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WiMAX Principle

ISSUE 2.0

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After this course, you will be able to:

Know the technical standards of the WiMAX 16e.

Know the overall network structure of WiMAX 16e protocols.

Grasp the ground principles of WiMAX 16e physical layer and MAC

layer, especially the principle of the OFDMA and the definitions and
types of handover and QoS.

Grasp the key technologies and corresponding principles of WiMAX

16e.

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1 WiMAX Overview
2 WiMAX Network Structure
3 WiMAX Principle
4 WiMAX Key Technologies

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WiMAX Technical Advantages


Multi-element
Transmitter

Multi-element
Receiver

BTS

MS

From 1MHz to 20MHz

OFDM/OFDMA

Scalable Channel Bandwidth

MIMO/AAS

16QAM
DDD DDDUU

D Downlink

64QAM

QPSK

U Uplink

Spectrally-Efficient TDD

AMC/HARQ

LA/MBS/QOS/FSS/Mobility

WiMAX key technologies play an important role in the network planning.


The diversified and flexible configuration adds the complexities of network planning.
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Wireless Standard System and Its Evolution

IEEE 802.16 standard is a complement of wireless personal area network


(WPAN) IEEE 802.15 standards and wireless local area network (WLAN) IEEE
802.11 standards. It breaks the blank history of IEEE in the wireless metropolitan
area network (WMAN).
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Introduction to IEEE 802.16 Series


SN

Technical Field

802.16

10-66 GHz, fixed broadband wireless access system air standard

802.16a

2-11 GHz fixed broadband wireless access system air standard

802.16c

Supplementary provisions about the compatibility of 10-66 GHz fixed broadband wireless
access system

802.16d

2-66 GHz fixed wireless access system air standard

802.16e

2-66 GHz fixed and mobile broadband wireless access system air standard

802.16f

Fixed broadband wireless access system air interface MIB requirements

802.16g

Fixed and mobile broadband wireless access system air interface management plane flow
and service requirements

802.16d and 802.16e are two mainstream Um interface standards.

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1 WiMAX Overview
2 WiMAX Network Structure
3 WiMAX Principle
4 WiMAX Key Technologies

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WiMAX IP-Based Network Structure

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WiMAX Network Models and


Visited NSP
Interfaces
R2

Home NSP

R2

R3

R1
SS/
MSS

R5

ASN

CSN

CSN

SS

R4,

Another ASN

NAP
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ASP Network OR
Internet

ASP Network OR
Internet

Functions of the ASN


Establish layer 2 connections between the BS and the MS.
Transmit AAA messages to the home NSP of the MS.
Assist the high level to establish layer 3 connections with the MS and assign
the IP addresses.
Perform the radio resource management (RRM).
Perform the intra-ASN mobility management and handover.
Perform the intra-ASN paging and location management.
Establish and manage the tunnels between the ASN and the CSN.
Store the list of temporary subscriber information, which is similar to the
function of VLR in a 3G network.

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Functions of the CSN

Definition
It is a combination of a set of network functions and provides IP
connections for the WiMAX subscribers. The CSN consists of the router,
AAA agent or server, subscriber database, and Internet gateway
equipment. The CSN can a new network entity in a new WiMAX system or
can realize the functions of CSN through some existing network
equipment.

Main functions of the CSN:

Establish the connections between subscribers and assign IP


addresses for the
Perform the Internet access.
Use the AAA agent or server.
Control the user system parameters-based QoS and license.
Establish and manage tunnels between the ASN and the CSN.
Perform the subscriber accounting and settlement.
Perform the inter-ASN mobility management.
Realize WiMAX services, such as location based service, point-topoint service, multicast service, IMS, and emergency call.
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NAP & NSP


NAP: Network Access Provider
NSP: Network Service Provider
V-NSP: Visited NSP
H-NSP: Home NSP
NAP provides the operation entities of network facilities required by the WiMAX wireless access
for one or more NSPs. The network facilities can consist of one or more ASNs.
NSP provides IP connection based WiMAX services according to the agreements entered with the
WiMAX terminal uses at the service layer. As a result, the NSP can enter an agreement with other
ASPs or ISPs to provide specific services. In the roaming mode, the NSP must enter an
agreement with other NSPs. When a mobile terminal is located in the area served by the NSP
beyond the home NSP, the NSP that provides the services for the terminal is called V-NSP. The
CSN belongs to the NSP.

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ASN Reference Model

ASN reference model:


including single ASN-GW.

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ASN reference model:


including multiple ASN-GWs.

ASN Profiles : Profile A, B & C


Profile B

Profile A & C

R3

R3

GW

R4

R6

BS +
ASNGW

R1

R1

R4

BS
BS
BS

Profile A: GW management handover


Profile C: BS management handover (GWs
transmits the handover messages only.)

