WiMAX Bisic Theories

WiMAX Basic Theories
Date Author Remarks
2008.5 WiMAX P&O Team Chines Version
2009.8 WiMAX P&O Team English Version
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Constants
Section1 Introduction to WiMAX ................................................................................................................5
1.1 Wireless Introduction ...........................................................................................................................5
1.1.1 Wireless Network Topologies.....................................................................................................5
1.1.2 Wireless Technologies ................................................................................................................6
1.1.3 Kinds of Wireless Networks.......................................................................................................6
1.1.4 Wireless Broadband Access (WBA)...........................................................................................7
1.2 Related Organization............................................................................................................................7
1.2.1 IEEE ...........................................................................................................................................7
1.2.2 WiMAX Forum ..........................................................................................................................7
1.3 What is WiMAX...................................................................................................................................8
1.3.1 WiMAX is: .................................................................................................................................8
1.3.2 What is 802.16d..........................................................................................................................9
1.3.3 What is 802.16e..........................................................................................................................9
1.3.4 WiMax Speed and Range .........................................................................................................10
1.3.5 Why WiMAX ...........................................................................................................................11
1.3.6 WiMAX Goals..........................................................................................................................11
1.4 Salient Features of WiMAX ...............................................................................................................12
1.4.1 OFDM-based physical layer.....................................................................................................12
1.4.2 Very High Peak Date Rate........................................................................................................12
1.4.3 Scalable bandwidth and rate support........................................................................................12
1.4.4 Adaptive modulation and coding (AMC) .................................................................................12
1.4.5 Link-layer retransmissions .......................................................................................................13
1.4.6 Support for TDD and FDD.......................................................................................................13
1.4.7 Orthogonal frequency division multiple access (OFDMA)......................................................13
1.4.8 Flexible and dynamic per user resource allocation ..................................................................13
1.4.9 Support for advanced antenna techniques ................................................................................14
1.4.10 Qulity of service support ........................................................................................................14
1.4.11 Robust security .......................................................................................................................14
1.4.12 Support for mobility ...............................................................................................................14
本文中的所有信息均为中兴通讯股份有限公司秘密信息，不得向外传播
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1.4.13 IP-based architecture ............................................................................................................. 14
Section2 OFDM ........................................................................................................................................... 16

2.1 OFDM System Description ............................................................................................................... 16
2.2 OFDM Orthogonality ........................................................................................................................ 18
2.3 How to Overcome Inter Symbol Interference (ISI) ........................................................................... 18
2.4 How to Overcome Inter Carrier Interference (ICI)............................................................................ 19
Section3 OFDMA ........................................................................................................................................ 20

3.1 OFDMA Basics.................................................................................................................................. 20
3.2 OFDMA Symbol Structure and Sub-Channelization......................................................................... 21
3.3 Scalable OFDMA .............................................................................................................................. 23
3.4 TDD Frame Structure ........................................................................................................................ 24
3.5 Other Advanced PHY Layer Features................................................................................................ 25
3.6 Difference between OFDMA and OFDM.......................................................................................... 27
Section4 WiMAX MAC .............................................................................................................................. 29

4.1 Common MAC Concepts .................................................................................................................. 29
4.1.1 CS Sublayer ............................................................................................................................. 29
4.1.2 MAC CPS Sublayer................................................................................................................. 30
4.2 Quality of Service (QoS) Support...................................................................................................... 35
4.3 MAC Scheduling Service .................................................................................................................. 37
4.4 Mobility Management ....................................................................................................................... 39
4.4.1 Power Management ................................................................................................................. 39
4.4.2 Handoff.................................................................................................................................... 39
4.5 Security.............................................................................................................................................. 41
Section5 WiMAX Advanced Features ....................................................................................................... 42

5.1 Smart Antenna Technologies ............................................................................................................. 42
5.2 Fractional Frequency Reuse .............................................................................................................. 44
5.3 Multicast and Broadcast Service (MBS) ........................................................................................... 46
Section6 WiMAX Network Architecture................................................................................................... 48
Section7 WiMAX Channel Estimation...................................................................................................... 51

7.1 Introduction ....................................................................................................................................... 51
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7.2 Channel Estimation ............................................................................................................................52
7.2.1 Transmitter ...............................................................................................................................52
7.2.2 Channel ....................................................................................................................................53
7.2.3 Reciever....................................................................................................................................56
Section8 WiMAX Major Benefits...............................................................................................................59
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Section1 Introduction to WiMAX
 Knowledge
 What is WiMAX ------------------------------------------------------------------Level 1 2
 WiMAX Benefits -----------------------------------------------------------------Level 1 2
 Salient Features -------------------------------------------------------------------Level 1 2
1.1 Wireless Introduction

Wireless means transmitting signals using radio waves as the medium instead of wires.
Wireless technologies are used for tasks as simple as switching off the television or as
complex as supplying the sales force with information from an automated enterprise
application while in the field. Now cordless keyboards and mouse， PDAs, pagers and digital
and cellular phones have become part of our daily life.
Some of the inherent characteristics of wireless communications systems which make it
attractive for users are given below.
Mobility: A wireless communications system allows users to access information beyond
their desk and conduct business from anywhere without a cable connectivity.
Reachability: Wireless communications systems enable people to be better connected
and reachable without any limitation of any location.
Simplicity: Wireless communication system is easy and fast to deploy in comparision of
cabled network. Initial setup cost could be a bit high but other advantages overcome that high
cost.
Maintainability: Being a wireless system, you do no need to spend too much to maintain
a wireless network setup.
Roaming Services: Using a wireless network system you can provide service any where
any time including train, busses, airoplans etc.
New Services: Wireless communications systems provide new smart services like SMS
and MMS.
1.1.1 Wireless Network Topologies
There are basically three ways to setup a wireless network.

Point-to-point bridge: As you know a bridge is used to connect two networks. A
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point-to-point bridge interconnects two buildings having different networks. For example, a
wireless LAN bridge can interface with an Ethernet network directly to a particular access
point.
Point-to-multipoint bridge: This topology is used to connect three or more LANs that
may be located on different floors in a building or across buildings.
Mesh or ad hoc network: This network is an independent local area network that is not
connected to a wired infrastructure and in which all stations are connected directly to one
another.
1.1.2 Wireless Technologies
Wireless technologies can be classified in different ways depending on their range. Each
wireless technology is designed to serve a specific usage segment. The requirements for each
usage segment are based on a variety of variables, including Bandwidth needs, Distance
needs and Power.
1.1.3 Kinds of Wireless Networks
Wireless Wide Area Network (WWAN):

This network enables you to access the Internet via a wireless wide area network
(WWAN) access card and a PDA or laptop.
These networks provide a very fast data speed compared with the data rates of mobile
telecommunications technology, and their range is also extensive. Cellular and mobile
networks based on CDMA and GSM are good examples of WWAN.
Wireless Personal Area Network (WPAN):

These networks are very similar to WWAN except thier range is very limited.
Wireless Local Area Network (WLAN): This network enables you to access the Internet
in localized hotspots via a wireless local area network (WLAN) access card and a PDA or
laptop.
It is a type of local area network that uses high-frequency radio waves rather than wires
to communicate between nodes.
telecommunications technology, and their range is very limited. Wi-Fi is the most widespread
and popular example of WLAN technology.
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Wireless Metropolitan Area Network (WMAN):
This network enables you to access the Internet and multimedia streaming services via a
wireless region area network (WRAN).
telecommunication technology as well as other wireless network, and their range is also
extensive.
1.1.4 Wireless Broadband Access (WBA)
Broadband wireless is a technology that promises high-speed connection over the air. It
uses radio waves to transmit and receive data directly to and from the potential users
whenever they want it. Technologies including 3G, Wi-Fi, WiMAX and UWB work together
to meet unique customer needs.
BWA is a point-to-multipoint system which is made up of base station and subscriber
equipment. Instead of using the physical connection between the base station and the
subscriber, the base station uses an outdoor antenna to send and receive high-speed data and
voice-to-subscriber equipment.
BWA offers an effective, complementary solution to wireline broadband, which has
become globally recognized by a high percentage of the population.
1.2 Related Organization
1.2.1 IEEE
IEEE802.16 is a broadband radio MAN technology intended to provide a fixed

broad radio access system with an efficient, applicable, and interoperable access
means. Its protocol is focused on the contents on the MAC layer and physical layer.
IEEE 802.16e defines the physical layer and MAC layer of the air interface for
the radio broadband access system that supports mobility, and at the same time,
includes the definition of PKMv2 encryption.
1.2.2 WiMAX Forum
WiMAX Forum (WMF) is a nonprofit production group founded on April 9, 2001 by

equipment and device suppliers that adopt the 802.16 standard, with an intention to coordinate
world-wide broadband radio technologies and promote development of the WiMAX industry
chain.
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With increasing concern for the WiMAX technologies in this industry, WiMAX Forum has
more and more members, and has set up in succession Certification Work Group (CWG),
Technology Work Group (TWG), Regulatory Work Group (RWG), Market Work Group (MWG),
Service Provider Work Group (SPWG), Network Work Group (NWG), and Application Work
Group (AWG). Accordingly, this organization is extending its objectives gradually. Apart from
certification, it is devoted to requirement analysis, application scenario exploration, and WiMAX
network architecture research with regard to the operable broadband radio access system, thus
promoting powerfully the development of the broadband radio access technologies and market.
WiMAX has become an alias of compliance with the 802.16 specification system.
1.3 What is WiMAX

