0-1 WiMAX Principle

WiMAX Principle
Training Manual
1.0
ZTE UNIVERSITY
ZTE University, Dameisha
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Publishing Date (MONTH/DATE/YEAR) : 04/15/2010

Contents
WiMAX Principle Training Manual ................................. 1

1 WiMAX Protocol Stack ............................................... 2
2 MAC Layer ................................................................. 3
2.1 Service Specific Convergence Sub-layer(SSCS).......................... 4
2.2 Common Part Sub-layer (CPS) ................................................ 4
2.3 Security Sub-layer (SS).......................................................... 6
3 PHY Layer.................................................................. 7
3.1 Physical Layer Features .......................................................... 7
3.2 OFDM Principle ...................................................................... 8
3.2.1 Radio Channel Transmission Features ............................... 8
3.2.2 A Single Carrier System ................................................12
3.2.3 Multiple Subcarriers System...........................................12
3.2.4 Orthogonality and OFDM ...............................................13
3.2.5 Guard Interval and CP...................................................15
3.2.6 Advantages and Disadvantages of OFDM System ..............17
3.3 OFDMA Principle ...................................................................19
3.3.1 Difference between OFDMA and OFDM ............................19
3.3.2 OFDMA Time Domain ....................................................20
3.3.3 OFDMA Frequency Domain ............................................20
3.3.4 OFDMA Symbol Parameters ...........................................21
3.3.5 Permutation.................................................................22
3.3.6 OFDMA basic terms definition.........................................24
3.3.7 TDD Frame Structure ....................................................27
WiMAX Principle
Training Manual
After you have completed this course, you
will be able to:

>> Know WiMAX MAC Layer Structure and
Function
>> Know WiMAX PHY Layer Work Principle
>> Know WiMAX Frame Structure
>> Master WiMAX network structure
Confidential and Proprietary Information of ZTE CORPORATION 1

WiMAX Principle Training Manual
Chapter 1 WiMAX Protocol Stack
The WiMAX protocol stack is organized two-layer system architec-

ture, defining a physical layer and MAC layer. Figure 1 illustrates
the protocol reference model.
FIGURE 1 IEEE STD. 802.16 PROTOCOL REFERENCE MODEL
2 Confidential and Proprietary Information of ZTE CORPORATION

Chapter 2 MAC Layer
After you have completed this chapter, you will know:
>> Service Specific Convergence Sub-layer(SSCS)
>> Common Part Sub-layer (CPS)
>> Security Sub-layer (SS)
WiMAX is a bandwidth radio access technology of provision of car-

rier-class QoS guarantee. The QoS guarantee relies on support
of the MAC technology. MAC supports the QoS management and
meets requirements of various service qualities. Based on the
service QoS requirements and service parameters, MAC requests
bandwidth connection or bandwidth adjustment in a poll mode, to
guarantee the low-delay requirement of real-time services such
as voice and video. Additionally, aiming to the high error rate and
packet loss rate, WiMAX defines the Automatic Repeat Request
(ARQ) mechanism based on each service flow to guarantee auto-
matic repeat of MAC service data unit and the transmission quality
of end-to-end packets.
MAC also support the ATM service and packet service to fulfill the
network application featuring the ATM service or IP service. Mean-
while, MAC has a security sublayer and supports the MAC security
mechanism to realize authentication and encryption management.
MAC comprises three sublayers:
� Service Specific Convergence Sub-layer (SSCS) contacts with
a superior layer and converges various services on the superior
layer.
� Common Part Sub-layer (CPS) realizes the primary MAC func-
tions, divided into the data plane and control plane.
� Security Sub-layer (SS) manages the MAC authentication and
encryption functions.
MAC is based on connection, that is, the data services of all ter-
minals’ SSs and the related QoS requirements are realized in the
connective category. Each connection is marked with a unique
connection CID. After registering, the SS obtains a connection
and associated service flows. When a user’s service requirement
changes, a new connection is available. After establishing the con-
nection, the maintenance requirement changes with various types
of connective services. Once the user’s service contract is modi-
fied, the connection is terminated. The concept of the service flow
closely related to the connection defines the QoS parameters of
the Protocol Data Unit (PDU) to be transmitted on the connection.
One service flow is assigned to one connection. The service flow
is tied with the process of bandwidth assignment.

2.1 Service Specific Convergence

Sub-layer(SSCS)
SSCS completes mapping between the external network data and
Common Part Sub-layer (CPS).
In the WiMAX technology, the MAC layer faces to connection. Thus,
the protocol defines two types of convergence sub-layers: ATM CS
and Packet CS. ATM CS supports the ATM service and Packet CS
supports the mapping based on the packet service such as Ether-
net, VLAN and IP. In addition, the Packet CS defines the concept
of a classifier. The classifier is aggregation of a series of mapping
standards. Each packet entering the WiMAX network performs
mapping referring to the rule defined in the classifier. Users can
obtain the classifier by configuration or dynamic establishment. In
addition, when entering the network, users also gain it from the
BS over an air interface.
The classifier converts and maps all received external network data
over CS Service Access Point (SAP) into the MAC Service Data Unit
(SDU), and transmits to CPS by MAC SAP. In this process, the
CS sublayer classifies the external network data, associates with
the appropriate MAC Service Flow Identifier (SFID) and Connec-
tion Identifier (CID), and meanwhile performs the Payload Header
Suppression (PHS) function.
SSCS can be understood to provide an interface with the network
layer.
2.2 Common Part Sub-layer (CPS)

MAC CPS provides the core functions of the MAC layer, includ-
ing addressing and connecting, definition of the frame format,
constitution and transmission of MPDU, auto-transmission request
mechanism, scheduling service, bandwidth assignment and re-
quest mechanism, physical layer support, competition solution,
network access and initialization, ranging, update of the channel
descriptors, establishment of multicast connection, and QoS. CPS
receives the data from different CSs via MAC SAP and forms a MAC
SDU. The MAC SDU can be disassembled or be combined with one
or multiple MAC SDUs as a new MAC PDU. To guarantee QoS, the
disassembled MAC SDUs and the new MAC PDU are categorized
according to connection of the MAC layer.
MAC PDU The data format of MAC PDU consists of the MAC header, payload
Structure and Cyclic Redundancy Check (CRC), as shown in Figure 2.
FIGURE 2 PDU FORMAT

Chapter 2 MAC Layer
� MAC header: Each PDU begins from a length-fixed MAC header.