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Functions of Profile B

Huawei WiMAX Network Structure and Interfaces


Softswitch

R3
R6

OMC-R

NGN / IMS

SBC

MGW

BS

R1

BS

BS

HA
ROUTER

ASN-GW

ASN

Internet

DNS server

SS

R4

BS

BS

FW

DHCP server

ASN-GW

AAA/H
server

BS

CSN 1

ASN
RAN entity

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Charging

Billing

PSTN /
PLMN

Functions of the ASN-GW&BS

MAC/PHY function
Power control
Radio resource management
Paging management
Location management
QoS management
Security management

Session management
Location management
Mobility management
RRM
PC
IP address management
QoS management
Tunnel management
Authentication
Accounting
Service control

BS functional entities

ASN-GW functional entities

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1 WiMAX Overview
2 WiMAX Network Structure
3 WiMAX Principle
4 WiMAX Key Technologies

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3 WiMAX Principle

3.1 WiMAX PHY Layer Principle

3.2 WiMAX MAC Layer Principle

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WiMAX PHY Layer Principle


Handling process of physical layer
Frame structure
Terms
Sub-carrier allocation modes
Data mapping
Modulation schemes

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BS Transmitting and Receiving Process

Transmitting: After being processed at the MAC layer, the downlink data is sent to the physical layer in
the format of MAC PDU. The MAC PDU arranges the data block size according to the allocation results of radio
resources at the MAC layer. After the data packets are processed through the channel coding, modulation, and
IFFT at the physical layer, the CP is added to form the integrated time domain OFDMA symbols, and then, the
symbols are transmitted in the downlink sub-frame structure through the RF processing.

Receiving: After the signals received by the antenna are processed through the RF intermediate
frequency, the baseband IQ data is sent to the baseband for processing. After the baseband receiving end
performs FFT, channel estimation, channel equalization, sub-carrier demapping, demodulation, and channel
decoding, the data packets are sent to the MAC layer through the interfaces. The competitive codes of the
Ranging and bandwidth request competitive slots in the uplink sub-frame must be detected.

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Terminal Transmitting and Receiving Process

Transmitting: The process is similar to that of BS. The frequency offset is pre-corrected. The Ranging
and BW Request are generated at the physical layer and a code is selected according to the indication at the
MAC layer. After the modulation, they are mapped to competitive slots selected at the MAC layer. Later, they are
the same as the normal data.

Receiving: The process is similar to that of BS. The frequency synchronization is added. It is not required
to detect the competitive codes of Ranging and bandwidth request.

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WiMAX PHY Layer Principle


Handling process of physical layer
Frame structure
Terms
Sub-carrier allocation modes
Data mapping
Modulation schemes

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Frame Structure

The physical frame includes the downlink sub-frame, uplink sub-frame, TTG, and RTG. The physical frame length and the respective duration of downlink sub-frame
and uplink sub-frame are broadcast by the BS through the DL_MAP broadcast message.
The downlink sub-frame consists of the Preamble, frame control header (FCH), DL_MAP, and downlink data burst. To assign flexibly and effectively the radio resources,
the resource allocation of each frame is variable. Each frame is broadcast through the broadcast message.
Preamble seizes the first symbol of downlink sub-frame. It is used for the SS to get the time and frequency synchronization and get the DL_PermBase,
Segment number, and IDcell information of the BS.
The position and size of the FCH are fixed in the downlink sub-frame. It is used to send some basic frame control information and demodulate the parameters
of DL_MAP message.
DL_MAP is followed by the FCH and is used to broadcast the resource allocation of downlink sub-frame to all the SSs. The resource allocation includes the
location, size, and burst profile of each downlink burst.
Downlink data burst carries the downlink data, and each downlink burst is planar in the frame structure. A downlink burst may include the data with multiple SSs.
After the demodulation, the SS can judge the data according the CID information in the MAC PDU header.
The uplink sub-frame consists of Ranging sub-channel and downlink data burst.
Ranging sub-channel is competitive and is used by the SS to originate the competitive Ranging and bandwidth request information. All the SSs can be used and
the BS is used for detection.
The uplink data burst carries the uplink data, and each uplink SS uses a burst.
TTG is the time interval between the downlink sub-frame and uplink sub-frame. It must be greater than the round-trip delay within the maximum coverage range. The
RTG is the time interval between the uplink sub-frame and downlink sub-frame.