WiMAX is one of the hottest broadband wireless technologies around today. WiMAX
systems are expected to deliver broadband access services to residential and enterprise customers
in an economical way.
Loosely, WiMax is a standardized wireless version of Ethernet intended primarily as an

alternative to wire technologies ( such as Cable Modems, DSL and T1/E1 links ) to provide
broadband access to customer premises.
More strictly, WiMAX is an industry trade organization formed by leading communications

component and equipment companies to promote and certify compatibility and interoperability of
broadband wireless access equipment that conforms to the IEEE 802.16 and ETSI HIPERMAN
standards.
WiMAX would operate similar to WiFi but at higher speeds, over greater distances and for a
greater number of users. WiMAX has the ability to provide service even in areas that are difficult
for wired infrastructure to reach and the ability to overcome the physical limitations of traditional
wired infrastructure.
WiMAX was formed in April 2001, in anticipation of the publication of the original 10-66
GHz IEEE 802.16 specifications. WiMAX is to 802.16 as the Wi-Fi Alliance is to 802.11.
1.3.1 What is WiMAX
 Acronym for Worldwide Interoperability for Microwave Access
 Based on Wireless MAN technology.
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 A wireless technology optimized for the delivery of IP centric services over a wide
area.
 A scaleable wireless platform for constructing alternative and complementary

broadband networks.
 A certification that denotes interoperability of equipment built to the IEEE 802.16 or

compatible standard. The IEEE 802.16 Working Group develops standards that address
two types of usage models:
 A fixed usage model (IEEE 802.16-2004).
 A portable usage model (IEEE 802.16e).
1.3.2 What is 802.16d
This is targeted to provide a broadband internet connection to indoor users. The SS

operating on this standard use indoor antenna and a limited mobility (portable devices) is allowed.
802.16d uses orthogonal frequency division multiplexing (OFDM) as its physical layer
specification to enable NLOS communication below 11 GHz. Since OFDM is used, the receiver
is made simple by ‘elimination’ of bulky equalizer. The other features have nearly been kept
similar in all the physical profiles of the standards Variable FFT size and symbol time is specified,
which could be fixed depending on type of environment and allocated bandwidth.. FEC includes
concatenated RS-CC followed by interleaving. Similar to 802.16a, AAS, STC schemes are
provided but are kept optional.
1.3.3 What is 802.16e
Specifications are provided such that mobility of the SS at 125 KMPH is allowed.
Orthogonal frequency division multiple access (OFDMA) is used as the physical layer
scheme. Channel check codes (LDPC). Data is randomized and interleaved to avoid loss
of carrier recovery and burst errors. In addition to AAS, STC, optional multi input multi
output (MIMO) scheme has been specified. Code division multiple access (CDMA)
codes are used along with the random window length based contention control algorithm
for initial ranging, periodic ranging, bandwidth request and handoff. The inter BS
communications have been defined, which will be used as a backbone network between
the BS’s to aid the inter-cell mobile subscriber station (MSS) handoff. This ensures fast
and accurate synchronization at the cost of slightly increased complexity. Similar to
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802.16d, variable FFT size and symbol time is provided which could be set depending
on the environment and allocated bandwidth.
Put together, the 802.16 technology would enable the SS to get broadband wireless
access (BWA) at all times in all locations, either when stationary, or at pedestrian speed
or when traveling at 125 KMPH.
Few of the difference between 802.16d and 802.16e are presented here. In OFDM,
SS uses all the available subcarriers for the allocated time, but in OFDMA, user is
allocated region having definition in both time and frequency. The subcarrier mapping is
different in both the standards, resulting in channel estimation done in 802.16d being
complex, but done less number of times. In 802.16e the channel estimation is simple, but
more frequently done (because data considered, per iteration is less – Channel is flat only
over limited subcarriers). Another difference is use of CDMA codes for ranging in
802.16e, the receiver performs correlation to detect the user, and hence more processing
is involved.
1.3.4 WiMax Speed and Range
WiMAX is expected to offer initially up to about 40 Mbps capacity per wireless

channel for both fixed and portable applications, depending on the particular technical
configuration chosen, enough to support hundreds of businesses with T-1 speed
connectivity and thousands of residences with DSL speed connectivity. WiMAX can
support voice and video as well as Internet data.
WiMax will be to provide wireless broadband access to buildings, either in

competition to existing wired networks or alone in currently unserved rural or thinly
populated areas. It can also be used to connect WLAN hotspots to the Internet. WiMAX
is also intended to provide broadband connectivity to mobile devices. It would not be as
fast as in these fixed applications, but expectations are for about 15 Mbps capacity in a 3
km cell coverage area.
With WiMAX users could really cut free from today.s Internet access arrangements
and be able to go online at broadband speeds, almost wherever they like from within a
MetroZone.
WiMAX could potentially be deployed in a variety of spectrum bands: 2.3GHz,

2.5GHz, 3.5GHz, and 5.8GHz
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1.3.5 Why WiMAX
 WiMAX can satisfy a variety of access needs. Potential applications include

extending broadband capabilities to bring them closer to subscribers, filling gaps
in cable, DSL and T1 services, Wi-Fi and cellular backhaul, providing last-100
meter access from fibre to the curb and giving service providers another
cost-effective option for supporting broadband services.
 WiMAX can support very high bandwidth solutions where large spectrum
deployments (i.e. >10 MHz) are desired using existing infrastructure keeping
costs down while delivering the bandwidth needed to support a full range of
high-value, multimedia services.
 WiMAX can help service providers meet many of the challenges they face due to
increasing customer demands without discarding their existing infrastructure
investments because it has the ability to seamlessly interoperate across various
network types.
 WiMAX can provide wide area coverage and quality of service capabilities for
applications ranging from real-time delay-sensitive voice-over-IP (VoIP) to
real-time streaming video and non-real-time downloads, ensuring that subscribers
obtain the performance they expect for all types of communications.
 WiMAX, which is an IP-based wireless broadband technology, can be integrated

into both wide-area third-generation (3G) mobile and wireless and wireline
networks, allowing it to become part of a seamless anytime, anywhere broadband
access solution.
Ultimately, WiMAX is intended to serve as the next step in the evolution of 3G

mobile phones, via a potential combination of WiMAX and CDMA standards called
4G.
1.3.6 WiMAX Goals
A standard by itself is not enough to enable mass adoption. WiMAX has stepped
forward to help solve barriers to adoption, such as interoperability and cost of
deployment. WiMAX will help ignite the wireless MAN industry, by defining and
conducting interoperability testing and labeling vendor systems with a "WiMAX
Certified™" label once testing has been completed successfully.
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1.4 Salient Features of WiMAX
WiMAX is a wireless broadband solution that offers a rich set of features with a lot of
flexibility in term of development options and potential services offerings. Some of the
more salient features that deserve hightlighting are as follows:
1.4.1 OFDM-based physical layer
WiMAX physical layer (PHY) is based on the orthogonal frequency division multiplexing,
a schem that offers good resistance to multipath, and allows wimax to operate in NOL-Sight
conditions. OFDM is now widely recognized as the method for mitigating mutipath for
broadband wireless.
1.4.2 Very High Peak Date Rate
WiMAX is capable of supporting very high peak data rate. In fact, the peak data rate
can reach 74Mbps when operationg using 20MHz wide spectrum. More typically, using a 10MHz
spectrum operating using TDD schem with a 3:1 downlink-to-uplink ratio, the peak PHY data
rate is 25Mbps and 6.7Mbps for downlink and uplink, respectively. These peak data rate are
achieved when using 64 QAM moduration with rate 5/6 err-correcting coding. Under viry good
signal condition, even higher data rate may be achieved using multiple antennas and spatial
multiplexing.
1.4.3 Scalable bandwidth and rate support
WiMAX has a scalable physical layer architecture that allows for the date rate to scal easily
with available channel bandwidth. This scalability is supported in the OFDMA mode, where the
FFT(fast fourier transform) size may be scaled based on the available bandwidth. For example, a
WiMAX system may use 128-, 512-, 1,024bit FFTs based on whether the channel bandwidth is
1.25MHz, 5MHz, 10MHz, respectively. This scaling may be done dynamically to support user
roaming across different network that may have different bandwidth allocations.
1.4.4 Adaptive modulation and coding (AMC)
WiMAX supports a number of modulation and forward effort correction (FEC) coding
schemes and allows the schemes to change on per user and per frame bisis, based on the
channel conditions. AMC is an effective mechanism to maximize the throughput in a
time-varying channel. The additive algorithm typically calls for the use of the highest
modulation and coding scheme that can be supported by the signal-to-nosie and inteference
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ratio at the receiver such that each user is provided with the highest data rate that can be
suppotted in their respective links.
1.4.5 Link-layer retransmissions
For connections that require henced reliability, WiMAX supports automatic

