Sjzl20094857-ZXMBW BSS (V3.30) Mobile Broadband Wireless Base Station System Basic Principle

ZXMBW BSS
Mobile Broadband
Wireless Base Station System
Basic Principle
Version 3.30
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Revision History
Revision No. Revision Date Revision Reason

R1.0 08/10/2009 First Edition
Serial Number: sjzl20094857

Contents
Preface............................................................... i
WiMAX Overview ...............................................1
WiMAX Standard Evolution............................................... 1
Industry Status and Future Vision ..................................... 2
WiMAX Forum ................................................................ 3
WiMAX Spectrum Allocation ............................................. 4
WiMAX Characteristics and Advantages.............................. 5
Network Architecture ...................................................... 7
Profile A, B, C Difference ................................................. 8
WiMAX Principle .............................................. 11
OFDM and OFDMA .........................................................11
WiMAX Subchannel Introduction ......................................12
WiMAX TDD Frame Structure...........................................13
WiMAX Channels Function...............................................14
WiMAX Key Technologies ................................ 17
HARQ...........................................................................17
Background of HARQ..................................................17
Principles and Modes of HARQ .....................................20
Flow of HARQ............................................................21
QoS .............................................................................23
Service Types and Corresponding QoS Parameters .........23
QoS Traffic Flow Types................................................25
Dynamic Traffic Flow Setup - MS Initiated .....................26
Dynamic Traffic Flow Setup - BS Initiated......................27
Dynamic Traffic Flow Modification and Deletion ..............27
Traffic Scheduling Mechanism ......................................28
Antenna Technologies.....................................................29
MIMO.......................................................................29
MIMO Technical Advantages................................29
MIMO Application Scenarios................................29
AAS-BF ....................................................................30
AAS-BF Technical Advantages .............................30
AAS-BF Application Scenarios .............................31
Handoff........................................................................31
WiMAX Handoff Types ................................................31
Hard Handoff (HO).....................................................32
HO Flow between Unconnected BSs .....................32
HO Flow between Interconnected BSs ..................35
Source BS Fallback upon HO Cancellation
between Unconnected BSs .....................37
Source BS Release upon HO Timer Expiration
between Interconnected BSs ...................39
Fast Base Station Switchover(FBSS).............................40
Inter-BS Active Set Updating Add........................40
Inter-BS Active Set Updating Drop ......................42
Inter-BS Anchor Updating (CQI Mechanism)
...........................................................43
Inter-BS Anchor Updating (MAC Message
Mechanism) ..........................................45
Macro Diversity Handoff (MDHO) .................................46
AMC ............................................................................47
AMC Principle ............................................................47
AMC Implementation..................................................50
Scheduler .....................................................................51
Scheduling Algorithm Categories .................................51
Comparison in Scheduling Algorithm Features ..............52
Power Control ...............................................................52
Principle of Power Control ..........................................52
Power Control Classification ........................................53
Major Factors Affecting Power Control...........................54
Power Saving Mode........................................................54
Sleep Mode...............................................................54
Idle Mode .................................................................56
Fractional Frequency Reuse (FFR) ....................................57
Protocol Interface Description ........................ 59
ASN Network Reference Model.........................................59
R1 Interface .................................................................60
R3 Interface .................................................................62
R6 Interface .................................................................64
Baseband-RF Interface ...................................................66
R8 Interface .................................................................68
Figures ............................................................ 71
Tables ............................................................. 73
List of Glossary................................................ 75
Preface
Purpose ZXMBW BSS is a WiMAX-based radio access network (ASN) prod-

uct developed by ZTE Corporation.
This manual describes some key technologies and protocol inter-
faces of WiMAX radio standards and is helpful for understanding
of ZXMBW BSS implementation principle.
Intended This document is intended for engineers and technicians who per-
Audience form operation activities on ZXMBW BSS.
Prerequisite Skill To use this document effectively, users should have a general
and Knowledge understanding of WiMAX system. Familiarity with WiMAX basic
knowledge is helpful.
What is in This This manual contains the following chapters.
Manual
Chapter Summary
Chapter 1 WiMAX Overview Describes WiMAX standard

evolution, industry status,
spectrum allocation,
characteristics and advantages
and network architecture and
compares Profile A, Profile B and
Profile C.
Chapter 2 WiMAX Principle Describes WiMAX channel

structures and frame structures.
Chapter 3 WiMAX Key Describes WiMAX key technologies

Technologies including HARQ, QoS, antenna
technologies, handoff, AMC,
Scheduler, power control and
power saving modes.
Chapter 4 Protocol Interface Describes WiMAX access network

Description reference model and standard
protocol interfaces such as R1,
R3, R6 and R8 interfaces.
Confidential and Proprietary Information of ZTE CORPORATION i

ZXMBW BSS Basic Principle
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ii Confidential and Proprietary Information of ZTE CORPORATION

Chapter 1
WiMAX Overview
Table of Contents
WiMAX Standard Evolution................................................... 1
Industry Status and Future Vision ......................................... 2
WiMAX Forum .................................................................... 3
WiMAX Spectrum Allocation ................................................. 4
WiMAX Characteristics and Advantages.................................. 5
Network Architecture .......................................................... 7
Profile A, B, C Difference ..................................................... 8
WiMAX Standard Evolution

WiMAX is a broadband wireless technology that supports fixed,
nomadic, portable and mobile access.
In 1999, IEEE founded 802.16 Workgroup that is dedicated to
broadband wireless access technology specifications. In 2001,
IEEE 802.16 Workgroup issued the first WiMAX standard: IEEE
802.16-2004, which merges with IEEE 802.16, IEEE 802.16a, IEEE
802.16c and IEEE 802.16d.
By now four standards have been issued and another four are in
process. Table 1 describes the corresponding technical fields of
these standards.
TABLE 1 CORRESPONDING TECHNICAL FIELDS OF WIMAX STANDARDS
Standard Issue Technical Field

Time
IEEE Jul. 2004 2-66 GHz fixed broadband access system

802.16- air interface
2004
IEEE Dec. 2005 Air interface management information base

802.16e- of 2-6 GHz fixed and mobile broadband
2005 wireless access systems
IEEE Dec. 2005 Air interface management information base

802.16e of 2-6 GHz fixed and mobile broadband
wireless access systems
IEEE Sep. 2005 Air interface management information base

802.16f (MIB) of fixed broadband wireless access
systems
Confidential and Proprietary Information of ZTE CORPORATION 1

Standard Issue Technical Field

Time
IEEE In process Air interface management plane procedure

802.16g and service of fixed and mobile broadband
wireless access systems
IEEE In process Radio network systems running on amateur

802.16h band
IEEE In process Air interface mobile management

802.16i information base of broadband wireless
access systems
IEEE In process IEEE802.16 bridge for LAN and MAN MAC

802.16k bridge
IEEE802.16–2004 and IEEE802.16e are physical layer standards.

The IEEE 802.16–2004 standard specifies 2 GHz ~ 11 GHz as
WiMAX radio work band, which includes the amateur band. This
band provides higher coverage with lower cost. In addition, the
MAC layer of IEEE 802.16–2004 provides QoS for real-time ser-
vices such as voice and video so that they can be applied to vari-
ous physical layer environments.
As advanced version of IEEE 802.16–2004, IEEE 802.16e success-
fully introduces WiMAX technology into mobile field. Working in 2
GHz 6 GHz, IEEE 802.16e supports the mobile broadband wire-
less access air interface standard and inter-BS or inter-sector high
layer handoff, implements broadband wireless mobile access for
high speed data services and provides backward compatibility with
IEEE 802.16–2004.
IEEE 802.16c, IEEE 802.16f and IEEE 802.16g define MAC layer
MIB and physical layer MIB and relevant management procedures
and equipment interoperability for effective management of net-
work resources, mobility and spectrums.
IEEE 802.16f and IEEE 802.16g are to formulate a new standard
for network management layer.
Industry Status and Future

Vision
WiMAX Industry In the upriver of the WiMAX industry, Intel is the strong supporter
Status and Growth of WiMAX technology. In July 2006, Intel and Motorola jointly
promoted WiMAX wireless broadband technology, and WiMAX be-
comes popular. In October 2006, Intel published the first-genera-
tion chip - LSIWiMAXConnection2250 that supports mobile WiMAX
network, and announced the immediate mass production stage.
Many operators, including the United States, Britain, France, Ger-
many, Russia and some other telecommunication operators are
implementing WiMAX deployment plan.
United States, Britain, France and other countries are active in the
WiMAX spectrum allocation of resources.
2 Confidential and Proprietary Information of ZTE CORPORATION

Chapter 1 WiMAX Overview
Korea Telecom operators, SK Telecom and KT Wibro are completed

the network and become world’s first commercially available
mobile WiMAX network operators. Currently, WiMAX technology
is getting fast development, and totally 24 commercially WiMAX
network are available worldwide including Asia, America, Europe,
Africa and Oceania.
Future Vision At present mobile WiMAX industry is not fully developed, but the
business is gradually accelerating. The most noteworthy is still
mobile WiMAX in the future mobile communication technology in
the field position. Currently, the mobile WiMAX development is
mainly targeted to 3G, but not supplemental or additional tech-
nologies, which leads many uncertainties in the future of mobile
communications market structure. Particularly, many equipment
manufacturers will be involved in the development of the 3G tech-
nology, as well as in the WiMAX industry. The operators may get
various options in mobile communication technology.
If the mobile WiMAX passed in next WP8F meeting, WiMAX can
integrate into the IMT-2000, and can use a allocated part of 3 G,
IMT-Advanced frequency resources. This leads the WiMAX tech-
nology vendors, service providers and end users have a far-reach-
ing significance, as well as allowing operators in the choice of net-
work deployment, and provides services more flexibly.
WiMAX Forum
Open Standards The ultimate success of any technology, in many cases, is depen-
and Ecosystem dent on having an open standard with guaranteed equipment in-
teroperability.
Founded in 2002, WiMAX Forum is a non-profit trade organiza-
tion jointly established by leading service providers, equipment
vendors, and device and semiconductor manufacturers. By Feb.
2006, the forum comprised 365 member companies where there
were 13 board members including AT&T, Alvarion, Motorola and
ZTE.
WiMAX Forum promotes worldwide adoption and harmonization of
a standards-based broadband wireless solution based on the IEEE
802.16 and ETSI HiperMAN standards with guaranteed interoper-
ability and compatibility.
WiMAX Forum has the following seven working groups:
� Technology Working Group (TWG)
� Certification Working Group (CWG)
� Network Working Group (NWG)
� Service Provider Working Group (SPWG)
� Regulatory Working Group (RWG)
� Application Working Group (AWG)
� Marketing Working Group (MWG)
Figure 1 illustrates the inter—correlation among these working
groups.

FIGURE 1 INTER-CORRELATION AMONG WIMAX FORUM WORKING GROUPS
WiMAX Spectrum Allocation

Several frequency bands can be used for deploying WiMAX to pro-
vide different services. From a global perspective, the 2.3 GHz, 2.5
GHz, 3.5 GHz, and 5.7 GHz bands are most likely to see WiMAX
deployments, and the WiMAX Forum has identified these bands for
initial interoperability certifications.
Table 2 gives WiMAX spectrum allocations in some countries and
regions.
TABLE 2 WIMAX SPECTRUM ALLOCATION IN SOME COUNTRIES
Country Operator Frequency Band
USA Sprint Nextel 2.5 GHz, 1.7 GHz, 2.1 GHz,

2.5~2.7 GHz, 3.65~3.7 GHz
UK Telebria, 2010~2025 MHz, 2290~2302

Community MHz, 2500~2690 MHz
Internet, Pipex
France France Telecom 3.4~3.6 GHz, 5.4~5.7 GHz (in

evaluation)
Japan Softbank 2.5 GHz
Korea - 2.3~2.4 GHz
Singapore - 2.3 GHz and 2.5 GHz

Country Operator Frequency Band
Vietnam - 2.3 GHz and 3.3 GHz
Philippines Pacific Internet 2.5~2.7 GHz
India - 2.3~2.4 GHz, 2.5~2.69 GHz,

3.4~3.6 GHz, 700 MHz
New Zealand NZwireless, Airnet, 3.5 GHz

CallPlus
Taiwan Chunghwa Telecom 3.5 GHz
Algeria SLC 3.5 GHz and 5.8 GHz
Saudi Arabia - 3.5 GHz
Brazil - 3.5 GHz and 10.5 GHz
WiMAX - 2.5~2.69 GHz

Forum
Asia - 3.4~3.5 GHz
Europe - 2.5 GHz (in negotiation), 3.5

GHz
1. Some data may change in the future.
WiMAX Characteristics and

Advantages
WiMAX is a wireless broadband solution that offers a rich set of
features with a lot of flexibility in terms of deployment options and
potential service offerings. Some of the more salient features are
given below.
� OFDM-based physical layer
The WiMAX physical layer (PHY) is based on orthogonal fre-
quency division multiplexing, a scheme that offers good re-
sistance to multipath, and allows WiMAX to operate in NLOS
conditions.
� Very high peak data rates
WiMAX is capable of supporting very high peak data rates. In
fact, the peak PHY data rate can be as high as 74 Mbps when
operating using a 20MHz2 wide spectrum. More typically, us-
ing a 10MHz spectrum operating using TDD scheme with a
3:1 downlink-to-uplink ratio, the peak PHY data rate is about
25Mbps and 6.7Mbps for the downlink and the uplink, respec-
tively.
� Scalable bandwidth and data rate support
WiMAX has a scalable physical-layer architecture that allows for
the data rate to scale easily with available channel bandwidth.

