TDD & FDD
Outdoor and
Sub-carrier spacing = N
macro coverage (extended cyclic prefix)
FDD/TDD <3 GHz
e.g. 1, 5, 10 & 20 MHz

Outdoor and
Sub-carrier spacing = 2N
small cell (normal cyclic prefix)
TDD > 3 GHz
e.g. 80 MHz

Indoor Sub-carrier spacing = 8N

wideband
TDD e.g. 5 GHz
(Unlicensed) e.g. 160MHz

Sub-carrier spacing = 16N

mmWave
TDD e.g. 28 GHz
e.g. 500MHz
Example usage models and channel bandwidths
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 A flexible framework with forward compatibility
Designed to efficiently multiplex envisioned & unforeseen 5G services on the same frequency

Integrated framework Mission-critical transmissions

That can support diverse deployment May occur at any time; design such that
scenarios and network topologies other traffic can sustain puncturing1

Blank subcarriers

D2D

Blank subframes
Scalable TTI WAN Multicast

Scalable transmission time interval (TTI) Forward compatibility

For diverse latency requirements — capable of With support for blank subframes and frequency
latencies an order of magnitude lower than LTE resources for future services/features

1 Nominal 5G access to be designed such that it is capable to sustain puncturing from mission-critical transmission or bursty interference 18
 Scalability to much lower latency
Scalable TTI for diverse Order of magnitude lower Round-Trip
latency & QoS requirements Time (RTT) than LTE today
TTI

FDD Data 0 1 0 1
TTI Fewer (variable)
interlaces for HARQ1 ACK ACK0 ACK1 ACK0

HARQ RTT

Shorter TTI for Scalable TTI

low latency
TDD Example:

Period
Ctrl Data

Guard
ACK TDD
Longer TTI for higher Self-contained (Tx) (Tx) (Rx)
downlink
spectral efficiency design reduces RTT

Data and acknowledgement in the same subframe

1 Compared to LTE’s 8 HARQ interlaces 19

 Self-contained TDD subframe design
Faster, more flexible TDD switching & turn around, plus support for new deployment scenarios

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

Massive MIMO

Guard Period
Example:
Leveraging channel reciprocity in UL Add’l Ctrl Data ACK
(Rx) TDD
transmission for DL beamforming training headers (Tx) (Tx) downlink

D2D, mesh and relay Self-contained TDD sub-frame: UL/DL scheduling info,
Headers for e.g. direction of the link for
data and acknowledgement in the same sub-frame
dynamic distributed scheduling

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 Designing Forward Compatibility into 5G
Flexibly phase in future features and services

Blank subcarriers D2D

5G above 6GHz
WAN WAN WAN 5G below 6GHz
Blank
Multicast
subframes

Mission-critical

Blank resources1 Service multiplexing Common frame structure

Enable future features/service E.g. nominal traffic designed Enable future features to be deployed
to be deployed in the same to sustain puncturing from on a different frequency in a tightly
frequency in a synchronous and mission-critical transmissions integrated manner, e.g. 5G sub 6 GHz
asynchronous manner or bursty interference control for mmWave

1 ‘Blank’ resources may still be utilized , but designed in a way to not limit future feature introductions 21
Natively incorporate
advanced wireless
technologies across
5G services

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 Natively incorporate advanced wireless technologies
Key 5G design elements across services
Enhanced Mobile Broadband
Faster, more uniform user experiences
• Scalable to wider bandwidths
• Designed for all spectrum types
• Massive MIMO
• Robust mmWave design
• Improved network/signaling efficiency
• Native HetNets & multicast support
• Opportunistic carrier/link aggregation

Massive Internet of Things Mission-Critical Control

Efficient, low cost communications Ultra-low latency and high reliability links

• Low complexity, narrow bandwidth • Ultra-low latency bounded delay

• Low energy waveform • Optimized PHY/pilot/HARQ
• Optimized link budget Unified Air • Efficient multiplexing with nominal
• Decreased overheads Interface • Simultaneous, redundant links
• Managed multi-hop mesh • Grant-free transmissions

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 Enhanced mobile broadband
Ushering in the next era of immersive experiences and hyper-connectivity

3D/UHD video telepresence Tactile Internet UHD video streaming

Demanding conditions, e.g. venues Broadband ‘fiber’ to the home Virtual reality

Extreme throughput Ultra-low latency Uniform experience

multi-gigabits per second down to 1ms e2e latency with much more capacity
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 Scaling up to enhance mobile broadband
Key 5G Unified Air Interface design elements

Scalable Massive Flexible Reliable, Fair Device-

OFDM MIMO FDD/ TDD high sharing of centric
numerology subframe capacity spectrum mobility
design mmWave

For diverse spectrum Capacity and coverage Lower latency and TDD Tight integration with Common framework Control plane
bands/types and enhancements for dynamic interference sub 6 GHz, e.g. for different spectrum improvements for better
deployment models higher spectrum bands management carrier aggregation types efficiency