The standard defines two types of MAC headers, respectively a
generic MAC header and a bandwidth-requested MAC header.
The bandwidth-requested MAC header is transmitted without
carrying payloads.
� Payload: Transmits the CS data and MAC management mes-
sage. Transmitting the CS data, the payload includes 0 or mul-
tiple MAC SDUs; the payload length is variable, depending on a
type of the high-layer data. The MAC sub-headers in the pay-
load are categorized into five types to distinguish from formats
of the payload data, respectively partition subheader, authenti-
cation management subheader, mesh-network subheader, fast
assignment feedback subheader and encapsulation subheader.
Transmitting the MAC management message, the payload con-
sists of the management message type and management mes-
sage payload. The management message is used for following
functions, such as description of uplink and downlink channels,
system access, registration, connection setup, recourse appli-
cation, dynamic service management and admission.
� CRC (optional): For OFDM and OFDMA, CRC must be imple-
mented.
Addressing Each MS has a unique 48-bit MAC address, used to connect a
proper BS in an initial ranging process and to authenticate a BS
and MS mutually.
Management Each connection is marked by one 16-bit CID. Each uplink or down-
Connection link supports a maximum of 64K CIDs. In the initial process of
the MS, the BS and MS establish three-pair management connec-
tions (bidirectional), indicating that the management information
between the MS and BS covers three types of QoS. The basic con-
nection and master management connection are required and the
secondary management connection is optional.
� Basic connection: Used to transmit the short and real-time
management information of the MAC layer.
� Master management connection: Used to transmit the long
and delay-tolerated management information of the MAC layer.
� The secondary management connection: Used to transmit the
delay-tolerated management information based on standards,
such as DHCP, TFTP and SNMP. The secondary management
connection transmits the message which may be packed or
segmented in the format of IP-packet datagram.
When receiving the ranging request from the MS, the BS assigns
the basic connection and master management connection. These
two CISs, used for access control, are requisite elements in the
process of the MS completing access. The secondary manage-
ment connection is only used to transmit the management mes-
sages based on other standard protocols. Because other protocols
locates upon the MAC layer and are transparent for 802.16, the
MS still normally works without the secondary management con-
nection. However, the BS is unable to fulfill other managements
for the MS except access control.
Service For bearer services, the BS originates connection establishment
Connection according to the assignment message.
The transmission request is associated with the CIDs. Bandwidths
are variable with different CIDs, that is, different CIDs use diverse
bandwidths.

The service types and other service parameters are implicated in

the CID, and the related information can be searched in the CIDs.
The service types and other service parameters are related to the
service flow. The SFID goes with the assigned CID, and therefore
all information can be searched.
2.3 Security Sub-layer (SS)

The security sublayer provides subscribers with privacy, authenti-
cation, or confidentiality across the broadband wireless network.
It does this by applying cryptographic transforms to MAC PDUs
carried across connections between SS and BS.
In addition, the security sublayer provides operators with strong
protection from theft of service. The BS protects against unautho-
rized access to these data transport services by securing the as-
sociated service flows across the network. The security sublayer
employs an authenticated client/server key management proto-
col in which the BS, the server, controls distribution of keying
material to client SS. Additionally, the basic security mechanisms
are strengthened by adding digital-certificate-based SS device-au-
thentication to the key management protocol.
If during capabilities negotiation, the SS specifies that it does not
support IEEE 802.16 security, step of authorization and key ex-
change shall be skipped. The BS, if provisioned so, shall consider
the SS authenticated; otherwise, the SS shall not be serviced. Nei-
ther key exchange nor data encryption performed.

Chapter 3 PHY Layer
After you have completed this chapter, you will know:
>> Physical Layer Features
>> OFDM Principle
>> OFDMA Principle
3.1 Physical Layer Features

The WiMAX physical layer provides the following technologies:
� The OFDMA technology to realize effective spectrum usage
� Supporting TDD, FDD, and HFDD
FDD needs paired frequencies; TDD can realize flexible dy-
namic assignment of the UL and DL bandwidth without paired
frequencies; HFDD has a low requirement for an MS's receiver.
� Supporting mobile and fixed states, the mobile speed up to
120km/h
� Flexible bandwidth division, the bandwidth range from 1.25
MHz to 20 MHz
WiMAX specifies two types of bandwidths: a multiple of 1.25
MHz and a multiple of 1.75 MHz. The 1.25MHz series con-
sists of 1.25 MHz, 2.5 MHz, 5 MHz, 10 MHz and 20 MHz. The
1.75MHz series consists of 1.75 MHz, 3.5 MHz, 7 MHz, and 14
MHz.
� The advanced multi-antenna technology to expand the system
capacity and coverage range
� The Hybrid Automatic Repeat Request (HARQ) technology
HARQ associates with the Forward Error Control (FEC) function
to make the transmission operation of packets every time con-
tributing to the final correct coding.
� The Adaptive Modulation and Coding (ACM) technology
According to the quality of received signals, AMC adjusts the
modulation, coding mode and coding rate of packet data any-
time to make the system reaching a higher data transmission
rate on the basis of reliability.
� The power control technology
� The advanced channel coding technology to improve the com-
munication quality and to enlarge the coverage range.