� Adaptive modulation and coding (AMC)

WiMAX supports a number of modulation and forward error
correction (FEC) coding schemes and allows the scheme to be
changed on a per user and per frame basis, based on chan-
nel conditions. AMC is an effective mechanism to maximize
throughput in a time-varying channel.
� Link-layer retransmissions
For connections that require enhanced reliability, WiMAX
supports automatic retransmission requests (ARQ) at the link
layer. ARQ-enabled connections require each transmitted
packet to be acknowledged by the receiver; unacknowledged
packets are assumed to be lost and are retransmitted. WiMAX
also optionally supports hybrid-ARQ, which is an effective
hybrid between FEC and ARQ.
� Supports TDD and FDD
IEEE 802.16-2004 and IEEE 802.16e-2005 supports both time
division duplexing and frequency division duplexing, as well as
a half-duplex FDD that allows for a low-cost system implemen-
tation. All the initial WiMAX profiles are based on TDD, except
for two fixed WiMAX profiles in 3.5GHz.
� Orthogonal frequency division multiple access (OFDMA)
Mobile WiMAX uses OFDM as a multiple-access technique,
whereby different users can be allocated to different subsets
of the OFDM tones.
� Support for advanced antenna techniques
The WiMAX solution has a number of hooks built into the
physical-layer design that allows for the use of multiple-an-
tenna techniques, such as beamforming, space-time coding,
and spatial multiplexing. These schemes can be used to
improve the overall system capacity and spectral efficiency
by deploying multiple antennas at the transmitter and/or the
receiver.
� Quality-of-service support
The WiMAX MAC layer is a connection-oriented architecture
that is designed to support a variety of applications, includ-
ing voice and multimedia services. The system offers support
for constant bit rate, variable bit rate, real-time, and non-real-
time traffic flows, in addition to best-effort data traffic. WiMAX
MAC is designed to support a large number of users, with mul-
tiple connections per terminal, each with its own QoS require-
ment.
� Mobility support
The mobile WiMAX supports secure seamless handovers for
delay-tolerant full-mobility applications, such as VoIP. The
in-built for power-saving mechanisms extends the battery life
of handheld subscriber devices. Physical-layer enhancements,
such as more frequent channel estimation, uplink subchan-
nelization, and power control, are also specified in support of
mobile applications.
� IP-based architecture
The WiMAX reference network architecture is based on an all-IP
platform. All end-to-end services are delivered over an IP ar-

chitecture relying on IP-based protocols for end-to-end trans-

port, QoS, session management, security, and mobility. Re-
liance on IP allows WiMAX to ride the declining costcurves of
IP processing, facilitate easy convergence with other networks,
and exploit the rich ecosystem for application development
that exists for IP.
Network Architecture
WiMAX Forum Network Working Group (NWG) is focused on defin-
ing End-to-End Network Architecture for fixed and mobile WiMAX
systems according to IEEE 802.16 specifications. NWG E2E net-
work architecture is based on All IP platform – allowing use of
a common network core with WiMAX access services. The basic
tenets guiding the development of this architecture include support
for both 802.16 technologies (16d and 16e), decoupling of access
and core networks, co-existence of fixed/nomadic & portable/mo-
bile usage models, and allowing connectivity to IP core from varied
networks viz. green-field, 3GPP, 3GPP2, DSL, MSO etc – with in-
terworking based on standard IETF suite of protocols.
Figure 2 illustrates the network reference model.
FIGURE 2 NETWORK REFERENCE MODEL
WiMAX Forum Network Reference Model (NRM) identifies the func-

tional entities and reference points for E2E network. Major func-
tional entities are MS, ASN and CSN – with clearly defined refer-
ence points for interconnection of the logical entities. Key norma-
tive reference points are R1-thru-R5. Each of the functional en-
tities: MS, ASN and CSN represent a grouping of functions, with
flexibility on how these functions are realized in physical entities.
In compliance with NWG NRM: ZTE WiMAX system supports Cen-
tralized Architecture Wireless-DSL/MSO replacement, with limited
need for handoffs and location management functions would be an
example the target application.

Profile A, B, C Difference
The ASN may be decomposed into one or more Base Stations (BSs)
and one or more ASN Gateways (ASN-GW) as shown in Figure 3.
FIGURE 3 NETWORK REFERENCE MODEL
The WiMAX NRM defines multiple profiles for the ASN, each call-
ing for a different decomposition of functions within the ASN. ASN
profile B calls for a single entity that combines the BS and the
ASN-GW. Profiles A and C split the functions between the BS and
the ASN-GW slightly differently, specifically functions related to
mobility management and radio resource management.
Table 1 illustrates functional decomposition of ASN in various pro-
files.
TABLE 1 ASN FUNCTIONAL DECOMPOSITION IN VARIOUS PROFILES
Func- ASN Entity Name

tional Function
Category Profile A Profile B Profile C
Security Authenticator ASN-GW ASN ASN-GW
Authentication BS ASN BS
relay
Key distributor ASN-GW ASN ASN-GW
Key receiver BS ASN BS

Func- ASN Entity Name

tional Function
Category Profile A Profile B Profile C
Mobility Data path ASN-GW and ASN ASN-GW

function BS and BS
Handover ASN-GW ASN BS

control
Context server ASN-GW and ASN ASN-GW

and client BS and BS
MIP Foreign ASN-GW ASN ASN-GW

agent
Radio re- Radio resource ASN-GW ASN BS

source controller
manage-
ment Radio resource BS ASN BS
agent
Paging Paging agent BS ASN BS
Paging ASN-GW ASN ASN-GW

controller
QoS Service flow ASN-GW ASN ASN-GW

authorization
Service flow BS ASN BS

manager


Chapter 2
WiMAX Principle
Table of Contents
OFDM and OFDMA .............................................................11
WiMAX Subchannel Introduction ..........................................12
WiMAX TDD Frame Structure...............................................13
WiMAX Channels Function...................................................14
OFDM and OFDMA

OFDM Orthogonal Frequency Division Multiplex (OFDM) technology is a
multi-carrier digital communication modulation technology. OFDM
is a multiplexing technique that subdivides the bandwidth into mul-
tiple frequency sub-carriers as shown in the Figure 4.
FIGURE 4 OFDM SYSTEM ARCHITECTURE
Input data stream is divided into several parallel sub-streams of

reduced data rate (thus increased symbol duration)
Each sub-stream is modulated and transmitted on a separate or-
thogonal sub-carrier. The increased symbol duration improves the
robustness of OFDM to delay spread. Furthermore, the cyclic pre-
fix (CP) can completely eliminate Inter-Symbol Interference (ISI)
as long as the CP duration is longer than the channel delay spread.
� OFDM Principles
OFDM is a special kind of multi-carrier communication solution.
The data stream of is divided into multiple low-rate code streams
after serial/parallel conversion, and each stream is transmitted by
a sub-carrier. The OFDM does not need a filter to separate sub-

carriers, but uses Fast Fourier Transforms (FFT) to separate alias

waves.
The spectrum mode of OFDM is shown in Figure 5.
FIGURE 5 OFDM SPECTRUM MODE
OFDM is a Frequency Division Multiplexing (FDM) technology, but it

is different from the past FDM technology. The OFDM transceiver
is actually a group of modulator / demodulator implemented by
means of Fast Fourier Transform/Inverse Fast Fourier Transform
(FFT/IFFT). It moves different carriers to the zero frequency, and
makes integration in a code element period. Other carrier signals
are orthogonal to integrated signals, so the information extraction
will not be affected. The data rate of the OFDM is also related to
the number of sub-carriers.
OFDMA Orthogonal Frequency Division Multiple Access (OFDMA) is a mul-
tiple-access/multiplexing scheme that provides multiplexing op-
eration of data streams from multiple users onto the downlink
sub-channels and uplink multiple accesses by means of uplink sub-
channels.
WiMAX Subchannel
Introduction
A subchannel is a grouped subset from available subcarriers. Fixed
WiMAX based on OFDM-PHY allows a limited form of subchannel-
ization in the uplink only.
Mobile WiMAX based on OFDMA-PHY, however, allows subchannel-
ization in both the uplink and the downlink, and here, subchannels
form the minimum frequency resource-unit allocated by the base
station. Therefore, different subchannels may be allocated to dif-
ferent users as a multiple-access mechanism.
Mainly the subchannels are classified as:
� Partial Usage of Subchannel (PUSC): The subchanneliza-
tion schemes based on randomly distributed subcarriers across
the frequency spectrum for both the uplink and the downlink.
The PUSC is mandatory for all mobile WiMAX implementations

Chapter 2 WiMAX Principle
� Full Usage of Subchannel (FUSC): The subchannelization

schemes based on subcarriers throughout a frequency channel
range.
� Adaptive Modulation and Coding (AMC): The subchannel-
ization scheme based on contiguous subcarriers across fre-
quency spectrum.
WiMAX TDD Frame

Structure
The 802.16e PHY [3] supports TDD, FDD, and Half-Duplex FDD op-
eration; however the initial release of Mobile WiMAX certification
profiles will only include TDD. With ongoing releases, FDD profiles
will be considered by the WiMAX Forum to address specific mar-
ket opportunities where local spectrum regulatory requirements
either prohibit TDD or are more suitable for FDD deployments. To
counter interference issues, TDD requires system-wide synchro-
nization; nevertheless, TDD is the preferred duplexing mode for
the following reasons:
� TDD enables adjustment of the downlink/uplink ratio to sup-
port asymmetric downlink/uplink traffic efficiently. While with
FDD, downlink and uplink always have fixed and generally,
equal DL and UL bandwidths.
� TDD assures channel reciprocity for better support of link adap-
tation, MIMO and other closed loop advanced antenna tech-
nologies.
� TDD only requires a single channel for both downlink and up-
link providing greater flexibility for adaptation to varied global
spectrum allocations.
� Transceiver designs for TDD implementations are less complex
and therefore less expensive.
The WiMAX TDD frame structure is illustrated in Figure 6 and Fig-
ure 7.

FIGURE 6 WIMAX TDD FRAME STRUCTURE
FIGURE 7 WIMAX TDD FRAME STRUCTURE (AN ALTERNATIVE VIEW)
� DL-MAP and UL-MAP indicate the current frame structure.

� BS periodically broadcasts Downlink Channel Descriptor (DCD)
and Uplink Channel Descriptor (UCD) messages to indicate
burst profiles (modulation and FEC schemes).
WiMAX Channels Function

The WiMAX’s TDD channels and their functions are given below.
� Preamble

Chapter 2 WiMAX Principle
Preamble is used for time and frequency synchronization as

well as channel estimation. The preamble is the first symbol
in DL sub-frame.
� Frame Control Header (FCH)
FCH provides the frame configuration information such as MAP
message length and coding scheme and usable sub-channels.
� DL-MAP and UL-MAP
DL-MAP and UL-MAP specify the data regions of the various
users in the DL and UL sub-frames of the current frame.
� UL Ranging
UL Ranging is allocated for the mobile stations (MS) to perform
closed loop time, frequency and power adjustment as well as
bandwidth requests.
� UL CQICH
UL CQICH is allocated for MS to feedback channel state infor-
mation.
� UL ACK
UL ACK is allocated for MS to feedback DL HARQ acknowledge-
ment.


Chapter 3
WiMAX Key
Technologies
Table of Contents
HARQ ..............................................................................17
QoS .................................................................................23
Antenna Technologies ........................................................29
Handoff............................................................................31
AMC ................................................................................47
Scheduler .........................................................................51
Power Control ...................................................................52
Power Saving Mode............................................................54
Fractional Frequency Reuse (FFR) ........................................57
HARQ
Background of HARQ
The following sections describe the background of HARQ including
ARQ, FEC, HARQ and AMC.
ARQ ARQ is an Automatic Repeat Request technology. Once any error
is detected at the receive end (by use of error detection codes),
the receiver will immediately notify the transmitter to re-send the
information code element through the feedback channel until the
receiver acknowledges the receiving of correct messages.
The advantage of this method is that the system has a power-
ful error correct capability and perfect adaptability, unrelated to
channel interference changes. However, the disadvantages are as
follows:
� There should be a feedback channel.
� Transmitter and receiver are unified in a relatively complicated
control system.
� Furthermore, the system has poor communication consistency
and real-time performance.
Traditional ARQ technology only plays a role in the retransmission
mechanism, without the Forward Error Correction (FEC) function,
so it only has error detection function.

Based on its specific implementations, the ARQ may be classified

into the following types as shown in Figure 8:
FIGURE 8 ARQ CLASSIFICATION
� Step-and-Wait ARQ
The Stop-and-Wait ARQ means after the transmit end transmits a
data frame, it waits for acknowledgement of the receive end, and
then performs retransmission after receiving the NAK message.
� Go-Back-N ARQ
FIGURE 9 GO-BACK-N ARQ
The efficiency of the Go-Back-N ARQ mode is higher than the

Stop-and-Wait ARQ mode as shown in Figure 9. However, it has
a disadvantage, that is, among the resent N frames, most of the
frames are correct when transmitted for the first time, so retrans-
mission wastes the channel resources.
� Selective-Repeated ARQ
FIGURE 10 SELECTIVE-REPEATED ARQ

Chapter 3 WiMAX Key Technologies
For the Selective-Repeat ARQ mode, if a frame error occurs, only

the error frame is retransmitted, and the other correct (N-1)
frames are saved by the receive end, so the retransmission of all
frames is not necessary any more. Selective-Repeat ARQ mode
is shown in Figure 10.
Obviously, the receive end in the Selective-Repeat ARQ mode
should have enough storage space. The receive end in the
SR-ARQ mode can receive frames in disorder, while the receive
end in the Go-Back-N ARQ mode can only receive sequenced
frames. So the throughput of the Selective-Repeat ARQ mode is
greater than that of the Go-Back-N ARQ mode.
Among the above three types of basic ARQ control mechanism, the
Stop-and-Wait ARQ mode has the lowest efficiency, the Go-Back-N
ARQ mode has the intermediate efficiency, and the Selective-Re-
peat ARQ mode has the highest efficiency.
FEC The forward error correction mode is used for error control. The
transmit end sends correctable codes. After receiving these codes,
the receiver uses a code correction decoder to automatically detect
errors, and also to automatically correct errors during the trans-
mission of the received code words. For example, the Turbo Coding
and Convolutional Turbo Coding used in WiMAX systems belong to
such an error correction mode.
The advantage of this error correction mode is that no feedback
channel is needed, and the system has perfect real-time commu-
nication performance. However, its disadvantage is that the se-
lected code words must match the channel interference conditions
so that it features poor channel adaptability. To obtain a lower Bit
Error Rate (BER) , the most adverse channel conditions are always
used to design error correcting codes, so the necessary number of
redundant code elements is greater than that of error detection
codes, which causes low encoding efficiency. Furthermore, with
the improvement of the error correction capability, the decoding
device is too complex.
HARQ The combination of FEC and ARQ generates HARQ. Every sent
packet includes parity bits for error correction and detection. If
the number of error bits in a received packet is within the error
correction capability, the errors will be corrected automatically. If
there are serious errors which go beyond the error correction ca-
pability of the FEC, the receive end will request the transmit end to
re-send the packet. To some degree, this mode decreases the de-
coding complexity of the FEC mode, and avoids the disadvantage
of poor information transmission consistency of the ARQ mode.
In a summary, the HARQ can greatly improve the system perfor-
mance, flexibly adjust the rate of valid code elements, and also
can solve the error problem arising from link adaptation.
HARQ and AMC The Adaptive Modulation and Coding (AMC) selects an appropriate
modulation and encoding mode according to the wireless channel
changes, and the network selects the most appropriate link modu-
lation and encoding mode according to the instantaneous channel
quality conditions and current resources of the user. So that the
user can reach a data throughput rate as high as possible.
The combination of the AMC and HARQ technologies can achieve
better link adaptation effect. First the AMC is used to provide a
coarse data rate selection scheme, and then the HARQ technology
is used to provide precise rate demodulation, so that the adaptive
adjustment precision and resource utilization are improved.