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WiMAX PHY Layer Principle


Handling process of physical layer
Frame structure
Terms
Sub-carrier allocation modes
Data mapping
Modulation schemes

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Terms

Frequency domain symbols


Basic parameters

BW bandwidth

Nused available sub-carrier (include DC

n sampling factor, 28/25 if BW are multiple of any 1.25,1.5,2,2.75 MHz,


8/7 else

Import parameters

NFFT - 128 512 1024, 2048

Sampling frequency Fs = floor (n*BW/8000)*8000

Sub-carrier spacing f= Fs/ NFFT Tb=1/ f,

Sampling period f= Fs/ NFFT

Data sub-carrier
DC sub-carrier
Guard sub-carrier
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Term
s

Time domain symbols


Ts: OFDMA symbol period Ts = Tb + Tg
Tb: Effective symbol period Tb = 1/ f
Tg: CP length Tg=G*Tb

CP: anti-multipath interface and symbol synchronization error

G : 1/32, 1/16,1/8, and 1/4. The MS is accessed initially, all

the possible CPs must be searched. The uplink CPs and


downlink CPs must be the same.

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Terms

Slot
It is the minimum unit of resource allocation.
The handovers with different modulation modes and channel
schemes are performed between slots only.
Segment
Two dimensions concept : sub-channel by OFDMA symbol
In the DL FUSC and optional FUSC, 1 slot 1 sub-channel 1 It indicates the segment of a group of
available sub-channels, or all the
OFDMA symbol
available sub-channels.
In the DL PUSC, 1 slot 1 sub-channel 2 OFDMA symbol.
In the UL PUSC 1 slot = 1 sub-channel 3 OFDMA symbol. A Segment is a MAC entity.
In the AMC 1 slot = 1 sub-channel 2,3,or 6 OFDMA symbol. In PUSC, any segment used shall be
allocated at least the same number of
Data region
sub-channels as in group #0.
It indicates the two-dimensional allocation composed of a group
of continuous sub-channels and continuous OFDMA symbols.
One downlink data region can be used to transmit one or a group
of MSs.
The downlink is a regular rectangle, but the uplink is irregular.

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Terms

Replacement zone
Each frame always starts and ends with the PREAMBLE. It is used by the MS to synchronized
with the BS, and the MS can get the SEGMENT symbol and IDCELL of the cell from the
PREAMBLE.
The PUSC replacement zone is followed by the PREAMBLE. The replacement zone is
mandatory and includes important broadcast information, such as FCH, and DL-MAP.
The optional replacement zone specified by the protocols is followed by the first PUSC
replacement zone. They can exist or do not exist in the frame structure.
In a downlink sub-frame, there are at most eight downlink replacement zones.

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WiMAX PHY Layer Principle


Handling process of physical layer
Frame structure
Terms
Sub-carrier allocation modes
Data mapping
Modulation schemes

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Sub-Carrier Allocation Mode 1


DL PUSC - Downlink partial Usage
Sub-Channels
The downlink PUSC replacement zone is
unique, that must exist in the frame
structure specified by the protocols.

DL PUSC with all SC -

1 2
3

PUSC with all sc indicates the PUSC


replacement mode when all the
bandwidth resources are used.

DL FUSC- Downlink Full Usage SubChannels

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PUSC PUSC with all SC / FUSC

Sub-Carrier Allocation Mode 2


UL PUSC - Uplink Partial Usage
Sub-Channels
BAND AMC - Mobile WiMAX profile
specifies that both downlink and
uplink can use the BAND AMC
allocation mode. The sub-channels
of BAND AMC are continuous.
Whatever the uplink or downlink,
each sub-channel has an
independent pilot.
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WiMAX PHY Layer Principle


Handling process of physical layer
Frame structure
Terms
Sub-carrier allocation modes
Data mapping
Modulation schemes

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Downlink Data Mapping

DL
Slot Data Region
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Uplink Data Mapping

UL

Step 1 Allocate OFDMA slots to bursts.


Step 2 Map OFDMA slots within the UL allocation.
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WiMAX PHY Layer Principle


Handling process of physical layer
Frame structure
Terms
Sub-carrier allocation modes
Data mapping
Modulation schemes

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Modulation
Schemes

Modulation schemes
QPSK quadrature phase-shift keying
QAM 16 quadrature amplitude modulation
QAM64 quadrature amplitude modulation

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3 WiMAX Principle

3.1 WiMAX PHY Layer Principle

3.2 WiMAX MAC Layer Principle

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WiMAX MAC Layer Principle


MAC Layer Overview
MPDU Construction
Network Access
Handover
QoS

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MAC Layer Structure


Convergence sub-layer
Data packet
categorizer

Header
compression

Media access
control layer (M/)

Common part sub-layer


Packet data
processing
Network
access

Connection
management

Document dispatching
and QoS control

HO
management

Security sub-layer

Power
management

Air link control


Broadcast and
point-to-multipoint service

Physical
layer (PHY)

