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To my wife Shahrnaz and my children Roya and Nima

Mobile WiMAX
A Systems Approach to
Understanding IEEE 802.16m Radio
Access Technology
Sassan Ahmadi
AMSTERDAM BOSTON HEIDELBERG LONDON NEW YORK OXFORD
PARIS SAN DIEGO SAN FRANCISCO SINGAPORE SYDNEY TOKYO
Academic Press is an imprint of Elsevier

Academic Press is an imprint of Elsevier
The Boulevard, Langford Lane, Kidlington, Oxford, OX5 1GB, UK
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First published 2011
Copyright Ó 2011 Elsevier Inc. All rights reserved.
No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical,
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This book and the individual contributions contained in it are protected under copyright by the Publisher (other than as may
be noted herein).
Notices
Knowledge and best practice in this field are constantly changing. As new research and experience broaden our under-
standing, changes in research methods, professional practices, or medical treatment may become necessary.
Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using
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operation of any methods, products, instructions, or ideas contained in the material herein.
British Library Cataloguing in Publication Data
Ahmadi, Sassan.
Mobile WiMAX : a systems approach to understanding the IEEE
802.16m radio access network.
1. IEEE 802.16 (Standard) 2. Wireless communication
systems. 3. Mobile communication systems.
I. Title
621.3’84-dc22
Library of Congress Control Number: 2010935393
ISBN: 978-0-12-374964-2
For information on all Academic Press publications
visit our website at www.elsevierdirect.com
Printed and bound in the United States
10 11 12 11 10 9 8 7 6 5 4 3 2 1

Preface
Wireless communication comprises a wide range of technologies, services, and applications that have
come into existence to meet the particular needs of users in different deployment scenarios. Wireless
systems can be broadly characterized by content and services offered, reliability and performance,
operational frequency bands, standards defining those systems, data rates supported, bi-directional and
uni-directional delivery mechanisms, degree of mobility, regulatory requirements, complexity, and
cost. The number of mobile subscribers has increased dramatically worldwide in the past decade. The
growth in the number of mobile subscribers will be further intensified by the adoption of broadband
mobile access technologies in developing countries such as India and China with large populations. It
is envisioned that potentially the entire world population will have access to broadband mobile
services, depending on economic conditions and favorable cost structures offered by regional network
operators. There are already more mobile devices than fixed-line telephones or fixed computing
platforms, such as desktop computers, that can access the Internet. The number of mobile devices is
expected to continue to grow more rapidly than nomadic and stationary devices. Mobile terminals will
be the most commonly used platforms for accessing and exchanging information. In particular, users
will expect a dynamic, continuing stream of new applications, capabilities, and services that are
ubiquitous and available across a range of devices using a single subscription and a single identity.
Versatile communication systems offering customized and ubiquitous services based on diverse
individual needs require flexibility in the technology in order to satisfy multiple demands simulta-
neously. Wireless multimedia traffic is increasing far more rapidly than voice, and will increasingly
dominate traffic flows. The paradigm shift from predominantly circuit-switched air interface design to
full IP-based delivery has provided the mobile users with the ability to more efficiently, more reliably,
and more securely utilize packet-switched services such as e-mail, file transfers, messaging, browsing,
gaming, voice-over Internet protocol, location-based, multicast, and broadcast services. These services
can be either symmetrical or asymmetrical (in terms of the use of radio resources in the downlink or
uplink) and real-time or non real-time, with different quality of service requirements. The new
applications consume relatively larger bandwidths, resulting in higher data rate requirements.
In defining the framework for the development of IMT-Advanced and systems beyond IMT-
Advanced radio interface technologies, it is important to understand the usage models and technology
trends that will affect the design and deployment of such systems. In particular, the framework should
be based on increasing user expectations and the growing demand for mobile services, as well as the
evolving nature of the services and applications that may become available in the future. The trend
toward integration and convergence of wireless systems and services can be characterized by
connectivity (provision of an information pipe including intelligence in the network and the terminal),
content (information including push and pull services as well as peer-to-peer applications), and
e-commerce (electronic transactions and financial services). This trend may be viewed as the inte-
gration and convergence of information technology, telecommunications, and content, which has
resulted in new service delivery dynamics and a new paradigm in wireless telecommunications, where
value-added services have provided significant benefits to both the end users and the service providers.
Present mobile communication systems have evolved by incremental enhancements of system
capabilities, and gradual addition of new functionalities and features to baseline IMT-2000 systems.
The capabilities of IMT-2000 systems have continued to steadily evolve over the past decade as
xi

IMT-2000 technologies are upgraded and deployed (e.g., mobile WiMAX and the migration of UMTS
systems to HSPA+). The IMT-Advanced and systems beyond IMT-Advanced are going to be realized
by functional fusion of existing IMT-2000 system components, enhanced and new functions, nomadic
wireless access systems, and other wireless systems with high commonality and seamless inter-
working. The systems beyond IMT-Advanced will encompass the capabilities of previous systems, as
well as other communication schemes such as machine-to-machine, machine-to-person, and person-
to-machine.
The framework for the development of IMT-Advanced and systems beyond IMT-Advanced can be
viewed from multiple perspectives including users, manufacturers, application developers, network
operators, and service and content providers. From the user’s perspective, there is a demand for
a variety of services, content, and applications whose capabilities will increase over time. The users
expect services to be ubiquitously available through a variety of delivery mechanisms and service
providers using a variety of wireless devices. From the service provision perspective, the domains
share some common characteristics. Wireless service provision is characterized by global mobile
access (terminal and personal mobility), improved security and reliability, higher service quality, and
access to personalized multimedia services, the Internet, and location-based services via one or
multiple user terminals. Multi-radio operation requires seamless interaction of systems so that the user
can receive/transmit a variety of content via different delivery mechanisms depending on the device
capabilities, location and mobility, as well as the user profile. Different radio access systems can be
connected via flexible core networks and appropriate interworking functions. In this way, a user can be
connected through different radio access systems to the network and can utilize the services. The
interworking among different radio access systems in terms of horizontal or vertical handover and
seamless connectivity with service negotiation, mobility, security, and QoS management are the key
requirements of radio-agnostic networks.
The similarity of services and applications across different radio access systems is beneficial not
only to users, but also to network operators and content providers, stimulating the current trend
towards convergence. Furthermore, similar user experience across different radio interface systems
leads to large-scale adoption of products and services, common applications, and content. Access to
a service or an application may be performed using one system or using multiple systems simulta-
neously. The increasing prevalence of IP-based applications has been a key driver for this convergence,
and has accelerated the convergence trend in the core network and radio air interface.
The evolution of IMT-2000 baseline systems and the IMT-Advanced systems has employed several
new concepts and functionalities, including adaptive modulation and coding and link adaptation,
OFDM-based multiple access schemes, single-user/multi-user multi-antenna concepts and techniques,
dynamic QoS control, mobility management and handover between heterogeneous radio interfaces
(vertical and horizontal), robust packet transmission, error detection and correction, multi-user
detection, and interference cancellation. Systems beyond IMT-Advanced may further utilize sophis-
ticated schemes including software defined radio and reconfigurable RF and baseband processing,
adaptive radio interface, mobile ad hoc networks, routing algorithms, and cooperative communication.
In response to this demand, the IEEE 802.16 Working Group began the development of a new
amendment to the IEEE 802.16 standard (i.e., IEEE 802.16m) in January 2007 as an advanced air
interface to meet the requirements of ITU-R/IMT-Advanced for the fourth-generation of cellular
systems. The 3rd Generation Partnership Project started a similar effort in 2008 to upgrade the UMTS
standards and to further enhance its family of LTE technologies.
xii Preface

Many articles, book chapters, and books have been published on the subject of mobile WiMAX and
3GPP LTE, varying from academic theses to network operator analyses and manufacturers’ appli-
cation notes. By their very nature, these publications have viewed these subjects from one particular
perspective, whether it is academic, operational, or promotional. A very different and unique approach
has been taken in this book; a top-down system approach to understanding the system operation and
design principles of the underlying functional components of 4th generation radio access networks.
This book can be considered as the most up-to-date technical reference for the design of 4G cellular
systems. In this book, the protocol layers and functional elements of both the IEEE 802.16m- and
3GPP LTE-Advanced-based radio access and core networks are described. While the main focus of the
book (as will be understood from the title) is to provide readers with an in-depth understanding of the
IEEE 802.16m radio access system design, and to demonstrate the operation of the end-to-end system;
a detailed description of the 3GPP LTE Release 9 and 3GPP LTE-Advanced Release 10 systems is
provided to allow readers to better understand the similarities and differences between the two systems
by contrasting the protocols and functional elements. It can be concluded that, aside from the
marketing propaganda and hype surrounding these technologies, the 3GPP LTE and mobile WiMAX
systems are technically equivalent and a fair comparison of the two technologies and their evolutionary
paths reveals a similar performance as far as user experience is concerned.
In order to ensure the self-sufficiency of the material, the theoretical background and necessary
definitions of all terms and topics has been provided either as footnotes or in separate sections to enable
in-depth understanding of the subject under consideration without distracting the reader, and with no
impact on the continuity of the subject matter. Additional technical references are cited in each chapter
for further study. Each chapter in this book provides a top-down systematic description of the IEEE
802.16m entities and functional blocks, such as state transition models and corresponding procedures,
protocol structures, etc., (including similarities and differences with the legacy mobile WiMAX
systems to emphasize improvements) starting at the most general level and working toward the details
or specifics of the protocols and procedures. The description of corresponding 3GPP LTE/LTE-
Advanced protocols and procedures are further provided to enable readers to contrast the analogous
terminal and base station behaviors, protocols, and functionalities. Such contrast is crucial in the
design of inter-system interworking functions and to provide better understanding of the design
strengths and weaknesses of each system.
Preface xiii

Introduction
International Mobile Telecommunications-Advanced systems are broadband mobile wireless access
systems that include new capabilities and versatility that goes beyond those of IMT-2000 systems.
IMT-Advanced has provided a global framework for the development of the next generation of
wireless radio access networks that enable low-delay, high-speed, bi-directional data access, unified
messaging, and broadband wireless multimedia in the form of new service classes. Such systems
provide access to a variety of mobile telecommunication services through entirely packet-based
access/core networks. The IMT-Advanced systems support low to very high mobility applications and
a wide range of data rates proportional to usage models and user density. The design and operational
requirements concerning the 4th generation of radio interface technologies may vary from different
perspectives with certain commonalities as follows:
End User
Ubiquitous mobile Internet access;
Easy access to applications and services with high quality at reasonable cost;
Easily understandable user interface;
Long battery life;
Large choice of access terminals;
Enhanced service capabilities;
User-friendly billing policies.
Content Provider
Flexible billing;
Ability to adapt content to user requirements depending on terminal type, location, mobility, and
user preferences;
Access to a sizable market based on the similarity of application programming interfaces.
Service Provider
Fast, open service creation, validation, and provisioning;
Quality of service and security management;
Automatic service adaptation as a function of available data rate and type of terminal;
Flexible billing.
Network Operator
Optimization of resources in terms of spectrum and equipment;
Quality of service and security management;
Ability to provide differentiated services;
Flexible network configuration;
Reduced cost of terminals and network equipment based on global economies of scale;
Smooth transition from legacy systems to new systems;
Maximizing commonalities among various radio access systems including sharing of mobile
platforms, subscriber identity modules, network elements, radio sites;
xv