retransmission requests (ARQ) at the link layer. ARQ-enabled connections require each
transmitted packet to be acknowleged by the receiver; unacknoeleged packets are assumed
to be lost and are retransmitted. WiMAX also optionally support hybrid-ARQ(HARQ),
which is an effective hybrid between ARQ and FEC.
1.4.6 Support for TDD and FDD
IEEE 802.16 2004 and IEEE 802.16 2005 both support time division duplexing and
frequency division duplexing as well as a half duplex FDD, which allows a low-cost system
implementation. TDD is favored by a majority of implementions because of its advantages:
(1) flexibility to choose downlink-to-uplink date rate rato.
(2) ability to exploit channel reciprocity.
(3) ability to implement nonpaired spectrum and less complex transceiver design.
1.4.7 Orthogonal frequency division multiple access (OFDMA)
Mobile WiMAX use OFDM as a multi-acess technique, whereby different users can be
allocated different subsets of the OFDM tones. OFDMA facilitates the exploitation of
frequency diversity and multiuser divisity to significantly improve the system capcity.
1.4.8 Flexible and dynamic per user resource allocation
Both uplink and downlink resource allocation are controlled by a scheduler in the base
station. Capicity is shared among multiple users on a demand basis, using a burst TDM
scheme. When using the OFDMA-PHY mode, multiplexing is additionally done in the
frequency dimension, by allocating different subsets of OFDM subcarriers to different users.
Resources may be allocated in the spatial domain as well when using the optional advanced
antenna system (AAS). The standard allows for bandwidth resources to be allocated in time,
frequency, and space and has a flexible mechanism to convey the resource allocation
information on a frame-by-frame basis.
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1.4.9 Support for advanced antenna techniques
The WiMAX solution has a number of hooks built into the physicl-layer design, which
allows for the use of multiple-antenna techniques, such as beamforming, space-time coding,
and spatial multiplexing. These shemes can be used to improve the overall system capacity
and spectral efficiency by deploying mulitiple anttenas at the transmitter and/or receiver
side.
1.4.10 Qulity of service support
The WiMAX MAC layer has a connection-oriented architechtrue that is design to

support a variety of applications, including voice and multimedia services. The system
offers support for constant bit rate, real-time, and non-real-time time traffic flows, in
addition best-effort data traffic. WiMAX MAC is designed to support a large number of
users, with multiple connections per terminal, each with its own Qos requirement.
1.4.11 Robust security
WiMAX support strong encryption, using Advanced Encryption Starded (AES), and
has a robust privacy and key-management protocol. The system also offers a very flexible
authentication architecture based on Extensible Authentication Protocol (EAP), which
allows for a variety of user credentials, including username/password, digital certificates,
and smart cards.
1.4.12 Support for mobility
The mobile WiMAX variant of the system has mechanisms to support secure seamless
handovers for deley-tolerant full-mobility applications, such as VoIP. The system also has
built-in support for power-saving mechanisms that extend the battery life of handheld
subscriber devices. Physical-layer enhancements, such as more frequent channel estimation,
uplink subchannelization, and power control, are also specified in support of moble
applications.
1.4.13 IP-based architecture
The WiMAX Forum has defined a reference network architecture that is based on an all-IP
platform. All end to end services are delivered over an IP architecture relying on IP-based
protocols for end-to-end transport, Qos, session management, security, and mobility. Reliance on
IP allows WiMAX to ride the declining costcurves of IP processing, facilitate easy convergence
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with other networks, and exploit the rich ecosystem for application development that exsits for
IP.
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Section2 OFDM
 Knowledge
 OFDM System Basics-------------------------------------------------------------Level 1 2
 OFDM Orthogonality -------------------------------------------------------------Level 1 2
 Overcome ISI-----------------------------------------------------------------------Level 1 2
 Overcome ICI----------------------------------------------------------------------Level 1 2
2.1 OFDM System Description

 OFDM = Orthogonal Frequency Division Multiplexing (Figure 3.1).
 OFDM converts a high rate broadband signal into many parallel low rate
narrowband signals.
 Low rate signals have large symbol periods, which make OFDM signal
resistant to multipath delay spread.
 OFDM uses a Fast Fourier Transform (FFT) to allow overlap in frequency
of individual narrowband signals.
 More efficient than conventional multi-carrier.
Figure 3.1 OFDM description in both time and frequency division
OFDM is a multi carrier transmission scheme where the information is

transmitted on multiple subcarriers, with a lower data rate, instead of one high
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data rate carrier (Figure 3.2) and moreover, the subcarriers are orthogonal to
each other, leading to saving of bandwidth (Figure 3.3).
Figure 3.2 Three orthogonal subcarriers shown separately (in practice a

sum of 3 is transmitted)
Figure 3.3 Comparing of FDMA and OFDM
The major disadvantage of an OFDM system is its requirement of perfect

synchronization in time and frequency. But the advantages of using OFDM are
far more and provide enough reasons for the popularity of the OFDM systems.
A typical channel fade will degrade only a few of the subcarriers, which in most
cases can be compensated by use of efficient interleaving and channel coding.
OFDM systems can be implemented very efficiently by using the Inverse Fast
Fourier transform (IFFT) at the transmitter and Fast Fourier transform (FFT) at
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the receiver. The overall complexity and its increase with data rate in OFDM
systems is far less than the single carrier systems, hence OFDM is becoming a
widely accepted technology and more prominent to be used in future mobile
wireless communication standards.
2.2 OFDM Orthogonality

For successful operation of OFDM system, it is required that the
subcarriers should never loose orthogonality between each other at any time.
The advantage of an OFDM system is lost when the subcarriers are no longer
orthogonal to each other. This puts forward quite stringent requirements to be
fulfilled by the transmitter and the receiver.
T
1
 sin 2ft  sin2 (2f)t  dt
0
 0 where T =
f
Ideally, to maintain orthogonality we need that the symbol duration be

exactly inverse of the subcarrier spacing and the FFT be considered over
symbol duration such that it covers integer number of cycles. Moreover, the
consecutive subcarriers differ by 1 full cycle only (Figure 3.1). If the system is
to operate in a multipath environment, then each subcarrier should experience a
flat fading, hence the subcarrier spacing should be less than the coherence
bandwidth and each symbol should experience a time-invariant channel, hence
the symbol time should be less than the coherence time else the complexity of
receiver increases when overcoming the fading effect.
2.3 How to Overcome Inter Symbol Interference (ISI)

A guide time is added.
Reduction of inter symbol interference, which would require bulky

equalizer to be constructed at the receiver in a single carrier system, is
overcome by the use of guard time in an OFDM system. A guard time is added
in time domain between two OFDM symbols and the FFT is considered over
duration such that there is no component from the previous or next symbol,
(Figure 3.3) which nulls the ISI and thus avoiding the bulky equalizer. ISI is
‘completely eliminated’ when the multipath signal delay is within the guard
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time. When designing an OFDM system proper values are selected depending
on the environment so as to satisfy the above condition.
Figure 3.4 subcarriers and multipath component shown separately, in

practice the signal is a sum of all subcarriers
2.4 How to Overcome Inter Carrier Interference (ICI)

Cyclic prefix is fiiled.
Multi carrier systems have the problem of inter carrier interference (ICI),
which results from loss of orthogonality between the subcarriers. This happens
when the FFT is considered over duration where the subcarrier is not present
(non-integer number of cycles), which would be the case when multipath is
present and the guard time has amplitude zero. This is reduced by use of cyclic
prefix, where we transmit a copy the last part of the symbol followed by the
symbol itself. This ensures orthogonality over the FFT period in case of delayed
multipath (Figure 3.3 and Figure3.4).
Figure 3.5 Cyclic prefix
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Section3 OFDMA
 Knowledge
 OFDMA Basics -----------------------------------------------------------------Level 1 2
 OFDMA Symbol Stucture-----------------------------------------------------Level 1 2
 Scalable OFDMA---------------------------------------------------------------Level 1 2
 TDD Frame Structure----------------------------------------------------------Level 1 2
 Advanced PHY Features------------------------------------------------------Level 1 2
 Difference between OFDMA and OFDM-----------------------------------Level 1 2
3.1 OFDMA Basics

 OFDMA = Orthogonal Frequency Division Multiple Access
 In Scalable OFDMA, subcarrier spacing is independent of bandwidth
 FFT size is scaled with bandwidth
 Subchannel size is fixed and independent of bandwidth and other modes of
operation
 The number of subchannels scales with FFT size rather than with the
capacity of subchannels
OFDM exploits the frequency diversity of the multipath channel by coding

and interleaving the information across the sub-carriers prior to transmissions.
OFDM modulation can be realized with efficient Inverse Fast Fourier
Transform (IFFT), which enables a large number of sub-carriers (up to 2048)
with low complexity. In an OFDM system, resources are available in the time
domain by means of OFDM symbols and in the frequency domain by means of
sub-carriers. The time and frequency resources can be organized into
sub-channels for allocation to individual users. Orthogonal Frequency Division
Multiple Access (OFDMA) is a multiple-access/multiplexing scheme that
provides multiplexing operation of data streams from multiple users onto the
downlink sub-channels and uplink multiple access by means of uplink
sub-channels (Figure 4.1).
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Figure 4.1 Basic Architeture of OFDMA system
3.2 OFDMA Symbol Structure and Sub-Channelization
The OFDMA symbol structure consists of three types of sub-carriers (Figure