Pairwise key management (PKM2), extensible authentication protocol (EAP),


message authentication code (CMAC), and AES-CCM encryption

1024.512FFT, sub-channel queue, sub-channel arrangement, time division


multiplexing frame structure, adaptive modulation coding (AMC), hybrid
automatic repeat request (H-ARQ), channel quality information channel
(CQICH), Adaptive Beamforming, space time code (STC), and multiple input
multiple output (MIMO)

MAC Layer Overview


Resource dispatching

Logic connection of
network QoS

Data packet categorizer


Service flows

Priority queue

The MAC layer is oriented to the connections. Each connection corresponds to a service flow. The service
flow defines the QoS parameters of PDU transmitted over the connection.
The design core of the MAC protocol is the concept of service flow architecture on the connection. The
service flow provides an uplink/downlink QoS management mechanism. An MS is based on a connection to
request the bandwidth. Actually, the MS is associated with the service flow.
Each connection is identified by a 16-digit CID. The basic three pairs of management connections are Basic
management connection (emergent time and short MAC layer management message), Primary management
connection (carrying longer MAC management messages of some delays), and Secondary management
connection (tolerate the messages of delay based on the DHCP, TFTP, and SNMP). Different connections
have different QoS levels. The uplink CID and downlink CID of a connection are the same.

WiMAX MAC Layer Principle


MAC Layer Overview
MPDU Construction
Network Access
Handover
QoS

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MPDU Format

MPDU format
Fixed MAC header, variable load, and optional CRC

MAC header format


The downlink has a Generic MAC layer only and is located in the front of each
MAC PDU. The MAC PDU includes the MAC management message and CS data.
The uplink defines two MAC headers: Generic MAC header and the MAC header
without payload. The Generic MAC header is located in the front of each MAC
PDU, which includes the MAC management message and CS data. For the latter,
there is no payload and CRD at the back of the MAC header.
MPDU construction method
Agreed/cascaded/segment/packet

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WiMAX MAC Layer Principle


MAC Layer Overview
MPDU Construction
Network Access
Handover
QoS

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Network Access
The network access is a process of an MS performing the normal
communication from power-on to network access.
The network access includes two phases, power-on and access.

Objectives of the power-on process


The power on process is the initial operation after an MS is powered on and before
accesses the network.
During the power- on, an MS must get the basic information of the BS.
During the power-on, an MS must realize the uplink and downlink synchronization
with the BS.
During the power-on, an MS must notify the BS of the access.

Objectives of the access process

An MS determines the traffic channel related information.

An MS negotiates with the BS over the related information of the service flow.

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Contents of Network Access


Cell selection
Downlink synchronization
Obtain the transmission parameters
Uplink synchronization
Negotiating basic capabilities
Authentication and key exchange
Negotiating the high-layer parameters
Obtain the IP address
Obtain the system time
Obtain the FTP parameters
Create the preliminary service flow

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WiMAX MAC Layer Principle


MAC Layer Overview
MPDU Construction
Network Access
Handover
QoS

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Applications Scenarios of Handover


When an MS moves, the MS must change the connected BS
to get better signals because of the impacts of fading and
interface.
From the other BS, the MS can get better QoS.
The handover can be used to realize the load balancing.

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Hard Handover (HO)

The hard handover indicates the process of an MS moving from the radio resource interface
provided by the serving BS to another radio resource interface provided by the target BS. The
radio resources provided by the target BS are limited or the network topology structure with the
serving BS is restricted, the target BS cannot become the diversity BS of the serving BS. It
provides the hard handover mechanism for an MS for handover.

In the case of hard handover, the BS capability parameters, service flow parameters, and MAC
layer information may be changed.

The MS has two choices, break-before-make HO or BBM, and make-before-break HO or MBB.


The BBM indicates the MS releases the connection with the serving BS, and then leaves the
serving BS and makes an attempt to access the target BS. The MBB indicates the MS leaves the
serving BS first and makes an attempt to the target BS, but does not release the connection with
the serving BS. After the MS accesses successfully the target BS or the resource reservation timer
configured by the serving BS for the MS expires, the MS releases the connection with the serving
BS. Correspondingly, the serving BS releases the connection saved for the MS.

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Fast BS Switching (FBSS)

The FBSS indicates the process of an MS moving from the radio resource interface
provided by the serving BS to another radio resource interface provided by the diversity
BSs of the serving BS. During the FBSS, the MS can perform the data communication with a
BS of the diversity BSs only, but each diversity BS establishes connection resources for
the MS. The neighbor BS can become a diversity BS of the serving BS when the radio
resources and network topology structure meet the requirements. The diversity BS can
become the serving BS when the radio communication signals meet the requirements. The
active serving BS in the diversity BSs is also called the Anchor BS.
In this mode, the MS communicates with a unique serving BS (Anchor BS) but remains a list
of Active BSs. The MS can choose fast a better Active BS from the list to replace the active
Anchor BS. The fast switching process of an MS selecting the BS can improve the link
quality during the handover.
The FBSS includes the Active Update or Diversity Set Update an Anchor BS Update. The
former indicates that the neighbor BS becomes a diversity BS of the serving BS. The latter
indicates the diversity BS becomes the active serving BS and the serving BS becomes the
diversity BS.

