Evaluation Reports Reevaluation Process

Approach for Approach for Consideration of Evaluation Reports Consideration of Evaluation Reports Prior to Option 2 Prior to Option 2 and Those Resulting from Option 2 and Those Resulting from Option 2 in the Reevaluation Process in the Reevaluation Process Stephen M. Blust Chairman WP 5D Meeting #37 (1-12 March 2021) Version 4 3-7-21 1

Consideration of Evaluation Reports Prior to Option 2 and Those Resulting from Option 2 in the Revaluation Process Consideration of Evaluation Reports Prior to Option 2 and Those Resulting from Option 2 in the Revaluation Process 1. All Evaluation Reports under Option 2 must respect the established IMT-2020 evaluation criteria, guidelines, and processes. 2. Those evaluations performed under Option 2 might be based on information beyond that available in the first evaluations and therefore should represent the latest assessments specifically as provided for under the Option 2 procedures in Documents IMT-2020/52 and IMT-2020/53 and particularly as indicated in Document 5D/360 Chapter 7, Attachment 7.4, liaison Document 5D/TEMP/201R1. 3. Evaluation Groups that have chosen to reengage in the evaluation might reaffirm existing Evaluation Reports results, modify or complement existing Evaluation Reports results, or provide new Evaluation Reports based on new analyses. 4. Certainly, in this reevaluation, evaluations provided by the Evaluation Groups under Option 2 should be a primary basis for the conclusions on the evaluations and follow-on decisions, also considering the situations addressed in Item 6 below. 5. On an individual evaluation report basis, the latest assessments might not be comparable to prior assessments that have not have the opportunity to be revised. In other words, for the same IEG, it is not a like for like assessment if they are not based common data, such as comparing a particular Evaluation Report from before Option 2 next to a particular Evaluation Report resulting from the Option 2 revaluation. Likewise, the overall collective summary of the latest Evaluation Reports from Option 2 might not be comparable to the collective summary of prior Evaluation Reports (such as IMT-2020/38). 6. Existing Evaluation Reports (as indicated in Annex 2 of Report ITU-R M.2483 The outcome of the evaluation, consensus building and decision of the IMT-2020 process (Steps 4 to 7), including characteristics of IMT-2020 radio interfaces , remain in the record and are available for consultation in the re-evaluation, as certain elements of these reports might continue to be applicable. There are several situations in how this is applied. Where an Evaluation Group has reengaged under Option 2 and - Situation 2a: that IEG does not address a particular KPI in reevaluation and the same KPI has been previously addressed as meeting the requirement, then the default that carries over into the Option 2 analysis (new IMT-2020/ZZZ-Opt 2) for that KPI is to be taken from the existing report/summary of reports (relevant IMT-2020/ZZZ prior to Option 2) for that Evaluation Group. Carried over data should be indicated with an * or suitable equivalent notation. Situation 2b: that IEG does not address a particular KPI in revaluation and the same KPI has been previously addressed as not meeting the requirement, inconclusive , or not evaluated , then the default that carries over into the Option 2 analysis (new IMT-2020/ZZZ-Opt 2) for that KPI is to be taken from the existing report/summary of reports (relevant IMT-2020/ZZZ prior to Option 2) for that Evaluation Group. Carried over data should be indicated with an * or suitable equivalent notation. Where an Evaluation Group has NOT reengaged under Option 2 - Situation 2c: then NO default carries over into the Option 2 analysis and there is no new IMT-2020/ZZZ- Opt 2 and nothing is to be taken from the existing report/summary of report (relevant IMT-2020/ZZZ prior to Option 2) for that Evaluation Group. That is the existing IEG report for a non- reengaged IEG is not carried forward into the Option 2 analysis. There is no entry in the self-contained new summary of reportsfor Option 2 for this IEG. 2

Check list of Scenarios for KPIs and Procedural Considerations Scenario ) Example Cases In Previous ZZZ Document Current plan of Evaluation Group engaged in Option 2 reevaluation Action in new evaluation report of the IEG Refence to this PPT, Slide 1 Item # A Example Case KPI 1 Did not meet the requirement, or inconclusive Met the requirement Not evaluated Plan to re-evaluate #1, #2, #3, #4 Include the new results into new evaluation report (new IMT-2020/ZZZ-Opt 2) B Example Case KPI 2 Plan to re-evaluate C Example Case KPI 3 Plan to evaluate D Example Case KPI 4 Met the requirement No plan to re-evaluate Results from relevant prior IMT-2020/ZZZ carried over into new evaluation report (new IMT-2020/ZZZ-Opt 2) #2a Carried over data should be indicated with an * or suitable equivalent notation Results from relevant prior IMT-2020/ZZZ carried over into new evaluation report (new IMT-2020/ZZZ-Opt 2) E Example Case KPI 5 Not met the requirement, inconclusive , or not evaluated No plan to re-evaluate #2b Carried over data should be indicated with an * or suitable equivalent notation Results from the prior IMT-2020/ZZZ for the non- reengaged IEG do not appear in the self-contained outputs from Option 2 F Example Case KPI 6 - A previous Evaluation Group has not reengaged in Option 2 #2c 3