Single authentication process independent of the access network;
Flexible billing;
Access type selection optimizing service delivery.
Manufacturer or Application Developer
Reduced cost of terminals and network equipment based on global economies of scale;
Access to global markets;
Open physical and logical interfaces between modular and integrated subsystems;
Programmable/configurable platforms that enable fast and low-cost development.
The capabilities of IMT-2000 systems have continuously evolved over the past decade as IMT-2000
technologies have been upgraded and widely deployed. From the radio access perspective, the
evolved IMT-2000 systems have built on the legacy systems, further enhanced the radio interface
functionalities/protocols, and at the same time new systems have emerged to replace the existing
IMT-2000 radio access systems in the long-term. This evolution has improved the reliability and
throughput of the cellular systems and promoted the development of an expanding number of
services and applications. The similarity of services and applications across different IMT tech-
nologies and frequency bands is not only beneficial to users, but also a similar user experience
generally leads to a large-scale deployment of products and services. The technologies, applications,
and services associated with systems beyond IMT-Advanced could well be radically different from
the present systems, challenging our perceptions of what may be considered viable by today’s
standards and going beyond what has just been achieved by the IMT-Advanced radio systems.
The IEEE 802.16 Working Group began the development of a new amendment to the IEEE 802.16
baseline standard in January 2007 as an advanced air interface, in order to materialize the ITU-R vision
for the IMT-Advanced systems as laid out in Recommendation ITU-R M.1645. The requirements for
the IEEE 802.16m standard were selected to ensure competitiveness with the emerging 4th generation
radio access technologies, while extending and significantly improving the functionality and efficiency
of the legacy system. The areas of improvement and extension included control/signaling mechanisms,
L1/L2 overhead reduction, coverage of control and traffic channels at the cell-edge, downlink/uplink
link budget, air-link access latency, client power consumption including uplink peak-to-average power
ratio reduction, transmission and detection of control channels, scan latency and network entry/
re-entry procedures, downlink and uplink symbol structure and subchannelization schemes, MAC
management messages, MAC headers, support of the FDD duplex scheme, advanced single-user
and multi-user MIMO techniques, relay, femto-cells, enhanced multicast and broadcast, enhanced
location-based services, and self-configuration networks. The IMT-Advanced requirements defined
and approved by ITU-R and published as Report ITU-R M.2134 were referred to as target require-
ments in the IEEE 802.16m system requirement document, and were evaluated based on the meth-
odology and guidelines specified by Report ITU-R M.2135-1. The IEEE 802.16m baseline functional
and performance requirements were evaluated according to the IEEE 802.16m evaluation method-
ology document. The IMT-Advanced requirements are a subset of the IEEE 802.16m system
requirements, and thus are less stringent than baseline requirements. Since satisfaction of the baseline
requirements would imply a minimum-featured (baseline) system, any minimum performance of the
IEEE 802.16m implementation could potentially meet the IMT-Advanced requirements and could be
certified as an IMT-Advanced technology. The candidate proposal submitted by the IEEE to the ITU-R
xvi Introduction

(IEEE 802.16m) proved to meet and exceed the requirements of IMT-Advanced systems, and thus
qualified as an IMT-Advanced technology.
In the course of the development of the IEEE 802.16m, and unlike the process used in the previous
amendments of the IEEE 802.16 standard, the IEEE 802.16m Task Group developed system
requirements and evaluation methodology documents to help discipline and organize the process for
the development of the new amendment. This would allow system design and selection criteria with
widely agreed targets using unified simulation assumptions and methodology. The group further
developed a system description document to unambiguously describe the RAN architecture and
system operation of the IEEE 802.16m entities, which set a framework for the development of the
IEEE 802.16m standard specification. To enable a smooth transition from Release 1.0 mobile WiMAX
systems to the new generation of the mobile WiMAX radio access network, and to maximize reuse of
legacy protocols, strict backward compatibility was required. The author’s original view and under-
standing of backward compatibility was similar to that already seen in other cellular systems such as
the migration of 1 EV-DO Revision 0 to 1 EV-DO Revision A, to 1 EV-DO Revision B on the
cdma2000 path and evolution of UMTS Release 99 to HSDPA to HSPA, and to HSPA+ on the
WCDMA path. In these examples, the core legacy protocols were reused and new protocols were
added as complementary solutions, such that the evolved systems maintained strict backward
compatibility with the legacy systems, allowing gradual upgrades of the base stations, mobile stations,
and network elements. Had it been materialized, the author’s vision would have resulted in a fully
backward compatible system with improvement and extension of the legacy protocols and function-
alities built on top of the existing protocols as opposed to from ground up. However, the enthusiasm for
the IMT-Advanced systems and the ambitious baseline requirements set by the IEEE 802.16 group
resulted in deviation from the original vision and the new amendment turned into describing a new
system that was built more or less from scratch. A large number of legacy physical, lower and upper
MAC protocols were replaced with new and non-backward compatible protocols and functions. The
co-deployment of the legacy and the new systems on the same RF carrier is only possible via time-
division or frequency-division multiplexing of the legacy and new protocols in the downlink and
uplink legacy/new zones. More specifically, the legacy and new zones are time division multiplexed in
the downlink and are frequency division multiplexed in the uplink. Figure 1 illustrates an example
where the legacy system is supported in an IEEE 802.16m system. The overhead channels corre-
sponding to each system (i.e., synchronization, control, and broadcast channels) are duplicated due to
incompatibility of the physical structures and transmission formats of these overhead channels.
Although IEEE 802.16m specifies handover mechanisms to and from the legacy systems, the handover
protocols, MAC messages, and triggers are different, requiring a separate protocol/software stack for
dual-mode implementation of the two systems. Table 1 compares the physical layer and lower MAC
features of the legacy mobile WiMAX and IEEE 802.16m. It can be seen that many important features
and functions such as HARQ, subchannelization, control channels, and MIMO modes have changed in
the IEEE 802.16m, making migration from legacy systems to the IEEE 802.16m systems not
straightforward and also expensive. The complexity of later upgrades is similar to that of migration of
UMTS/HSPA systems to 3GPP LTE systems given the non-backward compatible nature of 3GPP LTE
enhancements relative to UMTS. The features and functions listed in this table will be described in
Chapters 9 and 10.
As a result of extensive changes and enhancements in the IEEE 802.16m standard relative to legacy
mobile WiMAX, it will not be surprising to realize that the throughput and performance of the IEEE
Introduction xvii

Transmission
Bandwidth
Legacy
Downlink
Zone
Legacy
Downlink
Zone
Legacy
Downlink
Zone
Legacy
Downlink
Zone
Legacy
Downlink
Zone
Superframe
Headers
Superframe
Headers
New
Downlink
Zone
New
Downlink
Zone
New
Downlink
Zone
New
Downlink
Zone
New
Downlink
Zone
Legacy
Uplink
Zone
A-MAP Region
A-MAP Region
A-MAP Region
A-MAP Region A-MAP Region
New Uplink
Zone
New Uplink
Zone
New Uplink
Zone
New Uplink
Zone New Uplink
Zone
Legacy
Uplink
Zone
Legacy
Uplink
Zone
Legacy
Uplink
Zone
Legacy
Uplink
Zone
Legacy
Uplink
Control
Channels
Legacy
Uplink
Control
Channels
Legacy
Uplink
Control
Channels
Legacy
Uplink
Control
Channels
Legacy
Uplink
Control
Channels
DL Subframe
Legacy Radio Frame 5 ms
New Frame 5 ms
Superframe 20 ms
Legacy DL Subframe
New DL Subframe
DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL DL
UL UL UL UL UL UL UL UL UL UL UL UL UL UL UL
DL Subframe DL Subframe DL Subframe DL Subframe
UL Subframe UL Subframe UL Subframe UL Subframe UL Subframe
FIGURE 1
Example Sharing of Time-Frequency Resources over one Radio Frame between IEEE 802.16m and the Legacy Systems in TDD Mode
xviii
Introduction

Table 1 Comparison of the Legacy Mobile WiMAX Features with IEEE 802.16m
Feature
Legacy Mobile WiMAX based
on Release 1.0 IEEE 802.16m
Duplexing Scheme TDD TDD and FDD
Frame Structure 5 ms radio frames with flexible time-zones 5 ms radio frames with subframe-based fixed time-zones
Superframe Structure Not supported 20 ms duration (4 consecutive radio frames)
Operating Bandwidth
(MHz)
5, 7, 8.75, and 10 5, 7, 8.75, 10, and 20 (up to 100 MHz with carrier aggregation
and other channel bandwidths through tone dropping)
Resource Block Size Fixed 48 data sub-carriers 18 sub-carriers by 6 OFDM symbols physical resource units and
variable number of data sub-carriers depending on the MIMO
mode
Control Channel
Subchannelization
Partial Usage of Sub-Channels in the downlink
and uplink (distributed permutations)
Distributed logical resource units (tone-pair based distributed
permutations)
Traffic Channel
Subchannelization
Partial Usage of Sub-Channels in the downlink
and uplink (distributed permutations)
Distributed logical resource units (distributed permutations)
Sub-band logical resource units (localized permutations)
Mini-band logical resource units (physical resource unit-based
diversity permutations)
Permutation Zone
Multiplexing
Time Division Multiplexing of different zones Frequency Division Multiplexing in the same subframe
Pilot Design Common (non-precoded) and dedicated
(precoded) pilots depending on the permutation
zone
Non-adaptive precoded pilots for distributed logical resource
units, dedicated pilots per physical resource unit for sub-band
and mini-band logical resource units; interlaced pilots for
interference mitigation
Turbo Codes Convolutional Turbo Codes with minimum code
rate of 1
/3 and repetition coding
Convolutional Turbo Codes with minimum code rate of 1
/3
and rate matching
(Continued )
Introduction
xix

Table 1 Comparison of the Legacy Mobile WiMAX Features with IEEE 802.16m Continued
Feature
Legacy Mobile WiMAX based
on Release 1.0 IEEE 802.16m
Convolutional Codes Tail-Biting Convolutional Codes with minimum
code rate of ½
Tail-Biting Convolutional Codes with minimum code rate of 1
/5
DL HARQ Asynchronous Chase Combining Asynchronous Incremental Redundancy (Chase Combining as
a special case)
UL HARQ Asynchronous Chase Combining Synchronous Incremental Redundancy
Downlink Open-loop
Single-user MIMO
Space-Time Block Coding, Spatial Multiplexing;
Cyclic Delay Diversity for more than two transmit
antennas
Space Frequency Block Coding, Spatial Multiplexing, Non-
adaptive precoding for more than two transmit antennas
Downlink Closed-loop
Single-user MIMO
Sounding-based Transformed codebook-based scheme using sub-band logical
resource unit, Long-term covariance matrix or codebook based
using mini-band logical resource units
Sounding-based using sub-band or mini-band logical resource
units
Uplink Open-loop
Single-user MIMO
Not Supported Space-Frequency Block Coding/Spatial Multiplexing, Non-
adaptive precoding for more than two transmit antennas with
distributed logical resource units
Uplink Closed-loop
Single-user MIMO
Not Supported Codebook-based precoding using sub-band or mini-band
logical resource units
Downlink Multi-user
MIMO
Not Supported Multi-User Zero-Forcing precoding based on transformed
codebook or sounding
Uplink Multi-User
MIMO
Single-transmit-antenna Collaborative MIMO Collaborative MIMO for up to four transmit antennas (codebook-
based or vendor-specific precoding for more than one transmit
antenna)
Uplink Power Control Basic open-loop power control, Message-
based closed-loop power control
Improved open-loop power control (SINR-based) and signaling-
based closed-loop power control
xx
Introduction

Fractional Frequency
Reuse
Basic Fractional Frequency Reuse Advanced Fractional Frequency Reuse support with up to 4
frequency partitions (1 reuse-1 and 3 reuse-3), Low power
transmission in other reuse-3 partitions
Downlink Control
Channels
Medium Access
Protocol
Compressed Medium
Access Protocol/
Sub- Medium
Access Protocol,
jointly-coded, once
per frame, Time
Division Multiplexed
with data
Individual (user-specific) MAP, separately-coded, once per
subframe, Frequency Division Multiplexed with data
Broadcast Channel Frame Control
Header/Downlink
Channel Descriptor/
Uplink Channel
Descriptor
Primary and Secondary Superframe Headers
Synchronization
Channel
Full bandwidth, 114
codes, once per
frame
Primary preamble in 5 MHz bandwidth once per superframe
Secondary preamble in full bandwidth, 768 codes, 2 times per
superframe
Midamble Not Supported Full bandwidth, once per frame, used for PMI/CQI feedback
Uplink Control
Channels
Channel Quality and
Precoding Matrix
Feedbacks
4-bit/6-bit CQI Primary and Secondary Fast Feedback Channel for CQI/PMI
feedback
Bandwidth Request Reuse of initial
ranging structure and
sequence; 5-step
access
3 uplink 6 6 tiles, regular (5-step) and fast (3-step) contention-
based access
Sounding One OFDM symbol in
the uplink subframe,
CDM and FDM for
mobile station
multiplexing
One OFDM symbol in the uplink subframe, CDM and FDM for
mobile station and antenna multiplexing
Introduction
xxi