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Soft Handover (SHO) or Macro-Diversity Handover


(MDHO)

The SHO indicates the process an MS moving from one or more radio resource interfaces provided by the
macro-diversity BS to another one or more radio resource interfaces provided by the macro-diversity BS. During
the MS moving, the MS synchronously performs the data communication with one or more BSs in the macrodiversity BS. Each macro-diversity BS is the serving BS of the MS. In all the serving BSs, only one BS is the
main control diversity BS, that is called Anchor BS. When the radio resources and the network topology
structure meet the requirements, the neighbor BS can become the macro-diversity BS. When the radio
communication signals meet the requirements, the macro-diversity BS can become the main control BS.

The SHO also includes Active Update or Diversity Set Update and Anchor BS Update. The former indicates that
the neighbor BS can become the macro-diversity BS. The latter indicates that the macro-diversity BS can
become active main control BS, but the original main control BS becomes the macro-diversity BS.

The MS moves from the Um interface under one or more BSs to another Um interface. On the downlink, two or
more BSs can synchronously transmit the same data packets of MAC/PHY protocols, and the MS realizes the
diversity combining. On the uplink, two or more BSs can receive the data of the same MS and the MS realize
the diversity combining among the BSs.

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Differences Between 16e SHO and 16e Hard HO

In the hard handover mode, an MS can communicate with a Severing BS only. No MAC layer
information (handover between two MAC entities) is shared between the Serving BS and
Target BS. In the soft handover, all the BSs in the active set share a MAC entity, including
the MAC layer status information, such as service flow, ARQ, and encrypted authentication.

The hard handover requires a synchronization and access process in the target BS (the
exchange of some messages can be omitted according to actual needs). The soft handover
does not require a synchronization and access process in the target BS.

During the hard handover, the services are interrupted for a short period of time (even for
the MBB, there is a conversion process of from receiving and transmitting data at the
source side to receiving and transmitting data at the target side. There is also an access
process. Thus, the handover time may be longer. During the soft handover, the services are
not interrupted, because an MS can communicate synchronously with multiple BSs. Even
when an MS disconnects a link with a BS or performs a handover, the services are not
affected. However, the soft handover occupies more Um interface resources.

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WiMAX MAC Layer Principle


MAC Layer Overview
MPDU Construction
Network Access
Handover
QoS

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QoS Measurement Parameters


Subscriber requirements (end to end)
Bandwidth
Loss rate
Delay
Delay jitter
Network performance
Throughput: It indicates the maximum transmission speed of
measured objects, such as system, equipment, specific connection,
and service. The throughput can be measured through the
bandwidth.

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16e Service Types


IEEE 802.16 protocols support multiple types of services.
IEEE802.16d protocols classify all the services into the following
four categories according to the service characteristics:
Unsolicited grant: the corresponding service is the Unsolicited Grant Service
(UGS).
Real-time polling: the corresponding service the real-time polling service (rtPS).
Non-real-time polling: the corresponding service is the non-real-time polling service
(nrtPS).
Best effort: the corresponding service is the best effort (BE) service.

IEEE802.16E extends a type of service.


Extended real-time polling service (ertPS)

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Relationship between QoS and Applications

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QoS Policy
QoS policy: It is used to determine the QoS level for a service. RSVP,
Diffserv, and MPLS protocols provide different mechanisms for different
traffic. QoS policy regulates the use methods of the mechanisms.
Common Open Policy Service (COPS) technology: Through the
centralized policy management and distributed and simplified network
management (defined by the RFC2748), it is used for exchanging the
policy information between the policy server and client based on the
status inquiry an the response mechanism protocols.

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QoS Assurance from the MAC Layer


The MAC layer of the 802.16 system supports multiple types of services and
processes the data packets according to the connections. Each connection
has own QoS parameters and/or dispatching type. Thus, the MAC layer of the
802.16 system controls the QoS in the unit of connection.
On the downlink, the BS distributes the connected data according to the actual
data in the Buffer and the requirements of connected QoS.
On the uplink, the bandwidth used by the SS is granted by the BS in the unit of
frame. If the BS does not grant the bandwidth for the SS, the SS cannot send
the uplink data. The BS cannot directly knows the generated data in the SS,
five dispatching types are defined according to different service types. The
dispatching types correspond to different modes of uplink bandwidth allocation.