Principles and Modes of HARQ

The characteristics of hybrid-ARQ (HARQ) are listed below:
� The HARQ is optional in the media access control (MAC) layer.
� The HARQ is applicable only when the physical layer (PHY) is
orthogonal frequency division multiple access (OFDMA).
� The capabilities of the HARQ are based on mobile station (MS).
� An MS enabled by the HARQ can have a non-HARQ connection.
� Once the service connection negotiation enables the HARQ,
data should be transmitted and received through HARQ burst.
When the management connection negotiation enables the
HARQ, data still can be transmitted and received through
non-HARQ burst.
� The HARQ adopts multi-channel stop-and-wait protocol.
� Each MS has a maximum of 16 HARQ channels.
The HARQ in 802.16e has two modes:
� Chase Combining
� Incremental Redundancy (IR)
Chase Combining In chase combining, the receiver, unlike ARQ, does not simply drop
a data frame that cannot be correctly decoded, but first keeps the
frame. After receiving the retransmitted data frame, the receive
end will combine the new data frame with the previously wrongly
decoded data frame, and then conduct decoding.
In this way, the signal-to-noise ratio (SNR) of the combined signal
is higher than that of the first received signal, so the correctly de-
coding probability is higher, and the decoding effect will be better
than pure decoding of the retransmitted data frame. In fact, the
combination of several such data frames can obtain a data frame
with higher SNR, and brings powerful error correction capability,
especially in channels with strong interference. This is the advan-
tage of the chase combining technology.
In chase combining, when the transmit end receives the retrans-
mission signaling NAK from the receive end, the transmit end sim-
ply retransmit the data frame that is just sent and fails in decoding,
that is to say, the retransmitted data frame is completely the same
as the first sent data frame. As for the receive end, it receives dif-
ferent results of the same data frame after retransmission. Such a
diversity combination method reserves the first transmission and
retransmission results of the same data frame, then each corre-
sponding symbol in these results is summed up upon decoding,
and finally, the summation result is input to the decoder for proper
decoding as a code word.
The following are the features:
� Chase combining is applicable to all coding schemes, includ-
ing convolutional coding (CC), convolutional turbo code (CTC)
, and low-density parity codes (LDPC).
� Only one version of encoding packets is generated, that is, the
content sent each time is completed the same.

� Fixed coding rate and coding order are used in retransmission,

that is, DIUC/UIUC (Downlink Interval Usage Code/Uplink In-
terval Usage Code) keeps unchanged.
� The repeat code and boosting may change upon retransmis-
sion.
Incremental IR (Incremental Redundancy) technology is to improve the correct
Redundancy decoding probability by incremental redundancy of the sent code
words, so as to increase the data throughput. The key point lies in
that the encoding rate is reduced gradually, that is, the redundancy
of the code words is increased incrementally.
For example, in initial transmission, encoding is performed at a
high rate, with smaller redundancy. If the codes cannot be cor-
rectly decoded, reduce the encoding rate to increase the redun-
dancy, and resend the codes. The receive end will combine the
data frames received for two times, to improve the error correc-
tion capability. That is to say, the IR technology does not use the
same code word and the same encoding rate for each retransmis-
sion; instead, it determines the encoding rate of the next sent code
word according to the previous decoding result. If the receive end
fails in decoding, it will send a NAK message to the transmit end,
and the transmit end will automatically reduce the encoding rate
of the next retransmitted code word, that is, increase the redun-
dancy to better suit the current channel conditions.
Compared with the chase combining mode, one of the most out-
standing advantage of the IR is that, it can adaptively adjust the
encoding rate of the transmit end according to the decoding con-
ditions each time.
In 802.16e, the IR (Incremental Redundancy) technology is only
applicable to CC and CTC , which can be further divided into CC IR
and CTC IR.
The above-mentioned IR modes can generate different version of
encoding sub-packets in the PHY layer. Each sub-packet is indi-
cated with a sub-packet ID (SPID). The sub-packet transmission
rules are as follows:
� The 00 sub-packet is transmitted for the first time (since the
00 sub-packet contains all information)
� Any sub-packet (00, 01, 10, 11) can be sent in any sequence.
� Any sub-packet can be sent for multiple times, and any sub-
packet can be neglected, except the 00 sub-packet.
Flow of HARQ
The flow of hybrid ARQ (HARQ) includes:
� Downlink HARQ (DL HARQ)
� Uplink HARQ (UL HARQ)
DL HARQ DL HARQ on BS side is described as:
1. The base station (BS) sends the first HARQ packet in the desig-
nated HARQ channel. The AI_SN is different from the previous
HARQ attempt in this channel.

2. The BS waits for the ACK/NAK message sent by the mobile

station (MS).
3. After a fixed delay (ACK/NAK is synchronous, this delay is set
by the parameter “HARQ ACK delay for DL burst” in the uplink
channel descriptor (UCD) message). If the BS receives an ACK
message, it indicates that this packet is correctly received, and
the flow ends; otherwise, the flow goes to Step 4.
4. The BS makes another HARQ attempt in the HARQ channel
of the original ACID. The AI_SN keeps unchanged, and the
sending time may be flexibly selected, the flow goes Step 2.
DL HARQ on MS side is described as:
1. The MS receives the H-ARQ packet, and checks the ACID and
AI_SN. If the AI_SN changes under the same ACID, it indicates
that the first H-ARQ attempt is received, the flow goes to Step
2; otherwise, goes to Step 4.
2. Drop all previously received H-ARQ attempts in this H-ARQ
channel.
3. Decode the packet, and the flow goes to Step 5.
4. The MS decoder combines the original error encoded packet
and the retransmitted packet according to the SNR weighing
5. If decoding succeeds, after a fixed delay, an ACK message will
be sent in the UL feedback channel. This channel is allocated
by the HARQ region in HARQ ACK Region Allocation IE by the
BS; otherwise, a NAK message will be sent, and the HARQ
packet will be saved.
Note:
� The ACK/NAK sent by the MS is not a message, but is indicated
with a group of modulated data in the allocated sub-channel.
� In DL HARQ operation, the retransmission attempt time may
be flexibly determined by the BS.
UL HARQ UL HARQ on MS side is described as:

1. In the HARQ channel designated by the BS, if the AI_SN is
different from the previous HARQ attempt in this channel, the
packet sent by the MS is the first HARQ packet.
2. The MS waits for the ACK/NAK sent by the BS.
3. After a fixed delay (ACK is synchronous, this delay is set by the
parameter “HARQ ACK delay for UL burst” in the DCD mes-
sage). If the MS receives an ACK message, it indicates that
this packet is correctly received, and the flow ends; otherwise,
the flow goes to Step 4.
4. Wait for the retransmission control information sent by the BS.
5. The MS makes another HARQ attempt in the HARQ channel of
the original ACID designated by the BS. Go to Step 2.
UL HARQ on BS side is described as:
1. The BS provides the control message in the HARQ UL-MAP IE
message, and notifies the MS to send a HARQ attempt.
2. The BS receives the uplink HARQ packet from the MS. If it is
the first HARQ attempt, the flow goes to Step 3; otherwise, the
flow goes to Step 4.
3. Decode the packet, and the flow goes to Step 5.
4. The BS decoder combines the original wrong packets and the
retransmitted packets according to the SNR weighing.

5. If decoding succeeds, after a fixed delay, the BS will use DL

HARQ ACK IE to send an ACK message, and drop all previous
received HARQ attempts in this HARQ channel; otherwise, it
will send a NAK message, save the HARQ packet, and the flow
goes to Step 1.
Note:
In DL HARQ operation, the retransmission attempt time may be
flexibly determined by the BS.
QoS
Service Types and Corresponding
QoS Parameters
BS implements QoS control of downlink and uplink traffic flows.
Before transmission of any data, a unidirectional logical link is set
up between the equivalent MAC layers of BS and MS. The logical
link is called as a connection. CID serves as a temporary address
transmitted over the link to identify a connection. WiMAX MAC
defines three management connections by function, that is, basic
connection, primary connection and advanced connection.
WiMAX defines that a traffic flow is a group of unidirectional spe-
cial QoS parameter data packet flows, which is identified by SFID.
QoS parameters contain service priority, maximum constant trans-
mission rate, maximum burst rate, minimum tolerable rate, Jitter
Tolerance, scheduling type, ARQ type, maximum delay, SDU type
and size, applied bandwidth mechanism and PDU synthesis rule.
Traffic flows can be mapped onto DiffServ encoding point or MPLS
traffic label to enable point to point IP QoS.
Figure 11 illustrates QoS implementation.

FIGURE 11 QOS IMPLEMENTATION
To satisfy various applications, 802.16e supports the following five

types of services:
� Unsolicited Grant Service (UGS)
Supports real time data flows with periodic fixed packet length,
for example, T1/E1, and VoIP without silence compression.
� Extended real time Polling Service (Extended rtPS)
Supports real time data flows with periodic variable packet
length, for example, VoIP with silence suppression. Because
this service is different from rtPS in bandwidth distribution
mechanism, it does not require polling.
� real time Polling Service (rtPS)
Supports real time data flows with periodic variable packet
length, for example, video flow in MPEG format.
� non-real time Polling Service (nrtPS)
Supports non-real time data flows with periodic variable packet
length, for example, FTP.
� Best Effort (BE)
Supports non-real time data flows transmitted on best effort,
for example, HTTP and Email.
Table 3 describes WiMAX service types and corresponding QoS.

TABLE 3 SERVICE TYPES AND CORRESPONDING QOS CATEGORIES
QoS Category Appli- Description

cation
Unsolicited Grant VoIP � Maximum Constant Rate

Service (UGS) � Maximum Latency Tolerance
� Jitter Tolerance
Extended real time �

Audio/video Maximum Constant Rate
Polling Service flow and � Maximum Latency Tolerance
(Extended rtPS) MPEG � Service Priority
code
real time Polling VoIP � Maximum Reverse Rate

Service (rtPS) � Maximum Constant Rate
� Maximum Latency Tolerance
� Jitter Tolerance
� Service Priority
non-real time Polling FTP � Maximum Reverse Rate

Service (nrtPS) � Maximum Constant Rate
Best Effort (BE) HTTPEmail � Maximum Reverse Rate

QoS Traffic Flow Types

Mobile WiMAX defines three types of traffic flows such as Provi-
sioned traffic flow, Admitted traffic flow and Active traffic flow to
identifying three traffic states.
Provisioned Traffic This type of traffic flows can be reserved without being activated.
Flow It can be activated and admitted only when necessary. When cre-
ating a Provisioned traffic flow, BS assigns a traffic flow identifier
SFID. Meanwhile BS requests to exchange QoS information of the
traffic flow with the policy server before admitting to activate it.
MS asks BS to activate a Provisioned traffic flow by transmitting
the SFID and relevant QoS parameter set carried by a DSC-REQ
message. If the traffic flow is authorized and BS can provide avail-
able resources, BS will assign a traffic CID to this traffic flow and
set up a traffic connection.
BS activates a traffic flow for MS by sending a DSC-REQ message
carrying the SFID, CID and relevant QoS parameter set. A Provi-
sioned traffic flow can be activated and deactivated many times.
The original SFID should be used to reactivate the traffic flow.
Admitted Traffic Mobile WiAMX defines a 2–stage activation model. In this model,
Flow the resources used for calls are admitted first, that is, reserved
first. After the end to end negotiation is completed and the whole
call link is set up, theses resources are activated.
The 2–stage activation model is used to:
1. Distribute network resources before the end to end connection
is set up.

2. Perform policy check and admittance control on resources as

soon as possible before informing the remote end requesting
for connection setup.
3. Prevent the traffic from stealing.
When a new ActiveQoSParamSet becomes a subset of Admit-
tedQoSParamSet, the traffic flow activation request is admitted.
For an admittance request whose AdmittedQoSParamSet is the
subset of the previous AdmittedQoSParamSet, the request should
be admitted provided that the ActiveQoSParamSet is still the
subset of AdmittedQoSParamSet.
BS has assigned resources for an Admitted traffic flow but these
resources are not activated. In some applications, it is necessary
to reserve some resources for a long time. For example, when a
call is suspended, the resources used by the call can be taken for
other use but BS must ensure that these resources can be used
by the call once it is restored.
Active Traffic Flow The traffic flows containing non-null ActiveQoSParamSet is called
Active traffic flows. This type of traffic flow can be used to directly
transmit data packets of user service. An Admitted traffic flow
can be activated by providing a non-null ActiveQoSParamSet to
complete stage 2 of the 2–stage activation model.
Traffic flows can be reserved and then instantly activated, or dy-
namically established and then instantly activated. In this way,
traffic flows can be used immediately after being established re-
gardless of the 2–stage activation model.
Dynamic Traffic Flow Setup - MS

Initiated
Figure 12 shows the procedure of MS-initiated traffic flow setup.
FIGURE 12 MS-INITIATED DYNAMIC TRAFFIC FLOW

MS sends a DSA-REQ message carrying a QoS parameter set and

attributes of the parameter set indicating that the set is used for
only admittance or for both admittance and activation.
BS responds with a DSA-RSP message with an instruction to accept
or reject the traffic flow setup. If BS rejects the setup according to
relevant parameter value, it encapsulates the corresponding pa-
rameter into the DSA-RSP message and sends it to MS.
Dynamic Traffic Flow Setup - BS

Initiated
BS sends a DSA-REQ message containing the SFID of a uplink or
downlink traffic flow. In addition, this message may contain the
relevant CID or a QoS parameter set with admittance or activation
instruction. Figure 13 shows the BS-initiated dynamic traffic flow.
FIGURE 13 BS-INITIATED DYNAMIC TRAFFIC FLOW
MS accepts or rejects the traffic flow setup by responding with a

DSA-RSP message. If MS rejects the setup according to relevant
parameter value, it encapsulates the related parameter into the
message and sends it to BS.
Dynamic Traffic Flow Modification

and Deletion
In the Mobile WiMAX system, the DSC message can be used to
modify Provisioned traffic flows that have been set up and traffic
flows dynamically set up by modifying Admitted or Active QoS pa-
rameter set.
DSC replaces the Admitted and Active QoS parameter sets to mod-
ify the QoS parameter of a traffic flow. If the message contains
only the Admitted set and the Active set is null, the traffic flow is
deactivated.