802.16m surpasses that of the legacy system, resulting in extended capabilities to support a variety of
existing and future services and applications with high quality and capacity. Table 2 compares the
throughput of the two systems under selected test scenarios that were specified in the IMT-Advanced
evaluation methodology document.
In Table 2, a TDD system with 10 MHz bandwidth and frequency reuse 1, as well as a DL:UL ratio
of 29:18 was assumed for both systems. The legacy system employs a 4 2 single-user MIMO
configuration and sounding-based beamforming in the downlink, along with a 1 4 collaborative
MIMO in the uplink. The IEEE 802.16m uses a 4 2 multi-user MIMO in the downlink in addition to
a 2 4 collaborative MIMO in the uplink with codebook-based beamforming for both links. There are
up to four multi-user MIMO users in the downlink and up to two multi-user MIMO users in the uplink.
A common confusion arises concerning the terminologies used for mobile and base stations
compliant with different versions of the IEEE 802.16 standard and mobile WiMAX system profile. The
IEEE 802.16-2009 standard specifies a large number of optional features and parameters that may
define various mobile station and base station configurations. One of the possible implementation
variants was selected and specified by the WiMAX Forum as Release 1.0 of the mobile WiMAX
system profile. The latter configuration was chosen by the IEEE 802.16m as the reference for back-
ward compatibility. Consequently, when referring to a mobile station and base station in different
amendments of the IEEE 802.16 standard, as well as mobile WiMAX profiles, one must make sure that
a consistent reference is made, and that backward compatibility and interoperability can be main-
tained. Unlike the IEEE 802.16m specification that refers to the new IEEE 802.16 entities as
“advanced mobile station,” “advanced base station,” and “advanced relay station” to differentiate them
from their counterparts in the IEEE 802.16-2009 and IEEE 802.16j-2009 standards specifications, we
refer to these entities as mobile station, base station, and relay station, assuming that the reference
system is compliant with Release 1.0 of the mobile WiMAX system profile and that the extended
functions and protocols corresponding to IEEE 802.16m can be distinguished from their legacy
counterparts by the reader.
Similar to the IEEE, the 3GPP initiated a project on the long-term evolution of UMTS radio
interface in late 2004 to maintain 3GPP’s competitive edge over other cellular technologies. The
Table 2 Comparison of the Throughput of the Legacy Mobile WiMAX and IEEE 802.16m
Systems
Downlink Spectral Efficiency
(bits/s/Hz/cell)
Uplink Spectral Efficiency
(bits/s/Hz/cell)
IMT-Advanced
Urban Microcell
Test
Environment
(3 km/h)
IMT-Advanced
Urban
Macrocell Test
Environment
(30 km/h)
IMT-Advanced
Urban Microcell
Test
Environment
(3 km/h)
IMT-Advanced
Urban
Macrocell Test
Environment
(30 km/h)
Legacy Mobile
WiMAX based on
Release 1.0
2.02 1.44 1.85 1.70
IEEE 802.16m 3.22 2.45 2.46 2.25
xxii Introduction

evolved UMTS terrestrial radio access network substantially improved end-user throughputs, and
sector capacity, and reduced user-plane and control-plane latencies, bringing a significantly improved
user experience with full mobility. With the emergence of the Internet protocol as the protocol of
choice for carrying all types of traffic, the 3GPP LTE provides support for IP-based traffic with end-to-
end quality of service. Voice traffic is supported mainly as voice over IP, enabling integration with
other multimedia services. Unlike its predecessors, which were developed within the framework of
UMTS architecture, 3GPP specified an evolved packet core architecture to support the E-UTRAN
through a reduction in the number of network elements and simplification of functionality, but most
importantly allowing for connections and handover to other fixed and wireless access technologies,
providing network operators with the ability to deliver seamless mobility experience. Similar to the
IEEE 802.16, 3GPP set aggressive performance requirements for LTE that relied on improved physical
layer technologies, such as OFDM and single-user and/or multi-user MIMO techniques, and
streamlined Layer 2/Layer 3 protocols and functionalities. The main objectives of 3GPP LTE were to
minimize the system and user equipment complexities, to allow flexible spectrum deployment in the
existing or new frequency bands, and to enable coexistence with other 3GPP radio access technologies.
The 3GPP LTE has been used as the baseline and further enhanced under 3GPP Release 10 to meet the
requirements of the IMT-Advanced. A candidate proposal based on the latter enhancements (3GPP
LTE-Advanced) was submitted to the ITU-R and subsequently qualified as an IMT-Advanced tech-
nology. However, concurrent with the 3GPP LTE standard development, the operators were rolling out
HSPA networks to upgrade their 2G and 2.5G, and early 3G infrastructure, thus they were not ready to
embrace yet another paradigm shift in radio access and core network technologies. Therefore, 3GPP
has continued to improve UMTS technologies by adding multi-antenna support at the base station,
higher modulation order in the downlink, multi-carrier support, etc., to extend the lifespan of 3G
systems. It is anticipated that the new releases of 3GPP standards (i.e., LTE/LTE-Advanced) will not
be commercially available worldwide on a large scale until current operators’ investments are properly
returned.
A comparison of 3GPP LTE-Advanced and IEEE 802.16m basic and advanced features and
functionalities reveals that the two systems are very similar and may perform similarly under the same
operating conditions. Therefore, there is effectively no technical or performance distinction between
the two technologies. It will be shown throughout this book that the two radio access technologies are
practically equivalent as far as user experience is concerned. Table 3 summarizes the major differences
between IEEE 802.16m and 3GPP LTE-Advanced physical layer protocols. The features and functions
listed in this table will be described in Chapters 9 and 10.
In the course of design and development of the IEEE 802.16m standard, the author decided to write
a book and to take a different approach than was typically taken in other books and journal articles.
The author’s idea was to take a top-down systems approach in describing the design and operation of
the IEEE 802.16m, and to contrast the 3GPP LTE/LTE-Advanced and IEEE 802.16m/mobile WiMAX
algorithms and protocols to allow readers to better understand both systems. The addition of the 3GPP
LTE/LTE-Advanced protocols and system description further expanded the scope of the book to
a systems approach to understanding the design and operation of 4th generation cellular systems.
There has been no attempt anywhere in this book to compare, side-by-side, the performance and
efficiency of the mobile WiMAX and 3GPP LTE systems and to conclude that one system outperforms
the other, rather, it is left to the reader to arrive at such a conclusion. In addition to a top-down systems
approach, another distinction of this book compared to other publications in the literature is the
Introduction xxiii

Table 3 Major Differences between IEEE 802.16m and 3GPP LTE-Advanced Physical Layers
Feature 3GPP LTE-Advanced IEEE 802.16m
Multiple Access Scheme Downlink: OFDMA
Uplink: SC-FDMA
Downlink: OFDMA
Uplink: OFDMA
Control Channel Multiplexing with
Data
Time Division Multiplex (Resource
occupied by control channel in
units of OFDM symbols)
Frequency Division Multiplex
(Resource occupied by control
channel in physical resource
block units)
Channel State Information (CSI)
Feedback
Long-term CSI and Short-term
CSI (e.g., sounding)
Base codebook with long-term
channel covariance matrix and
Sounding
Scheduling Period Per Transmission Time Interval
(TTI) scheduling and Persistent
scheduling
Short and long TTI scheduling
and Persistent scheduling
Physical Resource Block Size 12 sub-carriers 14 OFDM/SC-
FDMA Symbols ¼ 168 Resource
elements
18 sub-carriers 6 OFDM
symbols ¼ 108 Resource
elements
Usable Bandwidth at 10 MHz 600 sub-carriers 15 kHz (sub-
carrier spacing) ¼ 9 MHz
(Spectrum Occupancy ¼ 90%)
864 sub-carriers 10.9375 kHz
(sub-carrier spacing) ¼ 9.45 MHz
(Spectrum Occupancy ¼ 94.5%)
Usable OFDM/SC-FDMA Symbols
per 5 ms
70 OFDM/SC-FDMA symbols
(FDD)
56 OFDM/SC-FDMA symbols
(TDD)
51 OFDM symbols (FDD)
50 OFDM symbols (TDD)
Usable Resource Elements per
5 ms
42000 Resource Elements (sub-
carriers)
44064 Resource Elements (sub-
carriers)
Modulation and Coding Scheme
Levels
27 Levels 32 Levels
Downlink Antenna Configuration
for IMT-Advanced Scenarios
4 2/8 2 4 2
Uplink Antenna Configuration for
IMT-Advanced Scenarios
1 4/1 8/2 4 2 4
Multi-antenna Schemes for
IMT-Advanced Scenarios
Single-user MIMO, Multi-user
MIMO/Beamforming,
Coordinated Multipoint
Transmission
Multi-user MIMO/Beamforming
Number of Users Paired in
Downlink Multi-user MIMO
Up to 2 users paired in self-
evaluation
Up to 4 users paired in self-
evaluation
L1/L2 Overhead Statically Modeled
Number of OFDM symbols L ¼ 1
(18%)
(24%)
(31%)
Dynamically Modeled
Example: IMT-Advanced Urban
Macrocell Scenario
TDD ¼ 11% (Control channel) +
11% (Pilot) z 22%
FDD ¼ 14% (Control channel) +
11 % (Pilot) z 25%
xxiv Introduction

inclusion of the theoretical background or a description of uncommon terminologies and concepts in
each chapter, so that readers can understand the subject matter without getting distracted with addi-
tional reading in the citations and references. In each chapter the design criteria and justification for
modifications and extensions relative to the legacy systems have been described.
The present book begins with an introduction to the history of broadband mobile wireless access
and an overview of the IEEE and 3GPP standards and standardization processes in Chapter 1. The
approach taken in this book required the author to review the network architecture and to examine each
and every significant network element in mobile WiMAX and 3GPP LTE networks. Since the WiMAX
Forum has yet to update the WiMAX Network Architecture specification to support the IEEE 802.16m
standard, the latest revision of the WiMAX Network Architecture document which is publicly
available from the WiMAX Forum has been used. It is expected that the early deployment of IEEE
802.16m would rely on the legacy network architecture until network upgrades become available.
Once the access network and core network aspects of the system are described, we turn our attention to
the reference model and protocol structure of IEEE 802.16m and 3GPP LTE/LTE-Advanced, and
discuss the operation and behavior of each entity (base station, mobile station, and relay station), as
well as functional components and their interactions in the protocol stack. The remaining chapters of
this book are organized to be consistent with the protocol layers, starting from the network layer and
moving down to the physical layer. The overall operation of the mobile station, relay station, and base
station and their corresponding state machines are described in Chapter 4. Perhaps this chapter is the
most important part of the book, as far as understanding the general operation of the system is con-
cerned. Chapter 5 describes the interface with the packet data network. Chapters 6 and 7 describe the
medium access control layer protocols. Due to the size of content, the medium access control and
physical layer chapters (Chapters 6, 7, 9 and 10) have been divided into two parts. The security aspects
of the systems under consideration are described in Chapter 8. The additional functional components,
algorithms, and protocols which have been introduced by the 3GPP LTE-Advanced are emphasized so
that they are not confused with the legacy components. The multi-carrier operation of the IEEE
802.16m and 3GPP LTE-Advanced are described in Chapter 11. The performance evaluation of the
IEEE 802.16m and 3GPP LTE-Advanced against the IMT-Advanced requirements has been described
in Chapter 12, where all the performance metrics are defined and link-level and system-level simu-
lation methodologies and parameters are elaborated.
The existing mobile broadband radio access systems will continue to evolve and new systems will
emerge. The vision, service and system requirements for systems beyond IMT-Advanced will be
defined as soon as the IMT-Advanced standardization process winds down. While it is not exactly clear
what technologies will be incorporated into the design of such systems and whether the existing radio
access technologies will converge into a single universal radio interface, it is envisioned that the future
radio interfaces will rely on distributed antenna systems, low-power emission, distributed computing,
seamless connectivity, software defined radio, cognitive radio systems, multi-resolution wireless
multimedia, and cooperative communication concepts, as well as reconfigurable RF and baseband
circuitry in order to provide a higher quality of user experience, higher capacities, and a wider range of
services with minimal cost and complexity.
Introduction xxv

Acknowledgements
The author would like to acknowledge and sincerely thank his colleagues at Intel Corporation, ZTE
Corporation, Samsung Electronics, Motorola, LG Electronics, the IEEE 802.16, and the 3GPP RAN
groups for their contributions, consultation, and assistance in proofreading and improving the quality
and content of the chapters of this book.
The author would like to sincerely thank Academic Press (Elsevier) publishing and editorial staff
for providing the author with the opportunity to publish this book and for their assistance, cooperation,
patience, and understanding throughout the past two years.
Finally, the author would like to thank his wife (Shahrnaz) and his children (Roya and Nima) for
their unwavering encouragement, support, patience, and understanding throughout this long and
challenging project.
xxvii