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1 WiMAX Overview
2 WiMAX Network Structure
3 WiMAX Principle
4 WiMAX Key Technologies

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WiMAX Key Technologies


OFDM / OFDMA
TDD
AMC
HARQ
MIMO
AAS

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OFDM Principle
s(t)

S/P

IFFT

Add
Cyclic
Prefix

P/S

Tx. filter: G T(w)

Transmitter
Channel
Receiver
r(t)

P/S

FFT

Remove
Cyclic
Prefix

S/P

Channel: H(w)
n(t)

Rx. filter: G T(w)

The idea of the OFDM is to convert the data in a serial and parallel mode to get the N-path parallel
data flows. Each path of data flow is modulated to the mutual-quadrature sub-carrier, and the subcarrier spectrum can be overlapped.

The OFDM system realizes the Quadrature carrier modulation through the highly-effective FFT/IFFT
algorithm.

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Advantages of OFDM

High spectrum efficiency


In the OFDM system, the sub-carriers are overlapped and
mutually quadrature. The traditional multi-carrier system
requires the protection band. Thus, the spectrum efficiency is
improved greatly.

Effectively resist the multi-path interference


The OFDM system transmits the high speed data in a parallel
mode, so the anti-multipath interference capability of the
system is improved greatly.

Effectively resist the frequency selective


fading
In the OFDM system, the technologies, such as coding,
frequency diversity, channel weighting, and dynamic subcarrier allocation are used to resist the frequency selective
fading.

Easily compatible with other technologies


It is a modulation technology in essence.

Realize easily the channel estimation and


equalization
Use the IFFT/FFT effective DSP technologies to realize the
modulation and demodulation of the OFDM to reduce the
system complexity and make it more real-time.
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F re q u e n c y S le c t ive F a d in g

10
5
0
-5
-10
-15
-20
-25
-30

100

200

300
Frequency

400

500

600

OFDMA Principle

OFDM-based modulation
Divide the available sub-carriers of each OFDM symbol into multiple subchannels. Each subscriber can occupy one or more sub-channels.
TDMA+FDMA

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Advantages of OFDMA
The granularity of resource allocation is smaller and the resource allocation
becomes more flexible. In the same OFDMA symbol, multiple subscribers can be
accessed.
The uplink can be used to improve the coverage through the power concentration.
The downlink coverage is not restricted. If the downlink coverage is restricted, the
coverage is improved through the repeated codes or power concentration. In the
PUSC mode, some sub-carriers are cooperated to improve the coverage.
Scalable: At the OFDMA physical layer, the system with different bandwidths uses
different FFT points, which is called Scalable OFDMA. For example, the 1.25 MHz
bandwidth uses 128 points and 5 MHz bandwidth uses 512 points.
Easily compatible with other technologies: The OFDMA is modulated on a basis of
OFDM, so it is easily compatible with other technologies (MIMO/AAS/CDMA .

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TDD Characteristics
Advantages: high spectrum efficiency and low CAPEX/OPEX
Require no duplexer and save the cost. The equipment complexity is low. The TDD equipment either transmit or receive. Thus, the
equipment design is simple. The FDD system synchronously transmit and receive and a good isolation must be established between the
receiving bands. Thus, the equipment cost is high, and it reliability is lower than that of TDD system.
The uplink and downlink proportions are scalable and more applicable to the symmetrical services.
The features of uplink and downlink channels are symmetrical and the open loop power control without overhead can be used. It
facilitates the support of multi-antenna technologies and further improves the spectrum efficiency.
The frequency can be selected at random in the specified band, or the band can be used at odds and ends. unlike the FDD, the band
must be selected in pairs. Thus, it is more flexible to select the frequency of the TDD.
The transmitting and receiving of the TDD use the same band. Thus, the new technologies are easily compatible. For example, the
smart antenna considers the signal receiving and transmitting at single band. For the FDD, the band is considered in pairs, that is, the
TDD has advantages over the use of the cost in terms of new technology.
In the FDD system, the uplink frequency is different from the downlink frequency. The power control is realized by the feedback and
the accurate power control is difficult.

Disadvantages: easily cause the interference


Require the synchronization of the overall network and require external synchronous sources
The system receives and transmits the interference.
Impacts on the network planning (especially when multiple networks coexist)

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AMC Principle

Measure the receive channels and adaptive handover modulation modes and coding
schemes are used to optimize the throughput-SNR curve according to the measurement
results.
The coding schemes include CC, BTC, CTC, and LDPC. The modulation modes include
the QPSK, 16QAM, and 64QAM.
The adaptive modulation selects the required modulation mode according to the channel
conditions. When the high modulation mode, such as 64-QAM is used, the high SNR can
be used to conquer other interferences to keep the BER.
To improve the coverage range, select the low modulation mode, such as QPSK. If the
subscriber is close to the BS, select the high modulation mode.