3.2 OFDM Principle

3.2.1 Radio Channel Transmission
Features
Compared with other communication channels, the mobile channel

is one of the most complicated. The wave is transmitted mainly in
a space wave mode, such as direct wave, refraction wave, disper-
sion wave and their synthesize wave. The radio channels between
MS and BS are diverse and difficult to control, for the MS is mov-
ing. The signals suffer various fading inflections over the radio
channel. Generally, the power of receiving signals is expressed as
(Eq.1)
“d” indicates a distance vector between MS and BS. According to
the mentioned formula, the radio channel has the following im-
pacts on signals:
� Wave transmission loss within the free space (also called large-
scale fading)
n is set to 3~4.
� Shadow fading S(d): fading resulting from a fluctuant terrain
in the transmission environment as well as constructions and
other barriers blocking or shielding ground waves (also called
medium-scale fading)
� Multipath fading R(d): In space transmission, the radio wave
may be reflected and diffracted and thus the signals reach a
receiving end over multipaths; the delay, fading and phase
of each signal component are various and the receiving end
results in increase of same phases and decrease of different
phases overlapping multi-signals (also called small-scale fad-
ing).
Figure 3 illustrates the three types of fading. Additionally, mobility
of the MS causes time variability of the radio channel, such as
Doppler shift. The transmission loss and shadow fading of the free
space affect coverage of the radio area. A reasonable design can
be used to eliminate the adverse influences.

Chapter 3 PHY Layer
FIGURE 3 SIGNAL TRANSMISSION FEATURE IN RADIO CHANNEL
Large-scale When the radio wave is transmitted in the free space, its signal
Fading of Radio power weakens with a further transmission distance, bringing ad-
Channel verse influences to the data rate and the system performance.
Refer to the equation of large-scale path loss.
(Eq.2)
indicates the average transmission signal power. indicates the
receiving power. d is the direct distance between a transmitter
and receiver. Under the typical environment, the path loss index
r is selected from 2 to 4. Finally, the average SNR is calculated as
follows.
(Eq.3)
indicates the power spectrum density of a single-side noise.
B indicates the signal bandwidth and K is a constant independent
from the distance, power and bandwidth. To ensure reliable receiv-
ing, see the following formulas. SNR0 indicates the SNR threshold.
SNR must be equal to or more than SNR0.
(Eq.4)
(Eq.5)
If other special technologies are adopted, the symbol rate of the
data and the propagation range of the wave are greatly limited.
In a general cellular system, however, the inflection of large-scale
fading is not considered in the mobile communication system, for
the size of the cell is comparatively small.
Shadow Fading When the wave in space transmission is blocked by the fluctuant
terrains or high-rise buildings, an electromagnetic field is gener-
ated at the back of these barriers, resulting in change of the me-
dian of the field strength. Compared with the multipath fading,
the shadow fading is a macro fading measured by a large-scale
space. The fading feature accords with the lognormal distribution.
The change scope of partial filed-strength median is determined by

the signal frequency and barrier state. The high-frequency signals

is easy to penetrate the barriers than the low-frequency signals,
while the low-frequency signals has a capacity of stronger diffrac-
tion.
Multipath Fading The multipath propagation is a key feature of the radio mobile
of Radio Channel channel. The signals reach the receiver through direct, reflection
and refraction paths, as shown in Figure 4. Determined by differ-
ent distances of paths, the arrival time and phase of the reflection
wave over each path are various. The multi-signals with diverse
phases are overlapped at the receiving end. Overlap of the same
phases enhances the scope of signals, while overlap of the inverse
phases decreases the scope of signals. Therefore, sharp changes
of the scope of receiving signals result in fading.
FIGURE 4 MULTIPATH PROPAGATION OF RADIO SIGNALS
For example, the transmitting end transmits a narrow pulsing sig-

nal, and the receiving end receives multiple narrow pulsing signals.
For one transmitted pulsing signal, Figure 5 illustrates the signal
state received by the receiving end. is defined as the maxi-
mum of delay extension.
FIGURE 5 MULTIPATH RECEIVING SIGNAL
During transmission, the waveform of receiving signals is affected

by delay extension and is extended to other symbols, resulting
in the Intersymbol Interference (ISI). To avoid generating ISI, the
symbol bandwidth should be much larger than the maximum delay
extension of the radio channel. Collect a large amount of measured
data and calculate an average value, for the delay extensions mea-
sured in various geographical positions and time are diverse.
Within the frequency domain, coherence bandwidth is another key
concept related to the delay extension. Generally, the reciprocal of

Chapter 3 PHY Layer
the maximum delay extension is defined as the coherence band-