Abbreviations
Abbreviation Description
1xEV-DO 1 Evolution Data Only (Air Interface)
3-DES Triple Data Encryption Standard
3G 3rd Generation (of Cellular Systems)
3GPP 3rd Generation Partnership Project
3GPP2 3rd Generation Partnership Project 2
4G 4th Generation (of Cellular Systems)
AAA Authentication, Authorization, and Accounting
AAI Advanced Air Interface
AAS Adaptive Antenna System
ABS Advanced Base Station
ACID HARQ Channel Identifier
ACK Acknowledgement
ACLR Adjacent Channel Leakage Ratio
ACM Account Management
ACS Adjacent Channel Selectivity
AES Advanced Encryption Standard
AGC Automatic Gain Control
AGMH Advanced Generic MAC Header
aGPS Adaptive Grant Polling Service
AI_SN HARQ Identifier Sequence Number
AK Authorization Key
AKID Authorization Key Identifier
AM Acknowledged Mode
A-MAP Advanced Medium Access Protocol
AMBR Aggregate Maximum Bit Rate
AMC Adaptive Modulation and Coding
AMS Advanced Mobile Station
AoA Angle of Arrival
A-Preamble Advanced Preamble
ARFCN Absolute Radio-Frequency Channel Number
ARP Allocation and Retention Priority
ARQ Automatic Repeat reQuest
ARS Advanced Relay Station
AS Access Stratum
ASA Authentication and Service Authorization
ASN Access Service Network
ASN.1 Abstract Syntax Notation One
(Continued )
xxix

ASN-GW Access Service Network Gateway
ASP Application Service Provider
ASR Anchor Switch Reporting
ATDD Adaptive Time Division Duplexing
ATM Asynchronous Transfer Mode
AuC Authentication Center
AWGN Additive White Gaussian Noise
BCC Block Convolutional Code
BCCH Broadcast Control Channel
BCH Broadcast Channel
BE Best Effort
BER Bit Error Ratio
BLER Block Error Rate
BPSK Binary Phase Shift Keying
BR Bandwidth Request
BS Base Station
BSID Base Station Identifier
BSN Block Sequence Number
BSR Buffer Status Report
BTC Block Turbo Code
BW Bandwidth
BWA Broadband Wireless Access
C/I Carrier-to-Interference Ratio
C/N Carrier-to-Noise Ratio
CA Certification Authority
CAZAC Constant Amplitude Zero Auto-Correlation
CBC Cell Broadcast Center
CBC Cipher Block Chaining
CBC-MAC Cipher Block Chaining Message Authentication Code
CC Confirmation Code
CC Component Carrier
CC Convolutional Code
CCDF Complementary CDF
CCE Control Channel Element
CCH Control Subchannel
CCI Co-Channel Interference
CCM CTR Mode With CBC-MAC
CCO Cell Change Order
CCS Common Channel Signaling
CCV Clock Comparison Value
xxx Abbreviations

CDD Cyclic Delay Diversity
CDF Cumulative Distribution Function
CDMA Code Division Multiple Access
CDR Conjugate Data Repetition
Cell_ID Cell Identifier
ChID Channel Identifier
CID Connection Identifier
CINR Carrier to Interference-plus-Noise Ratio
CIR Channel Impulse Response
CLC Collocated Coexistence
CLP Cell Loss Priority
CLRU Contiguous Logical Resource Unit
CM Cubic Metric
CMAC Cipher-Based Message Authentication Code
CMAS Commercial Mobile Alert Service
CMC Connection Mobility Control
CMI Codebook Matrix Index
CMIP Client Mobile IP
COBRA Common Object Requesting Broker Architecture
Co-MIMO Collaborative MIMO
CoMP Coordinated Multi-Point Transmission
CoRe Constellation Re-Arrangement
CP Cyclic Prefix
C-Plane Control Plane
CPS Common Part Sublayer
CQI Channel Quality Indicator
CQICH Channel Quality Indicator Channel
CRC Cyclic Redundancy Check
CRID Context Retention Identifier
C-RNTI Cell RNTI
CRU Contiguous Resource Unit
CRV Constellation Rearrangement Version
CS Convergence Sublayer
CSA Common Subframe Allocation
CSCF Centralized Scheduling Configuration
CSCH Centralized Scheduling
CSG Closed Subscriber Group
CSI Channel State Information
CSM Collaborative Spatial Multiplexing
CSMA/CA Carrier Sense Multiple Access with Collision Avoidance
(Continued )
Abbreviations xxxi

CSMA/CD Carrier Sense Multiple Access with Collision Detection
CSN Connectivity Service Network
CTC Convolutional Turbo Code
CTR Counter Mode Encryption
DAMA Demand Assigned Multiple Access
DARS Digital Audio Radio Satellite
dBi Decibels (Relative to Isotropic Radiator)
dBm Decibels (Relative to 1 mW)
DC Direct Current
DCAS Downlink Contiguous Resource Unit Allocation Size
DCCH Dedicated Control Channel
DCD Downlink Channel Descriptor
DCI Downlink Control Information
DCR Deregistration with Content Retention
DES Data Encryption Standard
DFS Dynamic Frequency Selection
DFTS DFT Spread (OFDM)
DHCP Dynamic Host Configuration Protocol
DID Deregistration Identifier
DIUC Downlink Interval Usage Code
DL Downlink
DLFP Downlink Frame Prefix
DLRU Distributed Logical Resource Unit
DOCSIS Data over Cable Service Interface Specification
DP Decision Point
DPF Data Path Function
DRB Data Radio Bearer
DRS Demodulation Reference Signal
DRU Distributed Resource Unit
DRX Discontinuous Reception
DSA Dynamic Service Addition
DSAC Downlink Sub-band Allocation Count
DSC Dynamic Service Change
DSCH Distributed Scheduling
DSCP Differentiated Services Code-Point
DSD Dynamic Service Deletion
DSx Dynamic Service Addition, Change, or Deletion
DTCH Dedicated Traffic Channel
D-TDoA Downlink Time Difference of Arrival
DTX Discontinuous Transmission
xxxii Abbreviations

DwPTS Downlink Pilot Time Slot
EAP Extensible Authentication Protocol
EBB Entry Before Break
EC Encryption Control
ECB Electronic Code Book
ECGI E-UTRAN Cell Global Identifier
E-CID Enhanced Cell-ID (Positioning Method)
ECM EPS Connection Management
ECRTP IP-Header-Compression CS PDU Format
EDE Encrypt-Decrypt-Encrypt
EDGE Enhanced Data Rates for GSM Evolution
EESM Exponential Effective SINR Mapping
EESS Earth Exploratory Satellite System
EH Extended Header
EIK EAP Integrity Key
EIRP Effective Isotropic Radiated Power
EKS Encryption Key Sequence
e-LBS Enhanced Location Based Services
eMBMS Enhanced Multimedia Broadcast Multicast Service
EMM EPS Mobility Management
eNB E-UTRAN NodeB (Base Station)
EP Enforcement Point
EPC Evolved Packet Core
ePDG Evolved Packet Data Gateway
EPRE Energy per Resource Element
EPS Evolved Packet System
E-RAB E-UTRAN Radio Access Bearer
ESM Effective SINR Mapping
ETS Emergency Telecommunications Service
ETWS Earthquake and Tsunami Warning System
EUI-48 48-bit IEEE Extended Unique Identifier
E-UTRA Evolved UTRA
E-UTRAN Evolved UTRAN
EVM Error Vector Magnitude
FA Frequency Assignment
FA Foreign Agent
FBSS Fast Base Station Switching
FC Fragmentation Control
FCAPS Fault, Configuration, Account, Performance and Security Management
FCH Frame Control Header
(Continued )
Abbreviations xxxiii

FDD Frequency Division Duplex
FDM Frequency Division Multiplexing
FEC Forward Error Correction
FER Frame Error Rate
FFR Fractional Frequency Reuse
FFSH Fast-Feedback Allocation Sub-header
FFT Fast Fourier Transform
FHDC Frequency Hopping Diversity Coding
FID Flow Identifier
FMT Feedback Mini-Tile
FP Frequency Partition
FPC Frequency Partition Configuration
FPC Fast Power Control
FPCT Frequency Partition Count
FPEH Fragmentation and Packing Extended Header
FPS Frequency Partition Size
FPSC Frequency Partition Sub-band Count
FSH Fragmentation Sub-header
FSN Fragment Sequence Number
FSS Fixed Satellite Service
FTP File Transfer Protocol
FUSC Full Usage of Subchannels
GBR Guaranteed Bit Rate
GERAN GSM EDGE Radio Access Network
GF Galois Field
GGSN Gateway GPRS Support Node
GKEK Group Key Encryption Key
GMH Generic MAC Header
GMSH Grant Management Sub-header
GNSS Global Navigation Satellite System
GP Guard Period
GPCS Generic Packet Convergence Sublayer
GPI Grant and Polling Interval
GPRS General Packet Radio Service
GPS Global Positioning System
GRA Group Resource Allocation
GRE Generic Routing Encapsulation
GS Guard Symbol
GSM Global System for Mobile Communication
GTEK Group Traffic Encryption Key
xxxiv Abbreviations

HA Home Agent
HARQ Hybrid Automatic Repeat Request
HCS Header Check Sequence
H-CSN Home CSN
HE Horizontal Encoding
HEC Header Error Check
HeNB Home eNB
H-FDD Half-Duplex Frequency Division Duplex
HFN Hyper-Frame Number
HHO Hard Handover
HMAC Hashed Message Authentication Code
HMT HARQ Mini-Tiles
H-NSP Home NSP
HO Handover
H-PURDA Hard Public Use Reservation by Departure Allocation
HRPD High Rate Packet Data
HSDPA High Speed Downlink Packet Access
HSPA High Speed Packet Access
HSS Home Subscriber Server
HT Header Type
HTTP Hypertext Transfer Protocol
IANA Internet Assigned Numbers Authority
ICIC Inter-Cell Interference Coordination
ICV Integrity Check Value
IDFT Inverse Discrete Fourier Transform
IDL Interface Description Language
IE Information Element
IEEE Institute of Electrical and Electronics Engineers
IEEE-SA IEEE Standards Association
IETF Internet Engineering Task Force
IFDMA Interleaved Frequency Division Multiple Access
IFFT Inverse Fast Fourier Transform
IMAP Internet Message Access Protocol
IMM Idle Mode Management
IMS IP Multimedia Subsystem
IMT International Mobile Telecommunications
IoT Interference over Thermal
IP Internet Protocol
IPCS Internet Protocol Convergence Sublayer
IPSec IP Security
(Continued )
Abbreviations xxxv