If the message does not contain any set (000 represents the QoS
parameter set type) and both the Admitted and Active sets are
null, the traffic flow is de-admitted. If the message contains the
two QoS parameter sets, the Admitted set will be checked first.
If it is OK, the Active set will be checked. This ensures that the
Active set is a subset of the Admitted set.
If all checks are OK, the traffic flow will be activated. Any check
failure can cause failure of the DSC processing. In this case, the
QoS parameter sets of the traffic flow are not changed.
Traffic Scheduling Mechanism

Mobile WiMAX base station scheduling is classified into uplink
scheduling and downlink scheduling.
Downlink scheduling refers to the procedure that BS decides to
transmit data packets of which traffic flows to MS according to
QoS parameters of various traffic flows and downlink sub-frame
bandwidth.
Uplink scheduling refers to the procedure that BS decides to allo-
cate bandwidth for which traffic flows according to QoS parameters
of various traffic flows and uplink sub-frame bandwidth so that the
data packets of these traffic flows can be transmitted to BS. The
traffic flow allocated with uplink bandwidth can transmit its data
packets to BS.
Because every traffic flow is bound with a service connection in
the Mobile WiMAX system, BS schedules traffic flows by scheduling
corresponding service connections.
Downlink Downlink scheduling, on the basis of QoS parameters of different
Scheduling traffic flows, determines to transmit which downlink data and con-
firm the order of downlink sub-frame data according to downlink
sub-frame capacity. Downlink scheduling is classified into MAC
layer scheduling and PHY layer scheduling.
MAC layer scheduling determines to schedule which connections
and how many data and groups PDUs in advance. PHY layer sched-
uling arranges Burst and constitutes Zone at the physical layer.
Uplink Scheduling Uplink service scheduling refers to the procedure that BS allo-
cates bandwidth to MS based on QoS parameters of different traffic
flows. BS allocates MS with bandwidth in two ways: one is that
BS allocates bandwidth to MS actively and the other is that MS
request BS for bandwidth actively.

Antenna Technologies
MIMO
MIMO Technical Advantages

MIMO radio communications technology is a new signal spatial pro-
cessing technology developed on the basis of space diversity and
intelligent antenna techniques.
Its fundamental principle is that both the receiver and transmitter
of the radio communication link are equipped with multiple an-
tennas. The transmitter converts a serial code stream output by
the signal source into multiple parallel sub-code streams among
which same or different signal source information can be carried
and sends them through different transmit antennas at the same
timeslot and same frequency.
The receiver isolates and estimates original sub-code streams
from mixed signals according to signal irrelevance of different
receive antennas due to transmission-caused multipath so as to
realize frequency band resource multiplexing or diversity in space
and thus to implement high-speed transmission in existing bands,
greatly improving spectrum utilization and link reliability.
The MIMO technology has the following advantages:
� Realizes diversity and improves system capacity and reliability
by lowering or using multipath fading.
� Improves spectrum utilization through space multiplexing by
making full use of space resources.
� Improves signal-to-noise ratio of received signals through di-
versity.
MIMO Application Scenarios

The MIMO technology is preferred for WiMAX antenna because of
its maturity and good performance in actual applications. ZTE Cor-
poration has built MIMO STBC/SM/CSM in Wave2 products.
MIMO STBC and MIMO SM are applicable to the channel environ-
ment with abundant multipaths such as fading channel. The rec-
ommended application scenarios are crowded urban areas, com-
mon urban areas, hot spots and indoor coverage.
In crowded urban areas: For downlink configuration, BS is
equipped with two transmit antennas while MS is equipped with
two receive antennas; for uplink configuration, BS is equipped
with four receive antennas and MS is equipped with one transmit
antenna. The power of an antenna is 37dBm.
In suburb areas: For downlink configuration, BS is equipped with
two transmit antennas while MS is equipped with two receive an-

tennas; for uplink configuration, BS is equipped with four receive

antennas and MS is equipped with one transmit antenna.
AAS-BF
AAS-BF Technical Advantages

A smart antenna forms multiple adaptive beams at BS through an-
tenna array to trace multiple subscribers sharing the same chan-
nel. The smart antenna isolates these subscribers by using space
domain filter to suppress cochannel interference when receiving
signals. It maximizes the power of the signal sent to the expected
subscriber and minimizes the interference to other unexpected
subscribers by forming multiple beams when transmitting signals,
which greatly improves the network performance.
Different from the traditional diversity technique, the smart an-
tenna makes full use of the location relationship among various
units in the antenna array, that is, phase relationship among sig-
nals.
Adaptive Array Signal Beam Forming (AAS-BF) is an implementa-
tion mode of the adaptive array smart antenna and a digital signal
processing technology applied to the antenna array formed by mul-
tiple array elements. The AAS-BF technology isolates the useful
signals from interference signals by weighting the antenna array
according to the space channel feature difference between useful
signals and interference signals such as signal arrival/departure
angle so as to enhance useful signals and suppress interference
signals, thus improving communication capacity and quality.
The AAS-BF technology has the following advantages:
1. Effectively lowers delay spread and multipath fading.
When useful signals arrive from different directions and differ-
ent distances, multipath transmission can cause delay spread.
The antenna array that can form beams in some directions
and deliver null steering beams in other directions can elimi-
nate some delayed signals in two ways: In transmission mode,
it can focus and send energies to the target direction, which
helps to reduce delay spread; in reception mode, it can com-
pensate multipath fading through diversity combination.
2. Reduces cochannel interference and improves cochannel anti-
interference ability.
In transmission mode, the array antenna can send centralized
energies by means of the formed beams in the cell where the
receiver lies, which reduces interference in non-beam direc-
tions. In addition, cochannel interference can be further low-
ered by forming special null steering beams in other receiver
directions if the location of the cochannel receiver is known.
3. Improves spectrum efficiency and enlarges radio capacity.
Performance improvement due to cochannel interference re-
ducing and multipath fading decrease implemented by the ar-
ray antenna brings increase in subscriber quantity. Further-

more, the array antenna can add extra channels by means of

beam forming without adding extra spectrums, thus increasing
subscriber quantity and improving spectrum efficiency.
4. Reduces handoff times.
When the number of MSs in a cell exceeds the cell capacity,
a new cell is created by means of cell splitting. Each MS is
allocated to a new BS and with a new frequency. Cell shrinkage
increases handoff times while the array antenna can lower the
handoff ratio.
The array antenna helps to enlarge system capacity through
independent beams, avoiding cell splitting. When an MS is
moving, the beam can trace the MS. In this way, handoff does
not occur provided that MSs that occupy the same frequency
but different beams do not overlap in location.
In addition, the array antenna can increase transmission efficiency,
dynamically allocate channels (cells) and improve BER.
AAS-BF Application Scenarios

AAS-BF is applicable to the environment with few multipaths (e.g.,
line-of-sight environment) or the scenario with long—distance cov-
erage and few subscribers (e.g., rural or suburb areas). Because
its beams can trace MSs, AAS-BF is also applicable to high-speed
mobile environment (e.g., highway).
AAS-BF is applied to the following scenarios:
1. Channel environment with high-quality direct waves, for ex-
ample, suburb areas, rural areas and highways.
2. Uplink coverage. Because the downlink signal power is greatly
increased, the channel codes with higher-order modulation for-
mat and low code rate can be used to greatly improve system
capacity.
3. Scenario requiring high-quality downlink coverage. AAS-BF
can efficiently enlarge suburb downlink coverage. However,
because the uplink coverage is limited, only downlink cover-
age improvement is meaningless. Therefore, AAS-BF is usually
used in the scenario requiring high-quality downlink coverage.
Handoff
WiMAX Handoff Types
Mobile WiMAX supports hard handoff (HO), Fast Base Station
Switching (FBSS) and Macro Diversity HandOff (MDHO).
1. Hard Handoff (HO)
HO refers to the procedure that MS terminates the data trans-
mission with the source BS and then starts data transmission
with the target BS when it moves from the coverage of the

source BS to that of the target BS. HO is classified into Be-

fore-Break-Make (BBM) hard handoff and Make-Before-Break
(MBB) hard handoff.
� BBM
BBM refers to the handoff procedure that MS sets up a ser-
vice connection with the target BS and then starts data
transmission with the BS after terminating the data trans-
mission with the source BS.
� MBB
MBB refers to the handoff procedure that MS terminates
data transmission with the source BS and then starts data
transmission with the target BS after setting up a service
connection with the target BS.
2. FBSS
FBSS refers to the handoff procedure that MS sets up a service
connection with one or more target BSs and then performs
data transmission with the BS with the best communication
quality and chooses one BS for data transmission according to
communication quality change at any moment when it moves
from the coverage of the source BS to that of target BS(s).
3. MDHO
MDHO refers to the handoff procedure that MS sets up a service
connection with one or more target BSs and then performs data
transmission with the BS(s) when it moves from the coverage
of the source BS to that of the target BS(s).
Hard Handoff (HO)
HO Flow between Unconnected BSs

Description The communication between the source and target BSs is im-
plemented through backbone messages when an MS performs a
handoff between unconnected BSs. Typical backbone messages
include HO_pre_notification, HO_pre_notification_response,
HO_confirm, HO_withdraw and I_am_host_of.
Flow Chart Figure 14 illustrates the hard handoff between unconnected BSs.

FIGURE 14 HARD HANDOFF FLOW BETWEEN UNCONNECTED BSS
Flow Description Table 4 describes the hard handoff flow between unconnected BSs.
TABLE 4 DESCRIPTION OF HARD HANDOFF FLOW BETWEEN UNCONNECTED

BSS
No. Description
1 The MS sends an MOB_MSHO-REQ message carrying

the ID of the target BS to the source BS for handoff.
2 Upon receiving the handoff request, the source BS

determines the handoff type and concludes it is a
hard handoff and then sends a notification message
HO-pre-notication to AGW.
3 AGW transfers the HO-pre-notication carrying the

information used by the MS when it accesses the
source BS to target BS 1. The HO-pre-notication
message carries MAC address, bearer capability, PKM
authorization information, registry information and QoS
parameters of the MS, which will be used when the MS
accesses to the target BS.
4 AGW transfers the HO-pre-notication carrying the

information used by the MS when it accesses the source
BS to target BS 2. The HO-pre-notication message
carries MAC address of the MS, bearer capability, PKM
authorization information, registry information and QoS
parameters, which will be used when the MS accesses
to the target BS.

No. Description
5 Target BS 1 decides whether to allow the MS to access

according to its own resource situation, the MS-related
information obtained from the HO-pre-notication
message and access control and then returns a
HO-pre-notication-response message to AGW.
6 Target BS 2 decides whether to allow the MS to access

according to its own resource situation, the MS-related
information obtained from the HO-pre-notication
message and access control and then returns a
HO-pre-notication-response message to AGW.
7 Upon receiving all the HO-pre-notication-response

messages from target BSs, AGW transfers all the
messages to the source BS, informing of the information
of the target BSs and the handoff permission or
prohibition information.
8 The source BS decides the handoff target after

obtaining the information of the target BSs and sends
an MOB_BSHO-RSP message carrying the information
of the handoff target BS to the MS.
9 The source BS sends the current SDU to MS through an

Extended SN Subheader message.
10 The MS decides to hand over to target BS1

according to the target BS information carried by
the MOB_BSHO-RSP message and then sends an
MOB_HO-IND message to the source BS, indicating the
source BS to hand over it to target BS1.
11 The source BS sends AGW an HO-Conform message

to inform of the handoff.
12 AGW transfers the HO-Conform message to target BS

1, informing of the handoff.
13 AGW sends target BS 2 an HO-Withdraw message,

informing that the MS will not be handed over to it.
14 The MS terminates communication with target BSs and

starts an initial handoff to target BS1.
15 Upon completion of the initial access, the MS sends an

SN Report message carrying the sequential number
of the SDU to target BS 1. In this way, the target BS
can send subsequential SDUs to the MS based on the
sequential number to complete the hard handoff.
16 Target BS 1 sends AGW an I am hos -of message,

indicating that the handoff succeeds.
17 AGW transfers the I am hos -of message to the source

BS, informing of the handoff success.

HO Flow between Interconnected BSs

Description A hard handoff occurs when an MS moves between interconnected
BSs. The source BS exchanges handoff information with the target
BS via the interconnecting interface between them.
Flow Chart Figure 15 illustrates the hard handoff flow between interconnected
BSs.
FIGURE 15 HARD HANDOFF FLOW BETWEEN INTERCONNECTED BSS
Flow Description Table 5 describes the hard handoff flow between interconnected
BS.
TABLE 5 HARD HANDOFF FLOW BETWEEN INTERCONNECTED BSS
No. Description
1 The MS sends a handoff request message

MOB-MSHO-REQ to the target BS.

