WiMAX WiMAX: Technology for Broadband Wireless Access Loutfi Nuaymi © 2007 John Wiley & Sons, Ltd. ISBN: 0-470-02808-4 WiMAX TECHNOLOGY FOR BROADBAND WIRELESS ACCESS Loutfi Nuaymi ENST Bretagne, France Copyright © 2007 John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex PO19 8SQ, England Telephone (ϩ44) 1243 779777 Email (for orders and customer service enquiries): cs-books@wiley.co.uk Visit our Home Page on www.wiley.com All Rights Reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning or otherwise, except under the terms of the Copyright, Designs and Patents Act 1988 or under the terms of a licence issued by the Copyright Licensing Agency Ltd, 90 Tottenham Court Road, London W1T 4LP, UK, without the permission in writing of the Publisher. 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This book contains text excerpts, tables and fi gures reprinted with permission from IEEE Std 802.16 [IEEE 802.16-2004, IEEE Standard for Local and Metropolitan Area Networks, Air Interface for Fixed Broadband Wireless Access Systems, Oct. 2004; IEEE 802.16f, Amendment 1: Management Information Base, Dec. 2005; IEEE 802.16e, Amendment 2: Physical and Medium Access Control Layers for Combined Fixed and Mobile Operation in Licensed Bands and Corrigendum 1, Feb. 2006], Copyright IEEE 2007, by IEEE. The IEEE disclaims any responsibility or liability resulting from the placement and use in the described manner. British Library Cataloguing in Publication Data A catalogue record for this book is available from the British Library ISBN 978-0-470-02808-7 (HB) Typeset in 10/12 pt Times Roman by Thomson Digital. Printed and bound in Great Britain by Antony Rowe Ltd, Chippenham, England. This book is printed on acid-free paper responsibly manufactured from sustainable forestry in which at least two trees are planted for each one used for paper production. To my wife, Gaëlle, and our lovely daughter, Alice Contents Preface and Acknowledgements xv Abbreviations List xvii PART ONE Global Introduction to WiMAX 1 1 Introduction to Broadband Wireless Access 3 1.1 The Need for Wireless Data Transmission 3 1.2 Wireless Networks and Broadband Wireless Access (BWA) 4 1.2.1 Different Types of Data Networks 4 1.2.2 Some IEEE 802 Data Network Standards 5 1.2.3 Cordless WLL Phone Systems 6 1.3 Applications of BWA 8 1.3.1 Wireless is Not Mobile! 10 1.3.2 Synthesis of WiMAX BWA Applications 11 1.4 History of BWA Technologies 11 1.4.1 Video Distribution: LMDS, MMDS and DVB 11 1.4.2 Pre-WiMAX Systems 12 2 WiMAX Genesis and Framework 13 2.1 IEEE 802.16 Standard 13 2.1.1 From 802.16-2004 to 802.16e 14 2.2 WiMAX Forum 15 2.2.1 WiMAX Forum Working Groups 15 2.2.2 WiMAX Forum White Papers 16 2.3 WiMAX Products Certifi cation 16 2.3.1 WiMAX Certifi ed Products 18 2.4 Predicted Products and Deployment Evolution 19 2.4.1 Product Types 19 2.4.2 Products and Deployment Timetable 19 2.5 Other 802.16 Standards 20 2.6 The Korean Cousin: WiBro 21 3 Protocol Layers and Topologies 23 3.1 The Protocol Layers of WiMAX 23 3.2 Convergence Sublayer (CS) 25 3.3 Medium Access Control Common Part Sublayer (MAC CPS) 25 3.4 Security Sublayer 25 viii Contents 3.5 PHYsical Layer 26 3.5.1 Single Carrier (SC) and OFDM 27 3.6 Network Management Reference Model 28 3.7 WiMAX Topologies 28 4 Frequency Utilisation and System Profi les 31 4.1 The Cellular Concept 31 4.1.1 Sectorisation 31 4.1.2 Cluster Size Considerations 33 4.1.3 Handover 35 