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CHAPTER VIII.
SHAMS OF THE SCHOOL
The constructive scheme which I have in mind throughout this
criticism of our prejudices and institutions may, as I said, be
summed essentially in two words: industrial organisation and
education. When we have reformed our administrative machinery,
which we miscall “government,” and abandoned our military and
naval atrocities, and simplified international life, our chosen public
servants will find that these two are their chief concerns. Probably
the supreme concern will—once we have constructed an orderly
industrial machinery—be education, in the sense which I would
attach to the word. Every year a million new citizens will join the
community, and it will be the State’s first business to see that they
are thoroughly prepared in every respect to contribute to its weal
and happiness, and that they maintain throughout life sufficient
intellectual alertness to control their common concerns with wisdom
and in a progressive spirit. It is as a necessary preliminary to this
that I have dealt critically and reconstructively with the home and
the parent.
That glorification of indolence which we call the principle of
laissez-faire is so successful in this department of our public life that
what ought to be the State’s chief concern is hardly ever mentioned
in our orgies of parliamentary debate. We peck at it occasionally. We
enact that babies must have orange-boxes, and that children must
not smoke cigarettes or approach within a certain number of yards
of a bar (so that we get bar-scenes outside the door); and
occasionally the representatives of rival sects get up a grand debate
on the Bible in the school. These things emphasise the general
neglect. Laissez-faire meant originally, “Leave things as they are”—it
sounded better in French, but, like many ancient sentiments, it was
converted into a respectable philosophy: “The State must leave as

much as possible to the individual and the amateur.” Nineteenth-
century Radicals fought heroically for this Conservative principle.
Education, however, was so flagrantly neglected by the parent
and the Church that we had to compromise and take the child’s mind
out of their care: leaving its body and character to the old hazards.
At last it dawns on us that a sound body and character are just as
important to the State as the capacity to read comic journals and
stories: that the entire being of the child needs expert training, and
it is worth the State’s while to give it. This broad ideal of education is
increasingly accepted by pædagogists and social writers, and it is
already largely embodied in educational practice. It has provoked the
usual reaction, the usual determination that we will not allow our
ways to be reformed without a struggle. “Advanced” teachers fight
with Conservative teachers and politicians (particularly of the vestry
type), and the familiar old hymn-tunes are heard throughout the
land. We must not weaken parental responsibility: we must not
lessen the charm of the domestic circle: we must not encroach on
the sphere of the Church: we must beware of Socialism: we must
resist the thin end of the wedge wherever we see one.
Why did the State, in the first half of the nineteenth century,
undertake the task of educating the young? I do not mean that
State-education was a new thing in history when a few European
Governments adopted it little over a century ago. The Roman Empire
had had a very fair system of municipal and State-education, and it
is one of the gravest charges against the clergy that they suffered it
to decay, and allowed or compelled ninety per cent. of their
followers to remain in a state of gross ignorance for fourteen
hundred years. At the end of the eighteenth century, as the revolt
against ecclesiastical authority spread, the idea of State-education
was revived. In England the clergy warmly resisted the progress of
the idea, but the appalling ignorance of the people proved
intolerable to the increasing band of reformers. Quakers like
Lancaster and Agnostics like Robert Owen demanded and provided
schools for the children of the workers, and the Church of England
was forced to meet this danger of unsectarian education by founding
a rival and orthodox association. But for fifty years the schooling

remained so primitive, and the proportion of illiterates remained so
enormous, that at last the bishops were brushed aside and the
Government was compelled to resume the work of the old Roman
municipalities and Senate.
The motives of the reformers and statesmen who secured this
advance were complex. Some of them were frankly anti-clerical and
eager to undermine superstition: some of them were business-men
who pleaded that a lettered worker was worth more to the State
than an illiterate worker. The predominant feeling was, as it had
been among the Stoic reformers at Rome, humanitarian. The gross
ignorance of the mass of the people was a disgrace to civilisation
and a source of brutality and crime: it was a human duty to educate.
It was very widely recognised that this sentiment imposed on us a
duty of developing the child’s character as well as its mind, but here
the Churches were inflexible. Unblushingly asserting that they were
the historic educators of Europe, they refused to relinquish their last
hold on the school, and the State was compelled to accept the
compromise of religious instruction in the public schools, as well as
the endowment of sectarian schools. As to the third part of the ideal
of education, the cultivation of the body, we may admit that science
itself was not yet sufficiently advanced to demand it.
With the growth of democratic aspirations, the Conservative
began to see a danger in this plea that the community must see to
the full development of all its children, and new phrases were
invented. “Industrial efficiency” was the most plausible of these
checks on education. The manual workers were to have their
intellects awakened to the slight extent which was needed to make
them better instruments of production, but no further: lest they
should become dissatisfied with their position of inferiority and
disturb our excellent industrial order. Educators, however, refused to
be restrained by this kind of sociology. It was their business to
develop the child’s intelligence, and they had a fine ambition to do it
thoroughly. They built infant-schools, which took the tender young
away from their mothers, to the great advantage of both. They
found that large numbers of children were too poorly fed or too
defective in body to receive real education, and they instituted drill

and demanded cheap or free meals and medical inspection. They
abolished the half-timer, and raised the age of compulsory
attendance. They began to resent the idea that lessons from the
Bible were a training of character. These developments have alarmed
many. They begin to see that in the long-run these things will
impose on the State the duty of developing the child’s whole being—
body, mind, and character—before the boy or girl is allowed to enter
the industrial world. We hesitate, as we do in face of all large and
fully developed ideals, and look round for ways of escape.
The chief of these evasions is still the doctrine of what we call
“parental responsibility.” Some day the idea that a parent is the best-
fitted person to train a child will be regarded as a medieval
superstition. The parent is as amateurish in training children as in
cooking or making frocks. The notion that “nature tells” a mother
what to do is part of the crude psychology of the Schoolmen. From
the moment of birth, and during the months before birth, the human
mother has no inspiration whatever. She goes by tradition, by the
crude advice of elders and neighbours, as every observer of the
arrival of the first baby knows. A cat acts by what we call
“instinct,”—by certain neuro-muscular reactions which natural
selection has perfected,—but a human being has intelligence instead
of instinct, and the first thing intelligence enjoins is that experts
ought to be trained for particular duties. The death-rate in every
civilised country has gone down enormously since we ceased to rely
on motherly instinct, or grandmotherly fables. A time may come,
therefore, when the State will receive a bearing woman in a properly
appointed home, and will care for the child from the moment of birth
until, in its later teens, it is equipped for work. I will suggest in the
next chapter that this ought by no means to be regarded as the
completion of education; here I am concerned only with the earlier
part. Many are convinced that this is the last and logical term of the
development on which we have entered.
I am avoiding remote ideals as much as possible, but it is
important to meet the prejudice which opposes reform along this
line. Many people tell us that, if this unnatural dethronement of the
mother and invasion of the home are to be the final terms of our

present development, they will resist it at every step: on the familiar
thin-end-of-the-wedge principle. Our beautiful “home life” must be
preserved at all costs. Our “parental instincts” shall not be
enfeebled.
Candidly, in what proportion of the real homes of England, as
distinct from the home of a fiction-writer, is the life “beautiful”? In
what proportion does it not rather present the spectacle of an
overburdened mother struggling heroically to live up to her
reputation for gentleness under the strain of ill or wayward children
and an irritating husband? In what proportion are the beautiful
homes of the novel written by spinsters or bachelors, or people who
restrict the number of their children, or men whose posthumous
biographies do not reveal a very sweet home life? I believe it was
Carlyle who originated that fond boast that no nation in the world
has a word for “home” like the English. It was certainly Dickens who
gave us the most touching pictures of domestic tenderness and
happiness. How many mothers of the working and lower middle
class do not dread the holidays, when the children threaten to be
near them all day? How many are capable of training children? How
many do not regard a blow as the supreme moral agency? How
many would not welcome the easing of their burden, and the
training of their children by experts? And why in the world should
mothers be likely to have less affection for their children because
they have infinitely less trouble with them, and see them only in
their smiling hours?
The happiest phase of English home life is, surely, found in
those middle-class families which can send the children away to
school for four-fifths of the year and welcome them home
periodically in the holiday mood. In the vast majority of cases the
teacher has to struggle despairingly against the influence of the
home and the street; for it is to the street that the mother entrusts
the child. A lady (an educational expert) once observed to me that it
was remarkable to find the children in Gaelic districts of Scotland
speaking the purest English. On the contrary, it was wholly natural,
and it points an important pædagogical moral. The children learned
English from their teachers only; there was no corrupt English dialect

in the home or village to undo the teacher’s lessons. In other
matters besides language the school-lessons are constantly
frustrated outside the school.
I pass frequently through the stream of children pouring out of
a large and handsome suburban school. It is not in a slum. There
are broad green fields on every side, and there are vast and
beautiful public spaces not far away. But the homes from which
many of the children come are squalid, and the street-scenes,
especially in front of the local inn, are often disgusting. On more
than one occasion I have heard the men openly talk of their practice
of unnatural vice. I have seen a girl of ten watch her intoxicated
father misconduct himself with a prostitute, while the mother—
whose attention was called to the fact by the child, in the mono-
syllabic language of the district—chatted with a neighbour. And I am
not surprised to notice that, when the children burst from school,
which they hate, numbers of them break into foul language,
indecent behaviour, and fighting. Their world, outside the school, is
one mighty drag on the teacher’s efforts. When they leave school,
with brains half-developed and only the maxims of ancient Judæa
(at which half their world scoffs) to guide their conduct, when they
enter workshops and laundries and join the company of ring-eyed
boys and girls in the first flush of sex-development, they shed the
feeble influence of the school-lessons in a few months.
The district I have in mind is a very common type of district: a
healthy, open suburb on the fringe of London, tainted by one of
those older villages in which the poorest workers are apt to
congregate. It has an expensive Church-Institute and numerous
chapels. You may see the thing in almost any part of London, and
most other towns. I have a vivid recollection of passing from a
Catholic elementary school and strict home in Manchester to a large
warehouse thirty-five years ago. There is little change in that respect
to-day. A very few years ago a Manchester boy passed the same
way; and a month or two later, his father told me, he returned home
chuckling over a “funny story” about Christ. The school fails, not
from lack of devotion in the teachers, but because the child learns

more in the street, and often in the home; and these lessons are,
somehow, more congenial.
Now if we are not satisfied with this comparative waste of effort
and sterility of result, we have to consider candidly the ambition of
the educationist. He wants to turn out a young citizen with an active
mind, a sound body, and a character prepared to resist the more
degrading influences of the world he will enter. He cannot carry out
this aim in the case of every child entrusted to him, but he can in
most cases, if the State will help him. He must have his children
properly nourished: neither underfed nor stuffed with coarse food by
ignorant mothers. He must have them seasonably clothed and shod:
again the mothers need instruction and pressure. He must have, not
only drill and more natural forms of exercise, but more control over
the children outside of school-hours; he is already beginning, with
great promise of good, to walk and play with them, to take them to
museums, and so on. He must have adequate medical assistance,
and must have the support of the law in counteracting dirty homes
and careless parents. He must keep the child still a few years longer
at school, because a child only begins to be really educable at
thirteen or fourteen. He must have the encouragement of knowing
that the more promising boys and girls will find the avenue open to
higher schools, and that the community will make some serious
provision of mental stimulation for the adolescent and the adult. And
in order to carry out properly this large and promising scheme of
training he must have twice as many colleagues as he has, so that
each may be able to give individual attention to pupils, and in order
that too great demands be not made on their hours of rest.
But where are we to find the very large sums of money which
would be required for carrying out such a scheme? I wish everybody
in England realised that we should have the funds to carry out this
scheme in its entirety, in its most advanced developments, if we
abolished militarism; that if we had done this before 1914, we
should have had, in the cost of the war, the funds to carry out such
a scheme two or three times over. We have to reflect also whether
the increased prosperity of England would not pay the cost. There
are other considerations which I give later, but I would add here at

least a word about experience in other lands. At New York and
Chicago I visited schools—elementary and secondary, but both free
—with which we have nothing to compare in this country: palatial
structures with superb equipment and devoted staffs. Yet when I
asked ratepayers how they contrived to spend so lavishly on
education, the three or four public men I asked were so little
conscious of a burden that they were unable to explain satisfactorily
where the funds came from!
We are, however, making progress here and there,—Bradford,
for instance, has had the courage to be quite Socialistic in its care of
the young,—and the triple ideal of education is generally, if at times
reluctantly, recognised. As far as the education of the body is
concerned, in fact, we have no ground for quarrelling with our
teachers, whatever we may say of some of our educational
authorities. Medical inspection, drill, hygiene, play, excursions,
feeding, etc., are discussed very conscientiously at every meeting of
teachers, and the reforms proposed are more or less admitted in all
places, even under the London County Council. The teachers
themselves often go far beyond their prescribed tasks in
endeavouring to help the children. In places they yield part of their
necessary midday rest to attend to the feeding of poor children:
which I found admirably, and most cheerfully and expeditiously,
done in Chicago (where 1500 children at one school were quietly
and excellently fed in thirty minutes) by a committee of ladies of the
district. They give Saturdays and holidays for conducting visits to
museums or excursions, or for controlling sports. What is chiefly
needed is that the authorities should deal stringently with backward
sectarian schools, and provide a very much larger supply of teachers
and servants. The municipal authority of the richest city in the world
—the London County Council—is scandalously stingy and reactionary
in this respect.
When we turn to the question of educating the intelligence, it is
not possible to approve so cordially. No one, assuredly, can fail to
appreciate the zeal and efforts of educationists and teachers,
especially in the last few decades. Hardly any body of professional
men and women among us, certainly no body of public servants, has