4.2).
 Data sub-carriers for data transmission
 Pilot sub-carriers for estimation and synchronization purposes
 Null sub-carriers for no transmission; used for guard bands and DC carriers
Figure 4.2 OFDMA Sub-carrier Structure
Active (data and pilot) sub-carriers are grouped into subsets of sub-carriers
called subchannels.The WiMAX OFDMA PHY supports sub-channelization in both
DL and UL. The minimum frequency-time resource unit of sub-channelization is
one slot, which is equal to 48 data tones (sub-carriers).
There are two types of sub-carrier permutations for sub-channelization;
diversity and contiguous. The diversity permutation draws sub-carriers
pseudo-randomly to form a sub-channel. It provides frequency diversity and
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inter-cell interference averaging. The diversity permutations include DL FUSC
(Fully Used Sub-Carrier), DL PUSC (Partially Used Sub-Carrier) and UL PUSC
and additional optional permutations. With DL PUSC, for each pair of OFDM
symbols, the available or usable sub-carriers are grouped into clusters containing 14
contiguous sub-carriers per symbol, with pilot and data allocations in each cluster in
the even and odd symbols (Figure 4.3).
Figure 4.3 DL Frequency Diverse Sub-Channel
A re-arranging scheme is used to form groups of clusters such that each group is made
up of clusters that are distributed throughout the sub-carrier space. A sub-channel in a group
contains two (2) clusters and is comprised of 48 data sub-carriers and eight (8) pilot
subcarriers. Analogous to the cluster structure for DL, a tile structure is defined for the UL
PUSC (Figure 4.4).
Figure 4.4 Tile Structure for UL PUSC
The available sub-carrier space is split into tiles and six (6) tiles, chosen from across
the entire spectrum by means of a re-arranging/permutation scheme, are grouped together to
form a slot. The slot is comprised of 48 data sub-carriers and 24 pilot sub-carriers in 3
OFDM symbols.
The contiguous permutation groups a block of contiguous sub-carriers to form a

subchannel.The contiguous permutations include DL AMC and UL AMC, and have the
same structure. A bin consists of 9 contiguous sub-carriers in a symbol, with 8 assigned for
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data and one assigned for a pilot. A slot in AMC is defined as a collection of bins of the type
(N x M = 6), where N is the number of contiguous bins and M is the number of contiguous
symbols. Thus the allowed combinations are [(6 bins, 1 symbol), (3 bins, 2 symbols), (2 bins,
3 symbols), (1 bin, 6 symbols)]. AMC permutation enables multi-user diversity by choosing
the sub-channel with the best frequency response.
In general, diversity sub-carrier permutations perform well in mobile applications

while contiguous sub-carrier permutations are well suited for fixed, portable, or low
mobility environments. These options enable the system designer to trade-off mobility for
throughput.
3.3 Scalable OFDMA
The IEEE 802.16e Wireless MAN OFDMA mode is based on the concept of scalable
OFDMA (S-OFDMA). S-OFDMA supports a wide range of bandwidths to flexibly address
the need for various spectrum allocation and usage model requirements. The scalability is
supported by adjusting the FFT size while fixing the sub-carrier frequency spacing at 10.94
kHz. Since the resource unit sub-carrier bandwidth and symbol duration is fixed, the impact
to higher layers is minimal when scaling the bandwidth. The SOFDMA parameters are
listed in Table 1. The system bandwidths for the initial planned profiles being developed by
the WiMAX Forum Technical Working Group for Release-1 are 5 and 10 MHz (Table 4.1).
Table 4.1 OFDMA Scalablity Parameters
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3.4 TDD Frame Structure
The 802.16e PHY supports TDD, FDD, and Half-Duplex FDD operation;
however the initial release of Mobile WiMAX certification profiles will only include
TDD. With ongoing releases, FDD profiles will be considered by the WiMAX Forum
to address specific market opportunities where local spectrum regulatory requirements
either prohibit TDD or are more suitable for FDD deployments.
To counter interference issues, TDD does require system-wide synchronization;

nevertheless, TDD is the preferred duplexing mode for the following reasons:
 TDD enables adjustment of the downlink/uplink ratio to efficiently

support asymmetric downlink/uplink traffic, while with FDD, downlink and
uplink always have fixed and generally, equal DL and UL bandwidths.
 TDD assures channel reciprocity for better support of link adaptation,

MIMO and other closed loop advanced antenna technologies.
 Unlike FDD, which requires a pair of channels, TDD only requires a single
channel for both downlink and uplink providing greater flexibility for
adaptation to varied global spectrum allocations.
 Transceiver designs for TDD implementations are less complex and

therefore less expensive.
Figure 4.5 illustrates the OFDM frame structure for a Time Division Duplex
(TDD) implementation. Each frame is divided into DL and UL sub-frames separated
by Transmit/Receive and Receive/Transmit Transition Gaps (TTG and RTG,
respectively) to prevent DL and UL transmission collisions. In a frame, the following
control information is used to ensure optimal system operation:
 Preamble: The preamble, used for synchronization, is the first OFDM

symbol of the frame.
 Frame Control Head (FCH): The FCH follows the preamble. It
provides the frame configuration information such as MAP message
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length and coding scheme andusable sub-channels.
 DL-MAP and UL-MAP: The DL-MAP and UL-MAP provide
sub-channel allocation and other control information for the DL and
UL sub-frames respectively.
 UL Ranging: The UL ranging sub-channel is allocated for mobile
stations (MS) to perform closed-loop time, frequency, and power
adjustment as well as bandwidth requests.
 UL CQICH: The UL CQICH channel is allocated for the MS to
feedback channelstate information.
 UL ACK: The UL ACK is allocated for the MS to feedback DL HARQ
acknowledgement.
Figure 4.5 OFDMA Frame Structure
3.5 Other Advanced PHY Layer Features
Adaptive modulation and coding (AMC), Hybrid Automatic Repeat Request

(HARQ) and Fast Channel Feedback (CQICH) were introduced with Mobile WiMAX
to enhance coverage and capacity for WiMAX in mobile applications.
Support for QPSK, 16QAM and 64QAM are mandatory in the DL with Mobile
WiMAX. In the UL, 64QAM is optional. Both Convolutional Code (CC) and
Convolutional TurboCode (CTC) with variable code rate and repetition coding are
supported. Block Turbo Code and Low Density Parity Check Code (LDPC) are
supported as optional features Table 4.2 summarizes the coding and modulation
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schemes supported in the Mobile WiMAX profile the optional UL codes and
modulation are shown in italics.
Table 4.2 Supported Code and Modulations
The combinations of various modulations and code rates provide a fine resolution
of data rates as shown in Table 3 which shows the data rates for 5 and 10 MHz
channels with PUSC sub-channels. The frame duration is 5 milliseconds. Each frame
has 48 OFDM symbols, with 44 OFDM symbols available for data transmission. The
highlighted values indicate data rates for optional 64QAM in the UL.
Table 4.3Mobile WiMAX PHY Data Rates with PUSC Sub-Channel
The base station scheduler determines the appropriate data rate (or burst profile)
for each burst allocation based on the buffer size, channel propagation conditions at the
receiver, etc. A Channel Quality Indicator (CQI) channel is utilized to provide
channel-state information from the user terminals to the base station scheduler.
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Relevant channel-state information can be fed back by the CQICH including: Physical
CINR, effective CINR, MIMO mode selection and frequency selective sub-channel
selection. With TDD implementations, link adaptation can also take advantage of
channel reciprocity to provide a more accurate measure of the channel condition (such
as sounding). Hybrid Auto Repeat Request (HARQ) is supported by Mobile WiMAX.
HARQ is enabled using N channel “Stop and Wait” protocol which provides fast
response to packet errors and improves cell edge coverage. Chase Combining and
optionally, Incremental Redundancy are supported to further improve the reliability of
the retransmission. A dedicated ACK channel is also provided in the uplink for HARQ
ACK/NACK signaling. Multi-channel HARQ operation is supported. Multi-channel
stop-and-wait ARQ with a small number of channels is an efficient, simple protocol
that minimizes the memory required for HARQ and stalling [8]. WiMAX provides
signaling to allow fully asynchronous operation. The asynchronous operation allows
variable delay between retransmissions which gives more flexibility to the scheduler at
the cost of additional overhead for each retransmission allocation. HARQ combined
together with CQICH and AMC provides robust link adaptation in mobile
environments at vehicular speeds in excess of 120 km/hr.
3.6 Difference between OFDMA and OFDM
IEEE 802.16d (fixed service) uses Orthogonal Frequency Division Multiplexing

(OFDM). IEEE 802.16e (mobile) uses Orthogonal Frequency Division Multiple Access
(OFDMA). So, what’s the difference between the two, and why is there a difference?
(Figure 4.6)
Figure 4.6 Compirement of OFDM and OFDMA