4.2 Licensed and Unlicensed Frequencies 36 4.2.1 Frequency Channels and Spectral Masks 37 4.3 WiMAX Frequencies, Regulations and Availability 38 4.3.1 France 39 4.3.2 Korea 40 4.3.3 USA 40 4.3.4 UK 40 4.3.5 China 40 4.3.6 Brazil 41 4.4 WiMAX System Profi les 41 4.4.1 Fixed WiMAX System Profi les 41 4.4.2 Mobile WiMAX System Profi les 42 PART TWO WiMAX Physical Layer 43 5 Digital Modulation, OFDM and OFDMA 45 5.1 Digital Modulations 45 5.1.1 Binary Phase Shift Keying (BPSK) 45 5.1.2 Quadrature Phase Shift Keying (QPSK) 45 5.1.3 Quadrature Amplitude Modulation (QAM): 16-QAM and 64-QAM 47 5.1.4 Link Adaptation 47 5.2 OFDM Transmission 47 5.2.1 Basic Principle: Use the IFFT Operator 48 5.2.2 Time Domain OFDM Considerations 50 5.2.3 Frequency Domain OFDM Considerations 51 5.2.4 OFDM Symbol Parameters and Some Simple Computations 52 5.2.5 Physical Slot (PS) 53 5.2.6 Peak-to-Average Power Ratio (PAPR) 53 5.3 OFDMA and Its Variant SOFDMA 53 5.3.1 Using the OFDM Principle for Multiple Access 53 5.3.2 Scalable OFDMA (SOFDMA) 55 5.3.3 OFDMA in the OFDM PHYsical Layer: Subchannelisation 55 5.4 Subcarrier Permutations in WiMAX OFDMA PHY 57 5.4.1 The Main Permutation Modes in OFDMA 57 5.4.2 Some OFDMA PHY Defi nitions 57 5.4.3 PUSC Permutation Mode 58 5.4.4 FUSC Permutation Mode 65 5.4.5 AMC Permutation Mode 67 5.4.6 TUSC Permutation Mode 68 Contents ix 6 The Physical Layer of WiMAX 69 6.1 The 802.16 Physical Transmission Chains 69 6.1.1 The Global Chains 69 6.2 Channel Coding 69 6.2.1 Randomisation 70 6.2.2 Forward Error Correction (FEC) Codes 71 6.2.3 Interleaving 73 6.2.4 Repetition 73 6.3 Turbo Coding 74 6.3.1 Convolutional Turbo Codes (CTC) 75 6.3.2 Block Turbo Codes (BTC) 76 6.4 Transmission Convergence Sublayer (TCS) 77 6.5 Burst Profi le 78 6.5.1 Downlink Burst Profi le Parameters 78 6.5.2 Uplink Burst Profi le Parameters 79 6.5.3 MCS Link Adaptation 79 PART THREE WiMAX Multiple Access (MAC Layer) and QoS Management 81 7 Convergence Sublayer (CS) 83 7.1 CS in 802.16 Protocol Architecture 83 7.2 Connections and Service Flow 83 7.2.1 Connection IDentifi ers (CIDs) 85 7.2.2 Service Flows 85 7.3 Classifi cation and Mapping 88 7.4 CS and QoS 90 7.5 Payload Header Suppression (PHS) 90 7.5.1 PHS Rules 92 7.5.2 PHS Rules Signalling 93 7.5.3 Header Compression in WiMAX 94 8 MAC Functions and MAC Frames 95 8.1 Introduction 95 8.2 MAC Addresses and MAC Frames 95 8.2.1 MAC Addresses and Other Addresses 95 8.2.2 MAC Frames 96 8.2.3 MAC Header Format 96 8.2.4 MAC Subheaders and Special Payloads 100 8.3 Fragmentation, Packing and Concatenation 100 8.3.1 Fragmentation 100 8.3.2 Packing 101 8.3.3 Concatenation 102 8.4 Basic, Primary and Secondary Management Connections 102 8.5 User Data and MAC Management Messages 105 8.6 TLV Encoding in the 802.16 Standard 105 8.6.1 TLV Encoding Sets 106 8.7 Automatic Repeat Request (ARQ) 106 8.7.1 ARQ Feedback Format 108 8.7.2 Hybrid Automatic Repeat Request (HARQ) Mechanism 109 8.8 Scheduling and Link Adaptation 110 x Contents 9 Multiple Access and Burst Profi le Description 113 9.1 Introduction 113 9.2 Duplexing: Both FDD and TDD are Possible 113 9.2.1 FDD Mode 114 9.2.2 TDD Mode 114 9.3 Transmission of Downlink and Uplink Subframes 115 9.3.1 OFDM PHY Downlink Subframe 116 9.3.2 OFDM PHY Uplink Subframe 117 9.3.3 OFDMA PHY Frame 118 9.3.4 Frame Duration 119 9.3.5 Preambles 120 9.4 Maps of Multiple Access: DL-MAP and UL-MAP 121 9.4.1 DL-MAP Message 122 9.4.2 UL-MAP