width, referring to
(Eq.6)
The delay extension of multipath signals results in frequency-se-
lective fading. For different frequency components in signals, the
radio transmission channel presents different responses. Because
fading of the frequency components is inconsistent, the signal
waveform is distorted after fading. Thus, when the signal rate
is high and the signal bandwidth exceeds the coherence band-
width of the radio channel, frequency components have various
changes after the signal passes the radio channel, resulting in dis-
tortion of the signal waveform and ISI. The scenario is called the
frequency-selective fading. When the signal rate is low and the
signal bandwidth does not exceed the coherence bandwidth , fre-
quency components suffer the same fading after the signal passes
the radio channel, and the fading waveform is not distorted and
ISI does not occur. For this scenario, the signal experiences flat
fading (non frequency-selective fading).
The coherence bandwidth is a feature of the radio channel. The
signal experiencing frequency-selective fading or flat fading is de-
termined by its bandwidth while passing the radio channel.
Time-variability of The Doppler effect defines that the frequency of the receiving sig-
Radio Channel and nal changes when the moving MS is communicating. For example,
Doppler Shift suppose a luminous object emits light waves in a fixed frequency
away, you should receive the same frequency as that emitted by
the object. When the object is moving towards you, the light
source emitting the second wave crest is closer to you than that
emitting the first wave crest. Therefore, the second wave crest
spends shorter time on reaching you than the first wave crest and
the interval of the two wave crests reaching you shortens. Ac-
cordingly, the received frequency increases. Oppositely, when the
luminous object is moving away from you, the frequency you re-
ceive decrease. This is the principle of the Doppler effect.
The Doppler effect often occurs in daily life, such as a hooter tone
of a driving car. When the car drives towards you, the tone of the
hooter rises (corresponding to the ascending frequency). when
the car drives away from you, the tone of the hooter drops (cor-
responding to the descending frequency).
The time-variability of the channel indicates that the transfer func-
tion changes with time, that is, when the transmitting end trans-
mits the same signals in different time, the receiving end receives
the different signals, as shown in Figure 6 (a). The Doppler shift
presents the time–variability in the mobile communication system.
The single frequency signal after passing the time-variable channel
presents the signal with the bandwidth and frequency envelop, as
shown in Figure 6 (b). This is also called the frequency dispersion
of the channel. Refer to
(Eq.7)
fc indicates the carrier frequency, c indicates the speed of light, fm
indicates the maximum Doppler shift, and vindicates the mobile
speed of the MS. The formula shows the direct proportion between
the Doppler shift and the carrier frequency as well as the MS speed.

FIGURE 6 TIME-VARIABILITY OF RADIO CHANNEL
When the MS is moving toward the direction of an incident wave,

the Doppler shift is plus, indicating that the signal frequency re-
ceived by the MS rises. When the MS is moving back against the
direction of an incident wave, the Doppler wave is minus, indicat-
ing that the signal frequency received by the MS drops. As the
Doppler shift exists, when the single frequency signal (f0) reaches
the receiving end, its spectrum locates within f0–fm,f0+fm , in-
stead of a single δ function locating at the frequency axis ±f0.
The coherence time is another concept related to the Doppler shift.
See the following formula.
(Eq.8)
The coherence time indicates a period of interval two receiving
signals have strong amplitude correlation. When the duration of
the signal exceeds the coherence time of the radio channel, the
waveform of the signal may be changed and the signal may be
distorted, resulting the time-selective fading, also called fast fad-
ing.
3.2.2 A Single Carrier System
A single carrier system modulates information onto one carrier us-

ing frequency, phase, or amplitude adjustment of the carrier. For
digital signals, the information is in the form of bits, or collec-
tions of bits called symbols, that are modulated onto the carrier.
As higher bandwidths (data rates) are used, the duration of one
bit or symbol of information becomes smaller. The system be-
comes more susceptible to loss of information from impulse noise,
signal reflections and other impairments. These impairments can
impede the ability to recover the information sent. In addition,
as the bandwidth used by a single carrier system increases, the
susceptibility to interference from other continuous signal sources
becomes greater. This type of interference is commonly labeled as
Carrier Wave (CW) or frequency interference.
3.2.3 Multiple Subcarriers System
Frequency Division Multiplexing (FDM) extends the concept of sin-

gle carrier modulation by using multiple subcarriers within the
same single channel. The total data rate to be sent in the channel
is divided between the various subcarriers. The data do not have

Chapter 3 PHY Layer
to be divided evenly nor do they have to originate from the same

information source. Advantages include using separate modula-
tion/demodulation customized to a particular type of data, or send-
ing out banks of dissimilar data that can be best sent using multi-
ple, and possibly different, modulation schemes.
Current National Television Systems Committee (NTSC) television
and FM stereo multiplex are good examples of FDM. FDM offers an
advantage over single-carrier modulation in terms of narrowband
frequency interference since this interference will only affect one of
the frequency subbands. The other subcarriers will not be affected
by the interference. Since each subcarrier has a lower information
rate, the data symbol periods in a digital system will be longer,
adding some additional immunity to impulse noise and reflections.
FDM systems usually require a guard band between modulated
subcarriers to prevent the spectrum of one subcarrier from inter-
fering with another. These guard bands lower the system’s effec-
tive information rate when compared to a single carrier system
with similar modulation.
3.2.4 Orthogonality and OFDM
If the FDM system above had been able to use a set of subcarri-
ers that were orthogonal to each other, a higher level of spectral
efficiency could have been achieved. The guardbands that were
necessary to allow individual demodulation of subcarriers in an
FDM system would no longer be necessary. The use of orthog-
onal subcarriers would allow the subcarriers’ spectra to overlap,
thus increasing the spectral efficiency. As long as orthogonality is
maintained, it is still possible to recover the individual subcarriers’
signals despite their overlapping spectrums.
If the dot product of two deterministic signals is equal to zero,
these signals are said to be orthogonal to each other. Orthogonal-
ity can also be viewed from the standpoint of stochastic processes.
If two random processes are uncorrelated, then they are orthog-
onal. Given the random nature of signals in a communications
system, this probabilistic view of orthogonality provides an intu-
itive understanding of the implications of orthogonality in OFDM.
OFDM is a special multi-carrier communication solution. A sin-
gle user's information flow performs the serial-to-parallel conver-
sion into multiple low-speed code streams and each code stream
is transmitted over one subcarrier. OFDM partitions overlapping
waveforms of subcarriers by a Fast Fourier Transforms (FFT), in-
stead of using a band pass filter. OFDM enhances the capacities of
preventing narrowband interference and selective frequency fad-
ing. In the single-carrier system, single fading or interference may
result in the whole radio links unavailable; in the multi-carriers
system, only a small part of subcarriers are affected. Additionally,
error correcting codes help to recover information on the damaged
subcarriers. Figure 7 illustrates the spectrum of a single OFDM
subcarrier. Figure 8 illustrates the spectrums of multiple OFDM
subcarriers. Rationally select the positions of subcarriers to en-
sure orthogonality between subcarriers.