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Combination Between the AMC and the Power Control


802.16e protocols define the uplink power control only.
The uplink power control includes the inner loop power
control and outer loop power control.
Inner loop power control: the uplink CINR is a judgment basis. The four parameters,
cinr-target, cinr-upper-threshold, cinr-lower-threshold, and max-adjust-step are used for
power control.
Outer loop power control: the uplink BLER is a judgment basis. The five parameters,
bler-target, bler-upper-threshold, bler-lower-threshold, Max-adjust-step, and qos-typeindex are used for power control.

Combination between the AMC and the inner loop power


control
In the AMC, each coding scheme has two values, cinr-upper-threshold and cinr-lowerthreshold . When the uplink CINR of terminal measured by the BS is higher than cinrupper-threshold, the coding scheme is improved by an order. If the CINR is lower than
cinr-lower-threshold, the coding scheme is reduced by an order.

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HARQ- Concept and Types

HARQ (hybrid ARQ): Combination between Automatic repeat request (ARQ)


and forward error correction (FEC)

According to the mode for combining FER codes of the HARQ at the receiving
end, the HARQ is classified into three types:
Type I HARQ -The receiving end decodes and monitors the packet quality through the
FEC. If an error exists in the packets, the retransmission is required and the error
packets are discarded.
TypeHARQ The receiving end stores the error packets and combines the packets
transmitted for multiple times.
Chase Combing Each retransmission codes the data packets through the same FEC
and the decoder at the receiving end combines the copies of the transmission packets
according to the received SNR.
TypeHARQ incremental redundancy: Increase gradually the redundancy of
transmission codes. The receiving end combines and decodes the data frames of the
same information received.

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Realization of HARQ in the WiMAX

In the 802.16 protocols, the HARQ can be used at the MAC layer or PHY layer.
Use HARQ at the MAC layer
Realized in the MPDU: A HARQ Packet includes one or more MAC PDUs and the CRC is added.
The CRC is of 16bits, in the format of CRC16-CCITT.

Use HARQ at the PHY layer:


Realized in the burst: Add the CRC with 16 bit in the transmission of burst. This CRC corresponds to
the CRC in the MPDU.

HARQ channel: Downlink HARQ, UL is allocated for an ACK/NAK channel. The channel is
allocated through the HARQ ACK Region Allocation IE message of the UL_MAP. Uplink
HARQ connection, the downlink provides the ACK through the HARQ MAP message.

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HARQ - Performance

Orange curve: HARQ that is not combined by the receiver. The performance is similar to that
of traditional ARQ.
Blue curve: HARQ of diversity combining by the receiver
Red curve: Add the HARQ in the FEC redundancy mode
HARQ improves the performance with a low SNR, which helps improve the cell edge coverage
probability.

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MIMO System Model

Signal
source

Space
Time
coding

C1(k)

r1(k)

C2(k)

r2(k)

CN(k)

Space
time
decoding

Signal
sink

rN(k)

MIMO system: A link has the radio system with multiple INs and OUTs.

Transmitting end: After being pre-processed, the imported high speed bit stream becomes
the symbol stream that complies with the constellation rule. And then, after the space time
coding, the symbol stream becomes Nt parallel sub-symbol streams. The sub-symbol
streams are transmitted from the Nt transmitting antennas at the same time.

Receiving end: After the signal vectors received from the Nr receiving antennas are inverse
with the transmitting end, the original information bit is restored.

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MIMO Types
Space division multiplexing (SM): Matrix B and Matrix C (four antennas)
Divide one data flow at a high transmission rate into a group of data flows at a low transmission rate. Independently
code, modulate and transmit the different data flows from different antennas, and use the same frequency and slots.
a1

Input

data

Vector
coder

OFDM
modulation
OFDM

RX

RX
a2

OFDM
modulation

OFDM

OFDM
demodulation
OFDM

Space

multiplexing

detection

OFDM
demodulation
OFDM

TX
RX

am
am

TX

OFDM
modulation
OFDM

TX

Receive

data

OFDM
demodulation
OFDM

Channel estimation

Space time coding (STC): Matrix A

Through the coding, the information included in the symbols transmitted at the different antennas is associated.

Signal

Coding

And

Input data mapping

IFFT
IFFT

and

add the

cyclic
prefix
Serial/

parallel

conver

sion

Space

time

coding

IFFT
IFFT

and
add the cyclic

prefix

FFT

after
removing
the
cyclic

prefix
FFT
FFT

after
removing
the
cyclic

prefix
FFT

Space

Time

Decoding

Or
Signal

detection

Parallel/

serial

conversion

Signal

demodu

lation

and
demapp

ing

Output data

Channel
estimation

Adaptive HO MIMO

Perform a handover between the multiplexing and diversity to make a balance between the
capacity and link quality.