No. Description
2 The source BS decides to perform a hard handoff

between interconnected BSs according to the information
reported by the MS and sends a handoff request
message Handover-Request carrying information of the
MS to the target BS via the interface connecting the
source and target BSs.
3 The target BS performs an access control on the MS and

decides whether to allow the handoff. If yes, the target
BS sends a Connection message to the source BS, asking
for setting up a service connection between them.
4 The source BS responds with a connection setup

message Connection ACK and the service connection is
set up successfully.
5 Upon receiving the Connection Ack message, the target

BS allocates handoff resources to the MS and sends
a Handover-Request ACK message to the source BS,
informing that it allows the MS to hand over.
6 The source BS sends the MS an MOB_BSHO-RSP

message, indicating the MS to hand over to the target
BS.
7 The source BS sends the MS an Extended SN Subheader

message carrying the current SDU sequence number.
8 The MS decides to hand over to the target BS according

to the information of the target BS carried in the
MOB_BSHO-RSP message and then indicates the source
BS to hand over it to the target BS by sending an
MOB_HO-IND to the source BS.
9 The source BS sends the target BS a Fast Ranging IE

message, indicating the target BS to allocate dedicated
bandwidth to the MS for Ranging so that the MS can
quickly hand over to the target BS.
10 The target BS sends the MS the Fast Ranging IE carrying

the dedicated Ranging bandwidth.
11 The MS sends an RNG-REQ message carrying serving

BS_ID, HO_Indication and HMAC over the allocated
bandwidth.
12 Upon receiving the RNG-REQ, the target BS makes

a handoff simplification decision to determine the
simplified steps by which the MS accesses to the target
BS according to the information of the MS carried in the
handoff request message.
The target BS decides to omit basic capability

negotiation, registration and authentication.
After the decision, the target BS responds with an

RNG-RSP message carrying Service Level Prediction, HO
Process Optimization and SFID.
13 When deciding to omit basic capability negotiation, the

target BS may send the MS an SBC-RSP carrying some
capability parameters.

No. Description
14 The MS sends an SN Report carrying the SDU sequence

number to the target BS.
15 The target BS transfers the SN Report to the source BS.
16 The target BS sends an HO Access message to the

source BS, asking for achieving the handoff.
17 The source BS responds with an HO Access ACK message

and the handoff is completed. By far, the MS is handed
over to the target BS and the source BS starts to
transmit data to the MS through the target BS.
Source BS Fallback upon HO Cancellation

between Unconnected BSs
Description When an MS finds that communication signals exchanged with the
source BS become good during a handoff, it decides to cancel the
handoff and continues to communicate with the source BS. The
flow shows that the MS responds with a handoff cancellation mes-
sage and still communicates with the source BS after the source
BS sends a handoff response to it.
Flow Chart Figure 16 illustrates procedure of the source BS fallback upon hard
handoff cancellation between unconnected BSs.
FIGURE 16 SOURCE BS FALLBACK FLOW UPON HO CANCELLATION BETWEEN

UNCONNECTED BSS

Flow Description Table 6 describes the procedure of the source BS fallback upon
hard handoff cancellation between unconnected BSs.
TABLE 6 FLOW DESCRIPTION OF SOURCE BS FALLBACK UPON HO

CANCELLATION BETWEEN UNCONNECTED BSS
No. Description
1 The MS sends an MOB_MSHO-REQ message carrying the ID

of the available target BS to the source BS.
2 Upon receiving the message, the source BS judges it to be

a hard handoff between unconnected BSs and sends an
HO-pre-notication message to AGW.
3 AGW transfers the HO-pre-notication message carrying the

information that the MS uses to access the source BS to
the target BS. The HO-pre-notication message carries MAC
address, bearer capability, PKM authorization information,
registration information and QoS parameters of the MS,
which will be used when the MS accesses to the target BS.
4 The target BS decides whether to allow the MS to hand over

according to its own resource situation, access control and
the MS related information and then responds AGW with an
HO-pre-notication-response message.
5 Upon receiving the HO-pre-notication-response message,

AGW transfers it to the source BS, informing of the
information of the target BSs and the handoff permission or
prohibition information.
6 The source BS confirms the handoff target after

obtaining the information of the target BSs and sends an
MOB_BSHO-RSP message carrying the information of the
target BS to the MS.
7 The source BS sends the current SDU to the MS through an

Extended SN Subheader message.
8 The MS decides to hand over to the target BS according to

the target BS information carried by the MOB_BSHO-RSP
message and then sends an MOB_HO-IND message to the
source BS, indicating the source BS to hand over it to the
target BS.
9 The source BS sends an HO-Conform message to inform

AGW of the handoff.
10 AGW transfers the HO-Conform message to the target BS,

informing that the MS will be handed over to it.
11 The MS fails to access the target BS and then sends an

MOB_HO_IND message indicating to cancel the handoff.
12 The target BS judges the handoff to be failed because the

MS does not hand over to it in a certain period of time and
then sends an I-am-host-of message to AGW, indicating
the handoff failure.
13 AGW transfers the I-am-host-of message to the source BS.

No. Description
Upon receiving either the MOB_HO_IND or the I-am-host-of,

the source BS cancels the handoff and keeps communicating
with the MS.
Source BS Release upon HO Timer Expiration

between Interconnected BSs
Description Because the resource reservation timer of the source BS expires,
the source BS releases all the MS-related resources and the MS
cannot restore the communication with the BS. In this case, the
MS has to perform an initial access to the source BS.
When an MS is performing a handoff, the source BS releases all
the resources related to the MS because the handoff timer, for
example, T29, expires or the source BS detects that the MS stops
communicating with it. In this case, the MS has to choose a BS
for initial access.
Flow Chart Figure 17 illustrates the flow of source BS release upon hard hand-
off timer expiration between interconnected BSs.
FIGURE 17 SOURCE BS RELEASE FLOW UPON HO TIMER EXPIRATION

BETWEEN INTERCONNECTED BSS
Flow Description Table 7 describes the flow of source BS release upon hard handoff
timer expiration between interconnected BSs.

TABLE 7 FLOW DESCRIPTION OF SOURCE BS RELEASE UPON HO TIMER

EXPIRATION BETWEEN INTERCONNECTED BSS
No. Description
1 The MS sends an MOB_MSHO-REQ message carrying

the ID of the available target BS to the source BS.
2 Upon receiving the message, the source BS judges it

to be a hard handoff between interconnected BSs and
sends an HO-pre-notication message to AGW.
3 AGW transfers the HO-pre-notication message carrying

the information that the MS uses to access the
source BS to the target BS. The HO-pre-notication
message carries MAC address, bearer capability, PKM
authorization information, registration information and
QoS parameters of the MS, which will be used when the
MS accesses to the target BS.
4 The target BS decides whether to allow the MS to

hand over according to its own resource situation,
access control and the MS related information and then
responds AGW with an HO-pre-notication-response
message.
5 Upon receiving the HO-pre-notication-response

message, AGW transfers it to the source BS, informing
of the information of the target BSs and the handoff
permission or prohibition information.
6 The source BS confirms the handoff target after

obtaining the information of the target BSs and sends
an MOB_BSHO-RSP message carrying the information
of the target BS to the MS.
The source BS enables the timer T29 and waits for

the MOB_HO-IND message sent by the MS. If the BS
does not receive the message when the timer expires,
it starts the resource release flow to release all the
resources related to the MS.
7 When detecting that the MS fails to hand over, the

target BS sends an I-am-host-of message to the source
BS through AGW, informing of the handoff failure.
If the source BS does not release the resources related

to the MS but the MS does not communicate with the
source BS, the source BS will release the MS related
resources too.
Fast Base Station Switchover(FBSS)
Inter-BS Active Set Updating Add

Description MSs can hand over between BSs supporting FBSS according to the
handoff decision made by the source BS.

FBSS handoff contains two stages:

1. The MS and the source BS add the target BSs that are suit-
able for FBSS into an active set. The target BSs added into the
active set must allocate resources to the MS and set up corre-
sponding flows so that the MS can hand over at any moment.
2. The MS chooses a BS to communicate.
The BS that is communicating with the MS is called Anchor BS
during an FBSS handoff. In the active set the BSs other than the
Anchor BS do not communicate with the MS.
Flow Chart Figure 18 illustrates the inter-BS active set updating add flow.
FIGURE 18 INTER-BS ACTIVE SET UPDATING ADD FLOW
Flow Description Table 8 describes the inter-BS active set updating add flow.
TABLE 8 INTER-BS ACTIVE SET UPDATING ADD FLOW DESCRIPTION
No. Description

2 According to the information reported by the MS, the

Anchor BS judges it to be an inter-BS FBSS handoff
add and sends the target BS a Handover-Request
message over the interface between them, informing
of the handoff and information of the MS.
3 The target BS performs an access control on the MS to

decide wither to allow it to hand over. If yes, it sends
a Connection message to the Anchor BS, asking for
service connection setup between them.
4 The Anchor BS responds with a service connection

setup message Connection ACK and the connection is
set up successfully.

No. Description
5 Upon receiving the Connection Ack message, the

target BS allocates resources to the MS and sends a
Handover-Request ACK message to the Anchor BS,
informing that it allows the MS to hand over.
6 The Anchor BS sends a MOB_BSHO-RSP message to

the MS, asking it to add the target BS to the active
set for FBSS.
7 The MS adds the target BS into the active set according

to the BS information in the MOB_BSHO-RSP message
and sends a MOB_HO-IND message to the Anchor BS,
asking it to perform a handoff.
8 Upon receiving the MOB_HO-IND message, the Anchor

BS adds the target BS into the active set and sends the
MOB_HO-IND to inform the target BS that it has been
added into the active set for FBSS.
Inter-BS Active Set Updating Drop

Description Inter-BS active set updating drop refers to the procedure that an
MS chooses a suitable BS from the active set.
Flow Chart Figure 19 illustrates the inter-BS active set updating drop flow.
FIGURE 19 INTER-BS ACTIVE SET UPDATING DROP FLOW
Flow Description Table 9 describes the inter-BS active set updating drop flow.

TABLE 9 INTER-BS ACTIVE SET UPDATING DROP FLOW DESCRIPTION
No. Description

2 According to the information reported by the MS, the

Anchor BS judges it to be an inter-BS FBSS handoff
drop and sends the MS a MOB-MSHO-RSP message,
instructing the MS to perform a FBSS active set
updating drop.
3 Upon receiving the MOB-MSHO-RSP message, the MS

updates the FBSS active set and deletes the target BS
from the active set, and then sends a MOB_HO-IND
message to the Anchor BS. Upon receiving the
message, the Anchor BS updates the FBSS active set
and deletes the target BS from the active set.
4 The Anchor BS sends a Drop-Target message to the

target BS, asking it to release the resources related
to the MS.
5 When releasing these resources, the target sends a

Remove message to the Anchor BS, asking to release
the connection between them.
6 The Anchor BS releases corresponding interface

resources and responds with the target BS with a
RemoveAck message.
7 The target BS sends the Anchor BS a DroptargetAck

message to complete the release.
Inter-BS Anchor Updating (CQI Mechanism)

Description When an MS moving between BSs detects that the communication
signals with the Anchor BS become poor, it chooses another BS
that is the most suitable to communication from the active set. The
BS becomes the anchor BS and the original anchor BS becomes
a common BS in the active set. This is an Anchor BS updating
procedure.
Anchor BS updating in FBSS mode is implemented in two ways:
CQI mode and MAC message mode.
Flow Chart Figure 20 illustrates the inter-BS Anchor updating flow (CQI mech-
anism).

FIGURE 20 INTER-BS ANCHOR UPDATING FLOW (CQI MECHANISM)
Flow Description Table 10 describes the inter-BS Anchor updating flow (CQI mech-
anism).
TABLE 10 INTER-BS ANCHOR UPDATING FLOW (CQI MECHANISM)

DESCRIPTION
No. Description
1 When finding a BS more suitable for communication than

the current Anchor BS from the FBSS active set, the MS
sends an Anchor BS Switch Indication to the Anchor BS
over CQICH, instructing the Anchor BS to perform Anchor
updating.
2 The Anchor BS decides to perform FBSS Anchor updating

and sends an Anchor switch Request message to the
target BS, asking the target BS to change into an Anchor
BS.
3 Upon receiving the Anchor switch Request, the target BS

decides to change into an Anchor BS. It responds with
an Anchor switch ACK message, informing the Anchor
BS that it agrees to become an Anchor BS. Meanwhile, it
starts to make preparations for MS handoff.
4 The Anchor BS sends an Anchor_BS_switch_IE message

carrying the action time to the MS through an UL-MAP
message, instructing the MS to perform Anchor BS
updating.
5 The Anchor BS an Extended SN Subheader message

carrying the current SDU sequence number to the MS.

No. Description
6 The MS responds with an Anchor BS Switch IE Ack

message, informing the Anchor BS that it will perform
Anchor BS updating immediately.
7 The Anchor BS sends an Anchor Conform message to the

target BS, informing of the Anchor BS updating.
8 The MS detects the CQI subchannel at the target BS and

sends a CQI message over the subchannel when the
action time comes.
9 Upon receiving the CQI from the CQI subchannel, the

target BS informs the Anchor BS that it is ready for
Anchor BS updating.
10 The MS sends an SN Report message carrying the SDU

sequence number to the target BS so that the BS can
send subsequential SDUs to the MS.
By far, the Anchor BS updating is completed. The target

BS becomes a new Anchor BS and the old Anchor BS
becomes a common BS in the active set.
Inter-BS Anchor Updating (MAC Message

Mechanism)
Description Inter-BS Anchor updating (MAC message mechanism) refers to
the FBSS mode Anchor updating flow implemented through MAC
messages.
Flow Chart Figure 21 illustrates the inter-BS Anchor updating flow (MAC mes-
sage mechanism).
FIGURE 21 INTER-BS ANCHOR UPDATING FLOW (MAC MESSAGE

MECHANISM)

Flow Description Table 11 describes the inter-BS Anchor updating flow (MAC mes-
sage mechanism).
TABLE 11 INTER-BS ANCHOR UPDATING FLOW (MAC MESSAGE

MECHANISM) DESCRIPTION
No. Description
1 When finding a BS more suitable for communication than

the current Anchor BS from the FBSS active set, the MS
sends a MOB_MSHO-REQ to the Anchor BS, asking the
Anchor BS to perform Anchor updating.
2 The Anchor BS decides to perform FBSS Anchor updating

and sends an Anchor switch Request message to the
target BS, asking the target BS to change into an Anchor
BS.
3 Upon receiving the Anchor switch Request, the target BS

decides to change into an Anchor BS. It responds with an
Anchor switch ACK message, informing the Anchor BS
that it agrees to become an Anchor BS. Meanwhile, it
starts to make preparations for MS handoff.
4 The Anchor BS sends a MOB_MSHO-RSP message to the

MS, indicating that it agrees with the Anchor BS updating.
5 The Anchor BS an Extended SN Subheader message

carrying the current SDU sequence number to the MS.
6 The MS responds with a MOB_HO-IND message,

informing the Anchor BS that it will perform Anchor BS
updating immediately.
7 The Anchor BS sends a MOB_HO-IND message to the

target BS, informing of the Anchor BS updating.
8 The MS detects the CQI subchannel at the target BS and

sends a CQI message over the subchannel when the
action time comes.
9 Upon receiving the CQI from the CQI subchannel, the

target BS informs the Anchor BS that it is ready for
Anchor BS updating.
10 The MS sends an SN Report message carrying the SDU

sequence number to the target BS so that the BS can
send subsequential SDUs to the MS.
By far, the Anchor BS updating is completed. The target

BS becomes a new Anchor BS and the old Anchor BS
becomes a common BS in the active set.
Macro Diversity Handoff (MDHO)

Macro Diversity Handoff (MDHO) refers to the handoff procedure
that an MS sets up service connection(s) with one or more target
BSs for data transmission when it moves from the coverage of the
source BS to that of the target BS(s).