-27-
OFDM allows only one user on the channel at any given time. To
accommodate multiple users, a strictly OFDM system must employ Time Division
Multiple Access (TDMA) (separate time frames) or Frequency Division Multiple
Access (FDMA) (separate channels). Neither of these techniques is time or
frequency efficient: TDMA is a time hog and FDMA is a bandwidth hog.
OFDMA is a multi-user OFDM that allows multiple access on the same

channel (a channel being a group of evenly spaced subcarriers, as discussed
above). WiMAX uses OFDMA, extended OFDM, to accommodate many users in
the same channel at the same time.
-28-
Section4 WiMAX MAC
 Knowledge
 Kinds of Qos ----------------------------------------------------------------Level 1 2
 MAC Scheduling Service--------------------------------------------------Level 1 2
 Mobility Management------------------------------------------------------Level 1 2
 Security-----------------------------------------------------------------------Level 1 2
The 802.16 standard was developed from the outset for the delivery of broadband
services including voice, data, and video. The MAC layer is based on the time-proven
DOCSIS standard and can support bursty data traffic with high peak rate demand while
simultaneously supporting streaming video and latency-sensitive voice traffic over the same
channel. The resource allocated to one terminal by the MAC scheduler can vary from a
single time slot to the entire frame, thus providing a very large dynamic range of throughput
to a specific user terminal at any given time. Furthermore, since the resource allocation
information is conveyed in the MAP messages at the beginning of each frame, the scheduler
can effectively change the resource allocation on a frame-by-frame basis to adapt to the
bursty nature of the traffic.
4.1 Common MAC Concepts

The MAC layer consists of Convergence Sublayer, MAC CPS, and Security Sublayer.
4.1.1 CS Sublayer
CS is a transition sublayer, on which the SAP is used to receive data from external
networks, and then transfer or map the data. This operation involves classifying of
external network SDUs, and assignment of an appropriate MAC-layer SFID and CID
to each classification. It also includes the PSH function.
The CS is used to process the objects of upper-layer data packets (core network PDU)
and upper and lower-layer QoS features.
The CS is used to implement the classifier and PHS functions.
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4.1.2 MAC CPS Sublayer
The CPS sublayer receives data from different CSs through the MAC SAP, and
classifies the data to specific MAC connections. Through QoS scheduling, bandwidth
is allocated, and SDUs are formed into PDUs. In each PUD MAC header, the CID field
is used to identify connection.
The formed PDUs are transferred to the PHY layer through the PHY SAP.
4.1.2.1 MAC-Layer PDU Format
A MAC message consists of a MAC header, MAC data, and CRC.
For OFDMA, CRC is a required part.
Figure 5.1 MAC PDU format
The MAC header takes the format as follows:
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Figure 5.2 MAC header format
4.1.2.2 MAC-Layer Management Message
A MAC-layer management message takes the format as follows:
Figure 5.3 MAC management message format
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MAC-layer management messages are listed in the table below. The applications of
MAC messages are detailed in each optimization topic.
Table 5-1 MAC management messages
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-33-
-34-
4.1.2.3 Composition of Burst and MAC PDU
The MAC-layer messages will be ultimately mapped to the Burst and transferred on the
physical layer, as shown in the figure below.
Burst
MAC Msg 1 MAC Msg n

Pad
（MAC PDU 1）（MAC PDU n）
MAC msg payload CRC

MAC Header
(optional) (optional)
Figure 5.6 Composition of Burst and MAC PDU
4.2 Quality of Service (QoS) Support
With fast air link, symmetric downlink/uplink capacity, fine resource granularity and a
flexible resource allocation mechanism, Mobile WiMAX can meet QoS requirements for a
wide range of data services and applications.
In the Mobile WiMAX MAC layer, QoS is provided via service flows as illustrated in
Figure 5.7. This is a unidirectional flow of packets that is provided with a particular set of
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QoS parameters. Before providing a certain type of data service, the base station and
user-terminal first establish a unidirectional logical link between the peer MACs called a
connection. The outbound MAC then associates packets traversing the MAC interface into a
service flow to be delivered over the connection. The QoS parameters associated with the
service flow define the transmission ordering and scheduling on the air interface.
The connection-oriented QoS therefore, can provide accurate control over the air
interface. Since the air interface is usually the bottleneck, the connection-oriented QoS can
effectively enable the end-to-end QoS control. The service flow parameters can be
dynamically managed through MAC messages to accommodate the dynamic service
demand. The service flow based QoS mechanism applies to both DL and UL to provide
improved QoS in both directions. Mobile WiMAX supports a wide range of data services
and applications with varied QoS requirements. These are summarized (Table 5.2).
Figure 5.7 Mobile WiMAX QoS Support
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Table 5.2 Mobile WiMAX Application and Quality of service
4.3 MAC Scheduling Service
The Mobile WiMAX MAC scheduling service is designed to efficiently deliver

broadband data services including voice, data, and video over time varying broadband
wireless channel. The MAC scheduling service has the following properties that enable
the broadband data service:
 Fast Data Scheduler: The MAC scheduler must efficiently allocate

available resources in response to bursty data traffic and time-varying
channel conditions. Thescheduler is located at each base station to enable
rapid response to traffic requirements and channel conditions. The data
packets are associated to service flows with well defined QoS parameters in
the MAC layer so that the scheduler can correctly determine the packet
transmission ordering over the air interface. The CQICH channel provides
fast channel information feedback to enable the scheduler to choose the
appropriate coding and modulation for each allocation. The adaptive
modulation/coding combined with HARQ provide robust transmission over
the timevarying channel.
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 Scheduling for both DL and UL: The scheduling service is provided for
both DL and UL traffic. In order for the MAC scheduler to make an efficient
resource allocation and provide the desired QoS in the UL, the UL must
feedback accurate and timely information as to the traffic conditions and QoS
requirements. Multiple uplink bandwidth request mechanisms, such as
bandwidth request through ranging channel, piggyback request and polling
are designed to support UL bandwidth requests. The UL service flow defines
the feedback mechanism for each uplink connection to ensure predictable UL
scheduler behavior. Furthermore, with orthogonal UL sub-channels, there is
no intra-cell interference. UL scheduling can allocate resource more
efficiently and better enforce QoS.
 Dynamic Resource Allocation: The MAC supports frequency-time resource
allocation in both DL and UL on a per-frame basis. The resource allocation is
delivered in MAP messages at the beginning of each frame. Therefore, the
resource allocation can be changed on frame-by-frame in response to traffic
and channel conditions. Additionally, the amount of resource in each
allocation can range from one slot to the entire frame. The fast and fine
granular resource allocation allows superior QoS for data traffic.
 QoS Oriented: The MAC scheduler handles data transport on a
connection-byconnection basis. Each connection is associated with a single
data service with a set of QoS parameters that quantify the aspects of its
behavior. With the ability to dynamically allocate resources in both DL and
UL, the scheduler can provide superior QoS for both DL and UL traffic.
Particularly with uplink scheduling – the uplink resource is more efficiently
allocated, performance is more predictable, and QoS is better enforced.
 Frequency Selective Scheduling: The scheduler can operate on different
types of sub-channels. For frequency-diverse sub-channels such as PUSC
permutation, where sub-carriers in the sub-channels are pseudo-randomly
distributed across the bandwidth, sub-channels are of similar quality.
Frequency-diversity scheduling can support a QoS with fine granularity and
flexible time-frequency resource scheduling. With contiguous permutation
such as AMC permutation, the sub-channels may experience different
attenuation. The frequency-selective scheduling can allocate mobile users to
their corresponding strongest sub-channels. The frequency-selective
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scheduling can enhance system capacity with a moderate increase in CQI
overhead in the UL.
4.4 Mobility Management
Battery life and handoff are two critical issues for mobile applications. Mobile
WiMAX supports Sleep Mode and Idle Mode to enable power-efficient MS operation.
Mobile WiMAX also supports seamless handoff to enable the MS to switch from one
base station to another at vehicular speeds without interrupting the connection.
4.4.1 Power Management
Mobile WiMAX supports two modes for power efficient operation – Sleep Mode
and Idle Mode. Sleep Mode is a state in which the MS conducts pre-negotiated periods
of absence from the Serving Base Station air interface. These periods are characterized
by the unavailability of the MS, as observed from the Serving Base Station, to DL or
UL traffic. Sleep Mode is intended to minimize MS power usage and minimize the
usage of the Serving Base Station air interface resources. The Sleep Mode also
provides flexibility for the MS to scan other base stations to collect information to
assist handoff during the Sleep Mode. Idle Mode provides a mechanism for the MS to
become periodically available for DL broadcast traffic messaging without registration
at a specific base station as the MS traverses an air link environment populated by
multiple base stations. Idle Mode benefits the MS by removing the requirement for
handoff and other normal operations and benefits the network and base station by
eliminating air interface and network handoff traffic from essentially inactive MSs
while still providing a simple and timely method (paging) for alerting the MS about
pending DL traffic.
4.4.2 Handoff
There are three handoff methods supported within the 802.16e standard – Hard
Handoff (HHO), Fast Base Station Switching (FBSS) and Macro Diversity Handover
(MDHO). Of these, the HHO is mandatory while FBSS and MDHO are two optional
modes. The WiMAX Forum has developed several techniques for optimizing hard
-39-
handoff within the framework of the 802.16e standard. These improvements have been
developed with the goal of keeping Layer 2 handoff delays to less than 50 milliseconds.
When FBSS is supported, the MS and BS maintain a list of BSs that are involved
in FBSS with the MS. This set is called an Active Set. In FBSS, the MS continuously
monitors the base stations in the Active Set. Among the BSs in the Active Set, an
Anchor BS is defined. When operating in FBSS, the MS only communicates with the
Anchor BS for uplink and downlink messages including management and traffic
connections.
Transition from one Anchor BS to another (i.e. BS switching) is performed