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 Massive MIMO at 4 GHz allows reuse of existing sites
Leverage higher spectrum band using same sites and same transmit power
4GHz
24x4 Massive
MIMO 80MHz

4GHz
24x4 Massive
MIMO 80MHz
4GHz 13.9X
2x4 MIMO
4GHz 2GHz 80MHz
2GHz 2x4 MIMO
10.5Y 2x4 MIMO
2x4 MIMO 80MHz
20MHz
20MHz 3.4X
Y 2.7Y X Macro site
1.7km inter-site distance
Cell edge user throughput Median user throughput

Source: Qualcomm 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 – detailed simulation data available in the appendix 26
Realizing the mmWave opportunity for mobile broadband
The extreme mobile broadband opportunity
• Large bandwidths, e.g. 100s of MHz
• Multi-Gpbs data rates
• Flex deployments (integrated access/backhaul)
• High capacity with dense spatial reuse
The challenge—‘mobilizing’ mmWave
• Robustness due to high path loss and
susceptibility to blockage
• Device cost/power and RF challenges
at mmWave frequencies

mmWave

sub6Ghz

Solutions Smart beamforming & Tight interworking Phase noise mitigation

beam tracking with sub 6 GHz in RF components
Increase coverage & provide Increase robustness and For low cost, low
seamless connectivity faster system acquisition power devices

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 Making mmWave a reality for mobile
Qualcomm Technologies is setting the path to 5G mmWave
60 GHz chipset commercial today Developing 5G mmWave
For mobile devices, notebooks and access points For extreme mobile broadband both outdoor and indoor

Manhattan 3D Map
* Results from ray-tracing1

Qualcomm ® VIVE™ 802.11ad technology for the 28 GHz outdoor example with ~150m dense urban LOS
Qualcomm® Snapdragon™ 810 processor operates in and NLOS coverage using directional beamforming1
60 GHz band with a 32-antenna array element

Qualcomm VIVE is a product of Qualcomm Atheros, Inc.; Qualcomm Snapdragon is a product of Qualcomm Technologies, Inc. 1 Based on Qualcomm Simulations 28
 Making the best use of all spectrum types
To efficiently grow data capacity

Introduced in 4G LTE Efficiently designed for

all spectrum types from
Unlicensed spectrum with
the beginning
LTE-U and LAA
licensed anchor channel

Licensed shared Shared licensed

access (LSA) and
similar spectrum solutions

MuLTEfire™
Pure unlicensed Fair coexistence across all spectrum types
spectrum Aggregation across spectrum types and bands

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 Device-centric mobility management in 5G
Control plane improvements to improve energy and overhead efficiency

Lightweight mobility for device energy savings

Edgeless mobility zone • Apply COMP-like1 concepts to the control plane
(area of tightly coordinated cells)
Serving cluster • Intra-zone mobility transparent to the device

Periodic Transmit No SIB

Sync SIB transmission
Less broadcast for network energy savings
• Low periodic beacon for initial discovery of device(s)
• On-demand system info (SIB) when devices 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 May dynamically revert to broadcast system info when needed, e.g. system info changes 30
Natively incorporate solutions to efficiently grow capacity
Delivering enhanced, uniform user experiences

Context and service Full Self- Truly unplanned Hyper dense

awareness Configuration deployments deployments

mmWave Best use of all

spectrum types
Beam
Integrated access forming
and backhaul

Coordinated Multicast
Spatial Techniques
Advanced Massive
Receivers MIMO

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 Massive Internet of Things
Optimizing to connect anything, anywhere with efficient, low cost communications

Smart cities Smart homes Utility metering

Wearables / Fitness Remote sensors / Actuators Object tracking

Power efficient Low complexity Long range

Multi-year battery life Low device and network cost Deep coverage
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 Connecting the massive Internet of Things
Key 5G Unified Air Interface design elements

Narrow High Non- Managed Device-

bandwidth efficiency orthogonal multi-hop centric
waveform RSMA mesh mobility
and coding

Narrow bandwidth to Optimized waveform For asynchronous To improve Control plane

enable low device to improve efficiency grant-free uplink uplink coverage — improvements for
complexity & long range & reduce complexity transmissions aided by WAN better efficiency

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 Non-orthogonal RSMA for efficient IoT communications
Characterized by small data bursts in the 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
• Capable of supporting full
mobility
Downlink remains OFDM-based for
coexistence with other services

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

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 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 Due to low power devices and challenging placements, in e.g. basement
Solution: managed uplink mesh Uplink data relayed via nearby devices—uplink 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 35
 Mission-critical control
Enabling new services with ultra-reliable, ultra-low latency communication links