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Impacts of MIMO on the Coverage


Coverage radius
In diversity mode only

Bring the diversity gain and increase the cell coverage radius.

In multiplexing mode only

Improve the cell edge rate to increase the cell coverage radius.

Coverage probability
When the coverage radius is fixed, the coverage gain obtained
through the MIMO technology is reserved for the shadowing
fading margin to improve the coverage probability of signal.

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Impacts of MIMO on the Capacity


Sector throughput and spectrum efficiency
In multiplexing mode only

Both the transmitting end and receiving end use multiple sets of antennas. Through the
space dimensional resources, each antenna transmits the separate data flows. When
the transmit power and bandwidth are increased, the transmission capacity and
spectrum efficiency of the radio communication system are improved by multiplies.

In diversity mode only

Add the cell radius to increase the proportions in the high-order modulation mode to
improve the transmission capacity and spectrum efficiency of the radio communication
system.

Peak rate
In multiplexing mode only, theoretically speaking, the air interface peak rates
of uplink and downlink are increased proportionally with the number of
antennas.

In uplink cooperation MIMO mode, only the sector throughput is increased,


but the peak rate of single user is not increased.

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Basic Concepts of AAS


Interferers

Desired Signal

Beamforming of single user

Multi-user SDMA

AAS: Smart antenna technology defined in the IEEE 802.16e protocols


Beamforming (for single user) and SDMA (for multiple users), which require
multiple arrays of antennas for the BS, but without requirements for terminals

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AAS Types
Interference

Interference

Beam handover
antenna

Interference

Quasi-dynamic multibeam antenna

Interference

Adaptive multi-beam
antenna

Figure 1

AAS has three types: HO beam antenna array, quasi- dynamic multi-beam antenna array, and adaptive antenna array

Beam HO AAS: Use a group of pre-designed overlapped beam to cover the whole space domain. The system outputs the big beams to irradiate each subscriber.

Quasi-dynamic AAS: Each array element uses the phase shifter to directionally receiver and transmit the signals. Actually, it receives the signals at maximum.

Adaptive AAS: To adapt the change of electromagnetic field, adjust the weighted value of each unit antenna according to the algorithm and optimization rules.
And then, accumulate the weighted space sensor signals to form the required beam.

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Impacts of AAS on the Coverage


Traffic channel

The SNRs of single user and with Gaussian nose are increased.
Uplink: The equivalent power is improved by 42 multiplies. The noise is improved by M
multiplies. The equivalent SNR is improved by M multiples, that is, 10logM (M indicates
the number of array elements).
Downlink: The signal receiving capacity of terminal is increased by M multiplies, that is,
20logM, and the noise is not changed. The equivalent SNR is improved by 20logM
(including the array total power gain 10logM).

The intra-frequency CIR is improved.

Broadcast channel

The shaping fails. The maximum power required is 10 lg MdB higher than that of traffic
channel of the AAS antenna.

Coverage rules

When the number of array elements is smaller than 8, the coverage of Preamble
channel is similar to that of the shaped traffic channel.
If the Preamble channel uses the CSD technology, the coverage is better.
It is hard to make the CSD and AAS compatible.

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Impacts of AAS on the Capacity


SNR rise
After the smart antenna with M array elements is used, the SINR is
improved by about 10lgM. When the SINR is increased, the capacity is
increased.
The intra-frequency CIR is increased, it means that the closer
frequency mode can be used to improve the capacity.

SDMA
The capacity can be improved by multiplies.
The capacity improvement is closely related to the AAS realization
method, frequency multiplexing mode, number of array elements and
the cell radius. In the case of capacity estimation, the specific
beamforming algorithm and SDMA realization method must be used.

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Comparison Between the AAS and the MIMO


Characteristics

Application

BS

AAS

MIMO

Use the dependent characteristics of

Use the independent charters tics of different

different antenna signals. The distance

antenna signals. The distance between

between antennas is small.

antennas is large.

The performance is good in the macro

The performance is good in the micro cell and

cell and the antenna position is high.

indoors.

There are many channels and the impact

Two channels, for baseband signal processing,

on the system structure is large. The

small impact on the system structure, and

optimization of system structure is

easily compatible with traditional system

required specially for the AAS. It is hard

structure

to be compatible with the traditional


system structure.
Terminal

Small impact, add partial signaling only

Great impact, the terminal must support


multiple antennas.

The AAS can be cooperated with the MIMO, for example, use the bipolarization array. The AAS is used
between the antennas with the same polarization, and the MIMO is used between the antennas with
different polarization. The subscribers of different channels in the same cell can select the AAS or
MIMO. As a result, the system complexity is increased.
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