a deeper and sounder ambition to conduct its work on the most
effective lines. A vast literature is published, frequent congresses are
held, and the science of psychology is assiduously cultivated. One
must appreciate also the fatal limitations of the teacher’s activity; as
long as we withdraw children from him at the age of fourteen,
education is impossible. It may seem, therefore, ungracious or
unwise to criticise,—though I am not wholly a layman in regard to
education,—but there is at least one feature of our school life to
which I would draw serious critical attention.
The general public is apt to express this feature resentfully by
saying that the modern teacher “crams.” Better informed critics have
put it that modern education is little more than a process of
“encephalisation,” or the imprinting of certain facts on the child’s
brain almost as mechanically as the indenting of marks on the
cylinder of a gramophone. Each of these criticisms implies an
injustice. Educationists and teachers have, of course, discussed this
very point for decades, and the present system is the formulation of
their deliberate judgment. They still differ amongst themselves as to
the proportion of memory-work and stimulation-work, but it is too
late in the day (if accurate at all) to tell teachers that to “educate”
means “to draw out” the child’s “faculties,” not to put in. Every
elementary teacher knows that he must train the child to think as
well as furnish it with positive information. The point one may
legitimately raise is whether the general educational practice
represents a fair adjustment of the two functions.
It is essential in such disputes to have clear principles. What is
the aim of education? The current phrase, “to make good citizens,” is
far too vague. A good citizen is, in a large employer’s mind, a man
who will work for two pounds a week and not annoy wealthier
people by demanding more: in a clergyman’s mind, one who goes to
church. The point is serious and relevant, because there is a growing
tendency among the middle and upper class to insist on a return to
the ideal of the old Church of England school society: the children
must not be educated in such a way that they will aspire above the
station to which the Almighty has called them. As, however, the
educationist will probably reply at once that his duty is to do all in

his power to promote intelligence during such period as the State
thinks advisable, we need not discuss the larger ideal of developing
the child’s powers on general humanitarian grounds.
But glance at the manuals which are used in our schools, and
consider whether we have as yet realised the true ideal of education.
These manuals, and the methods employed, are the outcome of a
hundred years of critical discussion, yet I venture to say that they
need to be entirely rewritten. I pass over the infant-schools and
earlier standards, where the first general ideas are carefully, and on
the whole judiciously, implanted. As soon, however, as the child
enters its teens, it is painfully overloaded with memory-work. I take,
for example, the manuals of geography and history which are used
in educating children of eleven in a first-class London secondary
school. They are crammed with information which will never be of
the least use to one man in ten thousand, and which we have no
right whatever to impose on the young brain with so much
necessary work to do.
The manual of early English history which I have before me is a
characteristically modern production. Instead of the grim old
paragraphs, in alternate large and small type, on which the eye of
the child nearly always gazes with reluctance, there are vivid
sketches of life in successive ages. There is danger, perhaps, that
the child will pass to the opposite extreme, and take the manual as a
story-book, a work of ephemeral interest; at least careful guidance
will be needed to enable it to select the necessary material which is
to be memorised. But the chief defect still is the overloading of the
pages with matter of no serious usefulness. The doings of Ethelbert
and Ethelfrith and Redwald and Penda and Offa, whose very names
bewilder the young mind, are compressed into a few forbidding
paragraphs, instead of being relegated to the University. Later come
Ethelwulf and Osburh and Ethelbald and Ethelbert; and Sweyn
Forkbeard and Olaf Trygvasson and Guhilda; and Rhodri and
Llywelyn and Griffith ap Rees and Own Gwynedd and Egfrith and
Malcolm Canmore and John Balliol. How many of us know, or need
to know, a word about them, and their families, and their battles?
Then the French wars are told in detail, and the pages bristle with

dates and French names and genealogies; and the Wars of the
Roses introduce a new series of repellent and useless names and
dates. The child, in a word, is enormously overburdened with stuff
which we adults would refuse to commit to memory or even to read.
Yet this is a very modern manual, the last word in the adaptation of
history to the mind of a child of ten or eleven.
The manual of European geography, also, is one of the most
modern and enlightened that a teacher can choose, but it imposes a
mass of pedantic and useless knowledge. Isotherms and isobars and
the freezing of the Oder and Vistula and Danube; the navigability of
the Ebro and Guadalquiver, and the wheat-growing areas of France
and Spain, and the industries of Lille and Roubaix and Magdeburg
and Lombardy and Smyrna; in a word, fully one-third of the details
in the little manual—the details which it is most difficult to
remember, which tax the child’s brain most, and will be forgotten
soonest and with least loss—ought not to have been inserted. The
whole plan is academic and pedantic: it is built on the supposition
that the child must have a summary of the kind of knowledge which
a geographical expert would have to master. And in later years the
child must laboriously cover the whole globe with the same
unnecessary attention to useless details.
In mathematics, at least, the same criticism will hold. Geometry
is, of course, no longer a mere task of memorisation; but the
positive knowledge of problems is not of the least use, save in a few
exceptional cases, and the training of the mind might be achieved by
lessons in natural science. In natural science itself one might quarrel
with much of the material given: not one in ten thousand, for
instance, will even remember in later years the elements of botany.
But at least we are, in giving scientific information, training the
young to inquire into the nature of positive reality and initiating
them to branches of knowledge in which they can easily advance in
later years, since we have so fine a popular literature of science, and
the advance will be a considerable gain in their whole mental
outlook. It is chiefly in regard to history and geography that time
and labour might be spared, and more leisure given for ensuring
that the child will assimilate the knowledge imparted. Mental energy

should not be wasted in mastering an immense collection of facts
which, experience shows, are certain to be forgotten within a few
years.
I may also recall that, when we choose to carry out the
elementary reform of abolishing the plurality of tongues, a vast
economy will be made in the curriculum, and really useful knowledge
will be imparted more thoroughly and with finer attention to the
texture of the child’s brain. The academic plea, that there is
excellent training in a thorough study of Latin and Greek, may be
freely granted. But there is just as excellent a training in the
thorough study of such branches of science as are fitted for the
school, and the positive information gained is permanently useful.
If we thus eliminate languages and simplify geography and
history we give the modern teacher a more hopeful opportunity. It is
surely the universal experience that we forget nine-tenths of the
geographical details we learn at school, and we find little
inconvenience in re-learning such as we need to master in later
years. A judicious outline-scheme, with more physiography and less
of useless detail, and a fuller account of one’s national geography
(not because it describes the child’s country, but because it is
practical information) would suffice. The remainder, or part of it,
could be imparted in technical training for commerce. History should
be wholly remodelled. It is ludicrous to-day to make the child grow
pale and worn over the past royal families and wars of England, and
dismiss the general history of the race in a page or two. A fine
scheme of the history, and even the prehistory and origin, of the
human race, with so much fuller information about the child’s own
country as is useful for the understanding of its institutions and
monuments, could be imparted in less time, with more interest, and
with far greater profit. The patriotic sham deeply vitiates our scheme
of instruction and makes the training of the child scandalously one-
sided and exacting. Germany has recently shown us the pernicious
results of this political perversion of education.
Passing to the moral education of children, we at once find it
cruelly distorted and enfeebled by a religious sham of the least
defensible nature. Such moralists as Kant and Emerson hardly

exaggerated the human importance of moral law, however much
they failed to understand its human significance. Character is the
pivot on which life turns. The general diffusion of fine qualities of
character would transform the earth, quite apart from economic and
political reform, and lead to a speedier settlement of our industrial
and international difficulties. It is therefore of supreme importance
to train the will or character of the child from its earliest years. Yet
there is no other branch of our education, and hardly any other
branch of our life, in which we tolerate so crude and ludicrous a
pretence of work.
The education authority of the Metropolis of England would, one
supposes, have the advantage of the finest expert advice in the
world. Enter one of the thousands of schools under its control,
however, and ask how the training of character is conducted. A
teacher informs you that at college he has learned only to impart
“Biblical knowledge.” He will show you a scheme of lessons founded
on the Old and New Testament. The younger the child, the more
preposterous the lesson. In the lower standards the child must learn
the story of the Creation, the Fall, the Deluge, etc. It is still too
young to imagine that its teacher may, at the command of our
education authorities, be grossly deceiving it, or to perceive that
these ancient Babylonian legends contain no particular incentive to
virtue. When it passes to the higher standards it is initiated to some
equally remarkable stories about the early history of mankind and
the early conduct of the Deity. The teacher rarely believes these
things, and it may be assumed that men like Mr. Sidney Webb, who
voted for this scheme of education in the L.C.C., do not. If the child
has intelligence enough to raise the question of veracity, it must be
snubbed or deceived. A London teacher told me that on one
occasion, when he had described some of the remarkable
proceedings of the Israelites in ancient Palestine, a precocious
youngster asked: “Please, sir, is it true?” Our education authorities
forbid him to reply to such a question. Indeed, his headmaster was a
Nonconformist (very zealous for Bible lessons), and would find a way
to punish any departure from the appointed untruths.

The lessons from the New Testament are, it is true, devoid of
this atmosphere of Oriental animalism, ferocity, and superstition
which clings to the Old Testament lesson, but here again the teacher
is forced to violate the elementary principles of education. He must
gravely tell the story of the miraculous birth, the crucifixion, and the
resurrection of Christ. He probably knows that some of the most
learned divines in England and other countries regard these stories
as false, but he must deliberately and solemnly tell the young that
Christ was God and that these things are written in the “Word of
God.” He must repeat parables which we know to have been
borrowed (and often spoiled in the borrowing) from the Jewish
rabbis, yet teach that this was the unique feature of Christ’s
preaching. He must use all his ingenuity to wring a moral lesson out
of the parables of the workers in the vineyard, the royal banquet,
and so on. He must keep up this elaborate deception of the child
until it leaves his care; and he knows that, in nine cases out of ten in
London or any large city, the child is already hearing on all sides
sneers at these ancient myths, and laughing at the system which
inculcates them in the name of all that is most sacred.
The aim of our London authorities, and education authorities
generally in England, is not to train character, but to teach the
contents of the Bible. Why a civic authority should include the
teaching of the Bible no man knows; and whether a civic authority
can be indifferent to the truth or untruth of the lessons it imposes
few seem to ask. Mr. Sidney Webb, endorsing these lessons, said
that the Bible was “great literature”; and scores of our parochial
legislators, who were not generally known to admire great literature
(but were known to have numbers of Nonconformist constituents),
fervently repeated the phrase. Does the child appreciate or hear a
single word about the literary qualities of the Bible? Does a literary
lesson need to be a deliberate lesson in untruth? Can we find no
great literature which has not the taint of untruth?
Dr. Clifford says that these lessons tend to make “good citizens.”
It is not at first sight apparent why we should go to the literature of
an ancient, mendacious, polygamous, and bloodthirsty tribe for
lessons in citizenship in a modern civilisation. Let us suppose,

however, that the ingenious teacher has wrung a moral of
truthfulness, fraternity, respect for women, self-reliance, and
universal justice out of these peculiar records of ancient Judæa.
Follow the child, in imagination, into the later years of citizenship. He
hardly leaves the school before he learns that the whole Biblical
scheme is very generally ridiculed, and is rejected even by large
numbers of learned theologians. Before many years, at least, he is
fairly sure to learn this. The prescriptions of the Sermon on the
Mount he, of course, never had the slightest intention of observing.
The teacher, even while he reads the quixotic counsels, knows, and
possibly notes with approval, that the boy’s code is: “If any smite
thee on the one cheek, smite him forthwith on both.” But the boy
now learns that from the Creation to the Resurrection the whole
story is seriously disputed and is rejected by the majority of well-
educated people. He looks back on his “Bible lessons” and his
teacher with derision, and he discards the whole authority of his
code of conduct. Surely an admirable foundation for virtue and
citizenship!
Into the larger question of the relation of religious education
and crime I cannot enter here. I have shown elsewhere that France,
Victoria, and New Zealand, the countries with longest experience of
secular education, have the best record among civilised nations in
the reduction of crime. The carelessness of clerical writers as to the
truth of their statements on this subject is appalling. There is not a
tittle of reason in criminal statistics, or any other exact indications of
national health, for retaining religious lessons in our schools. They
are there merely because the clergy find it conducive to their
prestige to have their sacred book enthroned with honour in the
national scheme of education. As in the case of divorce, they ask us
to maintain immorality in the name of religion. German schools are
saturated with religious teaching, yet we have seen the issue of it
all.
For one hundred years our English school-system has been
hampered and perverted by this clerical insistence on religious
lessons. Parents, they sometimes say, desire it; but when the Trades
Union Congress, the only large body of parents which ever