Autonomous vehicles Robotics Energy / Smart grid

Industrial automation Aviation Medical

High reliability Ultra-low latency High resilience

Extremely low loss rate Down to 1ms e2e latency Multiple links for failure tolerance and mobility
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 Delivering mission-critical control services
Key 5G Unified Air Interface design elements

Efficient Scalable TTI Latency- Simultaneous,

multiplexing with and lower HARQ bounded redundant
other traffic RTT link adaptation links

Time multiplexing Enables end-to-end New link adaptation Redundancy if primary

through puncturing other latency an order of paradigm for lower link link is interrupted
service’s TTI magnitude lower than LTE error rates

37
Efficient mission-critical multiplexing with other services
A more flexible design as compared to dedicated mission-critical resources (e.g. FDM)

One TTI
Frequency

1st 2st
transmission transmission
Design such that other traffic can sustain
Nominal traffic puncturing from mission-critical transmission
(with new FEC & HARQ design)

Time

Mission-critical transmission Opportunity for uplink RSMA non-orthogonal

may occur at any time and cannot
access using OFDM waveforms
wait for scheduling

38
 New 5G design allows for optimal trade-offs
E.g. leveraging wider bandwidths to offset mission-critical capacity reductions

Lower latency …increased reliability …but, wider bandwidth

reduces capacity… reduces 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 10Mhz to 20Mhz for 1e-4 BLER. 39
 Proposed 5G standardization for 2020 launch

5G study items

3GPP RAN workshop R15 5G R16 5G R17+

work items work Items 5G evolution

First 5G 5G
launch1 phase 2

4G evolution—LTE will evolve in parallel with 5G

Note: Estimated commercial dates; 1 Forward compatibility with R16 and beyond 40
In parallel: driving 4G and 5G to their fullest potential
Expanding and evolving LTE Advanced – setting the path to 5G

LTE LTE Advanced LTE Advanced Pro

4G
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 Simplifying 5G deployments with multi-connectivity
A phased 5G introduction that fully leverages 4G LTE and Wi-Fi investments
5G / 4G / 3G/ Wi-Fi
Small cell 5G Carrier multimode device Macro
Aggregation
5G above 6GHz
5G below 6GHz 5G below 6GHz

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

5G 4G or 5G 4G Macro
Wi-Fi 5G Macro
Above 6GHz below 6GHz

Today: 4G LTE below 6 GHz with Dual Connectivity and LTE-Wi-Fi Link Aggregation
Phase 1 (R15): New 5G radio access below 6 GHz using LTE anchor for mobility management
Phase 2 (R16+): New multi-access 5G core network, new 5G radio access above 6 GHz
5G: not just a new
generation, but a
new kind of network

Connecting Enabling Empowering

new industries and devices new services new user experiences
For more information: www.qualcomm.com/5G
 TM
An essential innovator and accelerator of mobile and beyond

Small cells and self organizing technology

Working to solve the LTE in unlicensed spectrum, MuLTEfire™
LTE Advanced carrier aggregation, dual connectivity
1000x data challenge Advanced receivers and interference management
Innovative small cells and Spectrum innovations like LSA
spectrum solutions Wi-Fi – 11ac, 11ad, MU-MIMO, OCE, 11ax
3G
More capacity

LTE-M (Machine-Type Communications), NB-IOT

Creating the connectivity LTE Direct device-to-device
LTE Broadcast
fabric for everything LTE – Wi-Fi Convergence
Intelligently connect everything/everyone, Wi-Fi – 11ah, 11ad, Wi-Fi Aware, Wi-Fi Direct, DSRC
empower new services, drive convergence Bluetooth Smart
OneWeb
A new connectivity paradigm 5G

Machine learning
Bringing cognitive Computer vision
Always-on sensing
technologies to life Immersive multimedia
Devices and things that perceive, Cognitive connectivity
reason, and act intuitively Intuitive security
Heterogeneous computing
Next level of intelligence

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©2013-2015 Qualcomm Technologies, Inc. and/or its affiliated companies. All Rights Reserved.
Qualcomm is a trademark of Qualcomm Incorporated, registered in the United States and other countries. Why Wait, Snapdragon, VIVE and MuLTEfire are trademarks of
Qualcomm Incorporated. Other product and brand names may be trademarks or registered trademarks of their respective owners.
References in this presentation to “Qualcomm” may mean Qualcomm Incorporated, Qualcomm Technologies, Inc., and/or other subsi diaries or business units within the
Qualcomm corporate structure, as applicable.
Qualcomm Incorporated includes Qualcomm’s licensing business, QTL, and the vast majority of its patent portfolio. Qualcomm Technologies, Inc., a wholly-owned subsidiary
of Qualcomm Incorporated, operates, along with its subsidiaries, substantially all of Qualcomm’s engineering, research and de velopment functions, and substantially all of its
product and services businesses, including its semiconductor business, QCT.

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