Message 123 9.4.3 OFDMA PHY UL-MAP and DL-MAP Messages 124 9.5 Burst Profi le Usage: DCD Message and the DIUC Indicator 125 9.5.1 Burst Profi le Selection Thresholds 125 9.5.2 DCD (Downlink Channel Descriptor) Message 126 9.5.3 Transmission of the DCD Message 128 9.5.4 An Example of the DCD Message 128 9.5.5 DIUC Values 129 9.5.6 UCD (Uplink Channel Descriptor) Message and UIUC Indicator 132 9.6 Mesh Frame 134 9.6.1 Network Control Subframe 134 9.6.2 Schedule Control Subframe 135 10 Uplink Bandwidth Allocation and Request Mechanisms 137 10.1 Downlink and Uplink Allocation of Bandwidth 137 10.2 Types of Uplink Access Grant-request 138 10.2.1 Incremental and Aggregate Bandwidth Request 138 10.2.2 Standalone and Piggyback Bandwidth Request 138 10.3 Uplink Access Grant-request Mechanisms 140 10.3.1 Unsolicited Bandwidth Grants 141 10.3.2 Unicast Polling 141 10.3.3 Contention-based Group (Multicast or Broadcast) Polling 142 10.3.4 Management of Multicast Polling Groups 143 10.3.5 Contention Resolution for Group Polling 144 10.3.6 Bandwidth Stealing 146 10.3.7 Example of Uplink Access 147 10.4 Contention-based Focused Bandwidth Request in OFDM PHY 150 10.4.1 Full Contention (REQ Region Full) 151 10.4.2 Focused Contention (REQ Region Focused) 151 10.4.3 Summary of Contention-based Uplink Grant-request Methods 153 10.5 Contention-based CDMA Bandwidth Request in OFDMA PHY 153 11 Network Entry and Quality of Service (QoS) Management 155 11.1 Ranging 155 11.1.1 Ranging Messages 155 11.1.2 Initial Ranging 158 11.1.3 Ranging (or Periodic Ranging) 160 Contents xi 11.2 Link Adaptation 161 11.2.1 Downlink Channel Link Adaptation 162 11.2.2 Uplink Channel Link Adaptation 163 11.3 The Five Scheduling Services or QoS Classes 163 11.3.1 Unsolicited Grant Service (UGS) 165 11.3.2 Extended Real-Time Polling Service (ertPS) 166 11.3.3 Real-Time Polling Service (rtPS) 166 11.3.4 Non-Real-Time Polling Service (nrtPS) 166 11. 3.5 Best Effort (BE) 167 11.4 Scheduling and Deployment of Services Over WiMAX 167 11.4.1 The Scheduler is in the BS! 167 11.4.2 Scheduling of the Different Transmission Services 168 11.5 Dynamic Service Addition and Change 170 11.5.1 Service Flow Provisioning and Activation 170 11. 5.2 Service Flow Creation 171 11.5.3 Service Flow Modifi cation and Deletion 173 11. 5.4 Authorisation Module 174 11.6 Network Entry 175 11.6.1 Registration 179 11.6.2 De-registration and Re-registration 180 11.6. 3 SS Reset 181 PART FOUR Diverse Topics 183 12 Effi cient Use of Radio Resources 185 With the contribution of Jérôme Brouet, Alcatel, France 12.1 Introduction 185 12.2 Radio Engineering Consideration for WiMAX Systems 186 12.2.1 LOS/NLOS Propagation 186 12.2.2 Radio Parameters and System Gains 186 12.2.3 WiMAX Radio Features that Enhance the Range 187 12.2.4 Frequency Planning Guidelines 188 12.2.5 Base Station Synchronisation 188 12.3 Radio Resource Management Procedures 189 12.3.1 Power Control 189 12.3.2 Dynamic Frequency Selection (DFS) 190 12.3.3 Other Radio Resource Management Procedures 192 12.3.4 Channel Measurements 192 12.3.5 Support of Radio Resource Management in the WiMAX RAN 194 12.4 Advanced Antenna Technologies in WiMAX 194 12.4.1 Beamforming or AAS Technologies 195 12.4.2 MIMO (Multiple-Input Multiple-Output) Solution 200 12.4.3 About the Implementation of Advanced Antenna Technologies 203 12.5 Multicast Broadcast Services (MBS) 204 12.5.1 Multi-BS Access MBS 204 12.5.2 MBS Frame 205 