Way Forward Option 2 Pictorially (Picture not to scale) Source: Document IMT-2020/52 Part 1 Slide 4 WP 5D #35e July 2020 WP 5D #36 Oct 2020 WP 5D #36bis Nov 2020 IMT-2020 CURRENT PROCESS 3GPP Proponent SRIT 3GPP Proponent RIT China Proponent RIT Korea Proponent RIT TSDSI Proponent RIT First Release Rec IMT M.[IMT-2020 SPECS] Study Group 5 November 2020 Completes Nov 2020 with no delay Prior to Option 2 (all documents complete & self contained) Note: Additional Information added to relate this Slide 4 to Slide 5 in this PowerPoint ++++ First Release Timeline From Option 2 Analysis (all documents complete & self contained) Process fork WP 5D #36 or 36bis Oct/Nov 2020 Schedule, Workplan, & External Liaison to IEGs WP 5D #37 Feb 2021 WP 5D #38 June 2021 WP 5D #39 Oct 2021 Focused Revision 1 Rec IMT M.[IMT-2020 SPECS] Study Group 5 Update should be completed in WP 5D/ITU-R no later than Meeting #39, preferably sooner. IMT-2020 CURRENT PROCESS (Step 4 reset & onward Steps extension) ETSI (TC DECT) and DECT Forum Proponent SRIT Nufront Proponent RIT Completes in 2021 Focused Revision Timeline 4

Flow Diagram and Documents Available for Consideration From Option 2 Analysis (all documents complete & self contained) Prior to Option 2 (all documents complete & self contained) History Documents .. / Prior to Option 2/ History Documents .. / From Option 2/ Relevant IMT-2020/ZZZ Documents IMT-2020/39 IMT-2020/51 IEG Evaluation Reports / Prior to Option 2/ Relevant IMT-2020/ZZZ-Opt 2 New Documents IMT-2020/?? IMT-2020/?? IEG Evaluation Reports - Opt 2 for IEGs engaged in Option 2 /From Option 2/ Primary Consideration given in Option 2 analysis Summary of Step 4 for Option 2 (Model Document: IMT-2020/38 Rev 1) New IMT-2020/Summary-Opt 2 Summary of Step 4 of Way Forward Option 2 of the IMT-2020 process for evaluation of IMT-2020 candidate technology submissions / From Option 2/ Primary Consideration given in Option 2 analysis Summary of Step 4 Document IMT-2020/38 Rev 1 Summary of Step 4 of the IMT-2020 process for evaluation of IMT-2020 candidate technology submissions / Prior to Option 2/ Outcome for Option 2 (Model Document: Report ITU-R M.2483) New Report ITU-R M.UUUU, The outcome of Way Forward Option 2 of the evaluation, consensus building and decision of the IMT-2020 process (Steps 4 to 7), including characteristics of IMT-2020 radio interfaces . / From Option 2/ Outcome Report ITU-R M.2483 The outcome of the evaluation, consensus building and decision of the IMT-2020 process (Steps 4 to 7), including characteristics of IMT-2020 radio interfaces / Prior to Option 2/ Step 8 / Prior to Option 2/ Step 8 / if successful, from Option 2/ IMT-2020 Detailed Specifications First release Recommendation ITU-R M.2150-0 >>>>>> Focused Revision Recommendation ITU-R M.2150-1 Detailed specifications of the terrestrial radio interfaces of International Mobile Telecommunications-2020 (IMT-2020) 5

Consideration of Evaluation Reports Prior to Option 2 and Those Resulting from Option 2 in the Revaluation Process Consideration of Evaluation Reports Prior to Option 2 and Those Resulting from Option 2 in the Revaluation Process Proposal: In conclusion, it is suggested that WP 5D consider and adopt this PowerPoint document as the way forward principle for the consideration of evaluations in Option 2 and those overall conclusions that might be drawn. The Option 2 overall analysis should be self contained and stand alone. 1. The updated evaluation results in the recycle to Step 4 should be documented in new IMT-2020/ZZZ documents for each reengaged IEG, and a new overall summary modelled in format on IMT-2020/38 (excluding columns for IEGs that did not chose to reengage in Option 2) should be prepared in support of Steps 5-7Subsequently, in Option 2 the revisit of Steps 5 though 7 of the IMT-2020 process should be documented (with due consideration to the complexity of the approach taken) in a new Report similar to M.2483, for example, as Report ITU-R M.UUUU, The outcome of Way Forward Option 2 of the evaluation, consensus building and decision of the IMT-2020 process (Steps 4 to 7), including characteristics of IMT-2020 radio interfaces . a) Report document modelled on M.2483it would be easier to prepare than trying to revise M.2483 and additionally would be more directly aligned with the new IMT-2020/ZZZ documents and be a self-contained confirmation of the results of Steps 4-7 of Option 2, supporting the focused revision of M.2150. 2. Finally, as already provided for, a candidate technology that successfully completes Option 2 and the following Steps 5-7, will proceed to Step 8 and be included in a focused revision of Recommendation ITU-R M.2150 to be completed by WP 5D in Meeting #39 October 2021 as indicated in the detailed schedule for Option 2 in Document IMT-2020/53. 1. The basis of the Option 2 reevaluations and possible subsequent revision of M.2150 in this regard is previously agreed to be locked to the GCS/DIS already on record on the ITU-R website from June 2020 for that purpose and for the IMT-2020 overall process 2. Hence, the aligned specific text for inclusion in a revised M.2150 is also already provided from WP 5D Meeting #35 (June 2020) in Document 5D/222 Chapter 5, respectively Attachments 5.3 and/or 5.4. Also see Document IMT-2020/52, Part 1, Slide 9. 6