without invocation of explicit HO signaling messages. Anchor update procedures are
enabled by communicating signal strength of the serving BS via the CQI channel. A
FBSS handover begins with a decision by an MS to receive or transmit data from the
Anchor BS that may change within the active set. The MS scans the neighbor BSs and
selects those that are suitable to be included in the active set. The MS reports the
selected BSs and the active set update procedure is performed by the BS and MS. The
MS continuously monitors the signal strength of the BSs that are in the active set and
selects one BS from the set to be the Anchor BS. The MS reports the selected Anchor
BS on CQICH or MS initiated HO request message. An important requirement of
FBSS is that the data is simultaneously transmitted to all members of an active set of
BSs that are able to serve the MS.
For MSs and BSs that support MDHO, the MS and BS maintain an active set of
BSs that are involved in MDHO with the MS. Among the BSs in the active set, an
Anchor BS is defined. The regular mode of operation refers to a particular case of
MDHO with the active set consisting of a single BS. When operating in MDHO, the
MS communicates with all BSs in the active set of uplink and downlink unicast
messages and traffic. A MDHO begins when a MS decides to transmit or receive
unicast messages and traffic from multiple BSs in the same time interval. For downlink
MDHO, two or more BSs provide synchronized transmission of MS downlink data
such that diversity combining is performed at the MS. For uplink MDHO, the
transmission from a MS is received by multiple BSs where selection diversity of the
information received is performed.
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4.5 Security
Mobile WiMAX supports best in class security features by adopting the best
technologies available today. Support exists for mutual device/user authentication,
flexible key management protocol, strong traffic encryption, control and management
plane message protection and security protocol optimizations for fast handovers.The
usage aspects of the security features are:
 Key Management Protocol: Privacy and Key Management Protocol Version

2 (PKMv2) is the basis of Mobile WiMAX security as defined in 802.16e.
This protocol manages the MAC security using PKM-REQ/RSP messages.
PKM EAP authentication, Traffic Encryption Control, Handover Key
Exchange and Multicast/Broadcast security messages all are based on this
protocol.
 Device/User Authentication: Mobile WiMAX supports Device and User
Authentication using IETF EAP protocol by providing support for credentials
that are SIM-based, USIM-based or Digital Certificate or
UserName/Password-based. Corresponding EAP-SIM, EAP-AKA, EAP-TLS
or EAP-MSCHAPv2 authentication methods are supported through the EAP
protocol. Key deriving methods are the only EAP methods supported.
 Traffic Encryption: AES-CCM is the cipher used for protecting all the user
data over the Mobile WiMAX MAC interface. The keys used for driving the
cipher are generated from the EAP authentication. A Traffic Encryption State
machine that has a periodic key (TEK) refresh mechanism enables sustained
transition of keys to further improve protection.
 Control Message Protection: Control data is protected using AES based
CMAC, or MD5-based HMAC schemes.
 Fast Handover Support: A 3-way Handshake scheme is supported by
Mobile WiMAX to optimize the re-authentication mechanisms for supporting
fast handovers. This mechanism is also useful to prevent any
man-in-the-middle-attacks.
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Section5 WiMAX Advanced Features
 Knowledge
 AntennaTechnolegies Basics-------------------------------------------------Level 1 2
 FFR-------------------------------------------------------------------------------Level 1 2
 MBS------------------------------------------------------------------------------Level 1 2
5.1 Smart Antenna Technologies
Smart antenna technologies typically involve complex vector or matrix operations

on signals due to multiple antennas. OFDMA allows smart antenna operations to be
performed on vector-flat sub-carriers. Complex equalizers are not required to
compensate for frequency selective fading. OFDMA therefore, is very well-suited to
support smart antenna technologies. In fact, MIMO-OFDM/OFDMA is envisioned as
the corner-stone for next generation broadband communication systems. Mobile
WiMAX supports a full range of smart antenna technologies to enhance system
performance. The smart antenna technologies supported include:
 Beamforming: With beamforming, the system uses multiple-antennas to

transmit weighted signals to improve coverage and capacity of the system
and reduce outage probability.
 Space-Time Code (STC): Transmit diversity such as Alamouti code is
supported to provide spatial diversity and reduce fade margin.
 Spatial Multiplexing (SM): Spatial multiplexing is supported to take
advantage of higher peak rates and increased throughput. With spatial
multiplexing, multiple streams are transmitted over multiple antennas. If the
receiver also has multiple antennas, it can separate the different streams to
achieve higher throughput compared to single antenna systems. With 2x2
MIMO, SM increases the peak data rate two-fold by transmitting two data
streams. In UL, each user has only one transmit antenna, two users can
transmit collaboratively in the same slot as if two streams are spatially
multiplexed from two antennas of the same user. This is called UL
collaborative SM.
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The supported features in the Mobile WiMAX performance profile are listed in
the following table 6.1.
Table 6.1 Advanced Antenna Options
Mobile WiMAX supports adiptive switching between these options to

maximize the benefit of smart antenna technologies under different channel
conditions. For instance, SM improves peak throughput. However, when channel
conditions are poor, the Packet Error Rate (PER) can be high and thus the
coverage area where target PER is met may be limited. STC on the other hand
provides large coverage regardless of the channel condition but does not improve
the peak data rate. Mobile WiMAX supports adaptive switching between multiple
MIMO modes to maximize spectral efficiency with no reduction in coverage area.
Figure 6.1 shows the architecture for supporting the smart antenna features.
The following table provides a summary of the theoretical peak data rates for
various DL/UL ratios assuming a 10 MHz channel bandwidth, 5 ms frame
duration with 44 OFDM data symbols (out of 48 total OFDM symbols) and PUSC
subchannelization. With 2x2 MIMO, the DL user and sector peak data rate are
doubled. The maximum DL peak data rate is 63.36 Mbps when all the data
symbols are dedicated to DL.
With UL collaborative SM, the UL sector peak data rate is doubled while the
user peak data rate is unchanged. The UL user peak data rate and sector peak data
rate are 14.11 Mbps and 28.22 Mbps respectively when all the data symbols are
dedicated to UL. By applying different DL/UL ratio, the bandwidth can by
adjusted between DL and UL to accommodate different traffic pattern. It should
be noted that the extreme cases such as all DL and all UL partition are rarely used.
WiMAX profile supports DL/UL ratio ranging from 3:1 to 1:1 to accommodate
different traffic profiles. The resulting peak data rates that will typically be
-43-
encountered are in between the two extreme cases.
Table 6.2 Data Rates for SIMO/MIMO Configurations

(For 10 MHz channel, 5 ms frame, PUSC sub-channel, 44 data OFDM
symbols)
Figure 6.1 Adaptive Switching for Smart Antennas
5.2 Fractional Frequency Reuse
Mobile WiMAX supports frequency reuse of one, i.e. all cells/sectors operate
on the same frequency channel to maximize spectral efficiency. However, due to
heavy cochannel interference (CCI) in frequency reuse one deployment, users at
the cell edge may suffer degradation in connection quality. With Mobile WiMAX,
users operate on subchannels, which only occupy a small fraction of the whole
channel bandwidth; the cell edge interference problem can be easily addressed by
appropriately configuring subchannel usage without resorting to traditional
frequency planning.
-44-
In Mobile WiMAX, the flexible sub-channel reuse is facilitated by
sub-channel segmentation and permutation zone. A segment is a subdivision of the
available OFDMA sub-channels (one segment may include all sub-channels). One
segment is used for deploying a single instance of MAC.
Permutation Zone is a number of contiguous OFDMA symbols in DL or UL

that use the same permutation. The DL or UL sub-frame may contain more than
one permutation zone as shown in the following figure 6.2.
Figure 6.2 Multi-Zone Frame Structure
The sub-channel reuse pattern can be configured so that users close to the
base station operate on the zone with all sub-channels available. While for the
edge users, each cell or sector operates on the zone with a fraction of all
sub-channels available. In Figure 6.3, F1, F2, and F3 represent different sets of
sub-channels in the same frequency channel. With this configuration, the full load
frequency reuse one is maintained for center users to maximize spectral efficiency
and fractional frequency reuse is implemented for edge users to assure edge-user
connection quality and throughput. The sub-channel reuse planning can be
dynamically optimized across sectors or cells based on network load and
interference conditions on a frame by frame basis. All the cells and sectors
therefore, can operate on the same frequency channel without the need for
frequency planning.
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Figure 6.3 Fractional Frequency Reuse
5.3 Multicast and Broadcast Service (MBS)