pronounced on the subject, repeatedly voted for secular education,
by overwhelming majorities, the clergy, through the minority of their
followers, could only secure the exclusion of the subject from the
agenda. Neither do the majority of teachers desire it; while
educationists, as a whole, resent this grievous complication of their
work. Nothing but the complete secularisation of all schools
receiving funds from the nation or municipality will enable us to
advance. The clergy must do their own work on their own premises.
The moral pretext is a thin disguise of an effort to use the nation’s
resources and authority for the purpose of attaching children to the
churches.
Writers on the subject are not wholly agreed whether we ought
to substitute moral lessons for the discarded Bible lessons. We can in
such a matter proceed only on probabilities, and it seems to me that
judicious lessons for the training of character are very desirable. I do
not so much mean abstract or direct lessons on the various qualities
of character. If such lessons (on truthfulness, honesty, manliness,
etc.) were tactfully and sensibly conducted, they could be of great
service. There is really not much danger of turning the average
British schoolboy into a prig. But indirect lessons, especially from
history and biography, should be more effective.
In either case our teachers would need special training for the
lessons, and no philosophic or religious or anti-religious view of
moral principles should be admitted. Experience has surely shown
how little use there is in giving children a “categorical imperative,” or
a set of arbitrary commandments, or an æsthetic lesson on
“modesty.” You cannot in one hour teach the child to think, and in
the next expect it to accept your instruction without thinking,
because you are not prepared to give reasons for your commands. It
is sometimes forgotten that even children share the mental
awakening of our age, and must be treated wisely. The American or
the Australian child well illustrates the change that is taking place. It
is increasingly dangerous to give children dogmatic or mystic
instruction in rules of conduct, nor is it in the least necessary to base
this important part of their training on disputable grounds. Every
quality of character that is inculcated may be related to the child’s

actual or future experience of life, and will find an ample sanction
therein. Life is full of material for such lessons: material far richer
and easier of assimilation than the doings of an ancient Oriental
people with a different code of morals. Let these lessons of history
and contemporary life be developed, let the child learn in plain
human speech the social significance of justice and honour, avoiding
namby-pamby dissertations on the beauty of virtue, and there will
be placed in the mind of the young, not an exotic plant which the
child will be tempted to eradicate, but a germ which will grow and
bear fruit under the influence of its own experience.
The modern ideal of education further implies that the State
shall provide higher tuition for those youths and maidens to whom it
will be profitable to impart it. Scholastic evolution is advancing so
rapidly in this direction that the ideal hardly needs vindication.
Seventeen hundred years ago such a “ladder of education” existed in
Europe; from the municipally-endowed elementary school the
promising youth could pass, through secondary colleges, to the
imperial schools at Rome. Had that model been retained and
improved instead of being abandoned for fourteen centuries, Europe
would be in an immeasurably greater state of efficiency than it is.
We are restoring and improving the pagan model, and there are
signs that in time we shall have a complete system of secondary,
technical, and higher education, quite apart from the schools in
which the children of more or less wealthy parents learn their
traditional virtues and vices. If we have also some means by which
able children whose talent has escaped the academic eye (of which
we have many classical instances) may in later years have a chance
of recognition, we shall exploit the intelligence of the race with
splendid results.
The cost of this great reform need not intimidate us. Enormous
sums of money have been given (by men like Mr. Carnegie) or
bequeathed for the purpose, and the admirable practice will
continue. But we need a searching revision of educational
endowments, foundations, scholarships, etc. There is strong reason
to suspect that estates which are now of great value are not applied
to the scholastic purposes for which they were intended, or are

badly administered, or are used in giving gratuitous or cheap
education to the children of comfortable parents who secure favour
or influence. A consolidation of all the endowments which had not in
their origin an express sectarian purpose would provide a fund to
which the State and municipal authorities need add little. The
scheme would bring some order into our chaos of schools and
colleges, and, while the more snobbish establishments would
continue to preserve their pupils from the society of the children of
tradesfolk, and would waste valuable resources on uncultivable
minds, the youth of the nation generally, of both sexes, would be
developed to the full extent of its capacity. These things have a
monetary value. A distinguished historical writer told me that, on
sending his son to Sandhurst, he proposed that they should study
together the campaigns of Napoleon. The youth presently informed
him that the traditions of Sandhurst did not allow them to do serious
work outside the general routine. A few years later we heard the
details of our South African War.
It will be a part of this increased efficiency to rid our secondary
and higher schools of clerical domination. It is futile to say that the
clergyman must represent morals and religion in the school. His
record as a moralist during fifteen hundred years does not
recommend his services. Even to-day public schools which retain the
tradition of clerical masters are deplorable from the moral point of
view. Some of them are nurseries of a vice which, unless it be
discontinued when the youth goes out into the world, may bring on
him one of the most degrading sentences of our penal law. The
clerical method of character-training—one admits, of course, great
occasional personalities—has little influence on these things. Public-
school boys, and especially young men at our universities, know that
every syllable which the preacher addresses to them is disputed, and
no other ground of right and healthy conduct is, as a rule, impressed
on them. Many will know that the grossest opinion of the clergy
themselves is current in our public schools and older universities,
and is embodied in numbers of scurrilous stories. The position of the
clergyman in our educational world is false. He is there for the same
reason that the Bible is in the elementary school: in the interest of

the Churches. We have improved mental education enormously since
it ceased to be a monopoly of the clergy. Possibly we will make a
similar improvement in character-training; we can hardly do it with
less success than they have done.

CHAPTER IX.
THE EDUCATION OF THE ADULT
If it be granted that it is the interest and the duty of a nation to
develop the intelligence of its people, we must conclude that the
work is only half done, or not half done, by even an ideal system of
what is commonly called education. I am assuming that a time will
come when no youth or maiden will enter workshop or office before
the age of seventeen, if not eighteen; and that the better endowed
minority of our children will, without regard to their private
resources, be promoted to secondary, technical, and higher schools.
This minority will, on the whole, need no further attention. Cultural
interest and professional stimulation will ensure that their studies
continue. But the majority will fall lamentably short of the ideal of
developed and alert intelligence. The added three or four years will
be enormously valuable to the teacher, but in the majority of cases
the intellectual interest will still be so feeble that the distractions of
life will at once extinguish it.
If we speak of our actual world, not of an ideal world, this fact
is too patent to need proving. Forty-five years ago a band of
enthusiasts fought for the establishment of universal elementary
education. The survivors of that band confess that the splendid
results they anticipated have not been secured. One is, indeed,
tempted sometimes to wonder whether there was not more zeal for
culture among the workers half a century ago than there is to-day.
When you listen to a conversation, of workers or of average middle-
class people, on politics or theology or some other absorbing topic,
you are astounded at the slender amount of personal thinking and
the slavery to phrases which they have heard. Their minds seem to
resemble the screen of a kaleidoscope, on which the coloured
phrases they have read in journals or cheap literature weave
automatic patterns. I speak, of course, of the mass. I have given

hundreds of scientific lectures to keen audiences of working men,
and I know that tens of thousands of them have excellent collections
of familiar books. But the result of forty-five years of education is far
from satisfactory. It was thought that, when the people learned to
read, and the ideas of an Emerson or a Darwin could be
appropriated by any man of moderate endowment, the level of the
race would rise materially. It has not risen as much as was expected.
The phrases are learned and repeated: the ideas are not vitally
assimilated, because the intellect is not sufficiently developed.
Two classes of people will impatiently retort that there is no
need for further development. One class consists of those who dread
a higher intelligence in the workers because it leads to discontent
with their condition. To which one may reply that this concern comes
too late. One needs little intelligence to perceive the inequalities of
the distribution of wealth. The workers of the world have perceived
it, and, although only an extreme Socialist minority demands
equalisation, the mass of the workers demand a higher reward.
Midway between Australia and England, on the deck of a liner, I
heard a group of middle-class men and women contrasting the
menace of the Australian workers with the industrial content of the
mother-country. We landed, to find from the journals that the whole
United Kingdom was punctuated by strikes, agitations, and
demands. It is too late. A distinguished Belgian prelate was taken
into a large foundry, and, observing the workers, he impulsively
cried: “What a slave’s life!” “Hush, they will hear you,” said the
manager. In repeating the experience he added: “They have heard:
it is too late.” It will be better now if, in the industrial struggle of the
future, there is intelligence as well as principle on both sides. If any
large proportion of work in the human economy requires the
sacrifice of the intelligence, there is something wrong with the work.
Curiously enough, the other class of people who are impatient
of the design to stimulate their minds consists of the mass of the
workers themselves. After eight or nine or ten hours of heavy
muscular work every day, they say, they have no inclination or
fitness for serious literature, serious lectures, or serious art. They
prefer a drink, a bioscope, a music-hall. Eight hours’ work, eight

hours’ play, eight hours’ sleep; that is the ideal. A very natural and
symmetrical ideal, but—it is just the ideal which “the capitalist”
wishes them to cultivate, and this might suggest reflection. Someone
will do the thinking while they play. Democratic government is a
mischief and a blunder unless Demos is capable of thinking. If the
workers of the world have an ambition to control their destinies,
they must realise that their destinies are things too large and
complex and important to be controlled by men with sleepy brains.
There is no solution of the broad social problem of this planet which
does not imply that every adult man and woman, of normal powers,
shall be alert and informed and self-assertive enough to take an
intelligent part in its administration.
Therefore, it seems to many that a scheme of education which
ceases to operate at the age of fourteen, which teaches children to
read and has no further concern with what they read, which
impresses on their cortex a mass of facts of no utility or stimulation,
is not a fulfilment of a nation’s duty, or a proper consideration of a
nation’s interest. The grander lessons of history, the more impressive
truths of science, the vital features of economics and sociology, the
ennobling characters of fine art, cannot be even faintly impressed on
the young mind. Yet they can be impressed on the minds of nearly
all adults, and it would be an incalculable gain to the race if they
were. What is being done, and what might be done, to effect this?
The nation at present leaves it to commercial interest and to
philanthropy to carry out, in some measure, this important function,
and we may at once eliminate the commercial interest. It supplies,
at a proper profit, what is demanded. A minority ask for cheap works
of science and art and history, and several admirable series of
manuals and serial publications are supplied. A majority, an
overwhelming majority, asks only to be entertained, and there is a
mighty flood of novels and amusing works, a rich crop of music-halls
and bioscope-shows and theatres and skating rinks. It will readily be
understood that, regarding happiness as the ultimate ideal, I regard
entertainment as a proper part of life. The comedian and the story-
teller and the professional football-player are rendering good service,
and it is intellectual snobbery to murmur that they “merely

entertain” people. A good deal of nonsense is written about sport
and entertainment. Many of us can, with pleasant ease, suspend a
severely intellectual task for a few hours to witness a first-class
football match. One wonders if some of the ascetics who speak
about “mudded oafs” and “the football craze” are aware that the
game (except for professional players) occupies merely an hour and
a half a week (or alternate week) for little more than half a year.
The mischief is that so much of our entertainment appeals to
and fosters a state of mind or taste which does exclude culture. We
have to-day an army of puritan scouts, watching our music-halls and
cinematograph films, our picture-cards and novels, our open spaces
by night and our bathing-beaches by day, calculating minutely what
amount of dress or undress or sexual allusion they may permit.
Certainly we need coercion in these matters. No one who moves
amongst our average people, in any rank of society, can fail to
recognise that there would be in time a volcanic outpour of sexuality
if we did not impose restriction. Whether this chaste pruriency of the
modern Churches is an admirable thing, and whether its hirelings are
a desirable supplement to the police-force, need not be discussed
here; but what amuses one is their intense zeal to detect the
narrowest fringe of impropriety and their utter obtuseness to graver
matters. I have sometimes, when waiting before a lecture in the
dressing-room of a variety theatre, been confronted with a notice
that “the curtain will be rung down on any artist who says ‘Damn’ or
mentions the lodger,” or, more candidly (in the Colonies): “Don’t
swear. We don’t care a damn, but the public does.” The general
public would, if it were consulted, probably make the same reply as
the framers of the notice, and would blame the police for the
restriction of liberty. There is, in a word, an appalling poverty of
taste in the general public, and it pays the purveyor of
entertainment to adapt his wares to it as far as the police will
permit. To this lamentable lack of taste and culture (in the broad
sense) officials and moralists are entirely indifferent as long as the
comédienne does not refer to the seventh commandment. The
public may be as ignorant and vulgar as they like, but they must not
give expression to a natural effect of this.