FIGURE 7 SPECTRUM OF A SINGLE OFDM SUBCARRIER
FIGURE 8 SPECTRUM OF MULTIPLE OFDM SUBCARRIERS
Though OFDM is based on the frequency division duplex, it has

been greatly improved compared with FDM. The transceiver of
OFDM is a group of modems realized by the forward and reverse
FFT/IFFT. Figure 9 illustrates a fundamental model of the OFDM
system.
FIGURE 9 FUNDAMENTAL MODEL OF OFDM SYSTEM
In principle, all subcarriers have same amplitudes and phases.

However, in an actual application, the amplitude and phase of each
subcarrier may be different according to the modulation mode of
data symbols.

Chapter 3 PHY Layer
3.2.5 Guard Interval and CP
OFDM can effectively resists the multipath delay extension. It

performs serial-to-parallel conversion for the input data flow to
N parallel subchannels, to enlarge periods of each data symbols
used to modulate subcarriers to N times of periods of original data
symbols. The ratios of delay extension to symbol periods also de-
creases by N times. To eliminate the inter-symbol interference,
OFDM inserts guard intervals between OFDM symbols. The guard
interval must be more than a maximum of delay extension of radio
channels so that the multipath component of a symbol does not
interfere in the next symbol. During the guard interval, idle trans-
mission is permitted. Under this condition, however, the multipath
transmission causes the inter-channel interference. The orthogo-
nality of subcarriers are damaged.
Each OFDM symbol includes all none-zero subcarrier signals and
the delay signals of this OFDM symbol. Figure 10 illustrates the
delay signals of the first subcarrier and the second subcarrier. As
shown in Figure 10, within the FFT duration, the difference of pe-
riod numbers between the first carrier and the second carrier with
delay is not an integer. Thus, when the receiver is demodulat-
ing the first subcarrier, the second subcarrier interferes in the first
subcarrier. Similarly, the second subcarrier is interfered by the
first subcarrier when the receiver is demodulating it.
FIGURE 10 DELAY SIGNALS
To eliminate ICI caused by the multipath, the OFDM symbol fills

cyclic prefix signals within its guard interval to ensure the wave-
form period numbers included by the OFDM delay symbols to be an
integer during the FFT period, as shown in Figure 11. The delay
signal less than the guard interval does not generate ICI during
demodulation.

FIGURE 11 CYCLIC EXPANSION OF OFDM SYMBOL
Figure 12 presents the 16QAM constellation diagram with various

guard interval lengths in the 48–subcarrirs OFDM system. (a) indi-
cates that the constellation points are normal when the multipath
delay does not exceed the guard interval. In (b), though the mul-
tipath delay exceeds the guard interval and the orthogonality of
subcarriers is damaged, the exceeding delay only occupies 3% of
the FFT operation duration and ICI is still slight; thus, (b) is com-
paratively clear. In (c), the exceeding multipath delay reaches
10% of the FFT operation duration and ICI is very serious; the
constellation points are very vague.
FIGURE 12 16QAM CONSTELLATION DIAGRAM WITH VARIOUS GUARD

INTERVAL LENGTHS
The CP duration should be longer than the channel delay spread.

Standard allows Guard Time from 1/32 to 1/4 of symbol time, 1/8
selected in WiMAX mobility profile.
Figure 13 illustrates the transmission shelf after inserting the
guard intervals in the OFDM system. The power and information
rate drop. See the following the equation of the power loss.
(Eq.9)

Chapter 3 PHY Layer
FIGURE 13 OFDM TRANSMISSION SHELF AFTER INSERTING GUARD

INTERVALS
According to the preceding formula, when the guard interval oc-

cupies 20%, the power loss is less than 1dB while the information
rate loss reaches 20%. However, the guard interval can eliminate
ISI and ICI. In the traditional single-carrier system, ascending the
cosine filter also results in the information rate loss. Compara-
tively, the guard interval is feasible.
3.2.6 Advantages and Disadvantages

of OFDM System
Recently, the OFDM system has been popularized in users, for it

has the following advantages:
� OFDM performs serial-to-parallel conversion for the high-speed
data flow to add the duration of data symbols on each subcar-
rier and further to effectively decrease ISI generated by time
dispersion of the radio channel. By this method, under some
conditions, OFDM eliminates the adverse effect of ISI using
prefix circulation instead of an equalizer.
� The traditional FDM system divides bands into multiple dis-
jointed sub-bands to generate parallel data flows and uses a
group of filters at the receiving end to partition subchannels.
This method is simple and direct, but the usage rate of the
spectrum is low. Enough guard-bands must be reserved be-
tween subchannels and realization of multi-filters is difficult.
The OFDM system permits mutual overlapping of spectrums of
subchannels, for subchannels are orthogonal. Compared with
the traditional FDM system, the OFDM system can use a max-
imum of spectrum resources. See Figure 14.