Multicast and Broadcast Service (MBS) supported by Mobile WiMAX combines the
best features of DVB-H, MediaFLO and 3GPP E-UTRA and satisfies the following
requirements:
　 High data rate and coverage using a Single Frequency Network (SFN)
　 Flexible allocation of radio resources
　 Low MS power consumption
　 Support of data-casting in addition to audio and video streams
　 Low channel switching time
The Mobile WiMAX Release-1 profile defines a toolbox for initial MBS service
delivery. The MBS service can be supported by either constructing a separate MBS zone in
the DL frame along with unicast service (embedded MBS) or the whole frame can be
dedicated to MBS (DL only) for standalone broadcast service. Figure 6.4 shows the DL/UL
zone construction when a mix of unicast and broadcast service are supported. The MBS
zone supports multi-BS MBS mode using Single Frequency Network (SFN) operation and
flexible duration of MBS zones permits scalable assignment of radio resources to MBS
traffic. It may be noted that multiple MBS zones are also feasible. There is one MBS zone
MAP IE descriptor per MBS zone. The MS accesses the DL MAP to initially identify MBS
zones and locations of the associated MBS MAPs in each zone. The MS can then
-46-
subsequently read the MBS MAPs without reference to DL MAP unless synchronization to
MBS MAP is lost. The MBS MAP IE specifies MBS zone PHY configuration and defines
the location of each MBS zone via the OFDMA Symbol Offset parameter. The MBS MAP is
located at the 1st sub-channel of the 1st OFDM symbol of the associated MBS zone. The
multi-BS MBS does not require the MS be registered to any base station. MBS can be
accessed when MS in Idle mode to allow low MS power consumption. The flexibility of
Mobile WiMAX to support integrated MBS and uni-cast services enables a broader range of
applications.
Figure 6.4 Embedded MBS Support with Mobile WiMAX – MBS Zones
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Section6 WiMAX Network Architecture
 Knowledge
 Network Architecture -------------------------------------------------------------Level 1 2
6.1 WiMAX Network Architecture
The IEEE 802.16e-2005 standard provides the air interface for WiMAX but does
not define the full end-to-end WiMAX network. The WiMAX Forum's Network
Working Group (NWG), is responsible for developing the end-to-end network
requirements, architecture, and protocols for WiMAX, using IEEE 802.16e-2005 as the
air interface.
The WiMAX NWG has developed a network reference model to serve as an

architecture framework for WiMAX deployments and to ensure interoperability among
various WiMAX equipment and operators.
The network reference model envisions a unified network architecture for

supporting fixed, nomadic, and mobile deployments and is based on an IP service model.
Below is simplified illustration of an IP-based WiMAX network architecture. The
overall network may be logically divided into three parts:
1. Mobile Stations (MS) used by the end user to access the network.
2. The access service network (ASN), which comprises one or more base stations
and one or more ASN gateways that form the radio access network at the edge.
3. Connectivity service network (CSN), which provides IP connectivity and all
the IP core network functions.
The network reference model developed by the WiMAX Forum NWG defines a
number of functional entities and interfaces between those entities. Fig below shows
some of the more important functional entities.
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 Base station (BS): The BS is responsible for providing the air interface to the MS.
Additional functions that may be part of the BS are micromobility management
functions, such as handoff triggering and tunnel establishment, radio resource
management, QoS policy enforcement, traffic classification, DHCP (Dynamic
Host Control Protocol) proxy, key management, session management, and
multicast group management.
 Access service network gateway (ASN-GW): The ASN gateway typically acts
as a layer 2 traffic aggregation point within an ASN. Additional functions that may
be part of the ASN gateway include intra-ASN location management and paging,
radio resource management and admission control, caching of subscriber profiles
and encryption keys, AAA client functionality, establishment and management of
mobility tunnel with base stations, QoS and policy enforcement, foreign agent
functionality for mobile IP, and routing to the selected CSN.
 Connectivity service network (CSN): The CSN provides connectivity to the

Internet, ASP, other public networks, and corporate networks. The CSN is owned
by the NSP and includes AAA servers that support authentication for the devices,
users, and specific services. The CSN also provides per user policy management
of QoS and security. The CSN is also responsible for IP address management,
support for roaming between different NSPs, location management between ASNs,
and mobility and roaming between ASNs.
The WiMAX architecture framework allows for the flexible decomposition and/or
combination of functional entities when building the physical entities. For example, the
ASN may be decomposed into base station transceivers (BST), base station controllers
-49-
(BSC), and an ASNGW analogous to the GSM model of BTS, BSC, and Serving
GPRS Support Node (SGSN).
-50-
Section7 WiMAX Channel Estimation
 Knowledge
 Introduction -----------------------------------------------------------------------Level 1 2
 Uplink Transmittion--------------------------------------------------------------Level 1 2
 Channel Estimation_Transmitter------------------------------------------------Level 1 2
 Channel Estimation_Channel----------------------------------------------------Level 1 2
 Channel Estimation_Reciever----------------------------------------------------Level 1 2
7.1 Introduction
A general communication system consists of two blocks, a transmitter and

receiver, connected by a channel. The information transmitted by the transmitter passes
through the channel and then reaches the receiver. If the channel does not distort the
transmitted signal, then the receiver can retrieve the transmitted information
successfully, but in practice the channel alters the transmitted information making the
task difficult for the receiver. The main aim of the designer is to reduce the number of
errors made at the receiver. To achieve this, information is required at the receiver, as
to how the channel alters the information, so that the channel impairments can be
mitigated.
When the user is mobile, the channel characteristics do not remain constant for a
very long time. Hence the channel parameters need to be tracked, so that the effect can
be mitigated and reconstruct the transmitted data. This part deals with the requirements
of Channel estimation at the Base station (BS) for an 802.16e uplink. Symbol time has
an effect on system performance depending on the channel conditions. Different
symbol times are proposed in and each one has been simulated and compared for
various channel condition. In addition a solution proposed by Intel coop. has also been
analyzed. It is concluded that the performance of the system, for few proposed symbol
times, is relatively good in all conditions.
-51-
7.2 Channel Estimation
The Block diagram (Figure 7.5) represents the whole system model or the signal
chain at base band. The block system is divided into 3 main sections namely the
transmitter, receiver and the channel. The model has been tested with and without the
channel coding (part in doted box representing the channel coding and decoding). The
bit error rate (BER) plots have been obtained for at least 2000 errors to get a good
confidence limit.
7.2.1 Transmitter
Data Generation: The data is generated from a random source, consists of a

series of ones and zeros. Since the transmission is done block wise, when forward error
correction (FEC) is used, the size of the data generated depends on the block size used,
modulation scheme used to map the bits to symbols (QPSK, 16QAM), and whether
FEC is used or not [1]. The generated data is passed on to the next stage, either to the
FEC block or directly to the symbol mapping if FEC is not used.
Forward error correction: In case error correcting codes are used, the data
generated is randomized so as to avoid long run of zeros or ones, the result is ease in
carrier recovery at the receiver. The randomized data is encoded using tail biting
convolutional codes (CC) with a coding rate of ½ (puncturing of codes is provided in
the standard, but not simulated here). Finally interleaving is done by two stage
permutation, first to avoid mapping of adjacent coded bits on adjacent subcarriers and
the second permutation insures that adjacent coded bits are mapped alternately onto
less or more significant bits of the constellation, thus avoiding long runs of lowly
reliable bits.
Symbol mapping: The coded bits (uncoded, if FEC not used) are then mapped to
form symbols. Modulation scheme used is QPSK or 16QAM (QPSK unless otherwise
specified) with gray coding in the constellation map. In any case the symbol is
normalized so that the average power is unity, irrespective of the modulation scheme
used.
Subcarrier allocation: The subcarrier allocation is mentioned in the section 1.2

(Uplink transmission). This separates data into set of 4 subcarriers for 3 time symbols,
-52-
named as the tile structure. Symbols are allocated indices representing the subcarriers
and OFDM time symbol, and then passed onto the next stage, the IFFT, to convert into
time domain.
IFFT and cyclic prefix: An ‘N’ point inverse discrete fourier transform (IDFT)
of ‘X(k)’is defined as
N 1 2n
1
 X ( k )e
j
N
X(n) = for n = 1, 2, … N-1. ----------------------eq. 7.1
N n 0
From the equation we can infer that this is equivalent to generation of OFDM
symbol. An efficient way of implementing IDFT is by inverse fast fourier transform
(IFFT). Hence IFFT is used in generation of OFDM symbol. The addition of cyclic
prefix is done on the time domain symbol obtained after IFFT. The IFFT size (‘N’
value) is considered as 2048 in simulations. This data is fed to the channel which
represents ‘Rayleigh fading channel model’ and also implements multipath as shown in
block diagram.
7.2.2 Channel
In NLOS wireless communication, the received signal is a combination of many