13 WiMAX Architecture 207 With the contribution of Jérôme Brouet, Alcatel, France 13.1 The Need for a Standardised WiMAX Architecture 207 xii Contents 13.1.1 Supporting Working Groups and Documents 207 13.1.2 High-level Architecture Requirements 208 13.2 Network Reference Model 209 13.2.1 Overview and Defi nitions 209 13.2.2 ASN Reference Model and Profi les 210 13.2.3 CSN Reference Model 213 13.2.4 Reference Points 214 13.3 Network Functionalities 215 13.3.1 Network Discovery and Selection 215 13.3.2 IP Addressing 216 13.3.3 AAA Framework 216 13.3.4 Mobility 217 13.3.5 End-to-End Quality of Service 217 14 Mobility, Handover and Power-Save Modes 219 14.1 Handover Considerations 219 14.2 Network Topology Acquisition 220 14.2.1 Network Topology Advertisement 220 14.2.2 MS Scanning of Neighbour BSs 220 14.2.3 Association Procedure 221 14.2.4 CDMA Handover Ranging and Automatic Adjustment 222 14.3 The Handover Process 222 14.3.1 Cell Reselection 222 14.3.2 Handover Decision and Initiation 223 14.3.3 Synchronisation to a Target BS Downlink 223 14.3.4 Ranging and Network Re-entry 224 14.3.5 Termination of MS Context 224 14.3.6 Handover Cancellation 224 14.4 Fast BS Switching (FBSS) and Macro Diversity Handover (MDHO) 225 14.4.1 Diversity Set 225 14.4.2 Different Types of BS for a Given MS 225 14.4.3 FBSS (Fast BS Switching) 226 14.4.4 MDHO (Macro Diversity Handover) 226 14.5 Power-Save Modes 227 14.5.1 Sleep Mode 227 14.5.2 Idle Mode 228 15 Security 231 15.1 Security Elements Used in the 802.16 Standard 231 15.1.1 Encryption Algorithms 232 15.1.2 X.509 Certifi cate 232 15.1.3 Encryption Keys and Security Associations (SAs) 233 15.2 Authentication and the PKM Protocol 235 15.2.1 PKM Protocol MAC Management Messages 235 15.2.2 PKMv1: the BS Authenticates the SS and then Provides it with Keying Material 236 15.2.3 Mutual Authentication as Defi ned in 802.16e 239 15.2.4 Authorisation Key (AK) Management 240 15.2.5 Management of the Authorisation Key in PKMv2 242 15.3 Data Encryption 242 15.3.1 Generation of Encryption Keys 243 [...]... promising wireless communication systems WiMAX: Technology for Broadband Wireless Access Loutfi Nuaymi © 2007 John Wiley & Sons, Ltd ISBN: 0-470-02808-4 4 WiMAX: Technology for Broadband Wireless Access Cellular systems have to cover wide areas, as large as countries Another approach is to use wireless access networks, which were initially proposed for Local Area Networks (LANs) but can also be used for wide... but also the robustness of the technology, in addition to the relative low cost and the use of unlicensed 2.4 GHz and 5 GHz frequency bands Other variants of the basic 802 .11 standard are available (802 .11 e, 802 .11 g, 802 .11 h, 802 .11 i, etc.) or are at the draft stage (802 .11 n, etc.) IEEE 802 .15 , WPAN Different WPAN technologies were or are defined in IEEE 802 .15 IEEE 802 .15 .1 included Bluetooth, initially... Ethernet in the 19 90s IEEE 802 .11 , WLAN IEEE 802 .11 is the subcommittee that created what is now known as WiFi Technology A Wireless Local Area Network (WLAN) system and many variants were proposed by the IEEE 802 .11 working group (and subcommittees), founded in 19 90 A WLAN covers an area whose radius is of the magnitude of 10 0 metres (300 feet) First, IEEE 802 .11 (www.ieee802.org /11 /) and its two... (www.ieee802.org /11 /) and its two physical radio link variants, 802 .11 a and 802 .11 b standards, were proposed by the