In view of its IPR, high handoff complexity and low efficiency,

the MDHO technology is slowly developed. Furthermore, in com-
parison to hard handoff, MDHO occupies more system resources,
which requires higher performance BSs and MSs. Therefore,
MDHO has few chances to be widely applied to Mobile WiMAX.
AMC
AMC Principle
Adaptive Modulation and Coding (AMC) is a adaptive link technol-
ogy, allowing BS adjust modulation modes such as QPSK, 16QAM
and 64QAM and the encoding rate in time according to the chan-
nel status fed back by SS so as to adjust data transmission in time
based on channel status changes, as illustrated in Figure 22.
FIGURE 22 AMC EFFECT SCHEMATIC DIAGRAM
With the adoption of AMC technology, WiMAX systems transmit as

high a data rate as possible when the channel is good, and trans-
mit at a lower rate when the channel is poor, in order to avoid
excessive dropped packets. Lower data rates are achieved by us-
ing a small constellation, such as Quadrature Phase Shift Keying
(QPSK), and low-rate error-correcting codes, such as rate 1/2 con-
volutional or turbo codes. The higher data rates are achieved with
large constellations, such as 64 Quadrature Amplitude Modulation
(64QAM), and less robust error-correcting codes; amplitude mod-
ulation (QAM), and less robust error-correcting codes; for exam-
ple, 3/4 rate convolutional, turbo, or Low-Density Parity Codes
(LDPC) codes. In all, 52 configurations of coding types and rates
are possible, although most implementations of WiMAX offer only
a fraction of these. Table 12 gives the 52 configurations.

TABLE 12 CONFIGURATIONS OF CODING TYPES AND RATES
No. Format No. Format No. Format No. Format
0 QPSK CC 14 Reserved 28 64 QAM 42 64 QAM

1/2 ZCC 3/4 LDPC 2/3
1 QPSK CC 15 QPSK CTC 29 QPSK LDPC 43 64 QAM

3/4 3/4 1/2 LDPC 3/4
2 16 QAM CC 16 16 QAM 30 QPSK LDPC 44 QPSK CC

1/2 CTC 1/2 2/3 1/2
3 16 QAM CC 17 16 QAM 31 QPSK LDPC 45 QPSK CC

3/4 CTC 3/4 3/4 3/4
4 64 QAM CC 18 64 QAM 32 16 QAM 46 16 QAM CC

1/2 CTC 1/2 LDPC 1/2 1/2

2/3 CTC 2/3 LDPC 2/3 3/4

3/4 CTC 3/4 LDPC 3/4 2/3
7 QPSK BTC 21 64 QAM 35 64 QAM 49 64 QAM CC

1/2 CTC 5/6 LDPC 1/2 3/4
8 QPSK BTC 22 QPSK ZCC 36 64 QAM 50 QPSK LDPC

3/4 1/2 LDPC 2/3 5/6
9 16 QAM 23 QPSK ZCC 37 64 QAM 51 16 QAM

BTC 3/5 3/4 LDPC 3/4 LDPC 5/6
10 16 QAM 24 16 QAM 38 QPSK LDPC 52 64 QAM

BTC 4/5 ZCC 1/2 2/3 LDPC 5/6
11 64 QAM 25 16 QAM 39 QPSK LDPC > 52

BTC 5/8 ZCC 3/4 3/4 reserved
12 64 QAM 26 64 QAM 40 16 QAM

BTC 4/5 ZCC 1/2 LDPC 2/3
13 QPSK CTC 27 64 QAM 41 16 QAM

1/2 ZCC 2/3 LDPC 3/4
For simplicity, we first consider a single user system attempting

to transmit data as quickly as possible through a channel with a
variable SINR. The goal of the transmitter is to transmit data from
its queue as rapidly as possible, subject to the data being demod-
ulated and decoded reliably at the receiver. Figure 23 illustrates
the principle of AMC.

FIGURE 23 AMC PRINCIPLE
As illustrated in Figure 23, feedback is critical for adaptive mod-

ulation and coding: The transmitter needs to know the “channel
SINR,”γ , which is defined as the received SINR divided by the
transmit power Pt . The received SINR is thus γr= Ptγ.
WiMAX systems support six encoding and modulation modes. Fig-
ure 24 illustrates the selection principle.
FIGURE 24 AMC MODES
AMC ensures best modulation and encoding mode for every SINR.
This allows the throughput to increase as the SINR increases fol-
lowing the trend promised by Shannon’s formula. The lowest of-
fered data rate is QPSK and rate 1/2 turbo codes; the highest
data-rate burst profile is with 64 QAM and rate 3/4 turbo codes.
The results shown here are for the idealized case of perfect chan-
nel knowledge. In practice, the feedback will incur some delay and
perhaps also be degraded owing to imperfect channel estimation
or errors in the feedback channel. WiMAX systems heavily protect
the feedback channel with error correction, so the main source of
degradation is usually mobility, which causes channel estimates
to rapidly become obsolete. Empirically, with speeds greater than
about 30 km/hr on a 2,100MHz carrier, even the faster feedback
configurations do not allow timely and accurate channel state in-
formation to be available at the transmitter.

AMC Implementation
WiMAX systems support 10 uplink (UIUC 1–10) and 13 downlink
(DIUC 0–12) modulation and coding modes. The modulation or-
ders range from QPSK to 64QAM and coding rates can be 1/2,
2/3, 3/4 or 5/6. Hereafter presents the implementation of an up-
link adaptive modulation and coding mode.
1. Table 13 describes 10 uplink modulation and coding modes
(UIUC 1–10) selected based on coding and rate configurations
and demodulation and decoding capabilities supported by BS.
TABLE 13 MODULATION AND CODING MODES SELECTION
UIUC FEC No. Forced exit Minimum entry

threshold (db) threshold (db)
1 0 2 3.5
2 1 4.5 6.5
3 2 7.5 9
4 3 10.5 11
5 15 8 9.5
6 16 10.5 11.5
7 18 14.5 16
8 29 8 9.5
9 31 10.5 11.5
10 34 15 16
2. Modulation and coding mode selection:

� Coding mode selection: BS selects uplink and downlink er-
ror-correcting codes according to the coding and decoding
capability negotiation result. The error-correcting codes
supported by BS contain CC, CTC and LDPC. The selection
sequence is LDPC -> CTC -> CC.
� Modulation mode selection: WiMAX systems regulates en-
try and exit thresholds for every UIUC. When finding that
the uplink signal-to-noise ratio of an MS is larger than the
minimum entry threshold of an UIUC, BS informs the MS
to use this UIUC for modulation and coding; when finding
that the uplink signal-to-noise ratio of the MS is smaller
than the forced exit threshold of an UIUC, BS informs the
MS to use a lower-order UIUC for modulation and coding.

Scheduler
Scheduling Algorithm Categories
Scheduler is used for competition in reverse traffic channel time
slots. Scheduling policy determines to allocate which channel to
which subscriber at which time. All scheduling algorithms should
guarantee QOS.
The purpose of scheduling algorithms is to:
� Maximum system throughput.
� Compensate hysteric traffic flows.
� Fairly allocate radio channels to traffic flows.
� Obtain high radio channel utilization.
� Support multi-level communications meeting various QoS re-
quirements.
� Minimum MS energy loss.
� Satisfy realizability and low complexity.
Based on fairness radio scheduling algorithms are classified into:
� Channel state independent simple fairness algorithms:
� For example, Round Robin (RR)
� Channel state dependent fairness algorithms:
� Two-state Markov channel model based radio channel
scheduling algorithms, for example, CSDPS, This type of
algorithms consider channel conditions to be good or poor.
� Fading channel based radio channel scheduling algorithms,
for example, maximum C/I scheduling and PFS algorithms.
WiMAX adopts the following common scheduling algorithms:
� Fair throughput scheduling
This algorithm is to allocate same throughput to all subscribers
no matter where these subscribers lie. With this algorithm,
subscribers staying near the BS and ones near the cell edge
can obtain the same throughput.
� Fair time scheduling
This algorithm is to allocate same occupation time to all sub-
scribers. With this algorithm, all subscribers can get equivalent
bandwidth.
� Max C/I scheduling
This algorithm orders all the subscribers to be served according
to the expected C/I value of signals received by each subscriber
and transmits data in the sequence from large to small.
� Round Robin (RR)
This algorithm is to ensure that all the subscribers in a cell can
occupy resources by turns in a specific sequence.

� Proportional Fairness Scheduling (PFS)

This algorithm is to instantaneously transmit data to the sub-
scriber with the best channel conditions on the premise of guar-
anteeing fairness of long-term transmission data throughput
for every subscriber. In a short term, the algorithm takes chan-
nel conditions into prior consideration but ensures fair through-
put for every subscriber in a long term. This is a compromise
algorithm ensuring that the system can obtain the maximum
throughput without damaging fairness.
Comparison in Scheduling Algorithm

Features
WiMAX adopts five scheduling algorithms: fair throughput sched-
uling, fair time scheduling, Max C/I scheduling, Round Robin (RR)
and Proportional Fairness Scheduling (PFS). Table 14 compares
their performance features.
TABLE 14 PERFORMANCE FEATURE COMPARISON
Schedul- Fairness Channel Delay System Com-

ing algo- adapt- QoS through- plexity
rithm ability put
Fair Best Poor Poor Medium High

through-
put
Fair time Better Poor Poor Low Low
Max C/I Worst Good Poor Highest Lower
RR Better Poor Poor Medium Low
PFS Better Better Better Higher Lower
Power Control
Principle of Power Control
There are three main principles of power control in WiMAX as de-
scribed below:
� Power balance principle
Power control is used to ensure equal power of the wanted
signals at the receive end. For example, for the uplink, the
purpose of power control is to make the individual MSs have the
same power, receive signal strength (RSS) to the base station.
� SNR balance principle

Power control is used to ensure equal C/I (Carrier/Interfer-

ence) at the receive end. For example for the uplink, the pur-
pose of power control is to ensure equal C/I of the individual
MSs to the base station.
� BER/FER balance principle
Power control is used to ensure equal bit error rate (BER) /
frame error rate (FER) at the receive end. For example for
the uplink, the purpose of power control is to ensure equal
BER/FER of the individual MSs to the base station.
Due to low BER/FER measurement speed, and such influences
as multi-path conditions, MS speed and encoding efficiency,
so theoretically the Rx signal power (signal strength) or the
signal-to-interference ratio is used as the judgment criterion.
Power Control Classification

The power control is classified into two categories as described
below:
� Uplink Power Control
Uplink power control can be further divided into uplink open-
loop power control, uplink closed-loop power control, and ex-
ternal loop power control. In an actual system, the uplink con-
trol is jointly completed by the above-mentioned three power
control methods. In other words, the system first makes open
loop estimation of the transmit (Tx) power of the mobile sta-
tion (MS), and uses the closed-loop power control and external
loop power control to further correct the open loop estimation,
trying to achieve precise power control.
The uplink power control is used to control the Tx power of the
MS so that the Tx power of the signal of the MS can be reduced
as low as possible. In precondition of meeting certain demod-
ulation requirements, when the Tx signal of the MS arrives at
the base station, to meet the requirement for reverse capacity
of the cells. Since the reverse signals of different MSs interfere
each other. In theory the maximization of the reverse capac-
ity can be implemented only when the power of MSs with the
same service has the same power level at which their signals
reach the base station.
� Down Link Power Control
For down link, when an MS moves on the edge of a cell, the
inference of the adjacent base station on the MS obviously in-
creases. And when the MS moves along the base station direc-
tion, the multi-path interference of the local cell on the MS will
increase. These two kinds of interferences may affect signal
reception and lead to poor communication quality.
Therefore, power control is introduced in the forward link to
adjust the power of the base station (BS) transmitter of the
traffic channels, so as to minimize the Tx power of the forward
traffic channels in the precondition of meeting the minimum
signal to noise ratio (SNR) requirement for MS demodulation.
Such adjustment can maintain communications between the
BS and the MS on the edge of the cell. And also can reduce

the forward Tx power to the greatest extent, reduce the inter-

ference on adjacent cells. So increasing the relative capacity
of the forward link, while keeping better communication trans-
mission characteristics.
Major Factors Affecting Power