FIGURE 14 FDM AND OFDM CHANNEL ASSIGNEMENT
� The orthogonal modulation and demodulation of all subchan-

nels are realized by IFFT and FFT. For the system with large N,
the orthogonal modulation and demodulation are realized by
FFT. With the development of the large-scale integrated circuit
and DSP technologies, IFFT and FFT can be easily fulfilled. See
Figure 15.
FIGURE 15 IFFT AND FFT TO REALIZE OFDM MODULATION AND

DEMODULATION
� Generally, the radio data service is asymmetrical, that is, the

data to be transmitted on DL is much larger than that to be
transmitted on DL and UL. The OFDM system can easily realize
different transmission rates using various numbers of subchan-
nels respectively on UL and DL.
� The radio channel has a feature of frequency selectivity and
thus all subcarriers are not in the serious fading situation si-
multaneously. By the method of dynamic bit allocation and
dynamic subchannel allocation, the OFDM system makes full
use of subchannel with a high SNR to promote the system per-
formance. For the multi-user system, a subchannel unsuitable
for a user may be of high quality for other users. Only when
unsuitable for all users, the subchannel is shut.
� The OFDM system can associate with other various access
methods to constitute the OFDMA system. In this way,
multi-users can simultaneously use the OFDM technology to
transfer information.
� The OFDM system resists the narrowband interference, for the
narrowband interference only affects a small part of subcarri-
ers.
The OFDM system contains multiple orthogonal subcarriers, and
its output signals are overlapped by multiple subchannel signals.
Therefore, compared with the signal-carrier system, the OFDM
system has the following disadvantages:
� Easily affected by frequency deviation

Chapter 3 PHY Layer
The orthogonality of the OFDM system must meet strict re-

quirements, for the spectrums of subchannels are mutually
covered. In the transmission process, occurrence of frequency
offset of radio signals, for example, Doppler shift or frequency
deviation between a transmitter's carrier frequency and a re-
ceiver's oscillator, damages the orthogonality between subcar-
riers and results in inter-channel interference.
� High Peak to Average Ratio (PAR)
The output of the multi-carrier modulation system consists of
multiple overlapped subchannel signals. If the phases of multi-
signals are identical, the instantaneous power of overlapped
signals is much larger than the average power of signals, gen-
erating the large Peak to Average Ratio (PAR). This situation
raises a high requirement for the linearity of the transmitter's
amplifier. If the dynamic range of the amplifier does not meet
changes of signals, the spectrums of the overlapped signals are
changed and the orthogonality between subchannel signals is
damaged and even inter-channel interference further worsens
the system performance.
3.3 OFDMA Principle

3.3.1 Difference between OFDMA and
OFDM
IEEE 802.16d (fixed service) uses Orthogonal Frequency Division

Multiplexing (OFDM). IEEE 802.16e (mobile) uses Orthogonal Fre-
quency Division Multiple Access (OFDMA). So, what’s the differ-
ence between the two?
OFDM allows only one user on the channel at any given time. To
accommodate multiple users, a strictly OFDM system must employ
Time Division Multiple Access (TDMA) (separate time frames) or
Frequency Division Multiple Access (FDMA) (separate channels).
Neither of these techniques is time or frequency efficient: TDMA
is a time hog and FDMA is a bandwidth hog.
OFDMA means Orthogonal Frequency Division Multiple Access
OFDMA is a multi-user OFDM that allows multiple access on the
same channel (a channel being a group of evenly spaced subcarri-
ers, as discussed above). WiMAX uses OFDMA, extended OFDM, to
accommodate many users in the same channel at the same time.
OFDMA is an extension of OFDM to increase mobility. The physical
layer of OFDMA supports sub-channelization on both UL and DL,
while the physical layer of OFDM supports sub-channelization on
UL, as shown in Figure 16.

FIGURE 16 OFDM AND OFDMA SUB-CHANNELIZATION COMPARISON
3.3.2 OFDMA Time Domain
Inverse-Fourier-transforming creates the OFDM waveform; this

time duration is referred to as the useful symbol time Tb. A copy
of the last Tg of the useful symbol period, termed CP, is used to
collect multipath, while maintaining the orthogonality of the tones.
Figure 17 illustrates this structure.
FIGURE 17 OFDM SYMBOL TIME STRUCTURE
On initialization, an SS should search all possible values of CP until

it finds the CP being used by the BS. The SS shall use the same CP
on the UL. Once a specific CP duration has been selected by the
BS for operation on the DL, it should not be changed. Changing
the CP would force all the SSs to resynchronize to the BS.
3.3.3 OFDMA Frequency Domain
The OFDMA symbol structure consists of three types of sub-carri-

ers, as shown in Figure 18.

Chapter 3 PHY Layer
FIGURE 18 SUBCARRIER TYPES
� Data subcarriersfor data transmission

� Pilot subcarriers for estimation and synchronization purposes
� Null subcarriers for no transmission, used for guard bands and
DC carriers
In the OFDMA mode, the active subcarriers are divided into subsets
of subcarriers, each subset is termed a subchannel. In the DL, a
subchannel may be intended for different (groups of) receivers; in
the UL, a transmitter may be assigned one or more subchannels,
several transmitters may transmit simultaneously. The subcarriers
forming one subchannel may, but need not be adjacent.
3.3.4 OFDMA Symbol Parameters
Primitive Four primitive parameters characterize the OFDM symbol:

Parameter
Definitions � BW: This is the nominal channel bandwidth.
� Nused: Number of used subcarriers.
� n: Sampling factor. This parameter, in conjunction with BW
and Nused determines the subcarrier spacing, and the useful
symbol time. For channel bandwidths that are a multiple of
1.25 MHz then n = 144/125
Derived The following parameters are defined in terms of the primitive pa-
Parameter rameters:
Definitions
� NFFT: Smallest power of two greater than Nused
� Sampling Frequency: Fs = floor(n⋅BW ⁄ 8000)×8000
� Subcarrier spacing:Δf = Fs/ NFFT
� Useful symbol time: Tb= 1 ⁄ Δf
� CP Time: Tg = G ⋅ Tb
� OFDM Symbol Time:Ts = Tb + Tg
� Sampling time: Tb/NFFT

One Design Figure 19 lists values corresponding to parameters.