end of the 19 90s IEEE 802 .11 b products, certified by WiFi (Wireless Fidelity) Consortium, were available soon after These products have nearly always been known as being of WiFi Technology These WiFi products 6 • • WiMAX: Technology for Broadband Wireless Access quickly encountered a large success, mainly...Contents xiii 15 .3.2 Generation of Encryption Keys in the 802 .16 e Amendment 15 .3.3 Traffic Encryption Keys and Handover 15 .3.4 Traffic Encryption Algorithms 15 .3.5 Traffic Encryption Algorithms Added in the 802 .16 e Amendment 15 .4 Message Authentication with HMAC 15 .4 .1 Message Authentication Keys 15 .5 Other Security Issues 245 246 246 248 248 249 250 16 16 .1 16.2 16 .3 Comparisons and Conclusion... to BWA Its aim is to propose standards for (high data rate) WMAN IEEE 802 .16 standards are detailed in Section 2.2 As for 802 .11 products a certification forum was created for IEEE 802 .16 products, the WiMAX (Worldwide Interoperability for Microwave Access) forum, also described in Chapter 2 It can already be said that WiMAX is the name normally used for IEEE 802 .16 products BWA networks have a much greater... fact, IEEE 802 .16 BWA has two variants: IEEE 802 .16 -2004, which defines a fixed wireless access WMAN technology, and IEEE 802 .16 e, which is an amendment of 802 .16 -2004 approved in December 2005 It included mobility and then fast handover, then becoming a Wireless WAN (see Figure 1. 1) • • IEEE 802.20, Mobile Broadband Wireless Access (MBWA) The aim of this group is to define a technology for a packet-based... city For instance, a university may have a MAN that joins together many of its LANs situated around the site, each LAN being of the order WAN Ex: Cellular networks (second and third generation), WiMAX (IEEE 802 .16 e version), WiBro WMAN Ex: WiMAX (IEEE 802 .16 -2004 version) WLAN Ex: WiFi (IEEE 802 .11 and variants) WPAN Ex: Bluetooth (IEEE 802 .15 .1) , UWB Figure 1. 1 Illustration of network types For each... Medium Access Layer and the Physical Layer of a fixed and mobile Broadband Wireless Access System WiMAX is also based on the WiMAX Forum documents This book is intended to be a complete introduction to the WiMAX System without having the ambition to replace thousands of pages of documents of the IEEE 802 .16 standard and amendments and WiMAX Forum documents There will always be a need to refer to these for. .. 246 248 248 249 250 16 16 .1 16.2 16 .3 Comparisons and Conclusion Comparison Between Fixed WiMAX and Mobile WiMAX Comparison Between WiMAX and WiFi Comparison Between WiMAX and 3G 16 .3 .1 Advantages of the 3G Cellular System 16 .3.2 Advantages of the (Mobile) WiMAX System 16 .4 Final Thoughts and Conclusion 2 51 2 51 252 253 253 254 254 Annex A: The Different Sets of MAC Management Messages 255 Annex B: . (QoS) Management 15 5 11 .1 Ranging 15 5 11 .1. 1 Ranging Messages 15 5 11 .1. 2 Initial Ranging 15 8 11 .1. 3 Ranging (or Periodic Ranging) 16 0 Contents xi 11 .2 Link Adaptation 16 1 11 .2 .1 Downlink Channel. Technologies 11 1. 4 .1 Video Distribution: LMDS, MMDS and DVB 11 1. 4.2 Pre -WiMAX Systems 12 2 WiMAX Genesis and Framework 13 2 .1 IEEE 802 .16 Standard 13 2 .1. 1 From 802 .16 -2004 to 802 .16 e 14 2.2 WiMAX Forum. Creation 17 1 11 .5.3 Service Flow Modifi cation and Deletion 17 3 11 . 5.4 Authorisation Module 17 4 11 .6 Network Entry 17 5 11 .6 .1 Registration 17 9 11 .6.2 De-registration and Re-registration 18 0 11 .6.