Control
There are four main factors affecting power control as described
below:
Control speed Power control speed is the reciprocal of the control period. The
higher the power control speed, the quicker in tracing and com-
pensating fast fading. But the shorter the power control period,
and the greater the fluctuation of the mean value of the measured
signal-to-interference ratio during this period. Such a phenome-
non causes greater transmit (Tx) power fluctuation and affects the
control stability.
Control delay A wireless channel is a time-varying channel. The time-varying
channel parameters involve complicated features. Therefore,
power control is actually a kind of predictive control. The longer
the delay is, the worse the correlativity of the channel parameters
is, and the lower the prediction accuracy will be. Therefore, the
influence of the actual delay should be considered in the power
control algorithm.
Channel Since power control is a typical kind of predictive control, it is nec-
estimation and essary to make accurate prediction and estimation of the chan-
prediction nel parameters. Therefore, efficient power control needs accurate
channel estimation and parameter prediction.
Relationship The frame error rate (FER) is jointly affected by the signal to noise
between FER and ratio (SNR), multi-path conditions, mobile station (MS) speed and
SNR the encoding and modulation technologies. In power control, FER
and SNR are respectively used as indices for deciding the external
loop and internal loop power control.
Power Saving Mode

Sleep Mode
To support battery-operated portable devices, mobile WiMAX has
power-saving features that allow portable subscriber stations to
operate for longer durations without having to recharge. Power
saving is achieved by turning off parts of the mobile station (MS)
in a controlled manner when it is not actively transmitting or re-
ceiving data. Mobile WiMAX defines signaling methods that allow
the MS to retreat into a sleep mode or idle mode when inactive.
Sleep mode is an optional mode of operation in WiMAX. An MS with
active connections negotiates with the BS to temporarily disrupt

its connection over the air interface for a predetermined amount

of time, called the sleep window. Each sleep window is followed
by a listen window, as illustrated in Figure 25.
FIGURE 25 SLEEP MODE
The MS goes through alternating sleep and listen windows for each
connection. The length of each sleep and listen window is negoti-
ated between the MS and the BS and is dependent on the power
saving class of the sleep-mode operation. The period of time when
all the MS connections are in their sleep windows is referred to as
the unavailability interval, during which the MS cannot receive or
send any data.
Similarly, during the availability interval, when one or more MS
connections are not in sleep mode, the MS receives all downlink
(DL) transmissions and sends uplink (UL) transmissions in a nor-
mal fashion on the CIDs that are in their listen windows. During the
unavailability interval, the BS does not schedule any DL transmis-
sions to the MS, so that it can power down one or more hardware
components required for communication or do activities other than
communications with the serving BS, for example, scanning neigh-
bor BS, or associating with neighbor BS.
The BS may buffer or drop all arriving service data unit (SDUs)
associated with a unicast transmission to the MS. For multicast
transmissions, the BS delays all SDUs until the availability interval
common to all MSs in the multicast group.
Based on their respective parameters, sleep-mode operation takes
place in one of three power-saving classes.
� Power-saving class 1
In power-saving class 1, each listen window of fixed length is
followed by a sleep window such that its length is twice the
length of the previous sleep window but not greater than a
final sleep window size. Before entering power-saving class 1,
the BS indicates to the MS the initial sleep window size and
the final sleep window size. Once the final sleep window size
is reached, all the subsequent sleep windows are of the same
length. At any time during the sleep-mode operation, the BS
can reset the window size to the initial sleep window size, and
the process of doubling sleep window sizes is repeated.
For DL allocations, the reset happens when the BS feels that
the amount of listen window is not sufficient to send all the traf-

fic. Similarly for UL allocations: The reset happens based on

a request from the MS. Power-saving class 1 is recommended
for best-effort or non-real-time traffic.
In power-saving class 2, all the sleep windows are of fixed
length and are followed by a listen window of fixed length.
Before entering power-saving class 2 mode, the BS indicates
to the MS the sleep and listen window sizes. Power-saving
class 2 is the recommended sleep-mode operation for UGS or
RT-VR traffic.
Power-saving class 3 operation, unlike the other classes, con-
sists of a single sleep window. the BS indicates the start time
and the length of the sleep window before entering this mode.
At the end of the sleep window, the power-saving operation
becomes inactive. This power-saving class operation is recom-
mended for multicast traffic or for MAC management traffic.
For multicast service, the BS may guess when the next portion
of data will appear. Then the BS allocates a sleep window for
all times when it does not expect the multicast traffic to arrive.
After expiration of the sleep window multicast data may be
transmitted to relevant SSs. After that, the BS may decide to
reinitiate power-saving operation.
Idle Mode
Idle mode is an MS power saving mode defined in WiMAX systems.
In mobile WiMAX, idle mode is a mechanism that allows the MS to
receive broadcast DL transmission from the BS without registering
itself with the network. Support for idle mode is optional in WiMAX
and helps the MS by eliminating the need for handoff when it is
not involved in any active data session. Idle mode also helps the
BS to conserve its PHY and MAC resources, since it does not need
to perform any of the handoff-related procedures or signaling for
MSs that are in idle mode.
For idle-mode operation, multiple BSs are assigned to a paging
group and multiple paging groups are managed by a paging con-
troller. One BS can belong to different paging groups, as shown in
Figure 26.

FIGURE 26 PAGING GROUP DIAGRAM
An MS in idle mode periodically monitors the DL transmission of the

network to determine the paging group of its current location. On
detecting that it has moved to a new paging group, an MS performs
a paging group update, during which it informs the network of the
current paging group in which it is present.
When, due to pending downlink traffic, the network needs to es-
tablish a connection with an MS in idle mode, the network needs
to page the MS only in all the BSs belonging to the current paging
group of the MS. Without the concept of the paging area, the net-
work would need to page the MSs in all the BSs within the entire
network. Each paging area should be large enough so that the
MS is not required to perform a paging area update too often and
should be small enough so that the paging overhead associated
with sending the page on multiple BSs is low enough.
Fractional Frequency Reuse

(FFR)
WiMAX systems work on 2 GHz~6 GHz and adopt an co-frequency
networking mode, which increases the spectrum utilization but
brings more interference at the edge of the cell. The cell network-
ing mode with the reuse coefficient of N effectively suppresses
co-frequency interference but greatly lowers the spectrum utiliza-
tion. In this case, the Fractional Frequency Reuse (FFR) technol-
ogy is used to solve this problem.
Figure 27 illustrates 3/4 FFR networking for 3 omnidirectional BSs.

FIGURE 27 3 OMNIDIRECTIONAL BSS ADOPTED 3/4 FFR NETWORKING
As illustrated in Figure 27, one carrier is divided into four subcarrier

sets. The near points (inner rings) of the three omnidirectional BSs
uses the same subcarrier set, i.e., the shared subcarrier set, while
the far points (outer rings) use different subcarrier sets.
Because these inner rings are separated physically and isolated
from each other by outer subcarrier sets that have different fre-
quencies, the interference among the shared subcarrier sets can
be omitted, thus implementing 3/4 fractional frequency reuse.
Subcarrier coverages can be controlled by adjusting the transmit
power of each BS shared subcarrier set to theoretically and prac-
tically implement no interference among shared subcarrier sets.
Outer subcarrier sets of these BSs can be adjacent to each other
or overlap physically because of their different frequencies so as
to implement continuous coverage.
Therefore, the FFR technology prevents interference and imple-
ments continuous coverage.

Chapter 4
Protocol Interface
Description
Table of Contents
ASN Network Reference Model.............................................59
R1 Interface .....................................................................60
R3 Interface .....................................................................62
R6 Interface .....................................................................64
Baseband-RF Interface .......................................................66
R8 Interface .....................................................................68
ASN Network Reference

Model
The following describes the Access Service Network (ASN) network
reference model. The ASN network reference model developed
by the WiMAX (Worldwide Inter-operability for Microwave Access)
NWG (Net Work Group) is shown in Figure 28.

FIGURE 28 ASN NETWORK REFERENCE MODEL
The interface of Figure 28 are described in Table 15.
TABLE 15 INTERFACES DESCRIPTION
Interface Description
Name
R1 Air interface between the terminal and the RRU.
R3 The interface between the AGW (ASN-GW, Access

Service Network Gate Way) and the CN.
R4 Interface between ASNs, i.e. the interface between

AGWs. It implements some switching-related
signaling and established data channel to maintain
data integrity during switching.
R6 The interface between the AGW and the BS.
R7 Internal interface of the AGW. It is selective. It

divides the AGW into strategy judgment function
and implementing function.
R8 Interface between BSs.
R1 Interface
The R1 interface is the connection interface between the Access
Service Network (ASN) and the mobile subscriber devices. The R1

Chapter 4 Protocol Interface Description
interface conforms to the IEEE 802.16e-2005 standards agree-

ment.
The functions of R1 interface includes providing Media Access Con-
trol (MAC) Layer, Physical Layer, and some related management
functions
Message Format Figure 29 illustrates management message format of the R1 inter-
face of Media Access Control (MAC) Layer.
FIGURE 29 R1 MESSAGE FORMAT
The management messages of MAC Layer are presented in MAC

Protocol Data Unit (PDU) payload. All management messages of
MAC Layer are composed of an initial field Management Message
Type and Management Message Payload. The length of the
"Management Message Type" is 8 bit; the type of the management
message depends on the requirements of an air interface protocol
in IEEE 802.16.
The MAC management messages in basic connection, broadcast
connection, and initial distance-testing connection are not divided
into chips or bound into packets. But the MAC management mes-
sages in the primary management connection can be divided into
chips or bound into packets.
Protocol Stack Figure 30 illustrates a schematic diagram of R1 Interface Protocol
Stack.
FIGURE 30 R1 PROTOCOL STACK
The R1 interface protocol stack includes MAC Layer and PHY Layer.
� Mac Layer
MAC layer of R1 protocol stack contains three sub-layers (from
top to bottom); Service-Specific Convergence Sub-layer (CS),

MAC Common Part Sub-layer (MAC CPS) and Security Sub-

layer.
� Service-Specific Convergence Sub-layer (CS)
Different protocol interfaces provide different CS specifica-
tions.
The function of Service-Specific Convergence Sub-layer
(CS) is to convert/map the external data received by the
Convergence Sub-layer Service Access Point (CS SAP) into
MAC Service Data Unit (MAC SDU) and send it to the MAC
CPS through the MAC Service Access Point (MAC SAP).
The other function of this layer is to sort external SDUs
associated with suitable Service Flow Identifier (SFID),
Connection Identifier (CID) and Payload Header Suppres-
sion (PHS).
� MAC Common Part Sub-layer (MAC CPS)
MAC CPS does not need to analyze the load information of
the CS.
MAC CPS realizes the core function of the MAC layer includ-
ing bandwidth distribution, connection establishment and
connection maintenance. It receives data of different CS
layers through MAC SAP and sort them based on different
MAC connection. Quality of Service (QoS) is applied in data
transmission and scheduling of physical layer.
Data, PHY control information and statistical information
between the MAC CPS and PHY is transmitted through PHY
SAP.
� Security Sub-layer
MAC contains an independent security sub-layer to provide
authentication, security key exchange and realize encryp-
tion.
� PHY Layer
The PHY layer of R1 protocol stack contains multiple regu-
lations. Each regulation corresponds to a specific frequency
range and application.
The PHY layer of R1 protocol stack is based on the modulating
mode of Orthogonal Frequency Division Multiplexing (OFDM).
R3 Interface
R3 interface is between the ASN and the core network.
Frame Structure � Message
Message is a 19–byte basic unit of the R3 interface, composed
of address, type, time stamp and payload. Figure 31 shows
the frame structure.

FIGURE 31 MESSAGE FRAME STRUCTURE
Table 16 describes the length of each unit of the Message

frame.
TABLE 16 MESSAGE FRAME UNIT LENGTHS
Field Length (bits)
Address 13
Type 5
Time stampT-Stamp 6
Payload 128
Total length 152 (= 19 bytes)
� Message Group (MG)

Each MG contains M_MG message bodies and K_MG IDLE
codes. The number of bytes consisting of an MG is
M_MG*19+K_MG=21*19+1=400 Bytes.
Figure 32 shows the MG structure.
FIGURE 32 MG STRUCTURE
An RP3 frame contains N_MG MGs so its length is

I*N_MG*(M_MG *19byte+K_MG*1), among which I refers
to rate level (1, 2 or 4). The recommended standard rate is
M_MG=21, K_MG=1 and N_MG=1920.
� Master Frame
A Master Frame (10ms) contains I*1920*400I*768000 bytes,
among which I=1, 2 or 4.
The R3 interface supports three rate levels: 1x, 2x and 4x.
Figure 33 illustrates the frame formats in these rate level.

FIGURE 33 FRAME FORMATS IN 3 RATE LEVELS
No matter in which rate the Master Frame length is 10ms. The

line rate is (I*768000/10ms)*8*10/8=I*768Mbps. For 1x, the
rate is 768Mbps; for 2x, it is 1536Mbps; for 4x it is 3072Mbps.
Because the common optical module is of 1.25G or 2.5G and
inadaptable to these rates, the standard rate is changed into
M_MG=42, K_MG=2 and N_MG=768, and accordingly the
rate is changed into 614.4Mbps for 1x, 1228.8Mbps for and
2457.6Mbps for 4x. In this way, the frame can be transported
over 1.25G and 2.5G optical modules.
R6 Interface
Signal The signaling between the BS and the ASN-GW is transmitted
Transmitting through the R6 Channel. It adopts a format of User Datagram
Mode Protocol (UDP) plus the format defined by the NWG stage 3. En-
capsulation channel protocol bears media layer data. R6 signaling
bearer is UDP R6 data bearer can be Generic Routing Encapsulation
(GRE), Multiple Protocol Label Switching (MPLS) and Virtual Local
Area Network (VLAN). ASN-GW terminates the R6 channel from
the BS. R6 channel can be realized through different Encapsula-
tion techniques GRE, MPLS or VLAN and the channel granularities
may differ. The data routing function of R6 supports negotiation
between the encapsulation protocol and the channel granularity.
Control Layer The control layer message format of the R6 interface is shown in
Message Format Figure 34.
FIGURE 34 CONTROL LAYER MESSAGE FORMAT

Table 17 describes the fields of R6 control layer message format
TABLE 17 CONTROL LAYER MESSAGE FORMAT FIELDS DESCRIPTION
Field Name Description
Version Protocol version No.
Flags Byte length with detailed format

in Figure 35.
Function Type Indicating functions, such as HO

Control
OP ID Indicating operational type
Message Type Message type corresponding to

Function Type, such as HO_Req
Length Message length, including

message header
MSID The MAC address of the

message-related MS. If it
does not associate with a specific
MS, all digits are configured as 0.
Reserved 32 reserved digits configured as 0
Transaction ID Transaction ID. If the transaction

ID is 0, the packet should be
discarded.
Reserved Reserved digit configured as 0
Destination Identifier TLV (Type/ Length-alterable destination

Length/Value) entity mark. For example, the
destination of a message is the
network node ID of a function
entity. Message receiver should
check the Destination Identifier
of the message header. If the
Destination Identifier is the same
as the receiver’s Identifier, the
receiver will process the message.
Otherwise the receiver should
relay the message without altering
it to the Destination Identifier.
Source Identifier TLV Length-alterable source entity

mark. For example a message
body is from the ID of the network
node of a functional entity
TLVs The triplet following the message

header
The detailed format of the flags field is shown in Figure 35.