Example
FIGURE 19 PARAMETER VALUES
3.3.5 Permutation
The minimum frequency-time resource unit of sub-channelization

is one slot.
Different ways of grouping subcarriers (tones) into channels in
802.16 are called Permutations
There are three main permutations:
� FUSC–Full Usage of Subchannels (downlink only)
� PUSC–Partial Usage of Subchannels (uplink & downlink)
� AMC (or Band AMC)–Adaptive Modulation and Coding (UL &
DL): Adjacent Subcarrier Permutation
� Switching PUSC/FUSC for mobility users, AMC for fixed and
nomadic users
FUSC FUSC achieves best frequency diversity by spreading tones over
entire band, as shown in Figure 20.
FIGURE 20 OFDMA FRAME WITH MULTIPLE ZONES
� 48 subcarriers per subchannel

� Subcarriers are distributed across the band.
DL PUSC PUSC Groups tones into tiles/clusters to enable fractional fre-
quency re-use; Still has distribution of tones across band for each
subchannel.
Figure 21 illustrates the DL PUSC cluster.

Chapter 3 PHY Layer
FIGURE 21 DL PUSC CLUSTER
� Cluster has 14 adjacent subcarriers spanning 2 OFDMA sym-

bols
� 4 pilot tones in each cluster.
UL PUSC Figure 22 illustrates the UL PUSC tile.
FIGURE 22 UL PUSC TILE
� “Tile”has 4 adjacent subcarriers spanning 3 OFDMA symbols.

� 4 pilots in each tile
Band AMC Figure 23 illustrates the band AMC bin.
FIGURE 23 BAND AMC BIN

� One AMC “Bin”has 9 adjacent tones –8 data and 1 pilot

� 4 different ways of defining a subchannel slot:
� 6 adjacent bins over 1 symbol
� 3 adjacent bins over 2 symbols
� 2 adjacent bins over 3 symbols
� 1 bin over 6 symbols
3.3.6 OFDMA basic terms definition
3.3.6.1 Slot And Data Region
A slot in the OFDMA PHY requires both a time and subchannel

dimension for completeness and is the minimum possible data al-
location unit.
The definition of an OFDMA slot depends on the OFDMA symbol
structure, which varies for UL and DL, for FUSC and PUSC, and for
the distributed subcarrier permutations and the adjacent subcar-
rier permutation.
� For DL FUSC, one slot is one subchannel by one OFDMA symbol.
� For DL PUSC, one slot is one subchannel by two OFDMA sym-
bols.
� For UL PUSC, one slot is one subchannel by three OFDMA sym-
bols.
� For the adjacent subcarrier permutation, one slot is one sub-
channel by two, three, or six OFDMA symbols.
In OFDMA, a data region is a two-dimensional allocation of a group
of contiguous subchannels, in a group of contiguous OFDMA sym-
bols. All the allocations refer to logical subchannels. A two-dimen-
sional allocation may be visualized as a rectangle, such as the 4 ×
3 rectangle shown in Figure 24.
FIGURE 24 EXAMPLE OF A DATA REGION DEFINING AN OFDMA ALLOCATION

Chapter 3 PHY Layer
3.3.6.2 Segment
A segment is a subdivision of the set of available OFDMA subchan-

nels (that may include all available subchannels). One segment is
used for deploying a single instance of the MAC.
3.3.6.3 Permutation zone
Permutation zone is a number of contiguous OFDMA symbols, in

the DL or the UL, that use the same permutation formula. The DL
subframe or the UL subframe may contain more than one permu-
tation zone, as shown in Figure 25.
FIGURE 25 OFDM FRAME WITH MULTIPLE ZONES
3.3.6.4 OFDMA Data Mapping
The MAC data shall be processed and shall be mapped to an OFDMA

data region for DL and UL using the algorithms defined as follows.
DL Segment the data into blocks sized to fit into one OFDMA slot.
Each slot shall span one subchannel in the subchannel axis and
one or more OFDMA symbols in the time axis. See Figure 26 for an
example. Map the slots so that the lowest numbered slot occupies
the lowest numbered subchannel in the lowest numbered OFDMA
symbol.

FIGURE 26 EXAMPLE OF MAPPING OFDMA SLOTS TO SUBCHANNELS AND

SYMBOLS IN THE DL (IN PUSC MODE)
Continue the mapping so that the OFDMA subchannel index is in-

creased. When the edge of the data region is reached, continue
the mapping from the lowest numbered OFDMA subchannel in the
next available symbol.
UL The UL mapping consists of two steps. In the first step, the OFDMA
slots allocated to each burst are selected. In the second step, the
allocated slots are mapped.
1. Allocate OFDMA slots to bursts.
i. Segment the data into blocks sized to fit into one OFDMA
slot.
ii. Each slot shall span one subchannel in the subchannel axis
and one or more OFDMA symbols in the time axis, as per
the slot. Allocate the slots so that the lowest numbered
slot occupies the lowest numbered OFDMA symbol in the
lowest numbered subchannel.
iii. Continue allocating such that the OFDMA symbol index is
increased. When the edge of the UL zone (which is marked
with Zone IE) is reached, continue allocating from the low-
est numbered OFDMA symbol in the next available sub-
channel.
iv. UL allocation is created by selecting an integer number of
contiguous slots, according to the ordering of Items a-c.
This results in the general Burst structure shown by the
gray area in Figure 27.