multipath signals, which are result of reflections from surrounding objects. These
multipaths have different amplitude and phase and may add either constructively or
destructively leading to a complex envelope, i.e. fading. Fading characteristics depend
on the channel parameters (rms delay spread and Doppler spread) and signal
parameters (symbol period and bandwidth). Multipath delay spread leads to time
dispersion and frequency selective fading and Doppler spread leads to frequency
dispersion and time selective fading. Any mobile channel is one of the four mentioned
below.
Based on multipath time delay spread
Flat fading Freq selective fading
BW of Signal < BW of channel [Bs<<Bc] [Bs>>Bc]
-53-
Delay spread < symbol period [Ts>>σ  ] [Ts<<σ  ]
Based on Doppler spread
Fast Fading [Channel changes within symbol period] Slow fading
High Doppler speed low Doppler speed
Coherence time < Symbol period [Tc < Ts] [Tc > Ts]
Where Bs = Bandwidth (BW) of signal
Bc = Bandwidth (BW) of channel over which the channel is flat or coherence BW
Ts = Symbol period (including guard unless mentioned)
σ  = RMS delay spread (due to multipath)
Γmax = maximum delay spread
Tc = coherence time
A 3 path Rayleigh fading channel has been simulated for a given Doppler
frequency (depending on vehicle speed and carrier frequency) and excess delay spread
(depending on multipath). Each simulated multipath has a Rayleigh distributed
amplitude and uniformly distributed phase. The fading channel has been modeled using
Clarke model and simulated using Smith’s method.
The power spectral density is given by
1
S(f) = k f  f m else = 0. ---------------------------- (eq. 7.2)
1  (f/f m ) 2
where k is a constant.
Two independent Gaussian random sources (‘a’ & ‘b’) are used to generate the
complex Gaussian random variable (‘G = a+jb’). A filter generated by eq. 7.2 is used
-54-
to shape it in the frequency domain. By using an IFFT (‘r (t) = IFFT (S (f).*G)’), we
get an accurate time domain waveform of Doppler fading.
Figure 7.1: Simulated Doppler spectrum
Using Smith’s method, the system generates time samples of the fading channel.
The data is multiplied in time domain with the fading channel output.
Figure 7.2: A typical Rayleigh fading channel
-55-
Figure 7.2 shows simulated Rayleigh fading channel for the speed of 125
KMPH, and frequency of 5.9GHz.
Output = fading * input
j ( t )
r(t) = a(t)e s(t)------------------------------------ (eq. 7.3)
s(t) is the transmitted signal
a(t) is the amplitude of the fading channel (Rayleigh distributed)
φ(t) is the phase of the fading channel (uniformly distributed)
According to the standard the maximum supported speed of mobile is 125 KMPH
and the operating frequency range is between 2 – 6 GHz. The system has been
simulated for speeds 30, 80, 125 KMPH and frequency band of 3 GHz and 5.9GHz.
Three multipaths were simulated with uniformly distributed phase. For multipath the
amplitude and delay has been chosen as a random parameter, the first path does not
have any excess delay and the amplitude is scaled by a uniformly distributed number in
the range of 0 to 1. The other 2 paths have their amplitude scaled by uniformly
distributed number between 0 to 0.9 and 0 to 0.7. The excess delay is selected as a
uniformly distributed random parameter. Finally additive white Gaussian noise
(AWGN) is added as a last component in the channel.
velocy(m / s ) * frequency( Hz )
Dopplerd_frequency(fd) = --- (eq. 7.4)
speed _ of _ light (m / s )
Coherence_Time(Tc) = 0.423/fd----------------------------------------- (eq. 7.5)
7.2.3 Reciever
The first thing done at receiver (in simulation) is removal of cyclic prefix, thus
eliminating the inter symbol interference (ISI). Data is then passed through the serial to
parallel converter of size 2048 and then fed to the FFT for frequency domain
transformation. The signal was distorted by the channel, to reconstruct the original
signal we need information as to how the channel acted on the transmitted signal so
that we can mitigate its effect. This is called equalization. In an OFDM system, this is
-56-
done by channel estimation and interpolation. As we need at least one tile structure (3
OFDM symbols) to detect the data, storage of 3 OFDM symbols is provided followed
by the subcarrier de mapping. The pilot subcarriers are used for channel estimation and
synchronization at the receiver. In the simulation least squares (LS) estimate has been
used for channel estimation at the pilot subcarriers. If D(t) is the transmitted data
(known if pilot), Y(t) is the received data, and C(t) is the unknown channel response,
then
Y(t) = D(t) * C(t) + N(t)-------------------------------------------------------- (eq. 7.6)
where N(t) represents the AWGN noise.
The channel can be estimated for known data symbols, i.e. pilot subcarriers as,
Y (t )
C(t ) = -- ------------------------------------------------------------------(eq. 7.7)
D(t )
The estimate is simple but is highly affected by SNR or the noise power, as the
assumption made is absence of noise from the receiver power.
This information about channel at pilot subcarriers is interpolated over the whole
tile structure, to recover the data on each data subcarrier (Figure 7.1). Separate one
dimensional linear interpolation has been done for values between two subcarriers (the
result: straight line), hence the performance is not effected much for various one
dimensional interpolation algorithms.
Since we do linear interpolation the channel is assumed to be changing linearly

with in the tile, this assumption might not be true depending on the symbol time. This
generates a noise floor at the receiver (Errors are generated due to addition of AWGN
noise and due to this approximation of fading channel as a linearly varying channel.
Beyond a certain value of SNR, the BER is nearly constant for any further increase in
SNR.). For larger symbol time, as will be seen in simulations, this noise floor is
reached at lower SNR, hence results in poor performance.
-57-
Figure 7.3 The Block Diagram
-58-
Section8 WiMAX Major Benefits
 Knowledge
 WiMAX Major Benefits-------------------------------------------------Level 1 2
8.1 WiMAX Major Benefits
8.1.1 Benefits to Component Makers
WiMAX creates a volume opportunity for component suppliers.
8.1.2 Benefits to Equipment Makers
Innovate more rapidly because there is a standards-based, stable platform upon which to
rapidly add new capabilities.No longer needs to develop every piece of the end-to-end
solution.
8.1.3 Benefits to Operators
A common platform which drives down the cost of equipment and accelerates price
performance rate improvements unachievable with proprietary approaches.
Generate revenue by filling broadband access gaps.Quickly provision T1 / E1 level and
"on demand" high margin broadband services.
Reduce the dollar risk associated with deployment as equipment will be less expensive
due to economies of scale.
No longer be locked into a single vendor since base stations will interoperate with
multiple vendors' CPEs.
8.1.4 Benefits to Consumers
More broadband access choices, especially in areas where there are gaps: worldwide
urban centers where building access is difficult; in suburban areas where the subscriber is too
far from the central office; and in rural and low population density areas where infrastructure
is poor.
More choices for broadband access will create competition which will result in lower
monthly subscription prices.
-59-

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WiMAX Basic Theories

Date Author Remarks

2008.5 WiMAX P&O Team Chines Version

2009.8 WiMAX P&O Team English Version

Section2 OFDM ........................................................................................................................................... 16

Section3 OFDMA ........................................................................................................................................ 20

Section4 WiMAX MAC .............................................................................................................................. 29

Section5 WiMAX Advanced Features ....................................................................................................... 42

Section6 WiMAX Network Architecture................................................................................................... 48

Section7 WiMAX Channel Estimation...................................................................................................... 51

Section8 WiMAX Major Benefits...............................................................................................................59

 What is WiMAX ------------------------------------------------------------------Level 1 2

 WiMAX Benefits -----------------------------------------------------------------Level 1 2

 Salient Features -------------------------------------------------------------------Level 1 2

1.1 Wireless Introduction

1.1.1 Wireless Network Topologies

There are basically three ways to setup a wireless network.

1.1.2 Wireless Technologies

1.1.3 Kinds of Wireless Networks

Wireless Wide Area Network (WWAN):

Wireless Personal Area Network (WPAN):

1.1.4 Wireless Broadband Access (WBA)

1.2 Related Organization

IEEE802.16 is a broadband radio MAN technology intended to provide a fixed

1.2.2 WiMAX Forum

WiMAX Forum (WMF) is a nonprofit production group founded on April 9, 2001 by

1.3 What is WiMAX

Loosely, WiMax is a standardized wireless version of Ethernet intended primarily as an

More strictly, WiMAX is an industry trade organization formed by leading communications

1.3.1 What is WiMAX

 Acronym for Worldwide Interoperability for Microwave Access

 Based on Wireless MAN technology.

 A scaleable wireless platform for constructing alternative and complementary

 A certification that denotes interoperability of equipment built to the IEEE 802.16 or

 A fixed usage model (IEEE 802.16-2004).

 A portable usage model (IEEE 802.16e).

1.3.2 What is 802.16d

This is targeted to provide a broadband internet connection to indoor users. The SS

1.3.3 What is 802.16e

1.3.4 WiMax Speed and Range

WiMAX is expected to offer initially up to about 40 Mbps capacity per wireless

WiMax will be to provide wireless broadband access to buildings, either in

WiMAX could potentially be deployed in a variety of spectrum bands: 2.3GHz,

 WiMAX can satisfy a variety of access needs. Potential applications include

 WiMAX, which is an IP-based wireless broadband technology, can be integrated

Ultimately, WiMAX is intended to serve as the next step in the evolution of 3G

1.3.6 WiMAX Goals

1.4.1 OFDM-based physical layer

1.4.2 Very High Peak Date Rate

1.4.3 Scalable bandwidth and rate support

1.4.4 Adaptive modulation and coding (AMC)

1.4.5 Link-layer retransmissions

For connections that require henced reliability, WiMAX supports automatic

1.4.6 Support for TDD and FDD

(1) flexibility to choose downlink-to-uplink date rate rato.

(2) ability to exploit channel reciprocity.

1.4.7 Orthogonal frequency division multiple access (OFDMA)

1.4.8 Flexible and dynamic per user resource allocation

1.4.10 Qulity of service support

The WiMAX MAC layer has a connection-oriented architechtrue that is design to

1.4.11 Robust security

1.4.12 Support for mobility

1.4.13 IP-based architecture

 OFDM System Basics-------------------------------------------------------------Level 1 2