The music-hall and the bioscope are the great academies of our
people to-day, and their work is largely stupefying. Sentimental
songs of the most vapid description alternate with patriotic songs of
a medieval crudeness and humorous songs which might have
appealed to a prehistoric intelligence. Bloodthirsty melodramas,
sensational scenes, and infinite variations of “The girl who did what
we are forbidden to talk about,” evoke and inflame elementary
emotions at the lowest grade of culture. Clergymen give certificates
of high moral efficacy to crude representations of passion in high life
which are designed to appeal to raw feelings. The posters alone—
the eccentric costumes and daubed faces and attempts at novelty in
the way of leering—warn away people of moderate taste or
intelligence. The bioscope is almost as bad. Apart from a few
excellent travel and scenic and scientific pictures, the show is a mass
of crude faking and boorish horse-play which presupposes an
elementary intelligence in the spectators. Pictorial post-cards add to
the monstrosities and puerilities of this kind of public education, and
a large proportion of the stories published, especially in the
periodicals which are read by girls and boys and uneducated women,
fall in the same category. We may trust that the idea will not occur
to anyone of making a collection of our picture-cards, films, music-
hall posters, novelties, etc., for preservation as typical amusements
of the twentieth century.
It is stupid to watch this lamentable exposure of our low
average of culture week by week with complete indifference until
more underclothing is displayed than we think proper. The bioscope
and music-hall—I speak of the majority—are not merely
entertaining; they are undoing the work of the educator. They are
fostering the raw and primitive emotions which it is the task of
education to refine and bring under control, debasing public taste,
and appealing to a standard which is essentially unintellectual. The
idea that fun may be utterly stupid and crude, provided it is “clean,”
is the idea of a narrow-minded fanatic, an enemy of society.
When we pass to the next cultural level of entertainment—the
better music-hall, the metropolitan type of theatre, the concert, the
novel, etc.—we have a vast provision of entertainment which amuses

or interests without cultural prejudice; rising at times to a positive
measure of artistic education or intellectual stimulation. Two things
only need be noticed here. The first is the stupidity of the kind of
censorship which we tolerate; of which little need be said, since it is
generally recognised. The amateur moral censorship of art reaches
the culmination of its absurdity in our dramatic inquisition. The
dramatist may deal with sex-passion as pruriently and provokingly as
he likes, provided he leaves enough to the spectator’s facile
imagination; but he must not attempt to raise love as an intellectual
issue. Our people may feel love: they must not think about it as a
serious problem.
The other, and more needed observation, regards the novel.
There are novels of fine artistic value, like those of Phillpotts: novels
of great intellectual use, like those of Wells: and novels of a general
and more subtle educational value, like those of Meredith. There are
novels which, like the melodrama, counteract education by their low
standard of art and intelligence, and there are novels—the great
majority—which entertain without prejudice. Since we have as much
right to be entertained as to be instructed, novel-reading is a normal
part of a normal life. Seeing, however, that a very large proportion of
the community read nothing but novels, it has been felt that the
novel might be used as a vehicle of instruction, and the didactic or
historical novel has become an institution. Many believe that they
are being educated when they read this literature.
Against this comforting assumption it is necessary to protest.
Even the greatest historical novelists, Dumas and Scott, have taken
remarkable liberties with the known facts, and added to the picture
of the time a mass of imaginative detail. Many historical novels, like
Quo Vadis or Kingsley’s Hypatia, misrepresent personalities or
periods for controversial purposes; and the bulk of modern historical
novels are worthless jumbles of fact and imagination. It is, as a rule,
the same with the sociological novel. You must know the facts in
advance—you must know where the facts end and the fiction begins
—or else merely regard the book as a form of entertainment. Lately
I read a serious historical work, by a distinguished writer, in which
Hypatia (who was fifty or sixty years old when she was murdered) is

described as a “girl-philosopher”; clearly because Kingsley, for
controversial purposes, thought fit in his novel to make her a young
and rather foolish maiden. Thousands of people take their
convictions from “novels with a purpose,” especially religious or
sociological novels, without reflecting that the author may
legitimately give them either fact or fiction. Such novels are often
profoundly mischievous. A conscientious didactic novelist like Mr.
Wells aims rather at raising issues and stimulating reflection, and in
this Mr. Wells has done splendid service. Others have done equal
disservice, and have used artificially constructed characters for the
purpose of raising prejudice against certain ideas, or have misled by
a calculated mixture of fact and fiction. It was in recommending to
the public one of these novels—an exceptionally silly and crude piece
of work—that the Bishop of London described Christianity as
“woman’s best friend.”
Religious literature is particularly offensive in this respect, but I
will give special consideration to it later. Our press-criticism of books
is a very imperfect system of checking the vagaries and prejudices of
authors. The criticisms are very frequently marked by ignorance of
the subject and by personal or doctrinal hostility to the author, while
the more learned and conscientious journals often show the most
ludicrous pedantry. I once published a novel, pseudonymously, and
was amused to read in a London weekly, which takes great pride in
the smartness of its reviews, that the author had neither an
elementary knowledge of the art of writing nor an elementary
acquaintance with the subject on which he wrote. I had already at
that time written about twenty volumes, and I had had twelve years’
intimate experience of the monastic life with which the book was
concerned. Mr. Clement Shorter, not knowing the author, had
generously described the book as “a brilliant novel.” On another
occasion an historical work of mine was gravely censured, though no
specific errors were noted in it, by our leading literary organ, on the
ground that I was not an expert on the period. I looked up the same
journal’s critique of a work written on the same historical period by
an academic authority, and published by his university, and I found
that, though there were dozens of errors in the work, it had passed

the censor with full honours. I add with pleasure that some of the
most generous notices of my works have appeared in papers (such
as The Daily Telegraph and The Spectator) to which my ideas must
be repugnant. But most literary men agree with me that reviewing
is, to a large extent, prejudiced and incompetent, and few of us
would cross a room to read ordinary press-notices of our books.
One might extend this criticism to the general work of the press
as the great popular educator. We must, however, reflect that the
press is hampered by restrictions which the public ought to bear in
mind: a journal is always a commercial transaction with a particular
section of the public, and it is generally pledged to political
partisanship. It is only just to remark that this materially restricts the
educational ambition of many journalists. The public themselves are
to blame that a large section of our press devotes so much space to
sensational murders, adulteries, burglaries, royal births and
marriages, wars and other crimes and follies. Sunday journals often
contain twenty columns of this rubbish, and the worst parts of it are,
with the most disgusting hypocrisy, thrust into prominence by
especially large head-lines announcing “A Painful Case.” One
imagines the working man spending five or six hours of the Sabbath
reading this sort of stuff. Great and grave things, which he ought to
know, are happening all over the world, but he must have sharp
eyes if he is to catch the obscure little paragraphs which—if there is
any reference at all—tell him how many have been put to death in
Russia in the last quarter, or how the republican experiment fares in
Portugal, or how democracy advances in Australia or the United
States. The space is needed for pictures of burned mansions and
notorious murderers and the commonplace relatives of politicians,
for verbatim reports of divorce and criminal cases, for inquests and
royal processions, and for the magnificent speeches of Cabinet
Ministers and would-be Cabinet Ministers.
This stricture applies to the press generally. How far it sacrifices
to these meretricious purposes the serious function of educating the
public has been painfully impressed on us by recent experience. Only
one or two journals in England surpassed our drowsy politicians in
sagacity and foresight. Though an extensive reader of German

literature (scientific and historical), it had never been my business to
follow political or military utterances; yet, when the war broke out
and I looked back on Germany’s enormous output in this
department, I realised that there had been in London for a year or
two enough German literature to convince any moderate observer
that war was fast approaching—and this was only a fragment of an
enormously larger literature. Our press had ridiculed the one or two
men and journals who warned the public of the danger. Further,
when it transpired that our Government had met the crisis with
painful slowness and inefficiency, nearly the whole press again
conspired to check criticism, and it is probable that when the war is
over the press will unite with the Churches in cultivating a foolish
and dangerous contentment on the part of the public. Our press is,
in fact, very largely an instrument of our corrupt party-system. It
never initiates reform, and it mirrors, day by day, all the crimes and
follies and maladies of our social order without the least resentment
or the faintest suggestion of reconstruction. Journals are constantly
appearing with the professed intention of correcting these defects,
yet they are almost invariably spoiled by illiberalism in one or more
departments of their work, or by gross exaggerations, hysterical
language, or impracticable proposals.
All this is a reflection of the generally low state of public culture,
and it will not alter until we devote serious care to the education of
the general intelligence. We begin at school to cultivate the child’s
imagination, though it is the quality of a child’s mind which least
requires stimulating and is most in need of subordinating to
intelligence. In later years, when the feeble intellectual stimulation
we have given is exhausted, we have to appeal to the imagination or
go unheard. “I have not read a book since I left school,” a music-hall
artist observed to me. At twenty-five he had become incapable of
doing more than look at illustrations, as he had done in his
childhood. We go on until we make the imagination itself feeble on
its constructive side. Miles of generally dauby and grotesque posters
line our streets; tons of the trashiest literature for the young are
discharged from marble palaces in the neighbourhood of Fleet
Street; novels multiply until the general public takes the words

author and novelist to be synonymous; and the daily organ of the
millions tends more and more to be a collection of pictures of
unimportant events and persons, with a very slender and peculiar
quantity of news.
If we agree that democracy will advance until the majority rule
in reality, and not merely in theory, these things must concern us. It
is of little use to point to the occasional periodical with small
circulation which endeavours to educate, to the occasional educative
column in more important journals, or to the occasional lecture or
serious concert or drama. The broad fact remains that our future
rulers are increasingly encouraged to refrain from mental cultivation,
to mistake an appeal to the imagination for knowledge, and to
debase their taste more and more with raw representations of crime
and passion. The working man reads with indignation of fashionable
ladies struggling to find a place in court when a man is being tried
for a series of sordid murders; and the working man then reads, day
after day, a three-column verbatim report of the trial, and regrets
that there is not more of it.
In order to meet this grave public need an earlier generation
invented night-schools and Mechanics’ Institutes. Many of these still
do useful work, but their number shrinks rather than increases. The
Co-operative Movement, again, set up in the early days a fine
ambition to educate its adult members, but this ambition has not
been generally sustained in the vast modern movement. Hundreds
of lecture-societies were founded, and hundreds (about seven
hundred in Great Britain, I believe) exist to-day and do some
excellent work; but many of the societies which adhered most
faithfully to the educational ideal are in difficulties or extinct. The
travel-lecture or funny lecture and the “popular” concert encroach
more and more on the serious programme. Free libraries were
another hope of the reformers of the last generation, and they are
now endowed by millionaires and maintained by municipalities. They
exhibit, perhaps, the saddest perversion of social ambition. Neither
Mr. Carnegie nor any serious municipality thinks it a duty to provide
gratuitous entertainment, but at least two-thirds of their resources
are really devoted to this. The enormously greater part of the work

of free libraries is to beguile the idle hours of young men and the
idle days of young women with novels that rarely contain a particle
of intellectual stimulation.
Public museums were another device for educating the mass of
the people, and they have largely failed. There has been in recent
years a little more regard for the public, as well as for students, but
it is still painful to see crowds passing with bovine eyes amidst our
accumulated treasures. The grouping and labelling are still too
academic: the general scheme and the immense wealth of detail
daze the eye of the inexpert. More guides and lecturers, in touch
with and informally accessible to the public, and a closer association
with University Extension and Gilchrist and other lectures, are very
much needed. Saturday afternoon in the British Museum is a
melancholy spectacle of wasted wealth. A small model museum,
designed solely for the education of the general public, would be
more useful in this respect than our magnificent national museum.
Unfortunately, the small museums copy the academic defects of the
larger. The curator of one, on whom I urged the needs of the public,
replied wearily: “Well, it will take me three years to arrange my
Cephalopods, and then I will see what I can do.”
We need a comprehensive and serious organisation and
development of our resources for educating the adult. Our Education
Department needs to throw out a new wing with the purpose of
preventing the utter waste of its work upon young children.
Institutions like the British Museum ought to be relieved of the
control of the Archbishop of Canterbury and one or two other
somnolent gentlemen, and made the centre of a splendid and
energetic system of popular instruction and stimulation. From such
centres the educational officials (as distinct from learned curators
and youths from Oxford and Cambridge who look upon the public as
a nuisance) might issue attractive invitations and publications, and
be prepared to welcome the non-student, either with “showmen”
who understand the public mind or by a general and affable
accessibility of the whole staff. Municipal museums and libraries and
picture-galleries could be organised on similar lines by the
Department, and useful private foundations, such as the Bishopsgate

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