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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
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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.
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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

Abbreviation Description
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

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