Chapter 3 PHY Layer
FIGURE 27 EXAMPLE OF MAPPING OFDMA SLOTS TO SUBCHANNELS

AND SYMBOLS IN THE UL
2. Map OFDMA slots within the UL allocation.

i. Map the slots so that the lowest numbered slot occupies
the lowest numbered subchannel in the lowest numbered
OFDMA symbol.
ii. Continue the mapping so that the subchannel index is in-
creased. When the last subchannel is reached, continue
mapping from the lowest numbered subchannel in the next
OFDMA symbol that belongs to the UL allocation.
3.3.7 TDD Frame Structure
The 802.16e PHY 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 market
opportunities where local spectrum regulatory requirements either
prohibit TDD or are more suitable for FDD deployments.
To counter interference issues, TDD does require system-wide syn-
chronization. Nevertheless, TDD is the preferred duplexing mode
for the following reasons:
� TDD enables adjustment of the downlink/uplink ratio to effi-
ciently support asymmetric downlink/uplink traffic. While with
FDD, downlink and uplink always have fixed and generally,
equal DL and UL bandwidths.
� TDD assures channel reciprocity for better support of link adap-
tation, MIMO and other closed loop advanced antenna tech-
nologies. Unlike FDD, which requires a pair of channels, TDD
only requires a single channel for both downlink and uplink pro-

viding greater flexibility for adaptation to varied global spec-

trum allocations.
� Transceiver designs for TDD implementations are less complex
and therefore less expensive.
Figure 28 illustrates the OFDM frame structure for a Time Division
Duplex (TDD) implementation.
FIGURE 28 OFDM FRAME STRUCTURE
Each frame is divided into DL and UL sub-frames separated by

Transmit/Receive and Receive/Transmit Transition Gaps (TTG and
RTG, respectively) to prevent DL and UL transmission collisions.
In a frame, the following control information is used to ensure
optimal system operation:
� Preamble: The preamble, used for synchronization, is the first
OFDM symbol of the frame.
� Frame Control Head (FCH): The FCH follows the preamble.
It provides the frame configuration information such as MAP
message length and coding scheme and usable sub-channels.
� DL-MAP and UL-MAP: The DL-MAP and UL-MAP provide sub-
channel allocation and other control information for the DL and
UL sub-frames respectively.
� UL Ranging: The UL ranging sub-channel is allocated for mo-
bile stations (MS) to perform closed-loop time, frequency, and
power adjustment as well as bandwidth requests.
� UL CQICH: The UL CQICH channel is allocated for the MS to
feedback channelstate information.
� UL ACK: The UL ACK is allocated for the MS to feedback DL
HARQ acknowledgement.

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WiMAX Principle

Copyright © 2010 ZTE CORPORATION.

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

Publishing Date (MONTH/DATE/YEAR) : 04/15/2010

WiMAX Principle Training Manual ................................. 1

will be able to:

Confidential and Proprietary Information of ZTE CORPORATION 1

Chapter 1 WiMAX Protocol Stack

The WiMAX protocol stack is organized two-layer system architec-

FIGURE 1 IEEE STD. 802.16 PROTOCOL REFERENCE MODEL

2 Confidential and Proprietary Information of ZTE CORPORATION

WiMAX is a bandwidth radio access technology of provision of car-

Confidential and Proprietary Information of ZTE CORPORATION 3

2.1 Service Specific Convergence

2.2 Common Part Sub-layer (CPS)

FIGURE 2 PDU FORMAT

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� MAC header: Each PDU begins from a length-fixed MAC header.

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The service types and other service parameters are implicated in

2.3 Security Sub-layer (SS)

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3.1 Physical Layer Features

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3.2 OFDM Principle

Compared with other communication channels, the mobile channel

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FIGURE 3 SIGNAL TRANSMISSION FEATURE IN RADIO CHANNEL

Confidential and Proprietary Information of ZTE CORPORATION 9

the signal frequency and barrier state. The high-frequency signals

FIGURE 4 MULTIPATH PROPAGATION OF RADIO SIGNALS

For example, the transmitting end transmits a narrow pulsing sig-

FIGURE 5 MULTIPATH RECEIVING SIGNAL

During transmission, the waveform of receiving signals is affected

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the maximum delay extension is defined as the coherence band-

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FIGURE 6 TIME-VARIABILITY OF RADIO CHANNEL

When the MS is moving toward the direction of an incident wave,

3.2.2 A Single Carrier System

A single carrier system modulates information onto one carrier us-

3.2.3 Multiple Subcarriers System

Frequency Division Multiplexing (FDM) extends the concept of sin-

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to be divided evenly nor do they have to originate from the same

3.2.4 Orthogonality and OFDM

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FIGURE 7 SPECTRUM OF A SINGLE OFDM SUBCARRIER

FIGURE 8 SPECTRUM OF MULTIPLE OFDM SUBCARRIERS

Though OFDM is based on the frequency division duplex, it has

FIGURE 9 FUNDAMENTAL MODEL OF OFDM SYSTEM

In principle, all subcarriers have same amplitudes and phases.

14 Confidential and Proprietary Information of ZTE CORPORATION

3.2.5 Guard Interval and CP

OFDM can effectively resists the multipath delay extension. It

FIGURE 10 DELAY SIGNALS

To eliminate ICI caused by the multipath, the OFDM symbol fills

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FIGURE 11 CYCLIC EXPANSION OF OFDM SYMBOL

Figure 12 presents the 16QAM constellation diagram with various

FIGURE 12 16QAM CONSTELLATION DIAGRAM WITH VARIOUS GUARD

The CP duration should be longer than the channel delay spread.

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FIGURE 13 OFDM TRANSMISSION SHELF AFTER INSERTING GUARD