FIGURE 35 FLAGS FIELD FORMAT
Table 18 lists the description of the Flags fields.
TABLE 18 FLAGS FIELD DESCRIPTION
Field Name Description
r Reserved digit, must be configured

as 0; the receiving party should
ignore the reserved digit
T While configuring this digit, the

message should contain Source
Identifier TLV and Destination
Identifier TLV
R Reset next expected Transaction

ID
Control Layer Figure 36 illustrates the structure of R6 control layer protocol

Protocol Stack stack.
FIGURE 36 CONTROL LAYER PROTOCOL STACK
In the Figure 36, L2/L3 connectivity refers to the communication

channel between two functional entities. The IP message encapsu-
lation between two functional entities is decided by the connection
feature (such as the GRE channel adopting GRE). The seal out-
side the encapsulation message should have address information
to enable the network between L2 and L3 to convey the message
to correct physical entities.
Physical Layer The physical layer of the ZXMBW BSS R6 interface adopts packet
Interface access mode or Time Division Multiplexing Access ( TDMA ) mode.
Baseband-RF Interface
Baseband-RF interface connects BBU and RRU with compliance
with OBSAI RP3 protocol. BBU and RRU accordingly designed can
interconnect with generality, reliability and flexibility.

OBSAI Frame � Message

Structure
Message is the basic unit of OBSAI with 19 bytes of address,
type, time stamp and payload. Figure 37 shows its frame struc-
ture.
FIGURE 37 MESSAGE FRAME FORMAT
Table 19 lists the length of each field in Message frame.
TABLE 19 FIELD LENGTH IN MESSAGE FRAME
Name Length (bits)
Address 13
Type 5
Time stampT-Stamp 6
Payload 128
Total length 152= 19 bytes
� Message Group (MG)

Each MG message group contains M_MG message
bodies and K_MG IDLE codes with its total bytes as
M_MG*19+K_MG=21*19+1=400.
Figure 38 shows the structure of MG message group.
FIGURE 38 MESSAGE GROUP STRUCTURE
Each RP3 frame contains N_MG MG message groups with its

length as I*N_MG* (M_MG *19byte+K_MG*1). I denotes the
rate 1, 2 or 4 and the recommended values are M_MG=21,
K_MG 1 and N_MG 1920.
� Master Frame
One Master Frame (10ms) contains total bytes of I*1920*400
I*768000 with I=1, 2 or 4.
OBSAI supports 3 rates: 1x, 2x and 4x. Figure 39 shows the
frame structure at each rate.

FIGURE 39 MASTER FRAME FORMAT
The Master Frame at 3 rates are all of 10ms with the line rate as
(I*768000/10ms) *8*10/8=I*768Mbps. 1x rate is 768Mbps,
2x is 1536Mbps and 4x is 3072Mbps.
R8 Interface
R8 interface is between BSs for MS handoff.
Control Plane Figure 40 shows the R8 interface control plane message format.
Message Format
FIGURE 40 R8 INTERFACE CONTROL PLANE MESSAGE FORMAT
Table 20 describes meanings and definitions of the fields in the R8

interface control plane message.
TABLE 20 R8 INTERFACE CONTROL MESSAGE FIELD DESCRIPTION
Field Description
Version Protocol version No.
Flags A field length
Function Indicates a function, for example, HO Control

Type

Field Description
OP ID Operation type
Message Message type corresponding to Function Type, for exam-

Type: ple, HO_Req
Length Message length including message head
MSID MAC address of the MS related to the message. If irrel-

evant to any MS, all of the bits are set to 0.
Reserved 32 reserved bits, set to 0
Transaction Transaction ID. If it is 0, packets should be discarded.

ID
Reserved Reserved bit set to 0
Destination Length-variable destination entity identifier, for example,

Identifier the destination to which the message is to be sent is the
TLV network node ID of a functional entity.
The message receiver checks whether the Destination

Identifier in the message head is the same as its own
identifier before accepting the message. If yes, the re-
ceiver will process this message. If no, the receiver will
transit the message to the destination identifier without
changing it.
Source Length-variable source entity identifier, for example, the

Identifier network ID of a functional entity originating the message.
TLV
TLVs A triplet following the message head
Control Plane Figure 41 illustrates the structure of the R8 interface control plane
Protocol Stack protocol stack.
FIGURE 41 R8 CONTROL PLANE PROTOCOL STACK
The connectivity between L2 and L3 enables communications be-

tween the two functional entities. How to encapsulate IP packets
between the two functional entities relies on the connectivity type,
for example, GRE tunnel. The seal of the encapsulated packet con-
tains address information, which ensures that the packet can be
sent to the correct physical entity.
Physical Layer The physical layer of the R6 interface supports packet access
through 100Mbps FE electrical interface.


Figures
Figure 1 Inter-correlation among WiMAX Forum Working

Groups.............................................................. 4
Figure 2 Network Reference Model ........................................ 7
Figure 3 Network Reference Model ........................................ 8
Figure 4 OFDM System Architecture .....................................11
Figure 5 OFDM Spectrum Mode ...........................................12
Figure 6 WiMAX TDD Frame Structure ..................................14
Figure 7 WiMAX TDD Frame Structure (An Alternative View)....14
Figure 8 ARQ Classification .................................................18
Figure 9 Go-Back-N ARQ ....................................................18
Figure 10 Selective-Repeated ARQ .......................................18
Figure 11 QoS Implementation ............................................24
Figure 12 MS-initiated dynamic traffic flow ............................26
Figure 13 BS-initiated dynamic traffic flow ............................27
Figure 14 Hard Handoff Flow between Unconnected BSs .........33
Figure 15 Hard Handoff Flow between Interconnected BSs ......35
Figure 16 Source BS Fallback Flow upon HO Cancellation
between Unconnected BSs ..................................37
Figure 17 Source BS Release Flow upon HO Timer Expiration
between Interconnected BSs ...............................39
Figure 18 Inter-BS Active Set Updating Add Flow ...................41
Figure 19 Inter-BS Active Set Updating Drop Flow..................42
Figure 20 Inter-BS Anchor Updating Flow (CQI Mechanism) ....44
Figure 21 Inter-BS Anchor Updating Flow (MAC Message
Mechanism) ......................................................45
Figure 22 AMC Effect Schematic Diagram..............................47
Figure 23 AMC Principle ......................................................49
Figure 24 AMC Modes.........................................................49
Figure 25 Sleep Mode.........................................................55
Figure 26 Paging Group Diagram .........................................57
Figure 27 3 Omnidirectional BSs Adopted 3/4 FFR Networking...58
Figure 28 ASN Network Reference Model ..............................60
Figure 29 R1 Message Format .............................................61
Figure 30 R1 Protocol Stack ................................................61

Figure 31 Message Frame Structure .....................................63

Figure 32 MG Structure ......................................................63
Figure 33 Frame Formats in 3 Rate Levels.............................64
Figure 34 Control Layer Message Format ..............................64
Figure 35 Flags Field Format ...............................................66
Figure 36 Control Layer Protocol Stack .................................66
Figure 37 Message Frame Format ........................................67
Figure 38 Message Group Structure .....................................67
Figure 39 Master Frame Format ...........................................68
Figure 40 R8 Interface Control Plane Message Format ............68
Figure 41 R8 Control Plane Protocol Stack.............................69

Tables
Table 1 Corresponding Technical Fields of WiMAX Standards ..... 1

Table 2 WiMAX Spectrum Allocation in Some Countries ............ 4
Table 3 Service Types and Corresponding QoS categories ........25
Table 4 Description of Hard Handoff Flow between
Unconnected BSs...............................................33
Table 5 Hard Handoff Flow between Interconnected BSs .........35
Table 6 Flow Description of Source BS Fallback upon HO
Cancellation between Unconnected BSs ................38
Table 7 Flow Description of Source BS Release upon HO
Timer Expiration between Interconnected BSs .......40
Table 8 Inter-BS Active Set Updating Add Flow Description......41
Table 9 Inter-BS Active Set Updating Drop Flow Description ....43
Table 10 Inter-BS Anchor Updating Flow (CQI Mechanism)
Description .......................................................44
Table 11 Inter-BS Anchor Updating Flow (MAC Message
Mechanism) Description .....................................46
Table 12 Configurations of Coding Types and Rates ...............48
Table 13 Modulation and Coding Modes Selection ...................50
Table 14 Performance Feature Comparison ............................52
Table 15 Interfaces Description............................................60
Table 16 Message Frame Unit Lengths ..................................63
Table 17 Control Layer Message Format Fields Description.......65
Table 18 Flags Field Description ...........................................66
Table 19 Field Length in Message Frame ...............................67
Table 20 R8 Interface Control Message Field Description .........68


List of Glossary
AGW - Access Service Network GateWay

ASN - Access Service Network
ASN-GW - Access Service Network Gate Way
BBU - BaseBand Unit
BS - Base Station
CID - Cell ID
CN - Core Network
CSN - Connectivity Service Network
DL - Downlink
FDD - Frequency Division Duplex
FUSC - Full Usage of Sub channels
GRE - Generic Routing Encapsulation
MIMO - Multiple-Input Multiple-Output
MPLS - Multi-protocol Label Switching
MS - Mobile Station
NWG - Net Work Group
OBSAI - Open Base Station Architecture Initiative
OFDM - Orthogonal Frequency Division Multiplexing
OFDMA - Orthogonal Frequency Division Multiplexing Ac-
cess
PDU - Protocol Data Unit
PUSC - Partial Usage of Sub channels
QoS - Quality of Service
RRU - Remote Radio Unit
SDU - Service Data Unit
SFID - Service Flow Identifier
SINR - Signal Interference Noise Ratio
SS - Subscriber Station
TDD - Time Division Duplex
A transmission method that uses only one channel for transmitting
and receiving, separating them by different time slots. No guard
band is used. This increases spectral efficiency by eliminating the
buffer band, but also increases flexibility in asynchronous applica-
tions. For example, if less traffic travels upstream, the time slice
for that direction can be reduced, and reallocated to downstream
traffic.

TLV - Type/Length/Value / /
UDP - User Datagram Protocol
UL - Uplink
VLAN - Virtual Local Area Network
WiMAX - Worldwide Interoperability for Microwave Access

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ZXMBW BSS

Copyright © 2006 ZTE CORPORATION.

The ultimate right to interpret this product resides in ZTE CORPORATION.

Revision No. Revision Date Revision Reason

Serial Number: sjzl20094857

Purpose ZXMBW BSS is a WiMAX-based radio access network (ASN) prod-

Chapter 1 WiMAX Overview Describes WiMAX standard

Chapter 2 WiMAX Principle Describes WiMAX channel

Chapter 3 WiMAX Key Describes WiMAX key technologies

Chapter 4 Protocol Interface Describes WiMAX access network

Confidential and Proprietary Information of ZTE CORPORATION i

This page is intentionally blank.

ii Confidential and Proprietary Information of ZTE CORPORATION

WiMAX Standard Evolution

TABLE 1 CORRESPONDING TECHNICAL FIELDS OF WIMAX STANDARDS

Standard Issue Technical Field

IEEE Jul. 2004 2-66 GHz fixed broadband access system

IEEE Dec. 2005 Air interface management information base

IEEE Dec. 2005 Air interface management information base

IEEE Sep. 2005 Air interface management information base

Confidential and Proprietary Information of ZTE CORPORATION 1

Standard Issue Technical Field

IEEE In process Air interface management plane procedure

IEEE In process Radio network systems running on amateur

IEEE In process Air interface mobile management

IEEE In process IEEE802.16 bridge for LAN and MAN MAC

IEEE802.16–2004 and IEEE802.16e are physical layer standards.

Industry Status and Future

2 Confidential and Proprietary Information of ZTE CORPORATION

Korea Telecom operators, SK Telecom and KT Wibro are completed

Confidential and Proprietary Information of ZTE CORPORATION 3

FIGURE 1 INTER-CORRELATION AMONG WIMAX FORUM WORKING GROUPS

WiMAX Spectrum Allocation

TABLE 2 WIMAX SPECTRUM ALLOCATION IN SOME COUNTRIES

Country Operator Frequency Band

USA Sprint Nextel 2.5 GHz, 1.7 GHz, 2.1 GHz,

UK Telebria, 2010~2025 MHz, 2290~2302

France France Telecom 3.4~3.6 GHz, 5.4~5.7 GHz (in

Japan Softbank 2.5 GHz

Korea - 2.3~2.4 GHz

Singapore - 2.3 GHz and 2.5 GHz

4 Confidential and Proprietary Information of ZTE CORPORATION

Country Operator Frequency Band

Vietnam - 2.3 GHz and 3.3 GHz

Philippines Pacific Internet 2.5~2.7 GHz

India - 2.3~2.4 GHz, 2.5~2.69 GHz,

New Zealand NZwireless, Airnet, 3.5 GHz

Taiwan Chunghwa Telecom 3.5 GHz

Algeria SLC 3.5 GHz and 5.8 GHz

Saudi Arabia - 3.5 GHz

Brazil - 3.5 GHz and 10.5 GHz

WiMAX - 2.5~2.69 GHz

Asia - 3.4~3.5 GHz

Europe - 2.5 GHz (in negotiation), 3.5

1. Some data may change in the future.

WiMAX Characteristics and

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� Adaptive modulation and coding (AMC)

6 Confidential and Proprietary Information of ZTE CORPORATION

chitecture relying on IP-based protocols for end-to-end trans-

FIGURE 2 NETWORK REFERENCE MODEL

WiMAX Forum Network Reference Model (NRM) identifies the func-

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